Basic Process Engineering Control PDF

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Agachi, Cristea ∙ Basic Process Engineering Control

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Paul S. Agachi, Mircea V. Cristea
Basic Process
Engineering
Control
|
Authors
Prof. Assoc. Prof.
Dr. Paul Serban Agachi Dr. Mircea Vasile Cristea
Babes-Bolyai University Babes-Bolyai University
Faculty of Chemistry and Faculty of Chemistry and
Chemical Engineering Chemical Engineering
Arany Janos Str. 11 Arany Janos Str. 11
400028 Cluj-Napoca 400028 Cluj-Napoca
Romania Romania
ISBN 978-3-11-028981-7
e-ISBN 978-3-11-028982-4
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Foreword
In the last decades, Chemical Engineering has evolved and developed towards Pro-
cess Engineering which is a more comprehensive field also including other processes
than those with the chemical product as the final target. The general principles devel-
oped over time in the field of Chemical Engineering are ripe to be used in other fields
which might be seen as very different: biomedical processes in the human body, the
management of utilities, of water resources, the analysis of the behavior of a society or
administration, petroleum or natural gas extraction and transportation, production of
textiles or other materials, or river and water table pollution.
Process Control, referring initially to Chemical Engineering, is the theory and
practice of the operation of the processes without human intervention and it is some-
times named Automatic Process Control.
Historically, the control techniques were aimed mainly towards diminishing the
deviation of a parameter from its desired value, a value imposed by the process tech-
nology. This concern represents only a part of the problems to be solved in the suc-
cessful operation of a plant. It is very strange, but the control or process engineer has
a much greater influence on the operation of the plant than it seems is imposed by its
tasks. In fact, a control or a process engineer has the possibility of obtaining larger
production in a technological process and can contribute substantially more to cost
reduction and to increased economic efficiency than any other specialist of the plant,
namely the technology engineer or the economist.
If the control of the technological parameters is so restrictive, how can the pro-
cess engineer contribute through automatic control towards the optimal operation of
the process? The answer consists in the intelligent application of control theory: if the
control is applied without a thorough understanding of the process, its results will
be poor and useless. The most efficient control system or control scheme embeds in it
the characteristics of the controlled process including its demands, its drawbacks and
limitations. In a good cooperation between the process, the technological equipment
and the means of monitoring and control, all parts are acting as a whole, inside the
so called “Chemical System” or “Process System”. This cooperation is not easily ob-
tained: to design a control system able to cope with expectations, an understanding of
the steady state and dynamic behavior of the plant (process, technological and control
equipment) is needed on the part of all contributors, starting from the researchers of
the basic industrial process, continuing with the designers and ending with the plant
operators.
The book explains all the determinations in the system, starting from the intimacy
of the processes, going on to the intricate interdependency of the process stages, an-
alyzing the hardware components of a control system and ending with the design of
an appropriate control system for a parameter or a whole process. The book is first ad-
dressed to students and graduates of departments of Chemical or Process Engineering.
VI | Foreword
Second, to the chemical or process engineers in all industries or research and develop-
ment centers, because they will notice the resemblance in approach from the system
point of view, between different fields which might seem far apart from each other. As
for the students in Chemical Engineering or Chemical Technology, as future specialists
involved in the research, design or operation of a process, it is necessary to learn all
aspects linked to the basics (physics, chemistry, mathematics), process and process
equipment (reaction engineering and transport phenomena, technology, modeling,
optimization), monitoring and control (measuring and control equipment, control).
Because the control room is the interface between the operator and the control
equipment is his/her “eye and hand” in the process, it is absolutely necessary to un-
derstand their functioning in the new conditions of increased technological complex-
ity. It is also interesting and useful for the application of complex mathematical tools
and methods to study the behavior of the process in a steady or dynamic state and in
the diagnosis of the problems based on mathematical modeling.
Usually, universities produce chemical and control engineers with different com-
plementary competencies. The newer option for process engineers educated to un-
derstand not only the “chemistry” of the process, but also the way the process can
be made operational in real time and economically efficient seems to be the future for
their education. This book is a plead for process control as part of process engineering.
The book is structured in three parts: Part I – Fundamentals of system theory
and control, approach of the processes as systems, basics of mathematical modeling;
Part II – The analysis of a control system treating all its hardware components (princi-
ples of operation, construction, dynamic and steady state behavior) all starting from
the behavior of the controlled process; Part III – The synthesis of the control system,
including the harmonization of the components’ behavior in the control system, the
design and tuning of the controllers generally and specialized on the control of the
main parameters controlled in process engineering.
Finally, many thanks to our students with whom we cooperated in the elabora-
tion of the book (Mihai Mogos, Botond Szilagyi, Abhilash Nair, Hoa Pham Thai), our
professors who strived to educate us as citizens and specialists, to our former heads
of departments where we have worked, who, each of them, left a mark on our present
formation, to our university who nurtured us for many years in harder or easier times,
to our colleagues from abroad who helped us especially after the changes in Romania
in 1989, to our colleagues at home with whom we repeatedly debated the topics, and
above all to God for giving us the opportunity and power to achieve. Last but not the
least, all thanks to our families who supported us in our whole life endeavor.
Cluj-Napoca, June 2014 Paul S. Agachi

Cristea V. Mircea
Contents
Foreword | V
Part I: Introduction
1 History of process control | 3
2 Basics of systems theory | 8

2.1 System concept | 8
2.2 System delimitation | 9
2.3 Input and output variables | 11
2.4 Classification of the systems | 12
2.5 The state concept | 18
2.6 Input-state-output relationship | 21
2.7 Stability of the system | 22
2.8 Types of elementary signals | 23
2.9 LTI systems described by input-output relationships | 26
2.10 Time response of the linear time-invariant systems | 27
2.11 Solution of the homogeneous differential equation | 27
2.12 Particular solutions of the nonhomogeneous differential
equation | 28
2.13 General solution of the nonhomogeneous differential equation | 29
2.14 Stability of the system described by input-output relationships | 29
2.15 Stability of systems described by linear time-invariant differential
equations | 30
2.16 Frequency response of the system described by input-output
relationships | 31
2.17 Frequency response of the system initially at equilibrium | 33
2.18 Steady state and transient response to the harmonic input | 33
2.19 LTI systems described by input-state-output relationships | 34
2.20 Transformation of the input-output representation into the
input-state-output representation | 35
2.21 Solutions of the state equations | 37
2.22 Solution of the nonhomogeneous state equation | 38
2.23 Laplace transform | 39
2.24 Definition of the one-sided and two-sided Laplace transform | 40
2.25 Properties of the Laplace transform | 41
2.26 Laplace transform of usual functions | 41
2.27 Inverse Laplace transform | 41
VIII | Contents
2.28 Use of Laplace transform in the analysis of linear time-invariant

systems | 44
2.29 Use of Laplace transform for describing systems represented by
input-output relationships | 45
2.30 Use of Laplace transform for describing systems represented by
input-state-output relationships | 46
2.31 The transfer matrix | 48
2.32 Bode diagrams | 49
2.33 Nyquist diagrams | 57
2.34 Problems | 58
3 Mathematical modeling | 63
3.1 Analytical models | 64
3.1.1 The conservation laws | 64
3.1.2 Thermodynamics and kinetics of the process systems | 73
3.2 Statistical models | 76
3.3 Artificial neural network Models | 80
3.4 Examples of mathematical models | 82
3.5 Problems | 92
4 Systems dynamics | 97
4.1 Proportional system | 97
4.2 Integral system | 99
4.3 Derivative system | 101
4.4 First order system | 104
4.5 Second order system | 106
4.6 Higher order system | 109
4.7 Pure delay system | 113
4.8 Equivalence to first order with time delay system | 114
4.9 Problems | 116
5 Manual and automatic control | 122

5.1 Manual control | 122
5.2 Automatic control | 124
5.3 Steady state and dynamics of the control systems | 125
5.4 Stability and instability of controlled process and control
systems | 126
5.5 Performance of the control system | 126
5.6 Problems | 128
Contents | IX
Part II: Analysis of the feedback control system
6 The controlled process | 133

6.1 Steady state behavior of the controlled process | 133
6.2 Dynamic behavior of the controlled process | 140
6.3 Problems | 147
7 Transducers and measuring systems | 151

7.1 Introduction | 151
7.2 Measuring systems in process engineering | 155
7.3 General characteristics of the transducers | 156
7.4 Temperature transducers | 158
7.5 Pressure transducers | 166
7.6 Flow transducers | 173
7.7 Level transducers | 187
7.8 Composition transducers | 196
7.9 Problems | 224
8 Controllers | 227
8.1 Classification of controllers | 227
8.2 Classical control algorithms | 231
8.2.1 Proportional controller (P) | 231
8.2.2 Proportional-Integral controller (PI) | 238
8.2.3 Proportional-Integral-Derivative controller (PID) | 242
8.2.4 Controllers with special functions | 245
8.2.5 Distributed Control Systems | 250
8.3 Problems | 253
9 Final control elements (actuating devices) | 256

9.1 Types of final control elements | 256
9.1.1 Control valves | 256
9.1.2 Other types of final control elements | 262
9.2 Sizing the control valve | 263
9.2.1 The flow factor (Kv ) for incompressible fluids | 263
9.2.2 The flow factor (Kv ) for gases | 266
9.2.3 The flow factor (Kv ) for steam | 267
9.3 Inherent characteristics of control valves | 268
9.4 Installed characteristics of the control valves | 270
9.5 The dynamic characteristics of a control valve | 274
9.5.1 The gain of the control valve | 274
9.5.2 The dynamics of the control valve | 274
X | Contents
9.6 Sizing and choice of the control valves | 275

9.7 Problems | 278
10 Safety interlock systems | 281

10.1 Introduction | 281
10.2 Safety layers | 282
10.3 Alarm and monitoring system | 284
10.4 Safety instrumented systems | 285
10.5 Problems | 290
Part III: Synthesis of the automatic control systems
11 Design and tuning of the controllers | 295

11.1 Oscillations in the control loop | 295
11.2 Control quality criteria | 297
11.3 Parameter influence on the quality of the control loop | 300
11.4 Controller tuning methods | 300
11.4.1 Experimental methods of tuning controller parameters | 300
11.5 Tuning controllers for some “difficult to be controlled”
processes | 323
11.6 Problems | 325
12 Basic control loops in process industries | 330

12.1 Flow automatic control systems | 330
12.2 Pressure automatic control systems | 335
12.3 Level automatic control systems | 338
12.4 Temperature automatic control systems | 344
12.5 Composition automatic control systems | 349
12.6 Problems | 355
Index | 357
|
Part I: Introduction
1 History of process control
As one may see, the development of process control is strongly related to manufactur-
ing processes. These roots are traced to the ancient times of humanity, starting with
metal, fabric and pottery production. Industrial manufacturing and actually engineer-
ing were innovations of the XVIIIth century, during the Industrial Revolution. The pop-
ulation increased during this century, being inclined to consume more and better. This
consumerism led to an escalation in demand, both with regard to quantity and quality,
for food, clothing, footwear, housing, transportation, which stimulated the produc-
tion of construction materials, textiles, chemicals etc. Each global conflict, after its
end (e.g. First and Second World Wars), induced the same behavior and the same re-
action on behalf of society and production companies. Production became mass pro-
duction with huge quantities of products delivered at deadlines and with a certain
quality expectation. Mass production, under these circumstances, could no longer be
controlled manually because of the expectations. In the meantime, in the second half
of the XXth century, the environment became important, a fact which imposed envi-
ronmental constraints on the manufacturers. On top on that, the globalization of the
economy amplified the competition among world companies and only those capable
of reducing costs and respecting the environment remained on the market. Together
with these facts, an important impact on the development of technology and espe-
cially computing facilities was caused by the Cold War and the space race between
the major world powers: the USA and the USSR. All these sequences led to a tremen-
dous development of control equipment and techniques as a part of process control
development. Process control was seen as a major tool for development and comply-
ing with the constraints.
Milestones in the modern history of control are C. Drebbel’s contribution in invent-
ing the first temperature control device for a furnace, around 1624, D. Papin’s invention
of the first safety valve for his steam engine – a pressure regulator – in 1704, E. Lee’s
first controlled positioning system for a windmill in 1745 [1, 2] (Fig. 1.1), T. Polzunov’s
first level controller for his steam engine (1765), J. Watt’s fly ball governor in 1768 [3, 4] –
a speed regulator for his rotary steam engine – (Fig. 1.2). The first obviously advanced
combination between process engineering and process control was H. Jacquard’s loom
in 1801 (Fig. 1.3) which stored the model of the silk fabric on punch cards [5, 6]. Actu-
ally, in that period in France there were several looms having similar control systems.
The first publication in the field of control systems was elaborated by J. C. Maxwell
in 1868 and approached a theoretical analysis of the stability of Watt’s fly ball governor
(1868) [3]. The next papers on the subject of automatic control appeared only in the
first half of the XXth century (1922–1934) and have to be noted the first in the field of
control in chemical/process engineering [7–11].
A major innovation is represented by G. Philbrick’s “Automatic control analyzer –
Polyphemus”, actually the first analogue computer (1937–1938) just before World
4 | Part I: Introduction
Fig. 1.1. Lee’s control positioning system for a

windmill.
Fig. 1.2. The speed

controller for Watt’s
steam engine.
War II [12]. World War II brought extremely important innovations in the field of
automatic control: automatic rudder steering, automatic gun positioning systems,
automatic pilot of V1 and V2 etc. The innovative ideas of Ziegler and Nichols about
how to tune the controllers in a loop stem from that time of progress! [13]
Immediately after World War II, the field of process control exploded. It was
helped by the construction of the megacomputers ENIAC (1946) [14] and UNIVAC
(1951) [15], Shockley’s patent on the transistor (1950) [16] and Feynman’s premonition
regarding nanospace expressed at the American Physics Society Meeting in Caltech
Fig. 1.3. H. Jaquard’s loom with punch

cards.
“There’s plenty of room at the bottom” (1959) [17]. The new frontier of challenging outer
space launched by the US president John Fitzgerald Kennedy produced the portable
computer which influenced thoroughly the more recent history of Process Control. The
first industrial control computer system was built in 1959 at the Texaco Port Arthur,
Texas, refinery with a RW-300 computer from the Ramo-Wooldridge Company [18] and
the second one was installed in 1964 by Standard Oil California and IBM at El Segundo
refinery in an FCC Unit, under the name 1710 Control System [19].
Thus, there were practically three stages in Process Control development:
– the first stage: measurement and control devices (World War I–mid XXth century),
dominated by manual control and operation of the industrial processes; some-
times field mechanical controllers were used;
– the second stage: classical feedback control (1950s–1970s), when most of the pro-
cesses were supervised and controlled automatically in the simplest way – feed-
back control; the control equipment was either electronic or pneumatic, rarely
hydraulic;
– the third stage: computer assisted control (1970s–present) dominated, as the main
feature, by control systems involving a micro- or minicomputer; most processes
are controllable and they need classical control systems, but around 20 % of them
from process industry are less controllable and need Advanced Control techniques
and equipment.
The use of computers in process control can be detailed in several stages of complexity.
In the first stage of complexity a microchip is embedded to perform some calculations
inside the controller or even computer, allowing more complicated control algorithms:
optimal, adaptive, fuzzy, ratio, inferential, feed-forward control algorithms. A second
stage of complexity is the advanced process control (APC) characterized by a combi-
nation of hardware and software control tools used to solve complicated multivariable
control problems or mixed integer-discrete control problems. It involves the computer
techniques (hardware and software) applied to control, a good understanding of the
process (process modeling and design), a good understanding of control techniques
and optimization (model predictive control (MPC), distributed control systems (DCS)
etc.). In the processes with multiple variables (hundreds or thousands) an efficient
operation of the process, of the plant or of the industrial platform, can be done only
through APC. Central control rooms looking like cosmic flight control centers are su-
pervising and operating the whole plant. New skills of the operators are required, be-
cause the implications of their actions are on a large scale. With APC one can save
energy, raw materials, time, reduce costs and make the processes more competitive
in terms of quality and costs. The third stage of complexity is expressed by wise ma-
chinery (WM), a new concept which involves not only complying with the standards
or setpoints, but also the intervention of the machine for its own functional efficiency
and safety without human assistance [20]. For that, WM involves complex industrial
equipment, the data acquisition system (DAS) and the ‘‘optimal parametrical control
system (OPCS)”. They are intended for finding operative and optimal solutions of all
possible management tasks arising in vital activities of process and the machine’s
equipment in the limits of its life cycle. PCS is based on bio-cybernetic control systems
(BCS) which are principally a novel and industry evaluated decision-making system
(Fig. 1.4), which functions on the basis of formalization of the unconscious activity
process of a brain in maintaining the functions of an organism. It is a new civilization
in itself.
Decisions
Equipment support
Parameters BCS Instructions
configuration system
configuration
Fig. 1.4. Wise Machinery.
References
[1] Mayr, O., The origins of feedback control, Scientific American, 223, No. 4 (October), (1970),
110–118.
[2] Mayr, O., Feedback Mechanisms in the Historical Collections of the National Museum of History
and Technology, Smithsonian Institution Press, 1971.
[3] Maxwell, J. C., On governors, Proceedings of the Royal Society of London, 16, (1868), 270–283
[This is presumably the first scientific article on feedback control].
[4] Centrifugal governor, http://en.wikipedia.org/wiki/Centrifugal_governor.

[5] Eclectica, Jacquard’s loom and the stored program concept,
http://addiator.blogspot.ro/2011/10/jacquards-loom-and-stored-programme.html.
[6] Essinger, J., Jacquard’s Web: How a Hand-loom led to the Birth of the Information Age, New Ed.,
Oxford University Press, 2007.
[7] Minorsky, N., Directional stability of automatically steered bodies, J. Am. Soc. Nav. Eng., 34,
(1922), 280. [The article came after WWI when serious attempts at the stabilization of the rud-
der of naval units had been made].
[8] Nyquist, H., Regeneration theory, Bell Syst. Technol. J., 11, (1932), 126 [The article is related
to papers by Black and Bode, representing another approach to a feedback system. Nyquist
developed an original theory for feedback systems analysis and design].
[9] Grebe I., Boundy R. H., Cermak R. W., The control of chemical processes, Trans. Am. Inst. Chem.
Eng., 29, (1933), 211 [The article is the first to approach the control of chemical processes].
[10] Hazen, H. L., Theory of servomechanisms, J. Franklin Inst., 218, (1934), 279 [Hazen is the first
to describe how automatic equipment will replace human labor; he distinguished for the first
time the “open cycle” (without feedback) from the “closed cycle” (with feedback) which are
nowadays called open-loop and closed-loop control].
[11] Ivanoff A., Theoretical foundation of the automatic regulation of temperature, Journal of the
Institute of Fuel, 7, (1934), 117 [One of the first papers theoretically analyzing temperature
control].
[12] Holst, P., George A. Philbrick and Polyphemus: The first electronic training simulator, IEEE
Annals, 4:2, (1982), 143.
[13] Ziegler J. G., Nichols N. B., Optimum settings for automatic controllers, Transactions ASME, 64,
(1942), 759 [The first paper approaching the controller closed-loop tuning which was quite new
at that time. The methods described are still used on a large scale for individual control loops]
[14] Goldstine H. H., Goldstine A., The Electronic Numerical Integrator and Computer (ENIAC),1946,
reprinted in The Origins of Digital Computers: Selected Papers, pp. 359–373 Springer-Verlag,
New York, 1982, [First digital computer created at the University of Pennsylvania for the US
army; it had a calculation speed 1,000 times higher than the electromechanical machines].
[15] UNIVAC Conference Oral History, 17–20 May 1990, Charles Babbage Institute, University of
Minnesota [The second numerical computer created by the same team as ENIAC, delivered in
1951 to the US Census Bureau].
[16] US 2502488(1950), Semiconductor Amplifier [Shockley W. submitted his first granted patent
involving junction transistors].
[17] Feynman R., There’s plenty of room at the bottom, Caltech Engineering and Science, 23:5,
(1960), 22–36 [The conference presents the vision of nanospace and nanotechnology]
[18] Astrom, K., Wittenmark, B., Computer Controller Systems: Theory and Design, Prentice-Hall
Inc., USA, 1997, p. 3.
[19] Strycker W. P., Use and application of control systems via a digital computer, SPE Production
Automation Symposium, 16–17 April 1964, Hobbs, New Mexico, Conference paper. [The pa-
per describes the concept and practice of installing the second computer control system in
process industries, initially controlling offline, from a distant IBM computer center in San Fran-
cisco, via telephone lines with printer or punch card reader terminals, and afterwards online
with a process computer installed at the refinery].
[20] Bravy K., The compatibility of viability maintaining of machinery with viability maintaining of
an animal’s organisms, New technologies for the development of civil and military organiza-
tions in the modern post-industrial world, November 30, 2004, Ashdod, Israel, Conference
paper.
2 Basics of systems theory
2.1 System concept
Definition. The system is a set of component entities, characterized by specific in-

dividual properties, being in interdependent relationships and coupled together in a
certain way to give a well-defined purpose to the assembly [1].
The set of constituting entities reveals the structural aspect of the system, disclosing
the existence of the individual elements that form it. There is a relative division of
the system into its constituting components leading to the concept of subsystem, as
a component entity. This relative evaluation of the system structure is directly tied to
the a priori hypothesis of indivisibility assumed for its elements, named entities.
The entities composing the system may be grouped in three categories: concepts,
objects and subjects [1].
Concepts are abstract entities generating the abstract type system, such as: sys-
tems of mathematical equations, programming computer languages or numeration
systems. The space delimited by the ensemble of these entities forms the main center
of interest and development for the systems theory [2, 3].
Objects are material entities, without life, representing real physical systems, such
as a chemical reactor, a mechanical vehicle or an electronic device.
Subjects are natural material entities composed of living individuals, such as: the
student community of a university, the operating personnel of a chemical unit or the
microorganisms of a biological system.
The system of a chemical plant is composed of the chemical equipment as object
entities, the operating personnel as subject entities and the set of working rules as
concept entities.
Individual properties of the system entities are referred to as attributes. The nature
of and interdependence between attributes provides identity to the entity. The exam-
ple of a system composed of three entities and having a variable number of attributes
aij is presented in Fig. 2.1.
Attributes may be classified in two categories: variable attributes and structural at-
tributes. This variability is reflected in mathematical functions that usually have time
as the independent variable (and possibly one or several spatial variables). Physical or
chemical quantities such as: reactor volume, molecular mass, type of chemical species
involved in a chemical reaction or the reactants’ state of aggregation are all structural
attributes. Physical quantities such as: mass or energy flows, reactants’ or products’
concentration and temperature, specific heat (possibly temperature dependent) of the
chemical species, are examples of variable attributes.
Some of the variable attributes describing the entity interact with other variable
attributes of a different entity causing the interaction relationships that are inducing
a11 a12 a21 a22
a13
Entity 2
Entity 1
a31 a32
Fig. 2.1. System
formed by three inter-
a33 a34 acting entities, each
having interdependent
Entity 3 System attributes.
new properties to the ensemble (system). The connection mode between entities is de-
cisive for the system’s behavior and performance as a whole. It becomes obvious that
the whole is superior, as functionality, to the component parts and, once the entity
properties and interactions are known, the problem of predicting the properties of the
whole is not a trivial task. From the systems theory point of view the connection of
entities, by certain dependence relationships, does not confer the statute of system
as long as the purpose for which is was designed or analyzed has not yet been spec-
ified. For example, a system consisting in a chemical reactor may be analyzed from
the mechanical point of view, in order to investigate aspects related to the reactor re-
sponse to variable mechanical stress or it may be analyzed and designed in order to
provide maximal conversion of reactants into the desired chemical products, from the
chemical efficiency point of view.
2.2 System delimitation
Delimitation of the systems is of primary importance being a direct consequence of the

purpose specification and having an important effect on its way of representation. Sys-
tem delimitation is the operation of separating the entities composing the system from
the rest of the surrounding environment. This delimitation consists in the determina-
tion of an interface (Σ ) represented by a real or imaginary surface that encompasses
in its interior all entities that constitute the system [1].
Usually, for real physical systems, the delimiting surface corresponds to physi-
cal construction attributes of the entities in the system. A typical case is the contin-
uous stirred tank reactor investigated from the mass, energy or momentum transfer
processes. The reactor shell commonly represents the delimiting surface, as may be
noticed from Fig. 2.2.
There are situations when this delimitation assumes the specification of a more
complex interface (surface) with an irregular form. As an example, the interface of a
heat exchanger equipped with a heating coil may be presented, where the interface
Fig. 2.2. Typical interface delimitation of the system Σ , repre-

sented for the case of the stirred tank reactor.
consists of two surfaces Σ1 and Σ2 ; the system is delimited by the volume contained
between these two surfaces, as presented in Fig. 2.3.
In the behavior description for heterogeneous processes, the infinitesimal ele-
mentary volume is often put into evidence. For such elementary volume, considered
as a system, the balance equations are first developed and then the space integral is
considered in order to reveal macroscopic aspects, Fig. 2.4.
The operation of delimiting the system interface has to take into account the def-
inition of a minimal structure for the system, in accordance to the stated purpose. It
is worthwhile to notice that the interface is settled according to the possibility of the
mathematical description for its component entities and relationships involved. The
surrounding environment is represented by all entities not included in the system, but
significant are only those outside entities having (possible) direct interaction relation-
ships with entities within the system.
Σ2
Σ1
Σ1–Σ2
Fig. 2.3. Interface delimitation Σ1 –Σ2 of the system represented by a heat exchanger with heating
coil (textured represented volume).
dΦ
Ʃ Ʃ
dz
dz
dy
dr
dx
Fig. 2.4. Systems Σ represented by infinitesimal elementary volumes in rectangular and cylindrical
coordinates.
2.3 Input and output variables
For the analytical (both quantitative and qualitative) description of the entities be-
longing to the system, and consequently for the whole system, it is necessary to know
the structural attributes, the variable attributes and the interactions between entities.
Each entity can be described from the mathematical point of view by a system of (alge-
braic, differential or integral) equations representing the way attributes are connected
by interdependence relationships.
Consider a system described by a set of relations Ri , i = 1 ⋅ ⋅ ⋅ r between the variable
attributes vj , j = 1 ⋅ ⋅ ⋅ n and the structural attributes sk , k = 1 ⋅ ⋅ ⋅ l:
R1 (v1 , v2 , . . . , vn , s1 , s2 , . . . , sl ) = 0
R2 (v1 , v2 , . . . , vn , s1 , s2 , . . . , sl ) = 0
(2.1)
⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅
Rr (v1 , v2 , . . . , vn , s1 , s2 , . . . , sl ) = 0
Relations between attributes of the entities forming the system originate from laws,
postulates and theorems. Typical examples are the conservation laws for mass, en-
ergy or momentum, for state equations and for transport and transfer of property or
reaction kinetics.
Variable attributes are represented by mathematical functions having usually as
independent variables time and one or more space variables.
In the following, the structural attributes will not be explicitly represented. Vari-
able attributes that intersect the delimiting interface of the system are simply named
as terminal variables and the relations involving these variables as terminal rela-
tions [4]. Those variables that do not intersect the interface are named suppressed
variables.
The terminal variables of the system may be classified in two important categories,
depending on the cause or effect nature they exhibit. This division is named the system
orientation. An oriented system is a system for which the terminal variables are already
separated in variables of type cause, named input variables (inputs) and variables of
type effect, named output variables (outputs). The oriented system may be therefore
described by the set of equations:
R1 (u1 , u2 , . . . , uq , y1 , y2 , . . . , yp ) = 0
R2 (u1 , u2 , . . . , uq , y1 , y2 , . . . , yp ) = 0 or R(u, y) = 0
(2.2)
⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅
Rr (u1 , u2 , . . . , uq , y1 , y2 , . . . yp ) = 0
In equation (2.2) may be noted the vector of the input variables u = [u1 u2 ⋅ ⋅ ⋅ uq ]T ,
the vector of the output variables y = [y1 y2 ⋅ ⋅ ⋅ yp ]T and the vector of the relations
(functions connecting inputs and outputs) R = [R1 R2 ⋅ ⋅ ⋅ Rr ]T .
Note: boldface font notation will be further used for vectors and matrices.
Once the system orientation is performed the simplified, but very general, generic
representation of the system may be obtained, as presented in Fig. 2.5.
u y
Inputs Outputs
System
(Causes) (Effects)
Fig. 2.5. Generic representation of the system.
2.4 Classification of the systems
With the aim of bringing to attention the different properties and characteristics of
the abstract or feasible systems, in the following a set of categories of systems are
presented [1, 5, 6]. Classification of systems is performed on the basis of various criteria
determined by both the nature of attributes (of variable or structure type) and by the
nature of relations between attributes. This classification is also valid for the individual
classification of entities composing the system.
Dynamic and static systems

Classification of the systems into these two categories is performed considering or ne-
glecting the aspect of time dependence for the variable attributes of the system.
Time represents a major dimension of the surrounding reality. Irrespective of the
physical nature of the system, almost all of its attributes have to undergo changes with
respect to time. This time dependence may involve variations taking place at very dif-
ferent time scales, from the order of nanoseconds in the case of phenomena evolving
at atomic scale to the order of years in the case of materials ageing phenomena.
Systems for which the vector of outputs y(t), at every time moment t, depend on
the values of the vector of inputs u(t) from the same time moment but also of the vec-
tor of inputs u(t ± Δt) and/or outputs y(t ± Δt), from neighboring moments ((t − Δt)
for non-anticipative systems and (t + Δt) for anticipative systems) are named dynamic
systems. Dynamic systems are also called systems with memory. This denomination
derives, for feasible systems (those that can become physical), from the dependence
of the outputs at the present moment of time also on values of variables from moments
preceding the current moment. The dynamic character is a consequence of the inertia
that characterizes all feasible systems. Inertia is the system property of making oppo-
sition to the change of the quantity of mass, energy or momentum contained in the
system at a certain moment of time.
Systems for which the vector of outputs y(t), at every time moment t, depend only
on the values of the vector of inputs u(t) from the same time moment t, are named
static systems. These systems are also named systems without memory. Static systems
are ideal as they emerge from feasible systems when simplifying assumptions are con-
sidered. The system may be considered static when the aspect of time dependence of
its attributes is not important for the stated purpose.
The mathematical description of dynamic systems is usually performed by dif-
ferential equations (relationships) and for static systems by algebraic equations. For
static systems, the algebraic relationships (algebraic equations) describe in a simple
and natural way the relationship between the non-temporal input and output vari-
ables. For dynamic systems, the differential relationships (differential equations) are
the most common mathematical support for describing the dynamic character.
Example 2.1. For illustrating the use of the differential relation in the description of
dynamic system behavior consider the system consisting in an open tank continuously
fed and evacuated with a liquid phase, Fig. 2.6. The inlet mass flow Fmi (t) and outlet
mass flow Fmo (t) are considered to be time dependent. It is also assumed that the liquid
level in the tank H is continuously measured with a transducer and the signal (level
information) is sent as an electrical quantity to an observer placed at a distance from
Fmi
H HO
Fmo Fig. 2.6. Time-dependent

level H(t) change in a tank.
the tank (passes outside the system’s interface Σ ). For the initial time moment the level
in the tank is known H(t0 ) = H0 .
The aim is to describe the way that the liquid level in the tank changes with time
for the change in time of the inlet and outlet flows. The system may be considered
delimited by the interface Σ , with the terminal variable of input type u(t) = Fmi (t) −
Fmo (t) (the cause) and the terminal variable of output type y(t) = H(t) (the effect). The
known structural variables are the tank cross-section A and the liquid density ρ . For a
finite time interval Δt the mass balance for the Σ system may be stated as: the net mass
(difference between inlet and outlet mass) of liquid entered or evacuated in/from the
tank during the time interval Δt is equal to the change of mass of liquid from the tank
during the same time interval Δt. This equality is presented in the equation
(Fmi − Fmo )Δt = (H − H0 ) ⋅ A ⋅ ρ . (2.3)
Equation (2.3) may be reformulated under the form

H − H0
Fmi − Fmo = A ⋅ ρ . (2.4)
Δt
Equation (2.4) describes the “mean” behavior of the level in the tank over the con-
sidered finite time interval Δt. If we want to capture the change of the liquid level at
every moment of time t, as close as possible to the initial moment t0 , it is necessary
that the time interval Δt becomes infinitely small; this is equivalent to performing the
limit Δt → 0 in equation (2.4):
H − H0
lim (Fmi − Fmo ) = A ⋅ ρ lim . (2.5)
Δt→0 Δt→0 Δt
It may be noticed that the right member of equation (2.5) becomes the derivative of the
level function H(t) of the tank:
dH
Fmi (t) − Fmo (t) = A ⋅ ρ . (2.6)
dt
The equation referring to the derivative of the level function may be reformulated us-
ing conventional notation used for the system input and output variables:
d(y(t))
u(t) = A ⋅ ρ . (2.7)
dt
The dynamic (with memory) characteristic of the system is sustained for the above
example, by the dependence of the level function H(t0 + Δt), at the moment t = t0 + Δt,
on the level value from a preceding moment of time, i.e. H(t0 ).
In general, a single input single output (SISO) dynamic system may be described
by the generic differential equation:
dn y dn−1 y dy dm u dm−1 u du
qn n
+ qn−1 n−1 + ⋅ ⋅ ⋅ + q1 + q0 ⋅ y = pm m + pm−1 m−1 + ⋅ ⋅ ⋅ + p1 + p0 ⋅ u. (2.8)
dt dt dt dt dt dt
Depending on the ordering relationship between the maximal differentiation order of
the right m and left n members of equation (2.8) the systems may be classified in:
(i) strictly proper systems, when n > m,
(ii) proper systems, when n = m,
(iii) improper (non-feasible) systems, when n < m.
Systems with lumped and distributed parameters

The majority of physical systems are characterized by spatial dimensions. This fact de-
termines that, besides time, the system attributes also depend on one or more spatial
independent variables.
Systems having attributes depending on one or more spatial coordinates are
named systems with distributed parameters. Typical examples of system properties
depending on space are: concentration of molecular species, density, pressure and
temperature in a plug flow reactor where physical and chemical phenomena are tak-
ing place and depend on the position of the elementary volume in the reactor (for
example with respect to the cylindrical system of coordinates r, θ , and z). There are
systems for which the dependence of an attribute is important with respect to only
two or just one of the spatial coordinates, so it is possible to consider the attribute
constant with respect to the other spatial coordinates. Usually, this kind of approach
represents a simplifying assumption serving the reduction of the mathematical model
complexity. For example, in the case of the plug flow reactor the dependence of the
properties with respect to the r and θ coordinates are often neglected taking into
consideration only the dependence of the attribute with respect to the reactor length
coordinate z (which is the moving direction of the mass flow in the system).
Systems having attributes depending on neither of the spatial coordinates are
named systems with lumped parameters. For a large majority of the systems in chem-
ical engineering, the systems with lumped parameters are the result of simplifying
assumptions. The typical example is the continuous stirred tank reactor (with total
back-mixing regime) for which it is assumed that chemical and physical properties at
each point of the system do not depend on any of the spatial coordinates, despite the
fact that this dependence exists in the physical system (to a larger or smaller extent).
The systems with distributed parameters are described by functions having at
least one space independent variable. The relationships between the attributes of
the dynamic and distributed parameters systems are of the partial differential type of
equations.
The system characteristic of having lumped or distributed parameters is deter-
mined by the quantitative relationship between the change with respect to time and
the change with respect to the spatial coordinates of the system attributes. Whenever
the propagation time of phenomena with respect to the spatial coordinates is small (re-
duced dimension or high speed), the system may be considered to have concentrated
(lumped) parameters.
From the mathematical point of view, obtaining the solution of a system of partial
differential equations is in general a difficult task [6, 7]. This is the reason for making
a compromise in the description of the dynamic systems with distributed parameters
when only time behavior is taken into consideration. This compromise consists in in-
troducing a pure time delay in the description of the phenomena evolution, usually
named dead time. This way a relationship between attributes represented by func-
tions only dependent on time may be obtained, mathematically represented by total
(ordinary) differential equations. The dead time is represented, from the mathemati-
cal point of view, by functions having the time-independent variable shifted with the
dead time value (translation in time).
Example 2.2. A typical example for a dynamic system with distributed parameters
consists in a conveyor belt for feeding a silo of solid material, Fig. 2.7.
Fmb(t)=u(t)
Fm(t,x)
Fmd(t)=Fmb(t–τ)
v
x
L
y(t)=Qm
Fig. 2.7. Typical system presenting dead time τ .
The flow of solid material transported by the conveyor belt Fm (t, x) is both time t and
space x dependent (the spatial coordinate stretches along the belt direction of move-
ment). Consider the mass flow entering the conveyor belt at position x = 0 as the input
variable u(t) and the quantity (mass) of solid material accumulated in the silo Qm (t)
as the output variable y(t). Both input and output variables are considered dependent
on time. The mass accumulation in the silo may be described by the equation:
dQm (t) L dy(t)

= Fmb (t − τ ) τ = or = u(t − τ ). (2.9)
dt v dt
The mass flow rate Fmd (t) discharged from the conveyor belt at position x = L, at a
certain moment of time t, is identical to the mass flow rate Fmb (t − τ ) entering the
conveyor belt at the preceding moment of time t − τ . The dead time τ describes in a
global manner the delay produced by the conveyor belt in the propagation of the mass
flow rate along the transport direction. The dead time is equal to the ratio between the
length of the path of transport L and the belt constant velocity v. By the help of the
dead time τ it is possible to describe the accumulation process of the solid in the silo
using a total differential equation (with respect to time) having the argument of the
input function shifted (translated) in time with the dead time value.
Deterministic and stochastic systems

The deterministic or stochastic character of a system is related to the univocity with
respect to time of the functions representing the terminal variables.
If the vector of the output variable y(t) is uniquely determined (known) by the
input vector u(t), along all of the time interval t > t0 , the system is considered deter-
ministic. A deterministic system responds to a uniquely known (deterministic) input
with a uniquely known (deterministic) output.
If the vector of the output variable y(t, ξ ) is dependent both on time t and on a
random variable ξ , therefore not being uniquely known over the time interval t > t0 ,
the system is considered stochastic. The stochastic system may have attributes repre-
sented by functions with random independent variables [8].
Linear and nonlinear systems

A uniform system is a system described by a unique set of input-output relationships.
Uniform systems having linear attributes and relations are denoted as linear systems.
Linearity is characterized from the phenomenological point of view by the validity of
the effects superposition principle and by the cause-effect proportionality principle.
From the mathematical point of view, the properties of additivity and homogeneity
should be fulfilled. Linearity of the relationships describing the linear systems con-
sists in the existence of only constant coefficients (or only time-dependent coefficients
for the non-stationary linear systems) in the underlying equations, over the whole
definition domain of the independent variables. The presence of coefficients (struc-
tural attributes) depending on the terminal input or output variables (or depending
on derivatives of the input or output variables) in the terminal relations denotes the
nonlinear system. The non-uniform system is also nonlinear.
A linear mathematical operator R is an application between two sets of functions
presenting the following properties.
Additivity. According to this property, for every two functions from the definition
set, f1 and f2 , the following equality holds: R(f1 + f2 ) = R(f1 ) + R(f2 ); this relation
sustains the equality between the effect of the sum of two causes, R(f1 + f2 ), and the
sum of the individual effects of the two causes, R(f1 ) + R(f2 ), (principle of the effects
superposition).
Homogeneity. According to this property, for any real constant α and any function
f from the definition set it holds the equality: R(α ⋅ f ) = α ⋅ R(f ); this relation sustains
the equality between the effect of an individual cause f multiplied by α times, R(α ⋅ f ),
and the individual effect R(f ) of the cause f , multiplied α times, α ⋅ R(f ), (principle of
proportionality between the cause and the effect).
Linear dynamic systems are mathematically described by differential equations

with constant coefficients for the linear time-invariant (LTI) systems and by differen-
tial equations with time-dependent coefficients for linear non-stationary systems.
The properties of effects superposition and of cause-effect proportionality are the
basis for one of the most important consequences regarding the way of determining
the linear system’s response to a free varying input. The response (output) of a linear
system to a free varying input may be determined by the summation of the responses
to the elementary functions with which the input function may be approximated by an
infinite series (the most general case). When the system’s response to an elementary
input function is known (such as Dirac impulse response), the response to any input
may be determined by the convolution operation.
A very useful characteristic in describing the system’s behavior is related to the
way the system responds to the sine form of input function, when the frequency of the
sine signal ranges from low to high values. The result of this analysis is denoted as the
frequency response of the system. Linear systems own an essential property according
to which the quasi-stationary response of the system to a sinusoidal input is also of
sinusoidal form having the same frequency as the input signal. As the frequency of the
input wave changes, both amplitude and argument (phase lag) of the quasi-stationary
sinusoidal response change.
Interconnecting linear subsystems also lead to systems with linear behavior. This
property allows the decomposition and aggregation of complex systems having as a
basic subsystem a system of the linear type.
2.5 The state concept
For understanding intuitively the concept of state, consider the system presented in
Fig. 2.8. It consists in a continuous stirred tank reactor with a heating jacket. The en-
dothermic reaction A + B → C is performed in the continuous operated reactor. The
system delimitation is represented by the Σ interface.
Terminal variables passing over the interface Σ are of input type: F1 , F2 , Fsteam ,
CAi , CBi and of output type: F3 , Fcondensate , CA , CB , CC . But there is still a set of sup-
pressed variables that do not pass over the delimiting interface, that can be important
for describing the system’s behavior; such suppressed variables may be considered:
the inventory of reactants and products in the reactor, the level of condensed vapors in
the jacket or the pressure in the reactor vessel. The knowledge of these variables may
reveal aspects related to the internal behavior of the system. The internal behavior
may not be always determined by tracing the inputs’ and outputs’ evolution.
This simple example points out the fact that, in general, knowing the relation-
ships between the input and output variables may not always contribute to the ex-
haustive and intimate description of the aspects related to its behavior. A fundamental
limitation of the system description using input-output relationships is the fact that
A+B C
F1 F2
CAi CBi
Fsteam
Ʃ
Fcondensate
F3
CA , CB , CC
Fig. 2.8. Terminal and suppressed variables for a continuous stirred tank reactor.
the output may not be uniquely determined for known inputs; it is necessary to specify
a set of supplementary information, related to the internal behavior of the system, in
order to accomplish the desired uniqueness.
It is obvious that revealing these internal aspects may contribute to better under-
standing the system behavior, knowledge that may be later exploited for improved
operation, design and control.
The state of an abstract oriented system

Consider an abstract, oriented and deterministic system characterized by a set of
input-output relationships and described by equation (2.2).
A fundamental true statement is the following: if the input u(τ ) is known for every
time moment τ , τ ∈ (−∞, t], then the output y(τ ) may be also uniquely determined
(known) on the time interval τ ∈ (−∞, t]. But if the input u(τ ) is known only for time
interval τ ∈ (t0 , t], then the output may not be uniquely determined on the same lim-
ited time interval τ ∈ (t0 , t]. For a dynamic system having a time evolution depending
on values of the input or output variables from different (past and present) time mo-
ments, it is obvious that a unique behavior may be determined only if the “history”
of the system’s behavior is known. Such a unique (and complete) specification of the
output evolution assumes knowledge of this “history” from time moments situated as
far as possible (infinitely) in the past.
The main property of the state of the system at the moment t = t0 is to separate the
past t < t0 from the future t > t0 by specifying that information necessary at moment
t = t0 in order to determine (for known future input) the output in a unique way during
the future time span t > t0 .
Definition. The state of an abstract oriented system is a set of real numbers represent-
ing the minimal information necessary to be known at the initial moment of time t = t0
that will determine, together with the given input u[t0,t] , a unique output y(t) for the
future time span t > t0 .
For the abstract, oriented and dynamic system described by differential equations
of equation (2.8) form, such a set of real numbers may consist in the output y(t0 ) and
the first (n − 1) derivatives of the output function evaluated at the same initial mo-
ment of time y(1) (t0 ), . . . , y(n−1) (t0 ). This set of values characterize in a unique way the
state of the system at the time moment t = t0 . If the output y(t) and its first (n − 1)
derivatives are considered for all time moments t, then a set of functions representing
the state variables will be obtained; these variables have the property of completely
characterizing the system for each moment of time during the time interval t > t0 . The
state variable is usually denoted by a vector function x(t) having the components xi (t),
i = 1, 2, . . . , n, as presented in the following:
x(t) = [x1 (t), x2 (t), . . . , xn (t)]T . (2.10)
The space generated by the values of the state variable x(t) is referred to as the state
space of the system and has the generic notation of Σ . The state variable concept from
systems theory is the same as that of the Lagrange, Lyapunov, Poincare or Gibbs gen-
eralized variables from physics and chemistry.
The selection of the state variables is not unique. The way of choosing the state
variables presented before is just a simple and intuitive possibility of specifying them.
For one representation of the system using the input-output relationship it corre-
sponds a set of possible input-state-output representations, while only one unique
input-output representation corresponds to one input-state-output representation.
In conclusion, there are two main ways of representing the system: one uses the
input-output relationship (I) and the other the input-state-output relationship (II):
I R(u, y) = 0,
(2.11)
II y = RS(x0 , u).
To determine the variables fulfilling the requirements of becoming state variables it is

necessary that they satisfy a set of conditions named as consistency conditions.
2.6 Input-state-output relationship
The input-state-output relation may be formulated by:

x(t) = φ (t; t0 , x 0 , u[t0 ,t] ),
{ (2.12)
y(t) = η (t; x(t), u(t)).
The functional dependence φ is denoted as the transition function and its equation as
the state equation. Arguments of the function φ reveal the dependence of the state x(t)
on the time t, in an explicit manner; on the initial moment t0 , on the initial state x(t0 )
and on the inlet segment u[t0,t] , in an implicit manner. The functional dependence η
is denoted as the output function and its equation as the output equation [1].
Two, possibly neighboring, time moments t and t0 are involved in the state equa-
tion. At the limit, when t → t0 , the state equation actually becomes a differential
equation. The output equation is an instantaneous equation involving values of the
state x(t) and input u(t) from the same moment of time and being therefore an alge-
braic equation. Reformulating the equations (2.12), a practical form of the input-state-
output relations may be obtained:
ẋ = f (x, u),
{ (2.13)
y = g(x, u),
where f and g are two vector functions (f = [f1 f2 ⋅ ⋅ ⋅ fn ]T , g = [g1 g2 ⋅ ⋅ ⋅ gp ]T ), of non-
linear type in the general case.
As a particular but very useful case, the form of the input-state-output relations
for linear systems is described by
ẋ = A ⋅ x + B ⋅ u
{ (2.14)
y =C⋅x+D⋅u
where A, B, C, D are matrices of appropriate dimensions (constant for linear time-
invariant systems and time dependent for linear time-dependent systems).
An abstract, oriented and dynamic single-input-single-output (SISO) system has
an input-output description of the form presented in equation (2.8) and is represented
by a high order differential equation. For the general case of a multiple-input-multiple
output (MIMO) dynamic system, the description consists in a system of high order dif-
ferential equations. The system has also an input-state-output description of the form
presented in equation (2.13), represented by a system of first order differential equa-
tions and an algebraic system of equations. The two ways of reflecting the behavior of
the system are equivalent from the point of view of the input-output relationship.
It may be concluded that the way of describing the behavior of the system us-
ing input-state-output relations is more complete than the input-output description
because it reveals internal aspects of system behavior by the means of the state equa-
tions. Regarded from the perspective of controlling the system, the description us-
ing the input-state-output relationship offers the possibility of getting a better under-
standing of the system and consequently being in the position of maintaining control
over those variables describing the system behavior. Obviously, this is an important
incentive compared to the case of controlling only the output variables. In general,
from the practical point of view, not all state variables have a physical sense because
for many cases the state variables may not be measured, affecting the possibility of
directly controlling the states of the system.
2.7 Stability of the system
Stability is a very important property of the system, being given special attention in
systems theory. The stability concept probably has its origin in the investigation of the
mechanical system behavior. Three types of mechanical equilibrium may be distin-
guished according to the way the solid body behaves after the application of a small
(force) disturbance:
(i) stable equilibrium, if the mechanical body returns to its initial position after the
application of a small disturbance,
(ii) unstable equilibrium, if the mechanical body tends to get a different position after
the application of a small disturbance,
(iii) neutral equilibrium, if the mechanical body remains in a position arbitrary far
from to its initial position, after the application of a small disturbance.
Stability may be often interpreted by investigating the change in the energy of the sys-
tem. If the energy is decreasing, the system tends to be more stable; if it is increasing
it becomes more unstable and if it remains constant the equilibrium is neutral. In a
larger sense, a system is denoted stable if, when having “small” and bounded inputs
and initial conditions, it gets bounded outputs. If a small and bounded input or initial
condition determines an unlimited increasing output, the system is denoted unsta-
ble. This mode of expressing stability leads to the concept of Bounded-Input Bounded-
Output Stability (BIBO stability).
Definition. A time-continuous system is denoted as stable in the bounded-input

bounded-output sense (BIBO stable) if its response y to any finite amplitude input
u remains of finite amplitude.
A typical example of chemical systems instability is that of the reactor in which an

exothermic reaction is taking place and for which the heat flow produced by the chem-
ical reaction is superior to the evacuated heat flow of the cooling agent. It is assumed
that at the initial time moment there is a balance between the heat flow produced by
the mass of reaction and the heat flow evacuated with the cooling agent. If a small
rise of the reactant temperature appears (as a small disturbance) the temperature of
the reaction mass increases, being followed by a rise of the reaction rate (according to
the Arrhenius equation) which, in the conditions of the limited cooling capacity, de-
termines the further increase of the reaction mass temperature. This positive reaction
(avalanche) finally determines the unlimited (unbounded) rise of the temperature in
the reactor. Certainly, in practice, the reactor temperature rise may not be unlimited
as the system is deteriorated (in the extreme case the system vanishes) before the un-
bounded values (close to infinity) are attained.
2.8 Types of elementary signals
The signal can be defined as a terminal variable carrying information. In a more gen-
eral approach, the signal is a phenomenon representing information [9]. The mathe-
matical support for the signal is the function. Usually, the independent variable of the
signal function is time, the signal being denoted as a time-dependent signal. In sys-
tems theory, signals depending on frequency-independent variable are also studied.
A group of deterministic signals, named elementary signals or standard signals
are defined by the following properties [1]:
(i) signals are represented by functions having all derivatives continuous with re-
spect to time, possibly excepting a single value of time,
(ii) the functions that represent the signals may be obtained one from another by suc-
cessive derivation and integration operations.
The main elementary functions used for describing the elementary signals in systems
theory are:
(1) The unit step function u0 (t). It presents a discontinuity in the origin and has
amplitude equal to 1. It is defined by:
0 for t < 0
u0 (t) = { (2.15)
1 for t ≥ 0
and has the representation shown in Fig. 2.9.

The step function having a certain a amplitude is represented by u(t) = a u0 (t).
(2) The unit ramp function v0 (t). It presents the discontinuity in the origin. It is
defined by
0 for t < 0
v0 (t) = { (2.16)
t for t ≥ 0
and has the representation shown in Fig. 2.10.
u0(t)
t
0 Fig. 2.9. Unit step elementary signal.
v0 (t)
t
0 Fig. 2.10. Unit ramp elementary signal.
The ramp function having a certain a slope is represented by v(t) = a v0 (t).

It may be noticed that the unit step function may be obtained by the derivation of
the unit ramp function and the unit ramp function may be obtained by the integration
of the unit step function:
t
dv0 (t)
u0 (t) = , v0 (t) = ∫ u0 (τ )dτ . (2.17)
dt
−∞
(3) Other elementary functions may be defined by the general function form
tn−1
v(t) = u (t), n ≥ 1, n ∈ N. (2.18)
(n − 1)! 0
(4) The unit impulse function (Dirac impulse) δ (t). The class of elementary func-
tions may be completed with the unit impulse function, also named the Dirac func-
tion.
For the definition of this function consider the v(t) function, shown in Fig. 2.11.
v(t)
1
Fig. 2.11. Signal leading to the unit step function
t
0 ε u0 (t) when ε → 0.
When passing to the limit ε →0, the function v(t) gets identical to the unit step func-
tion u0 (t):
lim v(t) = u0 (t), ε ≠ 0. (2.19)
ε →0
By the differentiation of the v(t) function, with ε =0,̸ the δ0 (t) function may be ob-
tained:
dv(t)
δ0 (t) = . (2.20)
dt
Its representation is shown in Fig. 2.12.
The integral of the δ0 (t) function (area under the function, proportional to the
signal power) is equal to unity.
It may be noticed that as ε →0 the v(t) function approaches the unit step func-
tion and the δ0 (t) function approaches the form of an impulse with an infinitely small
δ0 (t)
1/Ɛ
Fig. 2.12. Signal δ0 (t) having the form of a unit
t
0 Ɛ impulse with finite duration and amplitude.
duration (approaching zero) and an infinite amplitude, but having a finite and equal
to unity area. The function obtained by this process of approaching the limit ε →0 is
the unit impulse δ (t), denoted by
δ (t) = lim δ0 (t) (2.21)

ε →0
and having the representation shown in Fig. 2.13.
δ(t)
Fig. 2.13. The elementary unit impulse δ (t) also named the Dirac
0 t impulse.
The equation describing the unit impulse is
0 for t ≠ 0
δ (t) = { (2.22)
∞ for t = 0.
Function δ (t) owns the following important property (t > 0):

t
∫ δ (τ )dτ = 1 = u0 (t) (2.23)

−∞
that justifies the consideration of the unit impulse function to be obtained by differ-
entiating the unit step function
du0 (t)
δ (t) = . (2.24)
dt
The Dirac function δ (t) may be understood as a generalized function or as a distribu-
tion. This function completes the class of the elementary functions. It features a set of
properties having sense only under integration operation, such as
∞ t0 +ε t0 +ε
∫ f (t) ⋅ δ (t − t0 )dt = ∫ f (t) ⋅ δ (t − t0 )dt = f (t0 ) ∫ δ (t − t0 )dt = f (t0 ). (2.25)

−∞ t0 −ε t0 −ε
The results of the (2.25) expression reveal the sampling property of the shifted unit
impulse function δ (t − t0 ) consisting in extracting the value f (t0 ) of the function f (t)
at the moment t0 when the unit impulse is applied.
(5) The group of elementary signals may be extended with the sinusoidal signal,
defined by
u(t) = A sin(ω t), (2.26)
where A is the amplitude and ω is the (angular) frequency. Its representation is shown
in Fig. 2.14.
u(t)=Asin(ωt)
0 t
T=2π/ω Fig. 2.14. The sinusoidal signal.
The presented signals are used for describing and defining the behavior of the systems.
In order to compare the behavior of two or more systems it is necessary to subject
them to the same type of input signals and then to investigate their response that will
reveal their dynamic and steady state characteristics. Elementary signals are simple
but intuitive and represent a benchmark for studying the response of different systems
for the same testing conditions.
2.9 LTI systems described by input-output relationships
Definition: A system described by the input-output relationship is represented by the

set of pairs of input and output functions (u(t), y(t)) satisfying the differential equation
of the form
dy(t) dn y(t) du(t) dm u(t)
f (y(t), ,..., , u(t), , . . . , , t) = 0, (2.27)
dt dtn dt dtm
for t ∈ T, T = [t0 , ∞], with n and m positive integer values and with f an application,
f : Cn+m+2 × T → C.
2.10 Time response of the linear time-invariant systems
Linear time-invariant (LTI) systems are described by linear differential equations hav-
ing constant coefficients. The general form of the differential equation is [14]:
dn y(t) dn−1 y(t) dy(t)

qn + qn−1 + ⋅ ⋅ ⋅ + q1 + q0 ⋅ y(t)
dtn dtn−1 dt
m
d u(t) dm−1 u(t) du(t)
= pm m
+ pm−1 m−1
+ ⋅ ⋅ ⋅ + p1 + p0 ⋅ u(t), (2.28)
dt dt dt
in which the qn and pm are nonzero coefficients. The domain of definition of the func-
tion u(t) and y(t) is the half-infinite T+ = [t0 , ∞) or infinite T∞ = R axis. The half-
infinite axis T+ is considered to include the moment t0− , leading to the interval T+ =
[t0 −ε , ∞) with ε → 0. This approach allows the inclusion of the Dirac function δ (t−t0 )
from the time moment t0 .
For each of the two members of the equation (2.28) a characteristic polynomial
may be associated, further denoted with Q and P:
Q(λ ) = q0 + q1 ⋅ λ + ⋅ ⋅ ⋅ + qn ⋅ λ n (2.29)
m
P(λ ) = p0 + p1 ⋅ λ + ⋅ ⋅ ⋅ + pm ⋅ λ . (2.30)
The roots of these polynomials play an important role in determining the solution of
the differential equation (2.28), for a given input u(t). This solution is usually named
the response of the system to the input u(t).
Finding the response of the linear time-invariant system consists in determining
the unique output y(t) corresponding to a given input u(t). First, this finding deter-
mines all outputs y(t) corresponding to a given input u(t), followed by the selection of
one unique output on the basis of the initial conditions.
2.11 Solution of the homogeneous differential equation
The homogeneous differential equation corresponding to the differential equation

(2.28) is
dn y(t) dn−1 y(t) dy(t)
qn n
+ qn−1 + ⋅ ⋅ ⋅ + q1 + q0 ⋅ y(t) = 0. (2.31)
dt dtn−1 dt
This differential equation describes the behavior of the system in case of the input
u(t) = 0.
The solution of the homogeneous differential equation is related to determining
the roots of the characteristic polynomial Q, denoted as the characteristic roots.
Mathematics denotes as basic solutions (or as linear independent integrals) the
set of the n linear independent solutions y1 , y2 , . . . , yn of the homogeneous differential
equation (2.31). It can be demonstrated that any solution of the homogeneous differen-
tial equation is a linear combination of the basic solutions. It is therefore important to
find a way for determining the basic solutions. One way of choosing a set of n basic so-
lutions is defining the set of mi basic solutions, for each root λ of order of multiplicity
mi , as mi
yi = ti ⋅ eλ t , i = 0, 1, . . . , mi − 1; ∑ mk = n, t ∈ T+ or T∞ . (2.32)
k=1
This set of basic solutions is not unique but is it determined in a convenient way.
Taking into account that the solution of the homogeneous differential equation
is a linear combination of the basic solutions, the set of all response functions to the
zero input Yhomog is:
Yhomog = {y|y = ∑ αi ⋅ yi , αi ∈ C}. (2.33)
i
In general, the roots of the characteristic polynomial Q may also have complex roots,
even if the coefficients qi are real. For this case, the roots are always complex conju-
gated pairs. Nevertheless, pairs of basic solutions having only real values may also be
determined.
If the roots of the characteristic polynomial are complex conjugated pairs, λ and
λ ∗ , having the multiplicity order m, the basic solution contains 2m real linear inde-
pendent integrals of the form
yi = ti ⋅ eσ ⋅t ⋅ cos(ω ⋅ t), i = 0, 1, . . . , m − 1
(2.34)
yi = ti ⋅ eσ ⋅t ⋅ sin(ω ⋅ t), i = 0, 1, . . . , m − 1,
where σ = Re(λ ) and ω = Im(λ ) are the real and imaginary parts of the root λ .
It may be noticed that, in this case, the solution of the homogeneous differen-
tial equation is oscillating (harmonic), having decaying amplitude if σ = Re(λ ) is
negative.
2.12 Particular solutions of the nonhomogeneous differential

equation
A particular solution of the differential equation (2.28) consists in any output function
ypart verifying the differential equation for a given input u(t). It is often possible to
guess the form of a particular solution. It is the case of the input functions having the
form of a constant or of an exponential, both being particular solutions of the same
type. For the case of feasible systems, the particular solution may be also computed
by the convolution between the impulse response and the given input.
2.13 General solution of the nonhomogeneous differential

equation
The general solution y(t) of the nonhomogeneous differential equation (2.28) is the
sum of the solution of the homogeneous differential equation yhomog and a particular
solution of the nonhomogeneous differential equation ypart :
y(t) = ygen = yhomog + ypart . (2.35)
It may be noticed that the general solution of the nonhomogeneous differential equa-
tion consists in a set of functions Ygen having as parameters the arbitrary constants αi :
Ygen = {y | y = ∑ αi ⋅ yi + ypart , αi ∈ C}. (2.36)

i
As previously mentioned, a unique solution y(t) of the equation (2.28), for a given in-
put u(t), may only be obtained if the initial conditions are also specified. If the following
initial conditions are given:
y(t0 ) = y0 , y(1) (t0 ) = y1 , . . . , y(n−1) (t0 ) = yn−1 , (2.37)
the n arbitrary constants αi can be determined by solving a system of algebraic equa-

tions for the αi unknown.
2.14 Stability of the system described by input-output

relationships
Stability will be investigated in the sense of bounded-input bounded-output stability

(BIBO stability).
Consider the linear time-invariant system described by the differential equation
(2.28).
Definition. The roots of the characteristic polynomial Q are denoted as the character-
istic roots of the system.
The P󸀠 and Q󸀠 polynomials are the polynomials obtained by the simplification of

the polynomials P and Q with the greatest common divisor.
Definition. The roots of the Q󸀠 polynomial are denoted as the poles of the system and
the roots of the P󸀠 polynomial as the zeros of the system.
Due to the fact that the LTI system is completely characterized by its impulse re-
sponse h(t), it is expected that the investigation of the BIBO stability to be performed
on the basis of this response.
Definition. The system described by a linear and time-invariant differential equation

(LTI system) is BIBO stable if and only if its impulse response has a finite action (value).
A stronger form of stability than the BIBO stability is the converging-input converg-
ing-output (CICO) stability. The condition for a system to be CICO stable is that for a
bounded input approaching zero when time approaches infinity, i.e. u(t) → 0 when
t → ∞, the corresponding output should also be bounded and should approach zero
when time approaches infinity, i.e. y(t) → 0 when t → ∞.
2.15 Stability of systems described by linear time-invariant

differential equations
Taking into account that the response of the system described by the equation (2.28) is
y = h ∗ u + ∑ αi ⋅ yi (2.38)
i
and that BIBO stability implies that h is finite, it follows that for every pair of finite h
and finite u, the first term in equation (2.38) is finite. The symbol “∗” denotes the con-
volution. Likewise, finite h implies the existence of poles having negative real values.
Bounding conditions remain to be specified for the second term in equation (2.38), the
part of the solution corresponding to the homogeneous differential equation. From
this part, the conditions to be specified refer to those characteristic roots that are not
poles.
Definition. The necessary and sufficient conditions for the system, described by the
LTI differential equation (2.28), to be BIBO stable are:
(i) the degree of the P polynomial is less than or equal to the degree of the Q polyno-
mial,
(ii) the poles of the system have strictly negative real part,
(iii) the system does not have any characteristic roots with strictly positive real part
that cancel with zeros,
(iv) every characteristic root cancelling with a zero and having a zero real part is only
of first order of multiplicity.
Definition. The necessary and sufficient conditions for CICO stability of the system
described by the linear time-invariant differential equation (2.28) are
(i) the degree of the P polynomial is less than or equal to the degree of the Q polyno-
mial,
(ii) the characteristic roots of the Q polynomial have strictly negative real part.
CICO stability implies BIBO stability but the reversed implication in not true.
2.16 Frequency response of the system described by input-output

relationships
In systems theory, a special role is played by the description of the way that the system
responds to periodic input functions of the sine form or, more generally, to a harmonic
function having complex values. The reason for this interest is related to the fact that
input signals can be decomposed in finite or infinite linear combinations (series) of
harmonic functions. Knowing the response of the system to the harmonic input and
taking into account the linearity property, the response of the system to an arbitrary in-
put may be determined as a linear combination of harmonic response functions. This
description of the system is named the frequency response and reveals quantitative
and qualitative aspects of both steady state and dynamic behavior.
Definition. The harmonic signal is represented by a function having the time t as the
independent variable and the real value ω , i.e. the frequency, as a parameter, and has
values in the set of the complex numbers:
x(t) = a ⋅ ejω t . (2.39)
The constant a may have complex values in the general case and is denoted as the
complex amplitude. If represented in the polar form, the complex constant a has the
form a = υ ⋅ ejφ , where υ = |a| is the amplitude or module of the constant a and φ is
the argument of the constant a. The complex harmonic signal has the form:
x(t) = a ⋅ ejω t = υ ⋅ ejφ ⋅ ejω t = υ ⋅ cos(ω t + φ ) + j ⋅ υ ⋅ sin(ω t + φ ). (2.40)
The real harmonic signal has the form

π
c(t) = Re[x(t)] = υ ⋅ cos(ω t + φ ) = υ ⋅ sin (ω t + φ + ). (2.41)
2
The frequency f is related to the (angular) frequency ω by the well-known relationship
ω = 2 ⋅ π ⋅ f . Because the angular frequency ω is usually used (and not directly the
frequency f ), the term frequency usually stands for the angular frequency.
Consider the harmonic input signal with unity amplitude:
η (t) = ejω t , t ∈ R. (2.42)
The response of the LTI system to the harmonic input u = η (t), presented in equation
(2.42), may be determined by convolution:
+∞ +∞
y(t) = ∫ h(t − τ ) ⋅ u(τ )dτ = ∫ h(t − τ ) ⋅ ejω τ dτ , t ∈ R, (2.43)

−∞ −∞
provided that the integral exists. Making the variable change t − τ = θ , the following
form for the output is obtained:
+∞ +∞
jω (t−θ )
y(t) = ∫ h(θ ) ⋅ e dθ = ( ∫ h(θ ) ⋅ e−jω θ dθ ) ⋅ ejω t
(2.44)
−∞ −∞
jω t
= hω (ω ) ⋅ e , t ∈ R.
The notation hω (ω ) has been used for the function

+∞
hω (ω ) = ∫ h(θ ) ⋅ ejω θ dθ , ω ∈ R. (2.45)

−∞
This function is named the frequency response function of the system. It is a complex
function.
Comparing equation (2.42) and equation (2.44) it may be noticed that the system
response to a harmonic input is an output signal of the harmonic form, too:
y = hω (ω ) ⋅ η (t). (2.46)
This is one of the remarkable properties of linear systems (property valid also for a =1).
̸
The way the harmonic response signal y changes its amplitude and argument,
compared to the amplitude and argument of the harmonic input signal η , is specified
by the frequency response function, namely by the amplitude and argument of the
complex function hω (ω ).
The following real harmonic input signal is considered:
u(t) = υ ⋅ cos(ω t + φ ) = Re[a ⋅ ejω t ]. (2.47)
The response signal to the previously mentioned input signal u(t) has the form
y(t) = υω ⋅ cos(ω t + φω ) = Re[aω ⋅ ejω t ], (2.48)
where aω , υω and Φω have the explicit form
aω = hω (ω ) ⋅ υ
υω = |hω (ω )| ⋅ υ (2.49)
φω = φ + arg(hω (ω )).
The way the harmonic response signal y changes its amplitude and argument (phase)
compared to the harmonic input signal η is specified by the frequency response func-
tion, namely by the module (amplitude) |hω (ω )| and argument (phase) of the complex
function hω (ω ), as given in equations (2.49).
2.17 Frequency response of the system initially at equilibrium
The frequency response function of a system described by a differential equation may

be directly obtained from the polynomials Q and P, where the coefficients of the dif-
ferential equation are included. Knowing the frequency response function (shortly
named frequency response), the response of the system to any input signal may be
determined since the latter can be decomposed in a linear combination (series) of har-
monic functions.
Definition. The frequency response function hω (ω ) of an initially at equilibrium sys-

tem (initially at rest or at steady state), described by the equation (2.28), exists if and
only if all the poles of the system have strictly negative real part.
The frequency response function hω (ω ) has the form
P(jω )
hω (ω ) = , ω ∈ R. (2.50)
Q(jω )
Existence of the frequency response function is conditioned by the bounded or not-

bounded property of the expression under the integral defining it, as presented in
equation (2.45). This request may be reduced to the condition that the impulse re-
sponse h of the initially at rest system should have the basic solutions approaching
zero when time approaches infinity. This condition may happen only when the poles
of the system have negative real part: the situation when the basic solutions contain
terms of the form tk ⋅ eλ ⋅ (with λ pole of the system). All these terms have exponential
time decay for poles with negative real part.
The form of the frequency response function given in equation (2.50) is obtained
taking into account that the system’s response to a harmonic input u(t) = ej⋅ω ⋅t is also
of harmonic form y(t) = hω (ω ) ⋅ ej⋅ω ⋅t . The pair of functions (u(t), y(t)) must satisfy the
differential equation. Replacing them in the equation (2.28) and taking into account
that the n-th derivative of the exponential function results in the multiplication of the
function with the factor (jω ⋅ t)n , the equation (2.28) becomes
Q(jω ) ⋅ hω (ω ) ⋅ ejω t = P(jω ) ⋅ ejω t , t ∈ R. (2.51)
Thus, the form of the frequency response function given in equation (2.50) is straight-
forward.
2.18 Steady state and transient response to the harmonic input
The frequency response hω (ω ) of the CICO stable LTI system, to a complex harmonic
input
u(t) = a0 ⋅ ejω t , t ∈ T, (2.52)
or to a real harmonic input
u(t) = a0 ⋅ cos(ω t + φ ), t ∈ T, (2.53)
where T is the infinite or half-infinite positive time axis, has the form
y = ysteadystate + ytransient . (2.54)
The steady state component is the response of the system in the (quasi) steady state
regime, i.e. the situation when all input variables have transmitted their transient ef-
fects on the output variables. This regime is usually accomplished after a sufficiently
long time interval (in fact when time approaches infinity).
The steady state component of the response ysteadystate is given by
ysteadystate (t) = hω (ω ) ⋅ a0 ⋅ ejω t , t ∈ T, (2.55)
for the complex harmonic input, and by
ysteadystate (t) = |hω (ω )| ⋅ a0 ⋅ cos(ω t + φ + arg(hω (ω ))), t ∈ T, (2.56)
for the real harmonic input.

The transient component is the response of the system in transient regime, i.e.
during the period of time immediately following the application of the input variable
change. This is the period of time when the output variable has not yet suffered the
entire effect produced by the input variable (the cause).
The transient component of the response ytransient is the solution of the homoge-
neous differential equation, presenting the property
ytransient (t) → 0 for t → ∞. (2.57)
As may be noticed, the frequency response of the system refers to the (quasi) steady
state component of the response to a harmonic input.
2.19 LTI systems described by input-state-output relationships
The description of the system’s behavior using input-state-output relations reveals not
only the external behavior of the system (directly described by the input-output rela-
tionships) but also the internal behavior, which is the internal mechanism govern-
ing it. It is clear that the uncovering of these internal aspects contributes to a better
comprehension of the system with direct benefits on system analysis, synthesis and
control [10–13].
Following the theoretical elements related to the state concept, it was concluded
that the basic property of the state at time moment t = t0 is to separate the past t <
t0 and the future t > t0 by specifying the information necessary at moment t = t0 ,
x(t0 ), in order to univocally determine the output over the future time t > t0 . The set
of numerical values containing this information, for each time moment t, generates a
vector function x(t) denoted as the state variable. The components of the state vector
generate the state space Σ . Therefore, it is only necessary to know the state of the
system x(t) (at a certain time moment t) and the given input u(t) (for t ≥ t0 ), in order
to univocally determine the output y(t) for the time interval t > t0 .
2.20 Transformation of the input-output representation into the

input-state-output representation
Consider the linear time-invariant system described by the differential equation (2.28)
where, without losing generality, qn = 1 has been assumed.
For a representation of the system using an input-output relationship it may be
assigned multiple input-state-output representations, but a single input-state-output
representation has only a single (unique) associated input-output representation.
From the set of the input-state-output representations of the same system, of first im-
portance are those representations leading to particular (simple) forms of the matrices
A, B, C, and D [1].
The way of choosing the state variables of a system is not unique. A simple but in-
tuitive way of choosing the state variables is to consider as state variables the output
y(t) and the first (n − 1) derivatives of the output. This way of choosing the states is
suggested by the fact that when setting (specifying) the initial conditions y(t0 ), y󸀠 (t0 ),
y󸀠󸀠 (t0 ), y(3) (t0 ), . . . , y(n−1) (t0 ) for a differential equation this implies depicting the min-
imal information necessary for uniquely determining the output for the future time
moments t > t0 , when the input u(t) is given. This way of choosing the state variables,
named phase (state) variables of canonical form, is leading to the following form of the
input-state-output equations:
ẋ1 = x2
ẋ2 = x3
.. (2.58)
.
ẋn−1 = xn
ẋn = −q0 ⋅ x1 − q1 ⋅ x2 − ⋅ ⋅ ⋅ − qn−2 ⋅ xn−1 − qn−1 ⋅ xn + u
y = (p0 − pn ⋅ q0 ) ⋅ x1 + (p1 − pn ⋅ q1 ) ⋅ x2
(2.59)
+ (p2 − pn ⋅ q2 ) ⋅ x3 + ⋅ ⋅ ⋅ + (pn−1 − pn ⋅ qn−1 ) ⋅ xn + pn ⋅ u.
These equations are equivalent to the set of linear first order differential equations:
ẋ1 0 1 0 . . . 0 x1 0
[ ẋ ] [ 0 0 1 . . . 0 ] [ x ] [0]
[ 2 ] [ ] [ 2 ] [ ]
[ ] [ ] [ ] [ ]
[ . ] [ . . . . . . . ] [ . ] [.]
[ ] [ ] [ ] [ ]
[ . ]=[ . . . ] [ ] [ ]
[ ] [ . . . . ]⋅[ . ]+[ . ]⋅u (2.60)
[ . ] [ . . . . . . . ] [ . ]
] [ [ ]
[ ] [ ] [.]
[ ] [ ] [ ] [ ]
[ ẋn−1 ] [ 0 0 0 . . . 1 ] [ xn−1 ] [ 0 ]
[ ẋn ] [ −q0 −q1 −q2 . . . −qn−1 ] [ xn ] [ 1 ]
and an algebraic equation
x1
[ ]
[ x2 ]
[ ]
[ ]
y = [(p0 −pn ⋅q0 ) (p1 −pn ⋅q1 ) . . . ( pn−2 −pn ⋅qn−2 ) (pn−1 −pn ⋅qn−1 )] [ ... ] +pn ⋅u, (2.61)
[ ]
[x ]
[ n−1 ]
[ xn ]
where the matrices A, B, C, and D have the form
0 1 0 . . . 0 0
[ 0 0 1 . . . 0 ] [0]
[ ] [ ]
[ ] [ ]
[ . . . . . . . ] [.]
[ ] [ ]
A=[ . . ] B=[ ]
[ . . . . . ], [ . ],
[ . . . . . . . ] [.]
[ ] [ ] (2.62)
[ ] [ ]
[ 0 0 0 . . . 1 ] [0]
−q
[ 0 −q1 −q2 . . . −qn−1 ] [1]
C = [(p0 − pn ⋅ q0 ) (p1 − pn ⋅ q1 )...(pn−2 − pn ⋅ qn−2 ) (pn−1 − pn ⋅ qn−1 )],
D = pn .
This form of representing the system, using input-state-output relations, is denoted as

the standard canonical form.
From the previously presented way of describing the system it has been shown
that an LTI system has an input-output description of the form presented in equation
(2.28) (i.e. an equation, or more general, a system of high order differential equations)
but also has an input-state-output description of the form (2.14), (i.e. a set of first order
state differential equations and a set of output algebraic equations). The two ways of
representing the behavior of the system are equivalent from the input-output point
of view. Compared to the input-output representation, the description based on the
first order differential equation is possible by introducing a new variable that makes
a connection between the input and output variables, i.e. the state variable.
The direct consequence of this equivalence is the fact that any set of high order
input-output differential equations may be transformed into a set of first order state
differential equations associated with a set of output algebraic equations, on the basis
of an appropriate definition of the state variables.
The most appreciated and efficient representation form of the state equations, es-
pecially for the control system design, is the so called modal form where the matrix
A has a pure diagonal form Λ (with nonzero values only on the main diagonal of ma-
trix A). This way of choosing the state variables is only possible when the eigenvalues
of the matrix A are of zero order of multiplicity. The linear transformation of a certain
input-state-output representation to the modal one may be performed on the basis of
the transformation matrix consisting in the eigenvectors of matrix A. The modal input-
state-space representation implies states that are decoupled (each state only depends
on itself and on the input). When the eigenvalues of the matrix A are of nonzero or-
der of multiplicity it is only possible to obtain a quasi-diagonal form of the matrix A,
denoted as the Jordan form.
2.21 Solutions of the state equations
Consider the general case of a nonlinear system described by the set of state equations:
x(t)
̇ = f (t, x(t), u(t)), (2.63)
y(t) = g(t, x(t), u(t)), (2.64)
where the vector state variable belongs to an n-dimensional space of real or complex
numbers Σ ∈ Rn or Σ ∈ Cn and the input and the output functions are also defined on
real or complex spaces, Su ∈ Rk or Su ∈ Ck , respectively Sy ∈ Rm or Sy ∈ Cm .
The existence of the solutions for the set of the state and output equations (2.63)
and (2.64) may be guaranteed only for difficult formulated mathematical conditions
and explicit solutions may be determined just for a few particular cases.
For the linear systems described by the input-state-output relations
x(t)
̇ = A(t) ⋅ x(t) + B ⋅ u(t), (2.65)
y(t) = C(t) ⋅ x(t) + D ⋅ u(t), (2.66)
with t ∈ T (where T = R or T = R+ ), it is possible to obtain explicit solutions. In the

following it is considered that the input variables (vector of k dimension), the output
variables (vector of m dimension) and the state variables (vector of n dimension) may
have complex values, Su ∈ Ck , Σ = Cn , Sy ∈ Cm . Matrix A is time dependent and it is of
n × n dimension, matrix B is time dependent and it is of n × k dimension, matrix C is
time dependent and it is of m × n dimension and matrix D is also time dependent and
it is of m × k dimension. Existence of the solutions for the state and output equations
(2.65) and (2.66) is guaranteed if the matrices A(t), B(t), C(t), and D(t) are continuous
and bounded functions.
2.22 Solution of the nonhomogeneous state equation
The solution of the nonhomogeneous state equation for the nonzero input u(t):
x(t)
̇ = A(t) ⋅ x(t) + B(t) ⋅ u(t), (2.67)
with t ∈ T, is of the following form:

t
x(t) = Φ (t, t0 ) ⋅ x(t0 ) + ∫ Φ (t, τ ) ⋅ B(τ ) ⋅ u(τ ) ⋅ dτ (2.68)

t0
for every t and t0 from T. The vector function Φ (t, t0 ) is the transition matrix.
Demonstration of the steps for obtaining this solution may be performed using
the method of constants variation. If the solution of the state nonhomogeneous dif-
ferential equation is known, the system output function y(t) may be determined by
replacing the state expression from equation (2.68) into the output equation (2.66):
t
y(t) = C(t) ⋅ Φ (t, t0 ) ⋅ x(t0 ) + ∫ C(t) ⋅ Φ (t, τ ) ⋅ B(τ ) ⋅ u(τ ) ⋅ dτ + D(t) ⋅ u(t). (2.69)
t0
It may be noticed that, in general, the response of a linear system y(t) is a summation
of two components y(t) = yzero-input + yzero-state , having the form
yzero-input (t) = C(t) ⋅ Φ (t, t0 ) ⋅ x(t0 ), (2.70)
t
yzero-state (t) = ∫ C(t) ⋅ Φ (t, τ ) ⋅ B(τ ) ⋅ u(τ ) ⋅ dτ + D(t) ⋅ u(t). (2.71)

t0
The term yzero-input is named zero-input response and represents the response of the
system having the input equal to zero but nonzero initial conditions.
The term yzero-state is named zero-state response and represents the response of the
system having the initial conditions equal to zero but nonzero input.
This summation is a consequence of the linear character of the system that pos-
sesses the effect superposition property.
Taking into account the form of the transition matrix, for the linear time-invariant
systems the two components have the following simplified form:
yzero-input (t) = C ⋅ eA⋅t x(0), t0 = 0, (2.72)
t
yzero-state (t) = ∫ C ⋅ eA(t−τ ) ⋅ B ⋅ u(τ ) ⋅ dτ + D ⋅ u(t). (2.73)

0
According to the convolution operation, the response to the zero initial conditions
(zero-state) may be formulated as
t
yzero-state (t) = ∫ h(t − τ ) ⋅ u(τ )dτ , (2.74)

t0
where h(t) is denoted as the impulse response matrix of the system. For the case of the
LTI systems the impulse response matrix has the form
h(t) = C ⋅ eAt ⋅ B ⋅ u0 (t) + D ⋅ δ (t). (2.75)
For the case when both the input u(t) = u(t) and the output y(t) = y(t) are scalar func-
tions (m = k = 1), the impulse response is also a scalar function h(t) = h(t), represent-
ing the response of the system with zero initial conditions to a Dirac input function
δ (t).
For the MIMO case (m, k > 1), the (i, j) element of the impulse response matrix hij
is the response of the i-th component of the system output having zero initial condi-
tions to the j-th component of the input function, considered as a Dirac function, and
considering equal to zero all the other components of the input vector.
2.23 Laplace transform
In the previous paragraphs the way of determining the time response of the systems
described by input-output or input-state-output relationships, generally called the
system behavior (analysis) in the time domain, has been presented. The methods for
determining the response for the linear time-invariant systems are based on the convo-
lution operation. Unfortunately convolution does not allow a direct evaluation of the
system behavior. Additionally, the implied operation of integration is a relatively com-
plicated and resource-consuming operation even for numerical computation. These
considerations led to the development of other methods for investigating and describ-
ing the system’s behavior, based on the frequency response function, methods that are
usually named the system analysis in the frequency domain.
Frequency domain analysis is intuitive with respect to reflecting the system be-
havior and it is used for control system design [14]. The core of this analysis is based
on two fundamental aspects:
1. every time-dependent signal may be decomposed in a linear combination of har-
monic (complex) functions having increasing frequencies (Fourier series);
2. the response of the linear time-invariant system, to a harmonic (complex) input,
is equal to that input multiplied by a factor that is described by the frequency re-
sponse function.
Consequently, the steps for determining the response of the linear time-invariant sys-
tem are:
1. the input function is decomposed in a linear combination of harmonic functions
having different frequencies;
2. the individual response for each harmonic function of the linear combination is
determined (being also a harmonic combination), based on the principle of the
cause-effect proportionality;
3. the individual responses are added for obtaining the total response, the operation
of summation being based on the effect superposition property characteristic for
linear systems.
2.24 Definition of the one-sided and two-sided Laplace transform
Although the one-sided Laplace transform is predominantly used for linear time-
invariant systems description, the two-sided Laplace transform will be introduced
first in order to get a comprehensive overview of this mathematical instrument [14]:
Definition. The two-sided Laplace transform is the application L that transforms the
continuous signal x(t), defined on the entire time axis t ∈ R, into a complex function
X(s) = L(x(t)) having the complex independent variable s, and being defined by the
integral
∞
X(s) = ∫ x(t) ⋅ e−st dt, s ∈ E ⊂ C. (2.76)

−∞
The set E ⊂ C, is named the region (domain) of existence of the two-sided Laplace
transform X(s) and consists in all complex values of the variable s for which the inte-
gral is convergent.
It is usual to denote the Laplace transform of the signal x(t) by the capital charac-
ter X(s) corresponding to the character used to denote the time signal x(t). X(s) is also
named the image of the function x(t) and x(t) is named the original of the function X(s).
Unlike the Fourier transform that may not be applied for a signal having expo-
nential growth, the Laplace transform allows this application due to the exponential
function included in the integral defining it.
Definition. The one-sided Laplace transform is the application L+ that transforms the
continuous signal x(t), defined on t ∈ R+ , into a complex function X+ (s) = L+ (x(t))
having the complex independent variable s, and being defined by the integral:
∞
X+ (s) = ∫ x(t) ⋅ e−st dt, s ∈ E+ . (2.77)

0
The set E+ ⊂ C, is named the region (domain) of existence of the one-sided Laplace
transform X+ (s) and consists in all complex values of the variable s for which the in-
tegral is convergent [1, 14].
It is usual to denote the one-sided Laplace transform of the signal x(t) by the cap-
ital character X+ (s) corresponding to the character used to denote the time signal x(t).
If no confusion is possible (the usual case), the subscript “+” may be omitted. X+ (s) is
also named the image of the function x(t) and x(t) is named the original of the function
X+ (s). There is a close relationship between the one-sided and the two sided Laplace
transform, which may be formulated as L+ (x) = L(x ⋅ u0 (t)), where u0 (t) is the unit step
elementary function. In particular, if x(t) is a signal defined such that
0 for t<0
x(t) = { (2.78)
≠ 0 for t ≥ 0,
then the one-sided and two-sided Laplace transforms are identical L+ (x) = L(x), hav-
ing identical domains of definition E+ = E. This is the case in the majority applications
using the Laplace transform.
The definition of the one-sided Laplace transform refers to the integration domain
between 0 and +∞, provided that the function x does not include a singularity at the
moment of time t = 0. If the function x has a singularity at the initial moment of time,
for example the case of a signal x(t) containing Dirac functions δ (t), it is assumed that
integration is stared from the moment t = 0− .
Making a parallel between the one-sided and the two-sided Laplace transform the
following remarks may be performed:
1. the two-sided Laplace transform is a generalization of the one-sided Laplace
transform, the latter being extensively used due to historical reasons;
2. the one-sided Laplace transform is suitable for causal systems having zero initial
conditions, the causality being introduced for the two-sided Laplace transform by
the multiplication with the unit step function u0 (t);
3. when using the one-sided Laplace transform no specifications are made for the
time interval t < 0, while the two-sided Laplace transform is applied for t ∈ R;
4. left time shifting may be problematic for the one-sided Laplace transform, while
for the two-sided Laplace transform this shifting is straightforward.
2.25 Properties of the Laplace transform
A summary of the Laplace transform properties is presented in Tab. 2.1 [14].
2.26 Laplace transform of usual functions
The Laplace transforms of a set of usual functions are presented in Tab. 2.2 [14].
2.27 Inverse Laplace transform
As mentioned in the definition of the Laplace transform, its independent variable is

complex and may be formulated by s = σ + jω , where σ , ω ∈ R.
Table 2.1. Properties of the Laplace transform.
Property Time signal Two-sided Region of One-sided Region of existence

t∈R Laplace existence Laplace E+
transform E transform
s∈E s ∈ E+
Linearity (α x + β y)(t), α X(s) + β Y(s) Ex ∩ Ey α X+ (s) + β Y+ (s) Ex+ ∩ Ey+
α, β ∈ C
Convolution (x ∗ y)(t) X(s) ⋅ Y(s) Ex ∩ Ey X(s)+ ⋅ Y(s)+ Ex+ ∩ Ey+
x ⋅ u0 (t) ∗ y ⋅ u0 (t) X(s)+ ⋅ Y(s)+ Ex+ ∩ Ey+

Time shifting x(t + θ ), θ ∈ R es θ ⋅ X(s) Ex e−s θ ⋅ X+ (s) Ex+
x(t − θ ) ⋅ u0 (t − θ ), e−s θ ⋅ X+ (s) Ex+
θ ∈ R, θ ≥ 0
s-shifting eat ⋅ x(t), a ∈ C X(s − a) {s ∈ C|s − a ∈ Ex } X+ (s − a) {s ∈ C|s − a ∈ Ex+ }
dx(t) −
Time differentiation dt
s ⋅ X(s) Ex s ⋅ X+ (s) − x(0 ) Ex+
t
X(s) X+ (s)
Integration ∫ x(τ )dτ s
{s ∈ Ex |Re(s) > 0} s
{s ∈ Ex+ |Re(s) > 0}
−∞
t
∫ x(τ )dτ
0−
dX(s) dX+ (s)
s-differentiation −t ⋅ x(t) ds
Ex ds
Ex+
1 1
Scaling x(α t), |α |
X ( αs ) {s ∈ C|s/|α | ∈ Ex } X
α +
( αs ) {s ∈ C|s/α ∈ Ex+ }
α ∈ R, α ≠ 0 1 {s ∈ C|s/α ∈ Ex }
α
X ( αs )
x(α t),
α ∈ R, α > 0
Initial value theorem x(0+ ) = lim sX+ (s)
s→∞
Final value theorem lim x(t) = lim sX+ (s)

t→∞ s→0
Table 2.2. Laplace transform of usual functions.
Time signal Two-sided Laplace transform One-sided Laplace transform Conditions

t∈R
1 1
eat ⋅ u0 (t) s−a
Re(s) > Re(a) s−a
Re(s) > Re(a) a∈C
−eat ⋅ u0 (−t) 1 a∈C a∈C
Re(s) < Re(a) 0
eat s−a a∈C
1
— — s−a
Re(s) > Re(a)
1
1 — — s
Re(s) > 0 k∈N
1 1
u0 (t) s
Re(s) > 0 s
Re(s) > 0 k∈N
δ (t) 1 s∈C 1 s∈C
δ (k) (t) sk s∈C sk s∈C
tk−1 1
Re(s) > 0 1
Re(s) > 0
u (t)
(k−1)! 0 sk sk
tk−1 ⋅eat 1 1
(k−1)!
u0 (t) Re(s) > Re(a) Re(s) > Re(a) a ∈ C, k ∈ N
(s−a)k (s−a)k
k−1 at
⋅e 1
Re(s) < Re(a) s∈C a ∈ C, k ∈ N
− t(k−1)! u0 (−t) (s−a)k
0
s s
cos(ω t) ⋅ u0 (t) (s2 +ω 2 )
Re(s) > 0 (s2 +ω 2 )
Re(s) > 0 ω ∈R
sin(ω t) ⋅ u0 (t) ω
Re(s) > 0 ω
Re(s) > 0 ω ∈R
(s2 +ω 2 ) (s2 +ω 2 )
s−a s−a
eat ⋅ cos(ω t) ⋅ u0 (t) (s−a)2 +ω 2
Re(s) > a (s−a)2 +ω 2
Re(s) > a a, ω ∈ R
at
e ⋅ sin(ω t) ⋅ u0 (t)
ω
Re(s) > a ω
Re(s) > a a, ω ∈ R
(s−a)2 +ω 2 (s−a)2 +ω 2
(A) Definition. Consider X, the two-sided Laplace transform of the signal x, in the ex-
istence region E. The signal x(t) may be recovered from X(s) using the inverse Laplace
transform x(t) = L−1 (X(s)) defined by
σ +j∞
1
x(t) = ∫ X(s) ⋅ est ds, t ∈ R, (2.79)
2⋅π ⋅j
σ −j∞
where the integral is computed along a vertical line completely included in the exis-
tence region E and having the σ abscissa.
(B) Definition. Application of the inverse Laplace transform to the one-sided Laplace
image X+ (of the original x(t)) leads to the signal u0 (t) ⋅ x(t) defined by
x(t) for t≥0

L−1 (X+ (s)) = { , s ∈ R. (2.80)
0 for t<0
According to this definition, the direct use of the inverse Laplace transform is not prac-
tical as it implies solid knowledge on the theory of complex functions. Usually, the
method of partial fraction expansion of the Laplace image function is used for deter-
mining the original function.
2.28 Use of Laplace transform in the analysis of linear

time-invariant systems
Laplace transform represents a very efficient instrument for analyzing the behavior of
linear time-invariant systems, both from a quantitative and a qualitative point of view.
The transfer function

It may be stated that one of the most important concepts introduced by the Laplace
transform is the transfer function [1].
Consider the linear time-invariant system that owns the fundamental property ac-
cording to which for a given input variable u(t), the output variable y(t) may be com-
puted by the convolution operation y(t) = h(t) ∗ u(t) between the impulse response
function h(t) and the input function u(t). The impulse response represents a key el-
ement in characterizing the system due to its comprehensive feature. This impulse
response function consists in the minimal information necessary to be known in or-
der to determine the system’s response to any input u(t) (provided that the system has
zero initial conditions). The latter may be computed by the convolution integral.
Definition. The transfer function H(s) of the linear time-invariant system is the two-
sided Laplace transform of the impulse response function h(t):
∞
H(s) = ∫ h(t) ⋅ e−st ds, s ∈ Eh , (2.81)

−∞
where Eh is the region of existence of the two-sided Laplace transform.

In a similar way, the transfer function H+ (s) of the linear time-invariant system may
be defined as the one-sided Laplace transform of the impulse response function h(t):
∞
H+ (s) = ∫ h(t) ⋅ e−st ds, s ∈ Eh+ , (2.82)

0−
where Eh+ is the region of existence of the one-sided Laplace transform.

If the impulse response function h(t) is zero for t < 0, then H(s) = H+ (s).
A set of very important consequences for the analysis and synthesis of the sys-
tems are brought about by the transfer function concept. They will be presented in
the following.
(1) A first consequence of the new revealed concept of the transfer function is the
fact that, in Laplace transform, there is a simple relationship between the Laplace
transform of the output function Y(s) and the Laplace transform of the input function
U(s). This relationship is represented by the product:
Y(s) = H(s) ⋅ U(s). (2.83)

The fact that the Laplace transform of the output is equal to the Laplace transform of
the input multiplied by the transfer function Y(s) = H(s)U(s) is a more natural way
of representing the cause-effect relationship (compared to the one represented by the
differential equation or convolution). Regarded from this point of view, it may be con-
sidered that the output, as the effect of the input, depends on the product between the
input U(s) and the function that cumulates all characteristics of the system, i.e. H(s).
Therefore, in a more explicit way, the output is the unity of the two factors influenc-
ing it: the input and the specific characteristics of the system. At the same time, the
product operation is a simpler and intuitive way for the mathematical formulation of
the input-output relationship, compared to the formulation based on convolution.
(2) Another important consequence (in applications) for the introduction of the
transfer function concept is the fact that equation (2.83) represents a product between
two polynomials in the independent variable s. From a mathematical point of view, it is
more comfortable to operate with the polynomials’ algebra than to use the integration
or differentiation operators [16].
(3) Knowing the transfer function H(s) and the Laplace transform of the input
signal U(s) it is rather simple to determine the output signal in the time domain y(t),
by the use of the inverse Laplace transform applied to the equation (2.83).
y(t) = L−1 (Y(s)) = L−1 (H(s) ⋅ U(s)). (2.84)
According to this consequence it is possible to find the time response of the system
without the direct solving of the differential or integral equations.
(4) There is a simple and direct relationship between the transfer function H(s)
and the frequency response function hω (ω ).
If the region of existence Eh for the transfer function H(s) contains the imaginary
axis it may be shown that between the frequency response of the system and the trans-
fer function there is the simple relationship
hω (ω ) = H(jω ), ω ∈ R. (2.85)
(5) A simple algebra of the simulation diagrams allows the calculation of the equiv-
alent transfer function of a system composed of several subsystems having known
transfer functions.
2.29 Use of Laplace transform for describing systems

represented by input-output relationships
The one-sided Laplace transform is appropriate for determining the response of the
linear time-invariant systems described by input-output relationships, starting from
nonzero initial conditions [14].
Consider the linear time-invariant system described by the differential equation
(2.28), where the qn and pm coefficients are nonzero. It is assumed that the function
u(t) is known on the time interval t ≥ 0 and also known are the initial conditions y(0− ),
y(1) (0− ), . . . , y(n−1) (0− ).
Applying the one-sided Laplace transform to the equation (2.28) and accounting
for the differentiation (with respect to time) property and linearity of the one-sided
Laplace transform, the successive expressions are obtained:
dn y dn−1 y dy
L+ (qn ⋅ n
) + L+ (qn−1 ⋅ n−1 ) + ⋅ ⋅ ⋅ + L+ (q1 ⋅ ) + L+ (q0 ⋅ y)
dt dt dt
dm u dm−1 u du
= L+ (pm ⋅ ) + L+ (pm−1 ⋅ ) + ⋅ ⋅ ⋅ + L+ (p1 ⋅ ) + L+ (p0 ⋅ u) ,
dtm dtm−1 dt
n−1 n−2
qn [sn ⋅ Y+ (s) − ∑ sn−i−1 ⋅ y(i) (0− )] + qn−1 [sn−1 ⋅ Y+ (s) − ∑ sn−i−2 ⋅ y(i) (0− )]
i=0 i=0
−
+ ⋅ ⋅ ⋅ + q1 [s ⋅ Y+ (s) − y(0 )] + q0 ⋅ Y+ (s)
m−1 m−2
= pm [sm ⋅ U+ (s) − ∑ sm−i−1 ⋅ u(i) (0− )] + pm−1 [sm−1 ⋅ U+ (s) − ∑ sm−i−2 ⋅ u(i) (0− )]
i=0 i=0
−
+ ⋅ ⋅ ⋅ + p1 [s ⋅ U+ (s) − u(0 )] + p0 ⋅ U+ (s) . (2.86)
Using the notation B(s) for the polynomial containing all terms having involved val-
ues of the initial conditions of the output function y(i) (0− ), i = 0, 1, . . . , n − 1 and the
notation A(s) for the polynomial containing all terms having initial conditions of the
input function u(i) (0− ), i = 0, 1, . . . , m − 1, the following equation is obtained:
Y+ (s) ⋅ Q(s) + B(s) = U+ (s) ⋅ P(s) + A(s). (2.87)
Using the notation C(s) = A(s) − B(s), the compact form of the one-sided Laplace
transform of the output, Y+ (s), is obtained:
P(s) A(s) − B(s) C(s)

Y+ (s) = U (s) + = H+ (s) ⋅ U+ (s) + . (2.88)
Q(s) + Q(s) Q(s)
For zero initial conditions, simpler forms of the response may be obtained.
The time response of the system having nonzero initial conditions y(t) is obtained
by applying the inverse Laplace transform to equation (2.88).
In order to determine the inverse Laplace transform, the partial fraction expan-
sion is used and this is followed by the determination of the originals (Tab. 2.2).
2.30 Use of Laplace transform for describing systems

represented by input-state-output relationships
If x(t) = [x1 (t) x2 (t) ⋅ ⋅ ⋅ xn (t)]T is a vector composed of scalar and time-dependent sig-
nals xi (t), the one-sided or two-sided Laplace transform of the vector function x(t) is
the vector X(s) = [X1 (s) X2 (s) ⋅ ⋅ ⋅ Xn (t)]T having as components the Laplace transforms
Xi (s) of the signals xi (t), for i = 1, 2, . . . , n. The region of existence E of the Laplace
transform X(s) is the intersection of the existence regions Ei for the components Xi (s),
i = 1, 2, . . . , n.
The properties of the one-sided Laplace transform may be extended to the case of
the vector function. In particular, the linearity property makes that the one-sided or
two-sided Laplace transform of a linear combination of vectors A ⋅ x(t) + B ⋅ y(t) (with A
and B constant matrices) is A⋅X(s)+B⋅Y(s), in the region of existence Ex ∩Ey . The one-
sided Laplace transform of the time differentiated vector signal x󸀠 (t) is sX + (s) − x(0− ),
in the region of existence s ∈ E+ . In the following, the notation “+” associated to the
one-sided Laplace transform will be dropped and the MIMO case (k inputs, m outputs
and n states) will be mainly considered.
Consider the MIMO linear time-invariant system described by the input-state-
output relationships:
x(t)
̇ = A ⋅ x(t) + B ⋅ u(t) (2.89)
−
y(t) = C ⋅ x(t) + D ⋅ u(t) t ∈ [0 , +∞]. (2.90)
Applying the Laplace transform to the equations (2.89) and (2.90), the following equa-
tions are obtained:
s ⋅ X(s) − x(0− ) = A ⋅ X(s) + B ⋅ U(s) (2.91)

Y(s) = C ⋅ X(s) + D ⋅ U(s), s ∈ E. (2.92)
Equation (2.91) may be solved with respect to X(s):
X(s) = (s ⋅ I − A)−1 ⋅ x(0− ) + (s ⋅ I − A)−1 ⋅ B ⋅ U(s), (2.93)
where the I matrix is the unity matrix with the same dimension as the A matrix.
After replacing the expression (2.93) in the equation (2.92), the output equation
becomes
Y(s) = C ⋅ (s ⋅ I − A)−1 ⋅ x(0− ) + [C ⋅ (s ⋅ I − A)−1 ⋅ B + D(s)] ⋅ U(s). (2.94)
The state equation (2.93) and the output equation (2.94) represent the Laplace trans-
form of the input-state-output relationship.
For zero input u(t) = 0 the Laplace transform is also zero U(s) = 0 and the equa-
tion becomes
X(s) = (s ⋅ I − A)−1 ⋅ x(0− ). (2.95)
The transition matrix Φ (t, t0 ) satisfies the equality
x(t) = Φ (t, t0 ) ⋅ x(t0 ), Φ (t, t0 ) = eA(t−t0 ) , (2.96)
and, for t0 = 0, the equality is also satisfied:
x(t) = Φ (t)x(0), Φ (t) = eAt , t ∈ [0, +∞). (2.97)

If the Laplace transform is applied to the equation (2.96), the following equation is
obtained:
X(s) = Φ (s)x(t0 ). (2.98)
Comparing equations (2.95) and (2.98) the following definition may be formulated.
Definition. The (element by element) one-sided Laplace transform of the transition

matrix Φ (t) = eAt ⋅ u0 (t), t ∈ [0, +∞) is the matrix (s ⋅ I − A)−1 , s ∈ E0 . The region of
existence E0 is defined by
E0 = {s ∈ C|Re(s) > max Re(λi )}, (2.99)
where λi are the eigenvalues of the matrix A.

The presented considerations represent the simple method for determining the
transition matrix Φ (t, t0 ).
2.31 The transfer matrix
The transfer matrix is the MIMO case generalization of the SISO case transfer func-
tion [1].
Consider the system described by the state equation (2.89) and the output equa-
tion (2.90); the system is represented by input-state-output relationships having zero
initial conditions x(0) = 0. The Laplace transform of the system response Y(s), starting
from zero initial conditions, may be obtained from equation (2.94) and accounting for
the zero initial conditions:
Y(s) = [C ⋅ (s ⋅ I − A)−1 ⋅ B + D] ⋅ U(s). (2.100)
It may be noticed that equation (2.100) is of the form Y(s) = H(s) ⋅ U(s), where H(s) is
the transfer matrix and is equal to:
adj (s ⋅ I − A)
H(s) = C ⋅ (s ⋅ I − A)−1 ⋅ B + D = C B + D. (2.101)
det (s ⋅ I − A)
Existence of the relationship Y(s) = H(s) ⋅ U(s) is provided in the region of existence
E = E0 ∩ E u .
The transfer matrix is the element by element one-sided or two-sided Laplace
transform, of the impulse response matrix:
H(s) = L(h(t)) = L(C ⋅ eAt ⋅ B ⋅ u0 (t) + D ⋅ δ (t)). (2.102)
Similar to the SISO case, it may be shown that the frequency response matrix hω (ω )
may be directly determined from the transfer matrix H(s) by the replacement of the s
variable with the (jω ) product:
󵄨
hω (ω ) = H(s) 󵄨󵄨󵄨󵄨s=jω = H(jω ), ω ∈ R. (2.103)
This relationship is possible if the region of existence for the transfer matrix E0 in-
cludes the imaginary axis.
The transfer matrix is m × k dimensional for the MIMO case and becomes a scalar
for the SISO case. The sense of the Hij element of the transfer matrix is the following:
for the inlet vector u having all components equal to zero, excepting the j-th compo-
nent that is an exponential signal uj = aj ⋅ est , the response of the i-th component of
the output vector yi (t) is equal to the Hij element of the transfer matrix multiplied by
the j-th component of the inlet vector, i.e. yi (t) = Hij ⋅ uj = Hij aj ⋅ est .
2.32 Bode diagrams
Bode diagrams are graphical representations of the frequency response hω (ω ) func-

tion [1, 15]. As mentioned previously, the frequency response is a complex function
that may be determined from the transfer function simply by replacing the variable
s with s = jω and getting hω (ω ) = H(jω ). The Bode diagram is a pair of graphical
representations. One shows the magnitude (module) of the frequency response func-
tion |hω (ω )| = |H(jω )| and the other shows the phase (argument) of the frequency
response function arg(hω (ω )) = arg(H(jω )), as they change with respect to the fre-
quency ω considered with logarithmic scale lg(ω ) [17]. For the phase (argument) the
notation φ ((hω (ω )) = φ (H(jω )) = arg(H(jω )) is also used.
The Bode diagram of magnitude commonly uses the decibel dB unit for module.
The magnitude in decibel units is defined by
|H(jω )|dB = 20 lg |H(jω )|. (2.104)
The Bode diagram of phase usually uses the radian unit (the degree unit may be also
used).
The magnitude and phase Bode diagrams are usually placed one below another,
thus having the same logarithmically spaced abscissa lg(ω ), as presented in Fig. 2.15.
This positioning allows the correlation between values of the magnitude and the
phase at the same frequency lg(ω ) .
Due to the decibel unit, the values of the magnitude situated above the abscissa
axis correspond to modules having values higher than unity (amplification) and the
values of the magnitude situated below the abscissa axis correspond to values of mag-
nitude less than unity (attenuation). Values of the phase above the abscissa axis cor-
respond to positive phase (leading phase) and value below the abscissa axis corre-
sponds to negative phase (phase lag).
The logarithmically spaced frequency allows the representation of the Bode mag-
nitude and phase with a good resolution both for very low and for very high frequency
values.
Bode diagrams representation of the frequency response usually starts with fac-
torization of the frequency response function H(jω ) and its transformation into the
|H(j·ω)|dB
20 Amplification
10
lg(ω)
−4 −3 −2 −1
−10
Attenuation
−20
φ(H(j·ω))
π Leading phase
π/2
lg(ω)
−π/2 −4 −3 −2 −1
Phase lag Fig. 2.15. Form and axis significance of the
−π
Bode diagrams of magnitude and phase.
general form
nm nl
2ξl
K ⋅ ∏ (1 + jω Tm ) ⋅ ∏ [ ω12 (jω )2 + ωl
(jω ) + 1]
m=1 l=1 l
H(jω ) = ni nk
, (2.105)
2ξk
(jω )p ⋅ ∏ (1 + jω Ti ) ⋅ ∏ [ ω12 (jω )2 + ωk
(jω ) + 1]
i=1 k=1 k
where K, Ti , Tm , ωk , ωl , ζk , and ζl have real constant values. It may be noticed that bi-
nomials correspond to real zeros and poles. Trinomials correspond to complex conju-
gated poles or zeros, for ζk , ζl < 1, and to real and identical zeros or poles, for ζk , ζl = 1.
The factor (jω )p corresponds to a pole situated in the origin and has the multiplicity
order of p.
In the following, the Bode diagrams of the magnitude and phase will be presented
for each factor of the frequency response function presented in equation (2.105).
(1) The first considered factor is H1 (jω ) = K/(jω )p , with the Bode magnitude:
K
|H1 (jω )|dB = 20 lg = 20 lg K − 20 lg ω p = 20 lg K − 20p lg ω . (2.106)
ωp
Representation of the Bode magnitude for this factor is a straight line having the neg-
ative slope of −20p dB/decade. The decade is a distance on the abscissa between two
frequencies having the 1 : 10 ratio. The family of lines, having p as parameter, have
a common (fixed) point of coordinates (1, K dB ) and intersect the abscissa axis at the
point lg(ω ) = lg(K 1/p ). The Bode diagram of magnitude for this factor is presented in
Fig. 2.16.
The phase of this factor is
π
φ (H1 (jω )) = −p . (2.107)
2
It is represented by a family of straight lines parallel to the abscissa axis and having
the parameter p (independent of ω ). They are represented in Fig. 2.17.
|H1|dB Bode diagram of magnitude for the factor H1

200
100
p=0
20lg(K) 0 p=1
p=2
−100 p=3
−200 lg(ω)
−2 −1 0 1 2 3
Frequency [log(rad/s)]
Fig. 2.16. Bode diagram of the magnitude for the frequency response function H1 (j ⋅ ω ) = K/(jω )p ,
with p = 0, p = 1, p = 2 and p = 3.
φ(H1) Bode diagram of phase for the factor H1

[rad] −1
p=1
−π/2
−2
p=2
−π −3
−4
−3π/2 p=3
−5 lg(ω)
−2 −1 0 1 2 3
Fig. 2.17. Bode diagram of the phase for the frequency response function H1 (j ⋅ ω ) = K/(jω )p , with
p = 1, p = 2 and p = 3.
(2) The second considered factor is H2 (jω ) = 1/(1 + jω Ti ), having the Bode mag-
nitude determined as follows:
1 1 − jω ⋅ Ti 1 ω ⋅ Ti
H2 (jω ) = = 2
= 2
−j
2
1 + jω ⋅ Ti 1 + ω ⋅ Ti 2
1 + ω ⋅ Ti 1 + ω 2 ⋅ Ti2
2 2
1 ω ⋅ Ti 1
|H2 (jω )| = √ ( 2 2
) +( 2 2
) = (2.108)
1 + ω ⋅ Ti 1 + ω ⋅ Ti √1 + ω 2 ⋅ Ti2
1
|H2 (jω )|dB = 20 lg = −10 lg(1 + ω 2 ⋅ Ti2 ).
2
√1 + ω ⋅ Ti 2
Representation of the Bode diagram of magnitude |H2 (jω )|dB is performed taking into
account the asymptotes at the frequency extremities (frequency approaching zero and
infinity values). The frequency domain is split in two regions, separated by the fre-
quency value ω = 1/Ti denoted as the corner frequency.
For the frequency values such as ω < 1/Ti , it is implied that ω 2 ≪ (1/Ti )2 and
consequently, ω 2 Ti2 ≪ 1. As a result, the value of the Bode magnitude becomes
|H2 (jω )|dB = −10 lg(1 + ω 2 ⋅ Ti2 ) ≈ −10 lg 1 = 0dB , (2.109)

where the term ω 2 Ti2 has been neglected with respect to 1. This form of the Bode mag-
nitude |H2 (jω )|dB is leading to a straight line graphical representation (named the low
frequency asymptote). This asymptote may be approximated as being identical to the
abscissa axis up to the corner frequency ω < 1/Ti .
For the frequency values such as ω > 1/Ti , it is implied that ω 2 ≫ (1/Ti )2 and
consequently, ω 2 Ti2 > 1. As a result, the value of the Bode magnitude becomes
|H2 (jω )|dB = −10 lg(1 + ω 2 ⋅ Ti2 ) ≈ −10 lg(ω 2 ⋅ Ti2 ) = −20 lg ω − 20 lg Ti , (2.110)
where the term 1 has been neglected with respect to ω 2 Ti2 . This form of the Bode mag-
nitude |H2 (jω )|dB leads to a straight line graphical representation (named the high
frequency asymptote), having a negative slope of −20 dB/dec for ω > 1/Ti .
The two asymptotes intersect on the abscissa, at the corner frequency ω = 1/Ti .
The exact value of the Bode magnitude at the corner frequency is
|H2 (jω )| dB
ω= 1
= −10 lg 2 = −3dB . (2.111)
Ti
The value of −3dB corresponds to the value of |H2 (jω )| = 0.707. This is considered an
acceptable deviation from the exact value when considering the case of the approxi-
mate asymptotic representation.
Bode diagram of magnitude for the factor H2(jω)

|H2|dB
0
−20
Asymptotes
−40
−60
−80 lg(ω)
−2 −1 lg(1/Ti ) 0 1 2 3
Fig. 2.18. Bode diagram of magnitude for the frequency response function H2 (j ⋅ ω ) = 1/(Ti ⋅ jω + 1).
The Bode representation of the magnitude |H2 ( jω )|dB is shown in Fig. 2.18, where the
dashed line has been used for representing the exact value of the magnitude and the
plain line for the asymptote-based representation.
The phase of the factor H2 ( jω ) is
ω ⋅ Ti
−
1 + ω 2 ⋅ Ti2
φ (H2 (jω )) = tan−1 = tan−1 (−ω Ti ) = − tan−1 (ω Ti ). (2.112)
1
1 + ω 2 ⋅ Ti2
The Bode diagram representation of the phase φ (H2 ( jω )) is presented in Fig. 2.19.
φ(H2) Bode diagram of phase for the factor H2(jω)

[rad] 0
−0.5
−π/4
−1
−1.5
−π/2
−2 lg(ω)
−2 −1 lg(1/Ti ) 0 1 2 3
Fig. 2.19. Bode diagram of phase for the frequency response function H2 (j ⋅ ω ) = 1/(Ti ⋅ jω + 1).
It should be noted that the Bode diagram of phase has an inflexion point at lg ω =
lg 1/T i .
(3) The factor of the form H3 ( jω ) = 1 + jω Tm has the magnitude and phase repre-
sentation similar to those of the factor H2 (jω ) but with changed sign of the magnitude
(in dB units) and phase (symmetry with respect to abscissa). The corner frequency is
the same ω = 1/Tm . This factor is represented in the Bode diagrams of magnitude and
phase shown in Fig. 2.20 and Fig. 2.21.
Bode diagram of magnitude for the factor H3 (jω)

|H3|dB
80
60 +20 dB/dec
40
Asymptotes
20 Fig. 2.20. Bode dia-
gram of magnitude
0 lg(ω)
−2 −1 lg (1/Tm ) 0 1 2 3 for the frequency
response function
H3 (jω ) = (Tm ⋅ jω + 1).

[rad] 2
π/2
1.5
1
π/4
0.5 Fig. 2.21. Bode di-
lg(ω) agram of phase
0
−2 −1 lg(1/Tm ) 0 1 2 3 for the function
Frequency [log(rad/s)] H3 (j ⋅ω ) = (Tm ⋅jω +1).
(4) The factor of the form H4 (jω ) = 1/[(jω )2 ⋅ 1/ωk2 + (jω ) ⋅ 2ζk /ωk + 1] has the Bode
magnitude determined as follows:
ω 2 2ξk
1−( ) − (jω )
1 ωk ωk
H4 (jω ) = = 2
(2.113)
1 2 2ξk ω2 4ξ 2
2
(jω ) + (jω ) + 1 (1 − ) + 2k ω 2
ωk ωk 2
ωk ωk
2
1 ω2 4ξk2 2
|H4 (jω )|dB = 20 lg = −10 lg [(1 − ) + ω ] . (2.114)
2 ωk2 ωk2
ω2 4ξk2 2
√ (1 − ) + ω
ωk2 ωk2
Representation of the Bode magnitude |H4 (jω )|dB is performed taking into account the
existence of asymptotes for the extremities of the frequency interval. The frequency
domain is divided in two regions separated by the corner frequency ω = ωk .
For the frequency values such as ω < ωk , it is implied that ω 2 ≪ ωk2 and conse-
quently, ω 2 /ωk2 < 1. As a result, the value of the Bode magnitude |H4 (jω )|dB becomes
|H4 (jω )|dB ≈ −10 lg 1 = 0dB , (2.115)
where the terms ω 2 /ωk2 and 4ζk2 ω 2 /ωk2 have been neglected with respect to 1 (ζk ≤ 1).
For the frequency values such as ω > ωk , it is implied that ω 2 ≫ ωk2 and con-
sequently, the highest term from the logarithm’s argument is ω 4 /ωk4 (the rest are ne-
glected) and the value of the Bode magnitude |H4 (jω )|dB becomes:
2
ω2 ω
|H4 (jω )| = −10 lg ( ) = −40 lg = −40 lg ω − 40 lg ωk . (2.116)
ωk2 ωk
This form of the Bode magnitude |H4 (jω )|dB leads to a straight line representation
(named high frequency asymptote) with the negative slope of −40 dB/dec for ω > ωk .
The exact value of the Bode magnitude at the frequency corner is
󵄨󵄨
|H4 (jω )| 󵄨󵄨󵄨ω =ω = −10 lg (4ξk2 ) = −20 lg(2ξk ). (2.117)
󵄨 k
The magnitude depends on the damping factor ζk . For damping factors of the values
usually encountered in practice, i.e. ζk > 0.7, the differences between the approxi-
mate representation using asymptotes and the exact one are relatively small. But for
damping factor ζk > 0.4 the differences increase. For the value ζk = 0 a discontinuity
appears at ω = ωk . This value corresponds to the resonance (resonance frequency of
the system). For ζk = 1 the two roots of the trinomial are real and equal being there-
fore equivalent to the product of two binomials. The Bode diagram of magnitude is
presented in Fig. 2.22.
Bode diagram of magnitude for the factor H4(jω)

|H4|dB
ξk=0
20 ξk=0.1
ξk=0.7
0
Asymptotes
−20
−40
−60 lg(ω)
−1 −0.5 0 0.5 lg(ωk ) 1 1.5 2 2.5
Fig. 2.22. Bode diagram of magnitude for the frequency response function H4 (j ⋅ ω).
The phase of the factor H4 (jω ) is
2ξk 2ξ
− ωk − k ωk
φ (H4 (jω )) = tan −1
( ω ) = − tan −1 ω . (2.118)
ω2 ω2
1− 2 1− 2
ωk ωk
The Bode diagram of phase φ (H4 (jω )) is presented in Fig. 2.23.

[rad] 0
−1 ξk=0.7
−π/2 ξk=0.1
−2 ξk=0
−3
−π
−4 lg(ω)
−1 −0.5 0 0.5 lg(ωk ) 1 1.5 2 2.5
Fig. 2.23. Bode diagram of phase for the frequency response function H4 (j ⋅ ω).
(5) The factor of the form H5 (jω ) = [(jω )2 ⋅1/ωl2 +(jω )⋅2ζl /ωl +1] has the magnitude
and phase representations similar to those of the factor H4 (jω ) but with changed sign
of the magnitude (in dB units) and phase (symmetry with respect to abscissa). The
corner frequency is equal to ω = ωl . This factor is represented in the Bode diagrams
of magnitude and phase shown in Fig. 2.24 and Fig. 2.25.
|H5|dB Bode diagram of magnitude for the factor H5(jω)

60
40
ξl=0.7
20 ξl=0.1
ξl=0
0
Asymptotes
−20
lg(ω)
−1 −0.5 0 0.5 lg(ωl ) 1 1.5 2 2.5
Fig. 2.24. Bode diagram of magnitude for the frequency response function H5 (j ⋅ ω).
Bode diagram of phase for the factor H5(jω)

φ(H5)
4
[rad]
π 3
ξl=0.7
2
π/2 ξl=0.1
1 ξl=0
0 lg(ω)
−1 −0.5 0 0.5 lg(ωl ) 1 1.5 2 2.5
Fig. 2.25. Bode diagram of phase for the frequency response function H5 (j ⋅ ω).
Starting from the transfer function of the system, the steps for performing the Bode
diagram representation of the frequency response function using asymptotes are:
1. building the frequency response function from the transfer function by replacing
the Laplace variable s with s = jω ;
2. bringing the frequency response function H(jω ) to the factorized form presented
in equation (2.105);
3. representing each factor of H(jω ) (with its magnitude and its phase) on the same
Bode diagram for the magnitude and on the same Bode diagram for the phase of
the function H(jω );
4. obtaining the Bode diagram of magnitude and phase of the function H(jω ) by
performing a graphical summation of the individual representations, both for the
Bode diagram of magnitude and for the Bode diagram of phase.
In particular cases, especially when the frequency domain is not very large, the
Bode diagrams for the magnitude (module) of the frequency response function
|hω (ω )| = |H(jω )| may be represented without the use of a logarithmic scale (dB)
on the y-coordinate. As an example, Fig. 2.26 shows the Bode diagram without the
logarithmic scale, for the magnitude of the factor H4 (jω ) previously presented with dB
|H4(jω)| Bode diagram of phase for the factor H4(jω)

1.5
0.5
0 lg(ω)
−2 −1.5 −1 −0.5 0 0.5 1 1.5 2 2.5 3
Fig. 2.26. Bode diagram of magnitude for the frequency response function H4 (j ⋅ ω), with no logarith-
mic scale on the y-coordinate.
units in Fig. 2.22 (for ζk > 0.7). The present book will use both of these two equivalent
Bode diagrams representations.
2.33 Nyquist diagrams
Nyquist diagrams are also used for the graphical representation of the frequency re-
sponse hω (ω ) = H(jω ) function [9]. The Nyquist plot has on the x-coordinate the real
component of the frequency response, Re[H(jω )], and on the y-coordinate the imagi-
nary component of the frequency response, Im[H(jω )]. Typical Nyquist plots are pre-
sented in Fig. 2.27. They show the Nyquist diagrams for the first order (plot 1), second
order (plot 2) and third order (plot 3) systems.
On the plot, the Nyquist diagram has a starting point, corresponding to the low-
est value of the considered frequency interval and a final point corresponding to the
highest value of the frequency interval of interest. An arrow usually shows the sense
of growing frequency along the plot. Each point of the plot corresponds to a partic-
ular frequency value within the frequency interval. As presented in Fig. 2.27, for the
generic ω ∗ value of the frequency it corresponds to one point on the plot. The length
of the vector connecting the origin of the coordinate system with the particular point
on the plot is equal to the magnitude (module) of the frequency response function
|hω (ω ∗ )| = |H(jω ∗ )|, as |H(jω ∗ )| = [(Re[H(jω ∗ )])2 + (Im[H(jω ∗ )])2 ]1/2 . The angle
this vector makes with respect to the x-coordinate φ (ω ∗ ) is equal to the phase (ar-
gument) of the frequency response function φ (ω ∗ ) = φ ((hω (ω ∗ )) = φ (H(jω ∗ )), as
φ (H(jω ∗ )) = tan−1 (Im[H(jω ∗ )]/Re[H(jω ∗ )]).
Between the form of the plot and its position on the graph, on one side, and the
dynamic behavior of the system, on the other side, there is a close relationship that
reveals patterns of frequency response of the systems. The Nyquist diagrams are equiv-
alent to the Bode diagrams.
Imaginary axis
Im [H(jω)] Nyquist diagram
1
0.8
0.6
0.4
0.2
ω=∞ ω=0
0
φ(H(jω*))
−0.2
−0.4 3 2 1
−0.6 |H(jω*)|
−0.8
ω*
−1
−1 −0.8 −0.6 −0.4 −0.2 0 0.2 0.4 0.6 0.8 1
Real axis
Re [H(jω)]
Fig. 2.27. Typical Nyquist diagrams of the frequency response for first (1), second (2) and third (3)
order systems.
2.34 Problems
(1) Please specify the delimitation and the most representative input, state and output
variables of the following systems:
(a) the natural gas transportation pipe, between the extraction site and an industrial
user, investigated for the purpose of natural gas pressure loss reduction;
(b) the air conditioning (heating and cooling) of a concert hall, investigated for the
purpose of minimizing the energy consumption by temperature optimization;
(c) the cell of a bacteria, investigated for the purpose of enhancing its living condi-
tions and increasing its lifetime;
(d) the operating personnel of the offshore oil-gas platform, investigated for the pur-
pose of maximizing their contribution to the efficient and safe operation of the
unit;
(e) the market of sulfuric acid consumers, investigated for the purpose of improving
the management of the production in an industrial plant.
(2) Classify the systems discussed in the previous problem, form the following cate-
gorizing criteria: dynamic and static, with lumped and distributed parameters; deter-
ministic and stochastic, linear and nonlinear.
(3) Consider an instantaneous discharge of a pollutant mass M at a given point of a

river channel. Which of the elementary signals would best describe the time and point
(space) mass discharge?
(4) Make the graphical representation of the following signals: u0 (t) ⋅ v0 (t), u0 (t − t0 ) ⋅
sin(ω t) and u0 (t − t0 ) ⋅ e−10t .
(5) Consider the system described in Example 2.2. Is this system linear or nonlinear?
Prove your answer.
(6) Consider a system described by the following input-output relationship:

dy(t)
T + y(t) = K u(t), (2.119)
dt
where T and K are constant.
(a) If the input signal is described by u(t) = u0 (t) and the initial value of the output is
y(0)= y0 , compute and plot the response of the system y(t) for t ∈ [0, ∞].
(b) If the input signal is described by u(t) = u0 (t−t0 ) and the initial value of the output
is y(t0 ) = y0 , compute the response of the system y(t) for t ∈ [t0 , ∞].
(c) If the input signal is described by u(t) = δ (t −t0 ) and the initial value of the output
is y(t0 ) = 0, compute the response of the system y(t) for t ∈ [t0 , ∞].
(7) Let h1 (t), h2 (t), and h3 (t) be the impulse response of the three systems connected
in series. What is the impulse response h(t) of the whole system (i.e. between the input
of the first system and the output of the last one)?
(8) Consider the system presented in Fig. 2.28, consisting in the process of liquid ac-
cumulation in series of two tanks. The two vessels operate at atmospheric pressure.
Based on the mass balance of liquid in each of the tanks, the first order differential
equations may be obtained:
dH1
T1 + H1 = k1 ⋅ Fvi (2.120)
dt
dH2
T2 + H2 = k2 ⋅ Fv1 (2.121)
dt
where T1 , T2 , k1 and k2 have constant values.
Furthermore, the second order differential equation describing the relationship
between the level in the second tank and the flow rate entering the first tank is:
d2 H2 dH
T1 T2 + (T1 + T2 ) 2 + H2 = k2 ⋅ Fvi . (2.122)
dt2 dt
(a) Compute the general solution of equation (2.122), taking into account the constant
initial conditions H2 (0) = a and (dH2 /dt)(0) = b.
Fvi
H1
Fv1
R1
H2
Fv2
R2
Fig. 2.28. Liquid accumulations in a series of two tanks.
(b) Verify whether the system is BIBO stable.
(9) Consider the system consisting in a U shaped tube partially filled with liquid of
density ρ , as presented Fig. 2.29. The branches of the tube are cylindrical and of equal
cross-section S.
p1 p2
h
S
Fig. 2.29. Oscillating behavior of the liquid level in the U tube.
When a differential pressure Δp = p1 −p2 is suddenly (step shaped) applied on the two
branches of the U tube, the liquid level in the two branches will change, according to
the simplified equation (momentum balance):
λ ⋅L dh d2 h
p1 ⋅ S − p2 ⋅ S − ρ ⋅ g ⋅ (2 ⋅ h) ⋅ S − ⋅S⋅ρ ⋅ =ρ ⋅S⋅L⋅ 2 (2.123)
D dt dt
where: λ is the friction coefficient, L is the length of the column occupied by the liquid
in the U tube, and D is the U tube diameter (cross-section area of the tube S = π D2 /4).
(a) Compute the general solution of equation (2.123), taking into account the constant
initial conditions h(0) = 0 and (dh/dt)(0) = 0.
(b) Verify whether the system is BIBO stable.
(10) Describe the system presented in Fig. 2.29 by the input-state-output representa-
tion, choosing the state variables as phase variables.
(11) Consider the transfer function of a dynamic system given by
0.5 e−10s (s + 1)
H(s) = (2.124)
(2s + 1)(3s + 1) .
Plot the Bode diagrams of module and phase of the frequency response function of
the system. The pure time delay and the time constants are considered in seconds as
the time unit.
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2002.
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[3] Zadeh, L. A., Polak, E. System Theory, McGraw-Hill, New York, 1969.
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lui Politehnic, 1989.
[5] Marquardt, W., Modellbildung und Simulation verfahrenstechnischer Prozesse, Vorlesungs-
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Engineering 20, Published in Computer Aided Chemical Engineering, pp. 985–991, Ischia,
2010.
[8] Şerban, S., Şerbu, T., Corâci, I. C., Teoria Sistemelor, Bucureşti, Editura Matrix Rom, 2000.
[9] Stephanopoulos, G., Chemical Process Control. An Introduction to Theory and Practice, Engle-
wood Cliffs, New Jersey 07632, Prentice Hall, 1984.
[10] Rolhing H., Systemtheorie II. Vorlesungsmanuskript, Hamburg Teschnische Universität, 1998.
[11] Cruz, R. L., Linear Systems Fundamentals. Lecture Supplement. San Diego, University of Cali-
fornia, 1999.
[12] Ubenhauen, R., Systemtheorie. Grundlagen für Ingineure, München Wien, Oldenbourg Verlag,
1990.
[13] Oppenheim, A. V., Willsky, A. S., Nawab, S. H., Nawad, H., Signal and Systems, Prentice Hall,
1996.
[14] Kwakernaak, H., Sivan, R., Strijbos, R. C. W., Modern Signals and Systems, Englewood Cliffs,
New Jersey 07632, Prentice Hall, 1991.
[15] Hăngănuţ, M., Teoria Sistemelor, Cluj-Napoca, Universitatea Tehnică, 1996.

[16] Cristea, V. M., Agachi, S. P., Reglarea evoluată a reactorului de carbonatare din instalaţia de
producere a sodei amoniacale, Revista Română de Informatică şi Automatică, 7(4), (1997),
45–51.
[17] Mihoc, D., Ceaprău, M., Iliescu, S. St., Bornagiu, I., Teoria şi elementele sistemelor de reglare
automată, Bucureşti, Editura Didactică şi Pedagogică, 1980.
3 Mathematical modeling
The mathematical model of a process represents the mathematical relationship be-
tween the output variables and the input and state variables.
Generally, the mathematical model is the relationship
y(t) = f (t; x(t), u(t)), (2.12)
where u(t) and y(t) are the input and output vectors respectively, x(t)−t the state vector
and wherever there is the discussion of the dynamic behavior, the variable (time) is
present.
Fag , T°iag
F, T°i F, T°
Fag , T°ag
(a)
T°i
T°ag
F Heat transfer process T°
T°ext
Fag
Fig. 3.1. Heat transfer process in a heat ex-
(b) changer.
In the case of the process from Fig. 3.1, the mathematical model is an expression in its
most general form
T ∘ = f (Ti∘ , F, Fag , Ti∘ag , Text
∘ , t) , (3.1)
T ∘ is the output temperature, Ti∘ the input temperature of the fluid, F fluid flow, Fag
heating agent flow, Ti∘ag heating agent input temperature, Text
∘ temperature of the en-
vironment.
If the model describes the steady state, t is missing, the equation being an al-
gebraic one. If the model describes the dynamic state, equation (3.1) is a differential
one in a form similar to the differential equation (2.8). In case the process has sev-
eral output variables, the model takes the form of a system of algebraic or differential
equations or combined.
The models can be theoretical, analytical ones, also denoted as mechanistic or
first principle models, based on the conservation, thermodynamic and kinetic equa-
tions; or empirical ones in the form of mathematical regressions, based on experi-
mental values, processed statistically, based on artificial neural networks. For more
complex processes, the models are combined containing both analytical and empiri-
cal parts. It is extremely important for a model to be correctly determined and solvable
that
1. the number of equations is equal with the number of variables;
2. all terms of the model are dimensionally consistent, that is, expressed in the same
measurement unit system (e.g. SI (Système International d’Unités)).
The use of mathematical models is extended from the activities of design and opera-
tion to those of simulation and control.
The simulation is the representation of the reality based on the results from run-
ning a mathematical model of that reality. The process simulators can be used either
for training the personnel in a plant, for designing the plant or its control system.
3.1 Analytical models
Analytical models express most clearly the interdependence of the parameters of the
process.
The procedure of writing and solving a model is the following:
1. Elaborate a clear and correct flow sheet or drawing of the process described; if the
process is too complex, divide it in lower complexity modules.
2. Identify all variables in the process and understand the correlation cause-effect
between them: first inside the modules and second between the modules.
3. Elaborate the lists of variables and constants: output variables, input variables,
design and construction parameters, thermodynamic and kinetic constants.
4. Elaborate the list with simplifying hypotheses.
5. Write the equations of the model if possible in the “natural” sequence of the devel-
opment of the process; ensure that all unknowns in the equations are expressed
in new “secondary” equations.
6. Solve the system of equations and interpret the results.
3.1.1 The conservation laws
There are three fundamental conservation laws which are used in the mathematical
modeling: mass, energy and momentum conservation laws. To be able to describe ap-
propriately the processes, one has to add as tools of modeling the basic thermodynam-
ics and kinetics laws [1–3].
It is important to define the nature of the systems from the point of view of the dis-
tribution of the parameters inside them: there are lumped parameter systems (where
all parameters have the same value regardless of their measurement point) and dis-
tributed parameter systems (where the value of the parameter depends on its point of
measurement) (see Chapter 2).
Mass conservation law

The mass conservation law expresses the accumulation either of the total mass in a
system (total mass conservation law) (equation (3.2)), or the composition variation
inside the system (mass of components conservation law) (equation (3.3)).
rate of mass
{mass input flow} − {mass output flow} = { }, (3.2)
accumulation
component i molar component i molar

{ }−{ }
input flow output flow
{ rate of accumulation }
formation or consumption { }
±{ } = { of number of moles of } . (3.3)
rate of component i { }
{ component i }
Examples follow of applying total mass or mass of components conservation law at
lumped and distributed parameter systems.
Example 3.1. Total mass conservation law for lumped parameters system
In a buffer tank for intermediate product in one chemical plant (Fig. 2.6), there is con-
tinuous input and output of the same material. Thus, the density is the same in the
tank as in the input and output flows. The total mass conservation law states:
d
Fvi ρ − Fvo ρ = (Vρ ) (3.4)
dt
where Fmi = Fvi ρ and Fmo = Fvo ρ are the volumetric input and output flows, ρ is the
liquid density and V = H ⋅A the instant volume of liquid in the tank. The first two terms
are those of mass convective flow and the term on the right-hand side of the equation
is the mass accumulation term in the tank.
The dimensional analysis is
m3 kg m3 kg 1 kg
⋅ − ⋅ = ⋅ m3 ⋅ 3
s m3 s m3 s m
kg
which shows consistency, all terms being expressed by s
, the measurement unit for
mass flow.
Example 3.2. Component conservation law for lumped parameter system

A continuous stirred tank reactor (CSTR) is represented in Fig. 3.2. The reaction is the
k
simplest one, A 󳨀→ B,, first order with the rate constant k.
Fi , CAi , Ti°
Fag , T°ag
Fag , T°agi
CA , CB , V, T°
F, CA ,CB , T °
Fig. 3.2. CSTR.
The mixing is considered perfect, thus all concentrations inside the reactor and at its
output have the same values. The mass of component A conservation law for the mass
of reaction inside CSTR is
d
Fvi CAi − Fvo CA − VkCA = (VCA ), (3.5)
dt
where CAi and CA are the input and inner/output concentrations respectively. The first
two terms are the molar input and output flows of the reactor, the third term is that of
reaction and the term on the right-hand side is that of accumulation.
The dimensional analysis
m3 kmol m3 kmol 1 kmol 1 kmol
⋅ − ⋅ − m3 ⋅ ⋅ = ⋅ m3 ⋅
s m3 s m3 s m3 s m3
kmol
shows all terms are expressed by s
, the measurement unit for molar flow.
Example 3.3. Total mass conservation law for distributed parameter system
A long pipeline is used for the transportation of natural gas (Fig. 3.3). Both parame-
ters, velocity and density (v and ρ ), are functions of position and time. This is why the
volumetric flow is expressed decomposed by Av. It is natural that at the entrance of
the pipeline both parameters have higher values than at the end of it, because of the
friction along the road. Because there are different values for the parameters along
the pipeline, one cannot write a single equation expressing the behavior of the whole
system and we have to divide the system in small portions of dimension dz, “infinitely
small elements” in which it can be assumed the values of the parameters are constant.
The dimension of the small interval depends on the nature of the process: for a long
pipeline of 100 km the dimension considered can be of 1 m, whereas for a particle of 10
cm of limestone in a process of carbonation dz could be of 5 mm. The material balance
is written for the portion dz. The output variable at z + dz is calculated according to
the Taylor expansion formula
1 df 1 d2 f 2 1 d3 f 3
f (z + dz) = f (z) + ⋅ dz + ⋅ dz + ⋅ dz + ⋅ ⋅ ⋅ (3.6)
1! dz 2! dz2 3! dz3
where dz is the infinitely small element of a dimension to be judged. Usually, since dz

is very small, the dz2 , dz3 etc. terms become negligible and the expansion is reduced
to the first two terms of the series expansion.
Since the mass flow is Avρ at z, according to (3.7), it becomes Avρ + 𝜕(Avρ
𝜕z
)
dz at
z + dz.
Thus, the mass balance becomes for the infinitely small element dz
𝜕 (Avρ ) 𝜕
Avρ − [Avρ + dz] = (A ⋅ dz ⋅ ρ ) , (3.7)
𝜕z 𝜕t
where A is the cross-section area of the pipeline. The first two terms express the con-
vective flows at the input and output of the dz element and the right-hand side term is
that of accumulation in time. The partial derivatives, 𝜕z𝜕 and 𝜕t𝜕 show that the variables,
v and ρ depend on both space and time.
The dimension analysis is
m kg m kg 1 m kg 1 kg
m2 3
− [m2 3
+ m2 3
m] = m2 m 3
s m s m m s m s m
kg
and shows that all terms are measured by s
.
dz
o z z + dz zf
Fig. 3.3. Long pipeline distributed parameter system.
Example 3.4. Component conservation law for distributed parameter system

Let us consider a plug flow reactor (PFR) represented in Fig. 3.4, where the reaction is
k
A 󳨀→ B, first order with the rate constant k. The profile of concentration of the reactant
A in steady state is represented in Fig. 3.4.
Obviously, the concentration depends on the position inside the reactor; a gra-
dient of concentration exists between two neighboring points and the mass diffusion
phenomenon is present. Thus, the total component molar flow at z is expressed by
𝜕CA
AvCA + A (−DA ),
𝜕z
where the second term expresses the diffusion by Fick’s law and DA is the diffusion
constant for the component A.
The whole component A balance for the element dz is
𝜕CA 𝜕C 𝜕 𝜕C
AvCA + A (−DA ) − {AvCA + A (−DA A ) + [AvCA + A (−DA A )] dz}
𝜕z 𝜕z 𝜕z 𝜕z
𝜕
− A ⋅ dz ⋅ k ⋅ CA = (A ⋅ dz ⋅ CA ). (3.8)
𝜕t
d
CA0 CA, CB
1
Concentration – C
0.8 Steady state concentration of CA in the PFR

0.6
0.4
0.2
0
0 1 2 3 4 5 6 7 8 9 10
Length – L
Fig. 3.4. PFR with the profile of concentration CA in the steady state along the reactor.
The dimensional analysis shows all terms are expressed in molar flow measurement
units, kmol/s
m kmol m2 1 kmol
m2 3
+ m2
s m s m m3
2 2
m kmol 2 m 1 kmol 1 2 m kmol 2 m 1 kmol
− [m2 + m + (m + m ) m]
s m3 s m m3 m s m3 s m m3
1 kmol 1 2 kmol
− m2 m = mm 3 .
s m3 s m
In its final form, after simplification, equation (3.8) becomes
𝜕2 CA 𝜕 𝜕C
DA − (vCA ) − kCA = A . (3.9)
𝜕z2 𝜕z 𝜕t
The equation is with partial derivatives, meaning the parameters v and CA change both
with time and distance. As a comment, everywhere a second derivative term appears
in the equation, this is the sign of a diffusive process.
Solving all the above constructed equations describing dynamically the mass bal-
ance in the system one can determine the changing of the property (mass or concen-
tration) in time and in any place of the system. The partial differential equation is
solved using, for example, a finite element method. Recently, it is not expected from
the process or control engineers to elaborate the subroutines of solving the mathemat-
ical problems, since scientific software such as MatLab [1, 2] or Mathematica [3] exist
and have incorporated special subroutines for solving ordinary differential equations
(ODE).
Energy conservation law

The energy conservation law expresses the accumulation of heat in the system (equa-
tion (3.10))
{ input flow of kinetic, potential, and } { output flow of kinetic, potential, }

{ } { }
{ internal energy (power) } − and internal energy, (power) }
{ } {{ }
{ by convection and diffusion } { by convection and diffusion }
flow of heat (power) formed } volume or mechanical work }
{
{ } { { }
± { or transferred by } ∓ { exercised in time (power) by the }
{ } { }
{ reaction, radiation, or conduction } { system to the outerenvironment }
rate of energy
={ }. (3.10)
accumulation (power)
In order to understand the true importance of the different terms in the energy balance,
we have to compare the forms of energy. Approximation of the forms of energy (kinetic,
potential and internal) and of the volume work/mechanical work is given below.
For the kinetic term, let us consider one moves a kilogram of water with a normal
velocity of 1 m/s in a pipeline (in industry the pipelines are dimensioned to let the
liquids have an average velocity of 1–2 m/s and for the gases of 30–40 m/s from reasons
of energy loss).
2
v 2 1 m2
ΔEc m 2 1 kg 2s Nm
= = = 0.5 = 0.5 W.
Δt Δt 1s s
Transporting the same kilogram of water at a height of one meter, the potential energy
per unit of time will be
m
ΔEp mgh 1 kg ⋅ 9.8 s2
1m Nm
= = = 9.8 = 9.8 W.
Δt Δt 1s s
And heating the same kilogram of water with 1 K, the internal energy involved, U
J
ΔU mcp ΔT 1 kg ⋅ 4318 kg⋅K 1 K J
= = = 4318 = 4318 W,
Δt Δt 1s s
meaning that in the energy balance we may neglect the potential and kinetic energy,
being too small in comparison with the heat involved.
At the same time, we know that the volume work is expressed by L = ∫ p ⋅ dV or
L = pΔV in isobaric conditions. The liquids being practically incompressible do not
produce or are not subjected to volume work, which is also negligible. This term is to
be taken into consideration only for processes in gaseous phase.
Example 3.5. Energy conservation for a lumped parameter system

k
Let us consider a CSTR (Fig. 3.2) in which an exothermic first order reaction A 󳨀→ B
takes place, with the rate constant k and heat of reaction ΔHr < 0. The process being
exothermic, the jacket has cooling agent and there is a heat transfer from the mass
of reaction to the jacket through the wall. The heat transfer is defined by the thermal
transfer coefficient KT and by the heat transfer area AT .
d
Fvi ρ cpA Ti∘ − Fvo ρ cp T ∘ − KT AT (T ∘ − Tag
∘
) − VkCA ΔHr = (Vρ cp T ∘ ), (3.11)
dt
where cp is generically the specific heat of the flows (cpA for raw material A and cp
for the reactor inventory and the output flow), T ∘ and Tag
∘
are the temperature inside
the reactor and that of the cooling agent respectively and V the volume of the reac-
tion mass inside the reactor. The first and second terms are those of input and output
convective energy flows, the third term is that of conductive heat transfer (there is no
radiation), the fourth term is the reaction term, expressing the heat produced by the
chemical reaction and the term on the right-hand side of the equation is the accumu-
lative term of heat in the reactor.
Dimensional analysis shows all terms are expressed in J/s = W meaning terms of
energy flow:
m3 kg J m3 kg J W 1 kmol J 1 kg J
3
K − 3
K − 2 m 2 K − m3 3
= m3 3 K.
s m kgK s m kgK mK s m kmol s m kgK
Example 3.6. Energy conservation for a distributed parameter system

k
Let us consider a PFR (Fig. 3.5) with an exothermic first order reaction A 󳨀→ B, with
the rate constant k and heat of reaction ΔHr < 0. The profile of temperature in the
reactor is depicted in Fig. 3.5.
TAgo° D
CAO , Ti° CA , CB , To°
d
TAgi°
TAg°
T°
T°
Length – L
Fig. 3.5. PFR with exothermic reaction and cooling agent and the profile of temperature with an
exothermic reaction and counter-current cooling flow.
Due to the variation of temperature along the reactor a gradient of temperature

exists between the different points of the reactor. Thermal diffusion is thus present
and it is expressed by Fourier’s law of thermal diffusion
𝜕T ∘
Q = Ar (−kT ),
𝜕z
where Q is the diffusive heat flow, Ar is the cross-section area of the reactor, kT is the
Fourier diffusion coefficient and T ∘ is the temperature at the coordinate z. The heat
transfer area of the reactor is that of the cylinder with the height dz being expressed
by AT = π Ddz where D is the inner diameter of the reactor. The transfer coefficient
through the wall is KT . The heat flow at the coordinate z + dz is given by the Taylor
expansion formula. Thus the heat balance is
𝜕T ∘
Ar vρ cp T ∘ + Ar (−kT )
𝜕z
𝜕T ∘ 𝜕 𝜕T ∘
− {Ar vρ cp T ∘ + Ar (−kT )+ [Ar vρ cp T ∘ + Ar (−kT )] dz}
𝜕z 𝜕z 𝜕z
𝜕
− KT π Ddz (T ∘ − Tag
∘
) − Ar dzkCA ΔHr = (A dzρ cp T ∘ ) . (3.12)
𝜕t r
The dimensional analysis shows the dimensional consistency, giving also a signal con-
cerning the correctness of the formulae. All terms are expressed in W:
m kg J W 1
m2 K + m2 K
s m3 kgK mK m
m kg J W 1 1 m kg J W 1
− [m2 K + m2 K + (m2 K + m2 K) m
s m3 kgK mK m m s m3 kgK mK m
W 1 kmol J 1 kg J
− 2 mmK − m2 m ] = m2 m 3 K.
mK s m3 kmol s m kgK
After simplification, the equation (3.12) becomes
𝜕 𝜕 4K T ∘ 𝜕 𝜕T ∘
(ρ cp T ∘ ) + (vρ cp T ∘ ) + kCA ΔHr + ∘
(T − Tag )= (kT ). (3.13)
𝜕t 𝜕z D 𝜕z 𝜕z
Momentum conservation law

The momentum conservation law: the rate of change of the movement quantity of a
system is equal to the total force applied to the system (equations (3.14) and (3.15)):
sum of forces
{ } = {rate of change of movement quantity} (3.14)
applied to a system
or
n
d
∑ Fij = (mv) , (3.15)
j=1
dt
Fj
m Fij
Fig. 3.6. Application of the impulse conservation

o i on the movement of one mechanical body.
where Fij is the projection of applied force j on the direction i (Fig. 3.6) and m and v are
the mass and the velocity of movement of the mass m along the i direction. If there is
only one force applied to the body and m is constant, dv dt
= a, the acceleration, and
equation (3.15) is reduced to the expression of Newton’s second law F = m ⋅ a.
Example 3.7. Momentum conservation for a constant mass system

Consider a tank with continuous outflow through a pipeline of length lp and cross-
section area Ap (Fig. 3.7). The friction on the pipeline is expressed by Poisson’s law,
2 l 2
Δpp =∝ ρ2v +λ dp ρ2v where Δpp is the pressure loss on the hydraulic system (pipeline),
p
and ∝ and λ are the coefficients of local and linear hydraulic pressure loss and they
are dimensionless. The pipeline is horizontal which makes the projection of the grav-
ity force equal to 0 on the axis of liquid movement. The forces acting on the liquid
column in the pipeline are: hydrostatic force, ρ ghAp , G, the weight of the liquid in the
2 l 2
pipeline and friction force against the movement, (∝ ρ2v +λ dp ρ2v )Ap . The atmospheric
p
pressure is equal on both sides of the pipeline. G, being vertical, has the projection on
i axis Gij = 0. Thus,
ρ v2 lp ρ v2 d
ρ ghAp − (∝ +λ ) Ap = (Ap lp ρ v). (3.16)
2 dp 2 dt
lp
h
ν Fig. 3.7. Tank with

dp free outflow through
a pipeline.
The dimensional analysis
kg m 2 kg m2 2 1 2 kg m
⋅ m ⋅ m − m = m ⋅m⋅ 3
m3 s2 m3 s2 s m s
shows all terms are expressed in N = kg m s2
.
From equation (3.15) one may calculate the velocity or the flow of the liquid in
steady state when dtd (Ap lp ρ v) = 0. Usually, because the liquids are incompressible,
the response of the liquid flow at an increase of the liquid height is instantaneous.
Example 3.8. Momentum conservation law for variable mass systems

One may consider a long pipeline for the transportation of petrochemical products
from the refinery to the harbor (Fig. 3.8). In order to clean the pipeline after the trans-
port of a product and to prepare it for the next transport of another product, one
leather ball, a “pig”, is used to push the rest of the product out of the pipeline. The
“pig” is pressured with inert gas at a constant pressure p0 . It is a typical example of a
variable mass system.
The equations describing the movement are
(lp − z) ρ v2 d
p0 Ap − λ Ap = (A (l − z)ρ v) (3.17)
dp 2 dt p p
and
dz
, v=
dt
from which one may calculate the dynamics of emptying the pipeline.
lp
Z
dp
p0 ρ, ν
Fig. 3.8. Pipeline with variable mass of liquid.
3.1.2 Thermodynamics and kinetics of the process systems
The state and equilibrium equations indicate the way the physical properties change
with process parameters such as temperature, pressure and composition. The most
frequently used equations [7] are presented in the synthetic Tabs. 3.1 and 3.2.
Table 3.1. Thermodynamic properties used in process modeling.
Property/Thermodynamic Formula Notations

laws
Liquid enthalpy ΔHl = cp T ∘ cp – heat capacity; T ∘ – temperature
Vapor enthalpy ΔHl = cp T ∘ + lv lv – latent heat of vaporization
Enthalpy of a mixture of liq- ∑n1 xj ΔH j Mj
ΔH lm = ∑n1 xj Mj
or xj – molar fraction; Mj – molar mass;
uids and heat capacity of a ΔH j – enthalpy of j component in the mix-
n
mixture cplm = ∑ xj cpj ture; cpj – heat capacity of component j
1
Dependence of enthalpy with ΔHl = a0 + a1 T ∘ + a0 , a1 etc. are numerical coefficients; the
a2 T ∘ + ⋅ ⋅ ⋅
2
temperature dependence is to be considered for large
(> 10∘ ) variations of temperature
Boyle Mariotte law pV = nRT ∘ p – pressure of gas; V – gas volume; n –
number of moles of gas; R – universal gas
constant
pM
Gas density ρ = RT ∘
ρ – gas density
xi󸀠 M
ni ρ
Molar concentration Ci = ∑ m ρ = Ci – molar concentration of component i,
j j i
ni – number of moles of i, ∑j mj — mass
of the mixture, ρ – density of the mixture,
xi󸀠 – mass fraction of i, Mi – molar mass of
component i
n
Liquid mixture density ρ = ∑ Mj Cj or ρj – density of the component j in the mix-
1
n ture; Cj – molar concentration of compo-
ρ = ∑ xj ρ j nent j in the mixture,
1
Dalton’s law (partial pres- pj = Pyj pj – pressure of the component j in the
sure of vapors in a vapor mix- mixture; P –total pressure of the mixture;
ture) yj – molar fraction of component j.
Raoult’s law (total vapor P = ∑n1 xj pj xj – molar fraction of the component j in
pressure of a liquid mixture) the liquid mixture; pj – vapor pressure of
the pure component j in the mixture; P –
total vapor pressure of a liquid mixture
b
Antoine’s law (vapor pres- lgP = a + T ∘ +c
a, b, c –numerical coefficients; P – vapor
sure correlation with temper- pressure
ature)
∝xj
Fenske’s Law (liquid-vapor yj = 1−(∝−1)xj
xj – molar fraction of component j in liquid
equilibrium) phase; yj – molar fraction of component j
in vapor phase; ∝ – relative volatility
Henry’s law (dependence of C∗ = p
H
C∗ – gas concentration at the interface;
the gas concentration at gas- p – gas pressure above the liquid; H –
liquid interface on gas pres- Henry’s constant
sure)
Repartition of a solvate be- y = kx y – molar concentration of the solvate in
tween two solvents (diluted the principal solvent; x – molar concentra-
solutions) tion of the solvate in the secondary sol-
vent; k – repartition constant
Table 3.2. Kinetic properties used in process modeling.
Property/Kinetic laws Formula Notations

k
Rate of reactions Direct first order A 󳨀→ Br = kCA ri – rate of reaction being under-
Direct second order stood as the number of moles pro-
k
A + B 󳨀→ C + D, r = kCA CB duced/consumed in the reaction in
Reversible first order a unit of time, per one unit of vol-
A ⇐⇒ B, r = k1 CA − k−1 CB ume (kmol/m3 .s); ki – rate constants
k1 , k−1
expressed in such a way as for the
Parallel first order
k1 k2 rate of reaction to be expressed in
A 󳨀→ B, A 󳨀→ C, rA = (k1 + k2 )CA
kmol/m3 .s;
Parallel second order
k1 k2
A + B 󳨀→ D, A + C 󳨀→ E
rD = k1 CA CB , rE = k2 CA CC
Consecutive reactions
k1 k2
A 󳨀→ B 󳨀→ C, rB = k1 CA − k2 CB
Arrhenius law (depen- E
− a∘
k0 – pre-exponential constant; Ea –
dence of the rate con- k = k0 e RT
activation energy; R – universal con-
stant on temperature) stant; T ∘ – reaction temperature
Relative conversion of the CA0 −CA ξ – conversion of the reactant; CA0 –
ξ = CA0
reactant molar concentration of the reactant at
the beginning of the reaction (or at the
input of the reactor); CA – molar con-
centration of the reactant at the time t,
or in the reactor
k
Relative conversion in a Direct first order A 󳨀→ B V− volume of the mass of reaction
k VF
CSTR ξ = in the reactor; F – volumetric flow
1+k VF
through the reactor; k – rate constant;
Reversible first order
K – equilibrium constant; ξ∞ – the fi-
aA ⇐⇒, k−1 bB
k1 nal conversion at the end of the reac-
1 V
ξ = ξ∞ (1 − e−k1 (1+ K ) F ) tion
k1
K= k−1
E
− 1a∘
k1 = k10 e RT
E
− −1,a
k−1 = k−1,0 e ∘RT
Relative conversion in V V – volume of the mass of reaction

ξ =1− e−k F
a PFR, with a first order in the reactor; F – volumetric flow
direct reaction through the reactor; k –rate constant
Excess factor for re- aA + bB ⇐⇒ cC 𝛾 – excess factor; a, b – stoichiometric
k1 , k−1
versible reaction to as- aCB0 coefficients
𝛾=
sure maximum conver- bCA0
sion in C
Selectivity between the Parallel reactions ΦR – selectivity of product R relative
k1 k2 n −n
desired and by product A + B 󳨀→ P, A + B 󳨀→ R (desired) to the undesired P; CAf2 1 – final con-
in a CSTR ΦR = k2 1n2 −n1 centration of A with the orders of re-
1+ k CAf
1 action n1 and n2
CAf = CA0 (1 − ξ )
As a conclusion, the analytical mathematical models are very general and their
understanding gives an insight into the process described and offers solutions for op-
eration, design or control. It is quite interesting that the general laws can be applied
regardless of the field of interest. This makes analytical modeling a powerful tool.
3.2 Statistical models
Wherever the analytical models are difficult to elaborate, because some of the kinetics
or thermodynamics of the process are not known, there is a solution of elaborating a
model based on direct measurements in the process.
The process (Fig. 3.1) model is the general one (equation (3.1)) showing the rela-
tionship between the output, state and input variables.
Analytical models are treated in Section 3.1. When the general analytical approach
of a process is not possible, because of the many uncertainties, the statistical approach
is the most appropriate one. Generally, the steady state mathematical models are in
the form of a regression which can be linear,
m
y = f (x1 , x2 , . . . ., xm ) = ∑ ai xi , ai ∈ R, i = 1, n (3.18)
i=1
or nonlinear
y = f (x1 , x2 , . . . , xm , x1 x2 , x1 x3 , . . . , x12 , x22 , . . .) (3.19)
where xi are the variables of the process and index m represents the maximum number
of variables.
The statistical analysis [8, 9] is based on measurements made in a process and
their statistical processing is aimed at the construction of a linear or nonlinear regres-
sion.
Regression analysis
Let us consider the simplest regression
y =∝0 + ∝1 x1 + ∝2 x2 + . . . + ∝m xm . (3.20)
The coefficients ai to be determined estimate the “real” values αi and constitute the
vector
a0
[ ]
[ a1 ]
[ ]
[⋅⋅⋅ ]
Ā = [
[a ].
] (3.21)
[ i ]
[ ]
[⋅⋅⋅ ]
[ am ]
Table 3.3. Program of experiments in an industrial or laboratory plant for elaborating a statistical
model.
Input variables Output variables

Measurement no. x1 x2 ... xi ... xm y
1 x11 x21 ... xi1 ... xm1 y1

2 x12 x22 ... xi2 ... xm2 y2
... ... ... ... ... ... ... ...
j x1j x2j ... xij ... xmj yj
... ... ... ... ... ... ... ...
n x1n x2n xin xmn yn
To estimate the coefficients a set of n observed values of x̄ and ȳ is taken into account.
The constant input value 1 is allocated to the free term a0 . The measurements (n mea-
surements) done in the process constitute the matrices x̄ (inputs) and ȳ (outputs) with
the corresponding matrices
1 x11 x21 ⋅ ⋅ ⋅ xi1 ⋅ ⋅ ⋅ xm1

[ ] y1
[ 1 x12 x22 ⋅ ⋅ ⋅ xi2 ⋅ ⋅ ⋅ xm2 ] [y ]
[ ] [ 2]
[ ⋅⋅⋅ ] [ ]
X̄ = [
[ 1x x ⋅⋅⋅x ⋅⋅⋅x ]
] Ȳ = [ ⋅ ⋅ ⋅ ] (3.22)
[ 1j 2j ij mj ] [ ]
[ ] [⋅⋅⋅]
[ ⋅⋅⋅ ]
[ yn ]
[ 1 x1n x2n ⋅ ⋅ ⋅ xin ⋅ ⋅ ⋅ xmn ]
where x0j = 1 is a fictive variable to give uniformity to the regression form correspond-
ing to the first term of the regression which is a free term, a0 .
The estimation is based on the least squares principle which minimizes the difference
between the measured and the calculated values of y:
1 n 2
ε = min SSE = min ∑ (y − a0 x0j − a1 x1j − a2 x2j − ⋅ ⋅ ⋅ am xmj ) . (3.23)
n j=1 j
In order to obtain the minimum, one has to fulfill the conditions (3.24)
𝜕ε 𝜕ε 𝜕ε
= 0; = 0; . . . . = 0. (3.24)
𝜕a0 𝜕a1 𝜕am
Each derivative = 0 will have as a result an equation of the type
n
𝜕 2
{ ∑ [yj − (a0 x0j + a1 x1j + a2 x2j + ⋅ ⋅ ⋅ + am xmj )] } = 0, (3.25)
𝜕ai j=1
and, in the end,

n n n n
a0 ∑ x0j xij + a1 ∑ x1j xij + ⋅ ⋅ ⋅ + am ∑ xmj xij = ∑ xij yj , (3.26)
j=1 j=1 j=1 j=1
where i = 0 ÷ m.
The equation system with m + 1 equations in the matrix form is
X̄ T XA
̄ = X̄ T Y.̄ (3.27)
The solution in the matrix form is
̄ −1 X̄ T Ȳ
A = (X̄ T X) (3.28)
with the ai coefficients

m Aij n
ai = ∑ ( ∑ xij yj ), (3.29)
i=0
Δ j=1
where Δ is the determinant of the matrix X̄ T X̄ and Aij is the algebraic complement of
the ∑nj=1 xij yj element in Δ.
In order to determine if this is the case, the semilinear or quadratic terms coeffi-
cients, aij , or aii , are calculated by the same formula (3.29), but adding to the measure-
ment matrix the corresponding terms. For example, for the nonlinear regression
y = f (x1 x2 , . . . , xm x1 x2 , x1 x3 , . . . , xm−1 xm ) =
a0 + a1 x1 + a2 x2 + ⋅ ⋅ ⋅ + am xm + a12 x1 x2 + a13 x1 x3 + ⋅ ⋅ ⋅ + am−1,m xm−1 xm
the matrix of measurements is
1 x11 x21 ⋅ ⋅ ⋅ xi1 ⋅ ⋅ ⋅ xm1 x11 x21 x11 x31 ⋅ ⋅ ⋅ xm−1,1 xm1
[ ]
[ ]
X̄ = [ 1 x12 x22 ⋅ ⋅ ⋅ xi2 ⋅ ⋅ ⋅ xm2 x12 x22 x12 x32 ⋅ ⋅ ⋅ xm−1,2 xm2 ], (3.30)
[ ⋅⋅⋅ ]
[ 1 x1n x2n ⋅ ⋅ ⋅ xin ⋅ ⋅ ⋅ xmn x1n x2n x1n x3n ⋅ ⋅ ⋅ xm−1,n xmn ]
which is different to that presented in the equation (3.22), being extended with the
terms xi−1,j xij with i = 2 ÷ m and j = 1 ÷ n.
It should be noted that the minimum number of measurements necessary is n =
m + 1, in this situation the system has a unique solution. But the higher n > m + 1 is,
the more chances to better estimate the coefficients there are.
Once the form of the regression is established to be the most appropriate and the
corresponding coefficients are calculated, one has to verify the adequacy of the model
for the reality of: (a) the accuracy of the measurements; (b) the weight of the coeffi-
cients in the regression; (c) the adequacy of the form of the model to the reality of the
described plant.
(a) The accuracy of the measurements is judged using the Cochran test [10]. Be-
cause the measurements are randomly affected by disturbances, the measurement er-
rors are transmitted ultimately to the values of the parameters. In order to minimize
these errors, it is indicated to increase the number of measurements: both repeating
the output measurement at the same values of the input parameters and using the av-
erage of the outputs and, on the other hand, increasing the number of measurements
with different input parameters values (n ≫ m + 1).
In order to visualize the experimental errors, one repeats the measurements with
the same input parameters r times:
y11 y12 y13 ⋅ ⋅ ⋅ y1r

[ y y y ⋅⋅⋅y ]
[ 21 22 23 2r ]
Y=[ ]
[ ⋅⋅⋅ ]
[ yn1 yn2 yn3 ⋅ ⋅ ⋅ ynr ]
and the average
∑rl=1 y1l
y1̄ = r
[ ]
[ ̄ ∑rl=1 y2l ]
̄ [ y = ]
Y=[ 2 r ]
[ ... ]
[ ]
∑r ynl
[ yn̄ = l=1r ]
where r is the number of repetitions of the same measurement.
With these values, one calculates the dispersion for each measurement
2
2
∑rl=1 (yjl − yj̄ )
Syj = (3.31)
r−1
2 2
and the maximum value of these dispersions, Smax = max Syj .
The total measurement dispersion of the whole experiment is
∑nj=1 Syj
2
Sy2 = . (3.32)
n
S2max
The Cochran variable Gmax , Gmax = S2y
is compared with the GT value from the Coch-
ran distribution in order to appreciate the precision of the measurements. If Gmax > GT ,
the precision is insufficient and the number of repetitions has to be increased until
Gmax < GT .
(b) The importance of the coefficients in a model is judged based on the Student
distribution [11]; the calculated coefficients are compared with their dispersion of de-
termination. If the values are comparable, it means the calculated coefficients are in
the noise range and their values are not considered.
Sy2 ∑nj=1 Syj
2
S2 {ai } = = . (3.33)
n n ⋅ (r − 1)
For that, ti has to be larger than one tT value taken from the Student distribution for a
degree of confidence usually larger than 95 %:
ai
ti = > tT . (3.34)
S2 {ai }
(c) The adequacy of the model form refers to the linearity or nonlinearity chosen
for the model in order to describe, most appropriately, the plant reality. There is often
the situation when the distribution of the data is parabolic, for example, and, by mis-
take, a linear regression is chosen to describe the behavior of the plant. The adequacy
2
of the measurements is assessed by calculating the remnant dispersion (Srem ) and that
2
of determination of the model (Sy ) minimizing the difference between the measured
and calculated output:
Δy = ymeas − yc = [ymeas − (a0 + a1 x1 + . . . am xm )] = min (3.35)
2
∑nj=1 Δy2
Srem = (3.36)
n − (m + 1)
and
∑nj=1 Syj
2
Sy2 = . (3.37)
n
S2rem
The model is adequate [12] when F = S2y
< FT (Fischer–Snedecor test), where FT is
a tabular value of the Fischer distribution, corresponding to a certain degree of confi-
2
dence (> 95 %). Ideally, if Srem = Sy2 the whole inaccuracy is given by the measurement
error, the model form being perfect and not introducing any bias. This is not true, in
reality, if the values of FT are larger than 1. If the condition is not fulfilled, another
form is proposed, the new coefficients are calculated and again the Fischer–Snedecor
condition is verified.
Once the three tests have been done and passed, with the modifications required,
the regression can be declared satisfactory.
3.3 Artificial neural network Models
Artificial neural networks (ANNs) are computer programs having a form of processing
information inspired from the simplified representation of the way the human brain
operates. These programs do not attempt to thoroughly reproduce the human brain
mode of working but only its logical operation, based on a collection of computing en-
tities named neurons. The connections between neurons are stronger or weaker. These
connections are the support for representing the relationship between the cause and
the effect, by sending and weighting the input flux of data towards the output. On
the basis of given input-output pairs of data examples, the weights are designed and
computed, this process being denoted as learning or training the ANN. The input data
is processed from the input towards the output of the ANN according to the ANN’s
architecture, i.e. the particular structure of neurons and weight values settled in the
training step. Following the training procedure, the ANN may be further used for pre-
dicting the output for new inputs, not given during the training process, and work as
a black box model [13].
The basic element of an ANN is the neuron, which is a very simple computing
structure.
A simplified representation of the neuron and its computing principle is presented
in Fig. 3.9 [14].
Inputs Weights
W1, 1
u1 Net input Output
W1, 2
u2
n
∑ f y
W1, R
uR
Bias b y=f(n)=f(Wu+b)
1 W=[W1, 1 W1, 2 .... W1, R]

Fig. 3.9. Typical structure of the artificial neu-
u=[u1u2 .... uR]T ron.
The artificial neuron has R inputs u1 , u2 , . . . , uR , which are represented by the vec-
tor u = [u1 u2 ⋅ ⋅ ⋅ uR ]T . Each of these inputs is multiplied (weighted) with the factors
(weights) w1,1 , w1,2 , . . . , w1,R . The weights may be represented by the line vector W =
[w1,1 , w1,2 ⋅ ⋅ ⋅ w1,R ]. The neuron first computes the net input, n, i.e. the sum of products
(input × weight) to which a bias (scalar), b, is added n = w1,1 ⋅ p1 + w1,2 ⋅ p2 + ⋅ ⋅ ⋅ +
w1,R ⋅ ⋅ ⋅ pR + b. The net input is then sent to be processed by a function, f , named acti-
vation or transfer function, which generates the output of the neuron by a very simple
calculus: y = f (n) = f (w1,1 ⋅ u1 + w1,2 ⋅ ⋅ ⋅ u2 + ⋅ ⋅ ⋅ + w1,R ⋅ uR + b) = f (W ⋅ u + b). The
activation function may have different forms but the most commonly used forms are
the signum, linear and sigmoidal functions.
The modeling power of the ANNs consists in the association of several neurons ar-
ranged in different topologies, with the aim of processing the input data and generat-
ing the output data. The typical topology of a multilayer ANN is presented in Fig. 3.10.
1 2 3 n–1 n
Input Hidden Output

layer layers layer Fig. 3.10. Typical structure of the multilayer ANN.
The multilayer ANN architecture is built on the following rules.

– Artificial neurons are organized in layers, each layer consisting in a set of neurons
having the same activation function.
– Each ANN has one input layer, which is the input gate for the data to be processed,
one output layer, which is the gate of delivering the processed data, and several
intermediate layers named hidden layers, where the input data is processed step
by step and sent towards the ANN output.
– The connection paths (represented by arrows) are oriented from the input towards
the output.
– Each neuron of a layer is only interconnected with all neurons of the neighboring
(adjacent) layers.
– Each neuron receives data from all neurons of the previous layer, computes its
output and sends data to all neurons of its next layer.
– The ANN may have a various number of hidden layers and neurons in each hidden
layer, but the number of neurons in the input and output layer are fixed by the par-
ticular modeling problem (the dimension of the input and output pair examples
of training data).
The ANNs may build complex models and are very efficient especially for cases when
the laws governing input and output are not known or insufficiently formalized. They
are trained on the statistical basis of the implicit information contained in the training
examples. ANNs can also be used for one special case of modeling, namely for clas-
sification. ANNs may separate the elements of a set in classes, on the basis of a priori
settled classification categories or by discovering these categories by themselves. The
capacity of this structure of connected computing elements to process data using a
very short computing time, compared to the numerical methods, is a very much ap-
preciated feature for saving computer resources.
Simulation
Simulation is the process of imitating reality using a model. The model is solved and
its solutions represent the variations induced in the process by the inputs, or construc-
tion constants. Simulators are used in industry to train the operators before operating
a process and to test different alternatives of design and control.
3.4 Examples of mathematical models
Example 3.9. Non isothermal CSTR

k
Considering the CSTR (Fig. 3.2) in which an exothermic first order reaction A 󳨀→ B
takes place. The heat of reaction is ΔHr < 0. According to the procedures proposed at
the beginning of the chapter,

1. elaborate a clear and correct flow sheet or drawing of the process described; if the
process is too complex, divide it in lower complexity modules;
2. identify all variables in the process and understand the correlation cause-effect
between them: first inside the modules and second between the modules.
The variables of the process are specified on the drawing.
3. Elaborate the lists of variables and constants: output variables, input variables,
design and construction parameters, thermodynamic and kinetic constants.
Output variables are those of interest from the point of view of the reaction: F, CA , CB ,
T∘.
Input variables are those influencing the output ones: Fvi , CAi , Ti∘ , Fvagi , Tagi
∘ .
State variables: V, T ∘ , ρ , c , C , C , T ∘ , T ∘ .
p A B ag w
Properties of the reactants/products, physical constants: ρA , ρB , MA , MB , cpA , cpB , k0 ,
Ea , ΔHr , R, g, ρag , cpag .
Design and construction parameters: AR , Kv0 , Vmin , Vj , KT , AT , Mp , cpp , KTi , KTag , Ap ,
lp , dp , λ .
Nomenclature:
3
F, Fvi – outflow and input flow of the reactor ( ms )
CAi , CA , CB – molar concentrations of the reactant in the input flow and of A and B in
the reactor ( kmol
m3
)
T ∘ – temperature inside the reactor and in the outflow (K)
Ti∘ – temperature inside the reactor and in the outflow (K)
3
Fvagi – cooling agent flow in the jacket ( ms )
∘ , T ∘ – input and jacket temperature of the cooling agent (K)
Tagi ag
T ∘ – temperature of the inner wall of the reactor (K)
w
V, Vmin , Vj – volume of the reaction mass in the reactor, minimum volume allowed in
the reactor for normal functioning of the level control and volume of the jacket (m3 )
ρA , ρB , ρ – density of A, B and of the mixture of A and B ( mkg3 )
MA , MB – molar mass of A and B ( kmol m3
)
cpA , cpB , cp – heat capacity of A, B and of the mixture ( kgJ K )
k, k0 – rate constant and pre-exponential factor ( 1s , 1s )
J
Ea – activation energy ( kmol )
J
R – universal gas constant (= 8,314 kmol K
)
g – gravitational acceleration (= 9.8 sm2 )
J
ΔHr – heat of reaction ( kmol )
ρag , cpag – density and heat capacity of the cooling agent ( mkg3 , J
kg K
)
KT , AT – heat transfer coefficient and heat transfer area ( mW2 K , m ) 2
KTi , KTag – partial heat transfer coefficients inside the reactor and in the jacket ( mW2 K )
Mw , cpw – mass of the reactor wall and its heat capacity (kg, kgJ K )
Ap , lp , dp – cross area of the outflow pipeline, the length of the pipeline, diameter of
the pipeline (m)
λ – coefficient of pressure loss on the pipeline (−)
4. Elaborate the list with simplifying hypotheses:

– the reactor is perfectly mixed (this shows we can consider the same concen-
trations, same density, same temperature at each point of the mass of reaction
and also at the reactor’s output) and all reactions take place in liquid phase
(no vapor phase to be considered);
– the reaction does not continue in the output pipeline (it means that the con-
centrations in the reactor are the same as those at the end of the pipeline);
– the reactor is cylindrical (simplifies the calculus of height of the liquid inside
the reactor);
– the reactor and pipelines are perfectly isolated thermally (this simplifies the
heat balance because it does not consider the heat losses; usually these are
around 5% of the heat load);
– the fluctuations of temperature are not too large, meaning properties do not
change with temperature;
– the jacket is completely filled with cooling agent (this means Fvagi = Fvag );
– the wall of the reactor is considered “thin” from the heat transfer point of view
(this means the transfer through the wall is instantaneous and does not incur
any delay).
5. Write the equations of the model if possible in the “natural” sequence of the devel-
opment of the process; ensure that all unknowns in the equations are expressed
in new “secondary” equations;
Each variable on the lists is assigned one equation; if one variable is not on the
lists, it should be assigned a new equation until all variables are “covered” by
equations. Usually, for flows, momentum balance equations, for temperatures,
energy balance equations and for mass and concentrations, mass balance equa-
tions are used.
Thus, for F: either

lp ρ v2 d
ρ ghAp − λ A = (A l ρ v) (3.38)
dp 2 p dt p p
or the control equation
F = F0 + K V0 (V − Vmin ). (3.39)
is assigned. The second equation expressing the flow is the ‘‘level control” equation,
where Kv0 is the gain factor of the level controller. The outflow is increasing directly
with the increase of the volume of the mass of reaction over the minimum value re-
quired for a normal functioning of the control loop.
The first equation gives the solution for v, needing an extra equation for F: F =
vAp . Looking for the “new” variables we notice h is on no list, V, v, and ρ are on the
list of state variables and we should link them to some “new” equations:
V
for h: h = ; this equation introduces the need of another equation for V (3.40)
AR
d
for V: Fvi ρA − Fρ = (Vρ ) (3.41)
dt
for ρ : ρ = MA CA + MB CB (Tab. 3.1) (3.42)
for CA and CB component mass balance equations will be written
d
Fvi CAi − FCA − VkCA = (VCA ) (3.43)
dt
d
0 − FCB + VkCA = (VCB ). (3.44)
dt
Whatever is transformed from A, contributes to B (+VkCA ).
For T ∘ should be written the energy balance equation
d
Fvi ρA cpA Ti∘ − Fρ cp T ∘ − KT AT (T ∘ − Tag
∘
) − VkCA ΔHr = (Vρ cp T ∘ ) (3.45)
dt
for cp : cp = xA cpA + xB cpB (Tab. 3.1) (3.46)
M M
for xA : xA = CA A and xB = CB B (3.47)
ρ ρ
∘ ∘ ∘ d
for Tag : Fvag ρag cpag Tiag − Fvag ρag cpag Tag + KT AT (T ∘ − Tag
∘
)= (V ρ c T ∘ ) (3.48)
dt j ag pag ag
the agent flow is the same since the jacket having the volume Vag is completely full;
in this example, the inner wall of the reactor is considered “thin”, this having as a
consequence the existence of only one KT . If the wall is not thermally “thin” (Fig. 3.11),
the equation takes another form:
∘ ∘ d
Fvag ρag cpag Tiag − Fvag ρag cpag Tag + KTag AT (Tw∘ − Tag
∘
)= (V ρ c T ∘ ) (3.49)
dt j ag pag ag
d
KTi AT (T ∘ − Tw∘ ) − KTag AT (Tw∘ − Tag
∘
)= (M c T ∘ ). (3.50)
dt w pw w
A “thick” wall is either thick physically having an important dimension (e.g. the
heat exchanger of the polyethylene produced in the high pressure process has a wall
of stainless steel of 20 cm), or it is thermally “thick” being thin physically, but a very
bad thermal conductor (e.g. an enameled steel wall).
6. Solve the system of equations and interpret the results.

KTag KTi
T°
T°i
T°w
T°ag
L Fig. 3.11. The wall is thermally “thick”.
Thus, the example of a CSTR involving practically only four variables describing the
production quantity and its quality has a simplified model of 12–14 equations, 6–7 dif-
ferential and 6–7 algebraic. The system is nonlinear and can be solved using a MatLab
subroutine ODE15s, ODE23, ODE45. The interpretation of the results shows the behav-
ior of all variables in time when one or several inputs change or when some of the
characteristics of the process change (e.g. transfer coefficients due to deposits of lime-
stone in the shell of the heat exchanger or in the cooling jacket).
Example 3.10. Cascade of three CSTRs

In some processes, one reactor is not enough and several reactors in cascade are used.
The reactors in the example are isothermal, perfectly mixed, perfectly insulated and
the reaction takes place only in the liquid phase. They function at the same tempera-
ture, have different holdups, same density and then the different outflows. The reac-
k
tion is A 󳨀→ B, with ΔHr = 0.
Fi , CAi
V1 V2 V3
F1 , CA1 , CB1 F2 , CA2 , CB2 F3 , CA3 , CB3
Fig. 3.12. Cascade of three CSTR.

The output variables are F3 , CA3 , CB3 .

The input variables are Fi , CAi .
The state variables are V1 , V2 , V3 , CA1 , CB1 , CA2 , CB2 , CA3 , CB3 , F1 , F2 , F3 .
The model has 12 equations (first 9 independent), since the output variables are state
variables as well:
d
Fi ρ − F1 ρ = (V1 ρ ). (3.51)
dt
d
F1 ρ − F2 ρ = (V2 ρ ) (3.52)
dt
d
F 2 ρ − F3 ρ = (V ρ ) (3.53)
dt 3
d
Fi CAi − F1 CA1 − V1 kCA1 = (V C ) (3.54)
dt 1 A1
d
F1 CA1 − F2 CA2 − V2 kCA2 = (V2 CA2 ) (3.55)
dt
d
F2 CA2 − F3 CA3 − V3 kCA3 = (V3 CA3 ) (3.56)
dt
F1 = KV1 (V1 − Vmin1 ) (3.57)
F2 = KV2 (V2 − Vmin2 ) (3.58)
F3 = KV3 (V3 − Vmin3 ) (3.59)
d
0 − F1 CB1 + V1 kCA1 = (V1 CB1 ) (3.60)
dt
d
F1 CB1 − F2 CB2 + V2 kCA2 = (V2 CB2 ) (3.61)
dt
d
F2 CB2 − F3 CB3 + V3 kCA3 = (V C ) (3.62)
dt 3 B3
The system to be solved has thus 12 differential equations and we solve the first nine
equations (3.51)–(3.59) of the equation system for F1 , F2 , F3 , CA1 , CA2 , CA3 , V1 , V2 , V3 .
With these values, CB1 , CB2 , CB3 are calculated. The steady state values are required to
be able to solve the system.
Example 3.11. Binary distillation column [15]

A binary distillation column is considered with N trays which separates two products
with the same relative volatility, α , along the column (on each tray, the volatility is the
same).
List of variables:
Output variables: FB , FD , xB , xD .
Input variables: FF , xF .
State variables: Mj , Lj , xj , yj , MB , xB , yB , MD , xD , FR , V, FB , FD .
Each distillation unit (tray) is represented in Fig. 3.15 + section with the weir.
FD , xD
FF , xF
FB , xB
Fig. 3.13. Binary distillation column.
Fig. 3.14. Distillation column Illudest in the

Control Laboratory of the Faculty of Chemistry
and Chemical Engineering, University Babes-
Bolyai, Cluj-Napoca, Romania.
Simplifying hypotheses:
1. Each tray has the same efficiency (Et = 100%).
2. Vapors leaving the tray are in equilibrium with the liquid phase on the tray.
Lj+1 , xj+1
V, yj j+1th tray
Mj , xj jth tray
V, yj–1 j–1th tray Fig. 3.15. The unit of distillation + section with
Lj , xj the weir.
3. The column is fed on the tray NF with the feed flow FF at the boiling tempera-
ture corresponding to the concentration xF of the volatile component in the liquid
phase.
4. Each tray is perfectly mixed and has a holdup Mj with the molar composition xj ,
of the liquid phase and yj of the vapor phase. The holdup of the vapors on the tray
is negligible (the vapor mass is ca. 1000 times smaller than that of the liquid in an
atmospheric column).
5. The holdups of the bottom are MB (molar composition xB and yB ) and that of the
reflux tank MD (molar composition xD and 0 - the condensation is total).
6. The bottom molar flow is FB with its composition xB and the distillate molar flow
is FD , with its composition xD.
7. The reflux molar flow is FR and the vapor molar flow is V.Supposing the values of
the latent heat of vaporization substantially close, it can be approximated that one
mole of most volatile component vaporizes at the cost of condensing of one mole
of less volatile component, having the result that there is no need for an energy
balance equation on the column and the molar vapor flow Vis constant along the
column.
8. On each tray, the internal molar reflux depends on the holdup of the tray and is Lj .
9. The dynamic response of the condenser is much faster than that of the column.
10. There is no chemical reaction on the trays.
Having 4 variables on each tray, the bottom with three variables, the distillate drum
with two and 4 other flows to be determined (FR , V, FB , FD ) it means the model has to
have 4N+9 variables.
Tray equations:
d
Lj+1 − Lj = M (3.63)
dt j
d
Lj+1 xj+1 − Lj xj + Vj−1 yj−1 − Vj yj = (M x ) (3.64)
dt j j
α xj
yj = (3.65)
1 + (α − 1)xj
Lj = f (Mj )
or Francis equation Lj = 1.837lj h3/2
j , (3.66)
where lj is the length of the weir and hj is the height of the liquid over the weir.
Feed tray equations:

d
FF + LNF +1 − LNF = M (3.67)
dt NF
d
FF xF + LNF +1 xNF +1 − LNF xF + VNF −1 yNF −1 − VNF yNF = (M x ). (3.68)
dt NF NF
The equilibrium equation of the feed tray is the same with all tray equilibrium equa-
tions.
Distillate drum equations:

d
V − FD − F R = M (3.69)
dt D
d
VyN − FD xD − FR xD = (M x ). (3.70)
dt D D
Bottom equations:
d
L1 − FB − V = M (3.71)
dt B
d
L1 x1 − VyB − FB xB = (M x ) (3.72)
dt B B
α xB
yB = . (3.73)
1 + (α − 1)xB
The control equations:
FD = FD0 + KvD (MD − MDmin ) (3.74)

FR = FR0 −K vR (xD − xDset ). (3.75)
The reflux has to decrease when xD > xDset the setpoint value for xD :
V = V0 + KvV (xB − xBset ). (3.76)
The vapor flow has to increase when xB >xBset .
The total number of equations is 4N + 9 as is the number of variables.
Example 3.12. The efficiency of an esterification reaction (in %) depends on the molar
concentrations (mol/l) of the reactants (acid and alcohol). A factorial experiment at
Table 3.4. Input variables.
Input variables x1 x2
Center level 1.0 2.4

Variation step 0.2 0.4
Table 3.5. Results of experiments.
Input variables (concentration mol/l) Output variable (efficiency %) Output average (%)
x1 x2 yI yII y
1.2 2.8 0.5 0.3 0.4

1.2 2.0 0.8 0.6 0.7
0.8 2.8 0.2 0.1 0.15
0.8 2.0 0.55 0.25 0.40
two levels [9] was developed, in order to determine the correlation between the output
and input variables. The aim is to determine a linear regression y = a0 + a1 x1 + a2 x2 .
There is a repetition of the measurements for each combination; the average is
taken into consideration.
1 1.2 2.8
[1 1.0 1.0 1.0 1.0 4.0 4.0 9.6
[ 1.2 2.0 ]
] T [ ] [ ]
X=[ ] ; X = [ 1.2 1.2 0.8 0.8 ] ; X T X = [ 4.0 4.16 9.6 ] ;
[1 0.8 2.8 ]
[ 2.8 2.0 2.8 2.0 ] [ 3.6 9.6 23.7 ]
[1 0.8 2.0 ]
Δ = det(X T X) = 0.4096 (3.77)
0.68
T −1 T [ ]
A = (X X) (X Y) = [ 0.624 ] , giving a regression y = 0.68 + 0.624x1 − 0.38x2 .
[ −0.38 ]
Statistical processing [13]:
(a) Weight of the coefficients in the model.

2
Sy2 ∑nj=1 ∑rl=1 (yjl − yj̄ )
S2 {ai } = =
n n (r − 1)
(0.5 − 0.4)2 + (0.3 − 0.4)2 + (0.8 − 0.7)2 + (0.6 − 0.7)2 + (0.2 − 0.15)2
{ }
+ (0.1 − 0.15)2 + (0.55 − 0.4)2 + (0.25 − 0.4)2
=
4⋅1
= 0.0041, where n = 4 and r = 2. (3.78)
The Student test (for α = 0.95, tT = 2.776):

a0 0.68
= = 167 > 2.776
S2 {ai } 0.0041
a1 0.625
2
= = 153 > 2.776
S {ai } 0.0041
a2 0.38
= = 93.54 > 2.776, (3.79)
S2 {ai } 0.0041
meaning all coefficients have importance in the model.
(b) The adequacy of the model is tested using Fischer’s test.

For a degree of freedom of 1 and for a confidence coefficient α = 0.95, FT = 7.71:
2
2
∑nj=1 [ymeas − (a0 + a1 x1 + ⋅ ⋅ ⋅ + am xm )]
Srem = (3.80)
n − (m + 1)
(0.4 − 0.365)2 + (0.7 − 0.669)2 + (0.15 − 0.115)2 + (0.45 − 0.419)2
= = 0.0044,
1
where n = 4 and m = 2.
2
Srem 0.0044
= = 0.271 < 7.71. (3.81)
Sy2 0.01625
The model is adequate to the reality.
3.5 Problems
(1) A mathematical model of a steam generator (Fig. 3.16) has to be constructed, taking
into account the following: volume of the liquid (Vl ) is much larger than that of the
vapors (Vv ); the liquid phase is in thermodynamic equilibrium with the vapor phase,
meaning: Tl∘ = Tv∘ , the vapor pressure of the liquid at Tl∘ , and the pressure of the vapors
at Tv∘ are equal (Pl = pv ), the flow of evaporated liquid is equal to the outflow of the
vapors (Nv = Fv ρv ); the liquid level is a controlled function of the input flow and vapor
pressure function of the heating agent flow; heat losses to the exterior are negligible.
The geometric dimensions of the generator are known; all characteristics of the liquid
(ρl , cpl , lv ) are known; the gains of the P controllers of the two control loops are KL
and KP .
k
(2) The chemical reaction A 󳨀→ B + C, first order, regarding A, takes place in a semi-
continuous STR (Fig. 3.17).
The desired product is B. C is very volatile product, its evacuation is necessary in
order to maintain the pressure in the reactor. The evacuation is done via a condenser
Fv
Vv , cpv , ρv , Tv°
PC
TC Nv
VI , cpI , ρI , TI°
Fig. 3.16. Steam gen-

V0 , cp0 , ρ0 , T0° erator.
FV
PC
V, CA , CB , CC , T°
TC
Fig. 3.17. Semi-continuous tank reactor (SCSTR).
in order to prevent the loss of A and B. The flow FvC of C is pure. The relative volatilities
of A and C relative to B are ∝AB = 1.2 and ∝BC = 10. The gases are considered perfect
and the process is isobaric. Develop the mathematical model of the SCSTR.
(3) A double effect evaporator (Fig. 3.18) is fed at the solvent evaporation temperature
corresponding to the feed mass concentrations xF for the first evaporator and x1 for the
second. The volumes of the liquid phase of both evaporators are V. The concentrations
V1 , IV1 V2 , IV2
P1 P2
V0 , IV0
F, xF
F1 , x1 F2 , x2
Fig. 3.18. A double effect evaporator.
of the solvate inside the evaporators are x1 and x2 . The evaporators have level control
systems.
The primary heating agent is steam with the latent heat lv0 and the secondary
heating agent is solvent with the latent heat lv1 . The solid fraction is contained only
in the liquid phase being absent in the vapor one. The heat losses to the exterior are
negligible. The steam and solvent are totally condensing and lose only their latent heat
of vaporization lv0 and lv1 . A steady state and dynamic model of the system is required.
(4) In order to model a heat transfer process between a fluid and a plane wall, several
experiments have been done, with the results presented in Tab. 3.6.
Table 3.6. Results of experiments.
Re 50 100 150 300 500

Nu 0.114 0.121 0.126 0.134 0.140
The regression to express the best dependence Nu = f (Re) is to be found. The statisti-
cal processing of data is expected.
(5) A stirred tank is considered, operating at atmospheric pressure, fed with two
fluxes having variable volumetric flows F1 (t) and F2 (t), temperatures T1o and T2∘ , spe-
cific heats cp1 = cp2 = cp and densities ρ1 = ρ2 = ρ (Fig. 3.19).
F1 , C1 , T1° F2 , C2 , T2°
V, C, T°
Fʼ, C, T°
H
F, C, T°
Fig. 3.19. CSTR with two influents.
Both fluxes contain a dissolved material having the molar concentrations C1 , and C2
respectively. The output flow is F(t), with concentration C(t), density ρ , and specific
heatcp . It is supposed the tank is perfectly stirred and the mixing is done without ad-
ditional heat and without heat exchange with the exterior.
The values of densities, specific heat, of the inputs and outputs are considered
equal. Considering the dependence of the output flow F(t) function of the tank liquid
content (variable) F(t) = k ⋅ √V(t), one has to determine the following:
(a) The dynamic mathematical model of the stirred tank taking care to evidence the
unknowns: C(t), T ∘ (t)andV(t). There will be considered:
– input variables: the volumetric flows F1 (t)siF2 (t).
– output variables: output flow concentration C(t), output flow temperature
T ∘ (t), and tank liquid volume V(t).
(b) Which way does the dynamic mathematical model change when the heat losses
are not negligible? (the heat transfer coefficient is KT and heat transfer area of the
tank is AT ), the evacuation of the tank is done at the height H (dotted line in the
figure). The characteristics of the hydraulic circuit (ξ , λ , lp , dp etc.) are assumed
to be known.
(6) During the PVC batch suspension process, the determinant characteristic of the
PVC is given by Kw = f (T ∘ , min ) where Kw is the so called Kwert, T ∘ is the reaction
temperature, and min is the total mass of initiator. The experimental data measured in
the process are given in Tab. 3.7.
Calculate the regression coefficients of the following types:
(a) Kw = a + bT ∘ + cmin ,
(b) Kw = a(T ∘ )b mcin ,
and discuss which model is the most appropriate to describe the measurements.
Table 3.7. The experimental data.
Kw
j T∘ [∘ C] min [kg]
I II Kw, av
1 45 1.5 54.63 54.23 54.43
2 52 3 61.37 6.17 61.27
3 50 2 57.28 57.58 57.43
4 48 2.4 58.9 58.66 58.78
5 52 1 52 52.12 52.06
6 51 4 63.75 63.85 63.95
References
[1] Smith, G. M., Van Ness, H. C., Abbot, M. M., Introduction to Chemical Engineering Thermody-
namics, 7th Edition, McGraw Hill, 2011.
[2] Smith, J. M., Chemical Engineering Kinetics, McGraw-Hill Chemical Engineering Series, 1981.
[3] Franks, R. G. E., Modeling and Simulation in Chemical Engineering, Wiley Interscience, New
York, Chapter 9, 1972.
[4] Myskis, A. D., Introductory Mathematics for Engineers – Lectures in Higher Mathematics, Mir
Publishers, Moscow,1972, p. 497.
[5] MATLAB and Simulink for Technical Computing, TheMathWorks, Inc., Apple Hill Drive, Natick,
Massachusetts 01760 USA.
[6] Wolfram Mathematica 8, Wolfram Research, Inc., 100 Trade Center Drive, Champaign, IL 61820-
7237, USA.
[7] Floarea, O., Jinescu G., Balaban C., Dima, R., Operat.ii s.i utilaje în industria chimică – Probleme
(Operations and equipment in the chemical industry – problems), Editura Didactică s.i Peda-
gogică, Bucures.ti, 1980, p. 4.
[8] Freund J. R., Wilson W. J., Regression Analysis: Statistical Modeling of a Response Variable,
Academic Press, San Diego, 1998, p. 75.
[9] Penescu C., Ionescu G., Tertis.co M., Ceangă E., Identificarea experimentală a proceselor
automatizate (Experimental identification of the controlled processes), Editura Tehnică,
Bucures.ti, 1971, p. 228.
[10] Cochran, W. G., Cox, G. M., Experimental Designs, John Wiley and Sons, London, 1952, p. 77.
[11] Box, G. E., Multifactor design of the first order, Biometrika, 39, (1952), 49–57.
[12] Mehta, C. R., Patel, N. R., Tsiatis, A. A., Exact significance testing to establish treatment equiva-
lence with ordered categorical data, Biometrics, 40 (3), (1984), 819–825.
[13] Freund J. R., Wilson W. J., Regression Analysis: Statistical Modeling of a Response Variable,
Academic Press, San Diego, 1998, p. 407.
[14] Sipos, A., Pasat, G. D., Cristea, V. M., Mudura, E., Imre, L. A., Bratfalean, D., Modelarea, simula-
rea si conducerea avansată a bioproceselor fermentative, Editura Universităţii “Lucian Blaga”,
Sibiu, 2010.
[15] Luyben, W., Process Modeling, Simulation and Control for Chemical Engineers, McGraw Hill,
1990, p. 70.
4 Systems dynamics
From the dynamic behavior point of view, systems may be classified in the following
types [1, 3]:
– proportional system,
– integral (or pure capacitive) system,
– derivative system,
– first order (or first order capacitive) system,
– second order system with underdamped, critically damped, oscillating and over-
damped response (second order capacitive system),
– higher order (n-th order multicapacitive) system,
– pure delay (dead time) system.
4.1 Proportional system
The proportional system is described by the input-output relationship:
y(t) = K ⋅ u(t), (4.1)
where K is denoted as the constant of proportionality between the output and the in-
put variable [1, 3].
The proportional system implies an instantaneous relationship between the input
variable (cause) change and output variable (effect) change. As all real systems have
inertia (e.g. due to their mass), the time relationship between the input and output
variables features a certain nonzero time lag or time delay. From this perspective, the
proportional system is placed at the physically feasible limit. Nevertheless, when com-
paring two systems, one with a very large time lag or time delay and the other one with
a very small inertia, the latter may be considered a proportional system from the dy-
namic point of view, because its dynamic response may be regarded as instantaneous
in comparison to the slow one.
The unit step input and the proportional system response to this input are pre-
sented in Fig. 4.1.
The transfer function of the proportional system emerges from the Laplace trans-
form of equation (4.1):
Y(s)
HP (s) = =K (4.2)
U(s)
and the frequency response function becomes
Y(jω )
HP (jω ) = = K. (4.3)
U(jω )
u0(t) y(t)
1 K
0 t 0 t
Fig. 4.1. Proportional system unit step response.
Bode diagram of magnitude for the proportional system

|Hp|dB
[dB]
20lgK
lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Bode diagram of phase for the proportional system

φp
1
[rad]
0.5
–0.5
–1 lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Fig. 4.2. Bode diagrams of the proportional system
According to equation (4.3) the magnitude of the frequency response function |HP (jω )|
equals K and its phase φP (jω ) is zero. The Bode diagrams of the proportional system
are presented in Fig. 4.2.
Example 4.1. Due to the fact that in electrical systems the transport rate of electri-
cal charges may be very high, compared to usual mass, momentum or heat transfer
processes, it may well be considered that in the resistive electrical circuit, such as the
one presented in Fig. 4.3, the output voltage Uo is depending on the input voltage Ui
according to the proportional system behavior:

R2
Uo (t) = U (t), (4.4)
R1 + R 2 i
where the gain is K = R2 /(R1 + R2 ).
R1
Ui R2 Uo
Fig. 4.3. The resistive electrical circuit may be

considered a proportional system.
The response of the electrical circuit to a step input voltage change is roughly instan-
taneous and attenuated with the gain factor K.
4.2 Integral system
The integral system is described by the input-output relationship:

t
1
y(t) = ∫ u(τ )dτ (4.5)
Ti
0
where the Ti is an integral constant [1, 3].

The integral system is also known as the pure capacitive system, because its out-
put (effect) is proportional to the accumulation (positive or negative) of the input vari-
able (cause). As a result, the integral system behaves as a pure capacity that is filling
up or emptying due to the net difference between the incoming and outgoing fluxes of
the extensive property, considered as input. This accumulation is proportional with
the 1/Ti constant.
The unit step input and the integral system response to this input are presented
in Fig. 4.4.
The transfer function of the integral system emerges from the Laplace transform
of equation (4.5):
Y(s) 1
HI (s) = = , (4.6)
U(s) Ti s
Y(jω ) 1 j
HI (jω ) = = =− . (4.7)
U(jω ) Ti jω Ti ω
u0(t) y(t)
1
1/Ti
0 t 0 t
Fig. 4.4. Integral system unit step response.
According to equation (4.7) the magnitude of the frequency response function |HI (jω )|
equals 1/(Ti ω ) and its phase φI (jω ) is tan−1 (−1/(Ti ω )/0) = −π /2 (negative phase, i.e.
phase lag). The Bode diagrams of the integral system are presented in Fig. 4.5.
|HΙ|dB Bode diagram of magnitude for the integral system

[dB] 60
40
20
–20
–40 lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Bode diagram of phase for the integral system

φΙ –0.5
[rad]
–1
–1.5
–π/2
–2
–2.5
–3 lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Fig. 4.5. Bode diagrams of the integral system.
Example 4.2. For illustrating the integral system behavior, consider the system con-
sisting in a tank continuously fed and evacuated with a liquid phase, Fig. 4.6 [2]. The
inlet mass flow Fmi (t) is considered time dependent and outlet mass flow Fmo (t) is con-
stant. The system may be delimited by the interface Σ , with the terminal variable of
Fmi
H H0
Fmo=constant
Fig. 4.6. Integral system example: mass accumulation in a tank with constant outlet flow.
input type u(t) = Fmi (t) − Fmo (t) (the cause) and the terminal variable of output type
y(t) = H(t) − H0 = ΔH (the effect).
The change of the liquid level in the tank H − H0 , as output variable, is depending
on the net inlet flow Fmi (t)−Fmo (t), according to an integral relationship emerged from
the mass balance equation:
dH
Fmi (t) − Fmo = A ⋅ ρ (4.8)
dt
which, by integration, becomes
t t
1 1
H = H0 + ∫ (Fmi (τ ) − Fmo )dτ and ΔH = ∫ (Fmi (τ ) − Fmo )dτ . (4.9)
Aρ Aρ
0 0
The change of the liquid level in the tank shows an integral relationship with respect
to the net difference between the inlet and outlet mass flow rates.
4.3 Derivative system
The derivative system is described by the input-output relationship:

du(t)
y(t) = Td , (4.10)
dt
where the Td is a derivative constant [1, 3].
The unit step input and the derivative system response to this input are presented
in Fig. 4.7.
The unit step response of the derivative system has a Dirac function (impulse)
form.
u0(t) y(t)=Tdδ(t)
Area=Td
1
0 t 0 t
Fig. 4.7. Derivative system unit step response.
The transfer function of the derivative system emerges from the Laplace transform of
equation (4.10):
Y(s)
HD (s) = = Td s (4.11)
U(s)
HD (jω ) = j ω Td . (4.12)
According to equation (4.12), the magnitude of the frequency response function

|HD (jω )| equals Td ω and its phase φD (jω ) is tan−1 ((Td ω )/0) = π /2 (positive phase, i.e.
phase lead). The Bode diagrams of the integral system are presented in Fig. 4.8.
The (pure) derivative system is not physically feasible, but a system having a large
derivative constant Td and a small time constant T may be approximated to a derivative
system.
Example 4.3. Consider the electrical circuit consisting in an Operational Amplifier

with positive feedback, presented in Fig. 4.9.
Applying the second Kirchoff law on the ABCDEG loop the following equation is
obtained:
Ui − Uc − RI − Uo = 0, (4.13)
and from the conservation law of the electrical charges on the conductive plates of the
capacitor Ce
dU
I = Ce c (4.14)
dt
the equation (4.13) becomes
dUc
Uo = Ui − RCe − Uc . (4.15)
dt
Considering the second Kirchoff law on the ABFG loop
Ui − Uc − Ri Ii = 0, (4.16)
Bode diagram of magnitude for the derivative system

|HD|dB
[dB]
60
40
20
–20 lg(ω)
–2 –1 0 1 2 3
Bode diagram of phase for the derivative system

φD
[rad] 3
2.5
2
π/2
1.5
1
0.5 lg(ω)
–2 –1 0 1 2 2.5 3
Fig. 4.8. Bode diagrams of the derivative system.
I
Ce
A
B Ii
Uc KA D
Ui Ri
C Uo
F
G
E
Fig. 4.9. Operational Amplifier with a derivative system behavior.
and taking into account that the current Ii is very small (as input current in the Opera-
tional Amplifier), it may be approximated that Ui ≈ Uc . Consequently, equation (4.15)
becomes
dUi
Uo = −RCe
, (4.17)
dt
which shows a derivative behavior, with the derivative time constant Td = RCe . The
minus sign denotes the inverse polarity with respect to the Ui voltage. Due to the ca-
pacitor Ce , for a step input voltage Ui change, only the part of the rapid input voltage
change of the step is sent to the output.
4.4 First order system
The first order (or first order capacitive) system is described by the input-output rela-
tionship:
dy(t)
T + y(t) = Ku(t), (4.18)
dt
where the T is denoted as the time constant and K as the steady state gain of the first
order system [1, 2, 4].
Described by a first order differential equation, the first order system is physically
feasible and a large class of systems may be approximated to its dynamic behavior.
The unit step input and the first order system response to this input are presented
in Fig. 4.10.
y(t)
B
yst
u0(t) < 0,95(yst–y0)
0,63(yst–y0)
1 y(0)=y0
A
M
0 t 0 3T t
T
Fig. 4.10. First order system unit step response.
The explicit solution of the first order equation (4.18), for the constant input u0 (t) and
y(0) = 0, is
t t
y = K u0 (t) (1 − e− T ) = K(1 − e− T ), t ≥ 0. (4.19)
The time constant T is defined as the period of time needed by the unit step response of
the first order system to reach 63.2 % of its net change. The net change is the difference
between the final steady state value and the initial value of the system output.
This definition of the time constant is revealed by making t = T in equation (4.19).
The output becomes
T
y(T) = K(1 − e− T ) = K(1 − e−1 ) = 0.632 K. (4.20)
The time constant can also be determined graphically, as shown in Fig. 4.10, by draw-
ing the tangent AB in the origin A of the step response plot and considering the inter-
section of the tangent with the steady state asymptote, i.e. point B. The perpendicular
drawn from point B to the abscissa determines the point M and the length of the seg-
ment OM is equal to the time constant T.
The time constant is a measure for the rate by which the first order system changes
its output as response to the input change (dynamic characteristic). The response time
is the time it takes for the step response to reach about 95 % of its final change. It is
considered to be of the order of 3T.
The steady state (static) gain is defined as the ratio between the output change
and the input step change (the change is considered as the difference between the
final steady state value and the initial steady state value, for both the input and the
output). For the step input change the gain is
y(∞) − y(0) y − y0
K= = st = yst − y0 . (4.21)
u0 (∞) − u0 (0) 1−0
When the step input change does not have a unit value, but the amplitude of the
change is umax − umin , the first order steady state system gain may be computed as
the ratio (yst − y0 )/(umax − umin ).
The steady state gain shows the magnitude of the inlet variable influence on the
output variable (steady state characteristic).
The transfer function of the first order system emerges from the Laplace transform
of equation (4.18):
Y(s) K
HD (s) = = (4.22)
U(s) Ts + 1
K K(1 − j T ω ) K KT ω
HFO (jω ) = = 2
= 2
−j . (4.23)
jTω +1 1 + (T ω ) 1 + (T ω ) 1 + (Tω )2
According to equation (4.23) the magnitude of the frequency response function
|HFO (jω )| equals K/(1 + T 2 ω 2 )1/2 and its phase φFO (jω ) is − tan−1 (Tω ). The Bode
diagrams of the first order system are presented in Fig. 4.11 [2].
The first order system is an accumulator of mass, energy or momentum.
Example 4.4. An isothermal continuous stirred tank reactor (CSTR) in which a first
order reaction is transforming the A reactant into B product can be considered as an
accumulator of component A. Due to the change of the inlet concentration of A, CAi ,
entering the reactor (considered as the input variable) the output concentration of A,
CA , (considered as the output variable) is changing.
The mass balance of the component A in the reactor system, for constant volume
and equal inlet/outlet volumetric flows F, is described by
d
FCAi − FCA − VkCA = (VCA ). (4.24)
dt
Bode diagram of magnitude for the first order system

|HFO|dB
0
[dB]
–20
–40
–60
–80 lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Bode diagram of phase for the first order system

φFO 0
[rad]
–0.5
–1
–1.5
–π/2
–2 lg(ω)
–2 –1.5 –1 –0.5 0 0.5 1 1.5 2 2.5 3
Fig. 4.11. Bode diagrams of the first order system.
Following simple transformations, equation (4.24) becomes:
V dCA F
+ CA = C , (4.25)
F + Vk dt F + Vk Ai
leading to the time constant and steady state gain parameters of the first order system:
V F
T= , K= . (4.26)
F + Vk F + Vk
4.5 Second order system
The second order system is described by the input-output relationship
1 d2 y(t) 2ζ dy(t)
+ + y = Ku(t), (4.27)
ωn2 dt2 ωn dt
where the ωn is the natural (angular) frequency of oscillation, ζ is the damping factor
of the oscillations, and K is the steady state gain of the second order system [1, 4, 5].
The second order system unit step response is presented in Fig. 4.12.
Overdamped
Critically damped
Underdamped
y(t)
Oscillating
u0(t)
1
0 t
0 t
Fig. 4.12. Second order system unit step response.
According to the values of the damping factor ζ , the analytical (explicit) solution of
equation (4.27), for u(t) = u0 (t), has different forms. These forms are
ζ
y(t) = Ku0 (t)[1 − e−ζωn t ( cosh ωn √ζ 2 − 1t + sinh ωn √ζ 2 − 1t)] for ζ >1
√ζ 2 −1
(4.28)
− ωn t
y(t) = Ku0 (t) [1 − (1 + ωn t) e ] for ζ =1 (4.29)
y(t) = Ku0 (t)[1 − cos(ωn t)] for ζ =0 (4.30)
e−ζ ωn t √1 − ζ 2
y(t) = Ku0 (t)[1 − sin (ωn √1 − ζ 2 t + arctan ( ))] for 0 < ζ < 1.
√1 − ζ 2 ζ
(4.31)
For values of the damping factor ζ exceeding unity, the second order system has an
overdamped behavior, presented in equation (4.28), with a sluggish response. The
shortest overdamped behavior, i.e. the critically damped response, is obtained for the
damping factor ζ = 1, equation (4.29). When the damping factor ζ is less than unity
the system response becomes underdamped and shows an oscillating behavior with
diminishing amplitude, equation (4.31). For the case when the damping factor equals
zero ζ = 0, the second order system exhibits an oscillating behavior with constant
amplitude, equation (4.30).
The transfer function of the second order system emerges from the Laplace trans-
form of equation (4.27):
Y(s) K
HSO (s) = = (4.32)
U(s) 1 2 2ζ
s + s+1
ωn2 ωn
and the frequency response function becomes after simple transformations
ω 2 2ζ
1−( ) ⋅ω
ωn ωn
HSO (jω ) = −j . (4.33)
2 2
ω2 4ζ 2 ω2 4ζ 2
(1 − ) + ω2 (1 − 2 ) + 2 ω 2
ωn2 ωn2 ωn ωn
The Bode diagrams of the second order system are presented in Fig. 4.13 [2].
Bode diagram of magnitude for the second order system

|HSO|dB
ξ=0
20
ξ=0.1
0
ξ=0.7
–20
–40
–60 lg(ω)
–1 –0.5 0 0.5 lg(ωn ) 1 1.5 2 2.5
Bode diagram of phase for the second order system

φSO 0
[rad] ξ=0.7
–1
–π/2 ξ=0.1
–2
ξ=0
–3
–π
–4 lg(ω)
–1 –0.5 0 0.5 lg(ωn ) 1 1.5 2 2.5
Fig. 4.13. Bode diagrams of the second order system.
For the case of the critically and overdamped behavior, the second order system may
emerge from the coupling in series of two first order capacitive systems. Consequently,
this second order system is denoted as the second order capacitive system.
Example 4.5. Consider the case of the system composed of two isothermal CSTRs that
are connected in series, as shown in Fig. 4.14 [1]. In both of them, a first order reaction
is transforming the A reactant into the B product. Each of the CSTRs has as input the
change of the inlet concentration of A component entering the reactor and as output
the change of the output concentration of A component. The volume of the inventory
in each reactor is kept constant.
CAi , F
A B A B
CA1 CA2
CB1 CB2
V V
CA1 , F CA2 , F
Fig. 4.14. Second order system emerged from the series connection of two CSTRs.
The system of CSTRs has a second order critically damped behavior on the transfer
path having CAi as input and CA2 as output. They are described by the mass balance
equations for the A component
dCA1
V + (F + Vk)CA1 = FCAi
dt
(4.34)
dC
V A2 + (F + Vk)CA2 = FCA1
dt
which emerge in the global equation
V2 d2 CA2 V dCA2 F2
+ 2 + C A2 = C , (4.35)
(F + Vk)2 dt2 F + Vk dt (F + Vk)2 Ai
where
F + Vk F2
ωn =, ζ = 1, K = . (4.36)
V (F + Vk)2
The transfer function of the CSTRs system may be obtained by applying the Laplace
transform to the equations (4.34)
T1 s CA1 (s) + CA1 (s) = K1 CAi (s)
(4.37)
T2 s CA2 (s) + CA2 (s) = K2 CA1 (s),
where
V F
T1 = T2 =
, K 1 = K2 = (4.38)
F + Vk F + Vk
and by following simple transformations becomes the form
CA2 (s) K 1 K2 K 1 K2
HSO (s) = = = . (4.39)
CAi (s) (T1 s + 1)(T2 s + 1) [T1 T2 s2 + (T1 + T2 )s + 1]
4.6 Higher order system
When connecting in series multiple first order capacitive systems, the input-output
relationship features an increased time lag and presents the so called higher order
capacitive system behavior [1, 4, 5]. The first order capacitive systems connected in se-
ries may or may not have interactions (cause-effect in both directions between sys-
tems). These two cases are presented in Fig. 4.15.
(a)
u=u1 FOC1 FOC2 FOC3 FOCn y=yn
y1=u2 y2=u3 y3=u4 yn–1=un

(b)
u=u1 FOC1 FOC2 FOC3 FOCn y=yn
Fig. 4.15. (a) Series connection of first order systems without interaction, (b) series connection of
first order systems with interaction.
For the case of a noninteracting cascade of n first order systems, the differential equa-
tion describing the input u and output y relationship is of n-th order of differentia-
tion with respect to the output y. The unit step response of the system is presented in
Fig. 4.16.
y1
t
0
y2
t
0
y3
u0(t) t
0
1 yn
t
0 t 0
Fig. 4.16. n-th order system unit step response.
The transfer function of the noninteracting cascade of n first order systems has the
following form:
K1 K2 Kn
HnO (s) = ⋅⋅⋅ . (4.40)
T1 s + 1 T2 s + 1 Tn s + 1
Example 4.6. First, consider as an example the n-th order system, presented in
Fig. 4.17, emerged from cascading n first order noninteracting systems [1, 4]. In each of
them a first order reaction is transforming the A reactant into B product. Each of the
CSTRs has as input the change of the inlet concentration of A component entering the
CAi , F
A B A B A B
CA1 CA2 CAn

CB1 CB2 CBn
V V V
CA1 , F CA2 , F CAn , F
Fig. 4.17. n-th order system emerged from the series connection of n CSTRs.
reactor and as output the change of the output concentration of A component. The
volume of the inventory in each of the reactors is kept constant.
The system composed of multiple CSTRs has the concentration of A component
entering the first reactor CAi as input and the concentration of A component leaving
the n-th reactor CAn as output. It is described by the transfer function of the form pre-
sented in equation (4.40).
Example 4.7. Consider as an example of a second order system, the pneumatic system
emerged from cascading two interacting systems. Each of the interacting systems con-
sists in a vessel (capacity) for air accumulation. Both inlet and outlet flow rate of air
changes the pressure in the vessel. The input variable of the interacting system is the
inlet pressure of the feeding flow and the output variable is the pressure in the vessel.
The air accumulation is assumed to be isothermal and the process is considered ho-
mogeneous with respect to the space coordinates. The two vessel system is presented
in Fig. 4.18.
pi R1 R2 R3 p3
C1 C2
p1 p2
Fig. 4.18. Pneumatic systems with interaction.
The equations describing the pressure change in the two vessel system are
dp1 pi − p1 p1 − p2
C1 = −
dt R1 R2
(4.41)
dp p − p2 p2 − p3
C2 2 = 1 −
dt R2 R3
which becomes after the Laplace transform

1 1 p p
(C1 s + + ) p1 = i + 2 (4.42)
R1 R2 R1 R2
1 1 p p
(C2 s + + ) p2 = 1 + 3 . (4.43)
R2 R3 R2 R3
After eliminating the p1 variable from equation (4.42), the following equation is ob-
tained:
R1 C1 R2 C2 R3 s2 (R1 C1 R3 + R1 C1 R2 + R2 C2 R3 + R1 C2 R3 )s
p2 [ + + 1]
R1 + R 2 + R 3 R1 + R 2 + R 3
R3 R1 + R 2 R C R s
= p + ( 1 1 2 + 1) p3 (4.44)
R1 + R 2 + R 3 i R1 + R 2 + R 3 R1 + R 2
and the transfer function on the path pi to p2 becomes
R3
R1 + R 2 + R 3
H(s) = . (4.45)
R1 C1 R2 C2 R3 2 (R1 C1 R3 + R1 C1 R2 + R2 C2 R3 + R1 C2 R3 )
s + s+1
R1 + R 2 + R 3 R1 + R 2 + R 3
The transfer function of the noninteracting cascaded capacities has the form
R 2 R3
(R1 + R2 )(R2 + R3 )
H(s) = . (4.46)
R1 R2 C1 R2 R3 C2 2 R R C R R C
s + ( 1 2 1 + 2 3 2)s + 1
(R1 + R2 )(R2 + R3 ) R1 + R 2 R2 + R 3
As may be noticed, the transfer functions of the cascaded interacting and noninter-
acting capacities are different.
For the numerical case when C1 = C2 = 2 and R1 = R2 = R3 = 1 the transfer
function (equation (4.45)) on the path pi to p2 becomes
1
H(s) = (4.47)
2
3(2s + 1) ( s + 1)
3
and the transfer function on the path p3 to p2 , obtained from equation (4.44), has the
form
2(s + 1)
H(s) = . (4.48)
2
3(2s + 1) ( s + 1)
3
The time constant for a single noninteracting capacity is
C 2
T= = =1 (4.49)
1 1 2
+
R1 R2
while the time constants for the interacting capacities have the 2 and the 2/3 values.
4.7 Pure delay system
The pure delay (or dead time) system is described by the input-output relationship:
y(t) = u(t − τ ), (4.50)
where the τ is denoted the pure delay time or dead time [1, 4, 6]. The dead time is the
time that passes from the moment of the input change until the moment the output
starts to change, too.
The unit step input and the pure delay system response to this input are presented
in Fig. 4.19.
u0(t) y(t)
1 1
0 t 0 τ t
Fig. 4.19. Pure delay system unit step response.
It may be noticed that the dead time system does not change the form of the input
signal, only delays it.
The transfer function of the pure delay system may be obtained by the series ex-
pansion of the output signal around the moment of time t:
τ du(t) τ 2 d2 u(t) τ 3 d3 u(t)
y(t) = u(t − τ ) = u(t) − + − + ⋅⋅⋅ . (4.51)
1! dt 2! dt2 3! dt3
Applying the Laplace transform to (4.51) the following equality is obtained:
τ s τ 2 s2 τ 3 s3
Y(s) = (1 − + − + ⋅ ⋅ ⋅) U(s), (4.52)
1! 2! 3!
where in the parenthesis we find the Maclaurin series expansion of the function e−τ s ,
leading to the transfer function of the pure delay system:
Y(s)
HPD (s) = = e−τ s . (4.53)
U(s)
The frequency response function of the pure delay system becomes:
HPD (jω ) = e−jωτ = cos(ωτ ) − j sin(ωτ ). (4.54)
According to equation (4.54), the magnitude of the frequency response function

|HPD (jω )| equals 1 and its phase φPD (jω ) is tan−1 (tan(−ωτ )) = −ωτ . The Bode dia-
grams of the pure delay system are presented in Fig. 4.20.
|HPD|dB Bode diagram of magnitude for the pure delay system

[dB]
1
0.5
–0.5
–1 log(ω)
–1 –0.5 0 0.5 1 1.5 2
Bode diagram of phase for the pure delay system

φPD 0
[rad]
–400
–800
log(ω)
–1 –0.5 0 0.5 1 1.5 2
Fig. 4.20. Bode diagrams of the pure delay system.
The pure time delay may directly emerge from transport processes or may come out as
equivalent pure time delay, resulting from cascading several capacities.
Example 4.8. The step change of the fluid flow rate (or temperature) produced at the
inlet of a long transport pipe (considered as the input variable) produces at the end
of the pipe the same step change of the fluid flow rate (or temperature), considered as
the output variable, featuring a pure delay behavior. Considering only the convective
transport, the pure delay time may be computed as the ratio between the length of the
pipe L and the fluid velocity v, τ = L/v.
4.8 Equivalence to first order with time delay system
Real systems may be approximated as having one of the previously presented dynamic
behavior patterns. Nevertheless, they may exhibit dynamic behavior that emerges
from combinations of the presented types of systems.
One of the most usual cases of such combinations is the first order subsystem that
has associated pure delay (dead time) behavior. The unit step response of the first
order system with dead time has the form presented in Fig. 4.21. This system produces
y(t)
yst
< 0,95(yst–y0)
u0(t)
0,63(yst–y0)
1 y(0)=y0
0 t 0 t
τ Tp 3Tp+τ
Fig. 4.21. Unit step response of the first order system with dead time.
a combination of time delay lag on the input-output path that aggregates the pure time
delay with the first order system time lag (time constant). The significance of the pure
time delay and the time constant are illustrated in Fig. 4.21.
The transfer function of the first order associated with the pure time delay system,
has the following form [2]:
Y(s) K e−τ s
HFOPD (s) = = (4.55)
U(s) Ts + 1
and its frequency function is
K e−τ jω
HFOPD (jω ) = . (4.56)
1 + jω T
For the case of second order overdamped systems or the case of higher order systems
emerged from connecting in series of several first order capacitive systems, it is usual
to approximate the dynamic behavior to an equivalent first order system with dead
time (having an equivalent time constant Te and an equivalent dead time τe ). The
transfer function of the equivalent system has the transfer function and the frequency
function of the forms presented in equations (4.55) and (4.56). The equivalent gain
Ke , equivalent time constant Te and equivalent dead time τe may be computed either
analytically or graphically.
Consider the case of connecting in series n first order capacitive systems (of known
gains and time constants, Ki and Ti , i = 1 ⋅ ⋅ ⋅ n). The analytical computation of the
equivalent gain Ke , equivalent time constant Te and equivalent dead time τe emerges
from the equalities of the gain factor, magnitude and phase lag of the frequency re-
sponse between the equivalent first order system with dead time and the n first order
series of capacitive systems. They are presented in the following equations:
n
K e = ∏ Ki (4.57)
i=1
n
Ki Ke
∏ = (4.58)
i=1 √1 + Ti2 ω2 √1 + Te2 ω 2
n
∑ (− arctan(Ti ω )) = −τe ω − arctan(Te ω ). (4.59)
i=1
Figure 4.22 presents the step response of n-th first order system and the equivalent step
response of the first order with pure time delay system [2].
y(t) y(t)
B
yst yst
y(0)=y0 y0
A
O M N
0 t 0 t
τe Te τe Te
Fig. 4.22. (a) Step response of the n-th order system (b) Equivalent (first order with dead time) step
response.
The equivalence may also be accomplished graphically by drawing the tangent line to
the step response plot of the n-th order system, in the inflexion point I, and obtaining
the segments OM = τe and MN = Te . These segments are determined by the projec-
tions on the abscissa, M and N, of the tangent line intersections with the asymptotes
of the initial and final steady state values, i.e. points A and B of the tangent line.
4.9 Problems
(1) The chemical reaction of transforming the A reactant into the B product has first or-
der kinetics and is performed in a CSTR. Build the mathematical model of the system,
o
the Bode plots and the transfer function for the transfer path Tag to T o (i.e. heating
agent temperature to reactor temperature). Determine also the type of the dynamic
behavior and parameters (gain, time constant, pure time delay) characterizing the
dynamic behavior of the heat transfer process. The mass of the reactor wall may be
considered negligible.
The following data are known: volume of reactor V = 1 m3 , heat transfer area
AT = 4 m2 , heat transfer coefficient KT = 1000 kcal/m2 h ∘ C, flow rates of the equal
inlet and outlet streams F = 5 m3 /h, specific heat of the reactant and products cp =
1 kcal/kg ∘ C, density of the reactant and products ρ = 1000 kg/m3 , temperature of the
inlet stream Tio = 40 ∘ C, cooling agent temperature Tag

∘
= 20 ∘ C, heat of reaction ΔHr =
3
−20 kcal/mol, nominal concentration of A component CA = 0.5 kmol/m , reaction
rate constant at steady-state temperature T ∗∘ , k(T ∗∘ ) = 0.002 s−1 , activation energy
E = 15 kcal/mol, gas constant R = 1.989 kcal/kmol K.
Note: the reaction rate constant can be expressed as k = a exp(−E/(RT ∘ )). This
expression can be linearized around the steady state temperature T ∗o by the first two
terms of the Taylor series expansion:
dk 󵄨󵄨󵄨󵄨
k(T o ) ≅ k(T ∗∘ ) + ∘ ∗∘
󵄨 (T − T ). (4.60)
dT 󵄨󵄨󵄨T ∗
(2) Consider two CSTRs coupled in series. They are connected by a very long pipe,
where only the transport phenomenon occurs. Determine the transfer function for the
transfer path CAi to CA1 and to CA2 . The following data are given: reactors’ inlet and
outlet equal flow rates Fi = F1 = F2 = 2 m3 /h, interior diameter of the connecting pipe
dc = 20 mm, length of pipe lc = 150 m, volumes of the reactors V1 = V2 = 0.3 m3 ,
reaction rate constant in both reactors k = 0.005 s−1 . Plot the Bode diagrams of the
system.
(3) Compute the global transfer function of the control system presented in Fig. 4.23,
with the time constants and the pure time delay given in seconds.
Yref(s) + Y(s)
0.3 0.15 e–2s
5
– 8s+1 150s+1
2
10s+1
Fig. 4.23. Feedback control system with proportional controller.
(4) Consider a tank equipped with a stirrer and a heating jacket, as presented in Fig-
ure 4.24.
It is assumed that the mixing of the fluid is perfect and the wall has negligible heat
capacity. Determine the transfer function of the system for the transfer path Ti∘ to T2∘
and put it in the following form:
T ∘ (s) K1
H(s) = 2∘ = . (4.61)
Ti (s) (Ta s + 1)(Tb s + 1)
Find the mathematical expressions of the parameters K1 , Ta , and Tb .
(5) The data below in Tab. 4.1 were obtained after an inlet step change of the steam
flow rate entering a heat exchanger. The heat exchanger outlet temperature measure-
ments were performed with a glass thermometer. What is the time constant of the heat
exchanger?
FV , TA°
Fag , T1°
M2
M1
Fag , T°i ag
FV , T2° Fig. 4.24. Perfectly mixed tank with heating jacket.
Table 4.1. Step response of the heat exchanger outlet temperature.
t [min] 0 2 4 6 8 10 12 14 16 20 30 40 50
T [∘ C]
o
50 51 54 58 62 65 68 71 73 76 79 80 80.5
(6) Consider a batch reactor with diameter D = 2 m and height H = 3.5 m. The reactor
temperature is controlled by the (cooling) water circulating in the jacket. The overall
heat transfer coefficient between the jacket and the reactor is KT = 1000 kcal/m2 hK
and the mean residence time of the water agent in the jacket is t = 2 min. Neglecting
the heat capacity of the reactor wall and considering a chemical reaction with zero
enthalpy of formation, determine the time constant of the system. What error is intro-
duced if the capacities’ interactions are neglected?
(7) A tank has the cross-sectional area A = 1 m2 , the nominal liquid level H = 4 m
and the nominal outlet flow rate F = 2 m3 /h. How will the liquid level change in
time if the outlet flow rate suddenly (stepwise) increases to the flow rate value F ∗ =
2.5 m3 /h? Plot the exact solution of the process equation and the solution obtained
by linearization.
(8) Solve numerically (using the Euler and Runge–Kutta methods) the differential
equations of the processes describing:
(a) the tank from Problem (7),
(b) the cascade (series) of three isothermal CSTRs where the first order reaction trans-
formation of the A reactant into the B product occurs. The residence time in all re-
actors is TR = V/F = 2 minutes, the reaction rate constant is k = 0.5 min−1 , initial
concentration in the reactors are CA1 (0) = 0.4 kmol/m3 , CA2 (0) = 0.2 kmol/m3
and CA3 (0) = 0.1 kmol/m3 , and the step change of the inlet flowrate is from
F = 0.8 kmol/m3 to F = 0.6 kmol/m3 .
(9) Develop a software application which solves, based on the Euler method, the
system of ordinary differential equations which describes the gas accumulation pro-
cess in a series of three tanks, as presented in Fig. 4.25. The following parameters
are known: V1 = V2 = V3 = 20 L, R1 = R2 = R3 = R4 = 108 Pa/(m3 /s), gas con-
stant R = 8314 J/kmolK, p4 = 0 (atmospheric pressure), the molecular mass of gas
M = 29 kg/kmol and the temperature T o = 20 ∘ C.
Compute the steady state pressures if the pressure p0 has the initial value p0 (0) =
2 bar and it changes stepwise to p0 = 3 bar. Plot the change of the pressures in the
tanks.
p0 V1 , p1 V2 , p2 V3 , p3 p4
R1 R2 R3 R4
Fig. 4.25. Cascade of tanks with gas accumulation.
(10) The dynamic behavior of the liquid level h in the tank R1 is investigated when
the inlet volumetric flow rate F1 is changing. Both tanks, R1 and R2 , are operated at
atmospheric pressure. The liquid emerging from tank R1 is recycled through the tank
R2 with the pump P .The system of the two tanks is shown in Fig. 4.26.
F1
C1
R1 LAS
h
C2 F2 LRC
h1 V2 VR
FI
R2
V1
PI
Fig. 4.26. Liquid accumulation in the tank R1 .
(a) Based on the mass balance of the liquid in the tank R1 and the momentum balance
for the liquid in the output pipe of the same tank, develop the dynamic model
describing the relationship between the level h in the tank (output) of the R1 and
the inlet flow rate F1 (input).
(b) Linearize the obtained model and compute the transfer function of the process
with the same input-output variables, considering the system as a capacitive first
order system.
Use the following notation for the variables and their associated numerical values:
A – cross sectional area of cylindrical tank R1 (0.07065 m2 ),

C1 – inlet piping of the tank R1 ,
C2 – outlet piping of the tank R1 ,
Dp – inner diameter of the outlet pipe C2 (0.015 m),
F1 – inlet volumetric flow in the tank R1 ,
F10 – inlet volumetric flow in the tank R1 at steady state conditions (1.111⋅10−4 m3 /s),
F2 – outlet volumetric flow evacuated from the tank R1 ,
h – level of liquid in the tank R1 ,
h0 – level of liquid in the tank R1 at steady state conditions (0.25 m),
h1 – elevation of the tank R1 , relative to the tank R2 (0.65 m),
k – steady state (static) gain of the system,
k1 , k2 – real constants,
Lp – length of the outlet pipe C2 (2 m),
n – number of flow restrictions (4 = 3 elbows + 1 tap partially open),
patm – atmospheric pressure,
Sp – cross-sectional area of the outlet pipe C2 (1.76625 ⋅ 10−4 m2 ),
T – time constant of the first order system,
w – velocity of the liquid flowing in the outlet pipe C2 ,
ξi – pressure loss coefficients on different local flow restrictions of the outlet pipe C2 ,
λ – friction coefficient between fluid and wall of the pipe,
μ – fluid dynamic viscosity (10−3 Ns/m2 ),
ρ1 = ρ2 = ρ – liquid density at the inlet, outlet and inside the tank R1 (1000 kg/m3 ),
Numerical values:
Mean velocity of the fluid in the outlet pipe (in steady state conditions, when F10 =
F20 ), vm = F10 /Sp = 1.111 ⋅ 10−4 /1.76625 ⋅ 10−4 = 0.629 m/s,
Reynolds number: Re = ρ ⋅ vm ⋅ Dp /μ = 9435 ≈ 9500 (turbulent flow)
Friction coefficient between fluid and wall of the pipe λ = 0.3164/Re0.25 = 0.03205
(smooth pipe),
Coefficient of pressure loss on the 90∘ elbow local flow restriction: ξ1 = ξ2 = ξ3 =
0.125,
Coefficient of pressure loss on the partially open tap V2 local flow-restriction ξ4 = 40.
References
[1] Agachi, S., Automatizarea Proceselor Chimice, Editura Casa Cărţii de Ştiinţă, Cluj-Napoca, 1994.
[2] Cristea, M. V., Agachi, S. P., Elemente de Teoria Sistemelor, Editura Risoprint, Cluj-Napoca, 2002.
[3] Agachi, S., Cristea, M. V., Lucrări Practice de Automatizarea Proceselor Chimice, Tipografia
Univ., Cluj-Napoca, 1996.
wood Cliffs, New-Jersey 07632, Prentice Hall, 1984.
[5] Marinoiu, V., Paraschiv, N., Automatizarea Proceselor Chimice, Vol. I, Vol II, Editura Tehnică,
Bucureşti, 1992.
[6] Marlin, T. E., Process Control, Designing Processes and Control Systems for Dynamic Perfor-
mance, 2nd edition, Mc-Graw Hill, 2000.
5 Manual and automatic control [1]
As mentioned before, process control deals with the process operation without human
intervention. Manual control operations are the basis of automatic control.
5.1 Manual control
Manual control of a plant is the operation of the plant, manually, by the human oper-
ator.
Taking into consideration a simple process of heat transfer in a shell and tube heat
exchanger, from Fig. 5.1, one may consider the way a process operator is trying to main-
tain a stable temperature at a value given by the technological process (Fig. 5.2). Since
a disturbance occurs, say a decrease in input temperature during the winter (Ti∘ ), or
the decrease of the input temperature of the heating agent, the operator watching the
process observes on a thermometer the change and manipulates the valve, opening it
stepwise, increasing the heating agent flow and the heat flow to the process. The tem-
perature will increase after a long while, the delay being given by the time constant of
the process (Fig. 5.2a). An experienced operator, knowing the dynamics of the process,
opens the valve abruptly (Fig. 5.2b), gives a thermal shock to the process, hurrying in
this way the change of temperature (Fig. 5.2c). After a while, the operator decreases
the agent flow to an intermediate value and smoothly reaches the desired output tem-
perature. This is a way of controlling the temperature, similar to the automatic control
(PID). The drawbacks of the manual control are obvious:
– it needs continuous attention in supervising the parameters whether on night or
day shift; if there are hundreds of parameters to be supervised, it is very difficult
to operate the process appropriately;
– for a good operation of the process, it needs a high level of understanding of the
process (including its steady state and dynamics) on behalf of the operator.
These considerations support the introduction, wherever possible, of automatic con-

trol systems.
Fig. 5.1. Heat exchanger.

Fag , T°iag
T°
T°i
Fag , T°ag
T°i
T°
t
(a) t0 t1
Fag
T°
t
(b) t0 t1
Fag
T°
t
t0 t1
(c) Fig. 5.2. Operation of a heat exchanger.
5.2 Automatic control
Automatic control of a plant means the operation of the plant without human inter-
vention, by an “automaton” which is the Automatic Control System (ACS).
Figure 5.3 shows the usual control solution for the heat exchanger. Actually, the
control system copies the actions of the operator: (a) the observation of the tempera-
ture; (b) the calculation of the deviation from the prescribed value; (c) the estimation
of the change needed in the manipulated variable (in operator’s mind); (d) the actual
change of the heating flow until the setpoint is reached.
T°set
TC TT
Fag
Ti° T°
Fig. 5.3. The temperature

control system for the
Fag
heat exchanger.
The devices performing all the above mentioned tasks are: the transducer for action
(a); the controller for actions (b) and (c); the control valve (final control element) for
action (d). The block diagram for a general feedback control system is given in Fig. 5.4.
S
r + e c Actuating m y
Controller Process
device
–
C AD
Fig. 5.4. Block dia-
xr gram of a general
Transducer
feedback control sys-
T tem.
The significance of the notations is the following: Process - the controlled process,
namely the transfer path manipulating the variable/controlled variable; T (trans-
ducer) – the device which measures the controlled parameter and transforms it into
a signal compatible with the other signals in the loop; S (summing point or compara-
tor) – the device which compares the setpoint with the signal of the transducer and
calculates the error; C (controller) – the device which calculates the control signal,
according to an embedded control algorithm and the sign and magnitude of the er-
ror; AD (actuating device or final control element) – the device which modifies the
manipulating variable, to change the process output.
The system is named feedback control system, because it measures the controlled
variable (y) with T (xr – the reaction variable), feeds it back to the entrance of the
system, where it is compared with the desired value (r – reference, input or setpoint)
inside the S; S calculates the deviation of the controlled variable from the setpoint (e –
error; e = r − xr ); the error is supplied to C and the controller calculates according to
its algorithm (P, PI, PID or others) the control variable c; the AD transforms c in the
manipulated variable m which is a mass or energy flow which, modified, is supposed
to bring the deviation/error e to 0.
The subtraction of the controlled variable (xr ) from the setpoint (r) produces the
so called negative feedback (negative reaction) and the addition of the two variables,
positive feedback (positive reaction). Sometimes, the positive reaction exists naturally,
embedded in the process (e.g. exothermic reactions).
Of course, automatic control systems require a better preparation of the person-
nel, increased initial costs (about 10 %–15 % additional costs of the equipment), a
good organization of the plant including metrology, maintenance, a good understand-
ing of the economics of additional areas like optimization, heat integration, control.
5.3 Steady state and dynamics of the control systems
The time functioning of a system in steady state implies the time invariability of its pa-
rameters. Thus, the period of functioning of the heat exchanger outside the interval
t0 –t1 (Fig. 5.2b) represents a steady state. From the moment t0 , the process modifies
its working parameters entering into the so called dynamic state (until t1 ). Starting
with t1 , the process calms down to a steady state. Usually the dynamic state of a pro-
cess is not desirable, because the process can become uncontrollable. But sometimes,
especially in the batch processes case, dynamic behavior is desired and conducted
in such a way as to obtain the maximum production, for example, in the minimum
time. Unfortunately, the ever appearing disturbances offer short periods of station-
arity for a process, seriously affecting its technical and economic performance. For
example, in the functioning of the distillation column (Fig. 3.14), the stability of the
composition at the top of the column is disturbed almost permanently by: changes of
the composition of the feed flow (changed raw material, changes in the functioning
conditions of the previous stages), variations of temperature at the bottom of the col-
umn (due to the changes in the steam quality), variations of the feed flow (clogging
of the pipelines, ageing of the centrifugal pump), the outside pressure change (vari-
able weather fronts). The permanent presence of disturbances imposes the automatic
control of a process.
5.4 Stability and instability of controlled process and control

systems
From the point of view of stability, the process can be self-regulating or non-self-
regulating. A process is self-regulated (or BIBO stable) if, at the occurrence of a
bounded disturbance, it goes from a steady state to another steady state via a dy-
namic transitory period (Fig. 5.5a). If the process, at the occurrence of a bounded
disturbance, goes from a steady state to an unstable regime (Fig. 5.5b), it is non-
self-regulated. This is the case of the exothermic reactors operated at their unstable
equilibrium point.
y y
Fig. 5.5. Self-regulating

t t and non-self-regulating
(a) (b) process.
There are cases when a stable by nature process becomes unstable due to a badly de-
signed control system (Fig. 5.6). This is a cause which sometimes makes the control
loops to be set on “manual” operation.
y y
Fig. 5.6. The stable

process (a) becomes
t t unstable due to a bad
(a) (b) control (b).
5.5 Performance of the control system
The performance of the control system is judged both in a steady state and in a dy-
namic one. Thus, if a control system is well designed and tuned, responds to a step
disturbance with a damped oscillation with the following distinguishable elements
(Fig. 5.7): σ1 – overshoot; σ2 and σ3 are the amplitudes of the second and third oscilla-
tion; est – the steady state error; tr – transient time/settling time (duration of the tran-
sient process – time needed by the controlled parameter to arrive and remain around
the final steady state with a deviation of maximum 5 % or 2 % of the final value).
1.5
Setpoint
Actual
σ1 ε st
1
σ3
Parameter
σ2
0.5 tr
0
0 20 40 60 80 100
Time
Fig. 5.7. The transient response of a control system.
One can say a process control system behaves properly if during the dynamic state
σ1 ≤ σ1imp , (5.1)
meaning that the overshoot does not exceed a technologically imposed value – e.g.
10 % of the setpoint value;
tr ≤ trimp , (5.2)
meaning that the transient time is shorter than a technologically imposed value – e.g.
for a drying process it is important that the deviations from the setpoint are shorter
than 10 min;
σ
ζ ≥ ζimp (ζ = 1 − 3 ) , (5.3)
σ1
where ζ is the damping ratio and it is important that it is smaller than an imposed
value; it is usually considered good behavior if the ζ = 0.75, meaning that the oscil-
σ
lations respect the rule of quarter decay ratio, σ3 = 14 (Fig. 5.8).
1
The performance in the steady state is the steady state error (SSE), or offset, that
is the difference between the settled controlled variable and its setpoint.
est ≤ estimp. (5.4)
Meaning the steady state error should be smaller than an imposed value; technolog-
ically, est is acceptable if it is under 2 % of the setpoint value. This statement is very
1.5
Actual
Setpoint
σ1 σ3
1
Parameter
σ1 1
0.5 σ3 = 4
0
0 20 40 60 80 100
Time
Fig. 5.8. Good response of a control system with a quarter decay ratio.
general and it is seen from the technology point of view. We shall demonstrate that
even a 2 % error can cause important economic losses.
5.6 Problems
(1) Describe the advantages and disadvantages of automatic control compared with
the manual one. Each situation should have at least three advantages and disadvan-
tages. Why do you think automatic control is to be preferred in the complex situation
of an industrial process?
(2) Explain what happens with the controlled temperature when, in the temperature
control loop described in Section 5.2, the summer does not subtract xr from r, (e = r−xr )
but adds them (e = r + xr ).
(3) Explain why the heating process of a classroom is a self-regulated process and the
change of the flow rate at the entrance of a tank is either self-regulated (free outflow
through a valve) or a non-self-regulated one (forced outflow through a pump)?
(4) Suppose the tiles in an oven are burnt normally at 1200 ∘ C. The technological con-
straint is that the temperature of 1320 ∘ C should not be exceeded for more than 10 min-
utes. How can we describe the functioning of a temperature control loop if σ1 = 15 %
of the setpoint and tr = 25 min?
(5) Which of the following processes are “naturally” stable? Exothermic reaction, nu-
clear reaction, filling a glass with water under the tap, pressure increase in an air buffer
compressor tank with inflow and outflow pipes.
References
[1] Agachi, S., Automatizarea Proceselor Chimice, Editura Casa Cărţii de Ştiinţă, Cluj-Napoca, 1994,
p. 4.
|
Part II: Analysis of the feedback control system
6 The controlled process
Figure 5.4 depicts all elements of a feedback control system. Its analysis is the descrip-
tion of the steady state and dynamic behavior of all its parts: the controlled process,
the transducer, the controller and the actuator.
6.1 Steady state behavior of the controlled process
The steady state behavior of the controlled process is important to be known because
it determines first the design of the equipment. The whole design is done in steady
state at the so called “normal” or “nominal” values of the operating parameters.
Second, the steady state characteristics are important in order to design the con-
trol solution and the configuration of the control loop. A mathematical model of the
steady state of a process can give important indications on the relationship between
the input and output variables. Further, studies of sensitivity or relative gain array
(RGA) [1–3] give important indications on the pairing of output and manipulating vari-
ables especially when it is about MIMO systems.
Let us take the example of a simple process of heating in a steam heat exchanger
(Fig. 3.1) with the steady state mathematical model given in the equations (6.1) and
(6.2):
F ρ c T ∘ − F ρ c T ∘ − K A (T ∘ − T ∘ ) = 0
vi p i vo p T T ag (6.1)
∘ − F ρ c T ∘ + K A (T ∘ − T ∘ ) = 0.
Fvag ρag cpag Tiag (6.2)
vag ag pag ag T T ag
∘ between the two equations, the output temperature is expressed in
Eliminating Tag
the general form as
T ∘ = f (Ti∘ , Fvi , Fvag , Ti∘ag , Text
∘ ) (3.1)
and, more detailed,

Fvag ρag cpag F vi ρ cp Ti∘ +Fvi ρ cp Ti∘ KT AT + Fvag ρag cpag Tiag
∘ K A
T∘ =
T T
. (6.3)
Fvo ρ cp KT AT + Fvag ρag cpag Fvo ρ cp + Fvag ρag cpag KT AT
Fvi is responsible mainly for the production of the heat exchanger, the only solution
for pairing in a temperature control loop is Fag → T ∘ (Fvi → Fvo is the pairing for the
flow control loop) so that the natural structure of the feedback temperature control
system is that from Fig. 5.3. This more than intuitive method is used to define grossly
the solution of automation of more complex processes, mostly reaction and separation
processes.
Another simple example is that of a CSTR with a first order reaction taking place.
The conversion (Tab. 3.2) is expressed by the relation
k(T ∘ ) VF
ξ = , (6.4)
1 + k(T ∘ ) VF
134 | Part II: Analysis of the feedback control system
where k is the rate constant, V is the mass reaction volume and F is the flow. Obviously,
when the conversion is the objective of the reaction process
ξ = f (T ∘ , V, F), (6.5)
the solution for automation is of three control loops, controlling temperature, level
and flow.
The RGA analysis [4] is a rather simple method used to determine the structure of
automation of a MIMO process. RGA is useful for MIMO systems that can be decoupled
in several SISO systems without or with weaker interaction. RGA is a normalized form
of the gain matrix that describes the impact of each control variable on the output, rel-
ative to each control variable’s impact on other variables. The process interaction of
open-loop and closed-loop control systems is measured for all possible input-output
variable pairings. A ratio of this open-loop “gain” to this closed-loop “gain” is deter-
mined and the results are displayed in a matrix
λ11 λ12 ⋅⋅⋅ λ1n
[λ λ22 ⋅⋅⋅ λ2n ]
[ 21 ]
RGA = Λ = [ ]. (6.6)
[ ⋅⋅⋅ ⋅⋅⋅ ⋅⋅⋅ ⋅⋅⋅ ]
[ λn1 λn2 ⋅⋅⋅ λnn ]
The array is a matrix with one column for each input variable and one row for each
output variable in the MIMO system. This format allows a process engineer to match
the input and output variables that have the strongest effect on each other minimizing
the undesired side effects. The relative gain for a selected ij pair of variables is defined
as the ratio of the open-loop gain for that pair with all other loops open to its open-
loop gain when all other loops in the process are closed, with their controlled variables
held at setpoint by their controller.
That is,
󵄨
𝜕yi 󵄨󵄨󵄨
󵄨󵄨 m = ct
𝜕mj 󵄨󵄨󵄨
λij = 󵄨 . (6.7)
𝜕yi 󵄨󵄨󵄨
󵄨󵄨 y = ct
𝜕mj 󵄨󵄨󵄨
The numerator is the open-loop gain determined with all other manipulated variables
constant, and the denominator is the open-loop gain determined with all other con-
trolled variables kept constant, which, in fact, applies to the steady state.
If the RGA matrix is analyzed one should observe the following:
– the closer the values in the RGA are to 1, the more decoupled the system is;
– the value closest to 1 in each row of the RGA determines which variables should
be coupled or linked;
– each row and each column should sum to 1.
The calculation of the RGA elements can be done experimentally, and this is preferable
because it gives the most accurate results based on real data, or theoretically based
on the steady state mathematical model. In the present work, the theoretical model is
described.
If a process model is available, the steady state gain matrix relates the manipu-
lated variables to the controlled variables according to the following equation:
ȳ = Gm̄ (6.8)
where ȳ and m̄ are the output and manipulating vectors respectively and G is the steady
state gain matrix
g11 g12 ⋅ ⋅ ⋅ g1n
[ ]
G = [ ⋅⋅⋅ ⋅⋅⋅ ⋅⋅⋅ ⋅⋅⋅ ] (6.9)
[ gn1 gn2 ⋅ ⋅ ⋅ gnn ]

𝜕y
where the values gij = 𝜕mi .
j
Since the G matrix is computed, one can calculate if the system can be decoupled,
using the Singular Value Decomposition (SVD) method (condition number of the SVD
is CN < 50)¹ [5]. If not, a multivariable controller approach can be used. If yes, the
transposed matrix of the inverse of the gain matrix is calculated
R = (G−1 )T . (6.10)
The elements of RGA matrix are computed by
λij = gij rij . (6.11)
The interpretation of the λij values is the following: each of the rows in the RGA repre-
sents one of the outputs. Each of the columns represents one manipulated variable:
– if λij = 0, the manipulated variable (mj ) will have no effect on the output or the
controlled variable (yi );
– if λij = 1, the manipulated variable mj affects the output yi without any interaction
from the other control loops in the system;
– if λij < 0, the system will be unstable whenever mj is paired with yi , and the op-
posite response in the actual system may occur if other loops are opened in the
system;
– if 0 < λij < 1, other control loops (mj − yi ) are interacting with the manipulated
and controlled variable control loop.
In these cases, the possible advice is given in Table 6.1.
Example 6.1. [5] A blending unit is used to dilute and cool down the product stream of
a reactor. Three streams are combined in the mixer: the hot, concentrated stream from
1 Usually CN > 10 shows a system difficult to be controlled.

λij Possible pairing Table 6.1. Possible pairing of controlled and ma-
nipulated variables relative to RGA elements’ val-
λij =0 Avoid pairing mj with yi ues.
λij =1 Pair mj with yi (best pairing)
λij ≪0 Avoid pairing mj with yi
λij ≤ 0.5 Avoid pairing mj with yi
λij >1 Pair mj with yi
the reactor, a room temperature stream containing none of the product A, and a sec-
ond room temperature stream containing some A produced elsewhere in the process,
with concentration c2 . It is desired to control the flowrate, temperature, and concen-
tration of A in the product stream by manipulating the flowrates of the three input
streams. The process is presented in Fig. 6.1, and the steady state values of flowrate,
temperature, and concentration are indicated. m indicates the manipulated variables
and y the controlled variables.
m1 = F1 = 20 L/min
T1 = 423 K
c1 = 10 g/L y3
m3 = F3 = 70 L/min
T3 = 293 K
c3 = 0 g/L
m2 = F2 = 40 L/min
T2 = 293 K
c2 = 4 g/L
Fig. 6.1. A blending pro-

y1 = F = 130 L/min
cess for three streams,
y2 = T = 313 K two of them containing
y3 = c = 2.77 g/L the product A.
Temperatures are different. Total flow, temperature and concentration have to be con-
trolled. The equations used to model the system are the heat and mass balances:
y1 = m1 + m2 + m3 (6.12)
T m + T2 m2 + T3 m3 T1 m1 + T2 m2 + T3 m3
y2 = 1 1 = (6.13)
y1 m1 + m2 + m3
c1 m1 + c2 m2 + c3 m3 c1 m1 + c2 m2 + c3 m3
y3 = = , (6.14)
y1 m1 + m2 + m3
the partial derivatives of the control variable equations in order to determine the ele-
ments of the steady state gain matrix:
𝜕y1
g11 = =1 (6.15)
𝜕m1
𝜕y2 (T − T2 ) m2 + (T1 − T3 ) m3
g21 = = 1 2
(6.16)
𝜕m1 (m1 + m2 + m3 )
𝜕y3 (c − c2 ) m2 + (c1 − c3 ) m3
g31 = = 1 2
(6.17)
𝜕m1 (m1 + m2 + m3 )
𝜕y1
g12 = =1 (6.18)
𝜕m2
𝜕y2 (T − T1 ) m1 + (T2 − T3 ) m3
g22 = = 2 2
(6.19)
𝜕m2 (m1 + m2 + m3 )
𝜕y3 (c − c1 ) m1 + (c2 − c3 ) m3
g32 = = 2 2
(6.20)
𝜕m2 (m1 + m2 + m3 )
𝜕y1
g13 = =1 (6.21)
𝜕m3
𝜕y2 (T − T1 ) m1 + (T3 − T2 ) m2
g23 = = 3 2
(6.22)
𝜕m3 (m1 + m2 + m3 )
𝜕y3 (c − c1 ) m1 + (c3 − c2 ) m2
g33 = = 3 2
. (6.23)
𝜕m3 (m1 + m2 + m3 )
Substituting the values in the picture,

2 4 7
1 1 1 13 13 13
[ ] −1 T [ ]
G=[
[
11
13
2
− 13 2 ]
− 13 [
] R = (G ) = [ 1 − 52 3
2
]
] (6.24)
47 8 18 65
[ 845 845
− 845 ] [ 0 2
− 65
2 ]
and thus
2 4 7
13 13 13
[ ]
RGA = [
[
11
13
5
13
3
− 13 ].
] (6.25)
4 9
[ 0 13 13 ]
m1 , the flow rate of stream 1, should be used to control y2 , the temperature of the
output stream, since the value of λ21 is the closest to 1 in the matrix ( 1113
). The element
9
second closest to 1 is λ33 , with its value of 13 . This indicates that m3 , the flow rate of
stream 3, should control y3 , the concentration of A in the product stream. In the case
of controlling y1 , the best option from the point of view of RGA value would be m3
7
(λ13 = 13 ), but this is already controlling the concentration of A in the product, so the
next best option is m2 , the flow rate of stream 2. This is not the best choice because
the relative gain is less than 0.5, but it is the best option available.
30
25
T˚C
20 Process characteristics
N1
N2
15
0 2 4 6 8 10
Fag(m3/h)
Fig. 6.2. The nonlinear dependence of the output heat exchanger temperature on the steam flow.
Besides the pairing of the variables, it is important to also configure the inner structure
of the control loop. The equation (6.3) gives the nonlinear dependence T ∘ = f (Fvag )
It makes a difference to the efficiency of the control if the nominal point of opera-
tion is N1 or N2 . This is the difference between a heat exchanger having a reserve for
heating and another one designed at the limit. In normal/nominal situations (operat-
ing point N1 in Fig. 6.2) the control system designed as in Fig. 5.3 is efficient enough.
But, in the situation of a much stronger disturbance (curve P1 in Fig. 6.3), the con-
troller is “ordering” the control valve to open at maximum, but does not compensate
the caloric deficit due to the disturbance. In this case, another inner structure of the
control loop should be sought after.
Thirdly, the steady state characteristic of the process is needed at the choice and
sizing of the actuator (Fig. 6.3).
T°
P1
N
T1°
P2
P3
Tn°
T3° Fig. 6.3. The sizing of
T2° the control valve in
the conditions of the
Fag min Fag n Fag max Fag
nonlinear characteristic
Fag n + 0.5m3/h of the process.
Usually (80 % of the situations in process industry), the actuator is a control valve.
In the following section, we demonstrate the role of the steady state behavior of the
process at choosing and dimensioning of the valve. In the case of one “positive” dis-
turbance (curve P1 ), the output temperature of the exchanger moves to the value T1∘
corresponding to the nominal steam flow Fag n . The controller, noticing it has an error,
pushes the system to move on curve P1 towards the nominal value Tn∘ . In the opposite
case, when a negative disturbance occurs (curve P2 ), the controller determines the sys-
tem to move from T2∘ to the nominal one Tn∘ . In both cases, the controller determines
the closing or opening of the valve at the flow values of Fag min and Fag max , respectively.
These are the values of flow with which the valve will be sized (see Part II, Chapter 9).
But choosing the valve does not only mean dimensioning the valve orifice, but also
the design of the installed valve characteristics. As seen in Fig. 6.3, the characteristics
are highly nonlinear. Usually all process characteristics are nonlinear. Nonlinearities
cause inaccuracy in controlling the processes due to the variable gain factor along the
characteristic. One may observe that in N1 and N2 (Fig. 6.2) the slopes and thus the
gains are very different. If the control system operates around N1 , when determining
a positive deviation (say +10 ∘ C), it manipulates the steam flow decreasing it with a
certain quantum (say equal to 0.5 m3 /h). If the deviation is negative (−10 ∘ C), manip-
ulating it with the same increase (absolute value of 0.5 m3 /h) which is normal for a
controller with a fixed proportional gain Kc (see Part II, Chapter 8), the result of the
action will not be the nominal temperature Tn∘ , but a lower temperature. There is a
steady state error (SSE) totally due to the nonlinearity and to the changing slope in the
two opposite actions on the characteristic (to the left, the curve is more abrupt than
to the right of the nominal point). One must say that nonlinearity is causing problems
to controlling the processes. The solution is to choose a compensating characteristic
of the valve (which has a small slope where the slope of the process characteristic is
large and vice versa). That is, in the discussed case, to choose a logarithmic installed
characteristic of the valve (Part II, Chapter 9, Fig. 9.21). The choice being done, the
total characteristic of the process + valve will be linear (Fig. 6.4).
Fourth, the steady state characteristic of the process is used to calculate the gain
factor of the process at the operating point, Kpr , which is actually the slope of the curve
in the operating point (Fig. 6.5). The gain is expressed in the units resulting from the
ratio of the two derived variables. The gain factor of the process is used at the controller
tuning (Part III, Chapter 11).
As it is the slope in the operating point,
Δy 󵄨󵄨󵄨 dy 󵄨󵄨󵄨󵄨
Kpr = 󵄨󵄨 = 󵄨 . (6.26)
Δm 󵄨󵄨N dm 󵄨󵄨󵄨N
For Example 6.2, where
4Ti∘ Ti∘ag 4Ti∘ + (T ∘i ag )Fag

T∘ = + =
4 + 2Fag 2 + 4 4 + 2Fag
F ag
0.8
0.6
y
0.4
0.2 1
Process characteristic
0 0.8
0 0.2 0.4 0.6 0.8 1
m 0.6
y
0.4
1 0.2
Process+valve characteristic
0.8 0
0 0.2 0.4 0.6 0.8 1
0.6 xc
m
0.4
0.2
Valve characteristic
0
0 0.2 0.4 0.6 0.8 1
xc
Fig. 6.4. Linearizing the process characteristic through a compensating valve characteristic.
󵄨
dT ∘ 󵄨󵄨󵄨 1 −2
Kpr |N = 󵄨󵄨 = (Ti∘ag ) + [4Ti∘ + (T i∘ag )FagN ] , (6.27)
dFag 󵄨󵄨󵄨N 4 + 2FagN (4 + 2FagN )2
with the agent flow of 2 m3 /h, the gain is 7 ∘ C/(m3 /h).
6.2 Dynamic behavior of the controlled process
The dynamic behavior is important showing the speed of response of the process to the
action of the manipulating variables or disturbances. The capacity of a process to be
appropriately controlled is given by its controllability [6]. The concept of controllabil-
ity refers to the capability of the controller to change the state of the controlled plant.
A system ẋ = Ax + Bu is said to be controllable if for all initial conditions x(0) = x0 ,
terminal conditions x1 , and t1 < ∞ there exists an input u(t), 0 ≤ t ≤ t1 such that
30
25
Kpr = tg α
T0
20
Process characteristics
Operating point
15
0 2 4 6 8 10
Fag
Fig. 6.5. The gain of the process is the slope of the characteristic of the process at the operating
point.
x(t1 ) = x1 . That is, given x0 , x1 , and t1 < ∞, we wish to find u(t), 0 < t < t1 , such that
t1
x1 = x(t1 ) = e At1
x0 + ∫ eA(t1 −t) Bu (t) dt (6.28)
0
for a system to be controllable.

Note that this equation can be solved for all xo and x1 if and only if it can be solved
for all x1 with x0 = 0. So we will now just consider the zero initial condition response.
What does this mean? It means that if a plant is controllable, its steady state can
be changed without great trouble, within a finite time horizon, into another steady
state, by the control system, or that a system is kept at setpoint by the control system
without difficulty in the presence of a disturbance.
Usually the dynamics of a process are given by a combination of first order (T and
dead time (τ ) systems corresponding to an equivalent first order (Te ) and equivalent
dead time (τe ). This is because most of the processes can be described by a sequence
of capacities (e.g. multiple effects evaporators, cascade of CSTRs, distillation columns
with sequence of distillation units etc.). The practice of the process control determines
simply the range of controllability of the processes using the values of the ratio Te /τe
(Tab. 6.2).
Table 6.2 also gives suggestions for the complexity of the control loop in all cases
of controllability. The poorer the controllability, the more complex the control system
must be in order to stabilize the process. At a fair controllability, the system can have
the structure of a cascade. At a poor controllability, the complexity of the cascade con-
trol is not enough and a more complex loop such as feed forward control or model
predictive control is necessary. Shinskey [7] even gives some indications of the values
of the ratio depending on the capacities in series (Figs. 6.6 and 6.7).
Table 6.2. The controllability of the process measured by the ratio Te /τe .
Te /τe Controllability Response of the control system to Type of adequate control system
a step input change
6–10 good quickly damped oscillations feedback control
3–6 fair maintained or very smoothly cascade control
damped oscillations
<3 poor amplified oscillations feed forward, MPC
10
6
Te/τe
0
0 2 4 6 8 10 12 Fig. 6.6. Dependency of Te /τe on the number of
n first order capacities in series.
18
16
14
Te/τe
12
10
8
6
0 0.2 0.4 0.6 0.8 1 Fig. 6.7. Dependency of Te /τe on T2 /T1 time
T2/T1 constants of two first order capacities in series.
Why the ratio Te /τe ? Because the larger the process dead time is, the later information
about the effect of the disturbances and/or manipulating variable reaches the con-
troller. And this decreases the efficiency of the loop (Fig. 6.8).
In Fig. 6.8, one may observe that if a disturbance occurs at the moment t0 , the
process will respond with a dead time first, time during which nothing is observed
by the transducer. The larger the dead time is, the later the information about the ef-
fect of the disturbance offered to the controller is. If the information for the controller
intervention is delivered too late and the time constant is small, the process is not sub-
jected to any correction and starts to deviate far away from the setpoint. Consequently,
it is very difficult to bring it back to the normal state. To bring the process back, due
y Te
D Process
y
τe τe t
t0 t1 t2
Fig. 6.8. The intervention of a feedback control system depending on the ratio Te /τe .
to the large error, the control action is large as well and the actuator is either closed
completely or open completely, depending on the sign of the error. This will induce
further oscillations and the process will be quite difficult to stabilize.
Example 6.2. Heat exchanger steady state characteristic

The parameter values of the heat exchanger are the following: KT = 103 kcal/m2 h ∘ C,
AT = 4 m2 , F = 4 m3 /h, ρag = ρ = 103 kg/m3 , Ti∘ = 20 ∘ C, Tiag
∘ = 50 ∘ C, c = c
p pag =
∘
1 kcal/kg C. The values of the variables are in the nominal state and they are subjected
to changes. Thus, the usual input temperature is Ti∘ = 20 ∘ C, but it can change to 25 ∘ C
or to 15 ∘ C during the summer or winter. The characteristics of the heating process at
the nominal and disturbed state have to be determined.
The heat exchanger behavior in steady state is given by the equation (6.3), which
in the specific case becomes
4Ti∘ Ti∘ag
T∘ = + . (6.29)
4 + 2Fag 2 + 4
F ag
The three characteristics are shown in Fig. 6.9. The characteristics are nonlinear.
Example 6.3. Steady state characteristic of a blending process

The dilution of a concentrate takes place in a CSTR. The values of the parameters are
the following: molar fraction of the concentrate xc = 1, the concentration of the active
component in the diluting flux is xD = 0, the diluting flow D = 1 m3 /h, the concentrate
flow varies Fc = 1–3 m3 /h. The relationship between the output concentration and
35
30
T°[°C]
25 Ti0 = 15°C
Ti0 = 20°C
20
Ti0 = 25°C
15 Fig. 6.9. The steady state characteristics of the
0 2 4 6 8 10 heat exchanger in the nominal and disturbed
Fag (m3/h) state.
Fc , xc D, xD
F, x Fig. 6.10. Dilution CSTR of a concentrate.
concentrate flow, x = f (Fc ) and the corresponding graph have to be found. The dilution
technological equipment is presented in Fig. 6.10.
Component and total mass conservation for the active component are described
by
D ⋅ x D + F c ⋅ xc = F ⋅ x (6.30)
F = D + Fc (6.31)
Fc Fc 1 1
x= xc = xc = xc or, for the present example, x= 1. (6.32)
F D + Fc 1 + FD 1 + F1
c c
The corresponding graph is given in Fig. 6.11.
Example 6.4. Steady state characteristic of the storage of liquid in a tank (Fig. 6.12)
At equilibrium, when h = ct, Fi = Fo . The tank evacuation pipeline has the following
constructive characteristics: λ = 6π 10−6 , lp = π m, dp = π 10−2 m, ρ = 1000 kg/m3 ,
g = 9.81 m/s2 . At the beginning of the accumulation process, the tank is empty. The
input and output flows vary between 1 and 5 m3 /h.
0.8
0.6
0.4
x
0.2
0
0 0.5 1 1.5 2 Fig. 6.11. The plot of the steady state of the
Fc (m3/h) dilution process.
Fi
lp
h
ν
Fo
dp
Fig. 6.12. The accumulation process of water in a storage tank.
If the input flow increases, an accumulation of material in the tank occurs until the
new height in the tank increases the output flow to the value of the input. At this point
another steady state is reached.
The equations describing the process are of mass and momentum balance.
Fi ρ − Fo ρ = 0 (6.33)
lp ρ v2
Fo
Ap ρ gh − λ A = 0; v= . (6.34)
dp 2 p Ap
Thus,
lp 1
h=λ F2 . (6.35)
dp 2gA2p o
And with the values in the example, the plot of the steady state is given in Fig. 6.13.
h (m) 3
0
0 2 4 6 8 10 Fig. 6.13. Steady state characteristic of the
Fe10–4 (m3/s) accumulation process in a tank.
Example 6.5. Consider the problem presented in Example 3.2, the behavior of a cas-
cade of three CSTRs. Two steady states are given as
– first steady-state input parameters: k = 0.05; CAi = 1; Fi = 0.01;
– second steady-state input parameters: k = 0.05; CAi = 1; Fi = 0.03;
and the parameters used in numerical simulations: KV1 = 0.05; KV2 = 0.06; KV3 =
0.07; Vmin 1 = 0.2; Vmin 2 = 0.22; Vmin 3 = 0.24.
After solving the system of differential equations, the dynamics of the process for
the given steady state data are represented on Fig. 6.14.
0.5
0.03
0.4
Concentration – M
0.025
Flowrate – m3/s
0.3
0.02
0.2
F1 CA1
0.015 F2 CA2
0.1
F3 CA3
0.01 0
0 50 100 150 0 50 100 150
Time – s Time – s
1 0.9
0.9 0.8
Concentration – M
Volume – m3
0.8 0.7
0.7 0.6
CB1 V1
0.5
0.6 CB2 V2
CB3 0.4 V3
0.5
0 50 100 150 0 50 100 150
Time – s Time – s
Fig. 6.14. The results of the MatLab solution of the cascade with three reactors.
6.3 Problems
(1) Consider two communicating vessels (Fig. 6.15), a reservoir and a measuring cham-
ber, containing water, with the dimensions given in the figure. Considering the friction
of the liquid with the walls of the pipeline and the measuring chamber λ = 0.035, the
mathematical equation is required that describes the dynamic behavior of the liquid
mass and the corresponding graph when the pressure above the surface in the prin-
cipal vessel increases abruptly for a short while. The oscillation period of the level in
the two vessels is to be determined. Hints: the momentum and mass conservation laws
will be used.
D1 D2
dH2
dH1
Fig. 6.15. Two vessels in communication induce an

oscillating behavior.
(2) A single effect evaporator for a diluted solution of NaCl (brine) is considered
(Fig. 6.16). The following data are available: feed brine flow F0 = 1000 kg/h; feed brine
mass fraction x0 = 0.1; specific heat of the feed brine cp0 = 3433 J/kgK; input tempera-
V1 , H1
V0 , H0
Fig. 6.16. Single effect evaporator for concentrat-

F0 , x0 , Cp0 , t0 F1 , x1 , Cp1 , t1
ing diluted brine.
ture of the feed T0∘ = 20∘ . The output parameters are: production imposed to the evap-
orator is F1 = 400 kg/h with mass fraction x1 = 0.25, cp1 = 3957 J/kgK T1∘ = 107∘ ;
latent vaporization heat lv = 2200 kJ/kg. Water specific heat cpw = 4180 J/kg; the
steam flow V0 used as agent is saturated at 120 ∘ C and totally condenses in the heater
without another additional subcooling. The steady state characteristic f (V0 ) has to be
determined. Hints: total and partial mass and energy conservation laws are used.
(3) The steady state characteristic of the liquid-liquid extraction process of residual
water phenol in pure benzene as solvent, x1 = f (FB ) is to be determined. The process
and its equilibrium curve, y1 = f (x1 ), are represented in Fig. 6.17.
B1 , y1
y1
50
A, x0
kg phenol/kg benzene
40
30
20 B, y0
10
A 1 , x1
1 2 3 4 5 x1
kg phenol/kg water
Fig. 6.17. Phenol-benzene liquid–liquid extraction.
The data are the following: FA = 10 m3 /h, FB = 3.57 m3 /h, x0 = 8 kg/m3 , x1 =

0.5 kg/m3 , y1 = 25 kg/m3 , T ∘ = 25 ∘ C. All data are at steady state. How does the steady
state characteristic change when x0 = 10 kg/m3 and what value has to be taken by FB
to keep y1 = 25 kg/m3 ?
(4) A heating process takes place in a batch heater (Fig. 6.18) with the following
constructive and technological characteristics: Ti∘ = Text
∘ = 20 ∘ C, T ∘ = 90 ∘ C, M =
agi h
60 kg, Mw = 50 kg, Mag = 20 kg, AT = AText = 0.4 m , ATTr = 0.01 m2 , KTi = KTTr =
2
1500 kcal/m2 hK, KTTag = 800 kcal/m2 hK, KText = 200 kcal/m2 hK. Specific heat val-
ues for the heated material and heating agent are cph = cpag = 1 kcal/kgK, and for all
metallic parts of the heater, thermo well included, cpw = 0.15 kcal/kgK. The heating
agent flow varies between 0.08 m3 /h and 0.8 m3 /h.
The heater has an anchor for homogenization with a mass Ma = 12 kg. The tem-
perature inside the heater is measured with a thermo resistor protected in a thermo
well with a mass MTr = 0.5 kg. The heating agent is hot water. The controllability of
Ti°
T°ext
Fag , T°ag
Mag Mm Mt
KTTR
ATTR
FT, ag Tag
Mr
Cpr AT
KT, int
Fag , T°ag
KT, ext
AT, ext
Fig. 6.18. Batch heater.
the process has to be determined and a proposal for an adequate control system is re-
quired. Hint: τe and Te are to be calculated on the transfer path Fag → T ∘ . The graphic
solution can be used.
(5) In a cascade of 10 CSTR, the first order reaction A → B with a rate constant k =
1/60 min−1 takes place. The volumes of each reactor are Vi = 0.55 m3 . The passing
flow through the cascade is constant F = 5 m3 /h. The controllability of the process
has to be determined, the manipulating variable being the input flow and the output
variable C10 .
(6) Calculate the gain factors for the process of evaporation in Problem (2) with the
output flows FoN = 2.6 and 10 m3 /h respectively. Same request for Example 6.2 with
FagN = 2 and 10 m3 /h respectively.
References
[1] Shinskey, F. G., Process Control Systems: Application, Design, and Tuning, fourth edition,
McGraw-Hill, Inc., 1996.
[2] Fassò A., Esposito E., Porcu E., Reverberi A. P., Vegliò F., Statistical sensitivity analysis of
packed column reactors for contaminated wastewater, Environmetrics, 14 (8), (2003), 743–759.
[3] Yi Cao, Relative Gain Array – File Exchange, MatLab Central, Mathworks.com, 2008.
[4] Carey, J., van Kuiken, B., Longcore, C., Yeung, A., MIMO control using Relative Gain Array (RGA),
https://controls.engin.umich.edu/wiki/index.php/RGA, 2007.
[5] Lim, W. C., Bennett, J., Grant, J., Bhasin, A., Determining if a system can be decoupled,
https://controls.engin.umich.edu/wiki/index.php/Decouple#Singular_Value_Decomposition,
2006.
[6] Glover, G., Maciejowski, J. M., Lecture Notes 4: Controllability and State Feedback, Cambridge
University Engineering Department, 2002 (revised in 2008), pp. 1–20.
[7] Shinskey, F. G., Practica sistemelor de reglare automata - aplicatii, proiectare, acordare (Process
control systems, McGraw Hill, 1967, translated from English), ed. Tehnica Bucuresti, 1969.
7 Transducers and measuring systems
7.1 Introduction
Decisions have to be taken on the basis of quantitative and qualitative information.

Measuring is usually the most important supplier of quantitative information, to be
further used by both open-loop or closed-loop control systems. As the basic control
system needs feedback, it is essential to have good quality measuring systems. They
are the indispensable prerequisites for fulfilling both the simple or complex tasks of
the control systems.
A measurable quantity is an attribute of a phenomenon, object or substance that
may be distinguished qualitatively and determined quantitatively. Measuring is the
succession of experimental operations aimed to quantitatively determine the measur-
able quantity. In fact, measuring means to make a bi-univocal association between the
elements of the measurable quantity set of states and the real numbers set (or subset).
The unit of measurement is the particular element from the measurable quantity set
of states that corresponds to the real (numerical) value of 1. It is defined and adopted
by convention. Other quantities of the same kind are compared to it in order to ex-
press their magnitudes relative to that measurable quantity. The value of a quantity is
expressed as its unit of measurement multiplied by a number.
The group of quantities defined for the description of a class of physical phenom-
ena is denoted as a system of quantities. A base quantity is one of the quantities that,
in a system of physical quantities, is conventionally accepted as functionally indepen-
dent of the others. In any given coherent system of units there is only one base unit for
each base quantity and several derived units for the derived quantities. The latter are
defined as functions of the base quantities specific to that system of quantities. The
International System of Units (SI) has the following seven base quantities and units:
length – meter [m], mass – kilogram [kg], time – second [s], electric current inten-
sity – ampere [A], thermodynamic temperature – Kelvin [K], amount of substance –
mole [mol], and luminous intensity – candela [cd].
Measuring is performed by technical equipment devoted to this scope, usually
named a measuring instrument. The particular quantity subject to measurement is
denoted as the measurand. In general, the exact value of the measurand, named true
value or actual value, cannot be determined. What may be determined is the measured
value of the quantity, which is inherently affected by uncertainty. Obtaining the mea-
sured value with a sufficiently small uncertainty may be considered as finding the true
value. For practical reasons, the true value is replaced by the conventionally true value
which is provided by the measurement using a higher precision instrument, named
etalon. The etalon transmits the high precision reference value of the quantity. In the
chain of transmitting the conventionally true value from the most accurate etalon to
the lower accuracy etalons, and finally to the measuring instrument, there are strict
regulations formulated by the metrology laws.
When a measurement is performed with a measuring instrument, the measured
value (measurand) is not identical with the true value and their difference produces
the so called measurement error. The measured value emerges from the interaction
between the measuring instrument and the object to be measured. The measurement
error may have different causes. According to the origin, the measurement errors can
be produced by the object subject to the measurement (model errors), the measur-
ing instrument itself (instrument design and manufacturing), the object-instrument
interaction (disturbance effects of the instrument on the object) and the external fac-
tors affecting the measurement process (environmental factors such as: temperature,
pressure, moisture, magnetic and electric fields, radiation, etc.).
There are different ways to assess the measurement error [1]. The simplest one is
the absolute error, which is defined as the difference between the measured value xm
and the true value xt of the measurand:
e = xm − x t . (7.1)
The absolute error may be positive or negative and uses the same measuring unit as
the measurand. The absolute error with changed sign is denoted as correction.
The relative error is defined as the ratio between the absolute error and the true
value of the measurand, expressed in percentage form
xm − xt
er = 100. (7.2)
xt
The relative error is nondimensional and can have either a positive or negative value.
Usually, the relative error is more suitable for assessing the measurement error as it
takes into consideration the absolute error with respect to the magnitude of the mea-
surand.
In practice, the related error is also used. It is defined as the ratio between the
absolute error and a conventional value of the measurand xc , expressed in percentage
form:
x − xt
ert = m 100. (7.3)
xc
Similar to the relative error, the related error is nondimensional and can have either a
positive or negative value.
The conventional value xc is established by technical specifications for the dif-
ferent categories of measuring instruments. Commonly used conventional values are:
highest limit of the measuring domain (when the lowest limit is zero), difference be-
tween the upper and lower limit of the measuring domain or an intermediary value
within the measuring domain. With respect to the measurand value, the related error
varies according to a relationship comparable to the absolute error.
For different reasons, the measurement error cannot be accurately known but may
only be estimated. The interval in which it is estimated that the true value of the mea-
surand is placed with a given probability is denoted as the measurement uncertainty.
It is a non-negative parameter characterizing the dispersion of the quantity values
being attributed to a measurand, based on the available information. Measurement
uncertainty is an estimation of the limits for the probable measurement error [1].
The measuring results are not the same when measuring is performed repeatedly
for the same measurand, with practically the same conditions. From this perspective,
there are two types of measurement errors, according to the way they show up. They
are the random errors and the systematic errors. The random errors change randomly
and are characterized by equal probability to have either positive or negative values.
Their mean value is equal to zero for a large number of measurements. The systematic
error is the constant component of the measurement error that does not change when
measuring is repeated. The systematic error may be computed as the difference be-
tween the mean value of a large number of repeated measurements and the true value
of the measurand.
The measurement accuracy is defined by the closeness of agreement between a
measured quantity value and the true quantity value of the measurand [2].
Repeatability of the measurement results is the closeness of the agreement be-
tween the results of successive measurements of the same measurand, carried out
under the same conditions of measurement. Good repeatability of the measurement
implies small random errors [2].
Trueness of the measurement is the closeness of agreement between the average
of an infinite number of replicate measured quantity values and the value [2]. Good
trueness of the measurement implies small systematic errors.
The measurement accuracy, repeatability and the trueness are presented in
Fig. 7.1, in a symbolic way, by making a parallel between the attempt at finding the
true value of a measurand and the attempt at shooting into the center of the target [1].
Trueness Repeatability Accuracy
Fig. 7.1. Measurement

trueness, repeatabil-
ity and accuracy.
The measurement trueness, repeatability and accuracy are qualitative characteristics

of the measurements, while the random error, systematic error and measurement error
are parameters that quantitatively describe them.
The measurement reproducibility is the closeness of the agreement between the

results of measurements, for the same measurand, carried out under changed condi-
tions of measurement.
The accuracy class is the class of the measuring instrument defined on the basis
of meeting specific metrological properties with respect to measurement error or to
the measurement uncertainties. An accuracy class is usually denoted by a number or
symbol adopted by convention.
The accuracy class of a measuring instrument is related to the maximum permis-
sible (tolerable) error featured by the instrument [2]. The maximum permissible error
of the measuring instruments can be expressed by one of the errors: absolute error,
relative error, related error or a combination of them. The maximum permissible er-
ror of the measuring instruments based on the absolute error is rarely used. When the
absolute error of the instrument is proportional to the measurand, the maximum per-
missible relative error is used for characterizing the instrument accuracy class. When
the absolute error is constant over all the measuring domain, the maximum permissi-
ble related error is used for characterizing the instrument accuracy class. In this case,
the conventional value xc used for computing the related error may be one of the fol-
lowing:
1. the highest limit of the measuring domain, for instruments with linear measuring
scale and zero point as lowest limit;
2. the measuring range (difference between the highest and the lowest limit of the
measuring domain) or the highest limit for instruments having the zero point out-
side the measuring scale;
3. the highest of the measuring limits for instruments having the zero point inside
the measuring scale;
4. the nominal value of the measurand for the instruments having a nominal mea-
suring value;
5. the conventionally adopted value, situated inside the measuring domain.
The accuracy class is described by different meanings and symbols. For the measur-
ing instruments described by the maximum permissible error based on the relative or
the related error, the accuracy class is equal to the maximum permissible error. For in-
stance, an instrument with the accuracy class 1.5 may have the maximum permissible
relative error of ± 1.5 % or the maximum permissible related error of ± 1.5 %, depend-
ing on the symbol, used for the accuracy class. When the symbol of the accuracy class
is denoted by a number, the maximum permissible related error is involved, when the
symbol of the accuracy class is denoted by a number placed inside a circle, the maxi-
mum permissible relative error is implied.
7.2 Measuring systems in process engineering
A measuring system is composed of three parts: transducer, signal transmission line

and measurement signal receiver (measuring device), as presented in Fig. 7.2 [3].
I
P
L
T MD
T – Transducer
MD – Measuring Device
L – Transmission Line Fig. 7.2. Measuring system scheme.
The transducer T is situated in the plant (field) and is in close contact with the measur-
ing quantity to be measured, i.e. the process parameter P. The task of the transducer
is to generate a measuring signal I whose magnitude is proportional to the process
parameter, i.e. the measurand P. The measuring signal I is transmitted to a remote lo-
cation, usually the process control room, where the measuring device MD is situated.
The physical support of signal transmission is the transmission line L. The measuring
system allows the information on the process parameter to be acquired, sent rapidly
and safely to the monitoring or control user.
The transducer consists of two main parts: the measuring element (sensor) ME
and the transmitter T, Fig. 7.3.
dm I
P dm L
ME T
ME – Measuring Element Fig. 7.3. Transducer with its measuring element
T – Transmitter and transmitter.
The sensor transforms the process parameter P into a small mechanical (displace-
ment), electrical or force quantity dm, that is further sent to the transmitter T. The
transmitter generates the measuring signal I whose magnitude is proportional to dm
and to P, respectively. The measuring signal I may be of electrical (current, voltage,
electromagnetic wave), pneumatic (air pressure) or hydraulic (oil pressure) type. The
most common measuring signal is of electrical nature, i.e. electrical current intensity,
and the transmission line consists in electrical wires. The pneumatic signal resides
in the air pressure and the transmission line consists in a small diameter pipe. Pneu-
matic signals originated from the need to provide safe operations in environments
with explosion hazards.
In order to ensure compatibility between the transducers and the measuring de-
vices, the measuring signals are standardized. This standardization allows instrumen-
tation to be versatile, irrespective to the measured process parameter, measuring prin-
ciple or instrument manufacturer. International standards have imposed a limited set
of domains for the measuring signals, denoted as unified signals. For the unified sig-
nals the most prevalent systems have the ranges: 4–20 mA or 2–10 mA, for electrical
signals, and 0.2–1 bar, for pneumatic signals.
Example 7.1. For the volumetric flow rate transducer of steam transported in a pipe,
with the flow rate varying from 0–10 m3 /h and the electrical unified signal ranging
from 4–20 mA, the linear relationship between the process parameter flow rate xe and
the electrical current signal xr is presented in Fig. 7.4.
xr
i [mA]
20
i=4+(20–4)/(10–0)·F
4 xe Fig. 7.4. Linear relationship between unified

0 10 F [m3/h] electrical signal and flowrate.
For measuring the same steam flow rate, the pneumatic transducer working in the
unified signal range of 0.2–1 bar would have a similar linear relationship. According
to this, the pneumatic signal value of 0.6 bar would correspond to the flow rate of
5 m3 /h.
7.3 General characteristics of the transducers
In order to provide a good measuring performance, the transducer has to satisfy the
following requirements:
1. good accuracy, in agreement to the needs of the particular process objectives;
2. tolerance to the corrosive and other environment agents;
3. prompt response to the changes of the process parameter;
4. good reproducibility of the measurement for different environmental conditions.
Both the transducer and the measuring device accuracy class have to be chosen so as
to satisfy the desired measuring accuracy.
Example 7.2. Case I. For a pressure transducer that has to make measurements in the
range of 0–250 bar and for which the constant permissible absolute error is considered
to be 5 bar, the required accuracy class is given by the maximum permissible related
error:
|x − xt | 5
C = ert = m 100 = 100 = 2 %. (7.4)
xc 250
Case II. For a pressure transducer that has to make measurements in the range of 0–
250 bar and for which the permissible absolute error is considered to be linearly rang-
ing from 0–5 bar over the measuring domain, the required accuracy class is given by
the maximum permissible relative error (for the true value of 250 bar, the permissible
absolute error is of 5 bar):
|xm − xt | 5
C = er = 100 = 100 = 2 %. (7.5)
xt 250
Although for both cases the accuracy class of the transducer is the same, i.e. 2, the
accuracy of the measurement is different for the two cases. For example, if a measure-
ment of a pressure of p = 100 bar is needed, the Case I transducer shows an absolute
error, in bar units, of
C ⋅ xc 2 ⋅ 250
e = x m − xt = = = 5, (7.6)
100 100
which may result in a measured value situated in the range 95–105 bar.
The Case II transducer shows an absolute error, in bar units, of
C ⋅ xt 2 ⋅ 100
e = xm − xt = = = 2, (7.7)
100 100
which may result in a measured value situated in the range 98–102 bar.
The way that the accuracy class is defined needs to be clearly stated by the instru-
ment manufacturer and verified to comply with the measurement needs.
Industrial instrumentation usually has an accuracy class higher than 0.5 %.
The tolerance of the transducers to corrosive and other environmental agents may
be accomplished by manufacturing the measuring element from physically and chem-
ically resistant materials. If the cost of the material is extremely expensive, the mea-
suring element may be protected by a covering membrane made of rubber, Teflon,
enamel or by using a protection sheath. For example, a diluted sulfuric acid flow rate
transducer may be built from resistant materials, such as Teflon, polyethylene, PVC,
hastelloy, enamel or be covered by a material immune to the environment (rubber,
Teflon). Such a transducer is the electromagnetic flow meter with the case built from
Teflon material and using platinum or gold electrodes. The climatic protection takes
into account the influence of the environment, such as: temperature, moisture, pres-
sure, corrosive gases, salinity and electromagnetic fields. Mechanical protection may
be accomplished by special design or protection elements, such as a casing or sheath.
The time response of the transducer depends on the time lag of both the measur-
ing element and the transmitter. The time constant of the transmitter is usually small,
as its operation commonly relies on rapid electrical phenomena. As a result, the rate
controlling part of the transducer is the measuring element. A typical example is the
temperature transducer based on the resistance temperature detector. The heat trans-
fer through the sheath conforms to a first order capacitive behavior with a time con-
stant varying from about 30 s to 5 min [9]. In order to reduce the time constant, several
construction solutions may be applied, such as: using high heat conductive materials
for the sheath, reducing the wall thickness of the sheath, filling the sheath with oil for
improving the heat transfer, designing the resistance temperature detector with heat
catching elements aimed to improve the heat transfer between the resistance and the
sheath. There are special cases when the transducer time response cannot be further
reduced due to its specific construction and intrinsic measuring principle. A represen-
tative example is the gas chromatograph that implies a pure time delay that may not
be completely eliminated.
Special construction is built in by incorporating compensation of the drifts, in
order to ensure the reproducibility of the transducer designed characteristics, in the
presence of varying environmental conditions. For example, the change of the pH
electrode potential with the temperature is performed by a compensation Wheatstone
bridge.
Special care has to be devoted to the construction of transducers used in pro-
cesses where the environment is explosive or fire-hazardous. The transducers have to
be protected by specially designed housings in order to prevent explosion or by special
electronic design (electrical barriers), leading to so called explosion-proof instrumen-
tation.
7.4 Temperature transducers
In process engineering, the most widespread measuring elements of the temperature

transducers are the resistance temperature detector (RTD), the thermocouple, the
thermistor and the gas or liquid filled systems [3, 5, 8]. There are also other tempera-
ture sensors such as, Infra-Red (IR) detectors used in pyrometers for high temperature
applications (of 1500–3000 ∘ C) or optic-fiber (refractive index) temperature sensors.
Resistance Temperature Detector RTD

The RTD is a metal conductive wire whose electrical resistivity and hence, electrical
resistance, depends on temperature according to the general relationship:
RT = RT0 [1 + α (T ∘ − T0∘ )], (7.8)
with RT and RT0 denoting the electrical resistances at the temperatures T ∘ and T0∘ , and
α the specific temperature coefficient of the metal [3, 5]. Depending on the particular
RTD material, the relationship described in equation (7.8) is approximately linear over
the RTD’s measuring domain of applications, i.e. from −200 ∘ C to 550 ∘ C.
The electrical resistance values of the RTDs are standardized, in order to ensure
interchangeability. The most commonly used are the Pt100 (i.e. 100 Ω at 0 ∘ C), Ni100,
Cu100, Pt50, Ni50, Cu50 RTDs that are built from platinum, nickel or copper metals.
Figure 7.5 presents the resistance-temperature characteristics for Pt100 and Ni100.
R [Ω]
0
300 Ni 10
0
200 Pt 10
100
0 Fig. 7.5. RTD linear resistance-temperature

0 50 100 150 200 T° [°C] characteristics for Pt100 and Ni100.
The RTD and its transmitter are presented in Fig. 7.6.
Transmitter 4–20 mA
Indicator
Wheatstone bridge
Connection head
Protecting tube,
Sheath
Insulator
support
Resistance
Fig. 7.6. Schematic of the RTD, Wheatstone bridge and RTD transmitter.
Figure 7.6 shows the metal wire resistance wound on the insulator support of mica (or
fiber glass) and encapsulated in the protection tube. The relatively small changes in
the RTD electrical resistance, i.e. around 0.39 Ω/ ∘ C for Pt100, are processed by the
Wheatstone bridge having the RTD as one of its branches. The indicator scale may be
directly calibrated to show the temperature. Further, the small unbalanced voltage of
the Wheatstone bridge may be sent to the electrical transmitter for conversion into the
unified current electrical signal. Special three-wire or four-wire compensation electri-
cal circuits are used in order to avoid the measuring disturbances produced due to the
changes of electrical resistance of the connecting wires (affected by the temperature
of the environment).
The time response of the RTD is affected by a lag due to the process of the heat
transfer inside the RTD. Depending on the material and thickness of the sheath, or
the air volume inside it, the time constant of the RTD may show values ranging from
seconds to minutes.
The equations describing the heat transfer from the environment temperature,
through the sheath, air volume inside RTD and to the RTD itself, are:
dTS∘ ∘ − T ∘ ) − K A (T ∘ − T ∘ ),
MS cpS = KTenv AT (Tenv S Tair T S air (7.9)
dt
dT ∘
Mair cpair air = KTair AT (TS∘ − Tair
∘ )−K ∘ ∘
TRTD ATRTD (Tair − TRTD ), (7.10)
dt
dT ∘ ∘ − T∘ ) + Q ,
MRTD cpRTD RTD = KTRTD ATRTD (Tair RTD el (7.11)
dt
where MS , Mair , MRTD are the mass of the sheath, air inside the sheath and RTD; KTenv ,
KTair , KTRTD are the heat transfer coefficients from the environment to the sheath, from
the sheath to the air inside the RTD, and from the inside air to the RTD; AT and ATRTD
are the heat transfer areas from the environment to the sheath (equal to the interior
heat transfer area from the sheath to the inside air) and the heat transfer area from
∘ , T ∘ , T ∘ , T ∘ are the temperatures of the environment,
the inside air to the RTD; Tenv S air RTD
sheath, inside air and RTD; Qel is the heat generated by the Joule effect because of the
electrical current passing the RTD, which may be neglected due to the small electri-
cal current intensity. As the Mair , MRTD masses are typically very small, the rate con-
trolling step becomes the heat transfer through the sheath. Figure 7.7 shows a typical
approximation of the RTD dynamic behavior, as a response to a step change of the
environment temperature.
The equivalent pure time delay τ and equivalent first order time constant Tare
shown in Fig. 7.7 [9].
Thermocouples
Temperature transducers having the thermocouple as the measuring element are
largely used in applications [3, 5, 8]. The thermocouple measuring principle emerges
from the following thermo-electric effects:
1. Seebeck Effect. T. J. Seebeck discovered (1821) that in a closed electrical circuit
composed of two different metal wires, A and B, welded at their ends, an elec-
tromotive force e.m.f. (electrical voltage) appears if the two welded junctions are
T°[°C]
40
20 t [s]
R [Ω] T
115.54
107.8 t [s]
τ 50 100 Fig. 7.7. Step response of the RTD.
Seebeck effect Peltier effect

T10 ≠ T20
A A
HJ, T10 CJ, T20 T10 T20
B B
Hot junction Voltmeter [mV] Cold junction Junction E Junction
(for measuring) (for reference)
Fig. 7.8. Seebeck and Pletier effects.
kept at different temperatures, thus generating an electrical current in the circuit,

as shown in Fig. 7.8.
The developed e.m.f. is proportional to the temperature difference (T1∘ –T2∘ ) of the
two junctions. One of the two junctions is denoted as cold junction CJ or refer-
ence junction and the other one as hot junction HJ or measuring junction. The
two metals are characterized by different densities of their free electrons, each of
them depending on temperature, and are placed on left and right positions with
respect to hydrogen on Beketov’s metal displacement list.
2. Peltier Effect. J. Peltier discovered (1834) that if an electrical current passes in a
closed circuit composed of two different metal wires, A and B, that are welded at
their ends, heat is absorbed at one junction and heat is released at the other one,
causing the different temperatures (T1∘ ≠ T2∘ ) of the two junctions. Basically, the
Peltier effect is reciprocal to the Seebeck effect.
3. Thomson Effect. W. Thomson discovered (1851) that a temperature difference be-
tween two points in a metal conductor is associated with an electrical voltage dif-
ference whose amplitude and sign depend on the metal. Additionally, when cur-
rent flows it generates or absorbs heat, having a net heat effect that is different
than the Joule effect. The Thomson effects compensate and make possible the use
of extension wires for the thermocouples.
The thermocouple temperature measuring ability is mainly based on the e.m.f.
produced by the Seebeck effect, in association with the Peltier effect.
There are different types of thermocouples used in applications, defined by the two
joined metals or alloys. Some of the most commonly used are: J type made of iron and
constantan, K type made of chromel and alumel, T type made of copper and constan-
tan, N type Nicrosil and Nisil and R or S type made of platinum-rhodium and platinum.
Their application ranges from −100 ∘ C to 1500 ∘ C, depending on the type.
If the cold junction of the thermocouple is kept at constant (reference) tempera-
ture, for example at 0 ∘ C, the e.m.f. is proportional to the hot junction temperature.
The quasi-linear relationship between the e.m.f. and the temperature is presented in
Fig. 7.9.
Fe–const NiCr–Ni
Electrical voltage [mV]
40
st
30 con
–
Cu
20
0% Pt
10 PtRh 1
0
–200 0 200 400 600 800 1000 1200 1400 1600
Temperature [°C]
Fig. 7.9. E.m.f. and temperature characteristic of several thermocouples.
The thermocouple’s basic construction is presented in Fig. 7.10.

The hot junction HJ is placed inside the protecting metallic tube, while the cold
junction CL is situated in the connection head. Inside the sheath the two wires are
protected by ceramic oxide insulator rings that provide both the necessary electric
insulation and heat isolation against the convective heat transfer towards the cold
junction.
When the thermocouple wires are connected to a measuring device parasite ther-
moelectric junctions are formed (with the copper wire connections). Therefore, it is
necessary to perform compensation for the cold junction temperature and to use spe-
Connection Head
CJ
Ceramic oxide
insulator
Protecting tube
HJ
Hot junction
Fig. 7.10. Schematic of the thermocouple.
cial extension wires to move the cold junction into a place where temperature is known
and kept approximately constant. If the CJ temperature is measured it may be used for
the reference junction temperature compensation (smart transmitters).
The time response of the thermocouples depends on the lag produced by the pro-
cess of heat transfer to the HJ. Depending on the material and mass of the sheath,
or the air volume inside it, the time constant of the thermocouples may range from
seconds to minutes.
Some of the thermocouple incentives are: no need for external energy (in the sim-
plest structure of the thermocouple-based temperature transducer), the thermocouple
accuracy class is less than 0.3 %, it addresses a large range of temperature measure-
ments and its robustness and reproducibility are very good.
Filled system thermometer

The filled system thermometer is a very simple, robust and cheap temperature mea-
surement solution [3]. The measuring element is composed of a bulb filled with liquid
or gas, connected with a Bourdon tube, helix or bellow. It is schematically shown in
Fig. 7.11.
As the temperature changes and since the filling liquid is incompressible, the liq-
uid expands and alters its volume. This dilatation emerges in a change of pressure that
is further taken over by the Bourdon tube. If the system is filled with a volatile liquid
(propane, ether, methyl chloride, toluene, xylene) or gas, the gas pressure changes are
received by the Bourdon system, transformed into the movement of the free end of the
Fig. 7.11. Schematic of the filled system ther-

mometer.
tube and further results in the rotation of an index on the circular scale of the thermo-
manometer. The Bourdon tube, helix or bellow may be coupled with a transmitter for
generating an electric or pneumatic signal. The temperature measuring range of filled-
system thermometers spans from −75 ∘ C to 250 ∘ C. The dynamic behavior of the filled
system thermometer is determined by the filling liquid/gas, volume and materials of
the bulb, capillary tube and Bourdon system. Its time response may range from tens
of seconds to 5 minutes.
Thermistor-based thermometer
The thermistor is made from a solid semiconductor whose resistivity is highly depen-
dent on temperature [5]. As opposed to the RTD case, when the temperature is increas-
ing the thermistor resistivity is strongly decreasing, thus showing a negative temper-
ature coefficient. The thermistor resistance dependence on temperature may be de-
scribed by the relationship:
B ( T1 − T 1 )
RT = Rref e ref (7.12)
where RT and Rref are the resistance at the measuring temperature T ∘ and reference
temperature Tref∘ , and B is a constant specific to the material and manufacturer.
The thermistor and RTD resistivity-temperature relationship are comparatively
Compared to the RTD, the thermistor’s resistivity-temperature dependence is
strongly nonlinear and the absolute value of the sensitivity is much higher.
The thermistor material is made of compressed mixtures of manganese, nickel,
cobalt, copper, iron, magnesium, tin, titanium and zinc metal oxides, further heated
and recrystallized in order to form a ceramic structure. The temperature measur-
ing range of thermistors spans from −100 ∘ C to 250 ∘ C, with an accuracy of about
0.1–0.2 ∘ C. In different transmitter designs Wheatstone and other electrical bridge
circuits, including constant current circuits, are used to process the thermistor resis-
tance change induced by the temperature. The incentives of the thermistors rely on:
small mass/volume, reduced response time (less than 5 seconds) and high sensitivity
to temperature changes.
108
106
104
Resistivity – ρ
102
1
Thermistor
–2
10
Pt – RTD
10–4
–100 0 100 200 300 Fig. 7.12. Dependence on temperature of ther-

Temperature [°C] mistor and RTD resistivity.
Infra-Red thermometers
These types of temperature measuring instruments operate on the basis of the propor-
tionality between the temperature and the power of the radiation emitted by a heated
body. They are also known as radiation pyrometers. One of the most appreciated fea-
tures of the Infra-Reds (IR) thermometers is the lack of contact between the measuring
instrument and the object whose temperature is measured. Consequently, the temper-
ature of moving bodies may be also measured.
The measuring principle is based on Planck’s radiation law that describes the
level of radiation emitted on the unit surface of the blackbody, dependent on the
wavelength and temperature of the complete emitted radiation. The ideal blackbody
(featuring total absorbance and total radiation) is commonly replaced by the non-
blackbody concept in order to account for the real object having emissivity smaller
than that of the blackbody. Emissivity correction terms are used to account for the
lower and wavelength-dependent radiation sent by non-blackbodies. Care should also
be devoted to the influence of the environment through which the radiation is passing
from the radiation emitting object to the measuring instrument, in order to avoid the
gain or decay of the emitted radiation. According to the design of the IR thermometer,
specific requirements may also need to be satisfied, such as the optical field, angle of
view and transparency of the environment or optical system.
The radiation is received by thermocouples and RTDs. The most commonly used
measuring elements are the thermocouples of J, K, N, R, and S types. The electrical
signal produced by the thermocouple (or by a network of thermocouples) is sent to
the transmitter and converted into a unified current signal.
A special IR thermometer is the disappearing-filament optical pyrometer. Usually
built as a portable instrument, its measuring principle relies on the optical match be-
tween the brightness of the measured object and the filament of a lamp supplied by a
variable current source. The optical pyrometer is calibrated in such a way that when
the manually adjusted current produces the optical match of the filament and the ob-
ject, the value of the corresponding current has directly associated the measured tem-
perature value.
IR thermometers have a theoretically unlimited domain of temperature measure-
ment. Their accuracy class is around 0.5 %. The time response of the IR thermometers
is of the order of seconds.
7.5 Pressure transducers
Pressure measurement is an important prerequisite and has widespread demand in

process engineering applications. This is owing to the fact that almost all unit oper-
ations involving fluids depend on this state variable but also because pressure is in-
volved in measuring other process parameters such as level, flow rate or temperature.
From the historical perspective, mechanical instrumentation relying on Bourdon
and bellows parts is more and more being replaced by electronic and microprocessor-
based smart transducers.
The pressure transducers may be classified according to the type of pressure they
measure in: absolute pressure transducers (10−10 Pa–0.2 MPa), relative or gauge pres-
sure transducers 0.1 MPa–1000 MPa) and differential pressure transducers.
The most simple and traditional pressure measuring instruments are the U tube
manometer, well manometer, inclined tube manometer, McLeod manometer. They
usually measure the pressure by relating it to the length of a column filled with liquid.
A distinct category of pressure gauge instruments is based on elastic elements
that change their dimensions according to the applied pressure and on force/pressure
sensors. Furthermore, two subcategories may be distinguished: the elastic-element
mechanical pressure gauges and the strain gauges.
Elastic-element mechanical pressure gauges

From the first subcategory, the pressure gauge equipment having Bourdon tube, bel-
lows, diaphragms and capsules are the most typical [3].The most representative from
this subcategory is the traditional Bourdon pressure gauge, presented in Fig. 7.13.
The Bourdon tube is a C-form curved elastic metallic tube, closed at one end and
whose cross-section is not circular (ellipse). The fluid to be measured is guided inside
the tube and produces both the deformation of the cross-section, whose tendency is
to get a circular shape, and of the overall C-form, whose tendency is to straighten.
As a result of the straightening deformation, the closed free end of the Bourdon tube
suffers a displacement that is transmitted by mechanical links to an axis of rotation.
Fixed on the axis there is a driving gear wheel (pinion) that transmits its rotation to a
driven gear wheel (pinion) whose rotation is shown by the pointer on the associated
measuring scale. The angle or rotation α of the pointer is proportional to the pressure.
p Fig. 7.13. Bourdon type pressure gauge.
The basic (momentum balance) equation that describes the dynamic behavior of the
Bourdon tube ensemble, developed with the friction free assumption, is
d2 α
p ⋅ SB − KB ⋅ α = MB , (7.13)
d2 t
where p is the measuring pressure, SB is the differential (longitudinal outer and inner)
areas of the Bourdon tube, KB is the elastic constant of the tube material, α is the
rotation angle, and MB is the mass of the tube and associated moving parts [3, 8]. The
response time of the Bourdon tube is small and its dynamic behavior may be roughly
considered as a proportional one.
The Bourdon tube may also have different shapes, such as spiral or helical forms.
Different alloys are used as material for the Bourdon tube, such as: bronze, phospho-
rous, monel, beryllium, copper and stainless steel.
The diaphragms are elastic discs that show a deformation due to the measuring
pressure, deflection which is further converted into electrical signals by electronic cir-
cuits. Capsules are formed by unifying two diaphragms, inside of which the pressure
value is controlled and used as reference to be further compared to the measuring
pressure.
The differential pressure transducer based on the Barton cell (bellow) is presented
in Fig. 7.14.
TB
A BC
p+ p–
SB
S
FP R
Fig. 7.14. Differential pressure transducer based on the Barton cell.
The Barton cell BC is an elastic metallic bellow that suffers a deformation under the
difference between the pressures (p+ − p− ) applied on its ends. It has two separated
chambers: the high pressure chamber, on the left side, and the low pressure chamber,
on the right side. Due to the pressure difference and the resulting force, the metallic
bellow is contracted in the high pressure chamber and elongated in the low pressure
one, leading to a translation of the rod R towards the low pressure chamber. The fixed
pulley FP displacement rotates the arm A which induces a rotation of the torsion bar
TB. The spring S partially provides the restoring force and helps in returning the mov-
ing system back to the initial position when the differential pressure vanishes [3].
The torsion bar rotates with an angle proportional to the differential pressure ap-
plied to the Barton cell. This rotation may be coupled with a transmitter that trans-
forms it to a standard current signal.
The dynamic behavior of the Barton cell is bbhe Bontj10(eu)1(h)8(at)1()9(ed)]2370grope
When the wire is subject to the mechanical stress produced by the pressure that mainly
changes the length of the wire (cross-sectional area and resistivity changes may be
neglected), it leads to the linear resistance-elongation relationship:
ΔR ΔL
= Sv . (7.15)
R L
Sv is denoted the strain sensitivity or gauge factor and is experimentally determined
[5]. The strain resistance change may be considered proportional to the applied pres-
sure.
The strain gauge is presented in Fig. 7.15.
Electrical conductor Metal wire Foil support
Sv
Force Force
Force Force
L
L+ΔL
(a) (b)
Fig. 7.15. Strain gauge measuring principle: (a) force induced deformation of a metal wire;
(b) bonded foil strain gauge.
The pressure strain gauge can be mounted in different ways on the diaphragms and
capsules, or on any surface whose deformation is produced by the pressure action.
They can be bonded on the surface, integrated in a foil and subsequently bonded on
the surface, directly applied by thin-film deposition on a previously deposited isola-
tion layer (by vacuum deposition or sputtering) or by diffusion for the case of semi-
conductor strain gauges (photolithographic masking and solid-state diffusion of an
impurity on silicon substrate). For the foil strain gauge the diameter of the wire is
about 5 microns and the foil thickness is of about 10 microns, while the resistance
of the stain gauge can take standardized values of 100 ohm or 350 ohm [5].
The Wheatstone bridge circuit, both in continuous and alternative voltage supply,
is used to reveal the small resistance change of the strain gauge [5]. Different configu-
rations of the Wheatstone bridge (active) branches are used, such as: strain gauge inte-
grated in a single branch, strain gauges placed in opposing branches or pairs of strain
gauges placed in opposing branches and subject to opposed deformation (extension-
contraction). One of the problems is the need to compensate the strain gauges’ par-
asite resistivity change due to temperature. The Wheatstone bridge circuit is suitable
for performing this compensation. The unbalanced voltage obtained from one diago-
nal of the Wheatstone bridge may be amplified and transformed in a unified current
signal by the transmitter.
The time response of the strain gauges is of the order of one second. Their accuracy
class may vary from 0.1 to 0.5, depending on shape, material and design implied by
the desired application performance.
Capacitive pressure transducers

For the capacitive pressure transducer, the pressure changes the distance or the face-
to-face area between the plates of an electric condenser [5]. The condenser’s electrical
capacity changes according to the equation:
A
C=ε , (7.16)
d
where C is the electrical capacity of the condenser, ε is the permittivity of the dielectric
material (air in most cases) between the condenser plates, A is the face-to-face area
of the condenser plates, and d is the distance between the electrodes, as shown in
Fig. 7.16.
Electrical
connection Face-to-face area
A d
C
Dielectric – ɛ
Face-to-face area
A Electrical Capacitor
connection symbol
Displacement for
face-to-face area change
Fig. 7.16. Electric capacity change of the capacitive transducer due to face-to-face area and distance
between plates.
The electrical capacity change of the condenser, proportional to the pressure, is usu-
ally transformed into an electrical signal by the help of an alternative current bridge
(such as the Sauty bridge for the differential pressure transducer) or by modulating
the frequency, amplitude or phase of periodic electric signals. Following amplifica-
tion and amplification and demodulation, the generates unified electrical signals.
The time response is less than one second.
Inductive pressure transducers

For the inductive pressure transducer, the pressure changes the position and, as a
result, the inductance of an iron core with respect to the associated electrical coil sup-
plied by alternative voltage [5]. The principle of the inductive transducer is presented
in Fig. 7.17.
Coil
Core
Fig. 7.17. Inductance pressure transducer working

P principle.
The fluid pressure P enters the bellows and produces the displacement of the iron
core, that causes the inductance change of the electrical coil, which is further trans-
formed into unified current signals by the specially designed electronic circuits (such
as a modulation-amplification-demodulation chain). Other designs exploit the self-
and mutual inductance phenomena (for example the linear variable differential trans-
former LVDT). The time response of the transducer is dependent on the fluid accumu-
lation in the bellows. Its accuracy class is about 1 %.
Piezoelectric pressure transducers

The piezoelectric effect consists in the generation of an electrical voltage on one of the
axis directions of a crystal, when an external force (causing deformation) is applied on
a different axis direction of the crystal [4, 5]. If the force is produced by the pressure,
the accumulation of electrical charge in the piezoelectric material is proportional to
the pressure. Hence, the crystal becomes the sensor of the pressure transducer. The
piezoelectric crystal may have a mono- (quartz and tourmaline) or poly-crystalline
structure and can be obtained by the synthesis of ceramic materials, such as barium
titanate or lead zirconate. The generated electrical charge is stored in an electric ca-
pacitor whose voltage is further processed by the high input impedance amplifier and
then converted into standard current signals. The new, smart piezoelectric transduc-
ers have the electrical charge processing electronics together with the temperature
compensation already integrated in the same chip, by taking advantage of the field-
effect transistors offered by microelectronics. Piezoelectric pressure transducers have
time constants less than one second and their accuracy class is 0.5 %.
Low pressure transducers

The low pressure measurement principles may rely either on the force produced by
the fluid particles (such as manometers, bellows, Bourdon tubes, diaphragms) or on
certain properties of the gas that depend on the number of particles in the unit vol-
ume. From the second category, the Pirani gauge and the ionization gauge are the most
representative [5].
The Pirani gauge is based on the thermal conductivity change of a gas with pres-
sure, in the range of 0.1 Pa to 200 Pa. An electrical metal wire is heated by electrical
current and placed in the low pressure fluid. At thermal equilibrium, the heat gener-
ated by the electrical current is equal to the heat transferred by thermal conduction
and radiation through the gas. As the pressure decreases, the gas thermal conduction
decreases and the temperature rises, leading to an inversely proportional relationship.
The Pirani gauge arrangement is presented in Fig. 7.18.
E
High vacuum
sealed chamber
Unknown
low pressure gas
Low pressure
measuring chamber Transmitter 4–20 mA
Indicator
Wheatstone bridge
Fig. 7.18. Pirani pressure gauge in a Wheatsone bridge arrangement.
The Pirani gauge is included in a Wheatstone bridge having two identical tungsten
resistances, placed in the glass measuring chamber and the high vacuum (pressure
reference) chamber. Following calibration, when the low pressure changes, the pro-
portional voltage appears in one diagonal of the Wheatstone bridge, which is indi-
cated and further transformed into standard current signal. The time constant of the
Pirani gauge is less than 5 seconds.
The ionization gauge has different constructions, such as: hot cathode, cold cath-
ode and spinning rotor. The operation principle of the hot cathode low pressure gauge
is presented in Fig. 7.19.
R1 la
A
R2 Pressure
to be measured Fig. 7.19. Hot cathode ionization absolute
E
pressure gauge.
The ionization gas consists in a triode which produces the ionization of the gas [3].
The current of electrons is emitted by the heated cathode (filament), under the driving
potential of the triode grid. The electrons collide with the gas particles and partially
produce the ionization of the gas. The anode collects the ions of gas and produces an
electric current Ia (10−5 A to 10−8 A) that is further amplified by an operational ampli-
fier. There is a good linearity of the relationship between the anodic current intensity
and the low pressure of the gas. Time response of the ionization gauge is less than
10 seconds.
7.6 Flow transducers
Flow measurement is of high importance in process engineering as mass, heat and

momentum balance is desired for safe and efficient operation of plants. According
to the measuring principle, the flowmeters can be classified in: flow meters based on
restriction elements coupled with differential pressure transmitters, variable area flow
meters (rotameters), velocity based flow meters and mass flow meters.
Restriction elements coupled with differential pressure transmitters

This type of flow meter is the most commonly used approach for flow measuring in
process engineering applications. The most common restriction elements are the ori-
fice plates, the Venturi tubes and the nozzles. They are mounted in the pipeline, have
a reduced diameter compared to the pipeline and produce a differential pressure that
changes proportionally to the volumetric flow rate. A differential pressure transducer
processes the differential pressure and transforms it into indication or into a unified
current signal. The relationship between the pressure drop and the volumetric flow
rate is quadratic.
The most representative flow meter of this category is the flow transducer us-
ing the orifice plate restriction element (also named diaphragm) [3], as presented in
Fig. 7.20.
d1 , A1 d2 , A2 dVC , AVC
p1 p2
p
p1
Δprem
p1 – p2
p2
Fig. 7.20. Flow through the orifice plate and pressure change.
The diameter and cross-sectional area of the flowing vein at upstream (pipe diameter),
immediately downstream of the orifice plate and at the most reduced section of the
flow (vena contracta) are denoted by d1 A1 , d2 A2 , and dvc Avc . The local pressure drop
is the difference Δp = p1 –p2 and the remnant pressure drop is Δprem .
Considering the pipeline to be horizontal, the Bernoulli equation, describing the
energy conservation of the fluid for the sections of the orifice plate differential pressure
sampling points, is:
v12 p1 v22 p2
+ = + , (7.17)
2 ρ 2 ρ
where v1 and v2 are the velocities and p1 and p2 the pressures in the considered sec-
tions, for an incompressible fluid (ρ = ct).
According to the mass conservation in the two sections, the following equation
may be considered:
v 1 ⋅ A 1 ⋅ ρ = v2 ⋅ A 2 ⋅ ρ . (7.18)
From equations (7.17) and (7.18) the pressure drop on the orifice plate is
ρ v22 A2
Δp = p1 − p2 = (1 − 22 ) . (7.19)
2 A1
Denoting the ratio of diameters by β = d2 /d1 , the ratio of two cross-sectional areas
becomes A2 /A1 = β 2 and from equation (7.19), the velocity v2 may be obtained as
1 2 2
v2 = √ (p1 − p2 ) = E√ (p1 − p2 ). (7.20)
√1 − β 4 ρ ρ
The volumetric flow rate may be computed by
2
Fv = A2 v2 = A2 E√ (p1 − p2 ) = K √Δp (7.21)
ρ
and the mass flow rate as
Fm = Fv ρ = A2 E√2ρ (p1 − p2 ) = A2 E√2ρ Δp. (7.22)
Equation (7.21) reveals the nonlinear (quadratic) relationship between the volumetric
flow rate and the pressure difference on the orifice plate, as shown in Fig. 7.21.
Δp = p1 – p2
Fig. 7.21. Parabolic relationship between pressure drop and volu-

Fv metric flow for the orifice plate.
Due to this nonlinearity, when the orifice plate element is coupled with a differential
pressure transducer, whose steady state characteristic is linear, the output unified cur-
rent signal would also have a nonlinear dependence on the flow rate. If this signal is
sent to an indicator instrument, a nonlinear scale would also result (with first half
of the flow rate measuring domain compressed in the first quarter of the indicating
scale length). This nonlinearity is even more cumbersome if the signal is used for con-
trol. The linearization of the relationship between the flow rate and the current signal
implies the use of a square root extractor, which processes the signal produced by the
differential pressure transducer. The schematic representation of the measuring chain
with linearization of the output signal is presented in Fig. 7.22.
The flow rate equations (7.21) and (7.22) have to be improved for real fluid behav-
ior and measuring geometry, by taking into account the contraction of the fluid flow,
the loss of energy transformed to heat due to friction and the gas expansion for the
FV
Δp Δp= K1FV2 p
i i’
Δp
FV
i
i = 4+[16/(Δpmax )]Δp i’ = 4+4[i–4]1/2

i i’
p i
i = 4+K2FV2 i’ = 4+K3FV
i i’
FV FV
Fig. 7.22. Linearization of the output signal using the square root extractor, for unified 4–20 mA
current signals.
case of gaseous fluids. The contraction coefficient Cvc , having values less than one,
introduces a correction in order to account for the different pressure, velocity and di-
ameter values at the section immediately located after the orifice plate and the vena
contracta section. It depends on the Reynolds number, β , and position of the differen-
tial pressure taps. The friction coefficient Cf , having values less than one, introduces
a correction in order to account for the loss of energy transformed in heat. This energy
loss is revealed by the remnant pressure drop Δprem . The friction coefficient depends
on the pipe roughness, Reynolds number, β , and the arrangement of the differential
pressure taps. The expansion coefficient ε , having values less than one for gases (ε =1
for liquids), introduces a correction in order to account for the compressibility of the
gas. It depends on the pressure ratio p2 /p1 , heat capacity ratio of the gas (at constant
pressure and constant volume), β , and is gas specific.
Introducing the correction coefficients, the volumetric and mass flow rate expres-
sions become
2 2 π 2
Fv = Cvc Cf ε A2 E√ (p1 − p2 ) = αε A2 √ (p1 − p2 ) = αε d21 √ Δp, (7.23)
ρ ρ 4 ρ
π 2
Fm = Cvc Cf ε A2 E√2ρ (p1 − p2 ) = αε A2 √2ρ (p1 − p2 ) = αε d1 √2ρ Δp, (7.24)
4
where α is the well-known flow coefficient. The flowates computed according to equa-
tions (7.23) and (7.24) are dependent on the static pressure p1 and temperature mea-
surement conditions. When these measurement conditions change, necessary addi-
tional corrections have to be made for accurate flow rate results, based on static pres-
sure and temperature measurements. They are performed by the smart flow meters.
The emplacement of the restriction element requires a straight pipe length of more
than 20 pipe diameters upstream, and a straight pipe length of more than 5 pipe di-
ameters downstream the restriction, in order to provide a stable flowing profile and
perform accurate flow rate measurement.
The accuracy of flow measurement is the sum the restriction element accuracy (er-
rors higher than 0.5 %), differential pressure measuring device accuracy (errors higher
than 0.5 %), transmitter/square root extractor accuracy (errors higher than 0.5 %), and
accuracy of the geometrical arrangement, usually leading to errors between 2 and 4 %.
The time response of this flow rate measuring transducer is less than 3 seconds.
Pitot tube flow meter

The measuring principle of the Pitot flow meter relies on the calculation of the fluid
velocity v from the fluid dynamic pressure PD [5]. The latter may be found by making
the difference between the total pressure pT and the static pressure pS of the flowing
liquid, pD = pT -pS , with an arrangement of the pressure taps presented in Fig. 7.23.
PT d
PS
ΔP=PT–Ps=PD
Fig. 7.23. Pitot flowmeter measuring principle.
According to Bernoulli’s equation,

ρ v2
pD = pT − pS = Δp = (7.25)
2
and the volumetric flow rate may be computed by
π d2 π d2 2
Fv = v= √ Δp, (7.26)
4 4 ρ
where d is the pipe diameter and ρ is the fluid density.
There are different versions of this flow measurement principle, such as the
Prandtl tube flow meter, S type Pitot and Annubar flow meter. Their accuracy is not
as good as of the restriction element flow meters, but may show incentives especially
with respect to the installation costs on large diameter pipes. The response time of the
Pitot flow meter is comparable to that of the restriction element flow meters, i.e. less
than 3–5 s.
Rotameters
The measuring principle of this variable area flow meter relies on lifting a float placed
in a vertical tapered tube through which the fluid flows [3], as shown in Fig. 7.24.
Fvmax
FL
FA
Fv
h
GF
0
Fig. 7.24. Rotameter measuring principle.
As the fluid flow rate and velocity increase, the lifting force is higher and the float
is moved in a higher position where the area of the annulus through which the fluid
passes is increased. Due to the lifting force of the increased flow rate the float has
to move upward for the pressure drop on the float to remain almost the same and
the equilibrium between the downward gravity force and the upward forces to be re-
established.
The forces acting on the float are the gravity force GF , the Archimedes’ force FA
and the lifting force FL . They are described by
GF = Vf ρf g
FA = Vf ρfd g (7.27)
ρ v2
FL = CAf fd2 ,
where Vf , Af , ρf are the volume, the largest cross-sectional area and density of the
float, ρfd is the fluid density, v is the fluid velocity, and C is a pressure drop coefficient.
For a given fluid velocity v (with its corresponding flow rate), the equilibrium of
forces acting on the float is
ρfd v2
Vf ρf g = Vf ρfd g + CAf , (7.28)
2
and the fluid velocity becomes
2g Vf
v=√ (ρf − ρfd ) . (7.29)
C Af ρfd
The volumetric flow rate may be computed by
2g Vf
Fv = A √ (ρf − ρfd ) , (7.30)
CAf ρfd
where A is the difference between the cross-sectional area of the tube and of the float,
at the equilibrium height position. As the angle α is small (5∘ to 8∘ ), the area A does not
strongly depend on the height h. The coefficient C also depends on h, by a relationship
of the form:
1
C = K 2 + C0 . (7.31)
h
This ensures that the fluid flow rate through the rotameter is in an almost linear rela-
tionship to the position of the float.
The scale of the rotameter is dependent on the fluid density. For liquids with com-
parable viscosity, the rotameter can be simply recalibrated using equation (7.30). The
dynamic response of the rotameter reveals a time constant of less than 1 s, but it may
reveal an oscillating behavior.
The rotameter can be coupled with a displacement transducer and transmitter.
For this case, the tapered tube should be made of non-ferromagnetic material in order
to allow the float to be magnetically coupled with an exterior electric or magnetic cir-
cuit, and further to the transmitter. The float materials can be made of stainless steel,
aluminum, Teflon, PVC, or glass and depend on the fluid properties. The tapered tube
is usually made of borosilicate glass. The rotameter’s accuracy is comparable to that
of the restriction-based flow meters. They are suitable for relatively low flow rate and
low cost measurements.
Velocity-based flow meters

From this class of flow meters the most representative are the magnetic, ultrasonic and
Vortex flow meters.
The magnetic flow meter’s measuring principle is based on the induction (Fara-
day’s) law, which states that when a conductor crosses the lines of a magnetic field, a
voltage is generated in the conductor [3]. This voltage depends on the velocity of the
conductor v, induction field B, and length of the conductor l, according to the equation
u = vBl. (7.32)
For the case of the magnetic flow meter, the conductor consists in slices of electri-
cally conductive liquid passing through the pipe and having a diameter equal to the
pipe diameter (l = D). In each moving slice the voltage is induced and two measuring
electrodes are capturing it for amplification and further processing. The induced volt-
age is proportional to the mean velocity in the cross-section of the pipe. The magnetic
field lines, the fluid direction of flow and the electrodes’ axis are mutually perpendic-
ular. The simplified representation of the magnetic flow meter measuring principle is
shown in Fig. 7.25.
D
S
v
Fig. 7.25. Magnetic flowmeter measuring principle.
The volumetric flow of the magnetic flow meter becomes

π D2 u π Du
Fv = Av = = . (7.33)
4 BD 4B
Instead of constant and permanent magnets, the magnetic flow meter uses coils sup-
plied by alternative current or pulsed direct current in order to produce the magnetic
field. The flow meter’s pipe is made of non-ferromagnetic materials and, if it is metal-
lic, it is electrically isolated from the liquid and electrodes by lining. Common lining
materials are: enamel, Teflon, rubber and ceramic. The lining also has the role of pro-
viding the needed resistance to corrosive or abrasive liquids, with temperatures up
to 200 ∘ C. The electrodes are made of materials such as: stainless steel, platinum-
rhodium alloys, titanium and hastelloy. Obviously, this type of flow meter can only
measure liquids having a minimum electrical conductivity of 2 μ S/cm. Petrochemical
liquids are not suitable for this type of flow rate measurement, as they commonly do
not have the minimum required electrical conductivity.
The induced voltage is usually less than 20 mV, which makes it necessary to per-
form an amplification by the transmitter that generates a unified current signal or a
frequency modulated signal (e.g. between 0 Hz and 1000 Hz). The accuracy class of
magnetic flow meters is of about 1 %. Their dynamic time response is excellent and
the steady state characteristic is linear.
The magnetic flow meters represent the most powerful candidate for the top place
in popularity of the restriction based flow meters, due to their particular incentives, of
which the following may be mentioned: flow rate measurement does not depend on
temperature, density, viscosity or pressure, can be used for liquids having both lami-
nar and turbulent flow, may be employed in applications for liquids containing sedi-
ments, mounting can be made in vertical, horizontal or inclined position for bidirec-
tional measurements, it needs reduced straight pipe conditions (3 to 5 pipe diameters
upstream), exhibits no pressure drop and features easy recalibration and changing
the measuring scale (smart transmitters).
Two categories of ultrasound flow rate measurement are known: ultrasound flow
meters based on measuring the transition time and on the Doppler effect [5].
The principle of the ultrasound flow meters based on measuring the transition
time is presented in Fig. 7.26.
When the ultrasound wave travels in a moving liquid of velocity vl its velocity
changes compared to the wave velocity in stagnant liquid vs ; it increases (v1 = vs + vl )
in the case the orientation and sense of the liquid flow and the wave are the same and
it decreases (v2 = vs –vl ) when the orientation is the same but the sense is opposite.
The difference between the transition times of the two ultrasonic waves traveling with
altered wave velocities, in both co- and counter-current with the stream, is a function
of the fluid velocity.
The ultrasound flow meters have a pair of transmitter-receiver T − R units. Each of
them sends and receives an ultrasound wave to and from the other one. For the case
of the aligned T − R units, the difference in the transition time Δt, for the co-current
and counter-current wave propagation is
L L 2Lvl
Δt = t2 − t1 = − = . (7.34)
vs − vl vs + vl vs2 − vl2
Considering that, vs2 ≫ vl2 , the velocity of the liquid may be computed by
(vs2 − vl2 )Δt vs2 Δt
vl = ≅ . (7.35)
2L 2L
Transmitter – Transmitter –
Receiver Receiver
T–R T–R
L
T–R T–R T–R
L
L φ
Aligned T – R Diagonal T – R
T–R
Fig. 7.26. Measuring principle of the transition time ultrasonic flowmeter.
For the case of the diagonally positioned T − R units, the velocity of the liquid is com-
puted by
vs2 Δt
vl ≅ , (7.36)
2L cos φ
where φ is the angle between the axis direction of the T − R units and the liquid flow
direction.
In this second case, there is a mediation of the velocity values across the pipe
cross-section.
The transition-time ultrasound flow meter has an accuracy class varying from 1 %
to 3 %, and its dynamic response shows a time constant of less than 1 s.
The Doppler effect flow meter measuring principle is based on the frequency
change Δf of the transmitted ultrasonic wave, compared to the reflected one, when
the incidence wave meets a particle moving with velocity vl :
vl = kΔf , (7.37)
where k is a calibration factor depending on the arrangement of the transmitter-

receiver units, properties of the transmitter-receiver and liquid materials, and trans-
mission frequency.
It is important to note that the necessary requirement for the operation of the
Doppler effect flow meter is the presence of sonically reflective particles in the flowing
stream, such as air bubbles or solid particles. The accuracy class of this flow meter is
about 3 %. The dynamic response is characterized by a time constant of less than 1 s.
It may be used in applications where the there is a large amount of particles in the
flowing stream.
The Vortex shedding flow meter measuring principle is based on the relationship
between the frequency of the vortex swirls created by an obstacle in the stream path
and its velocity (flow rate) [5]. The vortex flow meter is schematically represented in
Fig. 7.27.
Shedder bar
Vortex swirls I
Vortex swirls II
Fig. 7.27. Measuring principle of the vortex shedding flowmeter.
When the flowing gas or liquid stream meets a solid obstacle, denoted as a shedder
bar, it produces a split in the stream. This makes the pressure increase and velocity
decrease on one side of the obstacle, associated with the decrease of pressure and in-
crease of velocity on the other side of the obstacle. Time alternating vortex swirls of
type I and II are formed on the shedder bar sides and the process is reversed with a fre-
quency dependent on the fluid velocity. The vortex swirls produce an oscillating me-
chanical stress on the obstacle which is transformed into electrical signals by piezo-
electric, strain gauges or thermistor sensors. The vortex frequency is about 10 times
higher for gases, compared to liquids, but also depends on the geometry of the flow
meter. A minimum value of the Reynolds number of Re = 4000 is required for the
proper operation of this flow meter. Its sensitivity to vibration is relatively high due
to the sensor. Accuracy class is of 1 %. The dynamic time response is of the order of
seconds.
Mass flow meters

The most representative types of the mass measuring class are the Coriolis, thermal
mass and inferential mass flow meters.
The measuring principle of the Coriolis mass flow meter is based on the propor-
tionality between the mass flow rate passing through a tube (in which mechanical os-
cillations are induced on perpendicular direction of the fluid flow direction) and the
phase shift of the oscillating ends of the tube [4]. The phase shift between the ends
of the tube is due to the action of the Coriolis force exerted in the tube by the flowing
fluid. The Coriolis force FCO is the force acting on a solid body of mass m, having both
translational movement with radial velocity v⃗ and rotational movement with angular
velocity ω⃗ :
F⃗ CO = 2m(ω⃗ × v).
⃗ (7.38)
The Coriolis force exerted by the fluid is dependent on its mass and velocity and hence,
on the mass flow rate. For the case when there is no mass flow rate passing through
the measuring tube, both ends oscillate with no phase difference. The oscillation is
induced by special exciting elements of the flow meter. As the mass flow rate increases,
the oscillation at the inlet of the tube is decelerated and oscillation at the other end
is accelerated, producing a phase shift between the oscillating ends. This phase shift
is proportional to the mass flow rate and it is processed and transformed into unified
current signal
The incentives of the Coriolis flow meter consist in its accuracy class of less than
0.3 %, independence of the measurement on the fluid density, pressure, temperature
and viscosity, and ability to measure mixtures of solids and liquids and liquids and
liquids. The Coriols flow meter may also provide the density measurement, obtained
by bringing the oscillation frequency of the tube at resonance. Its time response is
less than 2 s.
The thermal mass flow meter measuring principle is presented in Fig. 7.28.
The fluid to be measured is passed through a heat conductive metallic tube [3]. A
heat producing resistance RT is placed between two resistance temperature detectors
(RTDs) RT1 and RT2 , that are part of the Wheatstone measuring bridge supplied by
the electrical voltage source E. When the mass flow rate Fm is null, the heat distribu-
tion in the pipe is symmetrical and the maximal temperature is situated in the center
of the tube. Both RTDs measure the same temperature and the Wheatstone bridge is
in equilibrium, U = 0. As the fluid mass flow rate increases, the heat is transported
downstream and the distribution of the heat becomes non-symmetric in the tube, ex-
hibiting a difference between the temperatures in the location of the RTDs:
ΔT ∘ = k1 cp Fm , (7.39)
where k1 is the calibration constant of the instrument and cp is the fluid specific heat.
The RTDs detect the temperature changes and the Wheatstone bridge becomes
unbalanced, producing the voltage:
U = 0.5 α ΔT ∘ E (7.40)
where α is the temperature coefficient of the resistance temperature detector.

RT1 RT RT2
Fm
R U R
E
=
T° Fm > 0
Fm = 0
ΔT°
Fig. 7.28. Measuring principle of the thermal mass flowmeter.
From equations (7.39) and (7.40) the voltage-mass flow rate relationship can be ob-
tained as
U = 0.5α Ek1 cp Fm = KFm (7.41)
thus, indicating a linear dependence.

This type of direct mass flow meter is very appropriate for measuring low gas flow
rates, in laboratory and small or medium size pilot applications. It may be also used
for viscous and low electrically conductive liquids. Corrections have to be done if the
temperature, composition and viscosity of the fluid changes considerably. Its accuracy
class is 1 %.
The inferential mass flow meter computes the mass flow rate based on the volu-
metric flow rate and the fluid density, as Fm = Fv ρ [4].
For gases, the most common mass flow rate measuring approach is presented in
Fig. 7.29.
Special temperature and pressure transducers, placed in the neighborhood of the
differential pressure transducer, are used to obtain the necessary pressure, temper-
ature and differential pressure signals. These signals are further used to accurately
compute the volumetric flow rate, fluid density and consequently, the mass flow rate
of the gas stream.
Δp
P T° Δp
ρ ρΔρ
Fm Fig. 7.29. Inferential mass flowmeter.
Flow integrators
Besides the flow rate measurements, in process engineering applications information
is sometimes needed that reveals the total quantity of delivered volume or mass, for
a certain period of time. If the mass or volumetric flow rates are measured and trans-
formed into a standard signal, the total quantity may be obtained by time integrating
these signals. This operation may be performed by the special devices named integra-
tors.
A particular class of flow meters measures and integrates the volumetric flow rate
by dividing the flow into precisely measured volumes and counting the number of
such volumes passed through the flow meter. The number of volumes multiplied by
the value of a single sample volume provides the total volume (integrated flow rate)
that was passed through the flow meter in a certain period of time. The flow rate may
be computed if the time is also measured. The ratio between the total volume passed
through the volumetric meter and the corresponding period of time for its accumula-
tion, equals the mean flow rate for the corresponding period of time. From this cat-
egory of flow integrators, the most common are the Woltman turbine meter and the
oval shaped gear meter [3].
The Woltman turbine meter is frequently used for integrating water streams. It is
schematically represented in Fig. 7.30.
The turbine, having helical blades, is rotated by the fluid flow and the number of
rotations is transmitted by a mechanical gear coupling system to a mechanical gear in-
tegrator. An alternative construction transforms the rotations of the turbine in a pulsed
electrical signal that is generated by the magnetic coupling of the turbine with the ex-
terior electrical circuit or by electromagnetic induction. An electronic counter totalizes
the number of electrical impulses and hence, the total volume. Its accuracy class is 2 %
to 3 %.
The oval shaped gear meter is presented in Fig. 7.31.
It is composed of two oval gears that rotate and separate fixed volumes of fluid V
which are passed from the upstream to the downstream of the meter (four volumes for
one full rotation). The number of rotations is transmitted to mechanical or electrical
Fig. 7.30. Woltman turbine flow integrator.
Fig. 7.31. Oval shaped gear flow integrator.
counters that show the integrated flow rate. The typical accuracy class of the meter is
higher than 0.5 %.
7.7 Level transducers
Level measurement is of fundamental importance in process engineering because of

its direct relationship to the material inventory of the system, the information on the
latter being considered to be most significant for process operation. The level of both
liquid and solid materials may be measured. The level measurement can be continu-
ous with respect to the level values or discrete, i.e. only for detecting threshold val-
ues (for alarming, interlocking or on-off control). The measuring methods may imply
direct or lack of contact with the measured medium. The measuring methods can di-
rectly or indirectly measure the level. For the indirect methods, either the environment
or the measured medium characteristics may affect level measurement, such as: den-
sity, composition, pressure, temperature, agitation, dust, vapors, electrical conduc-
tivity, dielectric properties, moisture and material deposition. A large variety of level
measuring instrumentation is offered by the manufacturers.
Level transducers based on floats

The optical reading of the level in a tank or in an associated communicating vessel
and the float-based level measurement are direct level measuring methods.
The float is a solid body whose density is lower compared to the liquid density.
Due to Archimedes’ force the body floats and shows the liquid level. It may be me-
chanically coupled by a pulley system to a counterweight in order to transmit the float
movement to an indicator outside the tank or to a displacement electrical transmitter
for standard signal generation. The displacement transmitter may use magnetic (per-
manent magnet) or inductive coupling to the float. The float can be also mounted in
an associated communicating vessel.
The level measuring principle using the float coupled directly to a spring is pre-
sented in Fig. 7.32.
(1) (2) (3)
2
y
1 y0
H +y –y H
H0 0 0
Fig. 7.32. Float based level measurement.
The float 1 is placed in a communicating vessel 2. As the level in the tank changes, the
float changes its position [3]. Three forces acting on the float are in equilibrium. They
are the gravity force G, Archimedes’ force FA , and the elastic force of the spring Fs , and
at equilibrium:
G = F A + FS
(7.42)
G − Aρ [H − (H0 + y0 − y)]g − KS y = 0,
where y is the spring elongation corresponding to the partially immersed float (posi-
tion (3) in Fig. 7.32), y0 is the spring maximum elongation corresponding to the non-
immersed float (position (2) in Fig. 7.32), i.e. when H = H0 and G = Ks y0 , and A is the
cross-sectional area of the float.
The current elongation of the spring y is linearly dependent on the level H:
Aρ g
y = y0 − (H − H0 ). (7.43)
KS + Aρ g
The elongation can be transformed into an electrical signal by magnetic or inductive

coupling.
The dynamic behavior of the float system is described by the equation
d2 y
G − Aρ [H − (H0 + y0 − y)]g − KS y = M , (7.44)
dt2
where M is the mass of the float and spring.
The second order differential equation (7.44) reveals the possibility of getting into
an oscillatory regime. This system’s intrinsic behavior is occurring beside the oscilla-
tions induced by the liquid circulation aimed to equalize the level in the communica-
tion vessels. Choosing the appropriate values for the mass M, the float cross-sectional
area A and the elastic constant Ks , may render to the system an aperiodic second order
dynamic behavior.
The accuracy class of this type of level transducers is higher than 1 %. Fouling and
building deposits on the float may affect the accuracy of the measurements.
Level transducers based on the pressure measurement

This is the most commonly used level measuring method [3, 5]. Actually, these level
transducers are pressure or differential pressure transducers. For a tank opened to
atmospheric pressure, the level measuring principle is based on the measurement of
the hydrostatic pressure p (relative pressure) produced by a column of liquid having
the height H, as their direct relationship shows:
p = ρ g H. (7.45)
There is a linear relationship between the level and the hydrostatic pressure provided
that density is constant.
If the tank operates under pressure, the differential pressure transducer is re-
quired to measure the pressure exerted by the column of the liquid, as revealed by
the equation
Δp = PH − PL = Pgas + ρ g H − Pgas = ρ g H. (7.46)
The measuring principle is presented in Fig. 7.33.

In order to make the level measurement independent of the atmospheric pressure
it is possible to use the differential pressure method for both cases of open and closed
(under pressure) tanks.
If the gas vapors may condense, the gas connection line should be filled with the
condensate of the liquid with the help of a condensing vessel mounted in the neigh-
borhood of the gas tap. PL becomes the high pressure connection and PH becomes
the low pressure connection of the transducer. As a result, the differential pressure
received by the transducer and hence, the standard signal, becomes inversely propor-
tional to the liquid level. For the case when the liquid and vapors are corrosive and
produce deposits, the connection lines of the transducer may be filled with a neutral
liquid or separated by elastic and corrosive-resistant metallic membranes.
Gas connection line

Pgas
Standard signal
Differential pressure
H
transducer
PH PL
Fig. 7.33. Differential pressure based level measurement.
The accuracy class of this level transducers category is that of the pressure transducer.
The time response of the level transducer is less than 2 seconds.
In order to overcome the direct contact between the pressure transducer and the
corrosive medium or the medium creating deposits (polymerization, crystallization)
the bubble tube level measuring principle may be used, as presented in Fig. 7.34.
Standard signal
FC
Air
PL PH
Fig. 7.34. Bubbler level measurement principle.
Air or neutral gas is injected into a tube immersed in the liquid so as to create a bub-
bling flow [3, 5]. The pressure created in the tube is proportional to the liquid level,
provided that liquid density is constant. The pressure is converted into a standard sig-
nal by a pressure transducer. It is important that the injected flow rate of the neutral
gas to be kept constant. This may be achieved by a flow rate control loop, such as by
the constant flow rate rotameter. For pressurized tanks the differential pressure trans-
ducer can be used in this case where the low pressure connection of the differential
transducer PL is connected to the pressure of the gas acting on the liquid surface.
Capacitance level transducers

The measuring principle of the capacitance level transducer is based on the electrical
capacitance of a capacitor that depends on the dielectric material between the plates,
the distance and the area of the plates, as presented by equation (7.16) [5]. For a given
geometry, the overall capacitance depends on the dielectric coefficient (permittivity).
The dielectric coefficient is formed by two components, the one corresponding to the
liquid and the other one corresponding to the gas, as shown in Fig. 7.35.
Standard signal Standard signal
Transmitter Transmitter
Electrical Metal Electrical Non-
conductor conductor insulator conductive
wall wall
Electrical
conducator
core Metal
C=f(ɛ) C=f(ɛ)
Level in a non–conductive liquid Level in a conductive liquid
Fig. 7.35. Capacitance level measurement in conductive and nonconductive liquids.
For a nonconductive liquid the two plates of the capacitor are: an immersed electrical
conductor and the conductive wall of the tank. In the case of a conductive liquid the
two plates are: an immersed electrical conductor coated with an electrical insulator
material and a metal rod (cable probe) also immersed in the liquid. In this second
case the tank should have nonconductive walls.
The dielectric coefficient of the air (and most of the gases) is about tens of times
smaller compared to that of the liquids. As a consequence, when the level in the tank
is small, the overall capacitance is small and when the level is high, the capacitance
is also high.
If the liquid in the tank has high viscosity or produces buildup, the capacitive level
measurement may show a large time constant or even fail in performing the measure-
ment. The accuracy class of the capacitive level transducer is 0.5 %. The time response
is less than 1 s. Special compensation is needed when the liquid temperature and com-
position are changing.
Ultrasonic and radar level transducers

The measuring principle of the ultrasonic level transducer is based on the reflection of
the sonic wave sent by an ultrasound transmitter. The reflection of the wave occurs
when it meets the surface of the liquid or solid in the tank [5], as presented in Fig. 7.36.
T–R
Transmitter – Receiver Standard signal
T–R
Δt Δt h
HT
H
Fig. 7.36. Ultrasonic level measurement principle.
An ultrasonic receiver detects the reflected wave and the transmitter-receiver ensem-
ble measures the time interval between the moment of emitting the ultrasonic pulse
and the moment of receiving the echo pulse 2Δt. Correlated with the known ultra-
sound propagation velocity in the gas vW , the level of the liquid may be directly calcu-
lated by
H = HT − h = HT − vw Δt, (7.47)
where HT is the height position of the transmitter-receiver, measured from the bottom
of the tank.
This level measuring method is very appreciated when the direct contact between
the transducer and liquid or solid is undesirable (corrosion, buildup, high viscos-
ity) or the properties of the medium are changing (temperature, composition). Nev-
ertheless, it is necessary to have a good reflectivity of the surface (e.g. heavy agitation
or foam may disturb the measurement). Smart transducers can filter undesired false
echoes generated by tank interior obstacles, such as baffles, ladders and tank braces.
As the ultrasounds propagation speed depends on the temperature and the compo-
sition of the ultrasound propagation medium, special compensation should be pro-
vided if these measuring conditions change significantly. The use of ultrasound level
transducers is limited to medium temperature up to 150 ∘ C and to medium pressure
up to 5 bar. Its accuracy class is 0.5 % and time response usually less than 3 s.
The measuring principle of the radar level transducer is similar to the ultrasound
level transducer (i.e. measuring the flight time), except that the reflection of the fre-
quency modulated electromagnetic wave sent by the transmitter is reflected on the
surface of the liquid or solid in the tank. It is a noncontact measuring method that
can be used in difficult operating conditions, as the measurement is neither depend-
ing on the temperature, composition or buildup of the solid or liquid medium, nor on
the temperature, pressure, dust or composition of the gaseous propagation medium.
A single requirement is still needed and this implies that the dielectric constant of the
gas has to exceed a minimum limit (i.e. over 1.9). The measuring error is very small,
i.e. of about ± 1 mm. The time response is almost instantaneous.
Laser-based measurement of the level uses the same flight time principle. It is rec-
ommended for very accurate measurements, for long measuring ranges and for severe
conditions, such as melting furnaces. The method may be affected by the presence of
dust. The accuracy class of the measurement may reach 0.02 % and the time response
is almost instantaneous.
Radiometric level transducers

Gamma rays are radiation electromagnetic waves, of very short wavelength, produced
by energy state transitions in the nucleus of some elements, such as Cobalt 60 and Ce-
sium 137 isotopes [5]. Their power of penetration is very high, making possible the
installation of the gamma sources outside of the tank wall and making the level mea-
surement independent of the gas properties. The radiometric level measuring princi-
ple is presented in Fig. 7.37.
A gamma ray source sends a beam towards the gamma radiation detector. The
detector is usually a Geiger–Müller counter for point level detection and a rod scin-
tillation counter for the continuous level measurement. The amplitude of the gamma
radiation received by the counter depends on the thickness of the liquid or solid to be
penetrated, and hence on the level in the tank. For point level detection, the gamma
radiation source is unidirectional while for the continuous level measurement it is
multidirectional. When the level of the liquid or solid in the tank reaches the preset
level of the detection point there is a drastic decrease in the signal detected by the
counter, thus triggering the state of the alarm relay or the predefined operation. The
continuous level detector consists in a rod having scintillation crystals distributed in-
Detection
of a point level
Threshold detector Gamma
sources
Analog detector
Continuous
level measurement
Photo-electronic
transmitter
Standard
signal
Fig. 7.37. Gamma radiometric level measurement principle.
side it. When radiated, the crystals produce light that is integrated and processed by
a photo-electronic transmitter and converted into a standard signal, proportional to
the level.
The radiometric level transducer operation is independent of the gas, liquid and
solid properties (temperature, pressure, viscosity, dust) inside the tank, but is biolog-
ically hazardous and consequently special attention should be paid to operation per-
sonnel protection and to tank inventory of biological nature. The measuring accuracy
class is 1 % and the time response is less than 2 seconds.
Conductive level transducers

The measuring principle of this level measurement transducer is based on measuring
the electrical resistance of the non-shunted part of an electrical resistance immersed
in the conductive liquid of the tank [5], as presented in Fig. 7.38.
The electronic transmitter senses only the non-immersed resistance R1 created in
its input electrical circuit due to the fact that part of the total resistance, i.e. the R2
resistance part, is shunted by the conductive liquid. As the level increases, the resis-
tance R1 reduces its value. The electrical resistance is made of a tape mounted on a
metal bar, the latter being connected to the always immersed end of the tape.
This simple method for level measurement may present errors of about ± 3 cm,
but the time response is of less than 2 s. For low cost applications, electrodes may be
mounted at specified threshold detection levels and the liquid be used for acting as
an electrical switch.
Standard
signal
Electronic
transmitter
Metal Electrical
base resistance
R1
R2
Fig. 7.38. Conductive level measurement principle.
Level transducers based on weighing

This is an indirect measuring method for the level in tanks of known weight, geometry
and of the liquid or solid density of the tank inventory.
The measuring principle is based on weighing the overall mass of the tank. This
is performed by measuring the deformation of the strain gauges, mounted on metallic
elements that support the tank [5], as presented in Fig. 7.39.
Transmitter 4–20 mA
Indicator
Wheatstone bridge
Fig. 7.39. Weighting based level measurement.
As the level of the liquid or solid in the tank changes, its weight changes and the strain
gauge resistance as well. A Wheatstone bridge and associated electronic circuits gen-
erate a standard signal proportional to the weight, and hence to the level.
Compensation with changes of the strain gauge temperature is necessary and spe-
cial mechanical measures must be applied to avoid undesired influences on the sys-
tem’s weight that may be introduced by the connections with other equipment, such
as piping. This method has many applications for solids level and weight measure-
ments. Accuracy is the one specific to the strain gauges and the time response is less
than 5 s.
7.8 Composition transducers
Composition is the most important process parameter in industrial process engineer-

ing applications because the quality of raw materials and products needs to be as-
sessed in order to provide safe and efficient operation.
Composition transducers may be classified in two main categories: selective and
non-selective instruments. The selective composition transducers are able to pro-
vide composition information on the individual components forming the mixtures,
on the basis of the components’ particular physical and chemical properties. The
non-selective transducers indirectly measure the composition by inferring the com-
ponents’ concentration on the basis of physical and chemical properties of the mixture
(density, viscosity, pH, conductivity).
Density transducers
There are different methods for finding the composition based on density measure-
ments. They are typical for the case of binary mixtures of miscible components, such
as: ethanol-water, acid-water or salt-water. Even for a multiple component mixture,
in which one component is dominant, density may provide useful information on the
key component composition.
Continuous density measurement can be performed by measuring the hydrostatic
pressure exerted by a column of liquid, by measuring the displacement of a hydrom-
eter, by weighing and by measuring the oscillating frequency of a mechanical probe
immersed in the liquid.
A simple and noncontact method for hydrostatic density measurement is pre-
Inert gas (e.g. nitrogen) is introduced with constant flow rate in each of the tubes 3,
so as to produce a bubbling flowing regime [3]. The tubes are immersed in two tanks:
one tank 1 containing the measuring liquid of unknown density ρmes and the other
one, tank 2, containing a reference liquid with known density ρref . Liquid levels in the
two tanks are the same, due to the same overflow weir position. The difference in the
hydrostatic pressure in the two tubes is
Δp = pmes − pref = ρmes g H − ρref gH. (7.48)
This differential pressure is linearly dependent on the density of the measuring liquid
and is converted into a standard signal by the differential pressure transducer. In order
Standard signal
FC
PH PL
+ p– FC Inert gas
3 3
1 2
H
ρref
ρmes
h
Measuring liquid density
ρmes
Liquid of reference density

ρref
Fig. 7.40. Bubbling system density measurement.
to change the zero point of the emerged differential pressure, for example when ρref >
ρmes , the high pressure tube can be moved down with an appropriate displacement h.
The influence of the liquid temperature on the density measurement is prevented
by the design of the instrument. This is due to the fact that the reference tank 2 is com-
pletely immersed in the measuring tank 1 and consequently, the temperature in both
tanks is the same. This means that density changes produced by temperature show up
in both tanks and are mutually compensated by the emerged pressure changes sub-
traction.
The dynamic behavior of the instrument depends on the time needed for liquid
homogenization in the measuring tank, which is the rate-controlling subsystem of the
measuring device. This is described by the equation
dρmes
Vmes = F(ρmes-in − ρmes ), (7.49)
dt
where Vmes is the measuring tank volume, while F and ρmes-in are the flow rate and
density entering the measuring tank.
According to equation (7.49) the time constant of the instrument is equal to the res-
idence time of the liquid in the measuring tank Tp = Vmes /F. The instrument accuracy
class is higher than 1.5 %.
The density measurement based on the displacement of a hydrometer floating in
the liquid has an inductive transmitter, like the one presented for the inductive pres-
sure transducer, or may have a differential transformer. The density measurement that
relies on weighing has as measuring principle that takes the same approach as the
level transducer based on weighing, i.e. using the strain gauge. The density measure-
ment based on bringing a mechanical probe (bar, fork, tube) immersed in the liquid to
oscillation can be performed by changing the mechanical excitation frequency until
resonance is obtained. This principle was presented with the Coriolis flow meter.
Viscosity transducers
Viscosity measurement is important not only for the study of the fluid’s flowing behav-
ior but also as in indicator for the evolution of reactions, specifically in the polymers
industry. There are several methods for measuring cinematic viscosity η , such as the
measurement of the flow rate through a capillary or between two rotating cylinders
and measuring the free falling time of a solid body in the medium of unknown viscos-
ity. Most of the methods are specific to laboratory measuring conditions and do not
provide continuous viscosity measurement (e.g. U-tube, falling sphere, falling piston,
vibrational or bubble viscometers). For continuous measurement, rotational viscome-
ters, such as Searle, Couette, electromagnetically spinning sphere or rotameter type
viscometers are used [3]. Figure 7.41 presents the Searle viscometer.
7
7
6 5
5 φ
6
4
1
3 2
Fig. 7.41. Searle viscometer.
The liquid to be measured 2 is placed in a tank where the cylinder 3 is rotating. This
inner tank is immersed in a second tank in which the fluid 1 is used to keep constant
the temperature of the liquid 2. Cylinder 3 rotates with constant angular speed ω . Due
to the medium’s viscosity, cylinder 3 is dragged back in its rotation compared to the
driving shaft. Its movement, with the same ω , will show a phase difference φ . This
phase-shift is possible due to the elastic coupling provided by the spring 4.
At constant angular speed there is equilibrium between the cylinder 3 moment

of rotation MR = k1 ηω and the counteracting moment of rotation produced by the
spring 4, Ms = k2 φ , leading to a linear dependence between the phase-shift φ and
the viscosity:
k ω
φ = 1 η = Kη . (7.50)
k2
The cursor 5 of the rheostat is fastened on the rotating cylinder shaft and changes
its angular position with respect to the rheostat resistance 6 according to the same
phase-shift φ . The rheostat electrical resistance 6 is fastened on the driving shaft sys-
tem. The position of the cursor 5 is proportional to the phase-shift and, hence to the
viscosity. The rheostat electrical resistance, depending on viscosity, is processed and
transformed into a standard electrical signal.
The dynamic behavior of the Searle viscometer is of first order and it is controlled
by the viscosity homogenization in the measuring tank [9]. The accuracy class of the
measuring system is 2 %.
Another type of continuous measuring viscometer has a similar construction with
a rotameter. The difference is that the float is designed so that its position is depen-
dent on the viscosity, while the flow rate entering the viscometer is kept constant by a
pump. The position of the float is transformed into a standard signal in a similar way to
the case of the rotameter. Its accuracy class for measuring cinematic viscosity is 3 %.
Electrical conductivity transducers

Electrical conductivity σ is the property of a medium to pass an electric current
through it [3]. It is the inverse of the medium electrical resistivity ρ . The electrical
resistance R of a cell containing the conductive medium and its conductance G de-
pend on the geometry of the cell, i.e. the area S and distance between electrodes l,
according to the relationships
l
R =ρ
S
1 1S S (7.51)
G = = =σ
R ρ l l
l
σ = G = KG,
S
where K is a constant of the cell. The SI unit for conductivity is Ω−1 ⋅ cm−1 or S ⋅ cm−1 .
The concentration-conductivity relationship, which is the basis for this concen-
tration measurement method, is presented in Fig. 7.42 for diluted, and in Fig. 7.43 for
concentrated solutions of electrolytes (acids, salts and bases).
As it is revealed, the conductivity is linearly dependent on the concentration, at
low conductivity values, and is nonlinear (presenting negative slope), at high conduc-
tivity values.
The conductivity measuring transducer is presented in Fig. 7.44.
NaO 2
H)
Ca(O 4
H
2 O
HS
HCl
MgCl2
180
CaCl2
160
NaCl
Electrical conductivity [μS/cm]
140 KCl
120 CaSO4
Na2SO4
100
KNO3
80
60
40
20
Fig. 7.42. Electrical conductiv-
0 ity of diluted solutions of elec-
0 10 20 30 40 50 60 70 80 trolytes at the temperature of
Concentration [mg/L] 18 ∘ C.
0.7
HF (–15°C)
0.6 HCI
Electrical conductivity [S/cm]
0.5
KOH
0.4
HNO3
0.3
H2SO4
NaOH
0.2
0.1
0
0 10 20 30 40 50 60 70 80 90 100
Concentration [%mass]
Fig. 7.43. Electrical conductivity of concentrated solutions of electrolytes at the temperature of

18 ∘ C.
RT
R1
P1
S
I
R3 R2
Conductivity
measuring cell
Fig. 7.44. Electrical conductivity measurement principle.
The conductivity measuring cell consists in two parallel plate electrodes placed in the
flowing conductive solution. The cell resistance, depending on liquid conductivity, is
introduced in a branch of the electrical measuring bridge. The measuring bridge is
supplied with alternating current (1000 Hz) in order to avoid electrical polarization,
which, for direct current, consists in the accumulation of ions around the plates and
the formation of a barrier for the current passage.
The electrical conductivity depends on temperature, as shown in Fig. 7.45.
Relative electrical conductivity [σ/σ20]
2.5 NaOH 50%

NaOH 20%
2
H2SO4 96%
1.5
KCI – 1N
1
H2SO4 30%
0.5
0
0 10 20 30 40 50
Temperature° [C]
Fig. 7.45. Electrical conductivity dependence on temperature.

As a consequence, compensation of the conductivity change due to the tempera-

ture changes is performed with the RTD, RT , also immersed in the measured solution.
The RTD brings a change of the resistance in the measuring branch of the bridge that
compensates the change of the cell resistance produced by temperature.
The dynamic behavior is close to a proportional system due to the rapid response
of the electric phenomena. The accuracy class is higher than 0.5 %.
The direct contact conductivity cell, presented in Fig. 7.44, can be used for the con-
ductivity measurements ranging from 0.05 μ S ⋅ cm−1 to 200 μ S ⋅ cm−1 . For measuring
high corrosive concentrated solutions (acids and bases) or when deposition may ap-
pear on the electrodes of the cell, the conductivity can be measured by the conductivity
meter with no electrodes [4, 5], presented in Fig. 7.46.
Transmitter
Standard
signal
Oscillator Detector
Primary
Secondary
coil
coil
Conductive
Solution
Fig. 7.46. Electrical conductivity transducer without electrodes.
The measuring principle relies on Faraday’s law of electromagnetic induction. Two

toroidal coils are used, both situated around the pipe passed by the conductive so-
lution and encapsulated in an epoxy resin. One coil is supplied with an oscillating
voltage. The second coil is coupled with the first one by the magnetic field and due
to the presence of the conductive solution. The voltage induced in the second coil is
dependent on the conductivity of the solution and hence, to the concentration. The
induced voltage is processed by a detector and transformed into a standard signal.
This electrodeless transducer can measure conductivities starting from 30 μ S ⋅ cm−1 .
Usually, the calibration of the instrument is performed using KCl etalon solutions, at
controlled temperature. The accuracy class of the instrument is higher than 1 % and
its time response is almost instantaneous.
pH transducers
The measurement of the acidity or basicity of a reaction medium (e.g. of wastewaters)
is given by the concentration of the hydrogen ions H+ or of hydroxyl ions OH− [3]. The
product of the two ion concentrations is the ionization constant. For the case of water
this product is
CH+ COH− = KH2 O = 10−14 . (7.52)
At the neutral point, where the concentration of the hydrogen ions H+ or of the hy-
droxyl ions OH− is equal, their concentration is:
CH+ = COH− = √KH2 O = 10−7 . (7.53)
In order to simplify the representation of the concentration exponential values, the

following logarithmic quantities have been defined:
pH = − log10 CH+ , (7.54)

pOH = − log10 COH− , (7.55)
pKH2 O = − log10 KH2 O . (7.56)
According to these definitions, equation (7.52) becomes:
pH + pOH = pKH2 O . (7.57)
It may be stated that, depending on the acidity and basicity, the pH of aqueous solu-
tions takes the following typical values: pH = 1 for strong acid solution (e.g. N/10 HCl),
pH = 2 to pH = 4 for weak acid solution (e.g. N/102 to N/104 HCl), pH = 7 for neutral
solution (e.g. distilled water), pH = 10 to pH = 12 for diluted basic solution (e.g. N/104
to N/102 NaOH) and pH = 14 for strong basic solution (e.g. N/1 NaOH).
The pH measurement is based on the formation of a galvanic cell between a mea-
surement electrode, ME, and a reference electrode, RE. The electromotive force of the
galvanic cell depends on the pH of the solution to be measured. Both the measure-
ment and the reference electrode may consist of a metal wire immersed in a solution
of chloride ions. The reference electrode can use a potassium chloride solution. The
measurement electrode uses a pH 7 chloride buffer. In the measurement electrode, a
special glass produces an electrical differential potential on its internal and external
faces. This is due to the different concentration of hydronium ions on the faces of the
glass membrane, produced by the migration of the protons (hydrogen ions).
The measurement electrode (galvanic half-cell) may have different types: hydro-
gen, quinhydrone, metal-metallic oxide, glass, etc. The most commonly used one is
the glass electrode, presented in Fig. 7.47.
The glass electrode consists of the glass membrane 1, the buffer solution 2, the
platinum electrode 3 and an isolated connection wire 4.
As reference electrode, the calomel electrode is the most common. It is presented
in Fig. 7.48.
1 Fig. 7.47. Glass electrode for pH measurement.
4
3
2
1
Fig. 7.48. Calomel reference electrode.
The calomel electrode consists of the platinum Pt wire 1, mercury Hg inventory 2,

calomel Hg2 Cl2 inventory 3, and saturated potassium chloride solution 4.
The galvanic cell formed by the two half-cell electrodes is: Pt, Hg | Hg2 Cl2 , satu-
rated KCl || pHi | glass membrane | pHm electrode || H2 , Pt. pHm is the pH of the mea-
sured medium and pHi is the pH of the glass electrode internal solution. The newer
implementations use AgCl and Au wire.
The e.m.f. of the galvanic cell is
u = uas − uN (pHm − pHi ) (7.58)
where the asymmetry voltage uas is the voltage drop on the membrane of the glass
electrode and uN is the Nernst potential term, defined by
2.303 R T ∘
uN = , (7.59)
F
where R is the universal gas constant, T ∘ is the absolute temperature, and F is the
Faraday’s constant.
Due to the fact that the e.m.f. of the galvanic cell depends both on pH and tem-
perature, as shown in Fig. 7.49, the industrial pH meter is a voltmeter provided with
the compensation of the e.m.f. change with the temperature change. The industrial
pH meter is schematically represented in Fig. 7.50. It provides the compensation of the
pH changes with temperature.
u
[mV]
400
300
200
Δu
100
0
2 4 6 8 10 12 14 pH
–100
80ᵒC
–200
40ᵒC
–300 20ᵒC
0ᵒC
–400
Fig. 7.49. pH dependence on temperature.
The input voltage of the electronic amplifier ui is a summation between the e.m.f. volt-
age of the galvanic cell ue and the temperature compensation voltage uBA :
ui = ue − uBA . (7.60)
The temperature compensation voltage uBA is obtained from the diagonal of the
Wheatstone bridge which has an RTD arm of resistance RT . When the temperature
of the medium changes from the reference temperature of 20 ∘ C, the e.m.f. of the
galvanic cell changes:
ue = ue + Δu. (7.61)
20 ∘ C
uBA
Electronic
amplifier
Standard
ui
signal
A B
ME RE
RT
ue
Fig. 7.50. pH transducer.
The change of the e.m.f. voltage produced by the temperature change Δu is compen-
sated by the uBA voltage, uBA = Δu. The Wheatstone bridge is designed in such a way
that at the reference temperature of 20 ∘ C the compensation voltage to be uBA = 0.
Due to the glass membrane of the measuring electrode, the ME-RE galvanic cell
has a high internal electrical resistance, Rint = 0.1–1 MΩ. As presented in Fig. 7.51,
the input resistance of the electronic amplifier Ri must be considerably higher than
Rint (Ri > 100 MΩ) in order to provide an accurate measurement:
1
ui = ue . (7.62)
R
1 + int
Ri
Rint
Ri Ui
Ue
Fig. 7.51. Electrical scheme of the pH transducer.

In order to prevent building material from being deposited, the electrodes’ con-
struction provides different self-cleaning methods, such as: ultrasonic, brush, water
and chemical cleaners. New electrode designs include the two (double junction) or all
three electrodes in a single case and the microprocessor-based transmitter makes the
required compensations (temperature, aging, operating conditions).
The pH measurement may be performed with absolute errors higher than
± 0.02 pH. The time constant of the pH meter is depending on the electrodes’ particular
geometry and can reach the order of seconds.
Dissolved oxygen transducers

Continuous Dissolved Oxygen (DO) concentration measurement is of very high inter-
est in wastewater treatment, as it reveals one of the most important requirements for
microorganisms’ growth. Two types of electrochemical cells are frequently used: the
galvanic cell and the polarographic cell.
The galvanic cell consists of two electrodes, the anode made of silver Ag and the
cathode made of lead Pb [3]. The electrolyte to be analyzed is passed through the cell
where the two electrodes are immersed, as presented in Fig. 7.52.
Electronic transmitter
Standard
signal
+ –
Ag Pb
Fig. 7.52. Dissolved oxygen transducer.
The redox reactions involving oxygen are
O2 + 2H2 O + 4e− → 4OH− (7.63)
at the anode, and

Pb + 2OH− → 2e− + Pb(OH)2 (7.64)
at the cathode.
A galvanic cell is formed and its e.m.f. u depends on the DO concentration:

RT ∘ a
εAg = εAg0 + ln 0 (7.65)
zO F aO2−
RT ∘ a +
εPb = εPb0 + ln Pb (7.66)
zPb F aPb
u = εAg − εPb (7.67)
where ε is the notation for the potential developed at the electrodes, a is the ion ac-
tivity, F is the Faraday’s constant, and z is the number of electrons transferred in the
balance equation.
The galvanic cell is connected to an electronic transmitter that transforms the volt-
age in a standard current signal. Using the same measuring approach, the oxygen con-
centration in a gaseous mixture can be determined if the gas is bubbled in an alkaline
solution of the instrument.
By means of electrochemical methods it is possible to determine the composition
of species or substances that participate in redox reactions (e.g. Na in amalgam for the
NaCl electrolysis process or hydrazine for hydrazine production).
The polarographic cell has two electrodes made of gold, Au, for the cathode, and
of silver, Ag, for the anode [5]. The DO cell is presented in Fig. 7.53.
Electronic transmitter
Standard
signal
RTD
Anode
Cathode
Electrolyte
Selective
membrane Fig. 7.53. Polarographic dissolved
oxygen transducer.
The electrochemical reactions are

O2 + 2H2 O + 4e− → 4OH− (7.68)
at the cathode, and

4Ag + 4Cl− → 4AgCl + 4e− (7.69)
at the anode.
Oxygen diffuses through the membrane made of Teflon and it is reduced at the
polarized cathode. The electrical current generated depends on the DO concentra-
tion. Compensation with temperature changes is provided by an immersed RTD. The
response time is about 1 minute or more. The instrument’s accuracy class is higher
than 3 %.
Gas analyzers
The most common gas analyzing methods and their measurement domains are pre-
sented in Tab. 7.1.
Table 7.1. Measuring principles, measuring domains and measured components of typical gas analy-
sers.
Measuring principle Measuring domain Measured component
Paramagnetism 0–5 % O2
0–100 % H2 O
0–5 ppm H2 +CO
0–1000 ppm CO2
Thermal conductivity 0–5 % O2 , O3 , CH4 , SO2 , H2 S, Cl2 ,
0–100 % H2 O, H2 , Cl, NH3 , NO2 , CO, CO2 , CO + H2
Electric conductivity Specific domain for each gas O2 , CH4 , SO2 , H2 S, H2 , Cl2 , NH3 , NO2 , CO,
CO2 , CO + H2
Infrared absorption Specific domain for each gas O2 , O3 , CH4 , SO2 , Cl2 , H2 O, H2 , Cl, NH3 ,
NO2 , CO, CO2 , long chain hydrocarbons
UV absorption Specific domain for each gas Cl2 in H2 , benzene in alcohol, phenol in
steam
Gas chromatography Specific domain for each gas O2 , SO2 , H2 S, H2 , Cl2 , NH3 , NO2 , CO, CO +
H2
Chemical absorption 0–0.013 % O2 , SO2 , H2 S, H2 O, CO2
Catalytic combustion CO, CO + H2
Infrared gas analyzers

The measurement principle of the IR analyzers is based on the absorption of the in-
frared radiation when passed through the measurement chamber filled with gas mix-
tures [3]. It is a selective measuring method, as it relies on the fact that each gas has
particular IR wavelengths it absorbs. This selective IR wavelength absorption is pre-
sented in Fig. 7.54, for a set of common gases.
CH4 CO2
CO CH4
Absorption ratio [%] C2H4 C2H4 C2H4
100
CO2
0 5 10 15
λ [μm]
Fig. 7.54. IR absorption spectra of some gases.
The magnitude of the IR radiation that suffered absorption by one of the gas mixture
components is described by the Lambert–Beer law:
I = I0 e−α (λ )Ck l , (7.70)
where I is the magnitude (intensity) of transmitted IR radiation, I0 is the intensity of

the incident IR radiation, Ck is the concentration of the absorbing gas, l is the distance
the IR radiation travels through the gas, and α (λ ) is an absorption coefficient that
depends on the IR wavelength λ .
The measuring principle of the IR analyzer in presented in Fig. 7.55.
The main parts of the analyzer are: L1 and L2 are filament lamps that produce the
IR radiation, Mo is the motor driving a helix for creating an intermittent IR radiation
beam, F1 and F2 are radiation IR filters, 1 and 2 are the measuring and reference gas
chambers, 3 and 4 are detecting chambers filled with an IR absorbing gas, M is an
elastic metallic membrane of the electrical condenser C, and d is the distance between
the condenser plates.
A gas mixture consisting of three gas components C1 , C2 and C3 is considered,
of which only the C1 component absorbs the IR radiation. The concentration of C1 is
the target of the measurement. The gas to be analyzed is passed into the measuring
chamber 1. In the second chamber 2 a gas is introduced that does not absorb the IR
radiation (e.g. N2 ). The intensity of the radiation received in the detecting chamber 3
is higher compared to that received in the detecting chamber 4, due to the IR absorp-
tion of the gas analyzed in the measuring chamber 1. The difference between these
two radiation intensities is proportional to the concentration of the C1 gas component
contained in the gas mixture. As a consequence, the temperature in chambers 3 and 4
is different. The pressure is also different, p3 > p4 , producing a differential pressure
Δp = p3 –p4 . The differential pressure Δp changes the distance d by displacing the
mobile plate of the electric condenser. As a result, the electrical capacitance of the
condenser C = ε Sc /d changes proportional to the component C1 concentration in the
+ –
L2 L1
Mo
F2 F1
2 1
I2 I1
3
M 4
C d
Transmitter
Standard
~ signal
Fig. 7.55. IR analyzer.
measured gas mixture. The relationship between the condenser electric capacitance C
and the concentration of C1 gas component may be obtained from the following equa-
tions:
p3 SM − p4 SM − Km x = 0 (7.71)
x = dmax − d (7.72)
ε Sc ε Sc ε Sc
C= = = , (7.73)
d dmax − x dmax − (p3 −p4 )SM
K m
but from the ideal gas law the pressure is related to the temperature
p V = n R T∘ 3 3 3 3 (7.74)
p4 V4 = n4 R T4∘ , (7.75)
and equation (7.73) becomes

ε Sc
C= . (7.76)
T∘ T∘
R (n3 V −
3
n4 V4 )
3 4
dmax − SM
Km
The p, V, T ∘ , and n notations have been used for pressure, volume, temperature, and
the number of moles in the chambers 3 and 4 (the latter denoted by the subscript
index); Km is the elastic constant of the metallic membrane having the area SM ; Sc is
the area of the condenser plates; ε is the permittivity of the gas; and d is the distance
between the condenser plates.
From the expression of the gas kinetic energy in chambers 3 and 4, the tempera-
tures may be obtained as
2E0
T3∘ = (7.77)
3k
and
2E0 e−α CC1 l
T4∘ = , (7.78)
3k
where E0 is the energy of the light emitted by the lamp and k is the Boltzmann constant.
Equation (7.76) becomes
ε Sc
C= . (7.79)
2E0 R SM n3 n4 −α C1 l
dmax − ( − e )
3k Km V3 V4
The concentration-dependent capacitance of the condenser is a branch of the elec-
trical bridge supplied by alternative voltage. The voltage obtained from the bridge is
processed by an electronic transmitter and the concentration dependent standard cur-
rent signal is generated.
For the case when there are two or more gaseous components that absorb the IR
radiation in the gas mixture, but only one is of interest, the chambers of the filters
will be filled with the unmeaning gas components. In this way, the component of the
emitted IR radiation having the wavelength corresponding to the parasite gases are
removed by absorption in the filters.
The dynamic behavior of the IR analyzer is characterized by a time constant less
than 3 s due to the small volumes of the chambers. The accuracy class of the instru-
ment is 1.5 %.
Thermal conductivity gas analyzers

The thermal conductivity λ is related to the heat transfer as presented in the equation
𝜕T ∘
Q = −λ A t, (7.80)
𝜕x
where Q is the quantity of heat passing through the surface A in a defined period of
time t and due to a spatial gradient of the temperature 𝜕T ∘ /𝜕x, with the heat flux being
normal to the surface [3].
Different gases have different thermal conductivities, as presented in Tab. 7.2.
The thermal conductivity of two gas mixtures depends on the molar fraction of
the gas components, x1 and x2 , according to the additive relationship:
λ = λ 1 x1 + λ 2 x2 . (7.81)
Table 7.2. Thermal conductivity of different gases λ , [cal/(cm s grd)].
Gas λ ⋅ 105 , Gas λ ⋅ 105 , Gas λ ⋅ 105 , Gas λ ⋅ 105 ,

0∘ C 0∘ C 0∘ C 0∘ C
He 34 CO 5.6 CH4 7.2 CH2 Cl2 1.6
Ne 11 CO2 3.4 C2 H6 4.3 CH3 Cl 2.2
Ar 3.9 HCl 2.7 C3 H8 3.6 CH3 OH 3.45
H2 41.6 SO2 2.0 C4 H10 3.2 Ag 105
N2 5.81 H2 S 3.1 C2 H4 4.2 Invar 2600
O2 5.89 NH3 5.2 C2 H2 4.5 Glass 200
Cl2 1.88 Air 5.83 CHCl3 1.6 H2 O (l) 130
This is only valid for particular gas mixtures, such as air-CO or air-CH4 . Other mix-
tures, such as air-NH3 , CO–NH3 , or air-steam, show nonlinear dependence between
the thermal conductivity and the fraction of the components, with thermal conductiv-
ity maxima. For these cases, this measuring method based on the dependence of the
components’ concentration on thermal conductivity is not applicable without special
nonlinearity compensation. Nevertheless, this measuring method is pertinent when,
in a mixture of two gases, one component has a high thermal conductivity (e.g. H2 )
and the other one has a low thermal conductivity (e.g. N2 ), as presented in Fig. 7.56.
4
λ 104 [cal/(cm s deg)]
0
0 20 40 60 80 100 Fig. 7.56. Dependence of the N2 –H2 gas mixture
H2 in N2 at 0°C [%] thermal conductivity on the H2 fraction.
The gas concentration measuring principle, based on thermal conductivity, is pre-

The measuring cell MC and the reference cell RC are placed in two branches of the
Wheatstone bridge. Each of these cells contains an electrical resistance. The measur-
ing gas mixture flows over the measurement cell resistance RMC and the reference gas
over the reference cell resistance RRC . The Wheatstone bridge is balanced when the
reference gas flows through both cells, due to the fact that the resistances are equally
cooled by the gas having the same thermal conductivity. In this situation R1 RRC =
Measured gas Reference gas
MC RC
RMC RRC
R1 R2
Fig. 7.57. Wheatstone bridge for measuring the composition of a gas mixture, based on thermal
conductivity.
R2 RMC and the voltage u = 0. The output voltage of the Wheatstone bridge changes
u ≠ 0 when a different gas mixture or the same gas mixture with different mole frac-
tion passes through the measuring chamber. This is due to the fact that the RMC and
RRC resistances are unequally cooled. The output voltage is proportional to the thermal
conductivity change and thus, the voltage is proportional to the gas composition.
This analyzer may be successfully used for measuring gas mixtures such as: N2 –
H2 , H2 -hydrocarbons but also for gas mixtures containing SO2 , He, NH3 , and Cl2 .
The response time is of about 5 s, due to the small volume of the measuring cell.
The accuracy class is 2.5 %.
Gas analyzers based on paramagnetism

Paramagnetism is the property of materials to be attracted by an externally applied
magnetic field. Diamagnetic materials are repelled by the magnetic field. Magnetic
susceptibility χ describes the degree of magnetization due to the externally applied
magnetic field. It is a dimensionless proportionality constant of the material. Magnetic
susceptibility χ and magnetic permeability μ are related by the relationship
μ = μ0 (1 + χ ). (7.82)
Paramagnetic materials have positive magnetic susceptibility χ > 0, while diamag-

netic materials have negative magnetic susceptibility χ < 0.
The large majority of gases are diamagnetic. Some gases are paramagnetic, such
as O2 and NO. They can be measured quantitatively from mixtures of gases, based on
their paramagnetic property.
Magnetic susceptibility χ and temperature T ∘ are related by Curie’s law:
χ T ∘ = C, (7.83)
where C is the Curie constant.

Magnetic susceptibility depends on pressure and temperature for paramagnetic
gases according to the relationship
ρ0 T0∘ 1
χ= pC ∘ 2 . (7.84)
p0 (T )
Magnetic susceptibility of a mixture of gases is the weighted sum of the components’
magnetic susceptibility.
As oxygen is the most common paramagnetic gas, the oxygen analyzer based on
paramagnetism is presented in Fig. 7.58.
R1 R2
A N B
Z
S
Transmitter
Standard
signal
Fig. 7.58. Oxygen gas analyzer based on para-

R3 R4 magnetism.
Its measuring principle relies on the attraction of oxygen in an external magnetic field,
followed by its release due to heating. As a result of the generated “magnetic wind”,
the electrical resistances in a Wheatstone bridge will be changed [3].
The gas to be analyzed enters a toroidal tube. A glass tube connects the two path-
ways of the gas in the toroidal tube. A permanent magnet (N–S) is asymmetrically
mounted on this glass connecting tube and its magnetic field attracts the oxygen in-
side it. An oxygen “magnetic wind” is generated along the z direction. Two electrical
resistances, R1 and R2 , are mounted on the same glass tube. They are supplied with
electrical current. Resistance R1 heats the oxygen attracted in the permanent magnet
zone. Once heated, the oxygen loses its paramagnetic properties and it is released from
the permanent magnet zone. As a result, the “magnetic wind” is generated and heat
is transported in the zone of the resistance R2 , heating it. The resistance R1 is cooled
and resistance R2 is heated. They unbalance the Wheatstone bridge formed with R3
and R4 resistances and produce an electrical voltage transformed into a standard sig-
nal by the transmitter. The generated voltage is proportional to the oxygen content in
the measured gas.
The dynamic behavior of the paramagnetic gas analyzer is characterized by the
time constant is of about 1 second. The accuracy class is 3 %.
Zirconia oxygen gas analyzer

The zirconia oxygen gas analyzer consists in a high temperature ceramic sensor [6, 7].
The measuring cell has two platinum electrodes and zirconia ceramic between them.
At high temperature (over 500 ∘ C) zirconia ceramic has the property of allowing oxy-
gen ions to pass through it. One electrode is placed in a gas with constant oxygen con-
tent (reference gas, which is usually air) and the other one is in contact with the mea-
sured gas. Oxygen ions move through zirconia ceramic in the direction of descending
gradient of oxygen concentration and generate an electromotive force proportional to
the oxygen concentration in the measured gas. Figure 7.59 schematically represents
the zirconia oxygen measuring cell.
Zirconia ceramic Electrodes

Reference gas Heating
oven
Measured gas
Reference gas
O2 Transmitter
+
Zirconia ceramic O2- Standard
E
O2- signal
−
O2
Measured gas
Fig. 7.59. Zirconia oxygen gas cell.

At the high oxygen concentration zone of the cell the electrochemical reaction is
O2 + 4e− → 2O2− (7.85)
and at the low oxygen concentration zone it is
2O2− → O2 + 4e− . (7.86)
The generated e.m.f. is given by the Nernst relationship
RT ∘ P
E= ln REF , (7.87)
nF PMES
where PREF and PMES are the partial pressure of oxygen on the reference gas side of the
zirconia ceramic electrolyte and, respectively, on the measured gas side.
Zirconia analyzers may be used for measurement of oxygen concentration over
the range 0.01 ppm to 100 % in gases or gas mixtures. It is important to note that the
measured gas must not contain combustible gases, such as: CO, H2 , hydrocarbons
(CH4 ) due to the high temperature of the oven. Contact with the halogens, halogenated
hydrocarbons, sulfur and lead containing compounds is also restricted, because they
may poison the cell.
The time response is short (less than 2 s) and is of the instrument accuracy
class 1.5 %.
Humidity gas analyzers

Humidity measurement is important for a large set of applications, ranging from phar-
maceuticals, food, environment, textile, pulp and paper, warehouse storage, labora-
tory and medicine fields.
Some of the most common humidity terms are as follows [4, 5]:
1. Humidity is the quantity of water vapors contained in the gas mixture (air).
2. Absolute humidity is the mass of water vapors contained in the unit of volume of
a gas mixture.
3. Dew point temperature is the temperature at which water saturation occurs or the
temperature at which water starts to condense on a surface.
4. Relative humidity is the ratio between the mass of water vapors and the maxi-
mum mass of water vapors in the gas mixture, at given temperature (pressure).
As a result, relative humidity may also be defined as the ratio between the partial
pressure of water vapors in the measurement gas pp (or partial pressure at dew
point) and the saturation vapor pressure of water ps (or partial pressure if the dew
point were equal to the gas mixture temperature):
pp
φ= . (7.88)
ps
5. Dry-bulb temperature is the temperature of the measuring gas mixture.
6. Wet-bulb temperature is the temperature of a wetted thermometer which is cooled

due to evaporation of the gas mixture stream.
Dew point temperature measurement is an indirect measurement of the absolute hu-

midity and vapor pressure. Transformation of relative humidity and dew point can
be performed if the dry-bulb temperature and total pressure of the gas mixture are
known. Psychrometric diagrams allow the conversion of dew point, relative humidity,
absolute humidity, dry- and wet-bulb temperature to each other. They may be imple-
mented in computer applications.
Some of the measuring principles of humidity gas analyzers are [4]:
1. measurement of the difference between the dry-bulb and wet-bulb temperature
produced by evaporation of a wetted thermometer, and converting the tempera-
ture difference into relative humidity or dew point;
2. chilled surface temperature measurement that reveals the dew point obtained on
a cooled mirror;
3. mechanical expansion of materials due to the influence water content has on their
volume;
4. electrical capacitance and electrical resistance property change of materials
(polymers, aluminum oxides, silicon oxides, hygroscopic salts) with the relative
humidity or dew point.
The humidity measurement based on the psychrometer is presented in Fig. 7.60.
Dry-bulb thermometer Wet-bulb thermometer
Water
tank
T °, pp Twb° , ps
Wet wick
Fig. 7.60. Psychrometer based on dry-

and wet-bulb thermometers.
Two thermometers are placed in the stream of the measurement gas mixture [3]. The
gas mixture flowing velocity should exceed a minimum velocity (e.g. higher than
2 m/s). The wet-bulb is continuously wetted by a wick supplied with distilled wa-
ter which causes a temperature drop due to evaporation. The dry-bulb and wet-bulb
temperature difference T ∘ –Twb
∘ , the dry-bulb temperature and the relative humidity
relationship is presented in the plots of Fig. 7.61.
50
0 5 10
45
40
20
Psychrometric difference [°C]
]
35
[%
ity
id
30 30
m
hu
e
tiv
25 40
la
Re
20 50
15
60
10 70
5 90
0
0 10 20 30 40 50 60 70 80 90 100
Dry-bulb thermometer [°C]
Fig. 7.61. Psychrometric chart for relative humidity measurement.
As presented in Fig. 7.61, a curve describing the dry-bulb temperature and psychromet-
ric difference relationship corresponds to each given air relative humidity. For practi-
cal calculations, the Sprung formula may be used for computing the partial pressure
of water from the dry-bulb and wet-bulb temperature difference:
p
pp = pwb − 0.5 (T ∘ − Twb
∘ ), (7.89)
760
where the 0.5 coefficient is the Assmann psychrometer constant, pwb is the saturation
∘ and p is the air pressure.
partial pressure at the wet-bulb temperature Twb
The relative humidity becomes
p
pwb − 0.5 760 (T ∘ − Twb
∘ )
φ = . (7.90)
ps
Replacing the thermometers with RTDs, for the measurement of the dry-bulb and wet-
bulb temperature, the psychrometric transducer is obtained. Its schematic represen-
tation is shown in Fig. 7.62.
Transmitter
Standard
signal
Water
tank
RTD RTD
Wet wick
Fig. 7.62. Psychrometric transducer using RTDs.
The RTD’s temperature measurements are sent to the transmitter. The latter computes
the temperature difference and converts it, according to the equation (7.90), into a
standard signal proportional to the relative humidity.
The time constant of the instrument is up to 10 s and its accuracy class is 3 %.
The chilled surface humidity measuring method (dew point method) is based on
determining the condensation temperature of water vapors from the gaseous mixture.
This is the temperature of saturation that corresponds to the saturation partial pres-
sure of the water vapors. Condensation appears on a thermo-electrically cooled metal-
lic surface.
The principle of the chilled mirror humidity measuring method is presented in
Fig. 7.63.
Electrical Light source

Photo- Photo- i [mA]
source
transistor transistor
Transmitter
Gas to be
analyzed Chilled mirror t [s]
Thermo–electrical
cooling
Fig. 7.63. Chilled mirror hygrometer.

The hygrometer works on a semi-continuous base, with repeated measuring cy-

cles [5]. The light source sends a beam towards the chilled mirror which has a reflect-
ing surface. The mirror is placed in the stream of the gas to be analyzed. The photo-
transistors receive the reflected beam having high amplitude. The thermo-electrical
cooling system, controlled by an electrical source, diminishes the temperature of the
mirror up to the moment (temperature) when fine particles of water (condensate) ap-
pear on its surface. This moment is detected by the electro-optical system of the photo-
transistors, as the reflected beam amplitude changes to low amplitude. This final tem-
perature of the mirror is the dew temperature. The temperature is converted into a
standard signal by the transmitter. The measuring cycle repeats after the condensate
is removed.
The measuring cycle lasts for about 30 s and the instrument accuracy class
is 0.5 %.
Process chromatographs
The operation principle of gas chromatographs consists in the selective retention of
the components from a gaseous mixture on the stationary (solid) phase [3]. The reten-
tion depends on the molecular mass of the components, favoring the retention of the
components with smaller molecular mass. The successive separation is accomplished
by the support of a carrying gas that entrains the retained gas components, but due
to its high molecular mass it is not retained on the stationary phase. Desorption of the
retained gas components is performed in the increasing order of the retention time.
The output gas from the column enters a gas analyzer (IR, thermal conductivity, etc.)
and the result is presented in a chromatogram, of the generic form shown in Fig. 7.64.
Output signal
D
A
C
B
Fig. 7.64. Chromatogram showing each of
Injection the A, B, C, and D components removed by
time trA time desorption at fixed moments of time.
The time elapsed from the injection of the sample and the appearance of the i-th peak
maximum is denoted as the retention time of the component i (e.g. trA is the retention
time for component A). The retention time is a qualitative indication of the i-th com-
ponent’s presence in the sample. If the operation parameters (such as temperature,
flow rate of the injected gas mixture and carrying gas) do not change, a certain com-
ponent will leave the chromatographic column after the same period of time during
the measuring cycle. These moments of time allow the identification of the compo-
nents. By the integration of the peak it is possible to obtain quantitative information
about the component, as the concentration of the component is proportional to the
area of the peak. Numerical integration is performed by the process chromatographs.
The components’ concentration of the sample may be computed by
A i fi
Ci = n
, (7.91)
∑ A i fi
i=1
where Ai is the area of component i and fi is the detector specific calibration coefficient
of correction.
The computation of the correction coefficients is carried out following two steps.
First, exact quantities of each of the gas mixture components are injected into the
column and the areas of the obtained peaks S1 , S2 , . . . , Sn are determined. Second, one
of the components is selected as reference (e.g. the n-th component) and the correction
coefficients are computed by
Si
fi = , i = 1, . . . , n. (7.92)
Sn
These correction coefficients account for the different sensitivities of the detector with
respect to each of the components.
The simplified representation of the chromatograph is shown in Fig. 7.65.
Flux 1
Flux 2
5 6 7
Flux 3 3 8
4
1 2
Fig. 7.65. Simplified scheme of the process chromatograph.
The operation of the chromatograph is discontinuous and a measuring cycle consists

in a sequence of operations. First, the sample is extracted from the process using the
sampler 1. The sample is introduced into the conditioning unit 2, which brings it to the
operating conditions specific to the analyzing unit 4. For the case of the single-flux
chromatograph, the conditioned sample enters directly in the analyzing unit 4. For
the multi-flux chromatograph, the sample enters in the switching unit 3 which has the
role to sequentially connect the conditioned samples to analyzing unit 4. The switch-
ing moments for the different fluxes are received from the control unit. The fluxes are
switched so that while the sample from a flux is analyzed, the sample from the next
flux is circulated to prepare a fresh sample. The injection unit 5 sends the sample to the
system of the chromatographic columns. Subsequently, it introduces the carrying gas
for the desorption step. The distribution of the sample-carrying gas mixture towards
one of the chromatographic columns is performed by the switching unit 6. The role
of the switching unit 6 is to reduce the time of the chromatographic measurement by
overlapping part of the operations. While in one of the chromatographic columns the
components are removed by desorption, in another column the sample is adsorbed
and the third one is cleaned for receiving the next sample. The analysis is effectively
performed in the detector unit 7 and the computation of each component concentra-
tion is accomplished by integration in the computation unit 8.
The sequence of the operations developed by the control unit is: sampling, con-
ditioning, switching the injection unit on the flux to be analyzed, adsorbing the com-
ponents on the column, switching the injection unit on the carrying gas, removing
by desorption the components from one column, analyzing the flux, computing the
concentration of components and cleaning the column. In the meantime, switching
between the entering fluxes and between the chromatographic columns are carried on
in order to prepare the measurement of the next flux.
The signal obtained from the integrator is stored in memory units until the next
measuring cycle (sample and hold action) [10]. From the dynamic point of view, the
chromatograph is a pure time delay system (time delay spanning from minutes to tens
of minutes).
High costs and complexity of the chromatograph design and operation impede
their large scale application in industry [11].
Nevertheless, process control and process management might also benefit from
the advent and new developments of analytical measurements [4]. Some of these sys-
tems cross over from the laboratory environment to online process employment. Their
sophisticated design, complexity of operation, qualified maintenance and large cost
may be surpassed by the valuable added information aimed to optimize process de-
sign, operation and control.
The measuring principles of these instruments usually rely on electromagnetic ra-
diation or ultrasonic wave emission which is reflected, refracted, absorbed, scattered,
produces ionization or induces electromagnetic responses from the sample. They use
the gamma ray, x-ray, ultraviolet, visible, near-infrared, mid-infrared, far-infrared,
microwave, sound and ultrasound wave domains to investigate the presence and
concentration of different compounds or molecular species in the solid, liquid and
gas sample. Some of these analyzers are: IR Fourier Transform based spectrometers,
quadrupole mass spectrometer, ion cyclotrone resonance mass analyzer, ultraviolet
and visible spectrometers, Raman scattering emission spectrophotometers, nuclear
magnetic resonance spectrometers, X-ray fluorescence spectrometers, microwave
spectrometers, neutron activation analyzers and atomic emission spectrometers.
7.9 Problems
(1) What is the absolute error of a thermocouple temperature measuring system, hav-
ing the measuring domain ranging from −20 ∘ C to 180 ∘ C if the true measured temper-
ature is of 80 ∘ C and its accuracy class of 1.5 % is defined on the basis of the maximum
permissible related error? What is the absolute error of the same temperature mea-
surement system if its accuracy class of 1.5 % is defined on the basis of the maximum
permissible relative error?
(2) The relative error of a magnetic flow meter, defined by equation (7.2), is 2.5 %. What
would the relative error of the same flow meter be when computed by the equation
xm − xt
er = 100. (7.93)
xm
(3) Both the volume and the density measurement meters have an accuracy class of
2 %, defined on the basis of the maximum permissible relative error. What is the rela-
tive error for inferring the mass, computed by multiplication between the volume and
the density measured values?
(4) A pressure transducer having the measuring domain between 0 and 50 bar and
the accuracy class of 1 % (based on the maximum permissible related error) is used
for measuring a pressure of p = 2 bar.
(a) From the practical point of view, does the measurement meet the accuracy re-
quirements?
(b) What solution should be proposed for obtaining a measurement with an absolute
error situated in the interval of ± 5 % of the pressure p to be measured?
(5) Consider a volumetric flow rate measuring system based on the orifice plate, dif-
ferential pressure transducer and square root extractor, presented in Fig. 7.22. For the
flow rate spanning from 0 to 10 m3 /h, the differential pressure domain of the orifice
plate ranges from 0 to 3200 mm H2 O. The relationship between the flow rate and the
differential pressure is F = 0.18 (Δp)1/2 . The root extractor equation is
i󸀠 = 2 + √8 √i − 2. (7.94)
Compute the static gain of the flow rate measuring system (orifice plate, differential
pressure transducer and square root extractor) for the particular flow rate of F ∗ =
5 m3 /h.
(6) What is the static gain of the following transducers?

(a) RTD Pt100 detector and electrical resistance transmitter having the measuring
range between 20 ∘ C and 60 ∘ C and the output signal in the range of 2 ⋅ ⋅ ⋅ 10 mA.
(b) pH transducer at the temperatures of 20 ∘ C and 80 ∘ C.

(c) Electrical conductivity meter measuring the conductivity of the KOH solution
with mass concentration of 20 % and the HNO3 solution with mass concentra-
tion of 70 %, coupled with a conductivity-electrical signal transmitter working
in the range of 2 ⋅ ⋅ ⋅ 10 mA and the conductivity measurement in the domain of
0 S/cm ⋅ ⋅ ⋅ 0.8 S/cm.
(7) A rotameter is calibrated to measure water flow rates between 60 l/h and 600 l/h.
The diameter of the rotameter conic tube at the inlet of the liquid is of Dn = 20 mm
and the density of the float is of ρf = 800 kg/m3 . How does the scale of the rotameter
change when it is used for measuring the flow rates of sulfuric acid with concentration
of C = 530 g/l? The sulfuric acid concentration-density is presented in Tab. 7.3. It is
assumed that both liquids have the same viscosity.
Table 7.3. Sulphuric acid concentration-density relationship.
C [g/l] 129.2 162 195.2 515.8 553.9 591.9 630.1 707

3
ρ [kg/m ] 1080 1100 1120 1300 1320 1340 1360 1400
(8) Consider the water flow rate measurement in a pipe with the interior diameter of
Dp = 60 mm, using the orifice plate. The flow rates to be measured range from 0 m3 /h
to 3.6 m3 /h. The available differential pressure transmitter has the measuring domain
ranging from 0 mmH2 O to 2000 mmH2 O. Design the diameter of the orifice plate so as
to be properly used for the given domains of the flow rate and the transmitter differ-
ential pressure. The pressure drop coefficients are given in Table 7.4.
Table 7.4. Pressure drop coefficients.
(D0 /Dp )2 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
ξ 7000 1670 730 400 245 165 117 96 65.6 51.5
(9) Consider a level transducer based on float with the following characteristics:
cross-sectional area of the float A = 18 cm2 , fluid density ρ = 1000 kg/m3 , spring’s
constant Ks = 12.6 N/m and the measuring domain ranging from 0.2 m to 1 m. Com-
pute the static gain of the transducer and make a graphic representation of its steady
state characteristic. Compute also the static gain of the level transducer coupled with
a transmitter having the following parameters: float displacement range of 100 mm
and output signal of the transmitter ranging from 4 mA to 20 mA.
(10) Ethanol of 50 % purity is used in an esterification column. The quality of the

ethanol presents mass concentration fluctuations of ± 10 %. Compute the measuring
domain of the bubbling differential pressure transducer Δp, used for the concentration
measurement. The following parameters are given: immersion difference between the
tubes is Δh = 0.1 m, the reference liquid is pure ethanol at the temperature of 20 ∘ C.
The differential pressure is converted in a standard signal ranging from 4 mA to 20 mA
by an electronic transmitter. Compute the errors caused by the summer-winter tem-
perature changes of ΔT ∘ = 30 K. The density-concentration relationship is presented
in Tab. 7.5, the volumetric thermal expansion is 𝛾 = 10−3 K−1 and the density at the
temperature of T ∘ = 303 K is ρet = 0.781 kg/dm3 for the pure ethanol.
Table 7.5. Density-concentration relationship.
C [%] 0 10 20 30 40 50 60 70 80 90 100
ρ [kg/m3 ] 0.99 0.982 0.968 0.954 0.935 0.914 0.891 0.868 0.843 0.818 0.789
(11) Consider a pH meter using the reference calomel electrode and the glass measure-
ment electrode for measuring pH between 2 pH and 12 pH and working at the tem-
perature of 20 ∘ C. The calomel electrode becomes polarized at currents higher than
i = 0.5 nA. The internal electrical resistance of the glass electrode is Rint-glass = 100 MΩ
and of the calomel electrode is Rint-cal = 100 KΩ. Compute the necessary input resis-
tance of the electronic amplifier. What is the value of this input resistance such that
the error of the measurement is less than 1 %?
References
[1] Millea, A., Cartea metrologului Metrologie generală, EdituraTehnică, Bucureşti, 1985.
[2] http://www.french-metrology.com/en/more/glossary.asp.
[3] Agachi, S., Automatizarea Proceselor Chimice, Editura Casa Cărţii de Ştiinţă, Cluj-Napoca,
1994.
[4] McMillan, G. K., (editor-in-chief), Considine, D. M., (late editor-in-chief), Process/Industrial
Instruments and Controls Handbook, 5th Edition, McGraw-Hill, 1999.
[5] Bsata, A., Instrumentation et Automatisation dans le Controle des Procedes, Deuxieme edition,
Les Editions Le Griffon d’argile, Quebec, 1994.
[6] http://www.systechillinois.com/en/zirconia-oxygen-analysis_51.html.
[7] http://www.toray-eng.com/measuring/tec/zirconia.html.
[8] Agachi, S., Cristea, M. V., Lucrări Practice de Automatizarea Proceselor Chimice, Tipografia
Univ., Cluj-Napoca, 1996.
[9] Cristea, M. V., Agachi, S. P. Elemente de Teoria Sistemelor, EdituraRisoprint, Cluj-Napoca, 2002.
wood Cliffs, New-Jersey 07632, Prentice Hall, 1984.
[11] Marinoiu, V., Paraschiv, N., Automatizarea Proceselor Chimice, Vol. I, Vol. II, Editura Tehnică,
Bucureşti, 1992.
8 Controllers
8.1 Classification of controllers
The controller is the element of the control system (Fig. 5.3) which receives the signal
from the transducer, compares it with the desired value for the controlled parame-
ter (setpoint), calculates the error e and elaborates a control signal c with the goal of
cancelling (e = 0) or, at least decreasing the error.
A classification of controllers can be made from different points of view [1]:
– depending on the way the control action is calculated and emitted: continuous or
discrete controllers (continuously or discretely at certain moments);
– depending on the computing algorithm of the controller output (c = f (e)): P
(Proportional), PI (Proportional-Integral), PID (Proportional-Integral-Derivative),
other algorithms;
– depending on the specialization of the controller: specialized on different pro-
cesses or universally applied controllers to all types of processes;
– depending on the type of auxiliary energy used for functioning: electric, pneu-
matic (indirect action) and without auxiliary energy (direct action) controllers.
According to the first type of classification, if the control function of the controller f (e)
is continuous, the controller is a continuous-action controller (Fig. 8.1).
Actual
Variable
value
Setpoint
100
final control
% signal to
element
time Fig. 8.1. Continuous action of the controller.
If the control action is discontinuous (meaning that the signal quantization occurs in
the controller), then the controller is a discrete-action one (Fig. 8.2). The discretiza-
tion is of many types, producing different types of discrete controllers: pulse con-
trollers with time quantization, relay controllers with level quantization and digital
controllers with time and level quantization.
Where the process allows (the controlled variable can float between two limits
without any restriction), two-position or three-position controllers can be used. This
Actual
Variable
value Setpoint
100
final control
% signal to
element
time
(a)
Actual
Variable
value
Setpoint
100
final control
% signal to
element
0
Fig. 8.2. Two types of discrete actions
of the controller: (a) on-off, two-position
time
(b) controller; (b) digital controller.
Fe
Magnet
Xbot Xtop Xmax X
Xdg
Ts time Fig. 8.3. Bimetallic controller of the flat iron (see

Y
SAMSON http://www.docentes.unal.edu.co/
sorregoo/docs/sistemas%20de%20control.pdf)
time [2].
is the case with domestic applications where the thermostats of the central heating,
of the flat iron or of the refrigerator are usually on-off controllers (Figs. 8.2a and 8.3).
8 Controllers | 229
If the process is stricter, a digital controller is usually used and the sampling time
(Ts ) is as small as possible to assure an accurate control (Fig. 8.2b).
The second classification depending on the control algorithm is the mostly used
one, the P, PI, PID algorithm controllers being used in about 80 % of the control loops
in industry. One can mention at this point the advanced controllers (adaptive, optimal,
predictive controllers etc.) which have other functions for the control algorithm than
P, PI, PID. These controllers are more sophisticated and more expensive, being used
in the control of the processes with weak controllability.
The proportional (P) controller has the control action expressed by equation (8.1).
c = c0 + Kc e, (8.1)
where c is is the control signal addressed to the actuator, c0 is the value of the control
action at steady state which assures controlled variable at setpoint value (e = 0), Kc is
gain factor, e is error, and Kc e is the proportional component of the signal.
The proportional integral (PI) controller has the control action expressed by equa-
tion (8.2):
t
1
c = c0 + Kc (e + ∫ e (τ ) dτ ), (8.2)
Ti
0
t
where Ti is the integral time constant and T1 ∫0 e(τ )dτ is the integral component of the
i
control signal.
The proportional integral derivative (PID) controller has the control action ex-
pressed by equation (8.3):
t
1 de (t)
c = c0 + Kc (e + ∫ e (τ ) dτ + Td ), (8.3)
Ti dt
0
where Td is the derivative time constant and Td de(t)

dt
is the derivative component of the
control signal.
Concerning the third classification, in practice either universal controllers exist,
used for the control of any process variable, or specialized controllers used just for
specific parameters: temperature, pressure, level, flow controllers. The first category
implies that the controller is an electronic or a pneumatic one and operates on the
process through an intermediate actuator (Fig. 8.4).
(a) (b) (c)
Fig. 8.4. Universal controller; (a) pneumatic controller (FEPA Barlad, Romania); (b) transistor based
electronic controller (FEA Bucharest, Romania); (c) microprocessor based electronic controller (ABB
Switzerland, through the courtesy of ABB).
The specialized controllers have the actuator embedded in the controller (e.g. the gas
pressure controller on the methane gas pipelines, or the water-level controller in the
reservoir of the flush toilet, see Fig. 8.5).
Load
Fig. 8.5. The level controller in the flush toilet
reservoir.
From the point of view of the energy used, there are the so called controllers using
auxiliary energy (electrical or pneumatic) or those using the energy of the controlled
process (temperature, pressure, level etc.). The level controller in Fig. 8.5 is an example
of a controller using the energy of the controlled process: accumulation of mass in a
reservoir.
8 Controllers | 231
8.2 Classical control algorithms
In the following sequences, we will discuss in more detail the behavior of the “classical
controllers”, P, PI, PID, and only at introductory level, the advanced controllers such
as adaptive, optimal, predictive controllers.
8.2.1 Proportional controller (P) [3]
The equation describing the P algorithm is (8.1). The P component shows that the con-
troller takes a proportional action with the dimension of the error. The result is a quick
increase or decrease of c, from the value of c0 , depending on the sign of the error and
magnitude of Kc , the proportional controller gain. The response of the controller at step
input signal is given in Fig. 8.6.
e (%)
20
10
0
5 10 15 20 t (s) Fig. 8.6. P controller response at a step input.
The result of such a behavior on the heater (Fig. 5.2) is the abrupt opening or closing
of the control valve up to one intermediate position, changing the agent flow and thus
influencing the outflow temperature. The magnitude of the control action change (Δc)
which has a direct relationship with the opening/closing of the valve depends on the
value of Kc .
Kc is the gain of the proportional controller and can be calculated as
Δc Δc
Kc = or Kc = . (8.4)
Δe Δxr
The steady state characteristic

The Proportional Band (PB), which in some industrial controllers replaces Kc , is the
portion of the measuring range for which the controller has a linear/ proportional ac-
tion. Thus, for a PB = 100 %, the measured variable is possible to change from 0 to
maximum (0 %–100 %), for which the controller has the corresponding proportional
action from 0 to maximum (2 mA–10 mA or 0 %–100 %). For PB = 50 % the measure-

ment range for which the corresponding controller action is 0 %–100 % (2 mA–10 mA),
is only half of the measurement range of the transducer. Similarly, for a PB = 200 %,
for the whole measurement range (0 %–100 %), the controller limits its action only to
half of its maximum domain (25 %–75 % or 4 mA–8 mA).
The steady state characteristic is given in Fig. 8.7.
c (%)
100 Kc=2
75
c0
Kc=0.5
25
Fig. 8.7. Steady state characteristic of the pro-

0 25 r 75 100 xr (%) portional controller.
The relationship between the Proportional Band and the controller gain is equation
(8.5)
100
PB = . (8.5)
Kc
An industrial controller has a range of the PB between 0.5 % and 500 % allowing the
choice of an appropriate controller gain for a certain process controlled.
How do we choose the controller gain?
The tuning of the controller’s parameters is a special subject to be treated in a sep-
arate book. This section only gives an orientation, a rule of the thumb, about choosing
the controller gain relative to the process gain factor.
Example 8.1. If the pH of two different neutralization processes is to be controlled, one

strong acid-strong base and the other one weak acid-weak base (Fig. 8.8), the titration
curve is different, presenting different Kpr , much larger in the first case (the slope is
about 1000 : 1 at the neutralization point). This shows that the process in the first case
is much more sensitive than in the second situation, meaning that to correct the devi-
ation from pH 7, the first neutralization system needs a very fine intervention and the
second one a much more severe intervention in the dosage of the base.
In order to properly adjust the pH to the value 7, the system in Fig. 8.8a needs a
very small opening or closing of the valve, which is determined by a very “small” Kc ,
whereas in the second case Kc is “much larger” allowing the dosage of a larger amount
of base. This “small” or “large” is a very relative notion, meaning “small” or “large”
in comparison with what the process is demanding. The “rule of the thumb” is that
8 Controllers | 233
pH
(a)
Equivalence
point
(b)
SA – SB
WA – WB
Fig. 8.8. Two neutralization processes at which
the pH is controlled: (a) strong acid-strong
Volume of base (%) base; (b) weak acid-weak base.
where the process is very sensitive and is characterized by a high Kpr , the controller
has to have a small Kc and vice versa.
The transfer and frequency functions of the P controller are those of the P element
(equations (4.2) and (4.3)); the Bode diagrams are the same as in Fig. 4.2.
The P control with steady-state error (offset)

The proportional controller has the advantage that its intervention is very fast, but at
the end of the controlling process, the control accuracy is given by the steady state
error est .
Example 8.2. Let us discuss the behavior of a pressure control system (Fig. 8.9), which
controls the pressure produced by an air-blower in a pipeline.
c Xr i
P
po pi
Δp1 Δpv P
Fig. 8.9. Pressure control system with a P controller.
In the normal steady state condition, the values of the pressure are
p0 = 200 mmH2 O; Δp1 = 50 mmH2 O; pi = 150 mmH2 O;

Δpv = 50 mmH2 O; p = 100 mmH2 O.
The steady state characteristics of the elements in the control system are
Transducer:
Measurement range of the pressure transducer: 0 ⋅ ⋅ ⋅ 200 mmH2 O
Output range of the transducer: 2 ⋅ ⋅ ⋅ 10 mA
Measuring 100 mmH2 O, the output signal xr = 6 mA
The steady state characteristic is given in Fig. 8.10.
Xr (mA)
10
2 Fig. 8.10. Steady state characteristic of the

0 100 200 P (mmH2O) pressure transducer in the example.
Controller:
Input range of the controller: 2 ⋅ ⋅ ⋅ 10 mA (0 ⋅ ⋅ ⋅ 100 %)
Output range of the controller: 2 ⋅ ⋅ ⋅ 10 mA (0 ⋅ ⋅ ⋅ 100 %)
PB = 100 % (Kc = 1)
c0 = 6 mA
Setpoint value: 6 mA (corresponding to p = 100 mmH2 O to be maintained)
At p = 100 mmH2 O, xr = xr0 = 6 mA, e = 0, and c = c0 = 6 mA
The steady state characteristic of the controller is given in Fig. 8.11.
c (mA)
10
2 Fig. 8.11. Steady state characteristic of the con-

2 6 10 xr (mA) troller in the example.
8 Controllers | 235
Actuator (control valve) + electro-pneumatic convertor:

Input range of signal: 2 ⋅ ⋅ ⋅ 10 mA (0 ⋅ ⋅ ⋅ 100 %)
Stem variation range: 0 ⋅ ⋅ ⋅ 100 %
Pressure drop range: 0 ⋅ ⋅ ⋅ 100 mmH2 O
Stem position at steady normal state: h = 50 %
Pressure drop value at normal steady state: Δpv = 50 mmH2 O
When p = 100 mmH2 O, xr = 6 mA, e = 0 and c = c0 = 6 mA, Δpv = 50 mmH2 O
The steady state characteristic of the control valve is given in Fig. 8.12.
h (%) ΔPV (mmH20)

100 100
50 50
0 0
2 6 10 c (mA) 0 50 100 h (%)
Fig. 8.12. Steady state characteristic of the control valve in the example
(h = h(xc )) and (Δpv = Δpv (h)).
The control system aims to keep 100 mmH2 O in the pipeline in the presence of distur-
bances. Let us analyze the behavior of the system.
Suppose a disturbance of +20mmH2 O at the tap after the blower, meaning that
Δp1 = 70 mmH2 O. This can be caused by the manipulation of the tap during an ordi-
nary maintenance operation.
The consequences are:
pi = 130 mmH2 O, the valve does not react yet and Δpv = 50 mmH2 O, the pressure
in the pipeline is p = 80 mmH2 O, giving a deviation of −20 mmH2 O (−10 % of the
measurement range of the transducer).
Δxr = −10 % = −0.8 mA; xr = 6 mA–0.8 mA = 5.2 mA
Kc =1; Δc = −10 % = −0.8 mA; c = 6 mA–0.8 mA = 5.2 mA
Δh = −10 %; h = 50 %–10 % = 40 %
Δpv = 40 mmH2 O.
The result after the first intervention of the controller is thus p = 130 mmH2 O–
40 mmH2 O = 90 mmH2 O, an increase of the pressure with 10 mmH2 O, or a relative
increase from the former situation of +5 %. The control system continues to act and to
correct the error step by step. The functioning of the control system is synthesized in
Tab. 8.1 and at different controller gain factors.
The dynamic behavior of the control system is illustrated in Fig. 8.13.
Table 8.1. Functioning of the pressure control system in time at different controller gain factors.
t p Δp ΔXr Xr ΔXc Xc Δh h Δpr

[s] [mmH2 0] [%] [%] [mA] [%] [mA] [%] [mmH2 0]
Kp = 0.5
0 100 0 0 6 0 6 0 50 50
est1 =
2 80 −10 −10 5.2 −5 5.6 −5 45 45
100 − 84 =
4 85 2.5 2.5 5.4 1.25 5.7 1.25 46.25 46.25
16 mmH2 0 =
6 83.75 −1.25 −1.25 5.3 −0.125 5.65 −0.625 46.62 46.62
8%
8 84.37 0.625 0.625 5.35 0.625 5.67 0.31 45.93 45.93
10 84
Kp = 1
0 100 0 0 6 0 6 0 50 50
est2 =
2 80 −10 −10 5.2 −10 5.2 −10 40 40
100 − 86.7 =
4 90 5 5 5.6 5 5.6 5 45 45
16 mmH2 0 =
6 85 −2.5 −2.5 5.4 −2.5 5.4 −2.5 42.5 42.5
6%
8 87.5 1.25 1.25 5.2 1.25 5.2 1.25 43.75 43.75
10 86.25
Kp = 2
0 100 0 0 6 0 6 0 50 50
2 80 −10 −10 5.2 −20 4.4 −20 30 30 Oscillating
4 100 0 0 6 0 6 0 50 50 operation
6 80 −10 −10 5.2 −20 4.4 -20 30 30 mode
8 100 0 0 6 0 6 0 50 50
10 80
p (mmH2O)
100
K C =2
e st2
e st1
90
K C= 1
K C= 0 . 5
80
0 2 4 6 8 10 time (s)
Fig. 8.13. Dynamic behavior of the pressure control system in Fig. 8.9.
8 Controllers | 237
One can observe that by increasing the controller gain, the steady state error de-
creases, but at a certain point the system begins to oscillate.
The steady state error can be calculated with the final value theorem (Tab. 2.1)
which is enounced in the following sentence:
If the time function f (t) and its first derivative admit Laplace transform and the
function sF(s) is holomorph on the imaginary axis and in the right half plan s, then
lim sF(s) = lim Δf (t). (8.6)

s→0 t→∞
For the pressure control system formerly discussed, the block diagram is given in
Fig. 8.14.
Pi + P(S)
KprD
+
Kv – KT
Kprm KC
TvS+1 TTS+1
+
r
Fig. 8.14. Block diagram of the pressure control system.
For this example

mA
Hc (s) = Kc = 1
mA
Kv 100 mmH2 O
Hv (s) = ; Kv = = 12.5 ; Tv = 3 s
Tv s + 1 8 mA
mmH2 O
Hpr d (s) = Kpr d = 1
mmH2 O
(the transfer function of the process with the input of the disturbance; there is no ram-
ification of the pipeline to cause any pressure loss)
KT 8 mA
HT (s) = ;K = = 0.04 ; TT = 1 s
TT s + 1 T 200 mmH2 O
mmH2 O
Hpr m (s) = Kpr m = 1
mmH2 O
(the transfer function of the process with the input being the manipulating variable;
there is no ramification of the pipeline to cause any pressure loss and any decrease of
the process gain factor)
Kpr d 1
H(s) = = .
Kv KT 12.5 0.04
1+ Kc Kpr m 1 + 1 1
Tv s + 1 TT s + 1 3s + 1 s + 1
Then
(3s + 1)(s + 1) −20
lim sH(s)D(s) = lim s ⋅ = lim Δp(t) = −13.5 mmH2 O
s→0 s→0 (3s + 1)(s + 1) + 0.5 ⋅ 1 s t→∞
where −20s
is the input disturbance of −20 mm H2 O pressure drop through closing the
tap positioned in front of the control valve.
When Kc changes to 0.5, the offset changes to 16 mm H2 O.
From this example one can see the steady state error disappears only when the
disturbance disappears.
From the practical point of view, one can raise the question: is it so important not
to have steady state error?
The answer is that it depends on the situation. If, for example, the kinetics of a
reaction shows that the reaction takes place between 55∘ and 65∘ it is not so important
form the chemical point of view to keep the temperature tight at 60∘ . But from the
economic point of view it is important to keep the lowest temperature tight in the range
for the sake of energy saving. In order to understand what an error only of +2∘ means,
we can give the following example.
Let us consider a heat exchanger (Fig. 3.1). The heated fluid flow is of F = 5 m3 /h,
having the density of ρ = 1000 kg/m3 and specific heat cp = 1 kcal/kg∘ . Suppose the
fluid has to be heated at 60∘ and instead, it is heated at 62∘ . This is not very much
from the point of view of the reaction. But the heat loss is calculated as
ΔQ = F ρ cp ΔT ∘ = 5 ⋅ 1000 ⋅ 1 ⋅ 2 = 10−2 Gcal/h.
In one year, a plant is working 7200 hours and with a cost of a Gcal of around 70 Euros,
the total money loss is
Economic loss = ΔQ ⋅ 7200 ⋅ 70 = 5040 Euros/year.
This amount may be considered insignificant for an industry, but on an industrial plat-
form where there are around hundreds or thousands of heat exchangers, the total loss
becomes quite important; and it is due to only a very common functioning of a plant.
This is one of the reasons why it is important to eliminate the steady state error,
which is done using the PI controller.
8.2.2 Proportional-Integral controller (PI) [4]
The equation describing the PI algorithm is (8.2). It is observed that, different to the
P controller, the integral term occurs, meaning that as long as an error exists, c in-
creases or decreases, depending on its sign, until the error is cancelled. There is no
offset in steady state under PI control.
The step response of the controller is given in Fig. 8.15. Ti , the integral time, repre-
senting the time until the initial proportional step doubles. The demonstration of this
8 Controllers | 239
statement is in the case of a forced constant error e = A produced by the step input
Δr = A:
t
1 KA
Δc = Kc (A + ∫ Adτ ) = Kc A + c t = 2Kc A (8.7)
Ti Ti
0
when t = Ti .
time
2Kce
Kce
0 Fig. 8.15. The step response of the PI con-

t=Ti1 t=Ti2 time troller.
It can be observed that by increasing the integral time, the control action becomes
slower, a fact adequate to a slower dynamics process. The choice of the Ti is important
in order to make possible the harmonization of the I action of the controller with the
delay in the controlled process; it is useless to impose a control signal with a small Ti
to a process with a large time constant, T, since, due to the inertia of the process, the
controlled variable will never be able to follow the action of the actuator “inspired” by
the controller action. Fixing a much smaller Ti than the time constant of the process,
T, involves the quick opening or closing of the control valve, actions at which the slow
process will react as in Fig. 8.16. The quick integral action opens the valve very fast to
the maximum, the consequence is that, very slowly, the process arrives to the setpoint
value, but, because of the great inertia, this value is exceeded and the process reverses,
going to an oscillatory behavior.
How do we choose the integral time?
Example 8.3. Let us consider two pressure control loops for two recipients with dif-
ferent volumes, V1 > V2 (Fig. 8.17).
Supposing a decrease of pressure, the same −Δp in both recipients, one has to
choose the controllers’ parameters, but specifically to have a relative perception on the
values of the two integral time constants, Ti1 and Ti2 . Using the mass balance equations
I [mA]
10
2
t
m [Flow]
max
0
t
y
y1
Fig. 8.16. The response of a slow controlled

y0 process to a too fast control action imposed
t by a small integral time.
PC1
V1 Fe1=Fe2
Fi
P1=P0
–ΔP
PC2
Fi V2 Fe1=Fe2
P2=P0
–ΔP Fig. 8.17. Pressure control in recipients with
different volumes.
and the linear approximation of the mass flow in a pipeline,
d(V1 ρ1 )
Fi1 − Fe1 = (8.8)
dt
d(V2 ρ2 )
Fi2 − Fe2 = (8.9)
dt
pi − p1 p − po
Fi1 = and Fe1 = 1 (8.10)
Rp1 Rp2
pi − p2 p2 − po
Fi2 = and Fe2 = , (8.11)
Rp1 Rp2
8 Controllers | 241
pM
and considering the expression of density ρ = , the equations (8.8)–(8.11) become
RT ∘
(8.12) and (8.13)
Rp1 Rp2 V1 M dp1 Rp2 Rp1
+ p1 = p + p (8.12)
Rp1 + Rp2 RT ∘ dt Rp1 + Rp2 i Rp1 + Rp2 0
Rp1 Rp2 V2 M dp2 Rp2 Rp1

+ p2 = pi + p . (8.13)
Rp1 + Rp2 ∘
RT dt Rp1 + Rp2 Rp1 + Rp2 0
The only difference between the processes described is the volume of the two recipi-
ents.
Since V1 > V2 , Tpr1 > Tpr2 results in Ti1 > Ti2 .
The transfer function of the controller is obtained by applying the Laplace trans-
form to equation (8.2):
1
HPI (s) = Kc (1 + ), (8.14)
Ti s
the frequency function
1 1
HPI (jω ) = Kc (1 + ) = Kc (1 − j ), (8.15)
Ti jω Ti ω
and the module and phase angle
1 1
M(ω ) = Kc √1 + and φ (ω ) = − tan−1 . (8.16)
Ti2 ω 2 Ti ω
The Bode plots are given in Fig. 8.18.

It is observed that the own frequency of oscillation of the closed control system
with PI controller, at which the loop phase angle becomes −180∘ , called the crossover
frequency, decreases proportionally with the decrease of the Ti (ωosc 2 < ωosc 1 ). If the
crossover frequency of oscillation is lower, the probability of a disturbance inducing
resonance in the control loop is higher, since the typical frequencies characterizing the
oscillations of the chemical/process systems are low, being comprised in the range of
10−5 Hz (one oscillation in 24 hours for e.g. the daily change of outside temperature)
to 1 Hz. This means that by decreasing the value of Ti, the loop becomes more unstable.
One frequent phenomenon linked to the PI control is the windup. Integral windup
refers to the situation in a PI controller (but it may happen to the PID as well), where
a change in setpoint, especially when it is large, produces a large increase or decrease
(function of the error sign) of the integral term (windup), thus overshooting and con-
tinuing to increase or decrease as the accumulated error is unwound. This causes
unpleasant repeated deviations in both directions (negative or positive) of the con-
trolled variable, producing thus oscillations and unstable control. There are several
anti-windup solutions to be applied, but the most reliable is to disconnect the I com-
ponent of the controller until the controlled variable enters in a controllable range
(say, ± 10 % of the setpoint). Modern controllers have the anti-windup setup [5].
Bode plots of the PI controller

350
300
250
200
M
150
Ti2
100
Ti1
50
0
–4 –3.5 –3 –2.5 –2 –1.5 –1 –0.5 0 0.5 1
Phase Bode plots of the PI controller

angle φpr ωosc2 ωosc1
0° φTi1
φTi2
–50°
–100°
φt1
–150°
φt2
–180°
–200°
–4 –3.5 –3 –2.5 –2 –1.5 –1 –0.5

Frequency [log(rad/s)] Fig. 8.18. Bode plots for the PI controller.
8.2.3 Proportional-Integral-Derivative controller (PID) [6]
The equation describing the PID algorithm is (8.3). The step response of the controller
is given in Fig. 8.19.
It can be demonstrated that the higher Td is, the higher the impulse characteriz-
ing the step response is; the role of the D component is to abruptly open or close the
actuator of the control system, forcing the process to come back to the setpoint. In the
case of the temperature control of a heater, the derivative part of the control action
opens the steam valve almost completely for a short while, giving the process a ther-
mal shock, which forces it to recover much faster the decrease of temperature than in
the case of P or PI control. Usually, the PID control algorithm is used to control better
and faster, the slow processes rather than the heat transfer ones.
How do we choose the derivative time?
Example 8.4. Let us consider two heat control loops for two drying chambers with
different volumes, V1 > V2 (Fig. 8.20).
8 Controllers | 243
time
D part
KpA
I part
P part
c0
time Fig. 8.19. Step response of the PID controller.
F, ρ, cp , T°i F, ρ, cp , T°i
TC1 TC2
V1 , T°1
V2 , T°2
KT , AT , T°ag KT , AT , T°ag
Fag Fag
–ΔT° –ΔT°
F, ρ, cp , T° F, ρ, cp , T°
Fig. 8.20. Choosing comparatively the values of Td for the temperature controllers in two different
CSTRs.
One can observe the volumes are different, V1 > V2 . According to the heat balances
(3.11) where the term of reaction is 0,
∘ ) = d (Vρ c T ∘ ),
Fvi ρ cpA Ti∘ − Fvo ρ cp T ∘ − KT AT (T ∘ − Tag (8.17)
p
dt
where Fvi = Fvo = F is the air flow in the drying chambers and cpA = cp its heat
capacity, calculating Tpr1 and Tpr2 for the two drying chambers,
V1 ρ cp V2 ρ cp
Tpr1 = and Tpr2 = , Tpr1 > Tpr2 . (8.18)
Fρ cp + KT AT Fρ cp + KT AT
When the temperature changes in the two chambers, the process of change is
slower in the first one (with larger Tpr1 ) and faster in the second one. Considering a
decrease in temperature of the input air flows of both chambers, the temperatures de-
creases in both of them. In order to bring back the temperatures to the setpoint, both
controllers have to act in similar ways, but differently: the first one stronger (to recover
the larger delay in action given by the larger volume of the first reactor) and the second
one weaker. Thus results Td1 > Td2 . The first controller opens in this way the steam
control valve more than the second one in order to give a stronger temperature shock
for the slower system.
The transfer function of the PID controller is obtained by applying the Laplace
transform to the equation (8.3).
1
Xc (s) = Kc [E(s) + E(s) + Td sE(s)] and thus (8.19)
Ti s
1
HPID (s) = Kc (1 + + Td s). (8.20)
Ti s
The frequency function is
1 1
HPID (jω ) = Kc (1 + + Td jω ) = Kc [1 + j (Td ω − )] (8.21)
Ti jω Ti ω
with module and phase angle
1 2 1
M(ω ) = Kc √ 1 + (Td ω − ) and φ (ω ) = tan−1 (Td ω − ). (8.22)
Ti ω Ti ω
The Bode diagram is presented in Fig. 8.21.

It may be observed that when the Td has a smaller value (Td2 ), the integral ef-
fect prevails and the crossover frequency ωosc becomes ωosc2 in the lower frequencies
range; thus, the control system becomes more unstable since the majority of the distur-
bances in process engineering are in the low frequency range. When Td is larger (Td1 ),
ωosc becomes ωosc1 placed in a higher frequency range. Thus, the control system be-
comes more stable. One may observe too, that at ωosc1 , the module of the controller has
a very high value, meaning that any disturbance with a frequency close to ωosc1 will
be severely amplified (the actuator strongly opened and closed) and the loop strongly
destabilized. As a result the choice of the two main parameters Kc and Td should be
done in accordance with these considerations (see Chapter 11).
Recently, the classical controllers have been evaluated for more comprehensive
functions so as to adapt their algorithms to the unknown parts of the controlled pro-
cesses [7–9]. These controllers evolved towards the so called class of intelligent (i-PID)
controllers. They take into account the changing parts of the processes without any
modeling needed, just fast estimation and identification techniques [10]. This is a so-
lution to help those control/electrical engineers who do not have enough knowledge
of the process they are in charge of controlling. The authors are somewhat cautious
to recommend any application of a control solution without having the knowledge of
the process controlled.
8 Controllers | 245
Bode plots of the PID controller
50
45
40
35
Td1
30
MdB 25
20
Td2
15
10
5
0
–3.5 –3 ω1=(Ti·Td1 )–1/2 ω2=(Ti·Td2 )–1/2 0 –0.5
Phase
angle Bode plots of the PID controller
100°
φTd1
50°
φpr
φTd2
0°
–50°
φt1
–100°
φt2
–150°
–200° ωosc2 ωosc1

–250°
–300°
–3.5 –3 –2.5 –2 –1.5 –1 –0.5 Fig. 8.21. Bode plots for the
Frequency [log(rad/s)] PID controller.
8.2.4 Controllers with special functions
The PID controller is the one with the most complicated algorithm used most fre-
quently in industry. There are situations where the performances which could be ob-
tained with the PID algorithm are not sufficient for the process controlled. There are
more performing control algorithms which will be described briefly in this section, but
in detail they will be the object of the second volume of the book, entitled Advanced
Process Control.
Adaptive controllers
The Adaptive controllers have algorithms which “adapt” themselves to the changes in
the dynamics and steady state behavior of the process.
In the paper [11] the authors present a situation involving the temperature control
of the hydrazine hydrate manufacturing process using as manipulating variable the
NH3 liquid flow (Fig. 8.22).
Tn
Fig. 8.22. Steady state characteristic of the

reactor producing aqueous chloramine solution
Fn FNH
3 in the hydrazine hydrate process [12].
The operating point for the temperature is at the point of inversion of the characteristic
slope; because of the exothermic behavior of the process, the increase of the liquid
ammonia flow, through its expansion, compensates the exothermic character of the
reaction between NaOCl and NH3 exactly at the equilibrium point (Fn NH3 , Tn∘ ); over this
flow value at equilibrium, the endothermic character of the expansion dominates the
exothermic character of the reaction. In order to keep the temperature at the operating
point, the controller has to memorize the process steady state characteristic and to
adapt its action to the characteristic. This can be obtained through a scheme of the
type presented in Fig. 8.23 [13].
Transducer
– Control y
r + Final control Controlled
algorithm element process
Correction
Model of
of the control Fig. 8.23. The struc-
the process
algorithm
ture of an adaptive
controller.
There are several surveys and comprehensive scientific contributions to the theory and
practice of self-adaptive controllers [14–16]. The authors preferred to mention a practi-
cal self-adaptive controller produced by the company ASEA Novatune and used later
8 Controllers | 247
Temp.
V3 control
V2
Flowrate
control
Fig. 8.24. Adaptive control of an ethylene oxide reactor [17].
on to control an ethylene oxide reactor in the presence of a catalyst [17]. The control
scheme is given in Fig. 8.24.
The reactor has a production of 30,000 tons/year of ethylene oxide from ethylene
and oxygen. The reaction is extremely exothermic, the constraints of deviation of tem-
perature being ± 0.1∘ in normal conditions and ± 0.5∘ in extreme conditions of strong
load disturbances. These disturbances usually occur when an almost empty raw ma-
terial tank is replaced with another full one, producing an extremely brutal change
of parameter (pressure or flow). The PID controllers usually used are decoupled in
these situations and work only in “manual” operation mode. Bengtsson and Egart
proposed an adaptive control scheme, presented in Fig. 8.24. The temperature con-
troller uses two control valves, V2 and V3 , the latter for normal operation and the first
for large disturbances which have to be processed. Both valves are controlled in “auto-
matic” mode and the change of production is done without decoupling the controllers,
the change of the setpoint being done according to one preprogrammed scheme. The
general scheme of the adaptive controller, considering a function of the setpoint, is
different from that in Fig. 8.23, and is presented in Fig. 8.25.
Adaptive control can be used in many processes such as PVC batch polymerization
or ε -caprolactam, the so called nylon 6,6, continuous manufacturing process, where
the properties of the reaction mass change continuously during the batch time (case
of PVC), or along the process (ε -caprolactam) influencing the initial tuning of the con-
troller.
Measuring, Algorithm
filtration design
r Control Final control Controlled y

Transducer
Fig. 8.25. The structure of a self-adaptive controller taking into consideration the set-point value.
Optimal controllers
The optimal control implies minimizing or maximizing a global performance index:
N
J(k, x(k)) = ∑ f (x(k), u(k)). (8.23)
k=1
This performance index can be the integral of the squared error to assure the minimum
of deviation from the setpoint but also, for example, the shortest route from one point
to another in a town [19]. For a process in process industry, the performance can be the
batch distillation time for a batch distillation, preserving a quality performance index;
in the case presented in Fig. 8.26, x(k) is the distillate average concentration, and the
control action is the optimal reflux ratio time function R(k) = u(k) (Fig. 8.26).
The general structure of such an optimal control scheme is given in Fig. 8.27.
All optimal control problems have at their base either Pontryagyn’s maximum
principle or Bellman’s dynamic programming formulation [18, 20]. These problems
will be treated in detail in the second volume of Advanced Process Control. In a study
made for the methanol industry [21], the authors succeeded in demonstrating that
through finding an optimum temperature profile along the catalytic methanol reac-
tor, the efficiency can be increased by 30 %.
Predictive controllers
The authors’ volume [22] is one work describing in detail the principle of predictive
control. Predictive control is the most advanced one at the moment, because it “fore-
sees” what it will happen in the future of the process when a control action is taken.
The principle of model predictive control is presented in Fig. 8.28.
The controller is a discrete one; at each step (k), the algorithm calculates one ac-
tion based on the minimization of the error between the predicted trajectory y(t) and
the setpoint r(t):
p
∑ ‖ y(k + l | k) − r(k + l) ‖2 . (8.24)
l=1
8 Controllers | 249
R D, xD = ct
Optimal reflux
FC
computing algorithm
R
Optimal reflux
R(k)
t(k) time
Fig. 8.26. Optimal operation of a batch distillation.
Transducer
Control Final control Controlled y

Computing Model of the

algorithm of Xi process
Model parameter
“J” index
estimation
Fig. 8.27. The structure of an optimal control system using the change of the set-point value.
The minimization assures the fastest way to the setpoint which allows the process
control system to have minimum deviations from the setpoint trajectory. An example
is the temperature control of the batch PVC reaction [23] which, using the MPC tech-
nique, allows the close match of the real temperature in the reactor with the optimal
profile calculated (Fig. 8.29).
past future
Setpoint Predicted outputs
y(k+1 | k)
y(k) Manipulated inputs
u(k+1)
k k+1 k+2...... k+l ............k+m ..................k+p
Input horizon
Output horizon
Fig. 8.28. Principle of model predictive control.
T(°C)
60
55
50 Optimal profile
PID
NMPC
45
0 50 100 150 200 250 300 350 400 450 500 time (min)
Cooling
flowrate NMPC
PID
2
1.5
0.5
0
0 50 100 150 200 250 300 350 400 450 500 time (min)
Fig. 8.29. PID and NMPC control of the PVC reactor for the optimal temperature profile.
8.2.5 Distributed Control Systems
The development of Distributed Control Systems (DCS) is directly related to the huge
potential offered by the microprocessor and data communication technologies that
8 Controllers | 251
emerged in the 1970s, with the most representative product at that time the Honeywell
TDC-2000.
The DCS [24] principally consists of integrated hardware and software systems ac-
complishing two basic functions for the real-time management of the enterprise: mon-
itoring and control (Fig. 8.30). Its architecture is designed so that the computed-based
control and monitoring levels are distributed both physically and functionally. The
monitoring and control parts of DCS use communication networks for linking their
units and for sharing the collected and analyzed data or for distributing the control
or decision information. DCS development is continuously expanding with new tasks
such as: decision support capabilities, expert system facilities or management and
business abilities.
The jobs accomplished by the DCS are distributed into partially independent sub-
systems organized on multiple levels and having a hierarchical structure, able to offer
a high degree of reliability. This is due to the fact that functions are not concentrated in
a centralized structure, but in different computer systems, and the failure of one unit
does not imply the collapse of the whole system. This modularity allows the quick and
prompt intervention for maintenance and for restoring of either hardware or software
affected capabilities.
The distributed architecture of the DCS demonstrates very great flexibility due
to the straight reconfiguration of its software. Built-in libraries for the control algo-
rithms, monitoring charts, alarm functions or displays can be either directly chosen
or adapted to fit the particular application needs. The communication network link-
ing the distributed units allows the connection and separation from the DCS, for rapid
implementation of changes, upgrades or even improving the structure of the design.
They offer the user the opportunity to focus on the process management and control
tasks and relieve the effort aimed at solving the implementation solution for the in-
strumentation layer.
The bottom layer of the DCS performs the data acquisition and the regulatory con-
trol but also interacts with the higher monitoring and control layers for sending and
receiving data. The input signals are conditioned, analyzed and data reconciliation
or statistical processing may be performed. Smart transducers or control valves are
easily integrated onto the DCS platform and their incentives are fully exploited. DCS
controllers offer the facility of also providing, besides the traditional proportional,
integral and derivative algorithms, combinatorial, sequential logic and supervisory
control. They are integrated with the feed forward, robust and model-based control
and with advanced control algorithms implementing artificial intelligence tools such
as fuzzy logic, neural networks or genetic algorithms. The new DCS systems enlarge
the control functions with production planning and scheduling associated with the
management of resources.
One of the most appreciated features of the DCS is its system concept-based de-
sign, implemented in a harmonious architecture that integrates different subsystems
communicating which each other, having distributed functions and responsibilities
Operating
Computer
center
Interface data
Interface Interface
acquisition
Traffic
Data BUS
directory
Operator
Interface
console
Basic control
units
Displays
Power supply Terminal
Protection
barrier
Fig. 8.30. Block dia-

Field gram of a distributed
equipment
control system.
in such a way as to make the DCS work as a whole and offer the means for finding the
globally optimal control solutions.
8 Controllers | 253
8.3 Problems
(1) The control system in Fig. 8.31 has the following characteristics:
10 0.5 1
Hc (s) = Kc ; HAD (s) = ; Hpr (s) = ; HT (s) = .
2s + 1 30s + 1 10s + 1
Xset y
HC HAD Hpr
+
–
HT
Fig. 8.31. Feedback control system.
The controller has the PB = 50 %.

Draw the Bode and Nyquist plots for the whole control system. How are these di-
agrams modified if the PB = 10 %?
(2) The automatic control system in Fig. 8.31 has a PI controller with PB = 25 % and
Ti = 30 s. Draw the Bode plots for the ACS. Draw the Bode plots in the situation of
Ti = 5 min.
(3) The phase margin of the PD controller of the ACS in Fig. 8.31 is +45∘ . What is the
Td of the controller in this case? What is the open loop gain for this system with the
calculated value of the derivative time and a PB = 100 %?
(4) Consider the heat exchanger temperature ACS from Fig. 8.32.
KT , AT
FN ρm ,T°
T°ag , Fag
Tr Fig. 8.32. Temperature feedback control system

TC with P controller.
The temperature is controlled with a P controller with Kc = 1. Being given a distur-

bance of the input temperature from 50 to 60 ∘ C, calculate the extra energy consump-
tion due to the steady state offset. The characteristics of the equipment in the control
loop are:
3
final control element – KAD = 2 mmA/h ;
transducer – KTR = 0.4 mA∘ ;
3
process – nominal flow through the heat exchanger – FN = 1 mh ; density of the fluid
ρ = 1000 mkg3 ; specific heat cp = 1 kg
kcal
K
; heat transfer coefficient KT = 1000 mkcal
2 hK ; heat
transfer area AT = 1 m2 .
What is the offset and the extra heat consumption if the setpoint is changed with
+10o C?
(5) Two CSTRs have the following characteristics:

kg
Reactor 1: V1 = 1 m3 ; KT1 = 1000 mkcal 2 kcal
2 hK ; AT1 = 3 m ; ρ1 = 1000 m3 ; cp1 = 1 kg K ;
m3
F1 = 1 h
.
kg kcal
Reactor 2: V2 = 2 m3 ; KT2 = 800 mkcal 2
2 hK ; AT2 = 5 m ; ρ2 = 1000 m3
; cp2 = 1 kg K
;
3
m
F2 = 1 h
.
The reactions are neither producing nor consuming heat.

Choose comparatively PB, Ti , and Td for the temperature controllers of both reac-
tors. Explain the differences.
(6) Design the behavior of the auto-adaptive controller for the process described in
Fig. 8.22.
References
[1] Agachi P. S., Automatizarea proceselor chimice (Automation of chemical processes), Casa Cartii
de Stiinta, Cluj-Napoca, 1994, p. 108.
[2] *** SAMSON (http://www.docentes.unal.edu.co/sorregoo/docs/sistemas%20de%20control.
pdf).
de Stiinta, Cluj-Napoca, 1994, pp. 110–116.
[4] Ibidem, pp. 117–120.
[5] Packard A., Saturation and antiwindup strategies, ME 132, Chap.15, Spring 2005, UC. Berkley,
p.134–143.
de Stiinta, Cluj-Napoca, 1994, pp. 120–124.
[7] Ang, K. H., Chong, G., Li, Y., PID control system analysis, design, and technology, IEEE Trans.
Control Systems Techn., 13, (2005), 559–576.
[8] Aström, K. J., Hägglund, T., Advanced PID Control, Instrument Soc. Amer., 2006.
[9] Li, Y., Ang, K. H., Chong, G. C. Y., PID control system analysis and design, IEEE Control Systems
Magaz., 26, (2006), 32–41.
8 Controllers | 255
[10] Fliess, M., Join C., Intelligent PID Controllers, Proc. of 16th Mediterranean Conf. on Control and
Automation, Ajaccio, France, 2008.
[11] Agachi S., Topan V., Automatizarea unei reactii chimice cu comportare neliniara (Automation of
a chemical reaction with nonlinear behavior), Rev. Chim. 1, (1980), 63– 67.
[12] Silberg A. I., Topan V. A., Agachi P. S., et al. Procedure and reactor for manufacturing chlo-
ramine, Romanian Patent no.120893/25.11.1985
[13] Calin S., Dumitrache I., Regulatoare automate (Automatic controllers), Ed. Didactica si Peda-
gogica, Bucuresti, 1985, Chap. 8,11.
[14] Åström, K. J., Theory and applications of adaptive control — a survey, Automatica, 19, (1983),
471–486.
[15] Åström, K. J., Wittenmark, B., On self-tuning regulators, Automatica, 9, (1973), 185–199.
[16] Åström, K. J., Adaptive Control, Dover, 2008, pp. 25–26.
[17] Bengtsson G., Egart B., Experience with Self-tuning Control in the Process Industry, Proc. IX
IFAC Congress, Budapest, 1984, Section Case Studies.
[18] Pontryagin, L. S., The Mathematical Theory of Optimal Processes, Mir Publishers, Moscow,
1962.
[19] Doya, K., How can we learn efficiently to act optimally and flexibly, Proc. of the National
Academy of Sciences of USA,106, No. 28, (2009), 11429–11430.
[20] Betts, J. T., Practical Methods for Optimal Control Using Nonlinear Programming, SIAM Press,
Philadelphia, Pennsylvania, 2001.
[21] Agachi S., Vass E., Optimizarea reactorului de fabricare a metanolului, utilizand Principiul
Maximului lui Pontriaghin (Optimization of the methanol reactor using Pontriagyn’s Maximum
Principle), Rev. Chim., 6, (1995), 513–521.
[22] Agachi, P. Ş., Nagy, Z. K., Cristea, M. V., Imre-Lucaci, A., Model Based Control, Case Studies in
Process Engineering, Wiley-VCH, ISBN 3-527-31545-4, Weinheim, 2006, pp. 17–20.
[23] Nagy Z., Agachi S., Model predictive control of a PVC batch reactor, Computers & Chemical
Engineering, 6, (1997), 571–591.
[24] http://www.automation.com/library/articles-white-papers/fieldbus-serial-bus-io-
networks/ieee-1394-and-industrial-automation-a-perfect-blend.
9 Final control elements (actuating devices)
The actuating device is the element of the control loop which receives the control sig-
nal from the controller (c) and transforms it in a mass or energy flow (m) which mod-
ifies the controlled variable (y) in the controlled process. m can be the steam flow at
the entrance of a heater or a column reboiler, a combustible flow at the entrance of a
burner, or an NaOH flow at the entrance of a neutralizing plant.
9.1 Types of final control elements
There are several ways of manipulating the material or energy flow in or out of a pro-
cess: varying the speed of a conveyor belt, the rotation of a screw pump or of a cen-
trifugal pump, the frequency of switching on/off a switch device (relay) [1]. But by far
the most popular way of manipulating the flow is using the control valves, due to their
simplicity and reliability.
9.1.1 Control valves
The most frequently used final control elements are the control valves (Fig. 9.1). Such
a control valve assembly has two main parts: the actuator (drive) which can be pneu-
matic, electric or hydraulic and the valve which manipulates the flows with a plug,
ball, diaphragm or baffle.
Figure 9.1a depicts the control valve with its drive and Fig. 9.1b only the pneumatic
drive/actuator. The manipulation of the valve is done pneumatically by the pressured
air, usually in a range of 0.2–1 bar. The pneumatic actuator is formed from a diaphragm
case of cast iron separated in two chambers by a rubber membrane (M). The membrane
is held in a certain position by a spring (SP) which also has the role of bringing back the
membrane when the pressure signal disappears. Fixed on the membrane it is the stem
(S) which has at one end the plug (P), which obliterates to a certain proportion the seat
ring/orifice (SR) through which the fluid passes from the input of the valve cage to its
output. Because the position of the plug is variable, the opening of the orifice is also
variable and so the fluid flow passing through the valve is variable as well. Nowadays,
the majority of the controllers are electronic ones, having as control variable c, an
electric current in the range 2–10 mA or 4–20 mA (see Chapter 7). The conversion from
the electric control signal ic to the pneumatic signal addressed to the control valve
(pc ) is done by the electro-pneumatic convertor (EPC) (Fig. 9.2b and c). In the EPC, the
instrumental air of pressure 6 bar is first conditioned (filtered and dried) in the reducer
and then the resulting feed air at 1.4 bar is varied proportionally with the value of the
ic in the above mentioned range. The result is the stem travel, which – through the
Ac
SP
Pc
S
P
S
SR
Fig. 9.1. Pneumatic control valve: P - plug; pc – control pressure; Ac – actuator; Sp – spring;
M – membrane; SR – seat ring.
position of the plug attached to it – opens, to a certain percentage, the orifice of the
valve. Because of the friction in the seal rings of the stem, the valve functions with
hysteresis; in order to control exactly the position of the plug to correspond to that
of the control signal, a positioner (Fig. 9.2c) is sometimes added. The positioner is an
internal stem position control loop which mechanically measures the stem travel and
ensures it is exactly that given by the control signal.
We may find different types of control valves on free sources (Fig. 9.2): http://www.
google.ro/search?q=control+valve&tbm=isch&tbo=u&source=univ&sa=X&ei=9rX-
Uf2qGImYPc6sgYAM&ved=0CEcQsAQ&biw=1280&bih=615
The actual valve can be of different types [2]:
– globe valve with direct flow single or double ported (Fig. 9.3), three-way (Fig. 9.4);
– angle valves in which one port is co-linear with the valve stem, and the other port
is at a right angle to the valve stem (Fig. 9.5);
– butterfly valve (Fig. 9.6) used for large pipelines and low pressure fluids (gas usu-
ally);
– ball or V-notch control valve (Fig. 9.7) is used for partially solid flows or viscous
flows or suspensions which are not able to be manipulated by the other types of
valves. The V-notch of V-shape in the ball allows a greater range ability of the
manipulation of the flow.
– slide/gate control valves (Fig. 9.8) are used usually for very large cross area sec-
tions of the pipelines through which either water (e.g. flood water from reservoirs)
or catalyst (e.g. Fluid Catalytic Cracking Unit) are transported.
(a) (b)
M
Pp
0,2 – 1 bar Electro-pneumatic
Positioner
Pc converter c
S 0,2 – 1 bar 4 – 20 mA
Ps, air supply

1,4 bar
(c)
Fig. 9.2. Different types of industrial control valves with electro-pneumatic convertors aside: (a) reg-
ular industrial valve; (b) control valve with electropneumatic convertor; (c) actuator with electro-
pneumatic convertor and positioner.
Fig. 9.3. Globe valve two-way single-ported.
Fig. 9.4. Globe valve three-way single-ported.

Fig. 9.5. Angle valve.
Fig. 9.6. Butterfly valve.
Fig. 9.7. Ball control valve.

A A
A’
A’
Fig. 9.8. Slide/gate control valve.
There are other types of control valves specifically for non-usual fluids manipulation:
– membrane control valves (Fig. 9.9) for very corrosive, viscous and high density
fluids (e.g. slurry). Its principle of operation is that putting pressure on the elastic
membrane tube, the section passing the fluid diminishes proportionally with the
control pressure exercised. There are construction versions with the diaphragm
closing the valve on a weir or saddle.
Fig. 9.9. Membrane valve.

9.1.2 Other types of final control elements
– Conveyor belts with variable speed (Fig. 9.10);
Electric motor with

frequency converter
for variable speed drive Fig. 9.10. Variable speed conveyor belt.
– screw pumps or screw conveyors (Fig. 9.11);
Fig. 9.11. Screw drive/ conveyor used for solids

or viscous fluids.
– pumps with variable speed (centrifugal pumps, gear pumps, piston pumps, peri-
staltic pumps). The rotation speed or the piston movement frequency is varied
using a motor equipped with a variable frequency drive (VFD) [2] (Fig. 9.12);
Fig. 9.12. Left: gear pump and right: screw drive pump.
– reflux distributors (Fig. 9.13) are used for very small reflux ratio flows. These dis-
tributors operate by varying the ratio between the reflux time and evacuation of
Condenser
C. B.
R
D Fig. 9.13. Reflux distributor at the top of a distillation column.
the distillate time. The distribution funnel is commuted by an electromagnetic re-

lay outside the column and a ferromagnetic piece embedded in the funnel, either
on “total reflux” position (R), or “distillate collection” position (D). The ratio of
the two mentioned times represents the reflux ratio.
9.2 Sizing the control valve
There are many technical publications of excellent quality which deserve to be men-
tioned here: Emerson’s Control Valve Handbook [1], FNW material about flow coef-
ficients [5], Parcol’s Handbook for Control Valve Sizing [6], or Samson’s Application
Notes, Kv coefficient, valve sizing [7].
9.2.1 The flow factor ((Kv ) for incompressible fluids [3]
The flow factor (Kv ) is the most important parameter which characterizes the flow
through a valve. Let us consider a simple hydraulic circuit in which a valve is placed
(Fig. 9.14). It is important because it synthesizes, as seen in Fig. 9.14, the simultaneous
changes of several factors due to the stem travel position: pressure drop coefficient,
cross area section through the control valve, the pressure drop in the control valve.
The valve manufacturers give the Kv as the main value for sizing the control valve.
If one expresses the volumetric flow Fv function of √p0 –p1 (Fig. 9.15), the rela-
tionship is linear (9.1); pc is the pressure at which the liquid vaporizes at the operating
temperature.
For 0 < p0 < pc , Fv = Kv √p0 –p1 . (9.1)

P0 P1
FV
Fig. 9.14. Hydraulic circuit including a control valve.
FV
Non-critical flowrate Critical flowrate
FC
PC–P1 P0–P1
Fig. 9.15. The dependence of the volumetric flow on the pressure difference (p0 –p1 )1/2 .
Kv is the slope of the characteristic in its first portion, the straight line, and it is defined
as the water flow expressed in m3 /h, at 15 ∘ C, passing at a pressure difference of 1 bar.
In the American scientific literature, the flow coefficient is Cv = 1.16 Kv , being
the flow in US gallon/minute, passing through the completely open valve at 60 ∘ F at
a pressure difference of 1 lb/in2 .
Applying the Hagen–Poiseuille relationship,
ρ v2
Δpv = ξv , (9.2)
2
where Δpv is the pressure drop on the valve, ξv is the pressure drop coefficient on the
valve, and v, the velocity of the fluid in the pipeline, the flow rate through the valve is
2 1
Fv = v ⋅ Av = √ A √ Δp , (9.3)
ξv v ρ v
and at etalon conditions where ρe and Δpve are the density (1 kg/dm3 ) and pressure
difference of 1 bar, Av being the cross-section area through the control valve, this flow
is exactly the flow factor Kv :
2 1 ρ
Kv = √ A √ Δp = Fv √ . (9.4)
ξv v ρe ve Δpv
This relationship of the flow factor Kv is valid for the turbulent flow, noncritical, in the
absence of cavitation and vaporization. When Kv is calculated, the density is always
expressed in kg/dm3 , Δpv in bar, and the flow rate in m3 /h.
Example 9.1. The data for the calculation of a control valve are the following: maxi-
mum alcohol flow rate through the valve is 6.8 m3 /h, its density ρa = 735 kg/m3 and
the pressure drop on the valve at the corresponding flow rate is Δpv = 0.8 bar. Kv has
to be calculated.
The relationship (9.4) becomes
m3 √ ρ [ mkg3 ] 735
Kv = Fv [ ] = 6.8√ = 6.5.
h 1000Δpv [bar] 1000 ⋅ 0.8
For laminar flows in the pipeline, Bernoulli’s law is applied and Reynold’s number
can be calculated with (9.5):
vD
Re = ρ , (9.5)
ν
where D is the pipeline diameter [m] and ν the viscosity [Ns/m2 ].
The profile of the flow tube is presented in Fig. 9.16.
P0 P1
Fig. 9.16. The profile of the fluid vein in the

pipeline when the section is strangled.
At the level of the plug, Re is not the same as in (9.5) because the area of the passing
section is much smaller and the velocity of the fluid is much larger. Re inside the valve
can be recalculated [4]:
D 1
ReR = Re . (9.6)
2.59 √K v
When ReR < 500 the flow is laminar and in these conditions (9.4) can be used. Ob-
serving that the flow regime is changing inside the valve, the flow factor has to be
√Re
recalculated using the corrected ReR with the factor C = 20 R relationship (9.4) be-
coming
F ρ
Kv = v √ . (9.7)
C 1000Δpv
Cavitation
It has to be noted that at the minimum section of the strangled vein of the fluid (vena
contracta), the fluid pressure drops abruptly (Fig. 9.17) at values which can be equal
to the saturation vapor pressure (pvs ) thus forming vapor bubbles. These bubbles im-
plode when the pressure goes back to the regular pressure value in the pipeline. The
implosions create strong shock waves eroding severely the interior of the valve.
P0
Critical
Turbulent
Laminar
PC
Fig. 9.17. The pressure profile along the pipeline

PVK in the section of the valve: (a) laminar flow
pressure profile; (b) turbulent flow pressure
profile; (c) critical flow pressure profile (pc –
L critical pressure).
In order to avoid cavitation,

Δpv ≤ p0 –pv , (9.8)
and because only a part of the pressure is recovered, a critical flow coefficient is de-
fined [4], Cf < 1, which depends on the control valve inner form and equation (9.8)
becomes
Δpv ≤ Cf2 (p0 –pv ). (9.9)
This equation imposes that, for avoiding the cavitation, special control valves with
several expansion stages have to be built and for which Cf becomes close to 1.
9.2.2 The flow factor (Kv ) for gases [3, 5, 7]
The simplifying assumptions, at the basis of the computational relationships for Kv ,

are: the gas is considered ideal, the density is that after the valve, the gas temperature
does not vary at passing through the valve.
Applying the general law of gases,
pN FvN p F
∘ = 2∘v , (9.10)
TN T
where the pN , FvN , TN∘ are the pressure, volumetric flow and temperature in normal
conditions (1 atm = 101.325 kPa, 20∘ = 293.15 K); p2 , T ∘ , Fv are the pressure, tem-
perature and flow after the valve.
Expressing the volumetric flow as the ratio between the mass flow and its density,
F F
pN ρm p2 ρm
N
= . (9.11)
TN∘ T∘
From both equations (9.10) and (9.11),
pN T ∘
Fv = FvN and (9.12)
p T∘
2 N
p2 TN∘
ρ = ρN , (9.13)
p T∘
N
and with (9.4), the expression of Kv becomes
FvN p T∘
Kv = √ N , (9.14)
514 p2 Δpv
where p2 is the absolute pressure and is expressed as p2 = 1 + p2 rel .
9.2.3 The flow factor (Kv ) for steam [3, 8]
For superheated steam the specific volume is used, v = 1/ρ [m3 /kg] and equation (9.4)
becomes
1
Kv = Fv √ ,
1000Δpv v
or using the mass flow Fv = Fm v,
Fm v
Kv = √ , (9.15)
31.6 Δpv
where Fm is measured in [kg/h]

– for saturated dry steam in which p2 > 100 bar, formula (9.15) is used;
– for saturated dry steam with p2 < 100 bar, the approximation p2 v2 ≈ 2 is done
and (9.15) becomes
Fm 1
Kv = √ (9.16)
22.4 Δpv p2
– for wet steam with p2 > 100 bar, the relationship (9.16) becomes
Fm x
Kv = √ (9.17)
22.4 Δpv p2
with x the proportion of saturated steam in the mixture wet-saturated steam.

Example 9.2. A control valve is mounted on a superheated steam pipeline, and the
flowing process has the following characteristics: Fm max = 100 kg/h, the specific vol-
ume after the valve v2 = 0.188 m3 /kg, the pressure before the valve p1 = 20 bar and
after the valve, p2 = 12 bar. The flow factor Kv has to be calculated.
100 0.188
Kv = √ = 0.486.
31.6 8
There are numerous other situations when the control valves are in operation as in the
case of compressible fluids, or two phase flows. Sizing procedures are given in [3, 4, 6].
9.3 Inherent characteristics of control valves
The second element, after the flow coefficient (Kv ), characterizing the flow through a
control valve, is the flow variation function of the valve’s stem travel (h). Knowing that
the Kv is actually the flow in certain etalon conditions, ξv (h) and Av (h) are functions of
h, and
1
Kv = √ A (h) = Kv (h), (9.18)
ξv (h) v
the result is that Kv = Kv (h) represents the inherent characteristic of the control valve.
The inherent characteristic is determined by measuring the flow rates at different valve
openings and at a constant pressure drop.
There are several types of inherent characteristics (Fig. 9.18):
ΔK
(a) The linear characteristic, where Δhv = ct for all values of Kv and with the analytical
expression
Kv K K h
= v0 + (1 − v0 ) (9.19)
Kv100 Kv100 Kv100 h100
4
Linear
Equal Percentage
3
Flow [%]
Quick Opening
Square Root
2 Modified Parabolic
Hyperbolic
1
0
0 0.2 0.4 0.6 0.8 1
Stem opening [%]
Fig. 9.18. Typical inherent characteristics of the control valves [9].

where
h = 0 is the stem travel of the valve with the valve completely closed;
h = 100 is the stem travel of the valve with the valve completely open;
Kv0 is the flow factor for the completely closed valve (h = 0);
Kv100 is the flow factor for the completely open valve (h = 100).
(b) The logarithmic (equal percentage) characteristic, where
Kv K K h
= v0 exp [ln ( v100 ) ]. (9.20)
Kv100 Kv100 Kv0 h100
Using the differentiated expression of (9.20),
dKv K dh
= ln ( v100 )
Kv Kv0 h100
which shows that when the stem travel h h varies from 50–60 %, the Kv varies
100
from its value to Kv + 10% Kv which explains the equal percentage characteristic
name.
(c) The modified parabolic characteristic with the analytical expression (9.21) is ap-
proximately in-between the linear and the equal percentage characteristic, pro-
viding a fine control at low flow values and approximately linear characteristic at
higher flow capacity:
h
Kv K h100
= v0 + 2
. (9.21)
Kv100 Kv100
3 − 2 ( hh )
100
(d) The quick/fast opening control valve designed for quick flooding or evacuation of
the reaction mass in case of emergency.
In addition to these frequently used control valves characteristics, there are two oth-
ers: hyperbolic, which is the reverse of quick opening and we may name it “slow open-
ing”; and square root, placed in-between modified and hyperbolic to better control the
flows in the middle part of the flow range.
The profile of the characteristic is either resolved through a certain adequate form
of the plug and seat (Fig. 9.19), or via a special characteristic of the electro-pneumatic
converter.
Valve spindle
Spindle
Valve movement Valve
plug
seat
Fast opening Linear Equal percentage
Fig. 9.19. Special form of the plugs and seats for corresponding valve characteristics.
In the other case of constructing the form of the characteristic using special charac-
teristics of the actuator and control valve,
h x
= f1 ( c ) , (9.22)
h100 xc100
Kv x
= f2 ( c ) , and (9.23)
Kv100 xc100
Kv
= f1 ∘ f 2 . (9.24)
Kv100
9.4 Installed characteristics of the control valves
Once included in the hydraulic circuit (Fig. 9.20), the control valve changes its inherent
characteristics depending on the structure of the system and the total pressure drop
on the system.
The total pressure drop on the system is formed out of the sum of the local pres-
sure drops (9.25), the sum of the linear pressure drops (9.26), the sum of the pressure
decrease due to the level difference (9.27), the pressure drop on the control valve it-
self (Δpv ).
n
ρ v2
Δploc = ∑ ξi (9.25)
i=1
2
m lj ρ v2
Δplin = ∑ λj (9.26)
j=1
Dj 2
l
Δpz = ∑ ρ ghk (9.27)
k=1
P2
CV
H
HE
PC
P1
Fig. 9.20. The control valve does not work independently but is a part of a hydraulic system.
with ξi – the local pressure drop coefficient, λj – the linear pressure drop coefficient, lj
and Dj the lengths and diameters of the different pipeline sections, hk – different level
differences which contribute to the total pressure drop.
The total pressure drop on the system is thus:
n
ρ v2 m lj ρ v2 l
Δps = ∑ ξi + ∑ λj + ∑ ρ ghk + Δpv + Δppump = ΔpL + Δpv , (9.28)
i=1
2 j=1
dj 2 k=1
with ΔpL being the sum of all pressure drops except the valve.
The flow rates in the pipeline and valve are equal and according to (9.3) and (9.4),
ΔpL Δp
FL = KL √ = Fv = √ v = F. (9.29)
ρ ρ
Thus, Δps = ρ F 2 ( K12 + 1

KL2
), and from this results
v
Kv Δps
F= √ or (9.30)
2 ρ
√ 1 + ( Kv )
KL
Kv Δps
F= √ . (9.31)
K 2 K 2 ρ
√1 + (K v ) ( Kv100 )
v100 L
At h = h100 , all variables depending on stem travel get the index 100 and one can write
instead of (9.29),
Δpv100 Δp
F100 = Kv100 √ = KL √ L100 and
ρ ρ
Kv100 2 ΔpL100
( ) = (9.32)
KL Δpv100
and ΔpL100 = Δps − Δpv100 .
Supposing that the flow does not change its regime and the fluid is incompress-
ible, KL stays constant and replacing (9.32) in (9.31),
Kv Δps
F= √
K 2 Δp −Δp ρ
√1 + (K v ) s v100
v100 Δpv100
and using (9.32)

Kv
F Kv100 Δps
= √ . (9.33)
F100 Kv 2 Δps Δpv100
√1 + ( ) ( Δp − 1)
Kv100 v100
Δpv100
If we denote the parameter m = where Δps = p1 max − p2 (p1 max is sometimes
Δps
called maximum pumping height), the relation (9.32) becomes (9.34), representing the
installed characteristic of the valve:
F Kv 1
= . (9.34)
F100 Kv100 Kv 2
√m + ( ) (1 − m)
Kv100
Kv
represents the inherent characteristics which are given in (9.19)–(9.21), the ratio
Kv100
depending on the control valve’s stem travel h:
F K (h) 1
= v . (9.35)
F100 Kv100 2
√ m + ( Kv (h) ) (1 − m)
K v100
The installed characteristics of the control valves are plotted in Fig. 9.21 for the three
most utilized control valves. The variable parameter in the figure is m, which takes
values between 0.04 and 1.
We may easily observe that being installed in a hydraulic circuit, the inher-
ent characteristics are deformed due to the nonlinearities induced by the square
dependence of the pressure drop on the flow. These deformations can be used in
compensating the undesired nonlinearities of the process characteristics (Chapter 6,
Figs. 6.2–6.4).
Generally, how do we choose a control valve characteristic? There are some prac-
tical recommendations [10] which are very general and helpful. Summarizing the pa-
per: for pressure control valves the recommendation is equal-percentage; for flow, if
the setpoint varies – linear; if load varies – equal-percentage; for temperature – equal-
percentage.
0.8
0.04
0.6 0.1
Linear
F 0.25
F100
0.33
0.4 0.5
1
0.2
0
0 0.2 0.4 0.6 0.8 1
h
h100
0.8
Modified parabolic
0.6
F
F100 0.1
0.4 0.25
0.33
0.5
0.2 1
0
0 0.2 0.4 0.6 0.8 1
h
h100
0.8
Logarithmic
0.6
F
F100
0.04
0.4
0.1
0.25
0.2 0.33
0.5
1
0
0 0.2 0.4 0.6 0.8 1
h Fig. 9.21. The installed characteristics of the
h100 control valve.
9.5 The dynamic characteristics of a control valve
9.5.1 The gain of the control valve
The final control element is composed of the electro-pneumatic convertor (EPC), the
actuator (AC) and the valve (CV). Each of them have their own gain factor, the electro-
pneumatic convertor – KEPC , the actuator – KAC , the valve – KCV and the total gain is
the product of all three:
KFCE = KEPC KAC KCV . (9.36)
Usually, the EPC has linear characteristic, having as input the control signal 2–10 or
4–20 mA and as output the pressure addressed to the actuator, 0.2–1 bar. Thus, the
gain of the EPC is
ΔpAC
KEPC =
Δic
and for the first case,
0.8 bar bar
KEPC = = 0.1 .
8 mA mA
The actuator, AC has as input the pressure in the actuator, 0.2–1 bar and as output
the whole stem travel 0–100 %. Thus, its gain is
Δh 100% %
KAC = = = 125 .
ΔpAC 0.8 bar bar
The gain of the control valve depends on the type of the characteristic, being for the
linear valve
dF
=a (9.37)
dh
and for the equal percentage (logarithmic)
dF
= bF. (9.38)
dh
Because of the fact that these characteristics change in the hydraulic circuit, the gain
becomes dependent on the stem travel and the variation is given in Fig. 9.22 on the
next page [11].
9.5.2 The dynamics of the control valve
The dynamic behavior of control valves is largely treated in [11] Chapter 3 and orienta-
tions are given in [12]. Concluding, because of the series pneumatic capacities, of the
transport line delay, the behavior is in the most cases described by a transfer function
of second order
a3
Hv (s) = , (9.39)
a2 s2 + a1 s + 1
where a3 is KFCE , a2 has values of around 10−1 s2 , and a1 values of around 1–20 s.
In the most cases, the behavior is treated as a first order dynamics [12].
Linear Logarithmic
5 5
4 0.05 4
0.1
3 3
dF 0.2 dF
dh 0.5 dh 0.2
2 2 0.5
1
1
1 1
0 0
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1
h h
h100 h100
Fig. 9.22. The change of the control valve gain, function of travel and m coefficient in the case of:
(a) linear valves; (b) logarithmic valves.
9.6 Sizing and choice of the control valves
In choosing and dimensioning the control valve (Kv and the inherent characteristic),
one has to take into consideration the two following situations:
(a) the pressure drop on the hydraulic system is not given and the source pressure
has to be calculated;
(b) the pressure at source is given and also the pressure drop on the system.
In both cases, the following steps for sizing the valve are given.
Case (a)
(a.1) establish the steady state process characteristic on the transfer path manipu-
lated variable → controlled variable (Section 6.1);
(a.2) based on the maximum and minimum disturbance, the minimum and maxi-
mum respectively flow through the valve are calculated (Section 6.1, Fig. 6.3);
(a.3) at the maximum flow value, ΔpL100 is computed, using the relations (9.25)–
(9.28);
(a.4) depending on the form of the steady state characteristic of the process (a.1) and
other steady state characteristics of the transducer (e.g. orifice plate flow meter),
the compensating characteristic of the valve is chosen (Section 6.1, Fig. 6.4) in
order to linearize the behavior of the whole ensemble valve and process. This
Δp
means the most appropriate m value is chosen. m = Δpv100 ;
s
(a.5) the value of Δpv100 (from m) and then the Kv100 value are calculated using the
relations (9.4), (9.14), (9.15)–(9.17), depending on the valve sized;
(a.6) the superior value Kvs > Kv100 is chosen from the manufacturer’s tables;
(a.7) with Kvs chosen, the new Δpv100 value is calculated and consequently, the new
installed characteristic chosen, to observe if the linearization suffers. If the lin-
earization suffers, the whole sizing procedure is resumed from the beginning;
(a.8) the pumping pressure is determined using p1 = p2 + ΔpL100 + Δpv100
Case (b)
(b.1) establish the steady state process characteristic on the transfer path manipu-
lated variable → controlled variable (Section 6.1);
(b.2) based on the maximum and minimum disturbance, the minimum and maxi-
mum respectively flow through the valve is calculated (Section 6.1, Fig. 6.3);
(b.3) at the maximum flow value, ΔpL100 is computed using the relations (9.25)–
((9.27);
(b.4) Δpv100 = p1 − p2 − ΔpL100 is calculated;
Δp
(b.5) m = Δpv100 is calculated and the adequate (for linearization) installed character-
s
istic is chosen;
(b.6) Kv100 is determined;
(b.7) the superior value Kvs > Kv100 is chosen from the manufacturer’s tables;
(b.8) with Kvs chosen, the new Δpv100 value is calculated and consequently, the new
installed characteristic chosen, to observe if the linearization suffers. If the lin-
earization suffers, the whole sizing procedure is resumed from the beginning.
Example 9.3. A flow control valve is mounted on the feed pipeline of a reactor working
at the pressure of 20 bar. The nominal operating flow is Fn = 120 m3 /h, the minimum
flow is Fmin = 70 m3 /h, and the maximum Fmax = 147 m3 /h. The density of the fluid
is ρ = 875 kg/m3 . The pressure drop on the pipeline is Δpp100 = 12.6 bar. The pres-
sure drop inside the pump is supposed to be 0. Sizing and characteristic choice of the
control valve is requested.
The problem is included in case (a). The steady state characteristic (flow control
on a pipeline), F = f (F) is a straight line with the slope 45∘ . Consequently, the charac-
teristic of the valve is linear in the range Fmin /Fmax = 70/147 = 0.47 and Fmax /Fmax =
147/147 = 1.0 and especially around Fn /Fmax = 0.81. A modified parabolic control
valve with m = 0.33 (Fig. 9.21) should be chosen, but also a logarithmic characteristic
with m = 0.2 fits.
Choosing a logarithmic valve,
Δpv100
= 0.2 (9.40)
Δps
Δpv100 = 0.2Δps = 0.2(Δpv100 + Δpp100 ) (9.41)
0.2Δpp100 0.2 ⋅ 12.6

Δpv100 = = = 3.15 bar. (9.42)
1 − 0.2 0.8
According to (9.4) and from Example 9.1,
ρ 875
Kvmax = F100 √ = 147√ = 74. (9.43)
1000Δpv100 1000 ⋅ 3.15
We choose from the catalogue Kvs = 90

We recalculate the pressure drop
2
F100 ρ 1472 875
Δpv100 = 2 1000
= = 2.2 bar (9.44)
Kvs 902 1000
and
Δpv100 2.2
m= = = 0.15, (9.45)
Δps 12.6 + 2.2
and the valve characteristic remains the same.
The source has the calculated pressure
p1 100 = p2 + Δps = 20 + 12.6 + 2.2 = 94.8 bar. (9.46)
Example 9.4. Calculate and choose the control valve of a temperature control system
of a heat exchanger through which water is circulated (Fig. 5.3). The characteristics of
3
the heat exchanger are: nominal flow through the heat exchanger – FN = 4 mh ; density
kg kcal
of the fluid and heating agent ρ = ρag = 1000 m3 ; specific heat cp = cp ag = 1 kg K
; heat
transfer coefficient KT = 1000 mkcal 2
2 hK ; heat transfer area AT = 4 m ; Δpp100 = 1 bar;
∘
Ti = 20 ; Tiag = 50 . The temperature which has to be kept constant is Tn∘ = 30∘ .
∘ ∘ ∘
The temperature fluctuations around the normal T ∘ = 20∘ are of ± 5∘ . The pressure is
i
given by a centrifugal pump with the operation characteristic given in Fig. 12.2 and its
pressure at Fag max = F2 in the figure has to be calculated. The agent is evacuated at
atmospheric pressure.
The steady state characteristic of the heat transfer process is given by the equa-
tions (6.1) and (6.2):
Fvi ρ cp Ti∘ − Fvo ρ cp T ∘ − KT AT (T ∘ − Tag

∘ ) − VkC ΔH = 0
A r (6.1)
∘
F ρ c T − F ρ c T + K A (T − T ) = 0, ∘ ∘ ∘ (6.2)
vag ag pag iag vag ag pag ag T T ag
where VkCA ΔHr = 0, Fvi = Fvo = FN .

Eliminating Tag∘ , and replacing the values in the problem, one obtains the steady
state characteristic of the process:
4Ti∘ Ti∘ag
T∘ = + . (9.47)
4 + 2Fag 2 + 4
F ag
Data calculated for the disturbances of ± 5∘ in the input temperature and for different
values of the agent flow are given in Tab. 9.1.
Figure 6.9 is the graphic representation of the temperature variations in this case.
Ti∘ [ ∘ C] Table 9.1. Variation of the temperature of the

3 heated fluid in the heat exchanger function of
Fag [m /h] 15 20 25
T ∘ [ ∘ C] the disturbances.
2 23.75 27.5 31.25

4 23.66 30 33.33
6 28.12 31.25 34.37
8 29 32 35
10 29.6 32.5 35.4
12 30 32.8 35.7
(a.2) The minimum and maximum disturbances are Ti∘min = 15∘ and Ti∘max = 25∘ and
the nominal operating input temperature is Ti∘n = 20∘ .
At these values, for an outflow temperature Tn∘ = 30∘ , the heating agent flows are
3 3 3
Fag max = 12 mh , Fag min = 1.33 mh , Fag n = 4 mh
The operating range of the valve is between Fmin /Fmax = 1.33/12 = 0.11 and
Fmax /Fmax = 12/12 = 1.0 with special attention to be given to the nominal point
Fn /Fmax = 4/12 = 0.33.
(a.3) Δpp100 = 1 bar from the problem data.
(a.4) From Figs. 9.23 and 9.21, a logarithmic characteristic of the valve with m =
Δpv100
Δps
= 0.9 is chosen.
(a.5) Δpv100 = 0.9Δps = 0.9(Δpv100 + Δpp100 ) which gives the result Δpv100 = 9 bar.
ρ 1000
Thus, Kvmax = F100 √ 1000Δp = 12√ 1000∙9 = 4.
v100
(a.6) The catalogue value for Kvs is just 4, so we do not have to recalculate the charac-
teristics.
(a.7) –
(a.8) p1 100 = 9 + 1 = 10 bar so the head of the pump has to be bigger than this value.
9.7 Problems
(1) Consider a composition ACS from Example 6.3, with the following characteristics:
the molar fraction of the concentrate can vary between 0.9 and 1, but at the nominal
point xcN = 0.95; the concentration of the active component in the diluting flux is
xD = 0; the target composition after the dilution is xN = 0.5; the diluting flow D =
1 m3 /h constant. The dilution is done at atmospheric pressure and the pump pumps
the concentrate at 2 bar. The pipeline pressure drop is Δpp100 = 1 bar and the density
kg
of the concentrate is ρ = 800 m3 . The control valve has to be sized and chosen and is
manipulating the concentrate (Fig. 12.13).
(2) The height of the liquid in the bottom of a distillation column is h = 1.5 m and
the pressure drop between the column and the following column in the sequence is
4 bar. The density of the product which passes through the control valve of the level
kg
ACS is ρ = 700 m3 . What is the influence of the liquid level in the column bottom upon
the flow between the two pieces of equipment? How much does an increase of 20 %
change the Δps ? How is the sizing of the control valve influenced?
(3) Consider a flow ACS with the transducer an orifice plate without square root ex-
3 3
tractor. The data of the piping system are: F100 = 20 mh and FN = 15 mh ; pressure at
the source p0 = 9.5 bar; pressure at the end of the pipeline p2 = 4.1 bar; the pres-
sure drop in the pump and on the line ΔpL100 = 4.2 bar; density of the fluid circulated
kg
through the valve ρ = 700 m3 . The control valve has to be sized and the linearizing
characteristic to be chosen.
(4) Calculate the gain factors of the final control elements, including the control
valves for the cases in the Problems (1) and (3) at nominal and maximum values of the
flow. The electro-pneumatic convertors have the input signal 4–20mA and the output
0.2–1 bar; the drive has the input 0.2–1 bar and the output stem travel 0–100 %.
(5) What types of final control elements should we choose for manipulating the fol-
lowing products:
1. steam at 25 bar;
2. flow of acetic acid at 10 l/h nominal flow;
3. air flow at 100 Nm3 /h and pressure 0.5 bar;
4. sulfuric acid 60 % produced through the contact chamber process;
5. water emulsion of polyvinyl acetate flow;
6. air conditioning air flow at 300 mmH2 O pressure;
7. slurry flow at the bottom of a distillation column;
8. sand flow for the glass production process.
References
[1] Emerson Process Management Handbook, Fisher, Control

Valve Handbook, Fourth Edition, Cernay, France, 2005, p. 4–17.
http://www.documentation.emersonprocess.com/groups/public/documents/book/cvh99.pdf
[2] Campbell, S. J., Solid-State AC Motor Controls. New York: Marcel Dekker, Inc.,
pp. 79–189. ISBN 0-8247-7728-X.
[3] Agachi, S., Batiu, I., Automation of a volatile oils distillation plant, Contract with Plafar Orastie,
no. 112/1984.
[4] Marioniu, V., Automatizarea proceselor chimice si petrochimice, Editura Didactica si Pedagog-
ica,Bucuresti, 1979, chap. 11.
[5] Singh, M., Elloy, J. P., Mezencev, R., Munro, N., Applied Industrial Control, Pergamon Press,
1980, Chap. 7.
[6] FNW, About Cv flow coefficients), 2012, http://www.fnwvalve.com/FNWValve/assets/images/
PDFs/FNW/tech_AboutCv.pd
[7] Handbook for control valve sizing, Parcol Bulletin 1-I, 2010, http://www.parcol.com/docs/1-
i_gb.pdf,
[8] Samson’s Application Notes, Kv Coefficient, Valve Sizing, Samson AG. Mess- und Regeltechnik,
Frankfurt am Main, 2012, http://www.samson.de/pdf_en/t00050en.pdf
[9] SpiraxSarco Ltd., Steam Engineering Tutorials, Block 6, 2013
[10] The Engineering Toolbox, Tools and Basic Information for Design, Engineering and
Construction of Technical Applications, Control Valves and Flow Characteristics,
http://www.engineeringtoolbox.com/control-valves-flow-characteristics-d_485.html.
[11] Headley, M., Guidelines for selecting proper valve characteristics, Valve Magazine, 15 (2),
(2003), 28–33.
[12] Marioniu, V., Poschina I., Stoica M., Robinete de reglare, Ed. Tehnica Bucuresti, 1980, Sec-
tion 2.5.4.
[13] Emerson Process Management Handbook, Fisher, Control Valve Handbook, Fourth Edition,
Cernay, France, 2005, p. 32.
10 Safety interlock systems
10.1 Introduction
Safety systems play a very important role in the operation of a plant, as the secure
operation is the first task to be fulfilled by any management and control system. In-
terlocking is performed by a set of instruments intended to prevent the plant from
reaching states that have negative impact on the operators, equipment, environment
or products. The design of interlocking systems should consider different levels of risk
that may affect the process and can only be implemented after a deep and comprehen-
sive understanding of the process. Although different standards are known, they are
not generalized and custom-tailored solutions are commonly encountered in practice.
The safety system type of technology logic to be used (e.g. relays, integrated electron-
ics or software systems) and the frequency of testing the system are application de-
pendent. The safety standards follow the same approach.
Nevertheless, designing an efficient and reliable safety system implies a set of
steps to be performed as a general procedure for fulfilling the objective of providing
secure operation. These steps are also known as the model of the safety life-cycle [1].
The prerequisite for designing any safety system is the thorough knowledge of the
plant, process, equipment and their interaction with human operators and the envi-
ronment, in order to be operated for preventing any damaging and harming effects. A
multidisciplinary approach and team may be needed (e.g. process, biochemical, con-
trol, mechanical and electrical engineers, safety and management specialists) to cover
the diversity and complexity of the system under study. Interactions between the sub-
units should be comprehensively revealed.
The hazard analysis is the first step to be performed. The ample identification of
the hazards is important for defining the potential tasks the safety system must cope
with. The hazard analysis implies a Hazard and Operability (HAZOP) study. The rank-
ing of the hazards with respect to the probability of their occurrence and the magni-
tude of their associated effects is also necessary. This task is accomplished by the risk
assessment analysis, preceded by the hazard one. As a result, based on the risk assess-
ment, the hazards are managed either at the level of the conceptual plant design or at
the level of the safety system under design. It is worth mentioning that risk can only
be reduced and not completely eliminated and absolute safety may never be attained.
The next step is to establish the measure of importance for different safety goals.
Accordingly, the safety system performance is established for each of the safety goals
to be achieved. Several levels of safety may be defined at this step. They will be consid-
ered with specific safety equipment, in a hierarchy designed according to the emerged
levels.
The actions implied for satisfying each safety goal and the underlying logic is the
following step of the safety system design. The logic of these actions is the core of
the design methodology and special attention should be given to considering both
normal operation conditions and start-up or shutdown procedures. If any information
from practical experience of operation in similar cases is available, it would be very
valuable for using it to evaluate (pre-test) the solutions of the designed safety system.
The design should consider a conservative margin for fulfilling its safety goals in order
to cover the variability and the possible lack of exact quantitative assessment of the
risk and associated impact [2].
According to the design, the safety instrumentation is built, commissioned and
pre-startup tested. A solid state construction is desired and usually thorough verifica-
tion is made to ensure long-life operation. Procedures for scheduled tests and mainte-
nance of the safety system must be clearly specified, and stipulated in rigorous time
program diagrams. Any changes to the design and the on-site implementation adjust-
ments of the safety system have to be performed only after a competent analysis in-
volving the team participating in the design work.
Decommissioning and disposal of the safety system is the last step of the safety
life-cycle model. It is intended to develop procedures to be followed at the end of the
system’s life.
As a general rule of thumb the practitioners recommend the safety system be as
simple as possible.
10.2 Safety layers
The safety system is commonly designed with a hierarchical structure having the con-
trol system at the bottom of the safety multilayer hierarchy. The hierarchy mainly ad-
dresses the extent or gravity of the hazards to be treated by the safety system. Never-
theless, it is desired that safety layers work independently in order to maximize the
probability of responding to the possible malfunction of the other layers. A typical
multilayer structured safety system is presented in Fig. 10.1 [6]. Some of the layers act
as prevention measures, i.e. to block the incidence of hazards, while other layers mit-
igate for diminishing the effect of the already started incidents.
The safety multilayer system may have additional layers as the risk analysis pro-
ceeds and considering that safety is increased if the number of layers is also increased.
However, each of the safety layers must be designed as simply as possible. Part of the
layers may be situated inside the plant while others outside it. In order to minimize the
complexity of the safety system, the intrinsic safety provided by the conceptual design
of the plant must be maximized. Achieving this fundamental objective will bring addi-
tional benefits directly reflected in the costs of the safety system implementation. The
plant design should decide on solutions to operate at mild conditions, i.e. at low tem-
peratures, pressures and inventories, with mechanical equipment working exposed
to reduced wear, resistant to corrosion and abrasion, at low rotating speed, and in-
Community emergency measures
Plant emergency measures
Safety interlock system
Alarm and monitoring system
Regulatory and advanced control system
Plant & process
Fig. 10.1. Typical configuration of the safety multilayer system.
volving raw materials and products that exhibit reduced hazard for explosion or for
harming human health [3].
By accomplishing its designed role, the regulatory or advanced control system may
be considered part of the safety system. Although this layer’s main task is the efficient
operation of the plant, by keeping the controlled parameters of the process at the de-
sired setpoints, the safety needs would be inherently satisfied in normal automatic
operation mode. In control system design there is a tendency to integrate parts of the
safety functions in the control equipment (e.g. Distributed Control Systems) or dupli-
cate them for redundancy reasons. The latter is the preferable approach.
The alarm and monitoring system is the first one to inform the operating person-
nel that a process is about to reach unsafe states and that opportune action must be
taken by the operator for preventing the appearance and development of potential
hazards. Light, sound, moving parts of the alarm equipment or animation on the mon-
itors (flashing light, changing color, lists) are simple but effective ways of drawing the
operator’s attention to the emerging hazardous state. A quick answer is needed for
this equipment and its operation should be simple, robust and capable to work au-
tonomously (e.g. have its own energy supply, operate during plant start-up or shut-
down). The operators should have competence for interpreting the alarm system in-
formation and for taking appropriate (manual) measures to bring the operation safely
back to normal or to shut down the plant. These procedures must be stated in special
regulation documents and operators be previously trained to cope with all (predicted)
potential situations.
The safety interlock system (also denoted as Safety Instrumented System, SIS) is
usually designed to shut down the plant in a failsafe way, without the operator’s inter-
vention. Its operation is directly related to and dependent on the success of the inher-
ently safety design of the plant. The safety interlock system must have its logic of op-
eration designed according to the previously analyzed and anticipated scenarios and
possibly transposed into Boolean logic mathematical form. The physical implementa-
tion of this safety layer benefits from different options. The most common is based on
the traditional relays. Nonetheless, hardwired electronic implementation using com-
bined digital and analog electronic devices and software-based systems are increas-
ing in importance and their frequency of application is continuously growing. The
choice of the physical implementation of the safety interlock system has to consider
several aspects, such as: level of security, cost, promptitude of operation, operators’
acceptance or training, frequency of testing and cost of maintenance. During the last
years, the software-based interlock systems have gained increasing acceptance under
the implementation of the Programmable Logic Controllers, although they are not yet
considered as reliable and low-cost as the relay or hardwired solutions. But some of
their appreciated features make them competitive and capable to extend and become
dominant in the future, especially for large applications. Such incentives consist in
versatility, capability of self-testing or diagnosis and compatibility with the computer-
based control systems.
The plant emergency measures safety level may consider physical protection sys-
tems and fire or gas systems. From the first category, the relief devices and contain-
ment dikes (bunds) may be used to protect equipment working at hazardous pressure
and to prevent the spread of the hazardous reliefs (relief valves, rupture disks, flares,
scrubbers). The fire and gas systems are intended to act against the fire by stopping
the fire in an automatic way (e.g. by activating fire sprinklers) or by alarming (e.g. by
the sirens) the community and the fire-fighter service. Evacuation plans for the people
in the neighborhood are part of the mitigation actions in case of severe accidents.
The community emergency measures extend the actions for limiting the conse-
quences of accidents to the outside of the plant.
10.3 Alarm and monitoring system
The alarm and monitoring system is aimed to draw an operator’s attention to the devi-
ation of plant operation parameters from normal limits and appearance of potentially
hazardous events, therefore asking for opportune intervention. This is due to the fact
that the control system is not designed to solve by itself all problems during plant op-
eration and the operators have to take the responsibility of running the process safely
and efficiently in such special situations. The most common alarm function consists in
a lamp (light source) that flashes inside a box having a colored glass or plastic cover on
which (or under which) a label is printed for denoting the alarm source. The alarm may
be associated with a continuous or intermittent sound generated by a horn or buzzer.
By the operator’s acknowledgment, performed when pressing a button, the lamp stops
flashing (and usually gets into continuous lighting) and the sound is stopped. Process
alarms emerging from the control system use the same sensors with the control sys-
tem and point out problems with the equipment. The safety alarms originate from the
safety instrumentation layer and indicate the development of critical operation states.
The shutdown alarms are generated by the automatic shutdown system of the safety
instrumented layer and inform the operator on the shutdown trip [7, 8].
The alarm display has to be easily visible by the operator and color coded alarm
information may be assigned to different levels of alarms, according to their impor-
tance: pre-alarms, typical alarms, bypass alarms and shutdown alarms. The red color
is usually assigned to the highest priority alarm (i.e. emergency). According to the or-
der in which the operator should be informed, the alarms may be ranked as having:
low, medium and high priority. The alarms will provide focused information on the cir-
cumstances of appearance, equipment involved, straight measure to be applied and
priority. The sounds generated by multiple alarms must have the amplitude and fre-
quency such as to be easily recognized by the operator and differentiated according
to the level of priority.
The alarm system has to cope with the circumstances of multiple alarms acting
together, during the same period of time. It is important for the operator’s analysis
and for taking mitigating decisions, to be able to discriminate between alarms and
to indicate which of the alarms acted first. This task becomes complicated if the time
responses of the alarms are different. In the case of an automatic shutdown of the unit,
the first acting alarm can be directly discriminated by the operator who acknowledges
the trip and, as a consequence of the acknowledgment, the first alarm may become
flashing while the others will have a continuous illumination.
The standards for the alarm systems consider the limited capacity of an operator
to treat a large number of active alarms. The alarm system should process the flux of
multiple and simultaneous alarms and provide the operator the filtered flux of infor-
mation that reveals the most important ones, according to their priority. Operator ac-
ceptance and capacity for processing information from alarms, under difficult working
conditions and high workload, have to be supervised and appropriate management
regulations should be developed.
10.4 Safety instrumented systems
The safety instrumented system (SIS) consists of measuring devices (sensors) and ac-
tuators, working together according to the logic solvers, with the aim of bringing the
plant to a safe state when predetermined setpoint conditions are not met or safe oper-
ation is jeopardized [5].
The typical form of the SIS, having the actuator of a control valve as final element,
is presented in Fig. 10.2.
The main parts of the SIS are the sensors, the input and outputs interfaces, the
logic solver and the final control elements [8].
Power supplies
Input Logic solver Output

Sensors Actuator
Interfaces E/E/EP devices Interfaces
Communications
Fig. 10.2. Typical configuration of an electrical Safety Instrumented System.
Sensors
The sensors are of two main categories. They may have the role of measuring the pro-
cess parameter and providing a continuous signal, proportional to the parameter, or
they may only have the duty of signalizing the violation of particular low or high limits
of the process parameter. For the first case, sensors are associated with analog trans-
mitters and for the second one, they consist in switches (implemented in either pneu-
matic or electric technologies). The sensor switch is a passive device that provides a
binary on-off signal. This signal is changed when the process parameter exceeds the
predefined upper-lower limits [8].
The sensors used in the SIS should have a robust design and work in a failsafe
way for protecting the plant. As they are complex by construction and are exposed to
the interaction with process parameters and the environment, the sensors are some-
times prone to fail in fulfilling their tasks. Exposure to high heat or pressure sources,
mechanical stress (vibrations), aggressive or corrosive media and clogging the con-
necting pipes are some of the typical causes of sensor failures. The most common mal-
function behaviors shown by the sensors are: providing changes of the output signal
without process parameter change, providing improper output signal change when
the process parameter changes, erratic behavior and very long response time. The im-
plications of the sensor response in the case of power loss should be carefully ana-
lyzed. For instance, senor switches should have normally closed contacts. The analog
transmitters should have either upscale or downscale signal response in case of fail-
ure, depending on the effect they should have through SIS on the process. A trade-off
must be made when choosing between sensor switches and analog sensors. The first
category is simple, reliable and cost effective but it is limited with respect to the quan-
tity of information provided and self-diagnosis. The second one offers more informa-
tion on the process variable and the sensor’s state of operation but it is more expensive
and requires qualified maintenance. The SIS may have functions to perform diagnos-
tics on both the transmitter and the field-wiring. The choice of using analog sensors
is preferable when the risk analysis recommends it.
An important measure for dealing with the malfunction or failure of the SIS sen-
sors is doubling the sensors. The sensor redundancy will significantly reduce the prob-
ability that SIS acts wrong due to sensor fail. The redundant sensor should be sepa-
rated from the first one with respect to the power supply, the mounting and connection
to the process and to the lines for transmitting the signal.
Periodically testing the sensors’ state of operation is good practice for keeping the
protection potential of the SIS.
Logic solver
The logic solver is the part of the SIS which automatically takes the necessary de-
cisions for activating the final control elements, based on the information received
from the sensor switches and analog transmitters and according to an incorporated
logic [8].
The safety logic was traditionally performed by relays or, later, by hardwired
electronics. Although still present in many applications, the logic solvers based on
these technologies have today been replaced and mostly implemented by safety Pro-
grammable Logic Controllers (PLCs), especially for large applications.
An example of the logic for the activation of the final control element is presented
in Fig. 10.3, using the logical AND and OR gates and Boolean logic.
High
temperature
switch
AND
Low
cooling
flow switch
Final
Output
OR control
port
High element
pressure
switch
AND
High
level
switch
Fig. 10.3. Logic solver example of the SIS.
The logic of the solver consists in the following statement: if either the simultaneous
condition of high temperature and low cooling flow or the simultaneous condition of
high pressure and high level are fulfilled, then the final control element should act and
protect the system. In order to prevent the malfunction of the ports and logic gates,
special diagnostic electronic circuits may be added to the logic solver. These diagnos-
tic elements detect, in a switching operation mode, if special generated square wave
signals sent to the gates and ports are transmitted through them. If these square sig-
nals are also present at the outputs of the gates and ports, they confirm the integrity
of the gates and ports and the fact that they are in a ready state of operation.
The PLC implemented logic solver offers flexibility, reduced costs for large appli-
cations and good compatibility with all digital equipment. The logic solvers are prefer-
ably implemented on safety PLCs which, compared to traditional PLCs, are designed
to be fail tolerant and failsafe. The PLCs have input and output ports and are capable
of performing logical and mathematical operations. They also have special communi-
cation electronics.
Fault tolerance is the ability of a functional unit to continue to perform the re-
quired function in the presence of faults and errors [7]. The fault tolerant device will
also provide an alarm and possibly indicate the fault origin. The diagnosis of the fault
is a feature safety PLC should have implemented in its software. Continuation of the
safety PLC operation in the presence of the faults may be obtained by the use of re-
dundant hardware and software units, thus making possible the online restoring of
the no-fault working regime.
Figure 10.4 presents the 1oo1 (one out of one) architecture.
Input Output
Sensors Logic solver Actuator
circuit circuit
Fig. 10.4. 1oo1 architecture.
This architecture has only one channel for executing the safety function on the final
element (actuator). The output is in energized state, i.e. closed circuit, when there is no
violation of the safety conditions. The output will be de-energized (i.e. became open
circuit) when a safety function of the logic solver demands it. This is the situation
of the failsafe scenario. But, if the output remains stuck in the energized state, i.e.
closed circuit, the fail will be dangerous, as any triggering of the actuator will not be
able to become executed. This second scenario makes the 1oo1 architecture fail unsafe
(dangerously).
The 1oo2 (one out of two) architecture is presented in Fig. 10.5.
Input Output
Logic solver
circuit circuit
Sensors Actuator
Input Output
circuit Logic solver circuit
Fig. 10.5. 1oo2 architecture.

This architecture has two channels for executing the safety function on the final
element. The channels work in parallel and their de-energized to trip outputs are con-
nected in series. This architecture provides a failsafe operation if any of the channels
demands it. The safety system only fails dangerously if both of the channels fail dan-
gerously, i.e. if both outputs become stuck in the energized state. In the case when
only one of the channels remains in an energized stuck state, i.e. in closed circuit,
the other channel will continue to offer shutdown protection. This makes the safety
system show a lower chance of failing dangerously.
The 1oo1D architecture presented in Fig. 10.6 has one safety channel associated
to the diagnostic one. The outputs of the two channels are again connected in series.
The diagnostic channel makes possible the detection of a dangerous failure and trans-
forms it into a safe failure.
Input Output
Logic solver
circuit circuit
Sensors Actuator
Diagnostic circuit
Fig. 10.6. 1oo1D architecture.
The 2oo2 architecture has a two channel configuration and it is used for the case of
energize to trip safety systems. In this case the outputs are connected in parallel. The
system remains protected even in the case when one of the outputs is stuck in the
de-energized state, as the other channel will still offer protection.
The 2oo2D architecture consists of a double 1oo1D architecture setup, with four
channels (two of them being offered by the diagnostic paths) [8].
Actuator and final element

The actuator is driving the final element by executing the automatic shutdown of the
unit. There are different types of actuators coupled with the final elements. Typical
implementations of the actuator-final element devices are: electrical relays that act as
on or off control in the powering (starter) circuit of electrical motors, solenoid activated
emergency valves and solenoid activated pilot valves acting on the air supply of the
pneumatic actuators (diaphragms or pistons) of the emergency shut-off valves [8].
As the actuator and final element have to work in the field, they are exposed
to tough operating circumstances and environmental conditions. Consequently, they
have a high potential to exhibit malfunction or failure. The most common actuator and
final element misfunction situations are, for the solenoid valves: electrical coil short-
circuit or interruption, blocking of the valve stem, plugging of the vents, corrosion
and abrasion of the valve internal parts, and for the trip valves: leaking, interruption
or constriction of the air supply pipe, blocking of the valve stem. Limit switches or
positioners are used for feedback, in order to get information on the actual state of
operation of the final element.
Safety integrity level

The safety integrity of a system is its quality of be fault tolerant. Integrity means to pre-
serve the system’s performance and operating features, despite the faults and errors
affecting its hardware and software. The integrity of a safety system is the probabil-
ity of the system to maintain its safety functions. The safety integrity level (SIL) of the
safety system is directly related to the hazard and risk analysis of the system to be pro-
tected. The risk estimation or risk assessment of the potential hazards showing up in
the protected system implicitly determines the need for keeping it safe and quantifies
the necessary risk reduction. Several levels of safety (three or four) are used to mea-
sure the tolerable failure rate of a specific safety function. The safety integrity levels
are proportionally related to the safety availability they provide, such that the higher
the availability offered, the higher the safety integrity level. For example, the SIL 1
will provide an availability of about 0.99 and may consist in a non-redundant struc-
ture having one piece for each of its sensor, logic solver and actuator elements. The
SIL 2 will provide an availability of 0.999 and may have redundant elements, while
the SIL 3 will offer an availability higher than 0.999 and should have only redundant
elements [8].
One of the trends in the design and development of the safety interlocking sys-
tems consists in the expansion of the software implementations over the hardware-
based solutions. This tendency is sustained by the flexibility of the software-based
safety system that allows the simple change of configuration and multiplication of
the input-output paths together with the logic solver new design. The cost implied by
the software solution is considerably lower, compared to the hardwired solution, and
the difference increases radically with the number of the safety elements. Neverthe-
less, the system becomes more centralized and the failure of the software may affect
the protected plant to a dramatic extent. Redundant software-based safety systems
are recommended. Another trend is the advent of smart instruments that may have
implemented safety functions, such as self-state diagnosis, comprehensive measure-
ment analysis and communication with the safety instrumented system.
10.5 Problems
(1) Please draw the 2oo2 architecture with four channel configuration and describe
the operation of the safety system.
(2) Explain if the safety interlock system must accomplish its designed tasks in auto-
matic mode, manual mode or in abnormal operation conditions.
(3) Please explain when the interlock system may be disabled (bypassed): in auto-
matic mode, manual mode or in abnormal operation conditions?
(4) Common process taps for redundant transducers are not desired. Please explain
the motivation of this design recommendation.
(5) Consider the system of five tanks that are supplied with liquid by a single feed
pump. Each of the tanks has a level transducer and an on/off inlet valve. The inter-
lock system is designed to work according to the following logic. If the level in the
tank exceeds a predefined upper limit value, then its inlet valve is locked to a closed
position. The feed pump is locked closed if all the inlet valves are closed (feedback
provided by closing a limit switch) and any of the predefined level upper limit values
of the tanks is reached.
1. Please make the logic solver diagram using the logical gates.
2. Please describe the operation of the interlock system.
3. Please describe the operation of the interlock system when one of the level upper
limit transducer fails due to a low signal.
4. Please describe the operation of the interlock system when one inlet valve limit
switch fails (i.e. remains in an opened switch position).
5. Provide a safer design for the interlock system.
References
[1] Overton, T., Berge,r S., Process safety: How are you doing?, Chemical Engineering Progress,
104, (5), (2008), 40–43.
[2] Overton, T. A., and King, G., Inherently safer technology: An evolutionary approach, Process
Safety Progress, 25 (2), (2006), 116–119.
[3] Gentile, M., Summers, A., Cookbook versus performance SIS practices, Process Safety
Progress, 27 (3), (2008), 260–264.
[4] Summers, A. E., Hearn, W. S., Quality assurance in safe automation, Process Safety Progress, 27
(4), (2008), 323–327.
[5] Marszal, E. M., Scharpf, E. W., MIPENZ, Safety Integrity Level Selection – Systematic Methods
Including Layer of Protection Analysis, ISA, 2002.
[6] McMillan, G. K. (editor-in-chief), Considine, D. M. (late editor-in-chief), Process/Industrial
Instruments and Controls Handbook, 5th ed., McGraw-Hill, 1999.
[7] http://www.aiche.org/ccps/topics/elements-process-safety.
[8] http://www.processoperations.com/SafeInstrSy/SS_Main.htm.
|
Part III: Synthesis of the automatic control systems
11 Design and tuning of the controllers
Obviously it is not enough that the process engineer or the process control engineer
puts together and interconnects the elements of the control loop (process, transducer,
controller and final control element) in order to obtain a good quality (see Chapter 5)
control. These elements have to be finely “harmonized”, to make them able to coop-
erate properly with each other. Of course there are several ways of “harmonization”,
starting with the appropriate choice of equipment relative to the process controlled.
The quality of the control depends very much on the process characteristics. If these
are properly understood, the control system has the chance to work appropriately.
Then, because the characteristics of the process, transducer, control valve are some-
how fixed (they are not always fixed because in time their properties are often chang-
ing), the only way of “harmonizing” the functioning of the elements of the control
loop is the controller tuning, which means the appropriate choice of the values of the
controller parameters. Up to now, the majority of the controllers have a P, PI, or PID
structure, meaning that the tuning parameters are Kc , Ti , or Td . In this chapter, we
describe the optimal choice of these parameters.
11.1 Oscillations in the control loop [1]
Let us consider a basketball player who dribbles on the court and we analyze the move-
ment of the ball (Fig. 11.1).
F
T
ymax
ymin
Fig. 11.1. A basketball ball dribbled by a player.
In order to have an undamped oscillation of the ball (meaning the same period T and
the same amplitude H), needed by the player to advance on the court, there are two
conditions to be fulfilled: the player has to apply the same force F, of the same magni-
tude, at the same time equal to the oscillation period of the ball, T. Note that the court
296 | Part III: Synthesis of the automatic control systems
“applies” the same reverse force, F, at mid-period. Similar examples can be given for
a pendulum, for spring-mass systems, for playground swings etc.
A similar phenomenon takes place in a control loop (Fig. 11.2).
D
S
C FCE Process
+
–
c C
C C
C C
t1 t2 t3 t4 t5 t
Fig. 11.2. The closed control loop oscillates when a disturbance D occurs.
When a disturbance D occurs, the output y is pushed away from the setpoint value
and begins to increase, for example; the deviation is “immediately” perceived by the
controller which gives a command in order to bring the process back to the setpoint;
due to the process inertia, the controlled variable follows its increase for a while and
then, “feeling” the order, begins to go back to the setpoint value; since the controller
is not necessarily properly tuned, the controlled variable goes beyond the setpoint:
the moment in which the controller intervenes and tries to restrict the decrease. The
inertia provokes the decrease for a while and afterwards the controlled variable goes
back towards the setpoint. The oscillation continues infinitely if the controller does
not buffer the amplitude.
It is observed in both cases (basketball player and control loop) that:
– intervention of the control action in the same direction is at a full period (1 period
is equivalent with −360∘ phase delay), meaning that the total summed phase an-
gle for an oscillation to appear is −360∘ . Because the summing element represents
a phase delay itself of −180∘ (the vectors of the setpoint and reaction variable are
opposite e = r − xr ), the condition phase reduces to −180∘ ;
– the control action upon the process and the other elements in the control loop is
applied with the same magnitude.
The conditions for having undamped oscillations are then (series elements in the con-
trol system):
5
∑ φi = φS + φC + φAD + φPr + φT = −360∘ (11.1)
i=1
and
5
∏ Mi = MS MC MAD MPr MT |ωosc = 1. (11.2)
i=1
Since φS = −180∘ (Fig. 5.4) and MS = 1, the equations (11.1) and (11.2) become
φC + φAD + φPr + φT = −180∘ (11.3)

MC MAD MPr MT |ωosc = 1. (11.4)
11.2 Control quality criteria [2, 3, 5]
The quality of the control action depends on many factors, among which some are
more important:
1. controllability of the process (see Section 6.2);
2. structure of the control loop;
3. magnitude and form of the disturbance;
4. the place in the process where the disturbance occurs;
5. tuning of the controller parameters.
To appreciate the quality of the control action, there are quality criteria on which the
tuning of controller parameters is based. The most frequently used criteria of quality
are:
(1) Criterion of the integral of the error (IE) (Fig. 11.3) expressed through (11.5):
∞
IIE = ∫ e(t)dt = ∑ Si = min (11.5)

0
meaning that the closer the control loop answer is to the setpoint, the better the quality
of the control action is; because the integral of a curve has the geometrical significance
of the sum of the areas under the curve, the equation has the form in (11.5) min takes
a numerical value, e.g. 2.
+
r +
– –
t
Fig. 11.3. The IE criterion.
This criterion has a problem: when the oscillations are symmetrical, the sum of
the areas is 0 and the quality of the control is bad. This observation produced more
advanced criteria.
(2) Criterion of the integral of the absolute error (IAE) (Fig. 11.4) expressed through
(11.6):
∞
󵄨 󵄨
IIAE = ∫ |e(t)|dt= ∑ 󵄨󵄨󵄨Si 󵄨󵄨󵄨 = min, (11.6)
0
which eliminates the disadvantage of the symmetrical areas with opposite sign (+/−).
+ +
r + +
t
Fig. 11.4. The IAE criterion.
(3) Criterion of the integral squared error (ISE) (Fig. 11.5) which is a stronger criterion
since if min has the same value as at IE or IAE, the conditions to be fulfilled are harsher
in this case:
∞
IISE = ∫ e2 (t)dt = ∑ Si2 = min. (11.7)

0
y
s12 s22
s 32 s42
s3 t
s1 s4
s2
Fig. 11.5. The ISE criterion.
(4) Criterion of integral time-weighted absolute error (ITAE):

∞
IITAE = ∫ t|e(t)|dt = min (11.8)

0
which penalizes the errors at long time more heavily.
(5) Criterion of the area of the step response area (Fig. 11.6):
SSR = min . (11.9)
y
r
si
t Fig. 11.6. The step response area criterion.
The smaller the area of the step response is, the better the quality of the control action.
(6) Quarter decay response criterion (Fig. 11.7):

1
σ3 = σ (11.10)
4 1
The quality of the control action is good if the third oscillation is a quarter of the
first one (Chapter 5).
The two last criteria are very practical and are frequently used during the real
operation of a plant.
σ1
σ3
r
t
Fig. 11.7. Quarter decay ratio response criterion.
11.3 Parameter influence on the quality of the control loop [3, 6]
In Chapter 8, we described the separate influence of each of the controller parame-

ters, Kc (PB), Ti , Td on the quality of the control loop response to disturbances. In the
present chapter, the combined influence of the above mentioned parameters in the
most frequently used controller structures are illustrated in the Tabs. 11.1 and 11.2. The
statements “too small”, “good” and “too large” are relative to what the process asks
for. For example, controlling the concentration in a CSTR a PB = 1000% is good and
when the temperature is controlled, PB = 15% is good as well.
Increasing both Ti on the x axis and Kc on the y axis, a combined effect is obtained
as presented synthetically in Fig. 11.8.
The situation of the PID controller involves three parameters with 27 combinations
(C33 = 27). It is known that the D and P components of the controller have the strongest
influence in this order. The Derivative part of the controller will always force the control
action even at a small error. This is why, if Td is larger than “needed” by the process,
an oscillatory regime will be imposed, even if the P or I are attenuated. If Td is smaller
than “needed” by the process, the beneficial effect of the D component, which is meant
to speed up the response of the slow process dynamics, is not felt enough and the
process together with the control loop remains at the sluggish behavior.
11.4 Controller tuning methods [4, 7, 9–14]
11.4.1 Experimental methods of tuning controller parameters
Probably about 90 % of the control loops are tuned experimentally and in about 75 %
of cases the operating personnel can “guess” closely the appropriate controller param-
eters based on the knowledge they have about the process and the practical experience
they have with other similar control systems.
The most frequently used methods are those of trial and error [4].
Table 11.1. The influence of the PB upon the response to disturbance of a feedback control with P
controller.
PB Step response to disturbance, of the classic (feedback) Observations

ACS
too large y Practically, the influence

of the disturbance is not
attenuated (large over-
shoot and large offset)
σ1 est
good y Small overshoot, quick

dampening and small
est offset
too small y Undamped oscillations
The method of successive trials in the process has successive steps described
in the following sequence.
1. Both Integral and Derivative components of the PID controller are eliminated (Ti =
max; Td = 0); the controller is in the “manual” (M) operation mode.
2. The PB is fixed at its maximum value (e.g. PB = 200 %).
3. The controller is switched from “manual” (M) to “automate” (A) functioning
mode.
4. A small disturbance is given either at the setpoint or load; the very small gain of
the controller does not importantly influence the response of the control system,
allowing a large offset.
Table 11.2. The influence of the PB and Ti upon the response to disturbance of a feedback control
with PI controller. There are nine combinations of parameters (C23 ). The influence of the P compo-
nent is always stronger than that of the I component.
PB Ti Step response to disturbance, of the classic Observations

(feedback) ACS
large large y There is no influence of the I

component and a very weak
one of the P component
good large The behavior is of a P controller

y
with “good” PB
est
small large The behavior is of a P controller

y with “small” PB
large good y The P behavior is dominant;

although the Ti is good and
the overshoot smaller, can-
celling the steady state error
is not practically obtained
(continued on next page)

Table 11.2. (continued)
PB Ti Step response to disturbance, of the classic Observations

(feedback) ACS
good good y Small overshoot, quick

dampening and 0 offset
small good Because of the dominant P

y action, oscillations appear
large small y Large overshoot, slow at-

tenuation and noise with
small oscillations
good small Small overshoot, quick

y
dampening and small re-
peated oscillations around
the setpoint
t
small small Undamped, amplified oscil-

y
lations
t
Kc
y y y
r r r
t t t
y y y
r r r
t t t
y y y
r r r
t t t
Ti
Fig. 11.8. Combined effect of changing both Ti on the x axis and Kc on the y axis; the response is
given at a setpoint step change [10].
5. With the controller again on M mode, the PB is reduced at half value and the ex-
periment from 4 is repeated in A mode of the controller; the action of the controller
is observed as being stronger than before.
6. PB is reduced continuously repeating the actions from 3 and 4 until undamped
oscillations are obtained; this is the ultimate or oscillation value of the PBu .
7. PB is fixed at PB = 2PBu value.
8. Ti is reduced at half value from the maximum; the operation mode is M.
9. The experiment regarding Ti is continued in a similar procedure as expressed in
the sequence of steps 3–6, until undamped oscillations are obtained (Ti = Tiu );
10. Ti is fixed at = 2Tiu value.
11. Td is increased step by step until the same oscillatory regime is obtained (Tdu );
12. The derivative component is fixed at Td = 0.5 Tdu .
13. PB is reduced in steps of 10 % until the overshoot is the desired one and the damp-
ing is adequate (usually 1/4 decay).
In some cases, this method does not give the expected results and not necessarily be-
cause of its 13 “bad-lucky” number of steps; there are systems of “conditioned” stabil-
ity that become unstable both at too small or too large PBs.
The method of limit of stability

The most popular method of tuning the controller parameters bringing the process to
instability is Ziegler–Nichols [5]. With this method, the process is brought to instability
as before (steps 2–7). The testing of the maintained, undamped oscillations is done as
in Fig. 11.9 and the ultimate period Pu is measured on the diagram.
Changed set point

increase Kc to
provoke Amplified
y oscillations. oscillations
Permanent oscillations
with the same amplitude
Kc = 4 Kc increase Kc decrease Pu = 40 sec

(not again Kc = 5 Ultimate
Kc = 4.5 period Ku = 4.5
enough) (too much)
t(sec)
t0 t1 t2 30sec 40sec
Fig. 11.9. Testing Ku in the neighborhood of the limit of instability.
With the values of Ku and Pu experimentally determined, Ziegler and Nichols proposed
the optimal controller parameters given in Tab. 11.3.
Table 11.3. Optimal controller parameters proposed by Ziegler and Nichols.
Controller structure
Optimal controller parameter
P PI PID
PB 2PBu 2.2PBu 1.7PBu
Ti — 0.83Pu 0.5Pu
Td — — 0.12Pu
A short discussion can be made here.

– It is normal that the proportional band be increased relative to that corresponding
to the oscillation one; based on experiments, Ziegler and Nichols determined as
optimum PB = 2PBu .
– When the integral component is introduced, a plus of instability is added; this is
the reason for increasing the optimum PB by 10 % (to calm a little bit the instability
added by the I component); at the same time, in order to give I more importance,
Ti is decreased to 0.83 from its previously established value (Pu ).
– Considering a PID structure, all controller parameters are a little enhanced to
counterbalance the “laziness” of the process; the importance of the D compo-
nent is much stronger than the I component; that is why the Ti is 4–5 times larger
than Td .
Example 11.1. For a cascade of 3 CSTRs (Fig. 3.12) [6], at the input concentration CA0 =
0.98 kmol/m3 , the steady state values of concentration of A in the three reactors are:
CA1 (0) = 0.4 kmol/m3 , CA2 (0) = 0.2 kmol/m3 , CA3 (0) = 0.1 kmol/m3 ; following the
step change in input from 0.98 kmol/m3 to 1.8 kmol/m3 , the steady state values of
CA in the reactors are changing. The reaction is a first order one in all three reactors,
the retention time in each is τ = 2 min, the ultimate period of oscillation is Pu =
3.63 min and the PBu = 1.56 %. The cascade of reactors has a concentration control
loop measuring the output concentration of A. The optimal settings of the controller,
according to Ziegler and Nichols are given in Tab. 11.4.
Table 11.4. The optimal controller settings in the case of the three CSTR control loop.
P PI PID
PB [%] 3.12 3.6 2.8
Ti [min] — 3.03 1.82
Td [min] — — 0.453
The behavior of the control loop in the three cases of optimal setting is given in
Fig. 11.10.
The method of bringing the process to instability has two major disadvantages:
– it is a slow method, especially when the process has delays of hours or even days;
such an experiment as those described before may last weeks, during which the
process does not work properly;
– it is a dangerous method, since the process cannot be controlled once at instabil-
ity; the nonlinear behavior of the process can cause severe deviations from the
tolerable range of operation.
CA3[kmol/m3]
P
0,11
0,10 PID
PI
0,09
5 10 15 t [min]
Fig. 11.10. Behavior of the concentration control system in the three CSTR cascade.
This is the reason why in the case of slow processes, other more rapid methods are
used; at the same time, the disturbance of the process is a minimum one.
The methods of process response curve and Cohen–Coon [7]

In this case, the control loop is on manual mode and the step input is given by the con-
trol signal. The “process” response is in fact the response of the chain control valve,
process and transducer. The process response curve of a level ACS is given in Fig. 11.11.
The control signal c is changed by 10 % and the result is the increase of the measured
level L with 1 m. On the record of the measured variable L, there are identified sev-
eral constants: the dead time τ , measured from the step application time and finished
when the level begins to increase. The time constant T is delimited by the right ex-
treme of the dead time and the cotangent. The gain is obtained by dividing the change
in the measured variable (ME) by the change of the setpoint r ( Δx
Δr
r
).
Δxr
The “process” gain is given by the ratio Kpr = Δc .
The values recommended by Ziegler and Nichols for optimal settings of the con-
troller are given in Tab. 11.5.
Table 11.5. Optimal settings of the controller based on the process response curve.
P PI PID
PB [%] Kpr ⋅ τ /T ⋅ 100 1.1Kpr ⋅ τ /T ⋅ 100 0.7Kpr ⋅ τ /T ⋅ 100
Ti [min] − 2τ 2.5τ
Td [min] − − 0.4τ
y(t) (m) y(t) (m)

B
2 2
I Δy
1 1
A
O M N t [min] t [min]
0 1 2 3 4 0 1 2 3 4
τ T τ T
r[%]
60
50 t [min]
1 2 3 4
Fig. 11.11. The step response evidences the dead time, time constant and the gain. Left: practical
curve showing the behavior of the level in the tank when the setpoint is changed 10 %. Right: the
common way τ and T are identified on the “process” curve.
The observations made are related to the controllability of the process: if the ratio τ /T
increases, its controllability is worse and the instability of the feedback control loop
increases (Section 6.2). Also, if the process gain is high, the instability increases. In
order to stabilize the process, the PB has to increase together with Kpr ⋅ τ /T. The ratio
between Ti and Td is in the range 4–6. If instead of PB, Kc is used, Kc has to decrease.
The Cohen–Coon method [7] is similar (Fig. 11.12). With the controller on “Manual”
mode, a small Δc is given. On the diagram of the process, all elements are identified:
t0 – the time when Δc was initiated; t2 – the time where the half point of the final
settlement occurs; t3 – time when 63.2 % point of the final process settlement occurs.
The difference is the way the “process” parameters are calculated: the equivalent
dead time is t1 –t0 , the time constant is t3 –t1 , and the gain is Δy/Δc.
t1 = (t2 − ln(2)t3 )/(1 − ln(2)).
According to [7], the optimal settings are given in Tab. 11.6.

Comments can be made in order to explain the form of the calculations formu-
lae. It is obvious that the controller gain is inversely proportional to the process gain,
which is quite normal; at the same time, the process controllability (expressed in the
formulae by the ratio T/τ ) directly influences the controller parameters. If the control-
y Δy
Δy/2 0.632 Δy
1 2 3 4
t0 t2 t3 t (min)
c
Δc
1 2 3 4
t (min)
Fig. 11.12. The process step response gives details about the steady state and dynamics of the pro-
cess.
lability is worse (T/τ is small), the controller gain is smaller; as a general rule of the
thumb, Ti and Td are inverse proportional with T/τ which is normal if we take into
consideration the influence of both parameters on the stability of the loop.
Lambda method
The third frequently used tuning method which is worth mentioning is the Lambda
method of tuning [2, 7] which takes care of the properties of the process as well.
“Lambda tuning” refers to all tuning methods where the control loop speed of re-
sponse is a selectable tuning parameter; the closed loop time constant is referred to
as “Lambda”. The method has as a result a choice of parameters which gives a robust
stability to the control loop.
Figure 11.13 gives the way to determine the process parameters, which is very sim-
ilar to the Cohen–Coon method.
Smuts [7] gives the following advice: Pick a desired closed loop time constant (λ )
for the control loop. A large value for λ will result in a slow control loop, and a small
λ value will result in a faster control loop. Generally, the value for λ should be set
between one and three times the value of T. Use λ = 3 ⋅ T to obtain a very stable control
loop. If you set λ to be shorter than T, the advantages of Lambda tuning listed above
soon disappear. Calculate PID controller settings using the equations below:
Table 11.6. Optimal stings calculated through the Cohen–Coon method.
www.opticontrols.com Controller Gain Integral Time Derivative Time
1.03 T
PB Controller Kc = ( ) ( + 0.34)
gp τ
0.9 T T + 0.092τ
PI Controller Kc = ( ) ( + 0.092) TI = 3.33τ ( )
gp τ T + 2.22τ
1.24 T T − 0.324τ
PD Controller Kc = ( ) ( + 0.129) TD = 0.27τ ( )
gp τ T − 0.129τ
1.35 T T + 0.185τ T
PID Controller Kc = ( ) ( + 0.185) TI = 2.5τ ( ) TD = 0.37τ ( )
gp τ T + 0.611τ T + 0.185τ
(Noninteracting)
y(t)
yst
c(t)[%]
Δy
60 0,63(yst–y0)
Δc y(0)=y0
50
t 0
τ T
Fig. 11.13. Step response experiment for determining the controller parameters using Lambda
method; c is the controller output and y is the process variable.
Controller gain (Kc ):

Δxr [%]
Kc = T/(Kpr ⋅ (λ + τ )); Kpr = . (11.11)
Δc[%]
Integral time (Ti ):
Ti = T. (11.12)
Derivative time (Td ):

Td = zero. (11.13)
Olsen and Bialkowski [2] give the same values for the calculation of the controller
parameters.
The specialists from VisSim [13] give some practical advice which we found ap-
propriate to be mentioned in this book.
The aforementioned methods (e.g. Cohen–Coon, Ziegler–Nichols), calculate val-
ues which are approximately in the right range and can be used with success. The au-
thors experimented several times with these methods and the tuning was quite appro-
priate. But usually, additional manual tuning is required. Most tuning is usually done
by trial and error. The authors mentioned above proposed a method of approaching
trial and error tuning which of course can be improved by any engineer in the field.
1. At the beginning, a small step in the manipulated variable should be done and the
effect on the controlled variable response should be observed: the direction and
size of the change (to be able to calculate the sign and process gain); the stabilizing
time of the response when a step change in load or setpoint is made (to calculate
the process time constant – one third to one fifth of the time to settle after the
change).
2. With the controller on Manual mode, the “set-up” parameters, e.g. the limits on
the manipulation, and measurement, the direction of control action (a reverse
acting controller is required when the process gain is negative) should be estab-
lished.
3. Switch off the integral and derivative action in the controller by setting the Ti to
maximum and the Td to zero. Set the controller gain to a relatively small value (say
Kc at 0.5 or PB at 200 %). This initial value can be higher if the process gain is low
and smaller if the process gain is high.
4. With the controller on Automatic mode, we should make a small change in the
setpoint and observe the controlled variable’s response: if the response is oscil-
latory one has to reduce the controller gain, if it is slow and weak, one has to
increase it. Changes in the controller gain by a factor of between 2 and 10 are to
be done, depending on the knowledge about the process and the limitations we
have concerning the safety. The action should be repeated (with the controller on
Manual when changing the gain or PB) until a response with a decay ratio from
one quarter to one half is obtained.
5. At this point, one should reduce the controller gain by around 25 % to better sta-
bilize the control loop and to prepare the introduction of the I and D components.
Now set the integral time constant (if integral action is needed) to a value of the
order of magnitude or even to the value of the process time constant.
6. Modify the Ti until a one quarter decay ratio is obtained. If the response is too
oscillatory, then increase Ti , if it is too slow, reduce the Ti . Recommended changes
in the Ti are with a factor of 2.
7. If derivative action is needed (slow processes), the Td should be chosen at around
one quarter the process time constant. The action from point 4 is repeated and
we should observe the response adjusting the constant as desired. Derivative ac-
tion is very sensitive and sometimes unpredictable. Examples of “difficult to tune
processes” will be given afterwards.
8. At the end, the controller gain should be changed by small amounts until we ob-
tain the desired controlled response.
Theoretical methods of tuning controller parameters [13–15]

Sometimes, especially during the design process of an industrial plant, there is no
physically present installation on which we can experiment. In other situations, es-
pecially in potentially dangerous processes, one cannot simply experiment and the
controller parameters should be calculated otherwise. There are theoretical methods

close at hand.
Method based on Routh stability criterion

Considering the control system from Fig. 11.14,
HprD (s) HC (s)HAD (s)Hpr m (s)

Y(s) = D(s) + R(s) (11.14)
1 + HT (s)HC (s)HAD (s)Hpr m (s) 1 + HT (s)HC (s)HAD (s)Hpr m (s)
Y(s) HprD (s)

= and (11.15)
D(s) 1 + HT (s)HC (s)HAD (s)Hpr m (s)
Y(s) HC (s)HAD (s)Hpr m (s)

= . (11.16)
D(s) 1 + HT (s)HC (s)HAD (s)Hpr m (s)
D(s)
HprD(s)
+
R(s) + E HC(s) C HAD(s) Hprm(s) Y(s)
Σ
– +
Xr(s)
HT(s)
Fig. 11.14. Control system subjected to a disturbance.
The roots of the polynomial 1 + HT (s)HC (s)HAD (s)Hpr m (s) define the stability of the
control system (Chapter 2, Section 2.15). The characteristic equation,
1 + HT (s)HC (s)HAD (s)Hpr m (s) = 0 (11.17)
and considering HT (s) = HAD (s) = 1 in order to simplify the calculation, is
1 + HC (s)Hpr m (s) = 0. (11.18)
If the equation (11.17) has at least one root in the right half-plane s, the closed system
is unstable.
Routh stability criterion

Consider a closed-loop transfer function
b0 sm + b1 sm−1 + ⋅ ⋅ ⋅ + bm−1 s + bm B(s)

H(s) = = , (11.19)
a0 sn + a1 sn−1 + ⋅ ⋅ ⋅ + an−1 s + an A(s)
where the ai ’s and bi ’s are real constants and m ≤ n. An alternative to factoring the
denominator polynomial, Routh’s stability criterion, determines the number of closed
loop poles in the right half-plane s.
Algorithm for applying Routh’s stability criterion:

1. Calculate the roots of A(s) at the origin from the polynomial
a0 sn + a1 sn−1 + . . . + an−1 s + an = 0, (11.20)
where a0 ≠ 0 and an >0.

2. If the order of the resulting polynomial is at least two and any coefficient ai is zero
or negative, the polynomial has at least one root with nonnegative real part. To
obtain the precise number of roots with nonnegative real part, proceed as follows.
Arrange the coeficients of the polynomial, and values subsequently calculated
from them as shown below:
sn a0 a2 a4 a6 ...
sn−1 a1 a3 a5 a7 ...
sn−2 b1 b2 b3 b4 ...
sn−3 c1 c2 c3 c4 ...
sn−4 d1 d2 d3 d4 ...
... ... ... ... ... ...
s2 e1 e2
s1 f1
s0 g0
where
a1 a2 − a0 a3
b1 =
a1
a1 a4 − a0 a5
b2 =
a1
a1 a6 − a0 a7
b3 =
a1
......
generated until subsequent coefficients are 0. Similarly,

b1 a3 − a1 b2
c1 =
b1
b a − a1 b3
c2 = 1 5
b1
b1 a7 − a1 b4
c3 =
b1
⋅⋅⋅⋅⋅⋅
c1 b2 − b1 c2
d1 =
c1
c b − b1 c3
d2 = 1 3
c1
until the n-th row of the array has been completed. Missing coefficients are re-
placed by zeros. The resulting array is called the Routh array. The powers of s are
not considered to be part of the array. We can think of them as labels. The column
beginning with a0 is considered to be the first column of the array. The Routh ar-
ray is seen to be triangular. It can be shown that multiplying a row by a positive
number to simplify the calculation of the next row does not affect the outcome of
the application of the Routh criterion.
(3) Count the number of sign changes in the first column of the array. It can be shown
that a necessary and sufficient condition for all roots of (11.19) to be located in the
left half-plane is that all the ai are positive and all of the coefficients in the first
column are positive.
Example 11.2. Considering the 3 CSTRs cascade system (Fig. 3.12) [6], we want to de-
termine the condition of stability of a concentration ACS with a P controller.
The transfer function of the process is
3
( 12 ) CA3 (s)
Hpr m (s) = = (11.21)
(s + 1)3 CA0 (s)
and that of the controller is
Hc (s) = Kc . (11.22)
The characteristic equation is

s3 + 3s2 + 3s + 1 = 0. (11.23)
Routh’s matrix is
1 3
[ ]
[ 3 1 ]
[ ]
[ 9−1 8 ] (11.24)
[ = 0 ]
[ 3 3 ]
[ 8 ]
=1 3
8
[ 3 ]
and does not present any sign change, meaning the system is stable in open loop.
Considering (11.18), the stability of the closed loop is given by the condition
3
( 12 )
1 + Kc = 0, (11.25)
(s + 1)3
which becomes
Kc
s3 + 3s2 + 3s + (1 + ) = 0. (11.26)
8
Routh’s matrix is
1 3
[ ]
[ 3 1+
Kc ]
[ 8 ]
[ ]. (11.27)
[ 9−(1+
Kc
) ]
[ 8
0 ]
[ 3 ]
Kc
[ 1+ 8 ]
The only term capable of becoming negative and thus bringing instability to the closed
loop is
K
9 − (1 + 8c )
< 0, (11.28)
3
and the condition means
Kc
(8 − 8
)
< 0 and then Kc > 64. (11.29)
3
Then, for a controller gain Kc < 64, the ACS is stable. In order to have a smaller offset,
we may choose Kc = 64.
The method of direct substitution

The technique consists in replacing s = jω in the characteristic equation and to deter-
mine ω and the other controller parameters which satisfy the characteristic equation.
Example 11.3. Consider the same system of 3 CSTRs with the concentration control
loop and a P controller as in the previous examples. The characteristic equation is
Kc
s3 + 3s2 + 3s + (1 + ) = 0. (11.30)
8
Substituting s with jω , the characteristic equation becomes
Kc
− jω 3 − 3ω 2 + 3jω + 1 + =0 (11.31)
8
Kc
(1 + − 3ω 2 ) + j(3ω − ω 3 ) = 0. (11.32)
8
This means
3ω − ω 3 = 0 from which ω = ±√3

Kc
1+ − 3ω 2 = 0
8
which gives Kc = 64. (11.33)
The value of the gain at the limit of stability is 64, the same value as that obtained
with the previous method. Regarding s, considering that the real part is = 0, the roots
of the equation are situated on the imaginary axis and the ω obtained is the crossover
frequency, that of oscillation, ωosc . The oscillation period, Posc = ω2π = 3.64 min, is
osc
the same as obtained in Example 11.1.
Method based on Nyquist stability criterion [13, 14]

The Nyquist stability criterion mentions: the condition for a control system to be stable
is that the number of rotations of the vector’s H(s) hodograph around the point (−1, j0)
(Fig. 11.15) is equal with the number of poles of the transfer function H(s) placed in the
right half-side of the plane s. H(s) is the transfer function of the open loop.
Im[H(jω)]
ω=∞ ω=0
(–1, 0j) Re[H(jω)]
Fig. 11.15. Nyquist plot.
The algorithm is as follows.

1. The open loop transfer function H(s) is constructed on the path r → xr .
2. The number of poles of the function 1+H(s) in the right half-plane is determined.
3. The hodograph of H(jω ) with values ω ∈ (0, ∞) and ω ∈ (0, −∞) is plotted.
4. The number of encirclements P of (−1, j0) is counted to see if the system is stable.
Example 11.4. The pressure in the system of two vessels in series (Fig. 11.16) is con-
trolled with a P controller. The maximum Kc to assure the stability of the loop is to be
determined.
PC
ΔF
F Patm=0
P1 P2
H4(s)
ΔF 2
20s+1
H1(s) H2(s)
+ 2.2 3 0.8 ΔP2
Kp
– 2s+1 15s+1 20s+1
H3(s)
H5(s)
0.16
Fig. 11.16. Pressure ACS with (a) two vessels in a series; (b) block scheme of the ACS.
The data are as follows.

– The control valve is a first order element with Tcv = 2 s and a gain Kcv =
0.022 Nm3 /min/bar.
– The first vessel has a time constant Tv1 = 15 s and an increase of 10 % of the
nominal flow (Fn = 2 Nm3 /min) produces an increase of pressure of 0.6 bar. The
second vessel has a time constant Tv2 = 20 s and an increase of 1 bar in the first
vessel produces a plus of pressure in the second one of 0.8 bar. On the channel
ΔF → p2 , an increase by 10 % of the outflow produces a decrease of pressure of
0.4 bar and with a time constant of 20 s. The pressure transducer is pneumatic, a
proportional element with the output range 0.2 ⋅ ⋅ ⋅ 1 bar and measurement range
0 ⋅ ⋅ ⋅ 5 bar.
The transfer functions are

0.022 Nm3 /min
Kcv 0.01 bar 2.2
Hcv (s) = = = (11.34)
Tcv s + 1 2s + 1 2s + 1
0.6 bar
Kv1 0.1⋅2 Nm3 /min 3
Hv1 (s) = = = (11.35)
Tv1 s + 1 15s + 1 15s + 1
0.8 bar
Kv2 0.8
Hv2 (s) = = 1 bar = (11.36)
Tv2 s + 1 20s + 1 20s + 1
0.4bar
0.1⋅2 Nm3 /min 2
HD (s) = = (11.37)
20s + 1 20s + 1
1–0.2 bar
HT (s) = = 0.16. (11.38)
5–0 bar
Applying the algorithm:
1. The open loop transfer function is
2.2 3 0.8
H(s) = Kc 0.16. (11.39)
2s + 1 15s + 1 20s + 1
2. The function has no pole in the right half-plane and thus P = 0.
3. The hodograph of the function is presented in Fig. 11.17.
Im[H(jω)]
ω=∞ ω=0 ω=0

(–1, 0j) Re[H(jω)]
ωk K p1 K p1
Fig. 11.17. The hodograph of the open loop

transfer function H(s).
For stability, it is demanded that there is no encirclement of the point (−1, j0). The
conditions for that are
Im[H(jω )]|ωosc = 0
and
Re[H(jω )]|ωosc > −1 (11.40)
0.844(1 − 370ω 2 )Kc

Re[H(jω )] =
(1 − 370ω 2 )2 + (37 − 600ω 2 )2 ω 2
and
0.844(37–600ω 2 )ω Kc
Im [H (jω )] = 2 2
(11.41)
(1 − 370ω 2 ) + (37 − 600ω 2 ) ω 2
37
From Im[H(jω )]|ωosc = 0 results ω1 = 0 and ω2 = ±√ 600 ; from these values the one
verifying Re[H(jω )]|ωosc > −1 is chosen:
0.844(1–370ω 2 )Kc 0.844Kc 37

Re[H(jω )] = 2
= 37
> −1 (ω2 = √ ).
(1 − 370ω 2 ) 1- − 370 600 600
The result is Kc < 25.8; (11.42)
1
the period of oscillation is Posc = Pu = = 0.64 min. (11.43)
37
2π √ 600
Method based on the criterion of quarter amplitude decay ratio (QADR)

The conditions for undamped permanent oscillations are (11.3) and (11.4). In order to
have quarter decay ratio oscillations, the control loop behaves in such a way that at
every circulation of the information inside the loop (Fig. 11.2), its steady state open
loop gain is 12 .
Condition (11.3) stays the same:
φC + φAD + φPr + φT = −180∘ ,
and from it, the crossover frequency ωosc is calculated. Equation (11.4) becomes
MC MAD MPr MT |ωosc = 0.5. (11.44)
The algorithm for calculation of the controller’s parameters is:

(a) The controller has P structure:
1. ωosc is calculated from (11.3);
2. ωosc is replaced in the formula (11.44) and Kc is deduced.
(b) The controller has PI structure:
1. Ti is chosen for the magnitude of the maximum value of time constants of the
elements in the control loop (the Cohen–Coon method allocates Ti = T);
2. ωosc is calculated from (11.3);
3. Kc is deduced from (11.44).
(c) The controller has PID structure:
1. Ti is chosen for the magnitude of the maximum value of time constants of the
elements in the control loop (the Cohen–Coon method allocates Ti = T);
2. Td is chosen from the phase margin of +30∘ or +45∘ to assure the stability of
the ACS
1
φc = tan−1 (Td ωosc − ) = +30∘
Ti ωosc
3. Kc is deduced from (11.44).
Example 11.5. Consider a flow ACS, in a pipeline (Fig. 11.18).

The characteristics of the elements of the control loop are
l/min
Tpr = 0.5 s and Kpr = 1
l/min
mA
TT = 0.2 s and KT = 2.5
l/min
l/min
TAD = 3 s and KAD = 1.3 .
mA
Fset
i
F
Fig. 11.18. Flow ACS on a pipeline.
The controller parameters are to be determined using the QADR method.

All elements in the control loop are first order capacities. The expressions defining
the first order capacity element are
Kj
Mj (ω ) = and φj (ω ) = −tan−1 (Tj ω ) (11.45)
√1 + Tj2 ω 2
(a) Consider a P controller with Mc (ω ) = Kc and φc (ω ) = 0. Applying the expres-

sions above in (11.3)
−1
360
(− tan Tpr ω − tan−1 TT ω + 0 − tan−1 TAD ω ) = −180∘ ,
2π
and replacing the values one obtains a transcendental equation which can be numer-
ically solved (halving interval, Newton–Raphson etc.). Other very simple solution is
that of substituting guessed values directly into the equation. The range in which we
choose the guessed values is one including the corner frequency at which the mod-
ule of a capacity decreases importantly. The corner frequency, ωc , for the system de-
scribed is
2π
ωc = , where Tmax = TAD = 3 s.
Tmax
The equation (11.3) becomes
360
(− tan−1 0.5ω − tan−1 0.2ω + 0 − tan−1 3ω ) = −180∘ (11.46)
2π
and the solution has to be searched for in the range 0.01 ⋅ ⋅ ⋅ 10 rad ⋅ s−1 . Applying the
trial values one obtains
ω [rad ⋅ s−1 ] φpr [grd] φT [grd] φc [grd] φAD [grd] ∑ φi
0.1 −2.9 −1.1 0 −16.7 −20.7

1.0 −26.56 −11.3 0 −71.56 −109.44
10.0 −78.69 −63.43 0 −88.09 −230.21
3.5 −60.25 −34.99 0 −84.55 −179.8
ωosc = 3.5 rad ⋅ s−1 meaning that the loop has an oscillation at every 1.8 s.
From (11.44)
1 2.5 1.3
Kc = 0.5,
√1 + 0.5 3.5 √1 + 0.2 3.5
2 2 2 2 √1 + 32 3.52
Kc opt = 4.0 or PBopt = 25 %.
(b) Consider a PI controller at which
1 1
MPI (ω ) = Kc √1 + and φPI (ω ) = − tan−1 . (11.47)
Ti2 ω 2 Ti ω
Choosing Ti = 5s, we can find the crossover frequency ωosc
ω [rad s−1 ] φpr [grd] φT [grd] φc [grd] φAD [grd] ∑ φi
0.1 −2.9 −1.1 −63.4 −16.7 −84.1

1.0 −26.56 −11.3 −11.3 −71.56 −20.75
10.0 −78.69 −63.43 −1.14 −88.09 −231.4
3.3 −58.78 −33.42 −3.46 −84.23 −179.9
and we can approximate

ωosc = 3.3 rad s−1 .
From (11.21)
1 2.5 1 1.3
Kc √ 1 + 2 2 = 0.5
√1 + 0.52 2.12 √1 + 0.22 2.12 5 2.1 √1 + 32 2.12
results
Kc opt = 3.52 or PBopt ≈ 28.3 %
and
Ti opt = 5 s.
(c) Consider a PID controller at which
1 2 1
MPID (ω ) = Kc √ 1 + (Td ω − ) and φPID (ω ) = − tan−1 (Td ω − ) . (11.48)
Ti ω Ti ω
Choosing Ti = 3 s and calculating Td from the phase margin condition
1
φc = tan−1 (Td ωosc − ) = +30∘ ,
Ti ωosc
and in the first approximation considering ωosc = 3.5s−1 without the influence of I and
D components of the controller.
1
tan 30∘ +
Td = 3 ⋅ 3.5 = 0.148 s.
3.5
󸀠
Taking into consideration the influence of I and D, the real crossover frequency ωosc >
ωosc above approximated. This induces an equivalent module condition for (11.3):
∏ Mi (ω )|ω 󸀠 = 0.5 is equivalent with (11.49)

osc
i
∏ Mi (ω )|ωosc = 1.0. (11.50)

i
Thus,
2
1 2.5 1 1.3
Kc √ 1 + (0.148 ⋅ 3.5 − ) = 1.0
√1 + 0.52 3.52 √1 + 0.22 3.52 3 ⋅ 3.5 √1 + 32 3.52
gives a set Kc opt = 6.5 or PBopt ≈ 15 %
Ti opt = 3 s
Td opt = 0.15 s.
If we examine Tab. 11.3, we observe these values are confirmed orientatively by the
Ziegler–Nichols method as well.
Actually, the small value of Td opt , which cannot be practically fixed in the con-
troller, shows that its value should be 0 instead. As we shall see in the next chap-
ter, and as was already shown in Chapter 8, “fast” processes such as the flow in the
pipeline do not need a D component of the controller.
At the end of this section, we want to mention that there are processes that are dif-
ficult to tune. For these, the rules detailed previously do not give appropriate results.
11.5 Tuning controllers for some “difficult to be controlled”

processes [17, 18]
An “easy to be controlled” process control loop is one which satisfies the following
characteristics imposed to the controlled process when a disturbance on the process
occurs:
1. the process responds quickly without a significant delay;
2. it goes directly towards the new steady state without going first in the opposite
direction;
3. it settles to the new steady state.
In this case, the controllability is a good one (see Section 6.2) and the ACS easily con-
trols the process (Fig. 11.19).
y
y
r
t
0
0 r
t
(a) (b)
Fig. 11.19. Step responses for “easy to be controlled” processes.
There are three classes of processes which are difficult to be controlled:

1. processes with dead time (see Sections 4.7 and 4.8) for which the transfer function
has a e−τ s term;
2. processes with inverse response where the transfer function has a Right Half-
Plane (RHP) zero (with two capacities in parallel, each with inverse action upon
the process output, one faster than the other – see Section 4.4);
3. processes presenting open-loop instability where the transfer function has an RHP
pole.
These types of behavior are depicted in Fig. 11.20.
y y y
r r
t t t
(a) (b) (c)
Fig. 11.20. Step response for “not easy to be controlled” processes.
For processes with a dead time, the problem can be solved using the experimental or
theoretical methods introduced before. If the process is not controllable, some other
ACSs (cascade, feed forward etc.) are used.
1. For processes with inverse response the solution can be given by a properly tuned
PID controller. There are other methods too to deal with this problem, either to
approximate the inverse-response with a dead time and capacity behavior, or to
compensate the inverse response; the last method gives the best results and it is
largely described in [17, 18].
2. In the case of open-loop unstable systems, the transfer function has at least one
RHP pole. It is obvious that when disturbing the process in any direction the sys-
tem goes to its limit (e.g. an exothermic thermally unstable reactor [19]). The sys-
tem can be stabilized (details are given in [19]) using a properly tuned controller.
Example 11.6. Consider the transfer function of the open loop without controller
K
H(s) = (11.51)
Ts − 1
and a proportional controller in the loop. Obtain the range of Kc for which the closed-
loop system is stable.
The characteristic equation is
KKc
1+ = 0 which gives (11.52)
Ts − 1
Ts − 1 + KKc = 0 and (11.53)
1 − KKc
s= is the root. (11.54)
T
If we want the root to be negative (and the closed loop stable), the condition is
1
Kc > .
K
When it is noticed that with all proper tuning of the controller parameters, the ACS is
still unstable, one has to pass to another level of complexity, that of unconventional
or advanced control which is the subject of the next book in the series.
11.6 Problems
(1) A non-isothermal CSTR has a temperature control system. Determine the structure
and optimal values of a temperature controller.
Knowing dynamic and steady state properties
– of the jacket: time constant Tag = 4 min, transport dead time in the jacket τag =
∘
0.5 min, Kag = 0.63 m3 C/h ;
∘
– of the CSTR wall: Tw = 4 min, Kw = 0.45 ∘ C ;
C
∘
– of the reaction mass in the interior, Tr = 26 min; Kr = 0.8 ∘ C ;
C
3
– of the actuator, KAD = 3.5 mmA/h ;
– of the transducer, KT = 2 mA
∘ C , where the delays of the actuator and transducer are
considered 0.
(2) A distillation column (Fig. 11.21) has 8 trays in its concentration section. As is
shown, a concentration control system collects the sample from the tray 3 and ma-
nipulates the reflux flow.
Each tray behaves as a capacity and has a time constant of Tt = 0.1 min and a gain
% mol
factor Kt = 1.1 kmol/min . The actuator and transducer have a total gain of 1 kmol/min
mA
mA
% mol
and negligible delay.
The crossover frequency, ωosc has to be determined. How is this frequency modi-
fied when the concentration sample is collected on tray 8? What is the optimal value
of the P controller gain of the control loop in both situations?
4m
(3) The speed of the conveyor belt (Fig. 11.22) is v = min . The weight transducer is
placed at 8 m distance from the slide valve of the ACS. The crossover frequency in
the conditions of an integral control and the integral time of the controller are to be
calculated for the QDAR criterion.
(4) Having a two CSTR cascade with a concentration ACS (Fig. 11.23), using Nyquist
criterion, determine the maximum controller gain for which the loop is stable.
The data are the following:
m3
V1 = V2 = 1 m3 , F 1 = F 2 = Fi = 4 ;
h
the reaction is isothermal with first order kinetics and the rate constant is k = 2 h−1 .
The concentration transducer has the measurement range 11.8 kmol m3
and the output
R
D
3
AC
8
F
Fig. 11.21. Distillation column with a concentration ACS.
l=8m
C
Fig. 11.22. Conveyor belt with a flow ACS.
signal in the range 4–20 mA; the delay of the transducer is given by the time constant
TT = 2 min. The control valve is linear and works with unified signal 4–20 mA and
3
controls a flow between 0 and 4 mh .
(5) The components of a heater control system are shown in Fig. 11.24. The time con-
stants of the actuator, process and transducer are 5, 20, and 100 s. The improvement
of the performance of the ACS is proposed introducing a supplementary sheath of the
resistor which doubles its time constant, allowing a larger controller gain.
Fi F1
Vi V2
k k
F2
AC
Fig. 11.23. Two CSTR cascade with concentration ACS.
D
r KAD + + KPR y
Kc
+ 5s+1 20s+1
–
1
100s+1
Fig. 11.24. Temperature ACS of a heater.
Draw the diagram of the ACS response to a reference temperature change of 10 % in

both cases.
(6) The maximum value of a P controller using Routh’s criterion for a control loop
with the following characteristics has to be determined. One first order capacity with
T1 = 1 min and K1 = 2; six capacities in series each with T2 = 1 min, K2 = 1; one
control valve behaving capacitive with Tcv = 2 s, Kcv = 1.5.
(7) A step response experiment on a heating process gives the following data:
Time (min) 0 1 2 3 4 5 6 7 8 9 20 30
Response ( ∘ C) 0 0 0 4 10 19 27 35 41 45 48 50
The input flow variation is of 2 flow units. Determine, using all methods available, the
crossover frequency and the maximum P controller gain. The optimal parameters of
a PID controller using the process control curve, Cohen–Coon and Lambda methods
have to be computed. Discussion is required.
(8) The temperature in a continuous CSTR is controlled by an ACS with the following
characteristics:
The transducer has the measuring range 100–200 ∘ C and an output standard sig-
nal 2–10 mA. The controller is PI and has a PB = 25 % and Ti = 3 min, having both
input and output signals in the range 2–10 mA The control valve has a Kv = 4, a lin-
ear characteristic, an input signal in the range 2–10 mA and s constant pressure drop
Δpv = 0.25 bar. Cooling water passes through the valve.
If the control signal is 6 mA at error e = 0, what flow passes through the valve?
If a step change of the reactor temperature of 5 ∘ C occurs, what will be the immediate
effect on the output of the controller and on the water flow value? What happens if the
tuning is done with PB = 100 % and Ti = 10 min?
(9) The ACS of a heat exchanger has the following transfer functions:
0.047 m/bar m3 /min
HCV (s) = ⋅ 112
0.083s + 1 m
∘ 3
2 C/(m /min)
Hpr (s) =
(0.017s + 1)(0.432s + 1)
0.12 bar/ ∘ C
HT (s) = .
0.024s + 1
Using the direct substitution method, show that the limit gain factor of the P controller
is Kc = 12 and the period of oscillation is Tu = 0.36 min.
(10) Determine the same parameters as in Problem (9), using the Nyquist method.
References
[1] Agachi, S., Automatizarea proceselor chimice, Ed. Casa Cartii de Stiinta, Cluj-Napoca, 1994,
p. 162.
[2] Olsen, T., Bialkowski., B., Emerson Process Management, Lambda Tuning as a Promising Con-
troller Tuning, Method for the Refinery, prepared for Presentation at 2002 AIChE Spring Na-
tional Meeting in New Orleans, March 2002, Session No. 42 – Applications of Control to Refin-
ing.
p. 163.
[4] ibidem, p. 166.
[5] Ziegler, J. G., Nichols, N. B., Optimum settings for automatic controllers, Trans. ASME, (1942),
759–768.
[6] Luyben, W., Process Modeling, Simulation and Control for Chemical Engineers, McGraw Hill,
N.Y., 1996, Chap. 10.
[7] Smuts, J., Control Notes, Reflections of Process Control Practitioner, Cohen Coon Tuning Rules,
http://blog.opticontrols.com/archives/383, 2010–2013, March 24, 2011.
[8] Ogunnaike, B., Harmon Ray, W., Process Dynamics, Modeling and Control, Oxford University
Press, 1994, Chapter 15, p. 520.
[9] Skogestad, S., Probably the best simple PID tuning rules in the world, Annual AIChE Meeting,
Reno, NV, paper 276h, 6 Nov., 2001.
[10] Rivera, D. E., Morari, M., Skogestad, S., Internal model control. 4. PID controller design, Ind.
Eng. Chem. Res. 25 (1), (1986), 252–265.
[11] Buckbee, G., Best Practices for Controller Tuning, ExperTune Inc., 2009.
[12] Rice, R., PID Tuning Guide, A Best – Practices Approach for Tuning and Understanding PID Con-
trollers, Second Edition, Control Station Inc., 2013.
[13] http://www.online-courses.vissim.us/Strathclyde/tuning_pid_controllers.htm
p. 170.
[15] Ahmad, A., Somanathi, M., PID controller tuning for integrating processes, ISA Transactions
49, (2010), 70–78.
[16] O’Dwyer A., Handbook of PI and PID Controller Tuning Rules, 2nd ed. London, Imperial College
Press, 2006.
[17] Ogunnaike, B., Harmon Ray, W., Process Dynamics, Modeling and Control, Oxford University
Press, 1994, Chapter 17.
[18] Waller, K., Nygardas, C., On inverse response in process control, I&EC Fund, 14, (1975), p. 221.
[19] Agachi, P., Automatizarea proceselor chimice, Ed. Casa Cartii de Stiinta, Cluj-Napoca, 1994,
p. 241.
12 Basic control loops in process industries
Chemical processes are generally controlled through five parameters: flow, pressure,
level, temperature and concentration. There are also other parameters which can be
controlled, but they are not very frequently met: distance between electrodes, current
and inter-electrode voltage (all in electrochemical processes), rotation speed, torque,
weight or turbidity etc.
The present chapter focuses only on the main parameters mentioned above: flow,
pressure, level, temperature and concentration. Each of the controlled parameters has
particularities which impose a certain control solution.
12.1 Flow automatic control systems
Measuring and controlling the flow is important due to the importance of the mass
balance in process industries. It is extremely important to have control of the material
consumption/production in all processes of reaction or separation. It is important not
only for the stoichiometry of a reaction or the appropriate separation of compounds,
but also for the economy of the process which is very often determining.
Different ways of controlling the flow are depicted in Fig. 12.1.
The flow can be controlled either by choking (strangling) the material vein
(Fig. 12.1a), modifying the centrifugal or dosage pump motor speed by a Variable
Frequency Drive (VFD) (Fig. 12.1b, c, d), modifying the number of strokes of the me-
tering (piston) pump (Fig. 12.1e), or modifying the rotation speed of the motor of a
conveyor belt or of a screw pump (Fig. 12.1f, g).
Flow is a momentum transfer process. In most cases, the liquid flow control system
manipulates the material flow modifying the pressure drop on the transport line, using
a control valve. The characteristic of the centrifugal pump is given in Fig. 12.2.
The characteristic of a centrifugal pump and of the pipeline can be deduced from
[1] and are given by equations (12.1).
pcp = K1 n2 + K2 nF + K3 F 2
pp = p0 + KF 2 , (12.1)
where pcp is the centrifugal pump head pressure [N/m2 ], pp – the pressure character-
istic of the pipeline [N/m2 ], p0 – the output pressure of the pump [N/m2 ], n – the rota-
tional speed of the motor [rpm], F – the fluid flow rate [m3 /s]. K, Ki are constants.
When the pressure drop on the pipeline increases, the outflow decreases from the
nominal value FN to F1 . To return to the nominal flow rate, it is necessary to decrease
FC M FC
(a) (b)
FC
TB FC
(c) (d)
FC M FC
(e) (f)
FC
(g)
Fig. 12.1. Automatic control systems for solid or liquid flow.
1
N
P1
2
PN
P2
Pe
Fig. 12.2. Steady state characteristics of the

F1 FN F2 F centrifugal pump and of attached pipeline.
the pressure drop on the pipeline by opening the control valve. Thus, the pressure
drop on the pipe decreases and the curves 1 and N overlap.
When the flow rate control is done by modifying the rotational speed n, (Fig. 12.3),
the characteristics of the pump change with ni .
1
N
n1 Fig. 12.3. Steady state characteristics of the

n2 nN
centrifugal pump and of attached pipeline when
F1 FN F2 F the flow is controlled by the rotational speed.
With the same pipeline characteristic, modifying n in the range n1 ⋅ ⋅ ⋅ n2 , one may
change the flow in the range F1 ⋅ ⋅ ⋅ F2 .
The momentum transfer process is a special case in which the flow is both the con-
trolled and the manipulated variable. As a consequence, apparently, the steady state
characteristic is a straight line with a slope of 45∘ and the steady state gain of the pro-
cess is 1. The situation is a little bit more complicated since the flow is not manipulated
by itself (Fig. 12.1a) but through the pressure drop on the pipeline (Fig. 12.2).
The dynamic characteristic is given by the law of momentum conservation (3.16):
ρ v2 lp ρ v2 d
ρ ghAp − (∝ +λ ) Ap = (Ap lp ρ v)
2 dp 2 dt
and if on the left-hand side of the equation we replace the first term with Ap Δp, and
F l
then v = Ap
, m = Ap lp ρ , ∝ +λ dp = C, the equation becomes
p
ρ F2 Ap lp ρ dF
Ap Δp − C 2
Ap = . (12.2)
2Ap Ap dt
Deriving from (12.2), one can deduce the steady state characteristic
ρ F2
Ap Δp − C A = 0, (12.3)
2A2p p
2
F = Ap √ Δp. (12.4)
Aρ
The steady state characteristic F = f (Δp) is nonlinear and is shown in Fig. 12.4.
Equation (12.2) is first order nonlinear due to the F 2 term and in order to describe
the dynamics of the flow using a capacitive behavior one has to linearize around the
nominal point of operation. It is quite acceptable to do this approximation because the
control system, if it is properly tuned, should not allow deviations from the nominal
flow larger than ±10 %.
Fn
Δpn Δp Fig. 12.4. Steady state characteristic of the flow.
The linearization is done using Taylor’s expansion formula (equation (3.6)) around the
steady state point of operation (nominal point), x0 :
1 df 1 d2 f
f (x0 + Δx) = f (x0 ) + |x0 Δx + | Δx2 + ⋅ ⋅ ⋅ . (12.5)
1! dx 2! dx2 x0
Because Δx is a very small quantity, the terms with superior powers to 1 are negligible,
so we can approximate the function with
1 df
f (x0 + Δx) ≈ f (x0 ) + | Δx. (12.6)
1! dx x0
One cannot say the Δx has to be chosen 0.01 m, 1 m3 /h, or 10 ∘ C and these values are
small enough to allow the linearization. All depends on the system under discussion:
if we need to approximate an infinitely small element in an electrolysis DeNora amal-
gam cell of 22 m, the Δx infinitely small element can be the dimension of an anodic
frame of 0.8 m; if the temperature in a CSTR is of 80 ∘ C, Δx can be of 8 ∘ C.
Thus, F 2 from equation (12.2), can be expressed as
d(F 2 )
F 2 = Fn2 + | (F − Fn ) = Fn2 + 2Fn (F − Fn ) = 2Fn F − Fn2 , (12.7)
dF Fn
where Fn is the nominal operating flow desired as controlled variable value.
Thus, (12.2) becomes
ρ ρ F 2 Ap lp ρ dF
Ap Δp − C 2Fn F + C n = . (12.8)
2Ap 2Ap Ap dt
Arranged in another form,
lp ρ Fn dF Fn
+F = Δp, (12.9)
2Ap Δpn dt 2Δpn
it depicts a capacitive behavior with a time constant and gain factor of the process
lp ρ Fn Fn
Tpr = and Kpr = . (12.10)
2Ap Δpn 2Δpn
Characteristics of the other elements in the control loop

Transducer
The flow transducer usually has a steady state linear characteristic (Chapter 7). If the
flow is measured with an orifice plate sensor + differential pressure transmitter, the
characteristic can be nonlinear if the transducer does not have a square root extrac-
tor. The nonlinearity of the transducer has to be compensated by the inverse nonlinear
characteristic of the control valve. The dynamic behavior is that of a first order capac-
itive element with a time constant of seconds.
Controller
The structure of the controller is either P or PI with usual values of PB = 50–200 %
and Ti ≈ 130 s depending on the time constant of the control valve which is the slow-
est element in the loop [2]. The D component of the controller is eliminated due to
the instability of the process. The same influence has a too small Ti , destabilizing the
process.
Control valve
The steady state characteristic has to compensate the other nonlinearities in the con-
trol loop: process (equation (12.4)) and transducer. Thus, usually it has an equal per-
centage or modified parabolic characteristic. The Kv is calculated as in Chapter 9. The
control valve, although theoretically from the dynamic point of view is a second or-
der element, it is considered a first order one with largest time constant in the control
loop, of the order of seconds for the regular control systems.
Example 12.1. Considering a flow control loop in a pipeline of L = 50 m and Dn = 20

on which in the normal operating point, Fn = 2.4 m3 /h, the pressure drop is Δpn =
1 bar. The fluid is water with ρ = 1000 kg/m3 . What are the constants defining the
behavior of the process?
From equation (12.10),
3
kg2.4 m
Lρ Fn 50 ⋅ 1000 m3 ⋅ 3600 s
Tpr = = = 1.08 s,
2Ap Δpn 2 ⋅ 3.14 ⋅ 0.0004 m2 ⋅ 105 N2
m
2.4 m3 m3
Fn
Kpr = = 3600 s = 0.33 ⋅ 10−7 s
.
2Δpn 2 ⋅ 105 N2 N
m m2
From this example we can observe that the process is a fast one with time constants of
the order of seconds. It is well known that due to the turbulence in the pipelines, the
process is noisy, very unstable around the average values of the flow rate, inducing
instability in the control loop.
Considering the Example 11.5 of a flow ACS, with the data from the example,
m3 /s l/min
Tpr = 1 s and Kpr = 0.33 ⋅ 10−7 = 20 ,
N/m2 bar
mA
TT = 0.2 s and KT = 2.5 ,
l/min
bar
TAD = 3 s and KAD = 0.05 .
mA
The optimal values for a PI control are the same or very close to those in the ex-
ample mentioned:
ωosc = 2.1 s−1 , PBopt ≈ 65 %, Ti opt = 5 s.
12.2 Pressure automatic control systems
Pressure is another important parameter for controlling the mass balance of a process.
Pressure is important for the chemical equilibria in the catalytic gaseous reactors,
the total pressure imposing the adsorption, absorption and kinetic rates. Measuring
the pressure of the liquid is irrelevant for the mass content, but it is very relevant
for gaseous systems. When a gas is transformed isothermally, the pressure can be
changed either by volume variation or by flow rate variation. When the thermody-
namic system implies vapor/liquid equilibrium, the pressure can be changed, chang-
ing the temperature. As an example, the pressure at the top of a column (Fig. 12.5)
can be modified either through the outflow of the non-condensable gases when these
exist, or through the cooling agent flow rate of the condenser at the top of the column.
PC
PC
R D
R D
(a) (b)
Fig. 12.5. Controlling the pressure in a distillation column.
Another solution for controlling the pressure in the same system is to control the level
of condensate in the condenser. In this way we modify the heat transfer area and,
implicitly, the quantity of vapors condensed.
In a simple pressure control, pressure is kept constant either through changing
the inflow or the outflow (Fig. 12.6).
PC PC
P P
P0 R1 R2 P1 P0 R 1 R2 P1
Fig. 12.6. The pressure can be controlled through the recipient inflow (a) or outflow (b).
Considering the first situation in Fig. 12.6, the mass balance written for a recipient is
dm
Fmi − Fmo = , (12.11)
dt
where Fmi and Fmo are the input and output mass flows.
The mass in the recipient is in an isothermal transformation expressed by Tab. 3.1:
pM
m = Vρ = V , (12.12)
RT ∘
where: V – the volume of the recipient, ρ – the density of the gas in the recipient, p –
the pressure in the recipient, M – the molar mass of the gas, and R – the universal gas
constant.
The mass flow is expressed through the electric-pneumatic equivalence (valid for
laminar flow):
u ≡ Δp and i ≡ Fm , by
p −p p − p1
Fmi = 0 and Fm2 = ,
R1 R2
for pneumatic circuits, equivalent with Ohm’s law
u V1 − V2
i= = .
R R
p0 − p p − p1 M dp
− =V ∘ , (12.13)
R1 R2 RT dt
which is a first order differential equation and brought up to the canonic form (4.18),
R1 R2 VM dp R1 R2
+p= p + p (12.14)
R1 + R2 RT ∘ dt R1 + R 2 1 R1 + R 2 0
where
R1 R2 VM R2
Tpr = and Kpr = (12.15)
R1 + R2 RT ∘ R1 + R 2
(if the control is done as in case (a)).
Beside the capacitive behavior, with time constants of seconds or hundreds of sec-
onds, one may mention that the pressure is an unstable, noisy process due to the tur-
bulence induced by the source of pressure, usually compressors. If there are piston
compressors, vibrations and periodic increases and decreases of pressure are char-
acteristic. A pressure diagram is characterized by small quick variations around an
average which does not change as fast.
The steady state characteristic is linear in the approximation of (12.13).

Transducer
The pressure transducer is a first order capacitive element and the steady state char-
acteristic is linear.
Control valve
The steady state installed characteristic should be linear but they depend on the op-
erating point.
The dynamic behavior is considered first order capacitive.
Controller
The structure of the controller is either P or PI with usual values of PB = 2–50 % and
Ti ≈ 10 s–10 min, depending on the time constants in the loop [3]. The derivative
action is absent due to the white noise present in the process.
Example 12.2. In a recipient (Fig. 12.6) the pressure is controlled using a pressure
ACS. The volume of the recipient is V = 200 l, the steady state values of the pressure
are: p0 = 2 bar, p = 1 bar, p1 = patm = 0 bar. The temperature in the recipient is
T ∘ = 27 ∘ C. The pneumatic resistors have the values of R1 = 1.2108 N/m2 /kg/s and
R2 = 1.6108 N/m2 /kg/s. What are the dynamic characteristics of the process?
Using equation (12.15),
2 2
1.2 ⋅ 108 N/m
kg/s
⋅ 1.6 ⋅ 108 N/m −3 3
kg/s 200 ⋅ 10 m ⋅ 29 kg/kmol
Tpr = 2 2 = 159 s,
1.2 ⋅ 108 N/m + 1.6 ⋅ 108 N/m
kg/s
8314 J/kmolK ⋅ 300K
kg/s
2
1.6 ⋅ 108 N/m
kg/s
Kpr = 2 2 = 0.57.
1.2 ⋅ 108 N/m
kg/s
+ 1.6 ⋅ 108 N/m
kg/s
The process has a capacitive dynamic behavior.

If the control loop contains a transducer and a control valve with the following
characteristics,
TT = 1 s, KT = 8 mA/bar
TAD = 1 s, KAD = 5 bar/mA,
what are the parameters of a PI controller?

Using the QADR method,
360
( − tan−1 (1 ⋅ ω ) − tan−1 (1 ⋅ ω ) − 10 − tan−1 (159 ⋅ ω )) = −180∘ ,
2π
the crossover frequency ωosc = 1 rad s−1 meaning that the ACS has an oscillation every
6.3 s.
We choose Ti = 120 s:
8 5 0.57 1
K √1 + = 0.5,
√1 + 12 ⋅ 12 √1 + 12 ⋅ 12 √1 + 1592 ⋅12 c 1202 ⋅ 12
which results in Kc = 7 or PB = 14 %.
12.3 Level automatic control systems
The level is also a significant process variable, mainly because it indicates the mass
content of a liquid in a recipient. Usually, the level in the buffer raw material tank
of a plant is maintained between certain limits which are designed to assure the au-
tonomy of operation of the plant. But in some other cases, the level has an increased
importance. In the CSTRs, the level determines the residence time which is calculated
as τres = VF , where V is the volume of the liquid in the reactor and F the flow passing
through the reactor. The residence time determines the chemical conversion, e.g. for
a first order reaction ξ = (k VF /1 + k VF ), where k is the reaction rate constant (Tab. 3.2).
The level (h) is in direct relationship with V, e.g. for cylindrical tank V = Ar h, where
Ar is the cross area section of the reservoir.
In the case of a distillation column, the bottom and reflux drum content is given by
their volumes and it has enhanced importance because it has to enssure the presence
of the liquid phase in the two pieces of equipment [4].
The level control (Fig. 12.7) can be assured through the manipulation either of the
inflow or the outflow in a recipient.
In the first situation (Fig. 12.7a) the process has integral dynamics if the outflow is kept
constant by a pump. If the outflow is free and dependent on the level, the process has
capacitive behavior as in the second case (12.7b)
Fi Fi
LC LC
Fe=ct Fe
Fig. 12.7. Level control in a recipient.
Applying the mass conservation law
dh
Ar ρ = F i ρ − Fo ρ . (12.16)
dt
The outflow can be expressed from equation (3.16) where the dynamics of the pipeline
flow is negligible compared with that of mass accumulation in the tank
ρ v2 lp ρ v2 lp ρ v2
ρ ghAp − (∝ +λ ) Ap = ρ ghAp − (∝ +λ ) A = 0, (12.17)
2 dp 2 dp 2 p
from which
2gh 2gh
v=√ lp
and Fo = Ap √ l
.
α +λ dp
α + λ dp
p
dh 2gh
Ar = Fi − A p √ l
. (12.18)
dt α + λ dp
p
2g
If we denote = Ap √ lp , equation (12.18) becomes
α +λ dp
dh
Ar = Fi − C√h, (12.19)
dt
a differential nonlinear first order equation.
The steady state characteristic, h = f (Fi ),
1
h= Fi2 (12.20)
2g
A2p l
α + λ dp
p
is represented in Fig. 12.8.

In order to express the dynamic behavior as a capacitive one, which is closer to
reality, one has to linearize (12.19), expanding √h using Taylor’s expansion formula,
√
√h = √hn + d h |h (h − hn ) = √hn + 1 (h − hn ), (12.21)
dh n 2√hn
h
[m]
Fig. 12.8. Nonlinear behavior of the level in the

Fi[m3/s] tank.
where hn is the level in the tank at steady state; around this value, the control loop
operates the system.
Replacing (12.21) in (12.19), the equation becomes
2√hn Ar dh 2√hn
+h= Fi − hn , (12.22)
Ap √ 2g lp dt Ap √ 2g lp
α +λ dp
α +λ dp
where
2√hn Ar 2√hn [ m3 ] .
Tpr = [s] and Kpr = m
(12.23)
2g 2g
Ap √ lp Ap √ lp [ s ]
α +λ dp
α +λ dp
There are some other important characteristics of the level as controlled process.
The process is characterized by high instability given by stirrer (inside the CSTR), by
a boiling process in a steam boiler, or at the bottom of a separation column due to the
boiling process in the reboiler. These processes (stirring, boiling) permanently dis-
turb the surface measured. If the transducer is one with a side measuring chamber
(Fig. 7.32), the equivalent scheme of functioning is given in Fig. 12.9.
Gas Gas
h2
A1
h1
L1 A2
L2
(a) (b)
Fig. 12.9. Placing the transducer in a lateral chamber induces oscillations.

If a pressure disturbance occurs, for example accidentally at the surface of the

liquid in the recipient, a mass of liquid is pushed down to the lateral chamber; because
of the difference of areas between the two communicating vessels, the level in the
chamber increases to a larger extent. After the disappearance of the disturbance, due
to the gravity force, the supplementary liquid in the chamber (over the normal point of
operation), goes down, provoking another increase of the liquid level in the recipient
and the process is alternatively repeated. The level oscillates.
Mathematically, this process is expressed in the equations (12.24)–(12.30) (mo-
mentum balance for two mechanical systems bound together):
dv1 dv
ρ gh1 A1 − ρ gh2 A2 − R1 A1 v1 − R2 A2 v2 = M1 + M2 2 , (12.24)
dt dt
where:
A1 A2 – the cross area sections of the recipient and chamber;
h1 , h2 – the levels with which the normal level value changes in both recipient and
chamber;
R1 A1 v1 , R2 A2 v2 – the friction forces;
32L μ 32L μ
R1 = d21 and R2 = d22 – the hydraulic resistance from the Hagen–Poiseuille law;
1 2
μ – the dynamic viscosity:
M1 = L1 A1 ρ , M2 = L2 A2 ρ . (12.25)
Applying the continuity law

v 1 A 1 ρ = v2 A 2 ρ (12.26)
and the equality between the quantities displaced in both recipient and chamber,
(h − h1 ) A1 = (h2 − h)A2 , (12.27)
equation (12.24) becomes
dh2 d2 h
ρ gh (A1 + A2 ) − 2ρ gh2 − (R1 + R2 ) A2 = (L1 + L2 )A2 ρ 22 (12.28)
dt dt
or
(L1 + L2 ) d2 h2 R1 + R2 dh2 A + A2
+ + h2 = 1 h, (12.29)
2g dt2 ρg dt A2
which describes a damped oscillations behavior (equations (4.27) and (4.28) and
Fig. 4.12) with
2g R1 + R 2
ωn = √ and ζ = . (12.30)
L1 + L2 ρ √2g(L1 + L2 )
Any liquid surface is very unstable even if it is not the case of two communicating
vessels. Remember the instability of the water in a tray when we deice the refrigerator
and we transport the melted ice (in water form) to the sink.

Transducer
The level transducer has linear steady state characteristic and the dynamics was dis-
cussed in the present section.
Control valve
The control valve has to have a compensating characteristic, inverse to that in
Fig. 12.28. The installed characteristic should be linear. In fact, the “linear” intrin-
sic characteristic is not linear and looks like a logarithmic one. Because of that when
calculating the gain, the formula should be Kcv = aF, which is closer to the reality.
Controller
The controller should in most cases be a P controller since the level is not such a con-
strictive variable; in most cases it represents the inventory in a tank [2]. The controller
gives smooth changes in flow rates addressed to the downstream units of the process.
The usual values for PB are in the range 1 %–100 %.
Example 12.3. What are the optimal values of a level controller in a level control loop
(Fig. 12.10) with the following characteristics?
Fi
Gas
LC
Fo Fig. 12.10. Tank with level control loop.
The tank has

lp
Ar = 1 m 2 , hn = 0.5 m, Ap = 3 cm2 , α +λ = 1;
dp
from (12.20), we can calculate the nominal flow passing through the tank at steady
3
state, Fn = 3.4 mh .
The transducer has

measuring range: 0–2 m;
output signal range: 2–10 mA;
capacitive behavior: TT = 5 s.
The control valve has

electro-pneumatic converter input signal range: 2–10 mA;
electro-pneumatic converter output signal range: 0.2–1 bar;
the actuator input range: 0.2–1 bar;
the actuator output range: 0–100 %;
the control valve operates linearly in the flow range 0–8 m3 /h;
the control valve stem range is 0–100 %; hn = 50 %;
the time constant of the actuating device is TAD = 5 s.
The controller has P structure.
The time constant and gain of the process, according to (12.23) is
2√0.5 ⋅ 1
Tpr = = 0.104 ⋅ 104 s = 0.28 h = 17.4 min
3 ⋅ 10−4 √ 2⋅9.8
1
2√0.5 m m m
Kpr = = 1064 m3 = 0.295 m3 = 17.73 m3 .
3⋅ 10−4 √ 2⋅9.8
1 s h min
The time constant and gain of the transducer:
TT = 10 s = 0.17 min;
10 − 2 mA
KT = =4 .
2−0 m
The time constant and gain of the actuating device:
Tcv = 30 s = 0.5 min

m3 h
Kcv = aFn = 0.2 ⋅ 3.4 = 0.68
%
1 − 0.2 bar 100 − 0 % m3 /h m3 /min
KAD = KEPC ⋅ KAC ⋅ Kcv = ⋅ ⋅ 0.68 = 0.14 .
10 − 2 mA 1 − 0.2 bar mA mA
The crossover frequency condition
360
(− tan−1 (17.4 ⋅ ωosc ) − tan−1 (0.17 ⋅ ωosc ) + 0 − tan−1 (0.5⋅ωosc )) = −180∘
2π
gives as the result ωosc = 3.2 rad min−1 meaning that the ACS has about 1 oscillation
every 2 min.
The module condition:

17.73 4 0.14
Kc = 0.5
√1 + 17.42 ⋅ 3.22 √1 + 0.082 ⋅ 3.22 √1 + 0.082 ⋅ 3.22
Kc = 2.8; PB = 35 %.
12.4 Temperature automatic control systems
The temperature is the parameter showing the energy content of a system. Tempera-
ture control is extremely important, since a “negligence” of +2 ∘ C may have as a con-
sequence a waste of more than 100,000 Euros/year on an industrial platform through
the energy spent in vain (Chapter 8). But this is only the economic point of view. Very
often, the quality of a product depends severely on the temperature at which it is pro-
duced (e.g. a certain sort of PVC, with specified characteristics, needs a reaction tem-
perature of 52 ± 0.5∘ ).
Usually, the temperature is controlled through the manipulation of an agent (heat-
ing or cooling) flow (Fig. 12.11).
Fvi , ρA , cρA , T°i
TC
T°
T° TC
KTi
KTag
T°W
Fag
T°ag Fvag T°iag
F, ρ, cρ , T° B
(a) (b)
Fig. 12.11. Temperature control of a CSTR or at the bottom of a distillation column.
The steady state and dynamic characteristics of the heating process are obtained from
the heat conservation law applied to the CSTR system for example. The transfer path
from the manipulated variable to the output one (Fag → T ∘ ) (Fig. 12.12) can be decom-
posed in three capacitive elements (jacket, reactor wall, mass of reaction).
Supposing the simplifying assumptions: thermal agent is homogenous in the
jacket – lumped parameter system; the temperature of the wall is the average one
and the wall is considered a lumped parameter system as well; the wall is considered
Fag T°ag T°P Mass of T°

Jacket Wall
reaction
Fig. 12.12. The capacitive elements in series describing the process behavior in the temperature
control loop.
“thermally thin”; CSTR is perfectly mixed – lumped parameter system; the reaction is
neither exothermic nor endothermic; there is no heat loss outside the reactor, we can
write the equations describing the heat transfer in the reactor for each of the elements
in Fig. 12.12. The equations are those are from the Example 3.1:
∘ − F ρ c T ∘ + K A (T ∘ − T ∘ ) = d (V ρ c T ∘ )
vag ag pag ag Tag T w ag
dt j ag pag ag
KTi AT (T ∘ − Tw∘ ) − KTag AT (Tw∘ − Tag∘ ) = d (M c T ∘ ) (12.32)
dt w pw w
d
Fvi ρA cpA Ti∘ − Fρ cp T ∘ − KTi AT (T ∘ − Tw∘ )−K TT ATT (T ∘ − TT∘ ) − VkCA ΔHr = (Vρ cp T ∘ ),
dt
(12.33)
where ΔHr = 0.
Besides these equations, we should write the equation describing the functioning
of the thermocouple:
d
KTT ATT (T ∘ − TT∘ ) − Qel = (MT cpT TT∘ ), (12.34)
dt
where TT∘ , KTT , ATT are the temperature, heat transfer coefficient and heat transfer area
of the transducer; Qel is the quantity of thermal energy transformed into electrical en-
ergy needed to change the electrical properties of the transducer. Qel is much smaller
than the thermal energy involved and thus is negligeble.
For the steady state characteristic we notice that it is nonlinear, the nonlinearity
being given by
∘ − F ρ c T ∘ + K A (T ∘ − T ∘ ) = 0.
vag ag pag ag Tag T w ag
The other characteristics, give a linear behavior
Fvi ρA cpA Ti∘ − Fρ cp T ∘ − KTi AT (T ∘ − Tw∘ )−K TT ATT (T ∘ − TT∘ ) = 0 (12.36)
(when the heat of reaction is neglected)
KTi AT (T ∘ − Tw∘ ) − KTag AT (Tw∘ − Tag

∘ ) = 0. (12.37)
The combined three equations can be assembled in
T ∘ = f (Fv ag ),
which has a form of the type
aTi∘ Ti∘ag
T∘ = +
a + 2Fv ag b + F a
v ag
and is given in (9.47).

All equations ((12.31)–(12.34)) are first order differential and they could describe
a capacitive behavior. With one exception: equation (12.31), where there is one non-
∘ . The nonlinearity is linearized around the steady state point, (F
linearity Fvag Tag vag n ,
∘
T )
ag n
∘ =F
Fvag Tag ∘ ∘ ∘ ∘
vag n Tag n + Fvag (Tag − Tag n ) + Tag n (Fvag − Fvag n )
Q = F T∘ + T∘ F
vag ag n −F
ag vag n T∘ .
vag n ag n (12.38)
In this way, the two variables are separated and the nonlinearity linearized. Replacing
(12.38) in (12.31), we obtain
d
(M T ∘ ) + (Fvag n ρag cpag + KTag AT )Tag
∘
dt j ag
∘ − T∘ ) + F
= Fvag ρag cpag (Tiag ∘ ∘
ag n vag n ρag cpag Tag n + KTag AT Tw . (12.39)
Trying to obtain the canonic form of the capacity, we obtain
Mj cpag ∘ ∘ ∘
dTag
+ Tag∘ = ρag cpag (Tiag − Tag n ) F
Fvag n ρag cpag + KTag AT dt Fvag n ρag cpag + KTag AT vag
∘
Fvag n ρag cpag Tag KTag AT
T∘ .
n
+ + (12.40)
Fva?? n ρag cpag + KTag AT Fvag n ρag cpag + KTag AT w
The jacket time constant and jacket gain are
Mj cpag ∘ − T∘ )
ρag cpag (Tiag ag n
Tj = and Kj = . (12.41)
Fvag n ρag cpag + KTag AT Fvag n ρag cpag + KTag AT
Similarly, for the wall, for the inner part of the reactor (mass of reaction) and for the
temperature transducer (mainly the sheath)
Mw cpw KTag AT
Tw = and Kw = (12.42)
KTag AT + KTi AT KTag AT + KTi AT
Mr cpr KT i A T
Tr = and Kr = (12.43)
KTi AT + Fρ cp + KTT ATT KTi AT + Fρ cp + KTT ATT
where Mr = Vρ and cpr = cp ,
MT cpT KTT ATT

TTw = and KTw = = 1. (12.44)
KTT ATT KTT ATT

Transducer
The temperature transducer has linear steady state characteristic and the dynamics
was discussed already in the present section. The dynamics depend essentially on the
diameter, material and mass of the protecting well. The transducer additionally has
the adaptor, which transforms the variation of voltage/resistance into unified signal.
The characteristic of the adaptor is linear. The dynamics of these parts of the trans-
ducer are negligible.
Control valve
The control valve has to have a compensating characteristic, inverse to that in Fig. 6.9.
The installed characteristic should be logarithmic. Because of that, when calculating
the gain the formula should be Kcv = ah.
Controller
The controller should be PID controller since the heat transfer is a very slow process;
the reset (integral) time is of the same order as the maximum time constant in the loop
and the derivative time, one fourth of the reset time [2]. The usual values for PB are in
the range 5 %–50 %.
Example 12.4. Consider a heat transfer process in a CSTR with the following charac-
teristics:
Process:
reactor volume and heat transfer area: Vr = 1.5 m3 , AT = 6 m2 ;
volume of the jacket and heat transfer area: Vj = 0.3 m3 , AT = 6 m2 ;
mass and heat capacity of the inner wall of the reactor: Mw = 350 kg,
cpw = 0.15 kcal/kg.K;
partial heat transfer coefficient heating agentwall: KTag = 500 kcal/m2 K;
partial heat transfer coefficient wall-reaction mass: KTr = 1500 kcal/m2 K;
∘ = 90 ∘ C; T ∘ = 78 ∘ C;
characteristics of the fluids: ρ = ρag = 1000 kg/m3 ; Tiag agn
cpag = cpr = 1 kcal/kg.K;
nominal flow rate of the heating agent: Fag n = 3 m3 /h;
nominal flow rate of the reactant/product: Fi = Fo = F = 2 m3 /h.
Transducer:
mass, heat transfer area and heat capacity of the thermowell: MT = 0.5 kg,
ATT = 0.02 m2 , cpT = 0.15 kcal/kg.K;
partial heat transfer coefficient reaction mass-thermowell: KTT = 1500 kcal/m2 K;
measurement range of the adaptor: 40 ∘ C–80 ∘ C;
output signal range of the adaptor: 2–10 mA.
Control valve:

the control valve operates linearly in the flow range 0–6 m3 /h; Fag n = 3 m3 /h;
the control valve stem range is 0–100 %; hn = 50 %;
the time constant of the actuating device is TAD = 5 s;
the gain of the control valve: Kcv = aF; a = 0.2.
The process constants are found by applying equations (12.41)–(12.44):

0.3 ⋅ 1000 ⋅ 1
Tj = = 0.05 h = 3 min
3 ⋅ 1000 ⋅ 1 + 500 ⋅ 6
1000 ⋅ 1 ⋅ (90 − 78) ∘C
and Kj = = 2 m3
3 ⋅ 1000 ⋅ 1 + 500 ⋅ 6
h
350 ⋅ 0.15
Tw = = 0.0044 h = 0.27 min
500 ⋅ 6 + 1500 ⋅ 6
500 ⋅ 6 ∘C
and Kw = = 0.25 ∘
500 ⋅ 6 + 1500 ⋅ 6 C
1.5 ⋅ 1000 ⋅ 1
Tr = = 0.13 h = 8.2 min
1500 ⋅ 6 + 2 ⋅ 1000 ⋅ 1 + 1500 ⋅ 0.02
1500 ⋅ 6 ∘C
and Kr = = 0.82 ∘ .
1500 ⋅ 6 + 2 ⋅ 1000 ⋅ 1 + 1500 ⋅ 0.02 C
The temperature transducer:
0.5 ⋅ 0.15 ∘C
TTw = = 0.025 h = 1.5 min and KTw = 1 ∘C
1500 ⋅ 0.02
∘C 8 mA mA
KT = KTw Kad = 1 ∘ ⋅ = 0.2 ∘ .
C 80 − 40 ∘ C C
The control valve:
TAD = 5 s
1 − 0.2 bar 100 − 0 % m3 /h m3 /h
KAD = KEPC ⋅ KAC ⋅ Kcv = ⋅ ⋅ 0.6 = 7.5 .
10 − 2 mA 1 − 0.2 bar % mA
Controller: The PID controller has the reset time chosen to be the same value as the
maximum time constant, that is Tr = 8.2 min. Then, Ti = 8 min.
The crossover frequency condition
360
(− tan−1 (3 ⋅ ωosc ) − tan−1 (0.27 ⋅ ωosc )
2π
+ 0 − tan−1 (8.2⋅ωosc ) − tan−1 (1.5⋅ωosc ) − tan−1 (0.08⋅ωosc )) = −180∘
gives as the result ωosc = 0.5 rad min−1 , meaning that the ACS has about 1 oscillation
in 12.5 min.
The derivative time constant is calculated from the phase margin condition
1
φc = tan−1 (Td ωosc − ) = +30∘ ,
Ti ωosc
which, applied to this case, becomes

1
φc = tan−1 (Td 0.5 − ) = +30∘ .
8 ⋅ 0.5
This gives the value for Td = 1.65 min; we choose Td = 2 min.
The module condition:
2 0.25 0.82 0.2

√1 + 32 ⋅ 0.52 √1 + 0.272 ⋅ 0.52 √1 + 8.22 ⋅ 0.52 √1 + 1.52 ⋅ 0.52
2
7.5 1
⋅ Kc √ 1 + (2 ⋅ 0.5 − ) = 1.0.
√1 + 0.082 ⋅ 0.52 8 ⋅ 0.5
The solution is
Kc = 11.2 or PB = 9 %
Ti = 8 min
Td = 2 min .
12.5 Composition automatic control systems
Since chemical products are the main goal of the chemical industry, composition con-
trol seems to be one of the most important of all control systems. As it was demon-
strated in the previous sections of this chapter that all controls are equally important
because they address different issues of such complex processes as those in process
industries (quality, economic, environmental issues).
In what follows, the basic problems raised by the composition control systems
are presented. One of the most relevant works in this respect is Shinskey’s “Quality
control” chapter in [5].
According to our knowledge, but it is also evidenced in [5], one of the crucial issues
in composition control is that of mixing [6, 7]. Mixing is not very well approached in
the education of chemical engineers, being considered a process of secondary impor-
tance, obviously after that of chemical synthesis. But if we look at the huge progress
today in enhancing the efficiency of processes, using microreactors for example, we
may understand the importance of the process.
When we treat chemical reaction control theoretically, we consider that CSTR is a per-
fectly mixed system, which, in the case of practical quality control is not true: no mix-
ing impeller has the capacity of perfect mixing, transporting one particle from the
entrance to the exit in a time equal to 0. The dynamics of the process includes a time
constant (Tpr ) and a dead time (τpr ), the ratio between them being decided by the effi-
ciency of the impeller. The process of mixing is schematically described in Fig. 12.13.
The considered process is one of diluting a concentrate C with a solvent S.
S C, x
AC
Fs+F Fs
F, x Fig. 12.13. Physical mixing process in a CSTR.
The steady state characteristic is obtained by writing the component conservation law
under the assumption that there is no solute in the diluting solvent:
Cxc + S ⋅ 0 = (S + C)x, (12.45)
where x is the solute mass fraction in the diluted solution and xc the solute mass frac-
tion in the concentrate.
The steady state characteristic is x = f (C), and, further,
C xc
x= x = . (12.46)
S+C c 1+ S
C
The steady state characteristic is presented in Fig. 12.14.

The gain of the process in the nominal operating point (nominal concentrate flow
rate Cn ) is
dx 1 Cn Sxcn Sx
Kpr n = | =x [ − ]= = 2cn . (12.47)
dC Cn cn S + Cn (S + Cn )2 (S + Cn )2 F
The dynamic characteristic, as mentioned before, depends on the agitator’s efficiency

The efficiency of the mixing agitator is defined by [5]
Fa
ηs = , (12.48)
Fa + F
xc
xn
Fig. 12.14. Nonlinear characteristic of a diluting

cn c process.
where Fa is the flow entrained by the agitator from the bottom of the reactor back to
the top and F the total flow passing through the reactor.
A rotating agitator generates high speed streams of liquid, which in turn entrain
stagnant or slower moving regions of liquid resulting in uniform mixing [7]. Thus, the
higher the efficiency of the agitator is, the higher the value Fs has and ηa has a value
closer to 1.
If the reactor could have perfect mixing, the process behaves dynamically capac-
itive, with no dead time:
V V
Tpr = = ; τpr = 0, (12.49)
F S+C
where V is the volume of the reactor, S is the solvent flow for dilution, C is the concen-
trate flow.
If the reactor has no mixing, the process behaves dynamically as an element with
dead time:
V V
τpr = = ; Tpr = 0. (12.50)
F S+C
The real situation is among the two extremes: the process has both time constant
V Fa V
Tpr = ⋅ = ηa ⋅
F Fa + F F
V F V
τpr = ⋅ = (1 − ηa ) . (12.51)
F Fa + F F

Transducer
The transducer, if it is a gas chromatograph, presents a dead time equal to the mea-
sured component residence time, multiplied with the number of fluxes measured in
the process.
The gain of the transducer is obviously standard output signal
measurement range
; because the accuracy of
the measurement is essential in the case of the composition, usually, the measurement
range is very narrow and, as a consequence, the gain is very high.
Control valve
Due to the nonlinear characteristic of the process (Fig. 12.14), the installed character-
istic of the valve is logarithmic with the adequate gain KCV = bF (equation (9.38)). The
other components of the final control element are quite the same for all control valves.
Controller
The controller is PID, due to the fact that both mass transfer and mixing in a reactor
or vessel are slow processes and the analyzer has a dead time of the order of minutes
minimum. Due to the very high gain of the transducer, the controller gain should be
very small. The usual values for the controller parameters are: PB = 100–1000 %,
Ti = minutes to tens of minutes, Td = minutes.
pH control problem
pH is a special variable especially due to its steady state characteristic (Fig. 12.15).
The very steep slope of the characteristic induces a cycle of oscillations of the control
system.
14
pH
12
10
6
OONa
CH 3C
4
CH3COOH
2
HCI
0
0 0.5 1.0 1.5 2.0 Fig. 12.15. pH steady state characteristics for
mol NaOH different combinations: acid neutralized with
mol acid NaOH.
But this is not the only reason why pH control is a really difficult problem to be solved
in industry: especially in neutralization plants, the large range of flow rates (ratios
from 1 : 1 to 5 : 1) and different composition of the inflows (the effluents from industrial
plants are either acid or basic and require two neutralization agents; or, the acid con-
tent can vary with 7 orders of magnitude; the titration curve changes with the nature of
the system neutralized) has as a result a low quality composition control. These are the
reasons why the pH control problem is not treated in this chapter which approaches
the most common controls in the process industries.
A usual pH control system in a CSTR use the cascade control, the inner loop being
that of a ratio flow control (Fig. 12.16). The pH control in a wastewater treatment plant
is more complicated and is approached in the second volume of this book.
rFC
Raw material Neutralizing

to neutralize reactant
pHc
Linear
controller
pH
Fig. 12.16. pH control system in a CSTR reactor.
Example 12.5. Consider a dilution process control system in a CSTR (Fig. 12.13), with
the following characteristics:
Process:
reactor volume: Vr = 350 l;
nominal flow rate of the dilute: Fi = Fo = F = 70 l/min;
nominal concentrate flow rate: Cn = 35 l/min;
maximum concentrate flow rate: Cmax = 70 l/min;
mass fraction of the concentrate: xcn = 1;
efficiency of the mixing agitator: ηa = 95 %.
Transducer:
measurement range of the analyzer: 0.45–0.55 mass fractions;
output signal range of the adaptor: 4–20 mA;
dead time of the gas chromatograph: τT = 0.25 min;
the time constant of the gas chromatograph: TT = 0.05 min.
Control valve:

the control valve operates equally percentage in the flow range 0–70 l/min; Cn =
35 l/min;
the time constant of the actuating device is TAD = 3 s;
coefficient of the installed characteristic: b = 3.
According to the relations (12.51) and (12.47), the process has the characteristics
V Fa V 350
Tpr = ⋅ = ηa ⋅ = 0.95 = 4.75 min
F Fa + F F 70
V F V 350
τpr = ⋅ = (1 − ηa ) = 0.05 = 0.25 min
F Fa + F F 70
Sxcn (F − Cn )xcn 35 ⋅ 1 −
Kpr n = = = = 0.0071 .
(S + Cn )2 F2 702 l/min
The transducer is a gas chromatograph with
τT = 0.25 min
TT = 0.05 min
20 − 4 mA
KT = = 160 .
0.55–0.45 −
The final control element is a valve with electro-pneumatic convertor and actuator
with the characteristics:
1 − 0.2 bar 100 − 0 % l/min l/min
KAD = KEPC ⋅ KAC ⋅ Kcv = ⋅ ⋅ 3 ⋅ 0.7 = 13.12 and
20 − 4 mA 1 − 0.2 bar % mA
TAD = 3 s = 0.05 min .
The crossover frequency condition:
360
(− tan−1 (4.75 ⋅ ωosc ) − (0.25 ⋅ ωosc )
2π
− tan−1 (0.05 ⋅ ωosc ) − (0.25 ⋅ ωosc ) − tan−1 (0.05⋅ωosc )) = −180∘ .
The calculation gives as the result ωosc ≈ 2.75 rad min−1 , meaning that the ACS has
about 1 oscillation every 2 minutes.
We choose Ti = 5 min and Td results from the phase margin condition (equation
(11.20)):
1
tan−1 (Td ⋅ 0.6 − ) = +30∘
5 ⋅ 0.6
tan 30∘ + 1
5⋅0.6
Td = = 1.5 min .
0.6
From the module condition,

0.0071 160
1
√1 + 4.752 ⋅ 2.752 √1 + 0.052 ⋅ 2.752
13.12 1 2
⋅1 Kc √ 1 + (1.5 ⋅ 2.75 − ) = 1.0
√1 + 0.052 ⋅ 2.752 2.75
results in
Kc = 0.21 PB = 476 %
Ti = 5 min
Td = 1.5 min .
12.6 Problems
(1) The normal liquid flow rate towards a process is 1.5 m3 /h, its limits being 0.5 m3 /h
and 3 m3 /h. The flow is subjected to step changes up to 100 l/h. What are the dimen-
sions of the buffer tank placed before the process in order to limit the variations at
10 l/h? The pressure upstream of the buffer is 4 bar and downstream 2 bar. Which di-
mensions will the buffer have if the pressure difference is 0.5 bar only? The controller
gain is chosen in such a way that at a flow rate of 0.5 m3 /h the tank is empty and at
3 m3 /h is full.
(2) Calculate the optimal controller parameters for a composition control loop con-
trolling the concentration in a cascade of three CSTR described in the Examples 3.2
and 6.5 (Fig. 12.17).
Fs , Cs
Fc , CAc
V V V
F F F
CA1 CA2 CA3 F
AC
Fig. 12.17. Composition ACS for a cascade of 3 CSTR.
The pumping flow of the mixing impeller is Fa = 80 l/min, each reactor volume is
V = V1 = V2 = V3 = 200 l. The residence time in each reactor is 10 min. The correc-
tion of concentration is done adding reactant A (concentrate) with the concentration

CAc = 5 kmol/m3 , with the flow rate nominal value of 5 l/min, the nominal input con-
centration being CAi = 0.8 kmol/m3 . The transducer is a densimeter with the measur-
ing range 0–2.5 kmol/m3 and an output signal 2–10 mA having 0 time lag. The gain of
the final control element is KAD = 4.66 l/min/mA and the time constant of the control
valve is considered 0.
(3) Repeat the calculation for one CSTR and 2 CSTRs in series.
(4) Elaborate a MatLab simulation program for Problems (2) and (3).
References
[1] Couzinet, A., Gros L., Pierrat, D., Characteristics of centrifugal pumps working in direct or re-
verse mode: Focus on the unsteady radial thrust, International Journal of Rotating Machinery,
2013, (2013), Article ID 279049.
[2] Luyben, W. L., Luyben, M. L., Essentials of Process Control, McGraw-Hill, 1997,
ISBN 0-07-114193-6.
[3] Seborg, D., Mellichamp, D., Edgar, T., Doyle III, F., Process Dynamics and Control, John Wiley and
Sons, 2011, Chapter 12.
[4] Szabo, L., Nemeth, S., Szeifert, F., Three-level control of a distillation column, Engineering, 4,
(2012), 675–681.
Index
abstract oriented system, 19, 20 – gear pump, 125, 262, 330

accuracy, 78, 152, 153, 157, 163, 164, 177–179, – globe valve, 257, 259
187, 189, 193, 194, 196, 197, 199, 202, 209, – membrane control valve, 261
212, 214, 233, 351 – notch, 257
accuracy class, 154, 157, 166, 169–172, 181–186, – piston pump, 262
189, 190, 192, 193, 216, 217, 220, 221 – screw pump, 262
activation energy, 83 – slide/gate control valve, 258, 261
actuator, 285, 289 controllability, 140, 141, 148, 229, 297, 308, 323
adaptive controller, 246, 247 controller, 227
advanced process control (APC), 6 – digital controller, 227, 229
advanced process control (book), 245, 248 – on-off controller, 228
alarm and monitoring system, 283 – tuning, 139, 295, 300
analytical model, 64, 76 converging-Input converging-output stability
artificial neural network (ANN), 64, 80 (CICO), 30
automatic control, 3, 122, 124, 125 conveyor belt, 256, 330
– system, 122, 125 Coriolis mass flow meter, 183
automatic control system, 293, 330, 331, 335, criterion of integral time-weighted absolute
338, 344, 349 error (ITAE), 299
crossover frequency, 241, 244, 343
Barton cell, 167, 168 crystallization, 190
bio-cybernetic control systems (BCS), 6 CSTR cascade, 325
Bode diagram, 49, 50, 55, 100, 113
bottom molar flow, 89
damping ratio, 127
Bourdon tube, 163, 164, 166, 167
decay ratio, 127, 128, 300, 311, 319
delimiting surface, 9
capacitive level transducer, 192
density transducer, 196
capacitive pressure transducer, 170
derivative system, 97, 101–103
capacitive system, 97, 99, 104, 108
derivative time, 104, 229, 242
cavitation, 265, 266
deterministic system, 17, 19
centrifugal pump, 125, 262, 330
differential equation, 21, 36, 87
centrifugal pump head pressure, 330
dissolved oxygen transducer, 207
chemical engineering, 15
distillate drum, 89, 90
chromatograph, 221
distillate molar flow, 89
Cohen–Coon method, 307–310, 319
distillation column, 87, 125, 141, 279, 338
cold junction, 161–163
distributed control system (DCS), 6, 250, 283
composition control, 349, 352
distributed parameter system, 65, 66, 70
condenser, 89, 92, 170, 210, 212, 335
Doppler effect, 181, 182
conductive level transducers, 194
dynamic system, 13, 14, 18
continuous stirred tank reactor (CSTR), 65, 105
control quality criteria, 297
control valve, 247, 251, 256–258, 352 electrical conductivity transducer, 199
– ball or V-notch, 257 electro-pneumatic convertor, 235, 256, 274, 354
– butterfly valve, 257 elementary signal, 23, 26
– centrifugal pump, 262 energy, 83
– conveyor belt, 256, 262, 330 energy conservation law, 69, 148
358 | Index
error, 80, 124, 125, 128, 139, 143, 152–154, 157, integral of the error (IE), 297
193, 227, 229, 231, 235, 238, 239, 241, 248, integral of the squared error, 248
298, 300, 310 integral system, 99, 100, 102
integral windup, 241
feed flow, 89, 125 interlocking system, 281, 290
feed-forward control, 6, 141 internal molar reflux, 89
feedback control system, 124, 125, 131, 133, 143 intrinsic characteristic
final control element, 256, 262 – linear characteristic, 268, 269, 274
first order system, 104–106, 115 – logarithmic (equal percentage) characteristic,
flow control, 330, 353 269
flow controller, 229 – modified parabolic characteristic, 269, 334
flow factor (Kv ), 263, 265 inverse response, 323, 324
– for incompressible fluids, 263 ionization gauge, 172, 173
– for gases, 266
– for steam, 267 kinetic equation, 63
flow sheet, 64
frequency response, 18, 31–34, 45, 57
Lambda method, 309
laminar flow, 265
gas analyzer, 209
Laplace transform, 39
– humidity gas analyzer, 217
– of usual functions, 41, 43
– infrared gas analyzer, 209
– one-sided, 40
– paramagnetism-based gas analyzer, 214
– properties, 41, 42
– thermal conductivity gas analyzer, 2
– two-sided, 40
– zyrconia oxygen gas analyzer, 216
large overshoot, 301
latent heat of vaporization, 74, 89
harmonic signal, 31
level control, 84, 230, 338
heat capacity, 83, 243
level controller, 342
heat of reaction, 69, 83, 117
level transducers based on floats, 188
heat transfer area, 70, 160, 254, 335, 345
linear time-invariant system, 27, 29, 35, 39, 44
higher order capacitive system, 110
linearity, 17, 31, 47, 80 290
higher order system, 109
looms, 3
holdup, 89
lumped parameters system, 65
homogeneous differential equation, 27, 28, 30
hot junction, 161, 162
magnetic flow meter, 180, 181
impulse response matrix, 39, 48 manual control, 5, 122
inductive pressure transducer, 171 mass conservation law, 65, 66, 339
inferential mass flow meter, 183, 185 mathematical model, 64, 76, 82
infra-red thermometer, 165 measurand, 151–154
input variable, 12, 16, 34 measuring device, 155, 177
input-output path with logic solver method of limit of stability, 305
– configuration, 290 MIMO system, 133
– multiplication, 290 model predictive control (MPC), 6, 141, 248
input-output relationship, 45, 59, 97, 101 molar mass, 83
input-output representation, 20, 35, 36 momentum conservation law, 64, 71, 73
input-state-output relationship, 20, 21, 39, 46, multiple effects evaporator, 141
47
installed characteristic, 270, 272 nonhomogeneous differential equation, 29, 38
integral of the absolute error (IAE), 298 nonlinearity, 139, 175
Index | 359
Nyquist diagram, 57 Reynold’s number, 176, 183, 265

Nyquist stability criterion, 316 rotameter, 178
routh stability criterion, 312, 313
object, 8
optimal parametrical control system (OPCS), 6 safety instrumented system, 283
orifice plate, 174–176, 275, 334 – final control element, 256, 262, 285, 287
oscillation, 106, 127, 143, 168, 189, 241, 295, – logic solver, 285, 287, 288, 290
297, 298, 304, 305, 319, 341, 352 – sensors, 284
oval shaped gear meter, 186 safety integrity, 290
overshoot, 126, 127, 303, 305 safety layer, 284
seat ring, 256
Peltier effect, 161, 162 second order system, 97, 106–108, 111
pH meter, 205 – critically damped, 107
PI controller, 238, 241 – damping factor, 106
piezoelectric effect, 171 – natural period of oscillation, 106
Pirani gauge, 172, 173 – overdamped, 107
Pitot tube, 177 – steady state gain, 106
plug, 256 – underdamped, 107
plug flow reactor (PFR), 67 – unit step response, 106, 107
polarographic cell, 207, 208 Seebeck effect, 160–162
positioner, 257, 290 semi-xontinuous STR, 92
predictive controller, 248 sensor, 158, 166, 168, 183, 285–287
pressure control, 233, 237, 272, 335 sinusoidal signal, 26
pressure controller, 230 SISO system, 134
pressure drop, 174–176 solvate, 74
process control, 3–5, 122, 127, 155, 223, 249, solvent, 74, 350, 351
295 stability, 29, 30
process engineering, 3, 158, 166, 173, 186 state variable, 20, 22, 35, 36
proportional band (PB), 231 static system, 13
proportional controller, 231 statistical model, 76
– gain, 231 steady state, 26, 33
proportional system, 97, 99, 202 – error (SSE), 127, 139, 233, 237, 238, 302
psychrometric transducer, 219 – gain, 104–106, 135, 137, 332
pure delay system, 113 stem, 4, 235, 256, 257, 289, 290, 343, 348
PVC, 157, 179, 247 stem travel, 256, 257, 263, 269, 271, 272, 274
stochastic system, 17
quarter decay response criterion, 299 subject, 8
successive trial in the process, 301
radar level transducer, 193 system concept, 8
radiometric level transducers, 193
reaction rate, 22 temperature control, 3, 128, 133, 242, 246, 249,
– constant, 117, 338 344
reboiler, 256, 340 thermistor, 158, 164, 183
reflux flow, 325 thermocouple, 160, 162, 163, 165
regression analysis, 76 thermodynamic and kinetic equations, 63
relative gain array (RGA), 133 thermodynamic equation, 63
relative volatility, 74, 87 Thomson effect, 161
resistance temperature detector (RTD), 158, 184 transducer, 13, 124, 133, 142, 155–158, 163, 167,
response curve, 307 172, 174, 175, 177, 179, 185, 189, 191, 194,
360 | Index
196, 197, 199, 202, 206–208, 227, 232, unit step function, 23
234, 235, 275, 295, 307, 317, 334, 337, 340,
342, 345–348, 351–354 vapor flow, 89, 90
transfer function, 44, 45 variable frequency drive, 262, 330
transfer matrix, 48, 49 Venturi tube, 173
transfer path, 109, 116, 124, 275, 276, 344 viscosity transducer, 198
transient response, 33 vortex flow meter, 180
transient time, 127 vortex shedding flow, 183
transition matrix, 38
transmitter, 155, 157, 159, 160, 164, 165, 168, weir, 87, 89, 90, 196, 261
170, 177, 179, 181, 188, 192–194, 197, 207, Wheatstone bridge, 159, 169, 172, 184, 195, 205,
208, 212, 216, 220, 221, 286, 334 206, 213, 214, 216
tray, 87, 88, 90 wise machinery (WM), 6
turbulent flow, 181, 265 Woltman turbine meter, 186
ultrasonic level transducer, 192 Ziegler–Nichols, 310

unified signal, 156, 347
unit impulse function, 24, 26
unit ramp function, 23

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De Gruyter Graduate

Agachi, Cristea ∙ Basic Process Engineering Control

Process Integration and Intensification –

Reviews in Chemical Engineering

Chemical Product and Process Modeling

International Journal of Chemical Reactor Engineering

Library of Congress Cataloging-in-Publication Data

Bibliographic information published by the Deutsche Nationalbibliothek

© 2014 Walter de Gruyter GmbH, Berlin/Boston

Cluj-Napoca, June 2014 Paul S. Agachi

1 History of process control | 3

2 Basics of systems theory | 8

2.28 Use of Laplace transform in the analysis of linear time-invariant

5 Manual and automatic control | 122

Part II: Analysis of the feedback control system

6 The controlled process | 133

7 Transducers and measuring systems | 151

9 Final control elements (actuating devices) | 256

9.6 Sizing and choice of the control valves | 275

10 Safety interlock systems | 281

Part III: Synthesis of the automatic control systems

11 Design and tuning of the controllers | 295

12 Basic control loops in process industries | 330

Fig. 1.1. Lee’s control positioning system for a

Fig. 1.2. The speed

Fig. 1.3. H. Jaquard’s loom with punch

Fig. 1.4. Wise Machinery.

[4] Centrifugal governor, http://en.wikipedia.org/wiki/Centrifugal_governor.

Definition. The system is a set of component entities, characterized by specific in-

a11 a12 a21 a22

2.2 System delimitation

Delimitation of the systems is of primary importance being a direct consequence of the

Fig. 2.2. Typical interface delimitation of the system Σ , repre-

2.3 Input and output variables

Fig. 2.5. Generic representation of the system.

2.4 Classification of the systems

Dynamic and static systems

Fmo Fig. 2.6. Time-dependent

(Fmi − Fmo )Δt = (H − H0 ) ⋅ A ⋅ ρ . (2.3)

Equation (2.3) may be reformulated under the form

Systems with lumped and distributed parameters

Fig. 2.7. Typical system presenting dead time τ .

dQm (t) L dy(t)

Deterministic and stochastic systems

Linear and nonlinear systems

Linear dynamic systems are mathematically described by differential equations

2.5 The state concept

The state of an abstract oriented system

x(t) = [x1 (t), x2 (t), . . . , xn (t)]T . (2.10)

To determine the variables fulfilling the requirements of becoming state variables it is

2.6 Input-state-output relationship

The input-state-output relation may be formulated by:

2.7 Stability of the system

Definition. A time-continuous system is denoted as stable in the bounded-input

A typical example of chemical systems instability is that of the reactor in which an

2.8 Types of elementary signals

and has the representation shown in Fig. 2.9.

The ramp function having a certain a slope is represented by v(t) = a v0 (t).

δ (t) = lim δ0 (t) (2.21)

and having the representation shown in Fig. 2.13.

The equation describing the unit impulse is

Function δ (t) owns the following important property (t > 0):

∫ δ (τ )dτ = 1 = u0 (t) (2.23)