2.6.1 Remember the Fourier Transform! . . . . . . . . . . . . . . . . . . . . . .

78
2.6.2 The s Plane . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
2.6.3 The Laplace Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

Contents 2.7
2.8
Putting this all Together: Transfer Functions . . . . . . . . . . . . . . . . . . . . .
Try This! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
94

3 Block Diagrams 110

3.1 Why are block diagrams important? . . . . . . . . . . . . . . . . . . . . . . . . . 111
Preface i
3.2 The nomenclature (let’s all speak the same language) . . . . . . . . . . . . . . . . 113
3.2.1 Arrows and blocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
I The Big Picture 1 3.2.2 Summing junctions and take off points . . . . . . . . . . . . . . . . . . . . 116
3.2.3 Nodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
1 The Control Problem 2
3.2.4 Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
1.1 What is a system? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
3.2.5 Loops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
1.2 The three different problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
3.3 Block diagram algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
1.2.1 The system identification problem . . . . . . . . . . . . . . . . . . . . . . 8
3.3.1 Why is LTI necessary? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
1.2.2 The simulation problem . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.3.2 Why are transfer functions necessary? . . . . . . . . . . . . . . . . . . . . 127
1.2.3 The control problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
3.3.3 Common algebraic rules . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
1.3 Why do we need a feedback control system? . . . . . . . . . . . . . . . . . . . . . 16
3.4 Simplifying block diagrams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
1.4 What is a control system? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
3.5 Model-based design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
1.5 The first feedback control system . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
3.6 Try This! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
1.6 Try This! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Appendices 150
2 Transfer Functions 37
2.1 LTI Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 A Transforms 151
2.2 Impulse Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 A.1 Fourier Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
2.3 Convolution Integral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.4 The Frequency Domain and the Fourier Transform . . . . . . . . . . . . . . . . . 64
2.5 Convolution versus Multiplication . . . . . . . . . . . . . . . . . . . . . . . . . . 72
2.6 The s domain and the Laplace Transform . . . . . . . . . . . . . . . . . . . . . . 78
 PREFACE ii

Preface
(minor update) rather than a major new edition. With this model I can fix bugs and add content
on a regular basis so that readers will always have the most up to date revision.1
3. Allow the readers to participate in improving the book - How many times have you come
across an error in a textbook or a really confusing explanation and wished you had a way of
Welcome to the Fundamentals of Control Theory! This book is the direct result of my online video providing feedback easily to the author? I want to hear that feedback! It is your feedback that
lectures on control system theory and the overwhelming positive feedback and encouragement I’ve will drive the quick point releases and help me create the most useful textbook possible. I
received from my viewers to write a book. I started my YouTube channel (https://youtube.com/ ask that you please email me at [email protected] any time you come across
ControlLectures) because I was frustrated by the lack of straightforward and easy to understand errors in calculations, vague or confusing explanations, and missing content in the book so
videos on the topic and felt that what some students needed was a more practical and intuitive that I can fix it and it won’t confuse the next round of readers. Plus, if you want, I’ll add your
approach to understanding the material. This book is an extension of that idea. name to the list of contributors at the end of each chapter that you help fix!
4. Make the book as inexpensive as possible - Lastly, college textbooks are expensive and if
I’m releasing this book one section at a time. This allows me to get the early chapters out there
I want this book to really help students all over the world then it needs to be affordable. I
helping people right away while being able to have your reactions and responses influence the later
understand that students don’t have much money and so having to buy several $180 books
chapters.
each semester is not high on your list of fun activities. That is why I’m releasing this book
So with that in mind, as I write this book there are four goals I hope to accomplish that I think will under the Creative Commons License and giving the book out for free. If you want to support
make it a valuable resource for any aspiring controls engineer. me and my efforts I only ask that you provide feedback on the book, watch my videos, and
share them and the book with as many people as possible.
1. Provide an intuitive understanding - I want to start by saying there already exist several
fantastic control system textbooks. Therefore, I don’t think I would be able to write a useful Engineering problems are inherently multi-disciplinary and so you have your choice of learning
book in this crowded field by presenting the same information in the same formal format. So any number of specialized fields that will allow you to contribute to a project. But I think the best
I’m not going to try to duplicate them, instead I’m creating a book that is a bit different. The reason to learn control theory is that it is the glue that combines all other engineering fields and by
language is a little less formal - it’s written as though we’re having a conversation - and the understanding the fundamentals of control theory it opens the door for you to understand all of those
mathematical proofs are a little more casual. However, I claim that what you’ll learn from this other fields at a more basic level. It is actually a fascinating subject and through this book I hope to
book is just as useful as the existing textbooks because you’ll gain an overall understanding of infect you with the same enthusiasm for the subject that I have.
the problem and how to approach it.
Chapter 1 describes the control problem. This chapter sets the stage for what we’re trying to
2. Update the book frequently - One of the luxuries of making an eBook is that I can distribute
accomplish as control system engineers and defines the terms that we use throughout this book.
updates quickly and cheaply. I am approaching this book more like a distribution of software,
where bug fixes and minor layout changes can be updated and distributed as a point release
1 This hasn’t really panned out, unfortunately.

i
PREFACE iii

Chapter 2 introduces a way of describing a system mathematically using transfer functions. This
chapter builds up the fundamental concepts behind transfer functions and sets the foundation that we
will build on going forward.

Chapter 3 explains the properties of creating and manipulating block diagrams. We will use block
diagrams to simplify concepts and systems throughout this book and having a firm grasp of how to
use them to help you solve problems is critical for any control engineer.

Once written, the rest of the book will cover transfer functions, how we represent systems with
block diagrams, and concepts like system stability, time, frequency, discrete domains, and system
identification. We’ll then cover how we use specialized plotting tools like Root Locus, Nyquist plots,
and Bode plots to analyze and understand our system. Later chapters will describe compensation
techniques like lead and lag, loop shaping, and PID.

By the end of this book I hope you realize that control system theory is so much more than just
tuning a PID controller or getting an inverted pendulum to stand upright. It’s building models of your
system and simulating it to make predictions, it’s understanding the dynamics and how they interact
with the rest of the system, it’s filtering out noise and rejecting outside disturbances, it’s designing or
selecting proper sensors and actuators, and it’s testing your system to ensure it’ll perform as expected
in an unexpected environment.

Now before you proceed any further I want to thank you for reading this book2 . I hope you gain a
better intuition into control theory and ultimately you become a more well-rounded engineer.

Brian Douglas
https://www.engineeringmediallc.com

2 and the preface! Who reads the preface anyway?

 CHAPTER 1. THE CONTROL PROBLEM

1 The Control Problem

Engineering projects are typically complex. Dividing complex projects into
smaller pieces, or systems simplifies the problem because it allows people
to specialize in their functional area and not have to be a generalist in all
In this chapter, we’ll get an overview of the big picture problem that we’re areas. Therefore, as a specialist, you might be working on just one of the
trying to solve as control system engineers. This will give context to ev- interconnected parts that form the entire system. However, there might be
erything we’ll cover in later chapters and in doing so I think will help you many layers of complexity such that the small part you are working on is
understand why you are learning the topics presented in this book. actually a complex system in its own right!

The same is true for specialists in control theory. As a control engineer, your
1.1 What is a system? goal is to create something that meets the functional or performance require-
ments you set for the project. In general, we refer to the collection of the
To begin we describe exactly what a system is. The concept is really straight
interconnected parts that are created specifically to meet these requirements
forward but since the term is so generic we tend to apply the word to de-
as the control system. For any project other than the very simplest ones,
scribe just about everything. This can get confusing to someone new to the
however, the control system again might be a collection of interconnected
field when we refer to something called the control system which is then
parts that require specialists like sensor experts, actuators experts, digital
used to control the actual system and when put together the two parts make
signal processing experts, or state estimation experts.
yet another larger system. As someone learning control theory the question
becomes what system am I working on? To answer this let’s start with the To illustrate this, let’s imagine that you have accepted a job at an automotive

definition and work from there. company and you will be working on the braking system. At first glance,
you might suspect that you will be involved in all parts related to slowing

A system is a collection of interconnected parts that form a larger more the vehicle. However, there are many parts to the braking system on your

complex whole. car and it takes many different specialists to design the complete product.

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The most obvious component is the disc brake assembly in each wheel. This There is the mechanical parking brake system that bypasses the hydraulic
is the part that is actually converting the car’s kinetic energy into heat energy system with a secondary cable path to the brakes. The brake light system is
and reducing the vehicle’s speed. Yet the disc brakes are small systems on responsible for lighting the tail lights and that annoying dashboard light that
their own because they are made up of rotors, calipers, brackets, shielding, tells you the parking brake is engaged.
fasteners, and hoses which allow the disc brakes to function correctly.

Finally, there are any number of electronic brake control systems that over-
Engaging the brakes requires the brake hydraulic system which is respon-
ride the human input to keep the vehicle from skidding on slick surfaces or
sible for transferring the pressure applied by your foot at the brake pedal
a distracted driver from crashing into the car in front of them.
through the power booster, dual master cylinder, and the combination valve
and finally to the brake calipers at each of the four wheels.

All of these smaller systems - the brakes, hydraulics, parking brake, lighting,
and electronic controls - are the interconnected parts that form the larger
and complete braking system. Furthermore, the braking system is just one
of many interconnected parts that create the car itself.
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As a control specialist in the brake department you might be responsible for Typically we define the system in the box with a mathematical model that
writing and testing the algorithm for the electronic brake control system but describes its equations of motion. At the moment we don’t need to worry
have very little impact on, say, the cable routing for the parking brake. about the math, the most important thing is that we understand what this
box means physically. For example the system could be really simple like
Defining different systems allows complex projects to exist but it does create
a single disc brake with the inputs being the force of the hydraulic fluid
this potential confusion of everything being called a system. To mitigate
and the output being the temperature of the rotor. Or the system could be
this, depending on the field you work in, there is usually a term for each
complex like the entire car and have hundreds of inputs and thousands of
of the different hierarchical levels of complexity in a project. For example,
outputs.
a couple of parts creates a component which in turn creates a subsystem
which then finally creates a system. I’m not going to try to define where the
boundaries are between each of those because every industry and company
do it differently. However, it is important that you recognize this and are
clear on what someone is specifically referring to when they ask you to
design a controller for some system. In this book, I will try to be explicit
when I say system because what I’m referring to will change based on the In both cases, our graphical representation would look similar; a box with
context of the problem. arrows going into it and arrows coming out of it. Later we will string several
systems (boxes) together to create complex block diagrams. These block
In general, we will represent any system graphically as a box. Arrows going
diagrams will contain the relevant interconnected parts of an even larger
into the box represent external inputs acting on the system. The system then
system. For the next section, however, this single box representation will
responds over time to these inputs to produce an output - which are arrows
give us some insight into three different types of problems that we’ll face
leaving the box.
throughout this book and as practicing engineers.

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1.2 The three different problems • How can I model the system that I’m trying to control?
• What are the relevant dynamics for my system (what should I model)?
You will notice that there are three parts to our simple block diagram; there • What is the mathematical equation that will convert my known inputs
is the box itself which represents a system, the inputs that are driving the into my measured outputs?
system, and the outputs that the system generates. At any given time one
There are at least two ways that we can answer these questions. The first
of the three parts are unknown to you, and whichever part you don’t know
is referred to as the black box method. Imagine you are given a box that
defines the problem that you are trying to solve.
you can not open but you are asked to make a model of what is inside. You
could subject what is in the box to various known inputs, measure the result-
1.2.1 The system identification problem
ing outputs and then infer what’s inside the box based on the relationship

As a student, you are usually given a mathematical model of your system between the two.

at the start of your problem and then asked to perform some analysis of
it or asked to design a control system around it. However, as a practicing
engineer you won’t always be given a model of your system1 , you’ll need
to determine that yourself. Determining the mathematical model is done
through a process called system identification.

The second way to perform system identification is referred to as the white

box method. Imagine now you are able to see exactly what is inside the box -
all of the electronics, mechanisms, and software. Knowing the components
You might be doing system identification if you find yourself asking the
of the system you can write the mathematical equations of the dynamics
following questions:
1 In
directly. This is exactly what you’re doing when you use Newton’s equa-
fact, you’ll almost never be given a model since what you’re working on is very likely the
first of its kind

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tions of motion or you are determining the equations of motion based on the
energy in the system.

To test for the spring constant, you could hang a known mass hang from the
You might argue that the white box method is simpler than the black box spring and measure how much much the spring stretches from its rest length.
method because you don’t need to run a test to write out the equations of The input into the system is the force that the mass is exerting on the spring
motion, but that’s not always true. Even with this white box method, you and the output is the stretched length of the spring. We can tell from the
may need to apply known inputs to the system and measure the outputs so relationship between the input forces and the output lengths that the spring
you can calculate any unique parameters for your system. For example, you constant is 2 N
m.
might need to model a linear spring - the equation of motion is well known
Often, you’ll find that when you are trying to write out a model of your sys-
- but you will have to perform a stretch test to determine the exact spring
tem, you’ll use both the white box method (writing equations directly) and
constant for it2 .
the black box method (determining unique aspects of your system through
testing). System identification is an important aspect of designing a control
system, and therefore, this book will devote an entire part to it.

1.2.2 The simulation problem

2 I know you might be thinking, ‘but I’ve been given the spring constant from the manufacturer

so I don’t have to perform that test!’ And to that I have two responses, 1) if the parameter is really The simulation problem is predicting how your outputs change given a
important to you, are you really going to trust the manufacturer’s datasheet? And 2) if you are fine
with the accuracy stated in the datasheet then this is a case where you were given enough information known set of inputs and the mathematical model of the system. This prob-
to write a model of your system without a test.

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lem is interesting because you’ll likely spend a lot of your design time in could save your project a lot of money. More importantly, flight tests can
this stage. The trick here is figuring out the set of meaningful inputs and be dangerous to perform if you are trying to push the limits of your system.
their ranges so that you have a complete idea of how your system behaves. Rather than risk project budget, and possibly human life, it makes more
sense to simulate your system in these extreme situations.

You might need to run a simulation if you find yourself asking the following
questions:

• Does my system model match my test data?

• Will my system work in all operating environments?
• How does my system behave if I drive it with potentially destructive
commands?
1.2.3 The control problem
To see how simulation is important, imagine you have a very good model
of a passenger airplane and you’re designing a pitch control system for it. Lastly, if we know the model of the system and we know how we want
You want to know how your system behaves across the entire envelope the the system outputs to behave then we can determine the appropriate inputs
aircraft will operate in and you’re weighing the different ways you can test through various control methods. This is the control problem - how do we
this. You could use a test airplane and fly it in every operating condition generate the appropriate system input that will produce the desired output?
it could expect to see during its life and directly observe its behavior. The Control theory gives you the tools needed to answer that question. With-
problem with this approach is that the operating envelope is huge3 and flight out control theory, the designer is relegated to choosing a control system
test campaigns are expensive and so minimizing the amount of flight time through trial and error.
3 Youneed to make sure that your pitch control system will function across all operating altitudes,
wing angles of attack, air speeds, center of gravity locations, flap settings, and weather conditions.

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4. You analyze the performance of your plant. After you determine the
performance does not meet the desired goals, you design a CONTROL
system that will give you the necessary performance.
You might need to design a control system if you find yourself asking the 5. You now SIMULATE a larger number of inputs to cover the opera-
following questions: tional envelope of your system. You verify the control system design

• How can I get my system to meet my performance requirements? by comparing the simulated results to real test data for a subset of the

• How can I automate a process that currently involves humans in the simulated test inputs.

loop? 6. You make adjustments to your CONTROL system based on the sim-

• How can my system operate in a dynamic and noisy environment? ulation results - making the system more robust to a wider range of
conditions and environments.
This book covers the fundamentals needed to design a control system, but
7. Having completed the preliminary control system design, you add more
that doesn’t mean that it focuses solely on the control problem. In order to
fidelity to your model with better representations of the plant, sensors,
design a control system, you usually have to solve the system identification
and actuators using SYSTEM IDENTIFICATION.
problem as well as the simulation problem. Often, all three have to be solved
8. You continue cycling through steps each of these steps until you have
more than once as you refine and modify your design. Here is one example
confidence in your model and your control system.
of how you could use all three in the course of building a controller.
This book will lay out the fundamental tools needed to perform each of
1. You are given a plant and asked to meet some performance goals.
the above steps and in doing so I think you’ll find that control theory can
2. You first build a mathematical model of your plant using SYSTEM
be challenging but a lot of fun and very intuitive. Before we move on to
IDENTIFICATION.
learning these tools let’s take a step back and describe in more detail why
3. After you get a model, you SIMULATE a few simple, known inputs
we need control systems in the first place.
and compare the outputs to the real system. This is a model verification
step to make sure it represents the physical plant well enough.
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1.3 Why do we need a feedback control system? The actuators are driven by an actuating signal that is generated by the con-
troller. The controller is designed specifically to convert a commanded vari-
Let’s start with our simple system block diagram, but now the box isn’t just able - which comes from someone operating this device or from a higher
any system, it’s specifically a system that we want to control. From now on level control system - into appropriate actuating signals. At this point, we
we’ll refer to the system that is being controlled as the process4 . The inputs have our first, and simplest, control system. As the operators, we could now
into the process are variables that we have access to and can change based select a set of pre-determined commands that we play through our controller.
on whichever control scheme we choose and so we’ll refer to them as the This will generate the resulting actuator commands which in turn affect the
manipulated variables. manipulated variable which then affects the process in a way that we desire.
This type of control system is referred to as open-loop since the inputs into
These variables are manipulated by an actuator. An actuator is a generic
the controller are not fed back from the output of the process.
term that refers to a device or motor that is responsible for controlling a
system5 . Since the actuator is a physical device and is usually embedded Open-loop control systems are typically reserved for simple processes that
within the process itself it can be useful to refer to the collection of both have well-defined input to output behaviors. A common household example
process and actuators as a single system that we’ll call the plant6 . of an open-loop control system is a dishwasher. This is an open-loop system
because once the user sets the wash timer the dishwasher will run for that
set time. This is true regardless of whether the dishes are actually clean or
not when it finishes running - that is, the cleanliness of the dishes are not
fed back into the dishwasher timer to increase or decrease the wash time.
If the dishes were clean to begin with the dishwasher would still run for
4 Or if you lack creativity you could just call it the controlled system the prescribed time and if you filled the dishwasher full of pots with baked
5A car’s engine and drive train are obvious actuators because they generate the force that
manipulates the speed of the car (the process), but actuators can be less obvious as well like a voltage on grime then the set time might not be enough to fully clean them and
regulator in an electrical circuit
6 Other textbooks and online resources might use plant and process interchangeably so be aware would have to be run again. We accept this inefficiency in the run time of
of that when referring to them. In this book, however, I will stick to this definition.

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the dishwasher because the starting process (the dirty plates that we want to system - typically negatively - and an open-loop system will not be able to
be cleaned) is generally well known and therefore the time it takes to clean respond to them since it has no knowledge of the variation in the process
them is pretty consistent. output.

So what can we do about this? We add feedback to our system! We accept

the fact that disturbances and process variations are going to influence the
controlled variable. However, instead of living with the resulting error, we
add a sensor that will measure the controlled variable and pass it along to our
The manufacturers understand though that sometimes you will fill the dish- controller. Now we can compare the sensed variable with the commanded
washer with grimy pots and want it to run for a longer period. Rather than variable and generate an error term. The error term is a measure of how far
build a complicated closed-loop system they have addressed this problem off the process is from where you want it to be and the controller can use this
by adding additional pre-determined commands; that is they add multiple to produce a suitable actuating signal which then produces a suitable manip-
types of cleaning cycles that run for different times and at different temper- ulated variable which finally affects the process in such a way that it reduces
atures. Then it is up to the user to select the correct set of commands to get the error term. The beauty of the feedback control system - or a closed-loop
the desired effect. control system8 is that it is able to react to changes to the controlled variable

For any arbitrary process, though, an open-loop control system is typically automatically by constantly driving the error term to zero.

not sufficient. This is because there are disturbances that affect your sys-
tem that are random by nature and beyond your control. Additionally, the
process itself might have variations that you don’t expect or prepare for7 .
Process variation and external disturbances will alter the behavior of your

7 One example of process variation is the change in electrical resistance over temperature. An
open-loop control system that works at room temperature might not work when your process is 8 The term closed-loop comes from the resulting loop that is formed in the block diagram when

extremely cold or hot due to the variation in resistance throughout your electronics you feed back the controlled variable.

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The feedback structure is very powerful and robust which makes it indis- degree, but the actual definition is broader than you might think.
pensable as a control tool. Unfortunately, with the addition of the feedback
structure comes new problems that we now have to address. We need to
A control system is a mechanism that alters the behavior (or the future state)
think about the accuracy of the controlled variable at steady state, the speed
of a system.
with which the system can respond to changes and reject disturbances, and
the stability of the system as a whole. Also, we’ve added sensors which Sounds like almost anything can be considered a control system, right? Well,
have noise and other inaccuracies that get injected into our loop and affect one of the defining characteristics of a control system is that the future be-
the performance. To counter this last problem we can add redundant sensors havior of the system must tend towards a state that is desired. That means
that measure different state variables, we filter them to reduce the noise, and that, as the designer, you have to know what you want your system to do
then we blend them together to create a more accurate estimate of the true and then design your control system to generate that desired outcome.
state. These are some of the tools we can employ as system designers and
In some very rare cases, the system naturally behaves the way you want it to
part of what we’ll cover in the rest of this book.
and doesn’t require any special input from the designer. For example, if you
want a system that keeps a ball at the bottom of a bowl there wouldn’t be
a need for you to design a control system because the system performs that
way naturally. When the ball is disturbed it will always roll back toward the
bottom of the bowl on its own.
1.4 What is a control system?

From the first few sections you probably already have a vague understand-
ing of what a control system is. You might be thinking that it is something
that makes a system behave in an automated fashion or is something that al-
lows a system to operate without human intervention. This is true, to some
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ball deviated from the top of the bowl the fan closest to it would turn on and
blow the ball back up to the top.

However, if you wanted a system that keeps a ball at the top of an inverted
bowl, then you would need to design a control system to accomplish that.
The set of fans, radar guns, position estimators and control algorithms would
This is because when the ball is disturbed it will not roll back to the center
count as a control system because together they are altering the behavior of
naturally but instead continue rolling off the side of the inverted bowl.
the ball and inverted bowl dynamics. More importantly, however, they’re
driving the ball toward the desired state - the top of the inverted bowl. If we
considered each interconnected part as its own little system, then the block
diagram of the entire feedback system would look something like this:

There are a number of different control systems that would work here. There
is no right answer but let me propose a possible solution - even if it is quite
fanciful and not very practical. Imagine a set of position detecting radar
guns and wind generating fans that went around the rim of the bowl. As the

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This is a very natural way to split up the project as well because it allows as the father of pneumatics due to his published work on the elasticity of
multiple control specialists to work together toward a common goal. Instead air. We can overhear the conversation Ctesibius is having with one of his
of everyone trying to develop all parts of a complicated control system, each students, Heron, about an invention he has just completed - an invention that
person would be responsible for designing and testing their part. Someone you will soon see is directly related to the Fundamentals of Control theory.
would be responsible for selecting the appropriate radar gun and developing
CTESIBIUS: I have done it!
the ball position estimator algorithm. Another person would be responsible
for building the fans and the electronics to run them. Finally, a third person HERON: What is that Master Ctesibius?
would be responsible for developing the control algorithm and setting the
CTESIBIUS: I have invented a mechanism - something rather
system requirements for the fan and radar specialists. Together these three
ingenious I might add - that will allow anyone to know the
ball balancing engineers would make up the control system team.
time of day.

HERON: But Master, we already have a number of ways of

1.5 The first feedback control system
knowing the time. As you well know I can glance over at this

Feedback control systems exist in almost every technology in modern times, sundial and see from the casted shadow that it is just past 11

but there was a first feedback control system. Its story9 takes place in the in the morning.

3rd century BC in Alexandria, Egypt - 2000 years before the Industrial Rev- CTESIBIUS: That is true. The sundial is wonderfully simple
olution, at a time when Euclid was laying out the principles of geometry and and humans have been using it to tell time for at least 3000
Archimedes was yelling "Eureka!" over discovering how the volume of dis- years. But it has its problems. How can you tell the time at
placed water could lead to the density of the object. Our protagonist is the night, or if it is a cloudy day, or if you are inside a building?
Greek mathematician Ctesibius, inventor of the organ and widely regarded
HERON: That’s easy! At those times we use our water clocks.
9 If you’re not interested in a story you can skip this section without loss of continuity in the book
... but c’mon, it’s only a few pages and it’s an interesting tale of the ancient ingenuity that led to We take a container that has a small spigot at the bottom and
modern day control theory

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CHAPTER 1. THE CONTROL PROBLEM CHAPTER 1. THE CONTROL PROBLEM

fill it with water. We let the water drain slowly through the CTESIBIUS: Exactly, that would make it a clock! But what
spigot until it is empty. Since we know how long it takes if you wanted to know the time when the container was not
to empty the container we then know how much time has yet empty?
passed.
HERON: I guess we could see how full the container was by
indicating the height of the water on the inside wall. Then if
the container was three-quarters full we would say that one-
quarter of the time has elapsed.

CTESIBIUS: Hmm, that is once again true, but what you

have described is a timer and not a clock. There is a differ-
ence and it is very important. A timer is a device for measur-
ing how much time has elapsed over some interval, whereas
a clock’s measurement is related back to the time of day. The CTESIBIUS: There is a problem with this method though.
sundial is a clock because we can see that it is 11 am, but us- Can you see it? The water will drain from the spigot much
ing your water container we only know that perhaps one hour faster when the water level is high and the flow will gradu-
has passed since we opened the spigot. ally slow down as it empties. Therefore, a three-quarter-filled
container means that less than a quarter of the time has actu-
HERON: Well, if we started the spigot at 11 am then when
ally elapsed.
it completes we know that it is noon. Then we just start the
process over again to always know the time.

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I can tell that you are not convinced that this is a problem, tainer at all, we just need to know how much water comes
right? You are going to tell me that the markings on the out in an hour. From there, deriving any other time is as
inside of the container don’t need to be uniformly spaced, simple as measuring how much water has been released and
or that the walls of the container could slope inward so that comparing it to the amount released in an hour. Do you have
water level will drop at a uniform pace. any ideas on how to accomplish a steady flow rate from the
spigot?

HERON: Let me think about it. The flow rate decreases be-
cause the water level drops in the container and the pressure
exerted at the spigot is lower. So by keeping the water level
in the container constant, the flow rate will be constant. Ah,
but how do we keep the water level constant?

I got it! I’ll modify the tank. It will have two spigots, a
But this is hiding the real issue. By accepting that the flow
large one at the top and a smaller at the bottom. We’ll feed
rate through the spigot will change over time we need to have
water into this container at a much faster rate than the smaller
some extra knowledge - namely how to shape the inside of
spigot can handle which will fill the container up. Once the
the container or where to mark the non-uniform indications
water level reaches the larger spigot, it will begin to overflow,
on the inside wall. Once we create those markings or that
which will keep the water fixed at that height. Is this your
container then we have no control over it. Any errors in man-
invention Master Ctesibius?
ufacturing will generate errors in our results.

What we really need is a spigot that will have a steady and

continuous flow rate. That way we don’t rely on the con-

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When the water level is high the float is pushed up into the

CTESIBIUS: No, no, no! The overflow tank will accomplish valve such that it shuts off the water supply. As the container

a steady flow rate for sure but in solving our problem you’ve water level decreases, the float drops, allowing the supply wa-

just introduced another one. Your clock will use and waste a ter to flow. The water level will reach a steady state once the

lot of water. This will cause you to need a larger water source float is low enough that the water flowing in is exactly equal

reservoir and that will make your clock less mobile. There is to the water leaving the spigot. The beauty of this is that it

an elegant solution to this problem, and that is what I’ve just is self-correcting! If for some unforeseen reason the water

discovered. level drops in the container, the float drops with it causing
more water to be supplied to the container than it is losing
We still have the same container from before, but it is fed
through the spigot. This has the benefit of filling the con-
by a continuous water supply with a valve with a circular
tainer back up. It’s brilliant!
opening. We place a float in the shape of an inverted cone in
the water container just below the water source inlet. Now we can add a larger container to catch the falling water
and place a second float in there to mark the hour of the day.
We only need as much water as it takes to fill the two con-
tainers in order to know the time all day. No wasted water!

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CHAPTER 1. THE CONTROL PROBLEM CHAPTER 1. THE CONTROL PROBLEM

of a control system engineer - through ingenious design and application de-

velop systems that can regulate an output automatically. However, as you
will see this opens a series of challenging and exciting problems. It will take
mathematics to expose these problems and so now that we have the context
of the problem we’re trying to solve let’s move onto the next chapter and
discuss how we represent the problem mathematically.

HERON: That is brilliant! I bet there are many different ap-

1.6 Try This!
plications where we could use this float regulator.
1. Come up with another possible control system for the inverted bowl
CTESIBIUS: Absolutely. Oh, is it really almost 12 pm? I
problem.
have to run, I’m needed at the Museum of Alexandria. Think
of those other uses for this invention. I’d love to hear what
you come up with.

With 2300 years of technological advancements to base your opinion on,

this cone shaped float might not seem like much but the float regulator would
go on to be used for many applications - in fact, it’s the same technology a) What does your system use for sensors? Actuators?
that is still used in modern day toilets. The real benefit of feedback con- b) Explain some of the benefits and drawbacks of your design?
trol systems is that the system is self-correcting. Now that systems could Consider things like power usage, sound volume, ease of assem-
automatically adjust to the changing environment it removed the need for bly, the ability to scale to larger systems, and coolness factor.
people to be part of the machine operation. This is similar to cruise control
on your car removing you as the controller of your speed. This is the goal

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c) Make a sketch of your control system and point out how you c) The lighting in a room
would split up the project so that multiple people could work on d) The fly-by-wire system on an aircraft
it. e) The population of a colony in an area with limited resources

2. What additional applications are there for the float regulator? These
can be problems that have been solved by a float regulator and those
that could be solved by them.

3. How do humans act as the control system and how do they ‘close
the loop’ with machines? As an example think about what a person
is doing when they’re driving a car.

4. Find examples of control systems in your everyday life (closed loop,

open loop). Control systems don’t always need to be machines,
think about how feedback control is part of your relationships, your
approach to studying for an exam, or the cycle of being hungry and
eating.

5. Describe each of the following control systems. Determine the in-

puts, outputs, and process. Describe whether it is open-loop or
closed-loop.
a) Your home air conditioning system
b) Sprinkler system for your lawn

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 Chapter Credits 2 Transfer Functions

Meg Douglas Kirkland, Washington Benjamin Martin Dubai, UAE As an engineer, it is crucial that you are able to describe your system in an
Federico Pistono 1 AU Wong, C.J. Zootopia efficient and useful manner. What is efficient and useful, however, changes
depending on the context of your problem. For example, the first chapter
explained systems conceptually so they were depicted with drawings illus-
Thanks for making this chapter awesome! trating the collection of parts that make them up. The drawings were also
complemented with descriptive words to help you understand what the draw-
ings represented.

If, however, your problem is to build a controller that alters the behavior of
your system then words and pictures are no longer the most efficient and
useful way to represent your system. For example, imagine you were given
the following description of a restrained cart and asked to describe how the
cart moves if a force of 1 Newton is applied for 1 second.

36 You could probably reason through this problem by imagining that while the
force is applied the cart will begin to accelerate in the direction of the force

37
CHAPTER 2. TRANSFER FUNCTIONS CHAPTER 2. TRANSFER FUNCTIONS

- faster at first but slowing as the restorative force from the spring grows. At this point we are left with a single 2nd order ordinary differential equation,
Once the applied force is removed the cart will spring back toward its rest- mẍ(t) + bẋ(t) + kx(t) Finput (t) = 0. We call this the mathematical model
ing state. The damper will remove energy from the system, and depending of the system. The external input, or the excitation into our model, is the
on its relative strength, will either cause the cart to oscillate with a shrink- force applied to the cart, Finput , and when we solve the differential equation
ing amplitude or will cause the cart to asymptotically return to its starting we get the position of the cart over time, x(t).
position.

Not a bad description - but if you were tasked with developing a system that
automatically adjusted the applied force so that the cart followed the desired
profile, then this description of the system would not be sufficient.

So what can we do?

We describe the system mathematically. We do this by writing the equations

of motion in the form of differential equations. From the description of
the problem, the equations of motion can be written directly using a free-
body diagram. The mass, spring constant, or damping coefficient were not
specified so we can make them variables, m, k, and b, respectively1 . A differential equation is great for solving for the response of a system but it
doesn’t lend itself very well to analysis and manipulation, and this is some-
thing that we absolutely want to do as control engineers. The whole point
is to analyze how the system naturally behaves and then manipulate it so it
behaves the way we want it to. Luckily there are other ways to represent a
mathematical model which makes the control engineer’s job easier.

The two most popular representations, and the two that we’ll cover in depth
in this book, are state space representation and transfer functions. Loosely
speaking, transfer functions are a Laplace domain representation of your
1 It’s important to remember that most of the time when you are trying to solve the control system and they are commonly associated with the era of control techniques
problem you also have to solve the system identification problem and the simulation problem as well. labeled classical control theory. State space is a time domain representation,
Writing out the equations of motion is part of system identification and is the white box method
that was introduced in the first chapter. Beyond this, however, finding the appropriate m, k, and b packaged in matrix form, and they are commonly associated with the era
requires testing of your system and this is part of the black box method. labeled modern control theory.
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Yikes, that was a lot to take in! Don’t worry if that didn’t make any sense.
Transfer functions are too important in control theory to gloss over quickly
so we’ll walk through each of those terms very carefully and explicitly. That
way not only will you have a good idea of how to use transfer functions but
you’ll learn why and when to use them as well.

Before we jump into explaining the definition of a transfer function let’s set
up an example where representing our system as transfer functions make the
control engineer’s job easier. Let’s take the inverted bowl control problem
from the first chapter. Before a control system can be designed that will
keep the ball on top of the inverted bowl, we first need to understand the
Each representation has its own set of benefits and drawbacks and as a con-
behavior of the entire system. That means when we apply a command to the
trol engineer, you will need to be very familiar with both. Don’t get too
fan we want to know how that affects the estimated ball position.
hung up on the labels classical and modern. In this book, we won’t separate
classical control and modern control into two separate sections. Rather, we
will derive techniques and solve problems using whichever method is most
appropriate. This way you will become comfortable switching between rep-
resentations, and therefore switching between the set of tools that you can
use as the problem requires.

In this chapter, we will focus on transfer functions and so to begin let’s start
with the formal definition.

A transfer function is the Laplace transform of the impulse response of

a linear, time-invariant system with a single input and single output when
you set the initial conditions to zero. They allow us to connect several Let’s say we apply a step command to the fan - for example, to go from off
systems in series by performing convolution through simple multiplica- to half of its max speed2 . There is a delay as the fan has to accelerate over
tion. some time period to get to speed and after which there is some variation
2 You do this whenever you turn on a house fan to medium

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in fan speed due to physical disturbances in the system. The output of the we need to learn what an LTI system is and review a small amount of linear
fan system is air velocity which is subsequently the input into the inverted theory.
bowl dynamics. The bowl dynamics system calculates the force on the ball
When you model your system you get to choose the set of mathematical
from the air and uses that force to determine how the ball moves. The true
operations that map the system inputs to the outputs. This is a fancy way
ball position is then sent to the radar sensor model which produces a relative
of saying that you get to derive the differential equations that represent the
distance to the radar gun. Just like the fan, the radar system introduces more
behavior of your system and since you are in charge of your model you can
delay and it also adds errors in the measurement. The relative ball position
decide what to represent and how complex your representation is.
is then used to estimate where the ball is in the bowl frame which is the final
output of our system. You have dozens of mathematical operations at your disposal, however, I’m
going to make a case for representing the system as linear, time-invariant,
We could write out the differential equation for the entire end-to-end system
in which case you actually can choose only from a few mathematical opera-
which relates the fan command to the estimated ball position, but this would
tions. There are so few in fact that we can easily list every one of them.
be difficult to do because of how complex each of the parts are individually.
Also, recall that we separated the system into smaller, more manageable
parts so that we could have several engineers working simultaneously on
the problem. Therefore, what would be ideal is a way to represent each part
separately and then combine them into a full system later. This would allow
each engineer to write out a simpler mathematical model of their own part
and supply it to the person responsible for pulling the model together and
designing the control system for it.
If you can model your system with some combination of these six opera-
So with this example in mind let’s walk through the explanation of transfer tions, and only these six operations, then you can make assertions about
functions and see why they are the perfect representation for our problem. how the output of the system will change based on changes to the input.
This is because all LTI systems have the following properties; homogene-
ity, superposition, and time-invariance. These properties are what cause the
2.1 LTI Systems
system to behave in predictable ways. To understand what these properties
mean let’s walk through them one at a time.
According to our formal definition, transfer functions require that you have
a linear and time-invariant (LTI) system. To understand why this is the case For these examples, I’m going to represent a collection of linear operations
with the linear operator, h. With this notation, y(t) = h(x(t)), can be read as
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the operator, h, provides a linear mapping between the vector x(t) and the
vector y(t).

Homogeneity means that if you scale the input, x(t), by factor, a, then the
output, y(t), will also be scaled by a. So in the example below, a step input
of height A produces an oscillating step to height B. Since h(x) is a linear
system then a step input that is doubled to 2A will produce an output that is
We can describe these properties formally as:
exactly doubled as well.

Or more generally, and if you make the substitution that y(t) = h(x(t)), we
can combine homogeneity and superposition into one large definition.

Superposition, or you might also hear it called additivity, means that if you A system is defined as a linear system if it has the two properties homogene-
sum two separate inputs together, the response through a linear system will ity and superposition.
be the summed outputs of each individual input. In the example below the
step input, A, produces output, a, and the ramp input, B, produces output, b. Side note: Don’t mistake a linear system and a linear equation. They are
Superposition states that if we sum inputs A + B then the resulting output is two separate things. We’ve just described a linear system, it is a mapping
the sum a + b.
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between two vector spaces that obeys the properties of homogeneity and The restrictions required by an LTI system are severe3 , so severe in fact
superposition. A linear equation, on the other hand, is an algebraic ex- that no real physical system meets them. There is always some aspect of
non-linearity or variation over time in the real world.
pression where every term is a single, first-power variable multiplied by
a constant.

A well-known example of a linear equation is the equation of a line in a

two-dimensional plane, y = mx + b. You can verify that this equation is
not homogenous because, for example, the output is not doubled when
you double the input, 2(mx + b) , m(2x) + b.

Linearity is only the first part of an LTI system. The second part, time
So you might be thinking, "great, we know how we can scale, shift, and
invariance, refers to a system behaving the same regardless of when in time
sum inputs into an LTI system, but if they don’t represent real systems then
the action takes place. Given y(t) = h(x(t)), if we shift the input, x(t), by
why are they so important and how does it help us understand transfer func-
a fixed time, T , then the output, y(t), is also shifted by that fixed time. We
tions?"
can write this as y(t T ) = h(x(t T )). Sometimes this is also referred to
as translation invariance which covers translation through space as well as To answer your first question I think theoretical physicist, Richard Feyn-
time. Here’s an example of how shifting the input results in a shifted output man, said it best when he said "Linear systems are important because we
in a time-invariant system. can solve them." We have an entire arsenal of mathematical tools that are
capable of solving LTI systems and, alternatively, we can only solve very
simple and contrived non-LTI systems. Even though no real system is LTI
there are, however, a wide range of real problems can be approximated very
accurately with an LTI model. As long as your system behaves linearly
over some region of operation, then you can treat it as LTI over the region.
You can create a linear model from a non-linear equation through a process
called linearization which is a skill that we’ll cover in a later chapter.
3 We only get to choose from 6 operations?! That’s like restricting Van Gogh to just the color

brown!

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To answer your second question, we know that the definition of transfer

functions requires that the system is LTI, but we haven’t gotten to why. To
answer that question we need to talk about the impulse function.

2.2 Impulse Function

An LTI system can be fully characterized by knowing how the system be-
haves when an impulse is applied to it. The resulting output of a system You can also represent this mathematically by stating that the function re-
that is subjected to an impulse function is called the impulse response of the turns a value of positive infinity at time zero and returns a value of zero at
system. all other times. Additionally, the impulse function is defined such that the
You probably already have a general idea of what an impulse is4 , but just integral of the function is one. Or to put it differently, even though the func-
to be clear let’s define it here. The impulse function is a signal that is in- tion is infinitesimally thin, and therefore has no thickness and so no area,
finitesimally short in time but has infinite magnitude. It is also referred to when we perform an integration on the function we say that it actually does
as the Dirac Delta function, which is named for Paul Dirac, the theoretical have area and define that area to be one unit.
physicist who first introduced the concept. I’ll use the terms impulse func-
tion and Dirac Delta function interchangeably throughout this book. Since
it is impossible to draw a line that is infinitesimally thin and infinitely tall
we represent a Dirac Delta function as an arrow pointing up at the time the
impulse is applied.

Being able to integrate the Dirac Delta function is crucial because we can as-
sign it to physical properties and perform mathematical operations on those
properties like we would with real finite functions. For example, the impulse
4 An impulse is that sudden and strong urge to buy a snack in the checkout line at the grocery
could represent the force you exert on a 1kg mass.
store

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We know that acceleration is force divided by mass. Therefore, if the force Here is our system drawn out in block diagram form so you get a better idea
was infinite we’d find the object would experience infinite acceleration - not of the input to output relationship.
a useful result. However, if we integrate the acceleration over time we get
the object’s velocity. Using the definition of the integral of the impulse
function we find that the mass accelerates instantly to 1 m/s - and this is a
useful result. We can use the impulse function to change the state of the
system in zero time, or in this case, we were able to mathematically give the
mass an initial velocity of 1 m/s.

Let’s walk through a thought exercise using the impulse function and see if
we can start to tie this back to LTI systems and eventually back to transfer
functions. Imagine you have a block sitting on a table and you hit it with We still call it the impulse response regardless of whether we treat this sys-
a hammer. This would be very close to an impulse because the hammer tem as LTI or not5 , however, for the sake of this thought exercise, we’ll say
would apply a very large force to the block over a very short period of time. that our system behaves like an LTI system so that we can take advantage of
This would give the block an instantaneous initial velocity and start it sliding the LTI properties of homogeneity, superposition, and time invariance.
across the table. The block would then slow down over some amount of time
due to friction and would eventually stop. The resulting change in velocity To continue, let’s say that after the mass came to rest we hit it again with
over time is the impulse response of the system. the hammer but this time half as hard. Since this system is time invariant
we know that if we shift the impulse by time T then the impulse response
is also shifted by T. Additionally, because the system obeys homogeneity,
5 Non-LTI systems still respond to impulses, we just can’t infer as much about the system from

the impulse response as we can with LTI systems.

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if we scale the input by one-half then the output will also be scaled by one- If the input into our system is a series of impulse functions then we know
half. Finally, due to superposition, we know the motion of the block is the how to sum the individual responses to create the total response of the sys-
summation of the first impulse response and the second impulse response. tem. This brings up the question: what if our input isn’t an impulse func-
tion? Is there something we can claim about the response to any arbitrary
input if we know the impulse response?

We can see the power of summing the impulse responses of an LTI system
by striking the block multiple times in quick succession.
Well, this is a completely acceptable question because there is no such thing
as an ideal impulse in real applications. Infinitely high and infinitesimally
thin are concepts that can’t physically happen. Therefore, let’s see how we
extend our summing technique to real continuous inputs using the convolu-
tion integral.

2.3 Convolution Integral

The convolution integral is a mathematical operation that you perform on

two functions - we’ll call them f (t) and g(t) - and it is written in shorthand
notation as an asterisk or a star. Since the convolution integral resides in the
mathematical domain a lot of effort is spent solving the integral for a number
of unique and interesting input functions. However, being able to solve the
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integral usually does not help the student understand what the convolution
integral is doing or why it works in the first place. Hopefully, by walking
through how it relates to ‘playing’ arbitrary inputs through an LTI system
this chapter can make convolution a little less convoluted6 .

This isn’t a bad visual explanation of the convolution integral, but it still
doesn’t explain why this produces a function that means anything. So let’s
The convolution integral might look daunting at first, but there are really answer that by deriving the integral from scratch. We’ll accomplish that by
only three parts to the equation; (1) you reverse the input function g(t) and solving the problem we started with: how to play arbitrary inputs, f (t), into
shift through all of time, (2) you multiply the reversed and shifted g(t) by an LTI system and determine the response.
f (t), and (3) you sum the product over all of time.

You can picture this graphically by taking a time history of g(t), drawing it
backward, and sliding it across f (t). The value of the output function is the
area under the two input functions when they overlap.

Let’s magnify f (t) and just look at the very beginning of the function. In
fact, we’ll just look at the first infinitesimally thin slice of the input function,
dt. The area under the curve for this brief portion can be approximated as
f (dt) · dt, or in words, the height of the function times the width of the
slice.

6 See what I did there?

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We’ve converted the input, for just this small slice, dt, into a scaled im-
pulse function, f (dt) · dt · d (t dt). Since this is an LTI system, we can
assert what the system response will be to this input. That is, we know the
response to this time-shifted impulse function, it’s just the time-shifted im-
pulse response of the system, g(t dt)8 . Through the homogeneity property
of LTI systems, scaling the input function by f (dt) · dt scales the output by
the same amount. Therefore, after dt time, we are left with the following
scaled impulse response.

This assumes that f (t) is constant for the entire slice of dt, hence it’s an
approximation. However, if we take the limit as dt ! 0 then this becomes
the exact area under that instant of the curve and if we sum each dt over
all time then we get the area under the entire curve7 . More about taking the
limit later, for now, we’ll just assume dt has a thickness and this process is
just an approximation.
If we plot the system’s response to just this first scaled impulse then it would
Since we have the area under this slice we can replace just this small section look like the graph below on the left. Notice, however, if dt is extremely
of f (t) with a single scaled impulse function. The impulse function has an small then the impulse response will be scaled way down and you wouldn’t
area of 1 so if we multiply it by the area under our slice we’ve essentially even notice its impact.
scaled the impulse function to have a similar area.

But don’t worry! We will move onto the second dt slice and you’ll start to
see a pattern building.
7 You’ll notice we just described standard integration of a function 8 That makes sense!

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summation operation and stepping through an infinite number of i steps.

This is discrete convolution and it is how computers perform the operation.
Remember this is an approximation - we have to take the limit as dt ! 0
for it to be exact. When we do this, each discrete step is replaced with
a continuous operation and the summation operator becomes the integral
operator.

Each time you move to the next dt you replace it with a scaled impulse
function. This produces a scaled impulse response that is shifted in time
to correspond to when the impulse function occurred. This shift in time This is the continuous time convolution integral function that we started
is permitted because, again, our system is LTI and therefore time invariant. with - with one small difference; the integration limits go from zero to infin-
Also, each individual impulse response - which has been scaled down to ity in our example and negative infinity to infinity in the original function.
almost nothing - is summed together using the property of superposition. This is one of the differences between a purely mathematical function and
As you move along the input function you are creating layer upon layer of one that is used in practical applications. In engineering, often our signals
infinitesimally small impulse responses that build on each other. start at time zero and since there is no signal between negative infinity and
zero we don’t bother performing the integration over that region. However,
you’ll end up with the same answer regardless of whether the lower bound
is negative infinity or zero.

An interesting observation: Multiplying two polynomials together can

be accomplished by performing the discrete convolution of the polyno-

We can proceed through each of these discrete dt steps until we get through mial coefficients. To understand this let’s look at how you would ap-
the entire input function. We can write this in a compact form using the
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proach multiplying two, two-term polynomials, using the popular, but

ultimately limiting FOIL method.

This is exactly what discrete convolution is doing. We can define the first
polynomial as the vector [1, 2, 3] and the second polynomial as the vector
I say this is limiting because this rule of thumb breaks down for multipli-
[3, 0, 1]. To perform discrete convolution we reverse the order of one of
cation involving a polynomial with more than two terms.
the vectors, sweep it across the other vector, and sum the product of the
two.

Therefore, if you realize that polynomial multiplication is really no dif-

ferent than regular multiplication you’ll notice that all you are doing is
multiplying every term with every other term and summing like units. In fact, with the program MATLAB, you can perform polynomial multi-
This example multiplies x2 + 2x + 3 and 3x2 + 1. plication using conv, the command for discrete convolution.

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f = [1 2 3];
g = [3 0 1];
w = conv(f,g)

w = 3 6 10 2 3

This corresponds to the polynomial 3x4 + 6x3 + 10x2 + 2x + 3.

Convolution gives us the ability to determine an LTI system’s response to

any arbitrary input as long as we know the impulse response of the system.
Going back to our inverted bowl problem we now have a way of stepping our
fan commands through each separate system in order to determine how the
total system behaves. We would first convolve9 the fan commands with the We’ve successfully played our commands through the entire system but per-
impulse response of the fan. The output would be the air velocity which we haps you see a problem with this method. Namely, the convolution inte-
would then convolve with the impulse response of the inverted bowl system. gral seems pretty messy and preforming that integration for arbitrary inputs
That output would be the true ball position that we would convolve with would be overly cumbersome. You are correct, it is no fun! Not only is it
the radar sensor impulse response to generate the measured ball’s position. difficult to perform the integration but convolution doesn’t allow us to eas-
Finally, we’d convolve that output with the estimator impulse response to ily combine several systems into a single large system. For example, if we
give us the estimated position that results from the initial fan commands. wanted to produce the differential equations that relate the fan commands
directly to the estimated ball position without having to go through each
step along the way then convolution isn’t going to help us.

What will help us? You guessed it, transfer functions. We can perform
convolution with transfer functions as well, but the good news is that we do
that using multiplication rather than integration. In order to continue on our
journey to the transfer function, we need to leave the comfort of the time
domain and venture out into the frequency domain.
9 Yes, the verb is convolve. It’s not convolute, convolt, or convolutionize.

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2.4 The Frequency Domain and the Fourier Transform

In this section, we will cover a brief introduction to the frequency domain

and the Fourier Transform. I say it’s brief because a full treatment of the
material would be a whole book on its own. The goal of this section, how-
ever, is not to fully understand the math involved in getting to and from the
frequency domain but rather to provide just enough information to grasp its
importance to transfer functions and to understand why the frequency do-
It makes sense to think of this type of equation in the time domain and it’s a
main makes our lives easier as control engineers. At first glance going to
little comforting to be able to relate the result back to a physical experience.
the frequency domain will seem like an inconvenient step but as you will
learn, and practice throughout this book, it will be well worth the effort. However, let’s move past the walking example and imagine a mass sitting
on top of a spring. If we applied an impulse force to the mass it would start
It’s easy to understand the physical meaning of time domain equations be-
to bounce up and down like a jack-in-the-box. If there was no damping in
cause we experience life in the time domain. You have probably worked
the system or no loss of energy in any way10 then the mass would continue
with equations that had, for example, parameters that changed as a function
to bounce up and down forever.
of time. Distance = velocity ⇤ time is a well known kinematic equation that
describes an object’s motion while moving at a constant velocity. Think
back to when you were traveling somewhere - for example walking to your
friend’s house. Perhaps after 10 minutes you were a fourth of the way there
so you do some quick mental math and predict that it will take you about 30
more minutes to get to their house. Plotting the journey through time on one
axis and the journey through space on another axis produces your motion as
a function of time, f (t).
Forever is pretty hard to graph in the time domain, but more importantly, it
can be difficult in some situations to observe meaningful behavior when you
only see a system’s time response.
10 We can write an equation for a system that doesn’t lose energy but just like a linear system, this
can’t physically happen. In real life, there is always a loss of energy - usually from friction which
generates heat which then leaves the system through convection, conduction, and radiation.

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The last two equations come from the two known initial conditions. We
know the initial position is at rest resulting in x(0) = 0. We also know from
For this particular system we can fully characterize the response by defining earlier that the impulse force generates instantaneous velocity equal to 1
just three parameters; the frequency of the bouncing, the amplitude of the divided by the mass of the object which gives us ẋ(0) = 1/m. It’s negative
bouncing, and the phase shift corresponding to the starting position of the since the force is applied in the negative direction.
mass. We can see this clearly by deriving the time domain equations of
motion for the system.

Since we’re accounting for the input force as an initial velocity we set the
force to zero in the first equation. At
q this point a little algebra gives us
k
From here we can solve the differential equation, mẍ(t) + kx(t) = f (t), by the frequency of the bouncing, w = m, the initial starting point for the
assuming the solution is in the form x(t) = Acos(wt + f ) and then solving bouncing, f = p p1 .
2, and the amplitude of the bouncing, A =
km
for the three unknown coefficients, A, w, and f . Since there are three un-
knowns we need three equations to solve for them. For the first equation we
can calculate the 2nd derivative of x(t) and then with x(t) plug them into our
equation of motion.

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main the signal could look random and chaotic, but in the frequency domain,
it is represented very cleanly.

We’ve just shown that the motion of the blockq is described in the time do-
main by a simple cosine wave, x(t) = p cos( mk t + p2 ), and if we wanted
1
km
to plot this in the time domain then we’d need an infinite amount of paper.
However, to recreate a cosine wave we only need to know its frequency,
amplitude, and phase and we can plot that information easily using two sep-
arate graphs; one for amplitude and one for phase. When we start thinking
about a signal in terms of frequency, amplitude, and phase we’ve moved out It’s important to realize that we aren’t losing any information when we rep-
of the time domain and into the frequency domain. That is we are thinking resent a signal in the frequency domain, we’re just relating the exact same
of a signal in terms of the characteristics of the frequencies that make it up information in a different format.
rather than how it changes over time. If our time domain equation is just a series of cosine waveforms, as the
previous example was, then it’s easy to see how you could transform that
equation to the frequency domain - just pick out the three parameters for
each cosine and plot them. However, it is not always the case that a time
domain signal is written as the sum of a set of cosine waves. In fact, it is
more often not the case. For example an extremely simple, non-cosine, time
domain function is 0 for t < 0 and 1 for t 0.

You can really see the benefit of viewing a signal in the frequency domain
when your solution is made up of more than one cosine wave. In the time do-

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Even though this looks decidedly nothing like a cosine wave we can still
represent this step function in the frequency domain - that is we can convert
it into an infinite number of cosines, each at a different frequency and with
a different amplitude and phase. This conversion is done using a very pow-
erful tool called the Fourier transform. A transform is a mapping between
two sets of data, or domains, and the Fourier transform maps a continuous
signal in the time domain to its continuous frequency domain representation.
We can use a similar transform, the inverse Fourier transform, to map from At this point, you might be thinking ‘the step function above is represented
the frequency domain back to the time domain11 . cleanly in the time domain and since it’s made up of an infinite number of
cosine waves it’s much more complicated in the frequency domain.’ That’s
true, but remember the problem we’re trying to simplify in this chapter is
how to represent a system in a way that allows us to easily manipulate it
and analyze it, not necessarily how to simplify plotting it. We got to the
concept of convolution in the last section but got stuck because we realized
that it is a difficult integral for any generic signal. Also, convolution doesn’t
provide a simple way of combining several systems together to create a
single equation for the larger system.
The Fourier transform looks complicated but I assure you that it makes sense To see how the frequency domain helps us simplify our problem let’s con-
as a whole if you spend a little time deciphering each of its parts. Having sider the following chart.
said that, we’re not going to spend that time in this chapter! Instead, I’m
asking you to believe that it really does map a signal from the time domain
to the frequency domain and back again12 . That means that if you have an
equation as a function of time and perform the Fourier transform integral
the result will be a signal as a function of frequency and the values will be
related to amplitudes and phases.

11 Great, more integrals!

12 If you are interested in a deeper understanding of the transform there is will be a short explanation

in Appendix A

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We know that the Fourier transform maps functions f (t) and g(t) to F(w)
and G(w), respectively, where f (t) might represent an input signal and g(t)
might represent the system’s impulse response. In the time domain we can
convolve the two to get the system’s response to input f (t), but how can we
manipulate F(w) and G(w) in the frequency domain to produce a similar
result? Or another way of putting it, what is the Fourier transform of ( f ⇤ To take the Fourier transform of the convolution integral we just replace f (t)
g)(t)? I think you’ll find the simplicity of it quite amazing. with ( f ⇤ g)(t), which of course is the convolution integral itself. The fancy
F just denotes that we are taking the Fourier transform of what’s inside the
parentheses.
2.5 Convolution versus Multiplication

In this section, we are going to prove the convolution theorem which states
that the Fourier transform of convolution is just the multiplication of the
individual Fourier transforms. To prove this we are going to walk through
the Fourier transform of the convolution integral13 . You’ll probably never
have to prove this outside of a homework assignment or exam question,
This looks rather complicated but let’s begin to pick away at it and see how it
however, walking through it at least once is important because it forces us
can be simplified. The first thing we do is rearrange the order of the integral.
to dedicate several pages and a little bit of time to this topic and hopefully it
Right now we perform the summation of the inner integral with respect to
will help you to remember the concept. Every single time you multiply two
t and then do the outer integral with respect to t. A double integral can be
transfer functions you are taking advantage of the convolution theorem and
integrated in either order as long as you are careful to transform the limits
remembering that will give you a better intuition as to what multiplication
of integration appropriately. Luckily, our limits are both from • to • so
is actually accomplishing.
rearranging the integrals is just a matter of pulling e jwt dt in and pulling
To start the convolution theorem proof, let’s remind ourselves of the convo- dt out.
lution integral and the Fourier transform.

13 Warning! This section is going to be math heavy.

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At this point, we can move f (t) out of the inner integral because it is just a Then to get the time aligned to the same frame within the integral we can
function of t and therefore a constant when integrated with respect to t. multiply the function by 1 (so we don’t change anything) but represent 1
as e jwt e jwt . Since these exponentials are a function of t, and therefore
constant with respect to t, we can put them inside of the integral.

There is something special about the equation inside of the square brackets
- it can be replaced with e jwt G(w). To prove this we need to take a step
back and talk about the Fourier transform shift theorem first.
We can pull e jwt out of the integrala and combine the two remaining
exponentials into e jw(t t) .
The Fourier transform shift theorem

The image on the left shows the Fourier transform of an arbitrary func-
tion, f (t). The image on the right shows that same function shifted
or delayed by time, t. The question we want answered is what is the
Fourier transform of that shifted function? We start by replacing f (t) This little bit of mathematical trickery has resulted in both functions in-
with f (t t). side of the integral to be functions of the same time frame, that is they
are both functions of t t. We can replace our time frame with T and
adjust the integral limits accordingly. However, since we’re integrating
over all time, a function that is shifted by a finite value has no impact on
the integration limits. You’ll notice that what we are left with is just the
standard Fourier transform.

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So this is very interesting, the Fourier transform of a shifted function is

just the Fourier transform of the original function multiplied by a con-
stant related to the length of time of the shift, e jwt .
So after all of that, we can safely conclude that the Fourier transform of the
convolution integral really is just the multiplication of the individual Fourier
transforms.
a We didn’t really need to put it in there in the first place but I find the extra step makes more

sense

Using our new found knowledge of the Fourier shift theorem we can plainly
We’re not at the definition of the transfer function just yet, but keep in mind
see that the function inside of the square brackets is really just the Fourier
what we’ve just shown here. When you’re working in the frequency domain
transform of g(t t), or the delay constant e jwt times G(w).
and you multiply two functions you are really accomplishing the same result
as convolution in the time domain. So if you have a frequency domain
representation of your system’s impulse response and arbitrary input signal
then you can calculate the system’s response to that input by multiplying the
two.

Transfer functions are not represented entirely in the frequency domain,

however. They are in a higher order domain called the s domain where
one dimension is in fact frequency, but the second dimension is exponen-
Since G(w) is constant with respect to t we can pull it out of the integral, tial growth and decay. I know, this sounds crazy, but just like everything
and what we are left with is the Fourier transform of f (t).

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we’ve covered so far, it is quite interesting and intuitive when you really Let’s show a quick example starting from a time domain function and ending
understand it. So let’s continue on! with the two plots, magnitude, and phase, in the frequency domain. The time
domain function we’ll use is a simple exponential decay, e t . However, we
want the signal to be zero for all values of t < 0 so we’ll multiply it by a step
2.6 The s domain and the Laplace Transform function, u(t). This produces a function whose value is zero for negative
time and whose value is 1 starting at t = 0 and then decays exponentially
With each section of this chapter, we’re drawing ever closer to understand- with positive time.
ing the transfer function, but this section is the most important yet. If up
to this point you’ve just been quickly glossing through the chapter - hoping
to absorb the information as fast as possible so you can go back to doing
something fun - I encourage you to slow down now and really try to under-
stand this section. There are many system analysis and control techniques
that you will be exposed to that use transfer functions as the method for
representing the system. Therefore, you will do yourself a huge favor by
spending some time to fully grasp the Laplace transform and the s domain.
Once you understand these two concepts, everything else involving transfer
functions in the future will be much easier to learn and apply. We can solve the Fourier transform for f (t) = u(t)e t , however, since this
is a common time domain function we can simply look up its frequency
domain representation in a Fourier transform table14 . From any Fourier
2.6.1 Remember the Fourier Transform!
transform pair table online you can find it to be 1+1jw . Since this is a com-
plex function it is made up of two-dimensional numbers that have real and
In the last section we took for granted that the Fourier transform maps a
imaginary components. We can rewrite this function to separate out those
signal in the time domain to the frequency domain and I alluded to the fact
two parts.
that the signal in the frequency domain has two parts; one part that is related
to the amplitude of the resulting cosine waves and another part that is related
to their phase. We can plot each of those parts on their own separate graph
14 You are more than welcome to solve the Fourier transform integration to prove this to yourself -
where the x-axis is the frequency of the cosine waves and the y-axis is the
it’s a good exercise - but for the purpose of writing transfer functions you’ll find that for both Fourier
magnitude and phase, respectively. transforms and Laplace transforms you’ll more often than not just memorize the common ones or
look up the conversion in a table. I’m not necessarily condoning this laziness, I’m just stating this is
usually the case from my experience in engineering.

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At this point, calculating the magnitude and phase is a matter of converting

the rectangular coordinate representation, which are the real and imaginary
parts, to polar coordinate representation15 .

The two graphs that are created in the frequency domain are a function of w.
In other words, the value of w tells us where on the frequency line we are.
The idea that the value of w is a location on the frequency line seems like a
really simple concept for me to state in this section, but keep it in mind as
we move on to the s plane.

What we did is take a one-dimensional time domain function, u(t)e t , and

turn it into a two-dimensional frequency domain function. In the time do-
main, the single dimension is the value of the function across all time. In the
frequency domain, the two dimensions are the real and imaginary compo-
nents which, through some additional algebra, are the magnitude and phase
of the cosine waves that make up the original time domain function.
15 Thismight be confusing for this particular revision of the book because I haven’t written the
appendix covering the mechanics of the Fourier transform yet. However, a better explanation will be
provided in that section in a future release of the book.

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2.6.2 The s Plane

The Laplace transform takes the idea of the Fourier transform one step fur-
ther. Instead of just cosine waves, the Laplace transform decomposes a
time domain signal into both cosines and exponential functions. So you can
imagine that for the Laplace transform we need a symbol that represents
more than just frequency, w, it needs to also account for the exponential
aspect of the signal. This is where the variable s comes in.

s is a complex number, which means that it contains values for two dimen-
sions; one dimension that describes the frequency of a cosine wave and We can replace the real number in the exponent with the variable s to give
the second dimension that describes the exponential term. It is defined as us f (s ) = est . Just like with w, s gives us a way to define a location
s = s + jw. Let’s step back a bit and explain this in more detail. on a real number line that corresponds to a particular exponential function.
As you move away from the origin, the absolute value of the real number
Exponential functions that have imaginary exponents, such as e j2t , produce becomes larger and thus the signal decays or grows at a faster rate.
two-dimensional sinusoids through Euler’s formula16 , e jwt = cos(wt)+ j sin(wt).
We’ve already seen how the variable w is the frequency of the sine and co-
sine waves as well as describing the location on the w line.

For exponential functions that have real numbers for exponents, negative
real numbers give us exponentially decaying signals and positive real num-
bers give us exponentially growing signals. Two examples are e2t , which
grows exponentially for all positive time, and e 5t , which decays exponen-
tially for all positive time.

Now let’s think about our new variable s which has both a real and imaginary
component. Therefore, the equation est is really just an exponential function
16 Once again sorry for any confusion right now. The appendix on the Fourier transform will cover
multiplied by a sinusoid, est = e(s + jw)t = est e jwt .
Euler’s formula in more detail. For now, the important thing to know is that raising an exponent
to an imaginary number produces cosine-like waves rather than a function that grows or decays
exponentially.

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2.6.3 The Laplace Transform

With our new found knowledge of the variable s and how the function est
produces a signal that has both an exponential and sinusoidal component,
we can now move on to describing the Laplace transform. An intuitive way
to understand the Laplace transform is by contrasting it with the Fourier
transform. Mathematically the two are exceedingly similar and this can
lead you to believe that we use their result in the same way. You’ll soon see
that this is not the case.

It would be cumbersome to have two separate number lines to describe s;

one for frequency and one for the exponential rate. Therefore, instead we
combine them into a two-dimensional plane where the real axis is the ex-
ponential line and the imaginary axis is the frequency line. The value of s
provides a location in this plane and describes the resulting signal, est , as
function of the selected w and s . Obviously, the difference is that we’ve replaced jw with s. However, since
s = s + jw, rather than replacing jw what we are actually doing is adding
the real component, s , to the equation.

If we expand s in the Laplace transform and rearrange the equation some-

thing interesting emerges. We find that our original time domain function
f (t) is first multiplied by an exponential term e st and then we end up tak-
ing the Fourier transform of the product f (t)e st .

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Since s = 0, the Laplace transform for values of s along this line is exactly
equal to the Fourier transform.

Remember that the results of the Fourier transform are a set of two-dimensional
numbers that represent magnitude and phase for a given frequency. The re-
sults of the Laplace transform are still the same two-dimensional numbers,
What does that mean and why is it interesting? Well, this gives us a way to
but now we plot them on a 3-dimensional s plane rather than just the along
interpret the Laplace transform graphically.
the frequency line.
Let’s refer back to the s plane and look at the imaginary axis. This is the
line where s = 0.

The Region of Convergence

I will accidentally mislead you if I don’t clarify a statement I made. I

stated that the Laplace transform is exactly equal to the Fourier transform

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for the case when s = 0, but this is only true when the s = 0 line is We can take the Fourier transform of the stable response because after
within something called the Region of Convergence, or RoC. As you can you multiply it by e jwt , essentially multiplying it by cos(wt)+ jsin(wt),
probably gather from the name, the RoC is the area in the s plane where the signal continues to decay and therefore the integral of the absolute
the Laplace transform is absolutely integrable - or another way of putting value produces a finite sum.
it is that the integral converges - yet another way of putting it is if you
sum up the area under the absolute value of a signal you’re left with a
finite value.

To understand this, let’s look at two signals; the first is the impulse re-
sponse for a stable system - notice the impulse the system response dies
out over time. The second is the impulse response for an unstable system
- notice the system response continues to grow over time.
However, we can’t take the Fourier transform of the unstable response
because after you multiply it by e jwt the signal continues to grow. If
you integrate this signal you get an infinite value and so it lies outside of
the RoC.

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We can take the Laplace transform of an unstable impulse response, how- from the graph, and from the result of the Fourier transform if you do the
ever, because there are other areas of the s plane that are within the RoC. math, that there is a point right at s = 1 that goes to infinity.

So far we’ve just filled out a single sliver of our s plane, the s = 0 line.
We can fill out another sliver, say the s = 1 line, by taking our time do-
main signal, u(t)e t , multiplying it by the exponential e st when s = 1,
and then taking the Fourier transform of the result. In this case, the two
exponential functions cancel out and we’re left with just the step function,
u(t).

This is a trick question though because the the Fourier transform of u(t)
If you’ve been very keen while reading this section you’ll have realized that
does not converge. It’s outside of the region of convergence, however, just
the impulse response of our system, u(t)e t , produced an interesting point
barely. Imagine we chose a s that produced a near step function that is
in the s plane at s = 1, which, for est , equals e t . It’s no coincidence
slowly decaying. With this, the Fourier transform will converge. Conversely,
that both our impulse response function and the interesting point in the s
imagine we chose a s that produced a near step function that is slowly
plane both contain e t . In fact, that is exactly what we’re doing with the
growing. In this case, the Fourier transform is even further from converging
Laplace transform; we’re probing the time domain function with e st across
than just the simple step function.
the entire s plane to see what it’s made of. We are basically breaking it down
into its base frequencies and exponential properties.

So far we’ve found one point in the s plane that produced an interesting
result, but are there others? We could continue to fill out this graph manually
one at a time by choosing a s , pre-multiplying our signal by it, and taking
the Fourier transform.

Therefore, there was something special about the location in the s plane
that produced an integral that existed right on the cusp of converging and
diverging. We could graph this new line on our plot at s = 1. You’ll see
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sinusoids and exponentials. So the question is, when does the madness end?
You might expect that in the next section I’ll introduce a transform that
decomposes a signal into sinusoids, exponentials, and square waves.

Well, we actually end right here. And there’s a good reason why. Remember
we are talking about physical systems that can be modeled or approximated
as linear and time invariant, and these types of systems can only be modeled
using the following six operations.

I think you can see the problem with this method of filling out the plane. It’ll
take an infinite number of Fourier transforms, one for each of the infinite s
values, to completely fill in 3D map in the s plane. Of course the actual
Laplace transform doesn’t work like this. When you solve the integral you
are performing the infinite number of steps all at once, and rather than graph
the resulting surface, we solve for the interesting points algebraically using
the s domain function. In the real world, many physical parameters are related to each other through
differential equations, and for LTI systems those become ordinary differen-
tial equations (ODE)17 . The important thing to note is that the solution of
ordinary differential equations can only consist of sinusoids and exponen-
tials. That’s because they are the only wave forms that don’t change shape
when subjected to any combination of the six legal operations. Think about
it. If you take the derivative of a sinusoid it’s still a sinusoid. If you take
the integral of an exponential it’s still an exponential. So you can see how
those two wave forms18 would be the solution to equations that have the
form ẍ + ẋ + x = 0. However, if you take the integral of a square wave, for
That is pretty awesome, right? example, you get a sloping step pattern and not another square wave.

But wait a minute you cry! The Fourier transform decomposes a function 17 More of this to come in the chapter on system identification methods
into sinusoids. Then the Laplace transform decomposes a function into both 18 Really it’s just the one function, est , that generates both waveforms.

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So it makes sense that we are defining a system’s impulse response in terms Recall the rolling cart problem from page 37. This is an exceedingly simple
of these wave forms and only these waveforms. The ubiquity of these types system for sure; probably simpler than anything you’ll work on as a control
of physical relationships is why the Laplace transform is one of the most engineer. However, using this simple example we can demonstrate how you
important techniques you’ll learn for system analysis. can harness the power of transfer functions on a system of any complexity19 .
We began the rolling cart problem by using a free-body diagram to identify
We’ve now set up all of the background information you’ll need to really
and sum the forces acting on the system. From this, we derived the equations
understand what makes transfer functions so powerful and exactly why they
of motion; basically, we came up with a 2nd order differential equation that,
work the way they do. So let’s finally put it all together in the next section.
given some input force, Finput (t), we could solve for the position of the cart
over time, x(t).
2.7 Putting this all Together: Transfer Functions

The topics we’ve covered so far in this chapter are valuable in their own
right, but you might not realize yet how to use them as an engineer working
with transfer functions. In this section, let’s see if we can fix that! When you
are working with a transfer function we want to get to the point where you
aren’t just seeing a polynomial fraction that is a function of s, but you are
intuitively comprehending what that transfer function represents and how it
helps you simplify complex systems.
I want to keep reminding you that the process of generating a model of your
system, like the one we just derived, is called system identification. This
book will devote an entire part to system identification which is why, at
this moment, we’re not spending a lot of time describing the process. As
an engineer, if you’re not given a model of your system, and you want to
apply the analytical techniques that the majority of this book covers, then
you will have to create that model yourself. System identification happens
more often than you might think in industry, and therefore is a great skill

19 Of course, only if the system can be modeled by a linear, time invariant differential equation

with a single-input and single-out. Picky, picky! But unfortunately, those are the rules!

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to have. For now, let’s accept the quick derivation of the rolling cart model
and proceed back to discussing transfer functions.

This system model is a perfect candidate to convert into a transfer function;

it’s a linear, time-invariant system and there is a single input, Finput , and a
single output, x. Per the definition of a transfer function, we need to take the
Laplace transform of the impulse response of our system. How can we get
the impulse response from our equation? Well, we set the single input to an
impulse function, Finput (t) = d (t), and solve for the response, x(t).

From here it’s a straightforward operation to transform our time domain

model into the s domain; simply take each term and replace with the corre-
sponding s domain equivalent. Note that the initial position, x(0), and the
initial velocity, ẋ(0), are both zero since the system starts at rest. We can
now solve for the system impulse response, X(s), algebraically.
That seems easy enough right? Possibly not! Solving linear, ordinary differ-
ential equations in the time domain can be time consuming. We can make
the task easier by taking the Laplace transform of the entire differential equa-
tion, one term at a time, and solve for the impulse response in the s domain
directly.

A great thing about working with linear systems20 is that usually we don’t
have to perform the Laplace transform integration by hand. The Laplace
transform for most of the terms that you’ll come across in these types of
models have been solved many times before and collected into tables. For
example, the Laplace transform of an impulse function, d (t), is 1. I’ve
collected the other terms in our model into the following small table, but
this is by no means a complete list. We now have the Laplace transform of the impulse response for this system,
20 and being an engineer rather than a mathematician! X(s), which, by definition, is the transfer function!

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Let’s dwell on something for just a bit. We know that when we multiply in therefore, the resulting output from our cart dynamics is 1 times the transfer
the s domain it is the same as convolution in the time domain. Therefore, function, or
when we did the division to solve for X(s) we were really doing a deconvolu-
tion operation in the time domain. This is the power of manipulating system
models in the s domain. Every time you perform a simple multiplication or
division with a transfer function just imagine the complicated mathematics
that would have had to occur in the time domain to produce the same result. There should be no surprise that the impulse response is equal to the transfer
With that in mind, if our goal was to solve for the impulse response in the function because they are indeed one and the same!
time domain, then using the s domain is still the simplest way. To go back
Using this idea of representing an input in the s domain and multiplying it
to the time domain we could preform the inverse Laplace transform on X(s),
with the transfer function, we can easily apply different input forces to our
or again just look it up in a table if it exists.
system and see how the response changes. For example, what would the
We are going to keep the impulse response in the s domain, however, be- motion of the cart look like if the forcing function was a step rather than an
cause this is the transfer function that we’ve been working to create. The impulse?
transfer function represents the dynamics of the cart system and we can use
this representation to predict how the cart will move when subjected to ar-
bitrary forces. For now, though, let’s just consider how the cart will move
when subjected to an impulse function21 . In block diagram form, we can set
up the problem conceptually in this way.
To solve this problem, we need to represent the step function in the s domain.
We are basically looking for the transfer function that produces a step output,
or a system whose impulse response is a step function.

We can ‘apply’ an impulse to our transfer function by representing the input

in the s domain and multiplying it with the transfer function. From our
Laplace table we know that the impulse function in the s domain is 1, and
A step function can be written in equation form as 0 for t < 0 and 1 for t 0.
21 I’m betting you’ve already figured out that it’s just the impulse response. Once again, to get the transfer function we can solve the Laplace transform
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of this step function equation or we can look up the result in a table. Either
method you choose should result with the s domain equation,

You may have heard that you can define a transfer function as the output of
There’s something kind of interesting about this relationship between im- a system divided by its input in the s domain. It is true that this produces
pulse and step. Remember that even though the width of an impulse is the same transfer function as the Laplace transform of the impulse response,
infinitesimally thin, the area under the curve of an impulse function is 1. So however, it is misleading to think that it is the definition of a transfer func-
if we integrate the impulse function with respect to time the result jumps to 1 tion. This is because it hides what really makes a transfer function work;
at time zero and then stays 1 for the rest of time. In other words, integrating namely, that it’s performing the convolution of the input and the impulse
an impulse function produces a step function, and by extension, the transfer response. So I would encourage you to solve for transfer functions by di-
function 1s is therefore the s domain representation of an integrator. viding the output by the input22 , but while you’re doing it remember the
underlying mechanism that is really creating the transfer function for you.
We can expand our block diagram to show the progression of the impulse
input to the step response of the cart dynamics. The impulse input produces Let’s walk through an example that shows conceptually why dividing the
a step output through the 1s transfer function, which is then applied to the output by the input works. Let’s assume we have our cart system and we’re
cart dynamics to produce the step response of the cart system. trying to determine its transfer function. We decide to perform a test on the
cart by applying a step function to it and measuring the resulting motion.
We are then able to determine the s domain equation that produces a similar
motion to be

Finding the total transfer function for our system’s response to the step input
is as simple as multiplying the two transfer functions together. Notice that
we’ve still retained the definition of a transfer function. That is, it is the s We know this is not the transfer function of the cart itself because it’s not
domain representation of the impulse response of a system. Impulse goes in the impulse response; it’s the step response. Therefore, we divide the output
and impulse response comes out. by the input to get the cart’s transfer function.
22 It is pretty easy after all!

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Using the cart’s transfer function, and as long as that input can be repre-
sented in the s domain, we can apply any forcing functions we want to
create a new model for the behavior of the system. The cart still has the same transfer function23 , but now the input force is
driven by the output of the sail and mast system. The sail transfer function
takes wind speed as an input and produces cart force as an output. Lastly,
the wind speed can be an arbitrary function that would be represented by its
own transfer function.

The real power with transfer functions goes beyond using them to apply
By combining these three together, you can predict the overall motion of
different forcing functions to a system. It is that we can use them to repre-
the cart to the specified wind speed profile. Furthermore, one engineer no
sent very complex systems by building them out of smaller, less complex,
longer has to be responsible for deriving each of these systems. You could
systems.
have a wind expert produce the wind profile transfer function, a sail expert
For example, we can make our cart system a little more complex by saying model how the sail captures the wind and transfers the force, and a cart
that we don’t apply the input force directly to the cart. Instead, it has a mast engineer to work out how the cart moves when a force is applied. The three
and sail that catches the wind and provides a resulting force. engineers can come together afterward and produce the final model.

This way of building up models in a piecewise fashion also allows you to add
new parts easily. You may find that you don’t care about the true position
23 Assuming the overall mass of the cart and sail stayed the same.

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of the cart - because it can’t be known exactly anyway - and that you want
to know how well you can measure the position of the cart. You use a radar
gun to measure the performance but it has its own dynamics, and therefore
its own transfer function that needs to be accounted for.

With transfer functions, block diagrams are so much more than just abstract
ways of visualizing and organizing your system - you can actually manip-
ulate them mathematically. This will be hugely beneficial when we start
describing systems that have feedback and other complex dynamics. We
can use the fact that we can multiply and divide transfer functions to sim-
plify the feedback loops in systems, and by simplifying them we can start
Recall the inverted bowl problem that we set up at the beginning of this to understand how they affect the larger system.
chapter. At the time it might not have been obvious how transfer functions
would help us simplify this problem. Hopefully, now that you’re at the end Lest you think this chapter was a pretty weak argument for why transfer
of the chapter that is no longer the case. The fan commands, inverted bowl functions are a good way to represent system models, just know that transfer
dynamics, radar sensor dynamics, and ball position estimator would each functions have other great qualities as well. We haven’t yet talked about the
have their own transfer function - possibly generated by a different engineer power of system analysis and manipulation that transfer functions give us.
- and combined to form a model of the entire system. So just consider that a bonus thing to look forward to! For now, though, let’s
take what we know of transfer functions and move on to the next chapter to
discuss block diagrams in further detail.

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2. Look around and describe the systems near you. What are the inputs
2.8 Try This!
and outputs to those systems? How could you divide them up into
1. Which of these system models are LTI? For the models that are not smaller subsystems that are interconnected? Describe whether you
LTI prove which LTI property is not met. think it could modeled as an LTI system.
a)
Can’t think of any ideas? Here are a few examples to get you started.
dx(t)
x(t) = Flushing a toileta . Changing the channel on your TV. Balancing on
dt
two legs of your chair as you lean back.
b)

dx(t) 3. You are asked to generate the transfer function for the pitch control
x(t) = t
dt of an airplane. The input is the control column - pulling back causes
c) the airplane to pitch up and pushing forward causes the airplane to
dive down. The output is the measured pitch angle. The pilot does
d 2 x(t) dx(t)
x(t) = 5 +3 + 2x(t)
dt 2 dt not want to produce an impulse input (basically pulling back and
releasing as fast as he can) because he feels it is dangerous to the air-
d)
plane. Instead, he pulls back on the control column quickly and then
2 dx(t)
x (t) = holds it in that position for 10 seconds. You are given the measured
dt
pitch angle from that maneuver in the s domain.
e)

0 = ẋ(t)ẍ(t) s + 0.2
P(s) =
s4 + 0.7s3 + s2

What is the transfer function for the pitch control of the airplane?

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CHAPTER 2. TRANSFER FUNCTIONS

Chapter Credits
What would the measured pitch angle, P(s), look like had the pilot
pulled back on the control column gradually (ramp input) rather than
the sharp pull (step input) that he did?
Meg Douglas Kirkland, Washington Gavin Kane Emden, Germany
4. Prove that convolution in the time domain is multiplication in the s David Feinauer Northfield, VT Krunal Desai
domain. Hint, we proved this already for the frequency domain. Wong, C.J. Zootopia Jeff Sprenger USA
Tran Dam Shuki Eisdorfer Isreal
5. Draw the approximate time domain graph for est at each of the fol- Hyungsouk Kang Seoul, Korea
lowing s locations.
a) s = 0
Thanks for making this chapter awesome!
b) s = 3
c) s = 1
d) s = j
e) s = 3 + j
f) s = 1 j
a Are you studying in the bathroom??

109

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 CHAPTER 3. BLOCK DIAGRAMS

3 Block Diagrams
gebra rules and then we’ll present a few examples of how to use the algebra
rules to simplify a diagram. Finally, we’ll cover a few ways you’ll use block
diagrams in your everyday working life.

In this chapter, we’re going to discuss one of the control system engineer’s
favorite tools for organizing, communicating, simulating and solving prob- 3.1 Why are block diagrams important?
lems: the block diagram1 .
Block diagrams show us the interrelationship of systems and how signals
Block diagrams are actually pretty simple. You draw some boxes and con- flow between them.
nect them with arrows to represent your system, and voila, you have a block
diagram, right? There is, of course, more to it than that. The usefulness of A block diagram is just one type of a huge variety of diagrams that cover
block diagrams goes well beyond just a way to represent your system graph- all fields of engineering. A diagram is a graphical representation that gives
ically, and to understand why this is the case, this chapter will cover a few us a way to abstract away the complexities of an idea so that we are left
topics that won’t necessarily help you complete a homework assignment, with a clearer, more focused, understanding. Another way to say this is
but will help you gain a better understanding of what makes block diagrams that diagrams are simplified drawings that remove all of the stuff that is
so powerful in our quest to be great control system engineers. not needed so that the user can focus on the concept being described. With
block diagrams, we focus on how systems are connected and the signals that
The first section covers how block diagrams fit into your toolbox of control flow between them. We omit the other engineering information that would
system knowledge and why we learn them in the first place. We’ll then just clutter up the diagram. For example, block diagrams don’t show the
cover some terms and their definitions so that we’re all speaking the same physical location and drawings of the hardware.
language. We’ll walk through some of the more common block diagram al-
A list of all engineering diagrams is too numerous to write out - and probably
1 Don’t confuse a block diagram with a diagram for making blocks! not that helpful in this chapter, but the following example gives you a sense
of the breadth and usefulness of diagrams during an engineering project.

Over the course of the project, you’ll have a schedule that is written out
as a sequence diagram showing the interrelationship of activities and their
allotted times to complete. When you’re designing a part you might dia-
gram out the electrical system with schematics and routing layouts. The
software and hardware interaction might be planned using a functional di-

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agram which shows how components work with each other. There might teams of people, oftentimes, who don’t interact with each other, other than
be logic flowcharts that show how the system is designed to reason through through these diagrams.
logical inputs and handle decisions. There are process diagrams that define
Arguably, the most important reason to learn block diagrams is that they
the order in which activities and decisions are made. There might be a sys-
have reach well beyond control theory. Treating block diagrams as a tool
tem topology diagram that shows how all of the hardware components of a
to sketch architectures and generate a transfer function is the beginning of
network are connected. During the test and verification phase of a project,
understanding their usefulness in other engineering areas. Possibly, the most
you might come across an error that requires a cause and effect diagram like
important benefit of learning block diagrams is to introduce you to the way
the Ishikawa (or fishbone) diagram. And when you’re confused about who
dynamical systems are described in model-based design - which is used
to go to to ask your questions about all of these different types of diagrams
extensively in the automotive and aerospace industries. I will present a very
you’ll probably consult the organizational chart, which shows the hierarchy
short introduction to model-based design at the end of this chapter.
and responsibilities of the team members of a project.

When you first learn about block diagrams, you typically use them to sketch
complex architectures and then use that sketch to simplify the system to 3.2 The nomenclature (let’s all speak the same language)
get an overall transfer function2 . This chapter is no exception; we will do
that very thing in the next few sections. However, it is important to keep in We will use block diagrams throughout this book, therefore, it’s important
mind while you read this chapter that in industry you will more than likely that we have a consistent nomenclature, or definition of the terms, so that
use block diagrams in a different way than what is presented in this book. we minimize any confusion there might be going forward. Keep in mind
You will probably very rarely have to determine an overall system transfer that I am presenting to you the nomenclature that I prefer to use. Other
function from a block diagram, but don’t let that discourage you from really authors, lecturers, and coworkers may choose a different set of terms that
understanding this material. Learning about block diagrams in this way is mean essentially the same thing. In some cases, I will list out a few alter-
worthwhile because they give you a foundation from which you can build native names or styles, but in general, keep in mind that throughout your
your understanding of more complex control theory topics. Without a good career you may come across slightly different ways of representing and talk-
understanding of block diagrams, it will be very difficult to visualize and ing about block diagrams. It is fine to have a different definition as long as
intuitively understand the concepts we’ll cover in the rest of this book. This you and the person you are communicating with have the same definition -
visual representation is powerful because we can use it to reorganize and so with that, let’s make sure we have the same definition.
simplify our systems and open up the possibility for collaboration between
2 Later in this book we’ll use this overall transfer function to make claims about the performance

of our system and to design a control system

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3.2.1 Arrows and blocks From here, we could continue to add more blocks to this diagram in a cas-
caded manner to model more complex systems - just like we did with the
The first thing you typically notice when looking at block diagrams is that three blocks in the diagram in chapter 1 where we described the open loop
they are drawn as a set of blocks that are connected in some way by a set of control system of a dishwasher.
arrows.

Each block represents a system and each arrow represents a signal that goes The timer, water jets, and dishes are all modular systems depicted by single
to or from that system. In this way, you can depict graphically how individ- blocks. The run time is the input signal to the timer system and the dish
ual and modular systems interact with each other. In other words, you can cleanliness is the output signal from the dish system. The two arrows in the
see how signals are generated by and shared with systems. middle also represent some signal but are not labeled in this diagram.
In the example below, the output signal of the first block, G1 (s), is the input Blocks and arrows alone can create a cascaded system, however, they aren’t
signal of the second block, G2 (s). This series of blocks is sometimes called enough to fully represent the complexities of a feedback control system. For
cascaded blocks because of the way the signals progress from one to the that, we need to add summing junctions and take off points to our repertoire.
next; much like how water cascades down from one rock to the next in a
small waterfall.
Multiple signals into and out of a system

When dealing with block diagrams where the systems are modeled as
transfer functions, you will only ever see one arrow into and one arrow
out of a block. This is because transfer functions are Single-Input, Single-

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Output (SISO) functions so it doesn’t make sense to have a block diagram

with multiple inputs or multiple outputsa .

In general, though, blocks can have multiple arrows going into it or com-
ing out of it. A block that has two arrows going into it and a single arrow
coming from it means this system takes two input variables, performs
some mathematical operations on them, and then generates a single out- There are several different stylistic ways you can draw a summing junction;
put variable. For example, a system might take the two inputs and simply I show three different ways to draw a b = c below. I prefer not drawing
multiply them together to generate the single output. the X in the circle because I think it has a cleaner look, and therefore to me,
it’s easier to read.

a State space representation does allow for multi-input, multi-output system, we’re only

talking about systems represented as transfer functions here.

3.2.2 Summing junctions and take off points One purpose of a block diagram is to help you organize your problem so
that it’s easier to understand and share with others. In this case, communica-
You can subtract or add signals using a summing junction. A summing tion is done through the clarity and organization of the diagram. Therefore,
junction is a circle with two or more input signals and a single output signal. special care should be taken to make sure the diagram is clear and easy to
For each of the input signals, there is a + or sign indicating whether that read. You can create a diagram that is technically correct, but if it’s not
signal is added or subtracted. presented in a straightforward way it can cause confusion. For example,
another stylistic choice you have with summing junctions is how to handle
multiple input signals. Both of the following diagrams are technically cor-
rect, and both represent a b + c d = e, however, I find the diagram on

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the right, splitting out each summation into its own junction, is easier to
understand. Choose the method that you think looks the best for the dia-
gram you’re creating. If there had only been three inputs into the summing
junction I may have preferred the style on the left.

A take off point occurs when one arrow starts at another arrow. They are Even though the diagram above consists of only 4 different symbols, there
used to allow an unaltered signal to go along multiple paths. In the drawing is additional complexity in the patterns that are created. It is helpful to
below, the signal a is split through the take off point and is fed to both output give names to and define some of the patterns that come up often in block
arrows. diagrams.

3.2.3 Nodes

Nodes, in our context, are typically used in signal-flow graphs, a close rel-
ative to a block diagram. I will explain them here because they will help
us define the patterns that we’re interested in. Arrows are not the same as
nodes. Arrows represent signals and the direction they flow, whereas nodes
Take off points are used when the same signal is the input for multiple sys- are the system variables and can consist of multiple arrows. A signal is con-
tems or summing junctions. stant at a given node regardless of how many arrows make it up. Summing
junctions and blocks create new nodes (because they change the signal) but
Blocks, signals, summing junctions, and take off points, are not very com-
take off points do not. The following diagram consists of two blocks and
plex concepts, but you can build very complex block diagrams with them.
one summing junction. The combination of those three elements creates
The following diagram might look like a tangled mess, but you can see that
four nodes. Notice that the output node 4 extends through the take off point
it is created from the same four symbols that we’ve covered.
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and consists of both arrows. The nodes 1, 2, 3, and 4 are each unique signals than one forward path in a block diagram. The following example shows a
in this diagram. diagram with two forward paths.

Two paths are considered parallel if they both start and end at the same node
while not sharing any of the same blocks.
3.2.4 Paths

A path is a continuous line that is created if you place your pen on a node
and trace the signal lines in the direction of the arrows. Start on any node,
take any direction at a take off point, and stop on any node of your choice.
You’ve just traced out a path.
Parallel paths can be in the forward direction, like the above diagram, but
they can also be in the reverse direction as well. You can have parallel feed-
back paths, and any number of complicated parallel paths, as long as they
meet the definition of what it means to be parallel. The following example
shows different parallel paths that exist in our complex block diagram.

Let’s walk through some paths that have specific names; these will come up
often over the course of this book.

The forward path is any path that starts at the input node and ends at the
output node without ever touching the same node twice. You can have more

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3.2.5 Loops to see how we use the terms we’re learning to describe the types of block
diagram structures that systems can have.
A loop is any path that starts and ends at the same node without ever touch-
ing any node more than once. The classic feedback system is often called a
closed loop system and you can see how it clearly meets the definition of a
loop.

The two loops could also be separate from each other; this is called non-
touching loops. Non-touching loops occur when the two loops don’t share
any blocks or nodes.
Loops aren’t always obvious. Instead of a nice clean loop that takes up
pretty much the entire diagram, they can be parts of a larger, more complex,
diagram. The following example shows just two of the many loops that exist
in our block diagram.

Lastly, the two loops may not be fully nested but still share some of the
same nodes and blocks. These are called overlapping or interlocked loops.

When you have more than one loop in a diagram they have special names
based on how they interact with each other. When one loop is nested within
another, this is called cascaded loops. The two loops are distinguished as
the inner loop and outer loop. You’ll notice that this pattern is made up of
two feedback paths that are parallel to each other. In this way, you can start
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I think we should be able to get through the majority of the block diagrams the output of the system. Don’t believe that statement? Proving it is pretty
we’ll encounter in this book with just the terms I’ve listed. The thing to straight forward.
remember is that block diagrams are created using just four symbols; arrows,
In the following block diagram, we have two LTI blocks, f (t) and g(t).
blocks, take off points, and summing junctions. The rest of the terms we
covered, and most of the complexities of block diagrams, come from the
patterns that emerge from those four symbols.

3.3 Block diagram algebra

Now that we have a common set of terms, let’s walk through some of the
algebraic rules that you’ll employ when manipulating and simplifying block It was shown in the last chapter f (t) represents the impulse response of that
diagrams. However, before I start just listing out algebra rules, let’s take a block. We can ‘play’ the output from f (t) through g(t) with the convolution
minute and explain why algebra even works in the first place. If you take integral and get the output of the cascaded system, y(t).
nothing else away from this section, remember that the algebra rules we
will cover here are only possible if the system is LTI and that the systems
are represented by transfer functions - that is, in the s domain.

3.3.1 Why is LTI necessary? If we swap the order of the two blocks, finding the new value for y(t) is as
simple as swapping the variables in the convolution integral.
Remember that LTI systems obey the properties of homogeneity, superposi-
tion, and time invariance. These properties are what allow us to move blocks
around and simplify diagrams. If the system is LTI, then manipulating the
blocks relative to each is very simple.

Take, for example, two cascaded LTI blocks. Since LTI systems are com-
However, we’re claiming that swapping the order doesn’t matter, so y(t)
mutative, a byproduct of homogeneity, superposition, and time invariance,
should be the same in both cases.
we can manipulate them by simply swapping their order without impacting

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It is worth noting, however, that even though the output is the same in both
cases, it should be obvious that the intermediate signal - the signal between
the two blocks - does change when you swap the order. This is a common
result we’ll see as we manipulate block diagrams. The overall system is
unchanged, but the intermediate signals do change, and frequently lose their
The simplest way to prove this is by changing the variable of integration real physical meaning.
on the right side of the equation from t to u; where u = t t. We can
differentiate it to get du and also find the new limits of integration. We can see that even simple block diagram manipulation does not hold for
a nonlinear system. It’s harder to prove this mathematically with just a few
algebraic steps, but fortunately, we can choose an arbitrary example and
prove that in at least one case non-LTI systems do not commute. In the
following example, we set f (t) to a gain multiplier of 5, the input u(t) to a
ramp, and g(t) to a squaring function; a decidedly nonlinear operation.

Plugging all of this into the right side of our equation from above produces
the following result.

I’ll let you step through the math3 , but I think you’ll be able to find that in
the original block order you’re left with y(t) = (5t)2 and after swapping the
order of the blocks you’re left with y(t) = 5(t 2 ). Not the same result.
We have a negative sign in front of the right integral but the limits are
swapped as well; they go from • to •. Luckily, swapping the integra-
3.3.2 Why are transfer functions necessary?
tion limits is the negative of the integral so it all works out.We have shown
that convolution is commutative and, therefore, swapping the order of the
We can see from the previous section why LTI systems are necessary, but
blocks has no impact on the output y(t).
why do we create block diagrams in the s domain with transfer functions
rather than in the time domain? We learned the answer to this in the chapter
3 Don’t you hate when authors do this?!

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on transfer functions and it is because when we’re working in the s domain 3.3.3 Common algebraic rules
the mathematics become very easy. In the s domain, complex time domain
operations like convolution, differentiation, integration, and time-shifting The benefit of building block diagrams in the s domain with transfer func-
are accomplished with the four basic mathematical operators; +, , ⇥, and tions is really evident when you start working with and manipulating more
/. complex diagrams. Once you have those complex diagrams, your next goal
will be to start simplifying them into something that is workable. To do this,
For example, let’s compare two forward parallel paths in the time domain
we need to learn a few common algebraic rules for block diagram manipu-
with the same system in the s domain. If our goal is to simply write out
lation.
the combined transfer function of our system, then either the time domain
or the s domain are equally easy to work in. In both, the combined transfer Combining two blocks in series - multiply the two transfer functions to-
function is the summation of the two individual system transfer functions. gether. The output, y(t), of the system is the input, u(t), times the product
of the two systems.

Moving a summing junction - whether you are moving the summing junc-
tion before or after a block, make sure the resulting algebraic equation, from
inputs to outputs, is the exact same. Here, I moved the summing junction
to before the system G(s). This has the result of also multiplying the input
But as you can see, if our goal is to actually determine the response of this path, P(s) by G(s) as well. Therefore, we need to add another block on the
system given an arbitrary input, u(t), then they are no longer equally simple. P(s) path to divide out the extra G(s).
In the time domain, you need to solve the convolution integral twice and
sum the results - this is a lot of math. In the s domain, the output can
be calculated by summing the two transfer functions and multiplying them
with the input function - a much simpler operation.

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Moving a take off point - This is similar to moving a summing junction in error signal after the summing junction and then setting up the two equations
that you need to account for the extra or missing multipliers that arise from that will be combined into a single algebraic equation.
the move. In this case, we moved the take off point to before the system,
G(s), and so that needs to be accounted for with an extra block.

Y (s)
From here, you can solve for U(s) and you will get a single combined trans-
fer function for the negative feedback system.

Removing a forward parallel path - sum the two systems together. Of Adding a feedback path - what’s interesting about setting up the algebraic
course, you do need to adhere to the signs in the summing junction. So equations like we did in the negative feedback path example is that we can
in some cases, you will be summing a negative path which will result in apply that exact same logic to a number of different situations. Here, we
subtracting the two systems. convert a transfer function, G(s), into a negative feedback system with unity
feedback gain.

Removing a feedback path - replace the negative feedback structure with

G(s)
the equivalent transfer function, 1+G(s)H(s) . We have to be careful here because once you start manipulating block dia-
grams you are deviating from real physical systems. For example, we just
created a block diagram with unity feedback, however, we can’t guarantee
that the system truly has unity gain feedback, only that it has the transfer
function G(s). That means if we want to add a sensor to our system to mea-
sure the feedback signal, there might not actually be a real signal that we
You will use this transformation a lot so it’s worth memorizing, but in case can measure. That signal is a construct of the block diagram manipulation
you have a bad memory, it’s really easy to solve for it. I start by labeling the we just did.
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With that in mind, block diagram manipulation is still a worthwhile exercise Now we remove the negative feedback path.
because we can use these algebraic rules to simplify our diagrams and gain
a better understanding of the system as a whole.

3.4 Simplifying block diagrams

Lastly, we combine the two blocks in series and we are left with the
Let’s apply the block diagram algebra rules to a few different block dia- transfer function for this system.
grams.

Finding the transfer function of a block diagram

In this example, we have a classic negative feedback block diagram and

we want to find the transfer function for this system. Another approach to the previous example

The approach taken in the last example is just one way to simplify the
block diagram. But what we’ll show now is that it doesn’t matter what
step you do first, you will always end up with the same transfer function
at the enda .
Systems B and C are in series (or cascaded) and so we can combine them
into a single block by multiplying them together.

Instead of combining systems B and C first, we’ll move the summing

junction to the left side of system A.

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Dealing with interlocked loops

Let’s try our hand at simplifying a system that is more complex than the
previous negative feedback example. In this problem, we have a system

Now we can combine the three cascaded systems in the forward path into is made up of nested and interlocked negative feedback paths.

a single block.

Once we remove the negative feedback path we find that we did, indeed, From this point, I’ve dropped the (s) to simplify the drawing and make
get the same transfer function for this system. This is important to realize the transfer function easier to read. The first step I took is to move the
because you may find yourself getting stuck on which simplifying step take off point to the node after the system C(s).
to do first. Remember that you can do any step first you want and as long
as the algebraic steps are followed you’ll end up with the same answer at
the end.

a Assuming you don’t make any mistakes along the way!

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The feedback path with F

is parallel to the feedback path with D, there- It is possible to draw a block diagram that is technically correct but drawn
C
fore, we can combine them by summing them together. in a confusing way. Take the following block diagram as an example.
When you first look at this diagram it might not seem too poorly drawn;
all of the lines are straight and everything is well-labelled. However, the
way I’ve drawn it makes it really hard to quickly answer questions like
‘is there a feedback path and is there more than one? What is the forward
path? Where do I start in order to simplify this block diagram?’.

We now have two nested feedback loops. The next step is to remove the
inner loop feedback path.

Lastly, we can combine the two systems in series in the forward path and By simply rearranging the blocks and arrows - without any other simpli-
remove the last negative feedback loop to give us the transfer function fications or combinations - this diagram will be much easier to read. This
for this system. might not seem like a big deal but one of the uses of block diagrams in
industry is to communicate a design to other engineers. A poorly laid out
diagram will hide the intent of the designer and will make it harder for a
someone to peer review the design effectively.

Poorly drawn block diagrams

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Now, we can combine the two cascaded blocks in the feedback path. At
this point, our diagram is drawn in the classic feedback structure. The
From here, we can continue to simplify the diagram using the block di-
forward path is AB and the feedback path is CD
B + D.
agram algebra rules. Once again, I’ve dropped the (s) after each system
letter to make the diagram easier to read. To start, we can move the take
off point to after system B. This leaves us with parallel paths feeding
back into the summing junction.

We can simplify further by removing the feedback path.

We can combine the parallel paths by summing them together. By rec-

ognizing that the unity feedback path has a gain of 1, the new feedback
Finally, we can distribute the AB in the denominator to produce a very
system is CB + 1.
pleasing form of the transfer function.

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Creating unity feedback

When you manipulate block diagrams, your goal isn’t always to remove
blocks to simplify the drawing, sometimes it’s to put the diagram into a
specific structure. For example, you may want to describe your system
We can solve for R(s) in this case because there is one equation and
with unity feedback - that is with a 1 in the feedback path. One of the nice
one unknown variable. Notice, however, that we wouldn’t be able to
things about LTI systems adhering to algebraic rules is that, in general,
easily use this method to go from a unity feedback system to a non-unity
we can fit a system to any structure we want as long as the resulting
feedback system. In that case, there would be two unknown variables,
algebraic equations have a solution. Let me explain what I mean by this
G(s) and H(s). In order to solve that, we’d have to assume the solution
by walking through the conversion of a non-unity feedback system into
of one of the systems and solve for the other.
a unity feedback system.

We need to determine an R(s) value that makes the two systems equiva-
lent. We can do that by writing out the transfer function for each system,
setting the two equations equal to each other, and then solving for R(s). G(s)
By setting R(s) = 1+G(s)H(s) G(s)
we are left with two systems with the
same overall transfer function.

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plish. From there, you start to lay out a concept of a system that will meet
the needs of the project and decide on the architecture you want to pursue.

It is at this point that a decision is made: do you want to take the model-
based design approach or not? The answer is not always the same for every
project. It depends on several factors like the size of the project, the cost of
the hardware, how long it takes to build the hardware, and the capability of
3.5 Model-based design the team. Typically, large engineering projects like those you’ll find in the
automotive and aerospace industries rely on model-based design because the
We will end this chapter with a short discussion on model-based design. hardware is expensive, mimicking the real operational environment in a test
The intent of this section is not to give you a full understanding of model- is difficult, and it allows very large teams to work in the same environment
based design - that would require its own book - but to put the concept effectively.
of block diagrams into the context of how you will more than likely use
them in industry. This context will also help you to understand how control In model-based design, a lot of effort is put into creating very accurate math-
theory, and the algorithms you’ll learn throughout this book, fit into the ematical models of the physical hardware and the environment in which it
larger systems engineering process. will operate. Building the model is typically done in parallel with the hard-
ware and software engineers who are developing the system. If you recall
Model-based design, as the name implies, is a way of engineering that uses from chapter 1 and the section on the three different problems control en-
a model4 as the main tool to help you develop your system rather than real gineers typically solve (the system identification problem, the simulation
hardware like prototypes and physical mock-ups. If you’ve never partici- problem, and the control problem), model-based design is what allows us
pated in a large-scale engineering effort, you might not understand what to solve the simulation problem. We have our model of the system and we
is meant by that last sentence. Therefore, I think comparing these two ap- know the inputs to the system, therefore, we can use simulation to determine
proaches will help you understand how a model can take the place of the how it will behave given those inputs. If your models are accurate enough,
physical hardware across the entire engineering life cycle - and ultimately, then you can make a claim with some confidence that the real system will
how block diagrams help with the modeling effort. behave in a similar manner. Ultimately, it is simulation that takes the place
of testing on physical hardware in the model-based design approach.
Engineering projects typically start with a needs analysis. Before you ever
start designing anything you need to determine what you’re trying to accom- No matter which design approach you take, requirements are set at the sys-
4 Model in this sense means a mathematical model, not a scaled physical version of what you’re
tem level and then as the project matures, they are flowed down to smaller
building and smaller components until you have enough of an understanding of how

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the system needs to behave to begin implementing the design. In model- ponents as standalone units, even if those components won’t fully operate
based design, the requirements can take the form of the block diagrams and without the rest of the system, by replacing the rest of the system with a
mathematical models. In other words, the designers are trying to implement simulation. Simulated inputs are fed into the physical component and the
a system that matches the model. Of course, when you are creating your sensed behavior of the component are fed back into the simulation. In this
model, you have to make sure that it is something that can be realized in way, you get the dual benefit of testing the real hardware as soon as it’s avail-
the real world. It does you no good to develop a model that is physically able, as well as, the ability to precisely control the inputs to the unit under
impossible to implement or has no basis in reality. test.

Modeling, simulating, and implementing the design don’t occur in a linear Model-based design simplifies test in another way. One purpose of testing
fashion where you always progress from one to the next in order. In real is to verify that the real physical system behaves the way you need it to
engineering projects, all three contribute to each other as the design spirals in an operational environment. This can be difficult to accomplish if the
into a more mature system. It is this quick turn between making a change operational environment is hard to achieve. Take, for example, verifying
to the model and then simulating it to determine the impact on the system that a satellite is capable of pointing its antenna accurately in space. You
that allows projects to catch design errors early. Without the model-based can mimic the space environment in a thermal vacuum chamber and you can
design approach, projects typically don’t find design errors until the system try to simulate the microgravity environment with clever rigging. However,
is mature enough to build prototype hardware and a physical test can be you’ll never be able to design a physical test that perfectly matches the space
executed. If your hardware is inexpensive and can be built quickly, then environment - and any test that comes close to it is very expensive to set up
using the hardware early to find errors is a perfectly good way to approach and run. Instead, you can develop models of the space environment and the
your project. That approach might even be easier because you don’t have the satellite, verify each component of the model is accurate, and then use the
risk of making an error in your mathematical models. However, for many model to simulate how the system will behave in space. This might seem
large engineering projects, the risk of modeling errors is much lower than like a risky approach, but a huge amount of money and time has been spent
the risk to the budget and schedule with multiple hardware design cycles. developing very accurate models in the aerospace industry.

Of course, even the model-based design approach doesn’t remove the need At this point, you might be wondering how any of this has anything to do
for prototype hardware and physical test - it just reduces the number of hard- with block diagrams. Well, if block diagramming a system wasn’t so useful,
ware design cycles and design errors that you’ll find while testing. When then perhaps not much. I mean, we could simulate our system by coding the
it comes to physical testing, model-based design can allow you to start test- mathematical equations in a text-based programming language like C. Es-
ing hardware earlier in the project life cycle by using hardware-in-the-loop sentially, we would just be writing a piece of software that we could execute
(HITL) testing. With HITL, you can selectively test individual physical com- to generate the simulation results. However, engineers (especially control

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engineers) have found it useful to construct their models as a block diagram 2. Simplify these block diagrams. Find the transfer function for each sys-
rather than as textual code. This is because the systems we are creating are tem.
inherently hierarchical and lend themselves nicely to a graphical representa- a)
tion.

This has led to model-based design tools like Simulink from Mathworks
and LabVIEW from National Instruments to use block diagrams as the way
they describe and visualize dynamical systems. Of course, with these tools,
you can build models that are nonlinear and in mixed domains5 and the tool
b)
itself takes care of all of the transformations and keeps everything consistent.
However, the understanding you get by working with block diagrams by
hand with transfer functions, and especially when dealing with simplifying
them, will go a long way to getting you comfortable working with model-
based design tools.

c)
3.6 Try This!

1. Find all of the forward paths, parallel paths, and loops in the following
block diagram. How many nodes are there?

d)

5 Your model can have elements in the time domain, frequency domain, and the s domain

simultaneously.

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Chapter Credits
3. Prove that adding unity feedback to transfer function G(s) results in the
G(s)
forward path function 1 G(s) .

Meg Douglas Kirkland, Washington Mariano Lizarraga

4. Reduce this block diagram to create a system with unity feedback.

Thanks for making this chapter awesome!

149

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 A Transforms

A.1 Fourier Transform

Appendices
Coming soon!

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