Preface

GOAL

The goal of Introduction to Control System Technology is to provide both a textbook on the
subject and a reference that engineers and technicians can include in their personal libraries.
This text can help s~dents master the concepts and language of control and help engineers
and technicians analyze and design control systems. The text covers the tenninology, con­
"epts, principles, procedures, and computations used by engineers and technicians to analyze,
select, specify, design, and maintain control systems. Emphasis is on the application of es­
tablished methods with the aid of examples and computer programs.

EVOLUTION OFTEXT

The writing of this text began 34 years ago when I faced the challenge of developing and
teaching a control systems course in a 2-year engineering technology program. I had just en­
tered the teaching profession after 10 years as a research engineer at General Mills, where I
had become fascinated with control systems. I was especially intrigued by the combined elec­
trical, mechanical, thennal, liquid, and gas elements in the mathematical models used to an­
alyze and design control systems. This fascination led to the completion of an evening MSEE
program with a major in control systems and a hands-on design course at Brown Institute in
Philadelphia. In my course work, we used straight-line Bode diagrams to design control sys­
tems. This method works very well for processes with dead-time lags. The graphical approach
gives the designer an "intuitive feel" of the way the controller changes the frequency response
of the system. I found that this "feel" was very helpful working on plant start-ups. Indeed, the
greatest benefit from learning the frequency-response design method was the understanding
and judgment it imparted. It made me a much better engineer.
You can imagine the excitement with which I approached the teaching of my favorite
subject. I wanted my students to feel that excitement. I wanted to impart some of the feeling
and judgmentthat I acquired from frequency-response design of a control system. There was

iii
iv • Preface

one major obstacle, however. There was no suitable text for my students. So I wrote 100 pages
of notes on control fundamentals with emphasis on graphical design using straight-line Bode
diagrams. These notes were the genesis of this text. The thrust of the notes was to bring stu­
dents to the point where they could complete frequency-response design of control systems
•under my direction. My role was that of a control engineer, and my students were my engi­
neering technicians. Those 100 pages of notes have grown to become the seventh edition of
a 700-page textbook, but the thrust has not changed. The thrust of this text is to bring students
to the point where they can complete computer-aided, frequency-response design of control
systems under the direction of their instructor or control engineer.
Frequency-response graphs are constructed from the transfer functions of the system com­
ponents. The chapters on common elements and Laplace transforms were written to give stu­
dents the foundation required to determine these transfer functions. Analogies were used to de­
velop common elements for modeling and analyzing electrical, thermal, mechanical, and fluid
flow elements. These analogies helped students translate their knowledge of one type of com­
ponent to components of other types . The parts on measurement, manipulation, and control ex­
tended the students' mastery of transfer functions and developed their ability to select, specify,
and design measuring and manipulating systems. Finally, we reached the point where the stu­
dents actually began the graphical design process. The frequency-response (or Bode) design
method worked very well, but constructing and reconstructing Bode diagrams is very tedious
and time consuming. By the time the students learned how to construct Bode diagrams, there
was little time or energy left to learn how to design the controller. My goal was unfulfilled.
Then I had a dream. My dream was a computer program that would construct the Bode
diagrams so that students, technicians, and engineers could concentrate on the design of the
controller. The first attempt to realize my dream was a FORTRAN program that generated
frequency-response data from the open-loop transfer function. The program made all the de­
sign decisions, and all the student had to do was input the transfer function. As an engineer­
ing tool , it was great, but as a teaching tool, it failed . Students could complete the design very
well, but they did not understand the results . When design exceptions required an override of
the program's results, students had no idea what to do--no pain but no gain.
The first program did too much, and the students did too little. The next program gener­
ated tables of frequency-response data that the students used to draw the Bode diagrams. It
was not as good an engineering tool but was a much better teaching tool. Drawing the graphs
took time, but the students did understand the design process.
The third version of the program uses the graphing capabilities of the QuickBASIC pro­
gramming language. The program DESIGN is an interactive program that plots frequency­
response graphs on the screen and accepts user inputs of the control modes. This program em­
ulates the classical Bode design method with precise plots based on the transfer functions of
the system components. The designer observes how each control mode changes the shape of
the open-loop frequency response of the system. On-screen design decision data allow the de­
signer to determine PID control mode values, which can be easily changed in a "what-if'
analysis. This enables the designer to use a "design-by-trial" procedure to search for the best
I
possible control system design. It worked; my dream was fulfilled. DESIGN is both a good
engineering design tool and a good teaching tool.
This text was developed to facilitate the education of engineering technicians. Its purpose
is to train technicians who understand the language and methods used by engineers, techni-
I
I

I
 • Preface v

cians who can use established methods to complete engineering design work under the di­
rection of a control engineer.
I believe an essential part of the education of the engineering technician is to develop the
ability to communicate with engineers using their language. Mathematical terms are an es­
sential part of this language. The engineering technician must understand and be comfortable
with terms such as derivative, integral, transfer function, frequency domain, and Lnplace
transform-not at the theoretical level, of course, but certainly at the applied level. A goal of
this text is to develop an understanding of the language of control, including the mathemati­
cal terms mentioned.

COMPUTER DISK ANCILLARY

The disk packaged with this text contains QuickBASIC and executable versions of the four
programs used in the text. No knowledge of QuickBasic is required to use the executable ver­
sions of the programs. They can be executed directly from DOS on any IBM-compatible com­
puter. You may make copies of these programs and distribute them as you wish. I hope
you enjoy using the programs as much as I enjoyed creating them. The following files are on
the disk.

QuickBASIC VersIon Executable Version Text File

BODE.BAS BODE.EXE HOWTOUSE.EXT

DESIGN.BAS DESIGNl.HLP
DESIGN2.HLP
LIQRESIS.BAS LIQRESIS.HLP
THERMRES.BAS THERMRES.EXE

You can run the executable versions directly from DOS on any IBM-compatible Pc. Just
type the file name at the DOS prompt and press the < Enter> key. For example, the follow­
ing command will run the program DESIGN from a disk in the A: drive:
A:\ ) DESIGN
The file HOWTOUSE.TXT is a DOS text file that contains directions on using the pro­
grams. You can print this file from DOS with the following command:
A:\TYPE HOWTOUSE.TXT ) PRN
You can also use Word, WordPerfect, or any other word processor to examine and print
HOWTOUSE. TXT.

CHANGES TO THIS EDITION

The primary emphasis for the seventh edition was a complete rework of the exercises at the
end of each chapter. Every section was examined, and every question was reviewed. Numer­
vi • Preface

ous exercises were added to provide students with multiple opportunities to develop their
grasp of the material.
The review also provided ample opportunities to improve the clarity and accuracy of the
text. Example 16.3, a walk-through of a run of program Design, was revised to provide bet­
ter integration of the text and figures.
Most of the material in Appendix C, "Binary Codes," was deleted because most review­
ers felt the material was covered in other courses. Only seven binary tables were retained as
reference material.

ORGANIZATION

The book consists of five parts. Part One is an introduction to the terminology, concepts, and
methods used to describe control systems. Parts Two, Three, and Four cover the three opera­
tions of control: measurement, manipulation, and control. Part Five is concerned with the
analysis and design of control systems. Each chapter begins with a set of learning objectives
and ends with a glossary of terms. There is sufficient material for a two-semester course, and
there are a number of possible sequences of selected chapters for a one-semester course. The
following are some suggested sequences for one- and two-semester courses.

Suggested One-Semester Sequences

A. Process Control Analysis and Design:

Chapters 1-5,6.1-6.3,9.4,9.5,13.1-13.3,14,5.1-15.9,16.1-16.6
B. Servo Control Analysis and Design:
Chapters 1-5,6.1-6.3,9.3,10,13,14,15,16. 1,16.5-16.7
C. Sequential and PID Control:
Chapters 1,2,5,9, 10.4, II, 12, 13, 16.1-16.4
D. Data Acquisition and Control:

Chapters 1,2,5,6,7,8, 13, 16.1-16.4

Suggested Two-Semester Sequence

Semester I: Data Acquisition: Chapters 1-8

Semester 2: Control: Chapters 9-16

ACKNOWLEDGMENTS

I would like to acknowledge and thank the many people who supported me in the preparation of
this book. My wife, Betty, has been wonderfully patient and understanding throughout the pro­
ject. My children, Mark, Karen, and Paul, were always patient, understanding, and supportive.
Special recognition must go to the following for their suggestions, criticisms, and sup­
port over the past several editions: Ernest G. Carlson, Don Craighead, Keith D. Graham, Tom
• Preface vii

Loftus, Jack Hunger, Samuel Kraemer, and Ed Lawrence. Thanks also to Debbie Yarnell, ex­
ecutive editor at Prentice Hall, and Louise Sette.
I would also like to thank the reviewers of this edition for their excellent comments and
suggestions: A. G. Chassiakos, California State University-Long Beach; Dr. Lee Rosenthal,
Fairleigh Dickinson University; and Kenneth Exworthy, Northeast Wisconsin Technical
College.
Robert N. Bateson
 Contents

PART ONE
• INTRODUCTION

CHAPTER 1 Basic Concepts and Terminology 1

1.1 Introduction 2

1.2 Block Diagrams and Transfer Functions 3

1.3 Open-Loop Control 7

1.4 Closed-Loop Control: Feedback 8

1.5 Control System Drawings 15

1.6 Nonlinearities 17

1.7 Benefits of Automatic Control 20

1.8 Load Changes 21

1.9 Damping and Instability 22

1.10 Objectives of a Control System 23

1.11 Criteria of Good Control 24

1.12 Block Diagram Simplification 26

CHAPTER 2 Types of Control 36

2.1 Introduction 37

2.2 Analog and Digital Control 38

2.3 Regulator and Follow-Up Systems 39

2.4 Process Control 39

2.5 Servomechanisms 44

2.6 Sequential Control 47

2.7 Numerical Control 49

2.8 Robotics 51

ix
x • Contents

2.9 The Evolution of Control Systems 55

2.10 Examples of Control Systems 57

CHAPTER 3 'rhe Common Elements of System Components 69

3.1 Introduction 70

3.2 Electrical Elements 72

3.3 Liquid Flow Elements 79

3.4 Gas Flow Elements 89

3.5 Thermal Elements 93

3.6 Mechanical Elements 100

CHAPTER 4 Laplace Transforms and Transfer Functions 113

4.1 Introduction 114

4.2 Input/ Output Relationships 115

4.3 Laplace Transforms 124

4.4 Inverse Laplace Transforms 132

4.5 Transfer Functions 136

4.6 Initial and Final Value Theorems 140

4.7 Frequency Response: Bode Plots 141

PART TWO • MEASUREMENT

CHAPTER 5 Measuring Instrument Characteristics 153

5.1 Introduction 154

5.2 Statistics 154

5.3 Operating Characteristics 155

5.4 Static Characteristics 157

5.5 Dynamic Characteristics 162

5.6 Selection Criteria 172

CHAPTER 6 Signal Conditioning 181

6.1 Introduction 182

6.2 The Operational Amplifier 183

6.3 Op-Amp Circuits 188

6.4 Analog Signal Conditioning 203

6.5 Digital Signaling Conditioning 224 ./

CHAPTER 7 Position, Motion, and Force Sensors 250

7.1 Introduction 251

7.2 Position and Displacement Measurement 252

 • Contents xi

7.3 Velocity Measurement 270

7A Acceleration Measurement 273

7.5 Force Measurement 276

CHAPTER 8 Process Variable Sensors 285

8.1 Temperature Measurement 286

8.2 Flow Rate Measurement 303

8.3 Pressure Measurement 308

804 Liquid Level Measurement 312

PART THREE
•
MANIPULATION

CHAPTER 9 Switches, Actuators, Valves, and Heaters 321

9.1 Mechanical Switching Components 322

9.2 Solid-State Components 326

9.3 Hydraulic and Pneumatic Valves and Actuators 336

904 Control Valves 344

9.5 Electric Heating Elements 352

CHAPTER 10 Electric Motors 363

10.1 Introduction 364

10.2 AC Motors 370

10.3 DC Motors 377

lOA Stepping Motors 396

10.5 AC Adjustable-Speed Drives 402

10.6 DC Motor Amplifiers and Drives 407

PART FOUR
• CONTROL

CHAPTER 11 Control of Discrete Processes 417

11.1 Introduction 418

11.2 Time-Driven Sequential Processes 419

11.3 Event-Driven Sequential Processes 421

1104 Time/Event-Driven Sequential Processes 435

CHAPTER 12 Programmable Logic Controllers 442

12.1 Introduction 443

12.2 PLC Hardwarev 446

xii • Contents

12.3 PLC Programming and Operation 449

12.4 PLC Programming Functions 454

CHAPTER 13 Control of Continuous Processes 472

13.1 Introduction 473

13.2 Modes of Control 476

13.3 Electronic Analog Controllers 500

13.4 Digital Controllers 504

13.5 Advanced Control 509

13.6 Fuzzy Logic Controllers 513

PART FIVE
• ANALYSIS AND DESIGN

CHAPTER 14 Process Characteristics 515

14.1 Introduction 526

14.2 The Integral or Ramp Process 527

14.3 The First-Order Lag Process 531

14.4 The Second-Order Lag Process 542

14.5 The Dead-Time Process 555

14.6 The First-Order Lag Plus Dead-Time Process 558

CHAPTER 15 Methods of Analysis 565

15.1 Introduction 566

15.2 Overall Bode Diagram of Several Components 567

15.3 Open-Loop Bode Diagrams 570

15.4 Closed-Loop Bode Diagrams 571

15.5 Error Ratio and Deviation Ratio 575

15.6 Computer-Aided Bode Plots 578

15.7 Stability 587

15.8 Gain and Phase Margin 588

15.9 Nyquist Stability Criterion 592

15.10 Root Locus 595

CHAPTER 16 Controller Design 613

16.1 Introduction 614

16.2 The Ultimate Cycle Method 615

16.3 The Process Reaction Method 616

16.4 Self-Tuning Adaptive Controllers 619

16.5
16.6
16.7
Computer-Aided PID Controller Design 620

Example Design of a Three-Loop Control System

Control System Compensation 642

637 [
I
I

 • Contents xiii

APPENDIX A Properties of Materials 653

Properties of Solids 653

Melting Point and Latent Heat of Fusion 654

Properties of Liquids 654

Properties of Gases 654

Standard Atmospheric Conditions 655

APPENDIX B Units and Conversion 656

Systems of Units 656

Conversion Factors 657

APPENDIX C Binary Codes 659

Powers of 2 659

Octal and Binary Equivalents 659

Decimal, Hexadecimal, and Binary Equivalents 660

One's and Two's Complements 660

The Gray Code 660

Binary Codes for Decimal Digits 661

Seven-Bit ASCII Code 661

APPENDIX D Instrumentation Symbols and Identification 662

Purpose 662

Scope 662

Definition 663

Outline of the Identification System 663

APPENDIX E Complex Numbers 669

Introduction 669

Rectangular and Polar Forms of Complex Numbers 670

Conversion of Complex Numbers 671

Graphical Representation of Complex Numbers 671

Addition and Subtraction of Complex Numbers 673

Multiplication and Division of Complex Numbers 673

Integer Power of a Complex Number 674

Roots of a Complex Number 674

APPENDIX F Communications 676

Communication Interfaces 676

Local Area Networks 682

Communication Protocols 686

xiv • Contents

References 691

Answers to Selected Exercises 693

Index 702

PART ONE
• INTRODUCTION

• CHAPTER 1 Basic Concepts

and Terminology

• OBJECTIVES

Every profession, every subject, even every hobby has its own language: a set of concepts, symbols, and
words that people in that field use to express ideas.
The purpose of this chapter is to introduce you to the fundamental language of control system tech­
nology. After completing this chapter, you will be able to

I. Define a control system

2. Sketch a block diagram of a closed-loop control system
3. Describe
a. Transfer function
b. Gain and phase difference
c. Open-loop control
d. Closed-loop control
e. Components in a closed-loop control system
f. Signals in a closed-loop control system
g. P, 1, and 0 control modes
h. Benefits of automatic control
i. Load changes in a control system
j. Three control objectives
k. Three criteria of good control
4. Read ISA control system drawings
5. Reduce block diagrams to a simpler form

•••• 1
2 • Chap. 1 Basic Concepts and Terminology

1.1 INTRODUCTION

Control systems are everywhere around us and within us. * Many complex control systems are
included among the functions of the human body. An elaborate control system centered in the
hypothalamus of the brain maintains body temperature at 37 degrees Celsius (0C) despite
changes in physical activity and external ambience. In one control system-the eye-the di­
ameter of the pupil automatically adjusts to control the amount of light that reaches the retina.
Another control system maintains the level of sodium ion concentration in the fluid that sur­
rounds the individual cells.
Threading a needle and driving an automobile are two ways in which the human body
functions as a complex controller. The eyes are the sensor that detects the position of the nee­
dle and thread or of the automobile and the center of the road. A complex controller, the brain,
compares the two positions and determines which actions must be performed to accomplish
the desired result. The body implements the control action by moving the thread or turning
the steering wheel; an experienced driver will anticipate all types of disturbances to the sys­
tem, such as a rough section of pavement or a slow-moving vehicle ahead. It would be very
difficult to reproduce in an automatic controller the many judgments that an average person
makes daily and unconsciously.
Control systems regulate temperature in homes, schools, and buildings of all types. They
also affect the production of goods and services by ensuring the purity and uniformity of the
food we eat and by maintaining the quality of products from paper mills, steel mills, chemi­
cal plants, refineries, and other types of manufacturing plants. Control systems help protect
our environment by minimizing waste material that must be discarded, thus reducing manu­
facturing costs and minimizing the waste disposal problem. Sewage and waste treatment also
. requires the use of automatic control systems.
A control system is any group of components that maintains a desired result or value.
From the previous examples it is clear that a great variety of components may be a part of a
single control system, whether they are electrical, electronic, mechanical, hydraulic, pneu­
matic, human, or any combination of these. The desired result is a value of some variable in
the system, for example, the direction of an automobile, the temperature of a room, the level
of liquid in a tank, or the pressure in a pipe. The variable whose value is controlled is called
the controlled variable .
To achieve control, there must be another variable in the system that can influence the
controlled variable. Most systems have several such variables. The control system maintains
the desired result by manipulating the value of one of these influential variables. The variable
that is manipulated is called the manipulated variable. The steering wheel of an automobile
is an example of a manipulated variable.

Definition of a Control System

A control system is a group of components that maintams a desired result by manipulating the
value of another variable in the system.

*An excellent Idea of the scope of control systems is gIven In an Instrument Society of America film , Principles of
Frequency Response. 1958.
 • Sec. 1.2 Block Diagrams and Transfer Functions 3

1.2 BLOCK DIAGRAMS AND TRANSFER FUNCTIONS

Although it is not unusual to find several kinds of components in a single control system, or
two systems with completely different kinds of components, any control system can be de­
scribed by a set of mathematical equations that define the characteristics of each component.
A wide range of control problems-including processes, machine tools, servomechanisms,
space vehicles, traffic, and even economics---can be analyzed by the same mathematical
methods. The important feature of each component is the effect it has on the system. The
block diagram is a method of representing a control system that retains only this important
feature of each component. Signal lines indicate the input and output signals of the compo­
nent, as shown in Figure 1.1 .
Each component receives an input signal from some part of the system and produces an
output signal for another part of the system. The signals can be electric current, voltage, air
pressure, liquid flow rate, liquid pressure, temperature, speed, acceleration, position, direc­
tion, or others. The signal paths can be electric wires, pneumatic tubes, hydraulic lines, me­
chanical linkages, or anything that transfers a signal from one component to another. The
component may use some source of energy to increase the power of the output signal. Figure
1.2 illustrates block representations of various components .

.~..
Block Diagrams

A block diagram consists of a block representing each component in a control system connected
by lines that represent the signal paths. Figure 1.3 shows a very simple block diagram of a per­
son driving an automobile. The driver's sense of sight provides the two input signals: the posi­
tion of the automobile and the position of the center of the road. The driver compares the two
positions and determines the position of the steering wheel that will maintain the proper posi­
tion of the automobile. To implement the decision, the driver's hands and arms move the steer­
ing wheel to the new position. The automobile responds to the change in steering wheel posi­
tion with a corresponding change in direction. After a short time has elapsed, the new direction
moves the automobile to a new position. Thus, there is a time delay between a change in posi­
tion of the steering wheel and the change in the position of the automobile. This time delay is
included in the mathematical equation of the block representing the automobile.
The loop in the block diagram indicates a fundamental concept of contro!' The actual po­
sition of the automobile is used to determine the correction necessary to maintain the desired
position. This concept is called feedback, and control systems with feedback are called

Energy
source·

• Figure 1.1 Block representation of a com­

Input Control ponent. The energy source IS not shown on most
_ - - _ Output
signal--~ system SIgnal block diagrams. However. many components do
component
have an external energy source that makes am­
plification of the input signal possible.
4 • Chap. 1 Basic Concepts and Terminology

Temperature Electncal Voltage Voltage

-.....;;---i._1 Thermocouple
(ac) voltage in
• Amphfier
out
(mV) (V) (V)

I. Thermocouple 2. Electronic amplIfier

temperature sensor

Armature Motor Val ve Water flow

voltage
DC motor
speed posItion
• Valve
rate
(V) (rpm) (m) (m3/s )

3. Electnc d.c. motor 4. Valve on

a water line

LiqUid Flow Electncal PosItIon of Driver of PositIOn of

flow rate
• transmitter current automobile
• automobile steering
(m 3/s) (rnA) and road wheel
(m) (degrees)

S. LiqUid fl ow 6 Dnver of
transmitter an automobile

Steering Power Front Po~lIion of PosItion of

wheel
• steenng Unit wheel steenng
• Automobile
automobIle
position posItIOn wheel (m)
(degrees) (degrees) (degree'» )

7. Automobile power 8. AutomobIle

steenng Unit

• Figure 1.2 Block representatJons of control ~ystem components.

Input

Position of
• Driver
Angular pO~ llI on
Automobile -Output
the centerline of the steermg wheel
of the road

Posillon of the automobile

• Figure 1.3 Simplified block diagram of a person dnving an automobile.

 • Sec. 1.2 Block Diagrams and Transfer Functions 5

closed-loop control systems. Control systems that do not have feedback are called open-loop
control systems, because their block diagram does not have a loop and the actual condition is
not used to determine a corrective action.

Transfer Functions

The most important characteristic of a component is the relationship between the input signal
and the output signal. This relationship is expressed by the transfer function of the compo­
nent, which is defined as the ratio of the output signal divided by the input signal. (Mostly, it
is the Laplace transform of the output signal divided by the Laplace transform of the input
signal-further details are covered in Chapter 4.) Refer to the block diagram of a thermo­
couple shown in Figure 1.2, item 1. If we represent the input temperature by T, the output
voltage by V, and the transfer function by H, then H = V/T and V = HT Thus, if we know
the input signal and the transfer function, then we can compute the output signal by multi­
plying the input by the transfer function .
The transfer function consists of two parts. One part is the size relationship between the
input and the output. The other part is the timing between the input and output. For example,
the size relationship may be such that the output is twice (or half) as large as the input, and
the timing relationship may be such that there is a delay of 2 seconds between a change in the
input and the corresponding change in the output.
If the component is linear and the input is a sinusoidal signal, then the output will also
be a sinusoidal signal. Figure 1.4 illustrates a linear component with a sinusoidal input sig­
nal. Notice the mathematical functions and the graphs used to represent the input and output
signals in Figure lA . The size relationship between the input and the output is measured by
the ratio of the amplitude of the output signal, B, divided by the amplitude of the input sig­
nal, A. We call this ratio the gain of the component.
. amplitude of the output signal (output units) B
Gam = amplitude of the input signal (input units) =A
Observe the input and output graphs in Figure 1.4. The input signal crosses zero when
wt/a = 0, that is, when t = -a/w s (dimensions are radians per second for wand radians for

Input Output
G
A sm(wt + a) 8 sin(wl + f3)
1 = -alw L - -_ _ _- '

t = -f3lw

:;
~~~-~<r-~~
Time 0 Time

m m

o angle 0 angle

Gain = BfA • Figure 1.4 Gam and phase difference of a

Phase difference = f3 - a hnear component.
6 • Chap. 1 Basic Concepts and Terminology

a). The output signal crosses zero when wt + {3 = 0, that is, when t = - f3/w s. We could mea­
sure the timing difference between the input and the output signal by the difference between
these two times.

Timing difference = (-a/ w) - (-{3/w) = ({3 - a)/ws

It is simpler and more convenient to measure the timing difference between the input and
the output by the difference between the two angles, that is, by ({3 - a). We call this differ­
ence the phase difference of the component. It is also convenient to express the phase differ­
ence in degrees rather than radians. Just imagine a translation of the time axis from seconds to
degrees. One complete cycle of the sine wave becomes 360°. The distance from t = -a/w s
to t = 0 s becomes £1'0; the distance from t = -{3/w s to t = 0 s becomes {30. We will use this
translation of the time axis as a convenient way to represent phase angles in degrees.
The phase difference of the component is the phase angle of the output signal minus the
phase angle of the input signal.
Phase difference = output phase angle - input phase angle (degrees)
Complex numbers (in polar form) are most conveniently used to represent values of the input,
the output, and the transfer function . In Figure lA, the input is represented by the complex
number A ~ and the output by the complex number B & The transfer function , G, is repre­
sented by the complex number obtained by dividing the output, B &' by the input, A ~:
G = B & / A ~ = (B/A) 1f3 - a
Thus the transfer function, G, is represented by the complex number whose magnitude is the gain
of the component, B/A, and whose angle is the phase of the output minus the phase of the input.
The gain of a component is often expressed as the ratio of the change in the amplitude of
the output divided by the corresponding change in the amplitude of the input.
. change in output amplitude (output units)
Gam = change . m.mput amp I·ltude (.mput units )
The gain of a component has the dimension of output units over input units . Thus an ampli­
fier that produces a 1O-volt (V) change in output for each I-V change in input has a gain of
10 volts per volt (VIV). A direct-current (dc) motor that produces a change in speed of 1000
revolutions per minute (rpm) for each I-V change in input has a gain of 1000 rpm/V. A ther­
mocouple that produces an output change of 0.06 millivolt (m V) for each 1°C change in tem­
perature has a gain of 0.06 mV;oC.
The gain and phase difference of a component for a given frequency are referred to as the
frequency response of the component at that frequency. As an example, at a frequency of
1 hertz (Hz), a certain control system component has a gain of 0.995 and a phase difference of
5.71 °. At a frequency of 10 Hz, the gain is 0.707 and the phase difference is 45°. At a frequency
of 100 Hz, the gain is 0.0995 and the phase difference is 84.29°. These figures are given here
only as an illustration. A more complete discussion is reserved for later chapters.

The transfer function of a component describes the size and timing relationship between the
output signal and the input signal.
 • Sec. 1.3 Open-Loop Conrol 7

EXAMPLE The input to a linear control system component is a O.5-Hz sinusoidal signal with a peak amplitude of
1.1 5.3 V and a phase angle of 30°. The output of the component has a peak amplitude of 14 milliamperes
(rnA) and a phase angle of 25°. Determine the gain, the phase difference, and the transfer function for
these conditions.

Solution Gain = 14 rnA/5.3 V

= 2.64 mA/V
Phase difference = 25 - 30
= -5°
Transfer function = 2.64 /- 5° mA/V
•
1.3 OPEN·LOOP CONTROL

An open-loop control system does not compare the actual result with the desired result to de­
termine the control action. Instead, a calibrated setting-previously determined by some sort
of calibration procedure or calculation-is used to obtain the desired result.
The needle valve with a calibrated dial shown in Figure 1.5 is an example of an open­
loop control system. The calibration curve is usually obtained by measuring the flow rate for
several dial settings. As the calibration curve indicates, different calibration lines are obtained
for different pressure drops. Assume that a flow rate of F2 is desired and a setting of S is used.
As long as the pressure drop across the valve remains equal to P2 , the flow rate will remain
F 2 . If the pressure drop changes to PI> the flow rate will change to Fl ' The open-loop control
cannot correct for unexpected changes in the pressure drop.
The firing of a rifle bullet is another example of an open-loop control system. The desired
result is to direct the bullet to the bull's-eye. The actual result is the direction of the bullet af­

- _ Flow rate

Schematic diagram

Valve
dial
seIling

Block diagram

Dial selting
• Figure I.S A calibrated needle valve is an
Calibration curve
example of an open-loop control system.
8 • Chap. 1 Basic Concepts and Terminology

ter the gun has been fired. The open-loop control occurs when the rifle is aimed at the bull's­
eye and the trigger is pulled. Once the bullet leaves the barrel, it is on its own: If a sudden
gust of wind comes up, the direction will change and no correction will be possible.
The primary advantage of open-loop control is that it is less expensive than closed-loop
control: It is not necessary to measure the actual result. In addition, the controller is much
simpler because corrective action based on the error is not required. The disadvantage of
open-loop control is that errors caused by unexpected disturbances are not corrected. Often a
human operator must correct slowly changing disturbances by manual adjustment. In this
case, the operator is actually closing the loop by providing the feedback signal.

1.4 CLOSED-LOOP CONTROL: FEEDBACK

Feedback is the action of measuring the difference between the actual result and the desired
result, and using that difference to drive the actual result toward the desired result. The teon
feedback comes from the direction in which the measured value signal travels in the block di­
agram. The signal begins at the output of the controlled system and ends at the input to the
controller. The output of the controller is the input to the controlled system. Thus the mea­
sured value signal is fed back from the output of the controlled system to the input. The term
closed loop refers to the loop created by the feedback path.
Block diagrams of closed-loop control systems are shown in Figures 1.6 and 1.7. Figure
1.6 is used in the design of servomechanisms, and Figure 1.7 is used in the design of process
control systems. The names of the components and variables in Figure 1.7 are used through­
out this book. However, we will develop the closed-loop transfer function of both the servo
control system (Figure 1.6) and the process control system (Figure 1.7). You should be thor­
oughly familiar with these terms and the following operations, which form the basis of a feed­
back control system.

Forward path
Error detector components

Reference R
/ Controlled variable C
L G=~
E
Input +- Error Output
E= R - Cm

Cm
H=­
Primary feedback C
Cm
Feedback path
components

• Figure 1.6 Block diagram of a c105ed-loop servo control system.

• Sec. 1.4 Closed-Loop Control: Feedback 9

I--------c;n~r~ii;r---------: DIsturbance
variables
I Error detector I
Setpoint I
SP I ~
/
V
!
I M e
Controlled
variable C
----+II~ "" Gc =E HI---.J Gm =V f - - - - I Gp = Ii f--r----­
Input I+ Error I V M Output
I
I
- E=SP-Cm
Control I
I Manipulating Process
I
L___ _____________~~:~_JI element

1..-----------/ H = eem ~----------.....

Measured value
of controlled
vanable em Measuring
transmitter

• Figure 1.7 Block diagram of a closed-loop process control system.

Operations Performed by a Feedback Control System

Measurement: measure the value of the controlled variable

Decision: compute the error (desired value minus measured value) and use the error to
form a control action
Manipulation: use the control action to manipulate some variable in the process in a way
that will tend to reduce the error

In Figure 1.6, the reference (R) is the input to the servo control system and the controlled
variable (C) is the output. We now proceed to derive the transfer function, C/R, of the closed­
loop servo control system. First, we write the equation for the output of the error detector in
terms of reference, R, and the primary feedback, Cm.
E = R - Cm
Second, we write equations for the outputs of the other two components in terms of their in­
put and their transfer function.
C= EG
Cm = CH
Third, we use substitution to eliminate E and Cm.
C = (R - Cm)G

C = (R - CH)G

Finally, we solve the above equation for the ratio, CIR.

C + CGH = RG

C(l + GH) = RG

10 • Chap. 1 Basic Concepts and Terminology

C G
(1.1) !
R 1 + GH

Equation (1.1) is the transfer function of a closed-loop servo control system (servomech­
anism). The forward path transfer function (G) contains all the system components, such as
motors, generators, gears, amplifiers, and so on. The feedback path transfer function (H) is
usually a passive device that converts the controlled variable into a suitable signal for input
to the error detector. The letter B is often used to represent the primary feedback signal in the
block diagram of a servomechanism. The author prefers the notation Cm for this signal to in­
dicate its relationship as the measured value of the controlled variable.
Occasionally, the primary feedback signal is inverted and must be added to the reference
signal to form the error signal. In Figure 1.6, this positive feedback is accomplished by chang­
ing the sign of the lower input to the error detector from minus to plus. It is left as an exer­
cise to show that the transfer function for positive feedback is given by Equation (1.2):

C G
(1.2)
R 1- GH

In Figure 1.7, the setpoint (SP) is the input to the process control system, and the con­
trolled variable (C) is the output. The feedback path consists of one component, the measur­
ing transmitter with transfer function H. The forward path consists of three components (the
control modes, the manipulating element, and the process) with transfer functions G c , Gm , and
Gp' respectively. The overall forward transfer function (G) is the product of the three compo­
nent transfer functions:

The performance of a control system is usually based on a comparison between the set­
point (SP) and the measured value of the controlled variable (Cm ). The reason Cm is used in­
stead of C is that Cm is measurable and available, but C is not. We now proceed to derive the
transfer function, Cm/SP, of the closed-loop process control system:
First, we write the equation for the error detector output.

E = SP - Cm

Second, we use the overall forward transfer function, G, to write the following equation for
the controlled variable, C.

C= EG
Third, we write the following equation for Cm.

Fourth, we use substitution to eliminate C and E.

Cm = EGH
Cm = (SP - Cm)GH

------11
• Sec. 1.4 Closed-Loop Control: Feedback 11

Finally, we solve the above equation for the ratio Cm/SP.

COl + Cn,GH = (SP)GH
Cm(I + GH) = (SP)GH

GH
1+ GH (1.3) I
Equation (1.3) is the transfer function of a closed-loop process control system. The following
is a description of each component in Figure 1.7. .

Process

The process block in Figure 1.7 represents everything performed in and by the equipment in
which a variable is controlled. The process includes everything that affects the controlled or
process variable except the controller and the final control element. In a home heating sys­
tem, for example, the process is the home and its contents. The two most important parame­
ters of this process (the home) are the thermal resistance of the outside walls and the thermal
capacitance of the air and contents inside the home.

Measuring Transmitter

The measuring transmitter, or sensor, senses the value of the controlled variable and converts
it into a usable signal. Although the measuring transmitter is considered as one block, it usu­
ally consists of a primary sensing element and a signal transducer (or signal converter). The
term measuring transmitter is a general term to cover all types of signals. In specific cases,
the word measuring is replaced by the name of the measured signal (e.g., temperature trans­
mitter, flow transmitter, pressure transmitter, etc.).
Figure 1.8 shows the input/output curve of a typical temperature transmitter. The primary
element could be a thermocouple, a resistance element, a thermistor, or a filled thermal ele­
ment. The signal transducer receives the output of the primary element and produces an elec­
tric current signal. For example, a thermocouple converts temperature into a millivolt signal,

Zero set ling = , MIN

Span seiling = , MAX - , MIN

,
________ • _ ___ • ______ • ___ • __ .J
,
,
'MIN

Input temperature

• Figure 1.8 Input/output graph of a temperature-measunng transmitter.

 12 • Chap. 1 Basic Concepts and Terminology

and the thermocouple transducer converts the millivolt signal into an electric current in the
range 4 to 20 rnA. A resistance element converts temperature into a resistance value, and the
resistance transducer converts the resistance value into an electric current signal. Other pri­
mary elements are handled in a similar manner. In our home heating system example, the term
sensor is more appropriate than measuring transmitter. In many home heating systems, the
temperature sensor is a bimetallic coil that converts the room temperature into the angular po­
sition of a mercury switch mounted on one end of the coil.

EXAMPLE A temperature-measuring transmitter has an input range from -40 to 60°C and an output
1.2 range from 4 to 20 rnA. Assume the transmitter is linear and find the following:
(a) The transmitter gain, H = cmle.
(b) The equation for the output Cm in terms of input e.
(c) The output of the transmitter when input C = 22°C.
(d) The input to the transmitter when output Cm = II mA.

output range 20 rnA - 4 mA 16 mA

Solution (a) H = = =-­
input range 60°C - (-40°C) 100°C

H = 0.16 mArC

(b) We will use the following slope-intercept form of the equation for Cm in terms of C:

Cm = mC +b
The gain, H, is the required slope, that is, m = H = 0.16.
Cm = 0.16C = b

From the data, we use C m = 20 mA when C = 60°C to determine the unknown, b:

20 = 0.16(60) + b

b = 20 - 9.6 = 10.4

The desired equation is

Cm = 0.16C + 10.4

(c) We use the equation from step b to find the output when C = 22°C:

Cm = 0.16(22) + 10.4 = 13.92 rnA

(d) We use the equation again to find the input when Cm = I I mA:

11 = 0.16 (C) + 10.4

(II - 10.4)
= = 3.75°e
C
0.16
•
Controller

The controller includes the error detector and a unit that implements the control modes. The
error detector computes the difference between the measured value of the controlled variable

------------------------____________1
• Sec. 1.4 Closed-Loop Control: Feedback 13

and the desired value (or setpoint). The difference is called the error and is computed ac­
cording to the following equation:
Error = setpoint - measured value of controlled variable
or
E = SP - em
The control modes convert the error into a control action or controller output that will
tend to reduce the error. The three most common control modes are the proportional mode
(P), the integral mode (I), and the derivative mode (D). The three modes are defined mathe­
matically in Chapter 13. In this chapter you need only to know the names of the three modes
and have an intuitive understanding of how they work. The following discussion will show
that the names of the modes suggest the types of control action that is formed.
The proportional mode (P) is the simplest of the three modes. It produces a control action
that is proportional to the error. If the error is small, the proportional mode produces a small
control action. If the error is large, the proportional mode produces a large control action. The
proportional mode is accomplished by simply mUltiplying the error by a gain constant, K.
The integral mode (1) produces a control action that continues to increase its corrective ef­
fect as long as the error persists. If the error is small, the integral mode increases the correc­
tion slowly. If the error is large, the integral action increases the correction more rapidly. In
fact, the rate at which the correction increases is proportional to the error signal. Mathemati­
cally, the integral control action is accomplished by forming the integral of the error signal.
The derivative mode (D) produces a control action that is proportional to the rate at which
"the error is changing. For example, if the error is increasing rapidly, it will not be long before
there is a large error. The derivative mode attempts to prevent this future error by producing
a corrective action proportional to how fast the error is changing. The derivative mode is an
attempt to anticipate a large error and head it off with a corrective action based on how
quickly the error is changing. Mathematically, the derivative control action is accomplished
by forming the derivative of the error signal.
The proportional mode may be used alone or in combination with either or both of the other
two modes. The integral mode can be used alone, but it almost never is. The derivative mode
cannot be used alone. Thus the common control mode combinations are: P, PI, PD, and PID.
In the home heating system, the control action is built into the bimetallic coil/mercury
switch described earlier. The mercury switch is attached to one end of the coil. The other end of
the coil is attached to a small plate that is pivoted at the center of the coil. A pointer on the small
plate indicates the temperature setting on a stationary temperature scale. We adjust the setpoint
by rotating the coil assembly until the pointer indicates the desired temperature. The bimetallic
coil performs an ON/OFF control action by tilting the mercury switch ON if the room temperature
is slightly below the setpoint, or OFF if the temperature is slightly above the setpoint.

Manipulating Element

The manipulating element uses the controller output to regulate the manipulated variable and
usually consists of two parts. The first part is called an actuator, and the second part is called
the final controlling element. The actuator translates the controller output into an action on the
 14 • Chap. 1 Basic Concepts and Terminology

final controlling element, and the final controlling element directly changes the value of the
manipulated variable. Valves, dampers, fans, pumps, and heating elements are examples of
manipulating elements. The valve that controls the fuel flow in a home heating system is an­
other example of a manipulating element.
A pneumatic control valve is often used as the manipulating element in processes (see
Figure 1.9). The actuator consists of an air-loaded diaphragm acting against a spring. As the
air pressure on the diaphragm goes from 3 to 15 pounds per square inch (psi), the stem of the
valve will move from open to closed (air to close) or from closed to open (air to open). In the
home heating system, the furnace is the manipulating element. The control action opens or
closes a solenoid valve that controls the flow of gas to the burner. When the solenoid valve is
open, gas flows to the burner and the burner delivers heat to the home.

Variable Names

The controlled variable (e) is the process output variable that is to be controlled. In a process
control system, the controlled variable should be a good measure of the quality of the prod­
uct. The most common controlled variables are position, velocity, temperature, pressure,
level, and flow rate.
The setpoint (SP) is the desired value of the controlled variable.
The measured variable (em) is the measured value of the controlled variable. It is the out­
put of the measuring means and usually differs from the actual value of the controlled vari­
able by a small amount.
The error (E) is the difference between the setpoint and the measured value of the con­
trolled variable. It is computed according to the equation E = SP - em.

Input air-pressure Signal

100

o
Schematic diagram Input pressure. PSIG
Control valve input-output graph

• Figure 1.9 A pneumatic control valve has two possible actIOns: air-to-close and
air-to-open. In an alr-to-close valve, the valve stem moves from open to closed as the
air pressure goes from 3 to 15 psi. An alr-to-open valve moves from closed to open
with the same change In air pressure

I
- - - - - - - - - - - - - - - - - - - - - - - - - -__________1
 • Sec. 1.5 Control System Drawings 15

The controller output (V) is the control action intended to drive the measured value of the
controlled variable toward the setpoint value. The control action depends on the error signal
(E) and on the control modes used in the controller.
The manipulated variable (M) is the variable regulated by the final controlling element
to achieve the desired value of the controlled variable. Obviously, the manipulated variable
must be capable of effecting a change in the controlled variable. The manipulated variable is
one of the input variables of the process. Changes in the load on the process necessitate
changes in the manipulated variable to maintain a balanced condition. For this reason, the
value of the manipulated variable is used as a measure of the load on the process.
The disturbance variables (D) are process input variables that affect the controlled vari­
able but are not controlled by the control system. Disturbance variables are capable of chang­
ing the load on the process and are the main reason for using a closed-loop control system.
The primary advantage of closed-loop control is the potential for more accurate control
of the process. There are two disadvantages of closed-loop control: (1) closed-loop control is
more expensive than open-loop control, and (2) the feedback feature of a closed-loop control
system makes it possible for the system to become unstable. An unstable system produces an
oscillation of the controlled variable, often with a very large amplitude. (Stability will be stud­
ied in detail later.)

A closed-loop (or feedback) control system measures the differences between the actual value
of the controlled variable and the desired value (or setpoint) and uses the difference to drive the
actual value toward the desired value.

1.5 CONTROL SYSTEM DRAWINGS

The Instrument Society of America has prepared a standard, "Instrumentation Symbols and
Identifications," ANSI/ISA-S5.1-1984, to "establish a uniform means of designating instru­
ments and instrument systems used for measurement and control." This standard presents a des­
ignation system that includes symbols and an identification code that is "suitable for use when­
ever any reference to an instrument is required." Applications include flow diagrams,
instrumentation drawings, specifications, construction drawings, technical papers, tagging of in­
struments, and other uses. Appendix D includes material abstracted from ANSIjISA-S5.1-1984.
A circular symbol called a balloon is the general instrument symbol. The instrument is
identified by the code placed inside its balloon. The identification code consists of a
functional identification in the top half of the balloon and a loop identification in the bottom
half. The first letter in the functional identification defines the measured or initiating variable
of the control loop (e.g., flow, level, pressure, temperature). Up to three additional letters may
be used to name functions of the individual instrument (e.g., indicator, recorder, controller,
valve). The standard also defines symbols for instrument lines, control valve bodies, actua­
tors, primary elements, various functions, and other devices.
Figure 1.10 illustrates the use of the standard symbols and identification code in a process
control drawing. The process blends and heats a mixture of water and syrup. This system has
three control loops, with loop identification numbers of 101, 102, and 103. The first two dig­
its designate the area in the plant where this system is located. The third digit identifies a par­
ticu lar control loop. Loop 101 is a level control loop, as indicated by the first letter in the func­
tion code of each instrument in the loop. The meaning of each code is as follows:
16 • Chap. 1 Basic Concepts and Terminology

Water Syrup
~upply supply

liP
Current to
pneumatic ----­
converter

Heatmg
flUid
~upply

Syrup
concentrallon

tl02t-~~tiI>t~*1.-----':~~:::::""l...----------t~ Heated
product

Instrument Lme Symbob First ID Leller FollOWing ID Leners

#' ;1';1' 3-15 p~1 pneumallc A Analysis C Controller

Ime

L Level IndiCator

;15' $ 4 - 20 mA electriC

T Temperature R Recorder
current
T Transmiller
x X X: Filled system

capillary V Valve

y Relay {converter}

• Figure 1.10 Blendmg and heatmg system instrumentation drawing.

LT-IO\ Level transmitter

Uses a float to sense the level of the liquid in the tank and transduces the
signal into an electric current in the range 4 to 20 rnA.
LlC-lOi Level indicating controller
Uses the milliampere signal from the level transmitter to produce a control
signal in the range 4 to 20 rnA.
LY-IO\ Level current to pneumatic converter
Converts the milliampere output from the controller into a pneumatic signal
in the range 3 to 15 psi.
LV-IOI Level control valve
Uses the pneumatic signal from the liP converter to position the stem of the
level control valve.
 • Sec. 1.6 Nonlinearities 17

IT-I02 Temperature transmitter

Uses a filled bulb to sense the temperature of the product leaving the
blending tank and transduces the signal into an electric current in the range
4 to 20 rnA.
TIC-I 02 Temperature-indicating controller
Uses the milliampere signal from the temperature transmitter to produce a
control signal in the range 4 to 20 rnA.
TV-l 02 Temperature control valve
Uses the milliampere signal from the temperature controller to position the
stem of the temperature control valve.
AT-l03 Analysis transmitter
Senses the concentration of syrup in the product and transduces the signal
into an electric current in the range 4 to 20 rnA.
ARC-I03 Analysis recording controller
Uses the milliampere signal from the analysis transmitter to produce a
control signal in the range 4 to 20 rnA.
AV-103 Analysis control valve
Uses the milliampere signal from the analysis controller to position the stem
of the analysis control valve.
". ;.J

1.6 NONUNEARITIES

Most control system analysis and design is done with the assumption that all components in
the system are linear. Actually, there are several forms of nonlinearity that occur in control sys­
tem components. This section uses the input/output (or I/O) graph of a component to give you
an intuitive understanding of linearity, nonlinearity, hysteresis, dead band, and saturation. *
As its name implies, the I/O graph is a plot of input values versus output values. It de­
fines the output produced by any given input to the component. When the I/O graph is a sin­
gle, perfectly straight line, the component is said to be linear. Figure 1.11 shows the I/O
graph of a linear component, the sinusoidal input to the component, and the resulting output
from the component. Observe the sinusoidal shape of the output waveform in Figure 1.11.
The ability to preserve the shape of the input is an important characteristic of a linear com­
ponent. In contrast, the output waveform of a nonlinear component is a distortion of the in­
put waveform. Now observe the 4SO slope of the I/O graph in Figure 1.11. With a slope of
45°, the output amplitude is equal to the input amplitude. Decreasing the slope decreases the
output amplitude. Increasing the slope increases the output amplitude. The slope of the line
determines the gain of the component.
A common form of nonlinearity is the curved I/O graph illustrated in Figure 1.12. Ob­
serve the distortion in the output waveform. We measure the nonlinearity of a component by
drawing a straight line on the I/O graph positioned to minimize the deviation between it and

*For a more complete treatment of nonlinearity, refer to Standards and Practices for Instrumentation, 6th ed. (Re­
search Triangle Park, N.C.: Instrument Society of America, 1980).
18 • Chap. 1 Basic Concepts and Terminology

Input waveform InputJoutput gmph Output waveform

C - - - - - - - - - TI C
c

"
Co
.5 b 0
"5"B ITO
"5"B
0
1T2
IT4 I
I
_.J __ I__
A A I
a T3 I

TO TI T2 T3 T4 a b c TO TI T2 T3 T4
Time Input Time

• Figure 1.11 Lmear element with a smusoldal mput waveform and the resulting
output waveform . Use the mput/output graph to determme the value of the output for
each value of the mput. At time TO. mput value b yields output value B; at time TI,
mput c yields output C; at lime T2. mput b Yields output B; at time T3. input a yields
output A; and at time T4. mput b Yields output B. Notice the smusoidal shape of ihe
output waveform. A lInear element always preserves the shape of the input waveform.

the curved I/O graph. The maximum deviation between the straight line and the curved I/O
graph is a measure of the nonlinearity of the component.
Dead band is the range of values through which an input can be changed without pro­
ducing an observable change in the output. The dead-band effect occurs whinever the input
changes direction. Backlash in gears is one example of dead band, and the term backlash
is sometimes used in place of dead band. Figure 1.13a shows the I/O graph of a component
with dead band, a sinusoidal input waveform, and the resulting output wavefonn. Notice the
distortion in the output waveform caused by the dead band. As time goes from TO to T2, the
input increases from c to e, producing an output increase from B to D. The input begins to de­
crease at time T2, but dead band causes the output to remain unchanged until time T3. From
T2 to T3, the input decreases from e to d, but the output remains at D. From time T3 to time

Input waveform InputJoutput graph Output waveform

e E -----------­ T2 E

d
:; D
"Co
.5 c
"9-C
0
D
:>
B
ITI
:T3 0
5"C
B
b I
I
I
a A I A
I
TO T2 T3 T5 T6 T8 a b c d e TO T2 T3 T5 T6 T8
Time Input Time

• Figure 1.12 Nonhnear element wllh a smu~oidal input waveform and the result·
ing output waveform. The mputJoutput graph translates mput values into correspond·
ing output values. Notice how the nonlinear element distorts the shape of the input
waveform. resulting in a nonsmusoidal output waveform
• Sec. 1.6 Nonlinearities 19

Input waveform Input/output graph Output waveform

e TJ 0
0 1'2

d
:; 8.C - - - -T4-
'" C
8­
0..
.s :;
c 0 '"
0
B
B
b ,TO
A
,T8
, A
­ ------
a

TO 1'2 TJ TS T6 T8 a b c d e TO 1'2 T3 TS T6 T8

Time Input Time

a) Linear element with a dead band nonlinearity

Input waveform Input/output graph Output waveform

e H 1'2 H
G G

:;
d :; F :; F
0..
.s ~E 8-E
c 00 T1 <30
C
b C
B B
A A

a b c d e TO 1'2 TJ TS T6 T8
Time Input TIme
b) Nonlinear element with hysteresis

Input waveform Input/output graph Output waveform

T1
e E ------- E
,,,TJ ,,
T2
d :; :;
I
:; TO
~C
0.. T4, I
C
T8',
c.. c "5 I
.s 0
,, ,, I 0
T6 TS
b A ,, A
,,
,,,n
I

, ,,
I
I
a I I I I I

TO T2 TJ TS T6 T8
a b c d e TO 1'2 TJ TS T6 T8
TIme
Input Time
c) Lmear element with a saturation nonhneanty

• Figure 1.13 Three nonlinear elements with Sinusoidal inputs and the resulting
outputs. Notice how these nonlinear elements distort the output waveform, each in its
own way.
20 • Chap. 1 Basic Concepts and Terminology

T6, the input decreases from d to a, producing an output decrease from 0 to A. The input be­
gins to increase at time T6, but dead band causes the output to remain unchanged until time
T7. From T6 to TI, the input increases from a to b, but the output remains at A due to the dead
band. From time T7 to T8, the input increases from b to c, producing an output increase from
A to B. The dead-band effect occurs whenever the input changes direction. Once the dead
band is crossed, it has no further effect until the input changes direction again. With dead
band, each input value has a range of possible output values. For example, with an input value
of b, the output could be anywhere between A and B.
Hysteresis occurs when the I/O graph follows different curved paths when the input in­
creases and decreases. The result is an I/O graph that forms a loop, and the value of the out­
put for any given input depends on the history of previous inputs. Figure 1.13b shows the I/O
graph of a component with hysteresis, a sinusoidal input waveform, and the resulting output
waveform. Notice the distortion in the output waveform caused by the hysteresis. Hysteresis
is expressed as the maximum difference between the outputs for any given input value as the
input traverses one complete cycle. In Figure J . 13b, the maximum output difference occurs
when the input value is c (at times TO and T4). At time TO, the output is C. At time T4, the
output is F. Hysteresis is expressed as the difference between output F and output C.
Saturation refers to the limitations on the range of values for the output of a component (see
Figure 1.13c). All real components reach a saturation limit when the input is increased (or de­
creased) beyond its limiting value. For example, a control valve may go from closed to open as
the pressure in the actuator increases from 3 to 15 psi. The valve remains closed when the pres­
sure is decreased below 3 psi. The valve remains open when the pressure is increased above
15 psi. We say that the valve reaches saturation when the pressure is below 3 psi or above 15 psi.

1.7 BENEFITS OF AUTOMATIC CONTROL

Control systems are becoming steadily more important in our society. We depend on them to
such an extent that life would be unimaginable without them. Automatic control has increased
the productivity of each worker by releasing skilled operators from routine tasks and by in­
creasing the amount of work done by each worker. Control systems improve the quality and
uniformity of manufactured goods and services; many of the products we enjoy would be im­
possible to produce without automatic controls. Servo systems place tremendous power at our
disposal, enabling us to control large equipment such as jet airplanes and ocean ships.
Control systems increase efficiency by' reducing waste of materiaJs and energy, an in­
creasing advantage as we seek ways to preserve our environment. Safety is yet another ben­
efit of automatic control. Finally, control systems such as the household heating system and
the automatic transmission provide us with increased comfort and convenience.
In summary, the benefits of automatic control faIl into the following six broad categories:
1. Increased productivity
2. Improved quality and uniformity
3. Increased efficiency
4. Power assistance
5. Safety
6. Comfort and convenience
 • Sec. 1.8 Load Changes 21

1.8 LOAD CHANGES

A control system must balance the material or energy gained by the process against the ma­
terial or energy lost by the process, to maintain the desired value of the controlled variable.
Usually, the material or energy loss is the load on the process and the manipulated variable
must supply the balancing material or energy gain. However, sometimes the opposite condi­
tion exists and the manipulated variable must provide the material or energy loss.
To maintain the desired inside temperature, a home heating system must balance the heat
supplied by the furnace against the heat lost by the house. The heat lost is the load on the con­
trol system, and the energy supplied to the furnace is regulated by the manipulated variable.
To maintain the level at the desired value, a liquid-level control system must balance the
input flow rate against the output flow rate. The output flow rate is the load on the system, and
the input flow rate is the manipulated variable.
To maintain the desired pump speed, the control of a variable-speed motor driving a
pump must balance the input power to the motor against the power required by the pump. The
power required by the pump is the load on the system, and the power input to the motor is
regulated by the manipulated variable.
To maintain the desired room temperature, an air-conditioning system must balance the
heat removed by the air conditioner against the heat gained by the room. The heat gained by
the room is the load on the system, and the heat removed by the air conditioner is regulated
by the manipulated variable.
The load on a process is always reflected in the manipulated variable. Therefore, the
value of the manipulated variable is a measure of the load on the process. Every load change
results in a corresponding change in the manipulated variable and, consequently, a corre­
sponding change in the setting of the final controlling element. Consider a sudden increase in
the load for the pump control system previously described. The increase in load tends to re­
duce the motor speed. The controller senses the reduced motor speed and produces a control
action that increases the power input to the motor. In an ideal situation, the control action will
cause the manipulated variable to match the increased load and the pump speed will remain
at the desired value. Within the control loop, the only variable that reflects the load change is
the manipulated variable. For this reason, it makes sense to define the load on the control sys­
tem in terms of the manipulated variable.

The load on a control system is measured by the value of the manipulated variable required by
the process at anyone time in order to maintain a balanced condition .

The load on a control system does not remain constant. Any uncontrolled variable that af­
fects the controlled variable is capable of causing a load change. Each load change necessitates
a corresponding change in the manipulated variable in order to maintain the controlled vari­
able at the desired value. A closed-loop control system automatically makes the necessary
change in the manipulated variable; an open-loop control system does not make the necessary
change. Thus a closed-loop control system is necessary if automatic adjustment to load
changes is desired.
There are usually several uncontrolled conditions in a process that are capable of caus­
ing a load change. Some examples of load changes are
zz • Chap. 1 Basic Concepts and Terminology

I. A change in demand by the controlled medium. For example, opening the door of a
house in winter necessitates more heat to keep the inside temperature at the desired
value. Closing the door requires less heat. Both are load changes. In a manufacturing
process, a change in production rate almost always results in a load change. In a heat
exchanger, for example, a flowing liquid is continuously heated with steam. A change
in the liquid flow rate is a load change because more heat is required.
2. A change in the quality of the manipulated variable. For example, a change in the heat
content of the fuel supplied to a burner requires a change in the rate at which the fuel
is supplied to the burner. In a neutralizing process, a solution of sodium bicarbonate
is used to neutralize a fiber ribbon. A decrease in the concentration of sodium bicar­
bonate is a load change because more neutralizing solution is required.
3. A change in ambient conditions. For example, if the outside temperature drops, more
heat is required to maintain the desired temperature in a house.
4. A change in the amount of energy absorbed or supplied within the process. For ex­
ample, using the range to prepare supper supplies a house with a large quantity of
heat. Thus less heat is required from the furnace to maintain the desired temperature.
Chemical reactions often generate or absorb heat as part of the reaction; these are load
changes because, as the process generates or absorbs heat, less or more heat is re­
quired from the manipulated variable.

1.9 DAMPING AND INSTABILITY

The gain of the controller determines a very important characteristic of a control system's re­
sponse: the type of damping or instability that the system displays in response to a disturbance.
The five general conditions are illustrated in Figure 1.14. As the gain of the controller is in­
creased, the response changes in the following order: overdamped, critically damped, under­
damped, unstable with constant amplitude, and unstable with increasing amplitude. Obviously,
neither the unstable response nor the overdamped response satisfies the objective of minimizing
the error. Typically, the optimum response is either critically damped or slightly underdamped.
Exactly how much damping is optimum depends on the requirements of the process.
Further insight about damping can be obtained by considering a familiar oscillating sys­
tem-a child bouncing a ball. The ball will continue to bounce as long as the child pushes down
when the ball is moving down (i.e., the force is in the same direction as the motion of the ball).
The bouncing will die down quickly if the child pushes down when the ball is moving up (i.e.,
the force is in opposition to the motion of the ball). The oscillations of the ball are damped out
by a force in opposition to the motion. Extending this concept to control systems, damping is a
force or signal that opposes the motion (or rate of change) of the controlled variable.
Several stabilizing techniques are used to increase the damping in a system and thereby
to allow a higher gain in the controller. The general idea is to find a force or signal that will
oppose changes in the controlled variable. One such signal is the rate of change of the con­
trolled variable. In mathematics, the derivative of a variable is equal to its rate of change, and
this signal is referred to as the derivative of the controlled variable. Damping is increased if
the derivative of the controlled variable is subtracted from the error signal before it goes to
the controller. This technique is sometimes called output derivative damping.
Another stabilizing signal is the derivative of the error signal. If the setpoint is constant,
this signal is equal to the negative of the derivative of the controlled variable. Damping is in­
 • Sec. 1.10 Objectives of a Control System 23

--------------:::.;--~-=----

Tr very large
Ct very large

J. Step change 2. Overdamped response

-------;,--------
Tr moderate
Tr small
Ct moderate
Ct small

3. Cntically damped response 4. Underdamped·response

Tr n1a
Ct=O

5. Unstable-constant amplitude response 6. Unstable-increasing amplitude response

• Figure 1.14 The five types of response to a step change in load or setpoint are
charactenzed by the rise time, T" and the damping constant, a. Rise time is the time it
takes a Signal to go from 10 to 90% of the total change m response to the step change.
Damping constant is a measure of the amount of dampmg in the system.

creased if the derivative of the error is added to the error signal before it goes to the controller.
This technique is usually called the derivative control mode.
Viscous damping is a stabilizing technique sometimes used in position control systems.
It operates on the fact that frictional forces always oppose motion. A simple brake, a fluid
brake, or an eddy-current brake may be used to apply the damping force.

1.10 OBJECTIVES OF A CONTROL SYSTEM

At first glance, the objective of a control system seems quite simple-to maintain the con­
trolled variable exactly equal to the setpoint at all times, regardless of load changes or set­
point changes. To do this, the control system must respond to a change before the error oc­
curs; unfortunately, feedback is never perfect because it does not act until an error occurs.
First, a load change must change the controlled variable; this produces an error. Then the con­
24 • Chap. 1 Basic Concepts and Terminology

/ Step change in load

...-----.&;....--------. Time

Load )0.,

• Settling time~
Controlled 2. Minimize the
1
variable
M:~!:rum G ------.--- ---. -----.
settling time
·- -----~~~i~i~I-~rr::me

I. Minimize the 3. Minimize the

maximum error residual error

• Figure 1.15 Three objectives of a closed-loop control system.

troller acts on the error to produce a change in the manipulated variable. Finally, the change
in the manipulated variable drives the controlled variable back toward the setpoint.
It is more realistic for us to expect a control system to obtain as nearly perfect operation
as possible. Because the errors in a control system occur after load changes and setpoint
changes, it seems natural to define the objectives in terms of the response to such changes.
Figure 1.15 shows a typical response of the controlled variable to a step change in load.
One obvious objective is to minimize the maximum value of the error signal. Some con­
trol systems (with an integral mode) will eventually reduce the error to zero, whereas others
require a residual error to compensate for a load change. In either case, the control system
should eventually return the error to a steady, nonchanging value. The time required to ac­
complish this is called the settling time. A second objective of a control system is to minimize
the settling time. A third objective is to minimize the residual error after settling out.
Unfortunately, these three objectives tend to be incompatible. For instance, the problem of
reducing the residual error can be solved by increasing the gain of the controller so that a sma/ler
residua/error is required to produce the necessary corrective control action. However, an in­
crease in gain tends to increase the settling time and may increase the maximum value of the er­
ror as well. The optimum response is always achieved through some sort of compromise.

Control Objectives
After a load or setpoint change, the control system should
1. Minimize the maximum value of the error
2. Minimize the setting time
3. Minimize the residual error

1.11 CRITERIA OF GOOD CONTROL

To evaluate a control system effectively, two decisions must be made: (1) the test must be
specified, and (2) the criteria of good control must be selected. A step change in setpoint or
load is the most common test. A typical step response test is illustrated in Figure I .16a. The
• Sec. 1.11 Criteria of Good Control 25

SP2
C
i3
0..

"
en

Time

a) Step change in setpomt used to evaluate a control system

Ideal a
t al4

response \1_ ­ -- --- __L_

to Time

b) Quarter amplitude decay response to the step change m setpoint

Ideal
"0 response \
~~
-.r> C2
g .~
c: co
8 :> Shaded area =f lEI dl = a minimum
C1

10 Time

c) Mmimum mtegral of absolute error response to the step change in setpoint

Ideal
response \ ~ ___________-:...::_:..:_=-=_=--=_:...=_~_________

"'" Actual response

to Time

d) Critical damping response to the step change in setpomt

• Figure 1.16 Step change in setpoint and the three most common criteria of good
control.
26 • Chap. 1 Basic Concepts and Terminology

three most common criteria of good control are quarter amplitude decay, integral of absolute
error, and critical damping. A discussion of each criterion follows .
I. Quarter amplitude decay. This criterion specifies a damped oscillation in which each
successive positive peak value is one fourth of the preceding positive peak value.
Quarter amplitude decay is a popular criterion because it is easy to apply in the field
and provides a nearly optimum compromise of the three control objectives. Figure
1.16b illustrates the quarter amplitude decay response.
A variation of quarter amplitude decay is peak percentage overshoot (PPO). It is
a measure of the peak overshoot of the controlled variable with respect to the size of
the step change. A PPO of 50% is roughly equivalent to quarter amplitude decay.
From Figure J.l6b, the peak percent overshoot is given by the following equation:

PPO = 100( C a
2 ­ C1
)

2. Minimum integral of absolute error. This criterion specifies that the total area under
the error curve should be minimum. Figure 1.l6c illustrates the minimum integral of
absolute error criterion. The error is the distance between C2 and the controlled vari­
able curve. The integral of absolute error is the total shaded area on the curve. This
criterion is easy to use when a mathematical model is used to evaluate a control
system.
3. Critical damping . This criterion is used when overshoot above the setpoint is unde­
sirable. Critical damping is the least amount of damping that will produce a response
with no overshoot and no oscillation. Electrical instruments and some processes are
critically damped. Figure 1.16d illustrates this critical damping criterion.

1.12 BLOCK DIAGRAM SIMPLIFICATION

In Section 1.4, we derived the following transfer function of the closed-loop servo control
system shown in Figure 1.6.
C G
(1.1)
R 1+ GH
We can use the transfer function defined by Equation () . t) to reduce the servo control system
in Figure 1.6 to the single block shown in Figure 1.17.
We will now show how the method of block reduction can be used to simplify more elab­
orate block diagrams containing multiple closed loops. The method involves the reduction of
portions of the block diagram until the desired simplification is obtained. The innermost loops
are reduced first and are replaced with single blocks, just as the loop in Figure 1.6 was re­
placed by the single block in Figure 1.17. The objective of a block reduction may be to re­
du~e the original diagram to a single block (as in Figure 1.17), to the standard form shown in
Figure 1.6 or to some other simpler form.

• Figure 1.17 Smgle block representation

of the closed-loop servo control system in
Figure 1.6.
 • Sec. 1.12 Block Diagram Simplification 27

The reduction method is quite simple, as the following procedure illustrates:

I. Assign variable names to all signal lines in the original diagram.
2. Select the blocks you wish to reduce to a single block.
3. Use the block transfer functions to obtain the input/output equation for each block
you selected in step 2.
a. The output of a block is equal to the input to the block multiplied by the block
transfer function.
b. The output of a summing junction is equal to the algebraic sum of its inputs (i.e.,
add inputs marked with a plus (+) and subtract inputs marked with a minus (- )).
4. Use algebraic substitution to combine the equations into a single equation with only
two signals (the input to the first selected block and the output of the last selected
block).
5. Solve the equation from step 4 for the ratio of the output signal over the input signal.
The right-hand side of the resulting equation is the transfer function of the single
block that replaces the blocks you selected in step 2.

EXAMPLE Reduce the block diagram shown in Figure U8a into a single block.
1 .3
Solution I. Assign the variable names as shown in Figure 1.18a.
2. Select the summing junction, block G., and block HI for reduction.
3. Write the I/O equations for each block:
T = S - U (1)

V= GIT (2)

U=H,V (3)

4. Use algebraic substitution to combine the three equations into a single equation in V and S.
a. Substitute Equation (I) into Equation (2):
V = G 1 (S - U) (4)

b. Substitute Equation (3) into Equation (4):

a) Smgle-loop block diagram with variable names

assigned for use in simplification to a single block

s---+l'\ ~ I --v'" f-
• Figure 1.18 Single-loop block diagram
b) Single-block representation of the block diagram and its single-block representation (see Exam­
in part a above ple 1.3).
28 • Chap. 1 Basic Concepts and Terminology

5. Solve Equation (5) for Vis:

v= G,S - G,H,V
V + G,H,V = G,S

The result of the reduction is shown in Figure 1. ISb.

•
E XAM P l E Reduce the block diagram shown in Figure 1.19 into a single block.
1.4
SolutIOn The single block will be obtained by performing three simple reductions. We begin by assigning the
variable names as shown in Figure I .19.

First Reduction . Select the inner loop for the first reduction (see Figure 1./9). This is the same
loop we reduced in Example 1.3 to the following single block:
V G,
-=---­
S + G,H,

The result of the first reduction is shown in Figure 1.20a.

Second Reduction . Select the two blocks in the forward path in Figure 1.20a for the second re­
duction. The I/O equations are:

U~e substitution to eliminate V in the second equation.

,,,---------------------------1,
, v:
R - --- + S ,,
+
G,
T ,, G2 c
- ,,
I
- I
I

,, ,
I

,
I
I
I
,,I U
H, t-­
,,,
I

~----- - --------------- ______ I

H2
W

• Figure 1.19 A multiple-loop servo control system with variable names assigned
to each signal line for use In block reduClIon of the diagram
• Sec. 1.12 Block Diagram Simplification 29

R c

a) First reduction

R c

b) Second reduction

R -11 + G,~'~2G,G2H2~ C • Figure 1.20 Three steps in the reductIOn of

c) Final reduction the block diagram in Figure 1.19.

Solve the above equation for cis to get the single block equivalent of the forward path.
C G,G2
S + G,H,
The result of the second reduction is shown in Figure I.20b.
Third Reduction. Select all blocks in Figure I.20b for the third reduction. The I/O equations are
S=R- W

C- [ G,G2 ] S
1+ G,H,
W= HzC
Use substitution to eliminate Sand W in the middle equation.

c = [I ~'~~H,] [R - HC] 2

Solve the preceding equation for C/R to get the transfer function of the single block equivalent of the
original block diagram in Figure 1.19.

C[ I + G,G H 2 2] = [ GPz ]R
I + G,H, I + G,H,

q 1 + G,H, + G,G2H2 J = [G,G 2 jR

C G,G2
R I + G,H, + G,G2H 2
This final result is shown in Figure 1.20c. •
30 • Chap. 1 Basic Concepts and Terminology

• GLOSSARY

Actuator: An element that translates the controller output into an action on the final controlling ele­
ment. (1.4*)
Closed-loop: The type of control system that uses feedback. (1.4)
Controlled variable: The process variable whose value is controlled by the control system. (1.4)
Controller: The component that computes the error signal and uses it to produce the control action.
(1.4)
Controller output: The control action produced by the control modes. (1.4)
Control modes: Methods the controller uses to convert the error signal into a control action. (1.4)
Critical damping: A critenon of good control that permits no overshoot when the setpoint is
changed . (1.11)
Damping: The progressive reduction or suppression of oscillation in a component. (1.9)
Dead band: The range of values through which an input can be varied without producing an observ­
able change in the output. (1.6)
Derivative mode: A control mode that produces a control action that is proportional to the rate at
which the error is changing. (1.4)
Disturbance variables: Process input variables that affect the controlled variable but are not con­
trolled by the control system. (1.4)
Error: The signal in a controller that is obtained by subtracting the measured value of the controlled
variable from the setpoint. (1.4)
Error detector: The element In a controller that computes the error signal. (1.4)
Feedback: The action of measuring the difference between the actual result and the desired result, and
using that difference to drive the actual result toward the desired result. (1.4)
Gain: The ratio of the amplitude of the output signal of a component divided by the amplitude of the
input signal. (1.2)
Hysteresis: The nonlInearity that causes the value of the output for a gIven input to depend on the his­
tory of previous inputs. (1 .6)
Instability: An undesirable characteristic in which the error of a control system oscillates with con­
stant or increasing amplitude. (1.9)
Integral mode: A control mode that produces a control action that is proportional to the accumula­
tion of error over time. (1.4)
Load: The demand on the manipulated variable required to maintain the desired value of the con­
trolled variable. (1 .8)
Manipulated variable: The process variable that is acted on by the controller. (1.4)
Manipulating element: The component of a control system that uses the controller output to adjust
the manipulated variable. (1.4)
Measured variable: A quantity or condition that is measured (e.g., temperature, flow rate). (1.4)
Measuring transmitter: The component of a control system that uses a sensing element to measure
the controlled variable and converts the response into a usable signal. (1.4)
Minimum integral of absolute error: A criterion of good control that minimizes the accumulation
of error over time. (I. II)
Open-loop: The type of control system that does not use feedback. (1.3)
Phase angle: An angular value that fixes the point on a sine wave where we start measuring time. It
determines the value of the sinusoidal function when t = O. (1.2)
Process: EverythIng performed in and by the equipment in which a variable is controlled. (1.4)

*Relevant section.
 • Chap. 1 Exercises 31

Process variable: Any variable in the process. Process controllers often refer to the controlled vari­
able as the process variable. (1.4)
Proportional mode: A control mode that produces a control action that is proportional to the error.
(1.4)
Quarter amplitude decay: A criterion of good control that progressively reduces the amplitude of
oscillation by a factor of 4. (1.11)
Residual error: The error thai remains after all transient responses have faded out. This is sometimes
referred to as offset. (1.10)
Saturation: The characteristic that limits the range of the output of a component. (1.6)
Sensor: An element that responds to a parameter to be measured and converts the response into a
more usable form . (1.4)
Setpoint: The controller signal that defines the desired value of the controlled variable. (1.4)
Settling time: The time, following a disturbance, that is required for the transient response to fade out.
(1.10)
Transfer function: The mathematical expression that establishes the relationship between the input
and the output of a component. (1.2)

• EXERCISES
Section 1.1 1.5 Determine the gain, phase difference, and transfer
function for each of the following input/output conditions.
1.1 Write a paragraph that describes how you act as a The components are linear.
controller during a common activity such as taking a (a) Frequency: 0.004 Hz
shower. Input amplitude: looe phase: 15°
1.2 Identify the controlled varIable and the manipulated Output amplitude: 0.447 mV phase: -30°
variable in your answer to Exercise 1.1 . (b) Frequency: 36KHz
Section 1.2 Input amplitude: 0.4 V phase: 20°
Output amplitude: 11.6V phase: 19°
1.3 Draw a block diagram of a typical horne heating sys­ (c) Frequency: 0.5 Hz

tem with the following components: Input amplitude: 4.4 V phase: 32°

(a) A household thermostat where the input signal is Output amplitude: 600 rpm phase: 0°
the temperature in the living room and the output sig­ (rpm means revolutions per minute)
nal is either on or off. (d) Frequency: 0.4 Hz
(b) A solenoid valve where the input is the on or off sig­ Input amplitude: 5% phase: 10°
nal from the thermostat and the output is the flow of Output amplitude: 50% phase: 12°
gas to the furnace. (e) Frequency: 0.05 Hz
(c) A household heating furnace where the input is gas Input amplitUde: 3.5 pSI phase: 27°
ftO\\ from the solenoid valve and the output is heat to Output amplitude: 2.1 gpm phase: 18°
the rooms in the house. (psi means pounds per square inch)
(d) The inside of a house where the input is heat from (gpm means gallons per minute)
the furnace and the output is the temperature in the (f) Frequency: 1.6 X 10- 4 Hz
living room. Note: The output of the living room is Input amplitude: 3.2 gpm phase: 0°
also the input to the thermostat, so your diagram Output amplItude: 8.4 inches phase: -58°
should form a closed loop.
Section 1.3
1.4 Name the two parts of the relationship between the
input and the output of a component, name the function 1.6 Write a paragraph that describes an example of an
that establishes this relationship, and give an example of open-loop control system taken from your own experi­
each part from your own experience. ences.
32 • Chap. 1 Basic Concepts and Terminology

1.7 List the advantages and disadvantages of open-loop 1.16 A certain process consists of a kettle filled with liq­
control. uid and heated by a gas flame. A thermocouple tempera­
ture transmitter measures the temperature of the liquid in
the kettle. A control valve manipulates the flow of gas to
Section 1.4 the burner. The control system components are listed be­
1.8 Write a paragraph that describes an example of a low. Name each component and sketch an instrumentation
drawmg for this system.
closed-loop control system taken from your own experi­
ences .
1.9 Assume that you are explaining feedback control to
a friend who knows nothing about control systems. Ex­ Component Code Name Input Output
plain the operations performed by a feedback control sys­
TT-201 Temperature 4-20 rnA
tem . Name each component and each signal in the system
TRC-20 1 4-20 rnA 4-20 rnA
and explain how the system works.
1.10 List the advantages and disadvantages of closed­ TY-201 4-20 m 3-15 pSI
loop control. TV-20t 3-15 psi cfm"
1.11 A flow measuring transmitter has a linear I/O graph
·Cfm ~tands for gas flow rate in cubic feet per minute.
similar to Figure 1.8. The input range is 0 to 10 liters per
minute (L/min); the output range IS 4 to 20 rnA. Find the
following: Section 1.6
(a) Transmitter gain, H = Cm/C
1.17 Test data from four components are given below.
(b) The equation for output Cm in terms of input C
Each le;t consists of a complete traversal from an input
(c) Output Cm when input C = 6 L/min
value of 0 to an input value of 25. The data are listed in the
(d) Input C when output Cm = 4 rnA
order in which the traversal was made. Plot the data from
1.12 A level-measuring transmitter has a linear I/o
each test on an input/output graph with the input on the
graph similar to Figure 1.8. The input range is 5.0 to 10.0
horizontal axis and the output on the vertical axis. Use ar­
meters (m), and the output range is 3 to 15 pSI. Find the
rows to show the direction of traversal.
followmg:
1.18 Identify all nonlinearities exhibited by each compo­
(a) Output Cm when input C = 6.3 m nent in ExerCise 1.17.
(b) Input C when output Cm = 9.1 psi
1.13 A pre5sure-measuring transmitter has a linear I/o Component 1
graph similar to Figure 1.8. The input range is 0 to 200 InpUT
kilopascals (kPa), and the output range is 10 to 50 rnA.
o 5 10 15 20 25 20 15 10 5 0
OUTpUT
Find the following: o 16 38 62 84 100 84 62 38 16 0
(a) Output C m when input C = 72 kPa
Component 2
(b) Input C when output Cm = 13.7 rnA InpUT
1.14 Denve Equation 1.2. o 5 10 15 20 25 20 15 10 5 0
OUTPUT
o 18 36 56 78 100 82 64 44 22 0
Section 1.5
Component 3
1.15 Name the component identified by each of the fol ­ InpUT
0 6 10 15 20 22 25 19 15 10 5 3 0
lowing component codes (see Table D. I in Appendix D).
OUTput
(a) LI-112 (b) AIC-113 (c) PDT-201
10 10 30 55 80 90 90 90 70 45 20 10 10
(d) AIT-113 (e) PAH-201 (f) TDAL-320
Component 4
(g) LRT-112 (h) S'(-141 (i) SAL-141 Input
(j) TI-320 (k) FS-I06 (I) FQI-IIO 0 6 10 15 20 22 25 19 15 10 5 3 0
(m) SAH-141 (n) ZZI-117 (0) ZXI-117 OUTPUT
(p) TAL-320 10 10 27 50 78 90 90 90 73 50 22 10 10
 • Chap. 1 Exercises 33

1.19 Determine the maximum output difference between (c) A food process in plant C uses a dryer to toast com
the increasing line and the decreasing line of any compo­ flakes. What type of load change is a change in pro­
nent in Exercise 1.17 that has a loop in I~ input/output duction rate from 200 pounds per hour (Ib/hr) to
graph. To do this, find the input that has the greatest sepa­ 300 Ib/hr?
ration between the two lines. For this input, read the val­ (d) A food process in plant D uses a solution of sodium
ues of the output on the increasing and decreasing lines, bicarbonate to neutralize synthetic meat fibers. The
and take the difference between the two output values. flow rate of sodium bicarbonate is the manipulated
variable. What type of load change is a change in the
Section 1.7
concentration of sodium bicarbonate?
1.20 List six benefits of automatic control from your (e) In a home heating system, what type of load change
own experience. is produced when the oven is used to bake a cake?
(f) In a home heating system, what type of load change
Section 1.8
is produced by a change in the heat content of the
1.21 Select which of the following four types of load fuel used by the furnace?
change is Illustrated in each example: (g) In a home heating system, what type of load change
I. Change in demand by controlled medIUm is produced by a sudden drop in the outside air tem­
2. Change in quality of manipulated variable perature?
3. Change in ambient conditions (h) In a home heating system, what type of load change
4. Change of energy supplied within the process is produced by opening a window?
(a) A chemical process in plant A mixes two ingredients (i) The block diagram of a person driving a car is shown
that combine to form a compound. Heat is generated in Figure 1.3. In this system, what type of load
by the reaction, and a control system is used to con­ change is produced by a sudden crosswind?
trol the temperature of the mixture. What type of (j) A blending and heating system is shown in Fig­
. load change is a change in the amount of heat gener­ ure 1.10. In this system, what type of load change
ated by the reaction? is produced by a change in the flow rate of heated
(b) A process in plant B uses heated outside air to dry product?
the product before packaging. A rainstorm raises the (k) In the blending and heating system (Figure 1.1 0),
humidity of the outside air so that more heat is re­ what type of load change occurs when the syrup sup­
quired to dry the product. What type of load change ply is suddenly diluted with water?
is this? (I) The school auditorium was empty all morning. What

90

~
i
.'3
.,e 85
200 250
0..
E - - - - - - "'"--'--=--=:..:;::::------=-=
~

80

• i'igure 1.21 Respon5e of a temperature control system to :I ~udden load change

(5ee ExerCISe 1.22).
34 • Chap. 1 Basic Concepts and Terminology

type of load change was applied to the air-condition­ Section 1.10

ing system when 500 students arrive for an afternoon 1.23 A temperature control system produced the re­
concert? sponse shown in Figure 1.21. Detennine the maximum er­
Section 1.9 ror, the settling time, and the residual error from the re­
sponse.
1.22 Which of the five types of damping shown in Figure
Section 1.11
1.14 would be most desirable for the suspension of an au­
tomobile? Explain your answer by describing the ride of 1.24 A step change test of a temperature control system
the automobile with each type of damping. produced an underdamped response similar to Figure

T GI

H
·1

I·
a) See Exercise 1.27
G2

T
C

T_~
R G • C
-I
HI
I·
b) See Exercise 1.28
H2 ;J
R C

c) See Exercise 1.29

R .+ c

d) See ExerCise 1.30

• Figure 1.22 Block diagram, used in Exercises 1.27. 1.28, 1.29, and 1.30.
 • Chap. 1 Exercises 35

1.16b. The first positive peak error measured g0c. What Section 1.12
should the second positive peak error measure to satisfy
the quarter amplitude decay criteria? 1.27 Reduce the block diagram in Figure 1.22a to the
1.25 Does the response in Figure 1.21 satisfy the quarter standard form shown in Figure 1.20b and to a single block
amplitude decay criteria? similar to Figure 1.20c.
1.26 In a chemical process, two components are blended 1.28 Repeat Exercise 1.27 for the block diagram in
together in a large mixer. The temperature of the mixture Figure 1.22b.
must be maintained between 100 and 112°C. If the tem­ 1.29 Repeat Exercise 1.27 for the block diagram in
perature exceeds 114°C, the finished product will not sat­ Figure 1.22c.
isfy the specifications. Which of the three criteria of good 1.30 Repeat Exercise 1.27 for the block diagram in
control should be used for the temperature control system? Figure 1.22c.
• CHAPTER 2 Types of Control

• OB ..IECTIVES

Control system technology has many facets, depending on what is controlled, how the control is ac­
complished, who produces the components, and who uses the control system.
The purpose of this chapter is to introduce you to various types of control systems and the language
associated with each type. After completing thi~ chapter, you Will be able to describe or explain

1. Analog and digital signals

2. Regulator and follow-up control systems
3. Process control and proce&s controller
4. Servomechanism
5. Hydraulic and dc motor position control system&
6. Sequential control
7. Event-driven operation
8. Time-driven operatIon
9. Timing diagram
10. Ladder diagram
11 . Numerical control
12. Robot
13. Centralized control
14. Distributed control

•••• 36
 • Sec. 2.1 Introduction 37

2.1 INTRODUCTION

Control systems are classified in a number of different ways. They are classified as closed­
loop or open-loop, depending on whether or not feedback is used. They are classified as ana­
log or digital, depending on the nature of the signals--continuous or discrete. They are di­
vided into regulator systems and follow-up systems, depending on whether the setpoint is
constant or changing. They are grouped into process control systems or machine control sys­
tems, depending on the industry they are used in-processing or discrete-part manufacturing.
Processing refers to industries that produce products such as food, petroleum, chemicals, and
electric power. Discrete-part manufacturing refers to industries that make parts and assemble
products such as automobiles, airplanes, appliances, and computers. They are classified as
continuous or batch (or discrete), depending on the flow of product from the process--con­
tinuous or intermittent and periodic. Finally, they are classified as centralized or distributed,
depending on where the controllers are located-in a central control room or near the sensors
and actuators. Additional categories include servomechanisms, numerical control, robotics,
batch control, sequential control, time-sequenced control, event-sequenced control, and pro­
grammable controllers. These general categories are summarized below.
Classifications of Control Systems
I . Feedback
a. Not used--open-loop
b. Used~losed-loop
2. Type of signal
a. Continuous-analog
b. Discrete--<ligital
3. Setpoint
a. Seldom changed-regulator system
b. Frequently changed-follow-up system
4. Industry
a. Processing-proce~s control
(I) Continuous systems
(2) Batch systems
b. Discrete-part manufacturing-machine control
(I) Numerical control systems
(2) Robotic control systems
5. Location of the controllers
a. Central control room~entralized control
b. Near sensors and actuators--<listributed control
6. Other categories
a. Servomechanisms
b. Sequential control
(I) Event-sequenced control
(2) Time-sequenced control
c. Programmable controllers
38 • Chap.2 Types of Control

Because we discussed open- and closed-loop control systems in Chapter I, we do not

deal with them in this chapter but cover the other classifications.

2.2 ANALOG AND DIGITAL CONTROL

The signals in a control system are divided into two general categories: analog and digital.
Graphs of an analog and a digital signal are shown in Figure 2.1.
An analog signal varies in a continuous manner and may take on any value between its
limits. An example of an analog signal is a continuous recording of the outside air tempera­
ture. The recording is a continuous line (a characteristic of all analog signals). A digital sig­
nal varies in a discrete manner and may take only certain discrete values between its limits.
An example of a digital signal is an outdoor sign that displays the outside air temperature to
the nearest degree once each minute. A graph of the signal produced by the sign does not
. change during an interval, but it may jump to a new value for the next interval.

74

11.30 IUS 11·40

Time. mmutes

a) An analog signal of the outside air temperature

74

u. 73

71 ....."T"""...,.......,.......- .......,....~

11:30 11.35 11:40

Time. mmutes
• Figure 2.1 Examples of digItal and analog
b) A digital signal of the outside air temperature SIgnals of the same variable.
 • Sec. 2.4 Process Control 39

Analog control refers to control systems that use analog signals, and digital control refers
to control systems that use digital signals. Examples of these control systems are shown in
Section 2.4.

2.3 REGULATOR AND FOLLOW-UP SYSTEMS

Control systems are classified as regulator systems or follow-up systems, depending on how
they are used. A regulator system is a feedback control system in which the setpoint is sel­
dom changed; its prime function is to maintain the controlled variable constant despite un­
wanted load changes. A home heating system, a pressure regulator, and a voltage regulator
are common examples of regulator systems. Many process control systems are used to main­
tain constant processing conditions and hence are regulator systems.

A regulator control system maintains the control variable at a constant setpoint.

A follow-up system is a feedback control system in which the setpoint is frequently

changing. Its prime function is to keep the controlled variable in close correspondence with
the setpoint as the setpoint changes. In follow-up systems, the setpoint is usually called the
reference variable. A ratio control system, a strip chart recorder, and the antenna position con­
trol system on a radar tracking system are examples of follow-up systems. Many servomech­
anisms are used to maintain a position variable in close correspondence with an input refer­
ence signal and hence are follow-up systems.

A follow-up control system maintains the control variable at a changing setpoint.

2.4 PROCESS CONTROL

Process control involves the regulation of variables in a process. In this context, a process is
any combination of materials and equipment that produces a desirable result through changes
in energy, physical properties, or chemical properties. A continuous process produces an un­
interrupted flow of product for extended periods of time. A batch process, in contrast, has an
interrupted and periodic flow of product. Examples of a process include a dairy, a petroleum
refinery, a fertilizer plant, a food-processing plant, a candy factory, an electric power plant,
and a home heating system. The most common controlled variables in a process are temper­
ature, pressure, flow rate, and level. Others include density, viscosity, composition, color, con­
ductivity, pH, and hardness. Most process control systems maintain constant processing con­
ditions and hence are regulator systems.

A process control system maintains a variable in a process at its setpoint.

Process control systems may be either open-loop or closed-loop, but closed-loop systems
are more common. The process control industry has developed standard, flexible, process
controllers for closed-loop systems. Over the years these controllers have evolved from pneu­
matic analog controllers to electronic analog controllers to microprocessor-based digital con­
40 • Chap.2 Types of Control

trollers (microcontrollers). The driving force in this evolution has been increased capability
and versatility, especially in microcontrollers, which tapped the power of the microprocessor.
Most process controllers share a number of common features. They show the value of the
setpoint, the process variable, and the controller output in either analog or digital format.
They allow the operator to adjust the setpoint and switch between automatic and manual con­
trol. When manual control is selected, they allow the operator to adjust the controller output
to vary the manipulated variable in an open-loop control mode. They allow the operator to ad­
just the control mode settings to "tune the controller" for optimum response. Many controllers
also provide for remote setting of the setpoint by an external signal, such as the output of an­
other controller. A local/remote switch allows the operator to switch the setpoint between the
local and remote settings. Figure 2.2 shows the front panel of a single-station microcontroller.
Microcontrollers provide many additional features, some unique to one vendor and oth­
ers common among a number of vendors. The following is a partial list of these features:
Choice of control modes: P, I , PI, PO, and PlD (see the discussion of controllers in Sec­

tion 1.4)

Detects and annunciates alarms.

Accepts several analog inputs (about four) .

Accepts several digital inputs (three or four) .

Provides more than one analog output (can be used to manipulate process variables).

Provides several digital outputs (can be used for ON-OFF control of heating elements, etc.).

Direct input from a thermocouple or RTD temperature sensor.

Linearizes thermocouple inputs.

Performs ratio, feedforward, or cascade control.

Bumpless transfer between automatic and manual modes.

Bumpless transfer between local and remote modes.

Front-panel configuration of the controller.

Adaptive gain: Automatic adjustment of the proportional mode gain based on some

combination of the process variable, the error, the controller output, and a remote input

signal.

Self-tuning by process model: Determination of the control mode parameters from a

model that is formed from observations of the response to step changes of the setpoint.

The step change and modeling process is repeated until the model matches the actual

process.

Self-tuning by pattern recognition: Automatic adjustment of the control mode parameters

after a disturbance by scanning the recovery pattern and applying tuning rules that are

stored in the controller's memory.

Self diagnostics: Automatic detection and annunciation of certain types of failure .

Mathematical operations, such as addition, subtraction, multiplication, division, and

square root.

Digital communication with a supervisory control computer.

Figure 2.3 is a schematic diagram of an electronic analog controller in a routine process

control system.
 • Sec. 2.4 Process Control 41

Nine-character tag

_ - - - Digital readout

Selected variable ­ _ __ - - - ­ Fault indicator

indicator
- - - - - Overrange
indicator

Sctpoint, Operating
measurement, mode status
output indicators

Process alarm
indicator

Simple keypad _ __
fUllctions

• Figure 2.2 Single-station mlcrocontroller. The keypad provides easy adjustment

of famlhar controller operauons and access to complete information about
the process and the controller. Interacuve promptmg simphfies the settmg of ad­
Justable functions. The SE:L key moves the selected vanable mdicator among the
setpoint, mea~urement, and output indicators. The digital readout displays the value
and engineering units of the setpomt, measurement, or output-whichever is chosen
by the selected variable indicator. The two key~ on the left Side of the keypad are
used to increase or decrease the setpoint or the output (depending on the position
of the selected vanable indicator and the operating mode status). The A/M key
selects automauc or manual control. The R/L key selects remote or local setpoml.
The w/ p key chooses monitonng by a ~upervisory computer (workplace) or by an op­
erator (panel). In the workplace settmg. the controller i~ connected to a computer via
a multidrop commUfilcalion link (Courtesy of The Foxboro Company, Foxboro,
Mass.)
42 • Chap.2 Types of Control

Electro-pneumatic
converter

Converter output (P)

product
3 - 15 psi air signal

Control --oo.£::::::::~
valve
Controller

output (V)

(4-20mA) I
Heating
fluid flow
rate(M)
Tubular
ElectrOniC
; a - - _ heat
'1I'. .

controller
exchanger

Heating fluid
Measured

temperature

signal (C..)
Product
(4-20mA> temperature
(e)

Temperature
transmitter

• Figure 2.3 Schematic diagram of a temperature control system. An electronic

analog controller regulates the temperature of a liquid product-for example, the
pasteurization of mIlk. The heat exchanger consists of two concentric tubes; the
product passes through the inner tube, whIch is surrounded by the heating fluid con­
tained in the larger tube. Steam is the most common heating fluid, but hot water and
hot oil are also used. The control valve manipulates the heating fluid flow rate, which
determines the amount of heat transferred to the product. The temperature transmitter
measures the temperature of the product as it leaves the heat exchanger. The con­
troller compares the measured temperature with the setpoint and produces an output
that manipulates the control valve to mamtain the product temperature at the setpoint.

Figure 2.4 is an instrumentation diagram of a more involved process control system,

a compensated mass flow control loop. The purpose of this system is to deliver a flow
of gas in proportion by weight to the demand signal. The flow meter produces a signal that
is proportional to the square of the volume flow rate of the gas. What is needed is a signal
that is proportional to the mass flow rate of the gas. Equation (3.30) in Section 3.4 gives
the mass (m) of a volume (V) of gas as a function of the absolute pressure (p), the abso­
lute temperature (T), the universal gas constant (R), and the gram molecular weight (M) of
the gas:
• Sec. 2.4 Process Control 43

,- - -------------------------­
, Mlcrocontroller '

Demand

Gas supply ..--,. ------~---t

• Figure 2.4 Instrumentation diagram of a compensated mass flow control loop.

Before microproce%or-based dIgital controllers were available, this control loop re­
quired several more pieces of expensive hardware. [From Bulletin C-404A (Foxboro,
Mass.: The Foxboro Company, November 1985), p. 4.]

The equation to convert from volume flow rate (Q) to mass flow rate (w) is obtained by
1. Dividing both sides of Equation (3.30) by time, t,

w = 7= l;R[~] [~]
2. Substituting Q for Vlt,

(2.1)
44 • Chap.2 Types of Control

where w = mass flow rate, kilogram/second

Q = volume flow rate, cubic meter/second
p = absolute pressure, pascal
T = absolute temperature, kelvin
M = gram molecular weight of the gas (see "Properties of Gases" in Appendix A),
gram/mole
R = universal gas constant:::' 8.314 J/K . mol
The volume flow rate, Q, is equal to the square root of the output of the flow meter, D,
multiplied by the flow meter proportionality constant, k(

(2.2)
Substitute Equation (2.2) into (2.1) and replace Mkr/I 03 R by k to get the following conver­
sion equation:

(2.3)

where k = mass flow proportionality constant

D = flow meter differential pressure, pascal

p = absolute pressure of the gas, pascal

T = absolute temperature of the gas, kelvin

Mk r
k = IOJR (2.4)

The controller converts the output of the flow meter (D) into a mass flow rate signal (w) by
mUltiplying the square root of the flow meter signal by the quotient of pressure divided by
temperature. The output of the multiplier is proportional to the mass flow rate and can be cal­
ibrated to the desired accuracy. This mass flow rate signal (w) is the measured variable input
to the PID controller. The ratio unit multiplies the demand signal by a ratio value to form the
setpoint input to the PID controller. The output of the controller is applied to the control valve
to regulate the mass flow rate of the gas in a ratio to the demand signal.

2.5 SERVOMECHANISMS

Servomechanisms are feedback control systems in which the controlled variable is physical
position or motion. Many servomechanisms are used to maintain an output position in close
correspondence with an input reference signal and hence are follow-up systems. Servomech­
anisms are often part of another control system. Robotic control systems contain several ser­
vomechanisms, one for each joint in the robotic arm. Numerical control machines use servos
to control the motion of the tool. Recorders use servos to position the recording pen. The
driver and automobile control system in Figure 1.3 contains a power steering system, which
is a servomechanism. If the car has cruise control, that is another servomechanism.
There is no theoretical difference between a servomechanism and a closed-loop process

A servomechanism controls the position or motion of some part of a system.

• Sec. 2.5 Servomechanisms 45

control system; the same mathematical elements are used to describe each system, and the same
methods of analysis apply to each. However, because servo control and process control were de­
veloped independently of one another, each has evolved different design methods and a differ­
ent terminology. Servomechanisms usually involve relatively fast processes-the time constants
may be considerably less than 1 s. Process control involves much slower processes-the time
constants are measured in seconds, minutes, and even hours. The components in a servomech­
anism are usually well defined mathematically, so the controller can be designed to meet the sys­
tem specifications with little or no need for field adjustments. Processes are more difficult to de­
fine mathematically, so process control systems usually require field adjustments to obtain
optimum response. Figures 2.5 and 2.6 provide examples of servomechanisms.
The hydraulic position control system in Figure 2.5 uses a lever to provide a mechanical
feedback signal. The hydraulic valve is shown in the neutral position. If the setpoint lever is
moved to the right, the valve spool also moves to the right, thus connecting the left side of the

Sctpoint

Feedback
lever

Load

Hydraulic cylinder

a) Schematic diagram

Setpoint
r
I Hydrauhc I
Hydrauhc
cyhnder
valve
I 011 now
+- Error = I and load Position
valve rate
Measured
pOSItion of
POSItIon
load
of
(e)
load
I Feedback
lever
(C.,) I
b) Block dIagram

• Figure 2.5 Hydraulic position control system.

46 • Chap. 2 Types of Control

hydraulic cylinder to the pressure port and the right side to the return port. Hydraulic fluid
will flow into the left side of the cylinder, moving the piston and load to the right until the
valve is back in the neutral position. If the setpoint handle were moved to the left, the load
would be moved to the left. For each position of the setpoint handle, there is a corresponding
position of the load that will place the valve in its neutral position. A small force will move
the lever to control a large force exerted by the cylinder.
A dc motor position control system is illustrated in Figure 2.6. This system positions an
antenna in response to a command voltage applied at the setpoint input. The position sensor
is a lO-kilohm (kn) potentiometer with no stops and a 20° dead zone. The position sensor
voltage output goes from - V to + V as the antenna rotates from its + 1700 position to its
-170 0 position. The operational amplifier and the three resistors form a proportional (P)

Antenna

Mea~ured posItIon. Pm
-v

a) Schematic dIagram

Load
Speed position
SP + reducer (C)
and
load
Motor
output
torque

b) Blo~k diagram

• Figure 2.6 DC motor position control system.

 • Sec. 2.6 Sequential Control 47

mode controller with a proportional gain of Rr/R m .

The output of the controller is -lV/Rin times the algebraic sum of the setpoint voltage
(SP) and the measured position voltage (Pm):
-R,
Controller output = R (SP + Pm)
In

The power amplifier inverts the controller output and increases the voltage by a factor of Gm
the gain of the power amplifier:
GaR,
Power amplifier output = - - (SP + Pm)
Rin
The power amplifier output is applied to the armature of the de motor. The motor speed is pro­
portional to the voltage applied to the annature and the direction is such that when the arma­
ture voltage is positive, the motor drives the position sensor toward - V, and when the arma­
ture voltage is negative, the motor drives the antenna toward + V. The result is that the motor
drives the position sensor in the direction that will tend to make the sum of SP and Pm equal
to zero. The summing junction of the op amp is the error detector, and the tenn (SP + Pm) is
the error signal (SP - Cm) defined in Section 1.4. Notice that Cm = - Pm and the controller
uses positive feedback. The negative feedback in this example is accomplished by making the
sign of the position sensor voltage opposite the sign of the setpoint voltage.

2.6 SEQUENTIAL CONTROL

A sequential control system is one that perfonns a set of operations in a prescribed man­
ner. The automatic washing machine is a familiar example of sequential control: The con­
trol system perfonns the operations of filling the tub, washing the clothes, draining the tub,
rinsing the clothes, and spin drying the clothes. The automatic machining of castings for au­
tomobiles is another example of sequential control: A sequence of machining operations is
perfonned on each casting to produce the finished part. Sequential control is covered in de­
tail in Chapter 11; our objective in this chapter is to give an overview of sequential control
systems.

A sequential control system performs a set of operations in a prescribed manner.

The operations in a sequential control system can be categorized according to how they
are initiated and tenninated. One method is to initiate or tenninate an operation when some
event takes place. We use the tenn event-driven for this method. The other method is to initi­
ate or tenninate an operation at a certain time or after a certain time interval. We use the tenn
time-driven for this method.
An automatic washing machine is an example of a time-driven sequential control system.
The washing cycle starts out with one event-driven operation-the fill operation begins when
someone presses the START button and tenninates when the tub is full. However, the re­
48 • Chap. 2 Types of Control

maining operations are all initiated and terminated by a timer. These include the wash opera­
tion, the drain operation, the rinse operation, and the spin-dry operation. Most batch process
control systems are time-driven sequential systems. Time-driven systems are · described by
schematic diagrams and timing diagrams. Schematic diagrams show the physical configura­
tion, and timing diagrams define the sequential operations. The timing diagram of an auto­
matic washing machine is shown in Figure 2.7.
A traffic counter is a simple example of an event-driven system. The counter is placed at
the side of the road, and the sensor, which is a long rubber tube, is stretched across the road.
Each time a vehicle axle passes over the tubular sensor, the counter increases its count by l.
Thus an event (an axle passing over the sensor) drives the counter. Manufacturing industries
are principal users of event-driven sequential controllers. Before 1970, large relay panels
were used to control event-driven operations. In 1968, the Hydramatic Division of General
Motors Corporation specified the design criteria for the first programmable logic controller
(PLC). The purpose was to replace inflexible relay panels with a computer-controlled solid­
state system. The project succeeded beyond anyone's dreams. Programmable logic controllers
have gone beyond replacement of relay panels to include PID modules for process control and
communications interfaces that make it possible to link programmable controllers into an in­
tegrated manufacturing operation.
Event-driven systems are described by ladder diagrams and Boolean equations. The sym­
bols of components used in ladder diagrams are included in Chapter 9. The components most
frequently used include switches, contacts, relays, contactors, motor starters, time-delay re­
lays, pneumatic solenoid valves, pneumatic cylinders, hydraulic solenoid valves, and hy­
draulic cylinders. The pneumatic cylinder in Figure 2.8 is an example of an event-driven con­
trol system.

Operation Timing sequence

Fill

Agitate

Drain

Spray

Spin

o 5 10 15 20 25 30 35 40
Time. minutes

• Figure 2.7 TIming diagram of an automatic washing machine.

 • Sec. 2.7 Numerical Control 49

Air cylinder with "'­

ILS
spring return '\
~

,I) Schem,uic diagram

• Figure 2.8 Event-driven sequential control

LI L2 system for a pneumatic cylinder. The valve IS
shown in its deenergized positIon, which con­
- 1 1 5· VAC. ,mgle-phase ­ nects the air cylinder to the exhaust Ime . This
allows the spring to force the piston to the re­
Stan tracted position shown in the diagram. The op­
Stop erator presses and releases the START switch to
r---,.........sr"T""oQ-Ln..............~'--...J
begin a cycle. This causes relay lCR to ener­
gize, closing both contacts labeled ICR. The
ICR contact that is connected in parallel with
the START switch holds relay 1CR in the ener­
gized position. The other ICR contact energizes
ICR solenoid a (Sol a), which moves the valve to the
nght, connecting the cylinder to the air supply
line. The air pressure forces the cyhnder to the
nght until it reaches and opens limn switch
ICR ILS. When ILS opens, relay ICR IS deener­
Sola gized, opening both ICR contacts. The valve
again connecL~ the cylinder to the exhaust line,
and the spring forces the cylinder back to the
b) Electrical cIrculi ladder dIagram retracted position, ending the cycle.

2.7 NUMERICAL CONTROL

Numerical control is a system that uses predetermined instructions to control a sequence of

manufacturing operations. The instructions are coded numerical values stored on some type
of input medium, such as punched paper tape, magnetic tape, or a common memory for pro­
gram storage. The instructions specify such things as position, direction, velocity, and cutting
speed. A part program contains all the instructions required to produce a desired part. A
machine program contains all the instructions required to accomplish a desired process. Nu­
merical control machines perform operations such as boring, drilling, grinding, milling,
punching, routing, sawing, turning, winding (wire), flame cutting, knitting (garments), rivet­
ing, bending, welding, and wire processing.
50 • Chap.2 Types of Control

A numerical control system uses a program to control a sequence of manufacturing operations.

Numerical control (NC) has been referred to as flexible automation because of the rela­
tive ease of changing the program compared with changing cams, jigs, and templates. The
same machine may be used to produce any number of different parts by using different pro­
grams. The numerical control process is most justified when a number of different parts are
to be produced on a particular machine; it is seldom used to produce a single part continually
on the same machine. Numerical control is ideal when a part or process is defined mathe­
matically. With the increasing use of computer-aided design (CAD), more and more processes
and products are being defined mathematically. Drawings as we know them have become
unnecessary-a part that is completely defined mathematically can be manufactured by
computer-controlled machines. A closed-loop numerical control machine is shown in Figure 2.9.
The NC process begins with a specification (engineering drawing or mathematical defi­
nition) that completely defines the desired part or process. A programmer uses the specifica­

tJ' M,lChm.:

~ .:ontrol unit

11111

.... ,
Input 10 ~ M\:,.,unng de\ u;\!
n1.l.:hm.: 1001 ~(pr,:c"lon g.:ar,)

~"'O:: 0 Machm.: r
~ I.:ad -.cr':l11 -:::?'
~-

• Figure 2.9 Numerical control machme that uses closed-loop systems to control
x, y, and Z pOSitions. The x position controller moves the workpiece horizontally in
the direction indicated by the + x arrow. The y position controller moves the milling
machine head horizontally m the direclton mdicated by the +y arrow. The Z poSition
controller moves the cutting tool vertically as indicated by the + z arrow. The follow­
ing actions are involved in changing the x-ax.is posilton. (I) The control umt reads an
mstruction in the program that specifies a +O.OO4-inch (10.) change 10 the x position.
(2) The control umt sends a pulse to the machine actuator. (3) The machme actuator
rotates the lead screw and advances the x-ax.ls positIOn +0.001 m. (4) The poSition
sensor measures the +O.OOI-in. change in x-ax.is position and sends thIS informatIOn
to the control um\. (5) The control unit compares the +O.004-in. required motion
With the +O.OOI-m. measured motion and sends another pulse. Steps (I) through (5)
are repeated until the measured motion equals the desired +0.004 in. [From N. O.
Olesten, Numerical Control (New York: John Wiley & Sons, Inc., 1970), p. 12.1
 • Sec. 2.8 Robotics 51

tion to determine the sequence of operations necessary to produce the part or carry out the
process. The programmer also specifies the tools to be used, the cutting speeds, and the feed
rates. The programmer uses a special programming language to prepare a symbolic program.
APT (Automatically Programmed Tools) is one language used for this purpose. A computer
converts the symbolic program into the part program or the machine program. In the past, the
part or machine program was stored on paper or magnetic tape. The numerical control ma­
chine operator fed the tape into the machine and monitored the operation. If a change was
necessary, a new tape had to be made. Now, it is possible to store the program in a common
database with provision for on-demand distribution to the numerical control machine.
Graphic terminals at the matching center allow operators to review programs and make
changes if necessary.
Computerized numerical control (CNC) was developed to utilize the storage and pro­
cessing capabilities of a digital computer. CNC uses a dedicated computer to accept the input
of instructions and to perform the control functions required to produce the part. However,
CNC was not designed to provide the information exchange demanded by the recent trend to­
ward computer-integrated manufacturing (CIM). The idea of CIM is to "get the right infor­
mation-to the right person-at the right time-to make the right decision." "It links all as­
pects of the business-from quotation and order entry through engineering, process planning,
financial reporting, manufacturing, and shipping-in an efficient chain of production."*
Direct numerical control (ONC) was developed to facilitate computer-integrated manu­
facturing. ONC is a system in which a number of numerical control machines are connected
to a central computer for real-time access to a common database of part programs and ma­
chine programs. General Electric used a central computer connected to ONC machines
through a communications network in the automation of its steam turbine-generator opera­
tions (ST-GO). "A typical turbine-generator consists of more than 100,000 parts, some of
which are manufactured in thousands of different configurations to meet the specific needs of
each custom-designed unit. Through the CIM system, customers can specify a needed part
and receive replacement components that suit the original configuration of more than 4000
operating ST-GO installations. In some cases, the small-parts shop can now manufacture and
ship some emergency parts the same day the order is received."t

2.8 ROBOTICS

The industrial robot is a programmable manipulator designed to move material, parts, tools,
or other devices through a sequence of motions to accomplish a specific task. Robots are used
to move parts, load NC machines, operate die-casting machines, assemble products, weld,
paint, debur castings, and package products. The most common robotic manipulator is an arm
with from one to six axes of motion (or degrees of freedom). The robotic arm shown in Figure
2.10 has six axes of movement:

Searle et aI., "Computer-Integrated Manufacturing System Goes Beyond CAD/CAM," Control Engineering, Feb­

ruary 1985, p. 50.

I Searle et aI., p. 51

52 • Chap.2 Types of Control

Elbow
exten~ion

Shoulder

Arm sweep

• Figure 2.10 The Cincinnall Mllacron T3

robot has SIX axes of movement, which dupli­
cate the movements of a human arm. (From
N. M. Morris, "Where Do Robots Fit in Indus­
trial Control?" Control Engineering, February
1982, p 59.)

1. Arm sweep (left or right at the waist)

2. Shoulder swivel (up or down at the shoulder)
3. Elbow extension (in or out at the elbow)
4. Pitch (up or down at the wrist)
5. Yaw (left or right at the wrist)
6. Roll (clockwise or counterclockwise at the wrist)

A robot is a programmable manipulator that moves various objects through a sequence of

motions to accomplish a specified task.

Another type of robotic manipulator is a motorized cart that follows a programmed path to
move parts from place to place in a factory.
Each axis of motion has its own actuator, connected to mechanical linkages that accom­
plish the motion of the joint. The actuator may be a pneumatic cylinder, a pneumatic motor,
a hydraulic cylinder, a hydraulic motor, an electric servomotor, or a stepper motor. Pneumatic
actuators are inexpensive, fast, and clean, but the compressibility of air limits their accuracy
and ability to hold a load motionless. Hydraulic actuators can move heavy loads with preci­
sion and hold the load motionless, but they are expensive, noisy, relatively slow, and tend to
leak hydraulic fluid. Electric actuators are fast, accurate, and quiet, but backlash in the gear
train may limit their precision .
• Sec. 2.8 Robotics 53

Industrial robots have three main parts: the controller, the manipulator, and the end effec­
tor. The end effector is a mechanical, vacuum, or magnetic device that is attached to the manip­
ulator at the wrist and is used to grip parts or tools. The rrumipulator has already been described
in some detail. The controller may be simple mechanical stops in a single-axis robot with open­
loop control, or it may be a computer in a six-axis robot with closed-loop control. In any event,
the controller stores the sequencing and positioning data in memory. It also initiates and stops
each movement of the manipulator in the specified sequence of operations. If the controller is a
computer, it may communicate with a host computer to download programs and provide man­
agement information. Each axis of motion is controlled by either an open- or closed-loop con­
trol system. The open-loop control systems may be mechanical stops on a pneumatic cylinder,
cam-actuated solenoid valves on a hydraulic motor, or an electric stepper motor. The closed­
loop control systems are usually follow-up position control systems (servomechanisms). How­
ever, sight, tactile sensing, and voice recognition are also being used as inputs to the controller.
The simplest type of robot is the open-loop pick-and-pLace (PNP) robot. A PNP robot
picks up an object and moves it to another location. The robot's movements are usually ac­
complished by pneumatic actuators controlled by limit switches, cam-actuated valves, or me­
chanical stops. The controller initiates movement along one axis at a time in an event-driven
sequence. Each movement continues until a limit is tripped, stopping the motion. The con­
troller then initiates movement on the next axis in the sequence. Typical applications include
machine loading or unloading, palletizing, stacking, and general materials-handling tasks.
Open-loop PNP robots are quite accurate, but they lack coordination of the various axes.
The second level of robots uses servo control on most axes and can be programmed to
move from one point to another. If the path is not critical, the robot is called point-to-point
(PTP). If the path is critical, the robot is called continuous path (CP). A PTP robot moves
from point to point and performs a function at each point. Typical PTP functions include spot
welding, gluing, drilling, and deburring. A CP robot moves from point to point on a specified
path and performs an operation as it moves along the path. Typical CP applications include
paint spraying, seam welding, cutting, and inspection. The second-level controllers are either
programmable controllers or minicomputers. A teaching pendant is used to program the ro­
bot using a simple teach-by-doing method.
The third level of robots can also be programmed to move from point to point or in a con­
tinuous path. However, in addition to on-line programming using a teaching pendant, they can
also be programmed off-line using a keyboard and CRT. These robots can communicate with
a host computer. They use high-level languages and artificial intelligence to process informa­
tion from a CAD/computer-aided engineering (CAE) database. They are capable of integra­
tion into computer-controlled workstations.
Robotic servo control systems use position and velocity feedback signals to control
movements of the manipulator. The position signal can be either absolute or incremental. The
robot's controller sends a setpoint signal to each servo to move along its axis to a given posi­
tion (absolute position) or through a given distance (incremental position). Position and ve­
locity are referred to as the internal feedback signals of the servo control loop. The robotic
controller has other sensory inputs (external to the servo loop) that it can use to carry out its
assigned task. These external inputs include vision, tactile sensing (touch), and voice recog­
nition. The controller uses these external sensory inputs to detect the presence of an object,
the dimensions of an object, or even the identity of an object. With a sense of vision or touch,
a robot can calibrate its position sensors, search a defined area to locate a part, and identify
any part it finds. Sensors are covered in detail in Chapters 7 and 8.
54 • Chap.2 Types of Control

The industrial robot comes ready to do a job but does not know how. The user must pro­
gram the robot to do its assigned task. First the user must determine the sequence of opera­
tions required to do the job. Then an operator must place this sequence of operations into the
robot's memory. In simple PNP applications, the operator locates the mechanical stops or
limit switches and establishes the logic of the event-driven sequence. In PTP and CP appli­
cations such as welding and spray painting, the operator uses a "teach-by-doing" method to
program the robot. The operator puts the controller into the TEACH mode and moves the ma­
nipulator through the desired sequence of operations. The controller learns what it is taught
by recording in its memory the various positions of the manipulator's joints. When finished ,
the operator puts the controller in the RUN mode and the robot follows the position data in its
memory and exactly repeats the sequence of operations it was taught.
Robot manufacturers provide a teaching pendant to assist the operator in programming
the robot. A typical pendant looks somewhat like a pocket calculator. It has an alphanumeric
display and several pushbuttons. The programmer can move the manipulator by pressing the
appropriate button on the pendant or in some cases by actually moving the manipulator to
the desired position. When each correct position is achieved, the programmer pushes another
button to tell the computer to read and store the position of each joint in the robot's manip­
ulator. When all positions have been recorded, the operator presses a REPEAT button to check
the movements of the manipulator for any errors that might have occurred in the teaching
process.
The "teach-by-doing" method works well for the simpler PTP and CP operations. How­
ever, when the operations become complex, the operator may have difficulty visualizing the
program's structure. In these applications, off-line programming using a personal computer is
more appropriate. One advantage of off-line programming is that valuable production time is
not lost by on-line teaching of the robots. Another advantage is that the programmer can use
the powerful software available for CAD and CAE. A third advantage of off-line program­
ming is that the robot programs can be prepared before the fixtures are built, shortening the
time required to put a new product into production.
In the past decade, industry has made a major effort toward factory automation. One as­
pect of this is the "islands of automation" created by robotic work cells. The traditional method
of grouping machine tools is to put all machines of a particular type in the same department
and the same location. There would be a department of milling machines, a department of drill
presses, a department of grinders, and so on. The problem with this arrangement is that it
proved to be very inefficient. The Comptroller General, in a 1975 report to Congress, estimated
that only 5% of the time consumed in producing a part is spent on the machine itself. * The
other 95% of the time is expended in materials handling, record keeping, and so on. The ro­
botic work cell is an arrangement that can significantly reduce the time spent on nonproduc­
tive activities.
A robotic work cell is a group of machine tools and robots arranged for the efficient pro­
duction of a particular type of product. In this method, products that require the same ma­
chining operations are grouped together for production in a particular workstation. A com­
puter controls the entire workstation, so the robots and machine tools work together in the

• Morris et a!., "Profitable RobolJC Work Cells." Control Engllleenng, March 1985, p. 81.
 • Sec. 2.9 The Evolution of Control Systems 55

-------------1

..- Prab
robot 2 I

Hydraulic
power unit
• Figure 2.11 Top vIew of a robotic work
Press cell for forging points. Robot I pIcks up a raw
forging from (A) while robot 2 pIcks up a
8 forged part at (C). Robot I then swings to (8)
as robot 2 retracts out of the forge to (D). Robot
I extends into the forge (C) and robot 2 swings
to discharge pallet (E). Robot I sets the raw
forging into the dIe (C) as robot 2 sets the
forged part onto the pallet (E) in one of four p0­
sitions. Robot 1 retracts from the forge and sig·
nals the forge's controller to cycle, and robot 2
swings to (D). Robot I then swmgs to the in­
feed conveyor (A) as robot 2 extends into the
forge (C). The cycle then repeats. (From N. M.
Morris, "Controlling MUltiple Robot Arms ,"
Control Engineermg, November 1986, p. 146.)

most efficient manner. Figure 2.11 shows the top view of a robotic work cell for the produc­
tion of forged parts.

2.9 THE EVOLUTION OF CONTROL SYSTEMS

Process control and machine control are going through an evolution that began with two sep­
arate and distinct systems and is approaching one integrated, distributed system of control for
the entire manufacturing plant. Each step in the evolution was made possible by advance­
ments in control system technology, and each step brought improvements to the control of
manufacturing operations.
Process control began with sensing elements connected directly to recording controllers,
which, in tum, were connected directly to the control valve. The control loop intelligence was
distributed near the process it controlled. This distribution of loop intelligence produced good
control of individual process variables, but operators could not adequately monitor all of the
control loops, especiaIJy in spread-out processes such as oil refineries, paper mills, steel mills,
56 • Chap.2 Types of Control

and chemical plants. Control engineers could only dream of advanced control concepts, be­
cause there was no way to use inputs from several process variables to improve the control of
critical variables in the process.
Then along came pneumatic transmitters, controllers, and valve actuators. Industry stan­
dardized on the 3- to IS-psi pneumatic signal, making it possible to obtain a measuring trans­
mitter from one vendor, a controller from a second vendor, and a control valve from yet a third
vendor. When the three components were assembled into a control loop, the system worked.
Better still, the control engineer was able to collect all the controllers for a process into a sin­
gle room, and the central control room concept was born. Operators were now able to moni­
tor the process in a way not possible before. The central control room was the evolutionary
step brought on by the 3- to IS-psi pneumatic signal. This gathering of the control loop in­
telligence in the control room did have a couple of serious disadvantages. One was the cost
of the pneumatic lines between the process and the control room. Each control loop required
two signal lines: one from the measuring transmitter to the controller, the other from the con­
troller to the control valve. In large plants, these lines were hundreds, even thousands of feet
long. Also, control was not quite as good, because of the transmission delay in the long pneu­
matic signal lines. Pneumatic signals travel at about lOoo ft per second (ft/s) . A process loop
located 500 ft from the control room would suffer a l-s delay in the control loop--a I-s de­
lay from the measuring transmitter to the controller and another 1-S delay from the controller
to the control valve.
Next came electronic analog transmitters, controllers, and electropneumatic converters.
The pneumatic signal lines were replaced by 4- to 20-mA electric signal lines. Because elec­
tric signals travel at nearly the speed of light, this eliminated the second disadvantage of the
control room concept (i.e., signal delay was no longer a problem). Cost of the transmission
lines was still significant, and a new disadvantage was introduced. The electric signal lines in
a control loop make a good antenna, and the control loops picked up noise signals from the
surrounding environment. Noise reduced the accuracy of the transmitted signal and caused
problems as the controller carried out the control algorithm.
The digital computer entered the process control scene in 1959 when Texaco used a
TRW-3oo digital computer to control a polymerization unit. At last the control engineer had
a tool to implement advanced control concepts. Input of all process variables into the com­
puter memory meant that every process variable was available for use in a control algorithm.
One method of using computers for control was to replace the analog controllers with a sin­
gle large digital computer. The term direct digital control (DDC) was used to describe this
type of system. Reliability was a problem, however. If the computer failed, the entire process
was out of control. This happened with enough regularity that some form of backup was in
order. One backup scheme used a standby computer that was ready to take over in case the
primary computer failed . In extremely critical applications such as the space program, two
backup computers were used. Another method used analog controllers for backup in case the
DDC computer failed. Yet another method used analog controllers for loop control with the
digital computer used in a supervisory role.
Machine control began with hard-wired panels of relay logic, motor starters, fluid actua­
tors, and solenoid valves. Servo control systems used vacuum tubes, and variable-speed
drives consisted of dc generators driving dc motors (the so-called rotating amplifiers). In the
1950s, numerical control machines appeared and machine control entered the world of digi­
 • Sec. 2.10 Examples of Control Systems 57

tal control. These NC machines were programmed off-line and used punched paper tape for
storage of the program. Programmable controllers appeared about 1970, replacing hardwired
relay logic with reprogrammable computer logic. Improvements in semiconductor switching
elements and memory systems set the stage for the microprocessor in the 1980s. The micro­
processor generated the changes that are finally bringing process control and machine control
under a single umbrella of unified control system technology.
The microprocessor gave us the means to move the control loop back to the plant floor
and the ability to communicate with this distributed intelligence. We can have the "short loop"
advantages of distributed control and the fully informed operator of a centralized control sys­
tem. Figure 2.12 shows a fully integrated, distributed control system for a hypothetical manu­
facturing plant that has both process control and machine control systems. The path that
crosses the top and runs down the right side represents the communication network. The
terms data highway and local area network (LAN) are used for different approaches to the
communication network. In the 1980s, industry began a major effort to solve the problem of
communicating with all the various devices in a manufacturing plant. The purpose of this ef­
fort is to develop a set of standards called the Manufacturer's Automation Protocol (MAP).
See Appendix F for further details about communication networks.
All the control loops are closed on the plant floor. The local control units (LCUs) contain
I/O modules that condition the input signals and controller modules that carry out the control
algorithms. The control modules have access to all the inputs from the process, giving the
'.-.,
control engineer complete freedom to apply advanced control techniques. The LCUs are de­
signed to withstand the harsh environment of the plant floor, so the loop intelligence can be
located close to the process it controls. The control loops are short, and the communication
network is not bogged down with routine control signals. The measuring transmitters are in­
telligent-they contain their own microprocessor. These smart transmitters convert the ana­
log signal into a digital signal, linearize the signal, eliminate noise, convert the signal to en­
gineering units, store the 10 tag of the transmitter, and store the date of the last calibration.
They can even store values of past data for trend analysis. All modules in the system are ad­
dressed by their 10 tag, and data can be obtained from any module in the system at any place
in the system.
Local control units can handle continuous processes, batch processes, and robotic work
cells. In addition, other units, such as programmable logic controllers (PLCs), can be inter­
faced with the communications network. Local operators, central control room operators,
plant maintenance, plant engineering, and plant management all have access to all the infor­
mation via color display and keyboards.

2.10 EXAMPLES OF CONTROL SYSTEMS

An example of the application of a microprocessor in a sequential control system is shown in

Figure 2.l3. This system monitors the voltage and current supplied to critical (or emergency)
loads, such as a life support unit in a hospital. If a power failure occurs, the control system
starts the emergency generator and switches the generator output to the critical load. This as­
58 • Chap. 2 Types of Control

~ta Highway or MAP-Compallble Local Area Network.

II II

{ ~~/I% ol~o
Alann
Matu~
0*00

IIIIIIIIIIIIIIIIIIIIIIIIU/
Managcment Engineering Maintenance Central contrnl room Pa~t data
,tallon 'tallon Mallon ,tallon ,torage

LCU

I
Proce~~
operator'~
,tallon

r---------------~-----------
Batch
E
~ ;----r=::::::::=--:.::::::.-=
r-----­ proce"or
~ I I r-­ module,

~----~~~±---~~ ~JpL~ __- Ba/ch

pr(l(('\.\(~'\
' - - _ L - . l - -_ _ _ _ H
RobotiC
work cell
Robol/c
operdtor' ,
Machine r---- ONC / ...ar~ (ell ~tatlon

L~f ""I ~ r- '~:::oo~:-T~~c~~~~~ R~~'

s"~'!M ~j ~ !::,~ i j rr~~- "m~~""
I I I L _________ J : : : LCU

L ___________
I _____________________________________
L =:=__
===== ·:::..-_·:::..-_-_-=:~...J ~:

Contactor
~/§ Pml!rammable
C)­ -l._____ .:-_-.:-.:-:-~_::-:::::::.:::_=_=.:. logic
contmller-
I=========~
---t--\tl--+---...r--~IJ
LI
. . . _- - Motnr ----­
,tarter,. PLC

., _ _ _ _ _ _ _ _...J
I.- I Heating
element
ctc ""­
..........

Se'lllt'lIl/a/ '.\'.\/t'm.\

• Figure 2.12 Integrated, distributed control system for a hypothetical manufac­

tUring plant that contains both proces5 and machine control systems.
 • Sec. 2.10 Examples of Control Systems 59

Senal Input and output from a remote terminal

interface or a buildmg management computer

Analog interface
Multiplexer
rectifier filter and
A·D converter

Line current inputs

DIsplay and Front panel

dIgital for display and
mterface programming

CPU
and
memory

DC
output
Power supply K2
AC Battery
"'. ", Input input Engine
vw start
fYI'{)

Three-phase Ll
utility { L2
L3
Current -+ fi'i\ 10\ /i\\
transformers -\lJ W ~

'----v----'
To emergenc), load

• Figure 2.13 Microprocessor control system for an emergency generator (Cour­

tesy of ONAN CorporatIon.)
60 • Chap. 2 Types of Control

sures a continuous source of power in situations where loss of power would have serious con­
sequences.
The microprocessor consists of six units: the power supply, the central processor (CPU)
and memory unit, the display and digital interface, the front panel, the analog interface, and
the serial interface. The power supply provides the dc voltage necessary to operate the mi­
croprocessor. The ac line is the normal source of power, but an input from the engine crank­
ing battery is provided to ensure uninterrupted power to the microprocessor.
The CPU controls the interpretation and execution of instructions. It consists of an
arithmetic section, working storage registers, logic circuits, timing and control circuits, de­
coders, and parallel buses for transfer of binary data and instructions. Memory includes
random access memory (RAM) and read-only memory (ROM). The RAM memory has both
read and write capability and is used primarily as scratch pad memory for storage and
retrieval of temporary data and instructions. The ROM is used to store the main program and
permanent data.
The display and digital interface contains the electronic circuits that match the CPU
to the two control relays and the front panel. Relay Kl controls the emergency load switch.
The actual switching action is performed by a linear motor (not shown in Figure 2.13), and
the K I relay operates the linear motor. The K2 relay is used to start and stop the generator
engine.
The human interface provided by the front panel is one of the principal advantages of
digital control. The front panel contains a function switch, a digital display, and a keyboard.
The function switch selects the signal that will appear on the digital display. The keyboard is
used for manual input of data or instructions into memory.
The analog interface matches the CPU to the nine analog input signals. It includes a mul­
tiplexer, a rectifier, a filter, and an analog-to-digital converter. The multiplexer selects the in­
put signals one at a time for input to the rectifier. The rectifier converts the ac analog signals
into dc signals, and the filter removes the ripple in the rectifier output. The analog-to-digital
converter changes the dc analog signal into a digital signal (usually an 8- to 16-bit binary
number).
The serial interface matches the CPU with an external terminal or a building management
computer. The ability to communicate with a remote computer or terminal is another princi­
pal advantage of digital control. This feature provides the building manager with immediate
information about the status of the various systems in the building.
A variety of examples of control systems are illustrated in Figures 2.14 through 2.22.
The examples include systems to control level, speed, liquid flow rate, gas pressure, engine
speed, solid flow rate, sheet thickness, a hydraulic cylinder, and the composition of a liquid
blend.
• Sec. 2.10 Examples of Control Systems 61

Controller output
(3 - 15 psi)

Control valve

Pneumiltic
controller
Input
/low

Level of liquid
(C)

Measured Lewl
level measuring

signal (C.. J means

Output
(3 -15 psi!

/low

• Figure 2.14 The level in the tank remams constant when the mput flow fate
equals the output flow rate. The level rises when the input flow rate is greater (or
drops when the input flow rate IS less) than the output flow rate. The controller uses
the level signal to maintain a balance between the input and output flow rates

Power
amplIfier

OP Armature
AMP voltage (EQ) Tachometer
generator

----8----
Rotauonal
speed (C)

Tachometer

voltage (Cm ) L -_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ~

• Figure 2.15 DC motor ~peed control system.

62 • Chap.2 Types of Control

Controller OUtpul (4-20 rnA)

Electro- pneumatic
converter

,--------------------,I
..
I
I Amplifier
~~--~~---- ------; :
I

I
Converter

output

(3 - IS psi)

Force I
transducer I
Force beam I
;-t;lI!F>I'--__ Pivot l
F'HH:i~1o- Diaphragm I
Orifice :
I

Jnle-;---6i~mlm~
: Flow race (0

L_ - - - - - -- -,~:~ ~~ measuri". transmitter

• Figure 2.16 liqUid flow rate control system. This system consists of a flow rate
measuring transmitter, a mlcrocontroller (see Figure 2.2), an electro-pneumatic con­
verter, and a control valve.
The measurmg transmitter produces a 4- to 20-mA measured flow rate signal that
is proportional to the square of the flow rate The microcontroller converts the mea­
sured flow rate signal from analog to digital, computes the square root of the digital
signal, convert. the square root signal to flow rate In gallons per minute, and displays
the flow rate on the controller'b PV mdlcator. The microcontroller then computes the
error Signal, applies the control modes to compute the controller output, and converts
the controller output from digital to an analog 4- to 20-mA controller output .ignaL
The electro-pneumatic converter converts the 4- to 20-mA controller output Signal
mto a 3- to IS-pSI air pressure signal. The control valve positions the valve stem accord­
mg to the converter output Signal and, indirectly, according to the controller output sig­
nal. The control valve mampulates the How rate as dtreCted by the microcontroller to
mamtain the desired flow rate a~ indicated by the setpomt
The measuring transmitter is shown in some detail to show that it has lIS own feed­
. back control system. The orifice IS a thm plate with a small hole positioned so that all
the flowmg liquid must pass through the small hole. The flow of fiUld through the on­
lice produces a pressure differential that IS proportional to the square of the flow rate.
The measuring transmitter converts the pres~ure drop across the onfice into a 4- to
20-mA current signal as follow.: The diaphragm arrangement converts the pressure
difference acro.s the orifice into a force on the lower end of the force beam. The
force transducer at the other end of the beam produces the counterbalancmg force.
The null detector, amplifier, and force transducer make up a closed-loop control sys­
tem that matntains the force beam in the null pOSition. The null detector senses any
displacement of the force beam, and the amplifier converts this displacement into an
electric current The amplifier current passes through the force transducer, generating
the counterbalancing force, which IS proportIOnal to the current supplied by the am­
plifier. The amphfier current, which is proportIOnal to the pressure differential, is also
the 4- to 20-mA output ~ignal from the measuring transmitter.
 Controller output Electro-pneumatic converter
(4-20 mA)
Pressure vessel

-,
I
+t,em:msl
I
I beam'
I Null :
I
---""Pressiremens-uring-transmitter'
a) Schematic diagram
1-_ _ _ _ _--!>IElectro-pneumatic ' - - - - - - " " i
Controller output converter Converter output
(4-20 rnA) (3-15 pSI)
'---------iPressure measuring I<----------------------------..J
Measured pressure transmitter

signal (4-20 rnA) (Cm ) '--_ _ _ _.........

b) Block diagram

• Figure 2.17 A pressure control system must maintain a balance between the input and output mass flow rates. The pressure­
measuring transmitter is very similar to the differential pressure transmitter in the liquid flow control system. It uses a force balance
principle to convert the process pressure into a 4- to 20-mA current signa\. The controller compares the measured pressure with the
setpoint and manipulates the control valve to bring the two into correspondence,

Centrifugal
force

Drive shaft
from engine

Fuel flow
from supply --;. fzz222Z1P4~~~=;zzI
tank .
a) Schematic diagram
Engine
Setpoint speed (C)
(Desired + Valve Fuel
flyball . Actual pOSition flow
speed)
flyball
speed '------1 Flyball dnve gears 1«-------------------------...)
b) Block diagram

• Figure 2.18 A mechanical speed control system or governor IS used to control the speed of gasolme engmes, gas turbines, and
steam engines. A dnve shaft from the engine rotates the flyball and spring assembly at a speed proportional to the engine speed. The ro­
tation of the flybaUs produces a centrifugal force that compresses the spring and raises the valve stem. Thus the valve stem position is
proportional to the engme speed. As the engine speed Increases, the valve decreases the fuel flow. As the engine speed decreases, the
valve increases the fuel flow. The engine will settle out at a speed that results In just enough fuel flow to balance the load on the engine.

63
 AC power
c:
~
o
Q

Motor/'
Cam

a) SchematIc dIagram Belt

Weight on platform
Set POInt (C)
Motor. cam , Gate to platform
+ and gate lime delay

Mea~ured Gate posItion

weight on

platform

(C",)
b) Block d\3gram

• Figure 2.19 Thl, solid flow rate control system use, a constant ~peed belt with a weIght platform. The solid flow rate is equal to
the belt speed tImes the weIght of matenal per UnIt length of belt. The weight of material on the platform applIes a downward force
on the left end of the force beam; the counterweIght supplIes the counterbalancing force on the right side. The force beam operates
the two limit swi tches that control the cam dnve motor. If the matenal on the belt is too heavy, the beam will close the upper limIt
switch. whIch dnves the gate down: If the matenal I~ too lIght. the beam WIll close the lower limit switch, whIch drives the gate up.

AmplIfier
I

Sheet~~============~==~======~~~~~~:=J
1 0 - - - - TIme delay - - - - - - I
a) Schemallc dIagram Sheet
thickness
DC motor gear reducer (C)
Motor and ,crew Roll
armature voltage pos ItIon
Measured

, heet

thickness

(C",)
b) Block dIagram

• Figurl' 2.20 A ~heet thIckness control ~ystem u~es a linear vanable dltTerentlal tran,former as the thIckness measunng means
and error detector The ac error signal from the LVDT IS converted to a dc error sIgnal by the dIscriminator (also called a phase·
senSllJve detector) A dl~cnmInator is an ac·to·dc converter who~e output magnItude varies linearly with the input magnitude, and
who,e output ~Ign depends on the relatIve phase of the mput. The dc error >Ignal IS amplified and applied to the armature of the dc
motor. The mOlor dnve, the upper roll. whIch determme, the ,heet thlckne" After a change In the upper roll position, the sheet must
travel to the ~en,,)r hefore the change in thl ckne" IS mea,ured Th" tIme delay" represented by a block 10 the block diagram
64
 HydraulIc cylinder ' \ LI L2
+- lI5-VAC, single-phase
2LS
Fuse
~
FI Start
Stop -L.
~-U~~V o~~~~2CR

2LS

2CR

Electric
2CR Solb
\ Hydraulic pump
b) Ladder diagram
a) Schemallc diagram

• Figure 2.21 Control circuit for a hydraulic cylinder. The operator presses START to begin a cycle Coil 2CR is energized, holding
contact 2CR closed. 'Sol b' IS energized, the valve moves to the nght, the pump delivers flUid to the left end of the cyhnder, and the
piston moves to the right When the piston reaches switch 2LS and opens it, COIl 2CR IS deenergized, the valve moves to the left, and
the piston returns to its onginal position.

Component B
Controller output (4-20 rnA) !
Electric .............
Motor-driven
control
Setpolnt
valve

Electronic

= controller

Composition
Measured
measunng
composition
transmitter
signal

(4-20 rnA)

a) Schematic diagram

Composllion
(C)

component A
(Cm )
Measured
composition ' - - - - - - I
Signal
(4-20mA)

b) Block diagram

• Figure 2.22 A cOmposillon control system maIntains the deSIred mixture of components A and B by manipulating the Input of
corn pone 11 A. The measuring transmitter is some type of analyzer that measures the percentage of component A in the mixture. The
mlXlng vessel blends the two components and evens out the fluctuations in the flow rates of both components.

65
66 • Chap.2 Types of Control

• GLOSSARY

Analog signal: A signal that varies in a continuous manner and may take on any value between its
limits. (2.2)
Computerized numerical control (CNC): A numerical control system that uses a dedicated com­
puter that accepts the input of instructions and performs the control functions required to produce
a part. (2.7)
Digital signal: A signal that varies in a discrete manner and may take only certain discrete values be­
tween its limits. (2.2)
Direct numerical control (ONC): A system in which a number of numencal control machines are
connected to a central computer for real-time access to a common database of part programs and
machine programs. (2.7)
Event-driven operations: Operation~ in a sequential control system that are initiated and terminated
when ~ome event takes place. (2.6)
Follow-up system: A feedback control system in which the setpoint is frequently changing. Its pri­
mary function is to keep the controlled variable in close correspondence with the setpoint as the
setpoint changes. (2.3)
Machine program: The set of instructions required to accomplish a desired process. (2.7)
Numerical control (NC): A system that uses predetermined instructions to control a sequence of
manufacturing operations to produce a part. (2.7)
Part program: The set of instructions required to produce a desired part. (2.7)
Process control: The regulation of variables to a process. (2.4)
Regulator system: A feedback control system in which the setpoint is seldom changed. Its primary
function is to maintain the controlled variable constant despite unwanted load changes. (2.3)
Robot: A programmable manipulator designed to move material, parts, tools, or other devices through
a sequence of motions to accomplish a specific task. (2.8)
Sequential control: A control system that performs a set of operations in a prescribed manner. The
automatic washing machine is a familiar example of a sequential control system. (2.6)
Servomechanism: A feedback control system in which the controlled variable is physical position or
motion. (2.5)
Time-driven operations: Operations in a sequential control system that are initiated and terminated
at a certain time or after a certain time interval. (2.6)

• EXERCISES
Section 2.2 2.2 When an analog signal is converted to a digital signal,
there is usually a difference between the digital and analog
2.1 The digital SIgnal Illustrated in Figure 2.1 is obtained
values. This difference is called the quantization error. Es­
by eliminating the decimal part of the analog temperature
timate the quantization error in Figure 2.1 at each minute
signal. This is referred to as truncating a ~ignal. Thus the
from I I :30 to II :42 (i.e., at the vertical dashed lines).
signals 72, 72.3. 72.56, and 72.999 are all converted to 72
by the analog-to-digital conversion. An alternative method Section 2.3
of converSIOn would be to round off to the nearest integer.
In thi~ method, 72 and 72.3 would be converted to 72, and 2.3 Classify the following control systems as either a
72.56 and 72.999 would be converted to 73. Redraw Fig­ regul ator system or a follow-up system:
ure 2. I b usmg the nearest integer method of analog-to­ (a) Home air-conditIoning system
dig ital conversion. (b) Automobile power steering system
 • Chap.2 Exercises 67

(c) Human body temperature control system Section 2.6

(d) Hunter aiming at a moving target
(e) Artist tracing lines to darken them 2.12 Name and explain the two types of sequential control
(f) Automobile cruise control based on how the operations are initiated and tenninated.
(g) Airplane autopilot 2.13 Give an example, from your own experience, of an
(h) Mother using a video camera to record her daughter event-driven control system. Describe each operation and
playing in a soccer game the event that initiates it.
2.4 From your own experience, give an example of a reg­ 2.14 Give an example, from your own experience, of a
ulator system and an example of a follow-up system. Iden­ time-driven control system. Draw a timing diagram for
tify the control system components in each example. your example and describe its operation.
2.15 Give an example, from your own experience, of an
Section 2.4 event- and time-driven control system. Describe the oper­
ation of your example.
2.5 Draw a block diagram of the temperature control 2.16 Sketch a timing diagram of a four-operation time­
system in Figure 2.3 and identify each block in the dia­ driven sequential control system with the following speci­
gram. fications :
2.6 Draw an instrumentation diagram of the temperature 1. Operation A is on from 0 to 6 minutes (min) and from
control system in Figure 2.3. Use the loop number 203 in 30 to 36 min.
the identification tag for each instrument. 2. Operation B is on from 5 to 15 min.
2.7 Draw a block diagram of the compensated mass flow 3. Operation C is on from 35 to 45 min.
control loop in Figure 2.4. Show the process as a block 4. Operation 0 is on Jrom 30 to 32 min.
with one manipulated input (control valve position) and 2.17 Construct a timing diagram of a series of time­
three outputs (volume flow rate, pressure, and tempera­ driven sequential events from your own experience (e.g., a
ture). class day consists of a series of classes, which are time­
2.8 The mass flow control system in Figure 2.4 is to be driven events).
used to control the flow rate of nitrogen gas in proportion 2.18 Redesign the pneumatic cylinder control system in
to the demand signal. A test of the flow meter revealed that Figure 2.8 so it will automatically cycle back and forth be­
a nitrogen gas flow rate of 0.002 cubic meter per second tween the retracted position and the extended position.
(m 3/s) produces a differential pressure of 8 X 104 pascals Draw a schematic diagram and an electric circuit diagram of
(Pa). your design. Write an explanation of the operation of your
(a) Use Equation (2.2) to determine the flow meter pro­ system similar to the caption of Figure 2.8. Hint: Replace
portionality constant, kr­ the START switch with a normally open limit switch. Position
(b) Determine the mass flow rate proportionality con­ the new limit switch so it will be closed when the cylinder
~tant, k. is retracted and will open as soon as the piston moves from
(c) Use Equation (2.3) to compute the mass flow rate the retracted position.
given that D = 4.0 X 104 Pa, p = 3 X 105 Pa, and Section 2.7
T = 320 kelvin (K).
2.19 Explain the following acronyms: NC, CNC, and
Section 2.5 ONe.
Section 2.8
2.9 Classify the hydraulic posItion control system in
Figure 2.5 as either regulator or follow -up. Explain your 2.20 List the advantages and disadvantages of pneumatic
answer. actuators, hydraulic actuators, and electric actuators for ro­
2.10 Classify the dc motor position control system in botic arms.
Figure 2.6 as either regulator or follow -up. Explain your 2.21 Describe the following types of robots: PNP, PTP,
answer. and CP.
2.ll Select an example of a servomechanism (preferably 2.22 Review the operation of the robotic work cell de­
from your own experience), sketch a block diagram, and scribed in the caption of Figure 2.11. Develop a similar de­
explain the operation of the system. scription for the robotic work cell shown in Figure 2.12.
68 • Chap. 2 Types of Control

Section 2.9 I. a regulator system

2. a foll ow-up system
2.23 A pneumatic controller is located some distance 3. a time-driven sequential system
from the process it controls. The pneumatic signal line
4. an event-driven sequential system
from the measuring transmitter to the controller is 120 ft
long. The line from the controller to the control valve is Examples
150 ft long. Determine the transmission delay from the (a) Automobile steering system
measuring transmitter to the control valve. (b) Refrigerator temperature control system
2.24 Explain distributed control and centralized control. (c) Oven temperature control system
and list advantages and disadvantages of each type. (d) Automobile cruise control system
(e) Automatlc door opener
Section 2.10
(f) Automatic washing machine
2.25 Place each control system in Figures 2.14 through (g) Human body's temperature control system
2.22 into one of the following categories: process control, (h) Driver and automobile (Figure 1.3)
servomechanism, or sequential control. (i) Position control system (Figure 2.6)
2.26 Sketch block diagrams of the control systems in (j) Sheet thickness control system (Figure 2.20)
Figures 2.14, 2. I 5, and 2.16. (k) Hydraulic cylinder control system (Figure 2.21)
2.27 Label each example of a control systems a~ one of
the following types:
• CHAPTER 3
The Common
Elements of System
Components

• OBJECTIVES

Control systems often consist of a variety of different types of components. In a temperature control
loop, for example, the process and the primary sensor are thermal systems, the temperature transmitter
and controller are electrical systems, and the final control element consists of fluid flow (pneumatic) and
mechanical systems. This variety of components within a control system could complicate the analysis
and design of the control loop. Fortunately, the behavior of these diverse systems is determined by the
same four common elements: resistance, capacitance, inertia (or inductance in electrical systems),
and dead time. The effects of these basic elements in one system are analogous to the effects of the
same elements in any other system. Thus thermal resistance and capacitance have the same effect in a
thermal system as electrical resistance and capacitance have in an electrical system.
The purpose of this chapter is to provide you with the means of determining the values of the four
basic elements for the following types of systems: electrical, thermal, liquid now, gas now, and me­
chanical. After completing this chapter, you will be able to
1. Define the four common elements of each of the following systems
a. Electrical
b. Liquid flow
c. Gas flow
d. Thermal
e. Mechanical
2. Use a graph to determine
a. Electrical resistance
b. Liquid flow resistance
c. Gas flow resistance
d. Mechanical resistance
3. Use a computer program to determine
a. Liquid flow resistance
b. Thermal resistance

69
70 • Chap.3 The Common Elements of System Components

4. Use a calculator to determine

a. Liquid flow capacitance
b. Gas flow capacitance
c. Thermal capacitance
d. Electrical dead-time delay
e. Liquid flow dead-time delay
f. Solids flow dead-time delay ••••
3.1 INTRODUCTION

Most control system components fit into one of the following types: electrical, mechanical,
liquid flow, gas flow, or thermal. A particular control system may include two, three, or even
five different types of components. This mix of component types could have made the analy­
sis and design of control systems much more difficult, but it did not. The reason for this for­
tunate circumstance is that the behavior of components of one type is analogous to the be­
havior of components of any other type. This analogous behavior is determined by four
elements that are common to the five types of components. The four elements are resistance,
capacitance, inertia (or inductance), and dead-time delay. Some knowledge of these "basic"
elements for the five component types will be quite helpful in understanding the behavior of
control system components.
This chapter provides the equations and information necessary to calculate the elements
of the five types of components. The equations for each element are included in a box to make
them easy to locate. All terms are defined within the box, and the units are included for each
term . Examples are included to show how to complete the calculations. Computer programs
are included for computing liquid flow resistance and thermal resistance.
For each type of component, the four elements are defined in terms of three variables.
The first variable defines a quantity ofmaterial, energy, or distance. The second variable de­
fines a driving force or potential that tends to move or change the quantity variable. The third
variable is time. For example, in a liquid flow component, the quantity variable is the volume
of liquid that is moved and the potential variable is the pressure drop that tends to cause the
liquid to flow. Table 3.1 names the three variables for each of the five types of components.
Table 3.2 lists the symbols and units for the parameters used to define the four elements for
the various systems .

• TABLE 3.1 The Three Variables Used to Define the Four

Elements for Each Type of Component

Variable

Type of Component Quanllty Potential Time

Electrical Charge Voltage Second

LIquId flow Volume Pressure Second
Gas flow Mass Pressure Second
Thennal Heat energy Temperature Second
MechanIcal Distance Force Second
 • Sec. 3.1 Introduction 71

• TABLE 3.2 Parameters Used to Define the Four Elements

Symbol Name SI Units Enghsh Umts

a Area (of pipes) Square meter (m2 ) Square foot (ft2)

A Area (of tanks) Square meter (m2 ) Square foot (ft2)
d Diameter (of pipes) Meter (m) Foot (ft)
D DIameter or distance Meter (m) Foot (ft)
e Potential Volt (V) Volt (V)
f Friction factor DimensIOnless Dimensionless
F Force Newton (N) Pound (force) (lbf)
g Gravitational acceleration Meter per square second (m/ s2) Foot per square second (ft/S2)
h Thermal film coefficient Watt/square meter kelvin (W1m2 K) Btu/square foot Fahrenheit (Btu/ft2 F)
H Height Meter (m) Foot (ft)
Current Ampere (A) Ampere (A)
Length
Meter (m) Foot (ft)
m Mass
Kilogram (kg) Pound (mass) (Ibm)
M Molecular weight
Dimensionless Dimension less
p Pressure
Pascal (pa or N/m2) Pound (force) per square foot (lbf/ft2)
q Charge
Coulomb (C) Coulomb (C)
Q Heat flow rate
Walt (W) Btu/hour (Btu/hr)
Q Volume flow rate
Cubic meter per second (m3/s) Cubic foot per second (ft 3/s)
S Specific heat
Joule/kilogram kelvin (J/kg K) Btu/pound Fahrenheit (Btu/lb F)
t Time
Second (s) Second (s)
T Temperature
CelsIus or Kelvin (OC or K) Fahrenheit or Rankm (OF or R)
v Velocity
Meter per second (m/s) Foot per second (ft/s)
V Volume
Cubic meter (m 3 ) CubIC foot (f~)
W Mass flow rate
Kilogram per second (kg/s) Pound (mass) per second (Ibm/s)
/L Viscosity (absolute)a
Pascal second (Pa • s) Pound (mass) per foot second (Ibm/ft· s)
p Density
Kilogram per cubIc meter (kg/m J ) Pound (mass) per cubic foot (lbm/fe)

Note: See Appendix B for alternative units and conversIOns.

a Absolute viscosity is also referred to as dynamic viscosity.

Resistance is an opposition to the movement or flow of material or energy. It is measured

by the amount of potential required to make a unit change in the quantity moved each second.
Electrical resistance is the increase in the voltage across the terminals of a component re':
quired to move one more coulomb of charge through the component each second (i.e., to in­
crease the current by 1 ampere, or IA). Liquid flow resistance is the increase in the pressure
drop between two points along a pipe required to increase the flow rate through the pipe by
1 cubic meter per second (m 3/s). Gas flow resistance is the increase in the pressure drop be­
tween two points along a pipe required to increase the flow rate through the pipe by 1 kilo­
gram per second (kg/s). Thermal resistance is the increase in temperature difference across a
wall section required to increase the heat flow through the wall section by 1 joule per second
(J/s). Mechanical resistance is the change in the force applied to an object required to increase
the velocity of the object by 1 m/s.

Resistance is measured in terms of the amount of potential required to produce one unit of elec­
tric current, liquid flow rate, gas flow rate, heat flow rate, or velocity.
72 • Chap. 3 The Common Elements of System Components

Capacitance is the amount of material, energy, or distance required to make a unit change
in potential. It expresses the relationship between a change in quantity and the corresponding
change in potential. Capacitance should not be confused with capacity, which is the total
material- or energy-holding ability of a device. If we say a jug holds 1 liter (L), we are stat­
ing its capacity. If we say that 100m3 of liquid must be added to a tank to increase the pres­
sure at the bottom by I N/m2 we are stating the tank's capacitance.
Electrical capacitance is the coulombs of charge that must be stored in a capacitor to in­
crease its voltage by 1 V. Liquid capacitance is the cubic meters of liquid that must be added
to a tank to increase the pressure by I pascal. Gas capacitance is the kilograms of gas that
must be added to a tank to increase the pressure by I Pa. Thermal capacitance is the amount
of heat energy that must be added to an object to increase its temperature by 1°C. Mechani­
cal capacitance is the amount of compression of a spring (in meters) required to increase the
spring force by I N.

Capacitance is measured in terms of the amount of matenal, energy, or distance required to make
a unit change in potential.

Inertia, inertance, or inductance is an opposition to a change in the state of motion. It is

measured in terms of the amount of potential required to produce a unit change in the rate at
which a quantity is moving. This element is usually important in electrical and mechanical
systems, sometimes important in liquid and gas systems, and usually ignored in thermal sys­
tems. The term inductance is used with electrical systems, the term inertance is used with
fluid systems, and the term inertia is used with mechanical systems.
Electrical inductance is the increase in voltage across an inductor required to increase the
current by I A each second. Liquid flow inertance is the increase in the pressure drop between
two points along a pipe required to accelerate the flow rate by I m3/s/s. Mechanical inertia is
the increase in force required to produce an acceleration of I mis/so

Inertia, inertance, or inductance is measured in terms of the amount of potential required to in­
crease electric current, liquid flow rate, gas flow rate, or velocity by one unit per second.

Dead time is the time interval between the time a signal appears at the input of a com­
ponent and the time the corresponding response appears at the output. A pure dead-time ele­
ment does not change the magnitude of the signal; only the timing of the signal is changed.
Dead time occurs whenever mass or energy is transported from one point to another. It is the
time required for the mass or energy to travel from the input location to the output location.
Dead time is also called transport time, pure delay, or distance-velocity lag. Control becomes
increasingiy more difficult as dead time increases.
If v is the velocity of the mass or energy and D is the distance traveled, the dead-time de­
lay is equal to the distance divided by the velocity:

D
td = - , S (3.1)
v
 • Sec. 3.2 Electrical Elements 73

Section 3.2 i1Justrates the dead-time delay on an electrical transmission line.

The effect of dead time is to delay the input signal by the dead-time delay (td).

Consider the system with a dead-time delay of 5 s. Letf,(t) represent the input signal and
Io(t) represent the output signal. The (I) indicates thatf, andIo have different values at differ­
ent times. Iff,(t) is 5 at a time t = 0 s, thenIit) will be 5 at 1 = 5 s. Iff,(t) is 7 at t = 5 s,Jo(t)
will be 7 at time t = lO s. Several more time intervals are indicated below.

/'(1) 10(1) Rel atIOnship between/. andlo

0 5
5 7 5 fo(S) = /.(0)
10 8 7 10( 10)= /.(5)
15 6 8 10(15) = /;(10)
20 6 10(20) = Ji(l5)

It is interesting to note that in each case,Jo(t) = Ji(t - 5) or, more generally,

This equation is often used to represent a dead-time process. In simple terms, it expresses the
concept that the output at any time t is the same as the input was td before time t, that is, at
time t - Id.

3.2 ELECTRICAL ELEMENTS

Electrical resistance is that property of material which impedes the flow of electric current.
The unit of electric resistance is the ohm. Good conductors have a low resistance; insulators
have a very high resistance. Electrical resistance (R) is expressed by Ohm's law, a statement
of proportionality between the applied voltage (e) and the resulting current (i) in linear resis­
tance elements. Equation (3.2) is the usual form of Ohm's law, while Equation (3.3) is more
convenient as a definition of electrical resistance.
e = iR, V (3.2)

R=!!"n
., (3.3)
l

Expressed as e = iR, Ohm's law is the equation of a straight line through the origin with a slope
of R (see Figure 3.1a). The resistance can be determined by finding the slope between any two
points on the graph, such as point a and point b in Figure 3.1a. The resistance is equal to the
increase in voltage between points a and b, t1e, divided by the increase in current between the
same two points, t1i. This gives us a slightly different definition of resistance, given as

R = t1e n (3.4)
t1i'
74 • Chap. 3 The Common Elements of System Components

Anypomtb /
e -----------~
Any point a --.LJ}
--:-:--1
~e
"", I
I
I
I
I
I

Current (i)

a) Resistance of a linear element

I
I
I
....,It----
-4·.. Operating pomt
I
I R = ~e
I
I ~i
I
I-~i
I

Current (i)
• Figure 3.1 Graphic detenmnation of
the resistance of linear and nonhnear elec­
b) Resistance of a nonlinear element
tric components.

When the resistive element is nonlinear (see Section 1.6), the determination of resistance
becomes more involved, and Equations (3.3) and (3.4) give us different values for the resis­
tance. Figure 3.1 b shows a nonlinear resistive element. If we use Equation (3.3) to compute
the resistance, we get a value of resistance that is equal to the slope of a straight line from the
origin to the operating point. We call this the static resistance ofthe element. In a control sys­
tem, the operation is usually confined to small variations around the operating point. In this
situation, the operation is approximately along the tangent to the curve at the operating point
rather than along the line from the origin to the operating point. The resistance obtained from
the slope of the tangent line is called the dynamic resistance of the element at the operating
point. The dynamic resistance of a nonlinear element is more accurate than the static resis­
tance for control system analysis. In the remainder of this book, the term resistance will mean
dynamic resistance.
 • Sec. 3.2 Electrical Elements 75

Dynamic resistance can be determined graphically using Equation (3.4) as shown in

Figure 3.1 b. Begin with a tangent line at the operating point and pick a second point on the
tangent line . Determine the increase in voltage, f1e, and the increase in current, f1i, between the
two points. The dynamic resistance is equal to f1e divided by f1i, as given by Equation (3.4).
The mathematical detennination of dynamic resistance makes use of the fact that the
value of the derivative at a point is equal to the slope of the tangent line at that point, as given
by the equation
de
R=- n (3.5)
di'
Equation (3 .5) would be read to mean that dynamic resistance is equal to the rate of change
of the voltage with respect to current.

EXAMPLE An electrical component is known to have a linear voltampere graph. A test with 24 V applied to the
3.1 terminals of the component resulted in a measured current of 12 rnA. Determine the resistance of the
component.

Solution The voltampere graph is a straight line, so Equation (3.3) applies:

e 24V
R = - = - - = 20000

EXAMPLE
i 0.012A
A light bulb is an example of an electric component with a nonlinear voltampere graph. The electrical
•
3.2 resistance of a nonlinear component can be approximated using Equation (3.4) with a very small incre­
ment of voltage, .:le, and the resulting small increment of current, Ili. Determine the resistance of a light
bulb at 6 V from the following information:
5.95 V results in 0.500 A
6.05 V results in 0.504 A
Solution .:le = 6.05V - 5.95V = O.lOV
.:li = 0.504 A - 0.500 A = 0.004 A
.:le O.lOV
R = - = - - = 250
.:li 0.004 A
Electrical capacitance is the quantity of electric charge (q C) required to make a unit in­
•
crease in the electrical potential (e V). The unit of electrical capacitance is the farad (F).
f1q
Capacitance = C = f1e (3.6)

A simple manipulation of Equation (3.6) results in the following relationship between the
voltage and current in a capacitance:
f1q = Cf1e
f1q f1e
-=/=C­
f1t f1t
where f1t = time in seconds required to make the f1q change in charge
/ = average current during the time interval f1t
76 • Chap.3 The Common Elements of System Components

If tlt is reduced until it approaches zero, tlqltlt becomes dqldt, the instantaneous rate of
change of charge; I becomes i, the instantaneous current; and tleltlt becomes deldt, the in­
stantaneous rate of change of potential.

dq de
- = i = C­ (3.7)
dt dt

Equation (3.7) would be read to mean that the current through a capacitor is equal to the ca­
pacitance (C) times the rate of change of the voltage across the capacitor with respect to time.
Equation (3.7) is used in circuit analysis ao; one of the models of a capacitor. The following
example shows how Equation (3.7) can be used to explain the 90° phase difference between
the voltage and current in a capacitor.

Let e = A sin wt

de
then - = Aw cos wt == Aw sin( wt + 90°)
dt
and i = CAw sin{wt + 90°)
Thus the current i leads the voltage e by 90° in a capacitor.
EXAMPLE A current pulse with an amplitude of 0.1 rnA and a duration of O. 1 s is applied to an electrical capaci­
3.3 tOf. The voltage across the capacitor is lOcreased from 0 V to + 25 V by the current pulse. Determine the
capacitance (C) of the capacitor.

~e
Solution 1= C ­
~t

~t
C=I­
~e

= (0.1 ~.~so V) = 0.4 X 10- 6 A' s/V = 0.4 J-LF

C X 10-) A) (25
•
Electrical inductance is the voltage required to produce a unit increase in electric current
each second. The unit of electrical inductance is the henry (H). Equations (3.8) and (3.9) de­
fine the voltage - current relationship for an inductor.

tli
e == L ­(3.8)
tlt
di
e==L­ (3.9)
dt

Equation (3.9) would be read to mean that the voltage across an inductor is equal to the in­
ductance (L) times the rate of change of the current through the inductor with respect to time.
Equation (3.9) is used in circuit analysis as one of the models of an inductor. The following
example shows how Equation (3.9) can be used to explain the 90° phase difference between
the voltage and current in an inductor.
 • Sec. 3.2 Electrical Elements 77

Let i = A sin wt
Then di
- = Awcoswt
dt

and e = LAw sin(wt + 90°)

Thus the voltage e leads the current i by 90° in an inductor.

EXAMPLE A voltage pulse with an amplitude of 5 V and a duration of 0 .02 s is applied to an inductor. The current
3.4 through the inductor is increased from 1 A to 2.1 A by the voltage pulse. Assume that the resistance of
the inductor is negligible, and determine the inductance (L) .

Solution Equation (3 .8) may be used to determine L.

Ai
e= L ­
M

M
L= e ­
Ai

L = (5 V) ( 0.02 s
2.1 A - I A
)
= 0.0909 V . s/A = 0.0909 H •
Electrical dead-time delay is the delay caused by the time it takes a signal to travel from
the source to the destination (Figure 3.2). Although electrical signals travel at tremendous
speeds (2 X 108 to 3 X 108 m/s), the transport time of an electrical signal constitutes a dead­
time delay that has important consequences in some systems. In digital computer circuits, the
delay on a transmission line is sometimes used to delay a signal deliberately to accomplish
the desired logic function. In most control systems, however, the effect of electrical dead time
is negligible because the delay is so small compared to the delay in other parts of the system.

1-,-------Dlstance ( D ) - - - - - - - - - l
Input O>------"v,....
p- - - - - - - - - - - - - - - - - <O Output
terminals 0 0 terminals
Transmission line

f, (I)
..,
'0
.~
0..---1---'---­
E Time
« o o
Input signal Output signal

Dead-time delay = td = Dlvp seconds

D = Length of the line. meters
vp = Velocity of the signal. meters/second

• Figure 3.2 ElectrIcal dead-time element a transmission line.

78 • Chap. 3 The Common Elements of System Components

The velocity of a signal on a transmission line is called the velocity of propagation (vp )'
As mentioned before, vp varies between 2 X 108 and 3 X 108 m/s. The dead-time delay of the
line is equal to the distance the signal travels (D) divided by the velocity of propagation (vp )'

EXAMPLE (a) Detennine the dead-time delay of a 600-m-Iong transmission line if the velocity of propagation
3.5 is 2.3 X 108 m/s.
(b) Detennine the dead-time delay of a signal from a space vehicle that is located 2000 km from the
earth station receiving the signal. The signal travels at 3 X 108 m/s.

Solution (a) Equation (3.1) applies.

600m
td = = 2.61 X 10- 6 s
2.3 X lOR mls

= 2.6\ JLS

(b) Equation (3.1) applies.

2 X 106 m
td = = 0.67 X 10- 2 s
3 X 108 mls

= 6.7 ms
•

ELECTRICAL EQUATIONS
Resistance

e .1.e de
R=-=-=­ (3.3 to 3.5)
i .1.i di

Capacitance
.1.q
C= ­ (3.6)
.1.e

de
i=C­ (3.7)
dt

Inductance

.1.i
e= L ­ (3.8)
.1.1

di
e=L­ (3.9)
dt

Dead-Time Delay

(3.1)
 • Sec. 3.3 Liquid Flow Elements 79

where C capacitance, F
D distance between the input and the output, m
e = applied voltage, V
de change in applied voltage, V
instantaneous current, A
di change in current, A
I average current over interval dt, A
L inductance, H
dq change in charge, C
R resistance, n
dt interval of time, s
td dead-time delay, s
vp velocity of travel, m/s

3.3 LIQUID FLOW ELEMENTS

Liquid flow resistance is that property of pipes, valves, or restrictions which impedes the flow
of a liquid. It is measured in terms of the increase in pressure required to make a unit increase
in flow rate. The SI unit for liquid flow resistance is "pascal second/cubic meter." The Eng­
lish unit is "psf/cfs," where psf means "pound per square foot" and cfs means "cubic foot per
second." A more practical English unit is "psi/gpm," where psi means "pound per square
inch" and gpm means "gallon per minute."
Liquid resistance is determined by the relationship between the pressure drop and the
flow rate as expressed by a flow equation. There are two different types of flow: laminar and
turbulent. Each has a different flow equation and hence a different liquid resistance. Laminar
flow occurs when the fluid velocity is relatively low and the liquid flows in layers. A colored
dye injected into the center of a laminar flow will move with the liquid and remain concen­
trated in the center. Turbulent flow occurs when the fluid velocity is relatively high and the
liquid does not flow in layers. A colored dye injected into the center of turbulent flow is soon
mixed throughout the flowing fluid.
The type of flow that occurs depends on four parameters: the density of the fluid, p; the
inside diameter of the pipe, d; the absolute viscosity of the fluid, ,.,.; and the average velocity
of the flowing fluid, v . The four parameters are arranged in a dimensionless grouping called
the Reynolds number.*
pvd
Reynolds number = -,.,.­ (3.10)

Q 4Q
v = - = -,m/s (3.11)
a 7Td2

*To show that the Reynolds number is dimensionless, we must express the viscosity unit (Pa' s) 10 terms of kg, m,
and s as follows:
Pa . s = [N/ m2]S = [(kg' mjs2)/m 2]s = kg/(m . s)

UOitS of Reynolds number - (Pvd)

!L
= (kg/m3)(m/s)(m)
/(
kg m' s
) = (kgXm3Xs)
- 3 - = dimensionless
kg m s
80 • Chap.3 The Common Elements of System Components

1000
Ap . 160 = 8 x 1()6~second
RL = ~Q = 20 x 10 6 cubIC meter

800 Ap = 160 pascal

~
__________l _________________
Q. 600
2­..
... ..
-a
::I
~
Q.
~Q =
~ 400 20cubic centimeters
£ second
= 20 x 10- 6
200
cubic meters
second

o 100
Flow rate (Q)
CubIc centimeters per second
( = cubic meters per second x 106 )

• Figure 3.3 Graph of pressure versus flow rate for laminar flow is linear. LIquid
flow resIstance is equal to the slope of the graph and IS constant for all values of flow
rate.

Laminar flow occurs when the Reynolds number has a value less than 2000. Turbulent flow
occurs when the Reynolds number has a value greater than 4000. A transition between lami­
nar and turbulent flow occurs when the Reynolds number has a value between 2000 and 4000.
Graphs of pressure versus flow rate for laminar and turbulent flow are shown in Figures 3.3
and 3.4.

1000 R = 2K Q pasc~l second

, T cubIc meter e/
/
= 3.12 X 10" Q ..., /
800 Q, / /
(Note: Q must be expressed .t '\ I' / /
in mVsec) ~ v /
~
If /
Q. 600 ~ //
2­
... ..
-0 ..

~
~
Q.
/

<II 400
£
200

0 20 40 60 80 100
Flow rate (Q)
CubIc centimeters per sec~nd
( = cubIc meters per second x 106 )

• Figure 3.4 Graph of pressure versus flow rate for turbulent flow is nonlinear.
Liquid flow resistance IS equal to the slope of the tangent to the curve at any point.
Turbulent flow resistance increase~ as the flow rate IS increased.
• Sec. 3.3 liquid Flow Elements 81

Liquid flow resistance can be determined graphically in the same manner as electrical re­
sistance. In Figures 3.3 and 3.4, the slope of the graph is the liquid flow resistance. The lam­
inar flow graph is linear, and the resistance has a constant value for all flow rates. The turbu­
lent flow graph is nonlinear and the resistance increases as the flow rate is increased.
The flow equation for laminar flow in a round pipe is given by Equation (3.12) (called
the Hagen-Poiseuille law). The laminar flow resistance, given by Equation (3.13), is a con­
stant that depends on three parameters: the absolute viscosity, JL, the inside diameter of the
pipe, d, and the length of the pipe, l.

p = RLQ,Pa (3.12)
128 JLI
RL = 1Ttf ' Pa . s/m 3 (3.13)

The flow equation for turbulent flow in a round pipe is given by Equation (3.14) (called
the Fanning equation). The turbulent flow resistance, given by Equations (3.15) and (3.16),
is considerably more complex than laminar flow resistance. Turbulent resistance depends on
the flow rate, Q, and the turbulent flow coefficient, K,. The turbulent flow coefficient depends
on four parameters: the liquid density, p; the length of the pipe, I; the inside diameter of the
pipe, d; and a factor called the friction factor, f. The friction factor depends on the diameter
of the pipe, the Reynolds number, and the smoothness of the inside of the pipe. A table of fric­
tion factors is included here as Table 3.3.
p = K,Q 2 , Pa (3.14)
R, = 2K,Q, Pa . s/m3 (3.15)
8pfl Pa· S2 7
K, = 2J5' --6-(or kg/m ) (3.16)
1T a- m
The computation of liquid flow resistance and pressure drop begins with the determination
of the Reynolds number. If the Reynolds number is less than 2000, the flow is laminar and Equa­
tions (3.12) and (3.13) are used. If the Reynolds number is greater than 4000, the flow is turbu­

• TABLE 3.3 Values of the Friction Factor (f)

Reynolds Numbe~

Type Diameter (em) 4 X 103 104 105 106 10

7
108

Smooth tubmg 1-2 0.039 0 .030 O.QlS 0.014 0.012 0.012

2-4 0.039 0.030 O.QlS 0.013 0.011 0.010
4-S 0.039 0.030 O.OIS 0.012 0.010 0.009
8-16 0.039 0030 O.OIS 0.012 0.009 O.OOS
Commercial steel pipe 1-2 0.041 0035 O.ozS 0.026 0.026 0.026
2-4 0.040 0.033 0.024 0.023 0.023 0 .023
4-S 0.039 0 .030 0.022 0.020 0.019 0.019
S-16 0.039 0.030 0.020 0.018 0.017 0.017

Source. L. F. Moody. "FrictIOn Factors for Pipe Flow," ASME Transactions. Vol. 66, No.8, 1944, p. 671.
"Reynolds number = puD//L
82 • Chap. 3 The Common Elements of System Components

lent and Equations (3.14) to (3.16) are used along with the friction factor from Table 3.3. If
the Reynolds number is between 2000 and 4000, the resistance and pressure drop will be
somewhere between the values from the laminar flow equations and the values from the tur­
bulent flow equations, so both sets of equations should be used. If the flow is turbulent, exact
values of the friction factor (f) must be interpolated from Table 3.3. Conversion of units may
also be required.
Computations may be done using a calculator, a spreadsheet, or a computer program. Ex­
ample 3.6 illustrates the use of a calculator to compute laminar flow resistance and pressure
drop. Example 3.7 does the same for turbulent flow resistance and pressure drop.
LIQRESIS (see Preface) is a QuickBASIC program for computing laminar or turbulent
flow resistance and pressure drop. The program accepts practical inputs in either SI or Eng­
lish units. It then converts the units to the correct SI units, computes the Reynolds number,
selects the correct equations, computes the resistance and pressure drop, and prints the results
using the system of units selected for input. Examples 3.8 through 3.10 illustrate the use of
the program.

EXAMPLE Oil at a temperature of 15°C flows through a horizontal tube that is I em in diameter with a flow rate of
3.6 9.42 liters per minute (L/min). The line is 10 m long. Determine the Reynolds number, the resistance,
and the pressure drop in the tube.

Solution From "Properties of Liquids" in Appendix A,

p = 880 kg/m
3

Jl = 0.160 Pa . s

Use Appendix B to convert d and Q to standard Sl units :

d = I em = 0.01 m
Q = 94.2 Lj min = 9.42(1.6667E - 5) = 1.57E - 4 m 3/s

Note: The E notation is used in problem solutions to represent numbers that are to be entered into a com­
puter or a pocket calculator. Large and small numbers are written with a base number equal to or greater
than I and less than 10. The base number is followed by the letter E (for exponent), a plus or minus sym­
bol, and the power of 10. Thus 6.72 X 10- 4 is written as 6.72E - 4.
Use Equation (3.11) to compute the average fluid velocity:

4Q 4(1.57E - 4 m 3/s)
v = - 2 = = 2.00 m/s
'1Td '1T(0.01 m)2
Use Equation (3.10) to compute the Reynolds number:

pvd (880 kg/m3)(2.00 m/s)(O.Ol m)

Reynolds number = ---;;: = 0.160 Pa' s = 110
The flow is laminar, so we use Equations (3.12) and (3.13) to compute the resistance and pressure drop:
128 Jll (128)(0.160 Pa' s)(10 m) 3
RL =~ = 4 = 6.52 + 9 Pa . s/m
'1Ta '1T(0.01 m)
p = RLQ = (6.52E + 9 Pa' s/m.1)(1.57E - 4 m.1/s) = 1.024 + 6 Pa
•
 • Sec. 3.3 Liquid Flow Elements 83

EXAMPLE Water at 15°C flows through a commercial steel pipe 0.4 in. in diameter with a flow rate of 6 gal/min.
3.7 The line is 50 ft long. Determine the Reynolds number, the resistance, and the pressure drop in the tube.
Solution From "Properties of Liquids" in Appendix A,
p = 1000 kg/cm
JL = 0.001 Pa . s
When working problems with English units, our approach will be to use SI units to complete the com­
putations and then convert the answer to the desired English units. This avoids the confusing task of con­
verting the equations to English units. Use Appendix B to convert d, Q, and l to standard SI units:
d = (0.4 in.)(0.0254 m/in.) = 0.01016 m
Q = (6 gal/min)(6.3088E - 5 m3/s/gpm) = 3.7853E - 4 m3/s
I = (50 ft)(0.3048 m/ft) = 15.240 m
Use Equation (3.11) to compute the average fluid velocity:
4Q 4(3.7853E - 4 m 3/s)
v =- 2
= = 4.669m/s
7Td 1T(0.01016 m?
Use Equation (3.10) to compute the Reynolds number:
pvd (1000 kg/m 3)(4.669 m/s)(0.01016 m)
Reynolds number = ---;;: = 0.001 Pa • s = 47,440
The flow is turbulent, so we use Equations (3.14) to (3.16) to compute the resistance and pressure drop.
The complexity of the following computations can be intimidating. Fortunately, program LIQRESIS re­
lieves us of this daunting burden in Example 3.9.
The first step is to obtain the friction factor by interpolation from Table 3.3, using the row for com­
mercial steel pipe with a diameter of 1 to 2 in. The following variables and values will be used in the
interpolation:
R. = 47,440 = Reynolds number from Equation (3.10)
Ra = 10,000 = largest Reynolds number column heading that is less than R
Rb = 100,000 = smallest Reynolds number column heading that is greater than R
f = friction factor for the Reynolds number R (47,440)

fa = 0.035 = friction factor in the Ra column

fb = 0.028 = friction factor in the Rb column

The interpolation formula is

Re - Ra)
f = fa + (fb - fa) ( Rb - Ra

f = 0.035 + (0.028 - 0.035)( 4.~~E4_ -1::::)

f = 0.035 - 0.007e·~44) = 0.032088

Use Equation (3.16) to compute K,:

_ 8pfl _ (8)(1000 kg/m 3)(0.032088)( 15.24 m) _ 2 6
K, - 2J5 - 2( )5 - 3.6614E12 Pa' s /m
7T a 7T 0.01016 m .
84 • Chap.3 The Common Elements of System Components

Use Equation (3.15) to compute R,:

R, = 2K,Q = (2)(3.6614EI2 Pa . s2/m6)(3.7853E - 4 m3/s) = 2.772E9 Pa . s/m3
Use Appendix B to convert Rr to English units:
Rr = (2.7719E9 Pa· s/m\9.148E - 9) = 25.4 psi/gpm
Use Equation (3.14) to compute p:
p = KrQ2 = (3.66148E12 Pa' S2/ m6)(3.785E - 4m 3/s? = 5.25E5 Pa

Use Appendix B to convert p to English units:

p = (5.246E5 Pa)( 1.45E - 4 psi/Pa) = 76.1 psi

Answer: Rt = 25.4 psi/gpm, p = 76.1 pSI

•
EXAMPLE Use the program LlQRESIS to solve the problem presented in Example 3.6. LlQRESIS IS available on
3.8 disk (see Preface).

Solution The screen produced by a run of the program follows. The first eight lines are the title and input. The
last three lines are the result of the run.

LIQUID FLOW RESISTANCE AND PRESSURE DROP

Smooth tubing [T] or commercIal pIpe [P]--------------------~.~TUBE
51 Unl ts [5] or Engll sh unl ts [E] • 51
Flow rate In lIters/mInute • 9.42
Inside diameter of TUBE In centImeters • 1
Length of TUBE in meters • 10
Absolute viSCOSIty In Pascal seconds .0.160
Fluid density In kilograms/cubIc meter • 880

Reynolds number = 1.099E+02, Flow is laminar

ReSIstance = 6.519E+09 Pascal second/cubic meter
Pressure drop = 1.024E+06 Pascal

•
EXAMPLE Use the program LlQRESIS to solve the problem presented in Example 3.7.
3.9

Solution
LIQUID FLOW RESISTANCE AND PRESSURE DROP
Smooth tubing [TJ or commercial pipe [PJ------------------~~ • PIPE
SI unIts [5] or EnglIsh unIts [EJ--------------------------~ • ENGLISH
Flow rate In gallons/minute--------------------------------~ • 6
InSIde dIameter of PIPE In Inches--------------------------~ • 0.4
Length of PIPE In feet------------------------------------~ • 50
Absolute viscosity in pounds/foot second--------------------~ • 6.72E-04
FlUId density In pounds/cubIc foot------------------------~~ • 62.43

Reynol ds number = 4. 743E+04. Flow IS turbul ent

Resistance = 2.536E+Ol psi/gpm
Pressure drop = 7.607E+Ol psi

 • Sec. 3.3 Liquid Flow Elements 85

EXAMPLE A fluid with a density of 880 kg/m 3 and a viscosity of 0.0053 Pa· s is flowing through a smooth
3.10 tube with an inside diameter of 1 em. The flow rate is 9.42 L/min. The line is 10 m long. Determine the
Reynolds number. the resistance. and the pressure drop in the tube.

Solution
LIQUID FLOW RESISTANCE AND PRESSURE DROP
Smooth tubing [T] or commerci al pi pe [PJ----------~~~ TUBE
SI units [SJ or English units [EJ ~ SI
Flow rate in liters/minute ~ 9.42
Inside diameter of TUBE in centimeters ~ 1
Length of TUBE in meters ~ 10
Absolute viscosity in Pascal seconds ~ 0.0053
Fluid density ln kilograms/cubic meter ~ 880

Reynolds number = 3.319E+03. Flow is in transition

Resistance = 2.159[+08 to B.964E+08 Pascal second/cubic meter
Pressure drop = 3.390E+04 to 7.037E+04 Pascal

Liquid flow capacitance is defined in terms of the increase in volume of liquid in a tank
•
required to make a unit increase in pressure at the outlet of the tank.

(3.17)

where CL = capacitance. m 3jPa

d V = increase in volume, m 3
dp = corresponding increase in pressure, Pa
The increase in pressure in the tank depends on three things: the increase in level of the
liquid (AH), the acceleration due to gravity (g), and the density of the liquid (p) . The rela­
tionship is expressed by the following equation:

dp = pg dH (3.18)

The increase in level in the tank is equal to the increase in volume divided by the average sur­
face area (A) of the liquid in the tank.

dH = ~V (3.19)
A
By substitution of Equations (3.18) and (3 .19) into Equation (3.17),

pgdV
dp=-­
A

C = dV = dVA
L
~p pg dV
A
= -, m3/Pa (3.20)
pg
86 • Chap.3 The Common Elements of System Components

EXA M P LEA liquid tank has a diameter of l.83 m and a height of 10 ft. Determine the capacitance of the tank for
3. 11 each of the following fluids:
(a) Water
(b) Oil
(c) Kerosene
(d) Gasoline

Solution Equation (3. 19) may be used to determine C L .

A
CL = ­
pg
7TD2 7T(1.83 m)2 2
A = 4" = 4 = 2.63 m

g = 9.81 m/ s2

2.63 0.268
CL = - - = - ­
9.81 P P

Density is obtained from "Properties of Liquids" in Appendix A.

(a) Water: p = 1000 kg/m 3

0.268
CL = - - = 2.68 X 10- 4 m 3/Pa
1000

(b) Oil: p = 880 kg/m 3

0.268
C = - - = 3.05 X 10- 4 m 3/Pa
L 880

(c) Kerosene: p = 800 kg/m 3

0.268
m3/Pa
4
CL = 800 = 3.35 X 10-

(d) Gasoline: p = 740 kg/m 3

0.268
CL = 740 4
= 3.62 X 10- m /Pa
3
•
Liquid flow inertance is measured in terms of the amount of pressure drop in a pipe re­
quired to increase the flow rate by I unit each second.

(3.21)

where h inertance, Pa . s2/m 3

p pressure drop in the pipe, Pa

ilQ change in flow rate, m 3Is

ilt time interval, s

 • Sec. 3.3 Liquid Flow Elements 87

A more practical equation for inertance can be obtained as follows: The pressure drop acts on
the cross-sectional area of the pipe (a) to produce a force (F) equal to the pressure drop (P)
times the area (a):
F=pXa
This force will accelerate the fluid in the pipe, according to Newton's law of motion:
~v
F = pa = m- (3.22)
M
The mass of fluid in the pipe (m) is equal to the density of the fluid (p) times the volume of
fluid in the pipe. The volume is equal to the cross-sectional area of the pipe (a) times the
length of the pipe (T).
m = pal (3.23)
The change in flow rate, ~Q, is equal to the change in fluid velocity, ~u, multiplied by the
area, a:
~Q = a~v (3.24)
Combining Equations (3.22), (3.23), and (3.24) into Equation (3.21) results in the following
equation for inertance:

(3.25)

EXAMPLE Determine the liquid flow inertance of water in a pipe that has a diameter of 2.1 cm and a length
3.12 of 65 m .

Solution Equation (3.25) applies:

p = 1000 kg/m 3 (Appendix A)

2
a = Trd = Tr(O.021? = 3.46E - 4 m2
4 4
(1000 kg/m3)(65 m)
I
L
=
3.46E - 4 m2
= 1.88E + 8 Pa . s2/m1
•
Dead time occurs whenever liquid is transported from one point to another in a pipeline.
An example of liquid flow dead time is shown in Figure 3.5. The dead-time delay is the dis­
tance traveled (D) divided by the average velocity (v) of the fluid. Equations (3.11) and (3.1)
are used to compute the average velocity (v) and the dead-time delay (td). Since a = 7rd 2/4,
Q 4Q
v= - = -,m/s
2
a 7rd

D
td = -,
v
s
88 • Chap. 3 The Common Elements of System Components

Dead-lime delay = Dlv. seconds

~.Inlel
HOI l1uid

_C~=====~==========~.IOullet
Cold Iluid Fluid velocity (v)
(meiers/second) !
U
Warm
fluId
I
..._ _ _ _ _ Distance (D) _ _ _ _ _---+1
(meters)
0
1

• Figure 3.5 Liquid flow dead-time element. Hot and cold fluids are combined 10 a
Y connection to produce a warm flUId which flows a distance D to the outlet of the
pipe. The input to the system is the ratio of hot fluid to cold fluid. The output is the
temperature of the fluid at the outlet end. The dead-time delay IS the distance traveled
(D) divided by the average velocIty (v) of the fluid.

EXAMPLE Liquid flows in a pipe that is 200 m long and has a diameter of 6 em. The flow rate is 0.0113 m 3 /s.
3.13 Determine the dead-time delay.

Solution Equations (3 .11) and (3.1) apply.

4Q (4)(0.0113)
u = 1Td2 = 1T(0.062 ) = 4 mls

D 200m
td = - = - - = 50 s
u 4m/ s •
LIQUID FLOW EQUATIONS
Reynolds Number
pud
Reynolds number = - (3.10)
J.I.

Average Velocity
Q 4Q
u=-=- (3.11)
a 1Td2

Laminar Flow Resistance

(Reynolds number less than 2000)

P = PI - P2 = RLQ (3.12)

128 J.l.l
RL = 1Tct (3.13)

Turbulent Flow Resistance

(Reynolds number more than 4000)

P = PI - P2 = K,Q2 (3.14)

R, = 2K,Q (3.15)

8 pfl
K, = 1T2cf' (3.16)
 • Sec. 3.4 Gas Flow Elements 89

Capacitance

A
CL = ­ (3.20)
pg
Inertance
pl
IL = ­ (3.25)
a
Dead-Time Delay

(3.1)

where a = cross-sectional area of pipe, m2

A = surface area of liquid in tank, m2
CL = liquid flow capacitance, m3 fPa
d = inside diameter of the pipe, m
D = diameter of the tank or distance, m
f = friction factor from Table 3.3
g = 9.81m/s2 (gravitational acceleration)
h = inertance, Pa . s2/m 3
K, = turbulent flow coefficient, Pa . s2/m6
= length of the pipe, m
p = pressure drop from inlet to outlet, Pa
PI = pressure at inlet of pipe, Pa
P2 = pressure at outlet of pipe, Pa
Q = flow rate, m3Is
3
RL = laminar flow resistance, Pa . s/m

R, = turbulent flow resistance, Pa . s/m 3

v = average fluid velocity in pipe, mls

p = fluid density, kg/m 3 (see "Properties of Liquids" in Appendix A)

f.L = absolute viscosity of fluid, Pa . s (see "Properties of Liquids" in AppendIx A)

3.4 GAS FLOW ELEMENTS

Gas flow resistance is that property of pipes, valves, or restrictions that impedes the flow of
a gas. It is measured in terms of the increase in pressure required to produce an increase in
gas flow rate of 1 kg/so The SI unit for gas flow resistance is pascal second per kilogram
(Pa . sjkg). Gas flow in a pipe may be laminar or turbulent. In laminar flow, the pressure drop
varies directly with the gas velocity. In turbulent flow, the pressure drop varies directly with
the square of the gas velocity. In practice, gas flow is almost always turbulent, and the com­
monly used equations apply to turbulent flow.
90 • Chap.3 The Common Elements of System Components

If the pressure drop is less than 10% of the initial gas pressure, the equation for incom­
pressible flow gives reasonable accuracy for gas flow. This is the equation we used for tur­
bulent liquid flow with the volume flow rate (Q) replaced by mass flow rate (W):
P = PI - P2 = KgW2, Pa (3.26)
Rg = 2KgW, Pa . s/kg (3.27)

Kg =
8fl
7r 2d sp'
Pa·
~ or kg. m
S2 ( I) (3.28)

Equations (3.26), (3.27), and (3 .28) do not account for the expansion of the gas as the
pressure decreases, and the results are not accurate when the pressure drop is greater than
10% of the initial gas pressure. Also, "Properties of Gases" Appendix A gives the density and
viscosity of gases at standard atmospheric conditions. To keep things from getting unneces­
sarily complicated, we will limit the gas flow examples to near-atmospheric conditions with
pressure drops of less than 10% of the inlet pressure. This will allow familiarization with the
concept of gas flow resistance without worrying about the variations in viscosity and density
caused by changes in pressure and temperature.

EX AMP l E Figure 3.6 is a graph of mass flow rate (W) versu~ pressure drop (P). Determine the gas flow resi~tance
3.14 at the point where the mass flow rate is 0.6 kg/so

Solution Refer to Figure 3.6 for the solution.

60

50
1

'"
OJ
..'"
<J

0..
..2
..;:
c:;.
c£ 30
40
I/"

l
I

e
""0
~
'"'"" 20 I

ct
10
L

V
Tangent to curve

al W = 0.6 kg/sec

• Figure 3.6 Graplucal determtnation of gab

tlow resistance at the POtnt where W = 0.6

V­
kgh. First draw a Itne tangent to the curve at
I
W = 0.6. The desired reSIStance is the slope of

o /
~
~W = 0.72 kgh,ec ->
this tangent line. The rise of the tangent hne I~
52.000 Pa. and the run is 0.72 kg/so The resis­
o 0 .2 04 0.6 0.8 1.0 tance IS the flse divided by the run: R =
Mass flow rate. W, kJiograml>isecond 52.000/ 0.72 = 72,222 Pa . s/kg.
 • Sec. 3.4 Gas Flow Elements 91

EXAMPLE A smooth tube is supplying 0.03 kg/s of air at a temperature of 15°C. The tube is 30 m long and has
3 . 15 an inside diameter of 4 cm. Use Equations (3.26), (3.27), and (3.28) to find the pressure drop and the
gas flow resistance. The outlet pressure (P2) is 102 kPa. Find the inlet pressure (Pt).

Solution The following alternative form of the Reynolds number equation is more convenient for this problem.
4W
Re=--
7T!Ui

From Appendix A,
J.t = 1.81E - 5 Pa . s

p = 1.22 kg/m J

(4)(0.03 kg/s)
Re = 7T(1.8IE
- 5 Pa . 5)(0.04 m)
= 52800
,

Interpolating from Table 3.3, we obtain friction factor f

f = 0.03 + (0.018 - 0.030) e;~8 _-/) = 0.023

8fl (8)(0.023)(30 m)
K = - - = --'------:,----------:,­
2 5
R 7T d p 7T2(0.04 m)5(1.22 kg/m3)

= 4.469E + 6 Pa . s2/kg2
P = KgW2 = (4.469E + 6 Pa . s2/kg2)(0.03 kg/sf = 4.02 kPa
PI = P + P2 = 4.0 + 102 = 106.0 kPa

Rg = 2 KgW = (2)(4.469E + 6 Pa . s2/kg2)(0.03 kg/s)

= 268 kPa . s/kg
Gas flow capacitance is defined in tenns of the increase in the mass of gas in a pressure
•
vessel required to produce a unit increase in pressure while the temperature remains constant.
The SI unit of gas flow capacitance is kilogram per pascal.The ideal (or perfect) gas law may
be used to detennine the capacitance equation.

(3.29)

where p = absolute pressure of the gas, Pa

V = volume of the gas, m3
m = mass of the gas, kg
n = number of moles of gas, mol
M = gram molecular weight of the gas (see "Properties of Gases" in Appendix A),
g/mol
R = universal gas constant = 8.314 J/K . mol
T = absolute temperature, K
92 • Chap. 3 The Common Elements of System Components

Solving Equation (3.29) for m, the mass of the gas, yields

m = (l;~T) P (3.30)

Equation (3.30) applies to a pressure vessel where V is the volume of the vessel, T the ab­
solute temperature of the gas, and M the molecular weight of the gas. For a given pressure
vessel and gas, V and M are constants. The temperature (7) must also be held constant to de­
termine the gas capacitance. When M, V, and T are all constant, the term in parentheses is con­
stant. Under these conditions, Equation (3.30) is linear, and the relationship between a change
in mass (6m) and the corresponding change in pressure (6p) is given by

6m = C;~T)6P
6m
Gas flow capacitance = C}1 = ­
6p
MV
Cg = 103 RT' kg/Pa (3.31)

EXAMPLE A pressure tank has a volume of 0.75 m3 . Determine the capacitance of the tank if the gas is nitrogen
3 . 16 at 20°C.

Solution Equation (3.31) may be used to determine Cw

MV
C =- ­
R 103 RT

M = 28.016 g/mol for nitrogen (Appendix A)

3
V = 0.75 m
T = 20°C = 293 K
(28.016 g/mol)(O.75 m3)
C=-...,....--'------"-'------'-'----­
3
g (10 g/kg)(8.314 11K· mol)(293 K)
= 8.6 X 10- 6 kg/Pa

GAS FLOW EQUATIONS

Reynolds Number
4W
Reynolds number = 7TJ.Ul

Resistance-Low-Pressure Drop
P = PI - P2 = K8 W2 (3.26)

Rx = 2K8 W (3.27)

K=~
R 7T2d5p
(3.28)
 • Sec. 3.5 Thermal Elements 93

Capacitance
MV
C =- - (3.31)
g 103 RT
where Cg gas flow capacitance, kgjPa
d inside diameter of the pipe, m
Kg turbulent flow coefficient, Pa . s2/kg 2
I length of the pipe, m
M gram molecular weight of the gas (Appendix A), g/mol
P pressure drop from inlet to outlet, Pa
PI pressure at inlet of pipe, Pa
P2 pressure at outlet of pipe, Pa
R universal gas constant = 8.314 J/K . mol
Rg gas flow resistance, Pa . s/kg
T temperature, K
V volume of gas, m3
W gas flow rate, kg/s
P fluid density, kg/m 3
J.L absolute viscosity of fluid, Pa . s (see "Properties of Gases" in Appendix A)

3.5 THERMAL ELEMENTS

Thermal resistance is that property of a substance that impedes the flow of heat. It is mea­
sured in terms of the difference in temperature required to produce a heat flow rate of 1 W
(joule per second). Normally, heat flow occurs through a wall that separates two fluids at dif­
ferent temperatures. The fluids may be either liquids or gases. Heat flows through the wall
from the hotter fluid to the cooler fluid. If To is the temperature of the outside fluid and T; is
the temperature of the inside fluid, the temperature difference is To - T;. The heat flow rate,
Q, from the outside fluid to the inside fluid is equal to the temperature difference divided by
the thermal resistance, RT .
To - T;
Q= ,W (3.32)
RT
If the heat flow rate (Q) is negative because T, is greater than TO' it simply means that the heat
is going from the inside fluid to the outside fluid.
The thermal resistance, R T• in Equation (3.32) is the resistance of the entire wall sepa­
rating the two fluids. It is often convenient to express the resistance of 1 m2 of the walL We
will use the term unit resistance and the symbol Ru for the resistance of I m2 of the wall sep­
arating the two fluids. The term total resistance and the symbol RT will be used for the resis­
tance of the entire wall. The total resistance is equal to the unit resistance divided by the sur­
face area of the wall between the fluids.

(3.33)
94 • Chap.3 The Common Elements of System Components

The heat flow rate, Q, is equal to the temperature difference multiplied by the surface area
and divided by the unit resistance.
(To - T,)A
Q= R ,W (3.34)
u

The wall separating the two fluids is a composite, consisting of several layers, each con­
tributing to the resistance of the wall. Figure 3.7 shows a composite wall separating two flu­
ids that are at different temperatures. The two outside layers are thin films of stagnant fluid
that form an insulating blanket around the wall. The two inner layers consist of different ma­
terials, such as wood, steel, or insulation.
The inside and outside films are always present, but their thickness varies depending on
the motion of the main body of the fluid. A strong wind, for example, reduces the thickness
of the air film surrounding our bodies, giving us the familiar "wind chill index." The resis­
tance of the film depends on the thickness of the film and on the thermal resistance of the
fluid. Empirical formulas have been developed to detennine the resistance of fluid films un­
der different conditions. A number of these formulas are summarized in Equations (3.40) to
(3.47) at the end of this section. The formulas give the expression for the conductance of the
film, represented by the letter h . Conductance is the reciprocal of the unit resistance. The film
conductance, h, is referred to as the film coefficient. Thus ho is the outside film coefficient and

Outside wall secllon. Ie,

II

InSide
Huid.
T" T,

A = wall surface area = a x b. square meters

RT .
= thennal resistance = -AI(-hoI + x,lei- + Xz
- + -h,I )kelvin
-.wan
­
1e
2
• Figure 3.7 Composite wall separating the
outer fluid on the left from the inner flUid on
Tn = outside fluid temperature. 0 Celsius the right. The two outside layers are thm films
of stagnant fluid. The two inner layers consIst
T, = inside fluid temperature. 0 Celsius of materials such as wood, steel, or insulation.
The total thermal resistance of the wall is the
Q = heat How rate = (To - T,)IRT wans sum of the resistance of each section.
 • Sec. 3.5 Thermal Elements 95

h, is the inside film coefficient. The unit resistance of the film is equal to the reciprocal of the
film coefficient.

(3.35)

The unit resistance of the inner layers in the composite wall depends on the thickness of the
layer (x) and the thermal conductivity (k) of the material.

Riinner layer) = ~,K' m 2jW (3.36)

The value of the thermal conductivity of a number of common substances is given in Appen­
dix A, "Properties of Solids."
The unit resistance of the wall is the sum of the unit resistances of each layer. If we use
the subscripts 1, 2, ... for the inner layers, the unit resistance of a wall with n inner layers is
expressed as
I XI X2 Xn I 2
R (wall) = - + - + - + ... + - + - K· m jW (3.37)
U ho kl k2 kn hI'
The total resistance is equal to the unit resistance divided by the surface area, A.

Rrlwall) I (I
= - - + -XI + -X2 + ... + -Xn + - I} KjW (3.38)
A ho kl k2 kn h,
The computation of thermal resistance may be done using a calculator, a spreadsheet, or
a computer program. Example 3.17 illustrates the use of a calculator to compute the thermal
resistance of a composite wall section. Example 3.18 shows the calculator computations of
the thermal resistance of five different film conditions. THERMRES, a program for comput­
ing the thermal resistance of a composite wall section, is available on disk (see Preface).

EXAMPLE A wall section similar to that in Figure 3.7 has two inner layers: a steel plate I em thiek and insulation
3.17 2 em thick. The inside fluid is still water. The difference between the water temperature and the surface
temperature (Td ) is estimated to be lO°e. The outside fluid is air, which has a velocity of 6 mjs. The
water temperature is 45°C, and the air temperature is 85°C. The wall dimensions are a = 2 m, b = 3 m.
Determine the unit resistance, the total resistance, the total heat flow, and the direction of the heat flow.

Solution From "Properties of Solids" in Appendix A,

kJ = 45 Wjm' K for steel

k2 = 0 .036 Wjm· K for insulation

The area of the wall section is
A = 2 x 3 = 6 m2
The inside film coefficient is given by Equation (3.43):*
hi = 2.26(T", + 34.3)T~5
h, = 2.26(45 + 34.3)10°5
h, = 566.7 Wjm 2 • K

'The film coeffiCient equations are listed at the end of this section.
96 • Chap.3 The Common Elements of System Components

The outside film coefficient is given by Equation (3.46):

ho = 7.75v~75
ho = 7.75(6)°75

ho = 29.71 W/m2 . K
The unit thennal resistance is given by Equation (3.37):
I XI X2 I
R =-+-+-+­
u ho kl k2 h,

I 0.0 I m 0.02 m I
R = + + + -------::--­
u 29.71 W/m 2 . K 45 W/m . K 0.036 W/m . K 566.7 W/m 2 • K
Ru = 0.003366 + 0.000222 + 0.5556 + 0.001765
Ru = 0.591 K . m2/W
The total thennal resistance is given by Equation (3.33):
Rr = R.,/A = 0.591 K . m 2/W/6 m 2 = 0.0985 K/W
The total heat flow is given by Equation (3.33):
To - T, (85 - 45)K
Q = ~ = 0.0985 K/W = 406 W •
E X AMP L E Detennine the unit thennal resistance of each of the following film conditions.
3.18
(a) Natural convection in still air on a vertical surface where Td = 20°C.
(b) Natural convection in still water where Td = 30 C and T.., = 20°C.
D

(c) Natural convection in oil where Td = 16°C.

(d) Forced convection in air with a velocity of 4 m/s.
(e) Forced convection in water with a temperature (T..,) of 40°C, a pipe diameter of 5 cm, and a
velocity of 4 m/s.
SolutIOn (a) Equation (3.42) applies:
h = 1.78n 25

h = 1.78(20)°25 = 3.764 W/m2 . K

Ru = Ilh = 0.266 K . m2/W

(b) Equation (3.43) applies:

h = 2.26(Tw + 34. 3)~5
h = 2.26(20 + 34.3)30°5 = 672.2 W/m2 . K
Ru = Ilh = 0.00149 K • m 2/W
(c) Equation (3.44) applies:
h = 7 . 0T~2511L04

IL = 0.J60Pa· S (from Appendix A)

 • Sec. 3.5 Thermal Elements 97

h = 7.0(16)°25/0.]60°4
h = 29.14 W/m 2 . K
R. = I/h = 0.0343 K . m2/W

(d) Equation (3.45) applies:

h = 4.54 + 4.1 Va
h = 4.54 + 4.1(4)
h = 20.94 W/m 2 . K
Ru = I/h = 0.0478 K . m2/W
(e) Equation (3.47) applies:
20.93(68.3 + Tw)V~8
h = d 02

20.93(68.3 + 40)4°8
h = - ----:--:---­
0.05°2
h = 12,510 W/m 2 • K
Ru = 7.99E - 5 K • m2/W

EXAMPLE Use the program THERMRES to solve the problem presented in Example 3.17. THERMRES is avail­
3.19 able on disk (see Preface).

Solution A run of the program results in the following output.

THERMAL RESISTANCE AND HEAT FLOW

Surface area: 6.0 square meter

Inside temperature: 45 degrees Celslus

Outslde temperature: 85 degrees Celsius

Inslde film: Natural convection, water

Td: 10 Celslus. Tw: 45 Celsius

hi: 5.67E+02 watt/square meter kelvln

Outside film, Forced convection, air, smooth surface & inside plpe

Fluld velocity: 6.0 meter/second

ho: 2.97E+Ol watt/square meter kelvin

INNER LAYERS:

x (cm) 1.0 2.0

K (W/mk) 45.00 0.036

Unit resistance: 5.91E-01 kelvin square meter/watt

Total reslstance: 9.85E-0.2 kelvin/watt
Total heat flow: 4.06E+02 watts
Heat flows from outside to lnside.

•
Thermal capacitance is defined in terms of the increase in heat required to make a unit
increase in temperature. The SI unit of thermal capacitance is joule/kelvin (J/K). The heat
capacity (or specific heat) of a substance is the amount of heat required to raise the tem­
perature of 1 kg of the substance by I K. Thus the thermal capacitance (C T ) of an object is
98 • Chap.3 The Common Elements of System Components

simply the product of the mass (m) of the object timcs the heat capacity (Sh) of its sub­
stance.
(3.39)

EXAMPLE Determine the thermal capacitance uf 8.31 III' uf wale!.

3.20
Solution Equation (3.39) may be used to determine Cr.

Cr = mSh

The mass of water (m) is equal to the density (p) times the volume of water (8.31 m3 ). Prom Appendix
A, the density of water is 1000 kg/m3 and the specific heat is 4190 J/kg • K.

Cr = (1000 kg/m3)(8.31 m3)(4190 J/kg • K)

= 3.48 X 107 J/K
•
THERMAL EQUATIONS
Resistance

(3.37)

(3.33)

(3.32)

(3.34)

Film Coefficients (see note 1, below)

1. Natural convection in still air:
a. Horizontal surfaces facing up:

h 2.50T3 25 (3.40)
h. Horizontal surfaces facing down:

h = 1.32T~25 (3.41)

c. Vertical surfaces:
h 1.78T3,25 (3.42)

2. Natural convection in still water:

h = 2.26{Tw + 34.3)T~S (3.43)
• Sec. 3.5 Thermal Elements 99

3. Natural convection in oil:

7.0T~?5
h=- 04
­
(3.44)
IL
4. Forced convection for air against smooth surfaces and inside straight pipes:
n. Air velocity, Ua .s 4.6 1II/~:
h = 4.54 + 4.1 Va (3.45)
b. Air velocity, Va > 4.6 m/s:
h = 7.75v~7S (3.46)
5. Forced convection for turbulent water flow in straight pipes:
20.93(68.3 + Tw)v~8
h = d 02 (3.47)

Capacitance
Cr = mS,. (3.39)

where A = area of the wall surface, m2

CT = thermal capacitance, J/K

d= inside diameter of pipe, m

h= film coefficient, W1m2. K (h o = outside film, hi = inside film)

k= thermal conductivity, W1m . K

m= mass, kg
Q= heat flow rate, W
R" = unit thermal resistance, K . m2fW
RT = total thermal resistance, KfW
Sh heat capacity, J/kg . K
Td = temperature difference between the main body of the fluid and the wall surface,
K or °C (see note 2 below).

Ti = inside fluid temperature, °C

To = outside fluid temperature, °C

Tw = water temperature, °C

Va velocity of air, mls

Vw = velocity of water, mls

x = thickness of a layer, m

IL = absolute viscosity, Pa . S

Notes:

1. Equations (3.40) to (3.47) are based on empirical equations in J. Kenneth Salisbury, Kent's
Mechanical Engineers' Handbook: Power, 12th ed. (New York: John Wiley & Sons, 1950),
pp. 3-17 to 3-20.
2. To T, in kelvin is equal to To - Ti in Celsius, so a temperature difference may be com­
puted using either kelvin or Celsius units.
100 • Chap. 3 The Common Elements of System Components

3.6 MECHANICAL ELEMENTS

Mechanical resistance (or friction) is that property of a mechanical system that impedes motion.
It is measured in terms of the increase in force required to produce an increase in velocity of
I m/s. The SI unit of mechanical resistance is the "newton second/meter" (N . s/m).
An automobile shock absorber and a dash pot are examples of mechanical resistance de­
vices. Figure 3.8 illustrates the operation of a dashpot. The cylinder is stationary and the pis-

Any point a

Moving
M part F
17
~ Velocity (V)
Dashpot - Piston rod
Velocity
Seal b) ReSistance due to laminar
now in a dashpot-viscous friction.
Cylinder

a) A mechanical part wllh resistance

prOVided by a dashpot

;.
~ /
I; /"'"-. Tangent at xV-V b
<t. /~ POint a f 7 f' _____ JIt!F
/1I
~
...
:M o
u..
t!V
R}
t!F
= t!v

/
,.. _______ ..J
t!V
:
,R2 =t!-
V
t!F
= 2KV
l Coulomb fnction force. F,

Velocity Velocity

c) Resistance due to turbulent d) Resistance due to both

now in a dash pol. viscous friclion and coulomb friction .

• Figure 3.8 Ex ample' of mechanical resl,tance

 • Sec. 3.6 Mechanical Elements 101

ton rod is attached to the moving part (M). When part M moves, the fluid in the cylinder must
move through the orifice around the piston from one side to the other. The flow rate of the
fluid through the orifice is proportional to the velocity of part M, and a difference of pressure
(P2 - PI) is required to force the fluid through the orifice. This difference in pressure pro­
duces a force that opposes the motion. This force is equal to the difference in pressure times
the area of the piston F = (P2 - PI)A .
If the fluid flow rate through the orifice is small, the flow is laminar and the force is pro­
portional to the velocity (Figure 3.8b). Mechanical resistance that produces a force propor­
tional to the velocity is called viscous friction. If the flow rate is large, the flow is turbulent
and the force is proportional to the square of the velocity (Figure 3.8c). The friction effects of
the seal are neglected in the preceding examples. The seal produces a constant friction force
that is independent of velocity. Mechanical resistance that produces a force independent of
velocity is calIed Coulomb friction. The combination of Coulomb friction and viscous fric­
tion is illustrated in Figure 3.8d.
Pure viscous friction is the simplest to treat mathematically, and Figure 3.8b is usually
used as a first approximation to mechanical resistance. The resistance is equal to the force (F)
divided by the velocity (v) at any point:

F
Rm = B = -, N . s/m (3.48)
v

In Figure 3.8c, the resistance is nonlinear, increasing as the velocity increases. At any
point on the curve, the resistance can be determined by drawing a line tangent to the curve at
that point. The resistance is equal to the slope of this tangent line. The slope is determined by
locating two points on the tangent line that are far enough apart to give reasonable accuracy.
The slope is equal to the change in force (~F) between the two points divided by the change
in velocity (Av) between the same two points.

AF
R
m
= B = -Av ' N·s/m (3.49)

In Figure 3.8d, the resistance is linear, but Coulomb friction prevents the line from pass­
ing through the origin. Equation (3.48) cannot be used to determine the resistance. However,
Equation (3.49) can be used provided the two points are located approximately as shown in
the figure.

EXAMPLE A dashpot is used to provide mechanical resistance in a packaging machine. The flow is laminar, so the
3.21 viscous friction equation shown in Figure 3.8b applies. A test was conducted in which a force of 98 N
produced a velocity of 24 m/s. Detennine the mechanical resistance (Rm).

F 98N
Solution Rm = -;; = 24 mls = 4.08N . slm
•
"Mechanical specs use the letter B for viscous fnction We use Rm to emphasize the analogIes among the five types.
of systems presented in this chapter.
102 • Chap.3 The Common Elements of System Components

EXAMPLE A mechanical system consists of a sliding load (Coulomb friction) and a shock absorber (viscous fric­
3.22 tion). The force versus velocity curve is shown in Figure 3.8d. The following data were obtained from
the system.

Run Force, F(N) Velocity, v (m/s)

a 7.1 10.5
b 9.6 15.75

Determine the resistance (Rm) and the Coulomb friction force (Fd. Write an equation for the applied
force (F) in terms of the velocity (v).

AF Fb - Fa 9.6 - 7.1 2.5N 0.476

Solution R", B A
aV Vb - Va 15.75 - 10.5 525m/s
0.476N· slm
F = Fc + 0.476v (from Figure 3.&:1)
7.1 Fc + (0.476)(10.5) (from run a)
7.1 5.0 = 2.1 N
The equation for the applied force is

F = 2.1 + 0.476u
where F applied force, N
v velocity, mls

Mechanical capacitance is defined as the increase in the displacement of a spring re­

•
quired to make a unit increase in spring force. The SI unit of mechanical capacitance is the
newton/meter. The reciprocal of the capacitance is called the spring constant, K. Mechanical
capacitance (Cm ) is computed by dividing a change in spring displacement (Ax) by the corre­
sponding change in spring force (AF).

C ax 1 (3.50)
II! aF = K,m/N

Some useful conversion factors:

lIb/in. = 175 N/m
I Ib/ft = 14.6 N/m
1 in./Ib = 0.0057 miN
1 ft/Ib = 0.0685 miN

EXAMPLE A spring is used to provide mechanical capacItance in a system. A force of lOON compresses the spring
3.23 by 30 cm. Determine the mechanical capacitance and the spring constant.
 • Sec. 3.6 Mechanical Elements 103

Solution Equation (3.50) may be used to detennine Cm.

ax 0.30m
C'" = AF = lOON = 0.003 miN

K = l/Cm = 333.3 Nlm

Mechanical inertia (mass) is measured in terms of the force required to produce a unit
•
increase in acceleration. It is defined by Newton's law of motion, and the term mass is used
for the inertia element. Equation (3.51) states Newton's law of motion in terms of the aver­
age force (Favg), the mass (m), the change in velocity (Av), and the interval of time during
which the change takes place (At).

Au
F avg -- m-:­
At (3.51)

Equation (3.52) states Newton's law in terms of the instantaneous force (F), the mass (m), and
the rate of change of velocity with respect to time (dv/dt).
dv
F m­ (3.52)
dt

EXAMPLE Automobile A has a mass of 1500 kg. Detennine the average force required to accelerate A from 0 mls
3.24 to 27.5 mls in 6 s. Automobile B requires an average force of 8000 N to accelerate from 0 mls to
27.5 m/s in 6 s. Detennine the mass ofB.
Solution Equation (3.51) may be used for both problems.
Av
Favg =m At

Automobile A:

Favg = (1500 kg) (

27.5m/
6s
s) = 6875 N

Automobile B:

8000 me 7
.5 -
6
0)
m= (8000 N) (27.: ~/s) = 1745 kg •
Mechanical dead time is the time required to transport material from one place to an­
other. A belt conveyor is frequently used to transport solid material in a process (see Figure
3.9). The dead-time delay is the time it takes for the belt to travel from the inlet end to the
outlet end. Equation (3.1) may be used to compute the dead-time delay. The effect of the dead
time is to delay the input flow rate by the dead-time delay (td)'

EXAMPLE (a) A belt conveyor is 30 m long and has a belt speed of 3 mfs. Detennine the dead-time delay be­
3.25 tween the input and output ends of the belt.
(b) Write the equation for the output mass flow rate Io(t) in terms of the input mass flow rate!t(t).

~.
104 • Chap.3 The Common Elements of System Components

Dead-time delay = D/v. seconds

(meters/second)

I ­ _ _ _ _ _ Distance traveled ( D ) - - - - - - - i • Figure 3.9 A belt conveyor IS an example

Belt (meters) of a mechanical dead-lime element.

Solurion (a) Equation (3.l) may be used.

D 30m
Itf = - = - - = lOs
v 3m/s
(b) The following equation from SectIon 3.1 may be used:

/',(t) = /,(t - ld)

= {.(l - 10)
•
MECHANICAL EQUATIONS
Resistance
F
R", = B = ­ (3.48)
v

tl.F
R", = B = 6v (3.49)

Capacitance
6x 1
C =-=- (3.50)
'" tl.F K

Inertia

(3.51)

dv
F=m­
(3.521
dt

Dead-TIme Delay

(3.1 )

where em mechanical capacitance. miN

D distance. m
F force. N
F.vg average force. N

tl.F change in force. N

• Sec. 3.6 Mechanical Elements 105

K= spring constant, N/m

m = mass, kg
R", = B = mechanical resistance, N . s/m
td = dead-time delay, s
tll = increment of time, s
v = velocity, m/s
tlv = change in velocity, mjs
dvldt = rate of change of velocity, m/S2
6..x= change in displacement, m

SUMMARY OF EQUATIONS
(Note: Each term is followed immediately by its unit enclosed between parentheses.)
Resistance
Electrical:
tle (V)
R = tli(A)' ohm

Liquid flow
p(kg/m3)v(m/s)d(m)
Reynolds number = Re = (P)
J.L a· s

Laminar flow resistance (Re < 2000):

128J.L(Pa . s)l(m) 3
RL = 1Td\m)4 ' Pa • s/m

Turbulent flow resistance (Re > 4000):

RT = 2KT (pa· s2/m 6 )Q(m3/s), Pa • s/m 3

8p(kg/m 3 )fl(m) 2 6
KT = 1T 2tf(m)5 ' Pa • s 1m

Gas flow:
Rg = 2KiPa . s2/kg2)W(kgjs), Pa • s/kg

8fl(m) 2 2
Kg = 1T2tf(m)5 p(kgjm3)' Pa • s Ikg

Thermal:
 106 • Chap. 3 The Common Elements of System Components

Mechanical:

R = J1F(N)

J1v(m/s), N . s/m

Capacitance
Electrical:

J1q(C) F
C = J1e(V)'
Liquid flow:
2
C A(m )
L 3
p(kg/m3)g(mjs2), m fPa

Gas flow:
M(g/mol)V(m 3)
C - kg/Pa
g - I(Y(g/kg)8.314(J/K· mol)T(K)'
Thennal:
CT = m(kg)Sh(J/kg • K),I/K

Mechanical:

C
m
=! = Ax(m)
K J1F(N)' miN

Inductance
Electrical:
e(V)
L- H
- dildt(A/s)'

Inertance
Liquid flow:
3
p{kgfm )I(m) Pa' s2/m3
lL = a(m2) ,

Inertia
Mechanical:

m = F(N)
dv/dt(m/s2)' kg

Dead- TIme Delay

Electrical, liquid flow, and mechanical:
D(m)
- ,s
td vernis)

--..­
.­
 • Glossary 107

• GLOSSARY

Capacitance: The amount of material, energy, or distance required to make a unit increase in poten­
tial. (3.1)
Capacitance, electrical: The quantity of electric charge (q C) required to make an increase in elec­
trical potential of 1 V. (3.2)
Capacitance, gas flow: The increase in the mass of gas in a pressure vessel required to produce an
increase in pressure of 1 Pa while the temperature remains constant. (3.4)
Capacitance, liquid: The increase in volume of liquid in a tank required to make an increase in pres­
sure of 1 Pa at the outlet of the tank. (3.3)
Capacitance, mechanical: The increase in displacement of a spring required to make an increase in
spring force of 1 N. (3.6)
Capacitance, thennal: The amount of heat required to make an increase in temperature of 1 K
(or 0C). (3.5)
Coulomb friction: Mechanical resistance that produces a force that is independent of the velocity.
(3.6)
Dead time: The time interval between the time a signal appears at the input of a component and the
time the corresponding response appears at the output. (3.1)
Dead time, electrical: The delay caused by the time it takes an electrical signal to travel from the
source to the destination. (3.2)
Dead time, liquid flow: The time it takes for a liquid to flow from the input end of a pipe to the out­
put end. (3.3)
Dead time, mechanical: The time required to transport material from one place to another place. (3.6)
Fanning equation: An equation that describes turbulent flow in a round pipe. (3.3)
Hagen-Poiseuille law: An equation that describes laminar flow in a round pipe. (3.3)
Inductance, electrical: The voltage required to increase electric current at a rate of 1 A/s. (3.1,
3.2)
Inertance, liquid flow: The amount of pressure drop in a pipe required to increase the flow rate at a
rate of 1 m3/s/s. (3.3)
Inertia: The force required to increase velocity at a rate of 1 m/s/s (i.e., an acceleration of 1 m/s2);
(3.6)
Laminar flow: An orderly type of flow !hat occurs when the Reynolds number is less than 2000 (low
flow velocity). (3.3)
Resistance: An opposition to the movement or flow of material or energy. (3.1)
Resistance, electrical: The increase in voltage required to increase current by 1 A. (3.2)
Resistance, gas flow: The increase in pressure required to produce an increase in gas flow rate of
1 kg/so (3.4)
Resistance, liquid flow: The increase in pressure required to make an increase in liquid flow rate of
I m3/s. (3.3)
Resistance, mechanical: The increase in force required to produce an increase in velocity of 1 m/s.
(3.6)
Resistance, thermal: The increase in temperature required to produce an increase in heat flow rate of
1 W. (3.5)
Reynolds number: A dimensionless number used to predict the type of fluid flow (laminar or turbu­
lent). See Equation (3.10). (3.3)
Turbulent flow: A disorderly type offlow that occurs when the Reynolds number is greater than 4000
(high flow velocity). (3.3)
Viscous frictiou: Mechanical resistance that produces a force that is proportional to the velocity.
(3.6)

." . ~
108 • Chap. 3 The Common Elements of System Components

• EXERCISES

Section 3.2 tance at the operating point, not the static resistance. In this
ex.ercise, you will compute the dynamic resistances of the 10
3.1 Ten components were tested to determine their elec­ components about the operating point values given in Exer­
trical resistance by applying a voltage to each component cise 3.1. Voltage and current values slightly above and below
and measuring the resulting current. The voltage on each the operating point are listed below. Use Equation (3.4) to
component was slowly increased until the product of the determine the dynamic resistance of each component.
voltage times the current was equal to 0.25 (the power dis­
sipated in a component is equal to this product, so each
component was dissipating ~ watt when the measurement el il e2 i2
was made). Use Equation (3.3) to determine the static re­
(a) 0.996 V 0.230 A 1.0825 V 0.250 A
sistance of each component for the following voltage and
(b) 2.83\ V 0.0788 A 3.2\35 V 0.0868 A
current values. (c) 0.0586 A 4.257 V
3.862 V 0.0646 A
(d) 4.752 V 0.0480 A 5.252 V 0.0520 A
(a) 1.04 V, 0.240 A
(e) 8 \ 19V 0.0272 A 9.322 V 0.0302 A
(b) 3.02 V, 0.0828 A (f) 12.691 V 0.0\77 A \4 \25 V 0.0197 A
(c) 4.06 V, 0.0616 A (g) 15.638 V 0.0144 A 17.376 V 00160A
(d) 5.00 V, 0.0500 A (h) 30568 V 0.00725 A 34.880 V 0.00805 A
(e) 8.71 V, 0.0287 A (i) 39.632 V 0.00558 A 45.443 V 0.00618 A
(f) 13.4 V, 0.0187 A (j) 48.578 V 0.00463 A 53.824 V 0.00513 A
(g) 16.5 V, 0.0152 A
(h) 32.7 V, 0.00765 A 3.4 Compare the static and dynamic resistance values of
(i) 42.5 V, 0.00588 A the 10 components in Exercises 3.1, 3.2, and 3.3. Discuss
(j) 51.2 V, 0.00488 A the relationship between the static and dynamic resistances
of linear and nonlinear components.
3.2 The ten components in Exercise 3.1 were tested a
second time with the current reduced by 50%. Use Equa­ 3.5 The following data were obtained in a test of a non­
tion (3.3) to determine the static resistance of each com­ linear electrical resistor.
ponent using the reduced voltage and current values listed
Volts 0 5 10 15 20 25
below. Compare the reduced static resistance values with
those from Exercise 3.1 and label each component as lin­ Amperes 0 0.323 0.626 0914 1 19 145
ear or nonlinear (a component is linear only if the two re­
sistance values are equal). Plot a volt-ampere graph. Use the tangent line method to
determine the resistance at 10 and 20 V.
(a) 0.52 V, 0.120A 3.6 An electric current, i, was applied to a capacitor for
(b) 1.28 V, 0.0414 A a duration of t seconds. This current pulse increased the
(c) 2.03 V, 0.0308 A voltage across the capacitor from e I to e2 volts. Determine
(d) 2.19V, 0.0250 A the capacitance, C, of the capacitor for each of the follow­
(e) 3.67 V, 0.0144 A ing values of i, t, el and e2.
(0 6.70 V, 0.00935 A
(g) 8.25 V, 0.0076 A
(h) 14.2 V, 0.00382 A el e2

(i) 17.6 V, 0.00294 A (a) 0.36 rnA 0.25 s OV 16V

(j) 25.6 V, 0.00244 A (b) 0.22 rnA 1.205 OV 240 V
(c) 2. IOmA 0.845 50V 120V
3.3 In Ex.ercises 3.1 and 3.2, you computed the static resis­ (d) I.SOmA 0.485 20V SOV
tance of 10 components using Equation (3.3). When we an­ (e) 12.4 rnA 0.09 s OV 90V
alyze and design control systems, we use the dynamic resis­
 • Exercises 109

3.7 A voltage pulse with an amplitude of e volts and a

Fluid (15°C) Tank Diameter Tank Height
duration of t seconds was applied to an inductor. The CUf-
rent through the inductor increased from i l to i2 amperes. (a) Water 0.5 m 1.5 m
Assume the resistance of the inductor was negligible. De­ (b) Kerosene 0.8m 1.6m
termine the inductance, L, of the inductor for each of the (e) Ethyl alcohol 0.6m 0.8m
following values of e, t, i 1 and i2 . (d) Turpentme 1.0 m I.2m
(e) 0.1 10.0 in 5.0m
(f) Gasoline 1.2 m 2.0m
e i, i2

(a) 12.6V 4.0ms OA 1.20 A 3.11 Determine the liquid inertance for each of the fol­
(b) 380V 1.25 s OA 3.40 A lowing condition sets.
(e) 2.40 V 0.03 s 100 rnA 200 rnA
(d) 5.40 V 0.20 s 0.42 A 2.36A
(e) 6.80V 2.0 ms OA 0.64 A flUid (15°C) Pipe Diameter Pipe Length

(a) Water 1.27 em 366 m

3.8 Determine the dead-time delay in the transmission of (b) Kerosene 3.175 em 6.1 m

electrical signals for the following values of distance, D ,

(e) Mercury 0.635 em 0.25 m
and velocity of propagation, vp. (d) Turpentine 1.905 em 10.Om
(e) Oil 15.24 em l600m
(a) 25 km, 2.8 x 108 mls (0 Gasoline 2.54 em 40m
(b) 2 x Io-~ krn, 3.0 X \08 mls
(c) 2000 ft , 2.4 X 108 mls
(d) 12,000 miles, 2.2 X 108 mls 3.12 Determine the dead-time delay for each of the fol­
8 lowing liquid flow condition sets.
(e) 200 m, 2.7 X 10 mls

Section 3.3 Flow Rate Pipe Diameter Pipe Length

3.9 Determine the Reynolds number, the liquid resis- (a) 6.33E - 4 m3/s 3.175 em 15m
tance, and the pressure drop for each of the following con- (b) 9.12E - 4 m3/s 2.540 em 20m
dition sets. The following abbreviations are used: tube for (c) 3.18E - 4 m3/s 1.590 em 8m
smooth tube, pipe for commercial pipe, Lpm for liters per (d) 17.10 Lpm 1.905 em 4m
minute, and gpm for gallons per minute. (e) 5.12 Lpm 0.952 em 5m
(f) 10.64 Lpm 1.270 em 10m

Flow Inside

FlUid (15°C) Type Rate Diameter Length Section 3.4

(a) Turpentine lube 20Lpm 3.8 em 1600m 3.13 The following data sets were obtained for gas flow
(b) Water pipe 12gpm 0.7510. 100 ft systems. Use Equation (3.26) to determine the value of the
(e) Ethyl alcohol pipe 25 Lpm 1.9 em 15 m turbulent flow coefficient, Kg, for each data set.
(d) Gas.>lme tube 36gpm 1.25 m. 1200 ft
(e) Glycerin tube 2 gpm 1 in. . 25 ft PI (kPa) P2 (kPa) W(kgM
(0 Oil pipe IOLpm 2.5 em 30m
(g) Kerosene tube 50 gpm 2 in. 5500 ft (a) 106 101 0.054
(h) Wat<:r tube 36Lpm 1.9 em 26 m (b) 112 102 0.0049
(i) Ethyl alcohol pipe 12gpm 0.625 in. 75 ft
(e) 108 104 0.031
(j) Gas()itne pipe II Lpm 2.54 em 16,000m
(d) 96 88 0.012
(e) 102 96 0.12
3.10 Determine the liquid capacitance for each of the
(f) 80 73 0.023
following condition sets.
110 • Chap.3 The Common Elements of System Components

3.14 Determine the gas flow resistance, Rg , for each data

set in Exercise 3.13. Use Equation (3.27) and the values of Temperature Tank Volume
Gas (OC) (m03)
KII you obtained in that exercise.
3.15 Determine new values of P2 for the data sets given (a) Nitrogen 40 1.4
in Exercise 3.13 with the values of W replaced by the new (b) Carbon dioxide 20 2.5
values given below. Use your computed values of K, and (c) AIr 50 3.5
the values of PI from Exercise 3.13. (d) Helium 30 0.8
(a) 0.032 kgj s (b) 0.Q28 kg/s (e) 0.016 kgjs
--------------------------------
(d) 0.0074 kgjs (e) 0.071 kgjs (f) 0.014 kgjs
Section 3.5
3.16 Use Equation (3.26) to compute the turbulent flow
coefficient, KII , of a smooth tube flow meter from the fol­ 3.20 Determine the unit thermal resistance, the total
lowing data. thermal resistance, the total heat flow, and the direction of
W = 0.04 kgjs the heat flow for each of the following composite wall sec­
PI = 102 kPa P2 = 92 kPa
tions (see Figure 3.7).
Then use your computed value of KII to determine values (a) Vertical walls:
of pressure drop, p, for the following gas flow rates, WII : 0, A = 35.7 m2 T, = 21 °C To = -5°C
0.008.0.016,0.024,0.032, and 0.04 kg/ so Three inner layers:
Finally, plot your results in a calibration graph of (1) Wood (pine), 1.91 cm thick
mass flow rate (x-axis) vs pressure drop ( y -axis) . (2) Insulation, 8.89 cm thick
3.17 The following data were obtained for a gas flow (3) Wood (oak), 0.64 cm thick
~ystem . Plot the data and graphically determine the gas Inside film: Still air, vertical surface, estimated Td = 4°C
flow resist~nce, R g , at flow rates of 0.002 and 0.004 kg/ so Outside film: Moving air, v = 7 m/s
Check your results by using Equation (3 .26) to compute (b) Ceiling:
2
Kg and Equation (3.27) to compute Rg. A = 13.4 m T, = 23°C To = -5°C
Four inner layers:
W= gas flow rate, kgjs (I) Asphalt, 0.32 cm thick
p = pressure drop, kPa (2) Wood (pine), 1.27 cm thick
(3) Insulation, 15.24 cm thick
(4) Wood (pine), 1.27 cm thick
w o 0.001 0002 0.003 0.004 0.005
Inside film: Still air, horizontal surface facing down,
p o 0.4 1.6 3.6 6.4 \00 estimated Td = 5°C

Outside film : Moving air, v = 2.75 mjs

(e) Floor:
3.18 In each data set below, a smooth tube is supplying
A = 13.4 m2 T, = 20°C To = 10°C
the specified gas with an inlet pressure, PI, of 120 kPa. De­
Three inner layers:
termine the pressure drop, P, gas flow resistance, RIi' and
(I) Wood (oak), 0.95 cm thick
outlet pres~ure , P2, for each data set.
(2) Wood (pine), 1.27 cm thick
(3) Insulation, 10.16 cm thick
Tube Flow Inside film : Still air, horizontal surface facing up, esti­
Tube J.D. Length Rate mated Td = 3°C
Gas (15 ° C) (em) (m) (kg/s) Outside film: Still air, horizontal surface facing down,
estimated Td = 6°C
(a) Nitrogen 4.50 25.0 0.042
(d) Water-cooled oil tank:
(b) Carbon dioxide 254 8.0 0.032
A = 1.8 m2 T, = 95°C To = 75°C

(c) Air 3.18 6.0 0.048 One inner layer: Aluminum, 0.64 cm thick

(d) Helium 1.91 53 0.0055 Inside film: Still oil, estimated Td = 19°C

Outside film: Still water, estimated Td = 1°C

3.19 Determine the gas flow capacitance for each of the (e) Oil-heated water tank:
following data sets. A = 1.4 m2 T, = 20°C To = 9O°C
 • Exercises 111

One inner layer: Brass, 0.25 cm thick (d) 201 2.3

Inside film: Still water, estimated Td = 4.5°C (e) 80 1.5
Outside film : Still oil, estimated Td = 16°C (f) 152 0.9
(f) Water flowing in a straight pipe:
A = 0.29 m 2 T, = 10°C To = 25°C 3.24 Assume you tested six mechanical systems that
One inner layer: Copper, 0 .2 cm thick combined a sliding load (Coulomb friction) with a dashpot
Inside film: Thrbulent water flow, Tw = 10°C, d = (viscous friction). Your test results are listed below. Deter­
1.91 cm, v = 1.6 mls mine the mechanical resistance (R m ), the Coulomb friction
Outside film: Still air, vertical surface, estimated Td = force (Fe), and the equation for the applied force (F) in
6°C terms of the velocity (v) .
3.21 Cold water flows through a steel pipe that is exposed
to warm air. Your job is to estimate how much heat flows
through the pipe from the air to the water. The total surface FI (N) VI (m/s) F2 (N) ~ (m/ s)
area of the pipe is 7Tdm L, where dm is the pipe mean diame­
(3) 12.0 2.0 31.5 15.0
ter in meters and L is the pipe length in meters.
(b) 21.2 4.2 39.7 12.6
d m = 1.86 cm L = 20m (c) 9.1 3.8 17.7 14.3
(d) 18.6 5.4 34.4 16.7
One inner layer: Steel, 0 .3 cm thick (e) 23.3 2.9 58.2 13 .8
Inside film: Thrbulent water flow in straight pipes, Tw = (f) 15.6 4.6 30.8 14.1
5°C, V W = 1.8 mls
Outside film: Still air, vertical surface
Estimate the value of Td for the outside film and try 3.25 Determine the mechanical capacitance and the
several values for Td between 1 and 15°C to see how sen­ spring constant for springs with the following test results.
sitive your estimate is.
3.22 Determine the thermal capacitance for each of the Foree (N) Compression (em)
following data sets.
(a) Ethyl alcohol, V = 1.8 m3 (3) 1500 8.5
(b) Gasoline, V = 0.2 m3 (b) 2100 10.2
(c) Water, V = 50 gallons (c) 960 7.6
(d) Mercury, V = 0.01 L (d) 3200 14.3
(e) Oil, V = 0 .86 m 3 (e) 1810 12.9
( f) 1670 9.6
(I) Aluminum, m = 4.25 kg
(g) Steel, m = 5.95 kg
(h) Copper, m = 1.28 kg 3.26 The lift portion of a mechanical cam has two sec­
(i) Lead, m = 3.64 kg tions, A and B. Section A accelerates the load (m, kg) at a
(j) Wood (pine), m = 10.64 kg constant rate from 0 mls to v mls in tA s. Section B decel­
erates the load at a constant rate from v mls to 0 mls in 18
s. Determine the inertial forces in A and B for each of the
Section 3.6
following condition sets.
3.23 A technician tested six linear dashpots to detennine
their mechanical resistances. Coulomb friction was found to
be negligible. The force and velocity test results are listed be­ m (kg) v (m/ s) fA (s) Ie (s)
low. Determine the mechanical resistance of each dash pot.
(3) 2.9 0.95 0.32 0.22
(b) 1.8 1.20 0.28 0.33
Force (N) Velocity (m/ s) (c) 3.7 0.83 0.44 0.18
(d) 4. 1 1.13 0.52 0.29
(3) 135 1.6 (e) 2.4 1.80 0.21 0.38
(b) 127 1.1 (f) 1.7 0.76 0.39 0.55
(c) 143 1.8
 112 • Chap.3 The Common Elements of System Components

3.27 Combine equations (3.22), (3.23), and (3.24) into tance (160 ft) to meters. (The conversion factors
Equation (3.21) to derive Equation (3 .25). are in Appendix B.)
3.28 The braking distance from 60 miles per hour (mph) IS (b) Compute the average acceleration in meters/sec­
one measure of the brakes of an automobile. In this test, the ond 2 and then use f = rna to compute the average
brakes are applied while the car is traveling at a steady 60 braking force in newtons.
mph. The braking distance is the distance from the point . (c) Convert the average braking force from newtons
where the brakes were first applied to the point where the cat to pounds force (Ibf).
comes to a complete stop. The average acceleration during (d) Compute the average acceleration in feet/second 2 .
. braking is given by the following equation: Use the engineering fps system units (see Appendix
B) to compute the average braking force in pounds.
V~ The fps system uses pounds to measure force (lbf)
a= - ­
2Dh and pounds to measure mass (Ibm). In this system,
the relationship between force, mass, and accelera­
where Vo = initial velocIty of the car tion is given by the following equation:
Db = braking distance
Complete the following for a 2600-lb car that has a brak­
ing distance of 160 ft. The factor gc is the acceleration due to gravity.
(a) Convert the initial velocity (60 mph) to feet per The nominal value of gc is 32.2.
second and then to meters per second. Convert the (e) Compare the average braking force obtained in (d)
mass (2600 Ibm) to kilograms and the braking dis­ with the converted result obtained in (c).
• CHAPTER 4 Laplace
Transforms and
Transfer Functions

• OBJECTIVES

Laplace transforms are used to (1) describe control systems conveniently, (2) facilitate the analysis of
control systems, and (3) facilitate the design of control systems.
Control system components are described mathematically by an equation that establishes the time
relationship between the input and output signals of the component. These equations are functions of
time and often include derivative and/or integral terms. The Laplace transform converts these inte­
gral/differential equations into algebraic equations that are functions of frequency. These frequency­
domain equations also determine a relationship between the input and output signals, namely, the fre­
quency response of the component. When the algebraic equation is solved for the ratio of the output
signal over the input signa\, the result is called the transfer function. With the transfer function, we can
write a computer program to compute the frequency response of the component.
The purpose of this chapter is to give you the ability to use the Laplace transform to obtain the
transfer function of a component and to use the transfer function to obtain the Bode diagram (frequency
response) of the component. After completing this chapter, you will be able to

I. Use Laplace transform tables to determine

a. Laplace transform of a function of time
b. Transfer function of a component
c. Inverse Laplace transform
2. Use the transfer function to determine
a. Gain and phase at a given frequency
b. Frequency-response data"(using the program BODE)
c. Bode diagram
3. Describe how to determine frequency response by
a. Direct measurement
b. Hand computation
c. Computer computation
d. Graphical approximation

•••• 113
114 • Chap.4 Laplace Transforms and Transfer Functions

4.1 INTRODUCTION

In this chapter you will study some of the mathematical methods that control engineers use
to understand, analyze, and design control systems. Your study begins with the development
of the mathematical equations that describe several simple components. You will learn that
the relationship between the input and the output of these simple components involves deriv­
ative and integral terms. In fact, any component that has capacitance, inertia, inertance, or in­
ductance will require derivative and/or integral terms to describe the relationship between its
input and its output. Does this mean that you must use calculus to study such components?
What about the control systems formed by these components, do we need calculus to study
them as well? Not necessarily. In fact, you may be amazed at how much you can learn about
control systems using algebraic methods and complex numbers. You will be able to answer
questions such as How does this component respond to inputs of different frequencies? or
What is the frequency limit of this foIlow-up control system? or How can we design this con­
trol system to have the fastest possible response without being unstable?
How do we convert equations that involve derivatives and integrals into equations that
use only algebraic terms? That is the job of the Laplace transformation. It takes integro­
differential equations (i.e., equations that contain derivative and integral terms) and trans­
forms them into equations that have only algebraic terms. In the process, the Laplace trans­
formation transforms the equations from functions of time to functions of frequency, but let's
worry about that later. The Laplace transformation is only one of a number of useful trans­
formations . For example, the logarithmic transformation transforms numbers into their loga­
rithms so that we can use the simpler methods of addition and subtraction to mUltiply and di­
vide. The Laplace transformation transforms integral and differential functions of time into
algebraic functions of frequency so that we can use simpler methods of algebra instead of op­
erational calculus. Our treatment of the Laplace transformation stresses application rather
than theory, use rather than development. Tables of the most often used transformations are
presented and methods of using the tables are explained.
In the logarithmic transformation, we transform two numbers to their logarithms, add the
logarithms, and then inverse transform the sum to obtain the product of the two numbers. In
the Laplace transformation, we transform differential equations into algebraic equations,
solve the algebraic equations for the output as a function of frequency, and then do an inverse
Laplace transformation to obtain the output as a function of time. If it sounds complicated,
don ' t be overly concerned. Most control system analysis and design avoids the inverse trans­
formation and works directly with the algebraic equations. All the questions posed above can
be answered without using the inverse Laplace transformation. Then why study the inverse
Laplace transformation? Because it gives us a better understanding of the Laplace transfor­
mation and helps explain the Nyquist stability criterion in Chapter 15.
In Chapter I, you learned about the transfer function as a means of describing the rela­
tionship between the input and the output of a component. Here you will learn how to obtain
the transfer function of a component. It is really quite simple. Perform the Laplace transfor­
mation on the integro-differential equation that describes the input/output relationship of the
component. Solve the transformed equation algebraically for the ratio of the output over the
input, and you have the transfer function of the component. The fascinating thing about this
 • Sec. 4.2 Input/Output Relationships 115

subject is the many facets it has, each giving us a different perspective of the subject. One
very interesting facet is coming up next.
One of the most useful things we can learn about a component is how it responds to si­
nusoidal inputs of different frequencies . More specifically, how do the gain and phase differ­
ence of the component vary with the frequency of the input signal? You may recall from
Chapter 1 that gain is the ratio of the output amplitude over the input amplitude, and phase
difference is the phase of the output minus the phase of the input. We plot gain and phase in­
formation on a pair of graphs and call them the frequency response graphs of the component.
One graph plots the gain versus frequency, and the other plots the phase difference versus fre­
quency. Here is the fascinating part. The transfer function of a component is a function of a
frequency parameter represented by the letter s. Let's say the input to the component is sinu­
soidal with a radian frequency of w radians/second (rad/s), and j is the imaginary operator
(i.e., the square root of -1). If we replace the s parameter in the transfer function withjw, the
result is a complex number with magnitude M and angle 0, (i.e., M ~). The magnitude of
this complex number, M, is the gain of the component, and the angle, 8, is the phase differ­
ence of the component. Given the transfer function of a component, we can use a calculator
to compute frequency-response data, or we can program a computer to construct the fre­
quency-response graphs of the component. In Section 16.5, you willieam to use DESIGN, a
computer program that greatly facilitates the classical frequency-response method of control
system design. DESIGN uses the transfer functions of the control system components to com­
pute frequency-response data and constructs frequency-response graphs that provide great
insight into the design process and the performance of the control system.

4.2 INPUT/OUTPUT RELATIONSHIPS

In this section we develop the mathematical equations that describe the relationship between
the input and the output of five simple control system components. The five components are
a self-regulating liquid tank, a nonregulating liquid tank, an electrical RC circuit, a liquid­
filled thermometer, and a process control valve.

Self-Regulating Liquid Tank

Consider the self-regulating liquid tank in Figure 4.1. The liquid level in the tank remains
constant when the inflow rate (qm) is equal to the outflow rate (qout) . If the inflow rate is
greater than the outflow rate, the liquid level will rise. If the inflow rate is less than the out­
flow rate, the level will fall. During a certain time interval (~t), the amount of liquid in the
tank will change by an amount (~V) equal to the average difference between the inflow rate
and the outflow rate multiplied by ~t.
(4.1)
116 • Chap.4 Laplace Transforms and Transfer Functions

q'n--_-,
mput flow rate 1

T":=:=:=;:;:E=;:;::=::::=:=:
-------------------------
------------
-------------
~~~~~~~~~~~~~~~~~~~~
• Figure 4.1 A self-regulating liquid tank

1\. " .\
:=:=:=:=:=:=:=:=:=:=:=:=:--
------------------------- - - qou.
output flow rate
ha~ a restriction with resistance R,_at the outlet
of the tank. If the liquid level In the tank in­
creases. the flow through the re~triction also in­
crease\. If the level decreases, the flow through
diameter the restriction decreases. As long as the tank is
not full, the level will automatically adjuM until
" = height of liquid In the tank. meters the outflow equals the Inflow.

The change in the liquid level in the tank (Ilh) is equal to the change in volume (Il V) di­
vided by the cross-sectional area of the tank (A) .
Il V (qln - qoul)avg III
Ilh =- = m (4.2)
A A'
The average rate of change of the level in the tank is equal to the change in level (Ilh) divided
by the time interval (Ilt) . For example, if the level changed 0.26 m during a time interval of
100 s, the average rate of change of level would be 0.26/100 = 0.0026 m/s.
Ilh (qlO - qoul)avg
Average rate of change of level = - = , m/s (4.3)
III A
Different time intervals may be used to determine the average rate of change. The aver­
age of 0.0026 m/s could have resulted from a change of 0.026 m during a time interval of
lOs or a change of 0.0026 m during a I-s interval. When the time interval diminishes to 0 s,
we call it an instant of time. As the time interval tlt diminishes to an instant of time, the aver­
'age rate of change becomes the instantaneous rate of change. In mathematics, the instanta­
neous rate of change of liquid level is called the derivative of level (h) with respect to time (t)
and is designated by the symbol dh/dt. If the time interval (tlt) in Equation (4.3) diminishes to
an instant, the average rate of change of level becomes the instantaneous rate of change (dh/dt).

As tlt ~ 0 tlh ~ dh = qrn - qout

(4.4)
, tlt dl A

If the equation for flow out of the tank is linear (laminar flow), the outflow rate (qout) is
given by the following equation (see Chapter 3):
• Sec. 4.2 Input/Output Relationships 117

pgh 3
qout = R ' mYs (4.5)
L

where qout = liquid flow rate, m3/s

3
p = liquid density, kg/m
g = gravitational acceleration, m/s 2
h = liquid level, m
RL = laminar flow resistance, Pa . s/m 3
Substituting Equation (4.5) into Equation (4.4) gives us
dh qm - pghlRL
dt A
or

RL (:g) ~~ = (:~) qm ­ h
The tenn (A/pg) is the capacitance (CL) of the liquid tank (see Chapter 3), and the entire term
RLA/pg = RLCL is caJled the time constant (1") of the liquid tank. The tenn Rdpg is the
steady-state gain (G) of the system. Substituting 1" and G into the preceding equation gives us
the final form of the differential equation for the liquid tank.
dh
1" dt + h = GqlO (4.6)

where

RL 2
and G = -,s/m
pg

Nonregulating Liquid Tank

A nonregulating liquid tank is shown in Figure 4.2. A positive-displacement pump provides
a constant output flow rate, qout. Equation (4.2), which was developed for the self-regulating
liquid tank, also applies to the nonregulating tank.
6.h = 6. V = (qin - 6.t
qout)avg
A A'

°The pascal unit of pressure can cause confusion in resolvIng the units of T and G in liquid flow examples. The prob­
lem can be resolved by converting the Pascal unit into its eqUivalent kilogram, meter, and second unit as follows:

Pa = N/m2 = (kg· mN)/m 2 = kg/m . S2

If we replace Pa by its equivalent kg/m . S2, the unit of T reduces to s and the unit of G reduces to s/m2.
118 • Chap. 4 Laplace Transforms and Transfer Functions

1('
~h(1) = itJ, q(1) dl

II q( I) = qon(t) - q,>u,

1 q,n(l)
• Figure 4.2 A nonregulatmg liquid tank has
a positive-displacement pump at the outlet of the
411(1) tank. The liquid level in the tank has no effect

1
h(1)
-t
Positive displacement
pump
on the flow through the pump. If the pump flow
rate (qO"!) does not exactly equal the inflow rate
(qon), the level in the tank will change at a rate
" (10)
proportional to the difference, q = qon - qOU!'
1 ! The level increases when q is positive and de­
creases when q is negative.

For convenience, we will define q(t) as follows:

q(t) = qm - qout
In other words, q(t) is the difference between the input flow rate and the output flow rate.
If the time interval, 6.t, begins at time to and ends at time t J, then
6.t = t) - to

and

The term (qtn - qOU,).lVg 6.t = qavg(t) 6.t represents the accumulation of liquid in the tank over
the interval tlt. In calculus, this accumulation of liquid is given by the integral from to to t\
of q(t) dt.

6.h(t) = A1 II, q(t) dt (4.7)

10

Electrical Circuit

Consider the electrical circuit of Figure 4.3. If the output terminals are connected to a high­
impedance load, then the current through the resistor and the current through the capacitor are
essentially equal. Let i represent the current that passes through the resistor and the capacitor.
For the resistor, the current (i) is equal to the voltage difference (ein - e out ) divided by the re­
sistance (R).
(4.8)

For the capacitor, the current (i) is equal to the capacitance (C) times the instantaneous rate
of change of the capacitor voltage.
. de out
l=C-­ (4.9)
dt
 • Sec. 4.2 Input/Output Relationships 119

• Figure 4.3 The electrical RC circuit is

sometimes used as a low-pass filter in a control
system.

Equating the right-hand side of Equations (4.8) and (4.9) and setting RC =T results in the
following differential equation for the electrical circuit:

(4.10)

where T = RC, s

Liquid-Filled Thermometer

A liquid-filled thermometer is illustrated in Figure 4.4. The amount of heat (LlQ) transferred
from the fluid surrounding the bulb to the liquid inside the bulb depends on the thermal re­
sistance (R T ) between the two fluids, the difference in temperature (Ta - T m), and the time
interval (.::\/).

The liquid in the bulb

Fluid temperature, Ta
expands as its temperature
(actual temperature)
increases, forcing more
liquid up the small tube.
The height of liquid is
a measure of the
temperature of the
liqUId in the bulb.

• Figure 4.4 A liquid-filled thermometer IS

Bulb temperature, Tm similar to a liquid-filled primary element for
(measured temperature) measuring temperature In a control system.
120 • Chap. 4 Laplace Transforms and Transfer Functions

The change in temperature of the liquid in the bulb (IlTm) is equal to the amount of heat added
(IlQ) divided by the thennal capacitance (C T ) of the liquid inside the bulb.
IlQ (Ta - Tm) III
IlT =_=~_....c.::.._
m CT RTCT

Dividing both sides by III gives us

or, as Ilt --) 0,

(4.11)

where T = RTCT = time constant, s

RT = thermal resistance between the fluid in the container and the liquid inside the
bulb, KjW
CT = thermal capacitance of the liquid in the bulb, J/K
Ta = temperature of the liquid in the container, °C or K
Tm = temperature of the liquid in the bulb, °C or K

Process Control Valve

A process control valve is illustrated in Figure 4.5. The inlet signal is air pressure that enters
the diaphragm chamber through the hole at the top of the valve. The air pressure applies a
downward force on the diaphragm that is equal to the air pressure (Pm) multiplied by the area
of the diaphragm (A):

Applied force = Fa = PmA (4.12)

This applied force is opposed by three reaction forces: the inertial force of the moving mass
(F,), the resistive force of the seal (FR), and the compressive force of the spring (Fd:

(4.13)

The inertial force is equal to the mass of the moving parts (valve stem and diaphragm plate)
multiplied by the acceleration of the moving mass. If x is the position of the moving mass, the
acceleration is expressed mathematically by the second derivative of x with respect to time.
The acceleration (or second derivative) and the inertial force are written as follows:

d 2x
Acceleration = -2
dl
(4.14)
d 2x
Inertial force = F, = m ­2
dt
 • Sec. 4.2 Input/Output Relationships 121

F" = applied force = PmA

flexIble dIaphragm

Spnng wllh capacItance em

Stem and dIaphragm plate are

the movmg mass. m

• Figure 4.5 Process control valve The mlet

air pressure acts on the top of the dIaphragm to
Seal wIth re~lstance. Rm produce an applied force (Fa). ThIS applied
force is opposed by three reactIon forces: the
inertial force of the moving mass (F/), the fric­
Flow tional force of the seal (FR) , and the compres­
dIrection sIve force of the spring (Fc); Fa = F, + F R +
Fe·

We will use the simple viscous friction model for the resistive force, FR' In this model the fric­
tion force is equal to the resistance multiplied by the velocity of the moving mass.
dx
FR = Rm dt (4.15)

The spring force is equal to the compression of the spring divided by the mechanical capaci­
tance value of the spring (em)' If we measure the position of the moving valve stem (x) such
that the spring force is 0 when x is 0, the equation for the spring force is

(4.16)

Substituting Equations (4.12), (4.14), (4.15), and (4.16) into Equation (4.13) gives us the de­
sired mathematical equation for the control valve:
d 2x dx 1
Pm A = m -2 + R m- + -C x (4.17)
dt dt In

Equation (4.17) is called a second-order differential equation. Equations (4.6), (4.10), and
(4.11) are called first-order differential equations. First- and second-order differential equa­
tions have applications in many types of engineering systems.
As the previous examples illustrate, many components, systems, and processes are mod­
eled by some type of differential equation. At this point, a brief discussion of differential
equation terminology will be helpful.
122 • Chap. 4 Laplace Transforms and Transfer Functions

A differential equation is an equation that has one or more derivatives of the dependent
variable with respect to the independent variable [e.g., dh/dt in Equation (4.6)]. A solution of
a differential equation is an expression for the dependent variable in terms of the independent
variable that satisfies the differential equation. As an example, consider the following differ­
ential equation and its solution. The solution assumes that GK is a constant and h = 0 when
t = 0 (the value of h at t = 0 is called an initial condition of the differential equation).
Differential equation:
dh
T- +h = GK
dt
Solution:

The order of a differential equation is the order of the highest derivative that appears in
the equation. Thus Equations (4.6), (4.10), and (4.11) are first-order differential equations,
and Equation (4.17) is a second-order differential equation. Notice the remarkable similarity
of the three first-order differential equations, Equations (4.6), (4.10), and (4.11), even though
they describe three very different systems. This means these three dissimilar systems wiJi
have similar input-output relationships. By knowing the behavior of the RC circuit in Figure
4.3, we can predict the behavior of the thermometer in Figure 4.4 and the self-regulating liq­
uid tank in Figure 4.1. This observation is very useful in the analysis of a control system.
A linear differential equation has only first-degree terms in the dependent variable and
its derivatives. Thus Equations (4.6), (4. 10), and (4.17) are all linear differential equations. If
any term in the equation is raised to a power other than 1, the equation is nonlinear.
A linear differential equation of second order can be written in the following standard
form:
d 2x dx
-2 + A(t)- + B(t)x = F(t)
dt dt
If F(t) = 0, the equation is called homogeneous; otherwise, it is called nonhomogeneous. If
A(t) and B(t) are constants, the equation is said to have constant coefficients. Many compo­
nents of a control system are modeled by linear differential equations with constant coeffi­
cients. The Laplace transform is a tool both for solving these differential equations and for
converting the equations into transfer functions. Once the conversion to transfer functions is
made, the operations of calculus are replaced by algebraic operations.
Often the equation that models a component includes both derivative and integral terms.
Equations that have at least one integral term and one derivative term are called integro­
differential equations. The Laplace transform method also applies to integro-differential
equations.

SUMMARY OF INPUT/ OUTPUT EQUATIONS

Self-Regulating Liquid Tank

dh
T- + h = Glfln (4.6)
dt
• Sec. 4.2 Input/Output Relationships 123

where and

Nonregulating Liquid Tank

I1h(t) = A
1 f" q(t)dt (4.7)
10

Electrical Circuit

(4.10)

where
T = RC, s

Liquid-Filled Thermometer

(4.11)

where

Process Control Valve

dZx dx 1
PinA = m - z + Rm - + -C x (4.17)
dt dt m

where A = cross-sectional area of tank or control valve diaphragm, mZ

C = electrical capacItance, F

Cm = mechanical capacitance, mIN

CT = thermal capacitance, 11K

eon = input voltage, V

e OU1 = output voltage, V

g = gravitational acceleration, m/sz

h = liquid level, m

m = moving mass, kg

q = qon - qOUh m"Ys

qm = input flow rate, m3/s

qoul = output flow rate, m/s

Pm = inlet air pressure, Pa

R = electrical resistance, n

RL = laminar flow resistance, Pa . s/m'

Rm = mechanical resistance, N . s/m

RT = thermal resistance, K/W

To = temperature in container, °C or K

Tm = temperature in bulb, °C or K

x = control valve stem position, m

p = liquid density, kg/m3

T = time constant, s

124 • Chap. 4 Laplace Transforms and Transfer Functions

EXAM PLE The self-regulating liquid tank shown in FIgure 4.1 has the following parameter values:
4.1
RL = 5.62 X 105 Pa . s/m 3
A = 1.85 m 2
3
p = 880 kg/m
2
g = 9.81 m/s

Determine the numerical value of the coefficients of dh/dt, h, and qm in Equation 4.6 and write the equa­
tion using the numerical value~ .

RLA (5.62E5 Pa . s/m 3 )( 1.85 m2)

Solution T =--= 120 s
pg (880 kg/m 3 )(9.81 mN)
RL (5 .62ES Pa . s/m 3 ) ,
G = - = = 6S.1 s/m­
pg (880 kg/m 3 )(9.81 mN)

dh
120- +h = 6S.1 qon
dl
•
4.3 LAPLACE TRANSFORMS

In Section 4.2 we learned that even simple control system components are modeled by equa­
tions that include derivative and integral terms. The Laplace transform allows us to transform
these integral/differential equations into simpler algebraic equations. By solving the algebraic
equation for the ratio of the output over the input, we can obtain the transfer function of the
component. With the transfer function, we can compute the frequency response of the com­
ponent or program a computer to do the work for us. Computer programs (e.g., Mathematica,
Mathlab, MathCAD) are available to assist in the performance of Laplace transforms and the
related Fourier transforms. In this text, we will not derive Laplace transforms but will only
apply them. Considering the widespread use of transfer functions in the control field, some
knowledge of the Laplace transform is a decided asset.
The Laplace transformation takes us from a domain called the time domain to another do­
main called the frequency domain. Figure 4.6 shows an overview of the Laplace transforma­
tion. In the time domain, the size of the signals is given (or determined) for each instant of
time. We say that the input and output signals are functions of time and append a (t) to the
variable name to indicate that time is the independent variable. In Figure 4.6, qm(t) represents
the time-domain input signal, and hU) represents the time-domain output signal. The time­
domain equation of a component defines the size of the output as a function of time and the
input signal. Time-domain equations often include derivative and integral terms. The equa­
tions we developed in Section 4.2 are all time-domain equations.
In the frequency domain, the size and the phase angle of the signal are given (or deter­
mined) for each value of a complex frequency parameter designated by the letter s (s has units
of second-I). We say that the input and output signals are functions of frequency and append
an (s) to the variable name to indicate that frequency is the independent variable. In Figure
4.6, Qm(s) is the frequency-domain input signal and H(s) is the frequency-domain output sig­
nal. The frequency-domain equation of a component defines the size and phase angle of the
 • Sec. 4.3 Laplace Transforms 125

Time domain Frequency domain

}~
~~"e transforl11<1tlo {
• Figure 4.6 The Laplace transform takes a
Dif~tial ~ 'IJ Algeb!aic function from the lime domam to the frequency
equations equations
domain. The Inverse Laplace transform takes a
Input q,n (I) Input Qm (s) function from the frequency domain to the time
Outputh(l) ~.ot.:> OutputH(s) domain. Equations in the lime domain deter­
'lJt-(' '1>..."
I'"s(' \o'~ mine the size of a control signal at vanous
Laplace \tat\'> times, I . Equations in the frequency domain de­
termine the amplitude and phase angle of con­
trol signals at various frequencies, s. Operations
Time--------------------Frequency
on equations in the time domain involve calcu­
lus. OperatIOns on equations in the frequency
Calculus--- - - - - - - -----------Algebra domam involve algebra.

output signal as a function of s and the input signal. We use the Laplace transform to obtain
the frequency domain equation from the time domain equation.
Lowercase letters are used to represent signals in the time domain, and uppercase letters
are used for signals in the frequency domain. In Figure 4.6, for example, the input signal is
represented by qin(t) in the time domain and by Qm(s) in the frequency domain. Similarly, the
output signal is represented by h(t) in the time domain and by H(s) in the frequency domain.
Two examples will illustrate the need for the frequency domain in the analysis of sys­
tems. The first example is human hearing. If you look at an oscilloscope showing the output
from a microphone, it is very difficult to distinguish similar-sounding words. Even when this
time-domain waveform is digitized and a computer is used to analyze the waveform, it is still
difficult to discriminate between similar-sounding words. However, if a fast Fourier transform
is applied to the time-domain waveform, the computer can more easily discriminate between
words. The cochlea (the spiral-shaped part of the inner ear) performs this function in human
hearing. Soldiers who operated artillery in World War I had hearing damage. Autopsies of
these soldiers revealed that certain cilia inside the cochlea were destroyed. The hearing dam­
age that a noisy environment can cause is a well-documented fact, and the use of hearing pro­
tection is wise and required in most such situations.
The second example is the vibration of a motor. As a motor starts to wear out, the bear­
ing noise increases. By the time a trained observer can hear the noise, the motor is in very bad
shape. An oscilloscope view of the waveform is no better at picking up the bearing noise.
However, a preventative maintenance procedure is used in which an accelerometer is con­
nected to the motor casing and digital samples are taken with an AID converter. A fast Fourier
transform of the data clearly shows the amplitude of the higher-frequency bearing noise.
When this information is available, motors can be repaired before extensive damage occurs.
Figure 4.7 illustrates the solution of a differential equation using the Laplace transfor­
mation and the inverse Laplace transformation. The Laplace transform enables us to convert
a differential equation from the time domain into an algebraic equation in the frequency do­
main. The algebraic equation is then solved to get a frequency-domain solution. An inverse
transformation converts the frequency-domain solution into a time-domain solution. Of
course, we can also obtain the time-domain solution directly, using the methods of operational
calculus.
126 • Chap.4 Laplace Transforms and Transfer Functions

Timedomam Frequency domam

@ .Operational @ Algebra

calculus

• Figure 4.7 Diagram of the solution of the step re­

Inverse Laplace
transformation GK sponse of a self-regulating liquid tank. The Laplace
h = GK(l - e -tiT) ~.- - - - - - H = - transform solution consIsts of the following three steps:
G) s(n + I)
(I) the Laplace transformation of qm(t) and (T dh/dl +
h = Gqm) to frequency domain, (2) the algebraic solution
for H(s), and (3) the inverse Laplace transformation of
H(s), to time domain h(/). The calculus solution is shown
as step 4.

The solution outlined in Figure 4.7 is for a step change in the inlet flow rate of the self­
regulating liquid tank shown in Figure 4.1. Equation (4.6) is the time-domain equation for this
component.

Before time t = 0 s, the tank is empty and the input flow rate is zero (i.e., h = qin = 0, for
t < 0 s). At time t = 0, the input valve is opened and the input flow rate changes to K m3/s
(i.e., qm = K, for t > 0 s). This type of change is called a step change in the input signal (qm)'
A graph of input (qm) versus time (t) is shown in Figure 4.7. The question is: What is the level
of the tank after the step change in input? [That is, h(t) = ? for t > 0.]

Solution Step 1. Transform the input (qm) and Equation (4.6) into the frequency domain. A table of
Laplace transform pairs was used to make this transformation. The results of the transforma­
tion are listed below and in Figure 4.7.
Time Domain Frequency Domain
K
Qm(s) = -;­

dh(t)
T- + h(t) = GqlO TsH(s) + H(s) = GQin(S)
dt

Step 2. Solve the two frequency-domain equations for H.

GK
(4.18)
H(s) =
s( TS + 1)
• Sec. 4.3 Laplace Transforms 127

• TABLE 4.1 Functional LaplaceTransform Pairs 3

Time Domain, f(t) , t > 0 Frequency Domain, F(s)

K
I. K
s

2. Kt

3. Ke- ar
s+a
or K
4. Kte-
(s + af
Kw
5. Ksin wt
S2 + w2
Ks
6. Kcos wt
S2 + w2
Kw
7. Ke- or sin wt
(s + a)2 + w 2
K(s + a)
8. Ke -or cos wt
(s + a)2 + w 2
K
S (TS + I)
Kj1 KC
10. 2Ke- ar
cos (bt + 9) -----"'=-- + --==-­
s + a - Jb s +a+ jb

'The letters a, K. and T represent any numerical constants.

Step 3. Use the table of Laplace transforms (Table 4.1) to transform Equation (4.18) into the
time domain.

TIme Domain Frequency Domain

GK
H(s) - - - ­
S(TS + 1)
The time-domain graph of h(t) is shown in Figure 4.7 .

Functional Laplace Transforms

Laplace transforms can be divided into two types: functional transforms and operational
transforms. The first type is simply the Laplace transform of a particular function such as
sin wt or e -at. The second involves the transform of the result of some operation, such as the
sum of two functions, the derivative of a function, or the integral of a function. In this section
we cover functionaL transforms. The notations ~(j(t)} and F(s) are both used to indicate the
Laplace transform of f(t). The Laplace transform F(s) of the function f(t) is defined by the
following relationship:
~{f(t)} = F(s) = r
o
f(t)e- st dt
128 • Chap. 4 Laplace Transforms and Transfer Functions

As an illustration, we will use the defining equation to determine the Laplace transform of
f(t) = K, where K is a constant.

F(s) = r"
r"
o
f(t)e- SI dt =
0
Ke- sl dt

F(s) = Ke-sl
- l"" = - -(e-'''''
K - eO)
-s ° s

K
F(s) = --(0
s
- 1) = K/s

Table 4.1 gives the transform pairs for the functions most often encountered in the study of
control systems. Using the table to find the Laplace transform of a time-domain function is
simply a matter of looking up the function and its frequency-domain mate. The table works
just as well in reverse to find the inverse Laplace transform of a frequency-domain function.
Several examples follow.

E X AMP L E Use Table 4.1 to find the Laplace transform of each of the following functions:
4.2

(a) f(t) = 12
(b) f(t) = 120 cos 3771
(c) f(t) = 271

(d) f(t) = 5e- 251

21
(e) f(t) = 8ge- sin LOoot

Solution (a) From entry 1 in Table 4.1,

12
F(s) = ­
s

(b) From entry 6in Table 4.1,

120s

F(s) = -::-s2-+-(-37-7-::-)2

(c) From entry 2 in Table 4.1,

27
F(s) = ­
s2

(d) From entry 3 in Table 4.1,

5

F(s) = s + 2.5

(e) From entry 7 in Table 4.1,

89,000
F(s) - --~------=­
- (s + 2? + (LOOO? •
 • Sec. 4.3 Laplace Transforms 129

EXA M P LE Use Table 4.1 to find the inverse Laplace transform of each of the followmg functions:
4.3

27.5
a Fs
() () = ­
s
8
(b) F(s) = - ­
s+5

(c)
F( s) = ; +
19.6s
2500

17.4
(d) F(s) = 2; + 32s + 128

350

(e) F(s) - - - - - ­
- (s + 2)2 + 10,000

Solution (a) From entry 1 in Table 4.1,

J(t) = 27.5

(b) From entry 3 in Table 4.1,

J(t) = 8e- 51

\9.6s

(c) F(s) = 2 ( )2
S + 50

From entry 6 in Table 4.1,

J(t) = 19.6 cos SOt

8.7 8.7
(d) F(s) = ; + 16s + 64 (s + 8)2

From entry 4 in Table 4.\,

f(l) = 8.7Ie- 8,
(3.5)(\00)
(e) F(s) = (s + 2? + (\00)2
From entry 7 in Table 4.1,

J(t) = 3.5e- 2I sin lOOt

•
Operational L aplace Transforms

Operational transforms provide the answer to questions such as: What is the Laplace trans­
form of the sum of two or more functions when you know the transform of each function act­
ing alone? What is the Laplace transform of the derivative or integral of a function? Table 4.2
lists the transform pairs for the most common operational transforms.
In Table 4.2,f(t) can be any function of t, and F(s) is the Laplace transform of f(t). For
example, if f(t) = t, then F(s) = l/s 2 . Entry 12 is of particular importance. It states that the
130 • Chap. 4 Laplace Transforms and Transfer Functions

• TABLE 4.2 Operational LaplaceTransforms·

TIme Domaln , fil) , I > 0 Frequency Domain. F(s)

II. K(t) KF(s )

12. Nt) + h(t) - NI) F)(s) + F2(s) - F3(S)
dl(t)
13. - sF(s) - f(O)
dl
d 2f(/) 2 df(O)
14. - 2- s F(s) - 5/(0) - dt
dl
dy(t)
15. - ,­
dt ·
slF(s) - s1(0) _ !f!!!l-
dl
2
d f(0)
df-
F(.»
16. ff(t)dl

17. f(t - a)

aK represents any numencal constant.

Laplace transform of the sum of two or more functions is the sum of the transforms of each
term taken alone.
Entries 13, 14, and 15 appear more complicated than they are in actual practice. The term
f(O), which appears in entries 13, 14, and 15, is the value of the function f(t) when t = O. In
a mechanical system where f(t) is the position of an object, f(O) is the position at t = 0 (i.e.,
the initial position). The term df(O)/dt, which appears in entries 14 and 15, is the value of the
derivative of f(t) when t = O. In the mechanical system, this would be the initial velocity of
the object. In entry 15, the term dY(O)/dr is the initial acceleration of the object. In control
systems, the usual practice is to assume that all initial conditions are zero. The transfer func­
tion is defined as the s-domain ratio of the output over the input with all initial conditions set
to zero. When using Laplace transforms to get the transfer function of a component, we use
only the first term in entries 13, 14, and 15.

EXAMPLE Use Tables 4. 1 and 4.2 to obtain the Laplace transform of the following function :
4.4
f(l) = 12.3 + t + 5e- 4r + te- 2r
Solution By entry 12, we know the Laplace transform off(l) will be the sum of the Laplace transforms of the
four terms. Use entry I for the first term, entry 2 for the second term, entry 3 for the third term and
entry 4 for the fourth term.

EXAMPLE Find the Laplace transform of the following function if all mitial conditions are zero:
4.5
d 2x(t) dx(t)
f(t) = 8-,- + 1 2 - + 7x(t)
dt- dt
 • Sec. 4.3 Laplace Transforms 131

Solution First we note that the Laplace transform of x(t) is X(s). By entry 14, the Laplace transform of the first
term is

By entry 13, the Laplace transform of the second term is

~{ 12 ~;t)} = 12sX(s)

By entry 11, the Laplace transform of the third tenn is

~{7x(t)} = 7X(s)
By entry 12, the Laplace transform of j(t) is

F(s) = 8s2X(s) + 12sX(s) + 7X(s)

EXAMPLE Repeat the problem in Example 4.5 with the following initial conditions:
•
4.6
dx(O)
x(O) = 6 and - - = -4
dt

Solution By entry 14, the Laplace transform of the first term is

tfX(t)}
~{ 87 = 8(rX(s) - s(6) - (-4))

= 8s2X(s) - 48s + 32

By entry 13, the Laplace transform of the second tenn is

The Laplace transform of the third term is unchanged.

~{7x(t)} = 7X(s)
By entry 12, the Laplace transform ofj(t) is

F(s) = 8s2X(s) - 48s + 32 + 12sX(s) - 72 + 7sX(s)

F(s) = 8s2X(s) + 12sX(s) + 7X(s) - 48s - 40
E X AMP L E Find the Laplace transform of the following function if all initial conditions are zero:
•
4.7
dx(t)
f(t) = 5 . 5 - + 24.2x(t) + 4.8
dt
Jx(t) dt
Solution By entry 13, the Laplace transform of the first term is

dx(t)}
~ { 5.5 dt 2 = 5.5sX(s)
132 • Chap. 4 Laplace Transforms and Transfer Functions

By entry 11, the Laplace transform of the second term is

~ {24.2.x(t)} = 24.2X(s)

By entry 16, the Laplace transform of the third term i&

4.8X(s)
~ { 4.8 Jx(t)dt } = - s-

By entry 12, the Laplace transform of the fit) is

F(s) = 5.5sX(~) + 24.2X(s) + - ­

4.8X(s)
s •
E X AMP l E Entry 17 in Table 4.2 is used to obtain the Laplace transform of the dead-time delay element. If1,(t) de­
4.8 scribes the input to a component that has a dead-tIme delay of 5 s, then fo(t) = 1,(t - 5) will describe
the output of that component. Entry 17 states that the Laplace transform of the output of a dead-time el­
ement, Fo(s) is equal to the Laplace transform of the input, F,(s) , multiplied by the factor e-"'. In entry
17, the letter a represents the amount of dead-time delay.
Find the Laplace transform of the output of dead-time delay elements with inputs and outputs as
follows:
(a) 1,(t) = 4t andfo(t) = 4(t - 6) = J,(t - 6)

(b) 1,(t) = 6e- 4 , andfn(l) = 6e- 4(, - 5) = J,(t - 5)

Solution (a) By entry 2, the Laplace transform of J,(t) =:: 41 IS

4
F,(s) = 2'
s
By entry 17, the Laplace transform of t;, (I) = 1,(t - 6) is

(b) By entry 3, the Laplace transform of J,(t) = 6e -4,1&

6
F,(s) = - ­
s +4
By entry 17, the Laplace transform Of/',(I) = J, (1 - 5) is

4.4 INVERSE LAPLACE TRANSFORMS

The inverse Laplace transform converts a frequency-domain function of (s) into a time­
domain function of (t). If the frequency-domain function is in the table of Laplace transform
pairs, the inverse transform is the mating time-domain function in the table_ This is how the
• Sec. 4.4 Inverse Laplace Transforms 133

inverse transform was obtained in the example illustrated in Figure 4.7. The frequency­
domain equation in Figure 4.7 is given by Equation (4.18):
GK
H(s) = S(TS + 1)

The right-hand side of Equation (4.18) is essentially the same as the frequency-domain func­
tion of entry 9. The only difference is the arbitrary constant in the numerator, which is Kin
entry 9 and GK in Equation (4.18). Since K and GK both represent numeric values, we can
simply replace K in the time-domain function of entry 9 by GK and we have the inverse trans­
form of the right-hand side of Equation (4.18).
h(t) = GK{1 - e- t/ T ) (4.19)

Of course, the inverse Laplace transform is usually more difficult than a simple table conver­
sion. The frequency-domain functions that occur in control system analysis are usually a ra­
tio of two polynomials that have only integer powers of s. The right-hand side of Equation
(4.20) is an example of such a function, with both polynomials in factored form.
8(s + 3)(s + 8)
X(s) - ---C-._'-'----'- (4.20)
s(s + 2)(s + 4)
If we can break the right-hand side of Equation (4.20) into a sum of terms and each term is
in a table of Laplace transform pairs, we can get the inverse transform of the equation. The
method for breaking a ratio of polynomials into a sum of terms is called a partial fraction ex­
pansion. For Equation (4.20), the partial fraction expansion takes the following form, where
K), K2 , and K3 are undetermined numerical constants. Notice that each term on the right-hand
side of Equation (4.21) is in Table 4.1, so we can determine the inverse transform. All that re­
mains is to determine the values of KJ, Kb and K3 .
8(s + 3)(s + 8) K) K2 K3
(4.21)
Xes) = s(s + 2)(s + 4) = -; + s+2 +s+4
In general, there will be a term on the right-hand side for each root of the polynomial in the
denominator of the left-hand side. Multiple roots for factors such as (s + 2t will have a term
for each power of the factor from I to n. Equation (4.22) illustrates the expansion of a factor
with a mUltiple root of multiplicity 2.
8(s + 1) K) K2
(4.22)
yes) = (s + 2)2 = S + 2 + (s + 2)2
Complex roots are common, and they always occur in conjugate pairs. The two constants
in the numerator of the complex conjugate terms are also complex conjugates. Equation
(4.23) illustrates the expansion of a polynomial with complex-conjugate roots. In Equation
(4.23), j represents the square root of -1, K is a complex constant, and K* is the complex
conjugate of K.

5.2 K K*
Z{s) - - : : - - - ­ -----+----- (4.23)
-?+2s+5 (s + 1 - j2) (s + 1 + j2)
134 • Chap. 4 Laplace Transforms and Transfer Functions

A two-step procedure is used to find each distinct (nonmultiple) root, real or complex.
Assume that you wish to evaluate the constant in the second term on the right-hand side of
Equation (4.21). The first step in evaluating the constant (K2 ) is to multiply both sides of the
equation by the factor in the denominator of the second term, (s + 2). The second step is to
replace s on both sides of the equation by the root of the factor by which you multiplied in
step 1 [i.e., replace s by -2, the root of the term (s + 2)]. All other terms on the right-hand
side will be zero, leaving just the single constant, K2 . The left-hand side reduces to a numer­
ical value, the value of K 2 . This process is repeated for each distinct term on the right-hand
side. Example 4.9 completes the partial expansion and inverse transformation of Equation
(4.21). The two-step procedure works for distinct complex roots, but the reduction of the left­
hand side involves complex numbers and the result is a complex number. Example 4.11 com­
pletes the partial expansion and inverse transformation of Equation (4.23).
The process is more involved for mUltiple roots, and we will limit the discussion to mul­
tiple roots with a multiplicity of 2. Example 4.10 completes the expansion and inverse trans­
formation of Equation (4.22).

EXAMPLE Complete the partial fraction expansion and inverse Laplace transfonnation of Equation (4.21).
4.9
8(s + 3)(s + 8) KI Kl K3
Xes) = s(s + 2)(s + 4) = -:; + s + 2 + s + 4

Solution
8(s + 3)(s + 8) I 8(0 + 3)(0 + 8)
1. KI = (s + 2)(s + 4) ,=0 = (0 + 2)(0 + 4) = 24

2. Kl = 8(s + 3)(s + 8) I = 8(-2 + 3)(-2 + 8) = -12

s(s+4) \=-2 -2(-2+4)

K3 = 8(s + 3)(s + 8) I = 8( -4 + 3)( -4 + 8) = -4

3. s(s + 2) , = -4 -4(-4 + 2)
The partial fraction expansion of Equation (4.21) is

24 12 4
X(s) = - - - - - - ­
s s+2 s+4
The inverse Laplace transfonnation is easily seen from Table 4.1 to be
x(t) = 24 - 12e- 2t - 4e- 4t
•
EXAMPLE Complete the partial fraction expansion and inverse Laplace transfonnation of Equation (4.22).
4.10
8(s+l) K, Kl
X(s) = (s + 2)2 = S + 2 + (s + 2)2
Solution Evaluate K2 as if it were a distinct root, and then add a third step to evaluate K J •
J. Multiply both sides of Equation (4.22) by the factor (s + 2)2. Equation (4.24) is the result.

8(s + I) = K,(s + 2) + K2 (4.24)

 • Sec. 4.4 Inverse Laplace Transforms 135

2. Replace s by the root of (s + 2) (i.e. , -2) and solve for K2 •

K2 = -8

3. Substitute K2 into Equation (4.24) and solve for K 1• You can solve for KI algebraically, or you
can replace s by any value except the multiple root (-2) and solve for KI arithmetically.

Algebraic Solution Arithmetic Solution

8(s + I) = K1(s + 2)-8 let s = 0

8s + 16

K( = - - ­ 8(0 + 1) = K,(O + 2) - 8
s+2

=8

The partial expansion of Equation (4.22) is

The inverse Laplace transformation is obtained from entries 3 and 4 in Table 4.1, and entry 12 in
Table 4.2.

yet) = 8e - 21 - 8te- 2t
•
EXAMPLE Complete the partial fraction expansion and inverse Laplace transformation of Equation (4.23).
4.11
5.2 K K*
Z( s) = -'s2:-+-2-s-+-5 ----+---­
s + 1­ j2 s +1+ j2
Solution Because K and K* are complex conjugates, we will evaluate K and set K* equal to the conjugate of K .

Note: S2 + 2s + 5 = (s +I- j2)(s +I+ j2)

5.2 ( . ) 5.2
l. -'s2- +-2-s-+-5 s + I - J2 = s + I + j2

K = _ _ 5._2__ 1 5.2
2.
s + 1 + j2 s = ­ (+/2 -1 + j2 + I + j2

5.2
= j4 = ­ j1.3 = 1.3/-90 0

K* = 1.3/90°

The partial fraction expansion is

1.3/ -90 0 1.3/90°

Z(s) = + --=-"-'-­
s + 1 ­ j2 s + I + j2
136 • Chap. 4 Laplace Transforms and Transfer Functions

The inverse Laplace transformation is

z(t) = 2(1.3V'cos(2t - 90°)

= 2.6e-'cos(2t - 90°)

4.5 TRANSFER FUNCTION

The transfer function was introduced in Chapter I as a means of describing the relationship
between the input and the output of a component. It tells us how a component responds to si­
nusoidal inputs of different frequencies (i.e., the transfer function enables us to compute the
frequency response of the component). Consider a sinusoidal input with a frequency of w
rad/s and recall that the transfer function is a function of the frequency parameter, s. If we re­
place s by jw, the result is a complex number, M~. The magnitude of this complex number,
M, is the gain of the component, and the angle, e,
is the phase difference of the component.
This means we can compute the frequency response of a component and program a computer
to construct frequency-response graphs of any component from its transfer function. We
can use a computer program to do all the "grunt work" in the classical frequency response
method of control system design. With a minimum of effort, we gain all the wonderful insight
afforded by this graphical design method.
A major use of the Laplace transformation in the study of control systems is to obtain the
transfer function of a component. The transfer function is obtained by solving the frequency­
domain algebraic equation for the ratio of the output signal over the input signal with all ini­
tial conditions set to zero. As an example, consider the liquid system described by Equation
(4.6):
dh
T~ +h = Gqm (4.6)
dt
The frequency-domain algebraic equation is obtained by applying the Laplace transformation
to each term in Equation (4.6) and solving for the ratio H/QIIl' Note: It is understood that h is
a function of t and H is a function of s even though the (1) and (s) are not used. We will often
drop the (t) and (s) for convenience in writing long expressions.
TsH + H = GQm
H(TS + I) = GQm
G
H = TS + I Qm

H G
- = - - - = transfer function (4.25)
Qm I + TS

The transfer function is defined by Equation (4.25). Notice that the output (H) can be ob­
tained by mUltiplying the input (Qm) by the transfer function (H/Qm)'
 • Sec. 4.5 Transfer Function 137

The transfer function of a component is the quotient of the Laplace transform of the output di­
vided by the Laplace transform of the input.

The Laplace transform of the output of a component is equal to the product of the Laplace
transform of the input times the transfer function.

EXAMPLE Determine the transfer function of the nonregulating liquid tank shown in Figure 4.2. The time­
4.12 domain equation is Equation (4.7):

M(t) = AIf" q(t) dt

'.
Solution Use entry 16 in Table 4.2 to transform the right-hand side of Equation (4.7). The term tlh(t) will be con­
sidered to be the output variable of the component and will be transformed to tlH(s).

I
tlH(s) = - Q(s)
As
tlH(s) I
-(-)- = - = transfer function (4.26)
Qs As

EXAMPLE Determine the transfer function ofthe electrical circuit shown in Figure 4.3. The time-domain equation
•
4.13 is Equation (4.10):

Solution The Laplace transformation of Equation (4.10) is

-EOUI = - -1 -
.
= transfer functIOn (4.27)
Em 1+
•
TS

EXA MP LE Determine the transfer function of the liquid-filled thermometer shown in Figure 4.4. The time-domain
4.14 equation is Equation (4.11):*

dT
m
T-+
dt Tm = Ta

Solurion The Laplace transformation of Equation (4. 11) is

Tm 1
- = - - - = transfer function (4.28)
Ta 1 + TS
•
'In Equation (4.11), an exception was made to the rule of using lowercase letters for time-domain variables. Because
t IS used to represent time, T is used to represent temperature in both the time and frequency domains.
138 • Chap. 4 Laplace Transforms and Transfer Functions

Notice that Equations (4.27) and (4.28) are the same, even though the first equation de­
scribes an electrical circuit and the second describes a thermometer.

EXAMPLE Determine the transfer function of the control valve shown in Figure 4.5. The time-domain equation is
4. 1 5 Equation (4.17):

Solution The Laplace transformation of Equation (4.17) is

x ACm
Pin •
E X AMP LEA control valve has the following transfer function:
4.16

H s _ Xes) _ 80.8
( ) - /(05) - S2 + 2s + 101

where /(s) = Laplace transform of the input current, rnA

X(s) = Laplace transform of the output position, mm

As you will soon discover, this control valve has a very underdamped response. To show the under­
damped response, we will determine time-domain response of the output, x(c), to the following step
change in the input, iCc) .

iCc) = 0 rnA, t < 0

= lOrnA, I ~ 0

Solution 1. Use entry 1 in Table 4.1 to determine the Laplace transform of the input, /(s).

/(s) = IO/s
2. Multiply the control valve transfer function, H(s), by the Laplace transform of the input, /(s), to
get the Laplace transform of the output, Xes).

IO( 80.8 )
Xes) = /(s)H(s) = -; s2 + 2s + 101

Xes) = 808
S(S2 + 2s + 101)

3. Do a partial fraction expansion of Xes).

808 808
Xes) - -----:----­
- S(S2 + 2s + 101) s(s + I - j 1O)(s + 1 + j 10)

= K, + K2 + K;
s (s + I - j (0) (s + 1 + j 10)
• Sec. 4.5 Transfer Function 139

K2 = - -808--­ I 808
s(s + 1 + jlO) ,= - 1+,10 (-I + jlO)(-1 + jlO + 1 + jlO)

808 808 808

(-1 + j 1O)(j20) (-200 - j20) 201 / 185.7°

= 4.02/ -185.7°

K; = 4.02/ +185.7°

8 4.02/ -185.7° 4.02/ + 185.7°

X(s) = - + +
s (s + 1 - j 10) (s + 1 + j 10)

4. Use entry 1 in Table 4.1 to do the inverse Laplace transform of the first term of Xes) and entry
10 to do the last two terms.

x(t) = 8 + 8.04e-' cos (lOt - 185.7°) mm, t 2! 0

5. Plot i(t) and x(t) for 0 :::; t :::; 2. The following program will generate the necessary data.

;(t), rnA Input current, i(t)

10~--------------------------------------------

--.....;;O+--+--+--+--+--+--+--+--+-+-+--I-f-t--t-+-+-+-+--+--+-__ t,s
o 1.0 2.0

x(t), mm Control valve positton, x(t)

x(t~= 8 + 8.04e-'cos(IOt - 185.7°) mm

10

o
--~-t'--t--t--+--+--+--+-+--II--t-;--t--t--+--+--+-+--I-~t-~_t, s

o 1.0 2.0

• Figure 4.8 The control valve in Example 4.16 has a very underdamped reo
sponse to a step change in the input current.
140 • Chap.4 Laplace Transforms and Transfer Functions

LET Theta = 185.7/57.29578

For t = 0 TO 2 STEP .05
LET x = 8 + 8 . 04 * EXP (-t) * COS(10 * t - Theta)
PRI NT US I NG ., If . INt ##. IF"; t, x
NEXT t

The plots of i(t) and x(t) are shown in FIgure 4.8.

•
4.6 INITIAL AND FINAL VALUE THEOREMS

When we obtain a mathematical solution to a realistic problem, we should always check the
solution to see whether it makes sense. Does the initial value predicted by our solution make
sense? Does the final value predicted by our solution make sense? If the answer to these two
questions is Yes, then we have an important confirmation of our solution. The initial and final
value theorems are very helpful, because they enable us to answer these two questions with­
out completing the time-consuming inverse Laplace transformation of our solution.
One of the criteria of good control is to minimize the residual (or steady-state) error of
the control system. When we analyze the step response of a component, we determine the fi­
nal (or steady state) value of the output and how this final value is reached. In both of these
examples, we are interested in determining the value of the response after it has settled down
to its "final" value. Mathematically, we express the final value of x(t) as the limit of x(t) as t
approaches 00 or simply f( 00). The final value theorem enables us to determine x( 00) from Xes)
without completing the inverse Laplace transform of Xes). In a similar manner, the initial
value theorem enables us to determine x(O) from Xes) without inverse transforming Xes).
In simple terms, the initial value theorem states that if we mUltiply Xes) by s and take the
limit as s ~ 00, the result will be the initial value of x(t); that is, x(O).
Initial value theorem: x(O) = lim x(t) = lim sX(s)
,~o S-JoOO

The final value theorem states that if we multiply Xes) by s and take the limit as s ~ 0,
the result will be the final value of x(t); that is, x( 00).
Final value theorem: x( 00) = lim x(t) = lim sX(s)
(-'00 l-+O

EXAMPLE In Example 4.16 and Figure 4.8, we computed and illustrated the step response of an underdamped con­
4.17 trol valve. Use the initial and final value theorems to determine the initial and final positions of the con­
trol valve, x(O) and x( 00).

Solution x(O) = lim sX(s) = lim s [ (2 808 )] = 0 mm

s ....oc I-->OC S S + 2s + lOl

. . [ 808 ] 808
x(oo) = hmsX(s) = hms 2 =­
..... 0 . <-+0 s(s + 2s + !Ol) 101

= 8mm

Both the initial and final values of x(t) agree with the graph of x(t) in Figure 4.8.
•
 • Sec. 4.7 Frequency Response: Bode Plots 141

4.7 FREQUENCY RESPONSE: BODE PLOTS

A feedback control system consists of several components connected by signal paths that
form a closed loop. As the signal passes through each component, it is changed in ways that
depend on the characteristics of the component. The effect that each component has on the
signal is of major importance in the analysis and design of a control system. Indeed, the de­
sign of a controller consists of adding components that change the signal in a manner that pro­
vides the best possible control of the process.
Two types of input signals are used to describe the behavior of a component. The first
type is a step change in the input to the component. Step changes are used to study the tran­
sient response of the component. The second type of input is the sinusoidal signal, which is
used to study the steady-state response of the component. The response of a component to a
sinusoidal input signal is called the frequency response of the component. A graph of the fre­
quency response of a component is called a Bode diagram.
In Section 4.2, we developed the differential equations of five control system compo­
nents. All five components are classified as linear components. The analysis of a control sys­
tem is greatly simplified if all the components are linear. Fortunately, many of the systems we
want to control can be modeled by linear components. A linear component has a very inter­
esting and important characteristic: A sinusoidal input signal to a linear component will al­
ways produce a sinusoidal output signal that has the same frequency as the input. Only the
amplitude and the phase angle of the signal will be changed by the component. Figure 4.9
shows typical input and output signals for a linear component.

Gain and Phase Angle

The change in amplitude of a sinusoidal signal is expressed by the ratio of the output ampli­
tude divided by the input amplitude. This ratio is a dimensionless number called the gain of
the component. Gain is often expressed in decibel (dB) units.

• Figure 4.9 A linear component can

For s = jw = j2Trf. the transfer function has a
change the amplitude and the phase of a sinu­
magnitude (m) and an angle 6° such that
SOIdal signal, but the frequency of the output IS
the ~ame as the input. In the diagram, the gain
m =~ = amphtude ratio (change in sIze)

is Ah/A q , and the phase angle is -() (minus be­

q
6° = phase difference (change in liming) cause the output lags the input).
142 • Chap. 4 Laplace Transforms and Transfer Functions

. output amplitude
Gam = . .
mput amphtude
Decibel gain = 20 loglO (gain) (dB)
The change in timing of a sinusoidal signal is expressed by the number of degrees by
which the phase of the output signal differs from the phase of the input signal. The difference
is called the phase angle or phase difference of the component. The phase angle is usually
measured in degrees. It is positive when the output leads the input and negative when the out­
put lags the input.
Phase angle = output phase - input phase

Bode Diagram

The frequency response of a component is the set of values of gain and phase angle that oc­
cur when a sinusoidal input signal is varied over a range of frequencies . For each frequency,
there is a gain and a phase angle that give the characteristic response of the component at that

70

60

~/
Gain
50

40

r\
30

\
20
~
'"
-.;
.D
., 10
'u \
"~
0

-10

-20

-30
~
-40

[A
~
/'
Phase
angle
- 50

-60
- 120° • Figure 4.10 Typical Bode diagram. The
10 - 6 10 - 5 10- 4 10 - 3 10 -2 10 - 1 frequency scale IS logarithmic. The decibel gain
w, radians/second and phase angle scales are linear.
• Sec. 4.7 Frequency Response: Bode Plots 143

frequency . The frequency response is plotted in a pair of graphs known as a Bode diagram.
The two graphs share a common frequency scale on the x-axis. The y-axis of one Bode graph
is the decibel gain; the other is the phase angle. Figure 4.10 shows a typical Bode diagram.

Determination of the Frequency Response

There are four ways to determine the frequency response of a component: direct measure­
ment, hand computation, computer computation, and straight-line, graphical approximations.
In the direct measurement method, a sinusoidal input signal is applied to the input of the com­
ponent. The input and output signals are measured and the gain and phase angle are deter­
mined from the measurements. The frequency is then changed to a new value for another de­
termination of gain and phase angle. The process is repeated until enough data are obtained
to construct a Bode diagram.
In the computation methods, the frequency response is obtained from the transfer func­
tion by replacing s by jw. The j represents the square root of -1, and w is the radian frequency
of the sinusoidal input signal. For each value of w, the transfer function reduces to a single
complex number. The magnitude of this complex number is the gain of the component at that
frequency. The angle of the complex number is the phase angle of the component at that fre­
quency.
Complex numbers can be represented by a point on a two-dimensional plane called the
complex plane. The x-axis is called the real axis, and the y-axis is called the imaginary axis.
The graph of a complex number is shown in Figure 4.11. The complex number may be de­
fined in rectangular form by its real coordinate (a) and its imaginary coordinate (b) (i.e., N =
a + jb, wherej identifies the imaginary coordinate). In this form, a is called the real part of
the complex number, and b is called the imaginary part.
The complex number may also be defined in polar form by its distance from the origin
(m) and the angle (0). In the polar form, m is called the magnitude of the complex number and
() is called the angle of the complex number (i.e., N = m ~). A complex number may be con­
verted from one form to the other by using the appropriate conversion equation:

Point represenung the

complex number N =
o+jb=m&

o=mcos6 m=Vo2+b2
b=msin6 6 = arctan(blo)

• Figure 4.11 Graph of the complex number

N. The number N can be represented by its rec­
tangular coordinates as a + lb, or by its polar
cordmates as m !!.
144 • Chap. 4 Laplace Transforms and Transfer Functions

Rectangular-to-Polar Conversion Polar-to-Rectangular Conversion

m = Va + b2 2
a = m cos ()
() = arctan (b/a) b = m sin e

The frequency response of a component is obtained by substitutingjw for s in the transfer

function . With s replaced by jw, the transfer function reduces to a complex number that can be
converted to the polar form . The magnitude of the complex number is the gain of the compo­
nent at the frequency w. The angle of the complex number is the phase angle of the component
at the frequency w.

In the straight-line, graphical approximation method the Bode amplitude and phase plots
consist of straight lines that meet at points referred to as "break points." Figure 4.12 shows
the straight-line approximation of the Bode diagram in Figure 4.10. Notice that the major de­
viations between the straight-line plots and the exact plots occur near the break points.

70
~Bre k pOint
60

50
'\ , n, m

40
'\
30
~
20
1,\
10
'\
o

Break pOln
,/

-~, Phase ang eO

k
~ - • Figure 4.12 A straight-I me graphIcal ap­
'\ proximation of the Bode diagram in Figure
3reak pom
4. 10. The dashed lines are the exact plot Notice
10 -6 10 - 5 10- 4 10- 3 10 -2 that the major deviatIOns from the exact plot oc­
w. radians/second cur near the break pomts.
 • Sec. 4.7 Frequency Response: Bode Plots 145

The straight-line, graphical method is a classical tool used to design control systems. A
major advantage of this method is the "feel" of the system frequency response that the de­
signer acquires during the construction of the Bode diagrams. Disadvantages of this graphi­
cal method include the time required to construct the Bode plots, inaccuracies caused by the
approximations, and the excessive time required to explore various design ideas.
The computer-aided, graphical method eliminates all three disadvantages of the straight­
line graphical method and retains the "feel" afforded by the graphical approach. This text uses
the computer-aided graphical method to generate Bode diagrams and design control systems.
The program BODE generates Bode diagrams for a wide variety of transfer functions.
DESIGN is a program that emulates the graphical design method using Bode diagrams. A ma­
jor advantage of DESIGN is the ease with which the designer can go back and change any
control mode. This enables the designer to use a "what-if" analysis in a "trial-and-examine"
design procedure to search for the best possible control system design. In this text, the em­
phasis is on computer-aided methods that emulate graphical methods, and no emphasis is
placed on straight-line approximations.

EXAMPLE A self-regulating liquid tank is described in the time domain by Equation (4.6) and in the frequency
4.18 domain by its transfer function given by Equation (4.25). The input flow rate (qlO) varies sinusoidally
about an average value with an amplitude of 0.0002 m3/s and a frequency (f) of 0.0001592 Hz. The
time constant (t) is 1590 s and the gain (G) is 2000 s/m2. Determine the amplitude and phase of the out­
put (h) .

Solution I. Determine the value of jw.

jw = j27Tf = j27TO.0001592
jw = jO.OOI radls

2. Replace S in the transfer function by jw and reduce it to a complex number in polar form.

H G 2000
Qin I + TS 1 + 1590 (jO.OOl)
2000 2000~
I + j 1.59 1.879/57.80 = 1065/ -57.8°

Gain in decibels = 20 log 1065 = 60.5

The output amplitude is equal to the input amplitude times the magnitude of the transfer function.

Output amplitude h = 1065 X 0.0002 = 0.213 m

The phase difference is -57.8°, so the output (h) lags the input (qin) by 57.8°.
•
Program BODE

The hand computation of frequency response data can become quite tedious. The large num­
ber of computations make this an ideal application for a computer. BODE (see Preface) is a
program that will put a Bode diagram on the screen for any transfer function that fits the fol­
lowing general form:
146 • Chap.4 Laplace Transforms and Transfer Functions

. ao + a,s + ~S2 + a3s3

Transfer funcuon = 2 3
bo + b,s + b2s + b 3s
Any of the coefficients ao, a" a2, a3. bo, b ,. b 2, or b3 can have a value of 0 in a particular trans­
fer function.
The program generates frequency response data over a range of frequencies from 1.0 X
6
10- to 5.6 X 105 rad/s. The following frequency bases are used for each power of 10: 1.0.
1.8, 3.2. and 5.6. These seem like odd numbers. but they happen to be even increments on a
logarithmic scale. The Bode diagram uses illogarithmic scale for frequency. and 3.2 is just
about the midpoint between 1.0 and 10.0. Also, 1.8 is just about the midpoint between 1.0 and
3.2; and 5.6 is about the midpoint between 3.2 and 10.0. This makes it easy to plot Bode di­
agrams on linear graph paper.
The program runs on PC compatibles with color monitors. A zoom command allows the
user to expand a portion of the gain, angle, or frequency range to fill the entire graph. An un­
zoom command returns the original scale. The program a)so has an option to make a printed
copy of the Bode data table.

EXAMPLE Use BODE to generate a table of frequency-response data for the self-regulating liquid tank
4.19 described in Example 4.18. BODE is available on disk (see Preface). The transfer function is as follows:

H 2000
QJ. I + 1590s

Solution The input and a portion of the data table produced by the program are shown below.

TRANSFER FUNCTION COEFFICIENTS

A(O) + A(1)S+A(2)SA2 + A(3)S A3

TF = B(O) + B(1)S+B(2)SA2 + B(3)S A3
A(O) 2000, A(l) ~ 0, A (2) 0, A(3) 0,
B(O) 1, S(l) ~ 1590, B (2) ~ 0, B(3) o

TRANSFER FUNCTION COEFFICIENTS

A(O) A(3) : 2.00E + 03 O.OOE+OO O.OOE+OO O.OOE + 00

B(O) B(3): l.OOE + 00 l. 59E + 03 O.OOE+OO O.OOE + 00
 • Sec. 4.7 Frequency Response: Bode Plots 147

BODE DATA TABLE

Frequency , W Ga i n Phase
(radi an/second) (decibel) (degrees)

1.0E-06 66 . 0 -0.1
1.8E-06 66.0 -0.2
3.2 E-06 66.0 -0. 3
5. 6E-06 66.0 -0.5

1.0E-05 66.0 -0.9

1.8E-05 66.0 - 1.6
3 . 2E-05 66 . 0 -2.9
5 . 6E-05 66.0 -5 . 1

1.0E-04 65 . 9 -9 . 0
1. 8E-04 65.7 -15.8
3 .2E-04 65.0 -26 . 7
5.6E-04 63 . 5 -41.8

1.0E-0 3 60.5 -57.8

1.8E-03 56.5 -70.5
3 .2E-03 51.8 -78 .8
5.6E-03 46 . 9 -8 3. 6

1.0E-0 2 42.0 -86 . 4

1.8E-02 37 . 0 -88 . 0
3 .2E-02 32. 0 -88 . 9
5.6E-02 27.0 -89 . 4

1.0E-01 22.0 -89 . 6

1.8E-01 17 . 0 -89 . 8
3.2E - 01 12.0 -89.9
5.6E-01 7.0 -89 . 9

• GLOSSARY

Bode diagram: A pair of graphs that share a common log frequency scale on the x-axis. The y-axis of one
graph is the decibel gain of a component; the other is its phase angle. See Frequency response. (4.7)
Derivative: A mathematical expression of the rate of change of a variable. (4.2)
Differential equation: An equation that has one or more derivative terms. (4.2)
Final value theorem: A method used to determine the final value of a function of time from its
Laplace transform. (4.6)
Frequency domain: A domain in which the equation that describes a component is a function of a
frequency parameter (s). The equation defines the amplitude and phase angle of the output of the
component as a function of the frequency, gain, and phase of a sinusoidal input signal. (4.3)
Frequency response: The set of values of the input-to-output gain and phase angle of a component
when a sinusoidal input signal is varied over a range of frequencies. See Bode diagram. (4.7)
Functional Laplace transform: The Laplace transform of a time function such as sin wI. (4.3)
Initial value theorem: A method used to determine the initial value of a function of time from its
Laplace transform. (4.6)
148 • Chap. 4 Laplace Transforms and Transfer Functions

Integral: A mathematical expression for the accumulation of an amount (or quantity) of a variable. (4.2)
Integro-differential equation: An equation that has at least one derivative and one integral term. (4.2)
Inverse Laplace transform: A mathematical transformatIon that converts the solution of a differen­
tial equation in the frequency domain into a solution in the time domain. (4.4)
Laplace transform: A mathematical transformation that converts equations that involve derivatives and in­
tegrals in the time domain into equations that involve only algebraic terms in the frequency domain. (4.3)
Linear differential equation: A differential equation that has only first-degree terms (power = I) in
the dependent variable and its derivatives. (4.2)
Operational Laplace transform: The Laplace transform of a time-domain operation (e.g., addition,
differentiation, integration, etc.). (4.3)
Order of a differential equation: The order of the highest derivative that appears in the equation.
(4.2)
Partial fraction expansion: The result of breaking a ratio of polynomials into a sum of tenus so that
we can determme its inverse Laplace transform. (4.4)
Time constant (r): A parameter that characterizes a group of components that are modeled by a lin­
ear first-order differential equation with constant coefficients. The unit of the time constant is sec­
onds, which explains the name "lIme" con!>tant. (4.2)
Time domain: A domain m which the equation that describes a component is a function of time. The
equation defines the size of the output as a function of time and the input signal. (4.3)
Transfer (unction: The frequency-domain ratio of the output of a component over its input, with all
initial conditions set to zero. (4.5)

• EXERCISES

Section 4.2 (a) RL = 22 kil, CL = 47 p,F

(b) RL = 630 kD, C L = 0.76 p,F
4.1 Equation (4.6) describes the relationship between the
input flow rate (qon) and the output level (h) of the self­
regulatmg liquid tank shown in Figure 4.1. Determine the 4.4 Equation (4.11) describes the relationship between
numerical values of rand G for the following sets of pa­ the actual temperature (T,,) and the measured tempera­
rameter values, and write Equation (4.6) using the numer­ ture (Tm) of the liquid-filled thermometer shown in
ical values. Use a value of 9.81 m/s2 for g. Figure 4.4. Determine the numerical value of the time
constant (r) for the following sets of parameter values,
(a) RL = 2.16 X 106 Pa . 51m 2, A = 2.63 m2 , p = 1000 kg/m 3 and write Equation (4. 11) using the numerical value of
(b) RL = 5.76 X 105 Pa . 51m 2, A = 0.35 m2, p = 880 kg/m 3 r. Use natural convection in still water for the outside
film coefficient.
4.2 Equation (4.7) describes the relationship between the
input flow rate (qm) and the output level (h) of the nonreg­
ulating liquid tank shown in Figure 4.2. Determine the nu­ (a) (b)
merical value of A for the following tank diameters, and
write EquatIon (4.7) using the numerical value of A. LiqUId In bulb mercury ethyl alcohol
(a) 1.5 m (b) 0.52 m Bulb matenal glass glass
Bulb out~lde dIameter. cm 1.94 0.86
4.3 Equation (4.10) describes the relationship between Bulb outSide length. cm 4.52 1.62
the input voltage (e,n) and the output voltage (eou ,) of the Bulb thickness. mm 1.4 1.1
InSide film coefficient,
electrical circuit shown in Figure 4.3. Determine the nu­ 2
h" W/ m K 4000 2210
merical value of the time constant (r) for the following !>ets
T".O( 85 58
of parameter values, and write Equation (4.10) using the T,,, O( 20 8
numerical value of r.
 • Chap.4 Exercises 149

4.5 Equation (4.17) describes the relationship between 45

(c) F(s) = - ­
the inlet air pressure ( Pin) and the position of the stem (x) s + 72
of the control valve shown in Figure 4.5. Determine the
numerical value of the mechanical capacitance of the valve (d) F(s) = 345/s
spring for the following sets of parameters, and write 650
Equation (4.17) using numerical values for A, m, Rm , and (e) F(s) = - ­
(s + 8)2
Cm . Hint: use Equation (3.50) to detennine the mechanical
capacitance: Cm = tu/tlFa where tu = the valve stroke 250w
(closed to open) and tlFu = tlPinA change in applied force (0 F(s) = (s + 4)2 + w2
from closed to open.
82
(a) (b) (g) F(s) = s(5s + I)
A, m2 0.0182 0.0142
m, kg 0.561 0.387
16(s+ 5)
(b) F(s) = (s + 5)2 + w2
Rm , N· s/m 9.60 9.10
tlP.., kPa 82.7 82.7
28s
tu,m 0.025 0.020 (i) F(s) = ~
s+w

. 64~ 64~
Section 4.3 (J) F(s) = s +8-j 16 + s + 8 + j 16
4.6 Determine the frequency-domain function, F(s) , for
each of the following time-domain functions,f(t):
Section 4.4
(a) J(t) = 7.8
(b) J(t) = 3.2 cos lOoot 4.8 Complete the partial fraction expansion and find the
(c) J(t) = 120sin25t inverse Laplace transformation of each of the following
(d) J(t) = 18t functions:
(e) f(t) = 16e- 81
(0 f(t) = ge - 31 sin lOOt 4(s + 5)(s + 7) 2(s + 5)
(a) -'--~-"':"
(g) fCt) = 8.2te - 2 51 s(s + 3)(s + 6) (b) (s + 1)2
(b) J(t) = 5e - 71cos 50t
(i) f(t) = 45e- 5(1-6) s+2
(c) - - - ­
(j) f(t) = 2 sin(t - 6) s2+2s+4
(k) f(t) = 4.8e- 5Icos(400t - 36°)
d 2x dx Section 4.5
(I) j(t) = 8 dt 2 + 5 dt'
4.9 The dead-time process shown in Figure 4.9 IS de­
d~ (0) scribed by the following equation:
where -~ = 8, x(O) = -4

(m) !(t) = 12 I x dt + 17x

where Jo = output signal, kg/s
4.7 Determine the time-domain function, J(t), for each J, = input signal, kg/s
of the following frequency-domain functions, F(s) : td = dead-time lag, s

6.7 Determine the transfer function, Fo(s)/F,(s), from the pre­

(a ) F(s) = ­
s2 ceding equation if the dead time, (d, is 245 s.
4.10 Determine the transfer function, l(s)/(}(s), for the
25w temperature transmitter described by the following differ­
(b) F(s) = -2--2
S + w ential equation:
150 • Chap.4 Laplace Transforms and Transfer Functions

di Determine the transfer function, X(s)/F(s), if

8.6- + i = 0.10
dt m = 3.2 kg
R = 2.0 N/(m/s)
where i = output current signal, rnA
K = 800 N/m
() = input temperature signal, °C
4.15 A PID controller is described by the following
4.11 Determme the transfer function , X(s)/ l(s) for a equation:
process-control valve/ electro pneumatic converter de­
scribed by the following differential equation . v = Pe + de
PD- + PI J edt + Vo
dt
d 2x dx
0.0001-2 + 0.02- + x = 0.3i where e = error, % of full scale (ES.)
dt dt
v = controller output, % of ES.
VO = controller output at t = 0 s, % of ES.
where x = valve stem position, in.
i = current input signal to the converter, rnA P = proportional gain setting (dimensionless)
D = derivative action time constant, s
4.12 Determine the transfer function, ()(s)/ X(s), for a I = integral action rate, lis
tubular heat exchanger similar to the one shown in Figure
2.3 and described by the following differential equation. Determine the transfer function, V(s)/E(s), if Pis 3.6, D is
0.008 s, I is 0.455 s, and
V o is O.
d 20 dO
25- + 26- + 0 = 125x 4.16 An armature-controlled dc motor is sometimes used
dt 2 dt
in speed and position control systems (see Figures 2.6 and
where x = valve position, in. 2.i5). The dc motor operation is described by the follow­
() = temperature of the fluid leaving the heat ex­ ing equations:

changer,OC

di
e = Ri + L- + Kew
4.13 A manufacturing plant uses a liquid surge tank to dt
feed a positive-displacement pump. The pump supplies a
. q
constant flow rate of liquid to a continuous heat exchanger. 1=­
K,
Determine the transfer function, H(s)/Q(s), if the surge
tank is described by the following equation: dw
q=J-+bw
dt
h(t) = 0.5 J q(t) dt
where e = armature voltage, V
where her) = level of liquid in the surge tank, m i = armature current, A

q(t) = difference between the input flow rate and

w = motor speed, rad/s
the output flow rate, m 3
q = motor torque, N . m

t = time, s

J = moment of inertia of the load, kg . m 2

4.14 The spring-mass-damping system shown in Figure b = damping resistance of the load,
3.8 is described by the following differential equation: N . m/ (rad/s)
d 2 x dx R = armature resistance, n
m-+R-+Kx=j L = armature inductance, H
dt 2 dt
Ke = back emf constant of the motor, V /(rad/s)
where m = mass, kg
K, = torque constant of the motor, N . m/A
R = dashpot resistance, N/(m/s)
K = spring constant, N/m
A small permanent-magnet dc motor has the following pa­
rameter values:

x = position of the mass, m

j = external force applied to the mass, N J = 8 X 10- 4 kg . m 2
 • Chap. 4 Exercises 151

b = 3 X 10- 4 N . m/(rad/s) 4.20 A temperature transmitter is calibrated so that the

R = 1.20 output is 0 rnA when the input temperature is O°C and
L = 0.020 H 10 mA when the input temperature is lOO°e. The tempera­
Ke = 5 x 10- 2 V/(rad/s) ture probe was held in ice water for a long time before time
K, = 0.043 N· m/A t = 0 s when it was suddenly plunged into water boiling at
lOO°e. The output current, I(s), that resulted from this sud­
Substitute these parameters into the preceding equations to den temperature change is given by the following equation:
obtain the exact differential equations of the dc motor. De­
termine the transfer function, O(s)/E(s), by transforming 10.0
all three equations into frequency-domain algebraic equa­ I(s) = s(1 + 25s)' rnA
tions. Use algebraic operations to obtain the ratio of O/E,
which is the desired transfer function. Determine the initial and final values of the output current,
i(t). Do your initial and final values make sense? Explain
4.17 A PD controller is described by the following equa­ your answer.
tion:
4.21 The armature-controlled dc motor in Exercise 4.16
de dv was not moving at t = 0 s when the armature voltage was
v = Pe + PD- - aD- +v
dt dt 0 suddenly increased from 0 to 50 V. The motor speed, O(s),
that resulted from this sudden voltage change is given by
where e = error, % of full scale (ES.) the following equation:
v = controller output, % of ES .
50
Va controller output at t = 0 s, % of ES.
.o.(s) = , radls
s(0.0584 + 0.225s + 0.00037s 2 )
P proportional gain setting (dimensionless)

D derivative action time constant, s

Determine the initial and final values of the motor speed.
a derivative limiter coefficient
Do your initial and final values make sense? Explain your
answer.
Determine the transfer function, V(s)/E(s) if P is 2, D is 4.22 The liquid surge tank in Exercise 4.13 was empty at
0.025 s, a is 0.1 and V o is O. t = 0 s when the input flow rate, q.. , was suddenly changed
4.18 The PD controller in Exercise 4.17 is one example from 0 to 0.00 I m3/s. Also at t = 0 s, the output flow rate,
3
q out> changed from 0 to 0.00037 m /s. The level of the liq­
of a control system component capable of a sudden change
m output value. To show the sudden change, determine the uid in the tank, H(s), is given by the following equation:
time-domain response of the output u(t) to the following
step change in the input e(t). Refer to Example 4.16 for
further guidance.

e(t) = 0 % F.S., t < 0s Determine the initial and final values of the liquid level.
= 10 % F.S., t ;:: 0 s Does the initial value make sense? Explain the meaning of
the final value. Given that the tank has a capacity of 0.5
m 3 , how long will it take to fill the tank at the flow rates
Section 4.6 given above?
4.19 (a) Use the initial and final value theorems to de­
termine the initial and final values of u(t) for the step re­
Section 4.7
sponse of the PD controller in Exercise 4.18.
(b) Use the time-domain equations you developed in Ex­ 4.23 Use the program BODE to generate frequency­
ercise 4. 18 to determine the initial and final values of u(t) . response data from the transfer functions obtained in Ex­
(c) Compare the values from part a with the values from ercises 4. 10, 4.11, 4.12, 4.14, 4.15, 4.16, and 4.17. Con­
part b. struct Bode diagrams from the data.
PART TWO
• MEASUREMENT

• CHAPTERS
Measuring
Instrument
Characteristics

• OBJECTIVES

A measuring instrument has many important characteristics. The two characteristics that have the great­
est effect on the performance of a control system are accuracy and speed of response (or frequency re­
sponse). These two characteristics are not completely independent. If the measured variable is chang­
ing. the accuracy of the measurement depends on how quickly the measuring instrument can follow
these changes. The speed of response of a measuring instrument is related to its frequency response. In
Chapter 16 you will see that the frequency response of each component in the control loop is an :im­
portant factor in the design of the controller.
The purpose of this chapter is to introduce you to the characteristics of measuring instruments and
the terminology associated with measurement. After completing this chapter, you will be able to

1. Explain

a.' Repeatability and reproducibility

b. Static and dynamic characteristics

2. Determine from data or a calibration graph
a. Sample mean and standard deviation
b. Measured accuracy and repeatability
c. Dead band and hysteresis
d. Independent linearity
e. Terminal- and zero-based linearity
3. Determine from a step response graph
a. Time constant and 95% response time
b. 10 to 90% rise time and 2% settling time
c. Peak: percentage of overshoot

153
154 • Chap.5 Measuring Instrument Characteristics

4. Determine from a ramp response graph

a. Dynamic lag
b. Dynamic error
5. Construct frequency-response diagrams (using the program BODE)
••••
5.1 INTRODUCTION

In Chapter 1, you learned that a feedback control system performs three operations: measure­
ment, decision, and manipulation. The measuring transmitter performs the measurement opera­
tion, the controller performs the decision operation, and the manipulating element performs the
manipulation operation. Measurement is an essential operation in a feedback control system. In
order to control a variable, we must first measure its value. Next, we must convert the measured
value into a usable signal. Only then can the controller and the manipulating element perform
their tasks. The controller cannot make a decision without the measured value of the controlled
variable. The manipulating element does not know how to act without a decision from the con­
troller. Feedback control begins with the measurement operation. In this chapter you will ~tudy
the characteristics and terminology of measuring instruments.
The purpose of a measuring instrument is to obtain the true value of the measured variable.
The ideal measuring instrument would do this exactly, but in practice, this ideal is never
achieved. There is always some uncertainty in the measurement of a variable. Indeed, there is
even some uncertainty in the standards we use to calibrate a measuring instrument. For this rea­
. son, we begin the chapter with a brief review of statistics, the subject that deals with uncertainty.
The next three sections divide the characteristics of measuring instruments into three
categories: operating characteristics, static characteristics, and dynamic characteristics.
Operating characteristics include measurement details, operational details, and environmen­
tal effects. Static characteristics deal with accuracy when the value of the measured variable
is constant or changing very slowly. In contrast, dynamic characteristics deal with the mea­
surement of a variable whose value is changing rather quickly.
The selection of a measuring instrument for a particular application can be a complex and
difficult procedure. In selecting a temperature transmitter, for example, a designer must con­
sider the following possible primary elements: thermocouple, RTD, thermistor, IC sensor,
liquid-filled element, vapor-filled element, gas-filled element, or radiation pyrometer. A set of
selection criteria are presented in the form of questions that can be asked in the process of se­
lecting a measuring instrument.
The final section is a glossary of terms presented in the chapter. The principal source doc­
ument for the terminology used in this chapter is the Instrument Society of America standard
551.1, "Process Instrumentation Terminology."

5.2 STATISTICS

There is an uncertainty when we measure the value of a variable. This uncertainty occurs
when repeated measurements under identical conditions give different results. For example,
let's assume that five measurements of the temperature of a fluid result in the following mea­
sured values: 207, 204, 205, 205, and 206°C. Statistics cannot tell us what the true tempera­
ture is, but it can help us understand the uncertainty we are confronted with.
 • Sec. 5.3 Operating Characteristics 155

The individual measurements of a variable are called observations, and the entire collec-
tion of observations is called a sample. The simplest statistical measure of the sample is the
arithmetic average or mean. The sample mean is an estimate of the expected va1ue of the next
observation. The mean is computed by summing the observations and dividing by the number
of observations. The mean of a sample of n observations is given by the following equation:
_ Xl + X2 + X3 + '" + Xn
Sample mean = X = -'----=----=------'"- (5.1)
n
The mean gives us an estimate of the expected value of an observation, but it gives no
idea of the dispersion or variability of the observations. For a measure of variability, we be-
gin by computing the deviation between each observation and the mean.
Deviation of observation x, = d; = x, - x
The standard deviation, S;o is a measure of variability, which is defined by the following equation:

S= d 2I + d 22 + d 32 + ... + d n2
x
) n - I
(5.2)

The standard deviation gives us an idea of the variability of the observations in the sample. If
the errors in measurement are truly random and we take a large number of observations, 68%
of all observations will be within I standard deviation of the mean. Over 95% of all samples
will be within 2 standard deviations of the mean, and almost all samples will be within 3 stan-
dard deviations of the mean.

EXAMPLE Compute the mean and standard deviation of the following temperature measurements: 207°C, 204°C,
5.1 205°C, 205°C, and 206°C.

_ 207 + 204 + 205 + 205 + 206

Solurion x = 5 = 2054°e
.

dr = (207 - 205.4? = (1.6)2 = 2.56

d~ = (204 - 205.4)2 = (_1.4)2 = 1.96
d~ = (205- 205.4)2 = (-0.4)2 = 0.16
d~ = (205 - 205.4? = (-0.4? = 0.16

d~ = (206 - 205.4)2 = (0.6)2 = 0.36

_ /2.56 + 1.96 + 0.16 + 0.16 + 0.36
Sx - \j 5- 1

= l.We
•
5.3 OPERATING CHARACTERISTICS

Operating characteristics include details about the measurement by, operation of, and envi-
ronmental effects on the measuring instrument.
156 • Chap. 5 Measuring Instrument Characteristics

Measurement

A measuring instrument can measure any value of a variable within its range of measurement.
The range is defined by the lower range limit and the upper range limit. As the names imply,
the range consists of all values between the lower range limit and the upper range limit. The
span is the difference between the upper range limit and the lower range limit.
Span = upper range limit - lower range limit
Resolution, dead band, and sensitivity are different characteristics that relate in different ways
to an increment of measurement. When the measured variable is continuously varied over the
range, some measuring instruments change their output in discrete steps rather than in a con-
tinuous manner. The resolution of this type of measuring instrument is a single step of the out-
put. Resolution is usually expressed as a percentage of the output span of the instrument.
Sometimes the size of the steps varies through the range of the instrument. In this case, the
largest step is the maximum resolution. The average resolution, expressed as a percentage of
output span, is 100 divided by the total number of steps over the range of the instrument.

. (%) 100
=N
Average resolutIOn (5.3)

where N represents the total number of steps.

The dead band of a measuring instrument is the smallest change in the measured vari-
able that will result in a measurable change in the output. Obviously, a measuring instrument
cannot measure changes in the measured variable that are smaller than its dead band.
Threshold is another name for dead band.
The sensitivity of a measuring instrument is the ratio of the change in output divided by
the change in the input that caused the change in output. Sensitivity and gain are both defined
as a change in output divided by the corresponding change in input. However, sensitivity
refers to static values, whereas gain usually refers to the amplitude of sinusoidal signals.

EXAMPLE A potentiometer with 1200 turns of wire is used to measure the rotational position of a shaft. The input
5.2 range is from -175° to + 175°. The output range is from 0 to 10 V. Determine the span, the sensitivity
in volts per degree, and the average resolution in volts and as a percentage of span.

Solution Span = 175° - (-175°) = 350°

(JO - 0)
Sensitivity = 3500 = 0.0286 Vj degrees

100
Average resolution = 1200 = 0.0833% of span

. 10
Average resolutIOn = 1200 = 0.00833 V •
Operation

The reliability of a measuring instrument is the probability that it will do its job for a speci-
fied period of time under a specified set of conditions. The conditions include limits on the
operating environment, the amount of overrange, and the amount of drift of the output.
 • Sec. 5.4 Static Characteristics 157

Overrange is any excess in the value of the measured variable above the upper range
limit or below the lower range limit. When an instrument is subject to an overrange, it does
not immediately return to operation within specifications when the overload is removed. A
period of time called the recovery time is required to overcome the saturation effect of the
overload. The overrange limit is the maximum overrange that can be applied to a measur-
ing instrument without causing damage or permanent change in the performance of the de-
vice. Thus one reliability condition is that the measured variable not exceed the overrange
limit.
Drift is an undesirable change over a specified period of time. Zero drift is a change in
the output of the measuring instrument while the measured variable is held constant at its
lower limit. Sensitivity drift is a change in the sensitivity of the instrument over the specified
period. Zero drift raises or lowers the entire calibration curve of the instrument. Sensitivity
drift changes the slope of the calibration curve. The reliability conditions specify an allow-
able amount of zero drift and sensitivity drift.

Environmental Effects

The environment of a measuring instrument includes ambient temperature, ambient pressure,

fluid temperature, fluid pressure, electromagnetic fields, acceleration, vibration, and mount-
ing position. The operating conditions define the environment to which a measuring instru-
ment is subjected. The operative limits are the range of operating conditions that will not
cause permanent impairment of an instrument.
Temperature effects may be stated in terms of the zero shift and the sensitivity shift. The
thermal zero shift is the change in the zero output of a measuring instrument for a specified
change in ambient temperature. The thermal sensitivity shift is the change in sensitivity of a
measuring instrument for a specified change in ambient temperature.

5.4 STATIC CHARACTERISTICS

Static characteristics describe the accuracy of a measuring instrument at room conditions with
the measured variable either constant or changing very slowly. Accuracy is the degree of con-
formity of the output of a measuring instrument to the ideal value of the measured variable as
determined by some type of standard. Accuracy is measured by testing the measuring instru-
ment with a specified procedure under specified conditions. The test is repeated a number of
times, and the accuracy is given as the maximum positive and negative error (deviation from
the ideal value). The error is defined as the difference between the measured value and the
ideal value:
Error = measured value - ideal value
Accuracy is expressed in terms of the error in one of the following ways:
l. In terms of the measured variable (e.g., + IOCj-2°C)
2. As a percentage of span (e.g., :±: 0.5% of span)
3. As a percentage of actual output (e.g., :±: 1% of output)
158 • Chap. 5 Measuring Instrument Characteristics

EXAM PLE A tachometer-generator is a device used to measure the speed of rotation of gasoline engines, electric
5.3 motors, speed control systems, and so on. The "tach" produces a voltage proportional to its rotational
speed. Consider a tachometer-generator that has an ideal rating of 5.0 V per 1000 revolutions per minute
(rpm) a range of 0 to 5000 rpm, and an accuracy of ±O.5%. If the output of the tach is 21 V, what is the
ideal value of the speed? What are the minimum and maximum possible values of the speed?
Solution The range of the tachometer is 0 to 25 V, corresponding to a speed range of 0 to 5000 rpm. The ideal
value of the speed is equal to 200 times the output voltage.

Ideal speed = 21 X 200 = 4200 rpm

The accuracy is ±0.5% of full scale, or ±0.005 X 5000 = ±25 rpm. Thus the speed could be any-
where between 4200 - 25 and 4200 + 25 rpm.
Ideal speed = 4200 rpm
4175 ::=; speed::=; 4225 rpm

The repeatability of a measuring instrument is a measure of the dispersion of the mea-

•
surements (the standard deviation is another measure of dispersion). Accuracy and repeat-
ability are not the same. Figure 5.1 uses the pattern of bullet holes in a target to illustrate the
difference between repeatability and accuracy. Notice that a rifle, which is repeatable but not
accurate, produces a tight pattern-but that the pattern is not centered on the bull's-eye. The
distance from the center of the bull's-eye to the center of the pattern is called the bias or
systemic error. A shooter who is aware of the bias may adjust accordingly and produce an ac-
curate and repeatable pattern on the next try. An experienced operator will make a similar ad-
justment to compensate for bias in a controller. Thus an automatic controller that is repeat-
able but not accurate may still be very useful.
Repeatability and reproducibility deal in slightly different ways with the degree of close-
ness among repeated measurements of the same value of the measured variable. Repeatability
is the maximum difference between several consecutive outputs for the same input when ap-
proached from the same direction in full-range traversals. Reproducibility is the maximum
difference between a number of outputs for the same input, taken over an extended period of
time, approaching from both directions. Reproducibility includes hysteresis, dead band, drift,
and repeatability. The measurement of reproducibility must specify the time period used in
the measurement. Reproducibility is obviously more difficult to determine because of the ex-
tended time period that is required.

Not repeatable Repeatable Repeatable

Not accurate Not accurate Accurate

• Figure 5.] Rifle target pallern~ Illustrate the difference between repeatabIlity
and accuracy.
 • Sec. 5.4 Static Characteristics 159

EXAMPLE The temperature measurements in Example 5.1 were obtained in a test for repeatability. The tempera-
5.4 ture transmitter used in the test has an upper range limit of 200°C and a lower range limit of 100°C.
Each measurement was obtained by moving the probe from a container of oil at 100°C to a container of
oil at 200°C. The equilibrium temperature was recorded, and the probe was moved back to the cooler
oil for the next test. Determine the bias and repeatability in degrees Celsius and as a percentage of span.

Solution Span = 200°C - 100°C = 100°C

Bias = 205.4°C - 200°C = 5.4°C
. 5.4
BIas = 100 100 = 5.4% of span

Repeatability = 207°C - 204°C = 3°C

Repeatability = 100 l~ = 3% of span

•
The procedure of detennining the accuracy of a measuring instrument is called calibration.
It consists of three full-range traversals of the measuring instrument. The data from the calibra-
tion of a measuring instrument is presented in tabular form in a calibration report. Table 5.1 is
an example of a calibration report. The input is usually expressed as a percentage of the input
span. The output and the error are usually expressed as a percentage of the ideal output span .

• TABLE 5.1 Calibration Report (Percent)

Input or
Ideal Output Cycle I Cycle 2 Cycle 3 Average Error

0 -0.06 -0.05 -0.04 -0.05 -0.05

10 9.80 9.82 9.84 9.82 -0.18
20 19.69 19.70 19.72 19.70 -0.30
30 29.65 29.67 29.69 29.67 -0.33
40 39.70 39.71 39.72 39.71 -0.29
50 49.85 49.86 4987 49.86 -0.14
60 60.02 60.03 60.06 60.04 0.04
70 70.14 70.16 70.17 70.16 0.16
80 80.21 80.23 80.23 80.22 0.22
90 90.19 90.22 90.23 90.21 0.21
100 100.08 100.09 100.11 100.09 0.09
90 90.24 90.25 90.27 90.25 0.25
80 80.26 80.28 8029 80.28 0.28
70 70.22 70.24 7027 70.24 0.24
60 60.12 60.\3 60.14 60.13 0.13
50 49.96 49.97 49.98 49.97 -0.03
40 39.78 39.80 39.82 39.80 -0.20
30 29.73 29.75 29.77 29.75 -0.25
20 19.76 19.78 19.79 19.78 -0.22
10 9.84 9.85 9.86 9.85 -0.15
0 -0.05 -0.04 -0.04 -0.04 -0.04
160 • Chap.5 Measuring Instrument Characteristics

The measured accuracy and repeatability of the measuring instrument are taken directly
from the calibration report. Measured accuracy is the maximum negative and positive errors
in any of the readings in the calibration report. Repeatability is the greatest difference be-
tween the readings for the three cycles on any given line of data in the calibration report.
The calibration data may also be presented in graphical form in a calibration curve.
Figures 5.2 and 5.3 are two forms of the calibration curve. In Figure 5.2, the error is plotted
versus the input to the measuring instrument. This gives a detailed view of the error over the
input range of the instrument. In Figure 5.3, the output is plotted versus the input. This gives
a good overall view of the performance of the instrument.
The calibration curves in Figures 5.2 and 5.3 both form a loop as the upscale and down-
scale curves follow different paths. The loop formed by an upscale-downscale cycle is a com-
bination of hysteresis and dead band. Hysteresis is defined as the dependence of the value of
a variable on the history of past values and the current direction of traversal. Hysteresis is de-
termined by subtracting the dead band from the maximum difference between corresponding
upscale and downscale readings for a full-cycle traversal (see Figure 5.3).

EXAMPLE The measuring instrument that was calibrated In Table 5.1 has a dead band of 0.02% of the ideal output
5.5 span. Determine the measured accuracy, repeatability, and hysteresis of the measuring instrument from
the calibration report in Table 5.1 . Use the average traversal column to determine the combined hys-
teresis and dead band.

Solution The maximum negative error occurs in cycle I at 30% on the upscale part of the cycle (i.e., top half of
the table).
Maximum negative error = 29.65 - 30 = -0.35%

0.5

0 .4

03

0.2

01
<;':
~

g 0
aJ
-0. 1

-02

-03

-04 • Figure 5.2 Calibrallon curve of the error

from the calibration report in Table 5.1. Plotting
- O.5 L----L_......J...._....l..-_.l---::'::---:'::-_-=-----:":----:'::--~ the error instead of the output gives a more de-
o 10 20 30 40 SO 60 70 80 90 100 tailed view of the nature of the error over the
Input. % range of the instrument.
 • Sec. 5.4 Static Characteristics 161

100

90

80

70

60
<sI<
:; 50
0..
:;
0
40

30 • Figure 4.3 CalIbration curve of output Yer-

sus input. Plotting the output gives a good
20 overview of the performance of the measuring
instrument The data In this graph were altered
10 to emphasize the hysteresis to make a better il·
lustralton. HysteresIs is usually much less than
that ~hown here. Table 5.1 is a more realistic
10 20 30 40 50 60 70 80 90 100 example of hysteresis In a measuring mstru-
Input. Ck ment.

The maximum positive error occurs in cycle 3 at 80% on the downscale side of the cycle (Le., bottom
half of the table).

Maximum positive error = 80.29 - 80 = 0.29%

Measured accuracy is the combination of the maximum negative and positive errors.

Measured accuracy = -0.35% to +0.29%

The maximum difference between readings on a given line in Table 5.1 occurs at an input of 70% in the
downscale traversal. The outputs are 70.22% for cycle 1,70.24% for cycle 2, and 70.27% for cycle 3.

Repeatability = 70.27% - 70.22% = 0.05%

The maximum difference between the average upscale and downscale readings occurs at an input of
50%. The upscale reading is 49.86%, and the downscale reading is 49.97%. The combined hysteresis
and dead band is the difference between these two readings.

Combined hysteresis and dead band = 49.97% - 49.86% = 0.1 1%

Subtracting the dead band gives us the hysteresis.

Hysteresis = 0.11 % - 0.02% = 0.09%

The ideal measuring instrument would produce a perfectly straight calibration curve. On a
•
graph of input versus output, the ideal straight line would pass through the points (0,0) and
(100, ) (0). The ideal never actually occurs, and the closeness of the calibration data to a straight
line is called the linearity of the measuring instrument. When linearity is stated, the method of
determining the straight line must also be specified. The most common types of linearity are
independent linearity, terminal-based linearity, zero-based linearity, and least-squares linearity.
162 • Chap. 5 Measuring Instrument Characteristics

IOO~------------------------------------~

Independent
[ 50 linearity
'5
o straight line

• Figure 5.4 The calibration curve shov"n

here IS the average of the upscale and down-
A verage of upscale and scale outputs for each Input value. The indepen-
downscale output data dent linearity straight line can be determined on
for each mput value the calibration curve. First determine the loca-
tion of the two parallel lines that are the closest
together while enclosing the entire calibration
O~L----- __________-L________________ ~

curve. These are the two dashed lines In the

o 50 100 graph. The independent linearity straight lIne is
Input. Ok the line midway between the two dashed lines.

When calibration data are compared to a straight line, attention focuses on the deviation
or error between each output reading and the output determined by the straight line for the
same input value. All methods of picking the straight line attempt to minimize the amount of
the error. Independent linearity is illustrated in Figure 5.4. The straight line is placed such that
it minimizes the absolute value of the maximum error. A pair of parallel lines helps to locate
the independent linearity line on the calibration curve. The two lines must enclose the entire
calibration curve, and they must be as close together as possible. The independent linearity
line will be midway between the two parallel lines. The line does not necessarily pass through
the origin, and it does not necessarily pass through either endpoint on the calibration curve.
The zero-based and terminal-based linearity lines are shown in Figure 5.5. The zero-
based line passes through the minimum point of the calibration curve and has a slope such
that it minimizes the maximum error. The terminal-based line is the easiest to construct. It
simply connects the two endpoints on the calibration curve.
The least-squares fit (or linear regression curve) is the most common method used with
spread sheet generated graphs. The least-squares line minimizes the sum of the squares of the
deviations. The result is usually quite close to the independent linearity line.

5.5 DYNAMIC CHARACTERISTICS

Dynamic characteristics describe the performance of a measuring instrument when the mea-
sured variable is changing rapidly. Most sensors do not give an immediate, complete response
to a sudden change in the measured variable. A measuring instrument requires a certain
 • Sec. 5.5 Dynamic Characteristics 163

100r-------------------------------------,

Zero-based
linearity
straight line
&.
:;
50 A verage of upscale
o and downscale
output data for linearity
each Input straight line
value
• Figure 5.5 The zero-based and terminal-
based straight lines can also be determined on
the cahbration curve. The terminal-based
straight line simply connects the two endpOints
of the calibrallon curve. The zero-based straight
line passes through the zero point on the cah-
50 100
bration curve and minimizes the absolute value
Input. % of the maximum error.

amount of time before the complete response is indicated by the output. The amount of time
required depends on the resistance, capacitance, mass or inertance, and dead time of the in-
strument. Dynamic characteristics are stated in terms of the step response, ramp response, and
frequency response of the measuring instrument.

Step Response

A step change in the measured variable is easy to apply, and it produces a worst-case re-
sponse. For these reasons, the response of a measuring instrument to a step change in the mea-
sured variable is often used to define its dynamic characteristics. A step change occurs when
the measured variable is suddenly changed from one steady-state value to a second steady-
state value. For example, a step change in temperature can be achieved by quickly moving the
temperature probe from ice water to boiling water. This constitutes a step change from 0 to
lOO°e. The step response curve is a plot of the output of the measuring instrument from the
time the step change occurred until the time the output reaches its new steady-state value. The
response curve is normalized by expressing the initial steady-state value as 0%, the final
steady-state value as 100%, and the output of the measuring instrument as a percentage of
change. Terminology defined in terms of the percentage of output change can easily be ap-
plied to step changes of any given size.
The step response of an instrument can be classified as overdamped, critically damped,
or underdamped (see Figure 1.14). The step response of overdamped or critically damped in-
struments is stated in terms of response time and rise time. The step response of underdamped
instruments is stated in terms of rise time, peak percentage of overshoot, and settling time.
164 • Chap.5 Measuring Instrument Characteristics

95% response lime

100
95
90
...
01)
c
'"
.:::
u
:; 63.2
c..
:;
0
c...
..
!:!
a..

• Figure 5.6 Typical step response curve for

10 - an overdamped or critically damped measuring
/~------------~
o ~----------------------------------- instrument. The response is ~tated in term~ of
o Time the response time and the ftse lime.

A typical overdamped or critically damped step response curve is shown in Figure 5.6.
Response time is the time required for the output to reach a designated percentage of the to-
tal change. The percentage is stated as a prefix. The 95% response time shown in Figure 5.6
is the time required for the output to reach 95% of the total change. A 98% response time (not
shown) is the time required for the output to reach 98% of the total change. The 63.2% re-
sponse time is given the special name time constant and symbol T. This is the same time con-
stant that we encountered several times in Chapter 4 [see Equations (4.6), (4.10), and (4. 11 )] .
The following are examples of time constants of temperature-measuring instruments:
Typical Time Constants
Bare thermocouple (in air) 35 s
Thermocouple in glass well (in air) 66 s
Thermocouple in porcelain well (in air) 100 s
Thermocouple in iron well (in air) 120 s
Bare thermocouple (in still liquid) 10.0 s
Thermometer bulb (water flowing at 2 ft/min) 6.0 s
Thermometer bulb (water flowing at 60 ft/min) 2.4 s

Rise time is the time required for the output to go from a small percentage of change to
a large percentage of change. The two percentages are stated as a prefix. Thus a 10 to 90%
rise time is the time required for the output to go from 10% to 90% of the total change. A 5
to 95% rise time is the time required for the output to go from 5% to 95% of the total change.
If the percentages are omitted, they are assumed to be 10% and 90%.
A typical underdamped step response curve is shown in Figure 5.7. The rise time is de-
fined the same as it was for the overdamped or critically damped response. The peak per-
centage of overshoot (PPO) is defined as follows :
(peak level) - (final ss level)
PPO = x 100
(final ss level) - (initial ss level)
 • Sec. 5.5 Dynamic Characteristics 165

2% sellhng time

Period

Peak
'"c
co
os level
.c
u
:; 100
Q..
:; 90
0
:t2% band
C
'"~ for settling time
~

~--IO to 90% rise lime Initial steady • Figure 5.7 Typical step response curve for
state level an underdamped measunng instrument. The re-
o~==~------------~----­ sponse is ~tated in terms of the rise time, peak
o Time percentage of overshoot, and settling time

For the normalized curve, the final steady-state (ss) level is 100, the initial steady-state level
is zero, and the peak percentage of overshoot reduces to the following:
PPO = (peak level) - (final ss level)
The settling time is the time it takes for the response to remain within a small band above
and below the 100% change line. The 2% settling time is shown in Figure 5.7.
Both first- and second-order differential equations are used to model the behavior of a
measuring instrument. If a measuring instrument is dominated by a single capacitance, it is
modeled by a first-order differential equation. The first-order model produces a step response
similar to that in Figure 5.6. The transfer function and step response of the first-order model
were developed in Chapter 4 [see Figure 4.7 and Equations (4.6) and (4.25)].
If the behavior of a measuring instrument is dominated by two capacitances (or one ca-
pacitance and one mass or inductance element), it is modeled by a second-order differential
equation. The second-order model is more complex than the first-order model, and the step
response may be overdamped, critically damped, or underdamped. The overdamped and crit-
ically damped second-order models produce step responses similar to those in Figure 5.6. The
underdamped model produces a step response similar to that in Figure 5.7. The transfer func-
tion and step response of an underdamped model were developed in Chapter 4 (see Example
4.15, Example 4.16, and Figure 4.8).

FIRST-ORDER MODEL OF A MEASURING INSTRUMENT

Transfer Function
Cm(S) G
(5.4)
C(s) 1 + TS
166 • Chap.5 Measuring Instrument Characteristics

Step Input
K
C(s) = - (5.5)
s

Step Response
KG
C",(s) = s( I + TS) (5.6)

where C = measuring instrument input, (input units)

Cm = measuring mstrument output, (output units)
. (output umts)
G = steady-state gam, (. )
mput umts
K = step size, (input units)
T = time constant, s

SECOND-ORDER MODEL OF A MEASURING INSTRUMENT

Transfer Function
C",(s) GUJ6
(5.7)
C(s) UJ6 + 2as + S2
Step Input
K
C(s) = - (5.5)
s

Step Response
KGUJ6
C",(s) = (UJa2 + 2as + s 2) (5.8)
S

Condition Type oj Response

a > UJo overdamped
a = UJo critically damped
a < UJo underdamped

where C = measuring instrument mput, (input units)

Cm = measuring instrument output, (output units)
. (output units)
G = steady-state gam, (. . )
mput umts
K = step size, (input units)
a = damping coefficient, lis
UJo = resonant frequency, lis
 • Sec. 5.5 Dynamic Characteristics 167

The following is a summary of the important parameters of an underdamped second-

order system.
Resonant frequency = wo, rad/s
Damping coefficient = a, lis
Damping ratio = ~ = a/wo
Natural frequency = Wd = Vw~ - a 2, rad/s

=wo~rad/s
The natural frequency is also called the damped natural frequency.
EXAMPLE The following data were obtained from a thermometer with a protective well, which was plunged
5.6 into a moving liquid at time t = 0 s. The thermometer and well were maintained at sooe before the test.
The liquid temperature was 150°C. Plot the step response curve and determine the rise time, the time
constant, and the 95% response time.

Time (s) Temperature (0C)

0 SO
20 64
40 78
60 92
80 104
100 113
120 120
140 126
160 130
180 133
200 135
300 143
400 147
500 ISO

Solution The normalized response curve is plotted in Figure 5.8. The desired values can be read directly from the
graph.

Time constant, 7' = 100 s

95 % reponse time = 330 s

10 to 90% rise time = 235 s

•
EXAMPLE Determine the time constant of a mercury thermometer similar to Figure 4.4 and defined by Equation
5.7 (4.11). The bulb has a diameter of 0.5 cm and a length of 1.5 cm. The outside film coefficient is esti-
mated to be 30 W1m2. K. The inside film coefficient and the resistance of the thermometer wall are both
negligible compared to the outside film coefficient. The thickness of the wall may also be neglected.
Solution From Equation (4.11), the time constant is
168 • Chap. 5 Measuring Instrument Characteristics

95% respoose time = 330 seconds

100

90 Time
constant.
80

70

60

so
40

30

20

10

o L-____ ~ ______ ~ ______- L_ _ _ _ _ _ ~ ______ ~

• Figure 5.8 Step response curve for Exam-

'0 100 200 300 400 500
ple 5.6. The time constant, response tIme, and
Time, seconds rise time are read directly from the graph.

1. Detennine the thermal resistance of the bulb.

2
Bulb surface = A = 47Td + 7TdL

7T(0.005)2
A= 4 + 7T(0.OO5)(O.OI5)

= 2.55E - 4 m 2

l I
RT = Ah = (2.55E - 4)(30)

= 131 K/W

2. Determine the thermal capacItance of the bulb.

7Td2 L
Bulb volume = -4-

7T(0.005?(O.O 15)
4

= 2.95E - 7 m3

From Appendix A, the density and specific heat of mercury are

p = 13,600 kg/m 3

S" = 140J/kg' K
• Sec. 5.5 Dynamic Characteristics 169

The thennal capacitance of the bulb is

= (1.36E + 4)(2.95E - 7)(140)

= 0.56 J/K
3. Detennine the time constant of the bulb.

Time constant = T = RTCT

= (131 )(0.56) == 73.2 s

Ramp Response

The ramp response of a measuring instrument, although not widely used, does give additional
insight into the dynamic characteristics of a measuring instrument. Figure 5.9 shows a graph
of the results of a ramp response test. The input temperature was increased at a steady rate
until it was allowed to "settle in" at a higher value. The measured temperature lagged behind
the input temperature and caught up some time after the input had settled in at the new tem-
perature. There are two ways to view the ramp response curve. One way leads us to the con-
cept of dynamic error, the other to the concept of dynamic lag.
If we draw a horizontal line at a temperature of Tl on the dynamic response graph, the
line intersects the input curve at time 1J, and the output curve at time 12 , The difference be-
tween these two times, t2 - tJ, is the dynamic lag at temperature T 1• Dynamic lag is the
amount of time that elapses between the time the input reaches a certain temperature and the
time the output reaches that same temperature.
If we draw a vertical line at a time of 12 on the ramp response graph, the line intersects
the output curve at temperature TJ, and the input curve at temperature T2 . The difference be-
tween these two temperatures is the dynamic error at time t2' Dynamic error is the difference
between the input temperature and the output temperature at a given time.

Inpul

OUIPUI lemperalure

• Figure 5.9 Typical ramp response curve

showing the dynamic error and the dynamic lag.
170 • Chap. 5 Measuring Instrument Characteristics

EXAMPLE A temperature sensor is used to measure the temperature of an oil bath. The input temperature is in-
5.8 creasing at a constant rate of 1.2°C/min. and the dynamic lag is 2.3 min.

(a) What is the dynamic error in degrees Celsius?

(b) If the range of the temperature sensor is 75 to 12SOC. what is the dynamic error as a percent-
age?

Solution (a) Let TI represent the input temperature at time II ' At time 12 = II + 2.3 min. the input temper-
ature will be T2 = TI + (1.2)(2.3) = TI + 2.76°C. Thus. at time 12. the input temperature will
be TI + 2.76°C and the output temperature will be T I • The dynamic error is the difference be-
tween the input temperature and the output temperature at time 12,

Dynamic error = TI + 2.76 - TI = 2.76°C

(b) The range of the sensor is 125 - 75 = 50°C. The dynamic error in percent is 100 X
2.76/ 50 = 5.52%.

Dynamic error = 5.52 %

•
Frequency Response

When it comes to control system analysis and design, frequency response and the transfer
function are the most useful methods for defining the dynamic response of a measuring in-
strument. In Chapter 4 we introduced you to frequency response and presented a computer
program that produces frequency-response data from the transfer function . In this section we
apply to measuring instruments the methods presented in Chapter 4.
The liquid-filled thermometer in Figure 4.4 has a transfer function that is typical of many
measuring instruments. A component with this transfer function is called a first-order lag because
the highest derivative in the time-domain equation is first order. The transfer function for the
liquid-filled thermometer is given by Equation (4.28), which is reproduced here for convenience:
Tm 1
Ta 1 + TS

In Example 5.4, we calculated a time constant of 73.2 s for a mercury-filled thermome-

ter. The frequency response of this component is plotted in Figure 5.10. Notice how the gain
is near 0 decibels (dB) at frequencies below 0.002 rad/s and how it drops at a rate of 20 dB
per decade for frequencies above 0.1 rad/s. The low-frequency gain curve is a straight line at
odB. The high-frequency gain curve is also a straight line with a slope of - 20 dB per decade
increase in frequency. Extend the two lines and you will see that they intersect at the point on
the O-dB line marked with a diamond and labeled Wb. This point is called the break point, and
the radian frequency of the break point is equal to the reciprocal of the time constant, T.
. I
Break-pomt frequency = Wb = - (5.9)
T

All first-order lag components have frequency-response curves just like the one in Figure
5.10. The only difference is the break-point frequency, Wh , which is given by Equation (5.9).
Some measuring instruments have a more complex transfer function than the first-order
lag we just discussed. Figure 5. 11 shows a liquid-filled thermometer enclosed in a protective
sheath (or well). The sheath presents a second thermal resistance and the fluid in the well is
 • Sec. 5.5 Dynamic Characteristics 171

...
0
l':h

'"
~
-10

-20 " \
.
·u
~

c
.;;
0
-30

-40 " \
-50

-60
f-

f-
~
\
" \
-
0
-100
-200
-300
-400
.'"
.,ellf!
.
~

f-
r\ -500
_600
......'"
0;,
c

f-

r
I
"-
I I
~
- -700
-80°
-900
.c
Q.

10- 2 10- I • Figure 5.10 Bode diagram of a mercury-

10- 4 100 filled thermometer with a time constant of
.... radian/second 73.2 s (Example 5.7).

a second thermal capacitance. The two resistances and two capacitances form what is known
as a two-capacity, interacting system. The differential equation for this system has both a
second-order and a first-order derivative term, so this system is also called a second-order lag.
The transfer function is given by Equation (5.10).

(5.10)

where TI = RIC I = time constant of the well

T2 = R2 C 2 = time constant of the thermometer
RI = thermal resistance between the measured fluid and the inside of the protective
sheath, K/W
R2 = thermal resistance between the inside of the protective sheath and the liquid
inside the bulb, K/W
C1 = thermal capacitance of the sheath, J/K
C2 = thermal capacitance of the bulb, J/K
The frequency response of a second-order system is more complex, and more interesting,
than that of a first-order system, especially when the damping ratio, ,. is less than 1. Figure
5.12 shows the Bode diagram of a second-order lag for values of, from 0.05 to 20. Notice
that at low frequencies, the gain is near 0 dB. just like the first-order lag. At high frequencies,
the second-order lag gain drops 40 dB per decade increase in frequency, twice the rate of the
first-order lag. However, it is near the resonant frequency. wo. where the most interesting
172 • Chap. 5 Measuring Instrument Characteristics

Thermometer

Pipe or tank "all

(cut-away to
reveal detalbl

<II A cut-.I""Y view of a thermometer and

protective ~heath

7a VM
0-0--...., VM 01'",
R,

L
II 12L
R2

o 0

bl The equivalent electrical circUli for the

thermometer and protective sheath.

• Figure S.1l Temperature sensor In a protective sheath and the electncal equivalent.

things happen. As the damping ratio drops below I, the gain at the break point increases un-
til it reaches 20 dB with a damping ratio of 0.05 . A gain of 20 dB is a tenfold increase. In
other words, the output is 10 times as large as the input at the resonant frequency when the
damping ratio is 0.05. This phenomenon has many useful applications in electronic systems.

5.6 SELECTION CRITERIA

Selecting the right measuring instrument for a job is complicated by the fact that usually there
is no single correct choice. The designer must choose from among a number of good choices,
each with its own set of advantages and disadvantages. We have already mentioned some of
the choices for temperature measurement: thermocouple, RTD, thermistor, Ie sensor, Iiquid-
filled element, vapor-filled element, gas-filled element, and radiation pyrometer. Flow mea-
surement presents the following set of choices for the primary element: magnetic, orifice,
venturi, vortex, pitot tube, turbine, thermal, ultrasonic, and variable area. Similar choices ex-
ist for other measurements, such as force, velocity, level, pressure, position, and displace-
ment. There is no set procedure for selecting a measuring instrument, and judgment is an im-
• Sec. 5.6 Selection Criteria 173

20
I\ ~=0.05

10
II
\ " ~ =0.1

/~ -~\ 1: -0.5
0 ,-,
, , :::::::-
~\
, , '-, \ , ~, ~ = 1.0

-10
, ," , "~\ ~ = 2.0

-20
, ~ 10.0

, '~
"\

~= 20.0

-30 " ," ~\

,'~
, ,,
]'" -40
,
.,
'u
"0
Ii -50
\ :\- Gain.m

\~
Phase
angle, ~ ~=0.05
...{)() -0•
r- ....... -...;;
~ '\
./ ~ 0.1
r--. . . . . ~
i" , _ ~ =0.5

' ' , ',\\

-70 -30·
"\ \\ ~ = 1.0
\
-80 \ 1: = 2.0 ...{)().

' ... '~

........ --'::::::.
_ ~= 10.0
1\ -90·
.,
'"
:!!
.,
00
-90
'",....... ~=
"0 -

\
-.- 20.0

-100
~\ , t--/ -120·
od:

~', '<',, \ \\
-110
, -150

~ ~--
i' " ,"
-120 I'- ..::- .......
0.01 000 0.1 00 0 100000

oo. radians/second
• Figure 5.12 Bode diagram of second-order components.

portant part of the process. Some questions the designer might consider in the process of se-
lecting a measuring instrument are listed here:
A. Questions about the measured variable
I. What is the measured variable?
2. What accuracy is required?
a. At 100% of the input range?
b. At 75% of the input range?
c. At 50% of the input range?
d. At 25% of the input range?
174 • Chap.5 Measuring Instrument Characteristics

3. What fluid or solid is being measured?

4. What are the upper and lower range limits?
5. What overrange might occur?
6. What type of dynamic changes might occur in the measured variable?
a. What is the maximum rate of change?
b. What is the maximum frequency at which changes occur?
B. Questions about the measuring instrument
1. What is the primary sensor?
2. What effect will the primary sensor have on the measured variable?
3. What is the purpose of the output: indicate, transmit, record, totalize, other?
4. Is the output signal analog or digital?
5. What is the output signal: 3-15 psi, 4-20 rnA, 0-5 V, 8-bit TIL digital, other?
6. What type of signal conditioning is provided?
a. AmplIfication or attenuation?
b. Signal conversion: resistance to current, millivolt to current, analog to digital, digital to
analog, etc.?
c. Filters: low pass, high pass, band pass?
d. Linearization of the signal?
e. Square-root function?
f. Other special functions ?
g. Conversion to engineering units?
7. What is the operating pnnciple of the transmitter?
8. What environmental conditions will the instrument encounter?
9. What are the thermal zero drift and thermal sensitivity drift ratings of the instrument?
10. What are the long-term zero drift and sensitivity drift ratings of the instrument?
11. What are the dead-band, hysteresis, and linearity ratings of the instrument?
C. Questions about economics
1. What IS the initial cost of the instrument?
2. What is the installation cost?
3. What is the maintenance. cost?
4. What is the expected life of the instrument?
5. What is the anticipated replacement cost?

• GLOSSARY

Accuracy: The degree of conformity of the output of a measuring instrument to the ideal value of the
measured variable. (5.4)
Accuracy, measured: The maximum positive and negative errors in a calibration report. (5.4)
Bias: The difference obtained by subtracting the ideal value from the average of repeated measure-
ments of a measured variable. (5.4)
Calibration: The procedure of determining the accuracy of a measuring instrument. (5.4)
Calibration curve: A graphical presentation of calibration data. (5.4)
Calibration report: A tabular presentation of calibration data. (5.4)
• Chap.5 Glossary 175

Damping coefficient (designated by a): A number that determines the type of damping of a second-
order system. The response is underdamped if a < Woo critically damped if a = Woo and over-
damped if a > Woo (5.5)
Damping ratio (designated by n The ratio of damping coefficient (a) over resonant frequency (wo). The
response is underdamped if l < I. critically damped if l = 1. and overdamped if l > I. (5.5)
Dead band: The smallest change in the measured variable that will result in a measurable change in
the output. (5.3)
Drift: An undesirable change over a specified period of time. (5.3)
Drift, sensitivity: A change over time in the sensitivity of a measuring instrument. (5.3)
Drift, zero: A change over time in the output of a measuring instrument when the measured variable
is at the lower range limit. (5.3)
Dynamic error: The difference between the input temperature and the output temperature at a given
time. (5.5)
Dynamic lag: The amount of time that elapses between the time the input reaches a certain tempera-
ture and the time the output reaches that same temperature. (5.5)
Error: The difference determined by subtracting the ideal value from the measured value. (5 .4)
Hysteresis: The dependence of the value of a variable on the history of past values and the current di-
rection of traversal. (5.4)
Linearity: The closeness of the calibration curve to a straight line. (5.4)
Linearity, independent: Comparison of the calibration data with a straight line that minimizes the
maximum value of the deviation between the data and the line. (5.4)
Linearity, least-squares: Comparison of calibration data with the straight line that minimizes the sum
of the squares of the deviations between the data and the straight line. (5.4)
Linearity, terminal-based: Comparison of the calibration data with a straight line that connects the
two ends of the calibration curve. (5.4)
Linearity, zero-based: Comparison of the calibration data with a straight line that passes through the
zero point of the calibration curve and minimizes the maximum value of the deviation between the
data and the line. (5.4)
Natural frequency (designated by wd): The frequency of oscillation of an underdamped second-
order system. (5.5)
Wd = v'w5 - 0'2 = Wo ~
Operating conditions: The environment in which a measuring instrument operates. (5.3)
Operative limits: The end values of the range of operating conditions that will not cause permanent
impairment of a measuring instrument. (5.3)
Overrange: Any excess in the value of the measured variable above the upper range limit or below
the lower range limit. (5.3)
Overrange limit: The maximum overrange that can be applIed to a measuring instrument without
causing damage or permanent change in performance. (5.3)
Overshoot: The maximum height of the step response curve measured above the 100% change
line. (5.5)
Range: The values of the measured variable that can be measured by the measuring instrument. The
range includes all values between the lower range limit and the upper range limit. (5.3)
Reliability: The probability that a component will do its job for a specified time period under a spec-
ified set of conditions. (5.3)
Repeatability: The maximum deviation from the average of repeated measurements of the same sta-
tic variable. (5.4)
Reproducibility: The maximum difference between a number of outputs for the same input. taken
over an extended period of time. approaching from both directions. Reproducibility includes
hysteresis. dead band. drift. and repeatability. (5.4)
176 • Chap.5 Measuring Instrument Characteristics

Resolution: A single step of output in a measuring instrument whose output changes in discrete steps.
(5.3)
Resonant frequency (designated by wo): The break-point frequency of an underdamped second-
order component. (5.5)
Response time: The time required for the output to reach a designated percentage of the total Change,
after a step change in input. (5 .5)
Rise time: The time required for the output to go from a small percentage of change to a large per-
centage of change, after a step change in input. Unless otherwise specified, the change is from 10%
to 90%. (5.5)
Sensitivity: The ratio of the change in output divided by the change in input that caused the change
in output. (5.3)
Settling time: The time it takes for the response of an underdamped component to remain within a
small band above and below the 100% change line. (5.5)
Span: The size of the range, equal to the upper range limit minus the lower range limit. (5.3)
Systemic error: Another name for bias. (5.4)
Thermal sensitivity shift: A change in the sensitivity of a measuring instrument caused by a
specified change in the ambient temperature. (5.3)
Thermal zero shift: A change in the zero output of a measuring instrument caused by a specified
change in the ambient temperature. (5.3)
Time constant (designated by r) : The time required for the output of a component to reach 63.2% of
the total change after a step change m input. (5.5)

• EXERCISES

Section 5.1 5.3 Repeat Exercise 5.2 for the following output read-
ings:
1.1 Compute the mean and standard deviation of the fol- 14.64, 14.72, 14.69, 14.62, 14.61
lowmg sets of measurements: 14.67, 14.71, 14.78, 14.75, 14.80
(a) 76°C, 77°C, 75°C, 76°C, 75°C
(b) 2.3 gpm, 2.5 gpm, 2.5 gpm, 2.3 gpm, 2.4 gpm
Section 5.3
(c) 7.4 lpm, 7.3 lpm, 7.5 lpm, 7.6Ipm, 7.4 lpm
(d) 410 kPa, 411 kPa, 413 kPa, 412 kPa, 413 kPa, 5.4 Determine the span of each of the following measur-
413 kPa ing transmitters:
(e) 32.6 psi, 32.5 psi, 32.8 psi, 32.6 psi, 32.9 psi,
32.8 psi
Type Upper Range Limit Lower Range Limit
(f) 4.26 m, 4.25 m, 4.26 m, 4.25 m, 4.23 m, 4.24 m
(a) Temperature 150°F -50°F
Section 5.2
(b) Pressure 100 pSI o PSt
5.2 A pressure sensor is tested for repeatability by in- (c) Level 4 ft 2 ft
creasing the input pressure from 0 to 15 psi JO times and (d) Flow rate 15 gpm 5 gpm
(e) Force 210 Ibf 200 Ibf
recording the output reading each time the input reaches
(f) Temperature 250°C 50°C
15 psi. The output readings are as follows : (g) Pressure 200 kPa o kPa
15.45, 15.53, 15.61, 15.42, 15.55 (h) Level 1.5 m 1.0 m
15.47, 15.51, 15.59, 15.46, 15.60 (I) Flow rate 121pm 81pm
(a) Calculate the mean and standard deviation of the 10 (j) Force 10 N 8 N
readings.
(b) Use three standard deviations to estimate the range of
readings you would expect in a very large number of 5.5 A potentiometer has 800 turns of wire, a lower range
test runs. limit of 0 Y, and an upper range limit of 20 V. Determine
 • Chap.5 Exercises 177

the span in volts, the average resolution as a percentage of 4 rnA at O°C to 20 rnA at 100°C. If the output of the trans-
the span, and the average resolution in volts. mitter is 13.6 rnA, what are the ideal, minimum, and max-
5.6 A pressure gage with a range from 3 to 15 psi was imum possible temperatures?
tested for dead band. When the input pressure was in- s.n A pressure transmitter has an input range of
creased from 9.00 to 9.05 psi, the output remained station- 100 kPa to 150 kPa, an output range of 4 to 20 rnA, and an
ary at 9.10 psi. When the input was increased from 9.00 to accuracy of :t I %. The ideal transmitter has a linear output
9.06 psi, the output changed from 9.10 to 9.11 psi. Express from 4 rnA at 100 kPa to 20 rnA at ISO kPa. If the output
the dead band in pounds per square inch, as a percentage is 15.2 rnA, what are the ideal, minimum, and maximum
of the lower input value, and as a percentage of the span. possible pressures?
5.7 A potentiometer is used to measure the position of
a shaft. The input range of shaft position is from -160° Section 5.4
to + 160°. The corresponding output range is from -20 to 5.12 The accuracy of the position sensor in Exercise 5.7
+ 20 V. What is the span of this position sensor? What is is ± I % of span. If the output is + 8 V, what is the ideal po-
its sensitivity in volts per degree? sition? What are the minimum and maximum possible po-
5.8 The following results were obtained from the cali- sitions?
bration of a force transducer: 5.13 The measurements in Exercise 5.1 were obtained in
tests for repeatability. Each measurement was obtained by
Input Force (N) Output Voltage (V) traversing the sensor from the lower range limit to the ideal
measurement and recording the equilibrium measurement
0 0.06 of the sensor. Determine the bias and repeatability of each
2 0.63
sensor in terms of the measured variable and as a percent-
4 120
6 1.77
age of span.
8 2.35
10 2.94 RangeL/mit Ideal
12 3.55
Upper Lower Measurement
14 4.17
16 4.80
(a) 100°C O°C 75°C
18 5.43 (b) to gpm Ogpm 2.7 gpm
20 6 .06
(c) 20lpm Olpm 7.81pm
(d) 500 kPa 400 kPa 416 kPa
Determine the sensitivity of the force transducer in volts (e) 40 psi 30 psi 32 pSI
(f) 5.0 m 4.0m 4.2m
per newton at 20 and 80% of full scale. Hint: Divide the
change in output vohage between 2 and 6 N by the change
in force (J .e., 6 - 2 = 4 N) to determine the sensitivity at 5.14 Determine the following from the test of the pres-
20%. sure sensor in Exercise 5.2:
5.9 At 70°F, an input of 0 psi to a pressure transmitter (a) The bias or systemic error in pounds per square inch
produces an output of 4 rnA, and an input of 100 psi pro- and in percentage of span.
duces an output of 20 mA. The transmitter has a thermal (b) The repeatability in pounds per square inch and in per-
zero shift of 0.02 mar F and a thermal sensitivity shift of centage of span.
0.0004 (mA/psi)rF. Determine the following: 5.15 Repeat Exercise 5.14 for the pressure sensor test in
(a) The sensitivity of the transmitter at 70°F. Exercise 5.3.
(b) The sensitivity of the transmitter at 20°F and 120°F. 5.16 Explain the difference between repeatability and re-
(c) The O-pSI output of the transmitter at 20°F and producibility.
120°F. 5.17 Determine the measured accuracy of the pressure
(d) The lOO-psi output of the transmitter at 20°F and sensor in Exercise 5.2. Express the maximum positive and
120°F. negative errors in pounds per square inch and in percent-
5.10 A temperature transmitter has an input range of 0 age of span.
to 100°C, an output range of 4 to 20 rnA, and an accuracy 5.18 Determine the measured accuracy of the pressure
of :to.5%. The ideal transmitter has a linear output from sensor in Exercise 5.3. Express the maximum positive and
178 • Chap.5 Measuring Instrument Characteristics

negative errors in pounds per square inch and in percent- Section 55

age of span.
5.19 The following data are the average upscale and 5.22 Explain the difference between static characteristics
downscale values from a calibration report. Both the input and dynamic characteristics.
and the output are expressed in terms of percentage of 5.23 The following data were obtained from four tem-
span. Plot the calibration curve and determine the com- perature probes that were plunged from a liquid bath main-
bined hysteresis and dead band. tained at 50°C into a second bath maintained at 100°C, For
each probe, plot the response curve and determine the 95%
response time, the time constant, and the 10 to 90% rise
Upscale Downscale time.
Input Output Input Output
Temperature ( OC)
0 2.5 100 90.2
10 7.2 90 84.8 Time (s) (a) (b) (c) (d)
20 13.4 80 78.0
0 50.0 50.0 50.0 50.0
30 20.6 70 70.0
10 66.0 59.1 62.7 60.6
40 291 60 61.3 20 76.8 66.5 72.2 68.9
50 38.3 50 522
30 84.2 72.6 79.3 75.5
60 47.8 40 43. 1
40 89.3 77.5 84.6 80.7
70 57.1 30 33.9
50 92. 7 81.6 88.5 84.8
80 67.0 20 24.0
60 95.0 84.9 91.4 88.0
90 77.5 10 14.0
70 96.6 87.7 93.6 90.6
100 90.2 0 2.5
80 97.7 89.9 95.2 92.6
90 98.4 91.7 96.5 94.1
100 98.9 93.2 974 95.4
5.20 Draw the calibration curve for the force transducer 110 99.3 94.5 98.0 96.4
in Exercise 5.8. Then draw the straight lines for indepen- 120 99.5 95.5 98.5 97.1
dent linearity, terminal-based linearity, and zero-based lin- 130 99.7 96.3 98.9 97.7
earity. Determine the maximum error for each straight 140 99 8 97.0 99.2 98.2
line. 150 998 97.5 99.4 98.6
5.21 The following data are the averages of the upscale 160 99.9 98.0 99.6 98.9
and downscale readings from four calibration reports. For 170 99.9 98.3 99.7 99.1
180 100.0 98 .6 99.8 99.3
each report, draw the calibration curve and then draw the
190 100.0 98.9 99.8 99.5
straight lines for independent linearity, terminal-based lin-
200 100.0 99. 1 99.9 99.6
earity, and zero-based linearity. Determine the maximum
error for each straIght line.
5.24 The following data were obtained from a step re-
sponse test of an underdamped component. Plot the re-
Average Output
sponse curve and determine the 10 to 90% rise time, the
Input (a) (b) (c) (d) overshoot, and the 2% settling time.
0 2.8 4.0 3.0 0.0
10 9.6 15.7 10.5 9.9 Time (5) Output (%)
20 17.4 26.7 18.2 18.8
30 26.5 37.1 27.7 26.7 0 0.0
40 38.7 46.9 38.2 33.6 5 36.5
50 50.5 56.0 50.2 40.0 10 74.5
60 61.1 64.5 61.9 47.4 13.5 100.0
70 70.0 72.3 72.4 54.8 15 110.0
80 76.8 79.5 817 64.2 18.4 120.0
90 83.2 86.0 89.5 75.1 21.8 110.0
100 88.8 92.0 97.0 88.0 24.0 100.0
25.0 96.0
 • Chap. 5 Exercises 179

28.4 91.0
Damping Resonant
30.0 92.0
Measured Steady State Constant, Frequency
326 96.0
Vanable Gain, G* a (I/s) Wo
34.0 100.0
36.0 103.0 (a) Position 0.001 0.5 10
39.5 105.0 (b) Voltage I 2100 2100
42.5 103.0 (e) LiqUId level 0.41 0.0007 0.0014
44.4 100.0 (d) Motor speed 22 1.26 12.6
50.0 97.8 (e) Temperature I 0.2 O.oz
55.0 100.0 (f) Pressure 0.2 22 II
60.0 101.0
*G is dimensinless (% full scale out/% full scale in)
5.25 Determine the time constant of an alcohol-filled
5.29 A liquid-filled thermal element is enclosed in a pro-
thermometer. The bulb has a diameter of 0 .25 cm and a
tective well. The following thermal resistances and capac-
length of 0.85 cm. The film coefficient is estimated to be
itances were computed for the element and well.
12 W/m2 . K. Ignore the resistance and thickness of the
bulb wall. RI = 125 K/W
5.26 For each of the following ramp response tests, de-
termine the dynamic error in terms of the measured vari-
C, = 0.45 J/K
able and as a percentage of span. R2 = 65 K/W

Mea~ured Rate of DynamIC C2 = 0.72 J/K

Vanable Increase Lag Span
The transfer function is given by Equation (5.10). Deter-
(a) Temperature 2°C/mm 3.6 min 100°C mine the coefficients of S2 and s, and write the transfer
(b) Pressure 0.2 pSI/S 0.8 s 10 pSI function. Use the program BODE to generate frequency
(e) Flow rate 0.25Ipm/s 1.4 s 20lpm response data and plot the Bode diagram.
(d) Speed 10rpm/ms 4ms 5000 rpm
5.30 A measuring instrument has a resonant frequency
(wo) of 5 rad/s. a damping coefficient (a) of 3 lis, and
S.27 Use the program BODE from Chapter 4 to generate a steady-state gain (G) of 0.2 mArc.
Determine the fol-
frequency-response data for each of the following first- lowing:
Qrder measuring instruments. Use the data to construct (a) The transfer function, CmlC (see Equation 5.7).
Bode diagrams for each instrument. See Example 4. 19. (b) The frequency-domain response, C"" to a step change
in input, C, from O°C to IOO°C (Le., multiply the
Measured Steady State Time transfer function by C = 100/s). Put the result in the
Variable Gain, G* Constant, T (s) form of Equation (5.8).
(c) Determine the roots of the quadratic term in the de-
(a) Temperature 800
nominator of the equation you obtained in step b. Ver-
(b) Level 0.82 7020
(e) Flow rate 2 10 ify that the response is underdamped.
(d) Ga~ pre,sure 2 2.8 (d) Complete the partial fraction expansion of Cm.
(e) Blending lOOO (e) Use transform pairs 1 and IO in Table 4.1 to get the
(f) Voltage 0.5 time-domain expression, Cm for the step response.
(f) Use a spreadsheet or a program similar to the follow-
*G IS dImensionless (% full scale out/% full scale In) ing to generate a table of cm(t) versus t values from the
time-domain expression you obtained in part e.
5.28 Use the program BODE from Chapter 4 to generate
frequency-response data for each of the following second- 10 FOR T 0 to
= 3 STEP .05
order measuring instruments. Use the data to construct 20 CM(T) =10 + 12*EXP (-4*T)
Bode diagrams for each instrument. See Equation (5.7). *COS (6*T) + 110.03/57.3)
Compute the value of the damping ratio for each instru- 30 LPRINT USING " #11.## ##.##";
ment and compare your Bode diagrams with Figure 5.12. T. CM(T)
180 • Chap. 5 Measuring Instrument Characteristics

40 NEXT T and the 2% settling time. You can do this by plotting a

50 End graph and reading the values from the graph, or you
can get the values by interpolation directly from the
(g) . From the table you produced 10 part f, determine the
data table.
10 to 90% rise time, the peak percentage of overshoot,
• CHAPTER 6 Signal Conditioning

• OBJECTIVES

A signal conditioner prepares a signal for use by another component. The input to a signal conditioner
is usually the output from a sensor (or primary element). The operations perfonned by a signal condi-
tioner include isolation, impedance conversion, noise reduction, amplification, linearization, and con-
version.
The purpose of this chapter is to give you the ability to analyze, specify, or design signal condi-
tioning systems. After completing this chapter, you will be able to

1. Explain and/or specify

a. Ideal and practical models of an op amp
b. Common-mode voltage
c. Common-mode gain
d. Common-mode rejection ratio
e. Acquisition time of a sample-and-hold circuit
f. Isolation and impedance transfonnation
g. Quantization error of an A/D converter
2. Design or construct the following
a. Inverting amplifier
b. Noninverting amplifier
c. Summing amplifier
d. Differential amplifier
e. Instrumentation amplifier
f. Low-pass filter
g. Notch filter
h. I/O table or graph of a linearizer
i. Piecewise-linear approximation of a nonlinear function
j. Calibration graph of an RTDjWheatstone bridge circuit

•••• 181
182 • Chap.6 Signal Conditioning

6.1 INTRODUCTION

A measuring transmitter consists of two parts: a primary element (or sensor) and a signal con-
ditioner. The primary element uses some characteristic of its material and construction to con-
vert the value of a measured variable into an electrical, mechanical, or fluidic signal. The out-
put of the primary element may be a small voltage or an electrical resistance. It may be a
force, a displacement, a pressure, or some other phenomenon. No matter what form it takes,
the primary element output depends on the value of the measured variable.
The output of the primary element is a measure of the variable it is sensing, but it is sel-
dom in a form suitable for transmission and use by other components in a system. Usually, a
signal conditioner is required to convert the primary element output into an electrical (or
pneumatic) signal suitable for use by a controller or display device. The standard transmis-
sion signals are a 4- to 20-mA electric current or a 3- to IS-psi pneumatic pressure. For ex-
ample, a thermocouple (TIC) is a primary element that converts temperature into a small volt-
age. A signal conditioner converts the millivolt output of the thermocouple into a 4- to 20-mA
electric current. A TIC temperature transmitter includes both the thermocouple and the signal
conditioner. The following are some of the tasks performed by a signal conditioner:

1. Isolation and impedance conversion

2. Amplification and analog-to-analog conversion
3. Noise reduction (filtering)
4. Linearization
5. Data sampling
6. Digital-to-analog conversion
7. Analog-to-digital conversion

The operational amplifier is the heart of many modern signal conditioners. For this rea-
son, our study of signal conditioning begins with the operational amplifier and its application
in various signal conditioning circuits. You should complete the section on op-amp circuits
before moving on to the section on analog signal conditioning.
One of the objectives of a measuring transmitter is to minimize the effect of the mea-
surement on the measured variable. In some situations, this means electrical isolation of the
primary element with an isolation amplifier. In other situations, it means providing a high im-
pedance at the input to the signal conditioner. Our study of signal conditioning begins with
isolation and impedance conversion.
Another objective of a measuring transmitter is to convert the output from the primary el-
ement into a signal suitable for use by a controller or display device. Some primary elements
convert changes in the measured variable into small changes in resistance. Strain gages and
resistance temperature detectors (RTDs) are two examples. A bridge circuit is often used to
convert the change in resistance into a small change in voltage. This small voltage is then am-
plified and converted to an electric current signal suitable for use by the controller. Our study
of signal conditioning continues with ampLification and anaLog-to-anaLog conversion.
Industry presents a harsh environment for making precise measurements. There are many
sources of electrical interference, and noise is always a concern when electrical signals are
transmitted. Noise reduction with various types of filters is another topic for our study.
Linearization is the next topic. The ideal measuring transmitter output is a linear signal
that goes from 0 to 100% as the measured variable goes from the lower range limit to the up-
 • Sec. 6.2 The Operational Amplifier 183

per range limit. Sometimes the signal is close to the ideal. At other times, the signal is very
nonlinear. An orifice flow element, for example, produces a pressure drop that is proportional
to the square of the flow rate. Linearization of this type of signal is a very desirable goal. Ther-
mocouples also produce a nonlinear signal, although not nearly as nonlinear as the flow ori-
fice. Linearization of thermocouple signals is also desirable.
Digital signal conditioning is our final topic. Data sampling is a process in which a
switch momentarily closes to connect an analog signal to a sample-and-hold circuit. The
sample-and-hold circuit maintains the analog signal until the next momentary switch closure.
While the analog signal is held, an analog-to-digital converter converts the analog signal into
an equivalent digital signal. Once the signal is converted to digital, a microprocessor can use
the digital samples to perform digital signal conditioning such as filtering, linearization, cal-
ibration, and conversion to engineering units. A digital controller receives the digital samples
and produces a digital output signal. A digital-lo-analog converter converts the digital output
of the controller into an analog signal suitable for use by the final control element.

6.2 THE OPERATIONAL AMPLIFIER

An operational amplifier is a high-gain dc amplifier with two inputs and one output. The out-
put is equal to the difference between the voltages on the two inputs multiplied by the gain of
the amplifier. The gain of different op amps ranges from 104 to 107 , with 105 being a typical
value. An op amp requires both a positive and a negative voltage supply, labeled + Vee and
- Vee> respectively. Two more inputs are provided for offset null adjustments, bringing the to-
tal number of terminals to seven. Op amps come in several different Ie packages, including
the popular eight-lead MINIDIP package.
The operating characteristics of an operational amplifier circuit depend almost entirely
on components external to the amplifier. The gain, input impedance, output impedance, and
frequency response depend on the external resistors and capacitors in the circuit, not on the
gain, input impedance, or output impedance of the amplifier. This means that the behavior
of an op-amp circuit can be made to fit a particular application by proper selection and place-
ment of a few resistors and capacitors. Also, the stability of these components can be se-
lected to meet the requirements of the application. With this versatility and ease of design,
it is not hard to understand why the op amp has become such a popular component in con-
trol systems.

Op-Amp Equivalent Circuit

Figure 6.1 shows the circuit symbol and an equivalent circuit of an operational amplifier. The
two inputs are called the inverting input and the noninverting input. We will use the symbol
u, for the voltage at the inverting input, ~ for the voltage at the noninverting input, U out for
the voltage at the output terminal, Vee for the positive supply voltage, and - Vee for the nega-
tive supply voltage. The currents of interest are the current entering the inverting input, i" the
current entering the noninverting input, i2 , and the current leaving the output terminal, iout .
Notice that i, = - i 2 , and we needed to define only one of the two currents. However, it is use-
ful in analyzing op-amp circuits to be able to refer to both i, and ;2'
184 • Chap.6 Signal Conditioning

Positive supply

Inverting
input vI
Output
0----1+ V
OUl
Norunverting V2
input

Negative 5upply

a) Operauonal amplifier circuit symbol

• Figure 6.1 Circuit symbol and equivalent

circuit for an operational amplifier. Typical val-
ues for a 741 op amp are Ri = 2 Mfl., Ro = 75
n, and A = 105 In many applications, the op
amp can be considered to be Ideal, with R,
equivalent to an open clfcuit, Ro equal to zero,
b) Operational amplifier equivalent circuit and A approaching infiruty.

The gain of the op amp, A, determines the output voltage as follows:

V OUl = A(V2 - VI) (6.1)

The output voltage of an op amp is limited by the supply voltages. When the output reaches
its positive or negative limit, we say that the op amp has saturated. For most op amps, the sat-
uration voltage level is about 80% of the supply voltage.
(6.2)
-V"'l = -0.8Vce (approximately)
+ VSal = +0.8Vcc (approximately)
When the op amp is not saturated, its output voltage is between the two saturation voltages,
and we say that it is operating in its linear region. The high gain of the op amp and the rela-
tively low supply voltage (usually ±20 V) combine to limit the difference between VI and V2
to very small values. Let us illustrate with Example 6.1.
 • Sec. 6.2 The Operational Amplifier 185

EXAMPLE Detennine the value of Vz - VI that will saturate an op amp if the gain, A, is lOs, and the supply volt-
6.1 ages are -20 V and +20 v.

Solution The amplifier will saturate at 80% of the supply voltages, about - 16 V and + 16 V. At + 16 V, the dif-
ference is

16
V2 - VI = - 5 = 0.16mV
10

At - 16 V, the difference is

-16
= = -0.16 mV
V2 - VI --5
10
•
Ideal Op-Amp Model

Figure 6.2 shows a graph of the open-loop response of an op amp. The sloping straight line
in the center of the graph is called the linear operating region. The horizontal lines on either
side make up the saturation region. Some op-amp applications utilize the saturation region,
but most op-amp circuits are designed to operate in the linear region.
Five simplifying assumptions are used to define the model of an ideal op amp operating
in the linear region. These assumptions greatly simplify the analysis of linear op-amp circuits,
often with negligible effect on the accuracy of the results. The five assumptions are as follows:
Assumption Result
1. Infinite gain, A = 00 VI = Vz
2. Infinite input resistance, R, = 00 i. = iz = OA
3. Zero output resistance Ro = on
4. Infinite slew rate No frequency limit
5. No offsets Ignore offset error

V OU '
(V)

20
+ vsa'

( Saturation

Linear operation

-0.4 -0.2 0.4

-5

/
Saturation ")
~O • Figure 6.2 Open-loop response of an op
amp with a gain of 105 and supply voltages of
_ _ _ _ _...1 -IS
::!:20 V. The straight lme in the middle of the
-vsa' graph is called the linear operating region. The
-20 straight lines at the top and bottom of the graph
are called the saturation region.
186 • Chap.6 Signal Conditioning

Example 6.1 showed us that the difference between VI and V:2 is only a fraction of a mil-
livolt. Assumption 1 states that we can neglect this difference in most applications. The prac-
tical result of assumption I is stated in Equation (6.3):
(6.3)
The internal resistance between the two input terminals, R" is large, ranging from 50 kO
to over 100 MO. A typical value of R, is 2 MO. The small value of V2 - VI and the large value
of R, combine to limit i2 to extremely small values. For the conditions in Example 6.1 with
R; = 2 MO, the value of i2 at positive &aturation is
. V2 - VI
12 =---
R,
4
1.6 X 10- = 8 X 10- 11 A
2 X 106
The value of current i2 is so small that we say it is virtually zero.
Assumption 2 states that we can neglect currents i, and i2 in most applications. The prac-
tical result of assumption 2 is stated in Equation (6.4):

il = i2 = 0 A (6.4)

Assumption 3 is stated in Equation (6.5):

Rn = 00 (6.5)

The slew rate is the maximum rate at which the output of an op amp can change. As-
sumption 4 states that there is no such limit and the output can change instantaneously from
one value to another. Assumption 5 states that there are no offset errors in the op-amp circuit.
The five assumptions define what is called the ideal operational amplifier. We will use
this model frequently in analyzing op-amp circuits.

Common-Mode Rejection Ratio

In an ideal op amp, the output depends only on the difference between V2 and V" not on the
level of the two voltages. Consider the following two sets of conditions:
Condition 1: VI = -50/LV

V2 = +50/LV

A = 105
Condition 2: VI = 99.95 mV
V2 = 100.05 mV

A = 105

In both cO,nditions, V:2 - VI = 100 /LV and A(V2 - VI) = 10.0 V. Thus the output of an ideal
op amp is 10.0 V for both conditions I and 2.
• Sec. 6.2 The Operational Amplifier 187

In real life, operational amplifiers are not ideal, and the output will be different for the two
conditions. The reason for the difference is the slight differences in the way the op amp handles
the two inputs. The inputs are amplified by slightly different gains, with the result that the com-
mon level of the two signals is amplified and added to the output. We call this common level the
common-mode voltage, v, . The common-mode voltage is simply the average of VI and Vz:

VI
= -
+ Vz
--
V
, 2 (6.6)

In a practical op amp, the common-mode voltage is multiplied by the common-mode gain, Ao

and then added to the output of the op amp. The output consists of the following two compo-
nents:

(6.7)

Let's continue our example of the two conditions by assuming a common-mode gain, Ac, of
10. The outputs including the common-mode component are
50 + -50
Condition 1: vC = 2 = OIlV
r-

= 10(0) + 105 [ 50 - (- 50)] X 10- 6 = 10.0 V

Condition 2:
99.5 + 100.5
v=
c 2 =l00mV

V out = + A(vz - VI)

A,v,
= 10(0.1) + 105(100.05 - 99.95) X 10- 3 = 11.0 V
Thus a common mode of only 0.1 V results in a 10% increase in the output voltage. If the
common mode is raised to I V, the op amp will saturate. Clearly, common-mode voltage can
be a problem in applications where it is present. The ability of an op amp to minimize the in-
fluence of the common-mode voltage is measured by the ratio of the differential gain of the
op amp, A, divided by the common-mode gain, A(" This ratio is called the common-mode re-
jection ratio (CMRR):

(6.8)

The common mode rejection (CMR) is the logarithm of CMRR expressed in decibel units:

CMR = 2010g lO (:J (6.9)

The CMRR and CMR of our example are

105
CMRR =- = 104
10
CMR = 20 loglO(l04) = 80 dB
188 • Chap.6 Signal Conditioning

EXAMPLE In a certain application of an op amp, a differential voltage (V2 - VI) of 120 /LV has a common-mode
6.2 voltage that vanes from 0 to 2 V. The amplifier differential gain, A, is 105 . The common-mode error must
not be greater than 1.5% of the output when the common-mode voltage is O. Specify the common-mode
rejection ratio for this application.

Solution First, determine the output with no common-mode voltage; second, determine the maximum allowable
output voltage with a common mode of 2 V; third, determine the common-mode gain; and fourth, de-
termine the value of CMRR.

VoU!lv.~o = A(V2 - VI) = (IE + 5)(120E - 6) = 12V

voullv<~2 = 12C~~~5) = 12.ISV

12.IS - 12 O.IS
Ac = = -2- = 0.09
V,

IE +5
CMRR = - - = 1.11 X 106
0.09

CMR = 121 dB
•
6.3 OP-AMP CIRCUITS

This section covers a number of op-amp circuits that are used in control systems. The op-amp
model used in the circuits assumes that i I = i2 = 0, VI = Vb and Ro = O.

Comparator

A comparator is a circuit that accepts two input voltages and indicates which voltage is
greater. It is the simplest operational-amplifier circuit. All we need to make a comparator is
an op amp in the open-loop configuration with no feedback or input resistors.
The comparator circuit in Figure 6.3 uses a 12-V indicator lamp to indicate the output of
the comparator. An analysis of this circuit will show that the lamp is OFF when V2 is less than
VI, and it is ON when V2 is greater than VI by more than a fraction of a millivolt. The op amp in
Figure 6.3 has a gain of 105, a positive supply voltage (Vee) of 15 V, and a negative supply volt-
age (- Vee> of 0 V. The supply voltages limit the op-amp output to the following voltage range:
oV :S V :S (0.8)(15) V
OU1

oV :S V :S 12V OU
(

The graph in Figure 6.3 shows the output voltage versus the difference between the in-
put voltages (V2 - VI)' The graph can be divided into the following three regions:

1. Negative saturation region: (V2 - VI) <0V

a. V2 is less than VI

b. V OU ( = 0V
c. lamp IS OFF
• Sec. 6.3 Op-Amp Circuits 189

V OUl
(Y) vsa,tA (very small)
I
Dsal
~c= 15 Y

12·Y 0.12 mY
indicator
lamp

• Figure 6.3 An op-amp comparator signals whJch of two input voltages is

greater. The 12-Y Indicator lamp is OFF when 112 < VI . The lamp goes ON as 112 in·
creases from VI to VI + 0. 12 mY and stays ON when 112 > VI + 0.12 mY.

2. Linear operating region: 0 V !5 (V:! - vJ) !5 0.12 mY

a. V2 is slightly greater than VI
b. VOUl goes from 0 V to 12 V as (V:! - VI) increases
c. lamp goes from OFF to ON as (V:! - VI) increases
3. Positive saturation region: (V:! - VI) > 0.12 mV
a. V2 is more than 0.12 mV greater than VI
b. VOUl = 12 V
c. lamp is ON
The effect of the linear operating region is small enough that we can make the following prac-
tical statements about the comparator circuit in Figure 6.3.

PRACTICAL OPERATION OF THE COMPARATOR CIRCUIT

IN FIGURE 6.3
The lamp is OFF when V:! is less than VI'
The lamp is ON when V:! is greater than VI'

One practical application of a comparator circuit is the voltage-level-indicators illustrated

in Figure 6.4. The high-level indicator in Figure 6.4a uses a voltage divider and a to-v source
to produce an 8-V reference voltage. The op amp compares the input voltage with the 8-V ref-
erence and operates the HI lamp as follows.

PRACTICAL OPERATION OF THE HIGH-LEVEL INDICATOR

IN FIGURE 6.4A
When Vin !5 8 V, the HI lamp is OFF.
When Vin > 8 V, the HI lamp is ON.
 VHJ(Y)
Vin
lOY
12

0 VIn(Y)
0 4 8 12

a) A high-level indicator. When v in < 8 Y, the HI lamp IS OFF. As v in increases from 8 Y to

8.00012 Y, the HI lamp goes from OFF to ON. When v In > 8.00012 Y, the HI lamp is ON.

VLO(Y)
vin
lOY
12

8
1.99988 Y
2Y 4

0 viney)
0 2 4 8 12

b) A low-level indicator. When vm < I 99988 Y, the LO lamp is ON. As vIn increases from
1.99988 Y to 2 Y, the LO lamp goes from ON to OFF. When vm > 2 Y, the LO lamp IS OFF.

V In -------~~...!....J
lOY High-level
Indicator
8Y.-----'

2Y.-----'

c) A high-low-level Indicatorcombmes the high-level and low-level IndIcators into a single circUit.
In thiS CIrCUit, the HI and LO lamps operate the same as they do In (a) and (b) above .

• Figure 6.4 These voltage-level-indIcator circuits use a voltage divider to produce reference
voltages of 2 Y and 8 V.

190
• Sec. 6.3 Op-Amp Circuits 191

A low-level indicator is shown in Figure 6.4b. Notice the reversed position of the two in-
puts of the op amp. In this circuit, the input voltage is connected to the negative input of the
op amp and the 2-V reference voltage is connected to the positive input. The op amp com-
pares the input voltage with the 2-V reference and operates the LO lamp as follows.

PRACTICAL OPERATION OF THE LOW-LEVEL INDICATOR

IN FIGURE 6.48
When Vm < 2 V, the LO lamp is ON.
When Vm 2: 2 V, the LO lamp is OFF.

The high-low-level indicator in Figure 6.4c is simply a combination of the two circuits
in Figures 6.4a and 6.4b. The HI and LO lamps operate exactly the same as described in the
preceding boxes.

Voltage Follower

A voltage follower is another simple application of an op amp. The output voltage is equal to
.the input voltage. At this point, the obvious question is: If the voltage is not changed, why use
it? The answer is that although the voltage is the same, the impedance is not.
We can look at impedance changes from two perspectives. Consider placing or not
placing a voltage follower between a primary sensing element and a signal conditioning
amplifier. If the voltage follower is not used, the primary sensor "sees" the input imped-
ance of the amplifier. This might be 50 kil. With the voltage follower in place, the
primary sensor sees the input impedance of the op amp, which could be 100 Mil. So the
effect of the voltage follower is to increase the impedance as seen by the primary sensor. This
higher load impedance is a decided advantage because it reduces the current output of the
primary sensor, thus reducing self-heating errors and nonlinearities caused by high current
levels.
Now let's examine the second perspective. The amplifier also sees an impedance when it
looks toward the primary element. If the voltage follower is not used, the amplifier sees the
Thevenin equivalent of the primary element. This could be 1, 10, or 100 kil. With the volt-
age follower in place, the amplifier sees the output impedance of the op amp, which could
easily be less than 100 il. Just as a high load impedance is good for the primary element, a
low source impedance is good for the amplifier. The advantage of the voltage follower is that
it transforms impedances in both directions.
The operation of a voltage follower is limited to the linear operating region of the op
amp. This is also true of the remaining op-amp circuits in this section. The following analy-
sis applies only to an op amp in the linear operating region.
A voltage follower is shown in Figure 6.5a. Notice that the output terminal is con-
nected to the inverting input terminal, making VI = VOU(, Also, the input voltage is connected
to the noninverting input, making V2 = V m • In an ideal op amp, VI = ~ which, in tum, makes
192 • Chap.6 Signal Conditioning

st>---el--o VOU1

a) Voltage follower

• Figure 6.S An op-amp voltage follower

has unity voltage gain and a very hIgh input im-
pedance (typIcally 100 MO). A voltage follower
SIgnal
PrImary conditioner may be mserted between the primary sensmg
sensor element and the sIgnal condItioner of a measur-
ing instrument, thereby reducing the current
produced by the prImary element. The smaller
primary element current reduces errors by self-
b) Practical applIcation of a voltage follower heating and loadIng effects.

VOLTAGE FOLLOWER
IN THE LINEAR OPERATING REGION
(6.10)

Figure 6.5b shows a voltage follower used as a bidirectional impedance transformer in a mea-
suring instrument.

Inverting Amplifier

The inverting amplifier changes the sign and the level of the input signal. It can either in-
crease, decrease, or not change the size of the signal, based on the values of two resistors, one
between the input signal and the inverting input, the other between the inverting input and the
output terminal. The gain of the inverting amplifier is the ratio of the second resistor over the
first. The diagram of an inverting amplifier is shown in Figure 6.6.

>--....-OVOUI

• Figure 6.6 An inverting amplifier ha5 a

gam that can be less than J, equal to I, or
greater than I.
 • Sec. 6.3 Op-Amp Circuits 193

The analysis of the equivalent circuit of the inverting amplifier begins with the observa-
tion that voltage V2 is equal to zero and the current through resistor Rin is equal to the current
through resistor Rf- Then we apply Ohm's law to replace the currents by voltage drops divided
by resistance values.
VJ = Vz = 0
im = if
(6.11)

INVERTING AMPLIFIER
IN THE LINEAR OPERATING REGION
R
Vout = - Rf In
VIn (6.12)

EXAMPLE A primary element produces an output voltage that ranges from 0 to 100 mV as the measured vari-
6.3 able goes from the lower range limit to the upper range limit. Design an inverting amplifier that will take
the output of the primary element and produce an output range of 0 to - 5 V.

Solution The required gain is 5/0.1 = 50. If we choose the value of RIO to be I kn, the required value of Rf is

Rj = 50R = 50(1000)
In = 50 kn
•
Noninverting Amplifier

The non inverting amplifier circuit can increase the size of the signal, but it cannot decrease
the size. In the extreme case, it can leave the size of the signal unchanged, but that reduces
the circuit to the simple voltage-follower circuit.
Figure 6.7 shows the circuit diagram of a noninverting amplifier. Notice that the positions
of the input voltage and the ground connection are interchanged from their positions in the
inverting amplifier. The analysis of the equivalent circuit is similar to the analysis of the in-
verting amplifier.

(6.13)
194 • Chap. 6 Signal Conditioning

• Figure 6.7 A noninverting amplifier has a

gam that cannot be less than I.

NONINVERTING AMPLIFIER
IN THE LINEAR OPERATING REGION

(6.14)

EXAMPLE Repeat the amplifier design from Example 6.3 using the noninverting amplifier.
6.4
Solution The required gain is 50. We will use a [-kf! resistor for RIO' The gain is given by the first term enclosed
in parentheses in Equation (6. 14).

Rj + 1000
50 = = 50
1000

•
Summing Amplifier

A summing amplifier adds two or more input signals forming an output that is the inverse of
the sum. Each input may be multiplied by a weighting factor that is formed by the ratio of
two resistors. We will use the ideal op-amp model to develop the equation that defines the out-
put of the summing amplifier circuit.
Figure 6.8a shows the circuit diagram for a two-input summing amplifier. We will de-
velop the equation for the output of the three-input summing amplifier shown in Figure 6.8b.
The development begins by applying Kirchhoff's current law at the inverting input terminal.

From Equation (6.4), i l = 0 and

if = ia + i h + i,
From Equation (6.3), VI = ~ = 0 (~ is grounded). Now apply Ohm's law at each resistor:
 • Sec. 6.3 Op-Amp Circuits 195

>---~---() V out

a) Two-input summing amplifier

- it

+. >---~---()VOUI

• Figure 6.8 A summing amplifier forms the

Inverted and weighted sum of Its mputs. The
weighting factor is the feedback resistance. R"
b) Three-input summing amplifier divided by the input resistor. R Rb • or Reo
Q •

SUMMING AMPLIFIER
IN THE LINEAR OPERATING REGION

u
OUI
= _ (Rf)u
R _(Rf)u
QRb _(Rr)u
Rc c
b
(6.15)
Q

The resistor ratio RJRa is the weighting factor for input voltage Va' ratio Rr/Rb is the weight-
ing factor for input voltage Vb, and so on.

EXAMPLE Design a circuit that produces an output voltage that is the average of three input voltages. An inversion
6.5 of the output signal is pennissible.

Solution The design can be implemented with a three-input summing amplifier with weighting factors of! on
each input. We will select a 3.33-k!1 resistor for Rr and lO-k!1 resistors for R•• Rb , and Re. •

Integrator

An integrator circuit produces an output that is proportional to the integral of the input volt-
age. An inverting amplifier can be converted to an integrator by replacing resistor Rr by a ca-
pacitor. Figure 6.9 shows an integrator circuit and a graphical interpretation of the integral.
196 • Chap. 6 Signal Conditioning

>---......----<> Vout

Vout = -R CIf"
tn "
Von dl + Vout(tl)

a) Integrator circuit

f""
Volts
Shaded area = v on dl • Figure 6.9 An mtegrator produces an out-
put that IS proportional to the integral of the in-
put voltage. On a graph of input voltage versus
time, the integral between time II and time is'2
equal to the area under the graph between lime
II and ume 12' The speedometer of a car dl ~ ­
o plays the speed of the car, while the odometer
dIsplays the mtegral of the speed (I.e., the dis-
b) Graphical interpretation of an integral tance traveled).

The graph in Figure 6.9 is a plot of the input voltage, V m , plotted versus time. The area
under the graph between time tl and time t2 is shaded. This shaded area is equal to the inte-
gral of the input voltage from time t, to time t2'

Shaded area = J-" Vm dt

t,

If the input voltage represbnted the speed of travel of an object, the integral from t, to t2 would
represent the distance traveled during the lime interval from tl to t2 . If the input voltage rep-
resented the flow rate of liquid into a tank, the integral would represent the amount of liquid
that flowed into the tank from time tl to time 12' In general, the integral of a rate of change of
quantity is the amount of that quantity that changes between the time limits of the integration.
Refer to the integrator circuit in Figure 6.9. Applying Kirchhoff's current law at the in-
verting input terminal, and applying Equation (6.4) (i.e., i l = 0), we get the following
equation:

The current through a capacitor is equal to the capacitance value times the rate of change of
the voltage across the capacitor terminals. The voltage across the capacitor is V o ut - VI = V out
because VI = V2 = O. Thus
dVo UI
i, = C--
dt
 • Sec. 6.3 Op-Amp Circuits 197

dVout
-C-
dt

Integrating the equation above gives the equation for the output of the integrator as a func-
tion of the input, V m .

INTEGRATOR
IN THE LINEAR OPERATING REGION

(6.16)

EXAMPLE The input to an integrator is a constant 100 mY. The input resistance is 10 kfl and the capacitance is
6.6 I J,LF.
(a) Find the expression for the output voltage at time t2 as a function of tl> tz, and Vout (tl)'
(b) If tl = 5 sand Vout(tl) = + 10 V, find the time tz when the op amp reaches saturation at -16 V
(i.e., when Vout (t2) = -16 V).
1
f Vm(t) dt +
I,

Solution (a) vout(tz) = - - - Vout(t 1)

Rm C I,

1 I,
V out (t 2) = 104. 10- 6 0.1 dt fI,
+ Vout(t l )

(b) -16 = -10(12 - 5) + 10

16 + 10
t2 = 10 +5 = 7.6 s
•
Differentiator

A dijferentiator circuit produces an output that is proportional to the rate of change (deriva-
tive) of the input voltage. An inverting amplifier can be converted to a differentiator by re-
placing resistor Rin by a capacitor. Figure 6.10 shows a differentiator and a graphical inter-
pretation of the derivative.
Unfortunately, the most rapidly changing part of the input signal is often unwanted noise
spikes or other forms of high-frequency noise. In this case, the differentiator magnifies the
noise even more than the useful signal, making the output very jittery. The solution to the
noise problem is to add a resistor in series with the capacitor to limit the amplification of high-
frequency signals. Sometimes this series resistance is provided by the source impedance.
198 • Chap.6 Signal Conditioning

a) Differentiator circuit

dv,"
Volts Slope of line = -
dt

", oLeuVolts
~TI~
I I I
I I I
I

VOU1 0 I---r-----L-+---....I-----'---. Time • Figure 6.10 A differentiator produces an

output voltage that IS inverted and proportional
to the rate of change of the input voltage. On a
graph of mput voltage versus time. the den va-
tive is equal to the slope of the graph.
b) Graphical interpretation of a denvative

Differential Amplifier

A differential amplifier is a circuit that amplifies the difference between two input voltages, nei-
ther of which is equal to zero. The common-mode rejection ratio is a major concern in a differ-
ential amplifier. The circuit diagram of a differential amplifier circuit is shown in Figure 6.11.
We begin the development of the differential amplifier equation by recalling that VI = V2
and by applying the voltage-divider rule to resistors Rb and Rg •

VI = V2 = Vb( Rg )
Rb + Rg
For resistors Ra and Rf , we have the following equation:

(6.17)
• Sec. 6.3 Op-Amp Circuits 199

>---__- - 0 VOUI

• Figure 6.11 A differential amplifier is

If Ra = Rb and IV = R,. then used to measure the difference between two
V OU1 = ;~ [ vb - Va] voltages. The circuit equation simplifies consid-
erably when Ra = Rb and Rf = Rs'

If Ra = Rb, and Rt = Rg, Equation 6.17 reduces to

DIFFERENTIAL AMPLIFIER
IN THE LINEAR OPERATING REGION
Rf
Vout = - (Vb - Va) (6.18)
Ra

Instrumentation Amplifier

An instrumentation amplifier (IA) is essentially a differential amplifier with high input im-
pedance, high common-mode rejection, balanced differential inputs, and gain determined by
a user-selected external resistor. In order to provide a guaranteed level of performance, all
components except the external gain resistor are inside the IA package. The high input im-
pedance of the IA minimizes the current draw from the input circuit, thus reducing self-
heating and loading effects on the input circuit. Figure 6.12 shows a three-op-amp instru-
mentation amplifier. The input stage consists of two op amps in a modified voltage follower
configuration. The second stage is the differential amplifier shown in Figure 6.11 with bal-
anced resistors (i.e., Rb = Ra and Rg = Rf ).
Assuming ideal op amps in Figure 6.12, the same current (i) flows through resistors
R;, Re, and RIo By Ohm's law,

and
200 • Chap. 6 Signal Conditioning

i-------T-----------I
Via va I I
(External)
I I
I I
I I
I Vout
(External)
I
I
I

I I Differential amplifier I
I Input stage I VOU1 =(vb - Va )( ; : ) I
~ _______ ~ ___________ J

• Figure 6.12 A three-op-amp Instrumentallon amplifier consIsts of an input stage

and a dIfferential amplIfier. The user can adjust the size of the external resistor to ob-
tain a wJde range of gam~ .

Equating the right side of the two equations for i, we have

2RI + R, Re

Finally, replacing Vb - Va in Equation (6.18) by the right side of the above equation gives us
the following equation for the instrumentation amplifier:

INSTRUMENTATION AMPLIFIER
IN THE LINEAR OPERATING REGION

V OU1 = (2RI R,+ R,)(R3)

R (V'h -
z
v,.)
(6_19)

The user can adjust the size of external resistor Re to obtain a wide range of gains without in-
creasing the common-mode error signal.

EXAMPLE An instrumentation amplifier similar to Figure 6.12 has the following precision resistor values:
6.7

Determine the value of the external resistor, Reo that will result in a gain of 1000.

SOlUfi(m IAgam = . (2R\ + R,)(R3)

-
R, R2
 • Sec. 6.3 Op-Amp Circuits 201

1000 = (2(1000) + ReX 1000)

R, 1000

1000R, = 2000 + R,
999R, = 2000

2000
R = - = 2.0020
e 999
•
Function Generator

Some signal conditioning applications require a component with an output that is a nonlinear
function of its input. Components of this type are calledftmction generators. The inverting
amplifier can be converted into a function generator by replacing one of its two resistors with
a component that has a nonlinear voltampere relationship.
A logarithmic amplifier is one example of a function generator. A transistor with a
grounded base serves as the nonlinear element. The transistor replaces the feedback resistor
with the collector connected to the summing junction and the emitter connected to the output
terminal of the op amp. The logarithmic amplifier utilizes the logarithmic voltampere rela-
tionship of the transistor to generate an output voltage that is proportional to the natural log-
arithm of the input voltage.
Linearization of the signal from a differential pressure flow transmitter is another exam-
ple of an application of a function generator. The flow transmitter output voltage (vF ) is equal
to a constant (KF ) multiplied by flow rate (Q) squared, as shown in Equation (6.20):
(6.20)
In other words, the flow transmitter output voltage is proportional to the flow rate squared. We
would prefer a voltage that is proportional to the flow rate, and for that we need a function
generator whose output is equal to the square root of its input. With an input voltage equal to
KLQ2, a square root function generator will produce an output voltage equal to ~(Q),
which is the desired linear signal. Figure 6.13a shows a square-root function generator used
to linearize the output signal from a flow transmitter.
An op-amp circuit for the square-root function generator is shown in Figure 6.13b. The
circuit is an inverting amplifier with a nonlinear element in the feedback path. The nonlinear
element has the following voltampere relationship:
(6.21)
Recall that the summing junction of the op amp is a virtual 0 V. Thus the voltage across R I is
and current i is easily determined by Ohm's law:
V F,

(6.22)

The output voltage V out is also easily determined:

(6.23)
202 • Chap.6 Signal Conditioning

Flow rate DIfferential Square root

Q .. pressure flow vr=KrQ'
transmiller
... function
generator
vL={K;Q
.
vr = KrQ 2 vL = VV;

a) A square root function generator is used to linearize the

output voltage of a differential pressure flow transmiller.

Vr -----'\N\r--*-'-='--t
>---......- - - vou,

v-i graph of nonlinear

element with R, = Ikil
v.... = -VNL
rnA
=-~ 100

= -y~, R,
i 50

o ......,=----+----+----l~ (v)
o 5 10

• Figure 6.13 A nonlinear function genera-

b) An inverting amplifier is used to make a square root function tor implements a square-root function to hn-
generator. earize the output of a How transmitter.

Combining Equations (6.21), (6.22), and (6.23) results in the following equation for V out in
terms of V F :
(6.24)
EXAMPLE A square-root function generator similar to Figure 6. I 3b uses a [-k!1 resistor for R I' Draw a voltam-
6.8 pere graph of the nonlinear element for values of current i from 0 to 100 rnA.

Solution
i(mA) 100

tNL (V) 4.47 6.32 [0.00

The vol!ampere graph is shown in FIgure 6.13b.

•
 • Sec. 6.4 Analog Signal Conditioning 203

6.4 ANALOG SIGNAL CONDITIONING

The type of signal conditioning required for a particular measurement depends on the elec-
trical characteristics of the primary element and the component that will receive the signal.
Typical conditioning includes galvanic isolation, common-mode isolation, impedance trans-
formation, amplification, noise reduction, signal conversion, linearization, compensation, and
calibration.
In the trend toward distributed control, the signal conditioning circuitry has moved close
to the sensor on the process floor. Signal conditioning is done in the individual measuring
transmitters, and it is done in signal conditioning systems using plug-in modules for various
functions. The plug-in modules are rack mounted in card cages that can accept 4, 8, or 16
plug-in modules. The following is a brief description of some typical plug-in modules."
A millivolt/thermocouple module accepts low-level dc voltage signals with a span as low
as 2 mY or as high as 55 mY. The zero can be adjusted from -5 to 25 mY. The module con-
verts the input to a high-level output such as a 4- to 20-mA current signal. The circuit pro-
vides isolation from dc and ac common-mode voltages of several hundred volts, and a
common-mode rejection ratio of 140 dB at 60 Hz. The module provides noise rejection, lin-
earization, cold junction compensation, and break detection for thermocouple inputs. The
module can be factory calibrated for a specified zero and span.
A resistance temperature detector (RTD) module accepts input from 100-0 platinum or
1O-D. copper RTD sensors. The input signal is converted to a high-level input such as a 4- to
20-rnA current signal. The module provides common-mode isolation from ac and dc voltages
of several hundred volts, and a CMR of 120 dB at 60 Hz. It also provides excitation for the
RTD sensor, lead wire compensation, noise reduction, linearization, and break detection. A
typical 98% response time is 0.25 s.
A frequency input module accepts pulse signals from digital tachometers, turbine flow
meters, and other sensors that produce a series of pulses. The frequency of the input pulses is
converted to a high-level voltage or current signal. The frequency range is selectable from
as low as 25 Hz to as high as 12 kHz. The 98% response time varies from 10 s for the low-
frequency range to 0.2 s for the high-frequency range.
The remainder of this section covers details of various signal conditioning operations.

Isolation and Impedance Conversion

To quote Lord Kelvin: "The act of measuring something destroys that which is measured."
Consider the problem of measuring the temperature of a small container of water with a ther-
mometer. Let's assume that the water temperature is 40°C and the temperature of the ther-
mometer is 22°C before the measurement takes place. The measurement consists of placing
the thermometer in the water and reading the thermometer after a temperature equilibrium has
been reached between the water and the thermometer. The equilibrium temperature depends
on the ratio of the heat capacities of the thermometer and the water. If the heat capacities are
equal, the equilibrium temperature will be 31°C, the average. Whatever the equilibrium tem-
perature is, it will be less than 40°C and greater than 22°C. Thus the act of measuring the tem-
perature of the water has changed the temperature.

'Serles 1800 Analog Signal Condiltoning System (Wixom. MIch.: Acromag).

204 • Chap.6 Signal Conditioning

One purpose of isolation and impedance conversion is to avoid, or at least minimize, the
destruction of "that which is measured ." An equally important purpose is to protect the mea-
suring instrument from "that which is measured." For example, a high common-mode voltage
can easily destroy an op-amp circuit unless the circuit is isolated from the high voltage.
Impedance transformation is one method of protecting the measured variable and the
measuring instrument from each other. The voltage follower, introduced in Section 6.3, does
this job quite well (refer to Section 6.3 for further details). When galvanic isolation is re-
quired, special amplifiers called isolation amplifiers are used. There are two methods that can
be used to obtain galvanic isolation: transformer coupling and optical coupling. A typical iso-
lation amplifier with transformer coupling has a capacitance of about 10 picoFarad (pF) be-
tween the input and the output circuits, and a CMR of about 120 dB. Optical coupling uses a
light beam to transmit the signal from the source circuit to the receiver circuit. This makes it
possible to remove all electrical connections between the two circuits.

Amplification and Analog-to-Analog Conversion

Changing the level of an analog signal is accomplished by either an inverting amplifier, a non-
inverting amplifier, or a differential amplifier. Sometimes it is necessary to convert the signal
from a voltage to a current or from a current to a voltage. Figure 6.14 shows simple op-amp
converter circuits.
The current-to-voltage converter in Figure 6.14a is a voltage follower with a resistor con-
nected from the noninverting input to ground. The input current, i m , passes to ground through

Vou , = VI =v2=ion R
R V out =lm R

a) Current-to-voltage converter

R
Vout

vono--------L/
VI=v2=V on =io",R
=
lou, von lR • Figure 6.14 Current-to-voltage and
voltage-to-current converters uSing the ideal
b) Voltage-to-current converter op-amp model.
 • Sec. 6.4 Analog Signal Conditioning 205

the resistor, making voltage V2 equal to imR. The output terminal is connected to the input,
making Vout = VI' Assuming that the op amp is ideal makes VI = V2, and by proper substitu-
tion, we get the following equation for the current-to-voltage converter:
(6.25)

E X AMP LE Design a current-to-voltage converter that converts a 20-mA input signal into a 5-V output signal.
6.9
Solution Equation (6.25) applies to this problem.

R = VOU! = _5_ = 250,0

im 0.02
The converter is the circuit in Figure 6.14a with R = 250 n.
•
The voltage-to-current converter in Figure 6.14b is a noninverting amplifier with the load
resistor placed in the feedback path where Rf is normally placed. The output current, iout,
passes to ground through load resistor RLOAD and scaling resistor R, making voltage VI equal
to ioutR. The input voltage is connected to the noninverting terminal, making Vz = Vin' For an
ideal op amp, VI = V2, and we get the following equation for the voltage-to-current converter:

(6.26)

EXAMPLE Design a voltage-to-current converter that converts a 12-V dc input signal into a 20-mA current signal.
6.10

Solution Equation (6.26) applies to this problem.

R= ~ = ~ = 600,0
i out 0.02
The converter is the circuit shown in Figure 6.14b with R = 600 n.
•
Bridge Circuits

A number of primary elements convert changes in the measured variable into small changes
in the resistance of the element. Strain gage force transducers, strain gage pressure tranduc-
ers, and resistance temperature detectors are three examples. A bridge circuit is the traditional
method of measuring small changes in the resistance of an element. The operation of a bridge
206 • Chap.6 Signal Conditioning

falls into two categories, balanced and unbalanced operation. In the balanced operation, the
resistance of the sensor is determined from the values of three other resistors whose values
are known with p·recision. In the unbalanced operation, the change in the sensor resistance
from a base value produces a small difference between two voltages. A differential amplifier
is used to amplify the difference between the two voltages.
A balanced Wheatstone bridge is shown in Figure 6.15. The unknown resistance of the
sensor is labeled Rs. Resistors R2 and R4 have fixed values for a given measurement. Resistor
R3 can be continuously adjusted over a calibrated range of values. The value of R3 is adjusted
until the meter in the center reaches a null position, indicating that Va = Vb and iab = O. When
this occurs, the bridge is said to be balanced. When the bridge is balanced, current i] passes
through resistors Rs and R2. Also, current i3 passes through resistors R3 and R4. Because Va =
Vb , it follows that the voltages across Rs and R3 are equal, as well as the voltages across R2

and R4 . Thus,
i]Rs = i)R3

i l R2 = i3R4
Dividing the first equation by the second yields
R, R)
(6.27)
R2 R4
R2
R =-R3 (6.28)
.• R4

If the value of R3 and the ratio R2/R4 are known with precision, the value of Rs can be deter-
mined accurately.

r-----~+ -~-----,

• Figure 6.15 Wheatstone bridge cirCUIt.

When the circuit is in the balanced condition,
R, = R2R3/R4
 • Sec. 6.4 Analog Signal Conditioning 207

EXAMPLE A Wheatstone bridge is used to measure an unknown resistor, R as shown in Figure 6.15. Resistor R3
6.11
" position. The known resistor values
is adjusted until the bridge is balanced and the meter is in the null
are R2 = 500 n, R3 = 226 n, and R4 = 1000 n.
Find the value of the unknown resistor, R,.

Solution Equation (6.28) applies to this problem.

R, = C5:)226 = 113n •
The Wheatstone bridge is useful for measuring the value of unknown resistors, but the
need to adjust resistors to obtain a null makes it unsuitable for use in modem control systems.
What we need is a method for automatically balancing the bridge in a manner that provides
a useful signal. The current balance bridge is one such method.
A self-nulling current balance bridge is shown in Figure 6.16. The adjustable resistor, R 3 ,
is replaced by two fixed resistors, R3a and R 3b . The smaller resistor, R 3a , is also connected to
the output of a null controller. The two null voltages, Va and Vb, are connected to the input of
an IA. The current on the IA input lines is negligible, due to the lA's very high input imped-
ance. The output of the lA, VOU !, is equal to its input, Va - Vb, mUltiplied by the gain of the IA
[see Equation (6.19)J. The null controller manipulates its output current, iN, such that it main-
tains the null condition (i.e., Va = Vb)' The null controller output current, iN. is a measure of
the change in the sensor resistance, Rs. We will now derive an equation for the value of iN that
will balance the bridge. The expression for Va is easily obtained by voltage division. and for
a balanced bridge, Vb = Va'

-
I=OA

I=OA
+--

• Figure 6.16 A self-nulhng current balance bndge. The instrumentatIOn ampli-

fier (IA) has a very high input impedence, so the current from the bridge to the IA
may be neglected. The null controller manipulates current iN to maintain the bridge
balance condition (i.e., Vb =Vd) ' See Example 6.12 for a detailed analysis.
208 • Chap.6 Signal Conditioning

Next we use Ohm's law and Kirchhoff's voltage law to detennine expressions for i3 and iN:

. Vb [ Vdc R2 ]
13 = R4 = R4(R 2 + Rs)

(i3 + iN)R3a + i3R3b + i3R4 = Vdc

iN R3a = Vd< - i3(R3a + R3b + R4)

iN = Vdc [1 _RiR3a + R3b + R 4 )]

(6.29)
R3a R4(R 2 + Rs)
Example 6.12 illustrates the use of a self-nulling current balance bridge to measure the
resistance of an RTD.

EXAMPLE The self-nulling current balance bridge shown in Figure 6.16 is used to condition the output of an RTD.
6. 12 The RTD has an input range of 0 to 100°C and an output range of 100 to 140 n. The RID resistance
element is labeled R, in the bridge circuit. The other bridge resistance values and the supply voltage are

The bridge is balanced when R, = 120 n and iN = O. We choose the mid-range resistance for the null
current balance to minimize nonlinearity in the output current, iN'
Determine the values of the null controller current, iN, when the RTD temperature is 0, 25, 50, 75,
and 100°C.
Determine the equation of the zero-based linearity line and express the nonlinearity as a percent-
age of the output span.

SolutIOn I . Determine Va and Vb when R, = 120 n and iN = 0 A.

R2)
va = Vde ( - - -
R2 + Rs
= 10 -20 = 8.9286 V
11
(1000)
1000
Vh = Vd ( R4 ) = 10(1 120) = 8.9286 V
c R3a + R3b + R4

The bridge is balanced as it should be.

2. Use Equation (6.29) to determine iN for the following values of R,: 100, 110, 120, 130, and
1400.

iN = Vd<
RJa
[I _ R2(R Ja + R3b + R4)]
R4 (R 2 + R,)

i = ~[l _ 1000(10 + 110 + 1000)]

N 10 1000(1000 + R,)
. 1 1120
IN = - (1000 + R, )

The results are presented in the first three columns of the table at the end of this example.
• Sec. 6.4 Analog Signal Conditioning 209

3. The zero-based linearity line extends in both directions from the point where iN = 0 rnA and
Rs = 120 n. The line is positioned such that it is an equal distance from iN at each extremity.
We will use LN for the y-coordinate of the zero-based line. The magnitude of LN at each ex-
tremity is determined by averaging the magnitude of iN at each extremity.

When R, = 140, LN = (17.544 + 18.182)/2 = 17.863 rnA

When R, = 100, LN = -17.863 rnA
The equation of the zero-based linearity line is determined by the following two points:

R, = 1200 LN = 0.0 rnA

Rs = 1400 LN = 17.863 rnA

Zero-based linearity line LN = O.89315R, - 107.178

The values of LN, LN - iN, and the percentage of difference are in the last three columns of the
table below.

T ( OC) R., (il) iN (rnA) LN (rnA) L N- iN % Diff.

0 100 -18.182 -17.863 0.319 0.89

25 110 -9.009 -8.931 0.078 0.22
50 120 0.000 0000 0.000 0.00
75 130 8.850 8.931 0.081 0.23
100 140 17.544 17863 0.319 0.89

>-_>----0 Vout
vb~~~~~>--~

- Rf(v - v)
VOUI - If b a
a(1 - a)e] V a
[ 1 + ae dc

= Rf [a(1 - a)e ] V
Ra 1 + ae de

• Figure 6.17 Unbalanced Wheatstone bridge and instrumentation amplifier CIr-

cuit. The purpose of the circuit is to produce an output voltage that IS proportional to
the difference between R3 and Rba ,.
210 • Chap.6 Signal Conditioning

The unbalanced Wheatstone bridge is another method for obtaining a signal suitable for
use in a control system. The output of the unbalanced bridge is usually connected to the in-
put of an instrumentation amplifier as shown in Figure 6.17. The values of resistors Rz, R3 ,
and R4 are set such that the bridge is balanced when Rs is at a predetermined base value. We
will call this base resistance value RhaJ for balanced resistor value. Equation (6.30) expresses
RbaJ in terms of resistors R2 , R 3 , and R4 .

(6.30)

The purpose of an unbalanced bridge circuit is to produce an output voltage that is pro-
portional to the difference between R, and RbaJ . To simplify and normalize the unbalanced
bridge equation, we introduce two additional parameters: E and a. The first parameter, E, is
the fractional difference between Rs and RbaJ as defined by Equation (6.31):

(6.31)

Notice that lOOE is the percentage difference between Rs and RbaJ •

The second parameter, a, is the voltage divider ratio for the voltage across resistor R3 as
defined by Equation (6.32).

R)
a = ----=-- (6.32)
R) + R4

The bridge equation is developed by applying the voltage divider rule to write equations for
Va, Vb,and Vh - Va' reducing the equations, and using the parameters defined in Equations
(6.30) to (6.32).

Vb - Va ' ( R4 R2) (6.33)

Vdc = R) + R4 - Rs + R2

We now proceed to convert the right-hand side of Equation (6.33) to a function of a and
E. The first step is to combine the two terms into a single fraction:

Vb - Va R/?4 + R2R4 - R2RJ - RzR4

Vdc (R3 + R4)(R, + R2)
In the numerator, use -R2R4 to cancel R 2 R4 , replace R2R3 by RbaJ R4 , and factor out R4 . In the
denominator, replace R2 by RbaJR.JR3' Equation (6.30) was used for both replacements.

Vb - Va R4(Rs - RbaJ )
Vdc (R, + R4)(R\ + RbaJ R4/R))
• Sec. 6.4 Analog Signal Conditioning 211

Now multiply the numerator and denominator by R3(R3 + R4 )/Rbal and rearrange the terms
as follows:

By Equation (6.32):

and

By Equation (6.31):

=€

Adding and subtracting Rbal R3 in the last term in the denominator changes nothing but does
facilitate its reduction.
R/?3 + RbalR4 R/?3 + RbalR4 + RbalR3 - RbalR3
(R3 + R4 )Rbal (R3 + R4 )Rbal
(R3 + R4 )Rbal + R3(Rs - Rbal )
(R3 + R4 )Rbal
= 1 + a€
Finally,

Vb - Va = a( 1 - a) ( € ) (6.34)
Vdc I + a€

For very small values of €, Equation (6.34) reduces to

(6.35)

Table 6.1 gives the percentage difference between the result using Equation (6.34) and the
result using Equation (6.35). For values of € less than or equal to 0.01, the difference is less
than 1%.
The instrumentation amplifier in Figure 6.17 isolates the bridge with its high input im-
pedance and multiplies the bridge output, Vb - Va, by the amplifier gain, Rf/Ra . Equation
(6.36) defines the amplifier output, Vout .

V
out
= RJ [a( 1 - a)
Ra 1 + a€
E] V de
(6.36)
212 • Chap. 6 Signal Conditioning

• TABLE 6.1 Values of the Percentage Difference Between Results from Equation (6.34) and
Results from Equation (6.35)

Ct

E 0.0 02 0.4 0.6 0.8 1.0

0.0001 0.000 0002 0004 0.006 0.008 0.010

0.0010 0.000 0.020 0.040 0.060 0.080 0.100
0.0100 0.000 0.200 0.398 0.596 0.794 0.990
0.1000 0.000 1.961 3.846 5.660 7.407 9.091

Example 6.13 illustrates the use of an unbalanced bridge to measure the output of a re-
sistance temperature detector.

EXAMPLE The unbalanced bridge in Figure 6.17 is used to condition the resistance of the RTD described in Ex-
6.13 ample 6.12. The parameters in Figure 6. 17 have the following values:

Rs = RTD resistance element (range = 100 to 1400)

R2 = R4 = 10000 RhOI = 1200

R/R" = 100
Determine the values of the V"UI for the following RTD temperatures: 0.25 , 50, 75, and 100°C.
Determine the equation of the zero-based linearity line and express the nonlinearity as a percent-
age of the output span.

SolutIOn Equation 6.36 applies to this problem. The value of a is given by Equation (6.32) and E is given by
Equation (6.31).

a = R3 : ' R4 = 120 ~~ooo = 0.107143

I - a = 0.892857

a(1 - a) = 0.09566327

Rf
Vdc - = 1(100) = 100
Ra

_ [(0.107143) (0.892857)E]
Uour - 100 ( )
1+ aE

U nU1 = 9.5663265 [( I +E aE)]

• Sec. 6.4 Analog Signal Conditioning 213

The results are presented in the following table:

T(°C) R, (0) E 1+ llE V OU ! (V)

0 100 -0.16666 098214 -1.6234

25 110 -0.08333 099107 -0.8044
50 120 0.0000 1.00000 0.0000
75 130 +0.08333 1.00893 0.7901
100 140 +0.16666 1.01786 1.5664

The equation of the zero-based linearity line is

LN = O.079745Rs - 9.5694, V
The values of L N, LN - VOU !, and the percentage difference are in the table below:

T(OC) R, (fi) VOU! (V) LN(V) Dlff. %Dlff

0 100 -1 .6234 -1.5949 0.0285 0.89

25 110 -0.8044 -0.7975 0.0069 0.22
50 120 0.0000 0.0000 0.0000 0.00
75 130 0.790\ 0.7974 0.0073 0.23
100 140 1.5664 1.5949 0.0285 0.89

•
Noise Reduction

Control systems exist in an environment filled with high levels of electromagnetic energy just
waiting to produce noise in electric signal lines. The best noise reduction system is one that
prevents the noise from ever getting to the signal. Noise prevention consists of careful
grounding of signal lines and shielding of cables to keep the signals as free of noise as pos-
sible. Despite the best noise prevention effort, some noise will appear in the control signals.
Special circuits called filters are designed to reduce the level of the noise in the signals. Ac-
tually, filters can be used to reduce everything in a specific range (or band) of frequencies .
The terms low-pass filter, band-pass filter, high-pass filter, and notch filter name various fil-
ters according to the band of frequencies they allow to pass through unaffected.
Before going on, we should pause a moment and consider the frequency components of
a signal. Everyone is familiar with the fact that we can tune a radio to receive different sta-
tions. Each station is assigned a carrier frequency on which it superimposes its voice and mu-
sic signals. A radio antenna receives the carrier signals from all stations in its vicinity, but the
radio receiver is sensitive to only one carrier at a time, depending on the position of the tuner.
You select a different station by moving the tuner to a different position.
In the discussion of filters, we view control signals as a collection of signal components
with different frequencies. The term component, as used in the following discussion, refers to
a frequency component of a control signal. A filter chooses to accept certain frequencies and
reject other frequencies. The Bode diagram tells us which frequency components the filter re-
duces and how much each component is reduced. In this section we construct Bode diagrams
of a low-pass filter and a notch filter.
214 • Chap. 6 Signal Conditioning

A low-pass filter does not affect the components of a signal that are below a certain fre-
quency called the break-point frequency, lb' All components of the signal that are above the
break point are reduced in amplitude, and the higher the frequency, the greater the reduction.
Low-pass filters are very common in signal conditioning because most of the useful informa-
tion in the signal is in the low-frequency components. Because noise tends to occur at the
higher frequencies , a low-pass filter can often be designed to reduce the noise without affect-
ing the information content of the signal.
A high-pass filter is just the opposite of the low-pass filter. It does not affect the compo-
nents of the signal that are above the break-point frequency. All components of the signal that
are below the break point are reduced in amplitude, and the lower the frequency, the greater
the reduction. High-pass filters do not make much sense in control, for the same reasons that
low-pass filters are useful.
A band-pass filter has two frequency values, called the half-power frequencies, that are
separated by a frequency range called the bandwidth of the filter. The band-pass filter has lit-
tle or no effect on components of the signal that are between the two half-power frequencies.
All components of the signal that are outside the half-power frequencies are reduced in ampli-
tude, and the farther they are from the half-power frequency, the greater the reduction . The ra-
dio tuner is an adjustable band-pass filter that accepts one station and rejects all other stations.
A notch filter is just the opposite of the band-pass filter. The notch filter also has two half-
power frequencies separated by the bandwidth. However, the notch filter reduces all compo-
nents of the signal between the two half-power frequencies and does not affect the compo-
nents on either side. The maximum reduction of the signal occurs at the midpoint between the
two half-power frequencies. Much of the noise in a process signal occurs at particular fre-
quencies, such as the 60-Hz noise generated by electric power lines. Notch filters are good for
removing a particular frequency component, such as the 60-Hz noise component of a signal.
Low-pass filters and notch filters are the most common noise reduction circuits.
Three low-pass filter circuits are shown in Figure 6.1S. The first circuit is a passive RC
low-pass filter. This is the same circuit we analyzed in Chapter 4 (see Figure 4.3). The time-
domain equation and transfer function were also developed in Chapter 4. The two equations
are given below with the letters e and E replaced by the letters v and V:

dv
ou ! (4.10)
T-- + V OU! = Vin
dt
V OU!
-=--- (4.27)

where T = RC.
One problem with the passive circuit in Figure 6.1Sa is that the equation of the circuit
changes when a load resistor is connected to the output terminal. The break-point frequency
is thus dependent on the load resistor-a very undesirable situation because it means we can-
not design the filter until we know the exact size of the load resistance. Any time the load re-
sistance changes, the filter must also be changed.
The active filter in Figure 6.ISb uses a voltage follower to isolate the filter circuit from
the load resistance. The active filter break-point frequency is not affected by the load resis-
tance value. If the input impedance of the source, V m , is a problem, a voltage follower can be
used to isolate the input as well. Equations (4.10) and (4.27) also apply to the active circuit
in Figure 6.1Sb.
 • Sec. 6.4 Analog Signal Conditioning 215

a) Passive low-pass filter

b) Active low-pass filter

V OU! • Figure 6.18 The passive RC circuit (a) IS

the simplest low-pass filter. Adding the voltage
follower (b) isolates the filter from the load re-
C C sistor. Adding a second isolated stage results in
a two-stage active low-pass filter (c) with twice
c) Two-stage active low-pass filter the attenuation of the single-stage filter.

A two-stage active low-pass filter is shown in Figure 6.ISc. This circuit has twice the re-
duction power of the single-stage circuit. We will use the frequency domain to develop the
transfer function of the two-stage filter from the transfer functions of each stage.

(6.37)
(I + Ts)(l + TS)

(6.38)

EXAMPLE Use the program BODE to generate frequency response data for a two-stage active lOW-pass filter with
6.14 a time constant, T = 0.01. Plot the Bode diagram of the filter and determine the attenuation at a fre-
quency of 60 Hz (i.e., w = 377 rad/s).

Solution The Bode diagram is shown in Figure 6.19. The gain at 377 rad/s is -23.6 dB, so the attenuation is
23.6 dB. The gain can also be computed from the transfer function by Subslltutingj377 for w .
. I
Gam (atw = 377) = [I + j377(0.01)][1 + j377(0.01)]

. I
Gam = (3.90/ 75 0 )(3.90L2D = 0.0657 /-150°
Decibel gain = 20 logl o(0.0657) = -23 .6
•
216 • Chap.6 Signal Conditioning

10

O~ ____ ~

] -10

~
c
.<;
o -20
-23 .6 dB at
w = 377 radians/second

-30

• Figure 6.19 Bode diagram for the two-

stage active filter circuit with a time constant
T = 0.0 I s (Example 6.14). The attenualJon at
W, radians/second 60 Hz (377 rad/s) IS 23.6 dB.

Filter Design

The design of a low-pass filter consists of determining the filter time constant, 7 [i.e., the co-
efficient of s in the denominator of Equation (4.27) or Equation (6.37)] . The following rules
are intended for attenuation factors of 10 or more. For a single-stage low-pass filter, the time
constant (7) is equal to the attenuation factor (A) divided by the radian frequency (w,) of the
component you wish to attenuate. For a two-stage low-pass filter, the time constant is equal
to the square root of the attenuation factor divided by W s. These two rules are summarized in
the following equations:
. A
Smgle-stage filter: 7 = - (6.39)
w,

Two-stage filter:
VA
7 = -- (6.40)
w,
where T = filter time constant, s
amplitude before filtering
A = --'---------=-
amplitude after filtering
w, = frequency to be filtered, radls

EXAMPLE Design a single-stage, active, low-pass filter that will provide an attenuation factor of 25 for a 60-Hz sig-
6.15 na\. Calculate the resistor size required if a I O-J1.F capacitor is used in the RC circuit.

Solulion w., = 377 rad/s (60 Hz)

T = A/w, = 25/377 = 0.0663 s
R = T/C = 0.0663/ lOE - 6 = 6.63 kO
•
 • Sec. 6.4 Analog Signal Conditioning 217

EXAMPLE Design a two-stage, active, low-pass filter that will provide an attenuation factor of 200 for a 60-Hz
6 . 16 signal. Calculate the resistor size required if 1O-p,F capacitors are used in the two RC circuits.

Solution w., = 377 rad/s (60 Hz)

T = VA/w , = V2OO/377 = 0.0375 s

R = T/C = 0.0375/IOE - 6 = 3.75 kD.

A notch filter produces a V-shaped curve on the Bode amplitude diagram. The notch of
•
the V is located at the frequency of the component to be attenuated. Equation (6.41) gives the
transfer function of a notch filter.

(1 + 'T..s)( 1 + T..s)
(6.41)
(1 + kT,s) (1 + ~ s)
where Ts = l/w.,
w, = frequency to be filtered, rad/s
k = number determined by the attenuation factor
A value of k = 20 produces an attenuation factor, A, of slightly more than 10. Values of k for
other attenuation factors can be determined experimentally, using the program BODE to ver-
ify the attenuation factor obtained.

EXAMPLE Design a notch filter that will attenuate a 60-Hz signal component by a factor of 10. Use the program
6.17 BODE to generate frequency response data and plot the Bode diagram amplitude curve.

Solution The first step is to determine the coefficients in Equation (6.41) and multiply the numerator and de-
nominator binomials to prepare the equation for use in the program BODE.

w , = 27T(60) = 377 rad/s

1
T, = 377 = 0.002653 s

h, = 20(0.002653) = 0.05305 s
T, 0.002653
20 = 20 = 0.0001326 S

VOllI (I + 0.002653s)(1 + 0.002653s)

V In (I + 0.05305s)(1 + 0.0001326s)
VOllI 1 + 5.31 X 1O- 3s + 7.04 X 1O- 6s 2
Von I + 5.32 X 10- 2 + 7.04 X 1O- 6s 2

The Bode diagram is shown in Figure 6.20.

•
218 • Chap. 6 Signal Conditioning

10

o_-_~

j -10

~
C
.(U
o -20

- 20 dB al 60 hertz
(377 radians/second)
-30

• Figure 6.20 Bode diagram of a notch filter

designed to produce at least 20 dB of attenua·
tIon at 60 Hz (377 rad/s). See Example 6.17 for
Ill. radians/second details

Linearization

The ideal measuring instrument produces a linear calibration curve in which the output goes
from 0 to 100% of the output range as the input goes from 0 to 100% of the input range. Some
primary elements. such as a platinum resistance detector, produce a very linear signal, and the
right amount of amplification will produce a nearly ideal calibration curve. Other primary el-
ements produce nonlinear outputs, and the signal must be linearized to produce a nearly ideal
calibration curve. We will examine the linearization of two nonlinear signals. The first non-
linear signal involves the measurement of liquid flow rate with an orifice and differential pres-
sure (tlp) transmitter. The second involves the measurement of the volume of a round liquid
tank that is resting on its side.
Figure 6.21 illustrates the measurement and linearization of liquid flow rate when the
flow is turbulent. The flow meter consists of the orifice and differential pressure transmitter,
which produces an output, tlp, that is proportional to the square of the flow rate, Q. If we ex-
press both signals as a percentage of their full-scale range, the equation for the output of the
flow meter is given by Equation (6.42).
tlp = PI - P2 = 0.01Q2 (6.42)
The table on the left in Figure 6.21 shows corresponding values of tlp and Q over the range
of the measurement. Notice the obvious nonlinearity of the output, tlp. At a flow rate of 20%,
tlp is only 4%; at a flow rate of 50%, tlp is only 25%. One way to handle a nonlinear signal
is to plot the calibration curve on nonlinear graph paper. A square-root scale will linearize the
signal from the tlp transmitter. However, the preferred method of handling the signal is to lin-
earize the signal with a signal conditioning component that we will call a linearizer.
• Sec. 6.4 Analog Signal Conditioning 219

Orifice
Differential
flow meter
pressure
transmitter

Liquid flow h
rate, Q ---I,..._______---J~""__ _ _ _ _ _ __
P2

Onfice IlP
Q Linearizer
flow meter
IlP = 0.01Q2
Cm = IOVM
\ J
v

Q IlP IlP Cm

0 0 0 0
10 I I 10
20 4 4 20
30 9 9 30
40 16 16 40
50 25 25 50
60 36 36 60
70 49 49 70
80 64 64 80
90 81 81 90
100 100 100 100

• Figure 6.21 An onfice flow meter produces a !:J.p signal that IS proportional to
the square of the flow rate, Q. By forming the square root of its input sIgnal, the lin-
eanzer produces an output that is proportIonal to the flow rate, Q.

The output of the /lp transmitter, /lp, is the input to the linearizer. The output of the Iin-
earizer em is also expressed as a percentage of the full-scale range. The design goal of the lin-
earizer is to produce an output that is exactly equal to the flow rate signal, Q, as given by the
equation
(6.43)

The mathematical description of the linearizer is the inverse of the function that describes the
flow meter. We can obtain the inverse function by solving Equation (6.42) for Q and then sub-
stituting em for Q in the resulting inverse function.
0.01Q2 = /lp
=
Q2 100/lp

Q= YlOO /).p
em = 10 v'LlP (6.44)

The table on the right in Figure 6.21 shows corresponding values of /lp and em over the range
of measurement. Tracing a few signals through the two tables will verify Equation (6.43). For
example, a flow rate of 20% produces a /lp of 4%, which in tum produces a em of 20%. The
220 • Chap.6 Signal Conditioning

input/output curves of the flow meter and the linearizer are plotted in Figure 6.22. A function
and its inverse have an interesting and useful graphical feature. The two curves produce a pat-
tern that is symmetrical about the line y = x. We can use this symmetry to plot the graph of
the inverse of any nonlinear calibration curve. When we do this, we are producing the curve
that defines the linearizer for that nonlinear signal. Another way of defining the linearizer is
to produce a table of values similar to the table on the right in Figure 6.21. This table was con-

100 ../"'.

/ '~ /j
e. = o. ~ ~56Ll p+ ~ ~.~ ~ V /
./

V ./ /
80
V
('
~
)
V

~ ~ /
Five step ppro Imat on
of e =10
(Ii~ ~ariz€ r)
lIM
.......
,," V/ L
,J ", ~ ....-~ Ve =0. 143 ~p+ ~.29 1/
'5
Q.
'5 60
... ",
./ V I
...
./ )'-"
0 /1'
/
V-
...'t:"
N

:E'" ",
I--

....-/ /
/" / / /
0
c(
<l
",/
",
/ m- p+ :4 /
ci.
2
40 1/
./
....-
./V /
"~ /j ~--'
~
/....- /
~
0..
./
/
VI /- t.........

/
/
I V< m=1 5625 P+ 5
/ '-...
t.P 0.01 ~2

20
II L
(tIO met r)

/1 /
IJ ( V
V
/1 em 6.25 ':J'
V
'I) ~
.,........ , . /
o
o 20 40 60 80 100

• FiguTe 6.22 A piecewise-Imear approximation is one way to implement a non-

linear funclIon. Here the inverse of the square functIOn. C:ip = 0.0 I Q2. IS formed by a
five-segment pieceWise-linear approximatIOn. With careful se lection of the hnes, the
error In the top 65% of the curve can be limited to about 0.5% of full-scale range.
 • Sec. 6.4 Analog Signal Conditioning 221

• TABLE 6.2 Comparison of the Midpoints of the line

Segments with the Corresponding Ideal Values a

!:J.p Ideal Cm Approx.imate Cm Error (%)

I 10 6.25 3.75
9 30 29.06 0.94
25 50 49.00 1.00
49 70 69.29 0.71
81 90 89.44 0.56

a All values are a percentage of full-scale range.

structed by switching the two columns from the table on the left and changing the heading on
the flow rate column from Q to Cm'

The Iinearizer can be defined mathematically by the inverse of the function that defines the pri-
mary element. It can be defined with a table by switching the columns of the primary element
table and renaming the left column. It can be defined graphically by constructing the curve that
completes the symmetry about the line y = x.

Once the linearizer is defined by one of the preceding three methods, we are faced with
the problem of implementing the definition in an electric circuit. An operational amplifier
makes an excellent function generator. However, it requires an electrical component that has
a nonlinear voltampere characteristic that matches either the primary element function or its
inverse. Refer to Section 6.3 for details on the op-amp circuits for generating functions . An-
other approach to implementing the linearizer is to construct an approximate inverse function
by a set of straight lines, each forming a portion of the nonlinear curve. This type of function
is called a piecewise-linear junction.l2&..ure 6.22 uses a five-step piecewise-linear function to
approximate the function Cm = 10 V /1p. Each of the five lines covers 20% of the C m scale.
For simplicity, only one of the break points is not on the ideal curve. The point at Cm = 20%
was moved from /1p = 4 to /1p = 3.2. All other endpoints are on the ideal curve. Table 6.2
of corresponding values at the midpoints illustrates the accuracy of the approximation. The
errors above C m = 35% can be reduced to about 0.5% by moving the endpoints until the max-
imum error is minimized. This will be left as an exercise for the student.
E X AMP LE Construct a five-step, piecewise-linear approximation of the function defined by the input/output table
6.18 below. Locate the endpoints on the curve at the following input values: 0, 20,40,60,80, and 100. Com-
pute the slope and intercept of each line segment, write the equation for each segment, and construct an
error table similar to Table 6.2. Move the endpoints to reduce the largest errors and write the equations
and the error table for the second set of line segments.
Input Output Input Output Input Output
0 3.0 35 33.2 70 72.8
5 7.0 40 38.7 75 77.1
10 11.0 45 44.6 80 81.2
15 15.2 50 50.4 85 85.2
20 19.5 55 56.4 90 89.3
25 23.8 60 62.1 95 93.2
30 28.3 65 67.8 100 97.0
222 • Chap.6 Signal Conditioning

Solution We will proceed as follows:

1. Use m = (Y2 - YI)/(X2 - XI) to compute the slope of each line segment.
2. Use b = YI - mxl to compute the intercept of each segment.
3. Use Y = mx + b to write the equation of each line.
The results are summarized in the following two tables.

Endpoints and Equations of the Line Segments

Line No. (XI> y ,) (X2. Y2) Equation

la 0. 3.0 20. 19.5 Y = 0.825x + 3.0

2a 20.19.5 40, 38.7 Y = 0.960x + 0.30
3a 40,38.7 60, 62. 1 Y = 1.l70x - S.IO
4a 60. 62.1 80, SI 2 Y = 0.955x + 4.80
5a SO, SI.2 100,97.0 Y = 0.790x + 18.00

Midpoint Error for Each Line Segment

Input Ideal Output ApproXimate Output Error

10 11.0 11.25 -0.25

30 283 29.10 -0.80
50 50.4 50.40 0.00
70 72.S 71.65 1.15
90 89.3 S9.1O 0.20

The two large errors are in line segments 2a and 4a. One way to reduce the error is to make these two
segments smaller. We chose to move the second endpoint from 20 to 30 and the fourth endpoint from
60 to 70. The results are as follows:

Endpoints and Equations of the Line Segments

Lme No. EquatIOn

Ib 0, 3.0 30,28.3 Y= 0.S43x + 3.0

2b 30, 28.3 40,3S.7 Y= l.040x - 2.90
3b 40, 38.7 70, 72.8 Y= 1./37x - 6.77
4b 70, 72.S 80, SI.2 Y= 0.840x + 14.00
5b SO. SI.2 100,97.0 Y= 0.790x + IS.OO

Midpoint Error for Each Line Segment

Input Ideal Output Approximate Output Error

15 152 15.65 -0.45

35 33.2 33.50 -0.30
55 56.4 55.77 0.63
75 77. 1 71.05 0.10
90 S93 89.10 0.20
• Sec. 6.4 Analog Signal Conditioning 223

Further reduction is possible with a careful selection of the endpoints. Sometimes moving the endpoints
off the line helps to reduce the error. A large, accurate graph is very helpful in determining the endpoints .

In the flow example, the equation of the inverse function was easy to determine. In the
•
second example, the inverse function is more difficult to determine, so we resort to graphical
and tabular methods to define the linearizer. Figure 6.23a illustrates a liquid storage tank rest-
ing on its side with the axis in a horizontal position. The input to the sensor is the level, h, of
the liquid in the tank. The output of the sensor is a nonlinear volume signal designated by VNL
(the NL subscript indicates that we consider the output of the sensor to be a nonlinear mea-
surement of the volume in the tank). The graph of h versus VNL forms an S-shaped curve as
shown below the sensor in Figure 6.23c. The output from the sensor, VNL , is the input to the
linearizer. The output of the linearizer, VUN , is such that a graph of h versus VUN is the

~r--V

h = height of liquid in the tank v= volume of liquid in the tank

(a)

h
- Sensor
VNL = I(h)
V NL

(b)
VUN =
Linearizer
J I (VNtl
r----

(c) w:L..L...L...........LJL...L...L..I.
h

(e) 1U...L...1...L...1....l....l...1....L~
h

• Figure 6.23 A nonlinear signal result~ when liquid level is used to mea~ure the
volume of liqUid in a round tank resting on lis side. The graph of the liquid level, h,
versus the volume in the tank forms an S-shaped curve. The hneanzer must form a
reverse S-shaped curve to hneanze the signal.
224 • Chap.6 Signal Conditioning

• TABLE 6.3 Values of Height, h, versus Volume, VNL , for the Sensor in Figure 6.23 a

h VNL It VNL h VNL. h VNL.

0 0.0 25 19.6 55 56.4 80 85 .8

5 1.9 30 252 60 62.7 85 90.6
10 5.2 35 31.2 65 68.8 90 94.8
15 9.4 40 37.3 70 74.8 95 98.1
20 14.2 45 436 75 80.4 100 100.0
50 50.0

" Value, are a percentage of full-scale range.

straight line at the bottom in Figure 6.23e. The required graph of the linearizer is the reverse
S-shaped curve shown under the linearizer in Figure 6.23d.
The equation that defines the volume in the tank as a function of the height, h, is quite
complex, so complex, in fact, that we will use an equation that defines the volume of the tank
from empty to half full. Then we will use the obvious symmetry of the tank to complete the
curve for the top half. In the following equations, h is the height of the tank, r is the radius of
the tank, and VNL is the output of the level sensor. The following equations define the volume
of liquid in the bottom half of the tank:
h
k=-
r

a = tan
_I [Vk(2 - k)] (6.45)
k-I
50(0' - sin a)
VNL = --'---------'- (6.46)
7T

More accurate graphs of VNL versus hand VUN versus VNL are shown in Figure 6.24.
Table 6.3 was used to construct the two curves in Figure 6.24.

6.5 DIGITAL SIGNAL CONDITIONING

Digital control systems are used in a wide variety of industries to increase productivity and
efficiency. Industries that use digital control systems include food processing, oil refining,
chemical processing, steel production, automobile manufacturing, and many others. Digital
control systems are also used in many of the products we buy. In automobiles, for example,
a microprocessor-based system controls fuel flow and spark timing to achieve optimum en-
gine performance.
Most of the physical parameters in a process are analog signals. Digital systems must be
able to convert these analog signals into digital form for processing by the computer. This is
the job of the data acquisition system shown in Figure 6.25. In a sense, the data acquisition
system is the "eyes and ears" of the digital computer. The computer must also be able to con-
vert its digital control actions into analog form for input to the analog actuators. This is the
job of the data distribution system, also shown in Figure 6.25. In a sense, the data distribu-
 100
Sensor
1
z /
::i
;::.. ?/
80 ;
--
oJ
e:::I Sensor output - -...¥ /~
~ VNL = 75%

1
Linearizer
lil
u
II" output
:E 60 ,I" V L = 70%
... "/ Linearizer
0
.:; input
~ VLlN = rl(VNd /~ VNL = 75%

i:s 40 (Iinearizer)
~~
/'"
'0
~7
>
lil
u
.s
"2
0
20
/-"
Z
,-
I • Figure 6.24 Input versus output curves for
0 the sensor and the linearizer for measurement of
0 20 40 60 80 100
the volume of liquid in a round tank resting on
Height. h. or nonlinear volume. VNL its !.Ide.

Data Acquisition System

I
I Signal conditioners -
I Primary o amplifier Analog-to- I I"

Physical
sensmg o low-pass filter I- 1--+ Sample ~ digital :=c)
I element olineanzer hold converter I v

-
I parameter
o function generator
I
I
.---
{
I
I
Other analog •
I
I
input channels ~
I
I
I

r
Computer data bus

l.----------.....1\.", :--------D:ta-D~s~lb~t~O:S~s~; - - - - - - - - - - -:

-
v
/ Digital computer
0 digital conditioning
o data storage
- /
-v L\
~ Register ------+
Digltal-
to-analog Actuator
I
I
I

o data display I converter Physical I

parameter I
o control functions I
} Other digital output channels I
I
IL ____________________________ _I

•
• Figure 6.25 The data acquisition system is the "eye!. and ears'· of a digital con-
trol system; the data distnbution syMem is II!. "hands and arms."

225
226 • Chap.6 Signal Conditioning

tion system is the "hands and arms" of the digital computer. Data acquisition and distribution
involve two very important concepts: data sampling and data conversion.

Data Sampling

Data sampling is a process in which a switch connects momentarily to an analog signal in a

sequence of pulses separated by evenly spaced increments of time called the sampling inter-
val. You can also visualize data sampling as the result obtained by mUltiplying the analog sig-
nal by a series of pulses with an amplitude of I, a very narrow pulse width, and a period equal
to the sampling interval. Figure 6.26a shows an analog signal, Figure 6.26b shows a series of

f---------------------~._--------~~--------~ TIme

a) Analog input signal

V I r IIIIIIII1111
~ Time
b) Data sampling function

c) Sampled signal

Time

d) Sampled and held signal

• Figure 6.26 A sampled SIgnal (c) may be viewed as the product of the analog
input signal (a) multiplied by the data ~amphng function (b). If the data samples are
held unlll the next sample (d) , the resulting SIgnal IS a stalfstep approxImation of the
analog sIgnal.
• Sec. 6.5 Digital Signal Conditioning 227

sampling pulses, and Figure 6.26c shows the sampled signal. If the sampling switch is re-
placed by a sample-and-hold circuit, each sampled value is held until the beginning of the
next sampling interval, as shown in Figure 6.26d. The sampled and held signal gives a
stairstep approximation of the original signal.
The sample-and-hold circuit is used to hold a sample of an analog signal as it is converted
to a digital signal by an analog-to-digital converter. Refer to Figure 6.27 for the sample-and-
hold circuit diagram. The sample-and-hold device has a signal input, a control input, and an
output. It operates in two modes: the sampling or tracking mode when the switch is closed
and the holding mode when the switch is open. The ideal sample and hold takes a sample in
zero time and holds the signal value indefinitely with no degradation of the signal. This ideal
circuit is called a zero-order sample and hold.
A practical sample-and-hold circuit varies from the ideal in a number of parameters. The
following are some parameters of a practical sample-and-hold circuit:
1. The acquisition time is the time from the instant the sample command is given until
the output is within a specified band of the input. This is determined by the size of the
input resistor and the holding capacitor. These two elements form a first-order lag with
a time constant equal to the product of the resistance times the capacitance value.
Time constant = T = RinC

An acquisition time equal to 5 times the time constant is enough for the output to
reach 99.3% of the total change to the new input value. This assumes that the input is
constant during the sampling period.
2. The aperture time is the time it takes for the switch to open. It is the time between the
hold command and the time the switch is completely open.
3. The decay rate is the rate of change of the output in the holding mode. It is caused by
leakage through the capacitor and the small current that enters the op amp through the
inverting input.
Data sampling raises two obvious questions:
l. How often must we sample a signal to get all the information in the original signal?
2. What happens if we do not sample often enough?
The Nyquist criterion answers the first question, and the explanation of the Nyquist cri-
terion will reveal the answer to the second question. The Nyquist criterion may be stated as
follows:

All the information in the original signal can be recovered if it is sampled at least twice
during each cycle of the highest-frequency component.

• Figure 6.27 A sample-and-hold circuit has

a signal Input, a control mput, and an output. It
operates in two modes: the sampling or tracking
Control
Input c mode when the switch is closed and the holding
mode when the switch IS open.
228 • Chap. 6 Signal Conditioning

If fh is the highest frequency that occurs in the original signal, then the mInimum
sampling rate is given by the following equation:
Minimum sampling rate = !s(min) = 2fh (6.47)
We can gain some insight into the Nyquist criterion by considering the frequency spec-
tra of the original signal and the sampled signal. Figure 6.28a shows a typical frequency spec-
trum of an analog signal. A frequency spectrum is simply a plot of the maximum voltage of
each possible component of a signal versus the frequency of that component. The main point
in Figure 6.28a is that there are no components of the original signal with a frequency greater
thanfh'
The data sampling function is represented in Figure 6.26b as a series of pulses spaced Is
apart. This sampling function can be represented by an infinite series of sinusoidal compo-
nents called a Fourier series. This series has components with frequencies of J" 21s, 31s, . . . ,
nf" . .. , etc. If we visualize the sampling process as the multiplication of the original signal
by the sampling function , then, in effect, we have amplitude modulation of the original sig-
nal with carrier frequencies of In 2/" 3J" ... , etc. The original signal is shifted and folded

• Frequency

a) Frequency ~pectrum of original signal

Frequency

b) Frequency spectrum of sampled Signal With!, > 2fi,

,&lJp' 1
fh j,
~0~", /
~, 2j,
Frequency

c) Frequency spectrum of sampled ~ignal With!, < 2fi,

• Figure 6.28 In a sampled signal. the frequency \pectrum of the onginal Signal
is both subtracted from and added to the sample frequency,f" and all multiples off,
If Is > 2!h' the onginal signal can be recovered by filtenng out all frequencies above
Is. When!, < 2fi" the difference frequency spectrum overlaps the original signal, and
filtering will not recover the on gina I signal.
• Sec. 6.5 Digital Signal Conditioning 229

around each carrier as shown in Figure 6.28b. The original signal can be recovered from the
sampled signal shown in Figure 6.28b with a low-pass filter that removes all frequency com-
ponents greater than Ih'
Figure 6.28c shows what happens when the sampling rate is less than k Part of the
folded signal around Is overlaps part of the original signal. The overlapped portion of the
folded signal becomes part of the original signal. It cannot be removed by a low-pass filter.
This overlap of the folded signal is called aliasing. The effect of aliasing is that one or more
frequency components are added to the original signal. Figure 6.29 illustrates how an alias
frequency is produced by an insufficient sampling rate. The obvious solution to the aliasing
problem is either to increase the sampling rate or filter the original signal to remove all com-
ponents with a frequency greater than !s12.

I (~f'-fo
fa = alias Signal

, Frequency
5k 10k 15k 20 k 25 k
a) Frequency spectrum

Original signal = 20 kHz

v
I ,IT
Alias signal = 5 kHz

.-- -
/
----.-- ,
"
,/ ,/ "-
,
~--------------------~------------------~~

, , /
"_--------Tlme
,/ ,,
' ,~ / .......
""--..._-_ / ' .......

r
Sample I
r
Sample 2
r
Sample 3 Sample 4
r Sample 5
r r
Sample 6
Sample rate = 25 kHz
b) Voltage vs. time diagram

• Figure 6.29 Sampling a 20-kHz ongmal signal al a samphng rate of 25 kHz re-
sults in a 5-kHz alias component in the sampled signal. In the frequency spectrum,
the alias appears as the difference frequency obtained by subtracting the original fre-
quency from the sampling rate.
230 • Chap.6 Signal Conditioning

Data Conversion

Data converters are the interface between the analog and digital domains. The analog-to-
digital converter (ADC or A/D) converts analog signals into a digital code. The digital-to-
analog converter (DAC or D/A) converts digital codes into analog voltage levels.
The input to an A/D converter is an analog voltage that can have any value from 0 to its full-
scale (FS) range. The output, however, can have only a finite number of output codes, each defin-
ing a state of the ADC. Figure 6.30 shows the transfer function of an ideal 3-bit A/D converter
with eight output states. The output states are assigned 3-bit binary codes from 000 to Ill . We
will use Figure 6.30 to help explain several important points concerning AID converters.
The resolution of an A/D converter is defined as the number of output states and is often
expressed as the number of bits in the output code. If n is the number of bits, then 2n is the
number of output states. Thus the 3-bit ADC in Figure 6.30 has 23 = 8 states. An 8-bit ADC
has 28 = 256 states, and a lO-bit ADC has 2 10 = 1024 states. Between each pair of steps is
a transition that makes the change from one output state to another. There is always one less
transition than the number of states. The 3-bit ADC has 8 - 1 = 7 transitions. An n-bit ADC
has 2" - 1 transitions.

/
Ideal, infiOlte resolution hne ./
/
III Transition ~
Pomts with 0 error /

110

Error = + FS!l6
1)/ './ >.~

\
0) 101 '" 0
"0 / ~ t::
'- 0)
(J

:;
Error = - FS!l6 \ Oio
.t::.t::
.9- >.<;::
::l
0
100 / ti ~
/ co
x -'"
'3 0) c::
on // 0)
~
0
0..
i5 011
co _0)
c::
/ I "'..c:
/ I e c:
I .~ ~
/ I c:: ~
./ I
co_
010 I I
....
b.D
0)

/ I I
I I
/ I I
I I
001 I I I
// I I I I
I I I I
/ I I I I
000 V-
o lis 'J. FS ~FS 'J. FS FS
4 8 8 4
Analog input signal
(FS = full-scale range)

• Figure 6.30 The tram.fer functlon of an Ideal 3-bit analog-ta-dlgital converter

has 23 = 8 output states and 2" - I = 7 transitIOns Each step represents a range of
analog input values of FS/8. The quantization error is 0 in the center of each step and
ranges from - FS/16 at the front edge of the step to + FS/16 at the rear of the step.
• Sec. 6.5 Digital Signal Conditioning 231

At any state, there is a small range of input voltages that forms a step that extends from
one transition to the next. This range of values is called the quantization size or "width" of the
code. The ideal width of each interior step is designated as VLSB , where LSB signifies least
significant bit. Resolution is sometimes expressed in terms of VLSB • The value of VLSB is equal
to the full-scale range of the input divided by the number of output states:
Resolution = V LSB = FS/2 n (6.48)
Notice that the center of each step intersects the ideal line that extends from the lower left cor-
ner to the upper right comer of the graph. These intersections are marked with dots, and they
are the only points on the graph that have zero error. On each step, there is an error called the
quantization error that ranges from - VLSB/2 on the left end of the step to + VLSB/2 on the
right end. In Figure 6.30 the quantization error is ±FS/16.
The input to a D/A converter is a finite number of digital input codes. The output is an
equal number of discrete output voltage levels. The resolution of a DAC is sometimes speci-
fied as the number of bits in the input code (the same as for an ADC). Figure 6.31 shows the
ideal transfer function of a 3-bit D/A converter.

FS~--------------------------------------------~

~FS
8
Ideal, infinite re50lutlOn line

---/
/
/ /

/
/
~FS -----------------------------/
4
/
/
~FS ------------------------~
8 /
/
/
~FS -------------------7
2
/
/
~FS -------------"/
8
/
/
~FS
4 /
/
~FS ---7/
8 /
/
o ltc
000 001 010 011 100 101 1\0 III
Digital input code

• Figure 6.31 The transfer function of an ideal 3-bit digital-to-analog converter

has only eight possible input states and therefore, only eight possible output voltage
levels. The eJght dots on the graph define the input/output relatIOnship for the eight
states.
232 • Chap.6 Signal Conditioning

Unlike the AjD converter, the analog signal from a DAC does not range over an infinite
number of values between a and FS. Rather, there is a discrete analog output value for each
digital input code. As the input code is traversed from 000 to III, the analog output steps
from point to point on the ideal, infinite resolution line. Each step of the analog output is a
change in voltage of VLSB , which is also used to express the resolution of a DAC [see Equa-
tion (6.48»).
The top step in Figure 6.31 represents the maximum output voltage of the DAC. We will
designate this voltage as Vornax . The step size (and resolution) of a DAC can also be expressed
in terms of Vornax as defined in Equation (6.49):
. VomdX
ResolutIOn = VLSB = 2n - 1
(6.49)

As Equations (6.48) and (6.49) indicate, resolution is often looked upon as the "step size"
when the input binary word goes from one binary state to another. It is important to note that
the maximum output, Vorn ax , will never reach the full-scale value, FS. However, as the reso-
lution of the DAC increases, Vornax does approach the value of FS. In fact, FS is the limiting
value of Vomdx as the resolution approaches zero and n approaches infinity.

Digital-to-Analog Converters

The function of a digital-to-analog converter is to produce an output voltage that is a

weighted sum of the nonzero bits in the digital input code. The least significant bit (bit 0) is
given a weighting of I . The weighting of each successive bit is 2 times the weighting of the
previous bit. Thus a 4-bit DAC will have weighting factors of 1,2,4, and 8; an 8-bit DAC
will have weighting factors of 1,2,4,8, 16,32,64, and 128. The bit with the highest weight-
ing factor is called the most significant bit (MSB). The weighting of the MSB of an n-bit DAC
is 2" - I.
The sum of all the weighting factors is the weighting given to the highest input code (the
code with all bits equal to I). An interesting fact about these weighting factors is that they
form a series in which the sum of any number of terms is always I less than 2 times the largest
term. For example,

I + 2 + 4 + 8 = 15 = (2 X 8) - I
I + 2 + 4 + 8 + 16 + 32 + 64 + 128 = 255 = (2 X 128) - I

The binary-weighted digital-to-analog converter uses a summing amplifier to form the

weighted sum of all the nonzero input bits. The input resistances of the summing amplifier
provide the required weighting factors. Figure 6.32 shows a 4-bit binary-weighted DAC. The
feedback resistance (Rt ), the MSB input resistance (R), and the input voltage level used for a
binary 1 determine the output voltage level of the MSB. If we let VI represent the input volt-
age of binary I, then Equation (6.50) defines the voltage level of the MSB. In Figure 6.32. the
value of 5 V is used for VI ' Equation (6.51) gives the full-scale voltage, and Equation (6.52)
gives the LSB voltage.
• Sec. 6.5 Digital Signal Conditioning 233

DO (bit 0)
8R
Digital OJ (bit I)
input
4R
data D2 (bit 2)
lines
2R
D3 (bit 3)
R -
Digital inputs = 5 volts for binary I
= 0 volts for binary 2

Digital Digital
input Vo input Vo

0000 0 1000 FSI2

()()() I FSII6 1001 9FSII6
0010 FS/8 1010 5 FS/8
0011 3FSII6 1011 IIFS/16
0100 FS/4 1100 3FS/4
0101 5FSII6 1101 13FSII6
0110 3FS/8 1110 7FS/8
0111 7FSII6 1111 I5FSII 6

• Figure 6.32 A 4-bit binary-weighted D/A converter. Weighting is provided by

Input resistors R, 2R, 4R, and 8R. Each digital Input (DO-D3) has a value of 0 or
5 Y, dependIng on the corre~pondIng bit in the input code. The output is the weighted
sum of only those inputs that have a value of 5 V

(6.50)

VF-S =2 X VMSB (6.51)

(6.52)

Although simple to understand, there are many disadvantages to the binary-weighted

DAC. Each input resistor has a different resistance based upon the ratio of R-2R-4R-8R, and
so on. It is difficult to build IC resistors that can be accurately matched at ratios greater than
20: I . This limits binary-weighted DACs to 5 bits or less. Precision resistors or lO-tum p0.-
tentiometers could be used, but that would be expensive. In addition, each binary bit position
is represented by a different Thevenin equivalent resistance, and the devices that provide the
inputs to the DAC will see different loads.
234 • Chap. 6 Signal Conditioning

DIgital inputs =5 volts for bmary I

= 0 volts for bmary 0

DO 01 02 03

2R

• Figure 6.33 A 4-bit R-2R D/A converter uses only two re;istor sizes to provide
the four welghtmg factors. The digital inputs are 0 V for a binary 0 and 5 V for a bI-
nary I. The output IS the weIghted sum of only those inputs that have a value of 5 V.

The R-2R ladder-type DAC eliminates both of the disadvantages of the binary-weighted
DAC. It is a resistive network consisting of only two different values of resistors, and the re-
sultant analog output is the weighted sum of the applied digital input word. Figure 6.33 shows
an R-2R DAC, and Figure 6.34 shows a development of the output equation of the R-2R
DAC. This development uses the superposition principle and Thevenin's theorem to develop
four equivalent circuits, one for each of the 4 bits in the digital input word.

Analog-to-Digital Converters

The function of an analog-to-digital converter is to produce a digital code word that accu-
rately represents the level of the analog input voltage. In this section, we begin with examples
of five analog-to-digital conversion techniques and end with a discussion of the major con-
siderations in the selection of an analog-to-digital converter. Here are the five NO conversion
techniques:
• Sec. 6.5 Digital Signal Conditioning 235

I=D3 I=D2
D3 2R 4R
~

V,h
02 o-~II\r-'\j"",......--+-t
2
1=0 ~

R R
v':- ...1. [D3l v":_...1. [1021
o 2R o 2R 2

a) Equivalent circuit with D2 = O. b) Equivalent circuit with D3 = O.

DI = O. and DO = 0 DI =O.andDO=O

I=DI I=DO
8R 16R
~ ~

v"~-
o
IV [1 DII
2R 4
c) Equivalent circuit with D3 = O. d) Equivalent circuit wuh D3 = O.
D2 = O. and DO = 0 D2 = O. and D I = 0

vo = vo, + vo" + vo'"+ vo'"'= - -Rf ~D3 = -I D2 + -I D I + -I DO~

2R 2 4 8

• Figure 6.34 SuperpositIOn and Thevenin's theorem are used to construct the
four equIvalent circuits used to obtain the output equatIon of the R- 2R D/ A con-
verter

1. The binary counter technique uses a binary counter connected to a DjA converter and
a comparator to generate the digital word that represents an analog input. A series of
clock pulses advance the counter through its binary states, producing a stairstep volt-
age output from the DjA converter. Both the analog input and the DAC output are in-
put to a comparator. At the instant that the DAC output passes the analog input, the
output of the comparator switches to a high level. The logic circuit latches the count
in the counter. Because the latched count is the one that made the DAC output equal
to the analog input, it is an accurate measure of the analog input.
Although simple, the counter-type ADC is relatively slow. The conversion time de-
pends on the level of the analog signal and the number of bits in the digital word. In
the worst case, an 8-bit counter type ADC would require 256 clock pulses to complete
the conversion. For a 12-bit ADC, the worst case would require 4096 clock pulses.
236 • Chap.6 Signal Conditioning

A counter-type analog-to-digital converter is illustrated in Figure 6.35. This is a

relatively easy circuit to construct using the components specified in the schematic.
The timing diagram is quite useful to help explain the conversion operation. The 555-
clock waveform is shown at the top of the timing diagram. The output of the clock is
fed into the binary counter so that each clock pulse will cause the counter to increase
its count by 1 bit. The output of the counter will sequence from 0000 to 1 I 11 in the
same sequence as the binary inputs in Figure 6.32. When the counter reaches I I 1 I,
the next clock pulse restores the 0000 count, and the sequence starts over. The counter
output is shown in binary form on the second section of the timing diagram.
The binary output of the counter is fed into a binary ladder DAC, producing the
stairstep output shown in the third section of the timing diagram. The analog input sig-
nal (the signal that is to be converted to digital) is superimposed on the starrstep wave-
form to show the relative size of the two inputs to the comparator. The output of the
comparator is positive when the analog input signal is greater than the analog signal
from the DAC. When the relative magnitude of the two analog signals reverses, the
output of the comparator reverses also.
Notice that the comparator output switches from + Vc to 0 at the point that the
analog input signal crosses the stairstep output from the DAC. The one-shot circuit
converts the + Vc to 0 change in the comparator output into a pulse that is used to trig-
ger the quad latch. Each time the quad latch is triggered, the binary signal from the
counter is transferred to the output of the latch and held there until the next triggering
pulse. The result is that the output of the quad latch reflects the count for which the
analog input signal was approximately equal to the stairstep voltage. The binary out-
put signal from the analog-to-digital converter is shown on the bottom line of the tim-
ing diagram.
2. The successive approximation technique sequentially compares a series of binary
weighted values with the analog input to generate a digital word that represents the
analog input voltage. Successive approximation is a relatively fast technique, com-
pleting the conversion in just n steps, where n is the resolution in bits. This technique
is best compared to the process of weighing a person on a balance scale. The person
adjusts the scale, adds weights until the scale is balanced, and then announces the
weight.
The successive approximation technique selects the most significant bit that is
less than the analog value being converted and then adds all successive lesser bits for
which the total of accepted bits does not exceed the analog value. When all bits have
been considered, the analog value is approximated by the sum of the bits accepted.
This is one of the more commonly used techniques when medium- to high-speed con-
version is required. Figure 6.36 shows a 4-bit successive approximation A ID con-
verter.
3. The single slope technique uses a fixed-rate, variable-time ramp voltage to generate a
digital word that represents the analog input voltage. The ramp voltage is generated
by an integrator with a reference voltage input. A comparator compares the ramp volt-
age to the analog input voltage and signals the instant when the ramp voltage equals
the analog input voltage. The time required for the ramp voltage to equal the input
voltage is measured by a clock counter. When the two values are nearly equal (de-
pending on the resolution), the counter is disabled and the digital word in the counter's
 Analog input
~

UA555TC 7493 ,
digital Binary )
clock counter ~-+-H>---t-.JV~ I
I
I
L _______ .../I

DAC
4-Bil Bit 3 r-L-'-..I.-J'o Q
---R!I:-t7;-t 7475 1-----=---1
binary OUlpUI --~I'?-t~l-l Quad
(to 7 segment Bit 0 latch
display) 74123
One shot

a) Schematic diagram
Clock {
output TIJl lflflflrlJ
Binary I I 1

~
counter it 310 0 0 0 0 0 0 10 I 1 1 1 1 I 1:0 0 0 0 010 0 0 1
Bit 2:0 0 0 0 I I I \1 000011 I I ,0 0 0 0 1:1 1 1 0
output
Bit 110 0 1 1 0 0 1 II 001 100 1 I 10 0 1 1 0 10 I I 0
(logic Bit 010 I 0 1 0 I 0 II o I 0 I 0 I o I 10 I 0 I 0 ,I 0 1 0
levels) \ I I I
I I I 1
Vw All: I I I I
-r--------~---------

,I
1
,
I DAC output

I
I
I
Analog I
I 1
signals I
I I
(volts) I
I
°rl~ ________ ____________
~ ~-L_ _ _ _- ;_ _ _ _~

I I I
Comparator{Vcl
output (volts) J I
I
I
.IL. ._ _-.+, I

I I I
One-shotf I
output (volts) 0 i i n,L-..___________ n --J L..._ _ _ _..... I
j
Binary ~it 3 1X
o~tput Bit
SIgnal Bit
2
IIX
Ix XXX XXX XXX XXX XXX XXX lII10I
0 0 0 0 0 0 0
I I I 1 I I I
I I I I I I I
0
I
I
0
1
I
0
I
I
0
I
I
0
1
1
010
I I, I
I 0
0
I
0
0
I
0
0
I
0
(logic Bit 0 IX X X X X X X 1I I I I I I I I I I 1 1 1 I: I I I 1
levels) 1 1 I
: : b) Timing diagram 1

• Figure 6.35 Schematic diagram and waveforms of a counter type of analog-to-

digital converter.

237
 Analog ..
input
sipaI
DAC

a) Schematic

Conversion

step 1234 1234

=(1.. mw.]0~lrH.~-,l

Digital Bit 21 0 1 1 1: 1 I I 0 1 0 0 0 - 0 I I
output Bit 1: 0 0 I I: I - I: 0 0 1 1 : 1 - I:
BnOIO 0 0 110-010 00111-11
I' Conversion • I ' Hold '\" Conversion 'I • Hold ' I
VFS I
I
#1 II
#1 I
I
#2 I #2
I
I
I I --;
I Analog l / \ I
I \IDPUt
I I
I l \
\
I
I
Analog I I \ I
signals . I" .
" r=r+-- \ II
I
I
I
I
output I
I

b) Timing diagram

• Figure 6.36 A 4-bn successive approximation A/D converter. A conversion

takes place In four steps, each initiated by a negatlve clock pulse. 'The four steps for
conversIOn 1 are as follows:
1 The SAR outputs digital word 1000. producing a DAC ontput of Vps/2 V. This IS
higher than the analog input, so bit 3 IS reset to 0 and latched for the duratIon of
the conversion
2. 'The SAR outputs word 0100, producing a DAC output of Vps/4 V. This IS lower
than the analog IOput. so bIt 2 is set to I and latched for the duration.
3. The SAR outputs word 0110, pro.ducing a DAC output of 3Vps/8 V. ThIs IS lower
than the analog input. so bit \ is set to I and latched for the duration.
4. 'The SAR outputs dIgItal word 0111, produclOg a DAC output of7VFS/16 V. This
IS higher than the analog input. so bit 0 is reset to 0 and latched for the duratton.
The final digital output is 0110.

238
• Sec. 6.5 Digital Signal Conditioning 239

output register represents the analog value. The counter is read and then reset to pre­
pare for the next measurement. This technique is one of many integrating analog-to­
digital converters. Figure 6.37 shows a single-slope ADC.
4. The dual slope technique uses a variable-slope, fixed-time ramp followed by a fixed­
slope. variable-time ramp to generate the digital word that represents the analog input
voltage. The variable-slope ramp is generated by an integrator with the analog input
voltage as input. The fixed-slope ramp is generated by the same integrator with a ref­
erence voltage as input. A timer counter is used to time the first ramp and measure the
second ramp.

Analog
input

Control Counter
Digital
-IJref~ and
logic } output
latch
InlegratOr Comparator
(ramp generator)

a) Schematic diagram

I
Analog input

b
{ Ramp output of integrator

SIopo--'.. ( - l

CountN. is CounlN2 is

a measure a measure

ofv,n at b of v", at d

b) Waveform of two conversions

• conversion I begms at a and ends at b
• conversion 2 begins at c and ends at d

• Figure 6.37 A single-slope AID converter. Conversion begins (at point a or c)

WIth the counter reset and the integrator output at 0 V. The ramp has the sanIe slope
every time, so tbe count in the counter wben the ramp reaches Von is proportional to
Von. Thu~ count NI is proportional to Von at pomt b and count N2 is proportional to Vm
at point d.
240 • Chap.6 Signal Conditioning

The dual-slope ADC has a high degree of accuracy with relatively little effect
from time or temperature drifts. This is due to the inherent self-calibrating character-
istics of the dual-slope method. It also has excellent noise rejection. However, the
dual-slope converter is slow, so it is used primarily where accuracy is important and
speed is not a primary consideration. Figure 6.38 shows a dual-slope AID converter.
5. The flash or parallel technique compares the analog input voltage with a set of refer-
ence voltages to generate the digital word that represents the analog input. The ana-
log voltage to be converted is input to the array of comparators. All of the cCimpara-

Analog
input
vm

Counter
Digital
and
latch } output

-V"'f
Reference
voltage
a) Schematic diagram

Counr NI is a Count N2 is a
measure of vm I measure of vm2

Full count Full count

a c d

e
slope '" -vref (same)
b slope '" -vio2 (small)

slope '" -V,cf (same)

-v slope '" -vm I (large)

b) Waveform of two conversions with VI" I > vm2

• Figure 6.38 A dual-slope AID converter. The first slope (ab or de) is proportional to
the Input voltage and continues for the same time interval every time (while the counter
steps through a full count) Thus the voltage levels at band c are proportional to v," I and
V,n2 respectively. The second slope is the same every time, so the count required to reach
o V at c and f is proportional to Von I and V,n2. respectively. The count at c IS a measure of
V ,n I and the count at f IS a measure of V,n2·
 • Sec. 6.5 Digital Signal Conditioning 241

tors whose voltage reference is less than the analog value being converted will have a
high output; those whose reference is greater will have a low output. The outputs of
the comparators are the input to a priority encoder that generates the desired digital
code word. The main advantage of the flash converter is its very short conversion time:
It is very fast.
The flash converter requires a reference voltage and a comparator for every state of
the digital output except zero. Thus a 3-bit flash converter will have seven reference volt­
ages and seven comparators. A 4-bit flash converter will need 15 reference voltages and
comparators. In general, an n-bit flash converter will require 'l,n - 1 reference voltages
and comparators. The large number of comparators required for a reasonable resolution
makes the flash technique fairly expensive. Figure 6.39 shows a 3-bit flash converter.

Analog
input ----t---4I~-;

Priority
encoder

7
6
5
4 I
DO} Parallel
3
2 DI binary
4 D2 output
2

0
EN

-
Sampling
pulses
R

• Figure 6.39 A 3-bit Ha&h AID converter. The reference voltage for each com­
parator IS set by the resistive voltage-divider network. The output of each comparator
is connected to an mput of the Priority encoder. The encoder IS sampled by a pulse
on Enable input, and a 3-bit binary code representmg the value of the analog input
appears on the encoder's outputs. The binary code is detennined by the highest-order
input having a HIGH level.

. - - - -... - - - - - - ---------
-..- - . -.. ... ... ... ~-- ... ------ ----­
242 • Chap.6 Signal Conditioning

Selection of an Analog-to-Digital Converter

In addition to the usual factors of cost, size, and availability, the control system designer has
the following three factors to consider in the selection of an ADC:
1. Resolution is specified as the number of bits in the digital code of the output states. It
determines the number of output states, the size of the LSB, and the quantization er­
ror (± 1/2LSB). The quantization error ranges from 0.19% for 8-bit resolution to
0.00076% for 16-bit resolution. The designer must specify the minimum resolution
that reduces the quantization error to an acceptable level.
2. Accuracy includes other factors besides resolution, such as gain error, offset error, lin­
earity, and missing codes. Gain error is a change in the slope of the infinite resolution
line from the ideal shown in Figure 6.30. The line still passes through the 0- V, 000
digital code point. Offset error is a displacement left or right of the infinite resolution
line with no change in its slope. Linearity error is a deviation of the infinite resolution
line from a straight line. Missing codes is the absence of one or more expected codes
in the output as the input is traversed over its full range.
When considering the accuracy of an ADC, the designer's major concern is miss­
ing codes. The gain and offset errors can be hardware adjusted or software compen­
sated. Linearity can also be compensated but not as easily as gain and offset. Missing
codes, however, cannot be restored.
3. Conversion speed is determined by how fast the analog signal changes, and it dictates
the type of ADC selected. If the analog signal varies at a very slow speed, there is lit­
tle need for a fast converter that requires fast, expensive components. If the analog sig­
nal varies at a moderate speed, the converter will have to operate faster, requiring
faster, more expensive components and conversion techniques. If the analog signal
varies at a high speed, both conversion techniques and component speed are of para­
mount importance. In general, the conversion speed requirement will dictate the type
of converter selected.

EXAMPLE An analog-to-digital converter has a resolution of 4 bits and a quantization error of ± ~ bit The input
6.19 voltage is 5 V at the center of the top step. Determine the quantization error in volts and the accuracy
as a percentage o( the full-scale range.

Solution The binary number 0000 represents 0 V and the number 1111 represents 5 V. There will be 24 - I, or
15, steps between 0000 and 1111. A I-bit change in the binary number is equal to a 5/15 == 0.333- V
±!
change in the voltage it represents. The quantization error is :t ~ bit, which is (0.333) :to. 166 V.
The "percentage of" accuracy is given in the following equation:

0.166) (100) == :t3.33%

Accuracy =:t ( -5-
•
Digital Conditioning

Signal conditioning is not always completed when the analog signal is converted to digital.
Filtering, linearization, calibration, and conversion to engineering units can all be accom­
plished by a microprocessor working with the digitized samples. Digital signal processing
 • Chap.6 Glossary 243

makes it possible to extract additional information from the signal. Vision systems, for ex­
ample, involve high-speed processing of an array of data samples.
Digital filtering consists of computing some type of weighted average of the current sam­
ple and previous samples. Digital linearization and calibration are accomplished by storing
factory calibration data in some type of read-only memory for use by the microprocessor. Ad­
ditional information, such as ambient temperature or static pressure, can be included in the
calibration data. The result is a precise correction for all the nonlinearities of the sensor
throughout the range of temperatures and pressures for which the measuring instrument is
rated. Digital calibration produces accuracies that cannot be achieved by analog calibration,
with the added benefit of using the actual engineering units for the calibrated signal.

• GLOSSARY

Acquisition time: The time from the instant the sample command is given until the output is within
a specified band of the input. (6.5)
ADC: Abbreviation of analog-to-digital converter. (6.5)
AjD converter: Abbreviation of analog-to-digital converter. (6.5)
Alias frequency: One or more frequency components that are added to the original signal when the
signal is sampled at an insufficient sampling rate. (6.5)
Analog-to-digital converter: A device that produces a digital code word that accurately represents
the level of an analog input voltage. (6.5)
Aperture time: The time it takes a sample-hold switch to open, measured from the time the hold com­
mand is given until the switch is completely open. (6.5)
Band-pass filter: A circuit that does not change components within a specified band of frequencies
and attenuates components outside of the specified band. (6.4)
Binary counter ADC: An analog-to-digital converter that uses a binary counter and a D/A converter
to generate a digital word that represents an analog input voltage. (6.5)
Binary-weighted DAC: A digital-to-analog convertor tbat uses a summing amplifier to form the
weighted sum of all the nonzero bit~ in the digital input word. (6.5)
CMR; Abbreviation of common-mode rejection. (6.2)
CMRR: Abbreviation of common-mode rt'je.ction ratio. (6.2)
Common-mode rejection: Thc logarithm of tbe common-mode rejeclioll ratio expressed in decibel
units. (6.2)
Common-mode rejection ratio: The ratio of the differential gain (A) of an operational amplifier di­
vided by its common mode gain (A,), (6.2)
Comparator: A circuit that accepts two input voltages and signals which one is greater. (6.3)
DAC: Abbreviation of digital-to-analog converter. (6.5)
D/A converter: Abbreviation of digital-to-analog converter. (6.5)
Data acquisition system: A system that conditions a number of analog signals and converts them into
digital form for processing by a computer. (6.5)
Data distribution system: A system that converts the digital representation of a number of signals
into analog form for output to analog actuators. (6.5)
Data sampUng: A process in which a switch connects momentarily to an analog !-lignaI in $I sequence.
of pulses separated by evenly spaced increments of time called the sampling int.ervaL (05)
Decay rate: The rate of change in the output of a sample-hold circuit when it is in the hold mode. (6.5)
DitTerential amplifier: A circuit that amplifies the difference between two input voltages. (6.3)
DitTerentiator: A circuit that produces an output voltage that is equal to the rate of change of the in­
put voltage. (6.3)
244 • Chap.6 Signal Conditioning

Digital.to-analog converter: A device that produces an output voltage that is an accurate analog rep­
resentation of the input digital code word. (6.5)
Dual-slope ADC: An analog-to-digital converter that uses a variable-slope, fixed-time ramp followed
by a fixed-slope, variable-time ramp to generate a digital code word that represents an analog in­
put voltage. (6.5)
Flash or parallel ADC: An analog-to-digital converter that uses a series of reference voltage/com­
parator paIrs to generate a digital code word that represents an analog input voltage. (6.5)
Frequency spectrum: A plot of the maximum voltage of each possible component of a sign!!.l versus
the frequency of that component (6.5)
Function generator: An inverting amplifier that produces a nonlinear relationship between its input
and output voltages. (6.3)
High-pass filter: A circuit that does not change components above its break-point frequency and at­
tenuates components below its break-point. (6.4)
Instrumentation amplifier: A dIfferential amplifier with voltage followers on each input. (6.3)
Integrator: A circuit in which the change in the output voltage over some interval of time is equal to
the integral of the input voltage over that same time interval. (6.3)
Inverting amplifier: A circuit that produces an output that is equal to -G times the input, where G
can be any value greater than O. (6.3)
Isolation amplifier: An amplifier that uses transformer or optical coupling to electrically separate the
input and output circuits. (6.4)
Linearization: The process of conditioning a nonlinear calibration signal to produce a linear calibra­
tion signal. (6.4)
Linear operating region: The middle operating region of an operational amplifier, where the output
is equal to the gain times the difference between its two input voltages (V:2 - VI). (6.2)
Low-pass filter: A circuit that does not change components below its break-point frequency and at­
tenuates components above its breakpoint. (6.4)
Noninverting amplifier: A circuit that produces an output voltage that is equal to +G times its input
voltage, where G can be any value greater than I. (6.3)
Notch filter: A circuit that rejects components within a speCIfied band of frequencies and does not
change components outside of that band. (6.4)
Nyquist criterion: A sampling criterion that states that all the inform~ltion in Ih~: originnlllignlIl clln .
be recovered if it is sampled at least twice during each cycle of the highest-frequency component.
(6.5)
Operational amplifier: A very high-gain amplifier that has two input lines and one output line. The
output voltage is equal to the product of the gain limes the difference between the two input volt­
ages. (6.2)
R-2R ladder DAC: A digital-to-analog converter that uses two resistor sizes in a resistive ladder net­
work to form the weighted sum of all the nonzero bits in the digital input word. (6.5)
Sample-and-hold: A circuit that uses a sampling switch to sample an analog voltage and a capacitor
to hold the sample until the next closure of the sampling switch. (6.5)
Sampling interval: The time between the momentary closures of a sampling switch. Numerically
equal to the reciprocal of the sampling rate. (6.5)
Sampling rate: The rate of momentary closures of a sampling switch. Numerically equal to the reci·
procal of the sampling interval. (6.5)
Saturation region: Two regions where the output of an operational amplifier has a constant value
(- V,at on the left or +V,at on the right). (6.2)
Single·slope ADC: An analog-to-digital converter that uses a fixed-rate, variable-time ramp voltage
to generate a digital word that represents the analog input voltage. (6.5)
Slew rate: The maximum rate at whieh the output voltage of an operational amplifier can change. (6.2)
 . • Chap. 6 Exercises 245

Successive approximation ADC: An analog-to-digital converter that sequentially compares a series

of binary-weighted values with the analog input to generate a digital code word that represents the
analog input voltage. (6.5)
Summing amplifier: A circuit with several inputs that produces an output voltage that is the inverted,
weighted sum of the input voltages. (6.3)
Voltage follower: A circuit with a very high input impedance, a very low output impedance, and an
output voltage that is equal to the input voltage. (6.3)
Wheatstone bridge: A circuit used to measure the value of an unknown resistor in which the un­
known resistor and three other resistors are connected in a diamond configuration. (6.4)

• EXERCISES

Section 6.2 indicator lamp will be ON only when Vm > 5 V. The (3/4)
indicator lamp will be ON only when Vm > 7.5 V. When VIO
6.1 Determine the values of l1:2 VI that will saturate an
is less than 2.5 V, all lamps are OFF. When Vm is greater
op amp for each of the following condition sets:
than 7.5 V, all lamps are ON.
(8) A = 104, +V" 20 V, -Vee = -20V
(b) A = 107 , + Vee = 20 V, -Va = -20V 6.6 The following conditions give the input and output
(C) A = 4 X 105, +V" = 16V, -Vu = -18V voltages of an inverting amplifier, and one of its two resis­
(d) A 2 X 106 , + Vee = 18 V, - Va = 16 V tors, Rf or RIO' Determine the value of the unknown
resistor.
6.2 Determine the value of l1:2 VI that will produce pos­
(a) Vm =' 6 V, Vout =' 15 V, Rf =' 10 kO
itiye saturation of an op amp for each of the following con­
(b) Vm = 1.2 V, Voul = -12 V, Rf = 50 kO
dition sets:
4 (c) VIO == 0.2 V, vau! == -8 V, Rm = 2 kO
(a) A = 10 , + Va 20 V, Ae = 0.1, v, = 8 V
(d) Vm 0.75 V, Vout -12 V. Rm 4 kO
(b) A = 107, + Va = 20 V. Ai' O.l, VC = 8 V
(e) Vm = 10 V, V out -2 V, Rf == 5 kO
(c) A = 4 X 105 , + Vee = 16 V, A, = 0.08, Vc = 6 V
(d) A 2 X )06, + Vee = 18V,A, = 0.12, V, = 5V 6.7 A primary element produces an output voltage that
ranges from 0 to 22 mV. Design an inverting amplifier that
6.3 For each of the following condition sets, determine
produces an output voltage with a range of 0 to -4 V. Use
the CMMR and CMR required to limit the common-mode
a J-kO resisLor CUI Rin.
error to a maximum of 2% of the output when Vr 0 V
(0) A = 10\ V2 - VI ;;: 1.0 mV, maximum Vc = 8 V
6.8 The following condit.ions giv/\ th/\ input and Olltptlt
(b) A = 107 , l1:2 VI = 0.81otV, maximum v, 8 V voltages of a noninverting amplifier, and one of its two re­
(c) A 4 X 1O',l1:2 VI = 20 IotV, maximum V,. 6 V sistors, R, or Rin. Determine the value of the unknown re­
~istor.
(d) A = 2 X 10'\ l1:2 - VI 5 IotV, maximum v, 5 V
(e) A = 2 X 105 , l1:2 - VI = 80 IotV, maximum Vc = 5 V (a) Vm = 6 V. V out = 15 V, Rf 10 kO
(b) Vin = 1.2 V, VOU! = 12 V, Rf = 50 kO
(c) Vm = 0.2 V, VOU! 8V,Rm = 2kO
Section 6.3
(d) VIO = 0.75 V, Vaut = 2 V, Rift = 4 kO
6.4 (a) Revise the high-level indicator in Figure 6.4a so 6.9 Repeat Exercise 6.7, but change the output voltage
that the Hf lamp will be ON only when Vm > 9 V. range to 0 to 4 V and use a noninverting amplifier.
(b) Revise the low-level indicator in Figure 6.4b so that 6.10 Determine the output of a two-input summing am­
the w lamp will be ON only when Vin < 1 V. plifier for each of the following condition sets.
(e) Revise the high-low-level indicator in Figure 6.4c so (a) Va 2 V, VI> == 4 V, Rf 5 kO, Ra = Rb = 10 kO
that the LO lamp will be ON only when lI,ft < 1 V lind the HI (b) Va - 2 V, VI> = 4 V, Rf Ra '!!!!! Rb = 10 kO
'!!!!!

lamp will be ON only when Vm > 9 V. (c) Va = -2 V, Vb = 6 V, Rf = 10 kO, Ra = 8 kO. R" ==

6.S Design a three-level indicator with three comparators 6kO
and three lamps, marked (1/4), (1/2), and (3/4). The (1/4) (d) Va = -6 V, VI> = 4 V, Rf = ]6 kO, Ra = 12 kO,
indicator lump willli~ ON unly when VIfl :> 2.5 V. The (Itl) R" = 8 kH

- - - -..- - - - - c - - - -..- -.. ~ ---.~.~ .. ~-~ .-----­

246 • Chap.6 Signal Conditioning

6.11 A primary element produces an output voltage that (c) Determine the value of Vee necessary for the op amp to
ranges from 0 to 22 mY. Design a summing amplifier that be In the linear operating region with 1 V to spare if
wIll produce an output voltage with a range of I to RLOAD has the value determined in step (b).
-5 V. Use a I-kG resistor for Rm.
6.18 A constant current source is shown in Figure 6.40.
6.12 The summing amplifier in Figure 6.8a can be used
(8) Find the value of VOU!,
to implement the equation y = mx + b (the slope-intercept
(b) Find the value of VOU!.
form of the equation of a straight line). Use a to-kG resis­
(c) Assume that Va - 20 V and Vsal - 0.8 Vee' Determine
tor for Rf and determine the values of Ra and Rb to imple­
the maximum value of RLOAD for which ioul will have
ment the following slope-intercept equation.
the value of step (a).
y = -VOU1 ' X va' m = RIRa 3.42, b Vh
6.19 Design a current-to-current converter with an input
y mx+b range of 0 to 0.2 rnA and an output range of 0 to ] rnA
(i.e., a gain of 5). Plan to use the following three resistors
in your design:
6.13 Given a lO-tLF capacitor, compute the value of RIO RI (see resistor R in Figure 6.14b)
for an integrator with the following defining equation: R2 (see resistor R in Figure 6. 14a)
I, RLOAD (see resistor RLOAD in Figure 6.14b)
Va.! = f Vtn dt + voUl(t l )
You may use the following assumptions in your design:
I,

6.14 Determine vou! (12) of the integrator in Example 6.6 VOU! = to V when iou! 1 rnA
for each of the following condition sets. RLOAD = 2 kil
(a) II = 5 S, t2 = 7 ,S, vo.! (tl) 10 V im can produce 12 V at the vz input terminal
(b) tl "" 5 S, t2 == 6 S, VOU! (11) 10 V Va = 15 V
(c) tl = 0 S, t2 = 1.2 S, V o.! (II) 0V
Use iin = 0.2 rnA and iou! = 1 rnA as your design condi­
(d) II = 0 S, t2 == 1.6 S, VOU! (tl) == 0 V
tions when you determine the values of R" VI> VZ, and Rz.
(e) tl = 0 S, t2 = 2.0 S, VOUI (tl) = 0 V
6.15, For each of the following condition sets, determine 6.20 Find the value of the unknown resistor, R" for each
the value of the external re.sistor, Re , for an instrumentation of the following hahmcerl Whfllltstone hrirlge conclition~
amplifier similar to Pigul"e 6.12. (scc Figure 6.15).
(a) gaill ::;;. 101..1, RI I kn, Rz = HJ ko', NJ == 1 Hi (a) R2 = 5 kO, R3 = 1.71 kil, R1 ... 10 kil
(b) g~n = IOp,R I R2 RJ = 1 kil = (b) R2 = 10 kil, R3 = 2.56 kil, R4 5 kG
(c) gain = 500, RI R2 R3 I kil (c) R2 = 100 kO, R3 = 6.27 kil, R4 = 1 kO
(d) gain 200, RI Rz = RJ = J k.o, (d) Rz = 20 kil, R3 = 3.47 kil, R4 =::: 1 kil

6.21 The self-nulling current balance bridge in Figure

Section 6.4
6.16 is used to condition the output of a strain-gage load
6.16 Design a current-to-voltage converter that converts cell. The load cell has an input force range of ± lOON and
a to-rnA input into a 15-V output (refer to Figure 6.14a an output resistance range of ± I G. An input of -lOON
and Example 6.9). produces an output of 149 0, an input of 0 N produces an
(a) Determine the value of resistor R (Figure 6.14a) output of 150 G, and an input of + 100 N produces an out­
(b) Determine the value of Vee necessary for the op amp to put of 151 0.
be in the linear operating region with I V to spare. The stram gage element is designated R. in Figure 6.16.
6.17 Design a voltage-to-current converter that converts The bridge is balanced when R. = 150 il and IN = 0 A.
a 6-V input into a 20-mA output (refer to Figure 6.14b and The other bridge parameters are
Example 6.10).
(8) f)l;lhmllil!l~ Iltt': \laltit: of resistor R (Figure 6.14h).
(b) Determine the value of RLOAD that will result in an Determine the values of IN for the following input force
output voltage (VOUI) of 11 V when Vm = 6 V. conditions, Fm: 100, -50,0,50, and 100 N.
 • Chap.6 Exercises 247

20V RWAD=4kfl

5V----------~~
• Figure 6.40 A constant current source
.-20 V (Ex.ercise 6.18).

Determine the equation of the zero-based linearity line 6.28 Construct a five-step piecewise-linear approxima­
and express the nonlinearity as a percentage of the output tion of the function defined by the input/output table that
span. follows. Construct a graph similar to Figure 6.22 and a
6.22 The unbalanced bridge in Figure 6.17 is used to table similar to Table 6.2.
condition the output of the strain-gage load cell described
in Exercise 6.21. The parameters in Figure 6.17 have the
Measuring Instrument InputjOutputTable
following values:
Input Output Input Output Input Output
R, = load cell resistance (range = 149 to 1500)
R3 = 1500 R2 = R4'" 2kO Rbal = 1500 0 2.9 35 31.9 70 69.8
Vd<; 1 V R/Ra = 1000 5 6.8 40 36.7 75 75.2
10 10.8 45 41.8 80 80.3
15 14.8 50 47.2 85 85.1
Determine the values of YOU! for the following input
20 18.9 55 52.8 90 89.5
force conditions, F,n: -100, - 50, 0, 50, and 100 N. 25 23.1 60 58.5 95 93.5
Determine the equation of the zero-based linearity line 30 27.4 65 64.2 100 97.1
and express the nonlinearity of as a percentage of the out­
put span. Note: All values are a percentage of full-scale range.
6.23 Design a single-stage, active, low-pass filter that
will provide an attenuation factor of 50 for a 2oo-Hz sig­ 6.29 A plantinum RTD has the following resistance ver­
nal. Calculate the resistor size required if a 50-/-l-F capaci­ sus temperature characteristic:
tor is used in the RC circuit.
6.24 Design a two-stage, active, luw-pass filter that will
provide an attenuation factor of 500 for a 400-Hz signal. Temperature, T (Oe) Resistance. R. (0)
Calculate the resistor size required if O.l-/-l-F capacitors are
used in the two RC circuits. o 100.0
25 109.8
6.25 Delioign (a) a single-stage low-pass filter and (b) a 50 119.8
two-stage low-pass filter that will attenuate a lS9.2-Hz 75 129.6
signal by an attenuation factor of 100. Use the program 100 139.3
BODE to generate frequency-response data and plot a
Bode magnitude diagram for each filter. Compare the two
Rorie rliaeram~ and ~nmmt"nt
An unbalanced Wheatstone bridge is to be used to convert
6.26 De~ign a notr.h filter that will attenuate a 159.2~Hz the RTD resistance into a voltage signal. The balance re­
signal by an attenuation factor of 20. Use the program sistance value Rbal 119.8 O. so the bridge output will be
BODE and plot a Bode magnitude diagram for the notch OVat50°C.
filter. Compare the notr.h filter Bode diagram with the two Your Ilssigmllcnl is tu design the unbalanced bcldge cit'­
low-pass filter diagrams from Exercise 6.25a. cuit, an instrumentation amplifier. and a summing ampli­
6.27 Change the endpoints of the line segments in Figure fier that will give a full-scale output from 1 to 5 V as the
6.22 to minimize the maximum error. Construct a table temperature goes from 0 to loooe. As part of your design
similar to Table 6.2 showing the error at the midpoints and assignment, you ale lu cumplete the fulluwing table of re­
the endpoints of the. line segments. sults from various steps of the design process:
 248
• Chap. 6 Signal Conditioning

3. Use design specification 5 to determine the resis­

. nOe) RsCO) E Vb - Va VI Vout
tance of R3 •
0 100.0 4. Use Equation (6.30) to determine the resistance of
25 109.8 R4 •
50 119.8 5. Use Equation (6.32) to determine a.
75 129.6
(b) Determine the values of e.
100 139.3
1. Use Equation (6.31) to determine the value of e for
the following temperature values: 0, 25, 50, 75,
Your design must take into account the self-heating effect 100°C.
of the current through the resistance element. In the steady 2. Complete the e column in the results table.
state, the heat dissipated by the current through the resis­ (e) Determine the values of Vb - Va'
tance element causes the probe temperature (T,) to be I. Use Equation (6.34) to determine the value of Vh
slightly above the temperature of the surrounding flUId Va for the following temperature values: 0, 25, 50,
(T,). The resistance element actually measures T" resulting 75,100°C.
in a self-heating-effect error equal to 7., - TF The self­ 2. Complete the Vb - Va column in the results table.
heating effect is expressed in terms of the dissipation con­
(d) Design the instrumentation amplifier.
stant of the probe, in mWrC. The heat dissipated by the
probe is equal to the product of the dissipation constant J. Figure 6.12 is a diagram of the instrumentation am­
times the heating-effect error (Ts - TJ). The heat generated plifier. The first step in the design is to switch the
by the probe current is equal to tl;/R, (where V.\ is the volt­ two input voltages to give an inverted input. This is.
age' across the probe and R., is the resistance of the probe). necessary to cancel the inversion of the summing
In the steady-state condition, the heat dissipated is equal to amplifier that follows the instrumentation ampli­
the heat generated, thus fier. With the inputs reversed and with the output
labeled V, instead of Vou!t the output of the instru­
2/ _ (dissipation constant)(self-heating-effect error) mentation amplifier is given by the following equa­
v \ R, - -'--.:.......-~--~---~-.:..:..:...:.:.:~
1000 tion:
The division by 1000 IS necessary to convert the units of
the right side from milliwatts to watts to match the units of
the left side.
The design specifications provide the following infor­ 2. Compute the gain, RtiRa, that will result in a span
mation relative to the self-heating eHeet and the selection of 4 V for VI as the temperature goes from 0 to
of the resi"hmce values of the hridge circuit. 100°C. This is the gain of the instrumentation am­
plifier. Use a l-kD. resistor for Ra and determine the
I. Self-heating effect of the probe: 8mWrC
value of Rf to give the required gain.
2. Maximum self-heating-effect error
3. Complete the VI column in the results table. The
for balanced bridge at 50°C: O.l°C
values are defined by the equation for VI in step d I.
,3. Bridge voltage, Vdc: IV
Use the gain you computed in step d2.
4. Ralanc.~ rflsistanc.fl val liP., Rbal : 119.R D.
S. Resistance ratio, R3 /R bal : 1
(e) Design the summing amplifier.

Complete the following design steps.

I. Figure 6.8a is a diagram of the two-input summing
. (a) Determine the resistances of R2 , R3 , and R4 , and the
amplifier. Replace the upper input in Figure 6.8a by
value of a for the bridge. VI> the output of the instrumentation amplifier. Re­
place the lower input by Vn an offset voltage to be
r. Usevt/Rb." = (8 mWrC)(O. I°C)jlooO to compute
provided. Rename resistors Rj and Ra in Figure
the voltage across the resistance element, v" when
6.8a as R I, and rename resistor Rb as Rc. With these
the bridge is balanced.
name changes, the output of the summing amplifier
2. Use V, from the step above, Vdc = I V, and Rb• , =
is given by the following equation:
119.9 D. to compute the resistance of Rz. As a safety
factor, multIply your result by 1.1 and round up to RI
the nearest whole ohm. Use the rounded value for R 2 • -VI - RVe
t
 • Chap.S Exercises 249

2. Use a -I V supply for Vc. a l-kil resistor for R" for a logic O. The resistance values are Rf 2 kO and
and compute the resistance of R I that will result in R = J kil.
an output voltage of I V when T = O°C. (8) Determine VLSB • VMSB • and Vps •
3. Complete the VOU! column in the results table. (b) Detennine Vo for each of the following binary inputs:
(f) Determine the terminal-based linearity of the output 0101 1011 1111 0111
voltage. Vout • 6.34 Use the successive approximation technique out­
lined in Figure 6.36 to convert each of the following analog
Section 6.5 voltages to 4-bit digital words. Use VFS = 20 V.
6.30 Detennine the time constant and the 99.3% acquisi­ (8) 4.2 V (b) 19.6 V
tion time of a sample-and-hold circuit if C = 100 p,F and (c) 9.25 V (d) 14.71 V
R = I kil. 6.35 Detennine the quantization error in volts and per­
6.31 Determine the minimum sampling rate to get all the centage of the full-scale range for each of the following
infonnation from a signal that has a maximum frequency ADCs. The input voltage is 10 V at the center of the top
of 1200 Hz. step.
(8) Resolution 4 bits; error = bit
6.32 Detennine the alias frequency that is produced
(b) Resolution 8 bits; error == ± I bit
when a 16-kHz signal is sampled at a rate of 20 kHz.
(c) Resolution == 10 bits; error ±4 bit;
6.33 The logic levels of the input to the 4-bit binary­
weighted DAC in Figure 6.32 are 5 V for a logic 1 and 0 V
(d) Resolution == 12 bits; error = ±4 bit

...- -... ~ ...- -- --;--- - - - - - _ ...._ - - - - ­

• CHAPTER 7 Position, Motion,
and Force Sensors

• OBJ ECTIVES

In the late eighteenth century, a Scottish engineer named James Watt greatly improved the steam engine with .
several inventions. One of Watt's inventions was a governor that regulated the speed of the steam engine.
Since that early beginning, the control of position or speed has become a major branch of control technol­
ogy, sometimes referred to as servo control. Numerical control of machine tools requires precise positIOning
of a workpiece and exact control of the speed and feed of the cutting tool. Robotic arms move in specified
paths that require sensing and control of position and speed. Some sequential controllers must sense the pres­
ence of a part and may even identify the part and determine its exact location. The power-steering unit in a
car uses the position of the steering wheel as a setpoint and positions the wheels of the car accordingly.
The purpose of this chapter is to give you an entry-level ability to discuss, select, and specify po­
Sition, motion, and force sensors. The examples selected represent a reasonable cross section of the va­
riety of sensors used to measure these quantities. After completing this chapter, you will be able to
I. List mlijor considerations in the selection of
a. Position sensors
b. Displacement sensors
c. Speed sensors
d. Acceleration stlnSUf!;
e. Force sensors
2. Describe the following position sensors
11.Potentiometer
b. LVDT
c. Synchro
d. Resolver
e. Optical encoder
f. Proximity
g. Photoelectric
:t Del'>cribe. the following speed sel1so~
a. oc tachometer
b. AC tachometer
c. Optical tachometer

250
 • Sec. 7.2 Position and Displacement Measurement 251

4. Describe an accelerometer
5. Describe the following force sensors
a. Strain gage
b. Pneumatic
6. Select a proximity sensor (using a spec sheet) ••••
External
energy

Ir----------------------------~------I
I Sensor output I,
I
I
I
Force. t
I ,
,I
Sensor
displacement
vollage.
Signal
conditioner ,,
Measured
variable. e I resistance, , Measuring
transmitter
I
I
etc. I , output, em
I________________________________
Measuring transmitter JI

a) Block dIagram

100

I
j
o l-1li::...-_ _ _--'-_
Man Mall o 100
Measured Sensor output
variable. e

b) Sensor 110 Iraph c) Signal conditioner

110 graph

Min Max

Measured

variable. e

d) Measuring transmitter 1/0 graph

• Figure 7.1 A measuring transmItter comusts oftwQ parts; a sensor (or primary
element) and a signal conditIOner.

- _..... - - - - - - - - - - : - - - - - - - - - .... - - -.... -~-----------

252 • Chap. 7 Position, Motion, and Force Sensors

7.1 INTRODUCTION

A sensor is a device that converts a measurand (signal to be measured) into a signal in a dif­
ferent form. The measurand is the input to the sensor, and the signal produced by the sensor
is the output. Sensors are also called transducers or primary elements. The output of the sen­
sor may be a force, displacement, voltage, electrical resistance, or some other physical quan­
tity. Usually, a signal conditioner is required to convert the sensor output into an electrical
(or pneumatic) signal suitable for use by a controller or display device. The sensor and its
signal conditioner comprise the two parts of a measuring transmitter (Figure 7.1). Typical in­
put/output graphs of the sensor, signal conditioner, and measuring transmitter are included
in Figure 7.1 .
The types of sensors are too numerous to include all of them in a couple of chapters. Ex­
amples of several types of sensors are included for each of the more common controlled vari­
ables. Our purpose is to illustrate the basic principles of sensors with a series of specific ex­
amples. In a control system, the function of the transducer is to provide a signal that is a
measure of the controlled variable. For this reason, the examples are classified by the variable
that is measured rather than by the manner in which the output is developed.

7.2 POSITION AND DISPLACEMENT MEASUREMENT

Sensing Methods

Position and displacement measurement is divided into two types: linear and angUlar. Linear
position or displacement is measured in units of length. AnRular position or displacement is
me.asllred in radians or degrees. The primary standard of length is the international meter,
which is defined in terms of the wavelength of the red-orange line of krypton 86. All other
units of lengt.h are defined in terms of the primary standard. The meter is the basic unit of
length in the International System of Units (SI), and the radian is the unit of angle. A radian
is equal to 180/1T degrees (approximately 57.3°). Linear and angular displacement are illus­
trated in Figure 7.2.
In continuous processes, displacement sensors are used to measure the thickness of a
sheet, the diameter of a rod, the separation of rollers, or some other dimension of the prod­
uct. In discrete-parts manufacturing, position sensors are used to measure the presence of a
part, to identify a part, to determine the position of a part, or to measure the size of a part. The

Po~lIion Position

I 2

r~I~~_c:~ent ~ r
IlS
---IlS ~

a) Lmear displacement b) Angular displacement c) Conversion of linear displacement to

angular displacement

• Figure 7.2 Linear di&placement can be converted into angular displacement of a

wheel (c). The angular displacement m radians (AO) 18 equal to the linear displace­
ment (1lS) divided by the radIUS of the wheel A9 ASlr.

.' ,
• Sec. 7.2 Position and Displacement Measurement 253

acronym PIP refers to presence, identification, and position measurement of parts in a manu­
facturing operation.
Sensors used to measure the size of a product or part usually have a sensing shaft that
is in mechanical contact with the object to be measured. The mechanical connection between
the sensing shaft and the object is of paramount importance-the sensor actually measures
the position of the sensing shaft. A number of methods are used to translate the position of
the sensing shaft into a measurable quantity. For example, movement of the shaft may cause
a change ill capaciLance, self-inductance, mutual inductance, or electrical resistance. The
shaft might also be coupled to an encoder, a device that converts the movement into a digi­
tal signal.
The simplest PIP sensor, a lever-actuated switch, also makes contact with the object to
be measured. However, many PIP sensors do not touch the object to be measured. Some non­
contacting sensors use changes in self-inductance, reluctance, or capacitance to detect the
presence of an object. Other noncontacting sensors use the interruption or blocking of a light
beam to sense the presence of an object, to identify the object, or to measure the position of
the object.

Potentiometers

A potentiometer consists of a resistance element with a sliding contact that can be moved
from one end to the other. Potentiometers are used to measure both linear and angular dis­
placement, as illustrated in Figure 7.3. The resistance element produces a uniform drop in the
applied voltage, Es , along its length. As a result, the voltage of the sliding contact is directly
proportional to its distance from the reference end.

Linear potentiotnt:!.t:r: Eout (~ ) Es

Angular potentiometer: Eou, = (:J Es

When the resistive element is wirewound, the resolution of the potentiometer is deter­
mined by the voltage step between adjacent loops in the element. If there are N tnrns in the
element, thE! voltage step between successive turns is ET = Es/N, where Ef is the full-scale
voltage. Expressed as a percentage of the full-scale output, the percentage resolution is given
by the lullowing relationship:

100 100(E./N)
Resolution (%) = Es
Es
or
100 (7.1)
Resolution (% )
N
Potentiometers are subject to an error whenever a current passes through the lead wire
cOllllec!.t:u to the sliding contact. This error is called a loading error because it is caused by
tilt: luau resistor connected between the sliding contact and the reference point. A poten­
tiometer with a load resistor is illustrated in Figure 7.4. If Rp is the resistance of the poten­
254 • Chap. 7 Position, Motion, and Force Sensors

E•

.----lllt------.

.
L

7/,
- x

elemen~
Resista:
/
Sliding contact + Eout
al A linear dIsplacement potenllometer

...-------11111------...,
E.
ReSistance Sliding
element
"'ilI"'Qi~_/ Contact

+
• Figure 7.3 Two types of potentiometric
+ Eou, displacement sensors: (a) hnear; (b) angular. In
both types, Eout is a measure of the positIOn of
bl An angular dIsplacement potenllometer the sliding contact.

+
R"

EOUI
• Figure 7.4 A loading error is produced in
a potentiometer when a load resistor i~ CQn­
neered between the. slidmg contact and the ref­
erence tenninal.

tiometer and a is the proportionate position of the sliding contact, then aRp is the resistance
of the portion of the potentiometer between the sliding contact and the reference point. The
load resistor, Rb is connected in parallel with resistance aRp- The equivalent resistance of this
parallel combination is (RL)(aRp)/(R L + aRp).
 • Sec. 7.2 Position and Displacement Measurement 255

The resistance of the remaining portion of the potentiometer is equal to (1 - a)Rp, and
the equivalent total resistance is the sum of the last two values.
aRLRp
REQ = (1 - a)Rp + R
L
R
+a p

The output voltage, Eout, may be obtained by voltage division as follows:

aRLR/(RL + aRp) ]
Eout = [ ( a Rp + aRLRpI( RL + aRp ) Es
1 -)

where
Rp
r
RL
The loading error is the difference between the loaded output voltage (Eout) and the unloaded
output voltage (aEs).
Loading error = aEs - EQut

= aE. - (1 + ara)
- ar
Es 2

2
_ [ a r(1 - a) ]
- , E. V
1 + ar a~r

The loading is usually expressed as a percentage of the full-scale range, Eo'

a2r(1 - a) ]
Loading error = (%) = 100 [ 1 + ar(l a) (7.2)

EXAMPLE The potentiometer in Figure 7.4 has a resistance of 10,000 {} and a total of 1000 turns. Determine the
7.1 resolution of the potentiometer and the loading error caused by a 10,000..0 load resistor when a 0.5.

Sulutiun The resolution is given by Equation (7.1)

100 100
Resolution 1000 = 0.1%
N

The loading error is given by Equation (7.2)

a2r(1 a)]
[ l+a r( I-a }
Loading error = 100.

(0.5)2(1 )(0.5) ]
= 100 [ 1 + (0.5)(1)(0.5)

10%
•
256 • Chap. 7 Position, Motion, and Force Sensors

Linear Variable Differential Transformers

The linear variable differential transformer (LVDT) is a rugged electromagnetic transducer

used to meas)lre linear displacement. A diagram of an LVDT is shown in Figure 7.5. It con­
sists of a single primary winding located between two secondary windings on a hollow
cylindrical form. A movable magnetic core provides a variable coupling between the wind­
ings.
The sensing rod is attached to the magnetic core and moves the core in response to the
displacement that is to be measured. An ac voltage is applied to the primary winding, and the
transformer coupling results in an ac voltage across each secondary winding. When the mag­
netic core is in the center position, the two secondary voltages cancel each other at terminals
a-b (Le., at the input to the phase-sensitive detector). When the core is moved to one side. the
voltage in the secondary coil with more coupling becomes larger and the other secondary
voltage becomes smaller. An ac voltage appears at terminals a-b. We will call this ac voltage
Va-b' The magnitude of Va-b is proportional to the displacement of the core from the null po­
sition. When the core is moved to the same distance on the other side of the null position, the
ac voltage at terminals a-b is equal to - Va_b' In other words, the amplitude of the ac volt­
age is proportional to the amount of displacement and the phase depends on the direction of
the displacement. A positive displacement produces a 0° phase angle. A negative displace­
ment produces a 180° phase angle.
The phase-sensitive detector converts the ac secondary voltage into a dc voltage, Eout •
The magnitude of the dc voltage is proportional to the amplitude of the ac voltage. The sign
of the dc voltage is positive if the ac phase angle is 0°, and negative if the ac phase angle is
180°. The result is the overall input/output graph illustrated in Figure 7.5b. In some ac sys­
tems, the ac secondary voltage is used as the error signal. The phase-sensitive detector is not
required in these systems.

~OCC==j]~~Jl~*=~D~ls~PI~eme~;
X
-X--------~---------+X

'-----~a b

+
Phase-~en5itlve
detector

a) Schematic diagram b) Input-output graph

• FIgure 7.3 The linear vartable differential tran~former (LVDT) and phase­
senslUve detector produce n de voltage proportional to the dl~placement of the
movable magnetic core.
 • Sec. 7.2 Position and Displacement Measurement 257

Synchro Systems

A synchro is a rotary transducer that converts angular displacement into an ac voltage, or an ac

voltage into an angular displacement. Three different types of synchros are used in angular dis­
placement transducers: control transmitter, control transformer, and control differential.
Synchros are used in groups of two or three to provide a means of measuring angular dis­
placement. For example, a control transmitter and a control transformer form a two-element sys­
tem that measures the angular displacement between two rotating shafts. The displacement mea­
surement is then used as an error signal to synchronize the two shafts. The term electronic gears
is sometimes used to describe this type of system because the two shafts are synchronized as if
they were connected by a gear drive. The addition of a control differential forms a three-element
system that provides adjustment of the angular relationship of the two shafts during operation.
A two-element synchro system is shown in Figure 7.6. The control transmitter is desig­
nated CX, and the control transformer is designated CT. Both the transmitter and the trans­
former have an H-shaped rotor with a single winding. Connections to the rotor winding are
made through slip rings on the shaft. The stators each have three coils spread 1200 apart and
connected in a Y configuration.

11) (J = 00

eOUI

b) e 900

CX~SI

~_S3~- - =- - - - - "- -'

c)ti 180 0
• Figure 7.6 A two-elemelll synchl'O system
measures the phase difference between two ro­
tilting shafts.

-_
.... - _...._-_...._ - - - ; - - - - - - - _...._ - - _ ....._ - - _ .. _ - - ­
 258 •. Chap. 7 Position, Motion, and Force Sensors

An ac voltage is applied to the rotor winding of the control transmitter. This voltage in­
duces an ac voltage in the three stator windings, which are uniquely determined by the angu-.
lar position of the rotor. The voltages induced in the transmitter are applied to the transformer
stator windings, which, in tum, induce a voltage in the transformer rotor winding. The trans­
former rotor voltage is uniquely determined by the relative position of the two rotors, as
shown in Figure 7.6. A graph of the transformer rotor voltage (eout) is included for each of the
three relative rotor positions shown. The amplitude of eout is a maximum when the angular
displacement of the two rotors is 0° or ± 180°, and zero when the angular displacement is
±90°. Notice the change in sign of the ac voltage between the 0 and 1800 positions.
A graph of the amplitude of the output voltage (eout) versus the angular displacement (8)
is shown in Figure 7.7. The output voltage is described by the following mathematical rela­
tionship:
eOUI (Em cos O)sin wt (7.3)

where Em = maximum amplitude

() = angular displacement
w radian frequency of the ac voltage applied to the transmitter rotor
The sign and magnitude of the amplitude term (Em cos 0) are uniquely determined by the
angular displacement 0, as shown in Figure 7.7. The graph is reasonably linear for values of
() from 20 to ) 60°. The operating point is located at the center of this linear region (i.e., R =
90°). The magnitude of enUI is proportional to the amount of angular displacement. The sign
or phase of Cout is determined by the direction of the angular displacement.
A control differential may be added to the system in Figure 7.R to provide remote ad­
justment of the operating point. The control differential has a three pole rotor, with three
windings connected in a Y configuration. Connections to the other end of the rotor windings
are made. through three slip rings on th~ ~hnft. Th~ stntor n1so hilS three windings connected
in a Y. The control differential is connected between the transmitter and the transformer, as
shown in Figure 7.7. The output voltage is now given by the following relationship:
(7.4)

I_a
I U"'-y
I
eO"' = ~mcos 9J sin rot
I I
I I
I I

1/:;:,

Operating point

~
0
/9=90

Transmitter Transformer Operating

• range 'I
rotor position rotor pOSItIOn
Displacement angle 9

• Figure 7.7 The amplitude of emil vanes as the cosine of the angular displace­
ment between the two shafts

.~-----------c---.------ ........ - - - ­
 • Sec. 7.2 Position and Displacement Measurement 259

~--------------------~~
Transmitter Differential Transformer

• Figure 7.8 A three-element synchro sys­

tem provides remote adjustment of the operat­
ing point.

The angle (Jd is the relative displacement of the differential rotor. When (Jd is zero, the
three-element system is not different from the two-element system (the dashed output curve),
However, when (Jd is not zero, the entire curve is displaced by an angular amount equal to 0d.
In other words, the control differential provides a means of adjusting the operating point sim­
ply by moving the differential rotor. This is especially useful when the transmitter and trans­
former rotors are connected to rotating shafts.
An application of a three-element synchro system is illustrated in Figure 7.9. The process
consists of two rotating rolls that must be synchronized with the capability to adjust their an-

Master Slave

dnve motor drive motor

(de) (dcl _ _

(eonverter­
ampllfierl

Phase

adjustment

• Figure 7.9 A three-element synchro system is used to synchronize two shafts with
adjustment of the angular dIsplacement between the two shafts while they are rotating.
260 • Chap. 7 Position, Motion, and Force Sensors

gular relationship during operation. The control is accomplished by regulating the speed of the
slave roll to maintain the desired angular relationship. The three-element synchro system acts
as the measuring transmitter, setpoint, and error detector. The setpoint is the angular position of
the differential rotor. It represents the desired angular relationship between the two driven rolls.
The transmitter and transformer combination compares the angular relationship of the two rolls
with the desired relationship, and produces an ac output signal proportional to the difference
(i.e., the error signal). The converter-amplifier acts as a high-gain proportional controller. The
gain is sufficiently high that the proportional offset is maintained within acceptable limits.

EXAMPLE The synchro system in Figure 7.9 operates at a frequency of 400 Hz. The maximum amplitude of the
7.2 transformer rotor voltage is 22.5 V. Determine the ac error signal produced by each of the following
pairs of angular displacement:
. (a) == 90°, (Jd == 0°
(J
(b) == 60°, (Jd = 0°
(J
(c) (J = 135°, (Jd == -15°
(d) (J == 100°, ()d == -45°

Solution Equation (7.4) gives the relationship between (), 0d, and eOUI'
eoul == Emcos(6 + 6d)sin rut
At 400 Hz, ru == 2'1T(400) == 2570 rad/s. The maximum amplitude Em == 22.5 V.
(a) cos(O + Od) == cos (90° + 0°) = cos 90° = 0
eout == 0 V
(b) cos(6 + (JJ) == cos (60° + 0°) == cos 60° == 0.5
eout == (22.5)(0.5)sin 2570t

- 11.25 sin 2570t V

(c) cos(O + Od) == c08(135° 15°) == cos(1200) == -0.5

eU"! =- (22.5)( -O.5)sin '1..750,

= -11.25 sin 2570t V

or
eout = (11.25) sin (2570t + 180) V
(d) cos(O + Od) = cos(lOO 45) == cos (55) = 0.574

eout = (22.S)(0.574)sin 2570t == 12.9 sin 27501

•
Resolvers

A resolver is a rotary transformer that produces an output signal that is a function of the rotor
position. Figure 7.10 shows the position of the coils in a resolver. The two rotor coils are placed
{mO apart. The two stator coils arc also placed 90 apart. Either pair of coils can be used as the
0

primary with the other pair iomllng tne secondary. The following equations denne the sec­
ondary voltages in terms of the primary voltages when the rotor coils are used as the primary:
E, = K(E3COS 0 E4sin 0) (7.5)
(7.6)
• Sec. 7.2 Position and Displacement Measurement 261

,_-------------0+
E3
.------0

L-----------O+ • Figure 7.10 A resolver is a transformer-

L-.-4---i_ _ _ _ _ _ _ _-oE4 type sensor that produces a signal that is a
trigonometric function of shaft position, 8. The
two rotor coils are placed 90° apart. The two
stator coils are also 90° apart.

When a resolver is used as a sensor, one of the rotor windings is shorted as shown in
Figure 7.11. If E4 is the shorted coil, Equations (7.6) and (7.5) simplify to the following:
E\ = KE3COS IJ (7.7)
E2 = KE3 sin (J (7.8)
Equations (7.7) and (7.8) define the output of the resolver shown in Figure 7.11. The sin (J
term in output Ez provides a reasonably good measurement of (J over the range - 35°::; (}:5
+35°. The relationship between (J and sin (J is slightly nonlinear. This nonlinear relationship
can be represented by the following independent linearity straight line:
(J, = 60 sin (J
where (J actual angle. °
0, independent linearity angle, 0

+
"-----------K-E-3 -s'-n6
~!mW>----O
E2
To a resolver
to digital encoder
+

E3 ",A sin wt

(excitation input)

• Figure 7.11 A resolver used as a sensor has one of its rotor coils shorted. An ac
voltage is applied to the other rotor coil. The two output voltages, El and E2, are
trigonometric functions of the displacement angle (I.
262 • Chap. 7 Position, Motion, and Force Sensors

The following table shows just how close the independent linearity angle, 0" is to the real an­
gle, O. Notice that the difference between 8 and 0, is less than 1% of the 70° span from - 35°
to 35°.

Comparison ofAngle 0 with Independent Linearity Angle OJ

Percentage of Percentage of
0 OJ OJ - 0 Span 0 OJ 0,- 0 Span

35 34.41 -0.59 -084 0 0.00 0.00 000

30 30.00· 0.00 0.00 -5 -5.23 -0.23 -0.33
25 25.36 0.36 0.51 -10 -10.42 -0.42 -0.60
20 20.52 0.52 0.74 -15 -1553 -0.53 -0.76
15 15.53 0.53 0.76 -20 -20.52 -0.52 -0.74
10 10.42 0.42 0.60 -25 -25.36 -0.36 -0.51
5 5.23 0.23 0.33 -30 -30.00 0.00 0.00
0 000 0.00 0.00 -35 -3441 0.59 0.84

The excitation voltage, E 3 , is a sinusoidal voltage that can be represented as follows:

E3 = A sin wI

Substituting the equation for E3 into the equation for E2 and applying the independent lin­

earity equation, we obtain the following relationship for E2 :

E2 = KE3 sin 0 = K(A sin wt) sin 0 = K(A sin Wf)( :~)
E2 = ( : )<O,)Sinwt

Note: ( : ) is a constant.

The last equation shows us that E2 is a sinusoidal voltage whose amplitude varies according
to 0, and, very closely. according to O. Now all we need is a signal conditioning circuit that
will convert the voltage E2 into a usable signal representing the position of the rotor, O. If a
digital signal is required, the signal conditioner may also convert the signal from an analog
form to a digital form. We will refer to a signal conditioner that performs both functions as a
resolver-to-digital converter.
One problem with a resolver is the ne(.~essity I;lf hrushes aud slip lings to bring the exci­
tation voltage to coil E3 on the rotor. The brushes are subject to wear and must be protected
from the dirty environment encountered in industry. The brushless resolver has been devel­
oped to solve this problem. A brushless resulver uses a transfurmer tu cuuple the excitation
voltage to the rotor coil, eliminating the need for brushes and slip rings.

Optical Encoders

An encoder is a device that provides a digital output in response to a linear or angular dis­
placement. The resolver and digital converter discussed in the preceding section is an angu­
lar encoder. In this section we describe another type of encoder, the optical encoder.
 • Sec. 7.2 Position and Displacement Measurement 263

An optical encoder has four main parts: a light source,· a code disk, a light detector, and
a signal conditioner. This section deals with the first three parts. Position encoders can be
classified into two types: incremental encoders and absolute encoders.
An incremental encoder produces equally spaced pulses from one or more concentric
tracks on the code disk. The pulses are produced when a beam of light passes through accu*
rately placed holes in the code disk. Each track has its own light beam; thus an encoder with
three tracks will have three light sources and three light sensors. Figure 7.12 illustrates an op*
tical encoder with three tracks. Each track has a series of equally spaced holes in an other*
wise opaque disk. * The inside track has only one hole, which is used to locate the "home"
position on the code disk. The other two tracks have a series of equally spaced holes that go
completely around the code disk. The holes in the middle track are offset from the holes in

Outer Irack

MIddle track

Inner track

• Figure 7.12 The incremental encoder has three tracks. The inner track provides
a reference signal to locate the home pOSItion The middle track provides information
about the direction of rotation. In one direction, the middle track lags the outside
track; in the other direction, the middle track leads the outside track.

*Many optical encoders use reflective spots mstead of holes In the dIsk. The source and sensor units are mounted
such that the light beam bounces off the reflective spots onto the sensor. The source and sensor are mounted on the
same side of the disk, a decided advantage in some applications.
264 • Chap. 7 Position, Motion, and Force Sensors

the outside track by one-half the width of a hole. The purpose of the offset is to provide di­
rectional information. The diagram of the track pulses in Figure 7.12 was made with the disk
rotating in the counterclockwise direction. Notice that the pulses from the outer track lead the
pulses from the inner track by half the pulse width. If the direction is reversed to a clockwise
direction, the pulses from the middle track will lead the pulses from the outer track by the
same half of the pulse width.
The primary functions of the signal conditioner for an incremental encoder are to deter­
mine the direction of rotation and count pulses to determine the angular displacement of the
code disk. The pulse count is a digital signal, so an analog-to-digital converter is not required
for an encoder.
An angular, incremental encoder can be used to measure a linear distance by coupling the
encoder shaft to a tracking wheel as shown in Figure 7.13. The wheel rolls along the surface to
be measured, and the signal conditioner counts the pulses. The total displacement that can be
measured in this manner is limited only by the capacity of the counter in the signal conditioner.
The incremental encoder simply rotates as many times as the application requires. The measured
displacement is obtained from the total pulse count as given by the following equation:

7TdNT
x (7.9)

where x measured displacement, m

d diameter of the tracking wheel, m
NT total pulse count
NR number of pulses in one revolution
An absolute encoder produces a binary number that uniquely identifies each position on
the code disk. Absolute encoders may have from 6 to 20 tracks. Each track produces I bit of
the binary number according to the code that is established by the hole pattern in the code
disk. Figure 7.14 shows an absolute encoder with seven tracks that form the natural binary
representation of 128 unique positions on the code disk. The number of unique positions on
the code disk is related to the number of bits in the binary number (which is equal to the num"

Angular, incremental
encoder __
- ) Pulse count
-+--../' to Signal
conduioner

Tracking wheel

• Figure 7.13 An Incremental encoder coupled to a tracking wheel is use.d to

measure linear displacement.
 • Sec. 7.2 Position and Displacement Measurement 265

Light sensor

~
Light source assembly
Reading line
(a) (bl

• Figure 7.14 Absolute optical encoder: (a) typical code disk; (b) encoder elements. [From
H. Norton, Sensor and Allaly:rer Handbook (Englewood Cliffs, N.J.: Prentice-Hall. Inc., 1982),
Fig. 1-44, p. 107 1

ber of tracks on the code disk). This also establishes the resolution of the encoder according
to the following equations:
Number of positions = 2N (7.10)
Resolution = 1 part in 2N (7.11)

where N = number of tracks = number of bits in the numher

There are a number of binary codes that could be used in an encoder. The three most pop­
ular codes are the natural binary code, the Gray code. and the BCD code. Figure 7.15 shows
the pattern for these three codes for the numbers from 0 to 10. The Gray code is a popular
code for counters because only I bit changes each time the count increases by 1. Refer to Ap­
pendix C for further discussion of binary codes.

EXAMPLE An incremental encoder is used with a tracking wheel to measul'e linear displacement as shown in
7.3 Figure 7.13. Thc tracking wheel diailletel" is 5.91 em, and the code disk hail IRO holes in the outside track
and 180 holes in the middle track. Determine the linear displacement per pulse and the displacement
measured by each of the following total pulse counts:
(a) NT"" 700
(b) NT = 2220
Solution The linear displacement per pulse can be detennined by dividing Equation (7.9) by NT'
?T(O.0591)
Displacement per pulse
180
= 0.00103 m 0.103 cm

Total displacement = 0.00103 NTm

" .
266 • Chap. 7 Position, Motion, and Force Sensors

(a) NT"" 700

x (0,103)(700) 72.2 em =:; 0.722 m
(b) NT 2220
x = (0.103)(2220) '= 229 em "" 2.29 m
•
EXAMPLE An absolute encoder is to be used for measurements that require a resolution of at least I minute of arc.
7.4 Determine the number of bits required to meet the specified resolution.

Solution First determine the number of minutes in a full circle.

N (60)(360) 21.600 min/cycle
Next find the smallest power of 2 that is larger than 21,600.

214 == 16,384
15
2 32,768

The encoder must have I S bits to have a resolution of at least I minute of arc.
•
Proximity Sensors

Proximity sensors are switches that sense the presence of an object without actually touching
the object. In this section we deal with inductive and capacitive proximity sensors. The next
section covers photoelectric proximity sensors.
Inductive proximity sensors are used to sense the presence of metal parts. They are also
used in automated equipment to sense position and motion. Two or more proximity sensors

IN.turall Bmary

• It'igure 7.15 Digital code ,!roc-tut'C for nbsolul<" <"ncoders. I!-Irom H. Norlon,
Sensor and Analyzer Handbook (Englewood Cliffs. N.J.: Prentice·Hall, Inc.• 1982).
FIg. 1-45. p. 108.1
• Sec. 7.2 Position and Displacement Measurement 267

can be used for simple part identification (e.g., differentiating between short, medium, and
long parts).
An inductive proximity sensor consists of a coil with a ferrite core, an oscillator/detector
circuit, and a solid-state switch. The oscillator creates a magnetic field in front of the sensor,
centered on the axis of the coil. When a metal object enters the magnetic field, the amplitude of
the oscillation diminishes due to a loss of energy to the target. The detector senses the change
in amplitude and actuates a solid-state switch. When the metal object leaves the magnetic field,
the oscillation returns to full amplitude and the solid-state switch returns to its deactivated state.
The sensing range of a proximity sensor is the distance from the sensing face within
which a standard target will be detected. The operate point is the point at which the switch is
activated as a standard target enters the magnetic field. The release point is the point at which
the switch is deactivated as the target leaves the magnetic field. The release point is farther
from the sensing face than the operate point. The difference between the operate point and the
release point is called the hysteresis of the sensor. A typical hysteresis value is 15% of the
sensing range. Table 7.1 lists representative specifications for inductive proximity sensors.
Both the sensing range and the switching speed depend on the size and material of the tar­
get. The ratings are based on a square, mild steel plate 1 mm thick, with sides equal to the diam­
eter of the sensing face or 3 times the sensing range, whichever is larger. The sensing range must
be reduced for nonferrous, metal targets such as aluminum. brass, copper, and stainless steel. The
reduction factors range from 0.25 to 1.00, depending on the material and the type of sensor.
Capacitive proximity sensors can detect the presence of metal objects or nonmetallic ma­
terials such as glass, wood, paper. rubber, plastic, water, and milk. Any material that has a di­
electric constant of 1.2 or greater can be detected with a capacitive sensor. The larger the di­
electric constant, the easier the material is to detect. Materials with a high dielectric constant can
be detected at greater distances than those with a low dielectric constant. Materials with a high
dielectric constant can even be detected through a container made of material with a lower di­
electric constant. Tab1e 7.2 gives the dielectric constants of a few selected materials.
The following are a few applications of capacitive proximity sensors:
1. Detecting the flow of liquid into a conlaiutll"
2. Sensing the level of liquid through a glass or plastic container
3. Detecting the level of liquids or powdered materials in a bin or container
4. Detecting the presence of a sheet of material on a belt conveyor
5. Detecting a tear in a sheet of paper traveling on a belt conveyor

• TABLE 7.1 Representative Specifications for Inductive Proximity Sensors

Sensing Switchmg Typical

Range DJameter Length Speed Part
(mill) (mm) (mm) (Hz.) Numher

8 40 5000 IP-l
2 12 40 1000 IP-2
5 18 40 400 IP-3
10 30 50 200 IP-4
20 47 60 40 IP-5

... _ _... - - - - - - - ­
268
• Chap. 7 Position, Motion, and Force Sensors

• TABLE 7.2 Dielectric Constants

DIelectric DIelectric
Matenal Constant Material Constant

Cereal 3-5 Salt 6

Ethanol. 24 Sand 3-5
Flour 2.5-3 Sugar 3
Gasoline 2.2 Water 80
Nylon 4-5 Wood (dry) 2-6
Paper 1.6-2.6 Wood (wet) 10-30

Typical capacitive proximity sensors range in size from a diameter of 16 mm to a diam­

eter of 95 mm. The sensing ranges for water are 5 mm for the smaller unit and 70 mm for the
larger unit. The sensing distances for metals are the same as those for water. The sensing dis­
tance is reduced for other materials. For glass the reduction factor is 0.3; for wood it varies
from 0.5 to O.M, depending on the moisture content. Manufacturers of capacitive proximity
sensors recommend physical tests to ensure detection of a part.iclllar material.

Photoelectric Sensors

Photoelectric sensors use a beam of light to detect the presence of objects that block or re­
flect the light beam. A light source provides the beam of light, and a phototransistor detects
the presence or absence of light from the source. Both incandescent lamps and infrared LEDs
are used as the light source. Tncandescent lamps provide a wide spectrum of visihle light with
relatively high-power output, and the visible beam is easy to align. LEDs have a much longer
life, generate les!! heat, and are le88 susccptible to shock and vibration damage. The LED has
the added advantage that it can be modulated for increased noise immunity. Modulation
means the LED is pulsed on and off at a very high frequency. The receiver is tuned to receive
the modulated infrared light while rejecting unmodulated light. Modulation greatly reduces
the influence of background lighting on the receiver, A morlulatl".d LEn j~ calk-a:! an pmittn;
and its phototransistor is called a receiver.
Figure 7.16 illustrates five different ways of using a light beam to detect the presence of
an object. The five methods are direct scan, retrorefiective scan, diffuse scan, convergent
beam scan, and specular scan. In the direct scan method, the object to be detected passes be­
tween the light source on one side and the receiver on the other side. Thc object is detected
when it breaks the light beam. Direct scan has the greatest range (up to 100 ft) and can han­
dle the dirtiest environment. In the retroreJlective scan method, the light source and the re­
ceiver are mounted in the same sensing unit. A special retroreflective target is used to reflect
the light beam back to the receiver. The double distance the beam must travel and reflector
losses give the retroreflective scan method a range of 10 to 30% of the range of the direct
scan method.
The diffuse scan method is similar to the retroreflective method, but without the reflec­
tive target. The light beam strikes the surface of the object and is diffuSGd in all directions. A
portion of the diffused light reaches the receiver and actuates the switching action. In the di­
rect and retroreflective methods, the target breaks the beam. In the diffuse method, the target
 • Sec. 7.2 Position and Displacement Measurement 269

Emitter D------0 Receiver

a) Din:ct scan

ml~1
E'
n:celver D------~ Rftt
------
e ec or

b) Retron:ftective scan

~
Emltterl
receiver
D -----~D

-r
----_- - - - _ - -

c) Diffuse scan

Object

d) Convergent beam scan

Emitter 0___-____- - .__- -.... .--11 Mirror

---====-=--u surface
Receiver 0-­ - -- • Figure 7.16 FIve methods used with pho­
e) Specular scan toelectnc sensors,

makes the beam. Photoelectric proximity sensors use the diffuse scan method. The convergent
beam method is a variation of the diffuse scan method in which special lenses are used to fo­
cus the light beam on a point located a fixed distance from the light source. The convergent
beam sensor will only detecl objects that are near the point of focus. It is used to detect parts
at a certain range while ignoring the background. Applications include broken wire detection
and edge detection.
The specular scan method is used only when the object has a mirrorlike finish. The emit­
ter and the receiver are mounted at. equal angles from a line perpendicular to the mirror sur­
face of the object to be detected. When the object is present, it reflects the light beam back to
the receiver (the angle of incidence equals the angle of reflectance). The specular scan method
is used to detect the difference between a dull and shiny surface. An example is detecting the
presence or absence of a foil wrapping on a package.
Ultraviolet (UV) sensors are used in some interesting applications. For example, ultravi­
olet inks are used to print lot numbers and other information on consumer packages (e.g .•
270 • Chap. 7 Position, Motion, and Force Sensors

soap products). This information is invisible to the customer, so it can be written on top of the
visible information. The "hidden" information conserves space on the label, and it does not
detract from the message on the label. In another example, American Express nses an ultra~
violet coating on their charge cards. A retail clerk can detect any tampering with the card with
the use of a simple UV light.

7.3 VELOCITY MEASUREMENT

Sensing Methods

Velocity is the rate of change of displacement or distance. It is measured in units of length per
unit time. Velocity is a vector quantity that has both magnitude (speed) and direction. A
change in velocity may constitute a change in speed, a change in direction. or both.
Angular velocity is the rate of change of angular displacement. It is measured in terms of
radians per unit time or revolutions per unit time. Angular velocity measurement is more com­
mon in control systems than linear velocity measurement When linear velocity is measured,
it is often converted into an angular velocity and measured with an angular velocity trans­
ducer. Three methods of measuring angular velocity are considered in this section: de
tachometers, ac tachometers, and optical tachometers.

DC Tachometers

A tachometer is an electric generator used to measure angular velocity. A brush-type de

tachometer is illustrated in Figure 7.17. The coil is mounted on a meta) cylinder called the
armature. The armature is free to rotate in the magnetic field produced by the two permanent­
magnet field poles. The two ends of the coil are connected to opposite halves of a segmented
. connection ring called the commutator. There are two segments on the commutator for each
coil on the armature (only one is shown in Figure 7.17). For example, an armature with 11
coils would have a commutator with 22 segments.

FIeld FIeld
polc pole

Commutator • Figure 7.17 Tachometer generator.

 • Sec. 7.3 Velocity Measurement 211

The two carbon brushes connect the lead wires to the commutator segments. The brushes
and commutator act as a reversing switch that reverses the coil connection once for each 1800
rotation of the armature. This switching action converts the ac voltage induced in the rotating
coil into a dc voltage. In other words, the commutator and brush constitute an ac-to-dc converter.
The tachometer produces a dc voltage that is directly proportional to the angular veloc­
ity of the armature. Equation (7.12) defines the output voltage of the dc tachometer. The con­
stant of proportionality is called the EMF constant, K E , and it has units of volts per revolution
per minute (V/rpm). The EMF constant depends on the physical parameters of the coil and
the magnetic field, as defined by Equation (7.13).

E (7.12)

21rRBNL
KE = 60 (7.13)

where E = tachometer output, V

KE = EMF constant, V/rpm
S angular velocity, rpm
tv = angular velocity, rad/s
R = average radius, m
B = flux density of the magnetic field, weber/m2 (Wb/m2)
N = effective number of conductors
L length of each conductor, m
A harsh industrial environment can be very hard on brush-type tachometers. Particulate
contaminants can cause excessive wear in the brushes. Gaseous contaminanls builu up films un
the commutator that cause inaccuracies. A sealed enclosure results in excessive heat buildup
and thennal drift problems. A brushless dc tachometer solves these problems by reversing the
positions ofthe permanent magnet and the coil. Thp.llrmllture is the pennanent magnet and the
coil is stationary. The brushes and commutator are not required because there are no electrical
connections necessary to the armature. However, additional circuitry is required to sense the
position of the armature and provide appropriate solid-state switching to produce a dc output.
The solid-state switching circuit serves the same function as the brushes and commutator.

EXAMPLE A de tachometer has the loJlowing specifications:

7.5
R = 0.03m
B "" 0.2 Wb/m2
N ~ 220
L O.l~m

Determine KE and the output voltage at each of the following speeds:

S = 1000, 2500, and 3250 rpm

- - - - -...- -.. ~ .. --~.

 272
• Chap. 7 Position, Motion, and Force Sensors

21TRBNL
Solution KlI,=
60

21T(O.03)(O.2)(220)(O.lS)
60

= 0.0207 V/rpm

ForS 1000 rpm,

E = (0.0207)(1000) = 20.7 V

For S = 2500 rpm,

E = (0.0207)(2500) = 51.8 V

For S = 3250 rpm,

E == (0.0207)(3250) = 67.3 V

•
AC Tachometers

An ac tachometer is a three-phase electric generator with a three-phase rectifier on its output.

The ac tachometer works well at high speeds, but the output becomes nonlinear at low speed
due to the voltage drop across the rectifiers (about 0.7 V). For this reason, ac tachometers are
usually limited to speed ranges of 100 to 1, compared with 1000 to I for dc tachometers. The
ac tachometer has no brushes and has the same ability to withstand a contaminated environ­
ment as the brush less de generator.

Comparison of f)C and AC Tachometers

Brush-Type Brushless
DC Thchometer DC Thchometer AC Thchometer

Speed Range 1000/1 1000/1 100/1

Harsh Environment No Yes
CircuItry None Position sensor and Rectll'ier
solid-state switehmg

Optical Tachometers

An incremental encoder connected to a rotating shaft produces a sequence of pulses from

which a digital velocity signal ean be easily obtained. The major signal conditioning require­
ment is a timed counter. For example, assume that an incremental encoder has 1000 holes in
the outside track and produces a new total every 10 ms. A shaft speed of 600 rpm (10 revo­
lutions per second) will produce 10 X 1000 == 10,000 pulses per second. The counter will
count 0.01 X 10,000 == 100 pulses during a lO-ms interval. Thus a count of 100 corresponds
to an angular velocity of 600 rpm. Equations (7.14) and (7.15) define the relationship between
the shaft speed and the timed count for an optical tachometer.
I

--~.~ ----;­
 • Sec. 7.4 Acceleration Measurement 273

S 60C (7.14)
NT(
C = SNTc (7.15)
60
where S = shaft speed, rpm

N == number of pulses per shaft revolution

C = total count during time interval T,

T( counter time interval, s

When a speed measurement is obtained from an absolute encoder, the track with the
greatest number of holes (least significant digit) is used in the same manner as an incremen­
tal encoder. Optical encoders can handle very large dynamic ranges with extremely high ac­
curacy and excellent long-term stability.

EXAMPLE An incremental encoder has 2000 pulses per shaft revolution.

7.6
(a) Determine the count produced by a shaft speed of 1200 rpm if the timer count interval is 5 ms.
(b) Determine the speed that produced a count of 224 for a timer count interval of 5 ms.

Solution (a) Equation (7.15) applies:

'.ii.,
(1200)(2000)(0,005)
C=' =200
60
(b) Equation (7.14) applies:
(60)(224)
S = (2000)(0.005) = 1344 rpm
•
7.4 ACCELERATION MEASUREMENT
Sensing Methods

Acceleration is the rate of change of velocity. The measurement of linear acceleration is based
on Newton's law ofmotion:/= Ma [i.e., the force (f) acting on a body ofmas8 (M) is equal
tu the product of the mass times the acceleration (a)]. Acceleration is measured indirectly by
measuring the force required to accelerate a known mass (M). The units of linear acceleration
are meter/ second2 •
Angular acceleration is the rate of change of angular velocity. The measurement of angu­
lar acceleration is usually obtained by differentiating the output of an angular velocity trans­
ducer. Angular acceleration is expressed in terms of radian/second2 or revolution/second2 .

Accelerometers

A schematic diagram of a linear accelerometer is shown in Figure 7.18. The accelerometer is

attached to the object whose acceleration is to be measured and undergoes the same acceler­
ation as the measured object. The mass M is supported by cantilever springs attached to the
accelerometer frame. Motion of the mass M is damped by a viscous oil surrounding the mass.

;~ .
274 • Chap. 7 Position, Motion, and Force Sensors

, - - - - 1 - Cantilever

spring

Mass

Di3placement
sensor

f- Direction of
acceleration

a) At rest b) Accelerating up

• Figure 7.18 Linear accelerometer.

The accelerometer is a spring-mass-damping system similar to the control valve shown

in Figure 4.5 and the second-order process shown in Figure 14.9a. A second-order system is
characterized by its resonant frequency (/0) and its damping ratio (0, as determined by the
following equations:

(7.16)

(7.17)

where 10 == resonant frequency, Hz

, == damping ratio
K == spring constant, N/m (K == l/Cm )
M == mass, kilogram
b :::::; damping constant, N . s/m
Consider the situation in which the accelerometer frame in Figure 7.1Sb is accelerated
upward at a constant rate. The mass M will deflect the cantilever springs down until the
springs exert a force large enough to accelerate the mass at the same rate as the frame. When
this occurs, the spring force (Kx) is equal to the accelerating force (f = Ma).
Kx Ma
or
M
x=-a (7.18)
K
where x = displacement of the mass, m
M = mass, kg
 • Sec. 7.4 Acceleration Measurement 275

K = spring constant, N/m

a = acceleration, m/s2

Equation (7.18) indicates that the displacement x is proportional to the acceleration and
may be used as a measure of the acceleration.
However, most accelerometers are used to measure accelerations that change with time.
The response of the accelerometer depends on the frequency with which the measured accel­
eration changes. If the frequency is well below the resonant frequency (fo), Equation (7.18)
is accurate and the displacement may be used as a measure of the acceleration. At frequen­
cies well above the resonant frequency, the mass remains stationary. The displacement is
equal to the displacement of the accelerometer frame. It is not a measure of the acceleration.
At frequencies near the resonant frequency, the displacement of the mass is greatly exagger­
ated. Again, the displacement is not a measure of the acceleration. In conclusion,

An accelerometer must have a resonant frequency considerably larger than the frequency of the
acceleration it is measuring.

Thompson* has shown that the error in Equation (7.18) is less than 0.5% if the resonant
frequency (to) is at least 2.5 times as large as the measured frequency when the damping ra­
tiu is 0.6.

EXAMPLE The accelerometer in Figure 7.18 has the following specifications:

7.7
M = 0.0156 kg

K = 260N/m
b == 2.4N· slm
Xmax = ±0.3 cm

Determine the following.

(8) The maximum acceleration that can be measured

(b) The resonant frequency,to
(c) The damping ratio, (
(d) The maximum frequency for which Equation (7.18) can be used with less than 0.5% error

Solution (a) The maximum acceleration may be determined by using Equation (7.18):

Ma
x=f(

*w. T. Thompson. Mechanical Vihmtinf!s (Rnell1Wonrl Cliffs, N.J.: Prentice.Hall, Inc., 1948).

~--~ ... - - - ...- -... - - . -... - - - - - - - - - _... __ _ - - - ... ---~-- - - -..- - - -...- ­
..
276 • Chap. 7 Position, Motion, and Force Sensors

(0.003)(260)
0.0156

=50mN
(b) The resonant frequency is given by Equation (7.16):

1[2.60
10 = 21T Vo:oi56
= 20.6 Hz
(c) The dampmg ratio is given by Equation (7.17):

J 2.42
( = V(4)(260)(0.0156)
0.595

(d) The maximum frequency for an error lcss than 0.5% is fu/2.S:

20.6
= = 8.25 Hz
fmox 2.5
•
7.5 FORCE MEASUREMENT

Sensing Methods

Force is a physical quantity that produces or tends to produce a change in the velocity or
shape of an object. It hus a magnitude and a direction, which are both defined by Newton's
second law of motion.
.f Ma (7.19)
where f = force applied to mass M, N

M = mass, kg

a = acceleration of mass M, m/s 2

The magnitude of force f is equal to the product of the magnitudes of M and a. The direction
of force f is the same as the direction of accderaliull a.
Equation (7.19) does not mean that there are no forces on a body if it is not accelerating,
only that there is no net unbalanced force. Two equal and opposite forces applied to a body
will balance, and no acceleration will result. All methods of force measurement use some
means of producing a measurable balancing force. Two general methods are used to produce
the balancing force: the null balance method and the displacement method.
A beam balance is an example of a null balance force sensor. The unknown mass is
placed on one pan. Accurately calibrated masses of different sizes are placed on the other pan
until the beam is balanced. The unknown mass is equal to the sum of the calibrated masses in
the second pan.
A spring scale is an example of a displacement type of force sensor. The unknown mass
is placed on the scale platform, which is supported by a calibrated spring. The spring is dis­

.. -~ .... ~.~-~
• Sec. 7.5 Force Measurement 277

placed until the additional spring force balances the force of gravity acting on the unknown
mass. The displacement of the spring is used as the measure of the unknown force.
Two force sensors are covered in this section. The strain gage load cell is a displacement
type of force sensor. The unknown force is applied to an elastic member. The displacement of
the elastic member is converted to an electric signal proportional to the unknown force. The
pneumatic force transmitter is a null balance type of force sensor. The unknown force is bal~
anced by the force produced by air pressure acting on a diaphragm of known area. The air
pressure is proportional to the unknown force and is used as the measured value signal.

Strain Gage Force Sensors

Strain is the displacement per unit length of an elastic member. For example, if a bar of length
L is stretched to length L + aL, the strain, €, is equal to aL/L. A strain gage is a means of
converting a small strain into a corresponding change in electrical resistance. It is based on
the fact that the resistance of a fine wire varies tl.'l the wire is stretched (strained).
There are two general types of strain gages: bonded and unbonded. Bonded strain gages
are used to measure strain at a specific location on the surface of an elastic member. The
bonded strain gage is cemented directly onto the elastic member at the point where the strain
is to be measured. The strain of the elastic member is transferred directly to the strain gage,
where it is converted into a corresponding change in resistance. Unhonded strain gages are
used to measure small displacements. A mechanical linkage causes the measured displace­
ment to stretch a strain wire. The change in resistance of the strain wire is a measure of the
displacement. The displacement is usually caused by a force acting on an elastic member.

The unbounded strain gage measures the total displacement of an elastic member. The bonded
strain gage measures the strain at a specific point on the surface of an elastic member.

The gage factor of a strain gage is the ratio of the unit change in resistance to the strain.
aRIR
(7.20)
G = aLIL

where G = gage factor

..:iR = change in resistance, n
R resistance of the strain gage, n
..:iL change in length, m
L = length of the strain gage, m
The gage factor is usually between 2 and 4. The effective length (L) ranges from about 0.5 cm
to about 4 cm. The resistance (R) ranges from 50 to 5000 n.
The stress on an elastic member is defined as the applied force divided by the unit area. If
fis the applied force and A is the cross-sectional area, the stress is equal toj/A. In elastic ma­
terials, the ratio of the stress over the strain is a constant called the modulus of elasticity (E).

E=S (7.21)
€

; ...
 278 • Chap. 7 Position, Motion, and Force Sensors

where E = modulus of elasticity, N/m 2

S = stress, N/s . m2
E = strain, m/m
An example of a strain gage force sensor is illustrated in Figure 7.19. The cantilever
beam is the elastic member (a diving board is a familiar example of a cantilever beam). The
unknown force is applied to the end of the beam. The strain produced by the unknown force
is measured by a bonded strain gage cemented onto the top of the beam. The center of the
strain gage is located a distance L units from the end of the beam.
The cantilever beam assumes a curved shape that approximates a semicircle. The top sur­
face is elongated, while the bottom surface is compressed. Halfway between these two sur­
faces is a neutral surface, in which there is no displacement. The stress at any point on the top
surface of the cantilever beam is given by the following equation:

S (7.22)

where S stress, N/m

f = applied force, N
L = distance from the point to the end of the beam, m
b = width of the cantilever beam, m
h = height of the cantilever beam, m

Bonded strain gage

Cantilever beam

Wheatstone Output

bridge and sIgnal

amplifier (volts,

• Figure 7.19 The strain gage load cell is an example of a displacement-type

force sensor. The switch back path of the strain wire increases its effective length (by
a factor of 6 as shown). This amplifies both Rand ilR by the same factor of 6.

-------~----- ....... - -.. ~ ---,.~-

• Sec. 15 Force Measurement 279

Equations (7.20), (7.21), and (7.22) can be combined to obtain the following expression
for the unit change in resistance produced by the unknown force f.

(7.23)

where llR = change in resistance of the strain gage, .fl

R = un strained resistance of the strain gage, .fl
G = gage factor of the strain gage
L = distance from the center of the strain gage to the end of the beam, m
b = width of the cantilever beam, m
h == height of the cantilever beam, m
E == modulus of elasticity of the cantilever beam, N/m2 (see Table 7.3)

Pneumatic Force Transmitter

A pneumatic force transmitter is illustrated in Figure 7.20. The unknown force/is balanced
by the force of the air pressure against the effective area of the diaphragm. The ball and noz­
zle is arranged such that the balance of the two forces is automatic. For example, suppose that
the force/increases. The force rod moves upward, reducing the opening between the ball and
nozzle. The pressure in the diaphragm chamber increases and restores the balanced condition.
The air pressure (p) in the diaphragm chamber is detennined by the following equation:
/= (p - 3)A (7.24)

where / = unknown force, Ib

p = air pressure, Ib/in2
A = effective area of the diaphragm, in2

• TABLE 7.3 Modulus of Elastioity

of Common Metals

Matenal E(N/mz)

Aluminum 6.9 X )O!()

Beryllium 2.9 x lOll
Copper 1.1 X 1011
Gt:lld 1.R X 1010
Steel 2.1 X lOll
Lead 1.8 X 10 10
Molybdenum 3.5 X lOll
Nickel 2.1 X 10"
Silicon 11 X 1010
Silver 7.7 X 1010
Tungsten 4.1 X 1011
Zinc 79 X 1010

. - -..- - - _ -.. - - - - - - - - - - - 0 - ­ .. -~ ..- -.. - - - - ­

280 • Chap. 7 Position, Motion, and Force Sensors

Ball-lInd-no7Zle
Dlllphmgm chamber dl!>plllcemenl detector

OUlput
I~-psl
"lgn.,1
supply
3-15 pSI

Zero "prmg

Force
• Figure 7.20 The pneumattc force transmit­
ter i~ an example of a null balance force sensor.

The (p - 3) term simply indicates that 3 psi corresponds to a force of zero. The signal range
is from 3 to 15 psi.

.EXAMPLE The strain gage force sensor in Figure 7.19 has the following specifications:
7.8
Cantilever Beam
Material: steel

E == 2 X 1011 N/m2

Maximum allowable stress = 3.5 X 108 N/m2

b == I em

h = 0.2 em

L"" 4cm
Strain Gage
Gage factor == 2

Nominal resistance = 120 0

Determine tbe maximum force that can be measured and tbe ebange in resistance produced by the max­
imum fUl'ce.
SolutIOn The maximum force is obtained by substituting tbe maximum allowable stress into Equation (7.22) and
solving for fmax.

(3.5E + 8)(0.01)(0.002)2
(6)(0.04)
== 58.3 N
Tbe cbange in resistance is obtained from Equation (7.23).

dR == R(6GL)f
2
bh E
 • Chap. 7 Glossary 281

= 120 [ (6)(2)(0.04) ] (583)

(0.01 )(0.002)~(2E + 11) .
= 0.42 {}
2
•
EXAMPLE The pneumatic force transmitter in Figure 7.20 has an effective area of 2.1 in • Determine the force
7.9 range of the transmitter.

Solution Equation (7.24) may be used.

f= (p 3)A = (IS - 3)(2.1) == 2S.2Jb

•
• GLOSSARY

Absolute encoder: A device that produces a binary code that uniquely identifies the angular position
of a sensing disk. (7.2)
Accelerometer: A device that measures the acceleration of an object to which it is attached. (7.4)
Bonded strain gage: A sensor that is bonded to an elastic member to measure the strain at that spe­
cific location on the surface of the elastic member. (7.5)
Convergent beam method: A variation of the diffuse scan method of photoelectric detection in
which special lenses are used to focus the light heam on 11 fixed location. (7.2)
Diffuse scan method: A method of photoelectric detection in which the light source and the receiver
are mounted in the same sensing unit. The light beam strikes the object and is diffused in all di­
rections, but enough light reaches the receiver to actuate the switch. (7.2)
Direct scan method: A method of photoelectric detection in which the object to be detected passes
between the emitter and the receiver. (7.2)
Encoder: A device that prQvides a digital output in response to a Iinf'.ar or angular displacement. (7.2)
Gage foctor! The ratio of the unit change in resistance of a atrain gage to the strain it is measuring.
(7.5)
Incremental encoder: A device that, when rotated, produces equally spaced pulses from one or more
concentric tracks on a code disk. (7.2)
Load cell: A sensor that measures foree. (7.5)
Loading error: An error in a potentiometer caused by the current through the load resistor and equal
to the difference between the loaded output voltage and the no-load output voltage. (7.2)
LVDT: Abbreviation for linear variable differential transformer, an electromagnetic transducer used
to measure linear displacement. (7.2)
Operate point: The point at which a proximity sensor actuates when a standard target approaches the
sensing face. (7.2)
Photoelectric sensor: A sensor that uses a beam of light to detect the presence of an object. The two
parts of a photoelectric sensor arc the emitter and the receiver. (7.2)
PIP: Abbreviation for presence, identificatiulI, and pusiLiun measurement of partS in a manufacturing
operaliull. (7.2)
Potentiometer: A resistance element with a sliding contact that can be moved from one end to the
other. (7.2)
Proximity sensor: A device that senses the presence of an object without actually touching the ob­
ject. (7.2)
Release point: The point at which a proximity sensor deactivates when a standard target moves away
from the sensing face. (7.2)

- ... ~ ..- -.... -~-- ... --~ ... - . - - . - - - -----­ ----,---c .-~.-- ... -----~
282 • Chap. 7 Position, Motion, and Force Sensors

Resolver: A rotary transformer that produces an output sIgnal that is a function of the rotor position.
(7.2)
Retroreflective scan'method: A method of photoelectric detection in which the light source and the
receiver are mounted in the same sensing unit. A special retroreftective target, mounted on the ob­
ject to be detected, reflects the light beam from the source back to the receiver. (7.2)
Sensing range: The distance from the sensing face of a proximity sensor within which a standard tar­
get will be detected. (7.2)
Specular scan method: A method of photoelectric detection that is used only when the object has a
mirror-like finish. The light source and the receiver are mounted such that the light beam reflects
from the object mto the receiver. (7.2)
Strain gage: A sensor that measures the displacement per unit length of an elastic member that is un­
der stress. (7.5)
Synchro: A rotary transducer that convert& angular displacement into an ac voltage or vice versa. The
three types of synchro are the transmitter, the transformer, and the differential. (7.2)
Tachometer: An electric generator used to measure angular velocity. (7.3)
Unhonded strain gage: A sensor that IS attached to an elastic member at two points to measure the
total displacement between the two attachment points. (7.5)

• EXERCISES

Section 7.2 7.5 The synchro system in Figure 7.9 operates at a fre­
quency of 400 Hz, The maximum amplitude of the trans­
7.1 Determine the number of turns reqlllft'.d to procinr.t': a [unm:! Iulul vultagt: is 22.5 V. Dt:lt:illlim:: the a~ error ~i8-
potentlomet.er with each of the tollowing resolutions. nal produced by each of the following pairs of angular
(a) 1% (b) 0.5% (c) 0.2% di&placements.
(d) 0.1 % (e) 0.01 % (a) 0 = 60°, (J(I -60°
7.2 The potentiometer in Figurc 7.4 has a resistance of (b) (} = '30°, (Jd --20"
100,000 n. Determine the loading error caused by the rul­ (c) () "" 45°, Od 20°
lowing values of RL and a. (d) (}= -18°,0(} -\7"
(a) RL 1000 0; a = 0.25,0.5,0.75 7.6 Equations (7.5) and (7.6) define the stator voltages
(b) RL 10,0000; a = 0.25,0.5,0.75 (E I and E 2 ) of a resolver in terms of the rotor voltages (E3
tc) Rl. 100,000 H; a = 0.25,0.5,0.75 and E4).
7.3 The synchro system in Figure 7.6 operates at a fre­
£, K(E3 cos (J - E4 sin 0) (7.5)
quency of 60 Hz. The maximum amplitude of the trans­
former rotor voltage is 6.2 V. Determine the ae error signal E2 = K(E4 cos 0 + E3 sin 0) (7.6)
produced by each of the following angular displacements.
Assume that K I and show that Equations (7.5) and
(a) () 75 0
(7.6) can be rearranged to define the rotor voltages in
(b) (J 45°
terms of the stator voltages as follows:
(c) (J 1500
(d) (} 1100 E3 = EI cos (J + £2 sin (J
7.4 For the synchro system in Exercise 7.3, determine
E4 = E2 cos (J - EI sin f)
the angular displacement that will produce each of the fol­
lowing ac error signals. Hmt: Use the following equivalent forms of cos () and sin
(8) 3.1 sin 377t odurmg the manipulation of the equations.
(b) -4.8 sin 377t
(c) 5.5 &in 377t x
cos (J = --c===
(d) 2.7 sin(377t + lIlOO)
 • Chap. 7 Exercises 283

. 8 Y around the middle of the bottle and should extend from 6 em

sm =.~
vx2 + y­ above the bottom to 18 cm above the bottom. Tests show
that the model PCS-J convergent beam sensor can detect the
7.7 Which of the following would you consider for an­ presence of a bottle when a cap is at the point of focus (2 em
gular measurement over a range of ± 160°? from the lens). The model PDS-2 direct scan se.nsor can see
(a) potentiometer through the bottle and its contents but not through the label.
(b) .sy~chro Write a proposal with appropriate sketches to show how one
(e) resolver PCS-l and two PDS-2 sensors could be used to check the
(d) absolute encoder placement of labels.
7.8 Determine the number of positions in an absolute en­ 7.13 The resolver shown in Figure 7.11 is used to mea­
coder with each of the following number of tracks: sure the angular displacement, 8. Notice that E4 is
(a) 6 (b) 8 (e) 10 (d) 12 shorted, E3 is a sinusoidal input voltage, and voltages EI
(e) 16 (f) 20 and E2 depend on the angular position 8 as given in
7.9 An incremental encoder is used with a tracking Equations (7.7) and (7.8). Notice that EI and E2 are sinu­
wheel that has a diameter of d cm. The encoder has N R soidal voltages whose amplitudes vary as cos 8 and sin 8,
holes in the outside track and also in the middle track. For respectively.
each of the following condition sets, determine the linear (a) Assume that E3 10 cos 2ooo71"t V and K = L By
displacement pcr pulse and the total pulse count required equations (7.7) and (7.8), lhe amplilude of EI is 10
to measure a distance of x meters. cos fJ and the amplitude of E2 is to sin fJ. Sketch
(a) d 10 cm, NR = 2000, x = 6.3 m graphs of the amplitudes of E I and E2 versus 8 for val­
(bl d:= 5 cm, NR 500, x = 0.8 m ues of 8 from -90° to +90Q •
(e) d = 18 cm, NR = lOoo,.x = 2.2 m (b) Assume that voltage. E2 has been converted to a dc
(d) d = 12 cm, NR = 1600, x 8.6 m voltage equal to 10 sin fJ V. Design a five-step, piece­
7.10 An absolme encoder is used to measure angular po­ wise-linear function thut will input the voltage to sin
(J V and will output the voltage fJ/9 V.
sition over a range of 0 to 360°. Determine the number of
bits required in the counter for each of the following reso­ 7.14 An optical encoder is used with a to-em-diameter
lution specifications. tracking wheel to measure linear displacement. The en­
(a) JOofarc (b) 0.1° of arc coder gellerates 256 pulses per revolution (NR ).
(e) 0.5 minute of arc (d) 0.1 minute of arc (a) Determine the total pulse count (N11 produced by the
7.11 A proximity sensor will be used to sense the teeth on measurement of a linear displacement of 2 m.
a rotating gear. The output of the sensor will be used to (b) Determine the minimum number of bits required to
measure the rotational speed of the gear. Select a sensor store the count produced by the measurement of a dis­
from Table 7.1 for each of the following condition sets. tance of 20 m.
(a) A 20-tooth gear is operating at 1000 rpm with a min-
Imum sensing range of 4 mm. Section 7.3
(b) A IO-tooth gear is operating at 300 rpm with a mini­
mum sensmg range of 8 mm. 7.15 Determine the output voltage (E) of a dc tachome­
(e) A 50-tooth gear is operating at 4200 rpm with a min­ ter for each of the following condition sets:
imum sensing range of 0.8 mm. (a) KE 0.018 V/rpm, S = 3600 rpm
(d) A 30-tooth gear IS operating at 1800 rpm with a min­ (b) KE = 0.012 V/rpm, S = 5200 rpm
imum sensing range of 1.6 mm. (e) KE = 0.022 V/rpm, S = 1150 rpm
(e) A lO-tooth gear is operating at 180 rpm with a mmi- (d) KE 0.016V/rpm,S=32oorpm
mum sensing range of 16 mm. 7.16 Determine the value of Kg from each of the follow­
7.12 The North Star Engineering Company specializes in ing tests of different dc tachometers.
photoelecmc systems for inspection and control. The com­ (a) E = 50 V @ S = 4000 rpm
pany just received a request to bid on a system to check the (b) E == 60V @ S = 3000 rpm
label placement on 2-L plastic bottles. The bottles are 30 em (e) E = 45 V @ S 5000 rpm
high and have a 3-cm-diarneter white cap. The label wraps (d) E = 36 V @ S == 4200 rpm

.- .
284 • Chap. 7 Position, Motion, and Force Sensors

7.17 A dc tachometer has the following specifications: (c) The damping constant, b. required to produce a damp­
ing ratio of 0.6.
R 0.025 m (d) The maximum frequency for which Equation (7.18)
B "" 0.22 Wb/m 2 can be used with less than 0.5% error.
N 120
L 0.25 m Section 7.5

Determine KE and construct a calibration curve for a ve­ 7.21 The strain gage force transducer in Figure 7.19 has
locity range of 0 to 5000 rpm. the following specifications:
7.18 Determine the speed measured by each of the fol­ Cantilever Beam
lowing incremental optical encoders:
(a) Count =' 102, timer interval = 4 ms, N 500 Material: steel
pulses/revolution E=2XlO II N/m2
(b) Count = 2800, timer interval = 10 ms, N 1600 Maximum allowable stress 5.0 X lOS N/m 2
pulses/revolution b = 1.25 cm
(c) Count 1800, timer interval = 8 ms, N 2000 h = 0.25 cm
pulses/revolution L = 6cm
(d) Count = 1200, timer interval = 10 ms, N 1000 Strain Gage
pulses/revolution
Gage factor = 2
7.19 Determine the count produced by each of the fol­ Nominal resistance 200 n
lowing incremental optical encoders:
(a) Shaft speed 1800 rpm, timer interval = 40 ms, N = Determine the maximum force that can be measured and
500 pulses/revolution the change in resistance produced by the maximum force.
(b) Shaft speed = 3600 rpm, timer interval 10 ms, N = 7.22 The pneumatic force transmitter in Figure 7.20 is to
1800 pulses/revolution have an input of 0 to 50 Ib force and an output signal range
(c) Shaft speed 5000 rpm, timer interval = 16 ms, N = of 3 to 15 psi. Determine the required effective area.
2000 pulses/revolution 7.23 The strahl gage force transducer in Pigure 7.19 has
(d) Shaft speed = 4400 rpm. timer interval ;;;; 8 ms, N ::;; the rollowing specifications:
1200 pulses/revolution
Cantilever Beam
Material: beryllium
Section 7.4 E = 2.9 X lOll N/m2
Maximum allowahle stre!':!"; = 10.0 X 108 N/m 2
7.20 The accelerometer in Figure 7.18 has the following b = 2.1 em
specifications: h = 0.4 em
L = 12 cm
M = 0.012 kg

K = 320N/m
Strain Gage 2
Xlii.... = +0.25 em
Gage factor 2 =
Nominal resistance = 300 n
Determine the following:
(8) .The maximum acceleration that can be measured. Determine the maximum force that can be measured and
(b) The resonant frequency, 10. the change in resistance produced by the maximum force.
• CHAPTER8 Process Variable
Sensors

• OBJECTIVES

In Chapter 7 we examined the sensors used to measure position, motion, and force. In this chapter we
examine the sensors used to measure temperature, pressure, flow rate, and level. Some of these sensors
are already familiar to you. For example, the home thermostat contains a temperature sensor that mea­
sures the room air temperature. Water pumps contain a pressure sensor that actuates a switch to tum the
pump on or off. Water meters measure the amount of water you use, and every home has one or two
level sensors.
The purpose of this chapter is to give you an entry-level ability to discuss, select, and specify tem­
perature, flow rate, pressure, and level sensors. After completing this chapter, you will be able to

1. List m~or considerations in the selection of

a. Temperature sensors
b. Flow rate sensors
c. Pressure sensors
d. Level sensors
2. Describe the following temperature sensors
a. Bimetallic
b. Resistance
c. Filled thermal
d. Thermister
e. Thermocouple
f. Radiation pyrometer
3. Describe the followingflow rate sensors
a. Differential pressure
b. Turbine
c. Vortex shedding

285

... - -.. -~ .... ~~~--

286 • Chap.S Process Variable Sensors

d. Magnetic
e. Positive displacement sensors
4. Describe the following pressure sensors
a. Strain gage diaphragm
b. Bourdon element
c. Capacitance diaphragm
d. Bellows
5. Describe the following level sensors
a. Displacement float
b. Static pressure
c. Capacitance
6. Compute the coefficients of a quadratic calibration equation
••••
8.1 TEMPERATURE MEASUREMENT

Sensing Methods

Temperature is a measure of the degree of thermal activity attained by the particles in a body
of matter. When two adjacent bodies of matter are at different temperatures, heat is transmit­
ted from the warmer body to the cooler body until the two bodies are at the same temperature
(two bodies at the same temperature are said to be in thermal equilibrium). The standard tem­
perature scales are illustrated in Figure 8.1. The Celsius and Kelvin scales are the common
and absolllt~ t~m~ratllre scales of the Sl system of units.
In the act of measuring the temperature of a body, heat is transmitted between the ther­
mometer and the body until the two are in equilibrium. The thermometer actually measures
the equilibrium temperature-not the initial temperature of the body. Thus the measuring
process imposes a change in the original temperature of the body. Except when the ther­
mometer and the measured body are at the same temperature before the measurement, 100%

BOIlmg pomt_ 373.19 K

or water
Freezmg point_ 273.19 K 32° F
of wdter

Absolute OK -273 19° C -459.61· F

zero ---'--'-------­
Kcl\m CelsIUS Fahrenheit

• Figure 8.1 Standard temperature scales.

 • Sec. 8.1 Temperature Measurement 287

accuracy in temperature measurement is impossible to attain. Additional errors are introduced

by heat loss from the portion of the thermometer that is not immersed in the measured body.
Careful consideration is required to minimize these measurement errors.

Differential Expansion (Bimetallic) Thermostats

A bimetallic element consists of two strips of different metals bonded together to form a leaf,
coil, or helix. The two metals must have different coefficients of thermal expansion so that a
change in temperature will deform the original shape. A bimetallic thermometer is formed by
attaching a scale and indicator to the bimetallic element such that the indicator displacement
is proportional to the temperature. A bimetallic thermostat is formed by replacing the dial and
indicator with a set of contacts. The bimetallic thermostat is frequently used in on/off tem­
perature control systems. Figure 8.2 is a schematic diagram of a bimetallic thermostat.

Filled Thermal Systems

A filled thermal system (FTS) uses a bulb filled with a liquid, gas, or vapor as the tempera­
ture sensor. A small-bore tube called a capillary connects the bulb to a spiral, helix, or bellows
pressure element that converts the pressure into a usable signal, a temperature indication, or
a temperature recording. The Scientific Apparatus Makers Association (SAMA) has classified
filled thermal systems into four major categories according to the type uf filling substance.
Class I. Liquid-filled thermal systems use the thermal expansion of a liquid to measure
temperature. The filling fluid is usually an organic liquid, such as xylene, which has a
very large coefficient of thermal expansion. Class I systems have the range -87 to
371°C. Desirable features include small bulb sizes, narrow spans, and relatively low cost.
Less desirable features include a short capillary and compensation difficulties.
Class II. Vapor-filled thermal systems use the vapor pressure of a vulalile liquid to mea­
sure temperature. The filling medium is in both the liquid and the gaseous form, and the
interface must occur in the sensing bulb. A class IIA system can only measure tempera­
tures above ambient-the capillary and pressure element contain the vapor while the
bulb contains some vapor and all the liquid. A class lIB system can measure temperatures
only beluw ambient-the capillary and pressure eJement contain liquid wherea.<; the bulb
contains some liquid and all the vapor. A class lIe system can measure temperatures
above and below ambient, but the vapor and liquid must chang~ places during a transi­
tion from one side of ambient to the other side. This transition causes a delay that makes
class IIC unsuitable for measuring temperatures that pass through ambient. A class liD
system uses a second nonvolatile fluid to overcome the transition problem of the class IIC

I hermostat.

Bimetallic slnp • Figure 8.2 Bimetalltc thennostat.

288 • Chap. 8 Process Variable Sensors

system. The nonvolatile fluid fills the pressure element, the capillary, and part of the sens­
ing bulb. The bulb contains all the volatile fluid (both the vapor and the liquid portions).
The nonvolatile fluid acts as a seal and transmitter of pressure between the sensing bulb
and the pressure element. Desirable features of class II systems include a long capillary,
a short response time (4 to 5 s), and no need to compensate for the temperature of the
capillary and pressure element. Less desirable features include a nonlinear output and no
overrange capacity.
Class Ill. Gas-filled thermal systems use the fact that the pressure of a confined gas is
proportional to its absolute temperature. Nitrogen is usually used as the fill, except for
extremely low temperatures, when helium is preferred. Class JJI systems have the tem­
perature range -268 to 760"C. Different filling pressures are used to obtain different
temperature ranges. Desirable features of class III systems include no elevation effect due
to the weight of the fluid, a large temperature range, and a large overrange (150 to 300%).
Less desirable features include large bulb sizes, large required span, and low power in the
pressure element.
Class V. Mercury-filled thermal systems use the thermal expansion of mercury to measure
temperature. (Note: There is no SAMA class IV.) Mercury is separated from the other
liquid-filled systems (class p because of the unique characteristics of mercury for tem­
perature measurement. Desirable features of class V include a very linear scale, easy
compensation, rapid response, plenty of power in the pressure element, and excellent ac­
curacy. The major objection to mercury is the possibility of mercury contamination on
accidental breakage of the filled system.

A class III temperature transmitter is illustrated in Figure 8.3. The primary element con­
sists of an inert gas sealed in a bulb that IS connected by a capillary to a bellows pressure el­
ement. The bulb is immersed in the liquid to be measured until a thermal eqUilibrium is
reached. The inert gas responds to the temperature change with a corresponding change in in­
ternal pressure. The primary-element bellows converts the gas pressure into an upward force
on the right-hand sidc of the forcc bcam. Thc air pressure in the feedback bellows produces
a balancing upward force on the left-hand side of the force beam.
The feedback bellows pressure is regulated by the combination of the restriction in the
supply line and the relative position of the nozzle and force beam. Air leaks from the nozzle
at a rate that depcnds on the clearance between the force beam and the end of the nozzle. The
restriction in the supply line is sized such that the feedback bellows pressure is 3 psi when the
nozzle clearance is at maximum. The bellows pressure will rise to 15 psi when the nozzle is
completely closeu by the furce beam. the left end of the force beam and Ule nozzle form what
is called a flapper and nozzle displacement detector. This is a very sensitive detector that pro­
duces a 3- to IS-psi signal, depending on a very small displacement of the flapper.
The arrangement of the force beam is such that it automatically assumes the position that
results in a balance-of-forces condition. For example, assume a rise in the measured temper­
ature. The gas pressure increases the primary element bellows, thereby increasing the force
on the right-hand side of the force beam. The increased force tends to rotate the force beam
about the flexure, which acts as a fulcrum. This moves the left end of the force beam closer
to the nozzle, increasing the feedback bellows pressure. The increase in the feedback bellows
pressure increases the balancing force on the left-hand side of the force beam. The force beam
 • Sec. 8.1 Temperature Measurement 289

Flexure Force beam

Nozzle

Input signal, percent

0 25 50 75 100
15

[ 12 75 ~
<i l
'"!:P
'" 9 50 1
';;!

} tS
6 25
! Primary
element Temperature
0 bulb input
50 100 ISO 200 signal
Tempt>.rature. "c • Figure 8.3 Class III temperature transmit­
(input signal) ter and ItS inpnt/nlllpnt eraph.

is balanced by a feedback bellows pressure that is always proportional to the primary element
bellows pressure. The feedback bellows pressure is an accurate measure of the primary ele­
ment gas pressure. and it is used as the output ~ignlll of the pressure transducer. A typical in­
put/output graph iR illustmted in Figure R3.

Resistance Temperature Detectors

Resistance temperature sensors use a temperature-induced change in the resistance of a mate­

rial to measure temperature. The electrical resistance of most metals increases as the tempera­
ture increases. Resistance temperature detectors (RTDs) use this property to measure temper­
ature. A typical RTD temperature transmitter is illustrated in Figure 8.4. The sensing element
is a wirewound resistor located in the end of a protecting tube. Platinum and nickel are the met­
als most often used to construct the sensing element. Platinum is noted for its accuracy and lin­
290 • Chap.S Process Variable Sensors

Terminals Output
Signal signal
conditioner (4- 20 rnA)

Connection head

ProleCtlng tube

Resistance
element

• Figure 8.4 Typical RTD temperature transmitter.

emity; nickel is noted for its modest cost and relatively large change in resistance for a given
change in temperature. Table 8.1 tifits temperature, resistance, and output signals for a typical
RTD temperature transmitter. Desirable features of RIDs include a wide temperature range
( - 240 to 649°C), high accuracy, excellent repeatability, and good linearity.

• TABLE e.1 Typical Values for a Platinum RTD

Temperature Transmitter

Temperature Resistance Output Signal

(OC) (ll) (rnA)

0 100.0 4
25 109.9 8
50 1\9.8 12
75 129.6 16
100 139.3 20

EXAMPLE The resistance of a plathitiiil RTD jg approximated by the following equ;.\tion:

8.1
R Ro(l + alT + a2T2)
where R = resistance at TOC, n
Ro = resistance at O°C, n
T = temperature, °C
a h a2 constants
Determine the values of Ro• a., and a2 for the platinum RTD described in Table 8.1. Use the resistance
values at 0, 50, and 100°C to find Ro, a I, and az. Check the accuracy of the equation at 25°C.
 • Sec. 8.1 Temperature Measurement 291

Solution There are three unknowns: Ro. a\, and az- Therefore, three equations are required to determine the three
values. These equations are obtained by substituting the following three sets of temperature and resis­
tance values from Table 8.1 (00, 100 0), (50°, 119.80), and (100°, 139.3 0).
100.0 = Ro(l + Oal + OZa2) (8)
2
119.8 = Ro(l + 50a, + 50 a2} (b)
139.3 = Ro(l + lOOa I + tOOZa2) (c)

Equation (a) is easily solved for Ro.

R = 1000 (a')
Substitute 100 for Ro into Equations (b) and (c), and simplify.
50a, + 25OOa2 = 0.198 (h')
lOOal + 1O,000a2 = 0.393 (c')

Equations (h') and (c /) are easily solved for at and a2'

a, = 0.0039
U2 - ~6 X 10- 7

The equation for R is

Check the equation at 25°C:

R'" 100[1 + (0.00399)(25) - (6E 7)(25)2]
= 109.90

The value predicted by the equation is the same as the value in Table 8.1. •
Resistance temperature detectors require a signal cOIU.1iliuIlcr with a source of power and
a means of measuring electrical resistance. Pour methods of measuring resistance are shown
in Figure 8.5. In the direct methods, a constant current source. i.. passes a known current
through the resistance element, Rs, producing a voltage drop. Us - ifls. The voltage-to­
current converter converts voltage~. into a usable 4- to 20-mA signal (see Table 8.1). In the
bridge methods. the resistance element is compared with a known resistor in an unbalanced
bridge circuit (a self-balancing bridge could also be used). The output of the unbalanced
bridge is a voltage, Vs. that can also be converted to a usable 4- to 20-mA signal.
The two-wire direct method in Figure 8.5a is the simplest of the four methods. The known
current, is. passes through the resistance element and its two lead wires, producing voltage Us'
The voltage-to-current converter inputs voltage Us and outputs a 4- to 20-mA signal similar to
the one in Table 8.1. In this method, the resistance of the lead wires is included in the measure­
ment. This results in a small error that can be corrected if the lead-wire resistance is known.
The four-wire direct method in Figure 8.Sb completely eliminates the lead-wire error,
making it the most accurate of the four methods presented here. One pair of leads is used to
carry the known current to the sensor and back; the other pair of leads is used to measure the
voltage drop across the sensing element. Due to the high input impedance of the converter,
the current in the voltage-sensing leads is negligible. Consequently, the error introduced by
the lead-wire resistance is also negligible. ..
 -­
+---o-if

i=OA + Voltage­
to­ 4-t02()...mA
R, current output signal
converter
RLead

a) Two-wire direct method

---- i,
I.,
--
l"'OA +
V,
Voltage-
to- 4- to 20-mA
R, i,_ current
converter
output signal

b) Four-wire direct method

--II
a

-­
i"'OA+ Voltage-
to-
current
4- to 20-mA
output signal
R., ~,
converter

b
c) Two-wire bridge method

--il
a

--
I""'OA+

v,
Voltage-
to-
current
4-1020-mA
output signal
R.

-- 13

b
<;"I)!lvr.-rtl'.r

d) Three-wire bridge method

• Figure 8.S Four signal conditioning methods used to convert resi~tance changes
into usable control Signals.

292
 • Sec. 8.1 Temperature Measurement 293

The two-wire bridge circuit has the same lead-wire error as the two-wire direct method.
However, the bridge circuit has a decided advantage. The RTD resistance is measured in terms
of accurately calibrated bridge resistors, independent of the bridge voltage value. Refer to
Section 6.4 for a detailed analysis of self-balancing and unbalanced bridge circuits.
The three-wire bridge circuit corrects most of the effect of the lead-wire resistance. The
lead wires are matched so they have the same resistance. One lead wire is placed in the R.~
side of the bridge, and the other is placed in the R3 side. When Rs and R3 are equal, the lead­
wire effect is virtually eliminated. When R. and R3 are not equal, there will be a small lead­
wire error. Many RIDs are supplied with three-wire leads.

EXAMPLE Use the values in Table 8.1 to determine the average sensitivity of the platinum RID over the range from
8.2 oto 100°C. Then assume the two-wire direct method is used to measure the RTD resistance and deter­
mine the lead-wire error caused by lOft of each of the following sizes of copper wire:

Wire Gage Resistance (O/f!)

12 0.00162
14 0.00258
16 0.00409
18 0.00651
20 0.0104
24 0.0262
28 0.0662
32 0167

139.9 100.0 .. /
Solution Sensltlvlly = 100 _ 0 == 0.393 n uc

Jj lead-wire resistance, n n
Grror"" ... - ". C
llt:lIl;ilivily, urc '

10(0.00162)
Error (12 gage) .. ....._ - - - 0041 nc
0.393 .

The results are summarized in the following table:

Wire Gage Ten-Foot I.ead-Wire Error (OC)

12 0.041
14 0.066
16 0104
18 0.166
20 0.265
24 0.667
28 1684
32
•
4.249
 294 • Chap.S Process Variable Sensors

EXAMPLE Given the following data for the circuit in Figure 8.5b:
8.3
i" 1 rnA
The sensor is a platinum RTD as defined in Table 8. I
R, = 100 to 139.3!l when TOto 100°C'
(8) Determine v,, when T = O°C and when T = 100°C.
(b) Design an op-amp circuit that wIll convert V, into a 4- to 20-mA current signal as foHows:

iou! = 4 rnA when T == O°C

ioul = 20 rnA when T == 100°C

Solution (8) Current i., passes through the sensor resistance, R" and produces the following range for Vs:
v, (O°C) = (0.001 A) (100 0) = 0.1 V

v, (100°C) = (0.001 A) (139.3!l) = 0.1393 V

(b) The design, shown in Figure 8.6, uses four stages and a regulated voltage source that produces
± 1.5 V. The first stage provides the current source used by the four-wire direct method. It uses
the 1.5-V source and a precision 1.5-k!l resistor to produce the constant I-mA source, i, (see
Exercise 6.15 and Figure 6.40.)
1.5 V
i, "" 1.5 kO = I rnA
The second stage is an instrumentation amplifier that isolates the sensor with its high input im­
pedance and amplifies voltage V, by a factor of 100 (see Figure 6.12 and Equation 6.19). The output of
the instrumentation amplifier, VI, has the following range:
VI WC) = 100v\ (O°C) = 100 (0.1) 10.0 V
VI (iooue) = lUOv, (lOODe) = 100 (0.1393) 13.93 V
The third stage is a summing amplifier whose output, 1.2, is equal to VI minus a constant voltage
value, Vo. The value of 110 is adjusted so that the ratio between the maximum and minimum values of 1.2
is that same as the ratio between the maximum and minimum values of the output current.

13.93 - Vo = 5(10.0 - vo)

Solving the last equation gives the following value for 110 and range for V2.
Vo 9.0175 V
V2 (100°C) 13.93 - 9.0175 4.9125 V
V2 (O°C) = 10 9.0175 "" 0.9825 V
You may wish to verify that V2 (lOO°C)/V2 (O°C) 5.000.
The fourth stage is a voltage-to-current converter (see Figure 6.l4b). Resistor R is sized to produce
the required 4- to 20-mA output current. Using the maximum values, R has the following value:

R = = 4.9125 = 2456
i out 0.020 .

--._._---- .-----~---~:

.":' '
• Sec. 8.1 Temperature Measurement 295
-------,I
- ,
Stage) Stage 2 I
I-rnA current source IA with gain = 100 I
{Fig. 6.12) I

1.5 V 111
I
Va Vout~
+
~ I to
I Is I Stage 3
1.5 kfl I
Rs V,

Gnd r-1
I

___________ J

---[iJ----____
I Vb
I External R,

R
e
Span
Adjust
I

J ­

r - - - - - .... - - - - - - - 1
I Stage 3

r--------------1
I Stage 4 I

I Summing amplifier I Voltage-lo-current converter

tfll

I lout
----4>

RLoad

R=
24560
L __ _

• Figure 8.6 This four-stage Rignal conditioner converts the resistance of an RID
sensing element into a 4- to 20-mA OUlput signal. The CirCUit uses the four-wire di­
reet method for measuring resistance (see Example 8.3),

You may wish to verify that the minimum values result in the same value for resistor R.
One final observation. Tho adjustable resistor in stage 2 pruvides a means of span adju!.>tment, and
the adjuslloIble value of Vo provides the zero adjllstme.nt of the transmitter. •

The current used to measure the value of a resistance element also dissipates power in the
form of heat. The power dissipated in the element raises the temperature of the element, re­
sulting in an error called the self-heating error. The size of the self-heating error depends on
three factors: (1) the power dissipated in the element, (2) the internal thermal resistance of the
element, and (3) the thermal resistance of the film between the probe and the surrounding
fluid.
The self-heating error of an RTD is given by the dissipation constant, a number that spec­
ifies the amount of power required to raise the temperature of the sensing element by 1°C (or
1°F). The specification of the dissipation constant includes one of the following environmen­
tal conditions: still air, air moving at 1 mis, still water, water moving at 1 mis, still oil, or oil
moving at 1 m/s. Commercial RIDs with a diameter of 1.5 to 5 mm have dissipation con­
stants on the order of 1 to 10mW;oC in still air, on the order of 3 to 30 mW;oC in air mov­
296 • Chap.8 Process Variable Sensors

ing at 1 mis, and on the order of 14 to 140 mW/"C in water moving at 1 m/s. The self­
heating error is given by the following equation:
i;R,
Self-heating error = p' °C
dl~o;·

where l, = sensor current, A

Rs = sensor resistance, n

Pdl ", = dissipation constant, WrC

EXAMPLE An RTD is used to measure the temperature of mr flowing in a duct at 1 m/s. The dissipation constant
8.4 for this environment is 20 mWre. The air temperature is sooe, and the RID has a resIstance of 200 n at
SO°c. Determine the self-heating error for each ~f the following sensor currents: I rnA, 10 rnA, and 20 rnA.

Solution For i.. = I rnA:

Self-heating error = (0.OOl)2(~:) = O.01°e

For i. = 10 rnA:

Self-heatmgerror = (O.OW(~.:) = LOoe

For i. = 20 rnA:

•
Thermistors

A thermistor is a semiconductor temperature sensor whose resistance changes inversely with

temperature. The resistance versus temperature response of a thermistor is nonlinear and very
sensitive. Small changes in temperature produce large decreases in resistance. Consequently,
thermistors are often used where high sensitivity is required and accurate temperature indi­
cation is not, for example, sensing for high or low temperature limits.
Desirable features of thermistors include small size, fast response, narrow span, and high
sensitivity. Less desirable features include a very nonlinear calibration graph, poor high­
temperature stability, unsuitability for large spans, and high impedance. Most thermistor ap­
plications are in the range from -80 to + 150°C. Table 8.2 lists resistance versus temperature
values for a typical thermistor.
Signal conditioning of thermistors involves the measurement of relatively large changes
in resistance. The direct methods and bridge methods in Figure 8.5 can be used, but close at­
tention must be given to the self-heating error. Typical thermistors have dissipation constants
on the order of I to to mW;oC in still air and 25 to 250 mW/oC in a well-stirred oil bath. The
relatively high resistance of thermistors, especially in the low end of the temperature range,
exacerbates the potential for self-heating errors. The voltage divider circuit shown in Figure
8.7 can be used as a signal conditioner for thermistors. The nonlinearity of the voltage divider
compensates for the nonlinearity of the thermistor, resulting in an output voltage that is rea­

- - - - - - _..........._ - ..

 • Sec. 8.1 Temperature Measurement 297

• TABLES.2 Typical Values for a ThermistorTemperature Sensor

Temperature Resistance Temperature ResIstance

(0C) (0) eC) (0)
-80 1,936,000 40 1,399
-70 819,000 50 946.2
-60 369,000 60 653.3
-50 176,100 70 460.0
-40 88,400 80 329.8
-30 46,480 90 240.5
-20 25,500 100 178.3
-10 14,530 110 134.1
0 8,576 120 102.2
10 5,227 130 79.0
20 3,281 140 61.7
30 2,1l6 ISO 48.8

sonably linear and has a positive slope. You will have the opportunity to explore this simple
circuit in the end-of-chapter exercises.

Thermocouples

A thermocouple consists of two dissimilar wires that are joined at one end to form a measuring
junction and at the other end to form a reference junction. When the two junctions are at dif­
ferent temperatures, a small voltage (called an electromotive force, or emf) is generated that
tends to cause a current to flow ill the luup formed by the two wires. This voltage, called the
Seebeck effect, is proportional to the temperature difference between the two junctions and can
be used as a measure of that difference. Knowing the temperature difference, we must also
know the reference junction temperature to determine the measuring junction temperature. Tra­
ditionally, the reference junction was immersed in an ice bath that maintained it at oee. Be­
cause the measuring junction temperature is usually greater than oee, the measuring junction
is referred to as the hot junction and the reference junction as the cold junction.

+----oVout

• Figure 8.7 Placing a thermistor in the top

o+-------+-------~ branch of a voltage divider results in a reason­
o 100 ably linear output with a positive slope.
298 • Chap.S Process Variable Sensors

• TABLE 8.3 American National Standard Thermocouple Type Designations

ANSI Type Thermocouple Matenals

B Platinum-6% RhodlUm/Platinum-30% RhodIUm oto 1800

E Chromel·/Constantan· -190 to 1000
J Iron/Constantan· 190to 800
K Chromel·/Alumel" 190 to 1370
R Platmum/Platmum-13% RhodIUm oto 1700
S Platinum/Platmum-IO% RhodIum Oto 1765
T Copper/Constantan· 190to 400

Note: ANSI Standard MC 96.1, "Temperature Measurement Thermocouples," (Instrument Soci­

ety of America, 1975).

a Alumel, Chromel, and Constantan are trade names for alloys used in thermocouples.

80

Ej

60
/
/ V//
III
/ //
II /
1// ~
J---­

o L--­ .----'-----­
~
(Treference = O°C)

-20 I
-200 0 500 1000 1500 2000
Temperature,OC

• Figure 8.8 Output voltage vs, temperature graphs of four thermocouples display
the dIfferent ranges and sensitivities of the four types.
• Sec. 8.1 Temperature Measurement 299

The magnitude of the thermocouple emf (voltage) depends on the temperature difference
between the two junctions and the material used in the two dissimilar wires. There are many
possible materials for use in thermocouples, but only a limited number are used for thermo­
couples, and most of those are alloys that were developed specifically for such use. The most
commonly used and available thermocouples have been standardized. The American National
Standard (ANSI) Me: 96.1 established type designations for thermocouples (see Table 8.3),
thermocouple wire, and thermocouple extension wire. The pJatinum/platinum-lO% rhodium
(ANSI 'IYpe S) thermocouple is especially important because it is used to define the Interna­
tional Temperature Scale between 630.5 and 1063°C.
The National Bureau of Standards has published reference tables that show the emf (in
millivolts) generated by the standard thermocouples in small increments of temperature over
their useful range. Tables in degrees Fahrenheit and in degrees Celsius are contained in the
National Bureau of Standards (NBS) Monograph 125 (U.S. Government Printing Office,
Washington. DC). Figure 8.8 shows the graphs of four standard thermocouples over their use­
ful range. Observe the different sensitivities, useful ranges, and nonlinearities displayed in the
four graphs. Table 8.4 shows the millivolts generated by six standard thermocouple types in
100°C increments over their useful ranges. The table clearly shows the different sensitivities
and useful ranges of the six types. but their nonlinearities are more apparent on a graph .

• TABLES.4 Output Voltages of Six Thermocouples OverTheir Useful Range ofTemperatures in

100·C Increments (The Thermocouple Reference Temperature is O·C)

Output Voltage (mV)

Temperature
(aC) R J K R S T

-190 -8.45 -7.66 -5.60 -5.379

-100 -5.18 -4.63 -3.49 -3.348
0 0.00 0.00 0.00 0.000 0.000 0.000
100 6.32 5.27 4.10 0.645 0.643 4.277
200 13.42 10.78 8.13 1.465 1.436 9.288
300 21.04 16.32 12.21 2.395 2.316 14.864
400 28.95 21.85 16.40 3.399 3.251 20.873
500 37.01 27.39 20.65 4.455 4.221
600 45.10 33.11 24.9\ 5.563 5.224
700 53.14 39.15 29.14 6.720 6.260
800 61.08 45.53 33.30 7.925 7.329
900 68.85 37.36 9.175 8.432
1000 76.54 41.31 10.471 9.570
IIOO 45.16 11.817 10.741
1200 48.89 13.193 11.935
1300 52.46 14.583 13.138
1400 54.88' 15.969 14.337
1500 17.355 15.530
1600 18.727 16.715
1700 20.090 17.891
1765 18.648

"The value 54.88 mV is at a temperature of 1370°C.

------~~----- - - -....- - -..- - . - - - _... _ - - - _ ..._ _...

... _­
300 • Chap.S Process Variable Sensors

Each thermocouple wire must be homogeneous over the entire branch from the measur­
ing junction to the reference junction; that is, the material must be the same for the entire
branch, or it must have the same thermal emf characteristic (within an allowable tolerance).
The ANSI Standard Me 96.1 includes extension wires that match the thermal emf character­
istic of each thermocouple type. Extension wires make it possible to move the reference junc­
tion to a remote location without introducing errors from the additional junctions in the loop.
However, a third metal can be introduced into the thermocouple loop with no effect on the .
emf generated provided the two junctions of the third metal are at the same temperature. This

/iJ 110 = 0.01 T",I

RLoad

710 R

Summmg V-tool
amplifier converter

• Figure 8.9 A thermocouple Signal conditioner proVides nOIse reJection, reference

junction compensation, amphfication, summatIOn, conversion, and burnout protection
(not shown). Noise rejectIOn is accompll.hed by (I) a grounded measuring junction,
(2) twisted extension wires, (3) a grounded shield around the extension wires, and
(4) high common-mode rejection. Reference junction compensation IS done by (5) an
isothermal block and (6) solid-state reference Junction compen~ation. Amplification and
summatIOn are accomplished by (7) a high-gain differential amplifier and (8) a summmg
amplifier. Conversion is done by (9) a voltage-to-currenl converter.
• Sec. 8.1 Temperature Measurement 301

means that electrical terminals and solder'connections can be used as long as both terminals
are located on an isothermal block.
A thermocouple signal conditioner is illustrated in Figure 8.9. Signal conditioning of the
emf output of a thermocouple has four major concerns.
1. Reference junction temperature
2. Low-level output voltage
3. Electrical noise
4. Protection from thermocouple burnout
Three techniques are used to establish the reference junction temperature of a thermo­
couple circuit without using the traditional ice water bath.
I. A constant temperature reference block is heated or cooled to remain at some speci­
fied temperature. All thermocouple outputs are terminated in the reference block. This
method is practical when many thermocouples are used and there is a suitable loca­
tion for the reference box. The measuring instruments can be adjusted to use any con­
venient reference temperature as long as its value is known and constant.
2. A compensation circuit senses the actual reference junction temperature and makes
the thermocouple output behave as if the reference junction is at O°c, Most thermo­
couple transmitters provide reference junction (or cold junction) compensation.
3. A digital computer makes the reference correction. In digital systems, both the ther­
mocouple output voltage and the reference junction temperature are converted to dig­
ital form for input to a computer. The computer is programmed to compensate for the
reference junction temperature when it converts the thermocouple voltage into the
measured temperature.
The low-level output voltage of a thermocouple (see Table 8.4) is not suitable for use by
a control system. A high-gain instrumentation amplifier is used to amplify the thermocouple
output voltage, and a voltage-to-current converter is used to convert the amplified voltage to
a 4- to 20-mA current output signal. Current signals are relatively easy to transmit, and most
commercial controllers are designed to receive a current input from the measuring transmit­
ter. Table 8.5 shows a typical output from a thermocouple transmitter.

• TABLE 8.5 TVlJicl:I1 Values for a Type J Thermocouple

Temperature Transm"itter (see Exercise 8.17)

Temperature (0C) EMF (mV) Output SIgnal (rnA)

0 0.00 4.00
20 1.02 5.51
40 2.06 706
60 3.11 8.62
80 4.19 1022
100 5.27 11.82
120 6.36 13.44
140 7.45 15.06
160 8.56 16.71
180 967 18.35
200 10.78 20.00
302 • Chap.S Process Variable Sensors

The industrial environment is full of electrical noise. and a thermocouple circuit makes
a good antenna. Noise levels picked up by a thermocouple circuit can be equal to or greater
than the low-level voltage produced by the thermocouple. Noise control begins with rejection
and ends with reduction. It is easier to reject noise than it is to reduce noise once it has con­
taminated the signal. Noise rejection and reduction steps include the following:

I. Ground the measuring junction.

2. Twist the thermocouple extension wires.
3. Wrap the extension wires in a grounded foil sheath.
4. Use an amplifier with high common-mode rejection.
5. Use a low-pass filter to reduce high-frequency noise.

Thennocouple burnout protection is a safety feature required of most thermocouple sig­

nal conditioners. This feature provides maximum output from the transmitter whenever the
thermocouple circuit is open. In a control system burnout protection turns OFF the heat source
if the thermocouple is open circuited for any reason.
Desirable features of thermocouples include their small size, low cost, ease of installa­
tion, ruggedness, wide range (from near absolute zero to 2700°C). reasonable accuracy, and
fast response time. Less desirable features include noise pickup, low signal level, high mini­
mum span (about 40°C), and undetectable errors caused by nonhomogeneous wires.

Integrated Circuit Temperature Sensors

Integrated circuit (IC) temperature sensors are precision solid-state devices whose output is
linearly proportional to one of four temperature scales: Celsius, Kelvin, Fahrenheit, or Ran­
kine. The LM35 series, for example, is calibrated directly in degrees Celsius. It produces an
output voltage that is equal to 10 mV times the temperature in degrees Celsius over a range
from -55°C to + 155°C. If T is the temperature in degrees Celsius, then the output of the
LM35 series is given by the following equation:
Vout = 0.01 T, V

Desirable features of the IC temperature sensors inc1ude direct calibration in degrees,

a linear scale factor, accuracy of 0.25% of span, low voltage requirements, low current
draw, low self-heating errors (less than O.lOoC in still air), and typical nonlinearity of
±0.25°.

Radiation Pyrometers

A radiation pyrometer measures the temperature of an object by sensing the thermal radia­
tion emanating from the objcct, without contacting the object. An optical system collects the
visible and infrared energy coming from the object and focuses it on a detector. The detector
converts the energy into an electrical signal, which is a complex function of the absolute tem­
perature of the object.
The pyrometric sensing method is based on radiation laws that define the total heat radi­
ated from an ideal blackbody and the relationship between the surface temperature and the
 • Sec. 8.2 Flow Rate Measurement 303

wavelength spectrum of the radiated energy. These laws show that the total heat radiated from
a blackbody varies as the fourth power of the absolute temperature of the surface. They also
show that the wavelength of the radiated energy decreases as the surface temperature in­
creases. This is evidenced by the changing glow of an object as its temperature increases.
Most objects emit less energy than a blackbody. The emittance of a body is the ratio of
the radiant energy emitted from the body to the radiation emitted by a blackbody at the same
temperature. The emittance of most objects is considerably less than 1. For example, the emit­
tance of unoxidized aluminum is 0.06 and that of rough steel plate is 0.97. Most other mate­
rials fall between these two values. Emittance is a very uncertain characteristic of an object,
and a major objective of a radiation pyrometer is to overcome this variable effect.
A wide-band pyrometer is designed to measure as much radiation from the object as pos­
sible. It has no filters and depends on an unobstructed view of the object. The presence of
smoke or carbon dioxide will result in a low reading. The output must be calibrated for the
emittance of the object. The calibration varies considerably with the emittance and the tem­
perature of the object. For example, assume a wide-band pyrometer is calibrated to measure
an object at 3000°F with an emittance of 0.9. If the emittance ofthe object changes to 0.7, the
reading will be in error about 200°F,
A narrow-band pyrometer is designed to measure only energy in a narrow band of fre­
quencies. The emittance usually does not vary as much over a narrow band as it does over the
wide spectrum. The actual wavelength used is selected according to the application.
A ratio pyrometer measures the energy in two narrow bands that are very close to each
other. The energy from one band is divided by the energy from the other band. The expecta­
tion is that the emittance will change by the same amount in each band. Taking the ratio
should cancel the effect of equal changes in emittance. The two wavelengths are selected ac­
cording to the application.
Desirable features of a radiation pyrometer include no physical contact with the object
whose temperalure is being measured. fast response, the ability to measure the temperature of
small objects, and the ability to measure very high temperatures. Less desirable features in­
clude high cost, a nonlinear response approaching the fourth power of the temperature, vari­
ations in the emittance of the object that cause erroneous readings. and the relatively wide
temperature span required.

8.2 FLOW RATE MEASUREMENT

Sensing Methods

The flow rate of liquids and gases is an important variable in industrial processes. The mea­
surement of the flow rate indicates how much fluid is used or distributed in a process. Flow
rate is frequently used as a controlled variable to help maintain the economy and efficiency
of a given process.
The average flow rate is usually expressed in terms of the volume of liquid transferred in
1 s or 1 min.
change in volume Av
Average flow rate quvg
change in time At
304 • Chap.S Process Variable Sensors

at
The instantaneous flow rate is determined by the limit of the average flow rate as is reduced
to zero. In mathematics, this limit is called the derivative of V with respect to t and is repre­
sented by the symbol dV/dt.

Instantaneous flow rate =q = lim ~utV dV

LlI-..O dt
The flow rate in a pipe can also be expressed in terms of the average fluid velocity, vavg , and
the cross-sectional area of the pipe, A.
qavg = AVavg
The SI unit of flow rate is cubic meter/second.
Sometimes it is preferable to express the flow rate in terms of the mass of fluid trans­
ferred per unit time. This is usually referred to as the mass flow rate. The mass flow rate, W,
is obtained by multiplying the flow rate, q, by the fluid density, p.
Mass flow rate = W = pq
The Sf unit of mass flow rate is kilogram/second.

Differential Pressure Flow Meters

Differential pressure flow meters operate on the principle that a restriction placed in a flow
line produces a pressure drop proportional to the flow rate squared. A differential pressure
transmitter is used to measure the pressure drop, h, produced by the restriction. The flow rate,
q, is proportional to the square root of the measured pressure drop.
q = KVh (8.1)
The restriction most often used for flow measurement is the orifice plate-a plate with a
small hole, which is illustrated in Figure 8.1 Oa. The orifice is installed in the flow line in such
a way that all the flowing fluid must pass through the small hole (see Figure 8.10b).
Special passages transfer the fluid pressure on each side of the orifice to opposite sides
of the diaphragm unit in a differential pressure transmitter. The diaphragm arrangement con­
verts the pressure difference across the orifice into a force on one end of a force beam. A force
transducer on the other end of the beam produces an exact counterbalancing force. A dis­
placement detector senses any motion resulting from an imbalance of the forces on the force
arm. The amplifier converts this displacement signal into an adjustment of the current input
to the force transducer that restores the balanced condition. The counterbalancing force pro­
duced by the force transducer is proportional to both the pressure drop and the input current,
I. Thus the current, I, is directly proportional to the pressure drop across the orifice, h. This
same electric current is used as the output signal of the differential pressure transducer.
In Figure 8.10, the orifice is the primary element and the differential pressure transmitter
is the secondary element. The orifice converts the flow rate into a differential pressure signal,
and the transmitter converts the differential pressure signal into a proportional electric current
signal. A typical calibration curve is illustrated in Figure 8.1 Oc.
Desirable features of the orifice flow meter include the fact that it is simple and easy to
fabricate, it has no moving parts, a single differential pressure transmitter can be used with­
 • Sec. 8.2 Flow Rate Measurement 305

<!-- DIsplacement
detector
[

Force ----+ a) A typical orifice plate

transducer

20

Diaphragm

o ~~ __- L_ _ ~ __ ~~

o 20 40 60 80 100
Flow rate, percent

b) A typical differential pressure flow transducer c) A typical calibration curve

• Figure 8.10 A differential pres:;ure flow transmitter IS the most widely used
method of flow measurement.

out regard to pipe size or flow rate, and it is a widely accepted standard. A less desirable fea­
ture is that an orifice does not work well with slurries.

Turbine Flow Meters

A turbine flow meter is illustrated in Figure 8.11. A small permanent magnet is embedded in
one of the turbine blades. The magnetic sensing coil generates a pulse each lime the magnet
passes by. The number of pulses is related to the volume of liquid passing through the meter
by the following equation: V = KN, where V is the total volume of liquid, K the volume of
liquid per pulse, and N the number of pulses. The average flow rate, qavg, is equal to the total
volume V divided by the time interval At.
V N
qavg = At = K At

But N/At is the number of pulses per unit time (Le., the pulse frequencyf). Thus
q=Kf (8.2)
The pulse output of the turbine flow meter is ideally suited for digital counting and control
techniques. Digital hlentiing {~nntl'ol syslt'.ms make use of turbine flow meters to provide ac

------~ - - -..
... ~-----
306 • Chap.S Process Variable Sensors

Computer DIgital
...--""""'1 interface computer
Magnetic sensing
coil

and bearing

• Figure 8.11 A turbine flow meter produces

an accurate linear, digital flow signal. Turbine
meters are used in the petrochemical and other
Shaft mdustries for a broad range of applicatIOns.

curate control of the blending of two or more liquids. Thrbine flow meters are also used to
provide flow rate measurements for input to a digital computer, as shown in Figure 8.11.
EXAMPLE A turbine flow meter has a K value of 12.2 em3 per pulse. Determine the volume of liquid transferred
8.5 for each of these pulse counts:
(a) 220
(b) 1200
(c) 470

Also determine the flow rate, if each of the pulse counts occurs during a period of 140 s.

Solution V= KN

(a) For 220 pulses in 140 s,

V KN = (12.2)(220) = 2684 em3

V 2684
Q = I1t == ~ == 19.2 em /s
3

(h) For 1200 pulses in 140 s,

v == (12.2)(1200) 14,640 em3

Q=
14,640
140 = 104.6cm s
3/

(c) For 470 pulses in 140 s,

V = (12.2)(470) = 5734 cm3

5734
Q= --
140
== 41 cm3js
•
• Sec. 8.2 Flow Rate Measurement 307

Vortex Shedding Flow Meters

A vortex shedding flow meter uses an unstreamlined obstruction in the flow stream to cause
pulsations in the flow. The pUlsations are produced when vortices (or eddies) are alternately
formed and then shed on one side of the obstruction and then on the other side of the ob­
struction. The resulting pulsations are sensed by a piezoelectric crystal. The frequency of the
pulses is directly proportional to the fluid velocity, thus forming the basis of a volumetric flow
meter. Figure 8.12 illustrates a vortex shedding flow meter.
The frequency, f, of the vortex shedding is proportional to the average fluid velocity, vavg ,
and inversely proportional to the width of the obstruction, w. The expressionjW/vavg is called
the Strouhal number. The Strouhal number is constant over many ranges of Reynolds num­
ber. The relationship between the mass flow rate, W, and the vortex frequency, f, is given by
the following equation:

W= pwAf (8.3)
St
where A = cross-sectional area of the pipe, m2
f = frequency of the vortex shedding, Hz
W = mass flow rate, kg/s
w = width of the obstruction, m
p = density of the fluid, kg/m3
Sl = Slruuhal number
DeRirahle features of the vortex shedding meter include a linear digital output signnl,
good accuracy over a wide range of How, no moving or wearing parts, and luw installed cost.
Less desirable ft~alun::!; include decreasing rangeablUty with increasing viscosity, and practi­
cal considerations limit the size to a diameter range of ) to 8 in.

,,""'" ---..... .........

/' / ' __ ", ',,,'" \ I

"..-

__ " \

,/ r(.. . , .( ( )I,'\
------
---
.... -'"

-,
.......................
\
'"
,~I
,.....

..... _... "

...... --~--- .,.,.,,,,"

I"
I \
-_...
,/

,/ /
I

• Figure 8.12 In a vortex flow meter, vortices are alternately formed and shed on
one side of an obstruction and then on the other SIde. The resultmg pulsations are
sensed by a piezoelectricalcrystal, and the frequency of the pulses is directly propor­
tional to the volumetric flow rate.
308 • Chap.S Process Variable Sensors

Magnetic Flow Meters

The magnetic flow meter has no moving parts and offers no obstructions to the flowing liq­
uid. It operates on the principle that a voltage is induced in a conductor moving in a magnetic
field. A magnetic flow meter is illustrated in Figure 8.13. The saddle-shaped coils placed
around the flow tube produce a magnetic field at right angles to the direction of flow. The
flowing fluid is the conductor, and the flow of the fluid provides the movement of the con­
ductor. The induced voltage is perpendicular to both the magnetic field and the direction of
motion of the conductor. 1\vo electrodes are used to detect the induced voltage, which is di­
rectly proportional to the liquid flow rate. The magnetic flow transmitter converts the induced
ac voltage into a dc electric current signal suitable for use by an electronic controller.
Desirable features of magnetic flow meters include no obstruction to the fluid flow, no
moving parts, low electric power requirements, ability to handle slurries, and very low flow
capabilities. Less desirable features include the fact that the fluid must have a minimum elec­
trical conductivity, the large size and high cost of a magnetic flow meter, and the fact that pe­
riodic zero flow checks are required.

8.3 PRESSURE MEASUREMENT

Sensing Methods

Pressure is defined as the force per unit area exerted by a liquid or gas on a surface. Liquid pres­
sure is the source of the buoyant force that supports a floating object, such as a boat or a swim­
mer. Pressure is also the motivating force that causeI'> liquids and gases to flow through a pipe.

_Magnellc
flo",

AC
elcclrom,lgnet

"
Flow

M"gnellc field

• Figure 8.13 A magnetic flow meter ha~ a completely unobstructed flow path, a
decided advantage for slurne, and food product~.
• Sec. 8.3 Pressure Measurement 309

An extremely wide range of pressures is measured and controlled in industrial

processes-all the way from 0.1 Pa (about 0.001 mm of mercury) to above 100 MPa (about
10,000 psi). A great variety of primary elements have been developed to measure pressure
over various parts of this extreme range. Most of these primary elements convert the measured
pressure into a displacement or force. A signal conditioner then converts the force or dis­
placement into a voltage, current, or air pressure signal suitable for use by a controller.
Pressure measurements are always made with respect to some reference pressure. At­
mospheric pressure is the most common reference. The difference between the measured
pressure and atmospheric pressure is called the gage pressure. Weather conditions and alti­
tude both cause variations in the atmospheric pressure, and the gage pressure will vary ac­
cordingly. The standard atmospheric pressure is 101.3 kPa, or 14.7 psi. A pressure less than
atmospheric is called a vacuum. A pressure of zero is called a peifect vacuum. A perfect vac­
uum is sometimes used as the pressure reference. The difference between a measured pres­
sure and a perfect vacuum is called the absolute pressure. An arbitrary pressure is also used
as the reference pressure. The difference between a measured pressure and an arbitrary refer­
ence pressure is called the differential pressure. A differential pressure sensor was discussed
in Section 8.2. "Flow Rate Measurement."

Strain Gage Pressure Sensors

A stroin goge is based on the fact that strelching a metal wire changes its resistance. The
change in resistance bears an almost linear relationship to the change in length. The strain
gage uses the change in resistance to measure extremely small changes in displacement.
Figure 8.14 is a schematic diagram of a strain gage pressure sensor. The body acts as a me­
chanical transducer that converts the pressure into a displacement that increases the length of
upper strain wires R I and R3 and decreases the length of lower strain wires R2 and R4 . A
Wheatstone bridge converts the change in resistance of the upper and lower strain wires into
an electric voltage pt'Oportional lu the pressure. The voltage output of the Wheatstone bridge
is then amplified to produce a usable signal. The primary element is the body and strain wire
assembly. The signal conditioner consists of the Wheatstone bridge and amplifier. Strain gage
pn:ssure sensors are used in the high-pressure range (from toO to 10,000 psi).
Strain gages are divided into two types: bonded and unbonded. Figure 8.14 is an exam­
ple of an unbonded type of strain gage. The. displacement is transferred to the strain wire by
a mechanical linkage. Bonded strain gages are cemented directly onto the body of the trans­
ducer, as shown in Figure 7.19.

Deflection-Type Pressure Sensors

Deflection-type pressure sensors consist of a primary element, a secondary element, and a sig­
nal conditioner. The primary element converts the measured pressure signal into a propor­
tional displacement. The secondary element converts the displacement into a change of an
electrical element. The signal conditioner converts the change of the electrical element into a
signal suitable for use by a controller, computer, or indicating device.
Figure 8.15 illustrates the common primary elements used in deflection-type pressure
transducers. The Bourdon element is a flattened tube that is shaped into an incomplete circle,
310 • Chap.8 Process Variable Sensors

Slrdin wires

ttttt
Pressure
a) Pressure not apphed b, Pressure appIJed

Output
Amplifier sIgnal

c) Wheatstone bridge and amplifier

• FIgUre 8.14 Stram gage pressure sensor.

spiral, or helix. The tube tends to straighten out as the internal pressure increases, providing
a displacement proportional to the pressure. Bourdon elements of bronze, steel, or stainless
steel are available to cover the range from 0 to 10,000 psi or greater.
The bellows element is a thin-walled metal cylinder with corrugated sides. The shape al­
lows the element to extend as the internal pressure is balanced against a calibrated spring. The
bellows displacement is proportional to the measured pressure. Bellows elements are widely
used to measure pressures up to 100 psi. They are also used to make vacuum and absolute
pressure measurements.

~~
<::::----->' Pressure
:/,iI' '\)
• k-"

o
Pressure
:. • DIsplacement

~I
\ ..::'..

. .t
;: _________'_~ Displacement
DIsplacement

Pressure
a) A circular Bourdon b)Abellows c) A diaphragm
pressure element pres~ure
element pressure element

• Figure IUS Deflectton-type pressure elements.

 • Sec. 8.3 Pressure Measurement 311

The diaphragm element may be flat or corrugated. The diaphragm allows sufficient
movement to balance the pressure against a calibrated spring or force transducer.
The secondary element converts the primary element displacement into an electrical
change that the signal conditioner can use to produce a usable signal. The conversion is ac­
complished by using the displacement to adjust one of the three electric circuit elements: re­
sistance. capacitance, or inductance. The signal conditioner then produces an electric signal
based on the value of the variable element. Examples of the three types of secondary elements
are illustrated in Figure 8.16.
A variable resistance pressure sensor is illustrated in Figure 8.16a. The calibrated spring
is displaced by an amount proportional to the pressure in the bellows. The sliding contact
causes a change in the resistance between the two leads connected to the transmitter. The
transmitter, in tum, produces an electrical signal based on the resistance value.
A variable inductance pressure sensor is illustrated in Figure 8.16b. The LVDT displace­
ment transducer and demodulator produces a linear de voltage signal proportional to the dis­
placement of the core from a central null position. As the core moves in one direction from
null, a positive voltage is produced. Movement in the other direction produces a negative volt-

Cahbrated

Bellows spnng
Slidmg contact

Resistance­
to-current
transmitter

Output
Resistance
signal
a) A bellows-resistance pressure sensor

Bellows Core Output

SIgnal
b) A bellows-inductance pressure sensor

Stationary plate

Pressure

• Figure 8.16 Examples of deflection-type

c) A diaphragm-capacitance pressure sensor pressure sensors.

:-~ .'
 . , ::

312 • Chap.8 Process Variable Sensors

age. A major advantage of the LVDT is the fact that it does not touch the internal bore of the
transformer. This eliminates problems of mechanical wear, errors due to friction, and electri­
cal noise due to a rubbing action.
A variable capacitance pressure transducer is illustrated in Figure 8.16c. The diaphragm
and the stationary plate form the two plates of the capacitor. The displacement of the dia­
phragm reduces the distance between the two plates, thereby increasing the capacitance. The
signal conditioner produces an electrical signal based on the capacitance value of the primary
element.

EXAMPLE A bellows pressure element similar to Figure 8_16b has the following values:
8.6 2
Effective area of bellows 12.9 em

Spring rate of tbe spring 80 Nlem

Spring rate of the bellows = 6 Nlcm

What is the pressure range of the sensor if the motion of tbe bellows is limited to 15 em?

Solution The total spring rate is 80 + 6 = 86 N/em. The force required to deflect the spring a distance of 1.5 em
is (1.5 em) X (86 N/em) = 129 N. The pressure required to produce this force IS (129 N)/(l2.9 emz)
10 N/em2 • The range is 0 to 10 N/em 2 , or 0 to 100 kN/m 2 , •

8.4 LIQUID LEVEL MEASUREMENT

Sensing Methods

The measurement of the level or weight of material stored in a vessel is frequently encoun­
tered in industrial processes. Liquid level measurement may be accomplished directly by fol­
lowing the liquid surface, or indirectly by measuring some variable related to the liquid level.
The direct methods include sight glasses and various floats with external indicators. Although
simple and reliable, direct methods are not easily modified to provide a control signal. Con­
sequently, indirect methods provide most level control signals.
Many indirect methods employ some means of measuring the static pressure at some
point in the liquid. These methods are based on the fact that the static pressure is proportional
to the liquid density times the height of liquid above the point of measurement.
p pgh (8.4)
where p = static pressure, Pa
p = liquid density, kg/m3
h = height of liquid above the measurement point, m
g = 9.81 m/s 2 (acceleration due to gravity)
Thus any static pressure measurement can be calibrated as a liquid level measurement. If the
vessel is closed at the top, the differential pressure between the bottom and the top of the ves­
sel must be used as the level measurement.
 • Sec. 8.4 Liquid Level Measurement 313

The following are examples of some of the other indirect methods used to measure liq­
uid level:
1. The displacement float method is based on the fact that the buoyant force on a sta­
tionary float is proportionaJ to the liquid level around the float.
2. The capacitance probe method is based on the fact that the capacitance between a sta­
tionary probe and the vessel wall depends on the liquid level around the probe.
3. The gamma-ray system is based on the fact that the number of gamma rays that pen­
etrate a layer of liquid depends on the thickness of the layer.

Displacement Float Level Sensors

A displacement float level sensor is illustrated in Figure 8.17. The float applies a downward
force on the force beam equaJ to the weight of the float minus the buoyant force of the liquid
around the float. The force on the beam is given by the following equation:
f= Mg - pgAh (8.5)
where f = net force, N
M = mass of the float, kg
g = 9.81 m/s2 (gravity)
p liqnid density, kg/m3
A = horizontal cross-sectionaJ area of the float, m 2
h = length of the float below the liquid surface, m
Equation (8.5) shows that the force, f, bears a linear relationship to the liquid level.
The load cell applies a balancing force on the force beam that is proportionaJ to f and,
consequently, bears a linear relationship with the liquid level. The load cell is a strain gage

Bonded strain
gage load cell

Wheatstone
bridge and Output
amplifier signal
--------­
_-------,..
....--------­
..
_------- ....
--------­
_------_
--------­
--------­
.....--------­
-------- ..
...--------­
_------- ..
...--------­
_------- ..
..--------­
_-------­
---------­
---------..
"'--------

• Figure 8.17 A Heat and a force or displacement sensor use the buoyant force on
the float 3l; a measure of the liquid level

-------~~~,,~----.--~---~------------------------------
314 • Chap.8 Process Variable Sensors

force transducer that varies its resistance in proportion to the applied force. A signal condi­
tioner converts the load cell resistance into a usable electrical signal.

Static Pressure Level Sensors

Static pressure level sensors use the static pressure at some point in the liquid as a mea­
sure of the level. They are based on the fact that the static pressure is proportional to the
height of the liquid above the point of measurement. The relationship is given by Equa­
tion (8.4):
p = pgh

where p = static pressure, Pa

p = liquid density, kg/m3
h = height of liquid above the measurement point, m
g 9.81 m/s2
If the top of the tank is open to atmospheric pressure, an ordinary pressure gage may
be used to measure the pressure at some point in the liquid. A variety of methods is
used to measure the static pressure. One method is illustrated in Figure 8.18, where a bel­
lows resistance pressure sensor and transmitter is used to measure the level. The output
of the transmitter is a 4- to 20-mA current signal corresponding to a level range from 0
to 100%.
If the top of the tank is not vented to the atmosphere, the static pressure is increased by
the pressure in the tank at the liquid surface. The height of the liquid above the point of mea­
surement is proportional to the difference between the static pressure and the pressure at the
top of the tank. A differential pressure measurement is required. Figure 8.19 illustrates the use
of a differential pressure transducer to measure the level in a closed tank.

(Pressure
Bellows resIstance
InlOsducer

Resistance­
to-current
transmItter

• Figure 8.18 A static pressure sensor uses

Output the pressure near the bottom of the tank as a
SIgnal measure of the liquid level.
 • Sec. 8.4 liquid Level Measurement 315

DIfferential pressure
transducer

/
Amplifter

tr.msducer

Output

SIgnal

4 20 rna)

• Figure 8.19 A differential pressure sensor can be used to measure liquid level
in a closed tank that is under high pressure.

Capacitance Probe Level Sensors

A capacitance probe level sensor is illustrated in Figure 8.20. The insulated metal probe is one
side of the capacitor and the tank wall is the other side. The capacitance varies as the level
around the probe varies. The transmitter uses a capacitance bridge to measure the change in
capacitance. Solid and liquid levels up to 70 m can be measured with a capacitance probe.

Capacitance­
Output
to-current signal
transmitter
---------
--------_
----------
----------..
----------
----------
--------_
.. _-------­...
---------_ .. -­
----------
---------""
----------
:-------:..---:..------~-
--------- ---
----------
..---------
_-------­ --
---------
----------
i-_
_
-­ ..
_-------­ -- ..
---------
..----------
----------
--------- ..
:..---------------:..-00 --­ ..
----------
----------
----------
...---------
_--------
---
-_
--
---
--------- ---...

Capacitance probe

• Figure 8.20 A capacItance probe level sensor can measure solid (granular) or
liquid levels up to 70 m.

v·
-~-
316 • Chap.8 Process Variable Sensors

EXAMPLE The displacement float level sensor in FIgure 8.17 has the foUowing data:
8.1
Mass of the float, M = 2.0 kg

Cross-sectional area of float, A 20 cm 2

Length of the float, L = 2.5 m
Liquid in the vessel, kerosene
Determine the minimum and maximum values of the force, f, applied to the force beam by the float.
Solution From the "Properties of Liquids" table In Appendix A, the density (p) of kerosene is 800 kg/m 3 . The .
force, f, is given by Equation (8.5).

f Mg - pgAh

= (2)(9.81) - (8oo)(9.81)(~~)h
= 19.62 - 15.7h N

The minimum force occurs when h = L:

= 19.62 - (15.7)(2.5)

-19.63 N
The maximum force occurs when h 0:
{max = 19.62 - (15.7)(0)
= 19.62N

The force applied by the float on the force beam ranges from 19.62 N when the vessel is empty to
19.63 N when the vessel is full. •

EXAMPLE Water is to he stored in an open vessel. The static pressure measurement point is located 2 m helow the
8.8 top of the tank. A pressure transducer is selected to measure the liquid level. Determine the range of the
pressure transducer for 100% output when the tank is full.
Solution Equation (8.4) gives the desired relationship. The density of water is obtained from the "Properties of
Liquids" table in Appendix A.

p lOOOkg/m3

P = pgh
Prna. (looo)(9.81)(2)
= 1.962 X lit Pa
or
PIlldX = 19.62 kPa
•
• GLOSSARY

Absolute pressure: The difference between a measured pressure and an absolute vacuum (0 pres­
sure). (8.3)
 • Chap.S Exercises 317

Bellows: A thin-walled cylinder with corrugated sides used to measure pressure. (8.3)
Bimetallic thermostat: Two strips of different metals bonded together to form a temperature­
activated switch. (8.1)
Blackbody: An ideal body used to model the heat radiated from objects. A blackbody has an emit­
tance of L (8.1)
Bourdon element: A flattened tube bent into an incomplete circle, spiral, or helix that is used to mea­
sure pressure. (83)
Differential pressure: The difference between a measured pressure and a reference pressure. (8.3)
Differential pressure ftow meter: A flow meter that operates on the principle that a restriction in a
flowing fluid produces a pressure drop that is proportional to the flow rate squared. (8.2)
Emittance: The ratio of the radiant energy emitted from a body to the radiation emitted from an ideal
blackbody. (8.1)
Filled thermal system: A temperature sensor that uses a bulb filled with a liquid, gas, vapor, or mer­
cury. Thermal expansion of the fluid in the bulb produces a motion that is a measure of the tem­
perature of the fluid (8.1)
Gage pressure: The difference between a measured pressure and atmospheric pressure. (8.3)
Magnetic ftow meter: A flow meter that uses the voltage induced when a conductor moves in a mag­
netic field (the flowing fluid is the conductor). (8.2)
Perfect vacumn: A pressure of zero. (8.3)
Radiation pyrometer: A temperature sensor that measures the temperature of an object by sensing
the thermal radiation emanating from the object. (8.1)
RTD: Abbreviation of resistance temperature detector; a temperature sensor that uses the change in
resistance of a conductor due to a change in temperature of the conductor. (8.1)
Stroubal nmnber: A constant used in the flow rate equation of a vortex shedding flow meter. (8.2)
Thermistor: A temperature sensor using a semiconductor that has a large change in resistance with
changes in temperature. (8.1)
Thermocouple: A temperature sensor that uses the fact that two dissimilar wires connected at each
end generate a voltage that is a measure of the difference in temperature between the two ends.
(8.1)
Turbine ftow meter: A flow meter that uses the rotation of a turbine blade to measure fluid flow rate.
(8.2)
Vacomn: A pressure that is less than atmospheric pressure. (8.3)
Vortex shedding ftow meter: A flow meter that uses pulsations caused by an unstreamlined obstruc­
tion in the flow stream to measure flow rate. (8.2)

• EXERCISES

Section 8.1 Construct a calibration graph by plotting the data points.

Draw a line through the endpoints and estimate the
8.1 Name the four types of fluids used in filled thermal terminal-based nonlinearity of the transmitter in degrees
system temperature sensors. celsius and percentage of full scale.
8.2 The following data were obtained in a calibration 8.3 Check the equation developed in Example 8.1 at
test of a class m FTS temperature transmitter similar to 75°C.

Figure 8.3: SA The resistance of nickel wire at 20"C is given by the

following equation:

Temperature CC) o 38 81 120 162 199

Output Signal (psi) 3.01 5.34 7.86 10.14 12.78 15.01 R = pL

A
318 • Chap.S Process Variable Sensors

where R == resistance at 20°C, a 8.10 Determine the self-beating error for a thermistor in
p = resistivity of nickel 47.0 the voltage divider circuit shown in Figure 8.7. The ther­
mistor has a dissipation constant of 6 mWrC and a resis­
A == area of the wire, circular mil [circular mil ==
tance of 328 [ n @ 20°C. The circuit conditions are
(diameter in mils)2]
L == length of the wire, ft T== 20nc

A nickel resistance thermometer element is to have a re­ R == 3500 a

a
sistance of 100 at 20°C. Determine the length of wire re­ VdG = lOY
quired if the diameter of the wire is 0.004 in. (4 mils).
iout 0 (zero loading effect)
8.5 A two-wire direct method is used to measure the
resistance of a nickel RTD that has a sensitivity of 8.11 A tbermistor with the resistance values given in
0.817 arC. Determine the lead-wire error caused by Table 8.2 is used in the voltage divider circuit in Figure
15ft of each of the wire gages listed in Example 8.2. 8.7. The output voltage, VaUl> is easily obtained from the
voltage divider rule.
8.6 Given the following data for the circuit in FIgure
8.Sb:
is I mAo
The sensor is a nickel RID.
VOU! (R + :herm.stoJ Vde ,V
a
R" 120.0 when T == O°C (a) Compute VOUI for T 0,10,20,30, . . . ,90, 100°C.
a
R, == 201.7 when T 100°C Use the following circuit conditions in your calcula­
(a) Determine v" when T = O°C and when T = 100°C. tions:
(b) Design an op-amp circuit similar to Figure 8.6 that will R = 1400 a Vdc =1V
co~vert v. into a 4- to 2()..mA current signal as follows: Plot VOUI versus T.
(b) Repeat part a with R = 650 a, Vdc = I Y
i"ut = 4 mA when T = aoc
8.12 A type J (if(~n-constantan) thermocouple is used to
ioul = 20 rnA when T = 100°C
check the temperature in an oven. The reference junction
8.7 An RTD is used to measure the temperature of air was placed in an ice bath at O°C, and the measuring junc­
flowing in a duct at 1.5 m/s. The diSSIpation constant for tion was placed in the oven. The thermocouple output volt­
this environment is 15 mWrC. The air temperature Is agc was measured to be 28.3 mY.
a
60°C, and the RID has a resistance of 120 at 60°C. De­ Use the data in Table 8.4 and the following interpola­
termine the self-heating error for each of the following tion tbnnula to detennlne the oven temperature. Proceed as
sensor currents: 1 rnA, 10 rnA, and 20 mAo follows. In Table 8.4, locate the two consecutive lines for '
which the smaller voltage is less than 2H.3 m V and the
8.8 Plot the thermistor resistance values in Table 8.2
larger voltage is greater than 28.3. We will use L to indicate
with R on the y-axis and T on the x-axis.
the lesser line, H to indicate the greater Hne, and M to indi­
8.9 Determine the sensitivity (change in resistance per cate the measurement. Tbus V (L) 27.39 mY, V (M) =
degree Celsius) of tbe thermistor in Table 8.2 at -70, 0, 28.3 mY, and V(H) = 33.11 mY. Also, T(L) = 500°C, T(M)
70, and t40°C. Express tbe resistance change as a per­ = measured temperature, and T(H) 600°C. Use the fol­
centage of the resistance at the designated temperature. lowing interpolation formula to determine the measured
Use the average resistance cbange over the 20°C band temperature, T(M):
from -80 to -60°C to compute the sensitivity at -70°C,
the average change from - 10 to + 10°C to compute the
T(M) = T(L) + [T(H) - T(L)] [V(M) VeL)] °c
sensitivity at O°C, etc. The average resistance change and V(H) - V(L) ,
sensitivity at T= - 70°C are computed as follows:
8.13 Repeat Exercise 8.12 for a type K thermocouple
with an output voltage of 34.2 mY.
8.14 The EMF produced by a thermocouple may be ap­
liR.vg ( -70°C) proximated by the following equation:
SenSItivity (-70°C) == 100 X R( -700C) E"" Eo + alT + a2T2

:.~ ,
 • Chap.8 Exercises 319

where E = thermocouple EMF at TOC, V Vc = 0 (i.e., Tref = O°C). Under these conditions, lI2
Eo = thermocouple EMF at O°C, V (min) = Vo and 1-'2 (max) = G1VTC (200°C) + 110. The
T = temperature, °C required condition is

aJ, a2 = constants tI;! (max) = [G1vTC (200°C) + vo] 5

Determine the values of Eo, a" and a2 for the iron­ tI;! (min) Vo
constantan thermocouple described in Table 8.5. Use the (c) Assume G = 1 and determine the value of R that pro­
2
EMF values at 0, 100, and 200°C to find Eo, alt and a2' duces the desired 4- to 20-rnA current output.
Check the accuracy of the equation at 60°C. (Hint: See
(d) Compute the output current at temperatures of 0, 100,
Example 8.1.)
and 200°C with Tref = O°C.
S.IS Construct a graph of the temperature versus the out­
(e) Repeat step d with the reference junction at 20°C and
put signal for the iron-constantan thermocouple in Table again at 40°C. Compare both sets of results with the
8.5. Determine the terminal-based nonlinearity of the graph results in step d by computing the percentage of dif­
(i.e., the maximum difference between the actual curve and ference.
a straight line connecting the two endpoints). 8.1S Repeat Exercise 8.17 for a temperature range of 0
8.16 An LM35 integrated circuit temperature sensor has to 4OQ°C and an output current range of 10 to 50 rnA. Use
the following output voltage versus temperature values: Table 8.4 for the mV output at 400°C.
Vout -500 mV at T = -50°C 8.19 Complete the following for the iron-constantan
thermocouple transmitter described in Table 8.5:
V out = 0 mV at T = O°C
(a) Determine the terminal-based linearity of the trans­
VOUI = 500 mVat T +50°C mitter output.
(b) Design a five-step, piecewise linear function that will
Design an op-amp circuit that will convert the output of
linearize the transmitter output.
the LM35 into the following linear current signal:
i out = 4 rnA at T = -50°C Section 8.2

i out = 20 rnA at T = +50°C 8.20 Differential pressure flow motors are used as the
sensors in six liquid flow control systems. Pretend you
8.17 The signal conditioner in Figure 8.9 will be used to were assigned the task of constructing calibration graphs
condition the output of a type J thermocouple. The desired for the six flow controllers. Your first step was to conduct
input/output conditions are an input. temperatllre range of four calibration tests for each control system. In the first
o to 200°C and an output current range of 4 to 20 mA. test, you set the controller at 25%, collected the output
Table 8.5 lists the thermocouple voltages and the output flow in a container of known volume, and measured the
current values for temperatures from 0 to 200°C in incre­ time required to fill the container. You then repeated this
ments of 20°C. Determine the required values of the dif­ test at controller settings of 50%,75%, and 100%. Your
ferential amplifier gain, G" the offset voltage, Vo, the test results are summarized in the following table.
summing amplifier gain, G2 , and the voltage-to-current
converter resistor, R. Proceed as follows:
(a) Dtlu::rmiut: tht: value of G 1 mat matches the solid-state
compensator to the type J thermocouple over the tem­ TIme In Minutes to Fill the
perature range of 0 to 40°C (the expected range of ref­ COlltailler (liolume ~ V gal)
Controller Contamer at Each Controller Setting
erence junction temperatures). The solid-state compen­
:>ator voltage, Ve , has a slope of 10 mV re. Over the
Tag
Number
Volllme
V (gal.)
--~"

25%
...-.. ..
50%
-

75% 100%
range of 0 to 40°C, a type J thermocouple has a slope of
2.06 mV/40°C = 0.0515 mV;oC. Determine the value (a) FIC 101 025 3.32 2.39 1.98 1.72
of G 1 such that G 1 times the thermocouple slope is (b) FIC 112 1.00 1.74 1.22 \.03 0.88
equal to the compensator slope (i.e., 0.0515G 1 = 10). (c) FIC 116 0.25 1.84 1.29 \.04 0.91
(b) Determine the value of Vo that matches the ratio tI;! (d) FIC 119 5.00 1.49 1.06 0.84 0.74
(e) FIC 134 1.00 295 2.05 1.68 1.47
(max)/lI2 (min) to the ratio i"U! (max)/iout (min) (Le., to
(f) FIC 148 5.00 4.56 314 266 2.26
20/4 = 5). In this computation, assume G2 = 1 and

.'":' .
320 • Chap.8 Process Variable Sensors

Determine the average flow rate in gpm for each controHer 8.25 A bellows pressure element similar to Figure 8.16b
setting by dividing the container volume, V. by the time in has the following values:
minutes. Finally, use your calculated results to construct a
Effective area of the bellows = 4 cm 2

calibration graph for each controller.

Spring rate of the spring 400 N/cm

8.21 The flow control systems in Exercise 8.20 are de­

scribed by the equation Spring rate of the bellows = 25 N/cm

What stroke of the bellows is required for a range of 0 to

q KYsp 2
50 N/cm ?
where q flow rate, gal/min
K constant Section 8.4
sp := controller setting, % 8.26 A displacement float level transducer has the fol­
Calculate the value of K for each calibratIon test result in Ex­ lowing data:
ercise 8.20. Find the average K value for each control system, Mass of the float, M = 6.5 kg

and use this value to expre~s the relationship between the Area of the float, A = 50 cm2

flow rate, q, and the square root of the controller setting, sp.
Length of the float, L = 4.0 m

8.22 A turbine flow meter has a K value of 34.1 cm 3 per

Liquid in the vessel, water

pulse. Determine the volume of liquid transferred for each

of the following pulse counts: Determine the minimum and maximum values of the
(a) 8200 (b) 32,060 (c) 680 force, F, applied to the force beam by the float.
8.23 Determine the flow rate for each pulse count in Ex­ 8.27 Gasoline is to be stored in a vented vessel. The
ercise 8.22 if the pulse counts occur during a 210-8 time static-pressure measurement point is 8 m below the top of
inter.val. the vessel. A pressure sensor is to be used as the level sen­
sor. Determine the range of the pressure sensor for 100%
output when the tank is filled.
8.28 The following liquid storage tanks use a pressure
Section 8.3 l>ensor at the bottom of the tank as the level sensor. Deter­
8.24 A bellows pressure element similar to Figure 8.16b mine the static pressure in kPa at the bottom of each tank
has the following values: when the tank is full.
(8) A 4-m-high tank full of gasoline.
Effective area of the bellows = 21 cmz (b) A 2-m-high tank full of water.
Spring rate of the spring = 200 N/cm (c) A 6-m-high tank full of oil.
Spring rate of the bellows = \0 N/cm (d) A I-m-high tank full of kerosene.
What is the pressure range of the transducer if the motion 8.29 Convert each of the pressure readings in Exercise
of the bel1ow~ is limited to 2 em? 8.28 from kPa to psi.
PART THREE
•
MANIPULATION

.+ CHAPTER9 Switches,
Actuators, Valves,
and Heaters

• OBJECTIVES

A controller has two interfaces with the process it controls; one is the input to the controller, the other
is the output frum lilt: cunlruller. Sensors and signal conditioners handle the input side. Various types of
switching elements, actuators, control valves, heaters, and electric motors handle the output side.
The purpose of this chapter is to give you an entry-level ability to discuss, select. and specify
switching elements, pneUlUttlie Hl'[mdlll'S, hytlnmlli.: actualor~, process control valves, and heaters. After
completing this chapter, you will be able to.
1. Interpret standard symbols for
a. Mechanical switches and relays
b. Solid-state components
c. Solenoid valves
2. Describe
a. Pushbutton switch, limit switch, level switch, pressure switch, and temperature switch
b. Relay, contactor, starter, and time-delay relay
c. Transistor, SCR, triac, UIT, and diac
d. Pneumatic cylinder and pneumatic motor
e. Hydraulic cylinder and hydraulic motor
f. Process control valve
3. Select a pneumatic or hydraulic cylinder
4. Determine the proper size of a process control valve
5. Compute the heat flow rate required to melt and heat a substance

•••• 321
322 • Chap.9 Switches, Actuators, Valves, and Heaters

9.1 MECHANICAL SWITCHING COMPONENTS

Switches are devices that make or break the connection in an electric circuit. The switching
action may be accomplished mechanically by an actuator, electromechanically by a solenoid,
or electronically by a solid-state device. All three methods of accomplishing the switching ac­
tion are used in control systems. Switches turn on electric motors and heating elements, sense
. the presence of an object, regulate the speed of an electric motor, actuate solenoid valves that
control pneumatic or hydraulic cylinders, and initiate actions in sequential control systems.
Mechanical switching components are used in the manipulating element of some process
control systems. As you may recall from the control system block diagram (Figure 1.7), the
manipulating element is located between the controller and the process. One application of a
mechanical switching element is the electric heater control in the lower left comer of Figure
2. I2. The contactor is a mechanical switching component that turns the electric heating ele­
ment ON and OFF. A second application is the solids feeder control system in Figure 2.19.
Here, two limit switches operate a motor to lift and lower the gate on the belt feeder.
Mechanical switching components are often used in sequential control systems to per­
form a set of operations in a prescribed manner. They are used to start and stop the motion of
pneumatic and hydraulic cylinders in Figures 2.8 and 2.21. They are used to start and stop a
large electric motor in Figure 9.5, and to control a hydraulic hoist in Figure 11.4.
The circuit diagrams in the figures mentioned in the previous paragraph are called "lad­
der diagrams" because they luuk likt: a ladder. A ladder diagram consists of two vertical lines
and any number of horizontal circuits that connect the two vertical lines. The ve,rtical lines
r't~pl'escnt the electrical supply lines-usually the 11SN ac hot and common lines or 12-V de
positive and negative (or ground) lines.
The horizontal lines in a ladder diagram are called "rungs" because they look like the
rungs on a ladder. A rung in a ladder diagram has two parts: an input section and an output
element. The input section consists of one or more contacts. The output element may be an
electric motor, a heating element, a solenoid valve, or a relay coil. Only one rule is required
to understand a ladder diagram: the output element is turned ON when there is a closed path
connecting the element to the two vertical lines, and the element is OFF when the path is not
closed (due to an open contact). You wilJ be given the opportunity to construct simple ladder
diagrams in the exercises at the end of this chapter.

Mechanical Switches

Mechanical switches use one or more pairs of contacts to make or break an electric circuit.
The contacts may be normally open (NO) or normally closed (NC). A normally open switch
will close the circuit path between the two terminals when the switch is actuated and will
open the circuit path when the switch is deactuated. A normally closed switch will open the
circuit path when the switch is actuated and will close the circuit path when the switch is de­
actuated. The more common actuating mechanisms include push buttons, toggles, levers,
plungers, and rotary knobs.
The switching action may be momentary-action or maintained-action. In a momentary­
action switch, the operator pushes the button, moves the toggle, or rotates the knob to change
the position of the contacts. When the operator releases the switch, the contacts return to the
• Sec. 9.1 Mechanical Switching Components 323

normal condition. When an operator actuates a maintained-action switch, the contacts remain
in the new positiori after the operator releases the actuator. In most momentary-action
switches, the actuator returns to its original position when released, and in most maintained­
action switches, the actuator remains in the new position when released. However, in some
maintained-action switches the actuator returns to the original position, even though the con­
tacts remain in the new position.
Mechanically actuated switches may be operated manually by an operator or automati­
cally by fluid pressure, liquid level, temperature, flow, thermal overload, a cam, or the pres­
ence of an object. Figure 9.1 shows standard wiring diagram symbols for various types of
switches. The limit switches in Figure 9.1 are actuated by a cam or some other object that en­
gages the switch actuator. Pressure-actuated switches open or close their contacts at a given
pressure. Liquid level-actuated switches open or close their contacts at a given liquid level.
Temperature-actuated switches open or close their contacts at a given temperature. Flow­
actuated switches open or close their contacts when a given flow rate is sensed. The overload
switches are circuit breakers that open a normally closed contact when an overload condition
occurs. Overload switches are intended to protect motors and other equipment from damage
caused by an overload condition.

Pushbutton Switches

Momentary-action Maintained-action
NO NC ....L.
010
I
-L­
o 0 a.J.D . ~
l._'-t --oJI

Limit Switch Pressure Switch

NO NC NO NC

~ ~ ~o ~

Liquid Level Switch Temperature Switch

NO NC NO NC

~o ~
flow Switch
~ ~
Thennal Magnelic
Overload Overload
NO NC

~o o-r
~+ 3+ • Figure U Wiring diagram symbols for
mechanical switches.
324
• Chap. 9 Switches, Actuators, Valves, and H",aters

--H- ~~ -jf-
ICR 3CR 3CR

-jf- ~~ -jf-
ICR 3CR 3CR

-®- -e­ • Figure 9.2 Control relays use the COt I des­
Ignation (eg, lCR, 2CR) to identtfy the con­
tacts that are actuated by the cotl.

Relays

A relay is a set of switches that are actuated when electric current passes through a coil of
wire. The electric current passing through the coil of wire generates a magnetic field about
the core of the coil. This magnetic field pulls a movable arm that forces the contact to open
or close. The pull-in current is the minimum coil current that causes the arm to move from its
OFP position to its ON position. The drop-out current is the maximum coil current that will al­
low the arm to move from its ON position to its OFF position. Figure 9.2 illustrates two control
relays, one with two switches, the other with four switches. The relay coils are represented
schematically by the circles with the designation 1CR and 3CR. The CR signifies a control
relay, and the numbers I and 3 are used to distinguish between the two control relays. Each
relay in a drawing must have a unique designation.
The relay is actuated (or energized) by completing the circuit branch that contains the re­
lay coil. The relay coil designation is used to identify the contacts that are actuated by a par­
ticular relay coil. Normally open contacts are designated by a pair of parallel lines. Normally
closed contacts are designated by parallel lines with a diagonailine connecting the two par­
allellines. A normally open contact will close the circuit path when the relay coil is energized
and will open the circuit path when the relay is deenergized. A normally closed contact will
open the circuit path when the relay coil is energized and will close the circuit path when the
rclay coil is deenergized.
Notice that relay lCR has one normally open contact and one normally closed contact.
Relay 3CR has two nomlal1y open and two normally closed contacts. This method of using
the relay coil designation to identify the relay contacts is necessary because the contacts may
occur anywhere in an electric circuit diagram. The designation identifies which relay coil ac­
tuates each set of contacts.

Tlme·Delay Relays

Time-delay relays are control relays that have provisions for a delayed switching action (see
Figure 9.3). The delay in switching is usually adjustable, and it may take place when the coil
is energized or when the coil is deenergized. An arrow is used to identify the switching di­
rection in which the time delay takes place. In relay 1TR, the delay occurs when the coil is
energized. Contact I TR delays before it closes. When coil 1TR is deenergized, contact ITR
opens immediately. In relay 2TR, the delay also occurs when the coil is energized. The 2TR
contact delays before it opens and closes immediately when the coil is deenergized. In relays
• Sec. 9.1 Mechanical Switching Components 325

Time Delay Relay

Time delay when the Time delay when the
coil is energized coli is deenergized
NO NC NO NC

ITR 2TR 3TR 4TR

o 0 o 0
T or T ~

--e­ -e­ -@­ -e­

• Figure 9.3 In time-delay relay!>, the arrow pomts in the direction In which the
delayed action occurs.

3TR and 4TR, the delay occurs when the coil is deenergized. Contact 3TR closes immedi­
ately when coil 3TR is energized and delays before it opens when the coil is deenergized.
Contact 4TR opens immediately when coil4TR is energized, and delays before it closes when
coil4TR is deenergized.

In a time-delay relay, the delay occurs in the direction in which the arrow is pointing.

Contactors and Motor Starters

Relays with heavy-duty contacts are used to switch circuits that use large amounts of electric
power. When the circuit load is an electric motor, the relay is called a motor starter; other­
wise, it is called a cOtttac:tor. An eXllmple of a reJay for switching a three-phase system is
shown in Figure 9.4. The three heavy contacts are used to switch the three lines supplying
electric power to the load. The lwu lighl cuulacls are used in the control circuit.
Figure 9.5 illustrates a circuit for starting and stopping a 480-V ac three-phase electric
motor. The two momentary-action pushbutton switches in the 115-V ac circuit are the
start-stop station for the motor. When the START button is pressed, coil 1M is energi7.ed, clos­
ing all four I M contacts. The three large contacts connect the three 480-V ac lines to the mo­
tor. The small contact in parallt:1 wilh the START switch is used to hold the circuit closed after
the START button is released. The small contact is called a "holding contact" because it "holds"
coil 1M in the energized condition after the operator releases the START button. When the op­
erator presses the STOP button, the circuit breaks and all four 1M contacts open. The circuit
remains deenergized after the STOP button is released because the 1M holding contact is open.

• Figure 9.4 Motor starters and contactors

have three large contacts that are used to switch
large amounts of electric power. The small aux­
iliary contacts are used in the control circuit.

-----:~- .....- - - - . - -... -----~-----------

,":' '
326 • Chap.9 Switches, Actuators, Valves, and Heaters

480-V ac, three-phase

Ll .......- - - - J JS-V ac, smgle phase---­..... L2 Ll L2 L3

FuseFI
~~~
1M

• Figure 9.5 Control circuit for starting a large ac motor.

9.2 SOLID-STATE COMPONENTS

Solid-state components are used in a variety of ways in control systems. For example, they
are used to convert a dc voltage into a controlled ac voltage in Figure 9.7. They are used to
vary the ac power delivered to a load in Figures 9.8 and 9.10. They are used as ON/OFF
switches to control motors, solenoid valves. and a light in Figure 9.20. They are used as elec­
tronic switches in a brush less dc motor in Figure 10.11. They are used in a full-wave bridge
rectifier to control large dc motors in Figure 10.23. They are used in dc power amplifiers to
control dc servo motors in Figures 2.6, 2.15, and 10.22. They are used in a phase discrimina­
tor to control the thickness of a sheet in Figure 2.20. Finally, they are used in a three-phase
converter and inverter to control the speed of a large ac motor in Figure 10.18.
The purpose of this section is to describe the names, symbols, and operation of the solid­
state components most frequently used in control. Table 9.1 gives the symbols and voltam­
pere characteristics of these components.

Silicon-Controlled Rectifier.

One of the major uses of solid-state components is in switching circuits of all sizes. Although
transistors are used in some switching circuits, power switching is the domain of the silicon­
controlled rectifip.y (SCR) and the triac. The SCR has a number of useful characteristics. First,
it is a rectifier--an SCR will conduct current in only one direction. Second, the SCR is a
latching switch-the SCR can be turned ON by a short pulse of control current into the gate
and it remains ON as long as current is flowing from the anode to the cathode. Third, the SCR
has a very high gain-the anode current is about 3000 times as large as the control current.
This means that a small amount of power in the turn-on circuit is used to control a large
amount of power in the main circuit. Figure 9.6 shows the vo)tampere graph of an SCR.
When the anode-to-cathode voltage, VAC, is negative, the SCR is said to be reverse bi­
ased. With a reverse bias, the anode current is negligible until the breakdown occurs-typi­
cally' 50 to 2000 V. When the anode-to-cathode voltage is made positive, the anode current is
• TABLE 9.1 Partial List of Sold-State Components

Name of Solid-State Graphical Voltampere Typical

Component Symbol Characteristic ApplicatIon

+ v

Diode Ol--__

~I>t-I- 0 j 11 Rectifier block bypass

7 ( V

N P N transistor
Id+~ iBs
Amplifiers, switches,
i8 > 0
i81 oscillators
VeE (+)

(-).i VeE

P N P transistor
i8'::: 0
BI

Iss
m,
(-)
Amplifiers, switches,
oscillators

Base 2
Unijunction transitor Emitt~r Timers, OSCillators, SCR
(UIT) iB -+ trigger
Ve - s
1 - Base 1

Anode
Programmable , ~Gate
unijunction transistor
(PUT) V
AC
\:f:/ Timers, oscillators, SCR
trigger
-Cathode

Anode
+

~
A+
Silicon-controlled Power switches,
rectifier (SCR)
Gate _
VAC
( inverters, frequency
converters
Cathode

Anode 2
Triac i%±\V t, 1'- ___ _ Switches, relays
Gate -J.lP 21

Anode 1

Diac Triac and SCR trigger

1'-_ -­

327
328 • Chap.9 Switches, Actuators, Valves, and Heaters

Anode i..
+
-Region 3
V AC

Region Region 2

+-Reverse

breakdown

vottage
• Figure 9.6 The voltampere characten,tlcs
of an SCR can be dIvIded mto three operanng
regions.

sti II negligible. However, when VAC is positive and a small voltage is applied between the gate
and cathode, the SCR switches ON. When the SCR is ON, it remains ON even if the triggering
voltage is removed. The SCR has three operating regions .
. Region I. VAC is negative and iA is negligible.
Region 2. VAC is positive and iA is negligible.
Region 3. VAC is positive and iA is large; the SCR is ON.
There are four ways that an SCR can make the transition from region 2 to region 3. The first
way is to increase the anode voltage until the forward breakdown voltage is reached and the
device turns ON. The second way is by applying a positive voltage pulse to the gate input to
"trigger" the SCR ON. A third method is by applying light to the gate/cathode junction. The
light energy turns the SCR ON. This is called a LASeR (Light-Actuated Silicon Controlled
Rectifier). The fourth method is to rapidly increase the anode-to-cathode voltage, VAC' The
rapid increase in voltage will also turn the SCR ON. The second method, a triggering voltage
pulse at the gate, is usually used in control applications.
Once the SCR is turned ON, it will remain ON. There are three ways that an SCR can be
turned OFF.
I. The anode current can be reduced below a minimum value called the holding current.
The holding current is typically about 1% of the rated current. This causes a transition
from region 3 to region 2. The SCR is still forward biased, but it is OFF instead of ON.
2. If IlIt: allude voltage is reversed (i.e., VAC < 0), the SCR will gn from region 3 to re­
gion I. This method is used in ac circuits where the voltage reverses each half-cycle.
It is also used in inverters and frequency converters where a charged capacitor is
switched into theSCR circuit to force a reversal of the anode-to-cathode voltage.
3. In small current applications, the SCR can also be turned OFF by supplying a negative
gate current to increase the holding current. When the increased holding current ex­
ceeds the load current, the SCR switches into region 2.
The second method, reversing VAC, is the method most often used in control circuits.
One application of the SCR is the inverter circuit illustrated in Figure 9.7. An inverter is a
device that converts the voltage from a dc source into an ae voltage. The de source might be a
• Sec. 9.2 Solid-State Components 329

• Figure 9.7 This center-tapped primary,

SCR-controlled inverter converts a dc voltage
into an ac voltage.

bank of storage batteries used to store electrical energy collected by solar cells or a wind gen­
erator. The ac voltage is needed to operate ac equipment such as fluorescent lights, appliances,
and electric power tools. The circuit operation consists of the SCRs alternately switching the
dc current from one half of the primary winding to the other half. The effect is equivalent to an
alternating current in a single primary winding so that the secondary winding delivers an a1ter­
nating current to the load. The term commutation is used to name the transfer of current from
one SCR to the other SCR. Reliable commutatIon is one of the major problems in inverters. In
Figure 9.7, additional commutation circuitry is required to tum OFF the SCRs by reverse bias­
ing (method 2) each time the other SCR is turned ON by a triggering impulse.

Triacs

The triac was developed as a means of providing improved controls for ac power. The major
difference between the triac and the SCR is that the triac can conduct in both directions,
whereas the SCR can conduct in only one direction. The voltampere characteristic of the triac
is shown in Table 9.1. A positive or negative gate current of sufficient amplitude wi1l trigger
the triac ON when V21 is either positive or negative. A typical triac circuit is shown in Figure
9.8. The trigger circuit produces pulses that turn the triac ON. The first trigger pulse turns the
triac on during the positive half-cycle. The triac remains on until the ac voltage reverses and
turns the triac OFF. The next triggering pulse turns the triac on during the negative half-cycle.

AC
line

• Figure 9.8 Basic tnac cirCUIt for control of an ac load.

330 • Chap.9 Switches, Actuators, Valves, and Heaters

The triac again remains ON until the ac voltage reverses and turns the triac OFF. The trigger
circuit determines when the trigger pulse will turn the triac ON. This in turn determines how
much current is delivered to the load.

Unijunction Transistors

A number of devices are used to produce the trigger pulse for SCRs and triacs. The
unijunction transistor (UJT) is one device used in the triggering circuit. A basic unijunction
trigger circuit and its waveforms are shown in Figure 9.9. In this circuit, the capacitor is
charged by the current through R3 until the emitter voltage reaches Vp (see Table 9.1) and the
UJT turns on. This discharges the capacitor through R2 , producing the trigger spike in VG'
When the emitter voltage reaches 2 V, the UJT turns OPF and the cycle is repeated. The val­
ues of R3 and C determine the time between the triggering pulses.
Figure 9.10 shows an example of a UJT used as an SCR trigger circuit. The circuit oper­
ates as follows:
1. The ac input is applied to the load in series with the SCR. The load voltage remains
at zero until the SCR is switched on by a gate pulse.
2. Voltage em is also applied to the zener diode clipper circuit (Rs and Vz). The zener
diode breaks down at Vz V and thus limits or clips the positive peaks of em (see the
Vxy waveform in the figure). During the negative half-cycle of em. the zener is forward
biased and maintains a near 0 voltage between x and y.
3. The clipped sine wave, vXY ' is the supply voltage for the UJT circuit. During the pos­
itive half-cycle of em while VXI' is at + Vz V, the capacitor charges through R until it
reaches Vp of the UJT. When it does, the UJT turns ON and discharges C, producing a
positive pulse across R J (see VBI waveform). This pulse is fed to the gate of the SCR
and turns ON the SCR.
4. Once the SCR is ON, the load voltage becomes approximately equal to em for the du­
ration of the positive half-cycle. (See the VJoad waveform.)
5. During the negative half-cycle, the SCR stays OFF and VJoad stays at zero.
6. The amount of power delivered to the load is controlled by varying the RC time con­
stant, which causes C to charge slower or faster, thereby triggering the UJT and SCR
later or earlier in the positive half-cycle of Bin' In other words, the RC time constant

• Figure 9.' UJT trigger circuit.

 • Sec. 9.2 Solid·State Components 331

JC

- - - - - - fill
~ ___ ""ov

~__----~~~-------ov
,
I
I
• Figure 9.10 A UJT is used to trigger an
SCR in this ac power control circuit [From R.
Tocci, Fundamentals ofElectronic DevIces, 4th
ed. (Columbus, OhIO: Merrill/Macmillan,
......____ ov 1991), p. 592.]

controls the SCR trigger time and therefore the load power. As RC is increased, the
trigger time increases and the load decreases. *

Diodes

Diodes are used as rectifiers in de power supplies and as one-way "valvcs" to block or bypass
llndeslred electric currents. The voltampere chaf!lcteriRt1c of the diode is shown in Figure
9.11. The diode has three operating regions depending on the anode-to-cathode voltage (V).
If the anode-to-cathode voltage is positive, the diode is said to be forward biased; if the volte
age is negative, the diode is reverse biased. In operating region 1, the diode is forward biased
and conducts electric currenl with very low resistance. In region 2, lhe lIiooe is reversed bi­
ased and blocks electric current with very high resistance. In region 3, the reverse bias has in­
creased to the point of breakdown and the diode conducts electric current. For most applica­

*R. Tocci, Fundamentals of Electronic Devices. 4th ed. (Columbus, Ohio: Memll/Macmillan, 1991), p. 592.

---~ ..- -...- .

---.~--- .... ~----~~
332 • Chap.9 Switches, Actuators, Valves, and Heaters

• Figure 9.11 Vo!tampere characteristtc of a

dIode.

tions, operation in region 3 is avoided. An exception to this rule is the zener diode, which is
operated in region 3 as a voltage regulator.
A full-wave dc power supply is illustrated in Figure 9.12. The diodes are used as one­
way switches that pass current only when they are forward biased. The center-tapped trans­
former configuration is such that the two diodes are forward biased by opposite polarities of
the ac input voltage (Vm). When Vm is positive, diode DI is forward biased, and when Vm is
negative, diode D z is forward biased. Therefore, diode DI conducts current during each pos­
itive half-cycle of the input voltage, and diode D z conducts current during each negative half­
cycle. The output of each diode is connected to output terminal a, producing the full-wave
rectified output voltage shown in Figure 9.12. A capacitor is usually placed across terminals
a and b to produce a more constant output voltage.

Transistors

Transistors are used in control systems as switches, amplifiers, and oscillators. There are two
types of transistors, the NPN type and the PNP type. The graphic symbols and voltampere
characteristics of both types arc includcd in Table 9.1. The operating characteristics of NPN
and PNP transistors are the sftme exc~pt thHt thft rlimctions of the voltages and currents are
opposite. The foJlowing discussion is confined to the NPN transistor.
An NPN transistor has three terminals called the collector, base, and emitter, as shown in

.. t

vvv~v y

DiodeD21S
conductmg current

a ~~
-V
OUT
---------0 I-.,-J I-.,-J
b ................. / / "

Diode DI is
conducting current • Figure 9.12 Full-wave de power supply_
 • Sec. 9.2 Solid-State Components 333

Collector
Ammeter
0-1 Amp

20 .;;; fJ .;;; 200 • Figure 9.13 Test circuit for an NPN tran­
sIstor.

Figure 9.13. Transistors are essentially controlled-current amplifiers. A relatively small cur­
rent entering the base is used to control a much larger current entering through the collector.
Both currents. leave through the emitter. The ratio of the collector current (ic) to the base cur­
rent (in) is called the f3 (beta) of the transistor (f3 = ie/in). The f3 of a transistor ranges from
20 to 200, and it varies from one transistor to another, even if they are of the same type. Ag­
ing and changes in temperature may also cause the f3 to change.
A transistor may be used in one of three different amplifier configurations, depending on
which terminal is common to the input and the output. The three configurations and a sum­
mary of their characteristics are shown in Figure 9.14.
The input/output graphs of a typical common-emitter amplifier are shown in Figure 9.15.
Notice the signal inversion in both graphs (i.e., as the input voltage or current increases, the
output voltage or current decreases). The voltage gain is determined as follows. Select two
points on the straight portion of the graph that are spaced as far apart as possible. Measure the

ftc:
-
iotl'l'

+
R" VOUT
V1N -_Vc:c:

a) Common-base amplifier b) Common-emitter amplifier

Transistor circuit CD CE CC
.. ~.

Voltage gain Yes Yes No

Current gain No Yes Yes
Signal inversion No Yes No
cl Common-collector amplifier

• Figure 9.14 Configuration and charactenstlcs of transIstor amphfiers.

---"-~"--"--."-~"--"'-----"--~"'--~'--'--'-~~-.--.-~~ ..~
334 • Chap.9 Switches, Actuators, Valves, and Heaters

Common-emitter Common-emitter
current 110 graph voltage 1/0 Jf8pb
200 20

.~ SO
OL-._+_ _I--_+.......;~
SO 100 3
ill'l, microamperes VIII, volts

• Figure 9.15 Input/output graphs of a common-emItter amplifier.

change in the input voltage (AVm) and the change in the output voltage (AVouJ between the
two points. The voltage gain is the change in output voltage divided by the change in input
voltage, AVout!Av,n' The current gain is determined in a similar manner.
In the example illustrated in Figure 9.15, the voltage gain is 11.25 and the current gain is
-1.2. The negative sign is due to the signal inversion. This signal inversion is a characteristic of
the common-emitter amplifier. The inversion is eliminated when two common-emitter amplifiers
are connected in series, because the inverted output of the first stage is inverted again by the sec­
ond stage. The overall voltage gain of a two-stage amplifier is the product of the voltage gains of
the two stages. The same is true for the current gain. For example, if stage 1 has a voltage gain
of -12 and stage 2 has a voltage gain of - 10, the overall voltage gain is (-12)( -10) = 120.
The input/output graphs of a typical common-collector amplifier are shown in Fig-

Common-collector Common-collector

current 110 graph

voltage 1/0 graph

100
S
Current 67 Voltap 3.4
gain =rn = 181 gain = 3.S =0.97
II) I
!
8. ,E
1< I
! I~ tl
·!l.S I>
1
i III
I t € Ie;;
'If;

t
.S
l:a ::
I
I
I~
I _________ ..JI~
4lln "" 0.37 mA
0 AJlIl,/=3.S V
0.1 0.2 0.3 0.4 O.S 0.6 3 S
jut. milliamperes JlIl'!. volts
• Figure 9.16 Input/output graphs of a common-collector amplifier.
• Sec. 9.2 Solid-State Components 335

• Figure 9.17 Four-stage transistor amplIfier.

ure 9.16. The voltage gain of this amplifier is 0.97, and the current gain is 181. Notice the
absence of the signal inversion that characterized the common-emitter amplifier. This direct
relationship between input and output signals and the absence of voltage gain are charac­
teristics of the common-collector amplifier. The common-collector amplifier is a current
amplifier.
The common-emitter and common-collector amplifiers may be combined to form multi­
stage amplifiers with increased voltage and current gains. A four-stage amplifier is shown in
Figure 9.17. Transistors QI and Q2 form common-emitter amplifiers for stages 1 and 2. Tran­
sistors Q3 and Q4 form common-collector amplifiers for stages 3 and 4.

Syrup
inlet line

Water Agitator
Drive
mletline drive
motor

@
Ready

o
Start

Operator's console

• Figure 9.18 Industrial blendmg process.

336 • Chap.9 Switches, Actuators, Valves, and Heaters

Ll~
240 Vac
Three phase
L2 --a::rr----t 1--"",( Solids feeder drive
(synchronous motor)

• Figure 9.19 Power circUlt for the ~olids feeder drive motor in the blending
process In Figure 9.18.

EXAMPLE A schematic diagram of an industrial process is shown III Figure 9.18. Two-position solenoid valves
9.1 are used to control the water and syrup flows into the tank. A third solenoid valve is used to control the
flow out of the tank. The solids feeder i" driven by a synchronous motor, and a universal motor is used
for the agitator dnve. The operator's console completes the main components of the process.
The main contacts for starting the solids feeder drive motor are shown in Figure 9.19. The control cir­
cuit for energizing the solids feeder starter coil is shown in Figure 9.20. Triac 4 in Figure 9.20 is triggered
by it dc signal controlled by bIt 2 of the output port of the ICST-I microcomputer. Triac 4 is ON when bit
2 is a logic I and it is OPF when bit 2 is a logic O. Transistor T3 acts as a solid-state switch to control the
triggering of the triac. Similar triac circuits are u~ed to control the solenoid valvcs and the ready light.
The agitator drive motor is controlled by triac I in Figure 9.20. Variable resistor R2 , capacitor C;.,
and the diac make up the triggering circuit. Resistor R z and capacitor Cz form a variable time constant
circuit that triggers triac I when the voltage across C 2 reaches the breakover voltage of the diac. Resis­
tor RI and capacitor C 1 reduce the transient voltages developed during switching due to the inductive
energy stored in the motor windings. The dlac triggering circuit provides a smooth control of motor
&peed from an intermediate value up to full speed. Other triggering techniques are used when the full
control range is required.
The control circuit shown in Figure 9.20 is simpler than the actual circuits used in an industrial
process, but it illustrates some of the variety of applications of solid-state components in control sys­
~mL •

9.3 HYDRAULIC AND PNEUMATIC VALVES

AND ACTUATORS

Actuators are an important part of every control loop. They provide the power needed to posi­
tion the final control element. Hydraulic and pneumatic actuators often provide the most
economical and trouble-free method for positioning the final control element. Hydraulic actuators
are used where slow, precise positioning is required, or where heavy loads must be moved. Hy­
dmulic actuators operate at higher pressures than pneumatic actuators, so they can provide larger
forces from a given-size cylinder or motor. E!neumatic actuators are used where lighter loads are
encountered, where an air supply is available, and where fast response is required. Pneumatic ac­
tuators are less expensive than hydraulic actuators, and they are capable of much faster movement.
TIll! Sl'et:d ur a hydraulic actuator is limited by the maximum flow rate provided by the hydraulic
pump. Pneumatic diaphragm operators are used in most control valves, a topic covered in Section
9.4. In this section we cover hydraulic and pneumatic valves, cylinders, and motors.
• Sec. 9.3 Hydraulic and Pneumatic Valves and Actuators 337
LI L2

CI

Bit 0

Bit I

Bit 2

Bit 3

Ready
light
Bit 4

DI D2 76543210
' - - - f - -..........--------f--~... Output port
Vnc
ICST-I
p,computer
Start ..L. I/O port
switch
ready

• Figure 9.20 Control Circuit for the blending process m Figure 9.IS.
338 • Chap.9 Switches, Actuators, Valves, and Heaters

Solenoid Valves

Solenoid valves are used to control fluid flow in hydraulic or pneumatic systems. A solenoid
valve consists of a movable spool fitted inside a housing with one or two solenoids capable
of moving the spool to different positions relative to the housing. Both the spool and the hous­
ing have fluid passages. The passages in the housing are connected together or blocked in dif­
ferent ways, depending on the position of the spool in the housing. A valve with one solenoid
has two spool positions, one position when the solenoid is deenergized, the other position
when the solenoid is energized. A valve with two solenoids has three spool positions, one po­
sition when both solenoids are deenergized, a second position when solenoid a is energized,
and a third when solenoid b is energized.
Each passage in the housing may be blocked, or it may be connected to the supply line,
to the return line, or to a line from a cylinder. Each such connection is called a way. A sole­
noid valve is characterized by the number of positions the valve has and by the number of
connecting lines (ways) it has. Thus a valve with one solenoid and two connecting lines is
called a two-position, two-way valve. A valve with two solenoids and four connecting lines
is called a three-position, four-way valve.
Symbols of common types of solenoid valves are illustrated in Figure 9.21. In the dia­
gram, the spool is represented by two or three squares, one square for each position of the
valve. Each connecting 1ine or way is indicated by a line outside of the squares that represent
the spool. The passages in the spool are indicated by lines within the squares. Blocked lines
indicate blocked passages. Arrows indicate the direction of fluid flow. The spool is always
shown in the deenergized position, and the two, three, or four connecting lines (ways) are at­
tached to the square that is in effect when the valve is deenergized.
Figure 9.21a illustrates the operation of a two-position valve. The solid-linc diagram on top·
shows the valve in the deenergized position, the way it would be shown in a schematic diagram.
Notice that the spool square lie-xI In the spring is lined lip wit)l the three connecting Iinel'>. Tn thil'>
positiuIl, the cylinder is connected to the return or exhaust line, and the supply line is blocked.
The dashed-line diagram in the bottom of Figure 9.21a shows the valve in the energized position.
In this position, the supply line is connected to the cylinder and the return line is bJocked.
Figure 9.21 b illustrates the uperation of a thI'ee"posilioll valve. The soUd-line diagram on
top shows the valve in the deenergized position. Notice that the two cylinder lines are blocked
and the supply line is connected to the return line. The middle dashed-line diagram shows the
valve in the position it will be in when solenoid a is energized. Here the supply line is con­
nected to the left cylinder line, and the right cylinder line is connected to the return line. The
lower dashed-line diagram shows the valve in the position it will be in when solenoid b is en­
ergized. In this position, the supply line is connected to the right cylinder line, and the left
cylinder line is connected to the return line.

Cylinders

Hydraulic and pneumatic cylinders are used to produce a linear motion with a definite maxi­
mum distance of travel. Cylinders may be single acting or double acting, as illustrated in
Figure 9.22. Single-acting cylinders allow fluid on only one side of the cylinder. The piston
is returned to the starting position by gravity or by a return spring. Double-acting cylinders
 Deenergized

SolenOId a energized

f-- -j- -.- -'T--

rJ'IJ.
I.J.,. """ I t ..... ­

Solenoid a energized
Sol a~WN<~ : tl
--..+. -'-" "fl-'
r-' : /' L.... ~ Sorb

Solenoid b energized
a) Two-position valve showing
deenerglzed and energized b) Three-position valve showing
positions (see Figure 2.8) deenergized and energized
positions (see Figure 11.4)

e) Two-position two-way valve d) Two-position three-way valve

(see Figure 9.18) (seo Figure 2.S)

Solf Sol g

e) Two-position four-way valve

(see Figure 2.21) f) Three-position four-way valve
(see Figure 11.4)

• Figure 9.21 Drawing symbols for solenoid valves used for hydraulic and pneu­
matic systems.

339

---:-~.---- .. - - - - _ ... _-_ ... _ - - - - - - _ .. __ . - - - - - - - - - - - - -...- -.... ~ ..- -....- ­

.­
340 • Chap.9 Switches, Actuators, Valves, and Heaters

a) Smgle-acting spring-return cylinder

• Figure 9.22 Hydraulic and pneumatic

cylmders produce large forces for linear move­
b) Double-acting cylinder ment of a load or final control element.

allow fluid on both sides of the cylinder. providing a power return of the piston. Table 9.2 lists
the theoretical forces and speeds for typical hydraulic and pneumatic cylinders.

Motors

Hydraulic and pneumatic motors develop large torques to produce rotational motion in a load
or final control element. The four most common types of motor are the piston motor, the gear
motor, the rotary vane motor, and the turbine motor. Figure 9.23 illustrates these four types
ofrnotor.
The gear motors are used only for hydnmlic OuiUs. 1111:: lUl'hine motor is used only for
pneumatic systems. The piston and rotary motors are used for both hydraulic and pneumatic
systems.

• TABLE 9.2 Theoretical Force and Speed for Hydraulic and

Pneumatic Cylinders

Faree(/b) Speed (in /mlnJ

Cylmder Hydraulic Pneumatic Hydraulic

Bore (m.) (3000 PSt) (100 pSI) (Igaljmm)

15 5,301 177 131

2.0 9,425 314 74
3.0 21,206 707 33
4.0 37,699 1257 18
5.0 58,905 1963 12
6.0 84,823 2827 8.2
8.0 150,796 5027 46
10.0 235,619 7854 2.9
• Sec. 9.3 Hydraulic and Pneumatic Valves and Actuators 341

a) Radial piston motor b) Gear motor

~;.IDJCllIII"ii~~ Fluid flow

Inlet Outlet
port pori
Rolary
c) Vane motor blades d) Turbine motor

• Figure 9.23 The piston- and vane-type motors are used m both hydraulic and
pneumatic systems. The gear motor is used only in hydraulic systems, and the tur­
bine motor is used only in pneumatlc systems.

The radial piston motor has pistons that radiate out from an eccentric drive shaft. Fluid
enters the cylinder and forces the piston against the eccentric thrust ring, causing the shaft to
rotate. Radial piston motors are usually limited to speeds below 2000 rpm.
Gear mowrs are the most popular hydraulic motor. The entering fluid causes the two
gears to rotate in the direction indicated. The gears carry the fluid from the inlet port to the
outlet port The output of the gear mQtor is delivered by a shaft attached to one of the gears.
The hydraulic fluid moves the gears, the output gear moves the shaft, and the shaft moves the
load. Gear motors can operate at speeds up to 3000 rpm.
The vane motor is basically the same for hydraulic and pneumatic systems, although the
motors are not interchangeable. The vane motor consists of a slotted eccentric, with spring­
loaded plastic vanes. As fluid enters the motor, it applies force against the vanes, with more
force against the vane that is extended. The unbalanced force on the extended vane causes the
eccentric shaft to rotate. The fluid is trapped between two vanes and is carried from the inlet
port to the outlet POit. Hydraulic valle lIlulurs can operate at speeds up to 4000 rpm, and pneu­
matic vane motors can operate up to about 6500 rpm.
The turbine motor consists of several sets of rotating blades separated by rows of sta­
tionary blades. The rotating blades are attached to the shaft, which is also connected to the
load. The fluid enters the motor and flows through the turbine blades, producing a force on
·342 • Chap.9 Switches, Actuators, Valves, and Heaters

the rotary blades that tends to rotate the shaft. Notice that the rotary blades are canted and the
stationary blades are straight. The canted blades deflect the fluid, producing a torque that
tends to rotate the shaft. The shaft transfers this torque to the load. The stationary blades
straighten the fluid flow for the next set of rotary blades. Turbine motors have low starting
torque but are capable of very high speeds.

Selection of a Cylinder

The first step in selecting a cylinder is to determine the force required to move the load. The sec­
ond step is to determine the speed required by the application. Other considerations include the
choice between hydraulic and pneumatic systems, the working fluid pressure, the flow rate (hy­
draulic systems), the valve size, and the oversize factor. The oversize factor is a number greater
than I that is used to increase the size of the cylinder to provide the additional force necessary to
accelerate the load. One supplier of hydraulic and pneumatic cylinders recommends selecting a
cylinder with 25% extra force for slow-moving loads and 100% extra force for fast-moving loads.
Hydraulic cylinders are capable of much larger forces than pneumatic cylinders. How­
ever, pneumatic cylinders are capable of greater speeds than hydraulic cylinders. The speed
of a hydraulic cylinder is determined by the flow rate of the fluid (see Table 9.2). The speed
of an air cylinder cannot be calculated. Air cylinder speed depends on the force available to
accelerate the load and the rate at which air can be vented ahead of the advancing piston. In
fact, an adjustable valve on the cylinder vent port is one method of regulating the speed of a
pneumatic cylinder.
The force produced hy a cylinder is equal to the area of the cylinder times the working
pressure in the cylinder.
Force = ('/Td 2/4) (working pressure) (9.1)
Table 9.2 gives the force produced by working pressures of 100 and 3000 psi in cylinders with
diameters ranging from 1.5 to lOin. A very common design calculatiun is the computation of
the working pressure required to produce a given force in a cylinder with a given diameter.
The designer may use Equation (9.1) for this computation, but there is a simpler way based
on Table 9.2 and the law of proportions. We now use Equation (9.1) to develop the equation
for this simpler method. Here we let fl and WP I represent the force and working pressure
from Table 9.2. We want the working pressure (WP 2 ) required to produce the given force (/2)'
Using Equation (9.1), we get the following two equations:
'/Td 2

fl = 4 WP 1

and
2
'/Td WP
4 2

Now we divide the second equation by the first:

f2 ('/Td 2/4) WP2 WP 2
fi ('/Td 2/4) WP I WP I
 • Sec. 9.3 Hydraulic and Pneumatic Valves and Actuators 343

Finally, multiply both sides of the equation by WP I •

WP2 = WP I 12
- (9.2)
II
The speed of a hydraulic cylinder is equal to the flow rate in cubic inches per minute
divided by the area of the cylinder in square inches. Equation (9.3) gives the speed in inches per
minute for a flow rate of Q gallons per minute and a cylinder diameter of d inches (1 gal =
231 in3).
231Q
Speed = 7Td 2/4 (9.3)

Table 9.2 also gives the speed of hydraulic cylinders for a flow rate of 1 gal/min. Another
common design calculation is the computation of the flow rate required to produce a given
speed in a cylinder with a given diameter. The designer may use Equation (9.3) for this com­
putation, but again there is a simpler method, which we develop as follows. Let SI and QI rep­
resent the speed in Table 9.2 (QI = 1). We want the flow rate (Q2) required to produce the
given speed (S2). Using a development similar to the one above, we obtain the following de­
sign equation:
S2
Q2 = QI S; (9.4)

The selection of the working pressure is interrelated with the size and cost of the cylin­
der and operating considerations such as leakage costs and pump costs. Trade-offs are in­
volved. For example, a higher working pressure will permit a smaller cylinder and a lower
flow rate to achieve a specified force and speed. The downside is that higher working pres­
sures result in higher leakage rateS and higher noise levels. Example 9.2 illustrates the process
of selecLing a cylinder for a given application.

EXAMPLE A manufacturing operation requires the movement of a workpiece a distance of 10 in. in 15 s. A force
9.2 of 10,00(1 Ib is required to move the workpiece. The available Sp/lCC limits thc cylinder diameter to a
maximulll of 5 ill. Lcilig~ and noise consldel'atlon~ milk.~ it desirable to limit the working pressure to
a maximum of 1000 psi. A hydraulic pump with capacity of 2.5 gal/min is available in the surplus equip­
ment yard. Select a cylinder for this application. '

Solitlion The required force is 10,000 lb. Thc required speed is 10/0.25 - 40 in./min. The speed is relatively
slow, so a 25% oversize factor will be used.
Required cylilld~i furc~ = 1.25 X 10,000 "" 12,500 lb
The force and diameter requirements dictate Ii hydraulic cylinder. Three cylinder sizes will be consid­
ered: 3, 4, and 5 in.
For a 3-in.-diameter cylinder:
From Table 9.2, WP, 3OOO-psi pressure and II = 21,206lb for a 3-in.-diameter cylinder. From Equa­
tion (9.2), the pressure required to produce a force of 12,500 lb is
12,500) .
WP (3000) ( 21,206 = 1768 pSI
344 • Chap.9 Switches. Actuators. Valves, and Heaters

From Table 9.2. a flow rate of 1 gal/min produces a speed of 33 in/min in a 3-in.-diameter cylinder.
From Equation (9.4). the flow rate required to produce a speed of 40 in./min is

Q = (1) G~) 1.2 gal/min

For a 4-in.-diameter cylinder:

From Table 9.2.3000 psi produces a force of 37,6991b in a 4-in. cylinder. The required working pres­
sure is again given by Equation (9.2):

12,500)
WP = (3000) ( 37,699 = 995 pSI.
From Table 9.2. a flow rate of 1 gal/min produces a speed of 18 in./min in a 4-in.-cylinder. The required
flow rate is given by Equation (9.4):

Q = (1) (~~) = 2.2 gal/min

For a 5-in.-diameter cylinder the required working pressure is

12.500) 637 psi

WP = (3000) ( 58,905
The required flow rate is

Q (I)(~~) = 3.3 gal/min

Conclusion: The 4-in. cylinder IS selected for this application. The required flow rate of 2.2 gal/min
can be provided by the surplus pump. The working pressure of 995 psi is within the lOOO-psi limit, and
the 4-in.-diameter cylinder fits in the available space. •

9.4 CONTROL VALVES

In many process control systems, the manipulated variable is the flow rate of a fluid, and the
pneumatic control valve is the most common final control element. A typical pneumatic con­
trol valve is illustrated in Figure 9.24. The input to the valve is a 3- to lS-psi air pressure sig­
nal, which is applied to the top of the diaphragm. The diaphragm actuator converts the air
pressure into a displacement of the valve stem. The valve body and trim vary the area through
which the flowing fluid must pass.
The input air pressure signal may come directly from a pneumatic controller; it may
come from a pneumatic valve positioner; or it may come from an electropneumatic trans­
ducer. A valve positioner is a pneumatic amplifier that provides additional power to operate
the valve. The electropneumatic transducer converts the milliampere signal from an electronic
controller into the 3- to IS-psi air pressure signal required by the control valve.
Th~ diaphragm actuator consists of H synthetic rubber diaphragm and a calibrated spring.
• Sec. 9.4 Control Valves 345

Diaphragm

~_ _­ Calibrated
spring

Yoke

L . I . _ - - - Stem

Packing _ _ _ _ _ _ _ --~

_ _-Body

• Figure 9.24 Pneumatic control valve.

Th~ air pressure on the top of the diaphragm is opposed by the spring. Full travel of the valve
stem is obtained with a change in the air pressure signal from 3 to 15 psi. The graph uf the
valve stem displacement versus the air pressure signal is nearly linear. The actuator may be
described as a direct actuator or a reverse actuator, depending on the location of the cali­
hrated spring. The two types of actnator are illustrated in Figure 9.25.
A yoke attaches the diaphragm actuator to the valve body. The valv!:: su.,1ll passes through
II packing. which allows motion to the valve stem Ilnd prevents leakage of th(l fluid flowing
around the stem. The trim cum~ists of the valve plug and the valve seat or port. These two parts
are often produced in matched pairs to provide tight shutoff.
The valve position (P) is the displacement of the plug from the fully seated position. The
valve action is the direction in which the valve plug moves as the air pressure signal increases.
If increasing air pressure closes the valve, the valve action is described as air-to-close. If in­
creasing air pressure opens the valve, the action is described as air-to-open. The variat.jon~ of
valve action and actuator type are illustrated in Figure 9.26.
 j 'ncreasing
air pressure
l ,ncreasing
air pressure

• Figure 9.25 Direct- and reverse-action

a) Direct actuator hI Reverse actuator valve actuators.

Air pressure _ _-r

signal

a) Direct acting air-to·close h) Reverse acting air-to-close

• Figure 9.26 Four combinations of valve

action (air-to-open or air-to-close) and actuator
c) Direct acling aiNo-open d) Reverse acting air-to-open type (direct or reverse).

346
• Sec. 9.4 Control Valves 347

Valve Characteristics

The characteristic of a control valve is the relationship between the valve position and the
flow rate through the valve. The inherent characteristic of a valve is obtained when there is a
constant pressure drop across the valve for all valve positions. The installed characteristic is
obtained when the valve is installed in a system and the pressure drop across the valve de­
pends on the pressure drop in the remainder of the system. Thus the installed characteristic
depends on both the inherent characteristic of the valve and the flow characteristic of the sys­
tem in which the valve is installed.
The three most common valve characteristics-quick opening, linear, and equal per­
centage-are illustrated in Figure 9.27.
The quick-opening characteristic provides a large change in flow rate for a small change
in valve position. This characteristic is used for ON/OFF or two-position control systems in
which the valve must move quickly from open to closed, or vice versa. A typical quick­
opening characteristic is shown in Figure 9.27.

r­
0.9 I 1/1
_ .. _0.

0.8 f- -Quick-opening characteristic

/ J
0.7 f--­ ----­ .-." 0._ ••
I
/ If
-
Lmear characteristic
./ II "­
7 VI
1/ hV
/ R 30,,"/ VZ~ = SO
0.3

0.2 / / ~
/ ~~
!- F.qual-percentage
characteristics
.-"
.,.../.. L--::::: ::::::;:.
0.1
~

o 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9

V!llve po~ilion> percellt

• Figure 9.27 Three types of inherent characteristics for control valves.
 348 • Chap.9 Switches, Actuators, Valves, and Heaters

A linear characteristic provides a linear relationship between the valve position (P) and
the flow rate (Q). The linear characteristic is described by the following mathematical rela­
tionship.
Q P
--= (9.5)

where Q = valve flow rate

P = valve position (displacement of the plug from the closed position)
P max = maximum valve position
Qmax = maximum flow rate
The flow rate and valve position are usually given in the English units of gallons per minute
and inches. However, any convenient units may be used. The values of Qmax and P max are usu­
ally included in the valve manufacturer's literature. The linear characteristic is usually used
in installed systems in which most of the system pressure drop is across the valve.
An equal-percentage characteristic provides equal percentage changes in flow rate for
equal changes in valve position. An equal-percentage valve is designed to operate between a
minimum flow rate (Qmm) and a maximum flow rate (Qmax). The ratio Qmax/Qmtn is called the
rangeability of the valve, R.

R (9.6)

Most commercial control valves have a rangeability between 30 and 50. The simplest
way to express the equal-percentage characteristic is in terms of the change in flow rate, cor­
responding to a small change in valve position.

Q2 - QI = KPz - PI
(9.7)
QI P max

where QI ::::: initial flow rate

PI = initial valve position
Q2 = final flow rate
Pz ::= final valve position
P max ::::: maximum valve position

The value of the constant K depends on the rangeabiJity and the relative size of the change in
valve position. (P2 - P1)/P max ' Por example, if R = 50 and (1'2 P1)/Pmax = 0.01 == 1%,
then K = 4. In other words, a I % change in valve position will produce a 4% change in flow
rate. If the flow rate is 3 gal/min when the valve is 10% open, a change in valve position to
11 % will increase the flow rate by 4% of 3, or 0.12 gal/min. When the valve is 50% open, the
flow rate will be 14.2 gal/min. A change in valve position to 51 % open will increase the flow
rate by 4% of 14.2, or 0.57 gal/min.
The exact mathematical relationship for the equal percentage valve is given by the equation

(9.8)

- _..- . -...... - - - -
-----~---~ - - - - _...... --~-----------~ ...~~--...... - -­
 • Sec. 9.4 Control Valves 349

where Q valve flow rate

Qmax = maximum flow rate
Qmm = minimum flow rate
R = rangeability of the valve

P = valve position

P max = maximum valve position

Any convenient units of flow rate and position may be used in Equation (9.8).
The installed characteristics of a valve depend on how much of the total system pressure
drop is across the valve. If 100% of the system pressure drop is across the valve, the installed
characteristic is the same as the inherent characteristic. The installed characteristics of linear
and equal-percentage valves are illustrated in Figure 9.28. As the percentage pressure drop
across the valve decreases, the installed characteristic of the linear valve approaches the

o 0.1 0.2 0.3 04 0.5 0.6 0.7 0.8 0.9

p

Valve pOSItion. percent

• Figure '.28 As the percentage of total system pressure drop across the valve at
maximum flow (II) decreases, the linear valve approaches a quick-opening character­
istic, and the equal-percentage valve approaches a linear characteristic.

~-- .. ~-- ... ~ .-~----- ..- - - -... ---­

 350
• Chap. 9 Switches, Actuators, Valves, and Heaters

• TABLE 9.3 Approximate Cv Values for Common

Valve Sizes

Valve SIze Cu Valve Size Cu

0.25 0.3 3 108

0.5 3 4 174
I 14 6 400
1.5 35 Ii ,/25
2 55 10 1100

quick-opening characteristic, and the installed characteristic of the equal-percentage valve ap­
proaches the linear characteristic.
The proper selection of a control valve involves matching the valve characteristics to the
characteristics of the process. When this is done, the control valve will contribute to the sta­
bility of the control system. Matching the valve characteristics to a particular system requires
a complete dynamic analysis of the system. When a complete dynamic analysis is not justi­
fied, an equal-percentage characteristic is usually specified if less than half of the system pres­
sure drop is across the control valve. If mostof the system pressure drop is across the valve,
a linear characteristic may be preferred.

Control Valve Sizing

Control valve sizing refers to the engineering procedure of determining the correct size of a
control valve for a specific installation. A capacity index called the valve flow coeffici{!nt (Cv )
has greatly reduced the difficulty in "sizing" a control valve. The valve flow coefficient is de­
fined as the number of U.S. gallons of water per minute that will flow through a wide-open
valve wilh a pressure drop of I psi. ror example, a control valve with a Cv of 5 will pass
5 gal/min of water when the valve is wide open and the pressure drop is 1 psi.
The valve-sizing formulas (Cv formulas) are based on the basic equation of liquid flow.
Q = KVpressure drop
The following formulas may be used to determine the maximum flow rate for different flow­
ing fluids. The approximate Cu values for standard valve sizes are given in Table 9.3.

(9.9)

(9.10)

(9.11)

- - ­ ..... -------~~ --- .... __ . _ . _ - .. --,..,---.~--- --_ _-­

- - - - - ­ ..... ,-. ....
 • Sec. 9.4 Control Valves 351

where ClI = valve flow coefficient

Gg = gas specific gravity (density of the gas divided by the density of air with both
gases at standard conditions)
GL = liquid specific gravity (density of the liquid divided by the density of water)
W = steam flow, Ib/hr
PI = valve inlet pressure, psia
P2 valve outlet pressure, psia
Qg = gas flow rate, ft3jhr at 14.7 psia and 60°F
Qi. = liquid flow rate, gal/min
T = gas temperature, OF

VI = specific volume of the steam at the valve inlet, ft3/lb

V2 = specific volume of the steam at the valve outlet, ft3/lb

EXAMPLE Determine the size of the control valve required to control the flow rate of a liquid with a specific grav­
9.3 ity of 0.92. The maximum flow rate is 320 gal/min. The available pressure drop across the valve at max­
imum flow is 60 psi. Allow a safety factor of 25% (i.e., QL = 1.25Qmax)'
Solution Equation (9.9) may be used:

(1.25)(320) Cvyroo
092
400 = 8.08Cv
C" 49.S miuimulIl
Conclusion: A 2-in. valve is required (Table 9.3). •

EXAMPLE Determine the size of the control valve required to control the flow rate of a gas with a specific gravity
9.4 of 0.85. The maximum flow rate is 20,000 standard cubic feet per hour (14.7 psia and 60°F). The gas
temperature, inlet pressure, and outlet pressure are 500°F, 90 psia, and 70 psia. respectively. Allow a
safety factor of 25%.
Solution Equation (9.10) may be used.

(PI - P2)(PI + P2)

Gg(T + 460)
(20)(\60)
(1.25)(20,000) == 960Cv
(0.85)(960)
25,000 = 1901C.,
C" = 13.15
Conclusion: A I-in. valve is required (Table 9.3).
•
352 • Chap.9 Switches, Actuators, Valves, and Heaters

EXAMPLE Determine the size of the control valve required to control the flow rate of steam to a process. The max­
9.5 imum flow rate is 600 Ib/hr. The inlet and outlet steam conditions are given below.
PI = 40 psia
VI 10.5 fNlb
P2 = 30psia
V2 = 14.0 ft3/lb

Use a safety factor of 25%.

SO/Ulion Equation (9.11) may be used.

W= 90C
U
M,_1_ _
VI
2
-P
+ V2

(1.25)(600) = 9OCv ) ~~5

Cv = 13.0
Conclusion: A I-in. valve is required (Table 9.3).
•
Control Valve Transfer Function

A pneumatic control valve is essentially a second-order system, usually underdamped or crit­

ically damped. The resonant frequency (wo) is usually between 1 and 10 rad/s. The transfer
function is given by Equation (9.12).

CONTROL VALVE TRANSrER PUNCTION

P G
(9.12)
I 1 + (2Uwo)s +(l/w~)s?
where G = valve gain, in./psi
I input air pressure signal, psi

P = valve position, in.

s frequency parameter, l/s

Wo resonant frequency, radls

, damping ratio

The second-order model presented here is adequate tor small-signal changes. For large­
signal changes, the model must include a limitation on the valve speed similar to the slew-rate
limitation on an op amp.

9.5 ELECTRIC HEATING ELEMENTS

Electric heating elements convert electrica.l energy into hea.t energy. As energy converters,
electric heaters are 100% efficient. All the electrical energy is converted into heat. However,
some of the heat energy is lost to the snrrounding environment. resulting in less than 100%
efficiency of heat energy delivered to the product.
• Sec. 9.5 Electric Heating Elements 353

Electric heaters come in a variety of shapes and sizes to satisfy different heating require­
ments. The burner on an electric stove is an example of an electric heating element. Industrial
heaters come in the following forms: cartridge, band, strip, cable, radiant, flexible, ceramic
fiber, and various process heater assemblies. We will describe the first two forms in some de­
tail. Further information can be obtained from manufacturers' catalogs.
A cartridge heater consists of a nickel-chromium wire wound on a supporting core and
enclosed in a metal tube sheath (see Figure 9.29). The outside diameter of the tube ranges
from 0.125 to I in. The length of the tube ranges from 1.25 to 12 in. for the O.l25-in.­
diameter element. For the l-in.-diameter element, the length ranges from 1.25 to 72 in.
TYpical wattage ratings are 25 to 50 W for the 0.125-in.-diameter by 1.25-in.-Iong element.
A l-in.-diameter by 36-in.-long element has a rating of 2500 W.
Cartridge heaters are immersed in the object to be heated. When used to heat solid ob­
jects, the cartridge is inserted into a hole in the object. The fit should be as tight as possible
while allowing easy insertion and removal of the heating element. When used to heat liquids,
the cartridge is immersed in the liquid to be heated. Immersion elements may be fitted with a
threaded plug or a flange for mounting through the wall of the containing vessel (see Figure
9.30). Stock immersion heaters have a diameter of 0.625 in. Sizes vary from a 500-W unit
(6.25-in. overall length) to an 18,000-W unit (35-in. overall length).
Band heaters are used to heat round objects or liquid product in round containers such as
pipes, extruder barrels, drums, cylinders, and so on. The band heater wraps around the object
to be heated much like a belt (see Figure 9.31). Stock band heaters range from a 100-W unit
[I in. inside diameter (10) by 1 in. wide] to a 2300-W unit (12 in. 10 by 2 in. wide). Units are
available with diameters ranging from 0.875 to 44 in. and widths ranging from 0.625 to 15 in.

• Figure 9.29 A cartrIdge heater has four mall1 pam: (I) a cot! of resIstance wire
wound on a supporting core; (2) magnesium made lIlsulatioll liIal combmes high di­
electnc btrength with effiCIent, fast heal transfer; (3) a corrosion-resistant sheath; and
(4) electrical leads IFrom Everything You Ever Wanted to KIIOW About Electric
Heaters and Control SyMems (St. LOUIS, Mo.: Watlow Electric Mgf. Co.), p. 1.1

.--_... - - _ ..._-_...- _.. _ - - ­

354 • Chap.9 Switches, Actuators, Valves, and Heaters

j .
I

,-.­
I

• Figure 9.30 Electric immersion heaters are Inserted into the heated fluid through a
threaded hole in the wall of the container. Elements with a flange mounting or "over the
side" mounting are also available. [From Everything You Ever Wanted to Know About
Electnc Heatm and Conlml Systems (St Louis. Mo.: Watlow Electric Mfg. Co.), p. 13.]

The first step in selecting an electrical heater is to determine the heat flow rate required
to do the job. The heat energy requirements fall into one of the fol1owing three categories:
1. Heat required to raise the temperature of the product and any surrounding objects
2. Heat required to change the state of the product (Le., change the product from a solid
to a liquid, or from a liquid to a gas)
3. Heat losses by conduction, convection, and radiation
The second step is to examine other considerations that will influence the selection. Exam­
ples include the following:
I. T he operating environment (e.g., the size and shape of the container, temperature; hu­
midity. ew.)
2. Life requirements

3
• Figure 9.31 Band heaters consist of
4 five parts: (1) a clamping strap. (2) a high­
temperature h("Jlting nhhnn. (:1) mica in~ulation,
tT-J~---;r--- 5 (4) a rust-resistant steel sheath, and (5) post
terminals for electrical connections. [From
Everything You Ever Wanted to Rnow About
EI!!cltic H!!ut!!rs urul CUll/lUi Sy~t!!'m (Sl.
Louis, Mo.: Watlow Electric Mfg. Co.), p. 35.]
• Sec. 9.5 Electric Heating Elements 355

3. Operating costs
4. Safety factor

The third step is to select the type, size, and number of heating elements.
The heat flow rate required to raise the temperature of an object is determined by the
thermal capacitance of the object and the elapsed time for the temperature rise. In this dis­
cussion, an amount of liquid product will be treated as an "object" to be heated. Thermal ca­
pacitance was defined in Chapter 3 as the amount of heat required to increase the temperature
by 1°C. Thus the heat flow rate required to raise the temperature of an object is given by the
following equation:

(9.13)

(3.39)

where QI = heat flow rate required to raise the temperature, W

CT = thermal capacitance, J/K
Tfinal = final temperature, °C or K
Tinitlal = initial temperature, °C or K

Ie = elapsed time, s

m = mass of the object, kg

p = density of the object, kg/m3

Sh = heat capacity, J/kg . K

V = volume of the object, m3

The amount of heat required to convert 1 kg of a solid into a liquid is called the latent
heat of fusion (Hf ). Appendix A lists the melting point and the latent heat of fusion for sev­
eral substances. The amount of heat required to convert I kg of a liquid into a gas is called
the latent heat of vaporization (Hv)' Water boils at 100°C. and the latent heat of vaporization
is 2.26 MJ/kg. The heat flow rate required to change the state of a given amount of product
is given by the following equations:

(9.14),

(9.15)

where Q2 = heat flow rate required to melt the product, W

Q3 = heat flow rate required to vaporize the product. W
m mass of the product, kg
Hf
= heat of fusion of the product, J/kg
HI) = heat of vaporization of the product. J/kg

Ie = elapsed time, s

356 • Chap.9 Switches, Actuators, Valves, and Heaters

The heat loss by conduction is detennined by the program THERMRES of Chapter 3. Ex­
act calculations of convection and radiation losses are quite difficult. The simplest approach is
to use a combined surface loss factor that gives the heat loss for a unit area of surface at a given
temperature. The heat loss rate is equal to the product of the surface area and the combined sur­
face loss factor.·
EXAMPLE Oil is to be heated from 10° to 55°C and pumped at a rate of 2 L/min. Determine the theoretical heat
9.6 flow rate required to heat the oil.

Solution Equations (9.13) and (3.39) apply. An elapsed time of 1 min or 60 s will be used for the calculation.

te == 60 s
The following properties of oil were obtained from Appendix A.

p 880kg/m3

SI! = 2180J/kg' K
The mass of oil that must be heated m 1 min is

m C~0)(880) = 1.76kg

The thermal capacitance of this amount of oil IS

Cr = mSI! = (1.76)(2180) == 3837 J/K

.The heat flow rate required to heat the oil is

Cr(Tfma , - TIn,u.,)
Ie

(3837)(55 - 10)
6U
= 2878 W

EXAMPLE A tank l.lf paraffin if.: In Ire Ilse:d for coating pam. The tank contains 85 kg of paraffin. which is at room
9.7 temperature before the start of a production run. Determine the heat flow rate required to melt the paraf­
fin and raise the temperature from room temperature (20°C) to the dipping temperature of 65°C. The :
desired heating time is 90 min. Assume the slime value of h~at (',apadty for solid and liquid paraffin.

Solution Equations (9.13), (3.39), and (9.14) apply.

t, = (90)(60) := 5400 s
The following properties of paraffin were obtained from Appendix A.

p 897 kg/m 3

Sh == 2931 J/kg • K

HI = 147 kJ/kg
'For further details, refer to Everything You Ever Wanted to Know About Electrec Heaters and Control Systems by
Watlow Electric Mfg. Co.• St. Louis. MO.
 • Chap.9 Glossary 357

The thermal capacitance of 85 kg of paraffin is

Cr = mSh = (85)(2931) = 2.49 X lOS J/K
The heat flow rate required to raise the temperature of the paraffin is

CT(Tfinal - Tlntt,.l)

(2.49E5)(65 20)

5400

= 2076W

The heat flow rate required to melt the paraffin is

mHf
Q2=­
t,
(85)(147E3)
=
5400
= 2314 W
The total heat flow required to melt the paraffin and raise the temperature is

Qr= Ql + Qz
:: 2076 + 2314
= 4390W
•
• GLOSSARY

Actuator; A control system component that provides the power needed to carry out the controlll.ction
produced by the controller. (9.3)
Actuator, hydraulic: An actuator that uses an oil-based fluid under high pressure to carry out the con­
trol action. Hydraulic actuators are used where slow, precise positioning is required, or where
heavy loads must be moved (9.3)
Actuator; pneumatic: An actuator that uses air under moderate pressure to carry out the control ac­
tion. Pneumatic actuators are used where relatively light loads are to be moved, where an air sup­
ply is available, and where fast response is required. (9.3)
Hand heater: An electric heating element that wraps around circular containers such as pipes, ex­
tll1de! bands, dI'UIIlS, cylinders, and so on. (9.:5)
Cartridge heater; An electric heating element that consists of a nickel-chromium wire wound on a
supporting core and enclosed in a metal tube sheath. (9.5)
Characteristic. equal-percentage: A control valve characteristic that provides equal percentage
changes in flow rate for equal changes in valve position. (9.4)
Characteristic,lnherent: The relatiolll>hip between the position of a control valve and the flow rate
through the valve when there is a constant pressure drop across the valve for all positions. (9.4)
Characteristic, installed: The relationship between the position of a control valve and the flow rate
through the valve when the valve is installed in a system and the pressure drop across the valve de­
pends on the pressure drop in the remainder of the system. (9.4)
 358 • Chap.9 Switches, Actuators, Valves, and Heaters

Characteristic, linear: A control valve characteristic that provides a linear relationship between the
valve position and the flow rate through the valve. (9.4)
Characteristic, quick-opening: A control valve characteristic that provides a large change in flow
rate for a small change in valve position. (9.4)
Contactor: A type of relay that has heavy-duty contacts for switching large amounts of electric power
and light-duty contacts for the control circuit. See also Motor starter. (9.1)
Control valve: A control system component used to control the flow of a fluid by regulating the size
of an opening in the flow pas!.age. A control valve consists of a valve plus an actuator for posi­
tioning the valve stem. (9.4)
Control valve sizing: The engineering procedure of determining the correct size of a control valve for
a specific installation. (9.4)
Cylinder: An actuator used to produce linear motion with a definite distance of traveL A cylinder con­
sists of a piston and shaft enclosed in a tube that is closed at both ends, except for the shaft that
protrudes through one end. The tube has ports through which hydraulic fluid or air can be passed
into and out of both ends. The piston is moved by forcing fluid in one side of the tube while al­
lowing it to exit the other side. (9.3)
Cylinder, hydraulic: A cylinder that uses hydraultc fluid to produce a linear motion. (9.3)

Cylinder, pneumatic: A cylinder that uses pressurized au to produce a linear motion. (9.3)

Diode: A two-terminal, solid-state component that allows electric current to flow in one direction, but

resists flow in the other direction. (9.2)

Hydraulic motor: An actuator that uses hydraulIc fluid under high pressure to produce rotary motion
in a load. Types of hydraulic motors mclude radial piston motors, gear motors, and vane motors.
(9.3)
Maintained·action switch: A type of switch in which the contacts remain in the position they are
placed by a switching action until another switching action changes their position. (9.1)
Momentary.action switch: A type of switch in which the contacts are in the actuated position only
while the operator holds the switch actuator in that position. As soon as the operator releases the
actuator, the contacts return to their unactuated positions. (9.1)
Motor starter: A type of rclay that has heavy-duty contacts for starting electric motors and Iight duty
u

contacts for the control circuit. See also Contactor. (9.1)

Oversize factor: A number greater than I that is used to increase the size of a cylinder to provide the
additional force necessary to accelerate the load. An oversize factor of 1.25 is recommended for
slow-moving loads, and a factor of 2.00 is recommended for fast-moving loads. (9.3)
Pneumatic motor: An actuator that uses preSSUrized air to produce rotary motion in a load. Types of
pneumatic motors include piston motors, vane motors, and turbine motors. (9.3)
,Rcl~Yl A set of switches, a coil of wire, and supporting members arranged such that the switches are
actuated when electric current passes through the coil of wire. (9.1)
Silicon-controlled rectifier (SCR): A three-terminal, solid-state switching component that requires a
small amount of control power to control a large amount of electric power. An SCR is both a rec­
tifier and a latching switch that can control currents as much as 3000 times as large as the control
current. (9.2)
Solenoid valve:· A movable spool fitted inside a housmg with one or two solenoids capable of mov­
ing the spool to different positions relative to the housing. Both the spool and the housing have fluid
passages. The passages in the housmg are connected together or blocked in different ways, de­
pending on the position of the spool relative to the housing. (9.3)
Switch: One or more pairs of contacts and supporting members that are used to make or break con­
nections in an electric circuit. (9.1)
Time-delay relay: A relay with a timing mechanism that provides a delay between the time the actu­
ating current is applied to the coil and the time the contacts move to their actuated position. (9.1)

- - _...... -------~----~
 • Chap.9 Exercises 359

Transistor: A three-terminal, solid-state switching component that is used as a switch, amplifier, and
oscillator. A transistor is essentially a controlled current amplifier. (9.2)
Triac: A three-terminal, solid-state switching component that requires a small amount of control
power to control a large amount of electric power. A triac is similar to an SCR except that the triac
can conduct in both directions, whereas the SCR can conduct in only one direction. (9.2)
Unijunction transistor: A three-terminal, solid-state component used to produce the trigger pulse for
controlling SCRs and triacs. (9.2)
Valve flow coefficient (Cv ): A capacity index for control valves, which is defined as the number of
U.s. gallons of water per minute that will flow through a wide-open valve with a pressure drop of
1 psi. (9.4)
Way: A passage in the housing of a solenoid valve. Each way can be connected to a supply line, a re­
turn line, or a line to a cylinder. (9.3)
Working pressure: The actual pressure required in a cylinder to move the load at the required speed.
(9.3)

• EXERCISES

Section 9.1 switch to tum the pump on and a low level switch to tum
the pump off. The pump is turned on when the water level
9.1 A 115- V ac electric motor drives a sump pump. A rises enough to close the high level switch. Once turned
normally open liquid level switch turns the motor on and on, the pump is not turned off until the water level drops
off directly (no relay is used). enough to open the low level switch.
(a) Draw a 11S-V ac ladder diagram to control the sump (a) Draw a 115-V ao ladder diagram that uses two nor­
pump motor. Your diagram should have one rung with mally open level switches and two normally open con­
the level switch as the input section and the electric trol relay contacts to control the sump pump motor.
motor as the output element. (See Figure 9.1 for the Your diagram should have two rungs. In the top rung,
level switch symbol. Use a circle for the motor sym­ place the two level switches in series. Then place a
bol.) control relay contact in parallel with the high level
(b) Electric motors have built-in thermal overload protec­ switch. Next, place the control relay coil in the top
tion to prevent overheating of the motor. The thermal rung as the output element. Finally, place the other
overload symbols are shown in Figure 9.1. Observe control relay contact and the ac motor in the second
the heating element symbol on the left and the NC rung.
contact symbol on the right in Figure 9.1. Revise your (b) Revise your ladder diagram from part a to include the
ladder diagram to include the heating element and the thermal overload heating element and the NC thermal
NC thermal overload contact. Place the heating ele­ overload contact. Place the overload contact in the top
ment between the level switch and the motor. Place rung on the right side of the control relay. Place the
the overload contact between the motor and the right heating element in the holtom nmg between the con·
vertical line (L2). trol relay contact and the ac motor.
9.2 The sump pump circuit in Exercise 9.1 is simple. bUl (c) Describe the operation of your revised circuit from
it has a problem. The problen1 occurs When the pump flow prot b. Begin your description with allillitially emply
rate is greater than the flow rate into the sump. When the sump, but with water flowing into the sump at a rate
level switch closes and turns on the pump motor, the level somewhat less than the pump flow rate. Your descrip­
in tbe slimp itntlIeuialcly begins to recede. In a very shOt'! tion should include one ON-OFF cycle of the pump.
time, the level switch will open, turning the pump off. The 9.3 The propane furnaces used in recreational vehicles
pump rapidly switches between on and off. This cycling is have an interesting control circuit. You will implement some
very annoying and is hard on the pump motor. We can of its functions with the following ladder diagram. Draw a
eliminate the cycling with two level switches: a high level l2-V de ladder diagram with the following three rungs.
 360 • Chap.9 Switches, Actuators, Valves, and Heaters

(0) The top rung has a temperature switch, a time-delay 9.14h. Draw voltage and current graphs similar to Figure
relay coil (ITR), and a normally closed thermal over­ 9.15 and determine the voltage gain and the current gain.
load contact.
(b) The middle rung has a normally open ITR contact, a I. Vin :::: 0.70 V, V"ut 24.2 V,
im = 0 p.A, iout = 0.95 mA
thermal overload heater, and a dc fan motor. The I TR
2. Vtn = 0.75 V, Vout = 20.0 V,
contact delay occurs when the coil is energized.
im = 10.6/LA, lout = 0.78 rnA
(c) The lower rung has a normally open flow switch m se­
3. Y.n = 0.80 V, VOllI = 15.8 V,
ries wIth a normally open ITR contact and a burner
1m 21.0 p.A,
:= lout = 0.61 rnA
:,olenoid. The flow switch closes when the fan devel­
4. Vin 0.85 V, Vaut 11.6 V,
ops sufficient air flow. The burner solenoid controls
iin 31.5 p.A, iout 0.45mA
the flow of propane to the burner.
5. Vm 0.90 V, Vout = 7.4 V,
(d) Describe the turn-on operation of your circuit from
im = 42.2/LA, i out = 0.27 rnA
the closure of the temperature switch to the closure of
the flow switch. 6. Vm = 0.95 V, Vout = 3.4 V,
'10 = 52.4 /LA, i out = 0.12 rnA
(e) De~cribe the tum-off operation of your circuit from
the openmg of the temperature switch to the opening 7. Vm = 1.00 V, Vout = OV,
1m = 62.8 /LA, iout = 0 rnA
of the flow switch.
<9.4 A 240-V ac three-phase electric motor dnves a shal­ 9.10 A four-stage transistor amplifier similar to Figure
low well pump used for irrigation. The pump is connected 9.17 has the following voltage and current gams for each
to a I DO-gal pressure tank. The pressure in the tank turns the stage. Determme the overall voltage gain and current gain.
pump ON and ow. When the pressure drops below 20 psi, Stage I: voltage gain = - 8, current gain 1.4

the pump is turned ON and remains ON until the pre"sure

Stage 2: voltage gain -10, current gain - 1.2

reache~ 50 psi. When the pressure reaches 50 psi, the pump

is turned OFF and remains OFF until the pressure drops below Stage 3: voltage gain:::: -0.95, current gain = 110

20 psi. A motor starter similar to Figure 9.5 is to be used to Stage 4: voltage gain = -0.96, current gain = ISO

control the motor. TWo NC pressure switches are to be used

Section 9.3
in place of the two pushbutton switches. Switch a is closed
when the pressure is bdow 20 psi and open when the pres­ 9.11 Determine the working pressure (WP 2 ) required to
sure is above 20 psi. Switch b is closed when the pres:,ure is produce force (f2) in each of the following hydraulic cylin­
below 50 psi and open when the pressure is above 50 psi. der applications.
Draw a diagram or lhl;) cm;uil for 8lallillg aud slopping the, (a) I.S-in.-dlameter cylinder: h. :::: 2450 lb
pump motllr. The II 5-V I1C cnntrol drc.nit shollirl i nd IIde (b) 2-in.-diaml!'tercylinder: h. = 15120 Ib
the NC overload contact and the holding contact. (.:) 3-in.-diameter cylinder: h 16,7301b
(d) 4-in.-diameter cylinder: h = 28,220 lb
S~cliun 9.2
(e) 5-in.-diameter cylinder: h = 36,900 Ib
9.S Describe the four ways that an SCR can be turned ON (f) 6-in.-diameter cylinder: h = 42,000 Ib
(i.e., move from regIOn 2 to region 3). (g) 8-in.-diameter cylinder: 12 = 92,600 Ib
9.6 Describe the three ways that an SCR can be turned
(h) to-in.-diameter cylinder: h := 180,000 lh
OFF and indicate which region the SCR is in when it is OFF. 9.12 Determine the working pressure (WPz) required to
produce force (J2) in each of the following pneumatic
9.7 Describe the major difference between the triac and
cylinder applications.
the SCR, and explain how the triac is equivalent to two
h = 1901b
<

(a) I.S-in.-diameter cylinder:

SCRs connected in parallel but in opposite directions.
(b) 2-in.-diameter cylinder: h = 2861b
9.8 A half-wave de power supply uses one diode instead (.:) 3-in.-diameter cylinder: h "" 840lb
of the two diodes used in a full-wave power supply. Sketch (d) 4-in.-diameter cylinder: 12 = 1060 Ib
the output voltage wave-form of the power supply in (e) 5-in.-diameter cylinder: h = 1850lb
Figure 9.12 if diode D2 is removed from the cirCUIt. (f) 6-in.-diameter cylinder: 12 2100 Jb
9.9 The following voltage and current measurements were (g) 8-in.-diameter cylinder: 12 = 4400Ib
obtained from a common~emitter amplifier similar to Figure (h) lO-in.-diameter cylinder: h = 55001b
 • Chap.9 Exercises 361

9.13 Determine the flow rate (Qz) required to produce 9.18 Determine the size of the control valve for each ofthe
speed (S2) in each of the following hydraulic cylinder ap­ following gas flow applications. Use a safety factor of 25%.
plications.
(a) 1.5-in.-diameter cylinder: S2 = 200 in/min Q!/ PI P2 T
(b) 2-in.-diameter cylinder: S2 = 110 in./min (ft,,/hr) (psi) (pSI) ("F) Gg
(c) 3-in.-diameter cylinder: S2 28 in./min
(d) 4-in.-diameter cylinder: S2 = 16 in./min (a) . 2.130 40 20 100 1.11
(e) 5-in.-diameter cylinder: S2 = 14 in./min (b) 10,840 60 30 420 1.54
(f) 6-in.-diameter cylinder: S2 == 7.8 in./min (e) 47,500 70 45 140 0.98
(g) 8-in.-diameter cylinder: S2 = 2.2 in./min
(d) 62,700 55 15 280 1.00
(e) 232,000 110 60 80 1.39
(h) 1O-in.-diameter cylinder: /z = 6.4 in/min (f) 254,000 80 50 360 0.98
9.14 A manufacturing operation requires the movement (g) 573,000 70 25 230 1.00
of a workpiece a distance of 10 in. in 30 s. A force of (h) 1,010,000 80 55 170 1.11
22,500 lb is required to move the workpiece. The available
space limits the cyhnder diameter to a maximum of 8 in. 9.19 Determine the size of the control valve for each
Leakage and noise considerations make it desirable to of the following steam applications. Use a safety factor
limit the working pressure to a maximum of 1000 psi. A of 25%.
hydraulic pump with a capacity of 2.5 gal/min is available
in the surplus equipment yard. Select a cylinder for this ap­ W PI P2 VI Vz
plication. (ftYhr) (psi) (psi) (ft 3/lb) (ft3/lb)

9.1S A manufacturing operation requires the move­ (a) 190 60 40 7.2 10.5
ment of a workpiece a distance of lOin. in 0.6 s. A force (b) 630 45 30 9.4 14.0
of 125 Ib is required to move the workpiece. The avail­ (c) 1,700 50 30 8.5 14.0
able space limits the cylinder diameter to a maximum of (d) 3,200 60 35 7.2 12.0
4 in. Heavy usage of the air supply sometimes limits (e) 7,700 55 30 7.8 14.0
the supply pressure to 80 psi. Select a cylinder for this (f) 10,200 45 20 9.4 21.0
application. (g) 24,600 55 30 7.8 14.0
(h) 46,000 55 20 7.8 21.0
Section ?4
Section 9.5
9.16 An equal-percentage valve has a rangeability of 20.
Use Equlltion (9.4) to calculate the value of Q/Qmax for 9.20 Determine the heat flow rate required to raise the
value~ of P/Pm~x from 0 to I in increments of 0.1. temperature of m kilograms of each of the following solids
from a temperature of Tinililll "C to a temperature of TilDa!
9.17 Delermine the size of the control valve for each of
"C in T, minutes.
the following liquid flow applications. Use a safety factor
of 25%.
Solid til T..tti•• Tn• a• t.

Material (kg) (0C) ("C) (min)

Q,.(gpm) PI - P? (pSI) GL (a) Aluminum 10 40 200 15

(b) Brass 16 30 240 18
(a) 2 80 0.80 (e) Gold 4 70 170 5
(b) 14 46 100 (d) Steel 21 40 80 32
(e) 64 33 074 (e) Pmewood 2 20 60 20
(d) 196 52 0.88
(e) 538 49 1.00 9.21 Determine the heat flow rate required to raise the
(0 1148 70 087 temperature of V liters of each of the following Iiqllids
(g) 2376 61 1.00
4832
from a temperature of T,mllal °C to a temperature of TIlna1
(h) 57 1.00
°C in t, minutes.
 362 • Chap.9 Switches, Actuators, Valves, and Heaters

V Tmm• 1 Thn., te Ttnllnd Q

THoa'
liqUId (L) (0C) (0C) (min) Liquid (ae) ("C) (L/min)

(a) Water 8 26 100 40 (a) Water 5 55 4

(b) Oil 20 10 120 80 (b) Ethanol IO 50 6
(e) Turpentine 16 30 60 60 (e) Oil 25 120 2
(d) Kerosene 24 14 48 90 (d) Kerosene 16 36 9
(el Glycerine 6 28 68 30 (e) TurpentIne 30 45 7

9.22 Determine the heat flow rate required to melt m

9.24 A tank of asphalt is to be used to repair a roof. The
kilograms of each of the following solids in a time interval
tank contains 65 kg of asphalt that is at an early morning
of te minutes.
temperature of 15°C. Determine the heat flow rate required
to melt the asphalt and raise its temperature from 15°C to
Solid Material m (kg) te (mm) a working temperature of 140°C. The desired heating time
(a) Alummum 10 50 is 45 minutes. Assume the same value of heat capacity for
(b) Asphalt 16 75 solid and liquid asphalt.
(e) Ice 20 60 9.25 A wave-soldering process uses a tank of 50-50 sol­
(d) Paraffin 8 25 der. The tank is 60 cm wide by 80 cm long, and the solder
(e) Solder (50-50) 4 15 depth is 10 cm. The solder is at room temperature before
the start of a production run. Determine the heat flo", rate
9.23 The following liquids are to be heated from a tem­ required to melt the solder and raise the temperature from
perature of TmlllO • °C to a temperature of TII"ol °C and room temperature (20°C) to the operating temperature of
pumped at a flow rate of Q L/min. Determine the theoret­ 250"C. The desired heating time is 2 hr. Assume the same
ical heat flow rate required to heat the liquid. value of heat capacity for solid and liquid solder.

- - - - - ..... - .- - - - _..... _ - - - - ­ -----------~----- .... - - - - - -..... -~----

• CHAPTER 10 Electric Motors

• OBJECTIVES

Electric motors are frequently used as the manipulative device in control systems. Stepping motors and
servomotors provide the "muscle" for robotic arms and numerically controlled machine tools. Ad­
justable speed drives provide efficient control of pumps and blowers. Electric motors are used to sort
mail, package food, make plastic sheet, and cut cereal pellets, to name a few of the host of applications.
The purpose of this chapter is to give you an entry-level ability to discuss, select, and specify var­
ious types of electric motors. After completing this chapter, you will be able to

1. Describe
a. AC motors-induction, synchronous, and servo
b. DC motors-series wound, shunt wound, compound wound, permanent magnet, and brush.
less
c. Stepping motors-variable reluctance, permanent magnet, and hybrid
d. AC adjustable speed drives-VVI and PWM
2. Use specifications to determine the velocity and position transfer functions of
a. AC servomotor
b. Voltage-driven dc motor
c. Simplified voltage-driven de motor
d. Current-driven dc motor
e. Voltage-driven dc motor, speed reducer, and load

•••• 363
364 • Chap. 10 Electric Motors

10.1 INTRODUCTION

An electric motor is often used as the actuator in a servo control system. In Figure 2.6, such
a motor is used to control the position of an antenna and in Figures 2.15,10.19, and 10.20,
electric motors are used to control the speed of a rotating load. They are used to power the six
axes of movement of a robot in Figure 2.10 and to control the thickness of a sheet in Figure
2.20. They are used to drive the belt of a solids feeder in Figures 9.18 and 9.19. They are used
in numerically controlled (NC) machines to position the workpiece and move the tool. Fi­
nally, variable-speed electric motors are used to drive pumps for efficient control of the flow
rate of a liquid. These are just a few of the many uses of electric motors in control systems.
Figure 10.1 shows the block diagram of a position control system. In this diagram the
pre-amplifier is the controller, the power amplifier and dc motor constitute the manipulating
element, and the speed reducer and load are the process. Collectively, these components are
the forward path, G, in the closed-loop servo control system in Figure 1.6.

Classification of Electric Motors

Electric motors are classified in two ways: by function and by electrical configuration. Classi­
fication by function is based on how the motor is used. Examples include servomotors, gear
motors, instrument motors, pump motors, and fan motors. Classification by electrical configu­
ration separates motors into two major categories: dc motors and ac motors. A de motor con­
sists of two parts: a rotating cylinder called the armature, and stationary magnetic poles called
field poles or simply the field. The armature is placed in the magnetic field between the field
poles. An ac motor also consists of two parts: a rotating cylinder called the rotor and a sta­
tionary part called the stator. The stator is a thick-walled tube that surrounds the rotor. The sta­
tor has windings that produce a rotating magnetic field in the space occupied by the rotor. The
following outline summarizes the classification of electric motors by electrical configuration.
Classification ofElectric Motors
I. AC motors
A. Single-phase motors
1. Induction
a. Squirrel cage
b. Wound rotor

Gear
R Pre-amp Power-amp de motor reducer C
and load

Posillon
Cm sensor

• Figure 10.1 A de motor pm.itlOn control sY8tem.

• Sec. 10.1 Introduction 365

2. Synchronous
a. DC excited rotor
b. Nonexcited rotor
B. Polyphase motors
1. Induction
a. Squirrel cage
b. Wound rotor
2. Synchronous
a. DC excited rotor
b. Nonexcited rotor
C. Universal motors
II. DC motors
A. Wound field
I. Series wound
2. Shunt wound
3. Compound wound
B. Permanent-magnet field
1. Permanent-magnet stator, wound armature (brush type)
2. Permanent-magnet rotor (brushless)

Force, Torque, and Induced Voltage

At the beginning of this section, you read a number of ways that electric motors are used in
control. Our goal in this section is to explain the operation of these motors in simple terms
without overwhelming the reader with detail. Extraneous discussion is avoided so that you
can focus on the essential concepts needed to understand electric motors and their transfer
functions.
Electric motors (and electric generators) arc governed by two facts. The first fact de­
scribes the force that makes an electric motor go. The second fact describes the voltage pro­
duced by an electric generator. The last two sentences make it appear that the first fact applies
only to electric motors and the second fact only to electric generators. Nothing could be fur­
ther from the truth-both facts apply to motors and both facts apply to generators. In simple
t~rms, the two facts are

1. A force is exerted on a conductor in a magnetic field whenever a current passes

through the conductor.
2. A voltage is induced in a conductor whenever it is moved through a magnetic field.
Motion has nothing to do with the fOfl.;t: t:Jl.t:rtt:l1 UIl the conductor, and currertt has nothing to
do with the voltage induced in the conductor. In electric motors, we think of current as the
cause of the force and motion as the cause of the induced voltage.
Figure 10.2 provides more detail about the force and induced voltage in an electric mo­
tor. In Figure 1O.2a, the V-shaped electrical conductor represents a single coil in a de motor.
There are many coils in a motor, but we will focus on just this one coil. An electrical voltage
source (not shown) causes electric current i to flow through the coil, entering the coil at a and
leaving at b. Notice how the plus and the dot on the ends of the coil also indicate the direc­
 N

6:::::;;~,:;;o::~~L~~~~5;!~~FI conductor
b ............. Magnetic
i~ field. til

a) The U-shaped conductor rotates about Its axis through the

FI
magnetic field. til Current, I, passes through the conductor
causing forces and F2 to act on the conductor as shown.

b) In position al-bl' force F, cancels force F2

c) In position a3-b3' force FI cancels force F2

(equal and opposite). In position Q2-b2'

(equal and opposite). In position a4-b4,

force FI produces torque FIR and force

force FI produces torque -FIR and force

FzProdllQI;'IS tnrql1f1 F'zR

F2Jlrllflllr.l\~ Inrqlll~ -F2R.

Torque FIR + F2R

Torque = -FIR - F2R

• Figure 10.2 The torque exerted on the U-shaped conductor reverses directlon
every lime: fhe: r.ml mllllfls IRO°

366
• Sec. 10.1 Introduction 367

tion of the current. The coil is rotating in a clockwise direction at Cd rad/s. The axis of rota­
tion is located belw~n the two magnetic poles marked N for North and S for South. As it rotates,
the coil moves through the magnetic field (<I» between the two magnetic poles. We will use fJ to
indicate the angle of rotation, beginning with 8 = 0° in the position shown in Figure lO.2a.
The current in the coil and the presence of the magnetic field cause forces FI and F2 to
be exerted on the left and right sides of the coil. These two forces are equal in magnitude and
opposite in direction, as indicated by the arrows in Figure lO.2a. The forces are shown more
clearly in Figure lO.2b where al and b l mark the ends of the conductor in its original posi­
tion (fJ = 0°). Figure lO.2b also shows the coil after it has rotated 90° to the position marked
by a2 and b2 (8 = 90°). Notice that the two forces have the same magnitude and direction as
before, but instead of canceling each other, they exert a clockwise torque on the coil.
In Figure lO.2c the coil ends marked a3 and b3 show the coil position when 8 = 180°.
Notice that the two forces cancel just as they did when () = 0°. The coil ends marked a4 and
b4 show the coil position when () 270°. Notice how the forces now exert a counterclock­
wise torque on the conductor. The torque on our single coil can be represented by the fol­
lowing equation:
(10.1)

where T\ = torque on a single coil, N . m

KTl = single coil torque constant, N . m/A
i = current in the coil, A
() = angle of rotation, °
As the coil rotates, its motion through the magnetic field induces a voltage in the coil.
This induced voltage is marked el in Figure lO.2a. The polarity of the induced voltage is such
that it opposes the external voltage that produces the current i-not enough to cancel the ex­
ternal voltage. but enough to reduce the current by a significant amount. The induced voltage
in our single coil can be represented by the following equation:
(10.2)

where el = voltage induced in a single coil, V

KEI = single coil VOltage constant, V . s/rad

Cd = rotational velocity of the coil, rad/s

e -'" angle of rotation, 0

You should make three important observations about Equations 10.1 and lO.2.
L Torque Tl is proportional to the current.
2. Voltage el is proportional to the rotational speed.
3. Torque Tl changes direction after every half revolution ((J =: 180°). If we want a con­
sistent clockwise torque on the coil, we must find a way to reverse the direction of the
current after every 180° of rotation.
Figure to.3 shows how this reversal is accumplished in a simple de motor. Four coils are
mounted in slots on a cylinder of magnetic material called the armature. The armature is
mounted on bearings. 80 it is free to rotate in the magnetic field produced by the two field
368 • Chap. 10 Electric Motors

N s

a) Top vIew

• Figure 10.3 Schematic dIagram of a two­

b) End vIew pole four-coil de motor/generator.

poles. The ends of the coils are attached to a segmented ring called the commutator. The ex­
ternal voltage is applied to the armature coils through carbon contacts called brushes.
Figure 10.4 illustrates the de motor in action. An external voltage is connected across the
brushes of the de motor, producing a current in the armature coils as shown in Figure 10Aa.
This current produces a torque that causes the armature to rotate in the clockwise direction.
As the armature rotates, the brushes make their way around the commutator, passing from
segment to segment. When the brushes move from one segment to the next, the direction of
the current in the coils is reversed. This reversal of current in the coil is caned commutation.
Notice that coils 2 and 4 are shoned by the brushes in Figure lOAb. The reversal of the cur­
rent in coils 2 and 4 can be observed by comparing the direction before commutation (Figure
IO.4a) wiUl lhe direction after commutation (Pigure I O.4c).
In a commercial de motor, there are many coils in slots all around the armature and more
than just a single pair of field poles. The net result is a very smooth torque that depends only
• Sec. 10.1 Introduction 369

-- ())

a) Before commutation

-- ())

b) During commutation of coils 2 and 4

-- ())

+ VA • Figure 10.4 The commutator provides a

switching action. During commutation (b), coils
2 and 4 are shorted by the brushes. After com­
mutation (c). the directIon of the current in coils
2 and 4 is the reverse of what It was before
c) After commutation oommutation (0).

on the current through the armature coils. This torque is equal to the product of the electric
etlrrent that passes through the motor winding times a constant called the torque constant, K1'.
Torque = (torque constant) (armature current)
(10.3)

where T"'" torque, N . m

K T = torque constant, N . m/A
ia == armature current, A
When the motor shaft rotates, the motion calls~s a voltage to be induced in the motor wind­
ing. We refer to this induced voltage as the back emf, th, to remind Us Ulal it opposes the mo­
tor current, The multiple coils and commutation also affect the back emf, resulting in a
smooth back emf that depends only on the speed of the armature. The back emf is equal to

.... ~-- - - -....

... ----~ ._-_. --_.-_ ....
310 • Chap. 10 Electric Motors

the product of the rotational speed of the motor times a constant called the voltage con­
stant, KE•
Back emf (voltage constant)(motor speed)
eo = Ke Cd (10.4)
where eb back emf, V
KI': = voltage constant, V . slrad
Cd rotational speed, radls
Equations 10.3 and 10.4 summarize the two facts about torque and voltage in electric motors.
We will use those two equations in Section 10.3 to develop the transfer function in de motors.

10.2 AC MOTORS

AC motors dominate the application of electric motors that require a single operating speed.
Single-phase motors are used for low-horsepower applications (from fractional horsepower
up to about 20 hp). Polyphase motors overlap the low-horsepower range of single-phase mo­
tors and extend the range to much higher horsepower ratings.
DC motors dominate the variable-speed applications of electric motors. However, im­
provements in solid-state switching components and the application of large-scale integrated­
circuit techniques to the complex ac drive circuits have made variable-speed ac drives more
competitive with the "old standby" dc drives.
AC motors can be divided into two groups in two different ways, making four major cat­
egories of ac motors. One division is between single-phase and polyphase motors. The other
division is between synchronous and induction motors. The four categories are single-phase
induction motors, polyphase induction motors, single-phase synchronous motors, and
polyphase synchronous motors.

Single-Phase Induction Motors

The single-phase squirrel-cage induction motor is the most common type of motor. Squirrel­
cage induction motors have no brushes to generate sparks or wear out They are very reliable,
have a low initial cost, and also have a low maintenance cost. An induction motor consists of
a stator with one or two windings and a rotor that contains the current-carrying conductors
upon which the force is exerted. The rotor winding of a squirrel-cage motor consists of cop­
per or aluminum bars that fit into slots in the rotor. The bars are connected at each end by a
closed continuous ring. The assembly of conductor bars and end rings resembles a squirrel
cage and gives the motor its name.
Only the stator windings of an induction motor are externally f'.xcited. The winding on
the rotor is shorted and receives its energy by electromagnetic induction. The induction mo­
lOr is a rotating transformer in which the stator windin~ is the primary and the rotor windiug
is the secondary.
• Sec. 10.2 AC Motors 371

The magnetic field produced by the stator winding does not remain fixed as it does for a
de motor. Instead, the poles of the magnetic field alternate between two positions. In effect,
the magnetic field is rotating about the rotor axis. For this reason, it is called a rotating field.
The speed at which the field of an induction motor rotates is called the synchronous speed.
Induction motors always run at less than the synchronous speed. The difference between the
synchronous speed and the actual rotor speed is called slip. The torque that a motor develops
is proportional to the slip-if there is no slip, there will be no torque. Even at no-load, a mo­
tor needs some torque to overcome friction and wind resistance, and there will be some slip.
As the torque load on the motor increases, the slip also increases to satisfy the increased
torque requirement. For a motor with a two-pole stator, the synchronous speed is equal to the
line frequency, 60 rps or 3600 rpm. For a four-pole motor, the synchronous speed is equal to
half the line frequency, 1800 rpm.
The basic single-phase induction motor has one stator winding called the main winding.
This type of motor is not self-starting. When the rotor is stationary, an equal torque is pro­
duced in each direction. Therefore, the net torque is zero, and the rotor remains stationary. If
the rotor is started by some starting device, the motor will continue to run in the direction it
was started, even if the starting device is removed. A second stator winding called the start
winding is the most common method of starting a single-phase induction motor. The start
winding is rotated 90° from the main winding as shown in Figure 10.5. A speed-sensitive
switch disconnects all or part of the start circuit when the rotor reaches a preset speed. The
most common methods of using a start winding are split-phase, capacitor-start, and two­
capacitor.
The split-phase motor has only a speed switch in series with the start winding. When the
motor reaches a preset speed, the switch opens, disconnecting the start winding. The motor con­
tinues to run with only the main winding excited. Figure 10.5 illustrates a split-phase motor.
The capacitor-start motor has a capacitor and a speed switch in series with the start
winding. The speed switch disconnects the start winding and the capacitor once the motor has
started. The capacitor-start motor has a larger starting torque than the split-phase motor.

L(-r---------r--------~

Speed----

Start ----+- -t--Start

AC winding wmdmg
line
Mam-------'..-­
windmg

L2-L----------------------L-----~

• Figure 10.5 A split-phase induction motor uses a start winding to start the mo­
tor. When the rotor reaches a set speed, the speed SWItch opens and the motor runs
WIth only the main winding energized by the ac line.
372 • Chap. 10 Electric Motors

The two-capacitor motor has two capacitors and a speed switch connected in a
series/parallel combination as shown in Figure lO.6a. The start winding and one capacitor re­
main in the circuit after the motor has started. The speed switch removes the other capacitor
from the circuit when the motor has started. The two-capacitor motor has a high starting
torque and a low run current. Also, the capacitor improves the power factor, a definite advan­
tage because induction motors are noted for their low power factor. A typical torque versus
speed graph of a two-capacitor motor is shown in Figure 1O.6b.

Polyphase Induction Motors

Most polyphase motors are three-phase motors. In this section we describe three-phase in­
duction motors. There are two types of induction motors, the squirrel-cage motor and the
wound-rotor motor. The rotor of a squirrel-cage motor has the same conducting bars and end
rings described for the single-phase induction motor. In a wound-rotor motor the conducting
bars are connected in series to form three windings. The windings are joined on one end in a
wye connection. The other end of each winding is connected to a slip ring, one slip ring for
each winding. Three brushes are in contact with the three slip rings so that external resistances
can be connected in series with the windings. The other ends of the resistors are also con­
nected together in a wye connection. The purpose of the external resistors is to limit the ro-

LI

Speed----
Main
AC winding
Line

8
Start

L2~------------------~~----------~
a) Two-capacitor motor

~ 100 , - -_ _ _ _ _ _.. ~ __

8 '" - Speed switch

f 1
.. 8.
50 open
Speed switch opens
'0'"
• Figure 10.6 A two-capacitor motor uses

J 100 200
\+-------- Speed switch

300
closed
both capacitors to start the motor. When the ro­
tor reaches about 70% of the operating speed,
one of the capacitors is removed from the Clf"
Percent of full-load torque CUlt The other capacItor and the start winding
remain In effect dunng normal operation of the
b) Speed vs. torque curve motor.
• Sec. 10.2 AC Motors 373

tor current during start-up of loads with large inertia. When the external resistances are re­
duced to zero, the wound rotor motor is the same as a squirrel-cage motor.
A two-pole three-phase induction motor is shown in Figure 10.7. The stator has three
windings that can be connected in either a delta connection or a wye connection. The three
windings are located 1200 apart and are connected to the three lines of a three-phase source.
Figure to.7 shows the position of the magnetic field and the location of the two poles at the
beginning of a cycle of one of the three lines. During each sixth of a cycle, the poles move to
a new location by rotating 60° in the clockwise direction. In one full cycle, the poles will have
completed a 360° rotation. During that time, the north pole will have been in the six positions
numbered I through 6 in Figure 10.7. The synchronous speed of the two-pole motor is
3600 rpm.
The rotation of the field poles in six steps is much smoother than the two-step rotation of
the single-phase motor. One major advantage is that three-phase induction motors are self­
starting. They do not need an auxiliary starting device. The direction of rotation is reversed
by simply interchanging any two line connections. Interchanging two line connections also
changes the phase sequence of the motor.
A four-pole three-phase motor has six windings, located at 60° intervals. Each coil uses
stator slots that are 90° apart. The coils are paired with the coil on the opposite side of the sta­
tor. The paired coils are connected in series to form three branches. Each branch has two coits

l I'

EE
L1
2 2'
L2
3 3'
L3

4-­ b) Wyc connection

100 _ _ Full-load operating

3 2 point

...~~
I
a) End view 80 I
I
I
I
60 I
~,
011
"r.l 4U ='
~ §'
_I

LJ~'l 1 20

0 ~
]1
&II

3 I' 0 100 200 300

L2 2' 2
L3 Torque, % of rated
c) Delta connection d) Speed vs. torque curve
• Figure 10.7 1\vo-poJe three-phase induction motor. The stator windings may be
connected to the three-phase ac supply 10 either a wye or a delta configuration.
374 • Chap. 10 Electric Motors

connected in series. The three branches are connected to a three-phase line in either a delta or
a wye configuration. The resulting magnetic field forms four poles, with like poles located
1800 apart. The four poles rotate in six steps, in the same manner as the two poles. The syn­
chronous speed of the four-pole motor is 1800 rpm.

Synchronous Motors

Synchronous motors normally run at synchronous speed. They are used where precise con­
stant speed is required. Synchronous motors are made in all size ranges from fractional horse­
power to several thousand horsepower. They are available in both single phase (smaller sizes)
and polyphase (larger sizes). The stator windings of a synchronous motor are almost identi­
cal to the stator windings of the corresponding single-phase or polyphase induction motor.
The rotor of a synchronous motor has fixed magnetic poles that lock into step with the rotat­
ing poles in the stator. The rotor may be nonexcited or direct-current excited, which gives us
another way to classify synchronous motors.
Synchronous motors are not self-starting. This is true for both single-phase and polyphase
synchronous motors. 1\vo methods are used to start synchronous motors. One method uses a sep­
arate prime mover to start the synchronous motor and accelerate it to nearly synchronous speed.
When the rotor locks into synchronous speed, the prime mover is removed. This method is
sometimes called prime mover starting. The other method of starting a synchronous motor is
called induction motor starting. A squirrel-cage winding is added to the rotor. The motor starts
as an induction motor amI accdt!rates to near-synchronous speed. When the rotor locks into syn­
chronous speed, the current in the squirrel-cage conductor drops to zero and the motor operates
as a synchronous motor. The single-phase induction-start motors use one of the starting devices
for single-phase induction motors, such as split-phase, capacitor-start, shaded-pole, and so on.
The de cxciwd synchronous motor has a winding fur ~ach pul~ 011 Lht: l'OlOI'. (Synchro­
nous motors may have two, four, six, or more poles.) The individual field pole windings are
connected in series to form one large winding that is terminated in two slip rings. The wind­
ing is excited by an external de source through brushes that contact the slip rings. The de ex­
cited motor is sometimes referred to as the "true synchronous motor." Large polyphase syn­
chronous motors are de excited motors.
Nonexcited synchronous motors include reluctance motors, hysteresis motors, and
permanent-magnet motors. Reluctance-type synchronous motors use special construction to
provide a variable reluctance in the rotor. This enables the rotor to establish the fixed poles
without extel1lal excitation. Hysteresis motors develop fixed poles as the motor reaches syn
chronous speed. The shade.d-pole hysteresis motor has wiclfl application for docks and tim­
ing devices. Permanent-magnet motors have permanent magnets embedded in a squirrel-cage
.rotor. This motor ha!! hl"'(:omc very pOpUIUf hecause of its bmshless cOllstmction, high power
factor, and good e:fficifmr.y

AC Servomotors

AC servomotors are often used in control systems that require a low-power, variable-speed
drive. The primary advantage of the ae motor over the dc motor is its ability to use the ae out­
put of synchros, LVDTs, and other ac measuring means without demodulation of the error

- - - - - - - - - - , - - ....... _ - - - - _...... _ - ­
 • Sec. 10.2 AC Motors 375

signal. An ac amplifier provides the gain for a proportional control mode. However, more
elaborate control modes are difficult to implement with an ac signal. When additional control
actions are required, the ac signal is usually demodulated, and the control action is inserted
in the dc signal. The modified dc signal is then reconverted to an ac signal.
The ac servomotor is a two-phase, reversible induction motor with special modifications
for servo operation. The schematic diagram of an ac servo is shown in Figure lO.8. The mo­
tor consists of an induction rotor and two field coils located 90° apart. One field coil serves
as a fixed reference field, the other as the control field. The amplified ac error signal is applied
to the control field. The signal has a variable magnitude with a phase angle of either 0° or
180°. A constant ac voltage is applied to the reference field through a 90° phase-shift network.
This signal has a constant magnitude and a phase angle of -90°. The two voltages are given
below.
ec = V,cos UJt
eR == A cos(UJt - 90°) = A sin UJt
where ec control field voltage

::::::

eR = reference field voltage

UJ == operating frequency

Vc = variable amplitude of the control voltage

A == constant amplitude of the reference voltage

The sign and magnitude of Vc is determined by the sign and magnitude of the error sig­
nal. A negative error signal results in a negative value of Ve' This is usually interpreted as a
1800 phase shift in ee'
The linearized operating characteristics of an ac servomotor are shown in Figure lO.9.
The actunl operating line will depend on the speed-torque characteristics of the process. TWo
typical process load lines are indicated by the dashed lines. The negative values of Vc in the
third quadrant simply indicate that the motor reverses direction when Vc is negative.

Lond

. Control

field

tic "" V. coswt ~

• Figure 10.8 An ac servomotor is a two­

pha~e reversible induction motor WIth special
tlR = A sin WI modificatlons for servo operation.
376 • Chap. 10 Electric Motors

Torque. T

Amplitude of the
VM •• = rated voltage

Vc= VMax

=0.75 VMax

=0.5 VMax

=0.25 VMa•

Vc =-0.25 VMax
Vc=-O.5 VMax
Vc=-O.75 VMax
Vc= -VMax

• Figure 10.9 Lineanzed operatmg charac­

teristics of an ac servomotor. '

The velocity and position transfer functions are given by Equations 00.5) and (10.6).

AC SERVOMOTOR TRANSfER FUNCTIONS

Velocity Transfer Function
n K
= --rad/s' V
- (10.5)
V,. 1 + 'TS
Position Transfer FunctIOn
e
...-. "" (I
K
(JO.6)
V, of + 1'S) rad/V
where Vc control voltage amplitude, V
n motor speed, rad/s
e = motor position, rad
K "" K1/(b + K 2 ), rad/s • V
'T = J/(b + K2), S
KI = stall tOrQue/rated voltage. N • m/V
K2 stall torque/no-IQad speed at raled voltage, N • III • s/rad
J = moment ofinertia of the load, N • m • sl/rad (or kg· m2/rad)
b == damping resistance of the load, N • m • s/rad

EXAMPLE Determine the velocity and position transfer functions of an ac servomotor with the followin~ data:
10.1
Rated voltage: 120 V

Load inertia: 6 x 10-6 == N . m· s2/rad

Load damping: 2 X 10- 5 N . m . S/rad

Stall torque: 0.04 N . m at 120 V

No-load speed: 4000 rpm at 120 V

-~ .--~- ...... --------­ ...... --.---~

 • Sec. 10.3 DC Motors 377

Solution The transfer functions are given by Equations (l0.5) and (10.6).

I. Determine Kl by dividing stall torque by rated voltage:

0.04N·m
KI = 120V = 3.33E 4N' m/V

2. Convert no-load speed to radians per second:

(4000)211'
No-load speed = 60 = 419 radls

3. Determine K2 by dividing stall torque by no-load speed:

O.04N·m
K2 = 410 radls = 9.55E - 5 N • m • slrad

4. Solve for K and T:

b + K'). = (2E - 5) + (9.55E - 5) = 1.155E - 4
Kl 3.33E - 4
K = b + K2 := l.lS5E 4 = 2.89 rad/s • V
J 6E 6
7' =b + K2 = 1.155E _ 4 = 0.052 s

5. Determine

a. Velocity transfer function

2.89 /
I + 0.0528 rad 8 • V

b. Position transfer function

e 2.89 /
V, = ~(1 + 0.052s) fad V
•
10.3 DC MOTORS

DC motors are extremely versatile drives, capable of reversible operation over a wide range
of speeds, with accurate control of the speed at all times. They can be control1ed smoothly
from zero speed to full speed in both directions. DC motors have a high torque-to-inertia ra­
tio that gives them quick response to control signals. DC motors are available with horse­
power ratings from 1/300 to over 700.
AC motors stall at torque loads about 2 to 2.5 times their rated torque and have a start­
ing torque of about 1.5 times their rated torque. DC motors are capable of delivering over 3
times their rated torque for a short time.
DC motors can easily accomplish dynamic braking and regenerative braking of the load.
Braking is accomplished by momentarily turning the motor into a de generator driven by the
inertia of the load. In dynamic braking, the voltage from the temporary generator is applied
 318 • Chap. 10 Electric Motors

to a bank of resistors. The resistors draw current from the generator, causing a torque that
tends to slow down the generator and load (fact 1). The resistors dissipate the energy as heat.
In regenerative braking, the current from the generator is fed back into the dc supply, thus
conserving the energy that is normally lost in bringing the load to a quick stop. If the dc sup­
ply is a battery, the generator current will charge the battery.
DC servomotors have lightweight low-inertia low-inductance armatures that can respond
quickly to com<mands for a change in position or speed. Servomotors have very low electrical
and mechanical time constants. Typical electrical time constants range from 0.1 to 6 ms, and
mechanical time constants range from 2.3 ms to over 40 ms. Servomotors occur in a variety
of configurations and features, including permanent-magnet field poles, wirewound iron-core
armatures, ironless disk armatures (pancake motors), moving-coil armatures with a stationary
iron core (shell motors), and brushless motors.

Wound Field DC Motors

Wound field dc motors are classified as series, shunt. compound, and separately excited, de­
pending on how the field winding and the armature winding are connected. The four arrange­
ments are illustrated in Figure 10.10.
The de series motor (Figure 10.1 Oa) has the highest slarling turque and the greatest no­
load speed of the four types of connections. Integral horsepower series motors are always di­
rect coupled to the load. A belt drive is never used because a broken belt would result in a run­
away motor condition. A dc series motor will continue to run in the same direction when the
polarity of the line voltage is reversed. The universal motor is a special type of series motor
that runs equaHy well on direct current or alternating current.

...---.TftIVf'----o+ ....---...-----0+

Field
wlMhlg

a) Series motor b) Shunt motor

Shunt
field

c) Compound motor d) Separately excited

• Figure 10.10 Four different methods of connectmg a wound-field dc motor.

--- ~---~ ...... - < - . - . - - - ­ - - , - - - - _...... ---------~

• Sec. 10.3 DC Motors 379

The de shunt motor has a lower starting torque and a much lower no-load speed than the
series motor. As one might expect, the speed and torque characteristics of the compound mo­
tor are between those of the series motor and the shunt motor.
The separately excited motor is a special case of the shunt motor, which allows separate
control of the armature voltage and the field voltage. The speed of a separately excited motor
can be increased by either decreasing the field voltage or increasing the armature voltage. Vari­
able armature voltage with a fixed field voltage is the most popular method of controI1ing the
speed of a dc motor. The term armature-controlled de motor refers to this method of control.

Permanent-Magnet DC Motors

Permanent-magnet motors use permanent magnets to provide the magnetic field instead of a
field winding. These motors are available in fractional and low integral horsepower ratings.
The following are some of the advantages of permanent-magnet motors:
I. A simpler, more reliable motor because the field power supply is not required
2. Higher efficiency
3. Less heating, making it possible to completely enclose the motor
4. No possibility of overspeeding due to loss of field
5. A more linear torque-versus-speed curve
Alnico, ceramic, and rare-earth magnets are used in permanent-magnet (PM) motors. The
use of rare-earth (samarium-cobalt) magnets has led to significant increases in the torque-to­
inertia ratio of PM motors. It has also allowed improved designs such as brushless pancake
motors (see the section on brushless motors).

Moving-Coil Stationary-Core DC Motors

The iron-core armature of the dc servomotor is a m~ior obstacle to increasing the torque-to­
inertia ratio of the motor. A higher ratiu means that more torque is available to accelerate the
load. It al~o means a lower mechanical time constant. In many npplicaLions, the motor ineltia
is 60 to 70% of the total load incrtia. Thus a reduction in the mutor inertia has a significant
effect on the speed of the control system. The moving-coil stationary-core mntor is onl'\ ap­
proach to overcoming this obstacle. In this case the solution is to rotate only the armature
winding, leaving the core stationary. The armature winding rotates in the annular space be­
tween the field poles on the outside and the iron core on I,he inside. A typical moving-toil,
stationary-core motor has a torque-to-inertia ratio several times greater than an iron-core ar­
mature motor.

Disk-Armature (Pancake) Motors

The disk-armature dc motor is another approach to achieving a high torque-to-inertia ratio.

These motors use a large-diameter, short-length armature of nonmagnetic material. The ar'
mature operates hetween permanent magnetic poles mounted on two stationary disks. one on
either side of the armature. The magnetic field passes from the magnetic poles on one disk,
380 • Chap.10 Electric Motors

a) Brushle~s servo motor

• Figure 10.11 The brushless servomotor has a permanent-magnet rotor, a three­

phase stator wi ndmg, a rotor position sensor, and a solid-state circuit that controls the
current in the three-phase stator Winding. (Courtesy of Reliance Motton Control,
Eden Prame, Minn.)

through the armature, to the corresponding magnetic poles on the other disk. This type of con­
struction makes use of the superior magnetic properties of rare-earth magnets. Disk armature
motors are also called printed-circuit motors and pancake motors. The "printed circuit" name
comes from the method used to place the conductors on the armature. The "pancake" name
probably comes from the resemblance of the armature and the two stationary disks to a stack
of pancakes.

Brushless DC Motors

The primary limitations of the dc servomotor are due to the armature winding and the
brush/commutator assembly required to make electrical contact between the winding and the
s~rvn rlrive unit.·· TheRe limitations .include replacement of worn brushes. arcing caused by
commutation, voltage and current limitations, high rotor inertia, and a long path for dissipa­
tion of heat because most of the heat is generated in the armature. All of these limitations are
eliminated by the brushless servomotor illustrated in Figure 10.11 .

• Rehance Motion Control's permIssion to use informatIOn from theIr Electro-Craft Handbook of brushless servo sys­
tems is gratefully acknowledged.
 • Sec. 10.3 DC Motors 381

Heat

Brushless motor
s

b) Construction ofa brushless servo motor

• Figure 10.11 (continued)

The rotor of the brushless motor is a permanent magnet, the winding is in the stator, and
a solid-state circuit replaces the brush/commutator assembly. The heat from losses is almost
entirely in the stator, with a short path for dissipation to ambient. The elimination of the wind­
ing and commutator reduces the inertia of the rotor and allows higher rotor speeds. The soHd­
state commutation circuit eliminates brush replacement and allows higher voltages and cur­
rents in the winding.
Two types of permanent magnets are used in the rotor: rare-earth magnets (samarium­
cobalt and neodymium-iron-boron) and ceramic magnets (ferrite). The ceramic magnet is
low in cost and readily available but has the poorest magnetic properties. The samarium­
cobalt magnet has excellent magnetic properties but is expensive and limited in supply. The
neodymium-iron-boron magnet also has excel1ent magnetic properties and is readily avail­
able. Brushless motors with rare-earth permanent magnets have the lowest rotor inertia and
the smallest motor size for a given torque rating.
The stator winding usually has three phases. The best brushless servo drives use a pulse­
width-modulated (PWM) current amplifier to produce a three-phase sinusoidal current in the
382 • Chap. 10 Electric Motors

three stator windings. This type of drive has the smoothest operation at any speed or torque.
Other drives use a simpler control circuit to produce a three-phase square-wave current. but
the motor operation is not as smooth as it is with the sinusoidal drive.

Steady-State Characteristics

The steady-state operating characteristics of an armature-controlled de motor are illustrated

in Figure 10.12. The torque-versus-current graph (Figure 1O.12a) shows a linear relationship
between the armature current (ia) and the motor torque (T). The slope of this line is called the
torque constant (KT ). It indicates the change in torque (&T) produced by a change in current
(&ia ). The torque versus speed relationship is given by
T = K.,ia - T" N • m (10.7)
&T
KT =A'
­, N'm/A (10.8)
uta

8) Torque VR. current b) Back emf VI>. speed

Torque, T

c) Voltage vs. speed d) Speed vs. torque

(constant torque, T) (constant voltage, ea)

• Figure 10.12 Steady-state operatmg characteristics of the annature-controlled

dc motor.
• Sec. 10.3 DC Motors 383

The intercept on the current axis, ii' is the current required to overcome the friction
torque, Tr.
The back emf-versus-speed graph (Figure lO.12b) shows a linear relationship between
the armature speed (rum) and the back emf induced in the armature coil (eb)' The slope of this
line is called the voltage constant (KE ). It indicates the change in back emf (Aeb) produced by
a change in armature speed (Arum)' The back emf is given by
v (10.9)

v . s/rad (10.10)

The voltage-versus-speed graph (Figure lO.12c) is a graph of the armature voltage ver­
sus motor speed with constant torque. This also means a constant armature current (ia). The
armature voltage (ea ) is made up of two components: the back emf (eb), and the voltage drop
across the armature resistance (iaR). The armature voltage (ea ) is given by
(10.11)
The speed-versus-torque graph (Figure 10. 12d) is a graph of the motor torque versus mo­
tor speed with constant armature voltage. The equation for speed as a function of torque can
be derived from Equations (10.7), (10.9), and (10.11).
Solve Equation (lO. 7) for i a •
T = Kft,u - Tf
. T+ Tf
t =-­
a Kr
Substitute (T + Tf)/KT for ia in Equation (lO.11).
(T + Tf)R

eu = Kr + Bb

Substitute K~m for f!b [Equation (10.9)], rearrange the terms, and define two cOIlslallts, KR
and ruNL. to get
(10.12)

(10.13)

(10.14)

DC MOTOR STEADY-STATE CHARACTERISTICS

T = Kria - 1f. N • m (10.7)

(10.9)

(10.H)

.. --.~- .. - '.. __ __ _ - -
... .. - - - - .. - _.. _--­
384 • Chap. 10 Electric Motors

(10.12)
R
KR = --,rarllN' m' S (10.13)
KEKr
e.KT - RTf
K ,rad/s (10.14)
KE T
(10.15)
where eo = armature voltage, V
eb == back emf, V
ia = armature current, A
KEf == voltage constant, V . s/rad

KR = speed regulation constant, rad/N . m . s

Kr == torque constant, N . m/A

p == power, W

R == armature resistance, n

T = output torque, N . m

Tf == friction torque, N . m
W", := motor speed, rad/s

WNL no-load motor speed, radls

Note: rotational speed is often expressed as the number of revolutions per minute (rpm) with w
replaced by N.

EXAMPLE An armature-controlled de motor hilS the following ratings:

10.2

Tf = 0.0\ 2 N . m

Kr = 0.06 N· m/A
Imn == 2A
KE == 0.06 V . slrad
It)max == .500 radls
R= L2n

Determine the following:

(a) The maximum output torque, I'm.x.
(b) The maximum power output, Pm• x •
(c) The maximum armature voltage, E m•x •
(d) The no-load motor speed when e == Emux.
Solution (a) The maximum output torque is obtained from Equation (10.7), when i = Imax.
Tm• x := K.,.Itnax - Tt := (0.06)(2) - 0.012
= O.108N· m
 • Sec. 10.3 DC Motors 385

(b) The maximum power output is obtained from Equation (10.15) when W and T are both a maximum.
Pm•• = wm••Tmax = (500)(0.0108)
= 54W
(c) The maximum armature voltage is obtained from Equations (10.9) and (10.10) when i and w
are both a maximum.

e. = i. R + eb i.R + K#m
Em... = Ima.R + KEw mdx

= (2)(1.2) + (0.06)(500)
= 32.4 V
(d) The no-load motor speed is obtained from Equation (10.14) when e = Emu,,'

(32.4)(0.06) - (1.2)(0.012)
(0.06)(0.06)
::= 536 rad/s
•
EXAMPLE The motor in Example 10.2 is operated at 300 radjs with a load torque of 0.05 N . m. Determine the
10.3 following:
(a) The armature voltage.
(b) The armature speed if the torque increases to 0.075 N . m and the armature voltage is not
changed.

Solutiolt (a) From Equation (10.7),

0.05 + 0.012
i• = =---­
KT 0.06
1.03 A
From Equation (10.9),
e/, = KEw m = (0.06)(300) = 18 V

From Equation (10.11),

e. = iaR + eb = (1.03)(1.2) + 18
= 19.24 V

(b) From Equation (10.13),

K ,..., -!l... = 1.2 333.3

K KEKT (0.06)(O.06)
386 • Chap. 10 Electric Motors

From Equation (10.12),

WI = -KRTI + ~L'*~L WI + KRTI

~ = -KRT2 + WNL = -KRT2 + WI + KRT.
WI - K,/..T2 T.)
300 - (333.3)(0.075 - 0.050)

= 291.7 rad/s •
DC MotorTransfer Functions

The schematic diagram and the block diagram of an annature-controlled dc motor are illus­
trated in Figure 10.13. The electrical circuit consists of the resistance (R) and inductance (L)
of the annature winding plus a source to represent the back emf induced in the annature wind­
ing. Equation (10.9) defines the back emf in terms of the motor speed (~m)'

eb Kenm
The corresponding s-domain (frequency domain) equation is
Eb(S) = K£fl",(s) (10.16)
Equation (10.16) is represented by the feedback block (KE ) in Figure 1O.l3b.
A variable voltage (eo) is applied to the annature winding. The resulting annature current
(Ia) is defined by the following time-domain equation:

di
eo L d; + Rio + eb

The corresponding s-domain equation is

Ea(s) = LvIis) + R1a(s) + Eb(S)
or

lis) = (Eo(s) - Eb(S) (R : Ls) (10.17)

Equation (l 0.17) is represented in Figure 1O.13b by the summing junction and the first block
on the right side of the summing junction.
The annature current (ia) produces torque (T) as defined by Equation (10.7). In the trans­
fer function, we neglect the friction torque and use the following equation for the motor
torque:
T = Kria
The corresponding s-domain equation is
1'(s) = KTlis) (10.18)
• Sec. 10.3 DC Motors 387

!!­
+

\\~m
l-~
l~t
ea

Armature

Motor frietio[4 ~
a) Schematic diagram

Armature
Armature Motor

,
voltage

Ea

+
current

----.,Om ,
speed

Back emf
Eb

b) Block diagram

• Figure 10.13 Armature-controlled de rnotur.

Equation (10.18) is represented in Figure 1O.I3b by the second block in the forward path. KT •
The motor torque acts on the motor inertia (JnJ and viscous friction (Bm) as defined by
the following time-domain equation:
dWm
T Jm - - + Bmwm
dt
The corresponding s-domain equation is

T(s) = JrnS0m(s) + BmOm{s)

or

G",(s) = T(s) (B
m
~ JrnS) (10.19)

Equation (10.19) is represented in Figure 1O.13b by the third block in the forward path.
The motor position (8m) is obtained by taking the integral of the motor speed.

8m = fWmdt
388 • Chap. 10 Electric Motors
[.
The corresponding s-domain equation is

ames) (~)Om(S) (10.20)

Equation (10.20) is represented in Figure 1O.13b by the fourth (and last) block in the forward
path.
Our objective in developing the preceding equations is to obtain a transfer function for
the dc motor. In fact, we really could use two transfer functions, one for velocity (speed) con­
trol and one for position control. Proceed as follows to obtain the two transfer functions:
1. Replace Eb(S) in Equation (10.17) by KEOm(s) from Equation (10.16).
2. Replace T(s) in Equation (10.19) by K-rla(s) from Equation (10.18).
3. Replace la(s) in the new Equation (10.19) by the right-hand side of the new Equation

(10.17).

4. Solve the result of step 3 for Om(s)/Ea(s). This is the velocity transfer function.
5. Multiply the velocity transfer function by lIs to get the position transfer function [see

Equation (10.20)].

The result of step 4 is the following velocity transfer function:

Om(s) Kr
-- = rad/V· s
Ea(s) RBm + K£Kr + (RJm + B".L)s + u"jl'
or
OmCs) Kr
,rad/V • s (10.21)
Eis) RBm + K£Kr + RB,lTm + Te)S + RBmTmT,il
where Tm = mechanical time constant = Jm/Bm, s
Te = electrical time constant = L/R, s
The electrical time constant (Te) is usually much smaller than the mechanical time con­
stant (Tml. If the armature inductance is small or the motor inertia is large, we can assume
Te = 0 to obtain the following simplified velocity transfer function (1'e = O):
K,
Eis)
= 1 + T,s' rad/V· s (10.22)

where K, = simplified gain = K ' rad/V • s

RBm + EKr

RJ
Ts = simplified time constant = m, S
RBm + KEKr
Another variation of the velocity transfer function occurs when a current source is used
to supply the armature current. Because the current source output is the armature current (ia),
we have no need for Equation (10.17). Using Equation (10.18) and Equation (10.19), we ob­
tain the following s-domain equation:

Om(s) = KrIu(S)(B
m
~ JmS)
• Sec.10.3 DC Motors 389

The current driven velocity transfer function is

nm(S)
la(s) I+T S ,rad/A's
(10.23)
m

where Kc = current driven gain = KT/Bm, rad/A . S

Tm mechanical time constant = 1m/Bm, s
For our final version of the velocity transfer function, we consider both the motor and the
load driven by the motor. In some applications, the effect of the load is slight, and the pre­
ceding transfer functions are adequate. In other applications, the effect of the load is signifi­
cant and must be considered in the system design. If the motor shaft is directly coupled to a
load with inertiah and viscous friction BL , the transfer function is given by Equation (10.21)
with the following modifications:

l. Replace Bm by BT = Bm + BL
2. Replace 1m by 1r = Jm + h
3. Replace Tm by Tr JT/Br
In some applications, the motor is connected to the load through a set of gears that cause
the load to rotate at a slower speed than the motor. We call this gear assembly a speed reducer.
Figure 10.14a shows a speed reducer between the motor and the load. The motor shaft is con­
nected to the smaller gear, which has N, teeth. The load is connected to the larger gear, which
has N2 teeth. A speed reducer is the mechanical analog of an ideal transformer. A transformer
can be used to decrease current and increase voltage. In an analogous manner, a speed reducer
can be used to decrease speed and increase torque. Equations (10.24) and (10.25) define these
two changes (in a speed reducer, N, < N2 ).

WL = (~:) Wm' radls (10.24)

TL (~~)Tm' N· m (10.25)

The analogy does not end with decreased speed and increased torque. A transformer changes
the electrical impedance such that the resistance and inductance of the load appear smaller at
the input to the transformer. In an analogous manner, a speed reducer changes the mechani­
cal "impedance" such that the inertia and friction of the load appear smaller at the input of
the speed reducer. We can combine the reduced load inertia and friction with the motor iner­
tia and friction to obtain the following total inertia, friction, and mechanical time constant.

1T = 1m + (Z:J h, N • m • s2/rad (10.26)

BT Bm + (Z:Y BL, N • m • s/rad (10.27)

1T
TT
-
B/s (10.28)
 ' .

• -1"

390 • Chap. 10 Electric Motors

~lJ)m
eo
OT Amlature
N1teeth

Speed reducer 7777777

Load friction, 8L
a) Schematic diagram

Armature Armature Load

voltage
Eo
l
+

8 r = 8 m + (~/Nd8L
Back emf J r =Jm +(NlN2 )2h
E"

b) Block diagram

• Figure 10.14 Armamre-controlled dc motor with speed reducer (N1/N2 ) and load.

Figure 10.14b shows the block diagram of a de motor, speed reducer, and load. Notice
that the load inertia and friction are included with the motor inertia and friction in the motor
block. It is simpler to combine the motor and the load than it is to consider them separately.
To get the transfer function, we take Equation (10.21) and replace Bm by B T, 1m by 1r, and T m
by TT' Finally, we multiply by Nt/N2 to get the following velocity transfer function of a mo­
tor; speed reducer, and load.

°L(S) = KT NJiN2 rad/V • s (10.29)

EaCs) RBT + KEKT + RBT(TT + Te)S + RBTTTT.?'

ARMATURE-CONTROLLED DC MOTOR TRANSFER FUNCTIONS

Note: The velocity transfer functions are given in detail. The corresponding position transfer
functions are obtained by dividing tbe velocity transfer function by s [see Equation (10.30)].

= !(Om(S)\ (10.30)
Ea(s) S Ea(s) i rad/V
• Sec.10.3 DC Motors 391

Velocity Transfer Function ofa Voltage-Driven Motor

firn(s) KT
-­ = oo/V· s (10.21)
Ea(s) RB", + KEKT + RB",(T", + Te)s + RBmT",T.,r'
Simplified Velocity Transfer Function ofa Voltage-Driven Motor(Te = 0)
fim(s) _ ~, oo/V • s (10.22)
Eis) - I + TsS

where Ks= - - '

RBm + KEKT OO/V· S

RJm
'1', = ,s
RBm + KEKT
Velocity Transfer Function ofa Current-Driven Motor
fim(s) Kc
-­ ---,OO/A . s (10.23)
laCs) 1+'1'".5
where Kc = Kr/Bm, 00/A • s
Tm = im/Bm> S

Velocity Transfer Function ofa Voltage-Driven Motor, Speed Reducer; and Load

iT = im + (Z~Y i L, N· m' s2/rad (10.26)

BT = Bm + (Z:Y BL, N . m • s/OO (10.27)

TT iT/BT,S (10.28)
fiLeS)
-­ = OO/V· s (10.29)
Ea(s) RBT + KeKT + RBT(TT + Te)s + Ktf·~T¥·'T_'l

where BL = viscous friction of load, N . m . s/rad

B", viscous friction of motor, N . m . s/rad
BT friction of motor and load. N . m . s/rad
Eo ::: armature voltage, V
h = moment of ineI:tia of load, N . m . s2/rad*
Jm = moment of inertia of motor, N . m . s2/rad
iT = inertia of motor and load, N . m . 82/rad
KG = current driven gain, rad/A . s
KE voltage constant, V . s/rad
Ks = simplified gain, radjV . s
KT = torque constant, N . m/A
L = armature inductance, H
NI = number of teeth in the input gear
N2 = number of teeth in the output gear
392 • Chap. 10 Electric Motors

R = armature resistance, 0
s = frequency parameter, I/s
Te electrical time constant = L/R, s
Tm mechanical time constant = Jm/Bm, S

T., = simplified time constant, S

e L = position of load, fad

em = position of motor, rad

0 /_ = speed of load, rad/s

Om = speed of motor, rad/s

units of J are sometime~ expre~~ed a.~ kg , m2/rad. We used the equIvalent umts, N . m . S2/rad, because
they facilitate the dimensional analysis of the torque-load equation.

T=/ro
dr

EXAMPLE A de motor has the following specifications

10.4 Type: de permanent magnet motor
Model No. ICST-5
Maximum operating speed, W m,1X (rad/s) 500
Maximum armature current, I mtl" (A) 2.0
Voltage constant, Kf;(V . s/rad) 0.06
Torque constant, Kr (N . m/A) 0.06
Friction torque, Tf (N . m) 0.012
Armature resistance, R (0) 1.2
Armature inductance, L (H) 0.02
Armature mumenl uf inertia, Jm (N ' m . &2/rad) 6.2E 4
Armature viscous friction, Bm (N . m . s/rad) l.OE - 4
Determme the following velocity and position transfer functions.
(a) The vultage-driven motor
(b) The simplified voltage-driven motor with Te neglected
(c) The current-driven motor
(d) The voltage-driven mulur wilh the following speed reducer and load specifications

NI = 16 teeth .N2 = 32 teeth

h = 8.2E 4N' m' s2jrad B/. 0.15E - 5 N' m' s/rad
So/Ufmn (a) From Equation (10.21)
Jm ,- 6.2E - 4 _ 6.2 S
T ,f,
B/II IE - 4

L 0.Q2
'7"e - R
-' 1.2 - 0.0167 ~
• Sec. 10.3 DC Motors 393

RB.. = (L2)(lE - 4) = 1.2E - 4

RBm + K£KT = 1.2E - 4 + (0.06)(0.06) = 0.00372
RBm(Tm + Te) = L2E 4(6.2 + 0.0167) =: 7.46E - 4
RBmTmTe = L2E - 4(6.2)(0.0167) = 1.24E - 5
The voltage-driven velocity transfer function is
nm(S)
- = --------..,------~rad/V • s
Eo(s) 0.00372 + 7.46 X

or
nm(S) 16.13 d
-E-O<s-) = 1 + 0.201s + 0.00333s2 ra IV • s
The voltage-driven position transfer function is
em(s) 16.13
Ea(s) = S + 0.201s2 + 0.00333s3 rOO/V
(b) From Equation (10.22)

KT 0.06
K, = RBm + KEKr = 0.00372 = 16.13 rad/V • 8
(1.2)(6.2E - 4)
T, = RBm + KEKr = 0.00372 = 0.20 s
The simplified velocity transfer function is
nm(s) 16.13
E,,(s) 1 'I 0.20s rad/V • S

The simplified position transfer function is

em(S) = 16.13 rOO/V'

His) s + 0.20S2
(c) From Equation 00.23)

Kr 0.06
- =: - - =: 6oorad/A' s
Bm IE - 4

Tm = 6.2 s

The current-driven velocity transfer function is

nm(S) 600
10(s) 1 + 6.2s radlA • II

The current-driven position transfer function is

~m(s) _ 600 rOO/V

laCs) S + 6.282

- - - - -..
... - - -.... ~- .. - ..- - -...­
394 • Chap. 10 Electric Motors

(d) From Equations (10.26) through (10.29)

(0.06)(16)

0.03
32

IT = (16/32? (8.2E 4) + 6.2E - 4 = 8.25E - 4 N • m • s2/rad

. Br (16/32)2 (O.l5E - 5) + l.OE - 4 = 1.004E 4 N • m • s/rad

IT 8.25E - 4
TT = Br ::; 1.004E 4 = 8.22s

RBT ::; (1.2)(1.004E - 4) ::; 1.205E - 4

RBr + KEKT ::; 1.205E 4 + (0.06)(0.06) ::; 3.72E 3

RBr(Tr + Te) ::; 1.205E 4(8.22 + 0.0167) =: 9.925E 4

RBrTrTe = 1.205E 4(8.22)(0.0167) == 1.654E 5

The velocity transfer function is

OL(S) 0.03
E,,(s) 0.00372 + 9.925 x 1O-4s + 1.654 X 1O-5s2 rad/V • s
or

_O_[,(_s) =: 8.06 rad/V • S

E,,(s) 1 + 0.267s + 0.00445s2
The position transfer function is

s
8;06
+ 0.267s + 0.00445s
3 rad/V
•
EXAMPLE The following specifications were obtained from a manufacturer's catalog.*
10.5

Type: de permanent magnet motor

Model No. E550-MO

Rated voltage, Er (V) 30

No-load speed, Ncr (rpm) 6500

Maximum armature current, Imax (A) 2.2

Maximum torque. Tmn (oz· in.) 13.6

Friction torque, Tf(oZ . in.) 3.0

Voltage constant, K" (V Ikrpm) 4.6

Torque constant, Kdoz· in./A) 6.2

Armature resistance, R (0) 2.2

Armalurt: im.luclul\ce. L (mH) 4.6

Armature mom. of inertia, 1m (oz· in.. s2/rad) 4.4E 3

Armature viscous friction, 8 m (oz· in./krpm) 0.15

'Speed and Position Control Systems. Electro-Craft Corporatton, Hopkins, Minn., undated.
 • Sec. 10.3 DC Motors 395

Convert the motor parameters to SI units and determine the full and simplified velocity transfer func­
tions.

Solution The necessary conversion factors are in Appendix B.

Tmax = (I 3.6 oz • in.)(7.062E - 3) 0.0960 N • m
1f = (3.0oz· in.)(7.062E 3) '" 0.0212 N' m
KE == (4.6 V/krpm)(9.5493E - 3) == 0.044 V • s/rad
Kr (6.2oz • in./A)(7.062E - 3) = 0.044 N • m/A
1m = (4.4E - 30z • in.• s2jrad)(7.062E - 3) = 3.11E - 5 N • m • s2/rad
Bm = (0.15 oz' in./krpm)(6.744E - 5) = l.OtE - 5 N • m • s/rad
L 0.046
T = =--=209ms
e R 2.2 .

1m 3.1E - 5
Tm = Bm =: l.OE _ 5 = 3.07 s

From Equation (10.21)

RBm = (2.2)(l.01E - 5) 2.23E 5

RBm + KEKr"'" 2.23E 5 + (0.044)(0.044) 1.951:1 - 3

RBm (Tm + Te) = 2.23E 5(3.07 + 0.00209) = 6.84E 5

RBmTmT. == 2.23E 5(3.07)(0.00209) -'- 1.43E - 7

The voltage-driven velocity transfer function is

0.044 cad
1.95 X 10- 3 + 6.84 X 10- 5 S + 1.43 X 10-7 S2
IV's

or

Om(S) 22.5
rad/V's
EaCs) = 1 + 0.035s + 7.35 X

From Equation 10.22

0.044
L95E _ 3 == 22.5 rad/V • s

2.2(3.11E 5) ,
1', == RBm + KEKr = 1.95E _ 3 = 0.035 s

The simplified velocity transfer function is

22.5
1 + 0.035 s rad/V . s
•
396 • Chap. 10 Electric Motors

10.4 STEPPING MOTORS

Stepping motors are brushless dc motors designed to convert digital pulses into fixed incre­
ments of motion called steps. They provide accurate open-loop positioning of a load that can
be controlled directly by computers, microprocessors, and programmable controllers. Because
of their brushless construction, stepping motors are reliable, robust, and maintenance-free.
Stepping motors are used in many applications, including robots, machine tools, medical
equipment, scientific instruments, plotters, and computer peripherals. Figure 10.15 shows a
typical machine tool application of a stepping motor. The pulse inputs to the control unit
could come from a computer or a programmable controller. The control unit converts each
pulse into the appropriate switching of the drive's power transistors to move the motor shaft
one step. The lead screw converts the rotary motion of the motor shaft into linear motion of
the workpiece. For example, consider a stepping motor with a step size of 1.8 0 and a lead
screw with a pitch of 0.2 in. If a programmable controller sends 200 pulses to the control unit,
the motor shaft will rotate 3600 (200 X 1.8 0 = 360°). The lead screw will also rotate 3600 ,
and one revolution of the lead screw will move the workpiece a distance of 0.2 in. Thus each
pulse moves the workpiece 0.001 in. (0.2 in./200 steps = 0.001 in./step).
Stepping motors have a wound stator and a nonexcited rotor. The stator has an even num­
ber of equally spaced poles (or teeth), each with an electrical coil. Opposing pairs of stator
coils are connected in series, such that when one acts as a north pole, the other will act as a

Dnve
motor
Pulse inputs
Drive unit

Dim:tion input
L.....w..-----....-J

Stepping
motor
Rotary motion
Lim::ar lIIuliun

• Figure 10.15 A steppmg motor provides open-loop, digllal t:lJnlrul ur the pusillull ur a
wnrk(llf~cein a nnmencal control machine. The drive unit receives a dIrection mput (cw or cow)
and pulse inputs. For each pulse It receiVes, the drive umt mampulates the motor voltage and
current, causing the motor shaft to rotate by a fixed angle (one step). The lead screw converts
the rotary motion of the motor shaft Into linear motIOn of the workpiece.
• Sec. 10.4 Stepping Motors 397

south pole. The stator may have two, three, or four independent circuits, or phases, connected
to north-south pole pairs. The rotor has equally spaced external teeth with a small air gap be­
tween the rotor teeth and the stator teeth (or poles).
The number of teeth on the rotor, the number of teeth on the stator, and the number of
phases on the stator determine the size of the step (called the step angle). For simple stepping
motors, the following equation may be used:
360°
Step angle = - - - - - - - - ­
(rotor teeth)( stator phases)
A stepping motor with two rotor teeth and two stator phases has a 90° step angle. A stepping
motor with four rotor teeth and three stator phases has a 30° step angle. Electronic methods
are used to reduce the step angle even further. Half-step operation is a method of electroni­
cally dividing each step into two half-steps. Microstep operation is a method of electronically
dividing a step into 10, 16,32, or 125 microsteps. See the sections on half-step and microstep
operation for further explanation of these techniques.
Stepping motors are classified as two-, three-, or four-phase, depending on the number of
windings on the stator. They are also classified as variable reluctance, permanent magnet, Or
hybrid, depending on the type of rotor.
Variable-reluctance (VR) stepping motors have a soft-iron rotor. When electric current is
applied to a stator phase, magnetic flux is generated that causes teeth in the rotor to line up
with teeth in the stator. When the current is switched to the next phase, the rotor moves a dis­
tance of one step angle to again line up the rotor and stator teeth. The VR stepping motors are
used for larger step angles (e.g., 15°,30°, and 45°).
Permanent-magnet (PM) motors have one or more permanent pole pairs in the rotor.
Early PM stepping motors had only two rotor teeth and large step angles. The use of rare­
earth magnets has greatly improved the design and performance of PM stepping motors.
Hybrid stepping motors have a variable-reluctance rotor with a permanent magnet in its
magnetic path, usually in the rotor. The term hybrid refers to the use of two sources of mag­
netic field, the stator windings and the permanent magnet. Hybrid stepping motors are used
when small step angles are required (e.g., 1.8°. 2S). The 1.8° stepping motor is the pre­
dominant standard for industrial automation, scientific applications, and office systems.
A typical l.8° hybrid stepping motor has eight poles, each with 5 teeth and a simple coil.
The rotor has two end caps, each with 50 teeth. The end caps are separated by a permanent
magnet. so that one cap is given a north polarity, the. other a south polarity. The stator coils
are connected into two phases, A and B. The motor is stepped in the clockwise direction by
energizing the phases in the sequence + A, - B, -A, +B, +A. The motor is stepped in the
counterclockwise direction by energizing the phases in the reverse sequence, + A. +B, - A,
-B, +A.

Full-Step Operation

As the name implies, full-step operation of a stepping motor consists of a movement of one
full step for each input pulse. Pull-step operation is the simplest of the three methods of step­
ping. An understanding of full-step operation is also a prerequisite to understanding two-step
and microstep operation. Figure 10.16a shows the model of a stepping motor that will be used
to explain the three methods of stepping.

-----_~- ....- -.... ------~. c----­

398 • Chap. 10 Electric Motors

III =0

8'
!8

a) Start position b) One full step

In = 0

c) Two full steps d) Three full steps

• F1gure 10.16 This model of a stepping motor has four teeth/pole on the stator
and to teeth/pole on the PM rotor, which gives it 20 full steps per revolution. Each
full step IS 18° (Le., 360°/20 = 18°).

The model stepping motor is a two-phase motor with four wound poles in the stator. The
Lup and bollum euils are connected in series to form phase A. The two side coils are cOllnected
in series to form phase B. The input currents are applied to the terminals marked A and B on
the top and right side. The rotor is a permanent-magnet type with 10 alternating north and
south poles. The resolution of the motor is equal to the product of the number of poles in the
rotor (10) times the number of pole pairs (2) in the sta~or. Thus the model stepping motor has
20 steps per revolution and a step angle of 18°. The top rotor pole in Figure 10.100 is marked
with an arrow. The arrow will enable us to follow the movement of this "marked" pole as the
rotor makes several full steps.
• Sec. 10.4 Stepping Motors 399

In Figure 1O.16a, the motor is in the start position. A current of [max A enters the phase
A winding at terminal A. No current enters the phase B winding. The direction of current fA
is such that the top stator pole is a south pole (labeled US") and the bottom stator pole is a
north pole (labeled uN"). The absence of current in phase B results in a demagnetized condi­
tion for the two side poles (labeled "0"). The alignment of the rotor poles is such that the
magnetic attraction between unlike poles will hold the rotor in the position shown.
In Figure 1O.16b, a current of [mllx enters the phase B winding at terminal B, and no cur­
rent enters the phase A winding. Notice the 0 labels on the top and bottom stator poles, the S
label on the right-side stator pole, and the N label on the left-side stator pole. The magnetic
attraction between opposite poles and the repulsion between like poles has caused the rotor
to rotate one step in the clockwise direction. Once again, the magnetic forces will huld the ro­
tor in the new position shown in Figure 10. 16b. Two more steps are shown in Figure 1O.l6c
and d. Table 10.1 lists the angle (J and the two phase currents for five full steps.

Half-Step Operation

Half-steps are accomplished by applying partial currents to both phase windings to position
the rotor halfway between two full-step positions. Figure 10.17 illustrates three half-steps of
the model stepping motor. The start conditions in Figure 10.17a are identical to the conditions
in Figure 1O.16a. The first half-step is accomplished by reducing the phase A current to
0.707fmax A and increasing the phase B current to O.707fmax A (see Figure 10.17b). Notice
that all four stator coils are magnetized. The top and right side are south poles and the bottom
and left side are north poles. The magnetic forces are such that the rotor is held in the posi­
tion shown in Figure 1O.17b. Notice that the position of the marked rotor pole, 8, is 9°, ex­
actly half of a full 18° step. Two more half-steps are shown in Figure 1O.17c and d. Table 10.2
lists the angle (J and the two phase currents for 10 half-steps.

Micro.tep Operation

In half-step operation, we saw how the rotor could be positioned halfway between two fuII­
step positions by supplying current to both phase windings. Microstepping simply extends
this technique to more than one midposition hy URine different vlllue.9 of ~1,.1rrcnt in each
phase. The micfOstep siztls that are most commonly used are 1/10, 1/16, 1/32. and 1/125 of

• TABLE 10.1 Sequence of Phase Currents for Five

Full Steps of the Model Stepping Motor
(Figure 10.16)

Step (J (deg) lA/1m•• IBfImax

~=.,= ..--..-.,
0 0 1 0
I III 0 1
2 :l6 -1 0
3 54 0 -1
4 '12 I U
5 90 0 1

",,,-'- , - - , , - ' " ----,,'-,--"---, -------"'7"--,-"­

400 • Chap. 10 Electric Motors

18 == 0.707/MAx

a) Start position b) One half-step

18 = 0.707/MAx

c) Two half-steps d) Three half-steps

• Figure 10.17 Half-stepping increases the resolution of the model stepping mo­
tor to 40 half-steps per revolution. In half-steppmg, the dnver first turns on phase A,
then both A and B, then B only. then both A and B (with reversed polarity on A).

a full step. An obvious advantage of microstepping is the much finer resolution it provides.
For example, when 125 microsteps are used in a stepping that has 200 full steps per revolu­
tion, the resolution is 200(125) = 25,000 microsteps per revolution.
The values of lhe phase currents required for a microstep afe giveH by

IA = (90n)
cos -s- Imax (10.31)

. (90n)
In = sm -s- Imax (10.32)
• Sec. 10.4 Stepping Motors 401

• TABLE 10.2 Sequence of Phase Currents

for 10 Half·Steps of the Model Stepping Motor
(Figure 10.16)

Half·Step 0(") IA/Im.. la/I.....

0 0 I 0
1 9 0.707 0.707
2 18 0 1
3 27 -0.707 0.707
4 36 -) 0
5 45 -0.707 -0.707
6 54 0 I
7 63 0.707 -0.707
8 72 1 0
9 81 0.707 0.707
to 90 0 I

where f max = maximum value of phase current, A

fA = current in phase A winding, A
fA = current in phase B winding, A
n = number of microsteps from start position

s number of microsteps in a fun step

The values of these currents may be stored in a ROM memory chip to be read when needed
by the driver circuit. Table 10.3 lists the angle (} and the two phase currents for ten 1/10 mi­
crosteps for the model stepping motor (Figure 10.16),

• TABLE 10.3 Sequence of Phase Currents

for 10 Microsteps of the Model Stepping Motor
(Figure 10.16)8

Microstep 0(0) I,t//ma• la/Im..

0 0 1.000 0.000
J 1.1\ 0.988 0.156
2 3.6 0.951 0.309
3 5.4 0.89\ 0.454
4 7.2 0.809 0.588
5 9.0 0.707 O.7117
6 10.8 0.588 0.809
7 12.6 0.454 0.891
8 14.4 0.309 0.951
9 16.2 0156 0.988
to 18.0 0.000 1.000

aMicrostep size = 0.1 (full step size).

402 • Chap. 10 Electric Motors

10.5 AC ADJUSTABLE-SPEED DRIVES

AC adjustable-speed drives (both single-phase and three-phase) consist of two m;,yor parts, a
converter and an inverter. The converter converts the ac input power to a dc voltage. The
inverter changes the dc voltage back into an ac voltage of any desired frequency from about
3 to 60 (or 120) Hz. The output of the inverter will drive an ac synchronous motor or an ac
induction motor at a speed determined by the frequency of the inverter output. For example,
the speed of an 1800-rpm synchronous motor can be adjusted from 90 to 1800 rpm by a 3- to
60-Hz inverter. Figure 10.18a shows the block diagram of a three-phase inverter and the ideal
waveforms of the output. The actual voltage produced by the inverter is not sinusoidal but ap­
proximates a sine wave. Two methods of approximating a sine wave, the variable-voltage in­
verter and the pulse-width-modulated inverter, are explained later in this section.

Lit
LI

L2 - - - 4 Three-phase Three-phase L2t

converter inverter ....-:::::;....-----1
L3'
L3 - - - I
Three-phase
ac line input a) Block diagram

v v

LI Pd-J----,
v v

uVt/----,
u~----,
b) Input voltage waveforms c) Ideal inverter output waveforms

• Figure 10.18 A variable-~peed ac drive uses a converter to convert the three­

phase 6O-Hz input voltage into a de volllle!: sOllrce for the inverter. The inverter con­
verts the de voltage into a three-phase voltage with a frequency that can be varied
from about 3 to 60 (or 120) Hz.
• Sec. 10.5 AC Adjustable-Speed Drives 403

The injtial use of adjustable-frequency ac drives was to control pumps, fans, and con­
veyors. Many applications with single-speed drives were converted to adjustable speed with
the intent of reducing energy consumption or increasing manufacturing flexibility. In many of
these conversions, the same ac motor was used, with the ac drive providing the variable fre­
quency required for adjustable speed. In pumps and fans, variable speed control is more effi­
cient than throttling to obtain lower flow rates. Energy savings of 40 to 50% have been
achieved by replacing throttling controls with variable-speed controls. Another advantage of
variable ac drives is the low cost and rugged construction of ac motors. AC induction motors, in
particular, are less expensive, are more reliable, and require less maintenance than de motors.
The use of adjustable-frequency ac drives in applications more demanding than pumps,
fans, and conveyors was deterred by the ac drive's complicated control circuitry and poor low­
speed performance. However, advances in microprocessor-based control logic and control al­
gorithms have enabled adjustable-speed ac drives to challenge the dc drive's hold on many
applications. Improved pulse-width-modulation (PWM) techniques with flux vector control
have significantly improved the low-speed performance of ac drives. The improved perfor­
mance includes full torque from zero speed and regenerative braking. Vector-controlled re­
generative ac drives now compete with dc motors for the control of hoists, extruders, punch
presses, machine tools, and other applications that require high starting torque and/or regen­
erative braking. Flux vector control and regenerative braking are explained later in this sec­
tion.

Variable-Voltage Inverter

The purpose of the variable-voltage inverter (VVl) is to manufacture a sinusoidal waveform

whose frequency can be varied at will over some frequency range. In the VVI method, a con­
verter converts the ac input voltage into a variable de voltage. The VVI inverter then inverts
the dc voltage into a voltage whORe amplitude and frequency are variable. The voltage is a
simple approximation to a sine wave. Figure 10.19 shows the output waveforms of a three­
phase variable-voltage inverter. This simple approximation of a sine wave is easy to produce,
but it also results in high current spikes that generate high voltages that can break down the
insulation in the motor. Another problem occurs at motor speeds below 20% of fuH speed. The
crude approximation of the sine wave causes a jerky movement of the motor called cogging.
The major advantage ofVVI drives is a low installed cost. The major disadvantage is that they
are hard on the motor owing to high voltage spikes.
SCRs were the first solid-state switching devices used in VVI drives. SCR-based VVI
drives capable of driving ac motors of hundreds of horsepower have been available for many
years. The latching characteristic of an SCR (an advantage in some applications) is a problem
in ac inverters. Once an SCR is turned ON, it remains ON until the current is reduced to zero.
This is no problem in a converter because the ac line becomes negative at the end of each pos~
itive cycle and turns the SCR OFF. In an inverter, there is nothing to tum the SCR OFF, and the
control circuit must provide the means of doing so. This requires complex and expensive
com mutating circuitry that doubles or even triples the number of SCRs required in the in­
verter. The commutating circuit also requires additional capacitors and inductors, further in­
creasing the cost of the circuit. The silicon bilaleral switch (SBS) solves thl'! pmhlem of SCR
turn-off. The SBS can be pulled OFF without the complex circuitry required by the SCR.
404 • Chap. 10 Electric Motors

LI'

L2'

v
• Figure 10.19 The three-phase output of a
voltage-variable mverter (VVI) produces a sim­
--_. t pie approximation of a three-phase sinusOidal
vnlfagll. AI low s/lf'nl1>, a VVT-clrrviln mnlnr
produces aJerky motion cooled cogging, due to
the crude approximation of a slOe wave.

As higher-power transistors become available, designers began replacing SCRs with

transistors. Transistors can be turned ON and OPF at will with a considerably simpler circuit
and with less power than required by an SCR. Transistors also switch much faster than SeRs.
This gives the transistor two more advantages over the SCR. First, the fast switching time,
usually nanoseconds against microseconds for an SCR, allows very little time for heating to
occur. Consequently, the transistor accomplishes the switching more efficiently than the SCR.
Second, fast switching gives the transistor-based ac drive much faster response for critical
control applications. The transistor's major problem is lower voltage and current ratings than
SCRs. As transistors with higher ratings became available, transistor ac drives began replac­
ing the slower, more expensive SCR drives.

Pulse-Width-Modulated Inverters

Pulse-width modulation (PWM) is another method of approximating a sine wave. The PWM
inverter produces a much better approximation of a sine wave than that obtained with a VVI.
Pulse-width modulation is not a new idea. It has been used in communication for many years
to transmit information on a sequence of pulses called a carrier. The pulses have a constant
amplitude and a variable width. A pulse-width modulator varies the width of the pulse ac­
cording to an information signal.
The PWM inverter uses a sequence of pulses to approximate a sine wave with a variable
amplitude and a variable frequency. Figure 10.20 illustrates how a sine wave can be approx­
imatcd by pulse-width modulation. After appropriate filtering, the output of a PWM inverter
is a fairly good approximation of a sine wave. One PWM method uses the magnitude of the
sine function to determine the width of each pulse. This method is called sine-coded PWM.
• Sec. 10.5 AC Adjustable-Speed Drives 405

a) Maximum voltage

• Figure 10.20 A pulse-width-modulated in­

b) One-half the maximum voltage verter (PWM) produces a reasonably good ap­
proximation of a sine wave· The inverter chops
the constant de input voltage into a sequence of
pulses (I to 4 kHz) and modulates the width of
the pulses to produce a sine wave. As shown
here. pulse modulation can vary both the ampli- .
tude and the frequency of the inverter output
c) One-balf the frequency of a) and b) voltage.

The values of the sine function are stored in a RAM memory unit for use by the controller in
manufacturing a sine wave with the desired amplitude and frequency. Another advantage of
PWM is that it uses a constant-amplitude de input voltage. This means that the rectifier can
be a simple diode bridge circuit. The VVI requires a variable dc voltage, which is usually pro­
vided by an SCR rectifier. The following comparison of size and cost of a 20-hp ac controller
illustrates the progress in ac drives over a to-year period.

Year Controller Type Relatlve Cost (%) Package Size (in.)

1978 SCR-VVI 100 20X30X86

1982 Translstor-VVI 40 15 X 26 X 29
1983 Transistor-PWM 20 14 X 16 X 2S

Source: Control Engineermg, Pebruary 1988, p.73.

Flux Vector Control

Flux vector control is a method of optimizing PWM inverters. It is a microprocessor-managed

control algorithm that improves speed regulation and maximizes the starting torque of
adjustable-speed ae induction motors. Flux vector control adjusts the frequency and phase of
406 • Chap. 10 Electric Motors

the voltage and current applied to the motor to maintain the rated torque capability of the mo­
tor at all speeds including zero. Our discussion of flux vector control begins with a brief re­
view of induction motors.
A three-phase induction motor is shown in Figure 10.7. The stator of this motor has three
windings that may be connected to a three-phase ac supply in either a wye or a delta config­
uration. The rotor has conducting bars, which are shorted at each end of the rotor. When ac
power is applied to the stator windings, a rotating magnetic field is produced, current is in­
duced in the rotor bars, and a torque is developed that causes the rotor to tum. From the con­
ventional viewpoint, the induction motor generates torque when the rotor turns at a slightly
slower speed than the rotating magnetic field produced by the stator current. This speed dif­
ference is called slip. The motor torque is directly proportional to the slip speed, Wshp (fad/s).
Torque = (torque constant) Wslip
From a more fundamental viewpoint, the motor torque is generated by the interaction of two
magnetic fields. One is the rotating magnetic field produced by the stator current. This is sim­
ilar to the field of a dc motor, and we will refer to it as the motor flux. The other is the mag­
netic field produced by the induced current in the rotor. This is similar to the field produced
by the armature current in a dc motor, and we will refer to it as the torque-producing field.
The vector control algorithm provides for separate control of motor flux and motor torque.
It accomplishes this task by separating the stator current of the ac motor into two perpendicu­
larcomponents, i flux and itorque' The first component, i flux • is parallel to the motor flux vector,
and it is proportional to the magnitude of the motor flux as defined by the following equation.
IMotor flux I ;;;;;; (flux constant) i nux
The second component, itorque, is proportional to the magnitude of the motor torque as defined
by the following equation:
IMotor torque I := (torque constant) IMotor fluxl itorque

The vector controller adds the two current components to form the stator current as shown in
Figure 10.21. The flux current, i flux , is essentially constant over the rated speed range of the
motor. The torque current, itorque, is varied in direct proportion to the applied load. By sepa­
rate control of flux and torque, the vector controller provides rated torque of an induction mo­
tor from zero speed to rated speed. Flux yector control gives us the ability to use a standard
induction motor and get performance comparable to dc adjustable drives in all but the most·
demanding applications.

Torque current,
llorque

Flux current, • Figure 10.21 The flux vector controller

tflux
prOVides separate control of the flux current,
iflux> and the torque current, itorque, components
of the stator current, i,tator' Source: Baldor Elec­
l~tator tnc Company, 5711 South 7th Street, Fort
Smith, AR 72902-2400.
 • Sec. 10.6 DC Motor Amplifiers and Drives 407

10.6 DC MOTOR AMPLIFIERS AND DRIVES

Amplifiers

Permanent-magnet brush-type de servomotors are sometimes controlled with a power opera­

tional amplifier. Power op amps obey all the rules of the op-amp family and are also designed
to operate at higher voltage and current levels than the lower-power members of the family.
Power op amps operate at voltages above 44 V and can deliver currents above 0.1 A. Low­
voltage power op amps (below 100 V) consist of an IC op-amp front end plus a high-current
output stage housed in a heat-dissipating package. High-voltage power op amps (above
100 V) have a more complex circuit using many individual transistors. Construction of the
high-voltage units is more labor intensive and hence more expensive. They do tend to have
better accuracy due to improved control of individual components and laser trimming of the
input stage. Figure 10.22 illustrates the use of a power op amp in a dc speed control system.
The transfer function of the position control system can be obtained from the block dia­
gram in Figure 10.22. The objective is to obtain an equation for the ratio of output, 0, over
input, SP (Le., O/SP). Each block in the transfer function defines an equation of the form
Output = (input)(transfer function ,of the block)
The transfer function of a block is written inside the block. For example, the output of the
power op amp, E, is given by the equation
E (SP Ea)(P) (to.33)
The de motor is a little more complicated, due to the internal feedback loop. However, with
n.
a little algebra, we can obtain an equation for the output of the motor, Proceed as follows:
1. Determine an equation for E,.
E, =KEO (10.34)
2. Get the output of the internal summing junction.
E, = E - E, (10.35)
3. Get an equation for I.

1= Es (R,,+1)
sL
(10.36)

4. Get an f.qnatlon for O.

Kr ) (10.37)
0=1 ( B +Js

5. Use Equations (10.34) through (10.37) to solve for 0 in terms of E with both E, and I
eliminated from the equation. Equation (10.38) is the final equation for the dc motor.
O[(R + Ls)(B + Is) + KEKr] = KTE (10.38)
The last component, the tachometer, is easy.
Eo = KaO (10.39)
408 • Chap.10 Electric Motors

+v"

+J SP SJ

RI
-v, Load
NI Ec
\-v.po~eropamp J,B

PMdcmotor/
ill---
TaChometer/
G
+
Ea

a) Schematic diagram

DC motor
---------------------------,
I I
I I
I 1
I I
I I
I E, I
I I
I I
EI+ - (ll
SP
I I
IL _____ _ I
__I

b) Block diagram

• Figure 10.22 A power op amp IS ust'.d to control the velocIty of a small perma­
nent-magnet brush-type dc motor.

Finally, use Equations (10.33), (10.38), and (10.39) to obtain the transfer function as
given. by
0. KrP
--=----------------~------------~~ (10.40)
SP (KeKr + KoKrP + RB) + (JR + LB)s + JLs2

DC Adjustable-Speed Drives

DC adjustable-speed drives use a rectifier to produce a controlled de voltage that can be

smoothly adjusted from 0 to 100% of the rated voltage. Some dc drives also provide a reverse
energy path for regenerative braking. Figure 10.23 illustrates an SCR-based dc adjustable­
speed drive with a built-in, computed velocity signal.
 .-----L1

v
Magnetic
amplifier ~
IE trigger SCRs 100% on
aRr :?-t----.
[ +
Esp ~~~
L2 SCRs 75% on

Rl R2 ~~~
SCRs 25% on
+ Etl

R3 EIR

+
I

a) Schematic diagram

DC motor

SP

b) Block diagram

• Figure 10.23 This SCR-based dc adjustable-speed drive has a full-wave bndge

rectifier and a computed-velocity feedback signal.

409
410 • Chap. 10 Electric Motors

In Figure lO.23a, two SCRs and two diodes are connected to fonn a full-wave bridge rec­
tifier. When the seRs are turned OFF, the bridge acts as an open switch. When the SCRs are
turned ON, the bridge acts as a full-wave rectifier. The output of the bridge is a pUlsating volt­
age, which is applied to the annature of a dc motor (see the upper right corner of Figure 10.23a).
The magnetic amplifier trigger circuit produces the triggering pulses that tum the SCR
ON. The SCR is said to be 100% ON if the trigger occurs at the start of each ac half-cycle. With
the SCR 100% ON, the bridge acts as a full-wave rectifier. The SCR is 75% ON if the trigger
occurs 45° after the start of each ac half-cycle. With the SCR 75% ON, the first 25% of each
half-cycle is removed from the output waveform, as shown in Figure 1O.23a. The SCR is 25%
0
ON if the trigger occurs 135 after the start of each half cycle. With the SCR 25% ON, the first
75% of each half-cycle is removed from the output. The inductance of the armature coil and
the inertia of the motor and load help smooth out the pulsations in the power caused by the
pulses in the armature voltage.
An interesting feature of the system, illustrated in Figure 10.23, is the fact that a
tachometer is not used to measure the velocity of the load. Instead, the velocity is calculated
from measurements of the armature voltage (E) and the armature current (I). The calculation
is based on the following frequency domain version of the combination of Equations (10.9)
and (10.11):
(10.41)
In Figure lO.23, Ea is the voltage drop across resistor R2 and Em is the voltage drop across
resistor RJ . Voltage Ea can be obtained by applying the voltage-divider rule to resistors R I and
R2 •

E" = (R RJE1
;
(10.42)

. Voltage EIR is obtained by applying Ohm's law to R 3 •

Em = 1R3 (10.43)
Tn the design of the internal feedback. R3 is defined as

R3 =( R2 )R (10.44)
RI + R2
where R re.prese.nts the internal resistance of the motor HrmHture. F.(pmlinns (10.42) through
(10.44) can be used to form the following equation for Ea E/R:

E" - Em = (R RJ (E
1
; IR) (10.45)

A combination of Equations (1O.41) and (1O.45) produces the following result:

E" - Em = KAtl (10.46)

where Km

n = annature speed, rad/s

Ea = voltage across resistor R2 , V
 • Chap. 10 Glossary 411

voltage across resistor R 3 , V

EIR ::::

R I and Rz are arbitrarily selected resistors

R3 is defined by Equation (10.44)

Equation (10.46) states that the voltage difference (Ea- EIR ) is proportional to the ar­
mature speed n and can be used as a measurement of n.

• GLOSSARY

AC motor: An electric motor that is powered by an ac voltage. (10.2)

AC motor, induction: An ac motor that has no electrical connection to the rotor. The transformer ac­
tion induces a current in current-carrying conductors in the rotor. Induction motors are very reli­
able and have a low initial cost and a low maintenance cost. (10.2)
AC motor, servo: A two-phase, reversible induction motor with special modifications for servo con­
trol. (10.2)
AC motor, squirrel-cage: A type of induction motor that has conducting bars and end rings on the
rotor to provide an electrical path for the induced current. The name comes from the resemblance
between the bars/end ring assembly and a squirrel cage. (10.2)
AC motor, synchronous: An electric motor that normally runs at synchronous speed. The stator has
windings similar to an induction motor. The rotor has fixed poles that lock into step with the rotat­
ing poles in the stator. (to.2)
AC motor, wound-rotor: A type of induction motor in which the conduction bars are connected in
series to form three windings. The windings are joined on one end to form a wye connection. The
other end of each winding is connected to a slip ring. (10.2)
Armature: The cylindrical, rotating part of a dc motor. (10.1)
Back EMF': A voltage induced in the coils of a motor by the generator effect. This induced voltage
opposes the external voltage applied to the coil and thus reduces the motor current. (l0.1)
Braking: A mcthod of slowing down a dc. motor by causing the molur tu act as a de generator, thus
producing it furce lhallends to slow down the armature. (10.3)
Braking, dynamicl A method of braking n de motor in which the voltage produced by the gelIt::latul
action is applied to a bank uf resistors. The resistors draw current from the generator, causing a
force that tends to slow down the armature. (10.3)
Braking, regenerative: A method of braking a dc motor in which the current from the generator is
fed back into the de supply. If the dc supply is a battery, the current will charge the battery. (103)
Cogging: A jerky motion that occurs when an ac motor is driven at slow speeds by a variable-voltage
inverter. The jerky motion is caused by the crude approximation of the sine wave. (10.5)
Commutation: The reversal of current. anrl polarity in the Goil of a de motor as the brushes move from
one segment to the next. (10.1)
Commutator: A segmented ring on the armature of a dc motor. Each segment is connected to one end
of one of the armature coils. Electrical connection is made to the commutator segments (and hence
the armature Goils) through carbon contacts called brushes. (10.1)
DC motor: An electric motor that is powered by a dc voltage. (10.3)
DC motor, brushless: A dc motor that has a permanent-magnet armature and a wound field. There is
no need for brushes and a commutator. Instead, the commutation is performed electronically on the
stator winding. (10.3) .
412 • Chap. 10 Electric Motors

DC motor, compound: A dc motor in which part of the field winding is connected in series with the
armature winding and the remainder is connected in parallel with the armature-series field wind­
ings. Compound motors have a starting torque and no-load speed that lie between the series motor
and the shunt motor. (10.3)
DC motor, moving coil: A dc motor in which the armature winding rotates in an annular space be­
tween the field pole on the outside and the iron core on the inside. The result is a motor with a
torque-to-inertia ratio several times greater than an iron-core armature motor. (10.3)
DC motor, pancake: A dc motor with a disk-shaped armature that achieves a high torque-to-inertia
ratio. (10.3)
DC motor, permanent-magnet: A de motor in which the field is provided by permanent magnets.
The speed of the permanent-magnet motor can be controlled by the armature voltage. making this
a popular motor for servo control systems. (10.3)
DC motor, separately excited: A de lIIuLur ill which the field winding and the armature winding are
excited by separate sources. The speed of a separately excited motor can be increased by either de­
creasing the field voltage or Increasing the armature voltage. (10.3)
DC motor, series: A dc motor In which the field winding and the armature winding are connected in
series. Series motors produce the highest starting torque and the greatest no-load speed of the four
types of de motors. (10.3)
DC motor, shunt: A dc motor in which the field winding and the armature winding are connected in
parallel. Shunt motors have a lower starting torque and a much lower no-load speed than a series
motor. (l0.3)
Field poles: The stationary part of a dc motor. (10.1)
Full-step operation: A movement of a stepper motor of one full step for each input pulse. See also
Half-step and Microstep operation. (10.4)
Half-step operation: A movement of a stepper motor of one-half step for each input pulse. See also
Full-step and Microstep operation. ([0.4)
Inverter: An electronic device that converts a dc voltage into an ac voltage. The frequency of the out­
put may be 60 Hz. or it may be variable over a specific range of frequencies such as 3 to 60 Hz.
(10.5)
Inverter, pulse-width-modulated (PWM): A vanable-frequency inverter that uses pulse-width mod­
ulation of a sequcnce of pulses to produce a fairly good approximation of a sine wave. (l0.5)
Inverter, variable-voltage (VVI): A variable-frequency Inverter that uses variable voltage pulses to
form a stairstep approximation of a sinusoidal voltage. (10.5)
Mlcrostep operation: A movement of a stepper motor of a fraction of a step for each input pulse. The
fraction is usually 1/10, 1/16. 1/32. or 1/125. See also Full-step and Half-step operation. (10.4)
Rotor: The cylindrical rotating part of an ac motor. (10.2)
Slip: The difference between the synchronuus speetJ and lhe actual rotor speed 01" an ac 1110tor. (10.2)
Stator: The stationary part of an ac motor. (10.2)
Stepping motor: An electric motor that transforms electrical pulses into equal increments of rotary
shaft motion called steps. (l0.4)
Synchronous speed: The spe.ed at which the field of an induction motor rotates. (10.2)

• EXERCISES

Section 10.1 10.2 Write a paragraph that explains the function of the
10.1 Imagine you are explaining how electric motors and brushes and commutator in a dc motor.
generators work to a friend who has little technical back­ 10.3 Explain what happens to the voltage at the output
ground. Write a paragraph that explains the two facts that terminals of a dc generator if the commutator is replaced
are the basis of the operation of motors and generators. by two slip rings. one for each end of the armature wind­
 • Chapter 10 Exercises 413

ing. Assume that one brush is in contact with each slip in Figure IO.7d. Explain what will happen when tbe motor
ring. is turned on.
10.4 Assume you are given the assignment of measuring 10.9 Determine the velocity and position transfer func­
the torque constant of five dc motors. Your company has a tions of an ac servomotor with the following data:
dynamometer for measuring the torque developed by a dc Rated voltage: 120 V
motor. The dynamometer is equipped with an ammeter for Load inertia: 15 X 10- 6 N . m . s2/rad
measuring the armature current and a tachometer for mea­ Load damping: 6 X 10- 6 N . m . s/rad
suring the motor speed. Using this equipment, you ob­ Stall torque: 0.12 N . m
tained the following data. Use your data to determine the No-load speed: 5000 rpm
torque constant, KT• of each motor in SI units of N . m/A.
Section 10.3

Torque Armature Current Speed 10.10 Explain dynamic braking and regenerative braking.
Motor 10 (N ·m) (A) (rpm) 10.11 Your results in Exercise 10.4 are based on the as­
sumption that the friction torque can be neglected in the
(a) ICST-5 0.108 2.0 4800 computation of the torque constant. Your follow up assign­
(b) E550-MG 0.0758 2.2 6500 ment is to measure the torque constants of the five dc mo­
(c) ICST-6 0.330 2.4 5000 tors, including the effect of the friction torque-review
(d) 8012·20 1.226 2.3 1000 Figure lO.12a, Equation (10.7), and Equation (10.8). Us­
(e) SX12-30 0.807 2.1 1600 ing a dynamometer, you obtained the following data. Use
your data to determine the torque constant, Kr. of each
10~'5 Convert the torque constants obtained in Exercise motor in SI units of N . m/A.
t 0;4 from SI units of N . m/A to English units of ozf .
in.j A lind Ibf· in.jA. T, ;", Tl ia2 Speed
10.6 Assume you are given the additional assignment of MotorID (N·m) (A) (N·m) (A) (rpm)
measuring the voltage constant of the five de motors in Ex­
ercise 10.4. The company's dynamometer can also be used (a) ICST-S 0.0480 1.0 0.1080 2.0 4800
to drive the motor with an open armature (ia = 0 A). With (b) ESSO-MG 0.0274 1.1 0.07S8 2.2 6500
an open armature, the armature voltage is the back emf, eb. (e) ICST..6 0.150 1.2 0.330 2.4 SOOO
Using the dynamometer in this way, you obtained the fol­ (d) 8D12-20 O.S44 1.2 1.226 2.3 1000
lowing data. Use your data to determine the voltage con­ (e) SX12-30 0.337 1.1 0.807 2.1 1600
stant, Kfj, of each motor in units of (Vjkrpm).

10.12 Compare the torque constants you obtained in Ex

Armature Voltage Speed e.rcise 10.4 with those you obtained in Exercise 10.11.
MotorID (V) (rpm) (;mnpute the percent difference as follows.
(a) ICST-5 30.1 4800 % difference
(b) E550-MG 29.9 6500 Kr(from Exercise 10.11) -- KT(from Exercise 10.4)
(c) ICST-6 78.5 5000 = I00 -'-':.........----:::-:-:::---=--~_:_::_:_:_:_---..:..
KT(from Exercise 10.11)
(d) S012-20 65.0 1000
(e) SX12-30 78.4 1600 10.13 Convert the torque constants obtained in Exercise
10.11 from SI units of N . m/A to Rnglish units of ozf·
in.jA and Ibf . in./A.
10.7 Convert the voltage constants obtained in Exercise
lOA from units of (V/krpm) to units of (V . s/rad). 10.14 An armature-controlled dc motor has the follow­
ing ratings:
Section 10.2 7f= 0.03 N·m
10.8 A three-phase induction motor has a rated torque of KT = 0.15 N· m/A
15 ft-Ib and is connected to a load that has a starting torque Imax = 2.4A
of 30 ft-Ib. The motor speed versus torque curve is given KE = 0.15 V· s/rad

:~ .
414 • Chap. 10 Electric Motors

Nmax := 5000 rpm

'TYpe: dc ceramic permanent magnet motor
R:= 0.80
Model No. SD 12-20
Determine the following: Rated voltage, Er (V) 90
(a) The maximum output torque No-load speed, No (rpm) 1386
(b) The maximum power output Maximum contmuous current, i max (A) 2.3
(c) The maximum armature voltage Continuous stall torque, Tmax (lb· in.) 12
(d) The no-load motor speed when e = Emax Friction torque, Tf(lb . in.) 1.8
10.15 The motor in Exercise 10.7 is operated at 3000 Voltage constant, Kg (V/krpm) 65
rpm with a load torque of 0.15 N . m. Determine the fol­ Torque constant, KT(lb· in./A) 5.49
lowing: Armature resistance, R (0) 11.30
(a) The armature voltage Armature inductance, L (mH) 30.0
(b) The armature speed if the torque increases to 0.30 Armature moment of inertia,
J", (lb . in..s2/rad) 0.007
N . m and the armature voltage is not changed
Armature viscous friction,
10.16 A dc motor has the following specifications:
Bm (lb . in.. s/rad) 0.003
'TYpe: dc permanent magnet motor
Model No. ICST-6 Convert the motor parameters to SI units and determine
Maximum operating speed, Wm.. (rad/s) 524 the full and simplified velocity transfer functions.
Maximum armature current, Imax (A) 2.4 10.18 Repeat Exercise 10.17, with the following manu­
Voltage constant, KE (V . s/rad) 0.15 facturer's specifications: t
Torque constant, KT (N . m/A) 0.15
Friction torque, 'Fj (N . m) 0.03
Armature ,resistance, R (0) 0.8 'TYpe: dc rare-earth permanent magnet motor
Armature inductance, L (H) 0.045 Model No. SX 12-30
Armature moment of inertia, Rated voltage, Er (V) 90
1m (N . m . s2/rad) 10.2E - 4 No-load speed, No (rpm) 1828
Armature VISCOUS friction, Maximum continuous current, I ma" (A) 2.1
Bm (N . m . s/rad) 1.2E - 4 Continuous stall torque, Tmax (lb· in.) 8.9
FrictIon torque, 1j (lb· in.) 1.59
Determine the following velocity and position transfer Voltngc constnnt, KJ:: (V/krpm) 49
functions. Torque constant, KT (lb . in./A) 4.16
(a) The voltage-driven motor Armature resistance, R (0) 5.10
(b) The simplified voltage-driven motor with Te neglected Armature inductance, L (mH) 9.00
(c) The current-driven motor Armature moment of inertia,
(d) The voltage-driven motor with the following speed­ I", (lb . in.. s2/rad) 0.0035
reducer and load specifications: Armature viscous friction,
Bm (lb· in.. s/rad) 0.004
NJ := 16 teeth
N2 = 48 teeth 10.19 The voltage-driven motor, speed reducer. and load
h = 7.6E - 3 N· m· s2/rad are shown in Figure 10.14. The transfer function for this
Bt, = 0.20E - 4 N . m . s/rad system is defined by Equation (10.29) which uses the total
inertia (Jr) defined by Equation (10.26). The inertia of the
10.17 The following specifications were obtained from two gears was ignored in Equation (10.26). Revise Equa­
a manufacturer's catalog:­ tion (10.26) so that it includes the inertia of the gears.

Servomotors, Baldor ElectrIC Company, Fort Smith, AR. tRare Earth D.C. Servomotors, Baldor Electric Company, Fort
Form #DB-210-A, 1986. Smith, AR, Form #DB-220-A, undated.
 • Chapter 10 Exercises 415

JNl = inertia of gear Nt Section 10.6

JN2 inertia of gear Nz
10.24 The SCR control in Figure 10.23 is to be used to
control a de motor with an armature resistance, R, of
Section 10.4 0.4 O. The feedback voltage, Ea must be 20% of the ar­
mature voltage, E, for proper operation of the control cir­
10.20 Extend Table 10.1 to include full steps from 6 cuit. A total value of 10 KO for RI and Rz is required. De­
through 20. termine the resistance values required for Rh Rz• and R3 .
10.21 Extend Table 10.2 to include half-steps from 11 10.25 Show that Equation (10.37) can be transformed
through 40. into the transfer function given by Equation (10.21).
10.22 Extend Table 10.3 to include microsteps from 11 10.26 Use Equation (10.45) to simplify the block dia­
through 40. gram in Figure 1O.23b. In doing this, a single block with a
Section 10.5 transfer function equal to Km replaces the two blocks with
transfer functions equal to R3 and R2/(R 1 + R2)' Derive the
10.23 Explain the voltage-variable inverter and the transfer function of the control system from your new
pulse-width-modulated inverter. block diagram.

.. - - .---- - . - - - .. -~.. --------~

PART FOUR
•
CONTROL

• CHAPTER 11 Control of
Discrete Processes

• OBJECTIVES

A discrete process consists of a series of distinct operations with a definite condition for initiating each
operation. When the series of operations has a beginning, an end, and a definite controlled form, the
process is called a sequential process or a batch process. Discrete process operations can be grouped
into two categories, thos!': whic.h lire initiated by time and those which &re initiated by (to event. We call
these categories time-driven and event-driven operations. The simplest discrete process consists of a sin­
gle output that has only two possible values (e.g., ON and OFF, high and low, hot and cold, etc.). More
complicated discrete processes consist of a numbet: of operations, and each operation may consist of a
number of distinct parts called steps.
The purpose of thiS chapter is to give you an entry-level ability to discuss, select, specify, and de­
sign discrete process control systems. After completing this chapter, you wilJ be able to complete the
following for a discrete process:
1. Statement list
2. Timing diagram
3. Sequential function chart
4. State chart
5. Ladder diagram circuit

•••• 417
418 • Chap. 11 Control of Discrete Processes

11.1 INTRODUCTION

Discrete processes occur in a number of different places. Home appliances use discrete
processes to wash dishes, to dry clothes, and to cook a frozen dinner. Manufacturing indus­
tries use a sequence of operations to produce discrete parts and assemble them into finished
products. The chemical industry uses a batch process in a chemical reactor to produce a def­
inite amount of a product. The food industry uses batch processes for operations such a.<; ster­
ilization, freeze drying, and extraction.
Some discrete processes are nonsequential in nature, consisting primarily of event-driven
operations. These processes are controlled by programmable logic controllers or by panels of
mechanical relays. However, most discrete processes are sequential, consisting of a combina­
tion of event-driven operations and time-driven operations. Depending on where they are used,
sequential, discrete processes are called sequential processes or batch processes. In the follow­
ing discussion, the term sequential process will include both sequential and batch processes.
A sequential process consists of a sequence of one or more operations (called steps) that
must be performed in a defined order. The completion of this sequence of steps creates a def­
inite amount of finished product. The product may be a discrete part, such as an automobile;
an amount of liquid, such as mouthwash; or an amount of solid material, such as sugar. The
sequence of operations must be repeated to produce more of the product. Sequential processes
have a set of directions that defines each step. (In food processing the set of directions is
called a rccipe; in computer programming it is called an algorithm). Most sequential
processes assemble specific parts or ingredients and process them according to the set of di­
rections. The processing may be drilling, punching, painting, cooking, blending, reacting, or
other operations that modify the product.
The steps in a sequential process can often be grouped into a few general operations, such
as preparation, loading, prucessing, unloading, and postpreparatioll. Each general operation
consists of many individual steps. Each step is a single event, such as opening a valve, start­
ing a motor. putting a controller on automatic control, and so on. The general operations are
sometimes called phases. In this book they will be called operations, and the individual parts
of an operation will be called steps.
In a strictly sequential process, each step must be completed before the next step can be
initiated, However, many actual processes include parallel operations that are not part of any
other operation. For example, high- and low-level switches may start and stop a pump to
maintain the level of liquid in a tank between two limits. The supply of liquid in the tank may
be part of a sequential process, but the control of the level is independent of the sequential
control of the process.
Auxiliary operations are another type of operation that is not included in the main se­
quential process. The auxiliary operation appears as one or two steps in the main process.
However, it consists of a number of steps that are not included in the main process. The aux­
iliary operation is usually initiated and terminated by steps in the main process and runs con­
currently with the main process. An example of an auxiliary operation is a continuous PID
controller used to control the temperature in a batch cooker. The main process includes steps
that switch the controller from manual to automatic and from automatic to manuaL The main
process may also include steps that adjust the setpoint of the controller to different values to
follow a prescribed time-verslls-temperature curve.
 • Sec. 11.2 Time-Driven Sequential Processes 419

Methods of describing a sequential process include statement lists, flowcharts, ladder di­
agrams, sequential function charts, state charts, process timing diagrams, and a mathematical
(Boolean) language. The statement list is an English-language list of actions that must be car­
ried out for each step. Aftowchart uses blocks to represent each step and lines to show the
path from step to step. A ladder diagram is an electrical diagram showing the connections be­
tween various contacts, relay coils, solenoids, motors, and so on. A state chart is a truth table
that shows the outputs produced by each step and is usually accompanied by a diagram or
chart that shows the transfer paths from state to state. The sequential function chart uses
blocks to represent each step and lines to represent the transitions from step to step. A process
timing diagram is a graph of the outputs plotted versus time. The mathematical language is
similar to a computer program. These methods will be used and explained at appropriate
points in the remainder of this chapter.

11.2 TIME-DRIVEN SEQUENTIAL PROCESSES

In a time-driven sequential process, each step is initiated at a given time, or after a given time
interval. The statement list and the process timing diagram are two methods used to describe
a time-driven process. You may recognize the following statement list from a popular prod­
uct found in every supermarket:
Microwave Instructions
STEP 1. Remove tray from carton and peel back film from one end to vent.

STEP 2, Place tray in microwave oven.

STEP 3. Cook 10 min on medium power (50%) or defrost.

STEP 4. Rotate! turn.

STEP 5. Cook 4 min on full power.

STEP 6. Let stand for 1 min.

STEP 7. Remove tUm and serve.

Figure 11.1 shows an instrumentation and piping diagram for a batch blending process.
This is another example of a time-driven sequentiaJ process. 1\vo liquid ingredients arc
blended and heated until they are warm and thoroughly mixecl. Then iii solid material is added
and the blending continues until the solid is complctcJy dissolved in the liquid mixture. Fi­
nally, the blended product is pumped to a bottling line. The mix.ture is heated during the
blending operation to facilitate the dissolving of the solid material.
The two flow controllers, FQC-I00 and FQC~ 101, deliver measured quantities of the two
liquid ingredients. Upon receiving a START signal from the sequential controller, FQC-l 00 and
FQC-lOl automatically deliver measured amounts of ingredients A and B to the mixing tank.
When done, the controllers automatically shut off. The temperature controller, TC·l 02, con­
trols the temperature of the contents of the blending tank. When the controller is in manual
control, control valve TV-I02 is turned OFF. When in automatic control, controller TC-I02
manipulates the steam flow rate to maintain the temperature of the blending tank contents at
the controller setpoint. The belt feeder is driven by an ac induction motor with an ac ad­
justable speed drive, SC-I04. The speed of the belt drive is adjusted by the operator to deliver

- - - - - - - - - - - - - - ; - - - - - - _....._ - . ---- --~.- .. - - -....- c - : - - - ­

420 • Chap. 11 Control of Discrete Processes

Ingredient Sohds
A ~upply

rr
feeder --i>\i:l\1
QV

.u_@_, 101 I
101

Ingredient
B ~upply

Blending tank

Steam
\upply

Sleam
return

Pump with vanable­

\peed ac mductlon molor

• Figure 11.1 Instrumentation and plpmg diagram for a batch blending process
This IS an example of a time-driven ~equentlal process.

the entire amount of solid material in slightly less than 5 min. The mixer and the pump are
also driven by induction motors with ac adjustable speed drives, SC-I05 and SC-I06. The fol­
luwing is a stalement lisL of the process.
Sracem~nt List of the Hatch Hlending Proc:ej'j' (Figure 11.1)
STEP I (4 min). Prepare the solid material and fill the solids feeder hopper with a mea­

sured amount of material.

STEP 2 (30 s). Press the START button.

STEP 3 (3 min). Fill the blending tank with a measured quantity of ingredients A and B.

STEP 4 (4 min). Heat and mix the contents of the blending tank (i.e .• ingredients A and B).

STEP 5 (5 min). Gradually deliver solid material from the hopper to the blending tank.

Continue to heat and mix the contents of the blending tank.

 • Sec. 11.3 Event-Driven Sequential Processes 421

Operallons
Steps
I Preparation
I
I21
Filling
3
Heating
4
Blendmg
S 61
Draming
7
I I I
On I
Start
Off I

~§r:!
Fill solids
hopper
Ingredient A
Row rate

::I
IngredIent B
flow rate
Mixer
molor Off
I
I
PIO temperature Auto I I
controller Manual i
Solids feeder On I
motor orf
Pump On
motor Off
I I J I I. t I I I I I I I I
o 4 7 II I7S 22
TIme, minutes

• Figure 11.2 Process timing diagram for the batch blending process In Figure 11.1.

STEP 6 (1.5 min). Continue to heat and mix the contents of the blending tank.
STEP 7 (4.5 min). Pump the contents of the blending tank to the bottling line.

Figure 11.2 shows the process timing diagram for the batch blending process. Notice that
the process is divided into five operations: preparation, filling, heating, blending, and drain­
ing. The filling and blending operaliuIls ~ach have two steps. The other operations each have
only one step. Batch processes often have several steps for each operation.

11.3 EVENT-DRIVEN SEQUENTIAL PROCESSES

In an event-driven process, each step is initiated by the OCCUfl'ence of an event. The event may
be a single action, such as an operator pressing a pushbutton, the closing of a limit switch, the
opening of a pressure switch, or some other action that causes a switch to open or close. The
event could also be a combination of several actions, For example, the event may consist of
the simultaneous occurrence of several actions, wilh lhe contacts for each action connected in
series. The event may also be the occurrence of anyone of several actions, with the contacts
for each action connected in parallel.

The action-causing event in a sequential process is detennined by an interconnection of one or

more contacts. The event has occurred when there is a closed path through this interconnection
of contacts.
422 • Chap. 11 Control of Discrete Processes

The ladder diagram is a very popular graphical method of describing an event-driven

process. It was developed to represent systems consisting of switches, relays, solenoids, mo­
tor starters, and other switching components used to control industrial machinery. The ladder
diagram is very easy to learn and very logical in its interpretation. Only one rule is required
to understand a ladder diagram: When there is a closed path through a relay coil from one side
to the other side, the coil will close its associated contacts. The ladder diagram got its name
from its general appearance-it looks like a ladder. A ladder diagram consists of two vertical
lines and any number of horizontal circuits that connect the two vertical lines. The horizontal
circuits are called the rungs of the ladder diagram. The ladder diagram in Figure 11.3 has
three rungs.
Each rung in a ladder diagram defines one operation (or step) in the process. A rung has
two parts: an input section and an output element. In the top rung in Figure 11.3, the series
connection of the two limit switches (LS t and LS2) is the input section, and relay coil CRt
is the output element. Both limit switches must be closed to energize coil CRt. When CRl is
energized, all normally open (NO) contacts labeled CRt will close, and all normally closed
(NC) contacts labeled CRI will open. These contacts may appear in any rung in the ladder di­
agram. The name CRl is used to associate a contact with the coil that operates the contact.
In the middle rung, the parallel combination of the level switch (LVI) and the pressure
switch (PSI) is the input section, and solenoid A is the output element. If either LVI or PSI
closes, solenoid A will be energized. In the bottom rung, the input section is the parallel/se­
ries combination of contacts A, B, and CR 1, and solenoid B is the output element. Solenoid
B is energized when the following expression is true: (A OR B) AND NOT CRt.
Boolean equations are another method of representing the rungs in a ladder diagram. The
following Boolean equations represent the three rungs in the ladder diagram in Figure 11.3.
CRl LSI AND LS2
Sol. A = LVI OR PSI
Sol. B = (A OR B) AND NOTCRI

Ll L2

LSI LS2
4>---0... ~)--------1CRI

Sol A

PSI

SolB

B
• Figure 11.3 This ladder diagram has three
rungs, cuch controlling on(', operation (or f.t~p)
in an event-dnven sequential process.
• Sec. 11.3 Event-Driven Sequential Processes 423

The hydraulic hoist in Figure 1104 is an example of an event-driven control system. The
schematic diagram shows the physical configuration, and the ladder diagram defines the se­
quential control system. The ladder diagram consists of six rungs between line Ll and line L2.
Each rung consists of two or more switches or contacts on the left and a single operational el­
ement on the right. The operational element is turned on whenever there is a closed path
through the rung from Ll to L2 (i.e., whenever all switches and contacts in the rung are closed).
The STOP symbol represents a normally closed pushbutton that is open only when some­
one is pressing the STOP button. The START, UP, and DOWN symbols represent normally open
pushbutton contacts that are closed only when someone is pushing the appropriate button. The
circle labeled 1M is the coil of a relay used to start the pump motor. The three contacts la­
beled 1M are open when coil 1M is OFF (deenergized), and they are closed when coil 1M is
ON (energized). The circles labeled ICR and 2CR are the coils of two control relays. Each
control relay has one normally open contact and one normally closed contact. The normally
open contacts are open when the coil is deenergized and closed when the coil is energized.
The normally closed contacts are just the opposite, closed when the coil is deenergized and
open when the coil is energized.
The devices labeled Sol a and Sol b in the ladder diagram are the two coils of the three­
position four-way solenoid valve in the schematic diagram. The valve symbol consists of
three position blocks located bctwecn the two coils. Each position block shows its method of
connecting the four ways (the two lines on each side of the valve). The valve is shown in the
position it occupies when both coils are deenergized. When Sol a is energized, the valve
moves up one block, placing the bottom position block in 1ine with the four ways. When Sol
b is energized, the valve moves down, placing the top position block in line with the four
ways. The ladder diagram includes an interlock feature that prevents simultaneous energizing
of both solenoids.
The hydraulic hoist system ill tumen ON by pressing the START button. This completes the
path through coil 1M, so coil 1M ill energized and aU three contacts labeled 1M are closed.
When the operator releases the START button, the 1M contact direct1y below the START button
maintains the closed path and coil 1M remains energized. A contact used in this way is called
a holding contact. The second 1M contact turns ON the pump motor, and the third tM contact
activates the bottom half of Ll. The operator can tum the hoist OFF at any time by pressing
the STOP button. This will deenergize coil 1M and open the three 1M contacts. When the op­
erator releases the STOP button, coil 1M remains OFF becaus~ bolh the START contact and the
holding contact are open. This pushbutton and holding contact arrangement is a standard
method of starting electric motors.
When the hoist is turned ON, the bottom half of L1 is activated, and the operator can use
the UP and DOWN pushbuttons to operate the hoist. When the operator presses the UP button,
relay I CR is energized, the normally open 1CR contact closes, and Sol a is energized. In the
schematic diagram, the solenoid valve moves up because Sol a is energized. This connects the
pump supply line to the bottom end of the cylinder and the top end of the cylinder to the re­
turn line. The pump forces hydraulic fluid into the bottom end of the cylinder and the piston
moves up, raising the platform and its load. When the operator releases the UP button, the
valve returns to its normal position, blocking both sides of the cylinder and locking the cylin­
der in its current position. When the operator presses the DOWN button, the platform moves
down in a similar manner.
 Hydraulic
cylinder

Electric motor Hydraulic pump

a) Schematic diagram

II IIS.v AC. single-phase L2

Fuse
FI

1M

1M
Up
-L
1M

I CR Sol a

2 CR Sol b

. b) Ladder diagram

• Figure 11.4 Event-driven sequential control system for a hydraulic hoist.

424
• Sec. 11.3 Event-Driven Sequential Processes 425

In summary: The platform goes up when the UP button is pressed, goes down when the
DOWN button is pressed, and remains stationary when neither button is pressed. If the UP but­
ton is pressed when the cylinder is at the top, a relief valve (not shown) provides a direct path
from the pump outlet to the tank. The same is true if the DOWN button is pressed when the
cylinder is at the bottom. In addition, the system is interlocked so that both solenoids cannot
be energized at the same time.

Automated Drilling Machine Example

The automated drilling machine in Figure 11.5 will be used as an example for a study of
event-driven sequential processes. The drilling machine consists of an electric drill mounted
on a movable platform. A hydraulic cylinder moves the platform and drill unit up and down
between a Drill Reset position (up) and a Hole Drilled position (down). Limit switch LSI is
actuated when the drill platform is in the Reset position. Limit switch LS2 is actuated when

Sol. A
Hydraulic
cylinder Hydraulic pump

Drill ~~iEliim- Fluid tank

motor Sol. B

~~=~~;,-,p:~:J- Moveable. platform

LSI Chuck
Dnll bIt

Ai
A~
View A-A
Pneumatic

LSS l-)
cylinder

Sol C Y
-~~~
AIr supply Workpiece ~

' U.. J<L£!I~ Sol. D

Air supply
Exhaust

• Figure 11.5 An automated drilling machine is an example of an event-driven

sequential process.
426 • Chap. 11 Control of Discrete Processes

the drill platform is in the Drilled position. Notice that the term actuated is used instead of
the term closed. The reason is that limit switches have both normally open and normally
closed contacts. Actuating a limit switch closes the normally open contacts and opens the nor­
mally closed contacts.
A stationary table supports the part (called the workpiece) in which a hole is to be drilled.
The table has a hole in line with the drill bit, so the workpiece can be drilled clean through if
desired. A single-action spring-return pneumatic cylinder clamps the workpiece against a
bracket that is bolted to the workpiece table. Limit switch LS3 is actuated when the clamp­
ing cylinder is in the Unclamped position. Limit switch LS4 is actuated when the clamping
cylinder is in the Clamped position.
A double-acting pneumatic cylinder ejects the workpiece after the hole is drilled. The
ejector cylinder is oriented 90° from the clamping cylinder, so the workpiece slides along the
clamping bracket as it is ejected. Limit switch LS5 is actuated when the cylinder is in the
Ejector Retracted position. Limit switch LS6 is actuated when the cylinder is in the Ejected
position.
Three solenoid valves are used to control the cylinders. A hydraulic three-position four­
way valve controls the hydraulic cylinder. When the pump is running and solenoid A is ener­
gized, the cylinder will move the platform down. When solenoid B is energized, the cylinder
will move the platform up. When neither solenoid is energized, the valve returns the fluid to
the supply tank and the platform is stationary. A two-position three-way pneumatic valve con­
trols the clamping cylinder. When solenoid C is deenergized, the cylinder is vented and the
spring returns it to the Unclamped position. When solenoid C is energized, the air supply is .
port~d to the cylinder and it moves to the Clamped position. A two-position four-way valve,
controls the ejector cylinder. When solenoid D is deenergized, the ejector is forced into the
Retracted position. When solenoid D is energized, the workpiece will be ejected as the cylin­
der moves to the Ejected position.

Sequential Function Chart

The first step in the design of a sequential control system for the dri1ling machine is t.o pre­
pare a diagram .or chart that de.$cribes rhe operatlom: in t.he process. The sequential runctiull
chart shown in Figure 11.6 is an example of such a diagram. It uses a box to represent each
step in the pr.ocess. A double b.oX is used f.or the first step in the cyr.le. The progression is from
top t.o bDttom, in order .of the numbers of the steps. Arrows are nDt required tD shDw the di­
rection of the H.oW and are not used. A rectangular box on the right is used to describe the op­
eration performed in each step. The c.ondition for advancing t.o the next step is written next to
the horizontal lines that cross the transfer path between two steps. For example, in the first
step, the system waits for an operat.or t.o press the START button. The conditiDn fDr advancing
to step 2 is for an operator t.o press the START button. When this is done, we say that START is
true and has a value of l. When the START button is not pressed, we say that START is false and
has a value of zero.
The sequential function chaIt has a provision for simultaneous sequences on parallel
paths. A pair of horizontal I ines just above the parallel paths indicates simultaneous activation
of all the paths. Another pair of horizontal lines near the botlom indicates the simultaneous
completion of all the paths. Each pair includes a wait step just above the lines, indicating si­

--~---------------c--- - - - - - _......._ ­
• Sec. 11.3 Event-Driven Sequential Processes 427

START ALL
0 MOTORS

CO.I = RESET

0 WAIT FOR
START

CI.2 = START
CLAMP WORK­
2
PIECE

C23 = CLAMPED
3 DRILL WORK­
PIECE (DOWN)

C3.4 = HOLE DRILLED

RESET DRILL
4 (UP)

C4.S = DRILL RESET

RELEASE
S CLAMP

C5.6 = UNCLAMPED

FJECTWORK·
6
PlECE

RESET
FJECTOR
• Figure 11.6 Sequential function chart for
the drilling machine in Figure 11.5.

multaneous completion. Between the simultaneous start and the simultaneous completion,
each paLh completes its operations independently of all the other paths. Parallel operations of
this type are common in manufacturing workstations.

State Chart
A state chart is a truth table showing the condition of each output at each step in the cycle.
The condition of the output is indicated by an X if the output is ON or nothing if the output is
OFF. (Sometimes a 1 is used in the place of the X and a 0 in place of nothing.) Table 11.1 is
an example of a state chart.
428 • Chap. 11 . Control of Discrete Processes

• TABLE 11.1 State Chart for the Drilling Machine in Figure 11.5

Step No. SoLA Sol. B SoLe Sol. D Motors

0
I x
2 x x
3 x x x
4 x x x
5 x
6 x x
7 x

Process Timing Diagrams

A process timing diagram similar to Figure 11.2 can be used to describe an event-driven
process. The major difference is that the timing diagram for an event-driven process uses an
arbitrary time scale. whereas the timing diagram for a time-driven process uses a real-time
scale. The timing diagram is a very useful tool for analyzing and designing an event-driven
sequential process. It gives the designer a clear picture of the sequence in which the various
inputs and outputs occur. In particular, it clearly shows the inputs and outputs whose values
change during a particular step. The designer may need this information to determine whether
or not a holding contact is necessary to complete an action initiated by a condition that
changes before the action is completed. Figure 11.7 is the timing diagram for the drilling ma­
chine in Figure 11.5. The 0 level in the timing diagram indicates that the device is deactivated
or deenergized. The 1 level indicates that the device is activated or energized.

Sequential Circuit Design

This section presents a step-by-step procedure for the design of an event-driven sequential cir­
cuit. The purpose is to illustrate the design procedure and to obtain a finished ladder diagram
that is easy to follow. The design does not attempt to minimize the number of relays and con­
tacts that are used. With microcomputers and programmable logic controllers (PLCs) provid­
ing the control function. the number of relays and contacts is not a significant cost factor. It
is usually more cost-effective if the design and its documentation are easy to understand,
maintain, and modify than it is to reduce the number of components in the controller. The next
example does, however, illustrate a design that uses fewer components.
The basic concept of the design is the use of a control relay for each step in the process.
When the process is in a given step. the control relay associated with that step is energized
and all other relays are deenergized. We say that each control relay represents a "state" of the .
controller. There is a one-to-one correspondence between steps in the process and states of
the controller, and the step numbers are used to identify the states. When the operator presses
the RESET button (or the control system is automatically reset), relay CRI is energized and all
other relays are deenergized. The controller is in STEP 1, waiting for the START command.
When the operator presses START, the controller moves to STEP 2 by energizing CR2 and deen­
ergizing CRt. When STEP 2 is completed, the controller waits for the occurrence of the con­
• Sec. 11.3 Event-Driven Sequential Processes 429

Slep No. 0 I 2 3 4 5 6 7 ,
Reset

Start
0
I
1
0
I
n
,
LSI
0 I
I
LS2
0 l
i
.s I
LS3 I
0
I
LS4
0
I
I
LS5 I
0
LS6
I
0
1
ru
SoIA i
0
I
Sol. B
0
i Sol. C
I
~ 0
I
Sol. D
0
Motors I
0
Time (arbitrary scale) ..
• Figure 11.7 Proce&& t1mlTIg diagram for the drilling machine in Fi'gure 11.5.

dition for transition from STEP 2 to STEP 3. When the transition condition occurs, the controller
muves to STt!Y 3 by energizing CR3 and deenergizlng CR2. This process of muving fruili slep
to step continues until the controller is back at STEP 1 and the cycle has been completed.
Each state in the controller consists of one rung in the controller ladder diagram. The
general form and one specific example of these "state" rungs are shown in Figure 11.8. Each
rung begins on the left with a normally closed contact from the control relay for the next state.
This NC contact opens when the advance to the next state is made. Its purpose is to tum OFF
the previous state. Otherwise, the cunlroller wuuld end up with all states energized at the end
of the cycle. Next comes a parallel section. The bottom branch of the parallel section contains
the holding contact. The top branch establishes the transition condition. The transition func­
tion is of the following form:
STATE j = STATE i AND CONDITION i.j
430 • Chap. 11 Control of Discrete Processes

CR.
1'"----­
1 :
t----Y1-...--I H CIj !-I --IP--t
L
I ___ .J1

Step J
al Step J ladder rung

CR~~o--r--<.
CR3
CR2

CRW .

• Figure 11.8 The rungs that establish the

steps m a sequential control circuit have the
b) Step 2 ladder rung general form shown above.

The AND represents the logical and operator. CONDITION Lj is the condition required to move
from STATE ito STATEj. In essence, the transition function states that arrival at STATEj depends
on two things. First, the controller must be in STATE i (i.e., the previous state). Second, the con­
dition for the transition from STATE i to STATE j must be true. If these two conditions are satis­
fied, the controller will move to STATE j, and relay CRj will be energized.
Figure 11.8b shows the ladder rung for STATE 2. The condition for moving to STATE 2 is
(1) the controller is in STATE 1, and (2) the START button is pressed. We will use Cl.2 to rep­
resent the condition for transfer from STATE I to STATE 2. It is obvious that C 1.2 is described
by the following expression.
Cl.2 = START

The design process consists of the following steps:

1. Define the process. A piping and instrumentation drawing or a schematic diagram is
an excel1ent method of graphically defining the process.
2. Define the step (states J. The sequential function chart and the state chart are two meth­
ods of documenting the steps in the process.
3. Define lhe iflpul arid output conditions. The input and output conditions should be de­
fined for each step in the process. Any values that change during a step should also be
noted. The timing diagram is an excellent method of graphically defining the input
and output conditions.
4. Define the transition conditions. The transition conditions are the CLj terms that de­
fine the condition for a transition from one state to the next state. They determine the
transition portion of the circuit in the ladder rung for each state (or step). The timing
diagram is an excellent tool for developing the transition conditions. The following
equation defines the condition for transition from STEP 2 to STEP 3:
C2.3 = CLAMPED = LS2
 • Sec. 11.3 Event-Driven Sequential Processes 431

5. Define the output functions. The output functions are Boolean equations that define
each of the output elements. The following output function defines solenoid A to be
energized only during STEP 3.
Sol. A = STEP 3
6. Construct the controller ladder diagram. The controller ladder diagram has a rung
similar to those in Figure 11.8 for each step in the process.
7. Construct the output ladder diagram. The output ladder diagram consists of a rung for
each output element in the process. The output function defines the input section of
each rung.
8. Document the design. The design documentation is a collection of the charts and dia­
grams described in design steps 1 through 7.
The first three steps of the design process have already been done. Figure 11.5 and the
accompanying discussion covered step 1. The sequential function chart in Figure 11.6 and the
state chart in Table 11.1 are the culmination of design step 2. The timing diagram in Figure
11.7 covers step 3. The remaining design steps follow.
Design Step 4. Define the transition conditions. The timing diagram in Figure 11.7 is
most useful in determining each transition condition. Look for an input signal that changes
exactly at the boundary between the present state and the next state. The signals are usually
from some type of switch. Usually, there is only one signal that changes at the boundary and
the choice is obvious. Occasionally, there will be more than one input that changes at the
boundary and an arbitrary choice must he made. The following transition conditions were de­
termined from an examination of Figure 11.7:
CO'] = RE.."lBT

Cl.2 = START

C2.3 = LS4
C3.4 = LS2
C4.5 = LSI
CS.6 = LS3
C6.7 = LS6
The function of the limit switches is obvious from the preceding set of transition conditions.
It is also obvious that all six switches are required.
Design Step 5. Define the output functions. The output functions are obtained from either
the timing diagram or the state chart. Examine each output and list all the steps during which
a particular output is energized. The output function for that output is the logical OR of al1
the steps for which it is energized. The following output conditions were determined from an
examination of Pigure 11.7.
Sol. A = STEP 3
Sol. B = STEP 4
Sol. C = STEP 2 OR STEP 3 OR STEP 4
Sol. D STEP 6
Motors

- - _....._ - - - - - - - - ._ .._ ..... - - - - - - - _ .... - - ­

.- .
432 • Chap. 11 Control of Discrete Processes

The last output requires additional explanation. The motors are started by a START MOTORS
pushbutton during STEP O. From STEP 0, a RESET signal puts the controller into STATE 1 (or STEP
I). The control circuit is not involved in the starting or stopping of the two electric motors.
Figure 11.9 shows the main power and motor starting circuit. The 110-V output of the trans­
former provides the electrical power for the control circuit (lines 2 and 6 in Figure 11.9) and
for the output circuit (lines 1 and 7 in Figure 11.9).
Design Steps 6. 7. and 8. The results of design steps 6 and 7 are shown in Figure ILl 0
(the control circuit) and Figure 11.11 (the output circuit). Design step 8 consists of the fol­
lowing:
The schematic diagram (Figure 11.5)
The sequential function chart (Figure 11.6)
The state chart (Figure 11.1 ) (optional)
The timing diagram (Figure 11.7)
The transition conditions
The output functions
The main power and motor control diagram (Figure 11.9)
The control system ladder diagram (Figure 11.10)
The output ladder diagram (Figure 11.11)

Hydraulic

pump motor

'I Di~conneci 3 hp 1800 rpm

I 1M
LI
I
440 V I
L2 1M Doll
---0 'I'0--..,1 motor

3phase I
L3 I hp IROO rpm

- - - 0 ~----11
60 Hz OL

110 V
F3 F4
PBI PB2
MaMer SIan mOIOI'lo
SlOp
--L 7
To To solew,lId
\olenOid circUli
CirCUlI
Step 0 TeRM TeRM
2 6
To control To control
circUlI circUIt

• Figure 11.9 Mam power and molor control circUit for the drilling machine in Figure 11.5.
 • Sec. 11.3 Event-Driven Sequential Processes 433

PBJ
2 Reset 6
-'­
CR2
Step I

CRJ
Step 2

CR4
Step J

CR5
Step 4

CR6
Step 5

CR7
Step 6

CRt
Step 1
• Figure 11.10 Control circuit for the
drilling machine in Figure t 1.5.

An Alternative Design

Figure 11.12 shows an alternative design for the drilling machine controller. This design re­
duces thc number of relays from seven to five (four if CR4 and TDI can be combined into a
single time-delay relay). However. the design of the controller is more empirical than the pre­
vious design. An empirical design is similar to working a puzzle. The designer 'keeps trying
different combinations until a design that works is found. In testing different ideas, the de­
signer develops a "feel" for the process that helps to develop a satisfactory design.
In the alternative design, the process is divided into two major operations: drilling and
ejection. The drilling operation consists of three steps. New STEP 1 is a combination of STEP
1 and 2 from the original design. New STEP 2 is old STEP 3, and new STEP 3 is old STEP 4. The
ejection operation is divided into two steps: the first step in ejection is old STEP 5; the second
434 • Chap. 11 Control of Discrete Processes

CR3 Sol. A Drill down

CR4 Sol B Dnll up

CR2

CR3 Sol. C Clamp

CR4

CR6 Sol D
• Figure 11.11 SolenOId circuit for the
drilling machine in Figure 11.5.

step is a combination of old STEP 6 and 7. Actually, old STEP 7 is ignored and old STEP 6 is ac­
complished by a time-delay relay.
In an empirical design such as Figure 11.12, it is especially important to carefully exam­
ine a timing diagram of the control relays. Figure 1J.13 shows such a diagram. A good way
to check the design is to imagine that you are the controller, and walk through the operations
for a complete cycle. The following is an example of a walk-through of the design in Figure
11.12 using the timing diagram in Figure 11.13.
The main power and motor control circuit is the same as in the original design. We be­
gin in STEP 0 with the motors nmning and the ejector retracte.d (LS5 actuate.d). When the op­
erator presses the START switch (Figure 11.12), CR1 is energized, and the CRt holding con­
tacts (in parallel with the START switch) close, and holding relay CRl is energized. The
controller is in the drilling operation. A second CRt contact energizes solenoid C, which
causes the single acting air cylinder to clamp the workpiece.
When the workpiece is clamped, LS4 is actuated and relay CR2 is energized. A CR2 con­
tact doses to energize solp.noicl A, cfllIsing thr: hyrlffllllir: r:ylincl~r to moVf~ the drill platform
down to drill a hole in the workpiece.
When the hole is drilled, switch LS2 is actuated. This opens the normally closed LS2
contact in the CR2 rung and closes the normally open LS2 contact in the CR3 rung. The re­
sult of these actions is that CR2 is deenergized and CR3 is energized. The CR3 holding con­
tact is necessary because LS2 does not remain closed. When CR3 is energized. a CR3 con­
tact doses to energize solenoid B. Thil'l caul'les the hydraulic cylinder to move the platform uP.
and LS2 soon becomes deactuated. The CR3 holding contact keeps the platform moving up
until it reaches the drill reset position.
When the platform reaches the drill resct position, LS I is actuated and relay CR4 is en­
ergized. The normally dosed CR4 contact in the top rung opcns, and coils CRl and CR3 al'(\
deenergized. The. controller has moved from the drilling operlltion to the ejection operation.
 • Sec. 11.4 TimejEvent-Driven Sequential Processes 435

2 6 7
Stan
CR4 ..L LSS Old
~~~'-~c.~~'-------------~ steps I
and 2

Old
step 3

LS2
Old
o-""""""..--~ step 4
CR3

LS6
Old
step 5

Old
steps 6
CR2 Sol. A and 7

CR3 SoI.D

CRI Sol. C

TOI Sol. D

• Figure 11.12 This alternative control circuit for the drilling machine ID Figure
11.5 uses fewer componems lhanlhe circuit in FIgure 11.10, but the design ot'the'a1­
ternative cIrcuit IS more empIrical and may have some unexpected problems.

The ejection operation begins when CR4 is energized and time-delay relay TDl begins a
time delay. After the time delay, delayed TDI contact closes and energizes solenoid D. The
time delay allows the clamp to retract before the ejector removes the workpiece.
When the workpiece is ejected, LS6 is actuated, deactivating both CR4 and TDl. This
ends the ejection operation. The controller is ready for another cycle as soon as the ejector is
retracted and LS5 is actuated.

11.4 TIME/EVENT-DRIVEN SEQUENTIAL PROCESSES

Many discrete processes have both time-driven and event-driven operations. Batch processes,
for example, are usually time/event-driven sequential processes. The following statement list
describes a reaction and blending process that will serve as an example of a time/evenl­
driven sequential process.
436 • Chap. 11 Control of Discrete Processes

Step No 0 I 2 3 4 5 0

Start 0
I
n
Sol. C (clamp)
1
CRI 0

I
l Sol. AJ
(drill down)

CR2 0
Sol. B
(drill up)
I
CR3 0

1
CR4 0 Sol. D
(eject)
I
TDI 0

Clamping Time Ejecting

lime delay of time
TDI

• Figure 11.13 Timing diagram for the control circuit in Figure 11.12.

Statement List for a Reaction and Blending Process

STEP I: Prepare (nominal time '= 3 min)
a. Operator prepares ingredient A
h. Operator prepares ingredient B
c. Wait for START PO to close
STEP 2: Charge (nominal time = 3 min)

a. Initil1t~cl wh~n otremtor pre~ReR START PH

b. Ingredient A flow rate = 80% of FS
c. Ingredient B flow rate = 65% of FS
d. Mixer turned ON·-stays ON until beginnmg of drain operation
e. Level increases from 0 to 70%
STEP 3: Reaction (exact time = 8 minutes)
a. Initiated when level = 70%
b. Ingredient A flow rate =0
c. Ingredient B flow rate =0
d. Temperature controller set to AUTo-stays in AUTO until end of blend operation
STEP 4: Blend (exact time = 6 minutes)
a. Initiated 8 min after start of reaction operation
b. Ingredient C flow rate = lO Ib/min until total flow Q = 40 Ib
c. Level increases to 95%
• Sec. 11.4 Time/Event-Driven Sequential Processes 437

STEP 5: Cool (nominal time == 3 min)

a. Initiated 6 min after start of blend operation
b. Temperature controller set to MANUAL
c. Cooling water ON
STEP 6: Drain (normal time == 3 min)
a. Initiated when T = 60°
b. Cooling water and mixer OFF
c. Pump ON
d. Terminated when level = 0%

Prep. Charge Reaction Blend Cool Drain

On
Slart PB Off M 1"'-8 min- ~6mm ....

Prepare Ingredient A n
Prepare Ingredient B

100
U­
Ingredient A Row rate 0
100
Ingredient B Row rate 0
If'Level = 70%
100
Level
On
0
Leve~
Mixer on Off
20
Mixer current. A 0 ~

Auto.
lIeat on (PID) Man.
T"'" 6Q°C
200
V I~ ~
MIx temperature. ·C 0

100
,Q = 40 Ib

Ingredient C flow rate 0 1

On
Cooling on Off
On
Pump on Off
-3 o 5 10 15
Nominal time. mmutes

• Figure 11.14 Process tlmmg diagram for the example reaction and blendtng
process. This process has both time-driven and event-driven operations.
438 • Chap. 11 Control of Discrete Processes

Figure 11.14 is the process timing diagram for the reaction and blending process. The tran­
sition times in the diagram are nominal times. The actual transition times may occur before or
after the nominal times. A large dot marks the transition signal or condition. There are four
event-driven transitions and two time-driven transitions. The START PB, two level switches, and
a temperature switch provide the event-driven transitions. 1\vo time-delay relays provide the
time-driven transitions. The following is a summary of these switching devices.
START PB normally open pushbutton switch
LS I level switch set at a level of 70%
LS2 = level switch set at a level of 0%
TS I = temperature switch set at 60°C
TO1 time-delay relay set for a delay of 8 min
T02 = time-delay relay set for a delay of 6 min
All switches have a normally open contact and a normally closed contact. The delays in TO 1
and T02 occur when the coil is energized; they also have a normally open contact and a nor­
mally closed contact.
Ingredients A and B are controlled by PI flow controllers set at 80% and 65% of full
scale, respectively. The charge operation consists of filling the blending tank up to the 70%
full mark. When the 70% level is reached. the PI controllers are turned off and the flow of in­
gredients stops.
The reaction operation has a duration of exactly 8 min, determined by time-delay relay
TOt The PID temperature controller raises the temperature of the contents of the blending
tank to 200°C and holds it there until the end of the blending operation. The blending opera­
tion has a duration of exactly 6 min, determined by time-delay relay T02. The ingredient C
flow controller determinefio hoth [he ftow fare of ingredient C and the total amount of ingredi­
ent C that is delivered to the blending tank. The flow rate of ingredient C is 10 Ih/min; the to­
tal quantity delivered is 40 lb. The ingredient C controller turns itself OFF as soon as it deliv­
ers 40 Ib to the blending tank.
The cool operation sends cool water through a coil to cool the contents of the blending
tank. The cool operation ends as soon as the temperature in the blending tank reaches 60°C .

• GLOSSARY

Batch process: See Discrete process; Sequential process. (11.1)

Rooll'.an eqnations: A mathematical method Qf representing the rungs in a ladder diagram. (11.3)
Discrete process: A series of distinct operations with a definite condition for initiating each opera­
tion. If the series of operations has a beginning, an end, and a definite controlled fnrm, the process
is called a sequential process or a batch process. (11.1)
Event-driven process: A sequential process in which each step is initiated by the occurrence of an
event. (l1.3)
Flowchart: A diagram that uses blocks to represent the steps in a sequential process and lines to show
the path from step to step. (11.1)
Ladder diagram: An electrical diagram that shows the connections between various contacts, coils,
solenoids, motors, etc. in a sequential process. The ladder diagram got its name from its general
appearance-it looks like a ladder. (ll.l)

--~- ...........
-~
 • Chap. 11 Exercises 439

Operation: A major step in a sequential process such as preparation, loading, processing. etc. An op­
eration consists of one or more parts called steps. (11.1)
Operatiol18, auxiUary: An operation that is initiated and terminated by steps in a sequential process
but operates concurrently with the main process. A PID controller is an example of an auxiliary op­
eration. (11.1)
Operations, parallel: Operations in a sequential process that occur at the same time. (11.1)

Output functions: Boolean equations that define each output element in a sequential process. (11.3)

Process timing diagram: A graph of the outputs of a sequential process plotted versus time. (1Ll)

Sequential function chart: A diagram that uses blocks to represent each step in a sequential process

and lines to represent the transition from step to step. (11.])

Sequential process: A sequence of operations that must be performed in a defined order to make a
definite amount of finished product or to perform a definite amount of work. (11.1)
State chart: A truth table that shows the condition of each output in a sequential process at each step
in the cycle. The state chart is usually accompanied by a diagram or chart that shows the transfer
paths from state to state. (11.1)
Statement list: An English-language list of the actions that must be carried out in each step of a se­
quential process. (1Ll)
Steps: The individual parts of a sequential operation. (11.1)
Time-driven process: A sequential process in which each step is initiated at a given time or after a
given time interval. (11.2)
Transition conditiol18: The condition for a transition to occur from one state to another state. (11.3)

• EXERCISES
Section 11.1 STIlP 1; (1 to 3 s) Press START switch.
STBP 2: (30 s) Drain valve CLOSED, ready light OFF, wa­

11.1 Write a paragraph that describes something from

ter valve ON, delay 30 s.

your own experience that fits the definition of a sequential

process. Some possibilities are driving to work or school, STEP 3: (H5 s) Syrup valve ON, agitator ON, water valve

preparing a meal, taking a shower, the operations of a car remains ON, delay 85 s.
wash, etc. STEP 4: (175 s) Syrup valve OFF, solids feeder ON, wa­
ter valve and agitator remain ON, delay 1758.
STEP 5; (175 s) Solids feeder OFF, water valve OFF, ag­
Section 11.2 itator remains ON, delay 115 s.
11.2 Draw a process timing diagram similar to Figure STEP 6: (l15 s) Drain valve OPBN, agitator remains ON.

2.7 for the microwave instructions in Section 11.2. Esti­ delay 115 s.

mate times for STEPS I, 2, 4, and 7. STEP 7: (2 s) Agitator OFF, ready light ON, water and

11.3 Find another example of a statement list similar to syrup valves remain 01'1'. Return to initial condition.
the microwave instructions in Section 11.2. Draw a Draw a process timing diagram from this statement list.
process timing diagram similar to Figure 2.7 for your U.S A batch blending process consists of a blending
statement list. tank that mixes five liquid ingredients. The ingredients are
11.4 The industrial blending process shown in Figure designated as A, B, C, D, and E. Each ingredient is con­
9.18 CQuid be controlled by a time-driven sequential con­ trolled by an ON/OFF solenoid valve. The following state­
trol system described by the following statement list: ment list could be used to control this process:
Blending Process Statement List Blending Process Statement List
Initial condition: DraIn valve OPBN, ready light ON. Ag­ Initial condition: Drain valve OPBN, ready light ON, all

itator OFF, water and syrup valves OFF, solids feeder liquid valves OFF, mixer OFF.

01'1'. STEP I: (1 to 3 s) Press START switch.

440 • Chap. 11 Control of Discrete Processes

STEP 2: (20 s) Drain valve CLOSED, ready light OFF, 1. Motor starter 1M is energized by pressing a momentary
valve A ON, delay 20 s.
contact start switch.
STEP 3: (40 s) Val~e A OFF, valves C and D ON, mixer
2. Motor starter 1M can be deenergized only by pressing
ON, delay 40 s.
a momentary contact stop switch.
STEP 4: (60 s) Valves C and D OFF, valves Band EON, 11.13 Modify the circuit diagram of Exercise 11.10 to
mixer remains ON, delay 60 s.
include the following additional features:
STEP 5: (20 s) Valves Band E OFF, mixer remains ON,
1. Limit switch IL must be closed before the start switch
delay 20 s.
can energize the motor starter 1M.
STEP 6: (120 s) Drain valve OPEN, mixer remains ON,
2. Either opening limit switch IL or pressing the stop
delay 120 s.
switch can deenergize motor starter 1M.
STEP 7: (2 s) Mixer OFF, ready light ON, all ingredient
11.14 Modify the circuit diagram of Exercise 11.10 to
valves remain OFF. Return to initial condition.
include the following additional features:
Draw a process timing diagram from this statement list. I. Limit switch I L must close before the start switch can
energize the motor starter 1M.
Section 11.3 2. Opening limit switch IL cannot deenergize the motor
11.6 Write Boolean equations for the ladder rungs in starter. The motor starter 1M can be deenergized only
Figure H.8. by pressing a momentary contact stop switch.
11.7 Write a Boolean equation for the ladder rung in 11.15 Construct a timing diagram of the control relays in
Figure I 1.9. Use the term NOT OL to account for all the Figure ILl O.
overload contacts. 11.16 A solenoid-operated lock is used on the gate of an
11.8 Write the Boolean equations for the ladder diagram enclosed storage area. When the solenoid is activated, the
in Figure IUD. There will be seven equations, one for gate is unlocked, and a light goes ON. Three pushbutton
each rung in the ladder. switches are used in the solenoid control circuit, SWl,
11.9 Convert the ladder diagram in Figure 11.12 into a SW2, and SW3. The three switches are located such that a
set of Boolean equations. single operator can close only one switch at a time, two
11.10 Convert the following set of Boolean equations operators are required to close two switches, and three op­
into a ladder diagram. The letters A through F represent erators are required to dose all three switche~. Orllw II lael­
normally open contacts. der diagram for each condition listed and describe how the
operators can unlock the gate:
CRI "" AANDBANDC

(a) The solenoid is activated when any one of the three

CR2 DOREORF

switches is activated.
CR3 = NOT CRI AND NOT CR2 AND (LSI OR (b) The solenoid is activated only when all three switches
PSI)

are activated.
SOLA = CR2
(c) The solenoid is activated when any two of the three
11.11 Convert the following set of Boolean equations switches are activated.
into a ladder diagram. 11.17 The drilling machine control circuit in Figure
1M OR CRI "'" NOT STOP AND (MSTART 11.1 0 has a potential reset problem, Pressing the RESET
OR 1M) AND NOT OL pushbutton, PB3, activates the STEP t control relay, CRt,
and deactivates the STEP 7 control relay, CR7, as it should.
CR2 CRt AND NOT CR3 AND However, if one or more of the other control relays are ac­
(START OR CR2) tivated (by Murphy's Law), pressing the RESET pushbutton
CR3 = CRt ANDNOTCR4AND will not deactivate them. Draw the ladder diagram of a re­
(LS20RCR3) vised control circuit that corrects the potential reset prob­
CR4 = CRI AND NOT CR2 AND lem. One approach is to add another control relay, CRO,
that has one NO contact and five NC contacts. Use PB3 to
(LVI0RCR4)
activate CRO, and use the CRO contacts to activate CRt
11.12 Sketch the circuit diagram of a sequential control and deactivate CR2 through CR6 (CRt will deactivate
system with the following features. CR7).
 • Chap. 11 Exercises 441

11.18 A reversible motor is used to open and close a The photoelectric sensor (PS 1) has one NO contact and
gate. The motor has three terminals: LlA, LIB, and L2. one NC contact. When an object is detected, PS 1 will pre­
When L2 is connected to ground and power is applied to vent the motor from closing the gate, and, if the gate is
LI A, the motor runs in the clockwise, CW, direction, partly open, it will cause the motor to open the gate. The
opening the gate. When power is applied to LIB, the mo­ gate will close as soon as the object is removed and the
tor runs in the counterclockwise, CCW, direction, closing time delay has passed.
the gate. The gate has two limit switches: LS 1 is activated 11.21 A small electric heater has two beating elements.
when the gate is closed, and LS2 is activated when the gate When the heater is first turned ON, both elements are ener­
is open. Each limit switch has one normally open, NO, gized for quick warm-up. After a lO-min delay, the second
contact and one normally closed, NC, contact. Two control element is turned OFF. A temperature activated switch turns
relays, CR I and CR2, are used in the gate control circuit. OFF both elements if the heater gets too bot (see Figure
These relays have two NO contacts and two NC contacts. 9.0. Draw the ladder diagram for the control circuit.
A NO pushbutton START switch is used to initiate the open­ 11.22 Complete the following for the reaction and blend­
ing of the gate. ing process described by the statement list in Section 11.4
Draw a ladder diagram that will open the gate after a and the process timing diagram in Figure 11.14.
momentary closure of the START switch, close the gate im­
(a) Draw an instrumentation and piping diagram of the
mediately after the gate is fully open, and tum OPF the
process. Assign a number for each control loop in the
power to the motor when the gate is closed. Your circuit
process. Use the following switching devices de­
must include an interlock feature that will not allow si­
scribed in the text: START PB, LSI, LS2, TSI. Add any
multaneous application of power on LIA and LIB.
additional components you consider necessary or ad­
vantageous.
Se'ltion 11.4
(b) Construct a sequential function chart.
11.19 Redraw the ladder diagram in Exercise ILl, to (c) Construct a state chart.
include a time-delay relay, TRI (see Figure 9.3). This re­ (d) Determine the transition conditions.
lay has an adjustable 10- to 200-s delay when the coil is (e) Determine the output conditions.
energized, one NO contact, and one NC contact. The pur­ (f) Construct the sequential controller ladder diagram.
pose of the time-delay relay is to provide an adjustable de­ (g) Construct the output ladder diagram.
lay between the time the gate is fully open and the time it 11.23 A!i!iemhle the documents prepared in I:!xercise
begins to close. 11.20 into a design document for the reaction and blend­
11.20 Redraw the ladder diagram in Exercise 11.16 to ing process. Add copies of the statement list and the
include a direct scan photoelectric sensor (see Figure 7.16) process timing diagram to complete your design docu­
that senses the presence of an ubjtlCl ill lht: palh uf lhe gale. ment.
• CHAPTER 12 Programmable
Logic Controllers

• OBJECTIVES

The programmable logic controller (PLC) began as a reusable, inexpensive, flexible, reliable replace­
. ment of hard-wired relay panels. From this beginning in 1968, PLCs have developed into much more.
Modem PLCs perform a host of functions such as logic, timing, counting, sequencing. PIO control, and
fuzzy logic. They can perform arithmetic operations, analyze data, and communicate with other PLCs
and host computers.
The purpose of this chapter is to Introduce you to programmable logic controllers. After complet­
ing this chapter, you will be able to
I. Describe the following parta of 11 PLC: power supply, processor, input module, output module.
and programming unit
2. Describe the step-by-step operation of a PLC as it runs a small ladder diagram program
3. Draw a PLC input/output diagram
4. Draw a PLC ladder diagram program
5. Use timing functions in a PLC program
6. Use c.OHnfer fnnr-tions In a PI.r: program
7. Use sequencer functions in a PLC program

442
••••
 • Sec. 12.1 Introduction 443

12.1 INTRODUCTION

A PLC is a digital electronic device designed to control machines and processes by perform­
ing event-driven and time-driven sequential operations. The PLC is designed for use in harsh
industrial environments. It can be programmed without special programming skiUs, and it can
be maintained by factory maintenance technicians.
The automobil~ industry uriginated the PLC to eliminate the high changeover cost of in­
flexible, hard-wired relay panels. The Hydramatic Division of the General Motors Corpora­
tion specified the design criteria for the first programmable logic controller in 1968. They
specified a solid-state system with computer flexibility that would survive in the industrial en­
vironment, could be easily programmed and maintained by plant personnel, and would be
reusable. The intent of the specification was to reduce the time and cost of model changeover.
Hundreds of hard-wired relay panels were junked each time a car model was changed.
From this beginning in 1968, PLCs have developed into much more than just an inex­
pensive replacement for relay logic panels. The newer PLCs include modules that perform a
host of functions such as logic, timing, counting, sequencing, PID control, and fuzzy logic.
They can perlorm arithmetic operations, analyze data, and communicate with other program­
mable controllers and host computers. Some advantages of PLCs include
Flexibility. One PLC can handle many different operations, and software changes are
easier to implement than hardware changes.

Reliability. Solid-state devices are more reliable and easier to maintain than mechanical

relays and timers.

Lower cost. PLCs benefit from the ability of computer systems to deliver increasingly
complex functions at diminishing cost.

Documentation. PLC programming equipment can provide an immediate printout of the

current control circuit. There is no need for drawings that become outdated as the con­

trol circuit is modified.

The trend in industrial control is to use smaller PLCs that are distributed near the process
rather than one large, centralized PLC with many inputs and outputs. A supervisory computer
communicates with the individual PLCs on a local area network (LAN) to coordinate their ac­
tivities. One reason for this trend is the tremendously complex program required to control a
centralized system with one large PLC. Breaking the process into smaller, more manageable
portions simplifies the program and allows the use of smaller, less expensive PLCs. Problem­
solving experts will recognize this approach as an application of a proven problem-solving
ledmillut: called divide and Cohquer. This method solves large, difficult problems by divid­
ing Lhem into a number of smaller, more easily solved problems.
Figure 12.1 shows a training and industrial work cell in which a CIM control station (see
Section 2.7) is networked to two CNC-controlled machines and three PLC-controlled robots.
The work cell consists of the following parts:
]. A computer-controlled conveyor
2. A CNC-controlled lathe
3. A PLC-controlled transverse robot to load and unload the lathe
4. A CNC-controlled milling machine
 ~-------------------------22"'--------------------------';

A ROIIOl

~
ROaOT
CONTROL~

ASRS CONTROL ROBCT

ROBOT

15 II'

JI II'
~

eIN CONTROL STAnON ~------------15' CONYEYOR-------------....

18 ,~,I""' I.ocatlon of eIN CONTROL

STATJON la option.,

Sy.t •• 4.31 - 4 St.tlDn elM LIn •

••••• D••• ne,."_
Scale' 3/."·1'-,"

• Figure 12.1 A training and mdustflal work cell contains two CNC-controlled machines and

three PLC-controlled robots, all networked to a CIM control .tatlon. (Courtesy of Amatrol, Inc,)

444
 • Sec. 12.1 Introduction 445

5. A PLC-controlled pick-and-place robot to load and unload the mill

6. A PLC-controlled SCARA robot for drilling or small assembly on the conveyor
7. A computer-controlled storage rack (ASRS) Automatic Warehouse
8. A master computer (the CIM control station) to coordinate the entire operation
Three network configurations can be used with the work cell:
1. A star network configuration. All communication is between the CIM control station
(master computer) and the individual units. Communication from one unit to another
must pass through the CIM control station.
2. A semi-star network configuration. The CIM control station communicates with the
PLCs, and each PLC communicates with the machine and robot under its control.
3. A bus network configuration. The PLCs can communicate with each other without go­
ing through the CIM control station. Figure 12.2 shows a bus network configuration.
The star configuration is the least flexible and the easiest to program. The bus configuration
is the most flexible and the hardest to program.

CIM
control
station

Bus

Robot Robot Robot

control control control
PLC PLC PLC

I I
ASRS CNC PIP CNC Transv. Visioll SCARA Conveyor
control mill robot lathe robot control robot control

• Figure 12.2 A bus network configuration for the CIM work station. The PLCs can commu­
nicate with each other without going through the CIM control station.

~ .... -
-... - - - - - ­ ~-~-, .. -~-~ ....
446 • Chap. 12 Programmable Logic Controllers

12.2 PLe HARDWARE

Figure 12.3 illustrates five functional components found in all programmable logic con­
trollers, and two others (6 and 7) found in some PLCs.
1. Power supply
2. Processor module
3. Input modules
4. Output modules
5. Programming unit
6. PID controller unit
7. Data communication unit

Data commumcatlOns module - - - - - - - ,

r- P"""~'m"",l,
PID control module ~

Input and output modules

I . 1­ I

POWER PROCESSOR 8 8 8 8 4 2 PID DATA

SUPPLY MODULE DC DC AC AC ANALOG ANALOG COMM.

:;; lmi lm: :m; ~I~I

INPUTS OUTPUTS INPUTS OUTPUTS INPUTS OUTPUTS
1,1....1
~L1.J
PVl PV2
0 QRIIN
ACON 11k]
o SCAN 5 6 5 6 OUT10UT2
7 8 7 8 7 8
0 o FAULT r--­ r--­

DD D D D
DC ON

.#'
L\ ~
IL W" V
Irlng access paneIs
"­ '''-..

~
Programming unit

«~
~S§§§§§§§§~

• Figure 12.3 Components in a programmable controller include a power supply, a processor

module, mput modules. output modules, and a programming unit. The size of PLCs ranges from
small umts that replace eight relays to large units wIth thousands of inputs and outputs.
• Sec. 12.2 PLC Hardware 447

Power Supply

A PLC actually requires two power supplies. One is the external supply shown in Figure 12.3.
It connects directly to a 120- or 240-V ac power line and provides ac and dc power for the in­
put devices and the output loads. The other is an internal power supply in the processor mod­
ule that powers the central processing unit (CPU) and processor logic circuitry.

Processor Module

The processor module is also referred to as the central processing unit (or CPU). It contains
a microprocessor, a read-only memory unit (ROM), a random access memory unit (RAM),
and an I/O interface. The information stored in ROM is permanent. It is set once, and then it
cannot be changed. The information stored in RAM is temporary. It can be changed at any
time, and it is lost when the processor module loses power.
The PLC operating system (OS) is stored in ROM (the OS is a program that serves the
same purpose as DOS or Windows in a PC). The user program can be stored in RAM or in
one of the following less volatile memory chips:
Programmable read-only memory (PROM). Can be programmed just once, then it is per­
manent.
Erasable programmable read-only memory (EPROM). Can be programmed many times
by erasing the old program with ultraviolet light.
Electrically erasable read-only memory (EEPROM). Can be programmed many times by
erasing the old program with an electrical signaL
Nonvolatile random access memory (NOVRAM). Can be programmed many times, but
unlike ordinary RAM. the contents of NOVRAM are not lost when the processor loses
power.
The data used by the PLC is stored in RAM. This data is organized into sections de­
pending on the nature of the data. Each section is identified by a capital letter that is used as
part of the address of locations in that section of memory. The memory sections include, but
are not limited to, the following:
Input image status (I). Stores the status (l's or O's) of the inputs from switches and
ON/OFF signals from the process.
Output image status (0). Stores the binary data (1 's or O's) that will activate or deactivate
ON/OFF devices in the process. .
Timer status (TJ. Stores the tim(! bas(!. present vulue, accumulatr.d valne, and status bits
of timers in 1111": IIser program.
Counter status (C). Stores the present value. accumulated value, and status bits uf coun­
ters in the user program.
Numerical data (N). Stores data used for numher conversions, etc.
Functions (F). Stores status and data used by other functions in the user program.
The processor has two operating modes, PROGRAM and RUN. In the PROGRAM
mode, the processor allows the user to make changes in the program. The processor has sev­
eral status indicators that provide information to the programmer or operator. In the RUN
448 • Chap. 12 Programmable Logic Controllers

mode, the processor repeats the following four-step cycle under the control of the operating
system:
1. Input scan. The processor scans the inputs and stores a new image of the input con­
ditions.
2. Program scan. The processor scans the program and derives a new image of the out­
put conditions from the new image of the inputs and the old image of the outputs.
3. Output scan. The new image of the output conditions is transferred to the output de­
. vices.
4. Housekeeping tasks. Communication and other tasks are completed on a time­
available basis.
The cycle may begin again immediately after completing the housekeeping tasks, or it may
begin at a fixed interval.

Input Modules

There are two types of input modules, discrete and analog. The majority of inputs to a PLC
are of the discrete type, bringing open and closed inputs from pushbutton contacts, limit
switches, pressure switches, etc. Both ac an~ dc input modules are used, depending on the
power source used on the input switch.
A typical input module has 4, 8, 16, or 32 input terminals, plus a common terminal (L2), and
a ground terminal. One terminal of the input module is connected to one side of a contact in the
process. The other side of the contact is connected to the hot side of the ac or dc power source.
The common side of the power source is connected to the common terminal on the input mod
ule, and the input module provides a path to the common line through its sensing circuit.
The input module converts each input into a logic level voltage and isolales the inputs
from the PLC circuitry. The inpul module "::ol}verts an open contact into a. logic 0 voltage,
(0 V), and it converts a clust:d cuntact into a logic I voltage (5 V). It is important to note that
it doe.sn't matter if a contact is closed h~C.lIlIS~ it is II NO cont.act that is pressed or because it
is a NC contact that isn't pressed. If the contact is closed, the input module will convert it to
a logic I voltage.
When the processor scans the inputs, it reads the logic levels of all inputs and stores the
logic levels in the input image section of RAM. Closed contacts are stored as logic 1's and
open contacts as logic O's. The image can only indicate that a contact is open or closed; it
cannot indicate whether the input r.nntar.t is NO or NC.
Although most PLC inputs are discrete, the inputs of analog signals are used for control
and data acquisition purposes. Most process variables are analog in nature and must be con­
verted to a digital form for input to a digital processor. The analog input module performs this
function with an analog-to-digital converter (see Section 6.5).

Output Modules

Discrete output modules provide ON/OFF signals to operate lamps, relays, solenuids, motor
starters, etc. When the processor scans the output image section of RAM, a logic 1 results in
an ON signal to the output device, and a logic 0 results in an OFF signal. Triacs or relays are
 • Sec. 12.3 PLC Programming and Operation 449

used to control ac output devices, and transistors or relays are used to control dc output de­
vices. A typical output module has 4, 8, 16, or 32 output terminals. plus a hot terminal (Ll).
and a ground terminal.
Analog outputs require 8 to 16 It.ts from the output image section of memory. A digital­
to-analog converter converts the binary number stored in the output image into an analog volt­
age (or current) between one output terminal and the common terminal.

PID and Communications Modules

The PID module provides three-mode control of two process variables (refer to Section 1.4
for further discussion of the three control modes). The communications module provides di­
rect communication with the operator, a programming terminal, other PLCs. or a supervisory
computer.

Programming Unit

The programming unit enables the operator to enter a new program, examine the program in
memory. change the program in memory. monitor the status of inputs or outputs, display the
contents of registers. and display timer and counter values. In addition, a password can be en­
tered to protect the program in memory from unauthorized changes.
Programming devices include hand-held programmers, CRT terminals, and personal
computers (with special software). The hand-held programmer resembles a pocket calculator
with an LCD for displaying instructions. addresses. timer and counter values. data, and so on.
lt also has a keypad for entering instructions, addresses, and data. A CRT terminal looks like
a personal computer, but it is specifically designed for programming a PLC. CRT terminals
and personal computers allow the user to type in the program using a variety of programming
languages including the Sequential Function Chart (SFC) language, the Ladder Diagram (LD)
language, the Function Block Diagram (FBD) language. and the Structured Text (ST) lan­
guage.

12.3 PLC PROGRAMMING AND OPERATION

This section presents a simple ladder diagram program for a PLC followed by a step-by-step
analysis of the operation of the PLC as it runs the ladder diagram program.

Ladder Diagram Programming

The LD programming language uses contact and coil symbols to construct diagrams that are
very similar to the ladder diagrams used for relay logic. The symbol for a normally open con­
tact resembles the symbol for an electrical capacitor. The symbol for a normally closed contact
is the open contact symbol with a diagonal line through it. The symbol for an output consists of
several spaces enclosed in parentheses. Every contact and output symbol has a number written
immediately below (or above) it. This number identifies the location in the processQr memory
(RAM) where the image of that contact or output is stored. Figurt: 12.4 shows a simple exam­
ple of the implementation of ladder diagram logic in a programmable logic controller.
 Ll L2
AIr cylinder with
spring return ' \ ILS
~

v---- 2-position. 3-way valve CRI Sola

~~~ ©
LIght CRI
...-. Exhaust line
~o--
SWI
SWI
Light
a) Schematic diagram b) Ladder diagram

LI L2

OL2
IM:I
PROCESSOR
OM:I

L10
J Ll L2

Start Sola
--L

LSI
3
Input image status
4 RAM

Input Output
module Output image status module
c) t'Le input/output diagram

LI L2

Start Stnp T.S I Snlennirla

1M,~t;-;j,Ll OM:I-1

OM:I-I SWI Light

I (
1M: 1-4 OM: 1-2

d) PLC program (ladder diagram language)'

• Figure 12.4 pte Implementatinn nf a larlrler rliagram cnnt.rnl circllit fnr a pnell­
matlc cylinder (see FIgure 2.8). Observe the use of a NC stop pushbutton in the input
diagram with a NO contact symbol in the PLC program to implement the NC stop
fllnction.

450
 • Sec. 12.3 PLC Programming and Operation 451

Figure 12Aa shows the schematic diagram, and Figure 12Ab shows the ladder diagram
of a relay logic circuit for controlling a pneumatic cylinder (see Figure 2.8). The switch­
operated light was included to illustrate a second control function without unduly complicat­
ing the circuit. The first rung in the ladder diagram includes start, stop, and holding contacts
in a conventional configuration plus a normally closed limit switch and a control relay. The
second rung includes a normaUy open control relay contact and the solenoid for the pneu­
matic cylinder. The third rung consists of a switch and a light.
Figure 12.4c shows the input, processor, and output units of a PLC used to control the pneu­
matic cylinder and light. The boxes (1, 2,3, and 4) in input module 1M: 1 contain the signal con­
ditioners that convert the switch inputs into logic level voltages. Four lines connect the input
boxes to the memory cells that hold the status of the inputs from those boxes. The upper right
cell of the Input image memory section is connected to switch box 1, and it is identified as mem­
ory cell IM:I-l. Moving left from Memory cell IM:l-1 are cells IM:1-2. IM:t-3, and 1M: 1-4.
The zero in memory cell 1M:1-1 indicates that the START switch connected to terminal 1 is open,
which it is. The 1's in memory cells IM:1-2 and IM:1-3 indicate that the STOP switch and switch
LS 1 are closed, which they are. The zero in cell 1M: 1-4 indicates that SWI is open. Remember.
the input image indicates that the contacts connected to IM:1-2 and IM:I-3 are closed, but it
cannot indicate whether they are nonactivated NC contacts or activated NO contacts.
The boxes (1, 2, 3, and 4) in output module OM:1 contain the switching circuits that use
the logic level vo1tages from output image memory cells to switch output devices ON or OFF.
The line from output box 1 connects it to the upper right memory cell in the Output image
memory section, that is, the OM: 1-1 memory cell. Moving left from cell OM: 1-1 are cells
OM: 1-2, OM:1-3, and OM: 1-4. The zeros in memory cells OM:l-l and OM:1-2 tum OFF so­
lenoid a and the light
Figure 12Ad shows the PLC program using the LD programming language. Compare the
PLC program with the ladder diagram in Figure 12.4b. There are many similarities and a few
differences. The ladder diagram has three rungs, but the program has only two. The second
rung is missing because solenoid a is actua1ly an output device connected to output terminal
0; 1. For this ft:aSOIl, it does not appear in the program. Output 0: 1 in the first rung of the pro­
gram is actually the control relay, CRl, that activates solenoid a. The first rung in the program
is equivalent to the first two rungs in the ladder diagram.
The LD language places a number of restrictions on ladder diagram programs, and the
restrictions vary with diffel't:ill manufacturers. 1Ypicallimhations include the following:

1. The output must be at the right end of the rung.

2. Power must flow from left to right, up, or down.
3. Power must never flow from right to left.
4. The number of series contacts is limited to 11 (or some other number set by the man­
ufacturer).
5. The number of parallel contacts is limited to 7 (or some other number set by the man­
ufacturer).
6. A rung can have only one output.
7. The single output must be on the top line in a rung.

In a relay panel, power flow from right to left through a closed contact is called a sneak path.
Sneak paths are not allowed in programming a PLC. Not allowing sneak paths simplifies the

- - -..- -...- - - -...

.. -----:-~--
452 • Chap. 12 Programmable Logic Controllers

programming but does require some adjustment when converting a relay panel to a PLC pro­
gram. The sneak paths must be converted into equivalent ladder diagram programs that do not
have a sneak path.
[n the LD programming language, the open and closed contact symbols are actually pro­
gramming instructions. They tell the computer how to interpret the 1 or 0 in the Input image
memory cell for each contact. The normally open contact symbol (-1 1-) instructs the PLC to
interpret a I as TRUE and a 0 as FALSE. If the PLC finds a path of true contacts from Ll to
the output, the output is ON and a 1 is placed in its Output image memory cell. If no true path
is found, the output is OFF, and a 0 is placed in its Output image memory cell.
The NO contact symbol can be used with both NO and NC physical switches, and the re­
sults are what we would expect them to be (see the two NO contact symbols used with PB I
and PB4 in Figure 12.5). A NO physical switch is evaluated as TRUE if it is actuated and
FALSE if it is not. A NC physical switch is evaluated as TRUE if it is not actuated and FALSE
if it is. In the PLC program in Figure 12.4d, for example, the NO contact symbol is used for
. all five contacts in the program. When the STOP switch is not activated, its image is a 1, and it
is evah,lated as TRUE, which is correct. When the STOP switch is activated, its image is a 0,
and it is evaluated as FALSE, as it should be. This analysis also applies to switch LS 1.
In a PLC program, the normally closed contact symbol is different, and its use can lead
to a double negative effect that can cause considerable confusion (see the two NC contact

LI L2

L2

PRI
1 ( >----1
IM:2-1 OM:2··1
PB2 PB2
2 ',/ (~
IM:2-2 OM:2-2
(a) Two ways to Implement a NO sWitching functIon. Output OM:2-l
is OFF when PB I is not pressed and ON when PB I IS pressed.
Output OM:2-2 is OFF when PB2 is not pressed and ON when
PB2 is pressed.

L1 LI L2
IM:2
PB3
~ PB3
3 I (
IM:2·3 OM:2-3
PB4 PB4 • Figure 12.5 lWo ways to implement a NO
4 "-.1 ( sWItch and two ways to implement a NC
IM:2-4 OM:2·4 switch. Observe the double negative effect in
(a)Two ways to Implement a NC switching function. Output OM:2-3 PB2; it causes the NC switch, PB2, to behave
is ON when PO) is not pressed and OFF whcn FB3 IS pressed. like a NO switch. Also note that both methods
Output OM:2·4 is ON when PB4 is not pressed and OFF when of implementing a NC switch involve use of a
PB4 is pressed. single negative.
• Sec. 12.3 PLC Programming and Operation 453

symbols used with PB2 and PB3 in Figure 12.5). The NC contact symbol (-lIt-) instructs the
PLC to interpret a 1 in an Input image cell as FALSE, and a 0 as TRUE. If we use a NO phys­
ical switch with a NC contact symbol, the NO switch is evaluated as if it were a NC switch.
If we use a NC physical switch with a NC contact symbol. the NC switch is evaluated as if it
were a NO switch. The confusion caused by the double negative is reason enough to avoid the
use of a NC switch with a NC contact symhoL For this reason, we will always use the NO
switch with a NO contact symbol to implement the NO switch function. However. both meth­
ods of implementing the NC switch function use a single negative, and both methods (PB3
and PB4 in Figure 12.5) are used to implement the NC switch function.

PLC Operation

When a PLC is in the RUN mode, the processor repeats the following four-step cycle:
1. Input scan. Store a new image of input conditions.
2. Program scan. Derive the new image of output conditions.
3. Output scan. Transfer the new image of output conditions to output devices.
4. Housekeeping tasks. Communication and other tasks.
The discussion that follows will walk through four cycles of a PLC with the configuration and
program shown in Figure 12.4. Our walk-through begins with the input image, the output im­
age, and the four switches as shown in Figure 12.4c.
Cycle 1. START and SWI are open, STOP and LSI are closed.
Input scan. New input image is IM:l-J == 0, IM:1-2 == 1, IM:I-3 = I, IM:1-4 = O.
Progmm sea". Riulg I: lM:l·! - FALSE,OM:1-! ... FALSE, 1M: 1-2 "'" TRUE,IM;1-3

= TRUE, path is FALSE, so 0 is stored in cell OM: 1-1.

Rung 2: IM:I-4 = FALSE so 0 is stored in cell OM:I-2.

Output scan. Both solenoid a and the light are OFF.

Cycle Z. START, SW1, STOP, and LS1 are all closed.

Input scan. New input image: IM:I-1 = I, 1M: 1-2 = I, IM:l-3 = I, IM:I-4 = 1.
Program scan. Rung I: IM:I-I = TRUE,OM:l-} = FALSE, IM:1-2 = TRUE,IM:1-3

= TRUE, path is TRUE, so } is stored in cell OM: I-I.

Rung 2: IM:l-4 = TRUE, so 1 is stored in cell OM:1-2.

Output scan. Both solenoid a and the light are ON.

Cycle 3. START is open, SWI, STOP and LS I are all closed.

Input SCatl. New input image: IM:1-1 = 0, 1M: 1-2 == I, IM:1-3 = 1. 1M: 1·4 = I.
Program scan. Rung 1: IM:I-I = FALSE,OM:l-l TRUE, IM:I-2 = TRUE,IM:I-3
TRUE, path is TRUE, so 1 is stored in cell OM: I-I.

Rung 2: 1M: 1-4 = TRUE so I is stored in cell OM:1-2.

Output scan. Both solenoid a and the light are ON.

41;;4 • Chap.12 Programmable Logic Controllers

Cycle 4. START and LS 1 are open, STOP and SWI are closed.
Input scan. New input image: IM:I-I 0, IM:1-2 = I, IM:1-3 = O. IM:1-4 = 1.
Program scan. Rung 1: IM:l-l = FALSE.OM:l-1 = TRUE, IM:1-2 = TRUE,IM:I-3

= FALSE, path is FALSE, so 0 is stored in cell OM: I-I.

Rung 2: IM:1-4 = TRUE so 1 is stored in cell OM:I-2.

Output scan. Solenoid a is OFF, the light is ON.

A couple of observations are evident from the operation of a PLC. First, the order of the
operations may be important because the PLC evaluates the program one rung at a time. Sec­
ond. there is a small delay between an input device action and the resulting change in the out­
put device. This delay could be as much as the time it takes the PLC to complete one cycle.

12.4 PLC PROGRAMMING FUNCTIONS

In Section 12.3, you learned about three LD programming instructions: the NO contact in­
struction, the NC contact instruction, and the output instruction. These three instructions are
sufficient to handle most, if not all. event-driven processes with ON/OFF inputs and ON/OFF
outputs. Time-driven processes require additional instructions to handle timing and sequenc­
ing functions. Some control applications require counting functions, and others could use the
ability to compare or manipulate numbers with arithmetic functions. Control of a process
variable requires the PID control function. All of these advanced functions, and more, are
available in programmable logic controllers.
Before launching into a study of PLe programming functions, let's examine another ex­
ample of LD programming of a simple event-driven process. Our choice for this example is
the event-driven sequential control system for a hydraulic hoist shown in Figure 11.4. This
system uses four pushbutton switches for input. In Figure 1104, the STOP switch was a NC
pushbutton, with a NO contact instruction. In this example, we will use a NO STOP pushbut­
ton with a NC contact instruction to provide the correct operation of the STOP switch. The out­
puts include a pump motor and two solenoids. The PLC input/output diagram is shown in
Figure 12.6a. The PLe ladder diagram program is shown in Figure 12.6b.

Timer Function

The Timer is the 1110St frequently used PLC function. and Time Delay On is the most com­
mon timing function. Both Time Delay On and Time Delay Off are used in PLCs. Our dis­
cussion will focus on Time Delay On. 1\vo types of timers are used in programmable logic
controllers. the one-input nonretentive timer and the two-input retentive timer.
The nonretentive timer has one input, one output, and a preset delay time. Consider a
nonretentive timer with a preset delay time of 12 s. When the input is turned ON, the timer
runs for 12 s before it turns the output ON. Once the output is turned ON, it remains ON until
the input is turned OFF. The timer resets every time the input is turned OFF, and starting the
timer again will result in a full 12-s delay.
The retentive timer has two inputs, one output, and two status bits that can be used as in­
ternal outputs. The inputs are the EnablelReset line and the Run line. The output is the Done
• Sec. 12.4 PLC Programming Functions 455

LI L2
PLC
1M: I-I OM: 1-1
Start

1M: 1-2 OM: 1-2

Stop

IM: 1-3 OM: 1-3

Up

1M: 1-4 OM: 1-4

a) PLC input/output diagram

LI L2
Start Stop Pump motor
(
1~'t'J
N
1M: 1-2 OM: 1-1

OM: 1-1

Pump motor Up NOISol b Sola

I II N (
OM: I-I 1M: 1-3 OM:I-3 OM: 1-2

Pump motor Down Not Sol a Sol b

N (
OM: I-I 1M: 1-4 OM:I-2 OM: 1-3
b) PLC ladder diagram program

• Figure 12.6 The input/output diagram and the LD program of a PLC used to
control the hydraulic hoist shown in Figure 11.4. Observe the use of a NO stop push­
button in the input diagram with a NC contact symbol in the PLC program to imple­
ment the NC stop function (see Figure 12.4 for the alternative implementation).

(or D) line. The status bits arc the Enable and Run (or E and R) lines. When the EnableIRe­
set Jine is turned OIT, the timer is reset and cannot run. If the EnablelReselline is ON, the timer
runs whenever the Run line is ON, but it stops mnning when the time delay is satisfied (Le .•
when output Done is ON). The E status line is ON whenever RnablelReset is ON, but the R sta­
tus line is ON only when the timer is actually mnning (i.e., E is ON, Run input is ON, and Done
is Of.'F). If the Run line is turned OFF, Ule timer stops running, but the timer is not reset unless
the EnablelReset line is also turned OFF. If the Run and EnableIReset lines are turncd ON and
OFF at the same time, the retentive timer operates as a nonretentive timer.
Consider a retentive timer with a preset delay time of 12 s and an EnablelReset line that
has just been turned ON. Assume the Run line is ON for 7 s and then goes OFF for 20 s. The
timer holds the 7-s delay time while the timer is OFF. After 20 s, the Run line is turned ON
456 • Chap. 12 Programmable Logic Controllers

LI L2

Timer
1M: 1-5 Done
EnablelReset D ( )
T: 12
1M: 1-9· Enable
Run E -----( )
T: 12-E
Run
Preset R -----( )
Delay (min or sec) T: 12-R

Typical Tlmmg Diagrams

EnablelReset _ _ _ _ _....l

Run
T:12E
T:12R
T: 12

• Figure 12.7 A generic. two-input, retentive timer and a typical timing diagram.
The timer is shown with the output address T: 12. In the timing diagram, Enable/
Reset, and Run are mputs. T: 12. T: 12-E, and T: 12-R are outputs. Observe that the
timmg diagrams ofT: 12-E and Enable/Reset match exactly. but the diagrams of
T: 12-R and Run do not. Output T: 12-R IS ON only when Enable/Resel is ON. Run 10­
put is ON, and Done IS OFF, Output T: 12 (Done) IS ON only after the preset time delay
hilS h~fm reached. and it goes OFf when Enable/Reset goes 01'1'.

again for 200 s. Five seconds after the Run line is turned ON for the second time, the delay
reaches the preset time of 12 s, and the timer output is turned ON. Tn this example, the actual
delay time is 7 + 20 + 5 32 s. After a total elapsed time of 227 s, the Run line is turned
OFF. The timer output is turned OFF, but the timer is not reset (Enable/Reset is 8tm ON). If Run
is turned ON again, the output wi1l go ON immediately, because the timer has not been. reset.
The timer is reset only when the Enable/Reset line is turned OFF.
Figure 12.7 shows a generic retentive timer in a simple ladder diagram program. Our in­
tent is to illustrate the use of timers in PLC circuits in a general way without reference to spe­
cific hardware. Figure 12.7 defines the timer in sufficient detail for use in the Examples and
Exercises in this text. For real applications, the reader should refer to manufacturer's refer­
ence manuals for information about the operation and programming of a specific PLC.

EXAMPLE The batch blending process shown in Figure 12.8a is to he controlled by a Time/event-driven sequential
12.1 control system.
• Sec. 12.4 PLC Programming Functions 457

Ll L2

tft
Water
START LLl CYCLE ON

1M'~M'I-4
Syurp

III III
LL3 OM: 1-4 T:4
CYCLE ON Sol. c

LL2
2 1-1-----11/1-1---I(
OM.I-4 T:4 OM:)-3

CYCLE ON LL2 Done Sol. a

LLl 3 ~/f--l/I-I- - - I (
OM:I-4 IM:I-3 T:4 OM:I-l

LL2 LL3 Done Sol. b

CYCLE ON
CD 4 ~/l--l/I-I---I(
1M: I-31M: 1-4 T:4 OM: 1-2

START
Timer

@ Done
EnablelReset D
OM: 1-4 T:4

5
a) Schematic diagram LL3
Enable
Run E
1M: 1-4 T:4-E

Run
Preset R )
5 min
T:4-R

Sol. b Mixer

r--~--r-------I(
6 OM:~ OM: 1-5

T:4-R

b) PLC ladder diagram program

• Figure 12.8 The batch mixing process (a) IS controlled by a PLC program (h)
that uses a timer in a time/event-driven sequential control system (Example 12.1).

Initial conditions. The process begins with the drain valve open, the water and syrup valves closed,
the mixer OFF, and the tank empty. The design criteria specifies the following five-step process:
STEP I: Begins when START is pressed and ends when the liquid level switch, LL2, closes. The pur­
pose of STEP 1 is to fill the tank with water to the level of LL2.
STEP 2: Begins when LL2 closes and ends when LL3 closes. The purpose of STEP 2 is to add syrup
to the level of switch LL~ and begin mixing the two ingredients. When STRP 2 is done, the mixture
in the tank will be 60% water and 40% syrup.
458 • Chap. 12 Programmable Logic Controllers

STEP 3: Begins when LL3 closes and ends 5 min later. The purpose of STEP 3 is to finish mixing the
two ingredients.
STEP 4: Begins when STEP 3 is done and ends when switch LLI opens. The purpose of STEP 4 is to
drain the mixture from the tank.
STEP 5: Begins when LLl opens and ends when START is pressed to begin another batch. The pur­
pose of STEP 5 is to maintain the initial conditions listed above.
Draw a PLC ladder diagram program that satisfies the above design criteria.

Solutio~ The PLC program, shown in Figure 12.8b, consIsts of six rungs. The following is a brief explanation of
each rung:
Rung 1 turns ON output OM:1-4 (CYCLE ON light) when START is pressed and keeps it ON until the
tank is empty at the end of STEP 5. Initially, the true path is through the normally closed T:4 con­
tact. In STEP 4, the true path is through the normally open LLl contact.
Rung 2 closes the normally open drain valve when OM: 1-4 is ON and before timer T:4 is done.
Rung 3 energizes solenoid a when OM: 1-4 goes ON, deenergizes it when LL2 closes, and keeps it
from going back ON when the level drops below LL2 in step 4.
Rung 4 energizes solenoid b when LL2 closes, deenergizes it when LL3 closes, and keeps it from
going back ON when the level drops below LL3 in step 4. .
Rung 5 enables the timer while the CYCLE ON light is ON, starts the timer when LL3 closes, and turns
ON output T:4 when the timer is done (5-min delay).
Rung 6 turns the mixer ON during STEPS 2 and 3.
•
Counter Function

The PLC counter keeps track of the number of times a contact opens and ignores the times
the contact c10ses between each pair of openings. In this way, the counter is "counting" the
event that causes the contact to open. The event might be an item that is conveyed past a pho­
todetector. It might be a vehicle that is driven over a pneumatic pressure detector. It might be
a metal object on a shaft that rotates past a magnetic detector. Industry has many events to
count.
Some PLC counters count from 0 up to a preset value; others count from the preset value
down to O. Most PLCs inc1ude both up and down counters. A generic PLC up counter is il­
lustrated in Figure 12.9. You may notice a similarity between the counter and the timer in the
previous scction. The g~meric counter has two inputs, an external output, an internal output, a
memory register that stores a preset value, and a memory register that stores the count.
When the Enable/Reset input line is ON, the counter adds I to the count register for each
OFP-tO-ON change on the count input line. When the EnablefReset input line is OFF, the COUtu
is reset to zero, and the counter ignores changes on the count input line. The output of an up
counter is OFF until the counl reaches the pre.sel value; Ihell il is ON uulill!!!:! (:ol1nlel' i~ reset:.
The counter continues to count after the preset value is reached. The output of a down counte,r
is OFF until the count reaches 0, and then it is ON until the counter is reset.
1Wo or more counters can use the same count register. Consider, for example, two coun­
ters in an antique store-an up counter for counting shoppers entering and a down counter
for counting shoppers leaving. The two counters use the same memory register for holding
the count. For each person who enters, the up counter adds 1 to the count register. For each
person leaving, the down counter subtracts I from the count register. At any time, the count
• Sec. 12.4 PLC Programming Functions 459

L1 L2

1M: 1-6 Up Counter Done

EnablelReset D ( )
C:7
Enable
1M: 1-5 E -----I )
Count C:7-E
Preset
120
Count Register
RA:0027

• Figure 12.9 A generic, two-input counter. The counter is shown with the output
address C:7, the preset value 120, and the count register address RA:0027. When the
Enable/Reset line is OFF, the counter Ignores changes on the count mput Ime, output
(C:7) IS OFF, and the count register (RA:0027) is reset to O. When the EnablejReset
line is ON, the counter mcrements the count regIster by I each time the count input
line goes from OFF to ON. The counter output (C:7) IS OPF until the count in RA:0027
reaches the preset value (120). At that tlme, C:7 IS turned ON and remains ON until
Enable/Reset is turned OFF. The counter continues to increment the count register be­
yond the preset value, even though the output is ON, indicating it is done.

register will give the store manager an accurate count of the number of people in the store (as­
suming no one slips around the counter turnstiles). Figure 12.10 shows a PLC program that
maintains a count of the nUll1bed' ofshoppen; in a store.

Sequencer Function

The sequencer function goes through a sequence of steps, producing specified conditions in
a number of ON/OFF outputs at each step. The specified output pattern for each step is stored
in one word of memory, and patterns for successive steps are stored in successive memol'Y
l~ells, Each bit in the word is matched with one output (bit 0 is matched with output No.1, bit
1 is matched with output No.2, ..• , bit 7 is matched with output No.8), If a bit holds a log­
ical 1, the sequencer turns the matching output ON (or leaves it ON). If a bit holds a logical 0,
the sequencer turns the matching output OFfl (or leaves it OFF). The number of outputs dlat a
sequencer can control depends on the word size of the PLC. An 8-bit PLC can control up to
8 outputs, and a 1tl-hit PLC can control up to 16 outputs. Additional sequencer functions can
be used to control additional outputs. For example, two 16-bit sequencers can control up to
32 outputs.
The generic sequencer shown ill Figure 12.11 controls eight outputs in module OM: 1 in
a five-step sequence. The ut:sin:u output conditions are stored in memory cells RA:0151
through RA:0155. The contents of these five memory cells are shown in Figure 12.11. Also
shown are the lines connecting hits 0 through 7 of memory to the eight terminals in output
module OM: 1. The step pointer selects the memory cell whose contents are sent to OM: 1. The

,~ .
460 • Chap. 12 Programmable Logic Controllers

LI L2

SWI
I (
1M: 1-3
OM: 1-2

DiSPlaYOf~ Up Counter
Count Register
RA:OI25 0 I 51 EnablelReset D
OM: 1-2

Customers C:5
10 store LSI

Count
ON
1M: 1-\
Preset

SSWI 999

Count Register

OFF RA:OI25

~t~x
Down Counter
LSI Enable1Reset D
OM:I-2

C:6
LS2

& .. * LS2

a) SchematiC diagram
1M: 1-2

Count
Preset

999

Count Register

RA:0125

b) PLC program

• Figure 12.10 A two-counter PLC program mamtams a COllnt of the number of

customers ina store.

step pointer is actually memory cell RA:0150. It contains the address of the currently selected
memory cell. Por example, when the sequencer is in STEP 1, RA:0150 contains the address of
the starting register, RA:0151. The contents of RA:0151 arc scnt to module OM:l where the
zeros turn OFF all eight outputs. When the sequencer advances to STEP 2, RA:O t 51 contains
the address of resister RA:OI52. The contents of RA:Ol5?. lire sent tQ module OM:1 where
the I in bit 0 turns ON output OM:l-l. When the set pointer advances to RA:0155, the se­
quencer output, SE:2, is turned ON. When Enable/Reset is turned OFF, output SE:2 is turned
OFF, and the Step Pointer is reset to the first step (Le., the address of the first step, RA: 0151,
is stored in Memory cell RA:OI50).
The generic sequencer is an event-driven function-the event is the occurrence of an OFF­
to-ON change on the step input line. Combined with a timer, as shown in Figure 12.12, the se­
 • Sec. 12.4 PLC Programming Functions 461

Ll L2

1M: I - 4 Up Counter
Done
I-- EnablefReset D
I--( )
SE:2
Enable
IM:I -3 E
--- --( )
I-- Step SE:2-E
Steps: 5
Output Module: OM: 1
Step Pointer:

[ S...... -'li.""
RA:OI51
0 o0 0 0 0 o0 RA:OI5
I
001 001 1 1 RA:OI52
I
o 1 I Oil 1 o0 RA:OI5 3
I
I oI 001 o0 RA:0I5 4 • Figure 12.11 A generic sequencer with the
I output address SE:2. When the Enable/Reset
1 o0 0 0 1 I 0 RA:OI5 5
line is OFF, the sequencer is reset to STEP I, it

41 21~ OM: 1-1

7 6 5 3 Ignores changes on the step input line, and out­
put SE:2 is 01'1'. When the Enable/Reset line is
- O M : 1-2 ON, the step pointer advances one step each
i OM: 1-3 time the step input line goes from OPf to ON.
OM: 1-4 Output SE:2 goes ON when the sequencer ad­
OM: 1-5
OM: 1.6 vances to the last step. The sequencer remams
OM: 1-7 in the 1asl stel) and SF.:2 remainS 0111 until
OM: 1-8 Ilnable/Reset is turned OFF.

quencer becomes a time-driven function. When OM:1-l is ON, the sequencer Enable/Reset
line is ON, and the timer output, T:8, produces an OFF-ON-OFF pulse every 30 s. The sequence
of pulses on T: 8 advances the sequencer once every 30 s. In this circuit, the sequencer has a
constant step dwell time of 30 s. However, you can repeat a set of conditions in two or more
successive memory cells to create step dwell times that are multiples of 30 s. For example,
you could repeat the STBP 1 conditions three times for a dwell time of 90 s, and you could re­
peat the STEP 2 conditions ten times for a dwell time of 300 s.
A sequencer with multiple-step dwell times may not be good enough for some applica­
tions. You can use two sequencers driven by one timer to get variable-step dwell times. The
second sequencer takes preset times from a second set of memory addresses and stores them
in the memory cell that holds the preset time for the timer driving the two sequencers. In each
step, the first sequencer sends the output conditions for that step to the destination output
module. The second sequencer stores the dwell time for the next step in the timer's preset
memory cell.
462
• Chap. 12 Programmable Logic Controllers

LI L2
Start Stop Run Light
III
1M:~-6
( )

I
OM: 1-1
vJ
SE:2
1M: 1-7 OM: I-I

Timer
Done
EnablelReset D ( )
T:8
Run

OM: I-I
Preset
30 sec

Sequencer
Done
EnablelReset D ( )
OM: I-I SE:2
Step
T:8 Steps: 12

Output Module: OM : I

Slmtmg Register;

RA:0151

Typical Timing Diagrams

Run
EnablelReset - - - - - - - - ,

T:8

• Figure 12.12 A generic sequencer with timed steps (see Example 12.2). The
timer is enabled by its own output, causing it to reset immediately after it has fin­
ished a 30-s delay. After it has reset, the timer immediately begins another 30-s delay
(assuming OM: 1-1 is ON). The timing diagram illustrates the sequence of pulses pro­
duced by the timer in this circuit.

EXAMPLE The industrial blending process in Figure 12.13 is to be controlled by the timed-step sequencer shown
12.2 ill Figure 12.12. The process consists of a blending tank with provisions to add measured amounts of
water, syrup, and solids to the tank. A RUN light indicates when the process is in operation. The process
has the following six steps:
1. Hold the sequencer in the reset condition with the drain valve open and everything else OFF. De­
lay 30 s after STAIU is pressed.
 • Sec. 12.4 PLC Programming Functions 483

2. Close the nonnally open tank drain valve, tum the water metering pump ON, tum the run light
ON, and delay for 90 s.
3. Tum the syrup metering pump ON, tum the mixer ON, and delay for 60 s.
4. Tum the syrup metering pump OFF, tum the solids feeder ON, and delay for 30 s.
5. Tum the water metering pump OFF, tum the solids feeder OFF, and delay for 90 s.
6. Open the tank drain valve, tum the mixer OFF, and delay 60 s to drain the tank.
Draw a PLC input/output diagram for this system. Your diagram should show the timer preset, the se­
quencer parameters, and the contents of the memory addresses that hold the output conditions.
Solution The PLC input/output diagram is shown in Figure 12.14. The input and output assignments are as
follows:
StartPB IM:1-6 RUN light OM:1-1
Stop PB IM:1-7 Water metering pump OM:I-2
Syrup metering pump OM: 1-3
Solids feeder OM: 1-4
Agitator OM: 1-5
Drain valve OM: 1-6
The timer has a 30-s delay. All of the delays are multiples of 30 s, so the timed-step sequencer in Fig­
ure 12.12 will be satisfactory.

Solids
Water feeder
metering
pump

===O=~
Syrup
meterinG
J _-_-._._"""';j\""-_~
pump Run

®
o
START

o
STOP
Drain • Figure 12.13 Industrial blending process
valve (see Example 12.2).

---.-~.--.--.-~"---~ "-~"'-~"'--~"----
464 • Chap. 12 Programmable Logic Controllers

CPU

Timer Sequencer
RA : Registers

Steps:
Address Content
12

Delay 0151 0000 0000

30 sec Step Pointer:
0152 0010 0011
RA:0150
0153 0010 0011
0154 0010 0011
Starting 0155 OOIl OIlI
Register: 0156 ooll OIlI
RA:0151 0157 0011 1011
Output 0158 0011 0001
Destination: 0159 OOIl 0001
OM~I 0160 0011 0001
0161 0000 0001
0162 0000 0001

LI L2 LI L2.
IM:I OM:I
r--­
I L2 L2
I
~RUnhght
I ----+ I
WaterP.
2 ----+ 2 M
3 ----+ 3 ~SyruPP.
M Solidsf.
4 ----+ 4
Start ----+
~MiXp.r
5 5
----L-
A Drain
f-------o----L- 6 ~ ----+ 6
f-------o 7 ,.........
7
Stop
8 8

m­ -..- Gnd Gnd

• Figure 12.14 PLC input/output diagram for the industrial blendin3 process in .
Example 12.2.

STEP 1 holds th~ ~~'lll~nc.e:r in the: re:set condition, and only memory cell RA:OI51 holds the condi­
Lium; fill SIl"f' 1.
o 0 000 0 0 0
STEP 2 has a dwell of 90 s, so memory cells RA:0152, RA:0l53, and RA:0154 hold the following
cUIlliiliuilS fur SlEP 2:
o 0 000 I

I L
L Run light ON
LWater metering pump ON
Drain valve closed
• Sec. 12.4 PLC Programming Functions 465

STEP 3 has a dwell of 60 S, so memory cells RA:0155 and RA:0156 hold the conditions for STEP 3:
00110111
STEP 4 has a dwell of 30 s, so only memory cell RA:0l57 holds the conditions for STEP 4:
00111011

STEP 5 has a dwell of 90 S, so memory cells RA:0158, RA:0159, and RA:0160 hold the conditions
for STEP 5:

00110001

STEP 6 has a dwell of 60 s, so memory cells RA:0l61 and RA:0162 hold the conditions for STEP 6:

o 0 0 0 0 0 0 1
•
Compare Functions

Most PLCs have the ability to compare two operands. Both operands can be numbers stored
in memory registers, or one operand can be a constant and the other a memory register. A
compare function is programmed as a rung in the ladder diagram program with a NO enable
contact, a box that specifies the operands, and an output symbol. There are six possible com­
parisons that a PLC could make:
1. The EQ function is ON if the two operands are equal, or OFF if they are not.
2. The NE function is ON if the operands are not equal, or OFF it they are.
3. The GE function is ON if operand 1 is greater than or equal to operand 2, Of OFF if it
is not.
4. The LT function is ON if operand I is less than operand 2, or OFF if it is not.
5. The GT function is ON if operand 1 is greater than operand 2, or OFF if it is not.
6. The LE function is ON if operand 1 is less than or equal to operand 2, or OFF if it
is not.
Many PLCs have only tWO compare functions, HQ and UE. The other four compare functions
can be easily derived from the EQ and GE functions.

Arithmetic Functions

As the name implies, arithmetic functions perform arithmetic operations on one or two
operands and store the result in a destination memory register. An arithmetic function is pro­
grammed as a rung in the ladder diagram program with a NO enable contact, a specification
box, and an output symbol. The following operations are performed:
I. Addition. The two operands are added and the sum is stored in the destination
register.
2. Subtraction. One operand is suhtractt".d from the other and the difference is stored in
the de,",rinlltion register.
3. Multiplication. One operand is multiplied by the other and the product is stored in two
consecutive registers.
466 • Chap. 12 Programmable logic Controllers

4. Division. A double register operand is divided by a single register operand and the
quotient is stored in the destination register.
5. Square root. The square root of an operand is computed and stored in the destination
register.

Control Functions

A control function alters the way a PLC scans its program. The control function is pro­
grammed as a rung in the ladder diagram program with a NO enable contact and an output
symbol. The following four control functions are used in PLCs:
1. Skip (SK). When its Enable contact is ON, the skip function causes a portion of a pro­
gram to be passed over when the program is scanned. The number of rungs to be
skipped is specified above or below the skip output symbol. For example, an enabled
skip 3 function will cause the PLC to pass over the next three rungs in the program.
The output of the skipped rungs will remain unchanged-outputs that were ON remain
ON, and outputs that were OFF remain OFF.
2. Master Control Relay (MCR). The MCR function is similar to the skip function in that
it affects a specified number of rungs that immediately follow the MCR rung. How­
ever, there are two differences. The skip instruction does nothing when its Enable con­
tact is OFF; the MCR instruction does nothing when its Enable contact is ON. In other
words, the MCR instruction is activated when its Enable input is OFF. When activated
(enable OFF), the MCR instruction turns the specified number of outputs OFF. For ex­
ample, an activated MCR 3 function will turn OFF the next three outputs in the pro- .
gram.
3. Jump (JMP). The jump function causcs thc PLC scan to go immediately to the next
rung in the program that has a jump label (LBL) on the left side of the rung. The dif­
ference between a jump and a skip is that the skip specifies how many rungs to pass
over and the jump specifics where the bypass ends.
4. Jump to subroutine (JSR). The JSR function causes the scan to go to another section
uf the program that ends with a runs that has a return label (RET). When it reaches
the RET label, the PLC scan moves to the rung immediately after the JSR rung that
sent it to the subroutine. This is a very powerful programming tool that allows a pro­
grammer to develop sections of program that can be used in many programs and to
break a complex program into smaller, more manageable parts.

Data Move Functions

Medium and large PLCs have programming functions that copy data from one place and put
them in another place. A data move function is programmed as a rung in the ladder diagram
program with a NO Enable contact, a box that specifies the source and destination of the
move, and an output symoo!. The following are four move functions:
1. M(we (MV). When cnablc.d, th~ mr,lVt>: fun~,ion (:opies nata from the SOllf(,R. register intn
the destination register. Thc content of the source register is unchanged by this operation.
2. Block Transfer (BT). When enabled, the block transfer function copies data from a
block of source registers into a block of destination registers. Both blocks consist of
• Sec. 12.4 PLC Programming Functions 467

consecutive memory registers. The box of the block move function specifies the num­
ber of registers in the block and the addresses of the first registers in the source and
destination blocks.
3. Table to Register (TR). When enabled, the TR function copies data from a block of
source registers into a single destination register, one source register at a time. The
program rung of a TR function is similar to that of a sequencer. The TR box has three
parallel input contacts, Enable, Step, and Reset. The information in the box specifies
the number of registers in the block, the address of the first register in the source
block, and the address of the single destination register. When enabled, the TR func­
tion moves data from the one source register to the destination register each time the
step input changes from OFF to ON. After each transfer, the TR function moves down
to the next source register.
4. Register to Taf!le (RT). When enabled, the RT function copies data from a single
source register into a block of destination registers, one destination register at a time.
This is the reverse of the TR function.

Bit Manipulation Functions

Bit manipulation functions change the bits in a memory register in some manner. These func­
tions fall into three general classes: changing the status of individual bits, moving bits in a
register left or right, and performing logical operations on corresponding bits in two operands
(stored in memory registers).
1. Changing status functions include the bit set (BS) function, the bit clear (BC) func­
tion, and the bit follow (BF) function. The names describe the operation performed by
these functions. For example a BS 4, RA:0032 function, when enabled, will put a log­
icall in bit 4 of memory register RA:0032. ABC 0, RA:0125 function, when enabled,
will put a logical 0 in bit 0 of memory register RA:OI25. A BF 7, RA:0114 function,
when enabled, will put a 1 in bit 7 of RA:O 114; and when disabled, will put a 0 in that
same bit.
2. Bit moving functions include shift right, shift left, rotate right. and rotate left. In some
PLCs, the programmer can shift or rotate registers, several registers, a portion of a reg­
ister, or a specified number of consecutive bits. We will consider only whole registers
in this discussion. A rotate function moves aU the bits in a register I bit in the desig­
nated direction (right or left); For example, in an 8-bit register, a fOtate right moves bit
7 to the bit 6 position, bit 6 to the bit 5 position •... , bit 1 to the bit 0 position, and
bit 0 to the bit 7 position. The last move is the reason for the name of the rotate func­
tion. After eight rotations to the right, the register will he back where it started. The
shift also moves bits right or left, but in a shift right, bit 0 does not go to the bit 7 po­
sition. II~Sll!ad, a 1 or 0 goes into the bit 7 posit.ion, and the original bit 0 value is lost.
3. Logical functions perform logical AND, OR, and EXCLUSIVE OR operations on cor­
responding bits of two operands and store the results in a specified destination register.
For example, a logical AND function performs the following eight AND operations:

(bit 0 of opt) AND (bit 0 of op 2) ~ bit 0 of dest.

(bit 1 of opl) AND (bit 1 of op 2) ~ bit 1 of dest.

(bit 2 of opt) AND (bit 2 of op 2) ~ bit 2 of dest.

468 • Chap. 12 Programmable logic Controllers

(bit 3 of op 1) AND (bit 3 of op 2) -7 bit 3 of dest.

(bit 4 of opt) AND (bit 4 of op 2) -7 bit 4 of dest.

(bit 5 of opt) AND (bit 5 of op 2) -7 bit 5 of dest.

(bit 6 of opt) AND (bit 6 of op 2) -7 bit 6 of dest.

(bit 7 of opt) AND (bit 7 of op 2) -7 bit 7 of dest.

PID Control Function

In some PLCs, the PID control function is built into an I/O module. Figure 12.3 shows a PID
module that provides two PIO controllers capable of controlling two process variables. In
other PLCs. the PIO function is programmed as a rung in the ladder diagram program. Figure
12.15 shows a programmed PIO control function.

LI L2

PID Controller
Enable

Manual/Auto
Setpoint:
RA:0325

Process Variable:
RA:0326

Error.
RA:0330

Output:
RA:0331

P: RA:0327
I: RA:0328
D: RA:0329

Enable: Enables the functIOn when ON.

Manual!Auto: OFF tor manual, ON for automatic control.

S!.!lpuilll: Rt:).Iidt:l Ihal holds th.:- setpr.>!1'It

Process Vanable: Register that holds the process variable.

Error. Register that holds the error.

Output: Register that holds the output.

P: Register that holds the proportional gam settmg

I: Regl~ter that holds the the integral action time constant.
• Figure 12.15 A generic PID controller
D: Register that holds the derivative time setttng. function.
 • Chap. 12 Glossary 469

• GLOSSARY

Arithmetic functions: PLC programming functions that perform an arithmetic operation on one or
two operands and store the result in a memory register. The operations include addition, subtrac­
tion, multiplication, division, and square root. (12.4)
Bit manipulation functions: PLC programming functions that change the bits in memory by chang­
ing the status of individual bits, moving bits in a register right or left, or performing logical oper­
ations on corresponding bits in two operands. (12.4)
Communications module: A circuit that provides direct communication with the operator, a pro­
gramming terminal, other PLCs, or a supervisory computer. (12.2)
Compare functions: PLC functions that compare two operands and report the results through an
ON/OFF output. (12.4)
Control functions: PLC programming functions that alter the way a PLC scans its program through
skip, master control relay, and jump operations. (12.4)
CPU: The central processing unit of a PLC. See processor module. (12.2)
Counter function: A PLC programming function that performs counting operations in a ladder dia­
gram program. (12.4)
Data move functions: PLC programming functions that copy data from one place and put them in an­
other place. (12.4)
Input image status: The section of PLC memory that stores the status (1 's or O's) of the inputs from
switches and ON/OFF signals from the process. (12.2)
Input module, analog: A circuit that converts analog input signals to a digital form that can be used
by a PLC. (12.2)
Input module, discrete: A circuit that converts discrete (ON/OFF) signals into logic level voltages that
can be used by a PLC. Discrete input modules are designated as ac or dc, depending on the volt­
age used by the input device. (12.2)
Input scan: The first step in the operating cycle of a PLC, in which the processor scans the inputs and
stores a new image of the input conditions. (12.2)
Ladder Diagram programming language: A language for programming PLCs that uses contact and
coil symbols to cOllsllucl diagrams that are similar to the ladder diagrams used tor relay logic.
(12.3)
Module: A circuillhat mates with a standard socket in a rack that usually has a number of identical
sockets. (12.2)
Output image status: The section of PLC memory that stores the binary data O's or O's) that will
turn discrete output devices ON or OFF. (12.2)
Output module, analog: A circuit that converts a digital value ill a PLC into an :mlllog signal that can
be used by continuous output devices. (12.2)
Output module, discrete: A circuit that provides ON/OFF signals to opt:lale lamps, relays, solenoids,
motors, etc. Discrete output modules are designated as nc or dc, depending on the voltage used by
the output device. (12.2)
Output scan: The third step in the operating cycle of a PLC, in which the processor transfers the new
imagc of thc output COItditiolls [0 lh~ uUlput devices. (12.2)
PID control function: A PLC programming function that provides PID control of a continuous
process variable. (12.4)
PID module: A circuit that provides lhree-mode control of one or two process variables. (12.2)
Processor module: The PT .C module thnt contains the microproceflsor and IIIl:IIIUIY units. Also caned
the central processing unit, or CPU. (12.2)
Programmable logic controller (PLC): A digital, electronic device designed to control machines
alllI VlUcesses by performing event-driven and time-dnven sequential operations. (12.1)
Programmer: A hand-held device used to enter, examine, and change programs stored in a PLC. (12.2)
470 • Chap. 12 Programmable Logic Controllers

Program scan: The second step in the operating cycle of a PLC, in which the processor scans the pro­
gram and derives a new image of the output conditions from the new image of the inputs and the
old image of the outputs. (12.2)
Sequencer function: A PLC programming function that goes through a sequence of steps and pro­
duces a specified output pattern for each step. (12.4)
Sneak path: A path in a ladder diagram in which power flows from right to left through a contact.
02.3)
Timer function: A PLC programming function that produces a time delay in a ladder diagram pro­
gram. (12.4)

• EXERCISES

Section 12.1
SWItch Switch PLC Program
12.1 Write a description of a programmable logic con­ Type Action Contact Symbol
troller for a friend who knows nothing about control.
(a) NO not pressed NO
12.2 Explain the "divide and conquer" problem-solving (b) NO not pressed NC
technique in your own words. (c) NO pressed NO
(d) NO pressed NC
Section 12.2 (e) NC not pressed NO
(f) NC not pressed NC
12.3 Wnte a description of the five functional compo­ (g) NC pressed NO
nents found in all PLCs. (h) NC pressed NC
12.4 In a program scan, the processor scans which of the
following?
12.7 Rung 3 in a ladder diagram program has a Single
I. Input and derives a new output from the old input and NC contact symbol labeled 1M: 1-4 and an output symbol
the old output labeled OM: 1-3. The physical switch that is connected to
2. Input and derives a new output from the new input and tennmal 1M: \-4 is a nonnally closed pushbutton switch. If
the old output output OM: 1-3 is ON, is the pushbutton switch connected
3. Program and derives a new output from the old input to 1M: 1-4 pressed Of not pressed?
and the old output 12.8 Draw a PLC input/output diagram and a ladder di­
4. Program and derives a new output from the new input agram program for the hydraulic cylinder control circuit in
and the old output Figure 2.21. Refer to Figure 12.6 for an example of the I/O
12.5 Determine the logic level stored in an input image diagram and LD program.
memory cell when the processor scans each of the follow­ 12.9 Revise the hydraulic cylinder control circuit in Fig­
ing inputs. ure 2.21 to include a motor starter rung similar to the first
(a) A NO switch that is not pressed. rung in Figure 11.4. Then draw a PLC input/output dia­
(b) ANC switch that is not pressed. gram and a ladder diagram program for your revised con­
(c) A NO swilt;h lhal is pressed. trol circuit.
(d) A NC switch that is pressed.
Section 12.4
Section 12.3
12.10 Draw a PLC input/output diagram and a ladder di­
12.6 Dt:lt:nnilie the input image logic level for each of agram program for the alternative drilling machine control
the following input conditions. Then determme how the shown m Figure 11.12. Include the motor control circuit in
PLC computer interprets that logic level (Le., TRUE or Figure 1 J.9 in your I/O diagram and LD program. Refer
FALSE). lo Figure 12.4.
 • Chap. 12 Exercises 471

12.11 Draw a timing diagram of the control system in 12.18 Draw a PLC ladder diagram program that will turn
Example 12.1. ON a solenoid valve when count A reaches 10 or when
12.12 Draw a PLe input/output diagram for the control count Breaches 15.
system in Example 12.1. 12.19 The batch blending process in Exercise 11.3 is to
12.13 In Example 12.1, what is the purpose of the nor­ be controlled by a timed-step sequencer similar to Figure
mally closed T:4 contact in rungs 1, 2, 3, and 4? What 12.11. Draw a PLe input/output diagram for this system.
would happen if the T:4 contacts were removed from the Your diagram should show the timer preset, the sequencer
four rungs? parameters, and the contents of the memory addresses that
12.14 Draw a PLe ladder diagram program that will tum hold the output conditions.
a blower ON 12 s after a heater is turned ON. Reset the timer 12.20 Draw a ladder diagram program that uses two
when the heater is turned OFF, even if the 12 s has not comparators. EQ and GE, to produce all six compare func­
elapsed. tions as follows:
12.15 Draw a PLe ladder diagram program that will tum Rung 1 is TRUE when op1 is equal to op2 (EQ)

solenoid a ON immediately after switch SWI closes and Rung 2 is TRUE when op1 is not equal to op2 (NE).

then turn solenoid b ON 25 slater. Rung 3 is TRUE when op1 is greater than or equal to

12.16 Switch SWI is turned ON and remains ON for the op2(GE).

duration of an operation, but switch SW2 goes ON and OFF Rung 4 is TRUE when opl is less than op2 (LT).

many times during the operation. Write a ladder diagram Rung 5 is TRUE when op1 is greater than op2 (GT).

program that will turn ON a light when switch SW2 has ac­
cumulated 60 s of ON time. Rung 6 is TRUE when op 1 is less than or equal to op2

(LE).
12.17 Draw a PLe ladder diagram program that will turn
ON a light when a count reaches 30 and then turn the light
OFF when the count reaches 50.

--- --,--~-~-~~~~~---~~---
• CHAPTER 13 Control
of Continuous
Processes

• OBJECTIVES

A continuous process has uninterrupted inputs and outputs. The value of at least one input is changed in
a manner that tends to maintain the controlled variable equal to the setpoint. The output of a continuous­
process controller is determined by one or more modes of control. The most common control modes are
the two-position, floating, proportional, integral, and derivative modes. Usually, the proportional mode
is combined with the integral and/or derivative modes to form two- or three-mode controllers. Continu­
ous process controllers can be grouped into two categories, those in which the setpoint is constant for
long periods of time and those in which the setpoint is constantly changing. Control systems in the first
category are called regulator systems, and those in the second category are called servo systems. How­
ever, control system analysis and design methods work equally well on systems in either category.
The purpose of this chapter is to give you an entry-level ability to discuss, select, and specify COI1­
tinuous process controllers. After completing this chapter, you will be able to
l. Describe, select, and specify the following control modes
a. Two-position
b. Floating
c. Proportional (P)
d. Proportiunal plus integral (PI)
e. Proportional plus derivative (PO)
f. Proportional plus integral plus derivative (pm)

. 2. Describe

a. Data sampling
b. Digital control algorithms
c. Cascade control
d. Feedforward control
e. Adaptive control
f. Multivariable control
g. Fuzzy logic control

472 ••••
 • Sec. 13.1 Introduction 473

13.1 INTRODUCTION
The block diagram of a closed-loop control system was introduced in Chapter 1 and is re­
produced in Figure 13.1. Control is achieved by performing the following three operations:
Measurement. Measure the value of the controlled variable.
Decision. Compute the error (desired value minus measured value) and use the error to
form a control action.
Manipulation. Use the control action to manipulate some variable in the process in a way
that will tend to reduce the error.
The controller accomplishes the decision step and is the subject of this chapter. The con­
troller consists of an error detector and a control mode unit. The error detector computes the
error by subtracting the measured value (em) from the setpoint (SP). The control mode unit
uses the error signal to produce the control action (V).
One of the most important characteristics of a controller is the way it uses the error to
form the control action. The different ways the controller forms the control action are called
modes of control. Common modes of control include (1) two-position, (2) floating, (3) pro­
portional, (4) integral, and (5) derivative. This chapter begins with a detailed study of these
five modes of control. The methods used to describe control modes include input/output
. graphs, time-domain equations, frequency-domain equations, transfer functions, and Bode di­
agrams. Table 13.1 lists some variables that are used throughout this chapter.
The controller can be implemented by pneumatic circuits, analog electronic circuits, or
digital electronic circuits. Pneumatic controllers use a pneumatic equivalent of the operational

,---------,
I Controller I Disturbance
I I variables

Setpoint
I
I + /
Error detector I
I
++ Controlled
variable
Error .. C
I o =.Y. I
.£
I
~
O... =M 0,,=
SP E=SP-C... ' E I Controller V M
I -
I
~ I ou~ut
Control Manipulating Process
I I
'- - ­ -- -.- - -
modes
-- -'
elemelll

M~Asured value of
C
Controlled
controlled vanable vanable
Cm- Measuring C
transmitter

• Figure 13.1 Block diagram of a closed-loop control system. The controller con­
sists of an error detector and a control mode unit.
474 • Chap. 13 Control of Continuous Processes

• TABLE 13.1 Variables Used to Define Control Modes

Symbol De~cription Umts

D Derivative action time constant seconds

e Tlme-domam error % of ES."
E Frequency-domain error % ofES.
J Integral action rate I/s
p b
Proportion gam
v Tlme-domam controller output % ofF.S.
Vn Controller output when error = 0 % ofES.
V Frequency domain output" 0/0 of F.S.
a Derivaltve limiter coefficient (none)
O<a<l

• ES. = full scale.

b Gam IS dimensionless when error and output are expressed in per­

centage of full scale.

e Frequency-domam equation& are slmphfied by the assumption that Vo

is zero.

amplifier to generate the control action. Electronic analog controllers use a resistive circuit to
compute the error and an operational amplifier to generate the control action. Digital con­
trollers use a microprocessor and a control a1gorithm to generate the control action. Section
13.3 covers electronic analog controllers, and Section 13.4 deals with microprocessor-based
digilal contl'ollel's. .
The chapter concludes with an overview of advanced control methods in Section 13.5.
Advanced control refers to various methods of going beyond the single-loop single-variable
feedbaCK conlml ,,\ystem with three modes of control. Cascade control involves two con­
trollers in which the output of the primary controller is the input to the secondary controller.
Feedforward uses a model of the process Lo make changes in the controller output in response
to measured changes in a m~or load variable without waiting for the error to occur. Adaptive
control changes controller parameters to "adapt" to changes in the process. Expert system
control uses artificial intelligence to incorporate the knowledge of control e.x.perts into the
adaptive control system. Multivariable control uses measurements of several process load
variables and may involve the manipulation of more than one process variable.
A brief review of the effect of load changes will be quite helpful in developing an un­
derstanding of the function of the controller. The first-order lag process illustrated in Figure
13.2 will be used to develop the concept of a process load line. The liquid process in Figure
13.2a consists of a tank with liquid level, h, input valve resistance, Rm , and output resistance,
RL • The input valve is the final control element, and the input flow rate, 111, is the manipulated
variable. The liquid level, h, is the controlled variable. The output resistance, RL is the dis­
turbance variable. Load changes are created whenever RL changes.
The prucelSs is maintained in a balanced condition by adjusting the input flow rate, m,
until it balances the output flow rate, q. Assuming laminar flow, the output flow rate, q, is
given by

q = (~) h (13.1)
• Sec. 13.1 Introduction 475

Controller

l.V t

Liquid level. h

a) Liquid level process b) Liquid level load curve

100· 0...---------.,.

100"6

liquid level. h
Liquid level. h

c) The effect on the load

d) The effect on the load
curve of an increase In R L
curve of a decrease in RL

• Figure 13.2 The load hne of a liqUId level proces& depends on the outlet flow
resistance. Rv A nommal value of RL produces the original load line (b). A value of
RL larger than the nominal moves the load line down (0), nnd n smnller value moves
Ihft Imlli Imf'\ IIIl (<;I),

where g = acceleration by gravity = 9.81 m/s2

p = liquid density, kg/m 3
RL = liquid resistance. Pa . s/m 3
h = liquid level. m
If RL is constant, q is proportional to h. For each level, h, there will be a specific output flow
rate, q, and hence a specific input flow rate, m, necessary to maintain a balanced condition.
Each input flow rate, m, requires a specific position of the final control element, Rm , which,
in tum, requires a specific controller output signal, 'U. Eliminating the middle variables. each
level requires a different controller output signal to maintain a balanced condition in the
process. This concept is the basis of the process load line in Figure 13.2b.
 476 • Chap. 13 Control of Continuous Processes

Now let us examine what happens to the load line if RL changes. For example, if Rl., in­
creases for some reason, the output flow rate, q, will decrease [see Equation (13.1)]. This will
be reflected in a decrease in the controller output required to maintain a balanced condition,
as illustrated by the load line in Figure J3.2c. On the other hand, if RL decreases, the output
flow rate, q, will increase [Equation (13.1)]. This will be reflected in an increase in the con­
troller output, as indicated in Figure 13.2d. A load change is any condition that changes the
location of the load line. After a load change, the controller must adjust its output to the value
determined by the new load line. This change is accomplished by the action of the control
modes in the controller.

13.2 MODES OF CONTROL

Two-Position Control Mode

The two-position control mode is the simplest and least expensive mode of control. The con­
troller output has only two possible values. depending on the sign of the error. If the two po­
sitions are fully open and fully closed. the controller is called an ON/OFF controller. Most two­
position controllers have a neutral zone to prevent chattering. The neutral zone is a range of
values around zero in which no control action takes place. The error must pass through the
neutral zone before any control action takes place. Figure 13.3 shows the input/output rela­
tionship of a two-position controller.
The two-position control mode supplies pulses of energy to the process, which causes a
cycling of the controlled variable. The amplitude of the cycling depends on three factors: the
capacitance of the process, the dead-time lag of the process, and the size of the load change
the process is capable of handling. The amplitude of the oscillation is decreased by increas­
ing the l:ltliHdlance, decreasing the dead-time lag. or decreasing the size of the load change
that the process can handle. Two-position control is suitable only for processes that have a
large enough capacitance to counteract the combined effect of the dead-time Jag and the load­
change capability of the process. Two-position control is simple and inexpensive. Its use is
preferred whenever the cycling can be reduced to an acceptable level.

100

I
I
I
I
I
I
I
I • Figure 13.3 The output of a two-position
controller has one of two values, depending on
I

I
the value of the error signal from the error de­
tector. The neutral zone prevents chattering (Le.,
o + oscillation of the output between the two values
Error when the error fluctuate!. around zero).

.'
 • Sec. 13.2 Modes of Control 477

A household heating system is an example of a two-position control system. The air in

the house has a relatively large thermal capacitance, and the dead-time lag is small. The rate
of heat input from the furnace is just sufficient to heat the house on the most severe winter
day and is small compared with the capacitance of the room. The room temperature cyc1es
with an amplitude that is well within the acceptable limits of human comfort. This is an ex­
ample of a good application of the two-position control mode. The two positions provide in­
puts equal to the maximum and minimum process loads (Le., from no heat to just enough heat
to handle the coldest day). A poor design is one that uses a furnace 10 times as large as re­
quired. The large rate of heat input from an oversized furnace results in a large amplitude of
oscillation.

The two-position control mode is used on processes with a capacitance large enough to reduce
the cycling to an acceptable level. This implies a large capacitance process with a small dead­
time lag and small load changes.

EXAMPLE The liquid level process in Figure 13.2 is controlled by a two-position controller that opens and closes
13.1 the inlet valve. The inlet flow rate, m, is 0 when the valve is closed and 0.004 m3/s when the valve is
open. The oscillations in level are small enough that the outlet flow rate, q, is essentially constant at
0.002 m3/s. The tank has a cross-sectional area of 2.0 ml, and the process dead-time lag is 10 s. The
neutral zone of the controller is equivalent to a ±0.005-m change in level. Determine the amplitude and
period of the oscillation in level, h.
Solution (a) The rate of accumulation of liquid in the tank (a) is equal to the inflow minus the outHow.
a = m - qmJ/s
The rate of cbange of the level, dhldt, is equal to the rate of accumulation divided by the area
of the tank, A.

dh a m- q
-=--m/s
dt A 2.0
When the valve is open,

dh 0.004 - 0.002
0.001 mls
dt (',0

When the valve is closed,

dh 0-0.002 = -0001 I
dt 2.0 . m s

(b) A graph of the oscillation is illustrated in Figure 13.4. At point a, the valve is closed. The level
is changing at a rate of -0.001 mls (decreasing), and the level has reached the lower I,imit of
the neutral zone. After the l()"s dead-time lag, the controller opens the valve at point b. The
level has decreased an additional amount equal to (10 s) X ( 0.001 mls) = -0.01 m.
tb - ta = 10 s
 478 • Chap. 13 Control of Continuous Processes

h. meters

I
r-
,
IO-second dead time

, - --------------r---I e
+ ------------- i--t-­
0.01 I I

+ --
O~I

0.01
,0______ - r-------t-----­
I
I

I
~ --1----
I Ib
-----------~-----------
I
I ,..-Valve open--,..-Valve closed
I. seconds
-..j j.-IO-second dead lime

• Figure 13.4 OscillatIOn of the level of the liquid tank In Example 13.1.

(c) The valve is open from point b to point e, and the level is increasing at a rate of 0.001 m/s. It
takes 10 s to reach point c.

h( hI> = 0.01 m
The time required to move from point c to point d is equal to the change in level (0.01 m) di­
vided by the rate of change of level (0.001 m/s).
0.01
td - te = 0.001 lOs

hd - h, = 0.01 m
At point d, the level has reached the upper level of the neutral zone. After the 10-8 dead-time
lag, [he controller closes the valve al puinl e.
t. td "" 10 s

he - hd = O.oJ m
(d) Because the rate of increase and the rate of decrease of the level are equal, the time from (! to
II is the same a~ the time from b to e.

th - te = Ie tl> = 30 s
(e) The amplitude of oscillation is equal to he - hi>. and the period is equal to th - tb'

Amplitude (h, lib) I (hd he) I (he . Iftf)

= O.ot + 0.01 + om
= 0.03 m
Period = (t. - t~) + (tk te)
=30+30
= 60s
•
- - - - - - - - - - - - - : - - - - - - - - - - - - - - - : - - - -..... --~~--- ...... - - - - : - - - ....- . - . - - ­
 • Sec. 13.2 Modes of Control 479

+ ---I Neutral L
-I zone
I
I­
I
I
I
I
I
I
o -------- ~-+--~- --------­

o +
• Figure 13.5 Input/output grapb of the
Error floatmg control mode.

Floating Control Mode

The floatinf? control mode is a special application of t.he two-position mode in which the final
control element is stationary as long as the error remains within the neutral zone. When the
error is outside the neutral zone, the final control element changes at a constant rate in a di­
rection determined by the sign of the error. The final control element continues to change un­
til the error returns to the neutral zone, or until the final control element reaches one of its ex­
treme positions. The input/output curve of a floating controller is illustrated in Figure 13.5.
The floating control mode has a tendency to produce cycling of the controlled variable.
The amplitude of the cycling depends on the dead-time l/lg of the process, the capacitance of
the process, and the speed at which the controller increases and decreases the final control el­
ement. The speed of the final control element determines the fastest load change that the con­
troller can keep pace with, but not the size of the load change. The main advantagc of float­
ing control is its ability to handle load changes by gradually adjusting the final control
element. As with two-position contml, the. amplitude is decreased by increasing thc capaci­
tance, decreasing the dead-time lag, or decreasing the speed of the final control element.
Floating control is used when large load changes are anticipated, and the capacitance is large
enough to counteract the effects of the dead-time lag and the speed of the final control ele­
ment. Floating control is frequently used because it is inherent in the type of actuator used to
drive th~ finlll control element (e.g., electric motors and hydraulic cylinders opelalt::U by
ON/OFF relays or solenoid valves provide a floating control mode).

The floating control mode is used on processes with large, slow-moving load cbanges and a ca­
pacitance large enougb to reduce the cycling to an acceptable level. This implies a large capaci­
tance process with a small dead-time lag. The floating control mode is inherent in some final
control elements.

EXAMPLE The solid flow rate control system in Figure 2.19 is an example of a floating mode control system. De­
13.2 scribe the response of this system to a step increase in the density of the solid material passing over the
belt. Assume that the solid flow rate is at the setpoint before the step change in density.
480 • Chap. 13 Control of Continuous Processes

Solufion Before the step change, the beam is balanced and positioned at the midpoint between the two lever­
actuated switches. The gate drive motor is OFF, and the gate is stationary. As the higher-density mater­
ial begins to pass over the belt, the weight of solid material on the belt begins to increase at a steady
rate. The weight on the belt continues to increase until the entire platform is covered with the higher­
density material. As the weight on the platform increases, the added weight moves the force beam up
against the top switch (the DOWN switch). Eventually, the beam moves far enough to close the DOWN
switch-the beam has passed through the dead zone.
While the DOWN switch is closed, the drive motor turns the cam, lowering the gate at a steady rate.
As the gate height decreases, the weight of material on the platform also decreases, but the effect is de­
layed by the time it takes for the change to move across the belt. As the weight on the platform de­
creases, the force beam moves down until, eventually, it no longer holds the DOWN switch closed. The
gate dnve motor stops, and the gate position is again stationary.
The time it takes for changes to move across the platform presents a potential problem. When the
beam finally senses the correct weight on the platform, the gate has continued to move down as the cor­
rect weight moves across the platform. Thus when the gate finally stops, it has moved too far, and the
weight of solid material is less than It should be. If the change in density is small, the beam may not
move far enough to close the UP SWitch. The flow rate will be Jess than the setpoint, but it will be within
the dead zone. The gate will remain stationary.
If, however, the step change is large, the force beam will pass through the dead zone, clOSing the
UP switch. As the gate moves up, the weight on the belt increases, but the increase is delayed by the belt
travel time. Floating control produces an inherent cycling of the solid flow rate as the system "searches"
for the correct gate positIOn. We say that the control system "floats" about the desired setpoint, hence
the name floating control mode. •

Proportional Control Mode

The proportional control mode produces a change in the controller output proportional to the
error signal. There is a fixed linear relationship between the value of the controlled variable
and the position of the final control element. A simple example of a proportional controller is
shown in Figure 13.6. Tilt: controlled variable is the liquid level in the tank. The float is the
measuring instrument, the valve is the manipulating element, and the lever provides the con­
trol action. Notice that there is a different valve position for each level. The desired level is
ho, and Vo is the valve position corresponding to ho (vo is the position of the valve when the
error is zero). The valve position, v, is given by the following equation:
v ho - h
--..::..=--­
a b
Error signal = e ho - h

v=(~)e+uo (13.2)

where v valve position, m

lJo = valve position with zero error, m

e = error signal, m

Equation (13.2) is one version of the defining equation of the proportional control mode.
• Sec. 13.2 Modes of Control 481

IQ-t--T -b-----l'1
. . . .- ------....,

v _rr..;-;.;:-_ _,,=_~_-_-_---
~--~~~~-~-~-~~~-~---------------~
--- --- --------- --------
---
------- ---
-,
.J

Valve

Full-scale range - 0.1 meter

hol---,",

,, ......J ...., I
I
\

h ------~... _....,,-----­

Level

Full-scale range - I meter

v-vo = ho -h

Q b

• Figure 13.6 Simple proportional mode controller. The lever establishes a fixed
linear relation~hiJ1 Mfwoon the level (Ir) and the valv@ slt!1li pU6Itmn (v).

The gain (P) of the proportional controller in Figure J3.6 is the change in valve position
divided by the corresponding change in level. Both are expressed in percentage of the full­
scale range.

lOO{v - vo)
Perc.entage c.hange in valve position = 0.1

- 1000(v - vo)
JOO(ho - h)
Percentage change in level = 1

= HlO(ho - h)

Gain P = to,OO(v - Vo) :::: lO(v - va) "'" JO(f!.)

• WOCho - h) ho - h b
482 • Chap. 13 Control of Continuous Processes

Full~scale range:
(open) 100 """"'"---,------,
Valve stem travel = 0.1 meter
cf
Tank level:; I meter
.g
Proporllonal gain", 10%
l~
~
(closed) 0 I...-_ _ _-'--_ _~:s
o ho 100
(empty) Level. % (full)

a) ProportIonal gain =I
b= lOa
P=IO,ga=1

100 ; - - - - - - - - - - , 100
.g
'Vj
75
:~
8.~ 8.~ Vo

~0;
~ 25 >­
o~---~---~ 0

o he 100 0 25 ho 75 100
Level, % Level, %

b) Proportional gai~-=-0.5 c) Proportional gain = 2

b=2Oa b=5a
P= IOWa 0.5 P=IO:a =2

• Figure 13.7 Input/output graph~ for the controller 10 F!gureI3.6 with gains of
1.0.5, and 2. The gam is changed by moving the pivot POlOt on the lever to change
the ratio of distance a over distance b.

Figure 13.7 includes input/uutput graphs of the proportional controller in Figure 13.6
with gains of 0.5, 1, and 2. In this illustration, Vo is set at 50% open when ho is at 50% full.
Observe that the valve stem moves a distance of 0.1 m between open and dosed, and the level
sensor moves a distance of I m between empty and full.
A proportional gain of 1 is achieved by setting the fulcrum such that distance b is to
times distance a.
a a
P=lO-=lO­
b lOa
Figure 13.7a shows the input/output graph for a gain of 1. A level of 0% full (i.e., empty) yields
a valve position of 100% open, a level ot 5U% tull Yields a valve position of 50% open, and a
level of 100% full yil.~lds u vnlvl'l pn:<;itinn of 0% olien. With a gain of 1, a given percentage in­
crease in level produces the same percentage decrease in valve position (and vice versa).
A proportional gain of 0.5 is achieved by setting the fulcrum such that distance b is 20
times distance a.
 • Sec. 13.2 Modes of Control 483
a a
P = 10 b = 10 lOa = 0.5
Figure 13.7b shows the input/output graph for a gain of 0.5. A level of 0% full yields a valve
position of 75% open, a level of 50% full yields a valve position of 50% open, and a level of
100% full yields a valve position of 25% open. With a gain of 0.5, a given percentage increase
in level produces only half that percentage decrease in valve position.
A proportional gain of 2 is achieved by setting the fulcrum such that distance b is 5 times
distance a.
a a
P = 10- = 10- = 2
b Sa
Figure 13.7c shows the input/output graph for a gain of 2. A level of 25% full yields a valve
position of 100% open, a level of 50% full yields a valve position of 50% open, and a level
of 75% full yields a valve position of 0% open. With a gain of 2, a given percentage change
in level produces twice that percentage change in valve position.
In general, an increase in the gain reduces the size of the error required to produce a
100% change in the valve position. In other words, a high gain requires a small error to pro­
duce the change in valve position necessary to balance the process. Although this seems to
imply that the gain should be as high as possible, unfortunately, increasing the gain increases
the tendency for oscillation of the controlled variable. A compromise is necessary in which
the gain is made as large as possible without producing unacceptable oscillations.
One problem with the proportional control mode is that it cannot completely eliminate
the error caused by a load change. A residual error is always required to maintain the valve at
some position other than Vo. This is obvious in Equation (13.2), and it is equally obvious in
the simple system illustrated in Figure 13.6. A load change means that a different valve posi­
tion is required to maintain a balanced condition in the process. With a proportional control
-,
mode. a change in level is the only way that Lhe valve poSition can be changed. This change
or residual error is called the proportional offset. The size of the offset is directly proportional
to the size of the load changes and inversely proportional to the gain, P. The proportional con­
trol modc is used when the gain call lJe made large enough to reduce the proportional offset
to an acceptable level for the largest expected load change.
The response of the proportional mode control action is -instantaneous. There is no delay
between a change in level and the corresponding change in valve position. The Bode diagram
in Figure 13.8 is anolher way of looking at the response of the proportional control mode. No­
tice that the phase angle is 0° for all values of frequency. The absence of any phase lag is an­
other indication of the speed of response of the proportional control mode. The gain is also
constant for all values of frequency, with the decibel level determined by the value of the
gain P.

The proportional control mode is used on processes with a small capacitance and fast-moving
load changes when the gain can be made large enough to reduce the offset to an acceptable
level. This implies a process with a capacitance that is too small to permit the use of two-posi­
tioll or fluating control.

-------------------------------~- - ----------------------------
 484 • Chap. 13 Control of Continuous Processes

f P = 10
20

P .. I
o /'

p .. 0.1
-20 f

- 30·
II'"" /3
001
en
- -J00
CII. racbans/second

• Figure 13.8 Bode diagram of proportlonal control modes with gams of 10, I.
and 0.1. The phase angle. {3. is O· and the magnitude. m. IS constant for all values of
radian frequency. w.

PROPORTIONAL CONTROL MODE

Time-Domain Equation
v = Pe + Vo (13.31

Frequency-Domain Equation
V== PE (13.4)

Transfer Function
v
-=P (13.5)
E
(See Table n.l for definitions of the variables.)

Note: In the frequency domain. Vo is assumed to be zero to satisfy the condition of zero initial

conditions for transfer functions.

EXAMPLE A proportional controller has a gain of 4. Determine the proportional offset required to maintain
13.3 v - Voat 20%.
v - Vo
Solution Gain
E

4 = 20
E

E= 5%
•
- - - - - - - , - - ..... __. _ - - ­ - - _......._ - ... _---­
 • Sec. 13.2 Modes of Control 485

EXAMPLE The dc motor speed control system in Figure 2.15 is an example of a proportional mode control system.
13.4 Actually, the de motor works fairly well as an open-loop speed control system due to the feedback ef­
fect of the motor's back emf, eb' This was demonstrated in Example 10.3, where a dc motor underwent
a load change. The motor was running at 300 rad/s with a load torque of 0.05 N . m. The load torque
was increased to 0.075 N . m, causing the motor speed to drop to 291.7 rad/s, a decrease of only
8.3 rad/s, or 2.77%. Here is a summary of the motor conditions before and after the load change.

DC Motor Open-Loop Control

Before Load Change After Load Change

Torque, T (N • m) 0.05 0,075

Voltage, ell (v) 19.24 19.24
Current, ;" (A) 1.033 1.45
Speed, aJ (rad/s) 300 291.7

Let us see how the proportional control mode in Figure 2.15 improves the speed control of this motor.
The motor parameters from Example 10.3 are given in the following list. Included are the tachometer
gain, KI"". and the overall gain. Gnmp• of the op amp and the power amp in Figure 2.15.

Tf = 0.012 N • m KT = O.06N· mlA

T, = 0.05N· m Kli = 0.06 V • s/rad

T2 = 0.Q75 N • m K lac = 0.11 V • s/rad

R = 1.2!l Gamp 10.0 V!V

Detennine the "before" and "after" conditions for the de motor closed-loop contrul system. Include the
proportional offset in the "after" conditions.
So/mum The following de st~,(ldy-8tate equations are used in th~ ~ulutiun:

T Kri" - Tfo N • m (10.7)

(10.9)

(10.11)
or
eo = iaR + KEw, V
Additional subscripts are used to differentiate between the two load conditions. Thus Th i al • eat. WI> and
e"" indicllte conditions wh~n t.he load torque is 0.5 N . m, and T2• Jil2 • eal, W2, nnd Cm2 indicate condi­
tions when the load torque is 0,075 N . m,
(a) In the closed-loop control system, the input to the op amp is equal to the setpoint, sp, minus
the feedback voltage, em. The armature voltage, ea. is equal to the inPUt to the op amp multi­
plied by the overall gain of the two amplifiers. We compute the setpoint as follows:
em' = Kta< WI = (0,11 )(300) = 33 V
486 • Chap. 13 Control of Continuous Processes

sp 1~~4 + 33 = 34.924 V

(b) The setpoint of 34.924 V produces a motor speed of 300 rad/s with a load torque of 0.05
N· m. Our task is to determine the motor speed when the torque increases to 0.075 N . m with
the ~elpoillt Sli1llll34.924 V. To do this, we combine the equation for eml with the equation for
eal and change the subscripts as follows:

ea2 :::: (sp - K",c(2)G.mp

ea2 = (34.924 - O.ll(2)1O.0

The preceding equation has two unknowns, ea2 and W2. We obtain a second equation from the
second version of Equation (10.11) as follows.

ea2:::: (1.45)(1.2) + O.06W2

Solving the two equations for W2 gives us the following:

Wz ;= i347.5
ll = 299.57 rad/s

Comparison of Open.Loop and Closed-Loop Control

Open-Loop Closed-Loop

1,,1 (A) 1.033 1.033

lul (A) 1.45 1.45
WI (rad/s) 300 300
W2 (rad/s) 291.7 299.57
Residual error (rad/s) 8.3 0.43
Residual error (%) 2.77 0.143

The c1ose.d-loop proportional !)ff,>~t (resi(llllli error) is only 0.4, rad/II. Thill ~mllll nffsllt IIrror is dUll tn
the high gain of the proportional mode and the inherent feedback of the de motor. •

Integral Control Mode

The integral control mode changes the output of the controller by an amount proportional to
the integral of the error signal. As long as there is an error, the integral control mode will
change the output at a rate proportional to the size of the error. Figure 13.9 illustrates the re­
lationship between the error signal and the controller output. Notice that the rate of change of .
the controller output is proportional to the error signal (the rate of change is equal to the slope
of the graph).
The Bode diagram of the integral control mode is shown in Figure 13.10. The gain de­
creases at a rate of 20 dB per decade increase in frequency and passes through 0 dB at a ra­
 • Sec.13.2 Modes of Control 487

100

O~----~------~------~------r-----~--~
Time

Time

• Figure 13.' The integral control mode responds to an error signal by changing
the controller output at a rate proportional to the size of the error.

dian frequency equal to I, where I is the integral action rate. The phase angle is a constant
-90° for all frequency values. The integral control mode is almost always used with the pro­
portional control mode.

INTEGRAL CONTROL MODE

Time-Domain Equation
I

V =I~ edt + Vo (13.6)

Frequency-Domain Equation

(13.7)

Transfer Function
V I
-=- (13.8)
E s
(See Table 13.1 for definitions of the variables.)

----~~.-- .. - -.. - - - - - - - - - - - - - - - - - - - - - - . , - - - - - -..- - - - -..- -

...- -.. ~~~
---------------------------------~« ..- - - - - - ­

488 .• Chap. 13 Control of Continuous Processes

40

30

20

10

..!l

~
0
.8
Ii
-10 0"

-20 -30"
..
-30 -fH l
-8
r~ e!i
-40 -90"

-so -120"
I I I 10/ 1001
100 10
(ai, radianslseoond

• FIgUre 13.10 Bode diagram of an integral control mode. The gain decreases as
frequency increases and the phase angle is a constant - 90".

EXAMPLE Determine the equation of the straight line segments in the output graph in Figure 13.9, given the fol­
13.5 lowing values of the integral action rate (/), error (e), and initial output (v(O»).

I I s -I
, v= 1.5, t 0
e 0, O::;t::;ls

e = 2, l::;t::;2s

e = 4, 2::;t::;3s

e = 0, 3::;t::;48

e -2, 4 t::;5s

Solution (a) For 0 ::; t::; I s, e 0, v(0) 1.5

v(t) = I rI

edx + v(O) = (1) tI

(O)dx + 1.5 = 0 + 1.5

v(t) = 15, O::;t< Is

(b) For I ::; t::; 2 S, e = 2, v(l) = 1.5
I I (2)dx + 1.5
t I

vet) =I edx + v(l) (1)

1 I
• Sec. 13.2 Modes of Control 489

vet) = 2x1~ + 1.5 2(t - 1) + 1.5 = 2t 0.5

vet) 21-0.5, l:::;t<28

v(2) (2X2) - 0.5 = 3.5

(c) 2:::; t :::; 3 8, e = 4, v(2) = 3.5
t
v(t) = (1) { (4)d:c + 3.5 = 4(1 - 2) + 3.5

vet) 4t - 4.5, 2:::; t :::; 3 s

= (4)(3)
v(3) 4.5 = 7.5
(d) 3:::; t < 4 s, e = 0, v(3) = 7.5

vet) = 7.5, 3:::; t:::; 4 s

v (4) 7.5
(e) 4:::; t < 5 s, e= -2, v(4) 7.5

I (-2)d:c + 7.5 = -2(t -

t
vet) = (1) 4) + 7.5
4

vet) = -2t + 15.5, 4:::; t:::; 5 s

•
PI Control Mode

The integral mode is frequently combined with the proportional mode to provide an automatic
reset action that eliminates the proportional offset. The combination is referred to as the
proportional plus integral (PI) control mode. The integral mode provides the reset action by
constantly changing the controUer output until the error is reduced to zero. Figure 13.11 il­
lustrates the step response of a proportional plus integral controller. The proportional mode
provides a change in the controller output that is proportional to the error signal. The integral
mode provides an additional change in the output that is proportional to the integral of the er­
ror signal. The reciprocal of integral action rate (I) is the time required for the integral mode
to match the change in output produced by the proportional mode.
References to Figures 13.6 and 13.7 will help explain the effect of the integral mode por­
tion of the PI controller. In Figure 13.6, the proportional mode is implemented by the lever
and the proportional gain is determined by the distances a and b. More specifically, the pro­
portional gain is equal to 10 times distance a divided by distance b. The effect of the integral
mode is to change the length of the link from the left end of the lever down to the control
valve stem. The integral mode changes the length of this link at a rate that is proportional to
the error signal. By changing the length of the link, the integral mode changes the position of
the valve stem for a given level in the tank. For example, assume that the level is at 50%. The
integral mode can change the length of the link such that the valve could be at any position
from 0% to 100% open.
Fignre 13.7 gives us another view of the integral control mode. The three graphs in
Figure 13.7 show diagonal 1/0 lines with different slopes. The proportional mode determines
the slope of the I/O lines, as explained in Figure 13.7. The integral mode raises or lowers the
 _.---------------­ --~-- "

490
• Chap. 13 Control of Continuous Processes

Duplication
of proportional response
by mtegral mode
Integral
re§oo
:...
:;
c.
:;
0

~}--I
Time

,
I

L!J
..:
...
0 0
I Time
Ui

• Figure 13.11 Step response of a proportional plus mtegral (PI) control mode.

I/O line without changing its slope. By raising or lowering the I/O line, the integral mode au­
tomatically adjusts it to accommodate changes in the load on the process.
One problem with the integral mode is that it increases the tendency for osciUation of the
controlled variable. The gain of the proportional controller must be reduced when it is com­
bined with the integral mode. This reduces the ability of the controller to respond to rapid load
changes. If the process has a large dead-time lag, the error signal will not immediately reflect
the actual error in the process. This delay often results in overcorrection by the integral
mode-that is, the integral mode continues to change the controller output after the error is
actually reduced to zero, because it is acting on an "old" signal.
The Bode diagram of a PI control mode is shown in Figure 13.12. The diagram is divided
into two halves by the integral action break-point frequency, which is equal to the integral ac­
tion rate.
WI I
On the left side of the diagram, W < W" the integral action dominates with the gain decreas­
ing at 20 dB per decade and the phase angle equal to _900 • On the right side of the diagram,
W > W" the proportional action dominates with a phase angle of 0 and a magnitude deter­
0

mined by the proportional gain, P. The region between O.lwi and lOw; is a transition zone be­
tween the two sides of the diagram. In Figure 13.12, the proportional gain, P, is equal to 1,
which gives a magnitude of 0 dB on the Bode diagram. The effect of a proportional gain, P,
other than 1 is to raise or lower the gain curve without affecting the phase curve. A gain of
P = 10, for example, would raise the entire gain curve 20 dB. A gain of 0.1 would lower the
entire gain curve by 20 dB.
• Sec. 13.2 Modes of Control 491

The proportional plus integral control mode is used on processes witb large load cbanges wben
the proportional mode alone is not capable of reducing the offset to an acceptable level. The
integral mode provides a reset action that eliminates the proportional offset.

PROPORTIONAL PLUS INTEGRAL (PI) CONTROL MODE

Tune-Domain Equation

io
I

V Pe + PI edt + Vo (13.9)

Frequency-Domain Equation

V= PE+pG)E (13.10)

Transfer Function

;=p(I:S) (13.11)

(See Table 13.1 for definitions of the variables.)

(>t,
so
40
'\J
'ym
30
~
.8
Ii
20

10

-10
" r\.
~ i'....
I 'lDtegraI-action
break poim­ 30"

0"
~"
l / -30"
~

i
., 1//
-fJ1'
"CJ

eli

'----~~

10-3[ 10- 21
-/ IO-I[
-90"

1 101 loal
fI), radlllllslsecood or radians/minute

• Figure 13.12 Bode diagram of a proportional plus integral control mode. The
integral mode dominates at frequencies below Wi- The proportional mode dominates
at frequencies above &I,.
 492 • Chap. 13 Control of Continuous Processes

EXAMPLE A PI controller has a gain, P, of 2 and an integral action rate, I, of 0.02 s -I, The value of Va is 32%
13.6 (at t = 0). The graph of the error signal is given in Figure 13.l3a. Determine the value of the controller
output at the following times: t (a) 0, (b) 10, (c) 50, (d) 75, and (e) 100 s.

Solution The controller output is given by Equation (13.9), Substituting the values of Vo, P, and I, the equation
of the controller is

Io edt +
I

V = 2e + (2)(0.02) 32

,
The tenn Io e dt is equal to the net area under the error curve between 0 and t s.

(a) At t 0 S, e = 0 and the net area = 0;

v = (2)(0) + CiS) (0) + 32 32%

I
+ 10 -----------__- - - - - - - - - - .
~
..: :s 0
1--_ _-' ______________________________ ------------.­
~ I
:
I
t
II ~
I
-10 ----------+------------------------ ---.. -----+----­
I : I
I I I I; L
0 ~ ~ ~ ~ 100
l'ime. seconds
a) Graph of the error signal. e

100

o
Time. seconds
b) Graph of the controller output si,nal•

• Figure 13.13 Error and controller output graphs for Example 13.6.
 • Sec. 13.2 Modes of Control 493

(b) At t = 10 s, e 0 and net area = 0:

v = (2)(0) + (2~) (O) + 32 = 32%

(c) At t = SO s, e = 10% and net area = (10)(50 - 20) = 300%:

v = (2)(10) + CIs) (300) + 32 == 64%

(d) At t = 75 S, e = 0 and net area (10)(70 - 20) = 500;

v = (2)(0) + (;5) (500) + 32 = 52%

(e) At t == 100 S, e -10% and net area == (10)(70 - 20) + (-10)(100 - 80) = 300:

v = (2)(-10) + (;5) (300) + 32 24%=

A graph of the controller output is shown in Figure 13.13b.

•
Derivative Control Mode

The derivative control mode changes the output of the controller proportionally to the rate of
change of the error signal. This change may be caused by a variation in the measured vari­
able, the setpoint, or both. The derivative mode is an attempt to anticipate an error by ob­
serving how fast the error is changing and using the rate of change to produce a control ac­
tion that will reduce the expected error. The derivative mode contributes to the output of the
controller only while the error is changing. For this reason, the derivative control mode is al­
ways used in combination with the proportional or proportional plus integral control modes.

The derivative control mode is never used alone. It is always used in combination with the pro­
portional or proportional plus integral modes. '

The step and ramp responses of the ideal derivative control mode are given in Figure
13.14. At every instant, the output of the derivative control mode is proportional to the slope
or rate of change of the error signal. The step response indicates the reason that the ideal de­
rivative control mode is never used in practical controllers. The error curve has an infinite
. slope when the step change occurs. The ideal derivative mode must respond with an infinite
change in the controller output. In practical controllers, the response of the derivative action
to rapidly changing signals is limited. This greatly reduces the sensitivity of the controller to
the unwanted noise spikes that frequently occur in practice.
The Bode diagram of the ideal derivative mode (not shown) is the opposite of the inte­
gral mode diagram shown in Figure 13.10. The gain increases at a rate of 20 dB per decade
increase in frequency, and passes through 0 dB at a radian frequency equal to tiD. The phase
angle is a constant +90" for all frequency values. The equations of the ideal derivative con­
trol mode are given below. The practical derivative mode is covered in the next section.
494 • Chap. 13 Control of Continuous Processes

::..
i 0
I I
-------- -------- Time
~
<5 I
I
I
I
I I
I I
I I I
I I I I
-GO I I I
I I
I I I I

I.t.l
t
UI
O'I---........ --------'-----.lfIf'::.

Time

• Figure 13.14 Step and ramp response of the ideal derivative control mode.

IDEAL DERIVATIVE CONTROL MODE

Time-Domain Equation
de
v=D­ (13.12)
dt
Frequency-Domain Equation
V= DsE (13.13)

Transfer Function

(13.14)

(See Table 13.1 for definitions of the variables.)

PD Control Mode

The derivative control mode is sometimes used with the proportional mode to reduce the ten­
dency for oscillations and allow a higher proportional gain setting. The combination of pro­
portionlllllnd derivative modes is referred to as the PD control mode. The proportional mode
provides a change in.the controller output that is proportional to the error signal. The deriva­
tive modc provides an additional change in the controller output that is proportional to the rate
• Sec. 13.2 Modes of Control 495

of change of the error signal. The derivative mode anticipates the future value of the error sig~
nal and changes the controller output accordingly. This anticipatory action makes the deriva­
tive mode useful in controlling processes with sudden load changes. For this reason, the de­
rivative mode is usually used with proportional or proportional plus integral control when the
sudden load changes produce excessive errors. The derivative mode control action opposes the
change of a controlled variable. which helps damp out oscillations of the controlled variable.

The proportional plus derivative control mode is used on processes with sudden load changes
when the proportional mode alone is not capable of keeping the error within an acceptable
level. The derivative mode provides an anticipatory action that reduces the maximum error pro­
duced by sudden load changes. It also allows a higher gain setting, which helps reduce the pro­
portional offset.

Equation (13.15) is the time-domain equation of a practical proportional plus derivative con­
trol mode. The Pe term is the proportional mode action. The PD dejdt term is the ideal de­
rivative mode action, and aD dv/dt is the term that limits the response produced by mpidly
changing signals. Equation (13.16) is the frequency-domain equation, and Equation (13.17)
is the tmnsfer function.

PROPORTIONAL PLUS DERIVATIVE (PD) CONTROL MODE

Time-Domain Equation

v = Pe + PD ­de
dt
dv
- aD ­
dt
+ vo (13.15)

Freqwmry-nnmain Equation
v = PE + PDsE - aDsV (13.16)
Transfer Function

v = p( I + D:,) (13.17)
E 1 + aDs
(See Table 13.1 for definitions ofthe variables.)

The Bode diagram of a PD control mode is shown in Figure 13.15. The proportional
mode dominates the left side of the diagram (where W < Wd - liD). The proportional gain
raises or lowers the entire gain curve, just as it did in the PI control mode. The derivative
mode causes the gain curve to slope up at 20 dB per decade at the derivative-action break
point. The derivative limiter causes the gain to return to horizontal at the limiter break point.
The diagram clearly shows how the derivative mode amplifies high-frequency signals, and
how the derivative limiter reduces the amplification of high-frequency !tigna11!. Notice also
that the limiter causes the phase angle to return to 0° at the higher frequencies. In effect, the
PD control mode provides a phase lead over a band of frequencies. Controller design involves
the placement of this phase lead where it will do the most good.
496 • Chap. 13 Control of Continuous Processes

60

Ideal /
derivative //
SO

40

mode-
..,..'
/
/'
//
30

limiter break pomt "-....

~ 20 /'"
~
10 / "'"\.Practical-
Ii
m\.....- ~ derivative mode
0

,.,Derivallve-acllon
10
break pomt
Ideal
-20
/ - ------ 90°
.,- "
,/

/. ~
V Praclical
IJ

-V ~~
-30·

0.01 0.1 10 100 1000

D D D o D [)
co. radians/second

• Figure 13.15 Bode diagram of a practical derivative control mode with a = 0.1.

EXAMPLE A PD controller has a gain (P) of 0.8, a derivative action time constant (D) of 1 s, an initial output (110)
13.7 of 40%, and a derivative limiter coefficient (a) of 0.1. The graph of the error signal is given in Figure
13.16. Determine the value ofthe controller output (u) at the following times: (a) t = 0 s, (b) t = 10-, an
instant before t = 10 s, (c) t = 10+, an instant after t = 10 s, (d) t = 20 s, (e) t = 40 s, and
(f) t ;;; 60 s. Assume that the derivative limiter term is negligible.

Solution The controller output is given by Equation (13.15). Using the values and assumptions given above. the
equation for the controller is
. de
v = O.lle + O.1l dt + 4U
The term dc/dt is equal to the slope of the curve at any given instant of time.
(a) At t = 0, e = 0, and the slope = de/dt = O.
v = (0.8)(0) + (0.8)(0) + 40 ;;; 40%
(b) At t ""' 10 . ,an instant before t ... 10 S, e '"" 0, and the slope ... de/dt"'" O.
v = (0.8)(0) + (0.8)(0) + 40 = 40%
• Sec. 13.2 Modes of Control 497

60

0,0 I
....I: I
I
.!!, I
so I
I
0
I
I
I
I
I
I
I
I
I Time
I
I
I
I
I I
___ JI _______ I

20
I

~ I
I
....I: I
~ I ___ ~ ___ ~ ___ ~ ___ L ___ L ___ I
0
g
III
10 20 30 40 SO 60 80 90 Time

• Figure 13.16 Error and controller output graphs for Example 13.7.

(c) At t =: 10+, an instant after t = 10 S, e = O. and the slope = de/dt = 20/20 = 1%1"·
v::: (0.8)(0) + (0.R){1) + 40 ::: 40.8%
(Notice the increase in v from 40.0% to 40.8% at t passes 10 s. We say there is a step change
in v of 0.8% at t = 10 s.)

(d) At t = 20 s, ,e = 10% and de/dt = 20/20 = 1%/8.

v (0.8)(10) + (0.8)(1) + 40 = 48.8%

(e) At t = 40 S, e = 20% and de/dt = O.

v = (0.8)(20) + (0.8)(0) + 40 = 56%

(f) At t = 60 S, e = 10% and de/dt = -20/20 = 1%/s.

11 = (0.8)(10) + (O.8){ -I) + 40 47.2%

The diagram of the output, 11, is shown in Figure 13.16. •

PID Control Mode

The PlD control mode is a combination of the proportional, integral, and derivative control
modes. A PID controller is also referred to as a three-mode controller. The integral mode is
used to eliminate the proportional offset caused by large load changes. The derivative mode
498 • Chap. 13 Control of Continuous Processes

reduces the tendency toward oscillations and provides a control action that anticipates
changes in the error signal. The derivative mode is especially useful when the process has
sudden load changes.

The proportional plus integral plus derivative control mode is used on processes with sudden,
large load changes when one- or two-mode control is not capable of keeping the error within
acceptable limits. The derivative mode produces an anticipatory action that reduces the maxi­
mum error produced by sudden load changes. The integral mode provides a reset action that
eliminates the proportional offset.

Equation (13.18) is the defining equation for an ideal three-mode controller.

I d
v =: Pe + PI { edt + PD d: + Vo (13.18)

The practical PID controller includes the derivative limiter term introduced in the section on
the PD control mode. Equations (13.19), (13.20), and (13.21) define the practical PIO con­
troller.

PROPORTIONAL PLUS INTEGRAL PLUS DERIVATIVE (PID)

CONTROL MODE
Time-Domain Equation
, de dv
v = Pe + PI
Io e dt + PD -­dt - aD
dt
+v
0
(13.19)

Frequency-Domain Equation

V PE + pG)E + PDsE ­ aDsV (13.20)

Transfer Function
V= P(I + s + DS2) (13.21)
E s + aDs2
(See Table 13.1 for definitions of the variables.)

EXAMPLE A pm cont.roller has the following parameters: P "" 4.3, I = 0/7) S-I, D = 0.5 s, Vo 10%. The
13.8 graph of the error signal is given in Figure 11.17. Oetermine the output of the controller at t (a) 5,
(b) 10, (c) 15, and (d) 25 8. ASSlIme that the derivative limiter term i~ negligible.

Solution The controller output is given by Equation (13.19). Using the values and assumptions given above, the
equation for the controller is

v = 4.3e + 0.614 {' edt + 2.lS(~;) + 10

 • Sec. 13.2 Modes of Control 499

100
90
80
~
70
~
'-'
60
i

2
50
40
]
S 30
u
20
10

I
0 51 I
tOl 15 20 25
Time, seconds
,I
I

,,, ,,i
I
10
~ 5
S
] -5
0
__ I
I

I
__ J_J_!·,
\
__ ___
I I
1 ___ * ___ I
,
,
1

·· ··
~ ~ ._~ ~_~

·
I
I

I
I
\
\
~ : I
.\
I
I
I
,
I
\

\ I I

I I I

0 456 1011 15 17 20 25 • Figure 13.17 Error and controller output

TIme, seconds graphs for Example 13.8.

The term io edt

I

is equal to the net area under the enul curve between 0 and I ii. The term de/dt is equal
to the slope of the curve at any given instant of time.

(a) At t = 5 8, e - 5%, net area = (O.~)(l)(~) = 2.5%/s and slope = 10/(6 - 4) = 5%/s:

v (4.3)(5) + (0.614)(2.5) + (2.15)(5) + 10

= 44%

(b) At t = 10 S, e = 10%, net area = (0.5)(2)(10) + (4)(10) = 50, and slope = 0:

v = (4.3)(10) + (0.614)(50) + (2.15)(0) + 10
= 84%
(c) At t - IS s, e = U, net arca - (0.5)(2)(10) + (~)(1O) + (0.5)(4)(10) = 80, and slope = -15/
(17 - 1t) "'-' -2.5%/5:
v = (4.3)(0) + (0.614)(80) + (2.15)( -2.5) + 10
= ,4%
500 • Chap. 13 Control of Continuous Processes

(d) At t "" 25 s, e -5%, net area = 80 (0.5)(2)(5) - (8)(5) = 35, and slope = 0:

v (4.3)(-5) + (0.614)(35) + (2.15)(0) + 10

10%
A graph of the controller output is included in Figure 13.17.
•
13.3 ELECTRONIC ANALOG CONTROLLERS

An electronic analog controller has two main parts: the error detector and the control mode
unit. An example of an electrical error detector is illustrated in Figure 13.18. The output of
the measuring transmitter is a 4- to 20-mA electric current signal. Each value of the current
represents a unique value of the controlled variable, c. The 4-mA signal represents the mini­
mum value of c, and the 20-mA signal represents the maximum value. The current signal is
applied to a 62.5-0 resistor, resulting in a 0.25- to 1.25-V signal across the resistor. The set­
point signal is produced by a potentiometer with a 0.25- to 1.25- V output range. The two volt­
age signals are connected in opposition so that the voltage between points a and b is equal to
the setpoint signal minus the measured value signal.
e = sp - em
The control mode unit is sometimes called "the controller," although it is actually one
part of the unit that is usually called by that name. The electronic analog controller uses a sin­
gle operational amplifier and some resistors and capacitors to form the control mode unit. The
operational amplifier is used as a function generator, and the resistors and capacitors are
arranged to implement the transfer function of the desired cont.rol mode or comhination of
modes.
The analog proportional controller uses three resistors to form an inverting amplifier (see
Figure 13.19). The circuit has two inputs, the error, e, and the output offset, Vo. The propor­
tional gain, P, is equal to the feedhnck reshtor, R,; divided hy the error input resistor, R I' The
offset resistor, Ro> must be equal to the feedback resistor, Ri , to satisfy the time-domain equa­

----------------~--------------~a

':)-1
!C
In
em
+
62.50
+

~ + 1.25V

e = sp em

Sf'

--------------------L-----------~~b
o ZeroadJ.
• Figure 13.18 Typical error detector In an
electroniC analog controller
• Sec. 13.3 Electronic Analog Controllers 501

Vo
+

+
e v
+
Time-domain equation: v = Pe + q,

Transfer function = V =P
E

• Figure 13.1' An analog proportional con­

troller is essentially an op-amp inverting
amplifier.

tion. The output lines can be reversed to make the output either positive or negative with re­
spect to the sign of the error. Some applications of the controller will require a positive out­
put for a positive error, and other applications will require a negative output for a positive
error.
The proportional plus integral controller uses two resistors and a capacitor to implement
the PI transfer functioll (sec Figure 13.20). The capacitor, C" is placed in series with the ft:t:u­
back resistor, Rj • The gain, P, is equal to the feedback resistor, Ri , divided by the input resis­
tor, RI. The integral action rate is equal to the reciprocal of the product of the input resistor,
R" and the capacitor, C,.
The proportional plus derivative controller uses four resistors and a capacitor to imple­
ment the PD mode (Figure 13.21). The circuit is a proportional controller with a parallel com­
bination of resistor, Rd, and capacitor, Cd, placed in series with the input resistor, R I • The
equations for the gain, derivative action time constant, and derivative limiter coefficient are
given in Figure 13.21. A typical value of if is O. t.

+
e v
+
Transfer function = VIE = P [ I ; S]

I = R ~ = integral action rate, second-I

, I • Figure 13.20 Analog proportional plus in­

P = R/R, == gain tegral (PI) controller.
502 • Chap. 13 Control of Continuous Processes

R"

+
1I
+

Transfer function = Y= p [ I + Os ]
R E l+aOs
f .
P =--=gam
R/ + Rd

0= RdCd '" the derivltive action time constant, seconds

a = R/ ; R "" derivative limiter coefficient

d • Figure 13.21 Analog proportional plus de­
R.=R, nvattve (PD) controller.

Two versions of the analog PID controller are shown in Figure 13.22. One version
(Figure 13.22a) forms the derivative action on the input side and the integral action on the out­
put side. The other version (Figure 13.22b) does just the opposite and forms the integral ac­
tion on the input~ide and the derivative action on th~()utput side. The equations for the con~_
troller parameters for each version are given in Figure 13.22.
The transfer function for the analog PID controller is a modified version of Equation
(13.21). The modification is done for reasons of economy and consists of two first-order net­
works in series. The implementation of Equation (13.21) in its exact form requires three op­
erational amplifiers. The derivative and integral terms must be formed in parallel and then
summed with a summing amplifier. The modification consist~ of inserting an interaction term
(pIDe) in the time-domain equation, as shown below:
t de dv
lJ '= Pe -I- PlDe -I- PI
io edt + PD
dt
- aD -
dt
+ vI)

A Laplace transformation of the equation above with Vo 0 gives the following frequency­
domain equation:

V PE + PlDE + pG)E + PDsE - aDsV

Solving for the ratio VIE gives the following transfer function:

V P + PlD + PIts + PDs

(13.22)
E I + aDs
or
V p(1 + (1 + lD)s + DSZ) p(~)( 1 +DS) (13.23)
E s + aDs2 s 1 + aDs
 • Sec. 13.3 Electronic Analog Controllers 503

+
e v
+
a) Denvative input and integral oU!put

R,

C,
!

+
e v
+
b) Integral input and derivative output

V
Transfer function = -E =P (/+S)(
- I+DS)
- -­
s 1+ aDs

Figure 13.22a Figure 13.22b

P P = (C/Cl)

a=

1 = lI(RiC,) 1= lI(RiC,) Figure 13.22 Two versions of the analog

oportional plus integral plus derivative (PID)
D RdCd D Rd(C I +C2) ntroller.

EXAMPLE Determine the values of RI and Rj for an electronic proportional plus integral controller with a gain, P,
13.9 of2 and an integral action rate, I. of 0.02 S-I. Use a 100J.'F capacitor for C,. Determine the transfer func­
tion.

Solution The equations are given in Figure 13.20.

(a) I Ij(RiC,): therefore, R, 1/(IC,):

50
R, =-=5MU
10- 5

(b) P = Ri IR j ; therefore, RI = R,IP:

6
RI = 5 X 10 = 2 5 Mfi
2 .
504 • Chap. 13 Control of Continuous Processes

The transfer function is

~== 2(1 + SOs)

E 50s
•
EXAMPLE Determine the value of Rh R.. Rd , and Cd for the analog PID controller in Figure 13.22a. The controller
, 13.10 has a gain, P, of 4, an integral action rate, I, of ~ s-', a derivative action time constant, D, of O.S s. and
a derivative limiter coefficient, a, of 0.1. Use a 10-#-tF capacitor for Cr. Also determine the transfer func­
tion.
Solution The equations are given in Figure 13.22a.
(a) I 1/(R,Cr); therefore, R, = 1/(IC/):
7
RI =-==700kO
10-5

(b) a = R,/(R 1 + Rd ); therefore,

Rd = C a a)RI = CO.~.l )R, = 9R,

(c) P R;j(R, + Rd ) == R,/(IOR 1); therefore,

RI ~= 700kO = 17SkO
lOP 40 .

(d) Rd = 9R, = (9)(17.5 kO) = 157.5 kO

(e) D = RuCd; therefore, Cd = n/Rd:
0.5
Cd = 157.5 kO = 3.2 #-tF

The transfer function is

~ = 4 [' + (1 + 0.5/7)s + 0.5S

2
J= I + 7.5s + 3.5s
2

E s + 0.05s2 1.7Ss + 0.0875s2

•
13.4 DIGITAL CONTROLLERS

Microprocessor-based digital controllers are now very commonplace in industrial control

systems. There are many reasons for the popularity of digital controllers. The power of the
microprocessor provides advanced features such as adaptive self-Luning, 1I1ulLivadable con­
trol, and expert systems. The alJilily of the microprocessor to communicate over a field bus or
local area network is another reason for the wide acce~tance (If the digItal controller. Digital
controUers used for c1osed~loop control generally implement the PI, PD, or PID control
modes. In this section we examine the PID digital controller.
 • Sec. 13.4 Digital Controllers 505

Sampling

A digital controller measures the controlled variable at specific times, which are separated by
a time interval called the sampling time, At. Each sample (or measurement) of the controlled
variable is converted to a binary number for input to a digital computer or microcomputer.
The computer subtracts each sample of the measured variable from the setpoint to determine
a set of error samples.
el = sp - Cml = first error sample
e2 = sp - Cm2 = second error sample
e3 = sp - Cm3 = third error sample

en = sp - Cmn present error sample

Control Algorithms

After computing each error sample, a digital PID controller follows a procedure called the
PID algorithm to calculate the controller output based on the error samples: eh ez, e3, ... ,
en- The PID algorithm has two versions, the positional version and the incremental version.
The positional PlD algorithm determines the valve position, Vm based on the error sig­
nals. Equation (13.24) is a simplified version of the positional algorithm.
j=n Ae
Vn = Pen + PI At :2 e, + PD An (13.24)
,= I t
where v" = present valve position, percentage of fun scale
P = controller gain
ell = present error sample, percentage of full scale
At sample time, s
I = integral action rate, s - I
D ;:::; derivative action time constant, s
Aen ;:::; e" - e,,_1 = change in the error signal
A flow diagram of a positional PID algorithm is shown in Figure 13.23.
The incremental P1Vaigorithm determines the change in the valve position, AVn = V,,­
Vn-It based on the error samples. The incremental algorithm can be determined by using
Equation (13.24) to determine v" and Vn_1 and then subtracting to obtain Equation (13.25) as
follows:

(13.25)

- ....- - -..... ---~

.... -~-- ..... ~--~
506 • Chap. 13 Control of Continuous Processes

INPUT Cmn FROM

CIOn = nth sample of controlled
ADC
variable
sp = setpoint
e. = n'h sample of error
l
In :: integral mode action
p. :: proportional mode action
COMPUTE ERROR D. :: derivative mode action
en = sp - Cmh DELTA:: sample time used to
compute the derivative
mode action
l

COMPUTE PROPOR·

TIONAL ACTION

Ph = P*e n
DELAY UNTIL
TIME TO START
NEXT SAMPLE
t
COMPUTE INTEGRAL
ACTION
In" 1.- 1 +
P.'*DELTA*e.

l
COMPUTE DERIVA·
TIVE ACTION
Aen = en - en-I ~
On '" P·D*AE"IDELTA

t
_YJ.=,!a..±.Ld .PL_
OUTPUT V. TO
DAC

• Figure 13.23 Flow diagram of a positional PID control algonthm .

where .:lVII = VII - Vn"t

.:le" = en e,,_1
.:len - .:lell_1 ell 2ell 1+ e,,"2

The incremental algorithm is especially suited to incremental output devices such as

stepper motors. The positional algorithm is more natural and has the advantage that the con­
troller "remembers" the valve position. If the sample time, .:It, is much shorter than the inte­
gral action time constant, T, = 1/1, the positional algorithm will produce a behavior similar
to an analog controller.
• Sec. 13.4 Digital Controllers 507

The Integral Mode

The integral mode in Equation (13.24) presents computational problems that can produce un­
satisfactory results. The integral mode is given by the following term in Equation (13.24).
j=n
Integral term = PI At ~ ej (13.26)
J=I

For each sample, the integral mode must produce a change given by
Integral mode change PI At ej (13.27)
When the value of PI At is less than 1, it is more convenient to work with the reciprocal of
PI At, which cou1d be stored in the computer as an integer. In this case, Equation (13.27)
would be revised as follows:

PI At
(13.28)
ej
Integral mode change = -
IDlY

If PI At is very small, the computer may ignore relatively large errors because of insufficient
resolution. For example, consider a digital controller with a 12-bit word length. The resolu­
tion of a 12-bit binary number is 1 part in 4096. To illustrate a point, let's assume that a 12­
bit binary number is used to represent a range of errors from -2048 to +2047. If P :::= 0.5,
At = 1 s, and I = 0.002 S-I, then
PI At = (0.5)(0.002)( t) = 0.001
IDlY = 1000
Any value \"'If f:ITflf gl'l;:'!ale.llball 1000 and less than + 1000 (I.e., 48% of the full-scale range)
would result in an integral mode change Jess than t, which would be ignored. This small
change would then be lost unless a special provision is made to include thc changc in the cal­
culations for the next sample. The end result is a permanent offset error that the integral mode
is unable to eliminate. .
One solution to this integral offset problem is to increase the precision by increasing the
word length in the computer. A 16-bit word length has a precision of 1 part in 65,536, which
could represent a range of errors from - 32,768 to + 32,768. This would reduce the offset er~
ror to about 3% of the full-scale range.
Another solution is to add the unused portion of the sum of the error samples to the cur­
rent error sample, em before computing the integral mode change. In the precedil1g example,
an error of 900 in each of two successive samples would not produce an integral mode change
because each sample is less than 1000. However, if the first sample is retained, the sum of
1800 would produce an integral mode change of 1800/1000 = 1 with a remainder of 800.
The remainder of 800 would be retained to be added to the next error sample. Every time the
accumulated remainder plus the current error is greater than 1000, another increment wilt be
added to the integral mode change.

~~~-~~~- ....- ­
508 • Chap. 13 Control of Continuous Processes

Derivative Mode

The derivative mode in Equation (13.24) also presents computational problems that can pro­
duce unsatisfactory results. A slowly changing signal, for example, results in a 'jumpy" de­
rivative mode action. Let's examine how this can occur and what can be done to smooth out
the derivative action.
The derivative mode is given by the following term in Equation (13.24)

Derivative term PD( en A e -

1.\ tn
I)
(13.29)

The term (en - en_I)/At is actually an estimate of the rate of change of the error, de/dt. Be­
cause dt is fixed by the sampling rate, our attention will focus on the term (en - en_I), which
we will represent as estl' The derivative term produced by estl will be called D I .
(13.30)
est)
DI = PDt;; (13.31)

If P 6, At = 1 s, and D 100 s, then

D) = (6)C~0)(estl) == (600)(estJ)
Table 13.2 shows the derivative term that is produced by a controlled variable that decreases
at tbe rate of 0.5% per second. Notice that the derivative term, D J, jumps back and forth be­
tween 0 and 600 because the estimate, est" oscillates between 0 and 1.
What is needed is a better estimate of de. The theory of digital estimators is beyond the
scope of this book. However, a simple example will show how a good estimator can smooth
out the derivative term. The idea of an estimator is to use previous samples to improve the es­
timate. For our example, we lise an estimator that uses the last four samples to estimate Ae.
We will call this estimate est2 and the derivative term it produces, D 2 •
(13.32)
est2
D2 = PD 22 At (13.33)

If P = 6, At = 1 s, and D = 100 s, then

D2 = 6C~)est2 = 150estz
Table 13.2 shows how our simple estimator has smoothed out the derivative term. The est2 es­
timator has an effective sample period of 2 s. It used two samples to estimate en and two more
samples to estimate en-2' The 22 term in the equation for D2 accounts for the doubling of the
sample period and the use of two samples to determine an average. The idea of the est2 esti­
mator can be extended to include more previous samples. An ests estimator would increase

- - - - - - - - - - - - - ...... - - - - - - - - - ...... --.~----

 • Sec. 13.5 Advanced Control 509

• TABLE 13.2 Derivative Action Produced byTwo toe

Estimators (setpoint, sp == 9%)
n C Cm e est, D, esh Dz
I 9.5 9 0 0 0 0 0
2 9.0 9 0 0 0 0 0
3 8.5 8 I 1 600 I 150
4 8.0 8 1 0 0 2 300
5 7.5 7 2 1 600 2 300
6 7.0 7 2 0 0 2 300
7 6.5 6 3 I 600 2 300
8 6.0 6 3 0 0 2 300
9 5.5 5 4 I 600 2 300
10 5.0 '5 4 0 0 2 300

the effective sample time to 5 s and use five samples to estimate en and five samples to esti­

ests = (en + en-I + en-2 + e n -3 + en-4)

-(en-s + en -6 + e n -7 + en -8 + en -9)
ests
Ds = PD 52 At

13.5 ADVANCED CONTROL

Advanced control refers to various methods of going beyond the single-loop single-variable
feedback control system with three modes of control. Topics in this section include cascade con­
trol, feedforward control, adaptive self-tuning controllers, and multivariable control systems.

Cascade Control

Cascade control involves two controllers with the output of the primary controller providing
the setpoint of the secondary controller. The level control loop in Figure 2.14 provides an ex­
cellent application of cascade control. The changes in level occur slowly owing to the capac­
itance of the tank. In contrast, changes in flow occur very quickly. When a disturbance causes
a change in the input flow rate, there is a considerable delay before the level changes enough
to correct the disturbance. The disturbance often changes before the correction is made. The
slow-moving correction of disturbances results in fluctuations uf the level. Figure 13.24
shows how cascade control is used to i~prove the level control system.
In Figure 13.24, a flow transmitter and a secondary controller are used to form a flow
control loop within the level control loop. The output of the level controller is the remote set­
point of the flow controller. The flow control loop responds quickly to flow disturbances, vir­
tually eliminating the level fluctuations they caused in a simple level control loop. Industrial
processes have many applications of cascade control.
510 • Chap. 13 Control of Continuous Processes

Controller output
Flow controller
remote 5etpoint

Manual
setpoint

Level process
Measured level

Level
transmitter ;'llllll~a-- Output
flow

• Figure 13.24 A cascade level control system uses a flow control loop Inside the
level control loop for improved response to How disturbances.

Feedforward Control

Feedforward control uses a model of the process to make changes in the controller output in
response to measured changes in a major load variable without waiting for the error to occur.
The tubular heat exchanger control loop in Figure 2.3 is a prime candidate for feedforward
control. The product flow rate is the major load on the process. An increase in the product
flow rate requires an increase in the flow rate of the heating fluid to maintain the product tem­
perature at the setpoint. t"igure 13.25 shows the application of feedforward control to the
tubular heat exchanger.
In Figure 13.25, a flow transmitter measures the product flow rate and sends the signal to
a load compensator. The load compensator computes the correction necessary to adjust for the
product flow rate. The output of the compensator is added to the output of the temperature
confroller. There is no delay in the compensator signal: the correction is made as soon as the
change in product flow rate is measured. The term feedforward comes from the fact that the
compensation sigmd travels in the same direction as the product. This is in contrast to the
measured temperature signal. which travels in the opposite direction as the product; hence
the name feedback for the primary loop.
If the feeQforw<'lrd compe:nsatinn is ~rf('.ct ami there are nn other disturhance variahles in the
process, thc fc("nhack loop could be eliminated. These ideal conditions never occur in practice,
so feedforward control systems invariably include a feedback loop to make the final adjustments.

Adaptiv8 Controller.

Adaptive. contrnUp.rs change the controller parameters to "adapt" to changes in the process.
For example, a change in the product flow rate in the temperature control system in Figure
13.25 will change the dead time of the process. A change in the process dead time means a
• Sec. 13.5 Advanced Control 511

Load compensation signal

Flow
Load
_ compensator

Controller
output
'-IMeaI5un:d Oow rate
.!:r~...lUi.i..l:...:J·--Cold product

Ouid

Temperalure exchanger
controller

n~,~~i--" Heating Ouid

j.--- Temperature
transmitter
Measured temperature

• Figure 13.25 A feedforward signal compensates for changes in product flow

rate in this temperature control system,

change in controller parameters is necessary to "tune" the controller to the process. An adap­
tive controller determines the values of P, /, and D necessary to adapt to the new proee8:t1 (:011­
ditions and makes the necessary changes. Many different techniques are used to "adapt" the
controller to changes in the process. Self-tuning controllers fall into two general categories:
those that use a model of the process as the basis of the tuning, and those that use pattern
recognition and stored knowledge as the basis.
A typical model-based adaptive controller introduces a step change in the setpoint and
observes the resulting process response. The controller then fonus a model of the process
based on the response to the step change. This "self-learning" operation is repeated and the
model and tuning parameters are adjusted until they match the actual process.
A pattern-recognition approach to adaptive control uses a graph of error versus time. The
controller constantly examines the response to natural disturbances, looking for the presence
or absence of peak heights, the time between peaks, and'the proportional offset. Following a
disturbance, the controller automatically computes P, /, and D based on the observed re­
sponse pattern and knowledge stored in the controller's memory.
512 • Chap. 13 Control of Continuous Processes

Multivariable Control

Multivariable control uses measurements of several process load variables and may involve
the manipulation of more than one process variable. The computer control systems used to
control the fuel injectors and spark timing of automobiles are excellent examples of multi­
variable control systems. Figure 13.26 illustrates a representative automotive control system.
The following is a general description of automotive control systems for the purpose of
illustrating a multivariable control system. The discussion is intended to be generic, and no
attempt is made to give a complete description of a particular system.
The purpose of the system shown in Figure 13.26 is to control the fuel injector flow rate,
the ignition spark timing, and the idle speed. The inputs to the controller include engine
coolant temperature, manifold air temperature, manifold vacuum, barometric pressure, throt­
tle position, engine speed, fuel pressure, and the oxygen content in the exhaust gas. A single
computer controls all three output variables. The control system has eight inputs and three
outputs, making it a multivariable control system.
The major operating modes of the control system are
1. Starting. The controller varies the amount of fuel sprayed into the intake manifold ac­
cording to the engine coolant temperature. A cold engine receives more fuel than a
warm engine. The ignition system generates the spark-timing signals internally and
ignores the timing signals from the computer.
2. Normal running. The computer uses four input signals to maintain a nearly ideal
air/fuel ratio (about 14.7: 1). The four input variables are manifold air temperature,
manifold vacuum, fuel pressure, and the oxygen content. The computer also modifies
the ignition timing based on engine speed, manifold vacuum, engine coolant temper­
ature, and barometric pressure.

(nputs Outputs

Engine coolant temperature

Manifold air temperature Fuel injector How rate
Manifold vacuum
Barometric pressure Automotive IlIIition $park liming
Throttle position control
computer
~':l~~nes~_.
Fuel pressure Idle speed
Oxygen content of exhaust

• Figure 13.26 An automotive control computer is an example of a multivariable

control system. The generic system shown here is intended only to illustrate multi·
vanable control.
 • Sec. 13.6 Fuzzy logic Controllers 513

3. Cold running. The computer provides extra fuel when the engine coolant temperature
is below a predetermined value.
4. Acceleration. The computer provides extra fuel during acceleration.
5. Deceleration. The computer reduces the amount of fuel during deceleration to reduce
the pollution produced by the engine.
6. Idle. The idle speed is increased when the engine coolant temperature is below a pre­
defined value. Idle speed is also increased when the battery voltage is low, when the
transmission is shifted into drive or reverse, and when the air-conditioning compres­
sor comes on.

13.6 FUZZY LOGIC CONTROLLERS

Introduction

Fuzzy logic is a relatively new methodology that uses language and reasoning principles sim­
ilar to the way humans solve problems. An objective of fuzzy logic is to make computers
"think" like we do. The computer's world is black and white; our world has many shades of
gray. Consider the simple statement "It is warm outside today." What does "warm" mean? It
could mean 75, 80, or 85°P' In northern Minnesota, where I was raised, the term warm in Jan­
uary meant O°p' After two weeks when the thermometer remained at - 30 to -40°F, we called
it warm outside when the thermometer got all the way up to O°p' The point is that there is a
vagueness in the words we use to describe conditions such as cold, cool, warm, and hot. When
we say it is raining, is it a mist, a light rain, a moderate rain, or a heavy rain? Give it some
thought, and you will agree that we deal with vagueness every day, and yet we are able to pro­
duce crisp actions based on a somewhat vague (or fuzzy) knowledge of conditions. Fuzzy
logic is a method that mimics our ability to produce a crisp action from fuzzy or incomplete
inputs.
Fuzzy logic began in the 1960s when Professor Lotti Zadeh, University of California at
Berkeley, proposed a mathematical way of looking at the intrinsic vagueness of human lan­
guage. He named this new methodfuzzy logic. Observing that human reasoning often uses vari­
ables whose values are vague (or fuzzy), he introduced the concept oflinguistic variables-vari­
ables whose values are words that describe a condition, such as HOT, NORMAL, or COLD.
A linguistic value is not a single entity; rather, it is a set of elements that have different de­
grees of membership in the set. This set of element'!, called a fuzzy set, differs from conven­
tional sets in which an element is either in the set or it is not. III a fuzzy set, an element can be
entirely in the set, partially in the set, or not in the set. Consider the linguistic variable EN­
GINE_TEMPERATURE with linguistic values of HOT, NORMAL, and COLD. The value
NORMAL can be represented by the fuzzy sct illustrated in Figure 1.3.27. The value NOR­
MAL names a fuzzy set of normal operating temperatures for an automobile engine. The tem­
peratnTfls on the horizontal axis are possible members of the set of normnl operating tcmpera­
tures. The vertical axis is the degree of membership in the set /L(x). Notice that the degree of
membership ranges from 0 to I. A membership value of 0 means the element is not in Lhe sel,
a value of 0.5 means the element is 50% in the set, and a value of 1.0 means the element is
100% in the set. The fuzzy set allows us to precisely define variables that are inherently vague.

- - : - - -....- - - -.... -----~~------ - - - - - - -..- -... ---~ ----­

....

." ,
514 • Chap, 13 Control of Continuous Processes

NORMAL

Degree of
membership,
p.(x)
• Figure 13.27 The linguistic value NOR­
MAL names a fuzzy set of temperature ele­
ments. The element x = [800 P has a member­
ship in the set of 1.0 (100%). Elements x
o 170°F and x = 190"F have memberships of 0.5
160" 170" 180" 190° 200" (50%). Elements WIth values of 160"F or less
are not In the set, and elements with values of
Engme temperature, x (OF) 200°F or greater are also not in the set.

A fuzzy set consists of three components:

1. A horizontal axis of values of x, the elements in the set
2. A vertical axis of values of p,(x), the degree of membership in the set
3. A line that defines matching pairs of x and p,(x) values
For example, the fuzzy set in Figure 13.27 defines the following pairs of x and p,(x) values:
(160,0) (170,0.5) (l80, 1.0) (190,0.5) (200,0)
The shape of the fuzzy set is not inherently triangular. Trapezoids and parabolic shapes are
also used. The triangle is often chosen because it is easy to implement in computer software,
and it provides a natural decrease as the value uf the element moves away from the full mem­
bership value.

Fuzzification

The first step in the design of a fuzzy logic control system is the fUl.l.ijication of the input and
output variables. Figure 13.2K shows lhe fu:ailit.;ation of the input and output variables of a
control system that uses a heating element to control the temperature of an extruder. The in­
put to the controller is the extruder temperature. The output from the controller is a, change in
the heating element current. The linguistic name TEMPERATURE is given to the input vari­
able, and it is assigned five linguistic values: COLD, COOL, NORMAL, WARM, nnd HOT.
The name CURRENT_CHANGE is given to the output variable, and it is also assigned five
values: PM (positive medium), PS (positive sma1I), ZERO, NS (negative small), and NM
(negative medium). Triangles are used to define the fuzzy sets for all values with the excep­
tion of the two end values of TEMPERATURE. Trapezoids are used for COLD and HOT to
extend their membership to the extreme ends. The fuzzy sets overlap to provide a smooth
transition from one linguistic value to the next. As temperature increases, COLD gradually
gives way to COOL, then COOL gradually gives way to NORMAL, and so on.
An odd number of linguistic values is always used to fuzzify a process variable, with five
and seven being the most common numbers. The upper limit is eleven linguistic values, and,
of course, the lower limit is three.

.­ ,
• Sec. 13.6 Fuzzy Logic Controllers 515

COLD COOL NORMAL WARM HOf

Degree of
membership, p,(x)

100" ISO" 200" 300°

Input temperature, x (0C)

a) Fuzzification of input temperature

PM PS ZERO NS NM

Degree of
membership,J.t{y)

+10 +5 o -5 -10

Change in output current, y (A)

b) Fuzzification of output current change

• Figure 13.28 Fuzzificalion of the input and oulput variables of a temperature

contl'ol system. The input temperature is represented by five overlapping linguistic
values: COLD, COOL, NORMAL, WARM, and HOf. The change in output current
is also represented by five overlapping linguistic values: PM (positive medium), PS
(posItive small), ZERO, NS (negative small), and NM (negative medium).

The Fuzzy Rule Ba.e

The second step in the design of a fuzzy logic control system is to convert the designer's
knowledge of the process into a set of if ... then rules that relate the input to the output. The
rules consist of a number of if ... then statements that take the following form:
If X is x then Y is y
where X and Y are linguistic variables and x and y are their linguistic values. The rule base
defines a set of imprecise dependencies between the two linguistic variables. The following
is a rule base for the Jinguistic variables in Figure 13.28:
1. If TEMPERATURE is COLD then CURRENT_CHANGE is PM
2. If TEMPERATURE is COOL then CURRENT_CHANGE is PS
3. lfTEMPERATURn is NORMAL then CURRENT_CHANGE is ZERO
4. If TEMPERATURE is WARM then CURRENT_CHANGE is NS
5. If TEMPERATURE is HOT then CURRENT~CHANGE is NM
 516 • Chap. 13 Control of Continuous Processes

PM PS
Input temperature 130b e
Degree (If
membership, f,J.(Y)

o
+10 +5 () -5 -10
Change in output current, y (A)

• Figure 13.29 Graphic representatIOn of the fUl2,y output current change that IS
produced by an mput temperature of 130°C. The output consists of two weIghted
fuzzy sets produced by a 75% application of rule No, I and a 25% application of rule
No, 2, The centroid method of defulzlfication produces a crisp output that IS the cen­
trOId of the two triangles.

Defuzzification

The third and last step in the design of a fuzzy logic control system is to defuzzify the results
of the rule base to produce a crisp control action. At any given input value, some rules apply,
and the others do not. The objective of defuzzification is to find the output action that best
represents the information contained in the rules activated by the current input. In other
words, how can we use the active rules to produce a crisp control action?
Consider an input temperature of l30°C in Figure 13.28. This temperature has a 0.75
membership in the fuzzy set COLD and a 0.25 membership in the fuzzy set COOL. This
means that rule No. I applies at a 75% level and rule No. 2 applies at a 25% level. Figure
13.29 shows a graphic representation of a 75% application of rule No. 1 and a 25% applica­
tion of rule No.2. Where would you place the output action? Common sense dictates an ac­
tion between the two peaks and nearer to the larger peak. In reaching this conclusion, you
have intuitively applied the centroid, or center-of-gravity, method of defuzziftcation. The cen­
troid method is usually used in control applications because it provides smooth changes in
output as the, process changes.
In centroid defuzzification, a crisp output is determined by the weighted sum of the cen­
troids of the active fuzzy sets. Por a temperature of l30°C, the centroid value of the current
change is determined as follows:

CURRENT CHANGE (B00C) = YII..t(YI) + Yzl..t(Y2)

- /-t(y I) + p,(yz)

8(0.75) + 4(0.25) 6 + 1
--=7A
0.75 + 0.25 I
In general, the centroid output action is given by the following formula:
11

2: Yi I..t(Y/)
Control action itt ,'= 1/,I (13.34)
L 11'(Yi)
;=1

~~- .... ---------­

 • Sec. 13.6 Fuzzy Logic Controllers 517

where n = the number of if . . . then rules

y, = centroid of the ith fuzzy set
p..(Yi) = weighted membership in the ith fuzzy set
p..(y,) = 0 for all inactivated fuzzy sets

EXAMPLE Detennine the output action of the fuzzy logic controller (FLC) described above for extruder temperatures
13.11 of 140 and 150°C.
Solution From Figure 13.28, we detennine that 140°C is 0.5 COLD and 0.5 COOL. Using Equation 13.34, we
get the following control action:
8(0.5) + 4(0.5) 4+2=6A
CURRENT CHANGE (l400 C) = ---'--'-----'-----'­
- 0.5 + 0.5 I
For a temperature of 150aC, we get the following control action:
8(0.25) + 4(0.75) 2 +3
0.25 + 0.75 = I =5A
•
FLC Configurations

The operations of fuzzification, application of the fuzzy rule base, and defuzzification are dig~
ital operations accomplished by nested loops in a computer program. Figure 13.30a shows a
block diagram of a fuzzy logic control module. There are two ways a FLC module can be used.
Figure 13.30b shows a possible configuration in which the fuzzy logic control module replaces
the conventional PID module. In this configuration the input to the FLC is the error signal, and
the output of the FLC goes to the manipulating element. A more common configuration is
shown in Figure 13.3Oc. In this configuration, thf'l FJ.,C is lIsed to feed artificial se.tpoints to the
PID controHer to eliminate overshoot and improve response to process upsets. This emulates
techniques an expert operator uses to improve the performance of a PID controller.
The Cllrrent tremi is to blend FLCs with conventional PIDs rather than to rcplace PlDs
with FLCs. Instead of rcplacing existing methods of control, fuzzy logic provides additional
methods that increase the range of problems that can be solved. Fuzzy logic has much to of­
fer in supervisory control problems such as traffic control, quality control, transportation sys­
tems, and so forth.

Final Observations

The fuzzification example in Figure 13.28 could lead you to the conclusion that the member­
ships in fuzzy sets always add up to 1. There is no such requirement III fu:l.zy seL'i, and mem­
berships can add up to more than I, less than 1, or equal to 1. Simply reducing the overlap in
Figure 13.28, for example, would result in memberships that add up to less than 1, as illus~
trated in Figure 13.31. Increasing the overlap in Figure 13.28 would result in memberships
that total more than 1.
Fuzzy logic control modules are not limited to one input and one output. The rate of
change of the input variable is a common second input. The eJ\.truder temperature control sys­
tem in our example could have the rate of change of temperature as a second input. A fuzzy

,':" .
.518 • Chap. 13 Control of Continuous Processes

r----­

I I
I AppltcatlOn I
Fuzzlfication of fuzzy Defuzzification
Input I If .. then rules I Output
Value I I Actlon

FuzzyLogic Control Module (FLC)

L - - I

a) FLC module

+ Mampulating Output
:£ f-­ Process
element
Setpoint -

Measunng
transmitter

b) Fuzzy logic controller

Output
PID

~easurmg
~__FLC
____~~'----~~t_rn_n_sm_i_tte_r~+--------------------~
I
c) Blended FLCIPID controller

• Figure 13.30 A fuzzy logic control module and two configurntions of fuzzy

logic controllers. The FLC module (a) is a software module that uses nested loops to

a\;complibh the three PLC operations. The fuzzy logic controller (b) replaees the con­

venllonal PID module with an FLC module. The blended controller (c) combines the

FLC module with the PID module. The FLC module feeds artifiCial setpomts to the

PID module to reduce fluctuations caused by process upsets.

logic controller of a position control system could have both position and velocity as inputs.
When two inputs are used, an AND or OR operator is introduced in the if ... then statements
as follows:
If POSITION is POSITIVE_SMALL AND VELOCITY is ZERO then

MOTOR_CURRENT is NEGATIVE_SMALL

 • Chap. 13 Glossary 519

COLD COOL NORMAL WARM HOT

Degree of
membership, p,(x)

0
100° 1500 2000 250° 300°

Input temperature, x (0C)

• Figure 13.31 Reducing the overlap in the fuzzy sets results in memberships that
add up to less than 1. A temperature of 130°C has a membership of two thirdS in
COLD and 0 in COOL. A temperature of 140°C has a membership of one third in
COLD and one third in COOL. Both temperatures have total memberships of two
thirds.

The extruder temperature controller used as the example in Figure 13.28 is essentially
an integral mode controller. The cycle time of the control loop must allow sufficient time
for the extruder temperature to adjust to a change in current before the next correction is
applied. With improper timing, the FLC will produce large swings in the extruder tempera­
ture. In other words, the FLC must be tuned to the process to obtain satisfactory perfor­
mance.
The design of a fuzzy logic controUer can be a very time-consuming process. Specifying
the linguistic variables, the fuzzy membership functions, and the if .. , then rule base requires
extensive knowledge about the process. The designer must study the process, seek the expe­
rience of skilled operators, and fine-tune the results to obtain a successful design. This hard
work is not without reward, however, because fuzzy logic applications have performed very
well. In some applications, fuzzy logic has been able to reduce overshoot in response to dis­
turbances without increasing the response time. In one example, the insertion of a fuzzy logic
control module in a conventional PID control loop reduced temperature fluctuations from
±15°F to less than ±3°F.

• GLOSSARY

Adaptive controller: A control system that changes the control mode settings in response to changes
in the process. (13.5)
Analog controller: A controller producing a controller output that can have any value between 0 and
100% of the full-scale output. (13.3)
Cascade control: A system that uses two controllers, with the output of the primary controller pro­
viding the setpoint ofthe secondary controIler. (13.5)
520 • Chap. 13 Control of Continuous Processes

Control mode: Any of several different ways the controller forms the control action. Common con­
trol modes include two-position, floating, proportional, integral, and derivative. (13.1)
Control mode, derivative (D): The derivative control mode changes the output of the controller by
an amount proportional to the rate of change of the error signal. (13.2)
Control mode, floating: A variation of the two-position mode in which the controller output is con­
stant as long as the error remains within a small band around zero (called the neutral zone). When
the error is outside the neutral zone, the controller output changes at a fixed rate until the error re­
turns to the neutral zone, or the output reaches one of its extreme positions (0 or 100%). (13.2)
Control mode, integral (I): The integral control mode changes the output of the controller by an
amount proportional to the accumulation (integral) of the error signal. (13.2)
Control mode, PD: The combination of the proportional and derivative control modes. (13.2)
Control mode, PI: The combination of the proportional and integral control modes. (13.2)
Control mode, PID: The combination of the proportional, integral, and derivative control modes.
(13.2)
Control mode, proportional (P): The proportional mode produces a change in the controller output
that is proportional to the error signal. There is a fixed linear relationship between the error signal
and the output of the controller, See also Proportional offset. (13.2)
Control mode, two-position: The two-position mode produces only two possible controller output
values, depending on the sign of the error. If the two positions are 0 and 100%, the controllei: is
called an ON/OFF controller. (13.2)
Defuzzification: The process of finding the best crisp representation of a fuzzy value of a linguistic
variable. (13.6)
Digital controller: A controller producing a controller output that can have only a definite number of
discrete values between 0 and 100% of the full-scale output. (13.4)
Feedforward control: A control system that uses a model of the process to change the controller out­
put in response to measured changes in a major load variable without waiting for the error to oc­
cur. (13.5)
Fuzzification: The process of turning a crisp value of a variable into a fuzzy value of a linguistic vari­
able. (13.6)
Fuzzy set: A function that maps a value that might be in the set to a number between 0 and I that de­
fines its degree of membership in the set. A degree of 0 means the element is not in the set, a de­
gree of 0.5 means the. eleme.nt is 50% in the set, and a de.gree of 1.0 means the element is 100% in
the set. (13.6)
Linguistic variable: A variable whose values are words that describe its condition, such as HOT,
NORMAL, or COLD. The valuc HOT names a fuzzy set that specifics the elements that constitute
HOT. The value NORMAL names a fuzzy set that specifies the elements in NORMAL, and the
value COLD names a fuzzy set that specifies the elements in NORMAL. (13.6)
Load change: Any condition in a control system that changes the location of the load line. (13.1)
Multivariable control: A control system that uses measurements of several process load variables
to manipulate several other process varIables in order to maintain a specified control objective.
(13.5)
PID algorithm, incremental: A procedure used by a digital controller to calculate the change in the
value of the contl'Oller output based on the error samples. (U.4)
PID algorithm, positional: A procedure used by a digital controller to calculate the value of the con­
troller output based on the error samples. (l3.4)
Proportil)nal otT.'let.: The error required hy a proportional control mode 1.0 hold the cont.roller output
at some value other than the value it has when the error is zero. See also Residual error. (13.2)
Residual error: Another name for the proportional offset. (13.2)

.­
 • Chap. 13 Exercises 521

• EXERCISES

Section 13.1 13.10 Describe the conditions for which you would se­
lect a floating control mode.
13.1 Describe the three operations performed by a feed­
13.11 The solid flow rate control system shown in Figure
back control system.
2.19 uses a gate to control the level of material on the belt.
13.2 Name the five common modes of control. A single-speed reversible motor is used to drive the cam
13.3 Name the two parts of a controller. that positions the gate. If the solid feed rate is below a pre­
13.4 Name three methods of implementing a controller. determined value, the controller drives the gate up at a con­
13.5 Describe how you would determine if there has stant rate. If the feed rate is above a second predetermined
been a load change in a control system that is maintaining value, the controller drives the gate down at a constant rate.
the controlled variable at a constant set point value (e.g., a Between the two predetermined values, the gate is motion­
regulator system). less. Identify the mode of control used in this system.
13.12 Sketch the input/output graph for each of the fol­
Section 13.2 lowing proportional controller conditions:
13.6 Describe the operation of each of the five modes of (a) P = 8,110 == 40% (c) P = 0.5, 110 = 25%
control. (b) P = 0.25,110 ::= 55%
13.7 Describe three ways to reduce the amplitUde of the 13.13 Describe the conditions for which you would se­
oscillation in a two-position control system. lect a proportional control mode.
13.8 Describe the conditions for which you would select 13.14 Determine the proportional offset required to main­
a two-position control mode. tain V-Vo at 12% for proportional controllers with each of
13.9 The two-position controller in Example 13.1 is the following gain values:
(a) P = 0.2
modified so that the valve moves between two partial~y
(b) P = 0.6
open positions instead of between ON and OFF. The inlet
flow rate, m, is 0.00 I mys when the valve is in the mini­ (c) P 1.2
mum flow position and 0.003 ml/s when the valve is in the 13.15 Describe the conditions for which you would se­
maximum flow position. The rest of the conditions are the lect a PI control mode.
same as in Example 13.1. Determine the amplitude and the 13.16 A PI controller has a gain of 0.5, an integral action
period of oscillation of the level. h. Compare your results rate of 0.0125 II -I, and a value of 110 of 25%. The graph of
with the results in Example 13.1. What was given up to re­ the error signal is given in Figure 13.32. Determine the
duce the amplitUde of the oscillation? value of the controller output at t = 15 sand t 30 s.

10
(10.8) (\4,8)

5
i! (40.4)
§
~
..: 0
Tllne. seconds
]
-5

-10 (25.-9) (29.-9)

• Figure 13.32 Error graph used in Exercises 1316 through 13.8.

.. - _..__.. _ - - - - - - - - ­
 522 • Chap. 13 Control of Continuous Processes

13.17 Describe the conditions for which you would se­ combination of modes most suitable for controlling this
lect a PD control mode. process.
13.18 A PD controller has the following parameter val­ 13.24 A process has a large capacitance and no dead­
. ues: P = 0.5, D = 12 s, a 0, and t.b = 42%. The graph of time lag. The anticipated load changes are relatively small .
the error signal is given in Figure 13.32. Determine the value Recommend the control mode or combination of modes
of the controller output at (a) t := 15 s and (b) t := 30 s. most suitable for controlling this process.
13.19 Describe the conditions for which you would se­ 13.25 A dc motor is used to control the speed of a pump.
lect a PID control mode. A tachometer-generator is used as the speed sensor. The
13.20 A PID controller has the following parameter val­ load changes are insignificant. and there is no dead-time lag
ues: P 0.5, I = 0.0125 S- I , D = 12 s, a == 0, andvo = in the process. Recommend the control mode or combina­
55%. The graph of the error signal is given in Figure tion of modes most suitable for controlling the motor speed.
13.32. Determine the value of the controller output at (a) 13.26 A liquid flow process is fast and the flow rate sig­
t = 15 s and (b) t = 30 s. nal has many "noise spikes." Large load changes are quite
13.21 Equation (13.21) defines the transfer function for common, and there is very little dead-time lag. Recom­
It PID controller. Use program BODE to print a Bode Data mend the control mode or combination of modes most
Table for each of the following sets of controller parame­ SUItable for controlling the flow rate. Why is the derivative
ters. Parameter set a sets a basis for comparison, and par­ mode usually avoided in liquid flow controllers?
ameter sets b, c, and d each reduce one control mode by 13.27 An electric heater is used to control the tempera­
50%. Highlight the gain and phase values in the Bode Data ture of a plastic extruder. The process is a first-order lag
Tables for parameter sets b, c, and d that differ from the with almost no dead-time lag. The time constant is very
corresponding gain and phase values in the table for par­ large. Under steady operation, the load changes are in­
ameter set a. The highlighted values mark the values significant. Recommend the control mode or combination
changed by the reductions in the P, I, and D control modes. of modes most suitable for controlling the temperature of
(a) P 4.0, I = 0.14 s-I, D 0.50 S, ex .:;.:. 0.1 the extruder.
(b) P 2.0,I=0.14s-',D 0.50s,a=0.1 13.28 A dryer is a slow process with a very large dead­
(c) P == 4.0,1 = 0.Q7 s-', D = 0.50 S, a := 0.1 time lag. Sudden load changes are common, and propor­
(d) P"" 4.0, I 0.14 s-', D = 0.25 s, a = 0.1 tional offset is undesirable. Recommend the control mode
13.22 The conditions in Exercise 13.21 were selected to or combination of modes most suitable for controlling the
show how each control mode (P, I, D) affects the frequency dryer.
response of the controller. 13.29 A PI controller defined by Equation 13.11 has a
(8) Review your Bode Data Table for parameter set b. and gain that increases as frequency decreases. At very low fre­
comment on the effect of the 50% reduction in the P quencies, the gain becomes very large. In practical PI con­
control mode. trollers, the maximum gain is limited. In the following
(b) Review your Bode Data Thble for parameter set c, and transfer function of a PI controller, the term b in the de­
comment on the effect of the 50% reduction in the I nominator limits the gain to a maximum value of lib.
control mode.
(c) Review your Bode Data Table for parllm~f~r sP.t II, lind
comment on the effect of the 50% reduction in the D
V (1+8)

E= P
hI + s
control mode.
Use the program BODE to generate two sets of frequency
(d) Draw a Bodediagram and plot the gain and phase an­
data for parameter sets I and 2 below (see Example 4.19).
gie for parameter set b, using solid lines. Then plot the
Plot both sets of data on a single Bode diagram and com­
gain and phase angle for parameter set a, using dashed
ment on the comparison of the effect of term b.
lines where the values differ from set b.
(e) Repeat Exercise b.22d with parameter set b replaced Set 1: P == ], I = 0.1 S -I, b = 0
by parameter set 'c. Set2:P 1,I=0.18-',b=O.ot
(I) Repeat Exercise 13.22d with parameter set b replaced
Section 13.3
by parameter set d.
13.23 A certain process has a small capacitance. Sudden, 13.30 An analog proportional mode controller (Figure
moderate load changes are expected, and a small offset er­ 13.19) uses a value of 100 kG for R". Determine the value
ror can be tolerated. Recommend the control mode or of R 1 for each of the following controller gains:
 • Chap. 13 Exercises 523

(a) P = 0.25 13.36 The digital controller in Exercise 13.35 uses the
(b) P = 1.75 positional algorithm defined by Equation (13.24).
(c) P = 8.6 Vn := Pmode + Im~e + D mode
13.31 Determine the values of R I and Ri for an analog PI
controller (Figure 13.20) with P 6.4 and I 0.00541 where Pmode Pen
s - I. Use a lOOO-I-"P capacitor for Cj • lmode =; PlAtS"

13.32 Detennine the value of Rf, Rd , and Rj for an ana­ Dmode = PDAen/ At
log PO controller (Figure 13.21) with P = 3.6, D == 12 s, The PID modes and sample time are set to the following
and a = 0.1. Use a lOO-JLP capacitorfor Cd' values:
13.33 Detennine the values of R" Ri, Rd , and C, for an
P=2 1= 0.1 8- 1 D=ls At = 28
analog PID controller, as shown in Pigure 13.22a. The
controller parameters are P = 0.65,1 = 1/70 $-1, D ==
Compute P mode. I mode• Dmode, and Vn for each sample in
0.32 S, a = 0.1. Use a I-'JLF capacitor for Cd' Exercise 13.36. Put your results in a table with five
13.34 Use the program BODE to generate frequncy­ columns and the following heading.
response data for (a) the noninteracting PID controller
[Equation (13.21)], and (b) the interacting PID controller n P mode (%) Imode (%) D mode (%) Vn (%)
[Equation (l3.23)]. Plot Bode diagrams for both con­
trollers. Comment on the difference between the two Bode 13.37 Construct the following graphs of your results
diagrams. The control.ler has the following parameters: from Exercise 13.36: Cm" vs. n, Pmode VS. n, I mode VS. n,
P = 4.0, I = 1/7, D = 0.5, and a = 0.1. and D mode VS. n.

13.38 Draw a PID flow diagram similar to Figure 13.23

with the following change: Replace the integral mode op­
Seditm 13.4
eration wilh tht: fulluwing uperations;
13.35 A digital controller is started up with the setpoint (a) Add the nth sample error, em to a new variable called
(SP) al20%, alllI the wutrulled variable at 0%. The flmr. 24 the unused sum, S:
samples are listed below. For each sample, compute the
value of the error, em the summation of errors, Sm and the s = S + e.
change in the error signal, Aeno as defined by the following
equations. (b) Divide S by I Div to obtain n quotient, Q, and a re­
mainder,R.
en = SP Cmn
I
Put your TP.Slllt in II tabl(\ with live columns and the fol­
IDlv = PI AI
lowing heading:
Q = Sdiv Imv
,
11 R = Smod/Dlv
(c) Add Q to the past integral mode action, In_I, to fonn
First 24 Samples of the Digital Controller the current integral mode action, I".
n Cm.(%) n Cmn(%) n Cmn(%) In=ln-1 +Q
1 0.0 9 18.5 17 19.8 (d) Set the unused sum, S, equal to the remainder, R:
2 3.1 10 20.0 1M 20.0
3 5.9 II 21.4 19 20.1 S=R
4 8.5 12 22.0 20 20.2
5 10.9 13 21.2 21 20.1 Explain the purpose of these operations.
6 13.1 14 20.0 22 20.0 13.39 Draw a PID flow diagram similar to Figure 13.23
7 15.1 15 19.8 23 20.0 with the following change: Replace the derivative mode
8 16.9 16 19.5 24 20.0 operation in the PID flow diagram (Figure 13.23) with a
 524 • Chap. 13 Control of Continuous Processes

new derivative mode operation that uses an improved esti­ (8) 100°C (d) 160°C (g) 220°C
. mate of the rate of change of the error, de/dt. Use the esti­ (b) 120°C (e) lS0°C (h) 240°C
mate defined by Equation.(13.32) and use Equation (13.33) (c) 140°C (f) 200°C (i) 260°C
to compute the derivative term. 13.42 Draw a graph of your results in Exercise 13.41.
Place extruder temperature on the x-axis (input) and cur­
Section 13.S
rent change on the y-axis (output).
13.40 Select which of the following four types of ad­ 13.43 A fuzzy logic controller is used to control a dc mo­
vanced control is described by each statement. tor position control system. An encoder measures the angu­
1. Adaptive control 3. Feedforward control lar position, and a tachometer measures angular velocity.
2. Cascade control 4. Multivariable control The encoder output is mapped such that one rotation pro­
duces a position signal that ranges from -255 to +255.
(a) An automative control computer. The tachometer output is mapped such that full speed in
(b) Keeps the controller "in tune" when the product flow one direction produces a signal of -255 and full speed in
rate is changed. the other direction produces a signal of +255. The output
(c) Output of the first controller is the setpoint of the sec­ of the controller is the current applied to the motor arma­
ond controller. ture, and it ranges from - 3 to +3 A. Draw fuzzification
(d) Under ideal conditions, the feedback loop could be graphs for position, velocity, and current. Use the five lin­
eliminated. guistic values in Figure 13.2Sb for each variable, and use
(e) Improves the response to flow disturbances in a level five triangular fuzzy sets with 50% overlap as in Figure
control system. 13.2S.
(f) Uses a "self-learning" operation to update a model of 13.44 Develop a set of 9 if . . . then rules for the fuzzy
the process. logic controller in Exercise 13.43 using only the inner
(g) Changes the controller output in response to mellsUrf'.c\ three linguistic values for each input variable (i.e .. NS,
changes. in a process variable. ZERO, and PS). Use the following if ... then rule as a
(h) Uses stored knowledge about response patterns to gUIde:
compute new PID values.
If POSITION is NS AND VELOCITY is ZERO then
(i) Uses measurements of more than one process variable
CURRENT is PS
to manipulate one or more process variables.
(j) Changes the controller parameters (P, I, D) in re­
sponse to a measured change in a process variable.

Section 13.6

13.41 Determine thl;'! uulput action of dIe fuzzy logic

controller ill Example 13.11 for the following cxtruder
temperatures:

~~~ ...... - - - .~--------------~~-- -~~--------------

PART FIVE
• ANALYSIS AND DESIGN

• CHAPTER 14 Process
Characteristics

• OBJECTIVES

The objective of a control system is to maintain a desired value of a "controlled variable" in a process.
To do thiS, the controller adjusts the value of another variable in the process, the "manipulated variable."
The characteristics of a process are an expression of the relationship between the manipulated variable
(input) and the controlled variable (output). The Bode diagram design method covered in Chapter 16 re­
quires a knowledge of the characteristics of a process. Process characteristics can be expressed in sev­
eral ways. In this chapter we use the following four methods: step response grapb, time-domain equa­
tion, transfer function, and Bode diagram.
The purpose of this chapter is to provide you with the means of determining the characteristics of
the following five types of processes: integral, first-order lag, second-order lag, dead time, and first­
order lag plus dead time. After completing this chapter, you will be able to sketch or determine the
following for electrical, thermal, liquid flow, gas flow, and mechanical examples of the five types of
processes:
1. Characteristic parameters
a. Steady-state gain (all processes)
b. Time constant (first-order lag processes)
c. Integral action time constant (integral processes)
d. Dead-time lag (dead-time processes)
e. Resonant frequency (second-order lag processes)
f. Damping ratio (second-order lag processes)
2. Step response graph
3. Time-domain equation
4. Transfer function
5. Bode diagram

•••• 525
 526 • Chap. 14 Process Characteristics

14.1 INTRODUCTION

A process or component is characterized by the relationship between the input signal and the
output signal. It is this input/output (I/O) relationship that determines the design require­
ments of the controller. If the I/O relationship of the process is completely defined, the de­
signer can specify the optimum controller parameters. If the I/O relationship is poorly de­
fined, the designer must provide a large adjustment of the controller parameters so that the
optimum settings can be determined during start-up of the system. This chapter provides the
information necessary to determine the I/O relationship of the following types of processes:
1. The integral or ramp process (Section 14.2).
2. The first-order lag process (Section 14.3).
3. The second-order lag process (Section 14.4).
4. The dead-time process (Section 14.5).
5. The first-order lag plus dead-time process (Section 14.6).
The I/O relationship of a process may be defined by any or all of the following:
1. The step response graph
2. The time-domain equation
3. The transfer function
4. The frequency response graph
The step response graph is the time graph of the output signal following a step change
in the input signal from one value to another. The time-domain equation defines the size ver­
sus time relationship between the input signal and the output signal. Time-domain equations
are expressed in terms of the basic elements defined in Chapter 3 and frequently contain in­
tegral ur derivative terms. The transfer function of a process is obtained by transforming the
time-domain equa~lon into a frequency-domain algebraic equation and then solving for the
ratio of output over input. The transfer function defines the gain and phase difference ver­
sus frequency relationship bctwflfln the input and output signals. The frequency re$ponse
graph (or Hode diagram) is a dual plot uf gain vefSUS frequency and phase difference verlSUlS
frequency.
The characteristics of a process depend on its basic elements (resistance, capacitance, ina
ertance, dead time). not on the type of system (thermal. electrical, mechanical, etc.). Twu dif­
ferent systems may have the same process characteristics. That is, they may have the same
time-domain equation, transfer function, step response, and Bode diagram. This means that
we can extend our knowledge of one system to all other systems that have the same process
characteristics. For example. electrical, liquid flow, gas flow, and thermal first-order lag
processes are all characterized by a time constant that is equal to the product of resistance
times capacitance (T = Re).
Each of the following sections presents the step response graph, time-domain equation.
transfer function, and Bode diagram that characterize one type of process. The equations are
included in a box with all terms and their units. Each section concludes with one or more ex­
amples for use as guides in calculating the parameters of different systems with the same
process characteristics.

- . - -... -----~- ...- - ....- - - - . __ __

. ....
 • Sec. 14.2 The Integral or Ramp Process 527

14.2 THE INTEGRAL OR RAMP PROCESS

The integral or ramp process consists of a single capacitive element configured such that the
outflow of material or energy is independent of the amount of material or energy stored in the
capacitive element. The quantity of stored material or energy remains constant only if the in­
flow rate is exactly equal to the outflow rate. If the inflow rate is greater than the outflow rate,
the quantity stored will increase at a rate proportional to the difference. If the inflow rate is
less than the outflow rate, the quantity stored will decrease at a rale propurtional to the dif­
ference. The input flow rate is the input signal to the integral process, but the output flow rate
is not the output signal. The output signal of the integral process is a variable, such as liquid
level. that is a measure of the amount of material or energy stored in the capacitive element.
The step response of an integral process is illustrated in Figure 14.1. Before the step
change, the input flow rate is equal to the output flow rate and the level is maintained con­
stant. After the step change, the input flow rate is greater than the output flow rate, and the
level increases at a constant rate. The term ramp process is derived from the ramplike shape
of the output response graph. The step response of an integral process is measured by the
integral action time constant, which .is the number of seconds (or mifiulcs) required for the
output to reach the same percentage change as the input (see Figure 14.1).
1\vo integral processes are illustrated in Figure 14.2. In the liquid level integral process,
the input signal is the input flow rate and the output signal is the level of liquid in the tank. In
the sheet loop integral process, the input signal is the input sheet velocity and the output sig­
nal is the distance from the belt to the bottom of the sheet loop. The input and output signals
are expressed as a percentage of the full-scale range. In both integral processes, the change in
the output signal during the time interval from to to t I is equal to the integral of the difference
between the input flow rate and the output flow rate divided by the integral action time con­
stant (Tj ). Equations (14.1) and (14.2) are the time-domain equation and transfer function of
the liquid flow integral process. The equations for the sheet loop integral process are obtained
. from Equations (14.1) and (14.2) by replacing qm and qout by Vin and V OUl' See the develop­
ment of Equation 4.7 in Section 4.2 for further details concerning Equation (14.1). See also
Example 4.12 for the development of Equation (14.2).
Magnitude

(percent)

Output. ""
response- -.........
",/
",,"

..........
. . . . . "" I Input

step change • Figure 14.1 Response of an integral

""..... I process to a step change in the input signal. Be­

,.,.""
.... II
fore the step change, the input SIgnal (inflow
,. I minus outflow) was zero and the output signal
"" I (level) remained constant. After the step change,
/ ' "" II
the inflow was greater than the outflow, and the
Time level !Dcreased at a constant rate. The integral
Integral action (seconds) r.,
action time constant, is the time reqUIred for
lime constant the output signal to change by an amount equal
to the input step change.
528 • Chap. 14 Process Characteristics

Positive displacement
pump

a) A liquid level mtegral process

-
v,",.

Take-away belt

b) A sheet loop integral process

• Figure 14.2 Examples of integral processes.

INTEGRAL PROCESS
Time-Domain Equation

(14.1)

Transfer Function
H*(s)
(14.2)
Q;n(s) == 1;8

where h*(to):= normalized output at time to. percentage of FSou,

h*(tl) == normalized output at time tl, percentage of FSout
FS in full-scale range of the input
FS out = full-scale range of the output
qin := normalized input flow rate, percentage of FS,n
q~ut := normalized output flow rate, percentage of PS m
t = time, s
T, := integral action time constant, S
 • Sec. 14.2 The Integral or Ramp Process 529

Liquid Flow Integral Process

FSout )
T, =A ( FS ,.

where A = cross-sectional area of the tank at the liquid surface, m2

FS m == full-scale input range, m~s
FSout == full-scale output range, m
Sheet Loop Integral Process
Replace qfn and q~ut by v'i:, and tJ~UI in Equations (14.1) and (14.2).
tJ~n = input sheet velocity, percentage of FSin
V~ut =
output sheet velocity, percentage of FS m
T=2 FSoul)
-­
• ( FS,.

The Bode diagram of an integral process (Figure 14.3) consists of straight-line gain and
phase graphs. The gain line has a slope of - 20 dB per decade increase in frequency. The
phase line is horizontal at-90°. A gain line with a slope of -20 dB per decade increase in
frequency means that the gain decreases by a factor of litO when the frequency increases by
a factor of to, or vice versa. It also means that the gain decreases by a factor of 1/2 when the
frequency increases by a factor of 2. In general, if the frequency changes by the factor a, the
gain changes by the factor l/a (i.e., if W2 = aw .. then g2 = (lla)gl' With a little algebraic ma­
nipulation, we can eliminate the factor a with the following simpler result for a gain line with
a slope of - 20 dB per decade increase in frequency.
82 = g, (w,!wz)
Notice that the integral process Bode diagram is identical to the Bode diagram of the integral
control mode. An integral process has a built-in integral control mode action.

EXAMPLE A liquid level integral process has the following parameters:

14.1
Tank height: 4 m
'lank diameter: 1.5 m
FS tn = 0.01 m~Ys

FS ou, 4 m

h*(to) = 22.5% of FS (0.9 m)

q~Ul ;;: 6U% of FS (0.006 m3/s)

qTn 80% of FS (0.008 m3Js)

Determine the time-domain equation, the transfer function, the integral action time constant, and the
level at time to + J00 s.

Solution

------ . - - . - -....---------~-------
530 • Chap. 14 Process Characteristics

30

20
~
10
~

0
'\
~

~
10 ~
~
Gain,m
as
-0
!€ -20

-30 ~
-40
~ 0°

-300

Phase

-600
J
ttt
/ angle, f3

• Figure 14.3 The integral process has tbe

-120" same Bode diagram as the integral control
QOI .QJ. I J.Q. .100 moo¢:. FIJI II liquid level ililegml PlUCesS, T, ­
T, T, T, T, T,
A(FSou.)/(FSm). For the sheet loop integral
<€ I, radians/second process, T, 2(FSou.)/(FSm)'

The time-domain equation is

1 "

h"'(t l ) = 703 J (q~n - q~ut) dc + h*(co)

~,

The transfer function is

H*(s)
Q~n(s) 703 s

The change m level from to to to + 100 = (80 - 60)(100)/703 2.83% of FS.

h*(to + 100) = h*(to) + change in level

= 22.5 + 2.83 = 25.33% of FS

= (25.33)(4) = 1013 m
100 .

= 25.33% ofFS = l.013 m

•
 • Sec. 14.3 The First-Order Lag Process 531

14.3 THE FIRST-ORDER LAG PROCESS

The first-order lag process consists of a single capacitive element configured such that the
outflow of material or energy is proportional to the amount of material or energy stored in
the capacitive element. For each input flow rate, there is a corresponding amount of stored
material or energy that will produce an output flow rate equal to the input. The first-order
lag process is a self-regulating process because it automatically produces an output flow
rate to match each input rate. In contrast, the integral process is a non-self-regulating
process.
The step response of the first-order lag process is shown in Figure 14.4. Before the step
change, the input flow rate is equal to the output flow rate and the level is maintained con­
stant. The step change consists of increasing the input flow rate. Let M represent the percent­
age increase in the input flow rate. The output flow rate is proportional to the level, which
does not change immediately. The input is greater than the output, so the level will increase
at a rate proportional to the difference. As the level increases, the difference between the in­
put and the output decreases. This in tum reduces the rate at which the level increases. The
result is the output response curve of Figure 14.4.
The step response of a first-order lag is measured by the time constant, which is the num­
ber of seconds (or minutes) required for the output to reach 63.2% of the total change. Dur­
ing each additional interval equal to the time constant, the output will reach 63.2% of the re­
maining cbange. In Figure 14.4, for example, the input step cbange is equal to M. During the
first time constant interval, the output changed by an amount equal to O.632M, and the re­
maining change was M O.632M = 0.368M. During the second time interval, the output in­
creased by O.632(O.368M) = O.232M. Thus after two time constants, the output will reach
O.632M + O.232M O.864M. After five constants, the output will reach O.993M.

Magnitude

(percent)

Input step change

Mr---~----~~===------
Output response

O.632M -----­

o
Time
Time
constant)
J (seconds)

• Figure 14.4 The step response of a first-order lag process is characterized by

the time constant T. From any point on the graph. the output wrll cover 63.2% of the
remaining distance to the final value m one time constant.

-~----- - - - -...- - c - - - - ­
532 • Chap. 14 Process Characteristics

A liquid level, first-order lag, and three electrical first-order lag processes are illustrated
in Figure 14.5. The liquid level process in Figure 14.5a was analyzed in Chapter 4 [see the
development of Equation (4.6)]. The input of the liquid level process is the input flow rate,
qm' and the output is the level, h, of the liquid in the tank.
The series RC circuit in Figure 14.5b was also analyzed in Chapter 4 [see the develop­
ment of Equation 4.1O}]. In this circuit the input is the source voltage, eim and the output is
the voltage across the capacitor, eOUI '
In the parallel RC circuit in Figure 14.5c, the input is the source current, lim and the out­
put is the voltage across the capacitor, eout ' The analysis of the parallel RC circuit begins by
applying Kirchhoff's current law to the top node of the circuit.

out de
+C­
R dt

(14.3)

Equation (14.3) is the equation of a first-order Jag process with a time constant equal to RC
and a gain equal to R.
The third electrical circuit is the series RlJ circuit shown in Figure 14.5d. In this circuit,
the input is the source voltage, em, and the output is the voltage across the resistor, eOUI ' The
analysis begins with Kirchhoff's voltage law.

But
di
eL = L
dt
and
. eOUI
1=­
R
Therefore,
di 1 deou,
dt R dt
Substituting and rearranging gives the following equation for the RL circuit:
L deout
Ii --;;;- + eOUI = em (14.4)

Equation (14.4) is the equation of a first-order lag process with a time constant equal to L/R
and a steady-state gain equal to 1.
 III

+tfi.

I
Ifu)
~ :~i'S'Slnl
IP ;;;;J

~~----------~=~--~- R
a) A liquid level, lirsl-order lag process

R +
~
~
C e...,

.\.
b) A series Re. first-order lag component

R C e"'l ~
~
c) A parallel Re. lirst-order lag componenl

L +

R e"", ~
~
d) A series RL. first-order lag component

• Figure 14.5 Liquid flow and electrical first-order lag processes.

533
534 • Chap. 14 Process Characteristics

A thermal, first-order lag process is shown in Figure 14.6a. A jacketed kettle is used to
heat a liquid. The mixer maintains a uniform temperature throughout the liquid. The input to
the process is the jacket temperature, 8)' and the output is the liquid temperature, 0L. The in­
crease in the liquid temperature, AOL is equal to the amount of heat transferred to the liquid
divided by the thermal capacitance, Cn of the liquid in the tank. The amount of heat, Aq.
transferred to the liquid depends on the thermal resistance, RT, of the wall between the steam
and the liquid, the temperature difference (0, - OL) between the jacket and the liquid, and the
time interval, At.

or as At -. 0,

(14.5)

Equation (14.5) is the equation of a first-order lag process with a time constant equal to RTCT
and a steady-state gain equal to I.
A gas-pressure first-order lag process is shown in Figure 14.6b. In this process the input
is the mass flow rate of gas entering the tank, Win' and the output is the pressure, p, of the gas
in the tank. The gas process is described by the following equation, in which Rg is the gas flow
resistance of the outlet, and Cg is the capacitance of the tank:

(14.6)

Equation (14.6) is the equation of a first-order lag process with a time constant equal to RgCg
and a steady-state gain equal to 1.
A blending, first-order lag process is illustrated in Figure 14.6c. A constant flow tate of
q m3/s passes through the tank. The input of the process is the concentration, el, of component
A in the incoming fluid. The output of the process is the concentration, co, of component A in
the fluid in the tank (and the outgoing fluid). A material balance is used to determine the time­
domain equation. In a time interval At, an amount of liquid equal tq q(At) is added at the in­
let and an equal amount is removed at the outlet. The amount of component A added to the
tank in the incoming fluid is equal to q(At)c,. The amount of component A removed in the out­
going fluid is q(At)co ' The difference is the increase of component A in the tank, which is
equal to V(Aco )'
Amount of buildup = amount inputed - amount removed

V Ac o
-
q -At
+ c() =c I
 m = liquid mass
9L .. liquid temperature
9 = Jacket temperature

L::p(;r:::::::I- Condensate

a) A lhennal. first-order lag process

p "" Tank pressure

C. =Gas capacitance
or the tank R, .. Gas Row
resistance

b) A gas pressure. first-order lag process

q­ ====:::::;,
C I ... Concentration

of input

fluid
q = Inlet and outlet flow rates

T""!:'
q
v ... Tank volume a .. I
c0= Concentration
In the lank

c) A blending. first-order lag process

• Figure 14.6 Thennal, gas pressure, and blending lirst-order Jag processes.

535
536 • Chap. 14 Process Characteristics

30

20

10
Break
fPoint
o ,
............

]-10
~If-zo

-30
"\ \ Vain,m

-40
\
-50 1\
-60
Break
!point \ o
~'\
Phase

,
/angle,p

" 1'\ Break

(lOin!

1 ill
, T
• Figure 14.7 Bode diagram of a first-order
(d, radians/second lag process with a steady-state gain of I.

or as III -t 0,
Vdc o
--+c
q dt 0
=cI (14.7)

Equation (14.7) is the equation of a first-order lag process with a time constant equal to V/q
and a steady-state gain equal to 1.
The Bode diagram of a first-urder lag process with a steady-staLe gain of 1 is shown 1n
Figure 14.7. The gain line has a break at a radian frequency equal to the reciprocal of the time
constant. This frequency is called the break-point frequency, {J)b'

(14.8)

The phase line has two breaks, one on each side of the break-point frequency, {J)b' A gain dif­
ferent from one raises or Jowers the gain line, but does not change the shape of the line. The
phase line is unaffected by the gain uf the process.
• Sec. 14.3 The First-Order Lag Process 531

FIRST-ORDER LAG PROCESS

Time-Domain Equation
dy
T- +y Gx (14.9)
dt

Transfer Function
Y G
-=-­ (14.10)
X 1+ TS

where G = steady-state gain of the process

time, s
x = input to the process'"
y = output of the processt
T = time constant, s

Liquid Level First-Order Lag Process (Figure 14.5a.)

Process input: q:n =
input flow rate, percentage of MID
(FS i• =
input range. m31s)
Process output: h* =
level, percentage of FSoul

FS ou, = output range, m) (14.11)

(14.12)

R1• = liquid resistance, Pa . 81m 3

Cl. liquid capacitance, m3/Pa
p = liquid density, kg/m3

g = 9.81 m/s2
Electrical First-Order Lag Processes (Figure 14.5)
Proccss input: em ." input voltage (fi~UIC 14.5b. d)
i.. = input current (Figure 14.5c)
Process output: eOUI output voltage
T = RC (Figure 14.5b, c) (14.13)

T fi(Figure 14.5d)

"The input may be expressed with units or as a percentage of PS in

FS.. = full-scale range of the input.

tTbe output may be expressed with umts or as a percentage of FS ou ,'

FSout = full-scale range of the output.

- - - - - _ . _ - - _... - _..__... _ - - - - - ­
 538 • Chap. 14 Process Characteristics

G = 1 (Figure 14.5b, d)
(14.14)
G = R (Figure 14.5c)
(14.15)
R = electrical resistance, n

C = electrical capacitance, F

Thermal First-Order Lag Process (Figure 14.6a)

Process input: 9j jacket temperature, °C
Process output: 9L liquid temperature, °C
'T = RrCr (14.16)
G=I (14.14)
RT = thermal resistance. K/W
Cr == thermal capacitance, J/K

Gas Pressure First-Order Lag Process (Figure 14.6b)

Process input: w;. = input flow rate. percentage of FSm
(FS m input range, kg/s)
Process output: p. = pressure in tank, percentage of FSout
(FS out = output range, Pa)
(14.17)

(14.18)

Rg = gas flow resistance, Pa • slkg

Cg = gas flow capacitance, kg/Pa
Blending First-Order Lag Process (Figure 14.6c)
Process input: c, = input concentration, %
Process output: c" = output concentration, %
V
'T = ­ (14.19)
q
G =1 (14.14)
q = flow rate of the liquid, m3Js
V volume of the tank. m3

- - - ..... --.~--------~~--~
 • Sec. 14.3 The First-Order Lag Process 539

EXAMPLE An oil tank similar to Figure 14.5a has a diameter of 1.25 m and a height of 2.8 m. The outlet at the bot­
14.2 tom is smooth tubing with a length of 5 m and a diameter of 2.85 cm. The oil temperature is 15°C. The
full-scale ranges are FSm = 4.0 X 10- 4 mYs (24 L/min) and FS out = 2.8 m. Determine each of the fol­
lowing:
(a) The capacitance of the tank.
(b) The resistance of the outlet.
(c) The time constant of the process.
(d) The gain of the process.
(e) The time-domain equation.
(f) The transfer function.
Solution (a) Equation (3.20) in Chapter 3 may be used to compute the tank capacitance.

A
CL =
pg
TrD2 Tr(1.25f 2
A =4 == 4 = 1.23 m

p == 880 kg/m3 (Appendix A)

C= 1.23
880 X 9.81

== 1.4215E 4 cmlPa
(b) The program LIQRESIS may be used to compute the liquid flow resistance. From Appendix
A, the absolute viscosity of oil is 0.160 Pa . s, and the density is 880 kg/lJl~. Using a flow rate
of 24 LPM, LIQRESIS gives the following results:
Reynolds number = 98

Flow is laminar

RL == 4.941E + 7 Pa· s/m

3

p = 19.8 kPa

(c) The time constant, T = RLCL

T = (4.94lE + 7)(1.4215E - 4)
= 7024" (or 117 min)
(d) The process gain,

G == (!!.~)( FS i. )
pg FSoul

== (4.94lE
880 X
+ 7)(4.0E -
9.81 2.8
4) == 0.8176

(e) Equation (14.9) gives the time-domain equation.

7024 d:* + h* == O.818q~n

t

(f) Equation (14.10) gives the transfer function.

H*(s) 0.818
Q~n(s) = I + 70248
•
540 • Chap.14 Process Characteristics

EXAMPLE An electrical circuit similar to Figure 14.5b has an 8.2-kO resistance value and a 60-ILF capacitance
14.3 value. Determine the following:
(a) The time constant.
(b) The transfer function.

Solution (a) Time constant,

T RC

(8.2E + 3) (60E - 6) ... 0.492 s

(b) The transfer function is

Eout(s)

EXAMPLE
E,n(s) ... I + 0.492s

An oil-bath thermal process similar to Figure 14.6a has an inside diameter of I m and a height of 1.2 m.
•
14.4 The inside film coefficient is 62 W1m2 • K, and the outside film coefficient is 310 W1m2 • K. The tank
wall is a single layer of steel, 1.2 cm thick. Determine each of the following:
(8) The thermal resistance.
(b) The thermal capacitance.
(c) The time constant.
(d) The time-domain equation.
(e) The transfer function.

Solution (a) Determine the thermal resistance, RT •

From Appendix A, K == 45 W 1m . K for steel

Thickness of the steel wall 0.012 m

A ... 'lT~2 + 'lTDh'" 'lTD(~ + h)

... 'IT(1) G + 1.2) 4.5553 m2

From Equation (3.38) in Chapter 3.

(l/h, + x/k + l/ho)
RL '" A

1/62 + 0.012/45 + 1/310)

4.307E - 3 K/W
4.5553

(b) Equation (3.39) in Chapter 3 may be used to compute the thermal capacitance.
C'" mSA
Sh ... 2180 J/kg • K (Appendix A)
p'" 880 kg/m 3 (Appendix A)

ph'lTD2 (800)(1.2)('lT)(1)2
m'" - 4 - = 4 ... 829.4 kg

;4c •
 • Sec. 14.3 The First-Order Lag Process 541

C :;;; (829.4)(2180) :;;; 1.80gE + 611K

(c) Time constant == 'T = RTCT•

T :;;; (4.30E - 3)(1.808E + 6)

:;;; 77888 (or 129.8 min)
(d) The time-domain equation is

(e) The transfer function is

61.(a)
6 j (a) :;;; I + 7788$
•
EXAMPLE A carbon dioxide (COv gas pressure process similar to Figure 14.6b has the following parameters:
14.5
Pressure vessel volume: 1.4 m3
Temperature: 530 K
Gas flow resistance: 2 X 105 Pa . s/kg
FS ln 2kg/s
FS out == 200 kPa
Determine each of the following.
(a) The capacitance of the pressure vessel.
(b) The time constant.
(e) 1111'1 prr.I/.~ess gain.
(d) The time-domain equation.
(e) The transfer function.
Solution (a) Equation (3.31) in Chapter 3 may be used to determine the capacitance of the pressure vessel.

C == 1.2E - 4MV
T

M == 44 for CO2 (Appendix A)

V = 1.4m3

T= 530K

(l.2E - 4)(44)(1.4)
C= 530

= 1.3947E - 5 kglPa
(b) The time constant, l' RsCs

'T == (2E + 5)(1.3947E - 5) = 2.79 S

-----~-- . _ - - _.....- - - - . , . . - - -...._ - _......- - - - - - - - - - - - - - ­

542 • Chap. 14 Process Characteristics

(c) G=R ( -FS,") (2E + 5) (_2- )

FSout 2E + 5
2
(d) The time-domain equation is

dp' • •
2.79d"t + p = 2w

(e) The transfer function is

P*(s) = 2
W*(s) 1 + 2.79s
•
EXAMPLE A blending tank similar to Figure 14.6c has a tank volume of 3.1 m 3 and a flow rate of 0.0031 m 3/s.
14.6 Determine the following:
(a) The time constant.
(b) The time-domain equation.
(c) The transfer function.

Solution (a) The time constant,

r=
v
q

3.1
== 0.0031 = 1000 s
(b) The time-domain equation is

1000 ( -de
o)
dt +c0 =cI

(c) The transfer function is

•
14.4 THE SECOND·ORDER LAG PROCESS

A second-order lag process has two capacitance elements, one capacitance and one inertial
element, or two inertial elements. (The inertial elements are mass, inductance, and inertance).
Three parameters characterize the response of a second-order system. The first parameter is
the resonant frequency, denoted by Woo The second parameter is the amount of damping in the
process, expressed by either the damping coefficient, a, or the damping ratio, (. The damp­
ing ratio is simply the damping coefficient divided by the resonant frequency «( = a/wo)' The
third parameter is the steady-state gain, G.
The step response of a second-order system is divided into three types depending on the
value of the damping ratio, (. If the damping ratio is greater than 1, the response is overdamped
as shown in Figure 14.8a. If the damping ratio is less than 1, the response is underdamped as
 • Sec. 14.4 The Second-Order Lag Process 543

shown in Figure 14.8c. If the damping ratio is equal to I, the response is critically damped as
shown in Figure 14.8b. Notice the fast rise and the oscillatory nature of the underdamped re­
sponse contrasted with the slow rise and the lack of oscillation of the overdamped response.
The critically damped response has the fastest rise possible with no oscillation.
A mechanical spring-mass-damping second-order process is shown in Figure 14.9a. In
this process the applied force,/, is the input signal, and the position of the moving body, h, is
the output signal. Three forces act on the moving body: the force exerted by the spring,ls, the

Maa nitude
(percent)

Time
a) OvenIampcd response (0.> Wo) or (t > I)
(seconds)
Maanitude
(percent)

Input step change

Time
b) Critically damped response (a -' VIo) UI (t ~ I)
(seconds)
Mqnitude

(pen=ent)

• Fig\lre 14.8 The step response of a

second-order process is overdamped, critically
Time damped, or underdamped, depending on the
c) Underdamped response (CJ. < Wo) or (t < I) (seconds) damping ratio,,, = a/woo
544 • Chap. 14 Process Characteristics

Spring Moving body

e",

r---''''''''''''-+h ­
Mass
AI
-t- - Position at RSt

Process input: f = applied roree

Process output: h = position of
ItlOvingbody
Dashpot

a) A spring-mass-damping second-order process

(Ot

+.........- +

L R +

• Figure 14.9 Mechanical and electrIcal

b) A series RLC second-order process second-order processes.

force exerted by the damping piston,!n and the externally applied force,/. The sum of these
three forces will cause the mass to accelerate according to Newton's law of motion.
d 2h
!+fs+!r=M­2
dt
The spring force,J.~, Is equal to the distance the spring is compressed or extended, divided by
the mechanical capacitance of the spring.
h
em
The negative sign in the equation for!. indicates that the direction of the force is down when
h is positive (up) and up when h is negative (down).
The damping force is equal to mechanical resistance of the dashpot multiplied by the ve­
locity of the dashpot piston. The piston velocity is represented mathematically by the deriva~
tive of h with respect to time (i.e., dh/dt).
dh
fr = -Rm dt
 • Sec. 14.4 The Second-Order Lag Process 545

The negative sign in the equation for fr indicates that the force is down when the piston ve­
locity is positive (moving up) and the force is up when the piston velocity is negative (mov­
ing down).
Substituting the last two equations into the first equation, and rearranging the terms gives
the following time-domain equation for a spring-mass-damping process.
d 2h dh
MCm dt2 + RmCm dt + h Cmf (14.20)

where Cm = capacitance of the spring, miN

f = externally applied force, N
h = position of the moving body, m
M mass of the moving body. kg
Rm = dashpot resistance, N . slm
The circuit shown in Figure 14.9b is the electrical analog of the spring-mass-damping
process. This can be easily S~ell by cumparing Equation (14.20) with the following equation
for the series RLC circuit:

LC tfeoul + RC deout + (14.21)

dr dt eOUI = em

III
t q*",

Process input: tit. = input flow

rate
PrQQ\!SS OIIIp\It: It* - level of
. tank 2
1",
T

a) Noninteractinl liquid pmc:ess

• Figure 14.10 Two-capacitance nomnter­

b) Noninteracting electrical process acting second-order processes.

- - _ ....._ - - _..... --_. --~- ..... -----~ ....- - -.... ----------;-~--~ -----­
546 • Chap. 14 Process Characteristics

A noninteracting second-order process has two capacitive elements configured such that the
second capacitive element has no effect on the first capacitive element. Equation (14.22) is
the time-domain equation of a noninteracting process with input signal, x, and output sig­
nal, y.

(14.22)

where
71 RICI and 72 = R 2 C2
Figure 14.10 shows examples of liquid and electrical noninteracting second-order processes.
The input signal of the liquid process is the input flow rate to the first tank, qm, and the out­
put signal is the level of the second tank, h. The input signal of the electrical circuit is the in­
put voltage. em. and the output signal is the output voltage, eout. The time-domain equations
and the transfer functions of the liquid and electrical noninteracting processes are in the boxed
summary just before the examples at the end of this section.
An interacting second-order process has two capacitive elements configured such that
the second capacitive element does have an interactive effect on the first capacitive element.
Equation (14.23) is the time-domain equation of an interacting, second-order process with in­
put signal, x. and output signal, y.
Jly dy
A2 dt 2 + AI dt + y = Gx (14.23)

G = RL
R, + R2 + RL

A2 = GrlT2
Figure 14.11 shows examples of liquid and electrical interacting second-order processes.
The input signal of the liquid process is the inlet pressure, Pin' and the output signal is the
outlet pressure in the second tank, Pout. The input signal of the electrical circuit is the in­
put voltage, em, and the output signal is the output voltage, eout. The time-domain equa­
tions and the transfer functions of the liquid and electrical interacting, second-order
processes are also in the boxed summary just before the examples at the end of this sec­
tion.
As a final illustration of a second-order process. we will examine the dc motor-driven
load shown in Figure 14.12. The input signal is the volLage~ e, applied to the armature of the
dc motor. The output signal is the rotational velocity of the load, w. Three equations define
this process. The first equation is the electrical equation of the armature circuit.
di
L - + R, + Kew e (14.24)
dt
 • Sec. 14.4 The Second-Order Lag Process 547

C. C1
R. fl P. R2 PM RL
P,n q2 1.1
Process input: Pin - inlet pressure

Process outpul: POOl" pressure in tank 2

a) An interacting liquid process

('/

• Figure 14.11 1\vo-capacilance interacting

b) An interacting electrical process second-order processes.

The second equation is the current-versus-torque equation of the dc motor.

Torque = Kti
The third equation is the mechanical equation of the load.
dw
Torque = J dt + Bw
Combining the last two equations gives us the following:
. J(dw dt) + Bw
,= K t

Load
resistance
+
DC motor Load t

o
field mertia

e J

Process input: e" armalure vollage, volls

Process output: ClI .. load speed, radianlsecond

• Figure 14.12 A de motor-dnven load is a second-order process.

548 • Chap. 14 Process Characteristics

20r-----.------.-----.~----_.----_.----__,

- t == 005

-10

-20

-30

.:!l -40
.8
~ -50
E
-60 0"

-70 -30"

-80 -60"

-90 -9(}" I
-8
ai
100 120·

-110 _ISO·

-120 1800
000111.10 0.0111.10 1000o 10000o

11.1, radians/second

• Figure 14.13 The Bode diagram of a second-order process varies considerably

for different values of the damping ratio, { = a/woo

The time·domain equation of the process is obtained by substituting the right-hand side of the
last equation for i in the first equation. The result can be reduced to Equation (14.25), the
time-domain equation of the de motor·driven load.
d'w dw
Az - 2 + A, -d + w = Ge (14.25)
dt t

where Tm = Ii
J = meehamca
' l time
' constant

T" L "" e1ectrlca

= Ii . l'tIme constant
• Sec. 14.4 The Second·Order Lag Process 549

Az
KeKt + RB

(Tm + Te)RB

AI = -'---"'--'-'--­
K.K, + RB
K,
G = ----''-­
K.K, + RB
J = moment of inertia of the load, kg . m 2
B damping resistance, N . m . ·s/rad
L armature inductance, H
R = armature resistance, .a
Kt = torque constant, N . m/A
e = armature voltage, V
bJ = motor speed, rad/s

Ke = EMF constant, V . s/rad

The Bode diagram of a second·order lag process is shown in Figure 14.13. The frequency
scale is normalized in terms of the resonant frequency, and the gain of the process is 1. A
range of values of damping ratio from 0.05 to 20 illustrates the pronounced effect that damp­
ing has on both the gain and phase angle, especially at the resonant frequency. Notice the am­
plification at the resonant frequency when the damping ratio is 0.1 and 0.05. The process with
C= 0.05 has an output at the resonant frequency that is 10 times as large as the input. The ef­
fect of the steady-state gain, G, is to raise or lower the gain line without changing the shape
of the line. The steady-state gain has no effect on the phase angle line.

SECOND·ORDER LAG PROCESS

Time-Domain Equation

(14.26)

Transfer Function
Y(s) G
(14.27)
X(s) "" I + At 8 + A2i
Parameters

(14.28)

AI
a (14.29)
2A2
a AI Ajwo
,::= Wo = 2'\1A; == -2­ (14.30)
550 • Chap. 14 Process Characteristics

(14.31)

2( 2a
AI == - = 2 (14.32)
(do (do

where G steady-state gain

x = input signal
y '" output signal
a damping coefficient, s - I
=
Wo = resonant frequency, rad/s
( = damping ratio
Mechanical Second-Order Process (Figure 14.9a)
Process input: f == applied force, N
Process output: h = position of mass, m
A2 '" MCm (14.33)

AI RCm (14.34)

G= Cm (14.35)

M = mass of the moving body, kg

R == damping resistance, N • slm
Cm = capacitance of the spring. mIN
Electrical Second-Order Process (Figure 14.9b)
Process input: em= input voltage, V
Process output: eout = capacitor voltage. V
(14.36)

(14.37)
(14.38)
L = electtical inductance, H
C = electrical capacitance, F
R = electrical resistance. n
Noninteracting Second-Order Process (Figure 14.10)
TI RICI (14.39)
T2 = R2Cz (14.40)

(14.41)
(14.42)
 • Sec. 14.4 The Second-Order Lag Process 551

1. Liquid level noninteracting process

Process input: q~n = input flow rate, percentage of FS..
Process output: h* ::: level in tank 2, percentage of FSou!

G::: (Rpg)(FS
2
FS
m
) (14.43)
out

RI,Rz = liquid resistance, Pa • 81m3

CI, C2 = liquid capacitance, m3/pa
2. Electrical noninteracting process
Process input: em = input voltage, V
Process output: eOUl = voltage across Cz, V
G=1 (14.44)
Rb R2 electrical resistance, n
CI , Cz = electrical capacitance, n

Interacting Second-Order Process (Figure 14.11)

(14.45)

(14.46)

(14.47)

1. Liquid level interacting process

PHll~ess input: Pill = inlet pressure, Pa

Process output: POUI = pressure in tank 2, Pa
2. Electrical interacting process
Process input: em input voltage, V
Process output: eOU! = voltage across RL• V
DC Motor Second-Order Process (Figure 14.12)
Process input: e = armature voltage, V
Process output: w rotational velocity of the load, rad/s

TmTe RB
A2=""""":::""::"-­ (14.48)
+ KJ(.,
RB
+ Te}RB
(Tm
A1 = - - - - ­ (14.49)
R8 + K,K,

---,---- .---- .... - - - : - - : - - - ...- -..... ----­

~
552 • Chap. 14 Process Characteristics

K,
G (14.50)
RB + KeK,
where Tm = B'
J mech ' Itime
amca ' constant, S

L 1 . al .
Te = Ii' e ectrlc time constant, s
B = damping resistance, N . m . s/rad

e annature voltage, V

J moment of inertia of the load, kg . m2

Ke = EMF constant, V . slrad

K, = torque constant, N . m/A

L = armature inductance. H

R = annature resistance, n

w motor speed, rad/s

EXAMPLE A spring-mass-damping process consists of a IO-kg mass, a spring capacitance of 0.001 m/N, and a
14.7 damping resistance of 20 N . s/m. Detennine the following:
(a) The time-domain equation.
(b) The transfer function.
(c) The resonant frequency (wo).
(d) The damping ratio (l).
(e) Whether the process is overdamped, underdamped, or critically damped.
Solution (a) The time domain is given by F,quation (14.26) and Equations (14.33) through (14.35).

A2 = Me", ... (10)(0.001) "" 0.01

AI = Re", (20)(0.001) = U,02
G em = 0.001
d 2h dh
0.01 + 0.02 dt + h = O.OOlf
~

(b) Equation (14.27) gives lhelransfer fUllction.

H{S) = 0.001
F(S) I + 0.02.1' + 0.01s2

(c) From Equation (14.28),

) O.~l = lO rad/s
(d) From Equation (14.30),

,= 0.02
2YO.Ol
=
0.1

(e) The damping ratio is less than 1; therefore, the process is underdamped.
•
 • Sec.14.4 The Second-Order Lag Process 553

EXAMPLE An electrical series RLC circuit consists of a 0.022-H inductor, a 1O-p.F capacitor, and a 200-0 resis­
14.8 tance. Determine the following:
(a) The time-domain equation.
(b) The transfer function.
(c) The resonant frequency.
(d) The damping ratio.
(e) The type of damping.

Solution (a) The time-domain equation is given by Equation (14.26) and Equations (14.36) through (14.38).

A z = LC '" (0.022)(lOE 6) '" 2.2E - 7

AI == RC = (2oo)(IOE 6) = 0.002

2.2 X 10
-7 (d 2
eout )
dt 2 + 0.002 (dedtout )
+ eOUl -_ em

(b) The transfer function is given by Equation 04.27).

EOU'(S) = _________
Etn(s) I + 0.0018 + 2.2 X 10-1 Sz
(c) From Equation (14.28),

3
(1)0 == )2.2: _ 7 = 2.13 X 10 rad/s

(d) From Equation (14.30),

(2.0E - 3)(2.13E + 3)
,;: 2 = 2.13
(e) The damping ratio is greater than I; therefore, the process is overdamped.
•
EXAMPLE A liquid, noninteracting, two-capacity system has time constants 1'1 and 1'2 of 520 sand 960 s. The liq­
14.9 uid is wat.er and the value of R2 is 1.6 X 10- 6 Pa ' s/m3 , The full-scale ranges are FSm - 5.0 X 10- 3
m3/s and FS out = 2.0 m. Determine the following:
(a) The time-domain equation.
(b) The transfer function.

Solution (a) The time-domain equation is given by Equation 04.26) and Equations (14.41) through (14.43).

A2 1'11'2 = (520)(960) = 5E + 5 S2
AI = 1'1 + 1'2 = 520 + 960 = 1480 s
P = 1000 kg/m3 (Appendix A)

G!!!! [. (1000)(9.81)
1.6E + 6 ](:'i.OR - 3) = 041
2 .

500,000 d;:z* + 1480 ~t* + h* 0.41q~n

- - - - -...- -.... -----:-~

.... -~.- . - - - _.... _,-------­
554 • Chap. 14 Process Characteristics

(b) The transfer function is given by Equation (14.27).

H*(s) 0.41
Q~n(s) = I + 1480s + 5oo,ooos2
•
EXAMPLE An electrical, interacting, two-capacity process (Figure 14.11b) has the following component values:
14.10
RI=IOooO
R2 = 8000
Rt• 4000
C) = 10 p,F
C2 := 50 p,F
Determine the following:

(0) The time-domain equation.

(b) The transfer function.

Solution (a) The time-domain equation is given by Equations (14.26). (14.39), (14.40), (14.45), (14.46), and
(14.47).
T) := (looO)(lOE 6) == 0.01 S

T2 = (8oo)(50E - 6) 0.04 s

400
0.1818
G := 1000 + 800 + 400

Az = (0.01)(0.04)(0.182) := 7.27 X 10- 5

AI == [0.01 + 0.04 + om G:) + O·04 c:n] 0.1818

= 0.0218
The time-domain equation is

7.27 X 10- 5 d~;~ut + 0.0218 d~~ut + eO"! 0.I82e,"

(b) The transfer function is

Eout(s) 0.182
E,.(s) I + 0.0218s + 7.27 x 1O- 5s 2
•
EXAMPLE An armature-controlled de motor has the following characteristics:
14.11
J = 6.2 X 10-4 kg . m2
B = 1.0 X 10- 4 N . m . s/rad
L == O.020H
R = 1.20
Ke 0.043 V . s/rad
K, 0.043 N· m/A
 • Sec. 14.5 The Dead-Time Process 555

Determine the following:

(a) The mechanical time constant.
(b) The electrical time constant.
(c) The time-domain equation.
(d) The transfer function.

Solution (a) Tm = J/B = 6.2E - 4/1.0E - 4 = 6.2 s.

(b) Te L/R = 0.020/1.2 = 0.0167 s.
(e) The time-domain equation is given by Equations (14.26), (14.48), (14.49), and (14.50).
(6.2)(0.0167)(1.2)(1.0E - 4)
(1.2)(1.0E 4) + (0.043)(0.043) = 0.00630

(6.2 + 0.0167)(1.2)(1.0E - 4)
Al = (1.2)(I.OE _ 4) + (0.043)(0.043) = 0.379

0.043
G = (1.2)(I.OE _ 4) + (0.043)(0.043) = 21.8

The time-domain equation is

d 2w dw
0.00630 - 2 + 0.379 -d + w = 2L8e
dt t

(d) The transfer function is

0(8) 21.8
E(8) = 1 + 0.3798 + 0.0063082
•

14.5 THE DEAD-TIME PROCESS

A dead-time process is one in which mass or energy is transported from one point to another.
The output signal is identical to the input signal except for a time delay. The time delay is
called the dead-time lag and is denoted by td' The dead-time lag is the time required for the
signal to travel from the input location to the output location. Dead time was included as one
of the common elements in Chapter 3 (see Sections 3.1, 3.2, 3.3, and 3.6 for further discus­
sion and examples of dead-time elements).
The step response of a dead-time process is shown in Figure 14.14. Before the step
change, the output signal and the input signal are equal. The step change increases the input
signal to a new value at time t 0 s. The output signal remains at the original value until time
t = td, when it also increases to the new value. The graph of the output signal is a duplication
of the input graph moved to the right by td seconds.
The response of a dead-time process is characterized by the dead-time lag-the number
of seconds (or minutes) that elapse between an input change and the corresponding output
chang~. The time-domain e.quation of the dead-time. process was developed in Section 3.1.
Figure 14.15 illustrates two examples of dead-time processes.

---,,--,,----­
556 • Chap. 14 Process Characteristics

Magnitude
(percent)

Input step change

II
I Output response
V
Time
(seconds) • Figure 14.14 The step response of a dead­
time process IS Identical to the input but is de­
layed by the amount of dead-time lag, til'

The Bode diagram of a dead-time process is shown in Figure 14.16. The dead-time
process delays a signal but does not change the size of the signal. The gain is 1 at all fre­
quencies, and the Bode diagram gain line is on the O-dB line. The phase angle. fJ. is given by
the following equation:
f3 : . : - 57 .3wtd (14.51)

-
,,= belt speed ~~.
0,6.
'.~.
I
....> - - - - D == distance traveled ~ 10 (I)

a) Solid Row dead time

Salt

Jl C, = Salt concentration at the inlet

Water-==~===::=====i.===::===~
,,= Fluid velocity
I
....· - - - - - - - D - - - - - - - - + I CO
Brine
:: Salt
concentration
D) at the
CO (I) == CI ( I --; outlet

b) Liquid now dead time

• Figure 14.15 Sohd How and liqUid flow dead-time processes.

 • Sec. 14.5 The Dead-Time Process 557

DEAD-TIME PROCESS
Tlme-Domtlin Equation
J:,(t} = J.(t td} (14.52)

D
td:= - (3.1)
V

Transfer Function

(14.53)

where D = distance from input to output, m

/;(s) = input signal
fo(s) = output signal
t = time, s or min
dead-time lag, s or min
td ;::
v = velocity of signal travel, mls

o
~ I' Gain,m
~ -10 ..
0"
~
if
-20 ~ 30°

\
!

-30 -00°
_ FhM...
t angle,p
-90°

-120°

-ISOn ~
j
-180°

i
-2100
I
-240"

-270°
• Figure 14.16 Brnle diugram of a dead-time
-300·
process with a dead-time lag of 20 s (Example
14.12). The gain is I at all frequencIes, but the
phase lag becomes very large as frequency in­
0.0001 0.001 om 0.1 creases.

,- .
558 • Chap. 14 Process Characteristics

EXAMPLE A dead-time process similar to Figure 14.15a consists of a 12-m-long belt conveyor with a belt velocity
14.12 of 0.6 m/s. Determine the dead-time lag (td), the time-domain equation, the transfer function, and the
Bode diagram.

D 12
Solution td = = - = 20s
v 0.6
The time-domain equation is given by Equation (14.52).

10(t) = J.(t - 20)

The transfer function is given by Equation (14.53).

Fo(s) _ -20..

---e
F,(s)
The Bode diagram gain line is a constant 0 dB. The phase line is given by Equation (14.51).
(j -57.3wtd = -57.3w(20) = -1146w
Thr. following tahlr. of valul':s was IISf'.d to constmct thl': phasl': angle line in the Rodl': diagram in Figure
14.16.

w (rad/s) (3 (deg)

0.001 1.15
O.oI 11.5
002 22.9
0.05 57.3
0.1 114.6
0.2 229.2
0.4 458.4

14.6 THE FIRSy..ORDER LAG PLUS DEAD-TIME PROCESS

The first-order lag plus dead-time process is a series combination of a first-order lag process
and a dead-time element. The step response, illustrated in Figure 14.17, is characterized by
the first-order lag time constant (1") and the dead-time lag (td)' The first-order lag plus dead­
time characteristic is frequently used as a first approximation of the model of more complex
processes for the purpose of analysis and design. The values of td and T' can be determined
from a step response test of the process as indicated in Figure 14.17. An example of a first­
order lag plus dead-time salt brine process is shown in Figure 14.18. A mixing tank is used
to blend salt and watcr continuously to form u brine solution. The inlet water flow rute hI reg­
ulated to match the outlet flow of brine solution. The salt flow rate is regulated to maintain
the desired salt concentration in the mixing tank. The saIt flow rate,/;(t), is the input signal of
the process. The salt concentration in the tank, CO' is the output signal of the process. The belt
conveyor is the dead-time element and the mixing tank provides the first-order lag character­
istic. In this example, the dead-time element preceded the first-order lag element. However,
the response is the same for processes in which the first-order lag characteristic precedes the
dead-time element.
 Magnitude
(percent)

M~--------~------~~-----------

O.632M

o
Dead-l Time
time constant
I-­
• Figure 14.17 Step response of a first-order lag plus dead-time process.

Mixing tank---t
V..,. Volume
Co = concentration

Brine

Q = now rate
Co = concentration
of salt in the • Figure 14.18 First-order lag plus dead­
outlet stream time blending process.

559
560 • Chap. 14 Process Characteristics

• GLOSSARY

Dead-time process: A process in which the tnput appears at the output after a time delay of td' The
time delay. td, completely characterizes the dead-time process. This process usually involves trans­
portation of mass or energy from one point to another. (14.5)
First-order lag process: A process in which the rate of change of the output is proportional to the dif­
ference between the input and the output The first-order lag process is completely characterized
by its time constant, T, and its steady-state gain, G. First-order lag processes consist of a single re­
sistance element and a single storage element. (14.3)
Frequency response graph: TWo graphs that display the gain and the phase angle of a component
plotted versus frequency. The two graphs share a common log frequency scale on the x-axis. The
y-axis of one graph is the decibel gain of the component; the other is the phase angle of the com­
ponent. (14.1)
Integral action time constant: The time required for the output of an integral process to change by
an amount equal to the difference between the input and the nominal value that will maintain the
output constant. (14.2)
Integral process: A process in which the output changes at a rate proportional to the difference be­
tween the input and a nominal value that will maintain the output constant. The integral process is
characterized by the integral action time constant as defined above. 04.2)
Interacting second-order process: A second-order process configured such that the second storage
element has an effect on the first storage element. (14.4)
Noninteracting second-order process: A second-order process configured such that the second stor­
age element has no effect on the first storage element. (14.4)
Ramp process: Anofh~r name for the integral process. (14.2)
Sl!CUnd-ul'del' lag process: A process that has two storage elements and at least one resistive. ele.ment.
Tht: second-order lag process is completely characterized by its resonant frequency, Wo, damping
ratio,;;, and steady-state gain, G. The response of the second-order lag process is divided into three
re,gions: underdamped, critically damped, and overdamped, depending on whether the damping ra­
tio is less than I, equal to I, or greaterthan 1. (14.4)
Step respunse g..aph: A !;\llitJh uf the uutput Df a process following a step change in the input to the
process. (14.1)
Time-domain equation: An equation that defines the size-versus-time relationship between the input
and t.he output of a process. (14.1)
Transfer function: The frequency domain ratio of the output of a process over its input with all ini­
tial conditions set to zero. The transfer function defines the gain and phase difference versus fre­
quency relationship hetween the input and the output of the process. (14.1)

• EXERCISES

Section 14.1 14.2 Which methods in Exercise 14.1 a-f define the size
and phase angle relationship between the input to a
14.1 Which of the following methods define the rela­ process and the output from the process at different fre­
tionship between the size of the input to a process and the quencies.
size of the output from the process at different times?
'(a) Step response graph and frequency-response graph Section 14.2
(b) Time-domain equation and frequency-response graph
(c) Step response graph and transfer function 14.3 Choose al1 of the following conditions for which
(d) Transfer function and frequency-response graph the output of an integral process will remain constant.
(e) Step response graph and time-domain equation (a) The input How rate is constant, and the output flow
(0 Time-domain equation and frequency-response graph. rate varies.
 • Chap. 14 Exercises 561

(b) The input flow rate varies and the output flow rate is Frequency (radls)
constant.
1.57 X 10- 5
(e) Both the input and output flow rates are constant, but
they are not equal. 1.57 X 10-4
(d) The input flow rate is equal to the output flow rate. 1.57 X 10- 3
(e) The amount of stored material or energy is constant. 1.57 X 10- 2
14.4 The input signal (inflow minus outflow) to an inte­ 1.57 X 10- 1
gral process is suddenly changed from 0% to 10% and 1.57 X 10°
then held at 10%. The process output was at 20% when the
step change occurred. Determine the output at the follow­ Section 14.3
ing times (measured from the instant the step change oc­
14.8 A liquid level first-order lag process has an output
curred). The process has an integral action time constant of
40 s. flow rate, qOU!' of 2 gpm when the tank level, h(t), is at 40%
(a) 20 s
of full scale. Determine the output flow rate for each of the
(b) 40 s following values of the level, h(f).
(a) 20%
(c) 80 s
(d) 120 s (b) 80%
(e) 10%
14.5 The input signal (inflow minus outflow) to an inte­
(d) 100%
gral process varies sinusoidally at a radian frequency, <VI>
of 0.025 rad/s. The output signal varies sinusoidally at the 14.9 The input signal of a first-order lag process is sud­
same frequency with an amplitude of 10%. Determine the denly changed from 10% to 30% of full scale. The process
amplitude of the output for each of the following input sig­ output was at 10% of full scale when the step change oc­
c

nal radian frequencies, assuming the input signal ampli­ curred. The process has a time constant of 20 seconds. Two
tude is unchanged. hundred seconds after the step change, the output was 30%
(a) <V2 0.25 rad/s of full scale. Determine the output at each of the following
(b) <V2 0.10 rad/s times after the step change.
(e) W2 = 0.010 radls (a) 20 s
(d) W2 == 0.005 radls (b) 40 s
14.6 A liquid level integral process (Figure 14.2a) has (e) 60 s
the following parameters and conditions: (d) 80 s
(e) 100 s
'lank height 5.2 m
Tank diameter = \.R m 14.10 A first-order lag process has a time constant, T, of
FSm == 0.02 m3/s 10 s, and a steady-state gain, G, of 1. Use the Bode dia­
gram in Figure 14.7 to determine the gain, m, in decibels,
FS"ut'" 5 m
h*(to) = 1.7 m == 34% of FS
and the phase angle, {3, in degrees for each of the follow­
q* out = 0.009 mYs = 45% of FS
ing values of' the radian frequency.
q*m = 0.011 mYs = 55% of ¥S
(a) 0.001 rad/s
(b) om rad/s
Determine the time-domain equation, the transfer func­
(c) 0,1 rad/s
tion, the integral action time cunNtant, and the level at time
(d) 1.0 rad/s
to + 50 s.
(e) 10.0 rad/s
14.7 Construct a Bode diagram of the integral process in
14.11 The gain values in Exercise 14.10 are expressed in
Exercise 14.1. The input signal is expressed as a percent­
decibels. If g is the ordinary gain value, and m is the deci­
age of FS IO, and the output signal is expressed as a per­
bel gain va!ut:, lht:1I the following equatiOlls convert be­
centage of ¥Suul' Use the Bode diagram to determine the
output amplitude produced by a sinusoidal input at each tween dB and ordinary gain.
frequency given below. The input signal has an amplitude g '" 10'"/20
of 10% of FS in • Express the output amplitude both as a
percentage of FSout> and in meters. Indicate any output that Convert the decibel gain values, m, that you obtained in
is limited by PS OU !' Exercise 14.10 into ordinary gain values, g.

----~ ... -~~.-~ ..

 562 • Chap. 14 Process Characteristics

14.12 The transfer function of the first-order lag process, 14.17 Construct the Bode diagram of the oil-bath ther­
given by Equation (14.10), can be used to compute the gain mal process in Example 14.4.
and phase angle of the process at any given frequency. Re­ 14.18 A nitrogen gas process similar to Figure 14.6b has
fer to Example 4.18 for an example of the use of the trans­ the following parameters:
fer function to determine the gain and phase angle at a given Pressure vessel volume: 1.1 m3
radian frequency. Use values of I for G and 10 for 7' in
Temperature: 540 K
Equation (14.10), and determine the gain, g, and phase an­
gle, /3, for each of the following radian frequencies. Com­ Gas How resistance: 1.8 X Itt' Pa . s/kg

pare your results with the gain and phase angle values you FSm : 2.5 kg/s

obtained in Exercises 14.10 and 14.11. FSout : 100 kPa

(a) (J) = 0.001 radls Determine each of the following:
(b) (J) 0.01 radls (a) The capacitance of the pressure vessel.
(c) (J) =: 0.1 rad/s (b) The time constant.
(d) (J) =: 1.0 radls (c) The process gain.
(e) (J) = 10.0 radls (d) The time-domain equation.
14.13 An oil tank similar to Figure 14.5a has a diameter (e) The transfer function.
of 1.658 m and a height of 3.6 m. The outlet at the bottom 14.19 A blending system similar to Figure 14.6c has a
is a 4-m-Iong smooth tube with a diameter of 2.5 em. The flow rate of 0.006 mrs. Determine the tank volume that
oil temperature is 15°C. The full-scale ranges are: FSm = will result in a time constant of 10 min. Thcn dctcrmine
2.5 X 10- 4 m3/s and FS out = 3.2 m. Determine eaeh of the time-domain equation and transfer function using the
the following: 10-min time constant.
(a) The capacitance of the tank.
(b) The resistance of the outlet. Section 14.4
(c) The time constant of the process.
(d) The gain of the process. 14.20 Name the three parameters that characterize a
(e) The time-domain equation. second-order lag process.
. (f) The transfer function. 14.21 Name the three types of step response of a second­
14.14 An electrical circuit similar to Figure 14.5b has 11 order lag process. Describe each type of response and the
capacitance value of to JLF. Determine the resistance value condition that causes this type of response.
. that will result in a time constant equal to 0.083 s. 14.22 Describe the difference between noninteracting
14.15 Construct the Bode diagram of the first-order elec­ and interacting second-order lag processes.
trical circuit in Example 14.3. Determine the amplitude 14.23 A second-order lag process has a resonant fre­
and phase of the output signal corresponding to each oftbe quency, lOo. of 10 radls, a damping ratio of 0.1, and a
following input signals: steady state gain, G, of 1. Use the Bode diagram in Figure
(a) eon 0.25 cos(0.2t + 45°) V 14.13 to determine the gain, m, in decibels, and the phase
(b) eon 0.5 cos(2t + 45°) V angle, /3, in degrees for each of the following values of the
(c) em 1.5 cos(20t + 45°) V radian frequency. Convert your decibel gain values, m, to
14.16 An oil-bath thermal system similar to Figure 14.6a ordinary gain values, g.
has an inside diameter of 0.75 m and a height of 0.6 m. The (a) 0.1 rad/s
1m
inside film coefficient is 58 W 2 • K, and the outside film (b) l.0 radls
1m
coefficient is 350 W 2 • K. The tank wall is II !lingle layer (c) 10.0 rad/s
of aluminum 2.1 cm thick. Determine each of the fol­ (d) 100 rad/s
lowing: (e) 1000 radls
(a) The thermal resistance. 14.24 Repeat Exercise 14.23 with a damping ratio of
(b) The thermal capacitance. 10, a resonant frequency of 10 radls, and a steady-state
(c) The time constant. gain of l.
(d) The time-domain equation. 14.25 Equation (14.26) defines the transfer functioo for
(e) The transfer function. a second-order lag process. Use the transfer function and
 • Chap. 14 Exercises 563

program BODE to print two Bode Data Tables to check the Ke = 0.22 V . slrad
graphical results you obtained in Exercises 14.23 and Kl 0.22 N· mlA
14.24. Comment on the comparison between the values

L = 0.075 H
you obtained from the graph In Figure 14.13 and the val­

R = 1.20
ues you obtained from program BODE.

Determine the mechanical time constant, the electrical

14.26 A spring-mass-damping system consists of a

time constant, the time-domain equation, the transfer func­

2S-kg mass, a spring capacitance of 6.9 X 10- 4 miN.
tion, the resonant frequency, wo, the damping ratio, (. and
and a damping resistance of 42 N . s/m.

the type of damping (i.e., overdamped, critically damped,

Determine the time-domain equation, the transfer func­

or underdamped).
tion, the reso-nant frequency, 0)0. the damping ratio, (, and

whether the process is overdamped, underdamped. or crit­

14.32 Construct the Bode diagram of the dc motor
ically damped.
second-order system in Example 14.11.
14.27 Construct the Bode diagram of the spring-mass­
14.33 The response of a control system is very much like
damping system in Example 14.7. Detennine the ampli­
the response of a second-order system. A closed-loop sys­
tude and phase angle of the output produced by each of the
tem may be overdamped, critically damped, or under­
following input signals:
damped. The damping coefficient, a, detennines the type
(a) f = to cos(t + OO)N of damping present in a system. In Equation (14.26), the
(b) f = to c08(lOt + OO)N equation of the second-order system is expressed in terms
(c) f = 10 cos(100t + OO)N of AI and A 2• The equation can also be expressed in terms
of a>o and a.
14.28 An electrical series RLC circuit consists of a
d y + 2 (~) dy +
2
0.04-H inductor. a 4-p,F capacitor, and a 100-0 resistor. ..!..
Verify that the system is underdamped. The damping of w~ dt 2 w5 dt y Ox
the cIrcuit may be increased by adding a second resistor in
series with the 100-0 resistor. Determine the value of the Notice that a is part of the coefficient of the first deriva­
second resistor that will result in a critically damped cir­ tive of the output (dyldt). The first derivative is the rate
cuit. Determine the time-domain equation and the transfer of change (or velocity) of the output. Consider a de mo­
function ot the critically damped circuit. tor position control system that is underdamped. A speed
sensor measures the rate of change of the output (i.e.•
14.29 A liquid noninteracting two-capacity system has
dy/dt). Explain how the signal from the speed sensor
time constants TI and 'r~ of 300 S 1l1lU 1200 s. The liquid is
could be used to increase the damping coefficient of the
water, and the value of R2 is 2.2 X 106 Pa . s/m 3 • The full-
system.
Is
scale ranges are FS m = 1.0 X 10- 2 m 3 and FSou, 4 Section 14.5
m. Determine the time-domain equation and transfer func­ 14.34 Determine the dead-time lag for each of the fol­
tion. lowing distance and velocity parameters.
14.30 An electrical interacting second-order circuit has (0) D = 15 ft, v == 4 fils
the following component values: (b) D = 34 ft. v = 5.S ft/s
RI = 1000 (c) D = 4.6 m, v = 1.2 mls
R2 = 3000 (d) D 9.8 m. v = 2.4 mls
RL = soo 14.35 A dead-time ~rocess similar to Figure 14.15a con­
C 1 0.1 p,F sists of an 8.2-m-Iong belt conveyor with a belt velocity of
C2 = 0.8 p,F 0.44 m/s. Determine the dead-time lag. the time-domain
Determine Th T2. the time-domain equation, and the trans­ equation, and the transfer function.
fer function. 14.36 Construct a Bode diagram for a dead-time lag
14.31 An armature-controlled de motor has the follow­ process with a dead time of 250 s.
ing characteristics: Section 14.6
B = 2.0 X 10- 3 N . m . s/rad 14.37 Name and describe the two parameters thatehar­
J = 3.2 X 10- 3 kg . m2 acterize a first-order lag plus dead-time lag process.
564 • Chap. 14 Process Characteristics

14.38 A first-order lag plus dead-time process similar to Mixing tank diameter: 0.55 m
Figure 14.18 has the following parameter values: Height of liquid in the mixing tank: 0.65 m
Distance traveled on the belt: 7.6 m Inside thermal film coefficient:
. Belt speed: 1.1 mls hI = 81OWjm2 • K
Tank volume: 12.2 m3 Outside thermal film coefficient:
Water flow rate: O.ot m3/s ho = 12ooWjm2 • K
Determine the dead-time lag (td) and the first-order time Tank wall thickness: 0.7 cm
constant (T). Tank wall material: steel
14.39 A blending and heating system is illustrated in Density of liquid in the tank: 1008 kg/m3
Figure 1.10. The thermal system is a first-order lag and the Specific heat of the liquid: 4060 J/kg • K
blending system is a first-order lag plus dead time. Deter­
mine the time constant and dead-time lag of the blendIng Diameter of the mixing tank outlet pipe: 2 cm
system and the time constant of the thermal system. Also Distance from tank outlet to the analyzer feed pIpe in­
determine the transfer function of the thermal system. The let: 1.5 m
system parameters are as follows: Concentration analyzer feed pipe flow velocity: 0.2 mls
Production rate: 1.8 X 10- 4 m3js Length of the concentration analyzer feed pIpe: 2 m
• CHAPTER 15 Methods of Analysis

• OBJECTIVES

The analysis of a control system centers on answering the question: Is the system stable? A stable con­
trol system responds to any reasonable input with an error that diminishes with time. The error of a sta­
ble system mayor may not oscillate, and it mayor may not diminish to zero. If the error oscillates, the
amplitude of the oscillation diminishes exponentially with time. If the error does not diminish to zero,
it eventually reaches a small, steady value. In contrast, an unstable control system responds to at least
some reasonable inputs with an error that increases with time. The error usually oscillates. For contin­
uous, linear systems, an error that oscillates with constant amplitude is considered to be unstable. How­
ever, some discontinuous systems are inherently oscillatory, and an oscillating error is considered sta­
ble as long as the amplitude does not increase with time.
A second concern of control system analysis is the question: How quickly does tbe error diminish?
Control system engineers must answer both questions in the process of designing a control system that
is stable autl minimize!> errors resulting from disturbances, changes in setpoint, 01' changes in loatl.
The purpose of this chapter is to introduce you to three methods the control engineer uses to ana­
lyze control &y&tems: Bode diagrams, Nyquist diagrams, and fool Iuculi. After completing this chapter,
you will be able to
1. Uoo a computer,aided, graphical method (the program named DESIGN) to cunstruct or deter­
mine the following for a control system
a. Open-loop Bode diagram
b. Closed-loop Bode diagram
c. Error mtio graph
d. Stability (from an open-loop Bode diagram)
e. Gain and phase margin (from an open-loop Bode diagram)
f. Nyquist diagram
g. Stability (from a Nyquist diagram)
2. Construct a root-locus diagram of a control system and determine
a. Values of gain, K, for which the system is unstable
b. Value of gain, K, for a given damping ratio

•••• 565

- - , - - _...- - _.._ - - ­
566 • Chap. 15 Methods of Analysis

15.1 INTRODUCTION

In this chapter you will study a number of methods used to analyze control systems. The
analysis of a control system involves the determination of the response of the system to var­
ious disturbances and the answer to the question: Is the system stable? A closed-loop control
system consists of several components connected in series to form a closed loop. These com­
ponents include the controller, manipulating element, process, and measuring transmitter (see
Figure 1.7). Thus our study begins with the overall transfer function and frequency response
of several components connected in series.
There are actually two overall transfer functions of a closed-loop control system. One
transfer function is obtained with the feedback line disconnected at the error detector. We call
this the open-loop transfer function of the control system. The second transfer function is ob­
tained with the feedback line connected. We call this the closed-loop transfer function of the
system. Both transfer functions are expressed as the ratio Cm/SP.
The error ratio and the deviation ratio give additional insight into the response of a
closed-loop control system to disturbances of various frequencies. The response of a control
system can be divided into three frequency zones. Zone I is the range of frequencies below
the "frequency limit" of the control system. Zone 2 is the middle range of frequencies be­
tween the "frequency limit" and a second, higher-frequency value. Zone 3 is the range of fre­
quencies above the second frequency value. In zone I, feedback reduces the error caused by
a disturbance or setpoint change. In zone 2, feedback actually increases the error caused by a
disturbance or setpoint change. In zone 3, feedback has no effect on the error. The importance
of knowing the frequency limit of a cunlrol syslt:IIl is ubviuus. A cunlrol systt:1Il cannut han­
dle disturbances or setpoint changes that have a frequency greater than its frequency limit.
The frequency response of a control system is usually displayed as a pair of graphs called
Bode diagrams. One graph shows the overall gain (amplitude change from SP to Cm) versus
frt".quency. The second graph shows the overall phase angle (phase change from SP to em)
versus frequency. The same frequency scale is used on both graphs, and they are plotted on
one diagram, thereby making it easy to read the gain and phase angle at any given frequency.
As with transfer functions, two frequency responses are useful in control system analysis. The
open-loop frequency response is obtained with the feedback line disconnected at the error de­
tector. The closed-loop frequency response is obtained with the feedback line connected.
Both graphical and computer-aided methods are used to obtain the open-loop and closed­
loop Bode diagrams of a control system. A BASIC program for computer-aided analysis and
dcsign is included on a disk that comes with this book. DESIGN produces both open ·loop and
closed-loop Bode diagrams of a control system. It also produces a Nyquist diagram and an
error-ratio graph of the system. In Chapter 16, DESIGN is used for computer-aided design of
PID controllers and compensation networks. With DESIGN, a designer can try a number of
different designs and observe the change in the frequency response on a graphic screen. The
designer can use a "what if" approach to the analysis and design of a control system. How­
ever, a certain amount of hand plotting of graphical data will help students acquire the un­
derstanding and judgment required to make full use of powerful computer-aided methods
such as DESIGN.
Stability is a major concern in the design of a control system. Control system designers
use two safety margins, called the gain margin and phase margin, to assure the stability of the

- - - - - - - - - _ ......................._ ­
 • Sec. 15.2 Overall Bode Diagram of Several Components 567

control system. The designer reads these two margins directly from the open-loop Bode dia­
gram, and uses them as a guide while shaping the Bode diagram to obtain the optimum con­
trol system design.
The Bode diagram does not apply to some complex types of systems. For these systems,
the designer may use the Nyquist stability criterion, which applies to a wider range of sys­
tems than the Bode diagram. The Nyquist criterion uses a graphic technique to determine the
stability or instability of the control system. Although the Nyquist criterion answers the
question "Is the system stable?", it is not as useful as Bode diagrams and root locus in the
actual design of the controller.
The root-locus technique is another graphical method of determining the stability
or instability of a control system. The root locus consists of a plot of the roots of a cer­
tain characteristic equation of the control system as the gain varies from zero to infinity.
From the root-locus plot, the designer can observe the relationship between the sys­
tem gain and the stability of the system. The root locus is particularly useful to the de­
signer in determining the effect of gain changes on the stability and performance of the
control system.

15.2 OVERALL BODE DIAGRAM OF

SEVERAL COMPONENTS

A control system consists of several components connected in series to form a closed loop.
The design and analysis of a control system require a knowledge of the transfer function and
the frequency response of this group of components considered as a unit. In other words, the
overall transfer function and frequency response must be known.
Consider the three components in Figure 15.1 with transfer functions TFI> TF2 , and TF3 •
Signal Sl is the input signal of component 1. Signal S2 is the output signal of component 1
and the input signal of component 2. Signal S3 is the output signal of component 2 and the
input signal of component 3. Signal S4 is the output signal of component 3. Also, signal SI
is the input signal and S4 is the output signal of the three components as a unit. By defini­

• Figure 15.1 Thc transfer functton of three components connecl.OO in series is

equal to the product of the transfer functions of th[\ individunl components.
 588 • Chap. 15 Methods of Analysis

tion, the transfer function of a a component or group of components is the ratio of the out­
put signal over the input signal. Thus
. S2
Transfer function of component I = TF I = ­
SI
S3
Transfer function of component 2 = TF2
S2
.
Transfer function of component 3 = TF3 = ­ S4
S3
S4
Transfer function of the group of components = TF
SI
But

and
(15.1)
Equation (15.1) states that the overall transfer function of several components in series is
equal to the product of the transfer functions of the individual components.
The frequency response of a component or group of components is obtained by substi­
tuting jw for s in the transfer function. The transfer function can then be reduced to a com­
plex number in the polar form. The magnitude of the complex number is the frequency re­
sponse gain, g. The angle of the complex number is the frequency response phase angle, {J.
I ~t the frequency response be represented by the following terms:
glL!!J. = frequency response of component I
g2/P.J,. = frequency response of component 2
g3iP1 = frequency response of component 3
g /p. = overall frequency response of the three components as a unit
TIlen, from Equation (1S.1)
(15.2)
However, the product of three complex numbers in polar foml is a complex number whuse
magnitude is the product of the magnitudcs of the three complex numbers, and whose angle
is the sum of the angles of the three complex numbers.
(15.3)
Equation (15.3) states that the overall gain of several components in series is equal to the
product of the gains of the individual components. It further states that the overall phase an­
gle of several components in series is equal to the sum of the phase angles of the individual
components. In other words, the gains are multiplied and the phase angles are added.

~-- -;----- ~--- ..... ----;---------------;-~- ...... _ - - - _ ... _ - - - , - - - ­

 • Sec. 15.2 Overall Bode Diagram of Several Components 569

The Bode diagram uses a logarithmic gain scale so that multiplication of gain terms can
be accomplished by graphically adding the logarithms of the individual gain terms; that is,
log g = log (gj • g2 • g3) = log gj + log g2 + log g3
The decibel scale is a logarithmic scale, and the addition of decibel values is equivalent to
mUltiplying the corresponding gain values.

(15.4)

The overall transfer function of several components in series is equal to the product of the

transfer functions of the individual components.

The overall gain of several components in series is equal to the product of the gains of the indi­

vidual components.

The overall phase angle of several components in series is equal to the sum of the phase angles

of the individual components.

The overall frequency response of several components can be determined on a Bode diagram

graphically by adding the decibel gains and by adding the phase angles of the individual com­

ponents.

EXAMPLE A thermal process and a temperature measuring means are connected in series in a control system. De­
15.1 termine the overall transfer function from the following individual transfer functions:

Thermal process transfer function

I + 6420s

Measuring means transfer function = 178

1 + s

Solution The overall transfer function is the product of the individual transfer functions:

Overall transfer function = C+~20JC +\89)

(I + 6420s)(1 + 78s)
•
EXAMPLE Three components are connected in series. The transfer functions arc given below. Determine the over­
15.2 all transfer function, TF.
570 • Chap. 15 Methods of Analysis

Solution The overall transfer function is the product of the individual transfer functIOns:

•
EXAMPLJ: The following gains and phase angles were measured at a frequency of 1 cycle per second. Determine
15.3 the overall gain, g, and phase angle, fl, if the components are connected in series.

Gain Phase Angle (deg)

Fmal control element IS -5

Process 2.0 -170
Measurmg means 0.9 15

Solution The gain, g, is the product of the individual gains and the phase angle, fl, is the sum of the individual
phase angles.
g (\.5)(2.0)(0.9) = 2.7

fl:= (-50) + (-170°) + (-150) == 190 0

•
15.3 OPEN-LOOP BODE DIAGRAMS

The open-loop Bode diagram expresses the frequency response of the control system when the
measuring transmitter output is disconnected from the error detector. The Bode diagram data can
be obtained from the transfer function of the "open-loop control system" shown in Figure 1~.2. The
first block represents the forward path components (controller, manipulating element, and process),
and the symbol G(s) is used to repn~se:nt thf'. tran!';ft':f fllnc.tion of the:se: r.ompone:nts. The: second
block represents the feedback path component (measuring transmitter). Because the measurement,
Cm • is not used, the output of the error detector is equal to the setpoint signal (i.e., ESP).
The open-loop transfer function is obtained by substituting SP[G(s)] for C in the equa~
tion for Cm (Figure 15.2) and then dividing the resulting equation by SP.

OPEN-LOOP RESPONSE

Open-loop transfer function

em == G(s)H(s)
sp (15.5)

The open-loop Bodc diagram is constructed with the aid of a computer by multiplying the gains nod
adding the phase angles of the controller, manipulating element, process, and measuring transmitter.
The open-loop Bode diagram is constructed graphically by adding the decibel gain and phase
graphs of the controller, manipulating element, process, and measuring transmitter.
 • Sec. 15.4 Closed-Loop Bode Diagrams 571

Forward path
G(s)
Controller.
SP + SP C=SP[G( s)1
E manipulating
element. and
process

Feedback path

H(s)
Measuring transmitter ........
Cm==C(H(s»)

• Figure 15.2 The open. loop transfer func­

bon is obtained by dIsconnecting the feedback
line from the error detector and solving for
~ == [G(s)JIH{s)l
C",/SP.

15.4 CLOSED-LOOP BODE DIAGRAMS

The closed-loop Bode diagram expresses the frequency response of the control system when
the measuring transmitter output is connected to the error detector. The Bode diagram data
can be obtained from the transfer function of the closed-loop control system shown in Figure
15.3.
In Figure 15.3, the loop is closed, making the output of the error detector equal to the set-
point minus the measuring transmitter output (i.e., E SP - Cm). The output of the forward
path components, C, is equal to the input, E, times the transfer function G(s).

C:= E[U(s)] = (SP Cm)G(s)

The output of the feedback path component, CII" is e.qual to the input, C, times the transfer
function H(s).

Cm = C[H(s)] = (SP - Cm)G(s)H{s)

The preceding equation may be solved for the closed-loop transfer function Cm/SP.

Cm = SP[G(s)H(s)] Cm[G(s)H(s)]
Cm + Cm[G(s)H(s)] := SP[G(s)H(s)]
em[l + G{s)H(s)] = SP[G(s)H(s)]
G(8)H(s)
closed-loop transfer function
SP 1 + G(s)H(s)
where G(s}H(s) is the open-loop transfer function. In other words, the closed-loop response
is equal to the open-loop response divided by I plus the open-loop response.
572 • Chap. 15 Methods of Analysis

Forward path

O(s)
SP + Controller, C=EIO(s»
I mampulating
E= element, and
(SP - Cm) process

Feedback path

H(s)
Cm == C(H(s»)
Measuring transmilter

• Figure 15.3 The closed-loop transfer func­

fm = [G(s)]{H(s») tion 18 obtained by connecting the feedback line.
SP [G(s)JlH(s)] + I to the error detector and solving for Cm/SP.

CLOSED-LOOP RESPONSE
. em G(s)H(s)
Closed-loop transfer function = SP = 1 + G(s)H(s) (15.6)

The closed-loop Bode diagram is constructed with the aid of a computer by dividing the open­
loop response by I plus the open-loop response.
The closed-loop Bode diagram is constructed graphically by converting the open-loop gain and
phase values to the corresponding closed loop values. A Nichols chart is used to convert each
set of open loop gain and phase values into the corresponding closed.loop gain and phase
values.

Figure 15.4 shows the open-loop and closed-loop Bode diagrams of a control system that
consists of a proportional controller and a first-order lag plus dead-time process. The con­
troller gain is 40. Thc proccss time constant is 100 s, and the dead time lag is 2 s. The open­
loop transfer funcliull is

The closed-loop Bode diagram may be determined by using program DESIGN, by us­
ing a Nichols chart, or by using a calculator. The use of program DESIGN is covered in Sec­
tion 15.6. The use of the Nichols chart and the calculator are covered in the following para­
graphs.
Figure 15.5 illustrates the use of a Nichols chart to graphically obtain the closed-loop re­
sponse from the open-loop response. The open-loop data points from Figure 15.4 are plotted
on the Nichols chart using the rectangular, open-loop coordinates. (The open~loop phase an­
 • Sec.15.4 Closed-Loop Bode Diagrams 573

40

30

20
"'---­ -- ...... ... ~ m" (open-loop gain)
" i
I
10
" . l. -
/mc (closed· oop gain)
~
0 .-~~
'­ \ -
i ~
-10
Ii -20
,
....
'"
Pc (closed.loop
/1/ phase angle)
"-,A
*, ' ..'\.
-30

-40

-SO
I'~,
Po (open-loop
pbase angle)
"',......
"
\ , -30"

-60"

~ ,~
"':
-60
~ \ '\.
-::
-ISO"
"' -180"
"': • Figure 15.4 Open-loop and closed-loop
-210· Bode diagrams of a control system consisting of
10 a proportional controller and a first-order lag
w, radians/second plus dead-time process.

gle is on the horizontal axis, and the open-loop decibel gain is nn the vertical axis.) The
closed-loop gain and phase angle are read from the same plotted points using the curved,
closed-loop coordinates. (The closed-loop gain coordinates are the lines with the short
dashes. The closed-loop phase-angle coordinates are the lines with the long and short
dashes.)
Notice the points that are marked with an asterisk on Figures 15.4 and 15.5. We will use
these marked points to trace the plotting of one open-loop point on the Nichols chart and the
reading of the corresponding closed-loop gain and phase angle. The trace begins by reading
the open-loop gain and phase angle.
From Figure 15.4 at w = 0.1 rad/s:

Open-loop gain = 12 dB
Open-loop phase angle = -95 0

This point is plotted in the Nichols chart (Figun.: 15.5) and is marked with an aste1'isk. The
frequency. w = 0.1, is written beside the point. Notice that the marked point is on the O-dB
closed-loop gain line, so we read the closed-loop gain as 0 dB. Notice also that the marked
point is midway between the -10° and the -200 closed-loop phase-angle lines, so we read
the closed-loop phase angle as -15°.
 Open-loop phase angle: rectangular scale

Closed-loop decibels - - - - - - - - - - - - ­

Closed-loop phase angle--------­

+ Figure 15.5 The open-loop data from Figure 15.4 is plotted in the Nichols chart
llsing the rectangular open-loop coordtnates. The closed-loop data are then read
from the same plotted points uSing the curved closed-loop coordinates. [Based on
information from H. M. James, NB. Nichols, and R. S. Philhps, Theory of
Servomechanisms (New York: McGraw-HilI Book Company, 1947), p. 179.]

From Figure 15.5 at (jJ = 0.1 rad/s:

Closed-loop gain = 0 dB
Close.d-loop phase angJe = 15°

.- .
 • Sec. 15.5 Error Ratio and Deviation Ratio 575

These two closed-loop points are plotted in Figure lS.4 and are also marked with asterisks.
The use of a calculator to convert open-loop points to closed-loop points provides a more
accurate result than the Nichols chart method. The calculator method uses Equation (1S.6)
with the open- and closed-loop points expressed as complex numbers in polar form (the mag­
nitude of the complex number is the ordinary gain, g, and the angle of the complex number
is the phase angle, /3). In these terms, Equation (1S.6) can be restated as follows:
gLfl. (open-loop)
gLfl. (closed-loop) = 1 fa ( I )
+ gu= open- oop

We begin the conversion of the previous open-loop point by converting the 12-dB gain from
decibels to ordinary gain.
Open-loop gain, g = 10 12/20 = 3.98
gLfl. (open-loop) = 3.98/-95°
1 + gLfl. (open-loop) 1 + 3.98/-9So
= 1 - 0.35 - j3.97
= 0.65 - j3.97 = 4.02/-80.6°
3.98~
gLfl. (closed-loop) = 4.02/-80.6° = 0.99/-14.4°

15.5 ERROR RATIO AND DEVIATION RA1·IO

Every closed-loop control system has a maximum frequency limit. A control system cannot
respond accurately to setpoint changes above its frequency limit. Disturbances with frequen­
cies above the frequency limit are especially troublesome. The controller cannot reduce the
error produced by the disturbance and may actually increase the error. The maximum fre­
quency limit can be determined by comparing the error when feedback is used with the error
when feedback is not used. A convenient means of comparison is the error ratio, ratio of the
closed-loop error over the open-loop error.
A typical error-ratio graph is illustrated in Figure IS.6. The graph is divided into three
frequency zones: 1,2, and 3. In zone 1, the error ratio is less than 1 (0 dB). This means that
the closed-loop error is less than the opem-loop error. The controller will reduce errors occur­
ring in zone 1. In zone 2, the error ratio is greater than 1 (0 dB). The closed-loop error is ac­
tually greater than the open-loop error, and the cuutruller is doing more harm than gOOd. In
zone 3, the error ratio is equal to 1 (0 dB). The closed-loop error is equal to the open-loop er­
ror, and the presence of the controller neither increases or decreases the error. The maximum
frequency limit is the frequency that divides zone 1 and zone 2.
The equation for the error ratio is derived from the open-loop and the closed-loop trans­
fer functions. The closed-loop error is the error signal, E, in the closed-loop control system
illustrated in Figure 15.3. The open-loop error is the setpoint signal SP, minus the mr:asnrr:rl
value signal, Cm. in the op~n loop control system shown in Figure 15.2.

.:" , ,,,,!- •
576 • Chap. 15 Methods of Analysis

. closed-loop error magnitude

Error ratIo = .
open-loop error magmtude

Zone I
Zone 2 Zone 3

.S!
i!~ I~--------------i-------------~~---------
g (0 dB)
w

Maximum frequency
limil

o__ __________ _________________________

~ ~

w, radians/second

• Figure 15.6 A graph of the error ratio may be divided into three distinct zones based
on a comparison of the error With the loop closed and l/Ie error with the loop open. In
zone I. closed-loop control reduces the error. In zone 2. closed-loop control increases the
error. In zone 3, closed-loop control neither Increases nor decreases the error.

. closed-loop error magnitude

Error ratio = .
open-loop error magmtude
Closed-loop error = (SP - em) with the loop closed

= SP "7 SP (~; ) with the loop closed

= SP - SP lI
G(s)H(s)
+ G(s)H(s)
]

- SP [1 G(S)H(S)]
1 I G(s)/J(s)
1 + G(s)H(s) - G(S)H(S)]
SP [ 1 + G(s)H(s)

= SP [I + G~S)H(S)] (15.7)

Open-loop error ~ (SP - em) with the loop open

= SP SP (~; ) with the loop open

 • Sec. 15.5 Error Ratio and Deviation Ratio
577

• TABLE 15.1 Error Ratio Versus Gain When (3 -180·

Error Ratio

g-18O" 1+ g_1800 1- g-ISO. Ratio dB

1.0 2.0 0.0 infinite mfinite

0.9 1.9 0.1 5.26 14.4
0.8 1.8 0.2 2.78 8.9
0.7 1.7 0.3 1.96 5.85
0.6 1.6 0.4 1.56 385
0.5 1.5 0.5 1.33 250
0.4 1.4 0.6 1.19 1.50
0.3 1.3 0.7 1.10 0.80
0.2 1.2 0.8 1.04 0.35
0.1 1.1 0.9 1.01 0.10
0.0 1.0 1.0 1.00 0.00

= SP - SP[G(s)H(s)]
= SP[l G(s)H(s)] (15.8)
The error ratio is equal to the magnitude of the right-hand side of Equation (15.7) divided by
the magnitude of the right-hand side of Equation (15.8).

Error ratio I[1 + O(s)H(s)][11 - G(s)H(s)]

I (15.9)

The right-hand expression is a complex number. The parallel lines indicate that the error ra­
tio is equal to the magnitude of this complex number, and the angle is ignored.
Every closed-loop control system has a zone 2: a range of frequencies for which the con­
troller increases the error. The results in Table 15.1 clearly illustrate one frequency that is al­
ways in zone 2-the frequency for which the open-loop phase angle is 180°, This fre­
quency is designated W-180". The open-loop gain at w_ 180° is designated by g-180°.
g_I800/-180° = -gI80' + jO = -g-180.

At W-180 the errol' ratio is given by

0 ,

Error ratio = (1
g-180·)(1 + g-I80.)
The deviation ratio* is equal to the dosed-loop error magnitude over the setpoint magnitude.
It is an indication of how accurately a control system can follow a change in setpoint and is used to
evaluate follow-up control systems. The deviation ratio is obtained directly from Equation (15.7).

Closed-loop error = SP [] + G~S)H(S)]

Deviation ratio =
closed-loo,P error I
I setpomt

II + G~S)H(S) I (15.10)

Tuck~r and'n:' M, Wills, A Simplified T'echmque ofControl System Engineering (Philadelphia: Minneapolis­
;'0. K,
Honeywell Regulator Company, 1962), pp. 91-93.

:,. .
578 • Chap. 15 Methods of Analysis

Figure 15.7 compares the graphs of the error ratio and the deviation ratio for the control
system with the Bode diagrams shown in Figure 15.4. The control system consists of a pro­
portional controller with a gain of 40 and a process with a time constant of 100 s and a dead­
time lag of 2 s.

ERROR RATIO
The error ratio gives the relative size of the error produced by a disturbance when the loop is
closed compared with the error when the loop is open.

. I
Error ratlo = ( la)( _ fa) (15,11)
I +g()~ I g()~

where go = open-loop gain

f3(J = open-loop phase angle

DEVIATION RATIO
The deviation ratio gives the relative ~ize of the closed-loop error produced by a change in set­
point compared with the size of the change in the setpoint.

... t
DeVIatIOn ratIO = fQ (15.12)
I + go~

MAXIMUM FREQUENCY LIMIT

The maximum frequency limit is the frequency above which a control system cannot respond
accurately to changes in setpoint or disturbance. The controller cannot reduce the error and
may actually increase the error. The maximum frequency limit is the frequency that separates
control zone I from control zone 2.

Three Zones of Cotltrol

ZOIU! J: error or deviation ratio <: 0 dB, good control

Zone 2: error or deviation ratio:> 0 dB, poor control

7.one 3: error or deviation ratio = 0 dB, no control

15.6 COMPUTER-AIDED BODE PLOTS

The determinations of the open-loop Hode diagram, the closed-loop Hode diagram, and the
en'o[' ['a.tio of a. COlltrol system arc tediuus, lime-cunsuming chores lhul are wdl sui led to COlll­
puter analysis. DESIGN is a BASIC program for computer-aided analysis and design of
closed-loop control systems. In Chapter t 6 DESIGN is used to design PID controllers and
control system comp.ensation networks. In this chapter, it is used to produce Bode diagrams,
error-ratio graphs, and Nyquist diagrams on the computer screen and a data table on the
printer.
DESIGN is included on a disk that comes with this !::look. The program is not copy pro­
tected, and distribution of the program is permitted and encouraged.
DESIGN begins with the input of the transfer functions of the components that make up
the control system, The system can have lip to 10 polynomial tmnsfe.r functions and tip to 10
I
 • Sec. 15.6 Computer-Aided Bode Plots 579

10

5
/\
\
DeViatl°Y

0
ratio -.....
0 ~ r-- ....

'"
;:)
:!3
~
""
-5 II
/ l-
Error
.S
eg ratio

.~ -10
V
/ II
>
-8
S
.g
i'.! -15
/
~
III

-20
V
I /
-25
II
-30 /
0.05 0.1 0.2 0.5 1.0 2.0 5.0
I
10.0
I

• Figure IS.7 Graph of the error ratio lind

the deviation ratio for the control system de·
ill, radians/second scribed by the Bode diagrams in Figure 15.4.

dead-time delays. All components are assumed to be connected in series to form a closed-loop
system. Each transfer function is a polynomial of the following form:

A(O) + A(I)s + A(2)S2 + A(3)

TF=
B(O) + B(I)s + B(2)S2 + B(3)
Upon completion of the input of the transfer functions, DESIGN computes and stores
analysis data for a frequency range from 1 X 10- 6 to 5.6 X lOs rad/s, The analysis data in­
clude the data necessary to plot the open-loop Bode graph. the closed-loop Bode graph, the
error-ratio graph, and the Nyquist diagram of the control system.
Whfln thf'l analy,>j,> data have been stored, the program switches to the high-resolution
graphics mode and puts the open-loop Bode diagram on the screen. The top line of the screen
presents controller design parameters that are used in Chapter 16 and can be ignored in this
chapter. The second line is the command line. The commands (Dmode), (Imode), and
(Pmode) are also used only in Chapter 16. In this chapter, only the (Analysis), (Zoom), (Un­
zoom), and (Quit) commands are used. To execute a command, simply press the first letter of
the command. For example, press the A-key to execute the (Analysis) command.
580 • Chap. 15 Methods of Analysis

As the name implies, the (Zoom) command provides a close-up look at the graph on the
screen. The (Unzoom) command returns the screen to its original scale. The (Analysis) com­
mand brings up a new command line with the commands (Closed-loop), (Nyquist), (Error­
ratio), and (Open-loop). The (Closed-loop) command puts the closed-loop Bode diagram on
the screen. The (Nyquist) command puts the Nyquist diagram on the screen, and the (Error­
ratio) command puts the error-ratio graph on the screen.
Use the (Quit) command to exit the program. Before the program quits, it queries the user
for the option to print a data table. A Yes response will result in a printed copy of the analy­
sis data. For convenience, the analysis data table is terminated when the phase angle falls be­
low -999°.
Example 15.4 illustrates the use of DESIGN to analyze a closed-loop control system.

EXAMPLE A control system consists of a proportional controller and a first-order lag plus dead-time process. The
15.4 following values were obtained from a step response test of the process:

Dead-time = =2s td

Time constant == l' = 100 s

Therefore,

H( s) -2, ( I )
e I + 100s
The controller gain is set at 40, so G(s) = [40J. Cornbining G(s) and H(s) gives the following open-loop
transfer function:

TF(open-ioop) G(s)H(s) ( 40 ) -2,

" + IOO¥ e
Use DESIGN to produce the following:
1. An open-loop Bode graph
2. A closed-loop Bode graph
3. An error-ratio graph
4. A prillloo Buut: data table for open-loop, closed-loop, and error-ratio graphs

Solution The following inputs were used in a run of DESIGN

Transfer functlon coefftclents of component number 1:

A{O) - 40, A(l) = 0, A(2) - O. A(3) a
B(O) = 1. B(1) = laO, B(3) = O. B(3) 0
Dead tlme delay number 1 = 2

The rc.-.ults of the run are as follows:

1. The open-loop Bode graph: Figure 15.8
2. The closed-loop Bode graph: Figure 15.9
3. The error-ratio graph: Figure 15.10
4. The Bode data: Table J5.2 •
 Controller Design: P=],.OOB+OO, I=O.OOI+OO, 0=0.001+00, !X=0.100
Command: (Dlllode) (Imode) (Pmode) (ftnalysis) (Zoom) (Unzoolll) (Quit) __ 1
~OO Design Decision Data
Gain
OPEII-LOOP BODE GRAPH 11 (- IIi!) = ~ • ~1I-02 radlsec
in
1I(-»70)-1o.8lii-01. radlsec
Decibels
II (-180) =7. I.E-OJ. radlsec
III -i!7D)IlI( -taO) =2.0
1I(-'~0)=-0.1o dB
so 11(-180)=-5.(' dB
Gain Margin-5.b dB
Phase lIargin = ~ ~ degrees
'-... _ - - , - - - - - - - - /

-so -];00

Phase Angle
in
~.2.r.!!!

-S.0-<:.0-3.0-2.0-1.0 0.0 1..0 2.0 3.0 ".0 5.0

Log Radian Prequency

• Figure IS.8 Open-loop Bode graph for the control system In Example 154 as
displayed by DESIGN. The dotted line on the top is the open-loop gain; the dashed
line on the bottom is the open-loop phase angle. The Controller Design line on the top
and the Design Data table are used in Chapter 16. and can be ignored In Chapter 15.

Controller Design: P=1.001l+00, I=O.OOE+OO, D=D.DDE+DO, a-0.100

COlllmand: (Dllode) (1lIIode) (Pmode) (ftnalysls) (Zoom) (Unzoolll) (QUit)~ •..
LOO Design Decision Data
CLOSED-LOOP BODE GRAPH 11(- 112) 0/1 ."I-D2 radlsec
Gain 1I(-110)-b.IlI-01 rad/seo
1n II (-180) -? LB .. Ol. radloec
Decibels II( -210)1II( -loIlO) =2.0
II (-:r,';0) =-0.(, dB
so IIHI.!\O) =-5.1> dB
Gain lIarg1n=S. 10 dB
Phase Margin=,,'" degrees

_1'I\mmm:etn'\$_...,n....... ·······~
0
0
~ .. \ \.
\ ...•........,

I ".
I ••••
-SO -],00
I
I
I Phase lingle
I
in
I
Degrees
I

. I

-LIlD -2DO
-!l.O-~.Il-l!.I3-~.D-J,.D 0.0 ~.O i!.u ~.U ~.D 5.0
Log Radian Frequency

• Figure 15.9 Closed-loop Bode graph for the control system in Example 15.4 as
displayed by DESIGN. The dotted line is the closed-loop gain; the dashed line is the
closed-loop phase angle.

581

... - -.. -------~

- - - - - - : - - -...--~~-~....~- .. -.~----------~
582 • Chap. 15 Methods of Analysis

controller Design: P=L.OOE+OO, I~O.OOE+OO, D=O.OOE+OO, a=O.LOO

Command: (Dmode) (hode) (Pmode) ellnalysis) (Zoom) (Unzoom) (Quit)_.
LOO Design Decision Data
ERROR-RATIO GRAPH Ne- IIi!) =.;. <!iE-Oi! rad/seo
Gain
Frequency Lilllit-4.%E-01 radian/second N(-J.70) 6. liE-OJ. radlseo
in N(-:L80) = 7. I.E-Oj, rad/seo
Decibels
N(-i!70 l/N (-:1.110) = 2.0
M(-:L<!iO) =-0.6 dB
50 ,11(-:1.110)=-5.1. dB
! Gain Margin=5.b dB
: Phase lIargin=L;L; degrees

/~"· •• ~,.~ ••• h"."."

0 0
/,/
..­
/
,."'.'
-50 / -:L00
{

.. h ••••• ~ •••• ~ ... n . . . . . . ••••

Phase Angle
in
Degrees

-loOO.1 ,I -i!00
-5.0-<!i.0-3.0-i!.0-:L.0 0.0 :L~o 2~[] 3~0 ';:0 5.0
Log Radian Frequency

• Figure 15.10 Error-ratio graph for the control system in Example 15.4 as diS­
played by DESIGN. .

15.7 STABILITY

The possibility of sustained oscillations always exists in a closed-loop control system. When
, a system goes into a continuous oscillation, it is said to be unstable. Stability refers to the abil­
ity of a control system to dampen out any oscillations that result from an upset. The analysis
of a control system seeks the answer to the question: Is the control system stable? The design
of a control system involves the determination of controller parameters that will minimize the
error produced by a disturbance without making the system unstable.
Every closed-loop control system has a tendency to produce an oscillation in the con­
trolled variable. This tendency for self-oscillation is caused by the presence of the feedback
signal and is directly related to W~180°' the frequency at which the open-loop phase angle is
equal to -180°. If the open-loop gain at w ~ 180· is less than 1, the oscillations will diminish
in size with each successive cycle. If the open-loop gain at W-180. is equal to 1, the oscilla­
tion will continue at a constant amplitUde. If the open-loop gain at W-1800 is greater than 1,
the oscillation will increase in size with each successive cycle. If the oscillations diminish, the
control system is said to be stable. If not, the system is said to be unstable. Therefore, a sta­
ble control system is one in which the open-loop gain is less than 1 when the open-loop phase
angle is -180°.
Figure 15.11 illustrates a control system with a sustained oscillation. Graphs of the set­
point, SP, error E, and controlled variable, C, are located directly above the corresponding
signal lines. Figure 15.11 traces a single half-wave, sinusoidal pulse as it travels around the
• Sec. 15.1 Stability 583

• TABLE 15.2 Bode Data for Example 15.4

Open-Loop Response Closed-Loop Response

Error
Frequency Gain Angle Gain Angle ratio
(rad/ sec) (dB) (") (dB) (0) (dB)

l.OE - 06 32.0 -0.0 -0.2 -0.0 -64.1

1.8E ­ 06 32.0 -0.0 -0.2 -0.0 -64.1
3.2E -,06 32.0 -0.0 -0.2 -0.0 -64.1
5.6E 06 32.0 -0.0 -0.2 -0.0 -64.1
1.0E 05 32.0 -0.1 -0.2 -0.0 -64.1
1.8E 05 32.0 -0.1 -0.2 -0.0 -64.1
3.2E ­ 05 32.0 -0.2 -0.2 -0.0 -64.1
5.6E - 05 32.0 -0.3 -0.2 -00 -64.1
LOB - 04 32.0 -0.6 -0.2 -0.0 -64.1
1.8E ­ 04 32.0 -1.0 -0.2 -0.0 -64.1
3.2E ­ 04 32.0 -1.8 -0.2 -0.0 -64.1
5.6E 04 32.0 -3.3 -0.2 -0.1 -64.0
1.0E 03 32.0 -5.8 -0.2 -0.1 -64.0
1.8E 03 31.9 -10.3 -0.2 -0.3 -63.8
3.2E ­ 03 31.6 17.9 -0.2 -0.5 -63.2
5.6E - 03 30.8 -30.0 -0.2 -0.8 -61.7
1.0E ­ 02 29.0 -46.1 0.2 -1.4 -58.1
1.8E - 02 25.8 -62.7 -0.2 -2.5 -51.7
3.2E - 02 21.6 -76.1 -0.2 -4.5 -43.3
5.6E ­ 02 16.9 -S6.4 -0.2 -S.O -34.0
LOB - 01 12.0 -95.7 -0.1 -14.4 -24.5
1.8E ­ 01 7.0 -107.2 0.3 -26.1 -15.4
3.2E - 01 2.0 -124.4 1.4 -497 -6.7
5.6E ­ 01 -3.0 -153.4 3.4 -Il2.3 1.9
1.0E + 00 11.0 "'204.0 -4.3 218.4 0.9
1.8E + 00 -13.0 -293.5 -13.9 -304.2 -0.3
3.2E + 00 -IS.0 -452.2 -18.0 -445.0 -0.1
5.6E + 00 -23.0 -734.3 -23.5 -733.4 0.0

closed loop. The system has an open-loop gain of 1 and an open-loop phase angle of -180°,
In Figure 15.11a, the half-wave pulse is introduced at the setpoint. This is the only signal
that appears at the setpoint, and the setpoint is zero for the remainder of the trace. The half­
wave input pulse appears immediately on the error signal graph, but does not appear on the
controlled variable graph until the error signal line has seen the entire 1800 half-wave input
pulse.
In Figure 15.IIb, the half-wave pulse has moved through the process block and now ap­
pears as pulse 3 on the controlled variable graph. There is no time delay through the error de­
tector, and pulse 4 appears on the error graph as the inversion of pulse 3. Notice how pulse 4
completes one cycle of the sine wave on the error graph. The dashed lines for pulses 1 and 2
indicate that those pulses occurred at an earlier time than the current pulses (3 and 4).

---~ - - - - - - - - _....__ ..• _. - - - - - - - - _.._ _.._ - - _... - ­

584 • Chap. 15 Methods of Analysis

~P-~ ~""""""r--·'" u~"o

SP ~~ £ 0 -1-~-1-80-o-'1
""1 I'
c

a) A single half-wave pulse (I) is introduced at the setpoint (SP). Since

E = SP - C and C = 0, the elTOr (2) is identical to the setpoint (I).

e,l~L-- ~l/I'-\-'I'V........-r--·
wt "0 J"..6 •w,

1+ I 4 ..--___-1-,delaYI

~sP~-<~~...:=====E======~"_I_I_~_1_80_·:I_-_-_~c_-_-~I""""·
b) The system delays pulse 2 by 180·, forming pulse 3 at output (C).
The elTOr detector Inverts pulse 3, forming error pulse 4. Notice how
pulse 4 forms the next half of a sine wave.

c) The system delays pulse 4 by 180·, forming pulse 5 at the output

(C). Thc ClTOf detector inverts pulse 5, forming elTOf pulse 6. Notice
how pulse 6 continues the formation of a sine wave.

• Figure 15.11. Sustamed OSCillations in a closed-loop system.

In Figure l5.lIc. the half-wave pulse has again moved through the process block to form
pulse 5 on the controlled variable graph and inverted pulse 6 on the error graph. Notice how
pulse 6 continues the formation of the slne wave on the error graph.

A control system will oscillate WIth a constant amplitude if the open-loop gain is 1 at the
frequency for which the open-loop phase angle is -180°,

Figure 15.12 illustrates a control system with a diminishing oscillation. Figure J5.12
traces a single half-wave pulse as it travels around the closed loop, just as Figure 15.11 did.
This time, however. the open-loop gain is 0.5 instead of 1.0. The open-loop phase angle re­
• Sec. 15.7 Stability 585

mains at 180°. Notice how the gain of 0.5 reduces the amplitude of the sine wave· as it is
formed by the cycling pulse.

A control system will oscillate with a diminishing amplitude if the open-loop gain is less than 1
at the frequency for which the open-loop phase angle is - 1800 •

Figure 15.13 illustrates a control system with an increasing oscillation. Figure 15.13
traces a single half-wave pulse as it travels around the closed loop. Here, the open-loop gain

II) A singlehalf-wave pulse (I) is introduced allhe selpoint (SP). The

error (2) is identical to the selpoinl (I).

e; )P- WI

I
I.i.I
P\r-2, WI
4
V
~

IOS~I--.,;'C-"''''''''-J-·
-I ... IBooL
(lelByr
WI

-s~p-+-'5£ E'.

b) The syslem delays pulse 2 by 180" and halves lhe amplitude,

forming pulse 3 at OUlput (C). The error detector inverts pulse 3,
forming error pulse 4. Nolice how pulse 4 forms the next half of a
diminishing sine wave.

I 2

~p.w; ~~W/ +~WI

SP :~~ _____4__E_____ "_I_O_'~_~

___ (_.~I '
1 ___
18_00__

c) The system delays and halves pulse 4, forming pulse S 81 the output
(C). The error detector inverts pulse 5, forming error pulse 6. Notice
how pulse 6 continues lhe formation of 8 diminishing sine wave.

• Figure 15.12 Dlmimshmg oscillations In a closed-loop control system.

::- .
586 • Chap. 15 Methods of Analysis

is 2 while the open-loop phase angle remains at -180°. Notice how the gain of 2 increases
the amplitude of the sine wave as it is formed by the cycling pulse.

A control system will oscillate with an increasing amplitude if the open-loop gain is greater than
I at the frequency for which the open-loop phase angle is -180°.

A complete discussion of stability requires a level of mathematics that is beyond the

scope of this book. However, we can expand on the intuitive concept of stability developed in

a) A single half·wave pulse (I) is introduced at the selpeinl (SP). The

error (2) is identical to the setpeint (I).

Vl--~~--wl
1800 L
r------=llldeIIl YI
2 ~ I--~Cr--.... J-.
b) The system delays pulse 2 by 180' and doubles the amplitude.
forming pulse 3 al the output (C). The error detector inverts pulse 3,
forming error pulse 4. Notice how pulse 4 forms the next half of an
increasing sine wave.

c) The system delays and doubles pulse 4. forming pulse S at the output
(C). The error detector inverts pulse S, forming error pulse 6. Notice
how pulse !i continues the formation of an Increasing sine wave.

• Figure 15.13 Increa.~mg oscillations m a closed-loop control system.

• Sec. 15.7 Stability 587

the preceding discussion. Another view of stability can be obtained from an examination of
the open- and closed-loop transfer functions given by Equations (15.5) and (15.6).

C
Open-loop TF = Spm = G(s)H(s)
Cm G(s)H(s)
Closed-loop TF = sp = 1 + G(s)H(s)

A control system is clearly unstable if the denominator of the closed-loop transfer func­
tion is equal to zero. This condition is satisfied when the open-loop transfer function is equal
to 1, which occurs when the open-loop gain is 1 and the open-loop phase angle is -180°.
The same conclusion was reached in the discussion of Figure 15.11.

A control system is unstable if the open-loop gain is equal to or greater than 1 at a frequency
where the open-loop phase angle is -180°.

OUf final view of RtahHity involves the use of the inverse Laplace transformation to ob
tain the time-domain impulse response of a control system. We begin by assuming a polyno­
mial, open-loop transfer function of the following general form:

The denominator of the closed-loop transfer function is

I + G(s)H(s)

(Ao + Bo) + (AI + B1)s + (A z + B2)S2 + (A3 + B3)S3

=
The closed-loop tl'an:>fer function is

Assume that p,, Pz, and P3 are the roots of the denominator, and ZI j Z2. and 2:3 are the roots of
the numerator. The closed-loop transfer function can then be written as follows:

em (8 z,)(s" Z2)(S - "3)

sp = (s - p,)(s - P2)(S - P3)
Next, we apply a unit impulse at the setpoint. The unit impulse is chosen because the Laplace
transformation of the unit impulse is 1, giving us the simplest possible function to work with.
 588 • Chap. 15 Methods of Analysis

Finally. we do a partial fraction expansion to get the inverse Laplace transformation.

K. K2
--+--+
S - PI S - P2 S

By inverse Laplace transformation,

Cm(t) Klep,t + K2e P11 + K3e P1t
The equation for Cm(t) shows that p" pz, and P3 must all be negative for Cm(t) to remain
bounded as t increases. For example, if PI = 2, the term K.e PI ( = K1e2( will increase expo­
nentially as t increases.

A control system is stable if all the roots of I + G(s)H(s) "'" 0 have negative real parts.

15.8 GAIN AND PHASE MARGIN

The open-loop Bode diagram of a control system provides the information necessary to de­
termine the stability of the system. It also gives the designer an idea of the stability safety
margin, that is, how much the gain or phase angle can change before the system wilJ become
unstable. The designer also uses the open-loop Hode diagram as a design tool-a topic cov­
ered in Chapter 16.
The stability of a closed-loop control system is defined by either of the following stabil­
ity cumJitiuns:

Stability Conditions

1. A conlroll1Y8tcm is stable only if the open-loop gain is less than I (or 0 dB) at the fre­
ljU"IlCY [01' which tim pha~c angle i~ -180'"
2. A control system is stable only if the phase angle is greater than -180° (Le., the phase
hig is less than 180°) at the frequency for which the gain is 1 (or 0 dB).

The two stability conditions suggest two margins of safety for the stability of a closed­
loop control system. First, the gain at the - 1800 frequency must be a safe amount less than
1 (or 0 dB). We call this the gain margin. Second, the phase angle at the 0 dB frequency must
be a safe amount above 1800 • We call this the phase margin. Standard practice is a gain
margin of 6 dB and a phase margin of 40°.
The designer considers a closed-loop control system to be stable only if it satisfies both
the gain margin and the phase margin. In other words. a control system is considered to be
stable only if the open-loop gain is less than 0.5 (or -6 dB) at the -180° frequency, and the
phase angle is greater than -140° at the 0 dB frequency.

~--------------- ---------- ............ _ ......

• Sec. 15.8 Gain and Phase Margin 589

The designer considers a control system .to be marginally stable if it satisfies the stabil­
ity conditions but does not satisfy both the gain margin and the phase margin criteria.

1. A closed-loop control system is stable if it has a gain margin of at least 6 dB and a

phase margin of at least 40°.
2. A closed-loop control system is marginally stable if it satisfies the stability conditions,
but its gain margin is less than 6 dB or its phase margin is less than 40°, or both.
3. A closed-loop control system is unstable if its open-loop gain is 1 or greater at the
-180° frequency.

The designer can read the gain and phase margins directly from the open-loop Bode di­
agram of the control system. In doing this. the designer locates two frequencies on the Bode
diagram. One is the frequency at which the open-loop gain is 0 dB. This frequency is called
Wo dB' The other is the frequency at which the phase angle is 1800 • This frequency is called
(A)-ISO·' The designer uses Wo dB and (A)-180. to read the gain and phase margins as illustrated
in Figure 15.14. The gain margin is obtained by reading the open-loop gain at W-180°. We will
Minimum gain margin = 6 dB
Minimum phase margin = 40·

Ii 0
! --------l}m~~~~n
In-ISO' , I
- --- -f3 ------t..~--
-- Open loop I <> I

r-----~__ la I

I I
I I
I I
, Po dB
:-------t~·- I

I I
Phase I IS
margin
{ __ , _______ _
:
II__ .::!l!°~
I
I
I I
I I
I I
(o)odD

w, radians/second
• Figure 15.14 The control 8ystem deSigner uses m-180. (the gain at the -180°
frequency) and 130 dB (the phase angle at the 0 dB frequency) to detennine the gain
margin and the phase margin, The gain margm IS equal to -m-180., and the phase
margin IS equal to 180 + 130 <11.1
.590 • Chap. 15 Methods of Analysis

can this gain value m-180 The gain margin is equal to -m-180 The phase margin is ob­
0 • 0 •

tained by reading the open-loop phase angle at Wo dB' We will call this phase angle value
Po dB· The phase margin is equal to 180 + Po dB'
Gain and Phase Margins
Gain margin = -mI80 0

Phase margin = 180 + ~O dB

EX.AMPLE Plot the open-loop Bode diagram for the control system in Example 15.4 and determine the gain and
15.5 phase margins.

Solution The easiest way to plot the open-loop Bode diagram is to use the Bode data table produced by DESIGN
(see Table 15.2). However, a certain amount of calculator computation and hand plotting of Bode data
can enhance the learning process. With that in mind, we proceed to compute four Bode data points.
The first step in computing Bode. data is to substitutejttl for s in the open-loop trflORfer function.
Now for any given frequency (w,). the transfer function can be reduced to a single complex number in
polar form. The magnitude and angle of this complex number are the open-loop gain and the open-loop
phase angle at the given frequency (w,). From Example 15.4, we have the following open-loop transfer
function:

TF(open-Ioop) (40) (I + ~OO J e­ 2 ,

Replacing s by jw, we obtain the following:

Open-loop gain and phase angle = (40) (1 + ;IOOW) e­ j2

o>

(Nute; Tht! dl!;ad-time delay term, t! -2"" defines a complex number with a magnitude of I ond nn nnglf'l
of 2(1) fad. We must multiply this angle by 57.3 to convert it to degrees.)
(u) W - 0.001 rau/~

Gain and phasc angle (40) ( 1 ) c- jOOO2(S73)

1 + jO.l
= (40)(0.9950 /-5.71°)(1/-0.11°)
= 39.8/-5.8°
The decibel gain- = 20[loglO(39.8)] = 32.0 dB
At W = 0.001 rad/s:
open-loop gain = 32.0 dB
open·loop phase angle -5.8°

(b) W = O.ot rad/s

Gain and phase angle
 • Sec. 15.8 Gain and Phase Margin 591

== (40)(0.707) /-45.0°) (J /-1.1°)

= 28.28 /-46.1°

The decibel gain = 20[loglO(28.28)] 29.0 dB

At w "" 0.001 rad/s:

open-loop gain = 29.0 dB

open-loop phase angle -46.1°

(c) w = 0.1 radls

Gain and phase angle = (40 i 1 ) e- J0 2(S73)

'\1 + jlO
= (40)(0.0995 /-84.3°)(1/-11.5°)

== 3.98 /-95.7°

The decibel gain = 20[log lO(3.98)] = 12.0 dB

At w = 0.001 rad/s:
open-loop gain = 12.0 dB

open-loop phase angle -95.7°

(d) w = I radls

Gain and phase angle == (40) ( 1 ) e- i 2(S73)

1 + jlOO
== (40)(0.01/-89.4°)(1/-114.6°)

= 0040/-204.0°

The decibel gain = 20[log lO(O.40)] = -8.0 dB

At w = 1 rad/s:
open-loop gain -8.0 dB

open-loop phase angle = - 204.0°

Examination of Table 15.2 reveals complete agreement between the calGulator results and DESIGN
results. Refer to Figures 14.7 and 14.16 for further insight concerning the frequency response of first­
order lags and dead-time delays.
The Bode diagram is shown in Figure 15. t 5. The following approximate values are obtained from
the Bode diagram:

m-IWO -6dB

(3odB = -135°

The gain margin = -m-180- = 6 dB

The phase margin = 180° + (30dB = 180° + (-135°) = 45°

--
•...- - -... ----~.
---~- ...- -..• ~ .--------;--­
592 • Chap. 15 Methods of Analysis

35
30

25
20 0
15 -50

10 -100

t
Ii
5
0
45. phase {
margm

-6-dB gain
_~I!J!_
_______
{_OdB_ -200
ISO

I
ai
-5 margin 111-180> -250

-10 -300
-IS -350
-20 -400
• Figure 15.15 The open-loop Bode dia­
10- 4 gram is used to detennme the gain margin and
10'
phase margin of a control system (see Example
til. radians/second 15.5).

Exact values from DESIGN are a gain margin of 5.6 dB and a phase margin of 44°. Therefore, we con­
clude that the control system is, in the strictest sense, marginally stable. However, if the gain margin is
rounded to the nearest integer, 6, and we accept the rounded value as the gain margin, we could con­
clude that the control system is stable. •

15.9 NYQUIST STABILITY CRITERION

The Nyquist stability criterion is a graphic method of determining if the function I + G(s)H(s)
has any positive roots. A Nyquist diagram is a plot, in a complex plane, of the open-loop gain
and phase angle as the frequency, (x), is varied from 0 to infinity. In plotting a Nyquist diagram,
the gain and phase angle are treated as the magnitude and angle of a complex number in polar
form. Nyquist diagrams are presented as a polar plot; however, the gain and phase angle could
be converted to rectangular form and plotted on rectangular coordinates with the same result.
In plotting a Nyquist diagram, decibel values must be converted to gain values. The following
equation can also be used 10 convert from decibel, m, to gain, g:
g = lOmJ20 (15.13)
If the control system under consideration is open-loop stable, the Nyquist criterion re­
duccs to the observation of whether or not the Nyquist plot enc:1osf.'S the point -1 + jO If it
does, then 1 + G(s)H(s) has positive rootll and the system is unstable. If the Nyquist plot does
not enclose the point -1 + jO, then I + G(s)H(s) has only negative roots and the system is
st.ahle or marginally stable·,
Figure 15.16 shows the Nyquist plot of a stable closed-loop control system with a close-up
view showing the three points used to determine the stability of the system. The first point is the
stability point, which has the rectangular coordinates - 1 + jO or polar coordinates 1 ! - 1800 •
 • Sec. 15.9 Nyquist Stability Criterion 593

Imagmary

w=O

---+~f-t-----------ji---- Real
A.
fIncreaSing
w

al Nyquist diagram of a stahle control syst~m

Imagmary

Gain margin
Stability point
(-I + jO = 1l=.lJl.Q.:')

-------:~-_+t~-++---f_---+ Real

Phase margin point • Figure 15.16 The Nyquist diagram of a

(lL::.1A!r) stable closed loop eonlrol system and a close­
up vIew showing the gam margin and phase
margin. Observe how the gam and phase mar­
gins combine to keep the Nyquist plot a "safe"
b) Close-up view of the boxed region in part a distance from the stability point.

The second point is the gain margin point, with coordinates -0.5 + .i0 rectangular, or
0.5 /- 1800 polar. The third point is the phase margin point. with polar coordinates 1/-1400 •
The following Nyquist criterion applies to all control systems that are open-loop stable (all
systems in this book are open-loop stablt:).

Nyquist Stability Criterion

A closed-loop control system that is open-loop stable is
1. Unstable if the Nyquist plot encircles the stability point (-I + jO = 1 /-180°) (see
Figure 15.16).
2. Marginally stable if the Nyquist plot does not encircle the stability point (-1 + jO), but
does encircle the gain margin point (-0.5 + 0), or the phase margin point (I /- 140°),
or both the gain margin and phase margin points.
3. Stable if the Nyquist plot does not encircle the gain margin point (-1 + jO) and also does
not encircle the phase margin point (1 /-140°).

;~ .
594 • Chap. 15 Methods of Analysis

Imaginary Imaginary Imaginary

Gain margin 1
----I
..-- r - - . point 1 1
1 1
1 1

a) Close-up of the b) A stable control c) A marginally stable

unit circle. system control system

Imagmary Imaginary Imaginary

----I
1
I
I

d) A marginally stable e) A marginally stable f) An unstable control

control system control system system

• Figure 15.17 Close-up Nyquist plots of stable, margmally stable, and unstable
control systems. The control system in (c) does not meet the gam margin cntenon;
the system in (d) does not meet the phase margin crltenon; and the system in (e)
does not meet either the gain or phase margin cntenon.

Figure 15.17 shows Nyquist plots of stable, marginally stable, and unstable control sys­
tems. The marginally stable systems fall into one of three categories: systems with an ac­
ceptable phase margin but an unacceptable gain margin, systems with an acceptable gain mar­
gin but an unacceptable phase margin, and systems with unacceptable gain and phase margins.

EXAMPLE Plot a Nyquist diagram for the control system in Example 15.4 and determine if the sy~lem is ~Iahlp. or
15.6 unstable.

Solution The open-loop data from Example 15.4 will be used to construct the Nyquist diagram. The following
table of values was taken from the data table in Example 15.4. Equation (15.13) was used to convert the
decibel values to gain values.
 • Sec. 15.10 Root locus 595

"
w m
(rad/s) (dB) g (0)

0.001 32.0 39.8 -5.8

0.010 29.0 28.2 -46.1
0,018 25.8 19.5 -63.0
0.032 21.5 11.9 -76.3
0.056 16.9 7.00 -86.3
0.10 12.0 3.98 -95.7
0.18 6.9 2.21 -107.4
0.32 1.9 1.24 -124.9
0.56 -2.9 0.72 -153.1
1.0 -8.0 0.40 -204.0
1.8 -13.1 0.22 -295.9
3.2 -18.1 0.12 -456.5
5.6 -22.9 0.07 -731.6

The Nyquist plot is shown in Figure 15.18. The plot does not enclose the point -1 + jO, so the control
system is stable. •

1'1

-4 1-3 -2 -I~ 1 2 3 4
Col = 0.56 Col "" 3.2
Col = 0.32 -1'1

lit'" (US -jl

-j3

• Figure 15.18 The Nyquist diagram is.used

1:0 determine the stability of a control system
(see Example 15.6).

15.10 ROOT LOCUS

One condition for stability of a closed-loop control system is that ali roots of the following
equation must have negative real parts:
1 + G(8)H(8) 0 (15.14)
596 • Chap. 15 Methods of Analysis

Equation (15.14) is referred to as the closed-loop characteristic equation. Recall that

G(s)H(s) is the open-loop transfer function and Equation (15.14) is the denominator of the
closed-loop transfer function as defined by Equation (15.6).
The root locus is a graphical method of analysis in which all possible roots of the
closed-loop characteristic equation are plotted as the controller gain, K, is varied from 0
to infinity. This graph of all possible roots gives the designer considerable insight into the
relationship between gain, K, and the stability of the system. The root-locus method not
only answers the question of stability, but also gives the designer information such as the
damping ratio or damping constant of the system. The root-locus method was developed
by W. R. Evans, who invented a device called a spirule that simplified the construction
of root-locus plots. Computer software that produces printed root-locus plots is also
available.
We begin with three simple examples to show how the roots of the characteristic equa­
tion change with changes in gain, K. We will use So to represent any value of s that satis­
fies the characteristic equation. Our first example has the following open-loop transfer
function:

K
G(s)H(s) = 2
s+

The characteristic equation is

K
+-~ 0
So 2 +
Solving for so:

So = -(K + 2)
Thus the root locus begins at So - 2 when K = 0 and moves to the left on the real axis as
K increases. Figure 15.19a shows the root locus of example 1.
Our second example has the following open)2-loop transfer function, characteristic equa­
tion, and solulion:

K
G(s)H(s)

1+ K =0
(so +

So -2 ± j Vi
Thus the root locus begins at So -2 when K = 0 and moves both up and down along a ver­
tical line as K increases. Figure 15.19b shows the root locus of example 2.
 Imaginary

00 ..0 .... N c j2
...
II
...
II
...
II
...
II
...
II

Real
-10 -8 -6 -4 -2 0 2

a) Gh)H(.) • .!..
1+2 -j2

Imaginary

1=9 - ­

"-4-­ j2

01:=1--

Rcal
-10 -8 -2 0 2 4
01:=1-­
01:
b)G(.)II(o)=- 2
(1+2) 1=4-­ -j2

1=9-­

Imaginary

8 t"\ ~ C
... ... ... ... ...
II II II II II

Real
-8 -7 -6 -5 -4 -3 -2 -I

c) G(.)H(.) .. K«s + 6)/(5 + 2)]

• Figure IS.I' Root locus of I + G(s)H(s) = 0 for three simple systems.

597
598 • Chap.15 Methods of Analysis

Our third example has the following open-loop transfer function, characteristic equation,
and solution:

K(s + 6)
G(s)H(s) = (s + 2)

1 + K(so + 6) = 0
(so + 2)
So + 2 + K(so + 6) = 0

soCK + 1) + 6K + 2 = 0

So
= _(6K +
K
2)
+1
The root locus is the plot of So as K varies from 0 to infinity. Our first observation is that So

. will always be a negative real number, and the magnitude of So wilJ increase as K increases.

We really only need the two endpoints of the locus, the values of So when K = 0 and K = 00.

When K = 0,

So ,.", _(6K +
K +1
2) I = -2
K~O

When K:= 00,

So = -(~: 12)L~oo
The last expression wiJI be easier tu evaluate if we divide the numerator and denominator of
the fraction by K.

6+
( 1 + 11K
2/K) I -6
K=oo

Figure 15.19c shows the root-locus diagram of this system. The fol1owing table of additional
values of So shows how So varies as K increases:

I
K 3 3 39 399 3999

3 -4 :-5 -5.9 -5.99 -5.999

EXAMPLE Detennine the root locus of a control system with the following open-loop transfer function:
15.7

G()H() K
s s;; s(s + 10)
 • Sec. 15.10 Root Locus 699

K So(S" + 10) + K
Solution 1 + G(so)H(sJ = 1 + ( 10)
So So + S,,(8 + 10)
0

The characteristic equation is

so(s" + 10) + K = s~ + IOso + K = 0
The roots are given by the quadratic formula:
Sl = -5 + Y25 - K
S2 = -5 - Y25 - K
The following table of values shows how s varies as K increases:

K Sl 82

0 0 -10
9 -I -9
16 -2 -8
21 -3 -7
24 -4 -6
25 -5 -5
50 -5 + j5 -5 ­ j5
125 -5 +)10 -5 ­ JIO

Figure 15.20 shows the root-locus diagram of this system.

•
Imaginary
k"'CXl
k = 125 jlO

k = SO jS

Qo-~N(l$ (l$N~o-
II II II D D II 11. II II

.ooc.ooc.ooc.ooc.ooc .ooc .ooc oW.ooc k=O

-10 ~ ',i.. 2S S
Real

Brealcaway point

k == SO -jS

k = 125 -jtO • Figure 15.20 Root locus of I + 0(8)H(s)

= 0 for the system;wlth'O(s)H(s) = "/[S(8 +
10)].
600 • Chap. 15 Methods of Analysis

Imaginary

I
51_---­
,, p"

.
4-----~~----~~----~~--------.~1
-«
\
'Illo
/\ \
\ ,
/
/

/Illo
/
S2 = -U-jt»d

• Figure 15.21 Root-locus diagram bhowmg

the relationship between the roots of the char­
acteristic equation, the damping ratio " and
the damping coefficient a.

Figure 15.21 illustrates the relationship between the roots of the characteristic equation,
the damping ratio, (, and the damping coefficient, a. The following symbols and terminology
will be used in the following discussion:
a := damping coefficient, S-I

(do = resonant frequency, radls

Wd = damped resonant frequency, radls

( = damping ratio
(J ~ operating point angle

When the roots of the characteristic equation are imaginary, they always come in conjugate
palrs glven by the following equaliulIs;

s, = -a + jWd

.':2 = -a jWd

Notice in Figure 15.21 that Wo is the hypotenuse of a right triangle, and Wd and a are the two
legs of the right triangle. Thus, by the Pythagorean theorem,
(15.1S)
The damping ratio is given by

.. _ - - - _ ..... _ - _.... _ - - - - ­
 • Sec. 15.10 Root locus 801

Therefore
(15.16)
and

(15.17)

Equation (15.17) can be used to determine the value of K that will result in a specified damp­
ing ratio as illustrated in Example 15.8.

EXAMPLE Find the value of gain, K, that will give a damping ratio of 0.5 in the control system in Example 15.7.
15.8
Solution Equation (15.17) gives the required value of Wd. From Example (15.7), a = 5.

Wd =
avt=r
,

5'\11 - 0.5 2
0.5
= 8.66
In Example 15.7, when (25 - K) is negative, the roots are imaginary and Wd == '\IK - 25.

Wd = '\IK - 25 == 8.66
K - 25 8.662
K = 8.66 2 + 25 == 100
Thus the control system will have a damping ratio of 0.5 when the gain K is equal to 100. •

The methods used in the previous examples are not adequate for the more realistic example
that follows. Let us now consider the following general form of the open-loop transfer function:

G(s)H(s) = K [ (s - Zt)(s - zz) ... (8 - Zm) ] (15.18)

(s - p,)(s - P2) ... (s - p,,)
where K> 0
Z" Z2, . .. • Zm are the zeros of G(s)H(s) (zeros are values of s for which G(s)H(s) = 0)
PI, P2, ... ,Pn are the poles of G(s)H(s) (poles are values of s for which G(s)H(s) = 00)
Note that m is the number of zeros in G(S)H(8) and n is the number of poles. We will be us­
ing those two numbers to compute certain characteristics of the root-locus plot. Consider also
the following form of the closed-loop characteristic equation:

G(s)H(s) = I = 1/-180° (15.19)

602 • Chap. 15 Methods of Analysis

Any point So that makes the angle of O(so)H(so) equal to an odd multiple of ± 1800 will sat­
isfy Equation (15.19). This is commonly called the angle condition of the closed-loop char­
acteristic equation. All points that satisfy the following angle condition also satisfy the c1osed­
loop characteristic equation and lie on the root locus:

Angle Condition of the Closed-Loop Characteristic Equation

Angle of (G(s,,)H(s,,)] ±N(l80) (15.20)
where N = 1,3,5,7,9.... {set of odd integers}

If So is a point on the root locus, then the value of K can be computed by the following
magnitude condition:

Magnitude Condition of the Closed-Loop Characteristic Equation

. \(so PI)(SQ - P2) ••• (so - Pn) \
K = magmtude of (15.21)
(so - ZI)(So - Z2) ••. (so - zm)

A detailed study of the angle condition has resulted in the development of the following rules
for construction of root locus plots. *

Root-Locus Rules

G(s)H(s) (15.18)

m - the number of zeros

n = the number of poles
Begin (he root-locus plut by drawing all s-plall~ llil1glam with equal scales for the real and
imaginary axes. Then plot eaoh zero and pole of G(a)H(8).on the a-plane diagram. Use an X to
mark the location of each pole and a 0 to mark the location of each zero. Then apply the fol­
lowing rules to plot the root locus of I + G(s)H(s):
1. The root locus will have n branches that begin at the n poles with the value K O.
2. The root locus will have m hnmch~s rhnt will terminate on the m finite 7.emR as K ap­
proaches infinity.
3. The remaining n - m branches will go to infinity along asymptotes as K approaches infinity.
4. The asymptotes meet at a pomt called the centroid, C, which is computed as follows:
~ - ~ zeros
C = -:------"---,---,-------,- (15.22)
(number of poles) - (number of zeros)

C = (PI + P2 +
~_=-:...._...
_+ p,,) - (ZI + <':2_
--=-:.:.:..-___.:..~__=.
+_... _
+ ...::2.
Zm)
, (number of poles) (number of zeros)

* Chester L. Nachtigal, Instrumentatwn and Control Fundamentals and Applications (New York: Wiley, 1990)
pp.630-31.
 • Sec. 15.10 Root Locus 603

The n - m asymptote angles are given by

N(ISOO)
ON = ± - - - ; N = I, 3, 5, 7, 9, ... (15.13)
n-m
For each N. 2 angles are computed. Use enough values of N to compute the required n ­
mangles.
5. Begin at the right and number the zeros and poles that lie on the real axis without regard
to whether the points are a zero or a pole. A typical numbering will appear as follows:

4 3 2
X 0 X X
3 2
X X X

If there is an even number of points on the real axis, then the root locus will lie on the
part of the real axis between each odd point and the following even point as illustrated
below:

432
--~)~f------~O~--~Jf------~K~-

If there is an odd number of points on the real axis, then the root locus will extend to in­
finity from the highest numbered point as illustrated below:

3 2
J( K

6. If two :1!eros are connected, there must be a breakin point between them.
If two poles are connected, there must be a breakout point between them.
If a pole and a zero are connected, they usually are a full branch, starting at the pole with
K ::::. 0 and ending at the :1!ero as K ~ 00.
Use lull;: 6 to draw arrows and break polms as shown below:

+
4 3 2
X .0 X K

4 3 2
X .0 0--
t .0-­

7. The break points occur where the derivative of K with respect to s is equal to zero. Com­
putation of the break points is demonstrated in Example 15.9.
8. The points where the branches cross the imaginary axis are determined by replacing s by
jw in the characteristic equation and then solving for w.

- - - - - _...._ _.... _ - - - - - - , - - - - - - - - - , - _.... - _...­

604 • Chap. 15 Methods of Analysis

9. The angle condition may be used to determine the angle of departure from complex
poles or the angle of arrival at complex zeros. Draw a hne from each of the other zeros
or poles to the zero or pole in question. Measure the angle formed by the positive real
axis and the line to each of the other zeros and poles. The departure or arrival angle is
equal to 180° plus the sum of all the zero angles minus the sum of all the pole angles.
10. The operating point for a given damping ratio, zeta (~). can be determined as follows.
First, determine the operating point angle, 0 = cos - I m. Then draw a line from the ori­
gin of the s-plane that forms an angle of () with the negative real axis. This line inter­
sects the root locus at the operating point. The length of the line from the origin to the
operating point represents the natural frequency, WOo
11. The. value of K at the operating point can be determined as follows. First, draw line:)
from each pole and each zero to the operating point. Measure the length of each line
and determine the product of the lengths of the lines from the poles and the product
of the lengths of the lines from the zeros. If there are no zeros (or poles), then use I
as the product. The value of K at the operating point is equal to the poles product di­
vided by the zeros product.

EXAMPLE Determine the root locus of a control system with the following open-loop transfer function:
15.9
K
G(s)H(s)
S(S + 3)(s + 9)
Then determine the operating point, SO, for a damping ratio of 0.5 (~ = 0.5). Also find the gain, K, and
the resonant frequency, Wo, at the operatIng puint

Solution (a) The open-loop transfer function has no zeros and three poles at s = O•.s = -3, and s =: -9.
The root locus will have three branches that will all go to infinity along 3 asymptotes (Rules
1.2. and 3). The poles are shown in Figure 15.22.
(b) The asymptotes meet at the centroid, C, determined by Equation (15.22) (Rule 4):

(k poles) - (k zeros)
C = ----'---'----'-----'----'----­
(number of poles) - (number of zeros)

[0 + (-3) + (-9)] - [0]

C == ,- -4
3-6

The asymptote angles are determined by Equation (15.23):

1(180)
+ --=: ±60°
- 3- 0

3(180)
03 = ± 30
Therefore, the asymptote angles are +60°, -60°, and +180°.
 • Sec. 15.10 Root Locus 605

1malinary

Root locus or I + 0(1)8(1) .. 0

0(1)8(1) "" s(s t + 9)

+ 3)(1

k"O
-20 -IS -10

• Figure lS.22 Root locus of I + O(s)H(s)

= 0 for the system with O(s)H(s) =

k/[s(s + 3)($ + 9)].

(e) The root 10c\111. lies on the· portion of the real axis between 8 = 0 and 8 '"" = 3, and the portion
from s = -9 to 8 = -00 (Rule 5).
(d) There is a breakout point on the real axis between 8 = 0 and 8 = -3 (Rule 6).
(e) The breakout point occurs where the derivative of K with respect to 8 is equal to zero
(dK/ds = 0). To obtain this derivative, we first solve the characteristic equation for K:

1+ K 0
s(s + 3)(8 + 9)

K = -(r + 12s2 + 278)

The power rule may be used to obtain dK/ds.

dK
-(382 + 24s + 27)
d8

Now set dK/ds = 0 to obtain the breakout point.

dK
ds = -(3s2 + 248 + 27) 0

~~----.------- ----_ .. _ . - . - _... _---­

606 • Chap. 15 Methods of Analysis

Dividing both sides of the equation by - 3 and then applying the quadratic formula gives us
two candidates for the desired breakout point.

82 +88+9=0
- 8 :t v'64 - 36
8
2

a = -1.35425 and -6.64575

=
The breakout point is between 0 and - 3, so a -1.35425 is the desired breakout point (Rule 7).
(f) The points where the branches cross the imaginary axis are obtained from the characteristic
s
equation with replaced by jw.

8
3
+ 12s2 + 279 + K = 0
(jW)3 + 12(jw? + 27(jw) + K 0

- jw3 - 12w2 + 27 jw + K = 0
(K - 12(2) + j(27w - ( 3) = 0
Set the imaginary part equal to zero and solve for w.

27w w3 =0
w 2
= 27
w = :t v'fi = :t 3 v'3

Set the real part equal to zero and solve for K,

K = 12w2 = 12(27) "'" 324

Therefore, the branches cross the imaginary axis at w = :t3V3 with K = 324 (Rule 8).
(g) The root-locus plot is shown in Figure 15.22. The characteristic equation, 83 + 29 2 + 279 +
K = 0, involves the solution of a cubic equation, which is considerably more involved than a
quadratic equation. However, the roots when K = 0 are easy to find. They are 0, -3, and -9.
The next slep is to use the fact that one of the three roots will always be real. Assume that the
real root is -a, and divide the characteristic equation by the factor (9 + a) to get a general
equation for the remaining two roots,

; + 12i + 27a + K = .v2 + (12 _ a)s + 27 - a(12 a)

9+a

The remainder of the division is K - 27a + 12a2 a3• We can now express the characteristic
equation as follows:

(9 + a)[a2 + (12 a)a + 27 - a(12 - a)] =0 (15.24)

The value of K must be such that the remainder is O.

(15.25)
 • Sec. 15.10 Root Locus 607

A calculator or computer program may be used to obtain exact points on the root locus using
Equations (15.24) and (15.25) and the quadratic formula. A trial-and-t:rror procedure may also
be employed to obtain the exact operating point. However, the following graphic analysis pro­
vided quick results with sufficient accuracy for most applications.
(b) The expanded view of the root locus in Figure 15.23 shows the determination of the operating
point for a damping mtio of 0.5 (Rule 10). The line of constant damping ratio makes an angle
oro as given by Equation (15.16).

The opemting point is at the intersection of the damping mtio, " = 0.5 line and the root lo­
cus. From the graph, we obtain the approximate value -1.12 + j 1.95 for the coordinates of
the opemting point. Using a calculator, the more exact value of the coordinates is -1.125 +
j1.9486.

Opemting point = -1.125 + j l. 9486 = 2.25/60°

Imaginary

)5

j4

j3

)2

",..
/
I )1
/
/
Real

-3 -2 -I

• Figure 15.23 Expanded vIew of the operating point regIOn of tbe root locus
sbown in Figure 15.22. At the operating POint the system bas a damping rauo of 0.5
and a resonant frequency of 2.25 rad/s.

~ ... ~-- ... -~-- ... --~ ... - . - -... --~ ... - -- ---- .-~-- ... --­
608 • Chap. 15 Methods of Analysis

The resonant frequency is equal to the length of the line from the origin to the operating point.
From the graph, this distance is estimated to be 2.25 (the same as the calculated value).
Resonant frequency = 2.25 radls
(I) The value of K at the operating point is determined by the poles product divided by the zeros
product (Rule 11). From the graph we obtain the following lengths:
LPo = length from the pole at (0,0) = 2.25
LP3 = length from the pole at (-3,0) = 2.70
LP9 = length from the pole at (-9,0) = 8.11
Poles product (2.25)(2.70)(8.11) 49.3
Zeros product = I (There are no zeros.)
K = 4~.3 = 49.3

The more exact calculated value is K = 49.36 .

•
• GLOSSARY

Angle condition: A condition used to locate points on the root locus of a control system. If So is on
the root locus, then it will satisfy the closed-loop characteristic equation (Le., 1 + G(so)H(so = 0),
and the angle of G(so)H(so) will equal an odd multiple of ± 1800 • (15.10)
Centroid: The point where the asymptotes of a root locus meet. (15.10)
Characteristic equation, closed-loop: The equation (l + G(s)H(s) = 0) that defines the poles of the
closed-loop transfer function and is used to construct the root-locus plot. A necessary condition of
stability is that all of the roots of this equation must have negative real parts. (15.10)
Closed-loop frequency l'espollse (Bode diagI'am)l Graphs of frequency versus the gain and phase
angle change from the setpoint to the measuring transmitter output with the transmitter output con­
nected to the error detector. (15.4)
Closed-loop transfer function: The Cm/SP transfer function of a control system with the measuring
transmitter output connected to the error detector. (15.4)
Deviation ratio: The ratio of the closed-loop error magnitude over the setpoint magnitude and a mea­
sut'e of how accurately a control sys~1II call fulluw It chang!.: in the s(;tpoint (15.5)
El'ror ratio: The ratio of the closed-loop error magnitude over the open··loop error magnitude and a
measure of the accuracy of a control system. (15.5)
Frf.qtumey limit: The maximum frequency of setpoint changes or disturbances that a control system
can handle. A control system cannot follow setpoint changes or reduce the error caused by distur­
bances that are above its frequency limit. (15.5)
Gain margin: A safety factor for the stability of a closed-loop control system that specifies how much
additional gain is required to make the system unstable. (15.8)
Gain margin point: A point on the Nyquist diagram, located at -0.5 + jO, that is used to determine
if a closed-loop control system meets the gain margin criterion. (15.9)
Magnitude condition: A condition used to determine K for a point on the root locus of a control sys­
tem. If So is on the root locus, then (he magnitude of G(s,,)H(so) will be equal tu 1, anti K ClUJ b~
determined accunlingly. (15.10)
 • Chap. 15 Exercises 809

MarginaUy stable: A control system is marginally stable if it satisfies the stability conditions, but
does nol meet the gain margin, the phase margin, or both the gain and phase margin criteria. (15.8)
Nyquist stability criterion: A closed-loop control system is stable if the open-loop system is stable
and the Nyquist plot does not encircle the stability point, 1 + jO. (15.9)
Open-loop frequency response (Bode diagram): Graphs of frequency versus the gain and phase an­
gIe change from the setpoint to the measuring transmitter output with the transmitter output dis­
connected from the error detector. (15.3)
Open-loop transfer function: The Cm/SP transfer function of a control system with the measuring
transmitter output disconnected from the error detector. (15.3)
Overall gain: The amplitude of the output of the last of several components connected in series, di­
vided by the amplitude of the input to the first component. The overall gain is equal to the product
of the gains of the individual components. (15.2)
Overall phase angle: The phase angle of the output of the last of several components connected in
series, minus the phase angle of the input to the first component. The overall phase angle is equal
to the sum of the phase angles of the individual components. (15.2)
Phase margin: A safety factor for the stability of a closed-loop control system that specifies how
much additional phase lag is required to make the system unstable. (15.8)
Pbase margin point: A poim on the Nyquist diagram, located at I/-14()U, that is \lsed t.o determine
if a closed-loop control system meets the phase margin criterion. (15.9)
Root locus: The plot of all possible roots of the closed-loop characteristic equation as the controller
gain. K, is varied from 0 to infinity. (15.10)
Stability conditions: Any condition that assures that a closed-loop control system will be stable.
1. A closed·loop control system is stable if the open-loop gain is less than 1 at the frequency for
which the open-loop phase angle is -180°.
1.. A closed-loop control system is stable if all the roots of the closed-loop characteristic equation,
1 I G( s)lI(s) = 0, have negative real parts. (15,8)
3. See Nyquist stability criterion,
Stability point: A point 011 the Nyquist diagram, located at ···1 + JO. that iR used hI dtlll:'lfmilltl if II
closed-loop control system meets thft ~tllhiljty conditions defined above, (15.9)
Three zones of control: The graph of the error ratio versus frequency is divided into three distinct zones.
7..one I (',overs the low frequencies; zone 2, the mirlnmge fre,(]llencies; and zone ~, the high-range fre­
quencies. In zone 1, the closed-loop control system reduces the error. In zone 2. closed-loop control
increases the crror. In zone 3, closed-loop control neither increases nor decreases the error. The fre­
quency limit of the contml sYf:'tem is the frequency on the horder between zone 1 and zone 2. (15.5)
Unstable: A control system is unstable if it does not meet the stability conditions defined above. (15.8)

• EXERCISES

Sedion 15.2 -15.

Measuring transmitter TF = e 2
15.1 Determine the overall transfer function of the fol­ 1 + OOs
lowing three components when they are connected in se­
ries.
15.2 Determine the overall gain, g, and phase angle, 13,
31.25 for each of the following sets of components (connected in
Final control element TF == - - - - - - - - : : ­ series),
1 + 0.75s + 0.1736;
(8) Final control element: g = 2.2, 13 = -8°
Blending process TF Process; g = 12.0, 13 -45°
1 + 1325s Measuring transmitter: g = 0.8, 13 = -16"

-~~ ...- -..- -.. - - - - - _ -_ - - - - - - - ­

... ...
 610 • Chap. 16 Methods of Analysis

(b) Final control element: g"" 12.0, 13= -25° G(s) = [5)
Process: g= 8.0, 13 -68 0

Measuring transmitter: g= 204, 13= -12 0

H(s) =( 2 ) e-O()5,
(c) Final control element: g= 0.6, 13= -50 I + O.5s
Process: g= 1.4, 13= 120 0
(a) Determine the open-loop transfer function and use
Measuring transmitter: g= 3.6, 13= -25 0 program BODE to make a printed copy of the Bode
(d) Final control element: g = 18.0, 13= -35 0
Data Table.
Process: g = 22.0, 13 == -180° (b) Draw an open-loop Bode diagram and an error ratio
Measuring transmitter: g = 15.0, 13 -620 graph.
Sections 15.3 and 15.4 (c) Obtain the maximum frequency limit of the system
from the Design Summary in the output printed by
15.3 Use the Nichols chart (Figure 15.5) to convert each Program Bode. Convert the maximum frequency limit
of the following open-loop points (gain and phase angle) from radians/second, In, to hertz,/.
to the corresponding dosed-loop point (gain and phase 15.7 A thermal control system has a proportional con­
angle. troller with a gain of 15. The first-oroer Jag plus dead-time
process has the following transfer function:
m(dB) fJ (0) m (dB) fJ (0)
H(s) ( 1 ) -200.
t + lOoos e
<a) 0 -160° (f) 16 -180 0

(b) 8 -400 (g) -8 -60° Repeat assignments a, b, and c from Exercise 15.6.
(e) -12 -1000 (h) 0 -40°
15.8 A PI controller is used to control the level in a first­
(d) 16 -1400 (I) -4 -120°
order lag plus dead-time process. The control system has
(e) 4 -200 (j) 2 -80 0
the following transfer functions:

15.4 Use a calculator to convert the open-loop points in G(s} = 0.628 + 9.ls
s
Exercise 15.3 to the corresponding closed-loop points.
Compare your calculated results with your graphical re­
sults in Exercise 15.3. H(s) =( I
1 + 50s
)e-2.
Section 15.5 Repeat assignments a, b, and c from Exercise 15.6.
15.5 There arc many situations where people nct fiR the 15.9 An armature-controlled de motor is used in a posi­
controller in a control system situation. Have you ever tion control system. The controller and process transfer
heard the expression "I zigged when J should have functions are given below:
zagged"? This accurately describes a human controller op­
t:faling in zone 2, above its maximum frequency limit. Up­ G(s) = :U + OARs

eration in zone 2 is a matter of bac! timing. 1 + 0.015s

When a disturbance changes faster than the conlrollt!l, 1!.I

can respond, the control action is delayed and, rather than H(s) - -----:------:;­
- S
2
+ 0.329s + 0.00545s
3
reducing the error, the controller actually increases the
error. Repeat assignments a, b, and c from Exercise 15.6.
Describe, from your own experience or knowledge, an 15.10 A solid flow control system uses a PI controller. The
example of a person-controller operating beyond their controller and process transfer functions are given below:
maximum frequency limit.
Section 15.6
G(s) = 0.4 :8!4.4s

15.6 A proportional controller is used to control the pres­ H($) e- 20s

. sure in a first-order lag plus dead-time process. The con­
trol system has the following transfer functions: Repeat assignments a, b, and c from Exercise 15.6.
 • Chap. 15 Exercises 611

15.11 A first-order lag plus dead-time blending process t1ing machine, where it is placed in l-L bottles. A temper­
has a time constant of 1000 s and a dead-time lag of 20 s. ature sensor measures the temperature of the liquid prod­
The PI controller used to control the process has a gain of uct as it leaves the jacketed kettle. The transfer functions
44 and an integral action rate of 2k 8-I. Repeat assign­ of the system components are given below:
ments a, b, and c from Exercise 15.6.
15.12 A PID controller is used to control a second-order II TF _ () _ 0.0075 + 38 + 600;
Contro.er -G8 - 8+20;
lag plus dead-time process. The transfer functions of the
controller and process are given below:
Measuring = ---------0­
transmitter TF I + 2908 + 12,00082
G(8) = 42.86 + 128 + 2.16;
8+
Process TF 2 ) -lIs
( 1 + 1070s e
H() ( 0.1 ) -0 os,
8 = I + 0.028 + 0.0182 e 4
Control valve = -.--.~
1 + 0.0748 + 0.0021;
Repeat assignments a, b, and c from Exercise 15.6.
15.13 A pressure system consists of a measuring transmit­ Repeat assignments a, b, and c from Exercise 15.6.
ter with a lag coefficient of0.2 s, a critically damped control
valve, and a pressure tank with a time constant of 1 s. The Section 15.7
transfer functions of the components are given below: 15.16 The stability of a control system can be deter­
2 mined from the open-loop Bode diagram of the system by
Controller TF = G(8) = 1.8 + 0.98 + 0.3248 observing the open-loop gain at the frequency where the
8 + 0.03682
open-loop phase angle is -180° (this gain is designated as
M(-180). Examine the printed copies of the Bode data ta­
Measuring transmitter TF = 1 bles you obtained in Exercises 15.6 through 15.15. The
. 1 + 0.28
value of M(-180) is listed in ~e design summary that fol­
5 lows the Bode data table. Based on the value of M( -180),
Control valve TF = 2
1 + 0.28 + 0.018 determine if the system is "stable" or "unstable" and write
a sentence that expresses your CQnclusion about the stability
2 of the system.
Process TF
1+ 8
Section 15.8
Repeat assignments a, b, and c from Exercise 15.6.
15.17 Examine the printed copies of the Bode data tables
15.14 An ampUdyne POSililJD clJDtrol system consists of you obtained in Exercises 15.6 through 15.15, and observe
a PD controller, an ampJidyne unit, a dc motor, and a load. the following two values in the design summary section:
The transfer functions are given below: M( - 180), the gain at the frequency where the open-loop
phase angle is -180°, and ANGLB (ODB). the phase angle
0.01 + 0.000678
Controller TF ;.; 0(8) = ­ of the fte.qucncy where the open.loop pbru:.e angle is 0 dB.
I + O.()067s Use [he values of M( -180) and ANGLE (008) to de­
. 8500 termine the gain margin and the phase margin of each con­
Amphdyne TF = -1-+-0.-02-5-s-+-0-.ooo--ls-=-2 trol system. Then check your results with the gain and
phase margin printed in the design summary.
1
Motor and load TF = - - - - : -2- - - - - : :3 Section 15.9
S + 0.35s + 0.015s
15.18 Use the printed copies of the Bode Data Thble you
Repeat assignments a, b, and c from Exercise 15.6. obtained in' Exercises 15.6 through 15.15 to sketch a
15.15 The AJ Food Company uses a PID controller to Nyquist diagram for each control system (refer to Figure
control a jacketed kettle similar to Figure 14.6a. Heated 15.6). Determine the stability of each control system from
liquid from the kettle flows through a pipeline to the bot­ your Nyquist diagram.
612 • Chap. 15 Methods of Analysis

Section 15.10 15.24 Construct a root-locus diagram of the control sys­

tem with the following open-loop transfer function:
15.19 Construct a root-locus diagram of the control sys­
tem with the following open-loop transfer function: K(s + 5)
G(s)H(s) = S2(S + 80)
G(s.)H(s) = K ( ss ++ 12)
4 15.25 Construct a root-locus diagram of the control sys­
tem with the following open-loop transfer function:
15.20 Construct a root-locus diagram of the control sys­
tem with the following open-loop transfer functions: K(s + lo}
G(s)H(s) = s(s + 1)(s + 50)
4K
G(s)H(s) = s(s + 16) 15.26 Construct a root-locus diagram of the control sys­
tem with the following open-loop transfer function:
Determine the value of K that will produce a damping ra­
tio of 0.65. K
G(s)H(s}
15.21 Construct a root-locus diagram of the control sys­ s(s + 5)(s + 15)
tem with the following open-loop transfer function: Then determine the operating point, So. for a damping ra­
10K tio of 0.707. Also find the gain, K. and the resonant fre­
G(s)H(s) quency. W", at the operating point.
+ 20s + 16
15.27 Construct a root-locus diagram of the control sys­
Determine the value of K that will produce a damping tem with the following open-loop transfer function:
ratio of 0.. 8.
15.22 Construct a root-locus diagram of the control K
G(s)H(s) = (s+
system with the following open-loop transfer function: + 8s + 32)
K Then determine the operating point, So. for a damping ra­
G(s)H(s) = s(s + 2)(8 + 12) tio of 0.707. Also find the gain, K, and the resonant fre­
quency, wo ' at the operating point.
15.23 Construct a root-locus diagram of the control sys­
tem with the following open-loop transfer function:
K(,J + 5)
G(s)H(s) = 2
. S

- - - - - - - - - - - - ........._ - - - - - ­
• CHAPTER 16 Controller Design

• OB..IECTIVES

Controller design involves the selection of the control modes to be used and the determination of the
value of each mode. For continuous systems, the proportional mode is usually combined with the inte­
gral and/or derivative modes to form a PI, PD, or PID controller. The parameters for these three modes
are the proportional gain (P), the integral action rate (I), and the derivative aCtion time constant (D).
The simplest design method is to specify a PID controller and then determine the control mode pa­
rameters in the field during plant start-up. This field adjustment is called "tuning the controller," and a
procedure called the ultimate cycle method is used to determine the mode parameters. Some controllers
are designed to perform this field adjustment automatically or semiautomatically.
A more formal design method uses Bode diagrams and a computer-aided graphic technique to de­
sign the controller. Ufling the Bode diagram method, the desiAntlr can determine the control modc pa­
rameters before the plant is constructed. This speeds up the plant start-up considerably, although some
fine tuning of the controller is usually required in the field. A major difficulty with this method is the
requirement of an open-loop Bode diagram of the process. Because the plant is not yet constructed, the
designer must construct a model of the process to obtain the necessary open-loop Bode diagram.
The purpose of this chapter is to give you an entry-level ability to discuss controller design, tune a
controller, complete acomputer-aided Bode design of a controller, and design simple compensation net­
works. After completing this chapter, you will be able to

1. Describe the ultimate cycle method for tuning a controller

2. Describe the process reaction method for tuning a controller
3. Discuss self-tuning adaptive controllers
4. Complete a computer-aided Bode design of a PID controller
5. Specify compensation networks that will improve the response of the control system

•••• 613
614 • Chap. 16 Controller Design

16.1 INTRODUCTION

Controller design consists of the selection of the control modes and control mode settings
and/or compensation networks that will result in a stable system that meets the control ob­
jectives. The control objectives may specify some or all of the following characteristics:
1. The accuracy and speed of response of the measuring transmitter (refer to Chapter 5).
2. The residual error allowed by the controller after a load change (refer to Chapter 13).
3. The response of the control system to a step change in load or setpoint. Quarter am­
plitude decay or critical damping may be specified (refer to Chapter 1).
4. The maximum frequency limit. The control system is able to follow setpoint changes
and minimize disturbances with frequencies less than the maximum limit (refer to
Chapter 15).
5. The response time, the rise time, and the settling time of the control system.
6. Minimum cost. The initial cost of the hardware is only one part of this objective.
Maintenance costs, operating costs, reject product costs, and environmental costs are
examples of the other costs that may be a factor. This objective requires a judgment
based on economic and social conditions.
1\\'0 different approaches are used to design a control system. This does not mean that
an design methods use only one approach or the other. Often parts of each approach are found
in the design of a control system.
One approach to controller design uses a standard P, PI, PD, or PID controller. In this
method, a major design decision is the selection of which control modes to include in the con­
troller. Then start-up control mode settings are chosen. The actual mode settings are deter­
mined during start-up by a process called "tuning the controller." The tuning procedure con­
sists of deliberately inducing a small oscillation in the system so that the period of the
oscillation can be measured. (Controller adjustment formulas give the optimum control mode
values based on the period of oscillation of the system.) An advantage of this method is that
accurate models of the process are not required (accurate transfer functions of many indus­
trial processes are very difficult to determine). This method is used when the cost of deter­
mining the controller adjustments during start-up is less than the cost of the analysis and de­
sign required to define the control system before start-up. Even the most accurate process
control system design may require final adjustments in the field.
The second approach uses PID modes or compensation networks designed for a specific
application. (The term compensation network often includes the I and D control modes under
the names integration and lead-lag networks.) The sccumllllclhud is used when the transfer
function of the process is known. (Accurate transfer functions of most electromechanical sys­
tems are relatively easy. to determine.) The design procedure consists of the use of compen­
sation networks to modify the open-loop frequency response such that a simple loop gain ad­
justment will resulL in a stable system that meets the performance objectives. This melhod is
used when the cost ofdetermining the controller adjustments during start-up is greater than
the cost of the analysis and design required to define the control system before start-up.
The frequency response of most industrial processes is difficult to determine or measure.
For this reason, process control design is based more on the first approach. However, fre­
.quency response methods are sometimes used to select the control modes and determine ap­
proximate mode settings. Field adjustments are almost always required to determine the ex­
act mode settings.
 • Sec. 16.2 The Ultimate Cycle Method 615

The second approach has been used very successfully to design servomechanisms. The
frequency response of most electromechanical components is relatively easy to determine and
measure. Dead time is usually negligible. The designer has the option of using the root-locus
method or the Bode method to design compensation networks that are inserted into the con­
trol loop. Field adjustments are often unnecessary, but some loop gain adjustment may be
necessary to fine tune the system in the field.

16.2 THE ULTIMATE CYCLE METHOD

The ultimate cycle method uses controller adjustment fonnulas to determine the controller
settings. The formulas require two measurements from the process: the minimum controller
gain that causes the control system to oscillate (ultimate gain, Gu) and the period of the os­
cillation (ultimate period, Pu). To use the ultimate cycle method, the controller must be in­
stalled and the system ready to operate.
The following procedure is used to determine the ultimate gain and ultimate period. First,
set the integral and derivative modes to the least effective setting. Then, start up the process,
with the controller gain at a low value. Increase the gain setting until the controlled variable
begins to oscillate. The last gain setting is the ultimate gain (Gu ). The period of the oscilla­
tion is the ultimate period (Pu)' The controller settings are determined from Table 16.1.
The original ultimate cycle method was developed by Nichols and Ziegler*. The problem
with the original method is that the formulas do not guarantee an optimum response. The
modified ultimate cycle method was developed to solve this problem in a very direct way. The
gain setting is adjusted in a trial-and-error procedure until the desired response is obtained.
The most common "desired response" is quarter amplitude decay (see Section 1.11). This cri­
terion is illustrated in Figure ] 6.1. As the name suggests, quarter amplitude decay is an un­
derdampcd response in which each successive positive peak is one fourth as large as the pre­
ceding positive peak.
The modified method requires only the measurement of the ultimate period. P'" which is
used to compute the integral and derivative mode settings. After the integral and derivative
modes have been set, the process is disturbed with a small change in setpoint, the response of
the controlled variable is observed, and the gain is adjusted. The gain adjustment is simple-if
the response is overdamped, the gain is increased; if the response is underdamped, the gain is
decreased. The sequence of setpoint change, observation of the response, and adjustment of the
gain is repeated until a quarter amplitude decay rcspons~ i~ ohtained. The same proCl:uure can
be used to tune a controller to obtain a critically damped response (Section 1. 11 ). 'The general
ru1e on gain adjustment is that increasing the gain will decrease the damping and vice versa.
The modified ultimate cycle method is very reliable and works on all types of processes.
It is particularly effective on relatively fast processes where the waiting time is short. How­
ever, it can be very time-consuming on a slow process. The author once spent most of a day
tuning a process with a cycle time of about 1 h. In a slow process, a process model can be
very helpful in speeding up the tuning procedure. With a model of the process, the designer
has the option of using the process reaction method (Section 16.3) or the Bode design method
(Section 16.5).

"N. B. Nichols and J. O. Ziegler. "Opttmum Settings for Automatic Controllers," ASME Transactions, Vol. 64, No.
8, 1942,pp. 759-768.
616 • Chap. 16 Controller Design

• TABLE 16.1 Ultimate Cycle Method

Control Modes Original Method Modified Method

Proportional control (P) P = 0.50" Adjust the gam to obtain quarter-amplitude decay response
to a step change m setpoint (see FIgure 16.1)
PropomonaJ plus integral . -I)
control (PI) l =1.2
­ (mm J = I (mm-I)
p. P"
P 0450" Adjust the gain to obtain quarter amplitude decay response
to a change in setpoint
ProportIOnal plus integral . I) 1.5 ( . _I)
1= 2.0 (mm- -mm
plus derivative control p. P"
(PID)
p. p.
D =g(mm) D 6 (min)
P"" 0.60" Adjust the gain to obtain quarter amplitude decay re~ponse
10 a change in setpoint

EXAMPLE A process control system is tested at start-up. The derivative mode is turned OPl', and the integral mode
16.1 is set at the lowest setting. The gain is gradually increased until the controlled variable starts to oscil­
late. The gain setting is 2.2 and the period of oscillation is 12 min. Use the original ultimate cycle
method to determine the PID controller settings.

Solution I == 2.0 = 2.0 == 0.167 min-I

PII 12

D P,,=E 1.5 min

8 8
P == 0.60" = (0.6)(2.2) == 1.32
•
16.3 THE PROCESS REACTION METHOD

The process reaction method" uses controller adjustment formulas to determine the controller
settings. This method assumes that the process can be approximated by a first-order lag plus
dead-time model. The formulas use three parameters obtained from an open-loop step response
test of the process. The test begins by uperating the process on matlual cOl1tl'ol (open loop) until
the measured variable remains constant. Then a step change in the manipulating element is
• Ibid.

• Figure 16.1 The quarter amplitude decay

response is a common control system design
cntenon.
• Sec. 16.3 The Process Reaction Method 617

made and the response of the controlled variable is recorded. This record of the controlled vari­
able is called the process reaction graph. A typical process reaction graph is shown in Figure 16.2.
The process reaction formulas require three variables from the step response test. Two vari­
ables are obtained from the process reaction graph. The third variable is &p, the percentage
change in the manipulating element output (e.g., percentage change in the control valve stem
position). The two variables from the reaction graph are the effective delay, L, and the slope of
the tangent line, N. The controller settings are determined from the following formulas.
Process Reaction Method
L = effective delay, min
aCm
N= --%/min
at
ap = change in the manipulating element, %
1. Proportional control (P)
ap
P=­
NL
2. Proportional plus integral control (PI)

P= 0.9(!~)
0.3 ' - 1
I =-mm
L

C",

Final
value ---------------------;'r--­
Tangent to steepesl / '
portion of curve 7:
/. I
J I
I
I
I
I
Effective delay I AC..
I
in minutes I
I

-L--t
I, I
I
I
I
I
I
I
I
1
Original
value .... ~:..-L- _ _ _ _ _ _ _ _.......II _ _ _.......lL__ _ _.......

I.. . .- -&---1·1

Time, minules

• Figure 16.2 A process reactIOn graph is a plot of the controlled variable after a
step change in the output of the manipulatmgelement. A first-order lag plus dead­
ttme model of the process is derived from the graph with the dead time equal to L
and the first-order time con~tant equal to At.

---"--~----~'
618 • Chap. 16 Controller Design

3. Proportional plus integral plus derivative control (PIO)

p = 1.2(~:)
/=-mm-
0.5 . I
L
D O.5Lmin
A major advantage of the process reaction method over the modified ultimate cycle
method is that once the process model is obtained, the control modes can be determined
and implemented immediately. This is particularly useful on a very slow process where
considerable elapsed time is required to complete the ultimate cycle method. The disad­
vantage of the process reaction method is that most processes are more complex than a
simple first-order lag plus dead-time model. This usually means that some final adjust­
ment of the gain is still required to obtain the desired response (e.g., quarter amplitude de­
cay or critical damping). The process reaction method does provide an initial setting of the
control modes, and these initial settings are usually close to the final values. However, a
realistic expectation is that some tweaking of the gain will be required to obtain the de­
sired response.

EXAMPLE During start-up, the control valve of a process control system was maintained constant until the con­
16.2 trolled variable stopped changing and reached a steady value. Then the control valve position was
changed by 10%. A response graph similar to Figure 16.2 was obtained. An analysis of the reaction
graph produced the following values:
L= 5 min
At = 10 min
Initiol valu"" of Gm: 110%
Final value of em: 48%
Uac thc process reaction method to determine the settings of a three-mode controller.

ACm 48 - 40 ..
Solution N = Tt == 10 == 0.8%/mm

/lp = to%
L=5min

p l.2(!~) I.2CO~!~l5») = 3
0.5
1= L = 50.5 = 0.1 mm-
. I

D = O.5L (0.5)(5) = 2.5 min

•
------ ..... _----­ - - - - -------- - - - _...... _ - - - - - - - - ­
 • Sec. 16.4 Self-Tuning Adaptive Controllers 619

18.4 SELf..TUNING ADAPTIVE CONTROLLERS

A major problem in designing or tuning process control systems is that the process models
are often very complex, difficult to obtain, and inaccurate. Most models assume lumped ele­
ments (e.g., resistance, capacitance. inertance, inductance, inertia, dead time). In many
processes, these elements are distributed in much the same way as they are in an electrical
transmission line. Often the elements in the process change for various reasons. A change in
production rate almost always changes the dead-time delays in a process. In one plant start­
up, the author used the modified ultimate cycle method to tune a temperature control loop.
The system responded to small step changes in setpoint with almost perfect quarter amplitude
decay response. The next time the author checked, the response was unstable, oscillating with
an unacceptably large amplitude. The problem was caused by a reduction in the production
rate. A repeat of the modified ultimate cycle method resulted in new settings that returned the
system to quarter amplitude decay response. However, when the production rate was returned
to the original rate, the system had an overdamped response.
The control engineer has three choices in handling the control of a process whose model
changes with changes in production rate (or other reasons). The first choice is to tune the con­
troller for the worst case and accept a sluggish response for other conditions. The second
choice is to change the controller mode settings every time the process model changes. (This
choice assumes we know what causes the change in the process model-this is not always
the case.) The third choice is to design a controller that will change itself every time the
process changes. The self-tuning adaptive controller is an implementation of the third choice.
The objective of self-tuning adaptive controllers is to maintain the desired control crite­
ria when the load or production rate changes from one value to another. The adaptive con­
troller accomplishes this objective by observing the response of the control system and auto­
matically adjusting the PID values accordingly.
Adaptive controllers use a conventional PID algorithm within an outer loop that handles
the adaptive algorithm. The outer loop is called a shell because it encloses the PID algorithm
and determines the values of P, I, and D. In other words, the adaptive shell establishes the
"PIO environment" used by the PID algorithm. The adaptive shell is also a feedback loop. It
observes the control system and uses these observations to determine the values of P, I, and
D that will achieve optimum performance.
Many different techniques are used to "adapt" a controller to changes in the process.
Adaptive controJlers fall into one of three categories: thuse that use programmed adjustment
of the controller gain, those that use a model of the process to determine the PIO values, and
those that use pattern recognition to determine the PIO values. The model-based adaptive con­
trollers use a variatiun uf the process reaction method for computing the PlO values. The
pattern-recognition adaptive controllers use a variation of the ultimate cycle method for
determining the PID values.

Programmed Adaptive Controller.

A programmed adaptive controller automatically adjusts the proportional gain (P) as a func­
tion of a number of process-related variables. The proportional gain may be programmed as
a function of the controlled variable, the setpoint, the error, the controller output, or a remote

.•... --~ .. ~----.

620 • Chap. 16 Controller Design

input variable. The adaptive algorithm can be set for independent gain adjustment using any
combination of the process-related variables. For example, the remote input could be the pro­
duction rate. The controller could adjust the controller gain according to the production rate
to maintain the quarter amplitude decay criteria for all production rates. The controller could
also make an independent adjustmynt in the gain based on the value of the setpoint.

Model-Based Adaptive Controllers

A model-based adaptive controller uses an internal model of the process to determine the op­
timum PID values. The adaptive algorithm uses an identification or "self-learning" mode to
determine the model of the process. In this mode, the controller introduces step changes
above and below the setpoint and observes the reaction of the process to these changes. The
setpoint changes and observations are repeated until sufficient data have been obtained to es­
tablish a process reaction curve similar to Figure 16.2. The process model is obtained from
the process reaction curve, and the PID values are determined by formulas similar to the
process reaction formulas in Section 16.3.
Once the model has been established, the adaptive algorithm uses an operating mode in
which the PID values remain fixed at the values established in the identification mode. Some
algorithms also provide a continuous update uperating mude. In lhis mude, lhe process Illude{
is continuously updated in the same manner as it was in the identification mode. If the process
changes, the continuous update mode will adjust the process model and the PID values ac­
cordingly.

Pattern-Recognition Adaptive Controllers

A pattern-recognition adaptive controller uses a graph of error versus time similar to Figure
] 6.1 to obtain the optimum PID values. The adaptive algorithm constantly examines the re­
sponse of the control system to naturally occurring disturbances caused by changes in load or
setpoint. Whenever the magnitude of the error exceeds a threshold value, the adaptive algo­
rithm searches for peaks in the magnitude of the error (see peaks 1,2, etc., in Figure 16.1).
When the algorithm finds two or three peaks, it uses the time between peaks and the magni­
tudes of the peaks to determine the amplitude decay ratio and the period of the oscillation.
Formulas similar to the ultimate cycle fo~mulas in Section 16.2 are then used to compute the
optimum PID values.

16.5 COMPUTER-AIDED PID CONTROLLER DESIGN

The design procedure presented in this section uses the open-loop Bode diagram of the con­
trol system as the major design tool. For this reason the design procedure is known as the
Bode design method. The objective of the design procedure is to obtain a stable control sys­
tem that provides accurate control for a wide range of frequencies. Stable control means that
.the final design satisfies the gain margin and phase margin criteria covered in Chapter 15. Con­
trol over a wide range of frequencies means that the maximum frequency limit of the control
• Sec.la.5 Computer-Aided PID Controller Design 821

system is as high as possible. Accurate control means that the open-loop gain is as large as
possible at frequencies below the -180° phase-angle frequency. The design procedure con­
sists of using the PID control modes to modify the open-loop Bode diagram in such a way
that the control objectives are satisfied. The Bode design of a controller is accomplished in
four steps.

1. The open-loop Bode diagram of the process is used to determine the usefulness of the
derivative control mode. If the derivative mode is found to be useful, the Bode dia­
gram is used to determine the value of the derivative action time constant, D. If the
derivative mode is not useful, D is given a value of O.
2. The open-loop Bode diagram of the process plus the derivative control mode is used
to determine the usefulness of the integral control mode. If the integral mode is found
to be useful, the Bode diagram is used to determine the value of the integral action
rate, I. If the integral mode is not useful, 1 is given a value of O.
3. The open-loop Bode diagram of the process plus the integral and derivative control
modes is used to determine the proportional mode gain, P.
4. Three diagrams of the process and PID controller are used to evaluate the final design
of the control system: (a) The open-loop Bode diagram is used to determine the gain
margin and the phase margin of the control system. (b) The error ratio graph is used
to determine the maximum frequency limit of the control system. (c) The closed-loop
Bode diagram presents the frequency response of the closed-loop control system.

The Dode design method iN a graphical method that helps the designer viRualize th~ ef­
fecl of each control mode on the frequency reRpom;~ of the control system. The designer uses
straight-line approximations on semilog graph paper or a computer program to construct the
open-loop Bode diagrams used in each step of the process. In step 4. the designer Ilses a
Nichols chart or a computer program to translate the open-loop Bode diagram into the closed­
loop Bode diagram. A major advantage of lhe Bude design method is the excellent visual aid
provided by the graphical approach. The designer can observe exactly how each control mode
reshapes the open-loop frequency response of the system.
In this section we present a BASIC computer program to facilitate the Bode design
method. The program is named CONTROL SYSTEM DESIGN and the file name is
DESIGN. The designer may use DESIGN to complete the four-step Bode-method design of
a PID controller. DESIGN can handle a process with up to nine components (first, second, or
third order) and ten dead-time delays. It uses the bottom 23 lines of the computer screen to
display one of the following graphs as selected by the designer:

I. Open-loop Bode diagram

2. Closed-loop Bode diagram
3. Nyquist diagram
4. Error-ratio graph

A table of "Design Decision Data" is displayed in the upper right corner of the gmph. The de­
signer uses data from this table to determine values of P, I, D, and a. The top line of the com­
puter screen is the Status Line. It usually displays the current values of P, I, D, and a, but may
display other information pertinent to the completion of a command.
622 • Chap. 16 Controller Design

The second line of the screen is the Command Line. It usually prompts the user for one
of the following commands: Dmode, lmode, Pmode, Analysis, Zoom, Unzoom, and Quit. A
command is given by simply pressing the first letter of the command (i.e., the capitalized let­
ter). When a P, I, or D command is given, the command Line prompts the designer for the ap­
propriate control mode parameter(s). When the Analysis command is given, the Command
Line prompts the designer for the choice of Closed-loop, Nyquist, Error-ratio, or Open-loop.
The Zoom command provides a close-up view of the graph in the region of 0 dB and -180°
phase angle. The Unzoom command returns the graph to normal size.
DESIGN begins with P I , I = 0, D = 0, and a = 0.1. As the design steps unfold, the
designer enters new values of D, a, I, and P in that order. After each mode is entered, the pro­
gram displays both the old and the new gain and phase angle graphs. The designer can ob­
serve exactly how the mode just entered has changed the open-loop gain and phase angle
graphs. After viewing the changes just made, the designer presses any key to move to the next
step in the design procedure.
A major feature of DESIGN is the ease with which the designer can go back and change
any control mode. This enables the designer to use a "what-if" analysis in a "trial-and-exam­
ine" procedure to search for the best possible control system design. When the Quit command
is given, the designer has the option of printing a final design report, which includes a design
summary and a table of open-loop, closed-loop, and error-ratio data.
The essence of the Bode design method is three decisions the designer makes to change
the open-loop gain and phase graphs in the Bode diagram. The three decisions are the values
of the D, I, and P control modes. To determine the three control modes, the designer uses data
from open-loop Bode diagrams in formulas based on analysis and experience. As with many
such formulas. there are exceptions. Usually the formulas result in a good design, but some­
times they do not. The designer must examine the Bode diagrams, recognize a poor design
when it occurs, and then modify the control modes to obtain a good design. If the designer
uses the traditional graphical design method, the construction of the necessary Hode diagrams
can be a tedious and time-consuming task. Using DESIGN. the designer is relieved of Ule bur­
den of constructing Bode diagrams and can quickly analyze the effect of different values for
the three control modes.
Our study of the Bode design method begins with an example in which the control mode
formulas result in a good design. The design formulas are built into DESIGN, and with a lit­
tle coaching, you can complete the computer-aided design procedure. Example 16.3 walks
you through the design of a PID controller for a blending process. Example 16.3 is followed
by a detailed discussion of the four design steps and the formulas used to determine the three
control modes.

EXAMPLE Use DESIGN to design a PID controller for a blending system with the following overall transfer func­
16.3 tIOn (measuring transmitter, process, and control valve).
151
TF _ ( e- )( 1)( 31.25 )
- I + 2008 .t + 1325~ 1 + O.75s + O.l736sl
. Note: Example 16.3 walks through a run of DESIGN. A good way to study a walk-through is to read
the entire example once, then run DESIGN and duplicate the example 011 your computer.
 • Sec. 16.5 Computer-Aided PID Controller Design 623

Solution Enter the following inputs in a run of DESIGN to initiate the design of the concentration control
system:

Transfer function coefficients of component number 1:

A (0) = 1, A (1) = 0, A (2) = 0, A (3) = 0
B (0) = 1. B (1) =200, B (2) =0, B (3) =0

Transfer function coefflclents of component number 2:

A (0) I, A (1) 0, A (2) 0, A (3) = 0
B (0) = 1. B (1) =1325, B (2) =0, B (3) 0

Transfer function coefficients of component number 3:

A (0) =31.25, A (1) =0, A (2) 0, A (3) '= 0
B (0) =1. B (l) =0.75, B (2) =0.1736, B (3) ':" 0

Dead time delay number 1 15

(a) Design Step 1

Figure 16.3 is the initial graphic display of DESIGN after entering the preceding inputs. The
graph shows the open-loop Bode diagram of the process and the Design Decision Data ob­
tained from the open-loop Bode graph.

Controller Design: P-1..00E+00, I-O.OOB+OO, D-O.OOB+OO, .. -0.1,00

Command: (Dmode) (Imode) (pmode) (Analysis) (Zoom) (Unzoom) (Quit)~11
],00 Design DeCision Data
OPBII-LOOP BODE GRAPH 11(- 82)-:1..5E-03 rad/sec
Gain 1(-:1.70)=1,.';1-02 rad/sec
in 11 (-1,80) -1,. 'IE-DC! rad/sec
Decibels 1/ (-i!7Q)/1I( -:L60) =5.;;
"(-],.1;0)­ ?2 dll
SO I­ M(-:L60) --'1.'1 dB
Gain lIargin .. 'I.'I dB
Phase Margin-2t degrees
~."'.'." .... ""'''~

"
'.
\
0 1-- ...... r­ 0

", \ \\..
\
\ '.
'.
\ \\
\
-so I­ \ " -],00
\
\
\
\ ..... Phase Angle
\
\
\
\
'\ ...
in
Degrees
.. - - - - ­
-200
-5.0-;;.0-3.0 ..2.0-:1..0 0.0 :I.~O 2:0 3:0
-],00 .' .' .' .' .' ..;;u S.D
Log Radian Frequency

• Figure 16.3 The initial graphIC display of DESIGN for Example 16.3. Line 2
lists the available commands. The designer imtiates deSIgn step 1 by pressing the
"D" key to invoke the Dmode command.

---.--~ ... ----------~

624 • Chap. 16 Controller Design

We now press the "D" key to initiate the derivative mode design. The top two lines of the
screen appear as follows:
Derivative mode design: Omod~ is definltely useful.

Suggested D = 1. 06E+02. Cu rrent 0 = O. OOE+OO, Enter 0 -.t.

The first line is called the Status Line. It displays various information about the control modes.
The second line is enclosed in a box that we will call the Command Line Window. Notice that
the Command Line Window includes a suggested value for D. the current value for D, and a
prompt for entry of the design value of D. We choose the suggested value of 106 for D and en­
ter that value at the D --? • prompt in the Command Line Window.
The Command Line Window now appears as follows:

Current a= 0,10 Enter desired a -.t.

We enter the value of 0.1 for a. As the program computes the new open-loop Bode data, it
scrolls the data through the Command Line Window. When the computations are completed,
the screen appears as shown in Figure 16.4.

Derivative lIIode de$lgn: Dlllode 1s lIefin1tely useful.

Press Inter to continue ___ •
],00 Design Decision Data
11(- 62)-2.01-03 rail/sec
Gain OPIN-LOOP BODE GRAPH 11(-],70)-5.],1-02 rad/sec
in 11 C-],Im),. 5. "IE-Oe rad/sec
Decibels •lIe -270 )IW( -],60) =2.2
11(-],.0;0).-7.], dB
50 1I(-:L60)=-M.Q dB
Gain lIargin=],~.q dB
Phase lIargin 3 S7 degrees

0, n

-50 -],(JO

Phase Angle
in
Degrees
-]'OO~--+---~-+~~--~~+-~~-+---r--+-200
-~.0-~.O-3.0-~.U-~.O 0,0 1.0 2.0 3.0 ~.O 5.0
Loy Rifdlifll 1".I.t<quency

• Figure 16.4 The graphic display of DESIGN is on hold after completion of de­
sign step I for Example 16.3. The dashed lines are the origmal gain and angle
graphs. The solid lines show how the derivative mode' has changed the gain and angle
grnph~.
 • Sec. 16.5 Computer-Aided PID Controller Design 625

The screen is on hold and we press the Enter key to conclude the design step 1. The graph
on the screen now displays the open-loop Bode graph including the derivative control mode.
The Status and Command Lines appear as follows:
Controller Design: P = 1.00E+OO. I = O.OOE+OO. 0 1.06E+02. a= 0.100

Command: (Dmode) (Imode) (Pmode) (Analysis) (Zoom) (Unzoom) (Quit)-l>.

(b) Design Step 2

The graph in Figure 16.4 shows the open-loop Bode graph including the derivative mode We
now press the "I" key to initiate the integral mode design. The Command Line Window ap­
pears as foHows:

Suggested I = 2.00E-03. Current I = O.OOE+OO. Enter I -t.

DESIGN suggested a value of 0.002 for the integral control mode. We choose the sug­
gested value of 0.002 fur I, IIIId enter that value at the I -t • prompt in the Command Line
Window. As before, the new open-loop Bode data scrolls through the Command Line Window.
When the computations are completed. the screen appears as shown in Figure 16.5.

Integral lode design: hode is useful i f gain gra ph is level on left side.
Press Enter to continue _
:1.00 Design Decision Data
i (- 62) .. O. OE+OO rad/sec
Gain OPEN-LOOP BODB GRAPH J(-:l.70)-";.QR-O? rail/l'lAr.
in W(-:1.60) .. 5. IIE-02 radfsec
Decibels If(-270)/w(-:I.60) -2.3
"(-:1."0) =-S.t; dB
50 1'I(-1.60)--:L.t;.7 aB
Gain l'Iargin=:I..... 7 dB
Phase Margin=.t;q degrees

-50 -:LOO

Phase Angle
in
~.2.r.!!!,
-:LOO -200
-S.O-.t;.D-l.O-2.0-t.D 0.0 t.o 2.0 3.0 t;.0 ~.O
Log Rad:l:an Frequency

+ Figure 16.5 The graphic display of DESIGN IS on hold after completIon of de­
sign step 2 for Example 16.3. The dashed lines are the gain and angle graphs before
adding the integral mode. The solid hnes show how the integral mode has changed
the gain and angle graphs.

--~----~~---~~--~~ . -.... -~ ..- . - . - -...

626 • Chap. 16 Controller Design

The screen is on hold and we press the Enter key to conclude design step 2. The Status and
Command Lines appear as follows:
Controller Design: P ~ 1.00E+00. I = 2.00E 03. D = 1.06E+02. a = 0.100

Command: (Dmode) (lmode) (Pmode) (Analysis) (Zoom) (Unzoom) (QUlt) -t.

(c) Design Step 3
The graph in Figure 16.5 shows the open-loop Bode graph including the integral and deriva­
tive modes. We now press the "P" key to initiate the proportional mode design. The Command
Line Window appears as follows:

Suggested P 1. 85E+OO. Current P = 1. OOHOO. Enter P ~.

Once again we choose the suggested value and enter 1.85 at the P -t • prompt in the Com­
mand Line. The new open-loop Bode data again scrolls through the Command Line Window.
When the computations are completed. the screen appears as shown in Figure 16.6. This is the
final design open-loop Bode graph. The Design Decision Data in Figure 16.6 are the final de­
sign data.

Proportional mode: Adjust P for min b dB gain lIar91 n and.t;1l de9. phase margin.
Press Enter to continue_I
:LOO Design Decision Data
OPEN-LOOP BonB GliAPH 11(- 62) =D. DB+DO rad/sec
Gain 1I(-170)=.t;.QS-02 rad/sec
in II (-160) - 5. 6E-1l2 radlsec
Decibels 1I(-270)N(-:L60)=2.3
1I(-:L4D)= 0.0 dB
50 11(-160) .. -Q.3 dB
Gain lIargin-Q.3 dB
Phase lIargin=40 degrees

D o

-so -100

Phase Angle
in
Degrees
-lOO -200
-5.1l-~.0-3.0-2.0-l.0 0.0 l.O 2.0 3.0 4.0 5.0
Log Radian Frequency

• Figure 16.6 The graphic display of DESIGN is on hold after completion of de­
sign step 3 for Example 16.3. The dashed lines are the gain and angle graphs before
adding the proportional mode. The solid line shows how the proportional mode has
changed the gain graph. Notice that the angle graph is unchanged.
• Sec. 16.5 Computer-Aided PID Controller Design 627

The screen is on hold, and we press the Enter key to conclude design step 3,
The graph on the screen now displays the open-loop Bode graph including the PID con­
trol modes. The Status and Command Lines appear as shown below.
Controller Design: P = 1.85E+00. I = 2.00E-03. 0 = 1.06E+02. a 0.100

Command: (Omode) (Imode) (Pmode) (Analysis) (Zoom) (Unzoom) (Quit) ~.

(d) Design Analysis

The (Analysis) command may be used to observe the closed-loop Bode graph, the error ratio
graph, and the Nyquist diagram of the final ,design.
Press the "A" key to enter the analysis mode followed by the "e" key to display the
closed-loop Bode diagram (shown in Figure 16.7). Press the "Z" key for a close-up view and
the "U" key to return to the original view.
Press the "A" key followed by the "E" key and the "Z" key for a close-up view of the
error-ratio graph (shown in Figure 16.8).
Press the "A" key followed by the "N" key and the "Z" key for a close-up view of the
Nyquist diagram (shown in Figure 16.9).

ControllQt Design: P~".1I5E+OO. t~<!.1l0E-O::l. D~1..DbE+02, a~O.1.00

COllllland: (Dllode) (IlIIode) (Pillode) (Analysis) (ZOOIll) (UUOOII) (~Uit)_.
]'00 Design Decision Data
W(­ 112) [J • IlE+OO rad/sec
Gain CLOSED-LOOP BODE GRAPH W(-1.70)~(.qB-1l2 rad/sec
1n ., (-lt6U) .. S • liE-DC! rad/sec
Decibels II (-270 )/11 (-1.61l) '" 2.::1
'" ... t1(-1.";O)­ 0.0 dB
50 t1(-1.IIIl) ",-Q.3 d8
Gain t1argin '" q. 3 dB
Phase ltargin",";O degrees

0 r------................
.... , .~.
Il
\
\
\ \ ........
\
\ "~\
I
-sa I
, I
~\"~ -1.01l

I
\\ Phase Angle
I
I \i 1n
Degrees
I
-200
\ ---­
400 .' .'
-5.0--<,O-3.0-2.0-1..00.1l 1.:0 2:1l 3:0 ";:Il 5.0
Log Radian Frequency

• Figure 16.7 The closed-loop Bode graph for Example 16.3 as displayed by
DESIGN after completion of design step 3.

.~-----~----:-- ..----~~--.---~
 Controller Design: P=1..652+00, I=2.00B-03, 0=1..01.2+02,0=0.1.00
COlllland: (Dllode) (Illode) (Pllode) (Analysis) (ZOOIll) (Unozoo.) (QUit)_1
20 Design Decision Data
11(- 1l2)" D. OB+OO rad/sec
Gain IRROR-BATIO GRAPH II (-lo70) = t; • "IE-DO' rad/sec
in Frequency l1 III it = 3.008-02 ra,Uan/second II (-:L60) '" 5. IIE-02 rad/sec
Decibels 1I(-270)M(-1.IlO) =2.3
II(-MO)", 0.0 dB
1.0 II (-:l.1l0) "'-"1.3 dB
Gain lIugin=q.3 dB
Phase lIarg1n=<;O degrees

o / .........................................­ -1.00
:
!
!
!
!
:
: -1.50
I

!
i Phase lingle
:
i in
Degrees

~
l .' ~o
-<;.0-3.5-3.0-2.5-2.0-11.5-:1..0-0.5 0.0 0.5 l.O
Log Radian Frequency

• Figure 16.8 A close-up view of the error-ratio graph for Example 16.3 as dis­
played by DESIGN after completion of design step 3. The Zoom command was used
to get the close-up view of the gmph.

Controller Design: P,,:I..IISE+OO, I=2.00E-03, D=1..ObE+02, 0=0.:1.00

Command: (Olllode) (IlIIode) (PRlode) (Analysis) (Zoom) (Unozoo.) (QUit)_1

NYQUIST DIAGRAII

• Figure 16.9 A close-up view of the Nyquist diagram for Example 16.3 as dis­
played by DESIGN after completion of design step 3. The Zoom command was used
to get the close-up view of the graph.

628
• Sec. 16.5 Computer-Aided PID Controller Design 629

(e) Design Summary

After entering the (Quit) command. the program presents the option to obtain a printed copy
of the Bode data table and the design summary. The design summary is shown below:

DESIGN SUMMARY
Proportional gain: 1.85E+00
Integral action rate: 2.00E-03 l/second
Derlvatlve action time constant: 1.06E+02 second
Derivative limiter: 0.100
M (-180): -9.3 decibel
ANGLE (ODB): -140.0 degree
Gain margin: 9.3 decibel
Phase margin: 40 degree
Frequency 1 i mit: 3. DE -02 radl an/second

•
Design Step 1: Derivative Mode

The derivative control mode is used to increase the maximum-frequency limit of the control
system by moving the 1800 phase angle to a higher frequency. This means that the control
system will be able to correct disturbances over a somewhat wider range of frequencies. The
derivative mode also permits the use of a larger proportional gain setting. which increases the
accuracy of the control system and reduces the residual otIset.
Design step 1 begins with the determination of the usefulness of the derivative control
mode. This determination is based on an estimate of how much the derivative mode will in­
crease the - 1809 frequel1cy, which dt::peuds on the slope of the phase angle graph between the
-180 Q and -2700 frequencies. A steep slope results in less increase in the -180° frequency
than a shallow slope does. The ratio of the - 270 0 frequency divided by the -1 ROO frequenc.y
is used as a measure of the slope of the phase angle graph between those two frequencies.
Tucker and Wills'"suggest the following rule for determining whether the derivative control
mode is useful.

W-180. ""frequency for which the phase angle is - 1800

W-2700 = frequency for which the phase angle is -270°

1. The derivative mode is definitely useful if W-270' > 5.

W-180"

2. The derivative mode is probably useful if 2 < W-270' < 5.

W-180'

3. The derivative mode is marginally useful if W-270" < 2.

W-18O"

• G. K. Tucker and D. M. Wills, A Simplified Technique of Control System Engineering (Philadelphia: Minneapohs­
Honeywell Regulator Company, 1962), p. 63.
 630 • Chap. 16 Controller Design

I-
limiter ~ point (l)L
-
i""'"
10
I­
/ -
m
~ ........ l' -
(l)d , Derivative-action
break point -
I­ -
I­ -
-30
I­ -
~ Straight line p~~
~ ~, -
l­

I­
-V ,~ -
-
I­ ~

I­ -::
-90"
I­ -I­

0.01 0.1 I 10 100 1000

D D D D D D
(I), radians/second

• Figure 16.10 The Bode diagram of the derivative control mode displays the
positive phase angle and the high frequency amplificallon that charactenze this mode
of control.

Figure 16.10 is the Bode diagram of a derivative control mode with a derivative limiter
coefficient (a) equal to 0.1. The limiter break,point fl't:~utlllcy (wd is ~ui:ll to I/o: limes tbe:
derivative action break-point frequency.

Notice the positive phase angle of the derivative mode, especially between Wd and Wv It is
this positive phase angle that enables the derivative mode to increase the frequency at which
the open-loop phase angle is -180°. Notice ruso the increase in the gain graph betw.een Wd
and WL' This increase is called the derivative amplitude, and it is an unwanted side effect in
the application of the derivative control mode. In Figure 16.10, the derivative amplitude is
20 dB, or a gain of 10. The phase-angle graph reaches a maximum value of 55° halfway be­
tween Wd and WL' Other phase-angle values are given in Table 16.2.
The design of the derivative control mode consists of locating the derivative action break
point such that the derivative action produces the maximum improvement in the control sys­

- - - - - - - - - ........ - - -.. ~ ----------,----­

• Sec. 16.5 Computer-Aided PID Controller Design 631

• TABLE 16.2 Gain and Phase Values for the

Derivative Control Mode (Ds +1)/(0.1Ds+1I
m(dB) fJ (deg)
Ol/D o 5.1
0.2/D 0.2 10.2
O.5ID 1.0 23.7
l.O/D 3.0 39.3
2.0/D 6.8 52.1
3.16/D 10.0 55
5.0/D 13.2 52.1
IOID 17 39.3
20/D 19.0 23.7
50/D 19.8 10.2
IOO/D 20 5.1

tem. The positive phase angle of derivalive actiun increases (he phase margin. However, the
gain of the derivative action reduces the gain margin, which nullifies some of the benefit of
the increased phase margin. The designer must compromise between the benefit produced by
the phase lead and the harm produced by the gain of the derivative mode.
In DESIGN, with a 0.1, the first +50 0 point on the derivative phase graph is located
at the -180° frequency on tbe open-loop Bode diagram." This results in a derivative break
frequency equal to one-balf the -180" frequency.
Wd = 0.5w-180· (16.1)
The derivative action time constant is given by

D =1 2
= .. - (16.2)
Wd W-ISO·

This method tencJ~ to minimize the increase in gain without seriously reducing the increase in
tbe -180" frequency.

Design Step 2: Integral.Mode

The integral control mode is used to increase the static accuracy of the control system by in­
creasing the gain of the controller at low frequencies. The integral mode completely elimi­
nates tbe residual offset that occurs in P and PD controllers. For stability, the integral mode
gain is reduced to almost 0 dB as the frequency approaches the - 1800 frequency and remains
there for all higher frequencies. The integral mode also provides 90° of phase lag at low fre­
quencies. This phase lag approaches 0° at about the same frequency that the gain approaches
o dB. The high gain and 90" phase lag of the integral control mode have the potential to cause
stability problems. The objective of the integral mode design is to se~ect the integral rate, I,
that provides the maximum accuracy benefit while minimizing the adverse effect on stability.

• Ibid., p. 70.
 632 • Chap. 16 Controller Design

Design step 2 begins with the determination of the usefulness of the integral control
mode. The integral mode is useful whenever the open-loop gain of the process does not in­
crease as the frequency decreases toward zero. A process that displays this gain characteris­
. tic would not have an inherent integration term in its open-loop transfer function. If it did have
an inherent integration term, the integral control mode would not be useful and should not be
used. In fact, using the integral mode on a process that has an inherent integration term can
cause serious stability problems.
The simplest way to determine the usefulness of the integral mode is to observe the
process open-loop gain graph. The criteria for the usefulness of the integral mode can be
stated as follows:

If the open-loop gain of the process does not increase as the frequency approaches 0, the inte­
gral mode is useful and should be used to increase the static accuracy of the system.
If the open-loop gain increases as the frequency approaches 0, the integral mode is not useful
and should not be used because it could cause stability problems.

Another way to determine the usefulness of the integral mode is to observe the transfer .
function of each component in the process. If a component has an inherent integration term,
then its transfer function will have the factor lis. In other words, if B(O) 0 in the transfer
function of any component in the control system, the process has an integration term and the
integral mode should not be used.
The criteria for the int~.gral mofl~ e:m 1I1l':O h~ f\tat~d ill': followi'l:

If no control system component has a value of 0 for 8(0) in its transfer function. the integral
mode is useful. If any component has a value of 0 for 8(0) in its transfer function, the integral
mode is not useful and should not be used."

Figure 16.11 is the Bode diagram of the integral control mode. Notice the shape of the
gain graph. The gain increases steadily as the frequency decreases below the integral action
break point. Above the break point, the gain is I (0 dB). Notice that the phase angle is -90 0
at low frequencies and changes to 0 0 at high frequencies.
The design of the integral control mode involves a compromise between the benefit of
the high gain at low frequencies and the negative effect of the phase lag, also at low frequen­
cies. The designer applies the integral mode after the derivative mode, using the open-loop
Bode diagram of the process plus the derivative control mode. The design objective is to place
the integral action break point such that the negative effect of the phase lag is limited to about
5% at ll1- 1800, This is accomplished by setting the integral break frequency, (l)j, equal to about
one-fifth of (1)-\70. on the open-loop Bode diagram. The integral action rate, I, is equal to the
integral action break-point frequency, (1)1'

critenon assup1es that no component has a value of 0 for A(O) in its transfer function. No component in this
book has a value of 0 for A(O), and it does not occur In nonnal processes, measuring transmitters, or final control
elements.

--~-- ...... --------­

• Sec. 16.5 Computer-Aided PID Controller Design 633

60

50

~ -
'\ -
.!l
40

30
,<m -
~ ...
\ -
~
~
20

10

-
~
~
,, ~
-
-
Integral-action -
-10
break point­
~ "::
30"
-::
... Pi'-.....
~/ .:

/)
V" .::
-6(1'

f­
-V -
-
10- 1/ IO- a/ 10-11 I 101 1021

ClI, radians/second or radians/minute

• Figure 16.11 The Bode diagram of the integral control mode displays the high
gam and -90° phase angle at low frequencies that characterize this mode of control.

(16.3)
(16A)
However, Equation (16.4) does not always produce a satisfactory result. One exception
occurs with first-order lag plus dead-time processes when the first-order time constant is
greater than about 10 times the dead-time delay. If Equation (16.4) is used in this situation,
the combined process plus derivative plus integral phase graph dips below -140° at a very
low frequency as illustrated in Figure 16.12. As the frequency increases, the phase graph rises
and then drops rapidly below -180° as the dead time takes over. The problem becomes evi­
dent in design step 3 when the phase margin criterion is used to determine the proportional
gain, P. The phase margin requires the system gain to be 0 dB at the 140 0 frequency. The
result is an extremely overdamped, sluggish system.
• Chap.16 Controller Design

20 0

10 -25

0 -SO

-10 -75

-20 -100

J
Ii
-30 -125 I
cti
-150

-175

-200

-225
0.001 0.01 0.1 10

CIl, radians/second

+ Figure 16.12 Open-loop Bode diagram of a tirst-order lag plus dead-ttme

process and a PI controller (step 4). The Integral mode was determined by I = O.2w"
which resulted in an unusually low proportional gain and a very overdamped control
system.

Figure 16.12 illustrates the problem as it occurs in the design of a process with a firsl­
order time constant of 100 s and a dead-time lag of 2 s. In design step I, W-270"/W-180o ::::: 2
and we elected not to use the derivative mode. Using Equation (16.4) in step 2 of the design
procedure results in an integral action rate I O. J36 s - I. In step 3, the phase margin criteria
force a very luw prupurliunal gain, P. In step 4 the phase margin is 40 n and the gain margin
is 51.0 dB. The extremely large gain margin is a clear indication of the problem presented by
the dip in the phase graph between om and 0.1 rad/s.
The preceding design can be improved by moving the integral break point to a lower fre­
quency. The desired break point is obtained as follows:
1. Divide -140" by 1.1 to provide a 10% safety factor:

-140°

--= 127 0
1.1
2. Subtract the -45 0 phase angle of the integral mode at its break point:

-127° (-45°)::::: -82°

We therefore set the integral break-point frequency equal to the frequency at which the
process plus derivative phase angle is -82°.
I ::::: {IJ, ::::: (t) 82" (16.5)
 • Sec.16.5 Computer-Aided PID Controller Design 635

Figure 16.13 shows the result of the redesign of the control system in Figure 16.12, using
Equation (16.5) instead of Equation (16.4) to determine the integral action rate, T. Notice that
the dip in the phase graph has been raised above -140° and W-140 is about 0.39 radls (com­
0

pared with 0.014 radls in Figure 16.12). The redesigned system has a gain margin of 6 dB,
and a phase margin of 410. The redesign has raised the gain by over 40 dB, and has an ideal
gain and phase margin combination.
In some processes with high-order transfer functions, the W-820 value for I does not re­
tard the integral mode break point enough to correct the excessive gain margin problem. Ex­
ercise 16.13 is an example of this type of process. In this situation, the designer may choose
between a trial-and-examine procedure to determine the optimum integral mode setting and
a compensation network to move the first-order break point to a higber frequency. The design
of the compensation network is explained in Section 16.7. In either choice, DESIGN is a very
useful tool to carry out the design procedure.
Equations (16.4) and (16.5) are combined in the following equation for integral action
rate I:
(16.6)

30 25

20 0

10 -25

0 -50

~
-10 -75
'"
.§ -20
E!
-100 I
<Ii
-30 '125

-40 -150

-50 -175
• Figure 16.13 Open-loop Bode diagram of
the fin.t-order plus dead-time process from Fig­
-60 -200 ure 16.12 with a redesigned PI controller. The
integral mode was determmed by J = (U -82",
-225 which resulted in a much higher proportional
0.001 0.01 0.1 10
gain and a quarter amplitude underdamped con­
CI). radians/second trol system.
636 • Chap. 16 Controller Design

Design Step 3: Proportional Mode

In step 3, the designer uses the open-loop Bode diagram of the process plus I and D to deter­
mine the value of the proportional gain, P, that will satisfy both the gain margin and the phase
margin. The gain margin is satisfied if the sum of the controller decibel gain, PdB, and the
Bode diagram open-loop gain at ~ 180°, m-180 is less than or equal to ~6 dB.
0

Gain margin: PdB :5 -m-180" ~6 (16.7)

The phase margin is satisfied if the sum of the controller decibel gain, PdB, and the Bode di­
agram open-Ioup gain al -140°, ,,1- 140 is less than or equal to 0 dB.
0 ,

Phase margin: PdB :5 -m-I40Q

(16.8)
Equations (16.7) and (16.8) can be combined into the following equation for the proportional
gain, P. .

(16.9)
The controller gain, P, is
(16.10)

Design Step 4: Concluding Report

The final design step uses three diagrams of the process and PID controller. The open-loop
Bode diagram is used to determine the gain margin and the phase margin. The error-ratio
graph is used to determine the maximum frequency limit of the process (the frequency that
separates zone 1 from zone 2). The closed-loop Bode diagram gives the frequency response
of the control system.

PID CONTROLLER DESIGN SUMMARY

Comment: The following is a summary of the four-step procedure for the design of a PID con­
troller using DESIGN.

Step .I: Dl!rillntillt'~ Modi';

Effects:

I. Increase the maximum frequency limit.

2. Increase the phase margin.
3. Decrease the gain margin.
Usefulness:

1. Definitely useful if W-270o/W-180°> 5.

2. Probably useful if 2 < W-270,/W-180' < 5.
3. Marginally useful if W-270,/W-180' < 2.
 • Sec. 16.6 Example Design of a Three-Loop Control System 637

Design equation:

(16.2)

Step 2: Integral Mode

Effects:
1. Increase the low-frequency gain.
2. Reduce the maximum frequency limit.
3. Reduce the phase margin.

Usefulness:

1. Useful jf the open-loop gain of the process does not increase as the frequencY approaches O.
2. Not useful if the open-loop gain of the process increases as the frequency approaches O.
Design equation:
I = minimum of {lILS2° or O.2w_170"} (16.6)

Step 3: Proportional Mode

Effects;
L Move the gain graph up or down.
2. Does not affect the phase graph.

Usefulness:

Always useful.

Design equation:

P dB = min {-m_l40oor(-m_ISO. -6)} (16.9)

P lOP,.;20 (16.10)
Step 4: Concluding Report
Open-loop Bode diagram
Closed-loop Bode diagram
Error-ratio graph
Design summary

16.6 EXAMPLE DESIGN OF A THREE-LOOP

CONTROL SYSTEM

In this section, DESIGN will be used to design three controllers for the blending and heating
process shown in Figure 16.14. The process blends and heats a mixture of water and syrup,
and has three control loops: concentration, temperature, and level. The concentration control
loop manipulates the syrup input flow rate to maintain the desired concentration of syrup in
the finished product. The concentration analyzer draws a sample of product from the outlet
638 • Chap. 16 Controller Design

Wate,

H..IllIS
Awd

• Figure 16.14 The blending and heatmg

Product process has three loops to control concentration,
I.
boItI'l1j
temperature, and liquid level. Examples 164 to
l.ne 16.6 use DESIGN to design PID controllers for
these three loops.

line and measures the concentration of syrup in the sample. The level control loop manipu­
lates the water input flow rate to maintain the level of liquid in the blending tank. The tem­
perature control system manipulates the flow rate of the heating fluid to maintain the tem­
perature of the liquid in the blending tank.

Blending and Heating Process Sp~r.ificatinns

1. Product

Production rate: 2.5 X 10- 4 m3/s (15 L/min)

Composition: 90° water and 10% syrup

Density, p: 1005 kg/m3

Viscosity, p,: 0.1 Pa· s

Specific heat, Hh : 4170J/kg· K

2. Mixing Tank

Diameter: O.75m

Height: 1m

Operating level: 0.75m

Product temperature: 60 Q C

Heating fluid temperature: 100°C

Film coefficient h, = hn : 1349W/m2 • K

Outlet pipe diameter: 0.0351 m

Distance from outlet

to temperature probe: O.26m

Wall thickness: om m

Wall material: steel

3. Concentration Measuring
Transmitter

Model: First-order lag plus dead time

Time constant, WI: 2008

Dead-time delay, td!: 15 s

Gain: 1 (% output!% input)

- - - - - - - - - - -...... --~ ....- --­

 • Sec. 16.6 Example Design of a Three-Loop Control System 639

4. Level Measuring Transmitter

Model: First-order lag plus dead time
Time constant, al2: 2s
Dead-time delay, td2: 0.5 s

Gain: 1 (% output/% input)

5. Temperature Measuring
Transmitter

Model:
Overdamped second-order lag
Time constants, T3:
50 s
T4: 240s
Gain: I (% output/% input)
6. Control Valves
Model: Underdamped second-order lag
Water valve, alOI: 10.2 radls
'I: 0.75

Gain:
5 (% output/% input)

Syrup valve, alO2:

2.4 radls

&2:
0.90

Gain:
31.25 (% output/% input)

Heating valve. alO3:

21.6 rad/s

'3: 0.8

Gain: 8 (% output/% input)

7. Concentration Process
Model (75): First-order lag
Gain (G): 1 (% olltPllt/% input)
8. Level Process
Model: Integral (nonregulating)
FS IO : 0.001 m3/s
FS out: 1m
9. Thermal Process
Model (T6. td3): First-order lag plus dead time
Gain (G): 1 (% output/% input)

EXAMPLE Design a PID controller for the concentration control loop in the blending and heating process, Figure
16.4 16.14.
Solution (a) Determine the concentration process time constant, 75'

Liquid volume, V (area)(operating height)

7rD2h
4
7r(0.75)2(0.75)
4
::: 0.3313 m3
640 • Chap. 16 Controller Design

Liquid flow rate, Q = 2.5 X 10- 4 m3 s

. V 0.3313
T Ime constant, T.
.'
= -Q == 2.5 X 10­
4

1325 s
(b) Detennine the syrup coiltrol valve transfer function coefficients.

B(I) = == (2)(0.9) == 0.75

W02 2.4
I1
B(2) = - 2 == - 2 == 0.1736
(U02 2.4
(c) Determine the overall transfer function of the measuring transmitter, process, and control
valve.

TF = ( I
15
e- , ) (
+ 200s I +
1)(
1325s
31.25
1 + 0.75s + 0.1736s 2
)

(d) Note: This is the same transfer function as the blending system in Example 16.3. The follow­
ing summary was obtained from a run of DESIGN (see Example 16.3).

DESIGN SUMMARY
Proportional gain: 1.85E+00
Integral action rate: 2.00E 03 l/second
Dcriv~tivc action time constant: 1.06£+02 second
Derivatlve 11miter: 0.100
M (-IBO}: -9.3 declbel
ANGLE (OOB): -140.0 degree
Gain margin: 9.3 declbel
Phase margin: 40 degree
Frequency limit: 3.0E-02 radian/second

EXAMPLE Design a PID controller for the temperature control loop in the blending and heating process, Figure
•
16.5 16.14.
SolutIOn (a) Determine the thermal process time constant, Tn.
Thennal resistance (from the program THERMRES):
hi h" = 1349 W/m2 • K

A= 1'1'~2 + lTDh 1'I'DC ~ h)

= 1'1'(0.75) ( 0.75 )
4 + 0.75
= 2.209m 2

x = 0.01 m
K = 45W/m' K
From THERMRES: RT = 7.718E - 4 KjW
• Sec. 16.6 Example Design of a Three-Loop Control System 641

Thermal capacitance, C

{Jh'1TD2 = (1005)(0. 75)'1T(0.75)2

m
4 4
= 333 kg
C = (333)(4170) = 1.389E + 6 J/K
'T6 = RC = (7.7lE - 4)(1.389E + 6)
== 1070s
(b) Determine the thermal dead-time lag, td3'
Q
Outlet flow rate = U
A
2.5E - 4

. distance
Dead-time lag = td3 == I .
ve OClty
0.26
0.258

= 1s
(e) Determine the temperature measuring transmitter transfer function.
8(1) = 50 + 240 = 290

8(2) = (50)(240) = 12,000

(d) Determine the heating control valve transfer function coefficients.

8(1) = 2{;3 = (2)(0.8) = 0.0741

WO'l 21.6
I
8(2) = W~3 21.6 2 0.00214

(e) Determine the overall transfer function of the measuring transmitter, process, and control valve.

C+ ~ 12,000i)C /;~70S)C + 0.074ls + 0.002148

8
TF = 290s 2)

(0 The following summary was obtained from a run of DESIGN.

DESIGN SUMMARY
Proportional gain: 2.33E+OO
Integral action rate: 1.00E-03 l/second
DerlVdLive action time constant: 1 97E+02 second
Derivatlve limiter: 0.100
M(-180) : -12.7 decibel
642 • Chap. 16 Controller Design

ANGLE (ODB): -140.0 degree

Gain margin: 12.7 deci bel
Phase margin: 40 degree
Frequency limit: 1. 6E -02 radi an/second

E X AMP LE Design a PIO controller for the level control loop in the blending and heating process, Figure 16.14.
•
16.6
Solution (a) Determine the level process integral action time constant.

out FS
T=A­
, FS m
1I'D2 1I'(O.7S?
A = 4 = 4 = 0.4418

T, = 0.4418 (O.~l) = 442 s

(b) Determine the water control valve transfer function coefficients.

8(1) ;::: 2'1 = (2)(0.75) 0.147

WOI 10.2
1 1
8(2) = = -10.22 = 0.00961

(c) Determine the overall transfer function of the measuring transmitter, process, and control valve.

TF = (1e-O' ,)(
+ 28 4428
I )(
1 + 0.1478
5
+ O.0096ls2
)

(d) The following summary was obtained from a run of DESIGN.

DESIGN SUMMARY
Proportional gain: 7.44F+Ol
Integral action rate: O.OOE+OO l/second
Derivative action time constant: 2.43E+00 second
Derivative limiter: 0.100
M(-180): -6.0 decibel
ANGLE (ODB): -134.8 degree
Gain margin: 6.0 dec1be1
Phase margin: 45 degree
Frequency 11 ml t: 1. 3E -00 radi an/second

16.7 CONTROL SYSTEM COMPENSATION

•
The design methods discussed in this section are used in the design of servo control systems
(Le., position, velocity, or force control of mechanical loads). The component transfer func­
tions in a servo loop are well defined and seldom involve dead-time delays. This is quite dif­
ferent from process control, where transfer functions are usually not well known and dead­
time delays are common.
• Sec. 16.7 Control System Compensation 643

The design of a servomechanism begins with the establishment of the performance ob­
jectives (e.g., static accuracy, response time. overshoot, stability criteria, etc.) Next the servo
designer selects the system components: a servo actuator, a power supply, a drive amplifier,
and a feedback transducer. The component transfer functions are then used to construct the
open-loop Bode diagram or root-locus plot of the system.
The designer begins the servo controller design with an analysis of a simple loop closure.
If a loop gain adjustment (proportional control mode) satisfies the performance objectives, the
designer simply provides the means ofestablishing the necessary loop gain. This may involve
adjusting the gain of one or more components in the loop, or it may involve the addition of
an amplifier in the loop.
Often the simple adjustment of loop gain does not satisfy the performance objectives.
The designer must then modify the open-loop frequency response of the system. This can be
done in one of two ways-either change or modify components in the loop. or insert addi­
tional components into the loop. In either case, the objective is to alter the open-loop fre­
quency response so that the performance objectives can be met with a simple gain a4justment.
Th~ second option (adding components) is known as frequency compensation or simply
compensation. The objective ofcompensation is to alter the open-loop frequency response so
that the performance objectives can be met by a subsequent gain adjustment. The derivative
and integral modes of a PID controller are examples of compensation. 1
Figure 16.15 shows the Bode diagrams of the following four simple compensation net­
works:
1. Integration-lead network compensation

V = (1 + TIS)
out
(16.11)
~n T,s
2. Lead-lag network compensation

VOltt =
v'n
(1 ++ lendS)
T
1 TLags (16.12)
TLelld > TLag
3. Lag network compensation

Vout ( 1 ) (16.13)
Vm = 1 + TLagS
4. Lag-lead network compensation

;,:t = (~ : ~~:;) (16.14)

TLead < TLag
The integration-lead compensation network is actually the same as the integral control
mode in a PID conlroller. 'lb verify this fact. replace T, in Equation 16.11 by 1/1 and rearrange
the result to get the equation of the intcgral control tlluU~ shown below:

YOU!
~n
= (1 +s s) (16.15)
644 • Chap. 16 Controller Design

40 ,....,
.,
i 40
iii' f::! i'j; 20 Gain ~
""'j; 20 ~
~
'"
E
d 0 .!!
00 t3 0 ~
0 Ii 90 li
~
-90
l 0
if

!U..LJ.Q. ..L.L
T, T, T, Tt.ead hag
a) An integration-lead compensation network b) Alead-lag compensation network

Gain
0+---' il:! 0 /
i
.!!
00
li
iii'
""'j;
'iii
0-40
-20
I

.!!
§.,
0 0

-90
J -90
~
if

!U .L 10 .L..L
TU8 TLo~ TLa, TLag Tt.ead
c) Alag compensatIon network d) Alag-lead compensation network

• Figure 16.15 Stralght-hne Bode diagrams of four compensatIOn networks. Ob­

serve the sImilarity between nl':!work (a) and the integral mode. between network (b)
and the derivattve mode, and between network (c) and a low-pass filter

Integration-lead compensation is used for the same reason and in the same way as the integral
control mode-to increase the static accuracy by increasing the gain at low frequencies while
preserving stability by not changing the gain at the - 1800 frequency or above. As with the inte­
gral control mode, integration-lead compensation must not be used when the loop has an inher­
ent integration. Serious stability problems result when this rule is not observed. The integral-ac­
tion time constant, T,. is the reciprocal of the PIO integral action rate, I (i.e., ~ = 1/1). The rules
used to locate I for a PID controller also apply to the determination of ~ for the integration-lead
compensation network (allowing for the reciprocal relationship between T, and I, of course).
The lead-lag compensation network is very similar to the derivative control mode in a
PID controller. To verify this fact, take Equation (16.] 2) and replace TLead by D and replace
TLug hy aD. The result is the follQwing equation of ,the derivative control mode;

_"'out = ( 1 + Ds ) (16.16)
Vrn I + aDs
O<a<l
 • Sec. 16.7 Control System Compensation 645

In the lead-lag network, both the lead and the lag time constants are specified. In the deriva­
tive mode, the derivative action time constant, D, and the derivative limiter, a, are specified.
In either case, the result is the specification of the two break-point frequencies: the lead net­
work break-point, (.I)Lead, and the lag break-point, (.I)Lag (recall that (.I)Lead = l/TLead and (.I)Lag
= I /TLag)' The lead-lag network is sometimes used for the same reason and in the same way
as the derivative control mode. When this is done, the rules used to locate D for a PID con­
troller also apply to the determination of TLead for the lead-lag compensation network. How­
ever, the servo designer frequently uses the lead-lag network to cancel a dominant first-order
lag and replace it with a first-order lag that breaks at a higher frequency. This use of the lead­
lag compensation network to cancel and replace a first-order lag is illustrated in Example
16.7.
The lag compensation network is actually a low-pass filter. It is used to remove undesir­
able high-frequency components of a signal. Often the high-frequency components are pre­
dominantly noise and are not part of the original signal.
The lag-lead compensation network is used to cancel dominant low-frequency lead com­
ponents in much the same way that lead-lag compensation is used to cancel dominant low­
frequency lag components. Note that the lead-lag and lag-lead networks have the same trans­
fer function. The only difference is the relative size of the time constants. In the lead-lag
network, the lead time constant is larger than the lag time constant (1Lead > TLag). In the lag­
lead network, the lag time constant is larger (TLag > TLead)' The same design approach is used
for both types of compensation.
In many systems, the open-loop frequency response is dominated by a few low-frequency
lag elements. First-order lags are typical of temperature control systems and dc servos with
short electrical time constants. Second-order lags are typical of dc servos with long electrical
time constants. Faced with this type of process, a servo system designer will use lead-lag
compensation lu "cancel" a low-frequency lag and replace it with a higher-frequency lag in
the compensation network. With reasonable care in the design, lead~lag compensation can in­
crease the dominant lag break-point frequency hy a factor of 10 or more (Le., TLead> lOTLag ).
Example 16.7 illustrates the use of integration-lead and lead-lag compensation to improve the
control of a system with three predominant first-order lags.

EXAMPLE A control engmeer analyzed a certain process and determined that it had three dominant first-order
16.7 lags with time constants of 1000, 100. and 50 s. Use DES1GN to complete the following five controller
designs for this system. Plot the error ratio for each design on a single graph, and determine the fre­
quency limit for each design.
(a) Design a controller that uses only the proportional mode (simple gain adjustment).
(b) Design a controller that uses the proportional mode plus integration-lead compensation.
(c) Design a controlIe.r that uses the proportional mode plus inte&llI.tiun-lead compensation plus
lead-lag compensation that cancels the 50-s time constant and replaces it with a 5-s time con­
stant.
(d) Design a controller that uses the proportional mode plus integration-lead compensation plus
lead-lag compensation that cancels the 100-s time constant and replaces it with a 100s time
constant.
(e) Design a controller that uses the proportional mode plus integration-lead compensation plus
two lead-lag compensation networks (one to replace the 50-8 time constant with a 5-s time con­
stant, and one to replace the l00-s time constant with a 10-8 time constant).
646 • Chap. 16 Controller Design

Solution We will use DESIGN to complete the design of the five servo controllers. The error-ratio graphs of the
five designs are plotted in Figure 16.16. The five plots provide a very graphic way of comparing the ac­
curacy of the five designs. We begin by writing the transfer function of the process:

ProcessTF = C+~oooJC +\ooJC +\oJ

(a) In the first run of DESIGN, a Pmode value of 10.3 resulted in a gain margin of 10.8 dB, a phase
margin of 40 0 , and a frequency limit of 0.0090 rad/s. The error-ratio graph of this design is la­
beled "P" in Figure 16.16.
Notice that the error ratio levels out at -40.4 dB for frequencies less than 0.0001 rad/s.
This is the proportional offset error that characterizes the proportional control mode. There are
two ways to reduce the proportional offset: increase the controller gain, P, or add integration­
lead compensation. We could increase the gain by 4.8 dB and still have a marginally stable sys­
tem (it would no longer meet the phase margin criteria). This would reduce the proportional off­
set, but proportional· mode acting alone cannot eliminate the offset. The remaining four designs
all include integration-lead compensation.

W4-----~----~----~----~----~----_r----~

10

·20
p

---....". 1"
·60
p:: Proportional mode
·70 I :: Integral mode

CI :: Lead-lag compensator [11:5~ ]

·80
1+100$]
C2 :: Lead-Iag compensator [ Til'OS'

.100 -+-~'--.o....t"""'--I----+----I-----t---+----I

10-4 10 102
(J), radians/second
• Figure 16.16 Error-ratIo graphs for the five controller designs in Example 16.7.
The error ratio is the closed· loop error diVided by the open·loop error. A low error ratio
means accurate control. The lower the error raUo is. the more accurate the control IS. 'The
frequency limit IS the lowest frequency at whIch the error ratio crosses the O-dB line.
• Sec. 16.7 Control System Compensation 647

(b) We will use the Imode setting in DESIGN to implement the integration-lead compensation net­
work. This is valid, because the integration-lead compensator and the integral control mode
have identical transfer functions. If we wish to report T; rather than I, we will use the fact that
T, is the reciprocal of I.
In the second run of DESIGN, an Imode value of 0.00207 I/s (T; = 483.1 s) and a Pmode
value of4.69 resulted in a gain margin of 14.8 dB, a phase margin of 40°, and a frequency limit
of 0.0055. The error-ratio graph is labeled "P + l" in Figure 16.16. We can make two impor­
tant observations about the error ratio graph. First, notice that the error ratio continues to de­
crease as the frequency decreases. As the frequency approaches zero, the error ratio also ap­
proaches zero. This is the reason we use integration-lead compensation-to give high-static and
low-frequency accuracy. Second, notice that the "P + l" graph shows a larger error ratio than
the "P" graph at frequencies above 0.001 cad/s. Also, the frequency limit is reduced from 0.009
to 0.0055 rad/s. This is the cost of integration-lead compensation-it reduces the frequency
limit (bandwidth) of the system and increases the intermediate frequency error.
(c) In the third design, we will use the following lead-lag compensation network to cancel the
50-s time constant and replace it with a 5-8 time constant:

Compensation TF == (\ : 55~8 )
We can enter the compensation network in DESIGN as a fourth component, giving us the fol­
lowing process plus compensation transfer function:

TF-( 1 )( I )( 1 )(~)
1 + 10008 1 + lOOs 1 + 508 1 + 58
A simpler approach is to complete the algebraic cancellation and enter the following equivalent
transfer function:

TF - C+ !oooJC /IOOJC ~ 58)

We used the second approach in the third run of DESIGN. An Imode value of 0.00244 1/s
(T, = 409.8 s) and a Pmode value of 9.05 resulted ill a gain margin of 25.9 dB, a phase margiu
of 40°, and a frequency limit of 0.0096. The error-ratio graph is labeled up + 1+ C l " in Figure
16.16. Notice that the addition of the lead-lag compensation network regained the intermediate
accuracy and bandwidth lost in design 2 and increased the low-frequency accuracy as well. The
third design is more accurate than either of the first two designs.
(d) In the fourth design, we will use the following lead-lag compensation network to cancel the
100-8 time constant Bnd replace it with a 100s time constant.

Compen~atjon TF = (\ : ~~:)
The process plus compensation transfer function can be expressed in either of the following two
forms:

TF _ ( 1 )( 1 )( 1 ) (1 + 1008)
1 + 10008 1 + lOOs 1 + 508 1 + lOs
or
648 • Chap. 16 Controller Design

We used the second fonn of the transfer function in the fourth run of DESIGN. An Imode value
ofO'()()303 I/s (T, = 330.0 s) and a Pmode value of 15.4 resulted in a gain margin of 16.8 dB, a
phase margin of 40°, and a frequency limit of 0.017. The error-ratio graph is labeled "P + 1+
C/' in Figure 16.16. Notice that the fourth design is more accurate than the first three designs.
(e) In the fifth design, we will use the following lead-lag compensation networks to cancel both the
50- and 100-s time constants, replacing them with 5- and 10-s time constants:

.
CompensatIOn TF '"
(1 ++ 100S)(1l+5s
1 108
+ 50S)

The process plus compensation transfer function can be expressed in either of the following two
fonns:

TP _ ( I )( I +Il00s)(_1)(1
1 + l000s I + 50s
+ 1008)(1 + 50s)
I + lOs I + 5s

or

We used the second form of the transfer function in the fifth run of DESIGN. An Imode value
of 0.00477 l/s (T, = 209.6 s) and a Pmodc value of 69.4 resulted in a gain margin of 12.5 dB,
a phase margin of 40°, and a frequency limit of 0.082. The error-ratio graph is labeled "P + I
+ C1 + C2" in Figure 16.16. Notice that the fifth design is the most accurate design and has the
highest bandwidth (frequency limit). •
In conclusion, we make the following observations from the results of Example 16.7:
1. If the process transfer function is dominated by two or three first-order lags, lead-lag
compensation can effect significant improvements in accuracy and bandwidth.
2. The greatest improvement is achieved by lead-lag compensation networks that cancel
and replace the two lags with the second- and third-largest time constants. These are the
first order-lags that increase the system phase lag from 90 to 270°, We ignored the largest
time constant and compensated the second- and third-largest time constants because we
wanted to improve the frequency response in the region near the -180° frequency.
3. If only one lead-lag compensation network is used, it should be applied to the second­
largest time constant-the one that increases the phase lag from 90 to 180°.

• GLOSSARY

Bode design method: A design method that uses open-loop frequency response graphs of a control sys­
fem t.o design control modes that alter the frequency response to obtain a stable, accurate system. (16.5)
Compensation: A design method that inserts networks into a control system to alter the open-loop
frequency respunse of the system so that perfonnance objectives can be met by a subsequent gain
adjustment. (16.7)
Derivative amplitude: The high-frequency gain produced by the derivative control mode. (16.5)
Integration-lead compensation: Another name for the integral control mode. A network that in­
creases static accuracy by increasing the gain at low frequencies while it preserves stability by not
changing the gain at high frequencies. (16.7)
Lag compensation: Another name for a low-pass filter. Used to remove undesirable high-frequency
components of a signal. (16.7)

- - - - - - - - - - - - - - - - - - - - . -.. -.~--. ------ ---­

 • Chap. 16 Exercises 649

Lag-lead compensation: A network that increases the phase lag over a range of frequencies and de­
creases the gain at high frequencies. Used to move the break points of first-order leads to higher
frequencies. (16.7)
Lead-lag compensation: Similar to the derivative control mode. A network that decreases the phase
lag over a range of frequencies and raises the gain at high frequencies. Used to increase the -1800
frequency. Also used to move the break points oftirst-order lags to higher frequencies. (16.7)
Model-based adaptive controller: A controller that uses an internal model of the process to determine the
optimum control mode settings. Essentially an automated version of the process reaction method. (16.4)
Pattem-remgnition adaptive controller: A controller that eAaluines the response of the system to
naturally occurring disturbances to determine the period of oscillation and the amplitude decay ra­
tio. Formulas are then used to determine the optimum control mode settings. Essentially an auto­
mated version of the ultimate cycle method. (16.4) .
Process reaction graph: The step response graph used to determine the first-order lag plus dead-time
model of a process. (16.3)
Process reaction method: A method of tuning an installed controller in which the step response is
used to determine a first-order lag plus dead-time model of the process. Formulas are then used to
determine the control mode settings from the model of the process. (16.3)
Programmed adaptive controller: A controller that automatically adjust" the proportional gain, P,
as a function of a number of process-related variables (e.g., controlled variable, setpoint, error, con­
troller output, etc.). (16.4)
Self-tuning adaptive controllers: Controllers capable of changing their control mode settings to
.. adapt to changes in the process. (16.4)
Tti.ning the controller: The process of determining the control mode settings of a controller during
start-up. (16.1)
Ultimate cycle method: A method of tuning an installed controller in which the ultimate period and
ultimate gain of the system are measured and used to determine the control mode settings. (16.2)
• EXERCISES
Section 16.2 Section 16.3
16.1 SC'vcral process cuntrol systems are tested at start­ 16.3 f)lInng start«up, the manipulating clement of a

up. The derivative modes are turned ow, and the integral process control system is maintained constant until the

modes are set at the lowest setting. The gain of each con­ controlled variable levels out at 20% of the full-scale

troller is gradually increased until the control variable value. A I0% change is produced in the manipulating ele­

starts to o&ciJIate. The gain setting and period of oscillation ment position at time 0, and the following data are ob­

of each system are given below. Use the original ultimate tained:

cycle method to determine the PI and PID controller set­

tings for each system.

TIme Cm Time Cm
Ultimate Ultimate
(mm) (%) (mm) (%)
System Gain Penod (min) 0 20.0 22 35.0
2 20.0 24 36.0
0.42 20
2 6.3 6
4 20.0 26 37.0
3 0.8 2 6 20.0 28 37.8
4 1.2 18 8 20.3 30 38.2
:; 2.0 10 21.8 32 38.7
05
12 23.6 34 39.0
16.2 Usc the modified ultimate cycle method to deter­ 14 26.0 36 39.3
16 29.0 38 39.5
mine the PI and PID controller settings for each system in
18 31.5 40 39.6
Exercise 16.1. CUlllpule the values of I and LJ, and explain 20 33.4
how you would determine the value of P.

,7' •
,- .
 650 • Chap. 16 Controller Design

Construct the process reaction graph and use the process ERI = -0.3 = error ratio just before zero crossing
reaction method to determine the settings of a PI and a PID
ER2 = 1.8 error ratio just after zero crossing
controller.
16.6 A de motor position control system has the follow­
ing transfer function:
Section 16.4

16.4 Select which of the following three types of adap­ 16.1

tive controllers is described by each statement: v s + 0.201s2 + 3320s3
1. Programmed adaptive controller
Use DESIGN to design a PID controller. Determine the
2. Model-based adaptive controller
maximum frt'.qllftncy limit from the error ratio graph.
· 3. Pattern-recognition adaptive controller
16.'7 An amplidyne position control system has the fol­
(a) Introduces step changes and observes the reaction of lowing open-loop transfer function:
the process to these changes.
(b) Constantly examines the response of the control sys­ 8500
tem to naturally occurring disturbances. v (1 + 0.025s + 0.0001i)(~~+-0-.3-5s72-+-0-.0-1-5s=3)
(c) Uses an internal model to determine optimum PID
values. Use DESIGN to design a PID controller. Determine the
(d) Uses peaks in the error signal to compute the period of maximum frequency limit from the error-ratio graph.
oscillation and amplitude decay ratio. 16.8 Design a PID controller for a thermal process with
(e) Adjusts the P mode in response to changes in one or the following transfer function:
more process variables.
(f) Uses a graph of error vs. time to determine the opti­
H(s) = ( 1 ) e-2i),
mum PID values. I + 700s
(g) Uses a "self-learning" mode to determine the model of
the process. 16.9 Design a PID controller to control the level in a
(h) Adjusts the P mode in response to changes in produc­ first-order lag plus dead-time process with the following
tion rate. transfer function:
(I) Uses the ultimate cycle method to determine the opti­
mum PID values.
H(s) ( 1 ) -5,
(J) Uses the process reaction method for computing the 1 +25s e
optimum PID values.
16.10 nP,!!ien II pm controller for a de motor positioning
system with the following transfer function:
Sections 16.S and 16.6
·16.S The maximum frequency limit, Wn ..... of a control
· system is the frequency whel'e tlle error ratio crosses the
()..dB line. If the error ratio crosses zero between 0.032 and 16.11 Design a PID controller for a solid flow control
0.056 radls, we know lhe maximum fl-equency limit is be­ system WiUI the following transfer function:
tween those two frequencies. Use the following linear inter­
polation formula and data to estimate the value for Wma.: H(s) = e- 45 ,
0- ERI 16.12 A first-order lag plus dead-time blending process
Wm•• WI + (W2 - WI) ER2 _ ERI
has a time constant of 145 s and a dead-time delay of 35 s.
Design a PID controller to control the process.
where W ma• = maximum frequency limit, radls
WI = 0.032 radls = frequency just before zero
16.13 Design a PID controller to control the following
process:
crossing
w'- = 0.056 radls = frequency just after zero H() ( 0.6 ) -005,

crossing S = I + 0.08s + 0.01s2 e .

 • Chap. 16 Exercises 651

16.14 Design a PID controller for a pressure system that Concentration measuring
has the following transfer functions: transmitter
TIme constant 1'\: 100 s
·
M easunng . TF 2
transmltter =: 1 + 0.258 Dead-time lag ttl/: 25 s
Gain: 2
5
Control valve TF =: . 0 Level measuring
I + .18 + 0.002582 transmitter
15 Time constant '1"2: 0.5 s
ProcessTF
1 + 58 Dead-time lag td2: 0.8 s
16.15 Design a PIO controller for a blending system that Gain: 4
has the following transfer functions: Temperature measuring
transmitter
· . TF
M easurmg transmltter = 1 +0.585s TIme constant '1"3: 80 s
Time constant 1'4: 220 s
25 Gain: 1
Control valve TF = I + O.4s + 0.01682 Water control valve
12 Damping ratio (I: 0.92
Process TF ='--­
I + 90s Resonant frequency WI: 18.6 cadis
Gain: 20
16.16 The AJ Food Company uses a PIO controller to
control a jacketed kettle similar to Figure 14.6a. Design a Syrup control valve
PIO controller to control the temperature of the product as Damping ratio (2: 0.84
it leaves the heat exchanger. The transfer functions of the Resonant frequency CVz: 2.4 cadis
system components are as follows: Gain: 50
Heating control valve
Measurmg transmitter TF = 1+6082 +500; Damping ratio (3: 0.90

Process TF = (- 4
1 + 750s
)e-z,s, Resonnnt frequency
Gain:
W3: 9.6 rad/s
15
Concentration process
12
C:ontrol valve = . . .. "-­ Gain: 2
I + 0.0688 + 0.0044;
Level process
16.17 Design PIO controllers for the three control loops
in tllt: hlending and heating process illustrated ill Figure
FSlII :
0.002 m'/s
16.16 for the following variation in the specifications FSou,:
O.5m
given In Section 16.6. Thennal process

Gain:
2
Production rate: 3.5 X 10- 4 m3 /s
Mixing tauk
Section 16.7
Diameter: 0.85111
Operating level: 0.471 m 16.18 Repeat Example 16.7 for a process that has three
2 dominant first-urder lags with time constants of 200, 50,
Film coefficil::nt h,: 90W/m .K
and 10 s.
Film coefficient ho: 18ooW/m2 • K
16.19 Figure 16.12 illustrates a problem that sometimes
Distance to temperature
occurs when Equation 16.4 is used to determine the inte­
plObe: 0.45 m gral action rate, I, in the design of a PI controller for a first­
Wall thickness: L5cm order lag plus dead-time process with a time constant of
Wall material: aluminum 100 s and a dead-time delay of 2 s. Use DESIGN to com­
 652 • Chap. 16 Controller Design

plete the PI controller designs illustrated in Figures 16.12 with those of the final design in Exercise 16.19. What con­
and 16.13. Use Equation 16.4 to determine lin the first de­ clusion can you make from the comparison? Of the de­
sign (Figure 16.12). Use Equation 16.5 to determine I in signs in Exercises 16.19. 16.20, and 16.21, which one has
the second design (Figure 16.13). Compare your results the highest frequency limit?
with Figures 16.12 and 16.13. 16.22 A dc motor position control system has the fol­
16.20 Repeat Exercise 16.19, but this time design a PID lowing transfer function:
controller for the process. You will find that the large gain
margin was not eliminated when Equation 16.5 was used
to determine I. Use an iterative procedure to find a value of
I that will result in a gain margin of about 6 dB. (Hint: Try
the following values of I: 0.046, 0.069, 0.080, 0.078, and Explain why a PID controller is not a good idea for this
0.079. Your final design should have p. gain margin of process. Use DESIGN to design a PD controller for this
6.0 dB.) process. Repeat the design, but this time use a lead-lag
. 16.21 Repeat the PI design in Exercise 16.19, but this compensation network to cancel the 0.731 time constant
time add lead-lag compensation to replace the 100-8 time and replace it with a 0.0731 time constant. Then use DE­
constant with a 10-s time constant. Compare the error­ SIGN to design a PD controller for the compensated
ratio graph and the frequency limit of your final design process. Compare the two designs.

----:--:-------:----------------~ .... ~~-

• APPENDIXA Properties
of Materials

Properties of Solids

Density Thermal Conductivity Heat Capacity

Solid (kg/m 3) (W/m' K) (J/kg' K)
Aluminum 2,700 204 910
Asbestos 2,400 0.16 815
Asphalt 1,041 0.17 1,675
Brass 8,470 100 370
Cast iron 7.400 47 460
Copper 8.940 380 400
Glass 2,600 I 490
Gold 19,300 294 130
Graphite 2,000 5 900
Ice 900 2.25 2,000
Tnsulation 0.036
Lead 11,340 35 130
Nickel 8.900 60 460
Paraffin 897 022 2,931
Rubber 1.500 0.2 2,000
Silver 10,500 400 234
Solder (50-50) 8,842 48 168
Steel 7,800 45 500
Wood (typical oak) 740 0.2 2.400
Wood (typical pine) 440 0.15 2,800

•••• 653

~ .. --.~---:-.---~-~.~.~.-~ .. -.--.--~--.-~. -_.

654 • AppendixA Properties of Materials

Melting Point and Latent Heat of Fusion

Meltmg Point Latent Heat of Fusion

Solid/Liquid (0C) (kJ/kg)

Aluminum 660 393

Asphalt 121 93
Ice/water 0 333
Paraffin 56 147
Solder (50-50) 216 39.5

Properties of Liquids

Density Absolute Viscosity' Thermal ConductlVlty Heat Capacity

Liquid (kg/ml ) (Pa's) (W/m' K) (J/kg • K)

Ethyl alcohol 800 0.0013 0.18 2,300

Gasolme 740 0.0005 014 2,100
Glycerine 1,260 0.83 0.29 2,400
Kerosene 800 0.0024 0.15 2,070
Mercury 13,600 00015 8.0 140
Od 880 0.160 0.16 2,180
Turpentme 870 0.0015 0.13 1,720
Water 1,000 O.OOJ 0.6 4,190

• For a flUid temperature of 15°C.

Properties of Gases (at standard atmospheric conditions: 15°C and 76 cm of mercury)

Molecular Absolute Thcrmal Heat

Weight Density Viscosity Conductivity Capacltl
Gas M' (kg/ m3) (Pa . s) (W/m' K) (J/kg' K)

Hydrogen (H 2) 2.016 0.0854 8.89 X 10- 6 0.163 14,200

Helium (He) 4.002 0.169 1.97 X 10- 5 0.140
Carbon monoxide (CO) 28.0 1.19 0.023 1,015
Nitrogen (N2) 28.016 1.19 1.77 X 10- 5 0.024 1,010
Air 28.8 1.22 1.81 X 10- 5 0.024 1.030
Oxygen (Oz) 32.0 1.36 0.024 910
Argon (AJ 39.944 1.69 2.20 X 10-' 515
Carbon dioxide (COz) 44.0 1.BB 1.46 x IO·~ 0.014 9Ub

dM is the gram molecular weight of the glls (i.e., the weight of I mol of the gas measured In grams) M is equal

numertcally to the mulecular wllIl:\hl of the gM and has the unit!! (s/ mol).

hThll hila! t:avad1y j, foi' ':Oll&tallt Pl,(,,§SUfC.,

 • AppendixA Properties of Materials 655

STANDARD ATMOSPHERIC CONDITIONS

1. Temperature: 288 K

15°C

59°F

2. Pressure: 1.013 X 105 Pa

1.013 X 106 dynes/cm2
14.7Ib/in2
76 cm of mercury
29.92 in. of mercury
10.336 m of water
34 ft of water
3. Air density: 1.23 kg/m3
1.23 X 10-3 g/cm3
0.07651 Ib/ft3

REFERENCES

The entries in the tables of properties of solids, liquids, and gases were converted to SI units from data
obtained from the following sources:
BINDER R. C. Fluid Mechanics, 2nd edition. Englewood Cliffs, N.J.: Prentice-Hall, Inc., 1950, pp. 6, 27,
62-65.
CARMICHAEL, COLIN. Kent's Mechanical Engineers' Handbook: Design and Production, 12th edition.
New York: John Wiley & Sons, Inc., 1950, pp. 1-04, 1-29,2-57,2-58,5-78, 19-06.
JENNINGS, BURGESS H., AND SAMUEL R. LEWIS. Air Conditioning and Refrigeration, 3rd edition. Scran­
ton, Pa.: International Textbook Company, 1951, pp. 22, 99,104-114.
LEMON, HARVEY B., AND MICHAEL FERENCE, JR. Analytical Experimental Physics. Chicago: The Uni­
versity of Chicago Press, 1946, pp. 37, 38,134, 142, 177, 178, 181, 188,219.
SALISBURY, J. KENNETH. Kent's Mechanical Engineers' Handbook: Power, 12th edition. New York: John
Wiley & Sons, Inc., 1950, pp. 2-48, 2-59, 3-04, 3-05, 3-06, 3-14, 3-15, 3-16, 3-34, 3-37,
3-58,5-03,6-43,6-44.
 • APPENDIX B Units
and Conversion

SYSTEMS OF UNITS·

The different systems of units are best understood when applied to Newton's law of motion.
f= kma
where f = force acting on a body
m mass of the body
a = acceleration of the body
k constant whose value depends on the system of units
1. The SI system, k = 1
f(N) = m(kg) • a(mN)
2. The egs absolute system, k = 1
f{dynes) = meg) • a(cm/s2)
3. The fps absolute system, k = 1
f(poundals) = m(lb) • a(ft/sZ)
4. The engineering fps system, k = 1/ g. = 1/32.174
l(lb force) - m(lb) . a(ft/s2)/gs
,. The engineering fS8 system, k 1
f(lb force.) m(slugs) • a(ft/s2)

>l' From H. B. LI;lIllUII am.! M. Ference, Jr, Allalytu:al Experimelltal Pily.vic9 (Chicago: Thc Umversity of ChICago

Press, 1946), pp. 37-38.

~--- .....- - -... -~.- .." . - - - .. _ --- ......- - - -..... --~~-- ---~. ----------­
 • Appendix B Units and Conversion
657

Conversion Factors (lbf = pound force, Ibm = pound mass)

Quantity To Obtain: Multiply: By:

Area,A m2 ftl 0.09290

fl2 m2 10.764
2
m in.l 6.452E - 4
iD.2 m2 1550

Density,p kg/m' Ibm/ft3 16.018

Ibm/ft3 kg/m' 0.06243

Energy (work) J ft Ibf 1.356

ft Ibf J 0.7376
J Btu 1055
Btu J 9.480E - 4

Flow rate, Q ml/s gal/min 63088E - 5

ml/s L/min 1.6667E - 5
gal/mm ml/s 15850.9
gal/mm L/min 0.26418
L/mm m3/s 60.000
L/min gal/min 3.7853

Force.! N kg'm/52 1.000

N poundal 1.383E - I
N lbf 4.448
N ozf 2.780E I
Ibf Ibm' ft/S2 3.108B ­ 2
ozf ozm . in./s2 2.590E ­ 3

Latent heat J/kg Btu/lbm 2326

Btu/Ibm J/kg 4.2992B 4

J~l1gth, L m ft 0.3048
ft m 3.281
m m. 0.0254
in. m 39.37

liqUId resIstance, Rl. Pa' s/m 3 psi/gpm 1.093E + 8

psi/gpm Pa' s/m' 9.148E - 9

Mass,m kg N· s2/m 1.000

kg Ibm 4.536B - I
kg ozm 2.835E 2
Ibm Ibf· 52/ft 32.171
ozm ozf· s2/in. 386.09

Moment of inertia. J N'm' hZ/fad kg' m2/rad 1.000

N· m· s2/rad ozf . in.. slrad 7.062E -;3
N' m' s2/rad Ibf . in. 'S /rad 1.130E - 1
N'm' s2/rad Ibf . ft . g2/rad 1.356
N . m' g2/rad ozm . in. 2/fad 1.829E - 5
N'm' g2/rad Ibm • m. 2/rad 2.926E - 4
N'm' g2/rad Ibm' retrad 4.214E - 2

--- - - -----~~~--~-~-~~~----------~-~---~- ~ - -- ---­

658
• Appendix B Units and Conversion

Conversion Factors (continued)

Quantity 1b Obtain: MultIply: By:

Power W hp 746
hp W 1.341E 3
W Btu/hr 0.2931
Btu/hr W 3.4129

Pressure, P Pa Ibf/ft2 47.88

Pa Ibf/in? 6.895E + 3
Ibf/ft2 Pa 0.02088
Ibf/fe Ibf/in. 2 144
Ibf/ m. 2 Pa 1.45E 4
Ibf/ m? Ibf/ft2 6.9444E 3

Thermal (heat) capacity, Hh J/kg' K Btu/Ibm' of 4187

Btu/Ibm' of J/kg' K 2.388E - 4
2 Btu/hr. ft2
Thermal conductance, C W/m 'K • OF 5.678
Btu/ hr . ft2 • OF W/m2 • K 0.17611

Thermal conductivity, K W/m·K Btu' in./hr . fe· OF 0.1441

Btu . in./ hr . ft2 . of W/m'K 6.938

Torque, T N'm od . ill. 7.OO2E - 3

N'm Ibf· m. 1.L30!:! ­ 1
N'm Ibf· n 1.356

Torque constant, KT N·m/A ozf· in/ A 7.062E - 3

N·m/A Ibf· in/A 1.130£ ­ I
N· Ill/A Ibf· ft/ A 1.356

Viscous fflction, B (damping) N· m' s/rnd ozf . m.. s/ rad 7.062E - 3

N· m' s/rad Ibf . in .. S/ fad 1.130E I
N· m' s/rad Ibf· ft· s/rad 1.356
N'm' s/rad ozf· in.jkrprn 6.744E - 5
N· m' s/rad Ibf· in.jkrpm 1.079E 3
N'm 's/rad Ibf . ft/ krpm 1.2l)~E ­ 2

Viscosity. absolute, p- Pa· s Ibf' s/ft2 47.88

Pa· 8 Ibm/ft· s 1.488
Pa's poise 0.1
Pa's cp 0.001
tbf. sire Pa's 0.0209
Ibm/ft· s Pa's 0.672

Voltage constant, KE V . s/rad V/krpm 9.549E ­ 3

,Volume, V L gal 3.7853
gal L 0.26418
m' gal 3.7853E - 3
gal m3 264.18
gal ft' 7.480
ft3 gal 0.1337
.• APPENDIXC Binary Codes

• TABLE C.1 Powers of 2

2° I 29 = 512
21 =2 2 10 "", 1,024
22 4 211 = 2,048
23 = 8 212 = 4.096
24 ", 16 213 8.192
25 = 32 2 14 ", 16,384
26 = 64 215"", 32.768

27 128 2 16 = 64,536
28 = 256

• TABLEC.2 Octal and Binary Equivalents

Octal Binary Octal Binary

0 000 4 100
001 5 101
2 010 6 110
3 011 7 III

•••• 659

:~ .
660
• AppendixC Binary Codes

• TABLEC.3 Decimal, Hexadecimal, and Binary Equivalents

Decimal Hex Binary Decimal Hex Binary

0 0 0000 8 8 1000
I 1 0001 9 9 1001
2 2 0010 to A 1010
3 3 0011 11 B 1011
4 4 0100 12 C 1100
5 5 0101 13 D 1101
6 6 0110 14 B 1110
7 7 0111 15 F 1111

+ TABLEC.4 One's and Two's Complements

1Wo's Complement One's Complement

Decimal
Number Bmary Hex Binary Hex
-I 1111 1111 pp 1111 1110 FE
-2 1111 1110 FE 1111 1101 FD
-3 1111 1101 PD 1111 1100 PC
-4 III I lIOO FC 1111 1011 F8
-5 11111011 FB 11111010 FA
-6 Iltll010 FA 11111001 F9
-7 1111 1001 F9 lt11 1000 F8
-8 lilt 1000 F8 1111 Olll P7
-9 11110111 P7 1111 OliO F6
-10 till 0110 F6 1Il1 0101 F5
II Ill! 0101 F5 II II 0100 F4
12 11110100 F4 1111 0011 F3

• TABLEC.S The Gray Code

Dccimul Binary Gray Decimal Bmary Gray

. M~._.,,_ ",.,

0 (IIJllIl (KKKI if 1000 1100

1 0001 0001 9 1001 ·1101
2 0010 0011 10 1010 11I1
3 0011 0010 II 1011 IllO
4 0100 0110 12 1t00 1010
5 0101 0111 13 IIOI 1011
6 OlIO 0101 14 1110 1001
7 OUI 0100 15 1111 1000

- - - .......- ---_ _-------------

...... ------­
• AppendixC Binary Codes 661

• TABLEC.6 Binary Codes for Decimal Digits

Decimal BCD Excess-3 Decimal BCD Exeess-3

0 0000 0011 5 0101 1000

1 0001 0100 6 0110 1001
2 0010 0101 7 0111 1010
3 0011 0110 8 1000 1011
4 0100 oIII 9 1001 1100

• TABLEC.7 Seven-Bit ASCII Code

ASCII ASCII ASClI ASCII

Code Coded Code Coded Code Coded Code Coded
(Hex) Symbol" (Hex) Symbol (Hex) Symbol (Hex) Symbol

00 nul 20 space 40 @ 60
01 soh 21 ! 41 A 61 a
02 stx 22 42 B 62 b
03 etx 23 # 43 C 63 e
04 eot 24 $ 44 0 64 d
05 enq 25 % 45 E 65 e
06 ack 26 & 46 F 66 f
07 bel 27 47 G 67 g
08 bs 28 48 H 68 b
09 ht 29 49 I 69
OA If 2A 4A J 6A j
OB vt 2B
'"
+ 4B K 6B k
OC ff 2C 4C L 6C
00 cr lO 4D M bU In
OB so 2E 4E N 6E n
Of' si 2F I 4F 0 6F 0
10 dIe 30 0 50 P 70 P
1\ del 31 I 51 Q 71 q
12 de2 32 2 52 R 72 r
13 dc3 33 3 53 S 73 s
14 dc4 34 4 54 T 74
15 nak 35 5 55 TT 75 u
16 syn 36 6 56 V 76 v
17 etb 37 7 57 W 77 w
18 can 38 8 58 X 78 x
19 em 39 9 59 Y 79 Y
IA sub 3A 'iA Z 7A z;
IB esc 38 'iR [ 78 {
IC fs 3C < 5C \ 7C I
10 gs 3D 50 ] 70 I
IE rs 3fl :> SE 1\ 7E
IF us 3F 1 5F 7F rub

• ASCII codes from 00 to IF are control characters.

• APPENDIX D Instrumentation
Symbols and
Identification

The material in this section was abstracted from ANSI/ISA-S5.1-1984, "Instrumentation

Symbols and Identification," copyright © Instrument Society of America. 1984, and is
reprinted by permission.

1 PURPOSE

The purpose of this stanuard is to establish a uniform means of designating instruments and
instrumentation systems used for measurement and control. To this end, a designation system
that jncludes symbols and an identification code is presented.

2 SCOPE

2.1.2 Process equipment symbols are not part of this standard, but are included only to
illustrate applications of instrumentation symbols.
·2.2.1 The standard is suitable for use in the chemical, petroleum, power generation, air
conditioning, metal refining, and numerous other process industries.
2.3.1 The standard is suitable for use whenever any reference to an instrument or a con­
trolsystem function is required for the purpose of symbolization and identification. Such ref­
erences may be required for the following uses, as weU as others:
Design sketches
Teaching examples
Technical papers, literature, and discussions
Instrumentation system diagrams, loop diagrams, and logic diagrams
Funcl.iorutl uescripliUllli

662 ••••
 • Appendix 0 Instrumentation Symbols and Identification 663

Flow diagrams: process, mechanical, engineering, systems, piping (process), and instru­
mentation
Construction drawing
Specifications, purchase orders, manifests, and other lists
Identification (tagging) of instruments and control functions
Installation, operating and maintenance instructions, drawings, and records
2.3.2 The standard is intended to provide sufficient information to enable anyone re­
viewing any document depicting process measurement and control (who has a reasonable
amount of process knowledge) to understand the means of measurement and control of the
process. The detailed knowledge of a specialist in instrumentation is not a prerequisite to this
understanding.

3 DEFINITIONS

Balloon: synonym for bubble.

Bubble: the circular symbol used to denote and identify the purpose of an instrument or

function. It may contain a tag number. Synonym for balloon.

Computing device: a device orfunction that performs one or more cruculations or logic

operations, or both, and transmits one or more resultant output signals. A computing de­

vice is sometimes called a computing relay.

Converter: a device that receives information in one form of an instrument signal and

transmits an output signal in another form. An instrument that changes a sensor's output

to a standard signal is properly designated as a transmittet; 110t a converter. Typically, a

temperature element (TE) may connect to a transmitter (IT), not to a converter (TY). A

converter is ruso referred to as a transducer, however, "transducer" is a completely gen­

eral term, and its use specifically for signal conversion is not recommended.

4 OUTLINE OF THE IDENTIFICATION SYSTEM

Comment: Each instrument or function is identified by a tag number that is placed inside a
balloon.
4.1.1 Each instrument or function to be identified is designated by an alphanumeric code
or tag number, as shown in Figure 0.1. The loop identification part of the tag number gener­
ally is common to all instruments or functions of the loop. A suffix or prefix may be added to
complete the identification. Typical identification is shown in Figure 0.1.
4.2.1 Thefunctional identification of an instrument or its functional equivalent consists
of letters from Thblc 0.1 and inclUdes olle first letter (designating the measured or initiating
variable) and One or more succeeding letters (identifying the functions performed).
4.2.2 The functional identification of an instrument is made according to the function and
not according to the cnn!;tru(.~tion. Thus a differential-pressure recorder used fot How mea~
surement is identified by FR; a pressure indicator and a pressure-actuated switch connected
to the output of a pneumatic level transmitter are identified by LI and LS, respectively.

,- .
664 • AppendixD Instrumentation Symbols and Identification

Typical Tag Number

TIC 103 Instrument Identification or Tag Number
T 103 Loop Identification
103 Loop Number
TIC Functional Identification
T First Letter
IC Succeeding Letters
Expanded Tag Number
1O-PAH-5A Tag Number
10 Optional Prefix
A Optional Suffix
Note: Hyphens are optional as separators .

• Figure D.1 Tag numbers.

4.2.3 In an instrument loop, the first letter of the functional identification is selected
according to the measured or initiating variable, not according to the manipulated variable.
Thus a control valve varying flow according to the dictates of a level controller is an LV. not
anFV.
4.2.4 The succeeding letters of the functional identification designate one or more read­
out or passive functions and/or output functions. A modifying letter may be used, if required,
in addition to one or more other succeeding letters. Modifying letters may modify either a first
letter or succeeding letters, as applicable. The TDAL contains two modifiers. The letter D
changes the measured variable T into a new variable, "differential temperature." The letter L
restricts the readout function A, alarm, to represent a low alarm only.
. 4.2.5 The sequence of identification letters begins with a first letter selected according
to Table DJ. Readout or passive functional letters follow in any order, and output functional
letters follow these in any sequence, except that output letter C (control) precedes output let­
ter V (valve) (e.g., PCV, a self-actuated control valve). However, modifying letters, if used,
are interposed so that they are placed immediately following the letters they modify.
4.3.1 The loop identification consists of a first letter and II numher. Each instrument
within a loop has assigned to it the same loop number, and in the case of parallel numbering,
the same tirst letter. Each instrument loop has a unique loop identification. An instrument
common to two or more loops should carry the identification of the loop that is considered
predominant.
4.3.2 Loop numbering may be parallel or serial. Parallel numbering involves starting a
numerical sequence for each new first letter (e.g., TIC-I 00, PRC-lOO, LIC-lOO, AI-I 00, etc.).
Serial numbering involves using a single sequence of numbers for a project or for large sec­
tions of a project, regardless of the first letter of the loop identification (e.g., TIC-lOO, PRC­
101, LIC-102, AI-I03, etc). A loop numbering sequence may begin with 1 or any other con­
venient number, such as 001, 301, or 1201. The number may incorporate coded infonnation;
however, simplicity is recommended.
4.4.1 The examples in this standard illustrate the symbols that are intended to depict in­
stmmentation on diagrams and drawings. No inference should be drawn that the choice of any
• Appendix 0 Instrumentation Symbols and Identification 685

• TABLED.1 Identification Letters

First Letter Succeeding Letters

Measured or Readout or
Initiating Variable Modifier Passive Function Output Function Modifier

A AnalysIs Alaon
B Burner, combustion User's choice User's choice User's choice
C User's choice Control
D User's choice Differential
E Voltage Sensor (primary
element)
F Flow rate Ratio (fraction)
G User's choice Glass, viewing
device
H Hand High
I Current (electrical) Indicate
J Power Scan
K Time, time $chedule Tim,,'rate I)f Control station
change
L Level Light Low
M User's choice Momentary Middle,
intermediate
N User's choice User's choice User's choice User's choice
0 User's choice Orifice,
restnction
P Pressure, vacuum Point (test)
connection
Q Quantity Integrate,
totalize
R Radiation Record
S Speed, frequency Safety Switch
T Temperature Transmit
U Multivariable Multifunction Multifunction Multifunction
V Vibration, Valve, damper,
mechamcal louver
analysis
W Weight, force Well
X Unclassified X axis Unclassdied Unclassified Unclassified
Y Event, state or Yaxis Relay, compntr.,
presence convert
Z Position, dimension Z axis Driver, actuator,
unclassified
final control
element

of the schemes for i1lustration constitutes a recommendation for the illustrated methods of
measurement or control.
4.4.2 The bubble may be used to tag distinctive symbols, such as those for control valves,
when such tagging is desired. In such instances, the line connecting the bubble to the instru­
ment symbol is drawn close to, but not touching, the symbol. In other instances, the bubble
serves to represent the instrument proper.
868 • Appendix 0 Instrumentation Symbols and Identification

4.4.3 A distinctive symbol whose relationship to the remainder of the loop is easily ap­
parent from a diagram need not be individually tagged on the diagram. For example, an ori­
fice flange or a control valve that is part of a larger system need not be shown with a tag num·
ber on a diagram. Also, where there is a primary element connected to another instrument on
a diagram, use of a symbol to represent the primary element on the diagram is optional.
4.4.4 A brief explanatory notation may be added adjacent to a symbol or line to clarify
the function of an item.

Instrument Line Symbols

All Hnes are to be fine in relation to process piping lines.

1. Instrument supply* or connection to process
2. Undefined signal rI ,I
3. Pneumatic signalt
4. Electric signal
5. Hydraulic signal
_"_______________ or
r""
L L
I

6. Capillary tube
7. Electromagnetic or sonic signal (guided)*
x X
8. Electromagnetic or sonic signal (not guided) rv rv
9. Internal system link (software or data link.) -0--0­
10. Mechanicallink -e--e-
The following are optional binary (ON/OFF) symbols.
11. Pneumatic binary signal
___ ____ __ ____ or
~ ~ ~
N
12. Electric binary signal

'" "Or" means user's choice. Consistency is recommended.

The follOWIng abbrevmtions are suggested to denote the types of power supply. These designations may also be ap­

plied to purge flUid supphes.

AS air supply HS Hyul"dulic supply

IA Instrument air NS Nitrogen supply
PA Plant aIr
1 options
SS Steam supply
WS Water supply
ES Electric supply
OS Gas supply
The supply level may be added to the instrument supply line (e.g., AS-lOO, a lOO-psig air supply; ES-24DC, a 24­
volt dc power supply).

t The pneumatic signal symbol applies to a signal using any gas as the signal medium. If a gas other than air is used,

the gas may be Identified by a note on the signal symbol or otherwise.

* B1ectromagnetic phenomena indutlfl heat, radio waves, nuclear radiation. and light.

~~ ... ~-~~.~ .. -~- ... ---~ ... -~ .. ---- .~~ .... -~

 • Appendix 0 Instrumentation Symbols and Identification 667

Selected Symbols

Flow rate F
..

r
5 13 15
"
I. ','"1 I.
(X]
2 ~
FT 18
8

ORIFICE PLATE WITH VENA

CONTRACTA, RADIUS, OR
® 16 2 ~ ~

PIPE TAPS CONNECTED TO POSITIVE-DISPLACEMENT­

DIFFERENTIAL-PRESSURE- TURBINE-OR PROPEllER- TYPE FLOW TOTALIZING
TYPf FLOW TRANSMITTER TYPE PRIMARY ELEMENT INDICATOR
17 18 22

MASS FLOW
ETC.
flD 25

~ P....
t 20

FLOW ELEMENT INTEGRAL

WITH TRANSMITTER
2 lB

VORTEX SENSOR
~ ~

MAGNETIC FLOWMETfR
WITH INTEGRAL
TRANSMI TTP~
(

Oct
Level L
8 9
LI •

ITEr
LT
14 I IS

K 13
l I I

CAPACITANCE OR DIELECTRIC
TYPE LEVEL ELEMENT
LEVEL TRANSMITTER, CONNECTED TO LEVEL
DIFFERENTIAL-PRESSURE LEVEL INDICATOR, TRANSMITTER (TAG LEVEL
TYPf I MDUrHED ON TANK flOAT TYPf FlEMENT LE - I 5 ,
 668 • Appendix 0 Instrumentation Symbols and Identification

Temperature T
5 1 "I
... RTD (IF .
"I
13
--r
• APPL ICABL [ I

T
U
TI R
~

~~
10 N
8 . A
C 21

THERMOCOUPLE, RESISTANCE t...L

BULB (RTD) OR THERM­
FILLED-SYSTEM-TYPE
ISTOR (TH) CONNECTED TO
TEMPERATURE INDICATOR
TEMPERATURE INDICATOR THERMAL-RADIATION-TYPE
WI TH WElL
(TAG ELEMENT TE-IO) TEMPERATURE ELEMENT

Speed S ControlC

ROTATING
MACHINE

~'EIID
2

101
..
'

SPEED TRANSMITTER TEMPERATURE INDICATING CONTROLLER

Control C
2 3

SELf-CONTAINED ON-OFF ROOM THERMOSTAT CASCADE CONTROL: FLOW CONTROLLER

AcTuAtiNG CIRCULATING PUMP MOTOR SEt av LEVEl CONTROLLER
• APPENDIX E Complex Numbers

INTRODUCTION
Complex numbers were introduced to permit the extraction of the square root for negative
numbers. For example. using the quadratic formula to solve the equation x 2 - 8x + 25 = 0
requires the extraction of the square root of the number - 36. Because the square root of neg­
ative numbers is not allowed. the number - 36 is written as ( - I )(36), the symbol j is defined
as the square root of ( -1), and the square root of ( -1)(36) is written as j6. * Thus the j oper­
ator permits the extraction of negative numbers, and the equation x 2 - 8x + 25 = 0 has the
following solution:
8 ± Y(-Sf-4(1)(25} 8 ± Y-36
x It x2 = 2(1) = - -2- - = 4 ± ,'3

Thus (4 + j3) and (4 - j3) are the two values of x that satisfy the equation Xl - 8x + 25 =
O. Values such as (4 + j3) and (4 - j3) belong to a set called complex numbers. Notice that
complex numbers may have two components. The first component is a real number; it is
called the real part of the complex number. The second component includes the j operator and
a real number; the real number is called the imaginary part of the complex number (thej op­
erator indicate!! thf'l imaginary cumponent, but it is not considered to be part uf it). The com­
plex number (4 + j3) has the real part 4 and the imaginary part 3. A cumplex number may
have both a real and an imaginary part, only a real part, or only an imaginary part. The fol­
lowing are examples of complex numbers:
(10 + j20) (10) (j20)

* In mathematics, the symbol i is used as the square root of ( - 1). In electrical engineering, i is used as the symbol
for current, and j is used to denote v'=l. '

•••• 669
670 • AppendixE Complex Numbers

RECTANGULAR AND POLAR FORMS OF COMPLEX NUMBERS

There are two ways to designate complex numbers: the rectangular form and the polar form.
In the introduction, the rectangular form was used to designate the complex numbers (4 + )3)
and (4 - )3). The polar form of a complex number is based on Euler's identity, which is stated
in the following two equations:
(e + }IJ cos 6 + j sin 6)
and
(e-}8 == cos 6 - j sin 0)

.. We will use Euler's identity and a rearrangement of the complex number (N == 4 + )3) to ob­
tain N in its polar form.
We begin by defining 8 as the angle whose tangent is equal to the imaginary part of N di­
vided by the real part of N.
o == arctan(~) = 36.Sr (E.1)

Next we define c as the square root of the sum of the squares of the real and imaginary parts
ofN.
(E.2)

Then we multiply and divide Nby c = 5.

N = 4 + j3 == 5(~ + j~) = 5(0.8 + jO.6)

Now observe the following:

~ == 0.8 "" cos(36.87") = cos (:I
:l. 0.6 = sin(36.87°) sinO
5

and
N = 5( cos 36.87" + j sin 36.87°) (E.3)

Applying Euler's identity to Equation (E.3), we obtain the following polar form of N:
N 5ej36.87D (E.4)

The symbol LO is frequently used in place of eJo, and the polar form of N is usually written
as follows:
N = 5/36.87° (E.5)
Equation (E.S) is more convenient for writing and printing the polar form, but Equation (E.4)
is more useful in determining how to multiply and divide complex numbers and how to raise
a complex number to a power. These operations are all based on the rules of exponents and
will be covered in the sections about operations on complex numbers.
 • Appendix E Complex Numbers 671

CONVERSION OF COMPLEX NUMBERS

Euler's identity is also the basis for the conversion of complex numbers from rectangular to
polar form or vice versa. The conversion formulas are summarized below:

Conversion of: N = a + jb = cLfJ

Rectangular to polar fonn:
c = ~r:ti}' (E.6)

6 = arctan(b/a) (E.7)
Polar to rectangular fonn:
a = c( COS 11) (E.8)
b =:; c( sin 11) (E.9)

GRAPHICAL REPRESENTATION OF COMPLEX NUMBERS

Complex numbers are represented graphically by a point on a two-dimensional graph called

the complex plane. Figure E.l shows the graphical representation of the number N = 4 +
j3 = SL36.87°.
Either form of a complex number may be used to locate the point on the complex plane
that represents the number, N. Using the rectangular form, the real part of N (a = 4) is plot­
ted on the horiwlltal axis, which is called the real axis. The imaginary part of N (b = 3) is
plotted on the vertical axis, which is called the imaginary axis.
Using the polar form, the angle of N (0 = 36.87°) is measured in a counterclockwise di­
rectioll rrom the positive real axis. The magnitude of N (c = 5) is measured from the Origin
to the point N, which lies on the line determined by the angle (J.
Complex numbers may be in any of the four quadrants of the complex plane as shown in
Figure E.2. The complex number N = a + jb will be in the first quadrant if both a and bare

Imaginary axis
j

j4

j3 b=3
N=4+j3
I = 5/36.81'
j2 .1
I
jf
I
(J "" 36.81' I
10 =4
--+-~--I---'-+---+--i!----Jo> Real axis Figure E.l Graphical representation of the
2 3 4 5 complex number N := 4 + j3.

,':" .
 672 • AppandixE Complex Numbers

j3

a)PI =4+j3 = 5/36.81' b) P2:::: -4 +j3:: 5/143.13°

4
I
I
I
I
N4

c) P3 :: -4 -j3 :: 5/216.81' d) P4 =4-j3 =5/323.13°

Figure E.2 1be sIgns of the real alld illlaglliluy Ilwts detel'mine which quadrant the complex

number will be m.

positive, in the second quadrant if a is negative and b is positive, in !.he third quadrant if a and
b are both negative, and in the fourth quadrant if a is positive and b is negative.
The conjugate of a complex number is formed by reversing the sign of the imaginary
part. In Figure B.2, PI and P4 are conjugates of each other. Also, P2 and P3 are conjugates
of each other. Graphically, the conjugate of a complex number is its mirror image about the
real axis.

...
:
 • Appendix E Complex Numbers 873

ADDITION AND SUBTRACTION OF COMPLEX NUMBERS

Complex numbers are most conveniently added when they are expressed in the rectangular
form. The sum of two complex numbers is formed by adding the real parts to obtain the real
part of the sum and then adding the imaginary parts to form the imaginary part of the sum.
The following example illustrates the addition of two complex numbers:
Nt = 5 + j12
N2 = 4 - j3
N3 = Nl + N2 = (5 + 4) + j(12 - 3) =9 + j9
Subtraction of N2 from Nl is accomplished by changing the sign of both parts of N2 and then
adding the result to Nt.
N4 Nl - N2 = (5 - 4) + j(l2 + 3) =1+ j15
Numbers that are in polar form must be converted to rectangular form before they can be
added or subtracted. A pocket calculator with the polar-to-rectangular and rectangular-to­
polar functions is the most convenient way to convert complex numbers from one form to the
other.

MULTIPLICATION AND DIVISION OF COMPLEX NUMBERS

Complex numbers are most conveniently multiplied or divided when they are expressed in po­
lar form, but the operations can also be carried out in the rectangular form.
In polar furm, the product of two complex numbers is obtained by multiplying the mag­
nitudes of the two numbers and adding their angles. The quotient of two complex numbers is
obtained by dividing their magnitudes and subtracting the angle of the divisor from the angle
of the dividend. The following examples illustrate multiplication and division of complex
numbers:
N5 = 5 + j12 =: 13167.38°
Nfl = 4 + j3 = 5/36.87°
N5 • N6 = (13 • 5)/67.38° ,. 36.87° :;.. 65/104.25°

Z! = (¥)/67.38° - 36.870 = 2.6/30.51 0

The rules for multiplying and dividing complex numbers are based on the rules of exponents.
This is more obvious if we use the exponential version of the polar form, as the following ex­
amples illustrate:
N5 • N6 = (13eJ67380) • (5eJ3687°) = (13)(5)e l(673so+36870)
= 65ejl042S0
674 • Appendix E Complex Numbers

The following example illustrates the multiplication of N5 times N6 in rectangular form:

N5·N6 (5+ j12)(4+j3)
+ j3) + j12(4 + j3)
5(4
= 20 + j 15 + j48 + j 236 {Note: j2 = -I}
= -16 + j63

65/104.25 0
The first step in dividing two complex numbers in rectangular form is to multiply both the nu­
merator and the denominator by the conjugate of the denominator. This reduces the denomi­
nator to a real number. The final step is to divide this real number into the new numerator. The
following example illustrates division of N5 by N6 in rectangular form:

N5 5 + j12 (5+ j12) . (4 - j3)

-
N6 4 + j3 (4 + j3) (4 - j3)

56 + j33
2.24 + j1.32 2.6L30.51°
25

INTEGER POWER OF A COMPLEX NUMBER

Raising the complex number N to an integer power k can be viewed as the product uf k fac­
tors, each equal to N. The result is a complex number whose magnitude is equal to the mag­
nitude of N raised to the k power lind whose angle is k times the angle of N.
PI' (eeJOt:= eke1kfl

For example,

ROOTS OF A COMPLEX NUMBER

Finding the kth root of a complex number is equivalent to solving the equation
If' eejf' (E.I0)
j9
where R is the kth root of the complex number ce • Since Equation (E.IO) is an equation of
degree k, there will be k roots, R 1, R2 , • •• , Rk . To find the k root", we note that complex num­
• AppendixE Complex Numbers 675

bers are circular numbers that repeat as the angle is increased by multiples of 211" radians (or
360°). In other words,
(E.ll)
The roots all have the same magnitude, IR I = c' /k. The angles of the roots are obtained by di­
viding k into each of the angles of the complex numbers in Equation (E. I I). Enough terms
must be used to obtain the k roots. Additional terms will simply repeat the first k roots.
For example, let us find the fourth root of 16L80°. We know there will be four roots, so
we write the following four equivalent complex numbers:
16/80° = 16/(80 + 360)° = 16/(80 + 720)0 = 16/(80 + 1080)°
The magnitude of the roots will be 16 raised to the ±power.
IRI = 161/ 4
= 2
The angles of the roots will be
80 + 360
lL
4
0
= 20°, 4 = 110°

80 + 720 80 + 1080
--
4
- = 200° ' and 4
= 290°
The four roots are 2/20°, 2/110°, 2/200°, and 2/290°.
• APPENDIX F Communications

COMMUNICA1"ION INTERFACES

Communication is the orderly transmission of information from a sender to a receiver. A con­

versation between two individuals is a form of communication; so is reading a book, listen­
ing to a radio, or watching a program on television. Another form of communication takes
. place between electronic components such as computers, controllers, measuring instruments,
display terminals, and printers. In this form of communication, information in the form of
digital (or analog) signals is transmitted over a path called a communication channel.
If the communication channel consists of a single path, it is called a serial channel. If the
channel consists of many paths, it is called a parallel channel or a bus. Parallel transfer is
faster than serial transfer, but it is more expensive because more Jines are required. Parallel
datu lines als\) huve more crosstalk problems. Within a computer, data arc transferred in pur
allel to mllximi7.c speed (the address bus and the data bus of a microcomputer system are ex­
amples of parallel communication channels). Beyond the computer, paran~l LraIlsf~1 usually
involves distances of a few feet and rarely more than 50 or 60 ft.
In either serial ur parallel, the data may be transmitted synchronously or asynchro­
nously. Synchronous transmission means that a timing signal is used to make the sender and
receiver act together. Asynchronous transmission uses control signals between the sender
and receiver to make sure the receiver accepts the data before the sender terminates the trans­
mission. This procedure IS sometimes referred to as "handshaking" or the "please-and­
thank-you" routine.
A communication channel is a path for electrical transmission of information from a
sending station to a receiving station. Communication channels are divided into three cate­
gories: simplex, half-duplex, or full-duplex. A simplex channel can communicate in only one
direction. One station is always the sender; the other station is always the receiver. A half­
duplex channel can communicate in both directions, but only one direction at a time. This is
the normal mode of communication between two individuals. Afull-duplex channel can com­
municate in both directions at once. Although this mode does not work welt between indi­
viduals, it is very effective between electronic components.

676 ••••
• Appendix F Communications 677

Information in digital form consists of a collection of binary digits that represent mes­
sages, numbers, or commands. A typical message might look like this: 0110 1001 1100 1011
1000 1000 10 I0 0011 0001. . . . The sending device must first convert the binary informa­
tion into a group of signals; then it sends the information to the receiver, one signal at a time.
The simplest conversion the sending device can use is a binary voltage signal for each binary
digit (one voltage level for a binary 1 and another voltage level for a binary 0). However, other
conversion methods may be used to increase the speed at which the information is transmit­
ted, For example, a signal with foUl' vollage levels can be used for each pair of binary digits
as follows:

Voltage Level Bmary Digits

1 00
2 01
3 10
4 11

In a similar manner, a signal with eight voltage levels can be used for each three binary
digits. In general, the number of voltage levels, (L), required to represent N binary digits is
givenl:>Y
(F.l)
A voltage signal with 16 levels can be used to represent four binary digits. A serial path that
uses a signal with 16 levels is similar to a 4-bit parallel bus. Both can transmit four binary
digits at a time. The difference is that the parallel bus requires four paths to do the job, while
the 16-lcvel signal does it on one path.
Two important characteristics of a communication channel are the maximum number of
bits it can transmit in I s (BPSmilx ) and the maximum number of signals it can transmit in
1 s (baud).

BPSmax is the maximullI number of binary digits a communication channel can transmit
in 1 s.
Baud rate is the maximum number of signalS a communication channel can transmit
in 1 s.
If N is the number of binary digits represented by each signal, then
lWS mnx = N(baud rate) (F.2)
A communication channel has a frequency response that is similar to a band-pass filter.
For example. a voice-grade telephone line will pass frequency components between 300 and
3300 Hz. It has a bandwidth of 3300 - 300 = 3000 Hz. Frequency components below 300 Hz
or above 3300 Hz will not pass through the channel. This band-pass characteristic of a com­
munication channel has two significant consequences.
The first consequence has to do with the relationship between the bandwidth and the val­
ues of BPS max and baud rate for the channel. In 1948, Claude Shannon showed that the max­
imum capacity of a channel in bits/second is proportional to the bandwidth of the channel. In
678 • Appendix F Communications

Lower band Upper band

hmit. 300 Hz limit. 3300 Hz

Carrier
t
I

2800 Hz ,I
tI ,I
I
I I
I
I
,I

Digital I,

signal
envelope signal ,I

(baseband
signal)
envelope I

,
,I
I
I

4000
Frequency. hertz

• Figure F.l The digital signal on the left has a bit transfer rate (BPS) of 100 BPS.
Most of the power in the sIgnal is tn components with frequencies below 200 Hz
(2 x BPS). The signal is tran~lated by a modulator so that the power in the modu­
lated slgn,al i& In components with frequenCIes between the band limits of the com­
mUl11calion channel.

other words, the bandwidth of the channel sets an upper limit on the bit transfer rate, BPS max ,
of a sending device.
The second consequence is that the digital signal must be frequency translated so that it
falls between the band limits of the communication channel (see Figure F.1). It has been
shown that a digital signal is composed of many frequency components. The components in
the signal vary according to the pattern of I's and O's in the signal. For example, at 100 bits
per second (BPS), the pattern] 1001 1001100 ... would produce a square wave with fre­
quency components of 25, 75, 125, 175, 225, 275 Hz, and so on. The power in the compo­
nents diminishes rapidly as the frequency increases. Figure El shows the power envelope of
a digital signal that has· a bit transfer rate of 100 BPS. Most of the power is in components
with a frequency of less than 200 Hz. A rule of thumb is that most of the power in a d~gital
signal is in components with frequencies less than twice the bit transfer rate (2 x BPS)~
Notice the positions of the digital signal envelope and the lower band limit of the chan­
nel in Figure El. The communication channel will not pass the digital signal because most of
.the power is below the lower band limit of the channel. A process called modulation can be
used to translate the digital signal. Amplitude modulation is the simplest type of modulation.
An amplitude modulator forms the product of two signals: the digital signal, which is called
the baseband signal, and a sinusoidal signal, called the carrier. Amplitude modulation of a
baseband signal produces two signals; one equal to the carrier plus the baseband signal, the
other equal to the carrier minus the baseband signal. The two signals are called the upper side­
band and the lower sideband. The envelopes of the two sideband signals are shown on either
side of the carrier in Figure EI. Notice that the envelopes are well within the band-pass lim­
its of the signal. The communication channel will pass the modulated signal.

:~ ,
• Appendix F Communications 679

Modulation of a digital signal translates a baseband signal to a frequency range that can be
transmitted on a communication channel.

RS-232C Serial Interface

In 1969, the Electronic Industries Association published RS~232C, a specification that de­
scribes the signals in a 25~pin connector used for serial transmission of digital data. RS-232
has been almost universally accepted as the "standard" serial port for digital equipment. The
full title of the specification is "Interface Between Data Terminal Equipment and Data Com­
munication Equipment Employing Serial Binary Data Interchange." The term data terminal
equipment refers to the sending or receiving equipment that is using the RS-232C serial port.
This includes computers, terminals, printers, plotters, and so on. The term data communica­
tion equipment refers to a device called a modem that modulates the signal at the sending end
of the communication channel and demodulates the signal at the receiving end. The term
modem is a contraction of "modulator/demodulator." Figure F.2 illustrates an RS-232C com­
munication circuit.
The RS-232C specification defines two communication channels, the primary channel
and the secondary channel. Each channel has two carrier signals, one for each direction. The
secondary channel is slower than the primary channel and may not be used in a particular ap­
plication. The RS-232C specification describes the electrical characteristics of the signals in
detai1, but leaves many choices to the designer of the modem. Consequently, RS-232C does
not guarantee compatibility between all terminals and all modems. RS-232C does not apply
to communication speeds greater than 20,000 BPS, and the maximum cable length is 50 ft.
The signals are restricted to two voltage regions: a positive region from 3 to 15 V dc, and a
negative region from -3 to -15 V dc. Signals must pass through the transition region from
- 3 to 3 V in less than 1 ms. Table F.I lists the signal names, pin assignments, and directions.
The following is a brief description of how the signals are used to transmit a message.
When the sending terminal is ready to transmit a message, it turns ON Request to Send; the
sending modem responds by turning ON its outgoing primary carrier. The receiving modem
detects the carrier, turns ON its carrier, and turns ON Carrier Detect to alert the receiving ter-

Data terminal Data terminal

equipment equipment

o o
cable

• Figure F.2 RS-232C communication Circuit.

680
• Appendix F Communications

• TABLE F.1 RS-232C Signals and Pin Assignments

Pin Signal Name Direction

Protective Ground (Frame)

2 Transmitted Data Terminal ~ modem
3 Received Data Terminal (- modem
4 Request to Send Terminal ~ modem
.5 Clear to Send Termmal (- modem
6 Data Set Ready Terminal (- modem
7 Signal Ground (Common Return)
8 Carrier Detect Terminal (- modem
9
10
II
12 Secondary Carner Detect Termmal (- modem
13 Secondary Clear to Send Termmal (- modem
14 Secondary Transmitted Data Terminal ~ modem
15 Transmit Clock (DCE Source) Termmal (- modem
16 Secondary Received Dalll Terminal +-- mudem
17 Receive Clock Terminal (- modem
18
19 Secondary Request to Send Terminal ~ modem
20 Data Terminal Ready Terminal ~ modem
21 Signal Quality Detector Terminal (- modem
22 Ring Indicator Terminal (- modem
23 Data Rate Selector Terminal ~ modem
24 Transmit Clock (DTE Source) Terminal ~ modem
2S
Source: EIA Standard RS-232C (Washington, D.c': ElectrOniC Indllstnes As­
sociation, 1969).

minal that a message is forthcoming. The sending modem, 750 ms after sensing the receiver's
carrier, turns ON Clear to Send, enabling transmission of data. When the sending terminal
sense that Clear to Send is ON, it begins to send signals on its Transmitted Data line. The send­
ing modem modulates the outgoing carrier with each signal. The receiving modem demodu­
lates each signal and puts the demodulated signal on Received Data. The receiving terminal
'rt".l:~ives ail eX;ll,t replica of the transmitted message.

RS-449 Serial Interface

Between 1975 and 1977, the Electronic Industdes Association published the following three
specifications for an improved serial interface:
.RS-442 define" ha1anced receivers and drivers.
1{S-423 defines unbalanced receivers and drivers.
RS-449 defines the Signals that make up the interface.
The RS-449 interface consists of two connectors: a nine-pin connector for the secondary chan­
nel signals, and a 37-pin connector for all other signals. The RS-449 specification includes all
• Appendix F Communications 681

• TABLE F. 2 RS·449 Maximum Cable Lengths and Data Rates

Data Rate (BPs)

Maximum Cable Unbalanced Dnvers Balanced Drivers

Length (ft) and Receivers and ReceIvers

4000 Below 900 Below 90,000

400 10,000 1,000,000
40 100,000 10,000,000

the RS-232C signals plus a few additional signals. The new signals provide features such as
local loopback and remote loopback, which help pinpoint the location of a malfunction.
The addition of balanced drivers and receivers is the major improvement in the interface
circuits. A balanced driver uses a separate return line for each signal. This is in contrast with
the unbalanced circuits used in RS-232C, in which all signals share a common return line.
Electrical improvements in the circuits al10w higher operating speeds and longer cable
lengths than RS-232C. Table F.2lists the maximum cable lengths and data rates for balanced
and unbalanced lines.

IEEE-488 Parallel Data Bus

The IEEE-488 data bus was originally developed in 1970 by Hewlett-Packard for use with its
own minicomputers and instruments. The interface was well received and has been built into
a wide range of instruments, peripherals, and calculators. In 1975, the Institute of Electrical
and Electronic Enginccrs made it a slulII.lard with the designation lBEE-4gS. The International

General interrace[

management bus

(5 lines)

Data transrer[
- ..
control bus

(3 hnes)

II II II
I Con troller I
l Talker
I I LIstener
I
Data bUli 0 __(t .fr
(Slines) --- ,~'" ­ (,.

The bus controller uses the management and transfer control lines to handle bus
traffic. The open-ended bus connects up to 15 devices, but total cable distance can­
not exceed 66 ft. Device addresses are set by five-bit jumpers or switches on the
back panel of each instrument.

• Figure F.3 IEEE·488 parallel data bus. (From J. Washburn, "Communications

Interface Primer-Part II," Instruments and COlltrol Systems, April 1978, pp. 62-63_
Copynght Chilton Co., 1978.)
682 • Appendix F Communications

Electro-tecbnical Commission also adopted the IEEE-488 standard with the designation IEC
Standard 625-1. Industry often refers to the standard as the General Purpose Interface Bus
(GPIB), and the names GPIB, HP-IB, IEEE-488, and IEC Standard 625-] are used synony­
mously. Figure F.3 describes the IEEE-488 interface.
The IEEE-488 standard defines three device types: talkers, listeners, and controllers.
Talkers are devices that send data, commands, and status information to listeners. Listeners
are identified by an address so that a talker can send data to a specific listener. Talkers include
sensing instruments of various types. Listeners include recording instruments such as print­
ers and plotters. Controllers manage the communication between tbe talkers and the listeners.

IEEE-583 CAMAC Interface

The CAMAC (or IEEE-583) interface was originally designed for nuclear instrumentation
laboratories, where instruments were constantly swapped among systems. IEE~-583 is a
completely specified interface system. The standard defines the mechanical configuration, the
electrical connectors, the data transmission paths, and the protocol. The mechanical configu­
ration consists of a "crate" containing slots for 25 modules. The two slots on the right are oc­
cupied by a controller that manages all CAMAC communications. Five types of controllers
are available: one for direct access to a computer, one for parallel transmission, two for dif­
ferent types of serial transmission, and one for standalone operation.

LOCAL AREA NETWORKS

. A network is a communication channel that connects a large number of user stations to one
or more central stations. The central stations provide access to large host computers, central
databases, graphic printers, and other devices that are too expensive to be dedicated to a sin­
gle station. If the stations are separated by considerable distance, such as branch offices in dif­
ferent cities, the network is called a wide area network. If all stations are located within a ra­
dius of about a mile, the network is called a local area network (LAN). LANs are an
important means of communication in corporations, universities, government agencies, and
many other organizations. Most of the effort in factory automation is directed at establishing
a communication path between various units and devices in the plant. Indeed, the LAN is the
central nervous system of the automated factory.
LANs usually use coaxial cable to provide the communication channel or channels.
Some LANs provide a single communication channel, others provide many channels. A
single-channel LAN may use an unmodulated baseband signal or a modulated carrierband
signal. A multichannel LAN uses a broadband system that has many channels, each with its
own carrier frequency. In a large LAN, a broadband network forms the backbone that inter­
~l}IIIU;lc,:ls lIlallY bingle channel subnets via interconnects called bridges or gateways,

IEEE-802.4 Single-Channel Systems

A single-channel network, whether baseband or carrierband, uses the entire bandwidth of the
coaxial cable. Many single-channel networks are carrierband systems that use a version of
frequency modulation called frequency sh~ft keying (FSK). Two frequencies are selected, one
• ApPE:lndix F Communications 683

for transmitting a binary 0, the other for transmitting a binary I. If FO is the frequency used
for a 0, and F1 is the frequency used for a I, the modulated signal appears to alternate be­
tween the two frequencies with a constant amplitude. A binary signal and the FSK modulated
signal would appear as shown in Figure FA.
Carrierband subnets are used to interconnect process controllers, programmable logic
controllers, and other intelligent components in a factory network. The subnets are the
branches of the factory network, each connecting to the broadband backbone network through
an interconnecting bridge or gateway. All nodes in a subnet transmit and receive at the same
frequency. The IEEE-802.4 networking standard specifies two carrierband signals: phase­
continuous FSK and phase-coherent FSK.
An 802.4 phase-coherent system uses a data rate of either 5 or 10 MB/s. The binary sig­
nal is directly encoded using a frequency equal to the data rate for a binary I, and a frequency
equal to twice the data rate for a binary O. The data rates and signal frequencies are listed in
the following table.

Frequency (MHz)
Date Rate
(MB/~) Bmary I Binary 0

5 5 IO
10 10 20

The modulated signal will always consist of a full cycle of one of the two signals. A binary 1
is represented by one full cycle of the lower frequency; a binary 0 is represented by two full
cycles of the higher frequency.
An 802.4 phase-continuous system has a data rate of 1 MB/s and uses a Manchester­
encoded signal to modulate a 5-MHz carrier. The carrier is modulated to 6.25 MHz for a logic
1 and to 3.75 MHz for a logic O. In the Manchester encoder, the signal bits are allocated equal
time intervals. each equal to the reciprocal of the data transfer rate in hits/second. For the
H02.4 phase-continuous system, the time interval for each bit is 1 ILS. The value of each bit (0
or I) is converted into a signal transition at the center of the interval. The signal is changed
from 0 to I to represent a binary I; and from 1 to 0 to represent a binary O. At the end of each
interval, the signal goes to the level required to encode the next bit. A Manchester-encoded

Binary Signal ! 0 0 0 0 I I
I
0 0
I
1
I
1

I
1
I
I

I
I
I
I
I
1
I I
I

Frequency
modulaled
signal (FSK)

• Figure F.4 Example of a frequency-modulated binary signal using frequency

shift keying (FSK).
884 • Appendix F Communications

message contains both the data and the synchronizing clock signal (the clock is defined by the
signal transition).

IEEE-802.4 Broadband Networks

A broadband network provides many frequency channels that can accommodate several
LANs plus voicc and even video communications, all operating on the same cable. Each LAN
uses two frequency channels. All LAN nodes transmit on one frequency and receive on an­
other frequency. A device called a headend repeater translates the signal from the transmit­
ting frequency to the receiving frequency. Figure F.5 depicts a broadband network serving two
LANs. In the diagram, node Al is sending a message to node A2 on LAN-A and node B3 is
sending a message to node B2 on LAN-B. Node A 1 modulates its signal on frequency Fl.
The LAN-A headend demodulates the FI signal and remodulates the signal on frequency F2.
The F2 signal goes to all nodes, but only node A2 accepts the message (the message is ad­
dressed to node A2). Node B3 modulates its signal on frequency F3. The LAN-B headend de­
modulates the F3 signal and remodulates the signal on frequency F4. All nodes receive the F4
signal, but only B2 accepts the message.
The IEEE-S02.4 standard defines a multilevel duobinary AM/phase-shift keying broad­
band network. The frequency channels are predefined, and the signal is encoded to control
modulation. The 802.4 token-bus protocol specifies the channel usage. The transmit and re­
ceive frequency channels can be changed or programmed. The standard designates three data
rates: 1,5, and 10 MB/s.

The Open Systems Interface

In 1979, the International Standards Organization (ISO) began developing a communication

network model that became knuwn as lht: opeli sYSliMls lmeftace (OSI). A numbel' uf LANs

LAN-A LAN-B
headend headend
FI to F2 F3 to F4

LAN-8 LAN-B LAN-A LAN-A

transmit receive transmit receive

Frequency. megahertz

• Figure F.S A broadband network can support more than one LAN. In the dia­
gram, node AI 1& &ending a me~sage to node A2 on LAN-A while node B3 is send­
ing a message to node B2 on LAN-B. Each LAN IS serviced by a headend that trans­
lates the transmItted signal (FI or F3) into a receivable 8ignal (F2 or F4).

- - _...._ - - - - _ ... _ - - - .•._ - - _ .... _ _..._ - .. --~- ---­

 • Appendix F Communications 685

are pased on the OS} model, including Ethernet and Manufacturing Automation Protocol
(MAP). The OSI model consists of the following seven functional levels:

Level Name Function

7 Application Upper-level services

6 Presentation Upper-level services
5 SessIOn Upper-level services
4 Transport Upper-level services
3 Network Routing between cables
2 Data link Routmg between nodes
PhYSical Routmg between nodes

Each layer is a module responsible for providing networking services to the level above it.
The functions fall into one of three distinct divisions. The first two levels of the OSI model
(physical and data link) deal with transmitting messages between nodes on the same cable.
Level 3 (network) covers the transmission of messages from one cable to another. The upper
four levels (transport, session, presentation, and application) handie upper-level services such
as data formatting and access security.
The physical level of the OSI model is concerned with the data rate and the type of ca­
ble,connectors, and signaling methods used to transmit and receive the message. The data
link level defines the formation of data frames, priorities, and procedures (protocol) to assure
an orderly transfer of messages.
The network level specifies the routing of messages across a bridge or gateway from one
cable to another cable. A bridge is used to connect two cables that have the same protocol. A
gateway is used to connect two cables that have different protocols.
The transport level provides reliable cnd-to-end data transfer. The session level translates
and synchronizes names and addresses. The presentation and application levels are ooncerned
with factory management.

MAP Networks
The MAP is an emerging hU.ernaLional standard for a multilevel communication network for

factory automation. The purpose of a MAP network is to link together all the controllers,

, computers. worhtations, production machines, and offices in an entire factory. The impetus

for the development of MAP came in the late 1970s, when General Motors observe.d that half

of their automation budget was used for custom interfaces for incompatihli.: deviees. The vast

nnmhe'.r of communication systems used by different wmlurs of automation equipment had

created a modern-day Tower of Babel. In 1980. General Motors and Boeing established a task
force to develop a public-domain communication standard for the factory environment. The
specification was called the Manufacturing Automation Protocol, or simply MAP.
The MAP architecture is based on the seven-level OSI model. For the physical level,
MAP specifies a IO-MB/s IEEE-802.4 broadband network for the backbone, and 5-MB/s
IEEE-802.4 carrierband subnets. MAP specifies a token-passing protocol for the network.
The backbone network connects various central resources such as mainframe computers,
CAD/CAM workstations, databases, application computers, bridges to factory subnets, gate­
686
• Appendix F Communications

Data Quality
Engineermg Operations Scheduling processmg control
CAE/CAD CAM
work- work­ Mmi- Mainframe MiDI­
computer computer computer
statIOn station

MAP broadband backbone

. (IEEE-802.4)

MAP-compatlble robots, Robots, NC machines. programmable

NC machines. programmable controllers
controllers. etc.

• Figure F.6 A MAP factory network uses bridges for MAP subnets and gate­
ways for proprietary networks.

ways to proprietary networks, and wide area network (WAN) gateways to other sites. Most of
the messages on the backbone network are high-volume database information movements.
The carrier band subnets connect the robots, NC machines, programmable logic controllers,
and process controllers on the plant floor. Some of the subnets are proprietary LANs that con­
nect to the backbone via a gateway. Figure F.6 shows a typical MAP network.

Ethernet

In 1980, Digital Equipment Corporation, Intel, and Xerox jointly published the specification
for the Ethernet LAN. Ethernet follows the seven-level OSI model. The physical layer speci­
fies a lO-MB/s Manchester-encoded baseband signal. The data link layer operates under an
access protocol called carrier sense multiple access with collision detection (CSMA/CD). It
also handles error detection and addressing of the source and destination. Ethernet was inte­
grated with DECnet, a proprietary network used with DEC computers. Figure F.7 shows an
application of a DECnet/Ethernet network.

COMMUNICATION PROTOCOLS
A protocol is a set of rules that govern lhe uperation of the devices that share a communica­
tion channel. The rules define the following functions:
1. Framing. Messages are transmitted in units called frames. A typical frame consists of
a header section, a data section, and a trailer section. The header section defines the
beginning of the frame and other information, such as the source address, the desti­
nation address. the length of the data section, and the purpose of the frame. The data
 • Appendix F Communications 687

DECnetlEthemet

ILanbridgel ILanbridge I
DECnetlEthernet

WAN = Wide area network P == Printer Corporate

database

• Figure F.7 A DECnetlEthernet baseband cable backbone extends a manufacturing network

to 1l1l1ll'Clis of a planl-even to II remote corporate database. (Reprinted from Control Engineer­
ing magazlnt: wllh permIssIon. Copyright Cahners Publi&bing Co., \987.)

section contains the message to be transmitted. The trailer section contains un error­
checking number and an end-of-frame mark.
2. Error control. The transmitter uses a predefined algorithm to compute a frame check
sequence (a number) from the characters in the message. The cyclic redundancy check
(eRe) is one such algorithm. In eRe, the entire message block is treated as a large
binary number. This large number is divided by a predefined 16-bit number, and the
remainder of this division (also 16 bits) is the frame check sequence that is included
in the trailer. The receiver repeats the division process on the received message and
checks its remainder with the frame check sequence. If the two numbers are not iden­
tical. an error has occurred, and a retransmission is requested. The probability that an
error will be undetected by eRe is extremely low.
3. Sequence control. The messages are numbered in the order in which they occur. This
sequence number is used to prevent the loss of messages, eliminate duplicate mes­
sages, and identify messages for retransmission. Sequencing is a type of error control.
4. Access control. Access control defines how each node on the network obtains access to
the network to transmit data. There are two methods of access control; polling and con­
688 • Appendix F Communications

tention. In the polling method, the nodes on the network take turns being invited to trans­
mit a message. In the contention system, each node competes for access to the network.
5. Transparency. The flag that indicates the end of a frame is a particular bit pattern, such
as 01111110. It is possible that some messages will include the same bit pattern as the
flag. Somehow the receiver must be able to tell the difference between a 01111110 in
the message and the 01111110 flag that ends the message. The technique for accom­
plishing this objective is called transparent text transmission.
6. Flow control. Flow control involves starting and stopping the transmission of mes­
sages on a communication channel. It includes initiating transmissions after a chan­
nel has been idle, returning the channel to idle when there are no messages to trans­
mit, and stopping transmission when the receiver cannot handle more information.
7. Configuration control. The configuration of a network consists of the addresses of the
active nodes in the system. Occasionally, a node will be removed from a network or
a new node will be added to the network. When this happens, the network must be re­
configured to incorporate the changes.

The CSMA/CD Access Protocol

The carrier sense multiple access with collision detection CSMA/CD) protocol allows a sta­
tion to transmit whenever it is ready and it does not detect the presence of another station's
carrier on the comml!nication channel. If two stations start to transmit at the same time, a col­
lision has occurred. When a collision occurs, a collision detection signal is sent to all stations.
The two transmitting stations stop transmitting, wait for a random period of time, and then
retry the transmission. The station delay is determined by an algorithm that uses a random
number generator, so it is very unlikely that two stations will have the same delay time.
The CSMA/CD protocol works well "s long as there lire not a lot of collisions. As the
volume. of message traffic increases, so does the probability of collisions. As the channel ap­
proaches 50% of capacity, stations begin to experience long delays in obtaining access. An­
other disadvantage of a contention protocol is that it is not possible to calculate a worst-case
time for a node to transIIlit its message over the network. Por these reasons, a CSMA/CD sys­
tem may not be the best choice for real-time environments such as process control.

The Token-Passing Access Protocol

The token-passing protocol is a polling-type access protocol. A special bit pattern called the
token is passed from station to station in ascending order of the station address. The station
with the highest address passes the token to the stalion wiLh the luwesL adc.hess, so the token
continues to circulate through all stations in an unending loop.
The llecess rule is very !';imrle. Only t.he I>tation with the token can ar,;r,;ess the communi­
cation channe1 to transmit a message, and on1y one frame (or packet) can be transmitted be­
fore passing the token to the next station. If a station has several frames to transmit, it sends
one frame each time it receives the token. If a station receives the token and has no message
to transmit, it immediately passes the token to the next station. The size of a frame is defined,
so it is possible Lu calculate tlte worst-case access time (i.e., every station is transmitting a
 • Appendix F Communications 689

full-sized frame). For this reason, token-passing systems are considered more practical for
real-time control applications.

The HDlC Protocol

The High-Level Oata Link Control (HOLC) is a standard communication link protocol
established by the International Standards Organization (ISO) in 1977. HOLC very closely
resembles the Synchronous Oata Link Control (SOLC) introduced by IBM in 1974. Both
HOLC and SOLC are bit-oriented, full-duplex communication protocols. HOLC has several
different operation modes. The following is a description of the host computer!multiterminaJ
operating mode. The host computer is called the primary station. The terminals are called the
secondary stations.
A primary station controls the network and issues commands to the secondary stations
according to a preassigned order of priority. The secondary stations respond by sending ap­
propriate responses. The secondary stations can initiate a transmission only when given per­
mission to do so by the primary station.
The HOLC uses three types of frames: an information frame used to transfer data, a su­
pervisory frame used for control signals, and a nonsequenced frame used to initialize and con­
trol secondary stations. Figure F.8 shows the HOLC frame format.
The 8-bit flag (01111110) marks the beginning and the end of a frame. The flag pattern
must never occur within the frame. If it does, the receiver will interpret the pattern as an end­
of-frame flag and ignore the remainder of the message, A technique callfld zero 9tltjfing is used
to achieve transparent text transmission. When the transmitter encounters a sequence of five
1's in the frame data, it inserts a zero as Un~ next hit in the message. Each time the receiver
encounters five I 's followed by a zero, it removes the zero, knowing that it was stuffed by the
. transmitter. When the receiver encounters a zero followed by six 1's and a zero, it recognizes
the end-of-frame flag, knowing that the transmitter would have stuffed a zero if it were not
the flag.
The address byte identifies a secondary station. The control byte determines the type of
framc (information, supervisory, or nonsequenced) and additional control information. The
frame check sequence is the eRC error-checking number.

Secondary
station Frame check
address Control Infonnation
Vanable length

• Figure F.8 HDLC informatIOn frame format.

..

690 • Appendix F Communications

• GLOSSARY

Asynchronous: A method of communication that does not use a timing signal to make the sending
and receiving stations work together.
Backbone: A broadband network that connects various central resources, such as mainframe com­
puters, CAD/CAM workstations, databases, application computers, bridges to factory subnets,
gateways to proprietary networks, and wide area network (WAN) gateways to other sites.
Baseband: A network that uses the entire bandwidth of the cable for a single unmodulated signal.
Baud rate: The maximum number of signals a communication channel can transmit in 1 s. A signal
may represent one or more binary bits in the message.
Bit transfer rate (BPS): The number of bits a communication channel transmits in I s.
Bridge: A device used to carry messages between two distinct networks that use the same protocol.
Broadband: A network that provides many channels that can accommodate several local area net­
works plus other signals, such as voice and video.
Carrierband: A network that uses the entire bandwidth of the cable for a single carrier-modulated
signal.
Communication channel: A path for electrical transmission of information from a sending station to
a receiving station.
Contention: An access method in which the nodes transmit messages on a first-come, first-served
basis.
CSMA/CD: An access protocol that allows a station to transmit whenever it is ready and it does not
detect the presence of another carrier on the line. Collision detection is used to prevent two stations
from transmitting at the same time.
Full-duplex: Simultaneous communication in both directions.
Gateway: A device used to carry messages between two distinct networks that use different protocols.
Half-duplex: Communication in both directIOns, but only one direction at a time.
Headend repeater: A device, located at the end of a network cable, that converts signals from one
frequency to another frequency.
Manufacturing Automation Protocol (MAP): A protocol for a factory communication network that
uses a broadband backbone network serving a number of carrterband subnets.
Modulation: The alteration of a sinusoidal calTicr by II datil signal for the purpose of transmitting the
daLa signal.
Open systems interface (OSI): A seven-layer model for communications protocols developed by the
International Standards Organization.
Parallel channel: A channel that provides multiple paths to transmit all bits of a binary message unit
at the same time.
Polling: An access method in which the nodes take turns being invited to transmit a message.
Protocol: A set of rules that govern the operation of the devices that share a communication channel.
Serial channel: A challlld that transmits binary messages one bit at a time.
Simplex: Communication in only one direction.
Synchrqnous: A method of communication that uses a timing signal to make the sending and receiv­
ing slaLiolls wurk logether.
Token paliSing: An access protocol that uses polling with a cil'Clilating bit pattern culled a token.
 · .

References

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BATESON, R. N. Motomatic Servo Control Course Manual. Hopkins, Min.: Electro-Craft Corporation,

1971.
BINDER, R C. Fluid Mechanics. Englewood Cliffs, N.J.: Prentice-Hall, Inc., 1949.
BOOART, '{. F., JR. Laplace Transforms and Control Systems Theory for Technology. New York: John Wi­
ley & Sons, Inc., 1982.
BOWER, J. L., AND P. M. SCHULTHEISS. Introduction to the Design ofServomechanisms. New York: John
Wiley & Sons, Inc., 1964.
BRYAN, O. T. Control Systems for Technicians. Hart Publishing Company, Inc., 1967.
BUCKLEY, P. S. Techniques ofProcess Control. New York: John Wiley &. Sons, Inc., 1964.
Chemical EngineerinR, Vol. 16, No. 12. June 2, 1Qfi9,
Cox, E. The Fuuy Systems Handbook. Chestnut Hill, Mass.: Academic Press, Inc., 1994.
DIEFENDERFER, A. J. Principles of Electronic Instrumentation. Philadelphia: W. B. Saunders Company,
1912.
ECKMAN, D. P. Industrial Instrumentation. New York: John Wiley & Sons, Inc., 1950.
ERICKSON, W. H., AND N. H. BRYANT. Electrical Engineering Theory and Practice. New York: John Wi­
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FLOYD, THOMAS L. Digital Fundamentals. New York: Macmillan Publishing Company, 1990.
Fundamentals of[fI,dustriallnstrumentation. Philadelphia: Honeywell, Inc., 1951.
HARRIOTT, P. Process Control. New York: McGraw-Hili Book Company, 1964.
HARRISON, H. L., AND J. O. BOLLINGER. Introduction to Automatic Contmls. Scranton, Pa.: International
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HERMAN, S. L., AND W. N. ALERICH. Industrial Motor Control. Albany, N.Y.: Delmar Publishers, Inc.,
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book Company, 1949.

691
 • Index

Encoder, 262, 281

first orderiag, 110-1
Integral actIOn time constant, 527, 560

End effector, 53
graph, 526. 560
Integral breale potnt frequency, 634

Equations box:
open-loop, 566, 609
Integral modc'<see control modes, mtegral)

'nc servomotor transfer funclion. 376

overall,569
Integral process, 527-9, 560

closed-loop respon~e, 572

second order lag, 171
Integrator. 195,244

control valve Cv, 350

Frequency shift keymg (FSK). 682
Integro-dlffere!1t~aleqll'aIlOn, 114, 122. 147

control valve transfer function, 352

Frequency spectrum, 244
Interacting secbnil-order process, 560

dc motor steady state, 383-4

Friction factor, f, 81
Interpolatton forniula, 83

dc motor transfer functIOn, 390-2

Full-duplex, 616, 690
Inveme Laplace transform, 132-6, 147

dead-time proce~s, 557

Full-step operatIOn, 397, 412
Inverse Laplace transformatIon, 114

electrical elell1ems, 78
Functlunal ldellhfocahull. 15.663
Inverter, 412

element~, summary, 105

FunctIOnal Laplace transform, 127-9. 141
pulse-WIdth modulated (PWM), 412

error and deViatIOn ratiO, 578

Function generator, 20 I, 244
variable-voltage (VVI), 403. 412

first-order lag process, 537-8

FuzzlilcatlOn, 514, 520
Invertmg amplifier, 192,244

ga. flow elements, 92

Fuzzy logiC, 513
ISA standard S51.1, 154

Ideal denvatlve mode, 494

Fuzzy logiC controller., 513-9
IsolatIOn, 182, 204

IDtegral control mode, 487

Fuzzy logiC control module, 518
IsolatIOn amplifier, 204, 244

mtegral process, 528

Fuzzy rule base. 515

1/0.ummary, 122-3
Fuzzy set, 513. 520
Ladder diagram. 322, 419, 422, 431, 438

liqUId flow elements, 88

programmmg language (LD), 449, 469

mechamcal element~, 104

Gage factor, 271, 281
Laminar /low, 79, 107

open-loop response, 570

Gage pressure, 309. 317
when It occurs, 80

PD cOlllrol mode, 495

Gam. 5, 6, 30, 115, 141
Laplace transform, 124-32, 147

PI control mode, 491

overall, 568-9, 609
Laplace transformatIOn, 114

PID controller de.lgn, 636-7

Gam margm, 566, 588-90, 608
diagram of, 125

PID control mode, 498

when sallsfied. 636
Latent head of fusion, table of, 654

proportIOnal control mode, 484

Gam margm pomt, 594, 608
Least-squares fit. 162

.econd-order lag process, 549-52

Gateway. 690
Level mdicator circuits, 190

thermal element., 98
Gray code, 660
Level sensor, 286

Error, 13-4,30. 157, 175

capacitance probe, 315

Error detector, 10, 12, 30, 500

Hagen-Polbeullle law, 81, 101
displacement /loat, 313

Error ratiO, 566, 575, 608

Half-duplex, 676, 690
static pressure, 314

Ethernet LAN, 685

Half-step operation, 399, 412
Lmear component, 17

Euler's Identity, 670

HDLC protocol, 689
LlOear differential equation, 148

'Event-dnven operatIOn, 47, 66, 417'

Headend repeater, 690
Lmear operating region, 185, 244

Event-driven process, 421, 438

Henry, 76
Lmear regression, 162

High-pass filter, 244

Lmearlty, 161, 175

Fanmng equ811on, 81, 107

Hydraulic hOIst, 424
mdependent, 161, 175

Farad. 75
Hydraulic motor, 340-1, 358
leasHquares. 161,175

Feedback, 3, 8, 30
HysteresIs, 20, 30. 160, 175, 267
terminal-based, 161, t 75

Feedforward control. 510, 5~0

zero-based, 161, 175

FleJd poles. 364, 3117, 412

It: temperature ~ensor, 302
LmcanzallOlI t 82. 218, 244

Filled thermal 'y"tem, 287, 317

lEEE-488 data bus, 681
Lmearizer, defined, 221

FIlm coefficient, 94, 98

IEEE-583 interface, 682
Lmgulstlc variable, 513, 520

Filter deSign, 216

Impedance tran.formallon, 204
LiqUId level measurement, 312

FllteN. 213-4
Incremental encoder, 263, 272, 281
LiqUId tank, nonregulatmg, I 17-8

FlIlal controlling element, 13

Induced voltage, electriC motor, 367
LiqUId tank, self-regulatmg, 115-6

Fmnl "alue theorem. 110. 117

InQn('lAnr", (i'l, 7(i, 7R, 107
Load,30

FIrst-order lag plus dead-lime process, 558-9

defined,72
change, iI, 474, :120

First-order lag process, 531-42. 560

Inertance, 86, 89, 107
on control system, defined, 21

blendmg, 534, 538

defined,72
on process, 21

electrical, 532. 537

Inertia, 69, 103-4, 107
Load cell, 281

gail pressure, 534, ~3g

..teGn.;d,12
1,ondmg error, 253 5,281

liqUid level. 532, 531

Imllal conditIOn, 122
1.000JlI area network (LAN), 58. 682

thermal, 534, 538

100llai value theorem, 140, 147
logarithmiC amplifier, 201

Flash or parallel ADC, 244

Input Image status, PLC, 447, 469
LogarithmiC transformation, 114

Flash techmque, 240

Input module' .
Loop Identification 15,664

Flowchart. 419, 438

analog, 469
Low-pas~ filler, 244

Flow rate mea'lurement. 303-8

discrete, 469
LVDT, 256,281

Flow rate sen~ors, 285

PLC, 448

Flux vector control, 405

Input scan, PLC, 448, 453, 469
Machme control, 56

Follow-up system, 39, 66

Instability, 30
Machme program, 49, 66

Force mea8urement, 216-81

Instrumentation amplifier, 199. 244
Magnetic flow meter, 308. 317

Frequency domam, 124, 147

Instrumentallon Symbols and Identification,
MagOllude condllion, root-locus, 602, 608

Frequency hmlt, 566, 608

15,662-8
MamtalOed-action SWItch, 323, 358

Frequency response, 6, 115, 141-1, 170,566

Instrument'hnc symbols, 666
Manchester encoder, 683

closed-loop, 566, 608

Integral, 147
Mampulated variable, 2, IS, 30

determination of, 143

Integral actIOn rate, 474, 481, 489, 632, 635
Mampulatmg element, 13, 30

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