MECHATRONICS

Principles, Concepts and Applications

 About the Author

Dr. Nitaigour Premchand Mahalik received his B.Sc. (Engg.) in Electronics and Telecommunication
Engineering in the year 1989 and Master of Engineering in Electronics Systems and Communication
Engineering in December-1993 from the University College of Engineering (UCE), Burla. He did his
Ph.D. in Engineering in June 1998 from the De Montfort University, U.K. and Postdoctoral research
in June 2002 from Kwangju Institute of Science and Technology, South Korea. He joined UCE, Burla
functioning under the Biju Patnaik University of Technology, Orissa as a lecturer in the Department of
Electronics and Telecom Engineering in 1990. He was promoted to the post of Senior Lecturer in
1994 and is presently continuing as Assistant Professor in the same Institute with an additional
assignment of Controller of Examinations.
He is the recipient of the prestigious National Oversers Scholarship from the Govermment of India
for Ph. D. study abroad in the field of Mechatronics, and Brain Korea-21 Fellowship from the
Govermment of South Korea for Postdoctoral research in the field of “Real-time Intelligent Distributed
Machine Control Systems” in the Department of Mechatronics at Kwangju Institute of Science and
Technology, South Korea.
He was invited as Visiting Professor to the Moscow State Technological University, Russia in the
year 2001. Recently, Dr. Mahalik has completed editing a book “Fieldbus Technology; Industrial
Network Standards for Real-time Distributed Control”. He is the author of more than 40 academic
research papers that have already been published at National as well as International levels.
He is a member and associated member of the various professional bodies such as ISTE (I), MMF
(UK), MMF (I), MISA (USA). He is the reviewer of the International Journal of American Society of
Nuclear Energy and International Association for Science and Technology Development, Canada.
 MECHATRONICS
Principles, Concepts and Applications

Nitaigour Premchand Mahalik

Assistant Professor
Department of Electronics and Telecom Engineering
University College of Engineering
Burla, Orissa

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Cover: De-Unique

RALQCRBDRYRCX
 Dedicated to
My parents
and
Mechatronics Research Group
De Montfort University
Leicester
UK
 Preface

The technological education and research scenario, all over the world, is turning towards a multi-
disciplinary one. Worldwide technical education curriculum has been a reverse structure in contrast
to the traditional methodology. Thus, the present scenario is different as compared to the recent past
in the sense that the engineering disciplines are now dilating instead of diverging. The primary reason
being that the current technological designs are of highly complex and inter-interdisciplinary nature
involving synergistic integration of many aspects of engineering knowledge base. This book covers
the aspects of interdisciplinary subjects synergistically.
The discipline Mechatronics is enormous in magnitude. Ideally it combines mechanical, electronics,
electrical, software engineering, information systems, communication, control and artificial
intelligence. Mechatronics is being taught to the engineering students at undergraduate (UG) and
postgraduate (PG) levels all over the world. In foreign universities, almost all engineering disciplines
have included mechatronics as a subject in their curriculum (The author has visited many foreign
universities and has gone through their syllabus meticulously).
In future, the subject mechatronics is very likely to find a place in the curriculum of all engineering
disciplines, just as the subject Basic Electronics did a few years back. It will be effectual if all
engineering students are given the scope of learning this important subject. This book can be used as
a textbook at the UG and PG levels in almost all engineering disciplines, especially, Electrical,
Electronics, Mechanical and Manufacturing engineering disciplines. A wide range of researchers will
be able to find many useful tips and hints from this book.
The integration of various theories, principles, techniques, methodologies and standards to cater to
the pressing needs have long been emerging as new disciplines. For instance, background figures
about advanced machines and their dominant functional subsystems, perception, cognition and
execution can be better understood with an overview of the concept of architecture, and this is very
close to the definition of mechatronic systems. Specialized opportunity at the UG and PG level should
 viii
Preface

embody source of concepts and techniques, which have recently been applied in practical situation. It
is true that knowledge can be acquired passively. But, students have to ripen their academic skills by
actively learning from the valuable lessons. This book aims towards satisfying that requirement. The
author covers the essential subject matter by explaining the meaning and significance of the key
topics. Comprehensive in scope, and gentle in approach, the book will help the readers grasp the
basics and understand the implementation of the concepts gradually.
In view of the above, the importance of the study of mechatronics, its emergence, definition and
principles have been dealt with in Chapter 1. The broad knowledge accommodating the principle of
mechatronics has been described logistically, so that the readers can grasp the essence of the topic.
The scope of mechatronics is also discussed briefly.
Chapter 2 includes the mathematical tools and theories required for the mechatronic study. Besides
the basic study in terms of definition and description, the insight into the usefulness and applicability
of such tools and theories have been depicted and focused respectively. In particular, the significance
of Fourier series, Fourier transform and Wavelet transform are elucidated. Advanced discrete-time
signal processing methods such as Discrete Fourier Transform (DFT), Fast Fourier Transform (FFT)
are introduced. The distinction between differential equation and difference equations from control
schematic is ascertained. The chapter also deals with Laplace Transform and Z-Transform, the
important mathematical tools, which are mainly used to solve system problems.
In Chapters 3 and 4 different types of fundamental components used for mechatronic system
design applications have been described. These include semiconductor electronics, basics of
electronic components, electrical relations, circuit elements, circuit analysis, fundamental aspects of
digital techniques, digital theory such as Boolean algebra, logic functions such as AND, OR, and
NOT, building blocks of digital technology such as logic gates, flip-flops, registers, counters and
multiplexers.
Chapter 5 focuses on the principle of operations of various types of commonly used transducers
and sensors. In particular, the chapter provides an overview of transducers, which are seen to be
common in many mechatronic systems or products. The concept of intelligent sensors has also been
explained at some places in the following chapters. The equipments used for the measurement of
electrical and electronics parameters have also been described.
Within mechatronic systems, many signals require some amount of signal conditioning or signal
processing at the intermittent point of interaction. Some of the signal conditioning functions are
rectification, amplification, filtering, Analog to Digital Conversion (ADC), Digital to Analog
Conversion (DAC), Isolation, multiplexing to name a few. Chapter 6 deals with these.
Chapter 7 discusses the various types of commonly used industrial actuators, such as
electromechanical, pneumatic, smart material based actuators, etc. developed and implemented so
far. The concept of intelligent actuators has also been explained from the mechatronic point of view
in the subsequent chapters.
Mechanisms play very important role in designing mechatronic systems. Mechanisms within
machine systems are realized by the use of basic building blocks, which are referred to as mechanical
components. Some of the mechanical components are belts, pulleys, gears, bearing, chains and
sprockets, cam and follower, ratchet and pawl, crank and pinion, and so on. Fundamental studies on
such mechanical components have been presented elaborately.
Sophisticated and flexible control has continuously been changing the automation system. In the
past, most industrial control systems were relay or PLC-based with nearly a one-to-one input-output
 ix
Preface

ratio. To improve communication, control capabilities, implementation simplicity, efficiency, reliability

and safety in the system design, microprocessor and/or microcontroller-based control implementation
scenario emerged. Microprocessor and microcontroller-based control systems have become
increasingly popular not only in mechatronic systems but in many other industrial applications such as
process control, SCADA, home appliances, etc., because of their versatility, functionality and high
integration level. Chapter 8 deals with these.
The behaviour of the engineering system is studied through modeling and analysis. This requires
system identification and study of system response, transfer function and frequency response. In the
sequence, role of modeling, its definition, techniques and methods have been presented lucidly. The
input-output relationships of the systems are governed by the ordinary differential equations and state-
space model called model equations. The resulting models shape the foundation for understanding,
studying and manipulating the behaviour of the systems. In particular, system response deals with
studying the behaviour of the system in which changes occur and predictions are desirable. The
transient and steady state behaviour of first and second order systems are studied by applying test
signals such as step, ramp and sinusoidal signals at the inputs. Control systems are characterized by
their frequency response functions. Frequency response is a mean to estimate the system
performance in terms of determining the bandwidth and the disturbance rejection of the system. The
definition of the transfer function and its usefulness and the frequency response curve and its
applicability has been described. Chapters 9, 10 and 11 deal with these topics.
Chapter 12 deals with introduction to open loop, closed loop, intelligent and feedback control
scheme and diagnostics methodologies. The control principle, such as PI, PID, etc. have also been
discussed in this chapter. Further, it focuses the relative merits and demerits of digital control
implementations. The chapter also introduces the notion of soft-computing technology. The
foundation leads to understand the underlying concepts of artificial intelligence.
Development workbench such as computer platform and software tools and systems play very
important role in every aspect of system design. Mechatronic systems are to be built, designed,
monitored, controlled and simulated using hardware and software tools, workbench (platforms) and
techniques. The definition and description of computing workbench that includes an operating system
(OS) and a useful presentation about the software engineering in terms of software methodology have
been presented in Chapter 13. Hardware and software integration parameters such as modularity,
scalability, extendability, flexibility, interoperability, interchangeability and open system have been
introduced at appropriate points. Many application-oriented design and implementation methodologies
and principles such as Object-Oriented methodology, Client-Server Architecture (CSA), Distributed
Control System (DCS), etc., have been delivered so as to enable the readers to have deeper knowledge
as to how the software are interfaced with the real target mechatronic platforms.
Component-based design is a new concept that is being used for the design of systems
interdisciplinary in nature. It adopts ideas, methods, tools and techniques from all the disciplines
involved. This concept has been introduced in Chapter 14. Validation is a process of assessment of
the performance of the system. Fault Detection and Isolation (FDI) and Diagnostics and Prognostics
(DAP) are the two main topics studied under validation. Chapter 14 also describes the validation
methods and their implementation principle.
It can be safely claimed that this book provides the fundamental knowledge on the advanced ways
of designing and controlling traditional electromechanical systems. Mechatronic systems being
 x
Preface

electromechanical in nature integrate I/O devices such as sensors and actuators and they need to be
controlled flexibly by adopting advanced control methodology and techniques. The knowledge gained
so far has to be implemented by integrating the software, hardware, tools, methods and techniques in
the real application platforms. In Chapters 15 and 16, the available methods, tools, techniques and
platforms for the realisation of the control in response to systems’ requirement are dealt with. These
two chapters fill the gaps between theoretical study and practical implementation. These chapters
include many examples of mechatronic systems and are the proper extensions of the Chapter 1 in
terms of detail technical touch and understandings. The presentation deals with issues involved in
integrating microcontrollers, advanced technology, computers, workbench and associated
measurement systems for design, development, control, data acquisition, presentation, simulation,
analysis and validation. Some emphasis has been given in terms of explaining the relative merits and
demerits of centralized and distributed, supervisory control and data acquisition (remote monitoring
and control) methods. More explanation of real-time systems, response time, throughput, events,
transition, coherence, coordination, synchronisation and many control related useful parameters have
been made clear.
The users of the book are requested to give feedback for further improvement of the text.

NITAIGOUR PREMCHAND MAHALIK

 Acknowledgements

I appreciate the valuable comments given by the reviewers, namely Prof. Himanshu Sharma of BITS,
Pilani and Mr Vikas Chawla of Lala Lajpat Rai Institute of Engineering and Technology. They found
time in their busy schedules to read the text and offer valuable suggestions for improvement. I also
render my thankfulness to the editor Ms Vibha Mahajan and Mr. K. Srinivas for their encouragement
and counsel throughout. I also owe the deep sense of love to my students from whom I have gathered
so much of feedback during my teaching and interaction.
Further, I want to extend my profound sense of gratitude to Professor Philip Ronald Moore, the
Head of Mechatronics Research Group, De Montfort University, UK, who had really planted the seed
of Mechatronics in my brain. I would also like to extend my sincere appreciation to Professor S K
Lee, Head, Micro-manufacturing Laboratory, Kwangju Institute of Science and Technology, South
Korea who made many suggestions to the book throughout its various phases.
Moreover, I would like to acknowledge the Intel Corporation, USA; Andantex, USA; Perry Sink of
Synergetic Micro System Inc.; UCE, Burla for supplying (directly or indirectly) materials, data,
questions, etc., for the book.
Last but not least I want to thank my wife (Ellyy) and two sons (Likun and Pikun) for sacrificing
their valuable moments and making it all worthwhile.

NITAIGOUR PREMCHAND MAHALIK

 Contents

Preface vii
Acknowledgements xi

1. Introduction 1
1.1 Background 2
1.2 Multidisciplinary Scenario 2
1.3 Origins 4
1.4 Evolution of Mechatronics 5
1.5 An Overview of Mechatronics 6
1.6 Brief Introduction to Manufacturing 7
1.7 Design 10
1.8 Scope of the Book 10
Points to Remember 24
Exercises 25

2. Signal Theory and Engineering Tools 27

2.1 Introduction 28
2.2 Background 28
2.3 Signal Nomenclature 32
2.4 Signal Analysis and Processing 35
2.5 Multi Domain Signal Representation 35
2.6 Analysis and Representation of Periodic Analog Signals 37
2.7 Analysis and Representation of Nonperiodic Analog Signals 40
2.8 Discrete Fourier Transform and Fast Fourier Transform 44
2.9 Analysis of Signals in Time-frequency Domain 46
2.10 Differential Equation 48
2.11 Laplace Transformation 49
2.12 Difference Equation 55
2.13 Z-Transformation 56
xiv
Contents

2.14 Summary on Transforms 61

2.15 Power and Energy of the Signal 61
2.16 Modulation and Demodulation 62
Points to Remember 64
Summary 65
Exercises 66

3. Electrical Components and Electronic Devices 69

3.1 Introduction 70
3.2 Basics of Electrical Components 70
3.3 Basics of Electronic Devices 78
Points to Remember 96
Summary 97
Exercises 98

4. Basics of Digital Technology 102

4.1 Introduction 103
4.2 Digital Number System 103
4.3 Range and Weight of Binary Number System 104
4.4 Binary Weight 104
4.5 Conversion 105
4.6 Octal and Hexadecimal Number Systems 107
4.7 BCD Number Systems 109
4.8 Gray Code 111
4.9 DNS Arithmetic 113
4.10 Boolean Algebra 115
4.11 Logic States 116
4.12 Logic Functions 118
4.13 More About Logic Gates 118
4.14 Universal Gates 121
4.15 Exclusive-OR Gate 122
4.16 Combinational and Sequential Logic Circuits 124
4.17 Flip-Flops 124
4.18 Minimization of Boolean Expression 132
4.19 Karnaugh Map 134
4.20 TTL and CMOS 140
4.21 Memory 141
Points to Remember 143
Summary 144
Exercises 145
 xv
Contents

5. Transducers and Sensors 149

5.1 Introduction and Background 150
5.2 Difference between Transducer and Sensor 150
5.3 Transducer Types 151
5.4 Transduction Principle 151
5.5 Photoelectric Transducers 152
5.6 Thermistors 155
5.7 Thermodevices 157
5.8 Thermocouple 157
5.9 Inductive Transducers 160
5.10 Capacitive Transducers 162
5.11 Pyroelectric Transducers 163
5.12 Piezoelectric Transducer 164
5.13 Hall-effect Transducer 166
5.14 Ionisation Transducers 168
5.15 Light Emitting Diode 169
5.16 Optical Encoder 170
5.17 Bimetallic Strip 174
5.18 Bourdon Tube 175
5.19 Strain-gauge 176
5.20 Load Cell 177
5.21 Diaphragms 178
5.22 Mechanical Switches 179
5.23 Flow Transducers 180
5.24 Fibre Optic Transducers 181
Points to Remember 182
Summary 184
Exercises 184

6. Signal Conditioning Theory, Circuits and Systems 186

6.1 Introduction 187
6.2 Voltage divider 187
6.3 Rectification 189
6.4 Diode Voltage Stabilizer 191
6.5 Clipping and Clamping Circuit 192
6.6 Amplifier 194
6.7 Isolator (Unity Amplifier) 200
6.8 Instrumentation Amplifier 202
6.9 Bridge Circuit 202
6.10 Comparator 204
6.11 Oscillator 207
xvi
Contents

6.12 555 Timer 210

6.13 Sample and Hold 214
6.14 Clock 216
6.15 Analog to Digital Conversion 216
6.16 Galvanometer, Ammeter and Voltmeter 224
6.17 Cathode Ray Oscilloscope 226
Points to Remember 230
Summary 231
Exercises 231

7. Actuators and Mechanisms 235

7.1 Introduction 236
7.2 Actuator Types and Application Areas 237
7.3 Electromechanical Actuators 238
7.4 DC Motor 238
7.5 AC Motors 244
7.6 Fluid Power Actuators 249
7.7 Piezoelectric Actuators 254
7.8 Magnetostrictive Actuators 256
7.9 Memory-metal Actuator 257
7.10 Ion-exchange Polymer-metal Composites 257
7.11 Chemical Actuator 258
7.12 Mechanisms 258
7.13 Bearings 258
7.14 Belt, Chain 264
7.15 Pulleys 264
7.16 Gears 266
7.17 Rack and Pinion 270
7.18 Ratchet, Pawl and Crank 271
7.19 Slider and Crank 271
7.20 Cams and Follower 272
7.21 Chain and Sprocket 275
7.22 Geneva Wheel 276
7.23 Four-bar Linkages 277
Points to Remember 278
Summary 279
Exercises 280

8. Microprocessors and Microcontrollers 284

8.1 Introduction 285
8.2 Microprocessor-based Digital Control: An Example 286
 xvii
Contents

8.3 Basic Elements of Control Systems 287

8.4 Checks Its Own for What to Do Next 289
8.5 Microprocessor Architecture 289
8.6 Terminology 290
8.7 Instruction Types 303
8.8 Addressing Modes 303
8.9 What You Know Now 304
8.10 Intel’s 8085A Microprocessor 304
8.11 Microcontrollers 307
8.12 General Requirements for Control and Their Implementation in
Microcontrollers 309
8.13 Classifications 312
8.14 Intel’s 8XC196KC/KD Microcontrollers 312
8.15 Programmable Logic Controllers (PLC) 318
Points to Remember 320
Summary 321
Exercises 322

9. Modeling 324
9.1 Introduction 325
9.2 System 325
9.3 Modeling 327
9.4 Mechanical System 327
9.5 Electrical Systems 331
9.6 Fluid Systems 332
9.7 Thermal Systems 334
9.8 Engineering System 336
9.9 Translational Mechanical System with Spring, Damper and Mass 337
9.10 Rotational Mechanical System with Spring, Damper and Mass 339
9.11 Modeling Electric Motor 340
9.12 Modeling Chamber Filled with Fluid 343
9.13 Modeling Pneumatic Actuator 344
Points to Remember 348
Summary 349
Exercises 349

10. System Response 351

10.1 Introduction 352
10.2 Input-Output Model Equation and System Characterisation 352
10.3 Instantaneous, Lagging and Delay Response 355
xviii
Contents

10.4 Transient-response Specification 356

10.5 Test Signals 357
10.6 Output Response of First-order Systems 358
10.7 Output Response of the Second-order Systems 363
10.8 Output Response of Second-order System-Step Input 367
10.9 Output Response of Second-order System-Sinusoidal Input 370
10.10 State-space Model 372
10.11 State-space Model of the nth Order SISO System 374
Points to Remember 376
Summary 377
Exercises 377

11. Transfer Function and Frequency Response 379

11.1 Introduction 380
11.2 Frequency Response; Background 380
11.3 Transfer function, Background 381
11.4 More About Transfer Function 383
11.5 Solving for the Output Response by the Use of Laplace Transform 384
11.6 Frequency Response of the Systems 387
11.7 Frequency Response of the First Order Systems 388
11.8 Frequency Response of the Second Order Systems 390
11.9 Pole-Zero Plot 393
Points to Remember 396
Summary 396
Exercises 397

12. Principles of Feedback and Intelligent Control 399

12.1 Introduction 400
12.2 Control Systems 400
12.3 Open-loop Control Systems 400
12.4 Closed-loop Control Systems 402
12.5 The Controllers 404
12.6 More About Automatic Control 409
12.7 Defining Automatic Control Methods 409
12.8 Artificial Neural Network 411
12.9 Fuzzy Logic 413
12.10 Diagnostics 417
12.11 Analog Versus Digital Control 421
Points to Remember 426
Summary 426
Exercises 427
 xix
Contents

13. Development Tools and Concepts 429

13.1 Introduction 430
13.2 Computer 430
13.3 Software 435
13.4 Operating System Software 436
13.5 Application Software 439
13.6 MATLAB 442
13.7 More Common Programs and Software 452
13.8 Software Methodology 453
13.9 Computer Network 455
13.10 Industrial Computers 457
13.11 Control Architecture 457
13.12 Distributed Control Systems 459
13.13 Fieldbus Technology 465
13.14 Web-based Monitoring and Control 470
Points to Remember 471
Summary 474
Exercises 474

14. Components-Based Modular Design and System Validation 477

14.1 Introduction 478
14.2 Components-based Modular Design View 478
14.3 System Validation 482
14.4 Validation Methodology 484
14.5 More About Validation Scheme 488
14.6 Fusion Technique; An Example with Vision System 490
Points to Remember 492
Summary 493
Exercises 494

15. Integration 495

15.1 Introduction 496
15.2 Background 496
15.3 Advanced Actuators 496
15.4 Consumer Mechatronic Products 502
15.5 Hydraulic Fingers 502
15.6 Surgical Equipment 502
15.7 Industrial Robot 502
15.8 Autonomous Guided Vehicle (AGV) 509
15.9 Drilling Machine 512
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Contents

15.10 Conveyor-based Material Handling Systems 513

15.11 Discussions 523
Points to Remember 526
Summary 528
Exercises 528

16. Mechatronic Design Strategy: An Example with High Speed Spindle 530
16.1 Background and Introduction 531
16.2 Spindle System Review 533
16.3 Dynamic Modeling of HSSS 533
16.4 Important Design Criteria 539
16.5 Diagnostics and Prognostics 546
16.6 SEA Scheme 549
16.7 Approach to the Design of Control Systems 554
16.8 Remote Monitoring and Control 559
Points to Remember 560
Summary 561
Appendix 563
References 565
Index 573
 1
Introduction

· To substantiate the need for interdisciplinary study in technology education.

· To present the evolution of interdisciplinary subjects.
· To define the term mechatronics and highlight its origin.
· To give an overview of mechatronics discipline.
· To provide a brief introduction to manufacturing science and technology.
· To present the scope of mechatronics.
· To provide some examples of mechatronic systems.
 2
Mechatronics: Principles, Concepts and Applications

1.1 BACKGROUND
In recent years, the application of digital microelectronics and computers in design and manufacturing
sectors has considerably improved productivity and quality of many mechanical products.
Automation and control methods, adopting integrated embedded technology has become relevant to
industries, machineries and consumer products. Automation and control represent a broad topic with
applications in many disciplines, including production, industrial and manufacturing engineering,
process control, robotics, instrumentation, home automation, and many others based upon
sophistication, flexibility and state-of-the-art technology. Mechatronics, an enabling discipline, has
already emerged to cater to the need for sophistication and flexibility and in fact has become a
preferred choice for the current generation of real-time automation and control solutions for traditional
mechanical systems.
This book incorporates fundamentals to the mechatronics engineering and technology. The
technological trend in this domain has to be disseminated extensively so the mechatronics revolution
can evolve quickly and serve the society. The book intends to focus on theory, principles, basics,
concepts, and the latest developments in the context of mechatronics discipline conforming to
different techniques and standards so far developed and available in the technology domain. The book
also includes a number of examples with regard to applicability of mechatronics in order to provide
readers a great deal of understanding.

1.2 MULTIDISCIPLINARY SCENARIO

The worldwide technical education curriculum has been a reverse pyramid structure, in contrast to
traditional teaching methodology as depicted in Fig. 1.1. One can distinguish between the traditional
and current curriculum scenarios which are separated by an axis. This figure shows how the original
electrical and mechanical disciplines have given birth to new disciplines like electronics and production
engineering, respectively, which further encouraged many other branches to emerge over a period of
time. The present scenario, however, differs from that of the recent past. The engineering disciplines
are now dilating instead of diverging, this is because of the requirement of interdisciplinary knowledge
at the production place.
For manufacturers, adoption of modern and matured technology with improved capability is
paramount in order to meet their competitive challenges in the technology marketplace. In fact, new
multi-disciplinary subject in the name of “mechatronics” has been attracting not only manufacturers
but also engineers, developers, researchers, and academicians. With the advent of digital technology
(gates, timers, counters, analog-to-digital converters, digital-to-analog converters, etc.), low cost
VLSI (Very Large Scale Integration) chips, ASIC (Application Specific Integrated Circuit) devices,
embedded technology, control networking systems (fieldbus technology), microcontrollers (8-, 16-,
32-bit floating point chips, CISC, RISC, etc.), industrial computers (PCI, CompactPCI, VME, PC/
104, etc.), information technology (data networks such as LAN, WAN, MAN, etc.), advanced
software tools and techniques (CAD/CAM, GUI, and OLE, 32bit or more, OO-based, component
model, etc.), real-time tools and techniques (crystal clock, embedded real-time executives), soft-
computing methods (Artificial Neural Network, Genetic Algorithm, Fuzzy Logic, Artificial Immune
Network), and agile manufacturing engineering (AME) the engineering field is being radically altered.
 3
Introduction

Technological design has become a high-risk endeavour due to the lack of knowledge and
experiences on interdisciplinary subjects and methods. Advanced technological designs are highly
complex and interdisciplinary nature involving synergistic integration of mechatronics, photonics,
computronics, and communication. Technological development and innovations would thus require
simultaneous knowledge of discrete fundamentals already developed to date. Synergistic integration is
solitarily logic-based integration. Combined action and cooperation increases effectiveness and
productivity. Figure 1.2 shows that the productivity of an industry can increase up to 40% by
employing engineers with interdisciplinary degrees at the basic level.

Mathematics

General Science

Engineering and Technology

L
NA
IO

Electrical Control Mechanical

IT
AD
TR

Electronics Production Robotics Manufacturing

Axis

Instrumentation Telecommunication Computer Mechatronics

Electronics and Telecommunication Aerospace Micro/Nano Manufacturing

T
EN

Electronics and instrumentation

RR

Information Technology
CU

High-level
Optoelectronics Computronics
Research
Stage

Fig. 1.1 Convergent scenario of the technical disciplines

 4
Mechatronics: Principles, Concepts and Applications

100%

60%

Productivity

ID = Engineers with interdisciplinary degrees WID ID

WID = Without

Fig. 1.2 An estimated increase in productivity up to 40% with engineers having

interdisciplinary degree

In the context of productivity, an example is evident. In designing an advanced motorized actuator,

based on the constant Voltage/frequency (V/f) principle, traditionally six types of engineers would be
employed: a mechanical engineer would design the mechanical structure with the knowledge to
optimize the design parameters to overcome the effect of vibration, and thermal deformation; an
electrical engineer would be brought in to ensure the windings conforming to IEEE (Institution of
Electrical and Electronics Engineers) standards; the electronic engineer would design the
instrumentation part of the motor since the design of highly sensitive optical encoders and other
sensory devices is of paramount importance; a control engineer would control the speed utilizing V/f
principle since they know about the stability and controllability issues; a communication engineer
would suggest how to use optical fiber within the design in order to overcome factory floor
interference, bandwidth limitations, and safety regulations; and finally a computer engineer would
interface the long awaited actuator so it could be monitored and controlled remotely using LAN (Local
Area Network) or WAN (Wide Area Network). Some might hold the above example as a simple one
(it is not so simple in reality!). But, if we take examples of designing space shuttles, air crafts,
industrial machines, automobile engines, robots, semi-autonomous machineries, other machineries
(lifts, cranes) that are considered mechatronic platforms and are used in modern society, the real
question as to how multidisciplinary knowledge plays a paramount role can be better understood.

1.3 ORIGINS
The field of mechatronics has received international recognition only within the last few years,
although it is rooted in efforts on sensors and actuators that go back thirty years or more. The field
has been driven by rapid global progress in the field of microelectronics, where solid-state
microprocessors and memory have revolutionized many aspects of instrumentation and control, and
have facilitated explosive growth in data processing and communications.
The word mechatronics originated in Japan in late 1970s to describe a philosophy adopted in
designing subsystems of electro-mechanical products. Since those early days there have been major
advances in the technology and the methods that have become available to manufacturing industries.
Mechatronics, although still a relatively new term compared with many of the traditional branches of
 5
Introduction

engineering, now appears firmly established. Individuals, industries, and universities around the world
are now using the term freely. At the research and development (R&D) level, ten technical areas are
classified under the mechatronic discipline [1]. They are,
· Motion Control
· Robotics
· Automotive Systems
· Intelligent Control
· Actuators and Sensors
· Modeling and Design
· System Integration
· Manufacturing
· Micro Devices and Optoelectronics
· Vibrations and Noise Control
However, to deal with all the above areas of research, fundamental study at the basic level is
necessary.

1.4 EVOLUTION OF MECHATRONICS

Recently, technology sectors all over the world have recognized the importance of the mechatronics
discipline for their product design for which it has become a buzzword. The concept was originated
by the Japanese technocrats such as control system integrators, consumer electronics manufacturers,
university researchers, etc. Later, Scandinavian, American, and European engineers experienced the
significance and applicability in the design of electromechanical systems and also in the other notable
application areas. In fact, the mechatronic-based design concept now exists in the domains such as
consumer products, automatic cash machines, robots, printers, heavy and light vehicle engines, air
craft engines, door locks, surgical instruments, industrial machines, agricultural equipment, and
household equipment, to name a few. It is apparent that the knowledge of mechatronics is a prime
requirement and is considered fundamental to engineers of all fields.
Mechatronics has been defined variously. According to the Mechatronics Forum (UK) a precise
and common definition is as follows:
“Mechatronics is the synergistic integration of mechanical engineering with electronics and
intelligent control algorithms in the design and manufacture of products process.”
The term synergistic plays an important role in framing the syllabus for mechatronics subjects.
Synergistic integration means the mechatronics engineers do not have to study selected but definitive
portions of mechanical engineering, electronics/electrical engineering, computer engineering, and
control engineering. This is because of the fact that some subjects are redundant as far as the design
and manufacture of products process is concerned. Aspects of engineering that are vital for the
design and manufacture of products process are to be included.
An evolution process exists in all aspects of life. With regard to mechatronics, this technology has
evolved through several stages that are primarily defined in terms of
· Primary level mechatronics
· Secondary level mechatronics
· Tertiary level mechatronics
· Quaternary level mechatronics
 6
Mechatronics: Principles, Concepts and Applications

1.4.1 Primary Level Mechatronics

In early days mechatronics products were at the primary level. This level encompasses input/output
(I/O) devices such as sensors and actuators that integrate electrical signaling with mechanical action
at the basic control level. Electrically controlled fluid valves and relay switches are two examples.

1.4.2 Secondary Level Mechatronics

Secondary level mechatronics integrates microelectronics into electrically controlled devices.
Sometimes these products are stand-alone. An example is a cassette tape player.

1.4.3 Tertiary Level Mechatronics

This level further enhances the quality in terms of sophistication by incorporating advanced feedback
functions into the control strategy. The mechatronic systems at this level are called smart systems.
The control strategy uses microelectronics, microprocessors, and other application-specific
integrated circuits (ASIC) as bits and pieces for control realization. A microprocessor-based electrical
motor used for actuation purposes in typical industrial robots can be considered as an example of
tertiary level mechatronic system.

1.4.4 Quaternary Level Mechatronics

Intelligent control is very much a part of mechatronics now. Modern actuation means that, after all
sensing and decision-making is done an influence is needed to perform the decided upon action.
Machine or plant control intelligence is moving into the realm of human-like intelligence, though in a
very limited way. This level attempts to improve smartness a step ahead by introducing intelligence
and FDI (Fault Detection and Isolation) capability into the systems. At this level, mechatronics means
many things to many people. Artificial Neural Network and Fuzzy Logic try to capture some of the
intellectual capabilities of the intelligence.

1.5 AN OVERVIEW OF MECHATRONICS

There is no specific window through which the discipline of mechatronics is visible in toto, meaning
that the definition of mechatronics is elusive, as is the definition of a computer. The scope of
mechatronics is vast (Refer to Fig. 1.3) and can be enclosed within the following domains of activities:
· Marketing
· Manufacturing
· Design
Marketing signifies market search, identification of user needs, information analysis, and the last
but not least, formulation of product specification.
As manufacturing technology ideas and concepts are growing radically, engineers, designers,
researchers, and company managers are now more keen to understand the fundamental details of its
ingredients. Many articles, reports and books related to manufacturing systems are available. The
manufacturing domain of mechatronics looks into process development, production planning, material
handling, inspection, and quality control.
 7
Introduction

Mechatronics Engineering and Technology

MANUFACTURING
MARKETING
Market search Manufacturing Strategy
User need Total Quality Management (TQM)
Information Just-in-Time (JIT)
Product specification Cellular Manufacturing (CM)
Group Technology (GT)
Concurrent Engineering
DESIGN
Performance Measurement and Costing (PMC)
Flexible Manufacturing Systems (FMS)
Computer Integrated Manufacturing (CIM)
Holonic Manufacturing Systems (HMS)
SPECIFICATION Digital Plant Technology (DPT)
Electronics design Microelectronics
Safety, Intrinsic safety (Analog and Digital) Open Manufacturing Standards
Law, regulation Control engineering
Mechanical design
Open system Software engineering
Analog, Digital
M Testing, Failure analysis
ec
cs

Industrial design han Embedded systems

ni
tro

Simulation ica
ec

l Actuation
El

System response
System study
Integration
Real-time, On-line In Data storage and
f
Sy orm l Management
Sensing, feedback, st ati ro
em on nt
Artificial intelligence s Co DCS, SCADA,
Throughput, Diagnostics,
Response time Tools, techniques
System description
Concepts
System identification

Fig. 1.3 Scope of Mechatronics

This book does not include the detailed topical areas as far as marketing and manufacturing are
concerned, however, in order to grasp the subject matter at this stage of learning, a brief description
adhering to important terms in this domain is outlined in the following section. From various
perspectives, the state-of-the-art of the manufacturing systems and technologies is presented. The
book also keeps distance from marketing strategies. Conversely, the scope of the book is to
accommodate a very comprehensive description as far as ‘design’ fundamentals are concerned.

1.6 BRIEF INTRODUCTION TO MANUFACTURING

Manufacturing Strategy A large number of firms understand the need to restructure
manufacturing for competitive advantage. Strategic manufacturing has a considerable impact on long-
term efficiencies and operation of a business. The management decisions, the core of the
manufacturing strategy, rely upon changes in production techniques, processes, volumes, or
methodologies and require an evaluation of the costs, production performance, and product quality of
the modified system. The most successful approach of a manufacturing strategy involves managers
being guided through strategy formulation by a formal planning process.
Total Quality Management Traditionally, quality control is a formal use of testing to see if
something is outside the specified set of limits called a “standard.” Quality control is described as a
 8
Mechatronics: Principles, Concepts and Applications

measure of the achievement of a specified standard. The International Standard Organization (ISO)
began operating in 1947. It is a worldwide federation of national standards bodies representing many
countries. The ISO has developed many voluntary, consensus-based international standards covering
nearly every field of industrial, economic, scientific, and technological activity. It developed the ISO
9000 standards for quality management and quality assurance. The ISO 9000 family of standards in
terms of Total Quality Management (TQM) is one of the most successful in the history of the
organization. The key benefits of implementing TQM include customer satisfaction and quality of
product, services and enhanced productivity.
Just-in-Time Technique Just-in-time (JIT) is relatively a new concept in manufacturing
processes. The fundamental operating principle of JIT is the delivery of materials to a process exactly
when required. The goal of a JIT approach is to develop a manufacturing system that would require
having only the materials, equipment and peopling on hand. This eliminates the need for material
stock. JIT facilitates streamlining of the flow of materials and the approach is considered a high-level
system management approach for developing, changing, operating, and optimizing a manufacturing
system. It has been implemented in the Japanese manufacturing industries for quite some time.
Cellular Manufacturing A cell is a collection of dissimilar machines or manufacturing
processes dedicated to design similar parts. Cellular manufacturing (CM) is said to be in place when
a manufacturing system encompasses one or more such cells. CM has emerged as one of the major
implementation strategy being used in driving manufacturing competitiveness.
Group Technology Group Technology (GT) is a philosophy that aims to create an efficient
manufacturing environment through the exploitation of inherent similarities in products,
manufacturing processes, or existing designs.
Concurrent Engineering Concurrent Engineering (CE) is defined as ‘a systematic approach to
the integrated simultaneous design of a product and the related processes. CE necessitates that
product and process design be developed simultaneously rather than sequentially. By integrating many
activities such as design, analysis and planning the productivity and cost effectiveness of the
manufacturig products can significantly be increased.
Performance Measurement and Costing (PMC) Performance Measurement and Costing
(PMC), continues to be one of the primary competitive fields of manufacturing. PMC is used by
almost all types of industry and there are a number of standard techniques that are applied to measure
financial performance based on information contained in company accounts, the profit and loss
account and a balance sheet.
Flexible Manufacturing Systems A Flexible Manufacturing Cell (FMC) consists of a group of
CNC (Computer Numerical Controller) machine tools that is capable of manufacturing a family of
similar components. Enterprise-wide factory automation has been growing rapidly with the wide
spread use of CNC machine tools and robotic workstations onto the factory floor. This working
environment transforms the production process, and information flow becomes as important as
materials flow. The components are transported to or from the machine tools by work handling
equipment (e.g. robot, conveyors, Automated Guided Vehicles, etc.) and the whole working
environment is referred to as Flexible Manufacturing Systems (FMS). In response to the need for
FMS, manufacturers have investigated the application of computer technology. Such computer
 9
Introduction

assisted manufacturing systems are called Computer Integrated Manufacturing (CIM). CIM is an
application of technology that can provide an uninterrupted flow of data throughout the manufacturing
and management process. The strategy allows several sections in a manufacturing plant to link up via
a computerized system to improve productivity, efficiency, and availability.
Holonic Manufacturing Systems (HMS) Holonic systems entail a relatively new methodology
applied to the development of Intelligent Manufacturing Systems (IMS). The early concepts of holonic
systems provided a theoretical basis upon which the development of functional IMS could occur. As
defined by the IMS consortium, a holon in a manufacturing system context exhibits one or more of
three main attributes, namely; Autonomy, Co-operativeness, and Intelligence. Autonomy: The ability
of a system element or sub-system to recognise the state of itself or the state of its environment to
perform a demanded task. Co-operativeness: The extent to which the behaviour of a system element
or subsystem co-ordinates its activities by means of communication and negotiation with other
system elements or subsystems to perform tasks within a system. Intelligence: The capability of a
system entity to (a) perform its tasks based on knowledge stored in a knowledge base and reasoning
about the autonomous capabilities, current state, and probable future states, and (b) learn from past
decisions/events, and adapt/improve future decisions.
Digital Plant Technology The requirement to introduce new plants and to modify existing
industrial facilities in ever shorter lead times with proven designs and performance capabilities has
resulted in a move towards the greater use of virtual design and simulation tools. Recently a simulation
platform defined as a basis for realising Digital Plant Technology (DPT) has emerged that enables 3-D
graphical visualisation and modeling of industrial environments. The concept of DPT has been
introduced by Prosolvia Systems with the launch of its virtual manufacturing suite of tools known as
PS-Engine. The digital plant (a digital version of the manufacturing/process plant) generated by the
DPT platform, is fully interactive with the real plant it represents. It conforms precisely to the
configuration of the production equipment and, importantly, changes in real production are
immediately forwarded to the digital plant. Being fully interactive with the production system, DPT
allows programming data to be prepared off-line in the digital plant and downloaded directly to the
industrial system, minimising programming downtime and production stoppages. Visualisation and
understanding is greatly enhanced through the visibility and consistency of information.
Application of Open System Standards in Manufacturing In a manufacturing plant there
exist many components and equipments such as terminals, computers, telephones, printers, and other
data-handling devices. In general, the above mentioned components and equipments have been
developed by numerous manufacturers. The difficulty that arises when attempting to interconnect
such mixed products is that the data format and the data-exchange principle of the equipment
developed by one manufacturer are not compatible with those of another. The solution to effective
communication among these components is to abide by some common set of data-format and data-
exchange rules. In fact, ISO (International Standards Organization) issued a communication system
guideline for a standard architecture in the form of a seven-layer model known as the Open System
Interconnection (OSI) Reference Model. The purpose of the layered model is to provide a common
basis for unified communication. This unified communication standard is referred to as open system
standard. The standards define the format in which data is exchanged, remote systems are accessed,
and services are involved. An open system can thus be defined as a set of standard relationships,
 10
Mechatronics: Principles, Concepts and Applications

applicable across all platforms that would enable end-user to buy off-the-shelf products to achieve
coherent communication. The open system standards support the creation of system architectures
that can be built articulately.

1.7 DESIGN
With regard to the design of mechatronic systems the concentration is on studying fundamental
aspects of sensors, actuators, control and integration methods. Depending upon the load involved and
sophistication required, actuating devices, sensing elements, and control algorithms are implemented.
Irrespective of the structure and implementation, broadly the core of a mechatronic system
incorporates Mechanical, Electronics, Control and Information system engineering. A brief
description follows.
Subject areas of mechanical engineering are vast. However, mechatronics conformant topical
subjects are actuation, modeling and mechanisms. Electronics is the field of manipulating electrical
currents and voltages by the use of passive and active components. They are connected together to
create circuits for controlling mechatronic systems. Electronic circuits range from a simple load
resistor that converts a current to a voltage, to central-processing units (CPUs) and ASIC (Application
Specific Integrated Circuit) that can contain more than a million transistors. Various control schemes
such as feedback control, adaptive control, intelligent control, depending upon the sophistication and
requirement specification are employed in the system. Information systems play an important role in
mechatronic designs. Information system are generic structures that are considered an evolving
portfolio that significantly enhance portability at all levels of a control system for consequent
enhancement. The methods, tools, and techniques for storing, recording, and displaying of
parameters and variables in terms of data or information entails ‘information systems.’ It also asserts
to support computer-based activities, which includes the development, design, installation,
configuration, and monitoring of the control systems.
The derivatives of the above four domains (mechanical, electronic, control and information
systems) can properly be placed in order. The next section looks at the derivatives.

1.8 SCOPE OF THE BOOK

The aim of this section is to give a general introduction to outline the subject areas of mechatronics.
In particular, this section briefly describes the principle of mechatronics so the readers will
immediately grasp the topic at first sight. The extension of the description is fully depicted throughout
the book. The following enlisted fundamental topics have been covered.
· Signal theory and analysis in time and frequency domains
· Mathematical tools for engineering application
· Basics of electrical components and electronic devices
· Digital technology and systems
· Transducer principles and measuring equipments
· Signal conditioning circuits and systems
· Actuator principles
· Mechanisms and components
· Microprocessors and microcontrollers
 11
Introduction

· System identification in terms of studying basics of modeling elements

· System representation through input-output relationships and state-space model
· Transfer function, frequency response and stability study
· Principles of feedback control systems, intelligent control and diagnostics
· Development tools, techniques and concepts including data acquisition and control
architectures
· Integration and examples of mechatronic systems
Figure 1.4 provides an abstract view of the mechatronics discipline. The square like blocks
represent the subject areas the discipline includes and the semi-circular projections represent that
there exist interaction among the subjects emphasizing multidisciplinary scenario. The semi-circular
projections have been shown and put into place arbitrarily only for illustration but in practice, all the
blocks are interlinked and close to each other.

Fig. 1.4 Detailed layout of Basic Mechatronics

1.8.1 Signal Analysis and Engineering Tools

Similar to the function of blood in a living being, the signal circulates through an engineering system.
The signals we usually deal with are electrical signals and their analysis and processing plays an
important role in the engineering field. Basically a signal is a function of amplitude, frequency, phase
and time.
 12
Mechatronics: Principles, Concepts and Applications

S = f (A, f, q, t)
Amplitude, frequency and phase are called dependant parameters and time is called independent
parameter. Through signal analysis and processing, the dependant parameters become visible.
Depending upon the types of signal, the analysis and processing methods are employed.
The most well-known signal analysis method is the Fourier analysis, which breaks down a periodic
signal into constituent sinusoids of different frequencies. Another way to think of Fourier analysis is
through the use of Fourier Transform (FT), a mathematical tool for transforming the signal from
time-domain to frequency-domain, essentially to know the frequency content of the nonperiodic
signal. A transform, in general, is a formula that converts one function into another via some rule. For
many signals, Fourier analysis is extremely useful because the signal’s frequency content is of great
importance. On the other hand, Fourier analysis has a drawback that in transforming the signal to the
frequency domain, its time information is lost. Further, Fourier transform is suitable for analyzing
stationary signals in which the signal properties such as frequency content do not change over time.
However, apparently most signals contain non-stationarity due to transitory characteristics such as
drift, trends, abrupt changes, and beginnings and ends of events. Fourier analysis is not suited to
detect them, where wavelet transforms (WT) comes in. More detail knowledge and applicability of
FT and WT will be discussed in the following chapter.
Another mathematical tool is the Laplace Transform. Many engineering systems such as
mechanical, electrical, thermal and fluid systems are represented by differential equations. To study
the behaviour of the system often there are requirements to solve the differential equations. Laplace
Transform is an extremely versatile technique for solving ordinary differential equations. It is
considered as a useful and powerful tool for dealing with a wide variety of initial-value problems. The
transform is an integral function that has the property of translating certain complicated operations,
(e.g., the differentiation of a function or the convolution of two functions) into simple algebraic
operations in the Laplace space or Laplace domain (also called s-space). It transforms differential
equations into simple algebra problems for which solutions can be easily obtained. The Inverse
Laplace Transform can then be applied to retrieve the solutions of the original problems.
In summary, we can solve an equation (or system of equations) containing differential or even
integral terms by transforming the equation in t-space to one in s-space simplifying, then finding, the
inverse transform, which gives us the solution in t-space. The Laplace Transform is a close relative of
the Fourier Transform. However, the fact that the Laplace Transform is defined on the semi-infinite
interval from zero to infinity rather than on the whole real line. When applying the Laplace Transform,
it is important to have a good understanding of the theory underlying it, rather than just a cursory
knowledge of its application. This book provides that understanding.
Discrete methods and techniques are now used to analyze and process data in many areas of
engineering and science. Advances in digital computer technology have a major impact on discrete
processing. There is the need to be familiar with the discrete-time systems and signals. This suggests
fundamental study. The scope of discrete signal processing includes sampling theorem, quantisation,
Discrete Fourier Transform (DFT) and Fast Fourier Transform (FFT), difference equations, and
Z-transform. DFT reveals the amplitude, frequency and phase parameter of the discrete-time signal.
FFT is an algorithm that employs DFT. The analysis of discrete systems is performed by means of
the Z-transform. For instance, Z-transforms can be applied to solve the difference equation.
 13
Introduction

1.8.2 Electrical Components and Electronic Devices

Electrical components and electronic devices are effectively used to design the electrical and electronic
circuits for mechatronic systems.
Electrical components (also called circuit elements) include resistors, inductors, and capacitors,
usually called passive elements. An electrical circuit is any combination of wires and electrical
components through which current can flow. In electrical circuits, resistors oppose the flow of
charge in a circuit. They are usually made of wire or ceramic. Capacitors store electrical energy in
terms of storing electrical charge. They are like a spring that when compressed or stretched stores
mechanical energy. The charge that a capacitor stores is proportional to the voltage across it and its
capacitance. The last electrical component that we will look at is an inductor, which is simply a coil
of wire sometimes wound around a ferromagnetic core. Inductors produce a magnetic field that is
proportional to the current running through them and the number of turns of the wire. Like capacitors,
inductors also store electrical energy.
Further, the study on electrical components and circuits covers the analysis of circuits and
systems, including basic circuit concepts, Kirchhoff’s law, network topology, mesh and nodal
analysis, Thevenin’s Theorem and Norton’s Theorem, maximum power transfer, and initial
conditions.
Electronics refers to any electrical component, assembly, circuit, or system in which the central
constituent is a solid-state device made up of semiconductors. Solid-state means that these devices
have no moving parts other than electrons. Essentially, in the study of mechatronics engineering and
technology solid-state refers only to electronic devices. Solid-state devices are diodes, transistors,
SCR (Silicon Controlled Rectifier), Diac, Triac, IC (Integrated Circuits), etc. Among others, these
have found a broad application in mechatronics. It is necessary to be able to understand each
component and device as well as know their functions in the circuit.
Solid-state devices are made from semiconductor material that ranges in character between that of
conductors and nonconductors. Semiconductors based solid-state devices basically, are designed to
do one of the three things:
· Stop the flow of electrons
· Start the flow of electrons
· Control the amount of flow of electrons

1.8.3 Digital Technology

The theory, technique, methods and implementation strategy within the digital world is refered to as
digital technology. It is evident that digital systems have many advantages over analog systems.
Analog devices and systems process time-varying signals that can take on any value across a
continuous range. With analog systems, information can take on an infinite array of level. This endless
amount of possible levels leads to possible errors in the transmission. Digital systems, on the other
hand, usually called binary systems, use digital circuits that process digital signals that can take on
one of two values ‘0’ or ‘1,’ or Low or High, or False or True. These two levels are called Boolean
values or states of the digital system. Since most digital systems have only two possible states, there
is a high degree of accuracy in transmission of data. Because digitised system breaks the infinite array
of levels into predefined allowable discrete levels, the information is easier to process and manipulate.
 14
Mechatronics: Principles, Concepts and Applications

Further, digital information is easier to store because of its simplicity of form. Other benefits that can
be achieved through digital system are flexibility in reproduction, accuracy, ease of system design,
programmability, speed, and economy. The power of digital systems is what has built the foundation
for the incredible advances that have taken place in mechatronic systems.
The architecture of a mechatronic system encompasses electronic hardware systems and control
methods emphasizing the philosophy of digital technology. Rapid development in digital technology
advocates fundamental study that builds on theory and practice. The underlying architecture of this
technology is based upon binary numbers, logic functions, Boolean algebra and solid state devices.
Solid-state devices that can be used to configure digital technology are logic circuits, memories,
microprocessors, microcontrollers, computers etc. An understanding of the fundamental theory and
technique provides the basis for the construction of digital technology. A firm grasp of the basics is
vital.

1.8.4 Transducers
The transducers are used for the measurement of the system parameters. A transducer is a device that
produces a measurable response to a change in a physical condition such as temperature, pressure,
humidity, flow, light intensity, magnetic field, vibration and so on. It responds to some properties of
the environment and transforms the response into an electric signal, with different transduction
principle. The transduction principle includes mainly thermoelectric, photoelectric, electromagnetic,
magnetoelectric, thermoelastic, pyroelectric, thermomagnetic and so on. Mechatronic system uses a
broad range of transducer with different transduction principles.
The words transducer and sensor are used interchangeably, although, there is a difference between
them. Transducer is a basic element whereas sensor is a more sophisticated transducer in the form
that additional signal conditioning circuits are interfaced at the output of the transducer in order to
produce the refined output signal, which can be used conveniently. The signal conditioning circuit
could be an amplifier, a noise eliminator an analog-to-digital converter or combination of all.
Transducer is thus simply an elemental device where as sensor includes transducer as well as
additional conditioning circuitry.
Transducers vary from very simple to highly complex. They are classified in different ways, such
as according to the nature of the signal, the nature of the selective agent of the transducer, and to the
types of signal generation. One good way to look at a transducer is to consider all of its properties,
such as stimulus, specifications, physical phenomena, conversion mechanism, material, response,
ruggedness, stiffness, range, ability to measure parameters, and application field.

1.8.5 Signal Conditioning Circuits

The requirements of signal conditioning circuits is found in many places. The sole purpose for signal
conditioning circuitry is to optimally modify some signal to a form desirable for use. One of the major
applications are found in the sensor systems. For instance, regardless of the types of transducers, the
signal conditioning circuits are interfaced at the output of the transducers in order to produce suitable
output for convenient use. A temperature, pressure, humidity, or strain gauge or even magnetic field
transducer has an analog output that sometimes falls in the order of a few milli volts, if the output is
a voltage signal. This output voltage is to be amplified to attain a desirable level so that it can be used
 15
Introduction

appropriately at the control point. Further, in many instances analog signals have to be converted to
digital equivalents since the control system requires digital data. Moreover, there is a requirement to
nullify the effect of errors, noise, etc. that are produced at the output of the transducer. These typical
functions, (e.g. amplification, ADC, noise-filtering, etc.) are called signal-conditioning functions. The
important signal conditioning functions are listed below.
· Amplification
· Attenuation
· Rectification
· Filtering
· Isolation
· Removal of undesired signals (noise)
· Multiplexing
· Analog-to-digital conversion
· Sampling and hold function
· Digital-to-analog conversion
· Voltage to frequency conversion
· Frequency to voltage conversion, etc.
Signal conditioning is simply the process of refining the raw signal by use of the solid-state
electronic circuits such as amplifiers, attenuators, rectifiers, filters, and so on, as described above.
Signal conditioners could include filters to reject unwanted noise within a certain frequency range.
The transducers and sensors sometimes contain unwanted frequency components including noise.
The noise is not desirable and needs to be removed. This can be achieved using appropriate signal
conditioning circuits, usually called noise filters. The noise filters along with the amplifiers can help to
improve the Signal-to-Noise Ratio (SNR), which is an important parameter in instrumentation and
measurement. The signal level is boosted before it is affected by environmental noise further giving
rise to high SNR.
In many applications it is necessary to isolate the transducer from rest of the system. Even so,
sometimes the conditioned signal (could be the amplified version of the transducer signal) needs to be
isolated from the rest of the system. Improper grounding of the whole system (of which the sensor is
a part) is one of the most common causes of error and noise. In effect, the devices as well as the
systems are being damaged. Isolation to some extent can prevent most of such problems. Isolation is
achieved in one of the following three ways, voltage-follower isolation, magnetic isolation, or optical
isolation. Voltage-follower isolation is achieved through OPAMP (Operational Amplifier) circuits.
Magnetic isolation is done through the use of a transformer. Optical isolation is usually done through
the use of a light-emitting diode (LED) and also through photodetector. Bridge conditioners such as a
Wheatstone bridge, amplifier-cum-isolators such as an Instrumentation Amplifier (IA), and filters are
commonly used in order to minimize the effect of noise and error produced at the output of the
transducers.
Multiplexing is necessary in many systems. Multiplexing is a process of transmitting many signals
through a single channel, thus achieving a cost-effective communication. Multiplexing can be
achieved electronically. The electronic circuit responsible for making multiplexing possible is called a
multiplexer, which can also be considered a kind of signal conditioning circuit.
 16
Mechatronics: Principles, Concepts and Applications

Analog to Digital Conversion (ADC) is a process of converting analog signal to digital equivalent.
The electronic circuit that does the conversion is called Analog-to-Digital (A/D converter. One of the
important process of analog to digital conversion is sampling and hold (S/H). The S/H process is to
sample an analog signal voltage then turned off to hold the sampled voltage at the output, while an A/D
converter converts the voltage to a digital number. Similarly Digital to Analog Conversion (DAC) is a
process of converting the digital signal to its analog signal.
In some other applications, it is desirable to convert voltage to frequency and vice versa. The
conversion process is achieved via Voltage to Frequency Converter (VFC) and Frequency to Voltage
Converter (FVC) respectively.

1.8.6 Actuators
Mechatronic systems include rotating machinery, production, assembly, packaging lines, conveyor
based material handling systems, AGV (Autonomous Guided Vehicle), NC (Numerical Controlled)
machines, weapon systems, transportation systems, robotic systems, and many consumer products
such as camcorder, music system, video player, etc. to name a few. All of these application areas
incorporate either open-loop control or closed loop control or combination of both. One of the
important components of the control system is the actuator. Actuator is a device that makes something
to move. A reference input called setpoint is given to the actuator in order to obtain the desired output.
In a feedback control system (See Section 1.8.10) the desired output is checked by the use of sensors.
One way to classify the actuators is based on their movement. Accordingly, we have two types of
actuation.
· Translational
· Rotational
It is possible to convert one form of actuation to another, for example, translational to rotational
and vice versa, by suitably designing the interfacing components around the actuator. Just like a
signal-conditioning circuit manipulates the transducer signal in order to produce a desirable output,
the actuator output (movement) can be conditioned by suitably designing the interfacing components.
The interfacing components include rigid body and mechanical components. Gears, pulleys, and
cams can be considered interfacing components.
Depending upon the load involved, the actuators are selected. Commonly used actuators are
· Electromechanical actuator
· Pneumatic and hydraulic actuators
· Microactuators
Electric motors are used to efficiently convert electrical energy into mechanical energy. Mostly
they are used for driving purposes. Magnetism is the basis of their principles of operation. They use
permanent magnets, electromagnets, and exploit the magnetic properties in order to effect the
actuation. There are two main classes of motors; AC and DC. AC motors require an alternating
current or voltage source as the input signal, on the other hand DC motors require a direct current or
voltage source. Stepper motors are considered as another class of electromechanical actuating
devices, which also use the principle of magnetism, typically has capability of achieving precision
angular rotation in both the directions and are commonly employed to exploit digital control
 17
Introduction

technology. The motor move in accurate angular increments knows as steps in response to the
application of digital pulses.
Electric motors are the workhorse of the industry. There are several types of electric motors, each
with its own unique features and benefits. They are available in different ratings ranging from
nanowatts to megawatts as far as power is concerned. Some electric motors run at a constant speed.
Some motors have a relatively small drop in speed as the load increases and some have a large speed
decline with load. Further, some motors are designed to provide high starting torque such as in cranes
and elevators and others can be stepped through accurate short motions such as in computer drives.
Microactuators are required to produce the mechanical output (actuation) that is required of
particular microsystems. They are lightweight, conformable, and are employed in specific
applications. For instance, microactuation (A translational or angular movement of the order of
micron, i.e., 106 th of a meter or radians) can be used to move micromirrors to scan laser beams, to
drive cutting tools for microsurgical applications, to drive micropumps and valves for microanalysis
or microfluidic systems or this may even be a part of microelectrode devices to stimulate nervous
tissue in neural prosthesis applications. The methods of achieving microactuation are
· Piezoelectric
· Hydraulic
· Electrostatic
· Magnetostrictive
· Thermal
· Electroactive
Of these, piezoelectric and hydraulic methods currently look most promising, although the others
have their places. Electrostatic actuation is possibly the most common and well developed method,
but it does suffer a little from wear and sticking problems. Electrostatic actuation methods usually
offer better output per unit volume. Magnetostrictive actuators usually require relatively high currents
(and high power). Thermal actuators require relatively large amount of electrical energy, and the heat
generated also has to be dissipated. The technology of electroactive polymer materials has experienced
expansive growth responding to the call from a myriad of applications, especially requiring a high
performance smart solution.

1.8.7 Mechanisms
The mechanical part of the mechatronic systems are composed of a base, the main body and many
other basic interfacing components and units. Besides the base, the other components can be classified
into two groups,
· Passive components
· Active components
Passive components are the components which typically do not transfer mechanical power. On the
other hand, the active components help to transmit power in terms of motion (reduction,
amplification, direction), torque, force, etc. Examples of some passive and active components are
given in Table 1.1.
 18
Mechatronics: Principles, Concepts and Applications

Table 1.1
Passive and Active Mechanical Component
Passive components Active components
Screws Gear
Nut-bolt Rack and pinion
Springs Pulley and belt
Washers, etc. Cam and follower; Bearings, Crank and slider; Four bar linkage;
Geneva wheel, etc.

The active components are responsible for transferring action from one place to an other by virtue
of what is being known as mechanism. For instance, gears make it possible for changing the rate of
rotation of a machinery shaft. They can even change the direction of the axis of rotation and can
change rotary motion to linear one. The active components are sometimes referred to as basic
machines. Mechanism is achieved through combination of properly designed geometrical components.
For instance a single gear can not help to transmit motion, rather a gear train makes it possible to
transmit motion from one shaft to an other.

1.8.8 Microprocessor and Microcontrollers

Sophisticated and flexible control has continuously been changing the automation system in a most
dramatic way. In past, most industrial control systems were relay based with nearly a one-to-one
input-output ratio. Control systems, consisting of a group of relays, were capable of controlling
machine tools, conveyor systems and other systems such as motors, industrial vehicles, etc. in the
rugged factory-floor environment. To increase communication capabilities, implementation simplicity,
cost-performance ratio, reliability, control capability, efficiency, etc. in the whole design,
Programmable Logic Controllers (PLC) based control implementation emerged. A PLC is a
programmable electronic device that can control machines and processes. It uses memory to store
instructions and execute specific functions that include On/Off control, timing, counting, sequencing,
arithmetic and data handling. Functioning as relay replacements, the PLCs become more reliable than
relay-based systems, largely due to the robustness of their solid-state components. They occupy less
space and their ability to be re-programmed increase flexibility and simplicity in changing control
schemes.
Mechatronic systems, however, require more throughput, sophistication, openness, reliability,
availability, safety, responsiveness, configurability in response to the need to provide highly
customised products. Benefits that have been achieved through the implementation of traditional relay
and PLC based controlled systems are now being significantly extended through the application to the
VLSI (Very Large Scale Integration) microprocessor, microcontroller, fieldbus, PC (Personal
Computer) and IPC-based (Industrial PC) design strategy.
Microprocessor and microcontroller-based control systems have become increasingly popular not
only in mechatronic systems but in many industrial applications because of their versatility,
functionality and high integration level. The number of discrete components can be minimized
resulting improved reliability, reduced manufacturing costs and reduced device size. The
Microprocessor and microcontroller-based control systems enables the use of complex control
algorithms such as feedback control, fuzzy logic, vector control, neural network, and so on. The
 19
Introduction

important feature of this strategy is that the control functionality of the system can be easily modified
by only changing the software (control code). Diagnostic and sensorless control implementation is
also feasible.
Moreover, automation of many processes involves the integration of data processing, control,
alarm and presentation functions into a single, flexible ‘Supervisory System’. This has great
advantages over traditional relay based automation systems, each of which had its own sensors,
cabling, processor and controls. If full advantage is to be obtained, the mechanical and automation
systems must be integrally designed. This will doubtless be the most effective in terms of cost. A
microprocessor or microcontroller based design platform facilitates to advance these features.
Microprocessor and microcontroller-based control systems also offer integrated communications
and development tools in terms of software and hardware to develop control system platforms. Some
of the application areas of microprocessor and microcontroller-based system include,
· Instrumentation
· Machine control and multilevel supervisory systems
· Robotics
· Industrial control
· Safety applications
· Fire protection systems
· Home appliances
· Radiation interlock systems
· Motion control
· Manufacturing equipments
· Web-based process monitoring and control applications, etc.
There is a difference between microprocessor and microcontroller. A microcontroller has built in
I/O functionalities and additional control related circuitry, such as A/D (Analog to Digital), D/A
(Digital to Analog Converter), PWM (Pulse Width Modulator), PLL (Phase Locked Loop), timers,
and so on. In general, these circuitries are lacking as far as design and architecture of microprocessor
chip is concerned.
Microcontrollers are considered good candidates for control application, on the other hand
microprocessors are mostly, in present scenario, used in computing environment. Microcontroller is
a processor on a chip that is programmed to perform almost any control, sequencing, monitoring and
display function. Because of its compactness and relatively low cost, it is a natural choice for control
design. It performs many of the functions traditionally done by simple logic circuitry, sequential
control circuits, timers or a microprocessor.

1.8.9 Modeling, System Description and System Response

Mechatronics is a discipline that develops structured and efficient approaches to analysis and design
to solve complex systems. It often places great emphasis on studying dynamic behaviour, i.e., how
systems behave with respect to time of the system.
Modeling is about solving practical problems by creating mathematical models, called model
equations of the system, that can be manipulated and optimized during the process of system design.
These models allow us to learn a great deal about the physical problem under investigation.
Mathematics serves as a vital tool in modeling. Mathematical models of physical systems aid in
 20
Mechatronics: Principles, Concepts and Applications

understanding and predicting their behaviour. A mechatronic system is designed and its performance
is analyzed using model equations. Results of the analysis help find out how well the system meet the
design parameters (specifications), and how to alter the specification and modify the design as needed.
Then another model is created for analysis for improved performance. The process continues to
iterate the analysis based on model equations, until we have a system that satisfies the application
parameters. The modeling procedure can be summarized as follows.
· Identification or description of the physical system in terms of basic modeling elements.
· Formulation of a mathematical model. This is also called dynamic modeling.
· Analysis of the model.
· Iterative evaluation in terms of achieving effectiveness of the system.
· Interpretation, confirmation and verification. That is whether all the functional design
specifications are met.
· Practical behaviour study.
· Propose modifications for improving the manufacturability and disposal
Intrinsically, mechatronic systems are composed of four basic physical systems such as
mechanical systems, electrical systems, fluid systems, and thermal systems. Real systems are
combinations of these basic systems, thus they are considered hybrid in nature. The physical nature
of the systems is identified or described in terms of lumped parameters, called basic modeling
elements. The dynamic model equations are formulated by the use of modeling elements based on
governing fundamental laws and theories.
Simulation is an important tool in most of the design as far as mechatronics systems are concerned.
By using dynamic model equations, designers can simulate the system before the actual design begins.
As a consequence, significant reduction in design cycle time can be achieved and overall lifetime cost
of new products can be reduced. The optimal goal of modeling is thus to attain the most optimal
realistic physical system with the least amount of design headache. The best design is that which
gives the most accurate description of physical behaviour for a given system. Modeling allows system
development and design improvements. Both modeling and simulation can be applied to generate
optimized description of design parameters.
Study concerning system response provides useful information as far as understanding of
behaviour of physical systems are concerned. Careful engineering analysis supports design of systems
that function in predictable ways. It also helps explain non-intuitive behaviour of physical systems.
Mechatronic systems are characterized by their frequency response functions. Frequency response
characterizes the response of the system with frequency. It is employed to estimate the available
system performance and to determine the disturbance rejection and the bandwidth of the system.

1.8.10 Feedback Control

Industrial systems are controlled by implementing open-loop or closed-loop control strategy. In open-
loop control, the action or actuation is carried out irrespective of the consequences. A simple example
of an open-loop control system is to switch on an electric bulb in a room using a switch in the other
room. After switching on, the person does not know about the status of the bulb, i.e. whether or not
the bulb is glowing, since there is no feedback information from the bulb to this room. A closed loop
system is one that involves feedback to ensure that set conditions (glowing of bulb) have been met. A
closed-loop control implementation is considered important in automatic control.
 21
Introduction

Closed-loop control system is also called feedback control. In a generalized sense, a closed-loop
control system is a system of integrated elements whose function is to maintain a process variable at
a desired value or within a desired range of values. Feedback loops occur whenever part of an output
of the system is connected back into its input. The control system constantly or discretely monitor
the process variables and then causes some action to occur to maintain the desired system parameter.
For instance, in a central heating unit the control system monitor the temperature of the room by the
use of a temperature sensor. If the temperature of the room drops below the preset value, the heating
system gets on. The temperature of the room increases until the switch in the thermostat causes the
heating system to turn off. Thus, in a closed-loop control system the control action is dependent on
the output. In general, a closed-loop system consists of the following:
· Plant: A system or process to be controlled. This could be an actuator.
· Input: A reference input is the basis for giving the desired output for the system. The reference
input is called setpoint.
· Measurement devices such as sensors: These devices measure the process variables in order to
provide information about the current state of the system to the controller.
· Controller: An algorithm responsible for generating appropriate control signal in achieving the
desired output with respect to the setpoint and measured process variables. It generates
appropriate error signal.
· Output: The measurement device measures the output, which is the controlled output generated
by the closed loop system
The process variables or feedback parameters such as temperature, pressure, flow, current,
voltage, vibration, and so on are measured, converted to electrical signals and subsequently processed
by microelectronics and then sent for decision to be made. After the necessary control decisions are
made, the resulting controlled output in the form of electronic signals is fed into the actuators to
control the target application. This is considered as a kind of loop, essentially called a control loop.
Sensors sense the parameters and based upon the parameter value the control system makes a decision
whether or not to activate the actuator. Thus a loop is formed.
Feedback control is an error-driven strategy. An equivalence of the setpoint should appear at the
output, if it does not then corrections are evident. Corrections are made on the basis of a difference
between the system’s current state and the desired state.
Feedback systems are secure, reliable, optimal and stable. In the simplest case of feedback control,
the corrections are proportional to the magnitude of the difference between the setpoint and the output
(also called error). This refers to proportional correction. The PID (Proportional Integral Derivative)
correction is another manner in which the correction is proportional, integral and derivative of the
magnitude of the difference (error) between the setpoint and the output. The PID algorithm is used
for the control of many control loops in the process industries, and is the basis for many control
algorithms and strategies.

1.8.11 Intelligent Control

The sensible word intelligent or smartness, has different meaning in different circumstances. There is
a significant difference between conventional and smart control. Smart control attempts to build upon
and enhance the conventional control methodologies and design to solve new challenging control
problems. Typically, in the mechatronics arena the term smartness is considered as the element in a
vector defined by the following parameters.
 22
Mechatronics: Principles, Concepts and Applications

· Digital system
· Distributed system
· Enhanced computing power
· Relatively good real-time performance
· Field level programming capability
· Modularity, extendability and scalability
· Interchangeability and interoperability (openness)
· Reliability, safety and intrinsic safety (IS)
· Feedback control
· Soft computing
· Diagnostics and prognostics in terms of sensor, actuator and loop validation
· Life cycle data acquisition (LCDA), etc.

1.8.12 Diagnostics
Traditionally the conditions of devices, components, machines and systems are monitored by skilled
operators routinely checking analogue dials, digital readings, graphical displays and chart recorders.
The procedure of such monitoring is human-centred. However, this conservative approach denies the
operators the opportunity to focus their attention and expertise on guaranteeing process stability and
maximising production efficiency. The human centred plant and processes demand greater
automation capabilities. The technological drive towards greater visualisation of a system in terms of
fault detection and isolation (FDI) can be considered as greater automation capabilities. The creation
of diagnostic functions is seen as a perspective of the human-centred approach. This is regarded as an
essential requirement for mechatronic systems, where the majority of efforts is often spent in
identifying the problems when failures occur.
Any kind of malfunction is understood as a fault that leads to an unacceptable anomaly in the
overall system performance. Faults may occur anywhere in a system including, sensors, actuators,
switches, valves, shafts, components, body, rotors, and so on. While designing mechatronic
systems, attention has to be paid to the problem of fault detection in order to meet the demand for
safety in terms of reliability and availability. Reliability is defined as the probability of a system or
component to perform a required function under specified conditions for a certain period of time.
Availability refers to accessibility of the system or component during the accepted period.
Quantitatively it is defined as operational use hours minus failure downtime divided by operational use
hours. The development of methods which contribute to the provision of fault diagnosis and fault
tolerance is strongly advocated as an essential requirement.

1.8.13 Development Tools and Concepts

Mechatronics is a design philosophy. The development tool helps the designer to design what the
needs and goals for a particular system. The design tools also help to provide useful input for planning
how design is developed, including user characteristics and design specific objectives. The tools
support the task of generating evaluations by various means. Typically, design of mechatronic
systems require computer assisted environment (CAE), as it embodies features that are essential to
the design strategy. CAE facilitates development, information storage, retrieval, simulation,
manipulation, modification, and presentation mechanisms. This needs knowledge of computer
 23
Introduction

including hardware, software and the principle of communication. The development systems and
platforms are sometimes referred to as workbench. One of the important requirement of all kind of
design activities is the supporting and development tool. Discussions on tools and techniques used for
mechatronic systems, cover broad areas since they differ application wise.

1.8.14 Control Architecture and Integration

One way of classifying the control systems is based on their architectural design. Under this
classification, control systems are of two types. They are Centralized Control Systems (CCS) and
Distributed Control Systems (DCS). The upper part of the Fig. 1.5 illustrates the two types of control
architecture.

Fig. 1.5 The control architecture

 24
Mechatronics: Principles, Concepts and Applications

In a centralized system all the field devices such as sensors and actuators are directly wired back
to a central controller. Communication between the field devices is thus achieved via a single
centralized controller, requiring individual point-to-point links between each field device (the point of
interaction) and the processing unit. On the other hand DCS inherits the concept of networking
system amongst many controllers instead of one. The entire control task of the centralized controller
is physically distributed among the other controllers, which are then connected onto a network. The
distributed controllers must have a communication protocol in order to communicate with each other.
The advantage of the DCS is that it overcomes the fear of central failure and also the problem of mesh
wiring between the field devices. The other shortcomings encountered in centralized systems can be
attributable to:
· Inflexibility
· Central failure
· Slow pace and
· Expensiveness
Therefore, DCS is seen to be an effective control architecture in comparison to CCS. The advances
in digital technology have opened way to establish low cost, reliable DCS control architecture. Digital
Industrial Networking Systems (DINS), called the fieldbus technology, enables processing power to
be distributed to the device level (sensor, actuator level) in such a manner that greatly enhances
monitoring and control at reduced cost.

· Automation and control methods, adopting integrated embedded technology has become
relevant to industries, machineries and consumer products.
· The worldwide technical education curriculum has been a reverse pyramid structure, in contrast
to traditional teaching methodology.
· The engineering disciplines are now dilating instead of diverging. This is because of the
requirement of interdisciplinary knowledge at the production place.
· Advanced technological designs are highly complex and inter-interdisciplinary nature involving
synergistic integration of mechatronics, photonics, computronics, and communication.
· Combined action and cooperation increases effectiveness and productivity.
· The word mechatronics originated in Japan in late 1970s to describe a philosophy adopted in
designing subsystems of electro-mechanical products.
· Mechatronics is the synergistic integration of mechanical engineering with electronics and
intelligent control algorithms in the design and manufacture of products process.
· A microprocessor based electrical motor used for actuation purposes in typical industrial robots
can be considered as an example of tertiary level mechatronic system.
· Artificial Neural Network and Fuzzy Logic try to capture some of the intellectual capabilities of
the intelligent human operator.
· With regard to the design of mechatronic systems the concentration is on studying fundamental
aspects of electronics, mechanical components, sensors, actuators, control theory and
integration methods. In particular, the following enlisted fundamental topics are under the
mechatronic study.
 25
Introduction

Ø Signal theory and analysis in time and frequency domains

Ø Mathematical tools for engineering application
Ø Basics of electrical components and electronic devices
Ø Digital technology and systems
Ø Transducer principles and measuring equipments
Ø Signal conditioning circuits and systems
Ø Actuator principles
Ø Mechanisms and components
Ø Microprocessors and microcontrollers
Ø System identification in terms of studying basics of modeling elements
Ø System representation through input-output relationships and state-space model
Ø Transfer function, frequency response and stability analysis
Ø Principles of feedback control systems, intelligent control and diagnostics
Ø Development tools, techniques and concepts including data acquisition and control
architectures
Ø Integration and examples of mechatronic systems

EXERCISES

1.1 Give an overview of multidisciplinary technological education.

1.2 What do you mean by convergent scenario of the technical discipline?
1.3 Define Mechatronics. Enlist the main technical areas under the research domain Mechatronics.
1.4 How has Mechatronics discipline been evolved? Briefly explain various evolution stages.
1.5 Give an overview of Mechatronics discipline.
1.6 Explain the purpose of standardization and importance of interchangeability.
1.7 Give an overview of Manufacturing Engineering in terms of TQM. JIT, CM, CE, PMC, FMS,
HMS, DPT and Open systems standards.
1.8 Elucidate the design aspect of Mechatronics discipline.
1.9 Write notes on the following.
(i) Signal analysis tools
(ii) Electrical components
(iii) Electronic devices
(iv) Digital technology
(v) Transducers
(vi) Signal conditioning circuits
(vii) Actuators
(viii) Mechanisms
(ix) Microprocessor and microcontrollers
(x) Modeling
(xi) System description and system response
26
Mechatronics: Principles, Concepts and Applications

(xii) Feedback control

(xiii) Intelligent control
(xiv) Monitoring and diagnostics
(xv) Development tools and concepts
(xvi) Control architecture and integration
1.10 Draw the schematic block diagram of a typical control architecture vis-à-vis Mechatronics.
1.11 Mechatronics is the synergistic integration of mechanical engineering with electronics and
intelligent control algorithms in the design and manufacture of products process. Justify the
statement.
1.12 Expand the following abbreviations and define them.
CISC RICS VLSI ISO/OSI LAN WAN
PCI VME PLC PC PLL ASIC
CAD/CAM GUI OLE I/O ASIC TQM
JIT GT CE PMC FMC CNC
FMS DPT CPU FFT DFT SNR
DAC (D/A) ADC (A/D) OPAMP LED S/H AGV
NC PID IS LCDA FDI CAE
CCS DCS DINS PWM
1.13 Identify the topical domain of Discrete Signal Processing (DSP)
1.14 What is the differences between the microprocessor and microcontroller?
1.15 What do you mean by modeling? Enlist the procedure to be followed in the context of modeling
a system.
1.16 Briefly explain the meaning of intelligent control.
1.17 Distinguish between Distributed Control Systems and Centralised Control Systems.
 2
Signal Theory and
Engineering Tools

· To discuss about the different sources of a signal, and to explain, how they can be represented.
· To list the types of signal according to the frequency contents.
· To describe the imperative study of the different types of signal classification.
· To explain how the analog, digital, periodic and nonperiodic signals can be analyzed with proper
representation both in time domain and frequency domain.
· To define the Fourier Transform and IFT and to discuss their applications.
· To explain the difference between DFT and FFT. To enlighten how they are represented and their
practical applications.
· To discuss about wavelet transform and STFT. Explain how they are better suited in comparison
to FT.
· To list the uses of the differential Eq. in the engineering domain.
· To describe the log-antilog process of a transformation.
· To describe in blocks, how the Laplace Transform and inverse Laplace Transform can be illus-
trated.
· To calculations of Laplace Transform for the various time domain functions.
· To define Z-Transform and their importance in the difference equations.
· To describe the different properties of Z-Transform.
· To provide a table of different time-domain functions and their Z-Transform.
· To list the applications of FT, DFT, CWT, DWT, LT and ZT.
· To define power and energy of a signal and explain.
· To define modulation and demodulation and in particular to explain PWM and its application
control systems.
 28
Mechatronics: Principles, Concepts and Applications

2.1 INTRODUCTION
Signal analysis and processing is an essential recipe in the engineering design. This chapter presents
signal theory and analysis in terms of their classification, representation and processing methods.
Signals can be differentiated from various angles in terms whether they are random or nonrandom,
stationary or nonstationary, periodic or nonperiodic and analog or discrete. An introduction to signal,
its definition, description and their representations in time, frequency and time-frequency domains are
the subject matter of the first part of the chapter. In the second part, engineering tools such as Fourier
Transform, Laplace Transform and Z-Transform, which play important role as far as study and
design of mechatronics engineering and technology is concerned, have been described. In the sequel
the topics include:
· Background and definition of signal
· Sources of signal
· Signal nomenclature
· Fourier series
· Fourier Transforms
· Wavelet Transform
· Discrete-time systems
· Discrete Fourier Transforms (DFT) and Fast Fourier Transforms (FFT)
· Differential and difference equation
· Laplace Transform
· Z-Transform
The significance of Fourier series, Fourier transform and Wavelet transform is elucidated.
Advanced signal processing methods in terms of discrete-time systems, Discrete Fourier Transform
(DFT), Fast Fourier Transform (FFT) are explained. The distinction between differential equation
and difference equations, from control schematic is ascertained. Moreover, the chapter deals with
Laplace Transform, and Z-Transform, the important mathematical tools, which are mainly used to
solve system problems in terms of examining issues such as stability, feedback control and initial
value problems.

2.2 BACKGROUND
To know the temperature at the vicinity of the bearing system of a spindle machine, a temperature
sensor has to be fitted into. To actuate an actuator system, proper command has to be generated and
directed to the actuator. To close an automatic door of a building from a remote place we must send
a command to the actuator integrated with the locking system of the door. From these examples, one
can note that what is really being received through sensor and what is being directed to the actuator is
simply the ‘signal’. The transducer output is simply the ‘signal’ and the actuator input is also ‘signal’.
Three important questions in this context, comes into mind immediately.
· What are the sources of signal?
· How does the signal look like?
· How are they represented?
 29
Signal Theory and Engineering Tools

Fundamentally, the source of signal is the ‘transducer’, or ‘sensor’ a device that helps to describe
the variation in the process parameters (also called process variables) by converting one form of
energy to other. The practice of conversion is referred to as transduction. There is a difference
between the transducer and sensor, which will be explained later, however, temporarily assume that
both types of devices do the same job. A process could either be a natural process or an engineering
process. Some of the process parameters of the natural processes could be the ambient temperature,
humidity level, intensity of light inside the room, etc. Examples of process parameters of some
engineering processes are rotational speed of an electric motor, transient temperature of a typical
ball-bearing system of a rotary shaft, pressure in the chamber of a pneumatic actuator, flow rate
through an orifice, field current in a DC motor, to name a few. Without loss of generality it can be
presumed that the process parameters are analog in nature, means that when they are observed with
respect to time they are continuous function of time. The strength or intensity of these process
variables are converted to some equivalent magnitude, called equivalence, and are measured or
observed in another domain. The conversion is achieved by transducers adopting different
transduction principle. For instance, the transduction principles in a temperature and pressure
transducer vary as they adopt different transduction principles (Detail description is in Chapter 5).
Irrespective of adoption of the principle of transduction, the resulted equivalence, from engineering
point of view, is simply referred to as ‘signal’. Although, theoretically, signal originates from the
transducer, in general, we can generate signal from any kind of signal generating devices, and circuits.
The devices or circuits which generate signals are called signal generators.
Eventually, one should know how to envisage and visualize the signal. One good point is that all
signals are function of time. We are therefore, in a position that we can now pick-up a horizontal axis
with an arrow at the end and can place the time to sit upon it and can place the signal strengths,
intensities or amplitude along another arrowed axis, which should be vertical so as to enable us to
visualize the signal at all instances. The horizontal axis must originate at some reference point of time.
This is the starting time from which we have been interested to observe the signal. This reference
point is usually marked as zero. Since Einstein’s era we have been more or less acquainted with
negative time, but for engineering and mechatronics study, especially in the context of the scope of
this book we will only deal with the positive time. However, we will encounter the appearance of
negative frequency during the course of our study related to signal analysis.
Figure 2.1 illustrates some of the signals originated from different signal generators. In Fig. 2.1(a),
the signal is generated from the output of a transducer. In Fig. 2.1(b), the signal has been generated
from the output of a microphone (Microphones are also transducers). On the other hand, in Fig.
2.1(c), the signal has been generated from a typical signal generator circuit, where as in Fig. 2.1(d),
it has been generated from a microprocessor. The signal shown in Fig. 2.1 (c) and (d) are FM
(Frequency Modulated) signal and PWM (Pulse Width Modulated) signal respectively. Notice that all
the signals are analog signals. The horizontal axis refers to time axis. The vertical axis shows the
intensity of the signal at all instances. In these particular examples, the respective amplitudes of the
signals have been shown from time, t = 0 to t = t1. All the signals are said to be in time-amplitude
space. Such type of presentation of signal or visualization of signal is known as time-domain
representation of signal.
 30
Mechatronics: Principles, Concepts and Applications

Fig. 2.1 Typical signals originated from different sources

A useful definition of the signal is that ‘signal is analogous and intrinsically it may have many
signals’. The definition looks funny. Nevertheless, one has to accept how the definition works. The
meaning of the first clause of the above definition is already described. In the context of plurality, it
means that the signal actually consists of many signal components, which we are unable to visualize
 31
Signal Theory and Engineering Tools

in the time-amplitude space. A signal is thus simply a summation of a set of components and the set
is unique. The signals differ from each other due to different sets of unique components set. Each
component within the signal is characterized by three parameters, such as amplitude, frequency and
phase. Each of these parameters, in general, influences the shape of the signal.
For practical use, if we require a signal, which should have a single frequency component or a
group of frequency components then perhaps we need to feed the original signal, containing all the
frequency components to an electronic filter, in order to extract the frequency component (s) of
interest. The process is called filtering.

Fig. 2.2 A typical filter

Note that, in the Fig. 2.2 the input to the filter is ‘signal’ and the output of the filter is also ‘signal’.
However, their frequency contents are not same. We may now conclude that a signal might contain all
frequency components, some frequency components, one frequency component only, or no
frequency component. A signal containing no frequency component is called a DC signal. The
summation of amplitude of frequency components determines the strength of that signal. That is,
each frequency component contributes its strength to the sum.
Figure 2.3 illustrates some of the typical signals as far as their frequency contents are concerned.
Figure 2.3 (a) is a DC signal, with amplitude, A, Fig. 2.3 (b) shows a sine and a cosine signal, with
peak amplitudes, B and frequency, f, in each case. In Fig. 2.3 (c) a square wave signal, with amplitude,
C over certain period and amplitude, zero over certain period, containing many frequency
components, has been shown. Figure 2.3 (d) is a gate signal, that contains all the frequencies.
Amplitude

DC Signal (frequency = 0) v(t) = A for t ≥ 0

A

0
(a) Time

Amplitude
v0(t) = B sin (2πf t) for t ≥ 0
v(t) = B cos (2πf t) for t ≥ 0
B

0
Time

(b)
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Mechatronics: Principles, Concepts and Applications

T ; T < t < 3T ; 2T < t < 5T ... so on

v(t) = C for 0 < t <
2 2 2
Amplitude
T < t < T; 3T < t < 2T; 5T < t < 3T... so on
= 0 for
2 2 2

0
T Time
(c)

Amplitude v(t) = D for 0 ≤ t ≤t1

D = 0 for t > t1

0
t1 (d) Time

Fig. 2.3 Some typical signals

So far, we analysed that a signal carries amplitude and frequency parameter. One more parameter
is phase. A phase is a peculiar parameter, which does not leave the signal alone. Even if its value is
zero it is there with the signal. If the value of the phase of a signal is positive as compared to that of
another signal then apparently, it forces the first signal to leave the time axis early. In Fig. 2.3 (b), both
sine and cosine signals have a phase difference of 90 degrees between them.

2.3 SIGNAL NOMENCLATURE

There are various ways of classifying signals, however, following four classifications are considered
imperative with regard to engineering study.
· Random – Nonrandom
· Stationary – Nonstationary
· Periodic – Nonperiodic (Power signal – Energy signal)
· Analog – Discrete

2.3.1 Random and Nonrandom Signals

One way of classifying the signal is whether they are random or nonrandom. Signals, which are
associated with some degree of uncertainty at the time of their appearance are called random signals.
The randomness is determined from the statistics. That is the future values of the random signal are
predicted based on the observation of past values. Fundamentally, a random signal cannot be
expressed. However, once they are observed for a long time a mathematical expression can be
attached with certain value of randomness. For example, the phase of a sine function is unknown
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Signal Theory and Engineering Tools

before it is observed. Once it has been observed for a sufficient period of time, the phase is known
and all future values can be predicted. Another example of random signal is the output of the sensors.
The output is comprised of equivalence of converted signal along with noise (additive, multiplicative)
and interference. Since the noise and interferences are random in nature, the output is also random
signal. However, when the output is observed for a long time, its degree of uncertainty becomes
known and in essence the future values can be predicted.
A nonrandom signal is one about which there is no uncertainty before it occurs and therefore, an
explicit mathematical expression can be written for it. Nonrandom signal does not exist, but it has a
good deal of use for assumption, simplicity and understanding.

2.3.2 Stationary and Nonstationary Signals

Signals whose statistical parameters such as mean and standard deviation do not change with time are
called stationary signals. A true stationary signal has all higher order moments constant including the
variance and mean. Stationary signals never exist in real world due to random process. Weak
stationary signals are observed in the real world and commonly assumed to be close to the stationary.
When the statistical parameters of the signal do change with time they are called nonstationary signals.
One has to distinguish weakly stationary and nonstationary signals. Weak stationary signals are
stationary signals but due to the existence of random properties there is a slight deviation from the
stationarity.

2.3.3 Periodic and Nonperiodic Signals

A signal is said to be periodic, if its amplitudes, as time elapsed, is reiterated over a fixed interval.
Nonperiodic signals do not have this character. Periodic and nonperiodic signals are also called power
signal and energy signal respectively.

2.3.4 Analog and Discrete Signal

Analog signal, is a continuous function of time, where as discrete signal is not continuous. The signals
we use in the real world are analog signals. To exploit such signals in the digital systems or computers,
we need to process the analog signal in terms of converting them to discrete form. The entire
conversion process is called discretisation, which eventually signifies a conversion of signal from
continuous domain to discrete domain. In the discrete domain the signal is defined only by discrete
instants of time, i.e. the time-variable of the signal takes on only certain values. While an analog signal
is continuous in both time and amplitude, a discrete signal is discrete in both time and amplitude. The
value of the signal is sampled and measured at certain intervals in time and each measurement is
referred to as a sample. The signal thus generated are called discrete time signal, which is evidently
represented as a sequence of samples. The height of each sample represents the strength of the signal
at that sampling instant. A typical analog signal and its sampled form is shown in the Fig. 2.4 (a), (b)
and (c). The discrete signals are derived from the sampled signal. As you can see that the sampled
signals are discretised to attend a specific level (discrete or quantised level).
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Mechatronics: Principles, Concepts and Applications

Fig. 2.4 Analog and discrete signal

The discrete-time signal is generated from the sampled signal by the process of quantisation. The
discrete-time signal is then coded in order to obtain the digital signal. This process is called coding
(More details is found in the following chapter). A schematic diagram as to know how digital signal is
generated from the analog signal is shown in the Fig. 2.4.

Fig. 2.5 The process of discretisation

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Signal Theory and Engineering Tools

A discrete model is considered as an approximate version of a continuous one. These

approximations are widely used in order to take advantages of digital technology. It is not possible to
model and exploit a continuous signal on a digital computer. Discrete method based on approximation
provide the only practical approach to many applications. Developing such approximations to a great
deal of accuracy is an important engineering field with regard to signal analysis and processing.

2.4 SIGNAL ANALYSIS AND PROCESSING

The explanations and examples presented in the previous section are just to review some of the
terminology. However, in the sequel, a detailed on theoretical analysis of signal is presented. As far as
analysis and processing of signal is concerned, the question may arise,
· Why do we do analysis and processing?
· What analysis we need to do?
The answer to the first question is that we will have to do analysis to open up the real face of the
signal since it is composed of many components. The answer to second question is that the analysis
that are being carried out is to know the amplitude, frequency and phase of the components either at
a particular point of time and/or in an interval. Once we understand the signals through analysis we
can have a great deal of control to manipulate them. For instance, if a particular signal is available then
the available signal can be manipulated to generate another derivative. This manipulation has to be
done using solid-state devices and circuits (See Chapter 3 and Chapter 4). Unless you know the
characteristics, properties and their contents, it is way ahead to manipulate them appropriately.

2.5 MULTI DOMAIN SIGNAL REPRESENTATION

The signals are defined with three parameters such as amplitude, frequency and phase. Very often,
we plot, describe, or represent the signal in the time domain or time-amplitude space. The signals
shown in the Fig. 2.1 and in Fig. 2.2 have been plotted in time-amplitude space or time domain. The
time domain plot of the output signal of another typical microphone is shown in the Fig. 2.6. The input
v(t)
Amplitude

v(t1)

t1 Time

Sound
Microphone
Equivalent electrical signal output

Fig. 2.6 A typical signal from the output of a microphone

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Mechatronics: Principles, Concepts and Applications

of the microphone is sound signal. The microphone converts the sound signal to its electrical
equivalence.
Quantitatively, the signals are described by the use of mathematical notations and symbols. The
mathematical notation of this signal, v(t), which is simply the amplitude of the time domain signal with
time, t as the independent variable. It only informs us about the amplitude of the signal at various
instances. For instance, at time t1 the amplitude of v(t) is v(t1).
One can be interested to know the frequency content of the signal (For the time being let us not
consider the phase information). The time-amplitude plot or time domain plot of the microphone
output only provides amplitude information at various instances. It does not provide any information
as far as frequency content of the signal is concerned. The time-domain plot lacks frequency
information, although, in some typical time-domain signals such as sine, cosine signal, frequency
information is inherited. In order to reveal the frequency information, the signal need to be processed
in terms of a mathematical treatment, in effect that should extract the frequency content of the signal.
Thus, to substantiate the earlier claim we will have to process the signal to disclose its real face,
which in this discussion is the frequency contents. Once it is done, the signal can be plotted in the
frequency domain. This in turn signifies that a signal can be represented in more than one domains,
and hence can be understood as multi-domain representation of signal. In fact, Fourier Transform
(FT) method is employed to accomplish the job.
Are we happy? Absolutely, not. What is the problem then? The problem is that still we are missing
some information (forget about phase now) about the signal, i.e., the time of occurrence of a particular
or group of frequency components. There are some signals, such as nonstationary signals, which we
will discuss in the latter part of this chapter, that even if they differ from each other, they cannot be
distinguished from their frequency domain plot. They produce same results when FT is taken on
them. Therefore, we have to deal such signals with different processing methods. The appropriate
mathematical tools to be used to solve the purpose are either Short Time Fourier Transform (STFT)
or Wavelet Transform (WT). STFT and WT reveals the frequency information as well as the
information on the time of occurrence of the frequency components. These tools (STFT and WT)
transform the signal to ‘time-frequency’ domain, a domain that discloses the signal competently.
Detailed explanation on time-frequency analysis and processing has been provided in Section 2.9 of
this Chapter.
What is concluded is that to know frequency contents and the time of occurrence of frequency
components we need to analyze them in many domains through processing. Once the signal is
processed and subsequently plotted, its real face can be opened up. The following sections deal with
the representation of signal in time, frequency and time-frequency domain. The mathematical notations
along with analytical treatment have been described in detail. Figure 2.7 (a) and (b) show that
mathematical treatment is needed in order to obtain frequency information of the signal.
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Signal Theory and Engineering Tools

Time domain signal Mathematical treatment Frequency domain signal

(Transformation of time
domain signal Frequency components
to frequency domain) FT

(a)

Mathematical treatment Signal in time-frequency domain

Time domain signal (Transformation of time domain
signal time-frequency domain)
STFT or WT 1. Frequency components
2. Time of occurrence of frequency
components
(b)

Fig. 2.7 Mathematical treatment needed in order to obtain frequency information

2.6 ANALYSIS AND REPRESENTATION OF PERIODIC ANALOG SIGNALS

This section deals with periodic analog signal. A periodic analog signal is a signal with period T such
that
v(t) = v (t + T ), for all t. (2.1)
where, T is called the time period of the periodic signal. The amplitudes of the signal remain same at
an interval of T. The simplest form of a periodic signal, shown in Fig. 2.8, is a sinusoidal signal.
Mathematically it can be expressed as,
v( t ) = A sin 2 p ft (2.2)

Fig. 2.8 A sinusoidal signal (periodic)

where, f is its frequency of oscillation and A is called the peak amplitude of the sinusoid. The above
signal is simple in the sense that sometimes it does not need to be analyzed or represented in frequency
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Mechatronics: Principles, Concepts and Applications

domain, since its frequency information can be revealed from the time-domain plot. However, some
more complicated periodic signals need mathematical treatment (processing) for their description.
Figure 2.9 shows a typical periodic signal, As you can see that it is not as simple as the periodic
signal shown in Fig. 2.8.

Fig. 2.9 A complicated periodic signal in the time-amplitude space (time domain)

In this case the schematic of mathematical treatment involves Fourier series analysis, which states
that “A periodic signal of period T can be expressed as a summation of infinite number of
trigonometric functions such as sine and cosine functions as long as the signal has finite number of
maxima, minima and discontinuity within T ”. The statement also implies that the signal is absolutely
integrable and has finite energy. If these conditions are true then mathematically the periodic signal
can be represented as,
a0 ¥ ¥
2 p nt 2 p nt
v( t ) = + å an cos + å a n sin (2.3)
2 n=1 T n=1 T
This is called a Fourier series. The reciprocal of the time period of the periodic signal, is called the
fundamental frequency of the periodic signal. 1/T is the fundamental frequency, a0 is the DC
component of the signal, an and bn are the coefficients of the trignometric functions. Their values can
be obtained from the following three equations respectively.
t0 + T
2
a0 =
T z
t0
v(t ) dt (2.4)

t0 + T
2 2pnt
an =
T z
t0
v(t )cos
T
dt (2.5)

t0 + T
2 2pnt
bn =
T z
t0
v(t )sin
T
dt (2.6)
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Signal Theory and Engineering Tools

Equation 2.3 is interpreted as any periodic signal that has a DC component (frequency zero) and
infinite number of other components having frequencies multiple of fundamental frequency (1/T).
The lowest frequency component being the fundamental frequency.
Equation 2.3 can also be described in the complex form by using the Euler’s identity
e jx = cos( x ) + j sin( x ) . Then the complex form of Fourier series becomes,
+¥
v( t ) = å cn e jwnt (2.7)
n =-¥

2 pn a n - jbn
where, wn = , cn = and n is integer.
T 2
wn is simply frequency in radians per second, as it is multiplied with the factor, 2 p . For negative
values of n, components having negative frequency will appear. How would frequency be negative?
One thing you should be clear in your mind that frequency is no way negative. However, sometimes
we prefer to use some well-defined mathematical tools and methodology, already accepted by many,
in order to deal the problems more qualitatively. Let us not accept the existence of negative frequency
as a human being, but let us accept it as an engineer at least up to a time until we stop our engineering
profession. Once it is accepted, one can automatically get himself or herself more involved into the
subject matter by drawing a conclusion that as long as or if the power of the signal represented by the
Eq. 2.3 and that of the same signal represented by Eq. 2.7 remains same, then what is wrong in
accepting the existence of negative frequency?

2.6.1 Frequency Domain Representation

The frequency content of any periodic signal can immediately be obtained from the time domain
equations, i.e., from the Fourier series. Thus, Eq. 2.2 and Eq. 2.3 can serve for time domain signal as
well as for the frequency domain signal. The time domain plots of these signals have been shown in
Figs 2.8 and 2.9 respectively. Their frequency domain plots are shown in Fig. 2.10 (a) and (b)
respectively. In the frequency domain plot the sinusoids are plotted as a vertical line and the length of
the vertical line represents the peak amplitude of the sinusoids. These are called spectral components,
which are discrete in nature. The spectral components are located at an interval of 1/T , the
fundamental frequency of the periodic signal. This signifies that if the duration of time period
increases then the spacing between the spectral components decreases. Generally, longer time periods
relate to smaller frequency spans.
The total power of the signal is the sum total of the individual powers of the spectral components
present in the signal. Although, in a periodic signal there always exist infinite number of spectral
components, however, out of them many higher order spectral components, (i.e. for higher values of
n) do not contribute significant amount of power to the total. Therefore, in many situations the higher
order spectral components are usually neglected.
Refer Fig. 2.10 (c). It is the frequency domain representation of the complex form of a periodic
signal (Eq. 2.4). This form of representation are commonly called two-sided plot since the frequency
axis extends from negative infinite to positive infinite. Compare Fig. 2.10 (b) and (c) in terms of
amplitudes of the spectral components. In case of two-sided plot the amplitudes of each component
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Mechatronics: Principles, Concepts and Applications

are just half of the amplitude of the corresponding frequency component of the one sided plot. Since,
the amplitude level of each spectral component contributes towards the total power of the signal, it
really does not matter whether the signal is one sided or two sided one.
Amplitude

One-sided
A

f (a) Frequency

a2
a5
a8 One-sided
a0 a6 (Trigonometric form)
a3
a1 a4
a7
a9

f0 2f0 3f0 4f0 5f0 6f0 7f0 8f0 9f0 Frequency

(b)

Two-sided
(Exponential form)

a9 a 8 a7 a6 a5 a4 a3 a2 a1 a1 a2 a3 a4 a5 a6 a7 a8 a9
2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2
a0
2

- 9f0 - 7f0 - 5f0 - 3f0 - f0 f0 2f0 3f0 4f0 5f0 6f0 7f0 8f0 9f0 Frequency

DC
Component (c)

Fig. 2.10 Representation of periodic signal in the frequency domain.

(a): Refer Eq. 2.2 (b): Eq. 2.3; (c): Eq. 2.4.

2.7 ANALYSIS AND REPRESENTATION OF NONPERIODIC

ANALOG SIGNALS
The output of a microphone, shown in the Fig. 2.6 can be considered as the best example of a
nonperiodic signal. Nevertheless, mostly the outputs of many transducers are nonperiodic signal, but
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Signal Theory and Engineering Tools

some transducers produce periodic signal as well. Mathematically, distinction can be made between a
periodic and nonperiodic signals.
Figure 2.11 is another example of a nonperiodic signal. The signal is the output of the temperature
sensor, which is located at the vicinity of the bearing system of a high-speed spindle machine ¨
(Rotating at a speed more than 15,000 revolutions per minute).

Fig. 2.11 A nonperiodic signal at the output of a temperature sensor

2.7.1 Frequency Domain Representation

The frequency components of the nonperiodic signal are not visible from the time domain plot. For
this reason we will have to call for Fourier Transform. Fourier Transform, in short FT, is a
mathematical tool that transforms the time domain signals to frequency domain. Once the
transformation is over the frequency information of the signal is revealed and becomes discernible to
us. FT is a reversible process, which means that the time domain signal can also be extracted from the
frequency domain signal.
FT{v (t)} Û V ( f ) (2.8)
where, v(t) is the time domain signal. V(f ) is its Fourier Transform, a signal in frequency domain.
V(f ) is a complex signal. The symbol Û implies, there exist inverse Fourier Transform of V(f) which
is simply v(t). Mathematically, the FT of the time domain signal, v(t) is expressed as in Eq. 2.9.
¥
z
V ( f ) = v( t )e-2 pft dt
-¥
(2.9)

And, the inverse Fourier Transforms is expressed as,

¨ The temperature sensor, in this typical example, is a protecting device for the spindle machine. It is there to measure
the transient temperature of the bearing system on-line. If the temperature of the bearing system is more than the
threshold limit, the spindle has to be stopped, so that no serious damage would occur to the costly spindle machine.
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Mechatronics: Principles, Concepts and Applications

¥
v( t ) = z
-¥
V ( f ) e 2 p ft df (2.10)

Let us understand how FT works. The right hand side of the Eq. 2.9 is the summation of products
of two terms, the time domain signal v(t) itself and the exponential function e. The process is a series
of multiplications and the results provide the amplified version of the exponential function. The
process of multiplication searches the frequency components present in the signal. When the
exponential term, inheriting a frequency parameter f, is multiplied with the signal, it gets amplified only
if the signal has a frequency component f or else the product becomes zero. Zero means that the
signal does not have this frequency component. The exponential function starts multiplying the signal
from zero frequency to infinite, since exponential function starts from zero to infinite. The process
only extracts frequencies that are present only in the signal. Therefore, the result of the process is
simply a signal containing frequency information. The integration does not mean the sum of all
products! It really means the summation of products over all times.
FT of a signal is a complex function because it is the product of original signal and the exponential
function. Moreover, since the integral in the Eq. 2.9 takes the limit from – ¥ to + ¥ , the outcome is
a two-sided plot. Figure 2.12 shows the frequency domain representation of a typical nonperiodic
signal. You can see that, the spectra are continuous. It was pointed out in case of periodic signal that
if the duration of time period of a periodic signal is increased then the spacing between the spectral
components is decreased. If the fundamental period of a periodic signal is increased to infinite, it
would become a nonperiodic signal, and in effect, if we take the FT of such signal, the spacing
between the spectral components would become infinitesimally small, i.e. continuous. All nonperiodic
signals are periodic (hypothetically) if the fundamental frequency of the signal is taken as infinite.
Unlike periodic signals, the nonperiodic signals have no discrete frequency components. There does
not exist unique amplitude corresponding to unique frequency. In this case (nonperiodic) one can
interpret the concept by using the term ‘amplitude of spectral density’. This means that there exist
amplitude, but the amplitude is contributed by a group of spectral components within the interval of
D f . Further, note that the shapes of the amplitude of spectral density on both sides of the frequency
axis are identical.

Fig. 2.12 Frequency domain representation of a typical nonperiodic signal

Fourier series and Fourier Transforms have many important applications in all branches of
engineering. They operate on continuous functions, which are defined at all values of the time t. Such
a function might represent a continually varying analog voltage signal produced by a typical
transducer. Whatever may be the source of origin of the signal, in reality it turns out that the signal is
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built from only sine and cosine waves of various amplitudes, and hence can be broken down or
analyzed. Given an arbitrary time domain signal v(t), the basic idea of analysis is to decompose the
signal, over some finite interval, into a sum of pure sine components, and to find the frequencies,
amplitudes, and phases of those components.
Example 2.1 Plot the following time domain signal in the freqauency domain.
v( t ) = A1 sin 2 p f1t + A2 sin 2 p f2 t + A3 sin 2 p f3t
Solution The above signal contains three sinusoidal components with amplitudes and frequencies
(A1, f1); (A2, f2) and (A3, f3) respectively.
Let us assume A1 > A2 > A3 and f1 < f2 < f3
The frequency domain plot of the given signal is shown in the Fig. 2.13
Amplitude

A1

A2

A3

f1 f2 f3 Frequency

Fig. 2.13 Frequency domain plot of the signal, A1 sin 2 p f 1t + A 2 sin 2 p f 2t + A 3

sin 2 p f 3t
Example 2.2 Find the Fourier Transform of the gate function and plot its amplitude of spectral
density.
Solution A gate function is simply a pulse, which is a nonperiodic signal. Let the duration and the
amplitude of the pulse is t and A respectively. For simplicity, let us consider that the pulse extends
from – t/2 to + t/2 as shown in the Fig. 2.14. Mathematically such a function is written as,
t t
v( t ) = A for - £t£
2 2
=0 for all other values of t

Amplitude

τ τ
+ Time
2 2

Fig. 2.14 A gate function

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The Fourier Transform of such a signal is,

t
t
¥ 2 +
e- j 2 p ft 2 e jptf - e- jptf
V( f ) = z
-¥
v ( t )e j 2 pft
dt = z
-
t
Ae j 2 p ft
dt = A
j 2 pf -
t
2
=A
j 2 pf
2
By using Euler’s expressions,

e j 2 pft + e- j 2 p ft = 2 cos( 2 p ft )
e j 2 pft - e- j 2 pft = j 2 sin( 2 p ft )
We have,
sin(pft )
V ( f ) = At
= At sinc ( ft )
pft
Figure 2.15 shows the signal in the frequency domain. The Fourier Transform of a gate function is
a function of the form sin(x)/x symmetrical to time axis. It is a decreasing function and contains all
the frequencies. The highest peak, At occurs at the origin. The function sin(x)/x is zero for
x = np , where n is an integer (n ¹ 0) and other peaks occur approximately at ±1/ 2 ( np ), ± 3 / 2 ( np ),
±5 / 2( np )... and so on.
Amplitude of spectral components

At
Two-sided plot

+
Frequency

Fig. 2.15 Frequency spectrum of a pulse

2.8 DISCRETE FOURIER TRANSFORM AND FAST FOURIER

TRANSFORM
While continuous functions are useful they are difficult to work in practice. Instead, we usually
represent them by a sequence of sampled values. There comes Discrete Fourier Transform (DFT).
DFT engrosses discrete signals rather than continuous signals.
Discrete Fourier Transform (DFT) is a basic mathematical operation frequently used to transform
an ordered sequence of data samples from the time domain to the frequency domain so that spectral
information about the discrete signal can be obtained explicitly.
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The DFT altogether a different method making it possible to allow computer implementation for
the extraction of amplitude, frequency and phase of the signal. Since the computer is a digital device,
in place of a continuous input signal we provide discrete data. The basic that lies with DFT is the
involvement of Digital Signal Processing (DSP) methods. In digital world we can only process a
function defined on a discrete set of points. This leads to define DFT, whose equations s are very
similar to those for the continuous Fourier Transform. In this case both the time and the frequency
variables are discrete.
Let v( t n ) represent the discrete time signal, and let V ( w k ) represent the discrete frequency
transform function. Then , mathematically, the DFT is written as,
N -1
V (wk ) = å v ( t n )e - j w k tn , for k = 0, 1, 2,......................, ( N - 2 ), ( N - 1) (2.11)
n =0

The Inverse Discrete Fourier Transform (IDFT) is,

N -1
1
v( tn ) =
N
å V ( wk )e j wk tn , for n = 0, 1, 2,......................, ( N - 2 ), ( N - 1) (2.12)
n =0

where,
V ( wk ) Þ The spectrum of v(t) at radian frequency wk
2p k th
wk = Þ k frequency sample
NT
N Þ Number of samples in both time and frequency
T Þ Sampling period
fs Þ Sampling frequency
th
tn = nT Þ n sampling instant in second
n Þ Sample number
v (tn) Þ Amplitude of the input signal at time tn
From the computing schematic, largely, DFT is an algorithm. As far as calculation of DFT is
concerned, as an index, it is an order of N 2 calculation, meaning is that the number of multiplications
involved in the calculation is equal to the square of the number of data points. The traditional DFT
algorithm has been superceded by Fast Fourier-Transform (FFT) algorithm, which reduce calculation
redundancies in terms of taking much less computer time. The order of FFT calculation is N log N,
which is less than N 2. Without loss of generality it can be stated that DFT is the equation from which
the Fast Fourier Transform (FFT) algorithm is derived. FFT is considered as one of the most
significant numerical techniques, because it helps to reduce differential equations to essentially
algebraic problems. The FFT is not a different transform, rather a means of computing the DFT with
a considerable reduction in the number of calculations involved. In summary, FFT is simply a class of
special algorithms, which implement the DFT.
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2.9 ANALYSIS OF SIGNALS IN TIME-FREQUENCY DOMAIN

Look at the two different time domain signals as shown in the Fig. 2.16 (a) and (b). The first signal
(i.e., Fig. 2.16 (a)) consists of three trigonometric functions (Sine function) with frequencies f1, f2
and f3 (f1> f2> f3) respectively. Let, Eq. 2.13 be the mathematical expression of the signal.
v(t) = A1 sin 2 p f1t + A2 sin 2 p f2 t + A3 sin 2 p f3t (2.13)

Fig. 2.16 Two typical time domain signals, each containing same frequency components.
(a) Signal 1 with frequencies f1, f2 and f3 (b) Signal 2 with frequencies f1, f2
and f3

The second time domain signal, shown in Fig. 2.16 (b), also has same frequency components f1, f2
and f3 (f1 > f2 > f3) but all are cropping up at different time intervals, T1, T2 and T3. Let us temporarily
ignore the amplitude part of the signals as we are now concentrating only on the frequency contents.
If we take Fourier Transforms of these two signals to know the frequency information we shall get
identical results. Figure 2.17 (a) is the FT of the first signal (Eq. 2.13) and Fig. 2.17 (b) is the FT of
second signal (Fig. 2.16(b)). In this typical example, although, the two signals are exclusively different
but they are distinguished in their frequency domain plots.
What is informative here is that FT cannot be applied to all types of signals. Let us observe the two
time domain signals and their FTs very closely. The difference between the two signals is the time of
occurrence of their frequency components. The frequency components of first signal occur at all
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Signal Theory and Engineering Tools

times, where as the frequency components of second signal occur only during specific intervals,
such as f2 occurs during T1 interval, f2 occurs during T2 interval, and so on. The time of occurrence
of frequencies is not same. FT provides results about the presence of frequency components in a
signal, but it never provides any information about the time of occurrence of the frequency
components. Because of this reason the FT of both the signals resulted same. Note that the two
signals are categorized under stationary and nonstationary signals, respectively. In order to overcome
such drawback, which are inherited by the Fourier Transforms, i.e. to reveal all the information such
as amplitude, phase, frequency content and the time of occurrence of frequency components of the
signal situation is more involved. And, the approach which resolve the problem is called time-frequency
domain analysis and processing of signals. A time-frequency distribution shows what frequencies are
present at a given time. The latest advancement of time-frequency analysis of signal is called Wavelet
Transform (WT).
Amplitude

A3/2 A2/2 A1/2 A3/2 A2/2 A1/2

− f3 − f2 − f1 f3 f2 f1 Frequency
(a)

Amplitude

A/2 A/2 A/2 A/2 A/2 A/2

− f3 − f2 − f1 f3 f2 f1 Frequency
(b)

Fig. 2.17 (a) FT of Signal 1 (b) FT of Signal 2

We concluded at this point that the FT is not a suitable method for analyzing the nonstationary
signal. However, irrespective of whether it is a stationary or nonstationary, if the interest is only to
know about the frequency content in the signal, FT can be used. On the other hand, if it is required to
know the time of occurrence of frequency components, WT has to be used.
WT is a time-frequency distribution of the signal, which means that it is a function of two variables
time and frequency. In this domain a complete description of signal in terms of its frequency
components and the time of occurrence of such frequency components can be found out.
Mathematically the WT is written as,

y (t , s ) =
1
z v( t ) y ∗ FH t − t IK dt (2.14)
s s
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where, y (t, s) is WT, which is a function of t and s × t and s are called translation (time) and scale
(frequency) parameters respectively. v(t) is the nonstationary signal and y* is the conjugate window
function, called mother wavelet. The mother wavelet serves as the basis for all windows in the
computation process. Different type of windows functions serves as the mother wavelet. In case of
FT the window function is replaced by exponential function. In WT, the translation is related to the
location of the window and the scale parameter is the inverse of the frequency. The scale parameter
either dilates or compresses.
WT originated from another treatment, which is called Short Time Fourier Transform (STFT).
STFT is also a time-frequency distribution. Mathematically the STFT is written as,

z
STFT ( t , f ) = v ( t ) w * ( t - t' ) e- j 2 pft dt (2.15)
where, v(t) is the time domain signal, w* is the conjugate of the fixed window function. The problem
with STFT is that it uses a single analysis window, on the other hand the WT uses scale parameters
(s), in order to have short windows at high frequencies and long windows at low frequencies. For this
reason, WT based signal analysis is referred to as multiresolution decomposition technique. The
existence of scaling parameter enables to achieve constant relative bandwidth frequency. The STFT
is a linear process and the WT is logarithmic in nature.

2.10 DIFFERENTIAL EQUATION

Mechatronics system design often place great emphasis on studying dynamic behaviour, i.e. how the
systems behave with respect to time. The core of the systems is mechanical system, electrical system,
fluid system and thermal system. A system could either be composed of one or more of these core
elements. Irrespective of their involvement, many mechatronic systems are described by linear
differential equations. For instance, a thermal system and electromechanical rotary system can be
described by the following differential equations (equations 2.16 and Eq. 2.17) respectively.
dk
RC + k = k0 (2.16)
dt
where, dk is the rate of change of temperature, k 0 is temperature difference between the two points
of interest, R is called thermal resistance and C is called thermal capacitance. This is a first order
differential equation.
d 2q dq
J +R + kq = Kt Ia (2.17)
dt 2 dt
where, J is moment of inertia of the rotor, R is rotational damping constant, k is rotational spring
constant or stiffness, kt is the torque constant; and Ia is armature current. This is a second order
differential equation.
More often, it is required to solve these differential equations in order to:
· Study the system
· Predict the behaviour of the system
· Improve the performance of the existing system by varying the parameters and variables (Note
that J, R, K, Ia are some of the parameters and variables of the motor system)
· Optimise and develop a better system, etc.
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2.11 LAPLACE TRANSFORMATION

The Laplace Transformation is a technique mostly used for solving linear differential equations with
initial conditions. It should be pointed out that typically, the engineering systems are described or
modeled by the linear differential equations (Refer section 2.11). These equations are called model
equations. The behaviour of the system is well understood by analysing the model equations and the
analysis is carried out in terms of solving the model equations. In other words, the output responses
of the engineering systems for the given input (s) and initial conditions, are obtained by solving the
model equations, which contains derivative terms. Although, there exist various ways of solving the
differential equations, Laplace Transform method makes it easier to solve the differential equation,
conveniently.
The transformation idea can be compared with the use of Logarithms used in mathematics.
Consider two big numbers ready to be multiplied. The multiplication can conveniently be performed
using logarithms. The great advantage of using logarithms is that the multiplication operation is
performed as addition operation in the logarithmic domain. The procedure is that in first instance the
logarithm of the two numbers are taken. Then they are added in the logarithmic domain. Once the
addition is over, antilog of the result is calculated in order to arrive at the final results. The Log-
Antilog process is a trasformation-antitransformation process usually used to make something easier
as far as calculations are concerned. Analogously, Laplace Transform is considered as a useful
mathematical tool in solving linear, time-invariant differential equations. The technique transforms the
original differential equation, which is in time-domain, into the Laplace domain, also called “s” domain
(Fig. 2.18). Then it solves the unknowns, say the output. Once the job is done, Inverse Laplace
Transform is taken in order to give the result. The use of Laplace Transformation technique is very
popular because some problems are difficult to solve directly. With a transform method, solution
becomes easy. Laplace Transform inherits many properties which are of great interest. In the sequel
the definition of Laplace Transform and inverse Laplace Transform will be given.

Time domain Laplace transform

(L) S-domain
function

Laplace Inverse
Result Transform (L 1)

Fig. 2.18 An illustration of Laplace Transform and Inverse Laplace Transform

If f (t) is a function in the time domain such that f (t) = 0 for t < 0, then mathematically the Laplace
transform of f (t) is denoted by F(s). Its mathematical expression is given in the Eq. 2.18.
¥
L [ f ( t )] = z
0
f ( t ) e-st dt = F ( s ) (2.18)
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Mechatronics: Principles, Concepts and Applications

where, L is the Laplace operator, s is a complex variable. The inverse Laplace Transform is denoted
by,
L -1 [ F ( s )] = f ( t ) (2.19)
–1
where, L is the symbol used for inverse Laplace Transformation.
The Laplace Transform of a time domain function exist if the integral converges. This implies that
f(t) is piecewise continuous on 0 £ t < ¥ and f(t) is of exponential order as 0 Þ ¥ , meaning is that
there exist real constants C, a and tr such that f ( t ) £ Ce at for all t > tr . These are the sufficient but
not necessary conditions for F(s) to exist. Conditions for the existence of an inverse Laplace
Transform of F(s) is lim s®¥ F ( s ) = 0 and lim s®¥ s · F ( s ) is finite.
Laplace Transform of a constant, a The Laplace Transform of a constant function, also
known as step function, such as f (t) = a for t > 0 is given by,
¥
a
z
L[ f ( t )] = ae-st dt =
0
s
(2.20)

Laplace Transform of unit-step function If the value of a is 1 in the above equation, then the
step function will be a unit step function. The Laplace Transform of unit step function is given by,
¥
1
z
L[ f ( t )] = e-st dt =
0
s
(2.21)

Laplace Transform of exponential function Let the exponential function be defined by f (t)
= e–s t for t ³ 0. Then,
¥ ¥
1
z
0
z
L[ f ( t )] = e-st e-st dt = e-( s+s ) t dt =
0
s +s
(2.22)

Laplace Transform of ramp function A ramp function is defined by f (t) = at for t ³ 0. Its
Laplace Transform is,
¥ -st ¥ ¥
LM e - 1 e-st dt = a2
OP
z
L[ f ( t )] = ate-st dt = a t
0 N -s 0 s z
0 Q s
(2.23)

Laplace Transform of sum of two time domain function Laplace Transform is a linear
operation. If the Laplace Transform of f (t) is F(s) and that of g(t) is G(s) then following relationship
holds.
L[ af ( t ) + bg ( t )] = aL[ f ( t )] + bL[ g ( t )] (2.24)
Where a and b are constants. This can be proved using the Eq. 2.18.
Laplace Transform of time-shifted function If the Laplace Transform of f (t) is F(s), then,
L[ f ( t - t )] = e-st F ( s ) (2.25)
This can be proved using the Eq. 2.18 as follows.
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¥ ¥
L[ f ( t - t )] = z
0
f ( t - t ) e-st dt = z
0
f ( w )e-s ( w+t ) dw

¥ ¥

z z
= e-st f ( w )e-sw dw = e-st f (t )e-st dt = e-st F( s )
0 0
Laplace Transform of first, second, higher order derivatives of the function If the
f (t) has a Laplace Transform F(s) then,

LLM df (t ) OP = sF( s ) - f (0) (2.26)

N dt Q
LM
L d f (t ) OP = s F(s) - sf (0) - f&(0)
2
2
(2.27)
N dt Q
LM
L d f (t ) OP = s F(s) - s f (0) - s
n
n n-1 n-2
f& (0 )-............-sf n-2 ( 0 ) - f n-1 ( 0 ) (2.28)
N dt Q
df ( t ) d n-1 f ( t )
where, f ( 0 ) = f ( t ) t =0 , f& ( 0 ) = ,.............. and f n-1 ( 0 ) = .
dt t =0 dt t =0
The proof of the Eq. 2.26 follows. By using the definition of the Laplace Transform and
subsequently using the integration by parts,
¥ ¥
L LM df (t ) OP = z df (t ) e -st
dt = f ( t )e-st
¥
z
+ sf (t )e-st dt = - f ( 0 ) + sF ( s ) = sF ( s ) - f ( 0)
N dt Q dt 0
0
0

df (t )
With regard to second derivative (Eq. 2.27), considering = g( t ) ,
dt
LM d f (t ) OP = L L dg(t ) O = sL[g(t )]- g(0) = sLL df (t ) O - f& (0) = s F(s) - sf (0) - f& (0)
2
2
L
N dt Q NM dt QP NM dt QP
By similar approach, the Laplace Transform of nth order derivative of a function can also be
obtained.
Laplace Transform of integral of a function If f (t) has a Laplace Transform of F(s) then,
the Laplace Transform of the integral of f (t) is
L t
O F(s)
L z f ( t ) dt = L M z f ( t )dt P = (2.29)
N 0 Q s
t

z
Let us define g( t ) = f ( t )dt . and du = e-st dt Now, dg = f ( t ) dt and u = -
0
e-st
s
. So,

LM f (t )dt OP = LM f (t )dt OPe

t ¥ t

Nz Q z Nz
-st
L[ f ( t )] = L dt
0 0 0 Q
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L e IJ f (t )dt OP
= M FG -
t ¥ ¥ ¥

NH s K z z z
-st F(s)
+1 f ( t )e-st dt =
1
f ( t )e-st dt =
Q 0 t =0
s 0
s 0
s

Laplace Transform of sinusoidal function Consider a sinusoidal function defined by,

f (t) = 0 for t < 0
= sin w0 t for t ³ 0
w
L[sin w0 t ] = (2.30)
s + w02
2

1 jwt
By using Euler’s formula, we can write sin w0 t = (e - e- jwt ) .
2j

LM (e - e )e dt OP
¥

Nz
1 jw 0 t - jw0 t -s0 t
L[ f ( t )] = L[sin w 0 t ] =
2j 0 Q
1 L O
¥ ¥
=
2j N
M z e e dt - z e
0
jw 0 t -s0 t
e dt P
Q 0
- jw0 t -s0 t

1 L 1 1 OP = w
= M
2 j N s - jw
-
s + jw Q s + w
0 0
2
0
2
0
By similar approach the Laplace Transform of cosine function can be derived as,
s
L[ f ( t )] = L[cos w0 t ] = (2.31)
s 2 + w02
Laplace Transform of function multiplied by e –at Laplace Transform of a function
multiplied by the factor e–at is,
L[ f ( t ) e at ] = F ( s + a ) (2.32)
It can be derived as follows.
¥ ¥
L[ f ( t )e at ] = z
0
f ( t )e at e-st dt = z
0
f ( t )e ( a-s )t dt = F ( s + a )

Laplace Transform of function multiplied by time, t Laplace Transform of a function

multiplied by the time, t, is
d
L[tf (t )] = -
F(s) (2.33)
ds
To prove the above equation, we can go in reverse direction. Now,
LM f (t )e
¥
OP ¥

Nz z
d d -st
F(s) = dt = - tf ( t )e-st dt = -L[ tf ( t )] .
ds ds 0 Q 0
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From the above result we can obtain,

L[t] = L[ t ´1] = -
d 1 FH1
= 2 IK (2.34)
ds s s
L[t 2] = L[ t ´ t ] = -
d 1
2
FH= 3
2 IK (2.35)
ds s s
n!
L[t n] = n+1 (2.36)
s
Table 2.1 provides some of the frequently used time functions and their Laplace Transforms.

Table 2.1
Laplace Transform Table
Time domain function Laplace transform
1 d (t ) 1
1
2 u (t )
s
1
3 t
s2
1 1
4
pt s
t 1
5 2
x s3
n!
6 t n n = 1,2,3.............
s n+1
1
7 e –at
s+a
b
8 be –at
s+a
1
9 te –at
( s + a )2
n
10 t n e-at , n = 1,2,3...........
( s + a ) n+1
1 1
11 (1 - e-at )
a s( s + a )
b- a
12 e-at - e-bt
( s + a )( s + b )

Contd.
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Time domain function Laplace transform

1 e-at e-bt 1
13 - -
ab a( b - a ) a( a - b ) s( s + a )( s + b )
s
14 (1 - at )e-at
( s + a )2
w0
15 sin( w 0 t ) 2
s + w0 2
sin(q )s + w0 cos(q )
16 sin( w 0 t + q )
s 2 + w0 2
s
17 cos( w 0 t ) 2
s + w0 2

s 2 - w0 2
18 t cos( w 0 t )
( s 2 + w0 2 )2
w0
19 e-at sin( w0 t )
( s + a )2 + w0 2
s+a
20 e-at cos( w 0 t )
( s + a) 2 + w02

1 w n2
21 1-
1- z 2
d
e-z wnt sin wn 1 - z 2 t + cos-1 (z ) i s( s 2 + 2 z w n s + w n2

wn w n2
22
1- z 2
d
e-z wnt sin wn 1 - z 2 t i s 2 + 2 zwn s + w n2

-wn2 swn2
23 1-
1- z 2
d
e-z wnt sin wn 1 - z 2 t - cos-1 (z ) i s 2 + 2 zwn s + wn2

Example
1. Solve the following differential equations by using Laplace Transform method.
dy( t )
(a) + ay( t ) = 0 , Given that y ( 0 ) = y0
dt
d 2 y( t ) dy( 0 )
(b) m + ky(t ) = 0 , Given that y ( 0 ) = y0 and = y& 0
dt 2 dt
Solution (a) The equation is called a first order equation. Let the Laplace Transform of y(t) is
Y(s).
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L LM dy(t ) OP = sY ( s) - y
N dt Q 0

L ay ( y ) = aY ( s )

So, LLM dy(t ) + ay(t ) OP = sY ( s) - y + aY ( s )

N dt Q 0

LL
MN dt + ay(t )OPQ = L[ 0] = 0
dy( t )

y0
Therefore, sY ( s ) - y0 + aY ( s ) = 0 or, Y ( s ) =
s+a

Thus, y ( t ) = L-1 LM y OP = y e
0 -at
[Refer Sl. No. 8 of the Laplace Transform Table]
N s+a Q 0

where, y(t) is the solution to the first order equation.

Solution (b) The equation is called a second order equation. Let the Laplace Transform of y(t) is
Y(s).

L m
LM dy 2 ( t ) OP
= m s 2 Y ( s ) - sy0 - y&( 0 )
N dt Q
L ky ( t ) = kY ( s )

So,
LM dy (t ) + ky(t )OP = m s Y (s) - sy
L m
2
2
- y& (0 ) + kY ( s )
N dt Q 0

But,
L dy (t ) + ky(t )OP = L[0] = 0
L Mm
2

N dt Q
Therefore, m s 2 Y ( s ) - sy0 - y& ( 0 ) + kY ( s ) = 0
my0 s + my&0 y0 s + y&0 y0 s y&0
or, Y (s) = = = +
ms 2 + k
s2 +
FG k IJ 2
s2 +
FG k IJ 2
s2 +
FG k IJ 2

H m K H m K H m K
LM OP
Thus, y(t ) = L Y ( s ) = L M
y s
MM s + FG k IJ
0
+
y&0
PP = y cosFGH k IJ y&
t + 0 sin
K
FG
H
kIJ
t
K
+ FG
k I
2 2 0
m k m
H m JK PQ
2
s2
N H mK m
[Refer Sl. Nos. 15 and 17 of the Laplace Transform Table]

2.12 DIFFERENCE EQUATION

Real-world dynamic systems are continuous in nature, for which they are referred to as continuous
systems. Most of the continuous systems are described by differential equations. The characteristics
and behaviour of the system is studied by solving such differential equations. In order to take the
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advantage of digital technology, the continuous-time systems are converted to discrete-time systems.
The theory behind the discrete-time systems have already been introduced in this chapter and will
further be described in the Chapter 5. In the context of differential equation in relation to continuous
system, there exist difference equation in relation to discrete time system. A difference equation, in
fact, is the discrete adaptation of a differential equation.
Difference equations arise out of the sampling process. If an analog signal is sampled, then the
differential equation describing the analog signal becomes a difference equation. As regards to digital
control representation the difference equation shows the relationship between the input and output
signal. In order to obtain kth output it is necessary to consider past values of input and output signals.
Let us assume that the discrete-time input signal is given by u(k) and the output signal is given by
y(k). The past values of the inputs and outputs are, u ( 0 ), u (1), u ( 2 ),... u ( k − 1), u( k ) and
y ( 0 ), y (1), y( 2 ),... y ( k − 2 ), y( k − 1) respectively. Since the current output depends on the past values,
the difference equation can be expressed as a function of the form
y ( k ) = f ( u( 0 ), u(1),... u ( k ):: y( 0 ), y (1),... y( k − 1) ) (2.37)
If we assume that the function f is linear and depends only on immediate past values, then the
Eq. 2.37 can be reduced to,
y ( k ) = u( k ) + y ( k - 1) (2.38)
or, y ( k ) - y( k - 1) = u( k ) (2.39)

2.13 Z-TRANSFORMATION
In analogy to how the Laplace Transform is used to solve differential equations, the Z-transform is
used to solve difference equations. The Z-Transform is used to take discrete time domain signals into
a complex-variable frequency domain. Like the Laplace transform, the Z-Transform opens up new
ways of solving problems and analyzing systems in the discrete domain. It transfers discrete time
domain signals into algebraic equations which, in many cases, helps the solution of problems.
Let the known discrete sequences be ... x ( − k ), x (1 − k ),... x ( 0 ), x (1),... x ( k ),... . Then, mathe-
matically, the Z-Transform of the sequence x(k) is defined as,
¥
Z x ( kT ) = X ( z ) = å x ( k )z -k (2.40)
k =-¥

where, -¥ < k < +¥ , z is a complex variable. T is the sampling frequency. This is a two-sided
Z-transform. The governing equation for one sided Z-Transform is,
¥
X ( z ) = å x ( k )z-k (2.41)
k =0
The Z-Transform is only defined for values of z where the series converges.
As an example, if x ( 0 ) = x (1) = x ( 2 ) = x (3) = x ( 4 ) = x ( 5) = 1 , and x ( k ) = 0 for all other
sequences, then the Z Transform of the sequence becomes,
X ( Z ) = 1 + z -1 + z-2 + z-3 + z -4 + z -5
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The inverse Z-Transform is defined as,

Z -1 X ( z ) =
1
j2p z
C
X ( z ) z k-1dz (2.42)

where, C is a closed contour that includes z = 0. The inverse Transform is obtained by visual
inspection or partial fraction method.
Linear property The Z-Transform is a linear transform, Consider a linear discrete system, x(k)
defined by,
x ( k ) = ax1 ( k ) + bx 2 ( k ) (2.43)
Where, a and b are constants. Now if X1(z) is the Z-Transform of x1(k) and X2(z) is the Z-transforms
of x2(k), for all values of a and b
X ( z ) = aX1 ( z ) + bX2 ( z ) (2.44)
Time-shift property Let us define a time series x(k), which is a time-shifted series of y(k), i.e.,
x ( k ) = y ( k - k0 ) . The Z-Transform of this time-shifted series becomes,
¥ ¥
X ( z ) = å x ( k ) z -k = å x ( k - k 0 ) z -k
k =0 k =0
¥ ¥
= å x (q )z -( q+k0 ) =Z -k0 å x ( q ) z-q (2.45)
k =0 k =0
- k0
=z X( z )
Z-Transform of impulse function:
¥
X ( z ) = Z d( t ) = å x ( k )z-k = 1´ z 0 = 1 (2.46)
k =0
Z-Transform of unit step:
¥ ¥
z
X ( z ) = Z u( t ) = å x ( k )z -k = å z-k = (2.47)
k =0 k =0 z -1
Z-Transform of a k:
∞ ∞
z
X (z) = Z a k = ∑ x (k )z − k = ∑ a k z − k = 1 + az −1 + a 2 z −2 + ... =
z−a
(2.48)
k =0 k=0

Z-Transform of exponential function, e-at:

∞ ∞
X ( z ) = Z e − at = ∑ x ( k )z − k = ∑ e − akT z − k
k =0 k =0 (2.49)
− aT −1 −2 aT −2 z
= 1+ e z +e z +... =
z − e − aT
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Broadly, the Z-Transform can be used to,

· Describe discrete-time signals and systems.
· Stability analysis of discrete-time system
· Compute and visualize the frequency response of discrete-time system
· Design discrete-time applications
· Solve difference equations
Table 2.2 provides some of the frequently used time functions and their Z-transforms.

Table 2.2
Z-Transform table
Sl. No. Function Z-Transform
1 d (k) 1
z
2 1(t) or 1(kT)
z -1
zT
3 t or kT
( z 2 - 2 z + 1)
z ( z + 1)T 2
4 t 2 or (kT)2
( z -1) 3

z ( z 2 + 4 z + 1)T 3
5 t 2 or (kT)3
( z - 1) 3
z
6 ak
z -a
za
7 ka k
( z - a) 2
za( z + a)
8 k 2a k
( z - a)3
a
ak
9 ez
k!
z2
10 ( k + 1)a k
( z - a) 2
( k + 1)( k + 2 ) k z3
11 a
2! ( z - a)3
z
12 a–at or a –akT
z - e aT
ze -aT T
13 ta–at or kTa–akT
( z - e aT ) 2
z sin( w0 T )
14 sin(w0 t) or sin(w0 kT ) 2
z - 2 z cos( w0 T ) + 1
Contd.
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Sl. No. Function Z-transform

z[ z - cos( w0 T )]
15 cos(w0 t) or cos(w0 kT ) 2
z - 2 z cos( w0 T ) + 1

ze -aT sin( w0 T )
16 e–at sin(w0 t) or e–akT sin(w0 kT )
z - 2 ze -aT cos( w 0 T ) + e-2 aT
2

z[ z - e- aT cos( w0 T )]
17 e–at cos(w0 t) or e–akT cos(w0 kT )
z 2 - 2 ze -aT cos( w 0 T ) + e-2 aT

Example 2.4 Find the Z-Transform of sinusoidal function, sin w0 t and cos w 0 t .

Solution X ( z ) = Z sin( w0 t ) = Z e LM jw0 t

- e- jw0t OP
N j2 Q
=
1LM å e z - å e z OP
¥
jkw0 T -k
¥
- jkw0 T -k
j2N k =0 Q k =0
1 L z z OP
= -
j 2 NM z - e jw0 T
z-e Q - jw0 T

1 L z sin w T O
j 2 N z - 2 z cos w T + 1 PQ
M 0
= 2
0

By similar approach the Z-Transform of cosine function, cos w 0 t can also be obtained.

X ( Z ) = Z cos( w 0 t ) =
LM z 2 - z cos w 0 T OP
Nz 2
- 2 z cos w0 T + 1 Q
Example 2.5 Find the inverse Z-transform, x(k) of the following.
2z
X ( z) = 2
z - 0.7 z + 0 .1
2z 2z
Solution X ( z) = 2
=
z - 0.7 z + 0.1 ( z - 0.5)( z - 0.2)
2
Let, Y ( z ) =
( z - 0.5)( z - 0.2)
Then, by partial fraction Y(z) can be written as,
2 A B
= +
( z - 0.5)( z - 0.2) ( z - 0.5) ( z - 0.2)
This gives, 2( z - 0.5)( z - 0.2) = A( z - 0.2) + B( z - 0.5)
60
Mechatronics: Principles, Concepts and Applications

From this the value of A and B are found to be,

20 20
2( z - 0.5)( z - 0.2) z=0.5 Þ A = ; B=-
z =0 . 2 3 3
20 20
So, Y ( z ) = -
3( z - 0.5) 3( z - 0.2)
20 z 20 z 20
Now, X ( z ) = Z ´ Y ( z ) = -
3( z - 0.5) 3( z - 0.2)
=
3
{ z -z0.5 - z -z0.2 }
x ( k ) = Z -1 X ( z ) = Z -1 LM 20 { z - z }OP
Therefore,
N 3 z - 0.5 z - 0.2 Q
20
( 0.5) k - ( 0.2) k
= k = 0, 1, 2, .........................
3
Example 2.6 Solve the following difference equation by the using Z-transform.
x ( k + 2 ) + 5 x ( k + 1) + 6 x ( k ) = 0 , With x( 0 ) = 0 , x(1) = 2
Solution Z x(k ) = X( z )
¥ ¥
Z x ( k + 1) = å x ( k + 1) z -k = å x ( k ) z1-k
k =0 k =1
¥ ¥
= å x ( k ) z-k z = z å x ( k )z -k - zx ( 0 ) = zX ( z ) - zx ( 0 )
k =1 k =0

¥ ¥
Z x ( k + 2) = å x ( k + 2 ) z-k = å x ( k ) z 2-k
k =0 k =2
¥ ¥
= å x (k )z -k z 2 = Z 2 å x ( k )z -k - x ( 0 )z 2 - zx (1)
k =2 k =0
2 2
= z X ( z ) - z x ( 0) - zx (1)

Z 2 x ( k + 2 ) + 5 x ( k + 1) + 6 x ( k ) = Z [ 0] = 0
Substituting the values in the above equation, we have,

Z 2 X ( z ) - z 2 x ( 0 ) - zx (1) + 5 zX ( z ) - zx ( 0 ) + 6 X ( z ) = 0

Substituting the x( 0 ) = 0 , x(1) = 2 , we have,

z 2 X ( z ) - 2 z + 5 zX ( z ) + 6 X ( z ) = 0

Þ z 2 X ( z ) + 5zX ( z ) + 6 X ( z ) = 2 z
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Signal Theory and Engineering Tools

Þ X ( z) = 2z
= 2z
=2RSz
- z UV
z 2 + 5z + 6 ( z + 3)( z + 2 ) T
z+2 z+3 W
LM RS z - z UVOP
Z -1 X ( z ) = Z -1 2
N T z + 2 z + 3 WQ
Þ x ( k ) = 2(-2 ) k - 2(-3) k k = 0, 1, 2, ..................
or,

x(0) = 0
x (1) = 2
x ( 2) = -10
x ( 3) = 38
x ( 4 ) = -130
...............
So on

2.14 SUMMARY ON TRANSFORMS

Broadly the real world signals are analog. In order to take advantage of processing power of modern
digital processors or computers, it is necessary to convert the real-world analog signals into an
appropriate form, which can be stored and processed by the use of digital systems and devices. This
can be considered as an advanced methodology as far as processing of signal is concerned. The
method involves sampling the signal periodically and digitize it with an analog to digital converter
(ADC) using a typical number of bits such as 8, 12, 16, etc. The methodology is also known as Digital
Signal Processing (DSP). DSP is primarily concerned with the processing of sampled signals.
The distinguishing factor of the sampled signal is that they are discrete in the time domain. This
discreteness confers a periodic spectrum in the frequency domain with a period equal to the sampling
rate. In case of Fourier series the signal is periodic in the time domain and the spectrum is discrete in
the frequency domain. However, in DFT the sampled signal is periodic and the spectrum is periodic in
nature. The standard course of action for finding the DFT is to find the Z Transform and put back
z with e jwt. Table 2.3 shows the application domains of different transform methods.

2.15 POWER AND ENERGY OF THE SIGNAL

If v(t) is a time domain signal, then the normalized power P of the signal is given by,
T
P = lim T ®¥
1
2T z
-T
v ( t ) 2 dt , Such that 0 < P < ∞ (2.50)

If v(t) is a periodic signal, then the normalized power P of the signal is given by,
 62
Mechatronics: Principles, Concepts and Applications

T0
P=
1
T0 z
0
v ( t ) 2 dt (2.51)

Where, T0 is the time period of the periodic signal.

The normalized energy E of the signal, v(t) is given by the following equation.
T
E = lim T ®¥
-T
z v (t ) 2 dt , Such that 0 < E < ∞ (2.52)

Table 2.3
The transforms and their major application domains
Transforms Application domain
Fourier Transform (FT) Applied to continuous (analog) signals to reveal
amplitude, frequency and phase information.
Discrete Fourier Transform (DFT) Applied to discrete signals to reveal amplitude,
frequency and phase information.
Continuous Wavelet Transform (CWT) Applied to continuous (analog) signals to reveal
amplitude, frequency, phase and time of occurrence of
frequency information.
Discrete Wavelet Transform (DWT) Applied to discrete signals to reveal amplitude,
frequency and phase information.
Laplace Transform Applied to solve linear differential equations
Z-Transform Applied to solve difference equations

2.16 MODULATION AND DEMODULATION

Modulation is a process of changing the parameters of a high frequency signal called carrier signal,
with respect to the intensity of a given weak signal called original baseband signal or modulating
signal. The high frequency signal is usually a sinusoidal signal. The parameters are simply the
amplitude, frequency and phase. The modulation is essential in communication systems, where a
weak signal is transmitted by the use of a carrier signal. There are many forms of modulation such as
Amplitude Modulation (AM), Frequency Modulation (FM), Phase Modulation (PM).
When a high frequency signal has an amplitude varied in response to the intensity (amplitude) of a
low-frequency weak signal the modulation is said to be AM. When the frequency of the high frequency
signal is varied in accordance with the intensity of the low-frequency weak signal the modulation is
said to be FM. Similar definition can also be given for PM. The modulation processes are essentially
used for broadcast communication because the high frequency carrier signal are efficient for radiation.
The process of recovery of original baseband signal from the modulated signal is called demodulation.
There exist another modulation technique, called pulse modulation, which includes Pulse Amplitude
Modulation (PAM) and Pulse Width Modulation (PWM) (Refer Fig. 2.19). Here, the constant-
amplitude and constant-width pulsed signal is used instead of high-frequency sinusoidal signal as
described above. When the amplitude of the constant-amplitude constant-width pulsed signal is varied
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Signal Theory and Engineering Tools

in response to the intensity of the given signal, keeping the width of the pulse constant, then it is
referred to as PAM modulation. Similarly, if the width of the pulse is varied in response to the intensity
of the given signal, keeping the amplitude of the pulse constant, then it is referred to as PWM
modulation.
Amplitude

Constant amplitude constant-width pulsed signal

t1
A

OFF OFF OFF

ON t2 ON ON t1 = ON period = The duration of the pulse Time

T t2 = OFF period; T = ON period + OFF period

Amplitude

An arbitrary signal (Modulating signal)

B2

B1
B0
Time
B3
Amplitude C2
C0 µ B0 (C0 = A)
PAM signal
C1 µ B1
C1 C2 µ B2
C3 µ B3
C0

C3

Time

Amplitude

PWM signal
t1 tx ty tz

t x µ B1 ty µ B2 tz µ B3 Time

Fig. 2.19 (a) Constant-amplitude constant-width pulsed signal; (b) Typical modulating
signal; (c) PAM signal (Amplitude is proportional to the intensity of the
modulation signal); (d) PWM signal (Width is proportional to the intensity of the
signal)
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Mechatronics: Principles, Concepts and Applications

Theoretically, a PWM signal is a signal that can be generated by varying the on-off ratio, called
duty cycle, of a rectangular or square wave. The average on time may be varied from 0 to 100
percent. By doing this, a variable amount of power can be generated and can be transferred to an
electrical load. PWM draws special attention as far as automation and control is concerned. PWM is
employed in a wide variety of applications, ranging from measurement and communications to power
control and conversion. One such application is to control the speed of DC motors. Traditionally, the
speed can be controlled (see Chapter 8) with a variable resistor connected to the motor winding.
While this traditional approach works well, it generates heat and hence wastes power. PWM based
speed control strategy eliminates these problems. It controls the motor speed by driving the motor
with PWM signal. The PWM pulses vary in duration to change the speed of the motor. The longer the
pulses, faster the motor turns.

· Fundamentally, the source of signal is the ‘transducer’, or ‘sensor’.

· The signals are defined with three parameters such as amplitude, frequency and phase.
· A useful definition of the signal is that ‘signal is analogous and intrinsically it may have many
signals’.
· One, way of classifying the signal is in terms of Random or Nonrandom, Stationary or Non
stationary, Periodic or Non-periodic (Power signal or Energy signal) and Analog or Discrete.
· Signals, which are associated with some degree of uncertainty at the time of their appearance,
are called random signals.
· Signals whose statistical parameters such as mean and standard deviation do not change with
time are called stationary signals.
· A signal is said to be periodic, if its amplitudes, as time elapsed, is reiterated over a fixed
interval.
· Analog signal, is a continuous function of time, where as discrete signal is not continuous.
· A discrete signal is considered as an approximate version of a continuous one.
· Signal can be represented in more than one domain such as time, frequency and time-frequency.
· Non- stationary signals cannot be distinguished from their frequency domain plot.
· STFT and WT, reveals the frequency information as well as the information on the time of
occurrence of the frequency components.
· A periodic signal of period T can be expressed as a summation of infinite number of
trigonometric functions such as sine and cosine functions as long as the signal has finite number
of maxima, minima and discontinuity within T.
· The total power of the signal is the sum total of the individual powers of the spectral
components present in the signal.
· FT is a mathematical tool that transforms the time domain signals to frequency domain.
· Discrete Fourier Transform (DFT) is a basic mathematical operation frequently used to trans-
form an ordered sequence of data samples from the time domain to the frequency domain so
that spectral information about the discrete signal can be obtained explicitly.
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Signal Theory and Engineering Tools

· DFT is an order of N 2 calculation. That is the number of multiplications involved in the

calculation is equal to the square of the number of data points.
· The order of FFT calculation is N log N, which is less than N 2.
· The core of the systems is mechanical system, electrical system, fluid system and thermal
system. A system could either be composed of one or more of these core elements.
· The Laplace Transformation is a technique, which can be used for solving linear differential
equations with initial conditions.
· In relation to continuous system, there exist difference equation in relation to discrete-time
system there exist difference equation. A difference equation is the discrete adaptation of a
differential equation.
· In analogy to use the Laplace Transform to solve differential equations and the use Z-Transform
to solve difference equations.
· Modulation is a process of changing the parameters of a high frequency signal called carrier
signal, with respect to the intensity of a given weak signal called original baseband signal or
modulating signal.
· When a high frequency signal has, an, amplitude, varied in response to the intensity (amplitude)
of a low frequency weak signal the modulation is said to be AM. When the frequency of the
high frequency signal is varied in accordance with the intensity of the low-frequency weak
signal the modulation is said to be FM. Similar definition can also be given for PM.
· The process of recovery of original baseband signal from the modulated signal is called
demodulation.
· When the amplitude of the constant-amplitude constant-width pulsed signal is varied in re-
sponse to the intensity of the given signal, keeping the width of the pulse constant, then it is
referred to as PAM modulation.
· A PWM signal is a signal that can be generated by varying the on-off ratio, called duty cycle, of
a rectangular or square wave.
· PWM is employed in a wide variety of applications, ranging from measurement and communi-
cations to power control and conversion. One such application is to control the speed of DC
motors.
· The PWM pulses vary in duration to change the speed of the motor. The longer the pulses,
faster the motor turns.

This chapter began with the basic concepts in signal, their generations and types. These
concepts deal with the analysis and processing, their representation in time and frequency
domain for different types of continuous and discrete type of signals. Based on these concepts,
different transformations were illustrated. The illustration included examples such as gate
function, differential equation and difference equations. Similarly, the concepts of wavelet
transform with its superiority were illustrated. In addition, topics related to modulation and de-
modulation, were examined.
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Mechatronics: Principles, Concepts and Applications

LOOKING AHEAD
The study of signal theory and engineering tools is considered as the first step to acquiring
knowledge on mechatronics discipline. The importance of signal theory and engineering tools
is noteworthy from various perspectives such as representation, identification, design, modeling
and simulation. The usefulness of this study will be reflected in rest of the chapters wherever
necessary.

EXERCISES

2.1 Define the term ‘signal’.

2.2 Where is the origin of signal? Draw some of the typical signals originated from different
sources.
2.3 Draw the following signals in time domain.
(a) v(t) = A for t ³ 0
(b) v(t) = B sin(2pft) for t ³ 0
(c) v(t) = B cos(2pft) for t ³ 0
T 3T 5T
(d) v(t) = C for 0 < t < ; T < t < ; 2T < t < L so on
2 2 2
T 3T 5T
= 0 for < t < T; < t < 2T ; < t < 3T L so on
2 2 2
(e) v(t) = D for 0 £ t £ t1
= 0 for t > t1
2.4 What do you mean by a ‘filter’. For what purpose is it used?
2.5 Classify and discuss the signals from various points of view.
2.6 Define discrete signal? Distinguish between analog and discrete signal.
2.7 Why do we do signal analysis? What type of analysis do we need to do?
2.8 Why are the engineers interested to know the frequency content of the signal?
2.9 What is the meaning of multi domain signal representation? Why is representation of signal in
multi domain of paramount importance?
2.10 Discuss about Fourier Transform and Short Time Fourier Transform.
2.11 Mathematically represent the periodic signal and define the terms.
2.12 Express a Fourier Series in trigonometric and exponential form. Define the terms.
2.13 Why is frequency domain representation of signal important?
2.14 Which mathematical tool is used to represent the nonperiodic signal, with finite energy, in the
frequency domain?
2.15 Show the following signal in the frequency domain.
(i) A1sin f1+ A2sin f2+ A3 cos f3+ A4sin f4+ A5sin f5+ A6cos f6
Where, A1, A2, A3, A, and A6 are the peak amplitudes and f1 to f6 are the frequencies of the
sinusoids. Assume any values of amplitudes and frequencies.
2.16 Distinguish between amplitude and amplitude of spectral density.
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Signal Theory and Engineering Tools

2.17 Find the Fourier transform of a rectangular pulse of width T located at the origin.
2.18 Find the exponential Fourier Series of the sawtooth wave shown in Fig. 2.20.
ωt

ωt
2π 4π 6π

Fig. 2.20 q

2.19 Discuss about DFT and FFT.

2.20 Distinguish between stationary and non-stationary signal.
2.21 What do you mean by time-frequency domain.
2.22 What is the necessity of wavelet tranform.
2.23 Represent the wavelet transform in mathematical form. Define the terms.
2.24 Distinguish between differential and difference equations.
2.25 Write a few differential equations.
2.26 Write a few difference equations.
2.27 Discuss the application domain of Laplace Transform, from engineering point of view.
2.28 Find the Laplace Transform of the following.
(i) f ( t ) = t - 1 + t + 1 , t ³ 0
e at - cos 6 t
(ii)
t
2.29 Write the equation to Laplace Transform and define the terms.
2.30 Find out the Laplace Transform of the following functions.
· A constant
· Unit step function
· Exponential function
· Ramp function
2.31 Write the properties of Laplace Transform.
2.32 Determine the Laplace Transform of first, second and higher order derivatives of an arbitrary
function.
2.33 Determine the Laplace Transform of integral of a function.
2.34 Using the formula find out Laplace Transform of sinusoidal function.
2.35 Find the inverse Laplace Transform.
s2 - 4
(i) log
s2 + 4
s
(ii) cot -1
a
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Mechatronics: Principles, Concepts and Applications

2.36 Discuss the application domain of Z-Transform, from engineering point of view.
2.37 Write the equation to Z-Transform and define the terms.
2.38 Find out the Z-Transform of the following functions.
· Impulse function
· a k and e–at
· Unit step function
2.39 Write down the properties of Z-Transform.
2.40 Give comments on DFT and Z-Transform.
2.41 Find the inverse transform of
4 z 2 - 27
F(z ) =
( z - 1)( z - 2 ) 2
2.42 Write down the equations that govern power and energy of a signal respectively.
2.43 Define modulation and demodulation.
2.44 Write short notes on
· Amplitude modulation
· Angle modulation
· Analog modulation
· Digital modulation
· Pulse Amplitude Modulation
· Pulse Width Modulation
2.45 Enlist the transformations and their major application areas.
2.46 Abbreviate the following:
FT STFT WT FM AM PWM
DFT FFT IDFT IWT
2.47 Determine whether the following signals are periodic and hence determine the period of such
signal.
(i) x(n) = cos(n/8).cos(pn/8)
(ii) x(n) = 2exp[j(n/6–p)]
2.48 Determine the convolution of the following pairs of signals.
x1(n) = (0.25) u(n–1), x2(n) = [(1.5) u(n)
2.49 Compute the response of the system.
Y(n) = 0.7y(n–1) – 0.12 y(n–2) + x(n–1) + x (n–2) to the input x(n) = n.u(n).
Is the system stable?
2.50 Describe one algorithm for Fast Fourier Transformation along with the associated butterfly
diagram for computing a 8-point DFT. Compare the number of multiplications necessary in
FFT method with that in direct computations. Use above algorithm to compute the DFT of the
sequence {4, 0, 6, 2, 3, 1, 8, 2}.
2.51 Determine the impulse response. Show that this impulse response can be expressed as the
product of cos(n.p/4) and the impulse response of a low pass filter.
 3
Electrical Components and
Electronic Devices

· To review the electrical components and electronic devices.

· To define resistivity, conductivity, superconduction, inductance, capacitance, and impedence.
· To study semiconductor devices.
· To discuss the different types of application-specific diodes and explain their operation along
with V-I character.
· To discuss the various applications of diodes and transistors.
· To list the different types of transistor modes of configuration and explain them with their char-
acteristics.
· To explain about a transistor amplifier.
· To elaborate how JFET is different to BJT. List the advantages.
· To present discussion about MOSFET, VJT, SCR, and TRIAC with their symbol and character-
istic.
· Define an OP-AMP, its symbol and draw the circuit configuration in open-loop, and closed-loop
mode.
· Discuss the importance of Network cables for signal transmission and their standards.
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Mechatronics: Principles, Concepts and Applications

3.1 INTRODUCTION
In order to deal with the signal conditioning circuits to be presented in Chapter-6, it becomes
necessary to look at the basics of electrical components and electronic devices. At this point, it can be
said that the signal conditioning circuits are the electronic circuits that are usually interfaced at the
output of the transducers (Transducers are the devices that convert the equivalent electrical signal of
the physical parameters such as temperature, pressure, magnetic field, etc.) and even at the
intermittent stage where there is a need to condition the signal.
In the following section, the basics and theory of electrical components and electronic devices are
presented. The three basic electrical components are resistors, inductors and capacitors and
commonly used electronic devices are diodes, transistors, SCR, Triac etc. This Chapter depicts the
characteristics and principle of operations of these basic components and devices.

3.2 BASICS OF ELECTRICAL COMPONENTS

Electrical components are resistors, inductors and capacitors. A resistor dissipates energy, while an
inductor and capacitor store energy. These components are usually referred to as passive elements
because they do not actively control the parameters such as current or voltage in a circuit.

3.2.1 Resistor
For most materials, there is a relationship between the potential difference (voltage) applied across
two points of the material and the current generated. The relationship is linear in most of the materials.
The constant of proportionality between the potential difference and the resulted current is called the
resistance, which is defined through Ohm’s law:
V = RI (3.1)
where V is potential difference in volts, I is current in amperes, and R is resistance in volts per ampere
known as Ohm, or simply W. The material possessing resistance is called a resistor. The symbol of a
resistor is shown in Fig. 3.1.
R
X X

Fig. 3.1 Symbol of a resistor

Resistance is proportional to the length and inversely proportional to the cross-sectional area of the
material as shown in the Eq. 3.2. Mathematically,
l
R=r (3.2)
A
where, r is defined as resistivity, in Ohm-meter (W – m), which is simply the resistance per unit length
times cross-sectional area. A is the cross-sectional area of the material through which the current
flows, in meter squared (m2 ) and l is the length of the material, in meter (m). Normal conductors have
resistivities as low as 10 – 8 Ohm-m. Materials with resistivities higher than 108 Ohm-m are insulators.
These include glass, rubber, and many plastics. Exceptional insulating materials show resistivities as
 71
Electrical Components and Electronic Devices

high as 1016 Ohm-m. Typical resistivity of semiconductor materials is in the order 10 6 Ohm-m. The
inverse of the resistivity is called conductivity.
1
s= (3.3)
r
Where, s is the conductivity of the material. Conductors such as copper, aluminium, and gold have
low resistance to the flow of electric current, i.e., they have high conductivity. Insulators such as
mica and glass have high resistance to the flow of electric current i.e., they have poor conductivity.
And semiconductors such as Silicon, Germanium, and Gallium Arsenide have resistance in between
conductors and insulators, i.e., they have moderate conductivity.
Resistivity is a function of temperature. The relationship has been shown in the Eq.(3.4)
r( T ) = r(1 + aDT ) (3.4)
where, T is temperature, DT is the change in temperature, a temperature coefficient of resistance,
which is positive in case of metal and negative in case of semiconductor.
In a metal, at the atomic level, currents are pictured as the flow of the conduction band electrons.
Resistance then results from collisions of electrons with other free electrons as well as with immobile
atoms.
Superconductivity is defined as zero resistance of certain materials at a temperature at or below
absolute zero. Kamerlingh Onnes discovered the phenomenon in 1911, but a major breakthrough
occurred in 1986.
Resistances connected in series and parallel are given in Fig. 3.2 (a) and (b), respectively. The
equivalent resistances of series and parallel configurations can be calculated using Eqs. (3.5) and (3.6)
respectively.
R1 R3
X X

R4 R1 R2 R3 R4
R2

Y Y

(a) (b)

Fig. 3.2 Resistors in series and parallel

Req_series =R1 +R2 + R3 ................ Rn (3.5)

1 1 1 1 1
= + + ................... (3.6)
Req_ parallel R1 R2 R3 Rn
where Req_series and Req_ parallel are equivalent resistance in series and parallel connection of resistances,
when seen across X and Y.
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Mechatronics: Principles, Concepts and Applications

Example 3.1 Find the equivalent resistance across X and Y of the following connections.
Calculate the current, I through the resistor that connects the point B and C, when a potential
difference of 10 volts DC, is applied across X and Y, with X terminal positive. The value of R is
10 kW.
I
X A B C D
X
R R R

2R 2R 2R 2R 2R

Y
y1 y2 y3 y4 ys

Fig. 3.3 A typical example

Solution The above network is a useful network, usually called R-2R ladder network because of
the way they are connected. The R-2R network forms the basis for designing Analog-to-Digital
Converters (ADC). For more information see Chapter-6. Refer following figure, which has been
redrawn for understanding.

Fig. 3.4 Equivalent resistance calculation

Now, looking towards right across the point D and y5, the resistance is just 2R. Looking towards
right across the point C and y4, the equivalent resistance, Req_1 becomes,
1 1 1
= + Þ Req_1 = R
Req_1 2R 2R
Since the connection is parallel. This equivalent resistance, being value R, is now in series with the
resistance that has been connected from the point B and C, being value R, and gives rise to a value,
which becomes 2R.
Similarly, looking towards right across the point B and y3, the equivalent resistance, Req_2 becomes,
 73
Electrical Components and Electronic Devices

1 1 1
= + Þ Req_2 = R
Req_2 2R 2R
By similar approach, i.e., as you move towards left looking towards right, you find that the value of
equivalent resistance across X and Y becomes, R only.
Current, I: The applied voltage is 10 volts DC, with X positive. Since X is positive, the current
flows from B to C as shown. Moreover, since the equivalent resistance of the entire network is R,
the current into the network becomes,
V 10
I eq = = 4 = 10-3 Amp.
R 10
Note that Req_3, which is simply R, is in series with the resistor that has been connected from x and
A, and gives rise to a resistance of value 2R. Therefore, the equivalent current, Ieq gets divided into
two halves at the point x, a half would flow through xy1 and the rest half would flow through xA.
Similar situation would occur at the point A and B, i.e., the current would be divided into two
halves. Thus the current, I becomes,
10-3
I= = 1.25´10-2 Amp.
8
3.2.2 Inductors
Purpose-made conductor coils are called inductors. The symbol of an inductor is shown in Fig. 3.5.
When a good conductor with low resistance to current is purposefully turned into coils of different
types the characteristics of the original conductor changes in response to an alternating current (AC)
signal. Inductors are the basic building blocks of electrical actuators (e.g., motors), transformers,
tuned circuits, LVDT (Linear Variable Differential Transformer) transducers, oscillators, delay lines,
and so on.
L
X Y

Fig. 3.5 A symbol of an inductor

When current i flows through it, an electromagnetic field is established. The electromagnetic lines
of force surrounds the conductor. Since the conductor has been wound into many turns the magnetic
lines of force becomes concentrated. When the current changes, the electromagnetic field changes
accordingly and the changing electromagnetic field causes an induced voltage in a direction in opposite
to the flow of current. This property is referred to as inductance. Inductance is thus the property of
a coil of wire that opposes a change in current. The magnetic flux through the coil is proportional to
its own current. This makes it convenient to define the inductance to be
NF
L=k (3.7)
i
where, L is the inductance expressed in Henery, F is the flux (Weber) through one of the turns of the
coil and N is the number of turns of wire in the coil. k is a constant and its appearance is due to the fact
 74
Mechatronics: Principles, Concepts and Applications

that the inductance of a coil depends on its geometry and the material property. For instance, the
inductances of the coil shown in Fig. 3.6 is given by the following equation.
mN 2 A
Lcoil = (3.8)
l
where, m is the permeability of the material through which the magnetic flux passes, N is the number
of turns present in the coil and l is the length of the coil-turn as shown.

N turns

Fig. 3.6 A typical conductor coil turned to inductor

The equation governing the relationship between the rate of change of current and the induced
voltage is expressed as follows:
di
-v = L (3.9)
dt
where, v is the induced voltage in volts, i is current in amperes and L is inductance. The negative sign
in Eq. (3.9) indicates that the current and voltage are opposite to each other. Current lags behind the
voltage.
Inductors store energy, and the stored energy, x is given by the formula,
1
x = Li 2 (3.10)
2
The Q of an inductor is the measure of inductiveness of the coil. This parameter expresses the
quality or merit of the inductor. A higher value of Q is desirable. Although it is possible to achieve Q
on the order of 1,000 or so, in practice, an inductor has Q values that are less than 100 when used
within its operational frequency ranges. Like resistors, inductors connected in series add together
(Refer Eq. 3.5) and those connected in parallel use the similar formula as expressed for resistor in
Eq. 3.6.

3.2.3 Capacitors
A capacitor is another type of energy storage passive component and is one of the important circuit
element. The term capacity derives from the dictionary meaning in the sense that “what is the capacity
 75
Electrical Components and Electronic Devices

of the surfaces in holding the electrical charges.” The fundamental property of a capacitor is that it
stores charge and hence electric field energy. Capacitance C between two surfaces is the charge per
unit voltage.
q
C= (3.11)
v
Representing charge in terms of current, the relationship between voltage and current in a capacitor
can be expressed as derived below. From Eq. (3.11),
q
v=
C
dv 1 dq
Þ =
dt C dt
dq dv 1 1
Since, i = , we have, = i Þ dv = idt
dt dt C C
1
Therefore, v=
C z
idt + v( 0 ) (3.12)

The energy x stored in a capacitor is given by the formula,

1
Cv 2
x= (3.13)
2
As with resistors and inductors, the capacitance of a capacitor depends on its geometry (Refer Eq.
(3.2) and (3.8)). Also the capacitance depends on the dielectric materials present in between the
surfaces (Dielectric materials are usually put in between the surfaces so as to achieve desirable
capacitance value keeping in view of spaces and dimensions). The mathematical equation governing
the value of capacitance of a parallel plate capacitor is expressed as,
er e 0 A
C= (3.14)
d
Where A is area, d is distance, e r is relative permittivity of the dielectric material between the plates
and e 0 is the permittivity of the free space. The symbol of the capacitor is shown in Fig. 3.7.
Electrode-1
X

C
Surface-1
Dielectric material
Surface-2

Y
Electrode-2

Fig. 3.7 A capacitor

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Mechatronics: Principles, Concepts and Applications

The equivalent capacitance of a series combination is always less than any individual capacitance in
the combination and can be expressed using the following equation.
1 1 1 1 1
= + + ................... (3.15)
Ceq_ parallel C1 C2 C3 Cn
On the other hand, the parallel connection adds up all the individual capacitances:
Ceq_ parallel = C1 + C2 +.................... Cn (3.16)
A capacitor does not allow to pass DC current. Some capacitors (electrolytic) are asymmetric
components in the sense that they have polarity terminals and therefore must be connected in a
definite way. The capacitance in a circuit is typically measured in micro (10–6) or picco (10–9) Farad.

3.2.4 Reactance and Impedance

Capacitors and inductors, when connected to an AC voltage source, oppose the flow of electrical
current. The amount of opposition is measured in terms of reactance, which is a function of the value
of the component and the frequency of the AC signal. The name given to it is reactance because it is
the “reaction” of the component to the changing value of alternating current. The reactance is denoted
by X.
X = f (Inductance or Capacitance, Frequency)
Capacitor blocks direct current (DC) and has a tendency to block lower frequencies. The inductor,
on the other hand, blocks higher frequencies. An ideal inductor or capacitor has resistance zero.
Reactances are of two types: inductive reactance and the capacitive reactance. When AC current
passes through a component that contains reactance, energy is alternately stored and released in either
as a magnetic field or an electric field. The capacitance reactance stores and release electric field
where as inductive reactance stores and release magnetic field. The inductive reactance is denoted by
XL and the capacitive reactance is denoted by XC. The equation for calculating the amount of inductive
reactance is given by,
XL = 2p f L (3.17)
Where, XL is inductive reactance in Ohms, f is frequency in Hertz (Hz) and L is the Inductance in
Henry (H). The inductive reactance changes proportionally with the value of inductance and applied
frequency. Figure 3.8 (a) shows how inductive reactance varies with inductance and frequency.
The equation for calculating the capacitive reactance is given by,
1
XC = (3.18)
2p f C
where, XC is capacitive reactance in Ohms, f is the frequency in Hertz and C is capacitance in Farads.
The amount of capacitive reactance changes inversely with the value of capacitance and applied
frequency. Figure 3.6 (b) shows how capacitive reactance varies with capacitance and frequency.
 77
Electrical Components and Electronic Devices

Inductive reactance Inductive reactance

Inductance Frequency

(a)

Capacitive reactance Capacitive reactance

Capacitance Frequency

(b)

Fig. 3.8 (a) Inductive reactance versus inductance and frequency curve; (b) Capacitive
reactance versus capacitance and frequency curve

Reactance and resistance in combination are defined as impedance, Z, which is a complex number.
The impedance can be inductive and capacitive, given in the Eq. (3.19a) and Eq. (3.19b).
Z L = R + jX L (3.19a)
Z C = R - jX C (3.19b)
where, ZL is inductive impedance; ZC is capacitive impedance and R is the value of the resistance. As
can be seen that the inductive reactance is assigned positive imaginary number values, capacitive
reactance is assigned negative imaginary number values. Since reactance is a function of frequency,
so is the impedance. However, purely resistive impedance, i.e. when the impedance contains neither
inductive nor capacitive components, does not vary with frequency.
The operator +j and – j in the Eq. (3.19) bear significant meaning in Laplace domain. In Laplace
domain, +j signifies derivative action and – j signifies integral action. A derivative action and integral
action are the multiplication and division of ‘s’ in the Laplace domain, respectively. Eq. (3.19) can be
therefore, written as follows:
Z L = R + sL (3.20a)
1
ZC = R + (3.20b)
Cs
The usefulness of the above form of description of impedance is important in the field of circuit
analysis. Laplace domain is the preferred choice for problem solving.
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Equivalent impedance in series and parallel connections can be calculated by using the formula
shown in the Eqs (3.21) and (3.22).
Z eq_series = Z1 + Z2 +............. Zn (3.21)
1 1 1 1
= + +.......... (3.22)
Z eq_ parallel Z1 Z2 Zn

Example 3.2 In the following Fig 3.9, calculate the impedance of the following circuit across
XZ.
L1 R
C
X Y Z

L2
+
V
−
I

Fig. 3.9 A typical electrical circuit

Solution L1 and R are in series, and are added, giving rise to impedance (in ‘s’ domain)
Z1 = R + L1s
Now, Z1 is in parallel with L2. The impedance corresponding to second inductor, L2 is L2s. So the
impedance across XY becomes,
1 1 1 L2 s ( R + L1s )
= + Þ Z2 =
Z2 R + L1s L2 s R + L1s + L2 s
The impedance corresponding to the capacitor, C is 1/Cs. Now, Z2 and Z3 are in series. The
impedance across XZ becomes,
L2 s ( R + L1s ) 1 R + ( L1 + L2 )s + L2 Cs 2 ( R + L1s )
Z = Z2 + Z3 = + =
R + L1s + L2 s Cs Cs ( R + L1s + L2 s )

3.3 BASICS OF ELECTRONIC DEVICES

Commonly used electronic devices are diodes, transistors, SCR, Triac, OP-AMP, etc. Conventionally,
electronic devices are called solid-state devices in order to distinguish them from the electrical
components, although both the types (Electrical component and Electronic devices) have no moving
parts other than electrons. The electronic devices are made up of semiconductor materials such as
Silicon, Germanium, etc. They are also called active devices as they can control parameters such as
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Electrical Components and Electronic Devices

voltage and current in circuit. A circuit consists of electronic devices such as transistors, resistors,
capacitors, and diodes connected by conductors so that current can run through it in a complete loop.
Circuits can be simple or complex, depending upon the way the components and devices are
connected. The conductors connecting a switch to a light to the power source and back to the switch
is a simple circuit. The switch breaks the circuit and stops the current flow, when opened. Even a
semiconductor IC (chip) is simply an extremely complicated network of circuits. In fact, the circuits
have been designed to do one of three things:
· Stop the flow of electrons
· Start the flow of electrons
· Control the amount of flow of electrons

3.3.1 Semiconductor Materials

It is of paramount importance to know the basics of semiconductor materials before we start to
describe electronic devices. Semiconductor materials are a class of materials, whose electrical
properties such as conductivity lie in between the conductors and insulators. That is, their ability to
conduct electricity is intermediate. Semiconductor materials have negative coefficient of resistance,
which means that when temperature increases the resistivity decreases and hence the conductivity
increases. Some of the semiconductor materials used for the fabrication of the solid-state devices are
given below.
· Si – Silicon
· Ge – Germanium
· GaP – Gallium Phosphide
· GaAs – Gallium Arsenide
· InAs – Indium Arsenide
· GaSb – Gallium Antimonide
· InSb – Indium Antimonide
· InP – Indium Phosphide
The important property of the semiconductor material is that it exhibits relatively high resistance in
a pure state and much lower resistance when it contains small amounts of impurities. We classify the
semiconductor material into two groups based upon whether or not they contain impurity materials. A
pure semiconductor is called intrinsic semiconductor and an impure one is called extrinsic
semiconductor. The impurity material is deliberately added into the pure semiconductor in a
controllable manner. The process of adding impure material is called doping and the impure materials
involved in this process are called dopants.
Dopants are of two types, donors and acceptors. In the context of semiconductor technology,
while the donor materials must have five valence electrons (Pentavalent) an accepter atom must have
three valence electrons (Trivalent). Note that the number of valence electrons in a semiconductor
atom is four. When a donor atom having five valence electrons is added into the semiconductor
material, in effect an excess of one electron is produced. This is because of the eight electrons, four
electrons are from the outer orbit of the semiconductor atom and four are from the outer orbit of the
donor atom, which take part in bonding process. This excess electron does not have a chance to form
a bond, rather they are loosely-attached within the lattice structure of the semiconductor crystal. The
number of excess electrons thus produced, equals to the number of donor atoms added in to the pure
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Mechatronics: Principles, Concepts and Applications

semiconductor. Similarly, if an accepter atom having three valence electrons is added into the pure
semiconductor material, the result is that a shortage of electron is encountered as far as completion of
bond between the semiconductor atom and the acceptor atom is concerned. This shortage or absence
of electron is defined as a hole.
Doping is an important process, which determines the concentration of the excess electrons or
holes. Doping process provides interesting and useful properties as far as design, development and,
indeed, fabrication of electronic devices are concerned. If the donors are added, the intrinsic
semiconductor becomes n-type semiconductor and if the acceptors are added it becomes p-type
semiconductor. n-type semiconductor materials have loosely-attached free-electrons and p-type
semiconductor materials have loosely-attached free-holes. The electrons and holes, in the respective
extrinsic semiconductors, are called the charge carriers. When a potential difference is established
across the material, the loosely-attached excess electrons and the hole will flow to the appropriate
terminal. That is, in n-type the electrons will move from negative terminal to the positive terminal of
the applied voltage and in p-type the holes will flow from +ve terminal to the –ve terminal of the
applied voltage. In a semiconductor the current is contributed by both electrons and holes. In n-type
material electrons constitute majority charge carriers, while in p-type materials holes constitute
majority charge carriers. p stands for positive, signifying that a hole is a positive charge carrier, which
is simply opposite to that of electron. Figure. 3.10 depicts the flow of charge carriers and their
direction with respect to applied voltage.
At zero degree Celsius, if a potential difference across the two terminals of an intrinsic
semiconductor bar is established in the manner as shown in Fig. 3.10 (a), (i.e. A is connected to +ve
and B is connected to –ve terminal of the applied voltage), no current will flow. However, if
temperature increases, say up to the room temperature, some of the valence electrons in the valence
band may get sufficient thermal energy to come up to the conduction band, constituting a current that
flows through the bar. In practice, several electrons become available in the conduction band due to
the rise in temperature, which in turn allows more electrons to produce giving rise to more current to
flow when a potential difference is applied across it. This justifies that the semiconductor is having
the property of negative temperature of resistance. That is, as temperature increases the resistance
decreases. When an electron becomes available at the conduction band after leaving the valence band,
a hole is created in the valence band. When a potential difference is established across the material, the
current through a intrinsic semiconductor material is not only due to the electrons alone, rather the
current is due to both electrons and holes. Holes flow opposite to the direction of the flow of electrons
(Fig. 3.10 (a)).
When a potential difference is established across a p-type semiconductor (Fig. 3.10 (b)), the holes
are being attracted by the negative terminal of the voltage source. So it should have been expected that
the current is due to holes only. However, as before, at room temperature, some of the electrons are
generated because of the thermal effect. The electrons thus generated by this effect becomes minority
carriers, due to the fact that the holes have already been signifying majority carriers in a p-type
material. In deed, the number of majority carriers are much more than the minority carriers. These
minority carriers contribute a small current when a potential difference across the bar is applied. The
current contributed by the minority carrier is opposite to that of the current contributed by the majority
carriers (holes). Similarly, in an n-type material, the electrons become the majority carriers and the
holes generated by thermal energy constitute minority carriers.
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Electrical Components and Electronic Devices

In the extrinsic semiconductor, all dopant atoms display themselves as immobile ions.

Fig. 3.10 (a) A typical semiconductor bar; (b) p-type semiconductor; (c) n-type
semiconductor

3.3.2 Junction Diodes

Semiconductor diodes or junction diodes are two terminal electronic devices made up of two types of
semiconductor materials. One side of the device has n-type material and the other side has p-type. The
process of creation of junction from the two types of semiconductor materials is called junction
fabrication. As soon as the n-type and p-type materials are joined together, the majority carriers try to
diffuse to the other type because of their tendency to flow from a higher concentration to a lower
concentration. p-type material has low concentration as far as electrons are concerned, whereas
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Mechatronics: Principles, Concepts and Applications

n-type material has low concentration as far as holes are concerned. The hole-electron pairs currently
in the process of diffusion combine with each other and get lost leaving immobile ions (Dopants atom
within the semiconductor piece) alone. The immobile ions are now uncovered. The diffusion process
causes continuous increase of potential gradients across the junction due to the appearance of more
uncovered immobile ions. As a result p-side becomes negative and n-side becomes positive. The
gradient called the potential barrier, will continue to increase and after certain time it becomes
sufficient enough which makes it possible to repel the carriers. As a matter of fact further flow of
carriers can not be possible, and a layer called depletion layer is formed. A depletion layer is a layer in
which the charge carriers are absent as shown in Fig. 3.11(a). The symbol of a junction diode is
shown in Fig. 3.11(b).

Fig. 3.11 A p-n junction diode

If the p-side is connected to the positive terminal of a voltage source and the n-side to the other
terminal of a diode, the connection is called a forward-biased p-n junction, and if the connection is
reversed, then it is called a reverse-biased p-n junction. The forward-biased and reverse-biased
connections and their respective volt-ampere (V-I ) characteristics are shown in Figs. 3.11 (a)-(b)
and Fig. 3.11 (c)-(d) respectively. The point to be noted here is that in the forward-biased condition
(Refer to Fig. 3.11 (a)), there should not be any junction current (diode current) up to a voltage VT ,
called the threshold voltage, which is equal to the potential barrier that has been developed across the
 83
Electrical Components and Electronic Devices

junction at the time of fabrication. The current then increases reasonably sharply as voltage increases
beyond VT. Therefore, at least a potential difference of amount VT is required in order to activate the
junction in a forward direction. An ideal diode has VT = 0, zero forward resistance and infinite
resistance in reverse directions, respectively.
In the reverse-biased condition, on the other hand, the current is approximately zero since the
external voltage source further enhances the potential barrier across the junction which in turn does
not allow the majority carrier to flow. The small current I0 (Refer to Fig. 3.12 (d)), is only due to the
existence of minority carriers (i.e. due to electrons in p-side and holes in n-side). The presence of
minority carriers is due to thermal energy supplied by the environment. This current, I0, is called a
reverse saturation current.
Forward-biased p-n junction diode Reverse-biased p-n junction diode

+ - - +

Voltage source Voltage source

(a) (b)

Current in mA Current in mA

Vb I0

Voltage in volts

VT Voltage in volts

(c) (d)

Fig. 3.12 (a) Forward-biased connection; (b) Reverse-biased connection; (c) Junction
diode volt-ampere (V-I) characteristics in case of forward biased condition;
(d) Junction diode volt-ampere (V-I) characteristics in case of reverse biased
condition

The behaviour of a junction diode is such that it offers a low resistance to electric current in one
direction and a high resistance to it in the reverse direction. This property is a requirement in the
context of signal manipulation and processing. The current equation in the diode is given by the
following formula:
qV
F
I = I Ge kT -1
I (3.23)
0
H JK
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Mechatronics: Principles, Concepts and Applications

where, I is the diode current, q is charge of the charge carriers, k is a constant, V is the applied
voltage and T is temperature in degrees Kelvin.
Semiconductor diodes can be designed to have a variety of applications. The depletion layer of a
junction diode plays an important role as far as application domains of diodes are concerned. Desirable
depletion layers are fabricated, which basically depends on the following factors such as:
· The type of semiconductor materials (silicon, germanium, or others) used
· The amount of doping (doping is the process of adding impure material to the semiconductor.
This in turn determines the concentration of majority carriers hence the width of the depletion
layer)
· The relative volume of p- type and n-type material
Based on above factors the depletion layer and hence the characteristics of the diode (Shown in
Figs. 3.11 (c) and (d)) can be modified in order to obtain different types of application-specific
junction diodes. Some of the important application-specific diodes are Zener diodes, Varactor diodes,
Tunnel diodes, Gunn diodes, Light Emitting Diodes (LED) and Photodiodes.
Zener diode When the voltage applied in the reverse direction exceeds a certain value, the junction
of the semiconductor diode breaks down and it conducts heavily. This voltage is known as the
reverse breakdown voltage. When the reverse voltage at which breakdown occurs remains nearly
constant for a wide range of currents, the phenomenon is called avalanching. This property is
exploited in designing a special type of junction diode called a Zener diode. The output voltage of a
Zener diode is constant. The Zener diode can be used to stabilize the voltage in a circuit.
Varactor diode Another type of junction diode called a varactor that exploits the depletion layer
in terms of a parallel plate capacitor, whose capacitance is controlled by applying reverse voltage
across junction diode. In practice the reverse voltage controls the width of the layer which in turn
controls the value of capacitance because the capacitance across the junction is inversely proportional
to the width of the depletion layer (Fig. 3.13 (a)). The varactors are also called varicaps and are useful
for designing VCO (Voltage controlled Oscillator), FM (Frequency Modulator) modulators and
demodulators and also are used to design tuning circuits.
Tunnel diode In another kind, the tunnel diode, the current through the device decreases as the
voltage is increased within a certain range (Fig. 3.13 (b)). This property is known as negative
resistance and makes it useful as switch and oscillators. Gunn diodes are mostly used for high
frequency applications like microwave applications.
Photodiode Light-sensitive or photosensitive diodes can be used to measure intensity of radiation
and illumination (More details in Chapter 5).
LED A light-emitting diode (LED) produces light as a current passes through it. Some LED devices
act as the light source of lasers. They are commonly used as sensory and display devices (More
details in Chapter 5).
In general, junction diodes are referred to as rectifiers because when an alternating signal (voltage
or current) say a sinusoidal or rectangular signal is applied as shown in Fig. 3.14 (assuming ideal
diode) the output would be a signal containing only positive half-cycles.
 85
Electrical Components and Electronic Devices

Capacitance Current

Negative
coefficient of
resistance

Varacter Reverse voltage Tunnel Diode voltage

(a) (b)

Fig. 3.13 (a) Characteristics of Varactor diode; (b) That of Tunnel diode

+
+ Diode
Input Output
-

Common terminal
called GROUND
(Common to both input and output)
Amplitude
(a) Amplitude

Time
(b) (c) Time

Amplitude Amplitude

Time Time

(d) (e)

Fig. 3.14 (a) A rectifier circuit using diode; (b) A square wave signal; (c) Rectified output
corresponding to square wave signal (d) A sinusoidal signal (e) Rectified
output corresponding to sinusoidal signal
 86
Mechatronics: Principles, Concepts and Applications

3.3.3 Bipolar Transistors

The transistor is probably the most important invention of the 20th Century. It is a two-junction
semiconductor device capable of doing miraculous signal manipulation functions such as amplification
(a process of boosting of weak electrical signals to a stronger one), filtering (a process of elimination
of some specific frequency components), switching (a process of changing levels; ON to OFF or
vice versa), sensing, (a process of converting physical variables to electrical signal) and so on, when
external passive (resistor, inductor, capacitors) and active (diode, etc.) elements are interfaced with it
appropriately.
In their basic design, transistors have three sections called the emitter, the base, and the collector
as shown in Figs. 3.15 (a)-(b). The base section of the transistor is always different from the other
two. If the base is n-type then the emitter and collector sections have to be p-type. There are two
types of transistors, n-p-n and p-n-p (Fig. 3.15 (b)).
Emitter (E) Collector (C) Emitter (E) Collector (C)
P N P N P N

Base (B) Base (B)

(a) (b)
C C

B p-n-p (Symbol) B n-p-n (Symbol)

E E

(c) (d)
E C
n-p-n
C C
Input
B B
n-p-n Output n-p-n Output Input Output
B
Input
E E

Common-emitter configuration Common-collector configuration Common-base configuration

(e) (f) (g)

Fig. 3.15 (a) A p-n-p transistor (b) An n-p-n transistor (c) The symbol of a p-n-p
transistor (d) the symbol of n-p-n transistor (e) The common emitter
configuration of an n-p-n transistor (f) the common collector configuration of an
n-p-n transistor (g) The common base configuration of an n-p-n transistors
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Electrical Components and Electronic Devices

The geometry of a real transistor is very different from those shown in the Fig. 3.15. Essentially,
the base section is narrower or thinner as compared to emitter and collector. There are two junctions
called the emitter junction (JE) and the collector (JC) junction. Each junction can be treated individually
like a junction diode, but when operated in combination (as is obvious) they take on very different
characteristics. The three sections constitute the three terminals of the transistor. The intended design
of two junctions comes from the fact that the three terminals can be configured in three different
ways—what are being called the common-emitter configuration, the common-base configuration, and
the common-collector configuration. Two terminals out of three are used as input and two terminals
out of three are used as output. Since the transistor has only three terminals, one terminal must be
common to both input and output as shown in Fig. 3.14 (c). In most of the applications, the emitter
junction is made forward biased and the collector junction is made reverse biased.
The above transistors are called bipolar junction transistors (BJT) since two types of majority
carriers (electrons and holes) are involved as far as constitution of transistor current is concerned.
The transistor characteristics for the above three configurations can be studied by conducting
experiments.
First consider the common-emitter configuration with an n-p-n transistor. In order to operate JE
forward biased and JC reverse biased, the emitter terminal must be negative and the collector terminal
must be positive with respect to the base terminal. Once this condition is established, experiments in
terms of observing the output current, IC (collector current) with respect to the collector to emitter
voltage, VCE for a fixed value of emitter to base voltage, VEB (more accurately, for a fixed value of
base current, IB) can be performed. The curve thus obtained is called the output characteristics of a
transistor in common-emitter configuration mode. A set of curves can also be obtained (i.e., VCE
versus IC) for different values of IB. The output characteristics of a typical transistor have been
shown in Fig. 3.16 (a). The number of curves is exactly equal to the number of times the experiment
has been performed. Figure 3.16 (a) shows the output characteristics curves based on three
experiments (i.e., for three different values of IB). If the variation of input parameter (i.e., IB) is
extremely small and if the number of experiments conducted is large, the output characteristic curves
will be very close to each other as illustrated in Fig. 3.16 (b). Geometry of the shadow area differs
from transistor to transistor (marginally, since all are transistors anyway) and from configuration to
configuration (significantly).
The shadow portion of this figure actually provides much information about the characteristics of
the transistor. The whole quadrant can now be divided into three regions, which are called the active
region, the saturation region, and the cut-off region. Each point in the quadrant is called an operating
point or Q-point of the transistor (remember, we are only discussing common emitter configuration).
The characteristic plot of the transistor plays a very important role in the sense that looking at it the
designer has now enough clues to set up the base current, collector-emitter voltage, etc. in order to
meet his/her design requirements. For example, for simple amplification purposes the transistor must
be operated within its active region. A proper Q-point can be determined from the shadow portion so
that the transistor by no means should be driven to the cut-off or saturation region. If the transistor is
to be used as a switch, a suitable Q-point must be chosen from the saturation region.
 88
Mechatronics: Principles, Concepts and Applications

IC In mA IC In mA

IB3 in mA

ion
IB2 in mA

reg
tion
IB1 in mA
ACTIVE REGION

ura
Sat
IB3 > IB2 > IB1

Cut-Off region
VCE In volts VCE In volts

(a) (b)

Fig. 3.16 Transistor output characteristics

The determination of an appropriate desirable Q-point is known as transistor biasing. Biasing is

simply setting up a desirable Q-point by means of designing a circuit arround the transistor. This
means that the transistor has to be biased to operate at a desired operating point on its characteristic
plot.
How does a transistor perform amplification? Consider an n-p-n transistor where JE is forward
biased and JC is reverse biased. The forward-biased emitter junction causes electrons to be attracted
from the emitter area toward the base. Arriving in the base area, most of the electrons come under the
influence of the positive voltage of the collector and are attracted by it. In another way, when the
base-emitter bias voltage is about VT (This is the minimum voltage required to overcome the potential
barrier), majority carriers flow. Electrons flow from E to B and holes flow from B to E. After
crossing the emitter junction, the electrons immediately become minority carriers. The important
construction (fabrication) parameter of the transistor is that the base is made much thinner and lightly
doped as compared to the emitter, thus allowing almost 98 percent or more of the emitter current, IE
to pass through the collector junction and becomes collector current, IC. Since, the base is fairly
narrow and is lightly doped, most of the emitted electrons do not have enough time to recombine with
the holes in the base and are attracted by the positive potential on the collector to move across the
collector junction. The small amount of electron-hole recombination in the base makes it slightly
deficient in positive charges, which produces a current flowing into the base known as the base
current IB. That is the rest 2% or less of the emitter current constitute base current (Refer Fig. 3.17).
The value is much smaller than IC. Because the collector junction is reverse biased the junction
resistance of JC is very high, the 98% of the emitter current currently flowing toward the collector is
then multiplied with the junction resistance of high value, providing an amplified version of the input
voltage. So the output power is much more than the input power. The extra power is drawn from the
source or supply commonly called biasing voltage. If the emitter current is varied by some means
(usually by varying VBE) then the number of electrons arriving at the collector, and hence the collector
current, will vary accordingly.
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Electrical Components and Electronic Devices

From the above discussion it can be concluded that the collector current is the sum of the emitter
current and the base current. Mathematically it can be written as,
IC = I E + I B (3.24)

Fig. 3.17 Current in the transistor

In a particular transistor circuit, a small current that flows into the base controls a much larger
current that flow into the collector. In this respect two parameters have been defined: One is alpha, a,
called static forward-current transfer ratio, which is the ratio of collector current to emitter current,
and is always less than unity; Beta, b, called the direct current gain, is the ratio of collector current to
the base current and is a fairly high number, typically around 200. The relationship between a and b
is,

b= a (3.25)
1-a
The characteristic of a transistor is such that a small voltage change in the base-emitter junction
will produce large current change in the collector and emitter, whereas small changes in the collector-
emitter voltage have little effect on the base. A typical transistorized amplifying circuit is given in
Fig. 3.18.
Basically, in BJT the base current controls the collector current. For this reason the bipolar
transistors are called current-controlled devices. There are other types of transistors whose output
current can be controlled by input voltage and hence have the similar name of voltage-controlled
devices. A Junction Field Effect Transistor is a voltage-controlled device and it is unipolar since the
output current, called the drain current, is due to the flow of either electrons or holes.
 90
Mechatronics: Principles, Concepts and Applications

+ Vcc

RL
Cc
R1 C
Ri Cb B
n-p-n VCE

VBE E
R2 Output
Input
RE
CE

Common-emitter configuration Ground

Vcc - Biasing voltage (source) Ri - Resistance at input circuit

VCE - Collector to Emitter voltage R1, R2 - Biasing resistances

VBE - Base to Emitter voltage RL - Load resistance

Cb - Blocking capacitor (it block dc component) RE - Feedback resistance

Cc - Coupling capacitor (to next stage) CE - Feedback capacitor

Fig. 3.18 A transistor amplifier

3.3.4 Junction Field Effect Transistor

Junction Field Effect Transistor (JFET) or simply FET are of two types, p-channel FET and
n-channel FET. In each case, a semiconductor bar called channel of one type of semiconductor
material is located inside a bulk of material of the other kind. That is, a p-type is inside an n-type, or
vice versa. A pair of metallic contacts is placed at each end of the channel. If a voltage between these
terminals is applied, a current can flow along the channel from one end to the other. The terminal,
which produces charge carriers into the channel, is called the source. The terminal that attracts them
is called the drain. A contact is made at the other type of material. This contact terminal is called a
gate terminal. In an n-channel device, the current carriers free to move along the channel are electrons,
whereas in a p-channel device the carriers are holes.
Figure 3.19 shows an n-channel FET with DC bias voltages VDS and VGS, appropriately applied
across the terminals. Note the polarity of the connection. Much like a simple diode, the depletion
region grows as the reverse bias across the PN junction is increased, thereby reducing the cross
section of the conducting n-channel. Greater is the reverse voltage, narrower is the cross section, the
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Electrical Components and Electronic Devices

conduction path. Therefore, the reverse-biased gate voltage can control the flow of carriers through
the channel.
Bipolar junction transistors have low input impedance small high-frequency gain, and are to some
extend non-linear. However, high input impedance is desirable for low power consumption. FET
overcomes this problem.

ID Drain (D)
Depletion layer

Depletion layer
n-channel

VDS
Gate (G)
P-type

p-type

VGS

n-type

Source (S)
ID

Fig. 3.19 An n-channel JFET

One of the important parameters of FET is the transconductance, which is considered as the circuit
design parameter. The parameter determines the gain of the FET-based circuit. The notation of the
transconductance is gm and is defined as the ratio of drain current to gate-source voltage. It is similar
to b of a bipolar transistors.

3.3.5 A Metal Oxide Semiconductor Field Effect Transistor

A metal oxide semiconductor field effect transistor, which is abbreviated MOSFET, is similar to the
FET but has larger input impedance due to the existence of a thin layer of silicon dioxide in between
the gate and the semiconductor channel. The purpose of the layer is to insulate the gate from the
channel by forming a capacitive coupling between them. The MOSFET is widely used in Large Scale
Integrated (LSI) circuits as well as Very Large Scale Integrated (VLSI) circuits since its high input
impedance can result in very low power consumption per component. MOSFET comes in four basic
types: n-channel, p-channel, depletion and enhancement.
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Mechatronics: Principles, Concepts and Applications

3.3.6 Unijunction Transistor

Another typical construction of a transistor defines itself as a unijunction transistor (UJT), a transistor
with only one junction and three terminals. The characteristic is very different from the BJT and FET/
MOSFET. A useful circuit connection of a UJT is shown in Fig. 3.20 (a). Its equivalent circuit and
symbol can be seen in Fig. 3.20 (b) and (c), respectively. R1 is the resistance between the Base-1 and
the cross-section containing the point A. R2 is the resistance between the cross-section containing the
point A and the Base-2. The ratio R1/(R1 + R2) is called the intrinsic standoff ratio, “eta,” h.
Equivalent diode

Base-2 B2 Cathode Emitter current

Anode B2

+
Emitter + R1 B2
p A - E
VB2B1 E
+ A
VEB1
n
- Vp R2
B1 B1
Base-1 Vp

B1
Characteristics VEB1
Ground Equivalent circuit UJT Symbol

(a) (b) (c) (d)

Fig. 3.20 Unijunction transistor

The principle of operation of UJT is as follows. Temporarily, assume that VEB1 is zero (ground).
The point A is now positive with respect to Base-1 and hence with respect to the emitter. The p-n
junction of the equivalent diode will be in a state of reverse-biased condition since the n-type (cathode)
is positive with respect to the p-type (anode). Let the potential difference between point A and Base-
1 be VP. The diode will be in forward biased only if the emitter terminal (anode) voltage is slightly
greater than VP. If VEB1 is increased beyond VP the diode will conduct suddenly (Fig. 3.20 (d)). For
this reason VP is called the peak voltage, meaning the transistor conducts only when the emitter
terminal attends beyond the peak voltage. UJT exhibits a negative resistance characteristic as can be
seen from the V-I plot (Fig. 3.19 (d)). This switching feature can be exploited in designing oscillators,
which will be explained in Chapter 6.

3.3.7 SCR
SCR stands for Silicon Controlled Rectifier. SCRs are four-layered diodes (Fig. 2.21 (a)), and shows
negative resistance characteristics. It has three junctions and three terminals. The application of a
forward voltage VD is not enough for conduction since the junction J2 is reverse biased. A gate signal
can control the conduction of the rectifier.
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Electrical Components and Electronic Devices

In the forward direction with an open gate (no signal at the gate terminal), the SCR remains in the
OFF state until the forward breakover voltage VB is reached. At that voltage, the current suddenly
increases and the SCR then behaves just like a forward-biased simple diode. By applying a small
forward gate voltage the SCR can be switched from the OFF state to the ON state. Once the gate
voltage turns it on, it remains ON even if the gate signal is removed and as long as a minimum current,
called the holding current Ih, is fed. The limitation of the SCR is the rate of rise of voltage with
respect to time. SCRs are used in inverter circuits, choppers, power switching, and phase control
applications. The reverse characteristics are the same as that of a normal diode having a breakdown
voltage.

SCR current
Anode
Anode
Forward conduction
p
J1 Reverse breakdown Forward breakover
voltage voltage
n
+
J2 VD
Gate p
-

J3 Gate Gate voltage

+ n
VG
-
Cathode
Cathode

Ground SCR Symbol Characteristics

(a) (b) (c)

Fig. 3.21 (a) Silicon Controlled Rectifier (b) SCR Symbol (c) The V-I characteristics

3.3.8 Triac
In SCR, the flow of current is controlled in one direction, however, it is possible to control the flow
in the other direction simply by including another SCR. The construction is such that the gate terminal
is shared by both SCRs. The device thus constructed is called a triac, which consists of three
terminal semiconductor devices for controlling current in either direction.

3.3.9 Integrated Circuits

Electrical components and electronic devices are the basic building blocks of all electronic circuits.
The electronic circuits are usually classified as analog or digital type. An analog circuit is a circuit that
produces a time-continuous signal at the output whereas a digital circuit is a circuit in which the
signals are quantized into only two levels (For a detailed description, refer to Chapter 4 and
Chapter 6). Whether it is digital or analog, essentially the circuits are designed using discrete
components and devices. Circuit designs based on discrete components and devices, however, inherit
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Mechatronics: Principles, Concepts and Applications

many drawbacks such as large size, high power consumption, more time involvement, unreliability,
increased material consumption, susceptibility to factory floor interference such as noise, vibration,
dust, etc., and so on. As circuit designs get bigger, it becomes difficult to build and interconnect a
complete circuit.
Therefore, there is a trend to build integrated circuits. For example, a typical voltage amplifier may
requires five discrete transistors and more than twenty discrete registers. Since the transistors and
resistors have been designed from semiconductor materials, an equivalent amplifier circuit can also be
manufactured from a single piece of semiconductor material. The semiconductor devices thus
fabricated and interconnected in order to meet specified circuit design requirements are referred to as
Integrated Circuits (IC). Several types of integrated circuits, such as amplifiers, operational amplifiers
(OPAMP), analog-to-digital converters (ADC), digital-to-analog converters (DAC), and input/output
(I/O) ports, are available in the technology marketplace. Modern circuits are highly integrated in the
sense that hundreds of thousands, or even millions, of transistors are fabricated and interconnected
on a single piece of semiconductor material. These are called Very Large Scale Integrated (VLSI)
circuits. Advances in IC technology over the years have led to the development of sophisticated and
powerful microprocessors, microcontrollers, memory chips, and the like. ICs are also of two types,
namely, analog and digital.
In summary, in the real world of automation and control we seldom deal with discrete devices.
Instead we rely on the integrated circuit, containing many devices configured properly to produce a
desirable output.

3.3.10 Operational Amplifiers

Operational Amplifiers (OPAMP) are analog ICs and are basically amplifiers, but can be configured in
a variety of ways in order to design low- and high-pass filters, differential amplifiers, oscillators,
impedance matching circuits (unit follower), sample and hold (S/H) circuits, current limiters,
rectifiers, instrumentation amplifiers, comparators, zero crossing detectors, and so on. OPAMPs
have two input terminals: the inverting terminal and the noninverting terminal. The output is 180
degrees out of phase if the input signal is fed to the inverting terminal. The output is in phase with the
input if the input is fed to the noninverting terminal. The OPAMP is almost always connected to the
inverting input with a negative feedback loop. If two signals are input at the inverting and noninverting
terminal, then the output is the amplified version of the difference of the input signals. The OPAMP
design uses FET, for which the input impedance is very high, and as a result the power consumption
within the chip is very small. Besides high input impedance, almost all OPAMPs possess other essential
features such as low output impedance, large gain, large bandwidth, high slew rate (how quick the
output changes with respect to input), less loading problems, and smaller size. The symbol of an
OPAMP is shown in Fig. 3.22.
The gain of the OPAMP is defined as the ratio of output voltage to the input voltage. Two different
types of gains are encountered in the OPAMP: open-loop gain and closed loop gain. Open-loop gains
again are of two types, open-loop differential mode gain and open-loop common mode gain (See
Chapter 6).
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Electrical Components and Electronic Devices

Positive supply

Inverting terminal _
Output

+
Noninverting terminal

Negative supply

Input signal can either be connecter to inverting or noninverting terminal

Fig. 3.22 The symbol of an Operational Amplifier (OPAMP)

Typical open-loop and closed-loop OPAMP circuit configurations are shown in Figs. 3.23 (a) and
(b). R1 is called the input resistor and Rf (in closed-loop configurations) is called the feedback resistor.
A capacitor, inductor or diode can be connected in place of resistor. For example, when Rf is replaced
by a capacitor the circuit will be converted to a low-pass filter (details in Chapter 6). Similarly, when
it is replaced by a diode the amplifier behaves as a logarithm amplifier. That is, the output is
proportional to the logarithm of the input.

Fig. 3.23 Open-loop and closed-loop configuration of OP-AMP

3.3.11 Network Cables

The importance of wiring for signal transmission is very essential and should not be underestimated.
The medium through which a signal or information moves from one device to another plays an
important role while considering attenuation, impedance, bandwidth, speed, size and cost. The type of
connectors chosen for a network is related to the type of system at hand. For example, a normal
networking system (telephone, computer, industrial network) calls for an Unshielded Twisted Pair
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Mechatronics: Principles, Concepts and Applications

(UTP) cable, a Shielded Twisted Pair (STP) cable, a coaxial cable, a fiber optic cable, an RF, etc.
These cables have been designed taking into account all of the above features. Basic knowledge on the
characteristics of different types of cable is necessary.
The Electronic Industry Association and Telecommunication Industry Association (EIA/TIA) has
defined standards for wires and cables. UTP cable is susceptible to radio and electrical frequency
interference. An STP cable is suitable for use in environments in which interference and noise are
dominant. A coaxial cable has a single copper conductor at its center that is covered with a plastic
layer. A braided (grill-like) metal shield covers the plastic layer, which helps to block such outside
interference as from fluorescent lights, motors, and other igniting systems. Coaxial cables are highly
resistant to signal interference. Fiber optic cable constitutes a center glass core surrounded by several
layers of protective materials. It uses a light signal rather than electrical signals, eliminating the
problem of interference. Fiber optic cable has the ability to transmit signals over much longer distances
and has high bandwidth compared to coaxial and twisted pair types. These are very much immune to
moisture, temperature, and lightning. A network can also be formed using air as the medium. In this
case, an electromagnetic wave is used instead of an electrical signal.

· Electrical components are resistors, inductors and capacitors.

· For most materials, there is a relationship between the potential difference (voltage) applied
across two points of the material and the current generated.
· Resistance is proportional to the length and inversely proportional to the cross sectional area of
the material.
· Materials with resistivities higher than 108 Ohm-m are insulators.
· Semiconductor materials are a class of materials, whose electrical properties such as
conductivity lie in between the conductors and insulators.
· Resistivity is a function of temperature.
· The inverse of the resistivity is called conductivity.
· Superconductivity is defined as zero resistance of certain materials at a temperature at or below
absolute zero.
· Purpose-made conductor coils are called inductors.
· When the current changes in a coil, the electromagnetic field changes accordingly and the
changing electromagnetic field causes an induced voltage in a direction opposite to the flow of
current. This property is referred to as inductance.
· The Q of an inductor is the measure of inductiveness of the coil.
· Inductors and capacitors are energy storage passive components.
· Reactances are of two types: inductive reactance and the capacitive reactance.
· Reactance and resistance in combination are defined as impedance, Z, which is a complex
number.
· A pure semiconductor is called intrinsic semiconductor and an impure one is called extrinsic
semiconductor.
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Electrical Components and Electronic Devices

· The process of adding impure material is called doping and the impure materials involved in this
process are called dopants.
· The absence of electron is defined as a hole.
· Semiconductor is having the property of negative temperature of resistance.
· At least a potential difference of amount VT (called threshold voltage) is required in order to
activate the diode junction in a forward direction.
· The behavior of a junction diode is such that it offers a low resistance to electric current in one
direction and a high resistance to it in the reverse direction.
· When the reverse voltage at which breakdown occurs remains nearly constant for a wide range
of currents, the phenomenon is called avalanching.
· The reverse voltage controls the width of the depletion layer of the varactor diode. This in turn
controls the value of capacitance since the capacitance across the junction is inversely
proportional to the width of the depletion layer.
· Light-sensitive or photosensitive diodes can be used to measure intensity of radiation and
illumination.
· The intended design of two junctions in a transistor comes from the fact that the three terminals
can be configured in three different ways—which are called the common-emitter configuration,
the common-base configuration, and the common-collector configuration.
· The characteristic of a transistor is such that a small voltage change in the base-emitter junction
will produce large current change in the collector and emitter, whereas small changes in the
collector-emitter voltage have little effect on the base.
· The transconductance, gm is defined as the ratio of drain current to gate-source voltage of the
FET.
· A metal oxide semiconductor field effect transistor, which is abbreviated MOSFET, is similar to
the FET but has larger input impedance due to the existence of a thin layer of silicon dioxide in
between the gate and the semiconductor channel.
· The semiconductor devices fabricated in order to meet specified circuit design requirements
are referred to as Integrated Circuits (IC).
· Operational Amplifiers (OPAMP) are analog ICs and are basically amplifiers, but can be
configured in a variety of ways in order to design low- and high-pass filters, differential
amplifiers, oscillators, impedance matching circuits (unit follower), sample and hold (S/H)
circuits, current limiters, rectifiers, instrumentation amplifiers, comparators, zero crossing
detectors, and so on.
· The gain of the OPAMP is defined as the ratio of output voltage to the input voltage.

In this chapter, various electrical components were discussed, compared and contrasted in
terms of their symbol, characteristic and applications. Semiconductor materials were
discussed in Section 3.1. These materials were classified primarily into two groups: p-type and
n-type. Junction diode and characteristic were discussed in Section 3.2. Also, the diodes,
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Mechatronics: Principles, Concepts and Applications

which are application specific, were discussed in subsequent sections. Junction transistors
and their different modes of configuration were discussed with their characteristics. A typical
transistor amplifier was also illustrated. Also, IC technology for both analogy & digital were
discussed. In addition, network cables and their standards were discussed.

LOOKING AHEAD

In order to understand the digital circuits and sub-systems there was a requirement to study
the principle of operation of basic electrical components and electronic devices. This chapter
has been intended to solve the purpose. The groundwork presented in this chapter can
stimulate the student to understand the underlying operation of digital circuits and systems,
which are to be presented in the next chapter.

EXERCISES

3.1 Distinguish between conductors, semiconductors and insulators.

3.2 Define the following.
(i) Resistance
(ii) Resistivity
(iii) Conductance
(iv) Superconductivity
(v) Inductance
(vi) Permeability
(vii) Capacitance
(viii) Permittivity
(ix) Reactance
(x) Impedance
3.3 The value of resistance of each side of a triangular connection is 100 ohms. Calculate the
equivalent resistance across any two terminals.
3.4 Find the current in 1 ohm resistance for the network shown in Fig. 3.24.
1 ohm 2 ohm

2V

2 ohm
2 ohm

4V 4V

Fig. 3.24 q
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Electrical Components and Electronic Devices

3.5 A star load with Za =10 Ð 00 W, Zb = 10 Ð 450 W and Zc =10 Ð –300 W is connected to a three
phase, 3-wire 300V, XYZ system. Find (i) the voltage between the star point of the load the
supply neutral, (ii) the line currents and (iii) the total power and the reactive power.
3.6 Derive expression for growth of current in a R-L circuit when a DC voltage is applied to it.
3.7 In the following circuit (Fig. 3.25), find the frequency at which there will be resonance. If the
capacitor and inductor be interchanged, what would be value of the resonance frequency?

Fig. 3.25 q

3.8 A coil with a self inductance of 2.2 H and a resistance of 11 ohm is suddenly switched across
a 120 Volt DC. Determine the time constant of the coil to find the steady state value of current
and time taken for the current to reach 5 A.
3.9 A coil takes a current of 6A when connected to 24 V DC supply. To obtain the same current
with a 50 Hz AC supply, the voltage required was 30 V. Calculate the inductance of the coil and
the power factor of the coil.
3.10 Define impedance and power factor.
3.11 Name some semiconductor materials.
3.12 What do you mean by intrinsic semiconductor?
3.13 Define the following terminology.
· Intrinsic semiconductor
· Extrinsic semiconductor
· Doping
· Dopant
· Majority carrier
· Minority carrier
· N-type semiconductor
· P-type semiconductor
· Potential barrier
· Depletion layer
3.14 Explain the concept of hole. Why is the mobility of electron higher than a hole? What is intrinsic
conduction?
3.15 Distinguish between drift and diffusion. Explain the formation of depletion layer in a p-n
junction.
3.16 Explain how p-n junction behaves as a diode.
3.17 What do you mean by forward bias and reverse bias condition?
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Mechatronics: Principles, Concepts and Applications

3.18 Write down equation of the semiconductor diode. Define each term.
3.19 Draw and explain the characteristics of forward biased and reversed biased junction diode.
3.20 Explain various types of semiconductor diodes. Mention their application areas.
3.21 Explain the physical mechanism involved in the breakdown of reverse biased p-n junctions.
Sketch V-I characteristic of a zener diode and explain its operation as a voltage regulator.
3.22 What do you mean by avalanching?
3.23 What do you mean by static and dynamic resistances of a diode? Explain temperature effect
recovery time equivalent circuit of a diode.
3.24 Draw the circuit for a half wave rectifier with LC filter. Explain the role of LC filter.
3.25 Explain how amplification takes place in an amplifier circuit using BJT.
3.26 Discuss CE, CB and CC configurations.
3.27 Define alpha and beta of a transistor. Derive the relationship between alpha and beta.
3.28 Draw a typical circuit diagram of a transistorized amplifier.
3.29 Analyse different current components of different regions of a n-p-n transistor using suitable
diagram. Show the process of recombination of carriers in different regions.
3.30 Explain the DC biasing of a transistor. Discuss the stabilization.
3.31 What do you mean by small signal and large signal analysis of a transistor?
3.32 What is the approximation made in the small-signal mode of a BJT?
3.33 Draw a self-bias circuit using BJT.
3.34 How does a transistor behave as a switch?
3.35 Explain the principle of transistor biasing with emitter resistor.
3.36 Why is FET known as a unipolar device? How do you compare this with BJT as an amplifying
device? Discuss.
3.37 What is JFET? Draw common source drain characteristics of an n-channel JFET and explain
its different regions. Explain its shapes. Which reason is suitable for amplifier action and why?
Discuss.
3.38 Discuss different parameters of JFET.
3.39 Discuss DC bias using universal JFET bias curve.
3.40 What is CMOS? What are its special features? Where is it use? Discuss.
3.41 What are the advantages of CMOS over JFET?
3.42 What is MOSFET? Discuss relative merits and demerits of JFET as compared to MOSFET.
Discuss the differences between two types of MOSFETs.
3.43 Analyse the operation of an Enhancement MOSFET with the help of its characteristics.
3.44 Analyse the effect of feedback in series-series feedback amplifier.
3.45 Draw and explain the hybrid equivalent circuit for a BJT. Discuss the variations.
3.46 Draw and explain the principle of operation of an emitter follower circuit. List some
applications.
3.47 What is UJT?
3.48 Define the term intrinsic standoff ratio in case of a unijunction transistor circuit.
3.49 Explain the characteristics of UJT.
3.50 What is SCR? Draw its characteristics. Discuss the effect of gate current and anode voltage in
firing an SCR.
3.51 Explain turn-on and turn-off mechanism of SCR with necessary waveforms.
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Electrical Components and Electronic Devices

3.52 What is Triac?

3.53 Define the term Integrated Circuit (IC)
3.54 What do you mean by virtual ground of an OPAMP?
3.55 Explain the open-loop and closed-loop configuration of OPAMP.
3.56 Draw and explain the principle and operation of a unit follower using an OPAMP.
3.57 Write short notes on OPAMP as integrator and differentiator.
3.58 What is the condition of oscillation for a feedback amplifier?
3.59 Design a RC phase-shift oscillator at 10 kHz.
3.60 Define the term common mode rejection ratio.
3.61 Expand the following abbreviations.
SCR OPAMP VCO Varicap LED
BJT FET MOSFET UJT IC
DAC ADC S/H UTP STP
EIA/TIA
 4
Basics of Digital Technology

· To define digital technology.

· To list the important features of digital system.
· To know the digital number system (DNS).
· To convert one number system to another number system such as decimal number system to
binary and vice versa.
· To know the octal and hexadecimal number system and the conversion to binary form.
· To know the BCD number system and Gray code.
· To perform DNS arithmetic.
· To discuss the postulates of Boolean algebra and De Morgan’s theorems.
· To define logic gates and explain the various logic gates with truth table.
· To distinguish between combinational and sequential logic concepts.
· To define flip-flop.
· To explain the operations of flip-flop like SR flip-flop, J-K flip-flop, T flip-flop and P flip-flop.
· To define and discuss about the register.
· Explain the types of registers such as SISO, SIPO, PISO, and PIPO.
· To describe the various types of counter.
· To explain the operation of various types of counter.
· To explain the functions of multiplexer with a 4-1 multiplexer circuit.
· To explain the techniques used for Boolean expression.
· To realize the simplified Boolean expression.
· To know the different logic families such as TTL, DTL, ECL and CMOS.
· To explain the types of semiconductor memory
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Basics of Digital Technology

4.1 INTRODUCTION
Digital control has become the cornerstone of all industrial automation and control systems. The
information system and electronic aspects of mechatronic systems employ digital technology. Digital
technology, or simply digital system, is defined as a system that employs digital theory and technique
for the design of information systems and sophisticated electronic devices and components to be used
for digital control.
In digital technology the inputs and outputs are strictly digital in nature. Compared to analog, digital
technology is inherently versatile because it employs digital signals, which are more accurate, reliable
and error free compared to analog systems. Digital technology based control implementations are
configurable, interoperable, extendable and scalable. With the development and increased application
of digital technology over its analog counterpart, the basics of digital technology must be understood.
This chapter deals with the fundamental aspects of digital techniques, theory and systems,
beginning with the digital number system. The digital number system forms the basis for
understanding digital technology. Fundamentals of digital principles such as Boolean algebra and logic
functions such as AND, OR, and NOT functions have been described. Logic gates, universal logic
gates, flip-flops, registers, counters, and multiplexers, which are considered to be the building blocks
of digital technology are presented. The Karnaugh-map-based logic circuit minimization process and
the comparison of logic designs such as TTL and COMS logic are presented at the end.

4.2 DIGITAL NUMBER SYSTEM

For some time, we have dealt with magnitude or quantity in every aspect of our lives. In the context
of engineering and technology, quantity is a measure and represented by means of numerical
assignment using number systems. For example, the quantity voltage and current across and through
a conductor is represented using number systems. Human beings (natural world) use the decimal
number system, which accommodates ten digits (0, 1, …9). The quantity of any amount can be
represented by the use of these ten digits. On the other hand, in the artificial world (so called
“computing world”), the computing devices are exhausted with two digits, namely ‘0’ and ‘1,’ since
they are not so intelligent as human beings!
Accordingly, we have two types of number systems, a decimal number system, commonly used
by human beings, and a binary number system with only two digits, commonly used within the
computing world. However, other types of number systems such as octal number systems
(accommodates eight digits such as 0, 1, 2, 3, 4, 5, 6 and 7), hexadecimal number systems
(accommodates sixteen digits such as 0, 1, 2, 3, 4, 5, 6, 7, 8, 9, A, B, C, D and E) and BCD number
systems (Binary Coded Decimal) also exist.
It is important to note here that all number systems are digital in nature. But the meaning of digital
number system (DNS) in the context of engineering and technology implies a number system with
only two digits ‘0’ and ‘1’ is referred to as binary number system. DNS and binary number systems
will be used synonymously.
It follows that we must study the DNS in order to gather fundamental knowledge on how eventually
the circuits and systems for the computing world are designed. Since mechatronic systems and
components make use of the computing world intensively, the basics of DNS have to be first
understood.
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Mechatronics: Principles, Concepts and Applications

4.3 RANGE AND WEIGHT OF BINARY NUMBER SYSTEM

A binary number system, or DNS, as stated above, has two digits, ‘0’ and ‘1.’ These digits are also
called bits. A single-bit DNS is either a ‘0’ or a ‘1.’ Two-, three-, and four-bit DNS are represented in
any combination as given below.
Two bit DNS can take one of the four combinations,
00, 01, 10 or 11.
That is the number of combinations = 22 = 4.
Three bit DNS can take one of the eight combinations,
000, 001, 010, 011, 100, 101, 110 or 111.
That is the number of combinations = 23 = 8
Four bit DNS can take one of the sixteen combinations,
0000, 0001, 0010, 0011, 0100, 0101, 0110, 0111, 1000, 1001, 1010, 1011, 1100, 1101, 1110 or
1111.
That is the number of combinations = 24 = 16
Thus a maximum of 2 n combinations are possible, where n is the range determinant. In a DNS,
increasing the value of n can increase the range. In the present technological scenario, n can be up to
a value of 128. Thus the range of the digital number system is 2128 which is equivalent to a decimal
number that is big enough to accommodate the level of quantity a human being comes across or a
mechatronic system make them to use.
In DNS, a group of eight bits is more convenient to use, and by virtue of its frequent use it has been
accepted by many in terms of a special name called a byte. A byte thus comprises eight bits. The
number shown in the Fig. 4.1 is a binary number, which is one byte in length. The rightmost 1st bit,
i.e., B0 is known as the Least Significant Bit (LSB) and the leftmost 8th bit, i.e. B7 is called the Most
Significant Bit (MSB) of the byte.
B7 B6 B5 B4 B3 B2 B1 B0

1 0 1 0 1 0 1 1

MSB LSB

Fig. 4.1 A byte

If the value of the range determinant of the DNS is 128 then any number within the range will be 16
bytes in length.

4.4 BINARY WEIGHT

A decimal number has base 10 (ten), whereas a binary number has base 2 (two). Similar to the
decimal number system, each position of a binary number comprised of bit streams has a unique
weight. The weight of each position is calculated in terms of ‘power over two.’ For instance, the
weight of bit position 5, i.e. B4 is 24 = 16. Figure 4.2 illustrates decimal weight and binary weight.
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Fig. 4.2 (a) Weight of the digit position of the decimal numbers (b) Weight of the digit
position of the binary numbers

The weight value of fractional binary digits is given below.

Binary weight: 2–1 2–2 2–3 2–4
Weight value in decimal: 0.5 0.25 0.125 0.0625

4.5 CONVERSION
It is possible to convert decimal number to binary number and vice-versa. To get an equivalent binary
number of a decimal number, repeatedly divide the decimal number by 2. For each division, if the
remainder is 0, write down a 0. If the remainder is 1, write down a 1. Continue the process until the
quotient is 0. During the process of division, the remainders, which will represent the binary
equivalent of the decimal number, are written beginning at the least significant position (extreme right)
and each new digit is written to the more significant digit (towards the left) of the previous digit. Take
the example of 3,422 and verify. The converted number (Refer Table 4.1) is a 12 bit binary number,
which is (110100110110)2.

Table 4.1
Decimal to binary conversion
Divide by 2 Quotient Remainder Binary equivalent
¾¾¾¾¾¾¾®

3422 1711 0
1711 855 1
855 422 1 (110100110110)2
422 211 0
211 105 1
105 52 1
52 26 0
Contd.
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Divide by 2 Quotient Remainder Binary equivalent

¾¾¾¾¾®
26 13 0
13 6 1
6 3 0
3 1 1
1 0 1

To convert fractional decimal number to binary, multiply the number by 2. For each multiplication
with the fraction, if the carry is ‘0’ write down ‘0’ or if the carry is ‘1’ write down ‘1’. Take the
example of (0.48)10. The converted binary number is a 11bit binary number, which is
(0.011110101111)2. Refer Table 4.2.

Table 4.2
Fractional decimal to binary conversion
Multiply by 2 Fraction Carry Binary equivalent
0.48 0.96 0
¾¾¾¾¾¾¾¾¾¾¾¾¾®

0.96 1.92 1
0.92 1.84 1 (0.011110101111)2
0.84 1.68 1
0.68 1.36 1
0.36 0.72 0
0.72 1.44 1
0.44 0.88 0
0.88 1.76 1
0.76 1.52 1
0.52 1.04 1
0.04 0.08 0

To convert a binary number to its decimal equivalent, multiply each digit by its weighted position,
and add each of the weighted values together. For example, the decimal equivalent of binary number
1110 0011 is 227, as follows.
1´2 7 + 1´2 6 + 1´2 5 + 0 ´2 4 + 0 ´2 3 + 0 ´2 2 + 1´21 + 1´2 0
= 128 + 64 + 32 + 0 + 0 + 0 + 2 +1 = ( 227)10
The decimal equivalent of the fractional binary number is obtained by multiplying the respective
decimal weight with the fractional binary bits. The decimal equivalent of fractional binary number
0.1101 is,
1 ´ 0.5 + 1 ´ 0.25 + 0 ´ 0.125 + 1 ´ 0.0625 = (0.8125)10.
There is another method which may be used to determine the decimal equivalent of a binary
fraction, and it is given below.
· Ignore binary point and find a whole number decimal value of the binary fraction
· Divide this value by 2 n (n is the number of bits in the fraction)
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Take the above example. The binary fraction 0.1101 has four bits. Ignoring the decimal point you
would get 1101, its decimal equivalent is 13 and it is a 4-bit number. So 22 = 24 = 16. Now the decimal
fraction is 13/16 = (0.8125)10.
The decimal equivalent of mixed type binary number 110.01 is,
(1 ´ 22 + 1 ´ 21 + 0 ´ 20) × (0 ´ 0.5 + 1 ´ 0.25) = (4 + 2 + 0) × (0 + 0.25) = (6.25)10.

4.6 OCTAL AND HEXADECIMAL NUMBER SYSTEMS

The octal number system uses 8 as its base and accommodates digits 0, 1, 2, 3, 4, 5, 6 and 7. The
weight of each position is determined similar to decimal and binary number systems (Fig. 4.3).

4 2 6 7 1 0 0 3

87 86 85 84 83 82 81 80 Octal weight

Fig. 4.3 Weight of the bit positions of the octal number systems

In case of octal to binary conversion, for each digit in an octal number, find three bit binary
equivalents as illustrated in Fig. 4.4. The three bit binary equivalent of octal digits are shown in the
Table 4.3.

Table 4.3
3-bit binary equivalent of octal digits
Octal digits 3-bit binary equivalent
0 000
1 001
2 010
3 011
4 100
5 101
6 110
7 111

In the Fig. 4.4 the given octal number is (4267)8. Its binary equivalent is (100010110111)2, which
is a 12 bit binary number.
4 2 6 7 Octal number

100 010 110 111 = (100010110111)2

Fig. 4.4 Octal to binary conversion

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To convert binary to octal number, simply break the binary number into a group of three bits,
starting from the least significant bit. Then convert the 3-bit binary number to its octal equivalent.
Refer to Fig. 4.5.
(1110010001011101)2
Start making group from least significant bit

001 110 010 001 011 101

1 6 2 1 3 5 = (162135)8

Fig. 4.5 Binary to octal conversion

Another number system is hexadecimal number system that works exactly like the binary, octal
and decimal number systems, except that its base is sixteen. The hexadecimal number system derives
from its name, hex meaning “six” and decimal meaning “ten.” Decimal digits 0 through 9 and English
alphabets A through F are used to define the digits of the hexadecimal number.
The hexadecimal number system is derived from four-bit binary numbers. This number system
can be used to represent the same values as the decimal and binary number systems. Just like the
decimal number system represents a power of 10, each hexadecimal number represents a power of 16
as shown in the Fig. 4.6.

A 1 4 9 0 F 6 2 Hexadecimal number

167 166 165 164 163 162 161 160 Hexadecimal weight

Fig. 4.6 Weight of the positions of the digits in the hexadecimal number systems
The conversion from hexadecimal to binary and binary to hexadecimal proceeds exactly like the
octal conversion, except that a group of four bits is made (Fig. 4.7). That is, for each digit in the
hexadecimal number, find a four-bit binary equivalent. The 4-bit binary equivalent of hexadecimal
digits are shown in the Table 4.4.
Table 4.4
4-bit binary equivalent of hexadecimal digits
Hexadecimal digits 4-bit binary equivalent
0 0000
1 0001
2 0010
3 0011
Contd.
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Hexadecimal digits 4-bit binary equivalent

4 0100
5 0101
6 0110
7 0111
8 1000
9 1001
A 1010
B 1011
C 1100
D 1101
E 1110
F 1111

Similarly, to convert binary to hexadecimal, break the binary number into a group of four bits,
starting from the least significant bit. Convert the 4-bit binary number to its hexadecimal equivalent.
Refer to Fig. 4.7 (b).

Fig. 4.7 (a) Binary to hexadecimal conversion (b) Hexadecimal to binary conversion

Generally, the hexadecimal numbers are used to represent the OPCODE (See Chapter 9), address
of the memory, input/output port of the computer, data acquisition boards, etc.

4.7 BCD NUMBER SYSTEMS

You are now familiar with decimal, binary, octal, and hexadecimal number systems. By this time you
also know the techniques of how to convert from one number system to another. The binary
equivalent of the decimal system has two forms: whole conversion and BCD (Binary Coded Decimal)
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conversion. The conversion technique encountered in the previous section is known as whole
conversion, which is based on division by two (Table 4.1). That means the decimal number has been
treated as a whole. The other form of binary equivalent of decimal is called BCD and is based on
individual digits of the decimal number. The BCD number system has ten combinations of nibble (a
group of 4 bit is called a nibble) corresponding to each decimal number. Table 4.5 illustrates the BCD
groups corresponding to each decimal digit. It becomes evident that BCD is merely a method of using
binary digits to represent the decimal digits 0 through 9.
Table 4.5
BCD equivalent of decimal digits
Decimal digits BCD code
0 0000
1 0001
2 0010
3 0011
4 0100
5 0101
6 0110
7 0111
8 1000
9 1001

Note that the combinations such as 1010, 1011, 1100, 1101, 1110, and 1111 do not exist in BCD
number systems. The conversion of decimal to BCD or BCD to decimal is similar to the conversion of
hexadecimal to binary and vice versa. To convert from BCD to decimal, just reverse the process.
Refer to Fig. 4.8.

Fig. 4.8 (a) Decimal to BCD conversion (b) BCD to decimal conversion
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It is important to understand that BCD and binary are not the same. This can be illustrated by taking
an example. The binary equivalent of decimal number (33)10 is (100001)2, whereas its BCD equivalent
is (110011)BCD.

4.8 GRAY CODE

Gray code is based on binary digits. The code is very important and used in designing the pattern of
the disk of the optical encoder (refer to Chapter 5). The uniqueness of the code is that the Gray code
of adjacent integers differs by only one bit. Refer to Table 4.6, which shows decimal digits and their
equivalent binary code and Gray code.
Compare the binary code and gray code (Temporarily do not consider how the Gray codes are
generated). In case of Gray code the adjacent integers differ by only one bit, unlike with binary code.
Take decimal numbers 7 and 8. The binary equivalents are 0111 and 1000, respectively. The
corresponding Gray code equivalents are 1100 and 1101. In the binary case, as we move from 0111
to 1000 (7 to 8), you will observe that all bit positions change. That is, the three least significant bits
(in 0111), which are ‘1’s changed to three ‘0’s, and one most significant bit (also in 0111), which is
‘0’ changed to a ‘1.’ So what is important to note is that the adjacent integers do not differ by only
one bit. Take as another example binary number 0001 and 0010. Here these two adjacent numbers
differ by two bits; the first bit and the second bit. Other bits are same (‘0’). Although some adjacent
numbers in the binary number system differs by only one bit (e.g. 0000 and 0001), not all do.
However, in the case of Gray code the adjacent integers differ by only one bit. This is the beauty of
the Gray code, in the sense that the Gray code is more reliable in view of both implementation and
error detection and correction.

Table 4.6
Some Decimal, Binary and Gray code comparison
Decimal digits Binary code Gray code
0 0000 0000
1 0001 0001
2 0010 0011
3 0011 0010
4 0100 0110
5 0101 0111
6 0110 0101
7 0111 0100
8 1000 1100
9 1001 1101
10 1010 1111
11 1011 1110
12 1100 1010
13 1101 1011
14 1110 1001
15 1111 1000
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How the Gray code is considered reliable compared to binary code can be explained some at this
point. Electronic systems are vulnerable to noise and error. In a data transmission system, the
probability of occurrence of error is proportional to the number of transitions occurred between the
intersymbols. Since the number of transitions that has happened between two adjacent numbers in
Gray code is one the probability of occurrence of error is less, compared to binary code.
As a typical example, consider a position detection system. For the measurement of positions, the
system uses two code patterns based on binary code and Gray code, respectively. (This example is
only for the purposes of illustration, since it is not really desirable to use two code patterns for the
measurement of the same position.) That means positions p-0 through p-9 as shown in Fig. 4.9 have
been coded in terms of binary and Gray codes. There are two sensing elements (one for producing
binary code, another for producing Gray code) that have been interfaced in the system to produce
respective codes corresponding to every position. For each position the two sensing elements (each
sensing element provides a signal as per code) provide respective electrical signals as per code pattern.
For example, for position p-7 the binary sensor produces three consecutive pulses and one non-pulse,
whereas the Gray code sensor produces two non-pulses followed by one pulse and one non-pulse (a
pulse of amplitude five volts for ‘1’ and a non-pulse of amplitude zero volts for ‘0’). A change in
adjacent location only affects one bit for a Gray code pattern, whereas using a binary code pattern up
to four bits could change, giving rise to wildly incorrect readings.

Fig. 4.9 Reliability test for Binary code and gray code

Table 4.7
Binary pattern and gray code
Position Binary pattern Gray code pattern
p-0 0000 0000
p-1 0001 0001
p-2 0010 0011
p-3 0011 0010
p-4 0100 0110
p-5 0101 0111
Contd.
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Position Binary pattern Gray code pattern

p-6 0110 0101
p-7 0111 0100
p-8 1000 1100
p-9 1001 1101

The meaning of “widely incorrect reading,” must be understood. Incorrect readings are those you
might get instead of correct readings. If you analyze the range of incorrect readings while going from
p-7 to p-8, you would find that
· In the case of binary code, the range is 0000, 0001, 0010, 0011, 01000, 0101, 0110, 0111,
1001, 1010, 1011, 1100, 1101 and 1111. 1000 should not appear since it has to be the correct
reading.
· Whereas in the case of Gray code the range is 0100, 0101, 0110, 0111, 1101, 1110 and 1111.
Note that the third significant bit would not be counted while determining the range. 1100
should not appear since it has to be the correct reading.
Since the number of incorrect readings in case of binary code is more, the reliability is less.

4.9 DNS ARITHMETIC

The basic mathematical operations carried out in the digital number system are addition, subtraction,
multiplication, and division. Fundamental techniques are used in order to perform these arithmetic
operations. The following section illustrates rules, methods and techniques to carry out DNS
arithmetic.

4.9.1 Binary Addition

The following fundamental rules are employed in adding binary numbers. (Also refer Fig. 4.10)
0+0 =0 (carry nil)
0+1 =1 (carry nil)
1+0 =1 (carry nil)
1 + 1 = 10 (carry 1)
1 + 1 + 1 = 11 (carry 1)

Rule-1 Rule-2 Rule-3 Rule-4 Rule-5

1
0 0 1 1 +1
+0 +1 +0 +1 +1

0 1 1 1 0 1 1

Carry nil Carry nil Carry nil Carry ‘1’ Carry ‘1’

Fig. 4.10 Rules for binary addition

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Following example shows an addition operation.

1100 1101 (abcd efgh)
+ 1001 0111 (jklm nopq)
1 0110 0100
­
Carry

4.9.2 Binary Subtraction

Subtractions are carried out using 1’s complement method or 2’s complement method as follows.
The procedure or algorithm for 1’s complement method is as follows:
· Get 1’s complement of the binary number to be subtracted. The 1’s complement of the binary
numbers 1010 and 1100, for example, are 0101 and 0011, respectively, i.e. to calculate the 1’s
complement of a number invert the binary number by changing all of the ‘1’s to ‘0’s and all of
the ‘0’s to ‘1’s.
· Add the two numbers
· If there is 1 carry add the carry bit to the sum and this is the result. Carry implies that it is a
positive number
· If there is no carry get 1’s complement of the sum, and make the sum a negative number.
As an example, subtract 0010 from 1100 and then subtract 1100 from 0010.
1’s complement of 0010 is 1101.
Adding 1101 with 1100 gives 1 1001.
Here is a carry. Add the carry with 1001. The result is 1010 and it is a positive number since there
was a carry.
In a second attempt, we will subtract 1100 from 0010. 1’s complement of 1100 is 0011. Adding
0011 with 0010 gives 0101. There is no carry. So get the 1’s complement of this sum 0101. Which is
1010. Since there is no carry the result is a negative number.
The procedure or algorithm for 2’s complement method is as follows:
· Get 2’s complement of the binary number to be subtracted. The 2’s complement of a binary
number is found by simply adding ‘1’ to the 1’s complement of the binary number. The 2’s
complement of 1010 and 1100, for example, are 0101 + 1 = 0110 and 0011 + 1 = 0110,
respectively.
· Add the two numbers
· If there is carry disregard this carry bit. Carry implies that it is a positive number
· If there is no carry, get 2’s complement and assign the sum a negative sign.
So, the subtraction is actually carried out through an addition process. In practice, addition and
subtraction can be performed by the use of electronic circuits known as adder and subtractor. But, by
implementing 1’s and 2’s complement methods, we only need one type of circuit, i.e. the adder circuit
to perform both the operations.

4.9.3 Binary Multiplication

The following rules are used for binary multiplication.
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1.0 = 0
0.1 = 0
1.1 = 1
Multiplication in the binary system works the same way as in the decimal system. There are many
methods to multiply binary numbers. The easiest is
· Ignore the sign bit and find the magnitude of the two multiplicands
· Multiply them together using the rule mentioned above
· Use the original sign bits to determine the sign of the result. (If the sign of the multiplicands are
the same, the result must be positive; if different, the result is negative. A result of zero presents
a special case.)

Example 4.1
101
* 11
____
101
1010
_____
1111

4.9.4 Signed Binary Numbers

DNS uses one of the bit positions to represent the sign of the number. Usually the most significant bit
position of the number is used. A ‘0’ corresponds to a positive and a ‘1’ corresponds to a negative
number. For example, in a sixteen-bit binary number, 1001 1010 1100 0101, the 16th bit position,
which is a ‘1,’ implies that this number is a negative number. In another example, the decimal
equivalent of a binary number 000 1101 is 14 and that of 100 1101 is –14. Binary numbers inheriting
this property are called signed binary numbers and are essentially a prime requirement in the view of
the computing world.

4.10 BOOLEAN ALGEBRA

The computing world has a set of predefined logic relationships among individual components and
units. George Boole established Boolean algebra as a theoretical study. The theory has become the
basis for designing digital circuits to manipulate binary numbers. Any logic circuit, no matter how
complex, can be completely described using Boolean algebra. DeMorgan invented two theorems,
known as DeMorgan’s Theorems, which also help transforming logic in realizing a practical logic
circuit. Boolean algebra and DeMorgan theorem form a formal expression of events, which allows us
to describe the behaviour of the inputs and outputs of any logical system. Boolean algebra and
DeMorgan theorems are stated in the Table 4.8.
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Table 4.8
Boolean Algebra and DeMorgan Theorems
Boolean Algebra
Law Expression
(a) A+B = B+ A
Commutative law
( b) A· B = B· A
(a) ( A + B) + C = A + ( B + C )
Associative law
( b) ( A · B) · C = A · ( B · C )
(a) A · (B + C) = A · B + A · C
Distributive law
( b) A + ( B · C ) = ( A + B) · ( A + C )
(a) A+ A = A
Identity law
( b) A· A = A
(a) (A) = A
Negation law
( b) A=A
(a) A+ A· B = A
Redundancy law
( b) A · ( A + B) = A

(a) 0+A = A
( b) 1· A = A
(c ) 1+ A =1
(d ) 0·A =0
Derived laws
(e) A + A =1
(f) A·A=0
(g) A+ A ·B = A+ B
(g) A · ( A + B) = A · B

DeMorgan’s Theorems

(a) ( A + B) = A · B
( b) ( A · B) = A + B
A, B, C are called variables and “0” and “1” are Boolean values (false or true)

4.11 LOGIC STATES

All operations within the computing world are ultimately represented as whether they exist or don’t,
present or absent, true or false, on or off and so on. This basic form of representation of operation is
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called logic states and it has only two states. Theoretically and numerically these two logic states are
expressed as ‘1’ or ‘0’ and electrically they are realized as V and V or vice versa, where V and V
essentially are two distinct voltage levels. If V represents ‘1,’ then V has to represent ‘0’ or vice
versa. As far as voltage levels are concerned, many combinations are possible as shown in Table 4.9
and Fig 4.11

Table 4.9
Electrical voltage levels for the realization of logic states
V V
+5 volts 0 volt
0 volt -5 volts
+5 volts -5 volts
0 volt +5 volts
–5 volts 0 volt
–5 volts +5 volts

Fig. 4.11 Possible voltage levels representing binary logic states

The above combination is treated as a kind of logic assignment, which are basically of two types,
namely positive logic assignment and negative logic assignment.
Positive logic: Higher voltage represents ‘1’ and the lower voltage represents ‘0’
Negative logic: Lower voltage represents ‘1’ and the higher voltage represents ‘0’
The physical circuit implements either positive or negative logic in order to interpret the inputs and
output. Bear in mind that digital systems work on Boolean values (binary digits), that relates to an
electrical flow of V and V . Digital electronic circuits are designed to manipulate these positive and
negative pulses into meaningful logic. Moreover, using these values data can also be represented. One
important reason for constituting logical operations on the binary number system is that it becomes
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rather easy to design straightforward, secure, and stable electronic circuits that can switch back and
forth between two absolutely defined states, with no uncertainty attached.

4.12 LOGIC FUNCTIONS

We usually interpret the logic states to represent the binary digit ‘1’ as the Boolean value “true” and
the binary digit ‘0’ as the Boolean value “false.” The two-valued number system forms the basis for
the design of not only the most powerful and sophisticated computers but also forms the basis of
realizing many digital circuits. The basis of logic circuits are logic functions. Basic logic functions are
OR, AND and NOT. These three fundamental logic functions are in fact realized by means of solid
state electronics, which in turn are defined as Logic Gates, or simply gates. In view of that there are
three logic gates such as OR gate, AND gate and NOT gate. Logic gates, circulating the fundamental
principle of logic functions, constitute the functional building blocks in designing the digital circuits
or digital system. Complicated digital circuits such as memory chips, microprocessors,
microcontrollers, multiplexures, and the like make use of these fundamental and functional building
blocks.

4.13 MORE ABOUT LOGIC GATES

As stated above, there are basically three types of logic functions such as AND, OR, and NOT;
however, NOR and NAND, derived from the basic functions, draw attention. In the sequel, this
section describes the basics of logic functions and corresponding logic gates, which are usually
fabricated using semiconductor materials. With these basic gates, one can build combinations that will
implement any digital circuit of importance.
In working with binary logic relations we need a set of rules for symbolic manipulation. For
example, AND function takes a multiplication symbol, OR takes an addition symbol, and NOT takes a
‘bar’ symbol indicated on the top of the state.
Analogous to other mathematical functions, all the basic logic functions provide outputs based on
the input parameter. It should be noted that all the basic functions have a single output (gate), but,
excepting NOT function, AND and OR functions can have two or more inputs. The NOT function
has only one input and one output. For unique combinations of the input the function provides unique
output. This mapping of inputs and output based upon the action of the function is defined as the truth
table. A truth table provides clear information about the function. In another way, a truth table is a
logical look-up table and provides information about the logic function or circuit (Since a circuit is
realized using logic gates which has been realized utilizing logic functions). The truth table consists of
two parts, the input part and output part. The input part comprises all combinations of input values in
a circuit, whereas the output part contains the values of the logic behaviour for each combination.
Thus, a truth table is nothing but another way of representing a function. Figure 4.12 (a-c) illustrates
the truth table of all the basic functions mentioned above. Note that A, B, and C denote inputs and Y
denotes output. Figure 4.12 (d-e) illustrates the corresponding symbol of logic gates, designed from
semiconductor materials.
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Fig. 4.12 (a) Symbol of the AND gate (b) Symbol of the OR gate (c) Symbol of the NOT
gate (d) Truth table of the AND gate (e) Truth table of the OR gate (f) Truth
table of the NOT gate

The AND function and hence the AND gate operates on the statement, “If all the inputs are ‘1’ the
output is ‘1’ else the output is ‘0’.” The AND gate shown in the Fig. 4.12 (a) is a three input AND
gate. Notice the last row of the truth table of the AND gate. If all input terminals (i.e., A, B, and C) of
the AND gate are ‘1’ the output is ‘1.’ For all other unique combinations of the input, the
corresponding unique outputs are ‘0’. Note that there would be total of 2 n combinations of input in
case of n input AND function.
With regard to the OR function and hence the OR gate the statement, “If any of the input is ‘1’ then
the output is ‘1’,” note the first row of the truth table of the OR gate.
The statement, “The output is the negation of the input” refers to NOT gate.
Logic functions and hence logic gates are conformant to Boolean algebra. For instance, an AND
gate conformant Boolean expression is,
Y = A×B
The above Boolean expression is read as “Y is produced as a result of A AND B or simply A AND
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B is Y”.
The variables A, B and Y are two level variables since they only take logic values such as a ‘1’ or
‘0’. Therefore, the left hand side of the above expression can have four following combinations such
as
‘0’ AND ‘0’
‘0’ AND ‘1’
‘1’ AND ‘0’
‘1’ AND ‘1’
The first two combinations can be written as,
‘0’ AND B and the last two combinations can be written as ‘1’ AND B
‘0’ AND B produces a ‘0’ where as ‘1’ AND B produces B. That is if B is ‘0’, ‘1’ AND ‘0’
produces ‘0’ and if ‘B’ is ‘1’, ‘1’ AND ‘1’ produces ‘1’. (Refer Table 4.8). Out of four combinations
only last combination produces a ‘1’.
The Boolean expression of OR gate is expressed as,
Y=A+B
Which is read as, “Y is produced as a result of A OR B or simply A OR B is Y”,
Similarly Boolean expression of NOT gate is expressed as,
Y= A
Read as, “Y is produced as a result of COMPLEMENTING A or simply NOT A is Y”.
A four input AND gate is implied by four input variables (Could be A, B, C and D) and one output
variable (Could be Y). The Boolean expression of this gate is,
Y = A.B.C.D
The four input variables can have sixteen combinations (x n = number of combinations, where x is
number of variables state, which is 2 (a ‘0’ or a ‘1’), and n is number of variables, which is 4;
24 = 16). Using the variables, A, B, C, D, and Y, the truth table of this gate is shown in the Fig. 4.13.
Comparing the truth table of AND gate, it is observed that the output is conformant to Boolean
algebra. Boolean algebra and logic gates are strictly related.
The simplest gate is an inverter or NOT gate. It takes a bit or state as input and produces its
opposite as output. If the input is ‘0,’ the output is ‘1’. If the input is ‘1’ then the output is ‘0.’ NOT
gates can be realized using a transistor. Refer to Fig. 4.14. If the base voltage is zero (0 state) no
collector current will flow. So no current will be there in the resistor R. The supply voltage Vcc will
appear at the collector terminal C. The supply voltage usually is kept at 5 volts, which is considered as
a ‘1’ or ‘high.’ Now, if the input base voltage is made high (say ‘1’) then the base emitter junction will
be forward biased. Current will pass through the emitter junction and consequently through the
collector junction, providing collector current Ic as indicated. Because of the flow of the collector
current there will be a voltage drop across the resistor R. Assuming, VCE (Vcc – IC R = VCE) is close to
zero, it can be noted that the voltage drop across R is nearly Vcc. Hence the voltage remains at C is zero
(also logic ‘0’). In summary, when input is ‘1’ the output is ‘0’ and when the input is ‘0’ the output
is ‘1.’ This entails a NOT function or NOT gate.
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A .B .C .D = Y 0000 = 0
A .B .C .D = Y 0001 = 0
A .B .C .D = Y 0010 = 0
A .B .C .D = Y 0011 = 0
A .B .C .D = Y 1000 = 0
A .B .C .D = Y 1010 = 0
A
B A .B .C .D = Y 1100 = 0
A.B.C.D = Y
C A .B .C .D = Y 1110 = 0
D
A.B .C .D = Y 1000 = 0
A.B .C .D = Y 1001 = 0
A.B .C .D = Y 1010 = 0
A.B .C .D = Y 1011 = 0
A.B .C .D = Y 1100 = 0
A.B .C .D = Y 1101 = 0

A.B .C .D = Y 1110 = 0
A.B .C .D = Y 1111 = 0

Fig. 4.13 Boolean algebra conformant logic functions and logic gates (An example with
AND gate)

+ VCC

Ic R

C + 5 volts
IB
B
1(5 volts) n-p-n Output 0(0 volts)
Input E

0(0 volts) At t = t1
At t = t1

Common-emitter configuration

Fig. 4.14 A NOT Gate using semiconductor transistor

4.14 UNIVERSAL GATES

NOR and NAND gates are called Universal gates, due to the fact that these two gates can be used for
the construction of any kind of digital circuits. NOR means NOT-OR and NAND implies NOT-AND,
as illustrated in Fig. 4.15.
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NAND : The output is ‘0’ only when all the inputs are ‘1’
The Boolean expression of three-input NAND gate is
Y = A. B. C
NOR : The output is ‘1’ only when all the inputs are ‘0’
The Boolean expression of three-input NOR gate is
Y = A+ B+C
Figure 4.15 (a) describes three input NAND gate and its truth table. Figure 4.15 (b) describes a
NOR gate and its truth table. From the figure it is appropriate to say OR-NOT and AND-NOT rather
than NOT-OR and NOT-AND, respectively. Compare the truth tables with the truth table of OR and
AND gates.

A A A B C Y
Y
B ´ Y B
C C 0 0 0 1
AND NOT NAND 0 0 1 1
0 1 0 1
NAND Symbol 0 1 1 1
1 0 0 1
1 0 1 1
1 1 0 1
(a) 1 1 1 0

A A A B C Y
Y
B + Y B
C C 0 0 0 1
OR NOT NOR 0 0 1 0
0 1 0 0
NOR Symbol 0 1 1 0
1 0 0 0
1 0 1 0
1 1 0 0
(b) 1 1 1 0

Fig. 4.15 Symbol and truth table of NAND gate (b) Symbol and truth table of NOR gate
(The universal gates)

4.15 EXCLUSIVE-OR GATE

Exclusive-OR function, when realized electronically is called an XOR gate, which is another logic gate
whose symbol and truth table is given in Fig. 4.16. In its basic form, an XOR gate has two inputs and
one output.
“The XOR gate output is ‘1’ if any one of the inputs are ‘1’, the output is ‘0’ when all inputs are ‘0’
or ‘1’.” The notation Å is used to describe the operation. It narrates that “Y is exclusively A or B”.
Boolean expression of XOR gate is,
Y = AÅ B
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Fig. 4.16 Exclusive-OR gate (XOR) symbol and truth table

An XOR gate is usually called a half-adder electronic circuit. One can see from the rows of the
truth table that the gate really adds two input bits. With regard to the last row of the truth table, two
input binary bits (i.e. ‘1’ and ‘1’) have been added to produce binary bits ‘10’ (This is not ‘ten’ but
‘one zero’). The carry part of the sum, which is ‘1’ (left hand side of ‘10’), has not been shown in the
truth table since there is only one output. If it is required to retain the carry part of the sum, additional
circuit must be there along with the XOR gate. The additional circuit is just an AND gate as shown in
Fig. 4.17.

Fig. 4.17 A half adder circuit (Two bit binary addition)

Notice that in a two-bit addition system we need one XOR gate and one AND gate. For multi-bit
addition operations (i.e., a byte, for instance) additional XOR gates and AND gates are required.
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The name “half-adder” comes from the fact that the above circuit does only half of the addition
process. The addition process completes only when the carry bit is added with the next higher order
bits present at the left of the DNS number at hand. Therefore, so as to enable us to realize the addition
process completely, a full-adder circuit is inevitable. A full-adder must have three inputs, since we
have a carry bit now. An addition process actually deals with three digits (bits).
XOR gates are very useful for designing circuits for addition and parity checking. Parity checking
is a process of counting the number of ‘1’s in a data stream. The process is used for the detection and
isolation of errors. A commercially manufactured XOR gate comes as a standard 14-pin IC package
that may include four or more XOR gates.

4.16 COMBINATIONAL AND SEQUENTIAL LOGIC CIRCUITS

The digital circuits for mechatronic applications can suitably be designed using logic gates. Although
logic gates are considered the basic building blocks in constructing digital circuits, some more higher-
level basic building blocks can be designed using the basic logic gates. These higher level basic
building blocks can be treated as secondary building blocks. A simple and immediate example is a full-
adder. Full-adder circuits are designed either by using basic logic gates or the derived universal ones
such as NOR or NAND. A full-adder itself, which could be designed using basic logic gates,
constitutes a secondary basic building block. A full-adder circuit exhibits the basis of the multi-bit
electronic adder circuit. Note that full-adder only adds a single column. For multi-bit operations we
need many (depending upon the length of the data) full-adder circuits to constitute a practical
electronic adder circuit.
There are several such secondary building blocks, which are practically grouped under two
categories:
· Combinational logic circuits
· Sequential logic circuits.
As far as physical constructions of combinational and sequential logic circuits are concerned, both
types are designed from basic logic gates, however, their operational features differ.
Combinational logic circuits have the property that the output at any time is a Boolean function of
the inputs, whereas circuits whose output can be a function of the input at some time in the past are
called sequential logic circuits. More precisely, in a combinational circuit the output depends only on
the current inputs, on the other hand in a sequential circuit the output depends on the current and, in
principle, all past inputs. Sequential circuits have added quality over combinational circuits in the
sense that they can store logic levels (bits).

4.17 FLIP-FLOPS
In the digital world, normally binary bits are retained or stored in groups that represent either a
number or information (code). The grouped bits are called DNS data and are to be stored
electronically. An electronic circuit that retains a single bit of DNS data is called a flip-flop. A flip-flop
can simply be understood as a single unit of memory. Flip-flops are designed using logic gates and
they are under the category of sequential logic circuits. There are various types of flip-flops depending
upon the way they retain a bit. For example, some flip-flops change states at any time owing to input
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changes and some change state only when a clock edge or pulse is triggered. Distinguishably there are
four types of flip-flops, SR flip-flops, JK flip-flops, T flip-flops, and D flip-flops.

4.17.1 SR flip-flop
A simple type of flip-flop that can retain or store a single bit is an SR flip-flop. S stands for ‘set’ and
R stands for ‘reset.’ The truth table of an SR flip-flop is given in Fig. 4.18 (a). The truth table can be
realized by using basic logic gates or universal logic gates. Figure 4.18 (b) illustrates the realization of
SR flip-flops using NAND or NOR gates. Figure 4.18 (c) is its symbol. Although the SR flip-flop
behaves as a single bit memory cell but they can be used for sequencing and triggering applications.

Fig. 4.18 SR flip-flops

So, how does this basic circuit behave as memory? The process of storage of a bit is a kind of
‘setting-resetting’ procedure. If the output Y is ‘1’ the flip-flop has been ‘set,’ and if the output is ‘0’
the flip-flop has been ‘reset.’ The data bit to be stored is input through the input terminals and
retrieved from the output terminal when needed. The truth table of the SR flip-flop shows the valid
combinations of inputs and outputs. The terminal Y has been provided just to get a complement of the
output. In some situations the complement of the output (or the stored value) is desirable. As you can
see from the Fig. 4.18 (c) that there is a clock input into the SR flip-flop. The role of a ‘clock’ signal
can be understood from the truth table given in Fig. 4.19.
In a digital system everything has to be carried out in a timely sequential manner. The sequential
logic circuits used in digital control inherently involve time and sequence of operation. In such circuits
the clock signal plays a very important role. The circuit listens to the clock signal at a period of clock
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frequency and the action takes place (i.e. a change of state at the output) in a precise timing sequence.
Sometimes many digital circuits are provided with the same clock signal. A clock signal triggers the
circuits in timely manner and can be considered as a kind of initiation signal for achieving sequencing
in the same circuit and synchronization in the other circuits. The interval of time at which all the
components within a single unit or within the entire circuit are triggered, is determined by the period
of the clock signal.

Fig. 4.19 Clocked SR flip-flop

The clock input given to the SR flip-flop is to sequence the operation in terms of displaying the
next-time status of the circuit. The outputs of the flip-flop depend on the status of the system. The
next status of the flip-flop depends on the current status of the input and output. When clocked, the
SR flip-flop displays next time status.
Look at the first and last rows of the truth table of the NAND gate-based and NOR gate-based SR
flip-flops in the Fig. 4.19. The statement ‘Not allowed’ implies that the S terminal and the R terminal
must not be ‘1’ simultaneously. The statement is also there in the truth table of clocked SR flip-flops
shown in Fig. 4.18. What would happen if so? This entails an understanding of the basic SR circuit
drawn in the Fig. 4.20. Although SR flip-flops are realized either using NAND gates or NOR gates, in
their basic form the SR circuit is simply two transistors connected back to back as shown in the
Fig. 4.20. In this figure, collector current Ic–1 of T-1 will flow through R1 when S is high (‘1’). So,
point A will be low (Why? Refer Fig. 4.14; the NOT gate). Transistor T-2 will be then in OFF state
since base voltage is low. No collector current will flow in T-2 because of low input. The voltage at
point B will now be high. That is, the output Y is high. In another situation, if R is high the collector
current in T-2 will flow, so the voltage at point B will be low. Now if S and R are both made high
simultaneously, then what would be the voltage at point B? Is it high or low? The output level strictly
depends on the internal design of the transistor. Bear in mind that no transistors are identical. As soon
as the terminals S and R are made high one would saturate (go to active reason) faster than the other.
There would be a race between the two transistors so connected. Since we assumed the two
transistors were identical, no information would be available in order to know which one is faster.
Even if they are identical, a slight difference among the mirror resistors (R1, R3, and R5 are the mirror
resistors of R2, R4, and R6, respectively, and vice versa) could cause a race problem. Therefore, S and
R are not made simultaneously high. This is prohibited.
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Fig. 4.20 Basic circuit of SR flip-flop describing ‘race condition’

4.17.2 D Flip-Flop
The SR flip-flop can retain a bit at the output Y in response to setting and resetting of input. In
essence, once a bit is retained it is memorized. This retaining ability of the flip-flop forms the basis in
designing real memory devices. Indeed, several flip-flops are put together to store large set of DNS
data. Some of the flip-flops are very good as far as design of real memory devices are concerned. D
flip-flops are good in this respect. Race-around conditions can be avoided by the use of D flip-flops.
Figure 4.21 (a) illustrates a D flip-flop. It is an SR flip-flop in which the R terminal is shorted to the S
terminal through a NOT gate (inverter). A clocked D flip-flop is a practical one that has a clock input.
When clocked the action takes place. The truth table of a D flip-flop is provided in Fig. 4.21 (b) and
its symbol is found in the Fig. 4.21 (c).
D Clock D Y D
S
Y Y
0 0 No change
0 1 No change
Clock
1 0 0 Clock
1 1 1
R
Y Y

(a) (b) (c) Symbol

Fig. 4.21 A D flip-flops with truth table

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4.17.3 JK Flip-Flops
A JK flip-flop is one of the most versatile flip-flop and frequently used in digital control systems. It
has two data inputs like an SR flip-flop and a clock input. The two data inputs are called the J and K
terminals. It does not inherit the race problem. It is like an SR flip-flop with additional logic circuits at
the inputs that serve to overcome the SR = 1 1 state. The circuit diagram, truth table, and symbol are
shown in Fig. 4.22. The circuit configuration prohibits the race condition since both the outputs (Y
and its complement) are fed back to the AND gates at the input. Since Y and Y are complements to
each other, each AND gate at the input requires all inputs to be ‘1’ to give an output of ‘1’; eventually
it is not possible for both of these AND gates to be ‘1’ at the same time and therefore S and R cannot
both be ‘1.’ Because of their basic operation and versatility JK flip-flops are essentially used in
designing registers, counters, encoders, decoders, etc. described in the following section.

Clock J K Y
S 0 0 0 No change
J Y
0 0 1 No change
Clock 0 1 0 No change J Y
0 1 1 No change
1 0 0 No change Clock
R 1 0 1 0
K Y
1 1 0 1
K Y
1 1 1 Yt−1

(a) (b) (c) Symbol

Fig. 4.22 JK Flip-flops

4.17.4 Registers
Flip-flops are the secondary building blocks in the construction of large memory blocks. A large
memory block is really composed of a set of many small units called registers. Registers as name
indicates (something it registers) are simply a group of flip-flops interfaced in an appropriate manner
by which multi-bit digital data can be stored. The data can be stored for a longer or shorter time. The
number of flip-flops interfaced to form a small unit, depends upon the length of the data. An eight-bit
data word is a standard. A register is considered higher-level basic building block. The registers can
also constitute I/O (input/output) ports. I/O ports are small sized memory units in which data in the
order of few bytes (could be up to four bytes) are stored. Registers and I/O ports are found within
Analog to Digital Converters (ADC), Digital to Analog Converters (DAC), microprocessors,
microcontrollers, etc.
Data can enter into the register in serial or parallel. Once entered, data are said to be stored at the
output. One can retrieve data from the output only. Depending on the way the flip-flops are
configured, different types of data entering and retrieval is possible. In view of this, four types of
registers can be constructed as follows:
Serial In Serial Out registers (SISO): Store data serially to use in serial
Serial In Parallel Out registers (SIPO): Store data serially to use in parallel
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Parallel In Serial Out registers (PISO): Store data in parallel to use in serial
Parallel In Parallel Out registers (PIPO): Store data parallel to use in parallel
Registers are useful building blocks and are found in many applications; a SISO register can be
used as a time delay device, for instance. The amount of delay is controlled by:
· The number of stages in the register
· The clock frequency.
Some control systems require incoming data to be in serial form. So, serial-to-parallel conversion
is required. Conversion from serial data to parallel data is possible through an SIPO register. Other
requirements such as parallel in serial out and parallel in parallel out are achieved through PISO and
PIPO registers, respectively.
Two typical connections such as SIPO and PIPO have been shown in the Fig. 4.23. It illustrates
how four clocked D flip-flops are used to store four bits of data (d4, d3, d2, d1) serially. For simplicity,
only four D flip-flop have been taken. Let d1 bit enter first into the first flip-flop, i.e., D4. Four clocks
are required to enter four bits of data. At the end of the 4 th clock period, d1 would have been registered
by the D1 flip-flop, d2 would have been registered by the D2 flip-flop, and so on. The data bits d4, d3,
d2, d1 can be retrieved in parallel from the output. This type of register is called a shift-register in the
sense that data are stored on a shift basis. Data can also be entered in parallel as illustrated in Fig. 4.23
(b). It needs a single pulse/clock to feed all the data into all the flip-flops, where as in earlier case,
equivalently, four clock pulses were required.

Fig. 4.23 A 4-bit register constructed with D flip-flops. (a) SIPO; (b) PIPO
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4.17.5 Counters
Counting is essential in many applications, including control. A counter is an electronic device that
counts. It circulates data in a predefined sequence. Counters generate a sequence of count values
determined by the selected encoding and the status of the inputs. The counter can be an up-counter or
down-counter. The up-counters starts from a value to the next larger value in the sequence and down-
counters do the opposite. Counters are also constructed from flip-flops.
Counters are of various types and primarily differ in the way they use the counting code and the
way the cycle repeats. Some counters are
· Binary counter
· Decade counter
· Gray counter
· Ring counter
Decade counters (also called BCD counters) are the popular among other types. The BCD counter
is decimal and is essentially used for display applications. A 4-bit binary, Gray, ring, or decade counter
begins counting through the sequence shown in Table 4.10.

Table 4.10
Counting sequence of some counters
Binary Gray Ring Decade
0000 0000 0001 0000
0001 0001 0010 0001
0010 0011 0100 0010
0011 0010 1000 0011
0100 0110 0001 0100
0101 0111 0010 0101
0110 0101 0100 0110
0111 0100 And so on 0111
1000 1100 1000
1001 1101 1001
1010 1111 0000
1011 1110 0001
1100 1010 0010
1101 1011 And so on
1110 1001
1111 1000
0000 0000
0001 0001
0010 0011
And so on And so on
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c1

c2

d1 d2 d3 d4
(a)

Group-1

d1

d2

d3

d4

D1
O
U
D2
T
P
D3 U
T
D4

Group-2

Enable (b)

Fig. 4.24 (a): A 4-1 Multiplexer (used for data selector), (b): A 4-1 Multiplexer (used for
data multiplexing)
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4.17.6 Multiplexers
Multiplexers are sequential logical devices used for various applications such as data selector, data
multiplexing, and even for the generation of Boolean functions. A 4-1 multiplexer is shown in Fig.
4.24 (a). There are four single-bit data bits d1 through d4 that are to be selected. Two control signals
(22 = 4) c1 and c2 are required to select four numbers of single bit of data. If c1c2 = 00, the leftmost
AND gate is selected and hence d1 will appear at Y. If c1c2 = 11, the rightmost AND gate is selected
and hence d4 will appear at Y.
Figure 4.24 (b) illustrates how data are multiplexed using a typical multiplexer. Two 4-bit data d1 d2
d3 d4 and D1 D2 D3 D4 are to be multiplexed, i.e., they are to be output at different times through the
same line. If ENABLE is low group-2 is selected, the data D1 D2 D3 D4 will pass through and be
outputted. If ENABLE is high group-1 is selected, the data d1 d2 d3 d4 will pass through.

4.18 MINIMIZATION OF BOOLEAN EXPRESSION

So far fundamental knowledge on basic logic gates and other important primary or secondary logic
circuits (full-adder, registers, etc.) has been gathered. To summarize,
· A truth table is simply a tabular representation of a Boolean or logic expression.
· Every logic circuit has its truth table and vice versa.
· In essence, truth tables are not obtained from logic circuits; conversely, logic circuits are
designed as per truth tables.
· Logic circuits are constructed either by using primary logic gates or secondary logic circuits or
a combination of both types (of course, secondary logic circuits are formed using primary or
basic logic gates).
With the above knowledge, you should be able to realize or design any digital circuit with a given
logic. The procedure that you would have to follow is
· Define the required logic through Boolean expression (it may be given)
· Realize the Boolean expression using the logic gates
The above procedure is not considered appropriate mainly due to the fact that a truth table could
have more than one Boolean expression. In order to understand this, consider the following Boolean
expression:
(A + B) + B × C + A × D + C × D
In order to realize the above Boolean expression, you likely would require
1. One two-input OR gate to realize A + B,
2. Three two-input AND gates to realize B.C, A.D, and C.D
3. One four-input OR gate to realize (A + B) + B.C + A.D + C.D.
The realization could have been like that shown in Fig. 4.25 (a). This digital circuit is not an
optimized one because the Boolean expression contains redundant terms. The redundant terms must
be eliminated. One of the conventional methods of elimination of such redundant terms is to apply
Boolean Algebra.
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A B C D

BC

AD

(A + B) + BC + AD + CD

CD

A+B

Fig. 4.25 A logic circuit realization based on a given Boolean expression (Not optimized)

The given expression can thus be optimized using the Boolean algebra as follows (Refer Table 4.8).
A + B + B.C + A.D + C.D
ß
A.D+A + B.C+B + C.D
ß
A.(D+1) + B .(C+1) + C.D
ß
A.(1) + B.(1) + C.D
ß
A + B + C.D
The truth table of the simplified expression A + B + C.D and that of the original expression (A + B)
+ B.C + A.D + C.D is exactly same as shown in Table 4.11.
Table 4.11
Truth table of the Boolean Expressions (A+B) + BC + AD + CD and its minimized version
A + B + CD
A B C D Y
0 0 0 0 0
0 0 0 1 0
0 0 1 0 0
0 0 1 1 1
0 1 0 0 1
0 1 0 1 1
0 1 1 0 1
0 1 1 1 1
Contd.
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A B C D Y
1 0 0 0 1
1 0 0 1 1
1 0 1 0 1
1 0 1 1 1
1 1 0 0 1
1 1 0 1 1
1 1 1 0 1
1 1 1 1 1

Since both expressions persuade the same truth table, it is wise to use the last expression to realize
the digital circuit as you only need two logic gates, one two-input AND gate to realize C.D and one
three-input OR gate to realize A+B+C.D, as shown in Fig. 4.26 (b). This logic circuit obviously needs
fewer logic gates as compared to that shown in Fig. 4.25. By doing this not only the space, but the
design cost of the logic circuit can be significantly reduced.
A B C D

CD

A + B +CD

Fig. 4.26 Simplified realization

4.19 KARNAUGH MAP

It should by now be evident that a truth table may have more that one Boolean expression. In order to
realize a Boolean expression using logic devices (gates), the important thing is to use fewer logic
devices. For this reason, we often desire to do some kind of minimization process on a given
expression in dealing with the design of logic circuits.
Indeed, the original expression is simplified using Boolean algebra. However, the same expression
can also be simplified by many other techniques. One of the simplest techniques is called the Karnaugh
map based minimization technique. Boolean algebra-based simplification or minimization is laborious
and error prone and is not suitable in many situations. Sometimes, it appears that the simplified result
is not minimal. The Karnaugh map technique, on the other hand, offers a straight-forward method of
minimizing Boolean expressions. So the procedure that has to be followed is,
· Define the required logic through Boolean expression (it may be given)
· Derive the truth table from the Expression
· Minimize the Expression via Karnaugh-map (K-map) method
· Realize the minimized version of Boolean expression using the logic gates
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In what follows the procedure of K-map method. K-map is a pictorial method. It groups
expressions with common factors and eliminates unwanted terms and variables. The K-map based
minimization process starts with obtaining a K-map from a given truth table. Basically, a K-map is a
different form of a truth table. The procedure to follow in obtaining the K-map is given below.
· Draw the sketch of K-map
· Assign the sequence number
· From the truth table enter the output values into the appropriate sequence number
The sketch of K-map consists of squares called boxes. The number of boxes depends on the
number of variables presents in the truth table. A two-, three- and four-variable truth table must have
22 (= 4), 23 (= 8) and 24 (= 16), number of boxes respectively. The boxes are placed adjacent to each
other. Each box has been assigned a box number that corresponds to a sequence number. The only
thing to note is that the ordering of the sequence number with respect to the box number. Refer Table
4.12 and Fig. 4.27. The sequence has been maintained as per Gray code. The sequence number
assigned to a box is fixed. This is key to how K-map provides a detrimental effect with regard to the
process of elimination of redundant terms and variables.

Table 4.12
Box number versus sequence number of 2, 3, and 4-variable truth tables.
Two variable Three variable Four variable
Box. No. Seq. No. Box. No. Seq. No. Box. No. Seq. No.
1 1 1 1 1 1
2 2 2 2 2 2
3 3 3 3 3 4
4 4 4 4 4 3
5 7 5 5
6 8 6 6
7 5 7 8
8 6 8 7
9 13
10 14
11 16
12 15
13 9
14 10
15 12
16 11
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Fig. 4.27 (a) Box number of K-map corresponding to the two variable truth table
(b) Box number of K-map corresponding to the three variable truth table
(c) Box number of K-map corresponding to the four variable truth table
(d) Sequence number of K-map corresponding to the two variable truth table
(e) Sequence number of K-map corresponding to the three variable truth table
(f) Sequence number of K-map corresponding to the four variable truth table.
From the truth table, sequentially enter the values of Y (It could be a ‘0’ or a ‘1’) into the box. Look
at the sequence number and enter the value in the appropriate box. Once this is done, you have
completed the K-map. Figure 4.28 (d-f) illustrates how K-map has been derived from the given two-
, three-, and four-variable truth tables (Fig. 4.28 (a-c)). For simplicity let us assume that the truth
table given in the Fig. 4.28 (a-c) have been obtained from given Boolean expressions containing
redundant terms and variables. The minimization process, involves more procedures as follows.
Sequence A B C D Y
1 0 0 0 0 0
2 0 0 0 1 0
3 0 0 1 0 0
4 0 0 1 1 1
5 0 1 0 0 0
Sequence A B C Y 6 0 1 0 1 0
1 0 0 0 1 7 0 1 1 0 0
2 0 0 1 0 8 0 1 1 1 1
3 0 1 0 1 9 1 0 0 0 0
Sequence A B Y 4 0 1 1 0 10 1 0 0 1 0
1 0 0 0 5 1 0 0 0 11 1 0 1 0 0
2 0 1 1 6 1 0 1 0 12 1 0 1 1 1
3 1 0 1 7 1 1 0 1 13 1 1 0 0 0
4 1 1 1 8 1 1 1 1 14 1 1 0 1 0
15 1 1 1 0 0
16 1 1 1 1 1
(a) (b)
(c)
Contd.
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Basics of Digital Technology

A A AB AB AB AB AB AB AB AB
A AB AB
B 0 1 C 00 01 11 10 00 01 11 10
CD
B 0 0 1 C 0 1 1 1 0 CD 00 0 0 0 0
1 3 1 3 7 5 1 5 13 9
B 1 1 1 C 1 0 0 1 0 CD 01 0 0 0 0
2 4 2 4 8 6 2 6 14 10
K-map of two-variable K-map of three-variable CD 11 1 1 1 1
Truth table Truth table 4 8 16 12
(d) (e)
CD 10 0 0 0 0
3 7 15 1
K-map of four-variable Truth table
(f)

Fig. 4.28 Obtaining Karnaugh map from the given truth table.

The next step is to form groups of adjacent ‘1’s. Groups of 2, groups of 4, and groups of 8 could
be formed. These groups are called pairs, quads, and octets, respectively, as shown in Fig. 4.29. The
presence of pairs, quads, and octets purely depends on the truth table at hand. The K-map uses some
rules as far as grouping of adjacent boxes containing ‘1’s is concerned.
· Groups are formed throughout the map.
· Groups could be horizontal or vertical.
· Group should be as large as possible.
· Groups may overlap, but a group should not be enclosed completely within another group.
· No ‘1’s should be left. If it is not enclosed within a pair, quad, or octet, it should be a stand-
alone group. That is, each box holding a ‘1’ must be covered.
· The leftmost box in a row has the right to be grouped with the rightmost box.
· The identical rule applies to topmost and bottommost boxes. That is, the top box in a column
can be grouped with the bottom box.
· There should be as few groups as possible, as long as this does not contradict any of the
previous rules.
· Diagonal groups are invalid.
· Groups must not contain ‘0.’
Once the groups are formed, the process of elimination of redundant terms and variables starts.
The principle of elimination process of redundant variables from the K-map suggests that the variables
which appears itself and its complements in a specific group are to be eliminated. That is, by no
means, a variable and its complement should exist simultaneously. The other variables will remain
ANDed.
As an example, consider a K-map, as shown in Fig. 4.30, which has been derived from a given
truth table (also shown). There are three groups, one singular group (sequence number 4), a pair, and
a quad. Let us start with the quad. Out of four variables, A, B, C, D, while moving from top to
bottom, it is found that the variables C and D have their complements. So these variables have to be
eliminated. The only variables left are A and B, which are to be ANDed. These variables and their
complements do not appear simultaneously, while looking at the same group. So, we now get one
term as follows:
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Mechatronics: Principles, Concepts and Applications

A A AB AB AB AB AB AB AB AB
A AB AB
B 0 1 C 00 01 11 10 C 00 01 11 10

B 0 0 1 C 0 0 1 1 0 C 0 0 1 1 0
1 3 1 3 7 5 1 3 7 5

B 1 1 1 C 1 0 0 1 0 C 1 0 1 1 0
2 4 2 4 8 6 2 4 8 6
Pairs Pairs Pairs
(a) (b) (c)

AB A B AB AB AB
AB AB AB AB AB C 00 01 11 10
C 00 01 11 10
C 0 1 1 1 1
C 0 1 0 0 1 1 3 7 5
1 3 7 5
C 1 0 1 1 1
C 1 1 0 0 1 2 4 8 6
2 4 8 6
Quads
Quads (e)

(d)

AB A B AB AB AB AB A B AB AB AB
00 01 11 10 CD 00 01 11 10
CD
0 0 1 0 1 1 1 1 An octet
CD 00 CD 00
1 5 13 9 1 5 13 9
CD 01 0 0 1 0 CD 01 1 1 1 1
2 6 14 10 2 6 14 10

CD 11 0 0 1 0 CD 11 0 1 1 0 A quad
4 8 16 12 4 8 16 12

CD 10 0 0 1 0 CD 10 1 1 0 0
3 7 15 11 3 7 15 11

Quads A pair
(g)
(f)

Fig. 4.29 Grouping; Pairs, Quads and Octets

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Basics of Digital Technology

AB = Y1
Now consider the pair. As you go from sequence number 1 to sequence number 5, you can see that
only B and its complement appears. So, eliminate this variable. The other three variables will remain
ANDed. The three variables are A , C , and D . So, we get the second term, which is,
ABC = Y2

Fig. 4.30 A minimization example

In the context of a singular group, which is there in sequence number 4, no variable has its
complement. So all the variables will remain ANDed. The third term can therefore immediately be
written as,
AB CD = Y3
Now the complete minimized Boolean expression can be written by ORing the above terms Y1 , Y2,
and Y3. Thus, finally,
Y = Y1 + Y2 + Y3
ß
Y = AB + ABC + AB CD
The above Boolean expression is the minimized expression. The logic circuit of this expression is
shown in the Fig. 4.31. Try to minimize all the functions already translated to the K-map in Fig. 4.28
(a)-(g).
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Mechatronics: Principles, Concepts and Applications

A B C D

A B C D

AB

AB + ABC + ABCD

ABC

A B CD

Fig. 4.31 Realisation of logic expression Y = AB+ A B C + A B CD

4.20 TTL AND CMOS

The NOT gate and SR flip-flop illustrated in Fig. 4.14 and Fig. 4.20 respectively uses bipolar
transistors. Such gates and logic circuits can also be designed even using diodes. Figure 4.32 shows
the realization of a two-input AND gates, and a two-input OR gate using diodes (Verify the truth
table). The realization is called diode logic. The NOT gate shown in Fig. 4.14 is called Resister-
Transistor logic. Taking into account of many factors, such as power consumption, speed,
performance, compatibility, and of course standards, various semiconductor logic devices (gates,
flip-flops, etc.) have constantly been emerging. Some of the other logic families are,
· Diode-Transistor Logic (DTL)
· Transistor-Transistor Logic (TTL)
· Emitter-Coupled Logic (ECL)
· Complementary Metal-Oxide Semiconductor (CMOS) Logic
TTL is an older logic family that uses voltage level from 0 to 0.8 volt DC as ‘0’ and that from 2 to
5 volts as ‘1.’ CMOS logic is a relatively newer technology. In CMOS technology, both n-type and p-
type transistors are used. This technology is considered the dominant semiconductor technology not
only for designing logic gates, but also for VLSI (Very Large Scale Integrated Circuits) such as
microprocessors, memories, and Application Specific Integrated Circuits (ASICs). CMOS technology
consumes less power as compared to other semiconductor logic circuits.
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Basics of Digital Technology

+V +V

A
A
Y=A+B A A
Y = A.B B
B

AND OR CMOS NOT

(a) (b) (c)

Fig. 4.32 (a) Diode logic OR gate (b) An AND gate (c) CMOS logic (NOT)

4.21 MEMORY
Semiconductor-based memory cells that are fabricated on a single piece of material (called wafer) can
accommodate a large number of data bytes. These are called memory ICs. Figure 4.33 shows a
Most significant bit Last significant bit

B-7 B-6 B-5 B-4 B-3 B-2 B-1 B-0

Location-0

Location-1

Location-2

Location-3

Location-4

Location-5

Location-6

Location-7

Location-8

Location-9

Location-10

Location-11

Location-12

Location-13

Location-14

Location-15

Fig. 4.33 A conceptual semiconductor memory with 16 memory locations

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Mechatronics: Principles, Concepts and Applications

schematic illustration of a semiconductor memory. The semiconductor memory has 16 locations,

Location-0 to Location-15. Each location is a byte long containing, eight bits. The bit positions of each
byte are defined by B0 through B7. B0 is called the Least Significant Bit (LSB) and B7 is called the Most
Significant Bit (MSB). Each bit of the byte might be a circuit shown in Fig. 4.20. Usually, the memory
chips are specified by bytes, not by location. A total of sixteen bytes of data can be stored in this
memory. While the figure shows only sixteen bytes/locations, in practice the number of bytes that a
typical memory chip can store is 512 bytes or much more than this. If data is required to be entered
into or retrieved from a location respectively, the location must be addressed.
There are basically two types of memory chips, RAM (Random Access Memory) and ROM (Read
Only Memory). The kind of memory used for holding data, instructions, and programs being executed
(described in Chapter 6) is called RAM. RAM differs from ROM in that data can be both read and
written. RAMs entail volatile memory, meaning is that it loses its contents when the power goes off.
RAM is also called Read-Write Memory (RWM). The sanctity of the term ‘random access’ is due to
the fact that any location of the memory chip can be accessed at any point in time. There are two
types of RAM, namely static RAM (SRAM) and dynamic RAM (DRAM). Static RAM holds its data
without any refresh mechanism, in contrast to dynamic RAM, which must be refreshed many times
per second to hold its data contents. SRAMs are simple as they do not need data refreshment and are
faster compared to DRAMs. But they occupy more space, and their cost is relatively high. DRAM
uses a special refresh circuit that reads the contents of the memory cell. The reading action itself
refreshes the contents of the memory. That is why it is called ‘dynamic’ memory. The real design
structure of DRAM is that each bit is stored in a storage capacitor. The storage capacitor stores a
fixed amount of charge as ‘1’ and another amount of charge as ‘0.’ But the problem with the capacitor
is that it automatically discharges the charge, owing mainly to its property. These capacitors are very
small, and consequently discharge very quickly. That is why the refresh circuitry is needed to read the
contents of every bit and refresh them with a fresh ‘charge’ before the contents are decayed or lost.
DRAMs are cheaper and take much less space as compared with SRAMs. Figure 4.34 is the schematic
pin-out diagram of a RAM chip. The chip is selected prior to a reads and writes operation. If it is a
read operation the Read/Write signal is ‘low’ and if it is a write operation the Read/Write signal is
‘high.’ That is, the logic level of the Read/Write pin (bottom left) determines whether the operation to
be carried out is a read or write operation. A RAM chip must have address line in order to address the
location in which the data is to be stored or from which the stored data is to be retrieved. The number
VCC Chip enable

Address lines Data lines

Read/Write Ground
enable

Fig. 4.34 Schematic pin out diagram of a typical RAM chip

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Basics of Digital Technology

of address lines solely depends on the number of locations the chip has. For example, ten lines must
be there to address 210 = 1,024 locations. The chip should also have data lines in order to store and
retrieve data to and from the chip according to the Read/Write signal. Note that the data lines are bi-
directional whereas the address lines are unidirectional.
ROM, on the other hand, is called a one-time memory device. ROMs are permanent storage of
data. The data stored in ROM are always there, whether the power is on or not. The data from a
location is retrieved at any point in time. Any location of the ROM can be accessed randomly, but
“random access” always refers to RAM. At the manufacturing stage, or even later on, the ROM chip
is programmed to adhere the data everlastingly. Several types of ROM chips are available, depending
upon whether or not they are programmable and re-programmable. All ROMs are programmable. But
if the manufacturer programs the ROM then it is referred to as ROM. If the user programs a ROM
according to his requirements then the user must buy a PROM, the Programmable ROM. PROMs are
ROMs that are programmed at some later stage. EPROMS, Erasable PROMS, are another type in
which the data already programmed can be erased and reprogrammed. ROMs are commonly used to
store system programs that we want to have available at all times.

· In the context of engineering and technology, quantity is a measure and represented by means
of numerical assignment using number systems.
· A decimal number has base 10 (ten), whereas a binary number has base 2 (two).
· To convert binary to octal number simply break the binary number into a group of three bits,
starting from the least significant bit. Then convert the 3-bit binary number to its octal
equivalent. Similarly, to convert binary to hexadecimal, break the binary number into a group of
four bits, starting from the least significant bit.
· A group of 4-bit is called a nibble.
· Gray code is used in designing the pattern of the disk of the optical encoder (refer to Chapter
5).
· An adder circuit can perform both addition and subtraction if 1’s and 2’s complement methods
is implemented.
· The two logic states are expressed as ‘1’ or ‘0’ and electrically they are realized as V and V or
vice versa, where V and V are two distinct voltage levels.
· Logic gates, circulating the fundamental principle of logic functions, constitute the functional
building blocks in designing the digital circuits or digital system.
· OR gate: “If any of the input is ‘1’ then the output is ‘1’,”
· AND gate: “If all the inputs are ‘1’ the output is ‘1’ else the output is ‘0’.”
· NOR and NAND gates are called Universal gates, due to the fact that these two gates can be
used for the construction of any kind of digital circuits.
· “The XOR gate output is ‘1’ if any one of the inputs are ‘1’; the output is ‘0’ when all inputs are
‘0’ or ‘1’.
· An XOR gate is called a half-adder electronic circuit.
· Combinational logic circuits have the property that the output at any time is a Boolean function
of the inputs, whereas circuits whose output can be a function of the input at some time in the
past are called sequential logic circuits.
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Mechatronics: Principles, Concepts and Applications

· A flip-flop can simply be understood as a single unit of memory. Distinguishably there are four
types of flip-flops, SR flip-flops, JK flip-flops, T flip-flops, and D flip-flops.
· A large memory block is composed of a set of many small units called registers. Data can enter
into the register in serial or parallel.
· Depending on the way the flip-flops are configured, different types of data entering and retrieval
is possible. Data can enter into the register in serial or parallel.
· Counters generate a sequence of count values determined by the selected encoding and the
status of the inputs.
· The BCD counter is decimal and is used for display applications.
· Multiplexers are sequential logical devices used for various applications such as data selector,
data multiplexing, and even for the generation of Boolean functions.
· A truth table is a tabular representation of a Boolean or logic expression.
· A truth table could have more than one Boolean expression.
· A Boolean expression might contain redundant terms. The redundant terms must be eliminated
before realising the digital circuit. The elimination process is called minimization.
· K-map is a minimization technique.
· The principle of elimination process of redundant variables from the K-map suggests that the
variables which appears itself and its complements in a specific group are to be eliminated.
· Semiconductor-based memory cells that are fabricated on a single piece of material (called
wafer) can accommodate a large number of data bytes. These are called memory ICs.
· RAM differs from ROM in that data can be both read and written. RAMs are volatile but ROMs
are nonvolatile. ROMs are commonly used to store system programs that we want to have
available at all times.
· Static RAM holds its data without any refresh mechanism, in contrast to dynamic RAM, which
must be refreshed many times per second to hold its data contents.
· DRAMs are cheaper and take much less space as compared with SRAMs.
· PROMs are ROMs that are programmed at some later stage.
· EPROMS, Erasable PROMS, are another type in which the data already programmed can be
erased and reprogrammed.

This chapter describes the importance of digital technology in industrial automation and control
system. The fundamentals of digital number system, has been discussed including the number
system conversion. A brief idea on BCD and the Gray code has been illustrated to cope with
the chapter. Again, basic DNS arithmetic operations, such as, binary addition, binary
subtraction, binary multiplication and division has been performed. Postulates of Boolean
algebra and De Morgan’s theorem have been discussed in addition to the simplification
technique such as algebraic manipulation method and map method. In order to describe the
combinational and sequential logic concepts, the fundamentals of logic gates and flip-flops has
been discussed thoroughly. The important sequential circuits covered here are counter and
registers and the combinational circuits and multiplexers and adder circuits.
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Basics of Digital Technology

LOOKING AHEAD
The electronics part of mechatronics discipline covers four topics such as
· Electrical components and electronic devices
· Digital theory and technology
· Transducers and sensors
· Signal conditioning circuits
So far, first two topics have been described thoroughly. Chapter 5 and Chapter 6 depict the
rest of the electronic topics in order. Chapter 5 takes the benefit of the understandings that is
gained from the previous Chapters. For instance, while describing the piezoelectric transducer
the knowledge on capacitance is necessary. The principle of operation of piezoelectric
transducer and its description has been made in Chapter 5 where as the definition of
capacitance has been made in the Chapter 3. This is just one instance, but a proper sequence
has been maintained throughout the book to present the intratopics and intertopics.

EXERCISES

4.1 What do you mean by range and weight of the binary number system?
4.2 Write down all the combinations of a four bit DNS.
4.3 How many symbols will be necessary to represent a 3 digit decimal number?
4.4 Define range determinant of a number system.
4.5 Convert to binary numbers.
5.32 0.605 502.4 729.171
4.6 Convert to decimal numbers.
1101 1.111 1001.011 11011.10101
4.7 Convert 246.34 of radix 7 to its equivalent decimal number.
4.8 Convert the following numbers
(B2F8)10 = ( ? )10 (1010.0110)2 = ( ? )8
4.9 Determine the octal equivalent number of (32.51)7 up to four places of radix point.
4.10 Express (-59)10 in 2’s complement form.
4.11 Add 1001 + 10.1
4.12 Subtract 5.82 from 13.24 in binary.
4.13 Subtract 13.24 from 5.82 in binary.
4.14 Write the number (2375)10 in 8421 BCD code.
4.15 Explain multiplication techniques for signed and unsigned numbers.
4.16 Perform 10101.11101´101.11 and 10101.11101¸101.11
4.17 What is the use of complements in arithmetic number system?
4.18 State the algorithm of addition of two signed binary numbers represented in sign and 2’s
complement representation. Give one example.
4.19 Represent –23 and 56 in sign 2’s complement form (8 bit) and add them.
4.20 Draw the circuit diagram for combined addition and subtraction operation.
4.21 Discuss the following number systems.
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Mechatronics: Principles, Concepts and Applications

· Octal number systems

· Decimal number systems
· Hexadecimal number systems
· BCD number systems
· Gray code
4.22 Convert (A193.E)16 to octal and binary.
4.23 Perform D08.716 –1F.C16 using 1’s complement.
4.24 Write down the BCD equivalent of decimal digit.
4.25 Write down the rules for binary addition, subtraction and multiplication.
4.26 Give some examples of binary addition and subtraction.
4.27 Explain signed binary numbers.
4.28 State and explain the following laws in the context of Boolean Algebra.
· Commutative law
· Associative law
· Distributive law
· Identity law
· Negation law
· Redundancy law
4.29 State and explain De Morgan’s Theorem. Using de Morgan’s theorem prove,
( A · B) = A Å B
4.30 Apply de Morgan’s theorem to the expression given below.
( W + X + Y + Z ) + WXYZ
4.31 Prove the following identities with the help of Boolean algebra.
(i) X +XYZ +X’YZ+WX+W’X = X+YZ
(ii) (X1+X2)(X’1 X’2+X3)(X’2+X1 X3)’ = X’1 X2
4.32 Simplify using Boolean algebra.
( AB + AZ )( B + A) + AB( B + C )
4.33 Using Boolean algebra, simplify the following expression and realize using NOR gates only.
AB + A( B + C ) + B ( B + D)
4.34 Using Boolean theorems determine the minimized expression of the logic function given as
f = AB + ABC ) + ABC
4.35 What do you mean by logic states?
4.36 Define logic functions.
4.37 What do you mean by a truth table?
4.38 Construct the truth table for the circuit shown in Fig 4.35.
A
A

B
B

Fig. 4.35 C
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Basics of Digital Technology

4.39 How are logic functions realized electronically?

4.40 Explain the following gates.
OR AND NAND NOR EX-OR
4.41 Realise the following expression using AND, OR and NOT gates.
X + YX + XZ
4.42 Show that NAND gate is equivalent to NOT-OR gate.
4.43 What are the universal gates?
4.44 Prove that NOR gate is a universal gate.
4.45 Realise a 4-input NAND gate by using two input NAND gates only.
4.46 Write down the truth tables of Universal gates separately.
4.47 Show how F = A + B + C can be implemented with one 2-input NAND gate and one 2-input
NOR gate.
4.48 Discuss about the EX-OR gate and write down its truth table.
4.49 Distinguish between combinational and sequential logic circuits.
4.50 What do mean by a Flip-Flop. Mention some of the applications of flip flops that are used in
digital system.
4.51 Draw the logic circuit diagram of an SR flip-flop. Explain how it works. Explain its truth table.
4.52 An SR flip flop is connected as shown in Fig. 4.36. Determine Q output in relation to the clock.
What specific function does this device perform?

S Q

Fig. 4.36 C

4.53 What is a clocked SR flip-flop?

4.54 With neat circuit diagram, describe the race condition in an SR flip-flop.
4.55 Explain the following flip-flops.
· JK flip-flop
· D flip-flop
4.56 What is the main function of a register? On what basis the registers are categorized?
4.57 An 8-bit SISO shift register is storing a binary number whose decimal value is 153. The LSB of
the number is stored in right most flip-flop. The register is to be loaded with a serial number
whose decimal value is 165 by shifting bits into the left most flip-flop, LSB first. Construct a
truth table showing the contents of the shift register in binary form after each of eight
successive clock pulses.
4.58 Develop a clocked JK flip flop using NAND gates only.
4.59 Separately construct a four-bit SIPO and PIPO register using D flip-flops.
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Mechatronics: Principles, Concepts and Applications

4.60 Design a combinational circuit whose input is a four bit number and whose output is the 2’s
complement of the input number.
4.61 What do you mean by electronic counter?
4.62 Discuss the following.
· Binary counter
· Decade counter
· Ring counter
· Gray counter
4.63 Design a 2-bit comparator using logic gates.
4.64 Obtain a logic diagram that converts a four digit binary number to a decimal number in BCD
using only NOR gates for implementation.
4.65 Give various applications of multiplexer.
4.66 Symbolically draw a 4-1 multiplexer to be used for data selector.
4.67 Symbolically draw a 4-1 multiplexer to be used for data multiplexing.
4.68 Give some comments on truth tables.
4.69 Why does minimization concept come into picture?
4.70 Give the examples of minimization techniques.
4.71 Implement the following logic function by ROM.
f (x, y, z) = S (0, 1, 6, 7)
4.72 Design a modulo-5 ripple counter.
4.73 Write notes on Shift Register.
4.74 In case of K-map, what rules are followed as far as grouping of adjacent boxes containing ‘1’s
is concerned.
4.75 Use Karnaugh’s map to simplify
(i) Y = ( A + B + C + D)
(ii) Z = ( A + B + C + E )
(iii) f (x, y, z, w) = S(3, 8, 10, 11, 12, 14)
(vi) f (x, y, z, w) = S(1, 3, 7, 11, 15) and the don’t care conditions
d (x, y, z, w) = S(1, 3, 7, 11, 15)
4.76 Minimise the following switching function by K-map and implement it by NAND gate only.
f (a, b, c, d) = S (0, 1, 3, 4, 6, 7, 8, 12) + Sdc (9, 11)
4.77 Briefly explain TTL and CMOS.
4.78 Discuss about electronic memory. Draw the block diagram of a memory and explain the
important pin out diagram.
 5
Transducers and Sensors

· To define various types of transducers used in industrial automation, machine control systems,
instrumentation and equipments.
· To list out commonly encountered measurands for automation and control purpose.
· To differentiate between transducer and sensor.
· To explain the principles of different transducers.
· To construct a table to show the range and sensitivity for different types of thermocouples.
· To draw circuit diagrams of piezoelectric transducer, and explain the principles.
· To explain the Hall effect of transducer.
· To list the pneumatic transducers and the principles of operation.
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Mechatronics: Principles, Concepts and Applications

5.1 INTRODUCTION AND BACKGROUND

Transducers play a major role in mechatronics engineering and technology. Transducers are the basic
elements that convert or transform one form of energy to another form. Let us change the word
‘energy’ into the word ‘signal’ which is more convenient to use. It is now more appropriate to say
that a transducer converts one form of signal to another form without sacrificing the principle of law
of conservation of energy. Whichever word is convenient, one thing must be kept in mind that the
output energy of the transducer is in different form than the input energy. The question is why it is
necessary to convert one form of energy to another form and what are those forms? The immediate
answer to this question is very clear in the sense that the signal or energy in the current form in fact
is not suitable (sometimes not possible) for observation, measurement or manipulation. For example,
photodevices, used to measure the intensity of light are considered as transducers.
Transducers are mainly used to quantify the physical, electrical, fluidic and mechanical variables
or parameters such as temperature, pressure, magnetic field, voltage, flow, vibration, and so on. Such
variables or parameters can commonly be called as measurands. Some of the important measurands
are listed below.
· Acoustic field · Audio field and noise · Amplitude
· Angle · Acceleration · Color
· Current · Density · Flow
· Force and load · Frequency · Gas concentration & pH
· Humidity level · Image · Intensity of light
· Length · Level · Motion
· Medical imaging · Magnetic fields · Pressure
· Position · Phase · Power
· Radiation · Resistance · Rotation
· Sound · Stress and strain · Speed
· Temperature · Velocity · Vibration
· Vacuum · Voltage
For the observation, quantification, measurement and manipulation of measurands, different types
of transducers with different transduction principles are used. For example, the transducer that is
used for the quantification of temperature parameter is different from a transducer that is employed
for the detection of ultrasonic sound signal. (The term “ultrasonic” applied to sound above the
frequencies of audible sound, and nominally over 20 kHz. Signal used for medical diagnostic
ultrasound scans extend to 10 MHz and beyond.). For various applications, a variety of transducers,
with different transduction principles are designed and fabricated. In view of these, the study on
transducers entails attention.

5.2 DIFFERENCE BETWEEN TRANSDUCER AND SENSOR

The term transducer and sensor have been used synonymously although the concepts are different.
Transducers are the physical element which is a part of a sensor. In fact, transducer is an essential
element of a sensor. A sensor is merely a sophisticated transducer in the sense that it contains some
signal conditioning circuits capable of amplifying and refining the weak and raw signal that is available
at the output of the transducer. Some of the commonly used signal conditioning circuits are amplifiers,
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Transducers and Sensors

filters, Analog to Digital Converter (ADC), etc. Figure 5.1 gives a illustration of a sensor. The input
signal is referred to as measurands. The output of the transducer is referred to as equivalence. The
signal/energy or signal at the output of transducer and hence at the output of the sensor is in different
form with respect to the input signal/energy. For industrial automation and control, the outputs of the
most of the transducers are electrical signals (either voltage or current).

Input energy/signal
Transducer
output Electronic circuit
Transducer for signal Sensor output
Equivalence conditioning (Another form of energy)

Variables or Parameters
(measurands)
Sensor

Fig. 5.1 A typical sensor showing transducer and signal conditioning unit

5.3 TRANSDUCER TYPES

Transducers are classified, based on whether they produce passive or active equivalence. Passive
equivalences are resistance, inductance and capacitance. The transducers of this category are made
up of specific materials, such that their electrical properties like resistance, inductance and capacitance
vary in response to change in input measurands. On the other hand, active transducers are those,
which directly provide electrical signals like voltage, current either in the form of DC or AC. While
some of the passive transducers require external power for excitation, the active transducers do not.
Another way of differentiation refers to as primary or secondary transducers. Primary transducers
are those whose outputs are the direct measure of the input phenomenon. On the other hand secondary
transducers, are those whose outputs are not the direct representation of the physical phenomenon.
Mostly, active and passive type transducers are referred to as the primary and secondary transducers
respectively.
Specially designed mechanical structures are also used for the measurement of various physical
phenomenon such as movement, proximity, displacement, force, pressure, strain, flow, etc.
Commonly used mechanical transducers are described towards the latter part of this chapter.

5.4 TRANSDUCTION PRINCIPLE

Transducers are usually made up of some specific kind of materials. The characteristics of the
materials should be such that it should have high response to the input parameter. Depending upon the
type of measurands the transducer materials are selected for the purpose of design and fabrication.
Smart materials are currently being developed and added to the domain of transducer technology.
This is in turn leads to the study of the properties of materials. The book does not include detailed
study as far as design and fabrication of various transducers are concerned, however, the chapter
begins with a step ahead assuming that the transducers are already available. Their principle of
operation will be described in more detail.
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The phenomenon of energy transformation is called transduction, which is based on one or more
effects. The principle of transduction can be attributed to the following effects.
· Photoemissive · Hall
· Photoconductive · Ionization
· Photovoltaic · Burden tube
· Photoresistive · Strain gauge
· Thermoelectric · Bimetallic strip
· Inductive · Mechanical switch
· Capacitive · Optical encoding
· Pyroelectric · Optical fibre
· Piezoelectric
Apparently, in the technology marketplace, there exist more than a thousand distinct types of
transducers and hence sensors characterizing to their application domains, ratings, sophistication,
etc. are available. Irrespective of their internal design and fabrication, mostly they adopt very common
and fundamental transduction principles as listed above. In the rest of the chapter, most of the
commonly used transducers and their principle of transduction have been depicted.

5.5 PHOTOELECTRIC TRANSDUCERS

Electrical properties of the material change when light falls upon it. The change effect is seen
prominent in some material such as metals, cadmium sulphide, cadmium sulphoselenide, lead telluride
and semiconductors. The effect is exploited to measure the wide range of radiation including the
intensity of light. The principle is based on the fact that when light strikes on such substances, the
entire photonic energy is converted to kinetic energy of the electron. This phenomenon is defined as
photoelectric effect. The phenomenon is observed in terms of three effects, known as photoemissive,
photoconductive and photovoltaic effect. In reality, the effects are realized through specific design
parameters. In another way, design and construction of transducers based on these three effects
vary.

5.5.1 Photoemissive Transducer

The schematic diagram of photoemissive type transducer has been shown in Fig. 5.2. It is a vacuum
chamber containing photoemmissive cathode, an anode and a photomultiplier consists of many
dynodes. The light-sensitive cathode emits electrons by virtue of photoelectric effect. Electrons thus
ejected from a photosensitive cathode are attracted toward and strike the first positive electrode
(dynode-1) of the photomultiplier, liberating secondary electrons. The photoelectrons thus generated
from the first dynode are again accelerated towards second dynode since it is kept at a higher potential
compared to first dynode. The secondary electrons bombard the second dynode generating more
secondary electrons, and so on, until a desirable current signal is produced through several stages.
Finally, a shower of electron is produced and collected at the anode constituting anode current, which
is proportional to the intensity of light.
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Light

Dynode-1
(positive)

Anode (positive with

respect to dynode-4)

Dynode-4
(mode +ve than
Dynode-3)
Dynode-2
(more +ve than
Dynode-1)
Dynode-3
(more +ve than
Dynode-2)

Fig. 5.2 Photoemissive transducer with Photomultiplier

In order to measure the radiation or light intensity, semiconductor based devices (described below)
can be used instead of vacuum chamber based photoemissive trasducers. However, due to some
environmental constraints and technical reasons in many applications the semiconductor based devices
are not considered as the preferred choice to replace the vacuum chamber based transducers.

5.5.2 Photoconductive Transducers

Semiconductor materials and some of the composite materials such as cadmium sulphide (CdS), lead
selenide (PbSe), lead sulfide (PbS), lead telluride (PbTe), etc. respond to radiation and light. These
materials can be used for the construction of photoconductive transducers. Photoconductive
transducers are referred to as photoresistor or photoconductors. Other name of photoconductor is
Light Dependant Resistor (LDR). The theory behind the transduction principle is that the photonic
energy exceeds the bandgap (the gap between the valence band and the conduction band) of the
material from which the transducer has been made. Photoconductors are constructed from wafers
similar to those used in the manufacture of Integrated Circuits (IC).
When resistance is effectively measured as the equivalence of the measurand then the transducer is
said to be resistive pick-up type transducers. The resistance value changes according to the input
variables or measurands. Photoconductors or LDRs are under this category. When light falls on the
LDR the resistance of the transducer material changes. If the LDR is made as a part of an electronic
circuit, the changes will be reflected in terms of current or voltage. The change in current or voltage
can now become the output signal, which simply appears as a measure of input light intensity.
If the photoconductor is made from semiconductor material, the resistance decreases
approximately linearly as the intensity of the incident light increases. The incident radiant power
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modulates the conductance of the semiconductor in terms of generating hole-electron pairs. The
number of hole-electron pairs generated is proportional to the number of incident photons per unit
time (The number of photons per unit time is simply the intensity of the incident radiation).
Figure 5.3 shows a typical circuit in which LDR constitutes a circuit element. A constant current
source is connected across the LDR. When light falls upon it the conductivity (resistance) of the
material from which the LDR has been made, changes. Depending upon the type of material the
conductivity may increase or decrease. Since the LDR is supplied with a constant current source, the
effect is developed in terms of a rise or drop in voltage across the LDR, which is proportional to the
intensity of light. The change in voltage can be calibrated. If the supplied constant source becomes a
voltage source, the measured signal would be a current signal instead of voltage. In this case the
change in current can be calibrated to quantify the light intensity.
LDR

+
a +
Constant
V Current
Source
Light b −
−

Fig. 5.3 A typical LDR connection

LDR type transducers are widely used not only in industrial sectors but also in many applications
for the detection of intensity of the light. The principle is also employed for the design of the color
sensors.

5.5.3 Photovoltaic Transducers

Although the principle of photovoltaic phenomenon is understood as a development of potential
difference across any material because of incident light, usually the phenomenon is best exploited
through a semiconductor junction. Two such devices are photodiodes and phototransistors.
Photodiodes are p-n junction diodes, connected in reverse bias condition. The reverse biased
junction has high resistance. Incoming light can excite electrons being bound in the crystal lattice and
will generate free electron-hole pairs in the junction. As a consequence, the resistance drops and the
current increases, being proportional to the intensity of radiation or light. Phototransistor has three
layers such as either p-n-p or n-p-n layers. There is no base terminal in the construction. Light falls on
the collector-base junction, reducing the junction resistance, giving rise to collector current sufficient
enough for detection. The sensitivity is defined as the ratio of the output voltage to the incident
energy. The capability to convert light energy to electrical energy is expressed as quantum efficiency.
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The ‘p’ layer of the photodiode is very thin. Analogously, the base layer of the phototransistor is
very thin (Fig. 5.4). The thickness of the layer is determined by the wavelength of radiation to be
detected. The wavelength of the radiation to be detected is an important parameter. The silicon
becomes transparent to radiation of longer than 1100 nm wavelength. It is not suitable for use at
wavelengths appreciably longer than this.
Photodiodes and phototransistors are mainly used in the application areas where it is required for
light intensity measurement (linear and logarithmic), optical position detection, light barrier detection,
etc.

Anode Cathode
p n-type

(a)

Emitter Collector
p n p

Does not have base terminal

(b)

Emitter Collector
n p n

(c)

Fig. 5.4 (a) Photodiode; (b) Phototransistor (pnp-type); (c) Phototransistor (npn-type)

5.6 THERMISTORS
Temperature is among the most important parameters to be measured for many automation and
control applications. The common types of temperature transducers in use today are thermal resistors
or thermistors.
A thermistor is a piece of sintered semiconductor material, which exhibits a relatively large change
in resistance proportional to a change in temperature. Usually, thermistor possesses negative
temperature coefficient of resistance, i.e., the resistance of the piece decreases with increase in
temperature. The relationship between resistance and temperature for thermistors is expressed in the
Eq. 5.1.
r( 1t - t1 )
rt = r0 e 0
(5.1)
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Where, rt is resistance in Ohm at temperature t; r0 is the resistance of the thermistor at a reference

temperature t0, r is the property of the semiconductor material.
For precise temperature measurement, thermistors are considered to be versatile, rugged, and cost
effective. High sensitivity, stability, and accuracy, make the thermistors the most popular compared
to other temperature sensing devices. They typically work over a relatively small temperature range
and can produce accurate equivalence. The stability of the thermistor is reflected through a term
which is called drift. The drift is quantified as a change in resistance that occurs at a given exposure
temperature for a certain length of time. The drift increases as the limit of the exposure temperature
and the duration of exposure increases. Adverse exposure degrades the performance of the thermistor.
Thermistors can also be designed from metals. They have positive temperature coefficients of
resistance. These are called Resistance Temperature Detectors (RTD). RTDs are wire wound and
thin film types that work on the physical principle of the temperature coefficient of electrical
resistance of metals. The equivalence is nearly linear over a wide range of temperatures and have
response times in the order of a fraction of a second. They require an electrical current to produce a
voltage drop that can be then calibrated and displayed. The relationship between resistance and
temperature for metal type (RTDs) thermistors are expressed in Eq. 5.2.
rt = r0 (1 + a (t - t0 )) (5.2)
where, rt is the resistance in Ohm at temperature t, r0 is the resistance of the RTD at a reference
temperature t0, a ( 0C –1 ) is temperature coefficient of the material. These transducers are made from
various compositions of the metal oxides of manganese, nickel, cobalt, copper, and/or iron.
Figure 5.5 shows temperature versus resistance curve of typical semiconductor-based thermistors
and TDRs, satisfying the Eq. 5.1 and Eq. 5.2 respectively.
Resistance in kilo ohm Resistance in ohm

10 100
Negative coefficient Positive coefficient
of resistance of resistance

5 Thermistors 50 RTDs

0 100 200 300 400 500 0 100 200 300 400 500
Temperature ° C Temperature ° C
(a) (b)

Fig. 5.5 Temperature-Resistance curve of typical Thermistors and TDRs

Among many configurations, beads, discs, and chips are the most widely used thermistor types,
due to the reason that these configurations are typically more rugged and better to handle mechanical
shock and vibration. Thermistors are manufactured by sintering process. Processing techniques for
the thermistor manufacture consists of the preparation of the metal oxide, milling and blending, heat-
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treatment, addition of electrical contacts, assembly into a device and protective coating. Each
configuration (bead, disc and chip) is produced by a unique method.
Specification of a typical thermistor is 10000 Ohms at 25 °C, with a resistance tolerance of ±15%.

5.7 THERMODEVICES
Specially designed semiconductor diodes and transistors to meet the requirements of the temperature
measurement are individually called thermodiodes and thermotransistors respectively and commonly
called thermodevices. Thermodevices are more sensitive to the temperature variations as compared to
other devices. The characteristic and design features are such that their junctions are more sensitive
to temperature. The principle of operation of thermodevices is based on the fact that if temperature
increases, the thermal energy makes it possible to knock out the hole-electrons pairs from the valence
band of the semiconductor materials. These knocked out charge carriers, acquiring higher energy
then enter into the conduction band constituting current, which in effect affects the junction voltage
of the device. Identical situation occurs at the emitter-base junction of the thermotransistors.
Thermotransistors are more sensitive as compared to thermodiodes, since the output voltage in this
case is the amplified version of the voltage developed at the emitter-base junction. The voltage across
the diode junction is related with the temperature as follows,

V = ln
FG I +1IJ kT (5.3)
HI K q
0

where, I is the current through the diode, I0 is called reverse saturation current, k is Boltzomann
constant (1.38 × 10-23 Joules/Kelvin), T is the temperature in degree Kelvin and q is the charge of the
electron. Temperature sensors are coming as Integrated Circuit (IC), in which thermodevice as well
as signal conditioning circuits such as amplifying circuit and analog-to digital converter circuits have
been built in one component.

5.8 THERMOCOUPLE
A thermocouple is a transducer that is employed for the measurement of temperature. It consists of
two dissimilar metals, joined together at one end, called thermocouple junction. When the temperature
of this junction is different from the temperature of other parts of the metals an EMF (Electro-Motive
Force) is generated as shown in Fig. 5.6. The phenomenon is called Seebeck effect. The EMF
produced is known as Seebeck EMF or simply thermovoltage, Vth. If points ‘a’ and ‘b’ are connected
a current will flow through the circuit. The circuit thus formed is called thermoelectric circuit. The
variation of thermovoltage in response to the temperature variation is measured, calibrated and
interpreted as temperature.
Using only one kind of metal no temperature can be detected. It is evident that when a strip of metal
is heated at one end relative to the other the electrons at this end (hot) will acquire thermal energy. The
electrons from the hot end will diffuse to the other end and get accumulated. In effect, a tiny amount
of electric field is established and a situation will arrive when there will be no net further diffusion.
The developed electrostatic field will make it possible to repel the electrons. Although, there will be no
net flow of electrons across a cross section, however the velocity of electrons on two sides of the
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cross section remains different. The velocity at hotter side is greater as compared to the colder side.
Because of velocity differences a continuous transfer of heat is ensured. This phenomenon is referred
to as thermal conduction, which simply means that a temperature gradient has to be established albeit
there involves no net flow of electron even after equilibrium is set up. Under these circumstances, to
measure the amount of electric field the measuring device must be connected to either side of the
strip. If the measuring device is made up of the same material as that of strip the situation can be
thought of, as if the strip and the measuring device are not two elements, rather a single type thus
establishing a similar temperature gradient in the arrangement. Therefore, under these conditions, no
net EMF would be detected. In fact, to measure the EMF, thermoelectric circuit, at least two different
materials have to be formed making a thermocouple.
Metal A
a
+

Temperature
Junction EMF

−
b
Metal B

Fig. 5.6 A schematic diagram of a typical thermocouple

The relationship between the temperature and the thermovoltage produced is expressed in the
Eq. 5.4. Note that the relationship is not linear.
Vth =a1t + a2 t 2 + a3t 3 +..........+an t n (5.4)
Where, Vth is thermovoltage, t is the temperature to be measured and a s are the thermocouple
coefficients, which depend upon the materials used and are temperature independent. Considering
more number of terms, the above power series can minimize the nonlinearity error. In most cases, the
best result is obtained with tolerable accuracy if approximately five numbers of terms are taken. The
term a 1 is known as Seeback coefficient. Since the coefficients are temperature independent and
material dependent, for best linearity the selection of materials having desirable quality plays important
role. The important factor in determining the materials is that the produced EMF should be linear with
respect to the temperature. Materials having good level of Seebeck coefficient are always preferred.
In practice, the thermocouple circuits are like as shown in Fig. 5.7. There are two junctions J-1
and J-2. Keep in mind that it is impossible to connect the thermocouple to any temperature-measuring
device without constructing another junction. The junction J-1 is the junction responsible for the
measurement of temperature with respect to the junction J-2, which is called cold junction or
reference junction. J-1 is called hot junction. The arrangement is fairly a differential device and the
output is related to the difference in temperature between the hot and the cold junction. The cold
junction is held at a constant temperature. This essentially allows for accurate calibration of the
temperature of the hot junction.
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Display unit

Metal B Metal B
EMF

Thermoelectric
Current
circuit

Metal A

J-1 (Hot junction) J-2 (Cold junction)

Fig. 5.7 Thermoelectric circuit

Fundamentally, any attempt to join any two dissimilar metals express a thermocouple. As expected,
if a thermocouple based temperature sensor is connected with the signal conditioning circuitry, more
or less the entire integrated system forms additional thermocouples along with the main thermocouple,
thus producing additional thermovoltages, which are superimposed onto the base thermovoltage
produced by the main thermocouple. However, it is a fact that the other metals in the circuit have no
effect on the base thermovoltage as long as the temperature of the new junctions (because of
connections) are kept at the same level.
The important parameters to be considered in selecting thermocouples for desired applications are
sensitivity or Seebeck coefficient, temperature range, and resistance to corrosion, vibration and strain.
Alloys are usually used for the construction of thermocouple. Ageing causes variations in the alloy
composition for which the performance deteriorates with time. Another source of error is moisture.
This is the reason why the thermocouples are supplied with the protecting case. Several thermocouple
types have been emerged as standard transducers because of desirable features and qualities in terms
of linearity and sensitivity. Sensitivity is defined as a ratio of voltage to temperature. Table 5.1 provides
information about some of the standardized thermocouple types and their characteristics.

Table 5.1
Standardized designated thermocouples
Sl. No. Designation Composition (terminal) Range Sensitivity
(mV/ 0C)
1 B Platinum30% Rhodium (+), Platinum 6% 1300–1700 3
Rhodium (–)
2 C W5Re Tungsten 5% Rhenium (+), W26Re 1650–2315 –
Tungsten 26% Rhenium (–)
3 E Chromel (+), Constantan (–) –100–900 64
4 J Iron (+), Constantan (–) –150–800 52

Contd.
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Sl. No. Designation Composition (terminal) Range Sensitivity

(mV/ 0C)
5 K Chromel (+), Alumel (–) –200-1200 40
6 N Nicrosil (+), Nisil (–) 500-1300 29
7 R Platinum 13% Rhodium (+), Platinum (–) 0-1500 6
8 S Platinum 10% Rhodium (+), Platinum (–) 500-1400 6
9 T Copper (+), Constantan (–) –200-350 44

5.9 INDUCTIVE TRANSDUCERS

The inductive pick-up type transducers are mainly used for displacement or position measurement.
An immediate example of inductive pick-up based transducers is LVDT (Linear Variable Differential
Transformer). LVDTs are similar to transformers. The operation uses two transformers sharing a
common core and primary winding. The LVDT provides an AC output voltage signal, which is
proportional to the displacement of its magnetic core passing through the windings. It has one primary
coil, two secondary coils, and a ferrite core as shown in the Fig. 5.8.
To oscillator

Primary coil

Movement Ferrite core

Secondary coil-1 Secondary coil-2

Output

Fig. 5.8 The LVDT connections

The principle of operation of LVDT is as follows. Notice the connections of the two secondary
coils. They are connected in opposit to each other. The two secondary coils are essentially placed
symmetrically on either side of a primary coil. The connection is such that the outputs of the two
secondary coils are being added together simply by connecting the secondary coils at a common
central point. From an oscillator, an AC current or voltage is applied in the primary coil. The AC
current in the primary coil provides a varying magnetic field around the core. The two secondary coils
have been connected in such a way that when the core is at center position, an equal voltage signal is
induced in both the coils. The central position is called ‘electrical zero position’ (EZP). Since, the two
secondary coils are connected opposite to each other, in the central position the outputs of the two
secondary coils cancel out each other, resulting zero voltage.
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Fig. 5.9 Relative voltage signals with respect to electrical zero position

When the core is moved or displaced right or left, the number of turns in the secondary coil
exposed to the primary coil changes. Thus, any movement of the core causes the mutual inductance
of each secondary coil to vary relative to the primary. The variations of mutual inductances of each
coil, in effect, induce varied relative voltages in the secondary coils. Since, the two secondary
windings are connected in opposition, as the core moves, the output of one increases while the other
decreases. For instance, as the core moves towards left, the situation is that (Refer Fig. 5.9; Situation-
B) the sum has induced voltage signal that favours Secondary-1. Bear in mind that the phase of this
induced signal is same as that of the excitation voltage applied at the primary coil. In another situation,
as the core moves towards right (Refer Fig. 5.9; Situation-C) the sum favours Secondary-2. This
time, however, the phase of the sum is opposite to that of primary. The amplitude of the sum depends
on the relative position of the core with respect to EZP. The magnitude of the output of the transducer
increases irrespective of the direction of movement from the central position.
Depending upon which half of the coil the centre of the core is in, the phase can be either in or out
with the excitation. In order to know in which half of the LVDT the core is present at the moment the
phase of the output must be considered along with the magnitude. It is therefore required to compare
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the phase of the output voltage signal with the phase of the primary excitation signal. The detection of
phase is achieved through electronic circuits.
The voltage of the induced signal in the secondary coil is linearly related to the number of coils. The
basic relation is:
V0 N
= 0 (5.5)
Vin Nin
Where, V0, Vin, N0 and Nin are output voltage, input voltage, number of turns in output windings
and number of turns in input winding respectively.
These LVDTs can be calibrated by varying the position of the core and measuring the
corresponding output voltages. The representation of equivalent displacement of corresponding
voltage signal is called calibration. A calibration constant has to be determined and applied to arrive at
the position unit.
The main advantage of the LVDT transducer over other types of displacement transducer is their
high degree of linearity and robustness. This is from the fact that there is no physical contact across
the sensing element and so there is zero wears in the sensing element. The LVDT principle of
measurement is based on magnetic transfer. The magnetic transfer based systems inherit high
accuracy and resolution. Suitable signal conditioning and electronics can detect the smallest fraction
of the movement.
The applications are mostly found in automotive industry, machine building industry, pneumatic
and hydraulic cylinders, servo control systems, wood and paper industry, process control,
automation, electronic industry, custom made machine building industry and research laboratories.
Typical LVDT specification has been provided in Table 5.2.

Table 5.2
Typical LVDT Specification
Specification Typical Values
Range ±1 mm up to ±100 mm
Output 0...10 V, 0...5 V, 4...20 mA, 0...20 mA...
Linearity ± 0.3% / ± 0.2%
Resolution Approximately 0.01% of full range
Types plain core, core with extension, sprung loaded core
Housing ø 12 mm, stainless steel/steel nickel-plated
Temperature – 30... +120°C (150°C optional)
Shock 1000 g (10 ms)
Vibration 2 kHz

5.10 CAPACITIVE TRANSDUCERS

Basically, the geometrical dimensions as well as the property of the dielectric material of a parallel
plate type capacitor are exploited to quantify many types of measurands. The principle of capacitive
transducer is based on the change of distance, area and/or the permittivity. The basic equation
governing the principle of operation is expressed as follows.
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Transducers and Sensors

er e0 A
C= (5.6)
d
Where, d is the distance, A is the area, e r is the relative permittivity of the dielectric material
between the plates and e0 is the permittivity of the free space (The value is 8.854 * 10E-12 Farad/
Meter). The distance and overlapping area can be changed either by the movement of one of the plate
relative to other. The capacitance can also be varied by displacing the dielectric material in between
them. Figure 5.10 illustrates three ways of measuring the measurands. In Fig. 5.8 (a) the distance
between the plates has been displaced in accordance with the input measurand. Figure 5.10 (b) and
Fig. 5.10 (c) shows different situations, where one of the plate and the dielectric material have been
displaced respectively.
‘d’ changes wrt Plate displaced by
measurand the measurand Dielectric material moves

d A A

(a) (b) (c)

Fig. 5.10 Principle of operation of capacitive transducers

Capacitive transducers are non-contact type for which accuracy and resolution are high. However,
because of appearance of parasitic capacitances from the cable and the environmental effects such as
moisture, pressure, vibration, dust, etc. the performance is likely to degrade. The manufacturers of
capacitive sensors take care of these very important factors while packing the sensor. The capacitive
transducers are employed for the measurement of audio signal, acceleration, displacement, flow,
force, level, pressure, relative humidity, strain, thickness, velocity, etc.

5.11 PYROELECTRIC TRANSDUCERS

Pyroelectricity is a temperature dependent electrical polarization phenomenon. The polarization
phenomenon within the material explains that below a temperature known as the Curie point,
crystalline material or ferroelectric materials such as lithium tantalate, exhibit a large spontaneous
electrical polarization in response to a temperature change.
Materials, which possess this property, are called pyroelectric material. Pyroelectric transducer
uses pyroelectric material. The change in polarization is observed as an electrical voltage signal if
electrodes are placed on opposite faces of a thin slice of the material. The design can be thought of as
a typical form of a capacitor. A voltage crops up between the electrodes in response to temperature
change.
Mostly, the pyroelectric transducers are used for radiation detection. The detector output depends
on the amount of radiation hitting the active region of the detector. The detector converts incident
radiation into heat, thereby raising the temperature of the detector element. This change in temperature
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is converted to an electrical voltage signal that are amplified through signal conditioning circuitry.
These transducers are used as ball bearing failure detector, intrusion detector, transient heating
studies, gas flow monitors and so on. The detection of intrusion is based on the human body’s infra-
red emissivity.

5.12 PIEZOELECTRIC TRANSDUCER

There exist some permanently polarized crystaline materials, if their dimensions are changed as a
result of mechanical force, electric charges proportional to the imposed force are accumulated on the
surface upon which the force is imposed. Refer Fig. 5.11. The overall crystal remains electrically
neutral, but displacement of charge centre results. The phenomenon is known as the piezoelectric
effect or piezoelectricity, which was originally studied by Pierre and Jacques Curie in 1880. The
materials characterizing this property are referred to as piezoelectric materials. The Greek word
‘piezo’ means pressure. The property is exploited to measure many physical parameters such as
force, pressure, strain, torque, acceleration, sound, vibration, etc.
Force / pressure

+++++++++
Accumulation of
charge at the surface

Fig. 5.11 Piezoelectric effect (piezoelectricity)

The relationship between the applied force and the charge accumulated is given in the Eq. 5.7.
Q = cF (5.7)
where, F is the applied force, Q is the accumulated charge and c is the piezoelectric constant. The
piezoelectric constant is not actually a constant; rather the value depends on the orientation and the
mode of operation. Orientation and mode of operation refers to as
Orientation : By which the transducers are cut from the original crystal.
Mode : The way by which the stress is applied.
Piezoelectric transducers are cut from the crystal slabs or plates in a specific orientation with
respect to the crystal axes depending on the application requirement. There are mainly four types of
cuts, namely;
· Longitudinal cut
· Transverse cut
· Shear cut
· Polystable cut
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The shear cut is commonly used for force and acceleration measurement where as polystable cut
based transducers are employed for pressure measurement, within high temperature environment.
Various modes of operation are bend, shear and compression. The charge in a piezoelectric transducer
is therefore proportional to the piezoelectric constant of the material and to the stretched or squeezed
force. When in operation the piezoelectric transducer can be thought of as a parallel plate capacitor,
which is shown in Fig. 5.12.
Force

+ + + + + + + +
t = thickness

A = area

Fig. 5.12 Piezoelectric capacitance

The value of the capacitance is given by,

er e0 A
Cp = (5.8)
t
Where, Cp is called piezoelectric capacitance. A is the area, t is the thickness of the transducer, e r
is the relative permittivity of the piezoelectric material and e 0 is the permittivity of the free space (The
value is 8.854*10E-12 farad/m). The capacitance can be expressed in terms of charge accumulated
per unit voltage as expressed in Eq. 5.9.
Q
Cp = (5.9)
V
where, V is the potential difference between the plates. Now from the Eqs (5.7), (5.8) and (5.9), we
can write,
V = kF (5.10)
ct
where, k = .
Ae r e 0
Thus, from Eq. 5.10, one can note that the voltage is proportional to the imposed force. The
potential difference, V is very weak. Usually, the voltage is amplified by using an amplifier. The
amplifier used for this purpose is referred to as charge amplifier due to the reasons that the
accumulation of the charge effectively appeared as a difference in the potential across the material.
Figure 5.13 shows an equivalent circuit of a piezoelectric transducer coupled with charge amplifier.
The circuit can be considered as a piezoelectric sensor.
There are four sections; the transducer, the cable, the charge amplifier and the display unit. Rp, Rc
and R f are called leakage resistance, cable resistance and feedback resistance (also called time
constant register) respectively. Cc and Cf are cable capacitance and feedback capacitance respectively.
A is the open loop voltage gain of the charge amplifier.
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Mechatronics: Principles, Concepts and Applications

Cf

Rf

−A Calibration
Cp Rp Cc Rc
and display

Transducer Cable Charge amplifier

Fig. 5.13 The piezoelectric transducer coupled with charge amplifier

Some of the piezoelectric materials are ammonium dihydrogen phosphate, barium titanate, lead
betaniobate, lithium sulphate, polyvinylidine fluoride (PVDF), Rochelle salt, tormaline, quartz and
zirconate titanate.

5.13 HALL-EFFECT TRANSDUCER

The principle of operation of Hall effect transducers is as follows. If a metal carrying a current is
placed near the magnetic field in a proper manner, the charge carriers in the metal experience a force.
As a result of which the charge carriers are forced to get themselves displaced. The phenomenon is
called Hall effect, which was originally discovered by E.R Hall in 1879. The whole thing is illustrated
in the Fig. 5.14. The direction of the displacement depends on the direction of current and the
magnetic field. For optimum benefit essentially, the direction of the current and the direction of the
magnetic field is kept perpendicular to each other. Under this condition (i.e. if the current and
magnetic fields are perpendicular to each other), the displacement of electrons will take place towards
the lower surface of the metal bar and a same amount of positive charge will appear on the upper
surface. The accumulated charge carriers create an electrostatic field or potential difference across
the edges at right angles to the current flow. The voltage so produced is called Hall voltage.
Mathematically, the electrostatic field, x so developed can be expressed as,
x = vd B (5.11)
In which,
v d = J / nq = I / nqA .
vd is called the drift velocity
B is the magnetic field
q is the charge of electron (1.602 ´ 10–19 Coulomb)
n is the number of electrons displaced
J is the current density
A is the cross sectional area of the metal along the vertical axis
I is the current.
The relationship between the electric field and the Hall voltage can also be written as,
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B = Magnetic field

t = thickness
Hall induced
electric field
++++++++++++++++

I = Current

+ Vh

Fig. 5.14 Hall effect

V h =x h (5.12)
Where, h is the height of the metal bar. From Eqs. (5.11) and (5.12), we have,
IBh IB
V h = vd Bh = = Hc (5.13)
nqA t
Hc =1 / nq called Hall coefficient. The coefficient is negative for n-type semiconductor; see
Table 5.3. t = A / h , the thickness of the metal bar.
From Eq. 5.13, one can observe that the Hall voltage is proportional to the current and the magnetic
field. If the current is deliberately made constant (usually 10-50 mA) the Hall voltage is proportional to
the magnetic field. Either the current or the magnetic field can be measured by using Hall effect
transducers.

Table 5.3
Hall coefficient of some materials
n-type material Hall coefficient
Bismuth –5*10E-7
Copper –5.33*10E-11
Germanium –3.5*10E-2
Indium antimonide –6*10E-4
Silicon –1.0*10E-2

Hall effect is pragmatic in all metals, but for the fabrication of the transducers, n-type
semiconductor materials are preferred due to the reasons that a controllable amount of charge carriers
can be doped into the semiconductor material determining the application domain of the transducer.
Typically, Hall voltage is a very weak signal, in the order of few microvolts for a magnetic field of
one gauss. Therefore, proper electronic circuits are integrated with the transducer. Typical
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specifications are the power supply, temperature range, operating frequency and air gap. The magnetic
field could either be positive or negative, if it is employed for the measurement of current. Hall sensors
are used in automotive, automation and control, robotics, valves, computers, motor commutation,
security systems where essentially direction sensing, position detection, flow-rate detection, angular
movement, length measurement, current sensing etc. are desired.
Magnetodiodes and magnetotransistors are recently developed two semiconductor devices used
for detecting the magnetic field. The magnetodiodes use the effect of magnetoconcentration
phenomenon. Magnetoconcentration is the concetration gradient of the carrier perpendicular to the
magnetic vector and the current direction. On the other hand, the collector current of the
magnetotransistors is modulated by the presence of magnetic field.
In electrical machines, some faults can be detected by measuring the currents or voltages in the
machine windings. The magnetic field created near electrical machines changes when faults occur
and therefore using such transducers to measure flux can also aid in condition monitoring.

5.14 IONISATION TRANSDUCERS

Ionisation transducers are mainly used for the measurement of vacuum. Pressure and vacuum are
considered as synonyms, however, the word ‘vacuum’ is used conveniently for low pressure usually
below atmospheric pressure, i.e., below 760 torr. Many automation applications require vacuum
chambers with low pressure. To design such chambers or tubes, it becomes necessary to measure
the vacuumness at the time of their manufacturing. In some other applications such as nuclear
industry, on line measurement of vacuum of installed chambers is also of paramount importance.
Ionisation transducer solves the purpose.
The principle of ionization transducer is based on the measurement of number of ions deliberately
generated from the gas molecules present within the transducer chamber. Refer Fig. 5.15. The
transducer has two electrodes called anode and cathode. The other terminal, called grid terminal is
located in between the anode and the cathode. The anode is negative and the grid terminal is positive.

Fig. 5.15 Ionization transducer

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When the cathode is heated by means of cathode source, the electrons are emitted and are
accelerated towards positive grid terminal. Because of the difference in their kinetic energies, all
electrons are not being collected by the grid terminal. Some of the electrons move towards the anode
plate and exert repulsive force since the plate is negative. As a consequence, they oscillate in between
the grid and the anode plate. During the process of oscillation they collide with the gas molecules
producing positive ions, which are then attracted by the anode plate, and constitute anode current,
Ianode. The number of positive ions thus formed is proportional to the gas pressure (vacuumness) and
the number of electrons emitted from the cathode. If the number of electrons released from the
cathode, and the biasing grid current is held constant, then the anode current can be a measure of
vacuum. Following relationship holds good in case of ionization transducer.
Ianode =Sit × Igrid ×Q (5.14)
Where, Ianode is the anode current, Igrid is the grid current, Q is the vacuum or pressure, and Sit is
the sensitivity of the ionization transducer. The sensitivity depends on the geometry of the transducer
chamber and the type of gas present in it.

5.15 LIGHT EMITTING DIODE

Light Emitting Diodes (LED) are special junction diodes made up of semiconductor material that emit
light when connected in a circuit containing a voltage source. As obvious, the diode has a junction
which is developed by n-type and p-type semiconductor materials. When sufficient voltage is applied
across the junction in forward direction, electrons move across the junction from n-side to p-side.
Electrons from the n-side acquire sufficient energy to move across the junction into the p-side. In the
p-side there are many holes positive than electrons. Once they arrive at the p-side the electrons are
immediately attracted towards the holes due to the mutual Coulomb forces of attraction. When an
electron moves sufficiently close to a hole, the two charges recombine. The recombination process
releases electromagnetic energy. For each recombination of a hole-electron pair a quantum of
electromagnetic energy is emitted in the form of a photon of visible light with a frequency that
depends upon the characteristics of the semiconductor material. For instance, by depositing a layer of
indium tin oxide, a transparent n-type semiconductor, onto the surface of porous silicon samples
produced by the anodic etching of crystalline p-type Si wafers, with forward bias applied stable red-
to-orange light is visible to the naked eye.
In summary, the LEDs are capable of converting a flow of electrons into light (Fig. 5.16). LEDs
are found in many applications areas including fiber optic data transmission, automation and control
applications, computers, monitor, printer, modem, CD-ROM drive, and hard drive as indicator. They
are also used as light source and optoisolator (Optoisolator allows signals to be transferred between
circuits or systems, while keeping those circuits or systems electrically isolated from each other.
Optoisolators are used in a wide variety of communications, control, and monitoring applications).
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Light

Anode Cathode
p-side n-side

Forward-biased

+ −
V

Fig. 5.16 A Light Emitting Diode (LED)

5.16 OPTICAL ENCODER

Very often, it is required to detect the position, velocity, acceleration and direction of movement of
rotors, shafts, pistons of the actuating devices such as rotary machines and translational systems.
This is achieved by the use of optical encoders. The optical encoder is a device, which provides
encoded pulsed signals in response to the movement. Continuous optical signals are modulated
(coded) by the use of a specially designed rotating disk containing code patterns called ‘track’. The
pattern or track on the disk consists of alternate appearance of opaque and transparent segment and
the pattern is circular. Basically, two types of encoders, such as incremental encoder and absolute
encoder exist.

5.16.1 Incremental Encoder

Figure 5.17 illustrates the schematic diagram of an incremental encoder. The important element in the
encoder is the circular disk that contains alternative evenly spaced opaque and transparent segments
over a circle. A light source is located on one side of the disk and a photodetecting device
(photodetector) is placed on the other side of the disk as shown in the figure. Light Emitting Diode
(LED) is used as the light source that provides continuous light signal. A photodiode or phototransistor
is commonly used as the light detector, which is placed at the other side of the disk. The line of action
of the light source, the circular pattern and the photodetector must match with each other. Light
signals can be received if the transparent segment of the pattern is in between the light source and the
photodetector. Conversely, the detector receives no light signal if opaque segment of the pattern is
moved. Under this design criteria, if the disc is made to rotate, the photodetector will receive pulsed
light signal for every time it sees the light source, i.e. the LED.
In the real application the disc is rigidly fixed with the rotor or shaft of the rotating element. The
evenly spaced transparent radial lines on its surface, rotates past the light source. The output is taken
from the photodetector. The number of pulses determines the position of the disk and the number of
pulses per second measures the velocity of the disk. Thus, the basic principle of incremental rotary
optical encoders is derived from the fact that the output signals are obtained by an electronic counter
in which the measured value is derived by counting the ‘increments’.
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Optical signal converted

to electrical signal by
the photodetector
Output of the
photodetector

Time
Opaque LED (light source)

Line of action
Photodetector

Transparent Rotary machine shaft

Opaque

Patterned disk
Disk

Fig. 5.17 Optical encoder for measurement of position and speed the rotary systems

To know the direction of rotation or movement of a rotor, shaft or even a piston there must be a
provision of another circular opaque and transparent pattern as shown in the Fig. 5.18 (a). The pulsed
light signal generated by utilizing the two patterns are usually called Channel-A signal and Channel-B
signal. The relative angular placements of transparent segments of these two patterns are such that
the outputs of the two photodetectors are like as shown in Fig. 5.18 (c). In order to make it more clear
an equivalent of the relative angular placements of two patterns have been shown in the Fig. 5.18 (b).
As you can see (Fig. 5.18 (c)) the phase difference between the two signals is 90 degrees electrical.
Such signals together are referred to as ‘quadrature square-waves’, which means that two square-
waves that are phase-shifted with respect to each other by 90 degrees electrical, or one-quarter of a
cycle. For this reason some manufacturers assign the name of such type of encoder as quadrature
incremental optical encoder. The phase relationship parameter, offset by 90 degrees electrical,
determines the direction. If Channel-A leads Channel-B, then the direction of movement is clockwise
direction, and vice versa.
The number of transparent segments on the disk determines the resolution of the encoder. More
the number of transparent segments more accurate position (angular) information can be obtained.
Therefore, it is preferred to have higher number of transparent segments within the pattern for better
resolution.
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Light source-1 Detector-1

Light source-2 Detector-2

Disk with two

concentric
patterns

Pattern-2

Pattern-1

(a)
Opaque Transparent

Pattern-1

Pattern-2

(b)

Channel-A (Detector-1)
Clockwise rotation
Channel-B (Detector-2)

Channel-A (Detector-1)

Anti-clockwise rotation Channel-B (Detector-2)

90°
One cycle

(c)

Fig. 5.18 (a) Quadrature incremental optical encoder with two patterns (b) Relative
angular placements of two patterns (c) The quadrature output of two
photodetectors
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5.16.2 Absolute Optical Encoder

Absolute rotary optical encoder also provides angular position and velocity value, which is derived
from the pattern of the coded disc, but under a different scheme. These are a bit complex type but
more capable than incremental ones. The principle of operation is that they provide a unique output for
every position. The coded disk consists of a number of concentric patterns of opaque and transparent
segments. The concentric patterns are called tracks. Figure 5.19 shows a typical disc of an absolute
encoder having only four numbers of tracks. However, typical encoders have usually 8 to 14 numbers
of tracks. The number of track determines the resolution of the encoder. Each track has its own
photodetector. Notice the length of the transparent segment of each track. The length of the
transparent segments of the track towards the center of the disk increases in a specific order to
satisfy the binary coding technique. This encoder can detect 16 positions, obviously for a single
rotation. If the number of tracks are 12 then the encoder will be able to detect 212 = 4096 positions for
the same rotation.
In practice, binary patterned coding techniques are usually not employed. The most preferred
coding technique used in absolute encoder is ‘gray’ coding due to the reasons that gray codes are
reliable and are considered as versatile error detecting codes.
0100 0101
0011 0110

Track-1 0010 0111

Track-2
0001 1000
Track-3

Track-4 0000 1001

1111 1010

1110 1011
Transparent
1101 1100

Fig. 5.19 A binary conformant coded disk for the absolute encoder

In order to understand how gray code is more reliable over normal binary coding scheme, refer any
text related to ‘error detecting codes’. As a hint, note the difference between the binary code and gray
code bit patterns of their corresponding decimal number presented in the Fig. 5.20. What you see here
in these two types of coding schemes are that in gray code only one bit change occurs while moving
to the next number (For verification compare gray code of decimal number 5 and 6 and so on). This
particular effect is not found in the binary codes. This one bit change, enabling us to distinguish the
previous or next value (the position of the disk really) is important from the point of view that at least
we have some detrimental information that the next value would be changed with only one bit (Refer
Chapter 4). The transparent segments of the tracks are thus gray code conformant. The great merit of
the absolute encoder is that if the power fails the exact position of the rotating disk can be known.
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Binary pattern Gray pattern

Track-1

Track-2

Track-3

Track-4

Track-1

Track-2

Track-3

Track-4

Opaque segment

Transparent segment

Fig. 5.20 Gray code pattern

5.17 BIMETALLIC STRIP

Bimetallic strips are used for the measurement of temperature. Two strips of metals are fused together
to form a single rigid structure, as shown in the Fig. 5.21 (a). The two metals that form the strip,
essentially have different temperature coefficients of expansion, a. One end of the strip is rigidly
fixed. When heated, the metal having higher value of a expands more than the other, thus making the
strip bend towards the metal with the lower coefficient of expansion. The amount of bending q or d is
proportional to the temperature to be measured.
q = clT
where, c is a constant called sensitivity of the bimetallic strip in radians per metre/°C, l is the length of
the strip, T being the temperature. To improve sensitivity, spiral type bimetallic strips of various
structures are designed. Two such design schematics are shown in the Fig. 5.21 (b) and (c).
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Free end
Metal with higher coefficient
of expansion

q d

Metal with lower coefficient

of expansion
(a)

q
d

Free end Free end

Metal with higher Metal with lower

coefficient of coefficient of
expansion expansion

Fixed end Fixed end

Before heating Effect after heating

(b)

d
(c)

Fig. 5.21 (a) Bimetallic transducer (b) Spiral type bimetallic strip (c) Helical or spiral
bimetallic strip

5.18 BOURDON TUBE

Pressure transducers that use a bend tube are commonly called Bourdon tube. In 1849 Eugene
Bourdon patented the Bourdon tube pressure gauge in France. It is one of the most widely used
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instruments for measuring the pressure of liquids and gases of all kinds, including steam, water, and
air. Bourdon tubes are ‘C’ structured tubes (Fig. 5.22) and they work on similar principle as that of
bimetallic strips. The angular or linear displacement is proportional to the applied pressure (In case of
bimetallic strip the displacement is proportional to the temperature). One end of the tube is fixed and
connected to the pressure source where as other end is made free and closed. A marker or needle is
mounted at this free end. As pressure rises, the C-structured tube moves the needle providing an
equivalence that has to be calibrated. Either q or d (Fig. 5.22) can be measured and calibrated to
quantify the pressure. Thicker bourdon tubes are chosen for high pressure measurement.

Pressure

Fig. 5.22 A Bourdon tube for the measurement of pressure

5.19 STRAIN-GAUGE
Strain-gauges are resistive pick-up type transducers. The resistance of the gauge changes in
accordance with the input measurand. The strain gauge consists of metallic filament (a resistor) of
approximately 0.03 mm thickness, which is bonded or pasted directly to the strained surface by a thin
layer of epoxy resin. When a load is applied to the surface, resulting change in surface length, hence
the strain (Strain is defined as a ratio of change in length to the original length.) is communicated to
the metallic filament (Fig. 5.23) and the corresponding strain is measured in terms of the electrical
resistance of the filament, which varies linearly with strain. The gauge may be designed in the form of
wire or thin-flat surface (Fig. 5.23).
Metal or semiconductor wire

Connecting
terminal-1

Connecting
terminal-2

Wire type strain gauge Flatted strain gauge

Fig. 5.23 Strain gauges showing filaments

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The equation governing the strain and resistance is expressed in Eq. 5.15.
Dr
=g X (5.15)
r
where, Dr is the change in resistance, r is resistance without pressure or load, X is the strain to be
measured and g is sensitivity of the strain gauge, called gauge factor.
Strain gauges are used for the measurement of displacement, pressure, load or force, torque and
strain. The gauge may be designed in the form of wire or thin-flat surface. Metal or semiconductor
materials can be used for fabricating the strain gauge, hence the name metal strain gauge or
semiconductor strain gauge. The strain gauge sometimes is attached to a mechanical structure as
shown in the Fig. 5.24. The output terminals are connected to a bridge circuit (Refer Chapter 6) in
order to measure and calibrate the measurands.
Force, load, pressure
or displacement Force, load, pressure
Force, load, pressure or displacement
or displacement

Fixed end
Terminal-1 Terminal-2
Strain
Strain gauge gauge

Lever-type mechanical structure Circular/elliptical S-shaped mechanical structure

mechanical structure

Fig. 5.24 Measurement of displacement, force, etc. using strain gauge

5.20 LOAD CELL

Load cells are transducers intended for the measurement of high values of pressure, load and force.
Load cell designs are categorized based on the type of output signals they generate. The outputs are
pneumatic, hydraulic or electric. Because of linearity and size electric load cells are dominating the
hydraulic and pneumatic type load cells. Electric load cells are either use inductive material,
magnetostrictive transducer or a resistive material. The inductive type load cell respond to the weight
proportional to the displacement of a ferromagnetic core built into it. The change in the inductance of
a solenoid coil is achieved by the movement of its core. Such type of load cells are referred to as
inductive pick-up type transducers. Magnetostrictive load cells involve the change in permeability of
the ferromagnetic materials under applied load or force. A stack of laminations are placed around the
primary and secondary transformer windings. When load is applied on the lamination stack, the
stresses cause distortions in the magnetic flux pattern. In effect, this generates an equivalence
electrical signal proportional to the applied load. Resistive load cells, on the other hand, use resistive
materials like strain gauges. When load is applied, the strain changes the electrical resistance of the
gauges in proportion to the load.
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The principle of operation of strain gauge has been described in the previous section. The resistive
load cell design however, uses at least four strain gauges, which are adhered to a cylindrical tube as
shown in the Fig. 5.25. Four strain gauges are used to obtain higher sensitivity. Two of the gauges are
usually subjected to tension, and other two experience compression. The great advantage of strain
gauge based load cell is that the effect of temperature (the resistance of the strain gauge varies with
the temperature as well) can be compensated using electronic circuitry.
Force, load, pressure

Tension strain gauge Tension strain gauge

Compression strain gauge

Fig. 5.25 A strain gauge based load cell

5.21 DIAPHRAGMS
Diaphragms are thin circular plates broadly used for the measurement of both low and high values of
pressure, force or load. The principle is based on deflection (Refer Fig. 5.26). The displacement ‘d ’
is proportional to the applied pressure, force or load. Mostly the pneumatic and fluid applications use
diaphragms. The deflection can be written as follows.
cr 2 F
d= = kF (5.16)
t3
Here, k = cr 2 / t 3 ; F is the applied force, r and t are radius and thickness of the diaphragm
respectively, c is a constant which depends on Poisson’ ratio and Young’s modulus of the material,
from which the diaphragm has been made up.
Pressure, force or load

Diaphragm

Fig. 5.26 Diaphragm

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k in the Eq. 5.16 can be defined as sensitivity of the transducer. In order to improve the sensitivity,
corrugated diaphragms, shown in Fig. 5.27 are designed. These are called capsules and bellows.
Bellows have more sensitivity than the capsules, although their application domains vary. The materials
used for diaphragms are nickel, phosphor and stainless steel. In many pressure sensors, strain gauges
are mounted on the diaphragm. These are called strain gauge based electrical output pressure
transducers. The change in pressure is related to the strain in the diaphragm. Sometimes the diaphragm
itself is made up of semiconductor and the strain gauge is doped within the diaphragm at the time of
manufacturing. Such types of transducers are intended for the measurement of absolute pressure
(pressure with respect to vacuum).
Pressure, force of load Pressure, force or load

Corrugated Corrugated
diaphragm diaphragm

Deflection, d

Deflection, d

Corrugated
diaphragm (a) Capsule

(b) Bellows

Fig. 5.27 Capsule and bellows for pressure measurement

5.22 MECHANICAL SWITCHES

Mechanical switches called microswitches, are on-off type devices. These are considered to be very
important sensing elements, mainly used in robotics, NC machines, material handling systems,
assembly lines etc., in order to sense the end points, arrival of the object, presence of work piece, end
of task, etc.
Manually operated, push-button switches can also be considered as the sensor device under the
category of mechanical switch. Figure 5.28 shows a typical roller type switch integrated with a
conveyor-based material handling system. It detects the arrival of the object.
The switches can fail to give correct responses if their alignment is incorrect or if the actuating
lever is bent/damaged. Also dirt and foreign matter between switch contacts is a common source of
incorrect functioning.
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Object
holders

Movement
Switch
roller

Output

Switch

Conveyor

Fig. 5.28 A typical roller-based mechanical switch engaged for the detection of arrival of
object within a conveyor-based material handling system

5.23 FLOW TRANSDUCERS

Mostly Bernoulli’s principle (which has been established by Daniel Bernoulli during first quarter of the
18th century) is used for the measurement of fluid flow. Bernoulli’s equation is based on equation of
continuity, which states that fluid flowing in a tube of varying cross section, the mass flow rate is the
same everywhere in the tube. Thus, if the pipe is deliberately made narrower at one spot than along the
rest of the pipe and then continuity equation is applied, one can find that the velocity of the fluid
becomes greater in the narrow section, resulting a pressure difference at this spot. The differential
pressure P1 – P2 is treated as a measure of mass flow rate.

Liquid flow

P1
P2

Fig. 5.29 Flow rate measurement based on Bernoulli’s principle

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Transducers and Sensors

Orifice meters are used to determine a liquid or gas flow rate by measuring the differential pressure
(P1 – P2) across the orifice plate. Orifice plate is just a circular plate; typically diameters vary
depending upon the diameter of the pipe, installed in a straight run of pipe. It contains a hole smaller
than the pipe diameter. The flow squeezes, experiences a pressure drop, and then the differential
pressure is measured which is related to a flow. Venturi meters uses the same principle but special is
that some advanced design specifications are used in order to minimize the heat loss. Advanced flow
measurement technique uses various principles within the sensors. Most common flowmeters are
ultrasonic, magnetic, turbine meter, and Coriolis.
Ultrasonic flowmeter measures flow by detecting the frequency with an ultrasonic sensor. The
fluid velocity alters the transit time of an acoustic signal along a known path. By measuring the transit
times of signals sent in both directions along a diagonal path, the average path velocity can be
calculated. Then, knowing the path angle with respect to the direction of flow, the average axial
velocity can be computed.
In a magnetic flowmeter, the pipe is lined with a nonconducting material and two electrodes are
mounted with the non-conducting wall. Electromagnetic coils surround the flow path with a uniform
magnetic field. The voltage produced is directly proportional to the velocity of the fluid. This in turn
leads to measure the flow rate.
Turbine meters are displacement flow-measuring devices. A rotor is placed in the flow path. The
rotor is magnetically coupled so that each rotation produces a pulse. The speed of the rotor is
proportional to the velocity of the fluid.
The Coriolis meter uses a sine wave voltage, applied to a drive system, which produces an
oscillation of the tube carrying fluid. The amplitude of vibration is related to the mass flow and the
frequency is related to the density of the liquid.

5.24 FIBRE OPTIC TRANSDUCERS

Fibre optic transducers (FOT) are simply the optical fibres. The optical fibres are considered a
relatively new method for the measurement of many parameters, such as the intensity of light,
pressure-force-load, strain, temperature, level, velocity, magnetic field to name a few. The manner
the fibre takes part in designing FOT can be resolved into two categories; intrinsic and extrinsic.
When the fibre itself becomes the transducer and provides equivalence, then it is referred to as
intrinsic transducer. On the other hand when the fibre integrated with another transducer is used as a
means of transferring light signal then it is referred to as extrinsic transducer. In some other situation
the fibre itself does both the jobs. As an example, consider the Fig. 5.30, which is a schematic
diagram of a FOT that can measure pressure, force or load.
On either side of an optical fibre, two sets of specially arranged cylindrical metal rods are rigidly
fixed on two opposite plates, placed in a face-to-face manner. A light source (LED) is located at one
end of the fibre and a photodetector (Photodiode or phototransistor) is placed at the other end. When
a load is applied, the straight fibre becomes curved one as shown in the Fig. 5.30 (b), decreasing the
intensity of light at the detecting end. The intensity of light can be calibrated to measure the applied
load. In this situation the optical fibre serves as a transducer as well as a means of transferring the
optical signal.
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Plate
Optical fibre
LED (light source) Photodetector

Metal rods
(a)

Load, pressure, force

(b)

Fig. 5.30 A typical schematic diagram of Optical Fibre Transducer for the measurement
of load

The isolation feature of the fibre potentially makes it suitable for use as a sensor. The optical fibres
are immune to many kinds of external noise, electromagnetic interferences, cross-talk, aliasing,
atmospheric disturbances, vibration, and so on.

· Transducers are the basic elements that convert or transform one form of energy to another
form.
· Transducers are the physical element, which is a part of a sensor.
· Transducers are classified, based on whether they produce passive or active equivalence.
· Photoelectric transducers employs the principle of photoelectric effect.
· A thermistor is a piece of sintered semiconductor material, which exhibits a relatively large
change in resistance proportional to a change in temperature.
· Semiconductor based thermisters have negative temperature coefficients of resistance.
· Specially designed semiconductor diodes and transistors to meet the requirements of the tem-
perature measurement are individually called thermodiodes and thermotransistros respectively
and commonly called thermodevices.
· A thermocouple is a transducer that is employed for the measurement of temperature. The
variation of thermovoltage in response to the temperature variation is measured, calibrated and
interpreted as temperature.
· Any attempt to join any two dissimilar metals express a thermocouple. Alloys are usually used
for the construction of thermocouple.
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Transducers and Sensors

· An inductive pick-up based transducers is LVDT (Linear Variable Differential Transformer).

· The main advantage of the LVDT transducer over other types of displacement transducer is
their high degree of linearity and robustness.
· The principle of capacitive transducer is based on the change of distance, area and/or the
permittivity.
· Capacitive transducers are non-contact type for which accuracy and resolution are high.
· Pyroelectricity is a temperature dependent electrical polarization phenomenon. The polarization
phenomenon within the material explains that below a temperature known as the Curie point,
crystalline material or ferroelectric materials exhibit a large spontaneous electrical polarization
in response to a temperature change.
· The property piezoelectricity of the piezoelectric material can be exploited to measure many
physical parameters such as force, pressure, strain, torque, acceleration, sound, vibration, etc.
· Hall sensors are used in automotive, automation and control, robotics, valves, computers,
motor commutation, security systems where essentially direction sensing, position detection,
flow-rate detection, angular movement, length measurement, current sensing etc. are desired.
· Hall effect is pragmatic in all metals, but for the fabrication of the transducers, n-type
semiconductor materials are preferred due to the reasons that a controllable amount of charge
carriers can be doped into the semiconductor material determining the application domain of the
transducer.
· Ionisation transducers are used for the measurement of vacuum.
· Light Emitting Diodes (LED) are special junction diodes made up of semiconductor material
that emit light when connected in a circuit containing a voltage source.
· The optical encoder is a device, which provides encoded pulsed signals in response to the
movement. Basically, two types of encoders, such as incremental encoder and absolute
encoder are designed.
· Bimetallic strips are used for the measurement of temperature.
· Pressure transducers that use a bend tube are called Bourdon tube.
· Strain-gauges are resistive pick-up type transducers. The resistance of the gauge changed in
accordance with the input measurand.
· Load cells are transducers intended for the measurement of high values of pressure, load and
force.
· Diaphragms are thin circular plates broadly used for the measurement of both low and high
values of pressure, force or load.
· Bernoulli’s equation is based on equation of continuity, which states that fluid flowing in a tube
of varying cross section, the mass flow rate is the same everywhere in the tube.
· Orifice meters are used to determine a liquid or gas flow rate by measuring the differential
pressure (P1 - P2) across the orifice plate.
· Ultrasonic flowmeter measures flow by detecting the frequency with an ultrasonic sensor.
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Mechatronics: Principles, Concepts and Applications

This chapter emphasized the role of transducers in mechatronics engineering and technology
and discussed about the different types of transducers used. This chapter also explained the
basic difference between transducers and sensors. The basic principles of electrical
transducers such as photoemissive, photoconductive, photovoltaic, photoregistive,
thermoelectric, inductive, capacitive, pyroelectric, piezoelectric have been described. Some
other important transducer such as Burden tube, Strain gauge, Bimetallic, mechanical
switches which have long been in use in the industries have been illustrated lucidly.

LOOKING AHEAD
In most of the cases the output of the transducer, other circuits and even systems require
conditioning. Getting the output signal according to automation demands or requirement is
referred to as conditioning. For instance the output voltage level of a typical transducer is in the
order of mV. This level is not sufficient enough to deal with, for which the level must be boosted
up. An electronic amplifier can solve the problem. The amplifier can be defined as a kind of
signal conditioning circuits. Within mechatronic systems, many signals require signal
conditioning at the intermittent points. The requirements of signal conditioning circuits is found
in many places. Besides amplification other signal conditioning functions are rectification,
filtering, Analog to Digital Conversion (ADC), Digital to Analog Conversion (DAC), Isolation,
multiplexing to name a few. In summary, it can be stated that the sole purpose for signal
conditioning circuitry is to optimally modify some signal to a form desirable for use. Chapter
six deals with this topic.

EXERCISES

5.1 What do you mean by measurands?

5.2 List out some of the important measurands.
5.3 What do you men by transduction principle?
5.4 Distinguish between a transducer and sensor.
5.5 Distinguish between active and passive transducers.
5.6 Explain the principle of operation of the following transducers.
· Photoelectric transducers
· Inductive transducers
· Capacitive transducers
· Pyroelectric transducers
· Piezoelectric transducer
· Hall-effect transducer
· Ionisation transducers
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Transducers and Sensors

5.7 What is photoelectric effect? Discuss the transduction principle in photoemissive,

photoconductive and photovoltaic transducers.
5.8 What is a thermistor? Write down the relationship between resistance and temperature for the
thermistors. Draw the temperature registance curve.
5.9 Write notes on the following.
· Thermodevices
· Thermocouple
5.10 Discuss about the standardized designated thermocouples.
5.11 Explain how temperature can be measured using a thermocouple. Give a suitable circuit
diagram.
5.12 Explain the principle of operation of a LVDT. What do you mean by electrical zero position?
Draw the relative voltage signals with respect to the electrical zero position.
5.13 Write down the typical LVDT specification.
5.14 Discuss how displacement is sensed by LVDT. With neat sketch show how it can be made
phase sensitive.
5.15 Explain the following.
· Precision
· Accuracy
· Repeatability
5.16 Define capacitive pickup. Write the basic equation governing the principle of operation of
capacitive transducer. Define each term. Also explain the principle of operation.
5.17 Write notes on the following transducers.
· Pyroelectric transducers
· Piezoelectric transducers
5.18 Draw the circuit diagram of a piezoelectric transducer coupled with charge amplifier.
5.19 Explain the principle of operation of Hall-effect transducers.
5.20 Write down Hall coefficients of some materials.
5.21 What is an optical encoder? What are their types?
5.22 Clearly explain the principle of operation of the following optical encoders.
· Incremental encoder
· Absolute optical encoder.
5.23 What are the application of bimetallic strip? Discuss their types and principle of operation
respectively.
5.24 How Bourdon tube is used to measure the pressure?
5.25 Discuss the various types of strain gauge.
5.26 What is a load cell? Draw the schematic diagram of a strain gauge based load cell. Discuss the
principle of operation.
5.27 Write down the equation that governs the value of deflection in case of a diaphragm.
5.28 How are capsules and bellows used to measure the pressure?
5.29 Draw the schematic diagram of a mechanical switch. How it is used as a transducer (sensor)?
Give some application areas.
5.30 What do you mean by Bernoulli’s principle? How is Bernoulli’s principle used to measure the
flow rate?
5.31 Give an illustration of fibre optic transducers.
5.32 Write note on optical sensors.
 6
Signal Conditioning Theory,
Circuits and Systems

· To explain the signal conditioning process, signal conditioning circuits and their use.
· To study many of the important signal conditioning circuits which includes voltage divider circuit,
potentiometer, rectifier, voltage stabilizer, clipping circuit, positive and negative clamper, multi-
stage amplifier, adder, subtractor, integrator, differentiator, filter, instrumentation amplifier, com-
parator, zero crossing detector, oscillators, sample and hold circuit, etc.
· To discuss the applications of 555 timer in the industrial needs.
· To study analog to digital conversion process.
· To explain the typical galvanometer with a diagram and also explain how this can be converted
to ammeter and voltmeter.
· To draw the basic building blocks of a CRO and explain them.
 187
Signal Conditioning Theory, Circuits and Systems

6.1 INTRODUCTION
Signal conditioning is a process of preparing the available signal into a desirable one. It was pointed
out in the Chapter 2 that mostly, the signals are generated by the transducers or signal generators.
Within mechatronic systems, these signals require some amount of signal conditioning or signal
processing, at the intermittent point of interaction. For instance, the signal needs conditioning in
between a transducer and display or data acquisition unit. In essence, signal conditioning transforms
a raw signal into a refined or robust signal that lends itself to be used as conveniently as desirable.
Some of the signal conditioning functions are rectification, amplification, filtering, Analog to Digital
Conversion (ADC), Digital to Analog Conversion (DAC), Isolation and Multiplexing to name a few
just for introduction.
Signal conditioning is achieved by using signal conditioning circuits, which are designed by the use
of basic electrical components and electronic devices discussed in Chapter 3. There are many uses of
signal conditioning circuitry depending on the application requirement. For example, it may require to
convert a voltage signal to a frequency equivalent and vice versa. In some other applications
sometimes there is no need to send the entire range of voltage signal from one point to other, instead,
only the existence of a signal level is sent. There a simple comparator type signal conditioning circuit
has to be used.
This chapter describes the fundamentals as far as signal conditioning theory, circuits and system
are concerned. In particular, the basic circuits such as voltage divider circuit, rectifiers, clipping
circuits, clamping circuits, bridge circuits, amplifiers, instrumentation amplifier, low-pass, high-pass
filters, oscillators, timers, sample and hold circuits which are mainly used for signal conditioning
applications, have been illustrated.
Further, the Chapter deals with the basics of measuring instruments and equipment such as
galvanometer, ammeter, voltmeter and CRO (Cathode Ray Oscilloscope). These instruments and
equipment are used for the measurement and display of electrical signal parameters such as amplitude,
frequency and phase.

6.2 VOLTAGE DIVIDER

A voltage divider circuit produces an output voltage, V0 that is proportional to the input voltage, Vin.
The input voltage is supplied by a voltage source. The constant of proportionality is called the gain of
the voltage divider. A voltage divider circuit is shown in the Fig. 6.1. The gain, g of this circuit is given
by,
V R2
g= 0 = (6.1)
Vin R1 + R2
From the above equation the output voltage can be written as,
R2
V0 = gVin = Vin (6.2)
R1 + R2
Equation 6.2 tells that output voltage is R2 /( R1 + R2 ) times that of the input voltage. That is, the
input is divided by a factor ( R1 + R2 )/ R2 of to produce the output. In essence, it is a voltage divider
circuit. The division of input voltage depends on the value of resistance R1 and R2. The resistors R1
and R2 are in a series connection. Same relationship holds if the resistances are replaced by
impedances.
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Mechatronics: Principles, Concepts and Applications

R1

+ +
Vin
−

V0
R2

Fig. 6.1 A voltage divider circuit

The areas of application of the voltage divider circuits are numerous. Most electrical and electronics
equipment use voltages of various levels for different circuitry. One circuit may require a supply
voltage of 24 volts, another 75 volts and even another 110 volts. By suitably calculating the values of
resistances a compound voltage divider circuit as shown in the Fig. 6.2 can be designed.

R1

V0_1

R2
+
Vin V0_2
−
R3

V0_3

R4

Fig. 6.2 A compound voltage divider

Potentiometer is a current or voltage dividing equipment. It incorporates a resistor, which has three
terminals; two end terminals, and one middle terminal (knob), as shown in the Fig. 6.3. The middle
terminal is movable. The extreme ends are connected to the external input voltage signal, and the
middle terminal along with one of the end terminal is taken as output. The potentiometer can provide
different ratios of input to output resistance, causing a proportionate division of input voltage for
various positions of the movable knob. The position of the movable terminal determines what
percentage of the input voltage will actually be applied to the output circuit.
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Signal Conditioning Theory, Circuits and Systems

+
+ R1
Vin
− Knob
R2 V0

Fig. 6.3 A potentiometer

6.3 RECTIFICATION
The semiconductor diode uses two types of semiconductor materials (p-type and n-type) that readily
pass carriers from one type to the other across the junction but strongly oppose any flow in the
reverse direction. It is thus a simplest form of carrier-controlling device. The unidirectional flow
action is the basis of rectification, a process by which an alternating current (AC) is transformed or
rectified into a direct current (DC). The two terms, diode and rectifier, are often used interchangeably.
The conversion from AC to DC is required in many applications, including machine control systems.
The process of rectification is illustrated in Fig. 6.4. If an AC signal is inputted a DC signal is received
as output. Rectification by diodes can be achieved in two ways, namely half-wave rectification
(Fig. 6.4 (b)) and full-wave rectification (Fig. 6.4 (c)).
Figure 6.4 (d) illustrates a half-wave rectifier circuit. If the AC input signal voltage Vin (Fig. 6.4
(a)) is in a positive half-cycle, the diode junction is in forward bias and current flows through the
diode. If Vin is in a negative half-cycle, the diode junction is in reverse bias condition, so no current
flows through. Therefore, in Fig. 6.4 (b) there is no negative excursion of the output even if there
exists a negative half-cycle of the input signal. As you can see, the output of the half-wave rectifier
(i.e., Fig. 6.4 (b)) is DC in nature, i.e. only the positive portion exists. Since only half of the input
signal appears at the output the circuit is termed a half-wave rectifier.
On the other hand, the full-wave rectification circuit rectifies the negative portion of the input
signal along with the positive portion. All positive and negative cycles appear as positive at the output
(Fig. 6.4 (c)). Figure 6.4 (e) and Fig. 6.4 (f) illustrate typical full-wave rectifier circuits. In Fig. 6.4
(e), two diodes are used, whereas in Fig. 6.4 (f), four diodes are used. Figure 6.4 (e) also uses a
transformer. These two types of full-wave rectifier are specially named a center-tapped and bridge-
type rectifier, respectively.
In Fig. 6.4 (e), the secondary coil of the transformer has a centre point. Consider positive half-
cycle of the input signal which immediately appear at the secondary coil. Let A be positive, making
both B and C negative with respect to A (C also is negative with respect to B). As A is positive, diode-
1 will conduct and the current will pass through the load resistor (a load resistor is a resistor in which
voltage is forced to appear) to point B. Point B is termed a reference point and has to be grounded.
Now, consider the negative half-cycle of the input signal. In this situation, point A will be negative
with respect to B and even more negative with respect to C. That is, C is now positive. Diode-2 will
conduct the current, which will pass through the load resistor in the same direction as when diode-1
was conducting during the positive half-cycle. Thus, irrespective of whether the input signal is in
 190
Mechatronics: Principles, Concepts and Applications

Input
voltage +
Vin V0_hw
- R

Time
Ground

(a) (d)
V0_hw

Output Diode-1
voltage
A
I R
Time
+
(b) Vin B
-

V0_fw
C

Diode-2
(e)
Time
(c) F
One cycle D
D-3 D-2

A
B I R
G
+ D-1 D-4
Vin
E
- C

H
(f)

Fig. 6.4 (a) AC input signal (b) Rectified output of the half-wave rectifier circuit (c) Rectified
output of the full-wave rectifier circuit (d) Half-wave rectifier circuit (e) Center-
tapped full-wave rectifier circuit (f) Bridge type full-wave rectifier circuit

positive half-cycle or negative half-cycle, the direction of flow of current through the load resistor
remains unchanged. As a consequence, the output voltage (current multiplied by the load resistance)
is positive for all times since the current is only unidirectional.
A similar phenomenon occurs in the case of bridge rectifier circuits. Consider the positive half-
cycle of the input signal. A will be positive and B will be negative. Current will flow through D-1 and
D-2. The current loop will be GACEFDBH. Similarly during negative excursion of the input signal,
 191
Signal Conditioning Theory, Circuits and Systems

the current loop will be HBCEFDAG. Note that the current through the load register R is unidirectional
for both positive and negative cycles of the input.
In this example, the input signal is sinusoidal in nature. If the input is saw tooth, rectangular,
square-wave, or any other type of AC signal, the output is DC. The output of the diode rectifier circuit
is called a pulsative DC signal instead of simply DC because the DC output is in fact pulsating in
nature.
In many occasions, the pulsating output requires smoothing in order to get a constant DC signal. A
steady and constant voltage can be obtained by connecting a capacitor at the output of the rectifier
circuit. The capacitor smoothes down the output by filtering out the ripples. Usually a large capacitor
called a smoothing capacitor is employed, and it must be connected in parallel with the load.
The smoothing circuit works as follows. During the rising period of the output signal the capacitor
begins to charge, and it keeps on charging until the rectifier output is at the peak level, (i.e. maximum
value). During the falling period, (i.e. when the voltage drops), however, the capacitor holds the
maximum value and starts discharging through the load resistor, R. The value of the capacitor must
be chosen to circumvent quick discharge. Thus the voltage across the capacitor never falls to zero.
The discharging capability is rated by the time constant, which depends on the values of R and C.
Since the capacitor is not able to discharge quickly, during the next rising period of the output signal,
it again charges until the output peaks. This time, however, the capacitor begins to charge not from
the zero level but from a level at which the rising voltage equals the residual voltage of the capacitor.
Refer to Fig. 6.5. The residual voltage is the voltage across the capacitor that remains after
discharging. In general, a larger value capacitor will display a better smoothing effect.
V0_hw

Capacitor output

Time
+ Smoothed signal of the half-wave rectifier
Vin Rectifier
circuit R C (a)
-

V0_fw
- Capacitor output

(b) Time

Fig. 6.5 (a) The smoothed output of a half-wave rectified signal (b) The smoothed output
of a full-wave rectified signal

6.4 DIODE VOLTAGE STABILIZER

Zener diodes, a specially designed diode, are used for stabilizing or regulating the voltage in a circuit.
The zener diode is always connected in reverse biased condition and are designed to work at the
 192
Mechatronics: Principles, Concepts and Applications

reverse breakdown voltage known as zener voltage. The voltage across the zener diode is reasonably
constant over a wide range of output current variations.
R +

Input Zener Vzener

diode

Fig. 6.6 Zener diode based stabilizer circuit

6.5 CLIPPING AND CLAMPING CIRCUIT

A clipping circuit transmits an arbitrary signal within the limits. The signal above and below the limits
are suppressed. For this reason clipping circuits are also referred to as voltage limiters. In another
way it can be said that clipping circuits limit the voltage swing of a signal. Diodes can be used in the
design of clipping circuits. Figure 6.7 shows a diode circuit that clips both the positive and negative
voltage swings. Two DC voltage sources, V-1 and V-2, have been connnected in the circuit to limit
the positive and negative swings respectively. The circuit works as follows.
A R B
+

+
D-1 D-2
Vin Vclipping
− V-1 V-2

−
D C
(a)

Input signal

+ve
V-1 Clipped V-1
signal

Time

V-2 V-2
−ve

(b)

Fig. 6.7 (a) A typical clipping circuit (b) The output of the clipping circuit subject to a
sinusoidal input voltage signal
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Signal Conditioning Theory, Circuits and Systems

Let the input signal be a sinusoidal signal. Consider the rising period of the input signal. Diode D-1
will be forward biased and D-2 will be reverse biased. The diode D-1 will conduct only when the input
rising signal equals the DC voltage source V-1 (assuming the diodes are ideal diodes and the voltage
drop across the resistor R is small). Once the diode D-1 conducts, the output voltage will no longer
rise in synchrony with the input. During positive excursion of the input, the output of the circuit is
thus forcefully limited to a level that is equal to the voltage of the source, V-1. A similar situation
happens during the negative cycle, but now the diode D-1 will enter a reverse biased condition and
D-2 will conduct only when the negative excursion exceeds the DC voltage source, V-2.
Clamping circuit, on the other hand, shifts the input voltage levels without changing the shape of
the signal. Depending on the requirement, the input signal is shifted either up or down, keeping the
voltage range constant. Clamping circuits are of two types, namely positive clamper or negative
clamper. Figure 6.8 (a) and (d) shows the two circuits.
C C
+ + + +

Vin D R V0 Vin D R V0

− − − −

(a) (d)

Input voltage Range Input voltage Range

Time Time

(b) (e)

Output voltage Output voltage

Range
Range

Time
Time

(c)
(f)

Fig. 6.8 (a) A positive clamper (b) The input signal (c) The clamped output (+ve)
(d) A negative clamper (e) The input signal (f ) The clamped output (–ve)
 194
Mechatronics: Principles, Concepts and Applications

Assume the diodes are ideal. Consider Fig. 6.8 (a). During the negative half-cycle the capacitor will
charge to a voltage equal to the negative peak of the input signal. The right side of the capacitor will be
positive. Thus, the output is positive when the input is doing negative excursion. Then the diode will
be reverse biased for a full cycle after it is charged. Now the output voltage is the summation of the
input voltage and the capacitor voltage.

6.6 AMPLIFIER
A circuit that accepts an input signal and produces an output signal in the same way as the input but
has a larger magnitude is known as an amplifier circuit. The input signal is either a voltage signal or a
current signal. The nature of the output signal is the same as that of the input but the amplitude is
higher. The important aspect of an amplifier is the gain, the ratio of the output to the input. Amplifiers
in their simplest form are built around a transistor. Transistors such as BJT, FET, and MOSFET can
be used for the design of the amplifier circuit (see Fig. 3.15). The schematic diagram of the amplifier
is given in Fig. 6.9 (a). In order to achieve the required gain, sometimes three or four stages of
amplifier circuits are designed. This kind of amplifier is referred to as a multistage or cascade
amplifier. In this design the output of the first stage is fed to the input of the second stage and so on.
The overall gain of such a multistage amplifier is approximately equal to the product of the individual
gains (Fig. 6.9 (b)).
G = G1 ´ G2 ´ L ´ Gn (6.3)
Where G is the overall gain, G1, G2, etc. are the individual gains.

+ +
v0
vin Input G= v Output v0
in
−
−

(a)

+ +
vin Input G1 G2 G3 G4 v0 Output

− −

v0
G= v
in

(b)

Fig. 6.9 (a) Single stage amplifier (b) Schematic diagram of multistage amplifiers

Presently the multistage amplifiers are available in the form of integrated circuits. OP-AMP is a
kind of multistage transistorized amplifier.
 195
Signal Conditioning Theory, Circuits and Systems

6.6.1 OPAMP Circuits

Operational amplifiers (OPAMP) are introduced in Chapter 3. The OPAMP boosts the amplitude
significantly and the output voltage is proportional to its input voltage. The OPAMP was originally
developed for use in realization of mathematical operations such as addition, subtraction, multiplication
(amplification), integration, and differentiation in analog computers. For this reason they are called
operational amplifiers.
The connections shown in Fig. 6.10 (a) and (b) are called closed-loop inverting and closed-loop
noninverting OPAMP configurations respectively. Inverting and noninverting configurations are
useful in the design of amplifiers, filters, and other signal conditioning applications.
Input resistance Feedback resistance Input resistance Feedback resistance

R1 Rf R1 Rf

+
Input Vs − Output − Output
− + +
+ +
V0 V0
− + −
Input Vs
−

(a) (b)

Fig. 6.10 (a) Inverting configuration of Operational Amplifier (OPAMP) (b) Non inverting
configuration of OPAMP

The input impedance between the inverting and noninverting terminal of the OPAMP is very high.
In the inverting case, the input current Ii supplied by the input voltage Vs will pass through the
feedback register Rf . The voltage gain in this configuration is called the inverting voltage gain, which
is the ratio of output voltage to input voltage, and mathematically can be written as,
V Rf
Ainv = o = - (6.4)
Vs R1
The values of R f and R1 should suitably be chosen in order to determine the gain of the amplifier.
In noninverting configuration, however, the gain calculation draws attention in the sense that R f
and R1 form a voltage divider circuit. Because of the voltage dividing action the voltage Vf at inverting
terminal is

Vf =
F R IV 1
(6.5)
GH R + R JK
1 f
o

The differential voltage Vs – Vf is actually the input voltage to the OPAMP. After mathematical
treatment, the noninverting gain is found to be
V Rf
Anoninv = o = 1 + (6.6)
Vs R1
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Mechatronics: Principles, Concepts and Applications

Figure 6.11 illustrates how OPAMPs can be realized for mathematical operations. These basic
circuits are also used for conditioning the signal within a mechatronic environment.
R
V1
R Inverting R
R terminal
V2
R
R - V1 -
V3 + +
+ V2 +
V0
R
- V0
Ground Non-inverting
terminal
-
Ground

(a) (b)

C R

R C
Vin - Vin -
+ +
+ +
V0 V0

- -
Ground Ground

(c) (d)

Fig. 6.11 (a) An adder (b) Subtractor (c) Integrator (d) Differentiator

Figure 6.11 (a) shows an adder circuit, an inverting-type amplifier. Since the input impedance of
the OPAMP is very high there is no current into the OPAMP. So almost all current supplied by the
inputs V1, V2 and V3 will pass through the feedback resistor, R. The sum of the three input currents
is
V1 V V (6.7)
I in = + 2 + 3
R R R
The output current is
V0
I0 = - (6.8)
R
Equating Eqs 6.7 and 6.8,
V0 = -( V1 + V2 + V3 ) (6.9)
So, the output voltage is equal to the sum of the input voltages.
 197
Signal Conditioning Theory, Circuits and Systems

Subtraction is achieved by providing one voltage signal to the inverting terminal and another to the
noninverting terminal. The output voltage is proportional to the difference between the two inputs.
This configuration is termed a differential amplifier. Differential amplifiers are characterized by a
factor called the Common Mode Rejection Ratio (CMRR), which is the ratio of the open-loop
differential gain Aod, and open-loop common-mode gain, Aoc and is expressed in dB.
Aod
CMRR = 20 log10 (6.10)
Aoc
Vod _out Voc _ out
Where, Aod = and Aoc =
Vod _in Voc _ in
Vod_out and Vod_in are output and input voltages in an open-loop differential configuration as shown in
Fig. 6.12 (a). Voc_out and Voc_in are output and input voltages in open-loop common-mode
configuration as shown in Fig. 6.12 (b). High CMRR is always desirable.

− −
+ Vod_out Voc_out
Vod_in + +
− + +
− + −
Voc_in
−

Open-loop differential mode configuration Open-loop common-mode configuration

(a) (b)

Fig. 6.12 OPAMP connection for the calculation of CMRR

The integration operation is obtained by interchanging the the feedback registor with the capacitor
as illustrated in Fig. 6.11 (c). The gain in this case can be calculated as
V0 X 1
G( jw ) =- =- c =- (6.11)
Vin R jwRC
Vin 1
Therefore, V0 =-
jwRC
=-
RC
Vin dtz (6.12)

Where, Xc is the impedance of the capacitor and C is the value of the capacitor. Equation 6.12
implies that the output is proportional to the integration of the input signal. From Eq. 6.11, it is evident
that the gain is a function of w, the frequency (w = 2pf ). The frequency is in the denominator tells
that the gain decreases as frequency increases. Keeping all parameters constant (input voltage, R, and
C), if you vary the input frequency then the gain of such a circuit (integration) will vary as shown in
Fig. 6.13 (a). For low frequencies, the gain is high. As the integration circuit passes the low signals
containing low frequency components and attenuates the high frequency components, this circuit is
also referred to as a low-pass filter.
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Mechatronics: Principles, Concepts and Applications

The differentiation circuit is shown in Fig. 6.13 (d). If Xc is the impedance of the capacitor, the
gain can be calculated as
V R
G( jw ) =- 0 =- =-jwRC (6.13)
Vin Xc
dVin
Therefore, V0 =-jwRCVin =-RC (6.14)
dt
Equation 6.14 implies that the output is proportional to the differentiation of the input signal.
From Eq. 6.13, notice that the the gain is a function of w, the frequency of the input signal. Keeping
all parameters constant (input voltage, R, and C), if you vary the input frequency then the gain of
such a circuit (differentiator) will vary as shown in Fig. 6.13 (b). The gain is propertional to the
frequency. For low frequency the gain is low. The gain is zero at zero frequency. This justifies that
the capacitor does not allow the DC signal (zero frequency signal) to pass through, as it has high
impendance to the DC signal. The gain increases as with frequency and becomes steady or constant
after a certain frequency. Since the differentiation circuit passes the high frequency components and
attenuates the low frequency components, this circuit is also called a high-pass filter.
Apparently, the integrator (low-pass filter) and differentiator (hogh-pass filter) circuits are
electronic filters because the circuits filter out some frequency components from the input signal. If
the input signal has all the frequency components, output will lack some frequency components.
There are numerous applications of filters which require some sort of filtering of even noise
frequencies.

Maximum gain Maximum gain

− 3 dB
− 3 dB
Gain Gain

fu Frequency fL Frequency

Frequency response curve of a low-pass filter Frequency response curve of a high-pass filter

(a) (b)

Fig. 6.13 (a) Gain vs. frequency response curve of a typical low-pass (integrator) filter;
(b) Gain vs. frequency response curve of a typical high-pass (differentiator)
filter

6.6.2 More About Filter Circuits

Circuits that pass certain frequencies and attenuate (eliminate) others are called filters. There are
various types of filter circuits categorized by their frequency response curve, which is a plot of the
gain versus frequency, where the output and input may be either a voltage or a current. The most
common ratio is output voltage to input voltage. In order to compare the filter circuits, commonly one
type of input signal, usually a sinusoidal type, is taken.
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Signal Conditioning Theory, Circuits and Systems

Besides low-pass and high-pass filters, there are band-pass, band-reject, narrow-band, and notch
filters, whose frequency response curves are plotted in Fig. 6.14. A band-pass filter passes one band
of frequencies while rejecting both higher and lower frequencies. A filter that rejects one band of
frequencies while passing both higher and lower frequencies is called a band-reject filter. Narrow-
band filters have very narrow bandwidth. Notch filters pass almost every frequency except for a few
components. Band-reject filters and notch filters are synonymous, depending upon the frequency
range with which their names appear.
Power normalized to
zero dB (100% power)
Maximum gain

100% gain
71% gain
− 3 dB (50% power)

fL fu
(a) Frequency

Power normalized to
zero dB (100% power)
Maximum gain

100% gain
71% gain
− 3 dB (50% power)

fL fu Frequency
(b)

Power normalized to Power normalized to

zero dB (100% power) zero dB (100% power)
Maximum gain Maximum gain
100% gain
100% gain
71% gain
71% gain
− 3 dB (50% power) − 3 dB (50% power)

fL fu Frequency fL fu Frequency

(c) (d)

Fig. 6.14 Frequency response curve of various filters (a) Bandpass filter (b) Band-reject
filter (c) Narrow-band filter (d) Notch filter
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Mechatronics: Principles, Concepts and Applications

Every filter has a BW. The bandwidth of a filter determines what frequency components it can
allow to pass through without attenuation. In practice, the bandwidth is defined as the difference
between the upper cut-off frequency, fU and the lower cut-off frequency fL , of the frequency response
curve. The frequency response curve is plotted in dB scale. When plotted in dB scale it is called a
Bode plot (See Chapter 11). The fU and fL are the frequencies at which the output power is 50 percent
of the maximum possible output power. These are the two frequencies at which the gain is
approximately 71 percent of the maximum gain. If the maximum gain is normalized to 0 (zero), then
the gain at these points would be –3dB. For this reason the lower cut-off and upper cut-off frequencies
are called –3dB points. The practical definition of the bandwidth of the filter becomes the frequency
range (two extreme points in the frequency domain) of the filter within which the output power varies
from 100 percent to 50 percent.
When the filters are designed using only passive elements such as capacitors and inductors, they
are referred to as passive filters. A smoothing capacitor at the output of the rectifier circuit can be
treated as a low-pass filter (Fig. 6.5). Filters that are designed either using a transistor or OPAMP are
called active filters. Low-pass and high-pass filters shown in Fig. 6.11 (c) and (d) using OPAMP are
typical active filters. A typical bandpass filter using OPAMP is shown in Fig. 6.15.
C1

R1

C2 R2
Vi −
V0
+

Fig. 6.15 A typical active bandpass filter using OPAMP

This circuit would attenuate low frequencies (i.e., fL<<1/R2 C2) and high frequencies (i.e., fU >> 1/
R1 C1). It passes all frequencies in between these two points. The gain of the filter is – R1/R2.

6.7 ISOLATOR (UNITY AMPLIFIER)

Isolation, is important in order to avoid the effects of electrical loading between the two circuits or
systems. An isolator is a circuit that allows signals to be transferred between two circuits or systems,
while keeping those circuits or systems electrically isolated from each other. The output impendence
of the previous circuit or the input impendence of the next circuit may disturb the signal transmission
between the two circuits. This basic circuit is essentially required when isolation between two other
circuits is important. Figure 6.16 (b) shows the connection of an isolator, and Fig. 6.16 (c) is a typical
isolator circuit using OPAMP.
The gain of the isolator or unity amplifier is unity. Notice the feedback connection. The output is
just shorted to the noninverting terminal of the OPAMP. Using Eq. 6.6, we can find that the gain of
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Signal Conditioning Theory, Circuits and Systems

such circuit is one. This signifies that whatever signal strength is available at the input (i.e., from the
output of the circuit-1) it transforms the same signal to the circuit-2 without any attenuation. Since
the output impendence of the isolator is very high, in practice it makes next circuit electrically isolated
from the previous one.

+ + + + + +

Input Circuit-1 Isolator Circuit-2 Output

− − − − − −

(a)

−
Output
Input +

(b)

Photodiode

Circuit-1 Light Circuit-2

LED

Optoisolator

(c)

Fig. 6.16 (a) An isolator in between two circuits (b) An isolator using OPAMP (Unity
follower) (c) The principle of optoisolation

The isolation can also be achieved by utilizing optical signals. The electrical signal at the output of
the previous circuit is converted to light signal by a Light Emitting Diode (LED). Then the converted
light signal again gets converted to get back the electrical signal by using a photodevice such as
photodiode or phototransistor as shown in the Fig. 6.16 (c) satisfying the sanctity of isolation. The
optoisolators are available in IC form, where the LED, photodevice and other necessary circuitry are
built into it.
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6.8 INSTRUMENTATION AMPLIFIER

The amplifier circuits so far studied uses a transistor or an OPAMP. BJT, FET, and MOSFETs are the
types of transistors commonly used in amplifier design. BJT transistors are npn-type and pnp-type.
FET may be n-channel or p-channel. MOSFETs are either depletion type or enhancement type.
Similarly, OPAMPs are used either in inverting, non-inverting, or differential mode. These types of
amplifiers are used where the accuracy requirement is moderate. For precision, high accuracy is
desired. For such kind of applications instrumentation amplifier (IA), which inherits high accuracy in
terms of high CMRR are employed. The instrumentation amplifier uses three OPAMPs as shown in
Fig. 6.17, instead of what is observed in other types of conventional amplifiers. IA is a kind of
differential amplifier. In this configuration the open-loop differential gain Aod is very high and the
open-loop common-mode gain, Aoc is small. The third OPAMP behaves as an isolator. These two
desirable properties are useful in many applications in which precise differential measurement is
needed. IAs are available as integrated circuits (IC).
R
V1 − R R

+
R

−
+
V0
R
+

R
−
R −
V2 + R R
Ground

Fig. 6.17 A typical instrumentation amplifier

Instrumentation amplifier ICs include LM363 from National Instruments, INA148UA from Burr-
Brown, and INA321 from Texas Instruments. They usually operate with supply voltages from ±5V to
±15V, with a 1.5 mA current drain. The gain is very high (on the order of 10, 000) but can be
manipulated by designing the external circuits. Like other ICs their operating temperature ranges from
0°C to 70°C. The typical value of the CMRR of an IA is about 120 dB.

6.9 BRIDGE CIRCUIT

A bridge circuit is an important signal conditioning circuit. The focus is given on Wheatstone bridge:
an electronic circuit that forms the basis of capturing a very small fraction of change in the resistance
value. Wheatstone bridge is a four-arm, four-terminal resistance measuring electronic network. Refer
to Fig. 6.18. The two terminals, A and B, are for input voltage and the other two terminals, C and D,
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Signal Conditioning Theory, Circuits and Systems

are for output measurement. The bridge is very reliable and is considered as a sophisticated and
precision signal-conditioning circuit. They are widely used as signal-conditioning circuits for
temperature and strain measurements. In many circumstances, like measurement of strain,
temperature, and other parameters, resistive transducers are used more frequently (Strain gauge, for
example, is a resistive transducer, see strain gauge in Chapter 5). In order to make use of such a
resistive gauge typically a change of resistance DR in the order of 0.0005 Ohm has to be measured.
It is not practicable to measure the change of resistance of the order mentioned above by any other
means. The measurement, i.e., the change of resistance is customarily carried out by the use of a
Wheatstone bridge.

R1
A D
+
+
+ Instrumentation
Excitation Output
R3 R4 amplifier
voltage -
-
-
C B
R2

Fig. 6.18 A wheatstone bridge-based signal conditioning circuit

A DC voltage source called excitation voltage is applied between two input terminals. The output
voltage is measured across the other two terminals, i.e. C and D. When the output voltage is zero, the
bridge is said to be in a balanced condition. One of the arms called the active arm itself constitutes a
resistive transducer, such as a strain gauge. The other arms of the bridge are simply resistors with
resistance equal to that of the strain gauge. When the resistance of the active arm changes in
accordance with the measurand (say, strain) the previously balanced bridge will be unbalanced. The
amount of unbalance is a measure of the measurand. The unbalance appears as a voltage across the
output terminals. The voltage is proportional to the change in resistance, which is again proportional
to the measurand (strain). The voltage is then amplified and calibrated to reflect the strain. The output
voltage Vout is
Vin DR
Vout = ´ (6.15)
4 R
where, Vin is the excitation voltage and R is the resistance of the arms and DR is the change in
resistance. Other arm resistors must be high-precision resistors with a desirable resistance tolerance
of ± 0.01%, temperature coefficient of resistivity of 1 ppm/°C, and stability of less than 20 ppm/year
drift. If the resistors have power-dissipation characteristics, instability in the circuit will arise. Because
of their sensitivity, Wheatstone Bridge Circuits are also very advantageous for the measurement of
inductance and capacitance.
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Mechatronics: Principles, Concepts and Applications

6.10 COMPARATOR
Comparators are widely employed in many applications in which some sort of signal comparison is
required. It is an electronic circuit that typically contains a threshold or reference voltage level to
which the voltage level of another signal is compared. If the signal to be compared is greater than the
reference voltage setting then the comparator circuit provides an output in terms of a pulse or step
signal, say + V. In Fig. 6.19 a typical sensor signal is compared with the reference level of the
comparator, which provides a pulse when the sensor signal exceeds the threshold limit.

Fig. 6.19 Schematic diagram of a comparator

In some situation a sensor and the comparator circuit are integrated together. This kind of combined
circuit is mostly used in feedback control systems. For example, a thermostat, also called a
temperature regulator, uses the comparator circuit to control a system by driving a relay when the
temperature transducer (thermistor) reaches the setting temperature. The thermistor can constitute an
arm of the instrumentation amplifier (IA). The IA voltage is compared with the voltage of the setting
temperature using the voltage comparator. If the differential voltage becomes greater than the setting
voltage, the comparator provides a pulse or step output to drive the relay that makes it possible to
disconnect the burner from glowing.
Comparator circuits can be designed using diodes, transistors, and OPAMPs. Comparator ICs are
also available (LM311 is a comparator IC). The OPAMP-based comparators can be constructed in
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Signal Conditioning Theory, Circuits and Systems

either inverting or noninverting mode. OPAMP characteristics recognize that the output transition
occurs according to the input terminal setting. The following four combinations are applicable with
regard to OPAMP transitions.
Inverting mode;
Vo = V+ saturation for Vin ñ 0 (6.16a)
Vo = V-saturation for Vin á 0 (6.16b)
Noninverting mode;
Vo = V+ saturation for Vin á 0 (6.17a)
Vo = V-saturation for Vin ñ 0 (6.17b)

+ Vcc Vo V+saturation + Vcc

−
Vo Vin
Vin +

− Vcc V−saturation − Vcc

(a)
Vo
+ Vcc V+saturation + Vcc

Vin −
V0 Vin
+

− Vcc V−saturation − Vcc

(b)

Fig. 6.20 OPAMP transitions

The two open-loop OPAMP circuits shown in the Fig. 6.20 can be used as comparators. The
transition occurs based on whether the reference voltage (Vref = Vin ) is less than zero or greater than
zero. Alternatively, it can be said that the transition points have been set at a voltage level of zero. The
“zero” reference voltage can be substituted with an arbitrary reference voltage, which could be the
threshold voltage for comparison.
Figure 6.21 illustrates a comparator circuit using an OPAMP in non-inverting mode. In the figure a
reference source, which is equal to the threshold level, has been connected to the inverting terminal.
The signal to be compared with the reference voltage is applied to the noninverting terminal. Whenever
the input voltage is greater than the reference voltage the transition occurs, providing an output pulse
or step.
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Mechatronics: Principles, Concepts and Applications

+ Vcc

−
+ Vo
+
−
Vref
− Vcc
+
Vin
−

Fig. 6.21 Comparator using OPAMP

6.10.1 Zero Crossing Detectors

Zero crossing detector (ZCD) is a kind of comparator that provides a signal (pulse or step) at the
output when the input signal passes the zero level. Figure 6.22 illustrates the actuality.
+ +

Input Zero crossing Output

detector

− −

ZCD input ZCD input

Time

Time

ZCD output ZCD output

Time Time

Fig. 6.22 Zero crossing detector

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Signal Conditioning Theory, Circuits and Systems

6.11 OSCILLATOR
Signal conditioning circuits include waveform generators. Within automation and control, various
types of oscillatory waveforms are required. The types of oscillatory waves are sinusoidal, triangular,
impulsive, square-wave, saw-tooth, staircase, and so on as illustrated in Figure 6.23.
Amplitude Amplitude

Time Time

(a) (b)

Amplitude Amplitude

Time Time

(c) (d)

Amplitude Amplitude

Time Time

(e) (f)

Fig. 6.23 Different types of waveforms. (a) Sinusoidal (b) Tringular (c) Impulsive
(d) Square-wave (e) Saw-tooth (f) Staircase

The waveform generator circuits are referred to as oscillators since the outputs are oscillatory-type
signal. Oscillators are electronic circuits that generate a changing output voltage that repeats regularly
at constant intervals. All oscillator circuits are positive feedback systems (Refer to Fig. 6.24), in
which the loop gain is “1”.
AB = 1 (6.18)
where A and B are the amplifier gain and the feedback gain, respectively. Another satisfactory
condition for oscillation is called phase condition, which implies that the phase shift around the loop is
0 or 360 degrees.
Depending upon the circuit configuration, different types of oscillators exist. They include the
Wien-Bridge oscillator, phase-shift oscillator, Colpitts oscillator, Clapp oscillator, Hartley oscillator,
and most versatile Crystal oscillators. Figure 6.25 illustrates an OPAMP-based Wien-Bridge oscillator.
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Mechatronics: Principles, Concepts and Applications

Amplifier

Feedback circuit

Fig. 6.24 A schematic diagram of an oscillator

R1

Voltage divider −
Vo
R2
+

C1 R4
R3 C2 Lead-lag circuit

Ground

Fig. 6.25 An OPAMP-based Wien-Bridge oscillator

The lead-lag circuit provides a positive feedback. When R 4 = R3 = R and C1 = C2 = C the frequency
of oscillation is
1
fosc = (6.19)
2 pRC
An OPAMP-based square-wave oscillator is shown in Fig. 6.26. The voltage across the capacitor
V1 is triangular in nature. If R3 = 0.86R2, then the frequency of oscillation is
1
fosc = (6.20)
2 R1C
The maxima and minima of the triangular wave are Vu = V+ saturation and Vl = V= saturation
respectively.
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Signal Conditioning Theory, Circuits and Systems

V1 Voltage across capacitor C

R1
Vu
V1
+
Vo Time
− Vl
C

R2
V0
R3 V+ saturation

Time

V− saturation

Fig. 6.26 Square wave oscillator using OPAMP

The OPAMP-based triangular wave oscillator is shown in Fig. 6.27. It uses two OPAMPs. The
first OPAMP is a comparator and the second is an integrator. The voltage at the output of the first
OPAMP is square-wave in nature. The integrator integrates the square-wave, producing a triangular
wave. The frequency of oscillation is

fosc =
1 FG R IJ
2
(6.21)
4 R1C HR K
3
The maxima and minima of the triangular wave are

Vu = V+ saturation
FG R IJ
3
(6.22a)
HR K 2

Vl = V= saturation
FG R IJ respectively.
3
(6.22b)
HR K 2
For getting stable and accurate oscillatory signal output, a piezoelectric quartz crystal is often used.
The property of the quartz crystal is that when a changing mechanical stress is applied to the crystal,
an oscillatory voltage is developed, whose frequency is the same as that of the mechanical stress
vibrations. The highest vibration occurs at the natural frequency of the crystal. The frequency
depends on dimensions, type of cut, thickness, temperature, etc. The quartz crystal has increasingly
become an essential component for modern electronics. It is mainly used for frequency generation,
synchronization, filtering, and precision time keeping. Quartz crystals find applications in control,
communications systems, microprocessors, computers, watches, and so on. The symbol and
equivalent electrical circuit of a crystal are shown in Fig. 6.28. The series circuit comprised of R, L,
and C constitute real mechanical resonance parameters. R implies the loss of energy within the crystal,
D denotes the elasticity of the quartz, and L is equivalent to mass. The two electrodes on the quartz
exhibit a parallel plate capacitor Co with quartz as dielectric material.
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Mechatronics: Principles, Concepts and Applications

V1
R3 V+ saturation

Ground
Time
R2
+ V− saturation
+ R1 V0
−
− V1 V0

Ground C
Vu
Comparator Integrator

Time
V1

Fig. 6.27 Triangular wave oscillator

XTAL C0
L

Symbol C

Fig. 6.28 Crystal oscillator

6.12 555 TIMER

There are many ways to design oscillator circuits. A basic oscillator circuit is available in IC form.
NE555 or LM555, which are called timers that have the building blocks in one package. 555 IC are
highly stable devices for generating relatively accurate oscillations. They can be used for precision
time keeping, pulse generation, sequential timing, time delay generation, pulse width modulation
(PWM), pulse position modulation (PPM), linear ramp generator (saw tooth), and other countless
applications in which timing parameters are involved. At first glance, it can be said that the 555 has 8
pins (Fig. 6.29), and various time-variant waveforms are generated by properly configuring the 555
by the use of external components, similar to an OPAMP-based circuit design.
The 555 is made out of transistors that merely work as on-off devices. These ICs do not have any
sense of timing, however, they can generate pulse at the output when the appropriate level of voltage
is applied and appropriate external connections are made.
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Signal Conditioning Theory, Circuits and Systems

Pin number 8 is always connected to the supply voltage, which ranges from +5 volts to +18 volts. Pin
1 is the ground terminal. Pin 2 is called the trigger terminal. It is the ON switch for the output pulse. The
terminal is activated by applying an active low signal. It is very common to see the active low signal for
many IC inputs because of the inverting behaviour of transistor circuits. The output is taken from pin
number 3. The output has two levels, ‘high’ Vu or ‘low’ Vl. When 0 volts is applied to pin 2, the IC
outputs Vcc on pin 3 and holds this voltage until pin 6 reaches 2/3 of the Vcc. Once pin 6 attends 2/3 Vcc
then pin 3 is “0” again. Thus, a pulse is generated. By applying trigger signals repeatedly, it becomes
possible to get pulses at the output. The reset pin is there to reset the output to “0’” irrespective of the
current status. Pins 5, 6, and 7 are called the control, threshold, and discharge terminals respectively,
which is described below along with an explanation of the internal basics of the IC.

Gnd 1 8 Vcc

Trigger 2 7 Discharge

Output 3 6 Threshold

Reset 4 5 Control voltage

Fig. 6.29 Pinout diagram of 555 timer

Reset
+ Vcc 4

R Comparator-1
Threshold
6 -
2/3 Vcc
5 +
Control
Flip-flop Transistor 2 Output
R
1/3 Vcc
(Active low) -

2 +
Trigger Comparator-2
R

Ground

1 7
Discharge

Fig. 6.30 Block diagram of the 555 timer

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Mechatronics: Principles, Concepts and Applications

The internal basic building blocks of 555 are shown in Fig. 6.30. As you can see, there are two
comparators within the chip. The inverting terminal of comparator-1 is the threshold pin and the
noninverting terminal is the control pin. The voltage at the control pin is 2/3 of the Vcc, since Vcc has
been equally divided among three resistors connected in series. The voltage at the noninverting
terminal of comparator-2 is 1/3 of the Vcc and the inverting terminal of this comparator is identified
itself as the trigger pin. The outputs of the two comparators are connected to a flip-flop circuit that
outputs at pin number 3.
A typical configuration of 555 by the use of external components for the generation of rectangular
waves is shown in Fig. 6.31.
+ Vcc

Ra
3
V0
7 Output

555 5
Rb
6 0.01 µF

Vc(t) 1
2

Fig. 6.31 Astable mode of the 555 timer

A resistor is connected between the capacitor and the discharge pin (number 7). Pin 6 and pin 2 are
shorted. The capacitor is made to charge up through Ra and Rb. When it reaches 2/3 of the Vcc,
comparator-1 inputs will be the same and comparator 2 inputs will have different values (i.e., the
inverting terminal will be 2/3 that of the Vcc and noninverting terminal will be at 1/3 of the Vcc), forcing
comparator 2 to make a transition at the output. As a consequence, pin 3 and pin 7 will be set to “low.”
Now the capacitor will start discharging through Rb, since pin 7 is at ground. But it will take some
time to discharge because of the presence of Rb. The draining time depends on the value of Rb. The
more resistance Rb has, the longer it takes to discharge. As the capacitor is discharging, the voltage in
the capacitor gets lower and lower. When it reaches 1/3 of the Vcc, this triggers comparator 2 (note
that the two inputs of the comparator are not the same now; for more clarification refer to the
comparator description in the previous section), causing pin 3 to go to “high.” Now 555 disconnects
pin 7 from ground. The capacitor starts to charge up again through Ra and, Rb and the cycle repeats.
Eventually, at the output, i.e. at pin 3 a free-running rectangular wave is obtained. The following
formulas are used to control the length of the output pulses of the 555.
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Signal Conditioning Theory, Circuits and Systems

T1 = 0.693( Ra + Rb )C
T2 = 0.693 Rb C
T = T1 + T2 = 0.693( Ra + 2 Rb )C (6.23)
1 1.44
f= =
T ( Ra + 2 Rb )C
Where T1 and T2 are the charge and discharge times. T is the pulse width and f is frequency of the
output waveform. Figure 6.32 illustrates the voltage waveforms across the output pin and the
capacitor.
Output

Vu

Time

Vcc

2/3 Vcc

1/3 Vcc

Time
T1 T2

Fig. 6.32 (a) Voltage waveforms across the output pin (b) Voltage waveforms across the
capacitor

The type of configuration shown in the Fig. 6.31 is called the free-running mode because the
triggering signal is captivated from the timer. That is the configuration is such that the trigger signal is
generated from the 555 itself. The free-running mode of operation of 555 is called the astable mode.
The circuit has the unique name of an astable multivibrator. The “astable” term comes from the idea
that the output is not stable to one level. That output transits as a result of which a stable state or level
(high or low) is not attained during the course of operation. Only the width of the pulse can be
controlled through the passive external elements such as resistors and capacitors as mentioned in the
above equation. If it is required to control the state or the level of the output according to our
requirement, we must deal with the monostable mode of operation of the 555. In the monostable mode
of operation, the output retains one state only (one shot), however, the current state can be changed
to another state by appropriately configuring the 555 with external components.
An astable multivibrator spontaneously switches from one state to another (low to high or high to
low). The time it stays high and the time it stays low are determined by the values of the external
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Mechatronics: Principles, Concepts and Applications

components. A monostable multivibrator circuit, on the other hand, has an output that stays in a
given state (either low or high) until a separate signal triggers the timer. Usually the separate trigger
signals are provided externally. The monostable mode requires only two external components, R a and
C, as shown in Fig. 6.33. Time period is determined by
T = 1.1 Ra C (6.24)

+ Vcc

Ra
3
V0
7
Output
555 5
Rb
0.01 µF

Vc(t) 1
6
2 Trigger signal
C

Fig. 6.33 Monostable mode of the 555 timer

There are thus two basic forms of timers, both of them multivibrators. In summary, a multivibrator
is a circuit that oscillates from one state to another over time, creating rectangular or square waves.

6.13 SAMPLE AND HOLD

Sample and hold circuits (S/H) are very important in the context of analog to digital (AD) conversion
of the signal. An S/H circuit is one that samples the analog signal at a particular instant and retains the
value for a specified time for subsequent use. A simple S/H circuit can be designed using diodes as
shown in Fig. 6.34. S/H ICs are also available.
Vin is the voltage signal at hand to be sampled and hold. Vosc is either a rectangular or sinusoidal
signal whose frequency is determined at which Vin is to be sampled.
Assuming the diodes are ideal (The threshold voltage is zero; see Chapter 2), when point C is
negative with respect to D, because of Vosc, no diodes conduct. So, there is no connection between
points A and B, they are said to be open circuited or ON condition. As a result, the input signal will
pass and will charge up the output capacitor, Co. When point C is positive with respect to D, all diodes
conduct, so the input signal will not appear at the E as points A and B are closed or grounded (OFF
condition). The capacitor, Ch, will hold the voltage, which had been charged during the ON condition.
During OFF state the capacitor will discharge through R1 and R2 because point A is grounded, but it
 215
Signal Conditioning Theory, Circuits and Systems

takes time, which depend on the value of R 1 and R 2. In order to follow the input signal, an appropriate
value for the capacitor must be chosen. For example, when the signal is decreasing past the capacitor
voltage, the capacitor has to discharge.
R1 E +

A
D-1 D-4
+
+ C D Output
Vin R2 Ch
Vout
- -
D-3 D-2
B

Vosc
+ -

Vin

Time
Vosc

Time

Vout

Time

Fig. 6.34 Principle of sample and hold

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Mechatronics: Principles, Concepts and Applications

6.14 CLOCK
The pulse or step signal happens only once. Conversely, an oscillator provides an endless series of
pulses. The output constantly goes from “ground” volts to Vcc and back to “ground” volts again.
Almost all digital circuits require some triggering signal which are oscillatory in nature. This stream of
oscillatory signal if often called a clock signal. The circuit that generate such clock signal is simply
called a clock. Remember that in sequential logic circuits the clock signal plays a very important role.
In a digital system everything has to be carried out in a timely synchronous manner. The sequential
digital circuit listens to the clock signal regularly and the action takes place in a precise timing
sequence. The smallest time at which all the components within a single unit or within the entire
circuits are triggered is determined by the period of the clock. Mostly quartz crystals are used for
providing clock signals. In some cases, where stability is less important, oscillator circuits using 555
timer or OPAMPs ICs or even using discrete components such as BJT, FET, etc. are designed to
generate clock signals.

6.15 ANALOG TO DIGITAL CONVERSION

Digital techniques and methods provide many added benefits over its analog counterpart (Also refer
Chapter 2 and Chapter 13). At the present technology scenario most of the signals are processed or
dealt within digital environment. For example, microprocessors, microcontrollers, computers, etc. all
require digital signals to deal with the control problems. Analog control signals are those generated
from the transducers or from any other devices are to be handled by the processors and controllers,
digitally. However, as mentioned, the available signals are analog in nature in the sense that these
signal vary continuously with respect to time. In order to deal such signal digitally there is a
requirement to convert the available analog signal to a digital form. The processes is called Analog to
Digital Conversion (ADC). The ADC is achieved through three sub processes such as,
· Sampling
· Quantisation
· Coding
A raw analog signal is converted into a series of samples by the process of sampling. The signal
thus generated is called sampled signal. The samples are taken periodically, i.e. at a regular interval of
time. Each sample in the stream is a function of time and amplitude. The points at which the values of
the analog signal is taken is determined by the sampling rate. The amplitude of each sample depends
on the amplitude of the analog signal at the instant of time at which it was sampled. Once the samples
are obtained, they are quantised. Quantisation is a process of normalizing the amplitudes of the
samples to its nearest quantisation or discrete levels. Discrete levels are pre-determined allowable
levels at which the analog signal samples are forced to attend. This is achieved via a quantiser. The
next process is the coding. The quantised discrete signal is then converted to a series of binary bits
called a word. The word length is characterized by assortment and its resolution. A more detail
explanation of the above follows.
Figure 6.35(a) shows the analog to digital conversion process. Figure 6.35 (b) is a typical analog
signal to be converted to a digital equivalent. Figure 6.35(c) is the output of the sampling circuit
(sampler). T is the sampling rate. S1, S2, S3, and so on are the samples of the analog signal located at
regular intervals of time. Figure 6.35(d) is the output of the quantiser circuit. Q1, Q2, Q3, and so on
represent the quantised signal. Note the difference between the sampled signal and the quantised
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Signal Conditioning Theory, Circuits and Systems

Digital Q1 = 0110
Analog signal Binary signal Q2 = 1001
Sampler Quantiser
converter Q3 = 0110
Q4 = 0110
Q5 = 1110
Sample and hold

(a)
Amplitude
Sampling signal

Time
(b)
Sampled signal

S1 S2 S3 S4 S5 Time
(c)
Quantised signal Quantisation level-15

Quantisation level-1

Q1 Q2 Q3 Q4 Q5 Time Quantisation level-0

(d)

Fig. 6.35 Analog to digital conversion process

signal. Sampled signals are forced to a pre-defined levels. These allowable pre-defined levels are called
quantisation levels. The sampled signal can take one of the nearest levels. The duration of the
quantiser output can be elongated by a hold. In effect, the combination can be referred to as sample
and hold (S/H) circuit, which you studied in the previous section. The binary converter or code
converter, generates a unique binary number or code according to the quantisation level of the
quantised signal.
The number of allowable pre-defined levels is important in the context of considering the resolution
of the conversion system. More the number within a given limit better is the resolution. As well, the
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Mechatronics: Principles, Concepts and Applications

number of levels is always a power of 2, since the conversion employs binary coding. In this example,
sixteen quantisation levels have been chosen. Therefore, the length of the word (code) of each sample
would be 4. If it is required to produce a digital word with 8 bits, then the number of quantisation
levels should have been 28 = 256 levels. Consider a transducer output (analog signal), which produces
an electrical signal within the limit of 0.05 volts to 3.0 volts. The range of the transducer is thus 2.95
volts. If you adopt the analog to digital system with a 4-bit word length, then the resolution would be
2.95/24 = 184 mV. On the other hand, if you adopt an A/D with 8 bits of word length, then the
resolution would be 2.95/28 = 11 mV.
Higher resolution results in approaching the analog level, when the analog signal is reconstructed
from the digital equivalent. The reconstructed analog signal will more closely resemble the original
analog signal. In other words higher the number of bits, more accurate can the analog signal be
reconstructed from its binary or digital representation.
The quantised signal Q1 has a quantisation level of 6 (Note that the quantisation level starts from
“0” in a binary system). The binary equivalent of decimal number “6” is 0110. Other sampled and
quantised signals have been converted to their binary equivalents by the binary converter, which have
been shown as the output of Fig. 6.35 (a).
The error produced due to quantisation is called the quantisation error. Mathematically, the
quantisation error is given by
S2
eq = (6.25)
12
Where eq is the quantisation error and S is the difference between two consecutive quantisation
levels, called step size. Thus, higher resolution implies low quantisation error.
One of the important parameters of an analog to digital converter is the sampling frequency, which
is not actually taken arbitrarily. Fundamentally, there is a strict relationship between the sampling rate
and the signal frequency as far as exact recovery of the analog signal from the sampled signal is
concerned. This relationship is known as the sampling theorem and states that “the sampling rate
should be at least twice that of the highest frequency of the analog signal.” That is,
fs ³ 2 f M (6.26)
Where fs is the sampling frequency and fM is the maximum frequency possessed by the analog
signal. If this condition is satisfied there will be no aliasing. Aliasing entails the problem of overlapping
of signal in the frequency domain. This can be understood by analyzing the sampled signal that
appears at the sampler output.
A sampler is simply an electronic multiplier as shown in Fig. 6.36. It multiplies the analog signal
(Fig. 6.36 (a)) with a periodic pulsed signal with unit amplitude (Fig. 6.36 (c)). The frequency of the
pulsed signal is fs. Figure 6.36 (e) is the sampled signal in time domain, which is simply the
multiplication of the analog signal and periodic pulsed signal. Figure 6.36 (f), (g), and (h) shows the
amplitude of spectral density of the product (sampled) signal. The amplitude of spectral density is the
Fourier Transforms (FT) of the product signal (refer to Chapter 2). The FT of the product contains
the FT of the analog signal and the sidebands ((Upper Side Bands (USB) and Lower Side Bands
(LSB)) located around, fs, 2fs, 3fs, and so on, as shown in Fig. 6.36. Two sets of sidebands around fs
(LSB-1 and USB-1) and 2fs (LSB-2 and USB-2), have been shown, although theoretically, the numbers
of sidebands in the product are infinite.
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Signal Conditioning Theory, Circuits and Systems

Analog signal
in time domain Pulsed signal
1

Time Time
(c)
(a)

Analog signal
in frequency domain

Multiplier

fM Frequency Time
(b) (d) (e)

Multiplied signal in the frequency domain Case-1 : fs = fM

Signal LSB-1 USB-1 LSB-2 USB-2

Frequency
fs 2fs
(f)

Multiplied signal in the frequency dmain Case-2 : fs < fM

Signal LSB-1 USB-1 LSB-2 USB-2

Overlapping

Frequency
fs 2fs
(g)

Case-3 : fs > fM
Multiplied signal in the frequency domain

Signal LSB-1 USB-1 LSB-2 USB-2

Not overlapping

fs 2fs Frequency
(h)

Fig. 6.36 (a) A typical analog signal (b) The Fourier Transform (FT) of the analog signal
(c) A pulsed signal (d) Multiplier (e) Sampled signal (f) FT of the sampled
signal—Case-1, i.e., fs = fm (g) FT of the sampled signal—Case-2, i.e., f s < fm
(h) FT of the sampled signal—Case-3, i.e., fs > fm
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Mechatronics: Principles, Concepts and Applications

Three cases have been shown. In case-1, the sampling frequency, fs is exactly twice that of the
maximum frequency, fM of the analog signal. In case-2, fs < 2fM and case 3, fs < 2fM. As you can see,
there is an overlapping among the sidebands of the product signal. The overlapping (aliasing) problem
can be solved if the sampling frequency is greater than or equal to twice the maximum frequency of
the analog signal.
Bearing in mind the above aliasing problems (i.e. fs should be greater than 2fM ), the analog to digital
converter (A/D) circuits are designed. There are various ways of realizing an A/D circuit. Basically,
two types of realizable circuits are encountered:
· Counter-based technique
· Successive approximation technique
Both counter-based A/D converters and successive approximation include a digital-to-analog (D/A)
converter circuit. For this reason, the D/A converter will be described first.

6.15.1 Digital to Analog Converter

Mainly two techniques are employed as far as Digital to Analog Conversion is concerned. Figure 6.37
and Fig. 6.38 and show the two types of D/A circuit. The circuits shown in Fig. 6.37 and Fig. 6.37
are called binary resister-based and R-2R ladder-based D/A converters, respectively. Both types
commonly use an adder circuit (summing amplifier) with different implementation techniques. The
latter one is better in terms of reliability. This can be understood once the operation of both the
circuits is known.

Rf
-
I0 I1 I2 I3 I4 I5 I6 I7
Vout
128R 64R +
Data bits 32R
S0 16R
D0 8R Ground
S1
D1 4R
S2 2R
D2
S3
D3 R
S4
D4
S5
D5
S6
D6
S7
D7

Vd

Fig. 6.37 Binary resistor based digital to analog converter

In Fig. 6.37, the voltage Vd is called a detrimental signal, which is kept constant. The switches S0
through S7 represent electronic switches, which can be realized using transistors. In order to avoid
 221
Signal Conditioning Theory, Circuits and Systems

the complexity within the circuit, the detailed electronic circuit, with regard to switches, has not been
shown. However, bear in mind that the switches are operated (close and open) through 8-bit (a byte)
input digital data, which needs conversion. Switch, S0 is operated by the data bit D0, switch S1 is
operated by data bit D1 and so on. A “0” causes the switch to open and a logic “1” causes the switch
to close. As an example, a digital data “01011101” at the input of the summing amplifier makes, S0, S2,
S3, S4 and S6 to close and S1, S5 and S7 to open respectively. Note the values of the resistances, which
are in the binary order. When a switch is closed the current passes through the respective resistor.
The value of the current depends on the value of the resistance. Since the values of the resistance are
in binary order, so are the currents.
When all switches are open, no current passes through and the output is zero. That is Ii = 0. When
all switches are closed the current through the respective resistors are,
Vd Vd Vd Vd
I0 = ; I1 = ; I2 = ; I3 =
128 R 64 R 32 R 16 R
(6.27)
Vd Vd Vd Vd
I4 = ; I5 = ; I6 = ; I7 =
8R 4R 2R R
th
where Ii is the current through the i resistor.
If the value of detrimental voltage is 5 volts (most preferable value), then the binary weighted
currents due to the most significant bit and that due to least significant bit become,
I7 = 5 / R
(6.28)
I 0 = 5 / 128 R = 0.0390625 / R
Thus, the current through any resistor represents the weighted value of the bit position. For unique
combinations of input bits the summing circuits will produce a unique analog output, since the circuit
sums up input currents. The number of combinations in this case is 28, i.e. 128.
Figure 6.38 uses another technique called R-2R ladder method of Digital to Analog Conversion. In
this case, the detrimental signal is a current signal. The switch S0 through S6 are operated by the data
bits. Switch, S0 is operated by the data bit D0, switch S1 is operated by D1 bit of the digital data and so
on. A “0” causes the switch to open (X-position) and a logic “1” causes the switch to close. As an
example, a digital data ‘10100010’ at the input of the summing amplifier makes, S1, S5 and S7 to close
and S0, S2, S3, S4 and S6 to open respectively.
Notice the value of resistances and their connections. Vertical resistors have value twice that of the
horizontal resistors. Refer the solved example given in the Chapter 3. Because of R-2R configuration
the current is divided into two halves at each node, N. The current through any vertical resistor
represents the weighted value of the bit position. For unique combinations of input bits the summing
circuits will produce a unique analog output, since the circuit sums up input currents. For simplicity,
assume that the value of the detrimental current source is 256 mA. Now,
Id Id Id Id
I0 = ; I1 = ; I2 = ; I3 =
256 128 64 32

Id Id Id
I4 = ; I5 = ; I7 =
16 8 2
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Mechatronics: Principles, Concepts and Applications

The R-2R ladder based D/A converter is reliable because there are only two values of resistances,
i.e., R and 2R, required for implementation. However, in former case (binary-resistor) eight resistance
values of binary order are required. In practice, such precise values of resistance are difficult to
obtain as compared to only two values as in case of R-2R implementation.
256 mA
R R R R R R R

I7 I6 I5 I4 I3 I2 I1 I0

2R 2R 2R 2R 2R 2R 2R 2R 2R

X X X X X X X X
S7 S6 S5 S4 S3 S2 S1 S0
D7
D6
D5
D4
D3
D2
D1
D0
Iout
Data bits
Output

Fig. 6.38 R-2R ladder based digital to analog converter

6.15.2 Counter-Based Analog to Digital Converter

Figure 6.39 shows a schematic circuit diagram of a counter based A/D converter. There are three
blocks; a comparator circuit that gives an output, i.e. a pulse when the inverting terminal exceeds the
input analog signal applied to the noninverting terminal. The D/A converter converts digital signal to
analog signal. The counter counts from zero to upward. The output of the comparator is connected to
the input of the counter and the output of the counter is connected to the D/A converter. The digital
output is taken from the counter only. With this description let us understand how the circuit works.
Initially, counter and the output of the D/A converter was reset to zero. When analog signal is applied
to the noninverting terminal of the comparator, it produces a pulse which is fed to the counter. The
counter will be incremented by one from zero. The counter output, which is digital signal is now
converted to analog signal for comparison. If the input analog signal is still higher, another pulse will
be generated at the comparator output, which in turn increment the counter a step. The process
continues until the analog input is just lower than the D/A converter output. Then the output of the
counter is said to be an equivalent of the analog signal. After initialization the equivalent digital output
of the analog signal is acquired only when the output of the D/A is greater than the input signal, and it
may take some time which depends on the input level and the number of bits within a counter. The
counter based technique therefore inherits initial catching problem.
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Signal Conditioning Theory, Circuits and Systems

Input analog signal +

Comparator
−

Digital to analog Counter

converter (D / A)

D7 D6 D5 D4 D3 D2 D1 D0

Analog signal Only 24 levels out of 128 levels have been shown
0001 1000
0001 0111
0001 0110
0001 0101
0001 0100
0001 0011
0001 0010
0001 0001
0001 0000
Counter output 0000 1111
0000 1110
0000 1101
0000 1100
0000 1011
0000 1010
0000 1001
0000 1000
0000 0111
0000 0110
0000 0101
0000 0100
0000 0011
0000 0010
0000 0001
0000 0000
Initial point
Digital
Initial catching equivalent

Fig. 6.39 Counter-based analog to digital conversion

6.15.3 Successive Approximation

Successive approximation technique overcomes the initial catching problem, encountered in the
counter based approach. Figure 3.40 shows the circuit diagram of an A/D conversion based on
successive approximation technique.
There are four blocks. The comparator, that produces a pulse at the output, if the input signal (non-
inverting terminal) is greater than the signal at the inverting terminal. The output is fed to a register,
called buffer. The buffer is connected to another register called Successive Approximation Register
(SAR). The output of the SAR is the digital equivalent of the analog input. The last block, as before is
a digital to analog converter, whose input is from SAR and the output is connected to the inverting
terminal of the comparator. The circuit works as follows.
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Mechatronics: Principles, Concepts and Applications

Initially the circuit is in reset state, i.e., the output of the comparator, content of the buffer and
SAR and the output of the D/A converter are zero. When the analog signal is applied at the noninverting
terminal, the comparator provides a pulse. In response to this the Most Significant Bit (MSB) of the
SAR is set to ‘1’ (In counter based method the Least Significant Bit was set) and the output of the
SAR becomes a digital signal of value ‘1000 0000’ (in case of 8-bit A/D converter). This digital value
is converted to analog signal by D/A block for comparison. If the analog equivalent of ‘1000 0000’ is
lower than the input analog signal, then the MSB of the SAR will remain set, else it will be reset to ‘0’
and the next MSB will be set to ‘1’, i.e., the new SAR output will be ‘0100 0000’. The analog
equivalent of this new output will again be compared with the input analog signal, and if the analog
equivalent of ‘0100 0000’ is lower than the input analog signal, then this bit of the SAR will remain
set, else it will be reset to ‘0’. The setting or resetting process based on comparison continues for all
the bits. Once all the bits of the SAR are covered successively, the conversion is said to be completed.

Input analog signal +

Comparator

MSB

Digital to
analog
converter Buffer
(D\A)

LSB
Successive
approximation
register

D7 D6 D5 D4 D3 D2 D1 D0

Fig. 6.40 Successive approximation technique

6.16 GALVANOMETER, AMMETER AND VOLTMETER

Galvanometer is an instrument that detects the presence, direction, and strength of an electrical
current in a conductor. They operate on fundamental magnetic law that an electric current flowing
through a wire in the presence of a magnetic field produces a force in the wire. Four basic components
are integrated in order to observe the phenomenon, i.e., the flow of current. The components are a
magnetic field, a coil, a pointer, and display. The magnetic field is constant. The coil is pivoted in such
a way that it can turn or rotate through an axis. The pointer is rigidly attached with the coil. The
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Signal Conditioning Theory, Circuits and Systems

display is considered as an indicator of the current to be measured. The conductor is placed within the
magnetic field, which is generated either by a permanent magnet or any other means. The external
conductor of which the current is to be measured is connected to the coil of the galvanometer. The
galvanometer coil becomes a circuit element. When the electric current passes through the conductor,
hence the coil, it exerts a force due to the presence of magnetic field. The coil and hence the pointer
then turns. The amount of turn, depends upon the strength of the current. The pointer passes over a
suitably calibrated scale. If no current flows through the coil, the pointer shows zero reading. A
current through the coil in one direction causes the pointer to move to one side and a current in the
opposite direction causes the pointer to move to the other side. Figure 6.41 shows a schematic
diagram of a galvanometer.

0
Pointer
Scale

− +

N S

Pole Coil Pole

Input terminal

Fig. 6.41 Schematic diagram of a typical d’Arsonval galvanometer

The galvanometer is usually used to measure small currents. In order to measure higher values of
currents, some potentiometer type circuits are to be interfaced as heavy currents could damage the
galvanometer. The galvanometer can also be used to measure the voltage. Appropriate value of
resistances are connected in appropriate manner in order to convert the galvanometer to measure
higher values of current and voltages. When the galvanometer is converted to measure the current it
is called ammeter and when it is converted to measure the voltage it is called voltmeter.
The galvanometer is connected to a bypass or shunt resistor so that only a certain known
percentage of the current passes through the galvanometer (Fig. 6.42 (a)). The known percentage of
current corresponds to total current. The current is measured by connecting the ammeter through the
conductor (Fig. 6.42 (b)). Similarly, we can measure voltage by connecting a series resistance with
the galvanometer (Fig. 6.42 (c)). In order to measure the voltage between two points, the
galvanometer-converted voltmeter is connected across the circuit element of which the potential
difference is to be measured. The current through the galvanometer, and hence the pointer reading is
proportional to the voltage across the two points.
 226
Mechatronics: Principles, Concepts and Applications

Galvanometer Galvanometer

Ammeter Voltmeter
(a) (b)

A
Circuit element
Ammeter
A B
Voltmeter

B
Ammeter connection Voltmeter connection

(c) (d)

Fig. 6.42 (a) and (b) Conversion of galvanometer into ammeter and voltmeter, (c) and (d)
Ammeter and voltmeter connections

6.17 CATHODE RAY OSCILLOSCOPE

The Cathode Ray Oscilloscope (CRO) is an equipment commonly used to measure and display signal
parameters such as amplitude, frequency, and phase. A wide range of both AC and DC levels can be
measured and displayed. The CROs are versatile, reliable, stable and can be handled easily. For these
reasons, it is being used in many laboratories, research centers, and industrial sectors.
The CRO is typically an oscilloscope in which CRT (Cathode Ray Tube) constitutes the main part
of the instrument. Figure 6.43 shows the schematic diagram of the CRT. Inside the CRT, a beam of
electrons is emitted from a heated tungsten element called cathode. The beam is accelerated towards
a fluorescent screen, containing phosphor. Whenever the electron beam hits the screen, the phosphor
is excited and in effect light is emitted from that point of the screen. By this process, energy
conversion takes place. Electron energy gets converted into light energy. This in essence allows us to
view the signal at hand. How the signal parameters are measured and displayed will be explained
shortly, but at this point it suffices to say that the flow of electron path is modulated in accordance
with the signal and the signal is usually fed to the vertical deflection plates.
The intensity control grid controls the flow of electrons and is therefore connected to a positive
potential with respect to the cathode. The focusing grid is to focus the scattered electrons so that they
travel towards the screen in a line. The accelerating anodes make it possible to accelerate the electron
beam so that when the beam hits the screen, the energy conversion takes place. The anode is
connected to a potential, which is kept high as compared to the potential of the focusing anode. The
potentials of the three anodes are adjusted in order to obtain the optimized outcome. The assembly
 227
Signal Conditioning Theory, Circuits and Systems

such as the cathode and the grids is sometimes referred to as electron gun, whose main purpose is to
generate the electron beam and control its intensity and focus. There are two pairs of plates called
horizontal plates and vertical plates. The role of horizontal and vertical plate pairs are to modulate the
electron beam horizontally and vertically respectively.

+ + + Pair of horizontal plates

Electron beam

(−) cathode

Intensity control grid Florescence screen

Pair of vertical plates
Focusing grid

Accelerating grid
Cathode ray tube

Fig. 6.43 A cathode ray tube

If a positive voltage signal is applied to the upper plate of the vertical pair with reference to the
lower plate, then the electron beam flowing in a straight line and hitting at the centre, O will get
deviated from the original path and will hit the screen at the point y1. If the signal is disconnected the
beam becomes straight and the fluorescent point will appear at the centre again. The amount of
deflection depends on the intensity of the positive voltage signal applied to the vertical plate (Fig. 6.44).
If the same signal is applied to the lower vertical plate of the pair, the beam will hit at the point y2.
It is convinced that the flow of electron beam is getting modulated in accordance with the strength of
the vertical plate voltage. The beam path and hence the deflection is modulated by the signal voltage
(Not by the intensity of the electron beam).
The signal whose parameters are to be measured and displayed is fed to the vertical plates. Suppose
we are interested to measure the amplitude of a sinusoidal signal. If the signal would have been a DC
signal, we would have got a fluorescent point somewhere on the vertical axis of the screen. Since our
signal is a sinusoidal type, the point will fluctuate up and down vertically with a frequency equal to the
signal frequency. However, because of the property of the fluorescent screen, (i.e., once it appears,
the fluorescent point does not blank the screen immediately. It stays a while), you will see a straight
line instead of a sinusoidal movement of fluorescent point. The length of the line is the measure of the
peak amplitude of the input sinusoidal signal. This type of display would only provide the information
about the peak amplitude of the input signal. To know the frequency information of the signal, we
must have horizontal deflection plate pair. In fact, horizontal deflection plates make it possible to
provide this information only when a linear saw-tooth signal, as shown in the Fig. 6.46, is applied
across them. The saw-tooth signal is called sweep signal that pull or sweep the fluorescent point in
horizontal direction. The combination of these two deflections allows the beam to reach any portion
of the fluorescent screen. The saw-tooth signal is generated within the CRO by use of an electronic
circuit called sweep generator.
 228
Mechatronics: Principles, Concepts and Applications

Vertical
Vertical plates axis
y1 y1
DC signal
Y = deflection
Horizontal
axis

Vertical plates
DC signal in
reverse direction
wrt above

0
Y = deflection
y2 y2

Vertical plates

Sinusoidal signal

0 Peak deflection

Fig. 6.44 Beam deflection proportional to the signal intensity

Amplitude Sudden fall

r
ea
Lin

Time

Fig. 6.45 Sweep signal

 229
Signal Conditioning Theory, Circuits and Systems

Application of one cycle of the sweep signal, which increases linearly with time, to the horizontal
plates, causes the beam to be deflected linearly with time across the screen. When the sweep signal
suddenly falls to zero, the beam flies back to its initial position. Application of second cycle of the
sweep signal causes the beam to start deflecting in the horizontal direction again. However, because
of the nature of the fluorescent screen and the other additional electronic circuitry, the fly-back part
of the return trace of the beam cannot be seen. The sweep signal repeats, drawing the beam
horizontally again and again in order to provide an illusion that the fluorescent point is not moving. The
persistence of vision in the human eye, and the glow of the fluorescent screen aids in producing a
stationary pattern.
A schematic and simplified block diagram of a typical CRO has been shown in Fig. 6.46. The signal
to be observed or displayed is amplified by the vertical amplifier and applied to the vertical deflection
plates of the CRT. A portion of the signal in the vertical amplifier is applied to the trigger generator in
order to provide triggering signal to the sweep generator. The trigger generator actually generates a
pulse coincident with a selected point in the cycle of the triggering signal. This pulse turns on the
sweep generator, initiating the saw-tooth waveform. The saw-tooth wave is amplified by the
horizontal amplifier and applied to the horizontal deflection plates.

Input signal whose parameter is to be measured

Vertical plate

Vertical
amplifier

Horizontal plate
Trigger
generator

Screen

Sweep Horizontal
generator amplifier

Fig. 6.46 Schematic diagram of the CRO

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Mechatronics: Principles, Concepts and Applications

· Signal conditioning is a process of preparing the available signal into a desirable one.
· A voltage divider circuit produces an output voltage, V0 that is proportional to the input voltage,
Vin .
· Potentiometer is a current or voltage dividing equipment.
· The unidirectional flow action is the basis of rectification, a process by which an alternating
current (AC) is transformed or rectified into a direct current (DC).
· Zener diodes, a specially designed diode, are used for stabilizing or regulating the voltage in a
circuit.
· A clipping circuit transmits an arbitrary signal within the limits. The signal above and below the
limits are suppressed. clipping circuits are also referred to as voltage limiters.
· Clamping circuit shifts the input voltage levels without changing the shape of the signal.
· A circuit that accepts an input signal and produces an output signal in the same way as the input
but has a larger magnitude is known as an amplifier circuit.
· The OPAMPs can be used for mathematical operations such as addition, subtraction,
multiplication, integration, and differentiation in analog computers.
· When the filters are designed using only passive elements such as capacitors and inductors,
they are referred to as passive filters.
· Filters that are designed either using a transistor or OPAMP are called active filters.
· The gain of the isolator or unity amplifier is unity.
· Zero crossing detector (ZCD) is a kind of comparator that provides a signal (pulse or step) at
the output when the input signal passes the zero level.
· Oscillators are positive feedback circuits.
· An astable multivibrator spontaneously switches from one state to another (low to high or high
to low). The free-running mode of operation of 555 is called the astable mode.
· In the monostable mode of operation, the output retains one state only (one shot), however, the
current state can be changed to another state by appropriately configuring the 555 with external
components.
· An S/H circuit is one that samples the analog signal at a particular instant and retains the value
for a specified time for subsequent use.
· A raw analog signal is converted into a series of samples by the process of sampling.
· Quantisation is a process of normalizing the amplitudes of the samples to its nearest
quantisation or discrete levels.
· The error produced due to quantisation is called the quantisation error.
· Aliasing cases the problem of overlapping of signal in the frequency domain.
· Mainly two techniques are employed as far as Digital to Analog Conversion is concerned,
namely binary resister-based and R-2R ladder-based D/A converters, respectively. The latter
one is better in terms of reliability.
· Galvanometer is an instrument that detects the presence, direction, and strength of an electrical
current in a conductor.
· When the galvanometer is converted to measure the current it is called ammeter and when it is
converted to measure the voltage it is called voltmeter.
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Signal Conditioning Theory, Circuits and Systems

· The Cathode Ray Oscilloscope (CRO) is an instrument used to measure and display signal
parameters such as amplitude, frequency, and phase.
· Application of one cycle of the sweep signal, which increases linearly with time, to the
horizontal plates, causes the beam to be deflected linearly with time across the screen. The
sweep signal repeats, drawing the beam horizontally again and again in order to provide an
illusion that the fluorescent point is not moving.
· The signal whose parameters are to be measured and displayed is fed to the vertical deflection
plates.

This chapter started with basic need of a signal conditioning with it’s various circuits and
systems used to achieve this. Here, the rectification, stabilization, dividing the voltage, clippers
and clampers were discussed clearly to understand the basic application of those in signal
conditioning field. Also, the amplifier section including multi-stage, OPAMP, and
instrumentation amplifier gives the essence of it’s wide utility in industrial process. The filter
circuits as a frequency selective are the very useful one, were also discussed. The wide
versatility of oscillators & especially 555 timer were also discussed which is used frequently in
most important applications in electric industry. Further, in addition ADC & DAC were also
discussed.

LOOKING AHEAD
Sensors and actuators are the integral part of the automation and control systems. For
instance, in a closed-loop control scheme sensors passively observe the output and
subsequently inform the controller and actuator actively activates the command that is received
from the controller. Actuators are used in open-loop control systems. There are various ways of
actuating the system or process. Primarily, the technical design and principle of operation of
various types of actuators must be studied.
Mechanisms play important role in machine construction. The components, which are
designed to reflect the mechanisms and are used for construction of the machine systems are
called mechanical components. In many actuating devices the mechanical components are
also fitted into. Chapter 7 describes the principle of various mechanisms. The importance of
next chapter in this respect is therefore significant.

EXERCISES

6.1 With a neat diagram explain a voltage divider circuit. Draw the circuit diagram of a compound
voltage divider.
6.2 What is a potentiometer?
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Mechatronics: Principles, Concepts and Applications

6.3 What do you men by rectification? Explain how the following circuits work.
· Half-wave rectifier
· Full-wave rectifier
· Centre-tapped full-wave rectifier
· Bridge type full-wave rectifier
6.4 What are the roles of clipping and clamping circuits? Draw the circuit diagrams. Explain the
principle of operation assuming a sinusoidal signal as the input signal.
6.5 What do you mean by a positive and negative clamper?
6.6 Define amplification. Write down the equivalent gain of the amplifiers in cascade.
6.7 Distinguish between inverting and noninverting amplifiers.
6.8 Derive the gain equation for an inverting amplifier.
6.9 Derive the gain equation for a noninverting amplifier.
6.10 An OPAMP inverting amplifier is to have an input of ±0.5 V and an output of ±10 V. Determine
component values.
6.11 Draw the circuit diagram of the followings by the use of OPAMP. Also discuss the principle of
operation.
· Adder
· Subtractor
· Integrator
· Differentiator
6.12 An integrator contains 100 K Ohm and 1 micro Farad capacitor. If the voltage applied to the
integrator input is 1 V, what voltage will be present at the output of the integrator after 1
second? Draw the output waveform if the input is a square wave.
6.13 What do you mean by Common Mode Rejection Ratio (CMRR)? Draw the circuit connection
for calculation CMRR.
6.14 Find out the expressions for the voltage gain in the common mode and differential mode
configuration.
6.15 The CMRR of an OPAMP is 60 dB. The inputs are v1 =1.0V and v2 = 1.01 V. Find the
percentage of error in the output due to the finite CMRR.
6.16 Plot the frequency versus gain curve of the low pass and high pass filters.
6.17 Define band-pass filter, band reject filter, narrow band filter and notch filter. Also plot the
frequency versus gain curve.
6.18 Draw the circuit diagram of a typical bandpass filter using OPAMP.
6.19 What is the function of an isolator? With neat diagram explain how a LED and photodiode can
in combination be used as an isolator.
6.20 Give an overview of the instrumentation amplifier.
6.21 Discuss the principle of operation of a bridge circuit.
6.22 Write notes on the following.
· Comparator
· Zero crossing detectors
· Oscillator
6.23 What are the types of signals the oscillator can generate?
6.24 Draw the schematic block diagram of an oscillator using OPMAP.
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Signal Conditioning Theory, Circuits and Systems

6.25 Find out the output voltage waveform of the OPAMP circuit shown below.
100 K

3V 100 K
V1 −

V0
100 K
V2 +

1V

t
1 sec 2 sec

Fig. 6.47

6.26 Draw the block diagram of an OPAMP based When-bridge oscillator and explain the principle
of operation.
6.27 Draw the block diagram of a square wave oscillator using OPAMP. Explain the principle of
operation. Write down the frequency of oscillation.
6.28 Draw the block diagram of a triangular wave oscillator using OPAMP. Explain the principle of
operation. Write down the frequency of oscillation.
6.29 Explain a sign wave generator by drawing neat diagrams. Discuss the pulse and square wave
generators.
6.30 What do you mean by crystal oscillator? Give some applications of crystal oscillator.
6.31 Starting from pin out diagram, discuss comprehensively the principle of operation of 555 timer.
6.32 Sketch the circuit of a basic astable multivibrator using a 555 timer. Draw the capacitor and
output wave forms and explain how the circuit operates.
6.33 Design a 555 astable multivibrator to produce an output with frequency ranges of 100 Hz to
200 Hz continuously adjustable. Use Vcc =12 V.
6.34 Sketch the input and output waveforms for a one shot using a 555 timer triggered by a 10 kHz
clock for R = 5.2 K Ohm and C = 5 nano Farad.
6.35 Write notes on sample and hold circuit.
6.36 What is the function of a clock?
6.37 Discuss about the principle of Analog to Digital Conversion (DAC) process.
6.38 State and explain the quantisation error? Write the equation and define the terms.
6.39 What is aliasing? What is the condition of overcoming aliasing? Clearly explain by taking an
arbitrary signal.
6.40 What should be the minimum sampling rate for a bandpass signal of bandwidth 4 kHz, centred
around 1 MHz.
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Mechatronics: Principles, Concepts and Applications

6.41 Draw the circuit diagram of a binary resistor based Digital to Analog Converter (DAC) and
explain how it works.
6.42 Draw the circuit diagram of a R-2R based DAC and explain how it works.
6.43 Draw the circuit diagram of a counter based DAC and explain how it works.
6.44 Explain the principle of operation of a successive approximation base DAC.
6.45 Write notes on the principle of operation of the following.
· Galvanometer
· Ammeter
· Voltmeter
6.46 Explain the principle and working of a CRO using a neat sketch. Explain each block.
6.47 Explain the principle of operation and voltage measurement using a CRO by deriving the
necessary equations. Draw neat diagrams.
6.48 Discuss in detail the method of measurement of frequency and phase angle through CRO.
 7
Actuators and Mechanisms

· To elucidate the role of actuator within the mechatronic arena.

· To discuss various types of actuators and their application areas.
· To differentiate the working principle, of DC, AC and stepper motors.
· To compare between VR and PM type stepper motor and to suggest their industrial applica-
tions.
· To explain various types of pneumatic actuators and their working principle.
· To elucidate the need of a valve and in particular to explain a solenoid valve to control the flow of
air into the pneumatic actuator.
· To classify the different hydraulic actuators and their pros and cons.
· To describe the important features of a smart material based actuator.
· To discuss about the basic mechanical components such as Bearing, Belt, Chain, Pulley,
Gears, Rack and Pinion, Slider-Crank, Cam-follower, Geneva wheel, Four-bar linkages, etc.
 236
Mechatronics: Principles, Concepts and Applications

7.1 INTRODUCTION
Physically, a mechatronic system is composed of four prime components. They are sensors,
actuators, controllers and mechanical components. Figure 7.1 shows a schematic diagram of a
mechatronic system integrated with all the above components. From control point of view, sensor
senses the signal, and actuator activates a control action. Depending upon the application requirements
sensors are chosen. The role of controller is to execute the control code for a given task. In its
abstract form, a simple but exemplar control code could be as follows:
‘Drive the actuator when an event has occurred’
The above piece of control code or algorithm can be realized in a variety of ways through a broad
range of microprocessors/microcontrollers and actuating systems.
Control code Mechanical
Command signal components
Sensing signal

Microprocessor
Sensors
or
Microcontroller
Actuator

Parameter, variables Actuation

PLANT
(Robot, Autonomous Guided vehicle, Numerical Controlled Machine,
Vehicle engines, Consumer products, Conveyor systems, Assembly systems,
Cranes, Defense equipments, Air craft engines, Other machines, consumer products, etc)

Fig. 7.1 A simple sensor actuator connection

Actuation is the process of conversion of energy to mechanical form. A device that accomplishes
this conversion is termed actuator. Actuators play a very important role while implementing control.
The microcontroller provides command signal to the actuator for actuation. Various types of actuators
are used depending upon the load involved. The term, ‘load’ is associated with many factors including
force, torque, speed of operation, accuracy, precision and power consumption. This chapter
describes the fundamentals of various types of actuators and their principle of operation.
Moreover, in order to take mechanical advantage within the system, mechanisms are employed.
Mechanism is the heart of every machine construction. They are responsible for transmission of
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Actuators and Mechanisms

power and motion from one place to another by the use of specially designed rigid bodies. These
specially designed rigid bodies are called mechanical components. These include bearings, gear, cam
and follower, rack and pinion, pulleys, etc. A detail description on commonly used mechanical
components has been provided at the latter part of the chapter. Learning the principles of mechanism,
gives the students ability to understand and design complex mechanical structures.

7.2 ACTUATOR TYPES AND APPLICATION AREAS

There are many types of actuators, in which energy transformation takes place through multiple
forms. In view of this, the actuators are broadly categorized into following groups.
· Electromechanical actuators
· Fluid power actuators
· Active material based actuators
Electromechanical actuators are used to efficiently convert electrical energy into mechanical
energy. Magnetism is the basis of their principles of operation. They use permanent magnets,
electromagnets, and exploit the electromagnetic phenomenon in order to produce the actuation.
Electromechanical actuators are DC, AC and stepper motors. DC motors require a direct current or
voltage source as the input signal, on the other hand AC motors require an alternating current or
voltage source. Stepper motors are considered as another class of electromechanical actuating
devices, which also use the principle of magnetism, typically has capability of achieving precision
angular rotation in both the directions and are commonly employed to accommodate digital control
technology, competently. The motor move in accurate angular increments knows as steps in response
to the application of digital pulses.
Hydraulic and pneumatic actuators are under fluid power actuators. Fluid power refers to energy
that is transmitted via a fluid under pressure. With hydraulics, the fluid is typically a liquid such as oil
or water. With pneumatics, the fluid is compressed air. Inert gases are also used. When a pressure
applied to a confined chamber containing a piston, the piston will exert a force causing a motion. The
piston will move if the difference in force across the piston is larger than the total load plus frictional
forces. The resulting net force can then accelerate the load proportionately.
Materials, which undergo some sort of transformations through physical interactions, are referred
to as active materials. The principle of operation (actuation) of these actuators is based on the fact
that they make use of properties of the material from which they have been constructed. Currently
available active materials are piezoelectric material, shape-memory alloys, magnetostrictive materials,
electrorheological fluids, etc. Piezoelectric actuators use piezoelectric materials. Application of a
voltage to a piezoelectric material causes a small motion. Shape-memory alloys like nitinol react to
heat. The actuator built with shape-memory material is called memory metal actuator. Terfenol-D,
which has the composition Tb0.3Dy0.7Fe2, is an example of an active material, a substance that
changes its shape when it is subjected to magnetic field. As material researchers have focused on
improving the performance of the different families of active materials during the past few years,
engineers have been developing ways to use them in designing practical actuating devices. Active
material-based actuators are sometimes referred to as microactuators. The development on
microactuating systems are relatively new, but the potential applications of such devices are taking
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Mechatronics: Principles, Concepts and Applications

momentum. Some application areas are:

· Aerospace structure monitoring systems
· Automotive monitoring and control devices
· Fluid control devices
· Biomedical equipment
· Precision optical components manufacturing and handling
· Precision manufacturing and process-monitoring equipments
· Microassembly

7.3 ELECTROMECHANICAL ACTUATORS

Electromechanical actuator converts electrical energy into mechanical energy. The fundamental
principle of operation of such actuators comes form the fact that when an electric current is passed
through a group of wire loops placed in a magnetic field, the loop rotates, and the rotating motion is
transmitted to a shaft, providing useful mechanical work. Although the weight of such actuators is
higher as compared to their counterparts, they are rugged and highly flexible in operation.
Electromechanical actuators have been the preferred choice for angular as well as linear motion.
They provide linear motion through auxiliary mechanical components such as bearing, gear, and
pulley, among others. Industrial application areas include robotics, machine tools, petrochemicals,
paper mills, steel mills, automotive applications, elevators, air compressors, conveyors, presses and
shears, just to name a few. Besides industrial control applications, the electromagnetic actuators in
their basic form, simply called motors, are also used in many consumer products. Some of the
products which use electric motors are:
· Washer · Dryer · Spindle
· Screwdriver · Vacuum cleaner · Solar shell
· Electric toothbrush · Electric saw · CD player
· Electric drill · Furnace blower · Mixer
· Fan · Hair dryer · Electric razor
· Starter motor · Radio antennas · Automatic door
· Disk drive · Tape deck · Toys
· VCR and so on.
Electromechanical actuators are the workhorse of the industry. There are several types, each with
its own unique features and benefits. They are available in different ratings ranging from nanowatts to
megawatts as far as output power is concerned. Some actuators run at a constant speed. Some have
a relatively small drop in speed as the load increases and some have a large speed decline with load.
Further, some actuators are designed to provide high starting torque such as in cranes and elevators
and others can be stepped through accurate short motions such as in computer drives. The principle
of operation of primarily three types of actuators such as AC, DC and stepper motor are depicted
below.

7.4 DC MOTOR
DC motor is the most versatile actuator and sometimes called rotating machine. The DC motor has
two parts, stator and rotor. The stator is the outer part of the motor which contains evenly spaced
magnetic poles as shown in the Fig. 7.2.
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Actuators and Mechanisms

N Stator

S Rotor N

Magnetic poles

(a)

Fig. 7.2 Schematic diagram of permanent magnet DC Motor

The stator is fixed. The rotor, on the other hand, rotates inside the stator. It consists of an
electromagnet with the poles (a magnet has two poles) facing toward the stator poles. The
electromagnet is formed by current carrying conductors (usually copper wire), which are wound
around the iron core (rotor). Collectively, the wounded wire is called armature coil or armature
winding. If more than one electromagnet is needed the cylindrical rotor is symmetrically partitioned
into segments to accommodate more number of wounds or windings. In fact, many rotors are
designed to have more one electromagnet. When a DC current is applied to the armature windings, the
rotor is immediately turned into a group of electromagnets. The current that passes through the rotor
winding is called armature current. The objective is to make the rotor rotate. This is achieved by
placing the armature winding in a magnetic field. The magnetic field is usually established by the use
of another magnet, which is a part of stator. A force is exerted on the current carrying conductor
when it is in a magnetic field. The magnetic field and armature current are always perpendicular to
each other. The interaction between the current-carrying armature windings and the electromagnetic
field of the stator produces a force called Lorentz force that makes it possible to rotate the rotor. In
summary, the direction of armature current, the direction of magnetic field and particularly the
construction of the whole stator-rotor assembly are such, based on governing fundamental law, that
the force exerted on the coil makes it possible the rotor to rotate. The force exerted is given by,
F = I a LB (7.1)
Where, Ia is armature current, B is magnetic field and L is the length of the conductor coil.
Depending upon the rotor’s physical characteristics and other load related design parameters, such
as rotational inertia, torque, speed, etc. the number of magnets to be put into place varies. Moreover,
the design parameters entail whether to design a permanent magnet type or electromagnet type stator.
DC motors are classified according to the way the magnetic field is established. The stator field is
established by either permanent magnets or by an electromagnet. Taking into account of this, two
types of DC motors are seen. They are:
· Permanent magnet type DC motors
· Electromagnet type DC motor or wound-field DC motor
Permanent magnet type motors have permanent magnet (s) in the stator. While small motors require
low amount of torque, large motors employed in many heavy-duty applications such as traction,
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Mechatronics: Principles, Concepts and Applications

electric trolleys, locomotives, mills etc., require large torque. In the latter case, the electric field is
established by electromagnets.
Practically two windings are there within the electromagnetic type motor system, namely, stator
winding (s) and rotor winding (s). In some literature the stator winding (s) is called field coil or field
winding. The current through the field coil is called field current. Stator winding (s) develop
electromagnet (s) which in turn establish the magnetic field. Rotor winding (s) develop electromagnet
(s) which in turn rotates itself. The field winding (s) and armature winding (s) are connected in a
number of ways, leading to different types of electromagnet type DC motors.
When the field and armature windings are totally separated, the type of configuration is called
separately-excited field-wound DC motor. The current flows into the two windings from separate
external sources. Conversely, if the field and armature currents are provided by the same external
source, then the configuration is called self-excited wound-field DC motors.
The self-excited DC motors based actuators are of two types, shunt motor and series motor. In
self-excited wound-field shunt motor, the field and armature windings are in parallel, where as in self-
excited wound-field series motor, both the windings are connected in series. Figure 7.3 shows
different types of DC motor configurations.
Ia

Ra

Magnetic field
Vin
F
Ebemf
Vin = Input DC supply voltage
Ia = Armature current
If = Field current
Ra = Resistance of armature coil (rotor winding)
Rf = Resistance of field coil (rotor winding)
(a)

Iin
Ebemf = Back
Ia electromagnetic
If
force produced by
Ia Ra Ra armature winding
Rf

Shunt coil/winding
Vin Vin
Ebemf Ebemf
F Series coil/winding

Rf

(b) (c)

Fig. 7.3 (a) Separately excited electromagnetic DC motor (b) Self-excited wound-field
shunt configuration (c) Self-excited wound-field series configuration
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Actuators and Mechanisms

The series motor has greater torque capabilities while the shunt motor has more constant and
controllable speed over various loads. These two desirable characteristics can be incorporated in the
same motor by placing both a series field and shunt field winding on the same pole. This in turn
termed as compound motor. Such motor responds better to heavy load changes because of the
increased current through the series field coils. This improves the field strength, providing added
torque and speed.
A DC motor converts the electrical energy to mechanical energy. The torque is produced due to
input current. In reverse situation, the torque, which is equivalent to mechanical energy, can produce
current that is equivalent to electrical energy. This reverse process is utilized for the design of DC
generator. Figure 7.4 illustrates schematic diagram of typical DC motor and DC generator.

Electrical Energy transducer Mechanical

energy/Power (Motor) energy/Power

Self-excited field energy

Mechanical Energy transducer Electrical

energy/Power (Generator) energy/Power

Fig. 7.4 Motor and Generator mode of rotary device

DC motors are rarely used in common applications because available signals are mostly AC in
nature. However, in many heavy-duty applications such as traction motors, electric trolleys,
locomotives, mills etc. DC motors are chosen due to torque requirement and their inherent nature of
being controlled efficiently. The speed and torque can easily be varied. This basically means that the
motor can develop accurate torque at different speeds. The speed of the motor is controlled through
what are being called as
· Armature controlled
· Shunt controlled
Basic principle of operation remaining same, the DC motors can also be categorized under whether
it is brushed, brushless or coreless type.
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Mechatronics: Principles, Concepts and Applications

7.4.1 Brushed DC Motor

Besides stator and rotor, other two important parts of a DC motor are brush and commutator. Brush
and commutator work together in order to achieve continuous motion of the rotor. When current is
passed through the armature winding, it develops a group of electromagnets whose poles are attracted
by the opposite poles of the stator poles. Among the group, consider a single electromagnet. Assume
that only one field magnet (two poles) is present. The poles of this electromagnet will be attracted by
the opposite poles of the stator poles (Fig. 7.5 (a)) and by virtue of which the rotor electromagnet
(coil) would make a motion and then stop in the position as shown in the Fig. 7.5 (b). That is, once the
magnetic lines of forces of the two electromagnets (stator and the rotor) becomes parallel and
opposite shown in the Fig. 7.5 (b), no further motion of the rotor would occur. However, key to a DC
motor is that the moment the rotor electromagnet align, its field flips, i.e., the direction of flow of
current through the coil is deliberately altered (Fig. 7.5 (c)). The alteration of current causes the poles
of the rotor electromagnet to alter. Notice that prior to the flipping the pole of the rotor electromagnet
and the pole of stator electromagnet were not similar. In this particular example they were north pole
and south pole respectively (right hand side of the Fig. 7.5 (b)), and just after flipping the poles of the
two electromagnets become similar. The alteration allows the rotor electromagnet to continue its
motion since the same pole will now repel each other. If the field of the rotor electromagnet flipped at
just the right moment at the end of each alignment, the rotor would rotate freely.
Current in the armature coil is switched or altered by means of commutator and brushes. The
commutator, a split-ring device in conjunction with the brushes reverses the current to keep the
torque turning the coil in the same direction. A typical situation in this context is shown in the Fig. 7.5.
In the figure the conductors on the left side exert force upward and conductors on the right exert
force downward. The position of the windings relative to the stator magnets changes due to the
movement. When a conductor on the left side goes to the right side, a particular coil segment would
contact the next brush of the commutator to continue rotational motion in the same direction. As the
conductor/armature rotates, each commutator segment comes in contact with a positive brush for an
instant and becomes positive during that time. The commutator segment meets a brush that is
connected to the negative terminal and it becomes negative during that time. As the armature continues
to rotate, each commutator segment becomes alternately powered by positive and then negative
voltage. This is considered to be a simplified description for understanding. However, the brush-
commutator design is relatively complex in structure.
The armature assembly containing a core, winding, commutator and brush, provides a mean by
which current carrying conductors can be moved through the air gap in between the stator and rotor.
Motor armatures are usually built using stacks of laminations instead of building in a single core.
Single core based armature design is not preferred because of eddy current loss. Eddy current is the
current that flows within the core. The loss due to eddy current is called core loss. Laminating the
armature core can significantly reduce eddy current. Normally, stacked steel laminations are preferred.
The commutator is attached to the end of the lamination stack, and the coil ends are attached to the
brushes.
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Actuators and Mechanisms

Ia
Stator
N Brush
N S
S
Force

(a) Rotor Commutator

S N

Force

Nextbrush

Commutator
N S N S
Ia Ic

(b) (d)
Ia (Current)
Commutator Ia
Conductor (coil)
Ia
Brush

N
N N S S
S
Brush

(c) Commutator
Ia
(e)

Fig. 7.5 (a) The rotor electromagnet at an instant (b) The rotor electromagnet before the
rotor current flips (c) The rotor electromagnet after the rotor current flips (d) A
simple brushed DC motor illustration (e) Commutator-brush arrangement

7.4.2 Brushless
A brushless motor operates much in the same way as a brushed motor. In a brushed motor, the
current is supplied to the rotating coil by a mechanical commutator (split-ring) and brush arrangement.
In a brushless motor, on the other hand the commutation is achieved electronically. The electronic
commutator can reverse the external connections at a high rate. The commutator and brushes are in
contact and during rotation both the elements rub against each other. The brushless DC motor is a
better construction because the commutation is achieved using electronic circuit that overcomes the
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Mechatronics: Principles, Concepts and Applications

problem of wearing arising out of physical contact. A brushless motor is often used when high
reliability, long life and high speeds are required.

7.4.3 Coreless
Iron core construction has several major disadvantages. The core has relatively high inertia that limits
acceleration. They also own electrical inductances and core losses, which stay even with laminated
structure. To overcome these drawbacks many motors are designed without a core. These types of
motors are called coreless motors. Coreless motors depend upon the winding itself to provide
structural integrity for the armature.

7.5 AC MOTORS
AC motors consume alternating electrical power to produce mechanical actuation in terms of angular
movement. The principle of operation for all AC motors relies on the interaction of a revolving
magnetic field created in the stator by AC current, with an opposing magnetic field at the rotor. The
opposing magnetic field is originated by virtue of induction or by supplying an armature current by a
separate DC current source. The principle of operation of AC motor in relation to the origin of
opposing field differs. Accordingly, AC motors are of two types. These are:
· Induction motor
· Synchronous motor
AC motors are either single phase or multiphase, depending upon the input signal requirement and
internal construction.

7.5.1 Induction Motors

The interaction of magnetic fields of the rotor and the stator makes the induction motor to rotate. The
stator windings are connected to the power supply, which could be one or multi-phase type. For
example, a single-phase induction motors is connected to the single-phase power line and 3-phase
induction motors to the 3-phase power line, respectively.
When an alternating voltage across the stator windings is applied, a radial rotating magnetic field is
produced. The rotor has conductive loop (conductor coil) along its periphery. The rotating magnetic
fields produced by the stator induce a current into the conductive loops of the rotor. Once that
occurs, the magnetic field causes forces to act on the current carrying conductors, which results in
a torque on the rotor.
The relationship between the velocity of the rotating magnetic field of the stator and the frequency
of the input power signal is given by,
f
v = 120 (7.2)
P
Where, v is the velocity, f is the frequency of the signal and P is the number of poles. As soon as
the input signal is applied, the rotor starts rotating. However, because of inertia, the rotor lags behind
the rotating magnetic field and it does not get locked with the velocity of the magnetic field throughout
the motion. As a result slip occurs. Slip measures the amount of lagging factor of the rotor with
respect to the rotating magnetic field. The slip increases proportionally with load, thus if accurate
velocity profiles are desired closed loop controlled induction motor systems must be employed.
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Actuators and Mechanisms

AC motors differs in aspects, such as their winding types and number of phases. Accordingly, a
variety of different types of induction motors such as poly pole, split phase, capacitor start, split
capacitor type, two phase, three phase (star or delta) are seen.

7.5.2 Synchronous Motors

The synchronous motor is a 3-phase system in which the magnets are mounted on the rotor and are
excited by DC current. The stator winding is divided into three parts, which are fed with 3-phase AC
current respectively. Because of the nature of connection, the magnetic field rotates at a constant
speed that is determined by the frequency of the current in the AC signal. The variation of the three
waves of current input to the stator winding causes a varying magnetic interaction with the poles of
the magnets of the rotor. This, in turn, causes the rotor to rotate. Typical characteristics of
synchronous motors can be attributable to as follows. They:
· Run at constant speed fixed by frequency of the input power signal
· Require DC current for excitation
· Have low starting torque
The main difference between the synchronous motor and the induction motor is that the rotor of
the synchronous motor moves at the same speed as the rotating magnetic field imposed by the stator
winding. It is feasible due to the existence of own magnetic field of the rotor. The rotor either has
permanent magnets or DC excited currents, which are forced to lock into a certain position when
reacted with the stator magnetic field. The locking phenomenon leads to overcome the situation of
slipping and solve the problems of speed variation with varying loads as is seen in the case of
induction motor. These motors are used particularly on large power systems because of their inherent
ability to improve the power factor of the system. Equation 7.2 can also be used for synchronous
motor in order to find the relationship between the velocity and frequency of the magnetic field and
the input voltage signal. The synchronous motor cannot be started as such. Another means of starting
has to be built into the motor. This is why synchronous motors are only selected for applications with
relatively infrequent starts.

7.5.3 Stepper Motor

Many applications require precise positioning control. Traditionally this has been achieved by the use
of small DC motors. However, small DC motors have very gradual acceleration and deceleration
providing low stabilization property. Gearing mechanisms can help to reduce this problem to some
extent. But overshoot still persists deviating the reachability, which means that desired position control
cannot be achieved. The only way to effectively use a DC motor for precise positioning is to apply
servomechanism, a control realization principle based on feedback rule (See Chapter 12). Furthermore,
DC motors are not efficient for producing high torque at relatively low speeds.
The alternative is the stepper motor. The stepper motor also consists of a rotor and stator. As the
name suggests, the stepper motor steps a bit at a time. The motor can be controlled using a
 246
Mechatronics: Principles, Concepts and Applications

microcontroller as it can responds to digital pulse trains. The rotor of the motor rotates a specified
number of degrees by each pulse the motor receives from its controller. The motion caused by one
pulse is called one step.
The rotor is considered as a multi-pole magnet. The stator has many poles and corresponding
windings. When the stator is excited with magnetic field, the rotor tends to re-align with a position
with respect to active stator poles. The electromagnetic multi-polarity behavior is ascertained through
two design methods leading to two basic types of stepper motors, which are:
· Variable reluctance (VR)
· Permanent magnet (PM)
Variable reluctance (VR) stepper motors are of two types, such as single stack or multi-stack. The
term phase is an important term, which basically implies the number of windings of the stator. Stator
phases and rotor poles are wound properly. The variable reluctance type stepper motor shown in the
Fig. 7.6 has four phases and two poles. No windings have been shown for clarity. When individual
stator phases is magnetized in sequence or in terms of switching the polarity, the rotor is made to
move.

Fig. 7.6 A schematic diagram of a stepper motor

The principle of operation of VR stepper motor is illustrated in the Fig. 7.7. In the first position
(Fig. 7.7 (a)), the rotor tends to orient with the N-S axis of the stator. The south pole of the rotor is
attracted towards the north pole of the stator field. When the stator phases are switched to a different
polarity, the rotor rotates 90o to align with this new N-S axis of the stator (Fig. 7.7 (b)). There are
only four possible positions (Fig. 7.7 (a–d)) of the rotor when all the phases are excited. In this typical
case, the step size is 90o.
In order to have better precision, the number of step size can be increased by building more
number of poles, phases and introducing proper control connections within the stator circuits. For
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Actuators and Mechanisms

S N

S
N

S N S N
N
S

N-S axis N-S axis

N of the stator of the stator S

(a) (b)

S S

N
S

S N N S
N

N-S axis N-S axis

N of the stator of the stator N

(c) (d)

Fig. 7.7 Stepping the rotor

example, in order to get a step size of 45o, the control scheme as shown in Fig. 7.8 may be introduced
with the same construction. Multi-stack variable reluctance type stepper motor involves further
enhancement of resolution, step size. The motor consists of a series of stacks, each with its own
phase winding.
The permanent magnet (PM) stepper motors have stators similar to VR motors. The rotors are
made up of a permanent magnets. A comparison of variable and permanent magnet type stepper
motor is given in Table 7.1.
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S N N

N S

S
S N S N S N S N
S N

N
N S S

(a) (b) (c) (d)

N S S

N
S
N S N S N S N S
N S

S
S N S

(e) (f) (g) (h)

Fig. 7.8 An alternative control scheme for the same construction; 45 degree step size

Table 7.1
Comparison between VR and PM type stepper motor
Variable reluctance type Permanent magnet type
· Step size relatively larger · Step size small
· Smaller rotor mass; more responsive · More sluggish
· Relatively high-speed applications · High precision application
· No retaining torque problem · Retaining torque due to the permanent magnet
section of the rotor
In a generalized sense, stepper motors fit into good replacement of normal DC motors. Stepper
motors can produce high torque at low speeds. They also characterize another feature of having the
holding torque that is responsible to allow a stepper motor to hold its position firmly when not
turning. This property is important in the applications, where the motor is forced to start and stop,
while the force acting against the motor remains present. This in turn sometimes eliminates the need
for a mechanical brake mechanism. The stepper motor is typically rated for a particular voltage. When
compared to a standard DC motor, a stepper motor has a more complicated hardware interface. For
applications not requiring precise speed or positional control, a DC brush motor has clear advantages.
The advantages of a stepper motor are clearer when some form of precision speed or positional
control is necessary. With the assumption that the stepper motor never stalls or slips, one can
accurately control both speed and positioning without a feed back mechanism. This feature is
significant because the feedback mechanism may cost as much, or more, than the motor to be
controlled. When positioning or speed control is necessary and the required torque and speed are
within the stepper motor limits, a stepper motor may present more economical solution than a closed
loop DC motor for lower torque applications. The stepper motors are very popular due to properties
such as:
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Actuators and Mechanisms

· Precision incremental movement in steps, i.e. the position is proportional to the number of input
pulses sent to the motor
· Repeatability and precision in positioning
· A good accuracy of the steps is achieved for each step
· They are reliable as the design does not include the brushes, gearbox and backlash.
The disadvantages are that they cannot be used at high speed and resonances can occur if not
properly controlled. Some manufacturers design stepper motor for applications where the stepper is
connected to the load through a gearbox. Note that gearboxes are the primary sources for backlash
in mechanical systems.
The application of stepper motors are found in printers, NC equipment, scanner, disk drives,
machine tools, X-Y recorders, scientific instrumentation, and robotics.

7.6 FLUID POWER ACTUATORS

Fluid power actuators are two types, differing in the way the input power is provided by air, water or
oil and consequently they are either pneumatic or hydraulic. As the names imply, pneumatic actuator
relates to air pressure, while hydraulic actuator refers to that use, or is driven by water or oil.

7.6.1 Pneumatic Actuators

Pneumatic actuators are the devices that causes things to move by taking the advantage of potential
energy. The actuators in their conventional form are basically called pneumo-mechanical devices and
have been used to automate industrial tasks of simple but iterative nature. The actuator has three
components; cylinder, piston and valve. The cylinder is a hollow chamber into which the external
compressed air is allowed to enter so as to enable the piston to move. The air enters through a hole
usually called port and a valve, which is considered as an actuator, controls the rate of flow of air into
the chamber. The valve is a controlling element and it is an electromechanical device, which will be
explained in the following section.
In operation, the piston is rigidly attached to load and can slide inside the cylinder. In view of their
motion, only two types of actuators such as linear and angular types, are manufactured, however, in
some more generalized sense pneumatic actuators are classified according to their mechanical design
parameters such as the number of posts and the way the piston moves.
The linear actuators convert the potential energy in the compressed air into mechanical energy in
terms of linear motion. The actuator consists of a piston and cylinder. The air enters the actuator and
pushes the piston from one end of the cylinder to the other. Linear actuators are of four types.
· Linear single-rod single acting
· Linear single-rod double acting
· Linear double-rod double acting
· Linear rodless double acting
The single-rod single-acting type actuator (Fig. 7.9) uses a spring force to move the piston in one
direction. When pressurized air enter into the cylinder, it overcomes the force of the spring and
compresses it. When the air supply is removed and the air inside the cylinder is allowed to escape
(exhaust), the piston moves back. Provisions must be made to allow air to escape from the spring end
lest the compressed air inside the chamber in effect would make a much stiffer spring.
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Mechatronics: Principles, Concepts and Applications

To pressurized air

Air valve (air controller)

Piston
Movement

Rod Chamber-1 Chamber-2

Load
Spring
Cylinder

Fig. 7.9 Linear single-rod single acting type pneumatic actuator

The single-rod double acting actuators have one rod (piston) two ports (Fig. 7.10). Compressed air
is sent to one side of the chamber and the air in the other side is allowed to escape. The piston is thus
pushed to one end of the cylinder. When compressed air is allowed to enter into the other side and the
first side is allowed to exhaust, then the piston is pushed back.

Pressurized air Pressurized air

Air valve-1 (air controller) Air valve-2

Movement

Rod Chamber-1 Chamber-2

Load Piston

Cylinder

Fig. 7.10 Linear single-rod single double-acting type pneumatic actuator

Linear double-rod double acting type actuator has two rods and two ports as illustrated in the
Fig. 7.11.

Fig. 7.11 Linear double-rod double acting type pneumatic actuator

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Actuators and Mechanisms

The basic operation of rodless actuators is similar to the standard cylinders. However, instead of an
extending rod, a rodless carriage is supported by bearings within the main cylinder. This gives the
rodless actuator the ability to guide and support load. The rodless type actuator does not have a rod
(Fig. 7.12). They are usually double acting type. As the internal piston moves, it drives the external
slide. Rodless cylinders have traditionally been for positioning light loads. A cross sectional view of a
typical rodless cylinder is shown in the Fig. 7.12 (c).

(a)

To air supply To air supply

Movement

Load carriage

Chamber-1 Chamber-2

(b) (c)

Fig. 7.12 Rodless pneumatic actuator

Of the four actuator types mentioned above, single-rod double-acting pneumatic actuators are
commonly used in industrial systems requiring high pushing force. They inherited properties of having
more powerful push than the pull force. The double-rod double-acting actuator has equal push and
pull forces and can be used in the applications where simultaneous pull and push operations are
important. The rodless double-acting actuator has equal push and pull forces. Some rodless actuators
use magnetic coupling to eliminate the sealing problems, but are limited in force transmission capacity.

7.6.2 Valves
Valve is a device for closing or modifying the passage through a pipe, outlet, inlet in order to stop,
allow, or control the flow of a fluid or air. In case of pneumatic actuators valves act as the controlling
element to control the flow of air into the chamber of the cylinder. The opening and closing of hole
through which the compressed air passes into the chamber control the flow of air. The flow rate is
proportional to the opening area of the hole.
Valves can also be considered as actuators and they are electromechanical devices containing a
solenoid that works on the principle of operation of LVDT (linear Variable Differential Transformer).
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Mechatronics: Principles, Concepts and Applications

Solenoids are electromagnets. When a current is applied through the solenoid coil, it magnetizes the
core which is a part of the spool as shown in Fig. 7.13. Because of magnetization, it pushes the core
against the spring, causing the hole to close or open. Depending upon the value of the current signal,
the magnetization varies, thus the force and hence the displacement of the spools and in effect the
flow of air. Figure 7.13 shows a solenoid valve controlling the flow of air into a pneumatic actuator.
In this figure, a single valve controls the actuator. The controller could be a microprocessor, PLC
(Programmable Logic Controller), PC (personal Computer) or IPC (Industrial PC). By controlling the
movement of the core (spool) the air can either enter in any of the chamber causing the piston to
move.
Inlet air pressure

Core movement
Controller Spool
VALVE

Current signal Solenoid Spring end

Chamber Chamber

Load

Chamber-1 Chamber-2

Fig. 7.13 A Solenoid valve controlling the flow of air into a pneumatic actuator

Valves are of many types depending upon the way they work. Some valves are normally open and
some are normally closed. Normally open and normally closed valves remain open and closed until
acted upon by some force. Throttling valves are those that are opened or closed incrementally,
restricting flow. Some valves are used to redirect the flow. These fall under diverter types. Another
way of classifying the valves is based on whether it is 2-way, 3-way or 4-way valves. Two-way
valves are, in general, shut-off valves. They have only two positions, namely open or closed, and also
have two ports, the inlet and outlet. Three-way valves have three ports, an inlet, an outlet and an
exhaust port. They generally operate on two conditions: (i) the inlet open to the outlet with the exhaust
blocked, and (ii) the inlet blocked with the outlet connected to the exhaust port. A four-way valve is
actually two three-way valves operated by the same actuator. The inlet ports as well as the two
exhaust ports may be joined internally to give four ports such as the inlet, two outlets and an exhaust
port.
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Actuators and Mechanisms

7.6.3 Hydraulic Actuator

Principle of hydraulic actuation system is similar to pneumatic actuation system except that instead of
air, fluid such as water or oil supplies the inlet power. Although the working principle remains the
same, the structural design varies. These devices utilize pressurized fluid to produce linear motion and
force or rotary motion and torque. Hydraulic actuators are used in a variety of power transfer
applications.
The pressure that is transmitted when a quantity of fluid such as water, or oil, is forced through a
comparatively small orifice or through a tube, operates hydraulic actuator. Based on the principle, a
handful number of hydraulic actuating components are designed. They are hydraulic accumulators,
hydraulic cylinders, hydraulic flow controls, hydraulic motors, hydraulic power units, hydraulic
pumps, hydraulic pressure regulators, rodless hydraulic cylinders, and vacuum pressure regulators.
Hydraulic actuators, mainly, are classified into four types.
· Single-acting spring return type
· Double acting cylinder
· Ram type
The single-acting cylinder is pressurized on only one end. An internal spring is compressed by
pressure on the cap end, and a rod extends. A reduction of pressure allows for the retraction of the
rod by the spring. In double acting type, pressure can be applied to two ports, thereby generating
power and motion in two directions. The ram type has a single fluid chamber and produces
unidirectional force. These are usually found in a vertical setting, and are best suited for such
applications as car lifts and other elevator-type applications.
Hydraulic actuator can also be designed to provide rotary movement. These types of actuators
provide torque. There are many types as far as design is concerned, but importantly rack and pinion
type and gear-motor type actuators are employed in industrial applications. They are specified
depending upon the angular rotation and torque involved. The rack and pinion type system uses rack
and pinion mechanism whereas the gear motor uses gearing mechanisms (Discussed in the latter part
of this chapter). Both types convert fluid power energy to rotary motion of a shaft (s) in order to
achieve mechanical functions such as turning, positioning, steering, opening and closing, swinging, or
any other involving restricted rotation. Figure 7.14 (a-b) illustrates both types of rotary actuators.

7.6.4 Comparison
Pneumatic and hydraulic actuating systems are compared while looking towards the application
domain and characteristic features. For a robot, most of the trade-offs favour pneumatics actuators
since pneumatic systems have low weight and leakage coefficient. The most significant difference
between hydraulic and pneumatic system is compressibility, which usually signifies disadvantage.
Further, the stiffness or impedance, of the pneumatic system can be controlled more easily than with
hydraulic counterpart. Moreover, a pneumatic system allows easy energy storage. That is, the
mechanical energy for the robot can be stored as compressed air at a high pressure. A regulator can
expand the stored air to the proper working pressure.
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Rack Outlet

Pinion

SHAFT

Rack Inlet

(a)

Inlet

SHAFT SHAFT

Outlet

(b)

Fig. 7.14 (a) Rack and pinion type pneumatic actuator (b) Gear-motor pneumatic
actuator

7.7 PIEZOELECTRIC ACTUATORS

Piezoelectric materials are called active materials. Piezoelectric actuator is an actuator that uses
piezoelectric materials. The piezoelectric material undergoes a dimensional change when voltage is
applied. The dimensional change is utilized to produce actuation. You have studied in Chapter 5 that
the piezoelectric material can be used for sensing applications. In that case, the mechanical energy is
converted into electrical energy. Piezoelectric actuator design is based on reverse principle, i.e. the
material can be used to convert electrical energy into mechanical energy. The conversion of electrical
energy into mechanical motion takes place without utilizing magnetic field or moving electrical
contacts (Commutator and brush), as is seen in case of electric motor based actuating systems.
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Actuators and Mechanisms

Magnetic field and moving contacts are susceptible to interference and wear respectively.
Commonly available piezoelectric materials are quartz, tourmaline, Rochelle salt, etc. However, the
piezoelectric effect of such materials is very small. For these reasons, polycrystalline ferroelectric
ceramic materials such as BaTiO3 and Lead Zirconate Titanate (PZT) have been developed to improve
the sensitivity of the actuator.
The important features of piezoelectric actuators are
· Wide range of operation parameters (voltage, force, size), broad operating temperature range
and can also be at cryogenic temperatures
· High reliability, stability, resolution and fast response
· Relatively high energy conversion ratio and low power consumption
· No wear and tear, i.e. excellent durability and little change in piezoelectric characteristics from
aging effect
· Solid state, compact and light weight
· Linearity, i.e. displacement is proportional to applied voltage
These actuators are useful for many functions. The main applications are found for
· Nanometrology
· Optical device alignment
· Micro fan and pump
· Linear drives
· Piezo hammers
· Gene technology
· Auto focus systems
· Mirror positioning
· Holography
· Disk spin stands
· Interferometry
· Robotics and micro manipulation
· Micro dispensing devices
· Tool adjustment and control
· Microlithography, wafer and mask positioning
· VCR, CD-ROM head control
· Critical Dimensions measurement
· Inspection systems and scanning microscopes
· Nanopositioning, microalignment and micro correction system and so on

7.7.1 An Illustration
An example based on piezoelectric actuator is given in this section. The Robotics Research Group at
Tempere University of Technology, Helsinki, developed a microtelemanipulator that facilitates remote
handling of microscopic objects under computer-assisted human control. You can obtain visual
information about the end-effector and micro objects using a microscope and a CCD camera. The
micromanipulator can be controlled either using a joystick or a PC keyboard. Automatic operations,
such as automatic injections, can be activated using the keyboard. The actuation system consists of a
piezoelectric actuator, a small tank and a bellows, as illustrated in Fig. 7.15. The bellows is a spring
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Mechatronics: Principles, Concepts and Applications

type of passive component. The force required to deform the bellows is directly proportional to the
displacement. The piezoelectric actuator is placed in the tank filled with hydraulic oil. When a voltage
is applied to the piezoactuator, it deforms. When the actuator buckles, oil flows from the tank to the
bellows, which elongates. When the actuator gets straightened, oil flows from the bellows to the tank.
Since the effective area of the bellows is smaller than that of the actuator, the displacement is
magnified. Micromanipulators can be applied in several application areas, such as biotechnology,
microsurgery, assembly and testing of micro devices. The principal applications of the
micromanipulator are in the areas where needs for precise and automatic operations is desirable.

Piezoelectric
End effector
Blow

Fluid

Fig. 7.15 An example of piezoelectric actuator

7.7.2 Piezoelectric Motor

Piezoelectric motors, simply called piezo motors, were developed in the early eighties in response to
the need for a lightweight, high-torque, and low-speed motor for many precision manufacturing
applications. Piezo motor primarily consists of an electromechanical resonator and a rotor. The motor
works based on the principle of conversion of a static ultrasonic wave, generated on the stator by
piezoelectric elements. The resonator part of the motor itself is a stator. The stators are realized with
microfabrication technologies. It has a silicon membrane having a diameter ranging from 2–5 mm,
and thickness ranging from 10–50 µm. The rotor vertical legs realize the conversion. The resonator,
adhering to the piezoelectric material, transfer electrical energy into small elliptical mechanical
vibrations that force the rotor to rotate due to friction between tip of the resonator and rotor. Voltage
excitation, tuned to the bending resonance of a piezo metal ring, produces elastic bending oscillations
which travel along the surface of the ring. This traveling wave induces rotational motion in the rotor
pressed against it. When excitation is stopped, the shaft is held in place by friction force. By reversing
electrical excitation, the rotor turns in the opposite direction. The stator consists of a circular
membrane anchored in the center and electrically connected by springs to the substrate. Piezoelectric
motors have many good characteristics compared to traditional induction motors, and in general, they
are characterized by a high torque at low angular velocity, high positioning precision, simple
mechanical construction and it induces no magnetic fields.

7.8 MAGNETOSTRICTIVE ACTUATORS

Magnetostrictive actuator uses active materials like Terfenol-D. When this material is placed near a
magnet, the shape changes. The effect is called magnetostriction. The magnetostrictive forces are
molecular in origin for which the mechanical response is very fast.
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Actuators and Mechanisms

Moreover, magnetostrictive materials have a coupling effect like piezoelectric material, which
means that a change in one state produces a change in the other. Magnetic fields produce shape or
length changes and therefore can be used as actuators, while stress changes produce magnetic
changes, thus can be used as sensors. Magnetostrictive actuators can be used to build:
· Active vibration control devices
· Hearing aids and
· Active positioners
Practical devices normally require high magnetostriction and a small magnetic anisotropy. Large
magnetostriction signifies large range of motion. The power produced by the actuator depends on the
square of the magnetostriction. Therefore small improvements in the magnetostriction can produce
large improvements as far as output is concerned. A small magnetic anisotropy means that only a
small magnetic field is necessary to produce a relatively large change in length. New advances in the
processing of terbium-dysprosium have yielded a unique polycrystalline structure in the material that
significantly increases its potential availability while maintaining high magnetostrictive effect. The
magnetomechanical properties of the materials are dependent on temperature. Typical ranges of
operations are from –280 to +600 degree Celsius.
Presently, hybrid rotary motor incorporating piezoelectric and magnetostrictive actuators has been
forecasted. The novelty of this motor is the creation of an electrical resonant circuit, whereby reactive
power requirement on the power source is reduced. Apparently, the motor would be suitable for low
output speed, high torque applications.

7.9 MEMORY-METAL ACTUATOR

Shape Memory Alloys (SMA) are active materials, which have the ability to return to a predetermined
shape when heated. The SMA, when used for the design of actuator, is operated above the
transformation temperature, a temperature below which it has a very low yield strength and is
susceptible to deformation. When the material is heated above the transformation temperature,
however, it undergoes a change in crystal structure, which causes it to return to its original shape.
This phenomenon provides a unique mechanism for actuation. The commonly used shape memory
materials are an alloy of nickel and titanium, called Nitinol. This particular alloy has very good electrical
and mechanical properties, long fatigue life, and high corrosion resistance. One must take into account
the forces, displacements, temperature conditions, and cycle rates required for a particular actuator.

7.10 ION-EXCHANGE POLYMER-METAL COMPOSITES

The research team at Artificial Muscles Research Institute, University of New Mexico, are studying
the properties of Ion-exchange polymer-metal composites (IPMC). IPMC are being developed in
order to design microactuators. IPMC show large deformation in the presence of low applied voltage,
and exhibit low impedance. They operate best in a humid environment and can be made as self-
contained encapsulated actuators to operate in dry environments as well. They have been modeled as
both, capacitive and resistive element actuators, that behave like biological muscles and provide an
attractive means of actuation as artificial muscles for biomechanics and biomimetics applications.
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Mechatronics: Principles, Concepts and Applications

7.11 CHEMICAL ACTUATOR

Polymer hydrogels exhibit large, reversible volume changes in response to various external stimuli,
such as temperature, solvent, and electric field. It has been verified that these gels can be used as the
basis for designing an actuator. Research on gel based actuation has focused on the material itself,
including studies of the mechanical properties, equilibrium volume and mechanochemical kinetics.
The design of a practical polymer gel actuator requires consideration not only of the material, but also
the supporting mechanics, stimulation method, energy storage system, power delivery technique,
packaging method, dynamic model and control system. Research team at Artificial Intelligence
Laboratory at MIT are studying the effect in terms of developing a dynamic model of a linear actuator
based on polymer hydrogel.

7.12 MECHANISMS
The mechatronic systems are composed of basic mechanical components (Refer Fig. 7.1). The
components can be classified into two groups such as passive components and active components.
Passive components such as nut, bolt, washers, screws, etc., typically do not transfer mechanical
power. On the other hand, the active components help to transmit power in terms of motion and
torque. The active components are sometimes referred to as basic machines. These are responsible
for transferring action from one place to other by means of what is known as mechanism. For
instance, gears makes it possible for changing the rate of rotation of a machinery shaft. They can even
change the direction of the axis of rotation and can convert rotary motion to linear one. If a mechanism
puts out more force than is put in, the mechanism is said to have mechanical advantage. Mechanical
advantage can be calculated by dividing the load by the effort. In general, the mechanical advantage of
a mechanism is the ratio of the output and input forces and apparently is a number that is greater than
unity. The rest part of this chapter describes fundaments to mechanisms in relation to active
components.

7.13 BEARINGS
The bearing is an active component that reduces frictional losses as surfaces side past one another.
Technically, the function of a bearing is to reduce the friction between a fixed and a moving surface,
and also to carry a load. We distinguish mainly five important types of bearings. They are,
· Slide bearing
· Plain journal bearing
· Rolling element bearing
· Magnetic bearing and
· Modern molecular bearing

7.13.1 Slide Bearing

A slide bearing, as the name implies facilitates linear motion between a load and a support. These
bearings are needed whenever one part of a machine slides against another. A sliding bearing typically
uses a lubricant to reduce friction between the sliding surfaces. Figure 7.16 shows a typical illustration
that uses slide bearing.
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Actuators and Mechanisms

Load

Lubricating
material Movement
Sliding surface-2

Sliding surface-1 Support

Fig. 7.16 Slide bearing

7.13.2 Journal Bearings

The mechanism of plain journal bearings or simply journal bearing is similar to sliding bearing but in
this case, a rotating shaft is involved. A journal bearing permits a load to exert radial pressure on a
shaft. Two types of journal bearings such as journal bearings that does not uses lubricant and journal
bearing that uses lubricants are employed.
Journal bearings without lubricant, often called dry journal bearings, permits the moving surfaces
to rub together as they pass one another. These bearings use low friction rubbing materials or materials
impregnated with a lubricant in between the two surfaces, subject to movement. The rubbing materials
also have intrinsically low wear properties. Figure 7.17 shows the typical dry journal bearing. Usually
the two materials, material-1 and material-2, are different and one of them is non-metal or alloy
(lubricant).

Material-1 Material-2
(Alloy) (Metal)

Rotating shaft
Rotational axis

2-sets of
journal bearings

Fig. 7.17 Typical dry journal bearing

Treatment and sometimes coatings over the materials significantly improve their tribological
(Tribology is defined as the study of friction) properties. In many designs the dry bearing may adhere
a metal sheath that can be replaced as it wears out. Whitemetal (bronze, steel or cast iron), copper
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Mechatronics: Principles, Concepts and Applications

based alloys such as copper tin, copper lead, phosphor bronze, etc. aluminium based alloys, sintered
bronze impregnated with oil and graphite, nylon etc. are commonly used as the bearing materials
(material-1). The design of these bearings is governed by the strength of the bearing material and it’s
ability to dissipate the heat generated due to the surface friction.
The journal bearings of second type use lubricant. The lubricants are oil, grease, jelly, gas film and
water. While in operation, the lubrication makes it possible to form a film between the sliding surfaces,
which in effect isolates the two surfaces considerably reducing friction. Various ways have been
devised to keeping a journal bearing lubricated. Three techniques are frequently applied; boundary
lubrication technique, hydrostatic lubrication technique and hydrodynamic lubrication technique.
Boundary lubrication technique simply wets the bearing surface boundaries. Typically, this kind of
lubrication is employed for low speed rotary applications. In a hydrostatic bearing, the load is carried
by fluid pressure generated outside the bearing. Fluid is pumped under pressure into the bearing. In a
hydrodynamic bearing on the other hand, a fluid is drawn into the region between the moving parts of
the bearing by the virtue of its adhesion to the surfaces of the bearing and its viscosity. When the
bearing has reached sufficient speed, the lubricant begins to lodge into the contact area and
hydrodynamic lift is attained. Because of the design and the shape of the bearing surfaces a pressure
is generated within the fluid which keeps the bearing surfaces separated. In fact, the pressure
necessary for the separation of the moving surfaces, is produced hydrodynamically as a result of the
motion of the fluid.

7.13.3 Rolling Element Bearing

Rolling element bearing is considered as one of the very important mechanical components and is
essentially used for almost all rotary applications. The surfaces of any object roll better than they slide
because when object slide, the friction between them causes a force that tends to slow them down,
however, if the two surfaces roll over each other, the friction between them is greatly reduced. This
is the reason why the rolling bearings are fitted into relatively high-speed rotary machineries and
systems. The friction reduction is achieved by providing smooth and hard metal rollers and a smooth
inner and outer circular metal surface for the rollers to roll against each other. The rollers bear the
load, allowing the rotary system to spin as if effortlessly. The energy loss is very low because of low
rolling friction. Note that rolling reduces friction related energy loss to a minimum, ideally to zero.
The rolling element bearings consist of two circular metal (usually steel) rings and a set of rolling
elements. One of the rings is larger than the other. The smaller of the two is called inner ring and the
other one is referred to as the outer ring. The inner ring fits well within the perimeter of the outer ring.
A fixed number of solid rollers, depending upon the load requirements are designed into geometric
shapes and placed at equal intervals in the open space between the two rings. These predetermined
rollers are usually made of steel and ceramic materials and are referred to as rolling elements. In many
cases, a cage or holder (also called retainer) is designed to maintain the intervals between the elements.
The rolling elements rolls in between the surfaces of the rings. These surfaces are referred to as
inner-race and outer-race; both are being called raceways. The surfaces of the rings (raceways) are
hard and the rings must have uniform stiffness throughout. Figure 7.18 shows a typical rolling
bearing.
Bearings typically have to deal with two kinds of loading, radial and thrust (also called axial loads).
Depending on where the bearing is to be used it may deal with all radial loading, all axial loading or a
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Actuators and Mechanisms

combination of both. The amount of the load usually determines the size and type of bearing to be
used.
Rolling elements

Inner ring

Outer-ring

Axis

Outer-race
Inner-race

Fig. 7.18 Typical rolling bearing

There are many types of bearings as far as rolling element is concerned. The geometric shape of
these rolling elements define the classification. Commonly used rolling elements are,
· Balls
· Cylindrical rollers
· Needle type rollers
· Tapered rollers
Ball bearings use perfectly round balls as their rolling elements, cylindrical roller bearings use
cylindrical rollers, and so on. Figure 7.19 shows the geometric shapes of different types of rolling
elements. The example given in the Fig. 7.18 is an illustration of a ball bearing.

Ball Cylindrical Needle Tapered

Fig. 7.19 Typical roller elements used in the bearings

Ball bearings are the most common type of bearing. There are many different configurations of ball
bearings, each one having special load, assembly, or alignment characteristics. Although, ball bearings
are designed to carry primarily radial load, however, these bearings can handle both radial and thrust
load and are usually found in applications where the load is relatively small or moderate. In a versatile
ball bearing system, the load is transmitted from the outer race to the ball, and from the ball to the
inner race. The outer ring is normally tightened with the body of the system and the inner ring is
tightened with the shaft of the rotor or load as shown in the Fig. 7.20.
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Mechatronics: Principles, Concepts and Applications

Axial and radial load

Radial load

Body

Radial load Rolling SHAFT

Radial load bearing

Body

Radial load

Fig. 7.20 Typical rolling bearing exerted by radial load

All the balls contact the inner and outer race at a very small point, which helps it spin very smoothly,
however, since the contact area is very small, if the bearing is overloaded the balls can deform
rupturing the bearing. In deep groove ball bearing the balls run in comparatively deep grooved tracks,
which make the bearing suitable for both radial and thrust loads. Deep groove ball bearings are used
for high-speed applications. Single direction ball bearings can only accommodate loads acting in one
direction. A deep groove ball bearing may have two rows of balls within the rings. This provides
greater rigidity. For loads acting in both directions, double direction bearings are needed. Bearings
with two rows of balls are employed for heavy radial loads. Angular contact single row bearing gives
precise axial and radial location under load. Double row angular contact ball bearings take heavy thrust
in both direction and some radial load. During operation the bearing is usually preloaded, a technique
to remove all the clearances in the bearing and to provide uniform stiffness to the balls.
The friction in a rolling bearing is the determining factor where heat generation in the bearing
causes thermal deformation and is a great concern. The friction depends on the load and on several
other factors, the most important of which are the operating speed, the properties of the lubricant and
the quantity of the lubricant. Bearings with higher precision are required for applications like vehicles,
industrial machines, etc. as well as applications which require high running accuracy such as high-
speed spindling.
For a rolling element bearing, life refers to the number of revolutions before evidence of fatigue
develops in either of the rings or in any of the rolling elements. The reliability of the individual rolling
bearing is the probability that the bearing will attain or exceed its specified life. The basic rating life of
the bearing is denoted by the symbol L10. Mathematically the basic rating life for radial ball bearing is
written as,
3
L10
LC O
=M P r
Million revolutions (7.3)
NP Qr
where, Cr is a constant, called radial load rating. The bearing can sustain this load rating for one
million revolutions. The bearing manufacturers supply the value. Pr is called equivalent dynamic radial
load. For a bearing running a constant speed nRPM, the life in hours is,
3
L10 =
1.6 CrLM OP 10 4
(7.4)
n Pr N Q
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Actuators and Mechanisms

Rolling element bearings are used in vehicles, bicycles, conveyor systems, robotics, industrial
rotary systems, hard drives, household appliances and so on.
Cylindrical bearings are used in applications like conveyer belt rollers, where load requirements are
high. They can hold heavy radial loads. Since the rollers are cylindrical in shape, the load bearing
capability is much higher as compared to ball bearings. Note that the contact between the inner and
outer race is a line unlike ball bearing, where the contact is considered as a point. Cylindrical bearings
are not good candidate for applications requiring axial loading.
Needle roller bearing provides a small diameter, light-bearing load for assemblies in which space
and weight is restricted. Tapered roller bearings can support large radial as well as large thrust loads.

7.13.4 Magnetic Bearings

The limitation of friction losses in bearings is an engineering challenge. In magnetic bearings,
mechanical friction losses are eliminated. A typical magnetic bearing is shown in Fig. 7.21. It is
composed of four number of horseshoe-shaped electromagnets. The four magnets are arranged evenly
around a rotating shaft. Each of the electromagnets can produce a force that attracts the rotor iron
towards them. These bearings allow the rotating shaft to float on a magnetic field created by the
electromagnet.
Horseshoe magnet
(Electromagnet)

Horseshoe magnet Rotor Horseshoe magnet

(Electromagnet) (Shaft) (Electromagnet)

Horseshoe magnet
(Electromagnet)

Fig. 7.21 Magnetic bearing composed of four discrete horseshoes

These bearings are used in lieu of journal and rolling element bearing and are essentially employed in
high performance turbomachinery applications. The bearing is distinguished from other types by an
almost complete absence of friction, since there is no mechanical contact. In addition, reliability is
increased because there is no mechanical wear. Besides the obvious benefits, magnetic bearings allow
some instability because any unbalanced magnetic field displaces the rotor position causing serious
problems to the system. The position of the rotor should be central to the geometrical axis of the
system for ever. Since the rotor shaft floats in the magnetic field, the effect of self weight of the shaft
must be considered while designing the electromagnets. Magnetic bearings are generally open-loop.
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Mechatronics: Principles, Concepts and Applications

In order to keep the position of the rotor fixed active feedback control is required for the bearings to
operate stably. However, the requirement of feedback control sometimes brings inflexibility into the
dynamic response of the bearings.
Specific applications include precision spindle machines, flywheels for energy storage applications,
high reliability pumps, compressors and so on. Note that some of the flywheels run at speeds in
excess of 50,000 RPM. Normal bearings with rollers balls would explode at these speeds. The
magnetic bearing has no moving parts so it can handle these incredible speeds.

7.13.5 Molecular Bearing

Because of the advent of nanotechnology, design of molecular bearings has already begun. It is worth
pointing out that the word nanotechnology has become very popular and is used to describe the
characteristic dimensions which are less than about 1,000 nanometers. Nanotechnology is thus
considered as the miniaturization to the extreme. Although nanotechnology is still at the rudimentary
stage, potential research is underway all over the world. Atomic-scale machines are to be constructed
to perform tasks in molecular environments. Currently, some researchers believe nanomachines may
be only 5 to 10 years away. Nanotechnology will enable the construction of nanocomputers,
nanomachines, nanomanufacturing appliances and much more.
The bearings are integral to most of the nanoworld machines. Nanotechnology conformant
molecular bearings are likely to be as ubiquitous in future molecular machines as conventional bearings
are in today’s macroscopic machines. Apparently, molecular bearings has becoming one of the most
useful inventions in recent years. Bearing design takes significant work, because this needs several
types of bearings for different applications. The simplest bearing is a single chemical bond, which is
only useful for small loads. For larger bearings, two atomic flat sheets of some material, one larger
than the other are bend to form cylinders and smaller is placed inside the larger. These types of
bearings do not require lubrication.

7.14 BELT, CHAIN

Belts and chains form a convenient means of transmitting power. Belts or chains running over suitable
pulleys effect the transmission of motion and power between shafts that are some distance apart. But
owing to their tendency to stretch and slip on the pulleys, they are not suitable where an exact velocity
ratio between the shafts is required.

7.15 PULLEYS
The pulley is a simple component consists of a plain or grooved wheel and a rope or belt wrapped
around the wheel, mainly used to change the direction and the point of application of a pulling force.
Single or multiple pulleys in various combinations can be used to increase the applied force. They are
especially helpful for lifting heavy objects to the places hard to reach. They make the work of moving
heavy loads a lot easier by affording mechanical advantage.
One way of classifying the pulleys is based on whether it is fixed or movable. Fixed pulleys are the
pulleys, which are permanently fixed with the machines. The main benefit of a fixed pulley is that it
changes the direction of the required force. A fixed pulley provides no concrete mechanical advantage.
The same amount of force is still required, but may be applied in another direction. Movable pulleys
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Actuators and Mechanisms

are the pulleys which move with the load. The wheel directly supports the load, and the effort comes
from the same direction as the rope attachment. A movable pulley reduces the effort required to lift a
load. A combined pulley includes fixed and movable pulleys. An arrangement including fixed and
movable pulleys is called a block and tackle. Depending upon the situation, a pulley system consisting
of a fixed pulley and a movable pulley would reduce the workload.
The pulley carry a flexible rope, cord, cable, chain or belt on its rim. In old days, pulleys were
referred to as simple machines, but presently they are being considered as the basic mechanical
components. Although, traditionally pulleys have been used mostly to lift the load vertically, their
applications are now found in many traditional and advanced machine systems enabling the
transmission of energy and motion. Pulleys are attached to shafts at their axes and power is
transmitted between shafts by belts or chains that run over the rim.
Depending upon the system requirements, design of several types of pulleys are considered. Pulleys
can be combined to form double pulleys, which have at least two wheels. There are various other
combinations, which can result in a triplex pulleys and complex pulleys. Figure 7.22 shows typical
arrangement of many pulleys and their direction of movements in a typical machine systems.

Pulley

Axle

Belt
Axle (a) (b)

Fig. 7.22 Typical pulleys (a) simple double-pulley (b) Complex pulley

Pulleys can be constructed to assure accurate positioning, repeatability, and drive

performance. One type of pulley is called timing pulley (Fig. 7.23), which is mainly used for
positioning applications. Timing pulleys featuring timing elements, projections on the rim are used
when a system needs to deliver precise positioning accuracy or repeatability. Timing elements help to
control belt creep in a typical belt system.
In some special pulleys, ball bearings are fitted into. These precision machined ball bearing pulleys
in some applications use small zinc plated steel cables.
The wheel of the pulley is made of iron, but in other applications magnetic pulleys are employed.
Magnetic pulleys are designed specifically for installation at the terminal head of conveyors. The
prime function of a magnetic pulley is continuous extraction and separation of contamination such as
unwanted iron particles, pieces etc. from the mixture in order to protect the processing machinery
such as crushers, grinders and other valuable equipment (Fig. 7.24). It is also used for product
purification of foodstuffs, chemicals, pharmaceuticals and so on. Magnetic pulleys can use permanent
magnets or electromagnets.
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Mechatronics: Principles, Concepts and Applications

Timing element

Axle
Axle

)
p view
Belt (to

Fig. 7.23 A typical timing pulley

Magnetic pulley

Fig. 7.24 A typical magnetic pulley

7.16 GEARS
Gears are another important mechanical component used in almost all machineries and they facilitate
mechanism in terms of transformation of power and motion from one rotating shaft to another. They
help to increase or decrease force, torque or speed and can change the direction of the axis of
rotation. They can also change rotary motion to linear motion. One of the most common examples is
the car gearbox.
Figure 7.25 shows a simple but a basic gearing integration. The integration consists of two gears.
One is larger and other is smaller in diameter. Each gear has been rigidly fitted with a shaft, to and
from which the power is transmitted. Eventually, the two shafts couple each other through the gears.
The gear has teeth around it. One of the characteristic features of the gears is the number of teeth they
have. The gear that is turning the other one is called the driver, and the gear being turned is called the
follower. Driving a small gear by turning a larger gear is called gearing-up, and driving a large gear
with a small gear is called gearing-down. The ratio between the gears provides control of the speed
and torque of the output shaft. On any gear, the ratio is determined by the distances from the centre
of the gear to the point of contact.
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Actuators and Mechanisms

Gear-1
Teeth
Shaft
Axis

Shaft

Gear-2

Fig. 7.25 Basis of a typical gearing arrangement

The gears essentially work together at least in groups of two or more. A single pair may be
inadequate for certain sources and loads, in which case more complex combinations, are necessary.
More than two gears working together is called a gear train. They can mesh in many different ways
depending upon the application requirements. One gear turns another, which may turn another, and so
on (Fig. 7.26). The necessary gearing systems are designed to obtain the desired speed, direction,
motion, torque, etc. As before, the gear on the train to which the force/torque is first applied is called
the driver. The final gear on the train to which the force/torque is delivered is called the driven gear or
follower gear. Any gears between the driver and the driven gears are called the idlers.

Output

Idler

Input

Fig. 7.26 A typical example of gears train

The speed and torque relationship through gearing mechanism can be understood as follows. A
small electric motor, capable of rotating at high speed providing enough power, but not enough
torque. If such a motor is to be used for electric screwdriver, then gearing mechanism must be
incorporated into it, since driving the screw essentially requires high torque. The motor must have a
very large gear reduction because it would need high value of torque in order to turn round the
screws. In majority of applications, it is required to reduce the speed and to increase the torque. That
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Mechatronics: Principles, Concepts and Applications

is the speed reducers are much more common than speed-up gear systems. The speed-torque
relationships are such that sometimes the speed reducers are referred to as torque amplifiers. With a
gear reduction, the output speed can be reduced while the torque is increased.
The way the teeth are designed classifies the gears. Basically, four types of gears are found in
engineering applications, however, some derivatives from these are also designed.
· Spur gears
· Bevel gears
· Helical gears
· Worm gears
Figure 7.27 shows various types of gears. A spur gear is one of the most important ways of
transmitting a motion between two shafts lying parallel to each other. The design is such that the teeth
in the respective gears are always definite and regular. Clearance is the distance from the tip of a tooth
to the circle passing through the bottom of the tooth space and measuring radial. In terms of load
bearing capability, the correct clearance is vital to the motion of gears. Spur gears are easy to find,
inexpensive and efficient. These gears generally cannot be used when a direction change between the
two shafts is required.
Bevel gears are the gears mainly used in applications where the direction of a shaft’s rotation needs
to be changed. They are usually mounted on rotating shafts that are placed at an angle of 90 degrees
to each other as illustrated in the Fig. 7.27 (b), but can be designed to work at other angles
conveniently. The teeth on bevel gears can be straight or spiral.
Helical gears (Fig. 7.27 (c)) are similar to the spur gear except that the teeth are at an angle to the

(a) (b)

(c) (d)

Fig. 7.27 Various types of gears (a) Spur gear (b) Bevel gear (c) Helical gear
(d) Worm gear
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Actuators and Mechanisms

shaft, rather than parallel to it. The resulting teeth are usually longer than the teeth on a spur gear of
equivalent pitch diameter. Helical gears may be used to mesh two shafts that are not parallel, although
they are predominately used in parallel shaft applications. These gears can carry higher loads than
spur gears. Helical gears have the major disadvantage that the design cost is high.
A gear which has one tooth is called a worm gear. The tooth is in the form of a screw thread as
shown in the Fig. 7.27 (d). The worm wheel to some extend is a helical gear with teeth inclined. The
worm wheel may transmit torque and rotary motion through a right angle.

7.16.1 Gear ratio

One of the basic relationships for a gear is the number of teeth, the diameter, and the rotary velocity.
If one gear has 120 teeth and another has 20, the gear ratio is 6.1. A gear ratio is simply the relationship
between how often the drive shaft turns to complete one full turn of the other or vice versa. When the
smaller gear makes a complete rotation the larger gear only makes a lesser turn. Alternatively, the
speeds of the gears are not same. The gear ratio is related to the ratio of the gears, as already
mentioned, but usually it is defined as the ratio of speeds.
wa
R= (7.5)
wb
Where, R is the gear ratio; wa and wb are the speeds of the gears. The velocity ratio of the driver and
follower does not change by putting any number of gears between them. Therefore, the gear ratio is
the ratio of speeds of the driver and driven gear. The gear ratio for the Fig. 7.28 (a) is,
w1 w2 w
R= ´ = 1 (7.6)
w2 w3 w3
Figure 7.28 shows compound gears in which the two gears are on the middle shaft. Gear-2 and
Gear-3 rotate at the same speed, since they are fixed to the same shaft. The gear ratio in this case is,
w1 w2 w3 w
R= ´ ´ = 1 (7.7)
w2 w3 w4 w4

w2 = w3

w3 w4
w1 w2 w2
w1

2 w3

1
3
4
(a) (b)

Fig. 7.28 Illustration for gear ratio calculation

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7.17 RACK AND PINION

Rack and pinion driving mechanism (Fig. 7.29) refers to a special type of gearing mechanism in
which the rotational motion is converted to linear one and vice versa. As the name implies, rack and
pinion consists of two major components; a rack and a pinion. The rack is a long piece of metal that
is flat. The flat side contains teeth running the length of the rack. The teeth are cut perpendicular to
the edges of the rack. The other component, the pinion is like a gear that also has teeth on it. These
teeth run parallel to the length of the shaft, not lengthwise as on the rack. The pinion resides in a fixed
position and drives the rack, but the reverse is also possible. That is the rack may be fixed and the
pinion rotates itself letting the rack moving. Whatever may be the requirement, in summary, the rotary
motion of the pinion is changed to transverse motion by the rack or transverse motion of the rack is
changed to rotary motion by the pinion.
The teeth of the rack and pinion can be helical or straight, depending upon the load involved.
Compared to straight teeth, helical teeth can bear more loads, because the area of contact between the
teeth of the rack and pinion is more. The rack and pinions are made up of metal, hard plastic, etc.
depending upon the speed, load, torque requirement. For high precision positioning, where backlash
cannot be tolerated, rack and pinion drive systems are designed with dual pinions (Fig. 7.29). Typical
applications include high-speed axis drives, positioning systems, traveling gantries, machining, etc.
Rack and pinions are lubricated in order to minimize the maintenance and prolonged useful life of
the system. In some heavy-duty rack and pinion systems integration of automatic lubrication systems,
which consistently pump lubricant onto the gearing via a brush applicator or a mating felt gear, is
found to be common.
The rack and pinion system is the most popular type of steering system found on the light weight
vehicles such as car, jeep, van, etc. In addition to the rack and pinion, several other components make
up this type of steering mechanism. In conjunction with a tie rod it helps to steer the vehicle
efficiently. The pinion is housed inside an assembly, which contains a series of bearings, seals,
adjusting screws and lock nuts. The bearings allow for the free turning of the pinion, while the seals
prevent dirt and dust.

Pinion

Rack

Fig. 7.29 Rack and pinion (Courtesy: Andantex USA, Inc.)

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Actuators and Mechanisms

7.18 RATCHET, PAWL AND CRANK

The ratchet is an asymmetric mechanical component that allows something to turn in one direction
only. In conjunction with another component called pawl, fundamentally, as if the ratchet works like
a locking system. The ratchet is considered as another form of gearing mechanism. It is designed
with suitably shaped teeth, receiving an intermittent circular motion from another member, called
crank. Unlike gears, which can be used to speed up or slow down movement, the ratchet can only be
used to slow the motion down that happens in a very jerky manner. In the reset position, the pawl
prevents the ratchet from moving backward.
A simple form of ratchet mechanism is shown in Fig. 7.30 (a). For every 16 turns of the crank the
ratchet wheel turns one complete revolution. Another type of ratchet-pawl mechanism can be seen in
the Fig. 7.30 (b).
In both the cases, the crank is oscillating in nature. As noticed, there are two pawls; one is flexibly
attached with the crank, and other one is separately fitted. The supplementary pawl prevents backward
motion of the wheel. In the Fig. 7.30 (b) as the crank moves backward (counterclockwise), the
attached pawl slides over the tooth. Then the crank is allowed to move in the forward (clockwise).
This causes the wheel to move forward direction. The wheel is moved through a fractional part of a
complete revolution, which depends only upon the motion of the crank. The supplementary pawl is
there to prevent the backward movement of the wheel. Here ends the first cycle. When the crank
moves back, the second cycle starts and the attached pawl again slides over the teeth while the wheel
remains at rest because of the supplementary pawl. The crank is then ready to push the wheel on its
forward motion as before. The amount of cyclic motion possibly varies with the pitch of the teeth.
This motion could be reduced by designing smaller teeth.
Crank Supplementary pawl
Pawl

Lever

Primary pawl

Axle

Tooth
Wheel
Ratchet wheel Ratchet wheel
(a) (b)

Fig. 7.30 Ratchet, pawl and crank

7.19 SLIDER AND CRANK

The slider-crank is a linkage (Fig. 7.31) that transforms linear motion to circular motion or vice versa.
The crank is a lever attached to a rotating shaft. It is really a link, which revolves relative to a frame.
The link can convert a rotating motion into a reciprocating motion or vice versa.
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Mechatronics: Principles, Concepts and Applications

The slider-crank mechanism is a very important mechanism as the concept is used for many
applications of which the Internal Combustion Engine (IC Engine) is a prime example. In a vehicle the
IC engine transforms the reciprocating motion of a piston to a rotary motion at the crank-shaft.
The process of determining the exact relation between the reciprocating motion of the piston and
the angular motion of the shaft for a given linkage mechanism is called slider-crank kinematic analysis.
Various types of motion transformation can be achieved through this mechanism by designing the link
properly. The slider-crank can also transform a rotation into a combined motion up and down and
from side to side.

Fuel

Crank

Piston
Cylinder (Slider)

Shaft

Fig. 7.31 A simple Internal Combustion (IC) engine incorporating slider-crank

mechanism

7.20 CAMS AND FOLLOWER

A cam is defined as a machine element having a curved surface, which, by its rotational motion, gives
a predetermined specified motion to another element called the follower which always in contact with
the cam. This irregularly shaped cam rotates in an axis, which is positioned eccentrically. The
mechanism is used to transmit reciprocal motion through a follower. Both the cam and the follower
are mounted on a fixed frame. Cam-follower mechanisms have a variety of applications in mechanism
design.
A simple cam-follower system is a wheel with the axle not in the centre. The follower rests on the
edge of the cam. As the cam turns or rotates, the follower moves up and down. The follower has a
flat face or roller and reciprocates, or oscillates, since it is in contact with the cam surface. The
maximum vertical excursion of the follower is called stroke. The cam is usually subjected to rotation
while the follower movement has non-uniform characteristics, because of the shape of the cam.
The cam’s rim or contour (surface) raises or lowers the follower. The contour of the cam is
broadly divided into three types of regions: rise, fall, and dwell. The rise portion of the cam makes it
possible to raise the follower, while during the fall portion, the follower returns to its original position
or reference position. The dwell portion of a typical cam is where the follower does not move relative
to the cam axis. Mathematically, each portion can be described in terms of profile equations, what are
being called as displacement, velocity and acceleration profile. A typical cam and its displacement
profile can be seen in the Fig. 7.32 (a–c).
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Actuators and Mechanisms

Follower

D
Follower
Translational
motion
Dwell C
E

O F
B
G A

Reference Cam axis G

Reference
Cam rotation A
F B O
Fall
CAM
E C

Rise
D

(a) (b)

The displacement profile of the follower

Dwell Dwell

O A B C D E F G O A

(c)

Fig. 7.32 A typical cam and its displacement profile

In some specific machines the mechanisms is used when it is desirable to have non-uniform or
intermittent movements. Although, the most common applications of cam-follower mechanism is to
convert rotational motion to translational motion but the mechanism may also be used to accurately
control the motion parameters such as the acceleration, velocity, or position of the follower.
For one typical revolution of the cam the follower accelerates, decelerates, dwells, accelerates,
decelerates and so on. The cam contour surface is shaped to provide the best follower positions,
velocities, accelerations, and dwells for a specific application. In some cases, the cam is defined as a
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Mechatronics: Principles, Concepts and Applications

sequence of piecewise smooth functions describing different segments of the desired motion and
joined with continuous acceleration curves. In other cases, the cam profile is known and the follower
motion is desired. Cam devices are versatile, and almost any arbitrarily-specified motion can be
obtained.
The cam-followers systems are classified according to the
· Shape of the cam and the position of the axis of the cam-shaft.
· Shape of the follower edge

7.20.1 Shapes of the Cam

Depending upon the application requirement, the shape of the cam may be a circular, elliptical, pear-
shaped, heart-shaped or cylindrical, as illustrated in the Fig. 7.33. Further, the axis of the cam-shaft
may be placed at any point of its body to get the desired displacement, velocity and acceleration
profile.
The shape of the circular cam is obviously circular and its axis is located eccentrically (Fig. 7.33
(a)). In case of edge cam the follower is in contact with the edge of the cam. The axis of the cam is
obviously eccentric. Elliptical cams (Fig. 7.33 (b)) can provide uniform acceleration and deceleration
to the follower. With the pear-shaped cam (Fig. 7.33 (c)) when the narrow part is at the top the
follower is pushed up and when the narrow part is at the bottom the follower is dropped down. With
the heart-shaped cam (Fig. 7.33 (d)) the follower attains three highs for every turn of the axle.
Cylindrical or barrel cams (Fig. 7.33 (e)) are considered as the special type of cams essentially used
when the motion of the follower has to be transmitted parallel to the axis of rotation of the cam. It
consists of a rotating cylinder with a helical groove in its surface as shown in the Fig. 7.33 (e).

Axis Axis
Axis

(a) (b) (c)

Axis
Axis

Fig. 7.33 Classification of cams (a) Circular eccentric (b) Elliptical (c) Pear-shaped edge
(d) Heart-shaped (e) Cylindrical
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Actuators and Mechanisms

A follower is inserted into the groove. As the cam rotates the follower moves in a straight line parallel
to the axis of the rotation.
Design requirements for the machine under consideration dictate the type of movement required in
the cam follower. The movement of the follower is then translated into the shape of a cam, which in
effect gives the follower the required motion.

7.20.2 Shape of the Follower

Broadly, the shape of the followers is of three types; pointed follower, roller-type follower and the
mushroom or flat foot follower as shown in the Fig. 7.34. The pointed follower is designed with a
knifelike edge or point for cam profiling determinations. It is the simplest one and inherits drawbacks
of rapid rate of wear. Roller-type followers incorporate rollers, a design that can improve reliability
and performance. Roller-type followers are commonly used since it largely overcomes the problem of
rapid rate of wear. These followers can withstand higher dynamic loads. Mushroom followers utilize
a tappet that has a larger diameter base than the diameter of the body of the follower itself.

Axis Axis Axis

(a) (b) (c)

Fig. 7.34 Shape of the followers (a) Pointed follower (b) Roller follower
(c) Mushroom follower

Unlike rack an pinion the back and forth motion of the follower cannot be used to rotate the cam.
The cam has a very important function in the operation of many classes of machines, especially those
of the automatic type, such as printing presses, food processing machines, internal combustion
engines, shoe machinery, control systems and devices, textile machinery, gear-cutting machines,
screw machines and many other automatic machines. For instance, the cam-follower mechanism can
be used to open and close valves in the engine cylinders.

7.21 CHAIN AND SPROCKET

The chain and sprocket drive is another mechanical component, which is also exploited for power
transmission. The chain and sprocket drive system has two sub-components, the chain and the
sprocket, which are designed in the asymmetric way. The sprocket is a toothed wheel and the chain
is a loop of loosely jointed links (Fig. 7.35). In operation, the chain-sprocket in combination offers the
means of transmitting power between two or more rotating shafts. The drive system is similar to the
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Mechatronics: Principles, Concepts and Applications

rack and pinion drive. The difference is that the grooved teeth rack is replaced by a chain and the
grooved wheel pinion is replaced by a sprocket. The rack is a straight row of teeth, while the pinion
is usually a spur gear. The chain, on the other hand, is a length of loosely jointed links, while the
sprocket gear is similar to a spur gear. By similar analogy, the pulley can be thought of as a sprocket
and the belt or rope as a chain.
The primary design consideration in this drive is to avoid slippage between the devices. For
instance, pulleys and belts (also cables) are driven by friction, implying the possibility of slippage
between them, when subjected to higher load, speed, velocity or acceleration. The chain fits into the
teeth of the sprocket, to eliminate slippage. The drive can be utilized between two shafts belonging to
the same machine, or any other source of power. Electric motor or even hydraulic motor, depending
upon the load involved, can drive the chain-sprocket. In some chain-sprocket systems, the gear ratio
can be controlled and changed.

Chain

Sprocket

Chain
Sprocket

Fig. 7.35 Chains and Sprockets

7.22 GENEVA WHEEL

Figure 7.36 shows a Geneva wheel. Geneva wheel based mechanism is used for achieving intermittent
motions. The component has two wheels, the upper and the lower wheel. There is a projection, called
drive pin, mounted on the lower wheel. In this typical example, the upper wheel, called the Geneva
wheel, has four slots, however, more slots can be designed depending upon the need. When the lower
wheel rotates, the projection (drive pin) of the lower wheel is inserted into the slot, which makes the
upper wheel to rotate in appropriate direction. The drive pin on the lower wheel engages itself with the
slots on the Geneva wheel in such a manner that it is in position when the pin comes round again. In
effect, the lower wheel drives the upper one. The rotational movement of the lower wheel is essentially
continuous but the upper wheel only rotates step-wise, i.e., intermittently. The upper wheel makes
one complete rotation corresponding to four complete rotations of the lower wheel, in this typical
example.
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Actuators and Mechanisms

Upper wheel

Driving pin Upper wheel

axis of rotation

Lower wheel
axis of rotation

Lower wheel

Fig. 7.36 A typical Geneva wheel

7.23 FOUR-BAR LINKAGES

One of the most common type of linkage is the four-bar linkage (Fig. 7.37), so-called because it has
four axes of rotation connected by four rigid linkages. Four-bar linkages have the capability of
mimicking rotation, oscillation, and translation. The four-bar linkage is a versatile mechanism, the
design of which has been used extensively, and can be seen in many machineries and system such as
steering systems of almost all automobiles, the sewing machines, earth movers, packaging machines
and so on. The real design starts with modeling, analysis and synthesis, which is considered as
paramount and fundamental. Analysis is the process of investigating the kinematics such as positions,
velocity and acceleration of the linkage and forces required to drive the linkage. Synthesis refers to the

Fig. 7.37 A typical four-bar linkage

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Mechatronics: Principles, Concepts and Applications

process of searching a mechanism type and specific link dimensions of that mechanism to accomplish
a desired task. The kinematics of a linkage is determined entirely by the shapes, sizes, material
properties, etc. of the links. Very complex input-output relationships can be realized with this
mechanism. A variety of useful mechanisms can also be formed from a four-bar mechanism through
slight variations of proportions of links. In fact, many complex link mechanisms are combinations of
such mechanisms.

· Actuation is the process of conversion of energy to mechanical form. A device that

accomplishes this conversion is termed actuator.
· Magnetism is the basis of principles of operation electromechanical actuators. They are used to
convert electrical energy into mechanical energy.
· Depending upon the rotor’s physical characteristics and other load related design parameters,
such as rotational inertia, torque, speed, etc., the number of magnets to be put into the place
varies.
· The speed of the motor is controlled through what are being called as armature controlled and
shunt controlled.
· Current in the armature coil is switched or altered by means of commutator and brushes.
· Eddy current is the current that flows within the core.
· A brushless motor is often used when high reliability, long life and high speeds are required.
· Coreless motors depend upon the winding itself to provide structural integrity for the armature.
· AC motors are of two types, namely, induction motor and synchronous motor.
· Due to inertia, the rotor of the induction motor lags behind the rotating magnetic field and it
does not get locked with the velocity of the magnetic field throughout the motion. As a result
slip occurs.
· The rotor of the synchronous motor moves at the same speed as the rotating magnetic field
imposed by the stator winding.
· The synchronous motor cannot be started as such.
· Two basic types of stepper motors are variable reluctance (VR) and permanent magnet (PM)
types.
· The application of stepper motors are found in printers, NC equipment, scanner, disk drives,
machine tools, X-Y recorders, scientific instrumentation, and robotics.
· Pneumatic actuators are the devices that cause something to move by taking the advantage of
potential energy.
· Valve is a device for closing or modifying the passage through a pipe, outlet, inlet in order to
stop, allow, or control the flow of a fluid or air.
· Hydraulic actuator can also be designed to provide rotary movement.
· The piezoelectric material undergoes a dimensional change when voltage is applied. The
dimensional change is utilized to produce actuation.
· Magnetostrictive actuator uses active materials, when placed near a magnet, the shape changes.
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Actuators and Mechanisms

· When the Shape Memory Alloy is heated above the transformation temperature, it undergoes a
change in crystal structure, which causes it to return to its original shape. This phenomenon
provides a mechanism for actuation.
· Mechanism, the heart of every mechanical construction is employed to take mechanical
advantage and transmission of power and motion from one place to another.
· The bearing is an active component that reduces frictional losses as surfaces side past one
another.
· In magnetic bearings, mechanical friction losses are eliminated.
· In some special pulleys, ball bearings are fitted into.
· The prime function of a magnetic pulley is for continuous extraction and separation of
contamination such as unwanted iron particles, piece etc. from the mixture in order to protect
the processing machinery such as crushers, grinders and other valuable equipment.
· Gears can help to increase or decrease force, torque or speed and can change the direction of
the axis of rotation.
· More than two gears working together is called a gear train.
· A small electric motor, capable of rotating at high speed providing enough power, but not
enough torque.
· With a gear reduction, the output speed can be reduced while the torque is increased.
· A gear ratio is the relationship between how often the drive shaft turns to complete one full turn
of the other or vice versa.
· The velocity ratio of the driver and follower does not change by putting any number of gears
between them.
· The slider-crank is a linkage that transforms linear motion to circular motion or vice versa.
· In a vehicle the IC engine transforms the reciprocating motion of a piston to a rotary motion at
the crank-shaft.
· A cam is defined as a machine element having a curved surface, which, by its rotational motion,
gives a predetermined specified motion to another element called the follower which always in
contact with the cam.
· Chain-sprocket offers the means of transmitting power between two or more rotating shafts.
The drive system is similar to the rack and pinion drive. The difference is that the grooved teeth
rack is replaced by a chain and the grooved wheel pinion is replaced by a sprocket.
· Geneva wheel based mechanism is used for achieving intermittent motions.

In this chapter, the introduction part provided for various useful definitions of actuators and the
block diagram concerned. Also, so many applications oriented examples also provided linked
to actuators. The idea of DC motor, DC generator, AC motors along with their suitability and
diagrams were presented in a nice manner. The stepper motor concept is very usefully
described with various pros and cons between PM & VR type. The details of mechanism &
classifications of actuators with their diagram were explained. In addition, different basic
mechanical components used in mechatronic systems were discussed along with their
specific application & classification.
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LOOKING AHEAD
During early stage, most industrial control systems were relay-based. Control systems,
consisting of a group of relays, were capable of controlling machine tools, conveyor systems
and other mechanical components such as motors, industrial vehicles in the rugged factory-
floor. Latter on PLC based control implementation emerged. A PLC is a programmable
electronic device that controls machines and processes. It uses a memory to store instructions
and execute specific functions that include On/Off control, timing, counting, sequencing,
arithmetic and data handling. Functioning as relay replacements, the PLCs became more
reliable than relay-based systems, largely due to the robustness of their solid-state
components. They occupy less space and their ability to be re-programmed increase flexibility
and simplicity in changing control schemes. However, industrial automation and control
systems, in particular mechatronic systems require more throughput, sophistication,
openness, reliability, availability, safety, responsiveness, configurability in response to the
need to provide high productive systems. Benefits that have been achieved through the
implementation of traditional relay and PLC-based controlled systems are now being
significantly extended through microprocessors, microcontrollers, PCs (Personal Computer)
and IPC-based (Industrial PC) etc. These are also used to control the process. They perform
many of the functions traditionally done by simple logic circuitry, sequential control circuits,
timers or a small microprocessor conformant electronic circuits and sub-circuits. In the
following chapter detail architecture of commonly used microprocessors and microcontrollers
have been described with neat diagram and example.

EXERCISES

7.1 Define actuation.

7.2 Define mechanism and state the difference between a mechanism and a machine giving at least
one example in each case.
7.3 Draw a schematic block diagram showing the sensor and actuator connection within a plant
system.
7.4 Classify the actuators based on their design and principle of operation.
7.5 Discuss about the electromechanical actuators.
7.6 Compare the application of various DC machines.
7.7 Draw the schematic diagram of a permanent magnet DC motors and explain the principle of
operation.
7.8 Draw the schematic diagram of a electromagnet type DC motors and explain the principle of
operation.
7.9 Discuss about the following types of DC motors.
· Separately excited electromagnetic DC motor
· Self-excited wound field shunt configuration
· Self-excited wound field series configuration
7.10 Discuss a method for varying the speed of a DC series motor along with its application.
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Actuators and Mechanisms

7.11 A 220 V DC shunt motor takes 10 kW at a speed of 700 rpm. The armature resistance is
0.50 Ohm, and the brush contact drop is 1.6 V mechanical and iron losses are 495 W. Calculate
the efficiency and net torque.
7.12 A 6 pole lap connected shunt generator has armature and field resistance of 0.05 W and 125 W
respectively. If it drives a current of 200 A at 500 V, calculate shunt field current, armature
current and generated emf.
7.13 Point out the motor and generator mode of rotary devices.
7.14 What are the characteristics of brushed DC motors? What is the function of commutator-brush
arrangement? Explain the principle of operation.
7.15 What are the characteristics of AC motors.
7.16 Identify two types of AC motors.
7.17 Write notes on
· Principle of operation of induction motor
· Principle of operation of synchronous motor
· Principle of operation of stepper motor
7.18 Explain the functioning of stepper motor and its control methodology.
7.19 Explain why a synchronous motor is not inherently self-starting? State methods used for
starting synchronous motor.
7.20 Compare the variable reluctance and permanent magnet type stepper motor.
7.21 What are the application areas of stepper motors.
7.22 In what way are the stepper motors advantageous than the DC and AC motors.
7.23 Comprehensively describe the characteristics of fluid power actuator.
7.24 Discuss about pneumatic actuator.
7.25 What are the various types of pneumatic actuators commonly used in the automation
applications?
7.26 Explain the following pneumatic actuators.
· Linear single rod single acting
· Linear single rod double acting
· Linear double rod double acting
· Linear rod less double acting
7.27 How does rotary pneumatic actuators work? With a neat diagram explain this in detail.
7.28 What is a valve? Describe the principle of operation of a solenoid valve.
7.29 Draw the schematic diagram of a solenoid valve controlling the flow of air into a pneumatic
actuator.
7.30 Explain the working principle and application areas of hydraulic actuator.
7.31 Write notes on piezoelectric actuator.
7.32 Write down the important features of the piezoelectric actuator.
7.33 What are the application areas of piezoelectric actuators?
7.34 Give an illustration of a piezoelectric actuator.
7.35 Define the following.
· Magnetostrictive actuator
· Piezoelectric motor
· Memory metal actuator
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Mechatronics: Principles, Concepts and Applications

· Ion exchange polymer metal composites

· Chemical actuator
7.36 Why are bearings used in machineries? Identify different types of bearings.
7.37 Discuss about the rolling element bearings.
7.38 Mention different types of rolling element bearings.
7.39 What do you mean by rating life? How is it expressed?
7.40 Discuss about the magnetic bearings.
7.41 Mention a specific application of the magnetic bearing.
7.42 What is the demerit of a magnetic bearing?
7.43 What do you mean by nanotechnology.
7.44 What kind of bearing is used in nanotechnology conformant machineries?
7.45 Write notes on the following.
· Belt-chain
· Classification of pulleys
· Gears and gear trains
7.46 Classify various types of gears.
7.47 Define gear ratio. Give some illustration of calculating gear ratio.
7.48 Two spur gears of 30 teeth and 40 teeth of 8 mm module and 20° pressure angle are in mesh.
Addendum of each gear is 7.5 mm. The teeth are of involute form. Determine, (i) The angle
through which the pinion turns while any pair of teeth are in contact, (ii) The velocity of sliding
between the teeth when the contact on the pinion is at a radius of 101 mm. The speed of the
pinion is 445 rpm.
7.49 Explain the following mechanisms.
· Rank and pinion
· Ratchet, pawl and crank
· Slider and crank
· Cams and follower
· Chain and sprocket
· Geneva wheel
· Four bar linkage
7.50 Differentiate between shaft, spindle and axle. Give practical example of each.
7.51 The dimension of the various links of a mechnism as shown below are as follows; OA = 75
mm, AC = CB = CD = 125 mm and CD is perpendicular to AB. Point C is on the horizontal line
draw from O as shown. If the crank OA rotates at 145 rpm in the anticlockwise direction, find
for the given configuration; (i) the velocity and acceleration of B and D; (ii) Angular acceleration
of the links AB and CD.
D

30° C

Fig. 7.38
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7.52 A flat belt, 7 mm thick and 95 mm wide transmits power between two pulleys running at
1500 m/min. The mass of the belt is 0.85 kg/m length. The angle of lap in the smaller pulley is
155° and the coefficient of friction between the belt and pulley is 0.25. If the maximum
permissible stress in the belt is 2 MN/m2 find the maximum power transmitted and initial tension
in the belt.
7.53 Design a connecting rod for a petrol engine from the following data. Sketch the connecting rod
with appropriate dimensions.
Diameter of the piston = 115 mm
Weight of reciprocating parts = 20 N
Length of the connecting rod from centre to centre = 320 mm.
Stroke = 155 MN
RPM = 1500
Compression ratio = 4:1
Maximum exposure pressure = 2.45 N/mm2.
 8
Microprocessors and Microcontrollers

· To know the basic components required for implementation of control logic.

· To list the applications of microprocessors in various systems and to know the specifications of
microprocessors.
· To understand the microprocessor based digital control using a schematic diagram of the con-
trol system of an automatic door.
· To discuss the basic elements required for any control system and know the functions of each
element.
· To be familiar with various terms associated with all microprocessors such as CPU, memory
and address, I/O and peripheral devices, ALU, Instructions and program, Registers, etc.
· To draw the block diagram of the minimum configuration of a typical microprocessor and dis-
cuss the function of each block.
· To draw the internal architecture (block diagram) of Intel’s 8085A microprocessor and explain
the functions of each block.
· To understand the concept of microcontroller and discuss the difference between microcontroller
and microprocessor.
· To make study of the architecture of 8XC196KC/KD microcontroller with the help of block dia-
gram.
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Microprocessors and Microcontrollers

8.1 INTRODUCTION
The implementation of control logic requires many common and basic electronic circuits, units and
subsystems. The basic circuits, units and subsystems are arithmetic unit, logic unit, temporary
memory, input and output unit, parallel-to-serial and serial-to-parallel conversion unit, transceiver,
and so on. They are individually realized using discrete components and logic gates, and once all the
circuits are designed, they are again interfaced to each other globally. A relatively small control
application, for example ‘an automatic door’, can be realized using the logic gates, but for relatively
bigger control applications, for instance robot control, engine control etc., the realization of control
through these discrete components invites complicacy because a very large number of gates would be
needed for the entire solution. Instead of designing the basic circuits by the use of available logic
gates, if we could fabricate all these basic circuits within one cabinet at the manufacturing time then
probably, the complexity involved in realizing the individual circuit as well as their interconnections
could be resolved. Indeed, it has been done through the design of microprocessors and the
microcontrollers. Microprocessor or microcontroller is digital device composed of millions of
transistors within a single wafer or single semiconductor piece. It is called a Very Large Scale
Integrated (VLSI) chip that represent the heart of all kind of control applications. The microprocessor
and microcontroller based control solution facilitate higher integration providing incredible
performance. They take less space and also consume low power.
In 1971, Intel Corporation introduced 4004, a 4-bit microprocessor, which is considered as the
world’s first commercial microprocessor. The basic circuits within 4004 microprocessor contained
approximately 2300 transistors, however, presently the microprocessor is considered as the most
complex semiconductor product ever with more than 5 million transistors within it, performing
incredible functions. At a first sight, the microprocessors are specified by:
· Number of bits it can handle for data processing
· The speed of operation.
Higher the bits microprocessor can handle for data processing, faster is the processing. The speed
of operation is estimated from the clock frequency of the microprocessor. Also, higher is the clock
frequency, faster is the processing. Applications of microprocessors include
· Actuator control systems; speed, velocity and acceleration control of electric motor, fluid power
actuators.
· Control system for home appliances; microwave oven, washing machine, refrigerator, heating
system, air conditioner (AC), and so on.
· Control systems for computer peripherals; Disk drives, printers, keyboard, modem, and so on.
· Automobile control systems; Engine control, locking system, monitoring system and so on.
· Traffic control systems; Road, air and ocean traffic, navigation, spindle machines, etc.
· Machine control systems; Robotics, mobile robotics, crane, Autonomous Guided Vehicle
(AGV), /Numerical Control (NC) machine, etc.
· Production lines; Assembly lines, packaging systems, bottling plant, etc. to name a few.
Several companies have already developed many types of microprocessors and microcontrollers
for general purpose to dedicated application. New and advanced versions of microprocessors and
microcontrollers are constantly being developed. Some of the leading companies that are developing
these devices are Intel Corporation, Motorola, Toshiba, Fairchild, Phillips, Cyrix, National
Semiconductor, Zilog, DEC, Texas Instruments, and Rockwell International, among others.
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8.2 MICROPROCESSOR BASED DIGITAL CONTROL: AN EXAMPLE

Figure 8.1 shows a schematic diagram of the control system of an automatic door. The control
system automatically opens the door when a person approaches, and automatically closes it after five
seconds. An electric motor based actuator fitted with other auxiliary electronics and mechanical
components, is responsible for sliding the door on the rail. In response to sensor signals, respective
commands are generated by the microprocessor to operate the actuator. There are three sensors. One
is for the detection of the movement of the person approaching the door. The sensor can be a
pyroelectric sensor. The other two sensors are contact sensors or limit switches. Both feed signals to
the microprocessor when the door is fully opened and fully closed, respectively. These two limit
switches should be interfaced in order to avoid unnecessary collisions between the two heads of the
door. When the person approaches the door, the microprocessor should give command to the actuator
(motor) to slide the door over the rail. The command issued to the actuator by the microprocessor is
in response to the signal received from the pyroelectric sensor.

Motor

Digital to analog
converter

External memory

Output port/buffer Microprocessor

Control code in
the memory

(The flow chart of

the control code WORK SPACE
shown in Fig. 8.2)

Temporary memory-1 Temporary memory-2 Temporary memory-3

Input port/buffer Input port/buffer Input port/buffer

Analog to digital converter Interface Interface

Pyroelectric
Limit switch 1 Limit switch 2
transducer

Fig. 8.1 A simple microprocessor-based control example

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Microprocessors and Microcontrollers

The output of the pyroelectric sensor is an analog signal and needs to be converted to its digital
equivalent by the analog to digital converter (A/D). The conversion is essential since the
microprocessor is a digital device. The converted digital signal is placed in the input port of the
microprocessor and then transferred to the temporary memory 1 (TM 1), a small memory block. The
microprocessor transfers the input data by means of executing the control code already stored in the
memory. The flow chart of the control code of this typical example is given in Fig. 8.2. The
microprocessor checks the content of the TM 1 if it is full. If yes, it implies that the person is
approaching. Then it provides a command signal to run the motor in such a direction that it should
open the door. The microprocessor checks whether the doors have already been opened fully by
comparing the content of the temporary memory 2 (TM 2). Note that the content of the TM 2 is a
signal received from one of the limit switch (limit switch 1). If it is full, it implies that the door has
been opened fully and the motor should be stopped and TM 2 should be reset for next operation.
Enough time has to be given to the person to pass the door. The duration may be five seconds. Once
the duration of five second is consumed, the microprocessor should rotate the motor in reverse
direction so that the driving system would be able to close the door. Limit switch 2 should be there to
inform the microprocessor when the doors are fully closed.
Workspace within the microprocessor is the main unit, where the microprocessor executes the
control code. This unit comprises of many basic building blocks which have been detailed out in this
chapter. Additionally, the important features of the control system based upon which the
microprocessor has been designed will be described in the following sections.

8.3 BASIC ELEMENTS OF CONTROL SYSTEMS

The example has been given just to give you some preliminary knowledge on how a microprocessor
based control system works. A sophisticated fully-fledged control system can only be developed once
you gather comprehensive knowledge, which can be acquired after studying this chapter.
At this point, it should suffice to say that microprocessor is a logic device. It processes information
or data at the micro level. What does it mean? It means the microprocessor processes information at
the bit level. It relys on very primitive processing to get the work done. It processes the data in such
a speed that even if you do multiplication through addition process (multiplying 100 with 100 is same
as that of adding 100, hundred times), it would still be faster. A microprocessor generally means a
Central Processing Unit (CPU) on a single semiconductor chip. However, in the present scenario it
means much more than just saying a CPU. While trends in fabrication technology are instrumental in
making chips faster and smaller, architectural design improvements also deliver better performance.
Many interesting and advanced design philosophy have progressively been incorporated into the
microprocessor chip in order to facilitate sophistication.
The information that has been gathered from the example given in the Section 8.2 can be
summarized. It is observed that microprocessor-based automation and control solution to mechanical
system requires five primary components. These are:
· Transducer or sensor (s)
· Actuator (s)
· The processing element (s)
· Interfacing and signal conditioning circuits
· The memory
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Start

Is temporary memory1
No full?

Yes
Turn on the motor
Reset the temporary memory 1

Is temporary memory 2 full?

No

Yes

Stop the motor

Reset temporary memory 2

Wait for 5 seconds

Rotate the motor in

reverse direction

Is temporary memory 3
No full?

Yes

Stop the motor

Reset the temporary memory 3

Fig. 8.2 Control code of a typical automatic door (in flow chart form)
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Transducer senses the signal and actuator activates once it is commanded to do so. For more
details about the transducers and actuators refer Chapter 5 and Chapter 7. For relatively large control
applications, more than a hundred sensors and comparatively less number of actuators are necessary.
This again depends on the type of control systems at hand. In some cases, equal number of sensors
and actuators are integrated. The number of processors (the short form of microprocessor) required
for a specific application, however, depends on many factors, including its execution speed, memory
addressing capability, control requirement, etc.
Analog to Digital Converters, Digital to Analog Converter, isolators, amplifier etc. are known as
signal conditioning circuits. Although interfaces and signal conditioning circuits are used
synonymously, there is difference between them in the sense that interfaces includes electrical and
mechanical components along with electronic circuits, whereas signal conditioning circuits refer to
only electronic circuits, which have been discussed in Chapter 6.

8.4 CHECKS ITS OWN FOR WHAT TO DO NEXT

Microprocessor provides command signal once it knows that some command signal has to be given.
Microprocessor is just an electronic device, composed of only combinational and sequential circuits.
How would it know that some command signal has to be given? Perhaps the microprocessor should
‘check its own for what to do next’ through some sort of instructions. It should follow the instructions
in order to get the job done. A sequence of properly ordered instructions is stored in the memory as a
program. For example, ‘Is temporary register-1 full?’ is an instruction. Although this instruction has
been written in English literature (only for you), a true instruction is always written and stored in bit
form (binary), traditionally called machine language, because the microprocessors are referred to as
electronic machines. The instructions (program), for instance, the equivalent machine language of “Is
temporary register 1 full?” is stored in the memory. Microprocessor fetches the instruction, i.e.
‘check its own’ and executes it to find out the meaning of the instruction, i.e. ‘what to do next’. Once
it understands the meaning of the instruction, it knows what to do next. Therefore, a microprocessor
must have a set of instructions of its own. This set of instructions of a particular microprocessor may
not be understood by another microprocessor developed by another manufacturer. Microprocessor-
based control system uses external memory to store the program.

8.5 MICROPROCESSOR ARCHITECTURE

It has already been pointed out that the microprocessor describes itself as the central processing unit
for the control solution. It has also been indicated that the microprocessor has some common and
optimal internal infrastructure (basic building blocks) in order to attend to the automation and control
need. The interconnection of internal infrastructure of the microprocessor is universally known as
microprocessor architecture. In order to understand how the microprocessor works, you must study
the architecture. While there are many types of microprocessors available from many manufacturers,
and have been designed for various applications, the underlying principles of operation of all
microprocessors are indisputably similar, though not identical. Once you become familiar with the
microprocessor architecture and related terminology used therein, even in the framework of a basic
microprocessor, it would be easier to understand the architecture of other advanced microprocessors
and microcontrollers emerging from the manufacturers from time to time.
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Mechatronics: Principles, Concepts and Applications

Fundamentally we will go ahead to study the architecture of one microprocessor such as Intel’s
8085A and one microcontroller such as Intel’s 8XC196KC. There is a basic difference between a
microprocessor and a microcontroller, which has been described in this chapter. The choice of
studying the above microprocessor and microcontroller is from the fact that these chips are
considered to be versatile, and in essence, they accommodate common features and terminology as
far as ‘microprocessor and microcontroller world’ is concerned. Without loss of generality, the
architectural study of the above chips can also be appraised as the basis of microprocessor synthesis.
Just as the ‘life-science’ people dissect frogs and cockroaches at the incipient stage in order to analyze
the human body at the latter stage, you would follow the same path in terms of dissecting the above
chips in first place in order to explore the sophisticated one later. Nevertheless, the above
microprocessors are also general purpose devices. They have already been implemented in millions of
control applications.

8.6 TERMINOLOGY
Almost all microprocessors share the common terminology, which have been described in this
section.

8.6.1 CPU
It is the abbreviation of Central Processing Unit. The microprocessor itself is called CPU. Some
microprocessors and microcontrollers contain more than one CPU in order to achieve faster
instruction processing.

8.6.2 Memory and Address

A memory is a physical device where program, data, etc. are stored. A memory device contains many
memory locations (see Chapter 4 for details). Each location is defined in terms of an address, which
is a unique number within a particular microprocessor-based control application. The following figure
(Fig. 8.3) illustrates a memory device whose address space is 0000 to 03FF. The length of the
address space of this memory device or chip is 1 K bytes, i.e. 1024 bytes.
Memory Its
device address
VCC VGG
0000
0001
Data lines (bidirectional) 0002
D 0003
E 0004
0005
C 0006
0007
O

D
03FA
E 03FB
R 03FC
Address lines/pins (Unidirectional) 03FD
03FE
RD CE WR 03FF

Fig. 8.3 A typical memory device

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Microprocessors and Microcontrollers

Microprocessor can store and retrieve data in and from the memory, respectively. When the
processor needs data from a specific location, it sends the address to the memory over the address
path. The decoder circuit within the memory device decodes the address (which has been sent by
other devices) in order to select a specific location. The data is read and sent back to the
microprocessor. A memory chip must have a data path and address path. Data path is bi-directional
and address path is unidirectional.
VCC is the DC supply signal, usually 5 volts, and VGG is ground terminal. RD input signal is essential
if the content of the specific location is needed to be read. RD goes high for data read operation. WR,
in similar context, goes high for data write operation. CE (Chip Enable) signal has to be given for chip
selection. The memory chip must be selected if read or write operations are to be carried out.
Memory space is the range of memory locations that a microprocessor can address. The number of
address lines determines the memory space. Microprocessors with 16 bit and 24 bit address lines
have 216 = 64K and 224 = 16M of memory space respectively (see Table 8.1).

Table 8.1
Kilobytes, Kilobits, Megabytes, Megabit, Gigabytes and Gigabits
One nibble = 4 bits
One byte = 8 bits
One Kilobyte = 1024 bytes (210 =1024), abbreviated KB (Kb is Kilobits)
One Megabyte = 1024 KB = 1,048,576 bytes, abbreviated MB (Mb is Megabits)
One Gigabyte = 1024 MB = 1,073,741,824 bytes, abbreviated GB (Gb is Gigabits)

8.6.3 I/O and Peripheral Devices

I/O stands for Input and Output. I/O and peripheral devices are sensors, actuators, switches, A/D
converters, D/A converters, PWM (Pulse Width Modulators), Ports, Transceivers, Memory
Controllers, Timers, Counters, etc.

8.6.4 ALU
It is the abbreviation of Arithmetic and Logic Unit. Every CPU must have an ALU in it. As the name
implies, this basic block contains electronic circuits, using which all the arithmetic and logic functions
are performed. It contains the logic circuits like full-adder, AND, OR, and NOT, EX-OR, etc.

8.6.5 Instruction and Program

A program is a logical sequence of instructions that directs the microprocessor to perform a desired
task. Programs are developed using instructions. A microprocessor has a fixed set of instructions
compatible to its internal hardware architecture. Depending upon the control functionality and
application requirements, a program is developed selecting appropriate instructions from the set
provided. Once a program is developed, it is supposed to be stored in the memory sequentially (Fig.
8.4). The microprocessor fetches one instruction at a time and executes it, and does according to the
instruction. In a typical example, if the program resides in the memory locations 2000H to 200FH
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(H stands for hexadecimal), then the microprocessor addresses the locations and fetches program
codes from the memory, one by one.
Memory
Holding the program Address

2000
Address path 2001
2002
2003
2004
2005
2006
Microprocessor 2007
(µP) Data or 2008
Instruction path 2009
200A
200B
200C
200D
200E
200F

Memory Select Signal

Fig. 8.4 Programs are stored in the memory sequentially

The microprocessor thus executes a collection of sequentially and logically arranged machine
instructions that tell the processor what to do next. Based on the instructions, a microprocessor does
mostly three basic things:
· It uses its ALU to perform mathematical operations like addition, subtraction, multiplication and
division and other sophisticated operations on floating-point numbers.
· It can transfer data from one memory location to another.
· It can also make decisions, and jump to a new location, in order to execute another set of
machine instructions based on the current decisions.
Instructions are the meaningful logic elements of a set. They are used for writing/developing the
control program. Instructions are formulated in three ways such as:
· High-level formulation
· Assembly-level formulation and
· Bit-level formulation
High-level formulation based instruction uses high-level languages resembling English-like words.
Assembly-level formulation also uses high-level language structure, but in an abbreviated form. On the
other hand, in bit-level formulation, only binary bits such as ‘0’ and ‘1’ are used. For example, for
comparison purpose, a high-level formulation based instruction could be ‘COMPARE’. In assembly
level formulation the comparison instruction could be ‘CMP’ and in bit level it could be ‘11001001’.
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Similarly, a multiplication instruction based on above three formulations could be ‘MULTIPLY’,

‘MUL’ and ‘10101010’ respectively. Beware! This is just an example in order to illustrate three ways
of formulation of the instructions. Real implementation of instructions for a particular microprocessor,
strictly depends on the architecture. The high-level instruction formulation is referred to as high-level
language. The assembly-level and bit-level formulations are referred to as assembly language and
machine language, respectively.
Whatever ways the instructions are formulated the microprocessor only operates on bit level. At bit
level, unique combinations of the bits constitute a unique instruction. The super-high level instruction
‘Is temporary register-1 full?’ is in English language (for you only). At bit level the above instruction
could be coded into ‘10101001’!. Microprocessor uses only machine language, ‘to check its own for
what to do next’, but for our understanding, we correlate or map each and every instructions of the
microprocessor with suitable notations and languages.
For greater understandability, the manufacturers of the microprocessor supply instructions set of
a particular processor in assembly language. The manufacturers formulate the instructions by using
abbreviated words of the natural language and map them with the bit-level instructions with which the
microprocessor really executes. The formulation is essential since writing, understanding and
correcting programs in machine language is really a problematic affair to the programmer. Also, it is
an error prone business. The programmer selects the assembly-level instructions from the instruction
set of the microprocessor, and put them together in a logical sequence in order to develop a desired
program.

8.6.6 Assembler
In many situations, the programmer enters the programs into the memory of a microprocessor-based
system in assembly language. Since the microprocessor only understands machine language, the
assembly language has to be converted to machine language through a language converter. The
language converter is known as assembler. An assembler may be realized with hardware or software.
Sometimes the conversion is achieved instruction-wise, i.e. the conversion is carried out one
instruction after other or program-wise, i.e. the entire program (assembly language) is converted to
machine language in one go. The instruction-wise conversion is specified as interpreter, another name
of assembler.

8.6.7 Data
Data refers to DNS (Digital Number System; refer Chapter 3). A bit is the smallest unit of data. At the
micro-level, data and instructions are represented using bits. However, there is a difference. Data
usually refers to value, whereas instructions are coded form of functions, using which the
microprocessor executes. Instructions are operation codes or OPCODES (See below). The
instructions are unique to the microprocessor architecture. Therefore, microprocessor can distinguish
between ordinary data and the unique instructions. Although, data and instructions are just
combinations of bits, the same is difficult for us to distinguish. The microprocessor relies solely on
the order in which data and instructions enter into it. As a thumb rule, the first program byte entering
into the microprocessor is always instruction.
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8.6.8 Operand, Mnemonics and OPCODE

Microprocessor processes instructions. Most of the instructions require data. For example ADD
(ADD stands for addition; an instruction in 8XC196KC microcontroller), which is an instruction,
needs at least two data for addition operation. The data upon which the instruction is operated is
known as operands. The instruction has two parts, namely, mnemonics and operands. The word
‘ADD’ is called mnemonic and the numbers those will be added are called operands. The equivalent
binary or hexadecimal code of the English word ‘ADD’ (Mnemonics) is called OPCODE.

8.6.9 Registers
In the example given at the beginning, you have perceived that data flows in and out of the CPU. The
data may come from the A/D converter (which might have been obtained from the transducer or
sensor device) or from some other locations. Similarly, data may go out from the CPU to the D/A
converter or to some other locations within the microprocessor-based systems. This is called data
transaction. The CPU require some temporary storage cells so that intermediate data can be stored
temporarily, either for data transaction or for latter use. The temporary storage cells are called
temporary registers. Figure 8.5 describes some of the temporary registers within the microprocessor.
The registers (see Chapter 4) are 8-bit, 16-bit or more. While internal circuit design of all the registers
within the microprocessor remains same, several registers have been built into it adhering different
names. In fact the nomenclature of registers is based on the type of data they store. Some of the name
of important registers are Data Register (DR), Instruction Register (IR), I/O ports, Accumulator
(ACC), Program Counter (PC), Memory Address Register (MAR) and Flags.

(µP) 8 bit temporary registers

16 bit temporary registers

Fig. 8.5 Temporary registers

Data Register Data Register is a special register, which holds data when they are fetched from
the memory or input devices (Fig. 8.6). As you know, data and instructions are said to be different.
Data from the outside world comes to the input buffer, then it is transferred to the Data Register.
Instruction Registers This is a register or group of registers, and only accommodates
instructions. The user written program (OPCODE) flows from the memory into the microprocessor
in sequence. After being fetched from the memory the OPCODE is placed in the Instruction Register
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(IR) as shown in Fig. 8.7. In this typical example, the OPCODE 59 (‘01011001’) located at memory
location 0002H has been fetched and placed in the IR of the microprocessor. The OPCODE is then
transferred to the instruction decoder.

(µP) Input buffer 10011100

Memory holding
a data byte
1 0 0 1 1 1 0 0

1 0 0 1 1 1 0 0

Data register

Fig. 8.6 Data flows from memory to the data register

Instruction OPCODE = 59

(mP) FD 0000
D 3C 0001
Instruction 59 E
59 0002
register C
O 76 2003
Instruction decoder D
E Address
R

Control signals
Memory

Address = 0002

Fig. 8.7 Instruction register

I/O Buffers Buffers are another kind of registers, which hold data or address those come in and go
out of the microprocessor. The theoretical difference between the buffer and other registers in the
microprocessor is that the data or address is first entered into the input buffer and subsequently are
transferred to a specified register. Similarly, the data are sent out from any register(s) to the outside
world via output buffer. The buffers are apparently some sorts of I/O (Input/Output) ports. A port is
a place where data are loaded and unloaded. Buffers are either only-input, only-output or both input/
output. Figure 8.8 illustrates the I/O buffer within the microprocessor.
Accumulator Accumulator (ACC) is a register (8-bit, 16-bit or 32-bit) that primarily stores the
result of mathematical, logical and other operations. ALU does the operation, and ACC stores the
result.
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External input devices

(µP)

Input buffer

Internal
registers

Output buffer

To external output devices

Fig. 8.8 Input/output buffers

Program Counter Program Counter, called PC, is a register that holds the address of the next
instruction. At the end of the execution of the current instruction, the content of the PC (the next
address) is transferred to the memory and decoded in order to get the next item of the executable
code. The next item could be a data or an instruction. PC is the main functional unit of the
microprocessor. If the entire program (executable code) is 16 bytes long and is stored in a location
starting from 2000H to 200F, then the PC starts addressing 2000H to 200F sequentially in order to
make it possible to fetch program bytes from these locations one-by-one. The address of the next
location of the memory location is being addressed at the end of the current cycle. Currently, the
microprocessor has just completed the execution of the program byte located at 200B, while the PC
at this instant holds the address of the next location, which is 200C as shown in Fig. 8.9 via the output
buffer.
2000
2001
2002
(µP) 2003
Program counter 2004
D
E 2005
0 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 2006
C
2007
O 2008
Memory address register D 2009
E 200A
0 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 R 200B
200C
200D
200E
200F
Decoder selects location 200C Memory Address
Holding the program

Fig. 8.9 Program counter holding the address of the next instruction
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Memory Address Register The content of the Program Counter is placed on the Memory
Address Register (MAR) before the address is transferred to the decoder of the memory device
(Refer Fig. 8.9).
Flags The flag register in the microprocessor is a special purpose register in which the individual
bit values represents the standing of a result byte. The flag bits are automatically modified in
accordance with the result and the type of operation performed. The result byte could be a positive or
negative number (after mathematical operation is over), and a dedicated flag bit implies this piece of
information, i.e. whether the result is positive or negative. In another situation, the result byte could be
a result of some mathematical or logical operation and resulted as zero. A corresponding flag bit
indicates this information, i.e. whether the result is zero. The microprocessor tests the result of the
operation, and the test result is thus stored in the flag register. The flag bits in many situations are
more important than result itself. The programmer, when necessary, uses the tested and recoded flag
bits. Following flag bits are common within the design and construction of most of the
microprocessors and microcontrollers.
· Carry bit: If there is a carry during operation, then the carry bit is set to ‘1’.
· Parity: The microprocessor checks the even or odd number of ‘1’ in the result. If the number
of ‘1’s in the result is even, then the parity bit of the flag is set to ‘1’.
· Zero: Following the execution of the operation, if the result is zero, then the zero bit of the flag
is set to ‘1’.
· Sign bit: The microprocessor checks the most significant bit of the result. If the result is
negative, the sign flag bit is set to ‘1’.
In the Fig. 8.10 (b), the flag bits parity and zero have been set to ‘1’ (by the microprocessor) as the
number of ‘1’s in the accumulator are even and the content of the accumulator had been resulted zero
because of some operation.

(mP)
Sign bit
C = Carry bit
C P Z S X X X X P = Parity bit
Z = Zero bit
Flag register S = Sign bit
Flag bits X = This bit not in use (don't care)

(a)

(mP)
Accumulator (ACC) Flag register

0 0 0 0 0 0 0 0 0 1 1 0 X X X X

(b)

Fig. 8.10 Flag register and its bits

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8.6.10 Fetch Cycle

The microprocessor fetches the OPCODE or data from the memory or input devices as follows. The
content of the PC, the address is placed in the MAR. The content of the MAR is then transferred to the
decoder, which is interfaced or in built with the memory device (see Fig. 8.9). The decoder decodes
the address, and selects the appropriate location according to the address supplied to it. The content
of the specified address is read and transferred into the microprocessor. If the item read is an
OPCODE, then it is placed in the Instruction Register, and if the item read is data, then it is placed in
the Data Register. This is a fetch cycle or memory read cycle. In particular, following events are
carried out within a fetch cycle:
· Send address through address bus.
· Decode the address.
· Read the content of the specified location.
· Transfer the content of the specified location in the memory to the microprocessor.

8.6.11 Writes Cycle

Writes cycle is one that interprets writing operation. Microprocessor can send data to a specific
location of the memory or to an output device. During writing operation, the microprocessor transfers
the content of the PC to the memory decoder through the MAR. Microprocessor uses WR (write)
signal for writing into the memory.

8.6.12 State
The microprocessor processes data at a rate, which is determined by the clock signal (crystal output)
it has been interfaced with. The time required to complete a read (fetch) and write cycle is measured
in terms of state. The state is related to the clock frequency of the microprocessor. Some
microprocessors operate at higher clock frequency and some at lower clock frequency. Usually it is
operated with a frequency, which is half of the crystal frequency, fOSC as shown in the Fig. 8.11.
Crystal frequency

fosc

fosc
2

State Microprocessor operates at this frequency

Fig. 8.11 State

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Microprocessors and Microcontrollers

If the crystal frequency is 10 MHz, then the frequency with which the microprocessor processes
is 5 MHz. The ‘state’ can be calculated as,
1
Tstate = = 200 Nanosecond
( fosc / 2)
Some microprocessors require three states (three-clock period) to complete a fetch cycle and
some require more. A three-state time fetch cycle would be completed in 600 nanoseconds if the
crystal frequency is 10 MHz.

8.6.13 Bus
OPCODE, operands and address bytes are transferred through bus. A bus is a transmitting media
consisting of group of lines. The number of lines are usually 8, 16, 32, etc. They connect each and
every unit within the microprocessor (Refer Fig. 8.12). Some buses are bi-directional and some are
unidirectional, meaning the bi-directional buses transfers data in both directions, where as
unidirectional buses carries data in only one direction. Buses, which carry address and data are called
address-bus and data-bus, respectively. They may be external or internal. Some buses are used in
multiplexed mode. For example, in one occasion they are used as address bus, and in another occasion
they are used as data bus. Time Division Multiplexing (TDM) is used with regard to multiplexed mode
of operation.

(µP)
Internal bus

Bi-directional External
bus
Another A typical unit within
unit the microprocessor

Unidirectional bus

Bus can be used in Registers

multiplexed mode

Fig. 8.12 Bus types

8.6.14 Instruction Decoder or Microcode Engine

This is the main unit, which is responsible for decoding the instruction. The instructions (OPCODE)
fetched from the memory are placed in the IR. Once the OPCODE enters into the microprocessor, it
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must be decoded in order to generate control signals for ‘what to do next’. A unique set of control
signal is generated according to the instruction types. For instance, if it is an instruction (OPCODE)
for addition, then addition related control signals are produced. If the OPCODE is a comparison
instruction, then comparison related control signals are produced. The decoder decodes the OPCODE
and produces the necessary control signals as illustrated in Fig. 8.13. The instruction decoder is also
called microcode engine. It is really an engine (checks its own for what to do next) that drives all
other units in order to perform the desired task based upon the decoding result.
OPCODE from memory

(mP)

Instruction register

Instruction decoder (microcode engine)

Control signals for other units of the microprocessor

Fig. 8.13 Instruction register and microcode engine

8.6.15 Interrupts
In a typical microprocessor-based control implementation usually the external input devices such as
sensors, A/D converters, Input ports, Programmable Interrupt Controller (PIC), Direct Memory
Access Controller (DMAC), etc. are interfaced with the microprocessor through some special lines
called interrupt lines or interrupt pins, and these lines are input lines (Fig. 8.14). Generally, the data
transaction from the external devices into the microprocessor is not implicit for which a request and
acknowledgement type signal is needed. The external device sends an interrupt signal to the
microprocessor when it wants to establish a dynamic link for data transaction. For example, when an
A/D digital converter completes its conversion process, (i.e. analog signal to its digital equivalent), it
can request the microprocessor in terms of interrupting it to accept the digital data for use. A/D
converter interrupts the microprocessor informing that it is ready to transfer the digital data. The
microprocessor then sends an interrupt acknowledgement signal to the A/D converter. Then only data
transaction takes place. This is a typical example. In order to handle several devices, more numbers of
interrupts lines are required. A microprocessor must have adequate number of interrupts lines in order
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to deal with acceptable number of devices. When the number of interruptible devices are more than
the number of interrupt lines a microprocessor has, the situation could be solved through a technique
which is called as vectored interrupts. Vectored interrupt is a nested scheme, and polling methods are
employed for device identification. Polling is a technique to identify a device among many that has
interrupted. Polling can be implemented through hardware, software or combination of both.

(mP) Interrupt pin-n

Interrupt pin-2
Interrupt acknowledge pin of Analog to
the microprocessor digital SENSOR
converter

Interrupt line

Interrupt pin of the Interrupt pin of

microprocessor A/D converter

Fig. 8.14 Interrupt lines/pins

8.6.16 Stack and Stack Pointer (SP)

Stack is a user defined memory space, which includes many locations within the memory space of the
microprocessor. These memory locations are special in the sense that when interrupts occur, the
microprocessor stores the current content of the various registers and flags in the stack in order to
attend the interrupt. Microprocessor is presently doing some task (executing some codes). In the
mean time, the interrupt has occurred. The microprocessor must listen, or attend, to the interrupt
while suspending the present task. Attending to interrupt implies execution of another sub-task or
sub-program corresponding to interrupt. The sub-task is referred to as subroutine. The control, or the
Program Counter, will hold the address of another location corresponding to this interrupt. Before
attending to the interrupt subroutine, microprocessor must store its data, address, results etc. which
are presently within the Accumulator, Registers, Flags, etc. so that after completing the interrupt
subroutine, the microprocessor can resume its original main task. In order to do this the
microprocessor should have provision of storing the content of its own in the memory locations. The
stack is the place where the content (data, address, etc.) of the microprocessor is temporarily stored.
The data are retrieved from the stack into the microprocessor when it completes the interrupt
subroutine. It may so happen that while executing the interrupt’s subroutine, another interrupt may
occur. The microprocessor can suspend the present work, which is an interrupt subroutine, in order
to attend the second interrupt subroutine, provided that the second interrupt subroutine has highest
priority as compared to the first one. Stack Pointer is a register located within the microprocessor
that holds the address of the stack top. Depending upon the program requirement, the range of the
stack is determined.
Refer Fig. 8.15 (a) and (b). Figure 8.15 (a) shows that microprocessor is executing the main task
stored in the memory. Prior to interruption, let the content of the PC and SP of the microprocessor be
200CH and 3000 respectively. Further, assume that the content of a temporary register A is 8D (For
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BEFORE INTERRUPT

(mp) PC A Register

200C 8D
SP
3000

2000 5000
2001 5001
300A
2002 5002
D 3009 D
2003 5003
D 3008
E 2004 E 5004
E 3007
2005 5005
C C 3006 C
2006 5006
O 3005
2007 5007
O D 3004 O
2008 5008
E 3003
D 2009 D 5009
R 3002
200A 500A
E 3001 E
200B 500B
3000
R 200C R 500C
200D Stack Address 500D
200E 500E
200F 500F
Memory Address Interrupt Address
holding the subroutine
main program (a)

AFTER INTERRUPT

(mp) PC A Register

5000
SP
3002

2000 5000
2001 5001
300A
2002 5002
D 3009 D
2003 5003
3008
E 2004 D E 5004
3007
2005 E 5005
C 3006 C
2006 C 5006
3005
2007 O 5007
O 3004 O
2008 D 5008
3003
D 2009 E D 5009
8D 3002
200A R 500A
E 20 3001 E
200B 500B
0C 3000
R 200C R 500C
200D Stack Address 500D
200E 500E
200F 500F
Memory Address Interrupt Address
holding the subroutine
main program (b)

Fig. 8.15 (a) Before interruption (b) After interruption

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simplicity this example has considered the content of only one register, however, there could be many
registers involved while the microprocessor executing the current task). At this moment let the
interrupt occur. Then the microprocessor has to store the content of the PC and the content of the
register A in the stack prior to attending the Interrupt Service Subroutine (ISS), which has been
stored in another memory block starting from the location 5000H to 500FH. Figure 8.15 (b) shows
the contents of the microprocessor after the interrupt has occurred. As you can see that the empty
stack has been filled with 0C, the 8 Least Significant Bit (LSB) of the PC, at the stack location 3000H.
The stack location 3001H stores the 8 Most Significant Bits (MSB) of the PC and finally the location
3002H holds the content of the register A, which is 8D. Notice the order of the stack locations. The
LSB bits of any address are placed at the lower order location. The content of PC has been changed
to 5000H, the address location from which the interrupt service has to be executed. Also notice the
content of the SP. It is 3002H, the new stack top. SP always points to the most recently filled location
in the stack. SP is initialized at the bottom of the stack space, and as data bytes are added to the stack,
the stack fills up the stack space.

8.7 INSTRUCTION TYPES

A microprocessor must have a compatible instruction set using which the control program is
developed. All the instructions are broadly grouped under five categories:
· Mathematical and logical instructions
· Data transfer instructions
· Comparison
· Branch, jump, etc. instructions
· Device/Machine control instructions
Some of the assembly formulated mathematical instructions, described by Intel corporation for
their chips are ADD (Addition), SUB (Subtraction), MUL (Multiplication), etc. The logical instructions
can be AND, OR, XOR etc. MOV (Move), MVI (Move immediate), etc. are some of the data transfer
instructions. CMP instruction can compare two numbers. CALL (call), JMP (Jump), RET (Return),
etc. can direct the microprocessor to jump to execute another executable code. RST (Reset), HLD
(Hold) type instructions can control the microprocessor at the chip level.

8.8 ADDRESSING MODES

Operands are fetched/transferred either from the memory, from the register, or from the I/O devices.
The way the operands are addressed is called addressing modes. There are basically six types of
addressing modes, which are as follows:
· Immediate: The operand is within the instruction.
· Register direct: The operand is in one of the register of the microprocessor.
· Memory direct: The operand is in a specified memory location.
· Memory indirect: The operand is in the memory whose address is in the register or in some
other location.
· Implicit: The instruction itself knows the address.
· Indexed: The real address of the operand is obtained by adding a calculated value to the address.
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8.9 WHAT YOU KNOW NOW

So far you have been acquainted with some of the terms frequently used in the microprocessor
technology. In summary a microprocessor should contains the following basic blocks in order to
facilitate the implementation of many of the control functionalities.
· Accumulator
· Arithmetic and Logic Unit (ALU)
· Temporary Registers, Flags & Instruction Registers (IR)
· Program Counter (PC)
· Stack Pointer (SP)
· Internal Bus
· Buffers and Ports
· Memory Address Register (MAR)
· Data Registers (DR)
The functions of the above units have already been described in the previous section. These units
have been put together in the Fig. 8.16 in order to have an abstract illustration as far as architecture of
a typical microprocessor is concerned, although the real architecture is very complex in nature. What
you see in the figure is that it is a typical schematic diagram of a typical microprocessor with minimum
configuration.
This microprocessor has an address bus that may be 8, 16 or 32 bits wide, which sends an address
to memory. Data bus may be 8, 16 or 32 bits wide that can send data to memory or receive data from
the memory. Some buses are bi-directional and some buses are unidirectional. RD terminal provides
read signal, and the WR terminal provides write signal to the external memory or I/O devices in order
to take effect of reading or writing operation, respectively. These signals request the memory or I/O
devices whether they want to send, or get, the content of the addressed location. The reset terminal
resets the program counter to zero and restarts execution. Since the microprocessor is composed of
sequential logic circuits (see Chapter 4), it must be provided with a clock. A clock signal, which is the
output of a crystal, must be given in order to sequence the processor operation. VCC and Ground
terminals are connected to the supply voltage.

8.10 INTEL’S 8085A MICROPROCESSOR

Intel’s 8085A is a general-purpose 8-bit microprocessor that can be employed for many industrial
automation and control applications. 8085A microprocessor has specifically been developed for
learning and operation of microprocessor based control systems. Besides industrial process control
applications, embedded microprocessor technology based control systems are also found in consumer
products such as in stereos, camcorders, locking systems, VCR etc. Figure 8.17 shows the
architecture of 8085A microprocessor. A description on the functional blocks and some of the
important control signals of the 8085A follows.
Arithmetic and logic operations are carried out in ALU. Temporary Register is similar to data
register as described in the terminology section. Accumulator is an 8-bit register that holds the result
of any operation. Instruction (OPCODE) flows from the memory to the Instruction Register. Decoder
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To Memory and I/O

Clock Reset
Address path Data path

(mP)
RD
Flag bits Instruction Register (IR) Data Register (DR)

Bi-directional
Bus

Microcode
Engine Register set

Stack pointer

Control signals
Program counter

Bus

Memory Address Register (MAR)

ALU

Unidirectional
bus
Accumulator

Address path
RD WR to memory and output Ground VCC

Fig. 8.16 Minimum configuration of a typical microprocessor

decodes the OPCODE and activates the Timing and Control Unit to generate control signals such as
Clock out, RD (Read), ALE (Address Latch Enable), RESET OUT, S0, S1, IO / M , HLDA, etc. for
further action to take effect. If the OPCODE is an instruction for addition operation, then Timing and
Control Unit generates addition related control signals, and if the OPCODE is a comparison instruction,
then comparison related control signals are generated.
B, C, D, E, H, and L are six general-purpose 8-bit registers. These are used for temporary storage
of 8-bit intermediate-data, results, constants etc. BC, DE registers are used as pairs to hold 16-bit
data. H and L registers, in combination, are used to hold the address locations temporarily whenever
necessary. Only these combinations are possible. Program Counter (PC) of 8085A holds the address
of the next instruction. Stack Pointer points the stack-top. Incrementer and Decrementer Unit
increments and decrements any digital data (value), and can be used for counting purpose.
Within 8085A, data are processed 8-bit wide. In every situation, data transaction between the
external (Memory, I/O devices) and even internal units (Accumulator, Registers, etc.) takes place
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TRAP RST 7.5 RST 6.5 RST 5.5 INTRA INTR SID SOD

Interrupt Control Unit Serial I/O Control Unit

Temporary Accumulator
register (ACC) Instruction
register C B
E D
L H

ALU PC
Instruction SP
Decoder
Incrementer/Decrementer

Timing and control unit

Address Buffer Address/Data Buffer

Clock RD ALE S0 S1 IO/M HLDA RESET RESET HLD WR READY
out OUT IN

A8 - A15 AD0 - AD7

Fig. 8.17 Intel’s 8085A Microprocessor

8-bit (one byte) wide. However, some external devices input and output data in serial manner. It is
thus required to convert the parallel data into serial form. 8085A has a unit called Serial I/O control
Unit, which converts 8-bit length parallel data into a 8-bit serial data. Serial data are outputted from the
microprocessor through SOD (Serial Output Data) pin, and serial data are input into the
microprocessor through SID (Serial Input Data) pin.
8085A facilitates interrupt service by providing five numbers of dedicated interrupt lines (pins).
They are called INTR, RST 7.5, RST 6.5, RST 5.5 and TRAP. INTR is one of the interrupt lines.
When this is high (the interruptible device drives it to high) 8085A suspends its main task and attends
the subroutine written for INTR line. The content, or the present status of the microprocessor, is
stored in the stack prior to switching the control to attend the INTR subroutine. The programmer
defines the address of the interrupt subroutine. On the other hand, the interrupt lines RST 5.5 to 7.7
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have fixed address locations. Whenever these lines are high, the 8085A passes the control to fetch the
instruction from the location corresponding to RST 5.5, RST 6.5 and RST 7.5. TRAP is a special
interrupt pin/line mostly used for attending the service relating to power signal interruption. That is, if
main power supply fails, the microprocessor is informed through this line. The microprocessor
executes the TRAP subroutine. In effect, the VCC is connected to the battery.
8085A can address up to 216 = 64K locations. The address and address/data buffers are some sorts
of ports where address and data are placed. These are also 8-bit registers. The 16-bit address is
transferred from the PC to the Memory Address Register (MAR) and placed on both the buffers
(address and address/data) and then transferred to the memory. The lower byte of the address is
placed on the address/data buffers, where as the upper byte is placed on the address buffer. Eight
Least Significant Bit (LSB) of the address are sent to the memory decoder through AD0 – AD7 lines
and other eight Most Significant Bits (MSB) of the address are sent through A8 – A15 lines. Data are
transferred from and into the microprocessor through 8 lines, i.e. through AD0 – AD7 pins. Thus
AD0 – AD7 are used in multiplexed mode, they carry both data and address. Within a fetch cycle the
address is sent during the first state of the cycle. During the second state the content of the specified
memory location is read and during the third state the content is transferred into the microprocessor
through the same AD0 – AD7 lines/pins (Fig. 8.18). The address/data bus, AD0 – AD7, is bi-directional
where as the address bus A8 – A15 is unidirectional.

fosc
2

State-1 State-2 State-3

(send address) (Read) (Fetch)

AD0 − AD7 used to AD0 − AD7 used to

send address send data

Fetch cycle

Fig. 8.18 Multiplexed mode of operation of AD0 – AD7 bus

8.11 MICROCONTROLLERS
Microcontroller is a digital integrated circuit, signifying the heart of any modern control applications.
The microprocessors and microcontrollers are similar, but as far as application domains are
concerned, their architectures differ. Microprocessors, or CPUs, are mainly employed for high-speed
computing applications such as mini, mainframe, PC, super computer design. On the other hand,
microcontrollers are employed in automation and control applications. However, presently the
application domains of microcontrollers have been expanded into computing sectors. For example,
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many embedded microcontrollers are used for modem, disk drives, floppy drives, etc. Before the
advent of microcontrollers, microprocessors had been the only choice for realization of control
system. Although microcontrollers are considered to be the replacement of microprocessors, in
industry still the microprocessors are being used because of their adaptability, versatility, flexibility,
compliance, low cost, and ease of writing and handling the codes. In order to go ahead for
understanding microcontrollers, prior study on microprocessors was essential.

8.11.1 Difference Between Microprocessor and Microcontroller

The microprocessor or microcontroller might contain one or more CPUs as shown in Figs. 8.19 and
8.20.

ALU
Register set
buffers
Instruction decoder
CPU Control Unit
PC, SP
Interrupt controller
SID/SOD Unit
Buses
(a)

CPU CPU

(b) (c)

Fig. 8.19 (a) Microprocessor with one CPU (b) with two CPUs (c) with three CPUs

As far as architecture is concerned, microcontroller, unlike microprocessor, contains many

additional peripheral units along with the common functional units. The functional units are arithmetic
and logic unit, Register sets, Program Counter, Stack Pointer, Control Circuitry, etc. These common
and basic functional units are required to interpret and execute instructions or program. The additional
units are called peripheral units. These include:
· A/D converter
· Programmable timer
· Pulse width modulator
· Phase locked loop
· Memory controller
· EPROM, ROM , etc.
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ALU
A/D converter Register set
Memory controller Buffers
Programmable timer CPU Instruction decoder
Pulse width modulator Control Unit
Digital I/O PC, SP
Phase locked loop Interrupt controller
Memory controller SID/SOD Unit
EPROM, ROM Buses

(a)

CPU CPU

(b)

Fig. 8.20 A microcontroller showing peripheral units

The target platform for which the control system is designed is called process or plant. A plant can
be controlled either using a microprocessor, or using a microcontroller. The plant may be a machine
such as Robot, AGV (Autonomous Guided Vehicle), NC (Numeric Control), etc. or a production line
such as conveyor system, packaging and assembly station, etc. All such machines and lines have to
be equipped with sensors and actuators which are logically linked through microprocessors or
microcontrollers to perform the global task. In a microcontroller based control design, the requirement
of number of external circuitry such as signal conditioning circuits and peripheral units are less as
compared to its counterpart, i.e. microprocessor based control design. This can be noticed from the
Fig. 8.21, in which no circuits or a relatively less number of circuits and units are required to control
a pick-and-place type robot if microcontrollers are used. In summary, microcontroller-based control
design is robust and reliable due to the following reasons.
In microprocessor-based solution the external units have to be integrated or interfaced, requiring
additional task and connectivity. On the other hand microcontroller-based control design does not
require additional peripheral units since they have been built into the processor chip. They are more
reliable, since little or fewer additional connections and interfacings are required thus reducing part
size and enhancing real-time performance and efficiency. The overall implementation cost is also low.

8.12 GENERAL REQUIREMENTS FOR CONTROL AND THEIR

IMPLEMENTATION IN MICROCONTROLLERS
Most of the control applications require some basic functions in order to perform the whole task. A
microcontroller should incorporate these functionalities in terms of its architectural design and
associated instruction set, so that any control program can be developed. In generalized sense it
should facilitate:
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Microprocessor

Signal conditioning circuits

and interfacing Microcontroller
(Peripheral Units)

PLANT PLANT

= Sensors (Encoder, switch) = Sensors (Encoder, switch)

= Actuator (motor) = Actuator (motor)

Fig. 8.21 Typical Microprocessor and Microcontroller based control design

· Mathematical operations
· Real-time operations and context switching
· Communication
· Relatively higher sampling rate

8.12.1 Mathematical Operations

Mathematical operations are addition, subtraction, multiplication, square root and trigonometric
functions. The implementation of filters and other control functions for estimation (e.g. state feedback
estimation), identification etc. requires sophisticated mathematical treatments and equations. For
example, in order to implement a filter, multiply and add function such as sum of products is
desirable. Moreover, the implementation of advanced control algorithms such as state controllers,
state observers, adaptive controllers, etc. requires complex matrix operation.

8.12.2 Real-time Operations and Context Switching

In order to handle the real time operations, the microcontrollers must have interrupt capability. The
microcontrollers must have provisions of handling acceptable number of interrupts. Usually the
peripheral devices, are interfaced through interrupt lines of the microcontroller. The peripheral devices
could be an A/D converter, timer, or even another microcontroller. The interrupt capability allows the
microcontroller to suspend the on-going task temporarily, to jump to an interrupt service subroutine in
response to an interrupt request, and return to the suspended task at the end of the service.
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In order to handle several interruptible devices, more interrupt lines are required. A microcontroller
must have adequate numbers of interrupt lines in order to deal with multiple number of devices.
Interrupt priority among the devices is necessary for handling interrupts. For this, interrupt
management mechanism must be incorporated. In interrupt management, schemes such as hardware
polling and software polling are in fact, implemented within the microcontroller architecture. Latency
is one of the characteristics of real-time operations. Latency is defined as the time delay between the
interrupt request and the start of the service routine. Latency has to be small.
Context switching is an important operation in which the current action switches to another sub-
action because of interrupt. This is a sort of multitasking control operation where the control changes
the tasks according to operation conditions, and the control strategy. In order to realize the concept of
context-switching, the microcontroller includes Program Counter, Stack Pointer, register set, etc. in
conjunction with context switching instructions such as PUSH, POP, CALL, RET, etc. Mainly, the
role of SP is important in context switching activities. The microcontroller must be able to handle
context switching with minimum delay to avoid performance degradation.
Other facilities that the microcontroller support for real-time operations are timer provision, A/D
converter, high-speed I/O, ports/buffers, acceptable number of registers and internal memory and
communication capability. Timers are needed for different time related operations such as signal
generation, period measurement, delay generation, etc. In many control applications, oscillatory
signals such as square wave, triangular wave, PWM (Pulse Width Modulated) signal, etc. become a
requirement. For example, the speed of an induction motor can be controlled by suitably controlling
the input power (see Chapter 2). A PWM signal could be required to do the control function, i.e. speed
control. The microcontrollers can generate such signal when programmed. A/D converter converts
analog to the digital signal. High-speed I/O ports/buffers are required for communication with external
devices such as sensors, display unit, etc.

8.12.3 Communication
Communication capability is essential in most control systems to operate under the coordination of
other devices and controllers. Standardized physical layer model is the preferred choice in order to
establish coherent communication (see Chapter 12 and Chapter 13). The solution to effective
communication among the components is to abide by some common set of data-format and data-
exchange rules. The coherent and unified communication standard is referred to as open system
standard. The standards define the format in which data is exchanged, systems are accessed, and
services are involved. An open system enables end-user to buy off-the-shelf products to achieve
coherent communication. Many microcontrollers facilitate standardized physical layer model for
unified and coherent communication.

8.12.4 Sampling Rate

Sampling rate of the microcontroller is the rate at which the microcontroller processes and
manipulates the data. High sampling rate is desired in order to accommodate the control bandwidth.
The control bandwidth is the bandwidth that accommodates all the frequency components of the
signal to be dealt with. Microcontrollers with higher sampling rate are costlier. Cost performance ratio
must be evaluated before selecting a microcontroller for a specific target application. One of the other
selection parameter is that one should select a microcontroller having slowest sample rate that meets
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all performance specifications [18]. You have encountered in Chapter 2 that theoretically, the sampling
rate of a system should be twice the bandwidth of the signal. But in practice, 20 to 30 times the
desired bandwidth is typically required.

8.13 CLASSIFICATIONS
Microcontrollers are classified mainly in four ways such as,
· By the semiconductor technology of their design
· The width of the data format
· Their instruction set
· Data types they handle
With regard to semiconductor technology of their design, mostly TTL (Transistor-Transistor
Logic), CMOS (Complementary Metal Oxide Semiconductor) and ECL (Emitter Coupled Logic)
based fabrications are observed. CMOS consumes low power because of high input impedance of the
basic devices built into it while TTL technology is commonly in use. Faster processors are designed
based on ECL technology.
The width of the microcontroller represents the size of the operand upon which the processor can
operate. Microcontrollers characterizing 4-bit, 8-bit, 16-bit and 32-bit width data format are designed.
8-bit devices are mostly used. These are inexpensive and good enough for the realization of simple
control applications. In general, the wider the data format, the faster, and more expensive, are the
devices.
Microcontrollers are also classified under whether they are CISC (Complex Instruction Set
Computing) or RISC (Reduced Instruction Set Computing). CISC processors are slower as compared
to RISC. CISCs are easier to program as compared to RISC.
Further, there are two types of microcontrollers such as floating-point and fixed point, i.e.
according to the nature of data they handle. The main difference in this respect is their architecture of
arithmetic and logic units. The floating-point microcontroller directly operates on data, using floating-
point format. A fixed point microcontroller, on the other hand, deal with fixed point data. Such
microcontrollers can also handle floating-point numbers, but by the use of software, thus requiring
increased processing time.

8.14 INTEL’S 8XC196KC/KD MICROCONTROLLERS

8XC196KC and 8XC196KD are high-sped microcontrollers from Intel Corporation. These two
microcontrollers are under MCS 96 family. Throughout this chapter, KC will be used for 8CX196KC
and KD will be used for 8XC196KD. Both KC and KD share the same instruction set, but they differ
in three respects, which are:
· Their frequency of operation: 16 MHz in case of KC and 20 MHz incase of KD.
· Number of internal registers: 512 in case of KC and 1024 in case of KD.
· The capacity of OTPROM (One-Time Programmable Read Only Memory): 16K for KC and
32K for KD.
Typical control applications include:
· Industrial automation and control
· Motor control
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· Engine control
· Modem
· Mid-range digital signal processing
· Airconditioner control
· Printer control
· Disk drive control
· Photocopier control
· Any kind of closed loop control such as robotics, and so on.

8.14.1 Core Units

The architecture in terms of block diagram of the 8XC196KC and 8XC196KD is shown in Fig. 8.22.
The microcontroller has a 16 bit wide Central Processing Unit (CPU). The core of the 8XC196KC/KD
consists of CPU, a memory controller and an interrupt controller as shown in Fig. 8.23. The CPU
contains a Register Arithmetic Logic Unit (RALU) and a Register File. The CPU interconnects an
interrupt controller and a memory controller via a 16-bit CPU bus. An extension of this bus connects
the CPU to the internal peripheral modules such as timers, ports, PWM, S/H, etc. In addition, an 8-bit
CPU bus transfers instruction bytes from the memory controller to the instruction register that is a
part of RALU.
Reference frequency

V (Ref) ANGND Clock

OTPROM
16K - KC
32K - KD
A/D converter Register file Interrupt
RALU PTS
Controller
512 bytes in KC
1024 bytes in KD Microcode
S/H Memory Control
engine Signals
Controller
Queue
MUX
Port 3
Address
Data Bus
T2CAPT Port 4
Watchdog Serial Boud Rate HOLD
Port 0 Port Generator Timer 2 HOLDA
Timer
Timer 1
BREQ
Port 2 High
PWM PWM 1
Multiplexure Speed I/O
Port 1 PWM 2

Port 2 HIS HSO Port 1

A/D Port 0

Fig. 8.22 Architecture of 8XC196KC/KD microcontroller

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RALU Memory Controller

Master PC with 6-bit loop counter
with decrementer BUS
Incrementer
CONTROLLER
CPU Memory
Bus
Upper word register 2nd operand
with shifter register MUX

Register File Lower word register

Constants
with shifter
Slave Address Data
Queue
PC register register
Register Program Status Word 3-bit select
RAM (PSW) register

MUX

Instruction register

A B
SFR
PSW control ALU
Microcode engine Interrupt
Controller

CPU Control
and status signals
16

CPU BUSES
8

Fig. 8.23 Core units of the 8XC196KC/KD microcontroller

8.14.2 Microcode Engine

The CPU is governed by a set of instructions which are decoded in the microcode engine, which
generates control and status signal to instruct the RALU to perform operations.

8.14.3 Queue
Queue is a type of register, which holds the instructions. It is located within the memory controller.
The instructions flow into the queue in the first place, and then transferred into the instruction register,
before decoding takes place. The microcode engine then decodes the instruction and generates control
signals so that the desired functions can be performed.

8.14.4 Register Files

Register file is a set of general-purpose registers, which have been fabricated within the
microcontroller for intermittent data storage. These registers are nothing but Random Access
Memory (RAM) and their numbers in case of KC is 512 and that in case of KD is 1024. As far as
address is concerned, the register file is divided into upper and lower file. The lower register file has
256 locations. Out of 256 locations, bottom 24 locations (24 bytes) are used for handing special
functions. These locations are called Special Function Registers (SFR) space. The upper register file
contains 256 and 768 RAM locations in case of KC and KD, respectively.
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8.14.5 RALU
Register/Arithmetic and Logic Unit (RALU) is the main functional unit that includes:
· Arithmetic and Logic Unit (ALU)
· Master Program Counter (PC)
· Program Status Word (PSW)
· Instruction register
· Microcode engine
· Constant register
· 3-bit select register
· Loop counter
· Upper word temporary register
· Lower word temporary register
· Second operand register
ALU performs arithmetic and logic functions. Words enter the ALU through A and B inputs. PC
points the address of the next instruction. It includes incrementing circuitry. PSW register bits are
used for two purposes: (i) six bits are used as flags to reflect the status of the program, and (ii) some
bits are used to enable and disable some peripheral units. For example PSW.1 (first bit of PSW) is
used to globally enable and disable servicing of all interrupts, and PSW.2 is used to enable or disable
the Peripheral Transaction Server (PTS). When interrupt occurs, the control passes to another
location. The interrupts are handled by jump, call, and return type instructions. The upper and lower
registers are mainly used for 32-bit instructions. They are also used as temporary registers for other
instructions. The 6-bit loop counter register is used to count the number of left or right shifts,
whenever required. The second operand register stores the second operand when the microcode
engine executes a two-operand instruction.

8.14.6 Memory Bus

There are three types of memory bus, namely, internal OTPROM Bus, internal RAM bus, and external
address/data bus.

8.14.7 Memory Controller

Memory controller controls the memory. The basic units of memory controller are:
· Address register
· Data register
· Slave PC
· Four-byte queue
· Bus controller
Address and data register store address and data during fetch cycle. The bus controller drives the
memory bus. The slave PC holds the address like master PC. The queue requests the bus controller to
fetch the code from the location whose address is within the slave PC.

8.14.8 Interrupt Controller and PTS

The primary function of the microcontroller is to provide real-time control of the plant through
interrupt services. The interrupt controller manages the interrupts. KC and KD provides two interrupt
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service options. It facilitates software scheme through interrupt controller and hardware-implemented
services through PTS (Peripheral Transaction Server). The interrupts are services by user-written
interrupt service routines. PTS is an embedded hardware interrupt handler. The PTS responds to
interrupts with a fixed set of actions, such as transferring data, starting a A/D conversion, reading
High-Speed Input (HSI) and loading events into the High-Speed Output (HSO) modules. PTS has
higher priority over software interrupts.

8.14.9 I/O Ports

Ports are the places where loading and unloading of data takes place. Ports are commonly used to:
· Read system status
· Monitor system operation
· Output device status
· Configure system operations
· Generate control signals
· Provide serial communication and so on
KC/KD has five I/O ports called Port 0 through Port 4. All the ports are 8-bit in length (one byte),
i.e. they can store one byte of data. These ports are called standard I/O ports. Port 0 is an input port,
where as Port 1 through Port 4 are output ports. In addition to standard ports, the High-Speed Input
and the High-Sped Output modules provide further I/O functions. The HSIO module contains four
individual peripheral units such as:
· Timer 1
· Timer 2
· High-Speed Input (HSI)
· High-Speed Output (HSO)
Timer 1 is a free running timer and can be used for eventing purposes. For example, in some
situation we may need a program like,
Define Timer1 Value // Define the timer
When Timer1_exprires(Value) // Function
Do A/D conversion // Eventing
Timer 2 counts both positive and negative input transitions. This timer can be used for counting
and as time-base for HSO module. HSI records times of an external event with an eight-state-time
resolution. A state is the smallest unit of time, which is the reciprocal of the frequency at which the
microcontroller operates. If the crystal frequency is 20 MHz, then the frequency at which the
microcontroller operates is 10 MHz, and the state time corresponding to this frequency is 100
nanosecond. HSO can be used to trigger based on time base. A time-base is to be defined, and when
it is elapsed, the triggering signal can be provided to take some action.

8.14.10 Watchdog Timer

Within the control implementation, using microcontrollers, it is often desirable to have a watchdog
timer to reboot the microcontroller if it runs astray. The controller usually reads from an I/O address
and generates the trigger signal. The role of Watchdog Timer in KC/KD is to provide the trigger signal
to reset the microcontroller if the application code (Program or Software) fails to operate properly.
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8.14.11 A/D Converter

It converts analog signal to digital equivalent. The A/D converter can be programmed to provide either
8 bit or 10 bit resolution data. Sample and convert times are programmable. The A/D converter uses
successive approximation technique to perform the conversion. It has eight input channels, which are
multiplexed with the Port 0. The following A/D converter parameters are programmable:
· Resolution (8 bit or 10 bit)
· Input channel selection
· Sample and convert times
· Interrupt on completion or without interrupt
· Compatible mode of operation with other microcontroller
· Immediate or timed conversion

8.14.12 Pulse Width Modulator

The KC and KD have Pulse Width Modulator (PWM) circuitry. PWM signals can be used in many
applications including motor control. Several types of motors require a PWM waveform for operation.
The width of a square wave or rectangular wave is varied in order to generate PWM signal. The
variation of width is as good as saying variable duty cycle signal. By varying the duty cycle (Total
period divided by the ON period), the average signal strength can be varied. The output waveform
from each is thus variable duty cycle pulse. It occurs every 256 or 512 state times, as programmed.
When filtered, the PWM waveform can produce a DC level that can change 256 steps by varying the
duty cycle.

8.14.13 Data Types and Addressing Modes

The following data types are defined with respect to KC and KD microcontroller. Table 8.2 provides
detail information about data types of KC and KD.
· BIT
· BYTE
· SHORT-INTEGER
· WORD
· INTEGER
· DOUBLE-WORD
· LONG-INTEGER
Table 8.2
Data types
Operand types No. of bits Signed Ranges
BIT 1 No Logic function
BYTE 8 No 0 through 255
SHORT-INTEGER 8 Yes –128 through +127
WORD 16 No 0 through 65535
INTEGER 16 Yes –32768 through +32767
DOUBLE-WORD 32 No 0 through 4, 294, 967 295
LONG-INTEGER. 32 Yes –2, 147, 483, 648 through 2, 147, 483, 648
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Addressing modes are the ways of accessing the operands. KC/KD uses six addressing modes
such as:
· Register-Direct
· Indirect
· Indirect with auto-increment
· Immediate
· Short-indexed
· Long-indexed
When operands are within the register, it is called register addressing. Operands can be addressed
indirectly. In this mode of addressing, the real address of the operand is within the Register File. That
is, the content of the register is the address of the operand. Indirect with auto increment addressing
mode is similar to indirect addressing mode, except that the content of the register (which is the
address of the operand) is incremented automatically after it is used to address the operand. When the
operand is within the instruction itself, then it refers to as immediate addressing. Short and Long-
indexed addressing is a technique, in which a calculated value is added with the address to the target
location where the operand resides. One 8-bit field in the instruction selects a WORD variable in the
Register File, which contains an address. In case of Short-Indexed addressing, the second 8-bit field
in the instruction stream is sign-extended and summed with the WORD variable to form the effective
address of the operand. The Long-Indexed addressing mode is like the Short-Indexed mode, except
that a 16-bit field is taken from the instruction and added to the WORD variable to form the address
of the operand. No sign extension is necessary.

8.15 PROGRAMMABLE LOGIC CONTROLLERS (PLC)

Programmable Logic Controller abbreviated to PLC has long been used in the industrial automation
platform. In late 60’s PLCs were introduced. The primary reason for designing such a device was to
facilitate communication capability and to replace the sluggish relay based machine control systems.
The major application of PLC is to replace the real world relays. The PLCs have been applied for
factory automation, machine control, process control, instrumentation, data acquisition and control
and many manufacturing systems. The PLC originated to replace traditional relay-based control
implementation. It is considered as the first generation of computerized version of process control
systems. The PLC based implementation is applicable where sequential logic is necessary. As per
requirement the PLC has to be programmed. The desired operation is achieved when the program is
executed. The PLC is programmed through a method called ladder logic technique, which means that
sequences of logical actions must be established, interlinked in a synchronous and timely manner. The
PLC samples the inputs and depending upon the state provides output in terms of ON or OFF. The
basic blocks (Fig. 8.24) of the PLC are:
· Central Processing Unit
· Memory
· Input module
· Output module
Fundamentally, the PLC can be thought of as a cabinet consists of thousand of relays, counters,
timers and memory cells. The relays are categorized under three headings, namely field relays, interior
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relays and output relays. The field relays are realized by the use of transistors and thus physically
exist. They are connected to the field devices such as sensors, switches etc. The signals from the
outside world are fed to the field relays. The output relay are responsible to send on/off signal to the
outside world such as solenoid, LED, gizmo, etc. They are also made up of transistors. The interior
relays, counters and timers are realized by simulation. The register bits are used to realize the
simulation. Some of the interior relays are ON state while some are OFF state. They are usually used
for initializing data that was stored. The counters do not physically exist. They are called simulated
counters or software counters. Through programming the counter can count the input pulses.
Essentially the software counters can count up or down. In many PLC hardwired counters are also
seen. Hardware counters can provide faster counting operation.

Input Output
CPU
Module Module Output
Input (ON / OFF)

Relays Memory Relays

Fig. 8.24 The building blocks of a typical PLC

The PLC works by repeatedly looking into the program. This repetition cycle has three steps,
namely sense, decide and act. During the sense phase of the cycle the PLC looks the current state of
the process under its control in terms of looking at each field devices to conclude if it is ON or OFF
state. In deed the status of the first input, second input, third input and so on are sensed cyclically.
Then it transfers the sensed data to the storage cells and records. The stored data are used during the
next step during which the PLC executes the program. The programs are executed one instruction at
a time, sequentially. In response the execution of the program it turns ON or OFF the outputs of the
corresponding inputs. It then stores the results of the execution for subsequent use and at the end the
PLC always updates the status of the outputs. Thus it updates the outputs based on which inputs were
ON or OFF during the first step and the results of executing the program during the second step.
Once the final step is over the PLC goes back to step one and repeats the steps endlessly. One scan
time is defined as the time it takes to execute the 3 steps listed above.
Fundamentally, the following processes are involved in order to implement a PLC based process
control system. Firstly the components used in a traditional relay-based control system are translated
into symbols that the PLC understands. All the devices are assigned with unique addresses. Various
addressing schemes are usually used. There is a requirement to create a ladder diagram because a PLC
does not understand the schematic diagram. In the final process the schematic diagram is converted
into a logical sequence of events. Most PLCs, have software, which convert ladder diagrams into
code. The PLCs have been popular because of their advantages as follows.
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· PLC can work in rugged environment and can work in the factory floor.
· They can operate in the adverse condition of the factory floor.
· They can withstand vibrations, interference, transients, noise etc.
· They can work from zero degree centigrade to above forty degrees centigrade.
· PLC can replace hundreds of relays and occupy significantly less space.
· The circuit logic can be easily altered without rewiring.
· It has no moving parts or contacts to wear out.
· The down time is less than the relay circuit.
· The implementation is flexible and scalable.
· Faster response time

· Workspace within the microprocessor is the main unit, where the microprocessor executes the
control code.
· A microprocessor generally means a Central Processing Unit (CPU) on a single semiconductor
chip.
· Microprocessor is just an electronic device, composed of only combinational and sequential
circuits.
· The internal infrastructure of the microprocessor is universally known as microprocessor
architecture.
· Some microprocessors and microcontrollers contain more than one CPU in order to achieve
faster instruction processing.
· A memory is a physical device where program, data etc. are stored. A memory device contains
many memory locations.
· A memory chip must have a data path and address path. Data path is bi-directional and address
path is unidirectional.
· ALU contains electronic circuits, using which all the arithmetic and logic functions are
performed.
· A program is a logical sequence of instructions that directs the microprocessor to perform a
desired task.
· The microprocessor executes a collection of sequentially and logically arranged machine
instructions that tell the processor what to do next.
· Accumulator is a register that primarily stores the result of mathematical, logical and other
operations.
· Program counter, called PC, is a register that holds the address of the next instruction.
· The flag register in the microprocessor is a special purpose register in which the individual bit
values represent the standing of a result byte.
· Writes cycle is one that interprets writing operation.
· A bus is a transmitting media consisting of group of lines.
· When the number of interruptible devices are more than the number of interrupt lines a
microprocessor has, the situation could be solved through a technique what is being called as
vectored interrupts.
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Microprocessors and Microcontrollers

· Stack is a user defined memory space, which includes many locations within the memory space
of the microprocessor. When interrupts occur, the microprocessor stores the currents of the
various registers and flags in the stack and attend the interrupt(s).
· Stack Pointer is a register located within the microprocessor that holds the address of the stack
top.
· 8085A facilitates interrupt service by providing five numbers of dedicated interrupt lines (pins).
They are called INTR, RST 7.5, RST 6.5, RST 5.5 and TRAP.
· Microcontroller is a digital integrated circuit, signifying the heart of any modern control
applications.
· Microcontroller contains many additional peripheral units such as A/D converter,
Programmable timer, Pulse width modulator, Phase locked loop, Memory controller,
EPROM, ROM , etc.
· Microcontroller-based control design does not require additional peripheral units since they
have been built into the processor chip.
· Context switching is an important operation in which the current action switches to another
sub-action because of interrupt.
· Standardized physical layer model is the preferred choice in order to establish coherent
communication.
· An open system enables end-user to buy off-the-shelf products to achieve coherent
communication.
· Sampling rate of the microprocessor or microcontroller is the rate at which the
microcontroller processes and manipulates the data.
· 8XC196KC and 8XC196KD are high-speed microcontrollers from Intel Corporation.

This chapter has been designed to have the basic idea about the control logic system. Hence
the basic elements of a control logic system have been described. The microprocessor is the
heart of any control logic system. Hence the minimum configuration of a typical
microprocessor has been explained. In addition to this the internal architecture of 8085A (Intel
microprocessor) has been discussed with the help of block diagram and also the functions of
each block have described. Since the microcontroller, which is a digital integrated circuit, is
the heart of any modern control application, hence its concept has been described and also
discussed is the difference between microprocessor and microcontroller.

LOOKING AHEAD

Modeling is another domain in which the systems are described, represented and viewed from
various prospectives such as design, control, estimation, manipulation and so on. Chapter 9,
Chapter 10 and Chapter 11 explain how the systems are described, represented and viewed
respectively.
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EXERCISES

8.1 Discuss the microprocessor as a programmable device.

8.2 Explain with a block diagram, the architecture of 8 bit microprocessor in general.
8.3 What is a microcontroller?
8.4 List out the basic elements of a digital control systems.
8.5 Give an example of microprocessor based digital control scheme.
8.6 How are microprocessors and microcontrollers specified?
8.7 List some applications of microprocessor and microcontrollers.
8.8 What do you mean by ‘checks its own for what to do next’ in the context of execution of code
by the microprocessor.
8.9 What do you understand by high level and low level languages? Explain.
8.10 Give an overview of microprocessor architecture.
8.11 Define the following terms.
(a) CPU
(b) Memory and address
(c) I/O and peripheral devices
(d) ALU
(e) Instruction and program
(f) Assembler
(g) Data
(h) Operand, Mnemonics and OPCODE
(i) Registers
(j) Fetch cycle, Write cycle and state
(k) Bus
(l) Instruction decoder or microcode engine
(m) Interrupts
(n) Stack and Stack pointer
8.12 Explain the use of stack with suitable examples. Illustrate the various operations used with a
stack pointer.
8.13 What do you men by subroutines and nested subroutines? What is their use? Explain how to use
stacks to implement subroutines. List the different means of passing parameters between a
main program and a subroutine.
8.14 What are the different types of registers within the microprocessor and microcontroller chips?
8.15 Distinguish between register and flags.
8.16 Classify the instructions based upon their use.
8.17 What do you mean by addressing modes? Explain the different types of addressing modes in
Intel 8085 with examples.
8.18 Distinguish between direct addressing mode and indexed addressing mode.
8.19 Explain the functions of the following signal pins of 8085.
SID, SOD, MEMW , HLDA
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Microprocessors and Microcontrollers

8.20 Draw the schematic block diagram of a minimum configuration of a typical microprocessor
and explain the blocks.
8.21 Discuss the architecture of Intel’s 8085 microprocessor.
8.22 What are the additional building blocks that microprocessor should have?
8.23 Draw schematic block diagram of a microcontroller showing peripheral units. Figure out a
typical microprocessor and microcontroller based control design.
8.24 What do you mean by real-time operation and context switching?
8.25 Define sampling rate in the context of microcontroller.
8.26 On what basis are microcontrollers classified?
8.27 Comprehensively narrate the architecture of Intel’s 8XC196KC/KD microcontroller.
8.28 A system is designed to monitor the temperature of a furnace. Temperature ratings are recoded
in sixteen bits and stored in memory locations starting at XX60H. The high order byte is stored
first and the lower order byte is stored in the next consecutive memory locations. However the
high order byte of all the temperature reading is constant. Write a program to transfer low order
readings to consecutive memory locations starting at XX80H and discard the high order bytes.
Temperature readings (H) 0581, 0595, 0578, 0574, 0598.
 9
Modeling

· To know the need of system modeling, especially in design of mechatronic system.

· To mention the procedure for analysis and design of a control system.
· To understand the meaning of the word “system” and discuss their types in term of SISO, SIMO,
MISO and MIMO systems.
· To discuss the modeling of a mechanical structure using spring elements.
· To discuss the basic modelling elements of the basic systems (also called basic engineering
system) for mechanical, electrical, fluid and thermal system.
· To model pneumatic actuator containing basic components, such as compressor, main tank,
coarse regulator, controlled valve, piston-cylinder and the load.
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Modeling

9.1 INTRODUCTION
System modeling is about solving practical problems by creating mathematical models, called model
equations, which can be manipulated and optimized during the process of system design. Modeling
allows us to learn a great deal about the system in terms of understanding and predicting their
behaviour. Principle of law of conservation of energy takes part in the modeling process.
The mechatronic system is designed and its performance is analyzed using model equations. The
result of the analysis help to show how well the system met the design parameters and how best to
alter and modify the design as needed. The analysis and design procedure can be summarized as
follows:
· Identification or description: The physical system is usually described in terms of basic
modeling elements.
· Formulation of a mathematical model: This is also called dynamic modeling
· Analysis of the model: Iterative evaluation in terms of achieving effectiveness of the system
· Interpretation, confirmation and verification: That is whether all the functional design
specifications are met
· Practical behaviour study: Propose modifications for improving the manufacturability.
As you can see that the important phases of analysis and design always starts with the identification
and description of the physical systems and then formulation of a mathematical model. This chapter
deals with the identification of the physical system and formulation of a mathematical model. The
basic modeling elements depict a system completely. Once the system is fully described, it becomes
easier to study, analyze, evaluate, and predict its behaviour and performance to meet the design
requirements.

9.2 SYSTEM
Within the engineering arena the word system is being used frequently. In some generalized sense a
system is defined as a group of properly arranged elements those when act together provides the
desired output with respect to available inputs. Evidently, a system takes some inputs and provides
some outputs while satisfying the law of conservation of energy.
A general way of classifying the systems is based on their input and output strength. For instance,
when the number of input to the system is one and the number of output is also one then such system
is called Single Input and Single Output or simply SISO system. Systems with other combinations
such as Single Input Multiple Output (SIMO), Multiple Input Single Output (MISO) and Multiple
Input Multiple Output (MIMO) also exist (Fig. 9.1). The inputs and outputs can be in different form
(For example the input to an electric motor is voltage where as the output is angular displacement),
however as far as energy is concerned, the input energy is equal to the output energy (also called
stored energy) provided that the system is an ideal one. In ideal system, no losses are encountered.
Keeping in view of the law of conservation of energy all systems are categorized under four main
basic or elemental systems, namely:
· Mechanical system
· Electrical system
· Fluid system
· Thermal system
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Input SISO System Output Input SIMO System Output

(a) (b)

Input MISO System Output Input MIMO System Output

(c) (d)

Fig. 9.1 One way of classifying system

Mechatronic systems are not elemental system rather they are hybrid type. For instance, the
electric motor can be considered as either an electro-mechanical system or even thermo-electro-
mechanical system.
The inputs are the sources of energy, which are available. The noise is the unwanted energy that
enters into the system at any time. The noise energy is considered as the unwanted available input
energy. So the total input energy is the available input energy plus unwanted available input energy.
The output energy is the difference between the total input energy and the loss. Figure 9.2 illustrates
a schematic diagram of a system, taking into account of all energies. Various energy sources of the
above mentioned systems are described in the Table 9.1.
Noise

Input domain

Input energy
SYSTEM Output
source

Output domain

Fig. 9.2 A schematic diagram of the system

Table 9.1
System and their energy sources
Systems Energy sources
Mechanical Force
Velocity
(Contd.)
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Systems Energy sources

Electrical Current
Voltage
Fluid Fluid flow
Pressure
Thermal Heat flow
Temperature

9.3 MODELING
Consider an automated motorized spindle system. Especially, spindle systems are employed for
machining, micromachining, milling, drilling and data reading/recording applications in aerospace,
heavy industry, consumer industry, and in many manufacturing sectors. The spindle system is a
mechatronic system because they are integrated with electric motor, electronic interfacings and
control systems. The electrical motor is an electromechanical device which contains mechanical and
electrical parts. The mechanical parts are the shaft of the motor, the stator body, the armature core
etc. The electrical parts are armature coils and field coils.
There are many issues to be encountered while designing the mechanical and electrical parts. While
designing the shaft of the spindle, for instance, the specification parameters such as stiffness,
damping, inertia, etc. are to be considered in order to deal with the risk factors such as vibration,
loading effect, possibility of failures (crack and bending), etc. Even the geometry of the shaft is
considered as one of the design parameter since a small deviation could cause a large vibration effect.
Similarly, optimal design is necessary as far as electrical parts are concerned.
What is convincing is that in order to design a performance driven system the fundamental is
always linked with the modeling. Modeling is nothing but a mathematical description of the physical
system. It governs the fundamental physical laws associated with the system. During the design
process, the laws in terms of mathematical model are exploited to meet the desirable design
specifications. In effect, modeling helps us to provide sufficient and necessary information to deal
with the issues as far as optimization of the system design is concerned. This phase is called analysis.
The results of the analysis help how well the system met the design parameters and how effectively to
alter them to get best design requirement. Then another model is developed for analysis for improved
performance. The process continues to iterate the analysis until we have a specification that satisfies
the application parameters.

9.4 MECHANICAL SYSTEM

Mechanical systems are the important basic building blocks of the mechatronic systems. From the
modeling schematic and from the point of view of law of conservation of energy, distinguishably
three basic modeling elements are earmarked for the mechanical systems. They are,
· Spring
· Damper
· Mass/Inertia
The fundamental comes from the fact that any kind of mechanical system has spring property, i.e.
when force is applied it elongates and the energy is stored within the system. It also has damping
property, i.e. when force is applied some portion of the force (energy) is lost. Finally it has mass or
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inertia (when it rotates it exhibits inertia) property that determines how much acceleration it would
produce when exerted by the force.
Irrespective of whether it is a mechanical, electrical, fluid or thermal system, they can be depicted
with these three types of pure elements which are collectively responsible for governing the ‘principle
of conservation of energy’. These three elements are fundamental because each element characterizes
three types of energies, which are encountered within the systems. The spring element stores potential
energy, the damper represents the dissipating energy or loss in the system and the inertia element
stores kinetic energy. Sometimes, one of these storing phenomena predominates over the others.
Then only one of these elements might be sufficient for modeling such a system. In other instances,
two or all three phenomena must be taken into consideration and in some systems several elements are
combined together in order to form the model of the system.

9.4.1 Spring
Spring element stores potential energy. The law that a spring is being described with regard to the
storage of potential energy is based on Hook’s law. If a force, F (Newton; kg ´ m/s2 ), is applied on
the spring as shown in the Fig. 9.3, then the spring elongates and the amount of elongation is
proportional to the applied force. The mathematical model equation that describes the basic modeling
element is called elemental equation.
F
F = kx Þ x= (9.1)
k
Equation 9.1 is called the elemental equation of the spring element. Where, F is the applied force or
more appropriately the force exerted by the spring element, x is the change in length or displacement
(Meter) caused by force and k is a proportionality factor called spring constant or stiffness. This
implies that if the input to a spring element is force then the output is displacement. The spring
element is sometimes referred to as stiffness element. Stiffness is a kind of transfer function. The
value of output depends on the transfer function. The relationship between input force and output
displacement for spring depends on the geometry and property of the material. The unit of stiffness is
Newton/metre. The reciprocal of the stiffness is called mechanical capacitance or compliance.

F
F F

x0 x0 x

Ideal/Pure spring
Force Displacement
(k)

Fig. 9.3 The spring element (Potential energy storage element)

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Modeling

The potential energy (Joules) that the spring element stores is given in the following equation.
x
1 2
0
z
E = Fdx =
2
kx (9.2)

The energy can also be expressed in terms of force, as shown in the following equation.
1 2
E= F (9.3)
2k
A mechanical structure shown in the Fig. 9.4 has been modeled using spring element.

Force = F
Mechanical structure exerted by force

x x

F
Spring model of the
mechanical structure

Fig. 9.4 A typical simple example of modeling a mechanical structure using spring
element

The spring element we considered is a translational spring in the sense that the input is a force not
torque. Equally, we have rotational spring in which the input is torque. Accordingly, the rotational
spring constant (or rotational stiffness) has been defined. In this situation, if a torque, T (N-m) is
applied, the rotational spring makes angular displacement, q. That is,
T
T = kaq Þ q = (9.4)
ka
Equation 9.4 is the elemental equation of the rotational spring element. Where, k a is the rotational
stiffness (Newton-metre/radian). The energy stored in a rotational spring is,
1 1 2
E = ka q 2 = T (9.5)
2 2 ka

9.4.2 Damper Element

Within the system loss is inevitable. The input energy minus the output energy is considered as loss
energy, or simply loss. In order to follow up the principle of conservation of energy a loss element
should exist in order to describe the system completely, i.e. the energy must be balanced. Indeed, the
loss is reflected through the damper element. Damper element does not store any energy. It consumes
energy, which cannot be recovered. Other name of the damper is dashpot that symbolizes resistance,
more appropriately mechanical resistance. Like springs, two types of dampers such as translational
dampers and rotational dampers are defined. Translational dampers and rotational dampers are
essentially related to translational movement and rotational movement, respectively. The symbol of
the two types of dampers are shown in the Fig. 9.5.
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Loss
(Resistance)

v
Force

(a) Force
Damper System No output
Torque
w
Torque

(b)

Fig. 9.5 (a) Translational damper/dashpot (b) Rotational damper/dashpot

The loss is related to the velocity. In translational damper element the relationship between the input
force and velocity is linear as expressed in Eq. 9.6. This equation is also called elemental equation for
the damper.
F = Rt v (9.6)
Where Rt is called damping constant (N-s/m). The damper dissipate energy in the form of heat.
The power loss in accordance to elemental equation is given by,
P = Fv = Rv 2 (9.7)
The elemental equation of the rotational damper element is,
T = Rr w (9.8)
Where, T is the torque applied, Rr is rotational damping constant in N-m/s and w is the angular
velocity. The power dissipated by the rotational damper element is,
P = Tw = Rr w 2 (9.9)
9.4.3 Mass/Inertia Element
Mass element refers to translational movement where as inertia element corresponds to rotational
movement (See Fig. 9.6). Both mass and inertia elements govern the law in terms of storing kinetic
energy.
w

J = Moment of inertia
Mass Force
w = Angular velocity
J

Translational mass element Rotational inertia element

Force/Torque (Input) Linear acceleration/Angular

Mass/Inertia
acceleration (output)

Input-output relationship

Fig. 9.6 Mass/Inertia element

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Modeling

If the body is constrained to rectilinear translation, its body can be considered as a mass point. The
principle of compatibility is usually applied. Under this situation, the effect of external forces applied
to the body is opposed by the body mass and is proportional. Newton’s laws of motion are applied
while formulating the elemental equation. Newton’s second law of motion states the following.
dv
F = ma = m (9.10)
dt
Where F (Newton) is the input force acting on the mass point, m (kg) is the mass, and a = dv/dt is
acceleration (m/s 2 ), v is velocity (m/s) with respect to a non-accelerating reference frame. The
kinetic energy, Ek stored in the element is,
1
Ek = mv 2 (9.11)
2
Similarly, with regard to inertia element, the source input torque, T is involved in formulating the
elemental equation.
dq
T = Jw = J (9.12)
dt
Where, J is called moment of inertia, w = dq/dt, is the angular velocity, q is angular displacement.
Kinetic energy stored in the element when it is rotating with an angular velocity w is,
1
Ek = Jw 2 (9.13)
2
System model based on the elements described above (spring, damper and mass/inertia) is referred
to as lumped-parameter model due to the reason that each element is basic and independent of other,
i.e. pure. Lumped parameter modeling concept signifies that the system is made up of discrete but
pure components. For instance, when the spring is stretched every bit of ingredient in the spring gets
deformed and collectively they (every bit) give the displacement ‘x’. The spring is seen as a single
unit, a ‘lump’. It is not cared how much each part of the spring is stretched due the applied force and
how all those every bits add up to the total amount ‘x’.

9.5 ELECTRICAL SYSTEMS

This section concerns with modeling elements of electrical systems. Supporting the law of
conservation of energy the electrical system are also modeled using three basic elements. As before,
the appearance of three basic elements has come from the fact that we deal with three types of
energy, such as potential energy, kinetic energy and the loss. This time, however, the elements are,
· Inductor (Spring - potential energy)
· Resistor (Damper-loss)
· Capacitor (Mass/inertia - kinetic energy)
The symbol of these elements are shown in Fig. 9.7. For more information refer Chapter 2.

(a) (b) (c)

Fig. 9.7 Basic modeling elements of electrical systems (a) An inductor (b) A resistor
(c) A capacitor
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The stored magnetic energy, the loss dissipated and the stored electrical energy in the respective
basic electrical elements are expressed in Eq. (9.14) through (9.16), respectively.
F F
1 1 2 1
z
E = idF =
0
L0zFd F =
2L
F = Li 2
2
(9.14)

v2
P= = i2 R (9.15)
R
q q
1 1 2 1
0
z
Ek = vdq =
C0
qdq = z
2C
q = Cv 2
2
(9.16)

Where,
E = Magnetic energy
i = Current in Ampere
F = Flux linkage in Weber
L = Inductance in Henry
v = Voltage across the terminal in Volt
R = Resistance in Ohm
Ek = Electrical energy
C = Capacitance in Farad
q = Electric charge in Coulomb
The values of L, R and C are associated with geometry of the system (Refer Chapter 2 for detail
description with regard to elements of electrical systems).

9.6 FLUID SYSTEMS

Another important elemental system of mechatronic systems is the fluid system. For example, a
pneumatic actuator is a hybrid system in which a fluid system is a part. The system design deal with
the performance measure indices which may include:
· The flow rate of the input fluid (air)
· The chamber capacity
· Pressure fatigue and burst pressure evaluations
· Failure analysis
· Fluid analysis such as cleanliness, compressibility, viscosity, etc.
The three basic modeling elements in fluid systems are,
· Inertance
· Fluid resistance
· Fluid capacitance
Inertance, fluid resistance and fluid capacitance are similar to spring, damper and mass of the
mechanical system.
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Modeling

9.6.1 Inertance
The governing law (Elemental equation) with respect to inertance is that the pressure momentum is
the function of flow rate. The inertance is represented as;
D = GQ (9.17)
Where, D is pressure momentum, G is fluid inertance or simply inertance and Q is flow rate. The
element possessing inertance is known as inertor. The energy stored in the inertor is given by,
1
E = GQ 2 (9.18)
2
The value of inertance depends on the geometry of the inertor. An ideal inertor characterizes
frictionless incompressible flow in a uniform passage. The fluid inertance of such ideal inertor is given
by,
rL
G= (9.19)
A
Where, r is the density of the fluid, L is length of the inertor and A is the passage. Figure 9.8
describes the symbol of the fluid inertor.

Q Area = A

Length

Fig. 9.8 Fluid inertor

9.6.2 Fluid Resistance

A fluid resistor dissipates energy. A flow of fluid through a fluid system gives rise to a pressure drop
analogous to voltage drop across an electrical resistance element. The drop signifies loss. If the
relationship between the fluid flow and pressure drop across such element is linear then the elemental
equation can be written as:
1
Q = Gf P = P (9.20)
Rf
Where, P is pressure drop, Q is fluid flow rate, Gf and Rf are called fluid conductance (m5/N-s) and
fluid resistance (N-s/m 5 ) respectively. A fluid resistor characterized by its resistance is usually called
the fluid conductor. The power dissipated through the element is governed by,
Pf = PQ (9.21)
The above model equation can be re-written in terms of fluid resistance as
1 2
Pf = R f Q 2 = P (9.22)
Rf
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9.6.3 Fluid Capacitor

An element in which the stored energy is a function of fluid pressure is defined as fluid capacitor. A
fluid capacitor is defined by the following elemental equation.
V = Cf P (9.23)
Where, V is the volume (m3 ) of the fluid in the capacitor, P is the fluid pressure, and Cf is constant
called fluid capacitance (m 5/N). The above equation can be expressed in terms of flow rate.
dV dP
= Cf
dt dt
(9.24)
Þ Q = C f dP
dt
The symbol of the ideal fluid capacitor is shown in Fig. 9.9, which is a kind of open tank fielded
with incompressible fluid. The capacitance of the fluid capacitor depends on the geometry of the tank,
and is given by,
A
Cf = (9.25)
rg

Area = A

r = Fluid density
g

Fig. 9.9 A fluid capacitor

9.7 THERMAL SYSTEMS

Many mechatronic systems include rotary as well as sliding systems for actuation purposes. These
devises are especially, employed for driving, machining, milling, drilling and data reading/recording
applications in aerospace, heavy industry, consumer industry, and in many other manufacturing
sectors. However, the systems are having a reputation of not being highly reliable over a period of
time due to the effect of thermal deformation for which performance profile deteriorates. Thermal
deformation is the increase of dimension of the mechanical part because of heat generation. The
increase in dimension causes mid-way seizure of the system. In order to deal with the problems
associated with the design of systems that are susceptible to thermal deformation thermal
characterization and modeling is essential. Considerable attention must be paid to encounter the
thermal deformation problems in terms of optimal design. From the modeling and analysis the
dynamic behaviour of the system is studied and the system can thus be predicted.
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Modeling

Thermal systems are characterized by heat and temperature. Conventionally, the energy within the
system is referred to as thermal energy, which is stored, dissipated and transferred across the system.
Heat is transferred by conduction, convection and radiation. The governing law for balancing the
thermal energy is based on rate of energy flow into the system, rate of energy stored in the system and
the rate of loss within the system. One fundamental law with regard to thermal system is that at
absolute zero temperature the kinetic energy of the thermal system is zero. The basic modeling
elements of thermal systems are:
· Thermal capacitance
· Thermal resistance
No thermal inductance exists. From a thermal point of view, a modeling is a network of thermal
resistances and capacitances linking different regions of thermal system and representing conductive,
convective, and radiative and heat storage processes.

9.7.1 Thermal Capacitance

Thermal capacitance is the basic parameters with regard to lumped model of the thermal system. The
capacity of the thermal system to store the thermal energy, which is nothing but the heat, is reflected
by the thermal capacitance. The elemental equation is derived from the fact that the heat is a function
of temperature. The following equation can be written.
H = Ct k (9.26)
Where, H is heat (Joules), k is temperature and Ct is the constant called thermal capacitance
(Joule/K). Taking the derivative of the above equation,

= Ct dk
dH q
Þ Ct = (9.27)
dt dt t
The left hand side of the above equation is the rate of change of heat flow or rate of energy storage
(q), t is the rate of temperature. The equation signifies that if the thermal capacitance of the thermal
system is large, the rate of temperature change due to heat is low.

9.7.2 Thermal Resistance

Pure thermal resistance neither characterizes loss nor stores any energy. The thermal resistance is
defined by the following equation
k2 - k1
Rt = (9.28)
q
Where, k1 and k2 are the different temperatures at two points, q is the flow rate and Rt is thermal
resistance (K/W). The reciprocal of thermal resistance is called heat conductance (W/K). Thermal
resistances are distinguishably different for the three different mechanisms of heat transfer such as
conduction, convection and radiation.

R1
K1 K2

Fig. 9.10 Thermal resistance

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Mechatronics: Principles, Concepts and Applications

A transfer of heat energy occurs when the system having different temperatures are allowed to
mix. By this process the total amount of energy remains constant. The quantity of heat given off is
equal to the quantity of heat energy gained. The transfer of energy will continue in this way until the
system of substances reach the same temperature. The flow can be controlled by suitably establishing
the system parameters and variables, which is optimized through modeling.

9.8 ENGINEERING SYSTEM

Previous section describes basic modeling elements of the basic systems (also called basic engineering
systems). Basic engineering systems are classified either as mechanical system, electrical system, fluid
system or thermal system. Table 9.2 summarizes insight and perception, which you have acquired so
far.

Table 9.2
Basic modeling elements of the systems
Basic engineering Energy source Basic modeling Energy stored/Power loss
systems elements
Mechanical · Force Translational/
1 2
· Velocity Rotational Spring Translational = kx
2
1 2
Rotational = T
2 ka
Damper Power loss = Rv 2
1
Mass/inertia Translational = mv 2
2
1
Rotational = Jw 2
2
1 2
Electrical · Current Inductor Li
2
v2
· Voltage Resistance Power loss =
R
1
· Capacitance Cv 2
2
1
Fluid · Fluid flow Inertance GQ2
2
1 2
· Pressure Fluid resistance P
Rf
1
Fluid capacitance P2
2C f
Thermal · Heat flow
· Temperature Thermal capacitance Ct k
Thermal resistance
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Basic modeling elements and basic engineering systems are pure. A system could either be a pure
mechanical system, pure electrical system, pure fluid system, pure thermal system or any
combinations of these. A real system may either contain one or more basic system. The combined or
hybrid systems are referred to as engineering systems. Almost all mechatronic systems are engineering
systems and thus are hybrid types. In order to model the mechatronic system, fundamental knowledge
as to how the engineering systems are built plays important role. The rest of the chapter deals with the
build up process in relation to the modeling of the engineering systems.

9.9 TRANSLATIONAL MECHANICAL SYSTEM WITH SPRING,

DAMPER AND MASS
System inheriting many similar elements are tied together, i.e. all springs elements are combined into
one, all dampers are combined to a single damper and so on in order to describe the system entirely.
In general, engineering systems are modeled by following some principle. Having identified the
basic elements in the system, the energy conservation laws are utilized in order to derive the model
equations. The law of force or torque (Newtonian’s law or D’Alembert’s law) and the law of
displacement or rotation are principally applied. That is the sum total of all the forces or torques acting
on the system has to be balanced with effective force or torque and the sum total of all the linear or
angular displacements has to be equated to zero.
dv dw
å ( F )k = m dt
or å (T ) k = J dt
(9.29)
k k

å (Dx )k = 0 or å (Dq )k = 0 (9.30)

k k
Where,
Fi = i th force acting on the system,
m = mass,
v = velocity of the translational system,
dv/dt = acceleration of the translational system,
Dxi = translational displacement due to i th force,
Ti = i th torque acting on the system,
J = inertia,
w = angular velocity of the rotational system,
dw/dt = angular acceleration of the system.
Dqi = angular displacement due to i th torque
Figure 9.11 (a) illustrates a translational mechanical system described by spring, damper and mass
element. This is the schematic representation of a typical translational mechanical systems inheriting
all the basic elements. Figure 9.11 (b) shows another mechanical system with only spring and mass
element (Probably the loss within the system has been neglected). Such a system is called undamped
system due to the reason that when a force is applied the systems oscillates, since the loss is zero.
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Mechatronics: Principles, Concepts and Applications

k
k
m F m F

R
(a) (b)

Fig. 9.11 Translational mechanical system with spring, damper and mass

When a force is applied to the mechanical system shown in the Fig. 9.11 (a), energy is stored in the
spring as well as in the mass elements. Energy/power is dissipated/lost in the damper or dashpot
element. If multiple forces act on the system the resultant force has to be calculated. As before, the
energy balance equation is developed based on law of conservation of energy.
Let ,
F = The applied force,
x = The resulting displacement,
dx
v= = resulting velocity,
dt
dv d2 x
a= = 2 = resulting acceleration,
dt dt
m = mass of the mechanical system,
k = translational spring constant or stiffness,
R = translational damping constant,
The potential energy stored in the spring is:
1 2
E=
kx (9.31)
2
The equivalent force required to store the above potential energy is:
Fp = kx (9.32)
The kinetic energy stored in the mass is:
1
Ek = mv 2 (9.33)
2
The equivalent force required to store the above kinetic energy is:
d2x
Fk = ma = m (9.34)
dt 2
The loss in the damper is:
Rv 2 (9.35)
The equivalent force (called damping force) required for the above loss is:
dx
Fl = Rv = R (9.36)
dt
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Modeling

At any point of time the sum total of the energy is balanced by the elements. Alternatively, the sum
total of equivalent forces is equal to the force applied to the system. That is,
F = Fp + Fk + Fl (9.37)
Substituting Eq. (9.32) through Eq. (9.34) in the Eq. (9.36),
d2 x dx
F=m 2
+ R + kx (9.38)
dt dt
The above equation is called the model equation of the mechanical system described in the
Fig. 9.11 (a). The modeling equation of the spring-mass type mechanical system, shown in the
Fig. 9.11 (b), with applied force zero, can be written as,
d2 x
+kx = 0
m (9.39)
dt 2
The above two mechanical systems are called second order systems due to the appearance of the
second derivative term, d 2/dt 2.

9.10 ROTATIONAL MECHANICAL SYSTEM WITH SPRING,

DAMPER AND MASS
Figure 9.12 illustrates a rotational mechanical system with rotational spring, rotational damper and
inertia. This is the schematic representation of many kinds of rotational mechanical systems inheriting
all the basic elements.

q = angular displacement
k = rotational spring
Torque = T

Fig. 9.12 Rotational mechanical system with spring, damper and mass element

Let,
T = The applied torque,
q = The resulting angular displacement,
dq
w= = resulting velocity,
dt
dw d 2q
a= = 2 = resulting acceleration,
dt dt
J = Inertia of the mechanical system,
k = Rotational spring constant or stiffness,
R = Rotational damping constant.
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By similar approach the model equation of the rotational mechanical system can be written as
d 2q
+ R q + kq
d
T=J 2
(9.40)
dt dt

9.11 MODELING ELECTRIC MOTOR

Electric motors are versatile actuators. DC and AC electric motors are commonly used as actuating
devices for many mechatronic systems. These actuators are called dynamic systems since the system
parameters change with respect to time. One of the most important points the systems engineer
encounter is to analyze and predict the behaviour of such dynamic systems that change in time. The
formulation of mathematical model is the key in dealing with the dynamics of the electric motors.
Through mathematical model the system can be analyzed. In the sequel only modeling of permanent
magnet DC motor will be described.
In a permanent magnet DC motor armature winding is placed on the rotor. The winding is
composed of many coils connected in parallel. When current passes through the armature winding,
total current is divided among the parallel coils. Torque is produced due to the interaction of current
carrying coils and the stator field (for more information on motor refer Chapter 7). The force exerted
on a single armature coil is given by,
Fs = BlI s (9.41)
The corresponding torque is:
PFI a
Ts = (9.42)
2 pn
Where,
Fs = The force exerted by a single conductor,
Ts = The corresponding torque due to a single conductor,

B=
F
is the average magnetic flux density,
A
F = is magnetic flux per pole,
2 pRl
A= is the area per pole,
P
R = Radius of the stator,
P = The number of poles in the stator,
l = The length of the coil,
Ia
Is = is the current through a single conductor,
n
Ia = Total armature winding current,
n = The number of conductors in the armature winding (a coil has two parallel conductors),
Ts = The torque generated on only one conductor.
If there are N coils then the number of such conductors will be 2N. Therefore, the total torque Tt,
generated is:
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Modeling

PNFIa
Tt = = K a FIa = kt I a (9.43)
pn
Where, PN / pn = K a is a constant describing armature and flux-winding parameters such as P, N,
and n. Ka is dimensionless. kt = K a F is called torque constant. If the rotor rotates at a speed of w
(Rad./second) because of generation of torque described in the Eq. (9.43), then the mechanical power
generated at the rotor shaft is (refer Eq. (9.9))
Pm = Tt w Þ Pm = K a FI a w (9.44)
When the armature of a DC motor rotates in the stator field, a back emf (Electro-motive Force) is
induced in the armature winding. The back emf is calculated by using Faraday’s law. The induced
back emf across a single conductor is given by,
Eb = 2 BLRw (9.45)
Replacing B in terms of magnetic flux the above equation can be written as,
PFw
Eb = (9.46)
p
The total back emf is given by,
E b _ total = K a Fw (9.47)
The equivalent electrical circuit of a DC motor is illustrated in Fig. 9.13. In the Fig. 9.13, Vs is the
supply voltage across the armature, Ia is armature current, Ra is total armature resistance, La is the
total armature inductance, Eb_total back emf (that opposes the input voltage). As already stated the
induced voltage is generated by the rotation of the electrical coil through the flux lines.

Fig. 9.13 Equivalent circuit of a typical dc motor

A model equation for the above equivalent circuit can be derived by using Kirchhoff’s voltage law
around the loop. According to the law the sum of all the voltages around a loop must be equal to zero.
Mathematically this can be written as,
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Mechatronics: Principles, Concepts and Applications

Vs - VR - V L - Eb _total = 0 (9.48)
Vs = VR + V L + Eb _ total (9.49)
Where, VR is the voltage drop across the armature coil, Ra. VL is the voltage across the inductor
which is proportional to the change of current through the coil with respect to time. But VR and VL
can be written as,
VR = I a Ra (9.50)
dI a
VL = La (9.51)
dt
Substituting the above equations in the Eq. (9.49), we get:
dI a
Vs = Ra I a + La + Eb _total (9.52)
dt
Substituting Eq. (9.47) in the Eq. (9.52), we get:
dI a
Vs = Ra I a + La + K a Fw (9.53)
dt
Let us define various components of torques keeping in view of energy balance principle. Since
motor is a rotational mechanical system, it inherits rotational spring element, damper element and
inertia element.
Tl = Torque due to mechanical load (spring)
dq
Tv = Rw = R ; Torque due to velocity of the rotor (damper)
dt
d2
= J 2q ; Torque due to rotational acceleration (inertia)
dw
Ta = J
dt dt
Where, J is the inertia of both rotor and mechanical load, R is the damping coefficient associated
with the mechanical rotational system of the motor. The sum of the torques acting on the motor must
be equal zero. Therefore,
Tt - Ta - Tv - Tl = 0 (9.54)
Tt = Ta + Tv + Tl (9.55)
Substituting appropriate values of various torque components, in the Eq. (9.55) (also refer
Eq. (9.43)),
d 2q dq
kt I a = J 2 + R + Tl (9.56)
dt dt
dw
or, kt I a = J + Rw + Tl (9.57)
dt
For simplicity, neglecting the value of inductance, Eq. (9.53) can be rewritten as,
Vs = Ra I a + kt w (9.58)
or, I a = ( Vs - kt w ) / Ra (9.59)
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Modeling

Substituting Eq. (9.59) in the Eq. (9.57), we get:

V - kt w dw
kt s =J + Rw + Tl (9.60)
Ra dt
dw
or, Ra J + ( kt2 + Ra R) w + ( Ra Tl - kt Vs ) = 0 (9.61)
dt

9.11.1 Speed Control

From Eq. (9.55) and Eq. (9.60), we can write,

Tt = kt
FG V - k w) IJ
s t
(9.62)
H R K a
In terms of speed the Eq. (9.62) can be written as,
Vs Ra
w= - Tt (9.63)
K a F ( K a F) 2
The above equation suggests that, the speed of a DC motor can be controlled either by changing
the armature voltage, the magnetic flux, the armature resistance or combinations of these.

9.12 MODELING CHAMBER FILLED WITH FLUID

Closed pressurized chamber with rigid wall uniformly filled with compressible fluid exhibit fluid
capacitance. In this case (Fig. 9.9 (b)), however, the energy is stored in the capacitor due to
compressibility of the fluid, and the pressure variation. It is evident that the time rate of mass entering
into the capacitor through the inlet must be equal to the increase in mass in the capacitor.
dr
rQ = d ( rV ) = V (9.64)
dt dt
Since V is constant. For most real liquids, dr can be expressed as follows,
r
dr =
dP (9.65)
B
Where, B is the bulk modulus (N/m2) of the fluid. Thus, Eq. 9.64 can be rewritten as,
V dP
Q= (9.66)
B dt
Comparing this equation with Eq. 9.24, it is perceived that the chamber behaves like an fluid
capacitor with the capacitance
V
Cf = (9.67)
B
Assumptions that are made while deriving the above equation are that the influence of gravity on
the fluid has been neglected, the inertia and frictional effects are zero, the pressure with which the
fluid enters the capacitor is uniform and the pressure and temperature variations of B is zero.
The energy stored in an ideal fluid capacitor is,
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Mechatronics: Principles, Concepts and Applications

V V
1 1 1
z
E = PdV =
0
z
0
Cf
VdV Þ E=
2C f
V2 =
2C f
P2 (9.68)

Q Pressure

Fig. 9.14 Fluid chamber

9.13 MODELING PNEUMATIC ACTUATOR

Pneumatic actuating systems are very attractive to industrial applications because they are cheap,
lightweight and provide relatively good force to weight ratio. Moreover, the packaging and control
methods are easier. Pneumatic systems are traditionally employed for position control applications.
Due to some difficulties associated with air compressibility, friction, and nonlinearities, the system
requires analysis prior to its design. Therefore, investigations has to be carried out to predict the
behaviour of the system in order to accomplish more sophisticated motion control tasks. This
suggests modeling.
The major components of a pneumatic system are compressor, main tank, coarse regulator, valve
(controlled regulator), the piston-cylinder, and the load. The compressor has compressed air in the
form of potential energy. It feeds air into the main tank. The main tank’s pressure is usually maintained
higher than the pressure required by the pneumatic cylinder. The main tank outlet is fitted with an
adjustable coarse regulator, which further reduces the flow of air to a lower value that would be
sufficient enough to drive the piston. The outlet of the coarse regulator is fed to a valve that actually
controls the movement of the piston. When compressed air enters the chamber of the pneumatic
cylinder through the tank, regulator and finally through the valve, it pushes the piston. The piston rod
is fitted with the load, that needs movement. The movement, hence the position of the load is
controlled by the rate of flow of air through the valve.
The pneumatic actuator is modeled entreating the fundamental law of equilibrium. For all intents
and purposes, it can be said that the flow of air into the pneumatic cylinder satisfies the equations of
equilibrium. This implies input flow of air has to be balanced. At equilibrium, it appears that there exist
three components to concur with the input flow. They are,
· An incompressible component that causes the movement of piston
· Leakage components signifying the loss
· Compressible component
Mathematically this can be written as,
Qtotal = Qeff + Ql + Qc (9.69)
Where,
Qtotal = The rate of flow of air into the cylinder,
Qeff = An incompressible component that makes the piston to move. This component is also
called effective component,
 345
Modeling

Ql = The leakage or loss component,

Qc = The compressible component.

Regulator

Compressor Tank Air

Solenoid valve

Spool x

Chamber-2 P2
Area Chamber-1 Load
Piston Piston
P1 y Rod

Cylinder

Fig. 9.15 Pneumatic actuator connection

The incompressible component can be derived from the motion equation. Let the displacement
parameter be y. Then the motion equation can be written as,
dy
Qeff = K y (9.70)
dt
Where Ky related to the inertance of the air (Refer Eq. 9.17).
The leakage is loss and thus related to the fluid resistor (Refer Eq. 9.20). Mathematically the
leakage component can be written as,
Ql = K l Pdiff (9.71)
Kl = Leakage coefficient of the system that relates Gf or Rf , Refer Eq. (9.17).
The compressible component is derived from the principle of compressibility. The compressibility
depends on the bulk modulus. The bulk modulus is the ratio of stress to strain, which can be expressed
as,

Kb =
dPdiff
Þ dV =
VdPdiff
Þ dV = V
FG IJ dP diff
(9.72)
dV Kb dt Kb H K dt
V
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Mechatronics: Principles, Concepts and Applications

Where,
Kb = Bulk modulus of the air
Pdiff = P1 – P2 = The pressure difference between two chambers of the cylinder; P1 and P2 are the
pressures in the Chamber-1 and Chamber-2 respectively, (Refer Fig. 9.14)
dPdiff = The incremental pressure
dV = Change in volume
V = Original volume, i.e. when the piston was in the original position
dV
= The compressible component.
dt
Therefore,

Qc =
FG V IJ dP diff
(9.73)
H K K dt
b
Substituting Eq. (9.70), (9.71) and (9.72) in the Eq. (9.69), it yields,

Qtotal = K y
dy
+ Kl Pdiff
FG V IJ dP diff
(9.74)
dt H K K dt
b
The pneumatic actuator in its basic nature is simply a load consisting of a point mass M and a
dashpot with damping constant B. From this consideration the motion equation can also be derived.
Let F is the force applied to the piston because of flow of air into the chamber. Then the motion
equation becomes,
d2y dy
F =M 2 +B + Ky (9.75)
dt dt
Where,
y = Displacement of the piston,
dy
= Velocity,
dt
d2y
= Acceleration.
dt 2
Neglecting the effect of spring element, Eq. (9.75) can be reduced to,
d2y dy
F=M 2
+B (9.76)
dt dt
Since F is equivalent of the force developed by the piston due to flow of air into the chamber, it can
be written as,
F = Kf APdiff (9.77)
Where,
K f = A constant called force efficiency factor,
A = Area of the cylinder bore or the piston.
From Eqs (9.76) and (9.77),
 347
Modeling

d2y dy
K f APdiff = M 2
+B (9.78a)
dt dt

Þ Pdiff =
F M I d y + F B I dy
2
(9.78b)
GH K A JK dt GH K A JK dt
f
2
f

Mostly the inlet pressure is maintained constant. Then the flow rate of the air into the cylinder
chamber is the function of two parameters such as the displacement of valve spool, x and differential
pressure between the chambers, Pdiff.
Qtotal = f (displacement, differential pressure) = f (x, Pdiff ) (9.79a)

Now, dQtotal = FH ¶f IK dx +
FG ¶f IJ dPdiff (9.79b)
¶x Pdiff = constant H ¶P Kdiff x = constant

Integrating the Eq. (9.77), Qtotal can be found out.

Thus, z dQtotal = Qtotal = z FH ¶f

¶x
IK
Pdiff = constant
dx + z FGH ¶f
¶Pdiff
IJ
K x = constant
dPdiff (9.79c)

Usually, the partial derivatives ¶f/¶ x and ¶f/¶Pdiff do not change over the operating range. They can
be assumed as constants. Let, ¶f/¶ x = Kx and ¶f/¶Pdiff = KP. Equation (9.79c) becomes,
Qtotal = K x x - K p Pdiff (9.80a)
The negative sign appears due to the fact that the flow rate decreases as pressure difference
increases. From Eq. (9.80a),
K x x = Qtotal - K p Pdiff (9.80b)
Substituting Eq. (9.74) in the Eq. (9.80b), we get,

b
K x x = K P + Kl Pdiff + K y g dy
+
FG IJ
V dPdiff
(9.81)
dt Kb dt H K
Substituting Pdiff (From Eq. (9.78b)) in the Eq. (9.81), and rearranging, we get,

Kx x =
F MV I d y + F BV
3
+
M
( Kl + K p )
d2 y I
+ Ky +
B F
( Kl + K p )
dy I (9.82)
GH K AK JK dt GH K AK
f b
3
f b Kf A dt 2 JK Kf A GH dt JK
The above equation is the input-output model equation of the considered pneumatic actuator. The
above equation can be written in a standard form as follows.
u = x,
b0 = K x ,
MV
Let, a2 = ,
K f AKb
BV M
a1 = + ( Kl + K p )
K f AKb K f A
B
a0 = K y + ( Kl + K p )
Kf A
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Mechatronics: Principles, Concepts and Applications

Equation (9.82), which is the model equation of the pneumatic actuator can then be written as,
y + a1 &&
a2&&& y + a0 y& = b0 u (9.83)
The above equation is a third order differential equation as it contains the term &&&
y.

· System modeling is about solving practical problems by creating mathematical models, called
model equations, which can be manipulated and optimized during the process of system design.
· A system is defined as a group of properly arranged elements those when act together provides
the desired output with respect to available inputs.
· Mechatronic systems are not elemental system rather they are hybrid type.
· The noise energy is the unwanted available input energy.
· Distinguishably three basic modeling elements are earmarked for the mechanical systems.
· Spring element stores potential energy.
· The reciprocal of the stiffness is called mechanical capacitance or compliance.
· Damper element does not store any energy. It consumes energy, which cannot be recovered.
Other name of the damper is dashpot that symbolizes resistance, more appropriately mechanical
resistance.
· System model based on the elements such as spring, damper and mass/inertia is referred to as
lumped-parameter model due to the reason that each element is basic and independent of other.
· The element possessing inertance is known as inertor.
· A fluid resistor dissipates energy.
· An element in which the stored energy is a function of fluid pressure is defined as fluid
capacitor.
· Thermal systems are characterized by heat and temperature.
· Thermal deformation is the increase of dimension of the mechanical part because of heat
generation.
· Heat is transferred by conduction, convection and radiation.
· One fundamental law with regard to thermal system is that at absolute zero temperature the
kinetic energy of the thermal system is zero.
· The capacity of the thermal system to store the thermal energy is reflected by the thermal
capacitance.
· Pure thermal resistance neither characterizes loss nor stores any energy.
· When the system parameters change with respect to time it is called dynamic system.
· The speed of a DC motor can be controlled either by changing the armature voltage, the
magnetic flux, the armature resistance or combinations of these.
· Closed pressurized chamber with rigid wall uniformly filled with compressible fluid exhibit fluid
capacitance.
· The pneumatic actuator in its basic nature is simply a load consisting of a point mass and a
dashpot with damping constant.
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Modeling

This chapter described the need for modeling a system and listed the analysis and design
procedure. But we must be able to understand “what a system is”. Hence the word “system”
has been defined. Various types of system such as SISO, SIMO, MISO, and MIMO has been
discussed. Also the system has been classified, according to the law of conservation of
energy, as mechanical electrical, fluid and thermal system. Basic modeling elements of the
basic systems have been discussed and finally it has been summarized in Table 9.2 finally the
modeling of pneumatic actuator has been discussed with the help of its major components
such as compressor, main tank, coarse regulator, control valve, piston-cylinder and the load.
Pneumatic actuating systems are very attractive to industrial application because they are
cheap, light weight and provide relatively good force to weight ratio.

LOOKING AHEAD

Once the system is modeled the output response to the given input must be studied.
Eventually, the study opens up the behaviour and intrinsic transient characteristics of the
system. Once the behaviour is well understood, the output response can be modified to get the
desired one by the process of what is known as compensation. Although compensation theory
and techniques are being taught in the higher levels, the perception of the behaviour and
intrinsic characteristics of the system in response to known inputs are of paramount
importance. Chapter 10 comprehensively deals with the topic as far as response of the first and
second order systems are concerned.

EXERCISES

9.1 In the avenue of mechatronics define a ‘system’.

9.2 Briefly outline the procedure involved in the context of designing and analysing mechatronic
systems.
9.3 Discuss the various ways of classifying the systems.
9.4 Why is modeling essential within the avenue of system design?
9.5 Distinguish between physical and mathematical model.
9.6 What do you mean by modeling elements?
9.7 Elucidate the following in the context of mechanical system.
Spring
Damper
Mass/Inertia
9.8 Elucidate the following in the context of electrical system.
Inductor
Resistor
Capacitor
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Mechatronics: Principles, Concepts and Applications

9.9 Elucidate the following in the context of fluid system.

Inertance
Fluid resistance
Fluid capacitance
9.10 Elucidate the following in the context of thermal system.
Thermal capacitance
Thermal resistance
9.11 Bring out the analogy between mechanical and electrical systems. Explain the principles used in
model building.
9.12 Model a translational mechanical with spring, damper and mass.
9.13 Model a rotational mechanical system with spring, damper and mass.
9.14 Model an electrical DC motor.
9.15 Explain constructional features of AC servomotors.
9.16 Model a chamber filled with incompressible fluid.
9.17 Model a pneumatic actuator.
9.18 A flow meter when tested in a laboratory gives a pressure difference of 100 kPa for a discharge
of 0.1m3/sec in a 150 mm diameter pipe. If a geometrically similar model is tested in a 600 mm
diameter pipe, at identical condition of flow, determine the corresponding discharge and
pressure drop in the model.
9.19 What is a hydraulic break?
9.20 What do you mean by system simulation?
 10
System Response

· To introduce Input-Output model equation of various types of systems.

· To distinguish between linear-nonlinear, timevariant-timeinvariant and SISO-MIMO systems.
· To describe instantaneous, lagging and delay response features of the system.
· To specify transient response of the system. In particular, to define rise-time, peak-time, set-
tling-time, steady state value and maximum overshoot.
· To define test signals and their roles.
· To study the output response of first-order and second order systems in response to zero ramp,
step and sinusoidal excitation.
· To explain the underdamped, overdamped and critically damped situation of the system.
· To define state-space model.
· To discuss about the state-space model of the n th order SISO system
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Mechatronics: Principles, Concepts and Applications

10.1 INTRODUCTION
A dynamic system has input (s) and output (s), which are largely related. For a given input (s), some
output (s) is (are) produced. The response at the output depends on two parameters, such as,
· The input
· The nature of the system
By applying a known input and studying the response at the output, one can observe the
characteristics of the system very closely. Once the characteristics of a system are known, its
behaviour can be predicted for other type of inputs. The extent to which the input (s) and output (s)
of a system are related is the subject of study.
System response deals with studying the behaviour of the system in which changes occur and in
which predictions are desirable. The type of dynamic systems we will be dealing with are linear and
time-invariant, which could either be a first order or second order system. The input-output
relationships of such systems are governed by the ordinary differential equations, for which the topic
of differential equations is extremely important in the engineering field.
This chapter deals with describing the systems by the use of input-output model equations and
state-space model equations. The transient and steady state behaviour of first and second order
systems are studied by applying test signals such as step, ramp and sinusoidal signals as the inputs.

10.2 INPUT-OUTPUT MODEL EQUATION AND SYSTEM

CHARACTERISATION
The systems are modeled by virtue of governing laws. One of the ways the systems are modeled is
based on the input-output relationships. For example, for a given input voltage, v(t) to a resistor
element (electrical system) the resulting output current, i(t) is adequately governed by the fundamental
laws of electricity, which can be accurately represented by input-output model equation as given
below.
i ( t ) = G ´ v( t ) (10.1)
Where, v(t) is the input voltage, i(t) is the current and G is a constant that physically characterizes
the system. For this reason the constant is called physical parameter. The above equation can be
written in a standard form as shown below.
a1 y ( t ) = b0 u ( t ) or simply a1 y = b0 u (10.2)
Where, y represents the output, u is the input, the coefficients a1 and b0 are constants
characterizing the system. The above input-output model equation is a liner one and does not contain
a derivative term. However, mostly, the input-output model equations of dynamic system contain
derivative terms constituting linear ordinary differential equations. For instance, the input-output
model equation of a thermal system is given by
dk
RC + k = k0 (10.3)
dt
Where, dk/dt is the rate of change of temperature, k 0 is the temperature difference between the
two points of interest, R is called thermal resistance and C is called the thermal capacitance. As an
example, consider a thermometer that contains a bulb of mercury. The driving force for the change of
 353
System Response

the effect is the difference between the temperature of the human body and the temperature of the
thermometer. This driving force decreases to zero as the thermometer heats up. Equation (10.3) can
be written in a standard form as given below.
a1 y& + a 0 y = b0 u ( t ) (10.4)
Where, y and u represent output and input of the system, respectively. y& is the first derivative of
output function y. The coefficients a1, a0 and b0 are the constants characterizing the system.
Similarly, by applying fundamental laws to the hybrid type systems such as DC motor
(electromechanical systems), the input-output model equation can be written as,
d 2q q
J + R d + kq = kt I a (10.5)
dt 2 dt
Where, J is the moment of inertia of the rotor, R is the rotational damping constant, k is the
rotational spring constant or stiffness, kt is the torque constant; and Ia is the armature current.
Equation (10.5) can also be written in the standard form as follows.
y + a1 y& + a 0 y = b0 u ( t )
a2 && (10.6)
As before, the coefficients a2, a1, a0 and b0 are the constants characterizing the system. &&
y and y&
are the second and first derivatives of the output function, respectively. In Eq. (10.1), input is the
voltage, output is the current; in Eq. (10.3), the input is the difference in temperature, output is the
rise in temperature, (i.e. the temperature change). On the other hand, in Eq. (10.5) the input is the
armature current, (Ia ) and the resulting output is the angular displacement (q). System representing
Eq. (10.1) bears a linear relationship between the input and output and it does not utilize ordinary
differential equation. On the other hand, Eq. (10.3) and Eq. (10.5) utilize ordinary differential
equations in order to describe the system’s input-output relationships.

10.2.1 Output Response

Equation (10.3 represents the model equation of a system of first order and Eq. (10.5) represents the
model equation of a system of second order, due to the reasons that the former one contains the term
D, (i.e., d/dt), where as the latter one contains the term D 2, (i.e., d2/dt2). The above model equations
are reflecting the relationships between the input(s) and output(s). In Eq. (10.3) and Eq. (10.5) the
relationships are reflected through appropriate order of differential equations.
A system could also be third order or higher. In general the n th order system can be described as
follows.
- -
dny d n 1y dy d ku d k 1u du
an 2
+ a n -1 n -1
+ L + a1 + a 0 y = bk k
+ bk -1 k -1
+ Lb1 + b0 u (10.7)
dt dt dt dt dt dt
The above equation can also be written in the standard form as given below.
-1
a n y n + a n -1 y n + L + a1 y& + a 0 y = bk u k + bk -1u k -1 + Lb1u& + b0 u (10.8)
Where, the coefficients a n , a n -1 K a1 , a 0 , bk , bk -1 ,Kb1 , b0 are the constants. Equation (10.8) is a
model equation of a single-input-single-output (SISO) system. The input and output are u and y
respectively. As observed, the input-output form of model equation contains input, output and their
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derivatives. In most practical situations, usually k < n. By the use of n initial conditions of
y .......... y n-1 , y n at t = t0 (t0 could be zero) and the input u for t ³ t0 , the model equation can be
y, y&, &&,
solved for y, called the output response of the system, for t ³ t0 . Initial conditions provide a summary
of the history of the system up to the initial time. To solve such differential equation we need, the
system input u(t) for the period of interest and a set of constant initial conditions.

10.2.2 MIMO System

Systems in which there are more than one inputs and outputs are usually referred to as multiple input
multiple output (MIMO) systems. The MIMO systems are described in terms of multiple inputs and
multiple outputs differential equations. In this case separate equations are written for each output.

10.2.3 Linear and Nonlinear Systems

In another way, we distinguish two types of systems, linear and nonlinear. All the above equations
(hence systems) are linear systems because the input-output relationships are linear. Nonlinear
systems include nonlinear terms. Followings are the two model equations of some nonlinear systems.
d3y d2y du
3
+ y2 2 + y4 = (10.9)
dt dt dt
d 2 y dy
+ + y 3 + y 2 + y = u( t ) (10.10)
dt 2 dt
As you can see from the Eq. (10.9) and Eq. (10.10) that the input-output relationships are nonlinear
since they contain the power of the independent variable y. The basic difference between a linear and
nonlinear system is that the superposition principle is applicable only to the former one. That is if,
y1 = f ( u1 ) and y2 = f ( u2 ) then y = y1 + y2 = f ( u1 + u2 ) = f ( u1 ) + f ( u2 ) (10.11)
Many of the real life problems are modeled by nonlinear equations due to the fact that mostly the
systems are nonlinear. Sometimes these systems are approximated by eliminating the higher order
terms from the nonlinear function. It should be noted that the nonlinear function can be expressed by
Taylor series expansion. By eliminating the higher-order terms from the series the system can be
approximated to closely linear. The degree of closeness depends on the number of terms are to be
eliminated. This technique is called approximated linearisation of nonlinear system. If all the nonlinear
terms are eliminated by the process of linearisation, then the derived system is said to be perfectly
linearised. Let us define a nonlinear system as
y = f (u ) (10.12)
Where, y is the output and u is the input and they are related by the function f. Since f is nonlinear Eq.
(10.12) can be expanded into a Taylor series as follows.
df 1 d2 f 2 1 d3 f
y = f ( u) = f (u$) + ( u - u$) + 2
( u - $
u ) + 3
(u - u$) 3 L (10.13)
du 2! du 3! du
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System Response

Where, u$ is called normal operating point with regard to input and its corresponding output is y$ .
df / du , d 2 f /du 2 , etc, are estimated at this normal operating point. Equation (10.13) can be linearised
by neglecting the higher order terms. The linearised model of the above nonlinear system can be
written as,
df
y = f ( u$ ) + ( u - u$ ) (10.14)
du

10.2.4 Time-Variant Systems

The systems we will be dealing with are linear and time-invariant systems utilizing ordinary differential
equations of first and second order. If the constants (coefficients) such as an , a n-1 K a1 , a0 ,
bk , bk -1 ,Kb1 , b0 in the Eq. 10.8 are not the functions of time then the system is said to be time-variant
system. Conversely, if the coefficients are functions of time then the system is referred to as time-
variant system. Mathematically a time-variant system is given by,
- -
dny d n 1y d ku d k 1u
an (t ) + a n -1 ( t ) - + L + a0 ( t ) y = bk ( t ) + bk -1 ( t ) - + L + b0 ( t ) u (10.15)
dt 2 dt n 1 dt k dt k 1

10.3 INSTANTANEOUS, LAGGING AND DELAY RESPONSE

Input-output models form the basis of most classical control systems. The systems are usually
subdivided according to whether they have one or more than one input and/or output. The basic
single-input-single-output (SISO) model can be thought of as relating an output y to an input u. The
system model represents how y responds to changes in its input or inputs. Suppose an input u, which
is a step signal (Fig. 10.1 (a)) is given at some time, to a system. The output could be one or
combination of the form shown in the same figure. Note that there are three main types of behaviour,
which may be seen at the output. They are,
· Instantaneous response
· Lagging response and
· Delayed response.
The typical response shown in the Fig. 10.1 (b) is called the instantaneous response. In this case y
responds in a step, but of different amplitude compared to that of u. The simplest mathematical
relationship has also been shown, here a is called gain. In lagging case (Fig. 10.1 (c)), y starts to
change but the full extent of the response lags behind the input. After a while, however, y tries to
attend the value of the input. If it could not attend, then steady-state error results. The behaviour of
the system has been reflected through mathematical equation, which is ordinary differential equation
with time as the independent variable. Here, t is called the time constant of the system, which
determines speed. The interpretation of this parameter (t) is described in this Chapter. In the third
case (Fig. 10.1 (d)), it is observed that no immediate change in y occurs when u changes. However,
after certain time T, y responds to the change in u as in the instantaneous response case. The time T
is referred to as a time delay of the system.
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Instantaneous response: y ( t ) = au ( t ) + a0 (10.16)

dy( t )
Lagging response: = 1 [{au( t ) + a 0 - y ( t )}] (10.17)
dt t
Delayed response: y ( t + T ) = u ( t ) (10.18)
Amplitude
U Step change (input)

Input
(a)
Time

Y
Instantaneous response
y(t) = au(t) + a0
(b)
Time

Lagging response
dy(t) 1
= t [{au(t) + a0 - y(t)}]
(c) dt
Time
Y

T Delayed response
y(t + T) = u(t)
(d)
Time

Fig. 10.1 Typical behaviour of the system

10.4 TRANSIENT-RESPONSE SPECIFICATION

If at time t = 0, the command signal or control signal is given at the input of a system we expect that
the output should respond immediately at the same time. However, in practice the system takes time
to produce the output response. This delay and lagging characteristics is due to the presence of
energy storing elements within the systems. In effect the system exhibits transient properties. The
output starts from initial value (the initial value could be zero) and reaches at the steady-state value
after certain time. How the output reaches at the steady-state value solely depends on the type of the
system in hand, (e.g. first order, second order, linear, nonlinear, etc.) and the nature of input signal
provided. This property of this phenomenon can be specified through transient-response specification.
This section describes the basics of transient-response specifications. The transient-response
specifications involves the following terms.
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· Rise-time
· Peak-time
· Settling-time
· Steady-state value
· Maximum overshoot
The above terminology is based on a step input to the system. Figure 10.2 illustrates the transient
response corresponding to a step input signal.
Output response
Output response, y(t)
Input step signal, u(t)
Overshoot
100%
80%

60%

40%

20%

0% Time
Rise-
time

Peak-time

Settling time

Fig. 10.2 Transient-response specifications

Rise-time is the time required to the output to reach 90% from 10% of the input value. Peak-time
is the time required to reach the peak overshoot value. Settling-time is the time at which the response
attends within 98% of the final value. An error limiting 2% is called tolerance. The output response,
settles within this tolerance band only after the settling time is reached and the level of output is
referred to as initial steady-state value. Initial steady-state value starts at t = ts. The final steady state
value refers to the response value at time t = ¥. The maximum overshoot is the difference between
the maximum peak and the input value. It is usually expressed in percentage.

10.5 TEST SIGNALS

In order to know the output response of a system, usually some test signals are given at the input and
then the outputs are observed. Commonly used test signals are step, ramp and sinusoidal signal (sine
and/or cosine function) as shown in the Fig. 10.3. Mathematically the test signals are expressed as
follows.
v( t )step = 0 for t < 0
Step: (10.19)
=A for t ³ 0
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Ramp: v( t ) ramp = 0 for t < 0 (10.20)

= u0 t for t ³ 0
Sinusoidal (sine): v( t ) sine = 0 for t < 0 (10.21)
= u0 sin( w0t ) for t ³ 0
Sinusoidal (cosine): v ( t ) sine = 0 for t < 0 (10.22)
= u0 cos( w0t ) for t ³ 0

Amplitude Amplitude Amplitude

u0
u 0t u0

Time
(a) Time (b) Time
(c)

Fig. 10.3 Test signals (a) A step signal (b) Ramp signal (c) Sinusoidal signal

10.6 OUTPUT RESPONSE OF FIRST-ORDER SYSTEMS

The output response of a system is the plot on time axis (at t ³ 0), in response to the given initial
conditions and given input signals. In order to get output response of a system of any order (This
Book deal with first and second order systems), corresponding input-output model equations have to
be solved. This needs the knowledge of solving the differential equations.

10.6.1 Free Response (Zero Excitation)

The output response with zero excitation is usually called free response. Consider a first order system.
Let the input (also called input excitation or simply excitation or forcing function), be zero and the
initial condition (output) at time t = 0– is y0. That is y(0– ) = y0. Let us find out the response at t ³ 0. The
first order system, which has been expressed in Eq. (10.4), can be re-written as,
t y& + y = 0 (10.23)
The above equation states that the output function y is proportional to its derivative, (i.e. y = -t y&).
Note that a function, which is proportional to its derivative, is an exponential function, and the
Eq. (10.23) is satisfying this criteria. The homogeneous solution (A homogeneous solution is the
solution to a function when the excitation or forcing function is zero) to this effect is given by:
y(t ) = Y ea t (10.24)
Where, Y and a are constants and can be found out by substituting the Eq. (10.16) in the
Eq. (10.23) and by applying initial condition. Hence,
1
a =- and Y = y0
t
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System Response

So, the solution to the Eq. (10.23) (i.e. the output response of the system) is,
t
-
y ( t ) = y0 e t (10.25)
–
Figure 10.4 (a) illustrates the output response, y(t). Note that when t = 0 , or simply t = 0, the
output is y0. At t Þ ¥ or when t is very large, i.e. at steady state, the output is 0 or approximately
zero. The output decays exponentially. Figure 10.4 (b) illustrates the normalized output response
(y/y0). The quantity t is called the time constant of the system. The time constant determines the
speed of the system. Going back to the original equation (Eq. (10.4) it can be noticed that t in Eq.
(10.23) has been substituted in place of a1 and a0. Since a1 and a0 are read out as physical parameters
of the system, the time constant is therefore solely depends on the system’s physical parameters.

Fig. 10.4 (a) Output response of a first order system with input zero and with initial
condition, y0 (b) Normalized output response

10.6.2 Step Input

With similar initial condition, (i.e. at t = 0 , y (0) = y0), at t = 0 if a step signal is applied to the first order
system the output response can be derived as follows. The input-output model equation is,
t y& + y = u0 (10.26)
The solution to the Eq. (10.26) is the sum of the homogeneous and particular solution, which are
obtained separately. The homogeneous solution corresponds to transient response where as the
particular solution corresponds to steady state response. Then the homogeneous and particular
solutions are added to obtain the complete or total solution. If y(t) is its solution, then the complete
solution can be written as,
y ( t ) = yhomogeneous (t ) + y particular (t ) (10.27)
The homogeneous solution is obtained from the homogeneous equation. The homogeneous
equation of the considered first order system (Eq. (10.26)) is,
t y& + y = 0 (10.28)
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Solution to the above equation is (Refer Eq. (10.24),

t
-
y homogeneous ( t ) = Ye t (10.29)
While looking at the particular solution, the steady state behaviour of the system must be taken into
account. Since the input, u0 is a constant at steady state the output will be limited to this constant
value. Thus, a particular solution would bear a form in terms of a constant, which would satisfy the
Eq. (10.27).
y particular ( t ) = C Þ C = u0 (hint: y& particular = 0 ) (10.30)
Substituting the particular solution in the original Eq. (10.26), and then applying initial conditions,
t
-
y ( t ) = Ye t + u0 Þ Y = y 0 - u0 (10.31)
t =0
This gives,
t t
- -
y ( t ) = y0 e t + u0 (1 - e t ) (10.32)
t
-
In the above equation, there are two parts. The first part, (i.e. y0 e t ) dictates the transient
property of the system, where as the second part describes the steady-state property. The transient
term decreases exponentially and dies at t Þ ¥.
If the initial condition is zero, then Eq. (10.32) is reduced to,
t
-
y ( t ) = u0 (1 - e t ) (10.33)
With initial condition zero, for unit step input the response is
t
-
y(t ) = 1 - e t (10.34)
Figure 10.5 (a) illustrates the input step signal and Fig. 10.5 (b) illustrates the output response with
initial condition zero. At t = 0–, the output is ‘0’ and at t Þ ¥ or when t is very large, i.e. at steady
state, the output is u0, the amplitude of the step signal. Figure 10.5 (c) is the normalized output
response.

10.6.3 Ramp Input

By similar approach, the output response of first order system in response to ramp excitation can also
be derived (It is left to the students). The response equation can directly be written as,
t t
- -
y ( t ) = y0 e t + u0 [t - t (1 - e t )] (10.35)
Where, y ( t ) t =0 = y( 0 ) = y0 and u0 is the magnitude of the slope of the ramp signal. If the initial
condition is zero, then the above equation is reduced to,
t
-
y ( t ) = u0 [ t - t (1 - e t )] (10.36)
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System Response

Output response
u0
Input signal

0,0 Time (t) Time

(a) (b)
Normalised output response

1.0
0.8
0.6
0.4
0.2
0.0
t
(c) Time t

Fig. 10.5 (a) The input signal (b) Output response of a first order system
(c) Normalised output

If the input function is a unit ramp, then the response is (with zero initial condition),
t
-
y ( t ) = t - t (1 - e t ) (10.37)

10.6.4 Sinusoidal Excitation

The output response of first order system in response to sinusoidal input can also be obtained. Many
important information about the system like its transient and steady behaviour can be outlined from
this treatment. Let the input signal be a cosine function with the frequency w. Then the governing
input-output model equation can immediately be written as,
t y& + y = u0 cos wt (10.38)
As before, the solution to the above equation can be obtained by separately treating the equation in
terms of homogeneous and particular solutions. The homogeneous solution of the homogeneous
equation, t y& + y = 0 is Ye–t/t (Eq. (10.29). While looking at the particular solution, note that usually
the frequency of the output of the system does not change in response to sinusoidal excitation.
However, the phase of the output in response to sinusoidal input (excitation) may change and the
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amount of change depends on the system types. Based upon the fact let us assume that the phase
discrepancy between the input and the output is Df. Since the frequencies of the input and output
remain same, one can think of a particular solution of the type given in Eq. (10.39).
y particular ( t ) = X cos( wt +Df) (10.39)
Where, X is called the steady state (t Þ ¥) output (amplitude) of the system and can be found out.
Substituting Eq. (10.39) in the Eq. (10.38) then expanding and subsequently rearranging, we get the
following:
( X cos Df - w tX sin Df) cos wt - ( X sin Df + wtX cos Df)sin wt = u0 cos wt + 0 (10.40)
Equating both sides of the Eq. (10.40, following two equations can be obtained.
X cos Df - wtX sin Df = u0 cos wt (10.41)
X sin Df + wtX cos Df = 0 (10.42)
From the Eq. (10.42) it can be found out that, sin Df = - wt / D and cos Df = wt / D , where
D = 1 + w 2 t 2 . Substituting these values in the Eq. (10.41) and solving for X, we have,
u0
X= (10.43)
D
Substituting Eq. (10.43) in the Eq. (10.39),
u0
y particular ( t ) = cos[ wt + tan -1 (-wt )] (10.44)
D
As, Df = tan -1 (-wt ) . Now, the complete solution can be written as,
t
- u0
y ( t ) = Ye t + cos[ wt + tan-1 (-wt )] (10.45)
D
t
-
In the above equation, there are two parts. The first term, i.e. Ye t corresponds to the transient
-1
part of the response and the second term, i.e. u0 / D{cos[ wt + tan (-wt )]} represents the steady-
state part of the response. The transient term decreases exponentially and dies at t Þ ¥.
In order to find out the constant Y in the Eq. (10.45), initial conditions are to be applied. If at time
t = 0– the output is y0 (initial condition), then
0 u u
y0 = Y + Þ Y = y0 - 02 (10.46)
D2 D
Hence, the complete solution for the first order system with sinusoidal excitation and initial
condition (i.e. at t = 0- , y = y0 ), is given by,

y ( t ) = y0 e
-
t
t +
LM 1 cos(wt + tan -1
(-wt )) -
1 -t
e
t
u0
OP (10.47)
ND D2 Q
Figure 10.6 illustrates the input sinusoidal signal as well as corresponding output normalized
response satisfying the Eq. (10.47). As you can notice that the output lags the input, by an amount
Df.
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System Response
Input and response

Input Output

1.0

0.0 Normalised time tt

–1.0

Fig. 10.6 Output response of a first order system with sinusoidal excitation

If the initial condition is zero, and the peak amplitude of the cosine signal is unity then, the
Eq. (10.47) becomes,

y(t ) =
1 LM 1 -
cos( wt + tan -1 (-wt )) - e t
t
OP (10.48)
D N D Q
10.7 OUTPUT RESPONSE OF THE SECOND-ORDER SYSTEMS
Mostly practical systems are second order systems. The governing equation, (i.e. input-output model
equation) for the second order system, which could take a form as given below:
y&& + a1 y& + a2 y = bu ( t ) (10.49)
where, the coefficients a1, a2 and b are the constants, u(t) is the input and y(t) is the output, &&
y and y&
are the second and first derivatives of y(t). u(t) could be an arbitrary function or a test signal such as
a step function, ramp function, a sinusoidal function and so on. In order to get the output response of
the second order system the input-output model equations have to be solved. This needs the
knowledge of solving the second order differential equations.

10.7.1 Free Response

The output response is called free response if the forcing function or excitation signal is zero, i.e. u(t)
is zero. This implies that we intend to solve the homogeneous solution of the Eq. (10.49). Consider the
initial conditions, i.e. at t = 0 y ( t ) 0 = y0 and y& 0 = y& 0 , the Eq. (10.49) will be reduced to,
y&& + a1 y& + a2 y = 0 (10.50)
Equation (10.50) can be normalized to a standard form, as expressed in the Eq. (10.38), which has
a great deal of importance in studying and specifying the behaviour and characteristics of the second
order system, respectively.
y&& + 2 zwn y& + wn2 y = 0 (10.51)
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Here, the constant wn is defined as the natural frequency of the system and the term z is defined as
the damping ratio. The natural frequency and damping ratio influences the output response of the
system. In order to observe their effect on the output response the concentration is given to studying
the roots of the characteristic equation, which has to be derived from the homogeneous equation.
The characteristic equation can be written by substituting r n for the nth derivative in the
homogeneous equation. The characteristic equation for Eq. (10.51) is, therefore,
r 2 + 2 z w n r + w n2 = 0 (10.52)
th
The two roots of the characteristic Eq. (10.52) are (Note that there are n roots for n order
characteristic equation) found to be,

r1 = -wn z + wn z 2 -1) and r2 = -wn z - wn z 2 -1) (10.53)

While obtaining the output response of the second order system, mainly the complete solution takes
three separate forms with regard to given equation. These three forms of equations have come into
picture mainly due to the appearance of the three types of roots of the characteristic equation. For
example, the roots of the characteristic equation could either be,
· Real and distinct
· Roots are not distinct, i.e. identical or,
· Complex (conjugate to each other)
In view of the above, the form of three complete solution can be written as follows.
y real and distinct ( t ) = Y1e r1t + Y2 e r2 t (10.54)

y not distinct ( t ) = Y1e rt + Y2 te rt (10.55)

ycomplex ( t ) = eat [Y1 cos s t + Y2 sin s t ] (10.56)

where, Y1 and Y2 in the above equations are the constants, which have to be determined by applying
initial conditions.
The two roots corresponding to the Eq. (10.54) are similar to the Eq. (10.53). The roots corre-
sponding to Eq. (10.55) are identical, i.e. r1 = r2 = r . The complex roots corresponding to the

Eq. (10.56) are r1 = a + js = wn (-z + j 1 - z 2 ) , and r2 = a - js = wn (-z - j 1 - z 2 ) respec-

tively. Figure 10.7 gives an illusion to the responses with respect to Eq. (10.54) through (10.56).

Roots are complex

Ye- a t
Roots are real and distinct Roots are not distinct
Response
Response

Response

Time

Time Time
(a) (b) (c)

Fig. 10.7 Typical output responses of second order system

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When the roots are real and distinct or alternatively if z > 1, (corresponding to Eq. (10.54), the
situation signifies that the system is said to be overdamped, in the sense that, given an initial value the
system returns to its initial state without any oscillation. Damping is referred to as the decrease in
amplitude with time due to the resistance of the system. Damping occurs progressively as energy is
taken out of the system by another force, which could be the friction. Note that the term z 2 – 1 in the
Eq. (10.53) is positive. Other two cases are called critically damped and underdamped situations or
conditions, respectively (Eq. (10.55) and Eq. (10.56) respectively). In critically damped situation the
term z 2 – 1 in the Eq. (10.53) is zero, z = 1, and the two roots are equal. In underdamped situation
0 < z < 1, the term z 2 – 1 is negative. The system having z < 0 is unstable.
For z > 1 the roots are negative numbers and the output consists of two decaying exponentials
(Eq. (10.54), Fig. 10.4 (a)). For z = 1, two roots are equal and the response contains the term e-wnt
and te-wnt (Refer Fig. 10.4 (b)). For, z in between ‘0’ and ‘1’ the two roots r1 = a + js = wn
(-z + j 1 - z 2 ) and r2 = a - js = wn (-z - j 1 - z 2 ) are complex and the system oscillates. The
envelope of the oscillation peaks follows the path e–a t as shown in the Fig. 10.4 (c).

10.7.2 Overdamped
Applying the initial condition to the Eq. (10.54),
y(t ) t =0 = y(0 ) = y0 = Y1 + Y2 and y& (t ) t =0 = y& ( 0) = y&0 = r1Y1 + r2 Y2 (10.57)
Solving for Y1 and Y2 we have,
r2 y0 - y& 0 r y - y& 0
Y1 = and Y2 = 1 0 (10.58)
r2 - r1 r1 - r2
Substituting these values in the complete solution (Eq. (10.54)), we have,
y0 r2 t y& 0
y(t ) = br e
1 - r2 e r1t +
g be r1t
- e r2t g (10.59)
r1 - r2 r1 - r2
If the initial conditions such as y ( 0 ) = y0 = 1 and y& ( 0) = 0 , then the response becomes,
1
y(t ) = r1e r2t - r2 e r1t
b g (10.60)
r1 - r2

10.7.3 Critically Damped

If the roots are identical (i.e. the damping ratio z = 1), then
r1 = r2 = r = -w n (10.61)
Applying initial conditions the solution to Eq. (10.55) is given by,
y ( t ) = [ y0 + ( y& 0 + wn y0 )] t e-wnt (10.62)
If the initial conditions such as y ( 0 ) = y0 = 1 and y& ( 0 ) = 0 , then the response becomes,
y ( t ) = (1 + wn ) t e-wn t (10.63)
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10.7.4 Underdamped
Let us define a term called damped natural frequency wd, which is expressed as follows:

wd = wn 1 - z 2 (10.64)
If the roots are complex, they can be written in terms of wd as follows:
r1 , r2 = a ± js =- zw n ± jw d (10.65)
Eq. (10.56) can be written as,
y ( t ) = e-wn z t [Y1 cos wd t + Y2 sin wd t ] (10.66)
Applying initial condition to the Eq. (10.66),
z wn y0 + y&0
y(t ) t =0 = y( 0 ) = y0 = Y1 and y& ( 0 ) = y& 0 = -z wn Y1 + wd Y2 Þ Y2 = (10.67)
wd
Substituting the Y1 and Y2 in Eq. (10.66), and rearranging, we have,
LM
y ( t ) = e-z wn t y0 {cos( wd t ) + V sin( wd t )} +
y& 0
sin( wd t )
OP (10.68)
N wd Q
z
Where, V =
1- z 2
If the initial conditions such as y(0) = y0 and y& ( 0 ) = 0 persists, then the response becomes,
y ( t ) = {cos( w d t ) + V sin( w d t )}e-z wn t (10.69)
Figure 10.8 shows the output response for the three cases such as overdamped (z > 1), critically
damped (z = 1) and underdamped (z < 1) with initial conditions y(0) = y0 and y& ( 0 ) = 0 .
y(t)

y(0) = y0
z>
1
Response

Assume y (0) = 0

z=1

Time

0<z<1

Fig. 10.8 Typical output free response curves of the second order system
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System Response

10.8 OUTPUT RESPONSE OF SECOND-ORDER SYSTEM-STEP INPUT

Let us solve the input-output model equation of a second order system, in order to get the output
response, when the input is a step signal. The input-output model equation stated in Eq. (10.49) can be
reduced to a standard form (similar to Eq. (10.51) as,
y&& + 2 z wn y& + wn2 y = u0 (10.70)
where, u( t ) = u0 ; a step function (Refer Fig. 10.3 (a)). Let at time t = 0, the initial conditions are
y ( 0 ) = y0 and y& ( 0 ) = y&0 .

10.8.1 Overdamped
The output response is the sum of the responses of homogeneous solution and the particular solution
(Refer Eq. (10.27) and Eq. (10.54)), which can be written as,
y ( t ) = Y1e r1t + Y2 e r2 t + yparticular ( t ) (10.71)
where, Y1 and Y2 are the constants, which are to be found out; r1 and r2 are the roots of the
characteristic equation r 2 + 2 z w n r + w n2 = 0 , corresponding to homogeneous equation
y&& + 2 zw n y& + w n2 y
= 0 . The above equation essentially describes a solution when the roots are real and
distinct. Note that the particular solution is a constant, since the output at steady-state would become
close to the input, which is nothing but a constant. Thus,
y particular ( t ) = C (10.72)
Since, y(t) is a constant, y& and &&
y are zero. Substituting Eq. (10.72) in Eq. (10.70) we have,
u0
wn2 C = u0 Þ C= (10.73)
wn2
Now, the Eq. (10.71) can be written as,
u0
y ( t ) = Y1e r1t + Y2 e r2 t + (10.74)
wn2
Applying the initial condition to the Eq. (10.74), we can get,
u0
y ( t ) t =0 = y ( 0 ) = y0 = Y1 + Y2 + and y ( t ) t =0 = y& ( 0) = y& 0 = r1Y1 + r2 Y2 (10.75)
wn2
Solving for Y1 and Y2 we have,
y0 w n2 r2 - u0 r2 - y& 0 w n2 y0 w n2 r1 - u0 r1 - y& 0 wn2
Y1 = and Y2 = (10.76)
w n2 ( r2 - r1 ) wn2 ( r1 - r2 )
Substituting these values in the Eq. (10.71) for the complete solution, we have,
y0 w n2 r2 - u0 r2 - w n2 y& 0 r1t y0 wn2 r2 - u0 r2 - w n2 y& 0 r2 t u
y(t ) = 2
e + 2
e + 02 (10.77)
wn ( r2 - r1 ) wn ( r1 - r2 ) wn
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The output response of second order system for values of z ³ 1 (overdamped situation) is shown
in the Fig. 10.9

1.0

0.9
z = 1.0
0.8
y(0)
y(t)

z = 5.0
0.7
Normalised response

0.6
z = 10.0
0.5

0.4

0.3

0.2

0.1

0.0
0 2 4 6 8 10
Normalised time, wd t

Fig. 10.9 Output response of second order system (overdamped situation: z > 1)

If initial conditions are zero, i.e. y ( 0) = y0 = 0 and y& ( 0) = y& 0 = 0 ; The step input being an unit
step, i.e. u 0 = 1 , then Y1 and Y2 in Eq. (10.76) becomes,
r2 -r1
Y1 = ; Y2 =
wn2 ( r1 - r2 ) wn2 ( r1 - r2 )
and the Eq. (10.77) is reduced to,
1
y(t ) = 1 + rx e r1t + ry e r2 t (10.78)
wn2
r2 r1
where, rx = and ry =
r1 - r2 r2 - r1

10.8.2 Critically Damped

If the roots are identical then,
r1 = r2 = r = -w n (10.79)
In this case, the complete solution to Eq. (10.70) can be written as (Refer Eq. (10.55)),
u0
y ( t ) = Y1e rt + Y2 te rt + (10.80)
wn2
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System Response

Applying initial condition to the Eq. (10.80), Y1 and Y2 can be found out.
u0 u0
y ( t ) t =0 = y ( 0) = y0 = Y1 + Þ Y1 = y0 - and (10.81)
wn2 wn2

y ( t ) t =0 = y& ( 0 ) = y& 0 =
d
t =0
LMY e
1
rt
+ Y2 te rt +
u0 OP Þ Y2 =
y& 0 w n - y0 w n + u0
(10.82)
dt N w n2 Q wn
Substituting Y1 and Y2 in the Eq. (10.80), we have,
y0 wn2 - u0 -wnt y& 0 wn2 - y0 wn2 r + u0 r -wn t u
y(t ) = 2
e + te + 02
wn wn wn
(10.83)
= 12 {( y0 wn2 - u0 ) + ( y&0 wn2 - y0 wn2 r + u0 r )t}e-wnt + u0
wn
Assuming initial conditions zero, and the step input being an unit step, Eq. (10.83) is reduced to,
1
y(t ) = 1 - e-wn t - wn te-wnt (10.84)
wn2

10.8.3 Underdamped
By similar approach, for step input we can write the complete solution as (Refer Eq. (10.56) and
Eq. (10.71)),
u0
y ( t ) = e-wm z t [Y1 cos wd t + Y2 sin w d t ] + (10.85)
wn2
Applying initial condition to the Eq. (10.85),
y(t ) t =0 = y(0 ) = y0 = Y1 + u0 Þ Y1 = y0 - u0 (10.86)
z wn y0 + y& 0 + zwn u0
and y ( t ) t =0 = y& ( 0 ) = y& 0 = -z wn Y1 + w d Y2 Þ Y2 = (10.87)
wd
Substituting the Y1 and Y2 in Eq. (10.85), and rearranging, we have the complete solution as given
below,
LM
y ( t ) = e-z wn t y0 {cos( wd )t + V sin( wd t )}+
y& 0 OP
sin( wd t )} +
N wd Q (10.88)
u0
+ 1 - e-z wn t {cos( wd t ) + V sin( wd t )}
wn2
z
where, V = and wd = wn 1 - z 2
2
1- z
If the initial conditions are assumed to be zero, and the step input being an unit step, Eq. (10.88)
becomes,
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Mechatronics: Principles, Concepts and Applications

1
y(t ) = 1 - {cos( w d t ) + V sin( w d t )}e-z wn t
w n2
(10.89)
= 12 1 - e
LM
-z wn t
cos( w d t - q )
OP
wn MN
1- z 2 PQ
z
where, q = tan -1
1- z 2
The output response of second order system for values z < 1 (underdamped situation) is shown in
the Fig. 10.10.

2.0

1.8
y (0)
y (t)

1.6
Normalised response

1.4 z = 0.01
1.2 z = 0.1
z = 0.5
1.0 z = 1.0
0.8

0.6

0.4
0.2

0.0
0 2 4 6 8 10
Normalised time, wd t

Fig. 10.10 Output response of second order system (underdamped situation: z < 1)

10.9 OUTPUT RESPONSE OF SECOND-ORDER SYSTEM-SINUSOIDAL

INPUT
If the sinusoidal excitation with frequency w is applied to the second order system, the nature of
output response can be studied by obtaining the complete solution of the following equation.
y&& + a1 y& + a2 y = u0 cos wt (10.90)
where, the input excitation is u ( t ) = u0 cos wt ; a sinusoidal function with amplitude u0. Let at t = 0, the
initial conditions are y ( 0 ) = y0 and y& ( 0 ) = y&0 . Normalising Eq. (10.90) (standard form),
y&& + 2 zwn y& + wn2 y = u0 cos wt (10.91)
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System Response

If the roots of the characteristic equation are distinct and real, we can derive the complete solution
from the Eq. (10.85) as follows. Let the complete solution be represented as,
y ( t ) = e-wm z t Y1 cos wd t + Y2 sin wd t + yparticular (t ) (10.92)
The particular solution can be formulated by the linear combination of the excitation signal and its
derivative as given below.
y particular ( t ) = Y3 cos wt + Y4 sin wt (10.93)
where, Y3 and Y4 are constants which can be obtained as follows. Substituting the particular solution
i.e. Eq. (10.93) into the original differential equation, i.e. in the Eq. (10.91) and rearranging, following
equation is obtained.
( wn2 Y4 - w 2 Y4 - 2zwn wY3 )sin wt + ( wn2 Y3 - w 2 Y3 + 2zwn wY4 )cos wt = u0 cos wt (10.94)
Equating both sides of the above equation, we get:
w n2 Y4 - w 2 Y4 - 2 zwn wY3 = 0 and (10.95)
wn2 Y3 - w 2 Y3 + 2 zwn wY4 = u0 (10.96)
Thus,
w n2 - w 2 2 zww n
Y3 = u0 , and Y4 = u0 (10.97)
2 2 2 2
a w n2 -w f + 4z 2
w n2 w 2 a wn2 -w f + 4 z 2 wn2 w 2
Substituting Y3 and Y4 in Eq. (10.93) and combining sine and cosine terms, the resulting particular
solution becomes,
w n2 - w 2 2zw n w
y particular ( t ) = u0 cos wt + u0 sin wt (10.98)
2 2 2 2
cw n -w h + 4z 2 wn2 w 2 cw 2
n - w2 h + 4z 2 wn2 w 2
- wnzt
\ y (t ) = e ( Y1 cos wd t + Y2 sin wd t )
wn2 - w 2
+ 2
u0 cos wt (10.99)
bw 2
n - w2 g + 4z 2 wn2 w 2
2zwn w
+ u0 sin wt
2 2
b wn2 -w g + 4z 2 wn2 w 2
Applying initial condition to the Eq. (10.99), i.e.
~2 )
u (1 - w - ~2
y ( t ) t =0 = y ( 0 ) = y0 = Y1 + 0 2 2 Þ Y1 = y0 - (1 2 w 2 ) u0 (10.100)
wn Q wn Q
2 2 ~ 2
w Q ( y& 0 - y0 wnz ) - (1 + w )( wnz u0 )
and Y2 = n (10.101)
wn2 Q 2 wd
~ = w and Q = (1 - w
where, w ~ 2 ) 2 + 4z 2 w
~2
wn
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Substituting Y1 and Y2 in Eq. (10.99), and rearranging, we have the complete solution as given
below,
y& 0 e-z wn t
y ( t ) = y0 e-z wn t cos( wd t ) + V sin( wd t ) + sin( wd t )
wd
(10.102)
u
+ 02
LM cos( wt - f)
+ e-z wn t ( P )
OP
wn MN ~ 2
(1 - w ) + 4 w
z 2 ~2
PQ
~ 2 - 1)cos( w t ) - V w
(w ~ 2 + 1 sin( w t )
b g
d d z
where, P = ~ ) 2 + 4z 2 w
~2 ,V= and wd = wn 1 - z 2
(1 - w 1- z 2

If the initial condition is zero, and the peak amplitude of the cosine signal is unity then, the
Eq. (10.102) becomes,

y(t ) =
u0 LM cos( wt - f)
+ e-z wn t (P )
OP (10.103)
wn2 MN ~ 2
(1 - w ) + 4z w2 ~2
PQ
10.10 STATE-SPACE MODEL
Without loss of generality, it can be stated that there are several ways of describing the systems by the
use of mathematical model equations. One such approach of system description is achieved through
the input-output relationship, which was presented in the previous section.
Predominantly, there exist another approach of system description, which is based on the state of
the dynamic system, popularly known as state-variable or state-space approach. The definition of
state will be given shortly, however, at first sight you should be aware of that the state-variable model
based system description and analysis is considered as a powerful and dominant technique for solving
the system response and therefore, has been gaining momentum in the field of control engineering
since long. The potential advantage of state-variable approach can be abridged that it uses a great deal
of matrix algebra in order to achieve computational advantage for analysis by the use of digital
computers. Moreover, the approach is suitable for the analysis of the systems of complex nature such
as multi-input-multi-output (MIMO) systems and also nonlinear systems. Input-output model based
analysis (solving high-order nonlinear differential equations with initial conditions, for instance) require
more computational involvement compared to the state-variable approach.
The use of word ‘state’ comes from the fact that a dynamic system can be described by a smallest
set of variables, called state-variable, to represent the state of the system. The choice of state variables
is not unique. The same system can also be described by another set of state-variables. From
mathematical point of view, a state is the smallest set of numbers {xi (t), i = 1, 2,..., n}, needed
together with the input u(t), t Î [t1, t2] to uniquely determine the behaviour of the system in the
interval [t1, t2]; n being the order of the system. In other words, the state of the system can be defined
by a minimal set of variables such that the information on these variables at time t = 0 in conjunction
with that of the input for t > 0 totally determines the behaviour of the system for time t ³ 0.
Mathematically, state models take the form of a set of first order differential equations. State variables
are independent and therefore, they do not have algebraic relationship with the other variables and
even with the inputs. The state equation, which is a set of first order equations governing the state
 373
System Response

variables is essentially derived from the input-output differential equation and from the definitions of
the state variables. In broader sense, the approach is just to transform a system representing high-
order equation into an equivalent of first order equations. In general, there are n state equations for an
nth order system. Note that the set is not unique, but the number n is unique. The form of the state
equations depends on the nature of the system in the sense that the time-varying state-model is
generated from time-varying systems and like wise nonlinear for nonlinear systems, etc.

10.10.1 Theory
Let us consider a system, which has n state variables, k inputs and l outputs. Let us define,
State variables = x1 , x 2 ... x n
Inputs = u1 , u2 ... uk
Outputs = y1 , y2 ... yl
At first, derive a set of first order differential equations. Each differential equation is actually the
derivative of one of state variable and is expressed as the function of all the state variables and inputs.
Similarly, the output is expressed as the function of all the state variables and inputs. Mathematically
these can be written as:
State equations are:
x&1 = f1 ( x1 , x 2 , x 3 ... x n ; u1 , u2 , u3 , ... u k ) (10.104a)
x& 2 = f2 ( x1 , x 2 , x 3 ... x n ; u1 , u2 , u3 , ... uk ) (10.104b)
... = ................................................
x& n = fn ( x1 , x 2 , x 3 ... x n ; u1 , u2 , u3 , ... uk ) (10.104n)
Output equations are:
y1 = f1 ( x1 , x 2 , x 3 ... x n ; u1 , u2 , u3 , ... uk ) (10.105a)
y2 = f2 ( x1 , x 2 , x3 ... x n ; u1 , u2 , u3 , ... uk ) (10.105b)
... = ................................................
yl = fl ( x1 , x 2 , x 3 ... x n ; u1 , u2 , u3 , ... uk ) (10.105l)
Note that we are discussing about the systems, which are linear and time-invariant. Equation
(10.104) is called state equation and Eq. (10.105) is called output equation in the state-space form of
system representation. Since the state equations and output equations are the algebraic function of the
state variables and inputs, the above two equations can also be written in the following manner.
State equations as,
x&1 = A11 x1 + A12 x 2 + ... + A1n x n + B11u1 + B12 u2 + ... + B1k u k (10.106a)
x& 2 = A21 x1 + A22 x 2 + ... + A2 n x n + B21u1 + B22 u2 + ... + B2 k uk (10.106b)
... = ..................................................................................
x& n = An1 x1 + An 2 x 2 + ... + Ann x n + Bn1u1 + Bn 2 u2 + ... + Bnk uk (10.106n)
Output equations as,
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y1 = C11 x1 + C12 x 2 + ... + C1n x n + D11u1 + D12 u2 + ... + D1k uk (10.107a)

y2 = C21 x1 + C22 x 2 + ... + C2 n x n + D21u1 + D22 u2 + ... + D2 k uk (10.107b)
... = ..................................................................................
yl = Cl 1 x1 + Cl 2 x 2 + ... + Cln x n + Dl1u1 + Dl 2 u2 + ... + Dlk uk (10.107l)
which further can be written in the matrix form as,
State equation:
LM x& OP LM A + A + A + ... + A OP LM x OP LM B + B + B + ... + B OP LMu OP
1 11 12 13 1n 1 11 12 13 1k 1
A + A + A + ... + A B + B + B + ... + B
MM.x& PP = MM.....................................
2 21 22 23 2n
PP MM.x PP + MM......
2 21 22 23
P M u
2k
................................ P M. P
P 2
(10.108)

MN x& PQ MN A + A + A + ... + A PQ MN x PQ MN B + B + B + ... + B PQ MNu PQ

n n1 n2 n3 nn n n1 n2 n3 nk k
Output equation:
LM y OP LMC + C + C + ... + C OP
1 11 12 13 1n LM x 1 OP LM D + D + D + ... + D
11 12 13 1k OP LMu OP
1
C + C + C + ... + C D + D + D + ... + D
MM.y PP = MM.......................................
2 21 22 23 2n
PP MM.x 2
PP + MM.......
21 22 23 2k
...................................P
P MM.u PP (10.109)
2

MN y PQ MNC + C + C + ... + C PQ
l l1 l2 l3 ln
MN x n
PQ MN D + D + D + ... + D
l1 l2 l3 lk
PQ MNu PQ
k

Rewriting these set of equations in a more compact form, we have,

x& = Ax + Bu (10.110)
y = Cx + Du (10.111)
where, the column vector x, called the state vector, is of length n; The vector u, called the input
vector, also a column vector with length k; A is an n ´ n square matrix, B is an n ´ k matrix, C is
l ´ n matrix and D is an l ´ k matrix. Matrix A, B, C and D are referred to as system matrix. If the
D is a null matrix, then the Eq. (111) can be reduced to,
y = Cx (10.112)
An example of linear time varying second order two outputs and single input (SIMO system) can
be seen from the following equation.
LM x& OP = LMcos(t ) sin(t )OP LM x OP + L0 O u
1 1
(10.113)
N x& Q N2
2 e Q N x Q NM3 QP
-5 t
2

LM y OP = L1 0 O LM x OP
1 1
(10.114)
N y Q NM0 1QP N x Q
3 2
The matrix D is zero and the input and output matrices are constant. The system is time-varying
because the state matrix has some entries such as cos(t), sin(t), etc., that are functions of time.

10.11 STATE-SPACE MODEL OF THE nth ORDER SISO SYSTEM

The state-space equations can be derived from the input-output model equations as follows. Consider
an nth order SISO system described by the differential equation,
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System Response

an y n + an-1 y n-1 + ... + a1 y& + a0 y = b0 u (10.115)

n
Eliminating the coefficient of y , the above equation can be written in the following form,
y n + An-1 y n-1 + ... + A1 y& + A0 y = B0 u (10.116)
an-1 a a b
where, An-1 = ; An-2 = n-2 ; … A0 = 0 and B0 = 0 .
an an an bn
Let us define the state variables as,
x 1 = y,
x 2 = y& ,
(10.117)
. and
xn = yn - 1
Now,
x&1 = x 2 ,
x& 2 = x 3 ,
. (10.118)
x& n-1 = x n and
x& n = -A0 x1 - A1 x 2 - ... - An-1 x n + B0 u
Equation (10.118) can be written in the matrix form as,
LM x& OP L0 1 0 .
1 0 OP LM x OP L0 O
1

MM.x& PP = MM....................................
2 0 0 1 . 0
PP MM.x PP + MM.0 PP
2
u (10.119)
MN x& PQ MMN-A - A - A .
n 0 1 2 - An-1 PQ MN x PQ MMN B PPQ
n 0
The state output equation is (Refer Eq. 10.110a),
LM x OP
1

y = [1 0 . 0] MM.x PP
2
(10.120)

MN x PQ
n

Consider a second order SISO systems described by y&& + A1 y& + A0 y = B0 u , which is an input-
output model equation. By similar procedure the state-space model equations can be written as,
LM x& OP = LM0
1 1 OP LM x OP + LM0 OP
1
u (10.121)
N x& Q N-A
2 0 - A1 Q Nx Q NB Q
2 0
and,
0 ]L O
x 1
y = [1 (10.122)
MN x PQ
2
Solution to the state variables is called the state-variable response of the system. If the input is
zero, then the set of homogeneous first order differential equations (Eq. (10.108) are,
x& ( t ) = Ax ( t ) (10.123)
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where, x& ( t ) is the set of first order differential equations, A is the system matrix, and x(t) is called the
state variable vector, and the solution is given by,
FG A2 t 2
x( t ) = e A t x ( 0 ) = I + A t + +
A 3t 3
+ ... +
A pt p
+ ... x (0 )
IJ (10.124)
H 2! 3! p K
where, x(0) is called the initial state or initial condition of the state variables and I is the unit matrix.
If the input is nonzero positive, then the state-variable response is referred to as forced state
variable response, which is given by,
t

z
x( t ) = e At x( 0 ) + e At e-Al Bu(l ) dl
0
(10.125)

For a system of order n and with k inputs, the matrix eAt is n ´ n; B is n ´ k and u(t) is a k ´ 1
column matrix.
The solution to the Eq. (10.110) is called the output response of the system in the state-space
domain. In case of zero input, the output is referred to as free response. Free response is nothing but
the homogeneous solution. The homogeneous output response is given by,
y( t ) = Ce At x( 0 ) (10.126)
The forced output response is given by (Substituting Eq. (10.125), in the Eq. (10.111)
t
At
y ( t ) = Ce x ( 0 ) + Ce At
z
0
e-Al Bu(l ) dl + Du ( t ) (10.127)

· A dynamic system has input (s) and output (s), which are largely related.
· The systems are modeled by virtue of governing laws.
· One of the ways the systems are modeled is based on the input–output relationships.
· Initial conditions provide a summary of the history of the system upto the initial time to (to
could be zero).
· The MIMO systems are described in terms of multiple inputs and multiple outputs differential
equations.
· Nonlinear systems include nonlinear terms. The basic difference between a linear and non-
linear system is that the superposition principle is applicable only to the former one. The
nonlinear function can be expressed by Taylor series expansion.
· If the process of linearization eliminates all the nonlinear terms, then the derived system is said
to be perfectly linearised.
· In practice the system takes time to produce the output.
· Commonly used test signals are step, ramp and sinusoidal signal.
· There are several ways of describing the systems by the use of mathematical model equations.
One such approach of system description is achieved through the input-output relationship.
There exist another approach of system description, which is based on the state of the dynamic
system, known as state-variable or state-space approach.
· The state variable approach is just to transform a system representing high order equation into
an equivalent of first order equations.
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System Response

The chapter at the beginning introduces the Input–Output Model equation of various types of
systems such as linear, nonlinear, timevariant, timeinvariant, SISO and MIMO systems. The
features such as instantaneous, lagging and delay response of the system has been
presented. Moreover, transient response specification has been defined. In particular, rise-
time, peak-time, settling-time, steady-state value and maximum overshoot of the transient
response specification have been defined. The next part of the chapter defines various types of
test signals used for testing the system in order to know the behaviour of the system. The third
part of the chapter studies the output response of first-order and second order systems in
response to zero excitation, ramp, step and sinusoidal signal. In this part underdamped,

state-space model have been defined and a discussion about the state-space model of the n
order SISO system has been presented.

LOOKING AHEAD

In generalized sense system response refers to study of transient behaviour of the system.
There is a requirement to study the behaviour of the system with respect to frequency variation.
The first step to study the frequency response is to define the system in a frequency domain.
The commonly employed approach is to define the transfer function of the system. It can be
argued that the transfer function of the system is the system by itself. Once the transfer

Moreover, the frequency response can be understood. The next chapter details out the transfer
function and frequency response of the first and second order systems.

EXERCISES

10.1 What is the meaning of system response?

10.2 What do you understand by input–output model equation?
10.3 Charcterise and distinguish the systems through model equations.
10.4 Differentiate first order and second order systems.
10.5 Differentiate between linear and nonlinear systems.
10.6 Differentiate between SISO and MIMO systems.
10.7 What do you mean by approximated linearisation of nonlinear system?
10.8 Define the following.
(i) Instantaneous response
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(ii) Lagging response

(iii) Delayed response
10.9 Write notes on transient response specification.
10.10 What do you mean by rise-time, peak-time and settling-time in connection with transient
response specification.
10.11 What types of test signals are usually considered for testing a system response?
10.12 Derive the expression representing the output response of a first order system with input as
given below.
(i) Zero input (Free response)
(ii) Step input
(iii) Ramp input
10.13 Derive the expression representing the output response of a second order system with input as
given below.
(i) Zero input (Free response)
(ii) Step input
(iii) Sinusoidal input
10.14 What do you mean by overdamped, critically damped and underdamped situation of a second
order system under free response condition?
10.15 Define the following in the domain of state space model.
(i) State
(ii) State space
(iii) State variable
10.16 Discuss the state space model of an nth order SISO system.
10.17 Obtain state equations for the closed loop unit feedback system if the feedforward transfer
function is given by,
100
G( s ) = 2
s( s + 0.2 s + 10)

10.18 If A = LM0 20 OP
, B=
0 FI
, C = [ 0 1]
N1 0 Q 1 HK
Give a block representation of a full order state observer.
10.19 Consider the SISO system governed by the state variable equation
x ( k + 1) = Ax ( k ) + Bu( k )
y ( k ) = Cx ( k )

with A = LM
0 1 OP LM OP
,
0
, C = [1 0]
N
-3 - 4 Q NQ1
If the input is zero and

x( 0 ) = LM0 OP , solve for x(k) and y(k).

N1 Q
 11
Transfer Function and
Frequency Response

· To define transfer function and frequency response of the first and second order engineering
systems.
· To solve for the output response of the first and second order system in response to input
signals by using Laplace transformation.
· To define, understand and draw Bode plot of first and second order systems.
· To define break frequency.
· To study pole-zero plot and its application.
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11.1 INTRODUCTION
System response provides useful information about the transient and steady state properties of the
system. Chapter 10 dealt with system response of first and second order systems with respect to test
signals such as step, ramp and sinusoidal signal. This chapter describes transfer function and
frequency response of the systems. Transfer function is defined as the ratio of Laplace transform of
the output to the Laplace transform of the input. With regard to frequency response, it characterizes
the response of the system with respect to the input frequency.
Control systems are characterized by their frequency response functions for which mostly they
are treated as frequency selective components. Frequency response is a means to estimate the system
performance in terms of determining the bandwidth of the system and the disturbance rejection of the
system.
This Chapter deals with the behaviour of the system with respect to frequency. In particular, the
definition of the transfer function and its usefulness and the frequency response curve and its
applicability has been described.

11.2 FREQUENCY RESPONSE; BACKGROUND

The output of the dynamic system depends on the frequency of the input signal. Frequency response
is a measure of system’s response to the input frequencies. The relationship between the outputs with
respect to frequency-varying input is represented as a plot, which is commonly known as the
frequency response plot. In order to deal with, we prefer to use a sinusoidal signal as the reference
input signal. The output of the system is observed by varying frequency of the reference signal. The
effect of output on input frequencies has to be known in order to determine the bandwidth of the
systems. The frequency response method is a useful approach in many situations where an open-loop
frequency response can be used to predict the behaviour in a closed-loop system.
Suppose we have a linear, time-invariant single input and single output (SISO) system as shown in
Fig. 11.1. Let the SISO system be an electronic amplifier. It does not matter whether we take the
example of an amplifier. The illustration is to understand the context. The knowledge to be gained
from this amplifier example can be transferred to other system as well. Let the reference input to this
system be a sinusoid signal with varying frequency. Measure the output for each frequency starting

Amplitude Input Output

Amplitude

Time
Time
G(s)
Input (sinusoid) Output

Transfer function

Fig. 11.1 A typical SISO system showing transfer function G(s)

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from zero to infinity (Stop! You cannot go up to infinity). Anyway, let us increase the frequency as
much as we can. Calculate the output to input ratio for each frequency. This ratio is called gain of the
systems. Now we have many gain values corresponding to each frequency. If we plot this curve, i.e.
frequency versus gain curve, then the resulting plot provides much information about the system.
Figure 11.2 shows the frequency versus gain curve of the considered SISO system, which is an
electronic amplifier. As you can see that for some values of frequencies the response (gain) is
approximately constant, for some values the gain is linear, for some values the gain is non-linear and
for some values the gain is approximately zero.
That is the portion;
a1 and a9 Þ Gain is zero
a2, a4, a6 and a8 Þ Gain is nonlinear
a3 and a7 Þ Linear
a5 Þ Constant

Gain

Frequency
a1 a2 a3 a4 a5 a6 a7 a8 a9

f1 fh

Fig. 11.2 Frequency response curve of an electronic amplifier (a SISO system)

11.3 TRANSFER FUNCTION, BACKGROUND

The transfer function resides within the system. The type of frequency versus gain curve of the
system depends on the type of transfer function residing. In true sense it is not appropriate to say that
the transfer function is residing, however, accept it in saying that the transfer function is unique and
it represents the system. Alternatively, a system exhibits transfer function. Mathematically, the
transfer function is a complex function. It is a function, that transfers the input signal to the output.
The function must have arguments to define itself. The argument is simply frequency.
The nature of frequency response curves varies in accordance with the system types. For instance,
the frequency response curve of a second order system is different from that of first order system
and so on. Since a system and its transfer function has one-to-one relationship, we can differentiate
the systems as per their transfer functions. The gain, transfer function and frequency response curve
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are very close to each other in the sense that one can say that the ‘frequency response curve
represents the gain of the system’, ‘the gain depends on the transfer function’, ‘transfer function
makes gain’, ‘the gain and transfer function of the system are similar!’
What information do all these frequency responses provide us? All provide the same information
about how the system works with frequency. Engineers very often, design systems for automation
and control applications. Systems for automation and control applications are characterized by their
frequency response functions for which mostly they are treated as frequency selective components.
In order to operate or use the system at a particular frequency zone of interest, the engineer has to
study the frequency response of the system. In summary, frequency response is a means to estimate
the system performance in terms of determining the bandwidth and the disturbance rejection of the
system.
Frequency response curves of many practical systems are shown in the Fig. 11.1 and in the
Fig. 11.3 (a-e).
Gain Gain
Maximum gain Maximum gain
- 3dB Gain
- 3dB

fU Frequency fL Frequency
(a) (b)

Gain
Maximum gain

- 3dB

fL fU Frequency
(c)

Gain Gain
Maximum gain Maximum gain

- 3dB - 3dB

fL fU Frequency fL fU Frequency

(d) (e)

Fig. 11.3 Typical frequency response curves

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11.4 MORE ABOUT TRANSFER FUNCTION

Precisely, the transfer function describes the internal properties of the systems. It is essentially a ratio
of output to the input of the system, however, from engineering point of view it is preferred to define
the transfer function as a ratio of Laplace transform of the output to the Laplace transform of the
input, assuming initial conditions are zero. Mathematically, it is written as:
Y (s)
G( s ) = (11.1)
U(s)
where, G(s) is the transfer function, Y(s) is the Laplace transform of the output and U(s) is the
Laplace transform of the input. One important point, to be noted is that the transfer function does not
depend upon the initial conditions.
The transfer function of a SISO, linear, time-invariant first and second order systems can be
obtained as follows.

11.4.1 Transfer Function of First Order Systems

A first order system is defined by,
a1 y& + a 0 y = b0 u ( t ) (11.2)
where, the coefficients a1, a0 and b0 are constants. u(t) and y(t) are input and output respectively. y&
is the first derivative of y(t). Let the Laplace transform of the output y(t) is Y(s) and that of the input
u(t) is U(s). Taking the Laplace transform of both sides of the Eq. (11.2), we have
L[ a1 y& + a0 y ] = L{b0 u( t )]
Þ a1sY ( s ) + a0 Y ( s ) = b0U (s )
Þ [ a1s + a0 ]Y ( s ) = b0U ( s )
b0 (11.3)
Y (s) b0 G a0
Þ G( s ) = = = =
U (s ) a1s + a0 a1 t s +1
s +1
a0
where, G = b0 / a0 and t = a1 / a0 . We did not consider the initial condition, i.e. y(0) while deriving for
the transfer function.

Fig. 11.4 A schematic diagram of a first order system showing transfer function

11.4.2 Transfer Function of Second Order Systems

Similarly, the transfer function of the second order (SISO, linear, time-invariant) system can be
obtained as follows. Let system’s input-output model equation be as follows.
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y + a1 y& + a 0 y = b0 u ( t )
a2 && (11.4)
where, the coefficients a2, a1, a0 and b0 are constants. u(t) and y(t) are input and output respectively.
y& and &&
y is the first and second derivatives of y(t), respectively. Equation (11.4) can also be written in
the standard form as follows.
y + 2 z w n y& + wn2 y = Gu ( t )
&& (11.5)
If the Laplace transform of the output y(t) is Y(s) and that of the input u(t) is U(s), then by taking
the Laplace transform of both sides of the Eq. (11.5), we have,
y + 2z wn y& + wn2 y ]+ = L{Gu(t )]
L[ &&
Þ s 2 Y ( s ) + 2 z wn sY ( s ) + wn2 Y ( s ) = GU ( s )
Þ [ s 2 + 2 z wn s + wn2 ]Y ( s ) = GU ( s ) (11.6)
Y (s) G
Þ G( s ) = = 2
U (s) s + 2 z wn s + wn2

Fig. 11.5 A schematic diagram of a second order system showing transfer function

11.5 SOLVING FOR THE OUTPUT RESPONSE BY THE USE OF

LAPLACE TRANSFORM
Most of the system’s input-output relationships are expressed utilizing the differential equations (Refer
Chapter 10). There are requirements to solve the differential equations in order to obtain the output
response. Laplace transform is an extremely versatile technique for solving ordinary differential
equations. The transform is considered as a useful and powerful tool for dealing with a wide variety
of initial-value problems. It transforms the difficult differential equations into simple algebra problems
in which the solutions can be easily obtained. Inverse Laplace transform is then applied to retrieve the
solutions of the original problems.
Let us again consider a SISO, linear, time-invariant first order system. Its transfer function G(s) is
given by G / ( t s + 1) .
Now Y(s) can be obtained from the following equation.
G
Y (s ) = U (s ) (11.7)
t s +1
Therefore, the output response, y(t) is:

y (t ) = L-1 F G U ( s )I (11.8)
H t s +1 K
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Transfer Function and Frequency Response

11.5.1 Step Input to the First Order System

If a step input u0 is given to the first order system, the Laplace transform of the output is:
1 LM OP
Y (s) =
Gu0 1 FH IK
=U t
1
=U 1 - 1
MM P (11.9)
( t s + 1) s s( s + ) s s+ 1
t N t PQ
Since the Laplace transform of a step function is u0/s. U = Gu0.
Taking the inverse Laplace transform of the Eq. (11.9), the time domain output response, y(t) can
be obtained. Thus,
LM R| 1 1 U|OP - t
-1
y ( t ) = L [Y ( s )] = L
-1
MMU S| s - s + 1 V|PP = U(1 - e t
) (11.10)
N T t WQ
11.5.2 Ramp Input to the First Order System
If a ramp input u0 is given to the first order system, the output can be written as,
Y ( s ) = G( s )U ( s )

Gu0 1 t
LM
t
OP
Y (s) = 2 =U 2 - + (11.11)
s ( t s +1) s s s+
MM1 PP
Nt Q
2
Since the Laplace transform of a ramp function is u0 / s . U = Gu 0 .
Taking the inverse Laplace transform of the Eq. (11.11), the time domain output response, y (t) can
be obtained. Thus,
LM R| 1 U|OP -
t
-1 -1
y ( t ) = L [Y ( s )] = L MMU S| s -t + t V|P = U(t - t - t t ) (11.12)
2
s 1
N T s+
t WPQ
Example 11.1 The transfer function of a first order system is given by,
10
G( s) =
s +2
Find out the output response by using Laplace transform method if the following signals are applied
at the input.
(a) A step signal of 5 units
(b) A ramp signal with slope 5.
Solution
(a) Let y(t) be the output response in time domain. Let Y(s) be its Laplace transform. Let the input
be denoted as u(t) and its Laplace transform be as U(s). Since the input is a step signal of
5 units, its Laplace transform becomes, 5/s.
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Now, the output response is,

y ( t ) = L-1 ( G( s )U ( s ) ) = L-1 F 10 ´ 5 I = L F 25 - 25 I = 25 - 25e
-1 -2 t
H s +2 s K H s s +2 K

Fig. 11.6 Output response of a first order system

(b) The Laplace transform of the ramp input with slope 5 is given by 5/s 2. Now, the output response
is,

y ( t ) = L-1 (G( s )U ( s )) = L-1

10FH´
5
= L-1 2 IK
50 FG IJ
s + 2 s2 s (s + 2) H K
= L-1 2 - FH
25 12.5 12.5
+ IK
= 25t - 12.5 + 12.5e -2 t
s s s+2
Output response

300

200

100 25t − 12.5 + 25e−2t

Time

Fig. 11.7 Output response of a first order system

11.5.3 Step Input to the Second Order System

If a step input u0 is given to the second order system, the output response can be derived by using
Laplace Transform as follows. The Laplace transform of the step input is u0/s. Now,

Y ( s ) = G ( s )U ( s ) =
G FH u IK = Gu
0
0
1
(11.13)
s + 2 z w n s + w n2
2
s s ( s + 2 z wn s + wn2 )
2
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Transfer Function and Frequency Response

By partial fraction, 1 / {s( s 2 + 2 z wn s + wn2 )} can be written as,

1 1 A B C
2 2
= = + + (11.14)
s( s + 2 z wn s + wn ) s( s + x1 )( s + x 2 ) s s + x1 s + x2

where, x1 = z wn + wn z 2 -1 and x 2 = z wn - wn z 2 -1 . A, B and C are calculated as follows:

1 = A( s + x1 )( s + x 2 ) + Bs( s + x 2 ) + Cs( s + x1 ) s=
s 0
=- x1
s=- x2

1 1 1
This gives, A= , B= and C = (11.15)
x1 x 2 x1 ( x1 - x 2 ) x 2 ( x 2 - x1 )
Eq. (11.13) can, thus be written as,
RS 1 +
Y ( s ) = Gu0
1
+
1 UV
T x x s x
1 2( x - x )( s +
1 x ) 1x (2x - x )(1s + x ) W2 2 1 2
(11.16)
=
Gu R 1
S - x
0 1 2
-
x 1 UV 1
x x T s ( x - x ) (s + x ) ( x - x ) (s + x ) W
1 2 2 1 1 1 2 2
Taking the inverse Laplace transform of the Eq. (11.16), the time domain output response, y(t) can
be obtained. Thus,

y ( t ) = L-1 [ Y ( s )] =
Gu0 RS
1-
x2 -
e x1t -
x1 -
e x2 t
UV (11.17)
x1 x 2 T( x 2 - x1 ) ( x1 - x 2 ) W
11.5.4 Ramp Input to the Second Order System
If a ramp input u0 t is given to the second order system, the output response is given by,
G u0
Y ( s ) = G( s )U ( s ) = (11.18)
s + 2z wn s + wn s 2
2 2

By similar approach, the time domain output response, y(t) ramp input can be derived (left to the
students), which is,
RS
y ( t ) = L-1 [Y ( s )] = Gu0 t -
x2 -
e x1t +
x1 - x + x2
e x2 t - 1
UV (11.19)
T x1 ( x 2 - x1 ) x 2 ( x1 - x 2 ) x1 x 2 ) W
11.6 FREQUENCY RESPONSE OF THE SYSTEMS
The behaviour of the system can be studied by knowing the frequency response of the system. In
fact, frequency response is the behaviour of an output of a system to a sine variation input. The
frequency response is used to know how the dynamic behaviour and hence the system variables
depend on the frequency of the periodic input variation. Precisely, it is necessary to know at which
frequencies the system gets disturbed. Frequency response based analysis method is mainly employed
for steady state analysis of the system. The method is important because, if we know the frequency
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response then it is reasonably easier to predict the response of the system to any input due to the fact
that the excitation signal which is a sinusoidal waveforms have the elegant property that they can be
combined to form other (non-sinusoidal) waveforms. Moreover, engineers often design systems with
particular frequency characteristics. There, they need a system that is capable of handling certain
frequencies of the input signal.
Frequency response is defined as the ratio of the steady state phasor output to the phasor input
where the output and input may either be a voltage or a current signal. Mathematically, the general
form of frequency response is written as,
vout
H ( jw ) = (11.20)
v in
H ( jw ) is referred to as the frequency response of the system and it is a complex function. Since
H ( jw ) is a complex function or phasor, conveniently it can be written as,
H ( jw ) = H ( jw ) e f ( jw ) (11.21)

where, H ( jw ) = [ H R ( jw )]2 + [ H I ( jw )]2 , called the magnitude of the frequency response in which,
H R ( jw ) and H I ( jw ) are the real and imaginary parts of the complex function H ( jw ) respectively.
f( jw ) is referred to as the phase angle, which is given by,

f( jw ) = tan-1
FG H ( jw) IJ
R
(11.22)
H H ( jw) K
I
If the phase angle is negative then it implies that the output lags behind the input. Eq. (11.21) is
referred to as what is called the general form of representation of the frequency response.
Compare the Eq. (11.1) with the Eq. (11.20). The relationship between the frequency response and
the transfer function is,
Y ( jw )
H ( jw ) = G( s ) s = jw = (11.23)
U ( jw )
Earlier it was mentioned that, the input test signal is always sinusoidal in nature. Under this
circumstance the frequency response is referred to as ‘sinusoidal frequency response’ or simply the
frequency response.

11.7 FREQUENCY RESPONSE OF THE FIRST ORDER SYSTEMS

Consider a first order linear, time-invariant, SISO system represented by the transfer function as,
G
G( s) = (11.24)
ts + 1
From Eq. 11.23, the frequency response can be written by substituting jw in place of the complex
variable ‘s’,
G
H ( jw ) = (11.25)
t ( jw ) + 1
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Transfer Function and Frequency Response

Now, the magnitude H ( jw ) , and the phase angle f ( jw ) , of the frequency response can be found
out to be,
2 2
H ( jw ) = G F 1 I + F wt I = G
(11.26)
H 1+ w t K H 1+w t K
2 2 2 2
1 + w2t 2
f( jw ) = tan -1 (-wt ) = -tan -1 ( wt ) (11.27)
Since the angle is negative the output signal lags behind the input with an angle tan-1 ( wt ) . This is
represented in Fig. 11.8.
vi (t) = sin (2πft) v0(t) = H ( jw) vi (t)
Input Output

First order system Time

Time
1
Input (sinusoid) τs + 1 Output

Fig. 11.8 Output lags input

Equation (11.26) and Eq. (11.27) states that if the input to a first order system, described by the
transfer function, given in Eq. (11.24) (or corresponding frequency response function given in Eq.
(11.25)), is sinusoidal signal with peak amplitude unity, i.e. u( t ) = sin( wt ) , then at steady state the
output becomes,
G
y ( t ) = H ( jw )u( t ) =
2 2
k
sin wt - tan -1 ( wt ) p
(11.28)
1+ w t
It is observed that both magnitude and the phase angle (given in the Eq. (11.26) and in Eq. (11.27)
respectively) of the output (given in Eq. (11.28)), is a function of the input frequency, w.

11.7.1 Bode Plot

A graphical approach is usually the easiest way to analyze the frequency response. There are several
ways to do, but the method suggested by H. W. Bode is particularly useful. A Bode diagram, helps to
quantify how well the output follows the input by showing the relationships between input and the
output. Bode’s method consists of plotting two curves. They are:
· The gain versus frequency plot/diagram and
· The phase angle versus frequency plot/diagram.
The magnitude is plotted as gain and is normally expressed in decibel, abbreviated as dB, where
each 20 decibel increment represents a factor of 10 in amplitude ratio. The phase is plotted in degrees.
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The frequency is normally expressed in radians/sec (w) rather than cycles per second (f ). The gain
and the phase are plotted linearly along the y axis on graph paper that has several cycles of a log scale
on the x axis. Each cycle represents a factor of ten in frequency. This special paper is known as
semilog graph paper. Bode diagrams are also plotted on log-log graph paper so that a wide range of
frequencies and amplitude levels can be diagrammed.
The Bode diagrams of the above first order system can be derived as follows. The log of the
magnitude of the frequency response is,

20 log( H ( jw ) ) = 20 log
FG G IJ = 20 log(G) dB - 20 logd i
1 + w 2 t 2 dB (11.29)
H 1 + w2t 2 K
For simplicity, assume G = 1, then the Eq. (11.29) is reduced to -20 log 1 + w 2 t 2 dB . For the d i
values of the frequencies w = 1 / t , 10 / t , 100 / t and so on, the log of magnitude of the system
becomes, 0 dB, - 20 dB, - 40 dB , and so on. This signifies that for every decade of w the magnitude
decreases by 20 dB.
The sole parameter characterizing this system is its time constant t. At low frequencies the gain is
flat and unity, or 0 dB. As frequency increases the gain rolls off inversely with frequency, decreasing
20 dB per decade (a factor of 10 in frequency), which results in a straight line on semilog graph paper
with a slope of –6 dB per/octave. The frequency w = 1/t is called the break frequency of the system
described by 1 / ( jtw + 1) . Qualitatively the break frequency is defined as the point of interaction of
the two asymptotes as described in the Fig. 11.5. Similarly, the phase angle versus excitation
frequency curve can be plotted. From the Eq. (11.29), for frequencies w = 0 , 1 / t , and ¥, the phase
angle becomes 0, – 45° and 90°. A typical bode plot of the first order system has been illustrated in
Fig. 11.9.

11.8 FREQUENCY RESPONSE OF THE SECOND ORDER SYSTEMS

Like wise, the frequency response of the second order system can be derived. Consider a second
order linear, time-invariant, SISO system represented by the transfer function,
G
G( s ) = (11.30)
s + 2 z wn s + wn2
2

For simplicity, assume G = w n2 . From Eq. (11.23), the frequency response of the second order
system can be written by substituting jw in place of the complex variable ‘s’, thus,
1 1
H ( jw ) = = (11.31)
FG j w IJ 2
F w IJ +1
+ 2z G j
LM1- FG w IJ 2
OP + 2z FG j w IJ
H wKn H wK n MN H w K
n PQ H w K n

Now, the magnitude H ( jw ) , and the phase angle f ( jw ) , of the frequency response can be found
out.
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Fig. 11.9 Typical Bode Diagram of a first order system (a) Frequency versus gain curve
(b) Frequency versus phase angle curve

1 1
H ( jw ) = 2
= (11.32)
FG j w IJ F w IJ +1 F1- w I + F 2z w I
+ 2z G j
2 2

H wKn H wK
n
GH w JK GH w JK
n n

F 2z w I
G w JJ
f( jw ) = tan G -
-1 n
(11.33)
GG 1- FG w IJ JJ
2

H Hw K K
n
Since the angle is negative the output signal lags behind the input by that angle.
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Equation (11.32) and Eq. (11.33) states that if the input to a second order system, described by the
transfer function, given in Eq. (11.30) (or corresponding frequency response function given in
Eq. (11.31)), is sinusoidal signal with peak amplitude unity, i.e. u( t ) = sin( wt ) , then at steady state the
output becomes,
R| F 2z w I U|
1 | -1
GG w JJ |
sin S wt - tan
JJ V|
n
y ( t ) = H ( jw )u( t ) = (11.34)
FG1- w IJ + FG 2z w IJ ||
2 2 GG 1- FG w IJ 2

H wK H wK T
n n
H Hw K n K |W
It is observed that both magnitude and the phase angle (given in the Eq. (11.32) and in Eq. (11.33)
respectively) of the output, is a function of the input frequency, w. The Bode diagram may be plotted
for the second order system. The log of the magnitude of the frequency response is,
1
20 log( H ( jw ) ) = 20 log
FG1 - w IJ + FG 2z w IJ
2 2 2

H wK H wK 2
n n
2 2
F w I F wI
= -20 log G 1 - J + G 2z J
2
(11.35)
H wK H wK 2
n n
LF w I F w I O
2
= -10 log M G 1 - J + G 2z J P
2 2

MNH w K H w K PQ
2
n n

At low frequencies, the ratio w/wn is small, i.e.

lim w
( 20 log ( H ( jw ) ) ) = -10 log(1) = 0 (11.36)
®0
wn

The above equation suggests that at low frequencies the asymptote is a horizontal line with
magnitude 0 dB. At higher frequencies, the ratio w/wn is considered large. The term w2/w 2n is therefore,
considered as the dominant term in the log-magnitude Eq. (11.35). Preserving this term the log-
magnitude equation can be approximated to,
w4 w
20 log( H ( jw ) ) » -10 log = -40 log (11.37)
wn4 wn
The above equation implies that at high frequency the slope of the asymptote is –40 dB per decade.
The two asymptotes (low frequency and high frequency) intersect at a break frequency of w/wn.
Taking the damping ratio z as parameter, the Bode diagrams, i.e. the gain versus frequency and
phase angle versus frequency of a typical second order system has been plotted in the Fig. 11.10 and
in the Fig. 11.11, respectively.
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Transfer Function and Frequency Response

20

Asymptotes
10 1
Gain in dB

−0
2
3
4
− 10

− 20 1; ζ = 0.1
2; ζ = 0.5
− 30 3; ζ = 1.0
4; ζ = 5.0

− 40

− 50

− 60
0.05 0.1 1 w 10
Normalised frequency
wn

Fig. 11.10 Bode Diagram (Frequency versus Gain) of a typical second order system

At low frequencies, the log-magnitude (gain) is zero. For overdamped situation, i.e. for values
z > 1, the log-magnitude decreases with frequency. For the values z < 1, on the other hand the gain
has peaks, which are referred to as resonant peak around w / wn = 1 or w = wn . The frequency at
which resonance occurs is called resonant frequency. The gain then, decreases (for z < 1) to zero at
higher frequencies. The resonant peaks are greater for lower values of z. Some systems such as
electronic filters, tuners, etc. are designed around the resonant frequencies to take some frequency
matching advantage, but in some applications such as in mechanical systems, the resonance is mostly
prevented.

11.9 POLE-ZERO PLOT

Pole-Zero plots are considered as another way of visualizing the system. The pole-zero plot allows us
to gather information about the system at hand. Poles are defined as the complex frequencies that
make the overall gain of the system to infinite. Zeros are complex frequencies that make the overall
gain of the transfer function zero. The pole-zero locations offer much information about the system.
The transfer function may be obtained from the dynamics of the system described by the
differential equation. Let us consider a linear, time-invariant nth order SISO system described by the
following input output model equation.
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Mechatronics: Principles, Concepts and Applications

90

45

−0
1
2
Phase angle in degrees

− 45 4

− 90 1; ζ = 0.1
2; ζ = 0.5
− 135 3; ζ = 1.0
4; ζ = 5.0 3

− 180

− 50

− 60
0.05 0.1 1 10
w
Normalised frequency
wn

Fig. 11.11 Bode Diagram (Frequency versus phase angle) of a typical second order
system

dny d n -1 y dy dku d k -1u du

an 2 + a n - 1 n -1 + ... a1 + a0 y = bk k + bk -1 k -1 +
... b1 + b0 u (11.38)
dt dt dt dt dt dt
where, an , an-1 ... a1 , a 0 , bk , bk -1 , ... b1 , b0 are the constants. The input and output are u(t) and y(t)
respectively. In most practical situations, usually k < n. Since we do not consider initial conditions
while deriving for the transfer function, the input-output Eq. (11.38) can be written as,
an s n Y ( s ) + an -1 s n -1Y ( s ) + ... + a1 sY ( s ) + a0 Y ( s )
(11.39)
= bk s k U ( s ) + bk -1s k -1U ( s ) + ... b1 sU ( s ) + b0U ( s )
Now the transfer function, H(s) is,
Y (s ) b s k + bk -1 s k -1 + ... b1 s + b0
H (s) = = kn (11.40)
U ( s ) an s + an -1 s n -1 + ... + a1s + a0
From the above equation it is concluded that the transfer function is a ratio of two polynomials.
The numerator polynomial is bk s k + bk -1 s k -1 + ... b1 s + b0 and the denominator polynomial is
an s n + an -1s n -1 + ... + a1s + a0 , The polynomials are simply algebraic relational of the variable s. Just
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Transfer Function and Frequency Response

replacing the derivatives of the input-output equation with the corresponding power of s, we can form
the polynomials. It is essentially convenient to factorize the numerator and denominator polynomial in
order to visualize the poles and zeros of the system. The system’s transfer function represented in the
Eq. (11.40) can therefore, be written as,
( s - z1 )( s - z2 ) ... ( s - zk -1 )( s - zk )
H (s) = G (11.41)
( s - p1 )( s - p2 ) ... ( s - pn -1 )( s - pn )
where, G = bk / a n ; z1 , z2 ... zk are called the zeros of the system, which are the roots of the equation
bk s k + bk -1 s k -1 + ... b1 s + b0 = 0, derived from the numerator polynomial and p1 , p2 ... pn are called the
poles of the system, which are the roots of the equation an s n + an -1s n -1 + ... + a1s + a0 = 0, derived
from the denominator polynomial. As already stated poles and zeros make the overall gain of the
system to infinite and zero respectively, i.e.
lim s®zi H ( s ) = 0 ; and lim s®pi H ( s ) = ¥ (11.42)
Pole-Zero plot is a plot of poles and zeros in the complex s-plane. A complex plane is a plane whose
axes represent the real and imaginary part. Usually, the pole and zero are represented by small circle
(O) and cross (X) respectively. Figure 11.12 illustrates the poles-zeros plot of a typical third order
system with transfer function given by
H ( s ) = { ( s - 4 )( s -1) } / { ( s - 2 )( s - (-1 - 3 j )( s - (-1 + 3 j ) }.

Fig. 11.12 The pole-zero plot of a typical third order system

The system has two real poles at –1 and –4, three zeros at –2, –1 –3j and –1 +3j. Note that two of
the zeros are complex and conjugate to each other. Bear in mind that pole-zero plot is the another way
of representing the system, since the plot has been obtained from the transfer function, which in turn
derived from the input-output relationship. Thus the pole-zero plot can provide information about the
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Mechatronics: Principles, Concepts and Applications

system. Depending upon the nature of the system, and hence the transfer function, the poles and
zeros can appear at any point of the s-plain. The poles and zeros could be real or complex. The
important information that can be obtained from the pole-zero plot is as follows.
Poles appearing in the right half of the s-plane signifies that the output response would contain a
component of exponentially increasing oscillatory signal and the system becomes unstable. That is if
a system has a positive real pole (right half of the s-plane) then there is a component at the output,
which increases with time causing the system unstable. On the other hand, a pole appearing in the left
half of the s-plane signifies stable system. If the poles are far from the origin in the left half of the
s-plane, the output decays rapidly.

· Control systems are characterized by their frequency response functions for which mostly they
are treated as frequency selective components. That is the output of the system depends on the
frequency of the input signal.
· The relationship between the outputs with respect to frequency-varying input is represented as
a plot, which is commonly known as the frequency response plot.
· More appropriately, frequency response is the behaviour of an output of a system to a sine
variation input. It is the ratio of the steady state phasor output to the phasor input where the
output and input may either be a voltage or a current signal.
· Frequency response is a means to estimate the system performance in terms of determining the
bandwidth of the system and the disturbance rejection.
· The transfer function is a ratio of Laplace transform of the output to the Laplace transform of
the input, assuming initial conditions are zero.
· From engineering point of view most of the system’s input-output relationships are expressed
utilizing the differential equations.
· A Bode diagram, helps to quantify how well the output, follows the input by showing the
relationships between input and the output. The magnitude is plotted as gain and is normally
expressed in decibel, abbreviated as dB, where each 20 decibel increment represents a factor of
10 in amplitude ratio. The phase is plotted in degrees.
· Poles are defined as the complex frequencies that make the overall gain of the system to infinite.
Zeros are complex frequencies that make the overall gain of the transfer function zero.
· Poles appearing in the right half of the s-plane signifies that the output response would contain
a component of exponentially increasing oscillatory signal and the system becomes unstable.

Control systems are characterized by frequency response functions. This chapter deals with
the performance of the system with respect to frequency. This suggests the study of transfer
function in first place. The first part of the chapter describes about the transfer function of the
first and second order systems. Although higher order systems are seen, in most practical
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Transfer Function and Frequency Response

cases first and second order systems are common. For this reason, we have limited out study
within first and second order systems. At the beginning of the chapter the definition of the
transfer function and its usefulness and the frequency response curve and its applicability has
been described. The second part deals with frequency response of such systems.

LOOKING AHEAD
The theoretical base of the control systems includes the following topics.
· Modeling
· System response
· Transfer function
· Frequency response
· Feedback control
· Soft computing tool based intelligent control
The first four topics have already been covered in the previous chapters. A complete theoretical
grasp will enable the readers to fully widen their knowledge. Moreover, it can be ascertained
that the feedback control and soft computing based intelligent control designs are the core
subject areas as far as advanced control designs are considered. Chapter 12 defines, explains
and introduces many terms, techniques and concepts in light with the points mentioned. In
particular, it describes feedback control, Artificial Neural Network (ANN), Fuzzy Logic (FL),
Fault Detection and Isolation (FDI) methods and digital control scenario.

EXERCISES

11.1 Define frequency response of a system. Draw some typical frequency response curves of
various systems.
11.2 What do you mean by transfer function.
11.3 Solve the equations.
dx dy
3 + +2x =1
dt dt
dx dy
+4 + 3y = 0
dt dt
Given x = 3, y = 0 when t = 0 by using Laplace transform.
11.4 Write the transfer function of first and second order system.
11.5 Derive the transfer function of an armature controlled DC servomotor and justify its
resemblance with an integrator.
11.6 Derive the expression for obtaining the output response of a first order system from the transfer
function.
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11.7 Derive the output response if a step input is applied to a first order system.
11.8 Derive the output response if a ramp input is applied to a first order system.
11.9 A condenser of capacity C discharged through an inductance L and resistance R in series and
the charge q at time t satisfies the equation
d 2q dq q
L +R + =0
dt 2 dt c
Given that L = 0.24 H, R = 240 ohms, C = 2*10–6 farad, and that when t = 0, charge q = 0.002
coulombs and the current dq/dt = 0, obtain the value of q in terms of t.
11.10 Derive the expression for obtaining the output response of a second order system from the
transfer function.
11.11 Derive the output response if a step input is applied to a 2nd order system.
11.12 Derive the output response if a ramp input is applied to a 2nd order system.
11.13 Derive the expression for showing frequency response of a first order system.
11.14 Derive the expression for showing frequency response of a second order system.
11.15 Explain bode plot.
11.16 Draw the Bode diagram of a typical first order system.
11.17 Draw the Bode diagram of a typical second order system.
11.18 The open loop transfer function of a unit feedback control system is given by,
K
G(s ) =
s(1 + 0.1s )(1 + s )
Using Bode plot with K = 1, find (i) The gain margin and the phase margin. (ii) Determine the
value of K so that the gain margin is 20 dB. (iii) Determine K, so that the phase margin of the
system is 60°.
11.19 What do you mean by phase margin and gain margin.
11.20 Define break frequency.
11.21 Define pole-zero plot.
11.22 What is the utility of pole-zero plot?
11.23 Obtain the root locus for a unit feedback system with open loop transfer function,
K
G(s ) =
s( s 2 + 6 s + 10)
11.24 The transfer function of the forward path of a unity feedback system is
K (s + 2)
G(s ) =
s 2 ( s + 4)
(i) For K = 8 determine the stead state error when the input to the system is
r (t) = 4 – t – 2t 2 for t ³ 0.
(ii) What will be the change in steady state error if there is a +5% change in the value of K?
(iii) What will be the change in steady state error if there is a +5% change in the location of the
zero at s = –2?
 12
Principles of Feedback and
Intelligent Control

· To distinguish between open-loop and closed-loop control scheme and to draw their relative
merits and demerits.
· To define various control methods such as PID Control, adaptive control, robust control, predic-
tive control and optimal control.
· To explain intelligent control in terms of soft computing tools such as Artificial Neural Network
(ANN).
· To discuss about the Fuzzy Logic (FL) and its implementation scenario.
· To define and describe various Fault Detection and Isolation (FDI) schemes and methods keep-
ing view of a step forward to intelligent control for the mechatronic systems.
· To discuss the relative merits and demerits of digital control implementations.
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Mechatronics: Principles, Concepts and Applications

12.1 INTRODUCTION
Mechatronic systems are controlled by implementing open-loop or closed-loop control strategy. In
open-loop strategy, the control action is carried out with respect to given input called setpoint without
using any feedback from the output. Theoretically, the equivalence of the setpoint should appear at
the output, however, in practice because of the dynamic nature of the real systems, discrepancies or
deviations are seen at the output. In many systems, corrections on the discrepancies are evident.
There comes closed-loop control strategy. Closed-loop control strategy constantly monitors the
output consequences with respect to input setpoint. Consequences are measured and then corrections
are made on the basis of the difference between the system’s current state, and the desired state. The
closed-loop control method is also called feedback control.
Many fundamental methods exist in order to realize the feedback philosophy. The existing methods
are, proportionate, integral, derivative, PID (Proportional plus integral plus derivative) control,
adaptive control, robust control, predictive control, and so on.
This chapter describes principles of feedback and intelligent control. Control action such as on-off,
proportional, derivative, integral, proportional plus integral (PI), proportional plus derivative (PD) and
proportional plus derivative plus integral (PID) has been presented. The chapter also defines adaptive,
robust, predictive and optimal control methods. Intelligent control includes Artificial Neural Network
(ANN) control and Fuzzy Logic (FL) control. Introduction to ANN and FL has been given.
In order to improve the productivity and safety diagnostics and prognostics (DAP) methods have
progressively been employed within the system. In this context the chapter describes principles of
various diagnostic methods, which is also considered as a step forward to intelligent control. Further,
the chapter ends in describing the advantages of digital control strategy.

12.2 CONTROL SYSTEMS

Control is the basis of a mechatronic system. One of the most fundamental models for abstract-level
visualization of control system is the block diagrams. Block diagram based control system description
provides immediate knowledge about the implementation. The diagram provides many useful
information in terms of physical characteristics such as transfer function, input-output connectivity
etc. although, the underlying structure of the system is not specified. The simplest form of a block
diagram looks like shown in the Fig. 12.1 and Fig. 12.2. The block represents the plant or a process.
Various ways of classifying the plant are,
· Linear or non-linear
· Time-variant or time-invariant
· SISO, MIMO, MISO or SIMO (SISO and MIMO systems are commonly seen)
· Open-loop or Closed-loop configured plant
Notions of the first three items have already been covered in the previous chapters. Following
section deals with open-loop and closed-loop configured plants.

12.3 OPEN-LOOP CONTROL SYSTEMS

Figure 12.1 is an example of a block diagram of an open-loop control system. The term ‘open-loop’
comes from the fact that the output only depends on the inputs. This is a complete system by itself.
The control system takes the input from the controller in order to produce output by the action of the
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Principles of Feedback and Intelligent Control

plant. The relationship between the input and output are mentioned in terms of transfer function,
which is defined as the ratio between the Laplace transform of the output and the Laplace transform
of the input. If the output is proportional to the input, the plant is called a linear system.

System /Plant/Process
U(s) (Transfer function) Y(s)
Input Output
Y(s)
G(s) =
U(s)

Fig. 12.1 Block diagram of a system/plant/process

In a basic open-loop control system the controller takes the reference input called setpoint and
outputs a control signal to the plant or process (Fig. 12.2). This configuration is also called feed-
forward open-loop control system. The controller is designed and tuned using accurate model of the
plant. Any inaccuracy in the system model results discrepancy in the desired output response.

Controller
output
Input Open-loop Plant
PLANT/PROCESS
controller output
(Setpoint or
reference value)

Fig. 12.2 Block diagram representing open-loop control system

Figure 12.3 illustrates that if a system with transfer function G 1(s) is connected with another
system with transfer function G2(s) then the overall transfer function of the system is the product of
individual transfer functions. In general, in open-loop configuration, mathematically, the overall
transfer function of the composite system is given by the following formula.
G ( s ) = G1 ( s ) · G2 ( s ) · G3 ( s ) ... Gn ( s ) (12.1)

G1(s) G2(s)
Plant-1 Plant-2

G(s) = G1(s)G2(s)

Fig. 12.3 Equivalence of open-loop transfer function

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12.4 CLOSED-LOOP CONTROL SYSTEMS

A closed-loop control system, on the other hand, uses input as well as some portion of the output to
regulate the output. Closed-loop systems are also called feedback control systems. In feedback
control the variable required to be controlled is measured. This measurement is compared with a given
setpoint. If the error results, the controller takes this error and decides what action should be taken to
compensate to remove the error. Errors occur when an operator changes the setpoint intentionally or
when a process load changes the process variable accidentally. The error could be positive or
negative.
An automatic speed control system of a typical DC motor is illustrated in Fig. 12.4. In this example,
when the output differ from the desired speed, the error signal adjusts the field current of the motor
in order to restore the desired speed. Such a closed-loop feedback system typically uses negative
feedback. If the speed becomes faster than the desired speed a negative value results as the error
signal. The negative value causes the DC motor to reduce in speed and therefore compensate for the
excess in speed.

Fig. 12.4 A typical automatic speed control system of a DC motor

Because of feedback action, the plant produces stable output. How the stability is maintained
through feedback will be explained shortly. Prior to that, it is essential to know the terminology in
terms of block diagram of a closed-loop control system.

12.4.1 Notations
Certain features are common to all types of closed-loop control systems. These are illustrated in the
Fig. 12.5. The figure is the block diagram of a typical closed-loop control system. Every closed loop
system outputs a controlled variable y(t), which is close to some reference input value u(t). The
interference due to external load, however, will not allow to produce the desired value. This is the
inherent feature (dynamic properties) of the plant or process. In order to achieve the desired output,
the control system has to generate an error signal e(t). This error signal actually regulates the flow of
appropriate input (energy) into the controlled system in terms of yc (t) or cy (t), so as to enable the plant
to minimize the error, and thereby tries to compensate the effects of the external load or disturbances.
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Principles of Feedback and Intelligent Control

Load or disturbance

Control system

u e(t) Error yc(t)

PLANT y(t)
amplifier
Setpoint

Controlled system

Fig. 12.5 Block diagram representing closed-loop control system

The closed-loop control system must have a plant which is to be controlled. The plant is referred
to as the controlled system. The block that controls the plant (i.e. the controlled system) is called the
controller. The controller is not a physical controller that you studied in the Chapter 8. It is a
manipulation method that controls and regulates the output through feedback or closed-loop action.
The algorithm of the manipulation can be implemented in a physical controller in order to achieve the
objective, i.e. to regulate the output.

12.4.2 Reachability
Mostly automatic control systems are based on feedback model. Feedback principle suggests that the
output has to be compared to the input to produce the error signal, so that reachability can be
achieved. Reachability is the desirable or wanted output. Reachability is not guaranteed in open-loop
configuration. For which we go for implementing closed-loop or feedback control scheme.
An example is as follows. To operate an electric motor precisely at an achievable speed of r RPM,
we have to provide input signal (setpoint) of say, u units. Under every circumstance, we expect that
the motor should reach the speed r for same value of setpoint without any ambiguities or uncertainty.
However, because of the dynamic nature of the system the reachable speed may not be attended with
the same input resulting reachability problem. Dynamic behaviour refers to time-varying property of
the system. (Here the system is the motor.) In order to deal with such problems, the application of
automatic control is called for. The conventional form of automatic control is the feedback control.
The principle of feedback control is based on ‘reachability’ test. The feedback system tests the
output, i.e. if it is not the desired value (it could be either positive or negative compared to desired
value), then the error signals are generated and is fed to the system to achieve the reachability level.
When the feedback loop is added to the control system, the controller gains the ability to react to the
quality of the response of the plant output. In this way the system can have better chance of
performing as desired. This is the reason why the feedback control systems are more stable than
open-loop control system. Note that the feedback concept is fundamental to all sorts of conventional
automatic control system.
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12.4.3 Transfer function

The system shown in the Fig. 12.5 can also be described in another way in terms of block diagram
containing the transfer function of the plant and the transfer function of the feedback loop.
Let us assume that the transfer function of the feedback loop be Gf (s) (Fig. 12.6 (a)).
The overall transfer function of the feedback control system, shown in the Fig. 12.6 (b), is called
closed-loop transfer function, which can be written as,
Y (s) Gp (s)
G( s) = = (12.2)
U (s) 1 + Gp ( s )G f ( s )
where, G(s) is the overall transfer function, Gp(s) is the transfer function of the plant, Gf (s) is the
transfer function of the feedback loop.

Gp(s)
Gp(s)
U(s) Y(s) U(s) Y(s)
Plant 1 + Gp(s)Gf (s)

(b)

Gf (s)
Feedback loop

(a)

Fig. 12.6 (a) Typical feedback (closed-loop) control system (b) Overall transfer function of
the closed-loop system

12.5 THE CONTROLLERS

The controller shown in the Fig. 12.5 is merely a summing point followed by an error amplifier.
However, characteristically the controller can be of one of the following types.
· On-off controller
· Proportional controller
· Integral controller
· Derivative controller
· Proportional-plus-derivative (PD) controller
· Proportional-plus-integral (PI) controller
· Proportional-plus-integral-plus-derivative (PID) controller
In closed-loop control point of view the usefulness of these seven types of controllers comes from
the fact that their control actions are considered as the most fundamental because the plant can
adequately be controlled or alternatively the plant can be forced to attend the reachability point by
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Principles of Feedback and Intelligent Control

designing appropriate controllers among the list. The selection of the right controller for the application
depends on three factors such as,
· The degree of control required by the application
· The individual characteristics of the plants
· The desirable performance level including required response, steady-state deviation and
stability.
There is a strong need to understand the characteristics and behaviour of the above controllers in
first place.

12.5.1 On-Off Controller

This is the simplest form of control action. The action is simply a switch. The output of the controller
has two levels, ON and OFF, i.e. the output is either 100% on or 100% off. These two levels are
generated based on error signal. If the error signal is greater than zero the ON level is generated and if
the error signal is less than zero then the OFF level is generated or vice-versa. Mathematically it can be
written as yc = cON for e (t) > 0 and yc = cOFF for e (t) < 0 or vice-versa. Where, yc is the controller
output, e(t) is the error signal, CON and COFF are the two control levels for e(t) > 0 and e(t) < 0,
respectively. Figure 12.7 shows the block diagram of the on-off controller.

CON y
u e(t) yc
Plant

COFF

ON-OFF controller

Fig. 12.7 Block diagram of the on-off controller

Mostly, thermostat-based heating system uses an ON-OFF type controller. When the output is
lower than the setpoint the controller is turned on (i.e. provides an ON output), and once the output is
more than the setpoint the controller provides OFF output. The turn-ON and turn-OFF in many
situation are deliberately made to differ by a small amount, known as the hysteresis or dead-band,

Dead-band

CON
e(t) yc

COFF

Fig. 12.8 On-off controller with hysteresis or dead-band

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(Fig. 12.8) to prevent noise from switching the controller unnecessarily when the output is nearly the
setpoint. The hysteresis is designed into the control action between the points at which the control
output switches from OFF to ON. This designed in hysteresis prevents the output from switching
from OFF to ON too rapidly. If the hysteresis is set too narrow, rapid switching will occur.
Therefore, the hysteresis should be set so that there is sufficient time delay between the ON and OFF
modes of the outputs. The sensitivity of the ON-OFF controller depends on the hysteresis.

12.5.2 Proportional Controller

Proportional Control means that the plant input is changed in direct proportion to the error, e(t). This
controls the output so that the manipulated variable and the error has a proportional relation. The
controller sets the manipulated variable in proportion to the difference between the setpoint and the
measured variable (The variable to be controlled, e.g. speed of a motor). The bigger is the difference,
the greater is the change in the manipulated variable. The coefficient of deviation is called proportional
gain, Kp and is mathematically written as,
Cy ( s)
K p = Gc ( s ) = (12.3)
E(s)
where, Gc (s), is the transfer function of the proportional controller, Cy(s) is the Laplace transform of
the output of the controller, cy(t) and E(s) is the Laplace transform of the error signal, e(t). A typical
proportional controller controlling a plant (e.g. speed of a typical electrical motor) using the feedback
loop is shown in Fig. 12.9.

Desired speed
(set-point) Error Proportional Controller output Output speed
controller Plant Y(s)
U(s) E(s) (Kp)

Measured
manipulated
variable

Fig. 12.9 Schematic block diagram of a proportional controller

The advantage of proportional controller is that it is relatively easy to implement. However, the
disadvantage is that there always involves an offset in the output response causing difference between
the set-point and the actual output. Other disadvantage of proportional controller is the overshoot
problem that arises when a proportional controller is used at high gain.

12.5.3 Integral Controller

The block diagram of the integral controller is shown in the Fig. 12.10. The controller controls the
output by integrating the error signal. That is,
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Principles of Feedback and Intelligent Control

t
1
cy (t ) =
Ti 0ze ( t ) dt (12.4)

where, cy(t) is the output of the controller. e(t) is error signal and Ti is called the integral time. The
integral correction of output is performed by accumulating the deviation in accordance with time
elapsed. Eq. (12.4) can also be written in transfer function form as given below.
Cy ( s ) Ki
GIC ( s ) = = (12.5)
E(s) s
where, GIC(s) is the transfer function of the integral controller, which is the ratio of the Laplace
transform of the output to the Laplace transform of the input (the error signal) of the integral
controller. Ki = 1/Ti, is called the integral gain which is the reciprocal of the integral time. The offset
in the output, and hence the steady-state (Refer Fig. 10.2) performance of the system can be improved
by employing integral control action. But the integral action may lead to oscillatory output resulting in
poor stability.

Desired speed Integral controller

(set-point) Error Controller output
Cy(s) Ki
GIC(s) = =
E(s) s

Feedback loop

Fig. 12.10 Block diagram of an integral controller

12.5.4 Derivative Controller

Derivative controller controls the plant by providing the control signal which is the derivative of the
error signal. The transfer function of the controller can be written as,
Cy ( s )
GD ( s ) = = Kd s (12.6)
E( s )
Kd is the constant of proportionality, usually referred to as derivative time, or simply derivative gain.
The derivative action improves the transient performance of the plant. However, derivative control
has poor steady-state performance.

12.5.5 Proportional-Plus-Integral Controller

In short, the proportional-plus-integral controller is referred to as PI controller. The PI controller
controls the plant by providing the control signal which is the combination of proportional and integral
action over the error signal. As stated earlier, the integral control improves the steady-state
performance. On the other hand, the integral action may lead to oscillatory output and hence has poor
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stability, which is not really desirable. Combining proportional and integral action the two constants
such as Kp and Ki can be adjusted in order to optimize the system performance or the output response
according to the requirement. The transfer function of the PI controller is,

GPI ( s ) =
Cy ( s)
= Kp 1+ FH Ki IK = K FG1 + 1 IJ
p (12.7)
E(s) s H Ts K i

12.5.6 Proportional-Plus-Derivative Controller

Proportional-plus-derivative controller is commonly abbreviated to PD controller. The stability and
hence the performance of the system can be improved by employing derivative action along with
proportional action into the control system.
Adding a term proportional to the time-derivative of the error signal can take the edge off the
overshoot problems that arise when a proportional controller is used at high gain. The transfer function
of the PD controller is,
Cy ( s )
GPD ( s ) = = K p (1 + K d s ) (12.8)
E( s )

12.5.7 Proportional-Plus-Integral-Plus-Derivative Controller

Proportional-plus-integral-plus-derivative controller is popularly known as PID controller. This is a
method, where the reachability can be addressed effectively and efficiently. The transfer function of
the PID controller is,
Cy ( s ) Ki
GPID ( s ) = = Kp + + Kd s (12.9)
E (s ) s
where, Kp, Ki and Kd are called proportional, integral and derivative gains of the controller,
respectively. These gains are also called PID parameters. Figure 12.11 illustrates the block diagram of
a PID controller.

Kp

Desired speed
(set-point) Error Ki Controller
s output

Kd s

Feedback signal

Fig. 12.11 Block diagram of a PID controller

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12.5.8 Comparison
PID method is appropriate when the process or system is linear and time-invariant. It looks at the
current value of the error, the integral of the error over a recent time interval, and the current derivative
of the error to determine not only how much of correction to apply, but for how long. Of course, PD
control deals precisely with the overshoot problems associated with proportional control but it does
not alleviate the problem with the steady-state error. It is possible to overcome this problem by adding
an integral term to the control function.
In summary, the characteristics of P, I, and D controllers are such that a proportional controller
(Kp) has the effect of reducing the rise-time but never eliminate the steady-state error. An integral
action (Ki) has the effect of eliminating the steady-state error, but it may make the transient response
worse. Finally a derivative control (Kd) has the effect of increasing the stability of the system, reducing
the overshoot, and improving the transient response.
The PID based feedback control strategy requires proper tuning of PID parameters in accordance
with the system dynamics and response requirement. Because Kp, Ki and Kd are dependent of each
other, during tuning process, changing of one of these parameters can change the effect of the other
two. For this reason, tuning of PID controller needs considerable attention.
If the system dynamics change due to, for example, load change, environmental burden etc., the
PID controller (Hereafter, it can be said PID controller, since this method implements PID-based
reachability control scheme) has to be re-tuned. That is, the time-variant system necessitates a need
for changing the controller tuning parameters to achieve satisfactory system performance. In
practice, although PID tuning is inexpensive, the implementation is time-consuming.

12.6 MORE ABOUT AUTOMATIC CONTROL

While advocating automatic control, in practice many fundamental methods exist in order to realize
the feedback philosophy and theory. However, the important point to be considered is the fact that
how effective a method is as far as implementation is concerned. The methods are:
· PID Control
· Adaptive Control
· Robust Control
· Predictive Control
· Optimal Control and
· Intelligent Control
The scope of this book is to deal only with P, I, D, PI, PD and PID based automatic control
actions, which were presented in the previous section. Some introductory idea on the basis of
intelligent control will be given at the end of this chapter. With regard to Adaptive, Robust, Predictive
and Optimal control, the students are advised to read appropriate references for a comprehensive
study. However, this chapter provides only definitions on these control methods.

12.7 DEFINING AUTOMATIC CONTROL METHODS

Adaptive control is another feedback method, which is characterized by self-adjustment, unlike
PID, of its characteristics in a changing environment so as to operate the system in an optimized
manner. In adaptive control method the controller learns about the system dynamics by acquiring data
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from the process itself and keeps on updating the existing mathematical control model. In order to
achieve this, a program, called parameter estimator, which continuously monitors the process and
estimates the process dynamics is run. An algorithm is used to generate controller parameters from
these estimates. The controller then sends the required command signals to the plant or process. The
important feature of an adaptive controller is the structure of the model used by the parameter
estimator to estimate of process dynamics, according to some specified criteria. The process can be
modeled by a set of mass balance equations, whose quantities can be measured directly.
The reliability or robustness issue of any control implementation can be addressed by the
robust control method. The robust control design method assumes the knowledge of the system
dynamics and the range of variation. Robust control is applied in the application areas where the
process dynamics are known, and the variation ranges for uncertainty is readily obtained.
Predictive control method implements controller algorithm based on a typical predictive model
of the system. The algorithms compute a sequence of manipulated variables in order to optimize the
future behaviour of a plant. Based on historical knowledge, the model predicts the output, as well as
the input. Predictive control, is also called Model Predictive Control (MPC).
The optimal control method is based on the state equation and initial condition of the process/
plant. The control algorithm starts with the initial conditions, and arrives at the objective setpoint. A
transformation with regard to state is achieved in an optimized manner. The method can govern
strategies for maximizing (optimizing) a performance measure, as the transformation of the dynamic
system evolves from the initial condition.
Intelligent control incorporates biological information processing method and Fuzzy theory.
Biological information processing method includes Neural Network, Genetic Algorithm and Immune
Network. The chapter deals with Artificial Neural Network (ANN) and Fuzzy logic (FL). ANN is a
computing method that uses the principle of natural neural network (NNN). Fuzzy control is built on
mathematical foundations with Fuzzy Set Theory. There are different meanings of intelligent control
even depending upon the application domains. However, widely accepted definition of intelligent
control is that it is normally referred to as ‘soft computing’ based control implementation. The
definition of soft computing, according to Professor Lotfi A. Zadeh is:
“Soft computing differs from conventional (hard) computing in that, unlike hard computing, it is
tolerant of imprecision, uncertainty and partial truth. In effect, the role model for soft computing is
the human mind. The guiding principle of soft computing is to exploit the tolerance for imprecision,
uncertainty and partial truth to achieve tractability, robustness and low solution cost. The principal
constituents of soft computing are fuzzy logic (FL), neural network theory (NN) and probabilistic
reasoning (PR), with the latter subsuming belief networks, genetic algorithms, chaos theory and parts
of learning theory. What is important to note is that soft computing is not a mixture of FL, NN and
PR, rather, it is a partnership in which each of the partners contributes a distinct methodology for
addressing problems in its domain. In this perspective, the principal contributions of FL, NN and PR
are complementary rather than competitive.”
In the following two sections, we will deal with the basics of neural network and fuzzy logic
respectively.
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12.8 ARTIFICIAL NEURAL NETWORK

Biological systems, such as human beings, can be regarded as the ultimate distributed information
processing system. And these have emerged to provide various practicable ideas to engineering fields.
The main information processing system in the living organisms are neural system and genetic system.
Natural brain consists of nerve cells, which together with the dendrites and the axon, constitutes
neuron, a small unit that provides an output only when the sum total of the input exceeds its threshold
level. A neuron can receive and send out signals to neighbouring neurons in the form of electrical
pulses. Each neuron has fibre-like dendrites around it. The dendrites and axon are like electrical links
which serve to conduct incoming and outgoing signals to the neurons respectively. A cut down
description of the operation of a neuron is that it processes the electric currents, which arrive on its
dendrites and transmits the resulting electrical currents to other connected neurons using its axon. A
simple explanation of the processing step is that the neuron sums up the incoming signals and
produces an output signal only if this sum exceeds some threshold. If the total input signal is large
enough, the next neuron will be triggered. Although a baby takes birth with a complete set of neurons,
the connections between them are determined only through the learning process. External stimuli
arrivals coming in the form of electrical currents from the sensory elements cause patterns of impulses
to be set up. The external stimuli arrivals are significantly important in determining what network set
up is to be made. The brain is constantly re-structuring the connection set up to cope with passing
experience. With this background knowledge of Natural Neural Network (NNN), we will start to
study Artificial Neural Network (ANN), which has been considered as the metaphoric idea for
intelligent, control. ANN has become an engineering tool for the process of information.
ANN is a complex communication network of artificial neurons. The entire network can be
considered as a group of computers or processors. The neuron, called node (artificial neuron), is a
simplified representation of a real neuron which fires to the next layer if it receives a sufficiently
strong input signal from the other nodes to which it is connected. The strength of these connections
may be varied in order for the network to perform different tasks corresponding to different patterns
of node firing activity. Their computational power depends on working together on any task. For this
reason the ANN is sometimes termed as the basis of parallel processing. ANN is thus a form of
multiprocessor computing system, with:
· Elemental and simple processing elements
· High degree of interconnections
· Adaptive interaction between the elements
At the core of the neural computation, there exist the concepts of distributed, adaptive, and
nonlinear computing. Neural networks perform computation in a very different way than conventional
processors, where a single central processing unit sequentially dictates every piece of action. Neural
networks are built from a large number of very simple processing elements that individually deal with
pieces of a big problem.
A circle as shown in the Fig. 12.12 represents the processing element, the neuron, called node. The
inputs are represented by xn. Each of the input is multiplied with corresponding connection ‘weight’
wn . The sum of the inputs (Eq. 12.10) is calculated to generate the result and then output.
y k - j = å x i wi (12.10)
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x1

x2 w1
w2
x3
w3

xiwi Output
Inputs x4 w4

w5
x5
wi
wn
xi

xn

Fig. 12.12 A single neuron

The structure of a neural network looks something like shown in Fig. 12.13. Basically, all artificial
neural networks have a similar structure as far as topology is concerned. Some of the neurons
interface the real world to receive its inputs, and other neurons provide the real world with the
network’s outputs. There are three layers in this network. Although, the NNN structure is a three-
dimensional one, but in this case, we would concentrate only on planner layers. Out of three layers,
the last layer is called output layer providing two outputs y1 and y2. The first layer is called input layer
and has four inputs x1, x2, x3 and x4. The output layer in this case has two nodes, representing output
values, which are determined from the inputs.
Input layer Hidden layer Output layer

x1

x2 y1

x3 y2

x4

Fig. 12.13 A typical ANN layers

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How these layers get connected may vary. There may be many middle layers, with a variable
number of nodes, depending upon the task at hand. The middle layers are called hidden layers, in
which the real processing is done. Each node in the hidden layer must be connected to the inputs. The
hidden layers are made to learn taking all inputs together. These are the layers where the network
learns interdependencies in the system. The developer sets out the network through an iterative
process in terms of trial and error in the design decisions before coming up with a satisfactory design.
This is called network training. During learning process, the network tries to predict the correct
output for each set of inputs by gradually reducing the error. Many algorithms have been proposed for
accomplishing this, but they all involve an iterative search for the proper set of weights that will do the
best job as far as accurate prediction of outputs are concerned. Algorithms, sometimes referred to as
‘learning law’, is simply the mathematical rule for modifying the weights of a network iteratively
according the inputs. The design issues in neural networks are complex and are the major concerns of
system developers. The whole design process can be summarized as:
· Arrange neurons in layers.
· Decide the type of connections among neurons for different layers, as well as among the
neurons within a layer.
· Decide the way a neuron receives input and produces output.
· Determine the strength of connection within the network by allowing the network learn the
appropriate values of connection weights by using a training data set.
The main application areas of ANN are:
· Automation and process control
· Image processing
· Speech and pattern recognition
· Machine diagnostics and prognostics
· Biomedical instrumentation and health care
· Laboratory research
· Business
· Quality control

12.9 FUZZY LOGIC

Real-world uncertainties are of two types such as stochastic uncertainty and fuzziness. Until now, you
are familiar with stochastic uncertainty, which has only two levels such as true or false. This
uncertainty is called a two-valued logic system because the outcome of the stochastic event is either
true or false. Where the event is not well defined, the outcome may be given by a quantity other than
true or false, but rather fuzzy. There comes fuzzy logic (FL). The outcome in presence of fuzziness
is quantified by a degree of belief. FL system is called soft linguistic system. The meaning of soft
linguistic behaviour of FL is understood as follows.
The sentence in natural language such as ‘It is large’ is difficult to realize in two-valued artificial
world. Fuzzy Logic (FL) uses more than two levels in terms of what is called soft language. For
example, ‘hot’, ‘big’, ‘tall’, etc. which at the same time belong partially to more different,
contradictory sets of values, can be synthesized by the use of soft language. FL provides for the
superficial manipulation of such terms. FL is basically a multi-valued logic that allows intermediate
values to be defined between two extreme values, say, 0 and 1. For instance, completely ‘hot’ or
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completely ‘cold’, completely ‘big’ or completely ‘small’, completely ‘tall’ and completely ‘short’,
etc. can be defined and manipulated mathematically and subsequently processed by physical
controllers. In summary, FL attempts to implement fuzzy notions in order to realize human-like way
of thinking or deciding the facts. The implementation of such notion within the artificial world is
referred to as Artificial Intelligence (AI).
The FL can be exploited to implement modern control schemes to advocate AI. As far as control
system is concerned, FL based implementation solve many types of control-related decision problems,
especially where ambiguity, vagueness or imprecise information is common.
FL incorporates a simple, rule-based IF ‘a’ AND ‘b’ THEN ‘c’ approach to solving a control
problem rather than attempting to model a system mathematically. FL has been becoming a powerful
problem-solving methodology implemented in a myriad of applications ranging from simple, small
control system to large information processing system.

12.9.1 Fuzzy Set and Degree of Membership

The very basic notion of FL systems is a Fuzzy Set. An example is as follows.
Consider a set of all real number between 0 and X. Let the set be ‘R’. This set is called global set.
Then define the subset ‘r’ of ‘R’ of all real number in the range of global set. Let the range of ‘r’ be
from x1 to x2. The fuzzy set ‘r’ may be defined through a function m r: R ® [0, 1] that maps the
elements of the global set ‘R’ into [0,1]. This function is known as Membership Function of a fuzzy
set. If the range is restricted to two values ‘0’ and ‘1’, then it is called Characteristic Function. A
Characteristic Function assigns a number 0 or 1 to each element in ‘R’ depending on whether the
element is in the subset ‘r’. Which means that if the Characteristic Function assigns a value ‘1’ then
the element is in ‘r’, and if the function assigns a value ‘0’ then the element is not in ‘r’. In FL system,
the membership function is usually considered. Figure 12.14 illustrates the degree of membership
function.
The multivalued fuzzy logic offers soft statements that are partially satisfied to a degree from the
unit interval [0,1]. Consider the following notations. It implies that for every element x in the global set
R, the membership function quantifies the degree to which the property P(x) is satisfied. (Fig. 12.14).
R = {x in r |P(x) = “ x close to x0”} (12.11)
FL is a structured, model-free, estimator that approximates a function through linguistic I/O
associations. A typical FL based control system consists of rule based, membership functions, and an
inference procedure. The FL model is empirically based, relying on an operator’s experience rather
than their technical understanding of the system. The main difference between the traditional and FL
based control implementation is that in case of former, the controller algorithm is developed based on
the model of the plant. If the plant needs to implement a PID controller, the PID algorithm has to be
developed. This, in turn, needs tuning of parameters in order to achieve appropriate I/O relationships.
On the other hand, no modeling is necessary in case of FL based implementation. Only formulation of
algorithm is done using fuzzy rules, which describe the principles of the controller’s regulation in
terms of the relationship between its inputs and outputs. The general procedure is to:
· Define the objectives of the control
· Define the relationship between the input and output
· Segmenting the entire control problem down into a series of IF ‘a’ AND ‘b’ THEN ‘c’ rules
that should define the desired output for given input conditions. The number and complexity of
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mr
1

0
x1 x2

mr
Degree of
1
membership
0.75
0.5
0.25
0
x1 x0 x2

Fig. 12.14 Membership functions of a two different types of fuzzy sets

rules depend on the number of input parameters that are to be processed and the number of
fuzzy variables associated with each parameter.
· Creation of FL membership functions that define the values of the I/O terms used in the rules.
Mainly FL based control is employed in the complex applications where,
· No simple mathematical model is available
· The processes are highly nonlinear
· The processing needs formulation of soft linguistic expert knowledge
A schematic diagram of FL based control implementation is illustrated in Fig. 12.15 (b). Using the
conventional approach (Fig. 12.15 (a)), the first step is to study the physical system and its control
behaviour and requirements. Based on the system study, the model of the plant is developed which
includes the sensors and actuators signal (I/O) and their interactions. Then the control theory is
applied in order to implement the simple and basic controller and their parameters. This step implies
writing of the algorithm for the controller. Finally, the simulation and testing is carried out in order to
tune the controller to nullify the effects of non-linearity, noise, etc. If the global algorithm did not
provide satisfactory I/O behaviour, modification is inevitable, i.e. remodeling, re-design of the
controller and re-writing of the algorithm have to be done iteratively. However, in FL based
implementation the control algorithm is directly implemented based on plants inputs and outputs
relationship through fuzzy rules.
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System study
System study

Define the control functions Define the control functions

Classical plant modeling Implement using FL

Controller selection and control algorithm Simulation, testing, refinement

Simulation, Testing, Refinement

(a) (b)

Fig. 12.15 (a) Conventional control realization (b) FL based control realization

FL based strategy simplifies the design loop. This results in some significant benefits, such as
reduced development time and simpler design. Advantages, which can be gained from the FL based
control implementation, can be attributed to the following:
· Simpler and faster design methodology
· Reduces the design development phases
· Simplifies the complexity involved in design process
· Solution to nonlinear control system
· Control performance can be improved
· Overall control implementation is efficient compared to conventional control
Some FL applications include:
· Intelligent robotics
· Autonomous navigation, tracking and planning
· Automation control systems
· Complex industrial processes featuring nonlinear characteristics
· Machine vision, machine diagnosis systems
· Sensor fusion
· Consumer electronics such as household and entertainment electronics
· Information systems, speech and image processing
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12.10 DIAGNOSTICS
Diagnostics has become a fundamental requirement within the real-time mechatronics technology. As
target application (Target applications is a plant/process/system) becomes more complex and more
costly to build and maintain, preventive maintenance measures become increasingly important. There
is currently a great need for systems to automatically predict, detect, and diagnose faults. Devices
such as sensors, actuators, valves and switches are integral parts of the target application. Because of
interaction and co-operativeness amongst the devices, any malfunction within any device has an
effect on other devices and/or on overall control functions. Therefore, detection and isolation of faults
within the system is important. The detection and isolation of fault is defined as diagnostics and
prognostics (DAP). Prognostic measure helps to estimate the time remaining before machine
breakdown occurs. In addition to control, if the Fault Detection and Isolation (FDI) features are
incorporated into the system then the system is said to be self-diagnostic system.
The terms FDI and DAP are used interchangeably. FDI incorporates sophisticated methods,
techniques and tools for on-line, continuous monitoring of the target application. FDI scheme involves
continuous analysis of operational point and the detection of problems before the unit or component
fails to operate. The diagnostics is carried out by measuring the detection parameters by the use of
sensors, and other equipment. The detection parameters are vibration, thermal deformation, fracture,
crack, bend, lubrication, wear, degradation factor and so on. The effect of FDI implementation in the
mechatronic systems is significant. In particular,
· The location, type, time, size and the nature of the faults can be quickly identified.
· Reliability can be improved reducing maintenance requirements.
· Production loss becomes low and overall productivity becomes high.
· The life of the machine and the auxiliary components increase.
· Safety and regulation policy can be met.

12.10.1 Mathematical Description of Process and Faults

A schematic diagram of a process is shown in the Fig. 12.16 and its mathematical description is
expressed in Eq. (12.12).
Faults
N

U Process Y + dY

X + dX P + dP

Fig. 12.16 A typical process influenced by faults. U = input; y = output;

X = process state variables; P = process parameters;
N = disturbance parameter.
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Y = f (U, N, X, P ) (12.12)
where, U(t) and Y(t) are measurable input and output signals, N(t) is disturbance signal (noise), P(t)
is slowly varying process parameters and X(t) time dependant process state variables and are non-
measurable parameters. The faults make a change in P(t) and in X(t) to produce P(t) + d P(t) and
X(t) + d X(t) respectively.

12.10.2 FDI Phases

Two main subtasks are involved in implementing FDI techniques as shown in Fig. 12.17. Failure
detection that indicates that something abnormal has happened in the system. Failure isolation is the
ability to distinguish between specific faults and isolating the component that has failed.

Detection Isolation

Fig. 12.17 The FDI sub-tasks

Concern in the design of fault detection algorithm is detection performance, which implies first and
accurate identification of failures. The detection performance is measured in terms of isolability,
sensitivity and robustness.

12.10.3 FDI Approaches

Two classes of faults are seen in the systems, additive and multiplicative. Additive faults are of two
types, additive measurement and additive process faults. Additive measurement faults result due to
discrepancies between the measured and true values of the I/O signal, where as additive process
faults are zero during normal operation, but entered unexpectedly and affect the operation.
Multiplicative faults are those, which describe the deterioration of the units, components and
equipments. As far as design scenario of FDI is concerned, there exists three approaches such as:
· Statistical approach
· Model-based
· Other approaches
Statistical approach Statistical parameters such as mean value, standard deviation, variance,
density function etc. of the available output signals are used for the development of FDI algorithm.
The simplest approach is to measure the mean square value of the parameters (vibrations for instance)
with respect to time, since this is expected to increase. By treating the parameters as a random
variable, other higher order statistical moments, cumulants and measures such as the crest factor are
used as features.
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Model-based Figure 12.18 illustrates a schematic diagram of a model-based approach. The

method that relies on a quantitative mathematical relation between the I/O is called model-based
technique. Model-based fault detection depends only on the availability of a mathematical model of the
plant. The procedure of using model information to generate signals to be compared with the original
measured quantities is known as analytical redundancy, which implies that additional signals are
generated and compared with the measured quantities. The primary objective of the model-based
technique is to generate residuals. Residuals are the image of the fault, i.e. they possess the knowledge
about the fault. There are many ways of generating the residuals such as state estimation or parameter
estimation method of residual generation.
Information processing technique involved in the analytical redundancy are mostly of two types,
direct residual estimation from I/O and state estimation based residual generation using Kalman filter
or by an observer. The key idea in the state estimation approach of residual generation is to check the
consistency of the mathematical equations of the system by using the actual measurement. In the
context of a parameter estimation the process fault in the system could change the physical
parameters such as armature resistance and inductance, magnetic flux, viscous friction, dry friction
etc. in case of an actuator, for example. Model-based techniques have been very popular since long
and this implementation is applicable to all types of technical processes including machineries.
Actuator fault
Sensor fault
Process modelling error + Noise

U Process
Actuator dynamics Sensor

Model of
Model of observer
nominal system
Model of
system faulty
system
State Estimation
∑ Observer method Parameter
∑ Detection filter Estimation
∑ Parity space

Residual generator

Decision Maker
∑ Decision function generator
∑ Fault decision logic

Fault time, size, cause, location, type

Fig. 12.18 General architecture of model-based diagnostics

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Other approaches Other FDI approaches are,

· Limit-checking,
· Hardware-installation of special sensors,
· Fusion,
· Spectrum comparison,
· Expert system based (H/W & S/W), and
· Artificial Immune Network (AIN)
Limit checking is a simple form of FDI scheme that uses the threshold level (s) of the signal.
In some systems special sensors are implemented in order to detect and isolate specific faults. For
instance, the high-speed spindle systems (rotating at a speed beyond 40,000 RPM) sometimes use
very costly capacitive sensors for detecting and compensating the level of unwanted vibration of the
spindle shaft.
When multiple sensors (at least three) are configured into one and voting technique is used to
isolate the faults, it is referred to as fusion-based FDI. (Note that data-fusion is something different,
primarily used in weather forecasting systems, navigation etc). Fusion scheme is usually applied to
detect fault in the sensory systems.
Spectrum analysis schemes are employed in systems where process parameter measurands have a
typical frequency spectrum under normal operating situation. In many cases, the spectrum changes
when faults occur. Any abnormality, on the spectrum would indicate failure symptoms. System
spectra of both normal and that of a faulty one are compared and abnormality is recognized as fault.
Spectrum analysis schemes are employed by using Fourier Transforms (FT), Short Time Fourier
Transform (STFT) and Wavelet Transforms (WT) tools. Expert systems are employed based on
heuristic knowledge.
Recently a study on Artificial Immune Network (AIN) based fault diagnosis of plant systems have
been carried out. The main task of the immune system is to detect and/or eliminate the non-self
materials called antigens such as virus and cancer cells, which come from inside and outside of the
system. The study states that the immune network is a system level recognition system and has
interesting features such as learning mechanisms and so on, and therefore can be used to detect and
isolate faults from the systems.

12.10.4 Merits and Demerits

Statistical methods work well within communication systems and are rarely applied to dynamic
machinery systems because the I/O signals of such systems are not strongly stationary rather they are
nearly stationary. The possible sources of errors and ambiguity in model-based approaches are:
· Formulation of mathematical model is quite complex.
· The modeling uncertainties and disturbances to the system must be encountered.
· Detection of relatively small faults, which develop over time is not so easy.
· The approach involves computation of transfer functions delaying the diagnostics.
Although limit checking is simple and very useful for CNC machines, the scheme is used for
specific applications. With regard to hardware installed special-sensors based diagnostics costly
sensory devices are employed. Moreover, the implementation of this method is considered to be
application specific and therefore, not a generalized solution.
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Fusion and expert system based solution is a step forward to sensor-based approach with additional
hardware and software.
FT based spectrum analysis does not solve the purpose of detection and isolation of all type of
faults since it is applicable to only stationary signals. STFT, on the other hand, an alternative method,
however, inherits problems in terms of fixed-resolution based computation ability and the problem of
uncertainty. That is it is impossible to know what spectral component exists at any given time instant.
Wavelet based signal analysis methods have been rapidly evolving in FDI applications. Wavelet theory
is relatively new and they have been successfully employed in many applications considering the plant
measurements as a typical frequency spectrum under normal operating conditions.
In the context of AIN-based diagnostics, so far several methods have been proposed to realize the
phenomena of the immune system from the standpoint of mathematical analyses. In practice, little, or
no attention, however, has been paid.

12.11 ANALOG VERSUS DIGITAL CONTROL

Analog control system uses OPAMP and other analog devices to control the plant. Digital control
system has already been in use due to the advent of VLSI technology, soft computing, and parallel and
distributed technology. Microprocessor or microcontroller based control implementation is under
digital control system. Both analog and digital technology based control solutions have their own
advantages and disadvantages.
The advantages that are gained form analog implementations are:
· Analog system has high bandwidth (BW) and high resolution.
· Signal conversion from analog to digital equivalent is not required.
· Control functions can be used directly.
· Analysis and design methods are simple and well known.
The drawbacks are:
· High temperature drift.
· Special hardware design.
· Cannot implement the complex intelligent controller besides implementing lead-lag or PID
controller
· Sensitive to all sorts of noise.
· Communication capability is limited.
On the other hand, the advantages in implementing digital control scheme are:
· Digital control systems inherit programmable solution.
· Configurable, scalable and extendible (adaptation, modifications, upgradation can be achieved) .
· Less sensitive to noise.
· Advanced control algorithm such as state feedback, adaptive control, etc. can be implemented.
· Sensor less operation.
· Additional auxiliary control functions such as monitoring, FDI, validation, protection, testing,
can be incorporated in order to improve operational range.
· Standardized communication capability.
· Storage ability.
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12.11.1 Programmability
One of the important features of the digital control technology is that it uses a processor that facilitates
programmability. This, in turn, eases the realization problem. The same controller can be used for
various applications just by changing the program code. Of course, similar philosophy can be adopted
in implementing OPAMP based analog devices. That is, depending upon the nature of plant, different
control circuit could be realized. But the problem is that OPAMP based realization is more hardware
oriented, whereas microcontroller-based realization is software or embedded technology oriented.
Software oriented realization or implementation is robust, reliable, productive and flexible, since they
are programmable.

12.11.2 Configurability
Configuration refers to physical as well as logical connections amongst various devices of the control
system. The devices are sensors, actuator, controllers, etc. The meaning of physical connection is
self-explanatory. The logical connection involves much more, which can be understood after studying
the last chapter. Digital control technology improves logical connectivity that refers configurability.
Scalability and extendibility refers to its ability to grow from a small. In many situations, the
previously implemented control scheme entails modifications as and when requirement demands. The
control system may need another feedback loop in order to achieve greater performance. With digital
control technology, modifications are easier compared to analog counterpart.

12.11.3 Noise Immunity

The digital control technology to some extent is immune to noise. The effect of noise can be efficiently
reduced using error correcting codes or distortion eliminator.
One of the ways of implementing the error correcting code is as follows. Instead of sending one
pulse, at least three equivalent pulses are sent. At the receiving end, the existence of pulse ‘1’ or ‘0’ is
determined by majority voting. In the Fig. 12.19 (a), a four bit data, i.e. 1001 has been shown. ‘1’
represents a pulse, ‘0’ represents no pulse. The equivalent error detecting code has been shown in the
Fig. 12.19 (b). Three pulses are generated representing one pulse during the same time slot. During
transmission, if error occurs because of noise, at least probability of receiving the correct signal will
increase.
In another case a distortion eliminator has been put into place. If the amplitude of the pulse gets
distorted, as shown in the Fig. 12.19 (c), it can be forced to attend the pulse level. It is not possible in
case of analog implementation since the analog signal does not have any levels of quantised nature.

12.11.4 Automatic Control

With regard to control theory, controls are of two types, open-loop and closed-loop control. Feedback
control scheme are closed-loop and are stable. When state variables are used in order to provide
feedback signals, then it is called state feedback control systems. Adaptive control is a philosophy in
which the control itself changes its tuning parameters while operating. The point of discussion is that
the feedback and adaptive control require relatively good amount of computing power and necessary
peripheral units. Digital control technology makes it easy to implement state feedback and adaptive
control.
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1011

Slot-1 Slot-2 Slot-3 Slot-4

(a)

Three pulses are generated in order to represent one pulse

(Error correcting code)

(b)

Original digital signal

Quantised level

Noise introduced during transmission Quantised level

Distortion
Input Output
eliminator

(c)

Fig. 12.19 Digital control technology is immune to noise

A control system in its basic nature is represented in Fig. 12.20. The plant may be an electric motor
in this typical motion control system. This motor could be an actuator for actuating the robot arm.
The digital control technology can implement either state feedback or adaptive control algorithm for
controlling the robot arm.
In this typical example, two types of feedback sensors are used to provide the feedback signal. One
group of sensors provides signals collected from the mechanical variables such as position, speed,
acceleration, torque, force, etc. while the other set of sensors provides signals collected from
electrical variables such as voltage, current, resistance, flux, etc.
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Electrical variables Mechanical variables

Voltage Position
Current Speed
Resistance Acceleration
Flux, etc. Torque
Force, etc.
Sensor Sensor

Power
Power Plant Load
converter

Digital
control

Fig. 12.20 A typical control representation

12.11.5 Sensor-Less Control

In a feedback system, sensors are used to provide feedback signals for error correction. Because of
the high computing power of the microcontroller the feedback signal can be derived, or estimated,
from the process variables. For example, in a typical motion control system, the sensors for measuring
position, speed and flux can be eliminated, and the equivalent feedback signals can be estimated from
the electrical variables. This type of control implementation is called sensor-less control system.

12.11.6 Auxiliary Functions

A full-fledged advanced control system has to incorporate auxiliary functions such as display, storage,
monitoring, protection, diagnostics and prognostics as illustrated in Fig. 12.21. The blocks drawn
inside the dotted box shows the schematic diagram of a typical control implementation scenario. Data
acquisition and processing block converts the raw sensor signal to digital signal. The processing
includes, amplification, noise filter, and A/D converter. Power circuit and interface provides power to
the electronic circuits and units. Communication unit interfaces the operating system block and the
external peripheral devices, which may reside at remote place. The operating system block
characterizes system logic and Real-time Operating Systems (RTOS). RTOS includes control code
along with management functions, which are usually stored in the storage devices. The system logic
can be realized through microprocessors or microcontrollers in conjunction with software.
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Fig. 12.21 Auxiliary functions of the control systems

12.11.7 Communication
Digital control technology provides standardized communication capability. USART (Universal
Synchronous/Asynchronous Receiver and Transceiver), USB (Universal Serial Bus), RS-232, 422,
485 are the suitable acceptable interfaces for data communication. Many microcontrollers provide
USART and other standardized physical layer model interface such as USB, RS-232, RS-422, RS-485
for data transaction. The digital control technology also facilitates efficient, flexible and reliable storage
capability.
The limitations in digital control technology are:
· Data converter is required
· Sampling, resolution and quantisation error persists
· Analysis and design methods are complex
· Delay due to computation
· Truncation errors can affect the control precision
Since digital control technology deals with digital data, all analog signals must be converted to
digital form, which requires analog to digital conversion methods. Analog to digital conversion is
achieved at the expense of time and additional circuits. Further, the digital system inherits problems
with sampling speed and quantisation error. Faster sampling rate is desirable in order to avoid aliasing
(see Chapter 2). Resolution can be improved and quantization error can be minimized by reducing the
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step size. But, error always stays with digital technology. These errors affect the disturbance rejection
limits. The digital control technology involves delay, as the program code has to be processed or
executed in order to take action. Moreover, digital system always possesses truncation errors that
arise from the rounding off the value.

· A run-time mechatronic system is a control system.

· The control systems are represented by the block diagrams.
· The ratio between the output and the input is called the transfer function of the plant. If the
output is proportional to the input the plant is called linear system.
· In the open-loop control implementation output only depends on the inputs. A closed-loop
control system on the other hand, uses input as well as some portion of the output to regulate
the output. Closed-loop control systems are called feedback system.
· Reachability is defined as the desirable output.
· Feedback principle suggests that the output has to be compared to the input to produce the
error signal in order achieve reachability.
· Some of the existing control methods are, PID control, adaptive control, robust control,
predictive control and optimal control.
· The principal constituents of soft computing are fuzzy logic, neural network theory,
probabilistic reasoning, genetic algorithms, chaos theory and learning theory.
· Intelligent control usually refers to implementation of soft computing methods.
· Biological systems such as human beings can be regarded as the ultimate distributed information
processing system and has emerged to provide various practicable ideas to engineering fields.
· Artificial Neural Networks (AIN), are a paradigm for computing. ANN is a complex
communication network of artificial neurons. The entire network can be considered as a
computer or processor. For this reason the ANN termed as the basis of parallel processing. At
the core of the neural computation there exists the concepts of distributed, adaptive, and
nonlinear computing.
· There are two basic types of uncertainty that is present in real-world situations. They are
stochastic uncertainty and fuzziness. The outcome of a stochastic event is either true or false.
Fuzzy Logic (FL) is a logic system that uses more than two levels in terms of ‘soft’ language.

This chapter deals with open loop, closed loop, intelligent and feedback control scheme along
with diagnostics methodologies. The control principle such as Proportional and Integral,
Proportional-Integral and Derivative etc. have been discussed. The chapter also focuses the
relative merits and demerits of digital control implementations. Introduction to soft-computing
tools such as ANN and FL have been presented.
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LOOKING AHEAD
Although intelligent control to some extent refers to implementation of soft computing methods,
but in practice it is much more than this perception. In response to pressing need the present
scenario of intelligent control is more involved in terms of self-diagnostics and validation. Next
chapter deals with topics on self-assessment and validation of I/O components and machine
systems. The beginning the chapter introduces a design philosophy called component-based
design methodology. Component-based design methodology can adapt the principle of
distributed intelligent design principle.

EXERCISES

12.1 Introduce the control systems.

12.2 With neat block diagram, explain open-loop and closed-loop control systems.
12.3 What do you understand by reachability.
12.4 State and explain open-loop and closed-loop transfer function.
12.5 Enlist various types of control actions.
12.6 The open-loop transfer function of a unity feedback control system is given by,
K
G(s ) =
s(1 + Ts )
(i) By what factor should the gain be multiplied so that the damping ratio is increased from 0.2
to 0.8?
(ii) By what factor the constant T should be multiplied so that the damping ratio is reduced
from 0.6 to 0.3?
12.7 With suitable notations, discuss the principle of control actions of the following controllers.
· On-off controller
· Proportional controller
· Integral controller
· Derivative controller
· Proportional-plus-derivative controller
· Proportional-plus-integral controller
· Proportional-plus-integral-derivative controller
12.8 Write short notes on:
· The effect of feedback
· Difference between regular and servomechanism
· Correlation between time and frequency response
12.9 Briefly discuss about the automatic control methods.
12.10 What do you mean by soft computing?
12.11 Give a brief idea on neural network of a biological system.
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12.12 Give an illustration how the neural network concept has been adopted in the engineering
domain.
12.13 What do you mean by a neuron and neuron layers?
12.14 Write down various stages of design process.
12.15 What are the main applications areas of ANN?
12.16 Comprehensively discuss about the fuzzy logic.
12.17 Explain the fuzzy set and degree of membership.
12.18 What are the main applications areas of FL.
12.19 With a suitable diagram distinguish between the conventional control realization and FL based
control realization.
12.20 Why is diagnostics is essential in mechatronic systems?
12.21 Draw the block diagram of a process influenced by fault.
12.22 Write down the phases of fault detection and isolation.
12.23 What approaches does the FDI scheme adopts? Elaborate.
12.24 Draw the general architecture of a model based FDI scheme.
12.25 How are spectrum analysis and limit value checking used in detection of faults? Give some
examples.
12.26 Draw some relative merits and demerits of various FDI schemes.
12.27 Comprehensively discuss about the analog and digital control methodology.
12.28 What are the advantages gained in implementing digital control system over its analog
counterpart?
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Development Tools and Concepts

· To describe the fundamental building blocks of the computers.

· To distinguish various types of memories within the computing systems.
· To draw relative merits and demerits of various communication ports and slots of typical IBM
compatible PC type computers.
· To explain the role of various types of operating systems and their features.
· To define different types of software such as compiler, language tool, simulation software,
MATLAB, CAD/DAM, DBMS, driver software, etc.
· To discuss about the object-oriented methodology and client-server architecture.
· To study computer networks and ISO/OSI layers.
· To introduce industrial computers.
· To describe CCS and DCS and their implementation scenario.
· To introduce fieldbus technology.
· To study LAN and to differentiate between computer network or data network, (e.g. LAN) and
control network (fieldbus technology).
· To introduce web-based monitoring and control.
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13.1 INTRODUCTION
Computer has become a vital tool as far as design and development of mechatronic systems are
concerned and using a computer to automate the system design has been a goal. Computer ascertains
almost all activities in every stages of design and development process. A computer is composed of
hardware and software. In order to provide computer assisted automated environment the computer
must be equipped with control interface, appropriate software tools and systems, and nevertheless the
active control devices. The active control devices are sensors, actuators, signal conditioning units,
microprocessors and microcontrollers, Data Acquisition (DAQ) cards, etc.
This chapter deals with the basics of computer in terms of its hardware, communication interface,
software types and related systems. The chapter also describes various aspects of design and
development concepts. All of these have been described under the following headings.
· General purpose computer and industrial computer (IC).
· General purpose operating system (GPOS), real-time operating systems (RTOS), Distributed
Operating Systems (DOS) and the role of device drivers.
· The definition of database management system (DBMS), Computer Aided Desing and
Computer Aided Manufacturing (CAD/CAM).
· Client-server (CS) architecture and object oriented (OO) methodology in the context of
software design.
· Computer network and distributed control system (DCS).
· Fieldbus technology standards.
· Web-based monitoring and control.

13.2 COMPUTER
A computer often called a machine is an electronic device that accepts information and manipulates it
for result. It follows explicit directions from the programmer, who develops programs (a logical
sequence of instruction). Fundamentally, it executes instructions. Computer handles instructions
flawlessly and fast. Simply, it is more than an extremely powerful calculator but interfaced with
additional dedicated external Input/Output (I/O) peripherals and accessories, with sophisticated
functions. Theoretically, each instruction tells the computer to add, subtract, multiply, divide, or
compare two things to provide desirable result by the use of machine codes. The following is the
definition of a computer.
“A computer is an electronic device for the fast, accurate processing of data or information under
the control of a stored logical sequence of instructions called a software program.”
It is common to see the word ‘software program’ within the computer field. In this text, ‘software
program’, ‘software’ and ‘program’ will be used interchangeably.

13.2.1 Basic Units

Basically, all computers, regardless of their size, have similar general design which consist of the
following essential units and circuitry.
· The Central Processing Unit (CPU),
· Memory
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· Input and Output devices

· Communication slots and ports
· Electronic circuits
· Clock
The CPU, some part of the memory, the communication slots and ports and all the electronic
circuitry are put together on a Printed Circuit Board (PCB), called the system board or motherboard.
Remaining parts of the memory are external to the motherboard, but logically connected. A schematic
diagram of a computer is shown in the Fig. 13.1.

Input devices CPU

Output Output devices
Input Control unit
Keyboard Monitor
ALU
Mouse Printer
Registers
Other devices Other devices
Ports
Other auxiliary units

Data out Data in

Memory

RAM (SRAM, DRAM)

ROM (PROM, EPROM, EEPROM)
Floppy disk
Hard disk
CD ROM

Fig. 13.1 A schematic diagram of a typical computer

13.2.2 CPU
The main task of a computer is to get data, process it and generate a result. The task, which is simply
processing, is the most important job of the computer and achieved through a Central Processing Unit
(CPU). The CPU is a microprocessor, a semiconductor VLSI (Very Large Scale Integrated Circuit)
chip and is considered as the brain of the computer system because it performs all the processing. It
contains transistors, diodes and resistors which are interconnected appropriately to form the
functional blocks such as, control units, ALU (Arithmetic and Logic Unit), Registers, Ports, Buffers,
Accumulator, Program Counter and other auxiliary units such as memory controller, interrupt
controller, etc. The electronic connections among the functional blocks within the chip allow the
operand to be compared to one another combined with one another and stored according to a program
that processes or manipulates the data or information into a new form, which becomes the ‘output’.
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The microcomputer is a computing system that usually has a single CPU. The CPU of the
microcomputer is mounted on the motherboard in a metal or plastic package and connections are
welded to external pins. The CPU is accessed only through these pins. Personal Computer (PC) and
large computer systems can have many processors and controllers, for which they are called
multiprocessor systems.

13.2.3 Electronic Memory

Electronic memory is a place where the computer stores the programs and data. It consists of an
array of storage units called locations, all of equal length. The arrays are numbered in sequence. The
assignment of numbers to each storage unit (location) in the array is called addressing, and the
number itself is called its address. The storage unit can accommodate instructions, data, operand etc.
as bytes (a byte is 8 bit in length) or words (16 bit in length). Each location can individually be set to
either of two states of the machine language, represented as 0 and 1, constituting either a program (set
of instructions), data and/or operand.
When a program is run, each instruction in the sequence is fetched from memory and executed
within the CPU. An instruction after being executed can direct the control unit (a unit inside the CPU;
Refer Chapter 8) to fetch its next instruction either from the next location or from an address other
than the next location in the memory. In this way, different sequences of instructions can be executed.
This makes it possible to execute instruction sequences conditionally and iteratively.
There are several kinds of electronic memories for storing program and data. Broadly, there are
three basic types of storage medium,
· Semiconductor
· Magnetic
· Optical
Semiconductor memories Semiconductor memories includes RAM (Random Access Memory)
and ROM (Read Only Memory). Conventionally, in a computer, RAMs refer to simply memory or
buffers. Semiconductor memories are usually kept on the motherboard.
The computer loads the application program or data into the memory (RAM) in order to use them.
The amount of RAM in the computer is crucial in that it determines how many programs can be run,
and how much data is available for each program. The RAMS are generally available in the order of
megabytes. As an indicator, a Personal Computer (PC) can have minimal amount of RAM of 16MB.
RAM does not retain information when the power is turned off. That is, the values stored in the RAM
disappear when the computer is turned off.
ROM stores data permanently. Data is hard-wired into the ROM chip. ROM is a non-volatile
memory. System data (computer’s own data) are usually stored in the ROM. The BIOS (Basic Input
Output System) of the computer is stored on it because the user cannot disrupt the information. The
BIOS is the central nervous system of a computer. It handles all the housekeeping work required to
keep the computer operating. The BIOS is the first thing that operates when the computer is turned
on.
Magnetic Memory Commonly used magnetic memories are floppy disk and hard disk. Floppy
disks, or simply the diskettes are called portable memory. Data can be easily stored and transferred to
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other places, usually to the memory of another computer, by using the floppy disk. The floppy drive
is a hardware and software unit by using which the data is written and read into the floppy disk.
The common computer has a hard disk on which the operating system, application programs,
information and data are stored. Hard disks on current PC have a storage capacity in the order of
gigabytes (GB). Generally, hard disks are less portable than floppy disks. Hard disks hold more data
and have faster accessibility than diskettes. The hard-drive is a hardware and software unit by using
which the data is written and read into the hard disk.
The magnetic memories retain information when the power to the computer is turned off.
Therefore, hard disk and the floppy disk are the places where we can store programs, information and
data relatively permanently.
CD Compact Discs (CD), also called optical disc, have been successful with regard to storage of
bulk of digital data. They use most popular digital format for the storage and retrieval of programs,
information and data. The data are stored permanently. CDs, rely on LASER (Light Amplification by
Stimulated Emission of Radiation) technology to read and write the data on the discs. Blank CDs are
available in which data can be written using CD writer. Blank CDs are called writable CDs.

13.2.4 Input/Output Devices (Peripherals)

The act of ‘taking in’ the information or data into the computer is called input. Output on the other
hand, is everything that we derive out of the computer program. The input/output devices or simply
I/O devices facilitate the input/output operations. I/O devices, in the context of computer systems are
mouse, keyboard, monitor, printer, scanner, DAQ card, modem, etc. (From control schematic the
I/O devices usually refers to sensors and actuators). I/O devices are also called peripheral devices.

13.2.5 Communication ports and slots

Communication ports and slots are the interface through which the Input/Output (I/O) devices are
linked with the CPU residing on the motherboard of the computer. The international bodies standardize
the ports and slots in order to facilitate interoperability. Interoperability refers to the interaction of
hardware and software components of the system at all levels. Following ports and slots are usually
seen in a PC system.
· Serial port
· Parallel port
· ISA and PCI slots
Serial port Serial port is considered as the integral part of most of the computers. Many external
connections to the computer is made through the serial port. Serial port constitutes a standard
connector and protocol (A protocol defines a strategy for transmission of data) to accomplish digital
data transmission between the computer and the external I/O devices, such as modem, mouse, printer,
and so on. The connector for a serial port can be either 9 pins or 25 pins.
The name serial communications comes from the fact that each bit (In digital communication the
signal represents a stream of bits) of data is transferred in series from one location to another through
a single line. The serial port can take 8, 16 or 32 parallel bits from the computer and convert it as an
8, 16 or 32 bit serial stream of data respectively. RS-232, RS-422, RS-485 and USB (Universal Serial
Bus) are the some of the standards as far as transmission of serial digital data in a computer
environment is concerned.
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RS-232 defines both the physical and electrical interface. RS-232 uses a single wire for data
transmission. For which it is called a single-ended data transmission interface. Although, RS-232
standard solves many serial communication problems, it is not suitable in every situation, while taking
into account of speed, length, noise, etc. It is relatively slow, for which it has been used for simple
devices such as keyboards and mouse.
Logically, a serial link would only need two lines, a signal line and a ground. But, in practice it
requires more lines to encompass reliable transmission system. For instance, bits might get lost during
transmission, leading to unreliable communication. The reliability must be addressed. Indeed, various
communication methods have been devised in order to overcome the bit error; one of the method
being the provision of having additional signal carrying lines.
The RS-422 is considered as an expansion of the RS-232 serial communication standard. The
limitations of RS-232 are largely eliminated by RS-422 standard. The design is intended for achieving
reliable, relatively higher speed and longer distance and noise free serial transmission system. RS-422
is a balanced line interface, in which a pair of wire is used to carry the signal instead of a single wire.
The two wire based balanced transmission is suited for the environment, where there is a difference
between the ground potentials at the transmitter and the receiver. The data is encoded at the
transmitting end and decoded at the receiving end as a differential voltage between the two lines. The
differential mode has the advantage that the transmission is unaffected by differences in ground
voltage between the transmitter and the receiver, because the potential difference affects both wires
equally. LAN networking systems such as Ethernet, Token Ring, etc. uses balanced line interface
systems.
The RS-485 is another sophisticated standard meant for serial data transmission. RS-485 is an
upgraded version of the RS-422 standard. RS-485 is often used in applications where a system needs
to control multiple devices using a share cable. The computer can be connected to several addressable
I/O devices that may share the same RS-485 cable.
The Universal Serial Bus (USB) interface standard is relatively a recent development which provides
two-way communication between the computer and the peripheral devices, making it ideal for many
I/O applications. The USB gives an easy-to-use way to connect up to 127 devices to a computer. The
I/O devices such as DAQ card (see below), digital cameras, modems, speakers, printers, scanners,
mouse, telephones, can be connected to the computer through USB.
Parallel port: The parallel port interface as the name suggests, makes it possible to transfer and
receive data between the peripheral devices and the computer. In a PC system the parallel port is
specifically designed to attach printers, but it can be used as a general input/output port for any device
or application that matches its input/output capabilities. The devices could be a scanners, CD-writers,
external hard drives, network adapters, etc. Moreover, PC based instrumentation, data acquisition and
control can be achieved through the parallel port. The port has 12 TTL-buffer output points, which
are latched and can be written and read under program control using the processor ‘In’ or ‘Out’
instruction. There is one input that can also be used to create a processor interrupt. This interrupt can
be enabled and disabled under program control.
ISA/PCI The acronym of Industry Standard Architecture is known as ISA. It is an interface
standard, which is referred to as ISA slot, ISA socket, ISA bus or ISA port. It defines the physical,
electrical and communication parameters for an easy interface to build computer-based development
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Development Tools and Concepts

system. The outside world can be connected, predominately through this slot/socket/bus/port. The
ISA bus configuration had originally been developed by IBM, however, later on IEEE (Institute of
Electrical and Electronics Engineers) officially recognized it as a standard. ISA conformant Printed
Circuit Board (PCB) containing electronic circuits, designed for achieving bi-directional
communications between the computer and the outside world is referred to as add-on card. ISA
cards can be of either 8-bit or 16-bit wide. The slot can be used for Data Acquisition (DAQ) and
control applications. Add-on cards especially designed for computer-based data acquisition and
control applications are called DAQ cards. The readily available specially designed DAQ cards for
specific DAQ and control applications, for example monitoring and control of speed of the electric
motor, condition monitoring of a machine and so on, can be plugged into the computer for action. The
DAQ card usually consists of I/O port, A/D converter, D/A converter, Real-time clock, and even
sometimes a microprocessor or microcontroller.
In 1992, the Peripheral Component Interface (PCI), a contemporary standard evolved into a viable
replacement for the ISA bus. Presently, PCI conformant communication is seen as the most
commonly used method for adding add-on and hence DAQ cards. In fact, PCI architecture provides
an advanced way of connecting peripherals. It solves some of the problems with ISA architectures, in
terms of delivering an increase in processing speed. ISA and PCI slots are housed on the motherboard.
In some motherboard both ISA and PCI slots are present. In a typical PC the total number of ISA and
PCI slots could be eight or more.

13.2.6 Electronic Circuits

Electronic circuits are very specific in typical computer design. One of the important electronic
circuits is the power supply circuit.
Mostly the processor (s), controller (s), memory and other desirable interfaces within the computer
system are mostly Integrated Circuits (IC). They are all joined together in a motherboard. At some
point of the motherboard it is required to eliminate some interferences and noise which exists because
of complex electrical wiring and circuit connections. In order to compensate such interference and
noise additional passive components and electronic circuits are designed and put into place, which
solely depends on the way the motherboard is designed, the strength and nature of the internal
interferences and noise and other special design requirements.

13.2.7 Clock
The building blocks such as CPU, memory and I/O devices of the computer send and receive data
through the link, bus, circuits and wires, in a predefined sequence. In order to coordinate the
sequential activities the computer is provided with a clock. The clock is a regular pattern of alternating
high and low voltage signal. The clock rate determines the speed of the computer. The computer has
one clock, but the modern computer has many different clock signals for different areas of the
machine. The clock speed is usually measured in megahertz.

13.3 SOFTWARE
Software play important role in the filed of instrumentation, automation, control and mechatronics
design. Software is a program that the user run in the computer to perform various tasks. In essence,
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the software in conjunction with compatible hardware, constituting a computer, makes it possible to
process information and data. There are diverse ways of categorizing the software. However, broadly
they can be grouped under two categories.
· Operating System software
· Application software

13.4 OPERATING SYSTEM SOFTWARE

When we turn on the computer, many things happen before we actually start working. Electric
current flows into the computer’s power supply, which feeds the current to other components and
units attached to the motherboard. Then, electronic messages are sent to the CPU, telling it to execute
a program. Programs may reside either on the hard disk, CD, floppy disk or other semiconductor
memory chips attached to the motherboard. The moment the computer is turned on, the control lies in
the hands of different programs, which have been stored in order to make a computer system work.
One program referred to as master program, which co-ordinates and manages the resources of the
computer, is known as Operating System (OS). OS is a software program that helps to run other
programs or application software. This master program usually stored in the hard disk. When the
computer is started first it searches to locate its OS. The OS is then read and placed into the RAM
(memory). In so doing, the computer becomes ready to run other programs under the control of OS.
Operating system can be considered as one of the system software. The following definition fits well
while defining the OS.
“An operating system is a system program that control the hardware and other software of the
computer and when it is opened it brings the computer system into a mode from where it is easier to
run other applications. OS provides an ‘abstraction layer’ between the application software and the
low level hardware by freeing the programmer from any concern about the details of the underlying
hardware of the computer. In summary, the OS manages the resources. The resources are application
software, data, files, information and peripheral hardware such as floppy drive, hard drive, CD
drive, printer, scanner, etc.”
A typical OS and its interaction with its environment is shown in the Fig. 13.2. Windows, Linux,
Unix, OS/2, Next Step, QNX, etc. are all names of the most commonly used operating systems.
Operating system can be classified according to its application domain. In view of that, broadly three
types of OSs are seen.
· General Purpose Operating System (GPOS)
· Distributed Operating Systems (DOS)
· Real-time Operating Systems (RTOS)

13.4.1 General Purpose Operating System

General Purpose Operating Systems (GPOS), as name implies can be used for various application
such as banking, commerce, academic and scientific research, instrumentation, industrial automation
and control. Some of the important features of GPOS are, Inter-Process Communication (IPC),
Multi-tasking and Multi-threading.
· Inter-Process Communication Within the development environment, users often work
with many software simultaneously with data common to some or all software. The Inter
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Application software

Operating system
IPC
Multi-tasking
Multi-threading

Drivers

External
System hardware (Processor, Memory, Cards, etc.) devices
and units

Fig. 13.2 A typical operating system and its interaction with the environment

Process Communication (IPC) capabilities of the OS enable to share data with each other. This
feature thus facilitates the integration of data sharing and hence interoperability.
· Multi-tasking Multitasking is the ability to execute more than one application software at
the same time. Advanced GPOS have the performance and capability of doing multi-tasking
operations. A switching mechanism forms the basis of multitasking operation. Switching from
one program to another is very quick. It gives the appearance of executing all of the programs
at the same time although the OS executes them in some order. The OS takes responsibility for
managing the CPU so that each application thinks it owns the entire system.
· Multi-threading Numerous techniques exist to achieve performance improvements. Multi-
threading is the ability of an OS to execute different parts of a program, called threads,
simultaneously. Multi-threaded architecture has emerged as one of the most promising
technique for the exploitation of parallelism. It exhibits a powerful form of concurrency. The
technique can be exploited in a system that run on both uniprocessor and multiprocessor,
shared-memory and distributed-memory systems. The main difference between the concept of
multi-tasking and multi-threading is that in former case the notion of simultaneous operation is
in between the application software where as in latter case the simultaneity is within the
application software itself.
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13.4.2 Distributed Operating Systems (DOS)

DOS, as the name implies, is viewed as one that can manage resources in a distributed manner. The
need for Distributed Operating System (DOS) arises only when the computer resources are apart
from each other, i.e. when they are found to be geographically distributed. The major service that the
DOS can offer is that the users have a transparent view of distributed resources. Fig. 13.3 (a) and (b)
illustrate typical DOS environments. As can be seen from the figure, the distributed OS takes
advantage of network thereby supporting a high degree of network transparency. The DOS gives a
virtual illusion to the user that as if the networked computers and resources have all been interfaced
around a single computer. DOS facilitates to run and execute the application program at any location
in the network. In Fig. 13.3 (a), all the users can use the resources through the networked computers
implementing DOS. In Fig. 13.3 (b) also, the user can avail the resources of other computers through
the network.

DOS DOS
DOS

Resources

DOS DOS
Network

(a)

DOS DOS DOS

Network Network

Resource-1 Resource-2 Resource-n

(b)

Fig. 13.3 Typical distributed operating environments

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13.4.3 Real-time Operating Systems

Real-time Operating Systems (RTOS) are the special class of operating systems, mainly designed for
real-time applications such as instrumentation, automation and control, aircraft navigation and control,
machine control, robotics, etc. However, there is an increasing demand in the business and
management. Real-time systems, hence the RTOS are usually employed in safety critical applications.
In generalized sense the term real-time has little to do with speed, although real-time often does imply
the need to react promptly. An RTOS responds in a timely predictive way to unpredictable external
stimuli arrivals. The most important factor that a real-time system deals is that it must respond to
external events in a predictable and controllable fashion, which in turn inherits the following features.
· Timeliness Timeliness refers to meet deadlines. It is required that the OS has to respect
time boundaries and it has to finish certain tasks within the time.
· Predictability The real-time system has to react to all possible events in a predictable way,
i.e. after an event (interrupt) has occurred an action must be taken within a pre-determined time
limit. Contrast to prompt reaction, this however implies that the maximum time to do something
should be known in advance and the OS should be compatible with the application requirements.
· Simultaneity Simultaneity refers to meet all interrupt deadline if more than one event has
occurred simultaneously.
· Dependability Dependability refers to self-relying. It is necessary that the real-time system
environment should rely on itself.
Besides, the RTOS can also inherit features like IPC, multithreading, multitasking and distributed
model.

13.5 APPLICATION SOFTWARE

Application software is the software, which the user uses for various applications such as document
preparation, drawing and design, data acquisition and control, program development, message
transfer, engineering simulation, etc. to name a few. The application software reside on the top of the
operating systems which has been illustrated in the Fig. 13.2. There is no specific demarcation line to
categorize different types of application software. However, broadly they are categorized based upon
whether the software can readily be used for specific application or can assist for the development of
another applications. Accordingly, they can be grouped under the following headings.
· Programming language and compiler
· Dedicated application software
· Software tool for development of dedicated application software
· Simulation software for analysis and design

13.5.1 Compilers
To write a program a programming language is necessary. All application software are developed
using certain high-level (HL) programming languages. There are special HL and low-level (LL)
programming languages available to develop a computer program. High-level language is close to
human-like language. It makes easier for the programmer to understand the program during the
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process of its development. HL-based programming does not require to have detailed knowledge of
the internal operations of a computer. FORTRAN (used for scientific applications), Basic, PASCAL,
C (general purpose language for diverse applications), COBOL (for business applications), LISP, C++
(an object-oriented language for diverse applications), JAVA, are some examples of high-level
languages. LLs are called machine language. Writing program in machine language is not suitable and
easier for the programmer since it requires detailed knowledge on underlying hardware. Such language
work on the binary numbers ‘1’ and ‘0’ in which the programming is considered to be error prone
and tedious.
Compiler is a program that reads a program written in one high-level computer language, called the
source language, and translates it into an equivalent program in another language, called the target
language. The target language is then converted to object code by the assembler (see Chapter 8),
which further processed with a link editor in order to produce LL machine language (Fig. 13.4). The
language conversion is essential, since the programmer writes the program in HL and the computer
only understands LL machine language. Compilers are the special class of software, which are
important as far as development of any kind of program is concerned.
Every HL language must have a compiler. Even, the software tool used for the development of
dedicated application software (See next section) includes custom compiler. There are five
intermittent stages of compilation, they are lexical analyzer, syntactic analyzer, semantic analyzer,
code generator and optimizer (Fig. 13.4).
Source code high-level language

Preprocessor

Compiler

Target language (could be hexadecimal code)

Assembler

Libraries Object code

Link editor

Machine language (executable code)

Fig. 13.4 A compiler responsible for generating machine code from the source code
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While selecting a programming language, it is important to understand the features of the

programming language, which are intended to meet different set of requirements. A suitable
programming language should have following three important features.
· It should have a simple syntax which is easy to learn
· Portability of computer application programs at the source code level
· Operating system compatibility

13.5.2 Dedicated Application Software

Dedicated application software is the software, which can directly be used for specific applications.
Some examples of dedicated application software are Word 2000, Excel, Power Point, etc. (These
software have been developed by the Microsoft Corporation). Word 2000 is used for preparation of
documents. Excel is very efficient for the preparation of graphs and charts. Power point is a graphic
environment, which can be used for the preparation of figures, drawings, presentations, etc.
Application software is designed with the aid of a suitable high level language.

13.5.3 Language and GUI Environment

In order to design and develop the programs more easily and conveniently user-friendly sophisticated
language cum tools has constantly been emerging. These software tools can be used for the
development of dedicated software applications. Some of these software tools are Visual Basic, Visual
C++, NextMove, LabView etc. Versatile Visual Basic and Visual C++ can be used for the development
of any kind of application software. NextMove, for instance, can be used for the development of
interactive motion control systems. Likewise, LabView can be used for the development of not only
the front end but it can be used for real-time monitoring and control of automation systems. Modern
software tools, with the aid of high-level programming languages, have been developed with new
feature such as Graphical User Interface (GUI). At a conceptual level, a computer human interface is
a means by which people and computers communicate with each other. A GUI is a type of computer
human interface on a computer. GUI allows a natural, intuitive man-machine interaction for which it
has gained much popularity.

13.5.4 Simulation Software

Simulation software play important role in the process of design and development of mechatronic
systems. Within computing environment, simulation software, as they are referred to, are application
programs run as graphic-like platform for the interactive design, programming and simulation of
systems. Simulation, sometimes called virtual environments, provide an important foundation for
system development. They can be used to carry out design for manufacturability studies including
conceptual design, visualisation, evaluation without tying up the real design of physical plants, systems
or processes. Using accurate mathematical models of the system, the design engineer simulates the
operation of the systems and generate or verify actual task before its real design. The virtual design
environment can greatly improve reliability. Virtual methods can also help to shorten the design-to-
manufacturing cycle by enabling the users to correct errors and to identify optimized design
parameters and requirements before they reach the real implementation. Some of the simulation
software are MATLAB & SIMULINK, ANSYS, DOT, etc.
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13.6 MATLAB
MATLAB is a software tool that stands for Matrix Laboratory. It provides facilities like system
analysis, matrix computation, signal processing and graphics. Many practical engineering and
mathematical problems, which essentially involve numerical manipulation and refinement, can be
resolved successfully by the use of MATLAB. It uses general-purpose numeric computation,
algorithm prototyping, problem solving with Matrix formulation. Some of the examples and application
areas are control system analysis, stability analysis, statistics and digital signal processing. MATLAB
does not use low-level code as seen in FORTRAN. Predominently it is considered as a high level
programming language. MATLAB contains more than 600 mathematical, statistical and engineering
functions, providing the numeric computing power we need to analyse data, develop algorithms and
optimize system performance.
The performance of this software depends upon configuration of the hardware platform. Some of
the important hardware characteristics are processor type and clock rate, amount of (buffer) memory
available, disk access speed and throughput, etc. To handle graphics and visualization function
MATLAB need good amount of memory, preferably more than 32 MB. Commands may be issued to
Windows or DOS from within MATLAB.
SIMULINK is a graphical mouse driver environment integrated with MATLAB. The user can draw
block diagram of the linear, nonlinear, continuous and discrete system on the computer screen and
can manipulate them easily. SIMULINK incorporate blocks containing MATLAB commands and
function.

13.6.1 MATLAB Toolbox

Toolbox contains MATLAB function called M-files. Installation of toolboxes is a part of installation
procedure for MATLAB. Different types of toolboxes are as follows:
· Signal Processing Toolbox
· Control System Toolbox
· System Identification Toolbox
· Specification of Identification toolbox
· Optimization toolbox
· Neural Network toolbox
· Robert control toolbox
· Spline toolbox
· m-analysis and synthesis toolbox
The signal processing toolbox adds command for one and two dimensional digital signal
processing. The functions available are design of digital filter, analysis of digital filter and analysis for
power spectrum estimation. The control system toolbox emphasizes on state space technique and
some additional commands are also available for control engineering and system theory. System
identification toolbox has commands for parametric modeling and system identification. Optimization
toolbox includes commands for linear and nonlinear functions such as minimization, minimax, non-
linear least squares, quadrative programming, semi-infinite optimization, linear programming, etc. The
Neural Network toolbox contains function for designing and simulating neural network. Spline toolbox
provides a set of M-files for working with spline. This is toolbox used for modeling curves, passing
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curves through data, solving functional equation and performing functional approximation that require
splines. Robust control toolbox adds command for robust system design. It includes functions for
LQG, loop transfer recovery, H2 and H¥control system for singular value frequency response. The
m-analysis and synthesis toolbox provide functions for analysis and design of robust and linear control
systems.

13.6.2 Controls
Controls are the icon-based graphical user interface (GUI) which is a collection of independent GUIs,
most of which can be activated from the map display window at any time during operation. It contains
all sorts of control blocks required for analysis and manipulation and the blocks appear as buttons.
The GUIs based toolbox is mostly a mapping process. There resides a program for each block, which
is simply represented by a button. There are also alternative methods for entering toolbox commands
from the MATLAB command window.
The user can set a variety of options and parameters for the processing and specify the parameters
to be processed. The user can also manipulate the processed data by incrementing, decrementing,
adding, deleting by viewing profiles or outputs. MATLAB also provides powerful interactive 2-D and
3-D plotting capabilities that allows to visualize data, equations and results.

13.6.3 MATLAB Command Window and Functions

The command window is the mechanism with which we communicate with MATLAB interpreter.
The prompt is displayed by interpreter, which shows that it is ready to accept instruction. Then we
issue MATLAB command.
For example, to enter 3 ´ 3 matrix, we have to type A = [ 1, 2, 3 ; 4, 5, 6 ; 7, 8, 10]. Here rows are
separated by semicolon. Bracket is placed around the data. When enter key is pressed MATLAB
responds the following.
A= 1 2 3
456
7 8 10
Some of the commands are as follows.
To invert the Matrix,enter B = inv (A)
Save temp X. It saves variable X.
max (x). It returns just maximum value.
X = sqrt (log (z)). It is example of nested use of 2 simple functions namely square root and
logarithms.
det; Determinant
X = [ ]; It assign Matrix of dimension 0/0 to X.
clear X. It removes X from the list of current variable.
A (:, [2, 4]) = [ ]. It deletes column 2 & 4 of a several function rotate, flip, reshape or extract
portion of a Matrix.
rot 90; Rotation
flip lr; Flip matrix left to right
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13.6.4 Some Operations

Some of the important operations, which can be executed using MATLAB, are listed below.
· Matrix operations
· Array operations
· Relational operations
Matrix operations are fundamental to MATLAB. The operations are transposing, adding,
subtracting, multiplying and dividing matrices. The symbols “ ‘ “, “ + “, “ - “, “ * “, “ / “ and “ ^ “ are
used for transpose, addition, subtraction, multiplication, division and power operations respectively.
An example with respect to addition and subtraction is given below. For more details refer MATLAB
User’s guide.
The statement X = [0 1 2; 3 4 5; 6 7 8]
Y = X’
Gives result
X=0 1 2
3 4 5
6 7 8
Y=0 3 6
1 4 7
2 5 8
The statement Z = X + Y gives the following result.
Z=0 4 8
4 8 12
8 12 16
Note that the addition and subtraction operations are possible only when the matrices have the
same dimensions. However, if one operand is scalar then it is added or subtracted from all the elements
of the other operand. For instance, the statement,
A = Z – 2 gives
A=–2 2 6
2 6 10
6 10 14
Some of the important matrix functions are called transcendental and elementary matrix functions.
They are as follows.

Table 13.1
Transcendental and elementary matrix functions
Transcendental functions Elementary functions
Function Meaning Function Meaning
expm Matrix exponential poly Characteristic polynomial
logm Matrix logarithm det Determinant
sqrtm Matrix square root trace Trace
kron Kronecker tensor product
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The element by element operation is referred to as array operation. An operation, a period, i.e. “ . “
preceding to an operator indicates an array operation. The symbol “ + “, “ - “, “ . * “, “ ./ “ and “ .^ “
are used as addition, subtraction, multiplication, division and powers with array operations
respectively.
There are six relational operations available in the MATLAB. Commonly they are used for
comparing two matrices of equal dimensions. They are as follows:
< less than
> greater than
<= less than or equal
>= greater than or equal
== equal
~= not equal
The symbol “ ~ “, “ & “ “ and “ | “ are used as NOT, AND and OR logical operations respectively.
Moreover, there are some relational and logical, trigonometric and special functions available in the
MATLAB. They are as follows.
any - logical conditions
all - logical conditions
find - find array indices of logical values
exist - check if variable exists
isinf - detect infinities
finite - check for finite values
isempty - detect empty matrices
isstr - detect string variables
isglobal - detect global variables
issparse - detect sparse matrices
sin - sine
cos - cosine
tan - tangent
asin - arcsine
acos - arccosine
atan - arctangent
atan2 - four quadrant arctangent
sinh - hyperbolic sign
cosh - hyperbolic cosine
tanh - hyperbolic tangent
asinh - hyperbolic arcsine
acosh - hyperbolic arccosine
atanh - hyperbolic arctangent
abs - absolute value or complex magnitude
angle - phase angle
sqrt - square root
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real - real part

image - imaginary part
conj - complex conjugate
round - round to nearest integer
fix - round towards zero
floor - round towards negative infinity
ceil - round towards positive infinity
sign - signum function
rem - reminder or modulus
gcd - greatest common divisor
lcm - least common multiple
exp - exponential base e
log - natural log
log 10 - log base 10
bessel - Bessel function
beta - complete and incomplete beta function
gamma - complete and incomplete gamma function
rat - rational approximation
erf - error function
erfinv - inverse error function
ellipk - complete elliptic integral of the 1st and 2nd kind
ellipj - Jacobian elliptic functions
max - maximum value
min - minimum value
mean - mean value
median - median value
std - standard deviation
sort - sorting
sum - sum of elements
prod - product of elements
diff - approximate derivatives
hist - histogram
corrcoef - correlation coefficients
cov - covariance matrix
The polynomial and signal processing functions are as follows:
roots - polynomial roots
polyval - polynomial evaluation
polyvalm - matrix polynomial evaluation
conv - multiplication
deconv - division
residue - partial fraction expansion
polyder - polynomial derivatives
polyfit - polynomial curve fitting
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conv - convolution
conv2 - 2-dimentional convolution
cov - covariance
fft - fast Fourier transform
fft2 - 2-dimentional FFT
ifft - inverse fast Fourier transform
ifft2 - inverse 2-dimentional fast Fourier transform
fftshift - swap quadrants of matrices

13.6.5 Writing Programs—Simple Examples

As always with other, to run the MATLAB, click the icon on the Desktop. The ‘MATLAB’ Command
Window will appear as shown in the Fig. 13.5. From the file menu create a new file by clicking New
and then M-file. A new window will appear as ‘MATLAB Editor/Debugger—[Untitled]’ as shown in
the Fig. 13.6. This editor window is the place where the programs are written. After writing the
program, click on the file menu and then save as option. Another window will appear as shown in the
Fig. 13.7. In this window a file name has to be assigned and saved in a suitable directory. Your file
output.m will be saved in the analysis directory if you desire to do so. Note that the MATLAB
represents mathematical functions by function M-files.

Fig. 13.5 The MATLAB Command Window

To execute this program again, you need to go to MATLAB Work Space. The prompt >> will
appear. Type the directory where the program had already been saved. For instance,
>> cd/analysis
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Any modification on the program will be made within the MATLAB Command Window. Vectors
are used to hold sampled-data signals, or sequences, for signal processing. One dimensional sample
data signals are represented as one dimensional arrays or vectors of size 1 xn or nx 1. For instance, let
a signal have eight discrete data. It can be represented as,

Fig. 13.6 MATLAB Editor/Debugger

Y = [d0 d1 d2 d3 d4 d5 d6 d7], Where di are the discrete data.

The data are stored as a vector, which can be manipulated to generate signal. For example, in order
to generate a sine wave of 50 Hz, following program is to be written.
t = 0:0.001:0.2;
y = sin (2*pi*50*t);
plot (t, y)
where t is the time for which the signal is to be generated and y is the vector where data of the sine
wave are stored. plot(t, y) plots the signal which is shown in the Fig. 13.8. Similarly, suppose you
want to generate a signal containing fundamental frequency of 50 Hz and superimposed by a third
harmonic component of 10% that of fundamental. The program is shown below and its plot is shown
in the Fig. 13.9.
t = 0:0.001:0.2;
y = sin (2*pi*50*t) + 0.1*sin(2*pi*150*t);
plot (t, y)
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Fig. 13.7 Window used for saving the m-file in the appropriate directory

Fig. 13.8 A sign wave of 50 Hz

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Fig. 13.9 A signal containing fundamental frequency of 50 Hz and superimposed by a

third harmonic component of 10% of fundamental

In the next example, consider a function,

1 1
f(t) = 2
+ -5 (13.1)
0.02 + (t - 0.4 ) 0.03 + (t - 0.7 )2
The function should be made available to MATLAB by creating an M-file say abrupt.m. A plot of
the function can be obtained as shown in the Fig. 13.10.

Fig. 13.10 A plot of the function shown in the Eq. (13.1)

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function x = abrupt(t)
t = – 1 : .01 : 3;
x = 1./(.02 + (t – .4)^2) + 1./(.03 + (t – .7).^2) – 5;
plot (t, x)
In another example we have taken to find out the discrete Fourier transform of a signal. Essentially,
an approximation of the Fourier transform that can be calculated from a finite set of discrete time
samples of an analog signal and which produces a finite set of discrete frequency spectrum values is
called Discrete Fourier Transform (DFT). For more details refer Chapter 2. The signal at hand is
given in the Fig. 13.11(a) and its DFT is given in Fig. 13.11(b). The program in MATLAB is written
below.

Fig. 13.11 (a) The signal at hand (b) Its DFT

function y dft(r, N)
load signal
r = signal;
N = length (signal);
For k1 = l:N
X(pl) = 0;
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p = pl–l;
for ql = l:N;
q = ql–l;
X(pl) = X(pl)+r(ql)*exp(–j*2*pi*k*q/N);
end
end
plot(abs(X))

13.7 MORE COMMON PROGRAMS AND SOFTWARE

This section defines some of the commonly used programs and software within the design and
development environment.

13.7.1 Drivers
Drivers are the programs, which make it possible to use the I/O devices. The I/O devices are the
physical part of the computer. Mostly they are external to the motherboard. Some of the important
devices are keyboard, mouse, printer, monitor, floppy drive, hard drive, LAN (Local Area Network)
card, modem, DAQ card, etc. to name a few. In order to exchange data between the devices and the
application software driver programs are needed. For instance, if the users want to print the design
parameters of an electric motor, which has been obtained through simulation, then a command must
be given at the simulation software to print the generated parameters. The operating system will
respond to this command and direct it to the corresponding device driver, i.e. the printer driver to
complete the printing operation. If there are two printers connected to the computer there must be
two printer drivers installed. Devices only communicate with application software via the device
drivers and OS (Refer Fig. 13.2). The driver, thus typically controls a specific hardware device. In
many situation another program, called the device manager, bears the load of managing and regulating
the flow of data between an application and the device in case of multiple devices and drivers.

13.7.2 Database
A database (DB) is simply an ordered collection of correlated data, usually stored on hard disk. The
data are entered into the database system by the users. At any point of time the data can be retrieved
from the DB. The DB can be used concurrently by many users. Inheriting the philosophy, they are
generally separated into application areas, such as computer database, which stores computer related
data, employees database, which could store payroll, financial database, which could store accounting
information, and so on. Databases are managed by a Database Management System (DBMS). DBMS
is a set of programs that can manage many number of databases. A DBMS facilitates accessing,
inserting, updating, and deleting data in a secured manner. The choice of a database software is often
influenced mainly by two factors such as the volume of data to be managed and the number of
transactions required per second.
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13.7.3 CAD/CAM
Almost all engineering design and manufacturing processes start with drawing. As an example, to
manufacture a gear component first its drawing is completed. Then a model is prepared and tested. If
the design specifications are satisfied, then the real design and manufacturing starts.
CAD is an acronym for Computer Aided Design. A Computer Aided Design system is primarily
used to create complex drawings by the use of computers and associated software, is called CAD
software.
Previously the drawings of complex mechanical components were prepared manually. The main
purpose of the CAD is to provide a systematic approach for complete design procedure of many
systems including electronic circuits, mechanical parts, electrical systems, etc. The CAD has the
capability of automating most of the design process. This can lead to compressed design times, which
in turn will lead to reduced costs, greater quality, and improved product performance.
There are several reasons for using CAD systems to support the engineering design systems. The
first reason is to improve the quality of the design. CAD environment with necessary capabilities
permits the user to do more sophisticated engineering analysis and to choose a large number and
variety of design alternatives. Further, the use of CAD system creates a manufacturing database
inheriting dimension of the components, materials used, geometric specification of the products and
bill of materials. The database can be re-engineered and reused. Moreover, the CAD system can
increase the productivity of the designer in terms of synthesis, analysis and documentation.
CAM is an acronym for Computer Aided Manufacture. The effective use of computer technology
for accomplishing the jobs like planning, management and control of management functions is referred
to as CAM system. The application of CAM can be classified under two broad categories such as
manufacturing planning and manufacturing control. Planning environment uses the computer as an
off-line tool to accomplish the job such as management of production activities. The control
environment uses the computer as a run-time tool to accomplish the job such as process control,
quality control, shopfloor control and process monitoring.
In a typical application the CAM software can also simplify the task of programming machine
tools. The environment uses the data generated by the CAD system to generate code that are required
to operate a machine. It enables users to graphically define part geometry and establish machining
strategies, develop and verify tool paths, etc. and exchange this data with the machines.

13.8 SOFTWARE METHODOLOGY

In the software development process, choosing compatible platform/environment is considered to be
an important aspect on the part of a designer and developer. This in turn can channel efforts so that
generalised environment can be created. To meet the desired requirement, almost all software
products have been designed considering two important aspects. They are architecture and design
methodology. Architecture is the level of software design that addresses the overall structure and
properties of the application. Architectural design depends heavily on accurate specifications of sub-
program and their interactions. It covers the aspect of what features to be embodied within the
software program. A good design methodology, on the other hand, supplements the design process
for the proposed architecture. The most common and relevant architecture and methodology adopted
within the development environment are client server (CS) architecture and object-oriented (OO)
methodology.
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13.8.1 Client-Server Architecture

In a centralized system all the software reside in a central repository. Centralised systems are not
flexible because concurrent use of resources is not feasible. Client-server (CS) architecture
(Fig. 13.12) is an extension of the centralised configuration. Data is mostly processed in clients.
Client-server conformant application software can give greater viability to distributed processing. The
architecture has advantages over using the powerful server as a repository for the database, with all
the action taking place at the client level. The added advantages of the CS system can be attributed to
the following:
· It gives users much more flexibility and control
· CS architecture promises integrated distributed computing
· Data is accessible enterprise-wide, from centralized mainframe to desktop
· Ability to respond quickly to changing requirements
· Easier to maintain
Client-1 Client-2 Client-3

Operating
System

Server
(central database)

Fig. 13.12 A typical client-server architecture

13.8.2 Object-Oriented Methodology

Object-oriented (OO) design view is a methodology for the development of computer software. OO is
all about objects. In this methodology, objects are considered as the basic building blocks in the
context of development of software program. A typical software application can be designed by
segmenting the entire problem domain into number of objects. Each objects can then be combined
logically to formulate the entire software.
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Development Tools and Concepts

Practically, an object is a singular entity, which receives and sends messages. The object contains
code, a sequences of computer instructions, and data, upon which the instructions operates. In
traditional way of designing the software, we find that the code and data have been kept apart,
however, in OO design philosophy, both code and data reside in one place. From the point of view of
software development the advantages of object orientated programming (OOP) promise to simplify
the burdensome complexity of development, while improving the productivity. It is also considered as
one of the sophisticated methodology due to the reasons that the features like data abstraction,
encapsulation, inheritance and polymorphism have been taken into account. These features essentially
facilitate transparency, reuse, extendibility, portability, size and complexity involved in the process of
software development. The methodology can also result in a software product that is effective and
flexible to subsequent modifications.

13.9 COMPUTER NETWORK

Computer network is a network of computers. The network is also called data network. Traditionally,
any kind of data communication between the computers is governed by a reference model called the
ISO/OSI RM (International Standards Organization/Open System Interconnection Reference Model).
The ISO/OSI RM is a specification guidelines based upon which the computer communication
systems have been developed and designed. The guideline defines the essential services that are
required for achieving reliable and faithful data communications. The specification constitute a
collection of services, which have been partitioned into seven layers. The purpose of the seven-layer
model is to provide a common basis for co-ordination of computer communication system. Each
layer provides services as far as data communication is concerned. ISO/OSI RM is sometimes
referred to as seven-layer model architecture. The layers are as follows:
· Physical layer
· Data-link layer
· Network layer
· Transport layer
· Session layer
· Presentation layer
· Application layer
Figure 13.13 illustrates that data or message from one device to another flows through the seven
layers of the ISO/OSI model architecture. Physical layer describes the physical medium used to carry
data. Data-link layer provides services as far as management of routing of data to the correct
destination is concerned. It also provides access rights to multiple devices to share usage of the
common physical medium. This supports user functions such as device identification. A complex
network is a network of networks. Data packets have to travel from one network to another to get to
its destination. It is up to the network layer to route the packets in a heterogeneous networks
environment. The basic function of the transport layer, is to accept data from the session layer. It
splits up the data into smaller units and pass these to the network layer, and ensures that all broken
parts of the data pack arrive correctly at the receiving end. The period of time for which two devices
remain logically connected is known as a session. The session layer deals with creating a session,
transmission of data and cancellation of the created session. Sessions are created and terminated at
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the request of the presentation layer as it has data which needs to be transmitted to another location.
Presentation layer deals with syntax and semantics of transmitted data. The main service of the layer
is to facilitate data conversion. It converts data into some specified form. Application layer provides
user with access to network and uses network services to perform activities such as file transfer,
queries, network monitoring and management, etc. Table 13.2 summarises the services of all the
layers.
Device-1 OSI MODEL Device-2

APPLICATION LAYER APPLICATION LAYER

PRESENTATION LAYER PRESENTATION LAYER

SESSION LAYER SESSION LAYER

TRANSPORT LAYER TRANSPORT LAYER

NETWORK LAYER NETWORK LAYER

DATA LINK LAYER DATA LINK LAYER

PHYSICAL LAYER PHYSICAL LAYER

A MEDIUM B

Data path

Fig. 13.13 ISO/OSI RM for data communication

Table 13.1
Layers and their services
Layer Services
Application Specialized network functions such as file transfer, electronic mail, and file
servers.
Presentation Data formatting and character code conversion and data encryption.
Session Negotiation and establishment of a connection
Transport Provision for reliable end-to-end delivery of data
Network Routing of packets of information across multiple networks
Link Transfer of addressable units of information, frames, and error checking
Physical Transmission of binary data over a communications network
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13.9.1 Local Area Network

Local Area Network (LAN) is a general-purpose computer networking system, containing a group of
geographically distributed computers that communicate with each other by message packets through
transmission links. Software mechanisms are provided so that a computer can share files, lock
records, obtain its unique workstation name, and send message to the other computers. In past LANs
were used as Enterprise-Wide Network (EWN), however, LANs are increasingly used as a basis for
distributing functionality in real-time industrial systems, for example in discrete parts manufacturing
or in process control. The use of LANs in manufacturing systems is gaining wide acceptance because
of the prolific use of computers to improve the performance and productivity of the manufacturing
and design processes. LANs are also used in industrial control applications which require the digital
interconnection of low level devices such as transducers, actuators and simple controllers.

13.10 INDUSTRIAL COMPUTERS

The Personal Computer (PC) serves as a general-purpose computer intended to help the people in a
wide range of business and office activities. The scope of applicability, however, widened rapidly and
the industry people started to use them as the development tool. Recently the PC platform has been
used to control the plants, processes and simple machines and systems. Real-time automation and
control using computer is sometimes referred to as Computer Integrated Systems (CIS). The clear
benefit of CIS is that a little effort is required as far as hardware design and implementation is
concerned. However, it has been recognized that the industrial environment is rather rugged. CIS
implementation by the use of general-purpose PC is not very suitable candidate at the shopfloor level
due to the effects of dust, vibration and electromagnetic interference, etc. To encounter such
problems the Industrial PC (IPC) has emerged. IPCs inherit many added features to encompass the
real-time constraints as far as automation, monitoring and control applications are concerned.
The role feature of IPC architecture on the plant floor is constantly changing. The manufacturers
of IPC have taken advantage of the relatively low cost components in producing IPC for the industrial
market. VMEbus (Versa Module Europe), CompactPCI, PC/104 bus are the name of some standards
as far as industrial computers are concerned. CompactPCI is a bus system which is based on the
electrical specification of the PCI (Peripheral Component Interface) standard.

13.11 CONTROL ARCHITECTURE

Typical control applications within industry include assembly automation (for example consumer
electronics manufacture), transfer line machines, (e.g. automotive engine manufacture), welding
systems, conveyor systems, packaging and printing machinery etc. These machines all require
sequential control applications and a wide range of I/O devices such as sensors, actuators, valves,
switches, etc. depending on task requirements. I/O devices are also called field or local devices.
Actuators are typically in the form of electric motors, pneumatic cylinders, depending on the loads
involved with limit switches, proximity sensors or microswitches providing feedback signals.
Sequentially controlled manufacturing machinery have a generic set of essential requirements in terms
of co-ordination, synchronisation, acknowledgement, timing etc.
As far as communication between the controller and the I/O devices are concerned, all control
implementations broadly comes under the following three categories.
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· Centralised Control Systems (CCS)

· Distributed Control Systems (DCS)
· Hybrid Control System (HCS)
Centralized control scheme, a conventional one, has a central processing unit, called central
controller. The central controller communicates with a number of field devices through parallel link
(also called point-to-point link) as shown in Fig. 13.14. As you can see that all the devices have been
wired back to the central controller through a junction box. Centralised control implementation is
obvious choice if the requirement of number of I/O devices is minimal. However, if the number is
large then CCS is not the preferred because even a powerful computer has difficulty in polling round
all the inputs within the time limit of the system. Note that for a large system the total number of I/O
signals can be thousands, and this may bring problems, in terms of forfeiting real-time performance.
Moreover, a CCS-based implementation inherits the following drawbacks.

CENTRAL CONTROLLER

CONSOLE

S = sensor
A = actuator

4-20 mA signal Junction box

(analog multiplexer)

A A
S S

Other I/O devices

Fig. 13.14 A conventional centralised control system

· The implementation is not flexible, because if modification is needed afterwards, the entire run-
time system has to be stopped and then necessary modification is completed.
· System can be totally paralysed if the central processing unit fails to operate.
· Installation cost tends to be high because of point-to-point link. The implementation requires
costly parallel cables to establish the physical link.
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Development Tools and Concepts

Moreover, the increase in both quantity and quality of I/O information coupled with increased
performance demands has proven to be a problem for an overloaded centralised control strategy.
Therefore, there has been a trend towards Distributed Control System (DCS).

13.12 DISTRIBUTED CONTROL SYSTEMS

The emergence of low cost computing power (microprocessors and microcontrollers) has enabled
the development of DCS based instrumentation, automation and control systems. The main difference
between the CCS and DCS is the way they access the I/O signals from the I/O devices. Within the
plant, process or especially in machines I/O points are mostly distributed. Distributed control
architecture therefore, is seen to be appropriate under such environment. A DCS system is simply a
network of controllers. The network thus formed is referred to as control network. The entire task
which was residing in a central controller is by far divided among many controllers, resulting in a
smooth execution of the whole control process. The possibility of a complete failure is unlikely
because one controller will not cause a failure of the whole system. The control algorithm can be split
up into levels of control, from basic device level control to network level processing.
DCS architecture consists of several autonomous but interactive processors that perform sensing,
monitoring, control and other applications at different points of interaction or measurement. These
interacting and co-operative processors are called nodes, which are one of the basic building blocks in
designing the DCS network. Just as parallel processing technique allows individual CPUs (Central
Processing Units) to be combined to form high-performance computer, distributed control systems
allows I/O devices to communicate with each other to form incredible automation infrastructures.
Essentially, the basic elements of DCS architecture are,
· Processing unit (usually called local processors or local controller),
· Field devices (sensors, actuators, switch, etc.),
· Memory (for storing control code),
· Communication links,
· Protocols and development tools (compilers and debuggers) including host computer.
It is appropriate to say that the DCS is a network of nodes rather than a network of controllers. The
node executes control code in terms of processing input data from sensors or outputting data to the
actuator and displays. A protocol is also necessary to enable the nodes to communicate with another
nodes in the network in run-time. A host computer is needed to develop and download the control
algorithm into the network of controllers. The control code is usually downloaded into the node by the
use of host computer constituting the development tool. The development tool contains application
software such as code editor, compiler and Network Management Tool (NMT). NMT is used to
design the network off-line and in some cases it can also control and monitor the control network in
run-time. A schematic diagram of a typical DCS system is shown in Fig. 13.15. Each circle represents
the node.

13.12.1 Inside a Node

A typical node consists of a large scale integrated circuit containing a microprocessor to execute task,
RAM/PROM/EEPROM for storage of data/code/protocol, etc. Ports for interfacing with the field
devices (e.g. sensors, actuators, etc.), and transceiver to interface with other nodes to form the
control network. A transceiver is a unit, through which the data can be sent and received to the node.
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Figure 13.16 illustrates a schematic diagram of a typical node. A node can be called a smart device as
it is capable of executing the task, processing signal, data, information and message at the field-level
or the device level. This dictates that distributed control system employs local decision making
capabilities at the point of interaction or measurement.
Gas detector Host computer
(development tool)

Valve

Display

Pressure sensor

PROCESS Level alarm system

(Plant)

Temperature sensor

Display

Valve
Another plant

Temperature sensor Motor

Encoder

Pump

Fig. 13.15 A schematic diagram of a typical DCS system

Fig. 13.16 A typical node in a control network

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Development Tools and Concepts

13.12.2 Characteristic Features

DCS typically inherits many notable indices to signify the operational characteristics. The important
characteristics of DCS are,
· Real-time control capability (because the processing power and storage facility reside at the
field/local level)
· Response time
· Network architecture
· Message size and medium
· Range of the communication link
· Interoperability and Interchangeability
· Scalability, extendibility and modularity
· Programmability
Real-time Real-time systems are usually reactive systems that are in continual interaction with
their environments. Control systems for real-time applications are characterised by their ability to
support strong time constraints. Since the processing element (controller) is close to the devices, real-
time constraints can significantly be improved by appropriately configuring the devices. Besides the
room for accommodating control code at the local level, nodes has memory space (buffers) to store
temporary real-time data for subsequent use. Storage facility at the local level, in this context, is highly
desirable to meet the need for improving real-time performance. Further, control loops (as shown in
Fig. 13.17) can be formed locally thereby reducing the network traffic.

Control network

Networked control loop

NODE NODE

I/O interface I/O interface

Local control loop

A A
S Other devices S Other devices
Switch Switch

Multiple I/O
interactions

Fig. 13.17 Multiple I/O interaction

Response time Response time, on the other hand, is the length of time it takes for an event
detected by one node in the network to cause an action to occur in another node. Good response time
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is usually a requisite not only in DCS systems, but in all type of control systems. Normally, response
times should be as fast as possible. Typically, the response time less than a millisecond is considered
adequate for many types of industrial machine, instrumentation and process control applications.
Network architecture and their protocols DCS exhibits a logical network architecture for
transmission of plant signals. Topology of a network is defined as the manner in which the nodes are
interconnected logically. Messages are transmitted from one node to the other through the network
that complies with specific topology. The common topologies used for computer networks (data
network) can be used for DCS network. Figure 13.18 illustrates different types of network topology.
Topology is always related to Media Access Control (MAC) sublayer of the ISO/OSI layered stack.
Typical topologies are star, token passing, tree and peer-to-peer. N1, N2, … Nn are the field-level
nodes, H1, H2, etc. are called the hub nodes. Hub nodes are the nodes, which do not have a direct
contact with the field devices.
N2
N1
N1

N2
N3 H1

Nn
H1
N3

Nn N4 N4

Star (master-slave) Star-ring (token passing)

N1
H1
N3 N2

H2 H3 N5
N4 N6

N7
N1 N2 N3 N4 Nn
N8
= NODE

Tree (hierarchical) Peer-to-peer (linear)

Fig. 13.18 Typical DCS network architecture

· Star In a star topology, each node has a cable leading back to a central hub. Star type
distributed system could be considered as Hybrid Control Systems (HCS). It requires more
cable to wire a star. The failure at the hub can knock out the entire network.
· Token passing In a token ring, access to the ring is controlled by a special bit pattern called
the token circulating in and idle ring. To transmit a packet, a node grabs the token from the ring
and releases it after transmission. The token passing introduces an overhead that can increase
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delay and decrease throughput. Token management is an issue since loss or duplication of the
token will cause the ring to fail. IEEE 802.5 LAN is an example of a token passing ring.
· Tree A tree topology combines characteristics of peer-to-peer and star topologies. It consists
of groups of star-configured networks connected to a peer-to-peer network.
· Peer-to-peer Peer-to-peer or linear type topology embodies Carrier Sense Multiple Access
Collision Detection protocols (CSMA-CD). CSMA-CD protocols are designed to handle
collisions. Collisions occur when two nodes attempt to transmit the signal through the same
network simultaneously. Note that all the nodes in the network transmit packets (message)
each other by employing time division multiplexing (TDM) technique. CSMA/CD has the
capability of avoiding collision in terms of causing those nodes to halt transmission for a short
random time period before attempting to transmit again.
Message size and medium The amount of information that is carried by a DCS network at a
given time is called throughput. The claimed benefits for distributed control systems include increased
system performance in terms of increased throughput. Network systems are generally classified as
one of two kinds, Computer Network (Data Networks) and Control Network. Generally speaking,
data networks (e.g. LAN, WAN etc.) use large data packets (A packet is a single unit, of data that is
sent across a network. Data is broken into packets before it is sent) and relatively infrequent
transmissions, with high data rates. Control networks, in contrast, shuttle small but frequent packets
amongst a relatively large set of nodes. Packet size in a control network varies depending on the type
of data to be transported. Suitable packet sizes typically vary from 8-128 bytes. A channel is a
physical transport medium for packets. Suitable media are twisted pair wire, optical fibre, infra red,
radio frequency and power lines.
Range of the communication link The geographic extent of a DCS network is roughly
inversely proportional to bit rate. The length of control network entirely depends on application. For
example a DCS network for controlling an Autonomous Guided Vehicle (AGV) may span up to a few
meters embodying a countable number of nodes, where as control solutions for the automation of a
multi-storied building or production line may span up to a few hundred metres integrating thousands
of nodes. Typically, the range of communication link in a DCS network is around 1000 metres.
Scalability, extendibility and modularity Scalability is defined as the ability of a system to
evolve from small scale to large scale. Extendibility is the ability to add new functions into a system,
thereby advancing the capabilities or performance of the system while minimising the need for
redesign. It is desirable that new or improved sensors, actuators, communication links or human
interface devices have to be added without the need for major change in control system hardware or
software. Modularity is a property of a system that is to be decomposed into a set of cohesive and
loosely coupled modules. Alterations, enhancements and additions to an existing design only require
changes to or addition of a few discrete modules. Modularity provides a great deal of flexibility.
Scalability, Extendibility and Modularity can be accomplished with DCS implementation.
Programmability Writing control code for the field devices in low level language is an error
prone and time consuming concern as control networks might require thousands of different kind of
executable codes to meet the control objectives. DCS platform can facilitate programmability.
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13.12.3 Summary
For large systems there has been a trend away from centralised control implementation due to the
reasons mentioned in the previous section. Further, advances in embedded micro-computing have
enabled processing to be distributed to the device/field/local level of a control system. Within DCS,
individual sensors, actuators, valves and other devices at the field level must be able to interact with
each other via controllers (nodes), supervisory controller, host computer, or other intelligent
controllers such as PLC and PC etc. The design and implementation of DCS systems consider three
major elements such as,
· Target application platform such as process/plant/system. Typical application platforms are
robots, CNC machines, cranes, assembly lines, production lines, conveyor systems, engines,
vehicles, AGV, packaging plant, just to name a few.
· Electronics such as processor, transceiver, communication media, I/O interfaces, etc.
· Development tools such as host computer with OS and application software. Development tool
plays an important role within the control arena. Control systems are designed by the use of
such tools. For example, control codes, (i.e., application task for the controllers) are developed,
compiled, debugged, downloaded into the controllers with the aid of such tools. After the
design is over the system can be monitored.
Operating systems
Software tool
Programming language
Target application platforms
(Plant/Process/System)

Development tools

DCS

Host computer
Control network (Hardware)

Controllers

Fig. 13.19 Elements required for the design and implementation of DCS
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Development Tools and Concepts

13.13 FIELDBUS TECHNOLOGY

A fundamental enabling networking technology in realizing DCS is referred to as fieldbus technology.
The fieldbus technology is a digital control networking system, suitable for the realization of DCS.
Note that DCS is a philosophy or concept, where as fieldbus is a full-scale technology. Fieldbus
provides a good basis for distributed real-time control systems. The technology enables processing to
be distributed to the device level in such a way that greatly improved monitoring and control is
possible at reduced cost. The end result is that the field devices become more intelligent and they are
both more autonomous, composable and configurable. The primary reason why there has been a
trend towards the implementation of fieldbus standards for factory, machine, process, etc. automation
is that they eliminate the need to provide separate wiring for each individual field device by linking
them over a single shared communication link.
Fieldbus includes a communication protocol for the realization of bi-directional multi-channel
distributed control networks. It includes most of the elements to design, deploy and develop DCS
architecture. Fieldbuses have been successfully tried and tested in wide range of control applications
including food processing, conveyor system automation, packaging plant automation, building
automation, SCADA (Supervisory Control and Data Acquisition) systems, automotive power
distribution applications, deterministic applications, robotics, air craft, space technology, and so on.
A schematic diagram of a typical fieldbus based DCS is shown in the Fig. 13.20.
Code development tool
Network management tool
Optional Monitoring and
Supervisory controller
OS

Host Processor

Node-1
Channel / Network Node-7

Router node-6
Node-2 Node-3 Node-4 Node-5

Actuator Switch Gateway Sensor Intelligent device

(PLC, PC, Controller, etc.)

Fig. 13.20 A typical fieldbus based distributed control system

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Tables 13.3, 13.4 and 13.5 show some of the important fieldbuses and their characteristic features.

Table 13.3
Comparison of some buses with respect to services provided to the layers of control
hierarchy
Control Hierarchy Services should be Services provided by
(from top to bottom) available/desired
Factory File transfer, program to program LON, Ethernet, MAP
Production routing, remote access and control
Process Task-to-task, reconfiguration (logical) LON, Profibus, Ethernet, SP50
Cell Event handling, read-write device LON, CAN, Profibus, FIF
program down-loading
Field Analog, Digital and Real-time devices LON, Sensor Bus, CAN, Profibus,
(sensors, actuators, etc.) Bitbus, SP50

Table 13.4
Some Fieldbuses and their characteristics-I
Name of Fieldbus Year Min. Max. speed Comm. Method/ Medium
(developer) started/ speed (kb/s) topology
introduced (kb/s)
ARCNET (Datapoint) 1977 19.53 10000 PP/ S,B, DS CX, TPW, OF
AS-I (AS-I Consortium) 1993 MS/ B, R, T, Sr TPC
BACNet 76.8 MS TPW
Bitbus 1984 62.5 375 TPW
CAN/CANopen (CAN 1989/95 5 1600 PP, MS, MM, MC/ CX, OF, TPW
in Automation) TL, D
ControlNet (Allen- 1996 5000 PC, DOM/ Lr, T, Sr CX, OF
Bradley)
DeviceNet (Allen- 1994 125 500 MS, MM, PP/ TL,D TPW
Bradley) 9.6 1536 MM, TP TPW, PL, RF, IF
EHS
Ethernet Ind.
(DEC, Intel, Xerox) 1976 PP/ B, Sr, DC CX, TPW, OF
FIP/WFIP 1988 31.25 1000 MS, MM, TP/ B TPW, OF
(WorldFIP)
Foundation Fieldbus 1995 31.25 CS, PS, EN / Sr, B TPW, OF
H1 (Fieldbus Foundation)
Interbus
(Phoenix Contact) 1984 500 MS/Sg TPW, OF
LON (Eclelon 1986/91 78 1250 PP, H/ B,R, Lp, Sr TPW, PL, RF,OF, IF
Corporation)
Modbus+ (Medicon) 1000 PP/Lr TPW

Contd.
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Development Tools and Concepts

Name of Fieldbus Year Min. Max. speed Comm. Method/ Medium

(developer) started/ speed (kb/s) topology
introduced (kb/s)
P-NET 1983 76.8 76.8 MS, MM, TP TPW
Profibus DP/PA 1987 9.6 500 MS, MM, TP /L, TPW, OF
(Seimens)
Sr,R
SDS (Honeywell) 1994 125 1000 MS, PP, MC, MM/ TPW
TL,D
Seriplex (APC Inc.) 1990 200000 MS, PP/T, Lp, R, Md 4 wire shield cable
SP50 IEC/ISA (ISA & FF) 1985 31.25 1000 MS, MM, TP/Sr, B TP, OF, RF
Table 13.5
Some fieldbuses and their characteristics-II
Name of Max. Data-transfer Error checking Diagnostics Governing Standard
Fieldbus nodes size
ARCNET 255 0-507 bytes 16 bit CRC Built in ackmt at ANSI/ATA 878.1
data layer
AS-I 31 Manchester code, Slave fault, device Submitted to IEC
slaves hamming-2 fault
BACNet 255
Bitbus 250
CAN/ 127 8 bytes variable 15 bit CRC Error control and CiA
CANopen message emergency message
ControlNet 99 0-510 bytes 16 bit polynomial Duplicate node, ControlNet
Slave faults International
DeviceNet 64 8- bytes variable CRC check Bus monitoring ISO 11898
message & 11519
EHS 255
Ethernet Ind. 1024 46-1500 bytes CSMA/CD IEEE 802.3, DIX v.2.0
FIP/WFIP 256 128 bytes 16 bit CRC Device message time- IEC 1158-2
out, cabling
Foundation 240/ 128 octets CRC Remote diagnosis, ISA SP/50/IEC 61158
Fieldbus H1 sgmt, Network monitor
65000
segments parameter status
InterbusS 256 1-822 bytes 16 bit CRC Segment location DIN 19258/EN 50.254
LON 32385 228 bytes 16 bit CRC Database of CRC
error, device error
Modbus+ 250/sgmt variable
P-NET 125
Profibus 127 0-244 bytes HD4 CRC Station, Module EN 50170 DIN 19245
DP/PA channel IEC 1158
SDS 64 8- bytes variable CRC check Bus monitoring Honeywell spec.
message submtd to IEC, ISO
Seriplex 500+ 7680/transfer Echo check Cabling problems Seriplex specification
SP50 256 64 octets high 16 bit CRC Configuration on IEC 1158/ ANSI 850
IEC/ISA & 256 low network mangmt
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Mechatronics: Principles, Concepts and Applications

Device object model, EN=Event notification, H=Hierarchical, MC= Multi cast, MM=Multiple master,
MS=Master slave, PC=Producer consumer, PP=Peer to peer, PS=Publisher subscriber, S=Star,
TP=Token passing;;; B=Bus, D=Drop line, DC=Daisy-chain, DS=Distributed star, L=line, Lp=Loop,
Lr=Linear, Md=Multi drop, R=Ring, Sg=Segmented with T, Sr=Star, T=Tree, TL=Trunk line;;;
CX=Coax, IF=Infrared, OF=Optical fibre, PL=Power line, RF=Radio frequency, TPC=Two wire
cable, TPW=Twisted pair wire.

13.13.1 Fieldbus Protocol Versus Data Network Protocol

The main difference between the two protocols such as data network protocol and fieldbus protocol
is that the latter is a redundant version of the data protocol. For instance, LAN system conforms to
ISO/OSI layers, whereas fieldbus protocol is a redundant of ISO/OSI layers. That means the fieldbus
protocol does not include all the services of all the layers of ISO/OSI model. This is an essential
requirement of almost all control networking systems. The reduced version of the ISO/OSI layers aid
strong real-time requirements. Figure 13.21 shows the difference between ISO/OSI layers, and
general fieldbus layers.
Management layer
being defined

P
A
S
Redundant
T layers
N
D D
P P

Fig. 13.21 Illustration of ISO/OSI layers, general fieldbus layers and LonTalk layers

13.13.2 Benefits
Potential benefits of adopting a fieldbus based DCS control schemes can be summarized as follows:
The sharing of the processing load is achieved. This avoids the bottle neck of a single centralized
controller.
· The scheme replaces the complex point-to-point wiring harnesses in lieu of networking. It can
reduce the weight and assembly costs.
· It provides freedom to vary the number and type of control nodes on a particular target
application in order to easily modify its functionality.
· Technology has the ability to individually configure and test segments (a segment is a part of
the entire system) of the target application before they are combined together. The building and
testing of each node or segment can be performed separately.
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· The architecture offers interfaces for data exchange between the run-time control system and
other factory or business systems, e.g. statistical process control, management information,
remote diagnosis, etc.

13.13.3 Fieldbus Based Development Process

In order to realize fieldbus-based reliable DCS drawn upon representative target platforms the design
methodology involves problem identification or specification, segmentation or decentralisation,
development and testing. Regardless of the system complexity, in the DCS the stages involved in the
design and development process are shown in the Fig. 13.22.

System study Scalability, Extendibility Issue

On-line testing
Control problem analysis

Refinement and modification

Task segmentation

Device identification Testing

Virtual design Configuration (logical binding)

Device validation Integration

Virtual connection
Individual testing

DCS validation
Individual installation

Modification and refinement Application code development

Fig. 13.22 DCS design development phases

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13.13.4 Selecting a Fieldbus

The selection of a fieldbus for a particular type of control application plays an important role. For
example, the control scheme for a packaging plant’s control system is very different from a building
lighting control system. To understand the requirements for a specific application it is thus required to
look at the technical aspects of the fieldbus systems. The technical aspects include,
· Processing power and location of control decisions
· Where and how data (plant signal) can be stored and accessed
· How much processing power can be incorporated to the field devices
· Range of communication link
· Throughput and response time
· Link cost (cost per node)
· Protocol type and topology
· Interoperability, interchangeability
· Error response
It is apparent that the fieldbus is the preferred choice for the design of many industrial control
systems. However, fieldbus standardisation work is far from completion. With the lack of finalised
internationally agreed standards in terms of interoperability and interchangeability we can still find
many fieldbus vendors and suppliers of this technology. A number of major fieldbus type platforms
have emerged in recent years and these include LonWorks Technology, CANbus, FIP, WorldFIP,
ISA, IEC, ISP, HART, P-NET, BACNet, DeviceNet, Bitbus, EHS, Profibus, SP50 and many others.
In true sense, it is expected that in future no single fieldbus protocol will predominate. On the other
hand only one fieldbus cannot provide the desired solution for all types of control systems.

13.14 WEB-BASED MONITORING AND CONTROL

In response to demands towards transparency and productivity, recently remote monitoring and
control (RMC) of industrial systems is getting momentum. Remote monitoring requires unified and
coherent operation of control and management functions within one platform. Control-networking
systems are available which is generically defined as fieldbus technology. Commonly available data
networking systems are LAN, WAN (Wide Area Network), MAN (Metropolitan Area Network) and
so on. The existence of two kinds of networking systems is due to the reasons that the underlying
requirement of bulk data communication and control data communication are very different. Although
the enterprise-wide linking system already exists through data networks, the concept of total
automation is emerging. Total automation means the interface of data network with the control
network. It may be required to remotely download control code into a controller (distributed or
centralized) by the use of data network such as LAN or Internet. In another context, if the engineer is
working in the office room at the moment, engaging the machine at work in the factory floor then the
situation may demand to supervise and control the machine from his or her office room through data
network. Such type of implementation can be referred to as LAN-based or Web-based monitoring and
control of target application, depending upon whether the data network is a LAN or Internet. A typical
configuration of web-based monitoring and control is illustrated in the Fig. 13.23.
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Fig. 13.23 A typical integration of data and control network for monitoring and control of
target applications

· Computer has become a vital tool as far as design and development of mechatronic systems are
concerned.
· In order to provide computer assisted automated environment the computer must be equipped
with control interface, appropriate software tools and systems, and active control devices such
as sensors, actuators, signal conditioning circuits, microprocessors and microcontrollers, Data
Acquisition (DAQ) cards, etc.
· A computer is an electronic device for the fast, accurate processing of data or information
under the control of a stored logical sequence of instructions called a software program.
· The main task of a computer is to get data, process it and generate a result.
· Electronic memory is a place where the computer stores programs and data.
· Within a computing environment, when a program is run, each instruction in the sequence is
fetched from memory and executed within the CPU.
· The amount of RAM in the computer is crucial in that it determines how many programs can be
run, and how much data is available for each program.
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· The contents of the RAM disappear when the computer is turned off. ROM is a non-volatile
memory. System data (computer’s own data) are usually stored in the ROM.
· CDs rely on LASER (Light Amplification by Stimulated Emission of Radiation) technology to
read and write the data on the discs.
· Communication ports and slots (e.g. Serial port such as RS-232, RS 422, RS 485 and USB,
Parallel port, ISA and PCI slots) are the interface through which the I/O devices are linked with
the CPU residing on the motherboard of the computer.
· Software is a program that the user runs in the computer to perform various tasks. There are
diverse ways of categorizing the software; broadly they can be grouped under two categories
such as operating system software and application software.
· An operating system (OS) is a system program that controls the hardware and other software
of the computer. In summary, the OS manages the resources such as application software,
data, files, information and peripheral hardware such as floppy drive, hard drive, CD drive,
printer, scanner, etc.
· Application software is the software, which the user uses for various applications such as
document preparation, drawing and design, data acquisition and control, program development,
message transfer, engineering simulation, etc.
· Broadly three types of OSs are seen; namely General Purpose Operating System (GPOS),
Distributed Operating Systems (DOS) and Real-time Operating Systems (RTOS).
· The Inter Process Communication (IPC) capabilities of the OS enable to share data with each
other.
· The main difference between the multitasking and multithreading is that in former case the
notion of simultaneous operation is in between the application software where as in latter case
the simultaneity is within the application software itself.
· The need for Distributed Operating System (DOS) arises only when the computer resources
are apart from each other, i.e. when they are found to be, geographically distributed.
· Timeliness refers to meet deadlines.
· The real-time system has to react to all possible events in a predictable way, i.e. after an event
(interrupt) has occurred an action must be taken within a pre-determined time limit.
· Simultaneity refers to meeting all interrupt deadline if more than one event has occurred
simultaneously.
· Dependability refers to self-relying.
· High-level language is close to human-like language. Every HL language must have a compiler.
· Compiler is a program that reads a program written in one high-level computer language, called
the source language, and translates it into an equivalent program in another language, called the
target language.
· Using accurate mathematical models of the system the design engineer simulates the operation
of the systems and generates or verifies actual task before its real design. This can be achieved
by the use of simulation software. Some of the simulation software are MATLAB, Simulink,
ANSYS, DOT, etc.
· Drivers are the programs, which make it possible to use the peripheral devices such as
keyboard, mouse, printer, monitor, floppy drive, hard drive, LAN (Local Area Network) card,
modem, DAQ card, etc.
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· A DBMS facilitates accessing, inserting, updating, and deleting data in a secured manner. The
choice of database software is influenced by two factors such as the volume of data to be
managed and the number of transactions required per second.
· A CAD software is used to create complex drawings by the use of computers.
· Client-server conformant application software can give greater viability to distributed
processing.
· Object-oriented (OO) design view is a methodology for the development of software. Objects
are the basic building blocks in the development process. A software can be designed by
segmenting the entire problem domain into number of objects.
· The features like data abstraction, encapsulation, inheritance and polymorphism facilitate
transparency, reuse, extendibility, portability, size and complexity involved in the process of
software development.
· Computer network is a network of computers.
· Local Area Network (LAN) is a general-purpose computer networking system, containing a
group of geographically distributed computers that communicate with each other by message
packets through transmission links.
· Physical layer describes the physical medium used to carry data. Data-link layer provides
services as far as management of routing of data to the correct destination is concerned.
Network layer routes the packets in a heterogeneous networks environment. The transport
layer accepts data from the session layer. The session layer deals with creating a session,
transmission of data and cancellation of the created session. Presentation layer deals with
syntax and semantics of transmitted data. Application layer provides user with access to
network and uses network services to perform activities such as file transfer, queries, network
monitoring and management, etc.
· Industrial computers inherit many added features to encompass the real-time constraints.
· All control architectures comes under three categories, namely, Centralised Control Systems
(CCS), Distributed Control Systems (DCS) and Hybrid Control System (HCS).
· DCS architecture consists of several autonomous but interactive processors that perform
sensing, monitoring, control and other applications at different points of interaction or
measurement.
· A node consists of a microprocessor to execute task, RAM/PROM/EEPROM for storage of
data/code/protocol, etc.
· Response time is the length of time it takes for an event detected by one node in the network to
cause an action to occur in another node. Response time, less than a millisecond is tolerable for
many types of industrial machines, instrumentation and process control applications.
· A fundamental enabling networking technology in realizing DCS is referred to as fieldbus
technology. The fieldbus technology is a digital control networking system, which includes
hardware and development package.
· The fieldbus protocol does not include all the services of all the layers of ISO/OSI model. This
is an essential requirement of almost all control networking systems. The reduced version of
the ISO/OSI layers aid strong real-time requirements.
· Some of the major fieldbuses are LonWorks Technology, CANbus, FIP, WorldFIP, ISA, IEC,
ISP, HART, P-NET, BACNet, DeviceNet, Bitbus, EHS, Profibus, SP50 and many others.
· Total automation is the interface of data network with the control network.
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Development workbench such as computer platform and software tools and systems play very
important role in every aspect of mechatronics design. Mechatronic systems are to be built,
designed, monitored, controlled and simulated using good varieties of hardware and software
tools, workbench (platforms) and techniques. This chapter describes the basic architecture of
a computer by explaining the detail infrastructure. In particular, the chapter attempts to
describe the following.
· Basic building blocks of an IBM compatible PC type computer.
· Computer communication interfaces and standards
· Operating systems
· Application software
· Software methodology and principles
· Computer networks
· Industrial computers
· Distributed control systems
· Fieldbus technology
· Web-based monitoring and control

LOOKING AHEAD

After studying the underlying architecture in terms of hardware and software infrastructure of
the computing workbench, the students are directed to learn the principle of modular designs.
Components-based design is a new concept of modular design that is being used for the
design of systems of interdisciplinary nature. It adheres ideas, methods, tools and techniques
of every part of discipline involved. This concept has been introduced. Moreover, the concept of
system validation is defined in that chapter. Fault Detection and Isolation (FDI) and Diagnostics
and Prognostics (DAP) are the two main topics studied under validation. Chapter fourteen also
describes the validation methods and their implementation principle.

EXERCISES

13.1 Define a computer.

13.2 What is the role of a computer in the context of mechatronics design?
13.3 Draw the schematic block diagram of a modern digital computer.
13.4 Discuss about the basic building blocks of a computer.
13.5 What do you mean by CPU?
13.6 Discuss the various types of memories present in a general computer.
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13.7 What is the utility of having a hierarchically structured memory in a computer system? Arrange
the different memory hierarchies according to increased values of speed, size and
implementation cost.
13.8 Differentiate cache memory and virtual memory.
13.9 Write notes on the following:
(i) Input/Output devices
(ii) Communication ports and slots
(iiii) ISA/PCI slots
13.10 Distinguish between machine language and assembly level language.
13.11 Briefly discuss the schemes used for transferring data between a computer and the external
environment, mentioning the advantages and drawbacks of each. For each scheme, list the
situation where it can be used.
13.12 Define software.
13.13 Define operating systems.
13.14 Classify the operating systems and explain.
13.15 Distinguish between operating system and application software.
13.16 Write short notes on the following:
(i) Compiler
(ii) Assembly language
(iii) Dedicated application software
(iv) Development tool
(v) Simulation software
13.17 Explain the role of compiler in a digital computer.
13.18 What do you mean by an algorithm? Explain how algorithm is useful in problem solving.
13.19 What do you mean by driver in the context of computer?
13.20 Write notes on the following.
(i) CD/CAM
(ii) Database
13.21 What are the desirable features of a database management systems?
13.22 What do you mean by client-server architecture?
13.23 Differentiate between procedural programming and object-oriented programming concepts.
Describe the important features of object-oriented programming. Give examples of at lease two
object-oriented programming languages.
13.24 Explain the advantages of adopting object oriented design methodology employed in the
software engineering.
13.25 What is the role of ISO/OSI model?
13.26 What do you men by ISO/OSI layers? Explain in detail.
13.27 Differentiate between Local Area Network (LAN) and Wide Area Network (WAN).
13.28 List out the layers and their services.
13.29 Why have industrial computers have taken birth?
13.30 Name some standards of industrial computers.
13.31 With neat diagram and distinguish between two types of control architectures.
13.32 Draw a schematic diagram of a distributed control system.
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13.33 What do you mean by a node in a Distributed Control System (DCS).

13.34 Draw the internal blocks of a node within the DCS.
13.35 Enlist the important characteristic features of the DCS.
13.36 What do you mean by protocol in the context of networking?
13.37 Explain various DCS network architecture.
13.38 Define scalability, extendibility and modularity.
13.39 What do you mean by programmability?
13.40 What do you mean by fieldbus technology?
13.41 Draw the schematic network diagram of a fieldbus based DCS implementation.
13.42 Distinguish between control network and data network.
13.43 What are the points to be considered while selecting a fieldbus?
13.44 Show the stages involved in the context of design and development of DCS system.
13.45 Discuss web-based monitoring and control.
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Components-Based Modular
Design and System Validation

· To introduce components based design approach.

· To give example of components-based design concept.
· To enlighten the need for components based design view.
· To study the components based design infrastructure.
· To define and to broadly categorise the system components from control schematic.
· To point out the merits of components based design approach.
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14.1 INTRODUCTION
Components-based design is a new concept that is being used for the design of systems of
interdisciplinary nature. It adheres ideas, methods, tools and techniques of every part of disciplines
involved. In general sense, the components-based design philosophy provides a logical basis for the
implementation of a methodology for realising control system for mechatronic systems. It can be
stated that components-based development refers to the technology, methods, and tools that enable
construction of machine control systems.
Validation is a process of assessment of the performance of the system. Fault Detection and
Isolation (FDI) and Diagnostics and Prognostics (DAP) are the two main topics studied under
validation. Validation is an area of technological development offering enhanced performance,
productivity and environmental protection.
In summary, this chapter describes,
· The components-based design philosophy and
· The validation methods and their implementation principle

14.2 COMPONENTS-BASED MODULAR DESIGN VIEW

For highly automated manufacturing process and machine system, control solutions are complex.
While mechatronic systems have grown in complexity, there has been a drive towards using modular
approaches in the design of systems. Rather than using a single complex structure to perform a
variety of tasks, a modular components-based approach attempts to divide the entire tasks logically
among a number of components. Each component is then designed for a specific role and is able to
work independently but co-operatively with the other components in a system. To illustrate a
components-based design methodology, consider a feedback control solution for a servo pneumatic
actuator system. To form a position controller, it requires position feedback, a Digital to Analog
Converter (DAC) and a suitable control algorithm executed on a processor. Traditionally, control
strategy has been residing on one single unit classified either as a position or force/torque controller.
On the other hand the components-based approach advocates decomposing the whole system into
individual components such as a force/torque feedback component, a position feedback component,
a DAC component and an algorithm component. Aggregating relevant components together can then
form a system.
Object oriented methodologies in software engineering have many similarities to components-based
design. However, the term component is preferred in the scene that mechatronic systems are built
from components (here object does not convey a meaningful sense) or more appropriately,
engineering machines, in true sense, are composed of components not objects. Although the aims of
both ideologies can be argued to be similar, the meaning and use of components does not match
rigorously to the characteristics of an object. Generally, a component can be viewed as an interactive
autonomous body that is capable of providing co-operativeness. A components-based approach can
facilitate the following:
· Easy modifications and improvement to the system as needs change
· Ease of maintenance
· Improved functionality and performance
· Enhance properties in terms of interoperability, scalability, extendibility and reusability
· Faster customisation
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14.2.1 Components: Definition

A general definition of a component is given here. A component is a hardware or software entity
(Fig. 14.1) with an identifiable boundary which can be designed to perform certain functions and
which can be used to compose more complex entities for a given purpose. The components, are thus
some sort of generic basic building blocks that contain sufficient information and are considered to be
an evolving portfolio which significantly enhance portability at all levels of the machine control system
for consequent enhancement of the interoperability of the applications.

Fig. 14.1 Components and their interaction

Components can be divided into two main categories, namely; software components (SC) and
hardware components (HC). Within the mechatronic systems, hardware components can be designed
around devices such as sensors, actuators, switches, valves, etc. A sensor, an actuator, controller,
router, drive, switch, etc. when installed with executable codes for specific purpose, can be defined
as hardware components. Software components can be designed around system level development
and management functions, such as compilation, field programming, management, graphical user
interface (GUI), configuration, simulation, etc. Any development tools, which could be used to
generate control code (source code), build application images (object code), install nodes
(configuration of node onto a network database, for instance), binding (logical binding of nodes) of
RDV (Real Data Variables) can be considered as software components. Code Development Tools
(CDT), Network Management Tools (NMT) etc. are examples of software components. Some of the
components, which have broadly been identified within the control environment, are shown in
Fig. 14.2.
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Fig. 14.2 Typical components within machine control systems

A component is an independently deliverable package for services. Every component has the
following three divisions:
· A specification, which describes what a component does,
· An implementation design, which describes how it does it, and
· An executable, which delivers that capability on a designated platform.
In summary, components-based system is considered as:
· A design methodology for achieving reusable and responsive machine control systems
· Purpose-based control construction
· An open systems based approach
Re-usable and responsive systems To meet the demand for developing agile and responsive
machine control systems not only in operational but also in configuration aspects, properties within
the control system such as, connectivity, re-configurability, scalability, extendibility and software
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reuse ability are some of the attributes to which such systems should contribute. The identification of
the ‘perfect design paradigm’ can be considered as the holy grail for the system design community.
In the software context, the approach is called Components-based Software Development (CBSD).
The ability of reuse through components-based approach has a major influence on the structure of
software systems as well as on the way systems are built. Building software with components
promises more reuse and higher productivity. Software development costs are increasingly becoming
the major factor in total system costs. CBSD is a promising solution intended to break up gigantic
software systems into interoperable components, reducing complexity and maintenance costs through
the modular components.
Purpose-based Control The major facet of a components-based approach is that it provides the
system developer with control-specific as well as purpose-based application frameworks and
reference architectures. For example, an actuator component is considered control-specific when
used as a simple actuator. However, when fault diagnostic features are included within the actuator it
can be said to be control specific as well as purpose-based. The components-based design is much
more than simple collections of generic blocks or interfaces. They can generally be built for specific
purposes thereby requiring methods and schemes that the components can fit into. For example if
fault detection and isolation features need to be incorporated within the actuator component, it is
necessary to investigate Fault Detection and Isolation (FDI) methods and schemes.
Open Automation Another objective of components-based design approach is to meet
interoperability. Benefits that can be obtained are
(i) Connectivity, (ii) Field-level programming, (iii) Creation of virtual processes and components,
called simulation environment.
· Connectivity An important aspect of a components-based approach is the communications
infrastructure through which the components can use well-defined ways to interact with each
other, and with commonly provided services. This infrastructure is specified in a technology
form in which the development of the application control logic is neatly separated from the non-
application specific requirements, e.g. communication services, device interfaces, and system
management etc. Control solutions can then be designed, sourced and configured from multi-
vendor supply sources using standardised communication interfaces, protocols, messaging and
data format. Application specific solutions can be realised using the most able and cost effective
components. Fieldbus technology has been widely applied in a number of industrial sectors.
CANbus in some automotive designs and in manufacturing industry; Profibus in the textile
industry, LonWorks in building automation, FIP in factory automation, etc. With such
approaches the wiring and installation costs are greatly reduced. Maintenance of plant and
equipment is simplified and the connectivity capabilities can be significantly improved.
· Provision of a field-programming capability The provision of field-level programming and
re-configuration is seen as essential in allowing the user to have a role in determining the
specificness of a machine or system or even a component. It is perceived that this can be
realised effectively through rewriting the run-time image (messages and data flow between
components) of the mechatronic systems, which governs the linking of executable
components.
· Creation of virtual processes and components The definition of virtual is based on concepts
of ‘presence’, which refer to the sense of being in an environment, generated by natural or
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mediated means. A Virtual Component (VC) is the replica of a real component. Virtual Process
is the activity of a designer by the use of VC within the Virtual World (VW) in order for
visualisation, manipulation, refinement and interaction. The visualization part refers to the
computer generating visual or other sensual inputs within the VW. This world may be a graphic
model, a scientific simulation, or a view into a database. The user can interact with the world
and directly manipulate and refine the system within the world.

14.3 SYSTEM VALIDATION

Validation is a process of assessing a system or component’s performance with regard to any
abnormal situation. Validation is an area of technological development offering enhanced performance,
productivity and environmental protection in terms of safety. Component Validation can lead to fewer
accidents and spillage thereby inflate better product quality and reduced unscheduled shutdowns and
improved plant efficiency and availability. The need for validation can be categorised under four
headings, namely,
· Step towards total automation
· Safety
· Smart system, and
· Sustainability

14.3.1 Total Automation

Manless plant can be considered as an attribute of total automation. The technological drive towards
the manless plant and processes demands greater intelligence in terms of availability and reliability of
the devices and machines. In critical situations device failure may lead to complete plant shutdown. It
is therefore essential to maintain the machine system components. Traditionally, skilled operators,
routinely checking analog dials, digital readings, graphical displays and chart recorders, monitor the
condition of control devices or components. However, this conservative approach denies the
operators the opportunity to focus their attention and expertise on guaranteeing process stability and
production efficiency. The mundane procedure of condition monitoring inevitably leads to human
error. Furthermore, in the current trend of distributed machine, instrumentation and process control
where many devices are scattered within the plant premises and need to be monitored simultaneously,
then operator-based validation procedures are said to be unsuitable. Therefore, the need for a versatile
automatic validation scheme is clear.

14.3.2 Safe Control Implementation

Traditionally, control systems whether centralized or distributed have lacked safety other than
functions specifically designed in. However, safe control is becoming a vital requirement in the
modern machine, instrumentation and process control environments. Environment, health and safety
legislation/regulation on company liability requires greater assurance that failures can be quickly
detected and isolated before endangering the environment and human life. The degree of damage
varies according to its function, from the basic cost of maintenance and replacement to a degraded
process performance and inferior product quality. Therefore, maintaining a high level of safety is
becoming an integral part of the control system. For the complex system to work reliably and safely,
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it must have capabilities for fault accommodation, i.e. have fault detection and isolation capabilities,
which can respond in a short time under adverse conditions. Fault accommodation is an important
aspect of validation and a challenging problem. The approaches encompass a diverse collection of
technologies and disciplines such as expert systems, neural networks, fuzzy logic, machine learning
and discrete event systems. A fault detection scheme should detect as many true faults as possible,
while triggering as few as possible false alarms. In addition, the delay time between a fault occurrence
and fault detection should be small.

14.3.3 Smartness
Rapid advances in measurement science not only introduce innovative sensing and actuation
technology, but also offer low-cost, rugged and reliable components compatible with industrial
environments. Measurement components are gaining ever-increasing significance in all modern
industries and play a crucial role in acquiring prerequisite information for supervision, control
optimisation and interpretation. As the effective operation of the control or monitoring system depends
completely upon the data received from the sensors, in the system, any failure leading to inaccurate
measurement is undesirable and indeed sometimes intolerable. Until recently only the continuous
contact between a measurement and the control system has been the unidirectional flow of
measurement data (usually based upon 4-20 mA). It is understandable that sensor components have
been viewed from the control point of view as simple signal generators and their data are assumed to
be correct unless over-ridden by extraordinary actions (e.g. by an operator). This single stream of
information has been used in a variety of ways; for monitoring the process, for feedback control, and
also for ensuring safety through the use of hard-wired trips. However, there is no inherent information
about the strength or credibility of the signal. Modern control system needs potentiality or gravity or
more accurately validity (Fig. 14.3) of the measured signal in order to make decisions whether or not
to use the input measurement from the sensor.

Traditional An intelligent Value

sensor Value sensor
Quality

Fig. 14.3 Typical traditional and intelligent sensors

Similarly, performance of the actuators can be adversely affected by a number of factors including,
but not limited to, friction, fluid leaks, packing stiction, wear, miscalibration and discrete component
failure in the positioner or signal transducer. Generally, a degrading positioning function is
accompanied by deterioration in actuator responsiveness and control. On-line diagnostic test in terms
of comparing the actuators current parameter data as manufactured data is required in order to quickly
point out patterns of deteriorating factor and conditions.

13.3.4 Sustainability
In recent years, new concept such as sustainability has emerged within machine and product
manufacturing domain. Sustainability is a decision-making scheme for the purpose of maintenance of
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the product, damaged by environmental impact, while the needs of the present are met without
compromising the needs of future generations. Life Cycle Assessment (LCA) is a process;
(i) to evaluate the environmental impact, burdens associated with a product, process, or activity by
identifying and quantifying energy and materials used and wastes released to the environment; (ii) to
assess the impact of the energy and materials used and released to the environment; (iii) to identify and
evaluate opportunities to affect environmental improvements.
The assessment includes the entire life cycle of the product, process activity, encompassing,
extracting and processing raw materials; manufacturing, transportation and distribution; use, reuse,
maintenance; recycling, and final disposal.
The life cycle or “cradle to grave” concept now appears in many disciplines. Incorporating life
cycle concepts into the design of products, say mechatronic products, generally involves three steps.
First, an inventory of relevant environmental burdens is assembled. This inventory will typically
encompass all materials used, wastes generated, emissions released and energy expended over the life
cycle of a product or production system. Once an inventory is assembled, the relative environmental
impacts of each of the inventory elements are established. Finally, after the current features of the
product or production system are assessed, improvements can be identified and evaluated. The
participants in the LCA and Design for Environment (DfE) workgroup have identified the clue that
supports the development of tools for assessing and improving the environmental performance of
products and production systems. These clues are grouped into three major categories, namely;
(i) inventory data and data assessments, (ii) data and models for impact assessment, (iii) design
tools for improving environmental performance.
The LCA idea has now penetrated into electronic products manufacturing industries. Today the
electronics and electrical waste are burnt or dumped because recycling is a problem. Further, many
companies for example Xerox has estimated that a sum of $500 million a year could be saved if the
photocopier components are re-used. CARE (Comprehensive Approach for the Recycling of
Electronics) Vision 2000 is a Eureka project, whose aim is to develop a method and procedure to
recycle electronics waste.
Manufacturing and processing constitute the most significant elements of the industrial sector in
contributing to the economy and also have the greatest potential impact on the environment. The
sustainability and recyclability idea has recently been introduced within the mechatronic systems. As
the products or machines have been built with the basic hardware components such as sensors and
actuators, the LCA vision has been extended into the machine systems in order to analyse the
environmental impact on the devices, components or machines. This leads towards sustainability.
14.4 VALIDATION METHODOLOGY
Apparently, the validation principles are highly applicable to devices such as sensors, actuators,
switches and so on. Through component validation, machine or system validation schemes can be
realised. The validation scheme adopts, fusion techniques (or hardware redundancy), limit value
checking, statistical methods, model-based method, spectrum analysis and Artificial Immune Network
(AIN) based approach. Appropriate schemes are selected, depending on the application, e.g. whether
it is for the sensor or actuator component. The validation scheme begins with the development of a
well-defined specification of requirements. The scheme suggests the following principles.
· Integrated approach
· Design independence
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· Distributed environment with field level implementation

· Open systems based and
· Comprehensive

14.4.1 Integrated Approach

In practice, the cost of conventional fault diagnosis systems is high. Interest in advanced diagnostics
in terms of validation is now moving into fields where the impetus behind the scheme is not only
improvement in safety but also reduction in cost. Rapid advancement of digital technology, availability
of low cost Very Large Scale Integrated Circuits (VLSI) technology, embedded philosophy, wide-
range of interfacing devices and circuits, and most importantly the emergence of open system
standards and platforms have the implications of development of low cost high performance validation
schemes within the mechatronic applications.
Conventional principle results in the separate implementation of the control solution and the
validation solution as shown in Fig. 14.4. That is the control algorithm and validation algorithms
(Traditionally it is also called FDI algorithm) do not reside in one realm of operation. As a result the
overall design cost becomes high. Further real-time parameters cannot be met. The modern scheme
intends to integrate the control algorithm and validation algorithm in one platform.
Control algorithm FDI algorithm

Control algorithm
and FDI algorithm

Target control system with sensors, actuators, Target control system with sensors, actuators,
switches, valves, displays, etc. switches, valves, displays, etc.
(a) Conventional approach (b) Integrated approach

Fig. 14.4 Conventional versus integrated approach

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14.4.2 Design Independence

Hardware vendors do not normally include validation algorithms in their devices. Given a non-
intelligent device, the validation algorithm can be developed and embedded close to the device. The
validation scheme should be independent of a manufacturers’ design (Fig. 14.5). The complex nature
of mechatronic system prohibits individual users from evaluating the full requirements for validation
schemes and from determining the validity of any approximations made to simplify an implementation.

Target control system

Open (Machines)
automation
environment VLSI

Component validation

Information Digital
technology technology

Manufacturers' design
(sensor, actuator, valve, etc.)

Fig. 14.5 Validation implementation; Independent of a manufacturers design

14.4.3 Distributed Local Level (Field Level) Implementation

Traditional ways of finding fault is shown in Fig. 14.6. This type of scheme is centralised in nature,
utilising extensive point-to-point connections.

Component fault detection and validation algorithm (Centralised)

Machine
Switch
Actuator Sensor Actuator Sensor Valve

Fig. 14.6 A conventional centralised fault detection scheme

A centralised system is inherently not flexible and cannot easily be extended or enhanced. As a way
forward, distribution of task is seen as an effective way of dealing with system complexity and
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configurability. For the benefit of overall efficiency, the validation scheme should not conflict with
higher control levels. The realization of effective smart control solutions using component level
distributed diagnostics has been a challenging new domain into validation schemes. The advances in
recent years in fieldbus technology and embedded computing technology have allowed intelligence to
be distributed to the component or device level of a system, offering a greatly enhanced flexibility in
segmenting and aggregating control systems. Assuming the availability of in-built processing power
to perform self-diagnostics, it is reasonable to ascertain that abnormal information or malfunctions
can be found within components. The validation scheme is at the lowest level of a hierarchical control
stack (Fig. 14.7). The method ensures a consistent design approach, which prevents the propagation
of any component faults to the loop level.

Process/System level Process validation

Network level
Loop validation Network validation
Loop level

Component level Component validation

(a) Hierarchical control stack (b) Proposed validation approach

Fig. 14.7 Hierarchical validation schemes

Validation at the local level provides a cost-effective and flexible alternative. With the above in
sight, a detailed investigation into the problems of local component validation and an attempt to
improve the status quo in this field are worth pursuing from both an economic and technical
viewpoint.

14.4.4 Using Open Systems

An architecture or standard whose specifications are public are known as open systems. This includes
officially approved as well as privately designed architectures whose specifications are placed in the
public domain. The great advantage of open standards is that anyone can design products and system,
which conform to the specification of requirements. An open systems environment allows users to
choose platform that fit the implementation needs. These systems offer interoperability, scalability
and portability, permitting different systems to fit together, and software developed on one platform
to run on another with minimal adaptation. Users have the assurance that future purchases will easily
integrate with existing systems, decreasing their reliance on a single supplier, and the need to replace
an entire system.
When dealing with diagnostics of systems or components the difficulty is not only to find the
scheme and approach for the problem, but it is necessary to take into account any of the constraints
that comes as a result of the implementation. Openness touches all aspects of the control system;
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from the simplest sensor to the most complex manufacturing system. If we look at the key
components of the system, namely; controller, bus structure, I/O, networks, operating system,
programming methods, human-machine interface and even the devices themselves, each has its own
breadth of openness. The goal is to provide an approach for the development of solutions using open
automation system products in which standard products of different vendors can be used. Open
automation system can offer promising possibilities for the implementation of diagnostic capabilities
within in an inexpensive way.

14.4.5 Comprehensive, Portable, Expeditious and Reliable

A validation scheme should be cooperative and complementary. It should provide prompt, accurate
information as to when the component fails so that appropriate remedial actions can be carried out. In
brief component validation should be;
· Comprehensive: capable of detecting and diagnosing various modes of component validation
· Portable: applicable to a wide range of component machine family
· Expeditious: making prompt detection and diagnosis
· Reliable: providing accurate detection with minimal false alarms.

14.5 MORE ABOUT VALIDATION SCHEME

In order to design a validation scheme for a system the design process follows two stages, namely;
· Learning stage
· Commissioning and tracking stage.

14.5.1 Learning Stage

Prior knowledge of the component specification, operating conditions and signal pattern for each
failure or validation mode (described below) are either supplied by the process engineer or extracted
from an in-built knowledge base. This information is essential for subsequent diagnosis and validation
of components and machines. Component signals should be well-conditioned and have adequate
resolution. Before a meaningful examination of the problems in the field can be carried out, it is
necessary to have a good understanding of the fundamental concepts concerned. There are four main
aspects to be considered before developing the validation algorithms and their implementation
(Fig. 14.8). They are:
· Operational knowledge on the components/systems
· Scheme selection
· Identification of validation modes
· Mapping between symptoms and the faults.
Operational knowledge on the device within a system Knowledge of devices is essential
before implementing validation algorithm. Consider two systems; (i) a servo-pneumatic actuator
system and (ii) a digital thermo sensor system. In the first case, a fault in the valve, a fault in the limit
switches and/or pressure sensors could cause adverse symptoms on the actuator’s movement. In
second case, a loosely connected thermocouple, a blown-out operational amplifier, or an incorrect
power supply will lead the system to shutdown. Thus knowledge of the individual devices within the
system is necessary, however a detailed knowledge of the individual devices is not required.
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Operational knowledge
on the components

Scheme selection

Identification of
Validation Modes (VM)

Mapping

Algorithm development

Installation

Fig. 14.8 Learning stage of validation scheme

Scheme selection Selection of a validation scheme plays an important role for a particular type of
component, i.e. whether the component is a sensor or an actuator. Even within a single component,
implementation of multiple schemes can also be considered appropriate. For example, consider a
servo pneumatic actuator system. This system is an electromechanical system, which typically
consists of a piston-cylinder (mechanical) body, which incorporates control devices such as a valve
(which is again an electromechanical system), encoder, limit switches and/or pressure sensors used
for control and feedback purposes. As a whole, this integrated system can be thought of as a
mechatronic system. In order to find out adverse symptoms in relation to the cylinder such as (i)
piston is not moving, (ii) moving in wrong direction, (iii) stopped at mid stroke, etc. limit value
checking based methods can be considered suitable. Furthermore, in order to validate the whole
system, it is necessary to validate other components such as sensors, valves, switches etc. integrated
with it. Sensor fusion or hardware redundancy principle, statistical approach, spectrum analysis can
be applied to sensors and microswitches.
Definable validation modes and their representation A device is declared faulty, if some
adverse symptoms are observed. Knowledge is required both from the component manufacturer, to
determine what the fault is and how it affects the control systems, and from the operator or control
engineer, to determine the impact on plant operation of the loss of measurement quality and to select
an appropriate operational response. Validation Modes (VM) represents the type of fault or
combination of faults within the system. In the case of sensors VM could include spike fault, constant
fault, threshold fault, etc. whereas in the case of actuators the VM could include, actuator not moving,
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stop at the mid-stroke etc. In order to map the Validation Modes and faults within the system, various
aspects have to be considered; such, as,
(i) What are the kind of Validation Modes a sensor/actuator might exhibit? (ii) What form should
the diagnostic data take? and (iii) How is the diagnostic data generated and interpreted ?
Symptoms of faults Determining the appropriate operational response to a component fault is
more complex. It should be noted that measurement quality (in the case of a sensor) is needed to
determine the impact on the control system.This is because the plant operation is not dependent on the
sensor itself, but rather the measurement that it generates. There is a complex relationship between a
component fault and a resulting error, if any. This relationship becomes more complex as diagnostics
become more sophisticated. For example, if a sensor generates several different measurements, then
a single fault in general affects each measurement differently. This relationship between faults and
measurements of course varies between component technologies and is at least slightly different for
comparable products from different vendors. If the vendor provides only a device-specific error code
then the user is left with the job of mapping from component fault to measurement consequence.
However, few users have assessed to the required vendor’s knowledge of sensor faults and
measurement quality. By far the most suitable delivery vehicle for this knowledge is the component
itself, which can carry out a detailed analysis of the current fault condition to derive the impact on
each of its measurements.

14.5.2 Commissioning Stage

Suitable algorithms should be configured in line with the requirement for component validation. Based
on suitably configured algorithms, and an assured error-free observation of a component’s output
signals over a specified period, a complete model with selected utilities has to be developed.

14.6 FUSION TECHNIQUE; AN EXAMPLE WITH VISION SYSTEM

Vision systems are being used for non-contact measurements in a wide range of manufacturing
environments. Vision systems employ full frame sensors coupled to the host processor by means of
an analog video line, an analog-to-digital converter and a memory frame. These image-acquisition
sub-systems are based on a broadcast type camera. The image is captured and stored in a frame
grabber and the analysis is carried out within the host processor.
In order to provide the environmental/surrounding information such as obstacle identification,
range and angle of the obstacle, etc. vision-based systems are mostly used in the semi-autonomous
guided vehicle. Vision-based sensing systems have long been developed in order to achieve optimal
perception. The important aspect in the vision system is to provide accurate and reliable information
about the environment. In contrast, the vision system however powerful has difficulty in providing
accurate and reliable information, if the system fails to work due to accident or some other reasons.
Reliable and more accurate information about the environment can be achieved by data fusion
technique.
Data fusion considers a very wide domain. It is an approach to information extraction, which can
be adopted in several domains. An illustration is given by the human system, which calls upon its
different senses, its memory and its reasoning capabilities to perform deductions from the information
it perceives. A general definition of data fusion is as follows.
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“Set of methods, tools and means using data coming from various sources of different nature, in
order to increase the quality (in a broad sense) of the requested information is called data fusion”.
This definition is broad. Another definition is as follows.
“Data fusion is a formal framework in which there are expressed means and tools for the alliance
of data originating from different sources, and for the exploitation of their synergy in order to
obtain information whose quality cannot be achieved otherwise”.
In most practical applications the combined information of two or more sources of complementary
data can be greater than the sum of the parts. This is found to be true when imagery data needs to be
annotated for location, obstacle/object identification, or when maps and imagery need to be overlaid
for better identification of lines of communications. It could be shown that the performance of
automatic machine exploitation and identification techniques improve dramatically when
complementary data is combined and is used as the input to the decision-making system such as
Expert Systems (ES). In the context of autonomous vehicle, multiple sensory systems should be
provided in order to avoid catastrophic disaster that always expected. A typical data fusion scheme
for better understanding of the environment has been illustrated in Fig. 8.20. Data-fusion systems can
also be developed with a distributed philosophy. By fusing and correlating sensors information about
the environment, the expert system could produce detailed analysis. The expert system should thus be
able to perform the following:
Low-Level Image Processing
Change-detection,
edge and region
extractors, etc. Scanning system Other sensory
systems

QUALITY OUTPUT
Object detection
EXPERT SYSTEM
Proximity sensor

Image Processing
Vision Vision
Crowding evaluation, Vision system Other sensory
Intruder tracking, (camera) systems
motion estimation,
object detection

Fig. 14.9 Typical data fusion scheme in a typical semi-autonomous vehicle (SAV) for
better understanding of the environment
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· Task management in terms of sensor data management, and

· Intelligence analysis.
The sensor information from all the sensors such as camera, proximity, scanning etc. can be fed
into the ES.

· While mechatronic systems have grown in complexity, there has been a drive towards using
modular approaches in the design of systems.
· Components-based design is a new concept that is being used for the design of systems of
interdisciplinary nature.
· In generalized sense the components based design philosophy provides a logical basis for the
implementation of a methodology for realising control system for mechatronic systems.
· Object oriented methodologies in software engineering have many similarities to components-
based design.
· A components based approach facilitates; (i) Easy modifications and improvement to the system
as needs change, (ii) Ease of maintenance, (iii) Improved functionality and performance,
(iv) Enhance properties in terms of interoperability, scalability, extendibility and reusability and
(v) Faster customisation.
· A component is a hardware or software entity with an identifiable boundary which can be
designed to perform certain functions and which can be used to compose more complex entities
for a given purpose.
· Components can be divided into two main categories, namely: software components (SC) and
hardware components (HC).
· Components based system is considered as a design methodology for achieving reusable and
responsive machine control systems, purpose-based control construction and an open systems
based modular approach.
· Validation is a process of assessing a system or component’s performance with regard to any
abnormal situation.
· The need for validation can be categorised under four headings, namely, step towards total
automation, safety, smart system and sustainability.
· Manless plant can be considered as an attribute of total automation.
· The technological drive towards the manless plant and processes demands greater intelligence
in terms of availability and reliability of the devices and machines.
· Environment, health and safety legislation/regulation on company liability requires greater
assurance that failures can be quickly detected and isolated before endangering the environment
and human life.
· Modern control system needs potentiality or gravity or more accurately validity (Fig. 14.3) of
the measured signal in order to make decisions whether or not to use the input measurement
from the sensor.
· Life Cycle Assessment (LCA) is a process (i) to evaluate the environmental impact, burdens
associated with a product, process, or activity by identifying and quantifying energy and
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materials used and wastes released to the environment; (ii) to assess the impact of the energy
and materials used and releases to the environment; and (iii) to identify and evaluate opportunities
to affect environmental improvements.
· A typical validation scheme must have methodological features, such as integrated scheme,
design independability, distributed environment with field level implementation, open systems
scenario and comprehensive.
· A validation scheme for a system the design process follows two stages, namely; learning stage
and commissioning and tracking stage.
· Data fusion is a formal framework in which there are expressed means and tools for the alliance
of data originating from different sources, and for the exploitation of their synergy in order to
obtain information whose quality cannot be achieved otherwise.

While mechatronic systems have grown in complexity, there has been a drive towards using
modular approaches in the design of systems. Components based design a modular concept
that can be employed for the design of systems of interdisciplinary nature. This chapter
describes the principles of components based design. How the design philosophy provides a
logical basis for the implementation has been narrated in detail.
The chapter has been divided into two parts. The first part describes the components based
design concept and the second part describes the concept of validation, a way forward to
intelligent control system design based on distributed modular approach. In particular the need
for validation under the heading of step towards total automation, safety, smart system and
sustainability have been presented. Moreover, validation methodology in light of integrated
approach, design independence, distributed environment with field level implementation, open
systems based and comprehensive approach have been the topic of discussion.

LOOKING AHEAD
Mechatronics is the synergistic integration of many disciplines such as mechanical,
electronics, control engineering, etc. in the process of product design. In present scenario the
technological development requires simultaneous knowledge of discrete fundamentals.
Synergistic integration is solitarily logic based integration as it was stated in the Chapter 1.
Combined action and cooperation increases effectiveness and productivity. In view of this, the
knowledge gained up to now has to be implemented by integrating the disciplinary knowledge
in terms of software, hardware, tools, methods and techniques. In particular, the integration
should deal with issues involved with coupling microcontrollers, computers and associated
measurement systems for achieving desired requirements. Chapter 15 includes some
examples of mechatronic systems enlightening the principle of such integration. In summary
the chapter describes a deeper insight into the subject matter. This chapter is an extension of
the first chapter in terms of detail technical touch and understandings.
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EXERCISES

14.1 Explain component based design view.

14.2 Define the term ‘component’ in the context of mechatronic design.
14.3 What are the facilities obtained by the use of components-based design methodology?
14.4 Describe various types of components.
14.5 Schematically show various components of the machine control systems.
14.6 Summarize the benefits that are achieved by adopting the components-based approach.
14.7 What do you mean by validation?
14.8 Describe the advantages of implementing validation scheme.
14.9 What do you mean by sustainability?
14.10 Discuss about validation methodology.
14.11 What do you mean by integrated approach?
14.12 Discuss various stages of design process in the context of validation implementation.
14.13 What do you mean by the symptoms of the fault?
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Integration

· To demonstrate the integration philosophy in view of mechatronics technology.

· To express the features of sequential control systems.
· To present the characteristics of the motor and compare them from application point of view.
· To illustrate advanced electrical and pneumatic actuating systems.
· To illustrate typical pneumatic actuator system for servo control and in particular to define
‘software servo’.
· To discuss about the mechatronic products and systems such as consumer electronic
products, hydraulic fingers, surgical equipments, industrial robot, mobile robot, AGV, drilling
machine, conveyer based material handling systems, etc.
· To describe the control architecture of mechatronic systems such as AGV, drilling machine and
conveyer based material handling systems.
· To study and realize the validation scheme in some control components.
· To show interfacing circuits and signal conditioning circuits for some mechatronic systems.
· To discuss various issues in the prospects of the outcome of the integration study.
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15.1 INTRODUCTION
Integration is a process of incorporation of methods, tools, sub-systems and ideas in an optimized
manner. This chapter fills the gap between the theoretical study and practical implementation. The
knowledge gained so far has to be implemented by integrating the software, hardware, tools, methods
and techniques. Apparently, the chapter includes many examples of mechatronic systems in terms of
design concepts, technical know how and understandings. Some of the examples have been tested in
real platform so as to enable the reader to build deeper insight into the concepts of integration.

15.2 BACKGROUND
From control prospective, mechatronic systems require sequential control applications and a wide
range of devices depending on task requirements. In these systems I/O is predominately binary 24
volts DC. Actuators are typically in the form of electric motors, pneumatic cylinders, depending on
the loads involved with limit switches, infrared, cameras, proximity sensors or microswitches
providing feedback signals. Sequentially controlled machinery have a generic set of essential
requirements in terms of coordination, synchronization, acknowledgement, timing etc. In addition to
achieving the required sequence of operations it is vital that safety, error recovery, diagnostics and
operator information requirements are also satisfied. The following list highlights some of the features,
which the mechatronic control system should satisfy.
· Interlock Checking: Before any movement the current position of related mechanical units
must be determined to avoid collisions.
· Time Out Checking: If a mechanical drive unit has not completed its movement/cycle within
the expected time an error has to be indicated.
· Status Display: At each step in the sequence, an application relevant message can be displayed
to the operator.
· Error Messaging: Each step in the sequence has an associated list of messages to display when
any error has been detected.
Besides real-time performance and the cost per components, there are other two factors to be
considered while integrating the machine systems.
· Ability to change the number and type of control components on a particular machine in order
to easily modify/extend its functionality, and
· Ability to individually configure and test components of the machine before they are combined
together,
Mechatronic systems design require engineering knowledge in several technology domains. The
systems design has to integrate mechanics, electronics, control engineering, embedded hardware and
software into the machine. This requires effective concurrent design processes.

15.3 ADVANCED ACTUATORS

Actuators are important control devices. Actuators are used in a wide variety of applications. Their
function is to produce rotational or linear movement. Basic actuators are usually a power switch or a
valve, electrical motor and pneumatic or hydraulic type. A classification can be concentrated on two
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Integration

major groups; electromechanical actuator and fluid power actuators. Figure 15.1 illustrates how
recently a paradigm shift has been occurred as far as development of advanced actuators are
concerned. A standard actuator in its basic form only possesses the control algorithm. However, an
advanced or smart actuator is much more than this. It integrates auxiliary features such as condition
monitoring, fault detection and isolation scheme, digital technology, microelectronic and nevertheless
the open system standards as illustrated in the Fig. 15.1.

1. Control algorithm (Open-loop- or closed loop)

1. Control algorithm 2. Condition monitoring
(Open-loop or closed-loop) 3. Fault detection and isolation

Paradigm shift

A A 1. Microelectronics
Standard Standard 2. Digital system
actuator actuator 3. Distributed control
4. Open standards

Fig. 15.1 A typical advanced actuator

15.3.1 Advanced Motorised Actuators

For an electric motor to perform efficiently, an optimal match of the motor and the drive system must
be achieved. For machine control, selection criteria include power, torque speed and control
bandwidth. The characteristics of the motor are illustrated in Table 15.1.
Electric motors make a good fit for conveyor drive, pump, fan, packaging, and some hoisting or
lifting applications. Most applications use popular AC induction motors, but brush and brushless DC
motors are also drawing attention. The latter motor technology takes a step further, offering an
essentially complete servo positioning system. Smart motors in terms of motor, its controls and
diagnostics or validation residing in one unit have long been in development and have been finding
wider use in recent years. Smart motor technology promises to save space, cost, and installation time
vis-à-vis traditional solution. However, in some simple applications such as fixed-speed applications,
e.g. conveyor drives, where the control task is not too complex (in this case the control task is to run
and stop the motor) consideration of smart motors may appear costly.
Performance can be improved by monitoring the condition of the actuators on-line. Condition
monitoring attempts to identify faults. Diagnostics of electric motors is considered to be a complex
operation, in the sense that there are many kinds of failures expected that originate from various
sources. Electric motors can be monitored by the use of physical parameters, such as voltage, current,
speed, magnetic flux, armature resistance/inductance, magnetic flux, viscous friction, dry friction,
etc. and characteristic parameters such as voltage constant, torque constant, mechanical time
constant, etc. A possible scheme can be seen from Fig. 15.2.
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Table 15.1
Motor characteristics
Brushed DC Brushed DC Induction Brushless Switched Induction Stepper
& converter & PWM motor and DC & AC reluctance Motor under
controller inverter FOC
Torque range < 3kNm < 200Nm < 1.5kNm <120Nm <2.5kNm < 1.5kNm < 12Nm
Speed range 9krpm 9krpm 10krpm 100krpm 5krpm 10krpm 3krpm
Power range M W 100kW MW 100kW MW MW kW
Torque ripple < 10% <2% < 5% <5% < 10% < 5% < 50%
Torque at
zero speed Rated Rated Poor Rated Rated Rated Good
Base speed WF - Yes WF - Yes No Possible No Yes No
extension PM - No PM - No
Power density WF medium WF medium Medium High Medium Medium Low
PF high PF high
Acoustic
noise Medium Medium Low Low High Low High
Motor drive
complexity Moderate Moderate Moderate High High High Low
Price Moderate Moderate Low High Moderate High Moderate
Environment
tolerance High High Very high Industrial Very high Industrial High
Maintenance
requirements Regular Regular low low low low very low
Open loop
capability No No No No No No Yes
Velocity
control
bandwidth < 20 Hz < 150 Hz < 5 Hz < 150 Hz Low < 100 Hz Low

The characteristic parameters can be obtained from the manufacturers data sheet, and if the
parameters are not provided, a test procedure has to be carried out in order to obtain them. It is thus
necessary to have it stored in memory as priori. Then the physical parameters are measured on-line.
Applying sensors for measuring the position, speed, torque, voltage, current, etc. it is possible to
estimate the characteristic parameters from the physical parameters on-line. On-line estimated
parameters are compared with the stored parameters which have already been obtained from data
sheet or determined by the experiment to detect and isolate faults and hence to provide validation
index.
Implementation schemes differ from application to application depending upon what kind of
diagnostic features are to be accommodated. In theory, although failure identification methods are
simple to understand, but in practice diagnostic scheme is not economical. This is because the
practical diagnostic scheme involves the measurement of physical parameters such as resistance,
torque, voltage, current etc. To measure AC voltage/current and resistance, galvanometer type
expensive instruments are necessary. To measure the torque, a torque meter, is essential. In some
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applications such as aerospace, where safety is a dominant feature, comprehensive validation

implementations are must.

Voltage/Current
Torque meter Temperature
measurement Hall device Encoder
sensor
device

Voltage/ Torque Temperature Magnetic Speed

Current field

(Data Fusion) Knowledge base

Fault analysis based on comparison of (Characteristic and
Perception
characteristic and physical parameters using physical parameters)
measurements

Validation modes (Fault types)

Fig. 15.2 A possible scheme for smart motorized actuator integration

15.3.2 Pneumatic Actuators

Pneumatic drives are employed for position control. The ready availability of microprocessors and
microcontrollers allows industrial users to develop servo-controlled pneumatic actuator systems with
an acceptable cost. Pneumatic actuators to accomplish more sophisticated motion control tasks are
more and more employed. These actuators have their inherent ability to provide a low cost, compact,
safe and simple operation. Other notable features are:
· Simplicity in mechanical structure
· Reliable driving capability
· Low moving mass
· Faster response
· No heat dissipation problem
· Natural compliance
· Ability to operate in high temperature environments
Pneumatic actuators have been used for servo applications even as axes of numeric control
machine systems. The motion sequence of a Numerically-Controlled (NC) axis in a packaging system
in which bottles are to be inserted into a container consists of various positions to which the NC axis
moves. Figure 15.3 illustrates a typical application in a packaging system.
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d
b c

Fig. 15.3 Typical application of pneumatic servo-actuators

Figure 15.4 illustrates the principal elements of a typical pneumatic system. One can see that the
actuator is interfaced with other three major elements such as a controller, feedback sensors and a
valve. The feedback sensors could be a limit switch, and/or encoder, and/or pressure sensor. Other
requirements include the compressed air supply, pressure regulation, transmission pipes and possibly
a local reservoir for stabilising the pressure supply to the actuator.

Fig. 15.4 A typical pneumatic actuator system for servo control

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It seems that the conventional use of pneumatic actuators still remains dominant in low cost
automation systems. The perception of pneumatic actuators is changing as they are now increasingly
being considered for more complex industrial processes and systems where high performance
capabilities are the desirable parameters. The application boundaries of pneumatic actuators depend
on many influencing factors. The widespread use of pneumatic systems indicates the enormous
potential if improvements can be made in terms of:
· Control algorithms and modeling which are required to deal with nonlinear properties to achieve
good servo control.
· System packaging; the way the actuator is packaged plays an important role in determining the
manner in which the actuator is used and therefore how well it is accepted by the users.
· Self-diagnostic capability; fault tolerance validation capability.
The problems associated with these actuators are:
· Because of environmental condition, it is not an easy task to maintain the compressibility factor
of the supply air constant with respect to time.
· The problem of friction compensation.
· The non-linear behaviour.

15.3.3 Servo-Actuator Systems

Servo-actuators such as servo-motors, servo-pneumatic, servo-valves in their conventional form are
mechanical devices. The control valves are mechanical devices with electrical modules, e.g. solenoid
driver valves requiring an electrical signal to operate.
Smart actuators, however, require additional elements to do much more than their counterparts.
Various perspectives are involved in the development and need to be integrated in a coherent manner.
Sophisticated control algorithms are required to deal with the non-linear properties to achieve good
servo-control. An associated tuning strategy needs to be developed to facilitate the ease of use and
commissioning of such systems. Feedback sensors and control components in the servo system can
influence the way in which a control strategy is devised. Actuator intelligence can be realised more
cost effectively and more efficiently by the use of digital control networking system. Using additional
computation in conjunction with the conventional control algorithm, the development of methods for
quick detection, and diagnosis of faults in the servo actuator systems is necessary.
The processor-based motor control systems are called ‘software servo’ which means the required
control processing is implemented by software without using much electronic circuitry. The software
servo is more often found in the application areas of motor control systems by the use of general-
purpose 8-bit processors; the intention is to reduce electronic circuits in order to achieve:
· Standardization of control board
· Drifts free design, inherent in analog electronic circuit
· To obtain higher flexibility in control.
With the advent of 16-bit processor, microcontrollers, DSP, RICS and CISC processors the
software servo has become a sedentary technology. These chips have been designed to support a
wide range of high speed or numeric-intensive applications. As observed, among various types of
electric motors, the AC motors have been more and more used in the field of industrial motion control
applications. Figure 15.5 shows the basic feedback system configuration of a servo motor control
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system. It is seen that the basic concepts of motor control systems falls under three categories,
namely; torque control, speed control and position control. The position and speed information are
usually obtained from the encoder. The current information is obtained from the current sensors.
These signals are converted to digital form by the use of A/D converter prior to feeding them to the
Digital Signal Processor (DSP).

+ Position + Speed + Power

MOTOR
controller controller controller Torque
− − −

Current

Speed

Position

Fig. 15.5 Basic feedback system configuration of a typical motor control system

15.4 CONSUMER MECHATRONIC PRODUCTS

A group of products based on mechatronic design strategy incorporates intelligence through ASIC
(Application Specific Integrated Circuit) chips and thereby forms a new breed known as Consumer
Mechatronic Products (CMP). Auto-focusing cameras, xerographic copying machines, thermal inkjet
printer, washing machines, and toys are examples of CMPs.

15.5 HYDRAULIC FINGERS

Pfeiffer developed an artificial mechatronic hand with four hydraulic intelligent fingers. The integrated
hand hardware and software is capable of grasping and re-grasping objects meticulously. The
intelligent grasping and re-grasping phenomenon takes into account various parameters, such as the
questions of reachability, penetration, collision avoidance, contact with impact, and friction.

15.6 SURGICAL EQUIPMENT

Mechatronic design based surgical instruments have been developed to permit incomparable technical
delicacy, thereby enabling doctors to overcome the dangers of certain risky procedures and
impossible work. The primary interest is to design surgical tools of high accuracy for any kind of
surgical procedure. For instance, a surgeon needs a sophisticated instrument when operating on the
ear of a deaf person. For this purpose it is essential to drill a hole in one of the smallest bones in the
middle ear without damaging the delicate bone tissue of the inner ear. Specially developed mechatronic
tools are capable of enabling such micro-accuracy. Recently, the manufacturers have developed
many mechatronic instruments for surgical application.

15.7 INDUSTRIAL ROBOT

Robots are widely used in various fields. Robot is a technological system, able to replace or assist man
in carrying out a variety of physical tasks. It produces an impression of man-like machine capable of
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super human performances at peak efficiency. It would not be wrong to state that almost all research
works in Robotics are intended to achieve the physical docility and intellectual independence. In
general, it is very difficult to define a robot. When in application, robots are in continuous interaction
with the surrounding environment. This is achieved through sensor-mediated, computer-controlled
interpretive systems that exclusively emulate human capabilities. The Robotics Industries Association
(RIA) has defined the industrial robot as follows:
“A robot is a software-controlled mechanical device that uses sensors to guide one or more end
effectors through a programmed motion in a work space in order to manipulate physical objects.”
Another definition of a robot is (Courtesy: EFY, August 2002),
“An industrial robot is a reprogrammable, multifunctional manipulator designed to move
materials, parts, tools or special devices through variable programmed motions for performing a
variety of tasks.”
There are various types of robots in the practical field of application. One of the classifications is
based on whether they are fixed or mobile. Accordingly, they are:
· Fixed robot
· Mobile robot
The fixed robot has its base clamped to ground or platform and they are immobile. They do not
have any locomotive system. They include a controller and are used for a specific task. Some of them
are also controlled remotely.
The mobile robot on the other hand has a movable body. It is more difficult to build a mobile robot.
There are various parameters, which have to be considered while developing a mobile robot. The
mobile robot must have a locomotive system. If the movement is to be carried out over a smooth
ground, wheels or tracks are usually to be chosen.
Some mobile robots are controlled remotely. The remote control communicates with the robot
through an attached wire called guided wire, radio or infrared signals. Remotely controlled robots are
useful for exploring dangerous or inaccessible environments, such as the deep sea or inside a volcano.
Mobile robots help the mankind in a number of ways. Some explore other planets or inhospitable
areas on the Earth, collecting geological samples. Others seek out landmines in former battlefields.
The police sometimes use mobile robots to search for a bomb, or even to apprehend a suspect. Mobile
robots also work in homes and businesses. In future the hospitals can use robots to transport
medications. Some museums use robots to patrol their galleries at night, monitoring air quality and
humidity levels. The most prospective use of the mobile robots is in the field of navigation. The real
challenge lies in imparting intelligent locomotion to robots rather than guided motion.

15.7.1 Different Parts of a Robot

For a machine to qualify as a robot, it importantly needs five parts, namely (Fig. 15.6 (a) and (b));
· Controller
· Drive or actuator
· Sensor
· Arm
· End effector
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15.7.2 Controller
Every robot is connected to a computer, which keeps the pieces of the arm working together. The
computer along with software development platform is known as the controller. The controller
functions as the heart of the robot. The controller also allows the robot to be configured with other
systems, so that it may work and coordinate together with other machines, processes, or robots. The
controllers run the programs, a set of instructions, logically linked, written in code by taking the
advantage of using the development platform. In many situations the programs are developed at
commissioning stage and on-line and in some cases the robots are entirely pre-programmed. The
controllers with artificial intelligence (AI) make robots more self-reliant and independent.

End effector
CAMERA
Joints (Actuator)

Arm
Controller
Interface

Infrared sensor
Vehicle Body
Controller
End effector Wheels
BASE

(a) (b)

Fig. 15.6 Fixed and mobile robot

15.7.3 Drive
Drives or actuators are part of the control element that acts under the command of the controller and
translates the signal from the controller to the operational units in order to perform final action.
Actuators of a robot have a direct influence on the task for which the robot is designed. They cause
the end effectors to move in workspace. Electric, pneumatic and hydraulic actuators are the most
popular driving units.
Theoretically, any type of electric motor can be used but only the direct current (DC) servomotor
and the DC stepping motor are the preferred choice for robotic systems. DC motor has the important
advantage of providing torque that is virtually independent of position and speed of the motor,
depending only on the field coils and armature. Torque is proportional to the current in the armature
and speed depends only on the supply voltage. The stepping motor is particularly well suited for
precise positioning purpose. Stepping motors allow a digital electrical signal to be converted directly
into an incremented angular positioning movement. The stepping motor is synchronous, so there is a
correlation between the input command and the resulting position. There are three types of stepping
motors. They are:
· Motors with permanent magnet rotors
· Motors with variable reluctance
· Hybrid motors or polarized reluctance motors
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Typically, pneumatic or hydraulic pistons move functional unit of the robot back and forth. The
pistons attach to different segments. It is a requirement in getting all the pistons to work coordinately.
Moreover, it is essential to figure out the right combination of piston movements in order to do the job
properly.

15.7.4 Arm
The arm is the part of the robot that positions the end-effector to do their pre-programmed task.
Robot arms come in all shapes and sizes. Many robot arms look like human arms, and have the parts
such as shoulders, elbows, and wrists, even fingers. By virtue of programming, this gives the robot a
lot of ways to position the parts of the arm in its environment. The point of meeting of two different
parts of the arm is called joint. Each joint is said to give the robot one degree of freedom. An industrial
robot can have upto six joints to form an arm. It has the equivalent of a shoulder, an elbow and a
wrist. Characteristically, the shoulder is mounted to a stationary base structure. The robot having six
degrees of freedom, can pivot in six different ways. A human arm, by comparison, has seven degrees
of freedom.
Thus, a simple robot arm with three degrees of freedom can be able to move in three ways,
namely; UP and DOWN, LEFT and RIGHT, FORWARD and BACKWARD. Many industrial robots
have up to six degrees of freedom. The number of degrees of freedom of an arm is equal to the
number of terminal segments. Alternatively, a segment can have six degrees of freedom when its
position at any given moment becomes fixed using six independent variables. Positions are described
by nautical angles that defines the orientation relative to a fixed trihedron and by coordinates. A
segment when connected bilaterally to other segments can have six degrees of freedom or less.

15.7.5 End Effector

The end effector is the hand connected to the robot’s arm. The end effector in the form of gripper,
vacuum pump, tweezer, scalpel, blowtorch, etc. is just about anything that helps it do its job. Some
robots can change end effectors, and be reprogrammed for a different set of tasks. A robot can have
many end effectors. If so, then each one is suited for a specific task.

15.7.6 Sensor
Sensors play an important role in functioning of robots. Sensors are basically measurement devices
that translate one form of signal into another. They are used in the robots for feedback purpose. The
feedback system helps in guiding the robot end effector along the proper path for proper operation
and can also help to avoid collisions with obstacles. Moreover, they are required for compliance
estimation, helping robot to detect whether the target object is hard, rough, or brittle so that proper
force or torque can be used while handling the target object. Sensors are classified as,
· Internal state sensors
· External state sensors
Internal state sensors are basically used for detection of variables that help in identifying orientation
of the tool tip and manipulator joints. External state sensors are used for detection of variables such as
the range of the target or the concerned object of interest to be picked or moved, proximity of the
target, and touch for the target. These help in guiding the robot for object identification and handling,
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etc. In another way, robotic sensors are divided into three categories depending upon the areas of
application.
The application areas are visual inspection, part finding and controlling manipulator (arm). The
visual inspection of parts includes identification of parts, detection of burrs, cracks, bend, voids,
examination of cosmic qualities, inspection of surface finish, calculation of number of holes,
measurement of length, breadth, depth, diameter, curvature etc., inspection of correctness and
completeness of assembly, and so on.
Within the domain of material handling and assembly operation, it is necessary to find the parts
from a pile of occluded objects or unstructured environment. Finding of parts requires identification
of the part and determination of position and orientation. This can be achieved by the use of visual
sensor. Visual sensors are optical or electro-optical and consist of cameras and scanning systems that
employ measurement of intensity and range data. Providing vision to a robot is a very lively prospect
of sensory system. Cameras and scanning systems are mostly digital type. These devices are usually
fitted near the end effector of a robot.
Feed-forward robotic system does not require any sensory devices controlling the manipulator.
However, in order to maintain high precision usually at high cost, feedback sensory devices have to be
integrated within the robots for the control of both simple and complex manipulative operations.
Noncontact such as visual sensing and contact such as force, torque and touch sensing schemes are
usually applied. Noncontact sensors are proximity sensors, electro-optical imaging sensors and range
imaging sensors. Contact sensing technology is achieved by the use of force sensors in the links and
hands of the manipulator and essentially applied for collision avoidance. The motion of the robot
(manipulator) is stopped when the preset force threshold is exceeded. Contact sensors are used for
packaging, insertions (screw, shaft, pegs, bolt, etc.), searching, grasping, and moving etc. operations.
Different types of force sensors are strain gauge, piezoelectric, magnetostrictive, and magnetic and
others. Moreover if the joints of the robot are driven by DC motor then the force and torque acting on
the joint can be found out by measuring the armature current. Similarly, if the joint is driven by
pneumatic or hydraulic actuator then sensing is carried out by measuring the back-pressure. Typical
touch sensors are microswitches. These switches are called binary touch sensors due to the fact that
the output is either on or off. Another type of touch sensor is called analog touch sensor. It is a device
whose output is proportional to local force. These sensors are mounted on the inner surface of the
gripper or finger to measure gripping force and to take out information about the object inside the
gripper/finger.

15.7.7 Functional Requirements

To function, the robot requires:
· Work space.
· Source of energy.
· Source of information.
The robot controller has two main units such as central processing unit and the operational unit.
The central processing unit supplies output information using following input data,
· Instructions defining the task to be carried out.
· Measurements concerning the state of the operational unit.
· Observations on the workspace.
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The central processing unit is concerned with data processing. The operational unit is the physical
robot itself. It takes action on the workspace by using, transforming and/or acquiring energy from the
suitable source(s) and reacting to the signals and commands provided by the sensory systems and
central processing unit. The block diagram of the central processing unit and operational unit has been
shown in the Fig. 15.7.

Source of Source of Source of Source of

Process
information energy information energy

Measurement
Robot Control
devices
Robot element
Operational (sensors)
CPU
unit

Computer
Workspace workspace controller

Fig. 15.7 Functional requirement

Robot can perform various tasks like handling and conveying objects, transformation, assembling
of objects, dismantling of object, measuring, teleoperation, etc. The function of a robot is defined not
only in terms of task but also in terms of its workspace, for instance constraints imposed by its
surroundings, characteristics of the objects involved in the task. Next, the objects involved in each
task should be characterized according to size, shape, weight, temperature, state of surface, internal
composition, flexibility and so on. Thus the variety of tasks and working conditions determine the
effective use of the robot. The robot controller can also be realized by the use of microprocessor and
microcontroller.
The microprocessor and microcontroller chips are can often be integrated to represent a control
level. This is when a programmed controller operates upon the peripherals of the robot. We find such
robots in applications such as industrial production line applications. However, the concept of a
programmable robot and in a more broad sense an intelligent robot is realized by splitting the hierarchy
into the two levels. The microprocessor feeds on software, i.e. program codes in a suitable language.
It processes the set of instructions to produce executable code, which the microcontroller can execute
when initiated by the microprocessor.
The microcontroller also acts as the interface between the operational units and program being run.
The operational units include mechanical parts, which provide locomotion and object handling
capability, as well as sensors, which help the robot to adapt to its working environment. The
microcontroller serves to communicate the callbacks or interrupts generated by these operational
devices to the program being run.

15.7.8 Robot-based Automation

Robotics has today become a buzzword in industrial applications that require automation, fast
manufacturing, and fast outputs. Rapid advancements are taking place in this field by making use of
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newer technologies like soft computing based (artificial neural networks,) artificial intelligence, etc.
This would broaden the field of application of the robots to areas out of human reach but also result
proliferate robotic replacements to human posts in large scale. This sounds to be a boon for industrial
progress though the common man would be at the receiving end.
Automation and robotics are two closely related technologies. In industrial context, automation
concerns mechanical, electronic, and computer-based systems used for operation and control in
manufacturing, production, engineering, processing and other fields. Robotics play an important role
in process control and automation. Industrial automation can be classified into two categories:
· Fixed automation
· Programmable automation.
Fixed automation is used in high-volume production for a specific purpose. Since the cost of
production of the specialized equipment is divided over a very large number of units manufactured,
fixed automation is economical compared to other production methods. Fixed automation is also
known as hard automation because the model has to be retooled after the end of production cycle.
Programmable automation, on the other hand, comprises use of computer-controlled mechanical
systems where production volume is very low and a variety of products are to be made. In this case,
the production equipment is designed to adapt itself to variation in product configuration by operating
the equipment under the control of a program or software instructions. The source code is required to
make the equipment operational. The cost of equipment is spread over a large number of different
products that are manufactured in small batches.
Programmable automation consists of a system of multi-degree-of-freedom manipulators and
sensors under computer control, which can be programmed, primarily by software to perform
specified jobs by reprogramming. Most manipulators in use today are point-to-point manipulators,
which perform a variety of pick and place jobs and spot welding. Some industrial robots are
continuous-path manipulators, which are used in arc welding, paint spraying, and so on. Various
operations of manipulators are grasping, holding, orienting, inserting, aligning, fitting, screwing,
turning, and so on. A major limitation of these manipulators is their primitive sensory feedback.
Commercially available industrial robots have neither contact sensors (force, torque, and touch
sensors) as aids to manipulation, nor contact sensors (visual and range sensors) as aids to recognition,
inspection, or manipulation of workpieces.
Extensive research in machine intelligence has provided tools, techniques, and concepts. The work
has been developed and demonstrated for complex systems of integrated effectors and sensors to
guide a manipulator by using computer-processed contact and noncontact sensory feedback. Machine
intelligence research has been primarily directed at finding general methods that demonstrate
principles, and relatively little attention has been paid to questions of computational cost that of major
importance to industrial applications. A number of research and development programs are now in
being with the specific goals of exploring, applying, and expanding machine-intelligence techniques
and concepts to programmable automation. Concurrently, inexpensive yet powerful minicomputers
and microcomputers are now becoming available, making it possible to control integrated sensor-
manipulator systems that can be economically justified.
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15.8 AUTONOMOUS GUIDED VEHICLE (AGV)

Mobile robots sometimes called Autonomous Guided Vehicle (AGVs) are currently used for
transporting material in industry, warehouses and underground mining and are also developed for
exploration of the oceans and space, etc. A major activity of current development on AGVs is
navigation and control. Inherent in any navigation scheme is the desire to reach a destination without
getting lost or colliding with obstacle. An AGV in its environment without getting lost is a fundamental
problem for path planning and control. In practice it is very difficult to obtain an accurate position
measurement for a non-stationary AGV, because it is impossible to measure several points at the same
time and there are many disturbances in the environment. These can cause the sensor data to be
inaccurate and can also result in error of position estimation. Many approaches to locate a vehicle in
its environment have been presented during last two decades. Generally these approaches can be
classified into two categories.
· Absolute positioning and
· Relative positioning.
Work in the field of control system architecture of AGVs has also been reported since long.
However, many previous development implements centralise control architecture. Although
decentralised control solutions have already been realised in engineering fields using many available
platforms such as PC-based, PLC-based, Industrial computer-based, DSP-based, etc. but fieldbus
based DCS design strategy is considered befitting.

15.8.1 AGV Architecture

The abstraction layer of a typical AGV is illustrated in Fig. 15.8. The figure is self-explanatory. The
control system in the vehicle is essentially distributed according to the physical location of the
electrical components and control software. In terms of its control architecture, the complete vehicle
is based on a distributed control design concept. The purpose of the distributed approach is to facilitate
ease of maintenance, system modification and improvement, combined with faster customization
when required.

15.8.2 Components-based DCS View

Components-based design concept (Refer Fig. 15.9) can be seen as the suitable approach to design
the control systems for the AGV due mainly to:
· The control system in the vehicle is distributed
· The global task of the vehicle consists of the sequence of interacting tasks for controlling
drives, navigation and behaviour.
· Each task is considered and solved on the appropriate control modules in terms of components.
For example, the entire control system can be classified into four compound components
(Compound components can further be divided into many components.) namely;
(1) servo-drive control components, (2) tactical control component, (3) strategic control
components, and (4) sensing components.
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Human input
O
P Human visual
Strategic level
system Communication system
E Human intellect
( operator)
R Communication
A system
T
O Human input A
(joystic) A
R d c
Perception a Navigation t
TV rough path
p i
KB t
Perception o
Laser scaner i Behaviour
base n
KB v
Perception e c
Ultrasonic sensor
E
Pre-defined o
N KB
routing planing n
V Battery monitoring Perception F s
I i
KB e
R l
Another sensor Perception q
O Obstacle
t u
N KB avoiding
e e
M Perception
r n
E KB Position
holder c
N Perception e
T
KB
Perception Movement
commands
Guidance KB
wire Tactical Level
antenna
Safety sensor Pulse encoder Wheel control Servo drive Level

Fig. 15.8 AGV architectural view in the control context

The servo-drive control component makes it possible to adapt the control system to load
variations on the actuators and changes parameters of the drive. Tactical control component
perform the task for providing optimum rules of the robot motion in the environment. This
means generation of the new motion trajectories if it is not possible to use the predefined one
for reaching the target position. The dynamic characteristics of the actuators and the
environment parameters must be taken into account. The strategic control component plans the
expedient robot behaviour based on knowledge about the surrounding. Sensing components are
responsible for information perception, pre-processing and transferring to the tactical and
strategic level.
With these views in hand the control architecture can be segmented into components. When the
compound components are segmented or decomposed we find many co-operative base components
such as sensors, actuators and so on within the systems. A solution to component-based approach of
designing the control system of AGV can be seen from Fig. 15.9.
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M PC PC

M PC Indicating lamps Antenna

Servo Battery
charger
Servo

N2
N1 N3
N4 N5

N6 N8 N9 N10
N7

Protection relays etc.

Digital signal Analog signal (Emergency stop,
Servo
laser scanner,
safety edge strip,
PC Panel fixture, anti-jam
M
protection, etc.
N1 = Node for driving height and rotational movement of fixture; N2 = Indicating lamp node; N3 = Antenna node
N4 = Battery charger node; N5 = PC node; N6 = Vehicle control node; N7 = Digital signal node;
N8 = Analog signal node; N9 = Membrane pannel node, N10 = Safety equipment monitoring node

Fig. 15.9 Schematic diagram of components in a DCS network

15.8.3 Man-machine Interface

The man-machine interface (MMI) capabilities, which exploit the features of the integrated PC and
distributed control network, represent a distinctive feature of the AGV. Control nodes are configured
for particular interface functions (programmable switch panels, special displays, and so on). The PC-
based supervision tools facilitate multiple level of system access, enabling sophisticated diagnostics
and maintenance support.
A standard industrial PC using the operating system could be used to perform supervisory,
monitoring and display functions. For example, the status of the battery condition can be monitored
and accessed by the PC to provide information to the operator. The current position of the lifting and
rotating mechanisms on the load unit can be monitored continuously and displayed on the PC monitor.
The PC can be used to record and analyse historical performance data and with the aid of network
development tools, to extend or modify the vehicle control functions as required.

15.8.4 Design with Fieldbus Technology

Fieldbus systems can be used for the realisation of AGV control adopting components-based DCS
philosophy. LonWorks is a proprietary fieldbus system developed by Echelon Corporation, USA.
Echelon’s LonWorks system is compliance with the ISO seven-layer model. This system includes all
the elements required to design, deploy and support DCS. It is worth to mention that LonWorks is an
underlying architecture with which fully-fledged DCS can be built. The basic elements are; protocol
(LonTalk protocol), processor (Neuron chip), transceiver, I/O interfacing (A/D, D/A converter), tool
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for developing control code (NodeBuilder) and application for serving as Network Management Tools
(NMT).
The field devices such as sensors, actuators etc. can communicate each other for control level
interaction via Neuron chip-based node by the use of LonTalk protocol. Neuron chip is a 8-bit VLSI
microcontroller that executes the control task at the field level and can interact with other Neuron
chip-based node within the control network. The connections among the Neuron chips (off-line
design) are made with the help of NMTs. The control code for the devices can be written in Neuron
C language; a derivative of ANSI C and can be downloaded after being developed, complied and
debugged by a software called NodeBuilder.

15.9 DRILLING MACHINE

A three-axis platform for drilling the PCB board was chosen for giving an example of another
mechatronic system. The platform has three axes; x, y and z. Z-axis holds the needle to drill holes on
the PCB board. The PCB boards are passed to the workbench through a conveyor system driven by
an AC motor. When the PCB board reaches the right position called station the gripper rigidly holds
the board so that the z-axis of the platform will be able to do its job properly, i.e. doing drilling
operation without any shaking. The control system for three-axis platform has a generic set of
essential requirements in terms of co-ordination, synchronization, acknowledgement, timing etc. The
control algorithm has been described in Fig. 15.10 in the form of a flow chart.

START

Reset the system

(Bring to initial position)

Run the motor

no Is PCB at the
workbench ?

yes

1. Bring x-axis and y-axis rollers to the middle of the workbench

2. Drill the PCB as per specification

yes
Job done ?

no
Drill the PCB as per specification

Fig. 15.10 Control

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A DCS network with five nodes has been designed for the operation of the drilling machine. Three
nodes each containing a Neuron chip processor and peripheral circuits and devices such as
transceiver, I/O interfacing, sensors and encoders were developed in order to control the position of
the shaft along the three axes. The nodes are co-operative in the sense that the node along with control
code can be used for position control of any actuator and therefore can be interchanged. Node
number 4 (N-4) is responsible to control the AC motor and fifth node is used to control the gripper
jaws with the help of a proximity sensor that detect the arrival of the PCB board at the workbench.
The control network has been optimised to 5-node based DCS system by making the use of LonWorks
fieldbus. If situation demands more nodes can be networked. Fig. 15.11 shows distributed control
network for the three-axis platform for drilling PCB board. It should be noted that reliability scheme in
terms of self-diagnostics has been incorporated in all the devices.
Host Computer
LCA Object Server
NetBuild component
NetInstall component
NetMonitor component
WindowsNT
VisualBasic

Network card
from Echelon
CONTROL NETWORK inside

N1 N2 N3 N4 N3
x-controller y-controller z-controller motor-controller gripper-controller

Interfacing Interfacing Interfacing Interfacing Interfacing

circuits circuits circuits circuits circuits

Encoder Encoder Encoder Switch Proximity sensor

Fig. 15.11 Drilling machine

15.10 CONVEYOR BASED MATERIAL HANDLING SYSTEMS

The production lines and assembly lines are referred to as Material Handling Systems (MHS). A
general description of the material handling can be given. The material handling is the movement,
protection, storage of materials and products throughout the process of their manufacture, assembly
and distribution. Broadly, the MHS is a Mechatronic system that does the material handling operations.
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Typical MHS used within industry are cranes, conveyors, AGVs etc. The material handling system
considered here is a conveyor system which includes conveyor belt, Pick-and-Place robotic
workstation, control components such as, a single phase AC motor, a temperature sensor, two
microswitches and a colour sensor. The demonstration application involves the loading of product
from the conveyor into defined containers. The conveyor system is a link conveyor used in an oval
circulating configuration. The conveyor belt is tooled with equally spaced work pallets, which locate
and hold the product during transportation. A pick-and-place robotic workstation is used to load and
unload the product from the conveyor system to and from storage containers. The products are
coded and stored according to a colour-coding scheme. The control sequence is illustrated in
Fig. 15.12. In the sequel, the role of the control components and their interactions within the system
are described.

Start

∑ Power suply to the motor,

motor, colour sensor,
sensor,
robot and interfacing circuts
∑ Initialise node
∑ Initialise robot

Run the motor

Yes
No
Is CV value of the temp.
sensor > 75 % ?
Yes
Stop the motor

Job Done ?
No
Is Switch1 true ?

Yes

Pick the object and ∑ Stop the motor

place it at the appropriate ∑ Detect colour of the object
place according to the ∑ Send the colour code to the robot
colour code ∑ Run the motor

Fig. 15.12 Control flow chart

A Single-phase AC motor is used to drive the link conveyor. The motor is coupled to the conveyor
through a reduction gear-box. The nominal operational speed of the motor is 1200 revolutions per
 515
Integration

minute, which translates to a linear speed on the conveyor of 8 revolutions per minute. The conveyor
is tooled with equally spaced work pallets, which locate and hold product during transportation.
The nominal operating speed of the conveyor is 9.144 metres/minute. A complete re-circulation of
the conveyor takes 42 seconds at the normal operating speed of the drive motor.
The role of the Pick-and-Place robot is to pick up a product when it arrives at the pre-defined
location and to place the product in the appropriate storage container. The robot consists of six axes
such as column, shoulder, upper arm, lower arm, wrist unit and gripper and is controlled from a PC
through an RS232 serial link. The control software contains library functions as commands, which
can be used to program the arm. Turbo Pascal was used to program the robot arm in this
demonstrator system. The arms are driven by three servomotors and the wrist and gripper are driven
by further three motors.
The role of the color sensor in this material handling system is to,
(i) detect if the product is present, (ii) identify the type of product from the color and assign a color
code, (iii) inform to the robotic workstation.
According to the colour code pick-and-place robot store the product within the container. The
color sensor is an industrial type. It is a compact and self-contained unit utilizing a low power 24 VDC
@ 250 m.A. The color sensor is based on optical detection.
In many process applications temperature sensors are used to trigger alarm signals when threshold
levels are reached. Thermisters were used to monitor the temperature of the AC motor. A threshold
value was assigned to the temperature sensor. If the temperature exceeds the threshold value then the
motor would be shut down.
Two microswitches were used in this study. Switch-1 is attached with the conveyor belt and
Switch-2 is fixed at the robot zed. When the product strikes Switch-1’s lever, it sends a signal to the
motor to stop to drive the belt and activates the robot’s pick-and-place algorithm sequence.
Switch-2 fixed at the robot’s zed provides a signal to the motor to drive the belt again once the pick-
and place operation is completed.
Rotary optical encoders are placed on motor shafts to provide position feedback information on
servo control. The role of encoder is to measure the speed of the motor. A rotary optical encoder was
used in this study. Figure 15.13 illustrates the schematic diagram of this conveyor-based material
handling system and control.

15.10.1 Validation
Self-diagnosis or device validation has long been a major research area. Research work at Oxford
University in the context of Sensor Validation (SEVA Program) can be considered as the origin of the
device validation. A device is considered intelligent if it has the capability of producing some sort of
validation pointer (validation is a process of assessing device performance). A low cost integrated
solution (control and validation) to this effect has been achieved. In this context, prospective to
intelligent devices is elaborated in the section below. The reliability in terms of validation scheme with
regard to temperature sensor, color sensor, microswitches, motor, and conveyor have been designed
and incorporated in this integration study. Fusion scheme was adopted for the validation of
temperature sensor and color sensor; counter-based scheme was adopted for switch validation and
parameter-monitoring approach was adopted for motor validation.
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Mechatronics: Principles, Concepts and Applications

PC with PCI network

card (inside)
DELIVERY
Windows98
LCA Object Server (LNS) IF temp > = T
NetBuild, NetInstall, NetMonitor and CV > = cv%
Visual Basic stop motor
(control loop)

LonWorks Network
Packing
box Robot controller

N2 N1
N3
Interfacing
circuits
Interfacing Interfacing
circuits Interfacing
circuits
Switches Temperature
Smart sensor
switch Colour sensor Motor
Pick and place robot
Objects Supply side

PRODUCTION LINE CONVEYOR SYSTEM PRODUCTION CELL

Fig. 15.13 Production line automation with LON based reliable DCS network

· Fusion-based Identical devices at least triplex in configurations are verified by comparing

the measured value at a given instant and the failure/validation modes are isolated by majority
voting. Sensor is validated by identifying five validation modes such as,
Ø Abrupt step change: This type of sensor validation mode is called spike failure. Here the
signal change is quicker than the system allows in its normal operation. Theoretically the
bias and spike signals are distinguishable. The bias signal is related to a step function where
as the spike signal is related to delta function. But for device fault detection both signal can
be treated and realized as one type.
Ø No change mode: The device output hangs on to a constant value.
Ø Significant change: When the measurement noise level of the device output change
erratically.
Ø Threshold mode: When the device’s output cross the threshold limit.
Ø Drift mode: Continuous increment or decrement of output signal.
 517
Integration

The validation modes are represented in a term called Certaintiness Value (CV). The operational
behavior of the CV value can be attributable to;
(a) CV is the pointer which provides information about the health of the sensor, (b) The
performance of the sensor is rated by CV, (c) The value describes the validity of quality of the
measurement which is generic and device independent and (d) CV can be used by the control system
to take operational decisions in response to any validation mode.
The CV value is expressed in %age. The validation scheme is developed and five validation modes
are tested. Figures 15.14 and 15.15 illustrate the role of colour sensor and validated colour signal
based on fusion technique. Originally, three phototransisters were used corresponding to each primary
colour. However, nine phototransisters, three for each primary colour were fused together and the
output was calibrated using standard colour code.

Run the motor

Has the product in No

the colour inspection
zone ?

Yes

Stop the conveyor

Start inspection

Validated inspection

Inspection finished ?

Yes
1. Sensor fusion technique
Assign a colour code 2. Use of CV LEVEL
3. Indentification and Isolation
of sensor validation modes
4. Audio Alarm

Fig. 15.14 Validated colour signal

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Mechatronics: Principles, Concepts and Applications

Phototransisters

Light
Latch C
a
l
Filters Phototransisters
i
b
Latch r
a
t Validated colour
Filters Phototransisters i
o
n
Latch

Colour Sensor

Fig. 15.15 Fusion technique-based colour sensor validation

· Counter-based Microswitches are on-off type devices. Switch signals are very important
in the sense that a faulty switch can cause fatal errors in the production environment. False
signals might get generated accidentally or because of mechanical faults (spring wear etc.).
Switches fail to give correct response if its alignment is not proper, the actuating lever has been
bent or damaged and so on. Counting method has been proposed in order to overcome such
problems to some extent. Counting methods are based on the measurement of time-interval
between switch operations. When the object arrives the lever of the switch is deflected and
thus the switch opens the contact and when the object passes the switch it again closes. Thus
there is a time interval (from close-to-open-to-close) involved in the switch operation and the
interval is normally a constant value. The time interval can be obtained and stored as a priori.
The stored count can be compared with the run-time value in order to indicate fault conditions.
The approach is integrated conformant in the sense that both control and validation algorithm
resides in the form of a component called switch component.
· Parameter-based Reliability, with respect to actuating systems, can be improved through
self-diagnostics in terms of validation. Parameter estimation approach based self-diagnostics is
one of the ways to validate actuators. Parameter estimation approach is based on a formulation
of model equation using parameters such as viscous friction, dry friction, resistance of the
armature coil etc. On-line parameters are compared with the stored parameters (obtained from
data sheet or determined by the experiment) to detect and isolate fault conditions. That is, the
reliability is modeled to effect on the operation of the process via parameters. The status of the
motor is monitored by continuously comparing the identified parameters with the reference
parameters. An implementation scheme is developed and tested with the electric motor driving
the conveyor. Actuator Validation Modes (AVM) within the motor is shown in the Table 15.2.
 519
Integration

All these modes degrade the motor performance and hence the system performance. The way
these AVM are detected can also be seen from this table. Figure 15.16 illustrates the validation
algorithm.
Table 15.2
Actuator validation modes and their identification methods
Actuator Validation Modes (AVM) Identification by the use of
AVM-1; Motor jam armature current/voltage, speed
AVM-2: Motor armature coil failure armature current
AVM-3: Speed decreasing motor speed, conveyor speed
AVM-4: Speed increasing motor speed, conveyor speed
AVM-5: Power supply failure supply terminal
AVM-6: Temperature in the motor is beyond threshold temperature sensor

If switch-2 is true start motor validation algorithm

Yes Is motor
running ?

Calculate speed No

Yes
Is temp.>= Th.?

Compare the
speed with the No
Shut down motor
nominal speed
speed< nominal speed speed> nominal speed
AVM-6
Is supply
voltage OK ?
AVM-4 Yes
AVM-3 speed= nominal speed
Test current
No
No fault AVM-5

No
Is current
flowing ?
AVM-2
Yes
AVM-1

Fig. 15.16 Validation algorithm for the motor

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Mechatronics: Principles, Concepts and Applications

15.10.2 Design
The control sequence of the considered system is illustrated in Fig. 15.12. LonWorks fieldbus-based
DCS network with required control sequence were designed as illustrated in the Fig. 15.13. Three
nodes were designed along with interfacing circuits, shown in the Fig. 15.17 (a-d) and are described
below.
Colour Sensor Interface circuit Colour sensor was interfaced with the Neuron chip based
node through Gizmo-3 I/O board that comes with the NodeBuilder development tool (Fig. 15.17 (a)
and (b)). The colour sensor was initially calibrated using standard colours. The colour table (a map of
some common colours) was used for basic calibration of the colour sensor.

N
Filters Detectors E C
Gizmo-3 Board U P
R o
Product O r m
Light N o m P

Network
Channel-1 c u o
Channel-2 C e n
Channel-3 H r
I s i t
P s c
A/D Converter
o a
I/O r t
P s i
O o
Colour sensor R n
T

Fig. 15.17(a) Colour sensor interface

+ 5V

Phototransister PT 510

1 8
10 K
2 7
Non-inverting
1K 3 6 Output
Inverting
4 5

−'5V
1M

Fig. 15.17(b) Colour sensor interface

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Integration

Robot interface circuit The interfacing between the RTX controller (PC) and LonWorks system
was achieved through USB (A USB port is a port that is incorporated into a computer conventionally)
of the PC (Fig. 15.17 (c)).

Robot controller (PC) Product holders

TURBO PASCAL 7

Parallel port
Conveyor

Pick and place robot

USB port Container

Interface board

Neuron chip I/O port

Processors

Communication port

Network

Fig. 15.17(c) Interface design for the RTX robot

Motor interface circuit Interface circuit for motor node is illustrated in the Fig. 15.17 (d). The
motor can be started and emergency stopped manually by pressing the manual buttons. The motion
can also be reversed when required. The circuit diagram of the Relay Box can be seen in
Fig. 15.17 (e). The relays are equipped electronic circuitry in order to prevent high-voltage spikes in
the Relay Box terminals, which cloud destroy the nodes connected to it.
Control codes for each node are written in Neuron C language. Neuron C is designed for Neuron
chip and the use is very simple and flexible due to the existence of Network Variables (NV) and when
clauses. NVs simplify data sharing among nodes and when statements introduces events and defines
the temporal ordering of these events. Predefined accessible I/O functions were also used for writing
the application code.
Regardless of the system complexity, the distributed system design methodology involves problem
identification, decentralization, development and testing. The stages involved are illustrated in
Fig. 13.22. The nodes are installed and configured (logical binding) by using LNS (LonWorks
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Mechatronics: Principles, Concepts and Applications

Gear system and N C

shaft connected Power E o
to belt Motor supply Relays U P
R m
board O r m
Encoder N o u
c P
Supply detection C n
o
armature circuit H e i
10 rev
rev./min.
./min. r
current I s c
P s t
detection a
circuit o t
I/O
r i
Manual start/Stop P s o
O n
Auto forward-manual reverse R
T
Network
Temperature sensor
N C
E o
U P m
Sensor fusion R
O r m
N o u
P
c n
C o
H e i
s r
I c
P t
s a
I/O o t
Decoder r i
P s o
O n
R
T

Fig. 15.17(d) Interfacing circuit for motor component

Direction (Manual)

Run (Manual)

Manual/Auto

− 0V
Neutral
Manual
− 240 V Run
Earth Auto
+ 24 DC
GND
Run
Earth
Dir

Run (Auto)

Fig. 15.17(e) Interfacing circuit for motor component

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Integration

Network Service) operating systems, a platform for developing the network management tools. LCA
(LonWorks Component Architecture) Object Server (LCAOS) which provides functional objects for
the development of WindowsNT/95/98/2000 based network management tool were used as the basis
for the design of network management tool which serves for the installation and configuration of the
said control network.

15.11 DISCUSSIONS
This section discusses various issues in the prospects of the outcome of this insight study. In essence
prospective of,
· Fieldbus-based DCS solution
· Selecting a fieldbus out of many
· LON-based DCS solution
· Structuring of control task
· Device validations through integrated approach are elucidated.
Further, the discussion in terms of quantifying relative advantages and disadvantages of various
techniques, schemes and platforms provide vital and useful information for the readers so that they
can evaluate to guide their choices.

15.11.1 From the Prospective of Fieldbus-based DCS Solution

Distributed control is appropriate when the I/O points are dispersed. Each I/O point (or group of I/O
points), can be defined in terms of nodes. Each node includes a processor, making each device a
smart device capable of executing control code of it’s own and subsistence functions. Fieldbus
replaces centralized control systems with distributed control networks. It does not mean that without
fieldbus technology no DCS could be implemented, but at the expense of cost, time, space and
resources (hardware, software and manpower). Relative merits and demerits of a variety of such
conventional techniques presently in use are presented.
ISA-based desktop PCs do not provide adequate hardware connectivity for industrial control
application and have, therefore, been become a bottleneck to higher levels of performance and
bandwidth requirement. PCI (Peripheral Component Interface) bus, a high bandwidth alternative, is a
replacement to the conventional PCs. But the PCI boards are not suitable for many industrial
applications in terms of their format and connector concepts. For this reason the CompactPCI
specification, based on the electrical specification of PCI was developed. But CompactPCI has been
packed into Eurocard format. To some extent, G-64 (GESPAC), PC/104 (Ampro), MAP (General
Motors), STD bus (Pro-Log) stand as the contemporary standard to fieldbuses. All such buses are
aimed at specific market needs and were relatively independent. It is interesting to note that many
companies while introducing their new microprocessors, also built boards and system products
designed mainly to simplify the use and accelerate the acceptance of their chips. This is how Multibus
and Vesabus, which eventually evolved into Versa Module Europe bus (VMEbus) has come up.
Nevertheless, such buses are designed mostly for signal processing and intensive data processing
applications such as radar, avionics, fly-by-wire control systems, sonar, imaging, MIS (Management
Information System) servers, transactional banking applications, satellite uplink and downlinks,
Ethernet, ISDN (Integrated Service Digital Network), cellular telephone, video conferencing,
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Mechatronics: Principles, Concepts and Applications

simulation (aircraft flight, earthquake, metal fatigue), embedded applications (copy machines and
high-speed printers), nevertheless industrial control and micro-manufacturing sectors where fast data
processing is desired, e.g. monitoring and control of high speed systems such as spindle systems,
micro-positioning and alignment applications, etc. The signal processing architecture has so far been
mostly based on DSP boards and architecture. Although the DSP performance is very high in this
application field, the resultant architectures are often proprietary. At the same time it is worth to
mention that, most of such bus architectures entertain centralized based control implementation.
Although some of the bus systems are capable of being configured onto multiprocessor distributed
systems, the overall installation cost is obviously high as compared to fieldbus based control
implementation.
On the other hand, functioning as relay replacements, the PLCs systems are more reliable than
relay-based systems, largely due to the robustness of their solid-state components. PLCs provide
material, installation, troubleshooting and labour cost savings by reducing wiring and associated wiring
errors. They occupy less space and their ability to be re-programmed increase flexibility and simplicity
when changing control schemes. In contrast, PLC-based automation is considered as centralized
system, which has its own loopholes such as central failure. As a consequence, a need to break the
control process down into components based on I/O-bounds (described below) is found as another
alternative so as to improve flexibility further. These in turn have been leading to a more decentralized
approach to control solutions. The optimum choice is feildbus.

15.11.2 From the Prospective of Selecting a Fieldbus

Digital control networking systems whose potential perhaps has not yet been recognized for which a
very limited literature in the context of applicability is found in the literature. Furthermore, many
researchers working in the field such as instrumentation, process control, automation, mechatronics
etc. are also unaware of the advent of this technology. This section provides some technical as well as
documentary knowledge to the readers working in these fields.
The fieldbus technology or similar type system will definitely be accepted by almost all
manufacturing industry since such system replace the traditional centralized based 4-20 mA analog
systems which inherits drawbacks. It is anticipated that, in the near future no single fieldbus protocol
will predominate and furthermore, a single fieldbus is unlikely to provide the desired solution for all
DCS-based control solution. Many criteria are relevant for selecting the appropriate bus system for
the control applications. A comparison chart of some of the leading fieldbuses is provided in
Table 13.3 and 13.4. Considering why customers choose one product or service over competing
alternatives gives us the following list of competitive advantages. They are:
(i) commercial aspects such as price advantages, scope, quality, availability, awareness, customer
services etc. (ii) technical aspects such as where should control decisions be taken, where should
data be stored, how should data be accessed, how much processing power can be incorporated to the
field devices, coverage of distances, (e.g. from short to medium distances to remote I/O units),
throughput, sampling mode, cycling/periodicity, time-synchronous, response/update time, latency,
processing power, protocol type, power consumption, error response, configurability (connecting
bus nodes while system is running), link cost, etc. and (iii) application type such as critical systems
(hard real-time systems), soft real-time systems, robotics, manufacturing cell, packaging plant, etc.
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Integration

15.11.3 From the Prospective of LonWorks Fieldbus Based DCS

Services provided to industrial control systems is a sort of layered architecture as shown in the first
column of the Table 13.3 and Fig. 13.21. Control hierarchy versus their services are also found in that
table. While selecting a standard (a fieldbus or its contemporary) it is important to look and compare
the services of the protocol layers that they provide, with reference to standard ISO/OSI model.
Although redundancy of services of ISO/OSI layers play a major role to meet real-time requirements,
but such redundant protocols should be able to provide essential services to meet the requirements for
the integration of machine/plant, control, interfaces and user/designer. It can be seen that LonWorks
provides all the services to the control hierarchy (even it offers interfaces for data exchange between
the run-time control system and other factory and business systems), for which it is getting
momentum not only in many industrial and process control applications but in some other applications
such as home/building automation, automobiles, mobile robotics, etc. Moreover, new features such
as concept of network variables, when clauses, wide range of transceivers, multiple transmission
rates, multiple media provision, versatile ANSI C based language, inbuilt I/O functions, software
timers, error checking/diagnosis, assignment of unique number/address to the Neuron chip
(processor/controller), service/reset pin provision, functions for floating point calculations,
compatible signal processing chips (clock, A/D-D/A converter), routers and compatibility with wide
range of supporting tools and platforms (application software, operating systems, etc.), have been
embedded.

15.11.4 From the Prospective of Structuring the Control Task

For large systems where hundreds of thousands of devices are to be interfaced in order to meet
control requirements, it is worth to mention that structuring of control task plays a major role while
designing the system. Appropriate strategy must be followed:
· for optimized way of using resources such as hardware and software interfaces, time, man-
power and space, and
· taking into account of scalability and extendibility of the system.
Application characteristics are the basis of structuring the control task. Decomposition technique
yields elementary functions which are the basic units that can be considered for distribution and
parallel execution. Allocation of task to the basic units also depends on I/O-bounds. I/O-bounds are
the physical and logical entities, looked separately, through which an elementary function is executed
on the basis of data-flow relations. I/O bounds could be defined in terms of components/nodes. The
allocation strategy, which is thus based on I/O bounds may be of fully distributed or partially
distributed (hybrid) which depends on the control requirement (scheduling, response time, etc.) of
the target application (machine/plant). Types of decomposition models are functional, spatial,
dynamical and organizational.

15.11.5 From the Prospective of Self-diagnostic Devices and Network

Decentralizing centrally-controlled control tasks at the field-level does not manifest that the system
becomes intelligent. To some extent it can be accepted that such implementation could be a sort of
‘smart systems’ (as processing power is now close to the device to meet the real-time requirement),
however, the device or the system is said intelligent if it accommodates some degree of self-diagnostic
capability. Self-diagnostic devices (actuators, sensors, valves, switches, etc.) should be built in order
 526
Mechatronics: Principles, Concepts and Applications

to improve the overall performance of the systems. A device designed with self-diagnostics or
validation property can be considered as a validation component. This feature should be an integral
part of DCS scheme in order to advocate intrinsic reliable DCS (IRDCS). However, potential research
work is a prime requisite to answer how the devices within the DCS system would accommodate
self-diagnostics features. Schemes for implementing self diagnostic features into the devices are
found to be:
(i) artificial immune network (AIN), (ii) spectrum analysis, (iii) model-based, (iv) fusion-based,
and typical-device oriented schemes.
Although, the theoretical frameworks of first three validation schemes are studied potentially,
however, practical implementations, in the context of industrial automation and control, have not yet
taken momentum to that effect due to the reasons that such techniques require powerful signal
processing tools and methods for the analysis of device signals. In order to use the developed novel
validation ideas and schemes the semiconductor manufacturers should come forward to manufacture
VLSI chips embedded with validation algorithms.
Given validated sensors, actuators, switches, it is natural to move toward network validation in the
DCS systems. That is, moving from a centralized system solution to a distributed solution introduces
a different set of validation and robustness issues, in particular issues of network liveliness must be
addressed. Questions like
(i) how does the system know if all the nodes are working correctly, (ii) whether or not the
physical connection exist after installation, (iii) if a node becomes isolated what does it do, etc. will
arise.
The fieldbus protocols manufacturers are to include network validation algorithm into their
product. It is worth noting that LonWorks system inherits network validation features. However, not
all fieldbuses possess the network validation feature.
Interest in diagnostics is now moving into fields where the impetus behind the scheme is not only
improvement in safety but, reduction in cost. A cost effective solution for device validation could be
achieved by employing integrated approach (i.e., control task as well as validation task in one
platform). This sort of approach is possible with fieldbus platform since a node to some extent could
possess a powerful processor.

· Integration is a process of incorporation of methods, tools, sub-systems and ideas in an

optimized manner.
· Sequentially controlled machinery have a generic set of essential requirements in terms of co-
ordination, synchronization, acknowledgement, timing, etc.
· The systems design phase has to integrate mechanisms, electronics, control engineering,
embedded hardware and software into the machine. This requires effective concurrent design
processes.
· Electric motors can be monitored by the use of physical parameters, such as voltage, current,
speed, magnetic flux, armature resistance, inductance, viscous friction, dry friction, etc. and
characteristic parameters such as voltage constant, torque constant, mechanical time constant,
etc.
 527
Integration

· The pneumatic actuators have inherent ability to provide a low cost, compact, safe and simple
operation. Other notable features are simplicity in mechanical structure, reliable driving
capability, low moving mass, faster response, no heat dissipation problem and ability to operate
in high temperature environments.
· The control valves are mechanical devices with electrical modules, e.g. solenoid driver valves
requiring an electrical signal to operate.
· The processor-based motor control systems are called ‘software servo’ which means the
required control processing is implemented by software without using much electronic
circuitry.
· Robot is a mechatronic system, able to replace or assist man in carrying out a variety of
physical tasks.
· A robot is a software-controlled mechanical device that uses sensors to guide one or more end
effectors through a programmed motion in a workspace, in order to manipulate physical
objects.
· One of the ways of classifying the robots based on whether they are fixed or mobile. The fixed
robot has its base clamped to ground or platform and they are immobile. The mobile robot has
a movable base.
· For a machine to qualify as a robot, it should have a controller, drive or actuator, sensor(s), arm
and end effector.
· A robot arm can have shoulders, elbows, and wrists, even fingers.
· Each joint in a robotic system gives the robot one degree of freedom.
· To function, the robot requires, workspace, source of energy and source of information.
· Programmable automation in the context of robotics consists of a system of multi-degree-of-
freedom manipulators and sensors under computer control, primarily by software to perform
specified jobs by reprogramming.
· Autonomous Guided Vehicle (AGV)s are used for transporting material in industry, warehouses
and underground mining and are also used for exploration of the oceans and space, etc.
· Components-based design concept is seen as the suitable approach to design the control
systems for mechatronic systems.
· The material handling is the movement, protection, storage of materials and products
throughout the process of their manufacture, assembly and distribution.
· Drilling machines and conveyor-based material handling systems are also mechatronic systems.
· Rotary optical encoders are placed on motor shafts to provide position feedback information on
servo control.
· A device is considered intelligent if it has the capability of producing some sort of validation
pointer (validation is a process of assessing device performance).
· Sensor fusion based validation implements at least three identical devices.
· Certaintiness Value (CV) is the pointer, which provides information about the health of the
sensor.
· Regardless of the system complexity, the distributed system design methodology involves
problem identification, decentralization, development and testing.
· Distributed control is appropriate when the I/O points are dispersed. Each I/O point (or group
of I/O points) can be defined in terms of nodes. Each node includes a processor, making each
device a smart device capable of executing control code of it’s own and auxiliary functions.
528
Mechatronics: Principles, Concepts and Applications

This chapter discusses the integration methods in a broader sense. Smart motorized and
pneumatic actuator integration methods have been presented. In particular typical pneumatic
actuator system for servo control applications have been defined in terms of ‘software servo’.
Other examples of mechatronic systems such as consumer electronic products, hydraulic
fingers, surgical equipments, industrial robot, mobile robot, AGV, drilling machine, conveyer
based material handling systems, etc. were the subject of discussion from integration point of
view. The chapter also dealt with the distributed control scenario of machine systems. Further
facet of validation was studied and realized within the application platform. Typical hardware
interfacing and signal conditioning circuits, wherever necessary were developed and shown.
Moreover the chapter discusses various issues concerning the integration procedure.

LOOKING AHEAD
Although integration procedure adopts methods, tools, sub-systems and ideas in an optimized
manner, but a complete design strategy fills the gap between the theoretical study and practical
implementation. The content of the last chapter is considered to be the most important as far
as the design strategy of mechatronic systems are concerned. In the design and demonstration
study an example of a high-speed spindle systems has been taken. High-speed spindle
systems (HSSS) are used in the production cells for machining, micro-machining, milling,
drilling, data reading and recording applications with the aerospace, heavy industry, consumer
industry, and in many manufacturing sectors. These machines are having a reputation of not
being highly reliable over a period of time due to the effect of decoupling and misalignment,
unbalancing and vibration, thermal deformation, centrifugal force-oriented deformation and so
on. Because of high-speed operations, contrast to other low-speed rotary machines, in
practice, the design and construction of such machines is complex in nature and the process
requires insightful strong interdisciplinary theoretical and practical knowledge base.

EXERCISES

15.1 What is the meaning of integration?

15.2 Highlight some of the features, which a real-time mechatronic control system should satisfy.
15.3 Write notes on advanced motorized and pneumatic actuators.
15.4 What are the notable features of a pneumatic actuator?
15.5 Describe closed-loop servo-controlled pneumatic drive system.
15.6 Draw and explain a possible scheme for smart motorized actuator integration.
15.7 Draw the basic feedback system configuration of a typical motor control system.
15.8 Name some consumer mechatronic products.
15.9 What is an end effector?
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Integration

15.10 What is an industrial robot? With the help of block diagram describe different component of a
robotic system.
15.11 What are the commonly used configurations of robots in the context of the degrees of freedom?
15.12 Describe the linear and rotary drive mechanisms used in the robot manipulator.
15.13 Discuss about the robot based automation scheme.
15.14 What is the need of sensor in robotics? How are the sensors classified? Name three important
types of sensors for robots.
15.15 What are the functions of external and internal sensors?
15.16 Distinguish between a robot and AGV.
15.17 Give an overview of AGV architecture.
15.18 Design the AGV control scheme fully utilizing on components-based methodology.
15.19 What should be role of fieldbus technology in implementing control strategy in case of a
machine?
15.20 Design the control architecture of the following systems by adopting DCS philosophy and by
implementing fieldbus technology.
(i) Drilling machine
(ii) Conveyor based material handling systems
15.21 What are the possible ways of implementing validation scheme in a conveyor based material
handling systems?
15.22 From the integration point of view discuss the following aspects form the prospective of:
(i) fieldbus-based DCS solution
(ii) selecting a fieldbus
(iii) LON fieldbus based DCS
(iv) Structuring the control task
(v) Self-diagnostic devices
15.23 Describe the integration of control methodology used in the flexible manufacturing.
15.24 What do you mean by flexible manufacturing? What are the components of flexible
manufacturing systems?
15.25 How are productivity and product quality influenced by incorporation of automation in
manufacturing systems?
15.26 Why is the present trend towards flexible automation rather than fixed automation?
15.27 What kinds of actuators are used in case of NC or CNC machines?
15.28 State the role of the computers in controlling a machine(s).
15.29 Explain the system concept of production and productivity.
15.30 Explain the basic production improvement techniques.
 16
Mechatronic Design Strategy:
An Example with High Speed Spindle

· To study the constructional features of mechatronic systems.

· To study the flow of power within the spindle system.
· To present the experimental results of thermal effects within the bearing surroundings of the
spindle systems.
· To study and formulate the diagnostic methods for the machine systems.
· To intoduce the concept of lige span value of machine control systems.
· To design the DCS based control schemes for machine systems.
· To evaluate relative merits and demerits of various control methodologies.
· To discuss about the remote monitoring and control of machines.
· To present many practical themes in terms of system design, development, integration, refine-
ment, etc. of the machine control systems.
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Mechatronic Design Strategy: An Example with High Speed Spindle

16.1 BACKGROUND AND INTRODUCTION

Today’s fiercely competitive market enforce industries to rapidly deliver quality products to meet the
societal demand. Many of the production cells in industry have already been equipped with automated
machineries and systems. Out of many machine types, spindle machines draw attention and are
commonly employed in the processes. For instance, in order to improve productivity, high-speed
spindle systems (HSSS) are used in the production cells. Especially, they are employed for machining,
micromachining, milling, drilling, data reading and recording applications, aerospace, heavy industry,
consumer industry, and in many manufacturing sectors. Performance driven state-of-the-art design
techniques, methodology and tools must be adopted for building machineries. HSSS have a reputation
of not being highly reliable over a period of time due to the effect of decoupling and misalignment,
unbalancing and vibration, thermal deformation, centrifugal force-oriented deformation and so on, for
which performance profile deteriorates.
Because of high-speed operations, contrast to other low-speed rotary machines, in practice, the
design and construction of HSSS is complex in nature and the process requires insightful strong
interdisciplinary theoretical and practical knowledge base. Considerable attention must be paid to
encounter the problems in terms of optimal design of machine systems and in particular HSSS. In
addition, faults and analysis specific parameters must be monitored in real-time for prediction.
Potential research and developments in terms of design, modeling and analysis, optimization,
performance, etc. of rotary machines have been made.
The study especially on HSSS is rather limited in the sense that a suitable design strategy has not
been developed so far. The study in this context, concentrate on specific aspects of the rotary
systems. For example, Shoda et al [158] studied the performance of the ceramic ball bearings under
high-speed condition. Others have also developed theories and models in the context of studying
verities of bearing types and their operational ranges. Harris’s work [159] computes the effects of
preload bearing. Bossmanns [160] derived the thermo-mechanical behaviour of the spindles for milling
applications. Boglietti et al., [161] establishes a test procedure for studying the behaviour of high-
speed drives. Kim and Lee investigated the thermal effects with regard to cylindrical housing of the
high-speed rotating machine. Although, Bossmanns described a systematic approach in the context of
characterization of flow of power within HSSS through test procedure on special test rigs, a real
design strategy in terms of mechanical design, multi-domain modeling, control methodology,
diagnostics and prognostics, and many other design interfacing requirements including the use of
state-of-the-art tools and techniques are missing. As a matter of fact there is a strong need to
investigate the design strategy, since the HSSS are no longer simply the mechanical systems rather,
they are mechatronic in nature.
Spindle systems, in their traditional form are composed of a drive, a mechanical structure called
housing, bearings (front and back) with preload arrangements, electrical and mechanical interfacings,
lubricating and cooling systems. Problems with high-speed spindle system, however, include, issues
of tooling, thermal deformation, performance degradation, reliability, electromechanical design
concerns (coupling), control strategy, condition monitoring, and balancing.
Without loss of generality of the spindle machineries, the chapter advocates some of these issues.
Besides studying the behaviour of the HSSS, it also exploits a complete mechatronic design strategy
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Mechatronics: Principles, Concepts and Applications

and development processes, which are considered to be paramount important for the manufacturing
of a real mechatronic product. The researchers and practitioners can critically evaluate the methods,
techniques and ideas used here. This chapter considers many aspects of design constraints coherently.
In particular, the chapter focuses on,
·HSSS modeling (dynamic, thermal and fault),
·Custom-built spindle design considering the thermo-electromechanical constraints,
·Intrinsic development of fault detection and isolation under DAP (diagnostics and prognostics)
scheme,
·Implementation of Sustainability and Evolution Assessment (SEA) scheme as an advancement
to DAP,
·Methods and realization of flexible control strategy (including application software) and, remote
monitoring and control in terms of interfacing data and control network.
The expanded meaning of mechatronic design strategy includes the following attributes.
·Introduction to conventional spindle machine systems.
·In order to study the characteristics and thus to predict the performance of HSSS, modeling is
obviously needed. The model represents the dynamic properties. A complete thermo-
mechanical modeling approach adhering information about the flow of power from the input
through the output has been presented. It also includes the effects of non-linearity and the
losses.
·Since the HSSS must be able to withstand complex dynamic load conditions and operate at a
wide speed range with wide range of cutting forces (for machining) a study on thermo-
electromechanical behaviour must be carried out. This will fulfill the requirements for
optimization of design parameters for improved operational performance of the spindling under
many circumstances. CAD and sophisticated optimization tools are used for the custom-built
design of spindle system for high-speed operation, i.e. above 20,000 RPM.
·The design strategy accommodates Diagnostics and Prognostics (DAP) or FDI (Fault Detection
and Isolation) scheme in order to improve the reliability. Various FDI methods and approaches
and their relative merits and demerits have been studied. From the review, it was perceived that
model-based and spectrum analysis based FDI schemes are suitable for this sorts of machine
systems.
·High resolution and precision machines must not tolerate vibration. Since HSSS are susceptible
to vibration because of improper coupling, non-uniform shaft density, varying stiffness of the
ball bearings and many other factors, advanced anti-vibration balancing methods must be
employed. Contrast to traditional balancing methods, the chapter describes an innovative
balancing technique. The prototype called EMB (Electro-Magnetic Balancer) has been
developed, tested and used in order to reduce the vibration level of the spindle shaft significantly.
·For the first time, a metaphoric idea in terms of SEA (Sustainability and Evolution Assessment)
has been implemented so as to provide a knowledge base to cater the issues of analysis, design,
development and manufacturing of next generation machine components. Although, a similar
concept so called LCA (Life Cycle Assessment) exists within the material science arena,
methodologically SEA differs from LCA to a large extent especially in the context of perception
and implementation.
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Mechatronic Design Strategy: An Example with High Speed Spindle

·Furthermore, since implementation of distributed control strategy is gaining momentum within

mechatronic systems, a well-defined DCS (Distributed Control System) architecture using
digital control networking systems (Fieldbus) has been developed for the realization of overall
control structure of the HSSS.
·While remote monitoring and control method is making way into the avenue of industrial
automation and control systems, the importance of interface design between the data and
control networks should be thought about. The design accommodates the development of an
approach in order to monitor the condition of the spindle system remotely by realizing an
interface between data and control networks.
·Moreover, the design strategy makes the use of state-of-the-art tools and techniques at
appropriate point during the process of development and also the strategy takes into account
the aspect of agility.

16.2 SPINDLE SYSTEM REVIEW

The high speed spindle systems are those, which mostly fall within the range of 5,000 to 30,000
RPM. Two groups of spindles are found, simple and gyroscopic. All gyroscopic spindles can be
synthesized into simple types; however, usually they operate at very low speed. Resolution factor
such as depth of cut and precision indices like accuracy measures also classify the spindles. For
instance, aerospace industry requires spindles facilitating depth of cut of about 50ft long, where as
spindle systems employed for machining typical structured surfaces have resolution of depth of cut in
the order of micrometer and that for computer applications such as data reading and writing operation
the depth of cut is not at all required, but accuracy must be extremely high. Spindle system consists
of a housing, a driver usually a motor, front and rear bearing system with preload arrangements.
Preloading is essential in order to increase and maintain the constant stiffness of the balls and the
shaft. It also reduces the vibration level to some extent, but at the expense of heat generation and
hence loss of power due to rolling friction (Speed decreases as preload increases). As far as reliability
of industrial spindle machines are concerned the warranted life compacted with other rolling type of
machines, is about 2000 hours and the power consumption range falls in between 10 to 40 kilowatts.
There exist challenges to design, evaluate and validate reliable and sophisticated HSSS equipped with
auxiliary peripherals. Abundance experience in this field is considered to be the prime requisite for the
designers. Figure 16.1 illustrates schematic diagram of the scope of the design principle of HSSS.

16.3 DYNAMIC MODELING OF HSSS

System modeling is a method commonly suggested for improving the understanding of the system
quickly. It is essential for effective grasping of problems and thus it can be used to make predictions
of the system behaviour qualitatively and quantitatively. Model development generally begins with
analyzing the dynamics from basic physical principles. Once a model is developed and tested, it can be
used to quickly evaluate new ideas or modifications. Formulation of dynamic model of HSSS is
important and need to be clear. For the calculation of losses and hence efficiency, in-depth knowledge
on the temporal behaviour of the system is required. Two distinct dynamic models have been shown.
One is the model adhering the dynamic characteristics reflecting the loss of power during operation.
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Mechatronics: Principles, Concepts and Applications

Control hardware
Operating system
Methods

Equipment
Sensors
Dynamic modeling
Power flow modeling Programming tools
Thermal effects
Diagnostics
Control
Control application software
Flexibility
Balancing
Compensation
Electronic devices Data manipulation tools

Coupling

Back ball bearing Electrical measuring equipment

Electrical components
Mechanical body

Coupling

Housing Tool

Front ball bearing Drive Power supply

Fig. 16.1 Discrete components of a typical industrial spindle system for micromachining

It adheres information about the quantity of flow of power, from the input end through the output.
The power model is based on the ‘principle of conservation of energy’. The other model equations
reflect the diagnostics and prognostics of HSSS.

16.3.1 Identification
Figure 16.2 shows a translational model of a spindle. Since spindles are energy transducer of some
form, it can be represented as a delayed amplifier followed by a force generator. The generated force
is nonlinear because of the boundaries and properties of the materials. Analogous to other
electromechanical system, spindles inherit nonlinear properties like time-variant process parameters,
friction and hysteresis, which are responsible in producing inaccurate control action. Accurate action
is inevitable and this requires identification and design of closed loop controller that should compensate
the error due to the nonlinear properties as shown in Fig. 16.2 (i.e. the two blocks; friction
compensation and nonlinear correction).
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Mechatronic Design Strategy: An Example with High Speed Spindle

Fig. 16.2 A translational motion model of a high-speed spindle system

Table 16.1
Nomenclature
m = Mass j = Complete flux linkage vector
Fspindle_ep (t) = Electrical power (refer Eq.-4), l = Inductance matrix
Fspindle_el (t) = Load Ga = electrical input (Eq. 16.4)
Fspindle_ao (t) = Actual output (displacement/angle), Gb = G2 = Hysteresis loss (stator + rotor)
Fspindle_cf (t) = Coulomb frictional force, Gc = power drop in the primary coil
Fspindle_vf (t) = viscous frictional force Gd = power transferred to rotor
c = Spring constant, Ge = power delivered to stator air
d = Damping constant, Gf = delivered to starter housing
F* sign() = Signum function with Gg = power absorbed by the coolant
amplification factor F.
Jspindle_all = Inertia, Gh = absorbed by the base material
Tspindle = Sum of all torques acting in the system, Gi = power transmitted to atmosphere
B = Friction co-efficient Gj = mechanical power input
Tspindle_l = Load torque. Gk = drop in the secondary coil
jr = Stator flux linkage Gl = G4 = Eddy current loss (stator + rotor)

(Contd.)
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Mechatronics: Principles, Concepts and Applications

jr = Rotor flux linkage Gm = G3 = Magnetic field loss (stray)

ls2r = Starter to rotor mutual inductances Gn = mechanical power delivered to the shaft
ls2s_mi = Stator to starter mutual inductances Go = G8 = acceleration
lr2r_mi = Rotor to rotor mutual inductances Gp = G5 = Friction loss at the bearing (front + rear)
ls_si = Stator self inductances Gq = power remained for machining
lr_si = Rotor self inductances Gr = machining power
q = is rotor angle Gs = power absorbed by the job
Q= cos ( Nq - 2 p / 3), G1 = Gc + Gk
Ä= cos( Nq ), G6 = losses due to viscosity of air within
stator and rotor.
Å = cos( Nq - 2 p / 3) G7 = loss due to generation of heat at the interfacing
point of the work-piece and the tool during machining
chy = Hysteresis constant Gloss_e = G1 + G2 + G3 + G4
= Frequency Gloss_m = G5 + G6 + G7 + G8
f = flux-density G = Total loss,
Yr = Rotor current h spindle = Spindle efficiency
Yi = Stator current à = Power factor; the phase angle between the two
signals
X = Voltage signal L = Length of the rotor
h = diameter of the rotor D = Air gap between the stator and rotor
X = Dynamic viscosity of the air k1 = Correlation based on uncut chip thickness
À = Volumetric removal rate k3 = A correlation based on flank wear
k2 = A correlation based on the rake angle s = speed
fc = Cutting force v = Velocity
rs1 = Resistance of the stator winding-1 a = Acceleration
rs2 = Resistance of the stator winding-2 R = rs1 + rs2 + rs3
rs3 = Resistance of the stator winding-3 Rr = rs1 + rs2 + rs3

The translational model equation can be expressed as in Eq. 16.1 and its equivalent rotational model
can immediately be written as in Eq. (16.2). Note that because of integral behaviour of I/O the spring
constant should not exist. The above two equations are seem to be general in nature, however when
we need to calculate the losses and efficiency of the spindle we must start with Eq. (16.3) and end up
at the Eq. (16.9). All the parameters have been defined in Table 16.1.

m d2
dt ( Fspindle_ ao ( t )) = Fspindle_ ep ( t ) + Fspindle_ el (t ) +{Fspindle_ cf ± * sign FH d ( F spindle_ao ( t ))
IK +
dt
(16.1)
d
d ± * ( Fspindle_ao ( t ))} d + c * Fspindle_ao (t )
dt dt
( Fspindle_ao ( t ) ¹ 0
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Mechatronic Design Strategy: An Example with High Speed Spindle

+/– sign is due to two directions of motion.

d 2q dq
Jspindle_all 2
=å Tspindle = Tspindle_e - B - Tspindle_l (16.2)
dt dt
1 T dl -1 (q )
Tspindle_e =-
j j (16.3)
2 dq
where, j and l denote the flux linkage vector and inductance matrix appearing in the Eq. (16.4).
Equation (16.4) is the coupling among the motor (3-phase Y-connected AC induction motor) windings
in terms of self-inductances, mutual inductances and currents (assuming magnetic linearity). The left
part of the Eq. (16.3) is proportional to the input electrical power (total) to the system, which is
expressed in Eq. (16.5).
LMls _ si ls 2 s _ mi ls 2 s _ mi ls 2 r Ä ls 2 r Å ls 2 r Q OP
l ls _ si ls 2 s _ mi ls 2 r Q ls 2 r Ä ls 2 r Å
M s 2 s _ mi
PP i
LMj OP = MMl
s s 2 s _ mi ls 2 s _ mi ls _ si ls 2 r Å ls 2 r Q ls 2 r Ä
PP LMNi OPQ
s
(16.4)
Nj Q M l
r s2r Ä ls 2 r Q ls 2 r Å lr _ si lr 2 r _ mi lr 2 r _ mi r
MMl
s2r Å ls 2 r Ä ls 2 rQ lr 2 r _ mi lr _ si lr 2 r _ mi PP
s 2 rQ
Nl ls 2 r Å ls 2 r Ä lr 2 r _ mi lr 2 r _ mi lr _ si Q
Fspindle_ ep ( t ) = 3 * Xi * Yi * cos à (16.5)
Losses are generally function of cogging and bearing friction. These are affected by bearing type
and preload, air gap flux density, and the magnetic circuit configuration. Looking more into the
system, the model equations can be derived (Eq. (16.6) to Eq. (16.9)) in order to accommodate
information as far as performance measurements are concerned. The powers (stored and losses) are
function of speed and preload. Losses are hysteresis loss, stray loss, eddy current loss and copper
loss. G3 + G4 can be obtained from the electromagnetic performance sensitivity equation. The model
equation for G5 does not exist. Empirical formula can be derived from the experiment (see Q-point
curves and Fig. 16.5).
G1 =[ Yi 2 ][ Rs ] + [Yr2 ][ Rr ] (16.6)
1. 5 ~ 2 . 5
G2 =chy ff (16.7)
p3 * h * L * X * f 2
G6 = (16.8)
D
fc * w *
G7 a (16.9)
À * k1 * k2 * k3
8
G = (1 - hspindle )* å Gw (16.10)
w=1
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Mechatronics: Principles, Concepts and Applications

No systematic procedure exists to represent the flow of power within a dynamic system. Although,
traditional block diagram, to some extent provides such information, it is considered as an indirect
method. Representation of flow of power must be addressed. It is learnt that the flow of power (or
energy) within the spindle system is multi-variant in nature (electrical, mechanical, viscous, thermal
etc.) and the transition of power occurs at each coupling points. Figure 16.3 shows a graphical
representation of flow of power within the spindle systems. This is not considered as a model rather
it is a method of representing the multi-variant powers (state) and their transition phenomenon. This
will dilate the visualization of the system’s state. It is perceived that STD (State Transition Diagram)
conformant graphical representation makes a good fit for representing the flow of power due to its
similarity and coherence. The representation looks like a model but there is a significant difference
since STD is used only in discrete event systems (DES) for describing the current state of the places,
which are configured together through transition phenomenon. However, if the concept of ‘event’ as
understood in DES is omitted in this graphic-based power flow model, we find no difference between
these two. Since many STD based engineering models are applied to flexible automation applications,
the acceptance of the meaning of event is clear. However, understanding of event within STD domain
needs considerable attention. It is worth mentioning that some aspects (in the current situation it is
flow of power vis-à-vis losses) of the dynamic system can also be modeled using STD principle if the
meaning of event is understood differently. For example picking-up and placing (e1 & e2) are the two
events in a robot-based material handling system, where two transitions (t1 & t2) takes place if the
component is available and the robot is ready. In this example there are three places (two input places
and one output place; p1, p2 & p3) having different states. This example can be correlated with the
graphic model, the point of discussion exists if the events are understood differently. Here the places
are housing, stator winding, rotor winding, core, air gap between the stator and rotor, ball-bearings,
lubricants, coolants, ambient air, shaft, tool and job. The places have their states in terms of power
(multi-variant). The transition of flow of power occurs and hence ‘it is evented’ if the places are
available. For example, the transfer of power from primary winding to secondary winding takes place
only if the output place, i.e. the secondary winding, is ready. The state (power) of the previous place
(primary winding) is maintained due to the discrete flow of electrical power from the source (The
flow of power is assumed to be discrete if photonic principle is applied). Once the flow of power is
accepted as discrete type, then the appearance of event would be clear and the flow of power would
be considered as ‘event-driven’ operations because the transition takes place only due to the
availability of previous and subsequent places. Since the flow of power from the input (electrical) to
the output (acceleration) is occurring instantly (not instantly really) the events are not visible as in
case of robotic-based material handling system. However, if we dilate the time axis the situation, is
more involved. Figure 16.3 is visualized as a comprehensive STD conformant graphic model of the
flow of power within a HSSS. Each circle represents a container. The arrows in forward direction
indicate that the power flow from the previous container as a result of transition. The backward
arrow should be there in order to fulfill the requirement of conservation of energy. Each circle
contains power in different form. Ga to Gs are the form of powers, which are shown in the table.
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Mechatronic Design Strategy: An Example with High Speed Spindle

Fig. 16.3 STD conformant graphical representation of flow of power within the spindle

16.4 IMPORTANT DESIGN CRITERIA

It is important to note that correct fittings and coupling of various components such as base, shaft,
electromagnets, bearing systems, etc. are extremely desirable. Spindle housing, size, mounting style,
material selection and capacity (load, speed, power) are the major design indices. It requires
knowledge on properties of material such as material type, stiffness, weight, damping, density,
porous, acoustic behaviour, thermal conductivity, tensile strength and other factors such as
thermodynamic behaviour, preloading issue, (whether to use pneumatic or hydraulic, fixed or oil type,
frequency of injection of oil), tool fitting methods (clamping, knot & bolt, pneumatic, fixed, variable,
tool gripped or shaft gripped), motor type (DC/AC, single/multi phase, induction/synchronous,
number of poles, * or Y connection, clearance between the stator and rotor, torque/speed/slip etc.
ratings, control method), instrumentation position and fittings (temperature & humidity sensors,
encoder, accelerometer, power meter etc. and means for interfacing other auxiliary equipments (DAQ,
Microcontrollers, signal analyser, host computer, balancer, plotters and recorders).
Since, loading due to machining and preloading affects all the state variables, the study of spindle
system is undoubtedly complex in nature having intricate relationship. Addtionally, design provisions
have been taken to allow for a preloading of the mechanism so that backlash can be eliminated. The
shaft and other mechanical parts can be designed using CAD tools. FEM (Finite element method)
analysis (using DOT software) can be made iteratively in order to optimise the stiffness (k) , mass
(m) and damping (c) of the shaft material as well as the design parameter. Figure 16.4 shows the
schematic diagram of this custom built spindle system with respect to optimized design specifications.
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Mechatronics: Principles, Concepts and Applications

EMB Spindle

Bearing

Rotor
φ60

45
190

Fig. 16.4 Schematic diagram of the designed spindle

Motor is the integral part of the shaft and housing allowing the spindle to rotate at higher speeds
contrast to belts or gears types. The shaft is held by two set of high precision bearing systems. Such
integration also avoids backlash and high friction. For an electric motor to perform efficiently an
optimal match of the motor and the drive system must be achieved. For machine control, selection
criteria include; power, torque speed and bandwidth of control. A versatile 3-phase Y connected
induction motor is selected in this study due to its symmetry. These types of motors also inherit other
desirable features such as reasonable torque, speed and power range, torque ripple (about 5%), power
density, acoustic noise (low), cost (low), maintenance (low), open loop as well as closed loop
capability, and velocity controlled bandwidth.
Further, selection of high precision bearing system for HSSS is crucial because most of the failures
are bearing related. The bearing type, numbers, mounting method, and lubrication procedure are the
essential considerations. A detailed study reveals that for radial-loading, low-contact angle type
bearing systems are good candidates for high-speed operation. The specifications of bearing systems
are shown in Table 16.2.

Table 16.2
Specifications of bearing systems
Bearing Assembly tolerances between bearing and housing
NTN 7016CDBT Symbol Meaning
+15D/GNP4 L22-L27 Clearance 22-27 micro meter
T1-T4 Negative clearance 1-4 micro meter
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Mechatronic Design Strategy: An Example with High Speed Spindle

16.4.1 Q-point Curves

Developers have studied the operating points, i.e. the Quotient Point (Q-point) of the rotary systems
since long. The Q-point curves, which are the graphic representation of the dynamic model equations,
help the engineer to view the performance of the system instantly. Theoretically, the Q-points are
described using state space method. Experimentally, they are plotted from the I/O data. Q-point
curves can be two dimensional or three dimensional. Torque-vs-speed, speed-vs-preload are the
Q-point curves that are represented in two-dimensional space. Loss-vs-speed at variable preload is
represented in three-dimensional space. Test procedures have been carried out, in order to plot the
Q-point curves and are illustrated in Fig. 16.5 to 16.9.
The spindle was allowed to run 30, 000 RPM and then the power was cut off. The decelerations
were plotted for different values of preload (i.e. 980N, 1444N and 1874N). A set of Q-point curves in
terms of frictional torque (and hence loss due to friction) can numerically derived from the above
Q-point curves by taking the derivative of the deceleration. The calculation will lead to compensate the
friction torque shown in the Fig. 16.2. The experiment also includes plotting of Q-curves in terms of
heat generation within motor, front bearing and rear bearing at various speeds. The curve has been
plotted based on slip test. Parameters such as back e.m.f. constant, torque constant, mechanical and
electrical time constants were partly obtained by experiments and partly obtained from the data sheet.
Further the heat generated at front bearing, rear bearing and the motor have been plotted in Fig. 16.7.
The heat generation due to viscous shear of the air in between the stator and rotor is shown in
Fig. 16.6.

35000
Speed in Rev. per minute

30000

25000

20000

15000

10000
980 N
1876 N
5000

1444 N
0
0 25 50 75 100 125 150 175 200 225 250 275
Time in seconds

Fig. 16.5 Loss due to friction with respect to preload parameter

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Mechatronics: Principles, Concepts and Applications

Fig. 16.6 Loss due to viscous shear of the air in between the stator and rotor

Fig. 16.7 Heat generation with respect to time

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Mechatronic Design Strategy: An Example with High Speed Spindle

16.4.2 Thermal Deformation and Bearing Surroundings

Traditional thermal deformation equations are based on Hertzian contact theory which deal with elastic
deformations only on the contact surface between the rolling element and the raceways, with the
assumption that the race and housing assembly are a semi-finite solid. However, since the initial
assembly tolerance of the HSSS is set large, not only the elastic deformation between the rolling
element and the raceways, but also the transient clearance changes. The midway seizure of spindle is
due to the development of additional negative clearance (ANC) between the inner races and the balls
of the bearing systems. ANC appears because of thermal deformation caused by centrifugal force,
rotational speed, load and preload and operating period. So far no attention has been paid to observe
the effect of bearing’s internal clearance to those effect as a result of which the industrial standard of
warranty life for a motorized HSSS with rolling bearings is very low. The effects of assembly
tolerances have been studied experimentally for the prediction of thermal deformation. The study was
carried out in order to know the effects of heat to the bearing systems under two bearing
specifications, i.e. L22-27 and L10-14. These two specifications have common inner negative
clearance, which is T1-T4. Firstly axial load was applied on the inner-race up to 980N and was
measured by a load cell. Electric micrometer and capacitance sensor were used to measure the axial
displacement of both inner and outer races. A jig was set underneath for supporting the outer race.
The experiments were conducted with heating and without heating separately (see Table 16.3) for
each case (at speed 30, 000 RPM) of bearing-housing assembly (Fig. 16.9). The prediction can be
used to design the spindle-bearing compliance taking into account of assembly tolerance and clearance
between the bearing and the housing. The result shows that for practical use of assembly tolerance
with the housing must be considered in the calculation of load deflection if bearing is assembled with
the housing.

Temperature in degree C

20

Front bearing
15

Rear bearing
0

0 30 60 90 120 150 180 210

Time in second

Fig. 16.8 Preliminary study (temperature with respect to time)

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Mechatronics: Principles, Concepts and Applications

100 4
90 8
1
Displacement in micrometer

80
70
60 9
50 5
3
7
40 2
30 6
20
10
0
1 10 19 28 37 46 55 64 73 82 91 100
Axial load in Kgf

Fig. 16.9 Relationship between axial load and displacement because of thermal
deformation

Table 16.3

Curve No. Curve fitting formula Assembly Bearing Heating/Without heating

1 18.1*L^0.26 Bearing only – No heating
2 8.1*L^0.37 Bearing + housing L22~L27 No heating
3 8.1*L^0.36 Bearing + housing L22~L27 No heating
4 7.6*L^0.52 Bearing + housing L22~L27 Heating
5 6.3*L^0.45 Bearing + housing T1~T4 Heating
6 1.3*L^0.68 Conventional equation – –
7 10.1*L^0.30 Bearing + housing T1~T4 No heating
8 3.5*L^0.67 Bearing + housing L10~L14 Heating
9 9.1*L^0.37 Bearing + housing L10~L14 No heating

16.4.3 Bearing Friction

It is observed from the Fig. 16.7 that the loss is significant due to bearing friction. Since the cause and
effect of frictional force (Eq. 16.2) are speed and heat, any increase of input power to compensate the
force will produce heat power, which may cause catastrophic disaster. There is a need to compensate
the friction to some extent, although full compensation is not at all possible due to obvious reasons. In
contrast, failure to account for friction compensation lead to tracking error and limit cycles. Care
must be taken not to overcompensate the friction. The situation is worst for higher values of preload
and speeds. For this, understanding about the type of friction acting within the bearing system is
necessary. There are basically three different types of friction compensation methods, which are
called dithering, feed-forward and adaptive. The study of friction (tribology) are found in many
literature. No models can directly be used in calculating the frictional loss within the HSSS. But the
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Mechatronic Design Strategy: An Example with High Speed Spindle

empirical formulae derived from the experimental method are acceptable. The empirical formula
derived from the experimental procedure suits well. Frictional torque sets are calculated from
Fig. 16.5, curve-fitting procedure was applied in order to obtain the empirical formulae for the
prediction of heat generation and hence loss within the bearing systems due to preload as well as
speed. This can be implemented and evaluated during run-time using dSpace tools and systems.

16.4.4 Electromagnetic Balancer (EMB)

HSSS are vulnerable to vibration. Balancing is an important area as far as design and development of
not only HSSS are concerned but also of other mechatronic systems. Mass unbalances are the major
sources of vibration. The compensation is done by placing correction masses onto the rotating shaft
or other appropriate components, so that forces due to these masses cancel out those caused by the
inherent unbalance mass. A powerful balancing method, called Electromagnetic Balancing (EMB)
technique has been developed in this design study. The technique uses two capacitive sensors as
feedback element measuring the radial displacements (x and y direction) to control the flow of current
into a custom-built four electromagnets arrayed by polar arrangements N-N-S-S-N-N-S-S placed
around the shaft. The force generated because of flow of controlled currents negates the displacement
due to mass unbalancing. The initial design had low bandwidth (only 10 Hz) and high phase delay
characteristics (87degree). The BW was improved by designing a controller. In order to meet the
requirement, the new BW and phase delay was improved to 499 Hz and 5° respectively. The EMB has
been tested. CAMP-G, MATLAB, DSP Boards, Signal Analyzers were used for modeling, simulation
(FRF test), and evaluation. Since EMB incorporated spindle system is a sort of mechatronic system,
composed of electrical, magnetic and mechanical system it was modeled with the bond graph
modeling method using CAMP-G, which deals with multi field system for analysis. The parameters
and specifications of EMB incorporated spindle system are given in the Table 16.4. The experimental
results show that the method works extremely well as shown in the Fig. 16.10 even beyond the speed
of 30,000 rev. per minute.

Fig. 16.10 Photo of EMB

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Mechatronics: Principles, Concepts and Applications

Table 16.4
Specification of EMB incorporated spindle system
Mass of shaft = 4 kg Coil inductance = 0.048 H
Inertia of Rotor – 0.042 kgm Coil resistance = 3.5 Ohm
Inner diameter = 61 mm Damping coefficient of front bearing in = 8.944E-4
Outer diameter = 160 mm Damping coefficient of rear ball bearing = 8.944E-4
Core thickness = 30 mm Stiffness coefficient of front bearing in = 0.25E9
Core material = SE14C Stiffness coefficient of rear ball bearing = 0.25E9
Lamination thickness = 0.5 mm Distance from mass center to front bearing = 120.3 mm
Air gap = 0.5 mm Distance from mass center to rear bearing = 4.3 mm
No. of turns = 320 turns Distance from mass center to location of
feedback sensor = 80.6 mm
Pole face area = 350 mm square Distance from mass center to point of
compensation = 125.6 mm
Magnetic coil Input voltage = MAG+MAG*Sin(2EXP*f*t) volts
thickness = 0.9 mm

a = Roundness of the shaft after compensation (EMB)

b = Roundness of the shaft before compensation
5

3
Y-axis displacement in micrometer

b
2
a
1

5
5 4 3 2 1 0 1 2 4
X-axis displacement in micrometer

Fig. 16.11 A new technique for compensation of induced mass unbalances

16.5 DIAGNOSTICS AND PROGNOSTICS

Malfunction is understood as faults, which leads to anomaly and subsequently debase the system
performance. Two classes of faults are seen, additive (measurement and process) and multiplicative.
 547
Mechatronic Design Strategy: An Example with High Speed Spindle

Additive measurement faults result due to discrepancies between the measured and true values of the
spindle I/O variables, where as additive process faults are zero during normal operation, but entered
and affect the normal operation. Multiplicative faults are those, which describe the deterioration.
Broadly, three types of diagnostics and prognostics (DAP) techniques are studied in the literature;
statistical, model-based and model-free. Statistical parameters such as mean value, standard deviation,
variance, density function etc. of the available output signals are used for development of DAP
algorithm. Model-based DAP, on the other hand rely on quantitative mathematical relation between the
I/O (hence model of the plant) and depends only on the availability of a mathematical model of the
plant. This involves two tasks, generation of residuals and design of decision rules based on these
residuals as shown in Fig. 16.12. Residual generation principle is commonly known as analytical
redundancy, which implies that additional signals are generated and compared with the measured
quantities. The information processing technique involved in the redundancy are of mostly three
types; direct residual estimation from I/O, state estimation based using Kalman filter or by an observer
and physical stricture estimation. Model-free techniques are expert system based (H/W & S/W), limit
checking, special hardware-installation, fusion and spectral analysis. Fusion and spectral analysis
method are also employed in many industrial systems. When multiple sensors (at least three) are
configured into one and voting technique is used to isolate faults it is called fusion method. FFT and
wavelet transforms are the suitable tools for spectral analysis schemes. In this case system spectra of
both normal and that of faulty one are compared and any discrepancy is recognized as fault.

Fig. 16.12 Model-based method

Concern in the design of DAP algorithm is detection performance, which implies first and accurate
identification of incipient failures. The detection performance is measured in terms of isolability,
sensitivity and robustness. Since these parameters, in most cases are influenced by the careful
selection of transformation of system model it is recommended to adopt model-based stricture
estimation approach. The approach is suitable since the physical parameters of the spindle are directly
related to many faults. Process model strictures are understood as constants (although slowly varying
over time) and indirectly appear in the mathematical description of the relationship between the I/O
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Mechatronics: Principles, Concepts and Applications

signals. Isermann and coworkers justify that process faults become visible as a change of process
coefficients (strictures) such as resistance, capacitance, inductance, mass, stiffness, viscosity,
friction etc. and it is from the fact that they are contained in the model. The DAP scheme applied in
this work is based on stricture estimation. The procedure in the technique are,
·Modeling of the system with lumped parameter in differential equation form
·Formulation of relationships between model parameters and the physical parameters
·Determination of model parameter vector using the inputs and outputs
·Identification of physical parameter vector
·Deviation calculation from its nominal values
·Decision on a fault by exploiting the relationships between the faults and changes in the physical
strictures.

16.5.1 Formulation
An ideal dynamic system (DS) possesses two types of invariable coefficients such as process
variables coefficients (PVC) and system coefficients (SC) as shown in Eq.(16.12). These variables
and coefficients can be measured and compared to detect and isolate faults. Equation (16.13) and Eq.
(16.14), represent a complete description of the system with all the possible PVC, SC and their
discrepancies (multiplicative), and faults (additives). This is a linear discrete-time model.
PV
C DS = {PVC + SC}
SC
={i=k1 {( rsi , rri , lsi , lri , Vsi , Vri , Isi , Iri }, vdfsi ,vdfri ), J spindle_all , n
j =1 {Gj }, s , v, a , Fspindle_cf } (16.12)
x (t+1) = [S +¶S(t)]x (t) + [T +¶T(t)] [u(t) +¶u(t) + du(t)] + Ap (t) (16.13)
[y(t) +¶ y(t) + dy(t)] = [U +¶U(t)] x(t) (16.14)
where, PVC and SC quantify the Q-point of the system and thus are contained in the DS. In other
words they all influence the system gain. x(t), u(t) and y(t) are state, input and output vectors
respectively; S, T and U are system matrices in which PVC and SC are contained; p(t) faults and A is
their system matrix; ¶ is divergence between model matrices and real matrices; d is measurement
noise (Note that noise and faults are not same). The identified PVS of the spindle systems are currents
& voltages at various windings, input power, various losses, speed, velocity and acceleration. The SC
are resistances, inductances, flux, voltage drop factor, inertia constant, damping and dry friction and
so on. Since spindle system show nonlinear behaviour, the dynamics can be linearised neglecting
higher order terms so that it can be confined to a range and consequently analytical redundancy would
be possible. As a result, the system can be controlled and observed within a relatively lesser
operational range. In order to achieve this, as a thumb rule, two differential equations are generally
considered to be a better approach for the study. The modeling error and the error due to noise can be
neglected. However, if they are to be considered, statistical testing is inevitable. Statistical testing
involves direct parallel testing, multivariate testing, compound scalar testing, sequential likely hood
testing and Bayesian testing.
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Mechatronic Design Strategy: An Example with High Speed Spindle

16.5.2 Experiment
The mapping between cause (fault) and effect (fault symptoms) of malfunctions within HSSS has to
be studied. This includes observation of system elements that produce the indicated symptoms.
Exhaustive preliminary investigation has to be carried out on each element with additional test
equipments by the use of system knowledge (models) and failure history (statistically as well as
heuristic based). dSpace and MATLAB along with DSP hardware were used to implement the DAP.
Besides, sensory devices such as capacitive sensors for the measurement of displacement, current
sensors and accelerometers were used. The sensors were interfaced with the DSP board through
Neuron processor from Toshiba. The DAP is able to detect and isolate multiplicative as well as
additive faults. The faults are bearing wear, shaft wear, insufficient cooling, shaft displacement,
insufficient venting, shaft crack, shaft bend, crack on bearing’s inner and outer races, ball rupture,
preload limits. The effects are vibration amplitudes, the effect of positive and negative clearances (i.e.
axial and radial displacement of bearing races), heat generation of motor and stator, temperature
thresholds at the vicinity of the bearings (thermal deformation), resistance, inductance, Coulomb
friction coefficient, voltage and current variations (power), which are stricture related as described in
formulation section above.
Both cases are studied. One for detecting and isolating multiplicative fault such as shaft wear
(Detection of bearing wear would take much longer time since the BBRL (Basic Searing rating Life is
usually very high)), shaft bend (Shaft bent can also be an additive fault; however assuming there is no
accident, the shaft becomes bent only due to wearing off and other result shows isolation of additive
faults such as thermal deformation, shaft crack and cracks on bearing races. A comprehensive DAP
for HSSS accommodating all possible faults have been studied. Faults were generated artificially for
the testing. Altogether, 26 faults using 59 PVC and SC over a 200 experiments were carried out over
a period of 300 hours. Since the multiplicative faults (say shaft wear) severely affect the higher modes
of vibration it is recommended that spectral analysis method is the preferred choice for isolation.
Therefore, FFT was used to detect the shaft wear as shown in Fig. 16.13(a). Figure 16.13(b-e)
illustrates how the strictures are changed with respect to additive faults.

16.6 SEA SCHEME

The system performance deteriorates due to many factors such as aging, wear, operating period,
corrosion, environmental conditions, failure and so on. Assessment method indicating the degree of
deterioration factors of the machine as a whole is to be studied. The method can be used not only to
measure the degradation factor but it leads to establish a concept of machine evolution which can be
utilized for the design of next generation machine systems.

16.6.1 Machine Evolution and Sustainability

If automation and control systems are to re-engineer the system, past-history data of the system are
to be analyzed. This requires capturing of analysis-specific data during run-time. Capturing and
analysis of past data has been defined in terms of Sustainability and Evolution Assessment and Analysis
(SEAA). Sustainability and Evolution Assessment (SEA) is a method for on-line recording of
Sustainability and Evolution Information (SEI) of the machines. Analogy to the concept of recording
SEI data can be made through the black-box flight recorders for aircraft. Off-line analysis using SEI
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Mechatronics: Principles, Concepts and Applications

FFT Coefficients (normalized)

0.9

On 11.11.2001

0.6

0.3

On 21.06.2001
0.0
0 1 2 3 4 5 6
(a)

F-1 Fault due to thermal deformation F-1 Fault due to thermal deformation
A measure of radial pressure in exerted Change of coulomb friction coefficient
Confidence function (normalized to force)

Confidence function (normalized to force)

0.5 Faulty 0.8

0.4 0.6
Normal
F-1
0.3 0.4

0.2 0.2
Preload applied deliberately Preload applied deliberately

0.1 0.0
F-1

0.0 0.0
0 300 900 1200 1500 0 300 600 900
(Time) (Time)
(b) (c)

F-2 = Bearing jam F-2 = Bearing jam

Confidence function (normalized)

Confidence function (normalized)

10 0.05
Jspindle _all Power (VI)

8 0.04

6 0.03
F-2

4 0.02
Insufficient cooling Insufficient cooling

2 0.01
F-2

0 0.00
0 600 1200 1800 2100 2400 2700 0 600 1200 1800 2100 2400 2700

(d) (e)

Fig. 16.13 Some FDI results based on spectral analysis and stricture estimation using
model equations
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Mechatronic Design Strategy: An Example with High Speed Spindle

data advocates the issues of sustainability and machine evolution. The recorded data can be used for
the analysis of wears and faults responsible for degrading the performance level of the system. SEI
provides information on the degradation factor of the individual devices/components as well as that of
the whole machine.
Systems with self-recording of life activities could make the design of future products more easier
and robust. This makes predictions of the future rates of component life usage under operating
regimes for various damage processes and is a useful and unique addition to advanced DAP methods
since the scheme estimates past life usage, based on the actual operating history, and ideally be
capable of utilizing existing design and assessment data so that the requirement for new analysis is
minimized. Greater sustainability will make system more available and affordable. The approach can
be described as a ‘cradle to grave’ assessment of the machineries.

16.6.2 SEA Variables and LSV

There exist opportunity to advocate the SEA scheme in the real field. The factors, which are
responsible for deteriorating the system performance, must be identified. This demands identification
of SEA variables. SEA variables are the instances of a particular device or component that needs to be
recorded during run-time. A SEA variable must have a Life Span Value (LSV). LSV is defined as a
predictable value, i.e. LSVs are the measure of active life of the variables. Once the LSV has been
covered or consumed, an automated warning signal is to be generated and reported to the operator
that the device/component has already consumed the LSV and this may need to be
(i) replaced, (ii) analyzed for the development of next generation component for this machine and
(iii) recycled for sustainability and renewability.
As an example let us take the LSV of the pneumatic actuator’s piston cycle be 10,000. That means,
it is assumed that the piston can safely be able to operate 10,000 cycles without any damage to it.
Once the LSV has been covered, the piston needs to be checked, replaced or recycled. If the piston is
found perfect (i.e. it was found that no damage or harm had occurred to the piston even after 10,000
cycles), then the current LSV can be increased to a value more than 10,000 while designing the new
version of the actuator (piston). Conversely, if the actuator was found damaged then the LSV must be
decreased to a new value and the design and construction of new version of this pneumatic actuator
must be modified in response to the degree of deterioration factor. Therefore, LSV corresponding to
SEA variables play a significant role in implementing SEA scheme. However, assignment of its value
is crucial in first instance. LSV value can be anything and has to be decided prior to implementation.
Either the component manufacturer or the system designer can assign the LSV. The initial values can
be assigned either by observing the performance of the component in past or by proving a most
suitable number as deemed fit at the preclusion stage.
Based on the above facts, 43 SEA variables and the same number of corresponding LSV have been
defined for the spindle machine. Note that although the SEA variables are new, they should be generic
in nature and their number can grow over a period of time, as the inspiration is recognized. Further,
depending upon the type of application (A spindle machine is different from a molding machine which
is again different from a copy machine) their numbers will vary. However, an SEA variable recording
the LSV of Upper Threshold Vibration (say S_Sft_UTV) of a shaft of a spindle machine can generically
be understood same as that of a gear (S_Gr_UTV) used in another machine. Table 16.5 shows the
SEA variables and corresponding LSV of the spindle machine.
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Mechatronics: Principles, Concepts and Applications

Table 16.5
Some of the identified SEA variables of a typical spindle system
Variable Description Variable declared LSV
names in control platform (normalized)
TOD Total operation duration S_Mr1_tod 1000
NZD Duration the motor was in nominal speed S_Mr1_nzd 900
during TOD.
UTD Duration the motor was above the nominal speed S_Mr1_utd 50
during TOD
LTD Below the nominal speed S_Mr1_ltd 50
ONF How many times the motor has made on and S_Mr1_onf 1000
off (power)
PSNZD Duration of motor’s power supply value within S_Mr_psnzd 1000
normal zone.
PSUTD Duration of motor’s power supply value above NZ. S_Mr1_psutd 100
PSLTD Power supply value below normal zone. S_Mr1_psltd 50
TR Total revolution S_Mr1_tr 18E8
MFs Type of motor faults S_Mr1_Mf 3
TS1TOD Temperature sensor-1 TOD S_Snr_ts1tod 50
TS1NZD Temperature sensor-1 NZD S_Snr_ts1nzd 50
TS1UTD Temperature sensor-1 UTD S_Snr_ts1utd 1000
TS1LOD Temperature sensor-1 LTD S_Snr_ts1ltd 900
TS2TOD Temperature sensor-2 TOD S_Snr_ts2tod 50
TS2NZD Temperature sensor-2 NZD S_Snr_ts2nzd 50
TS2UTD Temperature sensor-2 UTD S_Snr_ts2utd 50
TS2LOD Temperature sensor-2 LTD S_Snr_ts2ltd 1000
SC1TOD Capacitance sensor-1 TOD S_Snr_sc1tod 1000
SC2TOD SC2TOD S_Snr_cs2tod 1000
SC3TOD SC3TOD S_Snr_cs3tod 1000
SC4TOD SC4TOD S_Snr_cs4tod 1000
ETOD Encoder TOD S_Snr_entod 500
1ONF Number of times the switch1 has made on and S_Sw1_onf 500
off cycle.
S2ONF For switch 2 S_Sw2_onf 500
S3ONF For switch 3S_Sw3_onf 500
SVLUTD UTD of vibration level of spindle shaft at rear S_M_Svlutdr 1
bearings
SVLNZD NZD of vibration level S_M_Svlnzdr 1000
SVLFUTD UTD of vibration level of spindle shaft at front SLC_M_Svlutdf 1
bearings
SVLFNZD NZD of vibration level that of front S_M_Svlnzdf 1000
SVLTUTD UTD of vibration level of spindle shaft at tooling S_M_Svltutd 1
position
SVLTNZD NZD of vibration level that of at tooling position S_M_Svltnzd 1000
VLUTD Vibration level of stator S_S_vlnzd 1000
STZ1NZD Spindle temperature at zone-1 within normal zone S_SP_stz1nzd 900
STZ1UOD Spindle temperature at zone-1 above threshold S_SP_stz1utd 10
STZ1LOD Below threshold S_SP_stz1ltd 1000
(Contd.)
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Mechatronic Design Strategy: An Example with High Speed Spindle

Variable Description Variable declared LSV

names in control platform (normalized)
STZ2NZD That of zone-2 S_SP_stz2nzd 900
STZ2UOD That of zone-2 S_SP_stz2utd 5
STZ2LOD That of zone-2 S_SP_stz2ltd 1000
SPC Total power consumed by the spindle S_SP_spc 30000
SPML Spindle Motor loss S_SP_ml 1000
SPBL Spindle bearing loss S_SP_bl 2000
SPWL Windage loss S_SP_wl 25

16.6.3 Methods of Realization and Results

Integrated approach, i.e. control and SEA implementation is considered to be a cost saving approach.
However, all depends on the real-time capability of the control hardware. On the other hand separate
SEA implementation is recommended since SEA has been emerging as a technology. In this work,
integrated approach has been considered. All the SEA variables, identified above have been declared
within the domain of control platform, which is a LonWorks based DCS networking system
(Described in the next section). Figure 16.14 illustrates a knowledge base required for the development
and inplementation of SEA scheme.

Fig. 16.14 SEA development knowledge base and workbench

 554
Mechatronics: Principles, Concepts and Applications

Application Specific Integrated Circuit (ASIC) accommodating generic SEA variables are being
developed which can be fitted into the system/plant/machine.
Figure 16.15 shows the window of LSV vis-à-vis SEA variables in run-time. Only 4 of 43 SEA
variables have been shown. Point to be noted that the operational period of typical components or
machines may be around 5 years or more, however, the recorded data presented in the Fig. 16.15 was
for three months only. Visual C++ was used as front end and LNS (LonWorks Network Service)
kernel from Echelon Corporation, USA, was used as the communication interface for distributed data
acquisition and presentation. SEA implementation is beneficial to both the technology developers and
the users.

Fig. 16.15 SEA data

16.7 APPROACH TO THE DESIGN OF CONTROL SYSTEMS

One of the objectives of this study is to develop the control architecture, which is required for
integration of drive systems, input/output hardware, instrumentation, support for diagnostics and
prognostics, SEA data collection, operator interfaces, and autonomous operations. The architecture
 555
Mechatronic Design Strategy: An Example with High Speed Spindle

needed to be flexible in terms of extendability, scalability and configurability to enable features to be

developed independently and added, modified or removed along with addition of new features, are
required. In recent years industrial automation and control systems prefer to implement Distributed
Control System (DCS) instead of centralized, because of its advantage of great flexibility over the
whole operating range, which have been described in the Chapters 13 and 15. Conventional centralized
control is characterized by a central processing unit that communicates with the field devices such as
sensors, actuators, switches, valves, drives, etc. with separate individual point-to-point parallel link.
On the other hand DCS interconnects devices with a single serial link as illustrated in the Fig. 16.16.
Since I/O points within the spindle systems are distributed and since the number of auxiliary
components and equipments are progressively increasing, DCS architecture is seen to be appropriate.
Each I/O point can be defined in terms of smart devices. Potential operational benefits of adopting
DCS schemes can be summarized. These include, sharing of the processing load for avoiding the
bottle neck of a single centralized controller, replacement of complex point-to-point wiring harnesses
with control networks to reduce weight and assembly costs, freedom to vary the number and type of
control nodes on a particular machine in order to easily modify its functionality, ability to individually
configure and test segments (components) of the machine before they are combined together, building
and testing of each intelligent machine element separately, and provisions for interfacing for data
exchange between the run-time control system and other factory/business systems, (e.g. management
information, remote monitoring and control), etc.
Parallel connection
Sensors
Actuators
Central Interfacing Valves
controller Switches Plant
Drives
Controllers
etc.

A schematic diagram of centralised control

C Sensors
C
O
N
N
E C Actuators
T
T P
R
W L
O
O A
L
R C Drives N
L
K T
E
R
S
C etc.

A schematic diagram of DCS

Fig. 16.16 Centralized versus DCS

 556
Mechatronics: Principles, Concepts and Applications

DCS can be leveled into four layers of automation services (Fig. 16.17). The bottom layer called
component level, which includes the physical components such as intelligent devices such as PC,
industrial PC, PLC, microprocessor, micro-controller, etc. and non-intelligent devices such as
sensors, actuators, switches, A/D, D/A, port, transceivers, communication media, etc. Network
interface layer is similar to MAC sub-layer of the link layer protocol. Process layer includes application
layer features. Since control system does not transfer raw data through a physical media an application
layer has to exist. Application layer defines the variables, which are responsible to transfer data from
one place to other when they are connected logically. This layer also generates object code (OC) from
the source code (SC) by the use of resources and methods such as compilers and OLE/DDE
respectively. The management layer manages the control design. There is a set of generic functions
within the management layers, which are accountable for providing services for all aspects of control
management. Typical management functions are installation, configuration, setting, resetting,
monitoring, operator interfacing, testing etc.

Fig. 16.17 Control levels

16.7.1 DCS Realizing Platform

Fieldbus is a technology for the realization of DCS. Fieldbus technologies are being developed for
most of the industrial automation, controls applications. The leading fieldbuses with their
characteristics can be seen in the Table 13.4 and 13.5. The technology includes a protocol, which can
transmit and receive digital data through multiple media and channels. Recently, many fieldbuses are
available in the technology market place and their application areas vary. For industrial control
applications, the type of bus used is described as a sensor-bus or device-bus, which usually deals with
complex devices such as motors, drives, valves, etc. providing process variable information. It has
been successfully tried and tested in many applications including wide range of general industrial
applications (food processing, conveyor system automation, packaging plant automation etc.), ship
automation, FMS, monitoring and control in hazardous area, flight simulator, building automation,
SCADA systems (automotive power distribution applications), deterministic applications (robotics,
air craft, space), rehabilitation, and so on.
DCS based control was proposed for the spindle system. Figure 16.18 shows the schematic
diagram of the spindle system and Fig. 16.19 shows its control realization using DCS scheme. The
 557
Mechatronic Design Strategy: An Example with High Speed Spindle

spindle system control has a generic set of essential requirements in terms of coordination,
synchronization, acknowledgement, timing etc. In addition to achieving the required sequence of
operations it is vital that operator information requirements are also satisfied. The control system
should also satisfy the features such as,
· Interlock checking Before any movement the current position of related mechanical units
must be determined to avoid collisions.
· Time out checking If a mechanical drive unit has not completed its movement/cycle within
the expected time an error has to be indicated.
· Status display At each step in the sequence, an application relevant message can be
displaced to the operator.
· Error messaging Each step in the sequence has an associated list of messages to display
when any error has been detected).

Fig. 16.18 Schematic diagram of the spindle system in the context of control interfacing

LonWorks (Local Operation Network) fieldbus, which is also called LON (developed by Echelon
Corporation, USA), has been selected as the realizing platform for DCS because of its many features.
The system includes all the elements required to design, deploy and support DCS. Each distributed
node contains 8-bit VLSI processor called Neuron chip. The chip communicates with each other
using CSMA (Carrier Sense Multiple Access) protocol. The logical connections (as per control co-
ordination, synchronization) among the nodes are made with the help of application software by using
LNS (LonWorks Network Service) network kernel. The software is the operator interface, which can
monitor and control the spindle operation. It inherits the advanced features such as GUI (Graphical
User Interface), CS (Client Server) architecture and OO-based (Object Oriented) technology. Visual
C++ is used as the language. The host is an IBM compatible PC with Windows98 Operating System
(OS). The software not only serves as user interface but can also do the management operations such
as installation, configuration (logical binding), setting, resetting, winking etc. of the control network.
The control code for the node is written in Neuron C language; a derivative of ANSI C (American
National Standard Institute). Neuron C is very simple and flexible due to the existence of network
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Mechatronics: Principles, Concepts and Applications

variable (nv); a new class of application layer objects which simplify data sharing among nodes, and
when statements; which introduces events and defines the temporal ordering of these events. There
are also 34 pre-defined I/O functions within the language, which makes it easy to write the code for
real-time applications. The control code is developed, complied, debugged and finally downloaded
into the node by using NodeBuilder tool. In Fig. 16.19, N1: Node-1 is interfaced with the actuating
system (drive), N2 where all the sensors are interfaced with N2, N3 is the control panel consisting of
start, stop buttons and display and alarm units, N4 is a node whose code is already ready within the
Host (This node can be added at any moment if the capability of the spindle system need to be
increased).

Graphical user interface NT, LNS, VB6

Client server OS for DCS,
Object oriented Simulation tool
Virtual design

Fieldbus based DCS network

System Image

Code-N1 Code-N2 Code-N3

Transceiver Transceiver Transceiver

N1 N2 N3 N4

Interfacings Interfacings Interfacings

Position sensors
(Encoders) Display
Temperature Alarm,
and vibration Switch,
Drive (actuator) sensors Buttons

HIGH SPEED SPINDLE MACHINE

(coordination, synchronization, acknowledgement, timing)

Fig. 16.19 Spindle control realization using DCS scheme

 559
Mechatronic Design Strategy: An Example with High Speed Spindle

It is worth to mention that LonWorks is an underlying architecture with which fully-fledged DCS
can be built. Regardless of the system complexity and the features of the fieldbus systems, the
distributed system design methodology involves problem identification, segmentation, development
and testing. For details refer Fig. 13.22.

16.8 REMOTE MONITORING AND CONTROL

In response to demands towards transparency and productivity under Agile Manufacturing (AM),
recently remote monitoring and control (RMC) of industrial systems is getting momentum. The design
could include interfacing of control network with the data network.

16.8.1 The Need for Interfacing DN with CN

Remote monitoring requires unified and coherent operation of control and management functions
within one platform. Control-networking systems are available which is generically defined as fieldbus
technology. Commonly available data networking systems are LAN, WAN, MAN and so on.
Enterprise-wide linking system already exists through these data networks. Since the concept of total
automation in terms of integrated visualization of process and control layers is emerging, for novice
practitioners and researchers the questions like (i) For what purpose is total automation required,
(ii) Why do two kinds of networking systems exist instead of one?, and (iii) is it possible to realize
using only one kind of networking system?, will arise. The answer to the first question is that the
interfacing is barely necessary in order to achieve more flexible way of monitoring and controlling the
system remotely. It may be required to download control code into a controller (distributed or
centralized) remotely. If the engineer is working in the office room at the moment, engaging the
machine at work in the factory floor then the situation may demand to supervise and control the
machine from his or her office room. The situation is more intensive if the engineer is forced to work
a couple of hours more within the office. In another context if the Chief Executive Officer (CEO)
wants to know whether or not all the machines and systems are working as per schedule he/she may
monitor the operation remotely and if situation demands he/she can give direction to the technicians
working in other floor for needful action. In similar context, not only the overall condition of a
machine can be monitored but also the health and perfectness of the individual devices and
components such as sensors, actuators, switches etc. and the natural conditions such as vibration
level, temperature level, humidity percentage, etc. at a particular zone or point can be monitored
remotely.
The existence of two kinds of networking systems is due to the reasons that the underlying
requirement of bulk data communication and control data communication are very different. There
has been some confusion between fieldbus technology and the DN as they adopt the similar concept
of digital signal communication. DNs are usually computer networks. DN transfers, large quantities
of data in order of megabits per second from one computer to another. The timing of messages and
their transfer is not critical. A control network on the other hand, interconnects nodes which are
connected to field devices such as sensors, actuators and switches in the rugged industrial
environments. Message-based data, however, in small quantities, is transmitted in a time that is pre-
determined. Fieldbuses, typically omit some of the OSI layer functionality, in order to meet the real-
time requirement. Therefore, two kinds of networking systems exist and in order to achieve total
automation, interfacing between these two types of networking systems has to be designed.
 560
Mechatronics: Principles, Concepts and Applications

16.8.2 Realization Study

The parameters, which are monitored and controlled in the context of RMC are
(i) status of power supply (ii) status of the spindle (iii) temperature of the air gap between the stator
and rotor, front and rear bearings (iv) vibration level at the front bearing and rear bearing point
(v) validity of the electronic connectivity and (vi) SEA data.
The spindle machine was monitored and controlled from a PC connected to LAN network located
approximately 500 metres away from the Laboratory.
LNS network kernel was used for the design of monitoring and control software. The interface
software consists of three modules, namely
(i) module for interfacing (ii) for monitoring and supervision, and (iii) control module.
LNS is the control networking industry’s first multi-client network kernel. Much like a standard
operating system, which implements the fundamental operating task of the computer, the LNS
network services encapsulates common operations, providing the essential directory, installation,
management, monitoring, and control services required by control network applications. The LNS
architecture provides the power of client-server architecture with object oriented, component-based
software design. LNS for Windows incorporate Internet Protocol (IP) for remote application. To
accomplish any given network operation, the LNS Object Server can be used for the application
development. LNS Object Server objects are organized into a class hierarchy, which defines a set of
properties, methods and events.

· Spindle systems are mechatronic systems.

· The high-speed spindling mostly fall within the range of 20,000 to 30,000 RPM.
· Spindle systems are employed in aerospace and heavy industries, consumer industry and in
many manufacturing sectors for machining, micro-machining, milling, drilling, data reading
and recording applications.
· Remote monitoring and control method is making the way into the avenue of machine control
systems. There comes the importance of interface design between the data and control
networks.
· System modeling is a method commonly suggested for improving the understanding of the
system quickly.
· The flow of power within the spindle system is multi-variant nature such as electrical,
mechanical, viscous, thermal etc. and transition of power occurs at each coupling points.
· Spindle systems are vulnerable to vibration for which precise electromechanical fittings and
coupling are extremely desirable.
· Theoretically, the Q-points are described using state space method. Experimentally, they are
plotted by obtaining, the I/O data. The Q-point curves (graphic representation of the dynamic
model equations) help the engineer to view the performance of the system instantly.
· The midway seizure of spindle is due to the development of additional negative clearance (ANC)
between the inner races and the balls of the bearing systems.
 561
Mechatronic Design Strategy: An Example with High Speed Spindle

· There is a need to compensate the friction, although full compensation is not at all possible. In
contrast, failure to account for friction compensation lead to tracking error and limit cycles.
Care must be taken not to overcompensate the friction.
· Mass unbalances are the major sources of vibration. The compensation is done by placing
correction masses onto the rotating shaft, so that forces due to these masses cancel out those
caused by the inherent unbalance mass.
· Two classes of faults are seen, additive and multiplicative. Additive faults result due to
discrepancies between the measured and true values of the I/O variables, and also entered and
affect the normal operation. Multiplicative faults describe the deterioration.
· The system performance deteriorates due to many factors such as aging, wear, operating
period, corrosion, environmental conditions, failure and so on.
· Sustainability and Evolution Assessment (SEA) is an implementation scheme for on-line
recording of deterioration factor in terms of Life Span Value (LSV) of the machine components.
· Automation and control systems preferred to implement Distributed Control System (DCS)
instead of centralized, because of its advantage of great flexibility over the whole operating
range.
· Fieldbus is a technology for the realization of DCS.
· Local Operating Network is a fieldbus.
· Remote monitoring of machines within the manufacturing plants requires unified and coherent
operation of control and management functions within one platform.
· Commonly available data networking systems are LAN, WAN, MAN, etc.

This chapter presents a comprehensive study on spindle systems an example of a

mechatronic product. The chapter started in reviewing the conventional spindle machine
systems. In order to study the characteristics and thus to predict the performance of the high
speed spindle a complete thermo-mechanical modeling approach adhering information about
the flow of real power from the input through the output has been presented. A study on thermo-
electromechanical behaviour was carried out, which fulfilled the requirements for optimization
of design parameters for improved operational performance of spindling under many
circumstances. CAD and sophisticated optimization tools were used for building spindle
system for high-speed operation. The design strategy accommodates Diagnostics and
Prognostics (DAP) in terms of FDI (Fault Detection and Isolation) scheme. Various FDI
methods and approaches and their relative merits and demerits have been presented. Because
of improper coupling, non-uniform shaft density, varying stiffness of the ball bearings and many
other factors, advanced anti-vibration technology in terms of balancing methods must be
employed. Contrast to traditional balancing methods, the chapter describes an innovative
balancing technique. The prototype called EMB (Electromagnetic Balancer) has been
developed, tested and used in order to reduce the vibration level of the spindle shaft
significantly. A metaphoric idea in terms of SEA (Sustainability and Evolution Assessment)
has been implemented so as to provide a knowledge base to cater the issues of analysis,
562
Mechatronics: Principles, Concepts and Applications

design, development and manufacturing of next generation machine components. A well-

defined DCS (Distributed Control System) architecture using digital control networking
systems (Fieldbus) has been developed for the realization of overall control structure of the
spindle. The design accommodates the development of an approach in order to monitor the
condition of the spindle system remotely by realizing an interface between data and control
networks. The design strategy makes the use of state-of-the-art tools and techniques at
appropriate point during the process of development and also the strategy takes into the
account of the aspect of agility.

LOOKING AHEAD
The competitive market enforce the industries to rapidly deliver quality products to meet the
societal demand. Many of the production cells in industry have already been equipped with
automated machineries and systems. Employment of automated machines is needed in order
to demand for increased productivity. Performance driven state-of-the-art design techniques,
methodology and tools must be adopted for building machineries. Although many types of
machines are employed within the industrial and manufacturing sectors, all go through a
similar design and development strategy. This chapter describes a comprehensive design
strategy of a high-speed spindle system, which is nothing but a mechatronic system. The
concepts learnt from this chapter can be applied to many machine system designs as the
philosophy and design methodologies are seen to be similar although not identical. For
instance many machine systems are built from drives (actuators), mechanical structures (main
body), bearings with preload arrangements, electrical and mechanical interfacings
(mechanisms), electronics, control, etc. as was seen in the study of spindle system presented
in this chapter.
 Appendix

UNITS

Parameters Unit Notations Expressed in

Length Metre m
Mass Kilogram kg
Time Second s
Resistance Ohm W V/A
Resistivity r W-cm
Inductance Henry H Wb/A
Capacitance Farad F C/V
Conductance Siemens S A/V
Magnetic induction Tesla T Wb/m 2
Electric charge Coulomb C A-s
Current Ampere A
Potential Volt V
Frequency Hertz Hz s–1
Wavelength l °A or mm
Force Newton N (kg-m)/s2
Torque T N-m
Pressure Pascal Pa N/m2
Energy Joule J N-m
Power Watt W J/s
Temperature Kelvin K
Area A m2
Volume V m3
Density D kg/m3
Velocity v m/s
Angular velocity w rad/s
Acceleration a m/s2
Angular acceleration a rad/s 2
564
Appendix

CONSTANTS

Quantity Symbol Value

Angstrom °A 1 °A = 10– 8 cm = 10–10 m
Avogadro constant N 6.02204*1023 mol–1
Boltzmann constant k 1.38066*10–23 J/k
Plank constant h 6.62617*10–34 J-s
Charge of electron q 1.60218*10–19 C
Rest mass of an electron mo 9.1095*10–31 kg
Rest mass of proton mp 1.67624*10–27 kg
Permeability of free space mo 1.25663*10–8 H/cm
Permittivity of free space eo 8.85418*10–14 F/cm
Speed of light in vacuum c 2.99792*1010 cm/s

CONSTANTS
p = 3.1416
1/p = 0.3183
e = 2.718
Log e = 0.4343
Log x = 0.4343 ln x
ln x = 2.303 log x
Micron = 10–6 m

CONVERSION

From To Multiply by
Radian Degree 57.30
Inches Metres 0.0254
Yards Metres 0.9144
Miles/hour Metres/second 0.447
Pounds Kilogrames 0.4536
Pounds-force Newton 4.45
Kilograms-force Newton 9.806 65
Newton meters lbf ft 0.738
Newton meters gf cm 1.019*104
Horsepower ft lbf/min 33000
Horsepower Kilowatts 0.746
Kilocalories Joule 4187
Joules kWh 2.778*10–7
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 Index

2-way valve, 252 Address bus, 299

3-way valve, 252 Address, 290
4-way valve, 252 Addressing modes, 303
8085A microprocessor, 304 Advanced actuators, 496
8XC196KC, 290, 312 AGV Architecture, 509
AGV, 16, 309, 509
A
Aliasing, 182, 218
A/D converter, 317 Alloys, 15
Abrupt step change, 516 ALU, 292
Absolute encoder, 170 Ammeter, 225
Absolute optical encoder, 173 Amplification, 86
AC motor, 244 Amplifier, 194
Accelerating anode, 226 Amplitude modulation, 62
Acceleration profile, 272 Amplitude of spectral density, 42, 218
Acceptors, 79 Analog signal, 16
Accumulator, 295 Analog to digital conversion, 16,187
Active arm, 204 Analog, 29
Active components, 258 Analytical redundancy, 419
Active device, 78 Angular actuator, 249
Active equivalence, 151 Anode plate, 169
Active filters, 200 Anode, 152
Active low, 211 Antigens, 420
Active material based actuator, 237 Antilog, 49
Active material, 237 Application layer, 455
Active region, 87 Application software, 436
Actuation, 236 Approximated linearisation, 354
Actuator validation mode, 518 Armature coil, 239
Actuator, 4, 16, 236 Armature winding, 239
Adaptive control, 409, 422, 423 Artificial immune network, 420
Additive fault, 418 Artificial neural network, 6, 410
Additive measurement fault, 418 Artificial neuron, 411
Additive process fault, 418 Artificial world, 103
Add-on cards, 435 ASIC, 6
 574
Index

Assembler, 293 Binary subtraction, 114

Assembly language, 293 Binary weight, 104
Assembly-level formulation, 292 Biological systems, 411
Astable multivibrator, 213 BIOS, 432
Automated guided vehicle, 8 Bit, 287
Automatic control method, 409 Bit, 317
Automatic control, 20, 403, 422 Bit-level formulation, 292
Automation system, 18 Bits, 104
Automation, 2 BJT, 87
Automotive industry, 162 Blackbox, 549
Autonomous guided vehicle, 509 Block and tackle, 265
Autonomy, 9 Block diagrams, 400
Auxiliary function, 424 Bode plot, 200, 389
Availability, 22, 487 Boltzomann constant, 157
Axon, 411 Boolean algebra, 115
Boolean expression, 132
B Boolean values, 13, 118
Backlash, 249, 270 Bourdon tube, 175
Ball bearings, 261 Box number, 135
Band reject filter, 199 Break frequency, 390
Bandgap, 153 Bridge circuit, 177, 202
Bandpass filter, 199 Bridge type rectifier, 189
Band-reject filters, 199 Brushed motor, 242
Bandwidth, 94 Brushless motor, 242
Base current, 88 Buffers, 295
Base, 86 Bulk modulus, 345
Baseband signal, 62 Bus, 299
Basic modeling elements, 327, 336 Byte, 104, 317
BCD number system, 109
C
Beads, 156
Bearing friction, 544 CAD, 453
Bearing surroundings, 543 Cage, 260
Bearings, 258 Cam contour, 272
Bellows, 179 Cam profile, 273
Belt and chains, 264 Cam rim, 272
Belt creep, 265 Cam shape, 274
Bernoulli's principles, 180 Cam surface, 272
Bevel gear, 268 Cam, 272
Biasing voltage, 88 CAM, 453
Biasing, 88 CAMP-G, 545
Bi-directional, 291 Capacitance, 13
Bi-directional, 299 Capacitive impedance, 77
Bimetallic strip, 174 Capacitive reactance, 76
Binary counter, 130 Capacitive transducers, 162
Binary number system, 107 Capacitor, 74
Binary register based D/A converter, 220 Capacity, 74
Binary sensor, 112 Capsules, 179
 575
Index

Carrier sense multiple access, 557 Combinational logic circuits, 124

Carrier signal, 62 Combined pulley, 265
Carry, 297 Command window, 443
Cascade amplifier, 194 Common base configuration, 87
Cathode ray oscilloscope, 226 Common collector configuration, 87
Cathode, 152 Common emitter configuration, 87
CD writer, 433 Common mode rejection ratio, CMMR, 197
CD-ROM drive, 169 Communication protocol, 24
Cellular manufacturing, 8 Communication, 425
Center-tapped rectifier, 189 Commutator, 242
Central processing unit, 10, 430 Comparator, 187, 204, 222
Centralised control systems, 23, 458 Compilers, 439
Certaintiness value, 517 Complete solution, 364
Chain and sprocket, 275 Complex function, 42, 388
Characteristic equation, 364 Complex, 265
Characteristic function, 414 Compliance, 328
Characteristic plot, 88 Components based design, 478, 509
Charge amplifier, 165 Components, 478,479
Chemical actuators, 258 Compound components, 510
Chip enable, 291 Compound motor, 241
Chips, 156 Compound voltage divider, 188
Circuit board, 435 Compressible fluid, 343
Circuit element, 13 Computer added design, 453
CISC (complex instruction set computing), 312 Computer added manufacture, 453
Clamping circuit, 193 Computer assisted environment, 22
Client sensor architecture, 453 Computer integrated manufacturing, 9
Clipping circuit, 192 Computer network, 455
Clock signal, 216, 298 Computer numerical controller, 8
Clock, 216, 435 Computer, 430
Closed loop control system, 402 Concurrent engineering, 8
Closed loop gain, 94 Conditioning, 70
Closed loop inverting, 195 Conductivity, 71
Closed loop noninverting, 195 Conductors, 71
Closed loop OPAMP, 95 Configuration, 422, 479
Closed loop system, 380 Connectivity, 481
Closed loop transfer function, 404 Consumer mechatronic products, 502
Closed loop, 20 Context switching, 310
CMMR, 197 Continuous domain, 33
CMOS, 140, 312 Continuous monitoring, 417
Co axial cable, 96 Continuous time systems, 56
COBOL, 440 Control architecture, 23
Cold junction, 158 Control bandwidth, 311
Collector current, 88 Control code, 236, 287
Collector junction, 87 Control loop, 21
Collector, 86 Control network, 459, 470
Color sensor, 515 Control pin, 212
Colour sensor interface circuit, 520 Control solution, 485
 576
Index

Control system, 403 Data transactions, 294

Control, 4 Data write operation, 291
Controllability, 4 Data, 293
Conveyor, 8, 514 Data, 455
Co-operativeness, 9 Database management system, 452
Core loss, 243 Database, 452
Coreless motor, 242 Data-bus, 299
Coriolis, 181 Data-link, 455
Corrugated diaphragms, 179 DBMS, 452
Cost performance ratio, 311 DC signal, 31
Counter based technique, 220 Dead-band, 405
Counter, 130 Decade counter, 130
Counting, 18 Decrementer unit, 305
CPU, 290 Deep-grove bearings, 262
Crane, 238 Degree of belief, 413
Crank Shaft, 272 Degree of membership, 414
Crank, 271 Degrees of freedom, 505
Critically damped, 365 Delayed response, 355
Cross-talk, 182 Demodulation, 62
Crystal frequency, 298 DeMorgan's theorem, 115
Crystal lattice, 154 Dendrites, 411
CS architecture, 454 Dependability, 439
CSMS-CD, 463 Depletion layer, 82
Current controlled devices, 89 Derivative action, 77
Current state, 21 Derivative controller, 404
Cut-off region, 87 Design cycle time, 20
Cylinder, 249 Design for environment, 484
Cylindrical bearings, 263 Design, 7
Cylindrical roller bearing, 261 Desired output, 325
Desired state, 21
D
Development tool, 23, 459
D flip flop, 127 Device bus, 556
Damper element, 329 Device driver, 452
Damper, 327 Device level, 460
Damping coefficient, 342, Device manager, 452
Damping constant, 330 DFT, 12
Damping ratio, 364 Diagnostic and prognostic, 22, 417, 478, 546
DAQ cards, 435 Diagnostic, 19, 22, 417, 424
Data abstraction, 455 Diaphragms, 178
Data acquisition, 434 Dielectric material, 75,162
Data fusion, 420, 490 Difference equation, 56
Data network, 463, 470 Differential amplifiers, 94, 197
Data path, 291 Differential equation, 48
Data register, 294 Differential pressure, 181
Data samples, 44 Differential voltage, 195
Data signal processing, 45 Differentiation, 198
Data temporary registers, 294 Diffusion, 82
 577
Index

Digital control, 286 Dynamic links, 300

Digital number system, 103 Dynamic model equation, 20
Digital plant technology, 9 Dynamic model, 533
Digital signal processing, 61 Dynamic modeling, 20
Digital signal processor, 502 Dynamic RAM, 142
Digital signal, 16 Dynamic systems, 548
Digital technology, 13
E
Digital to analog conversion, 16, 187
Digits, 103 Eddy current loss, 242
Diode transistor logic, 140 Electric trolleys, 240
Direct current gain, 89 Electrical components, 70
Discontinuity, 38 Electrical zero position, 160
Discrete component, 18 Electromagnetic balancer, 532, 545
Discrete domain, 33 Electromagnetic interferences, 182
Discrete event systems, 538 Electromagnetic wave, 96
Discrete Fourier transform, 44, 451 Electromechanical actuator, 237
Discrete level, 216 Electromechanical, 4, 5
Discrete model, 35 Electromotive force, 157
Discrete processing, 12 Electron gun, 227
Discrete time signal, 33 Electron hole pair, 154
Discrete time systems, 56 Electronic commutator, 243
Discs, 156 Electronic filter, 31
Displacement, 163 Electronic memory, 432
Display, 424 Elementary matrix functions, 444
Distributed control systems, 23, 555, 458, 459 Elevetors, 238
Distributed operating system, 438 Embedded technology, 422
Distributed system, 22 Embedded, 2
Disturbance signal, 418 Emitter coupled logic, 140
Diverter types, 252 Emitter junction, 87
Donors, 79 Emitter, 86
Dopants, 79 Encapsulation, 455
Double direction bearings, 262 Encoder, 4
Double pulley, 265 End effector, 505
DOUBLE WORD, 317 End-user, 10
Double-rod double acting, 249 Energy signal, 33
Down counter, 130 Engineering process, 29
Drain current, 89 Engineering system, 336
Drain, 90 Equivalence, 29, 151
Drift mode, 516 Erasable PROMS, 143
Drift, 156 Error detecting codes, 173
Drilling Machine, 512 Error driven strategy, 21
Driver gear, 266 Error messaging, 496
Drivers, 504, 452 Error signal, 407
DSP board, 545 Error, 402
Duty cycle, 64 Ethernet, 434
Dwell, 272 Exclusive OR function, 122
Dynamic behaviour, 48, 387 Executable, 480
 578
Index

Expert system, 420, 491 Fluid capacitance, 332

Extendibility, 422, 463 Fluid capacitor, 334
Extrinsic, 79 Fluid conductor, 333
Fluid power actuator, 237, 249
F
Fluid resistance, 332
Failure downtime, 22 Fluid resistor, 333
Fall, 272 Fluorescent point, 227
Fast Fourier Transform, 45 FM, 29, 84
Fault detection & isolation, 22, 417 FMS, 556
Fault Detection, 478 Focusing grid, 226
Faults, 417 Follower gear, 266, 267
FDI, 6 Follower Shape, 275
Feedback control system, 16 Follower, 272
Feedback control, 20 Forcing function, 358
Feedback register, 195 FORTRAN, 440
Feedback rule, 245 Forward biased, 82
Feedback sensor, 423 Four-bar linkage, 277
Fetch cycle, 298 Fourier analysis, 12
FFT, 12 Fourier series, 38
Fiber optic cable, 96 Free electrons, 71,80
Fiber optic transducers, 181 Free holes, 80
Field current, 240 Free response, 358
Field devices, 24 Free running mode, 213
Field effect transistor, 90 Frequency domain representation, 39
Field programming, 481 Frequency domain, 12
Field relays, 318 Frequency modulation, 62
Fieldbus technology, 465 Frequency response curve, 198, 382
Fieldbus, 18, 465 Frequency response, 380, 387
Filament, 176 Frequency to voltage converter, 16
Filtering, 31, 86 Full adder, 124
Filters, 151, 198, 310 Full wave rectification, 189
Finite element method, 539 Fundamental frequency, 39
Finite energy, 38 Fusion based FDI, 420
First order, 48 Fusion scheme, 515
Fixed automation, 508 Fuzzy Logic, 6, 410, 413
Fixed pulley, 264 Fuzzy rules, 414
Fixed robot, 503 Fuzzy set, 414
Fixed window function, 48 Fuzzyness, 413
Flags, 297
Flexibility, 2 G
Flexible manufacturing cell, 8 Gain, 94, 195, 381
Flexible manufacturing system, 8 Galvanometer, 224
Flip flops, 124 Gate function, 43
Flop flops circuit, 212 Gate, 90, 118
Floppy disk, 432 Gear ratio, 269
Floppy drive, 433 Gear, 266
Flow transducers, 180 Gearbox, 249
 579
Index

Gearing down, 266 Hydraulic fingers, 502

Gearing mechanism, 270 Hydraulic motor, 276
Gearing up, 266 Hydraulic, 249
General purpose operating system, 436 Hydrodynamic lubrication, 260
Geneva wheel, 276 Hysteresis, 405
Gigabits, 291
I
Gigabytes, 291, 433
GOS, 436 Idlers, 267
Graphical user interface, 441, 479 IEEE, 4
Gray code sensor, 112 Imaginary parts, 388
Gray code, 111 Immobile, 71
Gray counter, 130 Impedance, 76, 77, 94
Grid terminal, 168 Incremental encoder, 170
Group Technology, 8 Incrementer, 305
Gunn diodes, 84 Inductance, 73
Induction motor, 244
H Inductive impedance, 77
Half adder, 123 Inductive pickup, 160
Half wave rectification, 189 Inductive reactance, 76
Hall coefficient, 167 Inductor, 13, 73
Hall effect transducer, 166 Industrial PC, 18, 252, 457, 511
Hall effect, 166 Industrial robot, 502
Hall voltage, 167 Inertance, 332
Hard disk, 432 Inerter, 333
Hard drive, 433 Inertia element, 330
Hardware components, 479 Inertia, 327
Hartley oscillator, 207 Infrared, 164
Helical gear, 268 Inheritance, 455
Hexadecimal number system, 103, 107 Initial catching problem, 222
High level programming language, 439 Initial condition, 366
High pass filters, 94, 198 Inner race, 260, 543
Higher level basic building blocks, 124 Inner ring, 260
Higher order moments, 33 Input buffer, 295
High-level formulation, 292 Input excitation, 358
High-level language, 293 Input impedance, 91
High-speed I/O, 311 Inspection, 6
High-speed spindle system, 531 Instantaneous response, 355
HL, 439 Instruction decoder, 295
Holding currents, 93 Instruction type, 303
Holding torque, 248 Instructions registers, 294
Hole, 80 Instructions, 291
Holonic manufacturing system, 9 Instrumentation amplifier, 4, 202
Homogeneous solution, 358 Instrumentation, 4
Homogeneous, 361 Insulators, 71
Horizontal deflection plates, 227 Integral action, 77
Hot junction, 158 Integral controller, 404, 406
Hydraulic actuation, 253 Integral time, 407
 580
Index

Integrated circuits, 93, 157 Junction diodes, 81

Integration, 10 Just in time, 8
Intelligence, 9
K
Intelligent control, 21, 410
Intelligent, 6 Kalman filter, 419
Intensity control grid, 226 Karnaugh map, 134
Inter process communication, 436 Kilobits, 291
Interaction, 11 Kinetic energies, 169, 331
Interchangeability, 470 K-map, 134
Interdisciplinary, 2 L
Interfaces, 289
Interference, 33 Ladder diagrams, 319
Interior relays, 319 Ladder logic technique, 318
Interlock checking, 496 Lagging characteristics, 356
Intermittent movements, 273 Lagging response, 355
Internet protocol, 560 LAN, 4, 559
Internet, 470 Laplace transform, 12, 49, 384
Interoperability, 433 Laser, 433
Interpreter, 293 Latency, 311
Interrupt acknowledgement signals, 300 Least significant bit, 104
Interrupt controller, 313, 315 Life cycle assessment, 484, 532
Interrupt lines, 300 Life span value, 559
Interrupt pins, 300 Lifetime cost, 20
Interrupts, 300 Light dependant resistor, 153
INTR subroutine, 306 Light emitting diode, 15, 84, 169, 201
INTR, 306 Light intensity, 153
Intrinsic standoff ratio, 92 Limit checking, 420
Intrinsic, 79 Limit switches, 286
Inverse Fourier transform, 41 Linear actuators, 249
Inverse Laplace transform, 49 Linear differential equation, 49
Inverting terminal, 94 Linear variable differential transformer, 160
Inverting type amplifier, 196 Linear, 354
Inverting voltage gain, 195 LISP, 440
Ionization transducers, 168 LL, 439
IPMC, 257 Load circuit, 177
ISA and PCI slots, 433 Load resistor, 10
ISA bus, 435 Local Area Network, 457
ISO, 9 Logarithm amplifier, 95
ISO/OSI RM, 455 Logarithmic domain, 49
ISO9000, 8 Logic expression, 132
Isolability, 418 Logic functions, 118
Isolation, 15, 187, 201, 478 Logic gates, 118
Isolator, 200 Logic states, 116, 117
Logical connection, 422
J Logical sequence, 430
JAVA, 440 Logic-based, 3
Journal bearing, 259 Log-log graph paper, 390
 581
Index

Log-magnitude, 393 Mean deviation, 33

LonWorks, 511 Measurands, 150,177
LONG INTEGER, 317 Mechanical advantage, 236, 258
Loosely-attached, 79 Mechanical break mechanism, 248
Lorentz force, 239 Mechanical energy, 13
Loss, 331 Mechanical switches, 179
Low level programming language, 439 Mechanical variables, 150
Low pass filter, 95, 197 Mechanism, 17, 236, 258
Lower cut-ff frequency, 200 Mechatronic design strategy, 531
LSI, 91 Mechatronics system, 187
Lubricant, 260 Mechatronics, 2,4,5
Lump parameter model, 331 Megabit, 291
Lumped parameter, 20 Megabytes, 291
LVDT, 73, 160, 251 Membership function, 414
Memory address register, 297
M
Memory controller 313
Machine building industry, 162 Memory metal actuator, 237
Machine evolution, 549 Memory space, 291
Machine language, 293 Memory, 287, 290, 430
Magnetic bearing, 258, 263 Messages, 455
Magnetic flowmeter, 181 M-files, 442
Magnetic flux, 73 Microactuator, 237
Magnetic memories, 432 Microcode engine, 299
Magnetic poles, 238 Microcomputers, 432
Magnetic pulley, 265 Microcontroller, 18, 307, 556
Magnetostriction, 257 Microelectronics, 2
Magnetostrictive actuator, 256 Microfabrication, 256
Magnetostrictive force, 256 Microlithography, 255
Magnetostrictive, 177 Micromanipulator, 256
Majority charge carriers, 80 Microprocessor architecture, 289
MAN, 470, 559 Microprocessors, 4, 18, 556
Management layer, 556 Microswitches, 515
Manipulators, 508 Microtelemanipulator, 255
Manless plant, 482 MIMO, 325
Man-machine interface, 511 Minima, 38
Manufacturing, 6 Minority carriers, 88
Marketing, 6 Mirror positioning, 255
Mass element, 330 MISO, 325
Mass, 327 Mnemonics, 294
Material handling system, 179, 513 Mobile-robot, 503
Mathematical models, 19 Mode, 164
MATLAB editor, 447 Model based approach, 419
MATLAB toolbox, 442 Model based technique, 419
MATLAB, 441, 442 Model equation, 20, 49
Matrix operations, 444 Model predictive control, 410
Maxima, 38 Model-based DAP, 547
Maximum overshoot, 357 Modeling elements, 20
 582
Index

Modeling, 19, 327 Network management tool, 459, 479, 512

Modern molecular bearing, 258 Network training, 413
Modularity, 463 Network validation, 526
Modulating signal, 62 Network, 24
Modulation, 62 Neural network toolbox, 442
Molecular bearings, 264 Neuron C language, 521, 557
Moment of inertia, 352 Neuron chip, 513, 557
Monitoring, 19, 424 Neuron, 411
Monostable mode, 213, 214 Next Move, 441
Monostable multivibrator, 214 Next step, 436
MOSFET, 91 No change mode, 516
Most significant bit, 104, 303 Node Builder, 512
Mother wavelet, 48 NodeBuilder tool, 558
Motor interface circuit, 521 Nodes, 459
Motorized actuators, 497 Noise filter, 15, 424
Movable pulley, 264 Noise immunity, 422
Multi domain signal analysis, 35 Noise, 15,33
Multi resolution decomposition technique, 48 Noninverting terminal, 94
Multi tasking, 437 Non-linear, 354
Multi threading, 437 Nonlinearity error, 158
Multi-degree-of-freedom, 508 Nonperiodic signals, 33, 40
Multiplexer, 132 Nonperiodic, 12
Multiplexing, 15, 187 Nonrandom signals, 32
Multiplicative fault, 418 Nonstationary signals, 33
Multiply and add, 310 NOR, 118
Multi-stack, 246 NOT, 118
Multistage amplifier, 194 Notch filter, 199
Multi-variant powers, 538 n-p-n transistor, 86
Multivibrator, 214 nth order SISO system, 374
Mutual inductance, 161 n-type, 80
Number system, 103
N
NAND, 118 O
Nanometrology, 255 Object-oriented design, 454
Nanotechnology, 264 Object-oriented methodology, 453
Narrow band filter, 199 Objects, 454
Natural frequency, 364 Observer, 419
Natural process, 29 Octal number system, 107
n-channel FET, 90 Octal number, 103
Needle roller bearings, 263 Octates, 137
Negative clearance, 543 Off line, 9
Negative feedback, 402 Off-line-shelf, 10
Negative frequency, 29 ON/OFF controller, 404, 405
Negative logic, 117 On-line diagnostic, 483
Negative temperature coefficient of resistance, 155 On-line monitoring, 417
Negative time, 29 OPAMP circuit, 195
Network layer, 455 OPAMP transitions, 205
 583
Index

OPAMP, 195 Pawl, 271

OPCODE, 109, 293, 294 p-channel FET, 90
Open automation, 481 PCI slots, 435
Open loop common mode gain, 94 Peak amplitude, 37
Open loop differential mode gain, 94, 202 Peak voltage, 92
Open loop gain, 94 Peak-time 357
Open loop OPAMP, 205 Peer-to-peer, 463
Open loop, 16, 20, 400 Performance driven system, 327
Open system, 9, 485, 487 Periodic signal, 37
Operand, 294 Peripheral component interface, 435
Operating point, 87 Peripheral transaction server, 315
Operating system, 436 Permanent magnet, 246
Operational amplifiers, 94, 195 Permeability, 74
Operational use hours, 22 Permittivity, 75, 163
Optical encoder, 170, 173 Personal computer, 457
Optimal control, 410 Phase condition, 207
Opto isolators, 169 Phase modulation, 62
OR, 118 Phase shift oscillator, 207
Orientation, 164 Phase, 32, 246
Orifice plate, 181 Phasor, 388
OS/2, 436 Photoconductive transducer, 153
Oscillators, 207 Photoconductor, 153
OSI, 9 Photodetector, 170
OTPROM, 312 Photodevice, 201
Outer race, 260 Photodiodes, 84, 154, 201
Outer ring, 260 Photoemissive transducer, 152
Output buffer, 295 Photomultiplier, 152
Output characteristics, 87 Photonics, 3
Output equation, 373 Phototransistors, 153, 154, 201
Output relays, 319 Photovoltaic transducers, 154
Output response, 353 Physical controller, 403
Overdamped, 365 Physical layer model, 311
Overshoot, 409 Physical layer, 455
Physical parameter, 352
P
PI controller, 407
Pairs, 137 PID algorithm, 21
Parallel in parallel out registers, 129 PID controller, 408
Parallel in serial out registers, 129 PID parameter, 409
Parallel port, 433 PID, 21
Parallel processing, 411 Piezo motors, 256
Parity, 297 Piezoelectric actuator, 254
Particular solution, 359, 361 Piezoelectric constant, 164
PASCAL, 440 Piezoelectric material, 164
Passive components, 258 Piezoelectric transducer, 164
Passive elements, 70 Piezoelectricity, 164
Passive equivalences, 151 Plain journal bearing, 258
Passive filter, 200 Planner layers, 412
 584
Index

Plant, 21 Proportional plus derivative controller, 404, 407

Plants, 309 Proportional plus integral controller, 404, 407
PLC, 252, 318, 556 Proportional plus integral plus
PLL, 19 derivative controller, 404
PMC, 8 Proportional plus integral plus
Pneumatic actuator, 332, 249, 499 derivative controller, 408
Pneumatic drivers, 499 Protection, 424
Pneumatic systems, 344 p-type, 80
Pneumo-mechanical devices, 249 Pull and push operations, 251
p-n-p transistor, 86 Pulley, 264
Polarization, 163 Pulse amplitude modulation, 62
Pole zero location, 393 Pulse width modulator, 291, 317
Pole zero plot, 393 Purpose based control, 481
Polymorphism, 455 PWM, 19, 29, 62, 311
Polystable, 165 Pyroelectric sensor, 286
Polyvinylidine fluoride, 166 Pyroelectric transducers, 163
Positive feedback system, 207 Pyroelectricity, 163
Positive logic, 117
Q
Positive temperature coefficients of
resistance, 156 QNX, 436
Potential barrier, 82 Q-point curves, 541
Potential energy, 331 Q-point, 87, 541
Potentiometer, 188 Quadrature incremental optical encoder, 171
Power signal, 33 Quadrature square waves, 171
Precision angular rotation, 16 Quads, 137
Predictability, 439 Quality control, 6,7
Predictive control, 410 Quantisation error, 218
Presentation layer, 455 Quantisation, 34, 216
Preset value, 21 Quantiser, 216
Pressure momentum, 333 Quantum efficiency, 154
Primary coil, 161 R
Primary transducers, 151
Printed circuit board, 431 R-2R ladder based D/A, 220
Printed communications, 435 Race, 126
Priori, 498, 518 Raceways, 260
Process control, 162 Rack and pinion, 270
Process parameter, 29, 418 Rack, 276
Process variable coefficients, 548 Radial loading, 260
Process, 309, 417 RALU, 313
Proportional controller, 406 Ram type, 253
Prognostics, 424 RAM, 141
Program counter, 296, 305 Ramp excitation, 360
Programmability, 422, 463 Random access memory, 142
Programmable automation, 508 Random signal, 32
Programmable logic controller, 18, 318 Randomness, 32
Programmable ROM, 142 Range determinant, 104
Propertional controller, 404 Ratchet, 271
 585
Index

Rating life, 262 Rotational damper, 329

Raw signal, 15,150 Rotational spring constant, 329
Reachability, 245, 403 Rotational spring, 329
Reactance, 76 Rotor, 238
Read Only Memory, 142 RS232 serial link, 515
Read/Write memory, 142 RS-232, 425, 433
Read/Write signal, 143 RS-422, 425, 433
Real parts, 388 RS-485, 425, 433
Real-time operating system, 424, 439 RST 5.5, 306
Real-time operations, 310 RST 6.5, 306
Real-time, 417, 461 RST 7.5, 306
Recombine, 88
S
Rectification, 189
Rectifiers, 84 Sample and hold, 94, 214
Reduced instruction set computing, 312 Sample, 33
Redundant terms, 137 Sampled signal, 216
Refining, 150 Sampling rate, 311
Register files, 314 Sampling theorem, 218
Registers, 128, 294 SAR, 223
Relay, 6, 18 Saturation region, 87
Reliability, 22 Saw tooth signal/wave, 227/229
Remote monitoring and control, 559 SCADA, 556
Residuals, 419 Scalability, 422, 463
Resistance temperature detectors, 156 Scale, 48
Resistance, 70 Scan time, 319
Resistive load cell, 178 SCR, 92
Resistive pickup, 153 s-domain, 49
Resistivity, 70 Second order system, 339, 363
Resolution, 216 Second order, 48
Resonant peak, 393 Secondary building blocks, 124
Response time, 461 Secondary electrons, 152
Retainer, 260 Secondary logic circuits, 132
Reverse breakdown voltage, 84 Secondary transducers, 151
Reverse saturation current, 83 Seeback coefficient, 158
Reversed biased, 82 Seebeck effect, 157
Ring counter, 130 Seebeck EMF, 157
RISC, 312 Self-diagnostic system, 417
Rise, 272 Semiconducter memories, 432
Rise-time, 357, 409 Semiconductor based memory, 140
Robot arms, 505 Semiconductor chip, 287
Robot interface circuit, 521 Semiconductor, 71
Robot-based automation, 507 Semi-log graph paper, 390
Robustness, 410, 418 Sensing, 86
Rodless double acting, 249 Sensitivity, 154, 159, 418
Rodless hydraulic cylinder, 253 Sensor bus, 556
Rolling element bearing, 258, 263 Sensor systems, 14
Roots, 365 Sensor validation, 515
 586
Index

Sensor, 150 Slew rate, 94

Sensorless control system, 424 Slide, 258
Sensorless control, 19 Slider-crank, 271
Sensorless operation, 421 Slip, 244
Separately excited field wound, 240 Smart actuators, 501
Sequencing, 18 Smart control, 21
Sequential logic circuits, 124 Smart device, 460, 523
Serial I/O control, 306 Smart systems, 525
Serial in parallel out registers, 128 Smartness, 21, 483
Serial in serial out register, 128 Soft computing, 410, 421
Serial link, 434 Soft language, 413
Serial port, 433 Soft linguistic, 413
Series motor, 240 Software components, 479
Servo control system, 162 Software tool, 439
Servo-actuator system, 501 Software, 435
Servomechanism, 245 Solenoid, 251
Session layer, 455 Solid-state device, 13
Setpoint, 21, 406 Sophistication, 2
Settling time, 357 Source, 90
Seven layer model, 455 Spectra, 42
Shape memory alloys, 257 Spectral components, 39
Shear cut, 165 Spectrum analysis scheme, 420
Shielded twisted pair, 96 Speed control, 343
Shift register, 129 Speed reducer, 268
SHORT INTEGER, 317 s-plane, 395
Short time Fourier transform, 48 Spline toolbox, 442
Shunt motor, 240 Spool, 252
Sign bit, 297 Spring constant, 328
Signal analysis, 28, 35 Spring, 327, 328
Signal analyzer, 545 Sprocket, 276
Signal conditioning circuit, 14, 70, 150, 289 Spur gear, 268, 276
Signal conditioning, 162, 187 SR flip flop, 125
Signal generators, 29, 187 s-space, 12
Signal, 28 Stability analysis, 58
Signaling, 6 Stability, 4, 156, 407
Signal-to-Noise Ratio, 15 Stable, 21
Signed binary numbers, 115 Stack pointer, 301, 305
Significant change, 516 Stack, 301
SIMO, 325 Standard deviation, 33
Simulation, 20, 479 Standard I/O ports, 316
SIMULINK, 442 Star, 462
Simultaneity, 439 State equation, 373
Single-rod double acting, 249 State space approach, 372
Single-rod single acting, 249 State space model, 372
Sintering process, 156 State variable response, 375
Sinusoidal input, 361 State variable, 372, 418, 422
SISO, 325 State, 298, 372
 587
Index

State-of-the-art, 2, 7 TDM, 299

Static forward current transfer ration, 89 Test signals, 357
Static RAM, 142 Thermal capacitance, 335, 352
Stationary pattern, 229 Thermal conduction, 158
Stationary signals, 33 Thermal deformation, 334, 543
Statistical approach, 418 Thermal resistance, 335
Statistical parameters, 33, 547 Thermistors, 155
Stator poles, 239 Thermodevices, 157
Stator, 238 Thermodiodes, 157
Status display, 496 Thermoelectric circuit, 157
Steady state error, 409 Thermo-mechanical behaviour, 531
Steady state performance, 407 Thermostat, 21
Steady state value, 357 Thermotransistors, 157
Steering mechanism, 270 Third order differential equation, 348
Step, 246 Threshold mode, 516
Stepper motor, 16, 245 Threshold pin, 212
Stepping motors, 504 Threshold voltage, 82
Stiffness, 328 Throttling valves, 252
Stochastic uncertainty, 413 Thrust loading, 260
Storage, 424 Time amplitude space, 29
Strain gauge, 176 Time constant, 191, 355, 359, 390
Strategic manufacturing, 7 Time domain space, 29
Structural surface, 533 Time domain, 12
Sub-program, 301 Time frequency analysis, 36
Subroutine, 301 Time frequency distribution, 47
Successive approximation resistor, 223 Time frequency domain, 36
Successive approximation technique, 220, 223 Time frequency, 47
Superconductivity, 71 Time invariant first order system, 384
Supervisory system, 19 Time out checking, 496
Supplementary pawl, 271 Time variant process parameters, 534
Surgical Equipment, 502 Time variant, 355
Sustainability and evolution assessment, 532, 549 Timelines, 439
Sustainability and evolution information, 549 Timer, 210, 291
Sustainability, 483, 549 Time-varying, 13
Sweep generator, 227 Timing and control unit, 305
Sweep signal, 229 Timing pulley, 265
Switching, 86 Token passing, 462
Synchronisation, 126 Token Ring, 434
Synchronous motor, 244-245 Tolerance, 357
Synergistic integration, 3 Topology, 462
System coefficients, 548 Torque amplifier, 268
System performance, 22 Torque feedback, 478
System response, 20, 380 Total output energy, 325
System, 325 Total solution, 359
TQM, 8
T
Tracs, 173
Tapered rollers, 261 Traction, 239
 588
Index

Train gear, 267 V

Transcendental, 444
Vacuum chambers, 152
Transconductance, 91
Vacuum, 168
Transducer chamber, 168
Vacuumness, 168
Transducer, 14, 150, 187
Valance electrons, 79
Transduction principles, 150
Validation components, 526
Transduction, 29
Validation modes, 516, 489
Transfer function, 380, 381
Validation, 482, 497, 515
Transient properties, 356
Valve, 249
Transient response specification, 356
Varactor diodes, 84
Transient response, 356, 409
Variable reluctance, 246
Transistor transistor logic, 140
VCO, 84
Transition, 538
Vectored interrupts, 301
Translation, 48
Velocity profile, 272
Translational damper, 329
Venturi meters, 181
Translational motion, 273
Vertical deflection plate, 226
Translational spring, 329
Virtual Design, 9
Transport layer, 455
Virtual environments, 441
TRAP, 306
Virtual processes, 481
Tree, 463
VLSI chip, 285
Triac, 93
VLSI, 91, 431
Tribology, 259
VME bus, 457
Trigger generator, 229
Voltage controlled devices, 89
Trigger pin, 212
Voltage divider, 187
Trigonometric function, 46
Voltage follower isolation, 15
Triplex pulley, 265
Voltage stabilizer, 192
Truth table, 132
Voltage to frequency converter, 16
TTL, 140
Voltmeter, 225
Tuning, 409
Tunnel diodes, 84 W
Turbine meters, 181 WAN, 559
Turbo Pascal, 515 Watchdog timer, 316
Two-sided plot, 39 Waveform generator, 207
U Wavelet transform, 12, 47
Web based monitoring, 470
Ultrasonic flowmeter, 181
Wheat stone bridge, 202
Uncertainty, 32
When clauses, 521
Under damped, 365
White metal, 259
Unidirectional, 291, 299
Widely incorrect readings, 112
Unijunction transistor, 92
Wien bridge oscillator, 207
Universal gates, 121
Word, 216
Universal serial bus, 434
WORD, 317
Unshielded twisted pair, 94
Workbench, 23
Up counter, 130
Workspace, 287
Upper cut-off frequency, 200
Worm gear, 268
USART, 425
Writable CDs, 433
USB, 425, 433
Writes cycle, 298
 589
Index

X, Y, Z Zero crossing detector, 206

Zero, 297
XOR gates, 122
Z-transform, 12, 56
Zener diodes, 84, 191