School of Chemical Engineering

The University of New South Wales

CEIC3006
Process Dynamics and Control

Week 4
Lecturer: Prof. Jie Bao
 This week’s lectures

 Second order processes

 Dynamic response characteristics of more complicated
processes: poles, zeros, inverse responses, stability
 Systems with time-delays and approximations
 Higher order systems
 Empirical modelling

CEIC3006 Term 2, 2022 2

 Step Responses of Second Order Processes

 Three families of processes

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 Second order processes

 Step response

2
1.8
ζ=0
1.6 ζ=0.2
1.4
y/KM

1.2 ζ=1
1
0.8
0.6
ζ=2
0.4
0.2
0
0 1 2 3 4 5 6 7 8 9 10
t/τ
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 Second order process
Observations
 Damping ratio ζ indicates the amount of damping in the system.
 That is the degree of oscillation in the process response after a perturbation.

 Small value of ζ implies little damping.

 As ζ (with 0< ζ <1) becomes smaller the
response becomes more oscillatory
 Responses exhibit overshoot (y(t)/KM >1)
when 0<ζ <1 ζ damping

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 Second order process
Observations
 Large ζ yields a sluggish (slow) response
 Systems with ζ=1 yield the fastest response without overshoot

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 Second order process
 Damping coefficient
 A double tank system:

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 Second order process

 Damping coefficient
 Mass on spring:  Mass on spring with damping:

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 Second order Processes
1.8

1.6

1.4

1.2 +5%
1
-5%
0.8

0.6

0.4

0.2

0
0
tr tp 5 10 15
ts
20 25 30 35 40 45 50

Rise time: tr is the time the process output takes to first reach the new steady-state value.
Time to First Peak: tp is the time required for the output to reach its first maximum value.
Settling time: ts is defined as the time required for the process output to reach and remain
inside a band whose width is equal to ±5% of the total change in y.

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 Second order Processes
1.8
P
1.6

1.4
a
1.2 +5%
c
1
-5%
0.8

0.6
b
0.4

0.2

0
0 5 10 15 20 25 30 35 40 45 50

Overshoot: OS=a/b
Decay ratio: DR=c/a
Period of oscillation: P is the time between two successive peaks or two successive valleys of the response.

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 Second order Processes
 Characteristics of underdamped second order process

 Time to first peak, tp

 Overshoot:

 Decay ratio:
ζ
 Period

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 Example of second order systems
 A stirred-tank heater with a control system
 The overall system from the feed flow w to temperature T in the tank is
second order underdamped system
TT

Tin, w
Thermocouple

Heater
Q T, w

TC

(a) Sudden change of Q from 4kW to 5 kW causes a dynamic change of T from a steady-state of 100C to
eventually 102C. What is the steady state gain of the overall system?

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 Example of second order systems
(b) The operator notes that the resulting response is slightly oscillatory with maxima of 102.5
and 102.03 C occurring at times 1000s and 3060s after the change is initiated. What is the
complete process transfer function?

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 Example of second order systems
(b) The operator notes that the resulting response is slightly oscillatory with maxima of
102.5 and 102.03 C occurring at times 1000s and 3060s after the change is initiated.
What is the complete process transfer function?

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 Sinusoidal Response

For large values of t:

where:

The amplitude ratio:

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 Example
 An engineer uses a temperature sensor mounted in a thermowell to measure
the temperature in a CSTR.
 The temperature sensor/transmitter combination operates approximately as a
first-order system with a time constant of 3 s.
 The thermowell behaves like a first-order system with a time constant of 10 s.
 The engineer notes that the measured reactor temperature has been cycling
approximately sinusoidally between 180 °C and 183 °C with a period of 30 s
for at least several minutes.
 What can be concluded concerning the actual temperature in the reactor?

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 Example
 First, note that the sensor/transmitter and the transmission line act as
two first-order processes in series with an overall gain K = 1, and with
the approximate transfer function:

 Some disturbance has caused the actual reactor temperature to vary

sinusoidally.
 The cycling period is much longer than the time constants of the process
so the transients have died out.

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 Example
 The frequency of the perturbing sinusoidal signal (reactor temperature) is
calculated from the observed period of 30 s:

 The amplitude of the output perturbation also is obtained from observed

results as

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 Example
 The amplitude of the actual reactor temperature

A = 4.12 °C
 The reactor temperature is varying between 181.5
− 4.12 = 177.38 °C and 181.5 + 4.12 = 185.62°C,
nearly three times the variation indicated by the
measured value.
 Overdamped system (ζ = 1.19) results in
sinusoidal perturbations in the reactor
temperature that will always be attenuated in the
measurement system regardless of the frequency
of the perturbation.
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Dynamic Response Characteristics of More
Complicated Processes

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 More Complicated Processes
Transfer function typically written as rational function of polynomials

n-th order system.

For any physical systems, n≥m.

Gain/time constant form

For first order and second order systems, system response characteristics are
determined by the factors of the transfer function denominator.

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 More Complicated Processes
A transfer function of the form

Apply an input signal to this process.

Assume n(s) does not cancel any factor in the denominator of G(s).

By using partial fraction expansion, Y(s) can be factorized as:

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 More Complicated Processes

y(t) would be a sum of

 A constant term resulting from factor
 An from the term
 A function resulting from Not related to the input U(s)
but rather the intrinsic
in the form of
dynamics of the process

 An input forcing term

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 More Complicated Processes

 Characteristic equation q(s)

Regardless of U(s), the intrinsic dynamics of the process can be determined from the
factors of the denominator polynomial q(s), i.e., the roots of q(s).

Denominator q(s) is called characteristic equation.

The roots of the characteristic equations are called poles of G(s).
The poles of G(s) represent the inherent dynamics of the process.
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 Poles in Complex Plane

Poles and zeros can be located in the complex ‘s’ plane:

jω
ζ 1−ζ 2
s3 = − + j
τ2 τ2

1 σ
s2 = − s1 = 0
τ1

ζ 1−ζ 2

s4 = − − j
τ2 τ2

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 Poles and Zeroes
If G(s) can be factorized as:

 The roots of q(s)=0 are the poles of G(s)

 The roots of r(s)=0 are the zeros of G(s)

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 Effects of Poles
Poles: Directly related to the underlying differential equation

 Real poles
 If a linear system has a real pole, there is a corresponding term in the
process response:

 If will decay to a steady-state value

exponentially – the system is stable.

 If any of the poles then will be unbounded – the system is

unstable. CEIC3006 Term 2, 2022 27
 Effects of Poles

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 Poles
 Real negative poles
Pole-zero Map

1
0.8
0.6
0.4
Imag Axis

0.2
0
-0.2
-0.4
-0.6
-0.8
-1
-2 -1.8 -1.6 -1.4 -1.2 -1 -0.8 -0.6 -0.4 -0.2 0
Real Axis

Step Response

1
0.9
0.8
0.7
Amplitude

0.6
0.5
0.4
0.3
0.2
0.1
0
0 1 2 3 4 5 6
Time (sec.)
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 Poles

 Pure imaginary poles

 If the system has an imaginary poles p=jω, y(t) will have the term:

How can we have imaginary y(t)?

All complex poles must exist in pairs!

p1=jω, p2= -jω
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 Poles

 Pure imaginary poles

 If the system has a pair of pure imaginary poles p1=jω, p2= -jω, y(t)
will have the terms:

 Bounded oscillation with no decay – marginally stable.

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 Poles
Plotting poles in the complex plane
Pole-zero map
2

1.5

Left Right
Imag Axis

0.5

0
Half Half
-0.5
Plane Plane
-1

-1.5

-2
-2 -1.5 -1 -0.5 0 0.5 1
Real Axis

Process Behavior with purely complex poles

Step Response
From: U(1)
2

1.8

1.6

1.4
Amplitude

1.2
To: Y(1)

0.8

0.6

0.4

0.2 Roots: 1.0j, -1.0j

0
0 5 10 15 20 25 30 35 40
Time (sec.)
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 Poles
 Complex poles (in pairs)
 If the system has a pair of complex poles p1=σ+jω, p2= σ-jω, y(t) will have the terms:

 If Re(pi)<0, then there are terms of the form y(t) vanishes to a unique point – the
system is stable.
 If any Re(pi)>0, then there is at least one term of the form i.e., y(t) will be
unbounded – the system is unstable.
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 Poles
Process behavior with mixed real and complex poles
1

0.8

0.6

0.4

Right half plane

Imaginary axis

0.2

0
Roots:
-0.2
-0.25+0.66j, RHP
-0.4 -0.25-0.66j
-0.6

-0.8

-1
-0.5 -0.4 -0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4 0.5
Real axis

Step Response
1.4

1.2

1
y(t)

0.8

0.6

0.4

0.2

0
0 5 10 15 20 25

Time (sec.)
CEIC3006 Term 2, 2022 34
 Poles
Process behavior with unstable poles
1.5

1
Roots:
0.5 -0.7441,
-0.3805+1.0830j,
Imaginary axis

-0.3805-1.0830j,
0.2550
-0.5

-1

-1.5
-0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6
Real axis

Unit Step Response

160

140

120

100

80
y(t)

60

40

20

-20
0 2 4 6 8 10 12 14 16 18 20
t
CEIC3006 Term 2, 2022 35
 Poles
jω 1
Step Response

s-plane Real poles 0.8

0.6

Amplitude
σ
0.4

ζ >1 0.2

0
0 10 20 30 40 50 60
Time (sec)

jω Step Response
1

s-plane Real identical poles 0.8

0.6

Amplitude
σ 0.4

ζ =1 0.2

0
0 10 20 30 40 50 60
Time (sec)
Step Response

jω 1.5

s-plane
Complex poles 1
Amplitude

0.5

σ
ζ<1
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
Time (sec) 36
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 Poles
jω
Step Response

s-plane
2

Imaginary poles
1.5

Amplitude
σ
1

ζ=0 0.5

0
0 5 10 15 20 25 30 35 40
Time (sec)

jω 60
Step Response

Complex RHP poles

s-plane 40

20

Amplitude
σ
0

−1< ζ <0
-20

-40
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
Time (sec)

Step Response

jω 1

s-plane Real RHP poles 0.8

0.6
Amplitude

0.4

σ 0.2

ζ < −1 0
0 0.05 0.1 0.15 0.2 0.25
Time (sec)
CEIC3006 Term 2, 2022 37
 Poles

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 Zeros

Zeros (or zero dynamics) can result from:

 Two or more processes in parallel or interacting with

each other;
 Multiple mechanisms within a process

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 Non-interacting Systems
 Non-interacting systems

Liquid level in second tank does not affect the level in first tank
CEIC3006 Term 2, 2022 40
 Zeros: Interacting Systems
 Interacting Systems qi

h1 q1 h2
q2
R1 R2

The liquid level in Tank 1 depends on the level in Tank 2

and Tank 2 level also depends on Tank 1 level.
Interacting systems

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 Zeros: Interacting Systems
 Interacting systems
qi

h1 q1 h2
q2
R1 R2

CEIC3006 Term 2, 2022 42

 Zeros: Multiple Mechanisms

 Positive Zeros (Right Half Plane Zeros): Inverse Response

Example
 What happens to the temperature of the furnace if you add more coal to the fireplace?
 Two mechanisms:
• Immediate cooling (added coal dumps the fire)
• Fire gets more power and the temperature begins to rise

CEIC3006 Term 2, 2022 43

 Zeros
Can result from processes with multiple mechanisms

If K1 and K2 have different signs and time constants are different then a right half plane
zero may occur (when )  inverse response!

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 Zeros
Transfer function:

2.5 16

1.5 8
y(t)/KM

4
1
2
1
0.5 0
-1
0 -2

-0.5
0 2 4 6 8 10 12 14 16 18 20
Time
CEIC3006 Term 2, 2022 45
 Example

 Case i
 Overshoot can occur if τa is sufficiently
large.
 Case ii
3
 Similar to a first-order process response.
2.5 16  Case iii
2  Positive zero, also called a right-half
1.5 8 plane zero, exhibits an inverse response,
y(t)/KM

1
4 an infrequently encountered yet
2
0.5
1 important dynamic characteristic.
0
-1
0 -2

-0.5
0 2 4 6 8 10 12 14 16 18 20
Time

CEIC3006 Term 2, 2022 46

 Zeros

Observations:
 Adding a zero to an overdamped second order process yields overshoot and
inverse response
 Inverse response is observed when the zeros lie in right half complex plane,
Re(z)>0
 Overshoot is observed when the zero is dominant ( τ a > τ1)
 In physical systems, overshoot and inverse response are a result of two process
with different time constants, acting in opposite directions

CEIC3006 Term 2, 2022 47

 Matlab
 Calculation performed easily in MATLAB
 Function ROOTS – find poles or zeros

e.g.
» roots([1 1 1 1])
ans =

-1.0000
0.0000 + 1.0000i
0.0000 - 1.0000i
» roots([1 2 2])

ans =
-1.0000 + 1.0000i
-1.0000 - 1.0000i Matlab
CEIC3006 Term 2, 2022 48
 Matlab
 Define a linear system:
Transfer function:

» s=tf(‘s’);
» G=(s+1)/(10*s+1)

Transfer function:
s + 1
--------
10 s + 1
Matlab

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 Systems with Dead Time

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 Systems with Dead Time
 Whenever material or energy is physically moved in a process or plant, there is a time
delay associated with the movement.
 For example: a fluid is transported through a pipe in plug flow, the transportation time
between points 1 and 2 is given by

or equivalently, by

CEIC3006 Term 2, 2022 51

 Systems with Dead Time
 The output y(t) is simply the same input function shifted backward in
time by θ.

CEIC3006 Term 2, 2022 52

 Systems with Dead Time
Delayed transfer functions

e.g. First order plus dead-time

Second order plus dead-time

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 Polynomial Approximations to e−θs
 Problem
 Use of the dead time makes analysis (poles and zeros) more difficult
 We need polynomials (rational transfer functions)

 The Padé approximation for a time delay is a ratio of two polynomials

in s with coefficients selected to match the terms of a truncated
Taylor series expansion of e−θs.

CEIC3006 Term 2, 2022 54

 Padé Approximations
 Approximate dead-time by a rational (polynomial) function

Taylor expansion:

Padé approximation:

First
order

Second
order

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 Padé Approximations
 Padé Approximation of time delay
Step Response
From: U(1)
1.5

First Order Pade

Amplitude

0.5 Second Order Pade

To: Y(1)

Time delay

-0.5

-1
0 5 10 15
Time (sec.)

In general Padé approximations do not approximate dead-

time very well

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 Padé Approximations
 Padé Approximation of first order+time delay
Step Response
From: U(1)
1.2
Exact Response
First order Pade
1 Second order Pade

0.8
Amplitude

0.6
To: Y(1)

0.4

0.2

-0.2
0 2 4 6 8 10 12 14 16 18 20
Time (sec.)

• Padé approximations are better when one approximates a first order plus dead
time process
• They introduce inverse response (right half plane zeros) in the transfer function
CEIC3006 Term 2, 2022 57
 Simulink

s+1
10s+1
Sine Wave Transport Transfer Fcn Scope
Delay

CEIC3006 Term 2, 2022 66

 Higher-order Systems

 Dominant time constant

 High order processes have multiple time constants.

 The time constant(s) which is (are) significantly larger than the rest
of time constants of the system is (are) called dominant time
constant(s). (e.g. 5 times larger)

 Dominant time constant(s) has (have) significant contribution to

process dynamics

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 Higher-order Systems
 Multi-tray Distillation Column
Overhead
vapor Condenser

Condenser
holdup
Distillate
Reflex D, yD
L
Feed

F, zF

Boilup

MB V Reboiler
Bottom
product B, xB

• On each tray, the system relates temperature to flow rate is a first order system.
• A change in reflux rate affects conditions in the reboiler only after some period of time

CEIC3006 Term 2, 2022 68

 Process Approximation

Step Response

10
9
8
7
Amplitude

6
5
n=1
4
3
2 n=32
1
0
0 10 20 30 40 50 60
Time (sec.)

A pure time delay can approximate a large number of first

order systems in series
CEIC3006 Term 2, 2022 69
 Process Approximation
 More complicated processes
 Higher order processes (e.g. n tanks in series)
U(s) Y(s)

 For one dominant time constant τ1, process well approximated by

 For two dominant time constants τ1 and τ2 process well approximated by

CEIC3006 Term 2, 2022 70

 Process Approximation

 Example

Step Response
1

0.9

0.8

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0
0 50 100 150
Time (sec.)

CEIC3006 Term 2, 2022 71

 Empirical Modeling

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 Empirical Modeling
 Objective:
 To identify low-order process dynamics (i.e., first and second order
transfer function models)
 Estimate process parameters (i.e., K, τ, ζ, and θ)

 Methodologies:
1. Least Squares Estimation (just curve fitting!)
• more systematic statistical approach
2. Process Reaction Curve Methods
• quick and easy
• based on engineering heuristics
Models obtained are only valid in the narrow range of operating
conditions close to the nominal steady state

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 Empirical Modeling
Nonlinear Least Squares Optimization
 System output is generally discretized

or, simply

 First Order process (step response)

Least squares problem becomes the minimization of SSR

In MATLAB : function lsqcurvefit (A function in Optimization Toolbox)

CEIC3006 Term 2, 2022 74

 Empirical Modeling

 Example
Nonlinear Least Squares Fit of a first order process from step response
data

Model 4.5
Step Response

3.5

Data 3

2.5

2
y(t)

1.5

0.5

-0.5
0 10 20 30 40 50 60 70 80
t

CEIC3006 Term 2, 2022 75

 Empirical Modeling
 Example
We have the response data collected and stored in t and y.
t = [0.1 0.5 0.8 1 2.1 3.2 4.1 5.3 6.5 7.4 8];
y = [0.12 .3 .5 1 1.9 3 3.5 3.8 3.9 4 4.1 ];

 Write a function which calculate the error:

M=3;
fun = @(x,t)x(1)*(1-exp(-t./x(2)));
x0 = [1,1];

 Run lsqnonlin
x = lsqcurvefit(fun,x0,t,y)

 Plot the results

times = linspace(t(1),t(end))
figure;plot(t,y,'ko',times,fun(x,times),'b-')
legend('Data','Fitted exponential')
title('Data and Fitted Curve')
CEIC3006 Term 2, 2022 76
 Empirical Modeling

 Process reaction curve method

 based on approximation of process using first order plus delay model

1. Step in u is introduced
2. Observe behavior ym(t)
3. Fit a first order plus dead time model

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 Empirical Modeling
 First order plus dead-time approximations
1.2

0.8

0.6
KM
0.4

0.2

-0.2
θ
0 1
τ− θ
2 3 4 5 6 7 8

 Estimation of steady-state gain is easy

 Estimation of time constant and dead-time is more difficult

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 Empirical Modeling
 Reaction Curve Method (Sundaresan and Krishnaswamy)
 find times at which process reaches 35.3% (t1) and 85.3% (t2) of the new
steady-state (in difference of y’ )
1

0.9

0.8

0.7

0.6

0.5
y(t)

0.4

0.3

0.2

0.1

0
0 20 40 60 80 100 120 140 160

t1 t2
t

 Estimate

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 Empirical Process
Example
1

0.9

0.8

0.7

0.6

0.5

y(t)
Estimates: 0.4

0.3

0.2

0.1

Comparison: 0
0 20
t1
40 60
t2
80
t
100 120 140 160

Least Squares Fit Reaction Curve

• based on graphical interpretation

• Systematic approach • sensitive to process noise
• Computationally intensive • restricted to first order models due to reliability
• quick and easy
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