Copyright © IFAC System Identification

Santa Barbara, California, USA, 2000

RECURSIVE IDENTIFICATION OF ACTIVATED

SLUDGE W A S T E W A T E R TREATMENT PLANTS

Oscar A. Zanabria Sotomayor*,l Song W . P a r k *

C l a u d i o G a r c i a **

* L S C P - Department of Chemical Engineering

** LA C - Department of Electronic Engineering
Polytechnic School of the University of $5o Paulo, Brazil
E-mail: oscar@lscp.pqi, ep. usp. br

Abstract: The activated sludge wastewater t r e a t m e n t plants are complex systems,

incorporating a large number of biological, physical-chemical and biochemical pro-
cesses t h a t are difficult to supervise and control. Hence, there is a great interest in
obtain adequate models for purpose of control. In this p a p e r is performed on-line
identification of two i m p o r t a n t variables of the activated sludge process: the nitrate
and the dissolved oxygen concentrations. The identification is made employing the
continuous-discrete Extended K a l m a n Filter. The obtained model p a r a m e t e r s are
applied to compare the process response and shows a good fitting to real data. The
models m a y be used to implement advanced control strategies.

Keywords: Waste treatment, Water pollution, Identification, Extended K a l m a n

filters, Nonlinear systems, Reduced-order models

1. I N T R O D U C T I O N Two important variables of the process to be con-

The activated sludge process is the biological pro-
cess more used to t r e a t the wastewater, either
domestic or industrial. Its objective is to achieve
a sufficiently low biodegradable m a t t e r concen-
tration and low nutrients concentration in the
outflow together with minimal sludge production,
minimizing the use of energy and operational cost.
Theses process are large and very complex sys-
tems subject to strong variations in the inflow
and composition of the incoming wastewater t h a t
are not well known. The process is multivariable,
with m a n y cross couplings and nonlinear. The dy-
namics depends on the variability of the influent,
the complexity of the biological, physical-chemical
and bio-chemical phenomena. Other problem is
t h a t the process has a large range of time con-
stants (from a few minutes to several days).
trolled are (Cost-624, 1998): the dissolved oxygen
concentration (DOC) and the nitrate concentra-
tion. The DOC in the aerobic zone of an acti-
vated sludge process must be sufficient to supply
enough oxygen to the microorganisms, in such
a way t h a t the organic m a t t e r be degraded and
the a m m o n i u m be converted in nitrate, the ni-
trate concentration in an anoxic zone must be
controlled to keep a sufficiently low effluent nitrate
concentration.
This paper demostrates the application of the
Extended K a l m a n Filter in the iterative adjusts
of unknown p a r a m e t e r s of reduced order models
corresponding to the nitrate concentration and
DOC in activated sludge processes. The objective
is obtaining adequate models t h a t m a y be used to
implement advanced control strategies.

1 FinantiaI support of FAPESP (98/12375-7)

 2. T H E ACTIVATED SLUDGE PROCESS
The activated sludge process (ASP) is a biological
process in which microorganisms oxidize and min-
eralize the organic matter. Those microorganisms
are kept by the air that is injected in the tank and
by the use of agitators. The oxygen is used by
the microorganisms the oxidize the organic ma-
terial. Aiming to keep the microbial population,
the sludge of the secondary settler is recirculated
to the aeration tank. The biomass concentration
is controlled by the flow rate of sludge in excess.
Besides, the sludge in excess. Besides, the sludge
in excess is removed to avoid sludge in the flowing
water and to keep constant the concentration of
solids in suspension.
An ASP, in a configuration with pre-denitrification
for removal of organic m a t t e r and nitrogen from
domestic wastewater, is shown in figure (1). The
configuration is formed by a bioreactor, composed
of an anoxic zone and two aerobic zones, and a
secondary settler. The compartments of the biore-
actor are considered to have constant volume (15
m 3 each) and to be ideally mixed whereas the
secondary settler (20 m 3) is modeled employing
a series of 10 layers (one-dimensional model). The
influent flow Qi~,t is 4.17 m3/h, with a proportion
of biodegradable organic matter of 224 m g C O D / 1
and a hydraulic retention time of 15.6 h. The
internal recycle flow rate Qi,u = 2Qin, the ex-
ternal recycle flow rate Qst = 0.8Qin and the
wastage flow rate is Q~=0.0258 m3/h. The air
flow rate in aerobic zones are: QaiT1 =10.15 m 3 / h
and Qair2=6.7 m3 /h, respectively.
Fig. 1. ASP configuration
The model for each bioreactor zone is based on
the IAWQ model No. 1 (Henze et al., 1987) and
for the settler on the double exponential settling
velocity model (Tak£cs et al., 1991). The values of
the process parameters are here omitted but can
be found on Zanabria et al. (1999).
3. T H E E X T E N D E D KALMAN F I L T E R
The Kalman filter (Kalman, 1960) is a set of
mathematical equations that provides an effi-
cient computational (recursive) solution of least-
squares method.
Extended Kalman Filters (EKF) are a logical
generalization of linear Kalman filters for the case
where the system dynamics vary with operating
and control point in non-linear systems.
Next are presented the set of equations that
describe the EKF. For more details, see (Ljung,
1979) and (Ljung and Soderstrom, 1983).
Prediction error:
e(t) = v(t) -
Kalman gain:
P(t -1)O(t)
K ( t ) --
r2 + (bT(t)P(t - 1)¢(t)
Prediction error covariance matrix:
P(t) = [I - K ( t ) ¢ T ( t ) ] P ( t - 1) + R1
Estimated parameter vector:
O(t) = 0(t - 1) + g ( t ) e ( t )
4. I D E N T I F I C A T I O N OF T H E N I T R A T E
CONCENTRATION
The IAWQ model No. 1 is very complex, contain-
ing 13 nonlinear coupled differential equations and
10 parameters to be used in on-line identification
and control.
The first principles equation, corresponding to
IAWQ model No. 1, that describe the concentra-
tion of nitrate in the anoxic zone is presented.
Assuming zero dissolved oxygen concentration,
which is reasonable for an anoxic zone, the fol-
lowing equation is obtained:
dSNo ( 1 - - YH )( SS )( SNO )
dt +
~H~gXBH + TQ i~. 'S NOin SNO) "~ - -
Oin~ ' S
V No, o, - SNO) +
~1 (SNO,, -- SNO) (1)
As can be seen in equation (1) the gain of the pro-
cess varies with the Ss, SNO and XBH concentra-
tions. It also depends on time varying parameters
as K s and KNO, and flow rates. Since there are
so many uncertainties in the process, we prefer to
estimate the process using a reduced order model.
Jeppsson (1996) proposed a reduced order model
of the IAWQ model, with 5 state veriables and 6
parameteres that have to be estimated.
The correspondiong reduced order model equation
that describes the nitrate concentration dynamics
in the anoxic zone is given by the following ex- influent and the flows Qin and Q~t are kept con-
pression: stant.
The disturbing flow used in the identification,
dSNO 1-- YH the output (continuous line), the identified output
dt 2.86-~H r H X c o D X B H -k"
(dotted line) and the estimated parameters are
Qin / o shown in figure (2).
K k ° g o i " -- SNO) -t-
~int
g (SNOi~t -- SNO) + 15

Qsl *S
~7 I NO~, -- SNO) (2)
~io
This equation is used for identification of the
nitrate concentration considering the following 5 I0 15 20 5 10 15 20
time (h) time {h}
assumptions:
0.997 1
• the XcoD variable is measurable and equal q.g
to Ss variable. In practice COD measure- 0,9965

~0.8
ments are often considered to be equal to the 0.906
~0.7
amount of Ss; 0.0955
"EO'6
• the XBH variable is considered constant and 0,995
0.5
equal to their respective mean value. This
0.9945 0.4
is assumed because of the non-existence of 10
time (h)
15 20 5 10
time {h)
15 20

heterotrophic biomass sensors. Besides, the

relative variation of this variable is minimum
(with exception of a strong change in the
concentration of Ss, pH or toxic elements in
the influent, in which c a s e XBH considerably
varies);
• the flows and the nitrate concentration mea-
surements in Qin, Qint and Qst are available.
The parameters YH and rH need are esti-
mated. All sensor dynamics are neglected.
The identification procedure is processed on-line,
in open loop, through a continuous-discrete E K F
with a variable forgetting factor (Fortescue et
Fig. 2. Identification of the reduced order model
for nitrate concentration
Aiming to compare the obtained model with the
process, in order to be used in control, the process
and the model were submitted to a disturbing
sequence in Qint, considering YH = 0.995 and
rH = 0.6 I/(mg.h). the reduced order model (dot-
ted line) adequately adjusts itself to the process
response (continuous line) as shown in figure (3).
31o -

al., 1981). The paranmter vector gradient of the E

prediction error are determined by:

0 T (t) = [YH, rH]

:[ o 2 4 6 a m
hme( h}
12
IJ
14 16 18 20

and

¢(t, 0) =
•tXBHXCOD
2.86
rH ~H
YH--1
1] 3

0 2
/

YH
respectively, and the input signal corresponds to
random variations in the internal recycle flow (rich
in nitrate), having as mininmm and maximum
values 0.1 and 1.9 times the nominal value of
Qi~t respectively. The initial parameter vector is
0(0) = [1, 1]r and the initial covariance matrix is
P(O) = diag(lO 6, 106). The observed noise covari-
ance matrix is R1 = 0 and the minimal forget-
ting factor is 0.95. The selected sampling time is
At = 3.12 min., that is approximately 1/10 of the
open loop response time constant to a 50% step
variation in the internal recycle flow, in nominal
operational conditions. The concentrations of the
4 B s i l°h)p( 12 14
Fig. 3. Response comparison of the reduced order
model and the process
This model has been successfully used to control
the nitrate recycle flow rate in a pre-denitrifying
activated sludge process (Zanabria et al., 2000).
5. I D E N T I F I C A T I O N OF T H E DISSOLVED
OXYGEN C O N C E N T R A T I O N
The rigorous IAWQ model that describe the dis-
solved oxygen concentration, in aerobic environ-
ment, is given by the following equation:
dSo ( 1 - YH ,~( Ss ,~ So observed noise covariance matrix is R1 = 0 and
d----t- - " - - ~ - - ' " K s + S s " ( KOH + SO ) the minimal forgetting factor is 0.95. The selected
(4.57 - YA SNH sampling time is At = 16.56 sec., that is approx-
UHXB. - Y~ )( KNH + SNH ) imately 1/10 of the open loop response time con-
stant to a 50% step variations in the air injection
SO )~AXBA + Kta(So,o~ - So) flow rate. The concentrations of the influent and
( K O H "4- SO the flows Q i ( = Qin + Qint + Q~t) and Q~i~ are
Q1 (SO, -- SO) (3) kept constant.
+-V
The input data, the output (continuous line), the
As can be observed, this equation depends on
identified output (dotted line) and the estimated
several time varying variables, parameters and
parameters are shown in figure (4).
flow rates, and other uncertainties in the system.
Due to the complexity of equation (3), it was cho-
sen the following expression proposed by Bastin
and Dochain (1990):

dSo
dt- - O U R + Kla(So, at - So) +

Q__L(So, - So) (4) 2 4 6 2 4 6

V time {h) time Oh)

The equation (4) is used for identification of the

DOC in the last aerobic zone, taking the following l
601
i
assumptions:
• the OUR (oxygen utilization rate) or bacte-
rial respiration rate is available; ~Q

• the oxygen transfer function Kta is assumed

to depend nonlinearly on the airflow rate and 2 4
time {h)
6 2 4
time (h)
6

has the following form (Lindberg, 1997):

Fig. 4. Identification of DOC dynamics
K'a= k' (1-exp ( -k2Qa''~'~1000
]]

• DOC measurement in the aerobic zones are
available, the sensor dynamics are neglected.
The procedure of identification applies a continuous-
discrete E K F algorithm with variable forgetting
factor, where the parameter vector and the gradi-
ent of the prediction error are:
0~(t) = [k~, k:]
and
To compare the response of the identified model
with the response of the process, each model and
process were submitted to a disturbance sequence
in Qai,-2, considering the parameter values kl =
49.45 h -1 and k2 = 34.12 h / m 3. the obtained
model (dotted line) adjusts perfectly to the pro-
cess response (continuous line) as shown in figure
(5). Figure 6 show that the estimated oxygen
transfer function (dotted line) is very close to the
value Kin of the process continuous line).

¢(t, 6) = , s t ( S o . o , - So(t 1)) -

[1 - ~xp(-o4t)) ~8
"L ~(t)~zp(-oO ] gz

respectively, with: , i i i i i
0 1 2 3 4 6 ~ 8 !
brae (h)
k2Qoir2(t - 1)
ok(t) =
1000
3
kl Qai~ (t - 1)
/~(t) =
1000

The input signal correspond to random pertur- timm (h)

bation in the air injection flow, between 0.5 and

1.5 times the nominal value of Qair2. The initial Fig. 5. Real and estimated values of the DOC
parameter vector is 0(0) = [10, 10] T, the initial
covariance matrix is P(O) = diag(106,106), the

~a-~b~bed
3 7 I
Fig. 6. Real and estimated values of the Kla
function
6. CONCLUSIONS
According to the results obtained, the identifi-
cation technique employed was successful and it
is a promising tool for the implementation of
advanced control strategies when regulating the
nitrate and the dissolved oxygen concentrations
in the wastewater treatment plants.
Nomenclature:
XBH Heterotrophic biomass [ms~l]
XBA Autotrophic biomass [rag~l]
XCOD Biodegradable organic matter [mg/l]
SNH Soluble ammonium nitrogen [mg/l]
Ss Soluble biodegradable substrate [mg/l]
SNO Soluble nitrate nitrogen [mg/l]
So Dissolved oxygen concentration (DOC) [my~l]
Sol DOC in the first aerobic zone [mg/l]
So.at Saturated oxygen concentration [mg/l]
OUR Respiration rate [mg/1.h]
Ks Half saturation coefficient (hsc) for het-
erotrophs [mg /1]
KNH Ammonium hsc for autotrophs [mg/l]
KNo Nitrate hsc for denitrifying heterotrophs
ling/t]
KoH Oxygen hsc for heterotrophs [mg/l]
KOA Oxygen hsc for autotrophs [mg/l]
YH Yield factor for heterotrophic biomass
YA Yield factor for autotrophic biomass
rH Reaction rate for heterotrophs [l/mg.h]
~H Maximum growth rate for heterotrophs [h -1]
ttA Maximum growth rate for autotrophs [h -1]
~g Correction factor for #H under anoxic condi-
tions
Q Flow rate [m3/h]
Qairl Air flow rate in the first aerobic zone
[m3/h]
Q~2 Air flow rate in the second aerobic zone
[m3/h]
V Volume of the zone [m 3]
Kla Oxygen transfer function [h -1]
kl Oxygen transfer function parameter [h -1]
k2 Oxygen transfer function parameter [h/m 3]
subscript:
in Wastewater inflow
int Internal recycle
sl Sludge recycle
7. REFERENCES
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