9

Indexes of Performance

The state of the art of the machine industry has experienced a rapidly
accelerating evolution since the outset of the first industrial revolution.
Modern machines are required to perform to varying requirements of
accuracy, productivity, and surface finish requirements. It is the purpose of
this discussion to establish some guidelines of machine system design to
attain the desired performance requirements of accuracy, surface finish, etc.
Modern industrial machines are considered as a total system comprised of
the control, drive, and machine. There are two kinds of performance
criteria. One, referred to as indexes of performance (I.P.), relates to
specifying servo drive stability in relation to design parameters. The second,
performance characteristics, relates to parameters such as drive stiffness,
resolution, maximum acceleration, and the effects of friction. To some
extent the performance characteristics are a function or the end result of the
indexes of performance that are selected.

9.1 DEFINITION OF INDEXES OF PERFORMANCE

FOR SERVO DRIVES
During World War II, the growth of feedback control theory was given a
stimulus that has continued for five decades. As the state of the art
improved, control system performance could be predicted with increased
accuracy. However, as the state of the art in feedback control theory

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 increased in reliability, it also increased in complexity. There is a need to
specify performance in relation to design parameters. An accepted technique
to relate performance, I.P., is an attempt to optimize performance using
constraints of design criteria. Some I.P.s in common use are:
A. From the frequency response:
1. Phase margin
2. Gain margin
3. Gain margin versus control loop bandwidth
B. From the step response:
1. Percent overshoot
2. Rise time
3. Delay time
4. Settling time
These I.P.s are given for the frequency response and step response
because these two methods of analysis are also related to diagnostic
techniques to measure actual performance of a feedback control system.
There are numerous types of feedback control applications. The I.P. to be
discussed are limited to hydraulic and electric feed drives used with position
control systems.
The frequency-response characteristics of these drives are considered
as the analytical tool in specifying I.P.s. Frequency-response characteristics
describe how well the output of a given control system will follow the input
variations as a function of frequency. In brief, the frequency response
describes the dynamic characteristics of the drive. In addition, required
compensation can be determined from the frequency-response character-
istics; required compensation is an important part of the synthesis of
feedback control drive systems. The following is a description of the various
indexes of performance.
‘‘Phase margin’’ is the amount of phase shift remaining between the
output controlled variable and the input reference at the crossover
frequency (Kv of Figure 1) before 1808 of phase shift occurs. (Note that
phase shift is a negative angle.) Feedback control systems with 180 degrees
phase shift at the open-loop crossover frequency are unstable. Therefore,
phase margin is a measure of how much additional phase shift can be
tolerated before instability will occur. As an I.P., the phase margin at the
crossover frequency should be 458 or more. Values of phase margin less than
458 will result in an oscillatory condition that will have increasing oscillation
with less phase margin until self-sustained oscillation will occur at a phase
margin of 08 (see Section 8.4).

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 1 Open-position loop frequency response for a hydraulic drive with an internal
tachometer loop.

‘‘Gain margin’’ is the amount the position-loop gain can be raised to

produce a phase margin of zero or a phase shift of 1808. As an I.P. the gain
margin should be no less than 2.0 (or 6 dB). In Figure 1 the gain margin is
shown as 6 dB or a gain of 2.
Gain margin versus control loop bandwidth is the most important of the
I.P.s. This I.P. relates the gain margin to the attainable servo bandwidth.
The bandwidth of the position loop, velocity loop, and hydraulic or
mechanical resonance have a relationship that is the basis for system
stability. Hydraulic and electric drives are next considered separately. These
I.P.s are summarized in Eq. (9.1-1) to (9.1-6). They are derived in Section
9.2.

Hydraulic Drives
1. Hydraulic drive with position loop only:
Minimum allowable hydraulic resonance ¼ oh ¼ 100 rad=sec
oh
Kv ¼ (9.1-1)
3

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 2. Hydraulic drive with tachometer loop:
Minimum allowable hydraulic resonance ¼ oh ¼ 200 rad=sec.
1
oc ¼ velocity loop bandwidth ¼ oh (9.1-2)
3
1 1
Kv ¼ oc ¼ oh (9.1-3)
2 6

Electric Drives
Electric drive with tachometer loop:
1 1
ome ¼ ¼ ¼ o1 (9.1-4)
mechanical time constant tme
o1 ¼ lead compensation
oe
oc ¼ velocity loop bandwidth ¼ (9.1-5)
2
1
Kv ¼ oc (9.1-6)
2

9.2 INDEXES OF PERFORMANCE FOR ELECTRIC

AND HYDRAULIC DRIVES
I.P.s were defined at the beginning of this section. Of the available I.P.s, gain
margin versus control loop bandwidth is the most important index. The I.P.
for hydraulic drives is considered first.

Hydraulic Drive without a Tachometer Loop

The first hydraulic feed drive considered is the simplest case of a position
loop (single servo loop). Bandwidth for a stable servo drive is a function of
the hydraulic damping factor, illustrated with the block diagram for this
servo loop shown in Figure 2. The position feedback uses a resolver for this
example.
Since the valve response ðov Þ is usually greater than the other system
responses, it is neglected in the open-loop response represented by the
transfer of Eq. (9.2-1).
BðsÞ K K
¼  A fb  (9.2-1)
EðsÞ Dm s s22 þ 2dh s þ 1
o ohh

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 2 Hydraulic servo-drive block diagram without a tachometer loop.

Let

KA Kfb
¼ Kv (9.2-2)
Dm
sffiffiffiffiffiffiffiffiffiffiffiffi
2bD2m
oh ¼
JT V c

Also, for sinusoidal analysis s ¼ jo.

BðjoÞ Kv Kv
¼  ¼   (9.2-3)
EðjoÞ jo ðjoÞ2 þ 2dh jo þ 1 o2
jo 1
2 þ 2jd o
o2h oh oh oh

The critical frequency occurs at o ¼ oh :

BðjoÞ Kv Kv
¼  ¼ (9.2-4)
EðjoÞ jo 1
o2h þ 2jd oh
2dh oh
h o2 h oh
h

This denotes an amplitude of Kv =2dh oh at a phase angle of 1808. For a gain

margin of 2 at o ¼ oh ,
 
B 
 ðoh Þ <
6 dB (9.2-5)
E 

which can be observed from Figure 3, since the height of the attenuation
peak at the hydraulic resonance should not be higher than 0 dB for the
system to be stable.

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 3 Bode diagram for hydraulic positioning servo (no tachometer loop).

Therefore, combining Eq. (9.2-4) and (9.2-5) yields

Kv
<
6 dB or 0:5 (9.2-6)
2dh oh

Although the hydraulic resonance is the limiting resonance in most

hydraulic drives, it is possible to have a lower frequency mechanical
resonance in the servo loop and it will then be the limiting resonance.
Since hydraulic damping factors in industrial drives are typically

0:2 < dh < 0:4 (9.2-7)

for stability,
Kv
¼ 2dh ð0:5Þ ¼ dh (9.2-8)
oh

From Eq. (9.2-7), the required ratio of Kv =oh will vary as

Kv
0:2 < < 0:4 (9.2-9)
oh

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Therefore, an I.P. for hydraulic positioning drives can be established. The
velocity constant Kv should be less than the limiting resonance in the servo
loop by the following factor:
Kv ¼ ð0:2 to 0:4Þoh (9.2-10)

A specific recommendation is made that the hydraulic resonance (or other

limiting resonance) by three times the desired velocity constant Kv .
Commercial contouring controls using the soft servo technique have
velocity constants ðKv Þ ranging from 0.6 ipm/mil to 2 ipm/mil, where
0:6 ipm 1000 mil min
6 6 ¼ 10=sec (9.2-11)
mil inch 60 sec
2 ipm 1
6 ¼ 33:4 sec (9.2-12)
mil 0:06
Using the I.P.
oh
Kv ¼ (9.2-13)
3
and using Kv ¼ 33:4=sec as a worst-case condition, the lowest hydraulic
resonance should not be less than
oh
33:4 ¼ (9.2-14)
3
oh ¼ 100 rad=sec

for a position loop without a tachometer minor loop feedback.

Hydraulic Drive with Tachometer Feedback

The major share of commercially available soft servo drives use a
tachometer feedback to increase the drive stiffness and limit the overshoot
in step inputs. There is a further limitation on the relation of the velocity
constant ðKv Þ to the hydraulic resonance in this case. The block diagram for
this case is shown in Figure 4.
The open-loop transfer characteristics for this case are shown in
Figures 5 and 6. Figure 5 shows the minor tachometer loop frequency-
response characteristics. From the closed-loop response of Figure 5, the
bandwidth is oc . The relationship between the crossover frequency oc and
the hydraulic resonance should again be related by the type of relationship
described by Eq. (9.2-10):
oc ¼ ð0:2 to 0:4Þoh ¼ 0:3oh (9.2-15)

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 4 Hydraulic servo-drive block diagram.

When a position loop is added to the tachometer loop, the bandwidth oc of

the minor loop must be considered. The position-loop velocity constant Kv
must occur at a lower frequency than oc , the crossover frequency of the
velocity loop. The separation of the velocity constant Kv and oc can be
considered as another I.P. For adequate stability, the relation of Kv to oc

Fig. 5 Block diagram for a hydraulic velocity servo.

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 6 Bode diagram for a hydraulic positioning servo (with a tachometer feedback
loop).

should be
oc
Kv < (9.2-16)
2
The I.P. in Eq. (9.2-16) is justified as follows.
The frequency-response characteristics of Figure 6 are replotted in
Figure 7 with the phase-margin characteristics. Phase margin is shown for
several values of hydraulic damping factors. Phase margin was calculated by
computer from the open-loop frequency characteristics of Figure 6. The
open-position loop block diagram of Figure 4 and the closed-velocity loop
frequency response of Figure 5 can be reduced to the block diagram shown
in Figure 8 by using the equivalent closed-velocity loop and combining all
the loop gains into one gain constant Kv .
The open-loop equation for this hydraulic positioning drive with an
inner tachometer loop is

BðsÞ K
¼   v  (9.2-17)
EðsÞ s s þ 1 s22 þ 2dh s þ 1
oc o h
oh

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 7 Bode diagram for the open-position frequency response for a hydraulic drive
(with a tachometer feedback loop).

By definition the phase margin in a position loop is:

g ¼ 180
phase shift (9.2-18)

In this example the phase-shift characteristic for varying frequency with

s ¼ jo is
2d o
h
o o
y ¼
90
tan
1
Tan
1  h 2  (9.2-19a)
oc 1
o2oh

Fig. 8 Hydraulic drive block diagram for a position loop.

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Combining Eq. (9.2-18), (9.2-19a), and (9.2-19b) yields

2d o
h
o o
g ¼ 180
90
tan
1
tan
1  h 2  ¼ phase margin (9.2-19b)
oc 1
o o2 h

The closed-loop frequency characteristics of the position loop were

determined by computer for various values of velocity constant ðKv Þ and
hydraulic damping factors ðdh Þ. The amplitude of the closed-position loop
frequency-response characteristic is found from

yo 1
¼ M ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi (9.2-20)
yi 1
2 cos g
þ 12
jGj jGj

The closed-position loop phase is found from

sin g
y ¼ tan
1 (9.2-21)
G
cos g

In closed-loop positioning systems the amplitude ðMÞ is related to overshoot

in transient step inputs. The larger the peak amplitude of M, the greater the
transient overshoot and the tendency for oscillation in response to steps
inputs (Figure 9).
As in I.P., the amplitude of the closed-loop frequency response ðMÞ
should be limited to 1.3.
If the maximum values of closed-position loop amplitude ratio ðMÞ
are plotted for various hydraulic damping factors and position-loop velocity
constants, an additional I.P. can be realized. Such a graphical plot is shown
in Figure 10. From Figure 10, which relates the closed-position loop peak
amplitude, position loop velocity constant, and hydraulic damping factor
(with oc ¼ 0:33oh ), an I.P. can be given that the velocity constant ðKv Þ
should be less than the bandwidth of the velocity loop by at least 1.5 for
hydraulic damping factors up to 0.8. For a margin of safety and to minimize
overshoot, a recommended I.P. is

oc
Kv ¼ (9.2-22)
2

This relation states that the position-loop velocity constant ðKv Þ should be
one-half the bandwidth ðoc Þ of the tachometer loop. In turn, oc should be

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 9 Frequency response versus transient response.

one-third the hydraulic resonance ðoh Þ.

oh
oc ¼ (9.2-23)
3
oc
Kv ¼ (9.2-24)
2
Therefore,
1 oh oh
Kv ¼ 6 ¼ (9.2-25)
2 3 6
Since the highest Kv used with the soft servo technique is often considered as
2 ipm/mil or 33.4/sec, the hydraulic resonance should not be less than

oh ¼ Kv 66 (9.2-26)
oh ¼ 33:466 ¼ 200 rad=sec (9.2-27)

A hydraulic resonance of 200 rad/sec is used as an I.P. in sizing

hydraulic drives. Therefore,
oh > 200 rad=sec (9.2-28)

Electric Drive with Tachometer Feedback

Most commercial electric feed servo drives have a tachometer minor servo
loop. The I.P., however, are not as complex or limiting in performance as
with the hydraulic resonances of the fluid drive. Forward-loop compensa-
tion is usually used to increase the steady-state gain, which will greatly
increase the drive stiffness. Lag compensation, o2 , is used to provide a high

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 10 Gain versus hydraulic damping factor.

static loop gain for the velocity servo loop. Additionally, the compensation
includes a lead term, o1 , in Figure 11. Since the electric motor has two
separate time constants, electrical and mechanical, the drive can readily be
compensated by letting the lead term of Figure 11 equal the mechanical time
constant, tme ¼ 1=ome . As can be observed in Figure 12, the next limiting
factor on the frequency response of the velocity loop drive will be the drive
motor time constant, te ¼ 1=oe . Summarizing, an I.P. for the electric servo

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 11 Electric drive block diagram.

drive to make the drive-compensation lead-time constant equal the

mechanical motor time constant is

t1 ¼ tm (9.2-29)

Fig. 12 Bode diagram for an electric velocity servo.

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 The motor mechanical time constant is

Ra JT
tm ¼ (9.2-30)
Ke KT

The bandwidth of the tachometer loop is dependent on the value of the

electric time constant. As an I.P., the bandwidth of the tachometer loop ðoc Þ
of Figure 12 should be one-half the electrical time constant, the separation
required between two single time constants as discussed with Figure 10 and
Eq. (9.2-22):

oe
oc ¼ (9.2-31)
2

Velocity loop bandwidth ðoc Þ is defined as the frequency at which the

closed velocity loop attenuation is
3 dB. As an example, in Eq. (9.3.85) the
ratio of output velocity ðVm Þ to input voltage ðEi Þ will have an amplitude of

3 dB at the velocity loop bandwidth, oc (rad/sec), for s ¼ jo.
For electric drives using switching type amplifiers (SCRs), there will be
an additional limiting factor on the bandwidths. This factor will be the effect
of the form factor on the amplifier transport lag, which in turn adds phase
shift with increasing frequency. The phase-shift characteristics for various
designs of silicon control rectifier (SCR) circuits versus frequency are shown
in chapter 7, figure 11. The transport lag is used in the nonlinear analysis of
a single-phase, full-wave SCR amplifier discussed in Section 7.5.
The position-loop bandwidth of the electric drive has the same I.P. as
the hydraulic drive, where the position-loop gain or bandwidth should be
one-half the velocity-loop bandwidth of Figure 13.

oc
Kv ¼ (9.2-32)
2

SUMMARY
Hydraulic drive with position loop only:

Minimum allowable hydraulic resonance ¼ oh ¼ 100 rad=sec

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved

 Fig. 13 Open-position loop for an electric drive (with a tachometer feedback loop).

Hydraulic drive with tachometer loop:

Minimum allowable hydraulic resonance ¼ oh ¼ 200 rad=sec

1
oc ¼ velocity loop bandwidth ¼ oh
3
1 1
Kv ¼ oc ¼ oh
2 6

Electric drive with tachometer loop:

1 1
om ¼ ¼ ¼ o1 ðlead compensationÞ
mechanical time constant tm
1
Kv ¼ oc ðvelocity-loop bandwidthÞ
2
1
oc ¼ velocity-loop bandwidth ¼ oe
2

Copyright 2003 by Marcel Dekker, Inc. All Rights Reserved