This note set is an output product for this module and includes

screen images, as well as brief instructor notes. You may find it

beneficial to print these and add your own notes as you view the
module.

EC00M Module 3

Notes:

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1
 Learning Objectives

I Describe concepts, methods and considerations of analytical

measurements including:
• pH
• ORP
• Specific Ion
• Conductivity
• Dissolved Oxygen
• Moisture
• Gas Analyzers

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2
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3
 REMINDER Supplemental reading can be
found under the RESOURCE tab
pH Analyzers

pH Is the measure of the hydrogen Ion

concentration in a solution
pH= -log10 IH+]

pH Scale

Notes:

• Measuring electrode develops a potential directly related to hydrogen ion

concentration of solution
• Reference electrode serves as a constant reference potential
• Change in voltage resulting from change in hydrogen ion concentration is
proportional to change in pH

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4
 ORP (Oxygen Reduction Potential)

', Potential is developed as a

-·
--
result of the transfer of Or! 2 71
electrons
', Electrode contains anode and
cathode

--
-·
', Oxidation (loss of electron)
n r •
occurs at the anode
', Reduction (gain of electron)
occurs at the cathode
', Potential is an indication of a
reaction's progress

Notes:

• ORP technology has widespread application as the basis for automation of

chemical composition control equipment; an ORP sensor produces the
feedback needed to control sanitizers and dispense pH modifying chemicals.

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5
 Specific Ion

Ion-selective electrodes are used in many types of

applications to determine concentrations of differing ions in
liquid solutions.
» Pollution Monilonng: Cyanide {CN), Fluoride (F), Sulfide (S),
Chlonde (Cl), Nitrates (N01) etc., in effluents, and other waters
:,.,.. Agriculture: NOJ, Cl, Ammonium (NH4), Potassium (K), Calcium
(Ca), Iodine (I), CN in soils, fertilizers and feedstuffs
» Food Processing: N01, Nitrites (N02) in preservatives.
> Detergent Manufacture: Ca, Barium (Ba), F for water quality
> Paper Manufacture: Sand Cl in pulping and recovery-cycle
liquors
» Explosives: F, Cl, NOJ in explosive materials and combustion
products

Data from www IIIC0.2000 net Begu,ners Guide 1o ISE Measurement

Notes:

• Compared to other analytical techniques, Ion-Selective Electrodes are inexpensive,

simple to use, and have a wide range of concentrations.
• Current models are robust and durable.
• They are best used where only an order of magnitude concentration is required,
or that a particular ion is below a certain concentration level.
• Most useful for applications requiring continuous monitoring of changes in
concentration: such potentiometric titrations or the reagent consumption.
• Where interfering ions, pH levels, or high concentrations are problematic,
specialized methods and special reagents are used to overcome these
measurement difficulties.
• Accuracy is at best ± 2 % for some ions (this compares favorably with analytical
techniques).

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6
 Conductivity

Conductivity is the measurement of the ability of

a solution to carry an electric current

Specific
Resistance

100Meg 10Meg 1Meg 100K 10K tK 100 10 ohm-cm

Specific
Conducta e

Very Pure Good Natural 10% H2S04

Water Drshlled Waters
Water (Typical)

Notes:

• It is a volume resistivity measurement determined by applying an AC voltage

across a primary element called a cell immersed in a solution containing ions

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7
 Dissolved Oxygen
'i-- Dissolved oxygen is a measure of the amount of
gaseous oxygen (0,) dissolved in an aqueous solution.
)- Oxygen diffuses into water from the surrounding air, by
aeration, and as a waste product (of photosynthesis).
:,- DO is used in water and waste water processes to
determine water quality.

Notes:

• Oxygen is a necessary element for all life forms. Natural water purification
processes require adequate oxygen levels to provide for aerobic life forms.
• If dissolved oxygen levels (in water) drop below 5.0 mg/l, much aquatic life is put
under stress. The lower the concentration, the greater the stress.

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8
 Moisture
Used to measure
water content
> humidity
> dew point

Notes:

• Remember the dew point monitor in Instrument air systems comes after
the dryer.

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9
 Gas Analyzers
Gas Chromatograph

INJECTOR PORT

DETECTOR

CARRIER GAS
COLUMN OVEN

Pnnctple of operation
1 Different molecule pass from the 1nJect10n to the detector pomts at d1fferent
limes
2 nme of detection rs proporttcmal to concentration

Notes:

• Gas chromatography, (gas-liquid chromatography), involves a sample being

vaporized then injected onto the start of a chromatographic column. The sample is
transported through the column by the flow of the carrier gas (inert). The column
contains a liquid which is adsorbed onto the surface of an inert solid.

• There are two types of column, “packed” and “capillary.”

• Packed columns contain a finely sorted inert solid material (generally based on
diatomaceous earth) coated with a liquid. Most packed columns are 5 - 30ft in
length and have an internal diameter of 0.8 inch to 0.16 inch.

• Capillary columns have an internal diameter around .01 inch. There are two types:
wall-coated open tubular (WCOT) or support-coated open tubular (SCOT).

• Wall-coated columns have of a capillary tube whose walls are coated with liquid.

• In support-coated columns, the inner wall of the capillary is coated with a thin
layer of material (diatomaceous earth), onto which the liquid has been adsorbed.

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10
 Analytical Measurements

Notes:

• Point out that in the past these were mostly laboratory analysis. On-line analyzers
have only become popular in the last 20 years or so.

• A sample system is difficult to make real time

• Calibration should be determined by field measurements and not done on a fixed

period.

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11
 Summary: Analytical Instrumentation

pH
ORP
Specific Ion
Conductivity
Dissolved Oxygen
Moisture
Gas Analyzers

Notes:

• Multivariable Transmitters - more than one function in a transmitter:

e.g. Pressure, dp, temperature

• Smart Transmitters: on a network. Function blocks, signal processing,

control

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12
 Multiple Choice Question
Analytical Instrumentation

The type of analytical sensor that measures an electrical

potential developed as the result of a transfer of electrons
between the anode and cathode is called:

Q Gas Chromatograph (GC)

@ Oxygen Reduction Potential (ORP)

Q Dissolved Oxygen (DO)

WitiMhM

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13
 True or False
Concepts

pH analyzers measure the concentration of hydrogen ions in

a solution.

@True

Q False

WitiMhM

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14
 Multiple Choice Question
Analytical Instrumentation

Conductivity is most commonly measured in units of

Q specific reluctance of the solution (mH)

@ specific resistance (ohm-cm) or specific conductance (uS/cm)
Q specific heat of the solution (BTU/gF)
Q specific gravity of the solution

WitiMhM

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15
 Multiple Choice Question
Analytical Instrumentation

In a gas chromatograph, all are true statements about a

capillary type gas analyzer EXCEPT:

@ The capillary is completely filled with a very fine inert solid material.

Q The capillary can be a wall-coated open tubular type.

Q Capillary tubes are very small, with an inner diameter of about 0.01 inch.
Q Diatomaceous
columns.
earth is often used as a support material for SCOT

WitiMhM

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16
 PRACTICE QUESTIONS – Modules 2 and 3

1) Which of the following measurement methods is most cost-effective for

measuring the level of highly corrosive media?

a. Ultrasonic
b. Radioactive
c. Capacitance
d. Float

2) In applications requiring low drift, high accuracy, and moderately high

temperatures, which measurement technology would be BEST?

a. Thermocouple
b. RTD
c. Infrared
d. Thermister

3) In pneumatic signaling, which of the following is true regarding a live zero?

a. To get accurate readings that are continuously variable, the 0% reading

must be set at 0 psi.
b. Representing 0% at 0 psi could result in a pressure failure being
mistaken as a lower range value.
c. Mechanical pneumatic entities such as tubes cannot operate for long in
vacuum or constant pressure, so 0% must be at 0 psi and not a negative
or positive quantity.
d. Keeping the air supply at least 5 psi above the 100% signal allows for
enough pressure to keep a 0% reading from being underpowered and
therefore variable.

4) Which of the following methods of inferring level from head measurement is

widely used in water/wastewater vessels and sumps?

a. Differential pressure transmitter

b. Bubbler
c. Level switches
d. Displacer

© 2016, ISA 1
EC00E (V1.2)

17
5) An analytical instrument is used to measure the quantity of mercury found in
air samples in an outgoing smokestack. Which of the following would NOT be
applicable?

a. Single component concentration analyzer

b. Environmental impact sensor
c. Mass spectrometer
d. Gas chromatograph

6) Which of the following will eliminate potential problems when using a pressure
differential transmitter?

a. Replenishing tubing liquid with a purge flow

b. Evaporating liquid from filled tubing
c. Changing density of the stored liquid
d. Increasing the pressure in the vapor space at the top of the tank

7) A biodiesel plant needs to control the separation of heavier soy oils from those
used to produce the fuel. Which of the following would be the BEST choice to
prevent rework and waste?

a. Measure the separated fuel oil for appropriate purity using lab analyzers.
b. Measure at the point of oil separation using process analyzers.
c. Measure the separated fuel oil for appropriate purity using process
analyzers.
d. Measure at the point of oil separation using lab analyzers.

8) The maximum flow rate at specified accuracy provided by a device is 20 gpm,

and the minimum is 4 gpm. The turndown ratio is

a. 1:4.
b. 1:5.
c. 5:1.
d. 20:1.

© 2016, ISA 2
EC00E (V1.2)

18
9) Which of the following is true of rotating paddle wheel measurement?

a. Measurement is based on a shift in resonant frequency.

b. It is less accurate and more expensive than a continuous level
measurement.
c. A buildup of material creates a stall and triggers a microswitch.
d. It has a very high MTBF number.

10) A biodiesel plant needs to control the separation of heavier soy oils from
those used to produce the fuel. This is one critical element in determining the
temperature at which the finished fuel will gel. Which of the following would
be the BEST choice to assure buyers that the product will have an
appropriate gel point?

a. Measure the separated fuel oil for appropriate purity using process
analyzers.
b. Measure the separated fuel oil for appropriate purity using lab analyzers.
c. Measure at the point of oil separation using process analyzers.
d. Measure at the point of oil separation using lab analyzers.

11) Which of the following pressure measurements refers to the amount of

pressure that is above or below atmospheric pressure?

a. Compound range
b. Column
c. Absolute
d. Vacuum

12) A fluid with a high Reynolds number indicates that the flow is

a. erratic.
b. transitional.
c. laminar.
d. turbulent.

© 2016, ISA 3
EC00E (V1.2)

19
13) A process analysis sensor is needed to measure concentrations of impurities
in a viscous fluid. The impurities are generally nonabrasive and inert, but
during a rare upset in operating conditions they can contain abrasive ferrous
materials. Which of the following would be the BEST device for this
application?

a. Delicate in-fluid sampling device

b. Inferential measurement device
c. Photoelectric sensor
d. Current laboratory test method using a centrifuge

14) Which of the following is true of most pressure measurement methods?

a. They are not able to measure a small differential pressure.

b. The sensor matches the digital or analog signal conditioning and
transmission.
c. They are sensitive to volume but not temperature
d. They measure pressure by sensing the deflection of the diaphragm.

15) Which of the following is generally true of measuring flow by differential

pressure?

a. Field calibration based on actual flow is required.

b. The measurements are accurate and are suitable for all kinds of liquids.
c. The measurement requires straight runs upstream and downstream.
d. Significant pressure loss is created.

16) Which of the following accurately describes representative sample

conditioning for a sample as compared to the original process stream?

a. It may change sample pressure/temperature/volume but not composition

because it must directly match the original.
b. It may change sample pressure/temperature/volume or composition as
long as it correlates to the original.
c. It requires that sample pressure/temperature/volume and composition
must directly match the original.
d. It may change sample pressure/temperature/volume or composition with
random variability from the original.

© 2016, ISA 4
EC00E (V1.2)

20
17) What is the advantage of connecting the pressure transmitter to the process
by a length of tubing?

a. It minimizes cost.
b. It provides easy access for service.
c. It eliminates the need for service.
d. It minimizes leakage.

18) Which of the following velocity measurement methods does not require an
obstruction in the flow path?

a. Vortex shedding flowmeter

b. Magnetic flowmeter
c. Orifice flowmeter
d. Turbine meter

19) When determining costs for a sample analyzer that requires a highly stable
environment, including temperature, which of the following would MOST
likely provide appropriate conditioning and encourage routine maintenance
but could significantly increase project costs?

a. Process analyzer isolated from the process loop

b. Environmentally controlled shelter
c. Boxed sample conditioning system
d. Hardened process analyzer installed in the process loop

20) Which of the following causes a constant offset for any measurement?

a. Zero error
b. Field calibration
c. Turndown ratio
d. Span error

© 2016, ISA 5
EC00E (V1.2)

21
21) Which of the following actions is associated with a vortex shedding
flowmeter?

a. Sound waves are sent through the following stream.

b. A bluff body/shedder bar is placed in the pipe.
c. A multi-bladed rotor is supported by bearings in the pipe.
d. Coils outside the pipe generate a pulsed DC magnetic field.

22) Which of the following is true regarding device selection and maintenance of
process analyzers?

a. Companies should always purchase the cheapest analyzers they can

find.
b. Complex process analyzers with microprocessors often have the ability
to determine when preventive maintenance is needed.
c. Process analyzers in the process loop have proven the most likely to
receive regular maintenance.
d. Annual maintenance should not cost more than one percent of an item's
purchase price.

23) An analog meter face is calibrated so that the lower range value is 0% at 1 V
and the upper range value is 100% at 5 V, with markings on the meter for
every 10%. What is the scale of the meter, and what is its resolution?

a. 1 to 5 V scale; resolution of 10%

b. 1 to 5 V scale; resolution of 100%
c. Full scale; resolution of 10%
d. Full scale; resolution of 100%

© 2016, ISA 6
EC00E (V1.2)

22
24) Which of the following is an example of zero suppression?

a. Calibrating a sensor to read 4 mA when a sensor reads a holding tank

as being empty when the tank has 0 gallons of fluid.
b. Convection keeps a fluid flowing through a system very slowly even
when the process is not active and the sensor is set to read this level of
flow as 0 gpm.
c. A sensor set to monitor a fluid level and triggering automatic refill when
the tank reads it is approaching 0 gallons so that the tank is never
allowed to be empty.
d. Changing the gain on a pressure sensor to read 3 psi even when the
pressure within the system is at 0 psi.

25) Which of the following level measurement methods can be external to the
tank?

a. Float
b. Radioactive
c. Capacitance
d. Ultrasonic

26) Which of the following is true of resistive temperature devices?

a. They respond quickly to changes in resistance since the heat conducts

quickly through the protective sheath.
b. They require the use of a bridge circuit to compensate for low or high
temperatures.
c. They are more accurate than thermocouples and can be used at high
temperatures
d. They rely on resistance change in a metal, with the resistance rising
linearly with temperature.

27) If you set the instrument zero to a negative value, what is this called?

a. Zero suppression
b. Zero elevation
c. Live zero
d. Zero based

© 2016, ISA 7
EC00E (V1.2)

23
28) Which of the following is an advantage of ultrasonic measurement?

a. It works well in high temperature situations.

b. It requires no contact with the process.
c. It eliminates the problem of surface foam.
d. It works well during heavy agitation of liquid.

29) An instrument that can be programmed and can perform self-diagnostics is

a. dumb.
b. smart.
c. digital only.
d. repeatable.

30) A process analytical device that uses feedback from the process it monitors
and provides adjustments through proportional control is an example of
which of the following?

a. Open loop control

b. Closed loop control
c. Safety monitoring
d. Environmental monitoring

31) In the past, when a plant had many individual single control loops, which of
the following needed to be done once to check and again to make
adjustments even though it caused delays and limited effective plant
production?

a. Pneumatic transmission comparisons

b. Touring the plant
c. Signal management
d. Taking laboratory samples and waiting for results

© 2016, ISA 8
EC00E (V1.2)

24
 Answer Key- Practice Questions Modules 2 and 3

1. a
2. b
3. b
4. b
5. d
6. a
7. b
8. c
9. c
10. b
11. a
12. d
13. b
14. d
15. c
16. b
17. b
18. b
19. b
20. a
21. b
22. b
23. c
24. b
25. b
26. d
27. b
28. b
29. b
30. b
31. b

© 2014, ISA 1
EC00E (V1.1)

25
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 4

Notes:

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26
 Learning Objectives
l Discuss rmportant process dynamic characteristics that
influence control loop behavior.

2 Discuss the purpose and behavior of the various modes of a

PIO controller.

3 Configure a controller for direct or reverse acting

4 Discuss controller tumng techmques and recognize the

strong and weak points of each.

5
Explain why feedback control, rf used alone. will parrmt more
variability in the process than will feedback control combined
with the use of some advanced regulatory control technique

6
Discuss advanced regulatory control strategies, including
ratio, cascade, feedforward, decoupling, and selector
control

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27
 Process Control

The regulation or manipulation of variables influencing the conduct of a

process in such a way as to obtain a product of desired quality and

quantity in an efficient manner.

DISTURBANCES

11111
CONTROLLED
VARIABLE
MANIPULATED PROCESS
VARIABLES
MEASURED
VARIABLE

CONTROLLER
-
Notes:
• Manipulated Variable - that which is changed to effect a change in the controlled
variable
• Controlled Variable - The variable of interest, one which is to be kept at a
particular value
• Measured Variable - generally measured variables are controlled variables - we
measure them because if you can’t measure a variable, you probably can’t control
it.

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28
 Objectives of Control

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29
 Control Loop Block Diagram

Controller Manipulated Controlled

Output variable variable
�C�O-N�T�R�o•,-,��� ' VALVE PROCESS f-r-'•

E
R
ALGORITHM

Controller
Process variable easurement

Notes:
• Engineer’s view of process control

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30
 Control Loop on P & I Diagrams

Disturbances
> Temperature of process
r---J?-iicl .... , steam from reactor
TY I/� : > Flow rate of process
213 ,' steam
'
TY '' > Steam pressure
213 '
STEAM ' > Exchanger fouling
FC
> Thermocouple well
� coating
FROM REACTOR TO REACTOR
FEED PREP
E-107 CONDENSATE

Note: This shows P&ID with electrornc wired and pneumatic instruments ISA� 1
2009 also allows FOUNDATION Fieldbus and Wireless mstruments

Notes:

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31
 Process Reaction Curve (FOPDT)

63.2%
/
OUTPUT dead time

INPUT

TIME 0 1 2 3 4 5

First Order Process with Dead Time

Notes:
• First Order Lag Plus Dead Time
• Most industrial processes are non-linear.
• Industrial processes are subject to random disturbances.
• Most processes contain some dead time.
• Most processes are interacting.
• Most processes contain some noise.
• Most processes exhibit unique characteristics

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32
 Steady State Gain
)- Process Graph: The steady-state relationship between
manipulated variable and controlled variable at some fixed load
i,., Disturbances (load changes) cause the process graph to shift
»- Changes m process gain are one of the most important reasons to
re-tune a controller (e.g., unit revamp, cleaned heat exchanger,
catalyst activity, etc.).

Load #1
1 ·Gain• is the slope
Process of the curve
Variable xg_ m/%chan elnvalve

0% m, m2 100%
- Signal to Valve -

Notes:
• Explain the concept of “steady state” gain; i.e. the change in output divided by the
causative change in input.
• Non-Linear Processes
• Level in spherical tanks and other vessels whose walls are not parallel, like
cylinders
• pH processes
• Reactors and other chemical processes
• Any loop where the manipulated variable is limited in normal operation

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33
 Frequency Approach to Dynamics

input • G(s) t--�--� output

Process TF

H(s) TF = Transfer Function

ntroller rd'--�

output = G(s)
Input 1 1- G(s)"H(s)
Laplace
transform format
error = 1
input 1 + G{s)'H{s)

> Best for linear, no dead time, known and constant

response (e.g. servos)
)- Well established mathematical stability and compensation
methods such as Bode and Nyquist

Notes:
• Gs is the transfer function for the process, Hs is the feedback transfer
function.

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34
 Time Approach to Dynamics

}- Best for non-linear,

dead time, unknown
Input

FO I Output

and varying
response (e.g.
process)
v
}.- Well established
heuristic controller
Ou t ut
I/
tuning methods
In ut

0 1 2 3 4 5 6
Time Units

Notes:
• This is the aforementioned First Order Lag (there is no dead time as
illustrated).

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35
 First Order Lag Plus Dead Time

.,63;2'1<
10
j Output I
Input

- Td -1-

> Classic response

> Can be used to approximate many process responses

Notes:
• FODPT

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36
 Second or Higher Order Response

- Fifll Older
-seoon:i O'der
-lhn!Order

> Usually caused by multiple time constants in series

> Can be interacting or non-interacting
> Many time constants in series looks like dead time

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37
 Approximating an Unknown Process

Tangent drawn at pom

of steepest Process nse

ACTUAf..RESPOOSE
C CV
63 2%
(SCl1d Llr.,)

APPROX RESPONSE
(Dotted Lme)

D Var.'e

TI Me

Notes:
• This is basically the Ziegler-Nichols “open loop” tuning method.

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38
 Process Dynamic Characteristics

Open Loop Step Response

Characteristic
(No control or controller in MANUAL)

Seij regulating process /"'" Comes to an

Temperature, now, most pressure __., equlllbrlum

Non-self regulating process Doesn't come to an

(Also called "Integrating" process) equlllbrlum
liquid level, some pressure

Notes:
• Explain that feedback control works best with self-regulating processes

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39
 On-Off Control

:,.. Output full on or full off depending on sign of error

:,. Needs some amount of dead band
:,. Will always overshoot
»- Can be multi-position output

av
CONTROU..ED

(i\ fit )z3rDEAD

VAC�S�

SET
ronvr - JS,.) f S,, Tf ) zone
I t I t I f I
I I I I I I I
I I I I I I
I I I I I l

l
1 1
OPEN (ON) : j ! 1JNOFVELFWW
FUEL FLOW

,ue�:,�v::: j j
1,"0N

TIME

Notes:
• Operates on “presence of error”

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40
 Proportional Control

� Output = Gain • error+ bias

> Measured in gain or proportional band (inverse of gain
expressed in °/o)
> Always has offset after a disturbance or load change

!m = Ke + Bias I
m = output (control valve position)
Kc= controller gain
e = error (sp-pv)
Bias = a constant set at original startup

Notes:
• Proportional control operates on the magnitude of error
• The bias is set in when the loop is originally established (i.e., what percent output
of the controller will have the valve at what percent for at setpoint operation)

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41
 Reset or Integral Control
)- Output = integral of error
}., Measured in repeats/min or min/repeat
»- Infinite gain at steady state to eliminate offset
)- Tends to destabilize loop
)- Particularly troublesome in loops that are applied to processes
with integrating action (level)
)- Used on most loops to eliminate offset

....I.
,,
Ll• Kcf1 + '". ' r,
,,
T,p
:Ji m

Notes:
• Ti = integral time, E = error

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42
 Derivative Control

> Output = derivative of error

» Measured in minutes PID Equation-
> Compensates for lags Derivative term

> Tends to stabilize loop -

reduces overshoot
» Measurement noise is
amplified
» Used on some loops,
particularly those with a long
trme constant {e.g.
temperature)
» More difficult to tune properly,
but best control when tuned
roperly

Notes:
• Note that in many cases in the derivative term, it is not e (sp-pv) that is used but pv,
that way derivative action is not taken upon a setpoint change.
• In most modern analog (and single loop digital) controllers, the derivative unit is
taken out from the controller gain and given a fixed gain (usually 9 or 10)

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43
 Generalized Controller

1,J
+ Output to final
_, e
setpo1nr a
,
e=t(e) K c l---l--------.,{,s:l---control element
+ - L___J +
.d
Todt
Controlled
(measured)
variable

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44
 Non-linear Controller: 2 Examples

e'
Gap-Action Controller

Used for control of electric motorized

actuator

e'
Error-Squared Controller
e' = elel
Used for level control (when close to
setpoint, don't do too much)

Notice how e' approXlmates a Gap-Action

Notes:
• The gap controller allows for a deadband prior to control action taking place.
• The error-squared controller uses a non-linear function where the control action
increases with magnitude of the error. Small deviations (from setpoint) result in
very little change to the output. Larger deviations are opposed by much larger
control action because of the larger error, thereby preventing the controlled
variable from changing too drastically.

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45
 Other Controller Features

Notes:
• The more digital (i.e. more contemporary) the more of these features that
will be included.

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46
 Objectives of Tuning

Adjustment of gain. reset. and rate to achieve "good"

process control

CHANGE I DISTURBANCE

PROCESS
CONTROL
SYSTEM
GOOD PROCESS CONTROL

Notes:
• Good process control depends upon the application.
• Most (not all) processes respond well to the quarter decay ratio waveshape (3 ½
humper)

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47
 Objectives of Tuning

Acceptable response to a set point change

1. ONE-QUA TER DECAY RAT10

j

A B a, 1
A 4

2. MINIMIZE OVERSHOOT

_p
3. MINIMIZE DEVIATION FROM SET POINT

Notes:
• Explain ¼ wave response.

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48
 Trial and Error Tuning

Start with low gain. no reset or denvat·ve. controller in auto

Make a small set point change (returning to previous setting when

PV reacts)

Make a small set point change (returning to previous setting when

PV reacts)

AdJust gair unhl desired damping (such as Quarter decay) is

achieved

Adnrst RESET to ehrrunate steady state offset

• By adding reset, you may have to reduce gain
• Measure the period between response peaks. the period
should be between 1.5 arid 2 times the integral time (If the
period is longer than this, make the integral time lonqer, if
shorter make the integral time shorter)

Notes:
• Trial and Error tuning assumes a step by step procedure (using ½ and 2X values - a
form of successive approximation) to ensure each change brings you half again
closer to the right value.
• If doing PI, once gain is determined, reduce by 10% before adding integral.
• If using PID, then once gain is determined add 20%, however the derivative must
be tuned next, not integral.
• For PID if a ¼ decay ratio output is desired, the derivative time will always be ¼ of
the integral time.

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49
 The Effect of Adding Derivative

Best tuning achieved with Proportional and Integral modes only

_[)
Too little derivative Best tuning achieved with
Prop, lnteg and Derlv
modes

Notes:
• Do not use derivative on fast loops or noisy loops.

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50
 Tuning by Open Loop Testing (Ziegler-Nichols)

> Process near normal operating point

-, Controller in MANUAL

> Step change the controller output

> Approximate the observed response by a simplified
process model
> From the model parameters, use "somebody's"
correlation to determine controller tuning parameters

Notes:
• Ziegler Nichols Open Loop tuning method, controller must be in manual.

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51
 Open Loop Test Method, Z-N
Tangent - drawn al point
of steepest process rise
\
T • -, ,,-
OM EAS 63.2%
0MEAS I
•
••*
OVA LVE

• d ... t .. TIME

DMEAS
Kp = PROCESS GAIN = 0VALVE
Td = DEAOTIME
T = TIME CONSTANT

Notes:
• The greatest error introduced into this method is determining the right
amount of dead time. (Where the tangent line crosses the Dmeas min line)

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52
 Tuning from Open Loop Test

ZIEGLER-NICHOLS TUNING PARAMETERS

Pl PIO

Kc

2.0 Td

• •

Notes:

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53
 Tuning from Open Loop Test

COHEN-COON TUNING PARAMETERS

p Pl PIO

Kc --·-
"
a"' P
K p T d
ns ,
--·- '
K p T d 12 K p
""
K p Td ·-'
'" p

T,
3 33 T,
(t+ Td/11) 2 5 T, c+02Td)
t +22Td t +06Td

0 37 to
To t +02Td

• •

Notes:
• A modification (and improvement) on the Ziegler Nichols numbers

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54
 Problems with Open Loop Method

;... Sensitive to parameter estimation error (especially

dead time)
)- Doesn't include the effect of valve dead band or
stickiness on loop dead time
)- Simplified form of process model may not match the
actual process

:r Not suitable for fast integrating processes or open loop

unstable processes
;... Load upsets during the test cycle can give erroneous
results

Notes:
• Used many time to get a starting point.

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55
 Open Loop Method Problems

> Limitations on step size may make it difficult to interpret

the response - especially in the presence of noise

> Tests must be done in both directions for

non-linear loops
> Closed loop response may not be acceptably damped
for a set point change

Notes:

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56
 "'Tuning

Objectives of Lambda Tuning

:,.,.. Minimize overshoot for set point change
;;,.. Permit specficanon of closed loop response to set point change

--r,--��==-��----
A SP Desired closed loop response
...-1-- Freedom to choose
1 T,r>
K �
c

A Is an arbitrary time similar to the process time constant

Notes:
• The goal of lambda tuning is to match the setpoint response to a first order time
constant called lambda. The response is first delayed by the process dead time.
Lambda tuning is a model-based method. From a model of the process, you derive
the tuning parameters. Given a model, the tuning method for an ideal type PID
controller is simple once you convert the units properly. Parallel and series type
controllers require different tuning. (For PI controllers, series and ideal tuning is
the same.)
• The concept behind lambda tuning is to cancel the process characteristics with the
controller and then use a time constant filter to get the response you want. It is
somewhat the same as Model Predictive tuning and therefore has some of the
same disadvantages
• A recommended lambda time is 3 times the process time constant.
• For fast lambda tuning, set the lambda time equal the time constant.

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57
 Ziegler-Nichols "Ultimate" Method

> Process near normal

operating point
Increase Kc
> Controller in AUTOMATIC
> GAIN only; no RESET nor
DERIVATIVE
Km = Kc
> Induce sustained oscillation
by gradually increasing
controller gain and using small
setpomt changes to emulate
upsets. Decrease

> Note the ultimate period {Pu)

and ultimate gain {Kcu)

> Use correlation to determine

controller tuning parameters

Notes:
• The primary disadvantage of this technique is you must oscillate the
process - a no-no for most facilities.

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58
 Closed Loop Method

TUNING PARAMETERS
p Pl PIO

0.5 Kcu 0.45 Kcu 0.6 Kcu

T, 0.83 Pu 0.5 Pu

0.125Pu

Notes:
- - •

• Note the gain increase/decrease depending upon the tuning modes.

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59
 Closed Loop Method Considerations

Problematic
,. May not be possible to drive process into oscillating condition
·i;, May require several rests. longer testing time. than open loop
method
,,. Cannot guarantee how rnucb the PV • nor the controller output •
will -swing·

Benefits
,... Controller rs operating m its normal mode (automatic)
;, No arhf1c1al form of the process model imposed
,,. lndudes the effect of valve dead band and stickiness on the
loop peucd
,,. Minimal uncertainty in the data
., Not as orsrupted by load upsets

Notes:

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60
 Improving "As Found" Tuning

OBJECTIVE Improve "AS FOUND' tuning parameters

, To give acceptable response

, W1thollt resorting to any form ot process lest

,.. As efficiently as possible (i.e, with the lewest number of

tuning moves)

Applicable to self-regulating processes using Pl

controller

Notes:
• The normal process of tuning once start-up is behind you.

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61
 Improving "As Found" Tuning

"As Found"
Behavior

"As Found"
Tuning T,

PREMISE: If reset (T is OK, then the following

1)

will be true

1.5 T1
< P < 2.0 T 1

Notes:
• Also called “smart” tuning.
• Does not include derivative (the most common case)

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62
 Improving "As Found" Tuning

l> If PREMISE is met. then adjust Kc to obtain acceptable

loop damping

l> If PREMISE is not met, then adjust T, so that

0.5P < T. < 0.67 P

then re-evaluate the premise

Notes:

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63
 Level Control Loops
Why is there a separate focus on liquid level control loops?

Non-self regulating process (integrating process)

Normal situation: vertical tank, no dead time

Once tuned properly, does not go out of tune

"Rules of thumb" used for self-regulating processes are no longer

applicable

Usually, it is not necessary that the level be exactly at the setpoint

The real objective is that the level be well within an acceptable

band.

Notes:
• Uses a different set of rules than those for self-regulating processes

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64
 Self-tuning Controllers

A rrucrcprocesscr-baseo controller whose tuning constants

automatically changed to rnamtam the desired response

Pattern recocrunon - controller inspects the response

pattern . measures overstope and dampmg and the number
of successive peaks

This determines the penod of oscntation

Conventional tuning procedures are used to calculate new

tuning values based on the measured parameters

Notes:
• An advanced form of “trial and error” tuning.
• The microprocessor and lots of memory mean that software can posses many
advanced functions and functionality.

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65
 Temperature Loop Characteristics

-�==1
THROJGHPUT

+
> Speed of response: usually slow (3-15 minutes) due to
process transport dead time and sensor (thermowell)
lags
> Noisy or non-noisy: usually not noisy
> Linear or non-linear: often non-linear - the process gain,
dead time and time constant may all be inversely
proportional to process throughput rate

Notes:

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66
 Flow Loop Characteristics
', Speed of response: fast
(usually 3 - 5 seconds,
determined primarily by
valve actuator)
> Noisy or non-noisy: usually FY >--+-�e=-,
F
noisy, especially if primary
measurement is differential
pressure
> Linear or non-linear: often
non-linear, caused by
Valve charactenstrcs
Pressure drop ratio, valve
open-lo-valve closed

Notes:

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67
 Pressure Loop Characteristics

-- =t>l<'.l==='=- -- ===l>'::J==-
Pressure Regulation Back Pressure Regulator
(Pressure Reducer Station)

:,. Liquid pressure control loops

).. Pure gas pressure control loops
:,. Two-phase (liquid and gas) control loops

Notes:
• Liquid Pressure is very fast (Pascal’s Law)

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68
 Pressure Loop Characteristics

;, Liquid pressure control loops

• Characteristics similar to flow loops

:, Two-phase (liquid and gas) pressure

• Characteristics similar to temperature loops

:, Pure gas pressure control loops

• Speed of response: usually fast (1-2 seconds)
Noisy or non-noise: usually non-noisy
Linear or non-linear: usually linear
In limited length networks: pressure is the same throughout the
network. process model is a first order lag • use high-gain,
proportional only control

Notes:

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69
 Level Loop Characteristics

=====f'(j::::::c-
Speed of response: moderate to slow depending on vessel
size
Often noisy, due to splashing, sloshing, etc.
Linear or non-hnear: depends on shape of vessel

Notes:

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70
 Level Loop Characteristics

Usually an INTEGRATING (non-self regulating) process

• Tumng techniques used for Selt-Requlatinq processes may not
be applicable

For close control, use high gain proportional control with

very little integral action

For many applications, close level control can be sacnficed

in favor of smoother output flow, consequently less
disturbance to a downstream process unit

Notes:

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71
 Advanced Regulatory Control

Notes:
• Point out this will be only a cursory review.

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72
 ----------,
Ratio Control - Wild Stream '

,-- _____ FC_

Controlled
Flow

FV

Notes:
• Ratio control is defined as the flow rate of one stream sets the flow rate of another.
• There may be instances where we are not ratioing flow-to-flow.
• For instance, in a strip process (paper, rubber or metals industry), you may
be ratioing an additive (or coating) to the “flow” of the strip (speed times
unit weight).
• Or you may be ratioing a flow rate (e.g., distillate) to the flow of a particular
composition of a second stream (feed rate x measured composition of light
component).
• Or you may be ratioing an energy flow rate (mass flow rate x specific heat)
to the flow of a second stream.
• All of these are similar, if we take “flow” in a broader context than simply raw flow
rate.
• Within the jurisdiction of the ratio loop, the wild flow is uncontrolled. It may not be
truly uncontrolled, but we only use the measurement, so as far as we’re concerned,
it is uncontrolled.
• If the wild flow rate is unchanging, and the required ratio is not changed, then the
set point to the flow controller is constant, then the control loop operates as a
normal flow loop.

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73
 Ratio Control: Applications

> Blending
)- Additive to Primary Stream
> Combustion: Air-Fuel Ratio
> Distillation: Reflux-Feed Ratio

Notes:

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74
 Cascade Control

> One feedback controller sets the setpoint of a second loop

> Used to isolate disturbances to the inner loop

Disturbance Disturbance

Inner
+$ PRIMARY SECONDARY
rocess rocess
INNER LOOP

OUTER LOOP

Notes:
• Inner loop (secondary) must be at least 3 times faster than outer loop
(primary)

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75
 Application: Without Cascade
Tl

Steam
FCalr----ilt"\__S2 HotO"t
Process Flow
Cold In

Disturbance: Drop in Steam Header Pressure

Consequence: Feedback Penalty Paid at
Temperature Controller

Notes:
• Explain briefly that changes in steam flow result in a disturbance that is not
measured or controlled, hence the penalty.

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76
 Application: With Cascade

-� � � � -..... TIC

Primary

�'v i Secondary
Controller

�:,.} Controller

0) Hot Out

Process Flow
Steam
Cold In

Disturbance: Drop in Steam Header Pressure

Consequence: Feedback Penalty Flow Controller;
Minimal Effect at Temperature Controller

Notes:
• Explain addition of cascade removes one disturbance variable (there are
others, have them named)

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77
 View Slide 49
Drawing
Cascade Control Considerations

Permits "meterinq'[ of mass flow or energy

Notes:
• If the inner loop and outer loop dynamics are about the same,
then the primary controller should be tuned for a slower
response

Slide 49 drawing (Slide Layer)

Disturbance Dis turban ce

I� ,-PRIMARY
�
SECONDARY
•
Inner
:>rocess
•
Main
rocess

INNER LOOP

OUTER LOOP

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78
 Override Control

One controller operates the Another controller takes over operation of

control valve posrnon to maintain the same control valve to prevent
control of the process equipment damage or unsafe cononon

Normal process control is sacrificed

Hoth cculrol ltK)I-"' 11\U'>l te c Ollflljul!H.l wnn open k1op w1rnl up p!OIH< IK>II ',{) mat the
ur1 '>ekl<. !P(l, onllullf>r <101-"; not w11uJ 111,1

Notes:
• Briefly describe override control (uses a hi-low selector switch)

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79
 Override Control: Example

SP
(TW$ T$mp Htgh L1m1I)

TT l--+'T:....J

)f-f}-��---j<fo-,f-'-"'-��
L ••
seecto-
Fu�

Notes:
• In this case the lower of two values will be used to operate the fuel valve.
• Integral term will wind up to 100% when error is sustained
• All good controller algorithms include anti-reset windup
• Selective control requires external feedback to deal with anti-reset windup

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80
 Feedforward Control

Definition
The final control device (valve or set point of lower level flow
controller) is manipulated by a measurement of the process
disturbance, rather than by the output of a feedback controller

Requirements
» The disturbance must be measurable
>- We must know what to do to compensate for the disturbance
>- We must know when (i.e., on what time schedule) to take the
compensating action

Notes:

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81
 Feedforward Control Loop

SETPOINT
DISTURBANCE
,l.
FEEOFORWARO
CONTROLLER
SENSOR .....
'
'
'
O MANIPULATED CONTROLLED
V' PROCESS
VARIABLE VARIABLE

Notes:
• Note controlled variable is not measured.

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82
 Feedforward Control of Heat Exchanger

LIQUID IN

Enthalpy calculation

,,,}--,,,------1
� --- <c}-----,

,--,;,l::J----lll�TEAM
Ft--------- - - - ..
- - - - - - ....
- - - - - - - ,,

LIQUID OUT

Notes:
• The formula is a heat balance using steam.

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83
 Feedforward & Feedback Control of Heat Exchanger

LIOUIDIN

'•
- - -�

_______ ,

'• ",----,
r,
UOUDOUT

ADDING A CONSTANT

Notes:
• Adding a constant (Kt) allows feedback to alter the feed forward signal.
• This is how most SLDC will handle feedforward feedback - never pure feedforward

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84
 Dynamic Compensation

•
SETPOINT DISTURBANCE

STEAOY·STATE
FEEOFORWARO ' SENSOR
COMPUTATION
'
•
FEEOFORWAR 0
CONTI'IO!.LER
DYNA.MIC
COMPENSATOR

1 MANIPUL..\TEO
VARIAIILE
PROCESS ONTROLLEO
VARIABLE

Notes:
• Dynamic adds the “when”
• Too soon will upset the process, too late will allow the process to be upset.

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85
 Feedforward Control Evaluation

, 11 ,111 the -nsrurbanres wf:'re measur anle ann 1f tne

f�t�ll11JtV\dltl ,ll!lllu! Al!!le perf1i1:! !l!l-'r1 t11�_· tuoces-,
·,aru!dt:' ,:vuld tu- m.:11t+lu1netJ f:)(ddly ,11, <;1:1! pornt --1!
all nrnos

, Ber.auve tcodtorwar d cc,r1'.rni .s Pt"'\'e, pcttect rr.nn

11 1�. us11rtl!y cumtimed �1ft1 k:Pdtlack contm!

,,. !I WP ,111-3 i_jl!mratc!v 1,�qu1re{1 Io •1·,� fEf::0l•:i1_ � con!rr11

auvwav w11y bother Niii) Ieectcrwatd" >?

Notes:
• Use this as a rationale for feedforward.

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86
 Feedback and Feedforward Control

Suppose the feedforward controller is only 75% per1ect

> It will still make 75% of the required control action, leaving
only 25% for the feedback controller

> The feedback penalty will only be 25% of what it would have
been with feedback alone

'j

VALVE

Notes:
• Using feedback as a check on feedforward allows for optimal control.
• The case where feedback and feedforward are additively combined is known as
feedback trim.

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87
 Multiple Input - Multiple Output (MIMO)

Process

' -'- -- c- -- -- ' - ,,

m,
Valves or
Flow Controller m,
' - - - '- '- Pro cess Variables
Set Points
- - - - - - -' '

If the interaction is severe, single loop controls will not

work satisfactorily

Notes:
• Multiple interactions will lead to process variabilities

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88
 Interaction Between Control Loops

Controller r- .P!<9J;l;li• __ ,
#1 Valve ' '
I A ' I L•.- '
PV
SP =:I I
'
I P11 1 E
• '
PV-1
' '
i'-G- '
'
'
''

SP
-1 I
P,,�
!:[I@: •''
'
'
' PV-2
PV Valve ''
Controller '
B ' ---------- '
"'
Notes:
• Note the interaction between controlled variables and setpoints

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89
 Interacting Loops -Approaches

"Detune" the lower priority control loop

Properly pair the process and marnpulated variables

Use some form of decoupling to make the control loops

appear to be independent
:,- Simple ratio control
)., Dynamic decoupling
,. Partial decoupling

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90
 Variable Pairing - Example

Temperature
Set Point= 500

r---------cc---{,c
e,�
Set rcrt = 2

,----------ifc

100°

Valve - B

Notes:
• The temperature variable has a more direct pairing then the flow loop.

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91
 Relative Gain Calculation

PROCESS GAIN
Relative with other loop{s) 1n

Gain {A) == �������-

MANUAL
PROCESS GAIN
with other loop(s) 1n
AUTOMATIC

- •
- •
-
Notes:
• Define relative gain and what it means (the level of interactivity)

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92
 Relative Gain Array

Outputs
PV1 PV2

-
=> MVA A,A2 =?
-"'
"O
c:

MVB As1 =? A.92 =?

The SUM of the relative gains on any

row or any column must = 1

Notes:
• Set up an array to determine interactivity

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93
 Use of RGA - Variable Pairing

If all relative gains are between O and 1. pair the

PVs and MVs to use the largest relative gains

If some relative gains are < 0. then others will be > 1.

pair the PVs and MVs to use the posmve relative
gains

If the positive relative gains are> 1. try to find some

other MVs that will control the PVs

Notes:
• Rules for pairing

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94
 Partial Decoupling

Controller r _P.J'\.Oi-'FiS_ - - 1
eI Valve
L-r-,
j

PV ;lC i'z\.---'A'----.;_�I
' Pn R�z
· )-;.J- PV-1
SP • •

Pa1tial
Decoupler
o,.,
SP -
•'
PV
P,, ,-czc
+
;,' -r--
' PV-2
Valvl' '
B '

Notes:
• If one of the relative gain pairs is larger than all others use this partial
decoupling.

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95
 Forward Decoupling

Controner r- .PROCESS. __ ,
#1 Valve I
1
PV -, , ;•{Z-i)-�Ao_�r-11
' [ •t:::'\
rT
I P11 Z PV-1
SP --L_J + • 1

1 ''
''
Decouplers '
-I P,, � '
'

;: : : :-�,,[I
�.
'
DA, •''
SP
PV
z. P,, f-,(i::�
•
,: •PV-2
· · Valve
Controller B
'
#2

Notes:
• If possible to obtain pair matching this will provide full decoupling

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96
Notes:

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97
 Multiple Choice Question
Continuous Control

Which of the following is characteristic of controlled

processes?

Q Process measurements usually provide positive feedback

Q Processes will exhibit zero error
Q Controlled processes with identical equipment will respond identically
@ A change in one controller may affect a number of process variables

WitiMhM

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98
 True or False
Continuous Control

Moderate disturbances during the testing can be tolerated

from closed loop tests.

@True

Q False

WitiMhM

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99
 Multiple Choice Question
Continuous Control

Which of the following is TRUE of the relay method of

tuning?

Q The relay method is not appropriate for automated testing.

@ The process is tested by a forced disturbance using an on-off controller.

Q The controlled variable will stay at the setpoint, with the controller output
at the minimum value.

Q The relay method does not require the establishment of minimum limits
for controller output.

WitiMhM

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100
 Multiple Choice Question
Continuous Control

A piping and instrument diagram does NOT include which of

the following?

Q Communication between instrumentation devices

Q Accessibility of devices to the operator
Q Failure thresholds
@ Instrumentation devices

WitiMhM

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101
 Matching
Measurement
Drag the description on the right to match it with the
correct measurement method on the left.

Uses• oon-hnear luncbon whe.-e the control

Error-Squared Controller acbon onc.-ea..,, w,11, maun.tude of the error

On-Off Control
-
O..lp<Jt full on oc lull off <lepclOO"'li on •'Ill' of

Ope.ates on the ma11mlude of errnr

Proportional Control

Advanced Regulatory Control control,

control
"""°""
Exampk>s mclooo rabo C<lfltrol, cascado
control and IO<>dlo<ward

I< mocroprocossor-•C>d controllor whoMI

Self-tuning Controller tunmg constants automabcally ch3ng<HI I<>

•
"'""'tam tho <IMm>d response

"""""'8S • slop b� sl<>p proc°"""" lo onsur<>

Trial and Error Tuning ...,ch c"3ogo t>r,ngs you ,..If oga,n closor to th<>
r,gl,I >ahJ<>

Correct Choice
Error-Squared Controller Uses a non-linear function where the control
action increases with magnitude of the error
On-Off Control Output full on or full off depending on sign of
error

Proportional Control Operates on the magnitude of error

Advanced Regulatory Control Examples include ratio control, cascade

control, override control and feedforward
control
Self-tuning Controller A microprocessor-based controller whose
tuning constants automatically changed to
maintain the desired response
Trial and Error Tuning Assumes a step by step procedure to ensure
each change brings you half again closer to
the right value

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102
This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 5 Draft

Notes:

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103
 Learning Objectives
} Explam the role of a control valve

2 Discuss the fundamentals of valve selection

3 Discuss the problems associated with cevrtencn. flashing,

and some velocity

4 Explam the effects of hysteresis, deadband, and friction on

the precision of a control valve

5 Describe the types of actuators and their advantages.

6 Discuss the added functtonalrty of smart valves

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104
 Sliding Stem Valve

Air to Close
SI GNAf_ FROM Fail Open
CONTROLLER
DAPHRAGM

STEM OR STEM
CAGE GUIDED
FI_UG

MANIPULATED FLOW

Notes:

• Flow over/under plug.

• Identify and discuss basic function of body, actuator, and trim. Each is covered in
detail as the course progresses.

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105
 Cv Equation for Liquid Flow

Cv is the capacity of a valve

Q = Flow (gpm)
Gr= Specific gravity
Q� =
t.P Inlet pressure -
outlet pressure
.1.P = P1 - P2

Cv = gallons water at • Different formulas for gas

60°F thru orifice with and steam
t:.P=1psi in one minute • Choked flow
• Piping configuration and
viscosity also impacts

Notes:

• This is the equation for the Cv, or capacity, of a valve.

• We will take a detailed approach to the concept of Cv when we get to sizing.
• Cv is the number of gallons of water at 60F that pass through an orifice with a
pressure drop of 1 psi in one minute.

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106
 Rotary Valves

BALL SEAT
RINGS

BUTTERFLY VALVE FLOATING BALL VALVE

Notes:

• The butterfly valve is by far the most common rotary-motion control valve - and
there are many variations in design. It consists of a shaft-supported vane or disc
that is capable of rotating within a cylindrical body. They have large capacity, which
is why they are sometimes substituted for globe valves in large diameter pipes.
• The ball valve is also rotary-motion - the flow closure member being a sphere with
an internal passageway. Becoming more popular as technology improves.

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107
 Types of Control Valves

-E
GCO�
GLOBE I\HGI.E
THREE WAY

---[ MULTIPI.E-ORIFICE
��
'"""
MOTION 01,\PHRAGM KNIFE

-
PINCH OR Cl.l<MP

SEGMENTED

eeu, ---[ FULL BALL

BUTIERFlY
ROTARY
MOTION CYLINDRICAL
PLUG
---E TAPERED
ECCENTRIC SPHERE

Notes:

• Discuss briefly further breakdown, i.e., high performance vs. standard

butterfly; plug vs. eccentric plug; full port ball vs. reduced port ball vs.
segmented ball.

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108
 Other Valve Specification Issues

Valve
Specifications
• '
)
,

•
Notes:

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109
 High and Low Recovery

50

40
P,
,,
Globe Valve FI. _
-
,: pI -P2
'
'VP, -PVC

•
-c P, Ball Valve
••c 30
PRFo
•
'

"•••
20
'· High Pressure Recovery
Factor (PRFJ results in lo-r

10 "" everen pressure drop.

Ho-ver, the low preuure 1t
the vena contra.eta m1y cause
cavitation.
O·
Distance
Globe Valve - Low Recovery Factor - Higher F, (0.85)
Ball Valve - High Recovery Factor - Lower F, (0.60)

Notes:

• A high-pressure recovery factor means there is low pressure recovery. If you think
through the equation, you'll see that this is true.
• Conversely, a low-pressure recovery factor means there is high pressure recovery.
• Remember when we threw away friction in Bernoulli's equation. Friction loss is
the difference between these two valves. The valve with the more torturous flow
path will have the least pressure recovery.

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110
 Linear Valve Characteristics

1.0
/
0.8 /
/
Cv 0.6
/
Cvmax
0.4
/ s0 Va ve Gain
/ K
/
0.2
/
/
0.0
0 20 40 60 80 100
Valve Position.% Open

Cv =m
Cvmax 100

Notes:

• Industry practice is to refer to the area of opening by the term “CV”, or valve
coefficient. This is a numerical value relating to the flow capacity for the valve.
When the valve is wide open, the CV is at its maximum value, or CVMAX. If the valve is
partially opened, the CV is less than CVMAX, or the ratio CV/CVMAX is less than 1.0.

• If the ratio CV/CVMAX varies linearly with valve position, then this valve is said to
have linear valve characteristics. (Note that this is a theoretical relationship. The
actual relationship will vary somewhat, due to design and manufacturing
differences.)

• The valve gain, KV, in terms of the manufactured valve characteristics, is simply the
slope of the line. This has the same value regardless of valve position.

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111
 Equal Percentage Characteristics
1.0
I
0.8
Slooe = ,�1v G in

�
0.6
- " I
0.4
Cvmax
I/
/
0.2

0.0
o 20 40 60 80 100
Valve Position. % Open

C ,_ ;::; R 1 moo -
__ 1

c\'ffi,IX

Notes:

• This is the theoretical shape for equal percentage control valve characteristics.
Most real valves approximate this to some extent.

• In the equation, “R” represents the rangeability of the valve. A typical value for R
for an industrial quality globe valve is 50 (50:1). Some valve types, and some
manufacturers, claim to have higher rangeability.

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112
 Typical Installation

, '
L\Fj
L\P1 L". Pv-t
�

/
' T
/

�) ,,
"
Other sources of pressure loss:
• Length of pipe
• Pipe fittings
• Hand valves
• Process equipment

Notes:

• However, pressure drop across the valve does not remain constant as the
flow rate changes. This is because there are other things in the line, pipe
fittings, hand valves, process equipment, plus the length of pipe itself, that
takes some of the available pressure drop as the flow rate increases. This
leaves less of the available pressure drop for the valve.

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113
 Pressure Drop Ratio

at maxlmwn flow
(Valve wide open)

ti. Pmax at minimum (0) flow

(valve closed)

Define: a =

Notes:

• When the valve is wide open, the minimum pressure drop occurs across the valve.
• When the valve is closed, the maximum pressure drop occurs across the valve.
• Let’s define the ratio of those pressure drops by the parameter ‘ D ’ (pronounced
“alpha”).
• Note that this is a function of the particular installation.
• Let’s see how the flow varies with valve position, for various values of D

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114
 Installed Characteristics - Linear Valve

+-+-¥-;H'ol/.2 h'H'-t-+--1
F 0.6 -t----t--ttf-lfi 0.3 4--usc.i."'IJ-,-
I '-,.
I m'-
11'. ma va ve
Fmax
0.4 -i---4�1-�\7.c'-��l oe�5{o. �t. :-f�:a::b�g'i ::::inlFe='i_
0.2

0.0
0 20 40 60 60 100
Valve Position, % Open

Notes:

• For a linear valve, these curves show flow vs. valve positions, for a linear
valve and for various values of 
• Values of  near to 1.0 mean that there is very little change in pressure drop
across the valve. This usually means that there is a small valve in a big line.
• Smaller values of  mean that there is a significant change in pressure drop
as the flow rate increases. This normally occurs with a large valve in a small
line (i.e., an oversized valve).
• Look at the curve  = 0.05. This would represent a significantly oversized
valve for the particular installation. At 20% valve opening, you would get
about 2/3 of the maximum flow. For the top 80% of valve stroke, the flow
changes by the final 1/3.
• Also, recall that the valve gain, KV, is the slope of the line. Therefore, the
valve gain is very high when the valve is in the first part of its stroke, and
much lower at higher valve positions.

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115
 Installed Characteristics - Equal Pct Valve
1.0 -,---,-r--------,--,�
+-+-+-Varying Values /47'*7
of a
0.8 +--t-f-+-

Big valve in
06
F · -+--+ a small line
F max -'--t---i-r-t-7'tn-hf,0.5,1 ·0
I
o.4 ++-+-+---,i'--,JL., o.3 �4--+--1
·
I 0.2
0.05
0.1 Small valve in
a big line

20 40 60 80 100
Valve Position. % Open

Notes:

• Now consider how variations in the parameter ‘’ affect the installed
characteristics of an equal percentage valve. (Recall that ‘’ is the ratio of
the pressure drop, when the valve is wide open, to the pressure drop when
the valve is closed.)
• Observe the curve labeled ‘= 0.3’. This would be a fairly typical installation.
Note that at 50% valve position, you would get 20% of the flow. From there
on up to 100% valve position, the line is almost straight, or the slope of the
line is almost constant. That says that between 50% and 100% valve
position (20% and 100% of maximum flow) the valve gain, KC is relatively
constant.

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116
 Rangeability and Turndown

Turndown
Max. flow/min. controllable flow at specified accuracy

Notes:

• We must understand what we need to select proper device.

• We need to understand vendor criteria in quoting turndown/rangeability.
• Flow devices often quote 10:1 turndown based on measuring flow at 3 to 33 feet
per second.

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117
 Positioners
> High gain control device on control valve

)- Adjusts valve position to match the signal largely

overcoming extraneous mechanical issues

RELAY
ACTUATOR SUPPL Y--,f'ri'fl/1:-, INPUT
BELLOWS

NOZZLE

LINl(AGE
CAM

Notes:

• Mechanical feedback device

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118
 Frequent Problems With Control Valves
Ciiek each box lo learn more

Notes:

• Explain the two phase process of flashing/cavitation (i.e., dropping below

vapor pressure causes flashing, upon pressure recovery, cavitation

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119
 Measures of Control Valve Response
Click each measure
to learn more

Sensitivity

Notes:

• Let's go over the definitions of these measures of loop response and see
how they are affected by the presence of a positioner.
• Backlash
• The positioner is relying on its mechanical connection to the valve or
actuator stem to determine what signal to send the actuator.
• Other than speeding up response which it always does, the
positioner is no real solution to the problem of backlash.
• If a positioner can help all overcome all these nemeses of control valve
operation plus increase speed and precision of response, then we should
use them all the time shouldn't we?
• Positioners can contribute to loop instability and should be avoided in
those applications.

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120
 Measures of Control Valve Response
••• 1.1 &Lil IE
to learn more

Measures of Control Valve Response

Measures of Control Valve Response

i@Bfilti:t

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121
 Measures of Control Valve Response
Cid( each m&ftSlKe
lo learn more

Measures of Control Valve Response

Click each measure
to loam more

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122
 Other Types of Final Control Elements
� Variable Speed drives on pumps
• Usually VFD, Variable Frequency
Drives

> Variable capacity pumps

> Variable speed conveyers

(solids)
• Belts
• Screws

> Electrical power

• Mechanical relay
Chiled water purl1l)S and YFO dr,ves
• SCR (Thyristor) - vary AC power to
a load

Notes:

• Variable speed drives may be used as the final control element.

• Most are now variable frequency drives

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123
1.22 Variable Frequency Drives

Variable Frequency Drives

Advantages Disadvantages

• Significant electrical power • Expensive (initial cost,

savings (1/2 speed uses 1/6 installation, maintenance)
power) • Maybe control valve is
needed anyway for start-up
• Uses standard 3-phase AC and shutdown
electrical induction motor • Special attention is needed
• No control valve needed for parallel pump installations
• Maintenance by the Electrical
• Very fast response Dept. not the Instrument
Dept.
• Very fast response can be
difficult to control

Notes:

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124
 Smart Control Valves

> More information available

Valve position

)- Self diagnostics
Dead band, stickiness

)- Self calibration (automatically move between stops)

Notes:

• Should actually be called a smart positioner valve.

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125
 Summary: Control Valves

Notes:

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126
 Module SB: Analog Communications

Learning Objectives
} Define analog signal

2 Discuss sources of analog signals

3 Explarn analog signal scalmg

4 Oescnbe the types of signaling standards

5 Explarn why signaling rs necessary

6 Explain anatoq-to-dtqital conversion

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127
 Analog Signals

4-20 mA (live zero to provide power and signal loss detection)

• Twe wire or self powered

Live zero to provide power trom connouer

• Iransmrtter functions as a variable resistor

• Stneroec twisted pair with mdrvrduat or overall shield

3-15 psig
• Still exists m some older systems

• Used hve zero for srqnar .oss detection

Notes:

• Note that both spans are divisible by four, allowing a quartile recognition.

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128
 Wire Measurement
r ....
Two-Wire
• Controller provides the power
• Field device acts as a variable resistor (no separate power
supply to transmitter)
• Posmve terminal m controller connects to positive terminal m
transmitter
• If controller input rs grounded, no other signal grounds can exist

,,
in system
\. • Total loop resistance hmrted by voltage of power supply

Four Wire
• Transmitter provides the power so power source (115vac) must
be supplied
• If controller input grounded, transmitter output must float and
vice-versa

Notes:

• Explain the use of 250 ohm resistor (convert 4-20 mA to 1 to 5 V)

• Current signal is low impedance (allows less noise susceptibility)
• Voltage signal is used for receivers as it is high impedance and allows for
less loading
• Explain four wire is used where loop cannot supply power or enough power.

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129
 Traditional (Analog) Loop Diagram

3-15 PSI
SINGLE LOOP

-
CONTROLLER

4-20 mA I r= '
-
r"'

r- 2-WIRE n
LOOP +- "� I II
4-20mA Posi- )
+- "
, J'tioner VALVE

PROCESS INPUT '-' 2-WIRE

LOOP
INSTRUMENT
AIR 20 PSI

Notes:

• Point out that there are two loops here, the measurement loop and the
control loop.
• Output signals power supplied by controller
• Output signal converted to pneumatic signal for most control valve
actuation (I/P converter)

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130
 Digital Signals

All Digital
Foundation Fieldbus
PROFIBUS-PA
Uses addressable
components and
nelwor1<ing
technologies wtnch
reduce the amount of
wiring required

Notes:

• In HART or other smart instrument systems, the digital signal is

superimposed on the 4-20 analog loop. Other than allowing for digital
communications these systems still supply the 4-20 analog PV and have the
same wiring requirements as an analog electrical system.
• All digital systems use addressable components and networking
technologies will reduce the amount of wiring required and wiring
infrastructure is about half the lifetime costs of any instrument system.

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131
 Summary: Analog Communication

Analog signals

Two wire measurement

systems

Four wire measurement

systems

Output signals

Digital signals

Notes:

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132
 Multiple Choice Question
Control Valves

Cavitation occurs in liquid flow when

Q gas and vapor flow become sonic and the flow rate drops.
Q mixtures of fluid and vapor cause erosion of the valve and pipe surfaces.
@ fluid pressure drops below the liquid's vapor pressure and the vapor
pressure is below the outlet pressure.

Q fluid pressure drops below the liquid's vapor pressure and the vapor
pressure is above the outlet pressure.

WitiMhM

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133
 Multiple Choice Question
� CootrolVal=

v Which of the following is a rotary valve?

Q Diagram
QGate

@ Butterfly
QGlobe

WitiMhM

(Multiple Choice, 10 points, 2 attempts permitted)

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134
 Multiple Choice Question
Control Valves

Which type of control valve is MOST appropriate for

handling a low pressure drop in a pipe over two inches in
diameter?

Q linear motion globe/angle type with cage

@ Butterfly
O Ball
Q linear motion globe/angle type with simple plug

WitiMhM

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135
 Multiple Choice Question
Control Valves

Cavitation is typically NOT caused by which of the

following?

Q Internal recirculation

@ Air temperature
Q Flow turbulence
Q Vaporization

WitiMhM

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136
 True or False
Analog Communication

HART is an example of a digital on top of analog signal

which is superimposed on the 4-20 analog loop.

@True

Q False

WitiMhM

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137
 Multiple Choice Question
Analog Communication

Which of the following is true of analog versus digital

communications?

Q Analog
signals.
signals are obsolete and are being entirely replaced by digital

@ The lowest level of communications in the control hierarchy is still

predominantly analog.

Q The tele�ho�e and telegraph are early examples of analog

commumcatlons.

Q Analog signals model a physical quantity using a number of discrete states

between an upper and lower range limit.

41fiMfiM

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138
 Multiple Choice Question
Analog Communication

The standard for electric analog signals is

Q 3-15 psi
Q 250-ohm
0 3000 Hz
@ 4-20mA

WitiMhM

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139
 PRACTICE QUESTIONS – Modules 4 and 5

1) Components in a feedback loop usually have some form of signal communication

because:

a. The controller may be a stand-alone device in a digital system.

b. Wireless communication cannot replace electrical signal transmission.
c. The components may be physically separated.
d. A backup to a manual system must employ shared digital signals.

2) Which of the following statements is TRUE regarding controller tuning from

closed loop tests?

a. The magnitude of the oscillation required can be easily predicted.

b. Moderate disturbances during the testing can be tolerated.
c. Multiple tests are usually not required, minimizing interruption to normal
operations.
d. The technique is based on the assumption that a first order plus dead time
(FOPDT) process model approximates the real process.

3) Which of the following are valid forms of PID algorithm?

a. Proportional and derivative modes on error, integral on measurement

b. Proportional and integral modes on measurement, derivative on error
c. Proportional, integral, and derivative modes on measurement
d. Proportional, integral, and derivative modes on error

4) Which of the following valve actuators has the lowest cost and low friction and
deadband?

a. Electric
b. Solenoid
c. Pneumatic
d. Hydraulic

5) Which of the following would be able to indicate both direction and velocity?

a. +/– 10 V
b. 4 – 20 mA
c. 10 – 50 mA
d. 3 – 15 psi

© 2016, ISA 1
EC00E (V1.2)

140
6) Which control measurement is generally expressed as the ratio of the error to the
full-scale output?

a. Response
b. Accuracy
c. Linearity
d. Repeatability

7) A piping and instrument diagram does NOT include which of the following?

a. Communication between instrumentation devices

b. Accessibility of devices to the operator
c. Failure thresholds
d. Instrumentation devices

8) Which of the following is TRUE of the relay method of tuning?

a. The relay method is not appropriate for automated testing.

b. The process is tested by a forced disturbance using an on-off controller.
c. The controlled variable will stay at the setpoint, with the controller output at the
minimum value.
d. The relay method does not require the establishment of minimum limits for
controller output.

9) The purpose of the plug within the control valve is to

a. send a signal to the control valve to maintain the setpoint.

b. create a flow area that modifies the flow rate.
c. measure the upstream pressure of the property.
d. allow the valve to rotate without any linear motion.

10) A pneumatic positioner is used to

a. increase fast venting capability.

b. overcome packing friction.
c. eliminate use of piston actuators.
d. diagnose itself and the valve actuator system.

© 2016, ISA 2
EC00E (V1.2)

141
11) Which of the following is true of electric signaling?

a. The ISA SP50 committee developed a 3 mA to 15 mA signal standard.

b. The ISA SP50 committee used a three-wire loop consisting of one ground, one
current, and one signal wire.
c. Electric signaling still required an external air supply to actuate the final control
element.
d. Electric signaling overcame the dead time drawback of pneumatic signaling.

12) Which of the following is characteristic of controlled processes?

a. Process measurements usually provide positive feedback.

b. Processes will exhibit zero error.
c. Controlled processes with identical equipment will respond identically.
d. A change in one controller may affect a number of process variables.

13) Trial-and-error tuning is BEST accomplished by

a. minimizing the effects of the decay ratio.

b. using an open loop test to define tuning parameters.
c. adjusting the relationship between the integral time and the period of
oscillation.
d. examining the as-found data set related to the process.

14) What is the difference between a linear valve and a rotary valve?

a. A linear valve is suited to low pressure applications; a rotary valve can handle
high pressure applications.
b. A linear valve has a low recovery; a rotary valve has a high recovery.
c. A linear valve has an integral bonnet; a rotary valve has a separable bonnet.
d. A linear valve is flangeless; a rotary valve is usually threaded.

© 2016, ISA 3
EC00E (V1.2)

142
15) When using a two-wire electric signal loop to carry both the current and the signal,
which of the following is true?

a. Ohm’s Law states that as voltage is raised across a device, the current is
proportionally increased and the change in current is used as the signal.
b. A solid state device such as a bipolar triode transistor is required to keep
variance in voltage from affecting current (within reason).
c. A solid state device such as a bipolar triode transistor will determine the
collector current and not the emitter-base current (within reason).
d. Ohm’s Law states that as voltage is raised across a device, the current
remains constant and current can therefore be used to carry the signal.

16) In the ideal PID algorithm, the derivative mode may be used to

a. control the feedback device.

b. control the reset rate.
c. provide most of the correction.
d. improve response of the control loop.

17) The simplest technique for addressing the nonlinearity problem is

a. trial-and-error tuning.
b. scheduled tuning.
c. closed loop tuning.
d. self-tuning.

18) What is the MOST important thing to know in troubleshooting a valve problem?

a. Temperatures the valve is exposed to

b. Fail-safe mode of the valve
c. Velocity of the valve
d. Composition of the valve

© 2016, ISA 4
EC00E (V1.2)

143
19) Which of the following is true of analog versus digital communications?

a. Analog signals are obsolete and are being entirely replaced by digital signals.
b. The lowest level of communications in the control hierarchy is still
predominantly analog.
c. The telephone and telegraph are early examples of analog communications.
d. Analog signals model a physical quantity using a number of discrete states
between an upper and lower range limit.

20) A two-wire loop with a loop power supply of 26 V has a 200 ohm load resistor and
50 ohms loop resistance. If the maximum current in the loop should be 20 mA, what
is the voltage drop and how much voltage will be across the transmitter at 20 mA?

a. 4 V drop and 22 V across the transmitter at 20 mA

b. 4 V drop and 26 V across the transmitter at 20 mA
c. 5 V drop and 21 V across the transmitter at 20 mA
d. 6 V drop and 20 V across the transmitter at 20 mA

21) Bumpless transfer is an issue in which of the following?

a. Time-proportioning control
b. Manual-automatic switching
c. Direct and reverse acting
d. Interactive PID algorithm

22) Which of the following statements about process disturbances is true?

a. Reducing the variability of disturbances can be done by the feedback

controller.
b. Feedback controllers will maintain the average value of the controlled variable
at setpoint if disturbances are not severe.
c. Severe disturbances will create minimal feedback in the control loop because
the controller minimizes output changes.
d. Reducing the margin of safety will increase the number of process
disturbances.

23) Which of the following is a rotary valve?

a. Diagram
b. Gate
c. Butterfly
d. Globe

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24) In a Watts governor for a steam engine, which of the following represents the upper
range value of the system?

a. Gain adjustment position for the least change in the output signal
b. Bridle position for the highest speed permitted
c. Bridle position for the lowest speed permitted
d. Gain adjustment position for the most change in the output signal

25) A constant current transmitter with a 24 V power supply drops 1.2 V at minimum
current at a resistance of 300 ohms. Which of the following correctly identifies how
the output current is determined?

a. The transmitter will have 22.8 V resulting in 7.6 mA current.

b. The output current is decided by process variable and calibration.
c. The transmitter will have 24 V resulting in a 4 mA current.
d. The output current is decided by voltage on the transmitter per Ohm’s Law.

26) In a direct acting controller, an increase in the controlled variable will cause the
output to

a. decrease.
b. increase.
c. fail.
d. do nothing.

27) In cascade control, the primary loop controller

a. must be significantly faster than the secondary loop controller.

b. establishes the setpoint for the secondary loop controller.
c. eliminates the need for a feedback control loop.
d. corrects and confines disturbances in the secondary loop controller

28) In a post-guided valve application, the valve

a. is well suited for slurries and fluids with entrained solids.

b. uses a shaft to connect the closure member to the actuator.
c. is positioned in the active flow stream.
d. has a cylindrical plug with a seat ring.

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29) In a Watts governor for a steam engine, which of the following allows an operator to
change the span between upper and lower range values?

a. Flyweight
b. Gain
c. Bridle
d. Shaft speed

30) What is the span of a 4 to 20 mA signal, and what is its live zero?

a. 20 mA span and 0 mA live zero

b. 16 mA span and 0 mA live zero
c. 16 mA span and 4 mA live zero
d. 20 mA span and 4 mA live zero

31) A configuration option that permits the user to make the derivative mode sensitive
only to changes in the controlled variable, not to the setpoint, is called

a. proportional band variable.

b. derivative-on-measurement.
c. proportional controller offset.
d. reset action.

32) Which of the following statements is NOT true of feedforward control?

a. Feedforward control is used in a similar fashion to integral control.

b. Feedforward control synchronizes the effects of a disturbance and the control
action.
c. Feedforward control modifies the output of the feedback controller when
feedback and feedforward control are used together.
d. Feedforward control is intended to compensate for external disturbances to a
control loop.

33) In selecting the appropriate control valve, the INITIAL consideration is

a. determining the pressure rating of the valve.

b. calculating the valve sizing coefficient.
c. determining the degree of pressure recovery downstream.
d. identifying the point of highest fluid velocity and lowest pressure.

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34) Which of the following is true of signals prior to when standard signals were
common?

a. Measuring flow by differential pressure involved running a thermocouple

extension wire to the control room.
b. The signal to the final control element for thermocouples was some form of
pneumatic or mechanical transmission.
c. Measuring flow by differential pressure involved a pneumatic relay in which an
electric gate opened and closed a remote airflow.
d. RTDs developed two-wire applications to overcome the limitations of long
leads.

35) In a 4 to 20 mA signal that corresponds to a 0 to 100% scale, what would the

current be at 50%?

a. 4 mA
b. 8 mA
c. 12 mA
d. 16 mA

36) Digital processing of the PID algorithm presents which of the following alternatives
not available in an analog system?

a. Correction of integral windup, eliminating overshoots in the controlled

response
b. Setting of the control to any reasonable arbitrary level
c. Reduction of the error between setpoint and output
d. Calculation of the increment by which the controller output should be changed

37) Which of the following statements about forward decoupling is NOT true?

a. It allows setpoint changes to affect only the desired controlled variables.

b. It uses a configuration where each process input is a combination of a
controller output and the other process input.
c. It is used to reduce control loop interactions.
d. It is closely related to feedforward control.

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38) Which type of control valve is MOST appropriate for handling a low pressure drop in
a pipe over two inches in diameter?

a. Linear motion globe/angle type with cage

b. Butterfly
c. Ball
d. Linear motion globe/angle type with simple plug

39) Which of the following statements about controller tuning is accurate for most
applications?

a. Controller tuning techniques require a formal testing of the process.

b. A response to setpoint change that provides a quarter-amplitude decay
reaction curve is preferred.
c. The penalty for aggressive tuning is that a disturbance will require a greater
time to return to setpoint.
d. The controller tuner must decide the acceptable criteria for loop performance
after the actual tuning.

40) What is the benefit of selector control?

a. It allows a process limit to be exceeded in an abnormal operation.

b. It eliminates the need for external reset on PID algorithms.
c. It allows a process to operate closer to the optimum operating point.
d. It eliminates the variability in a control loop.

41) Cavitation occurs in liquid flow when

a. gas and vapor flow become sonic and the flow rate drops.
b. mixtures of fluid and vapor cause erosion of the valve and pipe surfaces.
c. fluid pressure drops below the liquid’s vapor pressure and the vapor pressure
is below the outlet pressure.
d. fluid pressure drops below the liquid’s vapor pressure and the vapor pressure
is above the outlet pressure.

42) Which of the following statements is TRUE regarding controller tuning from open
loop tests?

a. The data is valid at multiple operating points.

b. The process can be approximated with a first order plus dead time model.
c. Measurement noise may obscure the results of the test.
d. The normal process operations may be interrupted for testing.

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43) Cavitation is typically NOT caused by which of the following?

a. Internal recirculation
b. Air temperature
c. Flow turbulence
d. Vaporization

44) Which of the following lists the standard range of pressure determined to represent
the lower and upper range values for the input signal?

a. 0 to 10 psi
b. 0 to 15 psi
c. 3 to 10 psi
d. 3 to 15 psi

45) In a simple complete measurement and control loop, the current output from the
controller is sent to what element on the control side?

a. Flapper and nozzle or pilot valves

b. I/P current coil
c. 250 ohm transistor
d. Transmitter

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 Modules 4 and 5 Practice Question Answer Key

1. c 24. b
2. b 25. b
3. d 26. b
4. c 27. b
5. a 28. a
6. b 29. b
7. c 30. c
8. b 31. b
9. b 32. a
10. b 33. b
11. d 34. b
12. d 35. c
13. c 36. d
14. b 37. b
15. b 38. b
16. d 39. b
17. b 40. c
18. b 41. c
19. b 42. c
20. c 43. b
21. b 44. d
22. b 45. b
23. c

© 2016, ISA
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 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 6

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Module SA: Control System Documentation

Requirements for Documentation

ISA Standards for Documentation

Types of Documentation

Learning Objectives
• Identify the documents typically used to define the control
system of a continuous process.

• Explain the sequence of document development for the

control system of a continuous process.

• Understand the purpose and contents of a process P&ID.

• Explain the meaning of the symbols used to define control

system components.

• Recognize the differences in how a loop is depicted on a

P&ID and a loop diagram.

• Recognize the difference between mandatory and consensus

standards.

• Explain the use of and the importance of instrument

numbers.

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 Documentation Requirements

1990 Clean Air Act API Recommended

Amendments Section Practice 750
304
• Published 1n January
• Required that OSHA 1990 AIChE Guidelines for
develop and implement a • Intended to help prevent Technical
chemical process safety the occurrence of, or lo Management of
standard lo prevent minimize the
accidental releases of
Chemical Process
consequences of,
chemicals that might Safety and
catastrophic releases of
threaten employees ioxc or explosive Guidelines for Hazard
• OSHA issued the materials Evacuation
process safety • From paraqraph 2.3 'The Procedures (1992)
management (PSM) mechanical design
standard in February mrormanon should
1992 include ... piping and
instrument diaqrams.c"

Notes:

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 29 CFR 1910.119 (d) Process Safety Information
CFR = Code for Federal Regulabons, US Government

Typical documents and information required

• Process flow diagrams • Electrical classification

• Process chemical drawings
description • P&IDs
• Inventory amounts • Relief system design
• Material safety data • Ventilation system
sheets (define hazards) design
• Safe operating limits • Design codes employed
• Consequences of • Material and energy
deviation balances for processes
• Materials of construction built after 05-26-92
• Safety Systems design

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 29 CFR 1910.119 (f) - Operating Procedures
CFR = Code for Federal Regulahons, US Government

Typical documents and information required

• Procedures for normal • Properties and hazards of

operation, startup, and chemicals used
shutdown
• Precautions to prevent exposure
• Operating limits
• What to do if exposed
• Consequences of deviation
• Safe maintenance procedures
• Procedures for correcting
• Quality controls
deviation
•
• Control of inventory
Safety and health
considerations • Safety Systems and their
functions
• Emergency Procedures

Notes:

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 29 CFR 1910.119 (I) - Management of Change

Required for management of change to documentation.

process chemicals, technology, equipment and facilities

Typical documents required

• Description of change
• Temporary or permanent
• Technical basis for change
• Process hazards
• Analysis of change
• Resolutions of recommendations
• Authorization requirements

Notes:

• This is requirement for MOC

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 ISA Standards Used for Documentation

ISAS.1-2009 - Instrumentation Symbols and Identification

ISAS.4-1991 - Instrument Loop Diagrams
ISAS.5-1985 - Graphic Symbols for Process Displays

P-102A

.....
" E-106
,. . •
"
•
'··®
�

'·... . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . .. . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . "
Notes:

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 Types of Documentation
> Process Flow Diagrams

> Piping and Instrument Diagram

(P&ID)

> Instrument Index

> Instrument Specifications

> Instrument Location Drawings

> Loop Diagrams

> Instrument Installation Details

> Sequence of Events

> Logic Diagrams

> DCS/PLC Program

> Operations Instructions

Notes:

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1.11 Process Flow Diagram

Process Flow Diagram

e jl"O FLARE

D-001

CD
TO SEPARATOR

••
0
...
ll"'lM!I
�-
'"'!"-
.........>", ......
-·-
..- ,401� .... el

Notes:

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159
1.12 P&IDs and ISA Standards

P&IDs and ISA Standards

There is no "standard" P&ID

ISA standards ISA5.1-2009 is the standard for developing

symbolism for instrumentation and control systems in:
• chemical and petrochemical
• power generation
• pulp and paper
• metal refining
• air conditioning
• other industries

ISA standards can be used in continuous, batch, and

discrete processes

Notes:

• No standard P&ID but is the document of primary importance for all phases
of a project.

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160
 �--- -- -�\(TE'\,�-
Piping & Instrumentation Drawing (P&ID)
COLD FLUID IN

: I 10�
TY
�10

STEAM ---f;J:'.f-----1 FT )-+-(-';;;-;j

10 10�
FV
COO DEN SATE 10
RETURN ------1 f-f- 1f---{;J:'.f--- HEATED
'-:::7,,:=:'./ 1 �
FLUIDOUT

Note: No ISA standards

for DCS or Foundation
Fleldbus control strategies

Notes:

• Explain signal types, instrument location, fail safe operation of valves.

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 Instrument Numbering

Notes:

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 Loop Diagram

'""""'
n-·-
FIELD PROCESS AREA CABU SP!lEAD IIG AREA CAB�ET

•• • =·
cm,

---- -
'

�l---@8j�··
-
CMO
" aa �

3-- �:
"
---
-

• -' Pfl.1
---
-" ' PR.,. �
M
___
\_
nee ;
-' "
M
- �
SllELOBENO H30l-2 -' -" "'
BACK& TN'E.
�

l
,._,,
CABLE

<a
FYX)M
craa

i- ffi :�·�5:�
- --- -••
� _: -",- 1-----------
-
PR:,2

O '
s
Y:101·2
' -
S .. ELD BEND
AS20PSIG BACK & TAPE

Notes:

• Note that this is not a true, complete loop diagram, only a representation of the
information that can be identified.
• ISA publishes ANSI/ISA5.4 - Instrument Loop Diagrams as a standard for this type
of drawing.
• This represents a loop diagram, shared display and control, minimum required
items:
• Loop components
• Location of devices
• Describes the interconnection of instrumentation
• Provides cable and termination information
• Energy sources
• Actions or fail-safe positions of control devices
• Given that the loop diagram contains different type of info than the P&ID, who
might use the loop diagram? How might it be used?
• Design
• Installation
• Troubleshooting

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163
 Installation Detail

• Shows the method to install the instrument

• Defines the materlals needed to set an

instrument in place and connect it to the
process, and to the transmission system

• Some firms use a series of "standard" details

for each type of installation

• Others use a detail specifically for a tag

number

Notes:

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164
 Installation Details

m,

.. , ' DIT!fl<>
PIPING
OR VESSEL
3/'l NPT
T•�(YJORTC')
V•VAF.!,..LE
T empera\ure Element
!AG# V-

Item 'atenal Descnphon

TE-1255- 11/ 2
TE-1324 1CY
Cast Iron Head, explosion-proof TE-1421
Cham Galvanized steel

eve Flexible conduit 3/4", 24" long

Notes:

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165
 Summary: Control System Documentation

• Requirements for Documentation

• ISA Standards for Documentation
• Types of Documentation

I 11m11111 • l "" ""' ss;

k1..,..._
1 1111_
11111
·� \
% �%
. __

i 111\111111 •

1111111111 *
Notes:

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166
 Architecture · - ... - . ..
_ IW!)
-
1HMI
Displays • ....•
Functional Locationii::·
�., . . .

Learning Objectives

} Explain the existence and purpose of control equipment.

2 Descnbe the evolution of control systems

3 Descnbe the advantages of PLC control.

4 Describe the purpose and application of SCAD A systems,

dtstnbuted control, and hybnd control.

5 Explain the advantages of d1g1tal fieldbus commumcallons .

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167
 Control Hardware

1910 1940 1960 1970 1lIBO 1990 2000

Notes:

• Note that there are many different types of controllers and control systems in use
today in industry. No matter what the hardware is, the function is still the same -
it’s the device that maintains the process variable at the set point.
• Analog Controllers, either pneumatic or electronic, were the standard control
devices in use for years (still used). Many of these had digital interfaces that
allowed switching from manual to automatic, adjustment of set point, or
adjustment of the output signal to the valve. Tuning was usually done manually.
• The first control devices were directly connected to the process (field
mounted).
• Later, both the pneumatic and electronic analog controllers were usually
mounted on panel boards in a central control room.
• Pneumatic controllers, recorders, and other devices were
connected to the field instruments by way of pneumatic
transmission tubes.
• Electronic controllers, recorders, and other devices were connected
to the field instruments by way of current loops.
• Most new controllers are microprocessor-based. Many are designed to handle a
single loop, while others can handle multiloop arrangements. They provide PID-
type control, but much more advanced algorithms are readily available. Many have
provision for automatic tuning, Interfaces to other control system equipment are
facilitated via digital interfaces, usually operating in conduction with a bus.

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168
 Distributed Control System (DCS)

System Workstation Operator Station Apphcahon Server

Fast Ethernet

Fteldbus

�--
Convenbonal Wiring

Notes:

• A modern DCS will be many vendors, many functions, different hierarchy networks
• While busses are shown most will be switched point to point

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169
1.23 Elements of a Distributed Control System

Elements of a Distributed Control System

:>- HMI
Keyboard
Display screen
Graphic display
• Trend graph display
• Alarm summaries
:>- Data highway(s)
> Microprocessor-based controllers
> Process units

Notes:

• Process Units are the sensor/transmitters and final control elements

• In some cases, the controllers are in the process units themselves (Fieldbus and
some HART)

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170
 History of DCS

Prior to OCS (1975), ocs Today's DCS

one computer
• Originally used many "Hybrid" systems
computers {each wrth up combme continuous
"Supervisory Control" 1f
the computer aqustec to 8 loops) but evolved and batch
set pomts lo many loops per characteristJcs with
compuler some discrete functions
"Direct Digital Control"
11 the computer outputs • Used proprietary Advanced control
went to valves technology until 1990s, commeucanons
now more open
Ope a
• Are preproqrammed lo
do specific continuous
and batch tasks

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171
 DCS Graphic Display

"
'" •av
-;

'" OPEN Typic•l 1990's Graphic

FLOW
SP 63'.4
sv ""

-;
gf!_ ,,.
,av
OPEN
FLOW
SP 22%
� 22"

TEMPERATURE
r-r
FLOW
SP 18%
'"
SP 30%
PV 31%
"' � ""'

Notes:

• Point out the lack of PID lines even though symbols are roughly equivalent

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172
 DCS Trend Display

100.00

0.00

HR 4 8 12 16 20

Notes:

• Modern chart recorder

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173
 DCS Alarm Summary

Tag Alarm PV
Time Name Type Status

10:02 TT301 LO 35%

TT302 HI 65%

•
Notes:

• Extremely useful to troubleshoot

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174
 Geographical Distribution

.. Saves on Wiring
Control Room Used on most new installations

Notes:

• Uses remote controllers and I/O

• Is actually a Foundation Fieldbus architecture

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175
 Functional Distribution

.vea 1 Area 2 Area 3

CPU�O CPU�O CPU�O

'"
Used where centralized wiring
Control Room already in place. such as retrofits.

Notes:

• Couldn’t or wouldn’t replace wiring

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176
 Control Equipment Summary

Progress
Architecture
HMI

Notes:

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 Multiple Choice Question
Control System Documentation

In a document development process, of the items listed,

which item would be developed first?

Q Loop diagrams
@ Instrument list
Q location plans
Q Logic diagram

WitiMhM

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178
 Multiple Choice Question
Control System Documentation

Which of the following is generally NOT recommended for

inclusion in a P&ID?

O Piping
@ Vessel data sheets
Q Primary flow
Q Control system definition

WitiMhM

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179
 Multiple Choice Question
Control System Documentation

Which of the following documents requires the greatest

amount of engineering time?

@ Specification forms
Q Installation details
Q location plans
Q Logic diagram

WitiMhM

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180
 Multiple Choice Question
Control System Documentation

Which of the following tag numbers applies to a project in

which there are no area, unit, and plant numbers?

{!)FT-2

O FT-102
0 1-FT002
0 01-FTOOl

WitiMhM

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 Multiple Choice Question
Control System Documentation

The P&ID is developed by

Q the construction department, with input from engineering.

@ members of various design disciplines as the project proceeds.
Q independent suppliers who will furnish the specified equipment.
Q the engineering department, with input from construction.

WitiMhM

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182
 Multiple Choice Question
Control Equipment

Which of the following is true of programmable logic

controllers (PLCs)?

PLCs are usually configured in groups, with one PLC covering multiple
Q functions.
@ PLCs did not historically support redundancy.
Q PLCs have generally adopted the Ladder logic standard.
Q PLCs did not historically support use in a work cell.

WitiMhM

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 Multiple Choice Question
Control Equipment

Which of the following is true of programmable logic

controllers (PLCs)?

Q Controller types follow a distinct hierarchy from worst to best.

Q Older control system types have been made obsolete by newer types.
Engineers are "logical" and select controller types based solely on
Q function.
@ Application requirements dictate the "best" controller type.

WitiMhM

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 PRACTICE QUESTIONS – WEEK 6

1) Assuming that any of the below choices would be acceptable for a given application,
which of the following would MOST LIKELY be the least costly feedback solution?

a. 1,000 count incremental encoder

b. 25-bit multi-turn absolute encoder
c. Master vernier resolver set
d. Laser interferometer

2) In tuning an axis for point-to-point moves, what would the automation professional
look for?

a. Axis that has no following error

b. Axis with a lot of feedforward to adjust for velocity changes
c. Axis that quickly makes the move but with minimal or no overshoot
d. Extremely hot axis with very little following error

3) Which of the following can be considered a fixed speed motor?

a. Stepper
b. Multiple pole
c. Wound rotor
d. Synchronous

4) Which of the following actuators should be used for simple point-to-point positioning
systems that do NOT require a lot of stiffness and are constrained by purchase
price?

a. Linear motor
b. Hydraulic actuator
c. Brushless AC motor
d. Pneumatic actuator

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5) When measuring the performance of a motion control axis, which of the following is
the correct definition of the bandwidth and what is the bandwidth of the position loop
with typical industrial machinery?

a. Bandwidth is the point where the output is 0.7071 of the input in amplitude,
and typical industrial machinery is at about 30 Hertz.
b. Bandwidth is the point where the output is 0.7071 of the input in amplitude,
and typical industrial machinery is at about 3 Hertz.
c. Bandwidth is the point where the output is 0.636 of the input in amplitude, and
typical industrial machinery is at about 3 Hertz.
d. Bandwidth is the point where the output is 0.636 of the input in amplitude, and
typical industrial machinery is at about 30 Hertz.

6) A pneumatic cylinder is needed to provide linear motion in a small space. Cylinder A

has a cylinder area of 2.43 square inches and can be operated at 66 psi. Cylinder B
has a cylinder area of 1.97 square inches and can be operated at 80 psi. If space is
at a premium, what is the force of the BEST choice for the cylinder?

a. 27.2 pounds
b. 40.6 pounds
c. 157.6 pounds
d. 160.4 pounds

7) Which of the following would be MOST likely to provide velocity control feedback for
a hydraulic cylinder?

a. Magnetorestrictive sensor
b. Encoders
c. Linear potentiometer
d. Proximity sensor

8) Which of the following is true of a stepper motor?

a. It operates at a low slip speed.

b. It is used open loop.
c. It is used closed loop.
d. It is applied to a flux vector drive.

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9) Which of the following allows a permanent magnet DC servo to turn the rotor through
360 degrees?

a. Servo eliminates the need for a field winding by using a wound rotor with a
three-phase Y, which adjusts current in the windings to produce smooth
torque.
b. Brush commutator uses brushes to switch current direction in the windings.
c. Transformer converts DC to AC current to switch current direction.
d. Servo uses a wound rotor to create three cascaded loops, one for current, one
for torque, and one to balance the torque against the permanent magnetic
field.

10) In a clean environment, a large amount of linear force is needed with no resilience
and a high degree of control. Which of the following would satisfy these
requirements if the devices can be fairly expensive?

a. Electrical rotary motor with a lead screw

b. Hydraulic piston
c. Pneumatic piston
d. Hydraulic rotary motor with a lead screw

11) Which of the following is associated with a motor with two-quadrant operation?

a. Motoring the load in the reverse speed and torque direction

b. Regenerative braking
c. Using reverse torque to stop
d. Coasting to a stop

12) Automation moving from human controlled machinery to automated control replaced
the measurement scale with which of the following?

a. Operator (input device)

b. Feedback device
c. Electronic controller
d. Actuator (motor)

13) Which of the following would enable an electrical controller and actuator to have
exact control over both motion and position?

a. Solenoid control valve with a feedback loop from a limit switch

b. Proportionate control valve with a feedback loop from a magnetorestrictive
sensor
c. Solenoid control valve with a feedback loop from a magnetorestrictive sensor
d. Proportionate control valve with a feedback loop from a limit switch

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14) A servo with a feedback device is attached to the load and is generating an error
signal from the summing network. How is this error calculated, and what will the
drive and motor do when the device continues to be in error?

a. Summing network subtracts the feedback number from the digital command to
find the error; the motor will continue to drive the load until the error is zero.
b. Summing network adds the feedback number to the digital command to find
the error; the motor will cease operations until the error is zero.
c. Summing network subtracts the feedback number from the digital command to
find the error; the motor will cease operations until the error is zero.
d. Summing network adds the feedback number to the digital command to find
the error; the motor will continue to drive the load until the error is zero.

15) Which of the following is typically used to provide position feedback for a linear
hydraulic axis?

a. Resolver
b. Laser interferometers
c. Encoder
d. Magnetorestrictive transducer

16) Which of the following is the innermost loop of a servo motion control system that
resides in the drive and is typically set by the vendor?

a. Velocity loop
b. Torque loop
c. Three-phase Y
d. Position loop

17) Which of the following correctly explains how encoders are used to determine the
direction of travel?

a. Encoders use Sin and Cos signals to produce enough counts per rev to
determine an absolute position and direction of travel.
b. Encoders use a disc with slots cut in it to create a pulse train as the shaft is
turned; the count of the pulse train indicates the direction of travel.
c. Incremental encoders use a disc that reveals a specific binary code based on
the position of the disc, and the direction of spin indicates direction of travel.
d. Encoders have two photo detectors set 90 degrees apart, and the channel that
rises first shows the direction of travel.

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18) Which of the following is true of a servo system that has its drive in velocity mode?

a. The velocity loop will reside in the controller, which will keep the loop in tune.
b. The servo drive is responsible for closing both the velocity and torque loops.
c. The controller handles the velocity loop and automatically tunes the system so
it can accurately follow the velocity command.
d. The position loop must be properly tuned before the velocity loop can be
tuned.

19) The major cost associated with implementing first principal models is due to

a. outside support.
b. software cost.
c. yearly maintenance costs.
d. increased frequency of lab samples.

20) Which of the following is characteristic of the operation of an MPC?

a. MPC is more sensitive to a decrease in dead time than to an increase.

b. An MPC goes unstable with an increase in process dead time.
c. MPC performs best in a process where the dead time is smaller than the time
constraint.
d. An increase in the process dead time of 50% can cause damped oscillations.

21) Which of the following is true of most stack probes?

a. They eliminate the need for air cleaning of the system.

b. They are heated to keep the sample gas above the dew point.
c. They play a minor role in calibration of the system.
d. They provide a backup connection to the source being monitored.

22) Which of the following is true of a chart recorder?

a. It monitors in parallel with the DAS system.

b. It does not take over monitoring duties if there is a DAS failure.
c. It is seen as part of the DAS system.
d. It assists the CEMS in passing the required weekly calibration.

23) Which of the following is the PRIMARY reason for complexity in HVAC systems?

a. Zone controls and their complex sensor feedback

b. Internet-based off-site building management requirements
c. Optimizing central equipment with individual zones
d. Need for green designs such as passive systems

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24) The PRIMARY purpose of process modeling is to

a. correct errors in the process as they occur.

b. determine the complexity of the system.
c. provide controlled variables from process outputs. d.
determine how well a controlled variable can be predicted.

25) The PRIMARY advantage of an ANN lies in its ability to

a. handle correlated process inputs.

b. compile physical property data.
c. interpolate nonlinear relationships.
d. accurately identify dynamic responses.

26) Which of the following is typical of the cost for control systems?

a. The cost of an adaptive controller depends on the number of possible

disturbances.
b. The cost of MPC software depends on the number of manipulated variables.
c. The FLC and an adaptive controller are significantly more expensive than a
PID.
d. The installed cost of MPC and RTO is based on plant capacity.

27) The sample line in a CEMS is heated to

a. move the sample more quickly through the line.

b. preserve the integrity of the sample.
c. eliminate chemical absorption.
d. test the volatility of the sample at various temperatures.

28) A relative accuracy test audit (RATA) does NOT include which of the following basic
tests?

a. Linearity check
b. Pressure check
c. Cycle/response time test
d. Gaseous stratification

29) Which of the following refers to the suite of communications protocols used to
connect hosts on the Internet?

a. Niagara
b. oBIX
c. TCP/IP
d. BACnet

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30) Models for process design have “low fidelity” in terms of process dead time, cycling,
and noise because which of the following is NOT adequately modeled?

a. Pressure
b. Valves
c. Temperature
d. Errors

31) Which of the following is true of fuzzy logic?

a. It relies on an operator’s technical understanding of the system rather than

experience.
b. It is mathematical in nature and unlike human logic.
c. It can be implemented in hardware but not software.
d. It uses imprecise data to arrive at a definite conclusion.

32) A reverse osmosis water purification system takes impure water by-product from
certain operations at a chemical plant, detects the purity level of the water, controls
whether or not to purify the water, purifies the water as needed, and then reports
back to the overall system and supplies clean water for new operations at the plant.
Which of the following describes this water purification system?

a. Equipment entity (unit)

b. Control module (unit)
c. Control module (process cell)
d. Equipment entity (process cell)

33) Which of the following is true of a self-limiting heat tracer?

a. It is best used when temperatures must be carefully controlled.

b. It becomes more resistive as temperatures rise.
c. It has a temperature controller that limits power delivery.
d. It is acceptable for temperatures above 250 degrees Fahrenheit.

34) The EPA becomes aware that a plant does not have a quality assurance program in
place for its CEMS/DAS/RTU system. The most likely outcome is that

a. the EPA will fine the company from the date of the violation.
b. the company will hire an outside contractor to fulfill QA requirements.
c. the company has the discretion to determine if a QA plan is necessary.
d. the EPA will give the company 30 days to put a plan in place.

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35) Which of the following enables companies to deliver sophisticated video and audio
content?

a. Traditional Web browser

b. Data replication technology
c. Increased bandwidth
d. Load balancing software

36) Which of the following is true in terms of variable correlation?

a. If the current value of an input or output variable depends upon past values of
the same variable, there is cross-correlation between inputs.
b. If one variable depends upon another variable, there is a cross-correlation
from cause and effect.
c. It is easiest to obtain by examining historical data that does not change.
d. Correlation is not indicated in tests based on experimental models.

37) Which of the following statements about fuzzy logic controllers is true?

a. The rules for the fuzzy logic replacement for a PI controller have two
antecedents and two consequents.
b. A fuzzy logic controller is tuned by adjusting the scale factors.
c. If-then statements are developed as backup rules in case of system failure.
d. A fuzzy logic controller cannot replace a PID controller unless the fuzzy
controller is linear.

38) A sample chiller is designed to

a. select the calibration gas that is sent to the probe.

b. condense out the moisture.
c. remove particulate matter.
d. identify leaks in the sample gas line.

39) All of the following are included in the scope of building automation EXCEPT

a. fugitive emission control.

b. fire/life safety control.
c. energy management control.
d. video control.

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40) Which of the following will NOT verify and improve the accuracy of a model’s
prediction of the dynamic response of the controlled variable?

a. Test skid
b. Laboratory measurements
c. Historical data
d. Online tests

41) Self-tuning is indicated when

a. an operator is diligent in entering tuning parameters as operating conditions

change.
b. a set of tuning parameters needs to be generated at startup.
c. process characteristics can be categorized from simple measured data.
d. process characteristics do not change rapidly.

42) The primary function of bias calibration is to

a. remove the particulate before sending the sample to the probe.

b. check the sample gas transport system for leaks.
c. eliminate the need for special calibration during maintenance.
d. eliminate the need for a solenoid to send the gas to the probe.

43) Which of the following is true of HVAC systems?

a. Systems must conform to consistent parameters.

b. Most chillers, boilers, pumps, and air-handling equipment are based on simple
feedback of space temperature.
c. Systems are usually viewed on-site only.
d. Thermal zones usually reflect internal thermal barriers of the building.

44) Which of following occurs with a linear dynamic estimator?

a. The controlled variable is synchronized with a field or lab measurement.

b. MPC techniques are modified for use within the LDE process.
c. A tieback model can be used to show the effect of multiple disturbances.
d. The process gain changes very little.

45) Which of the following is true of the newest generation of adaptive controllers?

a. The algorithm uses model switching to adapt most quickly.

b. They have the same performance as traditional PIDs.
c. The degree of performance and robustness is preset.
d. The controller must wait for an excitation and adaptation when the controller
enters a region.

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46) Which of the following is BEST suited to a gas turbine power plant that must identify
NOx emissions?

a. Non-dispersive infrared gas analyzer

b. Constant potential electrolysis
c. Chemiluminescence analyzer
d. Solution conductivity analyzer

47) The BACnet movement and products based on the Echelon chip started a trend
toward which of the following?

a. Low cost, high functionality proprietary controls

b. Industry open standards
c. Low cost pneumatic controls
d. Internet/browser-based technology

48) Which of the following is true of multivariate statistical process control?

a. Process inputs are not sorted into principal components.

b. The model is not able to predict abnormal batch behavior.
c. The process mimics the behavior of the brain.
d. Data points, connected in the proper time sequence, form a worm plot.

49) Which of the following is NOT encompassed in model predictive control?

a. Cascade control
b. Feedforward
c. Constraint control
d. Decoupling

50) Of the following analyzer categories, which is most commonly used for measuring
sulfur dioxide?

a. Non-dispersive infrared gas

b. Infrared absorption
c. Constant potential electrolysis
d. Solution conductivity

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51) Which of the following were some companies more prepared to adopt because they
designed their building automation systems around standardized presentation
models used in IT?

a. Industry open standards

b. Internet/browser-based technology
c. Low cost pneumatic controls
d. Low cost, high functionality proprietary controls

52) A steady state first principal model

a. eliminates pressure-flow solvers that make convergence of the model more

difficult.
b. is modeled by breaking a process volume into several interconnected
volumes.
c. can run in real time or faster than real time.
d. must start at the same point in time as the control system and run at the same
real time factor.

53) The PRIMARY reason for failure in adaptive controllers is

a. control valve time constraints.

b. size of change in the controller output.
c. excessive deadband and stick-slip.
d. calibration span.

54) A sample gas containing a large volume of oxygen in the presence of a magnetic
field will

a. experience a drop in pressure.

b. move vigorously.
c. move slightly.
d. experience no pressure change.

55) As a result of the freedom of information on the Internet and Web services, the large
building automation industry is converging with

a. internal process control systems.

b. middleware.
c. corporate enterprise systems.
d. energy management control systems (EMCS).

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56) Both the LDE and MSPC

a. require that there be no correlation between process outputs.

b. handle hundreds of inputs.
c. excel at interpolation of nonlinear relationships.
d. can model process outputs with significant time constants.

57) Which of the following is true of the functioning of an adaptive controller?

a. The process is excited by a known change to identify the process gain, dead
time, and time constant.
b. Changes in valve position made during automatic operating mode trigger the
identification of the process model.
c. When the process exhibits a runaway response, it will wait for the time to
steady state.
d. The complete process model may be extracted from the combined model of
the controller and process for unknown disturbances.

58) Which of the following is NOT an example of the concept of control as a function?

a. Worker turning off a valve in response to a flashing light

b. Turbine spinning due to water from a waterfall
c. Worker pouring molten iron into a mold in response to a verbal command
d. Limit switch triggering a valve to close

59) Which of the following is true of optical flow meters?

a. They increase the temperature of the flue gas.

b. They are used for the calculation for stack flow.
c. They require frequent calibration.
d. They are triggered by the density of the flue gas.

60) Which of the following correctly indicates how direct digital control system elements
are specified?

a. Reusable identifiers for each type of hardware and software point

b. Unique numbers for software points and reusable identifiers for each type of
hardware point
c. Unique numbers for hardware points and reusable software points identified by
type code only
d. Unique number for each hardware and software point

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61) Both ANN and MSPC will

a. risk identifying a process input as a cause.

b. work with less than five data points for each process input.
c. reject feedback correction from an online measurement.
d. model process outputs with significant time constants.

62) An advantage of the MPC over the PID is that it excels at handling

a. backlash and stick-slip.

b. rate setting of greater than 60 seconds.
c. multivariable control problems.
d. unmeasured load disturbances.

63) A unit can contain all of the following EXCEPT

a. actuators and sensors.

b. control module.
c. process cell.
d. equipment module.

64) The Clean Air Act of 1970

a. mandated monitoring of stack emissions for selected industries.

b. established a national research agency to reduce pollution.
c. phased out the use of high sulfur coal and oil.
d. contained the first mention of the phrase “clean air.”

65) The primary purpose of the DAS/RTU is to

a. provide a backup to the CEM system.

b. record required calibrations and monitoring.
c. calculate a reasonable degree of error for CEM systems.
d. calibrate pollutants for zero and span.

66) Which of the following uses passive designs and interactive control of a building as
well as outdoor air when possible for free cooling?

a. Direct digital control

b. Green building movement
c. Energy management control system
d. Client comfort system

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 Week 6 Answer Key

1. a 49. a
2. c 50. b
3. d 51. b
4. d 52. a
5. b 53. c
6. c 54. b
7. a 55. c
8. b 56. a
9. b 57. a
10. a 58. b
11. c 59. b
12. b 60. d
13. b 61. a
14. a 62. c
15. d 63. c
16. b 64. a
17. d 65. b
18. b 66. b
19. a
20. a
21. b
22. a
23. c
24. d
25. c
26. b
27. b
28. b
29. c
30. b
31. d
32. a
33. b
34. a
35. c
36. b
37. b
38. b
39. a
40. c
41. b
42. b
43. d
44. a
45. a
46. c
47. b
48. d

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This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 7

Notes:

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 Module 7 A: Basic, Discrete Sequencing
and Manufacturing Control

Learning Objectives

} Describe actuabon technologies and their control.

2 Describe output mterfacmg techniques

3 Describe sensmg technologtes.

4 Discuss remote and networ1<ed input and output

technologies used m automation control

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 Role of Discrete Devices

Notes:

• The trend is to smarter devices, that network, such as ASi and DeviceNet,
the same function is performed only a greater sophistication is realized

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-- Input Devices

Output Devices

Valves Relays
Motor Starters - 120 VACNDC
- 240 VAC
Solenoids - 24 VACNDC
Control Relays Triac
Alarms - 120/230 VAC
Lights Transistor
Fans - 24 voe

Horns

Notes:

• Briefly mention where these are used (unless obvious)

• Warning on use of 120/230 VAC in I/O racks - safety hazard

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 Summary: Discrete Field Devices

- -
Notes:

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 Learning Objectives
} Explam and understand concepts of discrete and sequential
control.

2 Understand the basic operational principles of PLCs

3 Explam mlerlock1ng and its uses

4 Explain the need for sequencing and its uses

5 Descnbe use of IEC 61131 programming languages.

6 Explain basic selection cntena for PLC

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 PLC Block Diagram

1/0SYSTEM POWER
AND HOUSING SUPPLY

SOFTWARE CENTRAL
PROCESSING
UNIT

MEMORY

PROGRAMMING
DEVICE

Notes:

• The major components of the PLC system are shown in the overhead.
These major parts include:
1. The I/O system and housing
2. Central Processing Unit and Memory
3. System Power Supply
4. Programming device
5. Programming software

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 Simplified PLC System

SOFTWARE
L1 L2 L1 L2
120Va 120 Vac
LIMT
SWITCH
D SOLENOID
VALVE

PUSH CONTROL
BUTTON RELAY
� INPUT OJTPUT
MODULES ceu MODULES

LEVEL PANEL
S\/v1TCH """'" LIGHT
' ,
SYSTEM
eOWER
SUPPLY

Notes:

• A simplified diagram of a programmable controller system is shown in the

overhead, where instruments, such as limit switches and panel-mounted push
buttons, are wired to an input module, and the output module in turn operates
devices such as electric solenoid valves and indicator lights. The input and output
modules are controlled by the logic units.
• The input and output modules provide the interface between the field devices and
the processor. This interface is used to rectify the input voltage if ac voltage is used,
filter the input voltage, scale the input voltage, and electrically isolate the field
voltage from the low, level voltage used by the processor and the memory.
• The processor, in conjunction with the memory, provides the control for scanning
the input and output modules and interfacing with the control program stored in
the memory.
• The power supply provides clean, filtered, regulated voltage to operate the CPU,
memory, and the logic circuits on the input and output modules.
• The programming terminal is, at the present time, a personal computer. This
coupled with the programming software provides the means to interface to the
PLC for programming and monitoring of the PLC operation.

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 Counting in Decimal and Binary

,_
Natural
Cncrnal H&xadecm<>I

0000 0 0

'' '''
0001
0010
00 1 1 a
0100
0 101 '
5 '5
01 1 0 6 6
0 1 1 1 7 7

1000 a B
1001 9 9
1 01 0
" A

""
1011 B
1 1 00 c
1101
" D
1 1 1 0
1 1 1 1 "" E
'

Notes:

• This slide shows the relationship between a decimal number, 0 to 15, its
binary equivalent and the hexadecimal value assigned to that binary
pattern.

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 Input/Output Systems

Discrete 1/0 modules

• AC/DC input modules
aid£ Jtix ' '
• AC/DC output modules
• Relay output modules

Analog 1/0 modules •

• Analog input modules
• Analog output modules
• RTD and Thermocouple input modules
• Encoder/counter input modules

Notes:

• The I/O modules provide the physical connection between the field devices
and sensors on the process and the CPU.
• Field sensors measure physical quantities of the process, such as flow, level,
pressure, motion, etc. The input modules convert the sensed signal into
binary coded information that can be used by the CPU to control the
process or machine.
• Output modules convert binary signals from the CPU into electrical signals
that drive field devices to control the process or machine.
• Discrete input modules are connected to instruments that provide on/off,
open/closed type signal.
• Discrete output modules are connected to control devices that have only
two states, such as on/off or open/closed.

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 Modular Housing 1/0 Configuration

0 1 2 3 - SLOT NUMBER

I � ICFUI I I I
)-- 4 l/0 SLOTS -j
ocssrs

01234S6

1 71/0 SLOTS -,

0123-456769

I� 1�1 I I I I I I I I I
l-101/0SLOTS ------<

Notes:

• One programmable controller manufacturer features over 100 discrete, analog,

and intelligent I/O modules. These modules are mounted in “universal” modular
housings as shown in the overhead. The term ”universal” in this context means
that any module can be inserted into any I/O slot.
• Modular I/O housings are designed so that the I/O modules can be removed
without turning off the ac power or removing the field wiring. Most I/O modules
are mounted on printed circuit boards that can be inserted into an I/O housing or
a card rack. The backplane of the housings into which the modules are plugged
have a printed circuit card that contains the parallel communications bus to the
processor and the dc voltages to operate the logic circuits in the I/O modules.
• The I/O housings can be mounted in a control panel or on a sub-panel in an
enclosure. The housings are designed to protect the I/O module circuits from dirt,
dust, electrical noise, and mechanical vibration.
• Housings shown in the overhead are for A-B SLC 500 series and come in four sizes
with 4, 7, 10, or 13 slots. The backplane of the I/O chassis has sockets for each
module. These sockets provide the power and data communications connection to
the processor for each module. The modules are designed for a wide range of
manufacturing and process applications and include the following I/O types:
discrete, analog, digital, and intelligent.

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 Wiring Considerations: Sinking and Sourcing

Sourcing Input or Output Module

• The field device Is connected between the
channel terminal on the module and the return
(-) of the voltage source

Notes:

• The concept of sinking and sourcing modules is important to understand;

especially when interfacing with three terminal sensors.

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210
 Sinking Input Module

SW1 1s connected
between PS+ and the +
terminal of the l/0
pctnt

v z; PLC INPUT
CHANNEL

To other channels
COM
�------------------------ Z,n IS the channel
input impedance

When SW1 1s closed current will now through

the switch mto the input channel

Notes:

• The field device, SW1, is connected between the positive potential of the
voltage source and the input terminal of the PLC input channel.
• Using conventional current flow representation, current will flow from the
voltage source and the input terminal.
• When SW1 is open the voltage reading as shown is 0 volts. When SW1 is
closed the voltage reading is the value of the voltage supply.

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211
 Sourcing Input Module
SW1 is connected between the
ground of the PS and the H
tenmna1 of the 110 point

To other channels
V•

v SW1
Z0 PLC INPUT
CHANEL
__(
0
- z., ts the channel
COM input impedance

When SW1 is closed current will flow from the Input

channel, through the switch and return to the
negative of the power supply

Notes:

• The field device, SW1, is connected between the negative potential

(common or ground) and the input terminal of the PLC input channel.
• Using conventional current flow representation, current will flow from
the module, through the switch to the negative of the power supply.
• A DVM connected between the input terminal and COM will read V+
when the switch is open and 0 V when the switch is closed.

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212
 Sinking Output Module

-----------------------,
V•
TO OTHER
CHANNELS

SWITCHING
CIRCUIT

LOAD rs connected between PS+ and

--0V- the + terminal of the 1/0 pomt.
. ----. --- ----COM
----. -- . ---- -
PLC OUTPUT
CHANNEL

Notes:

• The definition for the output module is the same as for the input module. In
this overhead, the load is connected between the positive of the voltage
supply and the terminal for the output channel of the PLC.

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 Sourcing Output Module
V+
TO OTHER
CHANNELS
SWITCHING
CIRCUIT

V-

COM LOAD 1s connected between the

ground of the PS and the (-)
PLC OUTPUT
tennmal of the 110 poml
CHANNEL

When the output switch rs closed current wdl flow through

the switch and return to the negative of the power supply

Notes:

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214
 Typical Discrete Input Module

J Common Power Supply L

v
' V•
as,
WIRING TERMINAf..S
Illl -,
'
''"' ,.'.
�
0
,. STATUS

,. INDICATOR

=
es,,; ,.
r-a.s ,•
=. FSH7
,•
rsre a•

"'
-
COM

Notes:

• In a discrete input module, if the input field device is closed, the input
interface module will sense the applied voltage and convert it to a logic-
level signal acceptable to the processor to indicate the status of that device.
A logic 1 indicates ON or CLOSED, and a logic 0 indicates OFF or OPENED.
• A typical discrete input module is shown in the overhead. Most input
modules have a light-emitting diode (LED) to indicate the status of each
input.
• In a discrete output module, the output interface circuit switches the
supplied control voltage that will energize or de-energize the field device. If
an output is turned ON through the control program, the supplied control
voltage is switched by the interface circuit to activate the reference
(address) output device.

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1.22 Input Module Block Diagram

Input Module Block Diagram

BACK PLANE
CONNECTION

FIELD
INPUT 0---- OPTO.
OSOV.TION
SIGNAL

STATUS
INDICATOR

Notes:

• There are three basic sections in an input channel:

• 1. The power section includes rectification if the input is AC with filtering
and scaling
• 2. Electrical isolation, typically accomplished with an optical coupled (opto-
isolator). The front of the opto-isolator is a light emitting diode. When
conducting the LED emits photons of light energy that strike the base of a
photo-transistor causing the transistor to conduct and supply a voltage
to the control logic section
• 3. The control logic section. A control signal is received through the
backplane and controls the placing of the data from the module on the
backplane where it is read by the CPU.

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 Typical Discrete Output Module

Corrruon Power Supply

"1 1
rn,
-
e• -
POIM::R Ll
INDICATOR -
v

"'
oi HEN ER
•
>;;
RELAY 1
STATUS
INDICATOR - e• ' oz HEATER
";=- RELAY2

•'
oa
'. OPEN LV1

• ' °' •
OPEN LV2

•
' °' START
s � PUMP P3

• S<AAe
&
• '""''
• 'a
00 START
,ss PUMP FE
'MRING
TERMINAL - ,-
WM -

Notes:

• The overhead shows a typical discrete output module. It can be thought of

as a simple switch through which power can be provided to control the
output device. During normal operation, the processor will send the output
state as determined by the logic program to the output module. The
module will then switch the power ON or OFF to the field device.
• An electric fuse may be provided in the output circuit of the module to
prevent excessive current from damaging the output module. If the fuse is
not provided in the output module, it should be provided in the system
design.

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 Output Module Block Diagram

STATUS
INDICATOR

BACK PLANE
FIELD OUTPUT
CONNECTION SIGNAL

OPTO-
OSOI.ATION
-3-------0/

Notes:

• The control logic receives the data signal from the CPU through the
backplane connection.
• The resulting logic signal is isolated by the opto-isolator section and applied
to the switching device.
• The status indicator is illuminated when the output switching device is
gated on and voltage is applied to the output terminal.

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 Status Indicators on 1/0 Module

LED STATUS
-+--- INDICATORS

WIRING

e>J.----1/7 TERMINALS

0 0

Notes:

• On the previous overheads the status indicators were shown next to the
wiring terminals. Actually, the status indicators are usually, mounted at the
top of the module and appear as shown in this overhead.
• The modules depicted showed only 8 inputs and outputs so that there
would be only 8 status indicators for each module. For a 16 point module
there would be 16 status indicators.

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219
 Remote 1/0
Remote 1/0 refers to input and output modules that are
physically mounted a some distance from the Controller

CONTROL ROOM REMOTE LOCATION

PROCESS

Notes:

• Many plants are quite large so that the distance between the Controller and
the remote I/O is large. When there is more than 250 input and output
devices it becomes economical to locate the I/O within the plant
environment.
• There are situations where distance is not the major consideration.
Environmental or physical constraints then dictate the use of the remote
I/O concept and both local and remote I/O locations are used.
• This overhead shows a PLC installation where the CPU and some I/O
modules are mounted in a control room and other I/O modules are
mounted in a remote location.

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 PLC Block Diagram

110 SYSTEM
AND HOUSING

[
. .

PROGRAMMING C..--_J
DEVICE r

Notes:

• The areas of discussion are shown shaded in the overhead.

• The system power supply provides filtered, regulated voltages to operate
the logic on the CPU and memory unit.
• Note the interface (arrows) between the CPU and the I/O and the memory
unit.

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221
 Scan Cycle

Read Inputs and

Store Status in Data
File

Solve User
Program

Enable Or Disable Outputs

Communication to Peripheral
Device (Programming Terminal,
Etc.)

Diagnostics

Notes:

• In Step 1, the CPU will read and store the status, 0 or 1, of all input field
devices connected to the PLC. A status 1 equates to a closed field device
and a status 0 equates to an open field device.
• Based on the status obtained in Step 1, the CPU will solve the user program.
In solving the program, the CPU WILL start with the first instruction in the
program and then determines the true or false state of each instruction in
the program.
• Depending on the PLC, if the PLC is rung oriented, the logic is solved from
left to right, top to bottom. This will be discussed in detail later in the course.

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222
 Scan Time

Scan time is the time required to execute the Scan Cycle

Scan time is a function er:

• The number ot mstrucnons
• The type of mstrucuons
• Remote l/0
• Commurucenon

Notes:

• The scan time is a benchmark that vendors use to indicate how fast the CPU
scans logic. Note that the scan time is a function of the number as well as
the type of instructions, and to a lesser degree by the remote I/O and
communication to other PLCs as well as a monitor.

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223
 Memory Types

Volatile Memory
Read/Wnte Random Access Memory (RAM)
- Requires Battery Back-up

Non-Volatile Memory
Read Only Memory (ROM)
Programmable Read-Only Memory (PROM)
Electncally Erasable Read-Only Memory (EEPROM)
Flash memory

Notes:

• Discuss the memory types found in PLCs

• RAM is a write and read type memory used to store temporary programs
and data. Vendors use a CMOS type of RAM for low current drain allowing
for program retention upon loss of power using a lithium battery for an
extended period of time (up to 2 years).
• ROM is read only memory used to store permanent programs and data in
computers
• PROM is also read only memory, but it can be programmed once with a
control program or fixed data
• EEPROM is a read only memory that can be programmed or erased and re-
programmed with new programs or data.
• Flash memory is equivalent to the EEPROM in operation.

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224
 Memory Mapping

(USER MEMORY)

Notes:

• The executive is the operating system for the PLC and is not available to the
user.
• The application memory includes both the data files and the user program.
The data files store information that is accessed by the program when the
program is executed.

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225
 Definitions-1
•
••
• •
Bit: Contraction for binary digit :: • Element: 1, 2, or 3 words,
• depending on the type of file
•
Byte: Group of 8 bits •
• •
•• • File A grouping of 1 or more
Word Basic unit in PLC, ·-• . consecutive elements.
Sometimes called a Table
typically 16 bits • •
• (Modicon) or a block
•
•
••

Notes:

• Discuss the definitions in the overhead.

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226
 Definitions-2
FILE N7

' ELEMENTS WITHIN THE FILE

2

I J ___ EACH ELEMENT MAY BE 1, 2,

OR 3WORDS
•
5
Note: Some PLCs number files
6 from zero (0) rather than one {1 ).

'
8

to

16 Btts

Notes:

• A file is represented graphically as a group of consecutive elements, such as

1 to 10 elements as shown in the overhead.
• A file may have the length of 2 to n elements, where n=255 for the SLC500
and 999 for the PLC5.

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227
 Binary Logic

Two binary states

ON= 1
OFF= 0

SWITCH OPEN LIGHT OFF

»> -, /
120 Vac --------o--"" ,0----0 �----o 120 Vac NEUTRAL
/ -,

SWITCH CLOSED LIGHT ON

120 Vac ---<--�·---o-o:=-o-o
' I 120 Vac NEUTRAL

I '

Notes:

• In the binary number system, the 1 and 0 signals are used to represent
values. An extension of the number system is to use the 1 and 0 states to
represent the conditions or states a physical device.
• In positive logic the 0 state is used to represent an off state of a device and
the logic 1 state used to represent the on state of the device.
• An alternative state is to use the 0 state to represent the on state of a
device and the logic 1 used to represent the off state of a device. This is
called negative logic.
• Either logic system is valid so that it is necessary to be consistent when
using a given logic system to define system operation. While positive logic is
more common there are situations where negative logic is used, such as in
solid state logic design.

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228
 Typical Electrical Relay

NC
CONTACTC COM.
SET 2
'
+'--::-
, --• NO
'
NC
CONTACT� COM.
SET 1
'
+'--::-
, --• NO
'

Notes:

• Explain the operation of a electromagnetic relay.

• NC means normally closed.
• NO means normally open.

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229
 Electrical Relay Schematic

-----8---
COIL

c
FORM C
CONTACTS
NO --I �NC

ISOLATED
CONTACTS
NO --I f----- -----+f- NC
R1-1 R1-2

Notes:

• The relay coil and contacts are usually represented on a drawing as shown
above.

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230
 Electrical Ladder Symbols

POWER RETURN
RAIL RAIL

RUNG r11----j H Hf�-----l@�

t- 1
I
--�· OUTPUT (THEN)
INPUT DEVICES
(IF CONDITIONS)

-0- RELAY COIL

--j f- EXAMINE IF CLOSED (XIC)

----:+f- EXAMINE IF OPEN (XIO)

Notes:

• The electrical schematic symbols for NO and NC contacts and for a relay coil
are shown in the overhead.
• The drawing is used to define the components of an electrical ladder
diagram, including the power rails, the input devices and the output device,
which appears at the extreme right of the ladder rung.
• A ladder rung, in this context, is defined as input conditions terminated by
an output device. The input conditions provide the logic to determine the
state of the output device. That is, the input conditions provide the answer
to the “if” requirements that determine the on or off condition of the
output device.
• Note: emphasize that NOINC does not exist in PLC ladder. Instructions are
based on status of input contact.

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231
 Current or Logic Flow

<--------<I <-----0�
A OFF

ON

f-----+f-----< z
A OFF
[9u,� !,! ,EI;:,E,�GIZEDJ

Notes:

• Explain that the top half of the slide shows the two possible states of the
output coil Z if Coil A is De-energized and the bottom half of the slide shows
the two possible states of the output coil Z if Coil A is Energized.
• The contacts, A, are from the relay A shown on the previous slide.

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232
 Electrical Ladder Diagram Symbols

AJ[',USH BUTTONS (PBJ] s1'.uM11,swncH_.] CJ[HANQ. ,SWITCH)

-- NO
�
NC NO NC �
- ..llX
EJ(TEMPERATURE SVi:]TCHJ FJfjLOT LIGH1J

--c� --iu-
R•Rod
NO NC G•G<oe<1
B• BUe
A•Amber

G)tl-EVEL S'WITCH , HJ[}O�fMTCHj Q f29.!.,5',;;�Jf,H]

-i:-- .:- _,.,_ �
=r NO
>»:
NC
NO NC NO NC

J) ELAY CONTACTS

o--j �
NO NC

Notes:

• To simplify the reading of control drawings, a set of standardized symbols

was developed by the American National Standards Institute (ANSI). The
most common symbols used in control diagrams are shown in the
overhead, they are based on ANSI Standard Y32.2 for electrical controls.

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233
 AND Logic Function
AND Function Equation, Y = AB

The output of an AND function or circuit assumes a 1

state If and only If all the Inputs assume the state 1.

I ' B y

0 0 0
Two Input Truth Table
for a 2-lnput AND Function:
' 0 0

0
' 0

' ' '

AND Gate Graphic Symbol: Ladder Diagram for AND Circuit:

:=0--y
Notes:

• An AND function has two or more inputs and a single output and operates in
accordance with the following rule: The output of an AND gate assumes the 1 state if
and only if all the inputs assume the 1 state. The general equation for the AND
function is given by ABC...N = Z
• The Boolean equation for an AND gate is defined as.
Y = AB or
Y = A•B
• The truth table defines the possible logic states that exist for the given function.
That is, the possible logic states for a logic gate are given as:
Logic states = 2i
where,
i = the number of inputs to the logic gate.
Thus, for a 2-input logic function the possible logic states
are 22 or 4.
• The AND gate symbol is a graphical representation for the AND function. The
symbol used the overhead is a MIL Standard representation. An alternative
representation is the NEMA standard used by the ISA.
• The equivalent ladder diagram for the AND function is also shown in the overhead.
The last line of the truth table provides the logic for developing the ladder diagram.

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234
 Inclusive OR Logic Function
Inclusive OR Function Equation, Y =A+ B

The Inclusive OR function produces a 1 Two Input Truth Table for

output if either, or both inR!,!ts ere 1. a 2-input Inclusive OR
Function:

Graphic Symbol for

Inclusive OR Gate:
I A
' y

:=o-- y
0

,
0

0
0

,
Ladder Diagram for Inclusive OR Circuit:
A
0 , ,
•.•.
B
-0- , , ,

Notes:

• An OR function, with two or more inputs and a single output, operates in

accordance with the following definition: The output of an OR function assumes the 1
state if one or more inputs assume the 1 state.
• The Boolean equation for an Inclusive OR gate is defined as.
Y = A+B
• The truth table defines the possible logic states that exist for the given function.
That is, the possible logic states for a logic gate are give as:
Logic states = 2i
where,
i = the number of inputs to the logic gate.
Thus, for a 2-input logic function the possible logic states
are 22 or 4.
• The OR gate symbol is a graphical representation for the OR function. The symbol
used the the overhead is a NEMA Standard representation.
• The equivalent ladder diagram for the OR function is also shown in the overhead.
The last line of the truth table provides the logic for developing the ladder diagram

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235
 Exclusive OR Logic Function
Exclusive OR Function Equation, Y ::::@+ B

he Exclusive OR function produces a 1

nutcut if either. but not both inputs arA 1 Two Input Truth Table
Grapl11c Symool for Exclusive for a 2-input Exclusive
OR Gate:
OR Function·

' ' '

0 0 0

Ladder Diagram for Exclusive OR Circuit:

t 0
'

,t;;��rv:r
A B

I ' '
0

c ' ' 0

Notes:

• The Exclusive OR function eliminates the condition where both A and B are
true at the same time. Refer to the last line of the truth table as well as the
equivalent ladder diagram

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236
 Not Logic Function
Only two slates or numbers 1 or O possible m Binary Logic System
Not Function, Y = A

Y is called the output function of the logic circuit or gate.

The Not or inverter produces an output opposite the input A.

Graphic Symbol:
A -Q- Y=A Truth Table:

' '
A-----[>o- y t 0

Ladder Circuit:
0
'
A
f----tt---1 y

Notes:

• Another important logic function is the NOT or inversion function. The NOT,
or logic inverter, produces an output opposite to the input. An inversion bar
is drawn over a logic variable to indicate the NOT function. For example, if a
NOT operation is performed on a logic variable A, it is designated by A.
• The Boolean equation for an Inclusive NOR gate is defined as:
______
Y=A+B

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237
 On - Off Control of Tank Level

T101

S/ B
FEED OUT

Notes:

• We can appreciate the utility of ladder logic diagrams by investigating a

simple control example. The overhead illustrates a process level control
application. In this application, assume that the flow into the tank is random
and that the level in the tank is controlled by opening or closing the on-off
electric solenoid valve (LV-1) based on the level sensed in the tank by a
high-level switch (LSH-1).
• When the level in the tank is high, the solenoid valve is energized, and the
valve opened.
• When the level in the tank drops below the high level, the solenoid valve is
not energized, and the valve is closed.

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 Ladder Diagram for Tank Level Control

Note: this is an electrical ladder diagram

L1 L2
LV-1
LSH-1 NC,
ETO

SOLENOID
LEVEL VALVE
SWITCH HIGH (ETO)
(WIRED NO)

Notes:

• The level in the tank is controlled by opening or closing the on-off electric
solenoid valve (LV-1) based on the level sensed in the tank by a level switch
(LSH-1). When the level is high the level switch contacts are closed and the
solenoid valve is energized, operating the valve and allowing liquid to flow
out of the tank.

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239
 HOA Control of Level

FEED..;N"'--t
I �
LSH -----,
1 •
•
T101

[TI DENOTES PANEL NUMBER

AND LOCATION

Notes:

• A three-position HOA (hand, off, and automatic) switch is added to the tank
level control diagram. This will allow the operator to manually turn the valve
on or off or the option to select automatic control using the level switch to
maintain the proper level in the tank.

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240
 Electrical Ladder Diagram for HOA Level Control

HS-1
L1 OFF L2

HAND ,,, AUTO LV-1

xoo

�
LSH-1

OOX DENOTES CONTACT CLOSED IN

THE AUTO POSITION
XOO DENOTES CONTACT CLOSED IN
THE HAND POSITION

Notes:

• If the HOA switch is in the automatic position and the level switch is closed,
the solenoid will be energized. This is a simple example of a logical AND
function in process control. If the HOA switch is in the manual position, the
valve will also be turned on. If we designate the logic variables as A for hand
position, B for automatic position, C for level switch closed, and Z for the
solenoid valve energized, then the logic equation for the control system is: Z
= A + BC.

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241
 Start/Stop Control

u u
120 Yoe

eeo SYSTEM RUN

REQUEST
""'
START

_L
STOP

rn, � f-
'
' 1
l
CR11
(HOLDING CROSS
CONTACT) REfERENCE

LINE
NUMBERS
RUNG 1

Notes:

• In this start/stop circuit, when the start push-button (PB1) is depressed

there is current flow through the NC stop push button and the relay is
energized. A normally open set of contacts from CR1 (CR1-1) are wired in
parallel to the start PB to hold in the relay CR1 after the PB is released. The
relay is turned off by pressing the Stop PB (PB2).

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242
 Electrical Ladder Diagram - Tank Level Control

120 Vac

LEVEL
LEVEL
SVV1TCH
SVVITCH
RCS HIGH
cow PUMP
RUN REQUEST
REQUEST
LSL100 oc
� l'
LSH100
MS,
CR1-2

MS2-1
/
OVERLOADS

RUNG 2

Notes:

• The electrical ladder diagram in rung 2 is used to control the feed pump and hence
the liquid level in the process tank shown in the previous overhead. To explain the
logic of the control system, assume the tank is empty. The low-level switch is
closed, and the high-level switch is closed. When a level switch is activated, the
normally open contacts are closed, and the normally closed contacts are opened.

• To start the control system, the operator depresses the start push button (PB1)
shown on the previous overhead. This energizes a control relay (CR1), which holds
in the relay with the first set of contacts, denoted as CR1-1 on the ladder diagram.
At the same time the pump starter (MS2) is energized through contacts on LSH100,
LSL100, and CR1-2. A contact from the pump starter is used in parallel with the
low-level switch contacts, so that the pump starter will stay on until the liquid level
reaches a high level and the level in the tank rises above the position of the low-
level switch on the tank. The pump starter will stay on until the liquid level reaches
a high level and the high-level switch contact opens. After the high-level switch is
activated, MS2 will be turned off. The system will now cycle on and off between
the high and low levels.

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243
 PLC Ladder Logic Rung Format

Logic Rail
(Soorce) Output
Instruction
Input Instructions
._,___, t----.--,,-F---H-----1(
Logic Ral
(Return)

�--···········································-�

Continuous path required

for logic continuity

LOGIC IS SOLVED FROM LEFT TO RIGHT AND FROM ONE

RUNG TO Tt-E NEXT Rl.J\JG.

Notes:

• The popular language used is ladder logic. The original programmable controllers
were designed to replace electrical relay-based control systems. These systems
were designed by technicians and engineers using a symbolic language called
ladder diagrams. The ladder diagram consists of a series of symbols
interconnected by lines to indicate the flow of current through the various devices.
The ladder drawing consists of basically two things: first is the power source, which
forms the sides of the ladder (rails), and second is the various logic input devices
that form the rungs of the ladder.

• When the CPU executes the program each rung, starting from the first rung
entered into the program, is solved starting from the logic source rail and
continuing to the right and finishing with the output instruction.

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244
 IEC 61131 Part 3

', Usually referred to as IEC 61131

> Details 5 languages used in PLC programming
> Requires a structured (top down and strong typing)
approach to programming
> Languages are:
• lnstrucnon List (IL)
• Structured Text (ST)
• Ladder Diagram {LD)
• Function Blocks (FB)
• Sequential Function Charts {SFC)

In general, a desired functionality can be programmed

in any one of the first four IEC 61131 languages

Notes:

• Structured approach means there is a design for the software.

• Top down means you start with the concept and work into the details, rather than
try and build the concept up from details
• Strong typing means that syntax and software types (integers, floating point, text,
etc) are enforced so programming errors are reduced

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245
 Instruction List (IL)

LO T1

JMPC Reset

LO Temp_1

ST Max_Temp

Set LO 0

ST O V76

Sumlar to computer Assembly Language programming, but

with named 110. Can be found in similar form in most
modern PLCs.

Notes:

• Precise syntax is required

• Each program line must begin on a new line

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246
 Structured Text (ST)

INT- CMD ,= MANUAL- CMD & MANUAL- MODE OR AUTO-CMD & NOT

AUTO-CMD - CHECK & NOT MANUAL - MODE

CMD_ ON_TMR(IN ,= INT_CMD, PT= T_ CMD_MIN)

ALRM_XY(s1 ,= CMD_ON_TMRQ & NOT PERM, R ,= OK)

ALRM ,= ALRM XY.01

Similar to Pascal programming language and Siemens STEP 7

Notes:

• IEC 1131 defines STs formal syntax.

• Based on traditional programming look and feel

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247
 Ladder Diagram (LD)

l> Based on traditional relay logic, except traces logic

flow rather than current flow

l> Originally developed for the first PLCs to satisfy a

requirement from General Motors to have a
programming language easily understood by
electricians

> Different manufacturers have slightly different

approaches to ladder diagram programming

> IEC allows for custom function blocks inside the

ladder diagram

Notes:

• The next slides discuss ladder diagram programming

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248
 Definition: PLC LD Instruction

PLC LO Instruction
}- A statement that represents a specific operation and the
values or location of its operands
� An opcode and an address

, ,
INSTRUCTION

10001 ------'- ADDRESS

OPCODE

Notes:

• Explain that a PLC instruction is a logic type of instruction and includes both
the opcode and the address. As an instruction, the state is true or false, not
open or closed.

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249
 Basic LD Relay Type Instructions

SYMBOi. MENMONIC INSTRUCTION

I I XIC EXAMINE If a.OSED

J/J xio EXAMINE IF OPEN

I I OTE OUTPUT ENERGIZE

(LI OTL OUTPUT lATCH

( u} OTU OUTPUT UNLATCH

-

Notes:

• In ladder programs, the basic symbols or instructions shown in the overhead are
used to form the program. The first symbol, XIC, looks like a normally open relay
contact symbol used in electrical ladder diagrams; this instruction uses the symbol
-] [- in the ladder programs. It instructs the processor to examine its assigned bit
location in memory. If the bit is ON (logic 1), the instruction is true and there is
logic continuity through the instruction on the ladder rung. If the bit is OFF (logic 0),
there is no logic continuity through the instruction on the rung.
• The second symbol -] / [- represents a normally closed instruction. Unlike the
normally open instruction, it directs the processor to examine the bit for logical 0
or the OFF condition. If the bit is OFF, the instruction is true and there is logic
continuity through the instruction. If the bit is ON, the normally closed instruction
is false and there is no logic continuity.
• The third important symbol is the output coil -( )- instruction. This instruction
directs the processor to set a certain location in memory to ON or 1, if all the
instructions in the logic path preceding it in the rung are true. If there is no
complete logic path in the ladder rung, the processor sets the output coil bit to 0
or OFF.
• The last two instructions, the OTL and OTU. Combine to form a latch relay. The OTL
is the set or latch coil and the OTU is the reset or unlatch coil.

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250
 Examples of LD Relay Type Instructions

XIC OR NO
OUTPUT

-.
INSTRUCTION INSTRUCTION
1:1/4 0:3/0

0
H
'·····················
(

XIO OR NC
OUTPUT
INSTRUCTION INSTRUCTION
1:1/5 0:3/1
1
HI
, ......................
(
�

Notes:

• Rung 0. When the data at address I:1/4 is a logic 1, the instruction is true and the
output instruction, O:3/0 is set true. The logic 1 condition is determined by the
state of the device wired to input I:1/4.
• Rung 1. When the data at address I:1/5 is a logic 0, the instruction is true and the
output instruction O:3/1 is set true. The logic 0 condition is determined by the
state of the device wired to input I:1/5.

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251
 Start/Stop Ladder Logic

RUNG O START PUSH-BUTTON STOP PUSH-BUTTON

(WIRED NORMALLY (WIRED NORMALLY MOTOR RUN
OPEN CLOSED) REQUEST
I 1 /1 rvn aau
'----� ----�--H-------'( '-_J

MOTOR RUN
REQUEST
83/0

Notes:

• Rung 0
• This is an example of a rung used to control the start/stop of a motor. This rung
operates in the same manner as the electrical start/stop circuit discussed earlier.
However instead of energizing a relay coil, an internal bit, B3/0 is set to a logic 1
when the start push-button is pressed. The momentary input I:1/1 is paralleled
with the motor run request bit, B3/0, thus holding the output on when the push-
button is released.
• The instruction I:1/0 is normally true because the actual stop push button is wired
normally closed. Thus, at data address I:1/0 there is a logic “1”. The ] [ instruction
is true when there is a logic “1” at its data address.
• The motor run request, B3/0, is reset when the stop push-button wired to input
I:1/0 is pressed.

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 Timer Instructions

Timer instructions are output instructions that use 3 words of memory

limer

EN)_j
control TON-----,
TIMER ON DELAY
TIMER T40
TIME BASE 1 0
PRESET
ACCUM
30
O
�ON) I

The timer Instruction requires the following Information:

Type: TON, TOF, RTO
Address: T4:e, e = element number, Oto 255
Time base: Internal clOCk with 1.0 and 0.01 second Ume base
Preset: The number of timed Intervals to count
Accum: The Accumulated number of timed Intervals

Notes:

• Discuss the operation of the timer instruction and the definitions listed in
the overhead.

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 Timer - On Delay

RUNG 1 MOTOR RUN 30 SECOND TIMER

REQUEST
63/0 TO
TIMER ON CELAY EN
TIMER T4 0
TIME BASE 1 0
PRESET 30 "')
4COJM 0

RUNG 2
30 SECOND MOTOR RUN
TIMER CONE REQUEST
T4 OIDN 0 310

Notes:

RUNG 1
• This rung contains an ON-delay timer with an address of T4:0. When conditional
instruction B3/0 is set true in Rung 0, the timer is enabled and starts timing. The
time base in the timer function block is one second. This means that the timer will
time in one second increments. Also notice that the preset value reads 10. This
means that the timer will be done timing after a time delay of 10 one second
increments, for a total of 10 seconds. The timer done bit T4:0/DN in rung 2 will be
energized at this point. If at any time rung 1 lacks logical continuity (O3/0 is Off),
the timer will reset to zero. The length of the time delay can be adjusted by
changing the preset value. In addition, most PLCs allow the allow the option of
changing the time base, or resolution of the timer. Typical time bases are 0.01, 0.1,
and 1.0 second. The accumulated value of the timer (shown as Accum in the
function block) is the number of increments the timer has accumulated since it
began timing.
RUNG 2
• This is the rung that controls the actual output address O:3/0. If the timer has
timed for 10 seconds, the output is energized.

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 Timer - Off Delay

WIRED WIRED
NORMALLY CPEN NORMAL.LY CLOSED
RUNG O PUSH BUTTOO PUSH BUTTON MOTOR 1
START STOP
I 1/1 I 1f0 83/0
f--�---i>--����----<1��������-,(

MOTOR 1
eac
"

10SECCtlO TIMER

RUNG 1 r:,; ,"O-R-·---------; ,c:,----,

, TIMER CFF OELA.Y
'"�
l
TIMER T4 0
TIME BASE 1 0
TCF! OFF PRESET 10 (ON)
ACCUM O
TIME DELAY >--------�
OJDN OUTPUT TO MOTOR O 3,1�
>-----------------'( )
RUNG 2
I
Notes:

RUNG 1
• This rung contains an OFF delay timer with an address of T4:0. When the start
pushbutton in Rung 0 is pressed, the timer is reset and the Done (DN) bit is set.
The time base in the timer function block is one second and the preset value is set
at 10. This means that the timer will be done timing after a time delay of 10 one
second increments, for a total of 10 seconds. The timer done bit T4:0/DN in rung 2
will be energized at this point. When the system is stopped, B3/0 is reset and the
timer will start timing. The length of the time delay can be adjusted by changing
the preset value. In addition, most PLCs allow the allow the option of changing the
time base, or resolution of the timer. Typical time bases are 0.01, 0.1, and 1.0
second. The accumulated value of the timer (shown as ACCUM in the function
block) is the number of increments the timer has accumulated since it began
timing.
RUNG 2
• This is the rung that controls the actual output address O:3/1. If the timer has
timed for 10 seconds, the output is de-energized.

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 Retentive Timer On-Delay

RETENTIVE TIMER
TIMER ENABLE ON-DELAY

I 1/5 - RTO
RUNG 1
..
TIMER ON DELAY -{EN
" TIMER T4 2
TIME BASE 1 0
PRESET 30 -{ON)
AC CUM 0
TIME DELAY
COMPLETE
T4 2/DN OUTPUT
RUNG 2

RESET TIMEP

RUNG 3 "" ,4 2
(RES

Notes:

• The Retentive Timer ON-Delay (RTO) functions similarly to the ON-Delay timer with
the exception that the accumulated value is retained when the timer enabling
signal (I:1/5) is false. In order to clear the accumulated value and reset the timer a
reset command (RES) is used. When enabled, the DN bit is reset and the
accumulated value is cleared.
• The reset command will override the enabling signal. That is, if I:1/6 is true and the
reset is set true, the timer will not start, even if I:1/5 is set true.

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 Counter Instructions

Counter instructions are output instructions that use 3 words of memory

Counter
control CTU-----�
UP COUNTER
COUNTER C50
PRESET 30
AC CUM O

The counter instruction requires the following information:

Type: CTU, CTD
Address: C5:e, e = element number, O to 255
Preset: The number of events to count
Accum: The accumulated number of events

Notes:

• The counter (UP or DOWN) is an output instruction that is controlled by the input
rung conditions.
• The opcode, CTU or CTD, define the count up or count down operation of the
counter.
• After the opcode is selected, the following must be defined:
• Address C5:e, where C5 is the default file number.
• Preset: the number of events to be counted.
• The accumulated value is the number of events counted.

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 Up Counter

BATCH COUNTER
BATCH DOOE
I 114 CT
0 COUNT UP c
COUNTER cs O
TIME DELAY
COMPLETE
PRESET 20 N)
ACCUM 0

C5 CYDN BATCH DONE

0"'6

RESET CDUNTER
11/6 cs o
2 (RES

Notes:

• This is a ladder logic example of an Up Counter. In this application, input I:1/4, is

activated each time a process batch is completed.
• When the Batch Done input, I:1/4, is activated, the CTU instruction is incremented
by one. When the accumulated value (ACCUM) reaches the preset value of 20 the
done (DN) bit is set.
• The input, I:1/4 must go false before it can increment the counter again. That is,
the counter will increment by 1 each time the input goes from a 0 to a 1 but the
input must reset to 0 before it can count again.
• If the input is incremented, even though the ACC=ACCUM, the accumulated value
will continue to increase.
• The Done (DN) bit is set when ACC 0 PRE
• The CU bit is true when the counter in enabled
• When the done bit (DN) is set, output O:3/6 is set true.
• To clear the accumulated value (ACCUM) and reset the done bit, the reset
command , I:1/6, is set true enabling the counter reset. Note that the reset
command output instruction (RES) requires the same address as the counter.

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 Down Counter

RUNG O
BATCH COUNTER
PART REJECTED
I 1 /3 CTD----�
COUNT DOWN CD
COUNTER C5 1
PRESET 10 ON)
ACCUM O

Notes:

• This is a ladder logic example of a Down Counter. In this application, there is an

input, I:1/3, that is activated each time a manufacturing part is rejected. When the
Part Rejected bit, I:1/3, is activated the accumulated value decrements by one.
• The same conditions exist for the Down Counter as for the UP counter. That is,
• The DN bit is set when ACC  PRE
• A reset command must be used to clear the counter.

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1.66 Data Manipulation

Data Manipulation

Data manipulation includes:

Moving Data
• MOV Read/write
• MVM Read/write through a mask
•TOD Convert from binary to BCD
• FRD Convert from BCD to binary

Notes:

• The concept of data manipulation includes both data move instructions and data
comparison instructions.
• Data move instructions include the following:
1, Move of data (MOV)
2. Move through a mask (MVM)
3. Move and convert data from binary to BCD (TOD)
4. Move and convert from BCD to binary (FRD)

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 Comparing Data
Data comparison instructions involve the mathematical
inequalities:

A< B (A is less than B: :LES)

A= B (A is equal to B: EQU)
A> B (A is greater than B: GRT)
A� B (A is greater than or equal to B: GEQ)
A< B (A is less than or equal to B: LEQ)
A� B (A is not equal to B: NEQ)
A< B < C (A is less than or equal to B and B is less
than or equal to C. This is called a limit
test.(LIM)

Notes:

• Explain the data comparison instructions listed in the overhead.

• A and B may be data file addresses or a constant. NOTE that both operands can
not be a constant; only one operand may be a constant.

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 Arithmetic Instructions

Arithmetic instructions are output instructions that

operate with the stored value in a data file element
or with a constant.

The basic instructions are:

Add (ADD) Clear (CLR)

Subtract (SUB) Negate (NEG)
Multiply (MUL) Convert to BCD (TOD)
Divide (DIV) Convert from BCD (FRO)
Square Root (SQR)

Notes:

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 Function Block Diagramming (FBD)

-�__
'""-'
,_""
-
..__..,
iii-I :::,. - - O<C
•
' RES0_1
,---------< ...

'� - ..• ..,.,..._.J'

r ,==----=--=-r
u -
'
----
"""-"

•
- --···
-···
-I>--�

-
Notes:

• You might consider the timers, counters, arithmetic and logic blocks used in a PLC
ladder diagram as “function blocks”

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 Sequential Function Chart (SFC) - 1

Graphical representat ion of: I Ready

- Steps In a sequence
�art
- Transition logic betw een steps
- Parallel operation
- Relationship betwee n parallel
-::r. True
operations r Mix I I Head
- Conditional flow/ loo ping of�
sequences
-
1i :1
--=+-
1
IEmptyl
0 ' --t-·Cond 1 &Cond 2
Slip Loop
STE'21

Notes:

• Sequential Function Chart may be new to some. The language is conceptually

simple with only three elements to the language, the step, the action and the
transition to the next step.
• Rules of evolution
• Must have an initial step
• Must have alternating steps and transitions
• Transition can be one or several conditions
• Chart can be looped or terminated
• Skip sequence
• Divergence of sequence, one branch has no steps
• If transition D becomes true before A step 20 and step 21 will be skipped.
• Loop sequence
• Step 20 and step 21 will be executed as long as transition C becomes true
before D

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 Sequential Function Chart (SFC) -2

CHART001 1r1111al Step

Transition = •START
Step = " ALL_A

•TRUE
� Action
Simultaneous
-<:==::> Divergence
rr
""' HEAT..A AGITATE LT#IOS AGITATE.},

-<:==> Simultaneous

µ
Convergence
•TRUE

" """--'

\'°'
•TRUE

•TRUE
" OUl,IP_A
/
Convergence/Or<lergence
.
�

Notes:

• Divergence of sequence [Lower right inset]

• Single horizontal line
• Branch to ONE sequence of many
• Transitions below horizontal line
• Step 2 OR Step 3 will execute, not both
• Convergence of sequence
• Single horizontal line
• Convergence will occur only when transition below active step is true
• Must be matched pairs
---------------------------------------------------------------------
• Simultaneous divergence of sequence [Main view]
• Double horizontal line
• Branch to multiple parallel sequences
• Transition above horizontal line
• Step 2 and step 3 will execute
• Simultaneous convergence of sequence
• Double horizontal line
• Transition below horizontal line
• Convergence will occur when transition below the horizontal line is true
• Must be matched pairs

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 Summary: Discrete Control

Notes:

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 Multiple Choice Question
Bask, Oiscrel:fl Sequencing I, Manufactuflng Control

In a 24 voe open-collector output sinking configuration,

which of the following could occur?

Q Configuration
electricity.
Increases the risk of electrostatic discharge (ESD) from static

@short circu,t from load device to ground ran cause unintended actuation.

The triac could remain on when the current (but not voltage) ,s zero unless
a S11ubbu network Is used.

Inductive devices such as motors can generate back EMF when turned on.

81· ::iii

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

An "Inclusive OR" function:

Q can never be used with a NOT function.

Q is not applicable to discrete control applications.
@ produces a 1 output if either, or both inputs are 1.
Q produces a 1 output if neither inputs are 1.

41fiMfiM

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

The binary digits "1101" is equivalent to the hexadecimal

character:

o,
@o
o,
Qc

WitiMhM

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

Which of the following would allow an individual with a

minimal programming background to set a PLC to handle
feedforward controls?

@ Configurable digital system

Q Relay ladder logic
Q Function block
Q Analog hardware

WitiMhM

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

HMI requirements in a user's system description include

which of the following?

Q Control outputs
@ Dynamic graphics
Q Interlocks
Q Peripherals

WitiMhM

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

All of the following programming languages could be used

to facilitate communication in an HMI EXCEPT

@ relay ladder logic.

O BASIC.
Q Java.
O C/C++.

WitiMhM

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 Multiple Choice Question
Basic, Discrete Sequencing & Manufacturing Control

Which of the following is true of IEC 61131-1?

Q Covers the functional safety of the automated system as a whole

Q Does not cover PLC system operation error detecting
@ Covers electrical interference immunity of the PLC system
Does not cover peripherals such as programming and debugging tools
O (PADTs)
WitiMhM

Notes:

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 PRACTICE QUESTIONS – WEEK 7

1) Which of the following is NOT defined by the ANSI/ISA-88.01-1995 (S88) standard?

a. Hierarchical models for virtually any batch process

b. Standard terminology applicable only to batch control
c. Internally consistent set of principles
d. General and site recipe models and representation

2) Which of the following is the International Electrotechnical Commission’s (IEC’s)

equivalent of ANSI/ISA-88.01-1995(S88)?

a. IEC 60519-1
b. IEC 61131-1
c. IEC 61131-3
d. IEC 61512-1

3) Which of the following is the PRIMARY reason a company might choose batch
control over traditional continuous process control?

a. To precisely predict material requirements

b. To control the procedure
c. To maximize productivity
d. To optimize the costs

d. A fuzzy logic controller cannot replace a PID controller unless the fuzzy
controller is linear.

4) Which of the following is true of ANSI/ISA-88.01-1995 (S88) standard principles?

a. Recipe information should be integral to the sequential controls for the

equipment.
b. A recipe contains all of the equipment in a process, but a process cell directs
units.
c. Control is an automated function, and manual processes should not be
included.
d. A process consists of modules that can do many non-product-specific tasks.

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5) Which of the following is true of the modules described within ANSI/ISA-88.01-1995
(S88)?

a. A unit can have multiple batches in multiple phases at one time.

b. Control modules and equipment modules are the level of detail with which the
recipe concerns itself.
c. A process cell need not have any units.
d. Each batch in a process cell may follow different paths through the equipment.

6) Which of the following has its own phases and may be a permanent part of a unit or a
common resource temporarily attached to a unit?

a. Procedure module
b. Control module
c. Equipment module
d. Process cell

7) Which of the following explains why ANSI/ISA-88.01-1995 (S88) treats control

modules as a separate entity?

a. A control module is inextricable from its equipment.

b. Each control module is encapsulated so it can be reused.
c. Each control module has a phase and directs a set of final control elements.
d. A control module is partitioned to prevent the phase from commanding other
control modules within an equipment module.

8) Regarding ANSI/ISA-88.01-1995 (S88) and ANSI/ISA-95.00.01-2000 (S95), why is a

precise definition of requirements for batch control significantly more important than
traditional functional specifications for continuous control?

a. The S88 holistic process standard supplants traditional control, which allowed
isolated control of equipment/process variables; S95 supplants traditional
make-to-stock methodology.
b. Traditional specifications allowed isolated control of equipment/process
variables, while S88 defines holistic processes and S95 links them to business
requirements.
c. Traditional specifications allowed holistic control of equipment/process
variables, while S88 defines isolated batch control and S95 links them to
business requirements.
d. The S88 standard supplants traditional control, which focused on how to make
a product; S95 focuses on what to make.

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9) An engineer at plant number 5 has further modified a recipe to include the actual lots
of pigment and other chemicals to be used in paint batch 5445332. Which of the
following types is this recipe?

a. Site recipe
b. Master recipe
c. Control recipe
d. General recipe

10) Which of the following correctly indicates the importance of the recipe and why it
provides flexibility in the manufacture of batch products?

a. The procedural control model is unified so that all of the procedure is in the
recipe and none is in the units.
b. A schedule becomes a vital part of control by directing the order of recipes that
are completely separate from the control code.
c. The control recipe is written by a control engineer to keep a recipe from risking
damage to equipment by being poorly written.
d. Control code and control recipe are inextricably linked to provide batch-specific
control at the specific plant and device level.

11) Which of the following places the steps of the procedure model in the correct order?

a. Procedure, unit procedure, phase, operation

b. Unit procedure, procedure, operation, phase
c. Unit procedure, procedure, phase, operation
d. Procedure, unit procedure, operation, phase

12) Which of the following correctly states the relationship between procedural control
and equipment control?

a. Procedural control is embedded in equipment control; equipment control

carries out process-oriented tasks and an equipment entity simply initiates the
tasks.
b. Procedural control is embedded in equipment control; equipment control
carries out process-oriented tasks and a recipe simply initiates the tasks.
c. Equipment control is embedded in procedural control; equipment control
carries out process-oriented tasks and a recipe simply initiates the tasks.
d. Equipment control is embedded in procedural control; procedural control
carries out equipment-oriented tasks and an equipment entity simply initiates
the tasks.

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13) Which of the following is the MOST common place for linkage between product-
independent procedures for units and product-dependent procedures in the
recipes?

a. Procedure level
b. Operation level
c. Unit procedure level
d. Phase level

14) Which of the following is the first step in designing batch automation for a plant?

a. Focusing on control loops, valves, and other equipment control specifics

b. Conducting a highly detailed study of required functionality and business
requirements
c. Setting procedures, unit procedures, and operations for the entire plant
d. Completing a broad overview of required functionality and business
requirements

15) Preferring to err on the side of safety, engineers at a plant have set aggressive
alarm trip points and configured a high percentage of alarms as high priority. This
scenario is MOST likely to lead to excessive levels of

a. stale alarms.
b. nuisance alarms.
c. alarm clarity problems.
d. alarm floods.

16) Which statement BEST describes a key difference between availability and
reliability?

a. Availability metrics help control user risks associated with unit failure; reliability
metrics help to identify the risks.
b. Availability is based on failure rates and repair rates; reliability is based on
failure rates and operating time interval.
c. Availability can be directly derived from probability theory; reliability is a
function of the random variable time to fail (T).
d. Availability is a probability that a unit is ready for use at a stated instant;
reliability is an average over a long operating time interval.

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17) Which of the following is NOT included in alarm philosophy documentation?

a. Change management processes

b. Individual alarm specifications
c. Operator training requirements prior to installation
d. Rationalization principles and procedures

18) Alarms that remain in the alarm state when no operator action is required BEST
describes

a. stale alarms.
b. alarm clarity problems.
c. alarm floods.
d. nuisance alarms.

19) Examining an individual alarm against the principles and criteria specified in an
alarm philosophy results in

a. baseline performance limits.

b. basic control system information.
c. distinct monitoring limits to trigger action.
d. documented design principles.

20) Too many alarms configured for a given event have generated excessive,
unnecessary, and confusing alarm events. What steps should be taken to correct
this situation?

a. Monitoring, rationalization, and surveying techniques

b. Monitoring and advanced alarming techniques
c. Rationalization and advanced alarming techniques
d. Monitoring, rationalization, and advanced alarming techniques

21) Under which condition can a system with a low reliability potentially have a high
availability?

a. When there is low mean time to restore (MTTR)

b. When there is a low mean time to failure (MTTF)
c. When failures are discovered and repaired during periodic inspection
d. When the restore rate is a constant

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22) Which of the following information is required to train operators on how to respond
to an alarm?

a. Record retention period, reporting requirements, and notification requirements

b. Consequences, corrective action, response time, consequence category, and
basis
c. Alarm priority, corrective action, and response time
d. Engineering units for an analog type/discrete states for a digital type

23) Which statement BEST describes the purpose of an alarm management system?

a. Prioritizing alarms to indicate degree of importance or rank for operator actions

b. Designing alarms and specifying what to alarm, alarm actions, and how
operators will interact with the alarms
c. Measuring alarm rate and resolving any chronic problems such as nuisance
alarms, stale alarms, and alarm floods
d. Ensuring that alarms are presented at a rate that can be assimilated and
appropriately resolved by a human operator

24) Which of the following alarm-based information will an operator learn from HMI
design guidance documentation?

a. Default settings for alarm deadbands

b. Alarm functions such as priority definitions, color codes, and tones
c. Methods for handling alarms on bad signal values
d. Techniques to reduce the alarm load

25) The key difference between an alarm system and a safety system is

a. Advanced alarm techniques can reduce alarm system failures; operator

training is necessary to reduce erroneous safety system warnings.
b. Operator training is required to correct alarm system failures; training will have
no effect on erroneous safety system warnings.
c. The alarm function always requires operator intervention; the safety function
never requires operator intervention.
d. The alarm function always requires operator intervention; the safety function
almost always functions without the operator.

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26) Which of the following statements is correct?

a. MTBF formulas include MTTR (mean time to restore) in their calculation;

MTBF is used for both nonrepairable and repairable units.
b. MTBF formulas exclude wearout failures; MTTF formulas include allowances
for wearout failures during a unit’s useful life.
c. MTBF formulas exclude end-of-life failures; MTTF includes end-of-life failures
in most calculations.
d. MTTF indicates a unit’s guaranteed minimum life; MTBF indicates reliability
during a unit’s useful life.

27) Which type of design guidance documentation explains the use of condition-based
logic that an alarm should not occur when the base alarm condition is present?

a. Current good manufacturing practices (cGMP)

b. Guidance on basic configuration practices
c. HMI design guidance documentation
d. Advanced techniques for managing alarms

28) Why is defining satisfactory performance important in predicting system reliability?

a. To help identify and control risks resulting from failures

b. To differentiate satisfactory performance from failure
c. To help collect satisfactory performance and failure data from the field
d. To ensure that the system will be ready for use when required

29) During the 10 minutes following a major plant upset, a system displays 110 alarms.
According to guidance metrics set forth in Engineering Equipment and Materials
Users Association (EEMUA) Publication 191, this alarm rate is typically classified as

a. a nuisance.
b. hard to cope with.
c. manageable.
d. definitely excessive.

30) Which of the following statements BEST describes operating time interval within the
context of reliability for a newly manufactured and successfully tested component?

a. Reliability is a function of the operating time interval.

b. As the operating time interval increases, reliability will plateau and then
increase.
c. Reliability will remain constant if a standby subsystem is ready to operate if the
primary component fails.
d. The accumulated age of the component will not affect reliability.

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31) During a 30-minute period of steady operation, a system generates six alarms, total.
The alarms occur at roughly five-minute intervals. According to guidance metrics
set forth in Engineering Equipment and Materials Users
Association (EEMUA) Publication 191, the alarm rate is

a. over-demanding.
b. excessive.
c. manageable.
d. unacceptable.

32) Which of the following activities is NOT included in calculating the mean time to
restore (MTTR)?

a. Locating the cause of a failure

b. Documenting activities from diagnosis through restoration
c. Periodic inspections
d. Delays in waiting for spare parts

33) The frequency metric of an alarm by tag is typically defined in

a. current good manufacturing practices (cGMP).

b. the alarm philosophy.
c. Engineering Equipment and Materials Users Association (EEMUA) Publication
191.
d. the HMI design.

34) Mean time between failure (MTBF) includes all of the following EXCEPT

a. periodic part replacement.

b. time to detect a failure.
c. actual repair time.
d. time to failure.

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 Week 7 Answer Key

1. b
2. d
3. b
4. d
5. d
6. c
7. b
8. b
9. c
10. b
11. d
12. b
13. d
14. b
15. b
16. b
17. b
18. a
19. b
20. d
21. a
22. b
23. d
24. b
25. d
26. a
27. d
28. b
29. d
30. a
31. c
32. c
33. b
34. a

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282
This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 8

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283
 Module 8: Motor and Drive Control
Types of Electrical Motors
• DC Motors
• AC Motors
Motor Control

Learning Objectives

} Descnba actuation technologies and their control

2 Descnbe output interfacmg techniques

3 Descnbe sensing tecbnclcqies

4 Discuss remote and networked input and output

technologies used in automation control

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284
 Electric Motor Family Tree

PffiMANENT M43NET S>UHW<E

e-, oc � SEPIES',',WND
SQURREL
CAFM:ITOO SfAAT
MJTOOS SHUNT ',',OJND
CCM'OJND WllND
I '""
PEHMANENT SPLIT CNW:ITOO
SI-W)ED PU_E
TW).�UECNW:ITOO

"
SWll
""""'
- INDILTrnl
""''"
a<nrn
REPULSION
REPULSION STAAT

I- � REPULSl()II IJ\OUCTIOO
AO •
MJTOOS
SW>HHUE
- SYf£HRrnOJs HYSTffiESIS
RELUCTftNCE
PERMANENT MAGNET

� =-=
lf.[)UCTION

SYNCl-flOITTUS
M
I
WJJNDROH�
SQUIRRB._ CAGE
I
]
""1 LNl'SlSAL MOTOOS

Notes:

• Divisions are created from variations in winding and rotor

configuration.
• A variety of operating characteristics are available to choose from for
fitting into specific needs.

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285
 DC Motors - Series

SERIES
FIELD
COIL

DC POWER
ARMATURE
SOURCE

IN A -semes- DC MOTOR, THE FIELD COIL IS CONNECTED

IN SERIES WITH THE ARMATURE COIL

Notes:

• Series - high starting torque, poor speed regulation.

• Direct current compound motor field coils may be connected either of
two ways. A--Short-shunt. B--Long-shunt (seen on next slides).
• Shunt used with series winding give high starting torque and good
speed regulation.

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286
 Shunt DC Motors

COWl'OUNO DC MO ro R SHORT SHUNT COlll'OIJNOl;)C IIQTORlONO SHUNT

SERIES
"ELD ..
SE!IES
�

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287
 Variable Torque Applications

Field controlled devices

One charac:lertsUc of a shunt.wound oc motor ts that a reduc::llon In
rated fteld current, at a given armature voltage, wtll result In an Increase
'1speed
This also results In a lower torque OUlpUI per untt of armature QJff9nl

CONSTANT HORSEPOWER CONSTANT HOR SEP OW ER

(AR ...... TUfiE \DLTAGE CONTROL) (fJEU VOLTAGE C DNTRDL)

RATED TORQUE
TORQUE
'' '-....._TORQUE

''°
HORSEPOWER
BASE
SPEED

"'

MOTOR RPM (%)

Notes:

• Armature current is a function of motor load

• As the demand on the motor increases, so does the motor’s demand
for more current
o In order to keep the motor within its rated current range, the
motor load must inherently decrease above speed with a
resultant decrease in motor torque output

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288
 Constant Horsepower Applications

Armature controlled devices

- Armal\n vollago conb ollod DC drive hao constant torque
charaelerisb
- At hall apood, an armature controlled DC - only dovelopo
50% of Ito ratlld lorque and """-

�·
-,
RATED TORQUE

HORSEPOWER
" HORSE POWE

BASE
',TORQUE

(%)
SP�EO
as

c 25 50 75 100
MOTOR RPM i,i,)

Notes:

• Armature and Field controlled Device

• Certain applications require constant horsepower over a specified speed
range. As seen on this slide, an armature voltage-controlled DC drive has
constant torque characteristics.
• A drive required to deliver constant horsepower over a 2:1 speed range
would need special motor and control devices. At half speed, an
armature-controlled DC drive only develops 50% of its rated torque and
horsepower.

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289
 AC Motors - Squirrel-Cage; Induction The color is
assembled
from a large
number of

"""'
laminates in

/ .
onje1 to reduce
eddy currents

- STATOR
VV1NDING

ROTOR '-......."

SHORT�CIRCUITI�
RINGS

�:[)_J

l AC POWER SOURCE

Notes:

• Explain the similarities between a transformer and the induction motor.

• Emphasize the fact of no electrical wiring to the rotor.
• Explain why the field poles and rotor use laminations.
• Note that “stators” are stationary field windings.
• Single-phase motors outnumber by far every other type of electric motor
Application in all domestic appliances and tools, i.e., washers, fans, saws,
blowers, etc.
• Principle of operation of single-phase motors involves some special
techniques for starting
• The split-phase and capacitor start motors are the more common types
found in industry,
• Both of these motors utilize a squirrel-cage rotor
• Motor Speed is determined by 120 X F
N = ----------
P
Where F = frequency, P = Number of poles, and N = synchronous speed

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290
 AC Motors - Split-Phase; Induction

ROTOR ROTOR
STATIONARY AT FULL SPEED
CENTRIFUGAL
SWITCH

I
RUNNING(
SINGLE PHASE STARTING
POWER SOURCE WINDING WINDING

WIRJNG OIAGR,.M OF A SPllT·PHASE MOTOR WITH RUNNING ANO

STARTING WINDINGS THE CENTRIFUGAL SWITCH Will DISCONNECT THE
STAIITING WINDING Al ABOUT 75... OF MOTOR FULL SPEED

Notes:

• Discuss the purpose of the centrifugal switch.

• Explain the reason for the start winding.

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291
 AC Motors - Capacitor Start; Induction

CENTRIFUGAL
SWITCH

STARTING
SINGLE PHASE WINO ING
POWER SOURCE

WIIIINOo, A TYP<CAl CAPACITOlt lUltT M0101t TMf CAl>A(:11011 Ulf0

IN r .. ! SUIHONO WINOINOI CIIY!I Tl•! CAPACITOII IU.IIT MOTOII A "'Cl"
ITAIITINO TOIIOU! TN! C!NTIIIFUOAl IWITCN Will OIICONN!CT Tl<!
IUUINO WlliOINO ANO CAPACITOII AT AIOUT 75'11, OF MOTOII FULl
IPUO

Notes:

• Explain the advantage of capacitor start vs. split phase.

• Discuss the effect of the capacitor on the start winding current.

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292
 AC Motors - 3 Phase =
CHARACTERISTICS

Notes:

• Discuss the advantages of 3-phase motor over 1-phase motor.

• Emphasize the absence of a start winding
• Applications
• Reciprocating Pumps, Crushers, and Ball Mills. Loads such as those in ball mills and
crushers require 200 to 300 percent torque for starting, because of high inertia,
standstill friction, back pressure, and so on. But for running no more than full-load
torque is necessary. NEMA design C induction motors are adequate for such purposes.
• Punch Presses, Cranes, Hoists, and Shears. Such loads as punch presses, cranes, and
shears are classified as intermittent loads. They require frequent start, stop, and
reverse operations. The starting torque needed is about 300 percent of the full-load
torque and the maximum running torque is between 200 and 300 percent of the full-
load torque. For such applications, high-slip, high-torque NEMA design D motors are
often used.
• Constant-Speed Applications. Synchronous motors--reluctance, hysteresis,
permanent magnet, and field-excited types--are ideally suited for loads to be driven at
constant speeds. For small-power applications, such as electric clocks, turntables, and
timing devices, reluctance and hysteresis motors are used. Applications of large
synchronous motors are less expensive than cage-type induction motors for ratings
exceeding 1 hp/rpm. In addition, synchronous motors have higher efficiencies and
better power factors compared to induction motors.

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293
 3-Phase Wye Connected Induction Motor

INTERNAL CONNECTION OF
ONE ENO OF EACH PHA.SE

--• PHASE

t----.,---�-4- -
> '___r!T ._---',----__J A
. ' �'I'--''.C-..I'L-' -',-..--r'•pHASE
�-;
• • \
PHASE

'
c
'------------.•
•
MOTOR STARTER

WIRING DIAGRAM OF A THREE-PHASE MOTOR WIRED IN A

W'fE (Y) CONFIGURATION

Notes:

• Explain that externally the data plate or an Ohmmeter test is the only way
to discern a wye configuration.

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294
 3-Phase Delta Connected Induction Motor

n
\
\ PHASE B

MOTOR STARTER

W!RI�aNJRAMOF A THREE-PHASE WTOR WIRED IN A

DEl.l'A (t:.) CONF'IGURR!ON

Notes:

• Discuss the Ohmmeter test to identify a delta field winding.

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295
 Synchronous Motors - Salient Pole

Synchronous motors are not induction motors! But, this

type starts out as an induction motor.

------ Squ1rrel-Cage rotor

1• ,,. • •

• />-----
- bars

\.•
r• r: ·� Salient Pole
,e ,) � I

••
�

·�
Reluctance style rotor
Low starting torque, but runs at
synchronous speed due to rotor
shaping.

Notes:

• Synchronous motors rotate at the speed of the rotating synchronous

field.
• Reluctance motor: Uses differences in reluctance between areas of the
rotor to produce torque. Utilizes a force that acts on magnetically
permeable material. When material is placed in a magnetic field, it is forced
in the direction of the greater flux density (see slide drawing).
• Slots cut into it at regular intervals and form salient poles. Motor operation
demands the number of salient poles be equal to the number of stator
poles.
• Reluctance of a magnetic circuit: Flux created in magnetic circuit depends
directly upon the mmf of the coil and inversely upon the magnetic
resistance of the circuit.
• Reluctance means “unwillingness” to do something, and in electromagnetic
terms it means magnetic resistance.
• Bars cause it to accelerate as an induction motor. When the motor nears
synchronous speed, the field magnetizes to the rotor and pulls in into step.

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296
 Torque to drive motor is generated because the reluctance is greater in the
areas that do not have any bars. Areas with bars have lower reluctance.
• This type motor has very low starting torque as well as low pull-out torque.

Synchronous Motors- Brush Commutation

This motor has a "wound" rotor connected

to a brush assembly with DC volts applied
(commutated)

The stator windings are either wye or delta.

It has no starting torque- needs external

device for starting-such as small DC motor.

At synchronous speed rotor wi11 rotate at

same speed as rotating stator field -
therefore motor has no slip or unity power
factor.

Can also be excited to provide either

leading or lagging power factor.

'"""
Notes:

• Discuss that this motor is unique and specialized type of fixed-speed motor-
used where constant speed is critical.
• Also used for power factor correction-since it can be excited to provide a
leading or lagging power factor, as well as, unity power factor.
• Considered a very efficient method of converting electrical power to
mechanical power.

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297
 Torque Definitions

Torque refers to the turning effort exerted by the motor shaft

NEMA specifies performance parameters

• locked rotor torque,
• pull-up torque,
• breakdown torque (except for design D),
• inrush current
• Slip (phase lag between voltage and current)

Three values of torque:

• Locked rotor torque (LRT) - Startup torque
• Pull-up torque (PUT) - torque during speedup
• Breakdown torque (BDT) - maximum rated torque

Notes:

• NEMA defines torque characteristics for motors:

• Design A, Design B (the most common design used in industry), Design C,
Design D, Design E
• Explain the differences
• LRT - the torque developed by the motor at standstill, also know as
starting torque
• PUT - the minimum torque developed by the motor as it accelerates
from zero speed to the speed at which breakdown torque occurs
• BDT - the maximum torque that the motor is capable of developing

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298
 NEMA Electric Motor Class Table
Class Star1i� T�ue: Torque: %Slip Applications
Curren l ed rotor Breakdown
A High Medium High 5% Constant Speed/
Max Load
Fans, centnfugal
B Medium Medium High 5% pumps,
Max compressors,
machine tools
c Medium High Medium 5% Constant load/
Max Speed, High
Starting Load

D Medium Extra High Low 5-13 Variable

Load/Speed, v::J
high starting loa
E Medium to Medium to Medium to 75 Pumps, fans,
High High High blowers
Not available

It should be noted that Design E was an approach to high efficiency and is not marketed

Notes:

• Constant Speed Loads: Fans, rotary pumps, unloaded compressors,

machine tools, etc.
• Constant Load Speed: High inertia starting (centrifugal blowers, flywheels,
crushers. Loaded Starts (piston pumps, compressors, conveyors)
• Variable Load Speed: Very High Inertia, loaded starting: punch presses,
shears, forming machine tools, cranes, hoists, elevators, oil pump jacks

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299
 Two-Wire Motor Control Circuit

2 WIRE CONTROL

L1 L2

M OL
..1 ------1 �-3____________ ��
"PILOT DEVICE SUCH AS
LIMIT SWITCH, PRESSURE SWITCH, ETC.

Notes:

• This circuit starts without human intervention, i.e. automatic start.

Three-Wire Motor Control Circuit

MOMENTARY CONTACT OVERLOAD RELAY

PUSH BUTTON CONTACTS
LINE OPERATING COIL
L1
AUXILIARY
CONTACTS

REFERENCE POINT JUNCTION THE

ALSO IDENTIFIED ON ABSENCE OF NOOE
PUSH BUTTON STATION INDICATES WIRES CROSS
WIRING DIAGRAM WITH NO CONNECTION

Notes:

• This is a standard push button, start/stop, 3 wire circuit.

• This also illustrates a ladder circuit (schematic).

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300
 Magnetic Motor Starter
MOUlfflNG
PL,t,TE

AUXILIARY
CONTACTS

RESETBUTION

Notes:

• Motor starter for single phase motor or electrical heater.

• Discuss the various components of the starter.

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301
 Wiring Diagram - 3-Phase Motor Starter

1
LI L2 L3

AUX 3 >1
CONTACT-I

2 - LO�.,..
l 1-
) THERMAL
I .,. - OVERLOADS
ALARM IF· (HEATERS)
SUPPLIED Ao:j 1-o"

-• OL
>
Tl '
T2 T3
T2
1,2,0RJOLR
T1 f �3
CONTACTS
MOTOR

Notes:

• Note that this is a wiring diagram for a motor starter (3-Phase).

• A WIRING DIAGRAM shows, as closely as possible, the actual location of all
of the component parts of the device. The open terminals (marked by an
open circle) and arrows represent connections made by the user.
• Since wiring connections and terminal markings are shown, this type of
diagram is helpful when wiring the device, or tracing wires when
troubleshooting. Note that bold lines denote the power circuit, and thin
lines are used to show the control circuit.
• Conventionally, in AC magnetic equipment, black wires are used in power
circuits and red wires are used for control circuits.
• A wiring diagram is limited in its ability to convey a clear picture of the
sequence of operation of a controller. Where an illustration of the circuit in
its simplest form is desired, the elementary diagram is used.

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302
 Reduced Voltage Starting Circuit

AU. ccs
--'-
"' "' "'
"'
"" ""' "'
"' cs
"'
" "'
" ''"
(3)
' "'

w
rn, "'
IN A REDUCED VOLTAGE PRIMA.RY RESISTANCE
STAA TING CIRCUIT, EXTERNAL RESIST.AN CE IS
ADDEO .ANO TN<ENAWAY FROM THE MOTOR CIRCUIT
MOTOR

Notes:

• Discuss the use of R1, R2 , R3 for reduced voltage starting of a 3-phase

motor.
• Explain the use of timer relay 1 to the delayed closing of CR1 contacts to
bypass the resistors.

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303
 Basic Formulas and Relationships

Torque (lb-N) = weight (lbs) x radius (ft) {from center of rotation}

Torque = horsepow-er x 5252 I RPM {base speed)

Work= distance (ft) x force (lbs)

Power {rate of doing WOO(}= work (ft-lb) f time (mm)

1 Horsepower = 33,000 ft-lbs per min {mechanical)

1 Horsepower= 746 watts {electrical}

Note Torque ana speed are proponion.al 10 llOf'Sepower

Notes:

• These are formulas to be consider when selecting a motor application.

• Note from the formulas that torque, speed and horsepower are
interrelated. Actually, torque and speed are proportional.
• Loads connected to and controlled by motors vary considerably
• Each motor, AC or DC, has its own ability to control different loads at
different speeds
• Some are rated at high starting torque with low running torque
• Others are rated at poor starting torque and high running torque

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 Constant TorqueNariable Horsepower

�o)
- (ov
r>. \.:...)
CONSTANT TOl!OU!
OIIJYl .. OTOfl
CONSTANT TOIIOUI! IVAIIIMlE -H�'M!II
• Conveyors, gear pumps and
machines or load lrftmg
, /

.-
,,
equipment

, , • Horsepower mcreases with

•• ,, '
0
speed, but tOfque requirement
does not vary throughout the
•' , • speed range except for the
,
I-IOIIH�Wl!II 0

,, '• extra starting torque needed to

,,
overcome breakaway fncllon
�

,,

Notes:

• Typical application for a constant torque motor along with a graph

indicating the relationship between torque, speed and horsepower.
• Discuss this typical application for CT/VHP and explain graph relationships.
• This is typical for friction type loads-conveyors, gear type pumps and
machines or load lifting equipment.
• Horsepower increases with speed, but the torque requirement does
not vary throughout the speed range except for the extra starting
torque needed t overcome breakaway friction.

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 Constant HorsepowerNariable Torque (conunuec)

�
-----
CONS1'A'-"f HOflSEPOWEI! IVARIAlll.f. lORQUfl

·- \·�
0"
''
•'
• Machioes that roll and umoll matena1
such as paper or metal

-
0 • Speed ot lhe matenal rs kept constant,
'• w
the motor speed rs not nerreter of a
'c' •' matenal IS constantly changing Motor
starts at high speed to mamtain matenal
speed while torque rs kept at a 1TW11mum

.....
As matenal 1s added to the roll, the motor
must delrver more !orque at a lower

Notes:

• This application applies to loads that demand high torque at low speeds
and low torque at high speeds.
• Examples - Machines that roll and unroll material such as paper or
metal.
• The work is done on a varying diameter with tension and linear speed of
the material constant. Horsepower must be constant.
• Although in these applications the speed of the material is kept constant,
the motor speed is not.
• Diameter of a material is constantly changing
• Motor starts at high speed to maintain material speed while torque is kept
at a minimum.
• As material is added to the roll, the motor must deliver more torque at a
lower speed.
• Torque and speed constantly changing.
• Horsepower is fixed.

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306
 Variable TorqueNariable Horsepower

• Fans, blowers, cenlnfugal pumps,

mcers and eqrtetors

• As molOf speed rs increased, so

rs the load output Both torque
and horsepower are increased

"'"
with increased speed

HORSEPQY.£R

s TORQUE
l O
'
E
E 50%
0

VARIABLE TORQUE
DRIVE MOTOR

TORQUE ANO HORSEPOWER

Notes:

• This applies to loads that have a varying torque and horsepower at different
speeds.
• Examples are fans, blowers, centrifugal pumps, mixers and agitators.
• As the motor speed is increased, so is the load output.
• Since the motor must work harder to deliver more output at a faster speed,
both torque and horsepower are increased with increased speed.

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307
 Typical Torque vs. Speed Curves

-·
PERCENT

"' lilRASSROTOR

"' �SIGND

"' '
', I' <,
'""
&
-,
'
"' CAGE1-
CAGE 2- ,, \
"'
TORQUE
(PERCENT OF <, OESaGNB /
FULL LOAD
'" '
TORQUE)

'"" I '
RATED FULL-LOAD TORQUE
'
"sc COPPER OR
ALUMINUM BARS

as
�
', 20
" 80
SPEED (PERCENT SYNCHRONOUS SPEED)
80 100 PERCENT

GENERAL SHAPE OF SPEED-TORQUE CURVES FOR MOTOR WITH

NEMA DESIGN B,C AND D

Notes:

• Note the differences in characteristics of the three designs.

• Design A Applications - fans, blowers & compressors with high starting
current.
• Design B Applications - fans, blowers & compressors but with low starting
current.
• Design C Applications - conveyor belts, compressors, crushers & pumps.
• Design D Applications - elevators, cranes, hoist & presses.

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308
 Solid State D.C. Drives

""'
JIIIOOER
ORCUIT
SPEEO
CONTROL
SETTINO

STATOR
WNOINOS 0-)
=DC OUIPUI
l
�_
000
\( (\_(\ CONTIIOLLEO
DC OUTl'UT
FAST SPEED
sea WIOFF
.:(\ .:(\ .:(\
SI.CMERSPEEO
Reduced RMS voltage/speed

Ila SCR IS USED TO CONTROL IIIE SPEED Of aoc .. 01011

Notes:

• D.C. drives rectify the commercial AC power to a pulsating DC used by the motor
• Silicon controlled rectifiers (SCR) are usually used to convert AC to DC. SCR functions:
• They rectify and select (by phase angle firing) part of the AC waveform for the
variable voltage
• A control circuit selects the correct time to turn the SCR on for a reduced RMS
voltage. The SCR is then forced off by the reversing current of the AC line
• Various control devices can be used to adjust motor torque and speed, from
zero to valves above rated. This control capability has been an essential
ingredient in the success of many process applications.
• There are a variety of control methods available, ranging in complexity from the simple
series rheostat to the newer generation of microprocessor-based controllers.
• Explain how the average DC power to the armature is controlled by varying the firing
point of the SCR.
• Discuss armature control (constant torque/variable horsepower) and field control
(constant horsepower/variable torque)
• Steel rolling mills
• Stringent torque and speed requirements

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309
 • Rapid torque and speed fluctuations
• Electric traction (For electric locomotives)
• Paper mills
• Accurate speed control of drive motors is essential
• Paper speeds in range 0.1 to 10 m/s, with steady-state speed variation of +/-
0.05% may be required
• SCR Pros and Cons
• Advantages: Durability and Simple control circuits
• Disadvantages: Lagging power factor which changes with speed and Notching
of the power line voltage in large systems

AC Drive Characteristics

Vanable Frequency
Output Power to
anv

Power Rectifiers Output

Input Choppers

Much of the power lhat is coosumed today by AC motors goes mto the operation of fans
and pumps Direct vanable speed control of the fan or pump provides an attractive
means of energy savings and cost efficiency. With these type of oevces. actual demand
is often less than the design capacrty of the system

Notes:

• voltage inverters are used for the control of such motors.

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310
 Summary: Drive Control

Notes:

Multiple Choice Question

Motor & Drive Control

Increasing the torque a motor can achieve is done by:

Q decreasing the current.

@ increasing the current.
operating in the field weakening range.

holding the speed below the base speed.

Wi'li\,,i!M

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311
 Multiple Choice Question
Motoc & Drive Control

In a capacitor-start motor, the function of the capacitor is

to:

give the motor a high starting torque.

'i' tilter out varianons in voltage as the motor starts.

actuate an alarm in case of startup failure.

keep the motor from overheating.

WftH::iiF

Multiple Choice Question

Motoc & Drive Control

In a 3-phase motor, the synchronous speed of the motor is

inversely proportional to:

the full-load current of the motor.

Q the motor's horsepower.

frequency of the supply voltage.

'i' the number of poles.

Ki·i::ilM

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312
 Multiple Choice Question
Motoc & Drive Control

The function of the rotor in an AC induction motor is to:

reduce speed

Q reverse direction of the motor.

,,._. produce torque.

create a magnetic field.

Wi·i::OF

Multiple Choice Question

Motor & Drtve Control

In which type of 3-phase motor are all three phases

connected internally at a single point?

Q Multi-point connected
Q Delta-connected
'• Wye-connected

Inter-phase connected

Wi#\M

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313
 Multiple Choice Question
Motoc & Drive Control

What is the difference between AC and DC motors?

Q An AC drive alternative may require a spare motor; the DC dnve may not.
@AC motors require less maintenance.

Q AC motors generally require more elaborate cooling arrangements than DC

motors.

Q AC motors are generally less efficient than DC motors.

*'"""*

Multiple Choice Question

Motor & Drtve Control

Which of the following provides a torque response that can

be significantly faster than an AC or DC drive?

Q Variable voltage inverter

@Torque controlled scheme

Current source inverter

Flux vector dnve

Wi#\M

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314
 Multiple Choice Question
Motoc & Drive Control

Which of the following is true of motor efficiency of single-

phase AC induction squirrel cage motors?

Motor efficiency declines only slightly when overloaded.

Q Motor efficiency declines at higher levels of voltage.

Q Motor efficiency is greatest when the machine is underloaded.
@ Motor efficiency is greatest near its full load rating.

*'"""*

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315
 PRACTICE QUESTIONS – WEEK 8

1) All of the following statements characterize SIS EXCEPT

a. Total engineering knowledge and skills typically require a multi-disciplined

team.
b. Risk management encompasses a variety of methodologies.
c. A systematic, well-documented design process is required.
d. Prescriptive SIS standards are required.

2) Which statement BEST describes the different technology logic systems used in
safety systems?

a. Pneumatic systems are appropriate when extensive self-diagnostics are

required for critical applications.
b. Relay systems include specific features for testing, bypasses, and
communications.
c. Software-based systems provide flexibility, self-documentation,
communications, and higher-level interfaces.
d. Solid state systems are most suitable for large applications when budget is the
primary consideration.

3) A line fuse has been blown. It was a time delay type. You should replace it with a unit
rated at

a. the same amp value and time delay.

b. a higher amp value and lower time delay.
c. a higher amp value and higher time delay.
d. a lower amp value and lower time delay.

4) Clothing manufacturing plant locations in which easily ignitable fibers or materials

producing combustible flyings are present during processing are included in the
National Electric Code (NEC) Article 500

a. Class II, Division 1.

b. Class II, Division 2.
c. Class III, Division 1.
d. Class III, Division 2.

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5) The BEST way to accommodate differences in international and national safety
practices and ensure the safe use and application of electrical equipment is to

a. retain an independent laboratory to audit the system before commissioning.

b. ensure system compatibility with other surrounding units.
c. increase baseline insulation and partitions whenever high voltages are
present.
d. select, install, and use equipment in accordance with local standards and
codes.

6) A Markov model is used to determine successful system operation as a function of

operating time interval. The resulting computation indicates system

a. mission time.
b. steady-state availability.
c. reliability.
d. probability of success.

7) An important reason for following a systematic safety design life cycle is to

a. minimize inevitable human error.

b. provide a documented, auditable trail of all decisions.
c. validate assumptions about the operation of the controlled system.
d. specify roles and responsibilities of all engineers involved in the design
process.

8) The two failure modes of most concern for safety systems are

a. sensor thermocouple burnout and narrow sensor diagnostic coverage.

b. sensor corrosion and leaking trip valves in final elements.
c. sensor responses to erratic outputs and solenoid reliability in final elements.
d. sensor nuisance trips and sensor failures to respond to changes in actual
conditions.

9) The noise reduction concept that attempts to ensure that floor metalwork is at the
same electrical potential at all frequencies is the

a. equipotential plane.
b. chassis/cabinet ground.
c. suppression of mechanical contacts.
d. filtering of differential lines.

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10) Which statement BEST describes the importance of defining the actual temperature
class for electrical circuits prior to their installation?

a. To ensure that equipment will not become a source of thermal ignition

b. To establish the range of surface temperatures during operation to prevent
equipment failures
c. To fulfill conformity requirements specified in construction rules
d. To ensure that the highest temperature reached by a part does not exceed the
T4 class

11) According to National Electric Code (NEC) Article 500 classifications, locations
where dust clouds of potentially flammable concentrations are present under normal
operating conditions are included in

a. Class I, Division 1.
b. Class I, Division 2.
c. Class II, Division 1.
d. Class II, Division 2.

12) During the design of a safety system for a pipeline, engineers brainstorm what-if
scenarios that could potentially require that specific sections or the entire installation
be shut down safely. This best describes which design life cycle step?

a. Risk assessment
b. Development of safety requirement specifications
c. Allocation of protective layers
d. Hazard analysis

13) Common terms used to quantify dangerous failures include

a. probability of failure on demand (PFD) and nuisance trip rates.

b. probability of failure on demand (PFD), risk reduction factor (RRF), and safety
availability (SA).
c. mean time between failure, spurious (MTBFsp), nuisance trip rates, and safety
availability (SA).
d. mean time between failure, spurious (MTBFsp), and risk reduction factor
(RRF).

14) Which of the following is the most effective technique to reduce system noise
sources based on a heavy magnetic field component?

a. Use ferrous shielding throughout system.

b. Incorporate redundancy in control measures, simplex in communications.
c. Segregate panel components into at least two zones.
d. Use ground shields at both ends.

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15) Which statement BEST describes the importance of defining the actual class, group,
and division of locations in which electrical apparatus is to be installed?

a. To identify how positive mechanical ventilation can prevent auto-ignition of

combustible materials
b. To reduce issues with alarm management systems
c. To know what the energy allowances are
d. To be in compliance with electric codes and standards

16) Once a temperature class is established, the International Electrotechnical

Commission (IEC) designations for marking apparatus specify that a pressurization
system that disconnects the power to ignition-capable apparatus in Division 2
require

a. increased system periodic inspections.

b. a single alarm.
c. an interlock and an alarm.
d. extra inspections to ensure enclosure integrity.

17) The objective of periodic inspection and testing in SIS applications (when the
mission time is equal to the time between period inspection and test) is to

a. check operations in a closed loop system with verifiable feedback.

b. prioritize risks so catastrophic and critical risks can be eliminated or controlled.
c. optimize safety throughout all phases of the system life cycle.
d. calculate the probability of failure on demand.

18) A multi-disciplinary team of engineers ranks the potential hazards of new devices to
control the safe transmission of communications data for a subsea gas pipeline. This
best describes which design life cycle step?

a. Risk assessment
b. Development of safety requirement specifications
c. Allocation of protective layers
d. Hazard analysis

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19) The mission of the Abnormal Situation Management® (ASM®) Consortium is BEST
described as

a. to develop products and services to effectively manage and test changes

made to safety systems.
b. to promote research and development that minimizes failure rates of field
devices.
c. to identify problems resulting from industrial plant incidents and to develop
solutions.
d. to share best practice modeling techniques used to analyze and predict safety
system performance.

20) Electromagnetic coupling problems in the electrical installation of a programmable

electronic device can be reduced by

a. separation of signals by voltage level.

b. mounting to eliminate vibration and ground currents.
c. a cone of protection for all PE devices and related wiring.
d. wireless electrical distribution metering.

21) Intrinsically safe protection implies that

a. explosive gases are isolated from the electrical equipment by the positive
pressure of air or inert gas inside an enclosure.
b. the amount of power available to the electrical equipment in the hazardous
area is limited to a level below that which will ignite a flammable material.
c. ignition capable elements are sealed in an encapsulant to prevent exposure to
flammable liquids.
d. an explosion inside an enclosure is contained and not transmitted to the
outside flammable atmosphere.

22) To maintain safe pressurized protection when purging is not automatic, a user
should

a. ensure that joints are clean and undamaged before covers are replaced.
b. ensure that changes to the installation or addition of a new device do not
violate installation rules.
c. enforce rules against energizing before ensuring that an enclosure is free of
explosive materials.
d. ensure that all bolts and threaded joints are corrosion-free.

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23) What is the direct outcome of using failure modes, effects, and diagnostic analysis
(FMEDA) with a new pressure transmitter (a smart device with self-diagnostics)?

a. Probably causes of a system failure at the lowest level

b. Probably causes of a system failure at the highest level
c. Functional safety certification of the device
d. Failure rates for each important SIF category

24) Which statement describes the allocation of safety functions to protective layers?

a. Multiple, independent safety layers are the best defense.

b. Inner layers mitigate the consequences of a hazardous event in progress.
c. The further out the layer, the more tolerable the level of risk.
d. Safety systems must be closely integrated with control systems.

25) Which of the following situations would MOST likely be considered by the Abnormal
Situation Management® (ASM®) Consortium?

a. Risk analysis best practices from oil refineries and chemical plants
b. Equipment degradation or failures in processing environments leading to
critical conditions or catastrophes
c. Modeling techniques to analyze and predict safety system performance in
pharmaceutical and biotechnology manufacturing environments
d. Alarm rate metrics for performance classifications following a plant upset

26) The most cost-effective method of mitigating the effects of deep voltage sags on
programmable electronic devices and preventing power interruptions or shutdowns
in critical industrial manufacturing processes is

a. adherence to power line conditioning requirements.

b. installation of uninterrupted power supply (UPS) systems.
c. the use of voltage regulators.
d. the use of surge suppressors.

27) A primary difference between Type ma and Type mb protection is

a. Type ma has more robust construction requirements than Type mb.

b. Type ma requires certified assembly of apparatus; Type mb does not.
c. Type ma apparatus is more sensitive to ambient conditions during operation
than Type mb.
d. Type ma apparatus mandates a protective enclosure; Type mb is rated for
unprotected mounting.

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28) An operator needs to learn about alarm practices for redundant transmitters. Which
information should the operator consult?

a. Current good manufacturing practices (cGMP)

b. HMI design guidance documentation
c. Guidance on basic configuration practices
d. Advanced techniques for managing alarms

29) The simulation of operating stress conditions typical for an industrial field
environment detects the high and low failure rates for a pressure transmitter. Why is
it important to classify these rates as safe or dangerous?

a. To determine when a single component failure will fail the entire system
b. To determine and set appropriate alarm trip levels
c. To trigger appropriate calibration and diagnostic procedures
d. To identify the specific cause of a failure rate

30) Which of the following statements BEST describes the range of allocated safety
functions to protective layers?

a. Prevention and detection activities to emergency response activities

b. Active/dynamic process control to passive/dormant safety control
c. Containment layers to acceptable risk layers
d. Inner prevention layers to outer mitigation layers

31) A system is programmed and tested according to the I/O requirements, functional
logic, and the SIL documented in an SRS. In spite of successful redundant manual
tests, a systemic or functional failure results after commissioning. Which of the
following is MOST likely the cause for this failure?

a. Lack of objective safety function modifications after commissioning

b. Impact of other surrounding units on the system processes
c. Error made in the design life cycle logic for safety specifications
d. Flawed hazard and risk analysis

32) Safety requirements for equipment use where explosive concentrations of gas,
vapor, or dust might be present are

a. standardized across nations and subject to strict oversight by a third party.

b. superimposed on general purpose safety standards.
c. not recommended to be done by a CAP.
d. regulated by independent laboratories.

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33) Type e protection includes all of the following construction features EXCEPT

a. Temperature class must be T2 or higher.

b. Stator-rotor gaps are wider than normal.
c. Coils must be impregnated.
d. Terminals must maintain a low resistance connection.

34) Self-diagnostics indicate that some functionality for a smart device is impaired but
that functionality is not needed. In a failure rate database, this event would MOST
likely be classified as

a. annunciation detected.
b. fail no effect.
c. fail-dangerous.
d. fail-safe.

35) Which of the following would NOT typically be included as a protection layer in an
SIS?

a. Public relations systems for crisis management

b. Automatic shutdown system
c. Physical containment systems
d. Alarm system

36) Which statement BEST describes the different technology logic systems used in
safety systems?

a. Relay systems are appropriate when extensive self-diagnostics and reliable

redundancy schemes are required.
b. Discrete component systems are decreasing in popularity due to their high
cost and the need to manually change documentation.
c. Pneumatic systems include specific features for testing, bypasses, and
communications.
d. Software-based systems are most suitable for large applications when budget
is the primary consideration.

37) Which of the following specifications would NOT typically be included in

documentation dealing with protection against electric shock?

a. Installation diagrams to prevent accidental exposure of live parts

b. Enclosures to contain equipment arcs or sparks
c. Hazardous area classification requirements
d. Minimum clearances between conductive parts to prevent short circuiting

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38) A user purchases and installs a manual motor protector in accordance with the
manufacturer’s installation instructions and the applicable National Electric Code
(NEC) installation code. These actions represent which one of the following
protection concepts?

a. Energy-limited
b. Device-oriented
c. Intrinsically safe
d. System-oriented

39) A device failure goes undetected by internal diagnostics; it does not directly impact
safety but it does impact the ability to detect a future fault in a diagnostic circuit. In a
failure rate database, this failure would MOST likely be classified as

a. fail-safe.
b. fail-dangerous undetected.
c. no effect.
d. annunciation undetected.

40) Performance-oriented categorizations of risk probability and severity are often used
to determine the

a. mean time between failure (MTBF) for a process unit.

b. safety integrity level (SIL) for each safety function.
c. safety requirements specifications.
d. allocation of safety layers.

41) Which of the following techniques, if it can be utilized, is the MOST cost-effective in
minimizing the effects of electrical noise resulting from high frequency (HF) signals?

a. Shielding
b. Separation
c. Filtering
d. Grounding

42) According to National Electric Code (NEC) Article 500 classifications, locations
where ignitable concentrations of flammable gases or vapors are present under
normal operating conditions are included in

a. Class I, Division 1.
b. Class I, Division 2.
c. Class II, Division 1.
d. Class II, Division 2.

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43) As shown in the figure below, ungrounded intrinsically safe circuits must

I J
••

a. not contain voltages higher than the Um rating for the apparatus.
b. have protective barrier assemblies.
c. not have any nonintrinsically safe devices connected to the barrier.
d. be dust ignition-proof and have a dust tight enclosure.

44) Which safety integrated function (SIF) metric is best used when periodic inspection,
test, and repair is done?

a. Average probability of failure on demand (PFDavg)

b. Risk reduction factor (RRF)
c. Mean time to fail spurious (MTTFS)
d. Probability of failure on demand (PFD)

45) Is the statement “the system must be easy to use” a good example of a safety
requirements specification (SRS)?

a. Yes, because specific safety functions for each system will vary
b. No, because it is not testable
c. No, because it is expressed in natural language and not modifiable
d. Yes, because it is simple and understandable

46) Which of the following practices increases the effectiveness of shielding in

combating high frequency (HF) noise?

a. Grounding both ends of the shield

b. Coiling surplus cable to minimize inductance
c. Trimming surplus cable
d. Grounding the transmission end of the shield

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47) According to National Electric Code (NEC) Article 500, requirements for ignitable
concentrations of flammable gases or vapors normally confined within closed
containers or closed systems from which they can escape only in case of accidental
rupture or breakdown of such containers or systems, or in case of abnormal
operation of equipment, are included in

a. Class I, Division 1.
b. Class II, Division 1.
c. Class II, Division 2.
d. Class I, Division 2.

48) Which of the following device labels specifies class, zone, protection type, gas
group, and temperature code?

a. EEx ia IIC, T4
b. EX d e mb IIC, T4
c. Class I, Groups C, D, Division 2 T6
d. Class I, Zone 1, AEx m IIC, T6
49) Two safety transmitters are wired to monitor flow rates, liquid levels, and pressures
in a processing plant and convert the sensor data into a signal for transmission to
another location. This architecture is a good way to ensure
a desired SIL 2 of instrumented safety functions because

a. standby sensing and switching is automatic.

b. multiple transmitters measure one variable.
c. multiple transmitters decrease reliability.
d. costs for redundancy are less than a “safe” system failure.

50) Documentation of periodic SIS testing and maintenance procedures

a. facilitates ongoing hazard analysis.

b. provides an auditable trail.
c. provides performance data useful for eventual decommissioning of the system.
d. sets baseline data to assess the impact of any proposed process modifications

51) The neutral in the office distribution system of a manufacturing facility has
overheated to the point of burning through the undersized neutral. What is one
probable cause?

a. Use of 277V fluorescent lamps

b. 230 volt air conditioners in windows
c. Cat 5 Ethernet cable switches
d. Too many PC switching supplies on one line

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52) In hazardous material classification systems used in North America and the
European Community, the terms class, group, or material group define

a. the probability of the location having a flammable concentration of hazardous

material present.
b. the type of the hazardous material present.
c. whether the material would become hazardous in case of an accident or
abnormal operating condition.
d. whether the hazardous material is present under normal operating conditions.

53) Which of the following is NOT characteristic of product nameplate markings on

electrical equipment used in locations where fire or explosion hazards may exist?

a. Class and zone markings are optional in Canada.

b. The label may include the symbol of the certifying authority and an approval
document number.
c. Symbols for conformance to International Electrotechnical Commission (IEC)
standards are always included.
d. If more than one type of protection is used, only the symbol for the more
robust requirement is shown.

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 Week 8 Answer Key

1. d 44. a
2. c 45. b
3. a 46. a
4. c 47. d
5. d 48. d
6. b 49. b
7. b 50. b
8. d 51. d
9. a 52. b
10. a 53. d
11. c
12. d
13. b
14. a
15. c
16. b
17. d
18. a
19. c
20. a
21. b
22. c
23. d
24. a
25. b
26. b
27. a
28. c
29. b
30. d
31. c
32. b
33. a
34. b
35. a
36. b
37. c
38. b
39. d
40. b
41. b
42. a
43. b

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This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 9

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 Module 9:
Motion Control

Axis Motion
Steppers (Open Loop)
DC Servo Motors
(Closed Loop)

Learning Objectives

} Discuss the functions of motion control.

2 Explain the difference between an absolute encoder and an

incremental encoder.

3 Explain what causes the device being controlled to not be at

the correct position when the servo control shows zero error.

4 Identify the control element and the measurement element

in a motion control loop.

5 Describe the difference between stepper motors and servo

motors.

6 Discuss how servo motors are controlled.

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 one and Two Axis
y

Notes:

• The tool head can move up and down (1 axis) and left and right (2nd axis)
• There are three variables on either axis: position, velocity, and acceleration
• Negative acceleration is deceleration, negative velocity is traveling the opposite
direction.

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 Six Axis

A six axis tool head

Notes:

The head may move linearly along the x (back and forth), y (left and right), z
(up and down) as well as rotate on the x axis, rotate on the y axis, and rotate
on the z axis.

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 Stepper Motors

Stepper motor
A device which translates
electrical pulses into fixed
mechanical movements; to move
and control mechanical position

When energized (pulsed):

• conventional motors rotate continuously
• stepper motors rotate (or step) in fixed angular increments

Stepper motors are simple to drive and control in an open-

loop configuration

Notes:

• An application of stepper motors most of us use everyday is in the older hard disk and
floppy disk drives of the computer. [Except most newer drives use a closed loop servo
system - voice coil technology]
• Advantages:
• Maximum torque occurs at low pulse rates:
• The stepper can accelerate its load easily
• When the desired position is reached, the pulses stop
• The rotor is held in position by magnetic attraction between the rotor and
stator
• Various ranges of step angles are available from most manufactures: 1.8 o, 7.5o, 15o,
45o and 90o angles
• Do not require a digital-to-analog conversion at the input, as required by
conventional servos, hence, they work well with PLC’s and computers
• Multiple steppers driven from a common source maintain perfect synchronization
• Feedback is not ordinarily required but can be easily adapted with analog or digital
feedback
• Disadvantages:
• Low efficiency
• Much of the energy is dissipated as heat (approximately 30%)
• Loads, motor and controller must be matched

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 Schematic of Stepper Motor

•V1 USUALLY 10-50VOC

Permanent magnet rotor

'

Notes:

• This is a cross-sectional view of a stepping motor. This particular unit has four
stator poles and six rotor poles; that combination produces a full-step angle of 30
degrees.
• Explain that the windings on the stator pole are wrapped so the closure of any
winding’s control switch causes that pole to become magnetically north.
• Note that the six-pole rotor is permanently magnetized.
• With only one stator pole energized, the rotor aligns its nearest south pole.
• If we energize A, then B, then C, the rotor will step clockwise 30 degrees per switch
closure.
• Hence, sequence ABCD gives clockwise rotation.
• Sequence ADCB gives counterclockwise rotation.
• Simultaneous energizing of two stator windings gives 15-degree steps, i.e. CD on,
then off, B on, then off, AD on, etc.

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 Stepping Motor Control Circuit
.,,
STEPPER MOTOR
CURRENT
LIMITING
CURRENT-SINKING
RESISTOR
STEP
PULSES OUTPUT
TERMINALS

I '
O•CW
1 •CCW
STEP
'' '
""
INJT
c
0 c
0

Note that common step angles for

stepping motors are 30, 15, 5, 2.5, 2 and
1.8 degrees Step size can be Y. these.

Notes:

• Note that common step angles for stepping motors are 30, 15, 5, 2.5, 2 and
1.8 degrees.
• Today’s machines with half step selection can deliver step sizes equal to
half these values. Thus, giving the smallest angle of 0.9 degrees.
• In its simplest form, control of a stepper motor could be accomplished with
three inputs to a control device:
• Initialize, (signal low)
• Direction, (signal low turn clockwise) (signal high turn
counterclockwise)
• Step, (each pulse input causes motor to advance one position)

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• Because of the inertia of the motor and load, the motor has to be pulsed
slowly on acceleration (ramp up) and deceleration (ramp down)
• It can be pulsed at its maximum rate in between the two ramps

200-Step Hybrid Motor

18

Notes:

• Phase 1 winding shown. Phase 2 windings on intermediate poles.

• The 200-step motor operates the same way as the similar model, but with a
greater number of teeth on the rotor and stator, produces a smaller step size.
• A technique called “micro-stepping” can be achieved by proportioning the current
in the two motor windings.
• Thus, producing a series of intermediate step positions. In fact, it is possible to
have 10,000 steps per rev. or more.
• 10,000 steps = .04 deg/step.

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 Intro to Servos/Motion Control

> Servo systems are feedback systems for mechanical

positioning tools or devices along axis
> The controlled variable is a mechanical position along
an axis
> The trend today in motion
control is in the area of
brushless servo drives

Notes:

• Discuss that while most motor applications are designed to run at one speed,
servomotors are designed to carry out operations following a wide range of speed
instructions.
• The word “servo” comes from the Latin “servus” meaning “slave” and a servomotor
can be thought of as following its master’s orders. Here, orders are position and
speed.
• The primary limitation of the DC servo motor is the mechanical commutation
• Brush replacement
• Brush run-in
• Brush arc RFI
• Voltage-current limitations

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 DC Servo Motor Family Tree

BRUSHLESS

IRON-CORE MOVING COIL

I
DISC]
I CUP

Notes:

Each of the different motors have applications, but the brushless is the
motor of choice now days.

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 Position Loop Systems

'1-------
lla.OCITYLOOP I '

�··
11111 I
M MOTOR

' '
,�c'� c��,�����-'----------�-5..-�-------
� "'-TRENATE POSITION Fa:OBACK

./ This rs a SefVO system With velocity k>op control and posmoo loop control
./ The posmon controller keeps track of posmon error and compares 1t to position
command
./ The difference (error) between !he two ts sent to the servo amplifier to keep track
of poenoe error
./ VVheti the posnco error rs compared Wllh posmoo command and then converted to
an analog comma rid through DIA converter, both velocJty arc posmcn loops are
closed

Notes:

• Explain that this is a servo system with velocity loop control and position loop
control.
• The position controller keeps track of position error and compares it to position
command.
• The difference (error) between the two is sent to the servo amplifier to keep track
of position error
• When the position error is compared with position command and then converted
to an analog command through D/A converter, both velocity and position loops
are closed

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 Servo Amplifier Definitions
Servo ampllfler contains summing junction. velocity, and
current loops
..,, Summing junction: Point where tach feedback. sums with command
signal to regulate speed
..,- Velocity loop: Amplifies the output from the summing junction
..,, Current loop: Amplifies the velocity error output providing current to
the motor

Command signal
Purpose is to command motor speed
Analog signal where motor speed and direction are proportional to
magnitude and polarity of this command signal
Example
Av = half speed
- .ev = full speed

Notes:

• Summing junction
Point where tach feedback sums with command signal to regulate speed
• Velocity loop
Amplifies the output from the summing junction
• Current loop
Amplifies the velocity error output providing current to the motor

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 Brushless (Permanent Magnet) Servo Motor

HEAT

CONTROL
ELECTRONICS R s
OMMUNICATIONS
SIGNALS POLY PHASE
STATOR WINDING
IS SIMILAR TO
INDUCTANCE
MOTOR
T���--�I

Notes:

• Eliminates the DC motors mechanical commutator and armature winding on the

rotor
• The brushless design results in:
• Lower rotor inertias
• Higher rotor speeds
• Higher motor supply voltages compared to the conventional DC motor

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 Torque-Speed Curves of Brushless and DC Servo

AMPLIFIER
TORQUE
--
L CURRENT LIMIT
------.
' <, AMPLIFIER
....-,-:
',, VOLTAGE LIMIT
''
BRUSHLESS ''
SERVO ''
DC SERVO ''
''
''
COMMUTATION
''
LIMIT
''
SPEED

Notes:

Point out that the torque-speed graph emphasizes the advantages of the
brushless motor.

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 Principle of Optical Encoder

� () () :
COLLIMATED GRATING MASK DETECTOR
LIGHT SOURCE

Notes:

• Explain that the encoder translates mechanical motion into electronic signals used
for monitoring position or velocity.
• Light source - LED.
• Detector - phototransistor or photo-voltaic diode.

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 Disks

ABSOLUTE DISK INCREMENTAL DISK

Notes:

• Incremental encoder
• Generates a pulse for a given increment of shaft rotation (rotary encoder), or a
pulse for a given linear distance traveled (linear encoder)
• Total distance traveled or shaft angular rotation is determined by counting the
encoder output pulses
• Absolute encoder
• a position verification device that provides unique position information for each
shaft location
• There are several concentric tracks, unlike the incremental encoder, with its single track
• Each track has an independent light source
• As the light passes through a slot a high state (true “1”) is created
• If light does not pass through the disk a low state (false “0”) is created
• The position of the shaft can be identified through the pattern of “1s and 0s”
• The tracks vary in slot size, moving from smaller at the outside edge to larger toward the
center
• The pattern of slots is also staggered with respect to preceding and succeeding tracks
• The number of tracks determines the amount of position information that can be derived
from the encoder disk--resolution
•
For example, if the disk has ten tracks, the resolution of the encoder would usually
be 1,024 positions per revolution or 210
• For reliability, it is desirable to have the disks constructed of metal rather than glass
• A metal disk is not as fragile, and has lower inertia

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 Absolute Encoder Output

The disk pattern of an absolute encoder is in machine

readable code, usually binary, grey code or a variety of grey

-
CURRENT
POSITION
BIT
LSB
DD - D DODD
D I DD
0 I I
MSB 1 I I

1011 ::: DECIMAL 11

Notes:

• The figure presents a simple binary output with four bits of information. The
current location is equivalent to the decimal number 11.
• Moving to the right from the current position, the next decimal number is 10 (0-1-
0-1 binary).
• Moving to the left from the current position, the next position would be 12 (0-0-1-
1).

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 Advantages of Absolute Encoders

Rotary and linear absolute encoders offer a number of

significant advantages:
../ No position loss on power down or loss of power
../ An absolute encoder is not a counting device like an
incremental encoder, because an absolute system reads actual
shaft position
../ The lack of power does not cause the encoder to lose
position information

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 PID Control of Servo System

SP= rraecrorvvaiue

Drive
coupling

Shilt pcsmon from EncoCFr

Note the independent terms of the Servo PIO

Notes:

• In the time domain:

• PID (output(t)) = Kp(error(t)) + Ki∫(error(t)dt + Kd d/dt(error(t)
• Kp = Proportional Gain (Proportional Band = 100/Kp)
• Ki = Integral Gain
• Kd = Derivative Gain
• PID control, whether tuned by Ziegler Nichols closed loop method or the
successive approximation method (trial and error) still leaves undesirable
overshoot which limits high performance in servo systems.

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 PIV Control of Servo System

Shaff osition from encoder

Notes:

• PIV control requires knowledge of the motor velocity performed in this slide by the
Velocity Estimator.
• Kp = Proportional Gain
• Ki = Integral Gain
• Kv = Velocity Gain
• While PIV control (with proper tuning) can greatly reduce (actually eliminate) over
or undershoot, it suffers from the same problem as PID control. It lags the actual
motor position. Because until an error is generated, no correction can be made, in
other words you have to upset the system prior to correction of system error.

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 PIV with Feed-Forward

A
Encoder Disk

----,V

Velocity
Estimator

Shaft osrlron from encoder

Notes:

• If the velocity, acceleration, and position (trajectory) commands are

available as synchronized commands, feed-forward can be used to reduce
to zero the following error. Tuning of any of these three strategies is
beyond the scope of this review, however there are references at the end of
this section for further research and study.

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 Summary: Motion Control
·,�� ......,......,

• Axis Motion
•
•

Notes:

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 Multiple Choice Question
MoUOn Controt

In tuning an axis for point-to-point moves, what would the

automation professional look for?

Axis that has no following error

Axis with a lot of feedforward to adjust for velocity changes

'i' Axis that quickly makes the move but with minimal or no overshoot

Q Extremely hot axis with very little following error

Wffiffiifii

Multiple Choice Question

MotlooCootrol

An advantage of an absolute encoder is:

"i' There is no position loss on power down or loss of power

A device which infers position from a resolver

That it ,sable to be mounted on the same shaft with different types of

encoders

Q A device which gives the position directly as an ASCII code

WiMMM

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 Multiple Choice Question
Motion Control

Which of the following is true of a stepper motor?

Q It operates at a low slip speed.

@ It is used open loop.
It is used closed loop.

It is applied to a flux vector drive.

WitiMfiM

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 Multiple Choice Question
Motion Control

A server controller typically can have which two types of

loops?

Position and Acceleration

Q Velocity and Disturbance Feedback

Inner and Outer Cascade loops

'i' Position and Velocity

Witi@tii

Multiple Choice Question

Motion Controt

Which of the following is true about servo command

signals?

@ Command is an analog signal where motor speed and direction are

proportional to magnitude and polarity of this command signal

Purpose of the command is to change motor torque

Commands cannot be greater be greater than 0.5 v

Q Commands can be given only once per second

WitiitrtfiM

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 Multiple Choice Question
MoUOn Control

Which of the following is the innermost loop of a servo

motion control system that resides in the drive and is
typically set by the vendor?

Q Velocity loop
@Torque loop

Q Three-phase Y
Q Position loop

WiMftiM

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 Multiple Choice Question
Motion Control

Which of the following is typically used to provide position

feedback for a linear hydraulic axis?

Q Resolver
Q Laser interferometers
Q Encoder
@ Magnetorestrictwe transducer

WitiMhM

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 PRACTICE QUESTIONS – WEEK 9

1) Which layer in the ISO/OSI seven-layer stack handles external network addressing?

a. Layer 2, data link layer

b. Layer 3, network layer
c. Layer 5, session layer
d. Layer 7, application layer

2) Compared with device and sensor networks, ControlNet system architecture

a. is more focused on providing a communications backbone.

b. simplifies commissioning.
c. reduces cost and wiring in system retrofits.
d. is focused on providing communications to large sensor networks.

3) Which statement BEST describes PROFINET’s use of eXtensible Markup Language

(XML)?

a. It simulates machine language for all types of control systems.

b. It specifies steps or procedures that tell the computer network what to do and
how to do it.
c. It describes what data means and facilitates use of the data without human
intervention.
d. It determines how data should be displayed.

4) Which type of error protection and correction uses a complex polynomial that results
in a frame check sequence being added to a message?

a. Checksum
b. Cyclic redundancy code
c. Error correcting code
d. Parity error detection

5) Routing in an industrial network is the primary function of which layer of the ISO/OSI
seven-layer stack?

a. Layer 1, physical layer

b. Layer 2, data link layer
c. Layer 3, network layer
d. Layer 4, transport layer

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6) The primary functions of industrial networks include all of the following EXCEPT

a. to retrieve data for use in business or engineering applications.

b. to allow operators and engineers to query and change the operation of plant
devices.
c. to become more proprietary based on performance advantages.
d. to serve as a data highway connecting electronic devices in a plant.

7) All of the following capabilities would be considered to be Ethernet Industrial Protocol

(EtherNet/IP) advantages EXCEPT

a. non-deterministic nature.
b. open network standards.
c. lower component costs.
d. broad usage and support.

8) All of the following are benefits of WorldFIP EXCEPT

a. messaging services and a message packet of 256 bytes provide a transparent

connection to the Internet.
b. deterministic high-speed response facilitates effective time-critical data and
event data transmission.
c. a complete range of applications from large PLCs down to low-end
nonintelligent sensors are possible.
d. different protocols are included to cover the range of applications.

9) What makes checksum a more efficient form of error detection and correction than
parity error detection?

a. A cyclic redundancy code (CRC) algorithm

b. Complex error correcting code (ECC) appended to the message
c. Exclusive or-ing (XOR) all of the bytes in the message
d. A frame check sequence (FCS)

10) One of the duties of the Transmission Control Protocol (TCP) is to

a. provide a time slot for transmitting data.

b. ensure that a message is reliably delivered to the end destination.
c. deliver IP packets between two IP address using “best effort” methods.
d. segment long messages.

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11) Which type of industrial network has nodes that concentrate data from several
devices at one location, the network connection hub?

a. Process control fieldbus

b. Information technology (IT) networks
c. Control level networks
d. Discrete sensor data

12) The two factors that determine the number of devices that can be powered from the
FOUNDATION Fieldbus H1 bus are the

a. device signaling characteristics and the classification of non-incendive or not.

b. use of intrinsic safety and the classification of non-incendive or not.
c. use of intrinsic safety and recognition of application layers.
d. baud rates and device signaling characteristics.

13) In MODBUS application commands and relay ladder logic (RLL), a single output bit
describes a

a. register.
b. coil.
c. force.
d. mask.

14) Which of the following services is characteristic of ISO/OSI layer 7, the application
layer?

a. Fast, low-level signaling

b. Data encryption
c. Translation of character encoding
d. File Transfer Protocol (FTP)

15) Which characteristic differentiates discrete sensor networks from process control
networks at the device level?

a. Very fast cycle times

b. Fieldbus replacement of point-to-point links
c. Simplicity with many signal processing features
d. Improved interoperability

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16) What is the significance of the Fieldbus Intrinsic Safety Concept (FISCO)?

a. It decreases the number of field devices per trunk compared with traditional
area classification practices.
b. It simplifies the rules governing energy storage in field cables and makes more
power available to the fieldbus trunk.
c. It increases safety requirements for live-working on trunk and spurs.
d. It standardizes safety documentation for fieldbus circuits in Division 2
hazardous areas, in which the explosion hazard is expected only in abnormal
circumstances.

17) Which of the following is NOT an improvement to Modbus communications resulting

from Modbus/TCP?

a. Improved remote operation via the corporate LAN or the Internet

b. Increased operational speed
c. Lower cost by using commercial Ethernet components
d. Reduced Internet security problems

18) An advantage of star topology is

a. the central “backbone cable” minimizes the distance a device signal has to
travel.
b. disconnection of any one device will not disrupt the rest of the network.
c. connections to the bus provide short-circuit protection.
d. it allows maximum flexibility when configuring and assigning devices to
segments.

19) To combat high levels of electrical noise in processing plants, industrial networks
typically use

a. wireless technology.
b. bridge devices.
c. shielded cable.
d. a FOUNDATION Fieldbus.

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20) FOUNDATION Fieldbus HSE improves on FOUNDATION Fieldbus H1 architecture
by

a. providing higher noise immunity.

b. increasing the number of devices that can be powered from an intrinsically
safe fieldbus.
c. joining segments directly.
d. facilitating remote device configuration and diagnosis.

21) The function of the highest layer in a communications stack is to

a. segment long messages.

b. provide the interface to the user.
c. communicate the error detection algorithm.
d. confirm the type of electrical signals used in the transmission.

22) Which type of network topology has alternate paths to pass messages with the
route defined by the destination address?

a. Daisy chain
b. Ring
c. Multidrop
d. Mesh

23) Which of the following sensor networks often uses a flat cable and sensors and
actuators purchased with M12 connectors?

a. Control area network (CAN)

b. ControlNet
c. Actuator/sensor interface (AS-interface or AS-i)
d. DeviceNet

24) A fieldbus network designed to provide an integrated sensor network called the local
loop BEST describes

a. Local Operating Network (LONWorks).

b. Interbus.
c. PROFIBUS-PA.
d. Modbus.

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25) Which network access method polls all nodes and requests them to send data?

a. Master/slave
b. Arbitration
c. Token passing
d. Contention

26) A characteristic differentiating daisy chain topology from multidrop network topology
is

a. improved signal monitoring.

b. greater power requirements.
c. signal routing.
d. increased reliability.

27) The maximum number of nodes an actuator/sensor interface (AS-interface or AS-i)

can support is

a. 8.
b. 31.
c. 62.
d. 124.

28) The objective of a Local Operating Network (LONWorks) is to

a. simplify configuration.
b. embed the entire communications stack in a microcontroller.
c. provide high-speed deterministic cyclical communication.
d. simplify commissioning.

29) Which network access method listens for inactivity before transmitting data?

a. Contention
b. Arbitration
c. Token passing
d. Master/slave

30) Which characteristic differentiates ring topology from daisy chain network topology?

a. Direction of data movement

b. Flexibility in configuration
c. Spur lengths
d. Wiring of the last device

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31) Which industrial network is MOST associated with automotive applications?

a. ControlNet
b. Control area network (CAN)
c. FOUNDATION Fieldbus HSE
d. FOUNDATION Fieldbus H1

32) Which of the following industrial automation networks provides a widely used
backbone bus for integrating controllers and I/O systems through simple-to-write
drivers that use standard PC serial ports?

a. PROFIBUS-PA
b. Interbus
c. Modbus
d. FOUNDATION Fieldbus HSE

33) The physical layer of the ISO/OSI seven-layer stack includes information on all of
the following EXCEPT

a. signaling method.
b. data framing.
c. type of connectors supported.
d. voltage levels.

34) Hop message passing is characteristic of which topology?

a. Daisy chain
b. Dual redundant counter-rotating ring topology
c. Star
d. Mesh

35) All of the following DeviceNet capabilities would be considered to be network

advantages EXCEPT

a. control area network (CAN)-based structure with well-defined application layer.

b. good connectivity.
c. high speed data transfer.
d. standardized connectors, cabling, and power supply.

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36) Which of the following industrial automation networks is characterized by high-
speed signaling to support host system updates at very short distances?

a. Modbus
b. PROFIBUS-DP
c. PROFINET
d. PROFIBUS-PA

37) Which layer in the ISO/OSI seven-layer stack provides information on addressing
and error detection/correction methods?

a. Layer 2, data link layer

b. Layer 3, network layer
c. Layer 5, session layer
d. Layer 7, application layer

38) A direct result of Honeywell’s Smart Distributed System (SDS) being embedded in
sensors and actuators is

a. accommodation of longer data values.

b. routing of data across multiple subnets.
c. highly synchronized messaging.
d. use of a lower-cost controller.

39) In FOUNDATION Fieldbus H1, the basic requirement for intrinsic safety is the use of

a. junction and field marshalling boxes.

b. M12 connectors.
c. a barrier.
d. chicken-foot topology.

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 Week 9 Answer Key

1. b
2. a
3. c
4. b
5. c
6. c
7. a
8. d
9. c
10. b
11. d
12. b
13. b
14. d
15. b
16. b
17. d
18. b
19. c
20. c
21. b
22. d
23. c
24. b
25. a
26. c
27. b
28. b
29. a
30. d
31. b
32. c
33. b
34. d
35. c
36. b
37. a
38. d
39. c

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This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 10

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 Learning Objectives

} Explain the difference in model fidelity requirements.

2 Recognize the need for field or lab measurements to correct

models.

3 Compare and contrast expenmental and first pnnc1pal

models.

4 Explam the nsks of relying on historical data to build models.

5 Explain the differences between a dynamic model and a

steady state model

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 Tie-Back "Model"

Tie output of controller to input

Simulates process with unity gam and no time

constant or dead time

Measurements change directly wtth outputs

Notes:

• A tieback model is not an incremental model, so the model fidelity is usually poor
even when the gain parameter is adjusted.

• The tieback model uses a single input and a single output so does not show the
interactions and disturbances.

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 First Principles Model

FIXED
RESTRICTION

dL
A dt = F;n - Fout

Using:

Notes:

• First Principle Models use equations that obey the laws of Physics.

• A = area, L = level, so equation 1 says the change in level over the change in time
for that area is equal to the difference between the flow in and the flow out.

• By equivalency, this same change in level is equal to the flow in minus kL

• This begins to show how a model may be developed from an empirical set of
measurements

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 Deviation Variables

At Steady State:
dl
= 0
dt

F. = F = kl
In ,SS OU t ,SS SS

F.
rn ,ss
L
SS = k

(If Fin changes, L and F001 will change.)

Notes:

• When the same quantity is arriving (F in) as that quantity that is leaving (F
out) then they are at steady state and equal.

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 The Graphical Solution

DMV
I How much?
' I
I I

1----'--r---;1--------
KpDMv_r_ --;-:,,....
95%

...___,'-+---'Iv-. l- - _ lI _ - - - - - - - -� _l_
63.2% I ' I

I I

3t------l
How fast? t = time to make
63.2% of change

Notes:

• Simply illustrates the first order lag

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 Parameter Identification

OUR DATA BASE

Sample
Time
k Y, Y,-1 Y,-2 m,_ mk·1-N
k+1 Yk+1 Y, Yk-1 'm, mk-N

k+2 Yk+2 Yk+1 Y, mk+1 mk+1-N

.
.
.
k+M Yk+M Yk+M-1 Yk+M-2 mk+M-1 mk+M-N

•
Designate the data columns as vectors:

I
Notes:

• Setting up a matrix, identify not expand.

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 Parameter Identification (continued)

We want to find parameters a1. a2, b1 and bN+1 which

will give a "best fit" to the equation:

or to the vector equation:

Y = a.y, + a2Y2
- - -
+ b.m, + bN+1l!!N .. 1

Notes:

• Vector equation is basis for our matrix

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 Parameter Identification 1contmcedl

Collect the vectors into a matrix, which we will call D

(for data):

Collect the unknown parameters into a vector which

we will call x :

The (compact) model equation is now:

where D is a tall, skinny matrix.

Notes:

• Explain steps, math does not need to be done as this is a general model

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 Models of Other Functions

DEAD TIME INTEGRATION

Time Domain y(t) = u(t - Ta) f'

y(t)= u(O)dO + y(O)
'
__':j u
Graphical y
�

Laplace

z z-N where N = Td
&T

Difference
Equation

Notes:

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 Time Series Representation

INPUT
CHANGE

1
0
TT
i
I = 0
-+IT!+- CME

I = 1

(0 087 151 198 233 258 277 291 301

308 314 318 321 323 325 326 327
3283�329329329329329329
329329

Notes:

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375
 An Ideal Step Response

CONSIDER A STEP IN U AFTER AN INITlA.L STEADY STATE ONA

LINEAR PROCESS

L--L-L-��--',, ���-�-�TIME
I = 0
Tl ME =
' T
27 28 29 30

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 An Ideal Step Response (continued)

D.uo is the step change from u, at i =0

y. is the deviation from y. at i

Y1 = 6.uos1
Y 2 = 6.UoS2 Nole In this section, the
normalized step response rs
Y3 = 6.uoS3 denoted by s and the
normalized impulse response
M by h

Y29 = AuoS29
Y Jo = 6.uoS30

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 Empirical Modeling: Time Series
If the input is not an ideal step, model 11 as a series of steps. Consider
a linear process at an initial steady-state

.,.
u, u,

u,
u
r
' ' Cumu!atJVe
'
Res se
Response to
U,
Response 1o
U,
Response lo
u,
0 2}�56

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 Empirical Modeling: Time Series (connnueo)

.6.u, = step change from previous u = u, - u . . ,

y, = deviation from y,

Y1 = .6.uoS1 y [�u]£
Y2 = .6.U1S1 + LluoS2
Y3 = .6.U2S1 + .6.U1S2 + .6.uosl

Y29 = .6.U2sS1 +.6.U27S2 +.1.u26SJ + L +.6.UoS29

y JO = .6.u 2951 + .6.u 2sS2 + .6.u 2153 + L + .6.u ,s29 + .6.uosJo

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 Empirical Model: Time Series (continued)

y1 = .1u0s1 + Llu_1s2 + !J.u_2s3 + L + tlu_28s29 + .1u29s.m

y2 = 8u1s1 + IJ.u0s1 + .1u_1s, + L+ .1u_27S29 + .1u28s30
y1 =.1U2S1 +tlU1S2 + !:J.U0S3 +L+Llu_2,,S29+.1u21s_1
(1

s,
s,
6.u0 .1u_1 .6.u_2 ••• .1.u_28 .1u_19
s,
Au1 !J.u0 .1u_1 ••• !J.u_27 Au_28
y=
Llu2 .6.u1 .6.u0 ••• .1.u_26 .1u_27

s,,
s.,

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 Empirical Model: Time Series (connnueo)

The model becomes: y=U�

where U is a (Nx30] matrix, with N >> 30.

Find the best values for the elements of s:

N �
J= I(jl(e- Y,f
min
�}
,.,

Solution: � = [UTLJJ-'UTy

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 Impulse Response Model

i th Deviation from

Notes:

• Alternately, consider the influence as an impulse.

• Impulse and step response views are equivalent.

• Both are common.

• You should be familiar with both.

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 Impulse Response Model (contlnuec]

Consider two equal and opposite

steps in U at

t = iT and t = (i + 1 )T

RESPON3E f:.110
NET eu EFFECT

_
RESPON3E lllJ.i t\J'

0 1 2 3 4

Notes:

• An impulse is the same as a step up followed by a step down.

• Note distinction: a U step is written as U is Ui - Ui-1. A U impulse is written as U

and is Ui - Ubase case.

• Note distinction: s is the process response to a step U, which persists forever.
Last s   h is the response to a one time impulse. Last h = 0.

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 Equivalence: Step and Impulse Models

Au.I =r uI -u.I- 1

U1 = deviation from ue
y, = deviation from Yb

= S1Ui-l -slui-2 + S2Ui-2 -s2ui-3 + S3Ui-3

=s1u,_1 +(s2-s1)u,_2 +(s3-s2)u,_3 + ...
= h,u,_1 + h2u,_2 + h3u,_3 + ...

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 Equivalence: Step and Impulse Models continued

Therefore:

h, =S1 S1 = ht
h2=S2-S1 S2 =Si +h2 =h1 +h2
h3=S3-S2 S 3 = S2 + h, = h, + h, + h,
M M
h.=s.-s,
I L I-

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 Comparison: Step and Impulse Models

Step Response
4
3
2

I
0 5 9 13 17 21 25 29
Time

Impulse response

0 8
0 6
04
0 2
11•n111 .. "
0 5 9 13 17 21 25 29
Time

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 Modeling Process

Start Cross Correlation to

- get best guess of No
model structure

Select Mode!
Structure and fit model 'i---- ·4:
to model parameters

j No
Yes

Select Nrnse Model

• •---1 Structure and fit Noise
Model Parameters

Yes
Save Model

Notes:

• This is the process for determining the best fit model

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 Neural Networks - What are They?

Outputs

Output
Layer

Neurons
Hidden
(Nodes) <,
Layer

Input
Layer
Inputs

Notes:

• Artificial Neural Networks (ANN) consists of series of nodes in hidden layers where
each node is a nonlinear sigmoidal function to mimic the behavior of the brain.

• The integral of any smooth, positive, "bump-shaped" function will be sigmoidal,

thus the cumulative distribution functions for many common probability
equations. S curve.

• The input to each node in the first hidden layer is the summation of the process
inputs biased and multiplied by their respective weighting factors.

• For process control; the weights of each node are automatically adjusted by
software to minimize the error between the predicted and the measured process
variables in the training data set.

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 Neural Nets - Why are they used?

Can model non-linear process behavior without a

pnor understanding of the underlying physical
phenomena

Can "learn" from input-output data

Computationally efficient - can make real-time on-line

model-based applications practicable

Can be used to produce a non-hnear dynamic

process model suitable for use in model-based
control schemes

Can be adaptive, due to on-lme learning capability

Notes:

• These are the good points, the reasons to use neural networks

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 Neural Nets - How do they do it?
To Next Layer

:x
x,
"Y- I
+--- s I -------+
� l- 1-t-e___,,
Typical Layer
Typical Neuron "i"

W,c w,,
"Bias" Input x
'
x ... x
Inputs from Lower Layer
J •
0<x, <1
- ,-

Notes:

• This is the sigmoidal function; the output is dependent upon the bias (Wi0)
and the summation of the lower level inputs.

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 Neural Nets - How do they Learn?

•• Error Function
,'
,' er
' Targets
''
Adjust Weights Using
Backpropagation or
Steepest Descent

Input Pattern

Notes:

• Software implements the method during a “training” period, where the

actual weighted outputs are compared to real process measurement
(targets), and the error function being used to correct the weighting.

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391
 Training and Training Data

Data input will probably come from a process historian

Should uniformly cover the entire operatmg region

Insufficient data m some parts of operating region? Use

data generated by a rigorous process design simulator

Pre-filter the data. Remove outliers and data collected

during abnormal conditions

Notes:

• The output will only be as good as the inputs, i.e., garbage in-garbage out

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 Training and Training Data (connnueo)

Use the minimal number of inputs that will adequately

characterize the operating conditions

After the data set is prepared, divide the set into two
groups: 80 - 85% for training and 15 - 20'1, for model
validation

Model validation is very important. You may have to

redesign the network (fewer neurons and/or layers) and
try again

Once the model rs trained, don't attempt to extrapolate

outside the training region

Notes:

• Emphasize the last bullet.

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 Neural Nets • Control Applications

Notes:

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 Neural Net Dynamic Models

Predicted Future CVs Required Future MVs

Yk+1 Yk+2 Yk+N

mk mk-M uk uk-M Y1\1 Yk+N Yk Yk-0

Past MVs Past DVs Required Past CVs
Future CVs

Process Model Inverse Model

Notes:

• Can be used to determine probability of future controller output settings or

inversely, future measured variables - much as you predict behavior based
on your past experience and knowledge.

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 Summary: Process Modeling

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 Part Two: Advanced Process Control

Learning Objectives

I Recognize the ability of fuzzy logic controls (FLC) to control

nonlinear slow processes.

2 Discuss how loop complexities affect adaptive and model

predictive control.

3 Compare and contrast PIO and model predictive control

4 Discuss tests used to identity the process.

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 Real-World Control Problems

Processes may not be well-behaved (e.g., inverse

response, dead time, etc)

Processes are multi-variable, interacting

Rigorous dynamic model suitable for control is not

tractable

Process is subject to random disturbances

Constraints are present:

• On process variables
• On manipulated variables
• On auxiliary variables

Notes:

Real-World Control Problems (contlnueo)

There may be no feasible solution that will satisfy all

constraints simultaneously

Processes are not necessarily "square"; they may be

"fat" or "thin"
• Square: Number of inputs = Number of outputs
• Fat: Number of inputs> Number of outputs
• Thin: Number of inputs< Number of outputs

A valve going into saturation. a controller switched to

Manual, or the loss of an analyzer may convert a
"square" system to "thin", etc.

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 What is Model-Based Control?

Model-based control utilizes an

explicit process model,
embedded within the control
algorithm, to provide improved
control, often in the presence of
multiple problems listed
previously

Model-based control requires

that the implementation
platform utilize digital
computation

Notes:

• In model-based-control (MBC) the computer has a process model. It uses the

model to do the three things illustrated.
• To “test if the model is still correct” the computer must run the model and
compare its output to the process measurements.
• There are many ways to adjust the model. One might be to adjust the value of a
model parameter that corresponds to some changing process feature such as fuel
BTU content, tray efficiency, catalyst activity, or friction losses.
• Once the model is right, then the computer “plays” with model inputs to find the
settings that makes the model behave in a desired manner.
• Since the model and process behaviors are very similar, implementing these
inputs as manipulated variable moves will make the process behave almost exactly
as desired.

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 General Model-Based Control Structure

;;©-- REF
TRAJ
.... INVERSE
..- PROCESS
y (CV)
MODEL
m
(MV)
y ,.. +
A

PROCESS
MODEL -,s

Indicative of Process-Model
Mismatch

Notes:

• This is a block diagram that illustrates the sequence of computer functions and
information flow for any MBC strategy.
• This is not a Laplace transfer function description.
• y = manipulated variable
• X = process response, controlled variable
• ŷ= model-predicted response
• Xsp = controlled variable set point
• p = adjustable model parameter (catalyst activity, tray efficiency, ...)
• d = hypothetical disturbance that is credited to made X  .
• “The Controller” is all three “model,” “adjust,” “law” functions.

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 Considerations for Applying MBC

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 Dead Time Compensation
Smith Predictor Control Algorithm
Application: Process with long dead time and
reasonably accurate process model

Assumed form of process model

where P(S) represents non-dead time part of model

and e-Tds represents dead time

Example: If P(s) =

then complete process model =

TS + 1

Notes:

• With Smith Predictor control, the process model is assumed to be separable into
two components, the dead-time and the portion of the model which does not
contain dead time. (Technically speaking, the model is broken into two
components, the “non-minimum phase” portion which includes both dead time
and right-half-plane zeros, and the “minimum phase” portion. Unless a student
asks, we will assume that the only non-minimum phase element is dead time.)

• If the process is modeled as a first order lag plus dead time, then the two parts of
the process model are the dead time and the time lag. This is the usual
formulation for dead time compensation.

• Assume that we know numerical values for the process model parameters:
process gain, time constant and dead time.

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 Smith Predictor

Required Inputs
Controller Tuning Process Model Parameters
Parameters 0
f
0
K, T,
. - . - - - - - .. - . ----·-······----·····---,
Controller Process
SP�
C(s) P(s) e-Tds PV
PV
·---··-·-----·-··--------------- .. - '

-
Process Model

-«
A
A •
e-T ds

�·
P(s)

•
s
···----------------······---····-----····-----······----·····----·-···----·
Smith Predictor Algorithm

Notes:

• As an aside, the parallel between a Smith predictor and IMC may be helpful.
• The complete control algorithm consists of a feedback controller (such as a PI or
PID, plus an internal model of the process. The controller output simultaneously
goes to the ‘real’ process and to the process model.
• The output of the non-dead time portion is a prediction of what the PV will be Td
minutes from now. This is used as feedback. (If there were no other feedback, we
would simply be controlling the process model, not the real process.)
• The output of the non-dead time portion is also delayed by Td minutes. That signal
is a prediction of what the PV should be right now. That signal is compared with a
measure of the true PV; the difference (which is representative of the error in the
process model) is added to the feedback. Note that ultimately, we are controlling
from the true PV.

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 The "Ideal" Situation

If the process model is a perfect match to the actual process

P(s) a P(s)

then the loop appears as if the dead time has been

removed from inside the feedback loop

Process Without
Controller Dead time Dead Time
+
SP- ©----
-
C(s) P(s) e� PV
PV

Notes:

• If the process model is perfect, then it appears as if the dead time has been
removed from inside the feedback loop, and that the controller is controlling a
process without dead time.

• If the Smith Predictor has been structured by the DCS manufacturer into a single
function block, then the only user requirements are to furnish the input
parameters: Process gain, time constant, dead time and the tuning parameters for
the feedback controller.

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 Problems:

Disturbances affect the process

Dead time in the process model means that the controller

must change m before Ysp changes

No feedback to adaptively correct the process model

Notes:

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 Internal Model Control Structure

FILTER INVERSE d

Y., r m y
y., • F •
CORRECTED
SET POINT

e
PROCESS/MODEL
MISMATCH

__I
G
./
./
Contains all time delays
Its steady-state gain is unity.
'--- .
Notes:

• Here’s the IMC strategy to accommodate those problems.

• The filter removes noise as well as removing output spikes from set point changes.
• The model is linear, expressed here as a Laplace transform, but implemented
digitally with the code shown earlier.
• The adjustment mechanism is to bias the set point by the process model
mismatch. This pretends that the difference is due to a hypothetical disturbance.
“Hit low? Then aim high.”
• The control objective is to move the model (after inverse and delay transients)
along the filtered path to the biased set point

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 Internal Model Control (connnueoj

Realizable and Stable

F=--- 1
(,ws+I)" ------- Chosen so that F·G is "Proper"
(denominator order is � numerator order)
1
Desired closed-loop time constant
for response to set point change.

Reduces the effect of noise and prevents G,

derivative action spikes upon set point change

If n is chosen so that denominator order is numerator order -1,

then controller has "derivative" action

Notes:

• w is the single tuning factor. Compare to 3 for PID.

• Derivative spikes are not desired. Thus, the filter order must be = the model order.

• Choosing n is not what you do if you want D action. You don’t choose PID modes.
If the process has a lag, the controller will have D action.

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 Multivariable IMC Structure
,,
Y,, ---0. -

� ,, INVERSE
rn,

� PROCESS R PRCCESS
•- -"-
""'
MODEL

CONTROLLER

PROCESS MODEL

A
•

Notes:

• Here’s the 2x2 IMC structure.

• Explain the A,B,C,D blocks as FOPDT models of the process.

• Show the parallel paths of U’s Y’s, Y’s, ...

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 Model Predictive Control

,/ Deal with large dead time or complex

interacting dynamics
,/ Minimize utility usage

,/ Maximize Yield of more valuable

product(s)
,/ Minimize products to waste streams
,/ Refine products to minimum quality
limits

,/ Maximize throughput of process

\
,/ Process optimization
•

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 What are Potential Benefits?

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410
 How does MPC Work?

Uses a sampled data model of the process to predict future

values of the process variable, based on past control
moves.

Calculates the present (and future) controller moves

required to drive the predicted trajectory of the PV toward a
target trajectory.

Utilizes Vector-Matrix mathematics (calculation intensive)

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 Process Step Response
Process Response
(Sampled Values)
• • 0
P.. , P
Initial
Steady State
•
Valle P,

Step
Change
(I
= 1 Unit
O 1234 5 6 7 8 9101112 .. .n-t n

Process Input

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 Process Model (Retained Data)

h1
The differences between h,
the process response values h,
and the initial steady state
value are retained in a series
h,
h, DATA VECTOR
of memory locations.
hs
h,
...
...
- --
h�_, n Is called the
"prediction horizon"
h-

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 Predicting the Future from the Past

- Past
...
NOW

Future

s va ue
p
p ed ct d u u E ,,
er of
O p oc s V ri bl .b s d n
·, A T er ro m v '
p r-
�' ot v, ue of PV
-
-
-
- a
co tr I' s
"

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 Predicted Future Profile

Y,
Y2
Y3
y,
Vs
v. (based on past control moves)

Y1
...
...
.. .
v.:
v_

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 Updating the Prediction

..,,
NOW

- Past Future

re ict d 'l
as don p s er "' s 'NF v.
R
S<

n rol m v,

P ed ct d u E at e of
F 0 s v ri bl .b s d n

' T or tro m v s

es et
� --• �
0 OS d R
or ro m PV<
- f--

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 Predicted Future Profile (connnueo)

(based on past control moves, plus control moves - em,

through Lim,)

y, h, 0 k 0
V- h, h, zeros
. ..
V, h, h, 0
v. h, h, h,
V- h, h, h,
+ t.m, + +
" hs h, h,
v, h, h, h,
h, hs
... h,
... h7
v hn.i ... ...
" h_ h h

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 Predicted Future PV's

t ,
NOW

j - ll - l - iii� _ 1 �
-- Past Future
Pred1cted-FUTUREvaluesofPV,j
based on PAST, PRESENT

:i,;,���:,� -
TARGET
- -
- - ---
e-
Predlcied FUTURE values of
Process Variable, based only on
PAST control moves

-
- -c-
=e., !
Proposed PRESENT
and k FUTURE control move
("k" rs the "control honzon")

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 MPC Control move Calculations

.
min
�mJ
.
J = Otok
Calculate PRESENT and FUTURE control moves
so as to minimize the sum of the squares of (future)
error values

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 Additional Features

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420
 MPC for MIMO Processes

MV1
Manipulated
Variables
PV1
MV2
Process
Vanables

DV1 PV2
Measurable
Disturbances
DV2

MIMO Multiple lnpul!Mult1ple Output

Notes:

• MIMO = Multiple Input/Multiple Output

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 Constraints
=
Constraints A minimum or maximum value for a
process vanable or its rate of change

Soft
./ "Here's the soecmcanon limit but Its OK to have 1%
measurements out of the limits."
./ "We Just hit the maximum tube temperature limit and the
minimum fuel valve position at the same time. It's okay to exceed
the tube temperature limit and to go below the minimum valve
posltton by small amounts."

Hard
./ Safety Imposed
./ Phys!caHy rea!lzab!e (100% valve position)

Notes:

• Constraints reduce the Degrees of Freedom (DOF). They are common. They
represent a major issue for MIMO controllers.

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 Fuzzy Logic: Basic Concepts

Conventional Logic Fuzzy Logic

True - False True - Somewhat - False

Yes - No Yes Maybe - No
0 - 1 0 0.43 1

Temperature is above Temperature is a bit low

Set point
Temperature is alright
Temperature is below
Temperature is a bit high
Set Point

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 Fuzzy Logic: Terms
TERM I EXAMPLE

Linguistic Variable Temperature

Values of Linguistic Much Too Hot

Variable A Bit Too Hot
About Right
A Bit Too Cool
Much Too Cool

Membership Function ------ Temperature -

f 1
Cearne oC
Membrsh1p [X)(X)<] Q
t- 1
Low
+- About
Right
++
AB1tlow -t-AB1tH1gh
!--,Too Too
High
1

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 Fuzzy Logic: Controller

-• "
<: o �
c
0
m
-n nf "
o
en
"
0
a; c
• I:: I:: -
�o
."
c -o
a3

-.
z -n 'n -,,c
0 RULES -<
-o 0 0
0
0
c
-< :!; :!; �c
0 -<

" "' 0
z 0
z il "'
�

The values for linguistic variables (both inputs and outputs), as

well as the rules for converting "fuzzified" inputs to outputs.
come from a so-called "expert". They are based upon his/her
experience, observation of how the system operates, intuition,
etc. They are NOT based upon a mathematical model of the
process.

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 Fuzzy Logic Controller: Example
LINGUISTIC VARIABLE VALUES INPUT OR ACTION

,o
..,,,, ,o
"'
Tempe<•ture
"""' c
Temperature

DECR
�'
Rate ol CNlnge ol
Temp&raW"'
STEADY
INCR '""'
' '

- �>@:
Rate ol Change (Temp)

Ra!e ol CNlnge ol Gr""""'I DECR l-10LO

Controler Output G<<'<lual INCR

' '
Rate of Change (Outpul) '

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 Fuzzy Logic Controller: Rules

SOME ACTION

GENERAL FORM: If (Antecedent#1) AND/OR (Antecedent#2) then (Some Action)

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 Fuzzy Logic Controller: Inputs

Degree of Membership in 't.o' Set - O 40

Degree of Membership In ·oK· Set = 0.60
Degree of Membership In "HI" Set = 0.00

SP Membership Vector
Temperature

Degree of Membership in ·oEcR· Set= 0.00

ECR STEADY INCR Degree of Membership In ·srEADY: Set= 0.75

Degree of Membership In "INCW Set= 0.25
"'---��-"""--'��°'o
0
Rate of Cllilnge (Temp)
Membership Vector (0 00, 0.75, 0 25)

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 Fuzzy Logic Controller: Output

:�!al
·1 0
Rate of Change
1
G
0
-1
"'I
.
,.
HOLD

0
Rate of Change
Ge ual
IN R

1
0

(Output) (Output)

-
Ge ual HOLD
uer Ge ual HOLD
G ual
R IN R
0 c D c
0 0
-1 0 -1 0 1
Rate of Change Rate of Change
(Output) (Output)

EXAMPLE:

., Output= 0.04 % f min

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 Benefits and Costs
./ Benefits generally range from 1 % to 4% of the costs
of goods with an average of 2o/o
./ Potential benefits from MPC for batch fed processes
is 20% or more
./ FLC controller basically costs the same as PIO
controller

....-
,...... ./ MPG software varies from $10K to $100K

,,,.

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 Summary: Advanced Process Control

------irTritn trcoduction
r
Dead Time Compensation
Internal Model Control
odel Predictive Control

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 True or False
Advanoed Control

A Worker turning off a valve in response to a flashing light rs

an example of the concept of control as a function.

@rrue
Q false

WilT,diM

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 Multiple Choice Question
Advanced Control

The PRIMARY advantage of an Artificial Neural Network lies

in its ability to:

Q handle correlated process inputs.

Q compile physical property data.
@ interpolate nonlinear relationships.
Q accurately identify dynamic responses.

41flMfiM

Multiple Choice Question

Advanced Control

Which of the following is true of fuzzy logic?

It relies on an operator's technical understanding of the system rather than

experience.

Q It is mathematical in nature and unlike human logic.

It can be implemented in hardware but not software.

'e It uses imprecise data to arrive at a definite conclusion.

Witi@hM

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 Multiple Choice Question
Advanced Control

Which of the following is NOT encompassed in model

predictive control?

@ Cascade control
Q Feedforward
Constraint control

Decoupling

Witi@HM

Multiple Choice Question

Advanced Control

An advantage of the MPC over the PIO is that it excels at

handling:

Q backlash and stick-slip.

Q rate setting of greater than 60 seconds.
@ multivariable control problems.
Q unmeasured load disturbances.

w,w,

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 Multiple Choice Question
Mv.1nced Control

The PRIMARY purpose of process modeling is to:

Q correct errors in the process as they occur.

Q determine the complexity of the system.
provide controlled variables from process outputs.

@ determine how well a controlled vanable can be predicted.

WitiMflM

Multiple Choice Question

Advanced Control

Which of the following will NOT verify and improve the

accuracy of a model's prediction of the dynamic response of
the controlled variable?

Q Test skid
Q Laboratory measurements
'e' Historical data

Q Online tests

Wit@#\M

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 Multiple Choice Question
Advanced Control

Which of the following is characteristic of the operation of

an MPC?

@ MPC is more sensitive to a decrease in dead time than to an increase.

Q An MPC goes unstable with an increase in process dead time.
�PC perfom_is best in a process where the dead time is smaller than the
Q time constraint.

An increase in the process dead time of 50% can cause damped

Q oscillations.

WitiMfiM

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 PRACTICE QUESTIONS – WEEK 10

1) When compared to traditional bar-code systems, a primary benefit of radio frequency

identification (RFID) tags is

a. low voltage power drawn from the battery.

b. faster data transmission that can be read from farther away.
c. the number of software applications that can process RFID data.
d. cost savings of tags.

2) Which quality tool is appropriate to graphically show production schedule information

for equipment that includes production work orders and different production jobs?

a. Gantt chart
b. Activity network diagram (AND)
c. Critical path method
d. Work breakdown structure (WBS)

3) Which of the following security risks is LEAST likely to disrupt operations at a

geothermal power plant and result in an emergency situation?

a. Connections to the Internet

b. E-mail viruses
c. Inadvertent network failures
d. Remote access to network components

4) A process audit surfaces a security lapse in a relatively new network security

application. What is the BEST course of action?

a. Implement a risk management process.

b. Identify all the consequences.
c. Prioritize the identified risks.
d. Take corrective action.

5) Which of the following is NOT a recommended alarm management practice per

Engineering Equipment Materials and Users Association (EEMUA) Specification
191?

a. Focusing
b. Timely
c. Layered
d. Prioritized

© 2016, ISA
EC00E (v1.2)

438
6) An overall limitation of using a general purpose business database for process data
in an industrial plant is

a. increased vulnerability to data corruption.

b. lack of required features.
c. inadequate documentation capabilities.
d. customization expense.

7) Which type of OPC automation software detects special causes of process variation?

a. HMI
b. Statistical process control (SPC)
c. Multimedia alarming
d. Advanced process control (APC)

8) According to the equipment hierarchy set forth in the ANSI/ISA-95.00.03-2005

standard, which statement BEST describes the relationship of Level 3 and Level 4
activities?

a. Level 3 relates to managing a manufacturing organization; Level 4 relates to

producing the desired end products.
b. Level 3 relates to monitoring and controlling the physical processes; Level 4
relates to producing the desired end products.
c. Level 3 relates to producing the desired end products; Level 4 relates to
managing a manufacturing organization.
d. Level 3 relates to sensing and manipulating the physical processes; Level 4
relates to monitoring and controlling the physical processes.

9) The automation system security at a pharmaceutical manufacturer should

a. apply solely to automation processes that connect to phone lines.

b. parallel secure information technology (IT) computing practices.
c. apply solely to manufacturing components.
d. protect any system in the production process.

10) How do OPC specifications facilitate HMI software configuration?

a. Powerful controller modules

b. Ease of interoperability
c. Compliance with recommended standards
d. Support of batch processing

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11) Which of the following statements describes a database record?

a. All data related to a particular subject kept in a group

b. A single row of information in a table
c. A single piece of data in a single row of a table
d. An electronic filing system

12) A given smart device may be obtained from several different suppliers. In a
relationship database, this would be categorized as a

a. many-to-many relationship.
b. one-to-many relationship.
c. normal form.
d. flat file.

13) What is the significance of the United States Food and Drug Administration (FDA)
Code of Federal Regulations, Title 21, Part 11 (21CFR11) in industrial automation
environments?

a. It establishes clear requirements for ensuring that electronic records and

signatures are trustworthy and reliable.
b. It specifies technology and methods to keep records or make reports to the
FDA.
c. It specifies criteria to use in defining security access in a closed system.
d. It requires organizations to use electronic records or signatures in closed
system environments.

14) Which statement is NOT reflective of how business production requirements are
used to coordinate and control plant floor activity?

a. Detailed production scheduling activities are derived from the production work
orders.
b. Production schedules developed by the business and sent to production drive
the production.
c. As production activities are executed, data is collected in a production data
collection activity.
d. Production work orders are dispatched to work centers and work units based
on time and events.

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15) All of the following statements accurately characterize the current state of
automation and network security EXCEPT

a. It has many critical differences from typical business system or information

technology (IT) security.
b. Ubiquitous connectivity has increased the risk of harmful electronic intrusions.
c. Security with new systems is fairly seamless due to rigorous international and
national standards.
d. Most installed legacy systems lack the inherent design features to provide
adequate security.

16) An operator using HMI software to design graphics has direct access to data in the
OPC server. In this situation, what does the operator do next to specify parameters
for the data?

a. Access a driver device.

b. Point and click.
c. Access a host gateway module.
d. Use a direct point-to-point method.

...... . ......._
17) Which data shown in the figure below represent a key field?
Dot•T- Acld�lw Mo-
Aowm•. u..,i,, c ..... ..,.11on
•
"w,.
rc s• =
"'•• <M
�� �®
"' =

a. Impeller Speed
b. Additive Concentration
c. DateTime
d. Additive Flowrate

18) An organization can realistically expect to derive all of the following benefits from an
open software architecture EXCEPT

a. capital expenditure (CAPEX) savings.

b. seamless DCOM configuration.
c. operational expenditure (OPEX) savings.
d. integration of applications from multiple suppliers.

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19) A proven tool that facilitates revision control on automation software is

a. sequential function chart (SFC) programming methods.

b. implementation of HTML and XHTML universal graphical display construction
language.
c. peer review of proposed changes and the new program code.
d. the predominant use of IEC 61131-3 languages.

20) Which of the following statements BEST describes network addressing?

a. Network addresses are typically expressed as a combination of alphabetic and

numerical expressions.
b. The higher the layer of the network destination address, the greater the need
for error detection and recovery.
c. All network addresses are expressed as some form of a numerical tag.
d. Both the source and destination addresses are often included in the data
transmission message.

21) MES integration data provided to business scheduling systems is classified as

a. production capability information.

b. process segment information.
c. production schedule information.
d. product definition information.

22) What is the BEST method for providing data security for historical processing
information residing on a plant-wide network?

a. Integrate data historian security with existing plant network security.

b. Store the data on memory sticks so information is not on the system.
c. Store the data on the firewall server.
d. Use a spyware scanner on the data.

23) Which of the following is NOT a scheme for OPC data exchange?

a. Synchronous
b. Subscription
c. Asynchronous
d. Polling

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24) A data storage technique where each row represents a set of data from one instant
in time BEST describes a

a. relationship database.
b. flat file.
c. time-stamped record.
d. real-time data snapshot.

25) Which characteristics BEST describe the primary benefit to using OLE for process
control technology software architecture in place of application programming
interfaces (APIs)?

a. Process visualization and asset management capabilities

b. Connectivity that is open and easy to use
c. Greatly reduced troubleshooting and maintenance
d. Auto-configured servers and field linking capabilities

26) A primary benefit of the customization of commercial components through software

is

a. lower costs compared to custom silicon.

b. more lenient installation standards.
c. more cost-effective topology options.
d. simplified network protocols in communications.

27) Which statement BEST describes the rationale for an MES?

a. ERPs must have information from plant floor controllers.

b. To compete in a global economy there must be the capability to conduct
business using online means.
c. Equipment control cannot function unless it is integrated with ERP.
d. Automation effectiveness is not based solely on equipment control capability.

28) Selecting, starting, and moving units of work (such as a batch or production run)
through the appropriate sequence of operations to physically produce the product
describes

a. production resource management.

b. production execution management.
c. production tracking.
d. production dispatching.

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29) A recommended procedure for automation system security is to

a. test and vet all security applications, updates, and patches in a non-production
environment.
b. install a firewall and set up a schedule for automatic system scans.
c. require strong passwords for alarm systems to prevent unauthorized access.
d. install the best available commercial off-the-shelf antivirus software.

30) An operator needs to review historical trend data to evaluate significant changes
exceeding a specific value. WhichHMI parameter is BEST suited for this task?

a. Deadband
b. Server filtering
c. ActiveX graphic controls
d. Aggregates

31) When compared to flat files, a primary benefit of a relationship database is

a. The cost of storage media is considerably less.

b. Files can be opened by word processing software.
c. Changes to data can be accomplished more efficiently.
d. Data extraction from compressed files is faster and more reliable.

32) A critical step in writing a custom software program for an automation system is the
creation of

a. a vendor change order and revision control process.

b. mandatory and optional troubleshooting procedures.
c. the manufacturing specification.
d. software hierarchy documentation.

33) Which of the following functions is NOT characteristic of an MES?

a. Product tracking and geneology

b. Order entry and invoicing
c. Quality management
d. Detailed operations scheduling

34) Kanban or JIT manufacturing is BEST applied to which part of production

scheduling?

a. Production resource management

b. Production data collection
c. Production tracking
d. Production dispatching

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35) Which statement BEST describes automation network and system security?

a. An application that adequately protects a legacy system typically requires

minimal configuration for a new system.
b. Automation network and system security is necessarily an engineered
solution.
c. Automation systems security is very similar to business system security.
d. Access controls and encryption devices are easily transported across
homogenous systems.

36) How should an HMI alarm generator be configured to minimize nuisance alarms and
alarm flooding?

a. Create an information bar that displays diagnostics, trends, and SOPs.

b. Install a navigation bar that uses icons for alarm notification.
c. Display real-time alarm data.
d. Write smart alarm hierarchies.

37) An operator specifies a string of information through entry fields and drop-down
boxes about a particular product and unit price. The database receives a command
such as SELECT ALL WHERE PRODUCT NAME = TUBE
FLOW SENSOR > 10500. This is an example of

a. data mining.
b. a query.
c. a report.
d. a record.

38) The three basic data interfaces found in open information architecture are

a. dynamic data exchange, alarm management, and data historian.

b. data access, alarms and events, and historical data access.
c. alarm summary, trending, and report viewing.
d. alarm capture and viewing, plant queries, and assets viewing.

39) As specified in the ANSI/ISA-95.00.03-2005 standard functional hierarchy, work flow

data is classified as

a. Level 1.
b. Level 3.
c. Level 4.
d. Level 2.

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40) An activity causes a subsystem to fail. This in turn creates a high current flow that
subsequently leads the entire system to fail. Which level in the ANSI/ISA-95.00.03-
2005 standard functional hierarchy should this be managed at?

a. Level 2
b. Level 1
c. Level 3
d. Level 4
41) When developing a security plan for automation and network security, inventory and
mapping is a critical step in

a. integration, post-installation, and test plans.

b. risk assessment and gap analysis.
c. assessing and defining the existing system.
d. periodic audit and compliance.

42) HMI reports can be distributed in a variety of formats. Which is NOT a feasible
presentation format?

a. E-mail
b. Hard copy (print)
c. RSS (Rich Site Summary) feeds
d. PDF files

43) Which of the following techniques will ease retrieval of information?

a. Data filtering
b. Data mining
c. Data compression algorithms
d. Data sampling

44) Which statement BEST describes how information is exchanged between a client
and server in an OPC automation environment?

a. Monolithic software
b. Software interfaces
c. Mapping registers to tags
d. Custom drivers

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45) The ANSI/ISA-95.00.03-2005 standard functional hierarchy defines equipment
control and equipment monitoring of PLCs in

a. Level 1.
b. Level 2.
c. Level 3.
d. Level 4.

46) Potential stockouts at suppliers and critical part shortages that can shut down an
entire line would be managed at which level in the ANSI/ISA-95.00.03-2005
standard functional hierarchy?

a. Level 1
b. Level 2
c. Level 3
d. Level 4

47) Why is it important to build a business case for an automation system and network
security program?

a. To establish buy-in from operators

b. To secure senior management commitment
c. To overcome resistance to change
d. To minimize turf battles between functional areas

48) An ergonomic operator console might include all of the following features EXCEPT

a. voice recognition software.

b. variable work surfaces.
c. mounting a monitor on a swivel arm.
d. anti-glare monitor shields.

49) Which technique can prevent two operators from trying to update the same
information in a database at the same time?

a. File and record locking schemes

b. Transaction files
c. Requiring hard passwords
d. Data encryption

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50) What is the best way to avoid a system shutdown in the event an OPC server fails?

a. Firewall solutions
b. Redundant OPC server
c. OPC bridges
d. Remote server diagnostics

51) Which level in the ANSI/ISA-95.00.03-2005 standard functional hierarchy operates

on times frames of months, weeks, and days?

a. Level 1
b. Level 3
c. Level 4
d. Level 2

52) According to ANSI/ISA-95.00.03-2005 standard terminology, a manufacturing bill

describing production routing and specific resources required is classified as

a. process segment information.

b. product definition information.
c. production performance information.
d. production schedule information.

53) Which statement BEST describes the importance of having a cross-functional

perspective in developing and deploying an automation system and network
security program?

a. Buy-in and broad acceptance are necessary to achieve results.

b. Program personnel will be more committed and productive.
c. Results will be more cost-effective.
d. Program personnel will need less training to complete their charter.

54) Which of the following is NOT a recommended alarm management practice per
Engineering Equipment Materials and Users Association (EEMUA) Specification
191?

a. Advisory
b. Diagnostic
c. Accessible
d. Unique

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55) A limitation of data sampling in a real-time process database is

a. Queries of archived data are tedious and often unreliable.

b. Changes that occur in a variable between sample times will be lost.
c. Values that are grossly out of range may result from transcription errors.
d. Data must often be extensively preprocessed before statistical or other
analysis.
56) Which of the following is NOT a method used to generate an alarm in an OPC
environment?

a. Comparison of live data to trip levels

b. Interface to historical alarms and events (A&E)
c. Capturing alarms and events from network reporting
d. Comparison to set filter criteria and priorities

57) A company might choose wireless technology for all of the following reasons
EXCEPT

a. ease and flexibility of installation.

b. improved error detection and reliability.
c. cost reductions.
d. mobility.

58) ANSI/ISA-95.00.03-2005 standard terminology classifies work orders with specific

starting times or starting events and specifications about their sequencing in
manufacturing one or more products as

a. process segment information.

b. production schedule information.
c. product definition information.
d. production performance information.

59) During manufacturing operations, conditions surface that are not anticipated and
covered in the detailed production schedule. Such occurrences would be addressed
during

a. production dispatching.
b. production tracking.
c. product definition management.
d. production data collection.

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60) Which quality tool would be MOST useful during an automation system security risk
assessment and gap analysis?

a. Failure mode and effects analysis (FMEA)

b. Operator surveys
c. Cause-and-effect diagrams
d. Cross-functional brainstorming sessions

61) A nuisance alarm can be triggered as a direct result of

a. a process upset.
b. an earlier problem already reported.
c. pneumatic noise.
d. a sensor failure.

62) A sensor malfunction that causes values for a particular variable to be grossly out of
range describes which process data problem?

a. Outliers
b. Unexpected disturbances
c. Excessive noise
d. Missing variables

63) Which type of OPC automation software provides extensive data trending
capabilities?

a. Advanced process control (APC)

b. Process information management system (PIMS)
c. Real-time optimization (RTO)
d. Supervisory control and data acquisition (SCADA)

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 Week 10 - Answer Key
1. b
2. a 45. b
3. b 46. d
4. d 47. b
5. c 48. a
6. b 49. a
7. b 50. b
8. c 51. c
9. d 52. b
10. b 53. a
11. b 54. c
12. a 55. b
13. a 56. b
14. a 57. b
15. c 58. b
16. b 59. a
17. c 60. a
18. b 61. b
19. a 62. a
20. d 63. b
21. a
22. a
23. d
24. b
25. b
26. a
27. d
28. b
29. a
30. a
31. c
32. c
33. b
34. a
35. b
36. d
37 b
38. b
39. c
40. a
41 c
42. c
43. b
44. b

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 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 11

Module 11: Batch Control

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 Learning Objectives
} Explain how batch control differs from traditional continuous
process control.

2 Descnbe batch control functionahty

3 Identify the four levels of modules that make up key

equipment entitles and the functionality of each.

4 Explain the concept of control as a function.

5 Identify the principles of ANSI/I SA 88.

6 Explain the importance of the recipe m batch processing

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 Key ISA88 Batch Control Concept

Separate " Product Knowledge - Kept in Recipes

., From Equipment Capabiuties

ANSI/I SA ./ Allow recipe development without the services

88.01-1995 of a control systems engineer
./ 'No control system programming' required
goal

Result " Same equipment - multiple products

./ A recipe rs what oifferentietes batch control from

Recipes continuous and repetitive control
./ It specifies how to make a product, without contammg the
details of the equipment actually performs the required

Notes:

• Sometimes recipes are identified through their final product:

• e.g. Material A1023.12 is produced through recipe A1023.12
• Usually the primary end product
• Sometimes there may be multiple recipes for the same end product, but they vary
based on:
• different raw materials available - location or time dependent
• (e.g. summer recipe & winter recipe differ because of raw material
variations due to seasons)

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 ISA88 Physical Model ENTERPRISE

Only discussed to
I MAY CONTAIN

SITE
place the Process Cell
in context within a
l MAY CONTAIN

AREA
rnanufactunng enterpnse
MAY CONTAIN

Process Cell
MUST CONTAIN

Unit
ANSI/ISASS.01-1995 MAY CONTAIN
Model Equipment
Module
MAY CONTAIN
Control
Module

Notes:

• The ISA88.01 model defines an ENTERPRISE, SITE and AREA as equipment entities
• However, they are not defined in the ISA88.01 model, they just define the
context of the other ISA88.01 models
• ISA88.01 really starts at the PROCESS CELL
• In the ISA88 terminology, an enterprise includes the coordination and procedural
logic required to run the enterprise (e.g. ERP software)
• The site includes the coordination and procedural (business processes)
logic required to run the site (e.g. ERP or MES software)
• The area includes the coordination and procedural logic required to run the
area (e.g. MES software, production dispatching, resource management)
• Go over the picture, explaining the MAY CONTAIN and MUST CONTAIN constraints

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 ISABB Equipment Entity Definitions

Process cell
A logical group1rig of equipment required for
production of one or m0<e bater.tie.

Un,ts
A collecdon of releted control modules end
equipment modules that can carry oot one or
more process,ng ectivit,es. Contains e definition
of equipment phases

Equipment modules
A funct1onel group of equipment end/or con1rol
modules that can carry out a fimte <lumber of
a'(!)
"n2 - epecnc processing eceviuee

a.c
O Sl.
O qi
Control modules
A regulating dev,ce. a state-onented devtce. ore
combination of both that is operated es a single
device

Notes:

• This starts the real physical model

• Remember the process cell includes equipment and control (basic, procedural,
coordination)
• NOTE: This is a DESIGN PATTERN - a recommended way to organize the physical
equipment and associated control.
• This pattern allows for the flexibility required for batch manufacturing
• The two large arrows animate
• The top part of the equipment model is visible to the recipe
• The bottom part is not visible to the recipe, it is the structure for the
equipment control and defines how equipment phases are

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 ISA88 Definition - Recipes

Recipes

./ The necessary set of information that uniquely defines the

production requirements of a specific product

./ The recipe tells the batch control system how to make

the product

./ A recipe usually exists for each final product to be produced

./ Recipes may exist for different sets of raw materials that can
be used to make the same product

Notes:

• We have used to word recipe before.

• This is the official definition of the term.
• A recipe is what differentiates batch control from continuous and repetitive control.
• It specifies how to make a product, without containing the details of the
equipment actually performs the required functions.
• Sometimes recipes are identified through their final product:
• e.g. Material A1023.12 is produced through recipe A1023.12
• Usually the primary end product
• Sometimes there may be multiple recipes for the same end product, but they vary
based on:
• different raw materials available - location or time dependent
• (e.g. summer recipe & winter recipe differ because of raw material
variations due to seasons)

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 ISABB Recipe Types
General Recipe - Recipe with
equipment independent processing
descriptions. One General Recipe
per product variation

Site Recipe - Recipe with site

specific modifications from the
general recipe. Defined for local
materials, language, or part of
General Recipe performed at the site \r---,, I
Master Recipe - Recipe with
process cell specific information.
Defined for the equipment layout,
level, and type of automation or part
of site recipe performed at the
process cell

Control Recipe - Recipe with batch

specific information. Describes the
custom options and formula values
for one specific batch of product

Notes:

• The two large arrows indicate which standards apply to which types
• General and Site Recipes
• equipment independent means no specific equipment (process cells, units) defined
• Ignores the details of transfers between units, exact mapping to equipment phases
• Defines the PROCESS to make a product
• May cross multiple sites, areas, and process cells.
• Master Recipes
• required recipe, meaning if someone says they follow the S88 model, then they
must be using master recipes
• These are “templates” from which control recipes are created.
• They define all possible choices in a recipe, and they are bound to process cells
• They contain elements such as transfers between units as well as unit initialization
and cleaning
• Control Recipes
• Another required recipe, if you say you follow the S88 model.
• This is the actual recipe that is used
• For example, thinking manually
• A master recipe is the recipe kept in the filing cabinet, approved and ready
to be used
• A control recipe is a Xerox copy that is used for each batch produced.

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 ISA88 Recipes - Recipe Composition

> Formula:
• Process inputs Recipe
• Process outputs Formula 11 I
Proceduee
• Process parameters
ueeoer
> Procedure Safety and lnlormatlOll
Compl1aoce
• Control definition lnformatlOII
Equ1pmeflt

> Equipment needs

Requirements

> Header information

• ldentificallon, version control

> Safety and compliance information

Notes:

• All recipes have this information regardless of type

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 !SABB Recipe Procedure

»- Master and Control Recipes have defined hierarchy for

their procedure
);., The procedure defines the order and/or timing of actions
the recipe is to perform
;.... Procedure is made up of unit procedures
• Each unit procedure defines the procedural control for an
equipment unit
;.... Unit procedure is made up of operations
• Only one operation re presumed to run in a unit at a time
• The operation typ,cally defines a transformation of the batch
� Operations are made up of phases
• Phases are the lowest level in the recipe
• Phases define the actions that the equipment or personnel are
to take

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 Recipe Phase - Equipment Phase

:,. Recipe phases :,. The equipment phases of a

command equipment unit define the basic
phases processing capabilities of
> Equipment phases are the unit, that are available
where the work is to recipes
actually done :,. The details of how the
> Anything a recipe equipment phases are
'does', it does through programmed is hidden from
an equipment phase the recipe
> Equipment phases are
(generally) product
independent

Notes:

• The purpose of this is to reinforce that the S88 model works because of the
cooperation between a recipe system, with recipe phases and equipment
• The recipe phases “REFERENCE” equipment phases
• There is a BINDING that occurs during or prior to execution that links the recipe
phase to the equipment phase
• But they must agree on how to communicate (input and output parameters).

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 Equipment Phases
}.- Equipment phases are usually broken down into control
steps and control actions
»- The steps and transitions are described using SFC
method defined by IEC 61131-3 to document
subdivisions of a phase
>- There is little required structure in IEC 61131-3
languages
'; Equipment phases are the way to structure equipment
lo ic

Notes:

• The key point here is that 1131-3 says what language to use to program real-time
control, but doesn’t give much help in organizing the code
• The ISA88 model builds on the 1131-3 models by providing a structure for the code
(Units, Equipment Modules, and Control Modules) - ISA88 uses 1131-3 to create
reusable modules.
• Categories of control actions
• Those that perform an actuating element algorithm
• Control actions that perform a regulating type of control, such as PID
• Control actions that perform a state-oriented type of control, such as digital
valves and actuators
• Control actions that perform arithmetic calculations
• Control actions that communicate with operators, supervisors, …
• Control actions that make decisions and control the direction and timing of
higher-level control components
• These are commands to Equipment Modules and Control Modules
• Point out that ISA88 does not require that equipment phases be part of the unit or
an equipment module. BUT, most implementations have equipment phases as
“belonging” to an equipment module. Simply because that supports modular reuse
(MBA).

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 Equipment Phases (connnueo)

'fyplcal Control Actions

> Enabling and disabling regulating and state-oriented
types of control actions
• Specifying their set points and initial output values
• Setting, dearing, and changing alarm and other limits
• Setting and changing controller constants. controller
modes, and types of algorithms
> Commanding another phase in a different equipment
module
> Reading process variables. such as controller
constants. alarm limits, set points. and controller
status
> Sending a message to an operator

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 ISA88 Recipes and Equipment

Recipe
Runs Against
Defines the information
Equipment
required to manufacture
a product

Provides Process Equipment

Capabilities for Defines the equipment capability
-... _J available to manufacture a product

Notes:

• This defines how the models inter-relate with each other

• This is a little different from the ISA88 model,

• because the process and procedure model includes the control-step

and control-actions (phase procedural logic) intermixed with the
recipe.

• This shows the recipe model as being most of the process and procedure
model

• and the equipment model including the procedural phase logic

• Apologies to the SP88 committee, but it is easier to explain this way

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 True or False
Batch Control

ANSI/ISA-88.01-1995 (588) treats control modules as a

separate entity. Each control module is encapsulated so it
can be reused.

@True

Q False

CffiMffiM

Multiple Choice Question

Batch Control

Which of the following ts true of ANSI/ISA-88.01-1995 (S88)

standard principles?

Recipe information should be integral to the sequential controls for the

equipment.

A recipe contains all of the equipment ma process, but a process cell

directs units.

Q Control is an automated function, and manual processes should not be

included.

process consists of modules that can do many non-product-specific

@Atasks.

Citi#M

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 Multiple Choice Question
Batch Control

Which of the followins has its own phases and may be a

permanent part of a unit or a common resource temporarily
attached to a unit?

Q Procedure module
Q Control module
@ Equipment module
Q Process cell

W'!TIM#iM

Multiple Choice Question

Batch Control

In ISA-88.01, Process Cell, Unit, Equipment Module and

Control Module are part of:

Q a Site Recipe
@ the Physical Model
Q a general Recipe
Q the Procedural Model

Wifi.iidlM

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 Multiple Choice Question
Batch Control

An engineer at plant number 5 has further modified a

recipe to include the actual lots of pigment and other
chemicals to be used in paint batch 5445332. Which of the
following types is this recipe?

Site Recipe

Q Master Recipe
'• Control Recipe

General Recipe

hiii&MM

Congrats! (Slide Layer)

Multiple Choice Question

Batch Control.

An engineer at plant number 5 has further modified a

recipe to include the actual lots of pigment and other
chemicals to be used in paint batch 5445332. Which of the
following types is this recipe?

Master Recipe

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Sorry! (Slide Layer)

Multiple Choice Question

Batch Control

Which of the following places the steps of the procedure

model in the correct order?

Q Procedure, unit procedure, phase, operation

Q Unit procedure, procedure, operation, phase
Q Unit procedure, procedure, phase, operation
'i' Procedure, unit procedure, operation, phase

WitiffiffiM

Multiple Choice Question

Batch Controt

Which of the following is the PRIMARY reason a company

might choose batch control over traditional continuous
process control?

To precisely predict material requirements

@ To control the procedure

To maximize productivity

To optimize the costs

4iti#M

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 Multiple Choice Question
Batch Control

Which of the following is the first step in designing batch

automation for a plant?

Q Focusing on control loops, valves, and other equipment control specifics

@ Con �ucting a highly detailed study of required functionality and business

requirements

Setting procedures, unit procedures, and operations for the entire plant

Q Com �lenng a broad overview of required functionality and business

requirements

Kiri ffiffiM

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 PRACTICE QUESTIONS – WEEK 11

1) Which of the following statements is a benefit of having well-written learning

objectives?

a. Indicates how to apply the information back on the job

b. Specifies expected behaviors upon completion of the training
c. Accurately reflects assumptions about the target audience
d. Specifies whom the educational program is intended for

2) An organization provides operators with training in HMI software. The primary

purpose of training should be to

a. build the knowledge and skills within the operating personnel.

b. fulfill operator training mandated by federal, state, and local regulations.
c. provide competitive advantage compared to best-in-class manufacturers.
d. reduce organizational liability.

3) System commissioning typically includes all of the following procedures EXCEPT

a. Safety procedures should be tested.

b. Sources of measurement error should be grouped in major categories.
c. Process center lines should be established or confirmed.
d. Operating procedures should be tested and/or fine-tuned.

4) A recommended practice for FAT is to

a. use destructive testing methods only in conjunction with acceptance sampling.

b. test for normal operation, process setpoint changes, process upsets, and
abnormal operations.
c. employ nondestructive testing techniques such as magnetic particle testing.
d. involve end-user representatives from various departments.

5) In which of the following situations would on-the-job (OJT) operator training be a

better choice than classroom instruction?

a. Learning continuous improvement concepts

b. Learning to perform a routine troubleshooting procedure
c. Developing conflict resolution skills
d. Improving communication skills

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6) What is the primary benefit of using a testing matrix during commissioning?

a. To specify roles that should be filled (safety, communications, testing, etc.)

b. To identify necessary checkout activities for system elements
c. To ensure that all devices are properly calibrated prior to installation
d. To ensure staff representation from operations, maintenance, engineering, and
management

7) For systems built at the end-user facility, a SAT should

a. employ both nondestructive and destructive testing techniques as appropriate.

b. include bench calibration since vendor calibration is not performed.
c. include alarm and interlock testing.
d. perform all elements that would normally be included in FAT.

8) Which of the following is NOT a characteristic of adult learning?

a. Training should be done in a comfortable setting.

b. Trainers should control the decisions about learning.
c. Training should be life-centered and immediately transfer back to the job.
d. Participants should understand how they will benefit.

9) Which of the following is NOT part of receipt verification?

a. Comparison of loop checks to loop diagrams

b. Match to purchase order and instrumentation
c. Correct quantity of operator manuals received
d. Manufacturer and model number

10) A common-sense safety precaution during commissioning and system testing

is:

a. Refer to existing fault tree diagrams whenever there are extremely critical top-
level events.
b. Know what you’re working with, be smart, and never work alone.
c. Use a closed loop information system.
d. Proceed only when there are no defects.

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11) During HMI training intended to develop familiarity with controls, which training
method will be MOST likely to enhance a new operator's retention?

a. Lecture and discussion

b. Reading and lecture
c. Hands-on
d. Demonstration

12) During an install verification process, an operator or process engineer might:

a. verify manufacturing model numbers.

b. check logic and programming under dynamic conditions.
c. confirm that the permanent tag is properly verified.
d. compare a component to a P&ID.

13) Which of the following procedures would NOT be included in an instrument

commission testing matrix?

a. Loop checks and loop tuning

b. Calibration
c. Receipt verification
d. Justification analysis

14) Why is it best to incorporate a variety of training activities when training operators in
a classroom setting?

a. To appeal to different learning styles

b. To reinforce correct behaviors
c. To gain the buy-in of supervisors for training away from the plant floor
d. To facilitate a friendly, open atmosphere

15) In developing an instrument loop diagram, square symbols are used to represent

a. field instruments.
b. junction boxes.
c. communications links.
d. control stations.

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16) Which of the following statements describes an advantage of a self-study workbook
for operator training?

a. Promotes reading, which is the most preferred learning style of adult learners
b. Provides interactivity through paper-and-pencil self-check questions and tests
c. Allows participants to delve deeper in areas of particular interest
d. Provides all participants with common baseline of knowledge

17) To maximize effectiveness, a loop check should be

a. performed before the DCS program is completed and loaded.

b. coordinated with the field calibration requirements.
c. first simulated through a high fidelity dynamic simulation.
d. performed before PLC code is loaded on the control system.

18) Abnormal condition training would BEST be presented through which training
method?

a. Classroom seminar
b. Video or CD-ROM
c. Dynamic simulation
d. On-the-job training (OJT)

19) Which type of loop check tests process parameters such as temperature, pressure,
and level flow?

a. Discrete output (DO)

b. Analog output (AO)
c. Analog input (AI)
d. Discrete input (DI)

20) Which training method is BEST suited to help operators with rarely performed
maintenance tasks?

a. Dynamic simulation
b. Checklist
c. Computer-based training
d. Refresher training with an instructor

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21) Which statement BEST describes the importance of evaluating operator training?

a. It indicates how well participants liked the training.

b. It helps to measure program effectiveness and areas for improvement.
c. It provides records of who participated for ongoing monitoring.
d. It provides compliance records for training mandated by federal, state, and
local regulations.

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 Week 11 - Answer Key

1. b
2. a
3. b
4. d
5. b
6. b
7. d
8. b
9. a
10. b
11. c
12. d
13. d
14. a
15. b
16. d
17. b
18. c
19. c
20. b
21. b

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 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

Note Set EC00M Module 12

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 Module 12 A: Alarm Management

Learning Objectives

}
Identify the main problems of alarm management.

2 Explain the purpose and list some of the key components of

an alarm philosophy.

3 Explain the purpose and list some of the products of alann

rationalization.

4 Identify the key elements of HMI design for alarm systems

5 Identify the typical performance metrics for alarm systems

6 Explain the purpose and components of an alarm

management system.

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 Purpose and Standards

Purpose
v Detect alarm condrtrons or events
" Notify operators or automated systems of significant events
so they can take appropriate actions
,, Record the stqmtrcant events and the actions (•ncluding
acknowledgement) taken for analysis

Standards
v IEC 61511 .I IEC 61508 is an international standard
covering the design. installation, operation and
maintenance of computer-based safety-related systems
,, EEMU 191 Alarm Systems - A Guide to Design
Management and Procurement

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1.7 Alarm Management Elements

Alarm Management Elements

./ Defining - Specifying the alarm conditions or events

./ Detection - Detecting the condition or events
./ Notification - Displaying alarm conditions or events

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1.8 Alarm Definition

Alarm Definition

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1.9 Alarm Definition 2

Alarm Definition (connnueo)

Levels of alarms Severity Examples

Seventy level, usually several Informational Inform but no
levels needed, action required

Possible priority level for each

severity level Important Inform and
require
,/ Used to sort alarms within an acknowledge
severity level
./ For example: hi, medium, low or
Scale of 1 to 10

Required actions
Individual acknowledgement or
group acknowledgement

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 Alarm Suppression

Configure to suppress based on process state

- e.g .. tank empty alarm when tank not used in current process

Suppress based on more important related

conditions
- e.g. suppress wet floor alarm in case of a tank overflow alarm

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 Alarm Definition Considerations

./ Consider actions to be taken if the worse case scenario

happens and many alarms are generated at the
same time
v' Don't over alarm the system, too many alarms will
distract operators and prevent focusing on the critical
alarms and seeing the underlying cause of the alarm
condition
./ Determine the security level for acknowledgement
- Determine if display and visibility of alarms should be global, by
area, or by operator assignment
- Determine if nghts to acknowledge alarms should global, by area,
or by operator assignment

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 Alarm Definition Considerations (contmueo)

Specifications
./ Number of alarms detected per second/minute
(minimum acceptable level)

./ Number of alarms reported per second/minute

(minimum acceptable level)

./ Number of alarms displayed per second/minute

(maximum level, so that operators are not swamped
with alarms)

./ Number of levels of severity

./ Number of levels of priority

Notes:

• Under 10 alarms DISPLAYED in 10 minutes per operator is usually acceptable,

depending upon operator response required to resolve alarms

• The long-term average alarm rate in steady operation should not exceed 1 per 5
minutes per operator

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 Alarm Detection -At the Control Level

./ Usually to latch a detected transient condition so that it

is not missed by an alarm management system
- HMI may miss the transient condition if it occurs between scans
or is very short or sequence of events

- Latch is cleared on the acknowledgement

./ Consider the worse case scenario, can all alarms be

detected without impacting control
./ If detection done at the control level then consider
downloading limits from HMI or batch to allow changes
based on process state

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 Alarm Detection -At the HMI/SCADA Level

, Allows alarm strategy changes without

reprogramming

./ Don't prioritize at the control level (through

programming), handle through HMI or alarm
management system configuration

, Don't suppress at the control level (through

programming), handle through HMI or alarm
management system configuration

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 Alarm Display and Reporting

lJ
!!"'

Alarm Display and Reporting (continued)

Alarms recording should include:

./ Process state (recipe, recipe operation, recipe phase)
./ Time of detection
May be the HMI time, if detection is in the HMI
./ Acknowledgement
• Who, when, may include comment (pull down
selection or free form text)
./ Return to normal time

Example of alarm priority features:

•
jPriority Color Tone Shape
Red Tone 1 Red triangle, point
Emergency up

High Yellow. Tone 2 Yellow diamond

Low Orange. Tone 3 Oranqe triangle,

point right

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 Summary: Alarm Management
�· Purpose and Standar s
Alarm Definition
�
Alarm Detec.

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 Module 12 B: Reliability
Reliabi
Mean Time To Failure (MTTF)
:u...,n 'fin!llib �epalr (M I I R)
�l��F)

Learning Objectives

}
Explain the basics of MTTR, MTTF, MTBF.

2 Discuss safe and dangerous failure modes.

3 Identify the different types of redundancy and how they

impact dangerous and safe failure modes

4 Identify the key elements of HMI design for alarm systems.

5 ldentrfy common cause and its impact on reliab1hty.

6 Determine testing intervals and rts impact on availability

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 Hardware Availability

Note:
> This formula is only valid for simplex (non-redundant) systems
> Failure rates must be split between the two failure modes

Notes:

• Availability is the uptime divided by the total time. Total time is the uptime plus the
downtime. For example, going back to our earlier example of a watch, the
downtime is 1 day, the uptime is 364 days, and the total time is 365 days.

• It is common practice by some vendors to substitute MTBF (mean time between

failure) for uptime. (Some prefer MTTF, mean time to failure, but it’s not worth
arguing about.)

• Most people accept the idea that mean down time is not the same as mean time to
repair. Most PLC vendors, however, assume they are and use the formula shown
above. The assumption, and the resulting formula is true, but only for safe
(initiating) failures. In that case, MDT and MTTR are the same. For example, when a
power supply fails, it’s rather obvious to everyone. As soon as it fails, you go fix it,
hence MDT and MTTR are the same.

• Use the numbers from the previous slide to calculate availability in the safe mode
for the relay and solid-state systems.

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 Down Time vs. Repair Time

Down time

Realization Access Diagnosis Spares Replace Check

Repair time

./ In some cases MDT and MTTR are the same

./ In others they are� different
• The realization time may be the largest factor

Notes:

• Down time and repair time may be close for some type of failures (generally
safe failures), but NOT for dangerous failures (where the realization time
may be in years).

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 Hardware Safety Availability

> For dangerous faults, downtime must include not

only the repair time. but the realization time - the
time before you are even aware that a problem
exists
> This can be represented by the test interval (Tl)

Aoaag = MTIFd/(MTTFd + Tl/2 + MTIR)

(!_ Note:
> This formula is only valid for simplex (non-redundant) systems
> Failure rates must be split between the two failure modes

Notes:

• For dangerous (inhibiting) failures, MDT and MTTR are not the same, because
downtime must include half of the test interval. For example, if you test a relay
system once a year, and the 5th year that you test it you find it doesn’t work, when
within that year did it fail? 5 minutes after the 4th test, or 5 minutes before the
5th? Since you obviously can’t tell, and we’re just talking about averages, we can
assume the system was down for 1/2 the test interval.
• This has a very significant effect on the performance of the system, because the
test interval is usually much longer that the repair time.
• It is also important to realize that the MTBF in this formula is not the same as in
the previous formula. For example, in the case of a relay system, the initiating
failure rate would be 98% of the total failure rate and the inhibiting failure rate
would be 2% of the total.
• By now it should be fairly obvious that the two measures of system performance
are completely different. The availability in one mode could easily be 99.999%, but
in the other it may only be 95%. Therefore, one measure, ‘availability’, clearly does
not tell the whole story. Some of us in the past used two different availabilities,
one in the overt mode, one in the covert. Unfortunately, that caused a bit of
confusion among others.
• Calling availability in the dangerous mode “Safety Availability” obviously makes
things terribly confusing!! This is no longer the preferred term.

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 Bath Tub Curve

1. l Life
Time-

./ Failure rate = number of failures I unit of time

./ Constant failure rate assumed for normal life of device
./ MTTF = 1 I failure rate
./ MTTF and Life are not the same

Notes:

• The bathtub curve illustrates that failure data is not fixed over the entire life of a
device. The above curve is generally accepted for electronic devices. (Software and
mechanical devices tend to have slightly different curves.)
• A constant failure rate is generally assumed for most devices. (This simple
assumption is still a topic of heated debate.) The assumption, at least, tends to
simplify the math involved.
• The classic example of how MTBF and Life are not the same is a match. When
using dry matches and the proper technique, there will be few failures. Therefore
the failure rate (failures per unit time) will be low. If the failure rate is low, the
reciprocal, MTBF (time between failures), will be high, or large. But a match only
burns for a few seconds. The distinction between life and MTBF must be stressed.
An MTBF of 3,000 years may be a perfectly valid number for some components,
even though they obviously won’t last 3,000 years.

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Where do Failure Rates come from?

J.o Calculation techniques

(MIL HDBK 217)
• a re/Jabll1ry prediction should never be
assumed to represent the expected f,e/d
rellabillty as measured by the user. • (MIL
HDBK 217F, Paragraph 3 3)

> Predictions can then be made for:

- Components
- Modules
- Complete System

Notes:

• In order to use the formulas and perform the calculations, one needs failure rate
data. Where does one get this sort of information?
• One could ask the vendor. Feedback I get from most people who have tried is not
very encouraging. I have yet to see any general PLC vendor split failure rates into
the two failure modes. Even if the vendor does provide data, it is important to ask
how they got it. If it’s based on field returns, question their method of calculating
the answer. How many customers actually send back modules anyway? What
about a brand-new system that’s never even been built? One obviously can’t get
field returns for that.
• Hopefully, each plant has maintenance records on this sort of thing. Even if they
don’t, the technicians probably have a very good feel for how often they have to
repair different items. But if one doesn’t have records, then what?
• There are also third-party data bases available from a number of industry sources
(e.g., offshore, chemical, nuclear, and generic). Show the ISA TR84.0.02 failure data
if available.
• The military was faced with this problem decades ago. (When a nuclear submarine
launches a missile, one wants to know the reliability of things working properly
using a measure other than ‘pretty good’.) The military developed a technique for
predicting failure rates of electronic systems (MIL-HDBK 217). This manual has
gone through many revisions and has long been the subject of much controversy.
All who use it are aware that it tends to give terribly pessimistic answers
(sometimes by orders of magnitude). That doesn’t mean, however, that it should
not be used, just that it should be used with caution. It still provides an excellent
yardstick for comparing systems, even if the absolute answers are a bit off.

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 Class Example 1 - Failure Rate and MTTF

• 100 switches are checked annually

• 1 O are found to be not working
(i.e .. suffered dangerous failures)
• What is the failure rate and MTIF?

Failure rate= number of failures/total time

= 10 failures/ 100 switch-years
= 1 failure / 1 O switch-years

This is NOT sample testing of production. There are 100 installed

switches which is 100 switch-years. There are 10 total failures.

Notes:

• Duration: Spend approximately 5 minutes on this example.

• Using this and the next slide.

• For performance calculations, the students need to understand how to convert

between failure rates (which are typically expressed in ‘failures per hour’) and
MTTFs (which are typically expressed in ‘years between failures’.

• It’s just simple math, but some get confused converting the units.

• People will need a calculator, hopefully one capable of scientific notation.

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 Class Example 1 - Failure Rate and MTTF 100,r,1

), Failure rates, however, are normally

expressed as failures per hour,
therefore:
since 1 year = 8, 760 hours

1 failure/ 87,600 hours, becomes

1.14 E-5 failures I hour

MTIF (which rs normally expressed m years)

= 10 years

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 Reliability Block Diagrams

A graphical way to represent system operation/ failure

- A ... B �
- c
...
E �

� G ...
� D F �

The system would fail if either A, B, or G individually

failed, or if the combination of either C & D, or E & F failed

Notes:

• Graphical representations help aid understanding. Reliability block diagrams are

one such method.

• ‘Fail’ is rather generic, and doesn’t adequately describe the failure mode, however,
different diagrams can be drawn for each failure mode.

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 Reliability Block Diagram Math

The math associated with RBDs is simply adding or

multiplying probabilities

r- c
- -
D

J> You add probabilities > You multiply probabilities of

of items in series items in parallel

Notes:

• We will later be calculating failure probabilities. Here’s how one applies the
math using block diagrams. We’ll see how this is similar to fault trees.

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 Fault Trees

Fault tree Reliability block

elements diagrams

AND -
Parallel

QoR -- 11
Sen es

Notes:

• Fault trees are another common way of graphically representing system

performance.

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1.30 Fault Tree Examples

Fault Tree Examples

Power Fire water

failure deluge fails

Fire Fire
detector pump

Standby Detect Panel Pump

> Circles represent basic events

> Rectangular boxes serve as descriptions

Notes:

• One multiplies probabilities with an AND gate and adds them with an OR
gate.

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1.31 Simplex System Performance

Simplex System Performance

PROBABILITIES
1oo1

Safe Dangerous

A
0.01 0.02
-

Notes:

• The following slides are an introduction on the effect of redundancy. (Things are
not as intuitively obvious as they may seem.)
• Assume for these three slides that all contacts are closed and energized.
• Let’s start with a base case of a simplex system. An initiating failure is one where
the relay contacts pop open and de-energize the system (causing a nuisance trip).
Let’s assume a failure probability in this mode of .01. You could think of it as 1 in a
hundred, 1%, or whatever unit of measure you like, it’s just for comparison
purposes at this point.
• An inhibiting failure is one where the contacts are welded shut and won’t operate
when needed. Let’s assume a failure probability in this mode of .02, 2 out of a
hundred, or 2%. You could make the numbers the same, swap them around, it
really doesn’t matter. Again, this is just to illustrate the impact of redundancy

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 Dual System Performance

PROBABILITIES
A
Safe Dangerous

(1oo1) 0.01 0.02

0.02 0.0004
A 1002 (2x.01) (0.02')

0.0001 0.04
2002
(.OF) (2x.02)

Notes:

• A dual 1oo2 system is where you wire the outputs in series (assuming normally closed and
energized contacts). One out of two means the system only needs one channel to perform
a shutdown, hence the name ‘one out of the two’. It doesn't matter which channel, you only
need one to de-energize the outputs. If either channel can perform a shutdown (by de-
energizing) and you have twice as much hardware, you have twice as many nuisance trips.
Therefore, the .01 doubles to .02. In the dangerous mode, this system would fail to
function only if both channels were to fail simultaneously. This is remote, actually the
percentage of one squared, .022 or .0004.
• A dual 2oo2 system is where you wire the outputs in parallel. Here, both channels must de-
energize in order to perform a shutdown. This system would fail to function if a single
channel had an ‘inhibiting’ failure. Since this system has twice as much hardware as a
simplex system, it has twice as many dangerous failures. Therefore the .02 doubles to .04.
In order for this system to have a nuisance trip, both channels would have to suffer
initiating failures. This is also unlikely, actually the percentage of one squared, .012 or .0001.
• One system gives the best protection against nuisance trips, the other the best protection
against dangerous failures.
• (I’m surprised how many people say they have dual systems implying the have redundancy for
safety’s sake. When I ask them which dual system they have, most say 2oo2, making it clear that
minimizing nuisance trips is more important than maximizing safety. This is not to imply that
this should not be done, however. If the PFD number has been satisfied, this configuration is
‘acceptable’.)

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 Triple System Performance

PROBABILITIES

Safe Dangerous
A (1oo1) 0.01 0.02

0.02 0.0004
(1002) (2x.01) (0.022)
B

(2002)
0.0001 0.04
(.012) (2x.02)

c 2oo3 0.0003 0.0012

Vote (3x0.012) (3x0.0004)

Notes:

• A two out of three system is a majority voting system. Whatever two or more channels
indicate, that’s what the system does. Without getting deep into the math, the numbers
work out to those shown above.
• What initially surprises people is that a 2oo3 system has a higher nuisance trip rate that a
2oo2 system, and a 2oo3 system has a greater probability of a fail to function failure than a
1oo2 system. Some people initially say, “Wait a minute, that can’t be!”
• Actually it is intuitively obvious, you just have to think about it a moment. How many
simultaneous failures does a 2oo2 system need in order to have a nuisance trip? (2) How
many simultaneous failures does a 2oo3 system need in order to have a nuisance trip? (2)
Ah haa! A triplicated system has more hardware, hence more failure combinations! (A+B,
A+C, B+C)
• How many simultaneous failures does a 1oo2 system need in order to fail to function? (2)
How many simultaneous failures does a 2oo3 system need in order to fail to function? (2)
Same thing, a triplicated system has more failure combinations.
• A triplicated system is actually a trade off. Overall, it’s pretty good, but not as good as the
two different dual systems.
• Actually, it is possible to design a dual system to give the best of both modes, but it’s not
easy, and you can’t do it with just any ‘off the shelf’ hardware. (The latest generation of
1oo2D systems are designed to have the best performance of both dual systems. In other
words, the best nuisance trip performance of 2oo2, and the best safety performance of
1oo2.)
• There are some vendors promoting ‘quad’ systems. They are in fact variations of the 1oo2
design and not everything in the system is truly quad.

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 Basic Reliability Formulas

Configuration MTTFsp PFD

1oo1 1 />. s \, • (Tl/2)
1oo2 1 /(2, ,) ((,,,)2 • (Tl)2) / 3)
2002 1 I (2(A j • MTIR) ' • Tl
2oo3 1 / (6 (AJ • MTIR)
'"
I\ ,,)2 • (Tl)'
Where: I\ Note: These formulas are
I. = Failure rate valid as long as >. << Tl
MTTR = Mean Time To Repair
Tl = Test Interval
s = Safe failure
du = Dangerous undetected failure

Notes:

• These formulas are published in a general reliability textbook, and will be

used to analyze various systems. Similar formulas are in the companion
technical report to the S84 standard (TR84.02). Similar (but longer) formulas
are listed in the IEC 61508 standard. A kid in high school, using simple
algebra and a calculator, can analyze any system technology and
configuration.

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 True or False
Reliability, Safety & Electrical

IEC 61511/IEC 61508 is an international standard covering

the design, installation, operation and maintenance of
computer-based safety-related systems.

@True

Q False

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 Multiple Choice Question
Alann Management

Which of the following is NOT an example of a common

alarm type?

Q sequence events
@ double-ended
Q 2-state digital
Q analog rate of change

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 Multiple Choice Question
Alann Management

Alarm suppression is usually based upon:

Q Time in alarm.
@ State of the process or more-important related alarm conditions present.
Q The configured level of alarm.
Q Ability of the operator to re-enable the alarms if required.

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 Multiple Choice Question
Reliability, Safety & Electrical

Which of the following activities is NOT included in

calculating the mean time to repair (MTTR)?

Q Locating the cause of a failure

Q Documenting activities from diagnosis through restoration
@ Periodic inspections
Q Delays in waiting for spare parts

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 Multiple Choice Question

e
Reliability, Safety & Bectrical

wh;,h of the following statements is correct?

r,;:.. MTBF formulas include MTTR (mean time to restore/repair) in their

� calculation; MTBF is used for both non-repairable and repairable units.

MTBF formulas exclude wear-out failures; MTTF formulas include

O allowances for wear-out failures during a unit's useful life.
MTBF formulas exclude end-of-life failures; MTTF includes end-of-life
O failures in most calculations.
MTTF indicates a unit's guaranteed minimum life; MTBF indicates
O reliability during a unit's useful life.
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 Multiple Choice Question
Alarm Management

The key difference between an alarm system and a safety

system is:

Advanced alarm techniques can reduce alarm system failures; operator

O training is necessary to reduce erroneous safety system warnings.
Operator training is required to correct alarm system failures; training will
O have no effect on erroneous safety system warnings.
The alarm function always requires operator intervention; the safety
O function never requires operator intervention.
The alarm function always requires operator intervention; the safety
@function almost always functions without the operator.

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 Multiple Choice Question

During the 10 minutes following a major plant upset, a system

displays 110 alarms. According to guidance metrics set forth in
Engineering Equipment and Materials Users Association (EEMUA)
Publication 191, this alarm rate is typically classified as

Q a nuisance.

Q hard to cope with.

Q manageable.
@ definitely excessive.

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 Multiple Choice Question
Alarm Management

The frequency metric of an alarm by tag is typically defined

;n

Q current good manufacturing practices {cGMP)

@ the alarm philosophy.

Q Engineering Equipment and Materials Users Association (EEMUA)

Publication 191.

Q the HMI design.

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 PRACTICE QUESTIONS – WEEK 12

1) The function of PID parameters is BEST described as

a. placing the system in a safe condition during process upsets.

b. optimizing a control loop.
c. ensuring that specified components are properly calibrated.
d. ensuring that specified components are properly installed.

2) What is an advantage of using a linear approach during troubleshooting to isolate the

cause of a problem?

a. It efficiently exposes recurring problems and, based on experience, possible

shortcuts to fix the problem.
b. You can move top down or bottom up from point of entry and check process
steps until the problem is found.
c. It readily identifies process bottlenecks and minimizes backtracking in the
troubleshooting process.
d. Once a process step is found to work correctly, you can safely assume that the
layers below it are working as well.

3) Which statement BEST describes the potential impact of intelligent device

management on human performance measures in system maintenance?

a. Faster acquisition of parts from intelligent lockers

b. Improved achieved availability measures
c. Reduced restore time
d. Reduced preventive maintenance and corrective maintenance expenditures

c. employ nondestructive testing techniques such as magnetic particle testing.

d. involve end-user representatives from various departments.

4) While following a troubleshooting framework, no one definitive solution to a problem

surfaces and several solutions are plausible. Which is NOT a recommended course
of action?

a. Order solutions from easiest to most difficult.

b. Choose the one with the broadest appeal to all stakeholders.
c. Analyze the cost of quality associated with each solution.
d. Propose solutions in order of their probability of success.

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5) Good preventive maintenance can provide all of the following benefits EXCEPT

a. reduced operator error and random failures.

b. high operational availability.
c. correction of failures before they cause damage.
d. cost savings over a product’s life cycle.

6) Which troubleshooting technique replaces suspected bad components until the

problem is found?

a. Substitution method
b. Consultation method
c. "Remove and conquer" method
d. Fault insertion method

7) Consider the following automation system data:

- Preventive maintenance for one hour every month

- Quarterly preventive maintenance for two hours each quarter
- One failure that results in six hours of downtime
- One failure that results in four hours of downtime

What is the uptime for this automation system if it runs 24 hours a day, 365 days a
year?

a. 99.66%
b. 99.77%
c. 99.86%
d. 99.89%

8) A system problem has been identified. Affected stakeholders from operations,

engineering, and maintenance meet to further analyze the problem and the data
collected thus far. The merit of these individuals coming together is

a. out-of-the-box thinking.
b. case-based reasoning.
c. criteria filtering.
d. cause-and-effect analysis.

9) On-call contract maintenance done by a third party BEST describes

a. equipment or system audits.

b. service level agreements (SLAs).
c. system utilization services.
d. preventive maintenance.

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10) In troubleshooting a system failure, a suspected bad component is replaced with a
known good component. This does not correct the problem. What is the next BEST
course of action?

a. Build software traps involving additional logic and code to detect the problem.
b. Further analyze the problem and collect additional data as necessary.
c. Set additional alarms to pinpoint the problem.
d. Retain a consultant who specializes in this type of repair.

11) Which statement BEST describes troubleshooting procedures for automation

systems?

a. Systems engineering process

b. Continuous improvement (CI) process
c. Logical and analytical framework
d. Parallel set of actions

12) How are the maintainability and maintenance of automation systems related?

a. Maintainability is a front-end, design outcome; maintenance is related to

ongoing system availability.
b. Maintainability is related to system availability; maintenance is related to
traceability and warranties.
c. Maintainability is a front-end engineering function; maintenance is an ongoing
engineering function.
d. Maintainability is related to malfunctions; maintenance is related to service
quality.

13) A recommended safety precaution when using a generic framework for

troubleshooting is

a. Review related failure mode and effects analysis (FMEA) documents before
proceeding.
b. Secure proper permits and follow their requirements.
c. Compare the process capability index (Cp) with the mean-sensitive process
capability index (Cpk).
d. Conduct a Pareto analysis to prioritize areas of concern.

14) Which statement BEST describes the importance of real-time data entry and
validation by field maintenance technicians?

a. To separate failures in quality from unintended use

b. To facilitate timely billing of service level agreement customers
c. To promote professionalism and build customer loyalty
d. To gain accurate information for future improvements

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15) All of the following are generally recommended safety precautions when using a
generic troubleshooting framework EXCEPT

a. Communicate actions with the operator in charge.

b. Simulate the process on a computer before proceeding.
c. Be aware of increased safety risk to the troubleshooter.
d. Follow company procedures.

16) Which statement does NOT characterize MRO?

a. Digital electronic and optical technologies have dramatically increased MRO

costs.
b. Improvements in maintainability can reduce both failure rates and MRO costs.
c. Computerized information on MRO activities tends to improve maintenance
operations.
d. MRO costs usually exceed acquisition costs.

17) Which of the following statements BEST describes the calibration of a temperature
sensor?

a. It is the end user’s practice to perform bench calibrations.

b. Recalibration can be performed as needed if an out-of-tolerance condition
becomes evident.
c. A field calibration can be performed at the same time as a loop check.
d. It is normally calibrated in a laboratory environment.

18) Differentiation between primary and secondary symptoms should be done during
which troubleshooting activity?

a. Proposed solutions
b. Problem analysis
c. Collecting additional information
d. Problem definition

19) The inherent availability of an automation system is associated with

a. sales and marketing.

b. manufacturing engineering.
c. quality management.
d. service management.

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20) Which of the following practices will NOT necessarily enhance login security for
process control system software?

a. Use a firewall as a gatekeeper between the network system and the Internet,
and set up a system to automatically install software upgrades.
b. Use alphanumeric passwords with at least one capital letter if the protection
system is case-sensitive.
c. Change passwords regularly.
d. Assign a user access level commensurate with job function.

21) Cause-and-effect diagrams and control charts would be MOST useful during which
troubleshooting activity?

a. Problem definition
b. Problem analysis
c. Proposed solutions
d. Testing proposed solutions

22) The primary benefit of intelligent device management is

a. increased accuracy of alarm enunciators or recorders.

b. more reliable mean time between failure (MTBF) data.
c. remote monitoring before failure occurs.
d. ease in recording of nondestructive test data.

23) What is a common pitfall associated with using the replacement automation
approach in automation projects?

a. The salvage value of any sold or disposed assets will be negligible.

b. The system value will depreciate faster due to early obsolescence.
c. Breakthrough improvements are rare.
d. Required upgrades tend to erode any initial system price savings.

24) All operating (recurring) and implementation (nonrecurring) costs and capital costs,
plus other concepts of cost (e.g., time value of money, lost opportunity costs, etc.),
are identified during which phase of a project's life cycle in the ISA CAP program's
model?

a. Feasibility study
b. Project definition
c. System design
d. Deployment

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25) In addition to technical skills, which statement BEST describes an appropriate skill
mix that facilitates success as an automation professional?

a. Management and coaching skills

b. Business and interpersonal skills
c. Problem-solving and social skills
d. Writing and verbal skills

26) Which of the following statements is correct with regard to the development of an
effective team?

a. A period of storming will often precede performing.

b. The norming stage begins the development.
c. Teams usually proceed directly from the norming stage to the storming stage.
d. Teams usually do not form before they go through the storming phase.

27) Which factor contributes to the rise in annual automation costs toward the end of a
system life cycle?

a. Latent knowledge
b. Spare parts expenditures
c. System engineering
d. Budgeting for replacement equipment

28) Which statement accurately characterizes both the NPV and IRR methods for
evaluating automation system capital investments?

a. Both provide a high degree of reliability in decision making to accept/reject a

project.
b. The final computations both yield a dollar figure for individual projects.
c. Multiple projects can be added and averaged to evaluate any combination of
capital investments.
d. They both adjust cash flows over time for the time value of money.

29) During which phase of a project's life cycle in the ISA CAP program's model might
an engineering firm tour the client site and interview key stakeholders to better
understand the project need?

a. Feasibility study
b. System design
c. Project definition
d. Software development

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30) Successful automation projects require all of the following EXCEPT

a. genuine respect and caring among co-workers.

b. positive and negative reinforcement.
c. high levels of personal integrity and accountability.
d. a strong purpose and plan.

31) A team leader should be able to perform all of the following activities when leading a
team of automation professionals EXCEPT

a. Promote persistence and self-discipline.

b. Remove all conflict.
c. Remove barriers and eliminate unnecessary permissions and approvals.
d. Develop partnerships.

32) Capital budgeting is BEST described as

a. the process of making long-term investment decisions.

b. decision making to support operating efficiency.
c. the process of planning for short-term investments.
d. decision making related to current expenditures.

33) A challenge in using new “real-time” cost accounting system data to project the
expected payback of proposed projects is

a. Financial ratio comparisons with industry guidelines are hard to establish.

b. It takes time to collect sufficient historical data to make reasonable projections.
c. Cost-of-quality cost measures are more difficult to discern due to hidden costs.
d. It fails to recognize the causal relationships of costs to resources and
activities.

34) A project manager prepares a work breakdown structure (WBS) identifying each
major task and related subtasks required to fulfill the project objective. Subtasks are
further reduced into units and subunits with associated cost projects and assigned
responsibilities. This activity occurs during which phase of a project's life cycle in the
ISA CAP program's model?

a. Project definition
b. Feasibility study
c. System design
d. Software development

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35) When attempting to sell a process automation project to senior-level management,
an engineer would be well served to

a. present the project as a series of coherent pieces for delivery implementation

and evaluation.
b. relate current errors and deficiencies as a cost relative to production.
c. discuss how the process must be improved to retain its inherent capability.
d. explain how process improvements will fulfill regulatory requirements in a
predictable cause-and-effect relationship.

36) Why is it important to have a written job description when interviewing candidates
for an automation position?

a. To decrease the time it takes a new hire to become productive

b. To determine the training needs for the position
c. To communicate specific standards of performance tied to the job
d. To define required tasks, knowledge, skills, and abilities

37) Which of the following items is NOT an example of a capital expenditure?

a. Purchase of a new processing machine that will cut labor and maintenance
costs
b. Project bonuses paid to salaried engineers
c. Purchase of a new DCS for plant operations
d. Plant HVAC system upgrade for EPA compliance

38) A consulting engineer has been named project manager for an automation project.
Once the vendor is selected, which role will be essential to ensure that the system
meets specifications?

a. Optimist
b. Advocate
c. Risk taker
d. Problem solver

39) According to the ISA CAP program's model, brainstorming sessions examining the
proposed system's operability and safety occur during which phase of a project's life
cycle?

a. Feasibility study
b. Project definition
c. System design
d. Software development

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40) A final report on a highly visible automation project will be distributed to senior
leaders and several operations managers. In preparing this report, an engineer
would be well served to

a. define any geometric tolerance symbols present in report diagrams.

b. explain how troubleshooting procedures solved unexpected crises and plan
deviations.
c. include an executive summary and, as appropriate, use bulleted lists in the
narrative.
d. review how cost, performance, and schedules were estimated, measured, and
controlled.

41) Which statement BEST describes the importance of considering all stakeholder
concerns during an automation project?

a. To identify controversial issues that the team should rethink/reevaluate its

position on
b. To ensure that the team has the resources, skills, and process capability to
fulfill its goals and objectives
c. To identify potential opportunities to be exploited and threats to be addressed
d. To help analyze the competitive impact of proposed technologies

42) How can an ROI ratio help to establish the economic benefit of a capital investment
for an automation system?

a. It helps to assess project risks in the event of an economic hardship.

b. It provides a measure of cash inflows and payback period for the investment.
c. It helps measure life cycle costs over the useful life of the investment.
d. It helps to systematically compare project options against a set of weighted
criteria.

43) When assessing the success of an automation project, which factors differentiate
the customer's perspective from the service provider's interests?

a. Quality versus project logic

b. Project duration versus resource allocation
c. Effectiveness versus efficiency
d. Cost versus profit

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44) According to the ISA CAP program's model, a FAT is performed during which phase
of a project's life cycle?

a. System design
b. Software development
c. Deployment
d. Support

45) Which of the following is NOT an appropriate practice for sending business e-mails?

a. Use a precise subject line.

b. Use “similes” (symbols) for emphasis.
c. Sign your e-mail and include personal contact information.
d. Tailor formality to the formality of the organization or people.

46) An ROI ratio is used to evaluate the purchase price for an automation system and
all other initial costs associated with the project against the accumulated cash
inflows. What is the PRIMARY pitfall in using this ROI ratio to make a decision as to
whether or not to invest in an automation project?

a. It fails to capture the qualitative benefits derived from automation systems.

b. It ignores the time value of money.
c. It ignores equipment reliability and system maintainability costs.
d. It relies on vendor estimates of useful life.

47) What constraints do automation projects work under?

a. Time-driven
b. Fixed cost and turnkey
c. Hybrid and cost
d. T&M "not to exceed"

48) Traditional classroom training is used to provide operators with an overview of a

new system. A simulator is used to provide more focused, hands-on HMI software
training. These training interventions occur during which phase of a project's life
cycle in the ISA CAP program's model?

a. System design
b. Software development
c. Deployment
d. Support

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49) What is a facilitator’s role in project meetings with other automation professionals?

a. Make final decisions.

b. Stifle dissension.
c. Keep the group on agenda.
d. Take notes.
50) Which factor differentiates the NPV method from the IRR for evaluating automation
system capital investments?

a. NPV discounts cash flows after the initial investment; IRR does not.
b. IRR is a percentage; NPV yields a dollar figure.
c. IRR makes it easier to verify the actual value of a project after it is
implemented.
d. NPV considers the time value of money; IRR does not.

51) In which type of contract does an organization agree to pay an hourly rate that
guarantees a fair profit to the engineering firm awarded the contract for the project
duration?

a. Fixed-fee
b. Cost-plus
c. Turnkey
d. T&M

52) Which statement describes the relationship between the scope of work (SOW) and
the estimate in an automation project?

a. SOW includes an overall budget; the estimate includes definitive material

costs and labor estimates.
b. SOW describes the work on a task-by-task basis; the estimate specifies
performance metrics.
c. SOW defines the work to be done; the estimate defines the project
parameters.
d. SOW sets project parameters; the estimate provides costs for the deliverables.

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53) An important criterion for forming a team of automation professionals to improve a
specific process is

a. Select team members based on highly specialized skills and ensure that there
is no overlap of talents.
b. Select team members who work together on a daily basis to ensure that they
can dedicate sufficient timeto the project.
d. Designate a change agent to champion the work of the team with
management.
d. Appoint team members who represent the functions, work units, and job
descriptions required.

54) Why is it better to base an automation system investment on life cycle cost (LCC)
rather than on lowest price?

a. System price is a relatively small part of the overall system cost.

b. LCC considers the potential value of the investment over time; the cost-only
method does not.
c. LCC sets milestones to assess the net cash flow patterns; the cost-only
method does not.
d. Low price typically translates to lower quality and higher service costs.

55) Which characteristic differentiates a T&M contract from a cost-plus?

a. Less risk of budget overruns for the buyer in a contract

b. Potential for a higher profit for the seller in a T&M contract
c. Buyer has enhanced ability to allocate resources in a cost-plus contract
d. Greater likelihood of disagreements between the buyer and the seller about
what constitutes high quality in a T&M contract

56) The linked relationship between a P&ID and loop sheets would be shown in the

a. scope of work (SOW).

b. project schedule.
c. execution strategy.
d. project estimate.

57) Which statement BEST describes why it is beneficial for automation professionals to
understand different social styles?

a. To recognize behavior problems in the workplace

b. To balance individual concerns with organizational business concerns
c. To enhance personal effectiveness
d. To improve routine transactions with subordinates

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58) A manufacturing operation can expect to realize all of the following economic
benefits from a capital investment in an automation system EXCEPT

a. reduced power consumption.

b. increased customer goodwill.
c. increased production.
d. reduced raw material costs.

59) What is a probable outcome when a "not-to-exceed" stipulation is added to a T&M

contract?

a. There is less risk of budget overruns for the seller.

b. The seller might resist buyer requests to "tweak" the product.
c. The seller loses significant control during project execution.
d. The buyer gains more control over resource allocation.

60) A design team has 160 hours allotted to complete a task. The team reports 50%
completion at a status meeting. Current timesheets show that the team has spent 70
hours on the task. What is the efficiency ratio for the design team?

a. .88
b. 1.60
c. 2.28
d. 1.14

61) Why is active listening important in conflict resolution?

a. Active listening helps participants focus on each other instead of the problem.
b. Active listening helps to establish objective criteria.
c. Active listening helps focus on positions.
d. Active listening provides a structure for reducing a long list of potential
solutions.

62) Which of the following measures are included in the life cycle cost (LCC)
calculation?

a. System price and annual production increases

b. Project costs and the ongoing costs
c. NPV of the annual manufacturing cost savings
d. System price and the NPV of the annual manufacturing cost savings

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63) Which of the following characterizes a lump-sum (or fixed-price) contract?

a. High risk for the buyer that schedule overruns will jeopardize quality
b. Clearly defined methods and deliverables
c. Change orders are not applicable
d. No risks to the buyer or the seller

64) Which of the following quality tools is useful in preparing a project scope of work
(SOW)?

a. Pareto chart
b. Interrelationship digraph
c. Work breakdown structure (WBS)
d. Process decision program chart (PDPC)

65) During a team meeting, the team leader must frequently interject to reinforce
established ground rules. Within the context of team evolution, the team is most
likely in the stage of

a. forming.
b. storming.
c. norming.
d. performing.

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 Week 12 - Answer Key
34. a
1. b 35. b
2. b 36. d
3. c 37. b
4. b 38. b
5. a 39. c
6. a 40. c
7. a 41. a
8. b 42. b
9. b 43. d
10. b 44. b
11. c 45. b
12. a 46. b
13. b 47. a
14. d 48. c
15. b 49. c
16. a 50. b
17. d 51. b
18. c 52. c
19. b 53. d
20. a 54. a
21. b 55. b
22. c 56. b
23. c 57. c
24. a 58. b
25. b 59. b
26. a 60. d
27. b 61. b
28. d 62. b
29. c 63. b
30. b 64. c
31. b 65. b
32. a
33. b

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 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 13

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 Module 13: Process Safety and Safety
Instrumented Systems

Safety Layers

Risk

SI Ls

SIS Requirements

Fault Tolerant Systems

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 Learning Objectives

l Explain the difference in model fidelity requirements.

2 Recognize the need for field or lab measurements to correct

models.

3 Compare and contrast experimental and first principal

models.

4 Explain the risks of relying on historical data to build models.

5 Explain the differences between a dynamic model and a

steady state model

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 5.1 Safety Instrumented System (SIS)

A system composed of sensors, logic solvers, and final control

elements for the purpose of taking the process to a safe state when
pre-determined conditions are violated.

Safety Instrumented Basic Process Cormo

UHC iver va'iJW��e UHC L gacy System (BPCS)
Plan

J ---, +''
L, __ JI

"I I
! I
-�----·' I I

I
Reoctor -- -� L_

Notes:

• The above is a generic definition. As we shall see, these systems should be

separated from the process control system. They may be implemented using many
different technologies (e.g., relays, pneumatics, solid state, software).
• Discuss the definitions in S91 on ‘control’ and ‘safety’. Safety systems don’t control,
they monitor. We’ll see how the standards say these systems should be completely
separate.

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 Opening Discussion

� What level of risk is tolerable?

Notes:

• This first question is one of the most controversial. It’s a question few want to answer, and
fewer still want to put in writing. The standards groups cannot directly answer this
question (for legal reasons), so we’re addressing it through the ‘back door.’
• Is there a firm answer for test intervals? Or might it depend upon the technology, level of
redundancy, and/or other factors? How does one even determine test intervals?
• Many people think ‘if one’s good, two should be better, and three should be the best’.
Unfortunately, things are not always as obvious as they may seem. Dual is not always
better than single, and triple is not always better than dual. (The dual system is ‘safer.’)
• Most people realize MDT (how long an item may be down and not functioning) and MTTR
(how long it takes to fix something) are not the same. So why then does every PLC vendor
assume they are the same in their performance calculations?! (Something fishy’s going on.)
• Many relay systems are replaced with PLCs. Many of the companies claim the PLCs are
much more reliable than the relays (they fail less often). But just how safe are they? Can a
system that’s more ‘reliable’ be less ‘safe’? (Yes!)
• It’s human nature to feel things are done safely at your plant. But just because it hasn’t
happened yet, does that mean it won’t (or can’t)? No doubt there were similar statements
made one day before the accidents at Flixborough, Three Mile Island, Bhopal, Chernobyl,
Pasadena, Channelview, Norco...

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 SIS Design Documents

l> UK HSE: PES - Programmable

Electronic Systems for Use in Safety
Related Applications, 1987

l> AIChE, CCPS: Guidelines for Safe

Automation of Chemical
Processes, 1993

l> ISA84-2004 (IEC 61511): Functional

safety: Safety Instrumented Systems for
the process industry sector, 2004

l> IEC 61508 - Functional Safety - Safety

Related Systems. 2000

Notes:

• There has been a lot of confusion due to the lack of industry standards. Because of this, a
number of standards are now being written. A few, however, have been around for a
number of years.
• The first was published by the English Health & Safety Executive with the release of
‘Programmable Electronic Systems for use in Safety Applications’ in 1987. Although it was
primarily intended for programmable systems, the concepts apply to other technologies as
well. It is an excellent document and is available in the US. It has been used as the starting
point for several of the other documents.
• The American Institute of Chemical Engineers released their guideline textbook in late ‘93.
It covers the design of DCS and ‘interlock’ systems. About 50 pages are devoted to
‘interlock’ systems, although there is lots of other very useful background information. The
book took around 5 years to write and was the effort of about a dozen individuals who
were all from user companies. Vendors were not allowed on this committee. (Good thing,
too. They would have never finished otherwise!)
• The International Electrotechnical Commission has been working for years on their
standard, which will cover the use of relay, solid state and programmable systems. The
standard will apply for all industries such as transportation, medical, nuclear, etc. 3 of the 7
portions were released in ’98, the rest in early 2000.
• The IEC also published a standard specific for the process industry (S61511). This
essentially replaced the original ISA84 (which was first released in ’96), with the addition of
the grandfather clause (from the ’96 document).
• These standards are performance oriented, not prescriptive.

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534
 Safety Layers

erms
Basic Process Control
Process

"Defense in depth" OR "Don't put ell your eggs in one basket"

Notes:

• This diagram appears in a number of different formats in most all of the standards. The
basic concept is simple; you don’t want to put all of your eggs in one basket.
• First, the process plant itself must be designed with safety in mind. This is why HAZOPs and
other studies are performed.
• The process control system is the next layer of safety. It controls the plant and keeps all
variables (pressure, temperature, level, flow, etc.) within safe bounds.
• If that system fails to do its function (for any number of reasons) alarms will go off alerting
the operators that some form of intervention is required on their part. (I have always found
it disconcerting how many alarms seem to be ignored by operators in control rooms.)
• If the control system and the operators fail to act, automatic shutdown systems take
control. These systems are usually completely separate, with their own sensors and valves.
(This seems to be a subject of continual controversy. More discussion follows.)
• If the shutdown system fails, and an accident ensues, fire & gas systems are used to
mitigate or lessen the consequences. In the US, these are traditionally ‘alarm only’ systems,
for the fire crews most go out and put out the fire. In other parts of the world these
systems take control actions. They are frequently integrated, or combined with, the
shutdown systems.
• Then there are mitigation layers, systems designed to lessen the consequences of an
accident once it already happens. Scrubbers, containment vessels, flare systems,
evacuation procedures, etc.
• The nuclear industry refers to this as ‘defense in depth’. In other words, don’t put all your
eggs in one basket.

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535
 Risk Reduction

Tolerable Risk inherent

Risk Level tn the process

Risk-

Doing more in one box doesn't make it perform better

Notes:

• A picture is worth a thousand words. A diagram similar to this first appeared in the IEC
draft years ago. It easily and clearly shows how safety systems are used to reduce the risk
associated with any process.
• There is a certain amount of risk associated with any process, whatever it is. This may be
low or high. The best way to reduce the risk is to design an inherently safer plant, one
where the bottom arrow in the figure above never extends very far to the right.
Unfortunately, this is not always possible. The risk inherent in most process plants is
typically above a level considered ‘acceptable’ to plant management and nearby
communities.
• Systems are therefore put in place to lower the risk. (The earlier diagram of safety layers is
helpful here.) The first means of reduction is the process control system (BPCS - basic
process control system). The shutdown system lowers the risk even further. Fire & gas
systems lower it yet further. Then there are containment systems, evacuation procedures,
etc.
• How well each system lowers the risk is shown by how far its arrow extends to the left. A
‘poor’ system would have a short arrow, a ‘good’ system would have a long arrow. In other
words, its risk reduction factor could be small (5-10), medium (10-100), large (100-1,000) or
very large (1,000-10,000).
• This term, the ‘risk reduction factor’ is a simple, intuitive term. As we shall see, it is a much
better measure of system performance than ‘availability’ or ‘probability of failure on
demand.’
• Using today’s technology, it is possible to combine multiple functions in one system.
However, doing more in one box doesn’t make that box perform any better - just like
cramming more college kids into a VW beetle won’t make it go any faster.

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536
 Separation
', IEC 61508: Functional Safety- Safety Related Systems

> ISA84:Functional safety - Safety instrumented systems

for the process industry sector

> AIChE: Guidelines for Safe Automation of Chemical

Processes ( 1993)

> American Petroleum Institute. Recommended

Practice 554

> NFPA 85: Boiler and Combustion Systems Hazards

Code, 2001

', IEEE, Std 603: Standard Criteria for Safety Systems for
Nuclear Power Generating Stations (1991)

Notes:

• The IEC document has gone through considerable changes and is still in draft form.
It first went out for industry review in the fall 1996 and was released as a standard
in 1999. They have always favored separation of process and safety control, but it
is difficult to say what the document will be like at the end of the review process.
• This document will be an international standard for all industries on the use of
relay, solid state and programmable safety systems. They have identified 4 ‘Safety
Integrity Levels’, with level 4 being the highest. (We will be discussing SILs in more
depth later.)

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537
 Safety Design Life Cycle

NO clelailed Hazard and Steps

requirements given Risk Analysis I performed
(6) Installation, throughout
Deta11e<1
requirements g,ven
I Commissioning
and Valldatlon Management,
Allocation of (14 and 15) Assessment,
Safety Layers
(9) I Auditing
(5)
Operations
• and Verification
Develop Safety
Maintenance (7)
Req's Spec
(16)
Other Means (10 and 12)
•
of Risk
Reduction I Modification
(17)
(9) Design and
Enqmeennq
(11 and 12)
I
Decommission
I (16)

(ISA84, Section 6)

Notes:

• A full description of the the life cycle appears in the various standards. A similar life cycle
also appears in the AIChE CCPS “Guidelines” book as well as most all of the other standards.
• One must review and identify the potential hazards and operational problems. Identifying
the hazards will lead to the functional logic that should be implemented. A risk assessment
ranks the severity of the hazards that have been identified. The greater the level of risk, the
better the performance required of the SIS.
• If passive, non-SIS layers can be added, so much the better.
• If an SIS is required, the first step is determining what level of performance will be required.
We will cover this in more depth later. One must then develop the specifications for the SIS
(i.e.., what is the system supposed to do, and how well is it supposed to do it).
• The conceptual design has to do with selecting the type (technology) of SIS that may be
required. Then the system is designed, installed, tested, etc. All decisions and procedures
must be fully documented.
• How will the system be tested - manually or automatically? How often? All procedures must
be documented.
• Any modifications to the system shall require revisiting the appropriate step in the life cycle.
• (The following slides go into some of these topics in more depth.)
• Clause numbers from 84 (61511) are shown in parenthesis.

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538
 Event Frequency

'""' Descriptive Wad , Frequency d Occurrooce

Individual Items Inventory
I

Likely to occur Continuously eeetercee

5 Frequent frequently

• p-· Will occur several

t,mes In the life d
an item
Will occur frequently

Likely to occur
3
°'""""' some nme in 1he
life d 1111 item
Will occur several times

2 Remote ,,.,.. .
Unli�, but

So unhkely it cao
Unlikely, but can be
expected

' Improbable be assumed may

not occur
Unlikely, but possible

Notes:

• The categorization first involves breaking down the two factors of risk (probability
and severity) into different levels. The military document (MIL-STD-882: System
Safety) uses 5 categories for each, but some in industry are more comfortable with
just 3. Numbers or descriptive words may be used to rank the different levels.
• Some are confused by the categories ‘individual item’ vs. ‘inventory.’ For the
military this meant the difference, for example, between a single plane, or a fleet
of aircraft. In the process industry it could easily mean the difference between one
refinery, or all the refineries operated by one company.

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539
 Event Frequency

Low (! < 1 o- /year)

--
-• •• ---
Three or more simultaneous instrument,
valve, or human failures
Spontaneous failure of single tanks or
process vessels

••• Moderate (10-' < f < 10-• /year)

• Dual instrument or valve failures
• Single failures of small process Imes or
fittings
High (f > 10-')
Process leaks
• Single instrument or valve failures
Source A!ChE CCPS • Human errors that could result in
Guidelines for Safe
AutomalK>n of Chemical material releases
Processes

Notes:

• These are examples to help people put the sample frequencies in

perspective. The levels (frequencies) shown are merely examples, not
mandatory.

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540
 Event Severity

,�- Descriptive
Wo,d
, Potential Consequences
Personnel Environment Production or
Equipment
Multiple Detrimental Loss> M$1.5
5 Catastrophic Deaths offsite release

Death Non-detrimental Loss between K$500

4 Severe otfsite release and M$1 5

Lost lime Release onsite - Loss between K$100

3 serous accident not immediately and K$500
contained

Medical Release onsite - Loss between

2 Minor treatment immediately $2,500 and K$1CXl
contained

Ftrst aid No release Loss < $2,500

I \ Negligible treatment

Notes:

• Severity may also be categorized according to the different factors at risk;

people, capital equipment, production, etc. The numbers shown above are
simply examples only, they are not intended to represent, or even imply,
any kind of recommendation. Every company would need to define these
levels on their own. (What may be catastrophic to one company might not
be significant at all to another.)

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541
 Overall Risk

Prubatnlrty
High risk:
Unacceptable design
Seventy • ' 3
' s
- Change required
s s tn Hig
" I•.,_,, " Medium risk:
' ' Mt'ld um ts
"' Questionable design

�i k 9 ts
Change destrable
3 3
"
'
•
l.91
�
'
'
' 3
s

'
to

'
Low risk:
Acceptable design
No change required

Notes:

• The two sets of numbers may then be combined into an X-Y plot as shown above.
The lower left corner represents ‘low’ risk (low probability and low frequency), the
upper right corner represents ‘high’ risk (high probability and high frequency).
• The military standard actually uses numbers for one axis and letters for the other.
This helps differentiate the 5 in the upper left corner, from the 5 in the lower right
corner. The 5 in the lower right corner represents low severity with high probability
- perhaps someone falling from a ladder. The 5 in the upper left corner, however,
represents something completely different. This would be something with a very
low probability, but one with catastrophic consequences - something like
Chernobyl. Both represent a 5 on the chart, but they are obviously very different.
• Companies have similar ranking systems (shown on the right) used during HAZOPs.
• Note that a two dimensional matrix should NOT be used to select SILs. (See the
following pages.)

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542
 ALARP (As Low As Reasonably Practical)

Risks should be
lowered.
� practical

Not practi al to lower

risks further

Notes:

• ALARP (As Low As Reasonably Practical). This is a legal concept that came out of
the UK. This is very similar to the previous slide.
• This is one of the methods described in the standards for coming up with the
required performance of a safety system, although the term SIL is not specifically
used. Essentially, it hinges on economics (i.e., cost vs. benefit). Some in the US
would naturally have a bit of a problem with this due to differences with our legal
system.
• Blowing up a plant every year would obviously be unacceptable to everyone. The
process should be redesigned if one ends up in this area.
• Adding a meteor shield would lower the risk, but no one would consider it
reasonable. The process design is acceptable and no further changes are needed if
one ends up in this area.
• Anything in between needs to be considered carefully.
• This method could be used to determine whether a safety system is necessary,
and how good it needs to be. The ALARP method is described in the international
standards.

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543
 Safety Integrity Levels

Safely Probabilrty of Risk RedUCIIOl'I Av��ity

lmegnty Fallure on Demand Factor (1/PFO)
L""" (PfO)

4 .0001 - .00001 10,000-100,000 99.99- 99.999

3 .001 - .0001 1,000-10,000 99.9-99.99

-r
2 .01 - .001 100-1,000 99-99.9

, .1 - .01 10-100 90-99

0 Control (NIA)

For "Demand Mode" of operation

Notes:

• The difference between an ‘availability’ of 99% and 99.99% is not very clear to most,
after all it’s less than 1%, so what are we arguing about?! Well, it may be less than
1%, but the two numbers differ by two orders of magnitude!
• The reciprocal of PFD is the ‘risk reduction factor’. (Comparing the numbers above
drives home the point.) The difference between 99% and 99.99% is not very
obvious, but the difference between a risk reduction factor of 100 and 10,000 is
obvious to anyone (even a plant manager!).
• Think back (or turn back) to the earlier slide on ‘Risk Reduction’. A system with a
risk reduction factor of 10 means it lowers the risk of the facility by a factor of 10,
compared to not having the system at all. A system with a risk reduction factor of
1,000 is better than a system with a risk reduction factor of 10 by two orders of
magnitude.
• If one safety layer (e.g., the DCS) lowers the risk by a factor of 10, and another
safety layer (e.g., the ESD) lowers the risk by another factor of 10, and still another
safety layer (e.g., the Fire & Gas system) lowers the risk by another factor of 100,
then overall, the total risk is lowered by a factor of 10 x 10 x 100, or 10,000.
• The standards list the performance requirements for a single function, including
field devices.

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544
 Sample Frequencies

Initiating Event Frequency (per

yea,)

Gasket I packing blowout 1 x 10·2

Lightning strike 1 x 10-3

BPCS loop failure 1 x 10·1

Safety valve opens spuriously 1 X 10-2

Regulator failure 1 x 10·1

Procedure failure (per opportunity) 1 x 10"3
Operator failure (per opportunity) 1 x 10·2

Notes:

• Sample frequencies as published in the LOPA text.

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545
 Tolerable Risk

What is an acceptable or tolerable level of risk?

Should a plant be as safe as:

• mountain climbing?
• driving in your car?
• staying at home?
• flying in an airplane?

One measure of risk is FAR (Fatal Accident Rate).

• It is expressed as the number of deaths per 100 million man-hours
• In the U.S., the chemical industry has a risk less than that of driving
a car (FAR of 4 vs. 40)

Notes:

• How safe is safe enough?

• The safer a plant, the more expensive it may be. There is always a financial balance.
• Statistics have shown that the relative risk of working in the chemical industry is
lower than what we all accept every day driving our cars.

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546
 Sample Risk Tolerance Criteria

Max tolerable Negligible nsk Max tolerable N(cligible risk

risk fOI' for workforce risk for public or public

.,.
worl<force (all scenarios) (all scenarios) (all scenarios)
( all scenarios)

s .... , ,
"''
. .

. .
BP
,c, '"' . .
3.3 x 10-5
'"'
,.
Rohm and 2 5 )( 1()-!I . 1fr' 1fr'
Haas (per employee)

Typical
(CNl«llllllO)
10• -o- ,o•
- -
Similar tables may be developed for financial losses, releases, etc.

Notes:

• Examples published in the LOPA text.

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547
 LOPA Example (Layers of Protection Analysis)

• Level control loop

with alarm
"'"
• There is a dike
• Overflow could result
in leak and possible
Hexane pool fire and fatality
Storage
Tank outside of dike

Notes:

• This is a slightly reworked example from the AIChE LOPA text. The
worksheet shows the ‘results’. The instructor can hyperlink to the pdf file.
The next slide show an event tree. This is a reasonable example of the
grandfather clause.

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548
 Failure Modes

With a safety system, the concern shouldn't so much be

with how the system operates, but rather how the system
faffs. Safety systems can fail in two ways:

Safe failures Dangerous failures

(false trip) (failure to trip)
Initiating Inhibiting
Overt Covert
Spurious Potentially dangerous
Costly downtime Must find by testing
•
lox u =

Notes:

• Replacing relays with a PLC can be beneficial in some ways, but detrimental in others. It’s
not so much how something works, but how it fails.
• The reason the term ‘availability’ is so poor is because it does not address the two failure
modes of a safety system.
• Safety systems may initiate nuisance trips. That is, they may shut the plant down when
nothing is actually wrong. An example would be a closed and energized relay that just pops
open. People have given these type of failures a number of different names; overt,
revealed, fail-safe, etc. Since they result in plant shutdowns, they tend to be costly. People
want to avoid them for economic reasons. When systems suffer too many failures like this,
people tend to loose confidence in them (and they are typically bypassed as a result).
There’s nothing ‘safe’ about nuisance trips, and that term has caused problems.
• We must not forget, however, that systems may also suffer failures that will make them fail
to respond to a true demand. Some have called these covert, hidden, fail-danger, etc. Such
names, however, don’t tell you what’s really important - the system won’t work. If a system
fails in this manner (e.g., the relay contacts are welded shut) it would be potentially
dangerous, for if there is a demand, the system will not respond. The term I prefer for
these sort of failures is ‘inhibiting’, since the system is inhibited from responding. The only
way to find these failures (before it’s too late) is to test for them. Most people don’t
understand the need for this. Remember, however, that safety systems are dormant and
failures are not inherently revealed. Unfortunately, many systems do not have effective
diagnostics (a fact glossed over by many vendors).

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549
 SIS Safety Requirements

Develop the safety requirements specrticatrons

D Definmon of safe state of process
D Common cause failures
[Z] D Process inputs to SIS and trip points
0- D Process outputs from SIS and action required
0 D Functionally logic required

0 D Response time requirements

0
D Manual shutdown
D Response action to a logic failure
D Human machine interface (HMI) requirements
D Reset functions

ISA84 Section 1 O

Notes:

• This is a partial listing from 61511/84 (section 10), of the ‘requirements

specification’ that must be developed in order to design an SIS system.
• First, describe the nature of each potential hazardous event. Then determine the
required SIL (1, 2, or 3). Common cause problems, such as corrosion, plugging, etc.
should be identified. Safe states, for each of the identified events, should be
defined. Inputs, setpoints, output, and logic must be defined, etc.

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550
 515 Safety Requirements (ccnhnued)

Determine safety integrity

requirements:

./ The SIL of each function

./ Reliability considerations 1f
spurious tnps may be
hazardous

ISA84 Section 1 O

Notes:

• The above listing is, again, taken directly from S84, and is a continuation of
the requirements specification. No examples are given in S84, but they are
fairly simple and obvious.

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551
 Examples of SIL Configurations
lntegrKy
Actuator Minimum Interlock
Level Sensor .
(AvailabilitY) Logic Solver Design Structure

1 ®- - - -c=;J- - - Non-redundant

etout
� Best single path
design

����rl
0 99

2 ®----1
'°'
eoout
0 999
=- -- .. '
=---� _jli.�
Partially redundant
Redundant independent
paths for elements 'Mth
lower availabillty

s»: f""[ogicl Totaly redundant

3 �---�------.
-.:. :.tt
Redundant independent
0 999
le
©- - - -� paths for total interlock
system. A single fault of a
0 9999 SIS system component
should not result in a loss of
process protection.

Notes:

• This slide, also taken from the AIChE text, shows ‘examples’ of SIS system
configurations for the different SILs. Whatever company develops such a
‘cookbook’, they must have a rationale for their decision. It should not be based on
a SWAG (scientific wild ass guess)! The above diagram (an example only) is shown
in both the CCPS text and the ’96 version of 84.

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552
 Hot Back-up PLC

CPUA le· I CPU B

IR • I
Switch

1/0 le· I
II J •
I Field devices

Notes:

• While many people do use simplex PLCs for safety related applications, most
critical systems employ some form of redundancy. One of the most popular
schemes is a hot back-up system. This employs redundant CPUs (although only
one is on-line at a time) and simplex I/O modules. There are a number of items
worth pointing out about such a system.
• In order for the system to switch to the back-up CPU, it must detect a failure of the
on-line unit. Unfortunately, this does not happen 100% of the time, because the
CPUs diagnostics cannot detect 100% of all possible failures. A general figure is
about 80% effective diagnostics, possibly getting up to 95% if a number of
additional features are implemented (e.g., watchdog timers).
• Every PLC vendor assumes the switching is 100% effective. This is an idealistic
assumption, as a variety of failures of switches like this have been reported. Some
switches most be programmed in order to work.
• The real weak link, however, is in the lack of diagnostics of the I/O modules (let
alone the fact that they are simplex). Some units literally have no diagnostic
capabilities at all. A common number I assume in my modeling is 50%. There are
some units with good diagnostics available. When I ask why more people aren’t
using them the typical response is, “They’re too expensive.” You get what you pay

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553
 for.
• A number of rather frightening stories have been recounted of systems such as
this used in safety related applications. Unfortunately, they are not publicized (due
to their sensitive nature).
• For example, I know one engineer who told me his company was
considering the use of a PLC for safety. They put a demo system through a
number of tests. One test was to take a running system, with all of the I/O
energized, and remove the CPU chip, while the system was running. They did
just that, and the system did nothing! All of the I/O stayed energized and
there were no alarms or indications of any kind! He phrased it rather well.
“We gave the system a lobotomy, and it didn’t even recognize that anything
happened!” His next sentence was, “We obviously didn’t use that system.”
• I know one user who had 7 systems like this for safety related applications
in one plant. They heard some of the stories so they went out and tested
the units. (They ‘tickled’ an input and checked for the appropriate output
response.) Of the 7 systems tested, 4 did not respond properly! No one
knew anything was wrong until they actually went out and tested the
systems. (All the lights were green, so they thought everything was OK.)
• One engineer at a corporate office told me he sent out a memo to all of
their plant sites requesting their safety PLCs be tested. The reports he got
back said between 30 and 60% of the systems did not respond properly.
• One engineer told me his E&C company designed a hot back-up PLC system
per the customers specifications. They installed it, tested it, and everything
worked fine. They tested it a year later, and everything still worked fine.
Then one day the PLC shut the plant down. When they checked the system
they found that the cable to the back-up CPU was never installed!

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554
 Active Parallel Redundant System

Loop-Back test

I I Out
----:::i In CPUA

v ( )-

� In I CPU B I Out I

I
loop-Back test

Notes:

• An approach tried by some is to take off-the-shelf hardware and modify the

system to try and provide a higher level of diagnostic coverage. One such scheme
involves the addition of I/O modules, loop back testing, and additional application
programming to make all this happen.
• Unfortunately, systems of this type tend to be expensive, large, ‘special’, and utilize
programming which is sometimes considered ‘difficult to maintain’ by those who
become responsible for the system. (A word used by some is ‘kludge’.) I’ve known
some who tried this and then said, “Never again!” It is not very economical when
compared against some other possibilities.
• There is an inherent problem with any dual system. When the two channels don’t
agree, which one’s right? Is one channel experiencing an initiating failure (and you
don’t want to trip, so you choose 2oo2), or is one channel not responding due to
an inhibiting failure, and the alarm is genuine (and you do want to trip, so you
choose 1oo2)? Again, which one’s right?
• What people are doing with such systems is accepting that the general hardware is
ill-suited for safety, therefore they try and design a better system by including
more redundancy and more thorough diagnostics. Over the last decade, however,
this has become unnecessary, as there are better off-the-shelf systems currently
available which include all of the necessary redundancy and diagnostic features.

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555
 Fault-Tolerant System

= In - CPUA Out

---< In - CPU B Out

�

---< In - CPUC Out

Notes:

• There are a number of triplicated systems currently available on the market. These
systems include triple redundant (hence the name TMR - triple modular
redundant) portions and extensive diagnostics. With triplicated circuits, the system
can survive single (and sometimes multiple) initiating or inhibiting component
failures.
• The above diagram is generic only. Some of the systems utilize ‘quad’ redundant
outputs. Some employ redundant circuits on one board, other utilize multiple
boards (modules).
• Generally speaking, these systems do not require any additional overhead
programming in order to accomplish diagnostics (although some might argue on
the finer points of this topic). You only write and load one program, not three
separate ones. Essentially, the triplication is transparent to the user.

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556
 1oo2D System

lni>JtlOutµ,t lnpuVOutput

. - -- - - - - . - - - -- ·: .
cr u r
ModlJe CPU Module Module
: '--------------- +
loputC,ool 0,.,,tCHool

• I '
:=�"Fil !'�::::; I 41
iI c ''"'
: I o,..,oo,k I :
.·---------------'.
C,oui '
o,.,,,,.,�
CHoul l
...

·--------------. ·--------------- -

lnµJtlOutµ,t lnpuVOutput
ModlJe CPU Module Mo(Ule
- -- -, • --------------, '-------------- .! '

�-t--'!:�.....I[�"'��'·�.'�"�-'"-'-:---:J-',+i·-----�:�_
t
o,.,,,,.k I :
: +
D,,o,,,.k J
· E: '°�"�'�":'JI...j :!
�c�ru�· J-�. �� :
,
+
o""'"k
'

:-----���-·-----:�,r ,_.___ -1-__J

Notes:

• The 1oo2D designs all came from process control system vendors. These systems
are as fault-tolerant as the TMR systems (2 failures to fail-safe, 2 to fail-dangerous).
They employ quad redundant output circuits (just like the TMR vendors). These
systems are independently certified to the same performance levels as the TMR
systems.
• There’s obviously nothing wrong with the TMR systems. Their concept just dates
back to the ’70’s. The 1oo2D designs came out in the late ’80’s, some in the
mid ’90’s.
• Vendors are P+F (now owned by Honeywell), HIMA (in Germany), ABB (in Norway),
and Moore (US) - now part of Siemens.

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557
 Common Cause

- A � • Common cause is a single

stressor or failure that causes
multiple components to fail
B D
• One common term is called the
Beta factor. It represents the
percentage of failures of one
� c �
'leg' of the system, that might
affect the entire system
A, B, and C represent • Use the 1oo1 formulas to add
a triplicated system. common cause to your models
But 1f D fails, the
entire system falls. • Systematic failures can be
added the same way

Notes:

• Go back to the TMR example and add just 1% common cause (Beta factor).
It lowers the numbers by an order of magnitude. Then add a systematic
failure rate of 1 E-6. Split it 50/50 for the failure modes. Including that also
lowers the numbers an order of magnitude.

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558
Notes:

• Operator interfaces are covered in section 11.7.1 in S84. Articles have been written
about proper operator interface design, and I believe ISA even offers a course on
the subject.
• It is important to provide certain information to the operators (but not to the point
of overload), yet it is just as important to limit what operators are actually able to
do at the interface. If a portion of the system is placed in bypass, what indication (if
any) is there to alert others?
• The interface is important, but is it critical and required for proper operation?
What happens if the interface screens go blank (which I’ve heard happened on
more than one occasion)?

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559
 Resetting Shutdown Systems

> After a shutdown, the process

should not automatically restart
when the shutdown initiators
return to their normal state

:, Operator action is usually

required to reset the system after
initiators return to normal

» Reset functionality should be

defined in the specifications

ISA84, Section 11.2.7

Notes:

• Touched on in 84/61511 in 11.2.7 and a few other spots, although not in great
detail.
• Students need to understand the importance of keeping a process from
automatically restarting once the input parameters return to normal. This could
cause a dangerous situation.
• Solenoid valve should latch in the tripped state. Operator action should be
required in order to reset the solenoid.

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560
 Evaluation Criteria

Classical evaluation
./ Electrical safety
./ Environmental cornpatibrlity

Functional safety evaluation

./ Architecture
./ Hardware diagnostics
./ Software process and design
./ Quality programs
0 ... ··0
./ User manuals
O O

Notes:

• TUV evaluates the classical electrical/mechanical safety of a product much

like FM or CSA. More importantly, TUV evaluates functional safety. They look
primarily at architecture, software process and software design, hardware
diagnostics and user manuals. Again, most agencies would now use 61508.

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561
 Management of Change (MOC)

', To ensure safety despite changes

> Required for modifications to:

• Operating procedures, the process,
software, etc.

> MOC shall contain

Technical basis for proposed change
•
•
Impact on safety and health
Authorization requirements �<•
Documentation of changes •
»- Review of the changes required
• Changes shall initiate return to
.. l
•

appropriate phase of safety life cycle

> Personnel affected shall be notified ISA84, Section 17

Notes:

• Management of change procedures should be followed to analyze the

impact of any and all changes. What may seem to be insignificant changes
to one person, may in fact represent considerable risk. This requires input
from people who understand both the instrumentation, the control system,
and the process. It is important to leave an auditable trail.

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562
 SUMMARY: Process Safety and SIS
•
I
Safety Layers

•
- Risk

SI Ls -I
SIS Requirements
Fault Tolerant Systems

Notes:

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563
 True or False
SIS

Today's safety instrumented system standards are

performance-based, not prescriptive.

Q False

CffilittflM

Multiple Choice Question

SIS

A goa! of a Safety Instrumented System is to:

@ Reduce risk.
Limit the number of alarms operators must respond to.

Increase process throughput.

Fulfill a requirement of ISA-84

Wffi@M

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564
 Multiple Choice Question
Process Safety

The two failure modes of most concern for safety systems

are:

Q sensor thermocouple burnout and narrow sensor diagnostic coverage.

Q sensor corrosion and leaking trip valves in final elements.
Q sensor responses to erratic outputs and solenoid reliability in final
elements.

� sensor nuisance trips and sensor failures to respond to changes in actual

� conditions.

Wifi#M

Multiple Choice Question

Two safety transmitters are wired to monitor flow rates,
liquid levels, and pressures in a processing plant and
convert the sensor data into a signal for transmission to
another location. This architecture is a good way to ensure
a desired SIL 2 of instrumented safety functions because:

standby sensing and switching is automatic.

'e multiple transmitters measure one variable.

multiple transmitters decrease reliability.

costs for redundancy are less than a "sate" system failure.

41tilfuflM

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565
 Multiple Choice Question
Process Safety

Which statement is NOT true about Dangerous Failures?

Q Dangerous failures are inhibiting.

Q Dangerous failures are covert.
Q Dangerous failures are only found through testing.
'i Dangerous failures are initiating.

WffiWM

Multiple Choice Question

SIS

Which of the following would NOT typically be included as a

protection layer in an SIS?

@ Public relations systems for crisis management

Q Automatic shutdown system

Q Physical containment systems
Alarm system.

Wffi#M

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566
 Multiple Choice Question
SIS

Documentation of periodic SIS testing and maintenance

procedures

Q facilitates ongoing hazard analysis.

@ provides an auditable trail.

Q provides
system.
performance data useful for eventual decommissioning of the

sets baseline data to assess the impact of any proposed process

modifications

WitiitrtfiM

Multiple Choice Question

Pmcess Safety

Which statement describes the allocation of safety

functions to protective layers?

@ Multiple, independent safety layers are the best defense.

Inner layers mitigate the consequences of a hazardous event in progress.

The further out the layer, the more tolerable the level of risk.

Q Safety systems must be closely integrated with control systems.

WitiMfiM

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567
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 14 Draft

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568
 Module 14 A: Electrical Installations

Learning Objectives

I Ensure that automation processes do not fail due to faulty

electrical installation practices

2 Explain the basics of grounding

3 Discuss the use of electrical circuit protection and

enclosures.

4 Recognize the importance of adherence to PE

manufacturers' installation requirements

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569
 Grounding, Shielding, and Interference

MAIN
LECTR!CAL
GROUNO BAR
2
'

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570
 Ground Resistances

Grounding Electrode Resistance Ranges

Substations 2-5 ohms

Electrical Safety Ground <5 ohms

Instrumentation 1-5 ohms

DCS 1-3 ohms

Computer 1 ohm

Intrinsic Safety <1 ohms

Notes:

• These are the numbers you should aim for if you want a low noise and safe
system!

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571
 Example Resistivity of Soils

Resistivity Resistance of
(O-cm) 5/8"x 1 o· Rod

Sol Avg. Min Max Avg. Min Max

Fills ashes cinders 2370 590 7000 8 2 23
bnne waste salt
marsh

Clay shale gumbo 4060 340 16300 13 1 1 54

loam

Same with added sand 15800 1020 135000 52 4 447

and gravel

Gravel sand stones 94000 59000 458000 311 195 1516

with little clay or loam

SJlliIT.e. IEEE Std 142-1982

Notes:

• Moisture lowers the resistivity. Resistivity go up as temperature goes down.

Ground resistivity varies with the seasons.

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572
 Ground Potential Difference

r- 10,000V
I
Power and
safety Qround ---- Instrument
Ground

Different Earth

-,
Ground Connections
(typ)

�
-
Assume zero reference p�
ri 1 �lun
lg
10.000Amps.
vv
E = IR = 10,000 x 1 =10.000 V

Example of Voltage Differences From Two Different

Earth Ground Points Dunng a Lightning Stnke

Notes:

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573
 Instrument Ground Loop

E
TX FTB MTB
DCS

"

Solutions
• Remove ,1 qrounu Vg
• use <IP ISOld!O'

Notes:

• Ground loops can occur in two ways:

• Potential differences in grounds causes a current flow in the
interconnecting wiring.-We should only be grounded at one end!
• When components in the same system receive power from different
sources with different grounds.

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574
 Noise Interference Terminology

Noise Interference Terminology

EMI Electromagnetic All interference caused by electromagnetic waves

Interference

EMC Electromagnetic Conformance or compliance with applicable

Compatibility regulations regarding etectromaqnenc interference

RFI Radio Frequency Typically interference above 100 kHz

Interference

EMP Electromagnetic Short burst of electromagnetic energy

Pulse

ESD Electrostatic Sudden flow of electnoty between two electrically

Discharge charged objects caused by contact, an electncal
short, or oerecmc break:down

CE Conformite European Contorrmty stamp to meeting certain European

standards one of which rs the Electromaqneuc
Cornpenbrbtv Directive 891336/EEC

Notes:

• All EM Fields consist of an electric component and a magnetic component. These

are represented as lines of flux.
• The electric flux is at right angles to the to the magnetic flux and the EM field
travels at right angles to both the electric and magnetic lines.
• Thus, the wave travels in three dimension thru space. Think of the X, Y, Z
coordinates.

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575
 Types of Noise

Common Mode Noise

Noise that appears equally and in phase from each current

carrying conductor to ground. Also known as longitudinal
noise.

Normal Mode Noise

Noise that appears between the phase or signal and its
return. Also known as differential, transverse, metallic
noise.

Notes:

• Common mode must be in phase or else it converts to normal mode, the

differential noise.

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576
 Normal Mode Noise

Receiver
Instrument

•
'\; Vsignal Vn Noise
I

Notes:

• Normal mode noise is also known as differential or transverse noise.

• Normal mode noise appears between the signal side and the common and if
grounded, and ground. There is no normal mode noise on the common to ground.
• If there is return flow such as a current loop, normal mode noise flows into the
receiver instrument and out the return line, i.e. the normal mode noise current
flows in different directions on the source and return lines.
• In TELCOM world, normal mode noise is known as metallic noise.

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577
 Common Mode Noise
Signal + CM
Receiver
\ Instrument
+ "v

6
• I
vstqna! CM
+ "v

-
lcm »< •

I •
•
t Icm
' Vern Noise •
:
I :
-�

Notes:

• Common mode noise is also known as longitudinal mode noise.

• Common mode noise appears on both the signal and return lines to ground.
• Common mode current typically returns through a ground path.

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578
 Some Sources of EMI

wireless 1ppllcatlons)
Wires
High speed circuits

Arcs

Lightning

Power system disturbances

Electrostatic discharge (ESD)

Thermal

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579
 Path or Channels

J.. Paths
• Electrostatic, capacitive, E-field
• Magnetic, inductive, H-field
• Radiated
• Conducted

)- Suppress the source, shield the receptor, and

interrupt the PATH - any one of these actions
reduces the noise susceptibility

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580
 Electrostatic Shield Model

v,
CIRCUITll2 -
RECEPTOR

Vnoise I
---'--
Electrostatic Shield Model
(Capacitive)

Notes:

• Electrostatic coupling is also called capacitive coupling.

• More likely to couple normal mode noise because it is dependent on the voltage
difference
• Note leakage at end of shield
• Shield basically places a zero potential(ground) barrier between the noise source
and the receptor or target which effectively grounds the noise signal C1-S2 so that
it cannot reach the target circuit. It does not do so for the noise coupled by C1-2.
• Recall that two capacitors in series are less that the smallest value- thus offering
more opposition to the coupling of the interference. Thus the shield has reduced
the capacitance -note C2-S.

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581
 Magnetic Coupling Model

CIRCUIT 01

scuece

"

Notes:

• Magnetic or inductive coupling acts like a transformer with a single turn secondary.
The area of the “loop” of the receptor has a big effect on the coupling as does the
amount of current flowing in the source, the distance between the source and
receptor, and the orientation of the source and the receptor circuit.

• Magnetic noise is more likely to be common mode noise because it is current

based and will induce equal currents on all wires with the same loop area.

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582
 Shielding against Magnetic Noise

• Ferrous Conduit
• Twisted Pair

• Common Mode Chokes

• Grounding shield at both ends when the signal is
grounded at both ends

Notes:

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583
 Twisted Pair

Common Mode
Noise Currents

...

Notes:

• The tighter the lay(closer contact and longer time to cancel), the better the
cancellation. 3 twists an inch
• Since the wires are intimately in twined, there is less chance that a common mode
effect will convert to normal noise.

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584
 Conducted Noise

J> At low frequency, generally all noise ends up as

conducted noise. At high frequency, the noise may be
conducted or may impact a circuit directly
> Circuits can have elements in them that generate
conducted noise such as switching transients, non-
linear elements, arcs and sparks, and resonant
elements

Conducted Noise

Notes:

• Illustrate how the various coupled noises convert to conducted noise.

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585
 Inductive Load Transients

Load
..... ·····�

•..........

Notes:

• Inductive kick causes large transients

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586
 Shielding against Conducted Noise
:,.. Filters
Capacitor
• Resistor-Capacitor
• lnductor-Capacrtor
:,.. Common Mode Choke
:,.. Ferrite Beads
:,.. Differential Inputs
:,.. Balance Lines
:,.. Isolation Transformers

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587
 Common Mode Chokes
System #1
..... , ---k>
0-4--i--,--------r+
-
System #2

• 1• l :

_..,_+___,'·'µ,:$�
'•· i
4---+-0-
·---------· \

System #1 System #2

'•

Magne�c Core
'
)----------·
-------{ Vg

Notes:

• Balun is a commercial type.

• A common mode choke can be made by wrapping the signal wires around a
magnetic core. If a torrid is used multiple signal wires can use same core.
• A very simple form is simply multiple turns in air. Some people have used this to
test for power quality problems by looping the power cord(~5 times) to a piece of
equipment and see if situation improves.

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588
 Changing the Path Examples

Receptor

Path Modification

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589
 Classification of Signal Based on IEEE 518

IEEE 518 Srgnal cressmcencns

Level 1 HIGH Analog signals less than 50 volts and digital signals
less than 15 volts

Level 2 MEDIUM Analog signals greater than 50 volts and switching

cecuss

Level 3 LOW I Swrtctunq signals greater than 50 volts, analog signals

greater than 50 volts, regulating signals of 50 volts with
current less than 20 amps, and AC feeders less than
20 amps
1
Level 4 POWER AC and DC buses of 0-1000 volts with currents of 20-
BOO amps

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590
 Summary: Grounding, Shielding and Interference
�
• Ground Resistivity
•
• Noise

I
I
•

Notes:

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591
 I �111:'lf!"'
"

••
Hazardous Area Classification
••
Protection Techniques
Intrinsic Safety
Pressurized Enclosures

Learning Objectives

I Select electncat equipment with appropnate protection from

fire and shock hazards.

Define the salient features of the most oommon types of

2 protection agamst electncally-m1tiated explosions and
understand characteristics. design, and operation of each

Select electrical apparatus appropnate for use m a specific

3 potentially hazardous location, and the matenals to which it
may be exposed.

4 Identify mmnsac safety as a system-onented protect,on

concept rather than a device charactenstic.

5 Explam the differences between a dynamic model and a

steady state model

6 Explain the classification of locations where combustible

matenals may be present.

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592
 5.3.1 Hazardous Area Classification

National Electrical Code (NEC) Is sponsored by

the National Fire Protection Association (NFPA)

, Contains the most widely adopted set of electrical

safety requirements

r Includes a classification system consisting of

three parts for hazardous areas where flammable
materials might be a problem
Class
Group
Division

Notes:

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593
 Class Designations

Class I
Locations where flammable gases or vapors are or may be
present in the air in quantities sufficient to produce an explosive
or ignitable mixture (i.e., chemical plants and oil refineries)

Class II
Locations where combustible dusts may be present in
sufficient quantity to cause hazards (i.e., flour mills and coal
pulverizing racumes)

Class Ill
Locations where the hazardous material consists of easily
,gnitable fibers or filings that are not nonnally in suspension in
the air in quantities to produce ignitable mixtures (i.e.. sawmills
and fiber manufacturing facililies)

Notes:

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594
 Class I Group Designations

Group A
Acetylene

Group B
Butadiene, ethylene oxide, propylene oxide, hydrogen (and gases
or vapors of equivalent hazard)

Group C
Cyclopropane, ethyl ether, ethylene, hydrogen sulfide (and gases or
vapors of equivalent hazard)

Group D
Acetone, alcohol, ammonia, benzene, butane, propylene, gasoline,
methane, natural gas (and gases or vapors of equivalent hazard)

Notes:

• Group designation defines the hazardous material.

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595
 Class II Group Designations

Group E
Combustible metal dusts regardless of resistivity or other
combustible dusts of similar hazard (magnesium, aluminum,
bronze powder, etc.)

Group F
Carbon black, charcoal, coal, or coke dusts that have more than 8
percent total volatile material

Group G
Combustible dusts (flour, starch, pulverized sugar and cocoa,
dairy powders, dried hay, etc.)

Notes:

• Group designation defines the hazardous material.

• The materials listed above are examples only. The complete NEC listing is
much more comprehensive.

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596
 Division Designations

Notes:

• Division designation defines the probability and extent that the flammable or
combustible mixture will exist in the area at any given time.
• Note that the definitions used in this section are for description purposes
only. NEC definitions and information are more comprehensive.

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597
 Applicable ISA Standards

l> ISA12.1-1991
Definitions and information
pertaining to electncal instruments in
hazardous (classified) locations

l> ISATR12.2-1995
Intrinsically safe system assessment using the entity concept

l> ISARP12.2.02-1996
Recommendations for the preparation, content, and organization of
intrinsic safety control drawings

;, ISARP12.4-1996
Pressurized enclosures

Notes:

• There are hundreds of standards and recommended practices published by

numerous professional associations, societies, and government agencies
relating to installation of electrical devices.
• These are the ones developed and published by ISA. S = Standard, RP =
Recommended Practice, TR = Technical Report.

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598
 Applicable ISA Standards (conunueo)

ISA
J> ANSI/ISARP12.6-1995
Wiring practices for hazardous (classified) �
locations instrumentation - part 1: intrinsic safety

J> ANSI/ISA 12.10-1988

Area classification in hazardous (classified) dust locations

J> ANSI/ISA12.12-1994
Noruncendlve electrical equipment for use in class I, and II,
division 2 and class Ill, divisions 1 and 2 hazardous
(classified) locations

Notes:

• Continued Applicable ISA standards

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599
 5.3.2 Protection Techniques

> Explosion confinement FIRE TRIANGLE

• Explosion proofing (flame proofing)

)- Isolation of energy source

• Pressurization
• Purging

> Energy release limitation

• Intrinsic safety OXYGEN
• Nonincendive equipment

A
Caution:
Decisions regarding the safe installation of any instrument
0 .c.s ch.c•c.rcce
t ccsc.op "n"s"'b"
, l"
i ty'-"o
1 '-•c..oq
f .ca"l
u 'fi"e
-i -'-"
d d-'-e"i.s
s cg ccce
n .c,n .i.cn
g .cee "r----'
i

Notes:

• Three of the techniques available to provide protection for electrical apparatus in

hazardous (classified) locations are:
• Explosion confinement
• Isolation
• Energy release limitation

• Within each basic method, one (or more) specific techniques necessitates
specialized design in order to minimize the potential risk of operation electrical
apparatus in hazardous locations.

• Note that this is not a complete list and that only the most often encountered
procedures (explosion proofing, purging, pressurization, intrinsic safety and non-
incendive equipment) will be discussed in this section.

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600
 Explosion Confinement

EXPLOSIONPROOF
ENCLOSURE

CLASS I HAZARDOUS ATMOSPHERE

Notes:

• Explosion proofing (or internationally referred to as flame proofing) is applicable to

Class I areas only. It is a specific protection technique in which the ignition source,
fuel, and oxidizer may coexist, and ignition may occur. However, any ignition is
confined within an enclosure strong enough to withstand any explosion pressure
associated with the gas groups for which it is designated.
• The Housing is usually made of cast metal or specially designed plastic.
• The cover of the housing is frequently threaded to the body of the housing
providing a long path to allow escaping hot gases to cool below ignition
temperature before reaching the outside atmosphere.
• Note that the explosion proofing technique is gas group-dependent- that is, an
enclosure designed and tested for Class I, Group C would not be suitable for use
with a Group B material.
• Widely used where high levels of power are required, such as for motors,
transformers, lamps, solenoid valves, and for all parts that generate sparks,

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601
 NEMA Standard 250-1991 and ICS 6

TYPE LOCATION PROTECTION FROM ..

1 Indoor om
2 Indoor Dirt and falling water

3 Outdoor Ram, sleet, dust, external ice

3R Outdoor Ram, sleet, external ice

35 Outdoor Ram, sleet, blown dust, ice

4 Both Blown dust and ram splashing and hose directed

water, external tee

4X Both •4• and corrosion

Notes:

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602
 NEMA Standard 250-1991 and ICS 6 (continued)

TYPE LOCATION PROTECTION FROM ..

5 Indoor Airborne dust, falling dirt and dnppnq liquids

6 Both Hose directed water, occasional soomerson

6P Both •5• plus prolonged submersion

7 Indoor Class I, Groups A, B, C, D

8 Both Class I, Groups A, B, C, D

Notes:

• Slide continuation

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603
 NEMA Standard 250-1991 and ICS 6 (continued)

TYPE LOCATION PROTECTION FROM ..

9 Indoor Class II, Groups E, F, G

10 (Mine Safety and Health Admmrstranon)

12 Indoor Circulating dusts falling dirt, dnpping liquids

12K Indoor ·12· with knockouts

135 Indoor Dust, water spray, oil and non-corrosive coolant

Notes:

• Slide Continuation

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604
 5.3.3 Intrinsic Safety

, Basic premise
It is possible to construct an electronic circuit that is not able
to store and release enough energy to cause ignition of a
combustible gas or vapor mixture under normal. abnormal,
or fault conditions

, Implementation
• The energy supply to the mtnnsrcalty sate crcott is mmteo
by a barrier
• Energy storing components are prevented from stonng too
much energy

Notes:

• Formal definition Intrinsically safe equipment - Equipment and wiring is

incapable of releasing sufficient electrical energy to cause ignition of a hazardous
mixture.
• Provide a quick description of barriers.
• Importance of intrinsically safe equipment. In Div.1 or Div.2 areas, equipment and
wiring may be installed in general purpose housings and systems suitable for the
environment. Because power wiring can be shorted in an explosive atmosphere
without causing ignition, maintenance is simplified.
• See ANSI/UL 913-1988, Standard for Intrinsically Safe Apparatus and Associated
Apparatus of Use in Class I, II, and III Division 1 Hazardous (Classified) Locations.
• See ANSI/ISA12 series:
• -12.1 Definitions and Information Pertaining to Electrical Instruments in
Hazardous (Classified) Atmospheres
• - 12.4 Instrument Purging for Reduction of Hazardous Area Classification
• -RP12.6 - Installation of Intrinsically Safe Systems for Hazardous (Classified)
Dust Locations
• - 12.10 Area Classification in Hazardous (Classified) Dust Locations
• - 12.12 Electrical Equipment for Use in Class 1, Division2, Hazardous
(Classified) Locations

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605
 Intrinsic Safety (continued]

iCONDUllOR
HAZAROOUS !CLA$$1FIEO LOCATION I OTHER
I ENCLOSURE
CONTROL
,ooM
EQUIPMENT
IS TRANSMlnEA =
"
SENSOR
'''
=' APPROVED
i\SSOCIATED
CONTROL ROOM
EQUIPMENT
IS OUTPUTS

"
SENSOR EXPLOSION PROOF
ENCLOSURE
CONTROL
ROOM
EQUIPMENT
I$ TRANSMITIER EXPLOSION L _J

"
SENSOR
BARRIERS I PROOF
1 CONDUIT

Notes:

• * I.S. = (Intrinsically Safe) Terminals

• ** “Other Enclosure” may be shielded cable, metal-clad cable, or any mechanical or
electrical protection that enforces separation of intrinsically safe circuit from
circuits that are not intrinsically safe.
• Three components: Field device (intrinsically safe apparatus); Energy-limiting
device (barrier or intrinsically safe associated apparatus); Field wiring
• Discuss the following premise:
• Many instrument circuits can be designed to be intrinsically safe, even
though they may include a source of power that is too high to be
considered intrinsically safe. The instrument circuits can be designed so
that this higher level of power is isolated in a nonhazardous location. The
nonhazardous location may be separated from the hazardous area side of
the circuit by a wall or enclosure. If the higher level of power is located in
the nonhazardous location, the equipment using low level of power in the
hazardous area side of the loop can be considered intrinsically safe,
providing all other parameters are satisfied.
• Note seal where IS wiring passes from hazardous to safe area
• Note location of barrier in normal enclosure in control room
• Contrast explosion proof enclosure for barrier in hazardous area plus additional
seals

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606
 Intrinsically Safe Barrier

NONHAZARDOUS AREA HAZARDOUS AREA

CURRENT LIMITING
REStS o,

--' , -' . ..,.

FUSE

C' t-,. ZENER FIELD

INPUT VOLTAGE DIODES

INTRINSICALLY SAFE - .._

GROUND -

Notes:

• Show and Tell opportunity

• Various intrinsic safety barriers are available for show and tell.
• Three components limit current and voltage:
• Resistor - limits the current to a specific value (short circuit current Isc)
• At least two zener diodes - limits the voltage to a value (open circuit voltage. Voc)
There is always at least 2 diodes in parallel. If one fails, the other will operate,
providing complete protection.
• Fuse - Blows when the diode conducts, interrupting the circuit, preventing the
diode from burning and allowing excess voltage to reach the hazardous area.
• If a fault should occur, the barrier will activate, sending fault current to ground and
opening circuitry if the fault current is high enough to activate the other current
device (usually a fuse). The higher level of energy will not reach the hazardous
location.
• An advantage of using an intrinsic safety barrier is that you can make some
modifications to the circuit on the nonhazardous side.
• Many barriers are encapsulated and cannot be opened. If they activate they must
be replaced.

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607
 Intrinsic Safety Ground

, A good ground rs required for Zener diode type

barriers
, The resistance of the grounding conductor should not
be greater than 1 ohm, however, for safety and to
minimize interference 0.1 ohm should be target

, Ground conductor should be 12 AWG or larger

, The ground connection to the mtnnsic safety ground
bus is usually connected at both ends
, The intrinsic safety bus is usually connected to the
instrument ground bus

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608
 Intrinsic Safety Ground (contmueo)

, Made electrodes (NEC 250-52) shall NOT be used if a

regular electrode (NEC250-50) rs available
NEC 504-50

, Active or galvarncally isolated mtrmsic safety barriers

do not require a ground and are required 1f the field is
not bonded to the same ground electrode system as
the barrier ground bus •Meaning no metal connecnon
for isolation -- such as opto isolation
, NEC Article 504- lntnnsically Safe System and ANSI/
ISA RP 12 6- Wtrtng practices for
Hazardousrotassmedj Locations

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609
 Device/Apparatus
Simple apparatus
• Devices in which will neither generate nor store 1.2 V; 0.1 A;
25 mW, 20 µJ
• Passive sensors (thermocouples, RTDs, contacts, LEDs, etc.)
• Can be directly placed in hazardous locations
• No requirements for certificahcn when connected to a certified
barner

Intrinsically safe electrical apparatus

• Devices in which all circuits are intrinsically safe
• Field instruments (transmitters, 1/P, solenoid valves, etc.)
• Certification based on maximum energy level (group of gas)
and maximum surface temperature

Associated apparatus
• Apparatus in which the circuits are not mtnnstcally safe
themselves, but affect the energy in this circuit

Notes:

• Standards relating to intrinsic safety usually include three types of

apparatus:
• Simple apparatus
• Intrinsically safe electrical apparatus
• Associated electrical apparatus
• Simple:
• Note the specific “can’t exceed” requirements.
• Practically speaking, simple apparatus are not able to generate or
store energy sufficient to ignite a dangerous mixture.
• Intrinsically safe (or non-simple apparatus):
• Note that a label must be placed on the device which indicates the
approval type, class division, and group used, and references a
specific control drawing.

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610
 5.3.4 Pressurized Enclosures
Pressurization: The technique of guarding against the ingress of the
external atmosphere into an enclosure by maintaining a
PROTECTIVE GAS therein at a pressure above that of the external
atmosphere

HAZARDOUS

'
ATMOSPHERE

HIGHER

I PRESSURE

Purging: In a pressurized enclosure, the operation of passing a

quantity of PROTECTIVE GAS through the enclosure and ducts,
so that the concenfranon of the explosive gas atmosphere is
brought lo a safe level

Notes:

• In the U.S. the term purging is used while internationally the term pressurization is
used. This means the equipment is housed in an enclosure which is pressurized
with a protective gas, usually air or some nonflammable gas, preventing the entry
of flammable gas which surrounds the enclosure.
• The enclosure usually has an interlock between the pressure system and the
electrical system which de-energizes the electrical system if pressure is lost. Before
opening or depressurizing, the electrical equipment inside must be de-energized.
• Installation and maintenance is ultimately important in a pressurized system. if not
installed and maintained properly throughout its life, the system is subject to
failure.
• Pressurized systems are often the least expensive since most any off the shelf
instrument can be installed in a pressurized system; however, they require conduit,
seals, and a clean air source.
• Type X pressurization reduces the classification within the protected enclosure
from Division I to non-classified.
• Type Y reduces it from Division 1 or Division 2
• Type Z reduces it from Division 2 to non-classified

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611
 Summary: Electrical Safety

Notes:

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612
 True or False

In a pressurized enclosure, the operation of passing a quantity

of PROTECTIVE GAS through the enclosure and ducts, so that
the concentration of the explosive gas atmosphere is brought to
a safe level is known as pressurization.

QTrue

@ False

WitiMhM

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613
 Multiple Choice Question
Electrk:31 Safety

Which of the following techniques, if it can be utilized, is

the MOST cost-effective in minimizing the effects of
electrical noise resulting from high frequency (HF) signals?
Q Shielding
@ Separation
Filtering

Q Grounding

CifiMflM

Multiple Choice Question

"The technique of guarding against the ingress of the

external atmosphere into an enclosure by maintaining a
PROTECTIVE GAS there in at a pressure above that of the
external atmosphere" is a definition of:

@ Pressurization
Q Purging
Q Secondary containment
Simple apparatus

Witi@M

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614
 Multiple Choice Question
Electrical Safety

Intrinsic safety grounds should:

Never be connected to the instrument ground bus.

Always use a ground conductor which is 18AWG or smaller.

'e Should ideally provide a res,stance to ground of <0.1 ohm.

Never be used with DCS systems. Decoupling

Kffi·l11iiM

Multiple Choice Question

Electrical safety

The enclosure type that provides protection against blown

dust, rain, hose water, external ice, and corrosion is:

Q NEMA4
{!) NEMA4X
NEMA2

NEMA 12

41fi·i::iil

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615
 Multiple Choice Question
Electrical

Division 2 hazards indicate the existence of combushble

mixtures:

'e' Under abnormal conditions (pipe rupture, leaks, etc.).

Q Under normal operating conditions

Under periods of high production.

Whenever turbulent now is present.

Wi!IM#\1

Multiple Choice Question

Advanoed Control

Which of the following is characteristic of the operation of

an MPC?

@ MPC is more sensitive to a decrease in dead time than to an increase.

Q An MPC goes unstable with an increase in process dead time.
perfor"_ls best in a process where the dead time is smaller than the
Q f:'1PC
time constraint.

An increase in the process dead time of 50% can cause damped

Q oscillations.

WffiMliiM

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616
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 15

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617
 Module 15: Digital Communications

Learning Objectives
}
Explain the basics of digital data communications.

2 Discuss how data ccmmumcattons protocols work.

3 Identify the layers of the ISO/OSI communications protocol

stack and explam the purpose of each layer.

4 Compare and contrast network topologies.

5 ldentrfy �he current status of wireless for industrial

automation.

6 Discuss the current status for RF tagging technology.

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618
 Protocols Define Communications

;, Protocols are simply sets of rules that determine how

two devices should communicate

Notes:

• Protocols are simply sets of rules that define how two computers or controllers
communicate with each other.
• In a typical network or data highway, there will be dozens of protocols required
simultaneously, each providing the rules for different communication functions.
For example, a DCS data highway system will require rules that define how each
device accomplishes tasks such as flow control, error checking, message routing or
even simple electrical signal to data conversion. Standards that define the cabling
and connector installation rules can also be considered protocols (See
Tanenbaum,A.S; Computer Networks, 1988, EIA 568B, Thompson, L. Industrial Data
Communications).

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619
 ISO/OSI Reference Model

> In 1977. International

Organization for Standardization
developed a seven-layer model for
� �:]i:�:J
organizing data communications
protocols into layers

> It is called the Open Systems

Interconnect Reference Model
(OSI/RM)
� Each layer in the OSI model has a
specific function in an ideal
network and groups similar
protocols together

Notes:

• OSI - Open Systems Interconnection Reference Model (1977)

• ISO - International Organization for Standardization
• The dominant layered model for organizing communications protocols is one
developed by the International Organization for Standardization (ISO). This is a
seven-layer protocol model known as the Open Systems Interconnect Reference
Model (OSI/RM).
• Each layer in the OSI model has a specific function in an ideal network and groups
similar protocols together. In the next few slides we will show the organization of
the seven layers in the OSI model and a few examples of where some well-known
protocols fit in.

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620
 Layer 1: Physical Layer
Applica1ion
� The physical protocols
define the physics of
getting a message betweer Presentation
devices:
• Frequencies
Session
• Voltages
• Connectors
• Modulation Transpon

• Topologies
• Cables Neiwmk

� This is the most

Dal.II link
important area

W
in terms of both
troubleshooting
�.2321485, Ethernet
and operations

Notes:

• Physical layer protocols are concerned with the physics of getting a message from
one device to another:
• Electrical characteristics such as modulation frequencies & voltage levels.
• Mechanical characteristics that specify the physical connector.
• Standards for cables, connectors, wiring topologies and or signalling
techniques.
• From an industrial maintenance point of view, this layer is the most important area
in terms of troubleshooting, accounting for 80% of all network problems (Source:
Hewlett-Packard, LAN Protocol Analysis, Hewlett-Packard Company, Colorado
Springs, CO, 1988)
• Some very well known standards are Physical layer standards:
• EIA-232 - The original modem to terminal wiring standard. Used
throughout industry for interconnecting devices from different vendors,
such as PLC to DCS links.
• EIA-485 - The electrical specifications of EIA-422 modified so that a single
pair of wires can be used for both transmit and receive. Now used as the
physical layer for many vendors' remote I/O or devicebuses (e.g. Profibus).
• Ethernet (IEEE 802.3) - Point out Ethernet actually covers two layers

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621
 Layer 2: Data Link Layer
Appl1Catlon

> Provides the rules for framing,

Presentation
converting electrical signals to
data, error checking, physical
addressing and media access Session
control (which station can talk a·
any given time on the network)
Transport

> Every communicattons Network

network needs some
data link protocols
S5-0.1, Ethernet

Physical

Notes:

• Layer two is extremely important to data communications because this is where

the binary digital 1s and 0s are organized into transmission entities (blocks,
packets, frames). Thus, protocols at this layer will define how to mark the start and
end of a transmitted block or frame.
• Physical node addressing and error detection is done by protocols at this layer.
• On any system where devices share the media (such as Ethernet LANs), the
protocols at this layer look after Media Access Control. Master/Slave is a simple
example of a MAC protocol and is used by Modbus RTU.
• Some early Data Link protocols are Bi-sync and RTU (of Modbus Fame).
• More sophisticated examples of Data Link protocols are HDLC and Ethernet and
the Data Link layer of S50.1 (Foundation Fieldbus). Again, notice that Ethernet
spans two layers.
• Definitions:
• HDLC (High-Level Data Link Control) - A bit-oriented framing system used
by Modbus+, smart modems and many, many other systems.
• Bi-Sync (Binary Synchronous) - An old IBM character-based block
synchronizing method

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622
 Layer 3: Network Layer
Application
> The protocols at the Network
layer deal with routing of
messages through a Present11tio11

complex network.

> For example, finding the best

route through a network. Also I Session

I
dealing with faulty lines and
bottlenecks.

> IP of TCP/IP fame is

I Transport

Network
I ¢,
IP, IPX
one example of a

>
network layer protocol.

Another example rs IPX from I Data Link

I
Novell.
I Physical

I
Notes:

• Some definitions:
• IP - Internet Protocol - the routing protocol used on the Internet to find a
route for a packet from say, Boston to RTP.
• IPX - Internetwork Packet Exchange (An industrial example is Koyo, who
used to employ IPX for PLC to I/O block communications).

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623
 Layer 4: Transport Layer
Application

> Transport Layer protocols

establishes a dependable "end Present11tio11

to end" connection between two

I I
end nodes. Hides the physical,
Session
data link and network details.

> For example, transport layer will

Transport
¢,
number packets to keep them TCP, SPX, UDP

I I
in order.
Network
), TCP of TCP/IP fame is one

I I
example of a transport protocol.
Data Link

I Physical

I
Notes:

• The transport layer makes the end nodes appear as if they are directly connected.
It tries to hide all the intermediate devices and conversions.
• Example of a Transport function is to number the packets as they are sent out. If
the packets get out of order as they travel across a large network, the receivers
transport protocol will sort them out again.
• Some definitions:
• TCP/IP - Transport Control Protocol/Internet Protocol
• SPX - Sequential Packet Exchange
• UDP - User Datagram Protocol
• NetBeui - A transport layer protocol used in very small and simple
Microsoft office networks.

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624
 Layer 5: Session Layer
Application

> Session Layer protocols look

after the series of messages Present11tio11
needed to complete a session.

> For example, session layer Session Netbios

protocols will mark stages m

I l
session so that 1f it is
Transport
interrupted, both nodes can
resume from the same point.

> The session layer ts usually part

I Network

I
I I
of the operating system's
communicatrons stack. Data Link

I Physical

I
Notes:

• This layer is not very well defined and has been criticized formally many times.
Most of the time its functions appear to be carried out by protocols at other layers.
• If you want an example of a session layer function, consider transaction roll back
in an accounting or banking system. Both computers track how many exchanges
are required to complete a “session” and if the link fails before all transactions are
complete, then all the transactions are rolled back to an agreed upon start point.

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625
 I I
Layer 6: Presentation Layer
Applicatio11

> Presentation layer deals with

data format conversion, Presentation
encryption and security.

»- For example, presentation layer Session

protocols might convert PLC

integer data into floating point Trimspon
for a DCS.

> Big-endian to Little-endian Network

, Bit order
Data Link

Physical

Notes:

• Presentation layer protocols deal with data formats and security. For example, a
PLC may expect numbers as integers while a DCS may expect number as floating
points. Ideally, a Presentation Layer Protocol might deal with this.
• While Foundation Fieldbus uses ASN.1, it has no Layer 6, these functions are
carried out in Layer 7.

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626
 Layer 7: Application Layer
¢,
Application SMTP, HTTP. MBAP, PCCC
»- Protocols specific to network
applications such as email, Presentation
file transfer and reading data
registers in a PLC
Session
> Does not include user
apphcations like word
Transport
processing or operating
systems like Windows,
UNIX, or Linux Network

Data Link

Phvslcal

Notes:

• Stress that Application Layer protocols specify the rules to achieve specific tasks
over a network. For example, MBAP (Modbus Application Protocol) or PCCC (Allen-
Bradley) each define the command structure to read a set of registers from a PLC.
Similarly, SMTP (Simple Mail Transfer Management Protocol) provides a standard
method of sending emails across an network.
• The application layer protocols are in a much more confused state of affairs,
especially in the industrial market. There are many more proprietary protocols and
only a few widely accepted standards.
• While TCP and IP are two mid-level protocols, it is traditionally grouped with some
upper level protocols that are very useful:
• FTP - File Transfer Protocol allows you to transfer files, regardless of type of
computer system.
• SMTP - Simple Mail Transfer Management Protocol provides a standard
method of sending emails across an network
• Telnet - A protocol that allows your desktop computer to communicate
over a network as if it were a dumb terminal attached to a main frame.
• HTTP - Hyper Text Transfer Protocol allows your web browser to read the
layout of a web page so it can display it on your computer.

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627
 Problems with the OSI Model

> OSI layer specifications are functional

only- what to do is defined but how to do
it is not

> Thus two protocol families that are "ISO

compatible" won't necessarily
communicate

> It is too complex for many applications

(such as industrial fieldbuses) so layers
are skipped (absorbed into surrounding
layers, or ignored)

> But it does give us a good starting point

to organize all those protocols ...

Notes:

• FYI: Tanenbaum in the classic textbook, Computer Networks, describes some of the
serious technical problems with the OSI/RM, particularly with the definition of
communications between layers. However, this is beyond the level of this course.
However, he does point out that the choice of seven layers was rather arbitrary
and some countries wanted a five-layer model. In addition, some layers are
overloaded (e.g. Data Link) and some are poorly defined (e.g. Session).
• However, IBM had released its SNA (System’s Network Architecture) in 1975, which
used a 7 layer model (5 of which have identical names).
• But for a committee effort it wasn’t too bad :-)
• Stress that the model has given us a protocol filing system that is helps us
understand how all the network technology and terminology inter-relates.
• The reason industrial networks do not need Layer 6, is that in general, they all
used to be the same type of equipment, generally from the same manufacturer, so
syntax conversion were not a problem. Layer 3 and 4 were unnecessary (reliable
transport being ensured by Layer 2) as the networks were intended to be islands
of automation and connect to no one. Layer 5 functions were almost always
carried out in Layer 7.

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628
 Sample Industrial Protocol Suites
Protocol suites for Modbus. Modbus+ and AB DH+

Mod bus Modbus+ DH+

�······ ,•••••,. �···••• Appbcation: Cowmaodsto,ead

and write 10 Pt.Cs

Presentation (NOi Used}

Session (Nol US&d)

lr1nspon (Noc Used)

Netwo1k. Meuage routing In

""""'""'"""'
!Hta Link Meda Acc:ess Concrol,
Fr�. Err0< Chec:klng,Al:khss->g
Physlc,il S1-:lards fo< c.;ibling,

-.......
signak,g. voltage iev.ts.

Notes:

• Protocol suites are a selection of protocols from different layers that are designed
to work together. For example, the Modbus+ system includes four protocol layers.
• You will notice the industrial networks often have missing middle layers. This is
because their designers didn't need all the features those protocols offered (such
as security or routing).
• Also notice that a stack can often have multiple options at each layer. For example,
the physical layers of the Modbus stack can be EIA-232, EIA-422 or even a radio link.
• Definitions:
• MBAP (Modbus Application Protocol)
• PCCC (Programmable Controller Communications Command) Allen-
Bradley’s PLC to PLC Application Protocol
• SDLC (Synchronous Data Link Control) - IBM’s bit-oriented framing system
used for mainframe/terminal communications. A modified version is used
in AB DH+.
• HDLC (High-Level Data Link Control) - A bit-oriented framing system used
by Modbus+. HDLC and SDLC are very closely related, and for our purposes
could be considered identical

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629
 Sample Commercial Protocol Suites
Some partial protocol stacks for Novell and Microsoft NT-based
networks plus an Internet connection:

WinXP/2003 Novell Internet

Application

Presentation

Session

Transport

Network

Data Link

Physical

Notes:

• An office Windows network might be based around a protocol stack that includes Ethernet,
TCP/IP and Microsoft’s SMB. Typically, to get effective communications you must buy all the
upper layer software from a single vendor in a package, such as the Microsoft Client or
Novell Client.
• Again, suites can often have multiple options at each layer. For example, the physical and
data link layers of the Microsoft stack could easily be ATM and the ATM could be UTP or
Fibre based.
• Some definitions:
• SMB - Server Message Block
• V.34 - A modem protocol
• PPP - Point to Point Protocol
• SPX/IPX - Sequential Packet Exchange /Internetwork Packet Exchange
• NCP,SAP - Network Control Protocol/ Service Advertisement Protocol
• ATM - Asynchronous Transfer Mode
• FTP - File Transfer Protocol allows you to transfer files, regardless of type of
computer system.
• SMTP - Simple Mail Transfer Management Protocol provides a standard method of
sending emails across a network

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630
 Protocols Encapsulate the Data

Like the letter example, the object is to deliver some data to

another device. The data is encapsulated in headers at each layer

Computer Sending Data Computer Receiving Data

Notes:

• Explain how software at the transmitting station presents data to the application
layer which adds an application control header.Each layer on down the stack adds
its own header, until we get to the physical layer which sends the data.
• At the receiving station each layer strips off the appropriate header, acts on it and
passes the remaining data to the layer above.
• The headers contain information that helps the protocol interpreter at the
receiving station process the message correctly. For example, the application
header on a message that is writing data to another PLC would contain the
memory location where the data is to be placed (e.g. N7:1 in a PLC5).

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631
 Definitions

}.- Bit (Binary Digit): The smallest unit of information - 0 or 1

:;... Byte: A group of bits operated on as a unit - usually 8 bits

> Octet: A group of 8 bits (usually the same as a Byte)

3000 Hz= 00
S,gnal on Wire
2400Hz=01 � _

M\1tJJ1�,JCUVu\A-
�

\l �..�
t\J!\��i , ,,�
. .,<, E - ---
\..ff--
[

i �=�=-
1200Hz=11

Et\.S:.£o- o 1 o 1 1 1 1 1 1 o o o o o o 1
:

An Imaginary Modem that Sends 2 Bits per Signal Event

Notes:

• Explain that we are defining groups or elements of data. You can’t just pick any
clump of 8 bits and call it a byte. It is group that is operated on as a unit.
• Almost universally the byte is thought of as 8 bits. However, the formal definition
allows for other lengths (e.g. 6,7 or 9 bits)! An “octet” means exactly 8 bits!
• The length of a word is completed defined by the processor architecture. Most
PLCs still use 16-bit words while, most PCs use 32-bit or 64 bit words.
• Good for a small laugh, but no joke - If a 8-bits are usually called a byte, what are 4
bits called? Answer: A nibble.

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632
 Definitions (continued)

> Word: The normal unit of information that a processor deals

with. Can be 8,16,24, 32 or 64 bits long, depending on the
system (PLC5 Word=16 Bits/Pentium PC Word= 32 Bits)

> Baud: The number of signal events or transitions per second

> Bps (Bits per second): Amount of data transferred per second

- If you can pack multiple bits of data into one signal symbol (event)
then Baud rate and bits per second are not the same thing. (e.g.
most modern modems pack 56 or more bits in every signal symbol)

Notes:

• Baud is the number of decisions the line can support in one second. A
typical telephone line with 4KHz bandwidth is considered a 1200 baud line.
A V.32 modem can transmit and receive 33.6KBps simultaneously for a bit
rate of 67.2KBps over a 1200 baud line which means there is 112 bits per
baud (56 bits in each direction- it is 600 baud transmit and 600 baud
receive)

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633
 Character Parity
},, Character parity (also known as Vertical Redundancy Check
VRC) has an extra bit added to each character to check for
errors
, If ODD parity rs selected the number of 1 's, including the parity
bit, should be odd. If EVEN, the total number of 1's should be
even, as shown below.

Transmitted Received

--·
Data Bis "":{anty � Data Bis �anty �

--·
--·
--· -�
-�Error NOT
-uuml

--.
Detected'

Error
Detected

Notes:

• Explain that character parity also known as vertical parity (VRC),

• - uses one bit to determine whether there will be an even (even
parity) or an odd (odd parity) number of ones.
• Calculate parity for each of the vertical characters in the slide, it should
match the bit listed in the Parity location..
• Bits 3,4,5 in the UART link control register (LCR) determine the parity setting
in a serial communication.
• None: (000): The Parity bit is ignored.
• Odd (100): Parity bit odd makes the column have odd number of 1’s
• Even (110): Parity bit even makes the column have even number of
1’s
• Mark (101): The parity bit is always set to the Mark value (1)
• Space (111): The parity value is always set to the Space value (0)

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634
 Checksum
:, An improvement is to total all the bytes in the packet and
attach the value (MOD 256) to the packet end

)- The receiver does the same calculations on the packet and

compares the checksum. If they are not the same the packet
is rejected.

-- --
Transmitted Received

-- --
STX STX

--
-- --
79 79
16 16

-- --
-m::il
18 19

--
126 126
--¢'239 , 240

Notes:

• It is fairly easy to see that this system is much better than parity but still
one error in 256 will sneak through.
• This type of error checking is common is the older, simpler industrial
systems:
• AB DF1 serial protocol uses this when the BCC option is
selected.
• Modbus protocol uses this when ASCII mode is selected.

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635
 CRC Simplified (Transmitter)
> The Cyclic Redundancy Check (CRC) rs a more sophisticated
error checking method
:, Transmitter divides the entire message by a 17-bit number. It
attaches the 16-bit remainder to the end of the packet.
»- The receiver does the same calculations on the packet and
compares the remainders. If they are not the same the packet
is rejected.
»- This method rs very secure. Errors less than 17 bits cannot get

--
through. Only .001% if error >17 bits.

--
Message

--
Da\aE,ts 1,309,676,153.;. 69,665 = Remainder
--

me
1= =143.823 Transmitter attaches remainder to end
of packet

Notes:

• Note this is a very simplified outline of how a CRC is calculated. In real life
we use modulo-2 division, which is actually executed through a XOR shift
register and a lookup table. But this description is accurate enough for this
class.
• Just for the record, the CRC value 69,665 is usually written polynomial 216 +
212 + 25 + 1
• The CRC algorithm presented here is grossly simplified, but it gets the
concept across to the class. A real CRC uses modulo-2 division, which is
basically an XOR with a shift register. Modulo-2 math might seem strange,
but as long as the transmitter and receiver do the same type of math, the
system catches the errors very effectively.

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636
 CRC Simplified

CRC

BkSb'eam

Tnnsm.ltted Bit S1,an1 (+CRCC)

CRCC ii appended to
Bit Strum

I Bil Strffm
I Compared
€RC c
Receive im,MII es CRCC '
frnm Bit Stn,anI less CRCC '<, /

Irdte � -, ..e CRCC •• dM ftOll,ff &IIHfttff CRCC ..ada dim

dlen bu 11- - .._.....d_ ann, odunlbe - e-nr bub- dd:K1M.

Notes:

• Transmitter divides the entire message by a 17-bit number. It attaches the

16-bit remainder to the end of the packet.
• The receiver does the same calculations on the packet and compares the
remainders. If they are not the same the packet is rejected.
• This method is very secure. Errors less than 17 bits can not get through.
Only .001% if error >17 bits.
• The CRCC-16 is usually written as a polynomial 216 + 212 + 25 + 1, the
superscripts being pick off points on the register which are XORed with the
data stream to generate the 16 bit (in this case) remainder. Ethernet (and
most LAN protocols) use a 32 bit CRCC.

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637
 Automatic Retransmission Query (ARQ)

If a receiver detects an error how does it get corrected?

Transmitter Receiver

Dita �Error cneck \

1. Frame transmitted
with CRC
Ti, 2 Signal received and
�l\ CRC checked

-�
-11£il 3a. If no error, sends
ACK to transmitter
3b If error, sends NAK
to transmitter

i®&-1 I , i xi 4. Transmitter resends

error frame

Notes:

• Discuss how Automatic Retransmission Query (ARQ) is the basis for most
data communications:
• This example shows an acknowledgement (or rejection) after each
data frame is sent.
• Upon processing for errors, the receiving station immediately notifies
the transmitter of acceptance or rejection of transmitted frame.
• More advanced systems will allow a number of frames to be sent before the
transmitter is notified of the acceptance or rejection of any given frame.
The number of outstanding frames allowed before transmitter is notified
depends on the number of frames that the transmitter can store in
memory at one time and is know as the window size.
• Most protocols incorporate some version of the ARQ method to recover
from transmission errors.

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638
 ARQ and Timeouts
What if the message is so badly damaged the receiver
doesn't know to send back a NAK?

Transmitter Receiver

Data ---.........._Error cnecs \

' 1 Frame badly damaged

OH , CR
� In transit

�
f 2. Receiver doesn't know
to send NAK
3. Transmitter timer
waiting for response
4. If timeout, transmitter
OH
' resends the frame
Iii 5. Receiver sends ACK

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639
 ARQ and Sequence Numbers

What if the ACK is damaged and the sender sends the

same packet twice? Uses packet# to check ...

Transmitter Receiver

Packet#

'·--AC,
1. Frame transmitted
with CRC
2 No error, so receiver
sends ACK (ACK lost)
3 Timeout-transmitter
resends frame
4. Receiver sees
Same Packet#
packet# is same.
Disposes 2nd copy.
•-• ACK' 5 Receiver sends ACK

Notes:

• Question: Is ARQ part of a Data Link protocol like HDLC? Where is this
work done? Is this method used in Ethernet communications?
• Answer: ARQ, as introduced here, it is more of a concept than actual
implementation. It tends to be deployed at a number of layers, including
Layer 2 (as in HDLC, AB DF1/DH+ and XModem) and Layer 4 (e.g. TCP). The
Xmodem and DF1 implementations are very much like the TS05 example,
but TCP is much more complex and sophisticated. TCP embeds the ACKs
into returning data packets and allows one response to acknowledge many
packets.
• ARQ is not used in directly at the Ethernet layer in 99.99% of all applications,
but could be. Instead the TCP does the ARQ work.

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640
 Local Area Networks - LAN
> A LAN is a communications network that transmits data at high
speeds, over limited distances, usually within a single facility.
J;> The processing is distributed among the devices on the network
> The purpose of a LAN can be to:
share scarce resources such as disk space or printers.
share critical information
J;> Examples:
Worl:st,bon,
Office Networks
� "l "'1

-·
DCS Highways

ll_
PLC Highways

--
Fieldbuses
O.vm Networl
Wireless LANs

Smart Motor Starters

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641
 LAN Topology

J> Topology is the physical layout of the network

';.- Broadcast topologies are those designed so that every
node hears each message. The three most popular
topologies for LANs are: BUS, STAR, and RING .

••••
I I
Bus
I I
Star Rmp,

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642
 Bus Topology

:.- Uses main trunk cable that connects all devices

)- Two styles:
• Trunk and Drop: Devices connected to trunk using a drop lines
• Daisy-Chain: Devices directly on trunk (no drop lines)
:.,. Examples: Coax Ethernet, Modbus+ and AB DH+
> Must be terminated on both ends. Buses are very
susceptible to cable damage.

Notes:

• Talk about why need terminating resistors, then move into brief discussion
on reflections. Point out that damage to the cable anywhere on a bus can
make the whole system non-functional.

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643
 Star Topology

> Star topologies have central hubs that all devices

connect to. Typically the hub passes all messages
to all devices.
> More stable than bus - the failure of a link can be
isolated quickly (doesn't affect the entire network)
> Examples: UTP Ethernet and most fiber systems

-
- .........
Notes:

• Star topologies are dominating the commercial LAN market and will likely
do the same to the industrial market in the near future.
• In practice they have proven to be more stable and flexible than buses.
• However, buses are nice for linear configurations such as a long assembly
line.

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644
 Ring Topology

> All devices are connected in a

physical ring
> When a device wants to
transmit a message, it passes SePAer
it to its nearest down-stream
neighbor. Each device
continues to pass on the
message until it returns back
to the sender.
> In theory rings are susceptible
to cable problems. In practice
designers added protection
features.

Notes:

• Make sure class understands that each messages does a full circle, so any break
will cause complete loss of system.
• While rings would be inherently less stable if poorly designed, most designers
built in redundancy schemes into the ring from the start, making rings very stable
systems.
• Redundancy in most bus and star systems is an after thought.

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645
 IEEE Standards
To provide standards for LAN connectivity, the Institute of Electrical
and Electronic Engineers (IEEE) created some layer 1 and 2
standards known as Project 802.

- #
802.1
Standard
High Level Interface
#
802.7
Standard
Broadband Technology

802.2 Logical Link Control 802.8

"Fiber Optics
802.3 CSMA/CO (Ethernet) 802.9 Integrated sevces LAN
'
802.4 Token-Bus (MAP) "" 802.10 LAN Security INACTIVE

802.5 Token-Ring 802.11 Wireless LAN

802.6 Metropolitan Area Networll 802.12 Demand Prionty

80215 Personal Area Network

Notes:

• The highlighted topics are of the most interest currently.

• 802.1 contains p (priority) and q (quality of service) also in .1 is the STA (Spanning
Tree Algorithm)
• 802.2 is the interface to external (or higher layers in the OSI model) - conceptually
all you have to do is meet the 802.2 interface and the underlying physical layer and
access method are not relevant to your concerns.
• 802.3 is called “Ethernet” (that is a trade name) and comes in 10, 100, 1000,
Megabit & 10 and 40 Gigabit versions
• 802.7 covers among other things (X)DSL and cable modems
• 802.11 in B, G and later versions

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646
 Ethernet Variations
There are a many flavors of Ethernet, the more common of which
are listed below:

10BASE-T I 100BASE·T 1000BASE·T 100BASE-FX

Common Name Twisted Pair Twisted Pair Tv.isted Pair or F1bef Ethernet
fiber optic

Medta Access CSMNCD. CSMNCD or Switched SIYitched

hub/sv.itch switched
Segment Length 100 Meters 100 Meters 100 Meters 2000 Meters

Topology 5'M SIM SIM SIN

�
Cablu)9 UTP UTP UTP
''""'
Data Rate 10 Mbps 100 Mbps 1000 Mbps 100 Mbps

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647
 Ethernet Variations (conunueoj

The name indicates the data rate, the signaling method and the
cable length (coax) or cable type.

Data Rate �Media Type

(100 Mbps) (Twisted Pair)

Signaling

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648
 Network Connection Hardware
, Four classes of devices have evolved to connect networks. In
order of increasing complexity and protection:

Complexity Protection

Repeaters Least Little

Bridges <) <)

Routers <) <)

Gateways Most Best

, The difference between a repeater, bridge, router or gateway is

the protocol layers the device is designed to read information
from.

Notes:

• In any industrial facility there is likely to be dozens of communications networks,

ranging from business LANs to PLC data highways to fieldbuses. Sometimes these
networks are identical except for location - for example, the LAN in the accounting
department is likely to be functionally identical to the LAN in engineering
department. Other times the networks are very different, such as Foundation
Fieldbus vs. DeviceNet. Regardless, eventually the network designer is likely to be
faced with the problem… “How do I get data from one system to another?” The
answer is to use one of the four types of network connection/conversion devices,
namely Repeaters, Bridges, Routers and Gateways.
• Unfortunately, there is a lot of confusion which device should be used in which
situation and what the differences between these devices are.
• The difference between a repeater, bridge, router or gateway is the protocol layer
the device is designed to work with. Repeaters work at only the lowest layer, while
bridges, routers and gateways can interpret protocols at progressively higher
layers.

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649
 Repeaters, Bridges

Repeaters work only at the physical layer

• Extend the length of a network by repeating the signal:
- Connects LAN segments together to form single network.
- Allows conversion between cable types (e.g. UTP to fiber)

Bridges work at the physical and data-link layer

• Connect separate networks together
- Trame control between networks of the same type or
conversion between related networks
(e.g. all Ethernet) • (e.g. Modbus and Modbus+)
• Open and check packets that they receive. Most can learn
addresses of the devices on each port, forwarding only the
necessary traffic through

Notes:

• As we noted, repeaters work at only the lowest layer, namely the Physical Layer.
When a signal travels along a network cable, it tends to lose strength. A repeater
can boost that signal by electrically reshaping the signal received on one port and
then re-broadcasting it out its other ports. Repeaters can simply extend the length
of a network by connecting two or more network segments. Repeaters also allow
conversion between cable types such as coaxial cable to fiber optic cable. Most
hubs and concentrators are actually repeaters.
• Repeaters don’t understand the messages they forward - if they see a reasonable
electrical pulse they simply forward it on out all ports.
• A bridge is used to connect separate but related networks together or divide a
larger network into two or more small networks. Working at the second protocol
layer (the Data Link layer) bridges open and check packets that they receive. Most
can learn addresses of the devices on each port, forwarding only the necessary

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650
 traffic through.

Routers, Gateways

Routers
• Interconnect complex networks (e.g. the Internet), finding the
best possible route for a packet, based on purpose and priority.

• Divides large network into logical svb-networks

Gateways
• Connect two completely differing network systems (e.g. OCS to
PLC)

• Provides application layer conversions (e.g. between two

different email systems)

Notes:

• Operating at the third or Network layer of the OSI model, routers interconnect
complex networks, such as the Internet or a corporate wide area network (WAN).
Communicating with other routers, they select the best possible route for a
message, based on criteria such as availability, cost, loading and speed.
• Routers are intelligent devices used to divide networks logically rather than
physically. For example, an IP router can divide a network into various subnets so
that only traffic destined for particular IP addresses can pass between segments

• Gateways are used when all else fails in connectivity. A gateway is a full LAN
transceiver for one network and another full transceiver for the other network (or
a full communications stack for one and a full communications stack for the other).
There is some logic glue that interprets what a pattern of ones means in one

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651
 system and converts it to a pattern usable by the other system.
• You take two hits with a gateway - performance and costs.

Switches - Multiport Bridge or Router

), Switches are multi-port devices with fast backplanes.
Can act as:
Bridges {Layer2 switches)

Routers (Layer3 switches)

> Takes multiple concurrent packets and feeds them onto

backbone or between ports

Notes:

• A switch is basically a multi-port bridge (a layer-two switch) or multi-port router (a

layer-three switch) with a very high-speed backplane. Each port connects to an
independent network and the high-speed backplane transfers the messages
between ports.
• Switching technology has emerged as the evolutionary heir to bridging in many
networks. Where bridging technology was once used, switches now dominate, due
in part to their superior performance, lower per-port cost, and greater flexibility.
But at their core, switches are still just fancy bridges or routers.

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652
 Summary: Data Communications

OSI Reference
Terminologies
Errllr Detection
Topology
Ethernet
lnternetworklng

Notes:

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653
 True or False
Digital Communications

The Network Layer concerns transmission of data outside a

local area to a device on another network.

@True

Q False

WitiMhM

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654
 Multiple Choice Question
Digital Communications

Which layer in the 150/051 seven-layer stack specifies the

basic message format including addressing and error
detection/correction methods?
@ Layer 2, data link layer
Q layer 3, network layer
Q layer 5, session layer
Q layer 7, application layer

WitiMfiM

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655
 Multiple Choice Question
Digital Communications

Which type of network topology has a central hub or

switch through which all devices connect to and all
messages pass?

Q Daisy chain
QRing

Q Multidrop
@star

WitiMhM

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656
 Multiple Choice Question
Digital Communications

The physical layer of the 150/051 seven-layer stack includes

information on all of the following EXCEPT:

Q signaling method.
@ data framing.
Q type of connectors supported.
Q voltage levels.

WitiMhM

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657
 Multiple Choice Question
Digital Communications

Which type of error protection and correction uses a

complex polynomial that results in a frame check sequence
being added to a message?

Q Checksum
@ Cyclic redundancy code
Q Error correcting code
Q Parity error detection

WitiMhM

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658
 Multiple Choice Question
Digital Communications

The function of the highest layer in a communications stack

is to:

@ provide the interface to the user.

Q segment long messages.
Q communicate the error detection algorithm.
Q confirm the type of electrical signals used in the transmission.

WitiMhM

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659
 Multiple Choice Question
Digital Communications

An advantage of star topology is:

Q the central "backbone cable" minimizes the distance a device signal has to
travel.

@ disconnection of any one device will not disrupt the rest of the network.
Q connections to the bus provide short-orcuit protection.
it allows maximum flexibility when contigurmg and assigning devices to
Q segments ..

WitiMfiM

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660
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 16

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661
 Module 16: Industrial Networks

Learning Objectives

} Explain the difference in model fidelity requirements

2 Recognize the need for field or lab measurements to correct

models.

3 Compare and contrast experimental and first principal

models.

4 Explain the risks of relying on histoncat data to build models.

5 Explain the differences between a dynamic model and a

steady state model

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662
 Special Communication Requirements for
Industrial Control

Industrial networks are just like regular business networks

except they have a few special requirements:
Predictable Ulroughput and scheduling (Deterministic)
Extremely low downtime
• Scalabie size
Used and maintained by people who are not
communications specialists
Operate in harsh and hazardous environments

'Most process systerris tiorrowtechnology Item liusineiis

networ1<s and modify it

Notes:

• Explain that there is a lot of technology crossover between business and process
communication systems. In fact most process networks borrowed technology from
business and then modified it to meet industrial needs. Differences include:
• Predictable throughput - generally means a predictable network - one where
minimum and maximum round-trip times are known and specified.
• Scalable - generally networks plant networks start small and grow. The network
architecture needs to be able to handle a few devices or hundreds. Also means
that you get roughly the same performance for one input/output as 1000.
• Extremely low down-time - usually achieved by redundancy and fault tolerant
devices.
• Easy field use - it must not require special skills above those already required in the
field.
• Harsh and hazardous environments - synonymous with industrial applications;
physical and electrical hazards to people and electronics
• Examples of borrowed technology:
• AB DF1 serial link is based on Bisync, an old IBM mainframe protocol
• MODBUS+ is based on HDLC, a protocol used in many commercial applications,
including WANs and smart modems.
• Fisher DH is based on X.25, an old WAN protocol
• DeviceNet is based on CanNet, an automotive system.

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663
 Industrial Network Positioning

. Data +

..
' +
Ethernet TCP/IP

-n
,
c .".. ..... ,,,. .,..
,.. ,ea.auNIII
'MQIIIAI
O.lillrlu v
,,,.,.Plul
0
0
3

-
a·,
0
llllllalllO "-
�
• Dew»N« Fteldbu,H1
1111111• TIP
�
x
� "-
SDS
HART
s.n,»ex.
ASi.
...... � Rs,s, etc• '
. Cost +

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664
 Ethernet

Can Ethernet be Used for Control?

However, there are

YES! myths that should be
dispelled

In fact:
There has been Ethernet connectivity to control products for many
years, and customers have implemented Ethernet networks for
"control" for nearly as long!
• E.g., PLC's interlocked for mission-critical data exchange

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665
 Ethernet Myth #1

Ethernet in its CSMA/CO form is not 100% deterministic

• How to address: You may not need 100% determinism. The
application will determine the load on an Ethernet segment. High
loads result in collisions and loss of determinism.

• You may be limited in the frequency and size of data delivery for
an Ethernet network that rs being used for control

These problems can be solved by using full duplex

switched Ethernet

Notes:

• With a half-duplex switch, the only collisions that can occur would be if the unit
and the switch both tried to transmit at the same time (unlikely).
• To avoid even that less than probable error, duplex switches totally eliminate the
possibility of collisions - totally deterministic.

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666
 Ethernet Myth #2

Ethernet does not define fault detection

and prioritization of data

How to address ? Use a newer version of Ethernet with an open

application layer such as:

./ Foundation Fletdbus HSE

./ ODVA/ControtNet Intl. Defined EtherNet/lP

./ ProftNet Defined by Proflbus International

Notes:

• Note that with the results of the 802.1 P and Q committees both Priority
and Quality of Service have been defined.

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667
 ControlNet
, A high speed, industrial control network designed for
deterministic, predictable and repeatable communication
between industrial devices
• Open network that supports both 1/0 and explicit messaging
simultaneously

• A producer-consumer network that supports multiple masters,

multicast and peer-to-peer

:,> Overall distance can be over 25 km (fiber and coax)

M,
""1"''"""'1"""'
,_
Co• E
T �
"Y""''J"lomhlh
"'!Im nu

'"" E
�
'""' R No"'!'"'"' Single
s � "'l""'."l""''l"""'
fill, "tlH nu
Segment
eom

"
Number of device, " •

Notes:

• Producer-Consumer Model - technically the producer broadcasts the

information as generated and those requiring it use it.

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668
 ControlNet (continued)

:, A single segment can have between

• 2 nodes at 1000 m, and

• 48 nodes at 250 m

).. A subnet can consist of ...

• maximum of 99 addressable nodes

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669
 DeviceNet

', Open network with over 250+ companies actively

developing products

> Optimized for collecting data and diagnostics from low

level devices

> Reduced wiring and hardware costs

> Reduced start-up and maintenance time

> Increased device level diagnostics for trending

and troubleshooting

> Technology follows Producer/Consumer model

> Leverages commercially available CAN technology

Notes:

• For the discrete industry devices must be easy to build, install, and configure. A
wide range of devices must be available for the network to be valid: photoswitches,
proximities, starters, soft starters, low end drives, low end dedicated MMI,
configuration and programming software, programming interfaces, valve packs,
push buttons, etc.
• DeviceNet has been introduced to the market and currently has over 125
participants. It has been designed for both discrete and lower end process control
applications. Market acceptance has been tremendous. Customers are finding the
cost savings and increased diagnostics invaluable. Control of the specification has
been turned over to the “Open Device Vendor Association” (ODVA) who will
continue to add membership and administer the technical aspects.

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670
 DeviceNet Network Specifications

hyslca ema rrunc line Distance

Netwc.-k Power cstm:JedTo<sted Pwl and Baud rate
Co rrmJ m ,i o n s oo d P ""' 10CmMax Y¥1thTh11calle
•2.t,,DC power to dev�es
• H,ck trunk rcied to 8 arrl)s -rruce Trwkwre 50Cm@ 125K!Jal.d (thick)
25Cm@ 250Kbal.d (thick)
• nrn "''" rcied at 3 arrl)s 1 OCm@ 500Kbal.d �hick)
4Km ... hRo ""'

Device connectons
TTaps
Zero-ctop

rerrrunatmp Resistors cunueave

750 ReSIS!cts at OOth Droo:J111; Bud@!
netwcrk trur><lne ends Messagm semces 156m@125Kbood
Prcducer!OJrwrmr
•f-tl11 speed 1/0
Orop.Jloe w1nog 78m@25Cl<bood
•Sn(Je <top 39m@50Cl<bood
•Pr(l(lr,nmng ( ... x"'"m « Om ori)
•Darsy charnng ctr dr�
•Confi�.mion • Br'"1chng olf <top
• a

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671
 ASI

ASI was developed to minimize the costs of

connecting sensors, actuators and integrated systems
to the first control level.

Targets
D
./ low cost
./ easy to use
�illl111fACI
./ flexible networkmg
./ simple electronics Interface
./ power and data over unshielded 2-wire cable
./ reliable man mdustnal environment
./ real-time system

Notes:

• AS-Interface was developed to minimize the costs of connecting sensors, actuators

and integrated systems to the first control level.
• 11 companies created the concept, setting for themselves, the following targets:
• low cost
• easy to use
• flexible networking
• simple electronics interface
• power and data over unshielded 2-wire cable
• reliable in an industrial environment
• real-time system
• The results of the development have been opened to all interested companies.

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672
 ASI - Simplified Installation

� Mechanically coded flat cable

• two wires for data and power

> Insulation piercing connectors

• simple and safe
• protection class up to IP67, even
after disconnecting mechanically coded
flat cable
> Directly connected slaves
• sensors, actuators
• valve terminals
• electrical modules etc.

ptercnq connectors slave housing

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673
 ASI - Free Choice of Network Structure

star line branch lines tree

controller
Master
I"'"°""'
L Master
controller
Master

Slave Slave
Slave
Slave Slave Slave
Slave

Slave Slav!;t Slave Slave

Slave
Slave

Notes:

• AS-Interface has tree-structure. It allows to adjust the wiring to the needs of the
machine or plant. The slave should not to be put on a line or in a circle. The cables
don’t need a terminating resistor.
• The maximum length is 100 m, including all cable pieces.
• Networks with more than 100 m can be built with a repeater. Up to 2 repeaters
can be used in series (300 m). Several parallel branches may use repeaters.
• A large distance between a master and the rest of the network can be overcome
by an extender, its max. distance depending on its working principle.

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674
 Profibus - Industrial Networks

lnterret

Process

RS-485/FO

AS�ntorlac,
[Il [Il

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675
 Profibus - Transmission Technologies
Three transmission technologies are available
RS-485
2-1•.ire OJ-cal:fo for
gooeral purposes
Fiber Optic
For highest EMC rrorecuc-
md l'ilde distances

IEC 61158-2
2-iwe OJ-cable l'llllh the option for powe;
over the bus md Ex.p-ctecnco

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676
 What is Foundation Fieldbus?

:,. Foundation Fieldbus is a digital, two-way multi-drop

communtcauon link among intelligent measurement and control
devices, and automation and display systems

). Foundation Fieldbus is essentially a local area network (LAN)

for advanced process control, remote input/output, and high
speed factory automation applications

- - --
�1

Process Plant
I
I
- •
- Aut omenon
I c"'

'
,} enc
I Drspla y Systems

Notes:

• In this seminar S50 fieldbus and Foundation Fieldbus are the same thing.
• The S50 standard was developed as the next generation field device standard to
replace the 4-20mA standard. Field devices based on the S50 standard are a local
area network of field devices.
• As will be discussed late, there are two types of Foundation Fieldbus buses, H1
operating at 31 kbits/sec and High-Speed Ethernet (HSE) operating at 100
Mbits/sec. H1products are available now, HSE products will be available later in
2000. As of January 200, there are already 49 Foundation Fieldbus field devices on
the market.
• Fisher-Rosemount has the greatest installed base of Foundation Fieldbus field
devices using their Delta V control system.

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677
 Foundation Fieldbus

Foundation Fieldbus keeps the best features of 4-20mA

• Simple two-wire wiring practices
• Bus powered devices
• Intrinsic safety
• And interoperability of measurement and control
devices between vendors

-�. - - - r:;- •
• - •
ft • s- . i
I'
r
- '
I c

•
,, ;,
•
,, ,,
. � • • • •
a,
Notes:

• The ISA50 ISA committee wanted to keep many of the 4-20mA features for the
new ISA50 fieldbus standard.
• Plant wiring will be basically as per analog loops, i.e. twisted pairs.
• Bus systems can supply instrument power.
• Bus systems can be IS and use safety barriers.
• Bus systems allows for openness in connecting any field device, controller
or other system that uses the S50 fieldbus standard.

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678
 Foundation Fieldbus (conunueo)

Foundation Fieldbus has two types of measurement and

control networks:

./ H1 Network
Used for communicating between analog field devices on the
same segment (network) at 31.25kbiUs

./ HSE (High Speed Ethernet) Network

Used for communication between different H1 segments
(networks) and control systems at 100 Mbit/s or faster

Notes:

• There are two networks in Foundation Fieldbus.

• The lower level network is the H1 network which as shown in the slide is used for
communication between analog or digital field devices on the same segment
(network). The speed of communication is 31.25kbit/s which is many times faster
than the HART protocol 1.2kbit/sec.
• The higher-level backbone network is the HSE network which used to:
• connect separate H1 segments
• connect separate host devices (DCS’s, PLC’s and PC’s)
• connect groups of digital devices.
• The H1 network and associated field devices is more fully developed with 49
registered field device products with the Fieldbus Foundation as of Jan 2000.
• The HSE network standard is currently being developed and is based on high
speed Ethernet technology. It should be ready for release some time in 2000. It
will be able to communicate at 100Mbit/s.

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679
 Foundation Fieldbus HSE Network
gg Automahon

u
enc
lJ
HSE Network
Display Systems

100 Mb1ts/s

-. -
HSE Lmkmg Device I
./
a, Ne<,,o" H1 Network
31 25 ktl1tsls, 31 25 kll1ts/s

� �
I
- • - • I
- (
;I<
)
- I ( )
I I

Notes:

• Originally the S50 standard defined an H2 bus operating at 1-2Mbit/sec. The

Fieldbus Foundation decided it was going to take too long to develop yet another
new bus standard, so they decided to develop a modified High Speed Ethernet
standard (HSE) operating at 100Mbit/sec.
• This HSE is intended to be used to link H1 segments, control systems, smart I/O
blocks and PC’s.
• Many industrial installations already use 10Mbit/sec Ethernet.

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680
 Foundation Fieldbus HSE Network (continued)

Automabon
am

I HSE L1nk1ng Device

H1Netwc.-k H1Networ1{
r'c'c'o'�";'-''-''--;c_,,-
' �
_ "--,,.____c;,,_,'
a -,'-"'""''°c
;'°'-�
'
"

I I

Notes:

• This slide shows another way Foundation Fieldbus High Speed Ethernet is
expected to be used.
• In time there will no doubt be a lot of pressure to use HSE at the H1 level.
• Foundation Fieldbus HSE standard will hopefully overcome the standard problem
of linking various control systems vendors equipment on a common fast bus
standard. Often slow Modbus protocols have to be used to link control systems
from different vendors.
• Foxboro has been the big pusher of HSE.
• From an end users point of view, HSE will help users integrate different control
system, something many DCS vendors have been trying to avoid!

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681
 Foundation Fieldbus H1 Communication Model

Foundation Fiefdbus is based on the Open System Interconnect

(OSI) layered Communication Model

The user layer provides

Standard flmchon blocks
Schedulmg of funchon blocks
Device oescnpnons wh1eh allow the host system to
operate the device without custom programming

Foundation The ccomuncaucn stack prOVldes

Field bus Encoding and decoding of user layer messages
Communication oetermmetc control or message transnussion
• trrceot and secure message transfer
Stack
The physical layer
Cooverts data from 1he stack into physical s19nal on
the nenous an<l vice versa
• Supports 31 25 ktHUsec s,gnalmg rate ror H1

Wire Medium

Notes:

• Foundation Fieldbus users only three layers of the Open System Interconnect
(OSI) communication model.
• This is shown in many a piece of literature on Foundation Fieldbus. Except for the
“User Layer”, the communication stack and physical layer are transparent to the
end user.
• This is as much as you will ever need to know about the communication model if
you are an end user. For developers of Foundation Fieldbus field devices, it’s
another story! This course only covers end user needs.

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682
 Foundation Fieldbus Function Blocks

> Encapsulate basic automation functions

> Familiar concept to users (Al, AO, PIO etc)
> Blocks reside in both field devices and in host DCS,
PLC or PC
> 29 function blocks defined
> Instrument and control system vendors are not limited to
Foundation Fieldbus defined function blocks. They can
develop their own function blocks.
> Only the Foundation Fieldbus ISA50 defined function
blocks are tested for interoperability in field devices by
the Fieldbus Foundation

Notes:

• The user layer for end users involves linking function blocks to perform control
functions such as PID control.
• The functions defined by the ISA50 standard use familiar terms such as Analog
Input blocks, Analog Output blocks, PID blocks etc.
• All field devices will come with either an Analog Input or Output block as a
minimum.
• 29 standard function blocks have been defined in the ISA50 standard although at
the moment only a few are available in field devices. Extra Foundation Fieldbus
and NON-Foundation Fieldbus blocks are available or will become available in both
field devices and Host systems.

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683
 Will all Field Devices look alike?

> On first impression it may seem that due to the

Foundation Fieldbus standard that all field devices will
look and perform the same

> This is not the case. The Foundation Fieldbus

standard defines only the interfacing and configuration
of field devices

;.. The field instrument sensor accuracy, sensor

performance, sensor linearization, multiple sensor
measurements within a device, control valve
performance, control valve deadband, types of PID
algorithms will still all be unique to the vendor

• The Foundation Fieldbus standard for field devices deals with how each field
device is to be configured , what function blocks are to be used and how they are
linked. It also deals with the type of communication protocol on the H1 segment.
• S50 standard does not define:
• How accurately a field device measures
• How well a control valve performs
• How fast a sensor responds to a process change
• The type of PID algorithm to be used
• How many process measurements can be in one field device
• The amount of deadband or hysteresis in a control valve
• The type and number of diagnostic tests in field devices
• What to alarm in a field device
• How many function blocks should be in any given type of field device
• The reliability of a field device
• The power consumption of a field device
• In other words, there is still plenty of scope for each vendor to make his or her
design better than the rest.

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684
 SUMMARY: Industrial Networking

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685
 True or False
lndustri� Networks

A master/slave network access method polls all nodes and

requests them to send data

@True

Q False

W1fiMfiM

Multiple Choice Question

Industrial Netwofb

A high speed, industrial control network designed for

deterministic, predictable and repeatable communication
between industrial devices and which can have a trunk
length of up to 2Skm using coax and fiber optic cables is:
RS-485

'i' ControlNet

Device Net

Q ProfiBus

CffiMfiM

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686
 Multiple Choice Question
Industrial Networks

All of the following capabilities would be considered to be

Ethernet Industrial Protocol (EtherNet/lP) advantages
EXCEPT:

e non-deterministic nature.

Q open network standards.

Q lower component costs.
Q broad usage and support.

C!lfufiM

Multiple Choice Question

Industrial Networks

An ASI network can utilize all of these topologies, EXCEPT:

Star

Q Line
@Ring

Tree

Citiffiffi M

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687
 Multiple Choice Question
Industrial networ1cs

The Foundation Fieldbus Communication Stack's most

important function is to:

Convert data from the stack into physical signal on the fieldbus

Q Provide an interface top standard function blocks

@ Provide deterministic control of message transmission
Scheduling of function blocks

Witi®flM

Multiple Choice Question

Industrial Networks

A sensor network that is low-cost but also provides minimal

functionality is:

Q ControlNet
Actuator Sensor Interface (ASi)

'i Foundation Fieldbus HSE

Q Profibus-DP

Witi@HM

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688
 Multiple Choice Question
Industrial networks

Which of the following industrial automation networks is

characterized by highspeed signaling to support host system
updates at very short distances?

Q Modbus
@) PROFIBUS·DP
O PROFINET
O PROFIBUS-PA

W'!T1MfiM

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689
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 17

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690
 Module 17A: MES Integration
Manufacturing Organization Functional Hierarchy
• Level 4, Level 3 Characteristics
• Level 4-3 Exchanged Information
• Equipment Hierarchy
Production Operations

MES
--
=--•' .
.J.l.
)

Learning Objectives

I Identify the level of activities in a typical manufactunng

company.

2 Explain the information that is exchanged between busrness

processes and manufacturing processes.

3 Identify work centers and work units and their relationship to

manufacturing operations management activities.

4 Compare and contrast different MES systems based on the

functions they support ..

5 Identify maintenance, quality, and inventory operations

management functions in your organization.

6
Explain the criteria used to define the specific boundary
between business process functions and manufacturing
operations management functions.

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691
Functions - MES and Other

Manufacturing Operations Level 3

Functions - MES and Other

Leve14
Business Planning and Loqrsucs
P1ant Production Scheduling
Operabonal Management etc

Interface addressed
In the ISA95.01 and
Leve!3 ISA95.02 standards
Manufacturing
Operations and Control
D1spatchmg erocucuco Detailed Produc1100
Schedul1r,g, Rel1ab1l1ty Assurance, Area addressed
In the ISA95.03
standard
Level2

Batch Continuous Discrete Interface area addressed

Leve! Control Control Control by OPC and Fleldbus
communications

Notes:

• This is a very simple hierarchical model.

• Very commonly used.
• Very generally accepted.
• This introduces the standards and where they apply in a Functional Hierarchy

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692
 Level Definitions
MES Is Typically Defined at Level 3
4 - Es!ablisnng the basic plant schedule
''""' Business Planning prn<klcbon, material use, deivery, aOO shippo->g
Determining inventory levels
and Loqrsncs
Pl.on1 Prooocboo Scl>eduing
Operollooil Man-men! etc
r-F,ame
Months, weeks, days, shifts

Level 3 3 Wort flow I rec,pe con1rol, stewmg the process

through states to produce the desired end
Manufacturing products Main1aining records arnl ophmizmg
Operations Management the production process
0..palchon!l f>roducbon, Detaoleo f>roducbon
Sd1edulm1i Rel>alliMy As,U<ance, nme Frame
Shifts, hours, minutes, seconds

Level 2 2 Monitoring, supervisory control and automated

control of the production process

Batch Cootr,oous Discrete

Level 1
Cootrol Control Control Sensmg the prndYct<>n process mar.pulaltrlg
the production process

Level o 0 - The actual production process

Notes:

• This is just a quick review of the meaning of each level

• These levels also often correspond to network implementations
• Level 4 is corporate intranet
• Level 3 is a protected manufacturing intranet
• Level 2-3 is typically Ethernet or fieldbus
• Level 2-1 is typically fieldbus, Devicenet, ASI, …

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693
 Level 4 Activities

:, Collecting and maintaining information on:

• Inventory
• Energy
• Quality
• Equipment
• Manpower

).. Generating the basic production schedule

:, Commonly identified as MRP, MRP 11, ERP

Notes:

• Raw material and spare parts usage and available inventory and providing data for
purchasing of raw material and spare parts
• Overall energy use and available inventory and providing data for purchasing of
energy
• Overall goods in process and production inventory files
• Quality control files as they relate to customer requirements
• Machinery and equipment use and life history files necessary for preventive and
predictive maintenance planning
• Manpower use data for transmittal to personnel and accounting
• Establishing the basic production schedule
• Modifying the schedule for orders received, based on resource availability
changes, energy sources available, power demand levels, and maintenance
requirements
• Developing optimum preventive maintenance and equipment renovation
schedules in coordination with the basic production schedule
• Material requirements planning (MRP) and spare parts procurement
• Modifying the basic production schedule as necessary whenever major production
interruptions occur

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694
 Level 3 Activities

l> Collecting and maintaining area data on:

• Actual production
• Actual inventory
• Actual manpower
• Actual usage

> Establishing the immediate production schedule

> Carrying out personnel functions such as:

• Work stansucs (time, task, etc.), vacation schedule, work force
schedules, union line of progression, and in-house traming
and personnel qualification

Notes:

• Collecting and maintaining area data on:

• production, inventory, manpower, raw materials, spare parts and energy
usage
• Reporting on production, including variable manufacturing costs
• Performing data collection and off-line analysis as required
• Carrying out needed personnel functions such as:
• Work period statistics (time, task, etc.), vacation schedule, work force
schedules, union line of progression, and in-house training and personnel
qualification
• Is there an overlap between this and ERP systems or between this and MES
systems?
• This should be the activities of MES systems.
• Except for the last one that deals with things that may in some companies be part
of HR and not production.

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695
 Level 4 - 3,2, 1 Segmentation

An activity is in the control domain (Level 3.2. or 1) if:

./ The activity is cntrcal to plant safety
./ The activity is critical to plant reliability
./ The activity is critical to plant efficiency
./ The activity is critical to product quality
./ The activity is critical to maintaining regulatory compliance
• Note: This Includes such factors as safety, environmental, and
cGMP compliance
• Example: Maintaining FDA, EPA, USDA, OSHA, ruv EU,
EMEA, and other agency compliance

Notes:

• Very important point in a review, indicates if something is in manufacturing

operations (Level 3 and below) or is in business logistics systems
• This criteria is also the basis for the SP99 work on control system security

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696
 ISA95 Part 1 and Part 2
Level 4 - Level 3 Exchanged Information

Four Process. Product, and Production Models

-
;.,. Capability and Capacity Defimtton
• What production resources are available for scheduling

:.> Product Definition

• What Information must be common between Level 4 and 3 to
make a product

> Production Schedule

• What to make. when, which resources to use

Production Perlormance
What was made and what resources were used
I
ISA95 Part 1and Part 2
Level 4 - Level 3 Exchanged Information

Four categories of resources

;;,. Personnel
Exchanged Information about personnel, roles, and
quallflcatlons

;,, Equipment
Exchanged Information about equipment ldentlflcatlon and
capacity tests

;,, Material (and Energy)

Exchange Information about material lots, definitions, classes,
and QA tests

» Process Segments
The business view of the manufacturing process

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697
 Equipment Hierarchy Definitions
• A hierarchical oescnpton of physical
assets of an enterprise Involved In
manufacturing
• An expansion of the model m IEC 61512
and 1SA88.01 to include the definition of
assets for discrete and continuous
manufacturing
ENTERPRISE

SITE
} Level 4 ecnvnes
typical� deal \1¥11tl
these otrects

WORK
CENTERS
AAeA
Leve! 3 ecevnes
typical� oeat with
these objects
PROCESS PRODUCTION PRODUCTION STORAGE
CELL UNIT LINE ZONE
MJst contain May contain Ma)' contan
1ormJre 1 or more 1 or more

UNIT
"'""'
CELL
STORAGE
MJDULE

'-------y------ '-------y------ '-------y------ '-------y------

Lower level Lower level Lower level Lower level
equl)ment used equipment used equipment used equl)ment used
n batch ,n continuous ,n repet,tr,e or for storage
production production discrete production

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698
 Enterprise, Site, and Area

EN'raRPRISE Sl'ra AREA

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699
 Work Center

Work Center

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700
 ISA95 Organization Reference Model

Pfooossing
(1.0) Product
• _ _ _ Shipping Admi
(9.0)

! ; ::f.!
a :
.: ":,
roductiori --. llo< '--.(. Product
C<>o•o }.'��-� '\ ventory Corm
(3.0) ���' �OJ

\�
""
11
-.._;:,.>'---iff •
� oua11ry
Assurance
(6.0)

'" '""'

Notes:

• This is a reference model for a manufacturing enterprise, often used to make sure
that all areas of a company are covered when dealing with Level 4-3 integration
• Remind them that the ellipses are functions, the solid arrows indicate information
flows that are defined, the dotted arrows indicate information flows that are not
defined in the model.
• The overlapping shape is really where the scope of manufacturing operations
exists, this includes some of the activities of maintenance management, QA,
material & energy control, scheduling, and product inventory control (as required
to meet the goals of regulatory compliance, safety, and quality)
• Order processing
• Production scheduling
• Production control
• Material and energy management
• Procurement

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701
• Quality assurance
• Product inventory control
• Product cost accounting
• Product shipping administration
• Maintenance management
• Research development & engineering
• Marketing & sales

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702
 ISA95 Part 3 -
Manufacturing Operations Areas
- --------
Order
Processrng .• ,>--,
,o (1 OJ roduct Cost Product

•
O
. .. . . . . . . kcount,ng
O C)
Sh1pp1ng Adm,n
O C)

Sche
PRODUCTION
I OPERATIONS
MANAGEMENT
•
Material �d Production Product
Energ)' Cctitrol Control
(<C (30)
NTORY
OP!'I.ATIONS

.
'�,'N�NT
. ••• OUAf..lTY
PERATIONS

Procurement
(50)
••• MA. NTE ANCE
Quality
Assurance
• O ERA IONS
• SC)

• • ;}:;;
• M AG MENT
:;'!:'· ."· · Marketing
00
•• ,ntenance •••• and Sales
t.ljnagement ,,,•' Research
100j•'' Development
d Engineer,

Notes:

• This is ISA95 Part 3 and the four detailed models of manufacturing operations.
• Production operations management includes MES, but it also contains elements
that are not considered part of traditional MES systems
• Inventory operations management includes warehouse control systems

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703
 ISA95 Part 3 - Production Ops Activity Model

Pr uct prorucnon prcrucncn prooucutn

def1 mon capiiJ1l1ty sch nne perormeice

production

roduct,on
resource track,n
oduchan
, atch,n Performance

- --
defin,ton data

oduct,on
execution

�!. - . c'''"''""
Production level 1 2 functions

Notes:

• This is the model in ISA95 Part 3 of the activities that occur in production
operations.
• It is the basis for defining the functionality of MES systems
• It is often used as an outline for requirements for MES systems.

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704
 Summary: MES

Manufacturing Organization Functional Hierarchy

Level 4, Level 3 Characteristics
Level 4-3 Exchanged Information
Equipment Hierarchy
Production Operations

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705
 Learning Objectives

} Discuss the need for security and the general approaches

that are used to achieve 1t.

2 Explam the steps m developmg a secunty program including

nsk assessment and developmg an audit program.

3 Descnbe the secunty approaches of euthenncenon/

authorization, filtenng/blocking, and encryption.

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706
 Network Security Mission

Notes:

• A LAN is designed for easy access to information from within a corporation; the
Internet is designed for easy access from the world. You do not wish either to have
easy access to your process data, particularly to be able to modify your process
data. You must provide a high degree of isolation between the Internet/LAN and
your process or face physical, process, and legal ramifications. The same could be
said of your servers on the corporate LAN - you must maintain data integrity.
• A good virus (see preceding section) scanner is essential in an era where there are
way too many people with way too much time on their hands.
• Engender a discussion of additions or priorities to this list.

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707
 Network Security Mission (connnueo)

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708
 Why Industrial Network Security ?

� Compromised Manufacturing and Control Systems

could result in any or all of the following situations:
• Endangerment of public or employee health and safety
• Loss of public confidence
• Violation of regulatory requirements
• Loss of proprietary or confidential information
• Economic loss
• Impact on national security

� Unfortunately the growth of network connected

systems, remote access, standard protocols, standard
operating systems, and standard networks means that
Manufacturing and Control Systems are now at risk

Notes:

• New process control systems are using standard IT hardware and software,
placing them at more risk than previously.
• Since viruses, worms, and hack attacks are affecting corporate business systems,
they will also affect production systems.
• In addition, the production systems can result in the loss of life or harm to people,
something that doesn’t happened with business systems.
• The ISA99 and NIST work are only two of a wide set of industry initiatives to
address security. Some industries, such as nuclear and pipelines have already had
significant work in this area and must of the SP99 and NIST work is based on their
work.

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709
 Security Levels

:,. Seven levels of security

• Jointly defined by Department of Defense (DOD) and
National Computer Security Center (NCSC)

:;... Trusted Computer System Evaluation of Criteria

(TCSEC)
• Issued in 1985, "Orange Book" defines levels

> Software vendors use level specifications to

develop secure products

Notes:

• Duration: Spend approximately 15 minutes on this topic (1 of 5 slides)

• Seven levels of security were defined by the Department of Defense (DOD) and the
National Computer Security Center (NCSC)
• These levels were compiled in a book included in the series of books written under
the Trusted Computer System Evaluation of Criteria (TCSEC). The series of books
became known as the rainbow series because each book was a different color. The
Orange Book defines the levels and was issued in 1985
• Software vendors have embraced some of the levels in developing software
products that claim to observe security issues
• C2 is often used as a guideline for vendors
• The seven levels of security range from the most secure specification of A1 -
verified design to D - minimal protection. Interestingly, these levels apply to
standalone systems and separate extensions exist for security for systems in a
network. By introducing these standalone security levels to the audience, it is
hoped that a connection can be made to the networking security issues

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710
 Seven Levels of Security

A1 Verified design Most Secure

83 Security domains

82 Structured protection

81 Labeled protection

C2 Controlled access protection

C1 Discretionary protection

D Minimal protection Least Secure

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711
 Definitions

Notes:

• There are two components to authentication:

• User Authentication-traditional computer authentication such as “logging into a
computer” or activating a Human Machine Interface (HMI) to adjust a process.
• Network Service Authentication-the ability for networked devices to distinguish
between authorized and unauthorized remote requests for data or to perform
actions
• Computer systems in the Manufacturing and Control Systems environment
typically rely on traditional passwords for authentication. Control system suppliers
often supply systems with default passwords. These passwords are often easy to
guess or infrequently changed and create additional security risks as a result. At
the current time, protocols used in Manufacturing and Control Systems
environments generally have inadequate or no network service authentication.

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712
 Definitions

Notes:

Firewalls can:
• control access into a protected network
• control access to specific devices in the protected network
• prevent undesirable packets from entering a protected network
• hide hosts so they are not visible outside the protected network segment
• control outgoing traffic to the unsecured network
• record information useful for traffic monitoring and intrusion detection

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713
 Definitions

Encryption
The process of ciphering and deciphering data in order to
ensure that information is accessible only to those authorized
to have access

Data validation technologies

Safeguard the accuracy and completeness of information

Technologies include:
./ Symmetric (private) Key Encryption
./ Publ!c Key Encryption and key distribution
./ Virtual Pr1vate Networks (VPN)
./ Digital Certificates

Notes:

• There are several standards in this area, as well as strong vendor support. You can
probably spend as much money as you have in building encryption technologies,
but these need to balance against the risk. See TR99 Part 2 for a better definition
of the risks and benefit tradeoffs.

• This is most commonly used when control and information messages must be
transmitted outside of the protected control system networks typically employed.
Even then it is only used when it goes outside the company.

• From a practical standpoint this is a technology that only has limited used in
process control systems.

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714
 Security Controls
./ Require unique passwords
./ Require frequent password changes
./ Restrict log-in limes
./ Require adequate security on dial-up Imes and modems
./ Limit guest accounts
./ Limit access lo network services
./ Use encryption
./ Employ data redundancy on the server (RAID)
./ Use Firewalls between industrial networks and other corporate
business networks
./ 3-Factor Authenncation
What you know (passwords)
What you have (a token, key, etc.)
Who you are (fingerprint, facial recognition, etc.)

Notes:

• Passwords should be a minimum of 8 characters and a combination of numerals

and alphabetical characters - they definitely should not spell out names (like the
username) or any sequence of numbers and letters easy to determine. Ideally,
they should be random, but that is hard to memorize - you can make passwords
truly random but be prepared to find them written down. Passwords should
change at least monthly and, in the department, when someone is terminated.
• Log-in times should be restricted to an individual’s normal duty hours - if there is
much overtime or rotating shift this becomes difficult. However, that is what the
network administrator is paid to do. There may be a daily or weekly changing
password used for overtime work, and by judicious use of groups and scripting,
rotating shifts can be accommodated
• All incoming dial-up lines should be of the call-back type (user dials in, gives
password, then hangs up; server calls a predetermined number back, it rings, and
if you answer with the right password, you are granted access. Otherwise,
depending upon policy, after a number of false tries the username is locked out
for administrator notice prior to reinstatement.

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715
• Unless absolutely necessary the guest account should be disabled. If not it should
be restricted to read only files. This is difficult when you need interaction on an
Internet page by anybody who logs on, still the file and server access can and
should be limited to anyone using guest.
• Blanket access, while easy, is absolutely wrong. Always place persons in groups
with the access needed to perform their job and nothing more.
• Encryption is a valuable tool for data that must be exposed but not intercepted.
Unless both ends are using the same keys, then data cannot be decrypted. While
most encryption schemes (48 bits or less) can be broken - it is not easy - requiring
a great deal of computing power for an unknown gain if any. Therefore, encryption
is a viable tool against most hackers.
• Data integrity is achieved by two methods that must both be employed:
• Data redundancy - the use of SANs (Storage Area Networks) or RAID provide
redundancy in real time.
• Data integrity - the use of transaction - commit if entire procedure is
accomplished correctly; otherwise, if any part of the transaction fails, restore
the old data (rollback) and notify user it was not completed.

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716
 Firewalls
Firewalls are hardware and software that restrict access to
a site. Two general classes:
» Packet Inspection Firewalls: Checks each packet for its
source, destination and function and rejects unauthorized ones.
Often router based.
» Proxy Firewalls: Takes every incoming command, converts it to
text and them reinterprets it. Often server based.

Internet
Firewall

Notes:

• Packet Inspection Firewalls are basically working at the Network level:

• Examines only the headers of each packet of information.
• Accepts or rejects based on packer’s sender address, receiver address, or TCP
port #.
• Proxy Firewalls are basically working at the Application Level
• Handles packets for each Internet service by interpreting the command at the
top layer.
• Both Proxy and Packet Inspection firewalls allows use of unregistered IP on the
user side of the proxy.
• Accepts E-mail, web, chat, newsgroup, strips off the information that identifies
the source and passes it on to the Internet.
• Replies also are received by the proxy server.

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717
• Firewalls typically come in two varieties:
• Packet or network filtering firewalls
• Packet filtering firewalls work at the network layer to screen out network
messages from denied sources
• Packet filtering firewalls are often easier to incorporate because they are
transparent to the network administration
• Proxy or application firewalls
• Proxy firewalls restrict access to certain services
• Proxy firewalls typically work at the application layer and must know
something about the application being accessed

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718
 Firewalls

Notes:

• Implementing a firewall results in higher monetary costs involved in setting up and

maintaining firewall software and hardware
• Implementing a firewall also results in greater time requirements to configure and
maintain it by administrators
• Firewalls can prohibit access of necessary services to legitimate users in some
circumstances
• Badly configured firewalls can lead to a sense of false alarm

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719
 Security Policy

Notes:

• You must have written and acknowledged policies. Example - use of e-mail. If you
do not have written and acknowledged policies then disciplinary action for abuse,
it will be very hard to enforce and may lead to legal battles.
• If you have a policy on Internet, e-mail, or LAN use, then monitor compliance.
Without monitoring, rest assured there will be little compliance.
• When an employee gives notice, immediately put into effect policies that will
terminate his access on the day his requirements for access are voided. Using NT,
merely insert a disable date. There are companies who still have access granted
for employees who haven’t worked there in over a year,
• Most damage to a company network comes from employees who have access
already but are disgruntled or otherwise less than concerned as to the company’s
policies. Whether this is for Internet access or just plain network access - be
vigilant,
• Use of the numerous security scanners (including some hacking tools) should
approximate the actual security opening on your network(s). A good scanner has
some logic rules and can determine whether a particular port or application can be
breached - worth its weight in gold.
• Based on the risk, a certain level of expenditures (based on ROI and legal
entanglements avoided) will be practical. This is totally dependent upon safety,
priority, threat, and the cost of not doing anything versus the cost of preventing
compromise of security. It must be affordable or perhaps you should rethink your
need for Internet or network access.
• All controls, be it policies or firewalls, need to be checked for proper operation,
latest patches, or service packs. An untested control is worse than no control at all
for you are assuming it works - bad assumption.

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720
 Security Plans
./ Examine and analyze each segment of
the network for security breaches
./ Consider responses to possible threats
in terms of cost and risk
./ Make affordable changes

-.
./ Check and maintain your controls to be
sure they are working properly

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721
 ISATR99 Part 2 -Annex A Sample
MCN Connectivity Policies
;, All high and medium risk Manufacturing and Control
Networks (MCN) must be firewalled or disconnected
from any external networks (site. corporate, and/or
public networks)

;, All manufacturing and control network firewalls must be:

./ Configured according a set of company-wide standards
./ Centrally monitored m accordance with company-wide
standards
./ Centrally backed-up and have a viable disaster recovery
process
./ Have a documented Escalation. Reporting, and Change
Management process in place

Notes:

From TR 99 Annex A there are some good recommendations. These are

listed in short in the slides, and in detail below.
1.All high and medium risk manufacturing and control networks must be
firewalled or disconnected from any external networks (site, corporate,
and/or public networks).
a. High-risk manufacturing and control network installations are to be
completed with haste.
b. Medium risk manufacturing and control network installations are to
be completed promptly after securing the high-risk installations..
2. All manufacturing and control network firewalls must be:
a. Configured according a set of published standards established
company-wide.
b. Centrally monitored in accordance with “Corporate Firewall

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722
 Monitoring Guidelines” for health and security by the Corporate
Firewall Monitoring/Support Entity.
c. Centrally backed-up by the Corporate Firewall Monitoring/Support
Entity and have a viable disaster recovery process documented.
d. Centrally supported by the Corporate Firewall Monitoring/Support
Entity and have a documented Escalation, Reporting, and Change
Management process in place.
3. Brand XXX, Model NNN firewalls are the current guideline firewall for
manufacturing control networks.

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723
 ISATR99 Part 2 -Annex A Sample
MCN Connectivity Policies (contlnueo)

);. The manufacturing and control network must be

completely separated from the corporate network (e.g ..
the MCN and local area network (LAN) cannot share the
same switching infrastructure)
> No modems shall be directly connected to the MCN or a
MCN node for remote access to the MCN devices by
users and other support personnel

Note: Most MCNs are connected to the IT LAN for access

to the Internet for maintenance purposes and to access
manuals at the vendors' site. This is the link that needs a
stateful inspection firewall.

Notes:

Architecture
1. The manufacturing and control network must be completely separated from the
corporate network (e.g., the MCN and local area network (LAN) cannot share the
same switching infrastructure).
a. All MCN-connected devices will be addressed using approved company
registered addressing.
b. All devices on the MCN must be on a separate subnet from the rest of the site
LAN devices.
c. The MCN can be a full Class C of 254 nodes or a portion of the range based
upon natural bit boundaries of the subnet mask.
d. Devices on the LAN accessing nodes on the MCN must use the proper subnet
mask, as defined by the nodes gateway mask. (The 255.0.0.0 subnet mask will
not work.)
e. Network Address Translation (NAT) will not be used on the MCN.
2. No modems shall be directly connected to the MCN or an MCN node for remote
access to the MCN devices by users and other support personnel.

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724
 ISATR99.02 - Conduct Risk
Assessment and Gap Analysis

>-Determine the vulnerabilities and weaknesses that need to

be addressed
� List the probability and criticality of threats

..,_ -
>-

-
Prioritize systems for risk mitigation plan

· - ___
,._.._.
1
• ,._
, .......
D · - - .....
--
e,,.,,_

- - · - · -
··,___---- -............-....... ·-··---·---- ·�--·--
=
.._.
- ·--
·--
--·
---
--- -··
'-
,,_
·- -·
--- --
. �--· -· -
�

-
·-- ·-�·- -·- -- -
·-
Notes:

• TR99.02 contains some samples of documenting the risk and some minor
guidance on how to evaluate risk.
• Ultimately it will be up to each site or company to determine the risk for each
element (system) and determine the level of risk that they are willing to take.
• It is nearly impossible to build a bullet-proof system that still continues to do any
useful work, so you have to decide how much risk in terms of attacks and
inadvertent security issues you can accept. That is why there is probably no single
answer that can be applied to all systems, and each system may have to accept a
different level of risk.

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725
 ISATR99.02 - Design and Select Countermeasures

For each asset and data set determine the best

countermeasures based on the probability and
criticality of the threat

Make sure the cost is balanced by the risk

--- ··---- -·-- ·-

-
··--- --- ·--
oo<ww-

Notes:

• There are a number of steps you can take to reduce the cybersecurity risk and
vulnerability of your Manufacturing and Control System.
• The most common strategy involves separating the business LAN from the
Manufacturing Control Network.
• While this is not the only strategy to consider, it does form the foundation for most
strategies.
• The Mitigation Strategy Matrix Tables must be developed to support the
company’s risk goals and risk mitigation policy.
• The tables provide guidance for reducing the level of risk associated with your
Manufacturing Control Network.
• Based upon the threat classification ratings, the tables recommend when to
employ a firewall or other security technology as a way to reduce risk to your
process.

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726
 ISATR99.02 - Design and Select Countermeasures

In many cases the probability and critically will indicate no

additional countermeasures needed than those already
employed for other purposes
• Such as firewalls, VPNs, and segmented networks

--·-·-___
.,
·
0

•
••
••
•
• -
. . .. .
-
-- -•·--
'

---- --
�
' ••

---
�-
Notes:

• Many risks will be low, or the probability of an attack low and you may not have to
make any changes. However, it is better to conduct a formal review and decide to
not change, rather than just to default to no-change or an expensive but un-
necessary change.
• It is often the case that once you architect a system for limited access, that you will
protect against other risks at the same time. Using a good firewall system and
password control will protect many data assets and system assets at the same
time.

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727
 Summary: Network Security

Notes:

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728
 True or False
MES Integration

Automation does not end with equipment control; it also

includes higher levels of control that manage personnel,
equipment, and materials across production areas.

"i' True

False

WitiltdilM

Multiple Choice Question

MES Integration
Which statement is NOT reflective of how business
production requirements are used to coordinate and
control plant floor activity?

Detailed production scheduling activities are derived from the production

@ work orders.

Production schedules developed by the business and sent to production

dnve the production.

Q As production activities are executed, data is collected in a production data

collection activity.

Production work orders are dispatched to work centers and work units
based on nme and events

WffiM#iM

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729
 Multiple Choice Question
MES

MES integration data provided to business scheduling

systems is classified as:

@ production capability information.

process segment information.

production schedule mformation.

product definition information.

CifiitrtfiM

Multiple Choice Question

� NetworkSecurity

v Network security Access Control:

Q Is the process of transferrmg data from the plant floor to disk storage
Is the subject of the ISA-97 standard.

Q Issecurity
very complex and requires an outside consultant to produce a viable
documentation.

Uses filter and blocking technologies designed to regulate the flow of

O information between devices or systems once authorization has been
determined.

CifiM#\1

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730
 Multiple Choice Question
Network Security

The two major types of firewalls are:

Packet Inspection and Controlled Access Protection

Proxy and Data Encryption

'i' Dynamic and Static

Packet Inspection and Proxy

Witi#M

Multiple Choice Question

MES Integration

A common MES Level 3 function is:

Operational management

Continuous control

'i' Detailed production scheduling

Discrete control

WffiM#\M

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731
 Multiple Choice Question
MES/Network security

When compared to traditional bar-code systems, a primary

benefit of radio frequency identification (RFID) tags is ...

low voltage power drawn from the battery.

"i" faster data transmtsston that can be read from farther away

the number of software applications that can process RFID data.

cost savings of tags.

CffilfufiM

Multiple Choice Question

MES

Which statement BEST describes the rationale for an MES?

Q ERPs must have information from plant floor controllers.

Q To compete in a global economy there must be the capability to conduct
business using online means.

Equipment control cannot function unless it is integrated with ERP.

@ Automation
capability.
effectiveness is not based solely on equipment control

WitiMBM

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732
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 18

Notes:

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733
 Module 18A: Operator Interface

Learning Objectives
} Explain hOVJ data ts acquired from hardware into software

2 Compare different OPC implementations against proprietary

drivers

3 Explain the components of OPC-MOA trending and OPC-

A&E alarming.

4 Explain how reports are generated and disseminated.

5 Identify where scnpts or programming is required.

6 Explain the basics of good HMI design· speed of response,

acknowledgement, navlqation. etc

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734
 Operator Interface

---
� l!:"l-
The mam functions of an operator interface are:
./ Operator view into the process
• Usually displayed In engineering units or normalized values (not
'raw" data)
./ Operator control of the process
./ Operator view of Key Performance Indicators (KPls)
./ Operator view of alarms
./ Operator view of historical data

��,.t
• -
'
!
-. -..
--
' -
�. '(.;> ., ... 'I ' �.

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735
 Operator Interface

:;.. Related standards include

• ISO-IEC 11581 "Graphical Symbols on Screens"

• IEC 61131-1 - Section 4.5 Characteristics of the human-

machine interface {HMI) function

• EEMUA 201 "A Guide to Design, Operational and Human

Interface Issues"

};- HMI - Human Machine Interface

Common term used for operator interface system

Notes:

• Terminology - They are all the same, HMI is the most common
• HMI - Human Machine Interface
• MMI - Man Machine Interface
• HCI - Human Computer Interface
• OI - Operator Interface

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736
 HMI Types

I Embedded -i
I • Directly connected (no networ1<) to the control device and/or 10. I
• May be part of the control device (e.g. PC)
I • Low cost may be character based, but today normally some form
L_°f graphics I
I Standalone -i
I • Connected through a network to one or more control devices, or I
directly to a control device (e.g. RS232)

I
• Does not coordinate activities such as alarm acknowledgement or

Loften
screen modrticanons with other HMI devices
based on PC technology _J
Notes:

• Types of HMIs
• Embedded - directly connected (no network) to the control device and/or IO,
may be part of the control device (e.g. PC), low end/cost may be character
based, today normally some form of graphics
• Standalone - Connected through a network to one or more control devices,
does not coordinate with other HMI devices. Usually a PC on a network.

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737
 HMI Types

r-;:::buted
Iui;:,:11Connected
through a network to a centralized data repository
and/or scanning system (e.g. a server that connects to control
devices and/or 10)

• Usually coordinated with other HMI devices for shared

derinmons of screens, tags, and secunty deflmnons

• May be thick client (software must be mstalled on the HMI

device) or thin client {uses standard browser technology and
automatlcally mstalled elements)

Notes:

• Types of HMIs
• Distributed - Connected through a network to a centralized data
repository and/or scanning system (e.g. a server that connects to
control devices and/or IO). Usually coordinated with other HMI
devices for shared definitions of screens, tags, and security
definitions. May be thick client (software must be installed on the
HMI device) or thin client (uses standard browser technology and
automatically installed elements).

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738
 HMI Characteristics
Real-time display of measured and calculated information
- Minimal latency of mforrnation display - Usually limited by the
communicatrons to the control devices {PLC, OCS) and 10

'

Notes:

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739
 HMI Characteristics

...
Q

• Typical measures are - screen call up times, screen or data

refresh times, latency of information, feedback response times

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740
 HMI Configuration

J> Should follow corporate policies for use of color that are
country, industry, and company standards
), Should follow corporate policies for use of flashing, use
of audio alarm indication, number of elements per
screen, standard (ISA) symbols for equipment
representation, font size. and use of hard to read
contrasting colors
J> Typically will have a display area (for graphical
representation of the process), an alarm area (for the
display of alarm information), a command area for
entering commands (without hiding the alarm or display
area, and a context area (which display the context (ie
name) of the display area
L

Notes:

• Should follow rules for use of color that are country, industry, and company
standards
• Should follow rules for use of flashing, use of audio alarm indication, number of
elements per screen, standard (ISA) symbols for equipment representation, font
size, and use of hard to read contrasting colors
• Typically will have a display area (for graphical representation of the process), an
alarm area (for the display of alarm information), a command area for entering
commands (without hiding the alarm or display area, and a context area (which
display the context (ie name) of the display area.

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741
 HMI Configuration

r
»- Policy and Specification Considerations
• Number of colors to use
• Screen size (t?", 19", 21", 32", 40" ... ) and screen resolution
• Minimum readable size for information (8 pt font or larger)
• Average viewing distance (e.g. 1 Meter) [sets minimum
readable size)]
• Standard viewing distance (e.g. 0.5 - 3 Meters)
• Determine place for double acknowledge of critical actions

HMI Configuration

Security
• Determine security level or role for viewing
• Determine security level or role for performing actions
• Normal conditions
• Exception or alarm conditions

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742
 Screen Types

Notes:

• Display Types
• Overview - usually lots of tags/point on a display, may be graphical - little
text
• Representation display - Usually a graphical representation of part of the
process
• Multiple views for different sections and at different levels of detail
• Hierarchy of displays usually defined, with “drill down” to finer levels
of detail
• Network of links between pages, upstream-downstream, …
• Usually display includes navigation buttons for navigating hierarchy
and link network

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743
 Testing Considerations

Test for usability

./ Normal conditions

./ Exception or alarm
conditions

Test for readability

./ At standard and at
average viewing
distances

Test for responsiveness

Notes:

• Test for usability

• Normal conditions
• Exception or alarm conditions
• Test for responsiveness
• Normal conditions
• Exception or alarm conditions
• Test for Readability
• At standard and at average viewing distances

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744
 Summary: Operator Interface
'
• Operator Interface
Functions and
Standards
• HMI Types
-. HMI Characteristics --
• HMI Configuration
• HMI Screen Types and
Testing Considerations

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745
 Module 188: Data Management

Learning Objectives
} Descnbe the structure of a typical process database.

2 Design a database structure to support desired uses of the

data

3 Recogntze the special requirements of real-time process

databases

4 Estimate database storage requirements

5 Perform database sorts and searches effecttvely.

6 Generate complete, useful documentation for a process

database.

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746
 Historical Data Collection

I
Pur:o::llection of real-time process information for real-time
trend displays, historical data analysis, and generation
l
of regulatory records

l
>- Record the history of the process (through sensors) and
the process equipment
J

Historical Data Collection

I Collecting
>- Source of data is usually sensors, process equipment,
control devices (PLC, OCS), calculated values (such as
calculated m a SCADA system), operator entered data

>- The data is sampled and stored usually by event or on a

schedule

• Digital data typically collected on event

• Analog data typically collected on a schedule (such

as every 2 seconds or every one hour)

l
)- Data may be compressed m the data store (disk) to
conserve space and improve lookup times for display

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747
 Major Tasks

:,. Collecting, retrieving and archiving information related to the

execution of production equipment and information entered by
production personnel

> Providing interiaces to the basic process or manufacturing line

control system, laboratory information management systems,
and production management systems for automatic collection
of information

> Providing standardized or on-demand reports for operations

and manufacturing personnel

»- Maintaining information for local process and production

analysis and for reporting to higher-level logistics systems

Major Tasks 2

> Maintaining information to enable tracking and

tracing capability such as tracing products to
specific material lots, equipment and/or operators
»- Providing compliance monitoring and alarm
management functionality (event logging and
sequence of events)
> Providing product quality information for comparison
against specifications

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748
 Defining Historical Data

:, Data is usually defined through "tags"

> Tags are a shorthand name for atomic elements of
information that usually contain a value, a quality,
and have a unit of measure
:, Values of tag data may be digital 2-state, digital
multi-state, analog floating point values. strings, or
multi-point arrays

Historical Data Storage

1:,

Historical data may be required for regulatory or

legal reasons, independent of any use for process
or production analysis
• Loss of this data could have serious financial
consequences
• Loss may require the scrapping or disposal of product

> Data usually stored on centralized servers

• Redundant power supplies, redundant disk drives
(RAID - Reliable Array of Inexpensive Drives), maybe
redundant servers and redundant network
connections

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749
 Historical Data Storage
r

;.> Data storage sizes often run into tens of

gigabytes
• 1000 analog tags with quality status, recorded every
20 seconds, for 1 year = 10 GBytes
• Compression often used to reduce data storage
requirements

> Often includes archiving and restoring of old

data
• Long term storage is often required for productivity
analysis

Historical Data Displaying

Displaying
;.> Real-time trends displays replace strip chart records
• Often Integrated with the operator Interface
• Often Integrated with historical data to show history before the
start of the current display

:.> Historical data

• For selected dates and times, or for selected production runs
or batches

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750
 Historical Data Displaying

Displaying (continued)
• Comparisons
• Comparisons of production runs or batches
• May be combined with time-shifting, allowing the
comparison on event (start of a unit procedure)
instead of a time
• May be combined with scale.shifting, allowing
comparison of dissuralar sized production runs or
batches
> Reporting
• Historical data often included in electronic and
paper batch records, replacing physical strip chart
records

Historical Data Compression

r

> Data compression

Often used to reduce the storage space needed, but
sometimes at the expense of access speed

> Compression Techniques

• Oeadbanding

Data only stored if the values are outside of a dead band

range, the new value becomes the center of the deadband
For example, only record a temperature If It changes more
than O 5 Deg C
Deadband needs to be greater than the basic sensor
"nolse' to be effective
L _

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751
 More Compression Techniques

j Min, Max. Average

• Only the minimum, maximum, and average value over a
given period are stored

• For example, record the min, max, and average sensor

reading for a temperature over a 30 minute period

• Often useful when the data changes little, but excursions

are important

More Compression Techniques

1
Lossless compression
• Use of algorithms similar to those used in pictures,
movies
and audio files to reduce redundant data without losing
any information
• For example, only record the time and value when data
changes
Normally combined with deadbanding in order to
eliminate sensor noise

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 Summary: Data Management

.... • Historical Data Collection

• Historical Data Storage
• Historical Data Display
• Compression Concepts

\
",','
H

Notes:

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753
 True or False
Data Management
The simplest database type is called a flat file, which is an
electronic analogue of a file drawer, with one record per folder,
and no internal structure beyond the two-dimensional (row and
column) tabular structure of a spreadsheet.

Q ratse

W'!T1·i,iilM

Multiple Choice Question

An HMI should provide immediate feedback to the operator

that requested actions were seen by the controller within
----- even if the associated control action takes
longer to become effective.
Q 5-10 seconds
@ 0.5 seconds
Q 2seconds
Q 20seconds

41fi®flM

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754
 Multiple Choice Question
Operator lntertace

In a thin client (distributed) HMI architecture, the data is

typically presented on the client PC via the use of:

Q Client software loaded on the client PC in a special directory

Q SQL query builder
Q Microsoft Office applications
@ Web browser or automatically-loaded applet

WifiM#iM

Multiple Choice Question

Operator Interface

All of these should be considerations when specifying an

HMI system's physical and software configuration, EXCEPT:

Monitor size and screen resolution

@ Whether or not to use a Systems Integrator during project execution

Standard screen viewing distance

Q Requirements for double-acknowledgement of critical actions

Witil##IM

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755
 Multiple Choice Question
Data Management

When collecting historical data, the data is usually defined

in the database by the use of:

Q IP Addresses
@Tag Names

Q Computer Names.
Plant Names

WitiM#iM

Multiple Choice Question

Data Management

The type of historical data display that customarily is

thought of as a replacement for a strip chart recorder is the:

Historical Trend display

Aggrega1e Trend display

'e' Real-Time Trend display

Archive Trend display

Wffi#M

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756
 Multiple Choice Question
Data Management

What is the BEST method for providing data security for

historical processing information residing on a plant-wide
network?

@ Integrate data historian security with existing plant network security.

Q Store the data on memory sticks so information is not on the system.
Store the data on the firewall server.

Use a spyware scanner on the data.

WitilfuflM

Multiple Choice Question

Data Management

Which of the following statements describes a database

record?

Q All data related to a particular subject kept in a group

@ A single row of information in a table
QA single piece of data in a single row of a table

Q An electronic filing system

41fiMM

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757
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

ECOOM Module 19

Module 19: Deployment and Operation

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758
 --:::��
Module 19A: Operator Training

• Training Process
• Preparation
• Training Styles
• Evaluation and Improvement
rw.....-..r

Learning Objectives

} Explain the basic elements of the learning process.

2 Demonstrate trammg techniques that leverage adult learning

charactensncs.

3 Build training on existing knowledge base

4 Justify dynamic simulation to improve operator retention

5 Discuss when and how to plan for training

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759
Notes:

• While much of the benefits are anecdotal, there are hard facts and figures where
the research has been done to justify the second two. The first is done because it
is directed by regulatory directives, even though common sense dictates that
safety training is necessary.

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760
 Training Process

A successful training program requires

./ planning
./ execution
./ evaluation

Notes:

• Fitting the training into the overall project concept is an important consideration
• Benefits must be made clear to the operators so they will “buy-in”

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761
 Learning Process
> Motivation
• Requires friendly, open, atmosphere
• Requires an appropriate level of concern
> Reinforcement
• Positive reinforcement
• Negative reinforcement
l> Retention
• Ability to interpret and apply
• Directly related to amount of practice
> Transference
• Apply knowledge and skills to a new, different setting
• Is the end result of successful training

Notes:

• A non-threatening atmosphere (ability to fail without ridicule), respectful of

acquired knowledge and experience, with a level of difficulty requiring them to
think without frustration.
• Negative reinforcement may be required to change incorrect behaviors, but
positive reinforcement generally obtains better results.
• Retention varies with each person, their experience, psychology, world view, and is
an important aspect of learning. It may or not deteriorate with age, depending
upon the factors above. However, repetition is the basis for all learning, and the
more practice - the more retention

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762
1.9 Preparation

Preparation

l> Participant knowledge/skill entry level

> Audience mix
> Train the trainer
> Communicate:
• Learning objectives
• Procedures
• Training methodology

Notes:

• It is always best when trying to bring a diverse group up to a certain skill level to
have preparatory courses to bring each person to the same entry level
• It is always best not to mix supervisors and/or managers with the operators as this
will create an environment where most are not as forthcoming as they might be
regarding their own training needs.
• The trainer must be trained - and this generally takes much longer than training
the operators - after all - you k=never learn anything so well as when you have to
teach it.

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763
 Training Styles

)> Classroom Styles

r\ �/1
• Lecture •
• Discussion
• Demonstration
• Hands-on
)> On-the-Job Training
(OJT)
)> Computer Based Training
(CBT)
• Local machine based
• Internet based
)> Dynamic Simulation

Notes:

• Lecture - effective when large amounts of information must be given to a large

number of people. Basically, it is the way almost all of have been taught by since
we entered school. It is only marginally effective for small groups particularly when
try to teach skills
• Discussion - lecture, but interactive and in some cases a great deal more effective
than lecture.
• Demonstration - See is all right but do must follow shortly or effectiveness is
sacrificed
• Hands-on - the most effective method in teaching technical application skills, such
as operators, maintenance techs, etc. It involves See, Follow, Do, Evaluate
• OJT - is probably the most abused method of training, You just can’t say, “go over
there and let Fred show you the ropes.” OJT is effective when used as a follow-up
to a formal training session and has appropriate evaluation tools.
• CBT can provide an interactive environment, more of a hands-on atmosphere,
whether delivered from CD or over the Internet
• A full-fledged system simulator gives realistic practice time while not blowing up
the plant. It is, by all means, the most expensive (yet for control systems -effective).

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764
 Evaluation and Improvement

J> A most important phase. for this is the continuous

improvement point
> Requires feedback from:
• Trainee
• Job Performance
> All information is used to modify and improve the
curriculum

Notes:

• Continuous improvement is required the same as any process - to make operator

training more efficient and cost less
• The method of collecting the trainee feedback may be:
• Anonymous or Named
• Voluntary or Mandatory
• Snapshot or Longitudinal (moment in time, vs. over a period of time)
• Information gleaned is used to improve the curriculum and teaching
methodologies

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765
 Summary: Operator Training
• Training Process
• Preparation
• Training Styles
• Evaluation and Improvement

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766
 Module 198: Checkout, System Testing,
and Startup
• Safety Considerations • Factory Acceptance Testing
• Instrument Commissioning • Site Acceptance Testing
• Software Testing

Learning Objectives

}
Explain the basic elements of the learning process.

2 Demonstrate tra1n1ng techniques that leverage adult learning

characteristics.

3 Build tram1ng on ex1stmg knowledge base

4 Justify dynamrc simulation to improve operator retention

5 Discuss when and how to plan for training

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767
 Safety Considerations

;, The presumption is the system is liable to find itself in

some abnormal conditions during acceptance testing
:, These abnormal conditions cannot cause an unsafe
operating environment, either to the public at large, the
plant and its equipment, or the facility persons assigned

KEYNOTE Never work alone!

Notes:

• Electrical during startup means open cabinets and potential for contact.
• Lock-tag-and try for all affected circuitry
• Be careful of proximity to rupture disks, flanges, etc.
• Ensure protective clothing is worn at LOW extreme temperatures

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768
 Instrument Commissioning

� Receipt Verification (RV)

• Verifies device received rs device ordered
• Device meets specifications
• Device documentation is complete
� Installation Verification (IV)
• Verifies device is installed in accordance with project
documentation
� Loop Checks
• Performed for every 1/0 point
� Calibration
• Vendor
• Bench
• Field

Notes:

• These are the four areas where commissioning takes place in a startup.

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769
 Software Testing

> Any complex piece of software is not 1 OOo/o foolproof

> To be efficient use:

• Compliance with Software Development Quality
Assurance
• Compliance with programming standards
• Test against software design specifications
• Security and Cntrcal functions should be tested in each
phase

> Generate and analyze the following for adequacy:

• Historical data
• Trend data
• Reports

Notes:

• Phases = FAT (Field Acceptance Test)

= SAT (Site Acceptance Test)
= Instrument Commissioning
= qualification testing

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770
 Factory Acceptance Testing (FAT)

;.,. Used to verify system hardware. configuration. and

software has been built, assembled, and programmed
as specified
»- Performed when the system has been built, the supplier
is ready to deliver, and the end-user has reviewed:
• Appropriate documentation
• Performance Testing

Notes:

• Factory Acceptance Test = FAT

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771
 Site Acceptance Testing (SAT)

:, Demonstrates the system is working in its operational

environment and correctly interfaces other instruments
and equipment.
> Repeat possible compromised FAT elements
� Perform (now possible) holistic testing
> Interface critical elements with a Level 3 (MES) and
Level 4 (ERP) systems if applicable

Notes:

• Compromised by disassembly, shipment, and reassembly

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772
 Summary: Checkout, System Testing, and Startup

.,. .,. .,.

• Safety Considerations
• Instrument Commissioning
••
• Software Testing
• Factory Acceptance Testing
Site Acceptance Testing
[ • •J

'
�

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773
 True or False
Deptoyment and Operattofl

A formalized loop check should be documented prior to

placing any loop in service.

@True

Q False

WifidtfbM

Multiple Choice Question

Operator Training

An organization provides operators with training in HMI

software. The primary purpose of training should be to:

�. build the knowledge and skills within the operating personnel.

fulfill operator training mandated by federal, state, and local regulations.

provide competitive advantage compared to best-in-class manufacturers.

reduce organizational liability.

WffiMffiM

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774
 Multiple Choice Question
OperalOI'" Training

Evaluation of each training session by the students and

instructor is important for:

Q Having a complete personnel file.

Q Determining employee performance.
Q Training standards require the evaluations be completed.
@ Continuous improvement.

WiMMM

Multiple Choice Question

Checkout, System Testing, and Startup

A common-sense safety precaution during commissioning

and system testing is:

Refer to existing fault tree diagrams whenever there are extremely critical
Q top-level events.

'i" Know what you're working with, be smart, and never work alone.

Q Use a dosed loop information system.

Q Proceed only when there are no defects.
kifl@fiM

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775
 Multiple Choice Question
Checkout, System Testing, and Startup

The process used to verify system hardware, configuration,

and software has been built, assembled, and programmed
as specified is called:

Q Site Acceptance Testing

@ Factory Acceptance Testing
Q Control Module Testing
Q System Integration Testing

WiM#iM

Multiple Choice Question

Checkout, System Testing, and Startup

During instrument commissioning, _

verifies a device is installed in accordance with project
documentation.

Receipt Verification

Calibration

'i" Installation Verification

Loop Checks

Cffiffi,HM

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776
 Multiple Choice Question
Deployment aoo Operation

For systems built at the end-user facility, a SAT should:

employ both nondestructive and destructive testing techniques as

appropriate.

include bench calibration since vendor calibration is not performed.

include alarm and interlock testing

@ perform all elements that would normally be included in FAT.

Citi@HM

Multiple Choice Question

Operator Training

Which of the following is NOT a characteristic of adult

learning?

Q Training should be done in a comfortable setting.

@Trainers should control all decisions about learning.

Training should be life-centered and immediately transfer back to the job.

Participants should understand how they will benefit.

WitiM#il

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777
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 20

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778
 Module 20: Troubleshooting and Maintenance

Learning Objectives

I Explain the logical framework that underlies troubleshooting.

2 Explain safety aspects of troubleshooting

3 Explain the seven-step troubleshooting procedure.

4 Discuss vanous troubleshooting techniques

5 Explain how "cut-of-the-box" thinking apphes to

troubleshooting.

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779
 .- ----,.----.
Troubleshooting Safety

Troubleshooting increases the safety risk to

troubleshooter
Ensure actions are safe for you, your fellow
workers, the facility, the public
Follow company procedures!

Notes:

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780
 Logical Analysis

Five Logical Steps to resolve a maintenance problem:

. . .
The next series of slides discuss the "locate" the problem
or - troubleshooting phase

Notes:

• These are the time honored five steps to a maintenance problem’s

resolution.

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781
 Seven Step Troubleshooting Procedure

1- Define the Problem

3- Analyze the Information

4- Determine Sufficiency of Information

5- Propose a Solution
6- Test Proposed Solution
7- Repair

Notes:

• While overlapping the 5 step Logical Analysis, these steps are primarily
focused on locating the problem in the most efficient and timely manner.

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782
 Other Troubleshooting Methods

Notes:

• Substitution- substitute a known good component for a suspected bad one -

increased inventory cost/may not be the root cause of problem (might be transient,
lightning, etc)
• Fault Insertion -insert a fault instead of a known good signal and observe hoe
system responds
• Remove and Conquer - in a loosely coupled system removing devices one at a
time may resolve the problem
• Circle the Wagons - to see if an external problem, draw a boundary around device
or system and then see what interfaces cross the boundary (signals, power, etc).
• Complex to Simple- Partition system into the basic simple parts. When a non-
functioning simple part is found, evaluate for possible solution
• Consultation - use a third person - the key is to know when you have reached
your limitations of investigation
• Intuition - based on experience, threads of though may give you insight into this
particular problem
• Out-of-the-box Thinking - use of a different paradigm or concept to analyze the
problem.

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783
 Summary: Troubleshooting
('

·-------
'
Seven Step Troubleshooting Procedure
Other Troubleshooting Methods

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784
 Module 208: Maintenance
> Maintenance Activrtres

> Computerized Maintenance Management Systems

> Maintenance Categories

> Maintenance Responsibilities

> Equipment Maintenance

• Corrective
• Preventive
• Predictive

Learning Objectives

I Discuss the importance of mamtenance to optimize life cycle

costs and profits

2
Estabhsh metric to measure your crqantzetcn's performance
for companson to benchmarks and for continuous
1mprovemenl

3 Discuss guidelines for evaluating and supporting equipment.

4 Recognize reliability and availability as the most important

goals of maintenance

5 Identify different approaches to mamtenance

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 General Maintenance Activities

)- Providing corrective, preventive, and condition-based

maintenance
':, Providing equipment monitoring activities to anticipate
failure, including equipment self-check and diagnostic
activities
> Developing maintenance cost and performance
reports
> Coordinating and monitoring outside contract work
effort
> Supervision of requested maintenance

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786
 General Maintenance Activities
> Reporting on performed maintenance, including used
spare parts, maintenance labor, and maintenance costs
> Coordinating planned work with operators and
plant supervision
> Making performance verifications of production
equipment
> Calibrating production equipment and/or sensors/
actuators
> Assisting with product changeover needs that involves
equipment changes
,,_ Monitoring and updating maintenance history files

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787
 Maintenance Repair and Improvement

REPAIR IMPROVEMENT

Typically associated with

Typically associated with
re-establishing the status
adding asset value to the
quo of existing assets and
existing asset base and is
is viewed as an expense
a capitalized cost
cost

The activities performed in these two categories are often

identical, but are segregated for purposes of reporting,
accounting and asset management

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788
 Activities in Maintenance Management

Ma int nance Maintenance Maintenance Maintenance

def,n t,ons

capa1
request response

eta e
maintenance

,n enan
Maintenance
resource
tracking

Maintenance Maintenance
d1spatch11g ana�s,s
,n enan ,n enan
def1n1t1on data

-�--·
Maintenance

",: ;· '�"''"::--"'
---·- .;�; "
execution

-- -- ------·-
... ,,
Ma,ntenance level 1 2 functions

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789
 Computerized Maintenance Management

> The activities of the previous page are often

supported by computerized maintenance
management systems (CMM)
• CMMs used to reduce the paperwork associated
with maintenance

> CMMs keep track of equipment statuses, equipment

maintenance schedules, maintenance requests,
responses, and work orders
> CMM systems are used ensure the availability of
personnel, equipment and tools for both
manufacturing operations and manufacturing
operations management

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790
 4 Main Maintenance Activity Categories
1. Providing maintenance responses to immediate equipment
problems (Corrective)

2. Scheduling and performing maintenance on a periodic cycle

(Preventive)

3. Providing condition based maintenance based on

information obtained from the equipment or which can be
inferred about the equipment. This includes predictive
maintenance based on a prognosis of expected future failure
(Predictive)

4. Optimizing equipment operating performance and

efficiencies (Improvement)

Note In some mdustnes tl11s could also be considered as part of produclJon

and process ana/ys,s

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791
 Maintenance Execution Responsibilities

> Ensure that maintenance procedures and regulations are

followed during maintenance activities
> Document the status and results of the work performed
> Inform maintenance dispatching and/or detailed
maintenance scheduling when unanticipated events
result m the inability to meet the work requirements
> Confirm that the work was performed according to the
accepted quality standards. This may involve receiving
mformatron from quality operations that indicated an
unanticipated condition
> Ensure that the correct resources are used m
maintenance
> Verify that equipment and personnel certifications are
valid for the assigned tasks

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792
 What is Equipment Maintenance?

l> Action taken to keep equipment fully operational and/

or restore a system to operation after a system
failure:
• Corrective
• Preventive
• Predictive

;... Instrumentation and control systems include many

types of equipment:
• Mechanical and pneumatic
• Electrical and electronic
• Computer and cornrnurucatrons

Notes:

• Maintenance can be defined as any act that either prevents equipment failure or
malfunction, or restores operating capability following a failure or malfunction.
• Not only is maintenance preventive, predictive, or corrective, but it will be
performed on all different types of equipment.

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793
 Importance

./ Enhances a safe working environment for

employees and the public

./ Ensures product quality

./ Increases production efficiency

./ Reduces Mean Time To Repair (MTTR)

./ Increases Mean Time Between Failures (MTBF)

Notes:

• We all know that good maintenance makes everyone’s lives easier. Everyone gains
when the job is done right the first time instead of having to be done again.
• We are reminded of the adage “if it ain’t broke, don’t fix it”. Following this adage
will result in only corrective maintenance which will have serious side effects. For
example, if you wait until a large compressor crashes before you do maintenance,
the crash may cause many more problems than would have been encountered
with a good preventive/predictive maintenance program.

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794
 Types

Unscheduled or emergency maintenance

in response to a system/component
degradation or failure (affects productivity)

> All devices must be repaired and

restored to service m the quickest time
following failure or malfunction
> Usually occurs when environmental
conditions, personnel capabilities and
necessary equipment are in less than
optimal readiness
> May include troubleshooting, repair,
replacement, calibration, etc.

Notes:

• Another name for corrective maintenance is reactive maintenance. You are always
reacting to the latest failure. Finding the problem, part availability, and time are all
working against you.
• There will always be occasions when unforeseen breakdowns will occur, but they
should be the exception instead of a common occurrence.

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795
 Types

Scheduled maintenance that is planned,

with materials on hand, personnel on site,
and production planning advised

> Intended to prevent faults from occurring

during future operations
> May occur hourly, dally, weekly, monthly,
annually or at some other logical, practical
Interval
> Must be able to take equipment out of
service
> Critical instrument check - frequency?
> Non-critical Instrument check - frequency?

Notes:

• Scheduled maintenance helps prevent unscheduled actions.

• There are many scheduled actions that can only be taken care of during a major
shutdown. Actual testing of safety shutdown equipment may be an example.
• Critical instrument checks, ISO 9000 instrument checks or other plant checks can
be a part of the maintenance program.

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796
 Types

Scheduled maintenance to anticipate

when failure is going to or about to occur

> Vibration analysis

> Noise
> Oil samples
» Temperature analysis

When predtctrve maintenance practices

indicate an upcoming problem,
preventive maintenance can be
scheduled to avoid system/component
failure

Notes:

• Predictive maintenance is the process of analyzing various variable and generally

gives time before failure actually occurs. This allows these types of potential
failures to be scheduled during scheduled periods.
• There is a difference between preventive and predictive maintenance. While both
attempt to perform maintenance prior to a failure, the determination of when the
failure is going to occur is different. Preventive maintenance looks primarily at past
history of the device in a particular service. The maintenance is done based on
how long the device normally operates before failure. Predictive maintenance
measures parameters such as vibration. Historical data suggests failure when the
measured parameter exceeds a limit. Maintenance is performed before the
parameter reaches the danger limit.
• Note: Predictive maintenance coupled with preventive maintenance can
significantly increase production efficiency.

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 Summary: Maintenance
l+- 1
-;,

• Maintenance Activities
• Computerized Maintenance
Management Systems
Maintenance Categories
• Maintenance Responsibilities
• Equipment Maintenance

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798
 True or False
Troubleshooting and Maintenance

Reliability and maintenance are important goals of

maintenance.

'e' True

Q False

4!#\1

Multiple Choice Question

In troubleshooting a system failure, a suspected bad

component is replaced with a known good component. This
does not correct the problem. What is the next BEST course
of action?
@ Further analyze the problem and collect additional data as necessary.

Q Build software traps involving additional logic and code to detect the
problem.

Q Set additional alarms to pinpoint the problem.

Q Retain a consultant who specializes in this type of repair.

41fiMfuM

@2019, ISA Published by Articulate® Storyline www.articulate.com

799
 Multiple Choice Question
Maintenance

Which one of the following is NOT a maintenance execution

responsibility?

Document the status and results of the work performed.

@ Test each raw material as it is received to insure purity.

Ensure that maintenance procedures and regulations are followed during
maintenance activities.

Confirm that the work was performed according to the accepted quality
standards.

C!MffiM

Multiple Choice Question

Maintenance

Scheduled maintenance that is planned, with materials on

hand, personnel on site, and production planning advised is
what type of maintenance?

Q Corrective Maintenance
@ Preventative Maintenance
Q Predictive Maintenance
Reactive Maintenance

WitiMfiM

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800
 Multiple Choice Question
Maintenance

Which of the following is true about Corrective

Maintenance?

Q Maintenance
advance.
activities are planned and scheduled at least 1 week in

Q Occurs at regular intervals.

'• Usually occurs when environmental conditions, personnel capabilities and
necessary equipment are in less than optimal readiness.

Always requires assistance from the lab and quality control groups.

Wi#\M

Multiple Choice Question

Troubleshootlng

Which of the following is NOT part of the Five-Step

Troubleshooting process?

Locate or ,solate the problem

Fix/repair the problem

'e Analyze why the part or component failed.

Verify the repair and the systems are functional.

Citi@fiM

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801
 Multiple Choice Question
Troubleshooting

Differentiation between primary and secondary symptoms

should be done during which troubleshooting activity?

Q Proposed solutions
Problem analysis

'i' Collecting additional information

Problem definition

Citiffi.iiM

Multiple Choice Question

Troubleshooting

Cause-and-effect diagrams and control charts would be

MOST useful during which troubleshooting activity?

Q Problem definition
@ Problem analysis
Proposed solutions

Q Testing proposed solutions

w,ww

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802
 This note set is an output product for this module and includes
screen images, as well as brief instructor notes. You may find it
beneficial to print these and add your own notes as you view the
module.

EC00M Module 21

Work Structure

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803
1.4 Module 21A:

Automation Benefits and Project Justification

Module 21A:
Automation Benefits and Project Justification

Learning Objectives

} Descnbe the typical steps involved in an automation capital

project

2 Discuss the components of a hfecycle capital economic

profile.

3 Explain the vanous approaches for calculating retum on

investment (ROI)

4 Explain what the net present value (NPV) function re and

how rt rs used

5 Explain internal rate of return (IRR) and why 11 is useful

6 Explain how real-time cost accounting can help discern the

value of an automation system.

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804
 Opportunity ID and Project Justification

How to identify opportunities for

Automation benefits

-I' Brainstorming

../ Best practices

../ Dynamic Performance Measure
../ Opportunity Identification

Project Justification

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805
 Brainstorming

Get representatives of all interested groups together for

a formal session (manufacturing management, engineering,
operations, maintenance, health/safety/environmental.
and marketing)

Use a (preferably outside) experienced facilitator

List areas of potential benefits
Estimate the value and cost of each one

Priontize and implement

Battikha, N. E., The Management of Control Systems:

Justification and Technica/Aud1ting, ISA, 1992

Notes:

• This is the first technique

• It is a good technique since people in the unit often have good ideas
• However, it is limited to identifying things that the people already have some
knowledge of

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806
 Best Practices

, Things that have been judged as "good things to do"

after installation in at least several different places
./ May or may not be of value in any particular operation
./ To meet the definition, comparison is to things that have
been done in the past

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807
 Best Practice Examples

Replace "obsolete control software and hardware

Smart sensors and valves 1n key areas
Advanced controls
Asset management
Production information and scheduling
Make data more widely accessible
Integrate with MES
Integrate with business systems
"Work in progress" inventory (more measurements)
Equipment performance monitorrng

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808
 Dynamic Performance Measure

Urnt personnel work to improve on the variables

Martin, Peter G., Bottom Une Automation, ISA, 2002

Notes:

• This is also a very good technique

• It does take some effort to install the measurements necessary to quantify
and track the strategy items
• Given those measurements, there is no specific technique in the process for
getting to control improvements

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809
 Opportunity Identification

Notes:

• These are the main steps in the Opportunity Assessment process

• The key point is that this approach starts and focuses on what opportunity exists
in the manufacturing unit.
• If no one in the unit can imagine any opportunities for savings, it will probably not
be cost effective to try to do anything. That is, if the unit is operating as well as
anyone can imagine it could, then what can you improve on. You could repair all
the valves, you could better tune all the controllers, you could get every control
loop operating all the time at its highest design level, you could get the variability
of every control loop reduced to near zero, you could put advanced control on
every complex piece of equipment, you could introduce improved scheduling and
coupling of the scheduling to business systems - but why? As far as anyone knows
none of these things could make any useful improvements in the operation of the
unit.
• In other words, if no one can imagine the opportunity, they will probably not
recognize a benefit from doing something even if it did occur.
• So, let’s assume that people can come up with some gap
• It will take some good control expertise to then devise control schemes that could
at least in part close those gaps, but there are a log of good control experts in the
world and that can be done.
• Estimating, prioritizing, and defining projects is straightforward work.

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810
 Determine the Gap

:,.. Obtain the theoretical yield

> Determine the best practical

operation in every strategic area
Research expectations
Consideration of the best short term
operating experience
Analysis, vision of technical
leadership

»- Determine current average

operation
> Take the difference

Notes:

• Now going into more detail on determining the gap:

• This will take some work. It should be done by someone in the unit who is familiar
with the operation, say a process engineer assigned to making improvements in
the unit.
• One challenge is to get the assigned person to do this in a reasonable time. Likely
the next step, large meeting, will be scheduled before this gap determination work
is completely done. If the time for the large meeting arrives before this gap
determination work is done, the large meeting will have to be postponed. There is
no point of going into the large meeting without this information.

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811
 Opportunity Identification Example

Operating unit at 95°/o conversion

Believe that could operate at 97°/o conversron

• More reliable control system

• Improved operator intormafion

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812
 Justification

Capital charging rules vary

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813
Notes:

• Different managers have different degrees of tolerance for these types of

justifications

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814
 Control System Replacement

Newer system cheaper to mamtain

Modern control systems increase the process

operator's Span of Control - number of loops/
operator

Notes:

• Nearly all upgrades are justified on one of these three items or combinations of
the items
• Of course, there are those cases of generous management who will approve a
replacement project without any real justification, but we will not talk in detail
about those cases

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815
 Reasons NOT to Upgrade

:, "Obsolete" equipment (use maintenance cost instead)

> Spare parts will be too hard to find (use the cost of
stockpiling maintenance parts)
> Future maintenance costs will be too expensive (wait
until the maintenance cost or failures justify
the replacement)
> Too hard to work on the existing system (put in terms
of cost)
> Can't implement the new functionality we want (use the
benefits of those new functions)

Notes:

• Many upgrade projects get approval because the automation and control engineer
uses a scare tactic with their management.

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816
 Summary: 01 and Project Justification

opDOltun
iall,n11il1ng
• Best practices
• Dynamic Performance Measure
P.---G.....IAl.lnil' l/ ldontification
eroil! I h 1stificatioo-------.... -""'.a.

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817
 Module 21 B: Project Management

Learning Objectives

} Describe three of the most common types of contracts.

2 Explain the life cycle of a typical automation project.

'

3 Describe four key tools available to the project manager.

4 Build a project status report.

5 Analyze a project to determine true status as opposed to

apparent status.

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818
 Learning Objectives continued

6 Use preliminary information to forecast projected outcome.

7 Describe the elements m the project success triangle.

8 Discuss the concept of project phases and that certain

deliverables are required for each phase.

Explain current project reporting including earned value, cost

9 variance, schedule variance, cost periormance index,

schedule performance index (as outfined in the PMBOK,
2004).

Introduction to Projects

What is a Project
Automaaon Projects
Cullllmer and Stakeholder
OIJJecllve of

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819
 What is a Project?

v' Temporary activity

./ Creates a unique
product or service

./ You treat it like a

project

Notes:

• The official definition of a project is the first two points (PMBOK), but to be a
project also requires that you treat the activity as a project. That is, that you name
it a project, go through an approval process, etc.

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820
 Automation Projects

;,1/ Tf- t................

�

Notes:

• We have first considered all types of projects, then manufacturing facilities

projects, now automation and control projects. Most automation and control
projects, at least the type we will consider most here, are subsets of manufacturing
facilities projects.
• However, automation and control projects tend to be significant projects on their
own.
• Some automation and control projects are part of a full facility project, but even
then they have to be dealt with as something of a stand-alone activity
• More on why automation and control projects are challenging on the next slide

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821
 Automation Projects are Different
1. Big Opportunity
2. Lots of Hardware and Software
3. Technology Changes Rapidly
4. Real-Time Data Acquisition and Control, Possibly
High-Speed
5. Custom Software Development
6. Intangible Deliverables
7. High Customer Involvement and Expectations
8. Integration Across Department Lines
9. Large Potential for Interacting Changes
10. Lack of Lead Engineers' Interest and ability to work
with others
And when part of a larger proJect.
Automation ts usuaf/y completed last so it tends to get a lot of
the blame for rmssmq schedules

Notes:

• Automation and control projects tend to have several characteristics that make it
difficult to manage:
• The work includes integrating equipment, personnel and automaton systems
Business Processes across departmental lines to achieve organizational and
business objectives. Reaching agreement on this integration in advance is key to
the success of the total effort.
• The work combines the specification and procurement of many, many pieces of
hardware and software, lots of detailed installation information, with extensive
custom software work in such a way that changes in one area significantly affect
the others.
• Customer involvement in the details of the work -- operator displays, architecture,
and maintenance issues -- is usually significantly greater than in other types of
work. Late changes in the details can seriously impact schedule and cost.
• Technology changes rapidly and engineers are often doing things for the first time.
Sometimes it is very difficult to determine what can be done and how long it will
take to do it until well into the work.
• Programming efficiency can vary dramatically from one person to another and
depending on the specifics of the particular project. Thus it is difficult to make
good estimates.
• Design details can have a high impact on operability and life cycle cost and require
extensive investigation before settling on a final design.

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822
 Concept of the "Customer"

l> Ideally ONE person

>- The official contact for the project for all types
of decisions
� In manufacturing or in-house engineering group
» Experienced in operations
l> Has developed contacts in company

;, Authority to speak for company

)"' Multi-level contracts present challenges

Notes:

• The “customer” is not always easy to define simply, but is assumed to be a defined
person in operations. There may be intermediate and/or multiple customers.
• Stakeholders are all the people with a defined interest in how the project comes
out.

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823
 Concept of "Stakeholders"

:, All with an interest in the project

> Manufacturing personnel and management
> The owner company
> The team doing the engineering
> Provider company management
:, Others
• Vendors
• Community

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824
 Objectives of an Automation Project

Objectives (cont'c)

what and how

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825
 Objectives of the Project Execution

'; Scope

'; Cost

'; Schedule

'; Quality of the automation system

'; Grade of the automation system

'; Initial operating performance
'; Customer Satisfaction

Notes:

• People tend to talk about project objectives as cost and schedule, but there are
actually many objectives. These objectives of execution are the approximately the
same for all types of facilities projects
• Scope - the work to be accomplished to complete the project. This should typically
include the grade of the facility. One might think of scope as fixed, but it is always
possible to vary things slightly so as to change the cost and the time required to do
the work.
• Cost - for now, simply the project cost, but there are a lot of sub issues around
capital, expense, when the funds are spent
• Total cost of ownership (TCO) - usually means the ancillary cost that must be
spent to make the item a success. Most often used with things like putting a pc
on someone’s desk: apparent cost is the purchase cost, but TCO includes
training, networking, servers, printers, and support.
• Life cycle cost (LCC) - the total cost of the installation over its useful life. In the
absence of a specific useful life, 10 years is often used. This has to include the
initial cost plus the long-term maintenance and support including system
upgrades that might be done during the normal life of the equipment.
• Schedule - often thought of as the time when the project is finished, but PMs must
consider much more detail in the logical sequencing and timing of tasks to
complete the work that must be performed.

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826
• Quality of the engineering/construction/startup - how well the work is done as
distinguished from “grade”.
• Grade of the finished facility - how extensive/sophisticated the controls are;
degree of automation (i.e. Mercedes vs. an Escort) -often called quality, but the use
of “grade” here is a more logical meaning.
• Performance of the completed facility - like how quickly it starts up, how quickly it
reaches some percentage of rated capacity, average capacity during the first 6
months, etc.
• Customer satisfaction - how well the customer likes what is done. Under the
right circumstances the customer might be fairly satisfied with a variety of
different designs. This is one of the parameters that is “as good as possible”.

Project Workflow
� Activity I phase concepts in projects

', Best Practice phases for an automation and

control project

;.,. Why is it so important to adhere to the phase concept

> Selling the phase concept

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827
 ,/

./ Closing

Notes:

• These are typical project / project management activities.

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828
 Concept of Phases

./ Phases progress in time

./ Overlap between phases is carefully managed
./ Each phase has specific deliverables

Design
Freeze

ow
Technical
Plan
WHAT DO
ero,.ct
Plan

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829
 WHAT to do

Conception

I. Feasibility
-investigation, feasibility, justification

Approval

II. Customer Requirements Definition

• Everything the customer wants to see happen during
project execution and in the final installation
• Scope

Notes:

• The first grouping consists of the Planning and Requirements Definition phases.
• Of course, you had to also have some idea first of what you were going to do

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830
 HOW to do it

111. System Design (Front End Engineering, Basic Engineering)

How to do everything - in detail -- that will have to be
done in the project.
• Phase most often missed in automation and control

Project Planning
Planning for everything remaining to be done
(procurement, testing, simulation, checkout,
commissioning, and startup coverage)

Design Freeze

DO it

IV. Development
Detail Design
• Procurement, drawings
• Managing the Plan

Construction

V. Deployment
Manufacturing Preparations

Project closeout

VI. Operations and Maintenance

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831
 Best Practice Project Phases

Deslgi
Freeze

..�,,., .
Oro tr O!

"'
\p'�:·:�
Estimates
ccoemcson

time---

Notes:

These major headings generally follow the progress of an automation project

and cover specifically the parts of a project that automation professionals are
most involved in.
These Domain names establish a standard set of names for project phases.

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832
 Types of Contracts

Project Plan

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833
 Topics in the Project Plan

Work Breakdown Schedule Risk Management Plan

Structure Communications Plan

Cost Procurement Plan

Schedule Operator Training Plan

Resources Plan Checkout Plan

Safety Management Plan Commissioning Plan

Change Management Plan Startup Support Plan

Quality Plan Long Term Support Plan

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834
 Work Breakdown Schedule

Builds on schedule started in Requirements Definition

Careful listing of each of the tasks that will have to be

done in the remainder of the project

Go all the way through checkout and startup

Limit tasks to a small number of hours. 8 - 80 rule and

one person

Notes:

• The work breakdown is the most important part of the planning.

• The concept of breaking the work into small tasks is challenging and a lot of work,
but it is the only way to do good cost and schedule tracking during the detail
design
• It is also the best way to do an estimate and schedule at this phase

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835
 Engineering Estimate

Apply best estimate of hours to each of the tasks in the

work breakdown

Ensure that the estimates are consistent with the

experience of the people who will actually do the work
(not how fast the person might be able to do the work
him/her self)

Allow for overhead time and other commitments

Include Project Management. functional management.

and support functions

Notes:

• Once you have the work breakdown the estimate is fairly straightforward
• There seem to be two major problems
• Including all the auxiliary time like PM and Mgt.
• Getting the hourly rate right

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836
 Schedule

If each task in the work breakdown rs small (8-80 hours).

you can do a good schedule

Number of people available and can be effectively used

in the detail engineering

Dependencies are usually manageable in automation and

control work, but they do need to be taken into account

On more complex projects. use one of the many, many

very easy scheduling programs to produce bar (Gantt) or
CPM schedules

Notes:

• It is really important to hold the size of tasks down

• Dependencies means those activities which cannot start or cannot be completed
until some other activity is done
• These dependencies which are so important in large project, multi-discipline
schedules and construction schedules are not nearly as extensive in automation
and control work.
• Most automation and control work dependencies can be managed without a
complex software program
• In automation and control work, Bar chart schedules are more useful for visual
communication than they are for resolving schedule issues

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837
 Change Management Plan

Process for identifying changes from Requirements

Definition and Detail Engmeenng?

) Change Log hst1ng everything that rs a change from

expected, regardless of whose fault it rs

) Changes that are due to the customer must be

converted to change orders
Change m the plan {preferably before the work: rs done)

Lack of/late mformallon that the customer was to supply

) Change Orders must be discussed with customer

and resolved at the earhest appropriate time, not
wait until the end of the job

Notes:

• Everyone plans to do a good job of keeping up with change orders on this project,
but often we do not
• This is the time to put into place specific plans, forms, and processes for handling
changes
• The first step is to list all non-trivial impacts, regardless of how small and
regardless of whose fault they are
• Engineers tend to want to hide impacts that are their fault
• Engineers also tend to want to avoid confrontation with the customer, even for
things that the customer actually changes

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838
 Risk Management Plan
Identify risks

Develop a matrix of probability and severity

./ Work costing more or taking longer

) ./
./
Software not doing job expected
Communications not working
./ Redundancy not performing

Select criticals

Develop a response plan for each critical

)
Adjust contingency

Notes:

• One of the most effective tools, but seldom fully accomplished

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839
 Design Freeze

Means making no changes after the completion of

Front End Engineering unless:
It won't work
It is not safe
It has a 1000% rate of return

Enforced
• Management dictate
• Strict adherence to change management process
• Anything else that "needs" to be done can be done in a
follow-on project or not at all

Notes:

• The concept of a Design Freeze is understood by a large percentage of engineering

companies, but it is not really done
• To have a chance of doing a Design Freeze, you must first do a good job of Front
End Engineering so that you have something to freeze
• Then you have to have agreement with the Customer that he understands and will
adhere to the Design Freeze
• The won’t work… criteria for violating the Design Freeze are not a joke. If you really
want to achieve a good Design Freeze, this needs to be accepted
• Of course, if the customer is in a different company from the Engineering
Company, then the customer can have anything he can pay for

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840
 Management of Design

J> Gaps in the Work to Date

> Detail Design Phase
> Managing the Plan with emphasis
on:
• Cost -- Engineering labor and
Purchased items
• Schedule Managemenif t ,.
• Change Management (scope)
• Risk Management
• Customer Satisfaction anagement
> Integrated Testing and
Demonstration
> Operator Training
> Manufacturing Preparations

Notes:

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841
 Managing Engineering Labor Cost

Actual Cost expended to date (AC) has to come

from accounting

Credit for work to date should

• Be 100% for activities completed and 0% for
activities not completed -- Other approaches
cannot avoid the pitfall of thinking an activity is
near complete when if fact it is not
• Be based only on the estimate for that work
(this is "Earned Value")

Difference between expended and credit shows

whether ahead or behind

Notes:

• Labor cost is the most important thing to manage on many projects.

• Again, this can be done fairly well if there is a good work breakdown.
• Automation and control work, more than nearly any other type of work, is difficult
to measure. That is, if you have an activity of writing all the instrument
specifications, you might think you are 50% done when you have blocked out 50%
of the specifications. However, nearly always things will come up that will make it
necessary to go back on those you think you have completed. If you have an
smaller activities like gather and validate the process condition information for all
the field instruments, and only give credit for any effort when that in totally
complete, then you can do a much better job of tracking progress.

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842
 Managing Engineering Labor Cost 1,0,r,1

At any point in time, calculate the final cost as actual

cost spent to date (AC) + estimated cost to complete
(ETC)

AC:
• To be useful, that must be available weekly and near real
time
• If that is not available, the PM will have to keep books

ETC
• Original estimate for all activities in the Work Breakdown
Structure not yet completed
• Adjust based on experience m the project so far
• Re-estimate all remaining activmes

Notes:

• This is the Front End approach to keeping track of where you are.

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843
 Project Cost Curve
Cost Variance = EV • AC
Schedule Variance= EV - PV
Cost Performance Index= EV I AC
Schedule Performance Index = EV I PV
;''
,oo "•'
s ,t
/

/ �,
0

--;p.
[sv
/
'/ ....��
/,
it.
//
-v/
•• Curr:nt lime

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844
 Final Project Review

� Evaluate overall project

performance
• Execution objectives
• Project objectives

> Meet formally with the customer

to identify and record his
perspective on the project
> Use the customer satisfaction
criteria identified early in the
project
> If the accomplishment of
objectives differs from customer
satisfaction, work to resolve

Notes:

• Project Critique

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845
 Lessons Learned Process
J> Full project team meets to
review the things that were

.•i,
done especially good and the
1. things that were particular
problems
I
J> Quantify these in ways that
might be useful to future
projects
> Document for future reference

> Large engineering

organizations have databases
of lessons learned by keyword,
consider some simple filing
system for your organization

Notes:

• A Lessons Learned process is difficult to do well

• It is also easy to get to involved in the formality of such a process
• A few years ago one engineering company set up an elaborate Lessons Learned
process with a large, complex, custom programmed database, lots of training, and
a full time administrator. Within a year this program had died under its own weight
• Another engineering organization put together a TIPS program where each
engineer was required to come up with two entries each year. Some pretty poor
things were put into the system under that program.
• The key here is for the project team to just get together, identify those things that
are worth preserving, and document them efficiently
• Then it would be at least good to have a single place to put those together

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846
Notes:

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847
 rganizational
Relationships
• Leadership
Teamwork

•
•
• Files
• Personal time manageme

Learning Objectives
} Present effectively and wnte technical reports.

2 Communicate to influence co-workers.

3 Develop interpersonal skills to work with people

4 Interview and select automation professionals

5 Motivate and work effectively with other people.

6 Lead teams and meetings.

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848
 _.. .:-=---=�
Organizational Relationships

Within engineering
• Process with design
• Project management with design
• Engineering with specialized
groups (contracts, procurement)
....._,, Within the company
mil • Company engineering with
"plant"
• Engineering with marketing
• Engineering with manufacturing
management
• Engineering with company
management
• IT with engineering

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849
 Organizational Relationships connnued

Within the plant

• Manufacturing,
Engineering,
Maintenance

For the project

• Owner engineering vs.
Contractor engineering
• Engineering vs.
equipment suppliers

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850
 Leadership Role of the Lead

Notes:

• The PM or the lead automation and control engineer must be the team lead for
activities of his/her team. It is not satisfactory for this to be done as a self-directed
team
• The lead must take absolute responsibility for managing the results of the project
or his/her section of the project
• Communication is very important

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851
 Teamwork
• Everyone participate.
everyone support
• Communicate up, down and
across - no secrets
• Team building workshop can
help
• Periodic meetings are a must
• Forms of decision making
• Leader dictate, majority,
consensus, live with stated
decision
• Decision making processes
• Roles and Responsibilities
• Generate, Consult, Inform,
Approve

Notes:

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 Meetings
• Can be in person or teleconference
• Kick-off meeting to validate desired results
• Team building workshop (team alignment meeting) early
in the project
• Periodic team meetings - weekly
• Practice good meeting facilitation (advance agenda,

I � ., •
facilities, use a good decision process, issue minutes)_r.-,

Notes:

• Kick-off meeting
• Include management and stakeholders associated with the project
• Introduce team members and stakeholders
• Establish Front End objectives of the project
• Identify contact personnel
• Identify lines of communication
• Team building workshop early in the project
• Include only those who will actually work with the project (design engineers,
customer, etc.)
• As soon as most of the team is assigned
• Focus on objectives of the project, roles & responsibilities not team building
exercises
• Outside facilitator is a good idea

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• Team meetings - Weekly?
• How to do meetings
• Advance information/agenda
• Facilities
• Chair effectively
• Discuss safety
• Start/stop on time & stick to agenda
• Right level of discussion
• PM lead
• Decision process
• Minutes
• DEVELOPERS OPINION - Not having chairs is an effective way to limit meeting times.

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•

Forms

Project initiation and a

Change Order
Transmittal
Impact log
Contact log
Meeting minutes

Notes:

• Ideally your company will develop a culture of Project Management that includes
some standard forms
• If not, then you need to develop at least some forms for your project

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 Reports
)., What - written or verbal
� Whoto-
� When - frequency (at least monthly)
);;,, How
• Include meaningful, easy to understand cost and schedule
information, scope changes, and latest customer satisfaction
rating
• List issues and status of issues

Notes:

• It would be a big mistake to not generate written reports, whether or not

they are a requirement of the project

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 Files
:.. Electronic and/or paper
> Common drive or in PM's/engineer's office
> Structure - follow a set format standard
> PM overall responsibility for files

Notes:

• Legal requirements in your company may make some files paper

• Internet templates are a very good way to have files with universal access
• You must have a plan for files
• All necessary files should have common access
• Private files in one’s office must be only duplicates of required information

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1.64 Personal Time Management

Personal Time Management

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 True or False
Work Structure

A facilitator's role in project meetings with other

automation professionals is to keep the group on agenda.

@True

Q False

WitiMhM

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 Multiple Choice Question
Work Structure

Which of the following does NOT describe how an

Automation project is different from other types of
projects?
Q Automation projects have a lot of intangible deliverables.
@Automation projects do not require planning or controlling activities.

Q Automation projects require integration across department lines.

Q Automation projects have a large potential for interacting changes.

41fiMfiM

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 Multiple Choice Question
Work Structure

The project "stakeholders" can BEST be described as:

@ All persons with a vested interest in the project.

Q A tight-knit group of community leaders.
Q Disinterested third party suppliers and contractors.
Q Those who visit the company website.

WitiMhM

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 Multiple Choice Question
Work Structure

The five basic project management activities are:

Q Budgeting, Forecasting, Executing, Marketing, Closing

@ Initiating, Planning, Executing, Controlling, Closing
Q Forecasting, Planning, Commissioning, Startup, Closing
Q Initiating, Design, Construction, Startup, Turnover

WitiMhM

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 Multiple Choice Question
Work Structure

The Work Breakdown Schedule:

Q Is not required for large projects.

Q Is dependent upon an ERP system to manage the schedule.
@ Builds on schedule started in Requirements Definition.
Q Typically is not part of the Project Planning activity.

WitiMhM

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 Multiple Choice Question
Work Structure

Design Freeze:

Q Is never achieved, so it is never added to the project plan.

@ Means making no changes after the completion of Front End Engineering

unless strict change management procedures are followed.

Q Occurs between the Definition and System Design project phases.

Q Allows for changes to be made freely by any project team as long as they
are communicated to project management.

WitiMfiM

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 Multiple Choice Question
Work Structure

What constraints do automation projects work under?

@Time-driven

Q Fixed cost and turnkey

Q Hybrid and cost
Q T&M "not to exceed"

WitiMhM

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 Multiple Choice Question
Work Structure

During which phase of a project's life cycle in the ISA CAP

program's model might an engineering firm tour the client
site and interview key stakeholders to better understand
the project need?

Q Feasibility study
Q System design
@ Project definition
Q Software development

WitiMfiM

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 Related Courses from ISA

All ISA courses are available any time as

on-site training.

For more information: www.isa.org/training

or (919) 549-8411

Other Related Resources from ISA

Certified Automation Professional (CAP)

Study Guide from ISA Press

For more information about the benefits of an ISA

membership: http://www.isa.org/membership/
meminfo or (919) 549-8411

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