Static electricity

All About Circuits > Volume I - DC > Chapter 1: BASIC CONCEPTS OF ELECTRICITY > Static electricity

Static electricity

It was discovered centuries ago that certain types of materials would mysteriously attract one another after
being rubbed together. For example: after rubbing a piece of silk against a piece of glass, the silk and glass
would tend to stick together. Indeed, there was an attractive force that could be demonstrated even when the
two materials were separated:

Glass and silk aren't the only materials known to behave like this. Anyone who has ever brushed up against a
latex balloon only to find that it tries to stick to them has experienced this same phenomenon. Paraffin wax
and wool cloth are another pair of materials early experimenters recognized as manifesting attractive forces
after being rubbed together:

This phenomenon became even more interesting when it was discovered that identical materials, after having
been rubbed with their respective cloths, always repelled each other:
It was also noted that when a piece of glass rubbed with silk was exposed to a piece of wax rubbed with wool,
the two materials would attract one another:

Furthermore, it was found that any material demonstrating properties of attraction or repulsion after being
rubbed could be classed into one of two distinct categories: attracted to glass and repelled by wax, or repelled
by glass and attracted to wax. It was either one or the other: there were no materials found that would be
attracted to or repelled by both glass and wax, or that reacted to one without reacting to the other.

More attention was directed toward the pieces of cloth used to do the rubbing. It was discovered that after
rubbing two pieces of glass with two pieces of silk cloth, not only did the glass pieces repel each other, but so
did the cloths. The same phenomenon held for the pieces of wool used to rub the wax:
Now, this was really strange to witness. After all, none of these objects were visibly altered by the rubbing, yet
they definitely behaved differently than before they were rubbed. Whatever change took place to make these
materials attract or repel one another was invisible.

Some experimenters speculated that invisible "fluids" were being transferred from one object to another during
the process of rubbing, and that these "fluids" were able to effect a physical force over a distance. Charles
Dufay was one the early experimenters who demonstrated that there were definitely two different types of
changes wrought by rubbing certain pairs of objects together. The fact that there was more than one type of
change manifested in these materials was evident by the fact that there were two types of forces produced:
attraction and repulsion. The hypothetical fluid transfer became known as a charge.

One pioneering researcher, Benjamin Franklin, came to the conclusion that there was only one fluid exchanged
between rubbed objects, and that the two different "charges" were nothing more than either an excess or a
deficiency of that one fluid. After experimenting with wax and wool, Franklin suggested that the coarse wool
removed some of this invisible fluid from the smooth wax, causing an excess of fluid on the wool and a
deficiency of fluid on the wax. The resulting disparity in fluid content between the wool and wax would then
cause an attractive force, as the fluid tried to regain its former balance between the two materials.

Postulating the existence of a single "fluid" that was either gained or lost through rubbing accounted best for
the observed behavior: that all these materials fell neatly into one of two categories when rubbed, and most
importantly, that the two active materials rubbed against each other always fell into opposing categories as
evidenced by their invariable attraction to one another. In other words, there was never a time where two
materials rubbed against each other both became either positive or negative.

Following Franklin's speculation of the wool rubbing something off of the wax, the type of charge that was
associated with rubbed wax became known as "negative" (because it was supposed to have a deficiency of
fluid) while the type of charge associated with the rubbing wool became known as "positive" (because it was
supposed to have an excess of fluid). Little did he know that his innocent conjecture would cause much
confusion for students of electricity in the future!

Precise measurements of electrical charge were carried out by the French physicist Charles Coulomb in the
1780's using a device called a torsional balance measuring the force generated between two electrically
charged objects. The results of Coulomb's work led to the development of a unit of electrical charge named in
his honor, the coulomb. If two "point" objects (hypothetical objects having no appreciable surface area) were
equally charged to a measure of 1 coulomb, and placed 1 meter (approximately 1 yard) apart, they would
generate a force of about 9 billion newtons (approximately 2 billion pounds), either attracting or repelling
depending on the types of charges involved.

It discovered much later that this "fluid" was actually composed of extremely small bits of matter called
electrons, so named in honor of the ancient Greek word for amber: another material exhibiting charged
properties when rubbed with cloth. Experimentation has since revealed that all objects are composed of
extremely small "building-blocks" known as atoms, and that these atoms are in turn composed of smaller
components known as particles. The three fundamental particles comprising atoms are called protons,
neutrons, and electrons. Atoms are far too small to be seen, but if we could look at one, it might appear
something like this:

Even though each atom in a piece of material tends to hold together as a unit, there's actually a lot of empty
space between the electrons and the cluster of protons and neutrons residing in the middle.

This crude model is that of the element carbon, with six protons, six neutrons, and six electrons. In any atom,
the protons and neutrons are very tightly bound together, which is an important quality. The tightly-bound
clump of protons and neutrons in the center of the atom is called the nucleus, and the number of protons in an
atom's nucleus determines its elemental identity: change the number of protons in an atom's nucleus, and you
change the type of atom that it is. In fact, if you could remove three protons from the nucleus of an atom of
lead, you will have achieved the old alchemists' dream of producing an atom of gold! The tight binding of
protons in the nucleus is responsible for the stable identity of chemical elements, and the failure of alchemists
to achieve their dream.

Neutrons are much less influential on the chemical character and identity of an atom than protons, although
they are just as hard to add to or remove from the nucleus, being so tightly bound. If neutrons are added or
gained, the atom will still retain the same chemical identity, but its mass will change slightly and it may acquire
strange nuclear properties such as radioactivity.

However, electrons have significantly more freedom to move around in an atom than either protons or
neutrons. In fact, they can be knocked out of their respective positions (even leaving the atom entirely!) by far
less energy than what it takes to dislodge particles in the nucleus. If this happens, the atom still retains its
chemical identity, but an important imbalance occurs. Electrons and protons are unique in the fact that they
are attracted to one another over a distance. It is this attraction over distance which causes the attraction
between rubbed objects, where electrons are moved away from their original atoms to reside around atoms of
another object.
Electrons tend to repel other electrons over a distance, as do protons with other protons. The only reason
protons bind together in the nucleus of an atom is because of a much stronger force called the strong nuclear
force which has effect only under very short distances. Because of this attraction/repulsion behavior between
individual particles, electrons and protons are said to have opposite electric charges. That is, each electron has
a negative charge, and each proton a positive charge. In equal numbers within an atom, they counteract each
other's presence so that the net charge within the atom is zero. This is why the picture of a carbon atom had
six electrons: to balance out the electric charge of the six protons in the nucleus. If electrons leave or extra
electrons arrive, the atom's net electric charge will be imbalanced, leaving the atom "charged" as a whole,
causing it to interact with charged particles and other charged atoms nearby. Neutrons are neither attracted to
or repelled by electrons, protons, or even other neutrons, and are consequently categorized as having no
charge at all.

The process of electrons arriving or leaving is exactly what happens when certain combinations of materials are
rubbed together: electrons from the atoms of one material are forced by the rubbing to leave their respective
atoms and transfer over to the atoms of the other material. In other words, electrons comprise the "fluid"
hypothesized by Benjamin Franklin. The operational definition of a coulomb as the unit of electrical charge (in
terms of force generated between point charges) was found to be equal to an excess or deficiency of about
6,250,000,000,000,000,000 electrons. Or, stated in reverse terms, one electron has a charge of about
0.00000000000000000016 coulombs. Being that one electron is the smallest known carrier of electric charge,
this last figure of charge for the electron is defined as the elementary charge.

The result of an imbalance of this "fluid" (electrons) between objects is called static electricity. It is called
"static" because the displaced electrons tend to remain stationary after being moved from one material to
another. In the case of wax and wool, it was determined through further experimentation that electrons in the
wool actually transferred to the atoms in the wax, which is exactly opposite of Franklin's conjecture! In honor
of Franklin's designation of the wax's charge being "negative" and the wool's charge being "positive," electrons
are said to have a "negative" charging influence. Thus, an object whose atoms have received a surplus of
electrons is said to be negatively charged, while an object whose atoms are lacking electrons is said to be
positively charged, as confusing as these designations may seem. By the time the true nature of electric "fluid"
was discovered, Franklin's nomenclature of electric charge was too well established to be easily changed, and
so it remains to this day.

• REVIEW:
• All materials are made up of tiny "building blocks" known as atoms.
• All atoms contain particles called electrons, protons, and neutrons.
• Electrons have a negative (-) electric charge.
• Protons have a positive (+) electric charge.
• Neutrons have no electric charge.
• Electrons can be dislodged from atoms much easier than protons or neutrons.
• The number of protons in an atom's nucleus determines its identity as a unique element

Conductors, insulators, and electron flow

The electrons of different types of atoms have different degrees of freedom to move around. With some types
of materials, such as metals, the outermost electrons in the atoms are so loosely bound that they chaotically
move in the space between the atoms of that material by nothing more than the influence of room-
temperature heat energy. Because these virtually unbound electrons are free to leave their respective atoms
and float around in the space between adjacent atoms, they are often called free electrons.

In other types of materials such as glass, the atoms' electrons have very little freedom to move around. While
external forces such as physical rubbing can force some of these electrons to leave their respective atoms and
transfer to the atoms of another material, they do not move between atoms within that material very easily.

This relative mobility of electrons within a material is known as electric conductivity. Conductivity is determined
by the types of atoms in a material (the number of protons in each atom's nucleus, determining its chemical
identity) and how the atoms are linked together with one another. Materials with high electron mobility (many
free electrons) are called conductors, while materials with low electron mobility (few or no free electrons) are
called insulators.

Here are a few common examples of conductors and insulators:

 • Conductors:
• silver
• copper
• gold
• aluminum
• iron
• steel
• brass
• bronze
• mercury
• graphite
• dirty water
• concrete

• Insulators:
• glass
• rubber
• oil
• asphalt
• fiberglass
• porcelain
• ceramic
• quartz
• (dry) cotton
• (dry) paper
• (dry) wood
• plastic
• air
• diamond
• pure water

It must be understood that not all conductive materials have the same level of conductivity, and not all
insulators are equally resistant to electron motion. Electrical conductivity is analogous to the transparency of
certain materials to light: materials that easily "conduct" light are called "transparent," while those that don't
are called "opaque." However, not all transparent materials are equally conductive to light. Window glass is
better than most plastics, and certainly better than "clear" fiberglass. So it is with electrical conductors, some
being better than others.

For instance, silver is the best conductor in the "conductors" list, offering easier passage for electrons than any
other material cited. Dirty water and concrete are also listed as conductors, but these materials are
substantially less conductive than any metal.

Physical dimension also impacts conductivity. For instance, if we take two strips of the same conductive
material -- one thin and the other thick -- the thick strip will prove to be a better conductor than the thin for
the same length. If we take another pair of strips -- this time both with the same thickness but one shorter
than the other -- the shorter one will offer easier passage to electrons than the long one. This is analogous to
water flow in a pipe: a fat pipe offers easier passage than a skinny pipe, and a short pipe is easier for water to
move through than a long pipe, all other dimensions being equal.

It should also be understood that some materials experience changes in their electrical properties under
different conditions. Glass, for instance, is a very good insulator at room temperature, but becomes a
conductor when heated to a very high temperature. Gases such as air, normally insulating materials, also
become conductive if heated to very high temperatures. Most metals become poorer conductors when heated,
and better conductors when cooled. Many conductive materials become perfectly conductive (this is called
superconductivity) at extremely low temperatures.

While the normal motion of "free" electrons in a conductor is random, with no particular direction or speed,
electrons can be influenced to move in a coordinated fashion through a conductive material. This uniform
motion of electrons is what we call electricity, or electric current. To be more precise, it could be called
dynamic electricity in contrast to static electricity, which is an unmoving accumulation of electric charge. Just
like water flowing through the emptiness of a pipe, electrons are able to move within the empty space within
and between the atoms of a conductor. The conductor may appear to be solid to our eyes, but any material
composed of atoms is mostly empty space! The liquid-flow analogy is so fitting that the motion of electrons
through a conductor is often referred to as a "flow."

A noteworthy observation may be made here. As each electron moves uniformly through a conductor, it pushes
on the one ahead of it, such that all the electrons move together as a group. The starting and stopping of
electron flow through the length of a conductive path is virtually instantaneous from one end of a conductor to
the other, even though the motion of each electron may be very slow. An approximate analogy is that of a
tube filled end-to-end with marbles:

The tube is full of marbles, just as a conductor is full of free electrons ready to be moved by an outside
influence. If a single marble is suddenly inserted into this full tube on the left-hand side, another marble will
immediately try to exit the tube on the right. Even though each marble only traveled a short distance, the
transfer of motion through the tube is virtually instantaneous from the left end to the right end, no matter how
long the tube is. With electricity, the overall effect from one end of a conductor to the other happens at the
speed of light: a swift 186,000 miles per second!!! Each individual electron, though, travels through the
conductor at a much slower pace.

If we want electrons to flow in a certain direction to a certain place, we must provide the proper path for them
to move, just as a plumber must install piping to get water to flow where he or she wants it to flow. To
facilitate this, wires are made of highly conductive metals such as copper or aluminum in a wide variety of
sizes.

Remember that electrons can flow only when they have the opportunity to move in the space between the
atoms of a material. This means that there can be electric current only where there exists a continuous path of
conductive material providing a conduit for electrons to travel through. In the marble analogy, marbles can
flow into the left-hand side of the tube (and, consequently, through the tube) if and only if the tube is open on
the right-hand side for marbles to flow out. If the tube is blocked on the right-hand side, the marbles will just
"pile up" inside the tube, and marble "flow" will not occur. The same holds true for electric current: the
continuous flow of electrons requires there be an unbroken path to permit that flow. Let's look at a diagram to
illustrate how this works:

A thin, solid line (as shown above) is the conventional symbol for a continuous piece of wire. Since the wire is
made of a conductive material, such as copper, its constituent atoms have many free electrons which can
easily move through the wire. However, there will never be a continuous or uniform flow of electrons within
this wire unless they have a place to come from and a place to go. Let's add an hypothetical electron "Source"
and "Destination:"

Now, with the Electron Source pushing new electrons into the wire on the left-hand side, electron flow through
the wire can occur (as indicated by the arrows pointing from left to right). However, the flow will be interrupted
if the conductive path formed by the wire is broken:

Since air is an insulating material, and an air gap separates the two pieces of wire, the once-continuous path
has now been broken, and electrons cannot flow from Source to Destination. This is like cutting a water pipe in
two and capping off the broken ends of the pipe: water can't flow if there's no exit out of the pipe. In electrical
terms, we had a condition of electrical continuity when the wire was in one piece, and now that continuity is
broken with the wire cut and separated.
If we were to take another piece of wire leading to the Destination and simply make physical contact with the
wire leading to the Source, we would once again have a continuous path for electrons to flow. The two dots in
the diagram indicate physical (metal-to-metal) contact between the wire pieces:

Now, we have continuity from the Source, to the newly-made connection, down, to the right, and up to the
Destination. This is analogous to putting a "tee" fitting in one of the capped-off pipes and directing water
through a new segment of pipe to its destination. Please take note that the broken segment of wire on the
right hand side has no electrons flowing through it, because it is no longer part of a complete path from Source
to Destination.

It is interesting to note that no "wear" occurs within wires due to this electric current, unlike water-carrying
pipes which are eventually corroded and worn by prolonged flows. Electrons do encounter some degree of
friction as they move, however, and this friction can generate heat in a conductor. This is a topic we'll explore
in much greater detail later.

• REVIEW:
• In conductive materials, the outer electrons in each atom can easily come or go, and are called free
electrons.
• In insulating materials, the outer electrons are not so free to move.
• All metals are electrically conductive.
• Dynamic electricity, or electric current, is the uniform motion of electrons through a conductor. Static
electricity is an unmoving, accumulated charge formed by either an excess or deficiency of electrons
in an object.
• For electrons to flow continuously (indefinitely) through a conductor, there must be a complete,
unbroken path for them to move both into and out of that conductor.

Electric circuits

You might have been wondering how electrons can continuously flow in a uniform direction through wires
without the benefit of these hypothetical electron Sources and Destinations. In order for the Source-and-
Destination scheme to work, both would have to have an infinite capacity for electrons in order to sustain a
continuous flow! Using the marble-and-tube analogy, the marble source and marble destination buckets would
have to be infinitely large to contain enough marble capacity for a "flow" of marbles to be sustained.

The answer to this paradox is found in the concept of a circuit: a never-ending looped pathway for electrons. If
we take a wire, or many wires joined end-to-end, and loop it around so that it forms a continuous pathway, we
have the means to support a uniform flow of electrons without having to resort to infinite Sources and
Destinations:
Each electron advancing clockwise in this circuit pushes on the one in front of it, which pushes on the one in
front of it, and so on, and so on, just like a hula-hoop filled with marbles. Now, we have the capability of
supporting a continuous flow of electrons indefinitely without the need for infinite electron supplies and dumps.
All we need to maintain this flow is a continuous means of motivation for those electrons, which we'll address
in the next section of this chapter.

It must be realized that continuity is just as important in a circuit as it is in a straight piece of wire. Just as in
the example with the straight piece of wire between the electron Source and Destination, any break in this
circuit will prevent electrons from flowing through it:

An important principle to realize here is that it doesn't matter where the break occurs. Any discontinuity in the
circuit will prevent electron flow throughout the entire circuit. Unless there is a continuous, unbroken loop of
conductive material for electrons to flow through, a sustained flow simply cannot be maintained.
 • REVIEW:
• A circuit is an unbroken loop of conductive material that allows electrons to flow through continuously
without beginning or end.
• If a circuit is "broken," that means it's conductive elements no longer form a complete path, and
continuous electron flow cannot occur in it.
• The location of a break in a circuit is irrelevant to its inability to sustain continuous electron flow. Any
break, anywhere in a circuit prevents electron flow throughout the circuit.

Voltage and current

As was previously mentioned, we need more than just a continuous path (circuit) before a continuous flow of
electrons will occur: we also need some means to push these electrons around the circuit. Just like marbles in
a tube or water in a pipe, it takes some kind of influencing force to initiate flow. With electrons, this force is the
same force at work in static electricity: the force produced by an imbalance of electric charge.

If we take the examples of wax and wool which have been rubbed together, we find that the surplus of
electrons in the wax (negative charge) and the deficit of electrons in the wool (positive charge) creates an
imbalance of charge between them. This imbalance manifests itself as an attractive force between the two
objects:

If a conductive wire is placed between the charged wax and wool, electrons will flow through it, as some of the
excess electrons in the wax rush through the wire to get back to the wool, filling the deficiency of electrons
there:
The imbalance of electrons between the atoms in the wax and the atoms in the wool creates a force between
the two materials. With no path for electrons to flow from the wax to the wool, all this force can do is attract
the two objects together. Now that a conductor bridges the insulating gap, however, the force will provoke
electrons to flow in a uniform direction through the wire, if only momentarily, until the charge in that area
neutralizes and the force between the wax and wool diminishes.

The electric charge formed between these two materials by rubbing them together serves to store a certain
amount of energy. This energy is not unlike the energy stored in a high reservoir of water that has been
pumped from a lower-level pond:

The influence of gravity on the water in the reservoir creates a force that attempts to move the water down to
the lower level again. If a suitable pipe is run from the reservoir back to the pond, water will flow under the
influence of gravity down from the reservoir, through the pipe:
It takes energy to pump that water from the low-level pond to the high-level reservoir, and the movement of
water through the piping back down to its original level constitutes a releasing of energy stored from previous
pumping.

If the water is pumped to an even higher level, it will take even more energy to do so, thus more energy will
be stored, and more energy released if the water is allowed to flow through a pipe back down again:
Electrons are not much different. If we rub wax and wool together, we "pump" electrons away from their
normal "levels," creating a condition where a force exists between the wax and wool, as the electrons seek to
re-establish their former positions (and balance within their respective atoms). The force attracting electrons
back to their original positions around the positive nuclei of their atoms is analogous to the force gravity exerts
on water in the reservoir, trying to draw it down to its former level.
Just as the pumping of water to a higher level results in energy being stored, "pumping" electrons to create an
electric charge imbalance results in a certain amount of energy being stored in that imbalance. And, just as
providing a way for water to flow back down from the heights of the reservoir results in a release of that stored
energy, providing a way for electrons to flow back to their original "levels" results in a release of stored energy.

When the electrons are poised in that static condition (just like water sitting still, high in a reservoir), the
energy stored there is called potential energy, because it has the possibility (potential) of release that has not
been fully realized yet. When you scuff your rubber-soled shoes against a fabric carpet on a dry day, you
create an imbalance of electric charge between yourself and the carpet. The action of scuffing your feet stores
energy in the form of an imbalance of electrons forced from their original locations. If this charge (static
electricity) is stationary, and you won't realize that energy is being stored at all. However, once you place your
hand against a metal doorknob (with lots of electron mobility to neutralize your electric charge), that stored
energy will be released in the form of a sudden flow of electrons through your hand, and you will perceive it as
an electric shock!

This potential energy, stored in the form of an electric charge imbalance and capable of provoking electrons to
flow through a conductor, can be expressed as a term called voltage, which technically is a measure of
potential energy per unit charge of electrons, or something a physicist would call specific potential energy.
Defined in the context of static electricity, voltage is the measure of work required to move a unit charge from
one location to another, against the force which tries to keep electric charges balanced. In the context of
electrical power sources, voltage is the amount of potential energy available (work to be done) per unit charge,
to move electrons through a conductor.

Because voltage is an expression of potential energy, representing the possibility or potential for energy
release as the electrons move from one "level" to another, it is always referenced between two points.
Consider the water reservoir analogy:

Because of the difference in the height of the drop, there's potential for much more energy to be released from
the reservoir through the piping to location 2 than to location 1. The principle can be intuitively understood in
dropping a rock: which results in a more violent impact, a rock dropped from a height of one foot, or the same
rock dropped from a height of one mile? Obviously, the drop of greater height results in greater energy
released (a more violent impact). We cannot assess the amount of stored energy in a water reservoir simply by
measuring the volume of water any more than we can predict the severity of a falling rock's impact simply
from knowing the weight of the rock: in both cases we must also consider how far these masses will drop from
their initial height. The amount of energy released by allowing a mass to drop is relative to the distance
between its starting and ending points. Likewise, the potential energy available for moving electrons from one
point to another is relative to those two points. Therefore, voltage is always expressed as a quantity between
two points. Interestingly enough, the analogy of a mass potentially "dropping" from one height to another is
such an apt model that voltage between two points is sometimes called a voltage drop.
Voltage can be generated by means other than rubbing certain types of materials against each other. Chemical
reactions, radiant energy, and the influence of magnetism on conductors are a few ways in which voltage may
be produced. Respective examples of these three sources of voltage are batteries, solar cells, and generators
(such as the "alternator" unit under the hood of your automobile). For now, we won't go into detail as to how
each of these voltage sources works -- more important is that we understand how voltage sources can be
applied to create electron flow in a circuit.

Let's take the symbol for a chemical battery and build a circuit step by step:

Any source of voltage, including batteries, have two points for electrical contact. In this case, we have point 1
and point 2 in the above diagram. The horizontal lines of varying length indicate that this is a battery, and they
further indicate the direction which this battery's voltage will try to push electrons through a circuit. The fact
that the horizontal lines in the battery symbol appear separated (and thus unable to serve as a path for
electrons to move) is no cause for concern: in real life, those horizontal lines represent metallic plates
immersed in a liquid or semi-solid material that not only conducts electrons, but also generates the voltage to
push them along by interacting with the plates.

Notice the little "+" and "-" signs to the immediate left of the battery symbol. The negative (-) end of the
battery is always the end with the shortest dash, and the positive (+) end of the battery is always the end with
the longest dash. Since we have decided to call electrons "negatively" charged (thanks, Ben!), the negative
end of a battery is that end which tries to push electrons out of it. Likewise, the positive end is that end which
tries to attract electrons.

With the "+" and "-" ends of the battery not connected to anything, there will be voltage between those two
points, but there will be no flow of electrons through the battery, because there is no continuous path for the
electrons to move.
The same principle holds true for the water reservoir and pump analogy: without a return pipe back to the
pond, stored energy in the reservoir cannot be released in the form of water flow. Once the reservoir is
completely filled up, no flow can occur, no matter how much pressure the pump may generate. There needs to
be a complete path (circuit) for water to flow from the pond, to the reservoir, and back to the pond in order for
continuous flow to occur.

We can provide such a path for the battery by connecting a piece of wire from one end of the battery to the
other. Forming a circuit with a loop of wire, we will initiate a continuous flow of electrons in a clockwise
direction:
So long as the battery continues to produce voltage and the continuity of the electrical path isn't broken,
electrons will continue to flow in the circuit. Following the metaphor of water moving through a pipe, this
continuous, uniform flow of electrons through the circuit is called a current. So long as the voltage source
keeps "pushing" in the same direction, the electron flow will continue to move in the same direction in the
circuit. This single-direction flow of electrons is called a Direct Current, or DC. In the second volume of this
book series, electric circuits are explored where the direction of current switches back and forth: Alternating
Current, or AC. But for now, we'll just concern ourselves with DC circuits.

Because electric current is composed of individual electrons flowing in unison through a conductor by moving
along and pushing on the electrons ahead, just like marbles through a tube or water through a pipe, the
amount of flow throughout a single circuit will be the same at any point. If we were to monitor a cross-section
of the wire in a single circuit, counting the electrons flowing by, we would notice the exact same quantity per
unit of time as in any other part of the circuit, regardless of conductor length or conductor diameter.

If we break the circuit's continuity at any point, the electric current will cease in the entire loop, and the full
voltage produced by the battery will be manifested across the break, between the wire ends that used to be
connected:

Notice the "+" and "-" signs drawn at the ends of the break in the circuit, and how they correspond to the "+"
and "-" signs next to the battery's terminals. These markers indicate the direction that the voltage attempts to
push electron flow, that potential direction commonly referred to as polarity. Remember that voltage is always
relative between two points. Because of this fact, the polarity of a voltage drop is also relative between two
points: whether a point in a circuit gets labeled with a "+" or a "-" depends on the other point to which it is
referenced. Take a look at the following circuit, where each corner of the loop is marked with a number for
reference:

With the circuit's continuity broken between points 2 and 3, the polarity of the voltage dropped between points
2 and 3 is "-" for point 2 and "+" for point 3. The battery's polarity (1 "-" and 4 "+") is trying to push electrons
through the loop clockwise from 1 to 2 to 3 to 4 and back to 1 again.

Now let's see what happens if we connect points 2 and 3 back together again, but place a break in the circuit
between points 3 and 4:
With the break between 3 and 4, the polarity of the voltage drop between those two points is "+" for 4 and "-"
for 3. Take special note of the fact that point 3's "sign" is opposite of that in the first example, where the break
was between points 2 and 3 (where point 3 was labeled "+"). It is impossible for us to say that point 3 in this
circuit will always be either "+" or "-", because polarity, like voltage itself, is not specific to a single point, but
is always relative between two points!

• REVIEW:
• Electrons can be motivated to flow through a conductor by the same force manifested in static
electricity.
• Voltage is the measure of specific potential energy (potential energy per unit charge) between two
locations. In layman's terms, it is the measure of "push" available to motivate electrons.
• Voltage, as an expression of potential energy, is always relative between two locations, or points.
Sometimes it is called a voltage "drop."
• When a voltage source is connected to a circuit, the voltage will cause a uniform flow of electrons
through that circuit called a current.
• In a single (one loop) circuit, the amount of current at any point is the same as the amount of current
at any other point.
• If a circuit containing a voltage source is broken, the full voltage of that source will appear across the
points of the break.
• The +/- orientation a voltage drop is called the polarity. It is also relative between two points.

<

Resistance

The circuit in the previous section is not a very practical one. In fact, it can be quite dangerous to build
(directly connecting the poles of a voltage source together with a single piece of wire). The reason it is
dangerous is because the magnitude of electric current may be very large in such a short circuit, and the
release of energy very dramatic (usually in the form of heat). Usually, electric circuits are constructed in such a
way as to make practical use of that released energy, in as safe a manner as possible.

One practical and popular use of electric current is for the operation of electric lighting. The simplest form of
electric lamp is a tiny metal "filament" inside of a clear glass bulb, which glows white-hot ("incandesces") with
heat energy when sufficient electric current passes through it. Like the battery, it has two conductive
connection points, one for electrons to enter and the other for electrons to exit.

Connected to a source of voltage, an electric lamp circuit looks something like this:
As the electrons work their way through the thin metal filament of the lamp, they encounter more opposition to
motion than they typically would in a thick piece of wire. This opposition to electric current depends on the
type of material, its cross-sectional area, and its temperature. It is technically known as resistance. (It can be
said that conductors have low resistance and insulators have very high resistance.) This resistance serves to
limit the amount of current through the circuit with a given amount of voltage supplied by the battery, as
compared with the "short circuit" where we had nothing but a wire joining one end of the voltage source
(battery) to the other.

When electrons move against the opposition of resistance, "friction" is generated. Just like mechanical friction,
the friction produced by electrons flowing against a resistance manifests itself in the form of heat. The
concentrated resistance of a lamp's filament results in a relatively large amount of heat energy dissipated at
that filament. This heat energy is enough to cause the filament to glow white-hot, producing light, whereas the
wires connecting the lamp to the battery (which have much lower resistance) hardly even get warm while
conducting the same amount of current.

As in the case of the short circuit, if the continuity of the circuit is broken at any point, electron flow stops
throughout the entire circuit. With a lamp in place, this means that it will stop glowing:

As before, with no flow of electrons, the entire potential (voltage) of the battery is available across the break,
waiting for the opportunity of a connection to bridge across that break and permit electron flow again. This
condition is known as an open circuit, where a break in the continuity of the circuit prevents current
throughout. All it takes is a single break in continuity to "open" a circuit. Once any breaks have been connected
once again and the continuity of the circuit re-established, it is known as a closed circuit.

What we see here is the basis for switching lamps on and off by remote switches. Because any break in a
circuit's continuity results in current stopping throughout the entire circuit, we can use a device designed to
intentionally break that continuity (called a switch), mounted at any convenient location that we can run wires
to, to control the flow of electrons in the circuit:
This is how a switch mounted on the wall of a house can control a lamp that is mounted down a long hallway,
or even in another room, far away from the switch. The switch itself is constructed of a pair of conductive
contacts (usually made of some kind of metal) forced together by a mechanical lever actuator or pushbutton.
When the contacts touch each other, electrons are able to flow from one to the other and the circuit's
continuity is established; when the contacts are separated, electron flow from one to the other is prevented by
the insulation of the air between, and the circuit's continuity is broken.

Perhaps the best kind of switch to show for illustration of the basic principle is the "knife" switch:

A knife switch is nothing more than a conductive lever, free to pivot on a hinge, coming into physical contact
with one or more stationary contact points which are also conductive. The switch shown in the above
illustration is constructed on a porcelain base (an excellent insulating material), using copper (an excellent
conductor) for the "blade" and contact points. The handle is plastic to insulate the operator's hand from the
conductive blade of the switch when opening or closing it.

Here is another type of knife switch, with two stationary contacts instead of one:
The particular knife switch shown here has one "blade" but two stationary contacts, meaning that it can make
or break more than one circuit. For now this is not terribly important to be aware of, just the basic concept of
what a switch is and how it works.

Knife switches are great for illustrating the basic principle of how a switch works, but they present distinct
safety problems when used in high-power electric circuits. The exposed conductors in a knife switch make
accidental contact with the circuit a distinct possibility, and any sparking that may occur between the moving
blade and the stationary contact is free to ignite any nearby flammable materials. Most modern switch designs
have their moving conductors and contact points sealed inside an insulating case in order to mitigate these
hazards. A photograph of a few modern switch types show how the switching mechanisms are much more
concealed than with the knife design:
In keeping with the "open" and "closed" terminology of circuits, a switch that is making contact from one
connection terminal to the other (example: a knife switch with the blade fully touching the stationary contact
point) provides continuity for electrons to flow through, and is called a closed switch. Conversely, a switch that
is breaking continuity (example: a knife switch with the blade not touching the stationary contact point) won't
allow electrons to pass through and is called an open switch. This terminology is often confusing to the new
student of electronics, because the words "open" and "closed" are commonly understood in the context of a
door, where "open" is equated with free passage and "closed" with blockage. With electrical switches, these
terms have opposite meaning: "open" means no flow while "closed" means free passage of electrons.

• REVIEW:
• Resistance is the measure of opposition to electric current.
• A short circuit is an electric circuit offering little or no resistance to the flow of electrons. Short circuits
are dangerous with high voltage power sources because the high currents encountered can cause
large amounts of heat energy to be released.
• An open circuit is one where the continuity has been broken by an interruption in the path for
electrons to flow.
• A closed circuit is one that is complete, with good continuity throughout.
• A device designed to open or close a circuit under controlled conditions is called a switch.
• The terms "open" and "closed" refer to switches as well as entire circuits. An open switch is one
without continuity: electrons cannot flow through it. A closed switch is one that provides a direct (low
resistance) path for electrons to flow through.

<

Voltage and current in a practical circuit

Because it takes energy to force electrons to flow against the opposition of a resistance, there will be voltage
manifested (or "dropped") between any points in a circuit with resistance between them. It is important to note
that although the amount of current (the quantity of electrons moving past a given point every second) is
uniform in a simple circuit, the amount of voltage (potential energy per unit charge) between different sets of
points in a single circuit may vary considerably:

Take this circuit as an example. If we label four points in this circuit with the numbers 1, 2, 3, and 4, we will
find that the amount of current conducted through the wire between points 1 and 2 is exactly the same as the
amount of current conducted through the lamp (between points 2 and 3). This same quantity of current passes
through the wire between points 3 and 4, and through the battery (between points 1 and 4).

However, we will find the voltage appearing between any two of these points to be directly proportional to the
resistance within the conductive path between those two points, given that the amount of current along any
part of the circuit's path is the same (which, for this simple circuit, it is). In a normal lamp circuit, the
resistance of a lamp will be much greater than the resistance of the connecting wires, so we should expect to
see a substantial amount of voltage between points 2 and 3, with very little between points 1 and 2, or
between 3 and 4. The voltage between points 1 and 4, of course, will be the full amount of "force" offered by
the battery, which will be only slightly greater than the voltage across the lamp (between points 2 and 3).

This, again, is analogous to the water reservoir system:

Between points 2 and 3, where the falling water is releasing energy at the water-wheel, there is a difference of
pressure between the two points, reflecting the opposition to the flow of water through the water-wheel. From
point 1 to point 2, or from point 3 to point 4, where water is flowing freely through reservoirs with little
opposition, there is little or no difference of pressure (no potential energy). However, the rate of water flow in
this continuous system is the same everywhere (assuming the water levels in both pond and reservoir are
unchanging): through the pump, through the water-wheel, and through all the pipes. So it is with simple
electric circuits: the rate of electron flow is the same at every point in the circuit, although voltages may differ
between different sets of points.

<

Conventional versus electron flow

"The nice thing about standards is that there are so many of them to choose from."

Andres S. Tannenbaum, computer science professor

When Benjamin Franklin made his conjecture regarding the direction of charge flow (from the smooth wax to
the rough wool), he set a precedent for electrical notation that exists to this day, despite the fact that we know
electrons are the constituent units of charge, and that they are displaced from the wool to the wax -- not from
the wax to the wool -- when those two substances are rubbed together. This is why electrons are said to have
a negative charge: because Franklin assumed electric charge moved in the opposite direction that it actually
does, and so objects he called "negative" (representing a deficiency of charge) actually have a surplus of
electrons.

By the time the true direction of electron flow was discovered, the nomenclature of "positive" and "negative"
had already been so well established in the scientific community that no effort was made to change it, although
calling electrons "positive" would make more sense in referring to "excess" charge. You see, the terms
"positive" and "negative" are human inventions, and as such have no absolute meaning beyond our own
conventions of language and scientific description. Franklin could have just as easily referred to a surplus of
charge as "black" and a deficiency as "white," in which case scientists would speak of electrons having a
"white" charge (assuming the same incorrect conjecture of charge position between wax and wool).

However, because we tend to associate the word "positive" with "surplus" and "negative" with "deficiency," the
standard label for electron charge does seem backward. Because of this, many engineers decided to retain the
old concept of electricity with "positive" referring to a surplus of charge, and label charge flow (current)
accordingly. This became known as conventional flow notation:

Others chose to designate charge flow according to the actual motion of electrons in a circuit. This form of
symbology became known as electron flow notation:
In conventional flow notation, we show the motion of charge according to the (technically incorrect) labels of +
and -. This way the labels make sense, but the direction of charge flow is incorrect. In electron flow notation,
we follow the actual motion of electrons in the circuit, but the + and - labels seem backward. Does it matter,
really, how we designate charge flow in a circuit? Not really, so long as we're consistent in the use of our
symbols. You may follow an imagined direction of current (conventional flow) or the actual (electron flow) with
equal success insofar as circuit analysis is concerned. Concepts of voltage, current, resistance, continuity, and
even mathematical treatments such as Ohm's Law (chapter 2) and Kirchhoff's Laws (chapter 6) remain just as
valid with either style of notation.

You will find conventional flow notation followed by most electrical engineers, and illustrated in most
engineering textbooks. Electron flow is most often seen in introductory textbooks (this one included) and in the
writings of professional scientists, especially solid-state physicists who are concerned with the actual motion of
electrons in substances. These preferences are cultural, in the sense that certain groups of people have found
it advantageous to envision electric current motion in certain ways. Being that most analyses of electric circuits
do not depend on a technically accurate depiction of charge flow, the choice between conventional flow
notation and electron flow notation is arbitrary . . . almost.

Many electrical devices tolerate real currents of either direction with no difference in operation. Incandescent
lamps (the type utilizing a thin metal filament that glows white-hot with sufficient current), for example,
produce light with equal efficiency regardless of current direction. They even function well on alternating
current (AC), where the direction changes rapidly over time. Conductors and switches operate irrespective of
current direction, as well. The technical term for this irrelevance of charge flow is nonpolarization. We could
say then, that incandescent lamps, switches, and wires are nonpolarized components. Conversely, any device
that functions differently on currents of different direction would be called a polarized device.

There are many such polarized devices used in electric circuits. Most of them are made of so-called
semiconductor substances, and as such aren't examined in detail until the third volume of this book series. Like
switches, lamps, and batteries, each of these devices is represented in a schematic diagram by a unique
symbol. As one might guess, polarized device symbols typically contain an arrow within them, somewhere, to
designate a preferred or exclusive direction of current. This is where the competing notations of conventional
and electron flow really matter. Because engineers from long ago have settled on conventional flow as their
"culture's" standard notation, and because engineers are the same people who invent electrical devices and the
symbols representing them, the arrows used in these devices' symbols all point in the direction of conventional
flow, not electron flow. That is to say, all of these devices' symbols have arrow marks that point against the
actual flow of electrons through them.

Perhaps the best example of a polarized device is the diode. A diode is a one-way "valve" for electric current,
analogous to a check valve for those familiar with plumbing and hydraulic systems. Ideally, a diode provides
unimpeded flow for current in one direction (little or no resistance), but prevents flow in the other direction
(infinite resistance). Its schematic symbol looks like this:

Placed within a battery/lamp circuit, its operation is as such:

When the diode is facing in the proper direction to permit current, the lamp glows. Otherwise, the diode blocks
all electron flow just like a break in the circuit, and the lamp will not glow.

If we label the circuit current using conventional flow notation, the arrow symbol of the diode makes perfect
sense: the triangular arrowhead points in the direction of charge flow, from positive to negative:

On the other hand, if we use electron flow notation to show the true direction of electron travel around the
circuit, the diode's arrow symbology seems backward:

For this reason alone, many people choose to make conventional flow their notation of choice when drawing
the direction of charge motion in a circuit. If for no other reason, the symbols associated with semiconductor
components like diodes make more sense this way. However, others choose to show the true direction of
electron travel so as to avoid having to tell themselves, "just remember the electrons are actually moving the
other way" whenever the true direction of electron motion becomes an issue.
In this series of textbooks, I have committed to using electron flow notation. Ironically, this was not my first
choice. I found it much easier when I was first learning electronics to use conventional flow notation, primarily
because of the directions of semiconductor device symbol arrows. Later, when I began my first formal training
in electronics, my instructor insisted on using electron flow notation in his lectures. In fact, he asked that we
take our textbooks (which were illustrated using conventional flow notation) and use our pens to change the
directions of all the current arrows so as to point the "correct" way! His preference was not arbitrary, though.
In his 20-year career as a U.S. Navy electronics technician, he worked on a lot of vacuum-tube equipment.
Before the advent of semiconductor components like transistors, devices known as vacuum tubes or electron
tubes were used to amplify small electrical signals. These devices work on the phenomenon of electrons
hurtling through a vacuum, their rate of flow controlled by voltages applied between metal plates and grids
placed within their path, and are best understood when visualized using electron flow notation.

When I graduated from that training program, I went back to my old habit of conventional flow notation,
primarily for the sake of minimizing confusion with component symbols, since vacuum tubes are all but
obsolete except in special applications. Collecting notes for the writing of this book, I had full intention of
illustrating it using conventional flow.

Years later, when I became a teacher of electronics, the curriculum for the program I was going to teach had
already been established around the notation of electron flow. Oddly enough, this was due in part to the legacy
of my first electronics instructor (the 20-year Navy veteran), but that's another story entirely! Not wanting to
confuse students by teaching "differently" from the other instructors, I had to overcome my habit and get used
to visualizing electron flow instead of conventional. Because I wanted my book to be a useful resource for my
students, I begrudgingly changed plans and illustrated it with all the arrows pointing the "correct" way. Oh
well, sometimes you just can't win!

On a positive note (no pun intended), I have subsequently discovered that some students prefer electron flow
notation when first learning about the behavior of semiconductive substances. Also, the habit of visualizing
electrons flowing against the arrows of polarized device symbols isn't that difficult to learn, and in the end I've
found that I can follow the operation of a circuit equally well using either mode of notation. Still, I sometimes
wonder if it would all be much easier if we went back to the source of the confusion -- Ben Franklin's errant
conjecture -- and fixed the problem there, calling electrons "positive" and protons "negative."

How voltage, current, and resistance relate

An electric circuit is formed when a conductive path is created to allow free electrons to continuously move.
This continuous movement of free electrons through the conductors of a circuit is called a current, and it is
often referred to in terms of "flow," just like the flow of a liquid through a hollow pipe.

The force motivating electrons to "flow" in a circuit is called voltage. Voltage is a specific measure of potential
energy that is always relative between two points. When we speak of a certain amount of voltage being
present in a circuit, we are referring to the measurement of how much potential energy exists to move
electrons from one particular point in that circuit to another particular point. Without reference to two
particular points, the term "voltage" has no meaning.

Free electrons tend to move through conductors with some degree of friction, or opposition to motion. This
opposition to motion is more properly called resistance. The amount of current in a circuit depends on the
amount of voltage available to motivate the electrons, and also the amount of resistance in the circuit to
oppose electron flow. Just like voltage, resistance is a quantity relative between two points. For this reason,
the quantities of voltage and resistance are often stated as being "between" or "across" two points in a circuit.

To be able to make meaningful statements about these quantities in circuits, we need to be able to describe
their quantities in the same way that we might quantify mass, temperature, volume, length, or any other kind
of physical quantity. For mass we might use the units of "pound" or "gram." For temperature we might use
degrees Fahrenheit or degrees Celsius. Here are the standard units of measurement for electrical current,
voltage, and resistance:
The "symbol" given for each quantity is the standard alphabetical letter used to represent that quantity in an
algebraic equation. Standardized letters like these are common in the disciplines of physics and engineering,
and are internationally recognized. The "unit abbreviation" for each quantity represents the alphabetical
symbol used as a shorthand notation for its particular unit of measurement. And, yes, that strange-looking
"horseshoe" symbol is the capital Greek letter Ω, just a character in a foreign alphabet (apologies to any Greek
readers here).

Each unit of measurement is named after a famous experimenter in electricity: The amp after the Frenchman
Andre M. Ampere, the volt after the Italian Alessandro Volta, and the ohm after the German Georg Simon
Ohm.

The mathematical symbol for each quantity is meaningful as well. The "R" for resistance and the "V" for voltage
are both self-explanatory, whereas "I" for current seems a bit weird. The "I" is thought to have been meant to
represent "Intensity" (of electron flow), and the other symbol for voltage, "E," stands for "Electromotive force."
From what research I've been able to do, there seems to be some dispute over the meaning of "I." The
symbols "E" and "V" are interchangeable for the most part, although some texts reserve "E" to represent
voltage across a source (such as a battery or generator) and "V" to represent voltage across anything else.

All of these symbols are expressed using capital letters, except in cases where a quantity (especially voltage or
current) is described in terms of a brief period of time (called an "instantaneous" value). For example, the
voltage of a battery, which is stable over a long period of time, will be symbolized with a capital letter "E,"
while the voltage peak of a lightning strike at the very instant it hits a power line would most likely be
symbolized with a lower-case letter "e" (or lower-case "v") to designate that value as being at a single moment
in time. This same lower-case convention holds true for current as well, the lower-case letter "i" representing
current at some instant in time. Most direct-current (DC) measurements, however, being stable over time, will
be symbolized with capital letters.

One foundational unit of electrical measurement, often taught in the beginnings of electronics courses but used
infrequently afterwards, is the unit of the coulomb, which is a measure of electric charge proportional to the
number of electrons in an imbalanced state. One coulomb of charge is equal to 6,250,000,000,000,000,000
electrons. The symbol for electric charge quantity is the capital letter "Q," with the unit of coulombs
abbreviated by the capital letter "C." It so happens that the unit for electron flow, the amp, is equal to 1
coulomb of electrons passing by a given point in a circuit in 1 second of time. Cast in these terms, current is
the rate of electric charge motion through a conductor.

As stated before, voltage is the measure of potential energy per unit charge available to motivate electrons
from one point to another. Before we can precisely define what a "volt" is, we must understand how to
measure this quantity we call "potential energy." The general metric unit for energy of any kind is the joule,
equal to the amount of work performed by a force of 1 newton exerted through a motion of 1 meter (in the
same direction). In British units, this is slightly less than 3/4 pound of force exerted over a distance of 1 foot.
Put in common terms, it takes about 1 joule of energy to lift a 3/4 pound weight 1 foot off the ground, or to
drag something a distance of 1 foot using a parallel pulling force of 3/4 pound. Defined in these scientific
terms, 1 volt is equal to 1 joule of electric potential energy per (divided by) 1 coulomb of charge. Thus, a 9 volt
battery releases 9 joules of energy for every coulomb of electrons moved through a circuit.

These units and symbols for electrical quantities will become very important to know as we begin to explore
the relationships between them in circuits. The first, and perhaps most important, relationship between
current, voltage, and resistance is called Ohm's Law, discovered by Georg Simon Ohm and published in his
1827 paper, The Galvanic Circuit Investigated Mathematically. Ohm's principal discovery was that the amount
of electric current through a metal conductor in a circuit is directly proportional to the voltage impressed across
it, for any given temperature. Ohm expressed his discovery in the form of a simple equation, describing how
voltage, current, and resistance interrelate:
In this algebraic expression, voltage (E) is equal to current (I) multiplied by resistance (R). Using algebra
techniques, we can manipulate this equation into two variations, solving for I and for R, respectively:

Let's see how these equations might work to help us analyze simple circuits:

In the above circuit, there is only one source of voltage (the battery, on the left) and only one source of
resistance to current (the lamp, on the right). This makes it very easy to apply Ohm's Law. If we know the
values of any two of the three quantities (voltage, current, and resistance) in this circuit, we can use Ohm's
Law to determine the third.

In this first example, we will calculate the amount of current (I) in a circuit, given values of voltage (E) and
resistance (R):

What is the amount of current (I) in this circuit?

In this second example, we will calculate the amount of resistance (R) in a circuit, given values of voltage (E)
and current (I):

What is the amount of resistance (R) offered by the lamp?

In the last example, we will calculate the amount of voltage supplied by a battery, given values of current (I)
and resistance (R):

What is the amount of voltage provided by the battery?

Ohm's Law is a very simple and useful tool for analyzing electric circuits. It is used so often in the study of
electricity and electronics that it needs to be committed to memory by the serious student. For those who are
not yet comfortable with algebra, there's a trick to remembering how to solve for any one quantity, given the
other two. First, arrange the letters E, I, and R in a triangle like this:
If you know E and I, and wish to determine R, just eliminate R from the picture and see what's left:

If you know E and R, and wish to determine I, eliminate I and see what's left:

Lastly, if you know I and R, and wish to determine E, eliminate E and see what's left:

Eventually, you'll have to be familiar with algebra to seriously study electricity and electronics, but this tip can
make your first calculations a little easier to remember. If you are comfortable with algebra, all you need to do
is commit E=IR to memory and derive the other two formulae from that when you need them!

• REVIEW:
• Voltage measured in volts, symbolized by the letters "E" or "V".
• Current measured in amps, symbolized by the letter "I".
• Resistance measured in ohms, symbolized by the letter "R".
• Ohm's Law: E = IR ; I = E/R ; R = E/I

An analogy for Ohm's Law

Ohm's Law also make intuitive sense if you apply if to the water-and-pipe analogy. If we have a water pump
that exerts pressure (voltage) to push water around a "circuit" (current) through a restriction (resistance), we
can model how the three variables interrelate. If the resistance to water flow stays the same and the pump
pressure increases, the flow rate must also increase.
If the pressure stays the same and the resistance increases (making it more difficult for the water to flow),
then the flow rate must decrease:

If the flow rate were to stay the same while the resistance to flow decreased, the required pressure from the
pump would necessarily decrease:

As odd as it may seem, the actual mathematical relationship between pressure, flow, and resistance is actually
more complex for fluids like water than it is for electrons. If you pursue further studies in physics, you will
discover this for yourself. Thankfully for the electronics student, the mathematics of Ohm's Law is very
straightforward and simple.

• REVIEW:
• With resistance steady, current follows voltage (an increase in voltage means an increase in current,
and visa-versa).
• With voltage steady, changes in current and resistance are opposite (an increase in current means a
decrease in resistance, and visa-verse).
• With current steady, voltage follows resistance (an increase in resistance means an increase in
voltage).
Power in electric circuits

In addition to voltage and current, there is another measure of free electron activity in a circuit: power. First,
we need to understand just what power is before we analyze it in any circuits.

Power is a measure of how much work can be performed in a given amount of time. Work is generally defined
in terms of the lifting of a weight against the pull of gravity. The heavier the weight and/or the higher it is
lifted, the more work has been done. Power is a measure of how rapidly a standard amount of work is done.

For American automobiles, engine power is rated in a unit called "horsepower," invented initially as a way for
steam engine manufacturers to quantify the working ability of their machines in terms of the most common
power source of their day: horses. One horsepower is defined in British units as 550 ft-lbs of work per second
of time. The power of a car's engine won't indicate how tall of a hill it can climb or how much weight it can tow,
but it will indicate how fast it can climb a specific hill or tow a specific weight.

The power of a mechanical engine is a function of both the engine's speed and it's torque provided at the
output shaft. Speed of an engine's output shaft is measured in revolutions per minute, or RPM. Torque is the
amount of twisting force produced by the engine, and it is usually measured in pound-feet, or lb-ft (not to be
confused with foot-pounds or ft-lbs, which is the unit for work). Neither speed nor torque alone is a measure of
an engine's power.

A 100 horsepower diesel tractor engine will turn relatively slowly, but provide great amounts of torque. A 100
horsepower motorcycle engine will turn very fast, but provide relatively little torque. Both will produce 100
horsepower, but at different speeds and different torques. The equation for shaft horsepower is simple:

Notice how there are only two variable terms on the right-hand side of the equation, S and T. All the other
terms on that side are constant: 2, pi, and 33,000 are all constants (they do not change in value). The
horsepower varies only with changes in speed and torque, nothing else. We can re-write the equation to show
this relationship:

Because the unit of the "horsepower" doesn't coincide exactly with speed in revolutions per minute multiplied
by torque in pound-feet, we can't say that horsepower equals ST. However, they are proportional to one
another. As the mathematical product of ST changes, the value for horsepower will change by the same
proportion.

In electric circuits, power is a function of both voltage and current. Not surprisingly, this relationship bears
striking resemblance to the "proportional" horsepower formula above:
In this case, however, power (P) is exactly equal to current (I) multiplied by voltage (E), rather than merely
being proportional to IE. When using this formula, the unit of measurement for power is the watt, abbreviated
with the letter "W."

It must be understood that neither voltage nor current by themselves constitute power. Rather, power is the
combination of both voltage and current in a circuit. Remember that voltage is the specific work (or potential
energy) per unit charge, while current is the rate at which electric charges move through a conductor. Voltage
(specific work) is analogous to the work done in lifting a weight against the pull of gravity. Current (rate) is
analogous to the speed at which that weight is lifted. Together as a product (multiplication), voltage (work)
and current (rate) constitute power.

Just as in the case of the diesel tractor engine and the motorcycle engine, a circuit with high voltage and low
current may be dissipating the same amount of power as a circuit with low voltage and high current. Neither
the amount of voltage alone nor the amount of current alone indicates the amount of power in an electric
circuit.

In an open circuit, where voltage is present between the terminals of the source and there is zero current,
there is zero power dissipated, no matter how great that voltage may be. Since P=IE and I=0 and anything
multiplied by zero is zero, the power dissipated in any open circuit must be zero. Likewise, if we were to have a
short circuit constructed of a loop of superconducting wire (absolutely zero resistance), we could have a
condition of current in the loop with zero voltage, and likewise no power would be dissipated. Since P=IE and
E=0 and anything multiplied by zero is zero, the power dissipated in a superconducting loop must be zero.
(We'll be exploring the topic of superconductivity in a later chapter).

Whether we measure power in the unit of "horsepower" or the unit of "watt," we're still talking about the same
thing: how much work can be done in a given amount of time. The two units are not numerically equal, but
they express the same kind of thing. In fact, European automobile manufacturers typically advertise their
engine power in terms of kilowatts (kW), or thousands of watts, instead of horsepower! These two units of
power are related to each other by a simple conversion formula:

So, our 100 horsepower diesel and motorcycle engines could also be rated as "74570 watt" engines, or more
properly, as "74.57 kilowatt" engines. In European engineering specifications, this rating would be the norm
rather than the exception.

• REVIEW:
• Power is the measure of how much work can be done in a given amount of time.
• Mechanical power is commonly measured (in America) in "horsepower."
• Electrical power is almost always measured in "watts," and it can be calculated by the formula P = IE.
• Electrical power is a product of both voltage and current, not either one separately.
• Horsepower and watts are merely two different units for describing the same kind of physical
measurement, with 1 horsepower equaling 745.7 watts.

<

Calculating electric power

We've seen the formula for determining the power in an electric circuit: by multiplying the voltage in "volts" by
the current in "amps" we arrive at an answer in "watts." Let's apply this to a circuit example:
In the above circuit, we know we have a battery voltage of 18 volts and a lamp resistance of 3 Ω. Using Ohm's
Law to determine current, we get:

Now that we know the current, we can take that value and multiply it by the voltage to determine power:

Answer: the lamp is dissipating (releasing) 108 watts of power, most likely in the form of both light and heat.

Let's try taking that same circuit and increasing the battery voltage to see what happens. Intuition should tell
us that the circuit current will increase as the voltage increases and the lamp resistance stays the same.
Likewise, the power will increase as well:

Now, the battery voltage is 36 volts instead of 18 volts. The lamp is still providing 3 Ω of electrical resistance
to the flow of electrons. The current is now:
This stands to reason: if I = E/R, and we double E while R stays the same, the current should double. Indeed,
it has: we now have 12 amps of current instead of 6. Now, what about power?

Notice that the power has increased just as we might have suspected, but it increased quite a bit more than
the current. Why is this? Because power is a function of voltage multiplied by current, and both voltage and
current doubled from their previous values, the power will increase by a factor of 2 x 2, or 4. You can check
this by dividing 432 watts by 108 watts and seeing that the ratio between them is indeed 4.

Using algebra again to manipulate the formulae, we can take our original power formula and modify it for
applications where we don't know both voltage and resistance:

If we only know voltage (E) and resistance (R):

If we only know current (I) and resistance (R):

An historical note: it was James Prescott Joule, not Georg Simon Ohm, who first discovered the mathematical
relationship between power dissipation and current through a resistance. This discovery, published in 1841,
followed the form of the last equation (P = I2R), and is properly known as Joule's Law. However, these power
equations are so commonly associated with the Ohm's Law equations relating voltage, current, and resistance
(E=IR ; I=E/R ; and R=E/I) that they are frequently credited to Ohm.

• REVIEW:
• Power measured in watts, symbolized by the letter "W".
• Joule's Law: P = I2R ; P = IE ; P = E2/R

<
Resistors

Because the relationship between voltage, current, and resistance in any circuit is so regular, we can reliably
control any variable in a circuit simply by controlling the other two. Perhaps the easiest variable in any circuit
to control is its resistance. This can be done by changing the material, size, and shape of its conductive
components (remember how the thin metal filament of a lamp created more electrical resistance than a thick
wire?).

Special components called resistors are made for the express purpose of creating a precise quantity of
resistance for insertion into a circuit. They are typically constructed of metal wire or carbon, and engineered to
maintain a stable resistance value over a wide range of environmental conditions. Unlike lamps, they do not
produce light, but they do produce heat as electric power is dissipated by them in a working circuit. Typically,
though, the purpose of a resistor is not to produce usable heat, but simply to provide a precise quantity of
electrical resistance.

The most common schematic symbol for a resistor is a zig-zag line:

Resistor values in ohms are usually shown as an adjacent number, and if several resistors are present in a
circuit, they will be labeled with a unique identifier number such as R1, R2, R3, etc. As you can see, resistor
symbols can be shown either horizontally or vertically:

Real resistors look nothing like the zig-zag symbol. Instead, they look like small tubes or cylinders with two
wires protruding for connection to a circuit. Here is a sampling of different kinds and sizes of resistors:
In keeping more with their physical appearance, an alternative schematic symbol for a resistor looks like a
small, rectangular box:

Resistors can also be shown to have varying rather than fixed resistances. This might be for the purpose of
describing an actual physical device designed for the purpose of providing an adjustable resistance, or it could
be to show some component that just happens to have an unstable resistance:

In fact, any time you see a component symbol drawn with a diagonal arrow through it, that component has a
variable rather than a fixed value. This symbol "modifier" (the diagonal arrow) is standard electronic symbol
convention.

Variable resistors must have some physical means of adjustment, either a rotating shaft or lever that can be
moved to vary the amount of electrical resistance. Here is a photograph showing some devices called
potentiometers, which can be used as variable resistors:
Because resistors dissipate heat energy as the electric currents through them overcome the "friction" of their
resistance, resistors are also rated in terms of how much heat energy they can dissipate without overheating
and sustaining damage. Naturally, this power rating is specified in the physical unit of "watts." Most resistors
found in small electronic devices such as portable radios are rated at 1/4 (0.25) watt or less. The power rating
of any resistor is roughly proportional to its physical size. Note in the first resistor photograph how the power
ratings relate with size: the bigger the resistor, the higher its power dissipation rating. Also note how
resistances (in ohms) have nothing to do with size!

Although it may seem pointless now to have a device doing nothing but resisting electric current, resistors are
extremely useful devices in circuits. Because they are simple and so commonly used throughout the world of
electricity and electronics, we'll spend a considerable amount of time analyzing circuits composed of nothing
but resistors and batteries.

For a practical illustration of resistors' usefulness, examine the photograph below. It is a picture of a printed
circuit board, or PCB: an assembly made of sandwiched layers of insulating phenolic fiber-board and conductive
copper strips, into which components may be inserted and secured by a low-temperature welding process
called "soldering." The various components on this circuit board are identified by printed labels. Resistors are
denoted by any label beginning with the letter "R".
This particular circuit board is a computer accessory called a "modem," which allows digital information transfer
over telephone lines. There are at least a dozen resistors (all rated at 1/4 watt power dissipation) that can be
seen on this modem's board. Every one of the black rectangles (called "integrated circuits" or "chips") contain
their own array of resistors for their internal functions, as well.

Another circuit board example shows resistors packaged in even smaller units, called "surface mount devices."
This particular circuit board is the underside of a personal computer hard disk drive, and once again the
resistors soldered onto it are designated with labels beginning with the letter "R":
There are over one hundred surface-mount resistors on this circuit board, and this count of course does not
include the number of resistors internal to the black "chips." These two photographs should convince anyone
that resistors -- devices that "merely" oppose the flow of electrons -- are very important components in the
realm of electronics!

In schematic diagrams, resistor symbols are sometimes used to illustrate any general type of device in a circuit
doing something useful with electrical energy. Any non-specific electrical device is generally called a load, so if
you see a schematic diagram showing a resistor symbol labeled "load," especially in a tutorial circuit diagram
explaining some concept unrelated to the actual use of electrical power, that symbol may just be a kind of
shorthand representation of something else more practical than a resistor.

To summarize what we've learned in this lesson, let's analyze the following circuit, determining all that we can
from the information given:
All we've been given here to start with is the battery voltage (10 volts) and the circuit current (2 amps). We
don't know the resistor's resistance in ohms or the power dissipated by it in watts. Surveying our array of
Ohm's Law equations, we find two equations that give us answers from known quantities of voltage and
current:

Inserting the known quantities of voltage (E) and current (I) into these two equations, we can determine circuit
resistance (R) and power dissipation (P):

For the circuit conditions of 10 volts and 2 amps, the resistor's resistance must be 5 Ω. If we were designing a
circuit to operate at these values, we would have to specify a resistor with a minimum power rating of 20
watts, or else it would overheat and fail.

• REVIEW:
• Devices called resistors are built to provide precise amounts of resistance in electric circuits. Resistors
are rated both in terms of their resistance (ohms) and their ability to dissipate heat energy (watts).
• Resistor resistance ratings cannot be determined from the physical size of the resistor(s) in question,
although approximate power ratings can. The larger the resistor is, the more power it can safely
dissipate without suffering damage.
• Any device that performs some useful task with electric power is generally known as a load.
Sometimes resistor symbols are used in schematic diagrams to designate a non-specific load, rather
than an actual resistor.

Nonlinear conduction

"Advances are made by answering questions. Discoveries are made by questioning answers."

Bernhard Haisch, Astrophysicist

Ohm's Law is a simple and powerful mathematical tool for helping us analyze electric circuits, but it has
limitations, and we must understand these limitations in order to properly apply it to real circuits. For most
conductors, resistance is a rather stable property, largely unaffected by voltage or current. For this reason, we
can regard the resistance of most circuit components as a constant, with voltage and resistance being inversely
related to each other.
For instance, our previous circuit example with the 3 Ω lamp, we calculated current through the circuit by
dividing voltage by resistance (I=E/R). With an 18 volt battery, our circuit current was 6 amps. Doubling the
battery voltage to 36 volts resulted in a doubled current of 12 amps. All of this makes sense, of course, so long
as the lamp continues to provide exactly the same amount of friction (resistance) to the flow of electrons
through it: 3 Ω.

However, reality is not always this simple. One of the phenomena explored in a later chapter is that of
conductor resistance changing with temperature. In an incandescent lamp (the kind employing the principle of
electric current heating a thin filament of wire to the point that it glows white-hot), the resistance of the
filament wire will increase dramatically as it warms from room temperature to operating temperature. If we
were to increase the supply voltage in a real lamp circuit, the resulting increase in current would cause the
filament to increase temperature, which would in turn increase its resistance, thus preventing further increases
in current without further increases in battery voltage. Consequently, voltage and current do not follow the
simple equation "I=E/R" (with R assumed to be equal to 3 Ω) because an incandescent lamp's filament
resistance does not remain stable for different currents.

The phenomenon of resistance changing with variations in temperature is one shared by almost all metals, of
which most wires are made. For most applications, these changes in resistance are small enough to be ignored.
In the application of metal lamp filaments, the change happens to be quite large.

This is just one example of "nonlinearity" in electric circuits. It is by no means the only example. A "linear"
function in mathematics is one that tracks a straight line when plotted on a graph. The simplified version of the
lamp circuit with a constant filament resistance of 3 Ω generates a plot like this:
The straight-line plot of current over voltage indicates that resistance is a stable, unchanging value for a wide
range of circuit voltages and currents. In an "ideal" situation, this is the case. Resistors, which are
manufactured to provide a definite, stable value of resistance, behave very much like the plot of values seen
above. A mathematician would call their behavior "linear."

A more realistic analysis of a lamp circuit, however, over several different values of battery voltage would
generate a plot of this shape:

The plot is no longer a straight line. It rises sharply on the left, as voltage increases from zero to a low level.
As it progresses to the right we see the line flattening out, the circuit requiring greater and greater increases in
voltage to achieve equal increases in current.

If we try to apply Ohm's Law to find the resistance of this lamp circuit with the voltage and current values
plotted above, we arrive at several different values. We could say that the resistance here is nonlinear,
increasing with increasing current and voltage. The nonlinearity is caused by the effects of high temperature on
the metal wire of the lamp filament.

Another example of nonlinear current conduction is through gases such as air. At standard temperatures and
pressures, air is an effective insulator. However, if the voltage between two conductors separated by an air gap
is increased greatly enough, the air molecules between the gap will become "ionized," having their electrons
stripped off by the force of the high voltage between the wires. Once ionized, air (and other gases) become
good conductors of electricity, allowing electron flow where none could exist prior to ionization. If we were to
plot current over voltage on a graph as we did with the lamp circuit, the effect of ionization would be clearly
seen as nonlinear:
The graph shown is approximate for a small air gap (less than one inch). A larger air gap would yield a higher
ionization potential, but the shape of the I/E curve would be very similar: practically no current until the
ionization potential was reached, then substantial conduction after that.

Incidentally, this is the reason lightning bolts exist as momentary surges rather than continuous flows of
electrons. The voltage built up between the earth and clouds (or between different sets of clouds) must
increase to the point where it overcomes the ionization potential of the air gap before the air ionizes enough to
support a substantial flow of electrons. Once it does, the current will continue to conduct through the ionized
air until the static charge between the two points depletes. Once the charge depletes enough so that the
voltage falls below another threshold point, the air de-ionizes and returns to its normal state of extremely high
resistance.

Many solid insulating materials exhibit similar resistance properties: extremely high resistance to electron flow
below some critical threshold voltage, then a much lower resistance at voltages beyond that threshold. Once a
solid insulating material has been compromised by high-voltage breakdown, as it is called, it often does not
return to its former insulating state, unlike most gases. It may insulate once again at low voltages, but its
breakdown threshold voltage will have been decreased to some lower level, which may allow breakdown to
occur more easily in the future. This is a common mode of failure in high-voltage wiring: insulation damage
due to breakdown. Such failures may be detected through the use of special resistance meters employing high
voltage (1000 volts or more).

There are circuit components specifically engineered to provide nonlinear resistance curves, one of them being
the varistor. Commonly manufactured from compounds such as zinc oxide or silicon carbide, these devices
maintain high resistance across their terminals until a certain "firing" or "breakdown" voltage (equivalent to the
"ionization potential" of an air gap) is reached, at which point their resistance decreases dramatically. Unlike
the breakdown of an insulator, varistor breakdown is repeatable: that is, it is designed to withstand repeated
breakdowns without failure. A picture of a varistor is shown here:
There are also special gas-filled tubes designed to do much the same thing, exploiting the very same principle
at work in the ionization of air by a lightning bolt.

Other electrical components exhibit even stranger current/voltage curves than this. Some devices actually
experience a decrease in current as the applied voltage increases. Because the slope of the current/voltage for
this phenomenon is negative (angling down instead of up as it progresses from left to right), it is known as
negative resistance.

Most notably, high-vacuum electron tubes known as tetrodes and semiconductor diodes known as Esaki or
tunnel diodes exhibit negative resistance for certain ranges of applied voltage.
Ohm's Law is not very useful for analyzing the behavior of components like these where resistance is varies
with voltage and current. Some have even suggested that "Ohm's Law" should be demoted from the status of
a "Law" because it is not universal. It might be more accurate to call the equation (R=E/I) a definition of
resistance, befitting of a certain class of materials under a narrow range of conditions.

For the benefit of the student, however, we will assume that resistances specified in example circuits are stable
over a wide range of conditions unless otherwise specified. I just wanted to expose you to a little bit of the
complexity of the real world, lest I give you the false impression that the whole of electrical phenomena could
be summarized in a few simple equations.

• REVIEW:
• The resistance of most conductive materials is stable over a wide range of conditions, but this is not
true of all materials.
• Any function that can be plotted on a graph as a straight line is called a linear function. For circuits
with stable resistances, the plot of current over voltage is linear (I=E/R).
• In circuits where resistance varies with changes in either voltage or current, the plot of current over
voltage will be nonlinear (not a straight line).
• A varistor is a component that changes resistance with the amount of voltage impressed across it.
With little voltage across it, its resistance is high. Then, at a certain "breakdown" or "firing" voltage,
its resistance decreases dramatically.
• Negative resistance is where the current through a component actually decreases as the applied
voltage across it is increased. Some electron tubes and semiconductor diodes (most notably, the
tetrode tube and the Esaki, or tunnel diode, respectively) exhibit negative resistance over a certain
range of voltages.

< Back

Circuit wiring

So far, we've been analyzing single-battery, single-resistor circuits with no regard for the connecting wires
between the components, so long as a complete circuit is formed. Does the wire length or circuit "shape"
matter to our calculations? Let's look at a couple of circuit configurations and find out:

When we draw wires connecting points in a circuit, we usually assume those wires have negligible resistance.
As such, they contribute no appreciable effect to the overall resistance of the circuit, and so the only resistance
we have to contend with is the resistance in the components. In the above circuits, the only resistance comes
from the 5 Ω resistors, so that is all we will consider in our calculations. In real life, metal wires actually do
have resistance (and so do power sources!), but those resistances are generally so much smaller than the
resistance present in the other circuit components that they can be safely ignored. Exceptions to this rule exist
in power system wiring, where even very small amounts of conductor resistance can create significant voltage
drops given normal (high) levels of current.

If connecting wire resistance is very little or none, we can regard the connected points in a circuit as being
electrically common. That is, points 1 and 2 in the above circuits may be physically joined close together or far
apart, and it doesn't matter for any voltage or resistance measurements relative to those points. The same
goes for points 3 and 4. It is as if the ends of the resistor were attached directly across the terminals of the
battery, so far as our Ohm's Law calculations and voltage measurements are concerned. This is useful to know,
because it means you can re-draw a circuit diagram or re-wire a circuit, shortening or lengthening the wires as
desired without appreciably impacting the circuit's function. All that matters is that the components attach to
each other in the same sequence.

It also means that voltage measurements between sets of "electrically common" points will be the same. That
is, the voltage between points 1 and 4 (directly across the battery) will be the same as the voltage between
points 2 and 3 (directly across the resistor). Take a close look at the following circuit, and try to determine
which points are common to each other:

Here, we only have 2 components excluding the wires: the battery and the resistor. Though the connecting
wires take a convoluted path in forming a complete circuit, there are several electrically common points in the
electrons' path. Points 1, 2, and 3 are all common to each other, because they're directly connected together
by wire. The same goes for points 4, 5, and 6.

The voltage between points 1 and 6 is 10 volts, coming straight from the battery. However, since points 5 and
4 are common to 6, and points 2 and 3 common to 1, that same 10 volts also exists between these other pairs
of points:

Between points 1 and 4 = 10 volts

Between points 2 and 4 = 10 volts
Between points 3 and 4 = 10 volts (directly across the resistor)
Between points 1 and 5 = 10 volts
Between points 2 and 5 = 10 volts
Between points 3 and 5 = 10 volts
Between points 1 and 6 = 10 volts (directly across the battery)
Between points 2 and 6 = 10 volts
Between points 3 and 6 = 10 volts

Since electrically common points are connected together by (zero resistance) wire, there is no significant
voltage drop between them regardless of the amount of current conducted from one to the next through that
connecting wire. Thus, if we were to read voltages between common points, we should show (practically) zero:

Between points 1 and 2 = 0 volts Points 1, 2, and 3 are

Between points 2 and 3 = 0 volts electrically common
Between points 1 and 3 = 0 volts

Between points 4 and 5 = 0 volts Points 4, 5, and 6 are

Between points 5 and 6 = 0 volts electrically common
Between points 4 and 6 = 0 volts

This makes sense mathematically, too. With a 10 volt battery and a 5 Ω resistor, the circuit current will be 2
amps. With wire resistance being zero, the voltage drop across any continuous stretch of wire can be
determined through Ohm's Law as such:

It should be obvious that the calculated voltage drop across any uninterrupted length of wire in a circuit where
wire is assumed to have zero resistance will always be zero, no matter what the magnitude of current, since
zero multiplied by anything equals zero.

Because common points in a circuit will exhibit the same relative voltage and resistance measurements, wires
connecting common points are often labeled with the same designation. This is not to say that the terminal
connection points are labeled the same, just the connecting wires. Take this circuit as an example:

Points 1, 2, and 3 are all common to each other, so the wire connecting point 1 to 2 is labeled the same (wire
2) as the wire connecting point 2 to 3 (wire 2). In a real circuit, the wire stretching from point 1 to 2 may not
even be the same color or size as the wire connecting point 2 to 3, but they should bear the exact same label.
The same goes for the wires connecting points 6, 5, and 4.

Knowing that electrically common points have zero voltage drop between them is a valuable troubleshooting
principle. If I measure for voltage between points in a circuit that are supposed to be common to each other, I
should read zero. If, however, I read substantial voltage between those two points, then I know with certainty
that they cannot be directly connected together. If those points are supposed to be electrically common but
they register otherwise, then I know that there is an "open failure" between those points.

One final note: for most practical purposes, wire conductors can be assumed to possess zero resistance from
end to end. In reality, however, there will always be some small amount of resistance encountered along the
length of a wire, unless it's a superconducting wire. Knowing this, we need to bear in mind that the principles
learned here about electrically common points are all valid to a large degree, but not to an absolute degree.
That is, the rule that electrically common points are guaranteed to have zero voltage between them is more
accurately stated as such: electrically common points will have very little voltage dropped between them. That
small, virtually unavoidable trace of resistance found in any piece of connecting wire is bound to create a small
voltage across the length of it as current is conducted through. So long as you understand that these rules are
based upon ideal conditions, you won't be perplexed when you come across some condition appearing to be an
exception to the rule.

• REVIEW:
• Connecting wires in a circuit are assumed to have zero resistance unless otherwise stated.
• Wires in a circuit can be shortened or lengthened without impacting the circuit's function -- all that
matters is that the components are attached to one another in the same sequence.
• Points directly connected together in a circuit by zero resistance (wire) are considered to be
electrically common.
• Electrically common points, with zero resistance between them, will have zero voltage dropped
between them, regardless of the magnitude of current (ideally).
• The voltage or resistance readings referenced between sets of electrically common points will be the
same.
• These rules apply to ideal conditions, where connecting wires are assumed to possess absolutely zero
resistance. In real life this will probably not be the case, but wire resistances should be low enough so
that the general principles stated here still hold.

Polarity of voltage drops

We can trace the direction that electrons will flow in the same circuit by starting at the negative (-) terminal
and following through to the positive (+) terminal of the battery, the only source of voltage in the circuit. From
this we can see that the electrons are moving counter-clockwise, from point 6 to 5 to 4 to 3 to 2 to 1 and back
to 6 again.

As the current encounters the 5 Ω resistance, voltage is dropped across the resistor's ends. The polarity of this
voltage drop is negative (-) at point 4 with respect to positive (+) at point 3. We can mark the polarity of the
resistor's voltage drop with these negative and positive symbols, in accordance with the direction of current
(whichever end of the resistor the current is entering is negative with respect to the end of the resistor it is
exiting:

We could make our table of voltages a little more complete by marking the polarity of the voltage for each pair
of points in this circuit:

Between points 1 (+) and 4 (-) = 10 volts

Between points 2 (+) and 4 (-) = 10 volts
Between points 3 (+) and 4 (-) = 10 volts
Between points 1 (+) and 5 (-) = 10 volts
Between points 2 (+) and 5 (-) = 10 volts
Between points 3 (+) and 5 (-) = 10 volts
Between points 1 (+) and 6 (-) = 10 volts
Between points 2 (+) and 6 (-) = 10 volts
Between points 3 (+) and 6 (-) = 10 volts
While it might seem a little silly to document polarity of voltage drop in this circuit, it is an important concept
to master. It will be critically important in the analysis of more complex circuits involving multiple resistors
and/or batteries.

It should be understood that polarity has nothing to do with Ohm's Law: there will never be negative voltages,
currents, or resistance entered into any Ohm's Law equations! There are other mathematical principles of
electricity that do take polarity into account through the use of signs (+ or -), but not Ohm's Law.

• REVIEW:
• The polarity of the voltage drop across any resistive component is determined by the direction of
electron flow though it: negative entering, and positive exiting.

Once suitably edited and re-saved under the same filename (output.txt in this example), the text may be
pasted into any kind of document, "plain text" being a universal file format for almost all computer systems. I
can even include it directly in the text of this book -- rather than as a "screenshot" graphic image -- like this:

my first circuit
v 1 0 dc 10
r 1 0 5
.end

node voltage
( 1) 10.0000

voltage source currents

name current
v -2.000E+00

total power dissipation 2.00E+01 watts

Incidentally, this is the preferred format for text output from SPICE simulations in this book series: as real
text, not as graphic screenshot images.

To alter a component value in the simulation, we need to open up the netlist file (circuit1.cir) and make
the required modifications in the text description of the circuit, then save those changes to the same filename,
and re-invoke SPICE at the command prompt. This process of editing and processing a text file is one familiar
to every computer programmer. One of the reasons I like to teach SPICE is that it prepares the learner to think
and work like a computer programmer, which is good because computer programming is a significant area of
advanced electronics work.

Earlier we explored the consequences of changing one of the three variables in an electric circuit (voltage,
current, or resistance) using Ohm's Law to mathematically predict what would happen. Now let's try the same
thing using SPICE to do the math for us.

If we were to triple the voltage in our last example circuit from 10 to 30 volts and keep the circuit resistance
unchanged, we would expect the current to triple as well. Let's try this, re-naming our netlist file so as to not
over-write the first file. This way, we will have both versions of the circuit simulation stored on the hard drive
of our computer for future use. The following text listing is the output of SPICE for this modified netlist,
formatted as plain text rather than as a graphic image of my computer screen:

second example circuit

v 1 0 dc 30
r 1 0 5
.end
node voltage
( 1) 30.0000

voltage source currents

name current
v -6.000E+00
total power dissipation 1.80E+02 watts

Just as we expected, the current tripled with the voltage increase. Current used to be 2 amps, but now it has
increased to 6 amps (-6.000 x 100). Note also how the total power dissipation in the circuit has increased. It
was 20 watts before, but now is 180 watts (1.8 x 102). Recalling that power is related to the square of the
voltage (Joule's Law: P=E2/R), this makes sense. If we triple the circuit voltage, the power should increase by
a factor of nine (32 = 9). Nine times 20 is indeed 180, so SPICE's output does indeed correlate with what we
know about power in electric circuits.

If we want to see how this simple circuit would respond over a wide range of battery voltages, we can invoke
some of the more advanced options within SPICE. Here, I'll use the ".dc" analysis option to vary the battery
voltage from 0 to 100 volts in 5 volt increments, printing out the circuit voltage and current at every step. The
lines in the SPICE netlist beginning with a star symbol ("*") are comments. That is, they don't tell the
computer to do anything relating to circuit analysis, but merely serve as notes for any human being reading
the netlist text.

third example circuit

v 1 0
r 1 0 5
*the ".dc" statement tells spice to sweep the "v" supply
*voltage from 0 to 100 volts in 5 volt steps.
.dc v 0 100 5
.print dc v(1) i(v)
.end

The .print command in this SPICE netlist instructs SPICE to print columns of numbers corresponding to
each step in the analysis:

v i(v)
0.000E+00 0.000E+00
5.000E+00 -1.000E+00
1.000E+01 -2.000E+00
1.500E+01 -3.000E+00
2.000E+01 -4.000E+00
2.500E+01 -5.000E+00
3.000E+01 -6.000E+00
3.500E+01 -7.000E+00
4.000E+01 -8.000E+00
4.500E+01 -9.000E+00
5.000E+01 -1.000E+01
5.500E+01 -1.100E+01
6.000E+01 -1.200E+01
6.500E+01 -1.300E+01
7.000E+01 -1.400E+01
7.500E+01 -1.500E+01
8.000E+01 -1.600E+01
8.500E+01 -1.700E+01
9.000E+01 -1.800E+01
9.500E+01 -1.900E+01
1.000E+02 -2.000E+01

If I re-edit the netlist file, changing the .print command into a .plot command, SPICE will output a crude
graph made up of text characters:

Legend: + = v#branch
------------------------------------------------------------------------
sweep v#branch-2.00e+01 -1.00e+01 0.00e+00
---------------------|------------------------|------------------------|
0.000e+00 0.000e+00 . . +
5.000e+00 -1.000e+00 . . + .
1.000e+01 -2.000e+00 . . + .
1.500e+01 -3.000e+00 . . + .
2.000e+01 -4.000e+00 . . + .
2.500e+01 -5.000e+00 . . + .
3.000e+01 -6.000e+00 . . + .
3.500e+01 -7.000e+00 . . + .
4.000e+01 -8.000e+00 . . + .
4.500e+01 -9.000e+00 . . + .
5.000e+01 -1.000e+01 . + .
5.500e+01 -1.100e+01 . + . .
6.000e+01 -1.200e+01 . + . .
6.500e+01 -1.300e+01 . + . .
7.000e+01 -1.400e+01 . + . .
7.500e+01 -1.500e+01 . + . .
8.000e+01 -1.600e+01 . + . .
8.500e+01 -1.700e+01 . + . .
9.000e+01 -1.800e+01 . + . .
9.500e+01 -1.900e+01 . + . .
1.000e+02 -2.000e+01 + . .
---------------------|------------------------|------------------------|
sweep v#branch-2.00e+01 -1.00e+01 0.00e+00

In both output formats, the left-hand column of numbers represents the battery voltage at each interval, as it
increases from 0 volts to 100 volts, 5 volts at a time. The numbers in the right-hand column indicate the circuit
current for each of those voltages. Look closely at those numbers and you'll see the proportional relationship
between each pair: Ohm's Law (I=E/R) holds true in each and every case, each current value being 1/5 the
respective voltage value, because the circuit resistance is exactly 5 Ω. Again, the negative numbers for current
in this SPICE analysis is more of a quirk than anything else. Just pay attention to the absolute value of each
number unless otherwise specified.

There are even some computer programs able to interpret and convert the non-graphical data output by SPICE
into a graphical plot. One of these programs is called Nutmeg, and its output looks something like this:
Note how Nutmeg plots the resistor voltage v(1) (voltage between node 1 and the implied reference point of
node 0) as a line with a positive slope (from lower-left to upper-right).

Whether or not you ever become proficient at using SPICE is not relevant to its application in this book. All that
matters is that you develop an understanding for what the numbers mean in a SPICE-generated report. In the
examples to come, I'll do my best to annotate the numerical results of SPICE to eliminate any confusion, and
unlock the power of this amazing tool to help you understand the behavior of electric circuits.

< Back

The importance of electrical safety

With this lesson, I hope to avoid a common mistake found in electronics textbooks of either ignoring or not
covering with sufficient detail the subject of electrical safety. I assume that whoever reads this book has at
least a passing interest in actually working with electricity, and as such the topic of safety is of paramount
importance. Those authors, editors, and publishers who fail to incorporate this subject into their introductory
texts are depriving the reader of life-saving information.

As an instructor of industrial electronics, I spend a full week with my students reviewing the theoretical and
practical aspects of electrical safety. The same textbooks I found lacking in technical clarity I also found lacking
in coverage of electrical safety, hence the creation of this chapter. Its placement after the first two chapters is
intentional: in order for the concepts of electrical safety to make the most sense, some foundational knowledge
of electricity is necessary.

Another benefit of including a detailed lesson on electrical safety is the practical context it sets for basic
concepts of voltage, current, resistance, and circuit design. The more relevant a technical topic can be made,
the more likely a student will be to pay attention and comprehend. And what could be more relevant than
application to your own personal safety? Also, with electrical power being such an everyday presence in
modern life, almost anyone can relate to the illustrations given in such a lesson. Have you ever wondered why
birds don't get shocked while resting on power lines? Read on and find out!

Physiological effects of electricity

Most of us have experienced some form of electric "shock," where electricity causes our body to experience
pain or trauma. If we are fortunate, the extent of that experience is limited to tingles or jolts of pain from
static electricity buildup discharging through our bodies. When we are working around electric circuits capable
of delivering high power to loads, electric shock becomes a much more serious issue, and pain is the least
significant result of shock.
As electric current is conducted through a material, any opposition to that flow of electrons (resistance) results
in a dissipation of energy, usually in the form of heat. This is the most basic and easy-to-understand effect of
electricity on living tissue: current makes it heat up. If the amount of heat generated is sufficient, the tissue
may be burnt. The effect is physiologically the same as damage caused by an open flame or other high-
temperature source of heat, except that electricity has the ability to burn tissue well beneath the skin of a
victim, even burning internal organs.

Another effect of electric current on the body, perhaps the most significant in terms of hazard, regards the
nervous system. By "nervous system" I mean the network of special cells in the body called "nerve cells" or
"neurons" which process and conduct the multitude of signals responsible for regulation of many body
functions. The brain, spinal cord, and sensory/motor organs in the body function together to allow it to sense,
move, respond, think, and remember.

Nerve cells communicate to each other by acting as "transducers:" creating electrical signals (very small
voltages and currents) in response to the input of certain chemical compounds called neurotransmitters, and
releasing neurotransmitters when stimulated by electrical signals. If electric current of sufficient magnitude is
conducted through a living creature (human or otherwise), its effect will be to override the tiny electrical
impulses normally generated by the neurons, overloading the nervous system and preventing both reflex and
volitional signals from being able to actuate muscles. Muscles triggered by an external (shock) current will
involuntarily contract, and there's nothing the victim can do about it.

This problem is especially dangerous if the victim contacts an energized conductor with his or her hands. The
forearm muscles responsible for bending fingers tend to be better developed than those muscles responsible
for extending fingers, and so if both sets of muscles try to contract because of an electric current conducted
through the person's arm, the "bending" muscles will win, clenching the fingers into a fist. If the conductor
delivering current to the victim faces the palm of his or her hand, this clenching action will force the hand to
grasp the wire firmly, thus worsening the situation by securing excellent contact with the wire. The victim will
be completely unable to let go of the wire.

Medically, this condition of involuntary muscle contraction is called tetanus. Electricians familiar with this effect
of electric shock often refer to an immobilized victim of electric shock as being "froze on the circuit." Shock-
induced tetanus can only be interrupted by stopping the current through the victim.

Even when the current is stopped, the victim may not regain voluntary control over their muscles for a while,
as the neurotransmitter chemistry has been thrown into disarray. This principle has been applied in "stun gun"
devices such as Tasers, which on the principle of momentarily shocking a victim with a high-voltage pulse
delivered between two electrodes. A well-placed shock has the effect of temporarily (a few minutes)
immobilizing the victim.

Electric current is able to affect more than just skeletal muscles in a shock victim, however. The diaphragm
muscle controlling the lungs, and the heart -- which is a muscle in itself -- can also be "frozen" in a state of
tetanus by electric current. Even currents too low to induce tetanus are often able to scramble nerve cell
signals enough that the heart cannot beat properly, sending the heart into a condition known as fibrillation. A
fibrillating heart flutters rather than beats, and is ineffective at pumping blood to vital organs in the body. In
any case, death from asphyxiation and/or cardiac arrest will surely result from a strong enough electric current
through the body. Ironically, medical personnel use a strong jolt of electric current applied across the chest of
a victim to "jump start" a fibrillating heart into a normal beating pattern.

That last detail leads us into another hazard of electric shock, this one peculiar to public power systems.
Though our initial study of electric circuits will focus almost exclusively on DC (Direct Current, or electricity that
moves in a continuous direction in a circuit), modern power systems utilize alternating current, or AC. The
technical reasons for this preference of AC over DC in power systems are irrelevant to this discussion, but the
special hazards of each kind of electrical power are very important to the topic of safety.

Direct current (DC), because it moves with continuous motion through a conductor, has the tendency to induce
muscular tetanus quite readily. Alternating current (AC), because it alternately reverses direction of motion,
provides brief moments of opportunity for an afflicted muscle to relax between alternations. Thus, from the
concern of becoming "froze on the circuit," DC is more dangerous than AC.

However, AC's alternating nature has a greater tendency to throw the heart's pacemaker neurons into a
condition of fibrillation, whereas DC tends to just make the heart stand still. Once the shock current is halted, a
"frozen" heart has a better chance of regaining a normal beat pattern than a fibrillating heart. This is why
"defibrillating" equipment used by emergency medics works: the jolt of current supplied by the defibrillator unit
is DC, which halts fibrillation and and gives the heart a chance to recover.
In either case, electric currents high enough to cause involuntary muscle action are dangerous and are to be
avoided at all costs. In the next section, we'll take a look at how such currents typically enter and exit the
body, and examine precautions against such occurrences.

• REVIEW:
• Electric current is capable of producing deep and severe burns in the body due to power dissipation
across the body's electrical resistance.
• Tetanus is the condition where muscles involuntarily contract due to the passage of external electric
current through the body. When involuntary contraction of muscles controlling the fingers causes a
victim to be unable to let go of an energized conductor, the victim is said to be "froze on the circuit."
• Diaphragm (lung) and heart muscles are similarly affected by electric current. Even currents too small
to induce tetanus can be strong enough to interfere with the heart's pacemaker neurons, causing the
heart to flutter instead of strongly beat.
• Direct current (DC) is more likely to cause muscle tetanus than alternating current (AC), making DC
more likely to "freeze" a victim in a shock scenario. However, AC is more likely to cause a victim's
heart to fibrillate, which is a more dangerous condition for the victim after the shocking current has
been halted.

Shock current path

As we've already learned, electricity requires a complete path (circuit) to continuously flow. This is why the
shock received from static electricity is only a momentary jolt: the flow of electrons is necessarily brief when
static charges are equalized between two objects. Shocks of self-limited duration like this are rarely hazardous.

Without two contact points on the body for current to enter and exit, respectively, there is no hazard of shock.
This is why birds can safely rest on high-voltage power lines without getting shocked: they make contact with
the circuit at only one point.

In order for electrons to flow through a conductor, there must be a voltage present to motivate them. Voltage,
as you should recall, is always relative between two points. There is no such thing as voltage "on" or "at" a
single point in the circuit, and so the bird contacting a single point in the above circuit has no voltage applied
across its body to establish a current through it. Yes, even though they rest on two feet, both feet are touching
the same wire, making them electrically common. Electrically speaking, both of the bird's feet touch the same
point, hence there is no voltage between them to motivate current through the bird's body.

This might lend one to believe that it's impossible to be shocked by electricity by only touching a single wire.
Like the birds, if we're sure to touch only one wire at a time, we'll be safe, right? Unfortunately, this is not
correct. Unlike birds, people are usually standing on the ground when they contact a "live" wire. Many times,
one side of a power system will be intentionally connected to earth ground, and so the person touching a single
wire is actually making contact between two points in the circuit (the wire and earth ground):
The ground symbol is that set of three horizontal bars of decreasing width located at the lower-left of the
circuit shown, and also at the foot of the person being shocked. In real life the power system ground consists
of some kind of metallic conductor buried deep in the ground for making maximum contact with the earth. That
conductor is electrically connected to an appropriate connection point on the circuit with thick wire. The
victim's ground connection is through their feet, which are touching the earth.

A few questions usually arise at this point in the mind of the student:

• If the presence of a ground point in the circuit provides an easy point of contact for someone to get
shocked, why have it in the circuit at all? Wouldn't a ground-less circuit be safer?
• The person getting shocked probably isn't bare-footed. If rubber and fabric are insulating materials,
then why aren't their shoes protecting them by preventing a circuit from forming?
• How good of a conductor can dirt be? If you can get shocked by current through the earth, why not
use the earth as a conductor in our power circuits?

In answer to the first question, the presence of an intentional "grounding" point in an electric circuit is intended
to ensure that one side of it is safe to come in contact with. Note that if our victim in the above diagram were
to touch the bottom side of the resistor, nothing would happen even though their feet would still be contacting
ground:

Because the bottom side of the circuit is firmly connected to ground through the grounding point on the lower-
left of the circuit, the lower conductor of the circuit is made electrically common with earth ground. Since there
can be no voltage between electrically common points, there will be no voltage applied across the person
contacting the lower wire, and they will not receive a shock. For the same reason, the wire connecting the
circuit to the grounding rod/plates is usually left bare (no insulation), so that any metal object it brushes up
against will similarly be electrically common with the earth.
Circuit grounding ensures that at least one point in the circuit will be safe to touch. But what about leaving a
circuit completely ungrounded? Wouldn't that make any person touching just a single wire as safe as the bird
sitting on just one? Ideally, yes. Practically, no. Observe what happens with no ground at all:

Despite the fact that the person's feet are still contacting ground, any single point in the circuit should be safe
to touch. Since there is no complete path (circuit) formed through the person's body from the bottom side of
the voltage source to the top, there is no way for a current to be established through the person. However, this
could all change with an accidental ground, such as a tree branch touching a power line and providing
connection to earth ground:

The trouble with trees is that no one can guarantee which wire their branches might touch. If a tree were to
brush up against the top wire in the circuit, it would make the top wire safe to touch and the bottom one
dangerous:
With a tree branch contacting the top wire, that wire becomes the grounded conductor in the circuit,
electrically common with earth ground. Therefore, there is no voltage between that wire and ground, but full
(high) voltage between the bottom wire and ground. Tree branches touching power lines are only one potential
source of accidental grounding in a power system. Consider another ungrounded power system with no trees in
contact, but with two people touching single wires:

With each person standing on the ground, contacting different points in the circuit, a path for shock current is
made through one person, through the earth, and through the other person. Even though each person thinks
they're safe in only touching a single point in the circuit, their combined actions make for a deadly scenario.
This is exactly why ungrounded power systems are dangerous: the voltage between any point in the circuit and
ground (earth) is unpredictable. The only one guaranteed to be safe in this scenario is the bird, who has no
connection to earth ground! By firmly connecting a designated point in the circuit to earth ground, at least
safety can be assured at that one point. This is more assurance of safety than having no ground connection at
all.
In answer to the second question, rubber-soled shoes do indeed provide some electrical insulation to help
protect someone from conducting shock current through their feet. However, most common shoe designs are
not intended to be electrically "safe," their soles being too thin and not of the right substance. Also, any
moisture, dirt, or conductive salts from body sweat on the surface of or permeated through the soles of shoes
will compromise what little insulating value the shoe had to begin with. There are shoes specifically made for
dangerous electrical work, as well as thick rubber mats made to stand on while working on live circuits, but
these special pieces of gear must be in absolutely clean, dry condition in order to be effective. Suffice it to say,
normal footwear is not enough to guarantee protection against electric shock from a power system.

Research conducted on contact resistance between parts of the human body and points of contact (such as the
ground) shows a wide range of figures (see end of chapter for information on the source of this data):

• Hand or foot contact, insulated with rubber: 20 MΩ typical.

• Foot contact through leather shoe sole (dry): 100 kΩ to 500 kΩ
• Foot contact through leather shoe sole (wet): 5 kΩ to 20 kΩ

As you can see, not only is rubber a far better insulating material than leather, but the presence of water in a
porous substance such as leather greatly reduces electrical resistance.

In answer to the third question, dirt is not a very good conductor (at least not when it's dry!). It is too poor of
a conductor to support continuous current for powering a load. However, as we will see in the next section, it
takes very little current to injure or kill a human being, so even the poor conductivity of dirt is enough to
provide a path for deadly current when there is sufficient voltage available, as there usually is in power
systems.

Some ground surfaces are better insulators than others. Asphalt, for instance, being oil-based, has a much
greater resistance than most forms of dirt or rock. Concrete, on the other hand, tends to have fairly low
resistance due to its intrinsic water and electrolyte (conductive chemical) content.

• REVIEW:
• Electric shock can only occur when contact is made between two points of a circuit; when voltage is
applied across a victim's body.
• Power circuits usually have a designated point that is "grounded:" firmly connected to metal rods or
plates buried in the dirt to ensure that one side of the circuit is always at ground potential (zero
voltage between that point and earth ground).
• Special, insulated shoes and mats are made to protect persons from shock via ground conduction, but
even these pieces of gear must be in clean, dry condition to be effective. Normal footwear is not good
enough to provide protection from shock by insulating its wearer from the earth.
• Though dirt is a poor conductor, it can conduct enough current to injure or kill a human bei

Ohm's Law (again!)

A common phrase heard in reference to electrical safety goes something like this: "It's not voltage that kills,
it's current!" While there is an element of truth to this, there's more to understand about shock hazard than
this simple adage. If voltage presented no danger, no one would ever print and display signs saying: DANGER
-- HIGH VOLTAGE!

The principle that "current kills" is essentially correct. It is electric current that burns tissue, freezes muscles,
and fibrillates hearts. However, electric current doesn't just occur on its own: there must be voltage available
to motivate electrons to flow through a victim. A person's body also presents resistance to current, which must
be taken into account.

Taking Ohm's Law for voltage, current, and resistance, and expressing it in terms of current for a given voltage
and resistance, we have this equation:
The amount of current through a body is equal to the amount of voltage applied between two points on that
body, divided by the electrical resistance offered by the body between those two points. Obviously, the more
voltage available to cause electrons to flow, the easier they will flow through any given amount of resistance.
Hence, the danger of high voltage: high voltage means potential for large amounts of current through your
body, which will injure or kill you. Conversely, the more resistance a body offers to current, the slower
electrons will flow for any given amount of voltage. Just how much voltage is dangerous depends on how much
total resistance is in the circuit to oppose the flow of electrons.

Body resistance is not a fixed quantity. It varies from person to person and from time to time. There's even a
body fat measurement technique based on a measurement of electrical resistance between a person's toes and
fingers. Differing percentages of body fat give provide different resistances: just one variable affecting
electrical resistance in the human body. In order for the technique to work accurately, the person must
regulate their fluid intake for several hours prior to the test, indicating that body hydration another factor
impacting the body's electrical resistance.

Body resistance also varies depending on how contact is made with the skin: is it from hand-to-hand, hand-to-
foot, foot-to-foot, hand-to-elbow, etc.? Sweat, being rich in salts and minerals, is an excellent conductor of
electricity for being a liquid. So is blood, with its similarly high content of conductive chemicals. Thus, contact
with a wire made by a sweaty hand or open wound will offer much less resistance to current than contact made
by clean, dry skin.

Measuring electrical resistance with a sensitive meter, I measure approximately 1 million ohms of resistance (1
MΩ) between my two hands, holding on to the meter's metal probes between my fingers. The meter indicates
less resistance when I squeeze the probes tightly and more resistance when I hold them loosely. Sitting here
at my computer, typing these words, my hands are clean and dry. If I were working in some hot, dirty,
industrial environment, the resistance between my hands would likely be much less, presenting less opposition
to deadly current, and a greater threat of electrical shock.

But how much current is harmful? The answer to that question also depends on several factors. Individual body
chemistry has a significant impact on how electric current affects an individual. Some people are highly
sensitive to current, experiencing involuntary muscle contraction with shocks from static electricity. Others can
draw large sparks from discharging static electricity and hardly feel it, much less experience a muscle spasm.
Despite these differences, approximate guidelines have been developed through tests which indicate very little
current being necessary to manifest harmful effects (again, see end of chapter for information on the source of
this data). All current figures given in milliamps (a milliamp is equal to 1/1000 of an amp):

BODILY EFFECT DIRECT CURRENT (DC) 60 Hz AC 10 kHz AC

---------------------------------------------------------------
Slight sensation Men = 1.0 mA 0.4 mA 7 mA
felt at hand(s) Women = 0.6 mA 0.3 mA 5 mA
---------------------------------------------------------------
Threshold of Men = 5.2 mA 1.1 mA 12 mA
perception Women = 3.5 mA 0.7 mA 8 mA
---------------------------------------------------------------
Painful, but Men = 62 mA 9 mA 55 mA
voluntary muscle Women = 41 mA 6 mA 37 mA
control maintained
---------------------------------------------------------------
Painful, unable Men = 76 mA 16 mA 75 mA
to let go of wires Women = 51 mA 10.5 mA 50 mA
---------------------------------------------------------------
Severe pain, Men = 90 mA 23 mA 94 mA
difficulty Women = 60 mA 15 mA 63 mA
breathing
---------------------------------------------------------------
Possible heart Men = 500 mA 100 mA
fibrillation Women = 500 mA 100 mA
after 3 seconds
---------------------------------------------------------------

"Hz" stands for the unit of Hertz, the measure of how rapidly alternating current alternates, a measure
otherwise known as frequency. So, the column of figures labeled "60 Hz AC" refers to current that alternates at
a frequency of 60 cycles (1 cycle = period of time where electrons flow one direction, then the other direction)
per second. The last column, labeled "10 kHz AC," refers to alternating current that completes ten thousand
(10,000) back-and-forth cycles each and every second.

Keep in mind that these figures are only approximate, as individuals with different body chemistry may react
differently. It has been suggested that an across-the-chest current of only 17 milliamps AC is enough to induce
fibrillation in a human subject under certain conditions. Most of our data regarding induced fibrillation comes
from animal testing. Obviously, it is not practical to perform tests of induced ventricular fibrillation on human
subjects, so the available data is sketchy. Oh, and in case you're wondering, I have no idea why women tend
to be more susceptible to electric currents than men!

Suppose I were to place my two hands across the terminals of an AC voltage source at 60 Hz (60 cycles, or
alternations back-and-forth, per second). How much voltage would be necessary in this clean, dry state of skin
condition to produce a current of 20 milliamps (enough to cause me to become unable to let go of the voltage
source)? We can use Ohm's Law (E=IR) to determine this:

E = IR

E = (20 mA)(1 MΩ)

E = 20,000 volts, or 20 kV

Bear in mind that this is a "best case" scenario (clean, dry skin) from the standpoint of electrical safety, and
that this figure for voltage represents the amount necessary to induce tetanus. Far less would be required to
cause a painful shock! Also keep in mind that the physiological effects of any particular amount of current can
vary significantly from person to person, and that these calculations are rough estimates only.

With water sprinkled on my fingers to simulate sweat, I was able to measure a hand-to-hand resistance of only
17,000 ohms (17 kΩ). Bear in mind this is only with one finger of each hand contacting a thin metal wire.
Recalculating the voltage required to cause a current of 20 milliamps, we obtain this figure:

E = IR

E = (20 mA)(17 kΩ)

E = 340 volts

In this realistic condition, it would only take 340 volts of potential from one of my hands to the other to cause
20 milliamps of current. However, it is still possible to receive a deadly shock from less voltage than this.
Provided a much lower body resistance figure augmented by contact with a ring (a band of gold wrapped
around the circumference of one's finger makes an excellent contact point for electrical shock) or full contact
with a large metal object such as a pipe or metal handle of a tool, the body resistance figure could drop as low
as 1,000 ohms (1 kΩ), allowing an even lower voltage to present a potential hazard:
E = IR

E = (20 mA)(1 kΩ)

E = 20 volts

Notice that in this condition, 20 volts is enough to produce a current of 20 milliamps through a person: enough
to induce tetanus. Remember, it has been suggested a current of only 17 milliamps may induce ventricular
(heart) fibrillation. With a hand-to-hand resistance of 1000 Ω, it would only take 17 volts to create this
dangerous condition:

E = IR

E = (17 mA)(1 kΩ)

E = 17 volts

Seventeen volts is not very much as far as electrical systems are concerned. Granted, this is a "worst-case"
scenario with 60 Hz AC voltage and excellent bodily conductivity, but it does stand to show how little voltage
may present a serious threat under certain conditions.

The conditions necessary to produce 1,000 Ω of body resistance don't have to be as extreme as what was
presented, either (sweaty skin with contact made on a gold ring). Body resistance may decrease with the
application of voltage (especially if tetanus causes the victim to maintain a tighter grip on a conductor) so that
with constant voltage a shock may increase in severity after initial contact. What begins as a mild shock -- just
enough to "freeze" a victim so they can't let go -- may escalate into something severe enough to kill them as
their body resistance decreases and current correspondingly increases.

Research has provided an approximate set of figures for electrical resistance of human contact points under
different conditions (see end of chapter for information on the source of this data):

• Wire touched by finger: 40,000 Ω to 1,000,000 Ω dry, 4,000 Ω to 15,000 Ω wet.

• Wire held by hand: 15,000 Ω to 50,000 Ω dry, 3,000 Ω to 5,000 Ω wet.
• Metal pliers held by hand: 5,000 Ω to 10,000 Ω dry, 1,000 Ω to 3,000 Ω wet.
• Contact with palm of hand: 3,000 Ω to 8,000 Ω dry, 1,000 Ω to 2,000 Ω wet.
• 1.5 inch metal pipe grasped by one hand: 1,000 Ω to 3,000 Ω dry, 500 Ω to 1,500 Ω wet.
• 1.5 inch metal pipe grasped by two hands: 500 Ω to 1,500 kΩ dry, 250 Ω to 750 Ω wet.
• Hand immersed in conductive liquid: 200 Ω to 500 Ω.
• Foot immersed in conductive liquid: 100 Ω to 300 Ω.

Note the resistance values of the two conditions involving a 1.5 inch metal pipe. The resistance measured with
two hands grasping the pipe is exactly one-half the resistance of one hand grasping the pipe.
With two hands, the bodily contact area is twice as great as with one hand. This is an important lesson to
learn: electrical resistance between any contacting objects diminishes with increased contact area, all other
factors being equal. With two hands holding the pipe, electrons have two, parallel routes through which to flow
from the pipe to the body (or visa-versa).

As we will see in a later chapter, parallel circuit pathways always result in less overall resistance than any
single pathway considered alone.

In industry, 30 volts is generally considered to be a conservative threshold value for dangerous voltage. The
cautious person should regard any voltage above 30 volts as threatening, not relying on normal body
resistance for protection against shock. That being said, it is still an excellent idea to keep one's hands clean
and dry, and remove all metal jewelry when working around electricity. Even around lower voltages, metal
jewelry can present a hazard by conducting enough current to burn the skin if brought into contact between
two points in a circuit. Metal rings, especially, have been the cause of more than a few burnt fingers by
bridging between points in a low-voltage, high-current circuit.

Also, voltages lower than 30 can be dangerous if they are enough to induce an unpleasant sensation, which
may cause you to jerk and accidently come into contact across a higher voltage or some other hazard. I recall
once working on a automobile on a hot summer day. I was wearing shorts, my bare leg contacting the chrome
bumper of the vehicle as I tightened battery connections. When I touched my metal wrench to the positive
(ungrounded) side of the 12 volt battery, I could feel a tingling sensation at the point where my leg was
touching the bumper. The combination of firm contact with metal and my sweaty skin made it possible to feel a
shock with only 12 volts of electrical potential.

Thankfully, nothing bad happened, but had the engine been running and the shock felt at my hand instead of
my leg, I might have reflexively jerked my arm into the path of the rotating fan, or dropped the metal wrench
across the battery terminals (producing large amounts of current through the wrench with lots of
accompanying sparks). This illustrates another important lesson regarding electrical safety; that electric
current itself may be an indirect cause of injury by causing you to jump or spasm parts of your body into
harm's way.
The path current takes through the human body makes a difference as to how harmful it is. Current will affect
whatever muscles are in its path, and since the heart and lung (diaphragm) muscles are probably the most
critical to one's survival, shock paths traversing the chest are the most dangerous. This makes the hand-to-
hand shock current path a very likely mode of injury and fatality.

To guard against such an occurrence, it is advisable to only use on hand to work on live circuits of hazardous
voltage, keeping the other hand tucked into a pocket so as to not accidently touch anything. Of course, it is
always safer to work on a circuit when it is unpowered, but this is not always practical or possible. For one-
handed work, the right hand is generally preferred over the left for two reasons: most people are right-handed
(thus granting additional coordination when working), and the heart is usually situated to the left of center in
the chest cavity.

For those who are left-handed, this advice may not be the best. If such a person is sufficiently uncoordinated
with their right hand, they may be placing themselves in greater danger by using the hand they're least
comfortable with, even if shock current through that hand might present more of a hazard to their heart. The
relative hazard between shock through one hand or the other is probably less than the hazard of working with
less than optimal coordination, so the choice of which hand to work with is best left to the individual.

The best protection against shock from a live circuit is resistance, and resistance can be added to the body
through the use of insulated tools, gloves, boots, and other gear. Current in a circuit is a function of available
voltage divided by the total resistance in the path of the flow. As we will investigate in greater detail later in
this book, resistances have an additive effect when they're stacked up so that there's only one path for
electrons to flow:

Now we'll see an equivalent circuit for a person wearing insulated gloves and boots:
Because electric current must pass through the boot and the body and the glove to complete its circuit back to
the battery, the combined total (sum) of these resistances opposes the flow of electrons to a greater degree
than any of the resistances considered individually.

Safety is one of the reasons electrical wires are usually covered with plastic or rubber insulation: to vastly
increase the amount of resistance between the conductor and whoever or whatever might contact it.
Unfortunately, it would be prohibitively expensive to enclose power line conductors in sufficient insulation to
provide safety in case of accidental contact, so safety is maintained by keeping those lines far enough out of
reach so that no one can accidently touch them.

• REVIEW:
• Harm to the body is a function of the amount of shock current. Higher voltage allows for the
production of higher, more dangerous currents. Resistance opposes current, making high resistance a
good protective measure against shock.
• Any voltage above 30 is generally considered to be capable of delivering dangerous shock currents.
• Metal jewelry is definitely bad to wear when working around electric circuits. Rings, watchbands,
necklaces, bracelets, and other such adornments provide excellent electrical contact with your body,
and can conduct current themselves enough to produce skin burns, even with low voltages.
• Low voltages can still be dangerous even if they're too low to directly cause shock injury. They may be
enough to startle the victim, causing them to jerk back and contact something more dangerous in the
near vicinity.
• When necessary to work on a "live" circuit, it is best to perform the work with one hand so as to
prevent a deadly hand-to-hand (through the chest) shock current path.

Safe practices

If at all possible, shut off the power to a circuit before performing any work on it. You must secure all sources
of harmful energy before a system may be considered safe to work on. In industry, securing a circuit, device,
or system in this condition is commonly known as placing it in a Zero Energy State. The focus of this lesson is,
of course, electrical safety. However, many of these principles apply to non-electrical systems as well.

Securing something in a Zero Energy State means ridding it of any sort of potential or stored energy, including
but not limited to:

• Dangerous voltage
• Spring pressure
• Hydraulic (liquid) pressure
• Pneumatic (air) pressure
• Suspended weight
• Chemical energy (flammable or otherwise reactive substances)
• Nuclear energy (radioactive or fissile substances)

Voltage by its very nature is a manifestation of potential energy. In the first chapter I even used elevated liquid
as an analogy for the potential energy of voltage, having the capacity (potential) to produce current (flow), but
not necessarily realizing that potential until a suitable path for flow has been established, and resistance to
flow is overcome. A pair of wires with high voltage between them do not look or sound dangerous even though
they harbor enough potential energy between them to push deadly amounts of current through your body.
Even though that voltage isn't presently doing anything, it has the potential to, and that potential must be
neutralized before it is safe to physically contact those wires.

All properly designed circuits have "disconnect" switch mechanisms for securing voltage from a circuit.
Sometimes these "disconnects" serve a dual purpose of automatically opening under excessive current
conditions, in which case we call them "circuit breakers." Other times, the disconnecting switches are strictly
manually-operated devices with no automatic function. In either case, they are there for your protection and
must be used properly. Please note that the disconnect device should be separate from the regular switch used
to turn the device on and off. It is a safety switch, to be used only for securing the system in a Zero Energy
State:

With the disconnect switch in the "open" position as shown (no continuity), the circuit is broken and no current
will exist. There will be zero voltage across the load, and the full voltage of the source will be dropped across
the open contacts of the disconnect switch. Note how there is no need for a disconnect switch in the lower
conductor of the circuit. Because that side of the circuit is firmly connected to the earth (ground), it is
electrically common with the earth and is best left that way. For maximum safety of personnel working on the
load of this circuit, a temporary ground connection could be established on the top side of the load, to ensure
that no voltage could ever be dropped across the load:

With the temporary ground connection in place, both sides of the load wiring are connected to ground, securing
a Zero Energy State at the load.

Since a ground connection made on both sides of the load is electrically equivalent to short-circuiting across
the load with a wire, that is another way of accomplishing the same goal of maximum safety:
Either way, both sides of the load will be electrically common to the earth, allowing for no voltage (potential
energy) between either side of the load and the ground people stand on. This technique of temporarily
grounding conductors in a de-energized power system is very common in maintenance work performed on high
voltage power distribution systems.

A further benefit of this precaution is protection against the possibility of the disconnect switch being closed
(turned "on" so that circuit continuity is established) while people are still contacting the load. The temporary
wire connected across the load would create a short-circuit when the disconnect switch was closed,
immediately tripping any overcurrent protection devices (circuit breakers or fuses) in the circuit, which would
shut the power off again. Damage may very well be sustained by the disconnect switch if this were to happen,
but the workers at the load are kept safe.

It would be good to mention at this point that overcurrent devices are not intended to provide protection
against electric shock. Rather, they exist solely to protect conductors from overheating due to excessive
currents. The temporary shorting wires just described would indeed cause any overcurrent devices in the
circuit to "trip" if the disconnect switch were to be closed, but realize that electric shock protection is not the
intended function of those devices. Their primary function would merely be leveraged for the purpose of worker
protection with the shorting wire in place.

Since it is obviously important to be able to secure any disconnecting devices in the open (off) position and
make sure they stay that way while work is being done on the circuit, there is need for a structured safety
system to be put into place. Such a system is commonly used in industry and it is called Lock-out/Tag-out.

A lock-out/tag-out procedure works like this: all individuals working on a secured circuit have their own
personal padlock or combination lock which they set on the control lever of a disconnect device prior to
working on the system. Additionally, they must fill out and sign a tag which they hang from their lock
describing the nature and duration of the work they intend to perform on the system. If there are multiple
sources of energy to be "locked out" (multiple disconnects, both electrical and mechanical energy sources to be
secured, etc.), the worker must use as many of his or her locks as necessary to secure power from the system
before work begins. This way, the system is maintained in a Zero Energy State until every last lock is removed
from all the disconnect and shutoff devices, and that means every last worker gives consent by removing their
own personal locks. If the decision is made to re-energize the system and one person's lock(s) still remain in
place after everyone present removes theirs, the tag(s) will show who that person is and what it is they're
doing.

Even with a good lock-out/tag-out safety program in place, there is still need for diligence and common-sense
precaution. This is especially true in industrial settings where a multitude of people may be working on a
device or system at once. Some of those people might not know about proper lock-out/tag-out procedure, or
might know about it but are too complacent to follow it. Don't assume that everyone has followed the safety
rules!

After an electrical system has been locked out and tagged with your own personal lock, you must then double-
check to see if the voltage really has been secured in a zero state. One way to check is to see if the machine
(or whatever it is that's being worked on) will start up if the Start switch or button is actuated. If it starts, then
you know you haven't successfully secured the electrical power from it.

Additionally, you should always check for the presence of dangerous voltage with a measuring device before
actually touching any conductors in the circuit. To be safest, you should follow this procedure is checking,
using, and then checking your meter:

• Check to see that your meter indicates properly on a known source of voltage.
• Use your meter to test the locked-out circuit for any dangerous voltage.
• Check your meter once more on a known source of voltage to see that it still indicates as it should.

While this may seem excessive or even paranoid, it is a proven technique for preventing electrical shock. I
once had a meter fail to indicate voltage when it should have while checking a circuit to see if it was "dead."
Had I not used other means to check for the presence of voltage, I might not be alive today to write this.
There's always the chance that your voltage meter will be defective just when you need it to check for a
dangerous condition. Following these steps will help ensure that you're never misled into a deadly situation by
a broken meter.

Finally, the electrical worker will arrive at a point in the safety check procedure where it is deemed safe to
actually touch the conductor(s). Bear in mind that after all of the precautionary steps have taken, it is still
possible (although very unlikely) that a dangerous voltage may be present. One final precautionary measure to
take at this point is to make momentary contact with the conductor(s) with the back of the hand before
grasping it or a metal tool in contact with it. Why? If, for some reason there is still voltage present between
that conductor and earth ground, finger motion from the shock reaction (clenching into a fist) will break
contact with the conductor. Please note that this is absolutely the last step that any electrical worker should
ever take before beginning work on a power system, and should never be used as an alternative method of
checking for dangerous voltage. If you ever have reason to doubt the trustworthiness of your meter, use
another meter to obtain a "second opinion."

• REVIEW:
• Zero Energy State: When a circuit, device, or system has been secured so that no potential energy
exists to harm someone working on it.
• Disconnect switch devices must be present in a properly designed electrical system to allow for
convenient readiness of a Zero Energy State.
• Temporary grounding or shorting wires may be connected to a load being serviced for extra protection
to personnel working on that load.
• Lock-out/Tag-out works like this: when working on a system in a Zero Energy State, the worker
places a personal padlock or combination lock on every energy disconnect device relevant to his or
her task on that system. Also, a tag is hung on every one of those locks describing the nature and
duration of the work to be done, and who is doing it.
• Always verify that a circuit has been secured in a Zero Energy State with test equipment after "locking
it out." Be sure to test your meter before and after checking the circuit to verify that it is working
properly.
• When the time comes to actually make contact with the conductor(s) of a supposedly dead power
system, do so first with the back of one hand, so that if a shock should occur, the muscle reaction will
pull the fingers away from the conductor.

< Back

Emergency response

Despite lock-out/tag-out procedures and multiple repetitions of electrical safety rules in industry, accidents still
do occur. The vast majority of the time, these accidents are the result of not following proper safety
procedures. But however they may occur, they still do happen, and anyone working around electrical systems
should be aware of what needs to be done for a victim of electrical shock.

If you see someone lying unconscious or "froze on the circuit," the very first thing to do is shut off the power
by opening the appropriate disconnect switch or circuit breaker. If someone touches another person being
shocked, there may be enough voltage dropped across the body of the victim to shock the would-be rescuer,
thereby "freezing" two people instead of one. Don't be a hero. Electrons don't respect heroism. Make sure the
situation is safe for you to step into, or else you will be the next victim, and nobody will benefit from your
efforts.

One problem with this rule is that the source of power may not be known, or easily found in time to save the
victim of shock. If a shock victim's breathing and heartbeat are paralyzed by electric current, their survival
time is very limited. If the shock current is of sufficient magnitude, their flesh and internal organs may be
quickly roasted by the power the current dissipates as it runs through their body.

If the power disconnect switch cannot be located quickly enough, it may be possible to dislodge the victim from
the circuit they're frozen on to by prying them or hitting them away with a dry wooden board or piece of
nonmetallic conduit, common items to be found in industrial construction scenes. Another item that could be
used to safely drag a "frozen" victim away from contact with power is an extension cord. By looping a cord
around their torso and using it as a rope to pull them away from the circuit, their grip on the conductor(s) may
be broken. Bear in mind that the victim will be holding on to the conductor with all their strength, so pulling
them away probably won't be easy!

Once the victim has been safely disconnected from the source of electric power, the immediate medical
concerns for the victim should be respiration and circulation (breathing and pulse). If the rescuer is trained in
CPR, they should follow the appropriate steps of checking for breathing and pulse, then applying CPR as
necessary to keep the victim's body from deoxygenating. The cardinal rule of CPR is to keep going until you
have been relieved by qualified personnel.

If the victim is conscious, it is best to have them lie still until qualified emergency response personnel arrive on
the scene. There is the possibility of the victim going into a state of physiological shock -- a condition of
insufficient blood circulation different from electrical shock -- and so they should be kept as warm and
comfortable as possible. An electrical shock insufficient to cause immediate interruption of the heartbeat may
be strong enough to cause heart irregularities or a heart attack up to several hours later, so the victim should
pay close attention to their own condition after the incident, ideally under supervision.
 • REVIEW:
• A person being shocked needs to be disconnected from the source of electrical power. Locate the
disconnecting switch/breaker and turn it off. Alternatively, if the disconnecting device cannot be
located, the victim can be pried or pulled from the circuit by an insulated object such as a dry wood
board, piece of nonmetallic conduit, or rubber electrical cord.
• Victims need immediate medical response: check for breathing and pulse, then apply CPR as
necessary to maintain oxygenation.
• If a victim is still conscious after having been shocked, they need to be closely monitored and cared
for until trained emergency response personnel arrive. There is danger of physiological shock, so keep
the victim warm and comfortable.
• Shock victims may suffer heart trouble up to several hours after being shocked. The danger of electric
shock does not end after the immediate medical attention.

Common sources of hazard

Of course there is danger of electrical shock when directly performing manual work on an electrical power
system. However, electric shock hazards exist in many other places, thanks to the widespread use of electric
power in our lives.

As we saw earlier, skin and body resistance has a lot to do with the relative hazard of electric circuits. The
higher the body's resistance, the less likely harmful current will result from any given amount of voltage.
Conversely, the lower the body's resistance, the more likely for injury to occur from the application of a
voltage.

The easiest way to decrease skin resistance is to get it wet. Therefore, touching electrical devices with wet
hands, wet feet, or especially in a sweaty condition (salt water is a much better conductor of electricity than
fresh water) is dangerous. In the household, the bathroom is one of the more likely places where wet people
may contact electrical appliances, and so shock hazard is a definite threat there. Good bathroom design will
locate power receptacles away from bathtubs, showers, and sinks to discourage the use of appliances nearby.
Telephones that plug into a wall socket are also sources of hazardous voltage (the ringing signal in a telephone
is 48 volts AC -- remember that any voltage over 30 is considered potentially dangerous!). Appliances such as
telephones and radios should never, ever be used while sitting in a bathtub. Even battery-powered devices
should be avoided. Some battery-operated devices employ voltage-increasing circuitry capable of generating
lethal potentials.

Swimming pools are another source of trouble, since people often operate radios and other powered appliances
nearby. The National Electrical Code requires that special shock-detecting receptacles called Ground-Fault
Current Interrupting (GFI or GFCI) be installed in wet and outdoor areas to help prevent shock incidents. More
on these devices in a later section of this chapter. These special devices have no doubt saved many lives, but
they can be no substitute for common sense and diligent precaution. As with firearms, the best "safety" is an
informed and conscientious operator.

Extension cords, so commonly used at home and in industry, are also sources of potential hazard. All cords
should be regularly inspected for abrasion or cracking of insulation, and repaired immediately. One sure
method of removing a damaged cord from service is to unplug it from the receptacle, then cut off that plug
(the "male" plug) with a pair of side-cutting pliers to ensure that no one can use it until it is fixed. This is
important on jobsites, where many people share the same equipment, and not all people there may be aware
of the hazards.

Any power tool showing evidence of electrical problems should be immediately serviced as well. I've heard
several horror stories of people who continue to work with hand tools that periodically shock them. Remember,
electricity can kill, and the death it brings can be gruesome. Like extension cords, a bad power tool can be
removed from service by unplugging it and cutting off the plug at the end of the cord.

Downed power lines are an obvious source of electric shock hazard and should be avoided at all costs. The
voltages present between power lines or between a power line and earth ground are typically very high (2400
volts being one of the lowest voltages used in residential distribution systems). If a power line is broken and
the metal conductor falls to the ground, the immediate result will usually be a tremendous amount of arcing
(sparks produced), often enough to dislodge chunks of concrete or asphalt from the road surface, and reports
rivaling that of a rifle or shotgun. To come into direct contact with a downed power line is almost sure to cause
death, but other hazards exist which are not so obvious.

When a line touches the ground, current travels between that downed conductor and the nearest grounding
point in the system, thus establishing a circuit:
The earth, being a conductor (if only a poor one), will conduct current between the downed line and the
nearest system ground point, which will be some kind of conductor buried in the ground for good contact.
Being that the earth is a much poorer conductor of electricity than the metal cables strung along the power
poles, there will be substantial voltage dropped between the point of cable contact with the ground and the
grounding conductor, and little voltage dropped along the length of the cabling (the following figures are very
approximate):

If the distance between the two ground contact points (the downed cable and the system ground) is small,
there will be substantial voltage dropped along short distances between the two points. Therefore, a person
standing on the ground between those two points will be in danger of receiving an electric shock by
intercepting a voltage between their two feet!

Again, these voltage figures are very approximate, but they serve to illustrate a potential hazard: that a person
can become a victim of electric shock from a downed power line without even coming into contact with that
line!
One practical precaution a person could take if they see a power line falling towards the ground is to only
contact the ground at one point, either by running away (when you run, only one foot contacts the ground at
any given time), or if there's nowhere to run, by standing on one foot. Obviously, if there's somewhere safer to
run, running is the best option. By eliminating two points of contact with the ground, there will be no chance of
applying deadly voltage across the body through both legs.

• REVIEW:
• Wet conditions increase risk of electric shock by lowering skin resistance.
• Immediately replace worn or damaged extension cords and power tools. You can prevent innocent use
of a bad cord or tool by cutting the male plug off the cord (while it's unplugged from the receptacle, of
course).
• Power lines are very dangerous and should be avoided at all costs. If you see a line about to hit the
ground, stand on one foot or run (only one foot contacting the ground) to prevent shock from voltage
dropped across the ground between the line and the system ground point.

Safe circuit design

As we saw earlier, a power system with no secure connection to earth ground is unpredictable from a safety
perspective: there's no way to guarantee how much or how little voltage will exist between any point in the
circuit and earth ground. By grounding one side of the power system's voltage source, at least one point in the
circuit can be assured to be electrically common with the earth and therefore present no shock hazard. In a
simple two-wire electrical power system, the conductor connected to ground is called the neutral, and the other
conductor is called the hot:

As far as the voltage source and load are concerned, grounding makes no difference at all. It exists purely for
the sake of personnel safety, by guaranteeing that at least one point in the circuit will be safe to touch (zero
voltage to ground). The "Hot" side of the circuit, named for its potential for shock hazard, will be dangerous to
touch unless voltage is secured by proper disconnection from the source (ideally, using a systematic lock-
out/tag-out procedure).

This imbalance of hazard between the two conductors in a simple power circuit is important to understand. The
following series of illustrations are based on common household wiring systems (using DC voltage sources
rather than AC for simplicity).

If we take a look at a simple, household electrical appliance such as a toaster with a conductive metal case, we
can see that there should be no shock hazard when it is operating properly. The wires conducting power to the
toaster's heating element are insulated from touching the metal case (and each other) by rubber or plastic.
However, if one of the wires inside the toaster were to accidently come in contact with the metal case, the case
will be made electrically common to the wire, and touching the case will be just as hazardous as touching the
wire bare. Whether or not this presents a shock hazard depends on which wire accidentally touches:

If the "hot" wire contacts the case, it places the user of the toaster in danger. On the other hand, if the neutral
wire contacts the case, there is no danger of shock:
To help ensure that the former failure is less likely than the latter, engineers try to design appliances in such a
way as to minimize hot conductor contact with the case. Ideally, of course, you don't want either wire
accidently coming in contact with the conductive case of the appliance, but there are usually ways to design
the layout of the parts to make accidental contact less likely for one wire than for the other. However, this
preventative measure is effective only if power plug polarity can be guaranteed. If the plug can be reversed,
then the conductor more likely to contact the case might very well be the "hot" one:

Appliances designed this way usually come with "polarized" plugs, one prong of the plug being slightly
narrower than the other. Power receptacles are also designed like this, one slot being narrower than the other.
Consequently, the plug cannot be inserted "backwards," and conductor identity inside the appliance can be
guaranteed. Remember that this has no effect whatsoever on the basic function of the appliance: it's strictly
for the sake of user safety.

Some engineers address the safety issue simply by making the outside case of the appliance nonconductive.
Such appliances are called double-insulated, since the insulating case serves as a second layer of insulation
above and beyond that of the conductors themselves. If a wire inside the appliance accidently comes in contact
with the case, there is no danger presented to the user of the appliance.

Other engineers tackle the problem of safety by maintaining a conductive case, but using a third conductor to
firmly connect that case to ground:

The third prong on the power cord provides a direct electrical connection from the appliance case to earth
ground, making the two points electrically common with each other. If they're electrically common, then there
cannot be any voltage dropped between them. At least, that's how it is supposed to work. If the hot conductor
accidently touches the metal appliance case, it will create a direct short-circuit back to the voltage source
through the ground wire, tripping any overcurrent protection devices. The user of the appliance will remain
safe.

This is why it's so important never to cut the third prong off a power plug when trying to fit it into a two-prong
receptacle. If this is done, there will be no grounding of the appliance case to keep the user(s) safe. The
appliance will still function properly, but if there is an internal fault bringing the hot wire in contact with the
case, the results can be deadly. If a two-prong receptacle must be used, a two- to three-prong receptacle
adapter can be installed with a grounding wire attached to the receptacle's grounded cover screw. This will
maintain the safety of the grounded appliance while plugged in to this type of receptacle.

Electrically safe engineering doesn't necessarily end at the load, however. A final safeguard against electrical
shock can be arranged on the power supply side of the circuit rather than the appliance itself. This safeguard is
called ground-fault detection, and it works like this:

In a properly functioning appliance (shown above), the current measured through the hot conductor should be
exactly equal to the current through the neutral conductor, because there's only one path for electrons to flow
in the circuit. With no fault inside the appliance, there is no connection between circuit conductors and the
person touching the case, and therefore no shock.

If, however, the hot wire accidently contacts the metal case, there will be current through the person touching
the case. The presence of a shock current will be manifested as a difference of current between the two power
conductors at the receptacle:

This difference in current between the "hot" and "neutral" conductors will only exist if there is current through
the ground connection, meaning that there is a fault in the system. Therefore, such a current difference can be
used as a way to detect a fault condition. If a device is set up to measure this difference of current between
the two power conductors, a detection of current imbalance can be used to trigger the opening of a disconnect
switch, thus cutting power off and preventing serious shock:
Such devices are called Ground Fault Current Interruptors, or GFCIs for short, and they are compact enough to
be built into a power receptacle. These receptacles are easily identified by their distinctive "Test" and "Reset"
buttons. The big advantage with using this approach to ensure safety is that it works regardless of the
appliance's design. Of course, using a double-insulated or grounded appliance in addition to a GFCI receptacle
would be better yet, but it's comforting to know that something can be done to improve safety above and
beyond the design and condition of the appliance.

• REVIEW:
• Power systems often have one side of the voltage supply connected to earth ground to ensure safety
at that point.
• The "grounded" conductor in a power system is called the neutral conductor, while the ungrounded
conductor is called the hot.
• Grounding in power systems exists for the sake of personnel safety, not the operation of the load(s).
• Electrical safety of an appliance or other load can be improved by good engineering: polarized plugs,
double insulation, and three-prong "grounding" plugs are all ways that safety can be maximized on
the load side.
• Ground Fault Current Interruptors (GFCIs) work by sensing a difference in current between the two
conductors supplying power to the load. There should be no difference in current at all. Any difference
means that current must be entering or exiting the load by some means other than the two main
conductors, which is not good. A significant current difference will automatically open a disconnecting
switch mechanism, cutting power off completely.

Safe meter usage

Using an electrical meter safely and efficiently is perhaps the most valuable skill an electronics technician can
master, both for the sake of their own personal safety and for proficiency at their trade. It can be daunting at
first to use a meter, knowing that you are connecting it to live circuits which may harbor life-threatening levels
of voltage and current. This concern is not unfounded, and it is always best to proceed cautiously when using
meters. Carelessness more than any other factor is what causes experienced technicians to have electrical
accidents.

The most common piece of electrical test equipment is a meter called the multimeter. Multimeters are so
named because they have the ability to measure a multiple of variables: voltage, current, resistance, and often
many others, some of which cannot be explained here due to their complexity. In the hands of a trained
technician, the multimeter is both an efficient work tool and a safety device. In the hands of someone ignorant
and/or careless, however, the multimeter may become a source of danger when connected to a "live" circuit.

There are many different brands of multimeters, with multiple models made by each manufacturer sporting
different sets of features. The multimeter shown here in the following illustrations is a "generic" design, not
specific to any manufacturer, but general enough to teach the basic principles of use:
You will notice that the display of this meter is of the "digital" type: showing numerical values using four digits
in a manner similar to a digital clock. The rotary selector switch (now set in the Off position) has five different
measurement positions it can be set in: two "V" settings, two "A" settings, and one setting in the middle with a
funny-looking "horseshoe" symbol on it representing "resistance." The "horseshoe" symbol is the Greek letter
"Omega" (Ω), which is the common symbol for the electrical unit of ohms.

Of the two "V" settings and two "A" settings, you will notice that each pair is divided into unique markers with
either a pair of horizontal lines (one solid, one dashed), or a dashed line with a squiggly curve over it. The
parallel lines represent "DC" while the squiggly curve represents "AC." The "V" of course stands for "voltage"
while the "A" stands for "amperage" (current). The meter uses different techniques, internally, to measure DC
than it uses to measure AC, and so it requires the user to select which type of voltage (V) or current (A) is to
be measured. Although we haven't discussed alternating current (AC) in any technical detail, this distinction in
meter settings is an important one to bear in mind.

There are three different sockets on the multimeter face into which we can plug our test leads. Test leads are
nothing more than specially-prepared wires used to connect the meter to the circuit under test. The wires are
coated in a color-coded (either black or red) flexible insulation to prevent the user's hands from contacting the
bare conductors, and the tips of the probes are sharp, stiff pieces of wire:
The black test lead always plugs into the black socket on the multimeter: the one marked "COM" for
"common." The red test lead plugs into either the red socket marked for voltage and resistance, or the red
socket marked for current, depending on which quantity you intend to measure with the multimeter.

To see how this works, let's look at a couple of examples showing the meter in use. First, we'll set up the
meter to measure DC voltage from a battery:

Note that the two test leads are plugged into the appropriate sockets on the meter for voltage, and the selector
switch has been set for DC "V". Now, we'll take a look at an example of using the multimeter to measure AC
voltage from a household electrical power receptacle (wall socket):
The only difference in the setup of the meter is the placement of the selector switch: it is now turned to AC
"V". Since we're still measuring voltage, the test leads will remain plugged in the same sockets. In both of
these examples, it is imperative that you not let the probe tips come in contact with one another while they are
both in contact with their respective points on the circuit. If this happens, a short-circuit will be formed,
creating a spark and perhaps even a ball of flame if the voltage source is capable of supplying enough current!
The following image illustrates the potential for hazard:

This is just one of the ways that a meter can become a source of hazard if used improperly.

Voltage measurement is perhaps the most common function a multimeter is used for. It is certainly the
primary measurement taken for safety purposes (part of the lock-out/tag-out procedure), and it should be well
understood by the operator of the meter. Being that voltage is always relative between two points, the meter
must be firmly connected to two points in a circuit before it will provide a reliable measurement. That usually
means both probes must be grasped by the user's hands and held against the proper contact points of a
voltage source or circuit while measuring.

Because a hand-to-hand shock current path is the most dangerous, holding the meter probes on two points in
a high-voltage circuit in this manner is always a potential hazard. If the protective insulation on the probes is
worn or cracked, it is possible for the user's fingers to come into contact with the probe conductors during the
time of test, causing a bad shock to occur. If it is possible to use only one hand to grasp the probes, that is a
safer option. Sometimes it is possible to "latch" one probe tip onto the circuit test point so that it can be let go
of and the other probe set in place, using only one hand. Special probe tip accessories such as spring clips can
be attached to help facilitate this.
Remember that meter test leads are part of the whole equipment package, and that they should be treated
with the same care and respect that the meter itself is. If you need a special accessory for your test leads,
such as a spring clip or other special probe tip, consult the product catalog of the meter manufacturer or other
test equipment manufacturer. Do not try to be creative and make your own test probes, as you may end up
placing yourself in danger the next time you use them on a live circuit.

Also, it must be remembered that digital multimeters usually do a good job of discriminating between AC and
DC measurements, as they are set for one or the other when checking for voltage or current. As we have seen
earlier, both AC and DC voltages and currents can be deadly, so when using a multimeter as a safety check
device you should always check for the presence of both AC and DC, even if you're not expecting to find both!
Also, when checking for the presence of hazardous voltage, you should be sure to check all pairs of points in
question.

For example, suppose that you opened up an electrical wiring cabinet to find three large conductors supplying
AC power to a load. The circuit breaker feeding these wires (supposedly) has been shut off, locked, and
tagged. You double-checked the absence of power by pressing the Start button for the load. Nothing
happened, so now you move on to the third phase of your safety check: the meter test for voltage.

First, you check your meter on a known source of voltage to see that it's working properly. Any nearby power
receptacle should provide a convenient source of AC voltage for a test. You do so and find that the meter
indicates as it should. Next, you need to check for voltage among these three wires in the cabinet. But voltage
is measured between two points, so where do you check?

The answer is to check between all combinations of those three points. As you can see, the points are labeled
"A", "B", and "C" in the illustration, so you would need to take your multimeter (set in the voltmeter mode)
and check between points A & B, B & C, and A & C. If you find voltage between any of those pairs, the circuit is
not in a Zero Energy State. But wait! Remember that a multimeter will not register DC voltage when it's in the
AC voltage mode and visa-versa, so you need to check those three pairs of points in each mode for a total of
six voltage checks in order to be complete!

However, even with all that checking, we still haven't covered all possibilities yet. Remember that hazardous
voltage can appear between a single wire and ground (in this case, the metal frame of the cabinet would be a
good ground reference point) in a power system. So, to be perfectly safe, we not only have to check between A
& B, B & C, and A & C (in both AC and DC modes), but we also have to check between A & ground, B &
ground, and C & ground (in both AC and DC modes)! This makes for a grand total of twelve voltage checks for
this seemingly simple scenario of only three wires. Then, of course, after we've completed all these checks, we
need to take our multimeter and re-test it against a known source of voltage such as a power receptacle to
ensure that it's still in good working order.

Using a multimeter to check for resistance is a much simpler task. The test leads will be kept plugged in the
same sockets as for the voltage checks, but the selector switch will need to be turned until it points to the
"horseshoe" resistance symbol. Touching the probes across the device whose resistance is to be measured, the
meter should properly display the resistance in ohms:

One very important thing to remember about measuring resistance is that it must only be done on de-
energized components! When the meter is in "resistance" mode, it uses a small internal battery to generate a
tiny current through the component to be measured. By sensing how difficult it is to move this current through
the component, the resistance of that component can be determined and displayed. If there is any additional
source of voltage in the meter-lead-component-lead-meter loop to either aid or oppose the resistance-
measuring current produced by the meter, faulty readings will result. In a worse-case situation, the meter may
even be damaged by the external voltage.

The "resistance" mode of a multimeter is very useful in determining wire continuity as well as making precise
measurements of resistance. When there is a good, solid connection between the probe tips (simulated by
touching them together), the meter shows almost zero Ω. If the test leads had no resistance in them, it would
read exactly zero:
If the leads are not in contact with each other, or touching opposite ends of a broken wire, the meter will
indicate infinite resistance (usually by displaying dashed lines or the abbreviation "O.L." which stands for "open
loop"):

By far the most hazardous and complex application of the multimeter is in the measurement of current. The
reason for this is quite simple: in order for the meter to measure current, the current to be measured must be
forced to go through the meter. This means that the meter must be made part of the current path of the circuit
rather than just be connected off to the side somewhere as is the case when measuring voltage. In order to
make the meter part of the current path of the circuit, the original circuit must be "broken" and the meter
connected across the two points of the open break. To set the meter up for this, the selector switch must point
to either AC or DC "A" and the red test lead must be plugged in the red socket marked "A". The following
illustration shows a meter all ready to measure current and a circuit to be tested:

Now, the circuit is broken in preparation for the meter to be connected:

The next step is to insert the meter in-line with the circuit by connecting the two probe tips to the broken ends
of the circuit, the black probe to the negative (-) terminal of the 9-volt battery and the red probe to the loose
wire end leading to the lamp:

This example shows a very safe circuit to work with. 9 volts hardly constitutes a shock hazard, and so there is
little to fear in breaking this circuit open (bare handed, no less!) and connecting the meter in-line with the flow
of electrons. However, with higher power circuits, this could be a hazardous endeavor indeed. Even if the
circuit voltage was low, the normal current could be high enough that am injurious spark would result the
moment the last meter probe connection was established.

Another potential hazard of using a multimeter in its current-measuring ("ammeter") mode is failure to
properly put it back into a voltage-measuring configuration before measuring voltage with it. The reasons for
this are specific to ammeter design and operation. When measuring circuit current by placing the meter
directly in the path of current, it is best to have the meter offer little or no resistance against the flow of
electrons. Otherwise, any additional resistance offered by the meter would impede the electron flow and alter
the circuit's operation. Thus, the multimeter is designed to have practically zero ohms of resistance between
the test probe tips when the red probe has been plugged into the red "A" (current-measuring) socket. In the
voltage-measuring mode (red lead plugged into the red "V" socket), there are many mega-ohms of resistance
between the test probe tips, because voltmeters are designed to have close to infinite resistance (so that they
don't draw any appreciable current from the circuit under test).
When switching a multimeter from current- to voltage-measuring mode, it's easy to spin the selector switch
from the "A" to the "V" position and forget to correspondingly switch the position of the red test lead plug from
"A" to "V". The result -- if the meter is then connected across a source of substantial voltage -- will be a short-
circuit through the meter!

To help prevent this, most multimeters have a warning feature by which they beep if ever there's a lead
plugged in the "A" socket and the selector switch is set to "V". As convenient as features like these are,
though, they are still no substitute for clear thinking and caution when using a multimeter.

All good-quality multimeters contain fuses inside that are engineered to "blow" in the even of excessive current
through them, such as in the case illustrated in the last image. Like all overcurrent protection devices, these
fuses are primarily designed to protect the equipment (in this case, the meter itself) from excessive damage,
and only secondarily to protect the user from harm. A multimeter can be used to check its own current fuse by
setting the selector switch to the resistance position and creating a connection between the two red sockets
like this:

A good fuse will indicate very little resistance while a blown fuse will always show "O.L." (or whatever
indication that model of multimeter uses to indicate no continuity). The actual number of ohms displayed for a
good fuse is of little consequence, so long as it's an arbitrarily low figure.

So now that we've seen how to use a multimeter to measure voltage, resistance, and current, what more is
there to know? Plenty! The value and capabilities of this versatile test instrument will become more evident as
you gain skill and familiarity using it. There is no substitute for regular practice with complex instruments such
as these, so feel free to experiment on safe, battery-powered circuits.

• REVIEW:
• A meter capable of checking for voltage, current, and resistance is called a multimeter,
• As voltage is always relative between two points, a voltage-measuring meter ("voltmeter") must be
connected to two points in a circuit in order to obtain a good reading. Be careful not to touch the bare
probe tips together while measuring voltage, as this will create a short-circuit!
• Remember to always check for both AC and DC voltage when using a multimeter to check for the
presence of hazardous voltage on a circuit. Make sure you check for voltage between all pair-
combinations of conductors, including between the individual conductors and ground!
• When in the voltage-measuring ("voltmeter") mode, multimeters have very high resistance between
their leads.
• Never try to read resistance or continuity with a multimeter on a circuit that is energized. At best, the
resistance readings you obtain from the meter will be inaccurate, and at worst the meter may be
damaged and you may be injured.
• Current measuring meters ("ammeters") are always connected in a circuit so the electrons have to
flow through the meter.
• When in the current-measuring ("ammeter") mode, multimeters have practically no resistance
between their leads. This is intended to allow electrons to flow through the meter with the least
possible difficulty. If this were not the case, the meter would add extra resistance in the circuit,
thereby affecting the current.

Electric shock data

The table of electric currents and their various bodily effects was obtained from online (Internet) sources: the
safety page of Massachusetts Institute of Technology (website: [*]), and a safety handbook published by
Cooper Bussmann, Inc (website: [*]). In the Bussmann handbook, the table is appropriately entitled
Deleterious Effects of Electric Shock, and credited to a Mr. Charles F. Dalziel. Further research revealed Dalziel
to be both a scientific pioneer and an authority on the effects of electricity on the human body.

The table found in the Bussmann handbook differs slightly from the one available from MIT: for the DC
threshold of perception (men), the MIT table gives 5.2 mA while the Bussmann table gives a slightly greater
figure of 6.2 mA. Also, for the "unable to let go" 60 Hz AC threshold (men), the MIT table gives 20 mA while
the Bussmann table gives a lesser figure of 16 mA. As I have yet to obtain a primary copy of Dalziel's research,
the figures cited here are conservative: I have listed the lowest values in my table where any data sources
differ.

These differences, of course, are academic. The point here is that relatively small magnitudes of electric
current through the body can be harmful if not lethal.

Data regarding the electrical resistance of body contact points was taken from a safety page (document 16.1)
from the Lawrence Livermore National Laboratory (website [*]), citing Ralph H. Lee as the data source. Lee's
work was listed here in a document entitled "Human Electrical Sheet," composed while he was an IEEE Fellow
at E.I. duPont de Nemours & Co., and also in an article entitled "Electrical Safety in Industrial Plants" found in
the June 1971 issue of IEEE Spectrum magazine.

For the morbidly curious, Charles Dalziel's experimentation conducted at the University of California (Berkeley)
began with a state grant to investigate the bodily effects of sub-lethal electric current. His testing method was
as follows: healthy male and female volunteer subjects were asked to hold a copper wire in one hand and place
their other hand on a round, brass plate. A voltage was then applied between the wire and the plate, causing
electrons to flow through the subject's arms and chest. The current was stopped, then resumed at a higher
level. The goal here was to see how much current the subject could tolerate and still keep their hand pressed
against the brass plate. When this threshold was reached, laboratory assistants forcefully held the subject's
hand in contact with the plate and the current was again increased. The subject was asked to release the wire
they were holding, to see at what current level involuntary muscle contraction (tetanus) prevented them from
doing so. For each subject the experiment was conducted using DC and also AC at various frequencies. Over
two dozen human volunteers were tested, and later studies on heart fibrillation were conducted using animal
subjects.
Scientific notation

In many disciplines of science and engineering, very large and very small numerical quantities must be
managed. Some of these quantities are mind-boggling in their size, either extremely small or extremely large.
Take for example the mass of a proton, one of the constituent particles of an atom's nucleus:

Proton mass = 0.00000000000000000000000167 grams

Or, consider the number of electrons passing by a point in a circuit every second with a steady electric current
of 1 amp:

1 amp = 6,250,000,000,000,000,000 electrons per second

A lot of zeros, isn't it? Obviously, it can get quite confusing to have to handle so many zero digits in numbers
such as this, even with the help of calculators and computers.

Take note of those two numbers and of the relative sparsity of non-zero digits in them. For the mass of the
proton, all we have is a "167" preceded by 23 zeros before the decimal point. For the number of electrons per
second in 1 amp, we have "625" followed by 16 zeros. We call the span of non-zero digits (from first to last),
plus any zero digits not merely used for placeholding, the "significant digits" of any number.

The significant digits in a real-world measurement are typically reflective of the accuracy of that measurement.
For example, if we were to say that a car weighs 3,000 pounds, we probably don't mean that the car in
question weighs exactly 3,000 pounds, but that we've rounded its weight to a value more convenient to say
and remember. That rounded figure of 3,000 has only one significant digit: the "3" in front -- the zeros merely
serve as placeholders. However, if we were to say that the car weighed 3,005 pounds, the fact that the weight
is not rounded to the nearest thousand pounds tells us that the two zeros in the middle aren't just
placeholders, but that all four digits of the number "3,005" are significant to its representative accuracy. Thus,
the number "3,005" is said to have four significant figures.

In like manner, numbers with many zero digits are not necessarily representative of a real-world quantity all
the way to the decimal point. When this is known to be the case, such a number can be written in a kind of
mathematical "shorthand" to make it easier to deal with. This "shorthand" is called scientific notation.

With scientific notation, a number is written by representing its significant digits as a quantity between 1 and
10 (or -1 and -10, for negative numbers), and the "placeholder" zeros are accounted for by a power-of-ten
multiplier. For example:

1 amp = 6,250,000,000,000,000,000 electrons per second

. . . can be expressed as . . .

1 amp = 6.25 x 1018 electrons per second

10 to the 18th power (1018) means 10 multiplied by itself 18 times, or a "1" followed by 18 zeros. Multiplied by
6.25, it looks like "625" followed by 16 zeros (take 6.25 and skip the decimal point 18 places to the right). The
advantages of scientific notation are obvious: the number isn't as unwieldy when written on paper, and the
significant digits are plain to identify.

But what about very small numbers, like the mass of the proton in grams? We can still use scientific notation,
except with a negative power-of-ten instead of a positive one, to shift the decimal point to the left instead of to
the right:

Proton mass = 0.00000000000000000000000167 grams

. . . can be expressed as . . .

Proton mass = 1.67 x 10-24 grams

10 to the -24th power (10-24) means the inverse (1/x) of 10 multiplied by itself 24 times, or a "1" preceded by
a decimal point and 23 zeros. Multiplied by 1.67, it looks like "167" preceded by a decimal point and 23 zeros.
Just as in the case with the very large number, it is a lot easier for a human being to deal with this "shorthand"
notation. As with the prior case, the significant digits in this quantity are clearly expressed.

Because the significant digits are represented "on their own," away from the power-of-ten multiplier, it is easy
to show a level of precision even when the number looks round. Taking our 3,000 pound car example, we could
express the rounded number of 3,000 in scientific notation as such:

car weight = 3 x 103 pounds

If the car actually weighed 3,005 pounds (accurate to the nearest pound) and we wanted to be able to express
that full accuracy of measurement, the scientific notation figure could be written like this:

car weight = 3.005 x 103 pounds

However, what if the car actually did weight 3,000 pounds, exactly (to the nearest pound)? If we were to write
its weight in "normal" form (3,000 lbs), it wouldn't necessarily be clear that this number was indeed accurate
to the nearest pound and not just rounded to the nearest thousand pounds, or to the nearest hundred pounds,
or to the nearest ten pounds. Scientific notation, on the other hand, allows us to show that all four digits are
significant with no misunderstanding:

car weight = 3.000 x 103 pounds

Since there would be no point in adding extra zeros to the right of the decimal point (placeholding zeros being
unnecessary with scientific notation), we know those zeros must be significant to the precision of the figure.
Arithmetic with scientific notation

The benefits of scientific notation do not end with ease of writing and expression of accuracy. Such notation
also lends itself well to mathematical problems of multiplication and division. Let's say we wanted to know how
many electrons would flow past a point in a circuit carrying 1 amp of electric current in 25 seconds. If we know
the number of electrons per second in the circuit (which we do), then all we need to do is multiply that
quantity by the number of seconds (25) to arrive at an answer of total electrons:

(6,250,000,000,000,000,000 electrons per second) x (25 seconds) =

156,250,000,000,000,000,000 electrons passing by in 25 seconds

Using scientific notation, we can write the problem like this:

(6.25 x 1018 electrons per second) x (25 seconds)

If we take the "6.25" and multiply it by 25, we get 156.25. So, the answer could be written as:

156.25 x 1018 electrons

However, if we want to hold to standard convention for scientific notation, we must represent the significant
digits as a number between 1 and 10. In this case, we'd say "1.5625" multiplied by some power-of-ten. To
obtain 1.5625 from 156.25, we have to skip the decimal point two places to the left. To compensate for this
without changing the value of the number, we have to raise our power by two notches (10 to the 20th power
instead of 10 to the 18th):

1.5625 x 1020 electrons

What if we wanted to see how many electrons would pass by in 3,600 seconds (1 hour)? To make our job
easier, we could put the time in scientific notation as well:

(6.25 x 1018 electrons per second) x (3.6 x 103 seconds)

To multiply, we must take the two significant sets of digits (6.25 and 3.6) and multiply them together; and we
need to take the two powers-of-ten and multiply them together. Taking 6.25 times 3.6, we get 22.5. Taking
1018 times 103, we get 1021 (exponents with common base numbers add). So, the answer is:
22.5 x 1021 electrons

. . . or more properly . . .

2.25 x 1022 electrons

To illustrate how division works with scientific notation, we could figure that last problem "backwards" to find
out how long it would take for that many electrons to pass by at a current of 1 amp:

(2.25 x 1022 electrons) / (6.25 x 1018 electrons per second)

Just as in multiplication, we can handle the significant digits and powers-of-ten in separate steps (remember
that you subtract the exponents of divided powers-of-ten):

(2.25 / 6.25) x (1022 / 1018)

And the answer is: 0.36 x 104, or 3.6 x 103, seconds. You can see that we arrived at the same quantity of time
(3600 seconds). Now, you may be wondering what the point of all this is when we have electronic calculators
that can handle the math automatically. Well, back in the days of scientists and engineers using "slide rule"
analog computers, these techniques were indispensable. The "hard" arithmetic (dealing with the significant
digit figures) would be performed with the slide rule while the powers-of-ten could be figured without any help
at all, being nothing more than simple addition and subtraction.

• REVIEW:
• Significant digits are representative of the real-world accuracy of a number.
• Scientific notation is a "shorthand" method to represent very large and very small numbers in easily-
handled form.
• When multiplying two numbers in scientific notation, you can multiply the two significant digit figures
and arrive at a power-of-ten by adding exponents.
• When dividing two numbers in scientific notation, you can divide the two significant digit figures and
arrive at a power-of-ten by subtracting exponents.

Metric notation

The metric system, besides being a collection of measurement units for all sorts of physical quantities, is
structured around the concept of scientific notation. The primary difference is that the powers-of-ten are
represented with alphabetical prefixes instead of by literal powers-of-ten. The following number line shows
some of the more common prefixes and their respective powers-of-ten:
Looking at this scale, we can see that 2.5 Gigabytes would mean 2.5 x 109 bytes, or 2.5 billion bytes. Likewise,
3.21 picoamps would mean 3.21 x 10-12 amps, or 3.21 1/trillionths of an amp.

Other metric prefixes exist to symbolize powers of ten for extremely small and extremely large multipliers. On
the extremely small end of the spectrum, femto (f) = 10-15, atto (a) = 10-18, zepto (z) = 10-21, and yocto (y) =
10-24. On the extremely large end of the spectrum, Peta (P) = 1015, Exa (E) = 1018, Zetta (Z) = 1021, and Yotta
(Y) = 1024.

Because the major prefixes in the metric system refer to powers of 10 that are multiples of 3 (from "kilo" on
up, and from "milli" on down), metric notation differs from regular scientific notation in that the significant
digits can be anywhere between 1 and 1000, depending on which prefix is chosen. For example, if a laboratory
sample weighs 0.000267 grams, scientific notation and metric notation would express it differently:

2.67 x 10-4 grams (scientific notation)

267 µgrams (metric notation)

The same figure may also be expressed as 0.267 milligrams (0.267 mg), although it is usually more common
to see the significant digits represented as a figure greater than 1.

In recent years a new style of metric notation for electric quantities has emerged which seeks to avoid the use
of the decimal point. Since decimal points (".") are easily misread and/or "lost" due to poor print quality,
quantities such as 4.7 k may be mistaken for 47 k. The new notation replaces the decimal point with the metric
prefix character, so that "4.7 k" is printed instead as "4k7". Our last figure from the prior example, "0.267 m",
would be expressed in the new notation as "0m267".

• REVIEW:
• The metric system of notation uses alphabetical prefixes to represent certain powers-of-ten instead of
the lengthier scientific notation.

Metric prefix conversions

To express a quantity in a different metric prefix that what it was originally given, all we need to do is skip the
decimal point to the right or to the left as needed. Notice that the metric prefix "number line" in the previous
section was laid out from larger to smaller, right to left. This layout was purposely chosen to make it easier to
remember which direction you need to skip the decimal point for any given conversion.

Example problem: express 0.000023 amps in terms of microamps.

0.000023 amps (has no prefix, just plain unit of amps)

From UNITS to micro on the number line is 6 places (powers of ten) to the right, so we need to skip the
decimal point 6 places to the right:

0.000023 amps = 23. , or 23 microamps (µA)

Example problem: express 304,212 volts in terms of kilovolts.

304,212 volts (has no prefix, just plain unit of volts)

From the (none) place to kilo place on the number line is 3 places (powers of ten) to the left, so we need to
skip the decimal point 3 places to the left:

304,212. = 304.212 kilovolts (kV)

Example problem: express 50.3 Mega-ohms in terms of milli-ohms.

50.3 M ohms (mega = 106)

From mega to milli is 9 places (powers of ten) to the right (from 10 to the 6th power to 10 to the -3rd power),
so we need to skip the decimal point 9 places to the right:

50.3 M ohms = 50,300,000,000 milli-ohms (mΩ)

• REVIEW:
• Follow the metric prefix number line to know which direction you skip the decimal point for conversion
purposes.
• A number with no decimal point shown has an implicit decimal point to the immediate right of the
furthest right digit (i.e. for the number 436 the decimal point is to the right of the 6, as such: 436.)

Hand calculator use

To enter numbers in scientific notation into a hand calculator, there is usually a button marked "E" or "EE" used
to enter the correct power of ten. For example, to enter the mass of a proton in grams (1.67 x 10-24 grams)
into a hand calculator, I would enter the following keystrokes:
[1] [.] [6] [7] [EE] [2] [4] [+/-]

The [+/-] keystroke changes the sign of the power (24) into a -24. Some calculators allow the use of the
subtraction key [-] to do this, but I prefer the "change sign" [+/-] key because it's more consistent with the
use of that key in other contexts.

If I wanted to enter a negative number in scientific notation into a hand calculator, I would have to be careful
how I used the [+/-] key, lest I change the sign of the power and not the significant digit value. Pay attention
to this example:

Number to be entered: -3.221 x 10-15:

[3] [.] [2] [2] [1] [+/-] [EE] [1] [5] [+/-]

The first [+/-] keystroke changes the entry from 3.221 to -3.221; the second [+/-] keystroke changes the
power from 15 to -15.

Displaying metric and scientific notation on a hand calculator is a different matter. It involves changing the
display option from the normal "fixed" decimal point mode to the "scientific" or "engineering" mode. Your
calculator manual will tell you how to set each display mode.

These display modes tell the calculator how to represent any number on the numerical readout. The actual
value of the number is not affected in any way by the choice of display modes -- only how the number appears
to the calculator user. Likewise, the procedure for entering numbers into the calculator does not change with
different display modes either. Powers of ten are usually represented by a pair of digits in the upper-right hand
corner of the display, and are visible only in the "scientific" and "engineering" modes.

The difference between "scientific" and "engineering" display modes is the difference between scientific and
metric notation. In "scientific" mode, the power-of-ten display is set so that the main number on the display is
always a value between 1 and 10 (or -1 and -10 for negative numbers). In "engineering" mode, the powers-of-
ten are set to display in multiples of 3, to represent the major metric prefixes. All the user has to do is
memorize a few prefix/power combinations, and his or her calculator will be "speaking" metric!

POWER METRIC PREFIX

----- -------------
12 ......... Tera (T)
9 .......... Giga (G)
6 .......... Mega (M)
3 .......... Kilo (k)
0 .......... UNITS (plain)
-3 ......... milli (m)
-6 ......... micro (u)
-9 ......... nano (n)
-12 ........ pico (p)

• REVIEW:
• Use the [EE] key to enter powers of ten.
• Use "scientific" or "engineering" to display powers of ten, in scientific or metric notation, respectively.
Scientific notation in SPICE

The SPICE circuit simulation computer program uses scientific notation to display its output information, and
can interpret both scientific notation and metric prefixes in the circuit description files. If you are going to be
able to successfully interpret the SPICE analyses throughout this book, you must be able to understand the
notation used to express variables of voltage, current, etc. in the program.

Let's start with a very simple circuit composed of one voltage source (a battery) and one resistor:

To simulate this circuit using SPICE, we first have to designate node numbers for all the distinct points in the
circuit, then list the components along with their respective node numbers so the computer knows which
component is connected to which, and how. For a circuit of this simplicity, the use of SPICE seems like overkill,
but it serves the purpose of demonstrating practical use of scientific notation:

Typing out a circuit description file, or netlist, for this circuit, we get this:

simple circuit
v1 1 0 dc 24
r1 1 0 5
.end

The line "v1 1 0 dc 24" describes the battery, positioned between nodes 1 and 0, with a DC voltage of 24
volts. The line "r1 1 0 5" describes the 5 Ω resistor placed between nodes 1 and 0.

Using a computer to run a SPICE analysis on this circuit description file, we get the following results:

node voltage
( 1) 24.0000

voltage source currents

name current
v1 -4.800E+00

total power dissipation 1.15E+02 watts

SPICE tells us that the voltage "at" node number 1 (actually, this means the voltage between nodes 1 and 0,
node 0 being the default reference point for all voltage measurements) is equal to 24 volts. The current
through battery "v1" is displayed as -4.800E+00 amps. This is SPICE's method of denoting scientific notation.
What it's really saying is "-4.800 x 100 amps," or simply -4.800 amps. The negative value for current here is
due to a quirk in SPICE and does not indicate anything significant about the circuit itself. The "total power
dissipation" is given to us as 1.15E+02 watts, which means "1.15 x 102 watts," or 115 watts.

Let's modify our example circuit so that it has a 5 kΩ (5 kilo-ohm, or 5,000 ohm) resistor instead of a 5 Ω
resistor and see what happens.

Once again is our circuit description file, or "netlist:"

simple circuit
v1 1 0 dc 24
r1 1 0 5k
.end

The letter "k" following the number 5 on the resistor's line tells SPICE that it is a figure of 5 kΩ, not 5 Ω. Let's
see what result we get when we run this through the computer:

node voltage
( 1) 24.0000

voltage source currents

name current
v1 -4.800E-03

total power dissipation 1.15E-01 watts

The battery voltage, of course, hasn't changed since the first simulation: it's still at 24 volts. The circuit
current, on the other hand, is much less this time because we've made the resistor a larger value, making it
more difficult for electrons to flow. SPICE tells us that the current this time is equal to -4.800E-03 amps, or -
4.800 x 10-3 amps. This is equivalent to taking the number -4.8 and skipping the decimal point three places to
the left.

Of course, if we recognize that 10-3 is the same as the metric prefix "milli," we could write the figure as -4.8
milliamps, or -4.8 mA.
Looking at the "total power dissipation" given to us by SPICE on this second simulation, we see that it is 1.15E-
01 watts, or 1.15 x 10-1 watts. The power of -1 corresponds to the metric prefix "deci," but generally we limit
our use of metric prefixes in electronics to those associated with powers of ten that are multiples of three (ten
to the power of . . . -12, -9, -6, -3, 3, 6, 9, 12, etc.). So, if we want to follow this convention, we must express
this power dissipation figure as 0.115 watts or 115 milliwatts (115 mW) rather than 1.15 deciwatts (1.15 dW).

Perhaps the easiest way to convert a figure from scientific notation to common metric prefixes is with a
scientific calculator set to the "engineering" or "metric" display mode. Just set the calculator for that display
mode, type any scientific notation figure into it using the proper keystrokes (see your owner's manual), press
the "equals" or "enter" key, and it should display the same figure in engineering/metric notation.

Again, I'll be using SPICE as a method of demonstrating circuit concepts throughout this book. Consequently, it
is in your best interest to understand scientific notation so you can easily comprehend its output data format.

What are "series" and "parallel" circuits?

Circuits consisting of just one battery and one load resistance are very simple to analyze, but they are not
often found in practical applications. Usually, we find circuits where more than two components are connected
together.

There are two basic ways in which to connect more than two circuit components: series and parallel. First, an
example of a series circuit:
Here, we have three resistors (labeled R1, R2, and R3), connected in a long chain from one terminal of the
battery to the other. (It should be noted that the subscript labeling -- those little numbers to the lower-right of
the letter "R" -- are unrelated to the resistor values in ohms. They serve only to identify one resistor from
another.) The defining characteristic of a series circuit is that there is only one path for electrons to flow. In
this circuit the electrons flow in a counter-clockwise direction, from point 4 to point 3 to point 2 to point 1 and
back around to 4.

Now, let's look at the other type of circuit, a parallel configuration:

Again, we have three resistors, but this time they form more than one continuous path for electrons to flow.
There's one path from 8 to 7 to 2 to 1 and back to 8 again. There's another from 8 to 7 to 6 to 3 to 2 to 1 and
back to 8 again. And then there's a third path from 8 to 7 to 6 to 5 to 4 to 3 to 2 to 1 and back to 8 again.
Each individual path (through R1, R2, and R3) is called a branch.

The defining characteristic of a parallel circuit is that all components are connected between the same set of
electrically common points. Looking at the schematic diagram, we see that points 1, 2, 3, and 4 are all
electrically common. So are points 8, 7, 6, and 5. Note that all resistors as well as the battery are connected
between these two sets of points.

And, of course, the complexity doesn't stop at simple series and parallel either! We can have circuits that are a
combination of series and parallel, too:
In this circuit, we have two loops for electrons to flow through: one from 6 to 5 to 2 to 1 and back to 6 again,
and another from 6 to 5 to 4 to 3 to 2 to 1 and back to 6 again. Notice how both current paths go through R1
(from point 2 to point 1). In this configuration, we'd say that R2 and R3 are in parallel with each other, while R1
is in series with the parallel combination of R2 and R3.

This is just a preview of things to come. Don't worry! We'll explore all these circuit configurations in detail, one
at a time!

The basic idea of a "series" connection is that components are connected end-to-end in a line to form a single
path for electrons to flow:

The basic idea of a "parallel" connection, on the other hand, is that all components are connected across each
other's leads. In a purely parallel circuit, there are never more than two sets of electrically common points, no
matter how many components are connected. There are many paths for electrons to flow, but only one voltage
across all components:
Series and parallel resistor configurations have very different electrical properties. We'll explore the properties
of each configuration in the sections to come.

• REVIEW:
• In a series circuit, all components are connected end-to-end, forming a single path for electrons to
flow.
• In a parallel circuit, all components are connected across each other, forming exactly two sets of
electrically common points.
• A "branch" in a parallel circuit is a path for electric current formed by one of the load components
(such as a resistor).

Simple series circuits

Let's start with a series circuit consisting of three resistors and a single battery:

The first principle to understand about series circuits is that the amount of current is the same through any
component in the circuit. This is because there is only one path for electrons to flow in a series circuit, and
because free electrons flow through conductors like marbles in a tube, the rate of flow (marble speed) at any
point in the circuit (tube) at any specific point in time must be equal.

From the way that the 9 volt battery is arranged, we can tell that the electrons in this circuit will flow in a
counter-clockwise direction, from point 4 to 3 to 2 to 1 and back to 4. However, we have one source of voltage
and three resistances. How do we use Ohm's Law here?

An important caveat to Ohm's Law is that all quantities (voltage, current, resistance, and power) must relate to
each other in terms of the same two points in a circuit. For instance, with a single-battery, single-resistor
circuit, we could easily calculate any quantity because they all applied to the same two points in the circuit:
Since points 1 and 2 are connected together with wire of negligible resistance, as are points 3 and 4, we can
say that point 1 is electrically common to point 2, and that point 3 is electrically common to point 4. Since we
know we have 9 volts of electromotive force between points 1 and 4 (directly across the battery), and since
point 2 is common to point 1 and point 3 common to point 4, we must also have 9 volts between points 2 and
3 (directly across the resistor). Therefore, we can apply Ohm's Law (I = E/R) to the current through the
resistor, because we know the voltage (E) across the resistor and the resistance (R) of that resistor. All terms
(E, I, R) apply to the same two points in the circuit, to that same resistor, so we can use the Ohm's Law
formula with no reservation.

However, in circuits containing more than one resistor, we must be careful in how we apply Ohm's Law. In the
three-resistor example circuit below, we know that we have 9 volts between points 1 and 4, which is the
amount of electromotive force trying to push electrons through the series combination of R1, R2, and R3.
However, we cannot take the value of 9 volts and divide it by 3k, 10k or 5k Ω to try to find a current value,
because we don't know how much voltage is across any one of those resistors, individually.

The figure of 9 volts is a total quantity for the whole circuit, whereas the figures of 3k, 10k, and 5k Ω are
individual quantities for individual resistors. If we were to plug a figure for total voltage into an Ohm's Law
equation with a figure for individual resistance, the result would not relate accurately to any quantity in the
real circuit.

For R1, Ohm's Law will relate the amount of voltage across R1 with the current through R1, given R1's
resistance, 3kΩ:

But, since we don't know the voltage across R1 (only the total voltage supplied by the battery across the three-
resistor series combination) and we don't know the current through R1, we can't do any calculations with either
formula. The same goes for R2 and R3: we can apply the Ohm's Law equations if and only if all terms are
representative of their respective quantities between the same two points in the circuit.

So what can we do? We know the voltage of the source (9 volts) applied across the series combination of R1,
R2, and R3, and we know the resistances of each resistor, but since those quantities aren't in the same context,
we can't use Ohm's Law to determine the circuit current. If only we knew what the total resistance was for the
circuit: then we could calculate total current with our figure for total voltage (I=E/R).

This brings us to the second principle of series circuits: the total resistance of any series circuit is equal to the
sum of the individual resistances. This should make intuitive sense: the more resistors in series that the
electrons must flow through, the more difficult it will be for those electrons to flow. In the example problem,
we had a 3 kΩ, 10 kΩ, and 5 kΩ resistor in series, giving us a total resistance of 18 kΩ:

In essence, we've calculated the equivalent resistance of R1, R2, and R3 combined. Knowing this, we could re-
draw the circuit with a single equivalent resistor representing the series combination of R1, R2, and R3:

Now we have all the necessary information to calculate circuit current, because we have the voltage between
points 1 and 4 (9 volts) and the resistance between points 1 and 4 (18 kΩ):

Knowing that current is equal through all components of a series circuit (and we just determined the current
through the battery), we can go back to our original circuit schematic and note the current through each
component:

Now that we know the amount of current through each resistor, we can use Ohm's Law to determine the
voltage drop across each one (applying Ohm's Law in its proper context):
Notice the voltage drops across each resistor, and how the sum of the voltage drops (1.5 + 5 + 2.5) is equal to
the battery (supply) voltage: 9 volts. This is the third principle of series circuits: that the supply voltage is
equal to the sum of the individual voltage drops.

However, the method we just used to analyze this simple series circuit can be streamlined for better
understanding. By using a table to list all voltages, currents, and resistances in the circuit, it becomes very
easy to see which of those quantities can be properly related in any Ohm's Law equation:

The rule with such a table is to apply Ohm's Law only to the values within each vertical column. For instance,
ER1 only with IR1 and R1; ER2 only with IR2 and R2; etc. You begin your analysis by filling in those elements of the
table that are given to you from the beginning:

As you can see from the arrangement of the data, we can't apply the 9 volts of ET (total voltage) to any of the
resistances (R1, R2, or R3) in any Ohm's Law formula because they're in different columns. The 9 volts of
battery voltage is not applied directly across R1, R2, or R3. However, we can use our "rules" of series circuits to
fill in blank spots on a horizontal row. In this case, we can use the series rule of resistances to determine a
total resistance from the sum of individual resistances:
Now, with a value for total resistance inserted into the rightmost ("Total") column, we can apply Ohm's Law of
I=E/R to total voltage and total resistance to arrive at a total current of 500 µA:

Then, knowing that the current is shared equally by all components of a series circuit (another "rule" of series
circuits), we can fill in the currents for each resistor from the current figure just calculated:

Finally, we can use Ohm's Law to determine the voltage drop across each resistor, one column at a time:
Just for fun, we can use a computer to analyze this very same circuit automatically. It will be a good way to
verify our calculations and also become more familiar with computer analysis. First, we have to describe the
circuit to the computer in a format recognizable by the software. The SPICE program we'll be using requires
that all electrically unique points in a circuit be numbered, and component placement is understood by which of
those numbered points, or "nodes," they share. For clarity, I numbered the four corners of our example circuit
1 through 4. SPICE, however, demands that there be a node zero somewhere in the circuit, so I'll re-draw the
circuit, changing the numbering scheme slightly:

All I've done here is re-numbered the lower-left corner of the circuit 0 instead of 4. Now, I can enter several
lines of text into a computer file describing the circuit in terms SPICE will understand, complete with a couple
of extra lines of code directing the program to display voltage and current data for our viewing pleasure. This
computer file is known as the netlist in SPICE terminology:

series circuit
v1 1 0
r1 1 2 3k
r2 2 3 10k
r3 3 0 5k
.dc v1 9 9 1
.print dc v(1,2) v(2,3) v(3,0)
.end

Now, all I have to do is run the SPICE program to process the netlist and output the results:

v1 v(1,2) v(2,3) v(3) i(v1)

9.000E+00 1.500E+00 5.000E+00 2.500E+00 -5.000E-04
This printout is telling us the battery voltage is 9 volts, and the voltage drops across R1, R2, and R3 are 1.5
volts, 5 volts, and 2.5 volts, respectively. Voltage drops across any component in SPICE are referenced by the
node numbers the component lies between, so v(1,2) is referencing the voltage between nodes 1 and 2 in the
circuit, which are the points between which R1 is located. The order of node numbers is important: when SPICE
outputs a figure for v(1,2), it regards the polarity the same way as if we were holding a voltmeter with the red
test lead on node 1 and the black test lead on node 2.

We also have a display showing current (albeit with a negative value) at 0.5 milliamps, or 500 microamps. So
our mathematical analysis has been vindicated by the computer. This figure appears as a negative number in
the SPICE analysis, due to a quirk in the way SPICE handles current calculations.

In summary, a series circuit is defined as having only one path for electrons to flow. From this definition, three
rules of series circuits follow: all components share the same current; resistances add to equal a larger, total
resistance; and voltage drops add to equal a larger, total voltage. All of these rules find root in the definition of
a series circuit. If you understand that definition fully, then the rules are nothing more than footnotes to the
definition.

• REVIEW:
• Components in a series circuit share the same current: ITotal = I1 = I2 = . . . In
• Total resistance in a series circuit is equal to the sum of the individual resistances: RTotal = R1 + R2 + .
. . Rn
• Total voltage in a series circuit is equal to the sum of the individual voltage drops: ETotal = E1 + E2 + . .
. En

Simple parallel circuits

Let's start with a parallel circuit consisting of three resistors and a single battery:

The first principle to understand about parallel circuits is that the voltage is equal across all components in the
circuit. This is because there are only two sets of electrically common points in a parallel circuit, and voltage
measured between sets of common points must always be the same at any given time. Therefore, in the above
circuit, the voltage across R1 is equal to the voltage across R2 which is equal to the voltage across R3 which is
equal to the voltage across the battery. This equality of voltages can be represented in another table for our
starting values:

Just as in the case of series circuits, the same caveat for Ohm's Law applies: values for voltage, current, and
resistance must be in the same context in order for the calculations to work correctly. However, in the above
example circuit, we can immediately apply Ohm's Law to each resistor to find its current because we know the
voltage across each resistor (9 volts) and the resistance of each resistor:
At this point we still don't know what the total current or total resistance for this parallel circuit is, so we can't
apply Ohm's Law to the rightmost ("Total") column. However, if we think carefully about what is happening it
should become apparent that the total current must equal the sum of all individual resistor ("branch") currents:

As the total current exits the negative (-) battery terminal at point 8 and travels through the circuit, some of
the flow splits off at point 7 to go up through R1, some more splits off at point 6 to go up through R2, and the
remainder goes up through R3. Like a river branching into several smaller streams, the combined flow rates of
all streams must equal the flow rate of the whole river. The same thing is encountered where the currents
through R1, R2, and R3 join to flow back to the positive terminal of the battery (+) toward point 1: the flow of
electrons from point 2 to point 1 must equal the sum of the (branch) currents through R1, R2, and R3.

This is the second principle of parallel circuits: the total circuit current is equal to the sum of the individual
branch currents. Using this principle, we can fill in the IT spot on our table with the sum of IR1, IR2, and IR3:
Finally, applying Ohm's Law to the rightmost ("Total") column, we can calculate the total circuit resistance:

Please note something very important here. The total circuit resistance is only 625 Ω: less than any one of the
individual resistors. In the series circuit, where the total resistance was the sum of the individual resistances,
the total was bound to be greater than any one of the resistors individually. Here in the parallel circuit,
however, the opposite is true: we say that the individual resistances diminish rather than add to make the
total. This principle completes our triad of "rules" for parallel circuits, just as series circuits were found to have
three rules for voltage, current, and resistance. Mathematically, the relationship between total resistance and
individual resistances in a parallel circuit looks like this:

The same basic form of equation works for any number of resistors connected together in parallel, just add as
many 1/R terms on the denominator of the fraction as needed to accommodate all parallel resistors in the
circuit.

Just as with the series circuit, we can use computer analysis to double-check our calculations. First, of course,
we have to describe our example circuit to the computer in terms it can understand. I'll start by re-drawing the
circuit:
Once again we find that the original numbering scheme used to identify points in the circuit will have to be
altered for the benefit of SPICE. In SPICE, all electrically common points must share identical node numbers.
This is how SPICE knows what's connected to what, and how. In a simple parallel circuit, all points are
electrically common in one of two sets of points. For our example circuit, the wire connecting the tops of all the
components will have one node number and the wire connecting the bottoms of the components will have the
other. Staying true to the convention of including zero as a node number, I choose the numbers 0 and 1:

An example like this makes the rationale of node numbers in SPICE fairly clear to understand. By having all
components share common sets of numbers, the computer "knows" they're all connected in parallel with each
other.

In order to display branch currents in SPICE, we need to insert zero-voltage sources in line (in series) with
each resistor, and then reference our current measurements to those sources. For whatever reason, the
creators of the SPICE program made it so that current could only be calculated through a voltage source. This
is a somewhat annoying demand of the SPICE simulation program. With each of these "dummy" voltage
sources added, some new node numbers must be created to connect them to their respective branch resistors:
The dummy voltage sources are all set at 0 volts so as to have no impact on the operation of the circuit. The
circuit description file, or netlist, looks like this:

Parallel circuit
v1 1 0
r1 2 0 10k
r2 3 0 2k
r3 4 0 1k
vr1 1 2 dc 0
vr2 1 3 dc 0
vr3 1 4 dc 0
.dc v1 9 9 1
.print dc v(2,0) v(3,0) v(4,0)
.print dc i(vr1) i(vr2) i(vr3)
.end

Running the computer analysis, we get these results (I've annotated the printout with descriptive labels):

v1 v(2) v(3) v(4)

9.000E+00 9.000E+00 9.000E+00 9.000E+00
battery R1 voltage R2 voltage R3 voltage
voltage

v1 i(vr1) i(vr2) i(vr3)

9.000E+00 9.000E-04 4.500E-03 9.000E-03
battery R1 current R2 current R3 current
voltage

These values do indeed match those calculated through Ohm's Law earlier: 0.9 mA for IR1, 4.5 mA for IR2, and
9 mA for IR3. Being connected in parallel, of course, all resistors have the same voltage dropped across them (9
volts, same as the battery).
In summary, a parallel circuit is defined as one where all components are connected between the same set of
electrically common points. Another way of saying this is that all components are connected across each
other's terminals. From this definition, three rules of parallel circuits follow: all components share the same
voltage; resistances diminish to equal a smaller, total resistance; and branch currents add to equal a larger,
total current. Just as in the case of series circuits, all of these rules find root in the definition of a parallel
circuit. If you understand that definition fully, then the rules are nothing more than footnotes to the definition.

• REVIEW:
• Components in a parallel circuit share the same voltage: ETotal = E1 = E2 = . . . En
• Total resistance in a parallel circuit is less than any of the individual resistances: RTotal = 1 / (1/R1 +
1/R2 + . . . 1/Rn)
• Total current in a parallel circuit is equal to the sum of the individual branch currents: ITotal = I1 + I2 +
. . . In.

Conductance

When students first see the parallel resistance equation, the natural question to ask is, "Where did that thing
come from?" It is truly an odd piece of arithmetic, and its origin deserves a good explanation.

Resistance, by definition, is the measure of friction a component presents to the flow of electrons through it.
Resistance is symbolized by the capital letter "R" and is measured in the unit of "ohm." However, we can also
think of this electrical property in terms of its inverse: how easy it is for electrons to flow through a
component, rather than how difficult. If resistance is the word we use to symbolize the measure of how difficult
it is for electrons to flow, then a good word to express how easy it is for electrons to flow would be
conductance.

Mathematically, conductance is the reciprocal, or inverse, of resistance:

The greater the resistance, the less the conductance, and visa-versa. This should make intuitive sense,
resistance and conductance being opposite ways to denote the same essential electrical property. If two
components' resistances are compared and it is found that component "A" has one-half the resistance of
component "B," then we could alternatively express this relationship by saying that component "A" is twice as
conductive as component "B." If component "A" has but one-third the resistance of component "B," then we
could say it is three times more conductive than component "B," and so on.

Carrying this idea further, a symbol and unit were created to represent conductance. The symbol is the capital
letter "G" and the unit is the mho, which is "ohm" spelled backwards (and you didn't think electronics
engineers had any sense of humor!). Despite its appropriateness, the unit of the mho was replaced in later
years by the unit of siemens (abbreviated by the capital letter "S"). This decision to change unit names is
reminiscent of the change from the temperature unit of degrees Centigrade to degrees Celsius, or the change
from the unit of frequency c.p.s. (cycles per second) to Hertz. If you're looking for a pattern here, Siemens,
Celsius, and Hertz are all surnames of famous scientists, the names of which, sadly, tell us less about the
nature of the units than the units' original designations.

As a footnote, the unit of siemens is never expressed without the last letter "s." In other words, there is no
such thing as a unit of "siemen" as there is in the case of the "ohm" or the "mho." The reason for this is the
proper spelling of the respective scientists' surnames. The unit for electrical resistance was named after
someone named "Ohm," whereas the unit for electrical conductance was named after someone named
"Siemens," therefore it would be improper to "singularize" the latter unit as its final "s" does not denote
plurality.

Back to our parallel circuit example, we should be able to see that multiple paths (branches) for current
reduces total resistance for the whole circuit, as electrons are able to flow easier through the whole network of
multiple branches than through any one of those branch resistances alone. In terms of resistance, additional
branches results in a lesser total (current meets with less opposition). In terms of conductance, however,
additional branches results in a greater total (electrons flow with greater conductance):

Total parallel resistance is less than any one of the individual branch resistances because parallel resistors
resist less together than they would separately:
Total parallel conductance is greater than any of the individual branch conductances because parallel resistors
conduct better together than they would separately:

To be more precise, the total conductance in a parallel circuit is equal to the sum of the individual
conductances:

If we know that conductance is nothing more than the mathematical reciprocal (1/x) of resistance, we can
translate each term of the above formula into resistance by substituting the reciprocal of each respective
conductance:

Solving the above equation for total resistance (instead of the reciprocal of total resistance), we can invert
(reciprocate) both sides of the equation:

So, we arrive at our cryptic resistance formula at last! Conductance (G) is seldom used as a practical
measurement, and so the above formula is a common one to see in the analysis of parallel circuits.

• REVIEW:
• Conductance is the opposite of resistance: the measure of how easy is it for electrons to flow through
something.
• Conductance is symbolized with the letter "G" and is measured in units of mhos or Siemens.
• Mathematically, conductance equals the reciprocal of resistance: G = 1/R
Power calculations

When calculating the power dissipation of resistive components, use any one of the three power equations to
derive and answer from values of voltage, current, and/or resistance pertaining to each component:

This is easily managed by adding another row to our familiar table of voltages, currents, and resistances:

Power for any particular table column can be found by the appropriate Ohm's Law equation (appropriate based
on what figures are present for E, I, and R in that column).

An interesting rule for total power versus individual power is that it is additive for any configuration of circuit:
series, parallel, series/parallel, or otherwise. Power is a measure of rate of work, and since power dissipated
must equal the total power applied by the source(s) (as per the Law of Conservation of Energy in physics),
circuit configuration has no effect on the mathematics.

• REVIEW:
• Power is additive in any configuration of resistive circuit: PTotal = P1 + P2 + . . . Pn

Correct use of Ohm's Law

One of the most common mistakes made by beginning electronics students in their application of Ohm's Laws
is mixing the contexts of voltage, current, and resistance. In other words, a student might mistakenly use a
value for I through one resistor and the value for E across a set of interconnected resistors, thinking that they'll
arrive at the resistance of that one resistor. Not so! Remember this important rule: The variables used in
Ohm's Law equations must be common to the same two points in the circuit under consideration. I cannot
overemphasize this rule. This is especially important in series-parallel combination circuits where nearby
components may have different values for both voltage drop and current.

When using Ohm's Law to calculate a variable pertaining to a single component, be sure the voltage you're
referencing is solely across that single component and the current you're referencing is solely through that
single component and the resistance you're referencing is solely for that single component. Likewise, when
calculating a variable pertaining to a set of components in a circuit, be sure that the voltage, current, and
resistance values are specific to that complete set of components only! A good way to remember this is to pay
close attention to the two points terminating the component or set of components being analyzed, making sure
that the voltage in question is across those two points, that the current in question is the electron flow from
one of those points all the way to the other point, that the resistance in question is the equivalent of a single
resistor between those two points, and that the power in question is the total power dissipated by all
components between those two points.
The "table" method presented for both series and parallel circuits in this chapter is a good way to keep the
context of Ohm's Law correct for any kind of circuit configuration. In a table like the one shown below, you are
only allowed to apply an Ohm's Law equation for the values of a single vertical column at a time:

Deriving values horizontally across columns is allowable as per the principles of series and parallel circuits:
Not only does the "table" method simplify the management of all relevant quantities, it also facilitates cross-
checking of answers by making it easy to solve for the original unknown variables through other methods, or
by working backwards to solve for the initially given values from your solutions. For example, if you have just
solved for all unknown voltages, currents, and resistances in a circuit, you can check your work by adding a
row at the bottom for power calculations on each resistor, seeing whether or not all the individual power values
add up to the total power. If not, then you must have made a mistake somewhere! While this technique of
"cross-checking" your work is nothing new, using the table to arrange all the data for the cross-check(s)
results in a minimum of confusion.

• REVIEW:
• Apply Ohm's Law to vertical columns in the table.
• Apply rules of series/parallel to horizontal rows in the table.
• Check your calculations by working "backwards" to try to arrive at originally given values (from your
first calculated answers), or by solving for a quantity using more than one method (from different
given values).

Component failure analysis

The job of a technician frequently entails "troubleshooting" (locating and correcting a problem) in
malfunctioning circuits. Good troubleshooting is a demanding and rewarding effort, requiring a thorough
understanding of the basic concepts, the ability to formulate hypotheses (proposed explanations of an effect),
the ability to judge the value of different hypotheses based on their probability (how likely one particular cause
may be over another), and a sense of creativity in applying a solution to rectify the problem. While it is
possible to distill these skills into a scientific methodology, most practiced troubleshooters would agree that
troubleshooting involves a touch of art, and that it can take years of experience to fully develop this art.

An essential skill to have is a ready and intuitive understanding of how component faults affect circuits in
different configurations. We will explore some of the effects of component faults in both series and parallel
circuits here, then to a greater degree at the end of the "Series-Parallel Combination Circuits" chapter.

Let's start with a simple series circuit:

With all components in this circuit functioning at their proper values, we can mathematically determine all
currents and voltage drops:

Now let us suppose that R2 fails shorted. Shorted means that the resistor now acts like a straight piece of wire,
with little or no resistance. The circuit will behave as though a "jumper" wire were connected across R2 (in case
you were wondering, "jumper wire" is a common term for a temporary wire connection in a circuit). What
causes the shorted condition of R2 is no matter to us in this example; we only care about its effect upon the
circuit:

With R2 shorted, either by a jumper wire or by an internal resistor failure, the total circuit resistance will
decrease. Since the voltage output by the battery is a constant (at least in our ideal simulation here), a
decrease in total circuit resistance means that total circuit current must increase:
As the circuit current increases from 20 milliamps to 60 milliamps, the voltage drops across R1 and R3 (which
haven't changed resistances) increase as well, so that the two resistors are dropping the whole 9 volts. R2,
being bypassed by the very low resistance of the jumper wire, is effectively eliminated from the circuit, the
resistance from one lead to the other having been reduced to zero. Thus, the voltage drop across R2, even with
the increased total current, is zero volts.

On the other hand, if R2 were to fail "open" -- resistance increasing to nearly infinite levels -- it would also
create wide-reaching effects in the rest of the circuit:

With R2 at infinite resistance and total resistance being the sum of all individual resistances in a series circuit,
the total current decreases to zero. With zero circuit current, there is no electron flow to produce voltage drops
across R1 or R3. R2, on the other hand, will manifest the full supply voltage across its terminals.

We can apply the same before/after analysis technique to parallel circuits as well. First, we determine what a
"healthy" parallel circuit should behave like.
Supposing that R2 opens in this parallel circuit, here's what the effects will be:

Notice that in this parallel circuit, an open branch only affects the current through that branch and the circuit's
total current. Total voltage -- being shared equally across all components in a parallel circuit, will be the same
for all resistors. Due to the fact that the voltage source's tendency is to hold voltage constant, its voltage will
not change, and being in parallel with all the resistors, it will hold all the resistors' voltages the same as they
were before: 9 volts. Being that voltage is the only common parameter in a parallel circuit, and the other
resistors haven't changed resistance value, their respective branch currents remain unchanged.

This is what happens in a household lamp circuit: all lamps get their operating voltage from power wiring
arranged in a parallel fashion. Turning one lamp on and off (one branch in that parallel circuit closing and
opening) doesn't affect the operation of other lamps in the room, only the current in that one lamp (branch
circuit) and the total current powering all the lamps in the room:
In an ideal case (with perfect voltage sources and zero-resistance connecting wire), shorted resistors in a
simple parallel circuit will also have no effect on what's happening in other branches of the circuit. In real life,
the effect is not quite the same, and we'll see why in the following example:

A shorted resistor (resistance of 0 Ω) would theoretically draw infinite current from any finite source of voltage
(I=E/0). In this case, the zero resistance of R2 decreases the circuit total resistance to zero Ω as well,
increasing total current to a value of infinity. As long as the voltage source holds steady at 9 volts, however,
the other branch currents (IR1 and IR3) will remain unchanged.

The critical assumption in this "perfect" scheme, however, is that the voltage supply will hold steady at its
rated voltage while supplying an infinite amount of current to a short-circuit load. This is simply not realistic.
Even if the short has a small amount of resistance (as opposed to absolutely zero resistance), no real voltage
source could arbitrarily supply a huge overload current and maintain steady voltage at the same time. This is
primarily due to the internal resistance intrinsic to all electrical power sources, stemming from the inescapable
physical properties of the materials they're constructed of:
These internal resistances, small as they may be, turn our simple parallel circuit into a series-parallel
combination circuit. Usually, the internal resistances of voltage sources are low enough that they can be safely
ignored, but when high currents resulting from shorted components are encountered, their effects become very
noticeable. In this case, a shorted R2 would result in almost all the voltage being dropped across the internal
resistance of the battery, with almost no voltage left over for resistors R1, R2, and R3:

Suffice it to say, intentional direct short-circuits across the terminals of any voltage source is a bad idea. Even
if the resulting high current (heat, flashes, sparks) causes no harm to people nearby, the voltage source will
likely sustain damage, unless it has been specifically designed to handle short-circuits, which most voltage
sources are not.

Eventually in this book I will lead you through the analysis of circuits without the use of any numbers, that is,
analyzing the effects of component failure in a circuit without knowing exactly how many volts the battery
produces, how many ohms of resistance is in each resistor, etc. This section serves as an introductory step to
that kind of analysis.

Whereas the normal application of Ohm's Law and the rules of series and parallel circuits is performed with
numerical quantities ("quantitative"), this new kind of analysis without precise numerical figures something I
like to call qualitative analysis. In other words, we will be analyzing the qualities of the effects in a circuit
rather than the precise quantities. The result, for you, will be a much deeper intuitive understanding of electric
circuit operation.
 • REVIEW:
• To determine what would happen in a circuit if a component fails, re-draw that circuit with the
equivalent resistance of the failed component in place and re-calculate all values.
• The ability to intuitively determine what will happen to a circuit with any given component fault is a
crucial skill for any electronics troubleshooter to develop. The best way to learn is to experiment with
circuit calculations and real-life circuits, paying close attention to what changes with a fault, what
remains the same, and why!
• A shorted component is one whose resistance has dramatically decreased.
• An open component is one whose resistance has dramatically increased. For the record, resistors tend
to fail open more often than fail shorted, and they almost never fail unless physically or electrically
overstressed (physically abused or overheated).

Building simple resistor circuits

In the course of learning about electricity, you will want to construct your own circuits using resistors and
batteries. Some options are available in this matter of circuit assembly, some easier than others. In this
section, I will explore a couple of fabrication techniques that will not only help you build the circuits shown in
this chapter, but also more advanced circuits.

If all we wish to construct is a simple single-battery, single-resistor circuit, we may easily use alligator clip
jumper wires like this:

Jumper wires with "alligator" style spring clips at each end provide a safe and convenient method of electrically
joining components together.

If we wanted to build a simple series circuit with one battery and three resistors, the same "point-to-point"
construction technique using jumper wires could be applied:
This technique, however, proves impractical for circuits much more complex than this, due to the awkwardness
of the jumper wires and the physical fragility of their connections. A more common method of temporary
construction for the hobbyist is the solderless breadboard, a device made of plastic with hundreds of spring-
loaded connection sockets joining the inserted ends of components and/or 22-gauge solid wire pieces. A
photograph of a real breadboard is shown here, followed by an illustration showing a simple series circuit
constructed on one:
Underneath each hole in the breadboard face is a metal spring clip, designed to grasp any inserted wire or
component lead. These metal spring clips are joined underneath the breadboard face, making connections
between inserted leads. The connection pattern joins every five holes along a vertical column (as shown with
the long axis of the breadboard situated horizontally):

Thus, when a wire or component lead is inserted into a hole on the breadboard, there are four more holes in
that column providing potential connection points to other wires and/or component leads. The result is an
extremely flexible platform for constructing temporary circuits. For example, the three-resistor circuit just
shown could also be built on a breadboard like this:
A parallel circuit is also easy to construct on a solderless breadboard:

Breadboards have their limitations, though. First and foremost, they are intended for temporary construction
only. If you pick up a breadboard, turn it upside-down, and shake it, any components plugged into it are sure
to loosen, and may fall out of their respective holes. Also, breadboards are limited to fairly low-current (less
than 1 amp) circuits. Those spring clips have a small contact area, and thus cannot support high currents
without excessive heating.

For greater permanence, one might wish to choose soldering or wire-wrapping. These techniques involve
fastening the components and wires to some structure providing a secure mechanical location (such as a
phenolic or fiberglass board with holes drilled in it, much like a breadboard without the intrinsic spring-clip
connections), and then attaching wires to the secured component leads. Soldering is a form of low-
temperature welding, using a tin/lead or tin/silver alloy that melts to and electrically bonds copper objects.
Wire ends soldered to component leads or to small, copper ring "pads" bonded on the surface of the circuit
board serve to connect the components together. In wire wrapping, a small-gauge wire is tightly wrapped
around component leads rather than soldered to leads or copper pads, the tension of the wrapped wire
providing a sound mechanical and electrical junction to connect components together.

An example of a printed circuit board, or PCB, intended for hobbyist use is shown in this photograph:

This board appears copper-side-up: the side where all the soldering is done. Each hole is ringed with a small
layer of copper metal for bonding to the solder. All holes are independent of each other on this particular
board, unlike the holes on a solderless breadboard which are connected together in groups of five. Printed
circuit boards with the same 5-hole connection pattern as breadboards can be purchased and used for hobby
circuit construction, though.

Production printed circuit boards have traces of copper laid down on the phenolic or fiberglass substrate
material to form pre-engineered connection pathways which function as wires in a circuit. An example of such a
board is shown here, this unit actually a "power supply" circuit designed to take 120 volt alternating current
(AC) power from a household wall socket and transform it into low-voltage direct current (DC). A resistor
appears on this board, the fifth component counting up from the bottom, located in the middle-right area of
the board.
A view of this board's underside reveals the copper "traces" connecting components together, as well as the
silver-colored deposits of solder bonding the component leads to those traces:

A soldered or wire-wrapped circuit is considered permanent: that is, it is unlikely to fall apart accidently.
However, these construction techniques are sometimes considered too permanent. If anyone wishes to replace
a component or change the circuit in any substantial way, they must invest a fair amount of time undoing the
connections. Also, both soldering and wire-wrapping require specialized tools which may not be immediately
available.

An alternative construction technique used throughout the industrial world is that of the terminal strip.
Terminal strips, alternatively called barrier strips or terminal blocks, are comprised of a length of
nonconducting material with several small bars of metal embedded within. Each metal bar has at least one
machine screw or other fastener under which a wire or component lead may be secured. Multiple wires
fastened by one screw are made electrically common to each other, as are wires fastened to multiple screws on
the same bar. The following photograph shows one style of terminal strip, with a few wires attached.

Another, smaller terminal strip is shown in this next photograph. This type, sometimes referred to as a
"European" style, has recessed screws to help prevent accidental shorting between terminals by a screwdriver
or other metal object:

In the following illustration, a single-battery, three-resistor circuit is shown constructed on a terminal strip:
If the terminal strip uses machine screws to hold the component and wire ends, nothing but a screwdriver is
needed to secure new connections or break old connections. Some terminal strips use spring-loaded clips --
similar to a breadboard's except for increased ruggedness -- engaged and disengaged using a screwdriver as a
push tool (no twisting involved). The electrical connections established by a terminal strip are quite robust, and
are considered suitable for both permanent and temporary construction.

One of the essential skills for anyone interested in electricity and electronics is to be able to "translate" a
schematic diagram to a real circuit layout where the components may not be oriented the same way.
Schematic diagrams are usually drawn for maximum readability (excepting those few noteworthy examples
sketched to create maximum confusion!), but practical circuit construction often demands a different
component orientation. Building simple circuits on terminal strips is one way to develop the spatial-reasoning
skill of "stretching" wires to make the same connection paths. Consider the case of a single-battery, three-
resistor parallel circuit constructed on a terminal strip:
Progressing from a nice, neat, schematic diagram to the real circuit -- especially when the resistors to be
connected are physically arranged in a linear fashion on the terminal strip -- is not obvious to many, so I'll
outline the process step-by-step. First, start with the clean schematic diagram and all components secured to
the terminal strip, with no connecting wires:
Next, trace the wire connection from one side of the battery to the first component in the schematic, securing
a connecting wire between the same two points on the real circuit. I find it helpful to over-draw the schematic's
wire with another line to indicate what connections I've made in real life:
Continue this process, wire by wire, until all connections in the schematic diagram have been accounted for. It
might be helpful to regard common wires in a SPICE-like fashion: make all connections to a common wire in
the circuit as one step, making sure each and every component with a connection to that wire actually has a
connection to that wire before proceeding to the next. For the next step, I'll show how the top sides of the
remaining two resistors are connected together, being common with the wire secured in the previous step:
With the top sides of all resistors (as shown in the schematic) connected together, and to the battery's positive
(+) terminal, all we have to do now is connect the bottom sides together and to the other side of the battery:
Typically in industry, all wires are labeled with number tags, and electrically common wires bear the same tag
number, just as they do in a SPICE simulation. In this case, we could label the wires 1 and 2:
Another industrial convention is to modify the schematic diagram slightly so as to indicate actual wire
connection points on the terminal strip. This demands a labeling system for the strip itself: a "TB" number
(terminal block number) for the strip, followed by another number representing each metal bar on the strip.
This way, the schematic may be used as a "map" to locate points in a real circuit, regardless of how tangled
and complex the connecting wiring may appear to the eyes. This may seem excessive for the simple, three-
resistor circuit shown here, but such detail is absolutely necessary for construction and maintenance of large
circuits, especially when those circuits may span a great physical distance, using more than one terminal strip
located in more than one panel or box.

• REVIEW:
• A solderless breadboard is a device used to quickly assemble temporary circuits by plugging wires and
components into electrically common spring-clips arranged underneath rows of holes in a plastic
board.
• Soldering is a low-temperature welding process utilizing a lead/tin or tin/silver alloy to bond wires and
component leads together, usually with the components secured to a fiberglass board.
• Wire-wrapping is an alternative to soldering, involving small-gauge wire tightly wrapped around
component leads rather than a welded joint to connect components together.
• A terminal strip, also known as a barrier strip or terminal block is another device used to mount
components and wires to build circuits. Screw terminals or heavy spring clips attached to metal bars
provide connection points for the wire ends and component leads, these metal bars mounted
separately to a piece of nonconducting material such as plastic, bakelite, or ceramic.
Voltage divider circuits

Let's analyze a simple series circuit, determining the voltage drops across individual resistors:

From the given values of individual resistances, we can determine a total circuit resistance, knowing that
resistances add in series:

From here, we can use Ohm's Law (I=E/R) to determine the total current, which we know will be the same as
each resistor current, currents being equal in all parts of a series circuit:

Now, knowing that the circuit current is 2 mA, we can use Ohm's Law (E=IR) to calculate voltage across each
resistor:
It should be apparent that the voltage drop across each resistor is proportional to its resistance, given that the
current is the same through all resistors. Notice how the voltage across R2 is double that of the voltage across
R1, just as the resistance of R2 is double that of R1.

If we were to change the total voltage, we would find this proportionality of voltage drops remains constant:

The voltage across R2 is still exactly twice that of R1's drop, despite the fact that the source voltage has
changed. The proportionality of voltage drops (ratio of one to another) is strictly a function of resistance
values.

With a little more observation, it becomes apparent that the voltage drop across each resistor is also a fixed
proportion of the supply voltage. The voltage across R1, for example, was 10 volts when the battery supply was
45 volts. When the battery voltage was increased to 180 volts (4 times as much), the voltage drop across R1
also increased by a factor of 4 (from 10 to 40 volts). The ratio between R1's voltage drop and total voltage,
however, did not change:

Likewise, none of the other voltage drop ratios changed with the increased supply voltage either:

For this reason a series circuit is often called a voltage divider for its ability to proportion -- or divide -- the
total voltage into fractional portions of constant ratio. With a little bit of algebra, we can derive a formula for
determining series resistor voltage drop given nothing more than total voltage, individual resistance, and total
resistance:
The ratio of individual resistance to total resistance is the same as the ratio of individual voltage drop to total
supply voltage in a voltage divider circuit. This is known as the voltage divider formula, and it is a short-cut
method for determining voltage drop in a series circuit without going through the current calculation(s) of
Ohm's Law.

Using this formula, we can re-analyze the example circuit's voltage drops in fewer steps:
Voltage dividers find wide application in electric meter circuits, where specific combinations of series resistors
are used to "divide" a voltage into precise proportions as part of a voltage measurement device.

One device frequently used as a voltage-dividing component is the potentiometer, which is a resistor with a
movable element positioned by a manual knob or lever. The movable element, typically called a wiper, makes
contact with a resistive strip of material (commonly called the slidewire if made of resistive metal wire) at any
point selected by the manual control:

The wiper contact is the left-facing arrow symbol drawn in the middle of the vertical resistor element. As it is
moved up, it contacts the resistive strip closer to terminal 1 and further away from terminal 2, lowering
resistance to terminal 1 and raising resistance to terminal 2. As it is moved down, the opposite effect results.
The resistance as measured between terminals 1 and 2 is constant for any wiper position.
Shown here are internal illustrations of two potentiometer types, rotary and linear:

Some linear potentiometers are actuated by straight-line motion of a lever or slide button. Others, like the one
depicted in the previous illustration, are actuated by a turn-screw for fine adjustment ability. The latter units
are sometimes referred to as trimpots, because they work well for applications requiring a variable resistance
to be "trimmed" to some precise value. It should be noted that not all linear potentiometers have the same
terminal assignments as shown in this illustration. With some, the wiper terminal is in the middle, between the
two end terminals.
The following photograph shows a real, rotary potentiometer with exposed wiper and slidewire for easy
viewing. The shaft which moves the wiper has been turned almost fully clockwise so that the wiper is nearly
touching the left terminal end of the slidewire:

Here is the same potentiometer with the wiper shaft moved almost to the full-counterclockwise position, so
that the wiper is near the other extreme end of travel:

If a constant voltage is applied between the outer terminals (across the length of the slidewire), the wiper
position will tap off a fraction of the applied voltage, measurable between the wiper contact and either of the
other two terminals. The fractional value depends entirely on the physical position of the wiper:
Just like the fixed voltage divider, the potentiometer's voltage division ratio is strictly a function of resistance
and not of the magnitude of applied voltage. In other words, if the potentiometer knob or lever is moved to the
50 percent (exact center) position, the voltage dropped between wiper and either outside terminal would be
exactly 1/2 of the applied voltage, no matter what that voltage happens to be, or what the end-to-end
resistance of the potentiometer is. In other words, a potentiometer functions as a variable voltage divider
where the voltage division ratio is set by wiper position.

This application of the potentiometer is a very useful means of obtaining a variable voltage from a fixed-
voltage source such as a battery. If a circuit you're building requires a certain amount of voltage that is less
than the value of an available battery's voltage, you may connect the outer terminals of a potentiometer across
that battery and "dial up" whatever voltage you need between the potentiometer wiper and one of the outer
terminals for use in your circuit:

When used in this manner, the name potentiometer makes perfect sense: they meter (control) the potential
(voltage) applied across them by creating a variable voltage-divider ratio. This use of the three-terminal
potentiometer as a variable voltage divider is very popular in circuit design.

Shown here are several small potentiometers of the kind commonly used in consumer electronic equipment
and by hobbyists and students in constructing circuits:
The smaller units on the very left and very right are designed to plug into a solderless breadboard or be
soldered into a printed circuit board. The middle units are designed to be mounted on a flat panel with wires
soldered to each of the three terminals.

Here are three more potentiometers, more specialized than the set just shown:
The large "Helipot" unit is a laboratory potentiometer designed for quick and easy connection to a circuit. The
unit in the lower-left corner of the photograph is the same type of potentiometer, just without a case or 10-
turn counting dial. Both of these potentiometers are precision units, using multi-turn helical-track resistance
strips and wiper mechanisms for making small adjustments. The unit on the lower-right is a panel-mount
potentiometer, designed for rough service in industrial applications.

• REVIEW:
• Series circuits proportion, or divide, the total supply voltage among individual voltage drops, the
proportions being strictly dependent upon resistances: ERn = ETotal (Rn / RTotal)
• A potentiometer is a variable-resistance component with three connection points, frequently used as
an adjustable voltage divider.

Kirchhoff's Voltage Law (KVL)

Let's take another look at our example series circuit, this time numbering the points in the circuit for voltage
reference:

If we were to connect a voltmeter between points 2 and 1, red test lead to point 2 and black test lead to point
1, the meter would register +45 volts. Typically the "+" sign is not shown, but rather implied, for positive
readings in digital meter displays. However, for this lesson the polarity of the voltage reading is very important
and so I will show positive numbers explicitly:

When a voltage is specified with a double subscript (the characters "2-1" in the notation "E2-1"), it means the
voltage at the first point (2) as measured in reference to the second point (1). A voltage specified as "Ecg"
would mean the voltage as indicated by a digital meter with the red test lead on point "c" and the black test
lead on point "g": the voltage at "c" in reference to "g".
If we were to take that same voltmeter and measure the voltage drop across each resistor, stepping around
the circuit in a clockwise direction with the red test lead of our meter on the point ahead and the black test
lead on the point behind, we would obtain the following readings:
We should already be familiar with the general principle for series circuits stating that individual voltage drops
add up to the total applied voltage, but measuring voltage drops in this manner and paying attention to the
polarity (mathematical sign) of the readings reveals another facet of this principle: that the voltages measured
as such all add up to zero:

This principle is known as Kirchhoff's Voltage Law (discovered in 1847 by Gustav R. Kirchhoff, a German
physicist), and it can be stated as such:

"The algebraic sum of all voltages in a loop must equal zero"

By algebraic, I mean accounting for signs (polarities) as well as magnitudes. By loop, I mean any path traced
from one point in a circuit around to other points in that circuit, and finally back to the initial point. In the
above example the loop was formed by following points in this order: 1-2-3-4-1. It doesn't matter which point
we start at or which direction we proceed in tracing the loop; the voltage sum will still equal zero. To
demonstrate, we can tally up the voltages in loop 3-2-1-4-3 of the same circuit:
This may make more sense if we re-draw our example series circuit so that all components are represented in
a straight line:

It's still the same series circuit, just with the components arranged in a different form. Notice the polarities of
the resistor voltage drops with respect to the battery: the battery's voltage is negative on the left and positive
on the right, whereas all the resistor voltage drops are oriented the other way: positive on the left and
negative on the right. This is because the resistors are resisting the flow of electrons being pushed by the
battery. In other words, the "push" exerted by the resistors against the flow of electrons must be in a direction
opposite the source of electromotive force.

Here we see what a digital voltmeter would indicate across each component in this circuit, black lead on the
left and red lead on the right, as laid out in horizontal fashion:

If we were to take that same voltmeter and read voltage across combinations of components, starting with
only R1 on the left and progressing across the whole string of components, we will see how the voltages add
algebraically (to zero):
The fact that series voltages add up should be no mystery, but we notice that the polarity of these voltages
makes a lot of difference in how the figures add. While reading voltage across R1, R1--R2, and R1--R2--R3 (I'm
using a "double-dash" symbol "--" to represent the series connection between resistors R1, R2, and R3), we see
how the voltages measure successively larger (albeit negative) magnitudes, because the polarities of the
individual voltage drops are in the same orientation (positive left, negative right). The sum of the voltage drops
across R1, R2, and R3 equals 45 volts, which is the same as the battery's output, except that the battery's
polarity is opposite that of the resistor voltage drops (negative left, positive right), so we end up with 0 volts
measured across the whole string of components.

That we should end up with exactly 0 volts across the whole string should be no mystery, either. Looking at
the circuit, we can see that the far left of the string (left side of R1: point number 2) is directly connected to
the far right of the string (right side of battery: point number 2), as necessary to complete the circuit. Since
these two points are directly connected, they are electrically common to each other. And, as such, the voltage
between those two electrically common points must be zero.

Kirchhoff's Voltage Law (sometimes denoted as KVL for short) will work for any circuit configuration at all, not
just simple series. Note how it works for this parallel circuit:
Being a parallel circuit, the voltage across every resistor is the same as the supply voltage: 6 volts. Tallying up
voltages around loop 2-3-4-5-6-7-2, we get:

Note how I label the final (sum) voltage as E2-2. Since we began our loop-stepping sequence at point 2 and
ended at point 2, the algebraic sum of those voltages will be the same as the voltage measured between the
same point (E2-2), which of course must be zero.

The fact that this circuit is parallel instead of series has nothing to do with the validity of Kirchhoff's Voltage
Law. For that matter, the circuit could be a "black box" -- its component configuration completely hidden from
our view, with only a set of exposed terminals for us to measure voltage between -- and KVL would still hold
true:
Try any order of steps from any terminal in the above diagram, stepping around back to the original terminal,
and you'll find that the algebraic sum of the voltages always equals zero.

Furthermore, the "loop" we trace for KVL doesn't even have to be a real current path in the closed-circuit sense
of the word. All we have to do to comply with KVL is to begin and end at the same point in the circuit, tallying
voltage drops and polarities as we go between the next and the last point. Consider this absurd example,
tracing "loop" 2-3-6-3-2 in the same parallel resistor circuit:
KVL can be used to determine an unknown voltage in a complex circuit, where all other voltages around a
particular "loop" are known. Take the following complex circuit (actually two series circuits joined by a single
wire at the bottom) as an example:

To make the problem simpler, I've omitted resistance values and simply given voltage drops across each
resistor. The two series circuits share a common wire between them (wire 7-8-9-10), making voltage
measurements between the two circuits possible. If we wanted to determine the voltage between points 4 and
3, we could set up a KVL equation with the voltage between those points as the unknown:
Stepping around the loop 3-4-9-8-3, we write the voltage drop figures as a digital voltmeter would register
them, measuring with the red test lead on the point ahead and black test lead on the point behind as we
progress around the loop. Therefore, the voltage from point 9 to point 4 is a positive (+) 12 volts because the
"red lead" is on point 9 and the "black lead" is on point 4. The voltage from point 3 to point 8 is a positive (+)
20 volts because the "red lead" is on point 3 and the "black lead" is on point 8. The voltage from point 8 to
point 9 is zero, of course, because those two points are electrically common.

Our final answer for the voltage from point 4 to point 3 is a negative (-) 32 volts, telling us that point 3 is
actually positive with respect to point 4, precisely what a digital voltmeter would indicate with the red lead on
point 4 and the black lead on point 3:
In other words, the initial placement of our "meter leads" in this KVL problem was "backwards." Had we
generated our KVL equation starting with E3-4 instead of E4-3, stepping around the same loop with the opposite
meter lead orientation, the final answer would have been E3-4 = +32 volts:

It is important to realize that neither approach is "wrong." In both cases, we arrive at the correct assessment
of voltage between the two points, 3 and 4: point 3 is positive with respect to point 4, and the voltage between
them is 32 volts.

• REVIEW:
• Kirchhoff's Voltage Law (KVL): "The algebraic sum of all voltages in a loop must equal zero"

< Back

Current divider circuits

Let's analyze a simple parallel circuit, determining the branch currents through individual resistors:
Knowing that voltages across all components in a parallel circuit are the same, we can fill in our
voltage/current/resistance table with 6 volts across the top row:

Using Ohm's Law (I=E/R) we can calculate each branch current:

Knowing that branch currents add up in parallel circuits to equal the total current, we can arrive at total current
by summing 6 mA, 2 mA, and 3 mA:

The final step, of course, is to figure total resistance. This can be done with Ohm's Law (R=E/I) in the "total"
column, or with the parallel resistance formula from individual resistances. Either way, we'll get the same
answer:
Once again, it should be apparent that the current through each resistor is related to its resistance, given that
the voltage across all resistors is the same. Rather than being directly proportional, the relationship here is one
of inverse proportion. For example, the current through R1 is half as much as the current through R3, which has
twice the resistance of R1.

If we were to change the supply voltage of this circuit, we find that (surprise!) these proportional ratios do not
change:

The current through R1 is still exactly twice that of R2, despite the fact that the source voltage has changed.
The proportionality between different branch currents is strictly a function of resistance.

Also reminiscent of voltage dividers is the fact that branch currents are fixed proportions of the total current.
Despite the fourfold increase in supply voltage, the ratio between any branch current and the total current
remains unchanged:

For this reason a parallel circuit is often called a current divider for its ability to proportion -- or divide -- the
total current into fractional parts. With a little bit of algebra, we can derive a formula for determining parallel
resistor current given nothing more than total current, individual resistance, and total resistance:
The ratio of total resistance to individual resistance is the same ratio as individual (branch) current to total
current. This is known as the current divider formula, and it is a short-cut method for determining branch
currents in a parallel circuit when the total current is known.

Using the original parallel circuit as an example, we can re-calculate the branch currents using this formula, if
we start by knowing the total current and total resistance:

If you take the time to compare the two divider formulae, you'll see that they are remarkably similar. Notice,
however, that the ratio in the voltage divider formula is Rn (individual resistance) divided by RTotal, and how the
ratio in the current divider formula is RTotal divided by Rn:
It is quite easy to confuse these two equations, getting the resistance ratios backwards. One way to help
remember the proper form is to keep in mind that both ratios in the voltage and current divider equations must
equal less than one. After all these are divider equations, not multiplier equations! If the fraction is upside-
down, it will provide a ratio greater than one, which is incorrect. Knowing that total resistance in a series
(voltage divider) circuit is always greater than any of the individual resistances, we know that the fraction for
that formula must be Rn over RTotal. Conversely, knowing that total resistance in a parallel (current divider)
circuit is always less then any of the individual resistances, we know that the fraction for that formula must be
RTotal over Rn.

Current divider circuits also find application in electric meter circuits, where a fraction of a measured current is
desired to be routed through a sensitive detection device. Using the current divider formula, the proper shunt
resistor can be sized to proportion just the right amount of current for the device in any given instance:

• REVIEW:
• Parallel circuits proportion, or "divide," the total circuit current among individual branch currents, the
proportions being strictly dependent upon resistances: In = ITotal (RTotal / Rn)

Kirchhoff's Current Law (KCL)

Let's take a closer look at that last parallel example circuit:

Solving for all values of voltage and current in this circuit:

At this point, we know the value of each branch current and of the total current in the circuit. We know that
the total current in a parallel circuit must equal the sum of the branch currents, but there's more going on in
this circuit than just that. Taking a look at the currents at each wire junction point (node) in the circuit, we
should be able to see something else:

At each node on the negative "rail" (wire 8-7-6-5) we have current splitting off the main flow to each
successive branch resistor. At each node on the positive "rail" (wire 1-2-3-4) we have current merging
together to form the main flow from each successive branch resistor. This fact should be fairly obvious if you
think of the water pipe circuit analogy with every branch node acting as a "tee" fitting, the water flow splitting
or merging with the main piping as it travels from the output of the water pump toward the return reservoir or
sump.

If we were to take a closer look at one particular "tee" node, such as node 3, we see that the current entering
the node is equal in magnitude to the current exiting the node:

From the right and from the bottom, we have two currents entering the wire connection labeled as node 3. To
the left, we have a single current exiting the node equal in magnitude to the sum of the two currents entering.
To refer to the plumbing analogy: so long as there are no leaks in the piping, what flow enters the fitting must
also exit the fitting. This holds true for any node ("fitting"), no matter how many flows are entering or exiting.
Mathematically, we can express this general relationship as such:

Mr. Kirchhoff decided to express it in a slightly different form (though mathematically equivalent), calling it
Kirchhoff's Current Law (KCL):
Summarized in a phrase, Kirchhoff's Current Law reads as such:

"The algebraic sum of all currents entering and exiting a node must equal zero"

That is, if we assign a mathematical sign (polarity) to each current, denoting whether they enter (+) or exit (-)
a node, we can add them together to arrive at a total of zero, guaranteed.

Taking our example node (number 3), we can determine the magnitude of the current exiting from the left by
setting up a KCL equation with that current as the unknown value:

The negative (-) sign on the value of 5 milliamps tells us that the current is exiting the node, as opposed to the
2 milliamp and 3 milliamp currents, which must were both positive (and therefore entering the node). Whether
negative or positive denotes current entering or exiting is entirely arbitrary, so long as they are opposite signs
for opposite directions and we stay consistent in our notation, KCL will work.

Together, Kirchhoff's Voltage and Current Laws are a formidable pair of tools useful in analyzing electric
circuits. Their usefulness will become all the more apparent in a later chapter ("Network Analysis"), but suffice
it to say that these Laws deserve to be memorized by the electronics student every bit as much as Ohm's Law.

• REVIEW:
• Kirchhoff's Current Law (KCL): "The algebraic sum of all currents entering and exiting a node must
equal zero"

<

What is a series-parallel circuit?

With simple series circuits, all components are connected end-to-end to form only one path for electrons to
flow through the circuit:

With simple parallel circuits, all components are connected between the same two sets of electrically common
points, creating multiple paths for electrons to flow from one end of the battery to the other:

With each of these two basic circuit configurations, we have specific sets of rules describing voltage, current,
and resistance relationships.

• Series Circuits:
• Voltage drops add to equal total voltage.
• All components share the same (equal) current.
• Resistances add to equal total resistance.

• Parallel Circuits:
• All components share the same (equal) voltage.
• Branch currents add to equal total current.
• Resistances diminish to equal total resistance.

However, if circuit components are series-connected in some parts and parallel in others, we won't be able to
apply a single set of rules to every part of that circuit. Instead, we will have to identify which parts of that
circuit are series and which parts are parallel, then selectively apply series and parallel rules as necessary to
determine what is happening. Take the following circuit, for instance:
This circuit is neither simple series nor simple parallel. Rather, it contains elements of both. The current exits
the bottom of the battery, splits up to travel through R3 and R4, rejoins, then splits up again to travel through
R1 and R2, then rejoins again to return to the top of the battery. There exists more than one path for current to
travel (not series), yet there are more than two sets of electrically common points in the circuit (not parallel).

Because the circuit is a combination of both series and parallel, we cannot apply the rules for voltage, current,
and resistance "across the table" to begin analysis like we could when the circuits were one way or the other.
For instance, if the above circuit were simple series, we could just add up R1 through R4 to arrive at a total
resistance, solve for total current, and then solve for all voltage drops. Likewise, if the above circuit were
simple parallel, we could just solve for branch currents, add up branch currents to figure the total current, and
then calculate total resistance from total voltage and total current. However, this circuit's solution will be more
complex.

The table will still help us manage the different values for series-parallel combination circuits, but we'll have to
be careful how and where we apply the different rules for series and parallel. Ohm's Law, of course, still works
just the same for determining values within a vertical column in the table.

If we are able to identify which parts of the circuit are series and which parts are parallel, we can analyze it in
stages, approaching each part one at a time, using the appropriate rules to determine the relationships of
voltage, current, and resistance. The rest of this chapter will be devoted to showing you techniques for doing
this.

• REVIEW:
• The rules of series and parallel circuits must be applied selectively to circuits containing both types of
interconnections.
Analysis technique

The goal of series-parallel resistor circuit analysis is to be able to determine all voltage drops, currents, and
power dissipations in a circuit. The general strategy to accomplish this goal is as follows:

• Step 1: Assess which resistors in a circuit are connected together in simple series or simple parallel.
• Step 2: Re-draw the circuit, replacing each of those series or parallel resistor combinations identified
in step 1 with a single, equivalent-value resistor. If using a table to manage variables, make a new
table column for each resistance equivalent.
• Step 3: Repeat steps 1 and 2 until the entire circuit is reduced to one equivalent resistor.
• Step 4: Calculate total current from total voltage and total resistance (I=E/R).
• Step 5: Taking total voltage and total current values, go back to last step in the circuit reduction
process and insert those values where applicable.
• Step 6: From known resistances and total voltage / total current values from step 5, use Ohm's Law
to calculate unknown values (voltage or current) (E=IR or I=E/R).
• Step 7: Repeat steps 5 and 6 until all values for voltage and current are known in the original circuit
configuration. Essentially, you will proceed step-by-step from the simplified version of the circuit back
into its original, complex form, plugging in values of voltage and current where appropriate until all
values of voltage and current are known.
• Step 8: Calculate power dissipations from known voltage, current, and/or resistance values.

This may sound like an intimidating process, but it's much easier understood through example than through
description.
In the example circuit above, R1 and R2 are connected in a simple parallel arrangement, as are R3 and R4.
Having been identified, these sections need to be converted into equivalent single resistors, and the circuit re-
drawn:

The double slash (//) symbols represent "parallel" to show that the equivalent resistor values were calculated
using the 1/(1/R) formula. The 71.429 Ω resistor at the top of the circuit is the equivalent of R1 and R2 in
parallel with each other. The 127.27 Ω resistor at the bottom is the equivalent of R3 and R4 in parallel with each
other.

Our table can be expanded to include these resistor equivalents in their own columns:

It should be apparent now that the circuit has been reduced to a simple series configuration with only two
(equivalent) resistances. The final step in reduction is to add these two resistances to come up with a total
circuit resistance. When we add those two equivalent resistances, we get a resistance of 198.70 Ω. Now, we
can re-draw the circuit as a single equivalent resistance and add the total resistance figure to the rightmost
column of our table. Note that the "Total" column has been relabeled (R1//R2--R3//R4) to indicate how it relates
electrically to the other columns of figures. The "--" symbol is used here to represent "series," just as the "//"
symbol is used to represent "parallel."
Now, total circuit current can be determined by applying Ohm's Law (I=E/R) to the "Total" column in the table:

Back to our equivalent circuit drawing, our total current value of 120.78 milliamps is shown as the only current
here:
Now we start to work backwards in our progression of circuit re-drawings to the original configuration. The
next step is to go to the circuit where R1//R2 and R3//R4 are in series:

Since R1//R2 and R3//R4 are in series with each other, the current through those two sets of equivalent
resistances must be the same. Furthermore, the current through them must be the same as the total current,
so we can fill in our table with the appropriate current values, simply copying the current figure from the Total
column to the R1//R2 and R3//R4 columns:

Now, knowing the current through the equivalent resistors R1//R2 and R3//R4, we can apply Ohm's Law (E=IR)
to the two right vertical columns to find voltage drops across them:
Because we know R1//R2 and R3//R4 are parallel resistor equivalents, and we know that voltage drops in parallel
circuits are the same, we can transfer the respective voltage drops to the appropriate columns on the table for
those individual resistors. In other words, we take another step backwards in our drawing sequence to the
original configuration, and complete the table accordingly:
Finally, the original section of the table (columns R1 through R4) is complete with enough values to finish.
Applying Ohm's Law to the remaining vertical columns (I=E/R), we can determine the currents through R1, R2,
R3, and R4 individually:

Having found all voltage and current values for this circuit, we can show those values in the schematic diagram
as such:

As a final check of our work, we can see if the calculated current values add up as they should to the total.
Since R1 and R2 are in parallel, their combined currents should add up to the total of 120.78 mA. Likewise,
since R3 and R4 are in parallel, their combined currents should also add up to the total of 120.78 mA. You can
check for yourself to verify that these figures do add up as expected.

A computer simulation can also be used to verify the accuracy of these figures. The following SPICE analysis
will show all resistor voltages and currents (note the current-sensing vi1, vi2, . . . "dummy" voltage sources in
series with each resistor in the netlist, necessary for the SPICE computer program to track current through
each path). These voltage sources will be set to have values of zero volts each so they will not affect the circuit
in any way.
series-parallel circuit
v1 1 0
vi1 1 2 dc 0
vi2 1 3 dc 0
r1 2 4 100
r2 3 4 250
vi3 4 5 dc 0
vi4 4 6 dc 0
r3 5 0 350
r4 6 0 200
.dc v1 24 24 1
.print dc v(2,4) v(3,4) v(5,0) v(6,0)
.print dc i(vi1) i(vi2) i(vi3) i(vi4)
.end

I've annotated SPICE's output figures to make them more readable, denoting which voltage and current figures
belong to which resistors.

v1 v(2,4) v(3,4) v(5) v(6)

2.400E+01 8.627E+00 8.627E+00 1.537E+01 1.537E+01
Battery R1 voltage R2 voltage R3 voltage R4 voltage
voltage
v1 i(vi1) i(vi2) i(vi3) i(vi4)
2.400E+01 8.627E-02 3.451E-02 4.392E-02 7.686E-02
Battery R1 current R2 current R3 current R4 current
voltage

As you can see, all the figures do agree with the our calculated values.

• REVIEW:
• To analyze a series-parallel combination circuit, follow these steps:
• Reduce the original circuit to a single equivalent resistor, re-drawing the circuit in each step of
reduction as simple series and simple parallel parts are reduced to single, equivalent resistors.
• Solve for total resistance.
• Solve for total current (I=E/R).
• Determine equivalent resistor voltage drops and branch currents one stage at a time, working
backwards to the original circuit configuration again.

< Back

Re-drawing complex schematics

Typically, complex circuits are not arranged in nice, neat, clean schematic diagrams for us to follow. They are
often drawn in such a way that makes it difficult to follow which components are in series and which are in
parallel with each other. The purpose of this section is to show you a method useful for re-drawing circuit
schematics in a neat and orderly fashion. Like the stage-reduction strategy for solving series-parallel
combination circuits, it is a method easier demonstrated than described.

Let's start with the following (convoluted) circuit diagram. Perhaps this diagram was originally drawn this way
by a technician or engineer. Perhaps it was sketched as someone traced the wires and connections of a real
circuit. In any case, here it is in all its ugliness:

With electric circuits and circuit diagrams, the length and routing of wire connecting components in a circuit
matters little. (Actually, in some AC circuits it becomes critical, and very long wire lengths can contribute
unwanted resistance to both AC and DC circuits, but in most cases wire length is irrelevant.) What this means
for us is that we can lengthen, shrink, and/or bend connecting wires without affecting the operation of our
circuit.

The strategy I have found easiest to apply is to start by tracing the current from one terminal of the battery
around to the other terminal, following the loop of components closest to the battery and ignoring all other
wires and components for the time being. While tracing the path of the loop, mark each resistor with the
appropriate polarity for voltage drop.

In this case, I'll begin my tracing of this circuit at the negative terminal of the battery and finish at the positive
terminal, in the same general direction as the electrons would flow. When tracing this direction, I will mark
each resistor with the polarity of negative on the entering side and positive on the exiting side, for that is how
the actual polarity will be as electrons (negative in charge) enter and exit a resistor:
Any components encountered along this short loop are drawn vertically in order:

Now, proceed to trace any loops of components connected around components that were just traced. In this
case, there's a loop around R1 formed by R2, and another loop around R3 formed by R4:
Tracing those loops, I draw R2 and R4 in parallel with R1 and R3 (respectively) on the vertical diagram. Noting
the polarity of voltage drops across R3 and R1, I mark R4 and R2 likewise:

Now we have a circuit that is very easily understood and analyzed. In this case, it is identical to the four-
resistor series-parallel configuration we examined earlier in the chapter.

Let's look at another example, even uglier than the one before:
The first loop I'll trace is from the negative (-) side of the battery, through R6, through R1, and back to the
positive (+) end of the battery:

Re-drawing vertically and keeping track of voltage drop polarities along the way, our equivalent circuit starts
out looking like this:
Next, we can proceed to follow the next loop around one of the traced resistors (R6), in this case, the loop
formed by R5 and R7. As before, we start at the negative end of R6 and proceed to the positive end of R6,
marking voltage drop polarities across R7 and R5 as we go:

Now we add the R5--R7 loop to the vertical drawing. Notice how the voltage drop polarities across R7 and R5
correspond with that of R6, and how this is the same as what we found tracing R7 and R5 in the original circuit:
We repeat the process again, identifying and tracing another loop around an already-traced resistor. In this
case, the R3--R4 loop around R5 looks like a good loop to trace next:

Adding the R3--R4 loop to the vertical drawing, marking the correct polarities as well:
With only one remaining resistor left to trace, then next step is obvious: trace the loop formed by R2 around
R3:

Adding R2 to the vertical drawing, and we're finished! The result is a diagram that's very easy to understand
compared to the original:
This simplified layout greatly eases the task of determining where to start and how to proceed in reducing the
circuit down to a single equivalent (total) resistance. Notice how the circuit has been re-drawn, all we have to
do is start from the right-hand side and work our way left, reducing simple-series and simple-parallel resistor
combinations one group at a time until we're done.

In this particular case, we would start with the simple parallel combination of R2 and R3, reducing it to a single
resistance. Then, we would take that equivalent resistance (R2//R3) and the one in series with it (R4), reducing
them to another equivalent resistance (R2//R3--R4). Next, we would proceed to calculate the parallel equivalent
of that resistance (R2//R3--R4) with R5, then in series with R7, then in parallel with R6, then in series with R1 to
give us a grand total resistance for the circuit as a whole.

From there we could calculate total current from total voltage and total resistance (I=E/R), then "expand" the
circuit back into its original form one stage at a time, distributing the appropriate values of voltage and current
to the resistances as we go.

• REVIEW:
• Wires in diagrams and in real circuits can be lengthened, shortened, and/or moved without affecting
circuit operation.
• To simplify a convoluted circuit schematic, follow these steps:
• Trace current from one side of the battery to the other, following any single path ("loop") to the
battery. Sometimes it works better to start with the loop containing the most components, but
regardless of the path taken the result will be accurate. Mark polarity of voltage drops across each
resistor as you trace the loop. Draw those components you encounter along this loop in a vertical
schematic.
• Mark traced components in the original diagram and trace remaining loops of components in the
circuit. Use polarity marks across traced components as guides for what connects where. Document
new components in loops on the vertical re-draw schematic as well.
• Repeat last step as often as needed until all components in original diagram have been traced.

Component failure analysis

 "I consider that I understand an equation when I can predict the properties of its solutions,
without actually solving it."

P.A.M Dirac, physicist

There is a lot of truth to that quote from Dirac. With a little modification, I can extend his wisdom to electric
circuits by saying, "I consider that I understand a circuit when I can predict the approximate effects of various
changes made to it without actually performing any calculations."

At the end of the series and parallel circuits chapter, we briefly considered how circuits could be analyzed in a
qualitative rather than quantitative manner. Building this skill is an important step towards becoming a
proficient troubleshooter of electric circuits. Once you have a thorough understanding of how any particular
failure will affect a circuit (i.e. you don't have to perform any arithmetic to predict the results), it will be much
easier to work the other way around: pinpointing the source of trouble by assessing how a circuit is behaving.

Also shown at the end of the series and parallel circuits chapter was how the table method works just as well
for aiding failure analysis as it does for the analysis of healthy circuits. We may take this technique one step
further and adapt it for total qualitative analysis. By "qualitative" I mean working with symbols representing
"increase," "decrease," and "same" instead of precise numerical figures. We can still use the principles of series
and parallel circuits, and the concepts of Ohm's Law, we'll just use symbolic qualities instead of numerical
quantities. By doing this, we can gain more of an intuitive "feel" for how circuits work rather than leaning on
abstract equations, attaining Dirac's definition of "understanding."

Enough talk. Let's try this technique on a real circuit example and see how it works:

This is the first "convoluted" circuit we straightened out for analysis in the last section. Since you already know
how this particular circuit reduces to series and parallel sections, I'll skip the process and go straight to the
final form:
R3 and R4 are in parallel with each other; so are R1 and R2. The parallel equivalents of R3//R4 and R1//R2 are in
series with each other. Expressed in symbolic form, the total resistance for this circuit is as follows:

RTotal = (R1//R2)--(R3//R4)

First, we need to formulate a table with all the necessary rows and columns for this circuit:

Next, we need a failure scenario. Let's suppose that resistor R2 were to fail shorted. We will assume that all
other components maintain their original values. Because we'll be analyzing this circuit qualitatively rather than
quantitatively, we won't be inserting any real numbers into the table. For any quantity unchanged after the
component failure, we'll use the word "same" to represent "no change from before." For any quantity that has
changed as a result of the failure, we'll use a down arrow for "decrease" and an up arrow for "increase." As
usual, we start by filling in the spaces of the table for individual resistances and total voltage, our "given"
values:

The only "given" value different from the normal state of the circuit is R2, which we said was failed shorted
(abnormally low resistance). All other initial values are the same as they were before, as represented by the
"same" entries. All we have to do now is work through the familiar Ohm's Law and series-parallel principles to
determine what will happen to all the other circuit values.

First, we need to determine what happens to the resistances of parallel subsections R1//R2 and R3//R4. If
neither R3 nor R4 have changed in resistance value, then neither will their parallel combination. However, since
the resistance of R2 has decreased while R1 has stayed the same, their parallel combination must decrease in
resistance as well:

Now, we need to figure out what happens to the total resistance. This part is easy: when we're dealing with
only one component change in the circuit, the change in total resistance will be in the same direction as the
change of the failed component. This is not to say that the magnitude of change between individual component
and total circuit will be the same, merely the direction of change. In other words, if any single resistor
decreases in value, then the total circuit resistance must also decrease, and visa-versa. In this case, since R2 is
the only failed component, and its resistance has decreased, the total resistance must decrease:

Now we can apply Ohm's Law (qualitatively) to the Total column in the table. Given the fact that total voltage
has remained the same and total resistance has decreased, we can conclude that total current must increase
(I=E/R).

In case you're not familiar with the qualitative assessment of an equation, it works like this. First, we write the
equation as solved for the unknown quantity. In this case, we're trying to solve for current, given voltage and
resistance:

Now that our equation is in the proper form, we assess what change (if any) will be experienced by "I," given
the change(s) to "E" and "R":

If the denominator of a fraction decreases in value while the numerator stays the same, then the overall value
of the fraction must increase:

Therefore, Ohm's Law (I=E/R) tells us that the current (I) will increase. We'll mark this conclusion in our table
with an "up" arrow:
With all resistance places filled in the table and all quantities determined in the Total column, we can proceed
to determine the other voltages and currents. Knowing that the total resistance in this table was the result of
R1//R2 and R3//R4 in series, we know that the value of total current will be the same as that in R1//R2 and
R3//R4 (because series components share the same current). Therefore, if total current increased, then current
through R1//R2 and R3//R4 must also have increased with the failure of R2:

Fundamentally, what we're doing here with a qualitative usage of Ohm's Law and the rules of series and
parallel circuits is no different from what we've done before with numerical figures. In fact, it's a lot easier
because you don't have to worry about making an arithmetic or calculator keystroke error in a calculation.
Instead, you're just focusing on the principles behind the equations. From our table above, we can see that
Ohm's Law should be applicable to the R1//R2 and R3//R4 columns. For R3//R4, we figure what happens to the
voltage, given an increase in current and no change in resistance. Intuitively, we can see that this must result
in an increase in voltage across the parallel combination of R3//R4:

But how do we apply the same Ohm's Law formula (E=IR) to the R1//R2 column, where we have resistance
decreasing and current increasing? It's easy to determine if only one variable is changing, as it was with
R3//R4, but with two variables moving around and no definite numbers to work with, Ohm's Law isn't going to
be much help. However, there is another rule we can apply horizontally to determine what happens to the
voltage across R1//R2: the rule for voltage in series circuits. If the voltages across R1//R2 and R3//R4 add up to
equal the total (battery) voltage and we know that the R3//R4 voltage has increased while total voltage has
stayed the same, then the voltage across R1//R2 must have decreased with the change of R2's resistance value:

Now we're ready to proceed to some new columns in the table. Knowing that R3 and R4 comprise the parallel
subsection R3//R4, and knowing that voltage is shared equally between parallel components, the increase in
voltage seen across the parallel combination R3//R4 must also be seen across R3 and R4 individually:
The same goes for R1 and R2. The voltage decrease seen across the parallel combination of R1 and R2 will be
seen across R1 and R2 individually:

Applying Ohm's Law vertically to those columns with unchanged ("same") resistance values, we can tell what
the current will do through those components. Increased voltage across an unchanged resistance leads to
increased current. Conversely, decreased voltage across an unchanged resistance leads to decreased current:

Once again we find ourselves in a position where Ohm's Law can't help us: for R2, both voltage and resistance
have decreased, but without knowing how much each one has changed, we can't use the I=E/R formula to
qualitatively determine the resulting change in current. However, we can still apply the rules of series and
parallel circuits horizontally. We know that the current through the R1//R2 parallel combination has increased,
and we also know that the current through R1 has decreased. One of the rules of parallel circuits is that total
current is equal to the sum of the individual branch currents. In this case, the current through R1//R2 is equal
to the current through R1 added to the current through R2. If current through R1//R2 has increased while
current through R1 has decreased, current through R2 must have increased:

And with that, our table of qualitative values stands completed. This particular exercise may look laborious due
to all the detailed commentary, but the actual process can be performed very quickly with some practice. An
important thing to realize here is that the general procedure is little different from quantitative analysis: start
with the known values, then proceed to determining total resistance, then total current, then transfer figures of
voltage and current as allowed by the rules of series and parallel circuits to the appropriate columns.

A few general rules can be memorized to assist and/or to check your progress when proceeding with such an
analysis:

• For any single component failure (open or shorted), the total resistance will always change in the
same direction (either increase or decrease) as the resistance change of the failed component.
• When a component fails shorted, its resistance always decreases. Also, the current through it will
increase, and the voltage across it may drop. I say "may" because in some cases it will remain the
same (case in point: a simple parallel circuit with an ideal power source).
• When a component fails open, its resistance always increases. The current through that component
will decrease to zero, because it is an incomplete electrical path (no continuity). This may result in an
increase of voltage across it. The same exception stated above applies here as well: in a simple
parallel circuit with an ideal voltage source, the voltage across an open-failed component will remain
unchanged.

Building series-parallel resistor circuits

Once again, when building battery/resistor circuits, the student or hobbyist is faced with several different
modes of construction. Perhaps the most popular is the solderless breadboard: a platform for constructing
temporary circuits by plugging components and wires into a grid of interconnected points. A breadboard
appears to be nothing but a plastic frame with hundreds of small holes in it. Underneath each hole, though, is a
spring clip which connects to other spring clips beneath other holes. The connection pattern between holes is
simple and uniform:

Suppose we wanted to construct the following series-parallel combination circuit on a breadboard:

The recommended way to do so on a breadboard would be to arrange the resistors in approximately the same
pattern as seen in the schematic, for ease of relation to the schematic. If 24 volts is required and we only have
6-volt batteries available, four may be connected in series to achieve the same effect:
This is by no means the only way to connect these four resistors together to form the circuit shown in the
schematic. Consider this alternative layout:

If greater permanence is desired without resorting to soldering or wire-wrapping, one could choose to
construct this circuit on a terminal strip (also called a barrier strip, or terminal block). In this method,
components and wires are secured by mechanical tension underneath screws or heavy clips attached to small
metal bars. The metal bars, in turn, are mounted on a nonconducting body to keep them electrically isolated
from each other.
Building a circuit with components secured to a terminal strip isn't as easy as plugging components into a
breadboard, principally because the components cannot be physically arranged to resemble the schematic
layout. Instead, the builder must understand how to "bend" the schematic's representation into the real-world
layout of the strip. Consider one example of how the same four-resistor circuit could be built on a terminal
strip:

Another terminal strip layout, simpler to understand and relate to the schematic, involves anchoring parallel
resistors (R1//R2 and R3//R4) to the same two terminal points on the strip like this:

Building more complex circuits on a terminal strip involves the same spatial-reasoning skills, but of course
requires greater care and planning. Take for instance this complex circuit, represented in schematic form:
The terminal strip used in the prior example barely has enough terminals to mount all seven resistors required
for this circuit! It will be a challenge to determine all the necessary wire connections between resistors, but
with patience it can be done. First, begin by installing and labeling all resistors on the strip. The original
schematic diagram will be shown next to the terminal strip circuit for reference:

Next, begin connecting components together wire by wire as shown in the schematic. Over-draw connecting
lines in the schematic to indicate completion in the real circuit. Watch this sequence of illustrations as each
individual wire is identified in the schematic, then added to the real circuit:
Although there are minor variations possible with this terminal strip circuit, the choice of connections shown in
this example sequence is both electrically accurate (electrically identical to the schematic diagram) and carries
the additional benefit of not burdening any one screw terminal on the strip with more than two wire ends, a
good practice in any terminal strip circuit.

An example of a "variant" wire connection might be the very last wire added (step 11), which I placed between
the left terminal of R2 and the left terminal of R3. This last wire completed the parallel connection between R2
and R3 in the circuit. However, I could have placed this wire instead between the left terminal of R2 and the
right terminal of R1, since the right terminal of R1 is already connected to the left terminal of R3 (having been
placed there in step 9) and so is electrically common with that one point. Doing this, though, would have
resulted in three wires secured to the right terminal of R1 instead of two, which is a faux pax in terminal strip
etiquette. Would the circuit have worked this way? Certainly! It's just that more than two wires secured at a
single terminal makes for a "messy" connection: one that is aesthetically unpleasing and may place undue
stress on the screw terminal.

• REVIEW:
• Circuits built on terminal strips can be difficult to lay out, but when built they are robust enough to be
considered permanent, yet easy to modify.
• It is bad practice to secure more than two wire ends and/or component leads under a single terminal
screw or clip on a terminal strip. Try to arrange connecting wires so as to avoid this condition.
What is a meter?

A meter is any device built to accurately detect and display an electrical quantity in a form readable by a
human being. Usually this "readable form" is visual: motion of a pointer on a scale, a series of lights arranged
to form a "bargraph," or some sort of display composed of numerical figures. In the analysis and testing of
circuits, there are meters designed to accurately measure the basic quantities of voltage, current, and
resistance. There are many other types of meters as well, but this chapter primarily covers the design and
operation of the basic three.

Most modern meters are "digital" in design, meaning that their readable display is in the form of numerical
digits. Older designs of meters are mechanical in nature, using some kind of pointer device to show quantity of
measurement. In either case, the principles applied in adapting a display unit to the measurement of
(relatively) large quantities of voltage, current, or resistance are the same.

The display mechanism of a meter is often referred to as a movement, borrowing from its mechanical nature to
move a pointer along a scale so that a measured value may be read. Though modern digital meters have no
moving parts, the term "movement" may be applied to the same basic device performing the display function.

The design of digital "movements" is beyond the scope of this chapter, but mechanical meter movement
designs are very understandable. Most mechanical movements are based on the principle of electromagnetism:
that electric current through a conductor produces a magnetic field perpendicular to the axis of electron flow.
The greater the electric current, the stronger the magnetic field produced. If the magnetic field formed by the
conductor is allowed to interact with another magnetic field, a physical force will be generated between the two
sources of fields. If one of these sources is free to move with respect to the other, it will do so as current is
conducted through the wire, the motion (usually against the resistance of a spring) being proportional to
strength of current.

The first meter movements built were known as galvanometers, and were usually designed with maximum
sensitivity in mind. A very simple galvanometer may be made from a magnetized needle (such as the needle
from a magnetic compass) suspended from a string, and positioned within a coil of wire. Current through the
wire coil will produce a magnetic field which will deflect the needle from pointing in the direction of earth's
magnetic field. An antique string galvanometer is shown in the following photograph:

Such instruments were useful in their time, but have little place in the modern world except as proof-of-
concept and elementary experimental devices. They are highly susceptible to motion of any kind, and to any
disturbances in the natural magnetic field of the earth. Now, the term "galvanometer" usually refers to any
design of electromagnetic meter movement built for exceptional sensitivity, and not necessarily a crude device
such as that shown in the photograph. Practical electromagnetic meter movements can be made now where a
pivoting wire coil is suspended in a strong magnetic field, shielded from the majority of outside influences.
Such an instrument design is generally known as a permanent-magnet, moving coil, or PMMC movement:

In the picture above, the meter movement "needle" is shown pointing somewhere around 35 percent of full-
scale, zero being full to the left of the arc and full-scale being completely to the right of the arc. An increase in
measured current will drive the needle to point further to the right and a decrease will cause the needle to drop
back down toward its resting point on the left. The arc on the meter display is labeled with numbers to indicate
the value of the quantity being measured, whatever that quantity is. In other words, if it takes 50 microamps
of current to drive the needle fully to the right (making this a "50 µA full-scale movement"), the scale would
have 0 µA written at the very left end and 50 µA at the very right, 25 µA being marked in the middle of the
scale. In all likelihood, the scale would be divided into much smaller graduating marks, probably every 5 or 1
µA, to allow whoever is viewing the movement to infer a more precise reading from the needle's position.

The meter movement will have a pair of metal connection terminals on the back for current to enter and exit.
Most meter movements are polarity-sensitive, one direction of current driving the needle to the right and the
other driving it to the left. Some meter movements have a needle that is spring-centered in the middle of the
scale sweep instead of to the left, thus enabling measurements of either polarity:
Common polarity-sensitive movements include the D'Arsonval and Weston designs, both PMMC-type
instruments. Current in one direction through the wire will produce a clockwise torque on the needle
mechanism, while current the other direction will produce a counter-clockwise torque.

Some meter movements are polarity-insensitive, relying on the attraction of an unmagnetized, movable iron
vane toward a stationary, current-carrying wire to deflect the needle. Such meters are ideally suited for the
measurement of alternating current (AC). A polarity-sensitive movement would just vibrate back and forth
uselessly if connected to a source of AC.

While most mechanical meter movements are based on electromagnetism (electron flow through a conductor
creating a perpendicular magnetic field), a few are based on electrostatics: that is, the attractive or repulsive
force generated by electric charges across space. This is the same phenomenon exhibited by certain materials
(such as wax and wool) when rubbed together. If a voltage is applied between two conductive surfaces across
an air gap, there will be a physical force attracting the two surfaces together capable of moving some kind of
indicating mechanism. That physical force is directly proportional to the voltage applied between the plates,
and inversely proportional to the square of the distance between the plates. The force is also irrespective of
polarity, making this a polarity-insensitive type of meter movement:

Unfortunately, the force generated by the electrostatic attraction is very small for common voltages. In fact, it
is so small that such meter movement designs are impractical for use in general test instruments. Typically,
electrostatic meter movements are used for measuring very high voltages (many thousands of volts). One
great advantage of the electrostatic meter movement, however, is the fact that it has extremely high
resistance, whereas electromagnetic movements (which depend on the flow of electrons through wire to
generate a magnetic field) are much lower in resistance. As we will see in greater detail to come, greater
resistance (resulting in less current drawn from the circuit under test) makes for a better voltmeter.

A much more common application of electrostatic voltage measurement is seen in an device known as a
Cathode Ray Tube, or CRT. These are special glass tubes, very similar to television viewscreen tubes. In the
cathode ray tube, a beam of electrons traveling in a vacuum are deflected from their course by voltage
between pairs of metal plates on either side of the beam. Because electrons are negatively charged, they tend
to be repelled by the negative plate and attracted to the positive plate. A reversal of voltage polarity across the
two plates will result in a deflection of the electron beam in the opposite direction, making this type of meter
"movement" polarity-sensitive:

The electrons, having much less mass than metal plates, are moved by this electrostatic force very quickly and
readily. Their deflected path can be traced as the electrons impinge on the glass end of the tube where they
strike a coating of phosphorus chemical, emitting a glow of light seen outside of the tube. The greater the
voltage between the deflection plates, the further the electron beam will be "bent" from its straight path, and
the further the glowing spot will be seen from center on the end of the tube.

A photograph of a CRT is shown here:

In a real CRT, as shown in the above photograph, there are two pairs of deflection plates rather than just one.
In order to be able to sweep the electron beam around the whole area of the screen rather than just in a
straight line, the beam must be deflected in more than one dimension.

Although these tubes are able to accurately register small voltages, they are bulky and require electrical power
to operate (unlike electromagnetic meter movements, which are more compact and actuated by the power of
the measured signal current going through them). They are also much more fragile than other types of
electrical metering devices. Usually, cathode ray tubes are used in conjunction with precise external circuits to
form a larger piece of test equipment known as an oscilloscope, which has the ability to display a graph of
voltage over time, a tremendously useful tool for certain types of circuits where voltage and/or current levels
are dynamically changing.

Whatever the type of meter or size of meter movement, there will be a rated value of voltage or current
necessary to give full-scale indication. In electromagnetic movements, this will be the "full-scale deflection
current" necessary to rotate the needle so that it points to the exact end of the indicating scale. In electrostatic
movements, the full-scale rating will be expressed as the value of voltage resulting in the maximum deflection
of the needle actuated by the plates, or the value of voltage in a cathode-ray tube which deflects the electron
beam to the edge of the indicating screen. In digital "movements," it is the amount of voltage resulting in a
"full-count" indication on the numerical display: when the digits cannot display a larger quantity.

The task of the meter designer is to take a given meter movement and design the necessary external circuitry
for full-scale indication at some specified amount of voltage or current. Most meter movements (electrostatic
movements excepted) are quite sensitive, giving full-scale indication at only a small fraction of a volt or an
amp. This is impractical for most tasks of voltage and current measurement. What the technician often
requires is a meter capable of measuring high voltages and currents.

By making the sensitive meter movement part of a voltage or current divider circuit, the movement's useful
measurement range may be extended to measure far greater levels than what could be indicated by the
movement alone. Precision resistors are used to create the divider circuits necessary to divide voltage or
current appropriately. One of the lessons you will learn in this chapter is how to design these divider circuits.

• REVIEW:
• A "movement" is the display mechanism of a meter.
• Electromagnetic movements work on the principle of a magnetic field being generated by electric
current through a wire. Examples of electromagnetic meter movements include the D'Arsonval,
Weston, and iron-vane designs.
• Electrostatic movements work on the principle of physical force generated by an electric field between
two plates.
• Cathode Ray Tubes (CRT's) use an electrostatic field to bend the path of an electron beam, providing
indication of the beam's position by light created when the beam strikes the end of the glass tube.

Voltmeter design

As was stated earlier, most meter movements are sensitive devices. Some D'Arsonval movements have full-
scale deflection current ratings as little as 50 µA, with an (internal) wire resistance of less than 1000 Ω. This
makes for a voltmeter with a full-scale rating of only 50 millivolts (50 µA X 1000 Ω)! In order to build
voltmeters with practical (higher voltage) scales from such sensitive movements, we need to find some way to
reduce the measured quantity of voltage down to a level the movement can handle.

Let's start our example problems with a D'Arsonval meter movement having a full-scale deflection rating of 1
mA and a coil resistance of 500 Ω:

Using Ohm's Law (E=IR), we can determine how much voltage will drive this meter movement directly to full
scale:
E=IR

E = (1 mA)(500 Ω)

E = 0.5 volts

If all we wanted was a meter that could measure 1/2 of a volt, the bare meter movement we have here would
suffice. But to measure greater levels of voltage, something more is needed. To get an effective voltmeter
meter range in excess of 1/2 volt, we'll need to design a circuit allowing only a precise proportion of measured
voltage to drop across the meter movement. This will extend the meter movement's range to being able to
measure higher voltages than before. Correspondingly, we will need to re-label the scale on the meter face to
indicate its new measurement range with this proportioning circuit connected.

But how do we create the necessary proportioning circuit? Well, if our intention is to allow this meter
movement to measure a greater voltage than it does now, what we need is a voltage divider circuit to
proportion the total measured voltage into a lesser fraction across the meter movement's connection points.
Knowing that voltage divider circuits are built from series resistances, we'll connect a resistor in series with the
meter movement (using the movement's own internal resistance as the second resistance in the divider):

The series resistor is called a "multiplier" resistor because it multiplies the working range of the meter
movement as it proportionately divides the measured voltage across it. Determining the required multiplier
resistance value is an easy task if you're familiar with series circuit analysis.

For example, let's determine the necessary multiplier value to make this 1 mA, 500 Ω movement read exactly
full-scale at an applied voltage of 10 volts. To do this, we first need to set up an E/I/R table for the two series
components:

Knowing that the movement will be at full-scale with 1 mA of current going through it, and that we want this to
happen at an applied (total series circuit) voltage of 10 volts, we can fill in the table as such:
There are a couple of ways to determine the resistance value of the multiplier. One way is to determine total
circuit resistance using Ohm's Law in the "total" column (R=E/I), then subtract the 500 Ω of the movement to
arrive at the value for the multiplier:

Another way to figure the same value of resistance would be to determine voltage drop across the movement
at full-scale deflection (E=IR), then subtract that voltage drop from the total to arrive at the voltage across the
multiplier resistor. Finally, Ohm's Law could be used again to determine resistance (R=E/I) for the multiplier:

Either way provides the same answer (9.5 kΩ), and one method could be used as verification for the other, to
check accuracy of work.
With exactly 10 volts applied between the meter test leads (from some battery or precision power supply),
there will be exactly 1 mA of current through the meter movement, as restricted by the "multiplier" resistor
and the movement's own internal resistance. Exactly 1/2 volt will be dropped across the resistance of the
movement's wire coil, and the needle will be pointing precisely at full-scale. Having re-labeled the scale to read
from 0 to 10 V (instead of 0 to 1 mA), anyone viewing the scale will interpret its indication as ten volts. Please
take note that the meter user does not have to be aware at all that the movement itself is actually measuring
just a fraction of that ten volts from the external source. All that matters to the user is that the circuit as a
whole functions to accurately display the total, applied voltage.

This is how practical electrical meters are designed and used: a sensitive meter movement is built to operate
with as little voltage and current as possible for maximum sensitivity, then it is "fooled" by some sort of divider
circuit built of precision resistors so that it indicates full-scale when a much larger voltage or current is
impressed on the circuit as a whole. We have examined the design of a simple voltmeter here. Ammeters
follow the same general rule, except that parallel-connected "shunt" resistors are used to create a current
divider circuit as opposed to the series-connected voltage divider "multiplier" resistors used for voltmeter
designs.

Generally, it is useful to have multiple ranges established for an electromechanical meter such as this, allowing
it to read a broad range of voltages with a single movement mechanism. This is accomplished through the use
of a multi-pole switch and several multiplier resistors, each one sized for a particular voltage range:
The five-position switch makes contact with only one resistor at a time. In the bottom (full clockwise) position,
it makes contact with no resistor at all, providing an "off" setting. Each resistor is sized to provide a particular
full-scale range for the voltmeter, all based on the particular rating of the meter movement (1 mA, 500 Ω). The
end result is a voltmeter with four different full-scale ranges of measurement. Of course, in order to make this
work sensibly, the meter movement's scale must be equipped with labels appropriate for each range.

With such a meter design, each resistor value is determined by the same technique, using a known total
voltage, movement full-scale deflection rating, and movement resistance. For a voltmeter with ranges of 1
volt, 10 volts, 100 volts, and 1000 volts, the multiplier resistances would be as follows:

Note the multiplier resistor values used for these ranges, and how odd they are. It is highly unlikely that a
999.5 kΩ precision resistor will ever be found in a parts bin, so voltmeter designers often opt for a variation of
the above design which uses more common resistor values:
With each successively higher voltage range, more multiplier resistors are pressed into service by the selector
switch, making their series resistances add for the necessary total. For example, with the range selector switch
set to the 1000 volt position, we need a total multiplier resistance value of 999.5 kΩ. With this meter design,
that's exactly what we'll get:

RTotal = R4 + R3 + R2 + R1

RTotal = 900 kΩ + 90 kΩ + 9 kΩ + 500 Ω

RTotal = 999.5 kΩ

The advantage, of course, is that the individual multiplier resistor values are more common (900k, 90k, 9k)
than some of the odd values in the first design (999.5k, 99.5k, 9.5k). From the perspective of the meter user,
however, there will be no discernible difference in function.

• REVIEW:
• Extended voltmeter ranges are created for sensitive meter movements by adding series "multiplier"
resistors to the movement circuit, providing a precise voltage division ratio.

Voltmeter impact on measured circuit

Every meter impacts the circuit it is measuring to some extent, just as any tire-pressure gauge changes the
measured tire pressure slightly as some air is let out to operate the gauge. While some impact is inevitable, it
can be minimized through good meter design.

Since voltmeters are always connected in parallel with the component or components under test, any current
through the voltmeter will contribute to the overall current in the tested circuit, potentially affecting the voltage
being measured. A perfect voltmeter has infinite resistance, so that it draws no current from the circuit under
test. However, perfect voltmeters only exist in the pages of textbooks, not in real life! Take the following
voltage divider circuit as an extreme example of how a realistic voltmeter might impact the circuit it's
measuring:
With no voltmeter connected to the circuit, there should be exactly 12 volts across each 250 MΩ resistor in the
series circuit, the two equal-value resistors dividing the total voltage (24 volts) exactly in half. However, if the
voltmeter in question has a lead-to-lead resistance of 10 MΩ (a common amount for a modern digital
voltmeter), its resistance will create a parallel subcircuit with the lower resistor of the divider when connected:

This effectively reduces the lower resistance from 250 MΩ to 9.615 MΩ (250 MΩ and 10 MΩ in parallel),
drastically altering voltage drops in the circuit. The lower resistor will now have far less voltage across it than
before, and the upper resistor far more.
A voltage divider with resistance values of 250 MΩ and 9.615 MΩ will divide 24 volts into portions of 23.1111
volts and 0.8889 volts, respectively. Since the voltmeter is part of that 9.615 MΩ resistance, that is what it will
indicate: 0.8889 volts.

Now, the voltmeter can only indicate the voltage it's connected across. It has no way of "knowing" there was a
potential of 12 volts dropped across the lower 250 MΩ resistor before it was connected across it. The very act
of connecting the voltmeter to the circuit makes it part of the circuit, and the voltmeter's own resistance alters
the resistance ratio of the voltage divider circuit, consequently affecting the voltage being measured.

Imagine using a tire pressure gauge that took so great a volume of air to operate that it would deflate any tire
it was connected to. The amount of air consumed by the pressure gauge in the act of measurement is
analogous to the current taken by the voltmeter movement to move the needle. The less air a pressure gauge
requires to operate, the less it will deflate the tire under test. The less current drawn by a voltmeter to actuate
the needle, the less it will burden the circuit under test.

This effect is called loading, and it is present to some degree in every instance of voltmeter usage. The
scenario shown here is worst-case, with a voltmeter resistance substantially lower than the resistances of the
divider resistors. But there always will be some degree of loading, causing the meter to indicate less than the
true voltage with no meter connected. Obviously, the higher the voltmeter resistance, the less loading of the
circuit under test, and that is why an ideal voltmeter has infinite internal resistance.

Voltmeters with electromechanical movements are typically given ratings in "ohms per volt" of range to
designate the amount of circuit impact created by the current draw of the movement. Because such meters
rely on different values of multiplier resistors to give different measurement ranges, their lead-to-lead
resistances will change depending on what range they're set to. Digital voltmeters, on the other hand, often
exhibit a constant resistance across their test leads regardless of range setting (but not always!), and as such
are usually rated simply in ohms of input resistance, rather than "ohms per volt" sensitivity.

What "ohms per volt" means is how many ohms of lead-to-lead resistance for every volt of range setting on
the selector switch. Let's take our example voltmeter from the last section as an example:

On the 1000 volt scale, the total resistance is 1 MΩ (999.5 kΩ + 500Ω), giving 1,000,000 Ω per 1000 volts of
range, or 1000 ohms per volt (1 kΩ/V). This ohms-per-volt "sensitivity" rating remains constant for any range
of this meter:
The astute observer will notice that the ohms-per-volt rating of any meter is determined by a single factor: the
full-scale current of the movement, in this case 1 mA. "Ohms per volt" is the mathematical reciprocal of "volts
per ohm," which is defined by Ohm's Law as current (I=E/R). Consequently, the full-scale current of the
movement dictates the Ω/volt sensitivity of the meter, regardless of what ranges the designer equips it with
through multiplier resistors. In this case, the meter movement's full-scale current rating of 1 mA gives it a
voltmeter sensitivity of 1000 Ω/V regardless of how we range it with multiplier resistors.

To minimize the loading of a voltmeter on any circuit, the designer must seek to minimize the current draw of
its movement. This can be accomplished by re-designing the movement itself for maximum sensitivity (less
current required for full-scale deflection), but the tradeoff here is typically ruggedness: a more sensitive
movement tends to be more fragile.

Another approach is to electronically boost the current sent to the movement, so that very little current needs
to be drawn from the circuit under test. This special electronic circuit is known as an amplifier, and the
voltmeter thus constructed is an amplified voltmeter.

The internal workings of an amplifier are too complex to be discussed at this point, but suffice it to say that the
circuit allows the measured voltage to control how much battery current is sent to the meter movement. Thus,
the movement's current needs are supplied by a battery internal to the voltmeter and not by the circuit under
test. The amplifier still loads the circuit under test to some degree, but generally hundreds or thousands of
times less than the meter movement would by itself.

Before the advent of semiconductors known as "field-effect transistors," vacuum tubes were used as amplifying
devices to perform this boosting. Such vacuum-tube voltmeters, or (VTVM's) were once very popular
instruments for electronic test and measurement. Here is a photograph of a very old VTVM, with the vacuum
tube exposed!
Now, solid-state transistor amplifier circuits accomplish the same task in digital meter designs. While this
approach (of using an amplifier to boost the measured signal current) works well, it vastly complicates the
design of the meter, making it nearly impossible for the beginning electronics student to comprehend its
internal workings.

A final, and ingenious, solution to the problem of voltmeter loading is that of the potentiometric or null-balance
instrument. It requires no advanced (electronic) circuitry or sensitive devices like transistors or vacuum tubes,
but it does require greater technician involvement and skill. In a potentiometric instrument, a precision
adjustable voltage source is compared against the measured voltage, and a sensitive device called a null
detector is used to indicate when the two voltages are equal. In some circuit designs, a precision potentiometer
is used to provide the adjustable voltage, hence the label potentiometric. When the voltages are equal, there
will be zero current drawn from the circuit under test, and thus the measured voltage should be unaffected. It
is easy to show how this works with our last example, the high-resistance voltage divider circuit:

The "null detector" is a sensitive device capable of indicating the presence of very small voltages. If an
electromechanical meter movement is used as the null detector, it will have a spring-centered needle that can
deflect in either direction so as to be useful for indicating a voltage of either polarity. As the purpose of a null
detector is to accurately indicate a condition of zero voltage, rather than to indicate any specific (nonzero)
quantity as a normal voltmeter would, the scale of the instrument used is irrelevant. Null detectors are
typically designed to be as sensitive as possible in order to more precisely indicate a "null" or "balance" (zero
voltage) condition.

An extremely simple type of null detector is a set of audio headphones, the speakers within acting as a kind of
meter movement. When a DC voltage is initially applied to a speaker, the resulting current through it will move
the speaker cone and produce an audible "click." Another "click" sound will be heard when the DC source is
disconnected. Building on this principle, a sensitive null detector may be made from nothing more than
headphones and a momentary contact switch:

If a set of "8 ohm" headphones are used for this purpose, its sensitivity may be greatly increased by
connecting it to a device called a transformer. The transformer exploits principles of electromagnetism to
"transform" the voltage and current levels of electrical energy pulses. In this case, the type of transformer
used is a step-down transformer, and it converts low-current pulses (created by closing and opening the
pushbutton switch while connected to a small voltage source) into higher-current pulses to more efficiently
drive the speaker cones inside the headphones. An "audio output" transformer with an impedance ratio of
1000:8 is ideal for this purpose. The transformer also increases detector sensitivity by accumulating the energy
of a low-current signal in a magnetic field for sudden release into the headphone speakers when the switch is
opened. Thus, it will produce louder "clicks" for detecting smaller signals:

Connected to the potentiometric circuit as a null detector, the switch/transformer/headphone arrangement is

used as such:
The purpose of any null detector is to act like a laboratory balance scale, indicating when the two voltages are
equal (absence of voltage between points 1 and 2) and nothing more. The laboratory scale balance beam
doesn't actually weight anything; rather, it simply indicates equality between the unknown mass and the pile of
standard (calibrated) masses.

Likewise, the null detector simply indicates when the voltage between points 1 and 2 are equal, which
(according to Kirchhoff's Voltage Law) will be when the adjustable voltage source (the battery symbol with a
diagonal arrow going through it) is precisely equal in voltage to the drop across R2.

To operate this instrument, the technician would manually adjust the output of the precision voltage source
until the null detector indicated exactly zero (if using audio headphones as the null detector, the technician
would repeatedly press and release the pushbutton switch, listening for silence to indicate that the circuit was
"balanced"), and then note the source voltage as indicated by a voltmeter connected across the precision
voltage source, that indication being representative of the voltage across the lower 250 MΩ resistor:
The voltmeter used to directly measure the precision source need not have an extremely high Ω/V sensitivity,
because the source will supply all the current it needs to operate. So long as there is zero voltage across the
null detector, there will be zero current between points 1 and 2, equating to no loading of the divider circuit
under test.

It is worthy to reiterate the fact that this method, properly executed, places almost zero load upon the
measured circuit. Ideally, it places absolutely no load on the tested circuit, but to achieve this ideal goal the
null detector would have to have absolutely zero voltage across it, which would require an infinitely sensitive
null meter and a perfect balance of voltage from the adjustable voltage source. However, despite its practical
inability to achieve absolute zero loading, a potentiometric circuit is still an excellent technique for measuring
voltage in high-resistance circuits. And unlike the electronic amplifier solution, which solves the problem with
advanced technology, the potentiometric method achieves a hypothetically perfect solution by exploiting a
fundamental law of electricity (KVL).

• REVIEW:
• An ideal voltmeter has infinite resistance.
• Too low of an internal resistance in a voltmeter will adversely affect the circuit being measured.
• Vacuum tube voltmeters (VTVM's), transistor voltmeters, and potentiometric circuits are all means of
minimizing the load placed on a measured circuit. Of these methods, the potentiometric ("null-
balance") technique is the only one capable of placing zero load on the circuit.
• A null detector is a device built for maximum sensitivity to small voltages or currents. It is used in
potentiometric voltmeter circuits to indicate the absence of voltage between two points, thus
indicating a condition of balance between an adjustable voltage source and the voltage being
measured.

Ammeter design

A meter designed to measure electrical current is popularly called an "ammeter" because the unit of
measurement is "amps."

In ammeter designs, external resistors added to extend the usable range of the movement are connected in
parallel with the movement rather than in series as is the case for voltmeters. This is because we want to
divide the measured current, not the measured voltage, going to the movement, and because current divider
circuits are always formed by parallel resistances.

Taking the same meter movement as the voltmeter example, we can see that it would make a very limited
instrument by itself, full-scale deflection occurring at only 1 mA:

As is the case with extending a meter movement's voltage-measuring ability, we would have to
correspondingly re-label the movement's scale so that it read differently for an extended current range. For
example, if we wanted to design an ammeter to have a full-scale range of 5 amps using the same meter
movement as before (having an intrinsic full-scale range of only 1 mA), we would have to re-label the
movement's scale to read 0 A on the far left and 5 A on the far right, rather than 0 mA to 1 mA as before.
Whatever extended range provided by the parallel-connected resistors, we would have to represent graphically
on the meter movement face.
Using 5 amps as an extended range for our sample movement, let's determine the amount of parallel
resistance necessary to "shunt," or bypass, the majority of current so that only 1 mA will go through the
movement with a total current of 5 A:

From our given values of movement current, movement resistance, and total circuit (measured) current, we
can determine the voltage across the meter movement (Ohm's Law applied to the center column, E=IR):
Knowing that the circuit formed by the movement and the shunt is of a parallel configuration, we know that the
voltage across the movement, shunt, and test leads (total) must be the same:

We also know that the current through the shunt must be the difference between the total current (5 amps)
and the current through the movement (1 mA), because branch currents add in a parallel configuration:

Then, using Ohm's Law (R=E/I) in the right column, we can determine the necessary shunt resistance:

Of course, we could have calculated the same value of just over 100 milli-ohms (100 mΩ) for the shunt by
calculating total resistance (R=E/I; 0.5 volts/5 amps = 100 mΩ exactly), then working the parallel resistance
formula backwards, but the arithmetic would have been more challenging:

In real life, the shunt resistor of an ammeter will usually be encased within the protective metal housing of the
meter unit, hidden from sight. Note the construction of the ammeter in the following photograph:
This particular ammeter is an automotive unit manufactured by Stewart-Warner. Although the D'Arsonval
meter movement itself probably has a full scale rating in the range of milliamps, the meter as a whole has a
range of +/- 60 amps. The shunt resistor providing this high current range is enclosed within the metal
housing of the meter. Note also with this particular meter that the needle centers at zero amps and can
indicate either a "positive" current or a "negative" current. Connected to the battery charging circuit of an
automobile, this meter is able to indicate a charging condition (electrons flowing from generator to battery) or
a discharging condition (electrons flowing from battery to the rest of the car's loads).

As is the case with multiple-range voltmeters, ammeters can be given more than one usable range by
incorporating several shunt resistors switched with a multi-pole switch:

Notice that the range resistors are connected through the switch so as to be in parallel with the meter
movement, rather than in series as it was in the voltmeter design. The five-position switch makes contact with
only one resistor at a time, of course. Each resistor is sized accordingly for a different full-scale range, based
on the particular rating of the meter movement (1 mA, 500 Ω).

With such a meter design, each resistor value is determined by the same technique, using a known total
current, movement full-scale deflection rating, and movement resistance. For an ammeter with ranges of 100
mA, 1 A, 10 A, and 100 A, the shunt resistances would be as such:
Notice that these shunt resistor values are very low! 5.00005 mΩ is 5.00005 milli-ohms, or 0.00500005 ohms!
To achieve these low resistances, ammeter shunt resistors often have to be custom-made from relatively
large-diameter wire or solid pieces of metal.

One thing to be aware of when sizing ammeter shunt resistors is the factor of power dissipation. Unlike the
voltmeter, an ammeter's range resistors have to carry large amounts of current. If those shunt resistors are
not sized accordingly, they may overheat and suffer damage, or at the very least lose accuracy due to
overheating. For the example meter above, the power dissipations at full-scale indication are (the double-
squiggly lines represent "approximately equal to" in mathematics):

An 1/8 watt resistor would work just fine for R4, a 1/2 watt resistor would suffice for R3 and a 5 watt for R2
(although resistors tend to maintain their long-term accuracy better if not operated near their rated power
dissipation, so you might want to over-rate resistors R2 and R3), but precision 50 watt resistors are rare and
expensive components indeed. A custom resistor made from metal stock or thick wire may have to be
constructed for R1 to meet both the requirements of low resistance and high power rating.

Sometimes, shunt resistors are used in conjunction with voltmeters of high input resistance to measure
current. In these cases, the current through the voltmeter movement is small enough to be considered
negligible, and the shunt resistance can be sized according to how many volts or millivolts of drop will be
produced per amp of current:
If, for example, the shunt resistor in the above circuit were sized at precisely 1 Ω, there would be 1 volt
dropped across it for every amp of current through it. The voltmeter indication could then be taken as a direct
indication of current through the shunt. For measuring very small currents, higher values of shunt resistance
could be used to generate more voltage drop per given unit of current, thus extending the usable range of the
(volt)meter down into lower amounts of current. The use of voltmeters in conjunction with low-value shunt
resistances for the measurement of current is something commonly seen in industrial applications.

The use of a shunt resistor along with a voltmeter to measure current can be a useful trick for simplifying the
task of frequent current measurements in a circuit. Normally, to measure current through a circuit with an
ammeter, the circuit would have to be broken (interrupted) and the ammeter inserted between the separated
wire ends, like this:

If we have a circuit where current needs to be measured often, or we would just like to make the process of
current measurement more convenient, a shunt resistor could be placed between those points and left their
permanently, current readings taken with a voltmeter as needed without interrupting continuity in the circuit:
Of course, care must be taken in sizing the shunt resistor low enough so that it doesn't adversely affect the
circuit's normal operation, but this is generally not difficult to do. This technique might also be useful in
computer circuit analysis, where we might want to have the computer display current through a circuit in terms
of a voltage (with SPICE, this would allow us to avoid the idiosyncrasy of reading negative current values):

shunt resistor example circuit

v1 1 0
rshunt 1 2 1
rload 2 0 15k
.dc v1 12 12 1
.print dc v(1,2)
.end

v1 v(1,2)
1.200E+01 7.999E-04

We would interpret the voltage reading across the shunt resistor (between circuit nodes 1 and 2 in the SPICE
simulation) directly as amps, with 7.999E-04 being 0.7999 mA, or 799.9 µA. Ideally, 12 volts applied directly
across 15 kΩ would give us exactly 0.8 mA, but the resistance of the shunt lessens that current just a tiny bit
(as it would in real life). However, such a tiny error is generally well within acceptable limits of accuracy for
either a simulation or a real circuit, and so shunt resistors can be used in all but the most demanding
applications for accurate current measurement.

• REVIEW:
• Ammeter ranges are created by adding parallel "shunt" resistors to the movement circuit, providing a
precise current division.
• Shunt resistors may have high power dissipations, so be careful when choosing parts for such meters!
 • Shunt resistors can be used in conjunction with high-resistance voltmeters as well as low-resistance
ammeter movements, producing accurate voltage drops for given amounts of current. Shunt resistors
should be selected for as low a resistance value as possible to minimize their impact upon the circuit
under test.

Ammeter impact on measured circuit

Just like voltmeters, ammeters tend to influence the amount of current in the circuits they're connected to.
However, unlike the ideal voltmeter, the ideal ammeter has zero internal resistance, so as to drop as little
voltage as possible as electrons flow through it. Note that this ideal resistance value is exactly opposite as that
of a voltmeter. With voltmeters, we want as little current to be drawn as possible from the circuit under test.
With ammeters, we want as little voltage to be dropped as possible while conducting current.

Here is an extreme example of an ammeter's effect upon a circuit:

With the ammeter disconnected from this circuit, the current through the 3 Ω resistor would be 666.7 mA, and
the current through the 1.5 Ω resistor would be 1.33 amps. If the ammeter had an internal resistance of 1/2
Ω, and it were inserted into one of the branches of this circuit, though, its resistance would seriously affect the
measured branch current:

Having effectively increased the left branch resistance from 3 Ω to 3.5 Ω, the ammeter will read 571.43 mA
instead of 666.7 mA. Placing the same ammeter in the right branch would affect the current to an even greater
extent:
Now the right branch current is 1 amp instead of 1.333 amps, due to the increase in resistance created by the
addition of the ammeter into the current path.

When using standard ammeters that connect in series with the circuit being measured, it might not be practical
or possible to redesign the meter for a lower input (lead-to-lead) resistance. However, if we were selecting a
value of shunt resistor to place in the circuit for a current measurement based on voltage drop, and we had our
choice of a wide range of resistances, it would be best to choose the lowest practical resistance for the
application. Any more resistance than necessary and the shunt may impact the circuit adversely by adding
excessive resistance in the current path.

One ingenious way to reduce the impact that a current-measuring device has on a circuit is to use the circuit
wire as part of the ammeter movement itself. All current-carrying wires produce a magnetic field, the strength
of which is in direct proportion to the strength of the current. By building an instrument that measures the
strength of that magnetic field, a no-contact ammeter can be produced. Such a meter is able to measure the
current through a conductor without even having to make physical contact with the circuit, much less break
continuity or insert additional resistance.

Ammeters of this design are made, and are called "clamp-on" meters because they have "jaws" which can be
opened and then secured around a circuit wire. Clamp-on ammeters make for quick and safe current
measurements, especially on high-power industrial circuits. Because the circuit under test has had no
additional resistance inserted into it by a clamp-on meter, there is no error induced in taking a current
measurement.

The actual movement mechanism of a clamp-on ammeter is much the same as for an iron-vane instrument,
except that there is no internal wire coil to generate the magnetic field. More modern designs of clamp-on
ammeters utilize a small magnetic field detector device called a Hall-effect sensor to accurately determine field
strength. Some clamp-on meters contain electronic amplifier circuitry to generate a small voltage proportional
to the current in the wire between the jaws, that small voltage connected to a voltmeter for convenient
readout by a technician. Thus, a clamp-on unit can be an accessory device to a voltmeter, for current
measurement.

A less accurate type of magnetic-field-sensing ammeter than the clamp-on style is shown in the following
photograph:

The operating principle for this ammeter is identical to the clamp-on style of meter: the circular magnetic field
surrounding a current-carrying conductor deflects the meter's needle, producing an indication on the scale.
Note how there are two current scales on this particular meter: +/- 75 amps and +/- 400 amps. These two
measurement scales correspond to the two sets of notches on the back of the meter. Depending on which set
of notches the current-carrying conductor is laid in, a given strength of magnetic field will have a different
amount of effect on the needle. In effect, the two different positions of the conductor relative to the movement
act as two different range resistors in a direct-connection style of ammeter.
 • REVIEW:
• An ideal ammeter has zero resistance.
• A "clamp-on" ammeter measures current through a wire by measuring the strength of the magnetic
field around it rather than by becoming part of the circuit, making it an ideal ammeter.
• Clamp-on meters make for quick and safe current measurements, because there is no conductive
contact between the meter and the circuit.

Ohmmeter design

Though mechanical ohmmeter (resistance meter) designs are rarely used today, having largely been
superseded by digital instruments, their operation is nonetheless intriguing and worthy of study.

The purpose of an ohmmeter, of course, is to measure the resistance placed between its leads. This resistance
reading is indicated through a mechanical meter movement which operates on electric current. The ohmmeter
must then have an internal source of voltage to create the necessary current to operate the movement, and
also have appropriate ranging resistors to allow just the right amount of current through the movement at any
given resistance.

Starting with a simple movement and battery circuit, let's see how it would function as an ohmmeter:

When there is infinite resistance (no continuity between test leads), there is zero current through the meter
movement, and the needle points toward the far left of the scale. In this regard, the ohmmeter indication is
"backwards" because maximum indication (infinity) is on the left of the scale, while voltage and current meters
have zero at the left of their scales.

If the test leads of this ohmmeter are directly shorted together (measuring zero Ω), the meter movement will
have a maximum amount of current through it, limited only by the battery voltage and the movement's
internal resistance:
With 9 volts of battery potential and only 500 Ω of movement resistance, our circuit current will be 18 mA,
which is far beyond the full-scale rating of the movement. Such an excess of current will likely damage the
meter.

Not only that, but having such a condition limits the usefulness of the device. If full left-of-scale on the meter
face represents an infinite amount of resistance, then full right-of-scale should represent zero. Currently, our
design "pegs" the meter movement hard to the right when zero resistance is attached between the leads. We
need a way to make it so that the movement just registers full-scale when the test leads are shorted together.
This is accomplished by adding a series resistance to the meter's circuit:

To determine the proper value for R, we calculate the total circuit resistance needed to limit current to 1 mA
(full-scale deflection on the movement) with 9 volts of potential from the battery, then subtract the
movement's internal resistance from that figure:

Now that the right value for R has been calculated, we're still left with a problem of meter range. On the left
side of the scale we have "infinity" and on the right side we have zero. Besides being "backwards" from the
scales of voltmeters and ammeters, this scale is strange because it goes from nothing to everything, rather
than from nothing to a finite value (such as 10 volts, 1 amp, etc.). One might pause to wonder, "what does
middle-of-scale represent? What figure lies exactly between zero and infinity?" Infinity is more than just a very
big amount: it is an incalculable quantity, larger than any definite number ever could be. If half-scale indication
on any other type of meter represents 1/2 of the full-scale range value, then what is half of infinity on an
ohmmeter scale?

The answer to this paradox is a logarithmic scale. Simply put, the scale of an ohmmeter does not smoothly
progress from zero to infinity as the needle sweeps from right to left. Rather, the scale starts out "expanded"
at the right-hand side, with the successive resistance values growing closer and closer to each other toward
the left side of the scale:

Infinity cannot be approached in a linear (even) fashion, because the scale would never get there! With a
logarithmic scale, the amount of resistance spanned for any given distance on the scale increases as the scale
progresses toward infinity, making infinity an attainable goal.

We still have a question of range for our ohmmeter, though. What value of resistance between the test leads
will cause exactly 1/2 scale deflection of the needle? If we know that the movement has a full-scale rating of 1
mA, then 0.5 mA (500 µA) must be the value needed for half-scale deflection. Following our design with the 9
volt battery as a source we get:

With an internal movement resistance of 500 Ω and a series range resistor of 8.5 kΩ, this leaves 9 kΩ for an
external (lead-to-lead) test resistance at 1/2 scale. In other words, the test resistance giving 1/2 scale
deflection in an ohmmeter is equal in value to the (internal) series total resistance of the meter circuit.

Using Ohm's Law a few more times, we can determine the test resistance value for 1/4 and 3/4 scale deflection
as well:

1/4 scale deflection (0.25 mA of meter current):

3/4 scale deflection (0.75 mA of meter current):

So, the scale for this ohmmeter looks something like this:
One major problem with this design is its reliance upon a stable battery voltage for accurate resistance
reading. If the battery voltage decreases (as all chemical batteries do with age and use), the ohmmeter scale
will lose accuracy. With the series range resistor at a constant value of 8.5 kΩ and the battery voltage
decreasing, the meter will no longer deflect full-scale to the right when the test leads are shorted together (0
Ω). Likewise, a test resistance of 9 kΩ will fail to deflect the needle to exactly 1/2 scale with a lesser battery
voltage.

There are design techniques used to compensate for varying battery voltage, but they do not completely take
care of the problem and are to be considered approximations at best. For this reason, and for the fact of the
logarithmic scale, this type of ohmmeter is never considered to be a precision instrument.

One final caveat needs to be mentioned with regard to ohmmeters: they only function correctly when
measuring resistance that is not being powered by a voltage or current source. In other words, you cannot
measure resistance with an ohmmeter on a "live" circuit! The reason for this is simple: the ohmmeter's
accurate indication depends on the only source of voltage being its internal battery. The presence of any
voltage across the component to be measured will interfere with the ohmmeter's operation. If the voltage is
large enough, it may even damage the ohmmeter.

• REVIEW:
• Ohmmeters contain internal sources of voltage to supply power in taking resistance measurements.
• An analog ohmmeter scale is "backwards" from that of a voltmeter or ammeter, the movement needle
reading zero resistance at full-scale and infinite resistance at rest.
• Analog ohmmeters also have logarithmic scales, "expanded" at the low end of the scale and
"compressed" at the high end to be able to span from zero to infinite resistance.
• Analog ohmmeters are not precision instruments.
• Ohmmeters should never be connected to an energized circuit (that is, a circuit with its own source of
voltage). Any voltage applied to the test leads of an ohmmeter will invalidate its reading.

High voltage ohmmeters

Most ohmmeters of the design shown in the previous section utilize a battery of relatively low voltage, usually
nine volts or less. This is perfectly adequate for measuring resistances under several mega-ohms (MΩ), but
when extremely high resistances need to be measured, a 9 volt battery is insufficient for generating enough
current to actuate an electromechanical meter movement.

Also, as discussed in an earlier chapter, resistance is not always a stable (linear) quantity. This is especially
true of non-metals. Recall the graph of current over voltage for a small air gap (less than an inch):
While this is an extreme example of nonlinear conduction, other substances exhibit similar
insulating/conducting properties when exposed to high voltages. Obviously, an ohmmeter using a low-voltage
battery as a source of power cannot measure resistance at the ionization potential of a gas, or at the
breakdown voltage of an insulator. If such resistance values need to be measured, nothing but a high-voltage
ohmmeter will suffice.

The most direct method of high-voltage resistance measurement involves simply substituting a higher voltage
battery in the same basic design of ohmmeter investigated earlier:

Knowing, however, that the resistance of some materials tends to change with applied voltage, it would be
advantageous to be able to adjust the voltage of this ohmmeter to obtain resistance measurements under
different conditions:
Unfortunately, this would create a calibration problem for the meter. If the meter movement deflects full-scale
with a certain amount of current through it, the full-scale range of the meter in ohms would change as the
source voltage changed. Imagine connecting a stable resistance across the test leads of this ohmmeter while
varying the source voltage: as the voltage is increased, there will be more current through the meter
movement, hence a greater amount of deflection. What we really need is a meter movement that will produce
a consistent, stable deflection for any stable resistance value measured, regardless of the applied voltage.

Accomplishing this design goal requires a special meter movement, one that is peculiar to megohmmeters, or
meggers, as these instruments are known.

The numbered, rectangular blocks in the above illustration are cross-sectional representations of wire coils.
These three coils all move with the needle mechanism. There is no spring mechanism to return the needle to a
set position. When the movement is unpowered, the needle will randomly "float." The coils are electrically
connected like this:
With infinite resistance between the test leads (open circuit), there will be no current through coil 1, only
through coils 2 and 3. When energized, these coils try to center themselves in the gap between the two
magnet poles, driving the needle fully to the right of the scale where it points to "infinity."

Any current through coil 1 (through a measured resistance connected between the test leads) tends to drive
the needle to the left of scale, back to zero. The internal resistor values of the meter movement are calibrated
so that when the test leads are shorted together, the needle deflects exactly to the 0 Ω position.

Because any variations in battery voltage will affect the torque generated by both sets of coils (coils 2 and 3,
which drive the needle to the right, and coil 1, which drives the needle to the left), those variations will have
no effect of the calibration of the movement. In other words, the accuracy of this ohmmeter movement is
unaffected by battery voltage: a given amount of measured resistance will produce a certain needle deflection,
no matter how much or little battery voltage is present.
The only effect that a variation in voltage will have on meter indication is the degree to which the measured
resistance changes with applied voltage. So, if we were to use a megger to measure the resistance of a gas-
discharge lamp, it would read very high resistance (needle to the far right of the scale) for low voltages and
low resistance (needle moves to the left of the scale) for high voltages. This is precisely what we expect from a
good high-voltage ohmmeter: to provide accurate indication of subject resistance under different
circumstances.

For maximum safety, most meggers are equipped with hand-crank generators for producing the high DC
voltage (up to 1000 volts). If the operator of the meter receives a shock from the high voltage, the condition
will be self-correcting, as he or she will naturally stop cranking the generator! Sometimes a "slip clutch" is used
to stabilize generator speed under different cranking conditions, so as to provide a fairly stable voltage whether
it is cranked fast or slow. Multiple voltage output levels from the generator are available by the setting of a
selector switch.

A simple hand-crank megger is shown in this photograph:

Some meggers are battery-powered to provide greater precision in output voltage. For safety reasons these
meggers are activated by a momentary-contact pushbutton switch, so the switch cannot be left in the "on"
position and pose a significant shock hazard to the meter operator.

Real meggers are equipped with three connection terminals, labeled Line, Earth, and Guard. The schematic is
quite similar to the simplified version shown earlier:
Resistance is measured between the Line and Earth terminals, where current will travel through coil 1. The
"Guard" terminal is provided for special testing situations where one resistance must be isolated from another.
Take for instance this scenario where the insulation resistance is to be tested in a two-wire cable:

To measure insulation resistance from a conductor to the outside of the cable, we need to connect the "Line"
lead of the megger to one of the conductors and connect the "Earth" lead of the megger to a wire wrapped
around the sheath of the cable:
In this configuration the megger should read the resistance between one conductor and the outside sheath. Or
will it? If we draw a schematic diagram showing all insulation resistances as resistor symbols, what we have
looks like this:

Rather than just measure the resistance of the second conductor to the sheath (Rc2-s), what we'll actually
measure is that resistance in parallel with the series combination of conductor-to-conductor resistance (Rc1-c2)
and the first conductor to the sheath (Rc1-s). If we don't care about this fact, we can proceed with the test as
configured. If we desire to measure only the resistance between the second conductor and the sheath (Rc2-s),
then we need to use the megger's "Guard" terminal:
Now the circuit schematic looks like this:

Connecting the "Guard" terminal to the first conductor places the two conductors at almost equal potential.
With little or no voltage between them, the insulation resistance is nearly infinite, and thus there will be no
current between the two conductors. Consequently, the megger's resistance indication will be based exclusively
on the current through the second conductor's insulation, through the cable sheath, and to the wire wrapped
around, not the current leaking through the first conductor's insulation.
Meggers are field instruments: that is, they are designed to be portable and operated by a technician on the
job site with as much ease as a regular ohmmeter. They are very useful for checking high-resistance "short"
failures between wires caused by wet or degraded insulation. Because they utilize such high voltages, they are
not as affected by stray voltages (voltages less than 1 volt produced by electrochemical reactions between
conductors, or "induced" by neighboring magnetic fields) as ordinary ohmmeters.

For a more thorough test of wire insulation, another high-voltage ohmmeter commonly called a hi-pot tester is
used. These specialized instruments produce voltages in excess of 1 kV, and may be used for testing the
insulating effectiveness of oil, ceramic insulators, and even the integrity of other high-voltage instruments.
Because they are capable of producing such high voltages, they must be operated with the utmost care, and
only by trained personnel.

It should be noted that hi-pot testers and even meggers (in certain conditions) are capable of damaging wire
insulation if incorrectly used. Once an insulating material has been subjected to breakdown by the application
of an excessive voltage, its ability to electrically insulate will be compromised. Again, these instruments are to
be used only by trained personnel.

Multimeters

Seeing as how a common meter movement can be made to function as a voltmeter, ammeter, or ohmmeter
simply by connecting it to different external resistor networks, it should make sense that a multi-purpose
meter ("multimeter") could be designed in one unit with the appropriate switch(es) and resistors.

For general purpose electronics work, the multimeter reigns supreme as the instrument of choice. No other
device is able to do so much with so little an investment in parts and elegant simplicity of operation. As with
most things in the world of electronics, the advent of solid-state components like transistors has revolutionized
the way things are done, and multimeter design is no exception to this rule. However, in keeping with this
chapter's emphasis on analog ("old-fashioned") meter technology, I'll show you a few pre-transistor meters.

The unit shown above is typical of a handheld analog multimeter, with ranges for voltage, current, and
resistance measurement. Note the many scales on the face of the meter movement for the different ranges
and functions selectable by the rotary switch. The wires for connecting this instrument to a circuit (the "test
leads") are plugged into the two copper jacks (socket holes) at the bottom-center of the meter face marked "-
TEST +", black and red.
This multimeter (Barnett brand) takes a slightly different design approach than the previous unit. Note how the
rotary selector switch has fewer positions than the previous meter, but also how there are many more jacks
into which the test leads may be plugged into. Each one of those jacks is labeled with a number indicating the
respective full-scale range of the meter.

Lastly, here is a picture of a digital multimeter. Note that the familiar meter movement has been replaced by a
blank, gray-colored display screen. When powered, numerical digits appear in that screen area, depicting the
amount of voltage, current, or resistance being measured. This particular brand and model of digital meter has
a rotary selector switch and four jacks into which test leads can be plugged. Two leads -- one red and one
black -- are shown plugged into the meter.

A close examination of this meter will reveal one "common" jack for the black test lead and three others for the
red test lead. The jack into which the red lead is shown inserted is labeled for voltage and resistance
measurement, while the other two jacks are labeled for current (A, mA, and µA) measurement. This is a wise
design feature of the multimeter, requiring the user to move a test lead plug from one jack to another in order
to switch from the voltage measurement to the current measurement function. It would be hazardous to have
the meter set in current measurement mode while connected across a significant source of voltage because of
the low input resistance, and making it necessary to move a test lead plug rather than just flip the selector
switch to a different position helps ensure that the meter doesn't get set to measure current unintentionally.

Note that the selector switch still has different positions for voltage and current measurement, so in order for
the user to switch between these two modes of measurement they must switch the position of the red test lead
and move the selector switch to a different position.

Also note that neither the selector switch nor the jacks are labeled with measurement ranges. In other words,
there are no "100 volt" or "10 volt" or "1 volt" ranges (or any equivalent range steps) on this meter. Rather,
this meter is "autoranging," meaning that it automatically picks the appropriate range for the quantity being
measured. Autoranging is a feature only found on digital meters, but not all digital meters.

No two models of multimeters are designed to operate exactly the same, even if they're manufactured by the
same company. In order to fully understand the operation of any multimeter, the owner's manual must be
consulted.

Here is a schematic for a simple analog volt/ammeter:

In the switch's three lower (most counter-clockwise) positions, the meter movement is connected to the
Common and V jacks through one of three different series range resistors (Rmultiplier1 through Rmultiplier3), and so
acts as a voltmeter. In the fourth position, the meter movement is connected in parallel with the shunt
resistor, and so acts as an ammeter for any current entering the common jack and exiting the A jack. In the
last (furthest clockwise) position, the meter movement is disconnected from either red jack, but short-circuited
through the switch. This short-circuiting creates a dampening effect on the needle, guarding against
mechanical shock damage when the meter is handled and moved.

If an ohmmeter function is desired in this multimeter design, it may be substituted for one of the three voltage
ranges as such:
With all three fundamental functions available, this multimeter may also be known as a volt-ohm-milliammeter.

Obtaining a reading from an analog multimeter when there is a multitude of ranges and only one meter
movement may seem daunting to the new technician. On an analog multimeter, the meter movement is
marked with several scales, each one useful for at least one range setting. Here is a close-up photograph of
the scale from the Barnett multimeter shown earlier in this section:
Note that there are three types of scales on this meter face: a green scale for resistance at the top, a set of
black scales for DC voltage and current in the middle, and a set of blue scales for AC voltage and current at the
bottom. Both the DC and AC scales have three sub-scales, one ranging 0 to 2.5, one ranging 0 to 5, and one
ranging 0 to 10. The meter operator must choose whichever scale best matches the range switch and plug
settings in order to properly interpret the meter's indication.

This particular multimeter has several basic voltage measurement ranges: 2.5 volts, 10 volts, 50 volts, 250
volts, 500 volts, and 1000 volts. With the use of the voltage range extender unit at the top of the multimeter,
voltages up to 5000 volts can be measured. Suppose the meter operator chose to switch the meter into the
"volt" function and plug the red test lead into the 10 volt jack. To interpret the needle's position, he or she
would have to read the scale ending with the number "10". If they moved the red test plug into the 250 volt
jack, however, they would read the meter indication on the scale ending with "2.5", multiplying the direct
indication by a factor of 100 in order to find what the measured voltage was.

If current is measured with this meter, another jack is chosen for the red plug to be inserted into and the
range is selected via a rotary switch. This close-up photograph shows the switch set to the 2.5 mA position:
Note how all current ranges are power-of-ten multiples of the three scale ranges shown on the meter face: 2.5,
5, and 10. In some range settings, such as the 2.5 mA for example, the meter indication may be read directly
on the 0 to 2.5 scale. For other range settings (250 µA, 50 mA, 100 mA, and 500 mA), the meter indication
must be read off the appropriate scale and then multiplied by either 10 or 100 to obtain the real figure. The
highest current range available on this meter is obtained with the rotary switch in the 2.5/10 amp position. The
distinction between 2.5 amps and 10 amps is made by the red test plug position: a special "10 amp" jack next
to the regular current-measuring jack provides an alternative plug setting to select the higher range.

Resistance in ohms, of course, is read by a logarithmic scale at the top of the meter face. It is "backward," just
like all battery-operated analog ohmmeters, with zero at the right-hand side of the face and infinity at the left-
hand side. There is only one jack provided on this particular multimeter for "ohms," so different resistance-
measuring ranges must be selected by the rotary switch. Notice on the switch how five different "multiplier"
settings are provided for measuring resistance: Rx1, Rx10, Rx100, Rx1000, and Rx10000. Just as you might
suspect, the meter indication is given by multiplying whatever needle position is shown on the meter face by
the power-of-ten multiplying factor set by the rotary switch.

Kelvin (4-wire) resistance measurement

Suppose we wished to measure the resistance of some component located a significant distance away from our
ohmmeter. Such a scenario would be problematic, because an ohmmeter measures all resistance in the circuit
loop, which includes the resistance of the wires (Rwire) connecting the ohmmeter to the component being
measured (Rsubject):

Usually, wire resistance is very small (only a few ohms per hundreds of feet, depending primarily on the gauge
(size) of the wire), but if the connecting wires are very long, and/or the component to be measured has a very
low resistance anyway, the measurement error introduced by wire resistance will be substantial.

An ingenious method of measuring the subject resistance in a situation like this involves the use of both an
ammeter and a voltmeter. We know from Ohm's Law that resistance is equal to voltage divided by current (R =
E/I). Thus, we should be able to determine the resistance of the subject component if we measure the current
going through it and the voltage dropped across it:
Current is the same at all points in the circuit, because it is a series loop. Because we're only measuring
voltage dropped across the subject resistance (and not the wires' resistances), though, the calculated
resistance is indicative of the subject component's resistance (Rsubject) alone.

Our goal, though, was to measure this subject resistance from a distance, so our voltmeter must be located
somewhere near the ammeter, connected across the subject resistance by another pair of wires containing
resistance:

At first it appears that we have lost any advantage of measuring resistance this way, because the voltmeter
now has to measure voltage through a long pair of (resistive) wires, introducing stray resistance back into the
measuring circuit again. However, upon closer inspection it is seen that nothing is lost at all, because the
voltmeter's wires carry miniscule current. Thus, those long lengths of wire connecting the voltmeter across the
subject resistance will drop insignificant amounts of voltage, resulting in a voltmeter indication that is very
nearly the same as if it were connected directly across the subject resistance:
Any voltage dropped across the main current-carrying wires will not be measured by the voltmeter, and so do
not factor into the resistance calculation at all. Measurement accuracy may be improved even further if the
voltmeter's current is kept to a minimum, either by using a high-quality (low full-scale current) movement
and/or a potentiometric (null-balance) system.

This method of measurement which avoids errors caused by wire resistance is called the Kelvin, or 4-wire
method. Special connecting clips called Kelvin clips are made to facilitate this kind of connection across a
subject resistance:

In regular, "alligator" style clips, both halves of the jaw are electrically common to each other, usually joined at
the hinge point. In Kelvin clips, the jaw halves are insulated from each other at the hinge point, only contacting
at the tips where they clasp the wire or terminal of the subject being measured. Thus, current through the "C"
("current") jaw halves does not go through the "P" ("potential," or voltage) jaw halves, and will not create any
error-inducing voltage drop along their length:
The same principle of using different contact points for current conduction and voltage measurement is used in
precision shunt resistors for measuring large amounts of current. As discussed previously, shunt resistors
function as current measurement devices by dropping a precise amount of voltage for every amp of current
through them, the voltage drop being measured by a voltmeter. In this sense, a precision shunt resistor
"converts" a current value into a proportional voltage value. Thus, current may be accurately measured by
measuring voltage dropped across the shunt:

Current measurement using a shunt resistor and voltmeter is particularly well-suited for applications involving
particularly large magnitudes of current. In such applications, the shunt resistor's resistance will likely be in the
order of milliohms or microohms, so that only a modest amount of voltage will be dropped at full current.
Resistance this low is comparable to wire connection resistance, which means voltage measured across such a
shunt must be done so in such a way as to avoid detecting voltage dropped across the current-carrying wire
connections, lest huge measurement errors be induced. In order that the voltmeter measure only the voltage
dropped by the shunt resistance itself, without any stray voltages originating from wire or connection
resistance, shunts are usually equipped with four connection terminals:
In metrological (metrology = "the science of measurement") applications, where accuracy is of paramount
importance, highly precise "standard" resistors are also equipped with four terminals: two for carrying the
measured current, and two for conveying the resistor's voltage drop to the voltmeter. This way, the voltmeter
only measures voltage dropped across the precision resistance itself, without any stray voltages dropped
across current-carrying wires or wire-to-terminal connection resistances.

The following photograph shows a precision standard resistor of 1 Ω value immersed in a temperature-
controlled oil bath with a few other standard resistors. Note the two large, outer terminals for current, and the
two small connection terminals for voltage:
Here is another, older (pre-World War II) standard resistor of German manufacture. This unit has a resistance
of 0.001 Ω, and again the four terminal connection points can be seen as black knobs (metal pads underneath
each knob for direct metal-to-metal connection with the wires), two large knobs for securing the current-
carrying wires, and two smaller knobs for securing the voltmeter ("potential") wires:

Appreciation is extended to the Fluke Corporation in Everett, Washington for allowing me to photograph these
expensive and somewhat rare standard resistors in their primary standards laboratory.

It should be noted that resistance measurement using both an ammeter and a voltmeter is subject to
compound error. Because the accuracy of both instruments factors in to the final result, the overall
measurement accuracy may be worse than either instrument considered alone. For instance, if the ammeter is
accurate to +/- 1% and the voltmeter is also accurate to +/- 1%, any measurement dependent on the
indications of both instruments may be inaccurate by as much as +/- 2%.

Greater accuracy may be obtained by replacing the ammeter with a standard resistor, used as a current-
measuring shunt. There will still be compound error between the standard resistor and the voltmeter used to
measure voltage drop, but this will be less than with a voltmeter + ammeter arrangement because typical
standard resistor accuracy far exceeds typical ammeter accuracy. Using Kelvin clips to make connection with
the subject resistance, the circuit looks something like this:
All current-carrying wires in the above circuit are shown in "bold," to easily distinguish them from wires
connecting the voltmeter across both resistances (Rsubject and Rstandard). Ideally, a potentiometric voltmeter is
used to ensure as little current through the "potential" wires as possible.

Bridge circuits

No text on electrical metering could be called complete without a section on bridge circuits. These ingenious
circuits make use of a null-balance meter to compare two voltages, just like the laboratory balance scale
compares two weights and indicates when they're equal. Unlike the "potentiometer" circuit used to simply
measure an unknown voltage, bridge circuits can be used to measure all kinds of electrical values, not the least
of which being resistance.

The standard bridge circuit, often called a Wheatstone bridge, looks something like this:

When the voltage between point 1 and the negative side of the battery is equal to the voltage between point 2
and the negative side of the battery, the null detector will indicate zero and the bridge is said to be "balanced."
The bridge's state of balance is solely dependent on the ratios of Ra/Rb and R1/R2, and is quite independent of
the supply voltage (battery). To measure resistance with a Wheatstone bridge, an unknown resistance is
connected in the place of Ra or Rb, while the other three resistors are precision devices of known value. Either
of the other three resistors can be replaced or adjusted until the bridge is balanced, and when balance has
been reached the unknown resistor value can be determined from the ratios of the known resistances.

A requirement for this to be a measurement system is to have a set of variable resistors available whose
resistances are precisely known, to serve as reference standards. For example, if we connect a bridge circuit to
measure an unknown resistance Rx, we will have to know the exact values of the other three resistors at
balance to determine the value of Rx:

Each of the four resistances in a bridge circuit are referred to as arms. The resistor in series with the unknown
resistance Rx (this would be Ra in the above schematic) is commonly called the rheostat of the bridge, while the
other two resistors are called the ratio arms of the bridge.

Accurate and stable resistance standards, thankfully, are not that difficult to construct. In fact, they were some
of the first electrical "standard" devices made for scientific purposes. Here is a photograph of an antique
resistance standard unit:

This resistance standard shown here is variable in discrete steps: the amount of resistance between the
connection terminals could be varied with the number and pattern of removable copper plugs inserted into
sockets.

Wheatstone bridges are considered a superior means of resistance measurement to the series battery-
movement-resistor meter circuit discussed in the last section. Unlike that circuit, with all its nonlinearities
(logarithmic scale) and associated inaccuracies, the bridge circuit is linear (the mathematics describing its
operation are based on simple ratios and proportions) and quite accurate.
Given standard resistances of sufficient precision and a null detector device of sufficient sensitivity, resistance
measurement accuracies of at least +/- 0.05% are attainable with a Wheatstone bridge. It is the preferred
method of resistance measurement in calibration laboratories due to its high accuracy.

There are many variations of the basic Wheatstone bridge circuit. Most DC bridges are used to measure
resistance, while bridges powered by alternating current (AC) may be used to measure different electrical
quantities like inductance, capacitance, and frequency.

An interesting variation of the Wheatstone bridge is the Kelvin Double bridge, used for measuring very low
resistances (typically less than 1/10 of an ohm). Its schematic diagram is as such:

The low-value resistors are represented by thick-line symbols, and the wires connecting them to the voltage
source (carrying high current) are likewise drawn thickly in the schematic. This oddly-configured bridge is
perhaps best understood by beginning with a standard Wheatstone bridge set up for measuring low resistance,
and evolving it step-by-step into its final form in an effort to overcome certain problems encountered in the
standard Wheatstone configuration.

If we were to use a standard Wheatstone bridge to measure low resistance, it would look something like this:
When the null detector indicates zero voltage, we know that the bridge is balanced and that the ratios Ra/Rx
and RM/RN are mathematically equal to each other. Knowing the values of Ra, RM, and RN therefore provides us
with the necessary data to solve for Rx . . . almost.

We have a problem, in that the connections and connecting wires between Ra and Rx possess resistance as
well, and this stray resistance may be substantial compared to the low resistances of Ra and Rx. These stray
resistances will drop substantial voltage, given the high current through them, and thus will affect the null
detector's indication and thus the balance of the bridge:
Since we don't want to measure these stray wire and connection resistances, but only measure Rx, we must
find some way to connect the null detector so that it won't be influenced by voltage dropped across them. If we
connect the null detector and RM/RN ratio arms directly across the ends of Ra and Rx, this gets us closer to a
practical solution:

Now the top two Ewire voltage drops are of no effect to the null detector, and do not influence the accuracy of
Rx's resistance measurement. However, the two remaining Ewire voltage drops will cause problems, as the wire
connecting the lower end of Ra with the top end of Rx is now shunting across those two voltage drops, and will
conduct substantial current, introducing stray voltage drops along its own length as well.

Knowing that the left side of the null detector must connect to the two near ends of Ra and Rx in order to avoid
introducing those Ewire voltage drops into the null detector's loop, and that any direct wire connecting those
ends of Ra and Rx will itself carry substantial current and create more stray voltage drops, the only way out of
this predicament is to make the connecting path between the lower end of Ra and the upper end of Rx
substantially resistive:
We can manage the stray voltage drops between Ra and Rx by sizing the two new resistors so that their ratio
from upper to lower is the same ratio as the two ratio arms on the other side of the null detector. This is why
these resistors were labeled Rm and Rn in the original Kelvin Double bridge schematic: to signify their
proportionality with RM and RN:

With ratio Rm/Rn set equal to ratio RM/RN, rheostat arm resistor Ra is adjusted until the null detector indicates
balance, and then we can say that Ra/Rx is equal to RM/RN, or simply find Rx by the following equation:
The actual balance equation of the Kelvin Double bridge is as follows (Rwire is the resistance of the thick,
connecting wire between the low-resistance standard Ra and the test resistance Rx):

So long as the ratio between RM and RN is equal to the ratio between Rm and Rn, the balance equation is no
more complex than that of a regular Wheatstone bridge, with Rx/Ra equal to RN/RM, because the last term in
the equation will be zero, canceling the effects of all resistances except Rx, Ra, RM, and RN.

In many Kelvin Double bridge circuits, RM=Rm and RN=Rn. However, the lower the resistances of Rm and Rn, the
more sensitive the null detector will be, because there is less resistance in series with it. Increased detector
sensitivity is good, because it allows smaller imbalances to be detected, and thus a finer degree of bridge
balance to be attained. Therefore, some high-precision Kelvin Double bridges use Rm and Rn values as low as
1/100 of their ratio arm counterparts (RM and RN, respectively). Unfortunately, though, the lower the values of
Rm and Rn, the more current they will carry, which will increase the effect of any junction resistances present
where Rm and Rn connect to the ends of Ra and Rx. As you can see, high instrument accuracy demands that all
error-producing factors be taken into account, and often the best that can be achieved is a compromise
minimizing two or more different kinds of errors.

• REVIEW:
• Bridge circuits rely on sensitive null-voltage meters to compare two voltages for equality.
• A Wheatstone bridge can be used to measure resistance by comparing unknown resistor against
precision resistors of known value, much like a laboratory scale measures an unknown weight by
comparing it against known standard weights.
• A Kelvin Double bridge is a variant of the Wheatstone bridge used for measuring very low resistances.
Its additional complexity over the basic Wheatstone design is necessary for avoiding errors otherwise
incurred by stray resistances along the current path between the low-resistance standard and the
resistance being measured.

Wattmeter design

Power in an electric circuit is the product (multiplication) of voltage and current, so any meter designed to
measure power must account for both of these variables.

A special meter movement designed especially for power measurement is called the dynamometer movement,
and is similar to a D'Arsonval or Weston movement in that a lightweight coil of wire is attached to the pointer
mechanism. However, unlike the D'Arsonval or Weston movement, another (stationary) coil is used instead of
a permanent magnet to provide the magnetic field for the moving coil to react against. The moving coil is
generally energized by the voltage in the circuit, while the stationary coil is generally energized by the current
in the circuit. A dynamometer movement connected in a circuit looks something like this:
The top (horizontal) coil of wire measures load current while the bottom (vertical) coil measures load voltage.
Just like the lightweight moving coils of voltmeter movements, the (moving) voltage coil of a dynamometer is
typically connected in series with a range resistor so that full load voltage is not applied to it. Likewise, the
(stationary) current coil of a dynamometer may have precision shunt resistors to divide the load current
around it. With custom-built dynamometer movements, shunt resistors are less likely to be needed because
the stationary coil can be constructed with as heavy of wire as needed without impacting meter response,
unlike the moving coil which must be constructed of lightweight wire for minimum inertia.

• REVIEW:
• Wattmeters are often designed around dynamometer meter movements, which employ both voltage
and current coils to move a needle.

Creating custom calibration resistances

Often in the course of designing and building electrical meter circuits, it is necessary to have precise
resistances to obtain the desired range(s). More often than not, the resistance values required cannot be found
in any manufactured resistor unit and therefore must be built by you.

One solution to this dilemma is to make your own resistor out of a length of special high-resistance wire.
Usually, a small "bobbin" is used as a form for the resulting wire coil, and the coil is wound in such a way as to
eliminate any electromagnetic effects: the desired wire length is folded in half, and the looped wire wound
around the bobbin so that current through the wire winds clockwise around the bobbin for half the wire's
length, then counter-clockwise for the other half. This is known as a bifilar winding. Any magnetic fields
generated by the current are thus canceled, and external magnetic fields cannot induce any voltage in the
resistance wire coil:
As you might imagine, this can be a labor-intensive process, especially if more than one resistor must be built!
Another, easier solution to the dilemma of a custom resistance is to connect multiple fixed-value resistors
together in series-parallel fashion to obtain the desired value of resistance. This solution, although potentially
time-intensive in choosing the best resistor values for making the first resistance, can be duplicated much
faster for creating multiple custom resistances of the same value:

A disadvantage of either technique, though, is the fact that both result in a fixed resistance value. In a perfect
world where meter movements never lose magnetic strength of their permanent magnets, where temperature
and time have no effect on component resistances, and where wire connections maintain zero resistance
forever, fixed-value resistors work quite well for establishing the ranges of precision instruments. However, in
the real world, it is advantageous to have the ability to calibrate, or adjust, the instrument in the future.

It makes sense, then, to use potentiometers (connected as rheostats, usually) as variable resistances for range
resistors. The potentiometer may be mounted inside the instrument case so that only a service technician has
access to change its value, and the shaft may be locked in place with thread-fastening compound (ordinary nail
polish works well for this!) so that it will not move if subjected to vibration.

However, most potentiometers provide too large a resistance span over their mechanically-short movement
range to allow for precise adjustment. Suppose you desired a resistance of 8.335 kΩ +/- 1 Ω, and wanted to
use a 10 kΩ potentiometer (rheostat) to obtain it. A precision of 1 Ω out of a span of 10 kΩ is 1 part in 10,000,
or 1/100 of a percent! Even with a 10-turn potentiometer, it will be very difficult to adjust it to any value this
finely. Such a feat would be nearly impossible using a standard 3/4 turn potentiometer. So how can we get the
resistance value we need and still have room for adjustment?

The solution to this problem is to use a potentiometer as part of a larger resistance network which will create a
limited adjustment range. Observe the following example:
Here, the 1 kΩ potentiometer, connected as a rheostat, provides by itself a 1 kΩ span (a range of 0 Ω to 1
kΩ). Connected in series with an 8 kΩ resistor, this offsets the total resistance by 8,000 Ω, giving an
adjustable range of 8 kΩ to 9 kΩ. Now, a precision of +/- 1 Ω represents 1 part in 1000, or 1/10 of a percent
of potentiometer shaft motion. This is ten times better, in terms of adjustment sensitivity, than what we had
using a 10 kΩ potentiometer.

If we desire to make our adjustment capability even more precise -- so we can set the resistance at 8.335 kΩ
with even greater precision -- we may reduce the span of the potentiometer by connecting a fixed-value
resistor in parallel with it:

Now, the calibration span of the resistor network is only 500 Ω, from 8 kΩ to 8.5 kΩ. This makes a precision of
+/- 1 Ω equal to 1 part in 500, or 0.2 percent. The adjustment is now half as sensitive as it was before the
addition of the parallel resistor, facilitating much easier calibration to the target value. The adjustment will not
be linear, unfortunately (halfway on the potentiometer's shaft position will not result in 8.25 kΩ total
resistance, but rather 8.333 kΩ). Still, it is an improvement in terms of sensitivity, and it is a practical solution
to our problem of building an adjustable resistance for a precision instrument!

Analog and digital signals

Instrumentation is a field of study and work centering on measurement and control of physical processes.
These physical processes include pressure, temperature, flow rate, and chemical consistency. An instrument is
a device that measures and/or acts to control any kind of physical process. Due to the fact that electrical
quantities of voltage and current are easy to measure, manipulate, and transmit over long distances, they are
widely used to represent such physical variables and transmit the information to remote locations.
A signal is any kind of physical quantity that conveys information. Audible speech is certainly a kind of signal,
as it conveys the thoughts (information) of one person to another through the physical medium of sound. Hand
gestures are signals, too, conveying information by means of light. This text is another kind of signal,
interpreted by your English-trained mind as information about electric circuits. In this chapter, the word signal
will be used primarily in reference to an electrical quantity of voltage or current that is used to represent or
signify some other physical quantity.

An analog signal is a kind of signal that is continuously variable, as opposed to having a limited number of
steps along its range (called digital). A well-known example of analog vs. digital is that of clocks: analog being
the type with pointers that slowly rotate around a circular scale, and digital being the type with decimal
number displays or a "second-hand" that jerks rather than smoothly rotates. The analog clock has no physical
limit to how finely it can display the time, as its "hands" move in a smooth, pauseless fashion. The digital
clock, on the other hand, cannot convey any unit of time smaller than what its display will allow for. The type
of clock with a "second-hand" that jerks in 1-second intervals is a digital device with a minimum resolution of
one second.

Both analog and digital signals find application in modern electronics, and the distinctions between these two
basic forms of information is something to be covered in much greater detail later in this book. For now, I will
limit the scope of this discussion to analog signals, since the systems using them tend to be of simpler design.

With many physical quantities, especially electrical, analog variability is easy to come by. If such a physical
quantity is used as a signal medium, it will be able to represent variations of information with almost unlimited
resolution.

In the early days of industrial instrumentation, compressed air was used as a signaling medium to convey
information from measuring instruments to indicating and controlling devices located remotely. The amount of
air pressure corresponded to the magnitude of whatever variable was being measured. Clean, dry air at
approximately 20 pounds per square inch (PSI) was supplied from an air compressor through tubing to the
measuring instrument and was then regulated by that instrument according to the quantity being measured to
produce a corresponding output signal. For example, a pneumatic (air signal) level "transmitter" device set up
to measure height of water (the "process variable") in a storage tank would output a low air pressure when the
tank was empty, a medium pressure when the tank was partially full, and a high pressure when the tank was
completely full.

The "water level indicator" (LI) is nothing more than a pressure gauge measuring the air pressure in the
pneumatic signal line. This air pressure, being a signal, is in turn a representation of the water level in the
tank. Any variation of level in the tank can be represented by an appropriate variation in the pressure of the
pneumatic signal. Aside from certain practical limits imposed by the mechanics of air pressure devices, this
pneumatic signal is infinitely variable, able to represent any degree of change in the water's level, and is
therefore analog in the truest sense of the word.

Crude as it may appear, this kind of pneumatic signaling system formed the backbone of many industrial
measurement and control systems around the world, and still sees use today due to its simplicity, safety, and
reliability. Air pressure signals are easily transmitted through inexpensive tubes, easily measured (with
mechanical pressure gauges), and are easily manipulated by mechanical devices using bellows, diaphragms,
valves, and other pneumatic devices. Air pressure signals are not only useful for measuring physical processes,
but for controlling them as well. With a large enough piston or diaphragm, a small air pressure signal can be
used to generate a large mechanical force, which can be used to move a valve or other controlling device.
Complete automatic control systems have been made using air pressure as the signal medium. They are
simple, reliable, and relatively easy to understand. However, the practical limits for air pressure signal
accuracy can be too limiting in some cases, especially when the compressed air is not clean and dry, and when
the possibility for tubing leaks exist.

With the advent of solid-state electronic amplifiers and other technological advances, electrical quantities of
voltage and current became practical for use as analog instrument signaling media. Instead of using pneumatic
pressure signals to relay information about the fullness of a water storage tank, electrical signals could relay
that same information over thin wires (instead of tubing) and not require the support of such expensive
equipment as air compressors to operate:

Analog electronic signals are still the primary kinds of signals used in the instrumentation world today (January
of 2001), but it is giving way to digital modes of communication in many applications (more on that subject
later). Despite changes in technology, it is always good to have a thorough understanding of fundamental
principles, so the following information will never really become obsolete.

One important concept applied in many analog instrumentation signal systems is that of "live zero," a standard
way of scaling a signal so that an indication of 0 percent can be discriminated from the status of a "dead"
system. Take the pneumatic signal system as an example: if the signal pressure range for transmitter and
indicator was designed to be 0 to 12 PSI, with 0 PSI representing 0 percent of process measurement and 12
PSI representing 100 percent, a received signal of 0 percent could be a legitimate reading of 0 percent
measurement or it could mean that the system was malfunctioning (air compressor stopped, tubing broken,
transmitter malfunctioning, etc.). With the 0 percent point represented by 0 PSI, there would be no easy way
to distinguish one from the other.

If, however, we were to scale the instruments (transmitter and indicator) to use a scale of 3 to 15 PSI, with 3
PSI representing 0 percent and 15 PSI representing 100 percent, any kind of a malfunction resulting in zero air
pressure at the indicator would generate a reading of -25 percent (0 PSI), which is clearly a faulty value. The
person looking at the indicator would then be able to immediately tell that something was wrong.

Not all signal standards have been set up with live zero baselines, but the more robust signals standards (3-15
PSI, 4-20 mA) have, and for good reason.

• REVIEW:
• A signal is any kind of detectable quantity used to communicate information.
• An analog signal is a signal that can be continuously, or infinitely, varied to represent any small
amount of change.
• Pneumatic, or air pressure, signals used to be used predominately in industrial instrumentation signal
systems. This has been largely superseded by analog electrical signals such as voltage and current.
• A live zero refers to an analog signal scale using a non-zero quantity to represent 0 percent of real-
world measurement, so that any system malfunction resulting in a natural "rest" state of zero signal
pressure, voltage, or current can be immediately recognized.
Voltage signal systems

The use of variable voltage for instrumentation signals seems a rather obvious option to explore. Let's see how
a voltage signal instrument might be used to measure and relay information about water tank level:

The "transmitter" in this diagram contains its own precision regulated source of voltage, and the potentiometer
setting is varied by the motion of a float inside the water tank following the water level. The "indicator" is
nothing more than a voltmeter with a scale calibrated to read in some unit height of water (inches, feet,
meters) instead of volts.

As the water tank level changes, the float will move. As the float moves, the potentiometer wiper will
correspondingly be moved, dividing a different proportion of the battery voltage to go across the two-conductor
cable and on to the level indicator. As a result, the voltage received by the indicator will be representative of
the level of water in the storage tank.

This elementary transmitter/indicator system is reliable and easy to understand, but it has its limitations.
Perhaps greatest is the fact that the system accuracy can be influenced by excessive cable resistance.
Remember that real voltmeters draw small amounts of current, even though it is ideal for a voltmeter not to
draw any current at all. This being the case, especially for the kind of heavy, rugged analog meter movement
likely used for an industrial-quality system, there will be a small amount of current through the 2-conductor
cable wires. The cable, having a small amount of resistance along its length, will consequently drop a small
amount of voltage, leaving less voltage across the indicator's leads than what is across the leads of the
transmitter. This loss of voltage, however small, constitutes an error in measurement:
Resistor symbols have been added to the wires of the cable to show what is happening in a real system. Bear
in mind that these resistances can be minimized with heavy-gauge wire (at additional expense) and/or their
effects mitigated through the use of a high-resistance (null-balance?) voltmeter for an indicator (at additional
complexity).

Despite this inherent disadvantage, voltage signals are still used in many applications because of their extreme
design simplicity. One common signal standard is 0-10 volts, meaning that a signal of 0 volts represents 0
percent of measurement, 10 volts represents 100 percent of measurement, 5 volts represents 50 percent of
measurement, and so on. Instruments designed to output and/or accept this standard signal range are
available for purchase from major manufacturers. A more common voltage range is 1-5 volts, which makes use
of the "live zero" concept for circuit fault indication.

• REVIEW:
• DC voltage can be used as an analog signal to relay information from one location to another.
• A major disadvantage of voltage signaling is the possibility that the voltage at the indicator
(voltmeter) will be less than the voltage at the signal source, due to line resistance and indicator
current draw. This drop in voltage along the conductor length constitutes a measurement error from
transmitter to indicator.

Current signal systems

It is possible through the use of electronic amplifiers to design a circuit outputting a constant amount of
current rather than a constant amount of voltage. This collection of components is collectively known as a
current source, and its symbol looks like this:

A current source generates as much or as little voltage as needed across its leads to produce a constant
amount of current through it. This is just the opposite of a voltage source (an ideal battery), which will output
as much or as little current as demanded by the external circuit in maintaining its output voltage constant.
Following the "conventional flow" symbology typical of electronic devices, the arrow points against the direction
of electron motion. Apologies for this confusing notation: another legacy of Benjamin Franklin's false
assumption of electron flow!

Current sources can be built as variable devices, just like voltage sources, and they can be designed to produce
very precise amounts of current. If a transmitter device were to be constructed with a variable current source
instead of a variable voltage source, we could design an instrumentation signal system based on current
instead of voltage:

The internal workings of the transmitter's current source need not be a concern at this point, only the fact that
its output varies in response to changes in the float position, just like the potentiometer setup in the voltage
signal system varied voltage output according to float position.

Notice now how the indicator is an ammeter rather than a voltmeter (the scale calibrated in inches, feet, or
meters of water in the tank, as always). Because the circuit is a series configuration (accounting for the cable
resistances), current will be precisely equal through all components. With or without cable resistance, the
current at the indicator is exactly the same as the current at the transmitter, and therefore there is no error
incurred as there might be with a voltage signal system. This assurance of zero signal degradation is a decided
advantage of current signal systems over voltage signal systems.

The most common current signal standard in modern use is the 4 to 20 milliamp (4-20 mA) loop, with 4
milliamps representing 0 percent of measurement, 20 milliamps representing 100 percent, 12 milliamps
representing 50 percent, and so on. A convenient feature of the 4-20 mA standard is its ease of signal
conversion to 1-5 volt indicating instruments. A simple 250 ohm precision resistor connected in series with the
circuit will produce 1 volt of drop at 4 milliamps, 5 volts of drop at 20 milliamps, etc:
----------------------------------------
| Percent of | 4-20 mA | 1-5 V |
| measurement | signal | signal |
----------------------------------------
| 0 | 4.0 mA | 1.0 V |
----------------------------------------
| 10 | 5.6 mA | 1.4 V |
----------------------------------------
| 20 | 7.2 mA | 1.8 V |
----------------------------------------
| 25 | 8.0 mA | 2.0 V |
----------------------------------------
| 30 | 8.8 mA | 2.2 V |
----------------------------------------
| 40 | 10.4 mA | 2.6 V |
----------------------------------------
| 50 | 12.0 mA | 3.0 V |
----------------------------------------
| 60 | 13.6 mA | 3.4 V |
----------------------------------------
| 70 | 15.2 mA | 3.8 V |
----------------------------------------
| 75 | 16.0 mA | 4.0 V |
---------------------------------------
| 80 | 16.8 mA | 4.2 V |
----------------------------------------
| 90 | 18.4 mA | 4.6 V |
----------------------------------------
| 100 | 20.0 mA | 5.0 V |
----------------------------------------

The current loop scale of 4-20 milliamps has not always been the standard for current instruments: for a while
there was also a 10-50 milliamp standard, but that standard has since been obsoleted. One reason for the
eventual supremacy of the 4-20 milliamp loop was safety: with lower circuit voltages and lower current levels
than in 10-50 mA system designs, there was less chance for personal shock injury and/or the generation of
sparks capable of igniting flammable atmospheres in certain industrial environments.

• REVIEW:
• A current source is a device (usually constructed of several electronic components) that outputs a
constant amount of current through a circuit, much like a voltage source (ideal battery) outputting a
constant amount of voltage to a circuit.
• A current "loop" instrumentation circuit relies on the series circuit principle of current being equal
through all components to insure no signal error due to wiring resistance.
• The most common analog current signal standard in modern use is the "4 to 20 milliamp current
loop."

Tachogenerators

An electromechanical generator is a device capable of producing electrical power from

mechanical energy, usually the turning of a shaft. When not connected to a load resistance,
generators will generate voltage roughly proportional to shaft speed. With precise
construction and design, generators can be built to produce very precise voltages for certain
ranges of shaft speeds, thus making them well-suited as measurement devices for shaft speed
in mechanical equipment. A generator specially designed and constructed for this use is
called a tachometer or tachogenerator. Often, the word "tach" (pronounced "tack") is used
rather than the whole word.

By measuring the voltage produced by a tachogenerator, you can easily determine the
rotational speed of whatever it's mechanically attached to. One of the more common voltage
signal ranges used with tachogenerators is 0 to 10 volts. Obviously, since a tachogenerator
cannot produce voltage when it's not turning, the zero cannot be "live" in this signal standard.
Tachogenerators can be purchased with different "full-scale" (10 volt) speeds for different
applications. Although a voltage divider could theoretically be used with a tachogenerator to
extend the measurable speed range in the 0-10 volt scale, it is not advisable to significantly
overspeed a precision instrument like this, or its life will be shortened.

Tachogenerators can also indicate the direction of rotation by the polarity of the output
voltage. When a permanent-magnet style DC generator's rotational direction is reversed, the
polarity of its output voltage will switch. In measurement and control systems where
directional indication is needed, tachogenerators provide an easy way to determine that.

Tachogenerators are frequently used to measure the speeds of electric motors, engines, and
the equipment they power: conveyor belts, machine tools, mixers, fans, etc.

Thermocouples

An interesting phenomenon applied in the field of instrumentation is the Seebeck effect, which is the
production of a small voltage across the length of a wire due to a difference in temperature along that wire.
This effect is most easily observed and applied with a junction of two dissimilar metals in contact, each metal
producing a different Seebeck voltage along its length, which translates to a voltage between the two
(unjoined) wire ends. Most any pair of dissimilar metals will produce a measurable voltage when their junction
is heated, some combinations of metals producing more voltage per degree of temperature than others:

The Seebeck effect is fairly linear; that is, the voltage produced by a heated junction of two wires is directly
proportional to the temperature. This means that the temperature of the metal wire junction can be
determined by measuring the voltage produced. Thus, the Seebeck effect provides for us an electric method of
temperature measurement.

When a pair of dissimilar metals are joined together for the purpose of measuring temperature, the device
formed is called a thermocouple. Thermocouples made for instrumentation use metals of high purity for an
accurate temperature/voltage relationship (as linear and as predictable as possible).
Seebeck voltages are quite small, in the tens of millivolts for most temperature ranges. This makes them
somewhat difficult to measure accurately. Also, the fact that any junction between dissimilar metals will
produce temperature-dependent voltage creates a problem when we try to connect the thermocouple to a
voltmeter, completing a circuit:

The second iron/copper junction formed by the connection between the thermocouple and the meter on the top
wire will produce a temperature-dependent voltage opposed in polarity to the voltage produced at the
measurement junction. This means that the voltage between the voltmeter's copper leads will be a function of
the difference in temperature between the two junctions, and not the temperature at the measurement
junction alone. Even for thermocouple types where copper is not one of the dissimilar metals, the combination
of the two metals joining the copper leads of the measuring instrument forms a junction equivalent to the
measurement junction:

This second junction is called the reference or cold junction, to distinguish it from the junction at the
measuring end, and there is no way to avoid having one in a thermocouple circuit. In some applications, a
differential temperature measurement between two points is required, and this inherent property of
thermocouples can be exploited to make a very simple measurement system.

However, in most applications the intent is to measure temperature at a single point only, and in these cases
the second junction becomes a liability to function.

Compensation for the voltage generated by the reference junction is typically performed by a special circuit
designed to measure temperature there and produce a corresponding voltage to counter the reference
junction's effects. At this point you may wonder, "If we have to resort to some other form of temperature
measurement just to overcome an idiosyncrasy with thermocouples, then why bother using thermocouples to
measure temperature at all? Why not just use this other form of temperature measurement, whatever it may
be, to do the job?" The answer is this: because the other forms of temperature measurement used for
reference junction compensation are not as robust or versatile as a thermocouple junction, but do the job of
measuring room temperature at the reference junction site quite well. For example, the thermocouple
measurement junction may be inserted into the 1800 degree (F) flue of a foundry holding furnace, while the
reference junction sits a hundred feet away in a metal cabinet at ambient temperature, having its temperature
measured by a device that could never survive the heat or corrosive atmosphere of the furnace.
The voltage produced by thermocouple junctions is strictly dependent upon temperature. Any current in a
thermocouple circuit is a function of circuit resistance in opposition to this voltage (I=E/R). In other words, the
relationship between temperature and Seebeck voltage is fixed, while the relationship between temperature
and current is variable, depending on the total resistance of the circuit. With heavy enough thermocouple
conductors, currents upwards of hundreds of amps can be generated from a single pair of thermocouple
junctions! (I've actually seen this in a laboratory experiment, using heavy bars of copper and copper/nickel
alloy to form the junctions and the circuit conductors.)

For measurement purposes, the voltmeter used in a thermocouple circuit is designed to have a very high
resistance so as to avoid any error-inducing voltage drops along the thermocouple wire. The problem of
voltage drop along the conductor length is even more severe here than with the DC voltage signals discussed
earlier, because here we only have a few millivolts of voltage produced by the junction. We simply cannot
spare to have even a single millivolt of drop along the conductor lengths without incurring serious temperature
measurement errors.

Ideally, then, current in a thermocouple circuit is zero. Early thermocouple indicating instruments made use of
null-balance potentiometric voltage measurement circuitry to measure the junction voltage. The early Leeds &
Northrup "Speedomax" line of temperature indicator/recorders were a good example of this technology. More
modern instruments use semiconductor amplifier circuits to allow the thermocouple's voltage signal to drive an
indication device with little or no current drawn in the circuit.

Thermocouples, however, can be built from heavy-gauge wire for low resistance, and connected in such a way
so as to generate very high currents for purposes other than temperature measurement. One such purpose is
electric power generation. By connecting many thermocouples in series, alternating hot/cold temperatures with
each junction, a device called a thermopile can be constructed to produce substantial amounts of voltage and
current:

With the left and right sets of junctions at the same temperature, the voltage at each junction will be equal and
the opposing polarities would cancel to a final voltage of zero. However, if the left set of junctions were heated
and the right set cooled, the voltage at each left junction would be greater than each right junction, resulting in
a total output voltage equal to the sum of all junction pair differentials. In a thermopile, this is exactly how
things are set up. A source of heat (combustion, strong radioactive substance, solar heat, etc.) is applied to
one set of junctions, while the other set is bonded to a heat sink of some sort (air- or water-cooled).
Interestingly enough, as electrons flow through an external load circuit connected to the thermopile, heat
energy is transferred from the hot junctions to the cold junctions, demonstrating another thermo-electric
phenomenon: the so-called Peltier Effect (electric current transferring heat energy).
Another application for thermocouples is in the measurement of average temperature between several
locations. The easiest way to do this is to connect several thermocouples in parallel with each other. Each
millivoltage signal produced by each thermocouple will tend to average out at the parallel junction point, the
voltage differences between the junctions' potentials dropped along the resistances of the thermocouple wire
lengths:

Unfortunately, though, the accurate averaging of these Seebeck voltage potentials relies on each
thermocouple's wire resistances being equal. If the thermocouples are located at different places and their
wires join in parallel at a single location, equal wire length will be unlikely. The thermocouple having the
greatest wire length from point of measurement to parallel connection point will tend to have the greatest
resistance, and will therefore have the least effect on the average voltage produced.

To help compensate for this, additional resistance can be added to each of the parallel thermocouple circuit
branches to make their respective resistances more equal. Without custom-sizing resistors for each branch (to
make resistances precisely equal between all the thermocouples), it is acceptable to simply install resistors
with equal values, significantly higher than the thermocouple wires' resistances so that those wire resistances
will have a much smaller impact on the total branch resistance. These resistors are called swamping resistors,
because their relatively high values overshadow or "swamp" the resistances of the thermocouple wires
themselves:
Because thermocouple junctions produce such low voltages, it is imperative that wire connections be very
clean and tight for accurate and reliable operation. Also, the location of the reference junction (the place where
the dissimilar-metal thermocouple wires join to standard copper) must be kept close to the measuring
instrument, to ensure that the instrument can accurately compensate for reference junction temperature.
Despite these seemingly restrictive requirements, thermocouples remain one of the most robust and popular
methods of industrial temperature measurement in modern use.

• REVIEW:
• The Seebeck Effect is the production of a voltage between two dissimilar, joined metals that is
proportional to the temperature of that junction.
• In any thermocouple circuit, there are two equivalent junctions formed between dissimilar metals. The
junction placed at the site of intended measurement is called the measurement junction, while the
other (single or equivalent) junction is called the reference junction.
• Two thermocouple junctions can be connected in opposition to each other to generate a voltage signal
proportional to differential temperature between the two junctions. A collection of junctions so
connected for the purpose of generating electricity is called a thermopile.
• When electrons flow through the junctions of a thermopile, heat energy is transferred from one set of
junctions to the other. This is known as the Peltier Effect.
• Multiple thermocouple junctions can be connected in parallel with each other to generate a voltage
signal representing the average temperature between the junctions. "Swamping" resistors may be
connected in series with each thermocouple to help maintain equality between the junctions, so the
resultant voltage will be more representative of a true average temperature.
• It is imperative that current in a thermocouple circuit be kept as low as possible for good
measurement accuracy. Also, all related wire connections should be clean and tight. Mere millivolts of
drop at any place in the circuit will cause substantial measurement errors.

pH measurement

A very important measurement in many liquid chemical processes (industrial, pharmaceutical, manufacturing,
food production, etc.) is that of pH: the measurement of hydrogen ion concentration in a liquid solution. A
solution with a low pH value is called an "acid," while one with a high pH is called a "caustic." The common pH
scale extends from 0 (strong acid) to 14 (strong caustic), with 7 in the middle representing pure water
(neutral):

pH is defined as follows: the lower-case letter "p" in pH stands for the negative common (base ten) logarithm,
while the upper-case letter "H" stands for the element hydrogen. Thus, pH is a logarithmic measurement of the
number of moles of hydrogen ions (H+) per liter of solution. Incidentally, the "p" prefix is also used with other
types of chemical measurements where a logarithmic scale is desired, pCO2 (Carbon Dioxide) and pO2
(Oxygen) being two such examples.

The logarithmic pH scale works like this: a solution with 10-12 moles of H+ ions per liter has a pH of 12; a
solution with 10-3 moles of H+ ions per liter has a pH of 3. While very uncommon, there is such a thing as an
acid with a pH measurement below 0 and a caustic with a pH above 14. Such solutions, understandably, are
quite concentrated and extremely reactive.

While pH can be measured by color changes in certain chemical powders (the "litmus strip" being a familiar
example from high school chemistry classes), continuous process monitoring and control of pH requires a more
sophisticated approach. The most common approach is the use of a specially-prepared electrode designed to
allow hydrogen ions in the solution to migrate through a selective barrier, producing a measurable potential
(voltage) difference proportional to the solution's pH:
The design and operational theory of pH electrodes is a very complex subject, explored only briefly here. What
is important to understand is that these two electrodes generate a voltage directly proportional to the pH of the
solution. At a pH of 7 (neutral), the electrodes will produce 0 volts between them. At a low pH (acid) a voltage
will be developed of one polarity, and at a high pH (caustic) a voltage will be developed of the opposite
polarity.

An unfortunate design constraint of pH electrodes is that one of them (called the measurement electrode) must
be constructed of special glass to create the ion-selective barrier needed to screen out hydrogen ions from all
the other ions floating around in the solution. This glass is chemically doped with lithium ions, which is what
makes it react electrochemically to hydrogen ions. Of course, glass is not exactly what you would call a
"conductor;" rather, it is an extremely good insulator. This presents a major problem if our intent is to
measure voltage between the two electrodes. The circuit path from one electrode contact, through the glass
barrier, through the solution, to the other electrode, and back through the other electrode's contact, is one of
extremely high resistance.

The other electrode (called the reference electrode) is made from a chemical solution of neutral (7) pH buffer
solution (usually potassium chloride) allowed to exchange ions with the process solution through a porous
separator, forming a relatively low resistance connection to the test liquid. At first, one might be inclined to
ask: why not just dip a metal wire into the solution to get an electrical connection to the liquid? The reason this
will not work is because metals tend to be highly reactive in ionic solutions and can produce a significant
voltage across the interface of metal-to-liquid contact. The use of a wet chemical interface with the measured
solution is necessary to avoid creating such a voltage, which of course would be falsely interpreted by any
measuring device as being indicative of pH.

Here is an illustration of the measurement electrode's construction. Note the thin, lithium-doped glass
membrane across which the pH voltage is generated:
Here is an illustration of the reference electrode's construction. The porous junction shown at the bottom of the
electrode is where the potassium chloride buffer and process liquid interface with each other:
The measurement electrode's purpose is to generate the voltage used to measure the solution's pH. This
voltage appears across the thickness of the glass, placing the silver wire on one side of the voltage and the
liquid solution on the other. The reference electrode's purpose is to provide the stable, zero-voltage connection
to the liquid solution so that a complete circuit can be made to measure the glass electrode's voltage. While
the reference electrode's connection to the test liquid may only be a few kilo-ohms, the glass electrode's
resistance may range from ten to nine hundred mega-ohms, depending on electrode design! Being that any
current in this circuit must travel through both electrodes' resistances (and the resistance presented by the
test liquid itself), these resistances are in series with each other and therefore add to make an even greater
total.

An ordinary analog or even digital voltmeter has much too low of an internal resistance to measure voltage in
such a high-resistance circuit. The equivalent circuit diagram of a typical pH probe circuit illustrates the
problem:
Even a very small circuit current traveling through the high resistances of each component in the circuit
(especially the measurement electrode's glass membrane), will produce relatively substantial voltage drops
across those resistances, seriously reducing the voltage seen by the meter. Making matters worse is the fact
that the voltage differential generated by the measurement electrode is very small, in the millivolt range
(ideally 59.16 millivolts per pH unit at room temperature). The meter used for this task must be very sensitive
and have an extremely high input resistance.

The most common solution to this measurement problem is to use an amplified meter with an extremely high
internal resistance to measure the electrode voltage, so as to draw as little current through the circuit as
possible. With modern semiconductor components, a voltmeter with an input resistance of up to 1017 Ω can be
built with little difficulty. Another approach, seldom seen in contemporary use, is to use a potentiometric "null-
balance" voltage measurement setup to measure this voltage without drawing any current from the circuit
under test. If a technician desired to check the voltage output between a pair of pH electrodes, this would
probably be the most practical means of doing so using only standard benchtop metering equipment:

As usual, the precision voltage supply would be adjusted by the technician until the null detector registered
zero, then the voltmeter connected in parallel with the supply would be viewed to obtain a voltage reading.
With the detector "nulled" (registering exactly zero), there should be zero current in the pH electrode circuit,
and therefore no voltage dropped across the resistances of either electrode, giving the real electrode voltage at
the voltmeter terminals.

Wiring requirements for pH electrodes tend to be even more severe than thermocouple wiring, demanding very
clean connections and short distances of wire (10 yards or less, even with gold-plated contacts and shielded
cable) for accurate and reliable measurement. As with thermocouples, however, the disadvantages of electrode
pH measurement are offset by the advantages: good accuracy and relative technical simplicity.

Few instrumentation technologies inspire the awe and mystique commanded by pH measurement, because it is
so widely misunderstood and difficult to troubleshoot. Without elaborating on the exact chemistry of pH
measurement, a few words of wisdom can be given here about pH measurement systems:

• All pH electrodes have a finite life, and that lifespan depends greatly on the type and severity of
service. In some applications, a pH electrode life of one month may be considered long, and in other
applications the same electrode(s) may be expected to last for over a year.
• Because the glass (measurement) electrode is responsible for generating the pH-proportional voltage,
it is the one to be considered suspect if the measurement system fails to generate sufficient voltage
change for a given change in pH (approximately 59 millivolts per pH unit), or fails to respond quickly
enough to a fast change in test liquid pH.
• If a pH measurement system "drifts," creating offset errors, the problem likely lies with the reference
electrode, which is supposed to provide a zero-voltage connection with the measured solution.
• Because pH measurement is a logarithmic representation of ion concentration, there is an incredible
range of process conditions represented in the seemingly simple 0-14 pH scale. Also, due to the
nonlinear nature of the logarithmic scale, a change of 1 pH at the top end (say, from 12 to 13 pH)
does not represent the same quantity of chemical activity change as a change of 1 pH at the bottom
end (say, from 2 to 3 pH). Control system engineers and technicians must be aware of this dynamic if
there is to be any hope of controlling process pH at a stable value.
• The following conditions are hazardous to measurement (glass) electrodes: high temperatures,
extreme pH levels (either acidic or alkaline), high ionic concentration in the liquid, abrasion,
hydrofluoric acid in the liquid (HF acid dissolves glass!), and any kind of material coating on the
surface of the glass.
• Temperature changes in the measured liquid affect both the response of the measurement electrode
to a given pH level (ideally at 59 mV per pH unit), and the actual pH of the liquid. Temperature
measurement devices can be inserted into the liquid, and the signals from those devices used to
 compensate for the effect of temperature on pH measurement, but this will only compensate for the
measurement electrode's mV/pH response, not the actual pH change of the process liquid!

Advances are still being made in the field of pH measurement, some of which hold great promise for
overcoming traditional limitations of pH electrodes. One such technology uses a device called a field-effect
transistor to electrostatically measure the voltage produced by a ion-permeable membrane rather than
measure the voltage with an actual voltmeter circuit. While this technology harbors limitations of its own, it is
at least a pioneering concept, and may prove more practical at a later date.

• REVIEW:
• pH is a representation of hydrogen ion activity in a liquid. It is the negative logarithm of the amount
of hydrogen ions (in moles) per liter of liquid. Thus: 10-11 moles of hydrogen ions in 1 liter of liquid =
11 pH. 10-5.3 moles of hydrogen ions in 1 liter of liquid = 5.3 pH.
• The basic pH scale extends from 0 (strong acid) to 7 (neutral, pure water) to 14 (strong caustic).
Chemical solutions with pH levels below zero and above 14 are possible, but rare.
• pH can be measured by measuring the voltage produced between two special electrodes immersed in
the liquid solution.
• One electrode, made of a special glass, is called the measurement electrode. It's job it to generate a
small voltage proportional to pH (ideally 59.16 mV per pH unit).
• The other electrode (called the reference electrode) uses a porous junction between the measured
liquid and a stable, neutral pH buffer solution (usually potassium chloride) to create a zero-voltage
electrical connection to the liquid. This provides a point of continuity for a complete circuit so that the
voltage produced across the thickness of the glass in the measurement electrode can be measured by
an external voltmeter.
• The extremely high resistance of the measurement electrode's glass membrane mandates the use of a
voltmeter with extremely high internal resistance, or a null-balance voltmeter, to measure the
voltage.

Strain gauges

If a strip of conductive metal is stretched, it will become skinnier and longer, both changes resulting in an
increase of electrical resistance end-to-end. Conversely, if a strip of conductive metal is placed under
compressive force (without buckling), it will broaden and shorten. If these stresses are kept within the elastic
limit of the metal strip (so that the strip does not permanently deform), the strip can be used as a measuring
element for physical force, the amount of applied force inferred from measuring its resistance.

Such a device is called a strain gauge. Strain gauges are frequently used in mechanical engineering research
and development to measure the stresses generated by machinery. Aircraft component testing is one area of
application, tiny strain-gauge strips glued to structural members, linkages, and any other critical component of
an airframe to measure stress. Most strain gauges are smaller than a postage stamp, and they look something
like this:

A strain gauge's conductors are very thin: if made of round wire, about 1/1000 inch in diameter. Alternatively,
strain gauge conductors may be thin strips of metallic film deposited on a nonconducting substrate material
called the carrier. The latter form of strain gauge is represented in the previous illustration. The name "bonded
gauge" is given to strain gauges that are glued to a larger structure under stress (called the test specimen).
The task of bonding strain gauges to test specimens may appear to be very simple, but it is not. "Gauging" is a
craft in its own right, absolutely essential for obtaining accurate, stable strain measurements. It is also possible
to use an unmounted gauge wire stretched between two mechanical points to measure tension, but this
technique has its limitations.

Typical strain gauge resistances range from 30 Ω to 3 kΩ (unstressed). This resistance may change only a
fraction of a percent for the full force range of the gauge, given the limitations imposed by the elastic limits of
the gauge material and of the test specimen. Forces great enough to induce greater resistance changes would
permanently deform the test specimen and/or the gauge conductors themselves, thus ruining the gauge as a
measurement device. Thus, in order to use the strain gauge as a practical instrument, we must measure
extremely small changes in resistance with high accuracy.

Such demanding precision calls for a bridge measurement circuit. Unlike the Wheatstone bridge shown in the
last chapter using a null-balance detector and a human operator to maintain a state of balance, a strain gauge
bridge circuit indicates measured strain by the degree of imbalance, and uses a precision voltmeter in the
center of the bridge to provide an accurate measurement of that imbalance:

Typically, the rheostat arm of the bridge (R2 in the diagram) is set at a value equal to the strain gauge
resistance with no force applied. The two ratio arms of the bridge (R1 and R3) are set equal to each other.
Thus, with no force applied to the strain gauge, the bridge will be symmetrically balanced and the voltmeter
will indicate zero volts, representing zero force on the strain gauge. As the strain gauge is either compressed
or tensed, its resistance will decrease or increase, respectively, thus unbalancing the bridge and producing an
indication at the voltmeter. This arrangement, with a single element of the bridge changing resistance in
response to the measured variable (mechanical force), is known as a quarter-bridge circuit.

As the distance between the strain gauge and the three other resistances in the bridge circuit may be
substantial, wire resistance has a significant impact on the operation of the circuit. To illustrate the effects of
wire resistance, I'll show the same schematic diagram, but add two resistor symbols in series with the strain
gauge to represent the wires:
The strain gauge's resistance (Rgauge) is not the only resistance being measured: the wire resistances Rwire1 and
Rwire2, being in series with Rgauge, also contribute to the resistance of the lower half of the rheostat arm of the
bridge, and consequently contribute to the voltmeter's indication. This, of course, will be falsely interpreted by
the meter as physical strain on the gauge.

While this effect cannot be completely eliminated in this configuration, it can be minimized with the addition of
a third wire, connecting the right side of the voltmeter directly to the upper wire of the strain gauge:

Because the third wire carries practically no current (due to the voltmeter's extremely high internal resistance),
its resistance will not drop any substantial amount of voltage. Notice how the resistance of the top wire (Rwire1)
has been "bypassed" now that the voltmeter connects directly to the top terminal of the strain gauge, leaving
only the lower wire's resistance (Rwire2) to contribute any stray resistance in series with the gauge. Not a
perfect solution, of course, but twice as good as the last circuit!

There is a way, however, to reduce wire resistance error far beyond the method just described, and also help
mitigate another kind of measurement error due to temperature. An unfortunate characteristic of strain gauges
is that of resistance change with changes in temperature. This is a property common to all conductors, some
more than others. Thus, our quarter-bridge circuit as shown (either with two or with three wires connecting the
gauge to the bridge) works as a thermometer just as well as it does a strain indicator. If all we want to do is
measure strain, this is not good. We can transcend this problem, however, by using a "dummy" strain gauge in
place of R2, so that both elements of the rheostat arm will change resistance in the same proportion when
temperature changes, thus canceling the effects of temperature change:

Resistors R1 and R3 are of equal resistance value, and the strain gauges are identical to one another. With no
applied force, the bridge should be in a perfectly balanced condition and the voltmeter should register 0 volts.
Both gauges are bonded to the same test specimen, but only one is placed in a position and orientation so as
to be exposed to physical strain (the active gauge). The other gauge is isolated from all mechanical stress, and
acts merely as a temperature compensation device (the "dummy" gauge). If the temperature changes, both
gauge resistances will change by the same percentage, and the bridge's state of balance will remain
unaffected. Only a differential resistance (difference of resistance between the two strain gauges) produced by
physical force on the test specimen can alter the balance of the bridge.

Wire resistance doesn't impact the accuracy of the circuit as much as before, because the wires connecting
both strain gauges to the bridge are approximately equal length. Therefore, the upper and lower sections of
the bridge's rheostat arm contain approximately the same amount of stray resistance, and their effects tend to
cancel:
Even though there are now two strain gauges in the bridge circuit, only one is responsive to mechanical strain,
and thus we would still refer to this arrangement as a quarter-bridge. However, if we were to take the upper
strain gauge and position it so that it is exposed to the opposite force as the lower gauge (i.e. when the upper
gauge is compressed, the lower gauge will be stretched, and visa-versa), we will have both gauges responding
to strain, and the bridge will be more responsive to applied force. This utilization is known as a half-bridge.
Since both strain gauges will either increase or decrease resistance by the same proportion in response to
changes in temperature, the effects of temperature change remain canceled and the circuit will suffer minimal
temperature-induced measurement error:

An example of how a pair of strain gauges may be bonded to a test specimen so as to yield this effect is
illustrated here:
With no force applied to the test specimen, both strain gauges have equal resistance and the bridge circuit is
balanced. However, when a downward force is applied to the free end of the specimen, it will bend downward,
stretching gauge #1 and compressing gauge #2 at the same time:

In applications where such complementary pairs of strain gauges can be bonded to the test specimen, it may
be advantageous to make all four elements of the bridge "active" for even greater sensitivity. This is called a
full-bridge circuit:
Both half-bridge and full-bridge configurations grant greater sensitivity over the quarter-bridge circuit, but
often it is not possible to bond complementary pairs of strain gauges to the test specimen. Thus, the quarter-
bridge circuit is frequently used in strain measurement systems.

When possible, the full-bridge configuration is the best to use. This is true not only because it is more sensitive
than the others, but because it is linear while the others are not. Quarter-bridge and half-bridge circuits
provide an output (imbalance) signal that is only approximately proportional to applied strain gauge force.
Linearity, or proportionality, of these bridge circuits is best when the amount of resistance change due to
applied force is very small compared to the nominal resistance of the gauge(s). With a full-bridge, however,
the output voltage is directly proportional to applied force, with no approximation (provided that the change in
resistance caused by the applied force is equal for all four strain gauges!).

Unlike the Wheatstone and Kelvin bridges, which provide measurement at a condition of perfect balance and
therefore function irrespective of source voltage, the amount of source (or "excitation") voltage matters in an
unbalanced bridge like this. Therefore, strain gauge bridges are rated in millivolts of imbalance produced per
volt of excitation, per unit measure of force. A typical example for a strain gauge of the type used for
measuring force in industrial environments is 15 mV/V at 1000 pounds. That is, at exactly 1000 pounds applied
force (either compressive or tensile), the bridge will be unbalanced by 15 millivolts for every volt of excitation
voltage. Again, such a figure is precise if the bridge circuit is full-active (four active strain gauges, one in each
arm of the bridge), but only approximate for half-bridge and quarter-bridge arrangements.

Strain gauges may be purchased as complete units, with both strain gauge elements and bridge resistors in
one housing, sealed and encapsulated for protection from the elements, and equipped with mechanical
fastening points for attachment to a machine or structure. Such a package is typically called a load cell.

Like many of the other topics addressed in this chapter, strain gauge systems can become quite complex, and
a full dissertation on strain gauges would be beyond the scope of this book.

• REVIEW:
• A strain gauge is a thin strip of metal designed to measure mechanical load by changing resistance
when stressed (stretched or compressed within its elastic limit).
• Strain gauge resistance changes are typically measured in a bridge circuit, to allow for precise
measurement of the small resistance changes, and to provide compensation for resistance variations
due to temperature.

What is network analysis?

Generally speaking, network analysis is any structured technique used to mathematically analyze a circuit (a
"network" of interconnected components). Quite often the technician or engineer will encounter circuits
containing multiple sources of power or component configurations which defy simplification by series/parallel
analysis techniques. In those cases, he or she will be forced to use other means. This chapter presents a few
techniques useful in analyzing such complex circuits.

To illustrate how even a simple circuit can defy analysis by breakdown into series and parallel portions, take
start with this series-parallel circuit:

To analyze the above circuit, one would first find the equivalent of R2 and R3 in parallel, then add R1 in series to
arrive at a total resistance. Then, taking the voltage of battery B1 with that total circuit resistance, the total
current could be calculated through the use of Ohm's Law (I=E/R), then that current figure used to calculate
voltage drops in the circuit. All in all, a fairly simple procedure.

However, the addition of just one more battery could change all of that:

Resistors R2 and R3 are no longer in parallel with each other, because B2 has been inserted into R3's branch of
the circuit. Upon closer inspection, it appears there are no two resistors in this circuit directly in series or
parallel with each other. This is the crux of our problem: in series-parallel analysis, we started off by
identifying sets of resistors that were directly in series or parallel with each other, and then reduce them to
single, equivalent resistances. If there are no resistors in a simple series or parallel configuration with each
other, then what can we do?

It should be clear that this seemingly simple circuit, with only three resistors, is impossible to reduce as a
combination of simple series and simple parallel sections: it is something different altogether. However, this is
not the only type of circuit defying series/parallel analysis:
Here we have a bridge circuit, and for the sake of example we will suppose that it is not balanced (ratio R1/R4
not equal to ratio R2/R5). If it were balanced, there would be zero current through R3, and it could be
approached as a series/parallel combination circuit (R1--R4 // R2--R5). However, any current through R3 makes
a series/parallel analysis impossible. R1 is not in series with R4 because there's another path for electrons to
flow through R3. Neither is R2 in series with R5 for the same reason. Likewise, R1 is not in parallel with R2
because R3 is separating their bottom leads. Neither is R4 in parallel with R5. Aaarrggghhhh!

Although it might not be apparent at this point, the heart of the problem is the existence of multiple unknown
quantities. At least in a series/parallel combination circuit, there was a way to find total resistance and total
voltage, leaving total current as a single unknown value to calculate (and then that current was used to satisfy
previously unknown variables in the reduction process until the entire circuit could be analyzed). With these
problems, more than one parameter (variable) is unknown at the most basic level of circuit simplification.

With the two-battery circuit, there is no way to arrive at a value for "total resistance," because there are two
sources of power to provide voltage and current (we would need two "total" resistances in order to proceed
with any Ohm's Law calculations). With the unbalanced bridge circuit, there is such a thing as total resistance
across the one battery (paving the way for a calculation of total current), but that total current immediately
splits up into unknown proportions at each end of the bridge, so no further Ohm's Law calculations for voltage
(E=IR) can be carried out.

So what can we do when we're faced with multiple unknowns in a circuit? The answer is initially found in a
mathematical process known as simultaneous equations or systems of equations, whereby multiple unknown
variables are solved by relating them to each other in multiple equations. In a scenario with only one unknown
(such as every Ohm's Law equation we've dealt with thus far), there only needs to be a single equation to
solve for the single unknown:

However, when we're solving for multiple unknown values, we need to have the same number of equations as
we have unknowns in order to reach a solution. There are several methods of solving simultaneous equations,
all rather intimidating and all too complex for explanation in this chapter. However, many scientific and
programmable calculators are able to solve for simultaneous unknowns, so it is recommended to use such a
calculator when first learning how to analyze these circuits.
This is not as scary as it may seem at first. Trust me!

Later on we'll see that some clever people have found tricks to avoid having to use simultaneous equations on
these types of circuits. We call these tricks network theorems, and we will explore a few later in this chapter.

• REVIEW:
• Some circuit configurations ("networks") cannot be solved by reduction according to series/parallel
circuit rules, due to multiple unknown values.
• Mathematical techniques to solve for multiple unknowns (called "simultaneous equations" or
"systems") can be applied to basic Laws of circuits to solve networks.

Branch current method

The first and most straightforward network analysis technique is called the Branch Current Method. In this
method, we assume directions of currents in a network, then write equations describing their relationships to
each other through Kirchhoff's and Ohm's Laws. Once we have one equation for every unknown current, we
can solve the simultaneous equations and determine all currents, and therefore all voltage drops in the
network.

Let's use this circuit to illustrate the method:

The first step is to choose a node (junction of wires) in the circuit to use as a point of reference for our
unknown currents. I'll choose the node joining the right of R1, the top of R2, and the left of R3.

At this node, guess which directions the three wires' currents take, labeling the three currents as I1, I2, and I3,
respectively. Bear in mind that these directions of current are speculative at this point. Fortunately, if it turns
out that any of our guesses were wrong, we will know when we mathematically solve for the currents (any
"wrong" current directions will show up as negative numbers in our solution).
Kirchhoff's Current Law (KCL) tells us that the algebraic sum of currents entering and exiting a node must
equal zero, so we can relate these three currents (I1, I2, and I3) to each other in a single equation. For the sake
of convention, I'll denote any current entering the node as positive in sign, and any current exiting the node as
negative in sign:

The next step is to label all voltage drop polarities across resistors according to the assumed directions of the
currents. Remember that the "upstream" end of a resistor will always be negative, and the "downstream" end
of a resistor positive with respect to each other, since electrons are negatively charged:

The battery polarities, of course, remain as they were according to their symbology (short end negative, long
end positive). It is okay if the polarity of a resistor's voltage drop doesn't match with the polarity of the nearest
battery, so long as the resistor voltage polarity is correctly based on the assumed direction of current through
it. In some cases we may discover that current will be forced backwards through a battery, causing this very
effect. The important thing to remember here is to base all your resistor polarities and subsequent calculations
on the directions of current(s) initially assumed. As stated earlier, if your assumption happens to be incorrect,
it will be apparent once the equations have been solved (by means of a negative solution). The magnitude of
the solution, however, will still be correct.

Kirchhoff's Voltage Law (KVL) tells us that the algebraic sum of all voltages in a loop must equal zero, so we
can create more equations with current terms (I1, I2, and I3) for our simultaneous equations. To obtain a KVL
equation, we must tally voltage drops in a loop of the circuit, as though we were measuring with a real
voltmeter. I'll choose to trace the left loop of this circuit first, starting from the upper-left corner and moving
counter-clockwise (the choice of starting points and directions is arbitrary). The result will look like this:
Having completed our trace of the left loop, we add these voltage indications together for a sum of zero:

Of course, we don't yet know what the voltage is across R1 or R2, so we can't insert those values into the
equation as numerical figures at this point. However, we do know that all three voltages must algebraically add
to zero, so the equation is true. We can go a step further and express the unknown voltages as the product of
the corresponding unknown currents (I1 and I2) and their respective resistors, following Ohm's Law (E=IR), as
well as eliminate the 0 term:

Since we know what the values of all the resistors are in ohms, we can just substitute those figures into the
equation to simplify things a bit:

You might be wondering why we went through all the trouble of manipulating this equation from its initial form
(-28 + ER2 + ER1). After all, the last two terms are still unknown, so what advantage is there to expressing
them in terms of unknown voltages or as unknown currents (multiplied by resistances)? The purpose in doing
this is to get the KVL equation expressed using the same unknown variables as the KCL equation, for this is a
necessary requirement for any simultaneous equation solution method. To solve for three unknown currents
(I1, I2, and I3), we must have three equations relating these three currents (not voltages!) together.

Applying the same steps to the right loop of the circuit (starting at the chosen node and moving counter-
clockwise), we get another KVL equation:
Knowing now that the voltage across each resistor can be and should be expressed as the product of the
corresponding current and the (known) resistance of each resistor, we can re-write the equation as such:

Now we have a mathematical system of three equations (one KCL equation and two KVL equations) and three
unknowns:

For some methods of solution (especially any method involving a calculator), it is helpful to express each
unknown term in each equation, with any constant value to the right of the equal sign, and with any "unity"
terms expressed with an explicit coefficient of 1. Re-writing the equations again, we have:
Using whatever solution techniques are available to us, we should arrive at a solution for the three unknown
current values:

So, I1 is 5 amps, I2 is 4 amps, and I3 is a negative 1 amp. But what does "negative" current mean? In this
case, it means that our assumed direction for I3 was opposite of its real direction. Going back to our original
circuit, we can re-draw the current arrow for I3 (and re-draw the polarity of R3's voltage drop to match):

Notice how current is being pushed backwards through battery 2 (electrons flowing "up") due to the higher
voltage of battery 1 (whose current is pointed "down" as it normally would)! Despite the fact that battery B2's
polarity is trying to push electrons down in that branch of the circuit, electrons are being forced backwards
through it due to the superior voltage of battery B1. Does this mean that the stronger battery will always "win"
and the weaker battery always get current forced through it backwards? No! It actually depends on both the
batteries' relative voltages and the resistor values in the circuit. The only sure way to determine what's going
on is to take the time to mathematically analyze the network.

Now that we know the magnitude of all currents in this circuit, we can calculate voltage drops across all
resistors with Ohm's Law (E=IR):

Let us now analyze this network using SPICE to verify our voltage figures. We could analyze current as well
with SPICE, but since that requires the insertion of extra components into the circuit, and because we know
that if the voltages are all the same and all the resistances are the same, the currents must all be the same, I'll
opt for the less complex analysis. Here's a re-drawing of our circuit, complete with node numbers for SPICE to
reference:
network analysis example
v1 1 0
v2 3 0 dc 7
r1 1 2 4
r2 2 0 2
r3 2 3 1
.dc v1 28 28 1
.print dc v(1,2) v(2,0) v(2,3)
.end

v1 v(1,2) v(2) v(2,3)

2.800E+01 2.000E+01 8.000E+00 1.000E+00

Sure enough, the voltage figures all turn out to be the same: 20 volts across R1 (nodes 1 and 2), 8 volts across
R2 (nodes 2 and 0), and 1 volt across R3 (nodes 2 and 3). Take note of the signs of all these voltage figures:
they're all positive values! SPICE bases its polarities on the order in which nodes are listed, the first node being
positive and the second node negative. For example, a figure of positive (+) 20 volts between nodes 1 and 2
means that node 1 is positive with respect to node 2. If the figure had come out negative in the SPICE
analysis, we would have known that our actual polarity was "backwards" (node 1 negative with respect to node
2). Checking the node orders in the SPICE listing, we can see that the polarities all match what we determined
through the Branch Current method of analysis.

• REVIEW:
• Steps to follow for the "Branch Current" method of analysis:
• (1) Choose a node and assume directions of currents.
• (2) Write a KCL equation relating currents at the node.
• (3) Label resistor voltage drop polarities based on assumed currents.
• (4) Write KVL equations for each loop of the circuit, substituting the product IR for E in each resistor
term of the equations.
• (5) Solve for unknown branch currents (simultaneous equations).
• (6) If any solution is negative, then the assumed direction of current for that solution is wrong!
• (7) Solve for voltage drops across all resistors (E=IR).

Mesh current method

The Mesh Current Method is quite similar to the Branch Current method in that it uses simultaneous equations,
Kirchhoff's Voltage Law, and Ohm's Law to determine unknown currents in a network. It differs from the
Branch Current method in that it does not use Kirchhoff's Current Law, and it is usually able to solve a circuit
with less unknown variables and less simultaneous equations, which is especially nice if you're forced to solve
without a calculator.
Let's see how this method works on the same example problem:

The first step in the Mesh Current method is to identify "loops" within the circuit encompassing all components.
In our example circuit, the loop formed by B1, R1, and R2 will be the first while the loop formed by B2, R2, and
R3 will be the second. The strangest part of the Mesh Current method is envisioning circulating currents in each
of the loops. In fact, this method gets its name from the idea of these currents meshing together between
loops like sets of spinning gears:

The choice of each current's direction is entirely arbitrary, just as in the Branch Current method, but the
resulting equations are easier to solve if the currents are going the same direction through intersecting
components (note how currents I1 and I2 are both going "up" through resistor R2, where they "mesh," or
intersect). If the assumed direction of a mesh current is wrong, the answer for that current will have a
negative value.

The next step is to label all voltage drop polarities across resistors according to the assumed directions of the
mesh currents. Remember that the "upstream" end of a resistor will always be negative, and the "downstream"
end of a resistor positive with respect to each other, since electrons are negatively charged. The battery
polarities, of course, are dictated by their symbol orientations in the diagram, and may or may not "agree" with
the resistor polarities (assumed current directions):
Using Kirchhoff's Voltage Law, we can now step around each of these loops, generating equations
representative of the component voltage drops and polarities. As with the Branch Current method, we will
denote a resistor's voltage drop as the product of the resistance (in ohms) and its respective mesh current
(that quantity being unknown at this point). Where two currents mesh together, we will write that term in the
equation with resistor current being the sum of the two meshing currents.

Tracing the left loop of the circuit, starting from the upper-left corner and moving counter-clockwise (the
choice of starting points and directions is ultimately irrelevant), counting polarity as if we had a voltmeter in
hand, red lead on the point ahead and black lead on the point behind, we get this equation:

Notice that the middle term of the equation uses the sum of mesh currents I1 and I2 as the current through
resistor R2. This is because mesh currents I1 and I2 are going the same direction through R2, and thus
complement each other. Distributing the coefficient of 2 to the I1 and I2 terms, and then combining I1 terms in
the equation, we can simplify as such:

At this time we have one equation with two unknowns. To be able to solve for two unknown mesh currents, we
must have two equations. If we trace the other loop of the circuit, we can obtain another KVL equation and
have enough data to solve for the two currents. Creature of habit that I am, I'll start at the upper-left hand
corner of the right loop and trace counter-clockwise:

Simplifying the equation as before, we end up with:

Now, with two equations, we can use one of several methods to mathematically solve for the unknown currents
I1 and I2:
Knowing that these solutions are values for mesh currents, not branch currents, we must go back to our
diagram to see how they fit together to give currents through all components:

The solution of -1 amp for I2 means that our initially assumed direction of current was incorrect. In actuality, I2
is flowing in a counter-clockwise direction at a value of (positive) 1 amp:

This change of current direction from what was first assumed will alter the polarity of the voltage drops across
R2 and R3 due to current I2. From here, we can say that the current through R1 is 5 amps, with the voltage drop
across R1 being the product of current and resistance (E=IR), 20 volts (positive on the left and negative on the
right). Also, we can safely say that the current through R3 is 1 amp, with a voltage drop of 1 volt (E=IR),
positive on the left and negative on the right. But what is happening at R2?
Mesh current I1 is going "up" through R2, while mesh current I2 is going "down" through R2. To determine the
actual current through R2, we must see how mesh currents I1 and I2 interact (in this case they're in
opposition), and algebraically add them to arrive at a final value. Since I1 is going "up" at 5 amps, and I2 is
going "down" at 1 amp, the real current through R2 must be a value of 4 amps, going "up:"

A current of 4 amps through R2's resistance of 2 Ω gives us a voltage drop of 8 volts (E=IR), positive on the
top and negative on the bottom.

The primary advantage of Mesh Current analysis is that it generally allows for the solution of a large network
with fewer unknown values and fewer simultaneous equations. Our example problem took three equations to
solve the Branch Current method and only two equations using the Mesh Current method. This advantage is
much greater as networks increase in complexity:

To solve this network using Branch Currents, we'd have to establish five variables to account for each and
every unique current in the circuit (I1 through I5). This would require five equations for solution, in the form of
two KCL equations and three KVL equations (two equations for KCL at the nodes, and three equations for KVL
in each loop):
I suppose if you have nothing better to do with your time than to solve for five unknown variables with five
equations, you might not mind using the Branch Current method of analysis for this circuit. For those of us who
have better things to do with our time, the Mesh Current method is a whole lot easier, requiring only three
unknowns and three equations to solve:

Less equations to work with is a decided advantage, especially when performing simultaneous equation
solution by hand (without a calculator).

Another type of circuit that lends itself well to Mesh Current is the unbalanced Wheatstone Bridge. Take this
circuit, for example:
Since the ratios of R1/R4 and R2/R5 are unequal, we know that there will be voltage across resistor R3, and
some amount of current through it. As discussed at the beginning of this chapter, this type of circuit is
irreducible by normal series-parallel analysis, and may only be analyzed by some other method.

We could apply the Branch Current method to this circuit, but it would require six currents (I1 through I6),
leading to a very large set of simultaneous equations to solve. Using the Mesh Current method, though, we
may solve for all currents and voltages with much fewer variables.

The first step in the Mesh Current method is to draw just enough mesh currents to account for all components
in the circuit. Looking at our bridge circuit, it should be obvious where to place two of these currents:

The directions of these mesh currents, of course, is arbitrary. However, two mesh currents is not enough in
this circuit, because neither I1 nor I2 goes through the battery. So, we must add a third mesh current, I3:
Here, I have chosen I3 to loop from the bottom side of the battery, through R4, through R1, and back to the top
side of the battery. This is not the only path I could have chosen for I3, but it seems the simplest.

Now, we must label the resistor voltage drop polarities, following each of the assumed currents' directions:

Notice something very important here: at resistor R4, the polarities for the respective mesh currents do not
agree. This is because those mesh currents (I2 and I3) are going through R4 in different directions. Normally,
we try to avoid this when establishing our mesh current directions, but in a bridge circuit it is unavoidable: two
of the mesh currents will inevitably clash through a component. This does not preclude the use of the Mesh
Current method of analysis, but it does complicate it a bit.

Generating a KVL equation for the top loop of the bridge, starting from the top node and tracing in a clockwise
direction:
In this equation, we represent the common directions of currents by their sums through common resistors. For
example, resistor R3, with a value of 100 Ω, has its voltage drop represented in the above KVL equation by the
expression 100(I1 + I2), since both currents I1 and I2 go through R3 from right to left. The same may be said
for resistor R1, with its voltage drop expression shown as 150(I1 + I3), since both I1 and I3 go from bottom to
top through that resistor, and thus work together to generate its voltage drop.

Generating a KVL equation for the bottom loop of the bridge will not be so easy, since we have two currents
going against each other through resistor R4. Here is how I do it (starting at the right-hand node, and tracing
counter-clockwise):

Note how the second term in the equation's original form has resistor R4's value of 300 Ω multiplied by the
difference between I2 and I3 (I2 - I3). This is how we represent the combined effect of two mesh currents going
in opposite directions through the same component. Choosing the appropriate mathematical signs is very
important here: 300(I2 - I3) does not mean the same thing as 300(I3 - I2). I chose to write 300(I2 - I3) because
I was thinking first of I2's effect (creating a positive voltage drop, measuring with an imaginary voltmeter
across R4, red lead on the bottom and black lead on the top), and secondarily of I3's effect (creating a negative
voltage drop, red lead on the bottom and black lead on the top). If I had thought in terms of I3's effect first
and I2's effect secondarily, holding my imaginary voltmeter leads in the same positions (red on bottom and
black on top), the expression would have been -300(I3 - I2). Note that this expression is mathematically
equivalent to the first one: +300(I2 - I3).

Well, that takes care of two equations, but I still need a third equation to complete my simultaneous equation
set of three variables, three equations. This third equation must also include the battery's voltage, which up to
this point does not appear in either two of the previous KVL equations. To generate this equation, I will trace a
loop again with my imaginary voltmeter starting from the battery's bottom (negative) terminal, stepping
clockwise (again, the direction in which I step is arbitrary, and does not need to be the same as the direction of
the mesh current in that loop):
Solving for I1, I2, and I3 using whatever simultaneous equation method we prefer:

The negative value arrived at for I1 tells us that the assumed direction for that mesh current was incorrect.
Thus, the actual current values through each resistor is as such:
Calculating voltage drops across each resistor:

A SPICE simulation will confirm the accuracy of our voltage calculations:

unbalanced wheatstone bridge
v1 1 0
r1 1 2 150
r2 1 3 50
r3 2 3 100
r4 2 0 300
r5 3 0 250
.dc v1 24 24 1
.print dc v(1,2) v(1,3) v(3,2) v(2,0) v(3,0)
.end

v1 v(1,2) v(1,3) v(3,2) v(2) v(3)

2.400E+01 6.345E+00 4.690E+00 1.655E+00 1.766E+01 1.931E+01

• REVIEW:
• Steps to follow for the "Mesh Current" method of analysis:
• (1) Draw mesh currents in loops of circuit, enough to account for all components.
• (2) Label resistor voltage drop polarities based on assumed directions of mesh currents.
• (3) Write KVL equations for each loop of the circuit, substituting the product IR for E in each resistor
term of the equation. Where two mesh currents intersect through a component, express the current
as the algebraic sum of those two mesh currents (i.e. I1 + I2) if the currents go in the same direction
through that component. If not, express the current as the difference (i.e. I1 - I2).
• (4) Solve for unknown mesh currents (simultaneous equations).
• (5) If any solution is negative, then the assumed current direction is wrong!
• (6) Algebraically add mesh currents to find current in components sharing multiple mesh currents.
• (7) Solve for voltage drops across all resistors (E=IR).

Introduction to network theorems

Anyone who's studied geometry should be familiar with the concept of a theorem: a relatively simple rule used
to solve a problem, derived from a more intensive analysis using fundamental rules of mathematics. At least
hypothetically, any problem in math can be solved just by using the simple rules of arithmetic (in fact, this is
how modern digital computers carry out the most complex mathematical calculations: by repeating many
cycles of additions and subtractions!), but human beings aren't as consistent or as fast as a digital computer.
We need "shortcut" methods in order to avoid procedural errors.

In electric network analysis, the fundamental rules are Ohm's Law and Kirchhoff's Laws. While these humble
laws may be applied to analyze just about any circuit configuration (even if we have to resort to complex
algebra to handle multiple unknowns), there are some "shortcut" methods of analysis to make the math easier
for the average human.

As with any theorem of geometry or algebra, these network theorems are derived from fundamental rules. In
this chapter, I'm not going to delve into the formal proofs of any of these theorems. If you doubt their validity,
you can always empirically test them by setting up example circuits and calculating values using the "old"
(simultaneous equation) methods versus the "new" theorems, to see if the answers coincide. They always
should!

Millman's Theorem

In Millman's Theorem, the circuit is re-drawn as a parallel network of branches, each branch containing a
resistor or series battery/resistor combination. Millman's Theorem is applicable only to those circuits which can
be re-drawn accordingly. Here again is our example circuit used for the last two analysis methods:

And here is that same circuit, re-drawn for the sake of applying Millman's Theorem:

By considering the supply voltage within each branch and the resistance within each branch, Millman's
Theorem will tell us the voltage across all branches. Please note that I've labeled the battery in the rightmost
branch as "B3" to clearly denote it as being in the third branch, even though there is no "B2" in the circuit!

Millman's Theorem is nothing more than a long equation, applied to any circuit drawn as a set of parallel-
connected branches, each branch with its own voltage source and series resistance:
Substituting actual voltage and resistance figures from our example circuit for the variable terms of this
equation, we get the following expression:

The final answer of 8 volts is the voltage seen across all parallel branches, like this:

The polarity of all voltages in Millman's Theorem are referenced to the same point. In the example circuit
above, I used the bottom wire of the parallel circuit as my reference point, and so the voltages within each
branch (28 for the R1 branch, 0 for the R2 branch, and 7 for the R3 branch) were inserted into the equation as
positive numbers. Likewise, when the answer came out to 8 volts (positive), this meant that the top wire of the
circuit was positive with respect to the bottom wire (the original point of reference). If both batteries had been
connected backwards (negative ends up and positive ends down), the voltage for branch 1 would have been
entered into the equation as a -28 volts, the voltage for branch 3 as -7 volts, and the resulting answer of -8
volts would have told us that the top wire was negative with respect to the bottom wire (our initial point of
reference).

To solve for resistor voltage drops, the Millman voltage (across the parallel network) must be compared
against the voltage source within each branch, using the principle of voltages adding in series to determine the
magnitude and polarity of voltage across each resistor:
To solve for branch currents, each resistor voltage drop can be divided by its respective resistance (I=E/R):

The direction of current through each resistor is determined by the polarity across each resistor, not by the
polarity across each battery, as current can be forced backwards through a battery, as is the case with B3 in
the example circuit. This is important to keep in mind, since Millman's Theorem doesn't provide as direct an
indication of "wrong" current direction as does the Branch Current or Mesh Current methods. You must pay
close attention to the polarities of resistor voltage drops as given by Kirchhoff's Voltage Law, determining
direction of currents from that.

Millman's Theorem is very convenient for determining the voltage across a set of parallel branches, where
there are enough voltage sources present to preclude solution via regular series-parallel reduction method. It
also is easy in the sense that it doesn't require the use of simultaneous equations. However, it is limited in that
it only applied to circuits which can be re-drawn to fit this form. It cannot be used, for example, to solve an
unbalanced bridge circuit. And, even in cases where Millman's Theorem can be applied, the solution of
individual resistor voltage drops can be a bit daunting to some, the Millman's Theorem equation only providing
a single figure for branch voltage.

As you will see, each network analysis method has its own advantages and disadvantages. Each method is a
tool, and there is no tool that is perfect for all jobs. The skilled technician, however, carries these methods in
his or her mind like a mechanic carries a set of tools in his or her tool box. The more tools you have equipped
yourself with, the better prepared you will be for any eventuality.

• REVIEW:
• Millman's Theorem treats circuits as a parallel set of series-component branches.
• All voltages entered and solved for in Millman's Theorem are polarity-referenced at the same point in
the circuit (typically the bottom wire of the parallel network).

Superposition Theorem
Superposition theorem is one of those strokes of genius that takes a complex subject and simplifies it in a way
that makes perfect sense. A theorem like Millman's certainly works well, but it is not quite obvious why it
works so well. Superposition, on the other hand, is obvious.

The strategy used in the Superposition Theorem is to eliminate all but one source of power within a network at
a time, using series/parallel analysis to determine voltage drops (and/or currents) within the modified network
for each power source separately. Then, once voltage drops and/or currents have been determined for each
power source working separately, the values are all "superimposed" on top of each other (added algebraically)
to find the actual voltage drops/currents with all sources active. Let's look at our example circuit again and
apply Superposition Theorem to it:

Since we have two sources of power in this circuit, we will have to calculate two sets of values for voltage
drops and/or currents, one for the circuit with only the 28 volt battery in effect. . .

. . . and one for the circuit with only the 7 volt battery in effect:

When re-drawing the circuit for series/parallel analysis with one source, all other voltage sources are replaced
by wires (shorts), and all current sources with open circuits (breaks). Since we only have voltage sources
(batteries) in our example circuit, we will replace every inactive source during analysis with a wire.
Analyzing the circuit with only the 28 volt battery, we obtain the following values for voltage and current:

Analyzing the circuit with only the 7 volt battery, we obtain another set of values for voltage and current:

When superimposing these values of voltage and current, we have to be very careful to consider polarity
(voltage drop) and direction (electron flow), as the values have to be added algebraically.
Applying these superimposed voltage figures to the circuit, the end result looks something like this:

Currents add up algebraically as well, and can either be superimposed as done with the resistor voltage drops,
or simply calculated from the final voltage drops and respective resistances (I=E/R). Either way, the answers
will be the same. Here I will show the superposition method applied to current:
Once again applying these superimposed figures to our circuit:

Quite simple and elegant, don't you think? It must be noted, though, that the Superposition Theorem works
only for circuits that are reducible to series/parallel combinations for each of the power sources at a time (thus,
this theorem is useless for analyzing an unbalanced bridge circuit), and it only works where the underlying
equations are linear (no mathematical powers or roots). The requisite of linearity means that Superposition
Theorem is only applicable for determining voltage and current, not power!!! Power dissipations, being
nonlinear functions, do not algebraically add to an accurate total when only one source is considered at a time.
The need for linearity also means this Theorem cannot be applied in circuits where the resistance of a
component changes with voltage or current. Hence, networks containing components like lamps (incandescent
or gas-discharge) or varistors could not be analyzed.

Another prerequisite for Superposition Theorem is that all components must be "bilateral," meaning that they
behave the same with electrons flowing either direction through them. Resistors have no polarity-specific
behavior, and so the circuits we've been studying so far all meet this criterion.

The Superposition Theorem finds use in the study of alternating current (AC) circuits, and semiconductor
(amplifier) circuits, where sometimes AC is often mixed (superimposed) with DC. Because AC voltage and
current equations (Ohm's Law) are linear just like DC, we can use Superposition to analyze the circuit with just
the DC power source, then just the AC power source, combining the results to tell what will happen with both
AC and DC sources in effect. For now, though, Superposition will suffice as a break from having to do
simultaneous equations to analyze a circuit.
 • REVIEW:
• The Superposition Theorem states that a circuit can be analyzed with only one source of power at a
time, the corresponding component voltages and currents algebraically added to find out what they'll
do with all power sources in effect.
• To negate all but one power source for analysis, replace any source of voltage (batteries) with a wire;
replace any current source with an open (break).

Thevenin's Theorem

Thevenin's Theorem states that it is possible to simplify any linear circuit, no matter how complex, to an
equivalent circuit with just a single voltage source and series resistance connected to a load. The qualification
of "linear" is identical to that found in the Superposition Theorem, where all the underlying equations must be
linear (no exponents or roots). If we're dealing with passive components (such as resistors, and later,
inductors and capacitors), this is true. However, there are some components (especially certain gas-discharge
and semiconductor components) which are nonlinear: that is, their opposition to current changes with voltage
and/or current. As such, we would call circuits containing these types of components, nonlinear circuits.

Thevenin's Theorem is especially useful in analyzing power systems and other circuits where one particular
resistor in the circuit (called the "load" resistor) is subject to change, and re-calculation of the circuit is
necessary with each trial value of load resistance, to determine voltage across it and current through it. Let's
take another look at our example circuit:

Let's suppose that we decide to designate R2 as the "load" resistor in this circuit. We already have four
methods of analysis at our disposal (Branch Current, Mesh Current, Millman's Theorem, and Superposition
Theorem) to use in determining voltage across R2 and current through R2, but each of these methods are time-
consuming. Imagine repeating any of these methods over and over again to find what would happen if the load
resistance changed (changing load resistance is very common in power systems, as multiple loads get switched
on and off as needed. the total resistance of their parallel connections changing depending on how many are
connected at a time). This could potentially involve a lot of work!

Thevenin's Theorem makes this easy by temporarily removing the load resistance from the original circuit and
reducing what's left to an equivalent circuit composed of a single voltage source and series resistance. The load
resistance can then be re-connected to this "Thevenin equivalent circuit" and calculations carried out as if the
whole network were nothing but a simple series circuit:
. . . after Thevenin conversion . . .

The "Thevenin Equivalent Circuit" is the electrical equivalent of B1, R1, R3, and B2 as seen from the two points
where our load resistor (R2) connects.

The Thevenin equivalent circuit, if correctly derived, will behave exactly the same as the original circuit formed
by B1, R1, R3, and B2. In other words, the load resistor (R2) voltage and current should be exactly the same for
the same value of load resistance in the two circuits. The load resistor R2 cannot "tell the difference" between
the original network of B1, R1, R3, and B2, and the Thevenin equivalent circuit of EThevenin, and RThevenin, provided
that the values for EThevenin and RThevenin have been calculated correctly.

The advantage in performing the "Thevenin conversion" to the simpler circuit, of course, is that it makes load
voltage and load current so much easier to solve than in the original network. Calculating the equivalent
Thevenin source voltage and series resistance is actually quite easy. First, the chosen load resistor is removed
from the original circuit, replaced with a break (open circuit):

Next, the voltage between the two points where the load resistor used to be attached is determined. Use
whatever analysis methods are at your disposal to do this. In this case, the original circuit with the load
resistor removed is nothing more than a simple series circuit with opposing batteries, and so we can determine
the voltage across the open load terminals by applying the rules of series circuits, Ohm's Law, and Kirchhoff's
Voltage Law:
The voltage between the two load connection points can be figured from the one of the battery's voltage and
one of the resistor's voltage drops, and comes out to 11.2 volts. This is our "Thevenin voltage" (EThevenin) in the
equivalent circuit:

To find the Thevenin series resistance for our equivalent circuit, we need to take the original circuit (with the
load resistor still removed), remove the power sources (in the same style as we did with the Superposition
Theorem: voltage sources replaced with wires and current sources replaced with breaks), and figure the
resistance from one load terminal to the other:
With the removal of the two batteries, the total resistance measured at this location is equal to R1 and R3 in
parallel: 0.8 Ω. This is our "Thevenin resistance" (RThevenin) for the equivalent circuit:

With the load resistor (2 Ω) attached between the connection points, we can determine voltage across it and
current through it as though the whole network were nothing more than a simple series circuit:

Notice that the voltage and current figures for R2 (8 volts, 4 amps) are identical to those found using other
methods of analysis. Also notice that the voltage and current figures for the Thevenin series resistance and the
Thevenin source (total) do not apply to any component in the original, complex circuit. Thevenin's Theorem is
only useful for determining what happens to a single resistor in a network: the load.

The advantage, of course, is that you can quickly determine what would happen to that single resistor if it were
of a value other than 2 Ω without having to go through a lot of analysis again. Just plug in that other value for
the load resistor into the Thevenin equivalent circuit and a little bit of series circuit calculation will give you the
result.

• REVIEW:
• Thevenin's Theorem is a way to reduce a network to an equivalent circuit composed of a single
voltage source, series resistance, and series load.
 • Steps to follow for Thevenin's Theorem:
• (1) Find the Thevenin source voltage by removing the load resistor from the original circuit and
calculating voltage across the open connection points where the load resistor used to be.
• (2) Find the Thevenin resistance by removing all power sources in the original circuit (voltage sources
shorted and current sources open) and calculating total resistance between the open connection
points.
• (3) Draw the Thevenin equivalent circuit, with the Thevenin voltage source in series with the Thevenin
resistance. The load resistor re-attaches between the two open points of the equivalent circuit.
• (4) Analyze voltage and current for the load resistor following the rules for series circuits.

Norton's Theorem

Norton's Theorem states that it is possible to simplify any linear circuit, no matter how complex, to an
equivalent circuit with just a single current source and parallel resistance connected to a load. Just as with
Thevenin's Theorem, the qualification of "linear" is identical to that found in the Superposition Theorem: all
underlying equations must be linear (no exponents or roots).

Contrasting our original example circuit against the Norton equivalent: it looks something like this:

. . . after Norton conversion . . .

Remember that a current source is a component whose job is to provide a constant amount of current,
outputting as much or as little voltage necessary to maintain that constant current.

As with Thevenin's Theorem, everything in the original circuit except the load resistance has been reduced to
an equivalent circuit that is simpler to analyze. Also similar to Thevenin's Theorem are the steps used in
Norton's Theorem to calculate the Norton source current (INorton) and Norton resistance (RNorton).
As before, the first step is to identify the load resistance and remove it from the original circuit:

Then, to find the Norton current (for the current source in the Norton equivalent circuit), place a direct wire
(short) connection between the load points and determine the resultant current. Note that this step is exactly
opposite the respective step in Thevenin's Theorem, where we replaced the load resistor with a break (open
circuit):

With zero voltage dropped between the load resistor connection points, the current through R1 is strictly a
function of B1's voltage and R1's resistance: 7 amps (I=E/R). Likewise, the current through R3 is now strictly a
function of B2's voltage and R3's resistance: 7 amps (I=E/R). The total current through the short between the
load connection points is the sum of these two currents: 7 amps + 7 amps = 14 amps. This figure of 14 amps
becomes the Norton source current (INorton) in our equivalent circuit:

Remember, the arrow notation for a current source points in the direction opposite that of electron flow. Again,
apologies for the confusion. For better or for worse, this is standard electronic symbol notation. Blame Mr.
Franklin again!
To calculate the Norton resistance (RNorton), we do the exact same thing as we did for calculating Thevenin
resistance (RThevenin): take the original circuit (with the load resistor still removed), remove the power sources
(in the same style as we did with the Superposition Theorem: voltage sources replaced with wires and current
sources replaced with breaks), and figure total resistance from one load connection point to the other:

Now our Norton equivalent circuit looks like this:

If we re-connect our original load resistance of 2 Ω, we can analyze the Norton circuit as a simple parallel
arrangement:

As with the Thevenin equivalent circuit, the only useful information from this analysis is the voltage and
current values for R2; the rest of the information is irrelevant to the original circuit. However, the same
advantages seen with Thevenin's Theorem apply to Norton's as well: if we wish to analyze load resistor voltage
and current over several different values of load resistance, we can use the Norton equivalent circuit again and
again, applying nothing more complex than simple parallel circuit analysis to determine what's happening with
each trial load.

• REVIEW:
• Norton's Theorem is a way to reduce a network to an equivalent circuit composed of a single current
source, parallel resistance, and parallel load.
 • Steps to follow for Norton's Theorem:
• (1) Find the Norton source current by removing the load resistor from the original circuit and
calculating current through a short (wire) jumping across the open connection points where the load
resistor used to be.
• (2) Find the Norton resistance by removing all power sources in the original circuit (voltage sources
shorted and current sources open) and calculating total resistance between the open connection
points.
• (3) Draw the Norton equivalent circuit, with the Norton current source in parallel with the Norton
resistance. The load resistor re-attaches between the two open points of the equivalent circuit.
• (4) Analyze voltage and current for the load resistor following the rules for parallel circuits.

Thevenin-Norton equivalencies

Since Thevenin's and Norton's Theorems are two equally valid methods of reducing a complex network down to
something simpler to analyze, there must be some way to convert a Thevenin equivalent circuit to a Norton
equivalent circuit, and visa-versa (just what you were dying to know, right?). Well, the procedure is very
simple.

You may have noticed that the procedure for calculating Thevenin resistance is identical to the procedure for
calculating Norton resistance: remove all power sources and determine resistance between the open load
connection points. As such, Thevenin and Norton resistances for the same original network must be equal.
Using the example circuits from the last two sections, we can see that the two resistances are indeed equal:
Considering the fact that both Thevenin and Norton equivalent circuits are intended to behave the same as the
original network in suppling voltage and current to the load resistor (as seen from the perspective of the load
connection points), these two equivalent circuits, having been derived from the same original network should
behave identically.

This means that both Thevenin and Norton equivalent circuits should produce the same voltage across the load
terminals with no load resistor attached. With the Thevenin equivalent, the open-circuited voltage would be
equal to the Thevenin source voltage (no circuit current present to drop voltage across the series resistor),
which is 11.2 volts in this case. With the Norton equivalent circuit, all 14 amps from the Norton current source
would have to flow through the 0.8 Ω Norton resistance, producing the exact same voltage, 11.2 volts (E=IR).
Thus, we can say that the Thevenin voltage is equal to the Norton current times the Norton resistance:

So, if we wanted to convert a Norton equivalent circuit to a Thevenin equivalent circuit, we could use the same
resistance and calculate the Thevenin voltage with Ohm's Law.

Conversely, both Thevenin and Norton equivalent circuits should generate the same amount of current through
a short circuit across the load terminals. With the Norton equivalent, the short-circuit current would be exactly
equal to the Norton source current, which is 14 amps in this case. With the Thevenin equivalent, all 11.2 volts
would be applied across the 0.8 Ω Thevenin resistance, producing the exact same current through the short,
14 amps (I=E/R). Thus, we can say that the Norton current is equal to the Thevenin voltage divided by the
Thevenin resistance:

This equivalence between Thevenin and Norton circuits can be a useful tool in itself, as we shall see in the next
section.

• REVIEW:
• Thevenin and Norton resistances are equal.
• Thevenin voltage is equal to Norton current times Norton resistance.
• Norton current is equal to Thevenin voltage divided by Thevenin resistance

Millman's Theorem revisited

You may have wondered where we got that strange equation for the determination of "Millman Voltage" across
parallel branches of a circuit where each branch contains a series resistance and voltage source:

Parts of this equation seem familiar to equations we've seen before. For instance, the denominator of the large
fraction looks conspicuously like the denominator of our parallel resistance equation. And, of course, the E/R
terms in the numerator of the large fraction should give figures for current, Ohm's Law being what it is
(I=E/R).

Now that we've covered Thevenin and Norton source equivalencies, we have the tools necessary to understand
Millman's equation. What Millman's equation is actually doing is treating each branch (with its series voltage
source and resistance) as a Thevenin equivalent circuit and then converting each one into equivalent Norton
circuits.

Thus, in the circuit above, battery B1 and resistor R1 are seen as a Thevenin source to be converted into a
Norton source of 7 amps (28 volts / 4 Ω) in parallel with a 4 Ω resistor. The rightmost branch will be converted
into a 7 amp current source (7 volts / 1 Ω) and 1 Ω resistor in parallel. The center branch, containing no
voltage source at all, will be converted into a Norton source of 0 amps in parallel with a 2 Ω resistor:

Since current sources directly add their respective currents in parallel, the total circuit current will be 7 + 0 +
7, or 14 amps. This addition of Norton source currents is what's being represented in the numerator of the
Millman equation:

All the Norton resistances are in parallel with each other as well in the equivalent circuit, so they diminish to
create a total resistance. This diminishing of source resistances is what's being represented in the denominator
of the Millman's equation:
In this case, the resistance total will be equal to 571.43 milliohms (571.43 mΩ). We can re-draw our
equivalent circuit now as one with a single Norton current source and Norton resistance:

Ohm's Law can tell us the voltage across these two components now (E=IR):

Let's summarize what we know about the circuit thus far. We know that the total current in this circuit is given
by the sum of all the branch voltages divided by their respective currents. We also know that the total
resistance is found by taking the reciprocal of all the branch resistance reciprocals. Furthermore, we should be
well aware of the fact that total voltage across all the branches can be found by multiplying total current by
total resistance (E=IR). All we need to do is put together the two equations we had earlier for total circuit
current and total resistance, multiplying them to find total voltage:
The Millman's equation is nothing more than a Thevenin-to-Norton conversion matched together with the
parallel resistance formula to find total voltage across all the branches of the circuit. So, hopefully some of the
mystery is gone now!

Maximum Power Transfer Theorem

The Maximum Power Transfer Theorem is not so much a means of analysis as it is an aid to system design.
Simply stated, the maximum amount of power will be dissipated by a load resistance when that load resistance
is equal to the Thevenin/Norton resistance of the network supplying the power. If the load resistance is lower
or higher than the Thevenin/Norton resistance of the source network, its dissipated power will be less than
maximum.

This is essentially what is aimed for in stereo system design, where speaker "impedance" is matched to
amplifier "impedance" for maximum sound power output. Impedance, the overall opposition to AC and DC
current, is very similar to resistance, and must be equal between source and load for the greatest amount of
power to be transferred to the load. A load impedance that is too high will result in low power output. A load
impedance that is too low will not only result in low power output, but possibly overheating of the amplifier due
to the power dissipated in its internal (Thevenin or Norton) impedance.

Taking our Thevenin equivalent example circuit, the Maximum Power Transfer Theorem tells us that the load
resistance resulting in greatest power dissipation is equal in value to the Thevenin resistance (in this case, 0.8
Ω):
With this value of load resistance, the dissipated power will be 39.2 watts:

If we were to try a lower value for the load resistance (0.5 Ω instead of 0.8 Ω, for example), our power
dissipated by the load resistance would decrease:

Power dissipation increased for both the Thevenin resistance and the total circuit, but it decreased for the load
resistor. Likewise, if we increase the load resistance (1.1 Ω instead of 0.8 Ω, for example), power dissipation
will also be less than it was at 0.8 Ω exactly:

If you were designing a circuit for maximum power dissipation at the load resistance, this theorem would be
very useful. Having reduced a network down to a Thevenin voltage and resistance (or Norton current and
resistance), you simply set the load resistance equal to that Thevenin or Norton equivalent (or visa-versa) to
ensure maximum power dissipation at the load. Practical applications of this might include stereo amplifier
design (seeking to maximize power delivered to speakers) or electric vehicle design (seeking to maximize
power delivered to drive motor).

• REVIEW:
• The Maximum Power Transfer Theorem states that the maximum amount of power will be dissipated
by a load resistance if it is equal to the Thevenin or Norton resistance of the network supplying power.

∆-Y and Y-∆ conversions

In many circuit applications, we encounter components connected together in one of two ways to form a three-
terminal network: the "Delta," or ∆ (also known as the "Pi," or π) configuration, and the "Y" (also known as the
"T") configuration.

It is possible to calculate the proper values of resistors necessary to form one kind of network (∆ or Y) that
behaves identically to the other kind, as analyzed from the terminal connections alone. That is, if we had two
separate resistor networks, one ∆ and one Y, each with its resistors hidden from view, with nothing but the
three terminals (A, B, and C) exposed for testing, the resistors could be sized for the two networks so that
there would be no way to electrically determine one network apart from the other. In other words, equivalent ∆
and Y networks behave identically.

There are several equations used to convert one network to the other:
∆ and Y networks are seen frequently in 3-phase AC power systems (a topic covered in volume II of this book
series), but even then they're usually balanced networks (all resistors equal in value) and conversion from one
to the other need not involve such complex calculations. When would the average technician ever need to use
these equations?

A prime application for ∆-Y conversion is in the solution of unbalanced bridge circuits, such as the one below:

Solution of this circuit with Branch Current or Mesh Current analysis is fairly involved, and neither the Millman
nor Superposition Theorems are of any help, since there's only one source of power. We could use Thevenin's
or Norton's Theorem, treating R3 as our load, but what fun would that be?

If we were to treat resistors R1, R2, and R3 as being connected in a ∆ configuration (Rab, Rac, and Rbc,
respectively) and generate an equivalent Y network to replace them, we could turn this bridge circuit into a
(simpler) series/parallel combination circuit:

After the ∆-Y conversion . . .

If we perform our calculations correctly, the voltages between points A, B, and C will be the same in the
converted circuit as in the original circuit, and we can transfer those values back to the original bridge
configuration.
Resistors R4 and R5, of course, remain the same at 18 Ω and 12 Ω, respectively. Analyzing the circuit now as a
series/parallel combination, we arrive at the following figures:

We must use the voltage drops figures from the table above to determine the voltages between points A, B,
and C, seeing how the add up (or subtract, as is the case with voltage between points B and C):
Now that we know these voltages, we can transfer them to the same points A, B, and C in the original bridge
circuit:

Voltage drops across R4 and R5, of course, are exactly the same as they were in the converted circuit.

At this point, we could take these voltages and determine resistor currents through the repeated use of Ohm's
Law (I=E/R):
A quick simulation with SPICE will serve to verify our work:

unbalanced bridge circuit

v1 1 0
r1 1 2 12
r2 1 3 18
r3 2 3 6
r4 2 0 18
r5 3 0 12
.dc v1 10 10 1
.print dc v(1,2) v(1,3) v(2,3) v(2,0) v(3,0)
.end

v1 v(1,2) v(1,3) v(2,3) v(2) v(3)

1.000E+01 4.706E+00 5.294E+00 5.882E-01 5.294E+00 4.706E+00

The voltage figures, as read from left to right, represent voltage drops across the five respective resistors, R1
through R5. I could have shown currents as well, but since that would have required insertion of "dummy"
voltage sources in the SPICE netlist, and since we're primarily interested in validating the ∆-Y conversion
equations and not Ohm's Law, this will suffice.

• REVIEW:
• "Delta" (∆) networks are also known as "Pi" (π) networks.
• "Y" networks are also known as "T" networks.
• ∆ and Y networks can be converted to their equivalent counterparts with the proper resistance
equations. By "equivalent," I mean that the two networks will be electrically identical as measured
from the three terminals (A, B, and C).
• A bridge circuit can be simplified to a series/parallel circuit by converting half of it from a ∆ to a Y
network. After voltage drops between the original three connection points (A, B, and C) have been
solved for, those voltages can be transferred back to the original bridge circuit, across those same
equivalent points.
Electron activity in chemical reactions

So far in our discussions on electricity and electric circuits, we have not discussed in any detail how batteries
function. Rather, we have simply assumed that they produce constant voltage through some sort of mysterious
process. Here, we will explore that process to some degree and cover some of the practical considerations
involved with real batteries and their use in power systems.

In the first chapter of this book, the concept of an atom was discussed, as being the basic building-block of all
material objects. Atoms, in turn, however, are composed of even smaller pieces of matter called particles.
Electrons, protons, and neutrons are the basic types of particles found in atoms. Each of these particle types
plays a distinct role in the behavior of an atom. While electrical activity involves the motion of electrons, the
chemical identity of an atom (which largely determines how conductive the material will be) is determined by
the number of protons in the nucleus (center).

The protons in an atom's nucleus are extremely difficult to dislodge, and so the chemical identity of any atom
is very stable. One of the goals of the ancient alchemists (to turn lead into gold) was foiled by this sub-atomic
stability. All efforts to alter this property of an atom by means of heat. light, or friction were met with failure.
The electrons of an atom, however, are much more easily dislodged. As we have already seen, friction is one
way in which electrons can be transferred from one atom to another (glass and silk, wax and wool), and so is
heat (generating voltage by heating a junction of dissimilar metals, as in the case of thermocouples).

Electrons can do much more than just move around and between atoms: they can also serve to link different
atoms together. This linking of atoms by electrons is called a chemical bond. A crude (and simplified)
representation of such a bond between two atoms might look like this:
There are several types of chemical bonds, the one shown above being representative of a covalent bond,
where electrons are shared between atoms. Because chemical bonds are based on links formed by electrons,
these bonds are only as strong as the immobility of the electrons forming them. That is to say, chemical bonds
can be created or broken by the same forces that force electrons to move: heat, light, friction, etc.

When atoms are joined by chemical bonds, they form materials with unique properties known as molecules.
The dual-atom picture shown above is an example of a simple molecule formed by two atoms of the same
type. Most molecules are unions of different types of atoms. Even molecules formed by atoms of the same type
can have radically different physical properties. Take the element carbon, for instance: in one form, graphite,
carbon atoms link together to form flat "plates" which slide against one another very easily, giving graphite its
natural lubricating properties. In another form, diamond, the same carbon atoms link together in a different
configuration, this time in the shapes of interlocking pyramids, forming a material of exceeding hardness. In
yet another form, Fullerene, dozens of carbon atoms form each molecule, which looks something like a soccer
ball. Fullerene molecules are very fragile and lightweight. The airy soot formed by excessively rich combustion
of acetylene gas (as in the initial ignition of an oxy-acetylene welding/cutting torch) is composed of many tiny
Fullerene molecules.

When alchemists succeeded in changing the properties of a substance by heat, light, friction, or mixture with
other substances, they were really observing changes in the types of molecules formed by atoms breaking and
forming bonds with other atoms. Chemistry is the modern counterpart to alchemy, and concerns itself primarily
with the properties of these chemical bonds and the reactions associated with them.

A type of chemical bond of particular interest to our study of batteries is the so-called ionic bond, and it differs
from the covalent bond in that one atom of the molecule possesses an excess of electrons while another atom
lacks electrons, the bonds between them being a result of the electrostatic attraction between the two unlike
charges. Consequently, ionic bonds, when broken or formed, result in electrons moving from one place to
another. This motion of electrons in ionic bonding can be harnessed to generate an electric current. A device
constructed to do just this is called a voltaic cell, or cell for short, usually consisting of two metal electrodes
immersed in a chemical mixture (called an electrolyte) designed to facilitate a chemical reaction:
In the common "lead-acid" cell (the kind commonly used in automobiles), the negative electrode is made of
lead (Pb) and the positive is made of lead peroxide (Pb02), both metallic substances. The electrolyte solution is
a dilute sulfuric acid (H2SO4 + H2O). If the electrodes of the cell are connected to an external circuit, such that
electrons have a place to flow from one to the other, negatively charged oxygen ions (O) from the positive
electrode (PbO2) will ionically bond with positively charged hydrogen ions (H) to form molecules water (H2O).
This creates a deficiency of electrons in the lead peroxide (PbO2) electrode, giving it a positive electrical
charge. The sulfate ions (SO4) left over from the disassociation of the hydrogen ions (H) from the sulfuric acid
(H2SO4) will join with the lead (Pb) in each electrode to form lead sulfate (PbSO4):
This process of the cell providing electrical energy to supply a load is called discharging, since it is depleting its
internal chemical reserves. Theoretically, after all of the sulfuric acid has been exhausted, the result will be two
electrodes of lead sulfate (PbSO4) and an electrolyte solution of pure water (H2O), leaving no more capacity for
additional ionic bonding. In this state, the cell is said to be fully discharged. In a lead-acid cell, the state of
charge can be determined by an analysis of acid strength. This is easily accomplished with a device called a
hydrometer, which measures the specific gravity (density) of the electrolyte. Sulfuric acid is denser than water,
so the greater the charge of a cell, the greater the acid concentration, and thus a denser electrolyte solution.

There is no single chemical reaction representative of all voltaic cells, so any detailed discussion of chemistry is
bound to have limited application. The important thing to understand is that electrons are motivated to and/or
from the cell's electrodes via ionic reactions between the electrode molecules and the electrolyte molecules.
The reaction is enabled when there is an external path for electric current, and ceases when that path is
broken.

Being that the motivation for electrons to move through a cell is chemical in nature, the amount of voltage
(electromotive force) generated by any cell will be specific to the particular chemical reaction for that cell type.
For instance, the lead-acid cell just described has a nominal voltage of 2.2 volts per cell, based on a fully
"charged" cell (acid concentration strong) in good physical condition. There are other types of cells with
different specific voltage outputs. The Edison cell, for example, with a positive electrode made of nickel oxide,
a negative electrode made of iron, and an electrolyte solution of potassium hydroxide (a caustic, not acid,
substance) generates a nominal voltage of only 1.2 volts, due to the specific differences in chemical reaction
with those electrode and electrolyte substances.

The chemical reactions of some types of cells can be reversed by forcing electric current backwards through
the cell (in the negative electrode and out the positive electrode). This process is called charging. Any such
(rechargeable) cell is called a secondary cell. A cell whose chemistry cannot be reversed by a reverse current is
called a primary cell.

When a lead-acid cell is charged by an external current source, the chemical reactions experienced during
discharge are reversed:
 • REVIEW:
• Atoms bound together by electrons are called molecules.
• Ionic bonds are molecular unions formed when an electron-deficient atom (a positive ion) joins with
an electron-excessive atom (a negative ion).
• Chemical reactions involving ionic bonds result in the transfer of electrons between atoms. This
transfer can be harnessed to form an electric current.
• A cell is a device constructed to harness such chemical reactions to generate electric current.
• A cell is said to be discharged when its internal chemical reserves have been depleted through use.
• A secondary cell's chemistry can be reversed (recharged) by forcing current backwards through it.
• A primary cell cannot be practically recharged.
• Lead-acid cell charge can be assessed with an instrument called a hydrometer, which measures the
density of the electrolyte liquid. The denser the electrolyte, the stronger the acid concentration, and
the greater charge state of the cell.

Battery construction

The word battery simply means a group of similar components. In military vocabulary, a "battery" refers to a
cluster of guns. In electricity, a "battery" is a set of voltaic cells designed to provide greater voltage and/or
current than is possible with one cell alone.

The symbol for a cell is very simple, consisting of one long line and one short line, parallel to each other, with
connecting wires:
The symbol for a battery is nothing more than a couple of cell symbols stacked in series:

As was stated before, the voltage produced by any particular kind of cell is determined strictly by the chemistry
of that cell type. The size of the cell is irrelevant to its voltage. To obtain greater voltage than the output of a
single cell, multiple cells must be connected in series. The total voltage of a battery is the sum of all cell
voltages. A typical automotive lead-acid battery has six cells, for a nominal voltage output of 6 x 2.2 or 13.2
volts:

The cells in an automotive battery are contained within the same hard rubber housing, connected together with
thick, lead bars instead of wires. The electrodes and electrolyte solutions for each cell are contained in
separate, partitioned sections of the battery case. In large batteries, the electrodes commonly take the shape
of thin metal grids or plates, and are often referred to as plates instead of electrodes.

For the sake of convenience, battery symbols are usually limited to four lines, alternating long/short, although
the real battery it represents may have many more cells than that. On occasion, however, you might come
across a symbol for a battery with unusually high voltage, intentionally drawn with extra lines. The lines, of
course, are representative of the individual cell plates:

If the physical size of a cell has no impact on its voltage, then what does it affect? The answer is resistance,
which in turn affects the maximum amount of current that a cell can provide. Every voltaic cell contains some
amount of internal resistance due to the electrodes and the electrolyte. The larger a cell is constructed, the
greater the electrode contact area with the electrolyte, and thus the less internal resistance it will have.

Although we generally consider a cell or battery in a circuit to be a perfect source of voltage (absolutely
constant), the current through it dictated solely by the external resistance of the circuit to which it is attached,
this is not entirely true in real life. Since every cell or battery contains some internal resistance, that resistance
must affect the current in any given circuit:
The real battery shown above within the dotted lines has an internal resistance of 0.2 Ω, which affects its
ability to supply current to the load resistance of 1 Ω. The ideal battery on the left has no internal resistance,
and so our Ohm's Law calculations for current (I=E/R) give us a perfect value of 10 amps for current with the 1
ohm load and 10 volt supply. The real battery, with its built-in resistance further impeding the flow of
electrons, can only supply 8.333 amps to the same resistance load.

The ideal battery, in a short circuit with 0 Ω resistance, would be able to supply an infinite amount of current.
The real battery, on the other hand, can only supply 50 amps (10 volts / 0.2 Ω) to a short circuit of 0 Ω
resistance, due to its internal resistance. The chemical reaction inside the cell may still be providing exactly 10
volts, but voltage is dropped across that internal resistance as electrons flow through the battery, which
reduces the amount of voltage available at the battery terminals to the load.

Since we live in an imperfect world, with imperfect batteries, we need to understand the implications of factors
such as internal resistance. Typically, batteries are placed in applications where their internal resistance is
negligible compared to that of the circuit load (where their short-circuit current far exceeds their usual load
current), and so the performance is very close to that of an ideal voltage source.

If we need to construct a battery with lower resistance than what one cell can provide (for greater current
capacity), we will have to connect the cells together in parallel:
Essentially, what we have done here is determine the Thevenin equivalent of the five cells in parallel (an
equivalent network of one voltage source and one series resistance). The equivalent network has the same
source voltage but a fraction of the resistance of any individual cell in the original network. The overall effect of
connecting cells in parallel is to decrease the equivalent internal resistance, just as resistors in parallel diminish
in total resistance. The equivalent internal resistance of this battery of 5 cells is 1/5 that of each individual cell.
The overall voltage stays the same: 2.2 volts. If this battery of cells were powering a circuit, the current
through each cell would be 1/5 of the total circuit current, due to the equal split of current through equal-
resistance parallel branches.

• REVIEW:
• A battery is a cluster of cells connected together for greater voltage and/or current capacity.
• Cells connected together in series (polarities aiding) results in greater total voltage.
• Physical cell size impacts cell resistance, which in turn impacts the ability for the cell to supply current
to a circuit. Generally, the larger the cell, the less its internal resistance.
• Cells connected together in parallel results in less total resistance, and potentially greater total
current.

Battery ratings

Because batteries create electron flow in a circuit by exchanging electrons in ionic chemical reactions, and
there is a limited number of molecules in any charged battery available to react, there must be a limited
amount of total electrons that any battery can motivate through a circuit before its energy reserves are
exhausted. Battery capacity could be measured in terms of total number of electrons, but this would be a huge
number. We could use the unit of the coulomb (equal to 6.25 x 1018 electrons, or 6,250,000,000,000,000,000
electrons) to make the quantities more practical to work with, but instead a new unit, the amp-hour, was made
for this purpose. Since 1 amp is actually a flow rate of 1 coulomb of electrons per second, and there are 3600
seconds in an hour, we can state a direct proportion between coulombs and amp-hours: 1 amp-hour = 3600
coulombs. Why make up a new unit when an old would have done just fine? To make your lives as students
and technicians more difficult, of course!
A battery with a capacity of 1 amp-hour should be able to continuously supply a current of 1 amp to a load for
exactly 1 hour, or 2 amps for 1/2 hour, or 1/3 amp for 3 hours, etc., before becoming completely discharged.
In an ideal battery, this relationship between continuous current and discharge time is stable and absolute, but
real batteries don't behave exactly as this simple linear formula would indicate. Therefore, when amp-hour
capacity is given for a battery, it is specified at either a given current, given time, or assumed to be rated for a
time period of 8 hours (if no limiting factor is given).

For example, an average automotive battery might have a capacity of about 70 amp-hours, specified at a
current of 3.5 amps. This means that the amount of time this battery could continuously supply a current of
3.5 amps to a load would be 20 hours (70 amp-hours / 3.5 amps). But let's suppose that a lower-resistance
load were connected to that battery, drawing 70 amps continuously. Our amp-hour equation tells us that the
battery should hold out for exactly 1 hour (70 amp-hours / 70 amps), but this might not be true in real life.
With higher currents, the battery will dissipate more heat across its internal resistance, which has the effect of
altering the chemical reactions taking place within. Chances are, the battery would fully discharge some time
before the calculated time of 1 hour under this greater load.

Conversely, if a very light load (1 mA) were to be connected to the battery, our equation would tell us that the
battery should provide power for 70,000 hours, or just under 8 years (70 amp-hours / 1 milliamp), but the
odds are that much of the chemical energy in a real battery would have been drained due to other factors
(evaporation of electrolyte, deterioration of electrodes, leakage current within battery) long before 8 years had
elapsed. Therefore, we must take the amp-hour relationship as being an ideal approximation of battery life, the
amp-hour rating trusted only near the specified current or timespan given by the manufacturer. Some
manufacturers will provide amp-hour derating factors specifying reductions in total capacity at different levels
of current and/or temperature.

For secondary cells, the amp-hour rating provides a rule for necessary charging time at any given level of
charge current. For example, the 70 amp-hour automotive battery in the previous example should take 10
hours to charge from a fully-discharged state at a constant charging current of 7 amps (70 amp-hours / 7
amps).

Approximate amp-hour capacities of some common batteries are given here:

• Typical automotive battery: 70 amp-hours @ 3.5 A (secondary cell)

• D-size carbon-zinc battery: 4.5 amp-hours @ 100 mA (primary cell)
• 9 volt carbon-zinc battery: 400 milliamp-hours @ 8 mA (primary cell)

As a battery discharges, not only does it diminish its internal store of energy, but its internal resistance also
increases (as the electrolyte becomes less and less conductive), and its open-circuit cell voltage decreases (as
the chemicals become more and more dilute). The most deceptive change that a discharging battery exhibits is
increased resistance. The best check for a battery's condition is a voltage measurement under load, while the
battery is supplying a substantial current through a circuit. Otherwise, a simple voltmeter check across the
terminals may falsely indicate a healthy battery (adequate voltage) even though the internal resistance has
increased considerably. What constitutes a "substantial current" is determined by the battery's design
parameters. A voltmeter check revealing too low of a voltage, of course, would positively indicate a discharged
battery:

Fully charged battery:

Now, if the battery discharges a bit . . .

. . . and discharges a bit further . . .

. . . and a bit further until it's dead.

Notice how much better the battery's true condition is revealed when its voltage is checked under load as
opposed to without a load. Does this mean that it's pointless to check a battery with just a voltmeter (no
load)? Well, no. If a simple voltmeter check reveals only 7.5 volts for a 13.2 volt battery, then you know
without a doubt that it's dead. However, if the voltmeter were to indicate 12.5 volts, it may be near full charge
or somewhat depleted -- you couldn't tell without a load check. Bear in mind also that the resistance used to
place a battery under load must be rated for the amount of power expected to be dissipated. For checking
large batteries such as an automobile (12 volt nominal) lead-acid battery, this may mean a resistor with a
power rating of several hundred watts.

• REVIEW:
• The amp-hour is a unit of battery energy capacity, equal to the amount of continuous current
multiplied by the discharge time, that a battery can supply before exhausting its internal store of
chemical energy.

•
 • An amp-hour battery rating is only an approximation of the battery's charge capacity, and should be
trusted only at the current level or time specified by the manufacturer. Such a rating cannot be
extrapolated for very high currents or very long times with any accuracy.
• Discharged batteries lose voltage and increase in resistance. The best check for a dead battery is a
voltage test under load.

Special-purpose batteries

Back in the early days of electrical measurement technology, a special type of battery known as a mercury
standard cell was popularly used as a voltage calibration standard. The output of a mercury cell was 1.0183 to
1.0194 volts DC (depending on the specific design of cell), and was extremely stable over time. Advertised drift
was around 0.004 percent of rated voltage per year. Mercury standard cells were sometimes known as Weston
cells or cadmium cells.

Unfortunately, mercury cells were rather intolerant of any current drain and could not even be measured with
an analog voltmeter without compromising accuracy. Manufacturers typically called for no more than 0.1 mA of
current through the cell, and even that figure was considered a momentary, or surge maximum! Consequently,
standard cells could only be measured with a potentiometric (null-balance) device where current drain is
almost zero. Short-circuiting a mercury cell was prohibited, and once short-circuited, the cell could never be
relied upon again as a standard device.

Mercury standard cells were also susceptible to slight changes in voltage if physically or thermally disturbed.
Two different types of mercury standard cells were developed for different calibration purposes: saturated and
unsaturated. Saturated standard cells provided the greatest voltage stability over time, at the expense of
thermal instability. In other words, their voltage drifted very little with the passage of time (just a few
microvolts over the span of a decade!), but tended to vary with changes in temperature (tens of microvolts per
degree Celsius). These cells functioned best in temperature-controlled laboratory environments where long-
term stability is paramount. Unsaturated cells provided thermal stability at the expense of stability over time,
the voltage remaining virtually constant with changes in temperature but decreasing steadily by about 100 µV
every year. These cells functioned best as "field" calibration devices where ambient temperature is not
precisely controlled. Nominal voltage for a saturated cell was 1.0186 volts, and 1.019 volts for an unsaturated
cell.

Modern semiconductor voltage (zener diode regulator) references have superseded standard cell batteries as
laboratory and field voltage standards.
A fascinating device closely related to primary-cell batteries is the fuel cell, so-called because it harnesses the
chemical reaction of combustion to generate an electric current. The process of chemical oxidation (oxygen
ionically bonding with other elements) is capable of producing an electron flow between two electrodes just as
well as any combination of metals and electrolytes. A fuel cell can be thought of as a battery with an externally
supplied chemical energy source.

To date, the most successful fuel cells constructed are those which run on hydrogen and oxygen, although
much research has been done on cells using hydrocarbon fuels. While "burning" hydrogen, a fuel cell's only
waste byproducts are water and a small amount of heat. When operating on carbon-containing fuels, carbon
dioxide is also released as a byproduct. Because the operating temperature of modern fuel cells is far below
that of normal combustion, no oxides of nitrogen (NOx) are formed, making it far less polluting, all other
factors being equal.

The efficiency of energy conversion in a fuel cell from chemical to electrical far exceeds the theoretical Carnot
efficiency limit of any internal-combustion engine, which is an exciting prospect for power generation and
hybrid electric automobiles.

Another type of "battery" is the solar cell, a by-product of the semiconductor revolution in electronics. The
photoelectric effect, whereby electrons are dislodged from atoms under the influence of light, has been known
in physics for many decades, but it has only been with recent advances in semiconductor technology that a
device existed capable of harnessing this effect to any practical degree. Conversion efficiencies for silicon solar
cells are still quite low, but their benefits as power sources are legion: no moving parts, no noise, no waste
products or pollution (aside from the manufacture of solar cells, which is still a fairly "dirty" industry), and
indefinite life.
Specific cost of solar cell technology (dollars per kilowatt) is still very high, with little prospect of significant
decrease barring some kind of revolutionary advance in technology. Unlike electronic components made from
semiconductor material, which can be made smaller and smaller with less scrap as a result of better quality
control, a single solar cell still takes the same amount of ultra-pure silicon to make as it did thirty years ago.
Superior quality control fails to yield the same production gain seen in the manufacture of chips and transistors
(where isolated specks of impurity can ruin many microscopic circuits on one wafer of silicon). The same
number of impure inclusions does little to impact the overall efficiency of a 3-inch solar cell.

Yet another type of special-purpose "battery" is the chemical detection cell. Simply put, these cells chemically
react with specific substances in the air to create a voltage directly proportional to the concentration of that
substance. A common application for a chemical detection cell is in the detection and measurement of oxygen
concentration. Many portable oxygen analyzers have been designed around these small cells. Cell chemistry
must be designed to match the specific substance(s) to be detected, and the cells do tend to "wear out," as
their electrode materials deplete or become contaminated with use.

• REVIEW:
• mercury standard cells are special types of batteries which were once used as voltage calibration
standards before the advent of precision semiconductor reference devices.
• A fuel cell is a kind of battery that uses a combustible fuel and oxidizer as reactants to generate
electricity. They are promising sources of electrical power in the future, "burning" fuels with very low
emissions.
• A solar cell uses ambient light energy to motivate electrons from electrode to another, producing
voltage (and current, providing an external circuit).
• A chemical detection cell is a special type of voltaic cell which produces voltage proportional to the
concentration of an applied substance (usually a specific gas in ambient air).

Practical considerations

When connecting batteries together to form larger "banks" (a battery of batteries?), the constituent batteries
must be matched to each other so as to not cause problems. First we will consider connecting batteries in
series for greater voltage:
We know that the current is equal at all points in a series circuit, so whatever amount of current there is in any
one of the series-connected batteries must be the same for all the others as well. For this reason, each battery
must have the same amp-hour rating, or else some of the batteries will become depleted sooner than others,
compromising the capacity of the whole bank. Please note that the total amp-hour capacity of this series
battery bank is not affected by the number of batteries.

Next, we will consider connecting batteries in parallel for greater current capacity (lower internal resistance), or
greater amp-hour capacity:

We know that the voltage is equal across all branches of a parallel circuit, so we must be sure that these
batteries are of equal voltage. If not, we will have relatively large currents circulating from one battery through
another, the higher-voltage batteries overpowering the lower-voltage batteries. This is not good.

On this same theme, we must be sure that any overcurrent protection (circuit breakers or fuses) are installed
in such a way as to be effective. For our series battery bank, one fuse will suffice to protect the wiring from
excessive current, since any break in a series circuit stops current through all parts of the circuit:

With a parallel battery bank, one fuse is adequate for protecting the wiring against load overcurrent (between
the parallel-connected batteries and the load), but we have other concerns to protect against as well. Batteries
have been known to internally short-circuit, due to electrode separator failure, causing a problem not unlike
that where batteries of unequal voltage are connected in parallel: the good batteries will overpower the failed
(lower voltage) battery, causing relatively large currents within the batteries' connecting wires. To guard
against this eventuality, we should protect each and every battery against overcurrent with individual battery
fuses, in addition to the load fuse:

When dealing with secondary-cell batteries, particular attention must be paid to the method and timing of
charging. Different types and construction of batteries have different charging needs, and the manufacturer's
recommendations are probably the best guide to follow when designing or maintaining a system. Two distinct
concerns of battery charging are cycling and overcharging. Cycling refers to the process of charging a battery
to a "full" condition and then discharging it to a lower state. All batteries have a finite (limited) cycle life, and
the allowable "depth" of cycle (how far it should be discharged at any time) varies from design to design.
Overcharging is the condition where current continues to be forced backwards through a secondary cell beyond
the point where the cell has reached full charge. With lead-acid cells in particular, overcharging leads to
electrolysis of the water ("boiling" the water out of the battery) and shortened life.

Any battery containing water in the electrolyte is subject to the production of hydrogen gas due to electrolysis.
This is especially true for overcharged lead-acid cells, but not exclusive to that type. Hydrogen is an extremely
flammable gas (especially in the presence of free oxygen created by the same electrolysis process), odorless
and colorless. Such batteries pose an explosion threat even under normal operating conditions, and must be
treated with respect. The author has been a firsthand witness to a lead-acid battery explosion, where a spark
created by the removal of a battery charger (small DC power supply) from an automotive battery ignited
hydrogen gas within the battery case, blowing the top off the battery and splashing sulfuric acid everywhere.
This occurred in a high school automotive shop, no less. If it were not for all the students nearby wearing
safety glasses and buttoned-collar overalls, significant injury could have occurred.

When connecting and disconnecting charging equipment to a battery, always make the last connection (or first
disconnection) at a location away from the battery itself (such as at a point on one of the battery cables, at
least a foot away from the battery), so that any resultant spark has little or no chance of igniting hydrogen
gas.

In large, permanently installed battery banks, batteries are equipped with vent caps above each cell, and
hydrogen gas is vented outside of the battery room through hoods immediately over the batteries. Hydrogen
gas is very light and rises quickly. The greatest danger is when it is allowed to accumulate in an area, awaiting
ignition.

More modern lead-acid battery designs are sealed, using a catalyst to re-combine the electrolyzed hydrogen
and oxygen back into water, inside the battery case itself. Adequate ventilation might still be a good idea, just
in case a battery were to develop a leak in the case.

• REVIEW:
• Connecting batteries in series increases voltage, but does not increase overall amp-hour capacity.
• All batteries in a series bank must have the same amp-hour rating.
• Connecting batteries in parallel increases total current capacity by decreasing total resistance, and it
also increases overall amp-hour capacity.
• All batteries in a parallel bank must have the same voltage rating.
• Batteries can be damaged by excessive cycling and overcharging.
• Water-based electrolyte batteries are capable of generating explosive hydrogen gas, which must not
be allowed to accumulate in an area.

Introduction
By now you should be well aware of the correlation between electrical conductivity and certain types of
materials. Those materials allowing for easy passage of free electrons are called conductors, while those
materials impeding the passage of free electrons are called insulators.

Unfortunately, the scientific theories explaining why certain materials conduct and others don't are quite
complex, rooted in quantum mechanical explanations in how electrons are arranged around the nuclei of
atoms. Contrary to the well-known "planetary" model of electrons whirling around an atom's nucleus as well-
defined chunks of matter in circular or elliptical orbits, electrons in "orbit" don't really act like pieces of matter
at all. Rather, they exhibit the characteristics of both particle and wave, their behavior constrained by
placement within distinct zones around the nucleus referred to as "shells" and "subshells." Electrons can
occupy these zones only in a limited range of energies depending on the particular zone and how occupied that
zone is with other electrons. If electrons really did act like tiny planets held in orbit around the nucleus by
electrostatic attraction, their actions described by the same laws describing the motions of real planets, there
could be no real distinction between conductors and insulators, and chemical bonds between atoms would not
exist in the way they do now. It is the discrete, "quantitized" nature of electron energy and placement
described by quantum physics that gives these phenomena their regularity.

When an electron is free to assume higher energy states around an atom's nucleus (due to its placement in a
particular "shell"), it may be free to break away from the atom and comprise part of an electric current through
the substance. If the quantum limitations imposed on an electron deny it this freedom, however, the electron
is considered to be "bound" and cannot break away (at least not easily) to constitute a current. The former
scenario is typical of conducting materials, while the latter is typical of insulating materials.

Some textbooks will tell you that an element's conductivity or nonconductivity is exclusively determined by the
number of electrons residing in the atoms' outer "shell" (called the valence shell), but this is an
oversimplification, as any examination of conductivity versus valence electrons in a table of elements will
confirm. The true complexity of the situation is further revealed when the conductivity of molecules (collections
of atoms bound to one another by electron activity) is considered.

A good example of this is the element carbon, which comprises materials of vastly differing conductivity:
graphite and diamond. Graphite is a fair conductor of electricity, while diamond is practically an insulator
(stranger yet, it is technically classified as a semiconductor, which in its pure form acts as an insulator, but can
conduct under high temperatures and/or the influence of impurities). Both graphite and diamond are composed
of the exact same types of atoms: carbon, with 6 protons, 6 neutrons and 6 electrons each. The fundamental
difference between graphite and diamond being that graphite molecules are flat groupings of carbon atoms
while diamond molecules are tetrahedral (pyramid-shaped) groupings of carbon atoms.

If atoms of carbon are joined to other types of atoms to form compounds, electrical conductivity becomes
altered once again. Silicon carbide, a compound of the elements silicon and carbon, exhibits nonlinear
behavior: its electrical resistance decreases with increases in applied voltage! Hydrocarbon compounds (such
as the molecules found in oils) tend to be very good insulators. As you can see, a simple count of valence
electrons in an atom is a poor indicator of a substance's electrical conductivity.

All metallic elements are good conductors of electricity, due to the way the atoms bond with each other. The
electrons of the atoms comprising a mass of metal are so uninhibited in their allowable energy states that they
float freely between the different nuclei in the substance, readily motivated by any electric field. The electrons
are so mobile, in fact, that they are sometimes described by scientists as an electron gas, or even an electron
sea in which the atomic nuclei rest. This electron mobility accounts for some of the other common properties of
metals: good heat conductivity, malleability and ductility (easily formed into different shapes), and a lustrous
finish when pure.

Thankfully, the physics behind all this is mostly irrelevant to our purposes here. Suffice it to say that some
materials are good conductors, some are poor conductors, and some are in between. For now it is good enough
to simply understand that these distinctions are determined by the configuration of the electrons around the
constituent atoms of the material.

An important step in getting electricity to do our bidding is to be able to construct paths for electrons to flow
with controlled amounts of resistance. It is also vitally important that we be able to prevent electrons from
flowing where we don't want them to, by using insulating materials. However, not all conductors are the same,
and neither are all insulators. We need to understand some of the characteristics of common conductors and
insulators, and be able to apply these characteristics to specific applications.

Almost all conductors possess a certain, measurable resistance (special types of materials called
superconductors possess absolutely no electrical resistance, but these are not ordinary materials, and they
must be held in special conditions in order to be super conductive). Typically, we assume the resistance of the
conductors in a circuit to be zero, and we expect that current passes through them without producing any
appreciable voltage drop. In reality, however, there will almost always be a voltage drop along the (normal)
conductive pathways of an electric circuit, whether we want a voltage drop to be there or not:

In order to calculate what these voltage drops will be in any particular circuit, we must be able to ascertain the
resistance of ordinary wire, knowing the wire size and diameter. Some of the following sections of this chapter
will address the details of doing this.

• REVIEW:
• Electrical conductivity of a material is determined by the configuration of electrons in that materials
atoms and molecules (groups of bonded atoms).
• All normal conductors possess resistance to some degree.
• Electrons flowing through a conductor with (any) resistance will produce some amount of voltage drop
across the length of that conductor.

Conductor size

It should be common-sense knowledge that liquids flow through large-diameter pipes easier than they do
through small-diameter pipes (if you would like a practical illustration, try drinking a liquid through straws of
different diameters). The same general principle holds for the flow of electrons through conductors: the
broader the cross-sectional area (thickness) of the conductor, the more room for electrons to flow, and
consequently, the easier it is for flow to occur (less resistance).

Electrical wire is usually round in cross-section (although there are some unique exceptions to this rule), and
comes in two basic varieties: solid and stranded. Solid copper wire is just as it sounds: a single, solid strand of
copper the whole length of the wire. Stranded wire is composed of smaller strands of solid copper wire twisted
together to form a single, larger conductor. The greatest benefit of stranded wire is its mechanical flexibility,
being able to withstand repeated bending and twisting much better than solid copper (which tends to fatigue
and break after time).

Wire size can be measured in several ways. We could speak of a wire's diameter, but since it's really the cross-
sectional area that matters most regarding the flow of electrons, we are better off designating wire size in
terms of area.
The wire cross-section picture shown above is, of course, not drawn to scale. The diameter is shown as being
0.1019 inches. Calculating the area of the cross-section with the formula Area = πr2, we get an area of
0.008155 square inches:

These are fairly small numbers to work with, so wire sizes are often expressed in measures of thousandths-of-
an-inch, or mils. For the illustrated example, we would say that the diameter of the wire was 101.9 mils
(0.1019 inch times 1000). We could also, if we wanted, express the area of the wire in the unit of square mils,
calculating that value with the same circle-area formula, Area = πr2:
However, electricians and others frequently concerned with wire size use another unit of area measurement
tailored specifically for wire's circular cross-section. This special unit is called the circular mil (sometimes
abbreviated cmil). The sole purpose for having this special unit of measurement is to eliminate the need to
invoke the factor π (3.1415927 . . .) in the formula for calculating area, plus the need to figure wire radius
when you've been given diameter. The formula for calculating the circular-mil area of a circular wire is very
simple:

Because this is a unit of area measurement, the mathematical power of 2 is still in effect (doubling the width of
a circle will always quadruple its area, no matter what units are used, or if the width of that circle is expressed
in terms of radius or diameter). To illustrate the difference between measurements in square mils and
measurements in circular mils, I will compare a circle with a square, showing the area of each shape in both
unit measures:

And for another size of wire:

Obviously, the circle of a given diameter has less cross-sectional area than a square of width and height equal
to the circle's diameter: both units of area measurement reflect that. However, it should be clear that the unit
of "square mil" is really tailored for the convenient determination of a square's area, while "circular mil" is
tailored for the convenient determination of a circle's area: the respective formula for each is simpler to work
with. It must be understood that both units are valid for measuring the area of a shape, no matter what shape
that may be. The conversion between circular mils and square mils is a simple ratio: there are π (3.1415927 . .
.) square mils to every 4 circular mils.

Another measure of cross-sectional wire area is the gauge. The gauge scale is based on whole numbers rather
than fractional or decimal inches. The larger the gauge number, the skinnier the wire; the smaller the gauge
number, the fatter the wire. For those acquainted with shotguns, this inversely-proportional measurement
scale should sound familiar.

The table at the end of this section equates gauge with inch diameter, circular mils, and square inches for solid
wire. The larger sizes of wire reach an end of the common gauge scale (which naturally tops out at a value of
1), and are represented by a series of zeros. "3/0" is another way to represent "000," and is pronounced
"triple-ought." Again, those acquainted with shotguns should recognize the terminology, strange as it may
sound. To make matters even more confusing, there is more than one gauge "standard" in use around the
world. For electrical conductor sizing, the American Wire Gauge (AWG), also known as the Brown and Sharpe
(B&S) gauge, is the measurement system of choice. In Canada and Great Britain, the British Standard Wire
Gauge (SWG) is the legal measurement system for electrical conductors. Other wire gauge systems exist in the
world for classifying wire diameter, such as the Stubs steel wire gauge and the Steel Music Wire Gauge (MWG),
but these measurement systems apply to non-electrical wire use.

The American Wire Gauge (AWG) measurement system, despite its oddities, was designed with a purpose: for
every three steps in the gauge scale, wire area (and weight per unit length) approximately doubles. This is a
handy rule to remember when making rough wire size estimations!

For very large wire sizes (fatter than 4/0), the wire gauge system is typically abandoned for cross-sectional
area measurement in thousands of circular mils (MCM), borrowing the old Roman numeral "M" to denote a
multiple of "thousand" in front of "CM" for "circular mils." The following table of wire sizes does not show any
sizes bigger than 4/0 gauge, because solid copper wire becomes impractical to handle at those sizes. Stranded
wire construction is favored, instead.

WIRE TABLE FOR SOLID, ROUND COPPER CONDUCTORS

Size Diameter Cross-sectional area Weight

AWG inches cir. mils sq. inches lb/1000 ft
===============================================================
4/0 -------- 0.4600 ------- 211,600 ------ 0.1662 ------ 640.5
3/0 -------- 0.4096 ------- 167,800 ------ 0.1318 ------ 507.9
2/0 -------- 0.3648 ------- 133,100 ------ 0.1045 ------ 402.8
1/0 -------- 0.3249 ------- 105,500 ----- 0.08289 ------ 319.5
1 -------- 0.2893 ------- 83,690 ------ 0.06573 ------ 253.5
2 -------- 0.2576 ------- 66,370 ------ 0.05213 ------ 200.9
3 -------- 0.2294 ------- 52,630 ------ 0.04134 ------ 159.3
4 -------- 0.2043 ------- 41,740 ------ 0.03278 ------ 126.4
5 -------- 0.1819 ------- 33,100 ------ 0.02600 ------ 100.2
6 -------- 0.1620 ------- 26,250 ------ 0.02062 ------ 79.46
7 -------- 0.1443 ------- 20,820 ------ 0.01635 ------ 63.02
8 -------- 0.1285 ------- 16,510 ------ 0.01297 ------ 49.97
9 -------- 0.1144 ------- 13,090 ------ 0.01028 ------ 39.63
10 -------- 0.1019 ------- 10,380 ------ 0.008155 ----- 31.43
11 -------- 0.09074 ------- 8,234 ------ 0.006467 ----- 24.92
12 -------- 0.08081 ------- 6,530 ------ 0.005129 ----- 19.77
13 -------- 0.07196 ------- 5,178 ------ 0.004067 ----- 15.68
14 -------- 0.06408 ------- 4,107 ------ 0.003225 ----- 12.43
15 -------- 0.05707 ------- 3,257 ------ 0.002558 ----- 9.858
16 -------- 0.05082 ------- 2,583 ------ 0.002028 ----- 7.818
17 -------- 0.04526 ------- 2,048 ------ 0.001609 ----- 6.200
18 -------- 0.04030 ------- 1,624 ------ 0.001276 ----- 4.917
19 -------- 0.03589 ------- 1,288 ------ 0.001012 ----- 3.899
20 -------- 0.03196 ------- 1,022 ----- 0.0008023 ----- 3.092
21 -------- 0.02846 ------- 810.1 ----- 0.0006363 ----- 2.452
22 -------- 0.02535 ------- 642.5 ----- 0.0005046 ----- 1.945
23 -------- 0.02257 ------- 509.5 ----- 0.0004001 ----- 1.542
24 -------- 0.02010 ------- 404.0 ----- 0.0003173 ----- 1.233
25 -------- 0.01790 ------- 320.4 ----- 0.0002517 ----- 0.9699
26 -------- 0.01594 ------- 254.1 ----- 0.0001996 ----- 0.7692
27 -------- 0.01420 ------- 201.5 ----- 0.0001583 ----- 0.6100
28 -------- 0.01264 ------- 159.8 ----- 0.0001255 ----- 0.4837
29 -------- 0.01126 ------- 126.7 ----- 0.00009954 ---- 0.3836
30 -------- 0.01003 ------- 100.5 ----- 0.00007894 ---- 0.3042
31 ------- 0.008928 ------- 79.70 ----- 0.00006260 ---- 0.2413
32 ------- 0.007950 ------- 63.21 ----- 0.00004964 ---- 0.1913
33 ------- 0.007080 ------- 50.13 ----- 0.00003937 ---- 0.1517
34 ------- 0.006305 ------- 39.75 ----- 0.00003122 ---- 0.1203
35 ------- 0.005615 ------- 31.52 ----- 0.00002476 --- 0.09542
36 ------- 0.005000 ------- 25.00 ----- 0.00001963 --- 0.07567
37 ------- 0.004453 ------- 19.83 ----- 0.00001557 --- 0.06001
38 ------- 0.003965 ------- 15.72 ----- 0.00001235 --- 0.04759
39 ------- 0.003531 ------- 12.47 ---- 0.000009793 --- 0.03774
40 ------- 0.003145 ------- 9.888 ---- 0.000007766 --- 0.02993
41 ------- 0.002800 ------- 7.842 ---- 0.000006159 --- 0.02374
42 ------- 0.002494 ------- 6.219 ---- 0.000004884 --- 0.01882
43 ------- 0.002221 ------- 4.932 ---- 0.000003873 --- 0.01493
44 ------- 0.001978 ------- 3.911 ---- 0.000003072 --- 0.01184

For some high-current applications, conductor sizes beyond the practical size limit of round wire are required.
In these instances, thick bars of solid metal called busbars are used as conductors. Busbars are usually made
of copper or aluminum, and are most often uninsulated. They are physically supported away from whatever
framework or structure is holding them by insulator standoff mounts. Although a square or rectangular cross-
section is very common for busbar shape, other shapes are used as well. Cross-sectional area for busbars is
typically rated in terms of circular mils (even for square and rectangular bars!), most likely for the convenience
of being able to directly equate busbar size with round wire.

• REVIEW:
• Electrons flow through large-diameter wires easier than small-diameter wires, due to the greater
cross-sectional area they have in which to move.
• Rather than measure small wire sizes in inches, the unit of "mil" (1/1000 of an inch) is often
employed.
 • The cross-sectional area of a wire can be expressed in terms of square units (square inches or square
mils), circular mils, or "gauge" scale.
• Calculating square-unit wire area for a circular wire involves the circle area formula:

•
• Calculating circular-mil wire area for a circular wire is much simpler, due to the fact that the unit of
"circular mil" was sized just for this purpose: to eliminate the "pi" and the d/2 (radius) factors in the
formula.

•
• There are π (3.1416) square mils for every 4 circular mils.
• The gauge system of wire sizing is based on whole numbers, larger numbers representing smaller-
area wires and visa-versa. Wires thicker than 1 gauge are represented by zeros: 0, 00, 000, and 0000
(spoken "single-ought," "double-ought," "triple-ought," and "quadruple-ought."
• Very large wire sizes are rated in thousands of circular mils (MCM's), typical for busbars and wire sizes
beyond 4/0.
• Busbars are solid bars of copper or aluminum used in high-current circuit construction. Connections
made to busbars are usually welded or bolted, and the busbars are often bare (uninsulated),
supported away from metal frames through the use of insulating standoffs.

Conductor ampacity

The smaller the wire, the greater the resistance for any given length, all other factors being equal. A wire with
greater resistance will dissipate a greater amount of heat energy for any given amount of current, the power
being equal to P=I2R.

Dissipated power in a resistance manifests itself in the form of heat, and excessive heat can be damaging to a
wire (not to mention objects near the wire!), especially considering the fact that most wires are insulated with
a plastic or rubber coating, which can melt and burn. Thin wires will, therefore, tolerate less current than thick
wires, all other factors being equal. A conductor's current-carrying limit is known as its ampacity.

Primarily for reasons of safety, certain standards for electrical wiring have been established within the United
States, and are specified in the National Electrical Code (NEC). Typical NEC wire ampacity tables will show
allowable maximum currents for different sizes and applications of wire. Though the melting point of copper
theoretically imposes a limit on wire ampacity, the materials commonly employed for insulating conductors
melt at temperatures far below the melting point copper, and so practical ampacity ratings are based on the
thermal limits of the insulation. Voltage dropped as a result of excessive wire resistance is also a factor in
sizing conductors for their use in circuits, but this consideration is better assessed through more complex
means (which we will cover in this chapter). A table derived from an NEC listing is shown for example:

COPPER CONDUCTOR AMPACITIES, IN FREE AIR AT 30 DEGREES C

========================================================
INSULATION RUW, T THW, THWN FEP, FEPB
TYPE: TW RUH THHN, XHHW
========================================================
Size Current Rating Current Rating Current Rating
AWG @ 60 degrees C @ 75 degrees C @ 90 degrees C
========================================================
20 -------- *9 ----------------------------- *12.5
18 -------- *13 ------------------------------ 18
16 -------- *18 ------------------------------ 24
14 --------- 25 ------------- 30 ------------- 35
12 --------- 30 ------------- 35 ------------- 40
10 --------- 40 ------------- 50 ------------- 55
8 ---------- 60 ------------- 70 ------------- 80
6 ---------- 80 ------------- 95 ------------ 105
4 --------- 105 ------------ 125 ------------ 140
2 --------- 140 ------------ 170 ------------ 190
1 --------- 165 ------------ 195 ------------ 220
1/0 ------- 195 ------------ 230 ------------ 260
2/0 ------- 225 ------------ 265 ------------ 300
3/0 ------- 260 ------------ 310 ------------ 350
4/0 ------- 300 ------------ 360 ------------ 405

* = estimated values; normally, these small wire sizes

are not manufactured with these insulation types

Notice the substantial ampacity differences between same-size wires with different types of insulation. This is
due, again, to the thermal limits of each type of insulation material.

These ampacity ratings are given for copper conductors in "free air" (maximum typical air circulation), as
opposed to wires placed in conduit or wire trays. As you will notice, the table fails to specify ampacities for
small wire sizes. This is because the NEC concerns itself primarily with power wiring (large currents, big wires)
rather than with wires common to low-current electronic work.

There is meaning in the letter sequences used to identify conductor types, and these letters usually refer to
properties of the conductor's insulating layer(s). Some of these letters symbolize individual properties of the
wire while others are simply abbreviations. For example, the letter "T" by itself means "thermoplastic" as an
insulation material, as in "TW" or "THHN." However, the three-letter combination "MTW" is an abbreviation for
Machine Tool Wire, a type of wire whose insulation is made to be flexible for use in machines experiencing
significant motion or vibration.

INSULATION MATERIAL
===================
C = Cotton
FEP = Fluorinated Ethylene Propylene
MI = Mineral (magnesium oxide)
PFA = Perfluoroalkoxy
R = Rubber (sometimes Neoprene)
S = Silicone "rubber"
SA = Silicone-asbestos
T = Thermoplastic
TA = Thermoplastic-asbestos
TFE = Polytetrafluoroethylene ("Teflon")
X = Cross-linked synthetic polymer
Z = Modified ethylene tetrafluoroethylene

HEAT RATING
===========
H = 75 degrees Celsius
HH = 90 degrees Celsius

OUTER COVERING ("JACKET")

=========================
N = Nylon

SPECIAL SERVICE CONDITIONS

==========================
U = Underground
W = Wet
-2 = 90 degrees Celsius and wet

Therefore, a "THWN" conductor has Thermoplastic insulation, is Heat resistant to 75o Celsius, is rated for Wet
conditions, and comes with a Nylon outer jacketing.
Letter codes like these are only used for general-purpose wires such as those used in households and
businesses. For high-power applications and/or severe service conditions, the complexity of conductor
technology defies classification according to a few letter codes. Overhead power line conductors are typically
bare metal, suspended from towers by glass, porcelain, or ceramic mounts known as insulators. Even so, the
actual construction of the wire to withstand physical forces both static (dead weight) and dynamic (wind)
loading can be complex, with multiple layers and different types of metals wound together to form a single
conductor. Large, underground power conductors are sometimes insulated by paper, then enclosed in a steel
pipe filled with pressurized nitrogen or oil to prevent water intrusion. Such conductors require support
equipment to maintain fluid pressure throughout the pipe.

Other insulating materials find use in small-scale applications. For instance, the small-diameter wire used to
make electromagnets (coils producing a magnetic field from the flow of electrons) are often insulated with a
thin layer of enamel. The enamel is an excellent insulating material and is very thin, allowing many "turns" of
wire to be wound in a small space.

• REVIEW:
• Wire resistance creates heat in operating circuits. This heat is a potential fire ignition hazard.
• Skinny wires have a lower allowable current ("ampacity") than fat wires, due to their greater
resistance per unit length, and consequently greater heat generation per unit current.
• The National Electrical Code (NEC) specifies ampacities for power wiring based on allowable insulation
temperature and wire application.

Fuses

Normally, the ampacity rating of a conductor is a circuit design limit never to be intentionally exceeded, but
there is an application where ampacity exceedence is expected: in the case of fuses.

A fuse is nothing more than a short length of wire designed to melt and separate in the event of excessive
current. Fuses are always connected in series with the component(s) to be protected from overcurrent, so that
when the fuse blows (opens) it will open the entire circuit and stop current through the component(s). A fuse
connected in one branch of a parallel circuit, of course, would not affect current through any of the other
branches.

Normally, the thin piece of fuse wire is contained within a safety sheath to minimize hazards of arc blast if the
wire burns open with violent force, as can happen in the case of severe overcurrents. In the case of small
automotive fuses, the sheath is transparent so that the fusible element can be visually inspected. Residential
wiring used to commonly employ screw-in fuses with glass bodies and a thin, narrow metal foil strip in the
middle. A photograph showing both types of fuses is shown here:
Cartridge type fuses are popular in automotive applications, and in industrial applications when constructed
with sheath materials other than glass. Because fuses are designed to "fail" open when their current rating is
exceeded, they are typically designed to be replaced easily in a circuit. This means they will be inserted into
some type of holder rather than being directly soldered or bolted to the circuit conductors. The following is a
photograph showing a couple of glass cartridge fuses in a multi-fuse holder:
The fuses are held by spring metal clips, the clips themselves being permanently connected to the circuit
conductors. The base material of the fuse holder (or fuse block as they are sometimes called) is chosen to be a
good insulator.
Another type of fuse holder for cartridge-type fuses is commonly used for installation in equipment control
panels, where it is desirable to conceal all electrical contact points from human contact. Unlike the fuse block
just shown, where all the metal clips are openly exposed, this type of fuse holder completely encloses the fuse
in an insulating housing:

The most common device in use for overcurrent protection in high-current circuits today is the circuit breaker.
Circuit breakers are specially designed switches that automatically open to stop current in the event of an
overcurrent condition. Small circuit breakers, such as those used in residential, commercial and light industrial
service are thermally operated. They contain a bimetallic strip (a thin strip of two metals bonded back-to-back)
carrying circuit current, which bends when heated. When enough force is generated by the bimetallic strip (due
to overcurrent heating of the strip), the trip mechanism is actuated and the breaker will open. Larger circuit
breakers are automatically actuated by the strength of the magnetic field produced by current-carrying
conductors within the breaker, or can be triggered to trip by external devices monitoring the circuit current
(those devices being called protective relays).

Because circuit breakers don't fail when subjected to overcurrent conditions -- rather, they merely open and
can be re-closed by moving a lever -- they are more likely to be found connected to a circuit in a more
permanent manner than fuses. A photograph of a small circuit breaker is shown here:

From outside appearances, it looks like nothing more than a switch. Indeed, it could be used as such. However,
its true function is to operate as an overcurrent protection device.

It should be noted that some automobiles use inexpensive devices known as fusible links for overcurrent
protection in the battery charging circuit, due to the expense of a properly-rated fuse and holder. A fusible link
is a primitive fuse, being nothing more than a short piece of rubber-insulated wire designed to melt open in the
event of overcurrent, with no hard sheathing of any kind. Such crude and potentially dangerous devices are
never used in industry or even residential power use, mainly due to the greater voltage and current levels
encountered. As far as this author is concerned, their application even in automotive circuits is questionable.

The electrical schematic drawing symbol for a fuse is an S-shaped curve:

Fuses are primarily rated, as one might expect, in the unit for current: amps. Although their operation depends
on the self-generation of heat under conditions of excessive current by means of the fuse's own electrical
resistance, they are engineered to contribute a negligible amount of extra resistance to the circuits they
protect. This is largely accomplished by making the fuse wire as short as is practically possible. Just as a
normal wire's ampacity is not related to its length (10-gauge solid copper wire will handle 40 amps of current
in free air, regardless of how long or short of a piece it is), a fuse wire of certain material and gauge will blow
at a certain current no matter how long it is. Since length is not a factor in current rating, the shorter it can be
made, the less resistance it will have end-to-end.

However, the fuse designer also has to consider what happens after a fuse blows: the melted ends of the once-
continuous wire will be separated by an air gap, with full supply voltage between the ends. If the fuse isn't
made long enough on a high-voltage circuit, a spark may be able to jump from one of the melted wire ends to
the other, completing the circuit again:
Consequently, fuses are rated in terms of their voltage capacity as well as the current level at which they will
blow.

Some large industrial fuses have replaceable wire elements, to reduce the expense. The body of the fuse is an
opaque, reusable cartridge, shielding the fuse wire from exposure and shielding surrounding objects from the
fuse wire.

There's more to the current rating of a fuse than a single number. If a current of 35 amps is sent through a 30
amp fuse, it may blow suddenly or delay before blowing, depending on other aspects of its design. Some fuses
are intended to blow very fast, while others are designed for more modest "opening" times, or even for a
delayed action depending on the application. The latter fuses are sometimes called slow-blow fuses due to their
intentional time-delay characteristics.

A classic example of a slow-blow fuse application is in electric motor protection, where inrush currents of up to
ten times normal operating current are commonly experienced every time the motor is started from a dead
stop. If fast-blowing fuses were to be used in an application like this, the motor could never get started
because the normal inrush current levels would blow the fuse(s) immediately! The design of a slow-blow fuse is
such that the fuse element has more mass (but no more ampacity) than an equivalent fast-blow fuse, meaning
that it will heat up slower (but to the same ultimate temperature) for any given amount of current.

On the other end of the fuse action spectrum, there are so-called semiconductor fuses designed to open very
quickly in the event of an overcurrent condition. Semiconductor devices such as transistors tend to be
especially intolerant of overcurrent conditions, and as such require fast-acting protection against overcurrents
in high-power applications.

Fuses are always supposed to be placed on the "hot" side of the load in systems that are grounded. The intent
of this is for the load to be completely de-energized in all respects after the fuse opens. To see the difference
between fusing the "hot" side versus the "neutral" side of a load, compare these two circuits:
In either case, the fuse successfully interrupted current to the load, but the lower circuit fails to interrupt
potentially dangerous voltage from either side of the load to ground, where a person might be standing. The
first circuit design is much safer.

As it was said before, fuses are not the only type of overcurrent protection device in use. Switch-like devices
called circuit breakers are often (and more commonly) used to open circuits with excessive current, their
popularity due to the fact that they don't destroy themselves in the process of breaking the circuit as fuses do.
In any case, though, placement of the overcurrent protection device in a circuit will follow the same general
guidelines listed above: namely, to "fuse" the side of the power supply not connected to ground.

Although overcurrent protection placement in a circuit may determine the relative shock hazard of that circuit
under various conditions, it must be understood that such devices were never intended to guard against
electric shock. Neither fuses nor circuit breakers were designed to open in the event of a person getting
shocked; rather, they are intended to open only under conditions of potential conductor overheating.
Overcurrent devices primarily protect the conductors of a circuit from overtemperature damage (and the fire
hazards associated with overly hot conductors), and secondarily protect specific pieces of equipment such as
loads and generators (some fast-acting fuses are designed to protect electronic devices particularly susceptible
to current surges). Since the current levels necessary for electric shock or electrocution are much lower than
the normal current levels of common power loads, a condition of overcurrent is not indicative of shock
occurring. There are other devices designed to detect certain chock conditions (ground-fault detectors being
the most popular), but these devices strictly serve that one purpose and are uninvolved with protection of the
conductors against overheating.

• REVIEW:
• A fuse is a small, thin conductor designed to melt and separate into two pieces for the purpose of
breaking a circuit in the event of excessive current.
• A circuit breaker is a specially designed switch that automatically opens to interrupt circuit current in
the event of an overcurrent condition. They can be "tripped" (opened) thermally, by magnetic fields,
or by external devices called "protective relays," depending on the design of breaker, its size, and the
application.
• Fuses are primarily rated in terms of maximum current, but are also rated in terms of how much
voltage drop they will safely withstand after interrupting a circuit.
• Fuses can be designed to blow fast, slow, or anywhere in between for the same maximum level of
current.
• The best place to install a fuse in a grounded power system is on the ungrounded conductor path to
the load. That way, when the fuse blows there will only be the grounded (safe) conductor still
connected to the load, making it safer for people to be around.

Specific resistance

Conductor ampacity rating is a crude assessment of resistance based on the potential for current to create a
fire hazard. However, we may come across situations where the voltage drop created by wire resistance in a
circuit poses concerns other than fire avoidance. For instance, we may be designing a circuit where voltage
across a component is critical, and must not fall below a certain limit. If this is the case, the voltage drops
resulting from wire resistance may cause an engineering problem while being well within safe (fire) limits of
ampacity:

If the load in the above circuit will not tolerate less than 220 volts, given a source voltage of 230 volts, then
we'd better be sure that the wiring doesn't drop more than 10 volts along the way. Counting both the supply
and return conductors of this circuit, this leaves a maximum tolerable drop of 5 volts along the length of each
wire. Using Ohm's Law (R=E/I), we can determine the maximum allowable resistance for each piece of wire:

We know that the wire length is 2300 feet for each piece of wire, but how do we determine the amount of
resistance for a specific size and length of wire? To do that, we need another formula:

This formula relates the resistance of a conductor with its specific resistance (the Greek letter "rho" (ρ), which
looks similar to a lower-case letter "p"), its length ("l"), and its cross-sectional area ("A"). Notice that with the
length variable on the top of the fraction, the resistance value increases as the length increases (analogy: it is
more difficult to force liquid through a long pipe than a short one), and decreases as cross-sectional area
increases (analogy: liquid flows easier through a fat pipe than through a skinny one). Specific resistance is a
constant for the type of conductor material being calculated.

The specific resistances of several conductive materials can be found in the following table. We find copper
near the bottom of the table, second only to silver in having low specific resistance (good conductivity):

SPECIFIC RESISTANCE AT 20 DEGREES CELSIUS

Material Element/Alloy (ohm-cmil/ft) (microohm-cm)

===============================================================
Nichrome ------ Alloy --------------- 675 ----------- 112.2
Nichrome V ---- Alloy --------------- 650 ----------- 108.1
Manganin ------ Alloy --------------- 290 ----------- 48.21
Constantan ---- Alloy --------------- 272.97 -------- 45.38
Steel* -------- Alloy --------------- 100 ----------- 16.62
Platinum ----- Element -------------- 63.16 --------- 10.5
Iron --------- Element -------------- 57.81 --------- 9.61
Nickel ------- Element -------------- 41.69 --------- 6.93
Zinc --------- Element -------------- 35.49 --------- 5.90
Molybdenum --- Element -------------- 32.12 --------- 5.34
Tungsten ----- Element -------------- 31.76 --------- 5.28
Aluminum ----- Element -------------- 15.94 --------- 2.650
Gold --------- Element -------------- 13.32 --------- 2.214
Copper ------- Element -------------- 10.09 --------- 1.678
Silver ------- Element -------------- 9.546 --------- 1.587

* = Steel alloy at 99.5 percent iron, 0.5 percent carbon

Notice that the figures for specific resistance in the above table are given in the very strange unit of "ohms-
cmil/ft" (Ω-cmil/ft), This unit indicates what units we are expected to use in the resistance formula (R=ρl/A).
In this case, these figures for specific resistance are intended to be used when length is measured in feet and
cross-sectional area is measured in circular mils.

The metric unit for specific resistance is the ohm-meter (Ω-m), or ohm-centimeter (Ω-cm), with 1.66243 x 10-9
Ω-meters per Ω-cmil/ft (1.66243 x 10-7 Ω-cm per Ω-cmil/ft). In the Ω-cm column of the table, the figures are
actually scaled as µΩ-cm due to their very small magnitudes. For example, iron is listed as 9.61 µΩ-cm, which
could be represented as 9.61 x 10-6 Ω-cm.

When using the unit of Ω-meter for specific resistance in the R=ρl/A formula, the length needs to be in meters
and the area in square meters. When using the unit of Ω-centimeter (Ω-cm) in the same formula, the length
needs to be in centimeters and the area in square centimeters.

All these units for specific resistance are valid for any material (Ω-cmil/ft, Ω-m, or Ω-cm). One might prefer to
use Ω-cmil/ft, however, when dealing with round wire where the cross-sectional area is already known in
circular mils. Conversely, when dealing with odd-shaped busbar or custom busbar cut out of metal stock,
where only the linear dimensions of length, width, and height are known, the specific resistance units of Ω-
meter or Ω-cm may be more appropriate.

Going back to our example circuit, we were looking for wire that had 0.2 Ω or less of resistance over a length
of 2300 feet. Assuming that we're going to use copper wire (the most common type of electrical wire
manufactured), we can set up our formula as such:

Algebraically solving for A, we get a value of 116,035 circular mils. Referencing our solid wire size table, we
find that "double-ought" (2/0) wire with 133,100 cmils is adequate, whereas the next lower size, "single-
ought" (1/0), at 105,500 cmils is too small. Bear in mind that our circuit current is a modest 25 amps.
According to our ampacity table for copper wire in free air, 14 gauge wire would have sufficed (as far as not
starting a fire is concerned). However, from the standpoint of voltage drop, 14 gauge wire would have been
very unacceptable.

Just for fun, let's see what 14 gauge wire would have done to our power circuit's performance. Looking at our
wire size table, we find that 14 gauge wire has a cross-sectional area of 4,107 circular mils. If we're still using
copper as a wire material (a good choice, unless we're really rich and can afford 4600 feet of 14 gauge silver
wire!), then our specific resistance will still be 10.09 Ω-cmil/ft:

Remember that this is 5.651 Ω per 2300 feet of 14-gauge copper wire, and that we have two runs of 2300 feet
in the entire circuit, so each wire piece in the circuit has 5.651 Ω of resistance:

Our total circuit wire resistance is 2 times 5.651, or 11.301 Ω. Unfortunately, this is far too much resistance to
allow 25 amps of current with a source voltage of 230 volts. Even if our load resistance was 0 Ω, our wiring
resistance of 11.301 Ω would restrict the circuit current to a mere 20.352 amps! As you can see, a "small"
amount of wire resistance can make a big difference in circuit performance, especially in power circuits where
the currents are much higher than typically encountered in electronic circuits.

Let's do an example resistance problem for a piece of custom-cut busbar. Suppose we have a piece of solid
aluminum bar, 4 centimeters wide by 3 centimeters tall by 125 centimeters long, and we wish to figure the
end-to-end resistance along the long dimension (125 cm). First, we would need to determine the cross-
sectional area of the bar:

We also need to know the specific resistance of aluminum, in the unit proper for this application (Ω-cm). From
our table of specific resistances, we see that this is 2.65 x 10-6 Ω-cm. Setting up our R=ρl/A formula, we have:
As you can see, the sheer thickness of a busbar makes for very low resistances compared to that of standard
wire sizes, even when using a material with a greater specific resistance.

The procedure for determining busbar resistance is not fundamentally different than for determining round wire
resistance. We just need to make sure that cross-sectional area is calculated properly and that all the units
correspond to each other as they should.

• REVIEW:
• Conductor resistance increases with increased length and decreases with increased cross-sectional
area, all other factors being equal.
• Specific Resistance ("ρ") is a property of any conductive material, a figure used to determine the end-
to-end resistance of a conductor given length and area in this formula: R = ρl/A
• Specific resistance for materials are given in units of Ω-cmil/ft or Ω-meters (metric). Conversion factor
between these two units is 1.66243 x 10-9 Ω-meters per Ω-cmil/ft, or 1.66243 x 10-7 Ω-cm per Ω-
cmil/ft.
• If wiring voltage drop in a circuit is critical, exact resistance calculations for the wires must be made
before wire size is chosen.

Temperature coefficient of resistance

You might have noticed on the table for specific resistances that all figures were specified at a temperature of
20o Celsius. If you suspected that this meant specific resistance of a material may change with temperature,
you were right!

Resistance values for conductors at any temperature other than the standard temperature (usually specified at
20 Celsius) on the specific resistance table must be determined through yet another formula:

The "alpha" (α) constant is known as the temperature coefficient of resistance, and symbolizes the resistance
change factor per degree of temperature change. Just as all materials have a certain specific resistance (at 20o
C), they also change resistance according to temperature by certain amounts. For pure metals, this coefficient
is a positive number, meaning that resistance increases with increasing temperature. For the elements carbon,
silicon, and germanium, this coefficient is a negative number, meaning that resistance decreases with
increasing temperature. For some metal alloys, the temperature coefficient of resistance is very close to zero,
meaning that the resistance hardly changes at all with variations in temperature (a good property if you want
to build a precision resistor out of metal wire!). The following table gives the temperature coefficients of
resistance for several common metals, both pure and alloy:

TEMPERATURE COEFFICIENTS OF RESISTANCE, AT 20 DEGREES C

Material Element/Alloy "alpha" per degree Celsius

==========================================================
Nickel -------- Element --------------- 0.005866
Iron ---------- Element --------------- 0.005671
Molybdenum ---- Element --------------- 0.004579
Tungsten ------ Element --------------- 0.004403
Aluminum ------ Element --------------- 0.004308
Copper -------- Element --------------- 0.004041
Silver -------- Element --------------- 0.003819
Platinum ------ Element --------------- 0.003729
Gold ---------- Element --------------- 0.003715
Zinc ---------- Element --------------- 0.003847
Steel* --------- Alloy ---------------- 0.003
Nichrome ------- Alloy ---------------- 0.00017
Nichrome V ----- Alloy ---------------- 0.00013
Manganin ------- Alloy ------------ +/- 0.000015
Constantan ----- Alloy --------------- -0.000074

* = Steel alloy at 99.5 percent iron, 0.5 percent carbon

Let's take a look at an example circuit to see how temperature can affect wire resistance, and consequently
circuit performance:

This circuit has a total wire resistance (wire 1 + wire 2) of 30 Ω at standard temperature. Setting up a table of
voltage, current, and resistance values we get:
At 20o Celsius, we get 12.5 volts across the load and a total of 1.5 volts (0.75 + 0.75) dropped across the wire
resistance. If the temperature were to rise to 35o Celsius, we could easily determine the change of resistance
for each piece of wire. Assuming the use of copper wire (α = 0.004041) we get:

Recalculating our circuit values, we see what changes this increase in temperature will bring:

As you can see, voltage across the load went down (from 12.5 volts to 12.42 volts) and voltage drop across
the wires went up (from 0.75 volts to 0.79 volts) as a result of the temperature increasing. Though the
changes may seem small, they can be significant for power lines stretching miles between power plants and
substations, substations and loads. In fact, power utility companies often have to take line resistance changes
resulting from seasonal temperature variations into effect when calculating allowable system loading.

• REVIEW:
• Most conductive materials change specific resistance with changes in temperature. This is why figures
of specific resistance are always specified at a standard temperature (usually 20o or 25o Celsius).
• The resistance-change factor per degree Celsius of temperature change is called the temperature
coefficient of resistance. This factor is represented by the Greek lower-case letter "alpha" (α).
• A positive coefficient for a material means that its resistance increases with an increase in
temperature. Pure metals typically have positive temperature coefficients of resistance. Coefficients
approaching zero can be obtained by alloying certain metals.
• A negative coefficient for a material means that its resistance decreases with an increase in
temperature. Semiconductor materials (carbon, silicon, germanium) typically have negative
temperature coefficients of resistance.
• The formula used to determine the resistance of a conductor at some temperature other than what is
specified in a resistance table is as follows:

•
Superconductivity

When conductors lose all of their electrical resistance when cooled to super-low temperatures (near absolute
zero, about -273o Celsius). It must be understood that superconductivity is not merely an extrapolation of most
conductors' tendency to gradually lose resistance with decreases in temperature; rather, it is a sudden,
quantum leap in resistivity from finite to nothing. A superconducting material has absolutely zero electrical
resistance, not just some small amount.

Superconductivity was first discovered by H. Kamerlingh Onnes at the University of Leiden, Netherlands in
1911. Just three years earlier, in 1908, Onnes had developed a method of liquefying helium gas, which
provided a medium for which to supercool experimental objects to just a few degrees above absolute zero.
Deciding to investigate changes in electrical resistance of mercury when cooled to this low of a temperature, he
discovered that its resistance dropped to nothing just below the boiling point of helium.

There is some debate over exactly how and why superconducting materials superconduct. One theory holds
that electrons group together and travel in pairs (called Cooper pairs) within a superconductor rather than
travel independently, and that has something to do with their frictionless flow. Interestingly enough, another
phenomenon of super-cold temperatures, superfluidity, happens with certain liquids (especially liquid helium),
resulting in frictionless flow of molecules.

Superconductivity promises extraordinary capabilities for electric circuits. If conductor resistance could be
eliminated entirely, there would be no power losses or inefficiencies in electric power systems due to stray
resistances. Electric motors could be made almost perfectly (100%) efficient. Components such as capacitors
and inductors, whose ideal characteristics are normally spoiled by inherent wire resistances, could be made
ideal in a practical sense. Already, some practical superconducting conductors, motors, and capacitors have
been developed, but their use at this present time is limited due to the practical problems intrinsic to
maintaining super-cold temperatures.

The threshold temperature for a superconductor to switch from normal conduction to superconductivity is
called the transition temperature. Transition temperatures for "classic" superconductors are in the cryogenic
range (near absolute zero), but much progress has been made in developing "high-temperature"
superconductors which superconduct at warmer temperatures. One type is a ceramic mixture of yttrium,
barium, copper, and oxygen which transitions at a relatively balmy -160o Celsius. Ideally, a superconductor
should be able to operate within the range of ambient temperatures, or at least within the range of inexpensive
refrigeration equipment.

The critical temperatures for a few common substances are shown here in this table. Temperatures are given
in degrees Kelvin, which has the same incremental span as degrees Celsius (an increase or decrease of 1o
Kelvin is the same amount of temperature change as 1o Celsius), only offset so that 0o K is absolute zero. This
way, we don't have to deal with a lot of negative figures.

Material Element/Alloy Critical temp. (degrees K)

==========================================================
Aluminum -------- Element --------------- 1.20
Cadmium --------- Element --------------- 0.56
Lead ------------ Element --------------- 7.2
Mercury --------- Element --------------- 4.16
Niobium --------- Element --------------- 8.70
Thorium --------- Element --------------- 1.37
Tin ------------- Element --------------- 3.72
Titanium -------- Element --------------- 0.39
Uranium --------- Element --------------- 1.0
Zinc ------------ Element --------------- 0.91
Niobium/Tin ------ Alloy ---------------- 18.1
Cupric sulphide - Compound -------------- 1.6

Superconducting materials also interact in interesting ways with magnetic fields. While in the superconducting
state, a superconducting material will tend to exclude all magnetic fields, a phenomenon known as the
Meissner effect. However, if the magnetic field strength intensifies beyond a critical level, the superconducting
material will be rendered non-superconductive. In other words, superconducting materials will lose their
superconductivity (no matter how cold you make them) if exposed to too strong of a magnetic field. In fact,
the presence of any magnetic field tends to lower the critical temperature of any superconducting material: the
more magnetic field present, the colder you have to make the material before it will superconduct.

This is another practical limitation to superconductors in circuit design, since electric current through any
conductor produces a magnetic field. Even though a superconducting wire would have zero resistance to
oppose current, there will still be a limit of how much current could practically go through that wire due to its
critical magnetic field limit.

There are already a few industrial applications of superconductors, especially since the recent (1987) advent of
the yttrium-barium-copper-oxygen ceramic, which only requires liquid nitrogen to cool, as opposed to liquid
helium. It is even possible to order superconductivity kits from educational suppliers which can be operated in
high school labs (liquid nitrogen not included). Typically, these kits exhibit superconductivity by the Meissner
effect, suspending a tiny magnet in mid-air over a superconducting disk cooled by a bath of liquid nitrogen.

The zero resistance offered by superconducting circuits leads to unique consequences. In a superconducting
short-circuit, it is possible to maintain large currents indefinitely with zero applied voltage!

Rings of superconducting material have been experimentally proven to sustain continuous current for years
with no applied voltage. So far as anyone knows, there is no theoretical time limit to how long an unaided
current could be sustained in a superconducting circuit. If you're thinking this appears to be a form of
perpetual motion, you're correct! Contrary to popular belief, there is no law of physics prohibiting perpetual
motion; rather, the prohibition stands against any machine or system generating more energy than it
consumes (what would be referred to as an over-unity device). At best, all a perpetual motion machine (like
the superconducting ring) would be good for is to store energy, not generate it freely!

Superconductors also offer some strange possibilities having nothing to do with Ohm's Law. One such
possibility is the construction of a device called a Josephson Junction, which acts as a relay of sorts, controlling
one current with another current (with no moving parts, of course). The small size and fast switching time of
Josephson Junctions may lead to new computer circuit designs: an alternative to using semiconductor
transistors.

• REVIEW:
• Superconductors are materials which have absolutely zero electrical resistance.
• All presently known superconductive materials need to be cooled far below ambient temperature to
superconduct. The maximum temperature at which they do so is called the transition temperature.
Insulator breakdown voltage

The atoms in insulating materials have very tightly-bound electrons, resisting free electron flow very well.
However, insulators cannot resist indefinite amounts of voltage. With enough voltage applied, any insulating
material will eventually succumb to the electrical "pressure" and electron flow will occur. However, unlike the
situation with conductors where current is in a linear proportion to applied voltage (given a fixed resistance),
current through an insulator is quite nonlinear: for voltages below a certain threshold level, virtually no
electrons will flow, but if the voltage exceeds that threshold, there will be a rush of current.

Once current is forced through an insulating material, breakdown of that material's molecular structure has
occurred. After breakdown, the material may or may not behave as an insulator any more, the molecular
structure having been altered by the breach. There is usually a localized "puncture" of the insulating medium
where the electrons flowed during breakdown.

Thickness of an insulating material plays a role in determining its breakdown voltage, otherwise known as
dielectric strength. Specific dielectric strength is sometimes listed in terms of volts per mil (1/1000 of an inch),
or kilovolts per inch (the two units are equivalent), but in practice it has been found that the relationship
between breakdown voltage and thickness is not exactly linear. An insulator three times as thick has a
dielectric strength slightly less than 3 times as much. However, for rough estimation use, volt-per-thickness
ratings are fine.

Material* Dielectric strength (kV/inch)

===========================================
Vacuum ------------------- 20
Air ---------------------- 20 to 75
Porcelain ---------------- 40 to 200
Paraffin Wax ------------- 200 to 300
Transformer Oil ---------- 400
Bakelite ----------------- 300 to 550
Rubber ------------------- 450 to 700
Shellac ------------------ 900
Paper -------------------- 1250
Teflon ------------------- 1500
Glass -------------------- 2000 to 3000
Mica --------------------- 5000

* = Materials listed are specially prepared for electrical use.

• REVIEW:
• With a high enough applied voltage, electrons can be freed from the atoms of insulating materials,
resulting in current through that material.
• The minimum voltage required to "violate" an insulator by forcing current through it is called the
breakdown voltage, or dielectric strength.
• The thicker a piece of insulating material, the higher the breakdown voltage, all other factors being
equal.
• Specific dielectric strength is typically rated in one of two equivalent units: volts per mil, or kilovolts
per inch.

Data

Tables of specific resistance and temperature coefficient of resistance for elemental materials (not alloys) were
derived from figures found in the 78th edition of the CRC Handbook of Chemistry and Physics.
Table of superconductor critical temperatures derived from figures found in the 21st volume of Collier's
Encyclopedia, 1968.

Electric fields and capacitance

Whenever an electric voltage exists between two separated conductors, an electric field is present within the
space between those conductors. In basic electronics, we study the interactions of voltage, current, and
resistance as they pertain to circuits, which are conductive paths through which electrons may travel. When we
talk about fields, however, we're dealing with interactions that can be spread across empty space.

Admittedly, the concept of a "field" is somewhat abstract. At least with electric current it isn't too difficult to
envision tiny particles called electrons moving their way between the nuclei of atoms within a conductor, but a
"field" doesn't even have mass, and need not exist within matter at all.

Despite its abstract nature, almost every one of us has direct experience with fields, at least in the form of
magnets. Have you ever played with a pair of magnets, noticing how they attract or repel each other
depending on their relative orientation? There is an undeniable force between a pair of magnets, and this force
is without "substance." It has no mass, no color, no odor, and if not for the physical force exerted on the
magnets themselves, it would be utterly insensible to our bodies. Physicists describe the interaction of magnets
in terms of magnetic fields in the space between them. If iron filings are placed near a magnet, they orient
themselves along the lines of the field, visually indicating its presence.

The subject of this chapter is electric fields (and devices called capacitors that exploit them), not magnetic
fields, but there are many similarities. Most likely you have experienced electric fields as well. Chapter 1 of this
book began with an explanation of static electricity, and how materials such as wax and wool -- when rubbed
against each other -- produced a physical attraction. Again, physicists would describe this interaction in terms
of electric fields generated by the two objects as a result of their electron imbalances. Suffice it to say that
whenever a voltage exists between two points, there will be an electric field manifested in the space between
those points.

Fields have two measures: a field force and a field flux. The field force is the amount of "push" that a field
exerts over a certain distance. The field flux is the total quantity, or effect, of the field through space. Field
force and flux are roughly analogous to voltage ("push") and current (flow) through a conductor, respectively,
although field flux can exist in totally empty space (without the motion of particles such as electrons) whereas
current can only take place where there are free electrons to move. Field flux can be opposed in space, just as
the flow of electrons can be opposed by resistance. The amount of field flux that will develop in space is
proportional to the amount of field force applied, divided by the amount of opposition to flux. Just as the type
of conducting material dictates that conductor's specific resistance to electric current, the type of insulating
material separating two conductors dictates the specific opposition to field flux.

Normally, electrons cannot enter a conductor unless there is a path for an equal amount of electrons to exit
(remember the marble-in-tube analogy?). This is why conductors must be connected together in a circular path
(a circuit) for continuous current to occur. Oddly enough, however, extra electrons can be "squeezed" into a
conductor without a path to exit if an electric field is allowed to develop in space relative to another conductor.
The number of extra free electrons added to the conductor (or free electrons taken away) is directly
proportional to the amount of field flux between the two conductors.

Capacitors are components designed to take advantage of this phenomenon by placing two conductive plates
(usually metal) in close proximity with each other. There are many different styles of capacitor construction,
each one suited for particular ratings and purposes. For very small capacitors, two circular plates sandwiching
an insulating material will suffice. For larger capacitor values, the "plates" may be strips of metal foil,
sandwiched around a flexible insulating medium and rolled up for compactness. The highest capacitance values
are obtained by using a microscopic-thickness layer of insulating oxide separating two conductive surfaces. In
any case, though, the general idea is the same: two conductors, separated by an insulator.

The schematic symbol for a capacitor is quite simple, being little more than two short, parallel lines
(representing the plates) separated by a gap. Wires attach to the respective plates for connection to other
components. An older, obsolete schematic symbol for capacitors showed interleaved plates, which is actually a
more accurate way of representing the real construction of most capacitors:

When a voltage is applied across the two plates of a capacitor, a concentrated field flux is created between
them, allowing a significant difference of free electrons (a charge) to develop between the two plates:

As the electric field is established by the applied voltage, extra free electrons are forced to collect on the
negative conductor, while free electrons are "robbed" from the positive conductor. This differential charge
equates to a storage of energy in the capacitor, representing the potential charge of the electrons between the
two plates. The greater the difference of electrons on opposing plates of a capacitor, the greater the field flux,
and the greater "charge" of energy the capacitor will store.

Because capacitors store the potential energy of accumulated electrons in the form of an electric field, they
behave quite differently than resistors (which simply dissipate energy in the form of heat) in a circuit. Energy
storage in a capacitor is a function of the voltage between the plates, as well as other factors which we will
discuss later in this chapter. A capacitor's ability to store energy as a function of voltage (potential difference
between the two leads) results in a tendency to try to maintain voltage at a constant level. In other words,
capacitors tend to resist changes in voltage drop. When voltage across a capacitor is increased or decreased,
the capacitor "resists" the change by drawing current from or supplying current to the source of the voltage
change, in opposition to the change.

To store more energy in a capacitor, the voltage across it must be increased. This means that more electrons
must be added to the (-) plate and more taken away from the (+) plate, necessitating a current in that
direction. Conversely, to release energy from a capacitor, the voltage across it must be decreased. This means
some of the excess electrons on the (-) plate must be returned to the (+) plate, necessitating a current in the
other direction.

Just as Isaac Newton's first Law of Motion ("an object in motion tends to stay in motion; an object at rest tends
to stay at rest") describes the tendency of a mass to oppose changes in velocity, we can state a capacitor's
tendency to oppose changes in voltage as such: "A charged capacitor tends to stay charged; a discharged
capacitor tends to stay discharged." Hypothetically, a capacitor left untouched will indefinitely maintain
whatever state of voltage charge that it's been left it. Only an outside source (or drain) of current can alter the
voltage charge stored by a perfect capacitor:

Practically speaking, however, capacitors will eventually lose their stored voltage charges due to internal
leakage paths for electrons to flow from one plate to the other. Depending on the specific type of capacitor, the
time it takes for a stored voltage charge to self-dissipate can be a long time (several years with the capacitor
sitting on a shelf!).

When the voltage across a capacitor is increased, it draws current from the rest of the circuit, acting as a
power load. In this condition the capacitor is said to be charging, because there is an increasing amount of
energy being stored in its electric field. Note the direction of current with regard to the voltage polarity:

Conversely, when the voltage across a capacitor is decreased, the capacitor supplies current to the rest of the
circuit, acting as a power source. In this condition the capacitor is said to be discharging. Its store of energy --
held in the electric field -- is decreasing now as energy is released to the rest of the circuit. Note the direction
of current with regard to the voltage polarity:

If a source of voltage is suddenly applied to an uncharged capacitor (a sudden increase of voltage), the
capacitor will draw current from that source, absorbing energy from it, until the capacitor's voltage equals that
of the source. Once the capacitor voltage reached this final (charged) state, its current decays to zero.
Conversely, if a load resistance is connected to a charged capacitor, the capacitor will supply current to the
load, until it has released all its stored energy and its voltage decays to zero. Once the capacitor voltage
reaches this final (discharged) state, its current decays to zero. In their ability to be charged and discharged,
capacitors can be thought of as acting somewhat like secondary-cell batteries.

The choice of insulating material between the plates, as was mentioned before, has a great impact upon how
much field flux (and therefore how much charge) will develop with any given amount of voltage applied across
the plates. Because of the role of this insulating material in affecting field flux, it has a special name: dielectric.
Not all dielectric materials are equal: the extent to which materials inhibit or encourage the formation of
electric field flux is called the permittivity of the dielectric.

The measure of a capacitor's ability to store energy for a given amount of voltage drop is called capacitance.
Not surprisingly, capacitance is also a measure of the intensity of opposition to changes in voltage (exactly how
much current it will produce for a given rate of change in voltage). Capacitance is symbolically denoted with a
capital "C," and is measured in the unit of the Farad, abbreviated as "F."

Convention, for some odd reason, has favored the metric prefix "micro" in the measurement of large
capacitances, and so many capacitors are rated in terms of confusingly large microFarad values: for example,
one large capacitor I have seen was rated 330,000 microFarads!! Why not state it as 330 milliFarads? I don't
know.

An obsolete name for a capacitor is condenser or condensor. These terms are not used in any new books or
schematic diagrams (to my knowledge), but they might be encountered in older electronics literature. Perhaps
the most well-known usage for the term "condenser" is in automotive engineering, where a small capacitor
called by that name was used to mitigate excessive sparking across the switch contacts (called "points") in
electromechanical ignition systems.

• REVIEW:
• Capacitors react against changes in voltage by supplying or drawing current in the direction necessary
to oppose the change.
• When a capacitor is faced with an increasing voltage, it acts as a load: drawing current as it absorbs
energy (current going in the negative side and out the positive side, like a resistor).
• When a capacitor is faced with a decreasing voltage, it acts as a source: supplying current as it
releases stored energy (current going out the negative side and in the positive side, like a battery).
• The ability of a capacitor to store energy in the form of an electric field (and consequently to oppose
changes in voltage) is called capacitance. It is measured in the unit of the Farad (F).
• Capacitors used to be commonly known by another term: condenser (alternatively spelled
"condensor").

Capacitors and calculus

Capacitors do not have a stable "resistance" as conductors do. However, there is a definite mathematical
relationship between voltage and current for a capacitor, as follows:
The lower-case letter "i" symbolizes instantaneous current, which means the amount of current at a specific
point in time. This stands in contrast to constant current or average current (capital letter "I") over an
unspecified period of time. The expression "dv/dt" is one borrowed from calculus, meaning the instantaneous
rate of voltage change over time, or the rate of change of voltage (volts per second increase or decrease) at a
specific point in time, the same specific point in time that the instantaneous current is referenced at. For
whatever reason, the letter v is usually used to represent instantaneous voltage rather than the letter e.
However, it would not be incorrect to express the instantaneous voltage rate-of-change as "de/dt" instead.

In this equation we see something novel to our experience thusfar with electric circuits: the variable of time.
When relating the quantities of voltage, current, and resistance to a resistor, it doesn't matter if we're dealing
with measurements taken over an unspecified period of time (E=IR; V=IR), or at a specific moment in time
(e=ir; v=ir). The same basic formula holds true, because time is irrelevant to voltage, current, and resistance
in a component like a resistor.

In a capacitor, however, time is an essential variable, because current is related to how rapidly voltage
changes over time. To fully understand this, a few illustrations may be necessary. Suppose we were to connect
a capacitor to a variable-voltage source, constructed with a potentiometer and a battery:

If the potentiometer mechanism remains in a single position (wiper is stationary), the voltmeter connected
across the capacitor will register a constant (unchanging) voltage, and the ammeter will register 0 amps. In
this scenario, the instantaneous rate of voltage change (dv/dt) is equal to zero, because the voltage is
unchanging. The equation tells us that with 0 volts per second change for a dv/dt, there must be zero
instantaneous current (i). From a physical perspective, with no change in voltage, there is no need for any
electron motion to add or subtract charge from the capacitor's plates, and thus there will be no current.
Now, if the potentiometer wiper is moved slowly and steadily in the "up" direction, a greater voltage will
gradually be imposed across the capacitor. Thus, the voltmeter indication will be increasing at a slow rate:

If we assume that the potentiometer wiper is being moved such that the rate of voltage increase across the
capacitor is steady (for example, voltage increasing at a constant rate of 2 volts per second), the dv/dt term of
the formula will be a fixed value. According to the equation, this fixed value of dv/dt, multiplied by the
capacitor's capacitance in Farads (also fixed), results in a fixed current of some magnitude. From a physical
perspective, an increasing voltage across the capacitor demands that there be an increasing charge differential
between the plates. Thus, for a slow, steady voltage increase rate, there must be a slow, steady rate of charge
building in the capacitor, which equates to a slow, steady flow rate of electrons, or current. In this scenario,
the capacitor is acting as a load, with electrons entering the negative plate and exiting the positive,
accumulating energy in the electric field.
If the potentiometer is moved in the same direction, but at a faster rate, the rate of voltage change (dv/dt) will
be greater and so will be the capacitor's current:
When mathematics students first study calculus, they begin by exploring the concept of rates of change for
various mathematical functions. The derivative, which is the first and most elementary calculus principle, is an
expression of one variable's rate of change in terms of another. Calculus students have to learn this principle
while studying abstract equations. You get to learn this principle while studying something you can relate to:
electric circuits!

To put this relationship between voltage and current in a capacitor in calculus terms, the current through a
capacitor is the derivative of the voltage across the capacitor with respect to time. Or, stated in simpler terms,
a capacitor's current is directly proportional to how quickly the voltage across it is changing. In this circuit
where capacitor voltage is set by the position of a rotary knob on a potentiometer, we can say that the
capacitor's current is directly proportional to how quickly we turn the knob.

If we to move the potentiometer's wiper in the same direction as before ("up"), but at varying rates, we would
obtain graphs that looked like this:
Note how that at any given point in time, the capacitor's current is proportional to the rate-of-change, or slope
of the capacitor's voltage plot. When the voltage plot line is rising quickly (steep slope), the current will
likewise be great. Where the voltage plot has a mild slope, the current is small. At one place in the voltage plot
where it levels off (zero slope, representing a period of time when the potentiometer wasn't moving), the
current falls to zero.

If we were to move the potentiometer wiper in the "down" direction, the capacitor voltage would decrease
rather than increase. Again, the capacitor will react to this change of voltage by producing a current, but this
time the current will be in the opposite direction. A decreasing capacitor voltage requires that the charge
differential between the capacitor's plates be reduced, and that only way that can happen is if the electrons
reverse their direction of flow, the capacitor discharging rather than charging. In this condition, with electrons
exiting the negative plate and entering the positive, the capacitor will act as a source, like a battery, releasing
its stored energy to the rest of the circuit.

Again, the amount of current through the capacitor is directly proportional to the rate of voltage change across
it. The only difference between the effects of a decreasing voltage and an increasing voltage is the direction of
electron flow. For the same rate of voltage change over time, either increasing or decreasing, the current
magnitude (amps) will be the same. Mathematically, a decreasing voltage rate-of-change is expressed as a
negative dv/dt quantity. Following the formula i = C(dv/dt), this will result in a current figure (i) that is likewise
negative in sign, indicating a direction of flow corresponding to discharge of the capacitor.

Factors affecting capacitance

There are three basic factors of capacitor construction determining the amount of capacitance created. These
factors all dictate capacitance by affecting how much electric field flux (relative difference of electrons between
plates) will develop for a given amount of magnetic field force (voltage between the two plates):

PLATE AREA: All other factors being equal, greater plate area gives greater capacitance; less plate area gives
less capacitance.

Explanation: Larger plate area results in more field flux (charge collected on the plates) for a given field force
(voltage across the plates).

PLATE SPACING: All other factors being equal, further plate spacing gives less capacitance; closer plate
spacing gives greater capacitance.

Explanation: Closer spacing results in a greater field force (voltage across the capacitor divided by the distance
between the plates), which results in a greater field flux (charge collected on the plates) for any given voltage
applied across the plates.

DIELECTRIC MATERIAL: All other factors being equal, greater permittivity of the dielectric gives greater
capacitance; less permittivity of the dielectric gives less capacitance.

Explanation: Although it's complicated to explain, some materials offer less opposition to field flux for a given
amount of field force. Materials with a greater permittivity allow for more field flux (offer less opposition), and
thus a greater collected charge, for any given amount of field force (applied voltage).
"Relative" permittivity means the permittivity of a material, relative to that of a pure vacuum. The greater the
number, the greater the permittivity of the material. Glass, for instance, with a relative permittivity of 7, has
seven times the permittivity of a pure vacuum, and consequently will allow for the establishment of an electric
field flux seven times stronger than that of a vacuum, all other factors being equal.

The following is a table listing the relative permittivities (also known as the "dielectric constant") of various
common substances:

Material Relative permittivity (dielectric constant)

============================================================
Vacuum ------------------------- 1.0000
Air ---------------------------- 1.0006
PTFE, FEP ("Teflon") ----------- 2.0
Polypropylene ------------------ 2.20 to 2.28
ABS resin ---------------------- 2.4 to 3.2
Polystyrene -------------------- 2.45 to 4.0
Waxed paper -------------------- 2.5
Transformer oil ---------------- 2.5 to 4
Hard Rubber -------------------- 2.5 to 4.80
Wood (Oak) --------------------- 3.3
Silicones ---------------------- 3.4 to 4.3
Bakelite ----------------------- 3.5 to 6.0
Quartz, fused ------------------ 3.8
Wood (Maple) ------------------- 4.4
Glass -------------------------- 4.9 to 7.5
Castor oil --------------------- 5.0
Wood (Birch) ------------------- 5.2
Mica, muscovite ---------------- 5.0 to 8.7
Glass-bonded mica -------------- 6.3 to 9.3
Porcelain, Steatite ------------ 6.5
Alumina ------------------------ 8.0 to 10.0
Distilled water ---------------- 80.0
Barium-strontium-titanite ------ 7500

An approximation of capacitance for any pair of separated conductors can be found with this formula:
A capacitor can be made variable rather than fixed in value by varying any of the physical factors determining
capacitance. One relatively easy factor to vary in capacitor construction is that of plate area, or more properly,
the amount of plate overlap.

The following photograph shows an example of a variable capacitor using a set of interleaved metal plates and
an air gap as the dielectric material:

As the shaft is rotated, the degree to which the sets of plates overlap each other will vary, changing the
effective area of the plates between which a concentrated electric field can be established. This particular
capacitor has a capacitance in the picofarad range, and finds use in radio circuitry.

Series and parallel capacitors

When capacitors are connected in series, the total capacitance is less than any one of the series capacitors'
individual capacitances. If two or more capacitors are connected in series, the overall effect is that of a single
(equivalent) capacitor having the sum total of the plate spacings of the individual capacitors. As we've just
seen, an increase in plate spacing, with all other factors unchanged, results in decreased capacitance.

Thus, the total capacitance is less than any one of the individual capacitors' capacitances. The formula for
calculating the series total capacitance is the same form as for calculating parallel resistances:

When capacitors are connected in parallel, the total capacitance is the sum of the individual capacitors'
capacitances. If two or more capacitors are connected in parallel, the overall effect is that of a single
equivalent capacitor having the sum total of the plate areas of the individual capacitors. As we've just seen, an
increase in plate area, with all other factors unchanged, results in increased capacitance.

Thus, the total capacitance is more than any one of the individual capacitors' capacitances. The formula for
calculating the parallel total capacitance is the same form as for calculating series resistances:

As you will no doubt notice, this is exactly opposite of the phenomenon exhibited by resistors. With resistors,
series connections result in additive values while parallel connections result in diminished values. With
capacitors, it's the reverse: parallel connections result in additive values while series connections result in
diminished values.

• REVIEW:
• Capacitances diminish in series.
• Capacitances add in parallel.
Practical considerations

Capacitors, like all electrical components, have limitations which must be respected for the sake of reliability
and proper circuit operation.

Working voltage: Since capacitors are nothing more than two conductors separated by an insulator (the
dielectric), you must pay attention to the maximum voltage allowed across it. If too much voltage is applied,
the "breakdown" rating of the dielectric material may be exceeded, resulting in the capacitor internally short-
circuiting.

Polarity: Some capacitors are manufactured so they can only tolerate applied voltage in one polarity but not
the other. This is due to their construction: the dielectric is a microscopically thin layer of insulation deposited
on one of the plates by a DC voltage during manufacture. These are called electrolytic capacitors, and their
polarity is clearly marked.

Reversing voltage polarity to an electrolytic capacitor may result in the destruction of that super-thin dielectric
layer, thus ruining the device. However, the thinness of that dielectric permits extremely high values of
capacitance in a relatively small package size. For the same reason, electrolytic capacitors tend to be low in
voltage rating as compared with other types of capacitor construction.

Equivalent circuit: Since the plates in a capacitors have some resistance, and since no dielectric is a perfect
insulator, there is no such thing as a "perfect" capacitor. In real life, a capacitor has both a series resistance
and a parallel (leakage) resistance interacting with its purely capacitive characteristics:

Fortunately, it is relatively easy to manufacture capacitors with very small series resistances and very high
leakage resistances!

Physical Size: For most applications in electronics, minimum size is the goal for component engineering. The
smaller components can be made, the more circuitry can be built into a smaller package, and usually weight is
saved as well. With capacitors, there are two major limiting factors to the minimum size of a unit: working
voltage and capacitance. And these two factors tend to be in opposition to each other. For any given choice in
dielectric materials, the only way to increase the voltage rating of a capacitor is to increase the thickness of the
dielectric. However, as we have seen, this has the effect of decreasing capacitance. Capacitance can be
brought back up by increasing plate area. but this makes for a larger unit. This is why you cannot judge a
capacitor's rating in Farads simply by size. A capacitor of any given size may be relatively high in capacitance
and low in working voltage, visa-versa, or some compromise between the two extremes. Take the following
two photographs for example:

Take the following two photographs for example:

This is a fairly large capacitor in physical size, but it has quite a low capacitance value: only 2 µF. However, its
working voltage is quite high: 2000 volts! If this capacitor were re-engineered to have a thinner layer of
dielectric between its plates, at least a hundredfold increase in capacitance might be achievable, but at a cost
of significantly lowering its working voltage. Compare the above photograph with the one below. The capacitor
shown in the lower picture is an electrolytic unit, similar in size to the one above, but with very different values
of capacitance and working voltage:

=The capacitor shown in the lower picture is an electrolytic unit, similar in size to the one above, but with very
different values of capacitance and working voltage:

different values of capacitance and working voltage:

The thinner dielectric layer

The thinner dielectric layer gives it a much greater capacitance (20,000 µF) and a drastically reduced working
voltage (35 volts continuous, 45 volts intermittent).

Here are some samples of different capacitor types, all smaller than the units shown previously:
The electrolytic and tantalum capacitors are polarized (polarity sensitive), and are always labeled as such. The
electrolytic units have their negative (-) leads distinguished by arrow symbols on their cases. Some polarized
capacitors have their polarity designated by marking the positive terminal. The large, 20,000 µF electrolytic
unit shown in the upright position has its positive (+) terminal labeled with a "plus" mark. Ceramic, mylar,
plastic film, and air capacitors do not have polarity markings, because those types are nonpolarized (they are
not polarity sensitive).

Capacitors are very common components in electronic circuits. Take a close look at the following photograph --
every component marked with a "C" designation on the printed circuit board is a capacitor:

Capacitors are very common components in electronic circuits. Take a close look at the following photograph --
every component marked with a "C" designation on the printed circuit board is a capacitor:

marked with a "C" designation on the printed circuit board is a capacitor:

marked with a "C" designation on the printed circuit board is a capacitor:

capacitor:

Some of the capacitors shown on this circuit board are standard

Some of the capacitors shown on this circuit board are standard electrolytic: C30

Some of the capacitors shown on this circuit board are standard electrolytic: C30 (top of board, center) and C36
(left side, 1/3 from the top). Some others are a special kind of electrolytic capacitor called tantalum, because
this is the type of metal used to make the plates. Tantalum capacitors have relatively high capacitance for their
physical size. The following capacitors on the circuit board shown above are tantalum: C14 (just to the lower-
left of C30), C19 (directly below R10, which is below C30), C24 (lower-left corner of board), and C22 (lower-right).

Examples of even smaller capacitors can be seen in this photograph:

Examples of even smaller capacitors can be seen in this photograph:

The capacitors on this circuit board are "surface mount devices" as are all the resistors, for reasons of saving
space. Following component labeling convention, the capacitors can be identified by labels beginning with the
letter "C".
Permanent magnets

Centuries ago, it was discovered that certain types of mineral rock possessed unusual properties of attraction
to the metal iron. One particular mineral, called lodestone, or magnetite, is found mentioned in very old
historical records (about 2500 years ago in Europe, and much earlier in the Far East) as a subject of curiosity.
Later, it was employed in the aid of navigation, as it was found that a piece of this unusual rock would tend to
orient itself in a north-south direction if left free to rotate (suspended on a string or on a float in water). A
scientific study undertaken in 1269 by Peter Peregrinus revealed that steel could be similarly "charged" with
this unusual property after being rubbed against one of the "poles" of a piece of lodestone.

Unlike electric charges (such as those observed when amber is rubbed against cloth), magnetic objects
possessed two poles of opposite effect, denoted "north" and "south" after their self-orientation to the earth. As
Peregrinus found, it was impossible to isolate one of these poles by itself by cutting a piece of lodestone in
half: each resulting piece possessed its own pair of poles:

Like electric charges, there were only two types of poles to be found: north and south (by analogy, positive
and negative). Just as with electric charges, same poles repel one another, while opposite poles attract. This
force, like that caused by static electricity, extended itself invisibly over space, and could even pass through
objects such as paper and wood with little effect upon strength.

The philosopher-scientist Rene Descartes noted that this invisible "field" could be mapped by placing a magnet
underneath a flat piece of cloth or wood and sprinkling iron filings on top. The filings will align themselves with
the magnetic field, "mapping" its shape. The result shows how the field continues unbroken from one pole of a
magnet to the other:
As with any kind of field (electric, magnetic, gravitational), the total quantity, or effect, of the field is referred
to as a flux, while the "push" causing the flux to form in space is called a force. Michael Faraday coined the
term "tube" to refer to a string of magnetic flux in space (the term "line" is more commonly used now).
Indeed, the measurement of magnetic field flux is often defined in terms of the number of flux lines, although
it is doubtful that such fields exist in individual, discrete lines of constant value.

Modern theories of magnetism maintain that a magnetic field is produced by an electric charge in motion, and
thus it is theorized that the magnetic field of a so-called "permanent" magnets such as lodestone is the result
of electrons within the atoms of iron spinning uniformly in the same direction. Whether or not the electrons in a
material's atoms are subject to this kind of uniform spinning is dictated by the atomic structure of the material
(not unlike how electrical conductivity is dictated by the electron binding in a material's atoms). Thus, only
certain types of substances react with magnetic fields, and even fewer have the ability to permanently sustain
a magnetic field.

Iron is one of those types of substances that readily magnetizes. If a piece of iron is brought near a permanent
magnet, the electrons within the atoms in the iron orient their spins to match the magnetic field force produced
by the permanent magnet, and the iron becomes "magnetized." The iron will magnetize in such a way as to
incorporate the magnetic flux lines into its shape, which attracts it toward the permanent magnet, no matter
which pole of the permanent magnet is offered to the iron:
The previously unmagnetized iron becomes magnetized as it is brought closer to the permanent magnet. No
matter what pole of the permanent magnet is extended toward the iron, the iron will magnetize in such a way
as to be attracted toward the magnet:

Referencing the natural magnetic properties of iron (Latin = "ferrum"), a ferromagnetic material is one that
readily magnetizes (its constituent atoms easily orient their electron spins to conform to an external magnetic
field force). All materials are magnetic to some degree, and those that are not considered ferromagnetic (easily
magnetized) are classified as either paramagnetic (slightly magnetic) or diamagnetic (tend to exclude magnetic
fields). Of the two, diamagnetic materials are the strangest. In the presence of an external magnetic field, they
actually become slightly magnetized in the opposite direction, so as to repel the external field!
If a ferromagnetic material tends to retain its magnetization after an external field is removed, it is said to
have good retentivity. This, of course, is a necessary quality for a permanent magnet.

• REVIEW:
• Lodestone (also called Magnetite) is a naturally-occurring "permanent" magnet mineral. By
"permanent," it is meant that the material maintains a magnetic field with no external help. The
characteristic of any magnetic material to do so is called retentivity.
• Ferromagnetic materials are easily magnetized.
• Paramagnetic materials are magnetized with more difficulty.
• Diamagnetic materials actually tend to repel external magnetic fields by magnetizing in the opposite
direction.

Forward >

Electromagnetism

The discovery of the relationship between magnetism and electricity was, like so many other scientific
discoveries, stumbled upon almost by accident. The Danish physicist Hans Christian Oersted was lecturing one
day in 1820 on the possibility of electricity and magnetism being related to one another, and in the process
demonstrated it conclusively by experiment in front of his whole class! By passing an electric current through a
metal wire suspended above a magnetic compass, Oersted was able to produce a definite motion of the
compass needle in response to the current. What began as conjecture at the start of the class session was
confirmed as fact at the end. Needless to say, Oersted had to revise his lecture notes for future classes! His
serendipitous discovery paved the way for a whole new branch of science: electromagnetics.

Detailed experiments showed that the magnetic field produced by an electric current is always oriented
perpendicular to the direction of flow. A simple method of showing this relationship is called the left-hand rule.
Simply stated, the left-hand rule says that the magnetic flux lines produced by a current-carrying wire will be
oriented the same direction as the curled fingers of a person's left hand (in the "hitchhiking" position), with the
thumb pointing in the direction of electron flow:
The magnetic field encircles this straight piece of current-carrying wire, the magnetic flux lines having no
definite "north" or "south' poles.

While the magnetic field surrounding a current-carrying wire is indeed interesting, it is quite weak for common
amounts of current, able to deflect a compass needle and not much more. To create a stronger magnetic field
force (and consequently, more field flux) with the same amount of electric current, we can wrap the wire into a
coil shape, where the circling magnetic fields around the wire will join to create a larger field with a definite
magnetic (north and south) polarity:

The amount of magnetic field force generated by a coiled wire is proportional to the current through the wire
multiplied by the number of "turns" or "wraps" of wire in the coil. This field force is called magnetomotive force
(mmf), and is very much analogous to electromotive force (E) in an electric circuit.

An electromagnet is a piece of wire intended to generate a magnetic field with the passage of electric current
through it. Though all current-carrying conductors produce magnetic fields, an electromagnet is usually
constructed in such a way as to maximize the strength of the magnetic field it produces for a special purpose.
Electromagnets find frequent application in research, industry, medical, and consumer products.
As an electrically-controllable magnet, electromagnets find application in a wide variety of "electromechanical"
devices: machines that effect mechanical force or motion through electrical power. Perhaps the most obvious
example of such a machine is the electric motor.

Another example is the relay, an electrically-controlled switch. If a switch contact mechanism is built so that it
can be actuated (opened and closed) by the application of a magnetic field, and an electromagnet coil is placed
in the near vicinity to produce that requisite field, it will be possible to open and close the switch by the
application of a current through the coil. In effect, this gives us a device that enables elelctricity to control
electricity:

Relays can be constructed to actuate multiple switch contacts, or operate them in "reverse" (energizing the coil
will open the switch contact, and unpowering the coil will allow it to spring closed again).

• REVIEW:
• When electrons flow through a conductor, a magnetic field will be produced around that conductor.
• The left-hand rule states that the magnetic flux lines produced by a current-carrying wire will be
oriented the same direction as the curled fingers of a person's left hand (in the "hitchhiking" position),
with the thumb pointing in the direction of electron flow.
• The magnetic field force produced by a current-carrying wire can be greatly increased by shaping the
wire into a coil instead of a straight line. If wound in a coil shape, the magnetic field will be oriented
along the axis of the coil's length.
• The magnetic field force produced by an electromagnet (called the magnetomotive force, or mmf), is
proportional to the product (multiplication) of the current through the electromagnet and the number
of complete coil "turns" formed by the wire.

Magnetic units of measurement

If the burden of two systems of measurement for common quantities (English vs. metric) throws your mind
into confusion, this is not the place for you! Due to an early lack of standardization in the science of
magnetism, we have been plagued with no less than three complete systems of measurement for magnetic
quantities.
First, we need to become acquainted with the various quantities associated with magnetism. There are quite a
few more quantities to be dealt with in magnetic systems than for electrical systems. With electricity, the basic
quantities are Voltage (E), Current (I), Resistance (R), and Power (P). The first three are related to one
another by Ohm's Law (E=IR ; I=E/R ; R=E/I), while Power is related to voltage, current, and resistance by
Joule's Law (P=IE ; P=I2R ; P=E2/R).

With magnetism, we have the following quantities to deal with:

Magnetomotive Force -- The quantity of magnetic field force, or "push." Analogous to electric voltage
(electromotive force).

Field Flux -- The quantity of total field effect, or "substance" of the field. Analogous to electric current.

Field Intensity -- The amount of field force (mmf) distributed over the length of the electromagnet.
Sometimes referred to as Magnetizing Force.

Flux Density -- The amount of magnetic field flux concentrated in a given area.

Reluctance -- The opposition to magnetic field flux through a given volume of space or material. Analogous to
electrical resistance.

Permeability -- The specific measure of a material's acceptance of magnetic flux, analogous to the specific
resistance of a conductive material (ρ), except inverse (greater permeability means easier passage of magnetic
flux, whereas greater specific resistance means more difficult passage of electric current).

But wait . . . the fun is just beginning! Not only do we have more quantities to keep track of with magnetism
than with electricity, but we have several different systems of unit measurement for each of these quantities.
As with common quantities of length, weight, volume, and temperature, we have both English and metric
systems. However, there is actually more than one metric system of units, and multiple metric systems are
used in magnetic field measurements! One is called the cgs, which stands for Centimeter-Gram-Second,
denoting the root measures upon which the whole system is based. The other was originally known as the mks
system, which stood for Meter-Kilogram-Second, which was later revised into another system, called rmks,
standing for Rationalized Meter-Kilogram-Second. This ended up being adopted as an international standard
and renamed SI (Systeme International).
And yes, the µ symbol is really the same as the metric prefix "micro." I find this especially confusing, using the
exact same alphabetical character to symbolize both a specific quantity and a general metric prefix!

As you might have guessed already, the relationship between field force, field flux, and reluctance is much the
same as that between the electrical quantities of electromotive force (E), current (I), and resistance (R). This
provides something akin to an Ohm's Law for magnetic circuits:

And, given that permeability is inversely analogous to specific resistance, the equation for finding the
reluctance of a magnetic material is very similar to that for finding the resistance of a conductor:

In either case, a longer piece of material provides a greater opposition, all other factors being equal. Also, a
larger cross-sectional area makes for less opposition, all other factors being equal.

The major caveat here is that the reluctance of a material to magnetic flux actually changes with the
concentration of flux going through it. This makes the "Ohm's Law" for magnetic circuits nonlinear and far
more difficult to work with than the electrical version of Ohm's Law. It would be analogous to having a resistor
that changed resistance as the current through it varied (a circuit composed of varistors instead of resistors).

Permeability and saturation

The nonlinearity of material permeability may be graphed for better understanding. We'll place the quantity of
field intensity (H), equal to field force (mmf) divided by the length of the material, on the horizontal axis of the
graph. On the vertical axis, we'll place the quantity of flux density (B), equal to total flux divided by the cross-
sectional area of the material. We will use the quantities of field intensity (H) and flux density (B) instead of
field force (mmf) and total flux (Φ) so that the shape of our graph remains independent of the physical
dimensions of our test material. What we're trying to do here is show a mathematical relationship between
field force and flux for any chunk of a particular substance, in the same spirit as describing a material's specific
resistance in ohm-cmil/ft instead of its actual resistance in ohms.

This is called the normal magnetization curve, or B-H curve, for any particular material. Notice how the flux
density for any of the above materials (cast iron, cast steel, and sheet steel) levels off with increasing amounts
of field intensity. This effect is known as saturation. When there is little applied magnetic force (low H), only a
few atoms are in alignment, and the rest are easily aligned with additional force. However, as more flux gets
crammed into the same cross-sectional area of a ferromagnetic material, fewer atoms are available within that
material to align their electrons with additional force, and so it takes more and more force (H) to get less and
less "help" from the material in creating more flux density (B). To put this in economic terms, we're seeing a
case of diminishing returns (B) on our investment (H). Saturation is a phenomenon limited to iron-core
electromagnets. Air-core electromagnets don't saturate, but on the other hand they don't produce nearly as
much magnetic flux as a ferromagnetic core for the same number of wire turns and current.

Another quirk to confound our analysis of magnetic flux versus force is the phenomenon of magnetic
hysteresis. As a general term, hysteresis means a lag between input and output in a system upon a change in
direction. Anyone who's ever driven an old automobile with "loose" steering knows what hysteresis is: to
change from turning left to turning right (or visa-versa), you have to rotate the steering wheel an additional
amount to overcome the built-in "lag" in the mechanical linkage system between the steering wheel and the
front wheels of the car. In a magnetic system, hysteresis is seen in a ferromagnetic material that tends to stay
magnetized after an applied field force has been removed (see "retentivity" in the first section of this chapter),
if the force is reversed in polarity.

Let's use the same graph again, only extending the axes to indicate both positive and negative quantities. First
we'll apply an increasing field force (current through the coils of our electromagnet). We should see the flux
density increase (go up and to the right) according to the normal magnetization curve:
Next, we'll stop the current going through the coil of the electromagnet and see what happens to the flux,
leaving the first curve still on the graph:

Due to the retentivity of the material, we still have a magnetic flux with no applied force (no current through
the coil). Our electromagnet core is acting as a permanent magnet at this point. Now we will slowly apply the
same amount of magnetic field force in the opposite direction to our sample:
The flux density has now reached a point equivalent to what it was with a full positive value of field intensity
(H), except in the negative, or opposite, direction. Let's stop the current going through the coil again and see
how much flux remains:

Once again, due to the natural retentivity of the material, it will hold a magnetic flux with no power applied to
the coil, except this time it's in a direction opposite to that of the last time we stopped current through the coil.
If we re-apply power in a positive direction again, we should see the flux density reach its prior peak in the
upper-right corner of the graph again:
The "S"-shaped curve traced by these steps form what is called the hysteresis curve of a ferromagnetic
material for a given set of field intensity extremes (-H and +H). If this doesn't quite make sense, consider a
hysteresis graph for the automobile steering scenario described earlier, one graph depicting a "tight" steering
system and one depicting a "loose" system:
Just as in the case of automobile steering systems, hysteresis can be a problem. If you're designing a system
to produce precise amounts of magnetic field flux for given amounts of current, hysteresis may hinder this
design goal (due to the fact that the amount of flux density would depend on the current and how strongly it
was magnetized before!). Similarly, a loose steering system is unacceptable in a race car, where precise,
repeatable steering response is a necessity. Also, having to overcome prior magnetization in an electromagnet
can be a waste of energy if the current used to energize the coil is alternating back and forth (AC). The area
within the hysteresis curve gives a rough estimate of the amount of this wasted energy.

Other times, magnetic hysteresis is a desirable thing. Such is the case when magnetic materials are used as a
means of storing information (computer disks, audio and video tapes). In these applications, it is desirable to
be able to magnetize a speck of iron oxide (ferrite) and rely on that material's retentivity to "remember" its
last magnetized state. Another productive application for magnetic hysteresis is in filtering high-frequency
electromagnetic "noise" (rapidly alternating surges of voltage) from signal wiring by running those wires
through the middle of a ferrite ring. The energy consumed in overcoming the hysteresis of ferrite attenuates
the strength of the "noise" signal. Interestingly enough, the hysteresis curve of ferrite is quite extreme:
 • REVIEW:
• The permeability of a material changes with the amount of magnetic flux forced through it.
• The specific relationship of force to flux (field intensity H to flux density B) is graphed in a form called
the normal magnetization curve.
• It is possible to apply so much magnetic field force to a ferromagnetic material that no more flux can
be crammed into it. This condition is known as magnetic saturation.
• When the retentivity of a ferromagnetic substance interferes with its re-magnetization in the opposite
direction, a condition known as hysteresis occurs.

Electromagnetic induction

While Oersted's surprising discovery of electromagnetism paved the way for more practical applications of
electricity, it was Michael Faraday who gave us the key to the practical generation of electricity:
electromagnetic induction. Faraday discovered that a voltage would be generated across a length of wire if that
wire was exposed to a perpendicular magnetic field flux of changing intensity.

An easy way to create a magnetic field of changing intensity is to move a permanent magnet next to a wire or
coil of wire. Remember: the magnetic field must increase or decrease in intensity perpendicular to the wire (so
that the lines of flux "cut across" the conductor), or else no voltage will be induced:
Faraday was able to mathematically relate the rate of change of the magnetic field flux with induced voltage
(note the use of a lower-case letter "e" for voltage. This refers to instantaneous voltage, or voltage at a specific
point in time, rather than a steady, stable voltage.):

The "d" terms are standard calculus notation, representing rate-of-change of flux over time. "N" stands for the
number of turns, or wraps, in the wire coil (assuming that the wire is formed in the shape of a coil for
maximum electromagnetic efficiency).

This phenomenon is put into obvious practical use in the construction of electrical generators, which use
mechanical power to move a magnetic field past coils of wire to generate voltage. However, this is by no
means the only practical use for this principle.

If we recall that the magnetic field produced by a current-carrying wire was always perpendicular to that wire,
and that the flux intensity of that magnetic field varied with the amount of current through it, we can see that
a wire is capable of inducing a voltage along its own length simply due to a change in current through it. This
effect is called self-induction: a changing magnetic field produced by changes in current through a wire
inducing voltage along the length of that same wire. If the magnetic field flux is enhanced by bending the wire
into the shape of a coil, and/or wrapping that coil around a material of high permeability, this effect of self-
induced voltage will be more intense. A device constructed to take advantage of this effect is called an
inductor, and will be discussed in greater detail in the next chapter.

• REVIEW:
 • A magnetic field of changing intensity perpendicular to a wire will induce a voltage along the length of
that wire. The amount of voltage induced depends on the rate of change of the magnetic field flux and
the number of turns of wire (if coiled) exposed to the change in flux.
• Faraday's equation for induced voltage: e = N(dΦ/dt)
• A current-carrying wire will experience an induced voltage along its length if the current changes (thus
changing the magnetic field flux perpendicular to the wire, thus inducing voltage according to
Faraday's formula). A device built specifically to take advantage of this effect is called an inductor

Mutual inductance

If two coils of wire are brought into close proximity with each other so the magnetic field from one links with
the other, a voltage will be generated in the second coil as a result. This is called mutual inductance: when
voltage impressed upon one coil induces a voltage in another.

A device specifically designed to produce the effect of mutual inductance between two or more coils is called a
transformer.

The device shown in the above photograph is a kind of transformer, with two concentric wire coils. It is actually
intended as a precision standard unit for mutual inductance, but for the purposes of illustrating what the
essence of a transformer is, it will suffice. The two wire coils can be distinguished from each other by color: the
bulk of the tube's length is wrapped in green-insulated wire (the first coil) while the second coil (wire with
bronze-colored insulation) stands in the middle of the tube's length. The wire ends run down to connection
terminals at the bottom of the unit. Most transformer units are not built with their wire coils exposed like this.

Because magnetically-induced voltage only happens when the magnetic field flux is changing in strength
relative to the wire, mutual inductance between two coils can only happen with alternating (changing -- AC)
voltage, and not with direct (steady -- DC) voltage. The only applications for mutual inductance in a DC system
is where some means is available to switch power on and off to the coil (thus creating a pulsing DC voltage),
the induced voltage peaking at every pulse.

A very useful property of transformers is the ability to transform voltage and current levels according to a
simple ratio, determined by the ratio of input and output coil turns. If the energized coil of a transformer is
energized by an AC voltage, the amount of AC voltage induced in the unpowered coil will be equal to the input
voltage multiplied by the ratio of output to input wire turns in the coils. Conversely, the current through the
windings of the output coil compared to the input coil will follow the opposite ratio: if the voltage is increased
from input coil to output coil, the current will be decreased by the same proportion. This action of the
transformer is analogous to that of mechanical gear, belt sheave, or chain sprocket ratios:

A transformer designed to output more voltage than it takes in across the input coil is called a "step-up"
transformer, while one designed to do the opposite is called a "step-down," in reference to the transformation
of voltage that takes place. The current through each respective coil, of course, follows the exact opposite
proportion.

• REVIEW:
• Mutual inductance is where the magnetic field generated by a coil of wire induces voltage in an
adjacent coil of wire.
• A transformer is a device constructed of two or more coils in close proximity to each other, with the
express purpose of creating a condition of mutual inductance between the coils.
• Transformers only work with changing voltages, not steady voltages. Thus, they may be classified as
an AC device and not a DC device.
Magnetic fields and inductance

Whenever electrons flow through a conductor, a magnetic field will develop around that conductor. This effect
is called electromagnetism. Magnetic fields effect the alignment of electrons in an atom, and can cause physical
force to develop between atoms across space just as with electric fields developing force between electrically
charged particles. Like electric fields, magnetic fields can occupy completely empty space, and affect matter at
a distance.

Fields have two measures: a field force and a field flux. The field force is the amount of "push" that a field
exerts over a certain distance. The field flux is the total quantity, or effect, of the field through space. Field
force and flux are roughly analogous to voltage ("push") and current (flow) through a conductor, respectively,
although field flux can exist in totally empty space (without the motion of particles such as electrons) whereas
current can only take place where there are free electrons to move. Field flux can be opposed in space, just as
the flow of electrons can be opposed by resistance. The amount of field flux that will develop in space is
proportional to the amount of field force applied, divided by the amount of opposition to flux. Just as the type
of conducting material dictates that conductor's specific resistance to electric current, the type of material
occupying the space through which a magnetic field force is impressed dictates the specific opposition to
magnetic field flux.

Whereas an electric field flux between two conductors allows for an accumulation of free electron charge within
those conductors, an electromagnetic field flux allows for a certain "inertia" to accumulate in the flow of
electrons through the conductor producing the field.

Inductors are components designed to take advantage of this phenomenon by shaping the length of conductive
wire in the form of a coil. This shape creates a stronger magnetic field than what would be produced by a
straight wire. Some inductors are formed with wire wound in a self-supporting coil. Others wrap the wire
around a solid core material of some type. Sometimes the core of an inductor will be straight, and other times
it will be joined in a loop (square, rectangular, or circular) to fully contain the magnetic flux. These design
options all have effect on the performance and characteristics of inductors.

The schematic symbol for an inductor, like the capacitor, is quite simple, being little more than a coil symbol
representing the coiled wire. Although a simple coil shape is the generic symbol for any inductor, inductors
with cores are sometimes distinguished by the addition of parallel lines to the axis of the coil. A newer version
of the inductor symbol dispenses with the coil shape in favor of several "humps" in a row:

As the electric current produces a concentrated magnetic field around the coil, this field flux equates to a
storage of energy representing the kinetic motion of the electrons through the coil. The more current in the
coil, the stronger the magnetic field will be, and the more energy the inductor will store.
Because inductors store the kinetic energy of moving electrons in the form of a magnetic field, they behave
quite differently than resistors (which simply dissipate energy in the form of heat) in a circuit. Energy storage
in an inductor is a function of the amount of current through it. An inductor's ability to store energy as a
function of current results in a tendency to try to maintain current at a constant level. In other words,
inductors tend to resist changes in current. When current through an inductor is increased or decreased, the
inductor "resists" the change by producing a voltage between its leads in opposing polarity to the change.

To store more energy in an inductor, the current through it must be increased. This means that its magnetic
field must increase in strength, and that change in field strength produces the corresponding voltage according
to the principle of electromagnetic self-induction. Conversely, to release energy from an inductor, the current
through it must be decreased. This means that the inductor's magnetic field must decrease in strength, and
that change in field strength self-induces a voltage drop of just the opposite polarity.

Just as Isaac Newton's first Law of Motion ("an object in motion tends to stay in motion; an object at rest tends
to stay at rest") describes the tendency of a mass to oppose changes in velocity, we can state an inductor's
tendency to oppose changes in current as such: "Electrons moving through an inductor tend to stay in motion;
electrons at rest in an inductor tend to stay at rest." Hypothetically, an inductor left short-circuited will
maintain a constant rate of current through it with no external assistance:

Practically speaking, however, the ability for an inductor to self-sustain current is realized only with
superconductive wire, as the wire resistance in any normal inductor is enough to cause current to decay very
quickly with no external source of power.

When the current through an inductor is increased, it drops a voltage opposing the direction of electron flow,
acting as a power load. In this condition the inductor is said to be charging, because there is an increasing
amount of energy being stored in its magnetic field. Note the polarity of the voltage with regard to the
direction of current:
Conversely, when the current through the inductor is decreased, it drops a voltage aiding the direction of
electron flow, acting as a power source. In this condition the inductor is said to be discharging, because its
store of energy is decreasing as it releases energy from its magnetic field to the rest of the circuit. Note the
polarity of the voltage with regard to the direction of current.

If a source of electric power is suddenly applied to an unmagnetized inductor, the inductor will initially resist
the flow of electrons by dropping the full voltage of the source. As current begins to increase, a stronger and
stronger magnetic field will be created, absorbing energy from the source. Eventually the current reaches a
maximum level, and stops increasing. At this point, the inductor stops absorbing energy from the source, and
is dropping minimum voltage across its leads, while the current remains at a maximum level. As an inductor
stores more energy, its current level increases, while its voltage drop decreases. Note that this is precisely the
opposite of capacitor behavior, where the storage of energy results in an increased voltage across the
component! Whereas capacitors store their energy charge by maintaining a static voltage, inductors maintain
their energy "charge" by maintaining a steady current through the coil.

The type of material the wire is coiled around greatly impacts the strength of the magnetic field flux (and
therefore how much stored energy) generated for any given amount of current through the coil. Coil cores
made of ferromagnetic materials (such as soft iron) will encourage stronger field fluxes to develop with a given
field force than nonmagnetic substances such as aluminum or air.

The measure of an inductor's ability to store energy for a given amount of current flow is called inductance.
Not surprisingly, inductance is also a measure of the intensity of opposition to changes in current (exactly how
much self-induced voltage will be produced for a given rate of change of current). Inductance is symbolically
denoted with a capital "L," and is measured in the unit of the Henry, abbreviated as "H."
An obsolete name for an inductor is choke, so called for its common usage to block ("choke") high-frequency
AC signals in radio circuits. Another name for an inductor, still used in modern times, is reactor, especially
when used in large power applications. Both of these names will make more sense after you've studied
alternating current (AC) circuit theory, and especially a principle known as inductive reactance.

• REVIEW:
• Inductors react against changes in current by dropping voltage in the polarity necessary to oppose the
change.
• When an inductor is faced with an increasing current, it acts as a load: dropping voltage as it absorbs
energy (negative on the current entry side and positive on the current exit side, like a resistor).
• When an inductor is faced with a decreasing current, it acts as a source: creating voltage as it
releases stored energy (positive on the current entry side and negative on the current exit side, like a
battery).
• The ability of an inductor to store energy in the form of a magnetic field (and consequently to oppose
changes in current) is called inductance. It is measured in the unit of the Henry (H).
• Inductors used to be commonly known by another term: choke. In large power applications, they are
sometimes referred to as reactors.

Inductors and calculus

Inductors do not have a stable "resistance" as conductors do. However, there is a definite mathematical
relationship between voltage and current for an inductor, as follows:

You should recognize the form of this equation from the capacitor chapter. It relates one variable (in this case,
inductor voltage drop) to a rate of change of another variable (in this case, inductor current). Both voltage (v)
and rate of current change (di/dt) are instantaneous: that is, in relation to a specific point in time, thus the
lower-case letters "v" and "i". As with the capacitor formula, it is convention to express instantaneous voltage
as v rather than e, but using the latter designation would not be wrong. Current rate-of-change (di/dt) is
expressed in units of amps per second, a positive number representing an increase and a negative number
representing a decrease.

Like a capacitor, an inductor's behavior is rooted in the variable of time. Aside from any resistance intrinsic to
an inductor's wire coil (which we will assume is zero for the sake of this section), the voltage dropped across
the terminals of an inductor is purely related to how quickly its current changes over time.

Suppose we were to connect a perfect inductor (one having zero ohms of wire resistance) to a circuit where we
could vary the amount of current through it with a potentiometer connected as a variable resistor:
If the potentiometer mechanism remains in a single position (wiper is stationary), the series-connected
ammeter will register a constant (unchanging) current, and the voltmeter connected across the inductor will
register 0 volts. In this scenario, the instantaneous rate of current change (di/dt) is equal to zero, because the
current is stable. The equation tells us that with 0 amps per second change for a di/dt, there must be zero
instantaneous voltage (v) across the inductor. From a physical perspective, with no current change, there will
be a steady magnetic field generated by the inductor. With no change in magnetic flux (dΦ/dt = 0 Webers per
second), there will be no voltage dropped across the length of the coil due to induction.

If we move the potentiometer wiper slowly in the "up" direction, its resistance from end to end will slowly
decrease. This has the effect of increasing current in the circuit, so the ammeter indication should be
increasing at a slow rate:
Assuming that the potentiometer wiper is being moved such that the rate of current increase through the
inductor is steady, the di/dt term of the formula will be a fixed value. This fixed value, multiplied by the
inductor's inductance in Henrys (also fixed), results in a fixed voltage of some magnitude. From a physical
perspective, the gradual increase in current results in a magnetic field that is likewise increasing. This gradual
increase in magnetic flux causes a voltage to be induced in the coil as expressed by Michael Faraday's
induction equation e = N(dΦ/dt). This self-induced voltage across the coil, as a result of a gradual change in
current magnitude through the coil, happens to be of a polarity that attempts to oppose the change in current.
In other words, the induced voltage polarity resulting from an increase in current will be oriented in such a way
as to push against the direction of current, to try to keep the current at its former magnitude. This
phenomenon exhibits a more general principle of physics known as Lenz's Law, which states that an induced
effect will always be opposed to the cause producing it.

In this scenario, the inductor will be acting as a load, with the negative side of the induced voltage on the end
where electrons are entering, and the positive side of the induced voltage on the end where electrons are
exiting.
Changing the rate of current increase through the inductor by moving the potentiometer wiper "up" at different
speeds results in different amounts of voltage being dropped across the inductor, all with the same polarity
(opposing the increase in current):

Here again we see the derivative function of calculus exhibited in the behavior of an inductor. In calculus
terms, we would say that the induced voltage across the inductor is the derivative of the current through the
inductor: that is, proportional to the current's rate-of-change with respect to time.
Reversing the direction of wiper motion on the potentiometer (going "down" rather than "up") will result in its
end-to-end resistance increasing. This will result in circuit current decreasing (a negative figure for di/dt). The
inductor, always opposing any change in current, will produce a voltage drop opposed to the direction of
change:

How much voltage the inductor will produce depends, of course, on how rapidly the current through it is
decreased. As described by Lenz's Law, the induced voltage will be opposed to the change in current. With a
decreasing current, the voltage polarity will be oriented so as to try to keep the current at its former
magnitude. In this scenario, the inductor will be acting as a source, with the negative side of the induced
voltage on the end where electrons are exiting, and the positive side of the induced voltage on the end where
electrons are entering. The more rapidly current is decreased, the more voltage will be produced by the
inductor, in its release of stored energy to try to keep current constant.

Again, the amount of voltage across a perfect inductor is directly proportional to the rate of current change
through it. The only difference between the effects of a decreasing current and an increasing current is the
polarity of the induced voltage. For the same rate of current change over time, either increasing or decreasing,
the voltage magnitude (volts) will be the same. For example, a di/dt of -2 amps per second will produce the
same amount of induced voltage drop across an inductor as a di/dt of +2 amps per second, just in the opposite
polarity.

If current through an inductor is forced to change very rapidly, very high voltages will be produced. Consider
the following circuit:
In this circuit, a lamp is connected across the terminals of an inductor. A switch is used to control current in
the circuit, and power is supplied by a 6 volt battery. When the switch is closed, the inductor will briefly oppose
the change in current from zero to some magnitude, but will drop only a small amount of voltage. It takes
about 70 volts to ionize the neon gas inside a neon bulb like this, so the bulb cannot be lit on the 6 volts
produced by the battery, or the low voltage momentarily dropped by the inductor when the switch is closed:

When the switch is opened, however, it suddenly introduces an extremely high resistance into the circuit (the
resistance of the air gap between the contacts). This sudden introduction of high resistance into the circuit
causes the circuit current to decrease almost instantly. Mathematically, the di/dt term will be a very large
negative number. Such a rapid change of current (from some magnitude to zero in very little time) will induce
a very high voltage across the inductor, oriented with negative on the left and positive on the right, in an effort
to oppose this decrease in current. The voltage produced is usually more than enough to light the neon lamp, if
only for a brief moment until the current decays to zero:

For maximum effect, the inductor should be sized as large as possible (at least 1 Henry of inductance).

Factors affecting inductance

There are four basic factors of inductor construction determining the amount of inductance created. These
factors all dictate inductance by affecting how much magnetic field flux will develop for a given amount of
magnetic field force (current through the inductor's wire coil):
NUMBER OF WIRE WRAPS, OR "TURNS" IN THE COIL: All other factors being equal, a greater number of
turns of wire in the coil results in greater inductance; fewer turns of wire in the coil results in less inductance.

Explanation: More turns of wire means that the coil will generate a greater amount of magnetic field force
(measured in amp-turns!), for a given amount of coil current.

COIL AREA: All other factors being equal, greater coil area (as measured looking lengthwise through the coil,
at the cross-section of the core) results in greater inductance; less coil area results in less inductance.

Explanation: Greater coil area presents less opposition to the formation of magnetic field flux, for a given
amount of field force (amp-turns).

COIL LENGTH: All other factors being equal, the longer the coil's length, the less inductance; the shorter the
coil's length, the greater the inductance.

Explanation: A longer path for the magnetic field flux to take results in more opposition to the formation of that
flux for any given amount of field force (amp-turns).

CORE MATERIAL: All other factors being equal, the greater the magnetic permeability of the core which the
coil is wrapped around, the greater the inductance; the less the permeability of the core, the less the
inductance.

Explanation: A core material with greater magnetic permeability results in greater magnetic field flux for any
given amount of field force (amp-turns).
An approximation of inductance for any coil of wire can be found with this formula:

It must be understood that this formula yields approximate figures only. One reason for this is the fact that
permeability changes as the field intensity varies (remember the nonlinear "B/H" curves for different
materials). Obviously, if permeability (µ) in the equation is unstable, then the inductance (L) will also be
unstable to some degree as the current through the coil changes in magnitude. If the hysteresis of the core
material is significant, this will also have strange effects on the inductance of the coil. Inductor designers try to
minimize these effects by designing the core in such a way that its flux density never approaches saturation
levels, and so the inductor operates in a more linear portion of the B/H curve.

If an inductor is designed so that any one of these factors may be varied at will, its inductance will
correspondingly vary. Variable inductors are usually made by providing a way to vary the number of wire turns
in use at any given time, or by varying the core material (a sliding core that can be moved in and out of the
coil). An example of the former design is shown in this photograph:
This unit uses sliding copper contacts to tap into the coil at different points along its length. The unit shown
happens to be an air-core inductor used in early radio work.

A fixed-value inductor is shown in the next photograph, another antique air-core unit built for radios. The
connection terminals can be seen at the bottom, as well as the few turns of relatively thick wire:
Here is another inductor (of greater inductance value), also intended for radio applications. Its wire coil is
wound around a white ceramic tube for greater rigidity:

Inductors can also be made very small for printed circuit board applications. Closely examine the following
photograph and see if you can identify two inductors near each other:
The two inductors on this circuit board are labeled L1 and L2, and they are located to the right-center of the
board. Two nearby components are R3 (a resistor) and C16 (a capacitor). These inductors are called "toroidal"
because their wire coils are wound around donut-shaped ("torus") cores.

Like resistors and capacitors, inductors can be packaged as "surface mount devices" as well. The following
photograph shows just how small an inductor can be when packaged as such:
A pair of inductors can be seen on this circuit board, to the right and center, appearing as small black chips
with the number "100" printed on both. The upper inductor's label can be seen printed on the green circuit
board as L5. Of course these inductors are very small in inductance value, but it demonstrates just how tiny
they can be manufactured to meet certain circuit design needs.

Series and parallel inductors

When inductors are connected in series, the total inductance is the sum of the individual inductors'
inductances. To understand why this is so, consider the following: the definitive measure of inductance is the
amount of voltage dropped across an inductor for a given rate of current change through it. If inductors are
connected together in series (thus sharing the same current, and seeing the same rate of change in current),
then the total voltage dropped as the result of a change in current will be additive with each inductor, creating
a greater total voltage than either of the individual inductors alone. Greater voltage for the same rate of
change in current means greater inductance.
Thus, the total inductance for series inductors is more than any one of the individual inductors' inductances.
The formula for calculating the series total inductance is the same form as for calculating series resistances:

When inductors are connected in parallel, the total inductance is less than any one of the parallel inductors'
inductances. Again, remember that the definitive measure of inductance is the amount of voltage dropped
across an inductor for a given rate of current change through it. Since the current through each parallel
inductor will be a fraction of the total current, and the voltage across each parallel inductor will be equal, a
change in total current will result in less voltage dropped across the parallel array than for any one of the
inductors considered separately. In other words, there will be less voltage dropped across parallel inductors for
a given rate of change in current than for any of of those inductors considered separately, because total
current divides among parallel branches. Less voltage for the same rate of change in current means less
inductance.

Thus, the total inductance is less than any one of the individual inductors' inductances. The formula for
calculating the parallel total inductance is the same form as for calculating parallel resistances:

• REVIEW:
• Inductances add in series.
• Inductances diminish in parallel.

Practical considerations

Inductors, like all electrical components, have limitations which must be respected for the sake of reliability
and proper circuit operation.
Rated current: Since inductors are constructed of coiled wire, and any wire will be limited in its current-
carrying capacity by its resistance and ability to dissipate heat, you must pay attention to the maximum
current allowed through an inductor.

Equivalent circuit: Since inductor wire has some resistance, and circuit design constraints typically demand the
inductor be built to the smallest possible dimensions, there is not such thing as a "perfect" inductor. Inductor
coil wire usually presents a substantial amount of series resistance, and the close spacing of wire from one coil
turn to another (separated by insulation) may present measurable amounts of stray capacitance to interact
with its purely inductive characteristics. Unlike capacitors, which are relatively easy to manufacture with
negligible stray effects, inductors are difficult to find in "pure" form. In certain applications, these undesirable
characteristics may present significant engineering problems.

Inductor size: Inductors tend to be much larger, physically, than capacitors are for storing equivalent amounts
of energy. This is especially true considering the recent advances in electrolytic capacitor technology, allowing
incredibly large capacitance values to be packed into a small package. If a circuit designer needs to store a
large amount of energy in a small volume and has the freedom to choose either capacitors or inductors for the
task, he or she will most likely choose a capacitor. A notable exception to this rule is in applications requiring
huge amounts of either capacitance or inductance to store electrical energy: inductors made of
superconducting wire (zero resistance) are more practical to build and safely operate than capacitors of
equivalent value, and are probably smaller too.

Interference: Inductors may affect nearby components on a circuit board with their magnetic fields, which can
extend significant distances beyond the inductor. This is especially true if there are other inductors nearby on
the circuit board. If the magnetic fields of two or more inductors are able to "link" with each others' turns of
wire, there will be mutual inductance present in the circuit as well as self-inductance, which could very well
cause unwanted effects. This is another reason why circuit designers tend to choose capacitors over inductors
to perform similar tasks: capacitors inherently contain their respective electric fields neatly within the
component package and therefore do not typically generate any "mutual" effects with other components.
Electrical transients

This chapter explores the response of capacitors and inductors sudden changes in DC voltage (called a
transient voltage), when wired in series with a resistor. Unlike resistors, which respond instantaneously to
applied voltage, capacitors and inductors react over time as they absorb and release energy.

Capacitor transient response

Because capacitors store energy in the form of an electric field, they tend to act like small secondary-cell
batteries, being able to store and release electrical energy. A fully discharged capacitor maintains zero volts
across its terminals, and a charged capacitor maintains a steady quantity of voltage across its terminals, just
like a battery. When capacitors are placed in a circuit with other sources of voltage, they will absorb energy
from those sources, just as a secondary-cell battery will become charged as a result of being connected to a
generator. A fully discharged capacitor, having a terminal voltage of zero, will initially act as a short-circuit
when attached to a source of voltage, drawing maximum current as it begins to build a charge. Over time, the
capacitor's terminal voltage rises to meet the applied voltage from the source, and the current through the
capacitor decreases correspondingly. Once the capacitor has reached the full voltage of the source, it will stop
drawing current from it, and behave essentially as an open-circuit.

When the switch is first closed, the voltage across the capacitor (which we were told was fully discharged) is
zero volts; thus, it first behaves as though it were a short-circuit. Over time, the capacitor voltage will rise to
equal battery voltage, ending in a condition where the capacitor behaves as an open-circuit. Current through
the circuit is determined by the difference in voltage between the battery and the capacitor, divided by the
resistance of 10 kΩ. As the capacitor voltage approaches the battery voltage, the current approaches zero.
Once the capacitor voltage has reached 15 volts, the current will be exactly zero. Let's see how this works
using real values:
---------------------------------------------
| Time | Battery | Capacitor | Current |
|(seconds) | voltage | voltage | |
|-------------------------------------------|
| 0 | 15 V | 0 V | 1500 uA |
|-------------------------------------------|
| 0.5 | 15 V | 5.902 V | 909.8 uA |
|-------------------------------------------|
| 1 | 15 V | 9.482 V | 551.8 uA |
|-------------------------------------------|
| 2 | 15 V | 12.970 V | 203.0 uA |
|-------------------------------------------|
| 3 | 15 V | 14.253 V | 74.68 uA |
|-------------------------------------------|
| 4 | 15 V | 14.725 V | 27.47 uA |
|-------------------------------------------|
| 5 | 15 V | 14.899 V | 10.11 uA |
|-------------------------------------------|
| 6 | 15 V | 14.963 V | 3.718 uA |
|-------------------------------------------|
| 10 | 15 V | 14.999 V | 0.068 uA |
---------------------------------------------

The capacitor voltage's approach to 15 volts and the current's approach to zero over time is what a
mathematician would call asymptotic: that is, they both approach their final values, getting closer and closer
over time, but never exactly reaches their destinations. For all practical purposes, though, we can say that the
capacitor voltage will eventually reach 15 volts and that the current will eventually equal zero.

Using the SPICE circuit analysis program, we can chart this asymptotic buildup of capacitor voltage and decay
of capacitor current in a more graphical form (capacitor current is plotted in terms of voltage drop across the
resistor, using the resistor as a shunt to measure current):

capacitor charging
v1 1 0 dc 15
r1 1 2 10k
c1 2 0 100u ic=0
.tran .5 10 uic
.plot tran v(2,0) v(1,2)
.end

legend:

*: v(2) Capacitor voltage

+: v(1,2) Capacitor current

time v(2)

(*+)----------- 0.000E+00 5.000E+00 1.000E+01 1.500E+01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 5.976E-05 * . . +
5.000E-01 5.881E+00 . . * + . .
1.000E+00 9.474E+00 . .+ *. .
1.500E+00 1.166E+01 . + . . * .
2.000E+00 1.297E+01 . + . . * .
2.500E+00 1.377E+01 . + . . * .
3.000E+00 1.426E+01 . + . . * .
3.500E+00 1.455E+01 .+ . . *.
4.000E+00 1.473E+01 .+ . . *.
4.500E+00 1.484E+01 + . . *
5.000E+00 1.490E+01 + . . *
5.500E+00 1.494E+01 + . . *
6.000E+00 1.496E+01 + . . *
6.500E+00 1.498E+01 + . . *
7.000E+00 1.499E+01 + . . *
7.500E+00 1.499E+01 + . . *
8.000E+00 1.500E+01 + . . *
8.500E+00 1.500E+01 + . . *
9.000E+00 1.500E+01 + . . *
9.500E+00 1.500E+01 + . . *
1.000E+01 1.500E+01 + . . *
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As you can see, I have used the .plot command in the netlist instead of the more familiar .print
command. This generates a pseudo-graphic plot of figures on the computer screen using text characters.
SPICE plots graphs in such a way that time is on the vertical axis (going down) and amplitude
(voltage/current) is plotted on the horizontal (right=more; left=less). Notice how the voltage increases (to the
right of the plot) very quickly at first, then tapering off as time goes on. Current also changes very quickly at
first then levels off as time goes on, but it is approaching minimum (left of scale) while voltage approaches
maximum.

• REVIEW:
• Capacitors act somewhat like secondary-cell batteries when faced with a sudden change in applied
voltage: they initially react by producing a high current which tapers off over time.
• A fully discharged capacitor initially acts as a short circuit (current with no voltage drop) when faced
with the sudden application of voltage. After charging fully to that level of voltage, it acts as an open
circuit (voltage drop with no current).
• In a resistor-capacitor charging circuit, capacitor voltage goes from nothing to full source voltage
while current goes from maximum to zero, both variables changing most rapidly at first, approaching
their final values slower and slower as time goes on.

Inductor transient response

Inductors have the exact opposite characteristics of capacitors. Whereas capacitors store energy in an electric
field (produced by the voltage between two plates), inductors store energy in a magnetic field (produced by
the current through wire). Thus, while the stored energy in a capacitor tries to maintain a constant voltage
across its terminals, the stored energy in an inductor tries to maintain a constant current through its windings.
Because of this, inductors oppose changes in current, and act precisely the opposite of capacitors, which
oppose changes in voltage. A fully discharged inductor (no magnetic field), having zero current through it, will
initially act as an open-circuit when attached to a source of voltage (as it tries to maintain zero current),
dropping maximum voltage across its leads. Over time, the inductor's current rises to the maximum value
allowed by the circuit, and the terminal voltage decreases correspondingly. Once the inductor's terminal
voltage has decreased to a minimum (zero for a "perfect" inductor), the current will stay at a maximum level,
and it will behave essentially as a short-circuit.

When the switch is first closed, the voltage across the inductor will immediately jump to battery voltage (acting
as though it were an open-circuit) and decay down to zero over time (eventually acting as though it were a
short-circuit). Voltage across the inductor is determined by calculating how much voltage is being dropped
across R, given the current through the inductor, and subtracting that voltage value from the battery to see
what's left. When the switch is first closed, the current is zero, then it increases over time until it is equal to
the battery voltage divided by the series resistance of 1 Ω. This behavior is precisely opposite that of the series
resistor-capacitor circuit, where current started at a maximum and capacitor voltage at zero. Let's see how this
works using real values:

---------------------------------------------
| Time | Battery | Inductor | Current |
|(seconds) | voltage | voltage | |
|-------------------------------------------|
| 0 | 15 V | 15 V | 0 |
|-------------------------------------------|
| 0.5 | 15 V | 9.098 V | 5.902 A |
|-------------------------------------------|
| 1 | 15 V | 5.518 V | 9.482 A |
|-------------------------------------------|
| 2 | 15 V | 2.030 V | 12.97 A |
|-------------------------------------------|
| 3 | 15 V | 0.747 V | 14.25 A |
|-------------------------------------------|
| 4 | 15 V | 0.275 V | 14.73 A |
|-------------------------------------------|
| 5 | 15 V | 0.101 V | 14.90 A |
|-------------------------------------------|
| 6 | 15 V | 37.181 mV | 14.96 A |
|-------------------------------------------|
| 10 | 15 V | 0.681 mV | 14.99 A |
---------------------------------------------

Just as with the RC circuit, the inductor voltage's approach to 0 volts and the current's approach to 15 amps
over time is asymptotic. For all practical purposes, though, we can say that the inductor voltage will eventually
reach 0 volts and that the current will eventually equal the maximum of 15 amps.

Again, we can use the SPICE circuit analysis program to chart this asymptotic decay of inductor voltage and
buildup of inductor current in a more graphical form (inductor current is plotted in terms of voltage drop across
the resistor, using the resistor as a shunt to measure current):

inductor charging
v1 1 0 dc 15
r1 1 2 1
l1 2 0 1 ic=0
.tran .5 10 uic
.plot tran v(2,0) v(1,2)
.end

legend:

*: v(2) Inductor voltage

+: v(1,2) Inductor current

time v(2)

(*+)------------ 0.000E+00 5.000E+00 1.000E+01 1.500E+01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 1.500E+01 + . . *
5.000E-01 9.119E+00 . . + * . .
1.000E+00 5.526E+00 . .* +. .
1.500E+00 3.343E+00 . * . . + .
2.000E+00 2.026E+00 . * . . + .
2.500E+00 1.226E+00 . * . . + .
3.000E+00 7.429E-01 . * . . + .
3.500E+00 4.495E-01 .* . . +.
4.000E+00 2.724E-01 .* . . +.
4.500E+00 1.648E-01 * . . +
5.000E+00 9.987E-02 * . . +
5.500E+00 6.042E-02 * . . +
6.000E+00 3.662E-02 * . . +
6.500E+00 2.215E-02 * . . +
7.000E+00 1.343E-02 * . . +
7.500E+00 8.123E-03 * . . +
8.000E+00 4.922E-03 * . . +
8.500E+00 2.978E-03 * . . +
9.000E+00 1.805E-03 * . . +
9.500E+00 1.092E-03 * . . +
1.000E+01 6.591E-04 * . . +
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Notice how the voltage decreases (to the left of the plot) very quickly at first, then tapering off as time goes
on. Current also changes very quickly at first then levels off as time goes on, but it is approaching maximum
(right of scale) while voltage approaches minimum.

• REVIEW:
• A fully "discharged" inductor (no current through it) initially acts as an open circuit (voltage drop with
no current) when faced with the sudden application of voltage. After "charging" fully to the final level
of current, it acts as a short circuit (current with no voltage drop).
• In a resistor-inductor "charging" circuit, inductor current goes from nothing to full value while voltage
goes from maximum to zero, both variables changing most rapidly at first, approaching their final
values slower and slower as time goes on.

Voltage and current calculations

There's a sure way to calculate any of the values in a reactive DC circuit over time. The first step is to identify
the starting and final values for whatever quantity the capacitor or inductor opposes change in; that is,
whatever quantity the reactive component is trying to hold constant. For capacitors, this quantity is voltage;
for inductors, this quantity is current. When the switch in a circuit is closed (or opened), the reactive
component will attempt to maintain that quantity at the same level as it was before the switch transition, so
that value is to be used for the "starting" value. The final value for this quantity is whatever that quantity will
be after an infinite amount of time. This can be determined by analyzing a capacitive circuit as though the
capacitor was an open-circuit, and an inductive circuit as though the inductor was a short-circuit, because that
is what these components behave as when they've reached "full charge," after an infinite amount of time.

The next step is to calculate the time constant of the circuit: the amount of time it takes for voltage or current
values to change approximately 63 percent from their starting values to their final values in a transient
situation. In a series RC circuit, the time constant is equal to the total resistance in ohms multiplied by the
total capacitance in farads. For a series LR circuit, it is the total inductance in henrys divided by the total
resistance in ohms. In either case, the time constant is expressed in units of seconds and symbolized by the
Greek letter "tau" (τ):

The rise and fall of circuit values such as voltage and current in response to a transient is, as was mentioned
before, asymptotic. Being so, the values begin to rapidly change soon after the transient and settle down over
time. If plotted on a graph, the approach to the final values of voltage and current form exponential curves.
As was stated before, one time constant is the amount of time it takes for any of these values to change about
63 percent from their starting values to their (ultimate) final values. For every time constant, these values
move (approximately) 63 percent closer to their eventual goal. The mathematical formula for determining the
precise percentage is quite simple:

The letter e stands for Euler's constant, which is approximately 2.7182818. It is derived from calculus
techniques, after mathematically analyzing the asymptotic approach of the circuit values. After one time
constant's worth of time, the percentage of change from starting value to final value is:

After two time constant's worth of time, the percentage of change from starting value to final value is:

After ten time constant's worth of time, the percentage is:

The more time that passes since the transient application of voltage from the battery, the larger the value of
the denominator in the fraction, which makes for a smaller value for the whole fraction, which makes for a
grand total (1 minus the fraction) approaching 1, or 100 percent.

We can make a more universal formula out of this one for the determination of voltage and current values in
transient circuits, by multiplying this quantity by the difference between the final and starting circuit values:
Let's analyze the voltage rise on the series resistor-capacitor circuit shown at the beginning of the chapter.

Note that we're choosing to analyze voltage because that is the quantity capacitors tend to hold constant.
Although the formula works quite well for current, the starting and final values for current are actually derived
from the capacitor's voltage, so calculating voltage is a more direct method. The resistance is 10 kΩ, and the
capacitance is 100 µF (microfarads). Since the time constant (τ) for an RC circuit is the product of resistance
and capacitance, we obtain a value of 1 second:

If the capacitor starts in a totally discharged state (0 volts), then we can use that value of voltage for a
"starting" value. The final value, of course, will be the battery voltage (15 volts). Our universal formula for
capacitor voltage in this circuit looks like this:

So, after 7.25 seconds of applying voltage through the closed switch, our capacitor voltage will have increased
by:

Since we started at a capacitor voltage of 0 volts, this increase of 14.989 volts means that we have 14.989
volts after 7.25 seconds.

The same formula will work for determining current in that circuit, too. Since we know that a discharged
capacitor initially acts like a short-circuit, the starting current will be the maximum amount possible: 15 volts
(from the battery) divided by 10 kΩ (the only opposition to current in the circuit at the beginning):
We also know that the final current will be zero, since the capacitor will eventually behave as an open-circuit,
meaning that eventually no electrons will flow in the circuit. Now that we know both the starting and final
current values, we can use our universal formula to determine the current after 7.25 seconds of switch closure
in the same RC circuit:

Note that the figure obtained for change is negative, not positive! This tells us that current has decreased
rather than increased with the passage of time. Since we started at a current of 1.5 mA, this decrease (-
1.4989 mA) means that we have 0.001065 mA (1.065 µA) after 7.25 seconds.

We could have also determined the circuit current at time=7.25 seconds by subtracting the capacitor's voltage
(14.989 volts) from the battery's voltage (15 volts) to obtain the voltage drop across the 10 kΩ resistor, then
figuring current through the resistor (and the whole series circuit) with Ohm's Law (I=E/R). Either way, we
should obtain the same answer:

The universal time constant formula also works well for analyzing inductive circuits. Let's apply it to our
example L/R circuit in the beginning of the chapter:

With an inductance of 1 henry and a series resistance of 1 Ω, our time constant is equal to 1 second:
Because this is an inductive circuit, and we know that inductors oppose change in current, we'll set up our time
constant formula for starting and final values of current. If we start with the switch in the open position, the
current will be equal to zero, so zero is our starting current value. After the switch has been left closed for a
long time, the current will settle out to its final value, equal to the source voltage divided by the total circuit
resistance (I=E/R), or 15 amps in the case of this circuit.

If we desired to determine the value of current at 3.5 seconds, we would apply the universal time constant
formula as such:

Given the fact that our starting current was zero, this leaves us at a circuit current of 14.547 amps at 3.5
seconds' time.

Determining voltage in an inductive circuit is best accomplished by first figuring circuit current and then
calculating voltage drops across resistances to find what's left to drop across the inductor. With only one
resistor in our example circuit (having a value of 1 Ω), this is rather easy:

Subtracted from our battery voltage of 15 volts, this leaves 0.453 volts across the inductor at time=3.5
seconds.

• REVIEW:
• Universal Time Constant Formula:
 •
• To analyze an RC or L/R circuit, follow these steps:
• (1): Determine the time constant for the circuit (RC or L/R).
• (2): Identify the quantity to be calculated (whatever quantity whose change is directly opposed by the
reactive component. For capacitors this is voltage; for inductors this is current).
• (3): Determine the starting and final values for that quantity.
• (4): Plug all these values (Final, Start, time, time constant) into the universal time constant formula
and solve for change in quantity.
• (5): If the starting value was zero, then the actual value at the specified time is equal to the
calculated change given by the universal formula. If not, add the change to the starting value to find
out where you're at.

Why L/R and not LR?

It is often perplexing to new students of electronics why the time-constant calculation for an inductive circuit is
different from that of a capacitive circuit. For a resistor-capacitor circuit, the time constant (in seconds) is
calculated from the product (multiplication) of resistance in ohms and capacitance in farads: τ=RC. However,
for a resistor-inductor circuit, the time constant is calculated from the quotient (division) of inductance in
henrys over the resistance in ohms: τ=L/R.

This difference in calculation has a profound impact on the qualitative analysis of transient circuit response.
Resistor-capacitor circuits respond quicker with low resistance and slower with high resistance; resistor-
inductor circuits are just the opposite, responding quicker with high resistance and slower with low resistance.
While capacitive circuits seem to present no intuitive trouble for the new student, inductive circuits tend to
make less sense.

Key to the understanding of transient circuits is a firm grasp on the concept of energy transfer and the
electrical nature of it. Both capacitors and inductors have the ability to store quantities of energy, the capacitor
storing energy in the medium of an electric field and the inductor storing energy in the medium of a magnetic
field. A capacitor's electrostatic energy storage manifests itself in the tendency to maintain a constant voltage
across the terminals. An inductor's electromagnetic energy storage manifests itself in the tendency to maintain
a constant current through it.

Let's consider what happens to each of these reactive components in a condition of discharge: that is, when
energy is being released from the capacitor or inductor to be dissipated in the form of heat by a resistor:
In either case, heat dissipated by the resistor constitutes energy leaving the circuit, and as a consequence the
reactive component loses its store of energy over time, resulting in a measurable decrease of either voltage
(capacitor) or current (inductor) expressed on the graph. The more power dissipated by the resistor, the faster
this discharging action will occur, because power is by definition the rate of energy transfer over time.

Therefore, a transient circuit's time constant will be dependent upon the resistance of the circuit. Of course, it
is also dependent upon the size (storage capacity) of the reactive component, but since the relationship of
resistance to time constant is the issue of this section, we'll focus on the effects of resistance alone. A circuit's
time constant will be less (faster discharging rate) if the resistance value is such that it maximizes power
dissipation (rate of energy transfer into heat). For a capacitive circuit where stored energy manifests itself in
the form of a voltage, this means the resistor must have a low resistance value so as to maximize current for
any given amount of voltage (given voltage times high current equals high power). For an inductive circuit
where stored energy manifests itself in the form of a current, this means the resistor must have a high
resistance value so as to maximize voltage drop for any given amount of current (given current times high
voltage equals high power).

This may be analogously understood by considering capacitive and inductive energy storage in mechanical
terms. Capacitors, storing energy electrostatically, are reservoirs of potential energy. Inductors, storing energy
electromagnetically (electrodynamically), are reservoirs of kinetic energy. In mechanical terms, potential
energy can be illustrated by a suspended mass, while kinetic energy can be illustrated by a moving mass.
Consider the following illustration as an analogy of a capacitor:
The cart, sitting at the top of a slope, possesses potential energy due to the influence of gravity and its
elevated position on the hill. If we consider the cart's braking system to be analogous to the resistance of the
system and the cart itself to be the capacitor, what resistance value would facilitate rapid release of that
potential energy? Minimum resistance (no brakes) would diminish the cart's altitude quickest, of course!
Without any braking action, the cart will freely roll downhill, thus expending that potential energy as it loses
height. With maximum braking action (brakes firmly set), the cart will refuse to roll (or it will roll very slowly)
and it will hold its potential energy for a long period of time. Likewise, a capacitive circuit will discharge rapidly
if its resistance is low and discharge slowly if its resistance is high.

Now let's consider a mechanical analogy for an inductor, showing its stored energy in kinetic form:

This time the cart is on level ground, already moving. Its energy is kinetic (motion), not potential (height).
Once again if we consider the cart's braking system to be analogous to circuit resistance and the cart itself to
be the inductor, what resistance value would facilitate rapid release of that kinetic energy? Maximum
resistance (maximum braking action) would slow it down quickest, of course! With maximum braking action,
the cart will quickly grind to a halt, thus expending its kinetic energy as it slows down. Without any braking
action, the cart will be free to roll on indefinitely (barring any other sources of friction like aerodynamic drag
and rolling resistance), and it will hold its kinetic energy for a long period of time. Likewise, an inductive circuit
will discharge rapidly if its resistance is high and discharge slowly if its resistance is low.

Hopefully this explanation sheds more light on the subject of time constants and resistance, and why the
relationship between the two is opposite for capacitive and inductive circuits.

Complex voltage and current calculations

There are circumstances when you may need to analyze a DC reactive circuit when the starting values of
voltage and current are not respective of a fully "discharged" state. In other words, the capacitor might start at
a partially-charged condition instead of starting at zero volts, and an inductor might start with some amount of
current already through it, instead of zero as we have been assuming so far. Take this circuit as an example,
starting with the switch open and finishing with the switch in the closed position:

Since this is an inductive circuit, we'll start our analysis by determining the start and end values for current.
This step is vitally important when analyzing inductive circuits, as the starting and ending voltage can only be
known after the current has been determined! With the switch open (starting condition), there is a total
(series) resistance of 3 Ω, which limits the final current in the circuit to 5 amps:
So, before the switch is even closed, we have a current through the inductor of 5 amps, rather than starting
from 0 amps as in the previous inductor example. With the switch closed (the final condition), the 1 Ω resistor
is shorted across (bypassed), which changes the circuit's total resistance to 2 Ω. With the switch closed, the
final value for current through the inductor would then be:

So, the inductor in this circuit has a starting current of 5 amps and an ending current of 7.5 amps. Since the
"timing" will take place during the time that the switch is closed and R2 is shorted past, we need to calculate
our time constant from L1 and R1: 1 Henry divided by 2 Ω, or τ = 1/2 second. With these values, we can
calculate what will happen to the current over time. The voltage across the inductor will be calculated by
multiplying the current by 2 (to arrive at the voltage across the 2 Ω resistor), then subtracting that from 15
volts to see what's left. If you realize that the voltage across the inductor starts at 5 volts (when the switch is
first closed) and decays to 0 volts over time, you can also use these figures for starting/ending values in the
general formula and derive the same results:

---------------------------------------------
| Time | Battery | Inductor | Current |
|(seconds) | voltage | voltage | |
|-------------------------------------------|
| 0 | 15 V | 5 V | 5 A |
|-------------------------------------------|
| 0.1 | 15 V | 4.094 V | 5.453 A |
|-------------------------------------------|
| 0.25 | 15 V | 3.033 V | 5.984 A |
|-------------------------------------------|
| 0.5 | 15 V | 1.839 V | 6.580 A |
|-------------------------------------------|
| 1 | 15 V | 0.677 V | 7.162 A |
|-------------------------------------------|
| 2 | 15 V | 0.092 V | 7.454 A |
|-------------------------------------------|
| 3 | 15 V | 0.012 V | 7.494 A |
---------------------------------------------

Complex circuits

What do we do if we come across a circuit more complex than the simple series configurations we've seen so
far? Take this circuit as an example:

The simple time constant formula (τ=RC) is based on a simple series resistance connected to the capacitor. For
that matter, the time constant formula for an inductive circuit (τ=L/R) is also based on the assumption of a
simple series resistance. So, what can we do in a situation like this, where resistors are connected in a series-
parallel fashion with the capacitor (or inductor)?

The answer comes from our studies in network analysis. Thevenin's Theorem tells us that we can reduce any
linear circuit to an equivalent of one voltage source, one series resistance, and a load component through a
couple of simple steps. To apply Thevenin's Theorem to our scenario here, we'll regard the reactive component
(in the above example circuit, the capacitor) as the load and remove it temporarily from the circuit to find the
Thevenin voltage and Thevenin resistance. Then, once we've determined the Thevenin equivalent circuit
values, we'll re-connect the capacitor and solve for values of voltage or current over time as we've been doing
so far.

After identifying the capacitor as the "load," we remove it from the circuit and solve for voltage across the load
terminals (assuming, of course, that the switch is closed):
This step of the analysis tells us that the voltage across the load terminals (same as that across resistor R2) will
be 1.8182 volts with no load connected. With a little reflection, it should be clear that this will be our final
voltage across the capacitor, seeing as how a fully-charged capacitor acts like an open circuit, drawing zero
current. We will use this voltage value for our Thevenin equivalent circuit source voltage.

Now, to solve for our Thevenin resistance, we need to eliminate all power sources in the original circuit and
calculate resistance as seen from the load terminals:

Re-drawing our circuit as a Thevenin equivalent, we get this:

Our time constant for this circuit will be equal to the Thevenin resistance times the capacitance (τ=RC). With
the above values, we calculate:
Now, we can solve for voltage across the capacitor directly with our universal time constant formula. Let's
calculate for a value of 60 milliseconds. Because this is a capacitive formula, we'll set our calculations up for
voltage:

Again, because our starting value for capacitor voltage was assumed to be zero, the actual voltage across the
capacitor at 60 milliseconds is equal to the amount of voltage change from zero, or 1.3325 volts.

We could go a step further and demonstrate the equivalence of the Thevenin RC circuit and the original circuit
through computer analysis. I will use the SPICE analysis program to demonstrate this:

Comparison RC analysis
* first, the netlist for the original circuit:
v1 1 0 dc 20
r1 1 2 2k
r2 2 3 500
r3 3 0 3k
c1 2 3 100u ic=0
* then, the netlist for the thevenin equivalent:
v2 4 0 dc 1.818182
r4 4 5 454.545
c2 5 0 100u ic=0
* now, we analyze for a transient, sampling every .005 seconds
* over a time period of .37 seconds total, printing a list of
* values for voltage across the capacitor in the original
* circuit (between modes 2 and 3) and across the capacitor in
* the thevenin equivalent circuit (between nodes 5 and 0)
.tran .005 0.37 uic
.print tran v(2,3) v(5,0)
.end

time v(2,3) v(5)

0.000E+00 4.803E-06 4.803E-06

5.000E-03 1.890E-01 1.890E-01
1.000E-02 3.580E-01 3.580E-01
1.500E-02 5.082E-01 5.082E-01
2.000E-02 6.442E-01 6.442E-01
2.500E-02 7.689E-01 7.689E-01
3.000E-02 8.772E-01 8.772E-01
3.500E-02 9.747E-01 9.747E-01
4.000E-02 1.064E+00 1.064E+00
4.500E-02 1.142E+00 1.142E+00
5.000E-02 1.212E+00 1.212E+00
5.500E-02 1.276E+00 1.276E+00
6.000E-02 1.333E+00 1.333E+00
6.500E-02 1.383E+00 1.383E+00
7.000E-02 1.429E+00 1.429E+00
7.500E-02 1.470E+00 1.470E+00
8.000E-02 1.505E+00 1.505E+00
8.500E-02 1.538E+00 1.538E+00
9.000E-02 1.568E+00 1.568E+00
9.500E-02 1.594E+00 1.594E+00
1.000E-01 1.617E+00 1.617E+00
1.050E-01 1.638E+00 1.638E+00
1.100E-01 1.657E+00 1.657E+00
1.150E-01 1.674E+00 1.674E+00
1.200E-01 1.689E+00 1.689E+00
1.250E-01 1.702E+00 1.702E+00
1.300E-01 1.714E+00 1.714E+00
1.350E-01 1.725E+00 1.725E+00
1.400E-01 1.735E+00 1.735E+00
1.450E-01 1.744E+00 1.744E+00
1.500E-01 1.752E+00 1.752E+00
1.550E-01 1.758E+00 1.758E+00
1.600E-01 1.765E+00 1.765E+00
1.650E-01 1.770E+00 1.770E+00
1.700E-01 1.775E+00 1.775E+00
1.750E-01 1.780E+00 1.780E+00
1.800E-01 1.784E+00 1.784E+00
1.850E-01 1.787E+00 1.787E+00
1.900E-01 1.791E+00 1.791E+00
1.950E-01 1.793E+00 1.793E+00
2.000E-01 1.796E+00 1.796E+00
2.050E-01 1.798E+00 1.798E+00
2.100E-01 1.800E+00 1.800E+00
2.150E-01 1.802E+00 1.802E+00
2.200E-01 1.804E+00 1.804E+00
2.250E-01 1.805E+00 1.805E+00
2.300E-01 1.807E+00 1.807E+00
2.350E-01 1.808E+00 1.808E+00
2.400E-01 1.809E+00 1.809E+00
2.450E-01 1.810E+00 1.810E+00
2.500E-01 1.811E+00 1.811E+00
2.550E-01 1.812E+00 1.812E+00
2.600E-01 1.812E+00 1.812E+00
2.650E-01 1.813E+00 1.813E+00
2.700E-01 1.813E+00 1.813E+00
2.750E-01 1.814E+00 1.814E+00
2.800E-01 1.814E+00 1.814E+00
2.850E-01 1.815E+00 1.815E+00
2.900E-01 1.815E+00 1.815E+00
2.950E-01 1.815E+00 1.815E+00
3.000E-01 1.816E+00 1.816E+00
3.050E-01 1.816E+00 1.816E+00
3.100E-01 1.816E+00 1.816E+00
3.150E-01 1.816E+00 1.816E+00
3.200E-01 1.817E+00 1.817E+00
3.250E-01 1.817E+00 1.817E+00
3.300E-01 1.817E+00 1.817E+00
3.350E-01 1.817E+00 1.817E+00
3.400E-01 1.817E+00 1.817E+00
3.450E-01 1.817E+00 1.817E+00
3.500E-01 1.817E+00 1.817E+00
3.550E-01 1.817E+00 1.817E+00
3.600E-01 1.818E+00 1.818E+00
3.650E-01 1.818E+00 1.818E+00
3.700E-01 1.818E+00 1.818E+00

At every step along the way of the analysis, the capacitors in the two circuits (original circuit versus Thevenin
equivalent circuit) are at equal voltage, thus demonstrating the equivalence of the two circuits.

• REVIEW:
• To analyze an RC or L/R circuit more complex than simple series, convert the circuit into a Thevenin
equivalent by treating the reactive component (capacitor or inductor) as the "load" and reducing
everything else to an equivalent circuit of one voltage source and one series resistor. Then, analyze
what happens over time with the universal time constant formula.

Solving for unknown time

Sometimes it is necessary to determine the length of time that a reactive circuit will take to reach a
predetermined value. This is especially true in cases where we're designing an RC or L/R circuit to perform a
precise timing function. To calculate this, we need to modify our "Universal time constant formula." The
original formula looks like this:

However, we want to solve for time, not the amount of change. To do this, we algebraically manipulate the
formula so that time is all by itself on one side of the equal sign, with all the rest on the other side:

The ln designation just to the right of the time constant term is the natural logarithm function: the exact
reverse of taking the power of e. In fact, the two functions (powers of e and natural logarithms) can be related
as such:

If ex = a, then ln a = x.

If ex = a, then the natural logarithm of a will give you x: the power that e must be was raised to in order to
produce a.

Let's see how this all works on a real example circuit. Taking the same resistor-capacitor circuit from the
beginning of the chapter, we can work "backwards" from previously determined values of voltage to find how
long it took to get there.
The time constant is still the same amount: 1 second (10 kΩ times 100 µF), and the starting/final values
remain unchanged as well (EC = 0 volts starting and 15 volts final). According to our chart at the beginning of
the chapter, the capacitor would be charged to 12.970 volts at the end of 2 seconds. Let's plug 12.970 volts in
as the "Change" for our new formula and see if we arrive at an answer of 2 seconds:

Indeed, we end up with a value of 2 seconds for the time it takes to go from 0 to 12.970 volts across the
capacitor. This variation of the universal time constant formula will work for all capacitive and inductive
circuits, both "charging" and "discharging," provided the proper values of time constant, Start, Final, and
Change are properly determined beforehand. Remember, the most important step in solving these problems is
the initial set-up. After that, it's just a lot of button-pushing on your calculator!

• REVIEW:
• To determine the time it takes for an RC or L/R circuit to reach a certain value of voltage or current,
you'll have to modify the universal time constant formula to solve for time instead of change.

•
• The mathematical function for reversing an exponent of "e" is the natural logarithm (ln), provided on
any scientific calculator.
What is alternating current (AC)?

Most students of electricity begin their study with what is known as direct current (DC), which is electricity
flowing in a constant direction, and/or possessing a voltage with constant polarity. DC is the kind of electricity
made by a battery (with definite positive and negative terminals), or the kind of charge generated by rubbing
certain types of materials against each other.

As useful and as easy to understand as DC is, it is not the only "kind" of electricity in use. Certain sources of
electricity (most notably, rotary electro-mechanical generators) naturally produce voltages alternating in
polarity, reversing positive and negative over time. Either as a voltage switching polarity or as a current
switching direction back and forth, this "kind" of electricity is known as Alternating Current (AC):

Whereas the familiar battery symbol is used as a generic symbol for any DC voltage source, the circuit with the
wavy line inside is the generic symbol for any AC voltage source.

One might wonder why anyone would bother with such a thing as AC. It is true that in some cases AC holds no
practical advantage over DC. In applications where electricity is used to dissipate energy in the form of heat,
the polarity or direction of current is irrelevant, so long as there is enough voltage and current to the load to
produce the desired heat (power dissipation). However, with AC it is possible to build electric generators,
motors and power distribution systems that are far more efficient than DC, and so we find AC used
predominately across the world in high power applications. To explain the details of why this is so, a bit of
background knowledge about AC is necessary.

If a machine is constructed to rotate a magnetic field around a set of stationary wire coils with the turning of a
shaft, AC voltage will be produced across the wire coils as that shaft is rotated, in accordance with Faraday's
Law of electromagnetic induction. This is the basic operating principle of an AC generator, also known as an
alternator:
Notice how the polarity of the voltage across the wire coils reverses as the opposite poles of the rotating
magnet pass by. Connected to a load, this reversing voltage polarity will create a reversing current direction in
the circuit. The faster the alternator's shaft is turned, the faster the magnet will spin, resulting in an alternating
voltage and current that switches directions more often in a given amount of time.

While DC generators work on the same general principle of electromagnetic induction, their construction is not
as simple as their AC counterparts. With a DC generator, the coil of wire is mounted in the shaft where the
magnet is on the AC alternator, and electrical connections are made to this spinning coil via stationary carbon
"brushes" contacting copper strips on the rotating shaft. All this is necessary to switch the coil's changing
output polarity to the external circuit so the external circuit sees a constant polarity:
The generator shown above will produce two pulses of voltage per revolution of the shaft, both pulses in the
same direction (polarity). In order for a DC generator to produce constant voltage, rather than brief pulses of
voltage once every 1/2 revolution, there are multiple sets of coils making intermittent contact with the
brushes. The diagram shown above is a bit more simplified than what you would see in real life.

The problems involved with making and breaking electrical contact with a moving coil should be obvious
(sparking and heat), especially if the shaft of the generator is revolving at high speed. If the atmosphere
surrounding the machine contains flammable or explosive vapors, the practical problems of spark-producing
brush contacts are even greater. An AC generator (alternator) does not require brushes and commutators to
work, and so is immune to these problems experienced by DC generators.

The benefits of AC over DC with regard to generator design is also reflected in electric motors. While DC
motors require the use of brushes to make electrical contact with moving coils of wire, AC motors do not. In
fact, AC and DC motor designs are very similar to their generator counterparts (identical for the sake of this
tutorial), the AC motor being dependent upon the reversing magnetic field produced by alternating current
through its stationary coils of wire to rotate the rotating magnet around on its shaft, and the DC motor being
dependent on the brush contacts making and breaking connections to reverse current through the rotating coil
every 1/2 rotation (180 degrees).

So we know that AC generators and AC motors tend to be simpler than DC generators and DC motors. This
relative simplicity translates into greater reliability and lower cost of manufacture. But what else is AC good
for? Surely there must be more to it than design details of generators and motors! Indeed there is. There is an
effect of electromagnetism known as mutual induction, whereby two or more coils of wire placed so that the
changing magnetic field created by one induces a voltage in the other. If we have two mutually inductive coils
and we energize one coil with AC, we will create an AC voltage in the other coil. When used as such, this device
is known as a transformer:
The fundamental significance of a transformer is its ability to step voltage up or down from the powered coil to
the unpowered coil. The AC voltage induced in the unpowered ("secondary") coil is equal to the AC voltage
across the powered ("primary") coil multiplied by the ratio of secondary coil turns to primary coil turns. If the
secondary coil is powering a load, the current through the secondary coil is just the opposite: primary coil
current multiplied by the ratio of primary to secondary turns. This relationship has a very close mechanical
analogy, using torque and speed to represent voltage and current, respectively:

If the winding ratio is reversed so that the primary coil has less turns than the secondary coil, the transformer
"steps up" the voltage from the source level to a higher level at the load:
The transformer's ability to step AC voltage up or down with ease gives AC an advantage unmatched by DC in
the realm of power distribution. When transmitting electrical power over long distances, it is far more efficient
to do so with stepped-up voltages and stepped-down currents (smaller-diameter wire with less resistive power
losses), then step the voltage back down and the current back up for industry, business, or consumer use use.

Transformer technology has made long-range electric power distribution practical. Without the ability to
efficiently step voltage up and down, it would be cost-prohibitive to construct power systems for anything but
close-range (within a few miles at most) use.

As useful as transformers are, they only work with AC, not DC. Because the phenomenon of mutual inductance
relies on changing magnetic fields, and direct current (DC) can only produce steady magnetic fields,
transformers simply will not work with direct current. Of course, direct current may be interrupted (pulsed)
through the primary winding of a transformer to create a changing magnetic field (as is done in automotive
ignition systems to produce high-voltage spark plug power from a low-voltage DC battery), but pulsed DC is
not that different from AC. Perhaps more than any other reason, this is why AC finds such widespread
application in power systems.
 • REVIEW:
• DC stands for "Direct Current," meaning voltage or current that maintains constant polarity or
direction, respectively, over time.
• AC stands for "Alternating Current," meaning voltage or current that changes polarity or direction,
respectively, over time.
• AC electromechanical generators, known as alternators, are of simpler construction than DC
electromechanical generators.
• AC and DC motor design follows respective generator design principles very closely.
• A transformer is a pair of mutually-inductive coils used to convey AC power from one coil to the other.
Often, the number of turns in each coil is set to create a voltage increase or decrease from the
powered (primary) coil to the unpowered (secondary) coil.
• Secondary voltage = Primary voltage (secondary turns / primary turns)
• Secondary current = Primary current (primary turns / secondary turns)

AC waveforms

When an alternator produces AC voltage, the voltage switches polarity over time, but does so in a very
particular manner. When graphed over time, the "wave" traced by this voltage of alternating polarity from an
alternator takes on a distinct shape, known as a sine wave:

In the voltage plot from an electromechanical alternator, the change from one polarity to the other is a smooth
one, the voltage level changing most rapidly at the zero ("crossover") point and most slowly at its peak. If we
were to graph the trigonometric function of "sine" over a horizontal range of 0 to 360 degrees, we would find
the exact same pattern:

Angle Sine(angle)
in degrees
0 ............... 0.0000 -- zero
15 ............... 0.2588
30 ............... 0.5000
45 ............... 0.7071
60 ............... 0.8660
75 ............... 0.9659
90 ............... 1.0000 -- positive peak
105 .............. 0.9659
120 .............. 0.8660
135 .............. 0.7071
150 .............. 0.5000
165 .............. 0.2588
180 .............. 0.0000 -- zero
195 .............. -0.2588
210 .............. -0.5000
225 .............. -0.7071
240 .............. -0.8660
255 .............. -0.9659
270 .............. -1.0000 -- negative peak
285 .............. -0.9659
300 .............. -0.8660
315 .............. -0.7071
330 .............. -0.5000
345 .............. -0.2588
360 .............. 0.0000 -- zero

The reason why an electromechanical alternator outputs sine-wave AC is due to the physics of its operation.
The voltage produced by the stationary coils by the motion of the rotating magnet is proportional to the rate at
which the magnetic flux is changing perpendicular to the coils (Faraday's Law of Electromagnetic Induction).
That rate is greatest when the magnet poles are closest to the coils, and least when the magnet poles are
furthest away from the coils. Mathematically, the rate of magnetic flux change due to a rotating magnet follows
that of a sine function, so the voltage produced by the coils follows that same function.

If we were to follow the changing voltage produced by a coil in an alternator from any point on the sine wave
graph to that point when the wave shape begins to repeat itself, we would have marked exactly one cycle of
that wave. This is most easily shown by spanning the distance between identical peaks, but may be measured
between any corresponding points on the graph. The degree marks on the horizontal axis of the graph
represent the domain of the trigonometric sine function, and also the angular position of our simple two-pole
alternator shaft as it rotates:

Since the horizontal axis of this graph can mark the passage of time as well as shaft position in degrees, the
dimension marked for one cycle is often measured in a unit of time, most often seconds or fractions of a
second. When expressed as a measurement, this is often called the period of a wave. The period of a wave in
degrees is always 360, but the amount of time one period occupies depends on the rate voltage oscillates back
and forth.

A more popular measure for describing the alternating rate of an AC voltage or current wave than period is the
rate of that back-and-forth oscillation. This is called frequency. The modern unit for frequency is the Hertz
(abbreviated Hz), which represents the number of wave cycles completed during one second of time. In the
United States of America, the standard power-line frequency is 60 Hz, meaning that the AC voltage oscillates
at a rate of 60 complete back-and-forth cycles every second. In Europe, where the power system frequency is
50 Hz, the AC voltage only completes 50 cycles every second. A radio station transmitter broadcasting at a
frequency of 100 MHz generates an AC voltage oscillating at a rate of 100 million cycles every second.

Prior to the canonization of the Hertz unit, frequency was simply expressed as "cycles per second." Older
meters and electronic equipment often bore frequency units of "CPS" (Cycles Per Second) instead of Hz. Many
people believe the change from self-explanatory units like CPS to Hertz constitutes a step backward in clarity.
A similar change occurred when the unit of "Celsius" replaced that of "Centigrade" for metric temperature
measurement. The name Centigrade was based on a 100-count ("Centi-") scale ("-grade") representing the
melting and boiling points of H2O, respectively. The name Celsius, on the other hand, gives no hint as to the
unit's origin or meaning.
Period and frequency are mathematical reciprocals of one another. That is to say, if a wave has a period of 10
seconds, its frequency will be 0.1 Hz, or 1/10 of a cycle per second:

An instrument called an oscilloscope is used to display a changing voltage over time on a graphical screen. You
may be familiar with the appearance of an ECG or EKG (electrocardiograph) machine, used by physicians to
graph the oscillations of a patient's heart over time. The ECG is a special-purpose oscilloscope expressly
designed for medical use. General-purpose oscilloscopes have the ability to display voltage from virtually any
voltage source, plotted as a graph with time as the independent variable. The relationship between period and
frequency is very useful to know when displaying an AC voltage or current waveform on an oscilloscope screen.
By measuring the period of the wave on the horizontal axis of the oscilloscope screen and reciprocating that
time value (in seconds), you can determine the frequency in Hertz.

Voltage and current are by no means the only physical variables subject to variation over time. Much more
common to our everyday experience is sound, which is nothing more than the alternating compression and
decompression (pressure waves) of air molecules, interpreted by our ears as a physical sensation. Because
alternating current is a wave phenomenon, it shares many of the properties of other wave phenomena, like
sound. For this reason, sound (especially structured music) provides an excellent analogy for relating AC
concepts.

In musical terms, frequency is equivalent to pitch. Low-pitch notes such as those produced by a tuba or
bassoon consist of air molecule vibrations that are relatively slow (low frequency). High-pitch notes such as
those produced by a flute or whistle consist of the same type of vibrations in the air, only vibrating at a much
faster rate (higher frequency). Here is a table showing the actual frequencies for a range of common musical
notes:
Astute observers will notice that all notes on the table bearing the same letter designation are related by a
frequency ratio of 2:1. For example, the first frequency shown (designated with the letter "A") is 220 Hz. The
next highest "A" note has a frequency of 440 Hz -- exactly twice as many sound wave cycles per second. The
same 2:1 ratio holds true for the first A sharp (233.08 Hz) and the next A sharp (466.16 Hz), and for all note
pairs found in the table.

Audibly, two notes whose frequencies are exactly double each other sound remarkably similar. This similarity in
sound is musically recognized, the shortest span on a musical scale separating such note pairs being called an
octave. Following this rule, the next highest "A" note (one octave above 440 Hz) will be 880 Hz, the next
lowest "A" (one octave below 220 Hz) will be 110 Hz. A view of a piano keyboard helps to put this scale into
perspective:

As you can see, one octave is equal to eight white keys' worth of distance on a piano keyboard. The familiar
musical mnemonic (doe-ray-mee-fah-so-lah-tee-doe) -- yes, the same pattern immortalized in the whimsical
Rodgers and Hammerstein song sung in The Sound of Music -- covers one octave from C to C.
While electromechanical alternators and many other physical phenomena naturally produce sine waves, this is
not the only kind of alternating wave in existence. Other "waveforms" of AC are commonly produced within
electronic circuitry. Here are but a few sample waveforms and their common designations:

These waveforms are by no means the only kinds of waveforms in existence. They're simply a few that are
common enough to have been given distinct names. Even in circuits that are supposed to manifest "pure" sine,
square, triangle, or sawtooth voltage/current waveforms, the real-life result is often a distorted version of the
intended waveshape. Some waveforms are so complex that they defy classification as a particular "type"
(including waveforms associated with many kinds of musical instruments). Generally speaking, any waveshape
bearing close resemblance to a perfect sine wave is termed sinusoidal, anything different being labeled as non-
sinusoidal. Being that the waveform of an AC voltage or current is crucial to its impact in a circuit, we need to
be aware of the fact that AC waves come in a variety of shapes.

• REVIEW:
• AC produced by an electromechanical alternator follows the graphical shape of a sine wave.
• One cycle of a wave is one complete evolution of its shape until the point that it is ready to repeat
itself.
• The period of a wave is the amount of time it takes to complete one cycle.
• Frequency is the number of complete cycles that a wave completes in a given amount of time. Usually
measured in Hertz (Hz), 1 Hz being equal to one complete wave cycle per second.
• Frequency = 1/(period in seconds)

Measurements of AC magnitude

So far we know that AC voltage alternates in polarity and AC current alternates in direction. We also know that
AC can alternate in a variety of different ways, and by tracing the alternation over time we can plot it as a
"waveform." We can measure the rate of alternation by measuring the time it takes for a wave to evolve
before it repeats itself (the "period"), and express this as cycles per unit time, or "frequency." In music,
frequency is the same as pitch, which is the essential property distinguishing one note from another.

However, we encounter a measurement problem if we try to express how large or small an AC quantity is. With
DC, where quantities of voltage and current are generally stable, we have little trouble expressing how much
voltage or current we have in any part of a circuit. But how do you grant a single measurement of magnitude
to something that is constantly changing?

One way to express the intensity, or magnitude (also called the amplitude), of an AC quantity is to measure its
peak height on a waveform graph. This is known as the peak or crest value of an AC waveform:
Another way is to measure the total height between opposite peaks. This is known as the peak-to-peak (P-P)
value of an AC waveform:

Unfortunately, either one of these expressions of waveform amplitude can be misleading when comparing two
different types of waves. For example, a square wave peaking at 10 volts is obviously a greater amount of
voltage for a greater amount of time than a triangle wave peaking at 10 volts. The effects of these two AC
voltages powering a load would be quite different:
One way of expressing the amplitude of different waveshapes in a more equivalent fashion is to mathematically
average the values of all the points on a waveform's graph to a single, aggregate number. This amplitude
measure is known simply as the average value of the waveform. If we average all the points on the waveform
algebraically (that is, to consider their sign, either positive or negative), the average value for most waveforms
is technically zero, because all the positive points cancel out all the negative points over a full cycle:

This, of course, will be true for any waveform having equal-area portions above and below the "zero" line of a
plot. However, as a practical measure of a waveform's aggregate value, "average" is usually defined as the
mathematical mean of all the points' absolute values over a cycle. In other words, we calculate the practical
average value of the waveform by considering all points on the wave as positive quantities, as if the waveform
looked like this:

Polarity-insensitive mechanical meter movements (meters designed to respond equally to the positive and
negative half-cycles of an alternating voltage or current) register in proportion to the waveform's (practical)
average value, because the inertia of the pointer against the tension of the spring naturally averages the force
produced by the varying voltage/current values over time. Conversely, polarity-sensitive meter movements
vibrate uselessly if exposed to AC voltage or current, their needles oscillating rapidly about the zero mark,
indicating the true (algebraic) average value of zero for a symmetrical waveform. When the "average" value of
a waveform is referenced in this text, it will be assumed that the "practical" definition of average is intended
unless otherwise specified.

Another method of deriving an aggregate value for waveform amplitude is based on the waveform's ability to
do useful work when applied to a load resistance. Unfortunately, an AC measurement based on work performed
by a waveform is not the same as that waveform's "average" value, because the power dissipated by a given
load (work performed per unit time) is not directly proportional to the magnitude of either the voltage or
current impressed upon it. Rather, power is proportional to the square of the voltage or current applied to a
resistance (P = E2/R, and P = I2R). Although the mathematics of such an amplitude measurement might not be
straightforward, the utility of it is.

Consider a bandsaw and a jigsaw, two pieces of modern woodworking equipment. Both types of saws cut with
a thin, toothed, motor-powered metal blade to cut wood. But while the bandsaw uses a continuous motion of
the blade to cut, the jigsaw uses a back-and-forth motion. The comparison of alternating current (AC) to direct
current (DC) may be likened to the comparison of these two saw types:
The problem of trying to describe the changing quantities of AC voltage or current in a single, aggregate
measurement is also present in this saw analogy: how might we express the speed of a jigsaw blade? A
bandsaw blade moves with a constant speed, similar to the way DC voltage pushes or DC current moves with a
constant magnitude. A jigsaw blade, on the other hand, moves back and forth, its blade speed constantly
changing. What is more, the back-and-forth motion of any two jigsaws may not be of the same type,
depending on the mechanical design of the saws. One jigsaw might move its blade with a sine-wave motion,
while another with a triangle-wave motion. To rate a jigsaw based on its peak blade speed would be quite
misleading when comparing one jigsaw to another (or a jigsaw with a bandsaw!). Despite the fact that these
different saws move their blades in different manners, they are equal in one respect: they all cut wood, and a
quantitative comparison of this common function can serve as a common basis for which to rate blade speed.

Picture a jigsaw and bandsaw side-by-side, equipped with identical blades (same tooth pitch, angle, etc.),
equally capable of cutting the same thickness of the same type of wood at the same rate. We might say that
the two saws were equivalent or equal in their cutting capacity. Might this comparison be used to assign a
"bandsaw equivalent" blade speed to the jigsaw's back-and-forth blade motion; to relate the wood-cutting
effectiveness of one to the other? This is the general idea used to assign a "DC equivalent" measurement to
any AC voltage or current: whatever magnitude of DC voltage or current would produce the same amount of
heat energy dissipation through an equal resistance:

In the two circuits above, we have the same amount of load resistance (2 Ω) dissipating the same amount of
power in the form of heat (50 watts), one powered by AC and the other by DC. Because the AC voltage source
pictured above is equivalent (in terms of power delivered to a load) to a 10 volt DC battery, we would call this
a "10 volt" AC source. More specifically, we would denote its voltage value as being 10 volts RMS. The qualifier
"RMS" stands for Root Mean Square, the algorithm used to obtain the DC equivalent value from points on a
graph (essentially, the procedure consists of squaring all the positive and negative points on a waveform
graph, averaging those squared values, then taking the square root of that average to obtain the final answer).
Sometimes the alternative terms equivalent or DC equivalent are used instead of "RMS," but the quantity and
principle are both the same.

RMS amplitude measurement is the best way to relate AC quantities to DC quantities, or other AC quantities of
differing waveform shapes, when dealing with measurements of electric power. For other considerations, peak
or peak-to-peak measurements may be the best to employ. For instance, when determining the proper size of
wire (ampacity) to conduct electric power from a source to a load, RMS current measurement is the best to
use, because the principal concern with current is overheating of the wire, which is a function of power
dissipation caused by current through the resistance of the wire. However, when rating insulators for service in
high-voltage AC applications, peak voltage measurements are the most appropriate, because the principal
concern here is insulator "flashover" caused by brief spikes of voltage, irrespective of time.

Peak and peak-to-peak measurements are best performed with an oscilloscope, which can capture the crests of
the waveform with a high degree of accuracy due to the fast action of the cathode-ray-tube in response to
changes in voltage. For RMS measurements, analog meter movements (D'Arsonval, Weston, iron vane,
electrodynamometer) will work so long as they have been calibrated in RMS figures. Because the mechanical
inertia and dampening effects of an electromechanical meter movement makes the deflection of the needle
naturally proportional to the average value of the AC, not the true RMS value, analog meters must be
specifically calibrated (or mis-calibrated, depending on how you look at it) to indicate voltage or current in RMS
units. The accuracy of this calibration depends on an assumed waveshape, usually a sine wave.

Electronic meters specifically designed for RMS measurement are best for the task. Some instrument
manufacturers have designed ingenious methods for determining the RMS value of any waveform. One such
manufacturer produces "True-RMS" meters with a tiny resistive heating element powered by a voltage
proportional to that being measured. The heating effect of that resistance element is measured thermally to
give a true RMS value with no mathematical calculations whatsoever, just the laws of physics in action in
fulfillment of the definition of RMS. The accuracy of this type of RMS measurement is independent of
waveshape.

For "pure" waveforms, simple conversion coefficients exist for equating Peak, Peak-to-Peak, Average (practical,
not algebraic), and RMS measurements to one another:
In addition to RMS, average, peak (crest), and peak-to-peak measures of an AC waveform, there are ratios
expressing the proportionality between some of these fundamental measurements. The crest factor of an AC
waveform, for instance, is the ratio of its peak (crest) value divided by its RMS value. The form factor of an AC
waveform is the ratio of its peak value divided by its average value. Square-shaped waveforms always have
crest and form factors equal to 1, since the peak is the same as the RMS and average values. Sinusoidal
waveforms have crest factors of 1.414 (the square root of 2) and form factors of 1.571 (π/2). Triangle- and
sawtooth-shaped waveforms have crest values of 1.732 (the square root of 3) and form factors of 2.

Bear in mind that the conversion constants shown here for peak, RMS, and average amplitudes of sine waves,
square waves, and triangle waves hold true only for pure forms of these waveshapes. The RMS and average
values of distorted waveshapes are not related by the same ratios:

This is a very important concept to understand when using an analog meter movement to measure AC voltage
or current. An analog movement, calibrated to indicate sine-wave RMS amplitude, will only be accurate when
measuring pure sine waves. If the waveform of the voltage or current being measured is anything but a pure
sine wave, the indication given by the meter will not be the true RMS value of the waveform, because the
degree of needle deflection in an analog meter movement is proportional to the average value of the
waveform, not the RMS. RMS meter calibration is obtained by "skewing" the span of the meter so that it
displays a small multiple of the average value, which will be equal to be the RMS value for a particular
waveshape and a particular waveshape only.

Since the sine-wave shape is most common in electrical measurements, it is the waveshape assumed for
analog meter calibration, and the small multiple used in the calibration of the meter is 1.1107 (the form factor
π/2 divided by the crest factor 1.414: the ratio of RMS divided by average for a sinusoidal waveform). Any
waveshape other than a pure sine wave will have a different ratio of RMS and average values, and thus a
meter calibrated for sine-wave voltage or current will not indicate true RMS when reading a non-sinusoidal
wave. Bear in mind that this limitation applies only to simple, analog AC meters not employing "True-RMS"
technology.

• REVIEW:
• The amplitude of an AC waveform is its height as depicted on a graph over time. An amplitude
measurement can take the form of peak, peak-to-peak, average, or RMS quantity.
• Peak amplitude is the height of an AC waveform as measured from the zero mark to the highest
positive or lowest negative point on a graph. Also known as the crest amplitude of a wave.
• Peak-to-peak amplitude is the total height of an AC waveform as measured from maximum positive to
maximum negative peaks on a graph. Often abbreviated as "P-P".
• Average amplitude is the mathematical "mean" of all a waveform's points over the period of one cycle.
Technically, the average amplitude of any waveform with equal-area portions above and below the
"zero" line on a graph is zero. However, as a practical measure of amplitude, a waveform's average
value is often calculated as the mathematical mean of all the points' absolute values (taking all the
negative values and considering them as positive). For a sine wave, the average value so calculated is
approximately 0.637 of its peak value.
• "RMS" stands for Root Mean Square, and is a way of expressing an AC quantity of voltage or current
in terms functionally equivalent to DC. For example, 10 volts AC RMS is the amount of voltage that
would produce the same amount of heat dissipation across a resistor of given value as a 10 volt DC
power supply. Also known as the "equivalent" or "DC equivalent" value of an AC voltage or current.
For a sine wave, the RMS value is approximately 0.707 of its peak value.
• The crest factor of an AC waveform is the ratio of its peak (crest) to its RMS value.
• The form factor of an AC waveform is the ratio of its peak (crest) value to its average value.
• Analog, electromechanical meter movements respond proportionally to the average value of an AC
voltage or current. When RMS indication is desired, the meter's calibration must be "skewed"
accordingly. This means that the accuracy of an electromechanical meter's RMS indication is
dependent on the purity of the waveform: whether it is the exact same waveshape as the waveform
used in calibrating.
Simple AC circuit calculations

Over the course of the next few chapters, you will learn that AC circuit measurements and calculations can get
very complicated due to the complex nature of alternating current in circuits with inductance and capacitance.
However, with simple circuits involving nothing more than an AC power source and resistance, the same laws
and rules of DC apply simply and directly.

Series resistances still add, parallel resistances still diminish, and the Laws of Kirchhoff and Ohm still hold true.
Actually, as we will discover later on, these rules and laws always hold true, it's just that we have to express
the quantities of voltage, current, and opposition to current in more advanced mathematical forms. With purely
resistive circuits, however, these complexities of AC are of no practical consequence, and so we can treat the
numbers as though we were dealing with simple DC quantities.

Because all these mathematical relationships still hold true, we can make use of our familiar "table" method of
organizing circuit values just as with DC:
One major caveat needs to be given here: all measurements of AC voltage and current must be expressed in
the same terms (peak, peak-to-peak, average, or RMS). If the source voltage is given in peak AC volts, then
all currents and voltages subsequently calculated are cast in terms of peak units. If the source voltage is given
in AC RMS volts, then all calculated currents and voltages are cast in AC RMS units as well. This holds true for
any calculation based on Ohm's Laws, Kirchhoff's Laws, etc. Unless otherwise stated, all values of voltage and
current in AC circuits are generally assumed to be RMS rather than peak, average, or peak-to-peak. In some
areas of electronics, peak measurements are assumed, but in most applications (especially industrial
electronics) the assumption is RMS.

• REVIEW:
• All the old rules and laws of DC (Kirchhoff's Voltage and Current Laws, Ohm's Law) still hold true for
AC. However, with more complex circuits, we may need to represent the AC quantities in more
complex form. More on this later, I promise!
• The "table" method of organizing circuit values is still a valid analysis tool for AC circuits.

AC phase

Things start to get complicated when we need to relate two or more AC voltages or currents that are out of
step with each other. By "out of step," I mean that the two waveforms are not synchronized: that their peaks
and zero points do not match up at the same points in time. The following graph illustrates an example of this:

The two waves shown above (A versus B) are of the same amplitude and frequency, but they are out of step
with each other. In technical terms, this is called a phase shift. Earlier we saw how we could plot a "sine wave"
by calculating the trigonometric sine function for angles ranging from 0 to 360 degrees, a full circle. The
starting point of a sine wave was zero amplitude at zero degrees, progressing to full positive amplitude at 90
degrees, zero at 180 degrees, full negative at 270 degrees, and back to the starting point of zero at 360
degrees. We can use this angle scale along the horizontal axis of our waveform plot to express just how far out
of step one wave is with another:
The shift between these two waveforms is about 45 degrees, the "A" wave being ahead of the "B" wave. A
sampling of different phase shifts is given in the following graphs to better illustrate this concept:
Because the waveforms in the above examples are at the same frequency, they will be out of step by the same
angular amount at every point in time. For this reason, we can express phase shift for two or more waveforms
of the same frequency as a constant quantity for the entire wave, and not just an expression of shift between
any two particular points along the waves. That is, it is safe to say something like, "voltage 'A' is 45 degrees
out of phase with voltage 'B'." Whichever waveform is ahead in its evolution is said to be leading and the one
behind is said to be lagging.

Phase shift, like voltage, is always a measurement relative between two things. There's really no such thing as
a waveform with an absolute phase measurement because there's no known universal reference for phase.
Typically in the analysis of AC circuits, the voltage waveform of the power supply is used as a reference for
phase, that voltage stated as "xxx volts at 0 degrees." Any other AC voltage or current in that circuit will have
its phase shift expressed in terms relative to that source voltage.

This is what makes AC circuit calculations more complicated than DC. When applying Ohm's Law and
Kirchhoff's Laws, quantities of AC voltage and current must reflect phase shift as well as amplitude.
Mathematical operations of addition, subtraction, multiplication, and division must operate on these quantities
of phase shift as well as amplitude. Fortunately, there is a mathematical system of quantities called complex
numbers ideally suited for this task of representing amplitude and phase.

Because the subject of complex numbers is so essential to the understanding of AC circuits, the next chapter
will be devoted to that subject alone.

• REVIEW:
• Phase shift is where two or more waveforms are out of step with each other.
• The amount of phase shift between two waves can be expressed in terms of degrees, as defined by
the degree units on the horizontal axis of the waveform graph used in plotting the trigonometric sine
function.
• A leading waveform is defined as one waveform that is ahead of another in its evolution. A lagging
waveform is one that is behind another. Example:

•
• Calculations for AC circuit analysis must take into consideration both amplitude and phase shift of
voltage and current waveforms to be completely accurate. This requires the use of a mathematical
system called complex numbers.

Principles of radio

One of the more fascinating applications of electricity is in the generation of invisible ripples of energy called
radio waves. The limited scope of this lesson on alternating current does not permit full exploration of the
concept, some of the basic principles will be covered.

With Oersted's accidental discovery of electromagnetism, it was realized that electricity and magnetism were
related to each other. When an electric current was passed through a conductor, a magnetic field was
generated perpendicular to the axis of flow. Likewise, if a conductor was exposed to a change in magnetic flux
perpendicular to the conductor, a voltage was produced along the length of that conductor. So far, scientists
knew that electricity and magnetism always seemed to affect each other at right angles. However, a major
discovery lay hidden just beneath this seemingly simple concept of related perpendicularity, and its unveiling
was one of the pivotal moments in modern science.

This breakthrough in physics is hard to overstate. The man responsible for this conceptual revolution was the
Scottish physicist James Clerk Maxwell (1831-1879), who "unified" the study of electricity and magnetism in
four relatively tidy equations. In essence, what he discovered was that electric and magnetic fields were
intrinsically related to one another, with or without the presence of a conductive path for electrons to flow.
Stated more formally, Maxwell's discovery was this:

A changing electric field produces a perpendicular magnetic field, and

A changing magnetic field produces a perpendicular electric field.

All of this can take place in open space, the alternating electric and magnetic fields supporting each other as
they travel through space at the speed of light. This dynamic structure of electric and magnetic fields
propagating through space is better known as an electromagnetic wave.

There are many kinds of natural radiative energy composed of electromagnetic waves. Even light is
electromagnetic in nature. So are X-rays and "gamma" ray radiation. The only difference between these kinds
of electromagnetic radiation is the frequency of their oscillation (alternation of the electric and magnetic fields
back and forth in polarity). By using a source of AC voltage and a special device called an antenna, we can
create electromagnetic waves (of a much lower frequency than that of light) with ease.

An antenna is nothing more than a device built to produce a dispersing electric or magnetic field. Two
fundamental types of antennae are the dipole and the loop:

While the dipole looks like nothing more than an open circuit, and the loop a short circuit, these pieces of wire
are effective radiators of electromagnetic fields when connected to AC sources of the proper frequency. The
two open wires of the dipole act as a sort of capacitor (two conductors separated by a dielectric), with the
electric field open to dispersal instead of being concentrated between two closely-spaced plates. The closed
wire path of the loop antenna acts like an inductor with a large air core, again providing ample opportunity for
the field to disperse away from the antenna instead of being concentrated and contained as in a normal
inductor.

As the powered dipole radiates its changing electric field into space, a changing magnetic field is produced at
right angles, thus sustaining the electric field further into space, and so on as the wave propagates at the
speed of light. As the powered loop antenna radiates its changing magnetic field into space, a changing electric
field is produced at right angles, with the same end-result of a continuous electromagnetic wave sent away
from the antenna. Either antenna achieves the same basic task: the controlled production of an
electromagnetic field.

When attached to a source of high-frequency AC power, an antenna acts as a transmitting device, converting
AC voltage and current into electromagnetic wave energy. Antennas also have the ability to intercept
electromagnetic waves and convert their energy into AC voltage and current. In this mode, an antenna acts as
a receiving device:
While there is much more that may be said about antenna technology, this brief introduction is enough to give
you the general idea of what's going on (and perhaps enough information to provoke a few experiments).

• REVIEW:
• James Maxwell discovered that changing electric fields produce perpendicular magnetic fields, and
visa-versa, even in empty space.
• A twin set of electric and magnetic fields, oscillating at right angles to each other and traveling at the
speed of light, constitutes an electromagnetic wave.
• An antenna is a device made of wire, designed to radiate a changing electric field or changing
magnetic field when powered by a high-frequency AC source, or intercept an electromagnetic field and
convert it to an AC voltage or current.
• The dipole antenna consists of two pieces of wire (not touching), primarily generating an electric field
when energized, and secondarily producing a magnetic field in space.
• The loop antenna consists of a loop of wire, primarily generating a magnetic field when energized, and
secondarily producing an electric field in space.
Introduction

If I needed to describe the distance between two cities, I could provide an answer consisting of a single
number in miles, kilometers, or some other unit of linear measurement. However, if I were to describe how to
travel from one city to another, I would have to provide more information than just the distance between those
two cities; I would also have to provide information about the direction to travel, as well.

The kind of information that expresses a single dimension, such as linear distance, is called a scalar quantity in
mathematics. Scalar numbers are the kind of numbers you've used in most all of your mathematical
applications so far. The voltage produced by a battery, for example, is a scalar quantity. So is the resistance of
a piece of wire (ohms), or the current through it (amps).

However, when we begin to analyze alternating current circuits, we find that quantities of voltage, current, and
even resistance (called impedance in AC) are not the familiar one-dimensional quantities we're used to
measuring in DC circuits. Rather, these quantities, because they're dynamic (alternating in direction and
amplitude), possess other dimensions that must be taken into account. Frequency and phase shift are two of
these dimensions that come into play. Even with relatively simple AC circuits, where we're only dealing with a
single frequency, we still have the dimension of phase shift to contend with in addition to the amplitude.

In order to successfully analyze AC circuits, we need to work with mathematical objects and techniques
capable of representing these multi-dimensional quantities. Here is where we need to abandon scalar numbers
for something better suited: complex numbers. Just like the example of giving directions from one city to
another, AC quantities in a single-frequency circuit have both amplitude (analogy: distance) and phase shift
(analogy: direction). A complex number is a single mathematical quantity able to express these two
dimensions of amplitude and phase shift at once.

Complex numbers are easier to grasp when they're represented graphically. If I draw a line with a certain
length (magnitude) and angle (direction), I have a graphic representation of a complex number which is
commonly known in physics as a vector:

Like distances and directions on a map, there must be some common frame of reference for angle figures to
have any meaning. In this case, directly right is considered to be 0o, and angles are counted in a positive
direction going counter-clockwise:
The idea of representing a number in graphical form is nothing new. We all learned this in grade school with
the "number line:"

We even learned how addition and subtraction works by seeing how lengths (magnitudes) stacked up to give a
final answer:

Later, we learned that there were ways to designate the values between the whole numbers marked on the
line. These were fractional or decimal quantities:

Later yet we learned that the number line could extend to the left of zero as well:
These fields of numbers (whole, integer, rational, irrational, real, etc.) learned in grade school share a common
trait: they're all one-dimensional. The straightness of the number line illustrates this graphically. You can move
up or down the number line, but all "motion" along that line is restricted to a single axis (horizontal). One-
dimensional, scalar numbers are perfectly adequate for counting beads, representing weight, or measuring DC
battery voltage, but they fall short of being able to represent something more complex like the distance and
direction between two cities, or the amplitude and phase of an AC waveform. To represent these kinds of
quantities, we need multidimensional representations. In other words, we need a number line that can point in
different directions, and that's exactly what a vector is.

• REVIEW:
• A scalar number is the type of mathematical object that people are used to using in everyday life: a
one-dimensional quantity like temperature, length, weight, etc.
• A complex number is a mathematical quantity representing two dimensions of magnitude and
direction.
• A vector is a graphical representation of a complex number. It looks like an arrow, with a starting
point, a tip, a definite length, and a definite direction. Sometimes the word phasor is used in electrical
applications where the angle of the vector represents phase shift between waveforms.

Vectors and AC waveforms

Okay, so how exactly can we represent AC quantities of voltage or current in the form of a vector? The length
of the vector represents the magnitude (or amplitude) of the waveform, like this:

The greater the amplitude of the waveform, the greater the length of its corresponding vector. The angle of the
vector, however, represents the phase shift in degrees between the waveform in question and another
waveform acting as a "reference" in time. Usually, when the phase of a waveform in a circuit is expressed, it is
referenced to the power supply voltage waveform (arbitrarily stated to be "at" 0o). Remember that phase is
always a relative measurement between two waveforms rather than an absolute property.

The greater the phase shift in degrees between two waveforms, the greater the angle difference between the
corresponding vectors. Being a relative measurement, like voltage, phase shift (vector angle) only has
meaning in reference to some standard waveform. Generally this "reference" waveform is the main AC power
supply voltage in the circuit. If there is more than one AC voltage source, then one of those sources is
arbitrarily chosen to be the phase reference for all other measurements in the circuit.

This concept of a reference point is not unlike that of the "ground" point in a circuit for the benefit of voltage
reference. With a clearly defined point in the circuit declared to be "ground," it becomes possible to talk about
voltage "on" or "at" single points in a circuit, being understood that those voltages (always relative between
two points) are referenced to "ground." Correspondingly, with a clearly defined point of reference for phase it
becomes possible to speak of voltages and currents in an AC circuit having definite phase angles. For example,
if the current in an AC circuit is described as "24.3 milliamps at -64 degrees," it means that the current
waveform has an amplitude of 24.3 mA, and it lags 64o behind the reference waveform, usually assumed to be
the main source voltage waveform.

• REVIEW:
• When used to describe an AC quantity, the length of a vector represents the amplitude of the wave
while the angle of a vector represents the phase angle of the wave relative to some other (reference)
waveform.

Simple vector addition

Remember that vectors are mathematical objects just like numbers on a number line: they can be added,
subtracted, multiplied, and divided. Addition is perhaps the easiest vector operation to visualize, so we'll begin
with that. If vectors with common angles are added, their magnitudes (lengths) add up just like regular scalar
quantities:

Similarly, if AC voltage sources with the same phase angle are connected together in series, their voltages add
just as you might expect with DC batteries:

Please note the (+) and (-) polarity marks next to the leads of the two AC sources. Even though we know AC
doesn't have "polarity" in the same sense that DC does, these marks are essential to knowing how to reference
the given phase angles of the voltages. This will become more apparent in the next example.

If vectors directly opposing each other (180o out of phase) are added together, their magnitudes (lengths)
subtract just like positive and negative scalar quantities subtract when added:

Similarly, if opposing AC voltage sources are connected in series, their voltages subtract as you might expect
with DC batteries connected in an opposing fashion:
Determining whether or not these voltage sources are opposing each other requires an examination of their
polarity markings and their phase angles. Notice how the polarity markings in the above diagram seem to
indicate additive voltages (from left to right, we see - and + on the 6 volt source, - and + on the 8 volt
source). Even though these polarity markings would normally indicate an additive effect in a DC circuit (the
two voltages working together to produce a greater total voltage), in this AC circuit they're actually pushing in
opposite directions because one of those voltages has a phase angle of 0o and the other a phase angle of 180o.
The result, of course, is a total voltage of 2 volts.

We could have just as well shown the opposing voltages subtracting in series like this:

Note how the polarities appear to be opposed to each other now, due to the reversal of wire connections on the
8 volt source. Since both sources are described as having equal phase angles (0o), they truly are opposed to
one another, and the overall effect is the same as the former scenario with "additive" polarities and differing
phase angles: a total voltage of only 2 volts.
The resultant voltage can be expressed in two different ways: 2 volts at 180o with the (-) symbol on the left
and the (+) symbol on the right, or 2 volts at 0o with the (+) symbol on the left and the (-) symbol on the
right. A reversal of wires from an AC voltage source is the same as phase-shifting that source by 180o.

Complex vector addition

If vectors with uncommon angles are added, their magnitudes (lengths) add up quite differently than that of
scalar magnitudes:

If two AC voltages -- 90o out of phase -- are added together by being connected in series, their voltage
magnitudes do not directly add or subtract as with scalar voltages in DC. Instead, these voltage quantities are
complex quantities, and just like the above vectors, which add up in a trigonometric fashion, a 6 volt source at
0o added to an 8 volt source at 90o results in 10 volts at a phase angle of 53.13o:

Compared to DC circuit analysis, this is very strange indeed. Note that it's possible to obtain voltmeter
indications of 6 and 8 volts, respectively, across the two AC voltage sources, yet only read 10 volts for a total
voltage!

There is no suitable DC analogy for what we're seeing here with two AC voltages slightly out of phase. DC
voltages can only directly aid or directly oppose, with nothing in between. With AC, two voltages can be aiding
or opposing one another to any degree between fully-aiding and fully-opposing, inclusive. Without the use of
vector (complex number) notation to describe AC quantities, it would be very difficult to perform mathematical
calculations for AC circuit analysis.

In the next section, we'll learn how to represent vector quantities in symbolic rather than graphical form.
Vector and triangle diagrams suffice to illustrate the general concept, but more precise methods of symbolism
must be used if any serious calculations are to be performed on these quantities.

• REVIEW:
• DC voltages can only either directly aid or directly oppose each other when connected in series. AC
voltages may aid or oppose to any degree depending on the phase shift between them.

Polar and rectangular notation

In order to work with these complex numbers without drawing vectors, we first need some kind of standard
mathematical notation. There are two basic forms of complex number notation: polar and rectangular.

Polar form is where a complex number is denoted by the length (otherwise known as the magnitude, absolute
value, or modulus) and the angle of its vector (usually denoted by an angle symbol that looks like this: ). To
use the map analogy, polar notation for the vector from New York City to San Diego would be something like
"2400 miles, southwest." Here are two examples of vectors and their polar notations:
Standard orientation for vector angles in AC circuit calculations defines 0o as being to the right (horizontal),
making 90o straight up, 180o to the left, and 270o straight down. Please note that vectors angled "down" can
have angles represented in polar form as positive numbers in excess of 180, or negative numbers less than
180. For example, a vector angled 270o (straight down) can also be said to have an angle of -90o. The above
vector on the right (5.4 326o) can also be denoted as 5.4 -34o.

Rectangular form, on the other hand, is where a complex number is denoted by its respective horizontal and
vertical components. In essence, the angled vector is taken to be the hypotenuse of a right triangle, described
by the lengths of the adjacent and opposite sides. Rather than describing a vector's length and direction by
denoting magnitude and angle, it is described in terms of "how far left/right" and "how far up/down."

These two dimensional figures (horizontal and vertical) are symbolized by two numerical figures. In order to
distinguish the horizontal and vertical dimensions from each other, the vertical is prefixed with a lower-case "i"
(in pure mathematics) or "j" (in electronics). These lower-case letters do not represent a physical variable
(such as instantaneous current, also symbolized by a lower-case letter "i"), but rather are mathematical
operators used to distinguish the vector's vertical component from its horizontal component. As a complete
complex number, the horizontal and vertical quantities are written as a sum:
The horizontal component is referred to as the real component, since that dimension is compatible with
normal, scalar ("real") numbers. The vertical component is referred to as the imaginary component, since that
dimension lies in a different direction, totally alien to the scale of the real numbers.

The "real" axis of the graph corresponds to the familiar number line we saw earlier: the one with both positive
and negative values on it. The "imaginary" axis of the graph corresponds to another number line situated at
90o to the "real" one. Vectors being two-dimensional things, we must have a two-dimensional "map" upon
which to express them, thus the two number lines perpendicular to each other:
Either method of notation is valid for complex numbers. The primary reason for having two methods of
notation is for ease of longhand calculation, rectangular form lending itself to addition and subtraction, and
polar form lending itself to multiplication and division.

Conversion between the two notational forms involves simple trigonometry. To convert from polar to
rectangular, find the real component by multiplying the polar magnitude by the cosine of the angle, and the
imaginary component by multiplying the polar magnitude by the sine of the angle. This may be understood
more readily by drawing the quantities as sides of a right triangle, the hypotenuse of the triangle representing
the vector itself (its length and angle with respect to the horizontal constituting the polar form), the horizontal
and vertical sides representing the "real" and "imaginary" rectangular components, respectively:
To convert from rectangular to polar, find the polar magnitude through the use of the Pythagorean Theorem
(the polar magnitude is the hypotenuse of a right triangle, and the real and imaginary components are the
adjacent and opposite sides, respectively), and the angle by taking the arctangent of the imaginary component
divided by the real component:

• REVIEW:
• Polar notation denotes a complex number in terms of its vector's length and angular direction from
the starting point. Example: fly 45 miles 203o (West by Southwest).
• Rectangular notation denotes a complex number in terms of its horizontal and vertical dimensions.
Example: drive 41 miles West, then turn and drive 18 miles South.
• In rectangular notation, the first quantity is the "real" component (horizontal dimension of vector) and
the second quantity is the "imaginary" component (vertical dimension of vector). The imaginary
component is preceded by a lower-case "j," sometimes called the j operator.
• Both polar and rectangular forms of notation for a complex number can be related graphically in the
form of a right triangle, with the hypotenuse representing the vector itself (polar form: hypotenuse
length = magnitude; angle with respect to horizontal side = angle), the horizontal side representing
the rectangular "real" component, and the vertical side representing the rectangular "imaginary"
component.

Complex number arithmetic

Since complex numbers are legitimate mathematical entities, just like scalar numbers, they can be added,
subtracted, multiplied, divided, squared, inverted, and such, just like any other kind of number. Some scientific
calculators are programmed to directly perform these operations on two or more complex numbers, but these
operations can also be done "by hand." This section will show you how the basic operations are performed. It is
highly recommended that you equip yourself with a scientific calculator capable of performing arithmetic
functions easily on complex numbers. It will make your study of AC circuit much more pleasant than if you're
forced to do all calculations the longer way.

Addition and subtraction with complex numbers in rectangular form is easy. For addition, simply add up the
real components of the complex numbers to determine the real component of the sum, and add up the
imaginary components of the complex numbers to determine the imaginary component of the sum:

When subtracting complex numbers in rectangular form, simply subtract the real component of the second
complex number from the real component of the first to arrive at the real component of the difference, and
subtract the imaginary component of the second complex number from the imaginary component of the first to
arrive the imaginary component of the difference:

For longhand multiplication and division, polar is the favored notation to work with. When multiplying complex
numbers in polar form, simply multiply the polar magnitudes of the complex numbers to determine the polar
magnitude of the product, and add the angles of the complex numbers to determine the angle of the product:

Division of polar-form complex numbers is also easy: simply divide the polar magnitude of the first complex
number by the polar magnitude of the second complex number to arrive at the polar magnitude of the
quotient, and subtract the angle of the second complex number from the angle of the first complex number to
arrive at the angle of the quotient:
To obtain the reciprocal, or "invert" (1/x), a complex number, simply divide the number (in polar form) into a
scalar value of 1, which is nothing more than a complex number with no imaginary component (angle = 0):

These are the basic operations you will need to know in order to manipulate complex numbers in the analysis
of AC circuits. Operations with complex numbers are by no means limited just to addition, subtraction,
multiplication, division, and inversion, however. Virtually any arithmetic operation that can be done with scalar
numbers can be done with complex numbers, including powers, roots, solving simultaneous equations with
complex coefficients, and even trigonometric functions (although this involves a whole new perspective in
trigonometry called hyperbolic functions which is well beyond the scope of this discussion). Be sure that you're
familiar with the basic arithmetic operations of addition, subtraction, multiplication, division, and inversion, and
you'll have little trouble with AC circuit analysis.

• REVIEW:
• To add complex numbers in rectangular form, add the real components and add the imaginary
components. Subtraction is similar.
• To multiply complex numbers in polar form, multiply the magnitudes and add the angles. To divide,
divide the magnitudes and subtract one angle from the other.

More on AC "polarity"

Complex numbers are useful for AC circuit analysis because they provide a convenient method of symbolically
denoting phase shift between AC quantities like voltage and current. However, for most people the equivalence
between abstract vectors and real circuit quantities is not an easy one to grasp. Earlier in this chapter we saw
how AC voltage sources are given voltage figures in complex form (magnitude and phase angle), as well as
polarity markings. Being that alternating current has no set "polarity" as direct current does, these polarity
markings and their relationship to phase angle tends to be confusing. This section is written in the attempt to
clarify some of these issues.

Voltage is an inherently relative quantity. When we measure a voltage, we have a choice in how we connect a
voltmeter or other voltage-measuring instrument to the source of voltage, as there are two points between
which the voltage exists, and two test leads on the instrument with which to make connection. In DC circuits,
we denote the polarity of voltage sources and voltage drops explicitly, using "+" and "-" symbols, and use
color-coded meter test leads (red and black). If a digital voltmeter indicates a negative DC voltage, we know
that its test leads are connected "backward" to the voltage (red lead connected to the "-" and black lead to the
"+").

Batteries have their polarity designated by way of intrinsic symbology: the short-line side of a battery is always
the negative (-) side and the long-line side always the positive (+):

Although it would be mathematically correct to represent a battery's voltage as a negative figure with reversed
polarity markings, it would be decidedly unconventional:
Interpreting such notation might be easier if the "+" and "-" polarity markings were viewed as reference points
for voltmeter test leads, the "+" meaning "red" and the "-" meaning "black." A voltmeter connected to the
above battery with red lead to the bottom terminal and black lead to the top terminal would indeed indicate a
negative voltage (-6 volts). Actually, this form of notation and interpretation is not as unusual as you might
think: it's commonly encountered in problems of DC network analysis where "+" and "-" polarity marks are
initially drawn according to educated guess, and later interpreted as correct or "backward" according to the
mathematical sign of the figure calculated.

In AC circuits, though, we don't deal with "negative" quantities of voltage. Instead, we describe to what degree
one voltage aids or opposes another by phase: the time-shift between two waveforms. We never describe an
AC voltage as being negative in sign, because the facility of polar notation allows for vectors pointing in an
opposite direction. If one AC voltage directly opposes another AC voltage, we simply say that one is 180o out of
phase with the other.

Still, voltage is relative between two points, and we have a choice in how we might connect a voltage-
measuring instrument between those two points. The mathematical sign of a DC voltmeter's reading has
meaning only in the context of its test lead connections: which terminal the red lead is touching, and which
terminal the black lead is touching. Likewise, the phase angle of an AC voltage has meaning only in the context
of knowing which of the two points is considered the "reference" point. Because of this fact, "+" and "-"
polarity marks are often placed by the terminals of an AC voltage in schematic diagrams to give the stated
phase angle a frame of reference.

Let's review these principles with some graphical aids. First, the principle of relating test lead connections to
the mathematical sign of a DC voltmeter indication:
The mathematical sign of a digital DC voltmeter's display has meaning only in the context of its test lead
connections. Consider the use of a DC voltmeter in determining whether or not two DC voltage sources are
aiding or opposing each other, assuming that both sources are unlabeled as to their polarities. Using the
voltmeter to measure across the first source:
This first measurement of +24 across the left-hand voltage source tells us that the black lead of the meter
really is touching the negative side of voltage source #1, and the red lead of the meter really is touching the
positive. Thus, we know source #1 is a battery facing in this orientation:

Measuring the other unknown voltage source:

This second voltmeter reading, however, is a negative (-) 17 volts, which tells us that the black test lead is
actually touching the positive side of voltage source #2, while the red test lead is actually touching the
negative. Thus, we know that source #2 is a battery facing in the opposite direction:

It should be obvious to any experienced student of DC electricity that these two batteries are opposing one
another. By definition, opposing voltages subtract from one another, so we subtract 17 volts from 24 volts to
obtain the total voltage across the two: 7 volts.

We could, however, draw the two sources as nondescript boxes, labeled with the exact voltage figures obtained
by the voltmeter, the polarity marks indicating voltmeter test lead placement:
According to this diagram, the polarity marks (which indicate meter test lead placement) indicate the sources
aiding each other. By definition, aiding voltage sources add with one another to form the total voltage, so we
add 24 volts to -17 volts to obtain 7 volts: still the correct answer. If we let the polarity markings guide our
decision to either add or subtract voltage figures -- whether those polarity markings represent the true polarity
or just the meter test lead orientation -- and include the mathematical signs of those voltage figures in our
calculations, the result will always be correct. Again, the polarity markings serve as frames of reference to
place the voltage figures' mathematical signs in proper context.

The same is true for AC voltages, except that phase angle substitutes for mathematical sign. In order to relate
multiple AC voltages at different phase angles to each other, we need polarity markings to provide frames of
reference for those voltages' phase angles.

Take for example the following circuit:

The polarity markings show these two voltage sources aiding each other, so to determine the total voltage
across the resistor we must add the voltage figures of 10 V 0o and 6 V 45o together to obtain 14.861 V
o
16.59 . However, it would be perfectly acceptable to represent the 6 volt source as 6 V 225o, with a
reversed set of polarity markings, and still arrive at the same total voltage:

6V 45o with negative on the left and positive on the right is exactly the same as 6 V 225o with positive on
the left and negative on the right: the reversal of polarity markings perfectly complements the addition of 180o
to the phase angle designation:

Unlike DC voltage sources, whose symbols intrinsically define polarity by means of short and long lines, AC
voltage symbols have no intrinsic polarity marking. Therefore, any polarity marks must by included as
additional symbols on the diagram, and there is no one "correct" way in which to place them. They must,
however, correlate with the given phase angle to represent the true phase relationship of that voltage with
other voltages in the circuit.
 • REVIEW:
• Polarity markings are sometimes given to AC voltages in circuit schematics in order to provide a frame
of reference for their phase angles.

Some examples with AC circuits

Let's connect three AC voltage sources in series and use complex numbers to determine additive voltages. All
the rules and laws learned in the study of DC circuits apply to AC circuits as well (Ohm's Law, Kirchhoff's Laws,
network analysis methods), with the exception of power calculations (Joule's Law). The only qualification is that
all variables must be expressed in complex form, taking into account phase as well as magnitude, and all
voltages and currents must be of the same frequency (in order that their phase relationships remain constant).

The polarity marks for all three voltage sources are oriented in such a way that their stated voltages should
add to make the total voltage across the load resistor. Notice that although magnitude and phase angle is
given for each AC voltage source, no frequency value is specified. If this is the case, it is assumed that all
frequencies are equal, thus meeting our qualifications for applying DC rules to an AC circuit (all figures given in
complex form, all of the same frequency). The setup of our equation to find total voltage appears as such:

Graphically, the vectors add up in this manner:

The sum of these vectors will be a resultant vector originating at the starting point for the 22 volt vector (dot
at upper-left of diagram) and terminating at the ending point for the 15 volt vector (arrow tip at the middle-
right of the diagram):

In order to determine what the resultant vector's magnitude and angle are without resorting to graphic images,
we can convert each one of these polar-form complex numbers into rectangular form and add. Remember,
we're adding these figures together because the polarity marks for the three voltage sources are oriented in an
additive manner:
In polar form, this equates to 36.8052 volts -20.5018o. What this means in real terms is that the voltage
measured across these three voltage sources will be 36.8052 volts, lagging the 15 volt (0o phase reference) by
20.5018o. A voltmeter connected across these points in a real circuit would only indicate the polar magnitude
of the voltage (36.8052 volts), not the angle. An oscilloscope could be used to display two voltage waveforms
and thus provide a phase shift measurement, but not a voltmeter. The same principle holds true for AC
ammeters: they indicate the polar magnitude of the current, not the phase angle.

This is extremely important in relating calculated figures of voltage and current to real circuits. Although
rectangular notation is convenient for addition and subtraction, and was indeed the final step in our sample
problem here, it is not very applicable to practical measurements. Rectangular figures must be converted to
polar figures (specifically polar magnitude) before they can be related to actual circuit measurements.

We can use SPICE to verify the accuracy of our results. In this test circuit, the 10 kΩ resistor value is quite
arbitrary. It's there so that SPICE does not declare an open-circuit error and abort analysis. Also, the choice of
frequencies for the simulation (60 Hz) is quite arbitrary, because resistors respond uniformly for all frequencies
of AC voltage and current. There are other components (notably capacitors and inductors) which do not
respond uniformly to different frequencies, but that is another subject!

ac voltage addition
v1 1 0 ac 15 0 sin
v2 2 1 ac 12 35 sin
v3 3 2 ac 22 -64 sin
r1 3 0 10k
.ac lin 1 60 60 I'm using a frequency of 60 Hz
.print ac v(3,0) vp(3,0) as a default value
.end

freq v(3) vp(3)

6.000E+01 3.681E+01 -2.050E+01

Sure enough, we get a total voltage of 36.81 volts -20.5o (with reference to the 15 volt source, whose phase
angle was arbitrarily stated at zero degrees so as to be the "reference" waveform).

At first glance, this is counter-intuitive. How is it possible to obtain a total voltage of just over 36 volts with 15
volt, 12 volt, and 22 volt supplies connected in series? With DC, this would be impossible, as voltage figures
will either directly add or subtract, depending on polarity. But with AC, our "polarity" (phase shift) can vary
anywhere in between full-aiding and full-opposing, and this allows for such paradoxical summing.

What if we took the same circuit and reversed one of the supply's connections? Its contribution to the total
voltage would then be the opposite of what it was before:

Note how the 12 volt supply's phase angle is still referred to as 35o, even though the leads have been
reversed. Remember that the phase angle of any voltage drop is stated in reference to its noted polarity. Even
though the angle is still written as 35o, the vector will be drawn 180o opposite of what it was before:
The resultant (sum) vector should begin at the upper-left point (origin of the 22 volt vector) and terminate at
the right arrow tip of the 15 volt vector:

The connection reversal on the 12 volt supply can be represented in two different ways in polar form: by an
addition of 180o to its vector angle (making it 12 volts 215o), or a reversal of sign on the magnitude (making
it -12 volts 35o). Either way, conversion to rectangular form yields the same result:
The resulting addition of voltages in rectangular form, then:

In polar form, this equates to 30.4964 V -60.9368o. Once again, we will use SPICE to verify the results of
our calculations:

ac voltage addition
v1 1 0 ac 15 0 sin
v2 1 2 ac 12 35 sin Note the reversal of node numbers 2 and 1
v3 3 2 ac 22 -64 sin to simulate the swapping of connections
r1 3 0 10k
.ac lin 1 60 60
.print ac v(3,0) vp(3,0)
.end

freq v(3) vp(3)

6.000E+01 3.050E+01 -6.094E+01

• REVIEW:
• All the laws and rules of DC circuits apply to AC circuits, with the exception of power calculations
(Joule's Law), so long as all values are expressed and manipulated in complex form, and all voltages
and currents are at the same frequency.
• When reversing the direction of a vector (equivalent to reversing the polarity of an AC voltage source
in relation to other voltage sources), it can be expressed in either of two different ways: adding 180o
to the angle, or reversing the sign of the magnitude.
• Meter measurements in an AC circuit correspond to the polar magnitudes of calculated values.
Rectangular expressions of complex quantities in an AC circuit have no direct, empirical equivalent,
although they are convenient for performing addition and subtraction, as Kirchhoff's Voltage and
Current Laws require.
Chapter 3: REACTANCE AND IMPEDANCE -- INDUCTIVE
AC resistor circuits

If we were to plot the current and voltage for a very simple AC circuit consisting of a source and a resistor, it
would look something like this:

Because the resistor simply and directly resists the flow of electrons at all periods of time, the waveform for
the voltage drop across the resistor is exactly in phase with the waveform for the current through it. We can
look at any point in time along the horizontal axis of the plot and compare those values of current and voltage
with each other (any "snapshot" look at the values of a wave are referred to as instantaneous values, meaning
the values at that instant in time). When the instantaneous value for current is zero, the instantaneous voltage
across the resistor is also zero. Likewise, at the moment in time where the current through the resistor is at its
positive peak, the voltage across the resistor is also at its positive peak, and so on. At any given point in time
along the waves, Ohm's Law holds true for the instantaneous values of voltage and current.

We can also calculate the power dissipated by this resistor, and plot those values on the same graph:

Note that the power is never a negative value. When the current is positive (above the line), the voltage is also
positive, resulting in a power (p=ie) of a positive value. Conversely, when the current is negative (below the
line), the voltage is also negative, which results in a positive value for power (a negative number multiplied by
a negative number equals a positive number). This consistent "polarity" of power tells us that the resistor is
always dissipating power, taking it from the source and releasing it in the form of heat energy. Whether the
current is positive or negative, a resistor still dissipates energy.
AC inductor circuits

Inductors do not behave the same as resistors. Whereas resistors simply oppose the flow of electrons through
them (by dropping a voltage directly proportional to the current), inductors oppose changes in current through
them, by dropping a voltage directly proportional to the rate of change of current. In accordance with Lenz's
Law, this induced voltage is always of such a polarity as to try to maintain current at its present value. That is,
if current is increasing in magnitude, the induced voltage will "push against" the electron flow; if current is
decreasing, the polarity will reverse and "push with" the electron flow to oppose the decrease. This opposition
to current change is called reactance, rather than resistance.

Expressed mathematically, the relationship between the voltage dropped across the inductor and rate of
current change through the inductor is as such:

The expression di/dt is one from calculus, meaning the rate of change of instantaneous current (i) over time, in
amps per second. The inductance (L) is in Henrys, and the instantaneous voltage (e), of course, is in volts.
Sometimes you will find the rate of instantaneous voltage expressed as "v" instead of "e" (v = L di/dt), but it
means the exact same thing. To show what happens with alternating current, let's analyze a simple inductor
circuit:

If we were to plot the current and voltage for this very simple circuit, it would look something like this:

Remember, the voltage dropped across an inductor is a reaction against the change in current through it.
Therefore, the instantaneous voltage is zero whenever the instantaneous current is at a peak (zero change, or
level slope, on the current sine wave), and the instantaneous voltage is at a peak wherever the instantaneous
current is at maximum change (the points of steepest slope on the current wave, where it crosses the zero
line). This results in a voltage wave that is 90o out of phase with the current wave. Looking at the graph, the
voltage wave seems to have a "head start" on the current wave; the voltage "leads" the current, and the
current "lags" behind the voltage.
Things get even more interesting when we plot the power for this circuit:

Because instantaneous power is the product of the instantaneous voltage and the instantaneous current
(p=ie), the power equals zero whenever the instantaneous current or voltage is zero. Whenever the
instantaneous current and voltage are both positive (above the line), the power is positive. As with the resistor
example, the power is also positive when the instantaneous current and voltage are both negative (below the
line). However, because the current and voltage waves are 90o out of phase, there are times when one is
positive while the other is negative, resulting in equally frequent occurrences of negative instantaneous power.

But what does negative power mean? It means that the inductor is releasing power back to the circuit, while a
positive power means that it is absorbing power from the circuit. Since the positive and negative power cycles
are equal in magnitude and duration over time, the inductor releases just as much power back to the circuit as
it absorbs over the span of a complete cycle. What this means in a practical sense is that the reactance of an
inductor dissipates a net energy of zero, quite unlike the resistance of a resistor, which dissipates energy in the
form of heat. Mind you, this is for perfect inductors only, which have no wire resistance.

An inductor's opposition to change in current translates to an opposition to alternating current in general,

which is by definition always changing in instantaneous magnitude and direction. This opposition to alternating
current is similar to resistance, but different in that it always results in a phase shift between current and
voltage, and it dissipates zero power. Because of the differences, it has a different name: reactance. Reactance
to AC is expressed in ohms, just like resistance is, except that its mathematical symbol is X instead of R. To be
specific, reactance associate with an inductor is usually symbolized by the capital letter X with a letter L as a
subscript, like this: XL.

Since inductors drop voltage in proportion to the rate of current change, they will drop more voltage for faster-
changing currents, and less voltage for slower-changing currents. What this means is that reactance in ohms
for any inductor is directly proportional to the frequency of the alternating current. The exact formula for
determining reactance is as follows:
If we expose a 10 mH inductor to frequencies of 60, 120, and 2500 Hz, it will manifest the following
reactances:

For a 10 mH inductor:
Frequency (Hertz) Reactance (Ohms)
----------------------------------------
| 60 | 3.7699 |
|--------------------------------------|
| 120 | 7.5398 |
|--------------------------------------|
| 2500 | 157.0796 |
----------------------------------------

In the reactance equation, the term "2πf" (everything on the right-hand side except the L) has a special
meaning unto itself. It is the number of radians per second that the alternating current is "rotating" at, if you
imagine one cycle of AC to represent a full circle's rotation. A radian is a unit of angular measurement: there
are 2π radians in one full circle, just as there are 360o in a full circle. If the alternator producing the AC is a
double-pole unit, it will produce one cycle for every full turn of shaft rotation, which is every 2π radians, or
360o. If this constant of 2π is multiplied by frequency in Hertz (cycles per second), the result will be a figure in
radians per second, known as the angular velocity of the AC system.

Angular velocity may be represented by the expression 2πf, or it may be represented by its own symbol, the
lower-case Greek letter Omega, which appears similar to our Roman lower-case "w": ω. Thus, the reactance
formula XL = 2πfL could also be written as XL = ωL.

It must be understood that this "angular velocity" is an expression of how rapidly the AC waveforms are
cycling, a full cycle being equal to 2π radians. It is not necessarily representative of the actual shaft speed of
the alternator producing the AC. If the alternator has more than two poles, the angular velocity will be a
multiple of the shaft speed. For this reason, ω is sometimes expressed in units of electrical radians per second
rather than (plain) radians per second, so as to distinguish it from mechanical motion.

Any way we express the angular velocity of the system, it is apparent that it is directly proportional to
reactance in an inductor. As the frequency (or alternator shaft speed) is increased in an AC system, an inductor
will offer greater opposition to the passage of current, and visa-versa. Alternating current in a simple inductive
circuit is equal to the voltage (in volts) divided by the inductive reactance (in ohms), just as either alternating
or direct current in a simple resistive circuit is equal to the voltage (in volts) divided by the resistance (in
ohms). An example circuit is shown here:
However, we need to keep in mind that voltage and current are not in phase here. As was shown earlier, the
voltage has a phase shift of +90o with respect to the current. If we represent these phase angles of voltage
and current mathematically in the form of complex numbers, we find that an inductor's opposition to current
has a phase angle, too:

Mathematically, we say that the phase angle of an inductor's opposition to current is 90o, meaning that an
inductor's opposition to current is a positive imaginary quantity. This phase angle of reactive opposition to
current becomes critically important in circuit analysis, especially for complex AC circuits where reactance and
resistance interact. It will prove beneficial to represent any component's opposition to current in terms of
complex numbers rather than scalar quantities of resistance and reactance.
 • REVIEW:
• Inductive reactance is the opposition that an inductor offers to alternating current due to its phase-
shifted storage and release of energy in its magnetic field. Reactance is symbolized by the capital
letter "X" and is measured in ohms just like resistance (R).
• Inductive reactance can be calculated using this formula: XL = 2πfL
• The angular velocity of an AC circuit is another way of expressing its frequency, in units of electrical
radians per second instead of cycles per second. It is symbolized by the lower-case Greek letter
"omega," or ω.
• Inductive reactance increases with increasing frequency. In other words, the higher the frequency, the
more it opposes the AC flow of electrons.

Series resistor-inductor circuits

In the previous section, we explored what would happen in simple resistor-only and inductor-only AC circuits.
Now we will mix the two components together in series form and investigate the effects.

Take this circuit as an example to work with:

The resistor will offer 5 Ω of resistance to AC current regardless of frequency, while the inductor will offer
3.7699 Ω of reactance to AC current at 60 Hz. Because the resistor's resistance is a real number (5 Ω 0o, or
5 + j0 Ω), and the inductor's reactance is an imaginary number (3.7699 Ω 90o, or 0 + j3.7699 Ω), the
combined effect of the two components will be an opposition to current equal to the complex sum of the two
numbers. This combined opposition will be a vector combination of resistance and reactance. In order to
express this opposition succinctly, we need a more comprehensive term for opposition to current than either
resistance or reactance alone. This term is called impedance, its symbol is Z, and it is also expressed in the
unit of ohms, just like resistance and reactance. In the above example, the total circuit impedance is:

Impedance is related to voltage and current just as you might expect, in a manner similar to resistance in
Ohm's Law:
In fact, this is a far more comprehensive form of Ohm's Law than what was taught in DC electronics (E=IR),
just as impedance is a far more comprehensive expression of opposition to the flow of electrons than
resistance is. Any resistance and any reactance, separately or in combination (series/parallel), can be and
should be represented as a single impedance in an AC circuit.

To calculate current in the above circuit, we first need to give a phase angle reference for the voltage source,
which is generally assumed to be zero. (The phase angles of resistive and inductive impedance are always 0o
and +90o, respectively, regardless of the given phase angles for voltage or current).

As with the purely inductive circuit, the current wave lags behind the voltage wave (of the source), although
this time the lag is not as great: only 37.016o as opposed to a full 90o as was the case in the purely inductive
circuit.

For the resistor and the inductor, the phase relationships between voltage and current haven't changed. Across
voltage across the resistor is in phase (0o shift) with the current through it; and the voltage across the inductor
is +90o out of phase with the current going through it. We can verify this mathematically:
The voltage across the resistor has the exact same phase angle as the current through it, telling us that E and
I are in phase (for the resistor only).

The voltage across the inductor has a phase angle of 52.984o, while the current through the inductor has a
phase angle of -37.016o, a difference of exactly 90o between the two. This tells us that E and I are still 90o out
of phase (for the inductor only).

We can also mathematically prove that these complex values add together to make the total voltage, just as
Kirchhoff's Voltage Law would predict:

Let's check the validity of our calculations with SPICE:

ac r-l circuit
v1 1 0 ac 10 sin
r1 1 2 5
l1 2 0 10m
.ac lin 1 60 60
.print ac v(1,2) v(2,0) i(v1)
.print ac vp(1,2) vp(2,0) ip(v1)
.end

freq v(1,2) v(2) i(v1)

6.000E+01 7.985E+00 6.020E+00 1.597E+00

freq vp(1,2) vp(2) ip(v1)

6.000E+01 -3.702E+01 5.298E+01 1.430E+02

Note that just as with DC circuits, SPICE outputs current figures as though they were negative (180o out of
phase) with the supply voltage. Instead of a phase angle of -37.016o, we get a current phase angle of 143o (-
37o + 180o). This is merely an idiosyncrasy of SPICE and does not represent anything significant in the circuit
simulation itself. Note how both the resistor and inductor voltage phase readings match our calculations (-
37.02o and 52.98o, respectively), just as we expected them to.

With all these figures to keep track of for even such a simple circuit as this, it would be beneficial for us to use
the "table" method. Applying a table to this simple series resistor-inductor circuit would proceed as such. First,
draw up a table for E/I/Z figures and insert all component values in these terms (in other words, don't insert
actual resistance or inductance values in Ohms and Henrys, respectively, into the table; rather, convert them
into complex figures of impedance and write those in):
Although it isn't necessary, I find it helpful to write both the rectangular and polar forms of each quantity in the
table. If you are using a calculator that has the ability to perform complex arithmetic without the need for
conversion between rectangular and polar forms, then this extra documentation is completely unnecessary.
However, if you are forced to perform complex arithmetic "longhand" (addition and subtraction in rectangular
form, and multiplication and division in polar form), writing each quantity in both forms will be useful indeed.

Now that our "given" figures are inserted into their respective locations in the table, we can proceed just as
with DC: determine the total impedance from the individual impedances. Since this is a series circuit, we know
that opposition to electron flow (resistance or impedance) adds to form the total opposition:

Now that we know total voltage and total impedance, we can apply Ohm's Law (I=E/Z) to determine total
current:
Just as with DC, the total current in a series AC circuit is shared equally by all components. This is still true
because in a series circuit there is only a single path for electrons to flow, therefore the rate of their flow must
uniform throughout. Consequently, we can transfer the figures for current into the columns for the resistor and
inductor alike:

Now all that's left to figure is the voltage drop across the resistor and inductor, respectively. This is done
through the use of Ohm's Law (E=IZ), applied vertically in each column of the table:

And with that, our table is complete. The exact same rules we applied in the analysis of DC circuits apply to AC
circuits as well, with the caveat that all quantities must be represented and calculated in complex rather than
scalar form. So long as phase shift is properly represented in our calculations, there is no fundamental
difference in how we approach basic AC circuit analysis versus DC.

Now is a good time to review the relationship between these calculated figures and readings given by actual
instrument measurements of voltage and current. The figures here that directly relate to real-life
measurements are those in polar notation, not rectangular! In other words, if you were to connect a voltmeter
across the resistor in this circuit, it would indicate 7.9847 volts, not 6.3756 (real rectangular) or 4.8071
(imaginary rectangular) volts. To describe this in graphical terms, measurement instruments simply tell you
how long the vector is for that particular quantity (voltage or current).

Rectangular notation, while convenient for arithmetical addition and subtraction, is a more abstract form of
notation than polar in relation to real-world measurements. As I stated before, I will indicate both polar and
rectangular forms of each quantity in my AC circuit tables simply for convenience of mathematical calculation.
This is not absolutely necessary, but may be helpful for those following along without the benefit of an
advanced calculator. If we were restrict ourselves to the use of only one form of notation, the best choice
would be polar, because it is the only one that can be directly correlated to real measurements.
 • REVIEW:
• Impedance is the total measure of opposition to electric current and is the complex (vector) sum of
("real") resistance and ("imaginary") reactance. It is symbolized by the letter "Z" and measured in
ohms, just like resistance (R) and reactance (X).
• Impedances (Z) are managed just like resistances (R) in series circuit analysis: series impedances add
to form the total impedance. Just be sure to perform all calculations in complex (not scalar) form!
ZTotal = Z1 + Z2 + . . . Zn
• A purely resistive impedance will always have a phase angle of exactly 0o (ZR = R Ω 0o).
• A purely inductive impedance will always have a phase angle of exactly +90o (ZL = XL Ω 90o).
• Ohm's Law for AC circuits: E = IZ ; I = E/Z ; Z = E/I
• When resistors and inductors are mixed together in circuits, the total impedance will have a phase
angle somewhere between 0o and +90o. The circuit current will have a phase angle somewhere
between 0o and -90o.
• Series AC circuits exhibit the same fundamental properties as series DC circuits: current is uniform
throughout the circuit, voltage drops add to form the total voltage, and impedances add to form the
total impedance.

Parallel resistor-inductor circuits

Let's take the same components for our series example circuit and connect them in parallel:

Because the power source has the same frequency as the series example circuit, and the resistor and inductor
both have the same values of resistance and inductance, respectively, they must also have the same values of
impedance. So, we can begin our analysis table with the same "given" values:

The only difference in our analysis technique this time is that we will apply the rules of parallel circuits instead
of the rules for series circuits. The approach is fundamentally the same as for DC. We know that voltage is
shared uniformly by all components in a parallel circuit, so we can transfer the figure of total voltage (10 volts
0o) to all components columns:
Now we can apply Ohm's Law (I=E/Z) vertically to two columns of the table, calculating current through the
resistor and current through the inductor:

Just as with DC circuits, branch currents in a parallel AC circuit add to form the total current (Kirchhoff's
Current Law still holds true for AC as it did for DC):
Finally, total impedance can be calculated by using Ohm's Law (Z=E/I) vertically in the "Total" column.
Incidentally, parallel impedance can also be calculated by using a reciprocal formula identical to that used in
calculating parallel resistances.

The only problem with using this formula is that it typically involves a lot of calculator keystrokes to carry out.
And if you're determined to run through a formula like this "longhand," be prepared for a very large amount of
work! But, just as with DC circuits, we often have multiple options in calculating the quantities in our analysis
tables, and this example is no different. No matter which way you calculate total impedance (Ohm's Law or the
reciprocal formula), you will arrive at the same figure:

• REVIEW:
• Impedances (Z) are managed just like resistances (R) in parallel circuit analysis: parallel impedances
diminish to form the total impedance, using the reciprocal formula. Just be sure to perform all
calculations in complex (not scalar) form! ZTotal = 1/(1/Z1 + 1/Z2 + . . . 1/Zn)
• Ohm's Law for AC circuits: E = IZ ; I = E/Z ; Z = E/I
• When resistors and inductors are mixed together in parallel circuits (just as in series circuits), the
total impedance will have a phase angle somewhere between 0o and +90o. The circuit current will
have a phase angle somewhere between 0o and -90o.
• Parallel AC circuits exhibit the same fundamental properties as parallel DC circuits: voltage is uniform
throughout the circuit, branch currents add to form the total current, and impedances diminish
(through the reciprocal formula) to form the total impedance.

Inductor quirks

In an ideal case, an inductor acts as a purely reactive device. That is, its opposition to AC current is strictly
based on inductive reaction to changes in current, and not electron friction as is the case with resistive
components. However, inductors are not quite so pure in their reactive behavior. To begin with, they're made
of wire, and we know that all wire possesses some measurable amount of resistance (unless it's
superconducting wire). This built-in resistance acts as though it were connected in series with the perfect
inductance of the coil, like this:
Consequently, the impedance of any real inductor will always be a complex combination of resistance and
inductive reactance.

Compounding this problem is something called the skin effect, which is AC's tendency to flow through the outer
areas of a conductor's cross-section rather than through the middle. When electrons flow in a single direction
(DC), they use the entire cross-sectional area of the conductor to move. Electrons switching directions of flow,
on the other hand, tend to avoid travel through the very middle of a conductor, limiting the effective cross-
sectional area available. The skin effect becomes more pronounced as frequency increases.

Also, the alternating magnetic field of an inductor energized with AC may radiate off into space as part of an
electromagnetic wave, especially if the AC is of high frequency. This radiated energy does not return to the
inductor, and so it manifests itself as resistance (power dissipation) in the circuit.

Added to the resistive losses of wire and radiation, there are other effects at work in iron-core inductors which
manifest themselves as additional resistance between the leads. When an inductor is energized with AC, the
alternating magnetic fields produced tend to induce circulating currents within the iron core known as eddy
currents. These electric currents in the iron core have to overcome the electrical resistance offered by the iron,
which is not as good a conductor as copper. Eddy current losses are primarily counteracted by dividing the iron
core up into many thin sheets (laminations), each one separated from the other by a thin layer of electrically
insulating varnish. With the cross-section of the core divided up into many electrically isolated sections, current
cannot circulate within that cross-sectional area and there will be no (or very little) resistive losses from that
effect.

As you might have expected, eddy current losses in metallic inductor cores manifest themselves in the form of
heat. The effect is more pronounced at higher frequencies, and can be so extreme that it is sometimes
exploited in manufacturing processes to heat metal objects! In fact, this process of "inductive heating" is often
used in high-purity metal foundry operations, where metallic elements and alloys must be heated in a vacuum
environment to avoid contamination by air, and thus where standard combustion heating technology would be
useless. It is a "non-contact" technology, the heated substance not having to touch the coil(s) producing the
magnetic field.

In high-frequency service, eddy currents can even develop within the cross-section of the wire itself,
contributing to additional resistive effects. To counteract this tendency, special wire made of very fine,
individually insulated strands called Litz wire (short for Litzendraht) can be used. The insulation separating
strands from each other prevent eddy currents from circulating through the whole wire's cross-sectional area.

Additionally, any magnetic hysteresis that needs to be overcome with every reversal of the inductor's magnetic
field constitutes an expenditure of energy that manifests itself as resistance in the circuit. Some core materials
(such as ferrite) are particularly notorious for their hysteretic effect. Counteracting this effect is best done by
means of proper core material selection and limits on the peak magnetic field intensity generated with each
cycle.

Altogether, the stray resistive properties of a real inductor (wire resistance, radiation losses, eddy currents,
and hysteresis losses) are expressed under the single term of "effective resistance:"
It is worthy to note that the skin effect and radiation losses apply just as well to straight lengths of wire in an
AC circuit as they do a coiled wire. Usually their combined effect is too small to notice, but at radio frequencies
they can be quite large. A radio transmitter antenna, for example, is designed with the express purpose of
dissipating the greatest amount of energy in the form of electromagnetic radiation.

Effective resistance in an inductor can be a serious consideration for the AC circuit designer. To help quantify
the relative amount of effective resistance in an inductor, another value exists called the Q factor, or "quality
factor" which is calculated as follows:

The symbol "Q" has nothing to do with electric charge (coulombs), which tends to be confusing. For some
reason, the Powers That Be decided to use the same letter of the alphabet to denote a totally different
quantity.

The higher the value for "Q," the "purer" the inductor is. Because it's so easy to add additional resistance if
needed, a high-Q inductor is better than a low-Q inductor for design purposes. An ideal inductor would have a
Q of infinity, with zero effective resistance.

Because inductive reactance (X) varies with frequency, so will Q. However, since the resistive effects of
inductors (wire skin effect, radiation losses, eddy current, and hysteresis) also vary with frequency, Q does not
vary proportionally with reactance. In order for a Q value to have precise meaning, it must be specified at a
particular test frequency.

Stray resistance isn't the only inductor quirk we need to be aware of. Due to the fact that the multiple turns of
wire comprising inductors are separated from each other by an insulating gap (air, varnish, or some other kind
of electrical insulation), we have the potential for capacitance to develop between turns. AC capacitance will be
explored in the next chapter, but it suffices to say at this point that it behaves very differently from AC
inductance, and therefore further "taints" the reactive purity of real inductors.

More on the "skin effect"

As previously mentioned, the skin effect is where alternating current tends to avoid travel through the center
of a solid conductor, limiting itself to conduction near the surface. This effectively limits the cross-sectional
conductor area available to carry alternating electron flow, increasing the resistance of that conductor above
what it would normally be for direct current:
The electrical resistance of the conductor with all its cross-sectional area in use is known as the "DC
resistance," the "AC resistance" of the same conductor referring to a higher figure resulting from the skin
effect. As you can see, at high frequencies the AC current avoids travel through most of the conductor's cross-
sectional area. For the purpose of conducting current, the wire might as well be hollow!

In some radio applications (antennas, most notably) this effect is exploited. Since radio-frequency ("RF") AC
currents wouldn't travel through the middle of a conductor anyway, why not just use hollow metal rods instead
of solid metal wires and save both weight and cost? Most antenna structures and RF power conductors are
made of hollow metal tubes for this reason.

In the following photograph you can see some large inductors used in a 50 kW radio transmitting circuit. The
inductors are hollow copper tubes coated with silver, for excellent conductivity at the "skin" of the tube:
The degree to which frequency affects the effective resistance of a solid wire conductor is impacted by the
gauge of that wire. As a rule, large-gauge wires exhibit a more pronounced skin effect (change in resistance
from DC) than small-gauge wires at any given frequency. The equation for approximating skin effect at high
frequencies (greater than 1 MHz) is as follows:
The following table gives approximate values of "k" factor for various round wire sizes:

Gage size k factor

======================
4/0 ---------- 124.5
2/0 ---------- 99.0
1/0 ---------- 88.0
2 ------------ 69.8
4 ------------ 55.5
6 ------------ 47.9
8 ------------ 34.8
10 ----------- 27.6
14 ----------- 17.6
18 ----------- 10.9
22 ----------- 6.86

For example, a length of number 10-gauge wire with a DC end-to-end resistance of 25 Ω would have an AC
(effective) resistance of 2.182 kΩ at a frequency of 10 MHz:

Please remember that this figure is not impedance, and it does not consider any reactive effects, inductive or
capacitive. This is simply an estimated figure of pure resistance for the conductor (that opposition to the AC
flow of electrons which does dissipate power in the form of heat), corrected for skin effect. Reactance, and the
combined effects of reactance and resistance (impedance), are entirely different matters.
 Chapter 4: REACTANCE AND IMPEDANCE -- CAPACITIVE
AC resistor circuits

If we were to plot the current and voltage for a very simple AC circuit consisting of a source and a resistor, it
would look something like this:

Because the resistor allows an amount of current directly proportional to the voltage across it at all periods of
time, the waveform for the current is exactly in phase with the waveform for the voltage. We can look at any
point in time along the horizontal axis of the plot and compare those values of current and voltage with each
other (any "snapshot" look at the values of a wave are referred to as instantaneous values, meaning the values
at that instant in time). When the instantaneous value for voltage is zero, the instantaneous current through
the resistor is also zero. Likewise, at the moment in time where the voltage across the resistor is at its positive
peak, the current through the resistor is also at its positive peak, and so on. At any given point in time along
the waves, Ohm's Law holds true for the instantaneous values of voltage and current.

We can also calculate the power dissipated by this resistor, and plot those values on the same graph:

Note that the power is never a negative value. When the current is positive (above the line), the voltage is also
positive, resulting in a power (p=ie) of a positive value. Conversely, when the current is negative (below the
line), the voltage is also negative, which results in a positive value for power (a negative number multiplied by
a negative number equals a positive number). This consistent "polarity" of power tells us that the resistor is
always dissipating power, taking it from the source and releasing it in the form of heat energy. Whether the
current is positive or negative, a resistor still dissipates energy.
AC capacitor circuits

Capacitors do not behave the same as resistors. Whereas resistors allow a flow of electrons through them
directly proportional to the voltage drop, capacitors oppose changes in voltage by drawing or supplying current
as they charge or discharge to the new voltage level. The flow of electrons "through" a capacitor is directly
proportional to the rate of change of voltage across the capacitor. This opposition to voltage change is another
form of reactance, but one that is precisely opposite to the kind exhibited by inductors.

Expressed mathematically, the relationship between the current "through" the capacitor and rate of voltage
change across the capacitor is as such:

The expression de/dt is one from calculus, meaning the rate of change of instantaneous voltage (e) over time,
in volts per second. The capacitance (C) is in Farads, and the instantaneous current (i), of course, is in amps.
Sometimes you will find the rate of instantaneous voltage change over time expressed as dv/dt instead of
de/dt: using the lower-case letter "v" instead or "e" to represent voltage, but it means the exact same thing.
To show what happens with alternating current, let's analyze a simple capacitor circuit:

If we were to plot the current and voltage for this very simple circuit, it would look something like this:

Remember, the current through a capacitor is a reaction against the change in voltage across it. Therefore, the
instantaneous current is zero whenever the instantaneous voltage is at a peak (zero change, or level slope, on
the voltage sine wave), and the instantaneous current is at a peak wherever the instantaneous voltage is at
maximum change (the points of steepest slope on the voltage wave, where it crosses the zero line). This
results in a voltage wave that is -90o out of phase with the current wave. Looking at the graph, the current
wave seems to have a "head start" on the voltage wave; the current "leads" the voltage, and the voltage "lags"
behind the current.
As you might have guessed, the same unusual power wave that we saw with the simple inductor circuit is
present in the simple capacitor circuit, too:

As with the simple inductor circuit, the 90 degree phase shift between voltage and current results in a power
wave that alternates equally between positive and negative. This means that a capacitor does not dissipate
power as it reacts against changes in voltage; it merely absorbs and releases power, alternately.

A capacitor's opposition to change in voltage translates to an opposition to alternating voltage in general,

which is by definition always changing in instantaneous magnitude and direction. For any given magnitude of
AC voltage at a given frequency, a capacitor of given size will "conduct" a certain magnitude of AC current. Just
as the current through a resistor is a function of the voltage across the resistor and the resistance offered by
the resistor, the AC current through a capacitor is a function of the AC voltage across it, and the reactance
offered by the capacitor. As with inductors, the reactance of a capacitor is expressed in ohms and symbolized
by the letter X (or XC to be more specific).

Since capacitors "conduct" current in proportion to the rate of voltage change, they will pass more current for
faster-changing voltages (as they charge and discharge to the same voltage peaks in less time), and less
current for slower-changing voltages. What this means is that reactance in ohms for any capacitor is inversely
proportional to the frequency of the alternating current:
For a 100 uF capacitor:
Frequency (Hertz) Reactance (Ohms)
----------------------------------------
| 60 | 26.5258 |
|--------------------------------------|
| 120 | 13.2629 |
|--------------------------------------|
| 2500 | 0.6366 |
----------------------------------------

Please note that the relationship of capacitive reactance to frequency is exactly opposite from that of inductive
reactance. Capacitive reactance (in ohms) decreases with increasing AC frequency. Conversely, inductive
reactance (in ohms) increases with increasing AC frequency. Inductors oppose faster changing currents by
producing greater voltage drops; capacitors oppose faster changing voltage drops by allowing greater currents.

As with inductors, the reactance equation's 2πf term may be replaced by the lower-case Greek letter Omega
(ω), which is referred to as the angular velocity of the AC circuit. Thus, the equation XC = 1/(2πfC) could also
be written as XC = 1/(ωC), with ω cast in units of radians per second.

Alternating current in a simple capacitive circuit is equal to the voltage (in volts) divided by the capacitive
reactance (in ohms), just as either alternating or direct current in a simple resistive circuit is equal to the
voltage (in volts) divided by the resistance (in ohms). The following circuit illustrates this mathematical
relationship by example:

However, we need to keep in mind that voltage and current are not in phase here. As was shown earlier, the
current has a phase shift of +90o with respect to the voltage. If we represent these phase angles of voltage
and current mathematically, we can calculate the phase angle of the inductor's reactive opposition to current.
Mathematically, we say that the phase angle of a capacitor's opposition to current is -90o, meaning that a
capacitor's opposition to current is a negative imaginary quantity. This phase angle of reactive opposition to
current becomes critically important in circuit analysis, especially for complex AC circuits where reactance and
resistance interact. It will prove beneficial to represent any component's opposition to current in terms of
complex numbers, and not just scalar quantities of resistance and reactance.

• REVIEW:
• Capacitive reactance is the opposition that a capacitor offers to alternating current due to its phase-
shifted storage and release of energy in its electric field. Reactance is symbolized by the capital letter
"X" and is measured in ohms just like resistance (R).
• Capacitive reactance can be calculated using this formula: XC = 1/(2πfC)
• Capacitive reactance decreases with increasing frequency. In other words, the higher the frequency,
the less it opposes (the more it "conducts") the AC flow of electrons.

Series resistor-capacitor circuits

In the last section, we learned what would happen in simple resistor-only and capacitor-only AC circuits. Now
we will combine the two components together in series form and investigate the effects.

Take this circuit as an example to analyze:

The resistor will offer 5 Ω of resistance to AC current regardless of frequency, while the capacitor will offer
26.5258 Ω of reactance to AC current at 60 Hz. Because the resistor's resistance is a real number (5 Ω 0o, or
o
5 + j0 Ω), and the capacitor's reactance is an imaginary number (26.5258 Ω -90 , or 0 - j26.5258 Ω), the
combined effect of the two components will be an opposition to current equal to the complex sum of the two
numbers. The term for this complex opposition to current is impedance, its symbol is Z, and it is also
expressed in the unit of ohms, just like resistance and reactance. In the above example, the total circuit
impedance is:

Impedance is related to voltage and current just as you might expect, in a manner similar to resistance in
Ohm's Law:

In fact, this is a far more comprehensive form of Ohm's Law than what was taught in DC electronics (E=IR),
just as impedance is a far more comprehensive expression of opposition to the flow of electrons than simple
resistance is. Any resistance and any reactance, separately or in combination (series/parallel), can be and
should be represented as a single impedance.

To calculate current in the above circuit, we first need to give a phase angle reference for the voltage source,
which is generally assumed to be zero. (The phase angles of resistive and capacitive impedance are always 0o
and -90o, respectively, regardless of the given phase angles for voltage or current).
As with the purely capacitive circuit, the current wave is leading the voltage wave (of the source), although this
time the difference is 79.325o instead of a full 90o.

As we learned in the AC inductance chapter, the "table" method of organizing circuit quantities is a very useful
tool for AC analysis just as it is for DC analysis. Let's place out known figures for this series circuit into a table
and continue the analysis using this tool:

Current in a series circuit is shared equally by all components, so the figures placed in the "Total" column for
current can be distributed to all other columns as well:
Continuing with our analysis, we can apply Ohm's Law (E=IR) vertically to determine voltage across the
resistor and capacitor:

Notice how the voltage across the resistor has the exact same phase angle as the current through it, telling us
that E and I are in phase (for the resistor only). The voltage across the capacitor has a phase angle of -
10.675o, exactly 90o less than the phase angle of the circuit current. This tells us that the capacitor's voltage
and current are still 90o out of phase with each other.

Let's check our calculations with SPICE:

ac r-c circuit
v1 1 0 ac 10 sin
r1 1 2 5
c1 2 0 100u
.ac lin 1 60 60
.print ac v(1,2) v(2,0) i(v1)
.print ac vp(1,2) vp(2,0) ip(v1)
.end

freq v(1,2) v(2) i(v1)

6.000E+01 1.852E+00 9.827E+00 3.705E-01

freq vp(1,2) vp(2) ip(v1)

6.000E+01 7.933E+01 -1.067E+01 -1.007E+02

Once again, SPICE confusingly prints the current phase angle at a value equal to the real phase angle plus 180o
(or minus 180o). However, it's a simple matter to correct this figure and check to see if our work is correct. In
this case, the -100.7o output by SPICE for current phase angle equates to a positive 79.3o, which does
correspond to our previously calculated figure of 79.325o.

Again, it must be emphasized that the calculated figures corresponding to real-life voltage and current
measurements are those in polar form, not rectangular form! For example, if we were to actually build this
series resistor-capacitor circuit and measure voltage across the resistor, our voltmeter would indicate 1.8523
volts, not 343.11 millivolts (real rectangular) or 1.8203 volts (imaginary rectangular). Real instruments
connected to real circuits provide indications corresponding to the vector length (magnitude) of the calculated
figures. While the rectangular form of complex number notation is useful for performing addition and
subtraction, it is a more abstract form of notation than polar, which alone has direct correspondence to true
measurements.

• REVIEW:
• Impedance is the total measure of opposition to electric current and is the complex (vector) sum of
("real") resistance and ("imaginary") reactance.
• Impedances (Z) are managed just like resistances (R) in series circuit analysis: series impedances add
to form the total impedance. Just be sure to perform all calculations in complex (not scalar) form!
ZTotal = Z1 + Z2 + . . . Zn
• Please note that impedances always add in series, regardless of what type of components comprise
the impedances. That is, resistive impedance, inductive impedance, and capacitive impedance are to
be treated the same way mathematically.
• A purely resistive impedance will always have a phase angle of exactly 0o (ZR = R Ω 0o).
• o
A purely capacitive impedance will always have a phase angle of exactly -90 (ZC = XC Ω -90o).
• Ohm's Law for AC circuits: E = IZ ; I = E/Z ; Z = E/I
• When resistors and capacitors are mixed together in circuits, the total impedance will have a phase
angle somewhere between 0o and -90o.
• Series AC circuits exhibit the same fundamental properties as series DC circuits: current is uniform
throughout the circuit, voltage drops add to form the total voltage, and impedances add to form the
total impedance.

Parallel resistor-capacitor circuits

Using the same value components in our series example circuit, we will connect them in parallel and see what
happens:

Because the power source has the same frequency as the series example circuit, and the resistor and capacitor
both have the same values of resistance and capacitance, respectively, they must also have the same values of
impedance. So, we can begin our analysis table with the same "given" values:

This being a parallel circuit now, we know that voltage is shared equally by all components, so we can place
the figure for total voltage (10 volts 0o) in all the columns:

Now we can apply Ohm's Law (I=E/Z) vertically to two columns in the table, calculating current through the
resistor and current through the capacitor:
Just as with DC circuits, branch currents in a parallel AC circuit add up to form the total current (Kirchhoff's
Current Law again):

Finally, total impedance can be calculated by using Ohm's Law (Z=E/I) vertically in the "Total" column. As we
saw in the AC inductance chapter, parallel impedance can also be calculated by using a reciprocal formula
identical to that used in calculating parallel resistances. It is noteworthy to mention that this parallel
impedance rule holds true regardless of the kind of impedances placed in parallel. In other words, it doesn't
matter if we're calculating a circuit composed of parallel resistors, parallel inductors, parallel capacitors, or
some combination thereof: in the form of impedances (Z), all the terms are common and can be applied
uniformly to the same formula. Once again, the parallel impedance formula looks like this:

The only drawback to using this equation is the significant amount of work required to work it out, especially
without the assistance of a calculator capable of manipulating complex quantities. Regardless of how we
calculate total impedance for our parallel circuit (either Ohm's Law or the reciprocal formula), we will arrive at
the same figure:
 • REVIEW:
• Impedances (Z) are managed just like resistances (R) in parallel circuit analysis: parallel impedances
diminish to form the total impedance, using the reciprocal formula. Just be sure to perform all
calculations in complex (not scalar) form! ZTotal = 1/(1/Z1 + 1/Z2 + . . . 1/Zn)
• Ohm's Law for AC circuits: E = IZ ; I = E/Z ; Z = E/I
• When resistors and capacitors are mixed together in parallel circuits (just as in series circuits), the
total impedance will have a phase angle somewhere between 0o and -90o. The circuit current will have
a phase angle somewhere between 0o and +90o.
• Parallel AC circuits exhibit the same fundamental properties as parallel DC circuits: voltage is uniform
throughout the circuit, branch currents add to form the total current, and impedances diminish
(through the reciprocal formula) to form the total impedance.

Capacitor quirks

As with inductors, the ideal capacitor is a purely reactive device, containing absolutely zero resistive (power
dissipative) effects. In the real world, of course, nothing is so perfect. However, capacitors have the virtue of
generally being purer reactive components than inductors. It is a lot easier to design and construct a capacitor
with low internal series resistance than it is to do the same with an inductor. The practical result of this is that
real capacitors typically have impedance phase angles more closely approaching 90o (actually, -90o) than
inductors. Consequently, they will tend to dissipate less power than an equivalent inductor.

Capacitors also tend to be smaller and lighter weight than their equivalent inductor counterparts, and since
their electric fields are almost totally contained between their plates (unlike inductors, whose magnetic fields
naturally tend to extend beyond the dimensions of the core), they are less prone to transmitting or receiving
electromagnetic "noise" to/from other components. For these reasons, circuit designers tend to favor
capacitors over inductors wherever a design permits either alternative.

Capacitors with significant resistive effects are said to be lossy, in reference to their tendency to dissipate
("lose") power like a resistor. The source of capacitor loss is usually the dielectric material rather than any wire
resistance, as wire length in a capacitor is very minimal.

Dielectric materials tend to react to changing electric fields by producing heat. This heating effect represents a
loss in power, and is equivalent to resistance in the circuit. The effect is more pronounced at higher frequencies
and in fact can be so extreme that it is sometimes exploited in manufacturing processes to heat insulating
materials like plastic! The plastic object to be heated is placed between two metal plates, connected to a
source of high-frequency AC voltage. Temperature is controlled by varying the voltage or frequency of the
source, and the plates never have to contact the object being heated.

This effect is undesirable for capacitors where we expect the component to behave as a purely reactive circuit
element. One of the ways to mitigate the effect of dielectric "loss" is to choose a dielectric material less
susceptible to the effect. Not all dielectric materials are equally "lossy." A relative scale of dielectric loss from
least to greatest is given here:

Vacuum --------------- (Low Loss)

Air
Polystyrene
Mica
Glass
Low-K ceramic
Plastic film (Mylar)
Paper
High-K ceramic
Aluminum oxide
Tantalum pentoxide --- (High Loss)

Dielectric resistivity manifests itself both as a series and a parallel resistance with the pure capacitance:

Fortunately, these stray resistances are usually of modest impact (low series resistance and high parallel
resistance), much less significant than the stray resistances present in an average inductor.

Electrolytic capacitors, known for their relatively high capacitance and low working voltage, are also known for
their notorious lossiness, due to both the characteristics of the microscopically thin dielectric film and the
electrolyte paste. Unless specially made for AC service, electrolytic capacitors should never be used with AC
unless it is mixed (biased) with a constant DC voltage preventing the capacitor from ever being subjected to
reverse voltage. Even then, their resistive characteristics may be too severe a shortcoming for the application
anyway.
Chapter 5: REACTANCE AND IMPEDANCE -- R, L, AND C

Review of R, X, and Z

Before we begin to explore the effects of resistors, inductors, and capacitors connected together in the same
AC circuits, let's briefly review some basic terms and facts.

Resistance is essentially friction against the motion of electrons. It is present in all conductors to some extent
(except superconductors!), most notably in resistors. When alternating current goes through a resistance, a
voltage drop is produced that is in-phase with the current. Resistance is mathematically symbolized by the
letter "R" and is measured in the unit of ohms (Ω).

Reactance is essentially inertia against the motion of electrons. It is present anywhere electric or magnetic
fields are developed in proportion to applied voltage or current, respectively; but most notably in capacitors
and inductors. When alternating current goes through a pure reactance, a voltage drop is produced that is 90o
out of phase with the current. Reactance is mathematically symbolized by the letter "X" and is measured in the
unit of ohms (Ω).

Impedance is a comprehensive expression of any and all forms of opposition to electron flow, including both
resistance and reactance. It is present in all circuits, and in all components. When alternating current goes
through an impedance, a voltage drop is produced that is somewhere between 0o and 90o out of phase with the
current. Impedance is mathematically symbolized by the letter "Z" and is measured in the unit of ohms (Ω), in
complex form.

Perfect resistors possess resistance, but not reactance. Perfect inductors and perfect capacitors possess
reactance but no resistance. All components possess impedance, and because of this universal quality, it
makes sense to translate all component values (resistance, inductance, capacitance) into common terms of
impedance as the first step in analyzing an AC circuit.

The impedance phase angle for any component is the phase shift between voltage across that component and
current through that component. For a perfect resistor, the voltage drop and current are always in phase with
each other, and so the impedance angle of a resistor is said to be 0o. For an perfect inductor, voltage drop
always leads current by 90o, and so an inductor's impedance phase angle is said to be +90o. For a perfect
capacitor, voltage drop always lags current by 90o, and so a capacitor's impedance phase angle is said to be -
90o.

Impedances in AC behave analogously to resistances in DC circuits: they add in series, and they diminish in
parallel. A revised version of Ohm's Law, based on impedance rather than resistance, looks like this:

Kirchhoff's Laws and all network analysis methods and theorems are true for AC circuits as well, so long as
quantities are represented in complex rather than scalar form. While this qualified equivalence may be
arithmetically challenging, it is conceptually simple and elegant. The only real difference between DC and AC
circuit calculations is in regard to power. Because reactance doesn't dissipate power as resistance does, the
concept of power in AC circuits is radically different from that of DC circuits. More on this subject in a later
chapter!

Series R, L, and C

Let's take the following example circuit and analyze it:

The first step is to determine the reactances (in ohms) for the inductor and the capacitor.
The next step is to express all resistances and reactances in a mathematically common form: impedance.
Remember that an inductive reactance translates into a positive imaginary impedance (or an impedance at
+90o), while a capacitive reactance translates into a negative imaginary impedance (impedance at -90o).
Resistance, of course, is still regarded as a purely "real" impedance (polar angle of 0o):

Now, with all quantities of opposition to electric current expressed in a common, complex number format (as
impedances, and not as resistances or reactances), they can be handled in the same way as plain resistances
in a DC circuit. This is an ideal time to draw up an analysis table for this circuit and insert all the "given" figures
(total voltage, and the impedances of the resistor, inductor, and capacitor).
Unless otherwise specified, the source voltage will be our reference for phase shift, and so will be written at an
angle of 0o. Remember that there is no such thing as an "absolute" angle of phase shift for a voltage or
current, since it's always a quantity relative to another waveform. Phase angles for impedance, however (like
those of the resistor, inductor, and capacitor), are known absolutely, because the phase relationships between
voltage and current at each component are absolutely defined.

Notice that I'm assuming a perfectly reactive inductor and capacitor, with impedance phase angles of exactly
+90 and -90o, respectively. Although real components won't be perfect in this regard, they should be fairly
close. For simplicity, I'll assume perfectly reactive inductors and capacitors from now on in my example
calculations except where noted otherwise.

Since the above example circuit is a series circuit, we know that the total circuit impedance is equal to the sum
of the individuals, so:

Inserting this figure for total impedance into our table:

We can now apply Ohm's Law (I=E/R) vertically in the "Total" column to find total current for this series
circuit:
Being a series circuit, current must be equal through all components. Thus, we can take the figure obtained for
total current and distribute it to each of the other columns:

Now we're prepared to apply Ohm's Law (E=IZ) to each of the individual component columns in the table, to
determine voltage drops:

Notice something strange here: although our supply voltage is only 120 volts, the voltage across the capacitor
is 137.46 volts! How can this be? The answer lies in the interaction between the inductive and capacitive
reactances. Expressed as impedances, we can see that the inductor opposes current in a manner precisely
opposite that of the capacitor. Expressed in rectangular form, the inductor's impedance has a positive
imaginary term and the capacitor has a negative imaginary term. When these two contrary impedances are
added (in series), they tend to cancel each other out! Although they're still added together to produce a sum,
that sum is actually less than either of the individual (capacitive or inductive) impedances alone. It is
analogous to adding together a positive and a negative (scalar) number: the sum is a quantity less than either
one's individual absolute value.
If the total impedance in a series circuit with both inductive and capacitive elements is less than the impedance
of either element separately, then the total current in that circuit must be greater than what it would be with
only the inductive or only the capacitive elements there. With this abnormally high current through each of the
components, voltages greater than the source voltage may be obtained across some of the individual
components! Further consequences of inductors' and capacitors' opposite reactances in the same circuit will be
explored in the next chapter.

Once you've mastered the technique of reducing all component values to impedances (Z), analyzing any AC
circuit is only about as difficult as analyzing any DC circuit, except that the quantities dealt with are vector
instead of scalar. With the exception of equations dealing with power (P), equations in AC circuits are the same
as those in DC circuits, using impedances (Z) instead of resistances (R). Ohm's Law (E=IZ) still holds true, and
so do Kirchhoff's Voltage and Current Laws.

To demonstrate Kirchhoff's Voltage Law in an AC circuit, we can look at the answers we derived for component
voltage drops in the last circuit. KVL tells us that the algebraic sum of the voltage drops across the resistor,
inductor, and capacitor should equal the applied voltage from the source. Even though this may not look like it
is true at first sight, a bit of complex number addition proves otherwise:

Aside from a bit of rounding error, the sum of these voltage drops does equal 120 volts. Performed on a
calculator (preserving all digits), the answer you will receive should be exactly 120 + j0 volts.

We can also use SPICE to verify our figures for this circuit:

ac r-l-c circuit
v1 1 0 ac 120 sin
r1 1 2 250
l1 2 3 650m
c1 3 0 1.5u
.ac lin 1 60 60
.print ac v(1,2) v(2,3) v(3,0) i(v1)
.print ac vp(1,2) vp(2,3) vp(3,0) ip(v1)
.end
freq v(1,2) v(2,3) v(3) i(v1)
6.000E+01 1.943E+01 1.905E+01 1.375E+02 7.773E-02

freq vp(1,2) vp(2,3) vp(3) ip(v1)

6.000E+01 8.068E+01 1.707E+02 -9.320E+00 -9.932E+01

The SPICE simulation shows our hand-calculated results to be accurate.

As you can see, there is little difference between AC circuit analysis and DC circuit analysis, except that all
quantities of voltage, current, and resistance (actually, impedance) must be handled in complex rather than
scalar form so as to account for phase angle. This is good, since it means all you've learned about DC electric
circuits applies to what you're learning here. The only exception to this consistency is the calculation of power,
which is so unique that it deserves a chapter devoted to that subject alone.

• REVIEW:
• Impedances of any kind add in series: ZTotal = Z1 + Z2 + . . . Zn
• Although impedances add in series, the total impedance for a circuit containing both inductance and
capacitance may be less than one or more of the individual impedances, because series inductive and
capacitive impedances tend to cancel each other out. This may lead to voltage drops across
components exceeding the supply voltage!
• All rules and laws of DC circuits apply to AC circuits, so long as values are expressed in complex form
rather than scalar. The only exception to this principle is the calculation of power, which is very
different for AC.

Parallel R, L, and C

We can take the same components from the series circuit and rearrange them into a parallel configuration for
an easy example circuit:

The fact that these components are connected in parallel instead of series now has absolutely no effect on their
individual impedances. So long as the power supply is the same frequency as before, the inductive and
capacitive reactances will not have changed at all:
With all component values expressed as impedances (Z), we can set up an analysis table and proceed as in the
last example problem, except this time following the rules of parallel circuits instead of series:

Knowing that voltage is shared equally by all components in a parallel circuit, we can transfer the figure for
total voltage to all component columns in the table:

Now, we can apply Ohm's Law (I=E/Z) vertically in each column to determine current through each
component:
There are two strategies for calculating total current and total impedance. First, we could calculate total
impedance from all the individual impedances in parallel (ZTotal = 1/(1/ZR + 1/ZL + 1/ZC), and then calculate
total current by dividing source voltage by total impedance (I=E/Z). However, working through the parallel
impedance equation with complex numbers is no easy task, with all the reciprocations (1/Z). This is especially
true if you're unfortunate enough not to have a calculator that handles complex numbers and are forced to do
it all by hand (reciprocate the individual impedances in polar form, then convert them all to rectangular form
for addition, then convert back to polar form for the final inversion, then invert). The second way to calculate
total current and total impedance is to add up all the branch currents to arrive at total current (total current in
a parallel circuit -- AC or DC -- is equal to the sum of the branch currents), then use Ohm's Law to determine
total impedance from total voltage and total current (Z=E/I).

Either method, performed properly, will provide the correct answers. Let's try analyzing this circuit with SPICE
and see what happens:

ac r-l-c circuit
v1 1 0 ac 120 sin
vi 1 2 ac 0
vir 2 3 ac 0
vil 2 4 ac 0
rbogus 4 5 1e-12
vic 2 6 ac 0
r1 3 0 250
l1 5 0 650m
c1 6 0 1.5u
.ac lin 1 60 60
.print ac i(vi) i(vir) i(vil) i(vic)
.print ac ip(vi) ip(vir) ip(vil) ip(vic)
.end

freq i(vi) i(vir) i(vil) i(vic)

6.000E+01 6.390E-01 4.800E-01 4.897E-01 6.786E-02

freq ip(vi) ip(vir) ip(vil) ip(vic)

6.000E+01 -4.131E+01 0.000E+00 -9.000E+01 9.000E+01

It took a little bit of trickery to get SPICE working as we would like on this circuit (installing "dummy" voltage
sources in each branch to obtain current figures and installing the "dummy" resistor in the inductor branch to
prevent a direct inductor-to-voltage source loop, which SPICE cannot tolerate), but we did get the proper
readings. Even more than that, by installing the dummy voltage sources (current meters) in the proper
directions, we were able to avoid that idiosyncrasy of SPICE of printing current figures 180o out of phase. This
way, our current phase readings came out to exactly match our hand calculations.

Series-parallel R, L, and C

Now that we've seen how series and parallel AC circuit analysis is not fundamentally different than DC circuit
analysis, it should come as no surprise that series-parallel analysis would be the same as well, just using
complex numbers instead of scalar to represent voltage, current, and impedance.

Take this series-parallel circuit for example:

The first order of business, as usual, is to determine values of impedance (Z) for all components based on the
frequency of the AC power source. To do this, we need to first determine values of reactance (X) for all
inductors and capacitors, then convert reactance (X) and resistance (R) figures into proper impedance (Z)
form:

Now we can set up the initial values in our table:

Being a series-parallel combination circuit, we must reduce it to a total impedance in more than one step. The
first step is to combine L and C2 as a series combination of impedances, by adding their impedances together.
Then, that impedance will be combined in parallel with the impedance of the resistor, to arrive at another
combination of impedances. Finally, that quantity will be added to the impedance of C1 to arrive at the total
impedance.

In order that our table may follow all these steps, it will be necessary to add additional columns to it so that
each step may be represented. Adding more columns horizontally to the table shown above would be
impractical for formatting reasons, so I will place a new row of columns underneath, each column designated
by its respective component combination:
Calculating these new (combination) impedances will require complex addition for series combinations, and the
"reciprocal" formula for complex impedances in parallel. This time, there is no avoidance of the reciprocal
formula: the required figures can be arrived at no other way!

Seeing as how our second table contains a column for "Total," we can safely discard that column from the first
table. This gives us one table with four columns and another table with three columns.

Now that we know the total impedance (818.34 Ω -58.371o) and the total voltage (120 volts 0o), we can
apply Ohm's Law (I=E/Z) vertically in the "Total" column to arrive at a figure for total current:
At this point we ask ourselves the question: are there any components or component combinations which
share either the total voltage or the total current? In this case, both C1 and the parallel combination R//(L--C2)
share the same (total) current, since the total impedance is composed of the two sets of impedances in series.
Thus, we can transfer the figure for total current into both columns:

Now, we can calculate voltage drops across C1 and the series-parallel combination of R//(L--C2) using Ohm's
Law (E=IZ) vertically in those table columns:
A quick double-check of our work at this point would be to see whether or not the voltage drops across C1 and
the series-parallel combination of R//(L--C2) indeed add up to the total. According to Kirchhoff's Voltage Law,
they should!

That last step was merely a precaution. In a problem with as many steps as this one has, there is much
opportunity for error. Occasional cross-checks like that one can save a person a lot of work and unnecessary
frustration by identifying problems prior to the final step of the problem.

After having solved for voltage drops across C1 and the combination R//(L--C2), we again ask ourselves the
question: what other components share the same voltage or current? In this case, the resistor (R) and the
combination of the inductor and the second capacitor (L--C2) share the same voltage, because those sets of
impedances are in parallel with each other. Therefore, we can transfer the voltage figure just solved for into
the columns for R and L--C2:
Now we're all set for calculating current through the resistor and through the series combination L--C2. All we
need to do is apply Ohm's Law (I=E/Z) vertically in both of those columns:

Another quick double-check of our work at this point would be to see if the current figures for L--C2 and R add
up to the total current. According to Kirchhoff's Current Law, they should:
Since the L and C2 are connected in series, and since we know the current through their series combination
impedance, we can distribute that current figure to the L and C2 columns following the rule of series circuits
whereby series components share the same current:

With one last step (actually, two calculations), we can complete our analysis table for this circuit. With
impedance and current figures in place for L and C2, all we have to do is apply Ohm's Law (E=IZ) vertically in
those two columns to calculate voltage drops.

Now, let's turn to SPICE for a computer verification of our work:

ac series-parallel r-l-c circuit
v1 1 0 ac 120 sin
vit 1 2 ac 0
vilc 3 4 ac 0
vir 3 6 ac 0
c1 2 3 4.7u
l 4 5 650m
c2 5 0 1.5u
r 6 0 470
.ac lin 1 60 60
.print ac v(2,3) vp(2,3) i(vit) ip(vit)
.print ac v(4,5) vp(4,5) i(vilc) ip(vilc)
.print ac v(5,0) vp(5,0) i(vilc) ip(vilc)
.print ac v(6,0) vp(6,0) i(vir) ip(vir)
.end

freq v(2,3) vp(2,3) i(vit) ip(vit) C1

6.000E+01 8.276E+01 -3.163E+01 1.466E-01 5.837E+01

freq v(4,5) vp(4,5) i(vilc) ip(vilc) L

6.000E+01 1.059E+01 -1.388E+02 4.323E-02 1.312E+02

freq v(5) vp(5) i(vilc) ip(vilc) C2

6.000E+01 7.645E+01 4.122E+01 4.323E-02 1.312E+02

freq v(6) vp(6) i(vir) ip(vir) R

6.000E+01 6.586E+01 4.122E+01 1.401E-01 4.122E+01
Each line of the SPICE output listing gives the voltage, voltage phase angle, current, and current phase angle
for C1, L, C2, and R, in that order. As you can see, these figures do concur with our hand-calculated figures in
the circuit analysis table.

As daunting a task as series-parallel AC circuit analysis may appear, it must be emphasized that there is
nothing really new going on here besides the use of complex numbers. Ohm's Law (in its new form of E=IZ)
still holds true, as do the voltage and current Laws of Kirchhoff. While there is more potential for human error
in carrying out the necessary complex number calculations, the basic principles and techniques of series-
parallel circuit reduction are exactly the same.

• REVIEW:
• Analysis of series-parallel AC circuits is much the same as series-parallel DC circuits. The only
substantive difference is that all figures and calculations are in complex (not scalar) form.
• It is important to remember that before series-parallel reduction (simplification) can begin, you must
determine the impedance (Z) of every resistor, inductor, and capacitor. That way, all component
values will be expressed in common terms (Z) instead of an incompatible mix of resistance (R),
inductance (L), and capacitance (C).

Susceptance and Admittance

In the study of DC circuits, the student of electricity comes across a term meaning the opposite of resistance:
conductance. It is a useful term when exploring the mathematical formula for parallel resistances: Rparallel = 1 /
(1/R1 + 1/R2 + . . . 1/Rn). Unlike resistance, which diminishes as more parallel components are included in the
circuit, conductance simply adds. Mathematically, conductance is the reciprocal of resistance, and each 1/R
term in the "parallel resistance formula" is actually a conductance.

Whereas the term "resistance" denotes the amount of opposition to flowing electrons in a circuit,
"conductance" represents the ease of which electrons may flow. Resistance is the measure of how much a
circuit resists current, while conductance is the measure of how much a circuit conducts current. Conductance
used to be measured in the unit of mhos, or "ohms" spelled backward. Now, the proper unit of measurement is
Siemens. When symbolized in a mathematical formula, the proper letter to use for conductance is "G".

Reactive components such as inductors and capacitors oppose the flow of electrons with respect to time, rather
than with a constant, unchanging friction as resistors do. We call this time-based opposition, reactance, and
like resistance we also measure it in the unit of ohms.

As conductance is the complement of resistance, there is also a complementary expression of reactance, called
susceptance. Mathematically, it is equal to 1/X, the reciprocal of reactance. Like conductance, it used to be
measured in the unit of mhos, but now is measured in Siemens. Its mathematical symbol is "B", unfortunately
the same symbol used to represent magnetic flux density.

The terms "reactance" and "susceptance" have a certain linguistic logic to them, just like resistance and
conductance. While reactance is the measure of how much a circuit reacts against change in current over time,
susceptance is the measure of how much a circuit is susceptible to conducting a changing current.

If one were tasked with determining the total effect of several parallel-connected, pure reactances, one could
convert each reactance (X) to a susceptance (B), then add susceptances rather than diminish reactances:
Xparallel = 1/(1/X1 + 1/X2 + . . . 1/Xn). Like conductances (G), susceptances (B) add in parallel and diminish in
series. Also like conductance, susceptance is a scalar quantity.

When resistive and reactive components are interconnected, their combined effects can no longer be analyzed
with scalar quantities of resistance (R) and reactance (X). Likewise, figures of conductance (G) and
susceptance (B) are most useful in circuits where the two types of opposition are not mixed, i.e. either a purely
resistive (conductive) circuit, or a purely reactive (susceptive) circuit. In order to express and quantify the
effects of mixed resistive and reactive components, we had to have a new term: impedance, measured in
ohms and symbolized by the letter "Z".

To be consistent, we need a complementary measure representing the reciprocal of impedance. The name for
this measure is admittance. Admittance is measured in (guess what?) the unit of Siemens, and its symbol is
"Y". Like impedance, admittance is a complex quantity rather than scalar. Again, we see a certain logic to the
naming of this new term: while impedance is a measure of how much alternating current is impeded in a
circuit, admittance is a measure of how much current is admitted.
Given a scientific calculator capable of handling complex number arithmetic in both polar and rectangular
forms, you may never have to work with figures of susceptance (B) or admittance (Y). Be aware, though, of
their existence and their meanings.

Summary

With the notable exception of calculations for power (P), all AC circuit calculations are based on the same
general principles as calculations for DC circuits. The only significant difference is that fact that AC calculations
use complex quantities while DC calculations use scalar quantities. Ohm's Law, Kirchhoff's Laws, and even the
network theorems learned in DC still hold true for AC when voltage, current, and impedance are all expressed
with complex numbers. The same troubleshooting strategies applied toward DC circuits also hold for AC,
although AC can certainly be more difficult to work with due to phase angles which aren't registered by a
handheld multimeter.

Power is another subject altogether, and will be covered in its own chapter in this book. Because power in a
reactive circuit is both absorbed and released -- not just dissipated as it is with resistors -- its mathematical
handling requires a more direct application of trigonometry to solve.

When faced with analyzing an AC circuit, the first step in analysis is to convert all resistor, inductor, and
capacitor component values into impedances (Z), based on the frequency of the power source. After that,
proceed with the same steps and strategies learned for analyzing DC circuits, using the "new" form of Ohm's
Law: E=IZ ; I=E/Z ; and Z=E/I

Remember that only the calculated figures expressed in polar form apply directly to empirical measurements of
voltage and current. Rectangular notation is merely a useful tool for us to add and subtract complex quantities
together. Polar notation, where the magnitude (length of vector) directly relates to the magnitude of the
voltage or current measured, and the angle directly relates to the phase shift in degrees, is the most practical
way to express complex quantities for circuit analysis.

Chapter 6: RESONANCE
An electric pendulum

Capacitors store energy in the form of an electric field, and electrically manifest that stored energy as a
potential: static voltage. Inductors store energy in the form of a magnetic field, and electrically manifest that
stored energy as a kinetic motion of electrons: current. Capacitors and inductors are flip-sides of the same
reactive coin, storing and releasing energy in complementary modes. When these two types of reactive
components are directly connected together, their complementary tendencies to store energy will produce an
unusual result.

If either the capacitor or inductor starts out in a charged state, the two components will exchange energy
between them, back and forth, creating their own AC voltage and current cycles. If we assume that both
components are subjected to a sudden application of voltage (say, from a momentarily connected battery), the
capacitor will very quickly charge and the inductor will oppose change in current, leaving the capacitor in the
charged state and the inductor in the discharged state:

The capacitor will begin to discharge, its voltage decreasing. Meanwhile, the inductor will begin to build up a
"charge" in the form of a magnetic field as current increases in the circuit:
The inductor, still charging, will keep electrons flowing in the circuit until the capacitor has been completely
discharged, leaving zero voltage across it:

The inductor will maintain current flow even with no voltage applied. In fact, it will generate a voltage (like a
battery) in order to keep current in the same direction. The capacitor, being the recipient of this current, will
begin to accumulate a charge in the opposite polarity as before:

When the inductor is finally depleted of its energy reserve and the electrons come to a halt, the capacitor will
have reached full (voltage) charge in the opposite polarity as when it started:

Now we're at a condition very similar to where we started: the capacitor at full charge and zero current in the
circuit. The capacitor, as before, will begin to discharge through the inductor, causing an increase in current (in
the opposite direction as before) and a decrease in voltage as it depletes its own energy reserve:
Eventually the capacitor will discharge to zero volts, leaving the inductor fully charged with full current through
it:

The inductor, desiring to maintain current in the same direction, will act like a source again, generating a
voltage like a battery to continue the flow. In doing so, the capacitor will begin to charge up and the current
will decrease in magnitude:

Eventually the capacitor will become fully charged again as the inductor expends all of its energy reserves
trying to maintain current. The voltage will once again be at its positive peak and the current at zero. This
completes one full cycle of the energy exchange between the capacitor and inductor:

This oscillation will continue with steadily decreasing amplitude due to power losses from stray resistances in
the circuit, until the process stops altogether. Overall, this behavior is akin to that of a pendulum: as the
pendulum mass swings back and forth, there is a transformation of energy taking place from kinetic (motion)
to potential (height), in a similar fashion to the way energy is transferred in the capacitor/inductor circuit back
and forth in the alternating forms of current (kinetic motion of electrons) and voltage (potential electric
energy).

At the peak height of each swing of a pendulum, the mass briefly stops and switches directions. It is at this
point that potential energy (height) is at a maximum and kinetic energy (motion) is at zero. As the mass
swings back the other way, it passes quickly through a point where the string is pointed straight down. At this
point, potential energy (height) is at zero and kinetic energy (motion) is at maximum. Like the circuit, a
pendulum's back-and-forth oscillation will continue with a steadily dampened amplitude, the result of air
friction (resistance) dissipating energy. Also like the circuit, the pendulum's position and velocity
measurements trace two sine waves (90 degrees out of phase) over time:

In physics, this kind of natural sine-wave oscillation for a mechanical system is called Simple Harmonic Motion
(often abbreviated as "SHM"). The same underlying principles govern both the oscillation of a
capacitor/inductor circuit and the action of a pendulum, hence the similarity in effect. It is an interesting
property of any pendulum that its periodic time is governed by the length of the string holding the mass, and
not the weight of the mass itself. That is why a pendulum will keep swinging at the same frequency as the
oscillations decrease in amplitude. The oscillation rate is independent of the amount of energy stored in it.

The same is true for the capacitor/inductor circuit. The rate of oscillation is strictly dependent on the sizes of
the capacitor and inductor, not on the amount of voltage (or current) at each respective peak in the waves.
The ability for such a circuit to store energy in the form of oscillating voltage and current has earned it the
name tank circuit. Its property of maintaining a single, natural frequency regardless of how much or little
energy is actually being stored in it gives it special significance in electric circuit design.

However, this tendency to oscillate, or resonate, at a particular frequency is not limited to circuits exclusively
designed for that purpose. In fact, nearly any AC circuit with a combination of capacitance and inductance
(commonly called an "LC circuit") will tend to manifest unusual effects when the AC power source frequency
approaches that natural frequency. This is true regardless of the circuit's intended purpose.

If the power supply frequency for a circuit exactly matches the natural frequency of the circuit's LC
combination, the circuit is said to be in a state of resonance. The unusual effects will reach maximum in this
condition of resonance. For this reason, we need to be able to predict what the resonant frequency will be for
various combinations of L and C, and be aware of what the effects of resonance are.

• REVIEW:
 • A capacitor and inductor directly connected together form something called a tank circuit, which
oscillates (or resonates) at one particular frequency. At that frequency, energy is alternately shuffled
between the capacitor and the inductor in the form of alternating voltage and current 90 degrees out
of phase with each other.
• When the power supply frequency for an AC circuit exactly matches that circuit's natural oscillation
frequency as set by the L and C components, a condition of resonance will have been reached.

Simple parallel (tank circuit) resonance

A condition of resonance will be experienced in a tank circuit when the reactances of the capacitor and inductor
are equal to each other. Because inductive reactance increases with increasing frequency and capacitive
reactance decreases with increasing frequency, there will only be one frequency where these two reactances
will be equal.

In the above circuit, we have a 10 µF capacitor and a 100 mH inductor. Since we know the equations for
determining the reactance of each at a given frequency, and we're looking for that point where the two
reactances are equal to each other, we can set the two reactance formulae equal to each other and solve for
frequency algebraically:
So there we have it: a formula to tell us the resonant frequency of a tank circuit, given the values of
inductance (L) in Henrys and capacitance (C) in Farads. Plugging in the values of L and C in our example
circuit, we arrive at a resonant frequency of 159.155 Hz.

What happens at resonance is quite interesting. With capacitive and inductive reactances equal to each other,
the total impedance increases to infinity, meaning that the tank circuit draws no current from the AC power
source! We can calculate the individual impedances of the 10 µF capacitor and the 100 mH inductor and work
through the parallel impedance formula to demonstrate this mathematically:
As you might have guessed, I chose these component values to give resonance impedances that were easy to
work with (100 Ω even). Now, we use the parallel impedance formula to see what happens to total Z:

We can't divide any number by zero and arrive at a meaningful result, but we can say that the result
approaches a value of infinity as the two parallel impedances get closer to each other. What this means in
practical terms is that, the total impedance of a tank circuit is infinite (behaving as an open circuit) at
resonance. We can plot the consequences of this over a wide power supply frequency range with a short SPICE
simulation:
tank circuit frequency sweep
v1 1 0 ac 1 sin
c1 1 0 10u
* rbogus is necessary to eliminate a direct loop
* between v1 and l1, which SPICE can't handle
rbogus 1 2 1e-12
l1 2 0 100m
.ac lin 20 100 200
.plot ac i(v1)
.end

freq i(v1) 3.162E-04 1.000E-03 3.162E-03 1.0E-02

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 9.632E-03 . . . . *
1.053E+02 8.506E-03 . . . . * .
1.105E+02 7.455E-03 . . . . * .
1.158E+02 6.470E-03 . . . . * .
1.211E+02 5.542E-03 . . . . * .
1.263E+02 4.663E-03 . . . . * .
1.316E+02 3.828E-03 . . . .* .
1.368E+02 3.033E-03 . . . *. .
1.421E+02 2.271E-03 . . . * . .
1.474E+02 1.540E-03 . . . * . .
1.526E+02 8.373E-04 . . * . . .
1.579E+02 1.590E-04 . * . . . .
1.632E+02 4.969E-04 . . * . . .
1.684E+02 1.132E-03 . . . * . .
1.737E+02 1.749E-03 . . . * . .
1.789E+02 2.350E-03 . . . * . .
1.842E+02 2.934E-03 . . . *. .
1.895E+02 3.505E-03 . . . .* .
1.947E+02 4.063E-03 . . . . * .
2.000E+02 4.609E-03 . . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The 1 pico-ohm (1 pΩ) resistor is placed in this SPICE analysis to overcome a limitation of SPICE: namely, that
it cannot analyze a circuit containing a direct inductor-voltage source loop. A very low resistance value was
chosen so as to have minimal effect on circuit behavior.
This SPICE simulation plots circuit current over a frequency range of 100 to 200 Hz in twenty even steps (100
and 200 Hz inclusive). Current magnitude on the graph increases from left to right, while frequency increases
from top to bottom. The current in this circuit takes a sharp dip around the analysis point of 157.9 Hz, which is
the closest analysis point to our predicted resonance frequency of 159.155 Hz. It is at this point that total
current from the power source falls to zero.

Incidentally, the graph output produced by this SPICE computer analysis is more generally known as a Bode
plot. Such graphs plot amplitude or phase shift on one axis and frequency on the other. The steepness of a
Bode plot curve characterizes a circuit's "frequency response," or how sensitive it is to changes in frequency.

• REVIEW:
• Resonance occurs when capacitive and inductive reactances are equal to each other.
• For a tank circuit with no resistance (R), resonant frequency can be calculated with the following
formula:

•
• The total impedance of a parallel LC circuit approaches infinity as the power supply frequency
approaches resonance.
• A Bode plot is a graph plotting waveform amplitude or phase on one axis and frequency on the other.

Simple series resonance

A similar effect happens in series inductive/capacitive circuits. When a state of resonance is reached (capacitive
and inductive reactances equal), the two impedances cancel each other out and the total impedance drops to
zero!

With the total series impedance equal to 0 Ω at the resonant frequency of 159.155 Hz, the result is a short
circuit across the AC power source at resonance. In the circuit drawn above, this would not be good. I'll add a
small resistor in series along with the capacitor and the inductor to keep the maximum circuit current
somewhat limited, and perform another SPICE analysis over the same range of frequencies:
series lc circuit
v1 1 0 ac 1 sin
r1 1 2 1
c1 2 3 10u
l1 3 0 100m
.ac lin 20 100 200
.plot ac i(v1)
.end

freq i(v1) 3.162E-02 1.000E-01 3.162E-01 1.0

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.038E-02 * . . . .
1.053E+02 1.176E-02 . * . . . .
1.105E+02 1.341E-02 . * . . . .
1.158E+02 1.545E-02 . * . . . .
1.211E+02 1.804E-02 . * . . . .
1.263E+02 2.144E-02 . * . . . .
1.316E+02 2.611E-02 . * . . . .
1.368E+02 3.296E-02 . .* . . .
1.421E+02 4.399E-02 . . * . . .
1.474E+02 6.478E-02 . . * . . .
1.526E+02 1.186E-01 . . . * . .
1.579E+02 5.324E-01 . . . . * .
1.632E+02 1.973E-01 . . . * . .
1.684E+02 8.797E-02 . . * . . .
1.737E+02 5.707E-02 . . * . . .
1.789E+02 4.252E-02 . . * . . .
1.842E+02 3.406E-02 . .* . . .
1.895E+02 2.852E-02 . *. . . .
1.947E+02 2.461E-02 . * . . . .
2.000E+02 2.169E-02 . * . . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As before, circuit current amplitude increases from left to right, while frequency increases from top to bottom.
The peak is still seen to be at the plotted frequency point of 157.9 Hz, the closest analyzed point to our
predicted resonance point of 159.155 Hz. This would suggest that our resonant frequency formula holds as
true for simple series LC circuits as it does for simple parallel LC circuits, which is the case:
A word of caution is in order with series LC resonant circuits: because of the high currents which may be
present in a series LC circuit at resonance, it is possible to produce dangerously high voltage drops across the
capacitor and the inductor, as each component possesses significant impedance. We can edit the SPICE netlist
in the above example to include a plot of voltage across the capacitor and inductor to demonstrate what
happens:

series lc circuit
v1 1 0 ac 1 sin
r1 1 2 1
c1 2 3 10u
l1 3 0 100m
.ac lin 20 100 200
.plot ac i(v1) v(2,3) v(3)
.end

legend:

*: i(v1)
+: v(2,3)
=: v(3)

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
(*)----------- 1.000E-02 3.162E-02 1.000E-01 0.3162 1
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
(+)----------- 1.000E+00 3.162E+00 1.000E+01 31.62 100
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
(=)----------- 1.000E-01 1.000E+00 1.000E+01 100 1000
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
freq i(v1)
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.038E-02 * + = . . . .
1.053E+02 1.176E-02 . * + =. . . .
1.105E+02 1.341E-02 . * + = . . .
1.158E+02 1.545E-02 . * + .= . . .
1.211E+02 1.804E-02 . * + . = . . .
1.263E+02 2.144E-02 . * +. = . . .
1.316E+02 2.611E-02 . *+ = . . .
1.368E+02 3.296E-02 . .*+ = . . .
1.421E+02 4.399E-02 . . *+ = . . .
1.474E+02 6.478E-02 . . *+= . .
1.526E+02 1.186E-01 . . .=*+ . .
1.579E+02 5.324E-01 . . . = . x .
1.632E+02 1.973E-01 . . . = x . .
1.684E+02 8.797E-02 . . x = . .
1.737E+02 5.707E-02 . . +* = . . .
1.789E+02 4.252E-02 . . + * = . . .
1.842E+02 3.406E-02 . +.* = . . .
1.895E+02 2.852E-02 . + *. = . . .
1.947E+02 2.461E-02 . + * . = . . .
2.000E+02 2.169E-02 . + * . = . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

According to SPICE, voltage across the capacitor and inductor (plotted with "+" and "=" symbols, respectively)
reach a peak somewhere between 100 and 1000 volts (marked by the "x" where the graphs overlap)! This is
quite impressive for a power supply that only generates 1 volt. Needless to say, caution is in order when
experimenting with circuits such as this.

• REVIEW:
 • The total impedance of a series LC circuit approaches zero as the power supply frequency approaches
resonance.
• The same formula for determining resonant frequency in a simple tank circuit applies to simple series
circuits as well.
• Extremely high voltages can be formed across the individual components of series LC circuits at
resonance, due to high current flows and substantial individual component impedances.

Applications of resonance

So far, the phenomenon of resonance appears to be a useless curiosity, or at most a nuisance to be avoided
(especially if series resonance makes for a short-circuit across our AC voltage source!). However, this is not
the case. Resonance is a very valuable property of reactive AC circuits, employed in a variety of applications.

One use for resonance is to establish a condition of stable frequency in circuits designed to produce AC signals.
Usually, a parallel (tank) circuit is used for this purpose, with the capacitor and inductor directly connected
together, exchanging energy between each other. Just as a pendulum can be used to stabilize the frequency of
a clock mechanism's oscillations, so can a tank circuit be used to stabilize the electrical frequency of an AC
oscillator circuit. As was noted before, the frequency set by the tank circuit is solely dependent upon the values
of L and C, and not on the magnitudes of voltage or current present in the oscillations:

Another use for resonance is in applications where the effects of greatly increased or decreased impedance at a
particular frequency is desired. A resonant circuit can be used to "block" (present high impedance toward) a
frequency or range of frequencies, thus acting as a sort of frequency "filter" to strain certain frequencies out of
a mix of others. In fact, these particular circuits are called filters, and their design constitutes a discipline of
study all by itself:

In essence, this is how analog radio receiver tuner circuits work to filter, or select, one station frequency out of
the mix of different radio station frequency signals intercepted by the antenna.

• REVIEW:
• Resonance can be employed to maintain AC circuit oscillations at a constant frequency, just as a
pendulum can be used to maintain constant oscillation speed in a timekeeping mechanism.
 • Resonance can be exploited for its impedance properties: either dramatically increasing or decreasing
impedance for certain frequencies. Circuits designed to screen certain frequencies out of a mix of
different frequencies are called filters.

Resonance in series-parallel circuits

In simple reactive circuits with little or no resistance, the effects of radically altered impedance will manifest at
the resonance frequency predicted by the equation given earlier. In a parallel (tank) LC circuit, this means
infinite impedance at resonance. In a series LC circuit, it means zero impedance at resonance:

However, as soon as significant levels of resistance are introduced into most LC circuits, this simple calculation
for resonance becomes invalid. We'll take a look at several LC circuits with added resistance, using the same
values for capacitance and inductance as before: 10 µF and 100 mH, respectively. According to our simple
equation, the resonant frequency should be 159.155 Hz. Watch, though, where current reaches maximum or
minimum in the following SPICE analyses:

resonant circuit
v1 1 0 ac 1 sin
c1 1 0 10u
r1 1 2 100
l1 2 0 100m
.ac lin 20 100 200
.plot ac i(v1)
.end

freq i(v1) 7.079E-03 7.943E-03 8.913E-03

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 7.387E-03 . . * . .
1.053E+02 7.242E-03 . . * . .
1.105E+02 7.115E-03 . .* . .
1.158E+02 7.007E-03 . *. . .
1.211E+02 6.921E-03 . * . . .
1.263E+02 6.859E-03 . * . . .
1.316E+02 6.823E-03 . * . . .
1.368E+02 6.813E-03 . * . . .
1.421E+02 6.830E-03 . * . . .
1.474E+02 6.874E-03 . * . . .
1.526E+02 6.946E-03 . * . . .
1.579E+02 7.044E-03 . *. . .
1.632E+02 7.167E-03 . .* . .
1.684E+02 7.315E-03 . . * . .
1.737E+02 7.485E-03 . . * . .
1.789E+02 7.676E-03 . . * . .
1.842E+02 7.886E-03 . . *. .
1.895E+02 8.114E-03 . . . * .
1.947E+02 8.358E-03 . . . * .
2.000E+02 8.616E-03 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Minimum current at 136.8 Hz instead of 159.2 Hz!

Here, an extra resistor (Rbogus) is necessary to prevent SPICE from encountering trouble in analysis. SPICE can't
handle an inductor connected directly in parallel with any voltage source or any other inductor, so the addition
of a series resistor is necessary to "break up" the voltage source/inductor loop that would otherwise be formed.
This resistor is chosen to be a very low value for minimum impact on the circuit's behavior.

resonant circuit
v1 1 0 ac 1 sin
r1 1 2 100
c1 2 0 10u
rbogus 1 3 1e-12
l1 3 0 100m
.ac lin 20 100 400
.plot ac i(v1)
.end

freq i(v1) 7.943E-03 1.000E-02 1.259E-02

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.176E-02 . . . * .
1.158E+02 9.635E-03 . . * . .
1.316E+02 8.257E-03 . . * . .
1.474E+02 7.430E-03 . * . . .
1.632E+02 6.998E-03 . * . . .
1.789E+02 6.835E-03 . * . . .
1.947E+02 6.839E-03 . * . . .
2.105E+02 6.941E-03 . * . . .
2.263E+02 7.093E-03 . * . . .
2.421E+02 7.268E-03 . * . . .
2.579E+02 7.449E-03 . * . . .
2.737E+02 7.626E-03 . * . . .
2.895E+02 7.794E-03 . *. . .
3.053E+02 7.951E-03 . * . .
3.211E+02 8.096E-03 . .* . .
3.368E+02 8.230E-03 . . * . .
3.526E+02 8.352E-03 . . * . .
3.684E+02 8.464E-03 . . * . .
3.842E+02 8.567E-03 . . * . .
4.000E+02 8.660E-03 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Minimum current at roughly 180 Hz instead of 159.2 Hz!

Switching our attention to series LC circuits, we experiment with placing significant resistances in parallel with
either L or C. In the following series circuit examples, a 1 Ω resistor (R1) is placed in series with the inductor
and capacitor to limit total current at resonance. The "extra" resistance inserted to influence resonant
frequency effects is the 100 Ω resistor, R2:

resonant circuit
v1 1 0 ac 1 sin
r1 1 2 1
c1 2 3 10u
l1 3 0 100m
r2 3 0 100
.ac lin 20 100 400
.plot ac i(v1)
.end
freq i(v1) 1.000E-02 1.259E-02 1.585E-02
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 8.488E-03 . * . . .
1.158E+02 1.034E-02 . . * . .
1.316E+02 1.204E-02 . . * . .
1.474E+02 1.336E-02 . . . * .
1.632E+02 1.415E-02 . . . * .
1.789E+02 1.447E-02 . . . * .
1.947E+02 1.445E-02 . . . * .
2.105E+02 1.424E-02 . . . * .
2.263E+02 1.393E-02 . . . * .
2.421E+02 1.360E-02 . . . * .
2.579E+02 1.327E-02 . . . * .
2.737E+02 1.296E-02 . . . * .
2.895E+02 1.269E-02 . . * .
3.053E+02 1.244E-02 . . *. .
3.211E+02 1.222E-02 . . * . .
3.368E+02 1.202E-02 . . * . .
3.526E+02 1.185E-02 . . * . .
3.684E+02 1.169E-02 . . * . .
3.842E+02 1.155E-02 . . * . .
4.000E+02 1.143E-02 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Maximum current at roughly 178.9 Hz instead of 159.2 Hz!

And finally, a series LC circuit with the significant resistance in parallel with the capacitor:

resonant circuit
v1 1 0 ac 1 sin
r1 1 2 1
c1 2 3 10u
r2 2 3 100
l1 3 0 100m
.ac lin 20 100 200
.plot ac i(v1)
.end
 freq i(v1)

freq i(v1) 1.259E-02 1.413E-02 1.585E-02

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.336E-02 . . * . .
1.053E+02 1.363E-02 . . * . .
1.105E+02 1.387E-02 . . * . .
1.158E+02 1.408E-02 . . * .
1.211E+02 1.426E-02 . . .* .
1.263E+02 1.439E-02 . . . * .
1.316E+02 1.447E-02 . . . * .
1.368E+02 1.450E-02 . . . * .
1.421E+02 1.447E-02 . . . * .
1.474E+02 1.438E-02 . . . * .
1.526E+02 1.424E-02 . . .* .
1.579E+02 1.405E-02 . . *. .
1.632E+02 1.382E-02 . . * . .
1.684E+02 1.355E-02 . . * . .
1.737E+02 1.325E-02 . . * . .
1.789E+02 1.293E-02 . . * . .
1.842E+02 1.259E-02 . * . .
1.895E+02 1.225E-02 . * . . .
1.947E+02 1.190E-02 . * . . .
2.000E+02 1.155E-02 . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Maximum current at 136.8 Hz instead of 159.2 Hz!

The tendency for added resistance to skew the point at which impedance reaches a maximum or minimum in
an LC circuit is called antiresonance. The astute observer will notice a pattern between the four SPICE
examples given above, in terms of how resistance affects the resonant peak of a circuit:

• Parallel ("tank") LC circuit:

• R in series with L: resonant frequency shifted down
• R in series with C: resonant frequency shifted up

• Series LC circuit:
• R in parallel with L: resonant frequency shifted up
• R in parallel with C: resonant frequency shifted down

Again, this illustrates the complementary nature of capacitors and inductors: how resistance in series with one
creates an antiresonance effect equivalent to resistance in parallel with the other. If you look even closer to the
four SPICE examples given, you'll see that the frequencies are shifted by the same amount, and that the shape
of the complementary graphs are mirror-images of each other!

Antiresonance is an effect that resonant circuit designers must be aware of. The equations for determining
antiresonance "shift" are complex, and will not be covered in this brief lesson. It should suffice the beginning
student of electronics to understand that the effect exists, and what its general tendencies are.

Added resistance in an LC circuit is no academic matter. While it is possible to manufacture capacitors with
negligible unwanted resistances, inductors are typically plagued with substantial amounts of resistance due to
the long lengths of wire used in their construction. What is more, the resistance of wire tends to increase as
frequency goes up, due to a strange phenomenon known as the skin effect where AC current tends to be
excluded from travel through the very center of a wire, thereby reducing the wire's effective cross-sectional
area. Thus, inductors not only have resistance, but changing, frequency-dependent resistance at that.

As if the resistance of an inductor's wire weren't enough to cause problems, we also have to contend with the
"core losses" of iron-core inductors, which manifest themselves as added resistance in the circuit. Since iron is
a conductor of electricity as well as a conductor of magnetic flux, changing flux produced by alternating current
through the coil will tend to induce electric currents in the core itself (eddy currents). This effect can be
thought of as though the iron core of the transformer were a sort of secondary transformer coil powering a
resistive load: the less-than-perfect conductivity of the iron metal. This effects can be minimized with
laminated cores, good core design and high-grade materials, but never completely eliminated.

One notable exception to the rule of circuit resistance causing a resonant frequency shift is the case of series
resistor-inductor-capacitor ("RLC") circuits. So long as all components are connected in series with each other,
the resonant frequency of the circuit will be unaffected by the resistance:

series rlc circuit

v1 1 0 ac 1 sin
r1 1 2 100
c1 2 3 10u
l1 3 0 100m
.ac lin 20 100 200
.plot ac i(v1)
.end

freq i(v1) 7.943E-03 8.913E-03 1.000E-02

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 7.202E-03 * . . .
1.053E+02 7.617E-03 . * . . .
1.105E+02 8.017E-03 . .* . .
1.158E+02 8.396E-03 . . * . .
1.211E+02 8.747E-03 . . * . .
1.263E+02 9.063E-03 . . . * .
1.316E+02 9.339E-03 . . . * .
1.368E+02 9.570E-03 . . . * .
1.421E+02 9.752E-03 . . . * .
1.474E+02 9.883E-03 . . . *.
1.526E+02 9.965E-03 . . . .
1.579E+02 9.999E-03 . . . *
1.632E+02 9.988E-03 . . . *
1.684E+02 9.936E-03 . . . *.
1.737E+02 9.850E-03 . . . * .
1.789E+02 9.735E-03 . . . * .
1.842E+02 9.595E-03 . . . * .
1.895E+02 9.437E-03 . . . * .
1.947E+02 9.265E-03 . . . * .
2.000E+02 9.082E-03 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Maximum current at 159.2 Hz once again!

Note that the peak of the current graph has not changed from the earlier series LC circuit (the one with the 1 Ω
token resistance in it), even though the resistance is now 100 times greater. The only thing that has changed
is the "sharpness" of the curve. Obviously, this circuit does not resonate as strongly as one with less series
resistance (it is said to be "less selective"), but at least it has the same natural frequency!

It is noteworthy that antiresonance has the effect of dampening the oscillations of free-running LC circuits such
as tank circuits. In the beginning of this chapter we saw how a capacitor and inductor connected directly
together would act something like a pendulum, exchanging voltage and current peaks just like a pendulum
exchanges kinetic and potential energy. In a perfect tank circuit (no resistance), this oscillation would continue
forever, just as a frictionless pendulum would continue to swing at its resonant frequency forever. But
frictionless machines are difficult to find in the real world, and so are lossless tank circuits. Energy lost through
resistance (or inductor core losses or radiated electromagnetic waves or . . .) in a tank circuit will cause the
oscillations to decay in amplitude until they are no more. If enough energy losses are present in a tank circuit,
it will fail to resonate at all.

Antiresonance's dampening effect is more than just a curiosity: it can be used quite effectively to eliminate
unwanted oscillations in circuits containing stray inductances and/or capacitances, as almost all circuits do.
Take note of the following L/R time delay circuit:

The idea of this circuit is simple: to "charge" the inductor when the switch is closed. The rate of inductor
charging will be set by the ratio L/R, which is the time constant of the circuit in seconds. However, if you were
to build such a circuit, you might find unexpected oscillations (AC) of voltage across the inductor when the
switch is closed. Why is this? There's no capacitor in the circuit, so how can we have resonant oscillation with
just an inductor, resistor, and battery?

All inductors contain a certain amount of stray capacitance due to turn-to-turn and turn-to-core insulation
gaps. Also, the placement of circuit conductors may create stray capacitance. While clean circuit layout is
important in eliminating much of this stray capacitance, there will always be some that you cannot eliminate. If
this causes resonant problems (unwanted AC oscillations), added resistance may be a way to combat it. If
resistor R is large enough, it will cause a condition of antiresonance, dissipating enough energy to prohibit the
inductance and stray capacitance from sustaining oscillations for very long.

Interestingly enough, the principle of employing resistance to eliminate unwanted resonance is one frequently
used in the design of mechanical systems, where any moving object with mass is a potential resonator. A very
common application of this is the use of shock absorbers in automobiles. Without shock absorbers, cars would
bounce wildly at their resonant frequency after hitting any bump in the road. The shock absorber's job is to
introduce a strong antiresonant effect by dissipating energy hydraulically (in the same way that a resistor
dissipates energy electrically).

• REVIEW:
• Added resistance to an LC circuit can cause a condition known as antiresonance, where the peak
impedance effects happen at frequencies other than that which gives equal capacitive and inductive
reactances.
• Unwanted resistances inherent in real-world inductors can contribute greatly to conditions of
antiresonance. One source of such resistance is the skin effect, caused by the exclusion of AC current
from the center of conductors. Another source is that of core losses in iron-core inductors.
• In a simple series LC circuit containing resistance (an "RLC" circuit), resistance does not produce
antiresonance. Resonance still occurs when capacitive and inductive reactances are equal.
 Chapter 7: MIXED-FREQUENCY AC SIGNALS
Introduction

In our study of AC circuits thus far, we've explored circuits powered by a single-frequency sine voltage
waveform. In many applications of electronics, though, single-frequency signals are the exception rather than
the rule. Quite often we may encounter circuits where multiple frequencies of voltage coexist simultaneously.
Also, circuit waveforms may be something other than sine-wave shaped, in which case we call them non-
sinusoidal waveforms.

Additionally, we may encounter situations where DC is mixed with AC: where a waveform is superimposed on a
steady (DC) signal. The result of such a mix is a signal varying in intensity, but never changing polarity, or
changing polarity asymmetrically (spending more time positive than negative, for example). Since DC does not
alternate as AC does, its "frequency" is said to be zero, and any signal containing DC along with a signal of
varying intensity (AC) may be rightly called a mixed-frequency signal as well. In any of these cases where
there is a mix of frequencies in the same circuit, analysis is more complex than what we've seen up to this
point.

Sometimes mixed-frequency voltage and current signals are created accidentally. This may be the result of
unintended connections between circuits -- called coupling -- made possible by stray capacitance and/or
inductance between the conductors of those circuits. A classic example of coupling phenomenon is seen
frequently in industry where DC signal wiring is placed in close proximity to AC power wiring. The nearby
presence of high AC voltages and currents may cause "foreign" voltages to be impressed upon the length of
the signal wiring. Stray capacitance formed by the electrical insulation separating power conductors from signal
conductors may cause voltage (with respect to earth ground) from the power conductors to be impressed upon
the signal conductors, while stray inductance formed by parallel runs of wire in conduit may cause current from
the power conductors to electromagnetically induce voltage along the signal conductors. The result is a mix of
DC and AC at the signal load. The following schematic shows how an AC "noise" source may "couple" to a DC
circuit through mutual inductance (Mstray) and capacitance (Cstray) along the length of the conductors.

When stray AC voltages from a "noise" source mix with DC signals conducted along signal wiring, the results
are usually undesirable. For this reason, power wiring and low-level signal wiring should always be routed
through separated, dedicated metal conduit, and signals should be conducted via 2-conductor "twisted pair"
cable rather than through a single wire and ground connection:
The grounded cable shield -- a wire braid or metal foil wrapped around the two insulated conductors -- isolates
both conductors from electrostatic (capacitive) coupling by blocking any external electric fields, while the
parallal proximity of the two conductors effectively cancels any electromagnetic (mutually inductive) coupling
because any induced noise voltage will be approximately equal in magnitude and opposite in phase along both
conductors, canceling each other at the receiving end for a net (differential) noise voltage of almost zero.
Polarity marks placed near each inductive portion of signal conductor length shows how the induced voltages
are phased in such a way as to cancel one another.

Coupling may also occur between two sets of conductors carrying AC signals, in which case both signals may
become "mixed" with each other:

Coupling is but one example of how signals of different frequencies may become mixed. Whether it be AC
mixed with DC, or two AC signals mixing with each other, signal coupling via stray inductance and capacitance
is usually accidental and undesired. In other cases, mixed-frequency signals are the result of intentional design
or they may be an intrinsic quality of a signal. It is generally quite easy to create mixed-frequency signal
sources. Perhaps the easiest way is to simply connect voltage sources in series:
Some computer communications networks operate on the principle of superimposing high-frequency voltage
signals along 60 Hz power-line conductors, so as to convey computer data along existing lengths of power
cabling. This technique has been used for years in electric power distribution networks to communicate load
data along high-voltage power lines. Certainly these are examples of mixed-frequency AC voltages, under
conditions that are deliberately established.

In some cases, mixed-frequency signals may be produced by a single voltage source. Such is the case with
microphones, which convert audio-frequency air pressure waves into corresponding voltage waveforms. The
particular mix of frequencies in the voltage signal output by the microphone is dependent on the sound being
reproduced. If the sound waves consist of a single, pure note or tone, the voltage waveform will likewise be a
sine wave at a single frequency. If the sound wave is a chord or other harmony of several notes, the resulting
voltage waveform produced by the microphone will consist of those frequencies mixed together. Very few
natural sounds consist of single, pure sine wave vibrations but rather are a mix of different frequency
vibrations at different amplitudes.

Musical chords are produced by blending one frequency with other frequencies of particular fractional multiples
of the first. However, investigating a little further, we find that even a single piano note (produced by a
plucked string) consists of one predominant frequency mixed with several other frequencies, each frequency a
whole-number multiple of the first (called harmonics, while the first frequency is called the fundamental). An
illustration of these terms is shown below with a fundamental frequency of 1000 Hz (an arbitrary figure chosen
for this example), each of the frequency multiples appropriately labeled:

FOR A "BASE" FREQUENCY OF 1000 Hz:

Frequency (Hz) Term
-------------------------------------------
1000 --------- 1st harmonic, or fundamental
2000 --------- 2nd harmonic
3000 --------- 3rd harmonic
4000 --------- 4th harmonic
5000 --------- 5th harmonic
6000 --------- 6th harmonic
7000 --------- 7th harmonic
ad infinitum
Sometimes the term "overtone" is used to describe the a harmonic frequency produced by a musical
instrument. The "first" overtone is the first harmonic frequency greater than the fundamental. If we had an
instrument producing the entire range of harmonic frequencies shown in the table above, the first overtone
would be 2000 Hz (the 2nd harmonic), while the second overtone would be 3000 Hz (the 3rd harmonic), etc.
However, this application of the term "overtone" is specific to particular instruments.

It so happens that certain instruments are incapable of producing certain types of harmonic frequencies. For
example, an instrument made from a tube that is open on one end and closed on the other (such as a bottle,
which produces sound when air is blown across the opening) is incapable of producing even-numbered
harmonics. Such an instrument set up to produce a fundamental frequency of 1000 Hz would also produce
frequencies of 3000 Hz, 5000 Hz, 7000 Hz, etc, but would not produce 2000 Hz, 4000 Hz, 6000 Hz, or any
other even-multiple frequencies of the fundamental. As such, we would say that the first overtone (the first
frequency greater than the fundamental) in such an instrument would be 3000 Hz (the 3rd harmonic), while
the second overtone would be 5000 Hz (the 5th harmonic), and so on.

A pure sine wave (single frequency), being entirely devoid of any harmonics, sounds very "flat" and
"featureless" to the human ear. Most musical instruments are incapable of producing sounds this simple. What
gives each instrument its distinctive tone is the same phenomenon that gives each person a distinctive voice:
the unique blending of harmonic waveforms with each fundamental note, described by the physics of motion
for each unique object producing the sound.

Brass instruments do not possess the same "harmonic content" as woodwind instruments, and neither produce
the same harmonic content as stringed instruments. A distinctive blend of frequencies is what gives a musical
instrument its characteristic tone. As anyone who has played guitar can tell you, steel strings have a different
sound than nylon strings. Also, the tone produced by a guitar string changes depending on where along its
length it is plucked. These differences in tone, as well, are a result of different harmonic content produced by
differences in the mechanical vibrations of an instrument's parts. All these instruments produce harmonic
frequencies (whole-number multiples of the fundamental frequency) when a single note is played, but the
relative amplitudes of those harmonic frequencies are different for different instruments. In musical terms, the
measure of a tone's harmonic content is called timbre or color.

Musical tones become even more complex when the resonating element of an instrument is a two-dimensional
surface rather than a one-dimensional string. Instruments based on the vibration of a string (guitar, piano,
banjo, lute, dulcimer, etc.) or of a column of air in a tube (trumpet, flute, clarinet, tuba, pipe organ, etc.) tend
to produce sounds composed of a single frequency (the "fundamental") and a mix of harmonics. Instruments
based on the vibration of a flat plate (steel drums, and some types of bells), however, produce a much broader
range of frequencies, not limited to whole-number multiples of the fundamental. The result is a distinctive tone
that some people find acoustically offensive.

As you can see, music provides a rich field of study for mixed frequencies and their effects. Later sections of
this chapter will refer to musical instruments as sources of waveforms for analysis in more detail.

• REVIEW:
• A sinusoidal waveform is one shaped exactly like a sine wave.
• A non-sinusoidal waveform can be anything from a distorted sine-wave shape to something
completely different like a square wave.
• Mixed-frequency waveforms can be accidently created, purposely created, or simply exist out of
necessity. Most musical tones, for instance, are not composed of a single frequency sine-wave, but
are rich blends of different frequencies.
• When multiple sine waveforms are mixed together (as is often the case in music), the lowest
frequency sine-wave is called the fundamental, and the other sine-waves whose frequencies are
whole-number multiples of the fundamental wave are called harmonics.
• An overtone is a harmonic produced by a particular device. The "first" overtone is the first frequency
greater than the fundamental, while the "second" overtone is the next greater frequency produced.
Successive overtones may or may not correspond to incremental harmonics, depending on the device
producing the mixed frequencies. Some devices and systems do not permit the establishment of
certain harmonics, and so their overtones would only include some (not all) harmonic frequencies.

Square wave signals

It has been found that any repeating, non-sinusoidal waveform can be equated to a combination of DC voltage,
sine waves, and/or cosine waves (sine waves with a 90 degree phase shift) at various amplitudes and
frequencies. This is true no matter how strange or convoluted the waveform in question may be. So long as it
repeats itself regularly over time, it is reducible to this series of sinusoidal waves. In particular, it has been
found that square waves are mathematically equivalent to the sum of a sine wave at that same frequency, plus
an infinite series of odd-multiple frequency sine waves at diminishing amplitude:

This truth about waveforms at first may seem too strange to believe. However, if a square wave is actually an
infinite series of sine wave harmonics added together, it stands to reason that we should be able to prove this
by adding together several sine wave harmonics to produce a close approximation of a square wave. This
reasoning is not only sound, but easily demonstrated with SPICE.

The circuit we'll be simulating is nothing more than several sine wave AC voltage sources of the proper
amplitudes and frequencies connected together in series. We'll use SPICE to plot the voltage waveforms across
successive additions of voltage sources, like this:
In this particular SPICE simulation, I've summed the 1st, 3rd, 5th, 7th, and 9th harmonic voltage sources in
series for a total of five AC voltage sources. The fundamental frequency is 50 Hz and each harmonic is, of
course, an integer multiple of that frequency. The amplitude (voltage) figures are not random numbers; rather,
they have been arrived at through the equations shown in the frequency series (the fraction 4/π multiplied by
1, 1/3, 1/5, 1/7, etc. for each of the increasing odd harmonics).

building a squarewave
v1 1 0 sin (0 1.27324 50 0 0) 1st harmonic (50 Hz)
v3 2 1 sin (0 424.413m 150 0 0) 3rd harmonic
v5 3 2 sin (0 254.648m 250 0 0) 5th harmonic
v7 4 3 sin (0 181.891m 350 0 0) 7th harmonic
v9 5 4 sin (0 141.471m 450 0 0) 9th harmonic
r1 5 0 10k
.tran 1m 20m
.plot tran v(1,0) Plot 1st harmonic
.plot tran v(2,0) Plot 1st + 3rd harmonics
.plot tran v(3,0) Plot 1st + 3rd + 5th harmonics
.plot tran v(4,0) Plot 1st + 3rd + 5th + 7th harmonics
.plot tran v(5,0) Plot 1st + . . . + 9th harmonics
.end

I'll narrate the analysis step by step from here, explaining what it is we're looking at. In this first plot, we see
the fundamental-frequency sine-wave of 50 Hz by itself. It is nothing but a pure sine shape, with no additional
harmonic content. This is the kind of waveform produced by an ideal AC power source:

time v(1) -1.000E+00 0.000E+00 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
1.000E-03 3.915E-01 . . . * . .
2.000E-03 7.414E-01 . . . * . .
3.000E-03 1.020E+00 . . . * .
4.000E-03 1.199E+00 . . . . * .
5.000E-03 1.261E+00 . . . . * .
6.000E-03 1.199E+00 . . . . * .
7.000E-03 1.020E+00 . . . * .
8.000E-03 7.405E-01 . . . * . .
9.000E-03 3.890E-01 . . . * . .
1.000E-02 -5.819E-04 . . * . .
1.100E-02 -3.901E-01 . . * . . .
1.200E-02 -7.414E-01 . . * . . .
1.300E-02 -1.020E+00 . * . . .
1.400E-02 -1.199E+00 . * . . . .
1.500E-02 -1.261E+00 . * . . . .
1.600E-02 -1.199E+00 . * . . . .
1.700E-02 -1.020E+00 . * . . .
1.800E-02 -7.405E-01 . . * . . .
1.900E-02 -3.890E-01 . . * . . .
2.000E-02 5.819E-04 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Next, we see what happens when this clean and simple waveform is combined with the third harmonic (three
times 50 Hz, or 150 Hz). Suddenly, it doesn't look like a clean sine wave any more:

time v(2) -1.000E+00 0.000E+00 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
1.000E-03 7.199E-01 . . . * . .
2.000E-03 1.108E+00 . . . . * .
3.000E-03 1.135E+00 . . . . * .
4.000E-03 9.672E-01 . . . * .
5.000E-03 8.731E-01 . . . * . .
6.000E-03 9.751E-01 . . . * .
7.000E-03 1.144E+00 . . . . * .
8.000E-03 1.111E+00 . . . . * .
9.000E-03 6.995E-01 . . . * . .
1.000E-02 -5.697E-03 . . * . .
1.100E-02 -7.066E-01 . . * . . .
1.200E-02 -1.108E+00 . * . . . .
1.300E-02 -1.135E+00 . * . . . .
1.400E-02 -9.672E-01 . * . . .
1.500E-02 -8.731E-01 . . * . . .
1.600E-02 -9.751E-01 . * . . .
1.700E-02 -1.144E+00 . * . . . .
1.800E-02 -1.111E+00 . * . . . .
1.900E-02 -6.995E-01 . . * . . .
2.000E-02 5.697E-03 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The rise and fall times between positive and negative cycles are much steeper now, and the crests of the wave
are closer to becoming flat like a squarewave. Watch what happens as we add the next odd harmonic
frequency:

time v(3)
time v(3) -1.000E+00 0.000E+00 1.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
1.000E-03 9.436E-01 . . . *. .
2.000E-03 1.095E+00 . . . .* .
3.000E-03 9.388E-01 . . . *. .
4.000E-03 9.807E-01 . . . * .
5.000E-03 1.069E+00 . . . .* .
6.000E-03 9.616E-01 . . . *. .
7.000E-03 9.479E-01 . . . *. .
8.000E-03 1.124E+00 . . . . * .
9.000E-03 8.957E-01 . . . *. .
1.000E-02 -1.925E-02 . . * . .
1.100E-02 -9.029E-01 . .* . . .
1.200E-02 -1.095E+00 . *. . . .
1.300E-02 -9.388E-01 . .* . . .
1.400E-02 -9.807E-01 . * . . .
1.500E-02 -1.069E+00 . *. . . .
1.600E-02 -9.616E-01 . .* . . .
1.700E-02 -9.479E-01 . .* . . .
1.800E-02 -1.124E+00 . * . . . .
1.900E-02 -8.957E-01 . .* . . .
2.000E-02 1.925E-02 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The most noticeable change here is how the crests of the wave have flattened even more. There are more
several dips and crests at each end of the wave, but those dips and crests are smaller in amplitude than they
were before. Watch again as we add the next odd harmonic waveform to the mix:

time v(4) -1.000E+00 0.000E+00 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
1.000E-03 1.055E+00 . . . .* .
2.000E-03 9.861E-01 . . . * .
3.000E-03 9.952E-01 . . . * .
4.000E-03 1.023E+00 . . . * .
5.000E-03 9.631E-01 . . . *. .
6.000E-03 1.044E+00 . . . .* .
7.000E-03 9.572E-01 . . . *. .
8.000E-03 1.031E+00 . . . * .
9.000E-03 9.962E-01 . . . * .
1.000E-02 -4.396E-02 . . *. . .
1.100E-02 -9.743E-01 . * . . .
1.200E-02 -9.861E-01 . * . . .
1.300E-02 -9.952E-01 . * . . .
1.400E-02 -1.023E+00 . * . . .
1.500E-02 -9.631E-01 . .* . . .
1.600E-02 -1.044E+00 . *. . . .
1.700E-02 -9.572E-01 . .* . . .
1.800E-02 -1.031E+00 . * . . .
1.900E-02 -9.962E-01 . * . . .
2.000E-02 4.396E-02 . . .* . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Here we can see the wave becoming flatter at each peak. Finally, adding the 9th harmonic, the fifth sine wave
voltage source in our circuit, we obtain this result:
time v(5) -1.000E+00 0.000E+00 1.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
1.000E-03 1.079E+00 . . . .* .
2.000E-03 9.845E-01 . . . * .
3.000E-03 1.017E+00 . . . * .
4.000E-03 9.835E-01 . . . * .
5.000E-03 1.017E+00 . . . * .
6.000E-03 9.814E-01 . . . * .
7.000E-03 1.023E+00 . . . * .
8.000E-03 9.691E-01 . . . * .
9.000E-03 1.048E+00 . . . .* .
1.000E-02 -8.103E-02 . . *. . .
1.100E-02 -9.557E-01 . .* . . .
1.200E-02 -9.845E-01 . * . . .
1.300E-02 -1.017E+00 . * . . .
1.400E-02 -9.835E-01 . * . . .
1.500E-02 -1.017E+00 . * . . .
1.600E-02 -9.814E-01 . * . . .
1.700E-02 -1.023E+00 . * . . .
1.800E-02 -9.691E-01 . * . . .
1.900E-02 -1.048E+00 . *. . . .
2.000E-02 8.103E-02 . . .* . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The end result of adding the first five odd harmonic waveforms together (all at the proper amplitudes, of
course) is a close approximation of a square wave. The point in doing this is to illustrate how we can build a
square wave up from multiple sine waves at different frequencies, to prove that a pure square wave is actually
equivalent to a series of sine waves. When a square wave AC voltage is applied to a circuit with reactive
components (capacitors and inductors), those components react as if they were being exposed to several sine
wave voltages of different frequencies, which in fact they are.

The fact that repeating, non-sinusoidal waves are equivalent to a definite series of additive DC voltage, sine
waves, and/or cosine waves is a consequence of how waves work: a fundamental property of all wave-related
phenomena, electrical or otherwise. The mathematical process of reducing a non-sinusoidal wave into these
constituent frequencies is called Fourier analysis, the details of which are well beyond the scope of this text.
However, computer algorithms have been created to perform this analysis at high speeds on real waveforms,
and its application in AC power quality and signal analysis is widespread.

SPICE has the ability to sample a waveform and reduce it into its constituent sine wave harmonics by way of a
Fourier Transform algorithm, outputting the frequency analysis as a table of numbers. Let's try this on a square
wave, which we already know is composed of odd-harmonic sine waves:

squarewave analysis netlist

v1 1 0 pulse (-1 1 0 .1m .1m 10m 20m)
r1 1 0 10k
.tran 1m 40m
.plot tran v(1,0)
.four 50 v(1,0)
.end

The pulse option in the netlist line describing voltage source v1 instructs SPICE to simulate a square-shaped
"pulse" waveform, in this case one that is symmetrical (equal time for each half-cycle) and has a peak
amplitude of 1 volt. First we'll plot the square wave to be analyzed:
time v(1) -1 -0.5 0 0.5 1
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 -1.000E+00 * . . . .
1.000E-03 1.000E+00 . . . . *
2.000E-03 1.000E+00 . . . . *
3.000E-03 1.000E+00 . . . . *
4.000E-03 1.000E+00 . . . . *
5.000E-03 1.000E+00 . . . . *
6.000E-03 1.000E+00 . . . . *
7.000E-03 1.000E+00 . . . . *
8.000E-03 1.000E+00 . . . . *
9.000E-03 1.000E+00 . . . . *
1.000E-02 1.000E+00 . . . . *
1.100E-02 -1.000E+00 * . . . .
1.200E-02 -1.000E+00 * . . . .
1.300E-02 -1.000E+00 * . . . .
1.400E-02 -1.000E+00 * . . . .
1.500E-02 -1.000E+00 * . . . .
1.600E-02 -1.000E+00 * . . . .
1.700E-02 -1.000E+00 * . . . .
1.800E-02 -1.000E+00 * . . . .
1.900E-02 -1.000E+00 * . . . .
2.000E-02 -1.000E+00 * . . . .
2.100E-02 1.000E+00 . . . . *
2.200E-02 1.000E+00 . . . . *
2.300E-02 1.000E+00 . . . . *
2.400E-02 1.000E+00 . . . . *
2.500E-02 1.000E+00 . . . . *
2.600E-02 1.000E+00 . . . . *
2.700E-02 1.000E+00 . . . . *
2.800E-02 1.000E+00 . . . . *
2.900E-02 1.000E+00 . . . . *
3.000E-02 1.000E+00 . . . . *
3.100E-02 -1.000E+00 * . . . .
3.200E-02 -1.000E+00 * . . . .
3.300E-02 -1.000E+00 * . . . .
3.400E-02 -1.000E+00 * . . . .
3.500E-02 -1.000E+00 * . . . .
3.600E-02 -1.000E+00 * . . . .
3.700E-02 -1.000E+00 * . . . .
3.800E-02 -1.000E+00 * . . . .
3.900E-02 -1.000E+00 * . . . .
4.000E-02 -1.000E+00 * . . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Next, we'll print the Fourier analysis generated by SPICE for this square wave:

fourier components of transient response v(1)

dc component = -2.439E-02
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 5.000E+01 1.274E+00 1.000000 -2.195 0.000
2 1.000E+02 4.892E-02 0.038415 -94.390 -92.195
3 1.500E+02 4.253E-01 0.333987 -6.585 -4.390
4 2.000E+02 4.936E-02 0.038757 -98.780 -96.585
5 2.500E+02 2.562E-01 0.201179 -10.976 -8.780
6 3.000E+02 5.010E-02 0.039337 -103.171 -100.976
7 3.500E+02 1.841E-01 0.144549 -15.366 -13.171
8 4.000E+02 5.116E-02 0.040175 -107.561 -105.366
9 4.500E+02 1.443E-01 0.113316 -19.756 -17.561
total harmonic distortion = 43.805747 percent

Here, SPICE has broken the waveform down into a spectrum of sinusoidal frequencies up to the ninth
harmonic, plus a small DC voltage labelled DC component. I had to inform SPICE of the fundamental
frequency (for a square wave with a 20 millisecond period, this frequency is 50 Hz), so it knew how to classify
the harmonics. Note how small the figures are for all the even harmonics (2nd, 4th, 6th, 8th), and how the
amplitudes of the odd harmonics diminish (1st is largest, 9th is smallest).

This same technique of "Fourier Transformation" is often used in computerized power instrumentation,
sampling the AC waveform(s) and determining the harmonic content thereof. A common computer algorithm
(sequence of program steps to perform a task) for this is the Fast Fourier Transform or FFT function. You need
not be concerned with exactly how these computer routines work, but be aware of their existence and
application.

This same mathematical technique used in SPICE to analyze the harmonic content of waves can be applied to
the technical analysis of music: breaking up any particular sound into its constituent sine-wave frequencies. In
fact, you may have already seen a device designed to do just that without realizing what it was! A graphic
equalizer is a piece of high-fidelity stereo equipment that controls (and sometimes displays) the nature of
music's harmonic content. Equipped with several knobs or slide levers, the equalizer is able to selectively
attenuate (reduce) the amplitude of certain frequencies present in music, to "customize" the sound for the
listener's benefit. Typically, there will be a "bar graph" display next to each control lever, displaying the
amplitude of each particular frequency.

A device built strictly to display -- not control -- the amplitudes of each frequency range for a mixed-frequency
signal is typically called a spectrum analyzer. The design of spectrum analyzers may be as simple as a set of
"filter" circuits (see the next chapter for details) designed to separate the different frequencies from each
other, or as complex as a special-purpose digital computer running an FFT algorithm to mathematically split
the signal into its harmonic components. Spectrum analyzers are often designed to analyze extremely high-
frequency signals, such as those produced by radio transmitters and computer network hardware. In that form,
they often have an appearance like that of an oscilloscope:
Like an oscilloscope, the spectrum analyzer uses a CRT (or a computer display mimicking a CRT) to display a
plot of the signal. Unlike an oscilloscope, this plot is amplitude over frequency rather than amplitude over time.
In essence, a frequency analyzer gives the operator a Bode plot of the signal: something an engineer might
call a frequency-domain rather than a time-domain analysis.

The term "domain" is mathematical: a sophisticated word to describe the horizontal axis of a graph. Thus, an
oscilloscope's plot of amplitude (vertical) over time (horizontal) is a "time-domain" analysis, whereas a
spectrum analyzer's plot of amplitude (vertical) over frequency (horizontal) is a "frequency-domain" analysis.
When we use SPICE to plot signal amplitude (either voltage or current amplitude) over a range of frequencies,
we are performing frequency-domain analysis.

Please take note of how the Fourier analysis from the last SPICE simulation isn't "perfect." Ideally, the
amplitudes of all the even harmonics should be absolutely zero, and so should the DC component. Again, this
is not so much a quirk of SPICE as it is a property of waveforms in general. A waveform of infinite duration
(infinite number of cycles) can be analyzed with absolute precision, but the less cycles available to the
computer for analysis, the less precise the analysis. It is only when we have an equation describing a
waveform in its entirety that Fourier analysis can reduce it to a definite series of sinusoidal waveforms. The
fewer times that a wave cycles, the less certain its frequency is. Taking this concept to its logical extreme, a
short pulse -- a waveform that doesn't even complete a cycle -- actually has no frequency, but rather acts as
an infinite range of frequencies. This principle is common to all wave-based phenomena, not just AC voltages
and currents.

Suffice it to say that the number of cycles and the certainty of a waveform's frequency component(s) are
directly related. We could improve the precision of our analysis here by letting the wave oscillate on and on for
many cycles, and the result would be a spectrum analysis more consistent with the ideal. In the following
analysis, I've omitted the waveform plot for brevity's sake -- it's just a really long square wave:

squarewave
v1 1 0 pulse (-1 1 0 .1m .1m 10m 20m)
r1 1 0 10k
.option limpts=1001
.tran 1m 1
.plot tran v(1,0)
.four 50 v(1,0)
.end

fourier components of transient response v(1)

dc component = 9.999E-03
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 5.000E+01 1.273E+00 1.000000 -1.800 0.000
2 1.000E+02 1.999E-02 0.015704 86.382 88.182
3 1.500E+02 4.238E-01 0.332897 -5.400 -3.600
4 2.000E+02 1.997E-02 0.015688 82.764 84.564
5 2.500E+02 2.536E-01 0.199215 -9.000 -7.200
6 3.000E+02 1.994E-02 0.015663 79.146 80.946
7 3.500E+02 1.804E-01 0.141737 -12.600 -10.800
8 4.000E+02 1.989E-02 0.015627 75.529 77.329
9 4.500E+02 1.396E-01 0.109662 -16.199 -14.399

Notice how this analysis shows less of a DC component voltage and lower amplitudes for each of the even
harmonic frequency sine waves, all because we let the computer sample more cycles of the wave. Again, the
imprecision of the first analysis is not so much a flaw in SPICE as it is a fundamental property of waves and of
signal analysis.

• REVIEW:
• Square waves are equivalent to a sine wave at the same (fundamental) frequency added to an infinite
series of odd-multiple sine-wave harmonics at decreasing amplitudes.
• Computer algorithms exist which are able to sample waveshapes and determine their constituent
sinusoidal components. The Fourier Transform algorithm (particularly the Fast Fourier Transform, or
FFT) is commonly used in computer circuit simulation programs such as SPICE and in electronic
metering equipment for determining power quality.

Other waveshapes

As strange as it may seem, any repeating, non-sinusoidal waveform is actually equivalent to a series of
sinusoidal waveforms of different amplitudes and frequencies added together. Square waves are a very
common and well-understood case, but not the only one.

Electronic power control devices such as transistors and silicon-controlled rectifiers (SCRs) often produce
voltage and current waveforms that are essentially chopped-up versions of the otherwise "clean" (pure) sine-
wave AC from the power supply. These devices have the ability to suddenly change their resistance with the
application of a control signal voltage or current, thus "turning on" or "turning off" almost instantaneously,
producing current waveforms bearing little resemblance to the source voltage waveform powering the circuit.
These current waveforms then produce changes in the voltage waveform to other circuit components, due to
voltage drops created by the non-sinusoidal current through circuit impedances.

Circuit components that distort the normal sine-wave shape of AC voltage or current are called nonlinear.
Nonlinear components such as SCRs find popular use in power electronics due to their ability to regulate large
amounts of electrical power without dissipating much heat. While this is an advantage from the perspective of
energy efficiency, the waveshape distortions they introduce can cause problems.

These non-sinusoidal waveforms, regardless of their actual shape, are equivalent to a series of sinusoidal
waveforms of higher (harmonic) frequencies. If not taken into consideration by the circuit designer, these
harmonic waveforms created by electronic switching components may cause erratic circuit behavior. It is
becoming increasingly common in the electric power industry to observe overheating of transformers and
motors due to distortions in the sine-wave shape of the AC power line voltage stemming from "switching" loads
such as computers and high-efficiency lights. This is no theoretical exercise: it is very real and potentially very
troublesome.

In this section, I will investigate a few of the more common waveshapes and show their harmonic components
by way of Fourier analysis using SPICE.

One very common way harmonics are generated in an AC power system is when AC is converted, or "rectified"
into DC. This is generally done with components called diodes, which only allow passage current in one
direction. The simplest type of AC/DC rectification is half-wave, where a single diode blocks half of the AC
current (over time) from passing through the load. Oddly enough, the conventional diode schematic symbol is
drawn such that electrons flow against the direction of the symbol's arrowhead:
halfwave rectifier
v1 1 0 sin(0 15 60 0 0)
rload 2 0 10k
d1 1 2 mod1
.model mod1 d
.tran .5m 17m
.plot tran v(1,0) v(2,0)
.four 60 v(1,0) v(2,0)
.end

legend:
*: v(1)
+: v(2)
time v(1)
(*)---------- -20 -10 0 10 20
(+)---------- -5 0 5 10 15
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . + * . .
5.000E-04 2.806E+00 . . + . * . .
1.000E-03 5.483E+00 . . + * . .
1.500E-03 7.929E+00 . . . + *. .
2.000E-03 1.013E+01 . . . +* .
2.500E-03 1.198E+01 . . . . *+ .
3.000E-03 1.338E+01 . . . . * + .
3.500E-03 1.435E+01 . . . . * + .
4.000E-03 1.476E+01 . . . . * +.
4.500E-03 1.470E+01 . . . . * +.
5.000E-03 1.406E+01 . . . . * + .
5.500E-03 1.299E+01 . . . . * + .
6.000E-03 1.139E+01 . . . . x .
6.500E-03 9.455E+00 . . . + *. .
7.000E-03 7.113E+00 . . . + * . .
7.500E-03 4.591E+00 . . + . * . .
8.000E-03 1.841E+00 . . + . * . .
8.500E-03 -9.177E-01 . + *. . .
9.000E-03 -3.689E+00 . + * . . .
9.500E-03 -6.298E+00 . + * . . .
1.000E-02 -8.701E+00 . +* . . .
1.050E-02 -1.079E+01 . *+ . . .
1.100E-02 -1.249E+01 . * + . . .
1.150E-02 -1.377E+01 . * + . . .
1.200E-02 -1.453E+01 . * + . . .
1.250E-02 -1.482E+01 .* + . . .
1.300E-02 -1.452E+01 . * + . . .
1.350E-02 -1.378E+01 . * + . . .
1.400E-02 -1.248E+01 . * + . . .
1.450E-02 -1.081E+01 . *+ . . .
1.500E-02 -8.681E+00 . +* . . .
1.550E-02 -6.321E+00 . + * . . .
1.600E-02 -3.666E+00 . + * . . .
1.650E-02 -9.432E-01 . . + *. . .
1.700E-02 1.865E+00 . . + . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

First, we'll see how SPICE analyzes the source waveform, a pure sine wave voltage:

fourier components of transient response v(1)

dc component = 8.016E-04
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.482E+01 1.000000 -0.005 0.000
2 1.200E+02 2.492E-03 0.000168 -104.347 -104.342
3 1.800E+02 6.465E-04 0.000044 -86.663 -86.658
4 2.400E+02 1.132E-03 0.000076 -61.324 -61.319
5 3.000E+02 1.185E-03 0.000080 -70.091 -70.086
6 3.600E+02 1.092E-03 0.000074 -63.607 -63.602
7 4.200E+02 1.220E-03 0.000082 -56.288 -56.283
8 4.800E+02 1.354E-03 0.000091 -54.669 -54.664
9 5.400E+02 1.467E-03 0.000099 -52.660 -52.655

Notice the extremely small harmonic and DC components of this sinusoidal waveform. Ideally, there would be
nothing but the fundamental frequency showing (being a perfect sine wave), but our Fourier analysis figures
aren't perfect because SPICE doesn't have the luxury of sampling a waveform of infinite duration. Next, we'll
compare this with the Fourier analysis of the half-wave "rectified" voltage across the load resistor:

fourier components of transient response v(2)

dc component = 4.456E+00
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 7.000E+00 1.000000 -0.195 0.000
2 1.200E+02 3.016E+00 0.430849 -89.765 -89.570
3 1.800E+02 1.206E-01 0.017223 -168.005 -167.810
4 2.400E+02 5.149E-01 0.073556 -87.295 -87.100
5 3.000E+02 6.382E-02 0.009117 -152.790 -152.595
6 3.600E+02 1.727E-01 0.024676 -79.362 -79.167
7 4.200E+02 4.492E-02 0.006417 -132.420 -132.224
8 4.800E+02 7.493E-02 0.010703 -61.479 -61.284
9 5.400E+02 4.051E-02 0.005787 -115.085 -114.889

Notice the relatively large even-multiple harmonics in this analysis. By cutting out half of our AC wave, we've
introduced the equivalent of several higher-frequency sinusoidal (actually, cosine) waveforms into our circuit
from the original, pure sine-wave. Also take note of the large DC component: 4.456 volts. Because our AC
voltage waveform has been "rectified" (only allowed to push in one direction across the load rather than back-
and-forth), it behaves a lot more like DC.
Another method of AC/DC conversion is called full-wave, which as you may have guessed utilizes the full cycle
of AC power from the source, reversing the polarity of half the AC cycle to get electrons to flow through the
load the same direction all the time. I won't bore you with details of exactly how this is done, but we can
examine the waveform and its harmonic analysis through SPICE:

fullwave bridge rectifier

v1 1 0 sin(0 15 60 0 0)
rload 2 3 10k
d1 1 2 mod1
d2 0 2 mod1
d3 3 1 mod1
d4 3 0 mod1
.model mod1 d
.tran .5m 17m
.plot tran v(1,0) v(2,3)
.four 60 v(2,3)
.end

legend:
*: v(1)
+: v(2,3)
time v(1)
(*)---------- -20 -10 0.000E+00 1.000E+01
(+)---------- 0.000E+00 5.000E+00 1.000E+01 1.500E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 + . * . .
5.000E-04 2.806E+00 . + . . * . .
1.000E-03 5.483E+00 . +. . * . .
1.500E-03 7.929E+00 . . + . * . .
2.000E-03 1.013E+01 . . + . * .
2.500E-03 1.198E+01 . . . + . * .
3.000E-03 1.338E+01 . . . + . * .
3.500E-03 1.435E+01 . . . + . *.
4.000E-03 1.476E+01 . . . + . *
4.500E-03 1.470E+01 . . . + . *.
5.000E-03 1.406E+01 . . . + . * .
5.500E-03 1.299E+01 . . . + . * .
6.000E-03 1.139E+01 . . + .* .
6.500E-03 9.455E+00 . . + . *. .
7.000E-03 7.113E+00 . . + . * . .
7.500E-03 4.591E+00 . + . . * . .
8.000E-03 1.841E+00 . + . . * . .
8.500E-03 -9.177E-01 . + . *. . .
9.000E-03 -3.689E+00 . + . * . . .
9.500E-03 -6.298E+00 . + * . . .
1.000E-02 -8.701E+00 . . * + . . .
1.050E-02 -1.079E+01 . *. +. . .
1.100E-02 -1.249E+01 . * . . + . .
1.150E-02 -1.377E+01 . * . . + . .
1.200E-02 -1.453E+01 . * . . + . .
1.250E-02 -1.482E+01 . * . . + . .
1.300E-02 -1.452E+01 . * . . + . .
1.350E-02 -1.378E+01 . * . . + . .
1.400E-02 -1.248E+01 . * . . + . .
1.450E-02 -1.081E+01 . *. +. . .
1.500E-02 -8.681E+00 . . * + . . .
1.550E-02 -6.321E+00 . + * . . .
1.600E-02 -3.666E+00 . + . * . . .
1.650E-02 -9.432E-01 . + . *. . .
1.700E-02 1.865E+00 . + . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

fourier components of transient response v(2,3)

dc component = 8.273E+00
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 7.000E-02 1.000000 -93.519 0.000
2 1.200E+02 5.997E+00 85.669415 -90.230 3.289
3 1.800E+02 7.241E-02 1.034465 -93.787 -0.267
4 2.400E+02 1.013E+00 14.465161 -92.492 1.027
5 3.000E+02 7.364E-02 1.052023 -95.026 -1.507
6 3.600E+02 3.337E-01 4.767350 -100.271 -6.752
7 4.200E+02 7.496E-02 1.070827 -94.023 -0.504
8 4.800E+02 1.404E-01 2.006043 -118.839 -25.319
9 5.400E+02 7.457E-02 1.065240 -90.907 2.612

What a difference! According to SPICE's Fourier transform, we have a 2nd harmonic component to this
waveform that's over 85 times the amplitude of the original AC source frequency! The DC component of this
wave shows up as being 8.273 volts (almost twice what is was for the half-wave rectifier circuit) while the
second harmonic is almost 6 volts in amplitude. Notice all the other harmonics further on down the table. The
odd harmonics are actually stronger at some of the higher frequencies than they are at the lower frequencies,
which is interesting.

As you can see, what may begin as a neat, simple AC sine-wave may end up as a complex mess of harmonics
after passing through just a few electronic components. While the complex mathematics behind all this Fourier
transformation is not necessary for the beginning student of electric circuits to understand, it is of the utmost
importance to realize the principles at work and to grasp the practical effects that harmonic signals may have
on circuits. The practical effects of harmonic frequencies in circuits will be explored in the last section of this
chapter, but before we do that we'll take a closer look at waveforms and their respective harmonics.

• REVIEW:
• Any waveform at all, so long as it is repetitive, can be reduced to a series of sinusoidal waveforms
added together. Different waveshapes consist of different blends of sine-wave harmonics.
• Rectification of AC to DC is a very common source of harmonics within industrial power systems.

More on spectrum analysis

Computerized Fourier analysis, particularly in the form of the FFT algorithm, is a powerful tool for furthering
our understanding of waveforms and their related spectral components. This same mathematical routine
programmed into the SPICE simulator as the .fourier option is also programmed into a variety of electronic
test instruments to perform real-time Fourier analysis on measured signals. This section is devoted to the use
of such tools and the analysis of several different waveforms.
First we have a simple sine wave at a frequency of 523.25 Hz. This particular frequency value is a "C" pitch on
a piano keyboard, one octave above "middle C". Actually, the signal measured for this demonstration was
created by an electronic keyboard set to produce the tone of a panflute, the closest instrument "voice" I could
find resembling a perfect sine wave. The plot below was taken from an oscilloscope display, showing signal
amplitude (voltage) over time:

Viewed with an oscilloscope, a sine wave looks like a wavy curve traced horizontally on the screen. The
horizontal axis of this oscilloscope display is marked with the word "Time" and an arrow pointing in the
direction of time's progression. The curve itself, of course, represents the cyclic increase and decrease of
voltage over time.

Close observation reveals imperfections in the sine-wave shape. This, unfortunately, is a result of the specific
equipment used to analyze the waveform. Characteristics like these due to quirks of the test equipment are
technically known as artifacts: phenomena existing solely because of a peculiarity in the equipment used to
perform the experiment.

If we view this same AC voltage on a spectrum analyzer, the result is quite different:

As you can see, the horizontal axis of the display is marked with the word "Frequency," denoting the domain of
this measurement. The single peak on the curve represents the predominance of a single frequency within the
range of frequencies covered by the width of the display. If the scale of this analyzer instrument were marked
with numbers, you would see that this peak occurs at 523.25 Hz. The height of the peak represents the signal
amplitude (voltage).

If we mix three different sine-wave tones together on the electronic keyboard (C-E-G, a C-major chord) and
measure the result, both the oscilloscope display and the spectrum analyzer display reflect this increased
complexity:

The oscilloscope display (time-domain) shows a waveform with many more peaks and valleys than before, a
direct result of the mixing of these three frequencies. As you will notice, some of these peaks are higher than
the peaks of the original single-pitch waveform, while others are lower. This is a result of the three different
waveforms alternately reinforcing and canceling each other as their respective phase shifts change in time.

The spectrum display (frequency-domain) is much easier to interpret: each pitch is represented by its own
peak on the curve. The difference in height between these three peaks is another artifact of the test
equipment: a consequence of limitations within the equipment used to generate and analyze these waveforms,
and not a necessary characteristic of the musical chord itself.

As was stated before, the device used to generate these waveforms is an electronic keyboard: a musical
instrument designed to mimic the tones of many different instruments. The panflute "voice" was chosen for the
first demonstrations because it most closely resembled a pure sine wave (a single frequency on the spectrum
analyzer display). Other musical instrument "voices" are not as simple as this one, though. In fact, the unique
tone produced by any instrument is a function of its waveshape (or spectrum of frequencies). For example,
let's view the signal for a trumpet tone:

The fundamental frequency of this tone is the same as in the first panflute example: 523.25 Hz, one octave
above "middle C." The waveform itself is far from a pure and simple sine-wave form. Knowing that any
repeating, non-sinusoidal waveform is equivalent to a series of sinusoidal waveforms at different amplitudes
and frequencies, we should expect to see multiple peaks on the spectrum analyzer display:

Indeed we do! The fundamental frequency component of 523.25 Hz is represented by the left-most peak, with
each successive harmonic represented as its own peak along the width of the analyzer screen. The second
harmonic is twice the frequency of the fundamental (1046.5 Hz), the third harmonic three times the
fundamental (1569.75 Hz), and so on. This display only shows the first six harmonics, but there are many
more comprising this complex tone.

Trying a different instrument voice (the accordion) on the keyboard, we obtain a similarly complex oscilloscope
(time-domain) plot and spectrum analyzer (frequency-domain) display:
Note the differences in relative harmonic amplitudes (peak heights) on the spectrum displays for trumpet and
accordion. Both instrument tones contain harmonics all the way from 1st (fundamental) to 6th (and beyond!),
but the proportions aren't the same. Each instrument has a unique harmonic "signature" to its tone. Bear in
mind that all this complexity is in reference to a single note played with these two instrument "voices." Multiple
notes played on an accordion, for example, would create a much more complex mixture of frequencies than
what is seen here.

The analytical power of the oscilloscope and spectrum analyzer permit us to derive general rules about
waveforms and their harmonic spectra from real waveform examples. We already know that any deviation from
a pure sine-wave results in the equivalent of a mixture of multiple sine-wave waveforms at different
amplitudes and frequencies. However, close observation allows us to be more specific than this. Note, for
example, the time- and frequency-domain plots for a waveform approximating a square wave:
According to the spectrum analysis, this waveform contains no even harmonics, only odd. Although this display
doesn't show frequencies past the sixth harmonic, the pattern of odd-only harmonics in descending amplitude
continues indefinitely. This should come as no surprise, as we've already seen with SPICE that a square wave
is comprised of an infinitude of odd harmonics. The trumpet and accordion tones, however, contained both
even and odd harmonics. This difference in harmonic content is noteworthy. Let's continue our investigation
with an analysis of a triangle wave:
In this waveform there are practically no even harmonics: the only significant frequency peaks on the
spectrum analyzer display belong to odd-numbered multiples of the fundamental frequency. Tiny peaks can be
seen for the second, fourth, and sixth harmonics, but this is due to imperfections in this particular triangle
waveshape (once again, artifacts of the test equipment used in this analysis). A perfect triangle waveshape
produces no even harmonics, just like a perfect square wave. It should be obvious from inspection that the
harmonic spectrum of the triangle wave is not identical to the spectrum of the square wave: the respective
harmonic peaks are of different heights. However, the two different waveforms are common in their lack of
even harmonics.

Let's examine another waveform, this one very similar to the triangle wave, except that its rise-time is not the
same as its fall-time. Known as a sawtooth wave, its oscilloscope plot reveals it to be aptly named:
When the spectrum analysis of this waveform is plotted, we see a result that is quite different from that of the
regular triangle wave, for this analysis shows the strong presence of even-numbered harmonics (second and
fourth):

The distinction between a waveform having even harmonics versus no even harmonics resides in the difference
between a triangle waveshape and a sawtooth waveshape. That difference is symmetry above and below the
horizontal centerline of the wave. A waveform that is symmetrical above and below its centerline (the shape on
both sides mirror each other precisely) will contain no even-numbered harmonics.
Square waves, triangle waves, and pure sine waves all exhibit this symmetry, and all are devoid of even
harmonics. Waveforms like the trumpet tone, the accordion tone, and the sawtooth wave are unsymmetrical
around their centerlines and therefore do contain even harmonics.

This principle of centerline symmetry should not be confused with symmetry around the zero line. In the
examples shown, the horizontal centerline of the waveform happens to be zero volts on the time-domain
graph, but this has nothing to do with harmonic content. This rule of harmonic content (even harmonics only
with unsymmetrical waveforms) applies whether or not the waveform is shifted above or below zero volts with
a "DC component." For further clarification, I will show the same sets of waveforms, shifted with DC voltage,
and note that their harmonic contents are unchanged.
Again, the amount of DC voltage present in a waveform has nothing to do with that waveform's harmonic
frequency content.

Why is this harmonic rule-of-thumb an important rule to know? It can help us comprehend the relationship
between harmonics in AC circuits and specific circuit components. Since most sources of sine-wave distortion in
AC power circuits tend to be symmetrical, even-numbered harmonics are rarely seen in those applications. This
is good to know if you're a power system designer and are planning ahead for harmonic reduction: you only
have to concern yourself with mitigating the odd harmonic frequencies, even harmonics being practically
nonexistent. Also, if you happen to measure even harmonics in an AC circuit with a spectrum analyzer or
frequency meter, you know that something in that circuit must be unsymmetrically distorting the sine-wave
voltage or current, and that clue may be helpful in locating the source of a problem (look for components or
conditions more likely to distort one half-cycle of the AC waveform more than the other).

Now that we have this rule to guide our interpretation of nonsinusoidal waveforms, it makes more sense that a
waveform like that produced by a rectifier circuit should contain such strong even harmonics, there being no
symmetry at all above and below center.

• REVIEW:
• Waveforms that are symmetrical above and below their horizontal centerlines contain no even-
numbered harmonics.
• The amount of DC "bias" voltage present (a waveform's "DC component") has no impact on that
wave's harmonic frequency content.

Circuit effects

The principle of non-sinusoidal, repeating waveforms being equivalent to a series of sine waves at different
frequencies is a fundamental property of waves in general and it has great practical import in the study of AC
circuits. It means that any time we have a waveform that isn't perfectly sine-wave-shaped, the circuit in
question will react as though it's having an array of different frequency voltages imposed on it at once.

When an AC circuit is subjected to a source voltage consisting of a mixture of frequencies, the components in
that circuit respond to each constituent frequency in a different way. Any reactive component such as a
capacitor or an inductor will simultaneously present a unique amount of impedance to each and every
frequency present in a circuit. Thankfully, the analysis of such circuits is made relatively easy by applying the
Superposition Theorem, regarding the multiple-frequency source as a set of single-frequency voltage sources
connected in series, and analyzing the circuit for one source at a time, summing the results at the end to
determine the aggregate total:

Analyzing circuit for 60 Hz source alone:

Analyzing the circuit for 90 Hz source alone:
Superimposing the voltage drops across R and C, we get:

Because the two voltages across each component are at different frequencies, we cannot consolidate them into
a single voltage figure as we could if we were adding together two voltages of different amplitude and/or phase
angle at the same frequency. Complex number notation give us the ability to represent waveform amplitude
(polar magnitude) and phase angle (polar angle), but not frequency.

What we can tell from this application of the superposition theorem is that there will be a greater 60 Hz voltage
dropped across the capacitor than a 90 Hz voltage. Just the opposite is true for the resistor's voltage drop. This
is worthy to note, especially in light of the fact that the two source voltages are equal. It is this kind of unequal
circuit response to signals of differing frequency that will be our specific focus in the next chapter.

We can also apply the superposition theorem to the analysis of a circuit powered by a non-sinusoidal voltage,
such as a square wave. If we know the Fourier series (multiple sine/cosine wave equivalent) of that wave, we
can regard it as originating from a series-connected string of multiple sinusoidal voltage sources at the
appropriate amplitudes, frequencies, and phase shifts. Needless to say, this can be a laborious task for some
waveforms (an accurate square-wave Fourier Series is considered to be expressed out to the ninth harmonic,
or five sine waves in all!), but it is possible. I mention this not to scare you, but to inform you of the potential
complexity lurking behind seemingly simple waveforms. A real-life circuit will respond just the same to being
powered by a square wave as being powered by an infinite series of sine waves of odd-multiple frequencies
and diminishing amplitudes. This has been known to translate into unexpected circuit resonances, transformer
and inductor core overheating due to eddy currents, electromagnetic noise over broad ranges of the frequency
spectrum, and the like. Technicians and engineers need to be made aware of the potential effects of non-
sinusoidal waveforms in reactive circuits.

Harmonics are known to manifest their effects in the form of electromagnetic radiation as well. Studies have
been performed on the potential hazards of using portable computers aboard passenger aircraft, citing the fact
that computers' high frequency square-wave "clock" voltage signals are capable of generating radio waves that
could interfere with the operation of the aircraft's electronic navigation equipment. It's bad enough that typical
microprocessor clock signal frequencies are within the range of aircraft radio frequency bands, but worse yet is
the fact that the harmonic multiples of those fundamental frequencies span an even larger range, due to the
fact that clock signal voltages are square-wave in shape and not sine-wave.

Electromagnetic "emissions" of this nature can be a problem in industrial applications, too, with harmonics
abounding in very large quantities due to (nonlinear) electronic control of motor and electric furnace power.
The fundamental power line frequency may only be 60 Hz, but those harmonic frequency multiples
theoretically extend into infinitely high frequency ranges. Low frequency power line voltage and current doesn't
radiate into space very well as electromagnetic energy, but high frequencies do.

Also, capacitive and inductive "coupling" caused by close-proximity conductors is usually more severe at high
frequencies. Signal wiring nearby power wiring will tend to "pick up" harmonic interference from the power
wiring to a far greater extent than pure sine-wave interference. This problem can manifest itself in industry
when old motor controls are replaced with new, solid-state electronic motor controls providing greater energy
efficiency. Suddenly there may be weird electrical noise being impressed upon signal wiring that never used to
be there, because the old controls never generated harmonics, and those high-frequency harmonic voltages
and currents tend to inductively and capacitively "couple" better to nearby conductors than any 60 Hz signals
from the old controls used to.
• REVIEW:
• Any regular (repeating), non-sinusoidal waveform is equivalent to a particular series of sine/cosine
waves of different frequencies, phases, and amplitudes, plus a DC offset voltage if necessary. The
mathematical process for determining the sinusoidal waveform equivalent for any waveform is called
Fourier analysis.
• Multiple-frequency voltage sources can be simulated for analysis by connecting several single-
frequency voltage sources in series. Analysis of voltages and currents is accomplished by using the
superposition theorem. NOTE: superimposed voltages and currents of different frequencies cannot be
added together in complex number form, since complex numbers only account for amplitude and
phase shift, not frequency!
• Harmonics can cause problems by impressing unwanted ("noise") voltage signals upon nearby circuits.
These unwanted signals may come by way of capacitive coupling, inductive coupling, electromagnetic
radiation, or a combination thereof.
What is a filter?
It is sometimes desirable to have circuits capable of selectively filtering one frequency or range of frequencies
out of a mix of different frequencies in a circuit. A circuit designed to perform this frequency selection is called
a filter circuit, or simply a filter. A common need for filter circuits is in high-performance stereo systems, where
certain ranges of audio frequencies need to be amplified or suppressed for best sound quality and power
efficiency. You may be familiar with equalizers, which allow the amplitudes of several frequency ranges to be
adjusted to suit the listener's taste and acoustic properties of the listening area. You may also be familiar with
crossover networks, which block certain ranges of frequencies from reaching speakers. A tweeter (high-
frequency speaker) is inefficient at reproducing low-frequency signals such as drum beats, so a crossover
circuit is connected between the tweeter and the stereo's output terminals to block low-frequency signals, only
passing high-frequency signals to the speaker's connection terminals. This gives better audio system efficiency
and thus better performance. Both equalizers and crossover networks are examples of filters, designed to
accomplish filtering of certain frequencies.

Another practical application of filter circuits is in the "conditioning" of non-sinusoidal voltage waveforms in
power circuits. Some electronic devices are sensitive to the presence of harmonics in the power supply voltage,
and so require power conditioning for proper operation. If a distorted sine-wave voltage behaves like a series
of harmonic waveforms added to the fundamental frequency, then it should be possible to construct a filter
circuit that only allows the fundamental waveform frequency to pass through, blocking all (higher-frequency)
harmonics.

We will be studying the design of several elementary filter circuits in this lesson. To reduce the load of math on
the reader, I will make extensive use of SPICE as an analysis tool, displaying Bode plots (amplitude versus
frequency) for the various kinds of filters. Bear in mind, though, that these circuits can be analyzed over
several points of frequency by repeated series-parallel analysis, much like the previous example with two
sources (60 and 90 Hz), if the student is willing to invest a lot of time working and re-working circuit
calculations for each frequency.

• REVIEW:
• A filter is an AC circuit that separates some frequencies from others in within mixed-frequency signals.
• Audio equalizers and crossover networks are two well-known applications of filter circuits.
• A Bode plot is a graph plotting waveform amplitude or phase on one axis and frequency on the other.

Low-pass filters

By definition, a low-pass filter is a circuit offering easy passage to low-frequency signals and difficult passage
to high-frequency signals. There are two basic kinds of circuits capable of accomplishing this objective, and
many variations of each one:

The inductor's impedance increases with increasing frequency. This high impedance in series tends to block
high-frequency signals from getting to the load. This can be demonstrated with a SPICE analysis:

inductive lowpass filter

v1 1 0 ac 1 sin
l1 1 2 3
rload 2 0 1k
.ac lin 20 1 200
.plot ac v(2)
.end

freq v(2) 0.2512 0.3981 0.631 1

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+00 9.998E-01 . . . *
1.147E+01 9.774E-01 . . . *.
2.195E+01 9.240E-01 . . . * .
3.242E+01 8.533E-01 . . . * .
4.289E+01 7.776E-01 . . . * .
5.337E+01 7.050E-01 . . . * .
6.384E+01 6.391E-01 . . * .
7.432E+01 5.810E-01 . . * . .
8.479E+01 5.304E-01 . . * . .
9.526E+01 4.865E-01 . . * . .
1.057E+02 4.485E-01 . . * . .
1.162E+02 4.153E-01 . .* . .
1.267E+02 3.863E-01 . *. . .
1.372E+02 3.607E-01 . * . . .
1.476E+02 3.382E-01 . * . . .
1.581E+02 3.181E-01 . * . . .
1.686E+02 3.002E-01 . * . . .
1.791E+02 2.841E-01 . * . . .
1.895E+02 2.696E-01 . * . . .
2.000E+02 2.564E-01 .* . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage decreases with increasing frequency

The capacitor's impedance decreases with increasing frequency. This low impedance in parallel with the load
resistance tends to short out high-frequency signals, dropping most of the voltage gets across series resistor
R1.

capacitive lowpass filter

v1 1 0 ac 1 sin
r1 1 2 500
c1 2 0 7u
rload 2 0 1k
.ac lin 20 30 150
.plot ac v(2)
.end

freq v(2) 0.3162 0.3981 0.5012 0.631

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
3.000E+01 6.102E-01 . . . . *.
3.632E+01 5.885E-01 . . . . * .
4.263E+01 5.653E-01 . . . . * .
4.895E+01 5.416E-01 . . . . * .
5.526E+01 5.180E-01 . . . .* .
6.158E+01 4.948E-01 . . . *. .
6.789E+01 4.725E-01 . . . * . .
7.421E+01 4.511E-01 . . . * . .
8.053E+01 4.309E-01 . . . * . .
8.684E+01 4.118E-01 . . .* . .
9.316E+01 3.938E-01 . . *. . .
9.947E+01 3.770E-01 . . * . . .
1.058E+02 3.613E-01 . . * . . .
1.121E+02 3.465E-01 . . * . . .
1.184E+02 3.327E-01 . .* . . .
1.247E+02 3.199E-01 . * . . .
1.311E+02 3.078E-01 . * . . . .
1.374E+02 2.965E-01 . * . . . .
1.437E+02 2.859E-01 . * . . . .
1.500E+02 2.760E-01 .* . . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage decreases with increasing frequency

The inductive low-pass filter is the pinnacle of simplicity, with only one component comprising the filter. The
capacitive version of this filter is not that much more complex, with only a resistor and capacitor needed for
operation. However, despite their increased complexity, capacitive filter designs are generally preferred over
inductive because capacitors tend to be "purer" reactive components than inductors and therefore are more
predictable in their behavior. By "pure" I mean that capacitors exhibit little resistive effects than inductors,
making them almost 100% reactive. Inductors, on the other hand, typically exhibit significant dissipative
(resistor-like) effects, both in the long lengths of wire used to make them, and in the magnetic losses of the
core material. Capacitors also tend to participate less in "coupling" effects with other components (generate
and/or receive interference from other components via mutual electric or magnetic fields) than inductors, and
are less expensive.

However, the inductive low-pass filter is often preferred in AC-DC power supplies to filter out the AC "ripple"
waveform created when AC is converted (rectified) into DC, passing only the pure DC component. The primary
reason for this is the requirement of low filter resistance for the output of such a power supply. A capacitive
low-pass filter requires an extra resistance in series with the source, whereas the inductive low-pass filter does
not. In the design of a high-current circuit like a DC power supply where additional series resistance is
undesirable, the inductive low-pass filter is the better design choice. On the other hand, if low weight and
compact size are higher priorities than low internal supply resistance in a power supply design, the capacitive
low-pass filter might make more sense.

All low-pass filters are rated at a certain cutoff frequency. That is, the frequency above which the output
voltage falls below 70.7% of the input voltage. This cutoff percentage of 70.7 is not really arbitrary, all though
it may seem so at first glance. In a simple capacitive/resistive low-pass filter, it is the frequency at which
capacitive reactance in ohms equals resistance in ohms. In a simple capacitive low-pass filter (one resistor, one
capacitor), the cutoff frequency is given as:

Inserting the values of R and C from the last SPICE simulation into this formula, we arrive at a cutoff frequency
of 45.473 Hz. However, when we look at the plot generated by the SPICE simulation, we see the load voltage
well below 70.7% of the source voltage (1 volt) even at a frequency as low as 30 Hz, below the calculated
cutoff point. What's wrong? The problem here is that the load resistance of 1 kΩ affects the frequency
response of the filter, skewing it down from what the formula told us it would be. Without that load resistance
in place, SPICE produces a Bode plot whose numbers make more sense:

capacitive lowpass filter

v1 1 0 ac 1 sin
r1 1 2 500
c1 2 0 7u
* note: no load resistor!
.ac lin 20 40 50
.plot ac v(2)
.end

freq v(2) 0.6607 0.6918 0.7244 0.7586

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
4.000E+01 7.508E-01 . . . * .
4.053E+01 7.465E-01 . . . * .
4.105E+01 7.423E-01 . . . * .
4.158E+01 7.380E-01 . . . * .
4.211E+01 7.338E-01 . . . * .
4.263E+01 7.295E-01 . . . * .
4.316E+01 7.253E-01 . . * .
4.368E+01 7.211E-01 . . *. .
4.421E+01 7.170E-01 . . * . .
4.474E+01 7.129E-01 . . * . .
4.526E+01 7.087E-01 . . * . .
4.579E+01 7.046E-01 . . * . .
4.632E+01 7.006E-01 . . * . .
4.684E+01 6.965E-01 . . * . .
4.737E+01 6.925E-01 . * . .
4.789E+01 6.885E-01 . *. . .
4.842E+01 6.846E-01 . * . . .
4.895E+01 6.806E-01 . * . . .
4.947E+01 6.767E-01 . * . . .
5.000E+01 6.728E-01 . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
At 45.26 Hz, the output voltage is above 70.7 percent;
At 45.79 Hz, the output voltage is below 70.7 percent;
It should be exactly 70.7% at 45.473 Hz!

When dealing with filter circuits, it is always important to note that the response of the filter depends on the
filter's component values and the impedance of the load. If a cutoff frequency equation fails to give
consideration to load impedance, it assumes no load and will fail to give accurate results for a real-life filter
conducting power to a load.

One frequent application of the capacitive low-pass filter principle is in the design of circuits having
components or sections sensitive to electrical "noise." As mentioned at the beginning of the last chapter,
sometimes AC signals can "couple" from one circuit to another via capacitance (Cstray) and/or mutual
inductance (Mstray) between the two sets of conductors. A prime example of this is unwanted AC signals
("noise") becoming impressed on DC power lines supplying sensitive circuits:
The oscilloscope-meter on the left shows the "clean" power from the DC voltage source. After coupling with the
AC noise source via stray mutual inductance and stray capacitance, though, the voltage as measured at the
load terminals is now a mix of AC and DC, the AC being unwanted. Normally, one would expect Eload to be
precisely identical to Esource, because the uninterrupted conductors connecting them should make the two sets
of points electrically common. However, power conductor impedance allows the two voltages to differ, which
means the noise magnitude can vary at different points in the DC system.

If we wish to prevent such "noise" from reaching the DC load, all we need to do is connect a low-pass filter
near the load to block any coupled signals. In its simplest form, this is nothing more than a capacitor
connected directly across the power terminals of the load, the capacitor behaving as a very low impedance to
any AC noise, and shorting it out. Such a capacitor is called a decoupling capacitor:

A cursory glance at a crowded printed-circuit board (PCB) will typically reveal decoupling capacitors scattered
throughout, usually located as close as possible to the sensitive DC loads. Capacitor size is usually 0.1 µF or
more, a minimum amount of capacitance needed to produce a low enough impedance to short out any
noise.Greater capacitance will do a better job at filtering noise, but size and economics limit decoupling
capacitors to meager values.

• REVIEW:
• A low-pass filter allows for easy passage of low-frequency signals from source to load, and difficult
passage of high-frequency signals.
• Inductive low-pass filters insert an inductor in series with the load; capacitive low-pass filters insert a
resistor in series and a capacitor in parallel with the load. The former filter design tries to "block" the
unwanted frequency signal while the latter tries to short it out.
• The cutoff frequency for a low-pass filter is that frequency at which the output (load) voltage equals
70.7% of the input (source) voltage. Above the cutoff frequency, the output voltage is lower than
70.7% of the input, and visa-versa.

High-pass filters

A high-pass filter's task is just the opposite of a low-pass filter: to offer easy passage of a high-frequency
signal and difficult passage to a low-frequency signal. As one might expect, the inductive and capacitive
versions of the high-pass filter are just the opposite of their respective low-pass filter designs:
The capacitor's impedance increases with decreasing frequency. This high impedance in series tends to block
low-frequency signals from getting to load.

capacitive highpass filter

v1 1 0 ac 1 sin
c1 1 2 0.5u
rload 2 0 1k
.ac lin 20 1 200
.plot ac v(2)
.end

freq v(2) 1.000E-03 1.000E-02 1.000E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+00 3.142E-03 . * . . .
1.147E+01 3.602E-02 . . * . .
2.195E+01 6.879E-02 . . * . .
3.242E+01 1.013E-01 . . * .
4.289E+01 1.336E-01 . . . * .
5.337E+01 1.654E-01 . . . * .
6.384E+01 1.966E-01 . . . * .
7.432E+01 2.274E-01 . . . * .
8.479E+01 2.574E-01 . . . * .
9.526E+01 2.867E-01 . . . * .
1.057E+02 3.152E-01 . . . * .
1.162E+02 3.429E-01 . . . * .
1.267E+02 3.698E-01 . . . * .
1.372E+02 3.957E-01 . . . * .
1.476E+02 4.207E-01 . . . * .
1.581E+02 4.448E-01 . . . * .
1.686E+02 4.680E-01 . . . * .
1.791E+02 4.903E-01 . . . * .
1.895E+02 5.116E-01 . . . * .
2.000E+02 5.320E-01 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage increases with increasing frequency
The inductor's impedance decreases with decreasing frequency. This low impedance in parallel tends to short
out low-frequency signals from getting to the load resistor. As a consequence, most of the voltage gets
dropped across series resistor R1.

inductive highpass filter

v1 1 0 ac 1 sin
r1 1 2 200
l1 2 0 100m
rload 2 0 1k
.ac lin 20 1 200
.plot ac v(2)
.end

freq v(2) 1.000E-03 1.000E-02 1.000E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+00 3.142E-03 . * . . .
1.147E+01 3.601E-02 . . * . .
2.195E+01 6.871E-02 . . * . .
3.242E+01 1.011E-01 . . * .
4.289E+01 1.330E-01 . . . * .
5.337E+01 1.644E-01 . . . * .
6.384E+01 1.950E-01 . . . * .
7.432E+01 2.248E-01 . . . * .
8.479E+01 2.537E-01 . . . * .
9.526E+01 2.817E-01 . . . * .
1.057E+02 3.086E-01 . . . * .
1.162E+02 3.344E-01 . . . * .
1.267E+02 3.591E-01 . . . * .
1.372E+02 3.828E-01 . . . * .
1.476E+02 4.053E-01 . . . * .
1.581E+02 4.267E-01 . . . * .
1.686E+02 4.470E-01 . . . * .
1.791E+02 4.662E-01 . . . * .
1.895E+02 4.845E-01 . . . * .
2.000E+02 5.017E-01 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage increases with increasing frequency

This time, the capacitive design is the simplest, requiring only one component above and beyond the load.
And, again, the reactive purity of capacitors over inductors tends to favor their use in filter design, especially
with high-pass filters where high frequencies commonly cause inductors to behave strangely due to the skin
effect and electromagnetic core losses.
As with low-pass filters, high-pass filters have a rated cutoff frequency, above which the output voltage
increases above 70.7% of the input voltage. Just as in the case of the capacitive low-pass filter circuit, the
capacitive high-pass filter's cutoff frequency can be found with the same formula:

In the example circuit, there is no resistance other than the load resistor, so that is the value for R in the
formula.

Using a stereo system as a practical example, a capacitor connected in series with the tweeter (treble) speaker
will serve as a high-pass filter, imposing a high impedance to low-frequency bass signals, thereby preventing
that power from being wasted on a speaker inefficient for reproducing such sounds. In like fashion, an inductor
connected in series with the woofer (bass) speaker will serve as a low-pass filter for the low frequencies that
particular speaker is designed to reproduce. In this simple example circuit, the midrange speaker is subjected
to the full spectrum of frequencies from the stereo's output. More elaborate filter networks are sometimes
used, but this should give you the general idea. Also bear in mind that I'm only showing you one channel
(either left or right) on this stereo system. A real stereo would have six speakers: 2 woofers, 2 midranges, and
2 tweeters.

For better performance yet, we might like to have some kind of filter circuit capable of passing frequencies that
are between low (bass) and high (treble) to the midrange speaker so that none of the low- or high-frequency
signal power is wasted on a speaker incapable of efficiently reproducing those sounds. What we would be
looking for is called a band-pass filter, which is the topic of the next section.

• REVIEW:
• A high-pass filter allows for easy passage of high-frequency signals from source to load, and difficult
passage of low-frequency signals.
• Capacitive high-pass filters insert a capacitor in series with the load; inductive high-pass filters insert
a resistor in series and an inductor in parallel with the load. The former filter design tries to "block"
the unwanted frequency signal while the latter tries to short it out.
• The cutoff frequency for a high-pass filter is that frequency at which the output (load) voltage equals
70.7% of the input (source) voltage. Above the cutoff frequency, the output voltage is greater than
70.7% of the input, and visa-versa.
Band-pass filters

There are applications where a particular band, or spread, or frequencies need to be filtered from a wider
range of mixed signals. Filter circuits can be designed to accomplish this task by combining the properties of
low-pass and high-pass into a single filter. The result is called a band-pass filter. Creating a bandpass filter
from a low-pass and high-pass filter can be illustrated using block diagrams:

What emerges from the series combination of these two filter circuits is a circuit that will only allow passage of
those frequencies that are neither too high nor too low. Using real components, here is what a typical
schematic might look like:

capacitive bandpass filter

v1 1 0 ac 1 sin
r1 1 2 200
c1 2 0 2.5u
c2 2 3 1u
rload 3 0 1k
.ac lin 20 100 500
.plot ac v(3)
.end

freq v(3) 4.467E-01 5.012E-01 5.623E-01 6.310E-01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 4.703E-01 . * . . .
1.211E+02 5.155E-01 . . * . .
1.421E+02 5.469E-01 . . * . .
1.632E+02 5.676E-01 . . .* .
1.842E+02 5.801E-01 . . . * .
2.053E+02 5.865E-01 . . . * .
2.263E+02 5.882E-01 . . . * .
2.474E+02 5.864E-01 . . . * .
2.684E+02 5.820E-01 . . . * .
2.895E+02 5.755E-01 . . . * .
3.105E+02 5.676E-01 . . .* .
3.316E+02 5.585E-01 . . *. .
3.526E+02 5.487E-01 . . * . .
3.737E+02 5.384E-01 . . * . .
3.947E+02 5.277E-01 . . * . .
4.158E+02 5.169E-01 . . * . .
4.368E+02 5.060E-01 . .* . .
4.579E+02 4.951E-01 . *. . .
4.789E+02 4.843E-01 . * . . .
5.000E+02 4.736E-01 . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage peaks within narrow frequency range

Band-pass filters can also be constructed using inductors, but as mentioned before, the reactive "purity" of
capacitors gives them a design advantage. If we were to design a bandpass filter using inductors, it might look
something like this:

The fact that the high-pass section comes "first" in this design instead of the low-pass section makes no
difference in its overall operation. It will still filter out all frequencies too high or too low.

While the general idea of combining low-pass and high-pass filters together to make a bandpass filter is sound,
it is not without certain limitations. Because this type of band-pass filter works by relying on either section to
block unwanted frequencies, it can be difficult to design such a filter to allow unhindered passage within the
desired frequency range. Both the low-pass and high-pass sections will always be blocking signals to some
extent, and their combined effort makes for an attenuated (reduced amplitude) signal at best, even at the
peak of the "pass-band" frequency range. Notice the curve peak on the previous SPICE analysis: the load
voltage of this filter never rises above 0.59 volts, although the source voltage is a full volt. This signal
attenuation becomes more pronounced if the filter is designed to be more selective (steeper curve, narrower
band of passable frequencies).

There are other methods to achieve band-pass operation without sacrificing signal strength within the pass-
band. We will discuss those methods a little later in this chapter.

• REVIEW:
• A band-pass filter works to screen out frequencies that are too low or too high, giving easy passage
only to frequencies within a certain range.
• Band-pass filters can be made by stacking a low-pass filter on the end of a high-pass filter, or visa-
versa.
• "Attenuate" means to reduce or diminish in amplitude. When you turn down the volume control on
your stereo, you are "attenuating" the signal being sent to the speakers.

Band-stop filters

Also called band-elimination, band-reject, or notch filters, this kind of filter passes all frequencies above and
below a particular range set by the component values. Not surprisingly, it can be made out of a low-pass and a
high-pass filter, just like the band-pass design, except that this time we connect the two filter sections in
parallel with each other instead of in series.

Constructed using two capacitive filter sections, it looks something like this:

The low-pass filter section is comprised of R1, R2, and C1 in a "T" configuration. The high-pass filter section is
comprised of C2, C3, and R3 in a "T' configuration as well. Together, this arrangement is commonly known as a
"Twin-T" filter, giving sharp response when the component values are chosen in the following ratios:
Given these component ratios, the frequency of maximum rejection (the "notch frequency") can be calculated
as follows:

The impressive band-stopping ability of this filter is illustrated by the following SPICE analysis:

twin-t bandstop filter

v1 1 0 ac 1 sin
r1 1 2 200
c1 2 0 2u
r2 2 3 200
c2 1 4 1u
r3 4 0 100
c3 4 3 1u
rload 3 0 1k
.ac lin 20 200 1.5k
.plot ac v(3)
.end

freq v(3) 1.000E-02 3.162E-02 1.000E-01 3.162E-01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.000E+02 5.400E-01 . . . . *.
2.684E+02 4.512E-01 . . . . * .
3.368E+02 3.686E-01 . . . . * .
4.053E+02 2.946E-01 . . . *. .
4.737E+02 2.290E-01 . . . * . .
5.421E+02 1.707E-01 . . . * . .
6.105E+02 1.185E-01 . . . * . .
6.789E+02 7.134E-02 . . * . . .
7.474E+02 2.832E-02 . *. . . .
8.158E+02 1.126E-02 .* . . . .
8.842E+02 4.796E-02 . . * . . .
9.526E+02 8.222E-02 . . * . . .
1.021E+03 1.144E-01 . . . * . .
1.089E+03 1.447E-01 . . . * . .
1.158E+03 1.734E-01 . . . * . .
1.226E+03 2.007E-01 . . . * . .
1.295E+03 2.267E-01 . . . * . .
1.363E+03 2.515E-01 . . . * . .
1.432E+03 2.752E-01 . . . * . .
1.500E+03 2.980E-01 . . . *. .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

• REVIEW:
 • A band-stop filter works to screen out frequencies that are within a certain range, giving easy passage
only to frequencies outside of that range. Also known as band-elimination, band-reject, or notch
filters.
• Band-stop filters can be made by placing a low-pass filter in parallel with a high-pass filter.
Commonly, both the low-pass and high-pass filter sections are of the "T" configuration, giving the
name "Twin-T" to the band-stop combination.
• The frequency of maximum attenuation is called the notch frequency.

Resonant filters

So far, the filter designs we've concentrated on have employed either capacitors or inductors, but never both
at the same time. We should know by now that combinations of L and C will tend to resonate, and this
property can be exploited in designing band-pass and band-stop filter circuits.

Series LC circuits give minimum impedance at resonance, while parallel LC ("tank") circuits give maximum
impedance at their resonant frequency. Knowing this, we have two basic strategies for designing either band-
pass or band-stop filters.

For band-pass filters, the two basic resonant strategies are this: series LC to pass a signal, or parallel LC to
short a signal. The two schemes will be contrasted and simulated here:

Series LC components pass signal at resonance, and block signals of any other frequencies from getting to the
load.

series resonant bandpass filter

v1 1 0 ac 1 sin
l1 1 2 1
c1 2 3 1u
rload 3 0 1k
.ac lin 20 50 250
.plot ac v(3)
.end

freq v(3) 2.512E-01 3.981E-01 6.310E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
5.000E+01 3.291E-01 . * . . .
6.053E+01 4.063E-01 . .* . .
7.105E+01 4.870E-01 . . * . .
8.158E+01 5.708E-01 . . * . .
9.211E+01 6.564E-01 . . .* .
1.026E+02 7.411E-01 . . . * .
1.132E+02 8.210E-01 . . . * .
1.237E+02 8.910E-01 . . . * .
1.342E+02 9.460E-01 . . . * .
1.447E+02 9.824E-01 . . . *.
1.553E+02 9.988E-01 . . . *
1.658E+02 9.967E-01 . . . *
1.763E+02 9.796E-01 . . . *.
1.868E+02 9.518E-01 . . . * .
1.974E+02 9.174E-01 . . . * .
2.079E+02 8.797E-01 . . . * .
2.184E+02 8.408E-01 . . . * .
2.289E+02 8.026E-01 . . . * .
2.395E+02 7.657E-01 . . . * .
2.500E+02 7.307E-01 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage peaks at resonant frequency (159.15 Hz)

A couple of points to note: see how there is virtually no signal attenuation within the "pass band" (the range of
frequencies near the load voltage peak), unlike the band-pass filters made from capacitors or inductors alone.
Also, since this filter works on the principle of series LC resonance, the resonant frequency of which is
unaffected by circuit resistance, the value of the load resistor will not skew the peak frequency. However,
different values for the load resistor will change the "steepness" of the Bode plot (the "selectivity" of the filter).

The other basic style of resonant band-pass filters employs a tank circuit (parallel LC combination) to short out
signals too high or too low in frequency from getting to the load:

The tank circuit will have a lot of impedance at resonance, allowing the signal to get to the load with minimal
attenuation. Under or over resonant frequency, however, the tank circuit will have a low impedance, shorting
out the signal and dropping most of it across series resistor R1.

parallel resonant bandpass filter

v1 1 0 ac 1 sin
r1 1 2 500
l1 2 0 100m
c1 2 0 10u
rload 2 0 1k
.ac lin 20 50 250
.plot ac v(2)
.end

freq v(2) 3.162E-02 1.000E-01 3.162E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
5.000E+01 6.933E-02 . * . . .
6.053E+01 8.814E-02 . * . . .
7.105E+01 1.100E-01 . .* . .
8.158E+01 1.361E-01 . . * . .
9.211E+01 1.684E-01 . . * . .
1.026E+02 2.096E-01 . . * . .
1.132E+02 2.640E-01 . . * . .
1.237E+02 3.382E-01 . . .* .
1.342E+02 4.392E-01 . . . * .
1.447E+02 5.630E-01 . . . * .
1.553E+02 6.578E-01 . . . * .
1.658E+02 6.432E-01 . . . * .
1.763E+02 5.503E-01 . . . * .
1.868E+02 4.543E-01 . . . * .
1.974E+02 3.792E-01 . . . * .
2.079E+02 3.234E-01 . . * .
2.184E+02 2.816E-01 . . *. .
2.289E+02 2.495E-01 . . * . .
2.395E+02 2.242E-01 . . * . .
2.500E+02 2.038E-01 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Load voltage peaks at resonant frequency (159.15 Hz)

Just like the low-pass and high-pass filter designs relying on a series resistance and a parallel "shorting"
component to attenuate unwanted frequencies, this resonant circuit can never provide full input (source)
voltage to the load. That series resistance will always be dropping some amount of voltage so long as there is a
load resistance connected to the output of the filter.

It should be noted that this form of band-pass filter circuit is very popular in analog radio tuning circuitry, for
selecting a particular radio frequency from the multitudes of frequencies available from the antenna. In most
analog radio tuner circuits, the rotating dial for station selection moves a variable capacitor in a tank circuit.
The variable capacitor and air-core inductor shown in the above photograph of a simple radio comprise the
main elements in the tank circuit filter used to discriminate one radio station's signal from another.

Just as we can use series and parallel LC resonant circuits to pass only those frequencies within a certain
range, we can also use them to block frequencies within a certain range, creating a band-stop filter. Again, we
have two major strategies to follow in doing this, to use either series or parallel resonance. First, we'll look at
the series variety:

When the series LC combination reaches resonance, its very low impedance shorts out the signal, dropping it
across resistor R1 and preventing its passage on to the load.

series resonant bandstop filter

v1 1 0 ac 1 sin
r1 1 2 500
l1 2 3 100m
c1 3 0 10u
rload 2 0 1k
.ac lin 20 70 230
.plot ac v(2)
.end

freq v(2) 1.000E-03 1.000E-02 1.000E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
7.000E+01 3.213E-01 . . . * .
7.842E+01 2.791E-01 . . . * .
8.684E+01 2.401E-01 . . . * .
9.526E+01 2.041E-01 . . . * .
1.037E+02 1.708E-01 . . . * .
1.121E+02 1.399E-01 . . . * .
1.205E+02 1.111E-01 . . .* .
1.289E+02 8.413E-02 . . *. .
1.374E+02 5.887E-02 . . * . .
1.458E+02 3.508E-02 . . * . .
1.542E+02 1.262E-02 . .* . .
1.626E+02 8.644E-03 . *. . .
1.711E+02 2.884E-02 . . * . .
1.795E+02 4.805E-02 . . * . .
1.879E+02 6.638E-02 . . * . .
1.963E+02 8.388E-02 . . *. .
2.047E+02 1.006E-01 . . * .
2.132E+02 1.167E-01 . . .* .
2.216E+02 1.321E-01 . . . * .
2.300E+02 1.469E-01 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Notch frequency = LC resonant frequency (159.15 Hz)

Next, we will examine the parallel resonant band-stop filter:

The parallel LC components present a high impedance at resonant frequency, thereby blocking the signal from
the load at that frequency. Conversely, it passes signals to the load at any other frequencies.

parallel resonant bandstop filter

v1 1 0 ac 1 sin
l1 1 2 100m
c1 1 2 10u
rload 2 0 1k
.ac lin 20 100 200
.plot ac v(2)
.end

freq v(2) 3.162E-02 1.000E-01 3.162E-01 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 9.947E-01 . . . * .
1.053E+02 9.932E-01 . . . * .
1.105E+02 9.911E-01 . . . * .
1.158E+02 9.883E-01 . . . * .
1.211E+02 9.841E-01 . . . * .
1.263E+02 9.778E-01 . . . * .
1.316E+02 9.675E-01 . . . * .
1.368E+02 9.497E-01 . . . *. .
1.421E+02 9.152E-01 . . . *. .
1.474E+02 8.388E-01 . . . * . .
1.526E+02 6.420E-01 . . . * . .
1.579E+02 1.570E-01 . . * . . .
1.632E+02 4.450E-01 . . . * . .
1.684E+02 7.496E-01 . . . * . .
1.737E+02 8.682E-01 . . . * . .
1.789E+02 9.201E-01 . . . *. .
1.842E+02 9.465E-01 . . . *. .
1.895E+02 9.616E-01 . . . * .
1.947E+02 9.710E-01 . . . * .
2.000E+02 9.773E-01 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Notch frequency = LC resonant frequency (159.15 Hz)

Once again, notice how the absence of a series resistor makes for minimum attenuation for all the desired
(passed) signals. The amplitude at the notch frequency, on the other hand, is very low. In other words, this is
a very "selective" filter.

In all these resonant filter designs, the selectivity depends greatly upon the "purity" of the inductance and
capacitance used. If there is any stray resistance (especially likely in the inductor), this will diminish the filter's
ability to finely discriminate frequencies, as well as introduce antiresonant effects that will skew the peak/notch
frequency.

A word of caution to those designing low-pass and high-pass filters is in order at this point. After assessing the
standard RC and LR low-pass and high-pass filter designs, it might occur to a student that a better, more
effective design of low-pass or high-pass filter might be realized by combining capacitive and inductive
elements together like this:
The inductors should block any high frequencies, while the capacitor should short out any high frequencies as
well, both working together to allow only low frequency signals to reach the load.

At first, this seems to be a good strategy, and eliminates the need for a series resistance. However, the more
insightful student will recognize that any combination of capacitors and inductors together in a circuit is likely
to cause resonant effects to happen at a certain frequency. Resonance, as we have seen before, can cause
strange things to happen. Let's plot a SPICE analysis and see what happens over a wide frequency range:

lc lowpass filter
v1 1 0 ac 1 sin
l1 1 2 100m
c1 2 0 1u
l2 2 3 100m
rload 3 0 1k
.ac lin 20 100 1k
.plot ac v(3)
.end

freq v(3) 1.000E-01 3.162E-01 1.000E+00 3.162E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.033E+00 . . * .
1.474E+02 1.074E+00 . . .* .
1.947E+02 1.136E+00 . . . * .
2.421E+02 1.228E+00 . . . * .
2.895E+02 1.361E+00 . . . * .
3.368E+02 1.557E+00 . . . * .
3.842E+02 1.853E+00 . . . * .
4.316E+02 2.308E+00 . . . * .
4.789E+02 2.919E+00 . . . *.
5.263E+02 3.185E+00 . . . *
5.737E+02 2.553E+00 . . . * .
6.211E+02 1.802E+00 . . . * .
6.684E+02 1.298E+00 . . . * .
7.158E+02 9.778E-01 . . * .
7.632E+02 7.650E-01 . . * . .
8.105E+02 6.165E-01 . . * . .
8.579E+02 5.084E-01 . . * . .
9.053E+02 4.268E-01 . . * . .
9.526E+02 3.635E-01 . . * . .
1.000E+03 3.133E-01 . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

What was supposed to be a low-pass filter turns out to be a band-pass filter with a peak somewhere around
526 Hz! The capacitance and inductance in this filter circuit are attaining resonance at that point, creating a
large voltage drop around C1, which is seen at the load, regardless of L2's attenuating influence. The output
voltage to the load at this point actually exceeds the input (source) voltage! A little more reflection reveals that
if L1 and C2 are at resonance, they will impose a very heavy (very low impedance) load on the AC source,
which might not be good either. We'll run the same analysis again, only this time plotting C1's voltage and the
source current along with load voltage:

legend:
*: v(3)
+: v(2)
=: i(v1)
freq v(3)
(*)---------- 1.000E-01 3.162E-01 1.000E+00 3.162E+00
(+)---------- 3.162E-01 1.000E+00 3.162E+00 1.000E+01
(=)---------- 1.000E-03 3.162E-03 1.000E-02 3.162E-02
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.000E+02 1.033E+00 . = + * .
1.474E+02 1.074E+00 . = .+ .* .
1.947E+02 1.136E+00 . = . + . * .
2.421E+02 1.228E+00 . = . + . * .
2.895E+02 1.361E+00 . = . + . * .
3.368E+02 1.557E+00 . .= + . * .
3.842E+02 1.853E+00 . . = + . * .
4.316E+02 2.308E+00 . . = + . * .
4.789E+02 2.919E+00 . . = + *.
5.263E+02 3.185E+00 . . .x *
5.737E+02 2.553E+00 . . +=. * .
6.211E+02 1.802E+00 . . + = . * .
6.684E+02 1.298E+00 . . + = . * .
7.158E+02 9.778E-01 . .+ = * .
7.632E+02 7.650E-01 . + . = * . .
8.105E+02 6.165E-01 . + = * . .
8.579E+02 5.084E-01 . + =. * . .
9.053E+02 4.268E-01 . + = . * . .
9.526E+02 3.635E-01 . + = . * . .
1.000E+03 3.133E-01 . + = * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Sure enough, we see the voltage across C1 and the source current spiking to a high point at the same
frequency where the load voltage is maximum. If we were expecting this filter to provide a simple low-pass
function, we might be disappointed by the results.

Despite this unintended resonance, low-pass filters made up of capacitors and inductors are frequently used as
final stages in AC/DC power supplies to filter the unwanted AC "ripple" voltage out of the DC converted from
AC. Why is this, if this particular filter design possesses a potentially troublesome resonant point?

The answer lies in the selection of filter component sizes and the frequencies encountered from an AC/DC
converter (rectifier). What we're trying to do in an AC/DC power supply filter is separate DC voltage from a
small amount of relatively high-frequency AC voltage. The filter inductors and capacitors are generally quite
large (several Henrys for the inductors and thousands of µF for the capacitors is typical), making the filter's
resonant frequency very, very low. DC of course, has a "frequency" of zero, so there's no way it can make an
LC circuit resonate. The ripple voltage, on the other hand, is a non-sinusoidal AC voltage consisting of a
fundamental frequency at least twice the frequency of the converted AC voltage, with harmonics many times
that in addition. For plug-in-the-wall power supplies running on 60 Hz AC power (60 Hz United States; 50 Hz in
Europe), the lowest frequency the filter will ever see is 120 Hz (100 Hz in Europe), which is well above its
resonant point. Therefore, the potentially troublesome resonant point in a such a filter is completely avoided.
The following SPICE analysis calculates the voltage output (AC and DC) for such a filter, with series DC and AC
(120 Hz) voltage sources providing a rough approximation of the mixed-frequency output of an AC/DC
converter.

ac/dc power supply filter

v1 1 0 ac 1 sin
v2 2 1 dc
l1 2 3 3
c1 3 0 9500u
l2 3 4 2
rload 4 0 1k
.dc v2 12 12 1
.ac lin 1 120 120
.print dc v(4)
.print ac v(4)
.end

v2 v(4)
1.200E+01 1.200E+01 DC voltage at load = 12 volts

freq v(4)
1.200E+02 3.412E-05 AC voltage at load = 34.12 microvolts

With a full 12 volts DC at the load and only 34.12 µV of AC left from the 1 volt AC source imposed across the
load, this circuit design proves itself to be a very effective power supply filter.

The lesson learned here about resonant effects also applies to the design of high-pass filters using both
capacitors and inductors. So long as the desired and undesired frequencies are well to either side of the
resonant point, the filter will work okay. But if any signal of significant magnitude close to the resonant
frequency is applied to the input of the filter, strange things will happen!

• REVIEW:
• Resonant combinations of capacitance and inductance can be employed to create very effective band-
pass and band-stop filters without the need for added resistance in a circuit that would diminish the
passage of desired frequencies.
 •

Summary

As lengthy as this chapter has been up to this point, it only begins to scratch the surface of filter design. A
quick perusal of any advanced filter design textbook is sufficient to prove my point. The mathematics involved
with component selection and frequency response prediction is daunting to say the least -- well beyond the
scope of the beginning electronics student. It has been my intent here to present the basic principles of filter
design with as little math as possible, leaning on the power of the SPICE circuit analysis program to explore
filter performance. The benefit of such computer simulation software cannot be understated, for the beginning
student or for the working engineer.

Circuit simulation software empowers the student to explore circuit designs far beyond the reach of their math
skills. With the ability to generate Bode plots and precise figures, an intuitive understanding of circuit concepts
can be attained, which is something often lost when a student is burdened with the task of solving lengthy
equations by hand. If you are not familiar with the use of SPICE or other circuit simulation programs, take the
time to become so! It will be of great benefit to your study. To see SPICE analyses presented in this book is an
aid to understanding circuits, but to actually set up and analyze your own circuit simulations is a much more
engaging and worthwhile endeavor as a student.

< Back

Chapter 9: TRANSFORMERS

Mutual inductance and basic operation

Suppose we were to wrap a coil of insulated wire around a loop of ferromagnetic material and energize this coil
with an AC voltage source:
As an inductor, we would expect this iron-core coil to oppose the applied voltage with its inductive reactance,
limiting current through the coil as predicted by the equations XL = 2πfL and I=E/X (or I=E/Z). For the
purposes of this example, though, we need to take a more detailed look at the interactions of voltage, current,
and magnetic flux in the device.

Kirchhoff's voltage law describes how the algebraic sum of all voltages in a loop must equal zero. In this
example, we could apply this fundamental law of electricity to describe the respective voltages of the source
and of the inductor coil. Here, as in any one-source, one-load circuit, the voltage dropped across the load must
equal the voltage supplied by the source, assuming zero voltage dropped along the resistance of any
connecting wires. In other words, the load (inductor coil) must produce an opposing voltage equal in
magnitude to the source, in order that it may balance against the source voltage and produce an algebraic loop
voltage sum of zero. From where does this opposing voltage arise? If the load were a resistor, the opposing
voltage would originate from the "friction" of electrons flowing through the resistance of the resistor. With a
perfect inductor (no resistance in the coil wire), the opposing voltage comes from another mechanism: the
reaction to a changing magnetic flux in the iron core.

Michael Faraday discovered the mathematical relationship between magnetic flux (Φ) and induced voltage with
this equation:

The instantaneous voltage (voltage dropped at any instant in time) across a wire coil is equal to the number of
turns of that coil around the core (N) multiplied by the instantaneous rate-of-change in magnetic flux (dΦ/dt)
linking with the coil. Graphed, this shows itself as a set of sine waves (assuming a sinusoidal voltage source),
the flux wave 90o lagging behind the voltage wave:

Magnetic flux through a ferromagnetic material is analogous to current through a conductor: it must be
motivated by some force in order to occur. In electric circuits, this motivating force is voltage (a.k.a.
electromotive force, or EMF). In magnetic "circuits," this motivating force is magnetomotive force, or mmf.
Magnetomotive force (mmf) and magnetic flux (Φ) are related to each other by a property of magnetic
materials known as reluctance (the latter quantity symbolized by a strange-looking letter "R"):
In our example, the mmf required to produce this changing magnetic flux (Φ) must be supplied by a changing
current through the coil. Magnetomotive force generated by an electromagnet coil is equal to the amount of
current through that coil (in amps) multiplied by the number of turns of that coil around the core (the SI unit
for mmf is the amp-turn). Because the mathematical relationship between magnetic flux and mmf is directly
proportional, and because the mathematical relationship between mmf and current is also directly proportional
(no rates-of-change present in either equation), the current through the coil will be in-phase with the flux
wave:

This is why alternating current through an inductor lags the applied voltage waveform by 90o: because that is
what is required to produce a changing magnetic flux whose rate-of-change produces an opposing voltage in-
phase with the applied voltage. Due to its function in providing magnetizing force (mmf) for the core, this
current is sometimes referred to as the magnetizing current.

It should be mentioned that the current through an iron-core inductor is not perfectly sinusoidal (sine-wave
shaped), due to the nonlinear B/H magnetization curve of iron. In fact, if the inductor is cheaply built, using as
little iron as possible, the magnetic flux density might reach high levels (approaching saturation), resulting in a
magnetizing current waveform that looks something like this:

When a ferromagnetic material approaches magnetic flux saturation, disproportionately greater levels of
magnetic field force (mmf) are required to deliver equal increases in magnetic field flux (Φ). Because mmf is
proportional to current through the magnetizing coil (mmf = NI, where "N" is the number of turns of wire in
the coil and "I" is the current through it), the large increases of mmf required to supply the needed increases
in flux results in large increases in coil current. Thus, coil current increases dramatically at the peaks in order
to maintain a flux waveform that isn't distorted, accounting for the bell-shaped half-cycles of the current
waveform in the above plot.

The situation is further complicated by energy losses within the iron core. The effects of hysteresis and eddy
currents conspire to further distort and complicate the current waveform, making it even less sinusoidal and
altering its phase to be lagging slightly less than 90o behind the applied voltage waveform. This coil current
resulting from the sum total of all magnetic effects in the core (dΦ/dt magnetization plus hysteresis losses,
eddy current losses, etc.) is called the exciting current. The distortion of an iron-core inductor's exciting current
may be minimized if it is designed for and operated at very low flux densities. Generally speaking, this requires
a core with large cross-sectional area, which tends to make the inductor bulky and expensive. For the sake of
simplicity, though, we'll assume that our example core is far from saturation and free from all losses, resulting
in a perfectly sinusoidal exciting current.

As we've seen already in the inductors chapter, having a current waveform 90o out of phase with the voltage
waveform creates a condition where power is alternately absorbed and returned to the circuit by the inductor.
If the inductor is perfect (no wire resistance, no magnetic core losses, etc.), it will dissipate zero power.

Let us now consider the same inductor device, except this time with a second coil wrapped around the same
iron core. The first coil will be labeled the primary coil, while the second will be labeled the secondary:

If this secondary coil experiences the same magnetic flux change as the primary (which it should, assuming
perfect containment of the magnetic flux through the common core), and has the same number of turns
around the core, a voltage of equal magnitude and phase to the applied voltage will be induced along its
length. In the following graph, the induced voltage waveform is drawn slightly smaller than the source voltage
waveform simply to distinguish one from the other:
This effect is called mutual inductance: the induction of a voltage in one coil in response to a change in current
in the other coil. Like normal (self-) inductance, it is measured in the unit of Henrys, but unlike normal
inductance it is symbolized by the capital letter "M" rather than the letter "L":

No current will exist in the secondary coil, since it is open-circuited. However, if we connect a load resistor to
it, an alternating current will go through the coil, in phase with the induced voltage (because the voltage
across a resistor and the current through it are always in phase with each other).

At first, one might expect this secondary coil current to cause additional magnetic flux in the core. In fact, it
does not. If more flux were induced in the core, it would cause more voltage to be induced voltage in the
primary coil (remember that e = dΦ/dt). This cannot happen, because the primary coil's induced voltage must
remain at the same magnitude and phase in order to balance with the applied voltage, in accordance with
Kirchhoff's voltage law. Consequently, the magnetic flux in the core cannot be affected by secondary coil
current. However, what does change is the amount of mmf in the magnetic circuit.

Magnetomotive force is produced any time electrons move through a wire. Usually, this mmf is accompanied
by magnetic flux, in accordance with the mmf=ΦR "magnetic Ohm's Law" equation. In this case, though,
additional flux is not permitted, so the only way the secondary coil's mmf may exist is if a counteracting mmf is
generated by the primary coil, of equal magnitude and opposite phase. Indeed, this is what happens, an
alternating current forming in the primary coil -- 180o out of phase with the secondary coil's current -- to
generate this counteracting mmf and prevent additional core flux. Polarity marks and current direction arrows
have been added to the illustration to clarify phase relations:

If you find this process a bit confusing, do not worry. Transformer dynamics is a complex subject. What is
important to understand is this: when an AC voltage is applied to the primary coil, it creates a magnetic flux in
the core, which induces AC voltage in the secondary coil in-phase with the source voltage. Any current drawn
through the secondary coil to power a load induces a corresponding current in the primary coil, drawing current
from the source.

Notice how the primary coil is behaving as a load with respect to the AC voltage source, and how the
secondary coil is behaving as a source with respect to the resistor. Rather than energy merely being alternately
absorbed and returned the primary coil circuit, energy is now being coupled to the secondary coil where it is
delivered to a dissipative (energy-consuming) load. As far as the source "knows," it's directly powering the
resistor. Of course, there is also an additional primary coil current lagging the applied voltage by 90o, just
enough to magnetize the core to create the necessary voltage for balancing against the source (the exciting
current).

We call this type of device a transformer, because it transforms electrical energy into magnetic energy, then
back into electrical energy again. Because its operation depends on electromagnetic induction between two
stationary coils and a magnetic flux of changing magnitude and "polarity," transformers are necessarily AC
devices. Its schematic symbol looks like two inductors (coils) sharing the same magnetic core:

The two inductor coils are easily distinguished in the above symbol. The pair of vertical lines represent an iron
core common to both inductors. While many transformers have ferromagnetic core materials, there are some
that do not, their constituent inductors being magnetically linked together through the air.

The following photograph shows a power transformer of the type used in gas-discharge lighting. Here, the two
inductor coils can be clearly seen, wound around an iron core. While most transformer designs enclose the coils
and core in a metal frame for protection, this particular transformer is open for viewing and so serves its
illustrative purpose well:
Both coils of wire can be seen here with copper-colored varnish insulation. The top coil is larger than the
bottom coil, having a greater number of "turns" around the core. In transformers, the inductor coils are often
referred to as windings, in reference to the manufacturing process where wire is wound around the core
material. As modeled in our initial example, the powered inductor of a transformer is called the primary
winding, while the unpowered coil is called the secondary winding.

In the next photograph, a transformer is shown cut in half, exposing the cross-section of the iron core as well
as both windings. Like the transformer shown previously, this unit also utilizes primary and secondary windings
of differing turn counts. The wire gauge can also be seen to differ between primary and secondary windings.
The reason for this disparity in wire gauge will be made clear in the next section of this chapter. Additionally,
the iron core can be seen in this photograph to be made of many thin sheets (laminations) rather than a solid
piece. The reason for this will also be explained in a later section of this chapter.
It is easy to demonstrate simple transformer action using SPICE, setting up the primary and secondary
windings of the simulated transformer as a pair of "mutual" inductors. The coefficient of magnetic field coupling
is given at the end of the "k" line in the SPICE circuit description, this example being set very nearly at
perfection (1.000). This coefficient describes how closely "linked" the two inductors are, magnetically. The
better these two inductors are magnetically coupled, the more efficient the energy transfer between them
should be.

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 100
l2 3 5 100
** This line tells SPICE that the two inductors
** l1 and l2 are magnetically "linked" together
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 1k
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

Note: the Rbogus resistors are required to satisfy certain quirks of SPICE. The first breaks the otherwise
continuous loop between the voltage source and L1 which would not be permitted by SPICE. The second
provides a path to ground (node 0) from the secondary circuit, necessary because SPICE cannot function with
any ungrounded circuits.

freq v(2) i(v1)

6.000E+01 1.000E+01 9.975E-03 Primary winding

freq v(3,5) i(vi1)

6.000E+01 9.962E+00 9.962E-03 Secondary winding

Note that with equal inductances for both windings (100 Henrys each), the AC voltages and currents are nearly
equal for the two. The difference between primary and secondary currents is the magnetizing current spoken of
earlier: the 90o lagging current necessary to magnetize the core. As is seen here, it is usually very small
compared to primary current induced by the load, and so the primary and secondary currents are almost
equal. What you are seeing here is quite typical of transformer efficiency. Anything less than 95% efficiency is
considered poor for modern power transformer designs, and this transfer of power occurs with no moving parts
or other components subject to wear.

If we decrease the load resistance so as to draw more current with the same amount of voltage, we see that
the current through the primary winding increases in response. Even though the AC power source is not
directly connected to the load resistance (rather, it is electromagnetically "coupled"), the amount of current
drawn from the source will be almost the same as the amount of current that would be drawn if the load were
directly connected to the source. Take a close look at the next two SPICE simulations, showing what happens
with different values of load resistors:

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 100
l2 3 5 100
k l1 l2 0.999
vi1 3 4 ac 0
** Note load resistance value of 200 ohms
rload 4 5 200
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end
freq v(2) i(v1)
6.000E+01 1.000E+01 4.679E-02

freq v(3,5) i(vi1)

6.000E+01 9.348E+00 4.674E-02

Notice how the primary current closely follows the secondary current. In our first simulation, both currents
were approximately 10 mA, but now they are both around 47 mA. In this second simulation, the two currents
are closer to equality, because the magnetizing current remains the same as before while the load current has
increased. Note also how the secondary voltage has decreased some with the heavier (greater current) load.
Let's try another simulation with an even lower value of load resistance (15 Ω):

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 100
l2 3 5 100
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 15
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

freq v(2) i(v1)

6.000E+01 1.000E+01 1.301E-01

freq v(3,5) i(vi1)

6.000E+01 1.950E+00 1.300E-01

Our load current is now 0.13 amps, or 130 mA, which is substantially higher than the last time. The primary
current is very close to being the same, but notice how the secondary voltage has fallen well below the primary
voltage (1.95 volts versus 10 volts at the primary). The reason for this is an imperfection in our transformer
design: because the primary and secondary inductances aren't perfectly linked (a k factor of 0.999 instead of
1.000) there is "stray" or "leakage" inductance. In other words, some of the magnetic field isn't linking with
the secondary coil, and thus cannot couple energy to it:
Consequently, this "leakage" flux merely stores and returns energy to the source circuit via self-inductance,
effectively acting as a series impedance in both primary and secondary circuits. Voltage gets dropped across
this series impedance, resulting in a reduced load voltage: voltage across the load "sags" as load current
increases.

If we change the transformer design to have better magnetic coupling between the primary and secondary
coils, the figures for voltage between primary and secondary windings will be much closer to equality again:

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 100
l2 3 5 100
** Coupling factor = 0.99999 instead of 0.999
k l1 l2 0.99999
vi1 3 4 ac 0
rload 4 5 15
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end
freq v(2) i(v1)
6.000E+01 1.000E+01 6.658E-01

freq v(3,5) i(vi1)

6.000E+01 9.987E+00 6.658E-01

Here we see that our secondary voltage is back to being equal with the primary, and the secondary current is
equal to the primary current as well. Unfortunately, building a real transformer with coupling this complete is
very difficult. A compromise solution is to design both primary and secondary coils with less inductance, the
strategy being that less inductance overall leads to less "leakage" inductance to cause trouble, for any given
degree of magnetic coupling inefficiency. This results in a load voltage that is closer to ideal with the same
(heavy) load and the same coupling factor:

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
** inductance = 1 henry instead of 100 henrys
l1 2 0 1
l2 3 5 1
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 15
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

freq v(2) i(v1)

6.000E+01 1.000E+01 6.664E-01

freq v(3,5) i(vi1)

6.000E+01 9.977E+00 6.652E-01

Simply by using primary and secondary coils of less inductance, the load voltage for this heavy load has been
brought back up to nearly ideal levels (9.977 volts). At this point, one might ask, "If less inductance is all that's
needed to achieve near-ideal performance under heavy load, then why worry about coupling efficiency at all? If
it's impossible to build a transformer with perfect coupling, but easy to design coils with low inductance, then
why not just build all transformers with low-inductance coils and have excellent efficiency even with poor
magnetic coupling?"

The answer to this question is found in another simulation: the same low-inductance transformer, but this time
with a lighter load (1 kΩ instead of 15 Ω):

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 1
l2 3 5 1
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 1k
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

freq v(2) i(v1)

6.000E+01 1.000E+01 2.835E-02

freq v(3,5) i(vi1)

6.000E+01 9.990E+00 9.990E-03

With lower winding inductances, the primary and secondary voltages are closer to being equal, but the primary
and secondary currents are not. In this particular case, the primary current is 28.35 mA while the secondary
current is only 9.990 mA: almost three times as much current in the primary as the secondary. Why is this?
With less inductance in the primary winding, there is less inductive reactance, and consequently a much larger
magnetizing current. A substantial amount of the current through the primary winding merely works to
magnetize the core rather than transfer useful energy to the secondary winding and load.

An ideal transformer with identical primary and secondary windings would manifest equal voltage and current
in both sets of windings for any load condition. In a perfect world, transformers would transfer electrical power
from primary to secondary as smoothly as though the load were directly connected to the primary power
source, with no transformer there at all. However, you can see this ideal goal can only be met if there is
perfect coupling of magnetic flux between primary and secondary windings. Being that this is impossible to
achieve, transformers must be designed to operate within certain expected ranges of voltages and loads in
order to perform as close to ideal as possible. For now, the most important thing to keep in mind is a
transformer's basic operating principle: the transfer of power from the primary to the secondary circuit via
electromagnetic coupling.

• REVIEW:
• Mutual inductance is where the magnetic flux of two or more inductors are "linked" so that voltage is
induced in one coil proportional to the rate-of-change of current in another.
• A transformer is a device made of two or more inductors, one of which is powered by AC, inducing an
AC voltage across the second inductor. If the second inductor is connected to a load, power will be
electromagnetically coupled from the first inductor's power source to that load.
• The powered inductor in a transformer is called the primary winding. The unpowered inductor in a
transformer is called the secondary winding.
• Magnetic flux in the core (Φ) lags 90o behind the source voltage waveform. The current drawn by the
primary coil from the source to produce this flux is called the magnetizing current, and it also lags the
supply voltage by 90o.
• Total primary current in an unloaded transformer is called the exciting current, and is comprised of
magnetizing current plus any additional current necessary to overcome core losses. It is never
perfectly sinusoidal in a real transformer, but may be made more so if the transformer is designed
and operated so that magnetic flux density is kept to a minimum.
• Core flux induces a voltage in any coil wrapped around the core. The induces voltage(s) are ideally in
phase with the primary winding source voltage and share the same waveshape.
• Any current drawn through the secondary winding by a load will be "reflected" to the primary winding
and drawn from the voltage source, as if the source were directly powering a similar load.
Step-up and step-down transformers

Step-up and step-down transformers

So far, we've observed simulations of transformers where the primary and secondary windings were of
identical inductance, giving approximately equal voltage and current levels in both circuits. Equality of voltage
and current between the primary and secondary sides of a transformer, however, is not the norm for all
transformers. If the inductances of the two windings are not equal, something interesting happens:

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 10000
l2 3 5 100
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 1k
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

freq v(2) i(v1)

6.000E+01 1.000E+01 9.975E-05 Primary winding

freq v(3,5) i(vi1)

6.000E+01 9.962E-01 9.962E-04 Secondary winding

Notice how the secondary voltage is approximately ten times less than the primary voltage (0.9962 volts
compared to 10 volts), while the secondary current is approximately ten times greater (0.9962 mA compared
to 0.09975 mA). What we have here is a device that steps voltage down by a factor of ten and current up by a
factor of ten:
This is a very useful device, indeed. With it, we can easily multiply or divide voltage and current in AC circuits.
Indeed, the transformer has made long-distance transmission of electric power a practical reality, as AC
voltage can be "stepped up" and current "stepped down" for reduced wire resistance power losses along power
lines connecting generating stations with loads. At either end (both the generator and at the loads), voltage
levels are reduced by transformers for safer operation and less expensive equipment. A transformer that
increases voltage from primary to secondary (more secondary winding turns than primary winding turns) is
called a step-up transformer. Conversely, a transformer designed to do just the opposite is called a step-down
transformer.

Let's re-examine a photograph shown in the previous section:

This is a step-down transformer, as evidenced by the high turn count of the primary winding and the low turn
count of the secondary. As a step-down unit, this transformer converts high-voltage, low-current power into
low-voltage, high-current power. The larger-gauge wire used in the secondary winding is necessary due to the
increase in current. The primary winding, which doesn't have to conduct as much current, may be made of
smaller-gauge wire.

In case you were wondering, it is possible to operate either of these transformer types backwards (powering
the secondary winding with an AC source and letting the primary winding power a load) to perform the
opposite function: a step-up can function as a step-down and visa-versa. However, as we saw in the first
section of this chapter, efficient operation of a transformer requires that the individual winding inductances be
engineered for specific operating ranges of voltage and current, so if a transformer is to be used "backwards"
like this it must be employed within the original design parameters of voltage and current for each winding,
lest it prove to be inefficient (or lest it be damaged by excessive voltage or current!).

Transformers are often constructed in such a way that it is not obvious which wires lead to the primary winding
and which lead to the secondary. One convention used in the electric power industry to help alleviate confusion
is the use of "H" designations for the higher-voltage winding (the primary winding in a step-down unit; the
secondary winding in a step-up) and "X" designations for the lower-voltage winding. Therefore, a simple power
transformer will have wires labeled "H1", "H2", "X1", and "X2". There is usually significance to the numbering of
the wires (H1 versus H2, etc.), which we'll explore a little later in this chapter.

The fact that voltage and current get "stepped" in opposite directions (one up, the other down) makes perfect
sense when you recall that power is equal to voltage times current, and realize that transformers cannot
produce power, only convert it. Any device that could output more power than it took in would violate the Law
of Energy Conservation in physics, namely that energy cannot be created or destroyed, only converted. As with
the first transformer example we looked at, power transfer efficiency is very good from the primary to the
secondary sides of the device.

The practical significance of this is made more apparent when an alternative is considered: before the advent
of efficient transformers, voltage/current level conversion could only be achieved through the use of
motor/generator sets. A drawing of a motor/generator set reveals the basic principle involved:

In such a machine, a motor is mechanically coupled to a generator, the generator designed to produce the
desired levels of voltage and current at the rotating speed of the motor. While both motors and generators are
fairly efficient devices, the use of both in this fashion compounds their inefficiencies so that the overall
efficiency is in the range of 90% or less. Furthermore, because motor/generator sets obviously require moving
parts, mechanical wear and balance are factors influencing both service life and performance. Transformers, on
the other hand, are able to convert levels of AC voltage and current at very high efficiencies with no moving
parts, making possible the widespread distribution and use of electric power we take for granted.

In all fairness it should be noted that motor/generator sets have not necessarily been obsoleted by
transformers for all applications. While transformers are clearly superior over motor/generator sets for AC
voltage and current level conversion, they cannot convert one frequency of AC power to another, or (by
themselves) convert DC to AC or visa-versa. Motor/generator sets can do all these things with relative
simplicity, albeit with the limitations of efficiency and mechanical factors already described. Motor/generator
sets also have the unique property of kinetic energy storage: that is, if the motor's power supply is
momentarily interrupted for any reason, its angular momentum (the inertia of that rotating mass) will maintain
rotation of the generator for a short duration, thus isolating any loads powered by the generator from
"glitches" in the main power system.

Looking closely at the numbers in the SPICE analysis, we should see a correspondence between the
transformer's ratio and the two inductances. Notice how the primary inductor (l1) has 100 times more
inductance than the secondary inductor (10000 H versus 100 H), and that the measured voltage step-down
ratio was 10 to 1. The winding with more inductance will have higher voltage and less current than the other.
Since the two inductors are wound around the same core material in the transformer (for the most efficient
magnetic coupling between the two), the parameters affecting inductance for the two coils are equal except for
the number of turns in each coil. If we take another look at our inductance formula, we see that inductance is
proportional to the square of the number of coil turns:
So, it should be apparent that our two inductors in the last SPICE transformer example circuit -- with
inductance ratios of 100:1 -- should have coil turn ratios of 10:1, because 10 squared equals 100. This works
out to be the same ratio we found between primary and secondary voltages and currents (10:1), so we can
say as a rule that the voltage and current transformation ratio is equal to the ratio of winding turns between
primary and secondary.

The step-up/step-down effect of coil turn ratios in a transformer is analogous to gear tooth ratios in mechanical
gear systems, transforming values of speed and torque in much the same way:

Step-up and step-down transformers for power distribution purposes can be gigantic in proportion to the power
transformers previously shown, some units standing as tall as a home. The following photograph shows a
substation transformer standing about twelve feet tall:
 • REVIEW:
• Transformers "step up" or "step down" voltage according to the ratios of primary to secondary wire
turns.

•
• A transformer designed to increase voltage from primary to secondary is called a step-up transformer.
A transformer designed to reduce voltage from primary to secondary is called a step-down
transformer.
• The transformation ratio of a transformer will be equal to the square root of its primary to secondary
inductance (L) ratio.

Electrical isolation

Aside from the ability to easily convert between different levels of voltage and current in AC and DC circuits,
transformers also provide an extremely useful feature called isolation, which is the ability to couple one circuit
to another without the use of direct wire connections. We can demonstrate an application of this effect with
another SPICE simulation: this time showing "ground" connections for the two circuits, imposing a high DC
voltage between one circuit and ground through the use of an additional voltage source:
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
v2 5 0 dc 250
l1 2 0 10000
l2 3 5 100
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 1k
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end

DC voltages referenced to ground (node 0):

(1) 0.0000 (2) 0.0000 (3) 250.0000
(4) 250.0000 (5) 250.0000

AC voltages:
freq v(2) i(v1)
6.000E+01 1.000E+01 9.975E-05 Primary winding

freq v(3,5) i(vi1)

6.000E+01 9.962E-01 9.962E-04 Secondary winding

SPICE shows the 250 volts DC being impressed upon the secondary circuit elements with respect to ground,
but as you can see there is no effect on the primary circuit (zero DC voltage) at nodes 1 and 2, and the
transformation of AC power from primary to secondary circuits remains the same as before. The impressed
voltage in this example is often called a common-mode voltage because it is seen at more than one point in
the circuit with reference to the common point of ground. The transformer isolates the common-mode voltage
so that it is not impressed upon the primary circuit at all, but rather isolated to the secondary side. For the
record, it does not matter that the common-mode voltage is DC, either. It could be AC, even at a different
frequency, and the transformer would isolate it from the primary circuit all the same.

There are applications where electrical isolation is needed between two AC circuit without any transformation of
voltage or current levels. In these instances, transformers called isolation transformers having 1:1
transformation ratios are used. A benchtop isolation transformer is shown in the following photograph:

• REVIEW:
• By being able to transfer power from one circuit to another without the use of interconnecting
conductors between the two circuits, transformers provide the useful feature of electrical isolation.
• Transformers designed to provide electrical isolation without stepping voltage and current either up or
down are called isolation transformers.

Phasing

Since transformers are essentially AC devices, we need to be aware of the phase relationships between the
primary and secondary circuits. Using our SPICE example from before, we can plot the waveshapes for the
primary and secondary circuits and see the phase relations for ourselves:

legend:
*: v(2) Primary voltage
+: v(3,5) Secondary voltage
time v(2)
(*)----------- -10 -5 0 5 10
(+)----------- -10 -5 0 5 10
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . x . .
1.000E-03 3.675E+00 . . . + * . .
2.000E-03 6.803E+00 . . . . + * .
3.000E-03 9.008E+00 . . . . +* .
4.000E-03 9.955E+00 . . . . x
5.000E-03 9.450E+00 . . . . *+.
6.000E-03 7.672E+00 . . . . * + .
7.000E-03 4.804E+00 . . . *.+ .
8.000E-03 1.245E+00 . . . * + . .
9.000E-03 -2.474E+00 . . * + . . .
1.000E-02 -5.864E+00 . *+ . . .
1.100E-02 -8.390E+00 . *+ . . . .
1.200E-02 -9.779E+00 .x . . . .
1.300E-02 -9.798E+00 +* . . . .
1.400E-02 -8.390E+00 . +* . . . .
1.500E-02 -5.854E+00 . + *. . . .
1.600E-02 -2.479E+00 . . + * . . .
1.700E-02 1.246E+00 . . .+ * . .
1.800E-02 4.795E+00 . . . + *. .
1.900E-02 7.686E+00 . . . . + * .
2.000E-02 9.451E+00 . . . . x .
2.100E-02 9.937E+00 . . . . x
2.200E-02 9.025E+00 . . . . *+ .
2.300E-02 6.802E+00 . . . . *+ .
2.400E-02 3.667E+00 . . . * + . .
2.500E-02 -1.487E-03 . . * + . .
2.600E-02 -3.658E+00 . . * + . . .
2.700E-02 -6.814E+00 . * + . . . .
2.800E-02 -9.026E+00 . *+ . . . .
2.900E-02 -9.917E+00 *+ . . . .
3.000E-02 -9.511E+00 .x . . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

legend:
*: i(v1) Primary current
+: i(vi1) Secondary current
time i(v1)
(*)---------- -2.000E-04 -1.000E-04 0 1.000E-04 2.000E-04
(+)---------- -1.000E-03 -5.000E-04 0 5.000E-04 1.000E-03
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . x . .
1.000E-03 -2.973E-05 . . + *. . .
2.000E-03 -6.279E-05 . + . * . . .
3.000E-03 -8.772E-05 . + . * . . .
4.000E-03 -1.008E-04 + * . . .
5.000E-03 -9.954E-05 .+ * . . .
6.000E-03 -8.522E-05 . + . * . . .
7.000E-03 -5.919E-05 . +. * . . .
8.000E-03 -2.500E-05 . . + *. . .
9.000E-03 1.212E-05 . . . * + . .
1.000E-02 4.736E-05 . . . * .+ .
1.100E-02 7.521E-05 . . . * . + .
1.200E-02 9.250E-05 . . . *. +.
1.300E-02 9.648E-05 . . . *. +
1.400E-02 8.602E-05 . . . * . + .
1.500E-02 6.362E-05 . . . * . + .
1.600E-02 3.177E-05 . . . * + . .
1.700E-02 -4.998E-06 . . x . .
1.800E-02 -4.136E-05 . . + * . . .
1.900E-02 -7.246E-05 . + . * . . .
2.000E-02 -9.331E-05 . + .* . . .
2.100E-02 -1.019E-04 + * . . .
2.200E-02 -9.651E-05 . + * . . .
2.300E-02 -7.749E-05 . + . * . . .
2.400E-02 -4.842E-05 . . + * . . .
2.500E-02 -1.275E-05 . . x. . .
2.600E-02 2.428E-05 . . . * + . .
2.700E-02 5.761E-05 . . . * .+ .
2.800E-02 8.261E-05 . . . * . + .
2.900E-02 9.514E-05 . . . *. +.
3.000E-02 9.487E-05 . . . *. +.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

It would appear that both voltage and current for the two transformer windings are in phase with each other,
at least for our resistive load. This is simple enough, but it would be nice to know which way we should connect
a transformer in order to ensure the proper phase relationships be kept. After all, a transformer is nothing
more than a set of magnetically-linked inductors, and inductors don't usually come with polarity markings of
any kind. If we were to look at an unmarked transformer, we would have no way of knowing which way to
hook it up to a circuit to get in-phase (or 180o out-of-phase) voltage and current:

Since this is a practical concern, transformer manufacturers have come up with a sort of polarity marking
standard to denote phase relationships. It is called the dot convention, and is nothing more than a dot placed
next to each corresponding leg of a transformer winding:

Typically, the transformer will come with some kind of schematic diagram labeling the wire leads for primary
and secondary windings. On the diagram will be a pair of dots similar to what is seen above. Sometimes dots
will be omitted, but when "H" and "X" labels are used to label transformer winding wires, the subscript
numbers are supposed to represent winding polarity. The "1" wires (H1 and X1) represent where the polarity-
marking dots would normally be placed.

The similar placement of these dots next to the top ends of the primary and secondary windings tells us that
whatever instantaneous voltage polarity seen across the primary winding will be the same as that across the
secondary winding. In other words, the phase shift from primary to secondary will be zero degrees.

On the other hand, if the dots on each winding of the transformer do not match up, the phase shift will be 180o
between primary and secondary, like this:
Of course, the dot convention only tells you which end of each winding is which, relative to the other
winding(s). If you want to reverse the phase relationship yourself, all you have to do is swap the winding
connections like this:

• REVIEW:
• The phase relationships for voltage and current between primary and secondary circuits of a
transformer are direct: ideally, zero phase shift.
• The dot convention is a type of polarity marking for transformer windings showing which end of the
winding is which, relative to the other windings.

Winding configurations

Transformers are very versatile devices. The basic concept of energy transfer between mutual inductors is
useful enough between a single primary and single secondary coil, but transformers don't have to be made
with just two sets of windings. Consider this transformer circuit:
Here, three inductor coils share a common magnetic core, magnetically "coupling" or "linking" them together.
The relationship of winding turn ratios and voltage ratios seen with a single pair of mutual inductors still holds
true here for multiple pairs of coils. It is entirely possible to assemble a transformer such as the one above
(one primary winding, two secondary windings) in which one secondary winding is a step-down and the other
is a step-up. In fact, this design of transformer was quite common in vacuum tube power supply circuits, which
were required to supply low voltage for the tubes' filaments (typically 6 or 12 volts) and high voltage for the
tubes' plates (several hundred volts) from a nominal primary voltage of 110 volts AC. Not only are voltages
and currents of completely different magnitudes possible with such a transformer, but all circuits are
electrically isolated from one another.

A photograph of a multiple-winding transformer is shown here:

This particular transformer is intended to provide both high and low voltages necessary in an electronic system
using vacuum tubes. Low voltage is required to power the filaments of vacuum tubes, while high voltage is
required to create the potential difference between the plate and cathode elements of each tube. One
transformer with multiple windings suffices elegantly to provide all the necessary voltage levels from a single
115 V source. The wires for this transformer (15 of them!) are not shown in the photograph, being hidden from
view.

If electrical isolation between secondary circuits is not of great importance, a similar effect can be obtained by
"tapping" a single secondary winding at multiple points along its length, like this:

A tap is nothing more than a wire connection made at some point on a winding between the very ends. Not
surprisingly, the winding turn/voltage magnitude relationship of a normal transformer holds true for all tapped
segments of windings. This fact can be exploited to produce a transformer capable of multiple ratios:
Carrying the concept of winding taps further, we end up with a "variable transformer," where a sliding contact
is moved along the length of an exposed secondary winding, able to connect with it at any point along its
length. The effect is equivalent to having a winding tap at every turn of the winding, and a switch with poles at
every tap position:

One consumer application of the variable transformer is in speed controls for model train sets, especially the
train sets of the 1950's and 1960's. These transformers were essentially step-down units, the highest voltage
obtainable from the secondary winding being substantially less than the primary voltage of 110 to 120 volts
AC. The variable-sweep contact provided a simple means of voltage control with little wasted power, much
more efficient than control using a variable resistor!

Moving-slide contacts are too impractical to be used in large industrial power transformer designs, but multi-
pole switches and winding taps are common for voltage adjustment. Adjustments need to be made periodically
in power systems to accommodate changes in loads over months or years in time, and these switching circuits
provide a convenient means. Typically, such "tap switches" are not engineered to handle full-load current, but
must be actuated only when the transformer has been de-energized (no power).

Seeing as how we can tap any transformer winding to obtain the equivalent of several windings (albeit with
loss of electrical isolation between them), it makes sense that it should be possible to forego electrical isolation
altogether and build a transformer from a single winding. Indeed this is possible, and the resulting device is
called an autotransformer:
The autotransformer depicted above performs a voltage step-up function. A step-down autotransformer would
look something like this:

Autotransformers find popular use in applications requiring a slight boost or reduction in voltage to a load. The
alternative with a normal (isolated) transformer would be to either have just the right primary/secondary
winding ratio made for the job or use a step-down configuration with the secondary winding connected in
series-aiding ("boosting") or series-opposing ("bucking") fashion. Primary, secondary, and load voltages are
given to illustrate how this would work.

First, the "boosting" configuration. Here, the secondary coil's polarity is oriented so that its voltage directly
adds to the primary voltage:
Next, the "bucking" configuration. Here, the secondary coil's polarity is oriented so that its voltage directly
subtracts from the primary voltage:

The prime advantage of an autotransformer is that the same boosting or bucking function is obtained with only
a single winding, making it cheaper and lighter to manufacture than a regular (isolating) transformer having
both primary and secondary windings.

Like regular transformers, autotransformer windings can be tapped to provide variations in ratio. Additionally,
they can be made continuously variable with a sliding contact to tap the winding at any point along its length.
The latter configuration is popular enough to have earned itself its own name: the Variac.

Small variacs for benchtop use are popular pieces of equipment for the electronics experimenter, being able to
step household AC voltage down (or sometimes up as well) with a wide, fine range of control by a simple twist
of a knob.

• REVIEW:
• Transformers can be equipped with more than just a single primary and single secondary winding
pair. This allows for multiple step-up and/or step-down ratios in the same device.
• Transformer windings can also be "tapped:" that is, intersected at many points to segment a single
winding into sections.
 • Variable transformers can be made by providing a movable arm that sweeps across the length of a
winding, making contact with the winding at any point along its length. The winding, of course, has to
be bare (no insulation) in the area where the arm sweeps.
• An autotransformer is a single, tapped inductor coil used to step up or step down voltage like a
transformer, except without providing electrical isolation.
• A Variac is a variable autotransformer.

Voltage regulation

As we saw in a few SPICE analyses earlier in this chapter, the output voltage of a transformer varies some with
varying load resistances, even with a constant voltage input. The degree of variance is affected by the primary
and secondary winding inductances, among other factors, not the least of which includes winding resistance
and the degree of mutual inductance (magnetic coupling) between the primary and secondary windings. For
power transformer applications, where the transformer is seen by the load (ideally) as a constant source of
voltage, it is good to have the secondary voltage vary as little as possible for wide variances in load current.

The measure of how well a power transformer maintains constant secondary voltage over a range of load
currents is called the transformer's voltage regulation. It can be calculated from the following formula:

"Full-load" means the point at which the transformer is operating at maximum permissible secondary current.
This operating point will be determined primarily by the winding wire size (ampacity) and the method of
transformer cooling. Taking our first SPICE transformer simulation as an example, let's compare the output
voltage with a 1 kΩ load versus a 200 Ω load (assuming that the 200 Ω load will be our "full load" condition).
Recall if you will that our constant primary voltage was 10.00 volts AC:

freq v(3,5) i(vi1)

6.000E+01 9.962E+00 9.962E-03 Output with 1k ohm load

freq v(3,5) i(vi1)

6.000E+01 9.348E+00 4.674E-02 Output with 200 ohm load

Notice how the output voltage decreases as the load gets heavier (more current). Now let's take that same
transformer circuit and place a load resistance of extremely high magnitude across the secondary winding to
simulate a "no-load" condition:

transformer
v1 1 0 ac 10 sin
rbogus1 1 2 1e-12
rbogus2 5 0 9e12
l1 2 0 100
l2 3 5 100
k l1 l2 0.999
vi1 3 4 ac 0
rload 4 5 9e12
.ac lin 1 60 60
.print ac v(2,0) i(v1)
.print ac v(3,5) i(vi1)
.end
freq v(2) i(v1)
6.000E+01 1.000E+01 2.653E-04

freq v(3,5) i(vi1)

6.000E+01 9.990E+00 1.110E-12 Output with (almost) no load

So, we see that our output (secondary) voltage spans a range of 9.990 volts at (virtually) no load and 9.348
volts at the point we decided to call "full load." Calculating voltage regulation with these figures, we get:

Incidentally, this would be considered rather poor (or "loose") regulation for a power transformer. Powering a
simple resistive load like this, a good power transformer should exhibit a regulation percentage of less than
3%. Inductive loads tend to create a condition of worse voltage regulation, so this analysis with purely resistive
loads was a "best-case" condition.

There are some applications, however, where poor regulation is actually desired. One such case is in discharge
lighting, where a step-up transformer is required to initially generate a high voltage (necessary to "ignite" the
lamps), then the voltage is expected to drop off once the lamp begins to draw current. This is because
discharge lamps' voltage requirements tend to be much lower after a current has been established through the
arc path. In this case, a step-up transformer with poor voltage regulation suffices nicely for the task of
conditioning power to the lamp.

Another application is in current control for AC arc welders, which are nothing more than step-down
transformers supplying low-voltage, high-current power for the welding process. A high voltage is desired to
assist in "striking" the arc (getting it started), but like the discharge lamp, an arc doesn't require as much
voltage to sustain itself once the air has been heated to the point of ionization. Thus, a decrease of secondary
voltage under high load current would be a good thing. Some arc welder designs provide arc current
adjustment by means of a movable iron core in the transformer, cranked in or out of the winding assembly by
the operator. Moving the iron slug away from the windings reduces the strength of magnetic coupling between
the windings, which diminishes no-load secondary voltage and makes for poorer voltage regulation.

No exposition on transformer regulation could be called complete without mention of an unusual device called a
ferroresonant transformer. "Ferroresonance" is a phenomenon associated with the behavior of iron cores while
operating near a point of magnetic saturation (where the core is so strongly magnetized that further increases
in winding current results in little or no increase in magnetic flux).

While being somewhat difficult to describe without going deep into electromagnetic theory, the ferroresonant
transformer is a power transformer engineered to operate in a condition of persistent core saturation. That is,
its iron core is "stuffed full" of magnetic lines of flux for a large portion of the AC cycle so that variations in
supply voltage (primary winding current) have little effect on the core's magnetic flux density, which means
the secondary winding outputs a nearly constant voltage despite significant variations in supply (primary
winding) voltage. Normally, core saturation in a transformer results in distortion of the sinewave shape, and
the ferroresonant transformer is no exception. To combat this side effect, ferroresonant transformers have an
auxiliary secondary winding paralleled with one or more capacitors, forming a resonant circuit tuned to the
power supply frequency. This "tank circuit" serves as a filter to reject harmonics created by the core
saturation, and provides the added benefit of storing energy in the form of AC oscillations, which is available
for sustaining output winding voltage for brief periods of input voltage loss (milliseconds' worth of time, but
certainly better than nothing).
In addition to blocking harmonics created by the saturated core, this resonant circuit also "filters out" harmonic
frequencies generated by nonlinear (switching) loads in the secondary winding circuit and any harmonics
present in the source voltage, providing "clean" power to the load.

Ferroresonant transformers offer several features useful in AC power conditioning: constant output voltage
given substantial variations in input voltage, harmonic filtering between the power source and the load, and
the ability to "ride through" brief losses in power by keeping a reserve of energy in its resonant tank circuit.
These transformers are also highly tolerant of excessive loading and transient (momentary) voltage surges.
They are so tolerant, in fact, that some may be briefly paralleled with unsynchronized AC power sources,
allowing a load to be switched from one source of power to another in a "make-before-break" fashion with no
interruption of power on the secondary side!

Unfortunately, these devices have equally noteworthy disadvantages: they waste a lot of energy (due to
hysteresis losses in the saturated core), generating significant heat in the process, and are intolerant of
frequency variations, which means they don't work very well when powered by small engine-driven generators
having poor speed regulation. Voltages produced in the resonant winding/capacitor circuit tend to be very high,
necessitating expensive capacitors and presenting the service technician with very dangerous working
voltages. Some applications, though, may prioritize the ferroresonant transformer's advantages over its
disadvantages. Semiconductor circuits exist to "condition" AC power as an alternative to ferroresonant devices,
but none can compete with this transformer in terms of sheer simplicity.

• REVIEW:
• Voltage regulation is the measure of how well a power transformer can maintain constant secondary
voltage given a constant primary voltage and wide variance in load current. The lower the percentage
(closer to zero), the more stable the secondary voltage and the better the regulation it will provide.
• A ferroresonant transformer is a special transformer designed to regulate voltage at a stable level
despite wide variation in input voltage.

Special transformers and applications

Because transformers can step voltage and current to different levels, and because power is transferred
equivalently between primary and secondary windings, they can be used to "convert" the impedance of a load
to a different level. That last phrase deserves some explanation, so let's investigate what it means.

The purpose of a load (usually) is to do something productive with the power it dissipates. In the case of a
resistive heating element, the practical purpose for the power dissipated is to heat something up. Loads are
engineered to safely dissipate a certain maximum amount of power, but two loads of equal power rating are
not necessarily identical. Consider these two 1000 watt resistive heating elements:
Both heaters dissipate exactly 1000 watts of power, but they do so at different voltage and current levels
(either 250 volts and 4 amps, or 125 volts and 8 amps). Using Ohm's Law to determine the necessary
resistance of these heating elements (R=E/I), we arrive at figures of 62.5 Ω and 15.625 Ω, respectively. If
these are AC loads, we might refer to their opposition to current in terms of impedance rather than plain
resistance, although in this case that's all they're composed of (no reactance). The 250 volt heater would be
said to be a higher impedance load than the 125 volt heater.

If we desired to operate the 250 volt heater element directly on a 125 volt power system, we would end up
being disappointed. With 62.5 Ω of impedance (resistance), the current would only be 2 amps (I=E/R;
125/62.5), and the power dissipation would only be 250 watts (P=IE; 125 x 2), or one-quarter of its rated
power. The impedance of the heater and the voltage of our source would be mismatched, and we couldn't
obtain the full rated power dissipation from the heater.

All hope is not lost, though. With a step-up transformer, we could operate the 250 volt heater element on the
125 volt power system like this:

The ratio of the transformer's windings provides the voltage step-up and current step-down we need for the
otherwise mismatched load to operate properly on this system. Take a close look at the primary circuit figures:
125 volts at 8 amps. As far as the power supply "knows," it's powering a 15.625 Ω (R=E/I) load at 125 volts,
not a 62.5 Ω load! The voltage and current figures for the primary winding are indicative of 15.625 Ω load
impedance, not the actual 62.5 Ω of the load itself. In other words, not only has our step-up transformer
transformed voltage and current, but it has transformed impedance as well.

The transformation ratio of impedance is the square of the voltage/current transformation ratio, the same as
the winding inductance ratio:
This concurs with our example of the 2:1 step-up transformer and the impedance ratio of 62.5 Ω to 15.625 Ω
(a 4:1 ratio, which is 2:1 squared). Impedance transformation is a highly useful ability of transformers, for it
allows a load to dissipate its full rated power even if the power system is not at the proper voltage to directly
do so.

Recall from our study of network analysis the Maximum Power Transfer Theorem, which states that the
maximum amount of power will be dissipated by a load resistance when that load resistance is equal to the
Thevenin/Norton resistance of the network supplying the power. Substitute the word "impedance" for
"resistance" in that definition and you have the AC version of that Theorem. If we're trying to obtain theoretical
maximum power dissipation from a load, we must be able to properly match the load impedance and source
(Thevenin/Norton) impedance together. This is generally more of a concern in specialized electric circuits such
as radio transmitter/antenna and audio amplifier/speaker systems. Let's take an audio amplifier system and
see how it works:

With an internal impedance of 500 Ω, the amplifier can only deliver full power to a load (speaker) also having
500 Ω of impedance. Such a load would drop higher voltage and draw less current than an 8 Ω speaker
dissipating the same amount of power. If an 8 Ω speaker were connected directly to the 500 Ω amplifier as
shown, the impedance mismatch would result in very poor (low peak power) performance. Additionally, the
amplifier would tend to dissipate more than its fair share of power in the form of heat trying to drive the low
impedance speaker.

To make this system work better, we can use a transformer to match these mismatched impedances. Since
we're going from a high impedance (high voltage, low current) supply to a low impedance (low voltage, high
current) load, we'll need to use a step-down transformer:

To obtain an impedance transformation ratio of 500:8, we would need a winding ratio equal to the square root
of 500:8 (the square root of 62.5:1, or 7.906:1). With such a transformer in place, the speaker will load the
amplifier to just the right degree, drawing power at the correct voltage and current levels to satisfy the
Maximum Power Transfer Theorem and make for the most efficient power delivery to the load. The use of a
transformer in this capacity is called impedance matching.

Anyone who has ridden a multi-speed bicycle can intuitively understand the principle of impedance matching. A
human's legs will produce maximum power when spinning the bicycle crank at a particular speed (about 60 to
90 revolution per minute). Above or below that rotational speed, human leg muscles are less efficient at
generating power. The purpose of the bicycle's "gears" is to impedance-match the rider's legs to the riding
conditions so that they always spin the crank at the optimum speed.

If the rider attempts to start moving while the bicycle is shifted into its "top" gear, he or she will find it very
difficult to get moving. Is it because the rider is weak? No, it's because the high step-up ratio of the bicycle's
chain and sprockets in that top gear presents a mismatch between the conditions (lots of inertia to overcome)
and their legs (needing to spin at 60-90 RPM for maximum power output). On the other hand, selecting a gear
that is too low will enable the rider to get moving immediately, but limit the top speed they will be able to
attain. Again, is the lack of speed an indication of weakness in the bicyclist's legs? No, it's because the lower
speed ratio of the selected gear creates another type of mismatch between the conditions (low load) and the
rider's legs (losing power if spinning faster than 90 RPM). It is much the same with electric power sources and
loads: there must be an impedance match for maximum system efficiency. In AC circuits, transformers
perform the same matching function as the sprockets and chain ("gears") on a bicycle to match otherwise
mismatched sources and loads.

Impedance matching transformers are not fundamentally different from any other type of transformer in
construction or appearance. A small impedance-matching transformer (about two centimeters in width) for
audio-frequency applications is shown in the following photograph:
Another impedance-matching transformer can be seen on this printed circuit board, in the upper right corner,
to the immediate left of resistors R2 and R1. It is labeled "T1":
Transformers can also be used in electrical instrumentation systems. Due to transformers' ability to step up or
step down voltage and current, and the electrical isolation they provide, they can serve as a way of connecting
electrical instrumentation to high-voltage, high current power systems. Suppose we wanted to accurately
measure the voltage of a 13.8 kV power system (a very common power distribution voltage in American
industry):

Designing, installing, and maintaining a voltmeter capable of directly measuring 13,800 volts AC would be no
easy task. The safety hazard alone of bringing 13.8 kV conductors into an instrument panel would be severe,
not to mention the design of the voltmeter itself. However, by using a precision step-down transformer, we can
reduce the 13.8 kV down to a safe level of voltage at a constant ratio, and isolate it from the instrument
connections, adding an additional level of safety to the metering system:

Now the voltmeter reads a precise fraction, or ratio, of the actual system voltage, its scale set to read as
though it were measuring the voltage directly. The transformer keeps the instrument voltage at a safe level
and electrically isolates it from the power system, so there is no direct connection between the power lines and
the instrument or instrument wiring. When used in this capacity, the transformer is called a Potential
Transformer, or simply PT.

Potential transformers are designed to provide as accurate a voltage step-down ratio as possible. To aid in
precise voltage regulation, loading is kept to a minimum: the voltmeter is made to have high input impedance
so as to draw as little current from the PT as possible. As you can see, a fuse has been connected in series with
the PTs primary winding, for safety and ease of disconnecting the PT from the circuit.

A standard secondary voltage for a PT is 120 volts AC, for full-rated power line voltage. The standard voltmeter
range to accompany a PT is 150 volts, full-scale. PTs with custom winding ratios can be manufactured to suit
any application. This lends itself well to industry standardization of the actual voltmeter instruments
themselves, since the PT will be sized to step the system voltage down to this standard instrument level.

Following the same line of thinking, we can use a transformer to step down current through a power line so
that we are able to safely and easily measure high system currents with inexpensive ammeters. Of course,
such a transformer would be connected in series with the power line, like this:
Note that while the PT is a step-down device, the Current Transformer (or CT) is a step-up device (with respect
to voltage), which is what is needed to step down the power line current. Quite often, CTs are built as donut-
shaped devices through which the power line conductor is run, the power line itself acting as a single-turn
primary winding:

Some CTs are made to hinge open, allowing insertion around a power conductor without disturbing the
conductor at all. The industry standard secondary current for a CT is a range of 0 to 5 amps AC. Like PTs, CTs
can be made with custom winding ratios to fit almost any application. Because their "full load" secondary
current is 5 amps, CT ratios are usually described in terms of full-load primary amps to 5 amps, like this:
The "donut" CT shown in the photograph has a ratio of 50:5. That is, when the conductor through the center of
the torus is carrying 50 amps of current (AC), there will be 5 amps of current induced in the CT's winding.

Because CTs are designed to be powering ammeters, which are low-impedance loads, and they are wound as
voltage step-up transformers, they should never, ever be operated with an open-circuited secondary winding.
Failure to heed this warning will result in the CT producing extremely high secondary voltages, dangerous to
equipment and personnel alike. To facilitate maintenance of ammeter instrumentation, short-circuiting switches
are often installed in parallel with the CT's secondary winding, to be closed whenever the ammeter is removed
for service:

Though it may seem strange to intentionally short-circuit a power system component, it is perfectly proper and
quite necessary when working with current transformers.

Another kind of special transformer, seen often in radio-frequency circuits, is the air core transformer. True to
its name, an air core transformer has its windings wrapped around a nonmagnetic form, usually a hollow tube
of some material. The degree of coupling (mutual inductance) between windings in such a transformer is many
times less than that of an equivalent iron-core transformer, but the undesirable characteristics of a
ferromagnetic core (eddy current losses, hysteresis, saturation, etc.) are completely eliminated. It is in high-
frequency applications that these effects of iron cores are most problematic.

One notable example of air-core transformer is the Tesla Coil, named after the Serbian electrical genius Nikola
Tesla, who was also the inventor of the rotating magnetic field AC motor, polyphase AC power systems, and
many elements of radio technology. The Tesla Coil is a resonant, high-frequency step-up transformer used to
produce extremely high voltages. One of Tesla's dreams was to employ his coil technology to distribute electric
power without the need for wires, simply broadcasting it in the form of radio waves which could be received
and conducted to loads by means of antennas. The basic schematic for a Tesla Coil looks like this:
The capacitor, in conjunction with the transformer's primary winding, forms a tank circuit. The secondary
winding is wound in close proximity to the primary, usually around the same nonmagnetic form. Several
options exist for "exciting" the primary circuit, the simplest being a high-voltage, low-frequency AC source and
spark gap:

The purpose of the high-voltage, low-frequency AC power source is to "charge" the primary tank circuit. When
the spark gap fires, its low impedance acts to complete the capacitor/primary coil tank circuit, allowing it to
oscillate at its resonant frequency. The "RFC" inductors are "Radio Frequency Chokes," which act as high
impedances to prevent the AC source from interfering with the oscillating tank circuit.

The secondary side of the Tesla coil transformer is also a tank circuit, relying on the parasitic (stray)
capacitance existing between the discharge terminal and earth ground to complement the secondary winding's
inductance. For optimum operation, this secondary tank circuit is tuned to the same resonant frequency as the
primary circuit, with energy exchanged not only between capacitors and inductors during resonant oscillation,
but also back-and-forth between primary and secondary windings. The visual results are spectacular:
Tesla Coils find application primarily as novelty devices, showing up in high school science fairs, basement
workshops, and the occasional low budget science-fiction movie.

It should be noted that Tesla coils can be extremely dangerous devices. Burns caused by radio-frequency
("RF") current, like all electrical burns, can be very deep, unlike skin burns caused by contact with hot objects
or flames. Although the high-frequency discharge of a Tesla coil has the curious property of being beyond the
"shock perception" frequency of the human nervous system, this does not mean Tesla coils cannot hurt or even
kill you! I strongly advise seeking the assistance of an experienced Tesla coil experimenter if you would
embark on building one yourself.

So far, we've explored the transformer as a device for converting different levels of voltage, current, and even
impedance from one circuit to another. Now we'll take a look at it as a completely different kind of device: one
that allows a small electrical signal to exert control over a much larger quantity of electrical power. In this
mode, a transformer acts as an amplifier.

The device I'm referring to is called a saturable-core reactor, or simply saturable reactor. Actually, it is not
really a transformer at all, but rather a special kind of inductor whose inductance can be varied by the
application of a DC current through a second winding wound around the same iron core. Like the ferroresonant
transformer, the saturable reactor relies on the principle of magnetic saturation. When a material such as iron
is completely saturated (that is, all its magnetic domains are lined up with the applied magnetizing force),
additional increases in current through the magnetizing winding will not result in further increases of magnetic
flux.
Now, inductance is the measure of how well an inductor opposes changes in current by developing a voltage in
an opposing direction. The ability of an inductor to generate this opposing voltage is directly connected with
the change in magnetic flux inside the inductor resulting from the change in current, and the number of
winding turns in the inductor. If an inductor has a saturated core, no further magnetic flux will result from
further increases in current, and so there will be no voltage induced in opposition to the change in current. In
other words, an inductor loses its inductance (ability to oppose changes in current) when its core becomes
magnetically saturated.

If an inductor's inductance changes, then its reactance (and impedance) to AC current changes as well. In a
circuit with a constant voltage source, this will result in a change in current:

A saturable reactor capitalizes on this effect by forcing the core into a state of saturation with a strong
magnetic field generated by current through another winding. The reactor's "power" winding is the one
carrying the AC load current, and the "control" winding is one carrying a DC current strong enough to drive the
core into saturation:

The strange-looking transformer symbol shown in the above schematic represents a saturable-core reactor, the
upper winding being the DC control winding and the lower being the "power" winding through which the
controlled AC current goes. Increased DC control current produces more magnetic flux in the reactor core,
driving it closer to a condition of saturation, thus decreasing the power winding's inductance, decreasing its
impedance, and increasing current to the load. Thus, the DC control current is able to exert control over the AC
current delivered to the load.

The circuit shown would work, but it would not work very well. The first problem is the natural transformer
action of the saturable reactor: AC current through the power winding will induce a voltage in the control
winding, which may cause trouble for the DC power source. Also, saturable reactors tend to regulate AC power
only in one direction: in one half of the AC cycle, the mmf's from both windings add; in the other half, they
subtract. Thus, the core will have more flux in it during one half of the AC cycle than the other, and will
saturate first in that cycle half, passing load current more easily in one direction than the other. Fortunately,
both problems can be overcome with a little ingenuity:

Notice the placement of the phasing dots on the two reactors: the power windings are "in phase" while the
control windings are "out of phase." If both reactors are identical, any voltage induced in the control windings
by load current through the power windings will cancel out to zero at the battery terminals, thus eliminating
the first problem mentioned. Furthermore, since the DC control current through both reactors produces
magnetic fluxes in different directions through the reactor cores, one reactor will saturate more in one cycle of
the AC power while the other reactor will saturate more in the other, thus equalizing the control action through
each half-cycle so that the AC power is "throttled" symmetrically. This phasing of control windings can be
accomplished with two separate reactors as shown, or in a single reactor design with intelligent layout of the
windings and core.

Saturable reactor technology has even been miniaturized to the circuit-board level in compact packages more
generally known as magnetic amplifiers. I personally find this to be fascinating: the effect of amplification (one
electrical signal controlling another), normally requiring the use of physically fragile vacuum tubes or
electrically "fragile" semiconductor devices, can be realized in a device both physically and electrically rugged.
Magnetic amplifiers do have disadvantages over their more fragile counterparts, namely size, weight,
nonlinearity, and bandwidth (frequency response), but their utter simplicity still commands a certain degree of
appreciation, if not practical application.

Saturable-core reactors are less commonly known as "saturable-core inductors" or transductors.

• REVIEW:
• Transformers can be used to transform impedance as well as voltage and current. When this is done
to improve power transfer to a load, it is called impedance matching.
• A Potential Transformer (PT) is a special instrument transformer designed to provide a precise voltage
step-down ratio for voltmeters measuring high power system voltages.
• A Current Transformer (CT) is another special instrument transformer designed to step down the
current through a power line to a safe level for an ammeter to measure.
• An air-core transformer is one lacking a ferromagnetic core.
• A Tesla Coil is a resonant, air-core, step-up transformer designed to produce very high AC voltages at
high frequency.
• A saturable reactor is a special type of inductor, the inductance of which can be controlled by the DC
current through a second winding around the same core. With enough DC current, the magnetic core
can be saturated, decreasing the inductance of the power winding in a controlled fashion.

Practical considerations
Power capacity
As has already been observed, transformers must be well designed in order to achieve acceptable power
coupling, tight voltage regulation, and low exciting current distortion. Also, transformers must be designed to
carry the expected values of primary and secondary winding current without any trouble. This means the
winding conductors must be made of the proper gauge wire to avoid any heating problems. An ideal
transformer would have perfect coupling (no leakage inductance), perfect voltage regulation, perfectly
sinusoidal exciting current, no hysteresis or eddy current losses, and wire thick enough to handle any amount
of current. Unfortunately, the ideal transformer would have to be infinitely large and heavy to meet these
design goals. Thus, in the business of practical transformer design, compromises must be made.

Additionally, winding conductor insulation is a concern where high voltages are encountered, as they often are
in step-up and step-down power distribution transformers. Not only do the windings have to be well insulated
from the iron core, but each winding has to be sufficiently insulated from the other in order to maintain
electrical isolation between windings.

Respecting these limitations, transformers are rated for certain levels of primary and secondary winding
voltage and current, though the current rating is usually derived from a volt-amp (VA) rating assigned to the
transformer. For example, take a step-down transformer with a primary voltage rating of 120 volts, a
secondary voltage rating of 48 volts, and a VA rating of 1 kVA (1000 VA). The maximum winding currents can
be determined as such:

Sometimes windings will bear current ratings in amps, but this is typically seen on small transformers. Large
transformers are almost always rated in terms of winding voltage and VA or kVA.

Energy losses

When transformers transfer power, they do so with a minimum of loss. As it was stated earlier, modern power
transformer designs typically exceed 95% efficiency. It is good to know where some of this lost power goes,
however, and what causes it to be lost.

There is, of course, power lost due to resistance of the wire windings. Unless superconducting wires are used,
there will always be power dissipated in the form of heat through the resistance of current-carrying conductors.
Because transformers require such long lengths of wire, this loss can be a significant factor. Increasing the
gauge of the winding wire is one way to minimize this loss, but only with substantial increases in cost, size,
and weight.

Resistive losses aside, the bulk of transformer power loss is due to magnetic effects in the core. Perhaps the
most significant of these "core losses" is eddy-current loss, which is resistive power dissipation due to the
passage of induced currents through the iron of the core. Because iron is a conductor of electricity as well as
being an excellent "conductor" of magnetic flux, there will be currents induced in the iron just as there are
currents induced in the secondary windings from the alternating magnetic field. These induced currents -- as
described by the perpendicularity clause of Faraday's Law -- tend to circulate through the cross-section of the
core perpendicularly to the primary winding turns. Their circular motion gives them their unusual name: like
eddies in a stream of water that circulate rather than move in straight lines.

Iron is a fair conductor of electricity, but not as good as the copper or aluminum from which wire windings are
typically made. Consequently, these "eddy currents" must overcome significant electrical resistance as they
circulate through the core. In overcoming the resistance offered by the iron, they dissipate power in the form
of heat. Hence, we have a source of inefficiency in the transformer that is difficult to eliminate.

This phenomenon is so pronounced that it is often exploited as a means of heating ferrous (iron-containing)
materials. The following photograph shows an "induction heating" unit raising the temperature of a large pipe
section. Loops of wire covered by high-temperature insulation encircle the pipe's circumference, inducing eddy
currents within the pipe wall by electromagnetic induction. In order to maximize the eddy current effect, high-
frequency alternating current is used rather than power line frequency (60 Hz). The box units at the right of
the picture produce the high-frequency AC and control the amount of current in the wires to stabilize the pipe
temperature at a pre-determined "set-point."

The main strategy in mitigating these wasteful eddy currents in transformer cores is to form the iron core in
sheets, each sheet covered with an insulating varnish so that the core is divided up into thin slices. The result
is very little width in the core for eddy currents to circulate in:

Laminated cores like the one shown here are standard in almost all low-frequency transformers. Recall from
the photograph of the transformer cut in half that the iron core was composed of many thin sheets rather than
one solid piece. Eddy current losses increase with frequency, so transformers designed to run on higher-
frequency power (such as 400 Hz, used in many military and aircraft applications) must use thinner
laminations to keep the losses down to a respectable minimum. This has the undesirable effect of increasing
the manufacturing cost of the transformer.

Another, similar technique for minimizing eddy current losses which works better for high-frequency
applications is to make the core out of iron powder instead of thin iron sheets. Like the lamination sheets,
these granules of iron are individually coated in an electrically insulating material, which makes the core
nonconductive except for within the width of each granule. Powdered iron cores are often found in transformers
handling radio-frequency currents.

Another "core loss" is that of magnetic hysteresis. All ferromagnetic materials tend to retain some degree of
magnetization after exposure to an external magnetic field. This tendency to stay magnetized is called
"hysteresis," and it takes a certain investment in energy to overcome this opposition to change every time the
magnetic field produced by the primary winding changes polarity (twice per AC cycle). This type of loss can be
mitigated through good core material selection (choosing a core alloy with low hysteresis, as evidenced by a
"thin" B/H hysteresis curve), and designing the core for minimum flux density (large cross-sectional area).

Transformer energy losses tend to worsen with increasing frequency. The skin effect within winding conductors
reduces the available cross-sectional area for electron flow, thereby increasing effective resistance as the
frequency goes up and creating more power lost through resistive dissipation. Magnetic core losses are also
exaggerated with higher frequencies, eddy currents and hysteresis effects becoming more severe. For this
reason, transformers of significant size are designed to operate efficiently in a limited range of frequencies. In
most power distribution systems where the line frequency is very stable, one would think excessive frequency
would never pose a problem. Unfortunately it does, in the form of harmonics created by nonlinear loads.

As we've seen in earlier chapters, nonsinusoidal waveforms are equivalent to additive series of multiple
sinusoidal waveforms at different amplitudes and frequencies. In power systems, these other frequencies are
whole-number multiples of the fundamental (line) frequency, meaning that they will always be higher, not
lower, than the design frequency of the transformer. In significant measure, they can cause severe transformer
overheating. Power transformers can be engineered to handle certain levels of power system harmonics, and
this capability is sometimes denoted with a "K factor" rating.

Stray capacitance and inductance

Aside from power ratings and power losses, transformers often harbor other undesirable limitations which
circuit designers must be made aware of. Like their simpler counterparts -- inductors -- transformers exhibit
capacitance due to the insulation dielectric between conductors: from winding to winding, turn to turn (in a
single winding), and winding to core. Usually this capacitance is of no concern in a power application, but small
signal applications (especially those of high frequency) may not tolerate this quirk well. Also, the effect of
having capacitance along with the windings' designed inductance gives transformers the ability to resonate at a
particular frequency, definitely a design concern in signal applications where the applied frequency may reach
this point (usually the resonant frequency of a power transformer is well beyond the frequency of the AC power
it was designed to operate on).

Flux containment (making sure a transformer's magnetic flux doesn't escape so as to interfere with another
device, and making sure other devices' magnetic flux is shielded from the transformer core) is another concern
shared both by inductors and transformers.

Closely related to the issue of flux containment is leakage inductance. We've already seen the detrimental
effects of leakage inductance on voltage regulation with SPICE simulations early in this chapter. Because
leakage inductance is equivalent to an inductance connected in series with the transformer's winding, it
manifests itself as a series impedance with the load. Thus, the more current drawn by the load, the less
voltage available at the secondary winding terminals. Usually, good voltage regulation is desired in transformer
design, but there are exceptional applications. As was stated before, discharge lighting circuits require a step-
up transformer with "loose" (poor) voltage regulation to ensure reduced voltage after the establishment of an
arc through the lamp. One way to meet this design criterion is to engineer the transformer with flux leakage
paths for magnetic flux to bypass the secondary winding(s). The resulting leakage flux will produce leakage
inductance, which will in turn produce the poor regulation needed for discharge lighting.

Core saturation
All About Circuits > Volume II - AC > Chapter 9: TRANSFORMERS > Core saturation
Core saturation

Transformers are also constrained in their performance by the magnetic flux limitations of the core. For
ferromagnetic core transformers, we must be mindful of the saturation limits of the core. Remember that
ferromagnetic materials cannot support infinite magnetic flux densities: they tend to "saturate" at a certain
level (dictated by the material and core dimensions), meaning that further increases in magnetic field force
(mmf) do not result in proportional increases in magnetic field flux (Φ).

When a transformer's primary winding is overloaded from excessive applied voltage, the core flux may reach
saturation levels during peak moments of the AC sinewave cycle. If this happens, the voltage induced in the
secondary winding will no longer match the wave-shape as the voltage powering the primary coil. In other
words, the overloaded transformer will distort the waveshape from primary to secondary windings, creating
harmonics in the secondary winding's output. As we discussed before, harmonic content in AC power systems
typically causes problems.
Special transformers known as peaking transformers exploit this principle to produce brief voltage pulses near
the peaks of the source voltage waveform. The core is designed to saturate quickly and sharply, at voltage
levels well below peak. This results in a severely cropped sine-wave flux waveform, and secondary voltage
pulses only when the flux is changing (below saturation levels):

Another cause of abnormal transformer core saturation is operation at frequencies lower than normal. For
example, if a power transformer designed to operate at 60 Hz is forced to operate at 50 Hz instead, the flux
must reach greater peak levels than before in order to produce the same opposing voltage needed to balance
against the source voltage. This is true even if the source voltage is the same as before.

Since instantaneous winding voltage is proportional to the instantaneous magnetic flux's rate of change in a
transformer, a voltage waveform reaching the same peak value, but taking a longer amount of time to
complete each half-cycle, demands that the flux maintain the same rate of change as before, but for longer
periods of time. Thus, if the flux has to climb at the same rate as before, but for longer periods of time, it will
climb to a greater peak value.
Mathematically, this is another example of calculus in action. Because the voltage is proportional to the flux's
rate-of-change, we say that the voltage waveform is the derivative of the flux waveform, "derivative" being
that calculus operation defining one mathematical function (waveform) in terms of the rate-of-change of
another. If we take the opposite perspective, though, and relate the original waveform to its derivative, we
may call the original waveform the integral of the derivative waveform. In this case, the voltage waveform is
the derivative of the flux waveform, and the flux waveform is the integral of the voltage waveform.

The integral of any mathematical function is proportional to the area accumulated underneath the curve of that
function. Since each half-cycle of the 50 Hz waveform accumulates more area between it and the zero line of
the graph than the 60 Hz waveform will -- and we know that the magnetic flux is the integral of the voltage --
the flux will attain higher values:

Yet another cause of transformer saturation is the presence of DC current in the primary winding. Any amount
of DC voltage dropped across the primary winding of a transformer will cause additional magnetic flux in the
core. This additional flux "bias" or "offset" will push the alternating flux waveform closer to saturation in one
half-cycle than the other:

For most transformers, core saturation is a very undesirable effect, and it is avoided through good design:
engineering the windings and core so that magnetic flux densities remain well below the saturation levels. This
ensures that the relationship between mmf and Φ is more linear throughout the flux cycle, which is good
because it makes for less distortion in the magnetization current waveform. Also, engineering the core for low
flux densities provides a safe margin between the normal flux peaks and the core saturation limits to
accommodate occasional, abnormal conditions such as frequency variation and DC offset.
 Inrush current
All About Circuits > Volume II - AC > Chapter 9: TRANSFORMERS > Inrush current
Inrush current

When a transformer is initially connected to a source of AC voltage, there may be a substantial surge of current
through the primary winding called inrush current. This is analogous to the inrush current exhibited by an
electric motor that is started up by sudden connection to a power source, although transformer inrush is
caused by a different phenomenon.

We know that the rate of change of instantaneous flux in a transformer core is proportional to the
instantaneous voltage drop across the primary winding. Or, as stated before, the voltage waveform is the
derivative of the flux waveform, and the flux waveform is the integral of the voltage waveform. In a
continuously-operating transformer, these two waveforms are phase-shifted by 90o. Since flux (Φ) is
proportional to the magnetomotive force (mmf) in the core, and the mmf is proportional to winding current,
the current waveform will be in-phase with the flux waveform, and both will be lagging the voltage waveform
by 90o:

Let us suppose that the primary winding of a transformer is suddenly connected to an AC voltage source at the
exact moment in time when the instantaneous voltage is at its positive peak value. In order for the transformer
to create an opposing voltage drop to balance against this applied source voltage, a magnetic flux of rapidly
increasing value must be generated. The result is that winding current increases rapidly, but actually no more
rapidly than under normal conditions:

Both core flux and coil current start from zero and build up to the same peak values experienced during
continuous operation. Thus, there is no "surge" or "inrush" or current in this scenario.
Alternatively, let us consider what happens if the transformer's connection to the AC voltage source occurs at
the exact moment in time when the instantaneous voltage is at zero. During continuous operation (when the
transformer has been powered for quite some time), this is the point in time where both flux and winding
current are at their negative peaks, experiencing zero rate-of-change (dΦ/dt = 0 and di/dt = 0). As the voltage
builds to its positive peak, the flux and current waveforms build to their maximum positive rates-of-change,
and on upward to their positive peaks as the voltage descends to a level of zero:

A significant difference exists, however, between continuous-mode operation and the sudden starting condition
assumed in this scenario: during continuous operation, the flux and current levels were at their negative peaks
when voltage was at its zero point; in a transformer that has been sitting idle, however, both magnetic flux
and winding current should start at zero. When the magnetic flux increases in response to a rising voltage, it
will increase from zero upwards, not from a previously negative (magnetized) condition as we would normally
have in a transformer that's been powered for awhile. Thus, in a transformer that's just "starting," the flux will
reach approximately twice its normal peak magnitude as it "integrates" the area under the voltage waveform's
first half-cycle:

In an ideal transformer, the magnetizing current would rise to approximately twice its normal peak value as
well, generating the necessary mmf to create this higher-than-normal flux. However, most transformers aren't
designed with enough of a margin between normal flux peaks and the saturation limits to avoid saturating in a
condition like this, and so the core will almost certainly saturate during this first half-cycle of voltage. During
saturation, disproportionate amounts of mmf are needed to generate magnetic flux. This means that winding
current, which creates the mmf to cause flux in the core, will disproportionately rise to a value easily exceeding
twice its normal peak:
This is the mechanism causing inrush current in a transformer's primary winding when connected to an AC
voltage source. As you can see, the magnitude of the inrush current strongly depends on the exact time that
electrical connection to the source is made. If the transformer happens to have some residual magnetism in its
core at the moment of connection to the source, the inrush could be even more severe. Because of this,
transformer overcurrent protection devices are usually of the "slow-acting" variety, so as to tolerate current
surges such as this without opening the circuit.

Heat and Noise

All About Circuits > Volume II - AC > Chapter 9: TRANSFORMERS > Heat and Noise
Heat and Noise

In addition to unwanted electrical effects, transformers may also exhibit undesirable physical effects, the most
notable being the production of heat and noise. Noise is primarily a nuisance effect, but heat is a potentially
serious problem because winding insulation will be damaged if allowed to overheat. Heating may be minimized
by good design, ensuring that the core does not approach saturation levels, that eddy currents are minimized,
and that the windings are not overloaded or operated too close to maximum ampacity.

Large power transformers have their core and windings submerged in an oil bath to transfer heat and muffle
noise, and also to displace moisture which would otherwise compromise the integrity of the winding insulation.
Heat-dissipating "radiator" tubes on the outside of the transformer case provide a convective oil flow path to
transfer heat from the transformer's core to ambient air:
Oil-less, or "dry," transformers are often rated in terms of maximum operating temperature "rise"
(temperature increase beyond ambient) according to a letter-class system: A, B, F, or H. These letter codes
are arranged in order of lowest heat tolerance to highest:

• Class A: No more than 55o Celsius winding temperature rise, at 40o Celsius (maximum) ambient air
temperature.
• Class B: No more than 80o Celsius winding temperature rise, at 40o Celsius (maximum)ambient air
temperature.
• Class F: No more than 115o Celsius winding temperature rise, at 40o Celsius (maximum)ambient air
temperature.
• Class H: No more than 150o Celsius winding temperature rise, at 40o Celsius (maximum)ambient air
temperature.

Audible noise is an effect primarily originating from the phenomenon of magnetostriction: the slight change of
length exhibited by a ferromagnetic object when magnetized. The familiar "hum" heard around large power
transformers is the sound of the iron core expanding and contracting at 120 Hz (twice the system frequency,
which is 60 Hz in the United States) -- one cycle of core contraction and expansion for every peak of the
magnetic flux waveform -- plus noise created by mechanical forces between primary and secondary windings.
Again, maintaining low magnetic flux levels in the core is the key to minimizing this effect, which explains why
ferroresonant transformers -- which must operate in saturation for a large portion of the current waveform --
operate both hot and noisy.

Another noise-producing phenomenon in power transformers is the physical reaction force between primary
and secondary windings when heavily loaded. If the secondary winding is open-circuited, there will be no
current through it, and consequently no magneto-motive force (mmf) produced by it. However, when the
secondary is "loaded" (current supplied to a load), the winding generates an mmf, which becomes
counteracted by a "reflected" mmf in the primary winding to prevent core flux levels from changing. These
opposing mmf's generated between primary and secondary windings as a result of secondary (load) current
produce a repulsive, physical force between the windings which will tend to make them vibrate. Transformer
designers have to consider these physical forces in the construction of the winding coils, to ensure there is
adequate mechanical support to handle the stresses. Under heavy load conditions, though, these stresses may
be great enough to cause audible noise to emanate from the transformer.

• REVIEW:
 • Power transformers are limited in the amount of power they can transfer from primary to secondary
winding(s). Large units are typically rated in VA (volt-amps) or kVA (kilo volt-amps).
• Resistance in transformer windings contributes to inefficiency, as current will dissipate heat, wasting
energy.
• Magnetic effects in a transformer's iron core also contribute to inefficiency. Among the effects are
eddy currents (circulating induction currents in the iron core) and hysteresis (power lost due to
overcoming the tendency of iron to magnetize in a particular direction).
• Increased frequency results in increased power losses within a power transformer. The presence of
harmonics in a power system is a source of frequencies significantly higher than normal, which may
cause overheating in large transformers.
• Both transformers and inductors harbor certain unavoidable amounts of capacitance due to wire
insulation (dielectric) separating winding turns from the iron core and from each other. This
capacitance can be significant enough to give the transformer a natural resonant frequency, which can
be problematic in signal applications.
• Leakage inductance is caused by magnetic flux not being 100% coupled between windings in a
transformer. Any flux not involved with transferring energy from one winding to another will store and
release energy, which is how (self-) inductance works. Leakage inductance tends to worsen a
transformer's voltage regulation (secondary voltage "sags" more for a given amount of load current).
• Magnetic saturation of a transformer core may be caused by excessive primary voltage, operation at
too low of a frequency, and/or by the presence of a DC current in any of the windings. Saturation may
be minimized or avoided by conservative design, which provides an adequate margin of safety
between peak magnetic flux density values and the saturation limits of the core.
• Transformers often experience significant inrush currents when initially connected to an AC voltage
source. Inrush current is most severe when connection to the AC source is made at the moment
instantaneous source voltage is zero.
• Noise is a common phenomenon exhibited by transformers -- especially power transformers -- and is
primarily caused by magnetostriction of the core. Physical forces causing winding vibration may also
generate noise under conditions of heavy (high current) secondary winding load.

Chapter 10: POLYPHASE AC CIRCUITS

Single-phase power systems

Depicted above is a very simple AC circuit. If the load resistor's power dissipation were substantial, we might
call this a "power circuit" or "power system" instead of regarding it as just a regular circuit. The distinction
between a "power circuit" and a "regular circuit" may seem arbitrary, but the practical concerns are definitely
not.

One such concern is the size and cost of wiring necessary to deliver power from the AC source to the load.
Normally, we do not give much thought to this type of concern if we're merely analyzing a circuit for the sake
of learning about the laws of electricity. However, in the real world it can be a major concern. If we give the
source in the above circuit a voltage value and also give power dissipation values to the two load resistors, we
can determine the wiring needs for this particular circuit:
83.33 amps for each load resistor adds up to 166.66 amps total circuit current. This is no small amount of
current, and would necessitate copper wire conductors of at least 1/0 gage. Such wire is well over 1/4 inch in
diameter, weighing over 300 pounds per thousand feet. Bear in mind that copper is not cheap either! It would
be in our best interest to find ways to minimize such costs if we were designing a power system with long
conductor lengths.

One way to do this would be to increase the voltage of the power source and use loads built to dissipate 10 kW
each at this higher voltage. The loads, of course, would have to have greater resistance values to dissipate the
same power as before (10 kW each) at a greater voltage than before. The advantage would be less current
required, permitting the use of smaller, lighter, and cheaper wire:
Now our total circuit current is 83.33 amps, half of what it was before. We can now use number 4 gage wire,
which weighs less than half of what 1/0 gage wire does per unit length. This is a considerable reduction in
system cost with no degradation in performance. This is why power distribution system designers elect to
transmit electric power using very high voltages (many thousands of volts): to capitalize on the savings
realized by the use of smaller, lighter, cheaper wire.

However, this solution is not without disadvantages. Another practical concern with power circuits is the danger
of electric shock from high voltages. Again, this is not usually the sort of thing we concentrate on while
learning about the laws of electricity, but it is a very valid concern in the real world, especially when large
amounts of power are being dealt with. The gain in efficiency realized by stepping up the circuit voltage
presents us with increased danger of electric shock. Power distribution companies tackle this problem by
stringing their power lines along high poles or towers, and insulating the lines from the supporting structures
with large, porcelain insulators.

At the point of use (the electric power customer), there is still the issue of what voltage to use for powering
loads. High voltage gives greater system efficiency by means of reduced conductor current, but it might not
always be practical to keep power wiring out of reach at the point of use the way it can be elevated out of
reach in distribution systems. This tradeoff between efficiency and danger is one that European power system
designers have decided to risk, all their households and appliances operating at a nominal voltage of 240 volts
instead of 120 volts as it is in North America. That is why tourists from America visiting Europe must carry
small step-down transformers for their portable appliances, to step the 240 VAC (volts AC) power down to a
more suitable 120 VAC.

Is there any way to realize the advantages of both increased efficiency and reduced safety hazard at the same
time? One solution would be to install step-down transformers at the end-point of power use, just as the
American tourist must do while in Europe. However, this would be expensive and inconvenient for anything but
very small loads (where the transformers can be built cheaply) or very large loads (where the expense of thick
copper wires would exceed the expense of a transformer).

An alternative solution would be to use a higher voltage supply to provide power to two lower voltage loads in
series. This approach combines the efficiency of a high-voltage system with the safety of a low-voltage system:
Notice the polarity markings (+ and -) for each voltage shown, as well as the unidirectional arrows for current.
For the most part, I've avoided labeling "polarities" in the AC circuits we've been analyzing, even though the
notation is valid to provide a frame of reference for phase. In later sections of this chapter, phase relationships
will become very important, so I'm introducing this notation early on in the chapter for your familiarity.

The current through each load is the same as it was in the simple 120 volt circuit, but the currents are not
additive because the loads are in series rather than parallel. The voltage across each load is only 120 volts, not
240, so the safety factor is better. Mind you, we still have a full 240 volts across the power system wires, but
each load is operating at a reduced voltage. If anyone is going to get shocked, the odds are that it will be from
coming into contact with the conductors of a particular load rather than from contact across the main wires of
a power system.

There's only one disadvantage to this design: the consequences of one load failing open, or being turned off
(assuming each load has a series on/off switch to interrupt current) are not good. Being a series circuit, if
either load were to open, current would stop in the other load as well. For this reason, we need to modify the
design a bit:
Instead of a single 240 volt power supply, we use two 120 volt supplies (in phase with each other!) in series to
produce 240 volts, then run a third wire to the connection point between the loads to handle the eventuality of
one load opening. This is called a split-phase power system. Three smaller wires are still cheaper than the two
wires needed with the simple parallel design, so we're still ahead on efficiency. The astute observer will note
that the neutral wire only has to carry the difference of current between the two loads back to the source. In
the above case, with perfectly "balanced" loads consuming equal amounts of power, the neutral wire carries
zero current.

Notice how the neutral wire is connected to earth ground at the power supply end. This is a common feature in
power systems containing "neutral" wires, since grounding the neutral wire ensures the least possible voltage
at any given time between any "hot" wire and earth ground.

An essential component to a split-phase power system is the dual AC voltage source. Fortunately, designing
and building one is not difficult. Since most AC systems receive their power from a step-down transformer
anyway (stepping voltage down from high distribution levels to a user-level voltage like 120 or 240), that
transformer can be built with a center-tapped secondary winding:

If the AC power comes directly from a generator (alternator), the coils can be similarly center-tapped for the
same effect. The extra expense to include a center-tap connection in a transformer or alternator winding is
minimal.

Here is where the (+) and (-) polarity markings really become important. This notation is often used to
reference the phasings of multiple AC voltage sources, so it is clear whether they are aiding ("boosting") each
other or opposing ("bucking") each other. If not for these polarity markings, phase relations between multiple
AC sources might be very confusing. Note that the split-phase sources in the schematic (each one 120 volts
0o), with polarity marks (+) to (-) just like series-aiding batteries can alternatively be represented as such:
To mathematically calculate voltage between "hot" wires, we must subtract voltages, because their polarity
marks show them to be opposed to each other:

If we mark the two sources' common connection point (the neutral wire) with the same polarity mark (-), we
must express their relative phase shifts as being 180o apart. Otherwise, we'd be denoting two voltage sources
in direct opposition with each other, which would give 0 volts between the two "hot" conductors. Why am I
taking the time to elaborate on polarity marks and phase angles? It will make more sense in the next section!

Power systems in American households and light industry are most often of the split-phase variety, providing
so-called 120/240 VAC power. The term "split-phase" merely refers to the split-voltage supply in such a
system. In a more general sense, this kind of AC power supply is called single phase because both voltage
waveforms are in phase, or in step, with each other.

The term "single phase" is a counterpoint to another kind of power system called "polyphase" which we are
about to investigate in detail. Apologies for the long introduction leading up to the title-topic of this chapter.
The advantages of polyphase power systems are more obvious if one first has a good understanding of single
phase systems.

• REVIEW:
• Single phase power systems are defined by having an AC source with only one voltage waveform.
• A split-phase power system is one with multiple (in-phase) AC voltage sources connected in series,
delivering power to loads at more than one voltage, with more than two wires. They are used
primarily to achieve balance between system efficiency (low conductor currents) and safety (low load
voltages).
• Split-phase AC sources can be easily created by center-tapping the coil windings of transformers or
alternators.

Three-phase power systems

Split-phase power systems achieve their high conductor efficiency and low safety risk by splitting up the total
voltage into lesser parts and powering multiple loads at those lesser voltages, while drawing currents at levels
typical of a full-voltage system. This technique, by the way, works just as well for DC power systems as it does
for single-phase AC systems. Such systems are usually referred to as three-wire systems rather than split-
phase because "phase" is a concept restricted to AC.

But we know from our experience with vectors and complex numbers that AC voltages don't always add up as
we think they would if they are out of phase with each other. This principle, applied to power systems, can be
put to use to make power systems with even greater conductor efficiencies and lower shock hazard than with
split-phase.

Suppose that we had two sources of AC voltage connected in series just like the split-phase system we saw
before, except that each voltage source was 120o out of phase with the other:

Since each voltage source is 120 volts, and each load resistor is connected directly in parallel with its
respective source, the voltage across each load must be 120 volts as well. Given load currents of 83.33 amps,
each load must still be dissipating 10 kilowatts of power. However, voltage between the two "hot" wires is not
240 volts (120 0o - 120 180o) because the phase difference between the two sources is not 180o. Instead,
the voltage is:

Nominally, we say that the voltage between "hot" conductors is 208 volts (rounding up), and thus the power
system voltage is designated as 120/208.

If we calculate the current through the "neutral" conductor, we find that it is not zero, even with balanced load
resistances. Kirchhoff's Current Law tells us that the currents entering and exiting the node between the two
loads must be zero:
So, we find that the "neutral" wire is carrying a full 83.33 amps, just like each "hot" wire.

Note that we are still conveying 20 kW of total power to the two loads, with each load's "hot" wire carrying
83.33 amps as before. With the same amount of current through each "hot" wire, we must use the same gage
copper conductors, so we haven't reduced system cost over the split-phase 120/240 system. However, we
have realized a gain in safety, because the overall voltage between the two "hot" conductors is 32 volts lower
than it was in the split-phase system (208 volts instead of 240 volts).

The fact that the neutral wire is carrying 83.33 amps of current raises an interesting possibility: since it's
carrying current anyway, why not use that third wire as another "hot" conductor, powering another load
resistor with a third 120 volt source having a phase angle of 240o? That way, we could transmit more power
(another 10 kW) without having to add any more conductors. Let's see how this might look:

A full mathematical analysis of all the voltages and currents in this circuit would necessitate the use of a
network theorem, the easiest being the Superposition Theorem. I'll spare you the long, drawn-out calculations
because you should be able to intuitively understand that the three voltage sources at three different phase
angles will deliver 120 volts each to a balanced triad of load resistors. For proof of this, we can use SPICE to do
the math for us:
120/208 polyphase power system
v1 1 0 ac 120 0 sin
v2 2 0 ac 120 120 sin
v3 3 0 ac 120 240 sin
r1 1 4 1.44
r2 2 4 1.44
r3 3 4 1.44
.ac lin 1 60 60
.print ac v(1,4) v(2,4) v(3,4)
.print ac v(1,2) v(2,3) v(3,1)
.print ac i(v1) i(v2) i(v3)
.end

VOLTAGE ACROSS EACH LOAD

freq v(1,4) v(2,4) v(3,4)
6.000E+01 1.200E+02 1.200E+02 1.200E+02

VOLTAGE BETWEEN "HOT" CONDUCTORS

freq v(1,2) v(2,3) v(3,1)
6.000E+01 2.078E+02 2.078E+02 2.078E+02

CURRENT THROUGH EACH VOLTAGE SOURCE

freq i(v1) i(v2) i(v3)
6.000E+01 8.333E+01 8.333E+01 8.333E+01

Sure enough, we get 120 volts across each load resistor, with (approximately) 208 volts between any two
"hot" conductors and conductor currents equal to 83.33 amps. At that current and voltage, each load will be
dissipating 10 kW of power. Notice that this circuit has no "neutral" conductor to ensure stable voltage to all
loads if one should open. What we have here is a situation similar to our split-phase power circuit with no
"neutral" conductor: if one load should happen to fail open, the voltage drops across the remaining load(s) will
change. To ensure load voltage stability in the even of another load opening, we need a neutral wire to connect
the source node and load node together:
So long as the loads remain balanced (equal resistance, equal currents), the neutral wire will not have to carry
any current at all. It is there just in case one or more load resistors should fail open (or be shut off through a
disconnecting switch).

This circuit we've been analyzing with three voltage sources is called a polyphase circuit. The prefix "poly"
simply means "more than one," as in "polytheism" (belief in more than one deity), polygon" (a geometrical
shape made of multiple line segments: for example, pentagon and hexagon), and "polyatomic" (a substance
composed of multiple types of atoms). Since the voltage sources are all at different phase angles (in this case,
three different phase angles), this is a "polyphase" circuit. More specifically, it is a three-phase circuit, the kind
used predominantly in large power distribution systems.

Let's survey the advantages of a three-phase power system over a single-phase system of equivalent load
voltage and power capacity. A single-phase system with three loads connected directly in parallel would have a
very high total current (83.33 times 3, or 250 amps:

This would necessitate 3/0 gage copper wire (very large!), at about 510 pounds per thousand feet, and with a
considerable price tag attached. If the distance from source to load was 1000 feet, we would need over a half-
ton of copper wire to do the job. On the other hand, we could build a split-phase system with two 15 kW, 120
volt loads:
Our current is half of what it was with the simple parallel circuit, which is a great improvement. We could get
away with using number 2 gage copper wire at a total mass of about 600 pounds, figuring about 200 pounds
per thousand feet with three runs of 1000 feet each between source and loads. However, we also have to
consider the increased safety hazard of having 240 volts present in the system, even though each load only
receives 120 volts. Overall, there is greater potential for dangerous electric shock to occur.

When we contrast these two examples against our three-phase system, the advantages are quite clear. First,
the conductor currents are quite a bit less (83.33 amps versus 125 or 250 amps), permitting the use of much
thinner and lighter wire. We can use number 4 gage wire at about 125 pounds per thousand feet, which will
total 500 pounds (four runs of 1000 feet each) for our example circuit. This represents a significant cost
savings over the split-phase system, with the additional benefit that the maximum voltage in the system is
lower (208 versus 240).

One question remains to be answered: how in the world do we get three AC voltage sources whose phase
angles are exactly 120o apart? Obviously we can't center-tap a transformer or alternator winding like we did in
the split-phase system, since that can only give us voltage waveforms that are either in phase or 180o out of
phase. Perhaps we could figure out some way to use capacitors and inductors to create phase shifts of 120o,
but then those phase shifts would depend on the phase angles of our load impedances as well (substituting a
capacitive or inductive load for a resistive load would change everything!).

The best way to get the phase shifts we're looking for is to generate it at the source: construct the AC
generator (alternator) providing the power in such a way that the rotating magnetic field passes by three sets
of wire windings, each set spaced 120o apart around the circumference of the machine:
Together, the six "pole" windings of a three-phase alternator are connected to comprise three winding pairs,
each pair producing AC voltage with a phase angle 120o shifted from either of the other two winding pairs. The
interconnections between pairs of windings (as shown for the single-phase alternator: the jumper wire between
windings 1a and 1b) have been omitted from the three-phase alternator drawing for simplicity.

In our example circuit, we showed the three voltage sources connected together in a "Y" configuration
(sometimes called the "star" configuration), with one lead of each source tied to a common point (the node
where we attached the "neutral" conductor). The common way to depict this connection scheme is to draw the
windings in the shape of a "Y" like this:

The "Y" configuration is not the only option open to us, but it is probably the easiest to understand at first.
More to come on this subject later in the chapter.

• REVIEW:
• A single-phase power system is one where there is only one AC voltage source (one source voltage
waveform).
 • A split-phase power system is one where there are two voltage sources, 180o phase-shifted from each
other, powering a two series-connected loads. The advantage of this is the ability to have lower
conductor currents while maintaining low load voltages for safety reasons.
• A polyphase power system uses multiple voltage sources at different phase angles from each other
(many "phases" of voltage waveforms at work). A polyphase power system can deliver more power at
less voltage with smaller-gage conductors than single- or split-phase systems.
• The phase-shifted voltage sources necessary for a polyphase power system are created in alternators
with multiple sets of wire windings. These winding sets are spaced around the circumference of the
rotor's rotation at the desired angle(s).

Phase rotation

Let's take the three-phase alternator design laid out earlier and watch what happens as the magnet rotates:

The phase angle shift of 120o is a function of the actual rotational angle shift of the three pairs of windings. If
the magnet is rotating clockwise, winding 3 will generate its peak instantaneous voltage exactly 120o (of
alternator shaft rotation) after winding 2, which will hits its peak 120o after winding 1. The magnet passes by
each pole pair at different positions in the rotational movement of the shaft. Where we decide to place the
windings will dictate the amount of phase shift between the windings' AC voltage waveforms. If we make
winding 1 our "reference" voltage source for phase angle (0o), then winding 2 will have a phase angle of -120o
(120o lagging, or 240o leading) and winding 3 an angle of -240o (or 120o leading).

This sequence of phase shifts has a definite order. For clockwise rotation of the shaft, the order is 1-2-3
(winding 1 peaks first, them winding 2, then winding 3). This order keeps repeating itself as long as we
continue to rotate the alternator's shaft:
However, if we reverse the rotation of the alternator's shaft (turn it counter-clockwise), the magnet will pass
by the pole pairs in the opposite sequence. Instead of 1-2-3, we'll have 3-2-1. Now, winding 2's waveform will
be leading 120o ahead of 1 instead of lagging, and 3 will be another 120o ahead of 2:

The order of voltage waveform sequences in a polyphase system is called phase rotation or phase sequence. If
we're using a polyphase voltage source to power resistive loads, phase rotation will make no difference at all.
Whether 1-2-3 or 3-2-1, the voltage and current magnitudes will all be the same. There are some applications
of three-phase power, as we will see shortly, that depend on having phase rotation being one way or the other.
Since voltmeters and ammeters would be useless in telling us what the phase rotation of an operating power
system is, we need to have some other kind of instrument capable of doing the job.

One ingenious circuit design uses a capacitor to introduce a phase shift between voltage and current, which is
then used to detect the sequence by way of comparison between the brightness of two indicator lamps:

The two lamps are of equal filament resistance and wattage. The capacitor is sized to have approximately the
same amount of reactance at system frequency as each lamp's resistance. If the capacitor were to be replaced
by a resistor of equal value to the lamps' resistance, the two lamps would glow at equal brightness, the circuit
being balanced. However, the capacitor introduces a phase shift between voltage and current in the third leg of
the circuit equal to 90o. This phase shift, greater than 0o but less than 120o, skews the voltage and current
values across the two lamps according to their phase shifts relative to phase 3. The following SPICE analysis
demonstrates what will happen:
phase rotation detector -- sequence = v1-v2-v3
v1 1 0 ac 120 0 sin
v2 2 0 ac 120 120 sin
v3 3 0 ac 120 240 sin
r1 1 4 2650
r2 2 4 2650
c1 3 4 1u
.ac lin 1 60 60
.print ac v(1,4) v(2,4) v(3,4)
.end

freq v(1,4) v(2,4) v(3,4)

6.000E+01 4.810E+01 1.795E+02 1.610E+02

The resulting phase shift from the capacitor causes the voltage across phase 1 lamp (between nodes 1 and 4)
to fall to 48.1 volts and the voltage across phase 2 lamp (between nodes 2 and 4) to rise to 179.5 volts,
making the first lamp dim and the second lamp bright. Just the opposite will happen if the phase sequence is
reversed:

phase rotation detector -- sequence = v3-v2-v1

v1 1 0 ac 120 240 sin
v2 2 0 ac 120 120 sin
v3 3 0 ac 120 0 sin
r1 1 4 2650
r2 2 4 2650
c1 3 4 1u
.ac lin 1 60 60
.print ac v(1,4) v(2,4) v(3,4)
.end

freq v(1,4) v(2,4) v(3,4)

6.000E+01 1.795E+02 4.810E+01 1.610E+02

Here, the first lamp receives 179.5 volts while the second receives only 48.1 volts.
We've investigated how phase rotation is produced (the order in which pole pairs get passed by the alternator's
rotating magnet) and how it can be changed by reversing the alternator's shaft rotation. However, reversal of
the alternator's shaft rotation is not usually an option open to an end-user of electrical power supplied by a
nationwide grid ("the" alternator actually being the combined total of all alternators in all power plants feeding
the grid). There is a much easier way to reverse phase sequence than reversing alternator rotation: just
exchange any two of the three "hot" wires going to a three-phase load.

This trick makes more sense if we take another look at a running phase sequence of a three-phase voltage
source:

1-2-3 rotation: 1-2-3-1-2-3-1-2-3-1-2-3-1-2-3 . . .

3-2-1 rotation: 3-2-1-3-2-1-3-2-1-3-2-1-3-2-1 . . .

What is commonly designated as a "1-2-3" phase rotation could just as well be called "2-3-1" or "3-1-2," going
from left to right in the number string above. Likewise, the opposite rotation (3-2-1) could just as easily be
called "2-1-3" or "1-3-2."

Starting out with a phase rotation of 3-2-1, we can try all the possibilities for swapping any two of the wires at
a time and see what happens to the resulting sequence:

No matter which pair of "hot" wires out of the three we choose to swap, the phase rotation ends up being
reversed (1-2-3 gets changed to 2-1-3, 1-3-2 or 3-2-1, all equivalent).

• REVIEW:
• Phase rotation, or phase sequence, is the order in which the voltage waveforms of a polyphase AC
source reach their respective peaks. For a three-phase system, there are only two possible phase
sequences: 1-2-3 and 3-2-1, corresponding to the two possible directions of alternator rotation.
• Phase rotation has no impact on resistive loads, but it will have impact on unbalanced reactive loads,
as shown in the operation of a phase rotation detector circuit.
• Phase rotation can be reversed by swapping any two of the three "hot" leads supplying three-phase
power to a three-phase load.
Polyphase motor design

Perhaps the most important benefit of polyphase AC power over single-phase is the design and operation of AC
motors. As we studied in the first chapter of this book, some types of AC motors are virtually identical in
construction to their alternator (generator) counterparts, consisting of stationary wire windings and a rotating
magnet assembly. (Other AC motor designs are not quite this simple, but we will leave those details to another
lesson).

If the rotating magnet is able to keep up with the frequency of the alternating current energizing the
electromagnet windings (coils), it will continue to be pulled around clockwise. However, clockwise is not the
only valid direction for this motor's shaft to spin. It could just as easily be powered in a counter-clockwise
direction by the same AC voltage waveform:
Notice that with the exact same sequence of polarity cycles (voltage, current, and magnetic poles produced by
the coils), the magnetic rotor can spin in either direction. This is a common trait of all single-phase AC
"induction" and "synchronous" motors: they have no normal or "correct" direction of rotation. The natural
question should arise at this point: how can the motor get started in the intended direction if it can run either
way just as well? The answer is that these motors need a little help getting started. Once helped to spin in a
particular direction. they will continue to spin that way as long as AC power is maintained to the windings.

Where that "help" comes from for a single-phase AC motor to get going in one direction can vary. Usually, it
comes from an additional set of windings positioned differently from the main set, and energized with an AC
voltage that is out of phase with the main power:

These supplementary coils are typically connected in series with a capacitor to introduce a phase shift in
current between the two sets of windings:
That phase shift creates magnetic fields from coils 2a and 2b that are equally out of step with the fields from
coils 1a and 1b. The result is a set of magnetic fields with a definite phase rotation. It is this phase rotation
that pulls the rotating magnet around in a definite direction.

Polyphase AC motors require no such trickery to spin in a definite direction. Because their supply voltage
waveforms already have a definite rotation sequence, so do the respective magnetic fields generated by the
motor's stationary windings. In fact, the combination of all three phase winding sets working together creates
what is often called a rotating magnetic field. It was this concept of a rotating magnetic field that inspired
Nikola Tesla to design the world's first polyphase electrical systems (simply to make simpler, more efficient
motors). The line current and safety advantages of polyphase power over single phase power were discovered
later.

What can be a confusing concept is made much clearer through analogy. Have you ever seen a row of blinking
light bulbs such as the kind used in Christmas decorations? Some strings appear to "move" in a definite
direction as the bulbs alternately glow and darken in sequence. Other strings just blink on and off with no
apparent motion. What makes the difference between the two types of bulb strings? Answer: phase shift!

Examine a string of lights where every other bulb is lit at any given time:

When all of the "1" bulbs are lit, the "2" bulbs are dark, and visa-versa. With this blinking sequence, there is no
definite "motion" to the bulbs' light. Your eyes could follow a "motion" from left to right just as easily as from
right to left. Technically, the "1" and "2" bulb blinking sequences are 180o out of phase (exactly opposite each
other). This is analogous to the single-phase AC motor, which can run just as easily in either direction, but
which cannot start on its own because its magnetic field alternation lacks a definite "rotation."

Now let's examine a string of lights where there are three sets of bulbs to be sequenced instead of just two,
and these three sets are equally out of phase with each other:
If the lighting sequence is 1-2-3 (the sequence shown), the bulbs will appear to "move" from left to right. Now
imagine this blinking string of bulbs arranged into a circle:

Now the lights appear to be "moving" in a clockwise direction because they are arranged around a circle
instead of a straight line. It should come as no surprise that the appearance of motion will reverse if the phase
sequence of the bulbs is reversed.

The blinking pattern will either appear to move clockwise or counter-clockwise depending on the phase
sequence. This is analogous to a three-phase AC motor with three sets of windings energized by voltage
sources of three different phase shifts:
With phase shifts of less than 180o we get true rotation of the magnetic field. With single-phase motors, the
rotating magnetic field necessary for self-starting must to be created by way of capacitive phase shift. With
polyphase motors, the necessary phase shifts are there already. Plus, the direction of shaft rotation for
polyphase motors is very easily reversed: just swap any two "hot" wires going to the motor, and it will run in
the opposite direction!

• REVIEW:
• AC "induction" and "synchronous" motors work by having a rotating magnet follow the alternating
magnetic fields produced by stationary wire windings.
• Single-phase AC motors of this type need help to get started spinning in a particular direction.
• By introducing a phase shift of less than 180o to the magnetic fields in such a motor, a definite
direction of shaft rotation can be established.
• Single-phase induction motors often use an auxiliary winding connected in series with a capacitor to
create the necessary phase shift.
• Polyphase motors don't need such measures; their direction of rotation is fixed by the phase sequence
of the voltage they're powered by.
• Swapping any two "hot" wires on a polyphase AC motor will reverse its phase sequence, thus
reversing its shaft rotation.

Three-phase Y and ∆ configurations

Initially we explored the idea of three-phase power systems by connecting three voltage sources together in
what is commonly known as the "Y" (or "star") configuration. This configuration of voltage sources is
characterized by a common connection point joining one side of each source:
If we draw a circuit showing each voltage source to be a coil of wire (alternator or transformer winding) and do
some slight rearranging, the "Y" configuration becomes more obvious:

The three conductors leading away from the voltage sources (windings) toward a load are typically called lines,
while the windings themselves are typically called phases. In a Y-connected system, there may or may not be
a neutral wire attached at the junction point in the middle, although it certainly helps alleviate potential
problems should one element of a three-phase load fail open, as discussed earlier:

When we measure voltage and current in three-phase systems, we need to be specific as to where we're
measuring. Line voltage refers to the amount of voltage measured between any two line conductors in a
balanced three-phase system. With the above circuit, the line voltage is roughly 208 volts. Phase voltage refers
to the voltage measured across any one component (source winding or load impedance) in a balanced three-
phase source or load. For the circuit shown above, the phase voltage is 120 volts. The terms line current and
phase current follow the same logic: the former referring to current through any one line conductor, and the
latter to current through any one component.

Y-connected sources and loads always have line voltages greater than phase voltages, and line currents equal
to phase currents. If the Y-connected source or load is balanced, the line voltage will be equal to the phase
voltage times the square root of 3:

However, the "Y" configuration is not the only valid one for connecting three-phase voltage source or load
elements together. Another configuration is known as the "Delta," for its geometric resemblance to the Greek
letter of the same name (∆). Take close notice of the polarity for each winding in the drawing below:

At first glance it seems as though three voltage sources like this would create a short-circuit, electrons flowing
around the triangle with nothing but the internal impedance of the windings to hold them back. Due to the
phase angles of these three voltage sources, however, this is not the case.

One quick check of this is to use Kirchhoff's Voltage Law to see if the three voltages around the loop add up to
zero. If they do, then there will be no voltage available to push current around and around that loop, and
consequently there will be no circulating current. Starting with the top winding and progressing counter-
clockwise, our KVL expression looks something like this:

Indeed, if we add these three vector quantities together, they do add up to zero. Another way to verify the fact
that these three voltage sources can be connected together in a loop without resulting in circulating currents is
to open up the loop at one junction point and calculate voltage across the break:
Starting with the right winding (120 V 120o) and progressing counter-clockwise, our KVL equation looks like
this:

Sure enough, there will be zero voltage across the break, telling us that no current will circulate within the
triangular loop of windings when that connection is made complete.

Having established that a ∆-connected three-phase voltage source will not burn itself to a crisp due to
circulating currents, we turn to its practical use as a source of power in three-phase circuits. Because each pair
of line conductors is connected directly across a single winding in a ∆ circuit, the line voltage will be equal to
the phase voltage. Conversely, because each line conductor attaches at a node between two windings, the line
current will be the vector sum of the two joining phase currents. Not surprisingly, the resulting equations for a
∆ configuration are as follows:

Let's see how this works in an example circuit:

With each load resistance receiving 120 volts from its respective phase winding at the source, the current in
each phase of this circuit will be 83.33 amps:
So, the each line current in this three-phase power system is equal to 144.34 amps, substantially more than
the line currents in the Y-connected system we looked at earlier. One might wonder if we've lost all the
advantages of three-phase power here, given the fact that we have such greater conductor currents,
necessitating thicker, more costly wire. The answer is no. Although this circuit would require three number 1
gage copper conductors (at 1000 feet of distance between source and load this equates to a little over 750
pounds of copper for the whole system), it is still less than the 1000+ pounds of copper required for a single-
phase system delivering the same power (30 kW) at the same voltage (120 volts conductor-to-conductor).

One distinct advantage of a ∆-connected system is its lack of a neutral wire. With a Y-connected system, a
neutral wire was needed in case one of the phase loads were to fail open (or be turned off), in order to keep
the phase voltages at the load from changing. This is not necessary (or even possible!) in a ∆-connected
circuit. With each load phase element directly connected across a respective source phase winding, the phase
voltage will be constant regardless of open failures in the load elements.

Perhaps the greatest advantage of the ∆-connected source is its fault tolerance. It is possible for one of the
windings in a ∆-connected three-phase source to fail open without affecting load voltage or current!

The only consequence of a source winding failing open for a ∆-connected source is increased phase current in
the remaining windings. Compare this fault tolerance with a Y-connected system suffering an open source
winding:
With a ∆-connected load, two of the resistances suffer reduced voltage while one remains at the original line
voltage, 208. A Y-connected load suffers an even worse fate with the same winding failure in a Y-connected
source:

In this case, two load resistances suffer reduced voltage while the third loses supply voltage completely! For
this reason, ∆-connected sources are preferred for reliability. However, if dual voltages are needed (e.g.
120/208) or preferred for lower line currents, Y-connected systems are the configuration of choice.

• REVIEW:
• The conductors connected to the three points of a three-phase source or load are called lines.
• The three components comprising a three-phase source or load are called phases.
• Line voltage is the voltage measured between any two lines in a three-phase circuit.
• Phase voltage is the voltage measured across a single component in a three-phase source or load.
• Line current is the current through any one line between a three-phase source and load.
• Phase current is the current through any one component comprising a three-phase source or load.
• In balanced "Y" circuits, line voltage is equal to phase voltage times the square root of 3, while line
current is equal to phase current.

•
• In balanced ∆ circuits, line voltage is equal to phase voltage, while line current is equal to phase
current times the square root of 3.

•
 • ∆-connected three-phase voltage sources give greater reliability in the event of winding failure than Y-
connected sources. However, Y-connected sources can deliver the same amount of power with less
line current than ∆-connected sources.

Three-phase transformer circuits

Since three-phase is used so often for power distribution systems, it makes sense that we would need three-
phase transformers to be able to step voltages up or down. This is only partially true, as regular single-phase
transformers can be ganged together to transform power between two three-phase systems in a variety of
configurations, eliminating the requirement for a special three-phase transformer. However, special three-
phase transformers are built for those tasks, and are able to perform with less material requirement, less size,
and less weight from their modular counterparts.

A three-phase transformer is made of three sets of primary and secondary windings, each set wound around
one leg of an iron core assembly. Essentially it looks like three single-phase transformers sharing a joined
core:

Those sets of primary and secondary windings will be connected in either ∆ or Y configurations to form a
complete unit. The various combinations of ways that these windings can be connected together in will be the
focus of this section.

Whether the winding sets share a common core assembly or each winding pair is a separate transformer, the
winding connection options are the same:

• Primary - Secondary
• Y-Y
• Y-∆
• ∆-Y
• ∆-∆

The reasons for choosing a Y or ∆ configuration for transformer winding connections are the same as for any
other three-phase application: Y connections provide the opportunity for multiple voltages, while ∆ connections
enjoy a higher level of reliability (if one winding fails open, the other two can still maintain full line voltages to
the load).

Probably the most important aspect of connecting three sets of primary and secondary windings together to
form a three-phase transformer bank is attention to proper winding phasing (the dots used to denote "polarity"
of windings). Remember the proper phase relationships between the phase windings of ∆ and Y:
Getting this phasing correct when the windings aren't shown in regular Y or ∆ configuration can be tricky. Let
me illustrate:

Three individual transformers are to be connected together to transform power from one three-phase system
to another. First, I'll show the wiring connections for a Y-Y configuration:
Note how all the winding ends marked with dots are connected to their respective phases A, B, and C, while
the non-dot ends are connected together to form the centers of each "Y". Having both primary and secondary
winding sets connected in "Y" formations allows for the use of neutral conductors (N1 and N2) in each power
system.

Now, we'll take a look at a Y-∆ configuration:

Note how the secondary windings (bottom set) are connected in a chain, the "dot'" side of one winding
connected to the "non-dot" side of the next, forming the ∆ loop. At every connection point between pairs of
windings, a connection is made to a line of the second power system (A, B, and C).

Now, let's examine a ∆-Y system:

Such a configuration would allow for the provision of multiple voltages (line-to-line or line-to-neutral) in the
second power system, from a source power system having no neutral.

And finally, we turn to the ∆-∆ configuration:

When there is no need for a neutral conductor in the secondary power system, ∆-∆ connection schemes are
preferred because of the inherent reliability of the ∆ configuration.

Considering that a ∆ configuration can operate satisfactorily missing one winding, some power system
designers choose to create a three-phase transformer bank with only two transformers, representing a ∆-∆
configuration with a missing winding in both the primary and secondary sides:
This configuration is called "V" or "Open-∆." Of course, each of the two transformers have to be oversized to
handle the same amount of power as three in a standard ∆ configuration, but the overall size, weight, and cost
advantages are often worth it. Bear in mind, however, that with one winding set missing from the ∆ shape, this
system no longer provides the fault tolerance of a normal ∆-∆ system. If one of the two transformers were to
fail, the load voltage and current would definitely be affected.

The following photograph shows a bank of step-up transformers at the Grand Coulee hydroelectric dam in
Washington state. Several transformers (green in color) may be seen from this vantage point, and they are
grouped in threes: three transformers per hydroelectric generator, wired together in some form of three-phase
configuration. The photograph doesn't reveal the primary winding connections, but it appears the secondaries
are connected in a Y configuration, being that there is only one large high-voltage insulator protruding from
each transformer. This suggests the other side of each transformer's secondary winding is at or near ground
potential, which could only be true in a Y system. The building to the left is the powerhouse, where the
generators and turbines are housed. On the right, the sloping concrete wall is the downstream face of the
dam:
Harmonics in polyphase power systems

In the chapter on mixed-frequency signals, we explored the concept of harmonics in AC systems: frequencies
that are integer multiples of the fundamental source frequency. With AC power systems where the source
voltage waveform coming from an AC generator (alternator) is supposed to be a single-frequency sine wave,
undistorted, there should be no harmonic content . . . ideally.

This would be true were it not for nonlinear components. Nonlinear components draw current
disproportionately with respect to the source voltage, causing non-sinusoidal current waveforms. Examples of
nonlinear components include gas-discharge lamps, semiconductor power-control devices (diodes, transistors,
SCRs, TRIACs), transformers (primary winding magnetization current is usually non-sinusoidal due to the B/H
saturation curve of the core), and electric motors (again, when magnetic fields within the motor's core operate
near saturation levels). Even incandescent lamps generate slightly nonsinusoidal currents, as the filament
resistance changes throughout the cycle due to rapid fluctuations in temperature. As we learned in the mixed-
frequency chapter, any distortion of an otherwise sine-wave shaped waveform constitutes the presence of
harmonic frequencies.

When the nonsinusoidal waveform in question is symmetrical above and below its average centerline, the
harmonic frequencies will be odd integer multiples of the fundamental source frequency only, with no even
integer multiples. Most nonlinear loads produce current waveforms like this, and so even-numbered harmonics
(2nd, 4th, 6th, 8th, 10th, 12th, etc.) are absent or only minimally present in most AC power systems.

Examples of symmetrical waveforms -- odd harmonics only:

Examples of nonsymmetrical waveforms -- even harmonics present:

Even though half of the possible harmonic frequencies are eliminated by the typically symmetrical distortion of
nonlinear loads, the odd harmonics can still cause problems. Some of these problems are general to all power
systems, single-phase or otherwise. Transformer overheating due to eddy current losses, for example, can
occur in any AC power system where there is significant harmonic content. However, there are some problems
caused by harmonic currents that are specific to polyphase power systems, and it is these problems to which
this section is specifically devoted.

It is helpful to be able to simulate nonlinear loads in SPICE so as to avoid a lot of complex mathematics and
obtain a more intuitive understanding of harmonic effects. First, we'll begin our simulation with a very simple
AC circuit: a single sine-wave voltage source with a purely linear load and all associated resistances:

The Rsource and Rline resistances in this circuit do more than just mimic the real world: they also provide
convenient shunt resistances for measuring currents in the SPICE simulation: by reading voltage across a 1 Ω
resistance, you obtain a direct indication of current through it, since E = IR.

A SPICE simulation of this circuit with Fourier analysis on the voltage measured across Rline should show us the
harmonic content of this circuit's line current. Being completely linear in nature, we should expect no
harmonics other than the 1st (fundamental) of 60 Hz, assuming a 60 Hz source:

linear load simulation

vsource 1 0 sin(0 120 60 0 0)
rsource 1 2 1
rline 2 3 1
rload 3 0 1k
.options itl5=0
.tran 0.5m 30m 0 1u
.plot tran v(2,3)
.four 60 v(2,3)
.end

fourier components of transient response v(2,3)

dc component = 4.028E-12
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 -72.000 0.000
2 1.200E+02 5.793E-12 0.000000 51.122 123.122
3 1.800E+02 7.407E-12 0.000000 -34.624 37.376
4 2.400E+02 9.056E-12 0.000000 4.267 76.267
5 3.000E+02 1.651E-11 0.000000 -83.461 -11.461
6 3.600E+02 3.931E-11 0.000000 36.399 108.399
7 4.200E+02 2.338E-11 0.000000 -41.343 30.657
8 4.800E+02 4.716E-11 0.000000 53.324 125.324
9 5.400E+02 3.453E-11 0.000000 21.691 93.691
total harmonic distortion = 0.000000 percent

A .plot command appears in the SPICE netlist, and normally this would result in a sine-wave graph output.
In this case, however, I've purposely omitted the waveform display for brevity's sake -- the .plot command
is in the netlist simply to satisfy a quirk of SPICE's Fourier transform function.

No discrete Fourier transform is perfect, and so we see very small harmonic currents indicated (in the pico-amp
range!) for all frequencies up to the 9th harmonic, which is as far as SPICE goes in performing Fourier analysis.
We show 0.1198 amps (1.198E-01) for the "fourier component" of the 1st harmonic, or the fundamental
frequency, which is our expected load current: about 120 mA, given a source voltage of 120 volts and a load
resistance of 1 kΩ.

Next, I'd like to simulate a nonlinear load so as to generate harmonic currents. This can be done in two
fundamentally different ways. One way is to design a load using nonlinear components such as diodes or other
semiconductor devices which as easy to simulate with SPICE. Another is to add some AC current sources in
parallel with the load resistor. The latter method is often preferred by engineers for simulating harmonics,
since current sources of known value lend themselves better to mathematical network analysis than
components with highly complex response characteristics. Since we're letting SPICE do all the math work, the
complexity of a semiconductor component would cause no trouble for us, but since current sources can be fine-
tuned to produce any arbitrary amount of current (a convenient feature), I'll choose the latter approach:
Nonlinear load simulation
vsource 1 0 sin(0 120 60 0 0)
rsource 1 2 1
rline 2 3 1
rload 3 0 1k
i3har 3 0 sin(0 50m 180 0 0)
.options itl5=0
.tran 0.5m 30m 0 1u
.plot tran v(2,3)
.four 60 v(2,3)
.end

In this circuit, we have a current source of 50 mA magnitude and a frequency of 180 Hz, which is three times
the source frequency of 60 Hz. Connected in parallel with the 1 kΩ load resistor, its current will add with the
resistor's to make a nonsinusoidal total line current. I'll show the waveform plot here just so you can see the
effects of this 3rd-harmonic current on the total current, which would ordinarily be a plain sine wave:

time v(2,3)
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 0.000E+00 . . * . .
5.000E-04 4.918E-02 . . . * . .
1.000E-03 8.924E-02 . . . * . .
1.500E-03 1.137E-01 . . . . * .
2.000E-03 1.204E-01 . . . . * .
2.500E-03 1.123E-01 . . . . * .
3.000E-03 9.595E-02 . . . *. .
3.500E-03 7.962E-02 . . . * . .
4.000E-03 7.051E-02 . . . * . .
4.500E-03 7.242E-02 . . . * . .
5.000E-03 8.457E-02 . . . * . .
5.500E-03 1.018E-01 . . . * .
6.000E-03 1.163E-01 . . . . * .
6.500E-03 1.201E-01 . . . . * .
7.000E-03 1.075E-01 . . . .* .
7.500E-03 7.738E-02 . . . * . .
8.000E-03 3.338E-02 . . . * . .
8.500E-03 -1.687E-02 . . * . . .
9.000E-03 -6.394E-02 . . * . . .
9.500E-03 -9.932E-02 . * . . .
1.000E-02 -1.179E-01 . * . . . .
1.050E-02 -1.191E-01 . * . . . .
1.100E-02 -1.074E-01 . *. . . .
1.150E-02 -9.010E-02 . .* . . .
1.200E-02 -7.551E-02 . . * . . .
1.250E-02 -6.986E-02 . . * . . .
1.300E-02 -7.551E-02 . . * . . .
1.350E-02 -9.010E-02 . .* . . .
1.400E-02 -1.074E-01 . *. . . .
1.450E-02 -1.191E-01 . * . . . .
1.500E-02 -1.179E-01 . * . . . .
1.550E-02 -9.932E-02 . * . . .
1.600E-02 -6.394E-02 . . * . . .
1.650E-02 -1.687E-02 . . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

fourier components of transient response v(2,3)

dc component = 1.349E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 -72.000 0.000
2 1.200E+02 1.609E-11 0.000000 67.570 139.570
3 1.800E+02 4.990E-02 0.416667 144.000 216.000
4 2.400E+02 1.074E-10 0.000000 -169.546 -97.546
5 3.000E+02 3.871E-11 0.000000 169.582 241.582
6 3.600E+02 5.736E-11 0.000000 140.845 212.845
7 4.200E+02 8.407E-11 0.000000 177.071 249.071
8 4.800E+02 1.329E-10 0.000000 156.772 228.772
9 5.400E+02 2.619E-10 0.000000 160.498 232.498
total harmonic distortion = 41.666663 percent

In the Fourier analysis, the mixed frequencies are unmixed and presented separately. Here we see the same
0.1198 amps of 60 Hz (fundamental) current as we did in the first simulation, but appearing in the 3rd
harmonic row we see 49.9 mA: our 50 mA, 180 Hz current source at work. Why don't we see the entire 50 mA
through the line? Because that current source is connected across the 1 kΩ load resistor, so some of its current
is shunted through the load and never goes through the line back to the source. It's an inevitable consequence
of this type of simulation, where one part of the load is "normal" (a resistor) and the other part is imitated by a
current source.

If we were to add more current sources to the "load," we would see further distortion of the line current
waveform from the ideal sine-wave shape, and each of those harmonic currents would appear in the Fourier
analysis breakdown:

Nonlinear load simulation

vsource 1 0 sin(0 120 60 0 0)
rsource 1 2 1
rline 2 3 1
rload 3 0 1k
i3har 3 0 sin(0 50m 180 0 0)
i5har 3 0 sin(0 50m 300 0 0)
i7har 3 0 sin(0 50m 420 0 0)
i9har 3 0 sin(0 50m 540 0 0)
.options itl5=0
.tran 0.5m 30m 0 1u
.plot tran v(2,3)
.four 60 v(2,3)
.end

fourier components of transient response v(2,3)

dc component = 6.299E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 -72.000 0.000
2 1.200E+02 1.900E-09 0.000000 -93.908 -21.908
3 1.800E+02 4.990E-02 0.416667 144.000 216.000
4 2.400E+02 5.469E-09 0.000000 -116.873 -44.873
5 3.000E+02 4.990E-02 0.416667 0.000 72.000
6 3.600E+02 6.271E-09 0.000000 85.062 157.062
7 4.200E+02 4.990E-02 0.416666 -144.000 -72.000
8 4.800E+02 2.742E-09 0.000000 -38.781 33.219
9 5.400E+02 4.990E-02 0.416666 72.000 144.000
total harmonic distortion = 83.333296 percent

As you can see from the Fourier analysis, every harmonic current source is equally represented in the line
current, at 49.9 mA each. So far, this is just a single-phase power system simulation. Things get more
interesting when we make it a three-phase simulation. Two Fourier analyses will be performed: one for the
voltage across a line resistor, and one for the voltage across the neutral resistor. As before, reading voltages
across fixed resistances of 1 Ω each gives direct indications of current through those resistors:

Y-Y source/load 4-wire system with harmonics

*
* phase1 voltage source and r (120 v /_ 0 deg)
vsource1 1 0 sin(0 120 60 0 0)
rsource1 1 2 1
*
* phase2 voltage source and r (120 v /_ 120 deg)
vsource2 3 0 sin(0 120 60 5.55555m 0)
rsource2 3 4 1
*
* phase3 voltage source and r (120 v /_ 240 deg)
vsource3 5 0 sin(0 120 60 11.1111m 0)
rsource3 5 6 1
*
* line and neutral wire resistances
rline1 2 8 1
rline2 4 9 1
rline3 6 10 1
rneutral 0 7 1
*
* phase 1 of load
rload1 8 7 1k
i3har1 8 7 sin(0 50m 180 0 0)
i5har1 8 7 sin(0 50m 300 0 0)
i7har1 8 7 sin(0 50m 420 0 0)
i9har1 8 7 sin(0 50m 540 0 0)
*
* phase 2 of load
rload2 9 7 1k
i3har2 9 7 sin(0 50m 180 5.55555m 0)
i5har2 9 7 sin(0 50m 300 5.55555m 0)
i7har2 9 7 sin(0 50m 420 5.55555m 0)
i9har2 9 7 sin(0 50m 540 5.55555m 0)
*
* phase 3 of load
rload3 10 7 1k
i3har3 10 7 sin(0 50m 180 11.1111m 0)
i5har3 10 7 sin(0 50m 300 11.1111m 0)
i7har3 10 7 sin(0 50m 420 11.1111m 0)
i9har3 10 7 sin(0 50m 540 11.1111m 0)
*
* analysis stuff
.options itl5=0
.tran 0.5m 100m 12m 1u
.plot tran v(2,8)
.four 60 v(2,8)
.plot tran v(0,7)
.four 60 v(0,7)
.end

Fourier analysis of line current:

fourier components of transient response v(2,8)

dc component = -6.404E-12
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 0.000 0.000
2 1.200E+02 2.218E-10 0.000000 172.985 172.985
3 1.800E+02 4.975E-02 0.415423 0.000 0.000
4 2.400E+02 4.236E-10 0.000000 166.990 166.990
5 3.000E+02 4.990E-02 0.416667 0.000 0.000
6 3.600E+02 1.877E-10 0.000000 -147.146 -147.146
7 4.200E+02 4.990E-02 0.416666 0.000 0.000
8 4.800E+02 2.784E-10 0.000000 -148.811 -148.811
9 5.400E+02 4.975E-02 0.415422 0.000 0.000
total harmonic distortion = 83.209009 percent

Fourier analysis of neutral current:

fourier components of transient response v(0,7)

dc component = 1.819E-10
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 4.337E-07 1.000000 60.018 0.000
2 1.200E+02 1.869E-10 0.000431 91.206 31.188
3 1.800E+02 1.493E-01 344147.7638 -180.000 -240.018
4 2.400E+02 1.257E-09 0.002898 -21.103 -81.121
5 3.000E+02 9.023E-07 2.080596 119.981 59.963
6 3.600E+02 3.396E-10 0.000783 15.882 -44.136
7 4.200E+02 1.264E-06 2.913955 59.993 -0.025
8 4.800E+02 5.975E-10 0.001378 35.584 -24.434
9 5.400E+02 1.493E-01 344147.4889 -179.999 -240.017

This is a balanced Y-Y power system, each phase identical to the single-phase AC system simulated earlier.
Consequently, it should come as no surprise that the Fourier analysis for line current in one phase of the 3-
phase system is nearly identical to the Fourier analysis for line current in the single-phase system: a
fundamental (60 Hz) line current of 0.1198 amps, and odd harmonic currents of approximately 50 mA each.

What should be surprising here is the analysis for the neutral conductor's current, as determined by the
voltage drop across the Rneutral resistor between SPICE nodes 0 and 7. In a balanced 3-phase Y load, we would
expect the neutral current to be zero. Each phase current -- which by itself would go through the neutral wire
back to the supplying phase on the source Y -- should cancel each other in regard to the neutral conductor
because they're all the same magnitude and all shifted 120o apart. In a system with no harmonic currents, this
is what happens, leaving zero current through the neutral conductor. However, we cannot say the same for
harmonic currents in the same system.

Note that the fundamental frequency (60 Hz, or the 1st harmonic) current is virtually absent from the neutral
conductor. Our Fourier analysis shows only 0.4337 µA of 1st harmonic when reading voltage across Rneutral. The
same may be said about the 5th and 7th harmonics, both of those currents having negligible magnitude. In
contrast, the 3rd and 9th harmonics are strongly represented within the neutral conductor, with 149.3 mA
(1.493E-01 volts across 1 Ω) each! This is very nearly 150 mA, or three times the current sources' values,
individually. With three sources per harmonic frequency in the load, it appears our 3rd and 9th harmonic
currents in each phase are adding to form the neutral current.

This is exactly what's happening, though it might not be apparent why this is so. The key to understanding this
is made clear in a time-domain graph of phase currents. Examine this plot of balanced phase currents over
time, with a phase sequence of 1-2-3:

With the three fundamental waveforms equally shifted across the time axis of the graph, it is easy to see how
they would cancel each other to give a resultant current of zero in the neutral conductor. Let's consider,
though, what a 3rd harmonic waveform for phase 1 would look like superimposed on the graph:
Observe how this harmonic waveform has the same phase relationship to the 2nd and 3rd fundamental
waveforms as it does with the 1st: in each positive half-cycle of any of the fundamental waveforms, you will
find exactly two positive half-cycles and one negative half-cycle of the harmonic waveform. What this means is
that the 3rd-harmonic waveforms of three 120o phase-shifted fundamental-frequency waveforms are actually
in phase with each other. The phase shift figure of 120o generally assumed in three-phase AC systems applies
only to the fundamental frequencies, not to their harmonic multiples!

If we were to plot all three 3rd-harmonic waveforms on the same graph, we would see them precisely overlap
and appear as a single, unified waveform (shown here in bold):

For the more mathematically inclined, this principle may be expressed symbolically. Suppose that A represents
one waveform and B another, both at the same frequency, but shifted 120o from each other in terms of phase.
Let's call the 3rd harmonic of each waveform A' and B', respectively. The phase shift between A' and B' is not
120o (that is the phase shift between A and B), but 3 times that, because the A' and B' waveforms alternate
three times as fast as A and B. The shift between waveforms is only accurately expressed in terms of phase
angle when the same angular velocity is assumed. When relating waveforms of different frequency, the most
accurate way to represent phase shift is in terms of time; and the time-shift between A' and B' is equivalent to
120o at a frequency three times lower, or 360o at the frequency of A' and B'. A phase shift of 360o is the same
as a phase shift of 0o, which is to say no phase shift at all. Thus, A' and B' must be in phase with each other:

This characteristic of the 3rd harmonic in a three-phase system also holds true for any integer multiples of the
3rd harmonic. So, not only are the 3rd harmonic waveforms of each fundamental waveform in phase with each
other, but so are the 6th harmonics, the 9th harmonics, the 12th harmonics, the 15th harmonics, the 18th
harmonics, the 21st harmonics, and so on. Since only odd harmonics appear in systems where waveform
distortion is symmetrical about the centerline -- and most nonlinear loads create symmetrical distortion --
even-numbered multiples of the 3rd harmonic (6th, 12th, 18th, etc.) are generally not significant, leaving only
the odd-numbered multiples (3rd, 9th, 21st, etc.) to significantly contribute to neutral currents.

In polyphase power systems with some number of phases other than three, this effect occurs with harmonics
of the same multiple. For instance, the harmonic currents that add in the neutral conductor of a star-connected
4-phase system where the phase shift between fundamental waveforms is 90o would be the 4th, 8th, 12th,
16th, 20th, and so on.

Due to their abundance and significance in three-phase power systems, the 3rd harmonic and its multiples
have their own special name: triplen harmonics. All triplen harmonics add with each other in the neutral
conductor of a 4-wire Y-connected load. In power systems containing substantial nonlinear loading, the triplen
harmonic currents may be of great enough magnitude to cause neutral conductors to overheat. This is very
problematic, as other safety concerns prohibit neutral conductors from having overcurrent protection, and thus
there is no provision for automatic interruption of these high currents.
The following illustration shows how triplen harmonic currents created at the load add within the neutral
conductor. The symbol "ω" is used to represent angular velocity, and is mathematically equivalent to 2πf. So,
"ω" represents the fundamental frequency, "3ω " represents the 3rd harmonic, "5ω" represents the 5th
harmonic, and so on:

In an effort to mitigate these additive triplen currents, one might be tempted to remove the neutral wire
entirely. If there is no neutral wire in which triplen currents can flow together, then they won't, right?
Unfortunately, doing so just causes a different problem: the load's "Y" center-point will no longer be at the
same potential as the source's, meaning that each phase of the load will receive a different voltage than what
is produced by the source. We'll re-run the last SPICE simulation without the 1 Ω Rneutral resistor and see what
happens:

Y-Y source/load (no neutral) with harmonics

*
* phase1 voltage source and r (120 v /_ 0 deg)
vsource1 1 0 sin(0 120 60 0 0)
rsource1 1 2 1
*
* phase2 voltage source and r (120 v /_ 120 deg)
vsource2 3 0 sin(0 120 60 5.55555m 0)
rsource2 3 4 1
*
* phase3 voltage source and r (120 v /_ 240 deg)
vsource3 5 0 sin(0 120 60 11.1111m 0)
rsource3 5 6 1
*
* line resistances
rline1 2 8 1
rline2 4 9 1
rline3 6 10 1
*
* phase 1 of load
rload1 8 7 1k
i3har1 8 7 sin(0 50m 180 0 0)
i5har1 8 7 sin(0 50m 300 0 0)
i7har1 8 7 sin(0 50m 420 0 0)
i9har1 8 7 sin(0 50m 540 0 0)
*
* phase 2 of load
rload2 9 7 1k
i3har2 9 7 sin(0 50m 180 5.55555m 0)
i5har2 9 7 sin(0 50m 300 5.55555m 0)
i7har2 9 7 sin(0 50m 420 5.55555m 0)
i9har2 9 7 sin(0 50m 540 5.55555m 0)
*
* phase 3 of load
rload3 10 7 1k
i3har3 10 7 sin(0 50m 180 11.1111m 0)
i5har3 10 7 sin(0 50m 300 11.1111m 0)
i7har3 10 7 sin(0 50m 420 11.1111m 0)
i9har3 10 7 sin(0 50m 540 11.1111m 0)
*
* analysis stuff
.options itl5=0
.tran 0.5m 100m 12m 1u
.plot tran v(2,8)
.four 60 v(2,8)
.plot tran v(0,7)
.four 60 v(0,7)
.plot tran v(8,7)
.four 60 v(8,7)
.end

Fourier analysis of line current:

fourier components of transient response v(2,8)

dc component = 5.423E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 0.000 0.000
2 1.200E+02 2.388E-10 0.000000 158.016 158.016
3 1.800E+02 3.136E-07 0.000003 -90.009 -90.009
4 2.400E+02 5.963E-11 0.000000 -111.510 -111.510
5 3.000E+02 4.990E-02 0.416665 0.000 0.000
6 3.600E+02 8.606E-11 0.000000 -124.565 -124.565
7 4.200E+02 4.990E-02 0.416668 0.000 0.000
8 4.800E+02 8.126E-11 0.000000 -159.638 -159.638
9 5.400E+02 9.406E-07 0.000008 -90.005 -90.005
total harmonic distortion = 58.925539 percent

Fourier analysis of voltage between the two "Y" center-points:

fourier components of transient response v(0,7)

dc component = 6.093E-08
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.453E-04 1.000000 60.018 0.000
2 1.200E+02 6.263E-08 0.000431 91.206 31.188
3 1.800E+02 5.000E+01 344147.7879 -180.000 -240.018
4 2.400E+02 4.210E-07 0.002898 -21.103 -81.121
5 3.000E+02 3.023E-04 2.080596 119.981 59.963
6 3.600E+02 1.138E-07 0.000783 15.882 -44.136
7 4.200E+02 4.234E-04 2.913955 59.993 -0.025
8 4.800E+02 2.001E-07 0.001378 35.584 -24.434
9 5.400E+02 5.000E+01 344147.4728 -179.999 -240.017
total harmonic distortion = ************ percent
Fourier analysis of load phase voltage:

fourier components of transient response v(8,7)

dc component = 6.070E-08
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E+02 1.000000 0.000 0.000
2 1.200E+02 6.231E-08 0.000000 90.473 90.473
3 1.800E+02 5.000E+01 0.417500 -180.000 -180.000
4 2.400E+02 4.278E-07 0.000000 -19.747 -19.747
5 3.000E+02 9.995E-02 0.000835 179.850 179.850
6 3.600E+02 1.023E-07 0.000000 13.485 13.485
7 4.200E+02 9.959E-02 0.000832 179.790 179.789
8 4.800E+02 1.991E-07 0.000000 35.462 35.462
9 5.400E+02 5.000E+01 0.417499 -179.999 -179.999
total harmonic distortion = 59.043467 percent

Strange things are happening, indeed. First, we see that the triplen harmonic currents (3rd and 9th) all but
disappear in the lines connecting load to source. The 5th and 7th harmonic currents are present at their normal
levels (approximately 50 mA), but the 3rd and 9th harmonic currents are of negligible magnitude. Second, we
see that there is substantial harmonic voltage between the two "Y" center-points, between which the neutral
conductor used to connect. According to SPICE, there is 50 volts of both 3rd and 9th harmonic frequency
between these two points, which is definitely not normal in a linear (no harmonics), balanced Y system. Finally,
the voltage as measured across one of the load's phases (between nodes 8 and 7 in the SPICE analysis)
likewise shows strong triplen harmonic voltages of 50 volts each.

The following illustration is a graphical summary of the aforementioned effects:

In summary, removal of the neutral conductor leads to a "hot" center-point on the load "Y", and also to
harmonic load phase voltages of equal magnitude, all comprised of triplen frequencies. In the previous
simulation where we had a 4-wire, Y-connected system, the undesirable effect from harmonics was excessive
neutral current, but at least each phase of the load received voltage nearly free of harmonics.

Since removing the neutral wire didn't seem to work in eliminating the problems caused by harmonics, perhaps
switching to a ∆ configuration will. Let's try a ∆ source instead of a Y, keeping the load in its present Y
configuration, and see what happens. The measured parameters will be line current (voltage across Rline, nodes
0 and 8), load phase voltage (nodes 8 and 7), and source phase current (voltage across Rsource, nodes 1 and 2):
Delta-Y source/load with harmonics
*
* phase1 voltage source and r (120 v /_ 0 deg)
vsource1 1 0 sin(0 207.846 60 0 0)
rsource1 1 2 1
*
* phase2 voltage source and r (120 v /_ 120 deg)
vsource2 3 2 sin(0 207.846 60 5.55555m 0)
rsource2 3 4 1
*
* phase3 voltage source and r (120 v /_ 240 deg)
vsource3 5 4 sin(0 207.846 60 11.1111m 0)
rsource3 5 0 1
*
* line resistances
rline1 0 8 1
rline2 2 9 1
rline3 4 10 1
*
* phase 1 of load
rload1 8 7 1k
i3har1 8 7 sin(0 50m 180 9.72222m 0)
i5har1 8 7 sin(0 50m 300 9.72222m 0)
i7har1 8 7 sin(0 50m 420 9.72222m 0)
i9har1 8 7 sin(0 50m 540 9.72222m 0)
*
* phase 2 of load
rload2 9 7 1k
i3har2 9 7 sin(0 50m 180 15.2777m 0)
i5har2 9 7 sin(0 50m 300 15.2777m 0)
i7har2 9 7 sin(0 50m 420 15.2777m 0)
i9har2 9 7 sin(0 50m 540 15.2777m 0)
*
* phase 3 of load
rload3 10 7 1k
i3har3 10 7 sin(0 50m 180 4.16666m 0)
i5har3 10 7 sin(0 50m 300 4.16666m 0)
i7har3 10 7 sin(0 50m 420 4.16666m 0)
i9har3 10 7 sin(0 50m 540 4.16666m 0)
*
* analysis stuff
.options itl5=0
.tran 0.5m 100m 16m 1u
.plot tran v(0,8) v(8,7) v(1,2)
.four 60 v(0,8) v(8,7) v(1,2)
.end

Note: the following paragraph is for those curious readers who follow every detail of my SPICE netlists. If you
just want to find out what happens in the circuit, skip this paragraph! When simulating circuits having AC
sources of differing frequency and differing phase, the only way to do it in SPICE is to set up the sources with a
delay time or phase offset specified in seconds. Thus, the 0o source has these five specifying figures: "(0
207.846 60 0 0)", which means 0 volts DC offset, 207.846 volts peak amplitude (120 times the square root of
three, to ensure the load phase voltages remain at 120 volts each), 60 Hz, 0 time delay, and 0 damping factor.
The 120o phase-shifted source has these figures: "(0 207.846 60 5.55555m 0)", all the same as the first
except for the time delay factor of 5.55555 milliseconds, or 1/3 of the full period of 16.6667 milliseconds for a
60 Hz waveform. The 240o source must be time-delayed twice that amount, equivalent to a fraction of 240/360
of 16.6667 milliseconds, or 11.1111 milliseconds. This is for the ∆-connected source. The Y-connected load, on
the other hand, requires a different set of time-delay figures for its harmonic current sources, because the
phase voltages in a Y load are not in phase with the phase voltages of a ∆ source. If ∆ source voltages VAC, VBA,
and VCB are referenced at 0o, 120o, and 240o, respectively, then "Y" load voltages VA, VB, and VC will have phase
angles of -30o, 90o, and 210o, respectively. This is an intrinsic property of all ∆-Y circuits and not a quirk of
SPICE. Therefore, when I specified the delay times for the harmonic sources, I had to set them at 15.2777
milliseconds (-30o, or +330o), 4.16666 milliseconds (90o), and 9.72222 milliseconds (210o). One final note:
when delaying AC sources in SPICE, they don't "turn on" until their delay time has elapsed, which means any
mathematical analysis up to that point in time will be in error. Consequently, I set the .tran transient
analysis line to hold off analysis until 16 milliseconds after start, which gives all sources in the netlist time to
engage before any analysis takes place.

The result of this analysis is almost as disappointing as the last. Line currents remain unchanged (the only
substantial harmonic content being the 5th and 7th harmonics), and load phase voltages remain unchanged as
well, with a full 50 volts of triplen harmonic (3rd and 9th) frequencies across each load component. Source
phase current is a fraction of the line current, which should come as no surprise. Both 5th and 7th harmonics
are represented there, with negligible triplen harmonics:

Fourier analysis of line current:

fourier components of transient response v(0,8)

dc component = -6.850E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E-01 1.000000 150.000 0.000
2 1.200E+02 2.491E-11 0.000000 159.723 9.722
3 1.800E+02 1.506E-06 0.000013 0.005 -149.996
4 2.400E+02 2.033E-11 0.000000 52.772 -97.228
5 3.000E+02 4.994E-02 0.416682 30.002 -119.998
6 3.600E+02 1.234E-11 0.000000 57.802 -92.198
7 4.200E+02 4.993E-02 0.416644 -29.998 -179.998
8 4.800E+02 8.024E-11 0.000000 -174.200 -324.200
9 5.400E+02 4.518E-06 0.000038 -179.995 -329.995
total harmonic distortion = 58.925038 percent

Fourier analysis of load phase voltage:

fourier components of transient response v(8,7)

dc component = 1.259E-08
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.198E+02 1.000000 150.000 0.000
2 1.200E+02 1.941E-07 0.000000 49.693 -100.307
3 1.800E+02 5.000E+01 0.417222 -89.998 -239.998
4 2.400E+02 1.519E-07 0.000000 66.397 -83.603
5 3.000E+02 6.466E-02 0.000540 -151.112 -301.112
6 3.600E+02 2.433E-07 0.000000 68.162 -81.838
7 4.200E+02 6.931E-02 0.000578 148.548 -1.453
8 4.800E+02 2.398E-07 0.000000 -174.897 -324.897
9 5.400E+02 5.000E+01 0.417221 90.006 -59.995
total harmonic distortion = 59.004109 percent

Fourier analysis of source phase current:

fourier components of transient response v(1,2)

dc component = 3.564E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 6.906E-02 1.000000 -0.181 0.000
2 1.200E+02 1.525E-11 0.000000 -156.674 -156.493
3 1.800E+02 1.422E-06 0.000021 -179.996 -179.815
4 2.400E+02 2.949E-11 0.000000 -110.570 -110.390
5 3.000E+02 2.883E-02 0.417440 -179.996 -179.815
6 3.600E+02 2.324E-11 0.000000 -91.926 -91.745
7 4.200E+02 2.883E-02 0.417398 -179.994 -179.813
8 4.800E+02 4.140E-11 0.000000 -39.875 -39.694
9 5.400E+02 4.267E-06 0.000062 0.006 0.186
total harmonic distortion = 59.031969 percent

Really, the only advantage of the ∆-Y configuration from the standpoint of harmonics is that there is no longer
a center-point at the load posing a shock hazard. Otherwise, the load components receive the same
harmonically-rich voltages and the lines see the same currents as in a three-wire Y system.

If we were to reconfigure the system into a ∆-∆ arrangement, that should guarantee that each load component
receives non-harmonic voltage, since each load phase would be directly connected in parallel with each source
phase. The complete lack of any neutral wires or "center points" in a ∆-∆ system prevents strange voltages or
additive currents from occurring. It would seem to be the ideal solution. Let's simulate and observe, analyzing
line current, load phase voltage, and source phase current:

Delta-Delta source/load with harmonics

*
* phase1 voltage source and r (120 v /_ 0 deg)
vsource1 1 0 sin(0 120 60 0 0)
rsource1 1 2 1
*
* phase2 voltage source and r (120 v /_ 120 deg)
vsource2 3 2 sin(0 120 60 5.55555m 0)
rsource2 3 4 1
*
* phase3 voltage source and r (120 v /_ 240 deg)
vsource3 5 4 sin(0 120 60 11.1111m 0)
rsource3 5 0 1
*
* line resistances
rline1 0 6 1
rline2 2 7 1
rline3 4 8 1
*
* phase 1 of load
rload1 7 6 1k
i3har1 7 6 sin(0 50m 180 0 0)
i5har1 7 6 sin(0 50m 300 0 0)
i7har1 7 6 sin(0 50m 420 0 0)
i9har1 7 6 sin(0 50m 540 0 0)
*
* phase 2 of load
rload2 8 7 1k
i3har2 8 7 sin(0 50m 180 5.55555m 0)
i5har2 8 7 sin(0 50m 300 5.55555m 0)
i7har2 8 7 sin(0 50m 420 5.55555m 0)
i9har2 8 7 sin(0 50m 540 5.55555m 0)
*
* phase 3 of load
rload3 6 8 1k
i3har3 6 8 sin(0 50m 180 11.1111m 0)
i5har3 6 8 sin(0 50m 300 11.1111m 0)
i7har3 6 8 sin(0 50m 420 11.1111m 0)
i9har3 6 8 sin(0 50m 540 11.1111m 0)
*
* analysis stuff
.options itl5=0
.tran 0.5m 100m 16m 1u
.plot tran v(0,6) v(7,6) v(2,1) i(3har1)
.four 60 v(0,6) v(7,6) v(2,1)
.end

Fourier analysis of line current:

fourier components of transient response v(0,6)

dc component = -6.007E-11
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 2.070E-01 1.000000 150.000 0.000
2 1.200E+02 5.480E-11 0.000000 156.666 6.666
3 1.800E+02 6.257E-07 0.000003 89.990 -60.010
4 2.400E+02 4.911E-11 0.000000 8.187 -141.813
5 3.000E+02 8.626E-02 0.416664 -149.999 -300.000
6 3.600E+02 1.089E-10 0.000000 -31.997 -181.997
7 4.200E+02 8.626E-02 0.416669 150.001 0.001
8 4.800E+02 1.578E-10 0.000000 -63.940 -213.940
9 5.400E+02 1.877E-06 0.000009 89.987 -60.013
total harmonic distortion = 58.925538 percent

Fourier analysis of load phase voltage:

fourier components of transient response v(7,6)

dc component = -5.680E-10
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.195E+02 1.000000 0.000 0.000
2 1.200E+02 1.039E-09 0.000000 144.749 144.749
3 1.800E+02 1.251E-06 0.000000 89.974 89.974
4 2.400E+02 4.215E-10 0.000000 36.127 36.127
5 3.000E+02 1.992E-01 0.001667 -180.000 -180.000
6 3.600E+02 2.499E-09 0.000000 -4.760 -4.760
7 4.200E+02 1.992E-01 0.001667 -180.000 -180.000
8 4.800E+02 2.951E-09 0.000000 -151.385 -151.385
9 5.400E+02 3.752E-06 0.000000 89.905 89.905
total harmonic distortion = 0.235702 percent

Fourier analysis of source phase current:

fourier components of transient response v(2,1)

dc component = -1.923E-12
harmonic frequency fourier normalized phase normalized
no (hz) component component (deg) phase (deg)
1 6.000E+01 1.194E-01 1.000000 179.940 0.000
2 1.200E+02 2.569E-11 0.000000 133.491 -46.449
3 1.800E+02 3.129E-07 0.000003 89.985 -89.955
4 2.400E+02 2.657E-11 0.000000 23.368 -156.571
5 3.000E+02 4.980E-02 0.416918 -180.000 -359.939
6 3.600E+02 4.595E-11 0.000000 -22.475 -202.415
7 4.200E+02 4.980E-02 0.416921 -180.000 -359.939
8 4.800E+02 7.385E-11 0.000000 -63.759 -243.699
9 5.400E+02 9.385E-07 0.000008 89.991 -89.949
total harmonic distortion = 58.961298 percent

As predicted earlier, the load phase voltage is almost a pure sine-wave, with negligible harmonic content,
thanks to the direct connection with the source phases in a ∆-∆ system. But what happened to the triplen
harmonics? The 3rd and 9th harmonic frequencies don't appear in any substantial amount in the line current,
nor in the load phase voltage, nor in the source phase current! We know that triplen currents exist, because
the 3rd and 9th harmonic current sources are intentionally placed in the phases of the load, but where did
those currents go?

Remember that the triplen harmonics of 120o phase-shifted fundamental frequencies are in phase with each
other. Note the directions that the arrows of the current sources within the load phases are pointing, and think
about what would happen if the 3rd and 9th harmonic sources were DC sources instead. What we would have
is current circulating within the loop formed by the ∆-connected phases. This is where the triplen harmonic
currents have gone: they stay within the ∆ of the load, never reaching the line conductors or the windings of
the source. These results may be graphically summarized as such:

This is a major benefit of the ∆-∆ system configuration: triplen harmonic currents remain confined in whatever
set of components create them, and do not "spread" to other parts of the system.

• REVIEW:
• Nonlinear components are those that draw a non-sinusoidal (non-sine-wave) current waveform when
energized by a sinusoidal (sine-wave) voltage. Since any distortion of an originally pure sine-wave
constitutes harmonic frequencies, we can say that nonlinear components generate harmonic currents.
• When the sine-wave distortion is symmetrical above and below the average centerline of the
waveform, the only harmonics present will be odd-numbered, not even-numbered.
• The 3rd harmonic, and integer multiples of it (6th, 9th, 12th, 15th) are known as triplen harmonics.
They are in phase with each other, despite the fact that their respective fundamental waveforms are
120o out of phase with each other.
• In a 4-wire Y-Y system, triplen harmonic currents add within the neutral conductor.
• Triplen harmonic currents in a ∆-connected set of components circulate within the loop formed by the
∆.
Harmonic phase sequences

In the last section, we saw how the 3rd harmonic and all of its integer multiples (collectively called triplen
harmonics) generated by 120o phase-shifted fundamental waveforms are actually in phase with each other. In
a 60 Hz three-phase power system, where phases A, B, and C are 120o apart, the third-harmonic multiples of
those frequencies (180 Hz) fall perfectly into phase with each other. This can be thought of in graphical terms,
and/or in mathematical terms:

If we extend the mathematical table to include higher odd-numbered harmonics, we will notice an interesting
pattern develop with regard to the rotation or sequence of the harmonic frequencies:
Harmonics such as the 7th, which "rotate" with the same sequence as the fundamental, are called positive
sequence. Harmonics such as the 5th, which "rotate" in the opposite sequence as the fundamental, are called
negative sequence. Triplen harmonics (3rd and 9th shown in this table) which don't "rotate" at all because
they're in phase with each other, are called zero sequence.

This pattern of positive-zero-negative-positive continues indefinitely for all odd-numbered harmonics, lending
itself to expression in a table like this:

Sequence especially matters when we're dealing with AC motors, since the mechanical rotation of the rotor
depends on the torque produced by the sequential "rotation" of the applied 3-phase power. Positive-sequence
frequencies work to push the rotor in the proper direction, whereas negative-sequence frequencies actually
work against the direction of the rotor's rotation. Zero-sequence frequencies neither contribute to nor detract
from the rotor's torque. An excess of negative-sequence harmonics (5th, 11th, 17th, and/or 23rd) in the power
supplied to a three-phase AC motor will result in a degradation of performance and possible overheating. Since
the higher-order harmonics tend to be attenuated more by system inductances and magnetic core losses, and
generally originate with less amplitude anyway, the primary harmonic of concern is the 5th, which is 300 Hz in
60 Hz power systems and 250 Hz in 50 Hz power systems.
Chapter 11: POWER FACTOR

Power in resistive and reactive AC circuits

Consider a circuit for a single-phase AC power system, where a 120 volt, 60 Hz AC voltage source is delivering
power to a resistive load:

In this example, the current to the load would be 2 amps, RMS. The power dissipated at the load would be 240
watts. Because this load is purely resistive (no reactance), the current is in phase with the voltage, and
calculations look similar to that in an equivalent DC circuit. If we were to plot the voltage, current, and power
waveforms for this circuit, it would look like this:

Note that the waveform for power is always positive, never negative for this resistive circuit. This means that
power is always being dissipated by the resistive load, and never returned to the source as it is with reactive
loads. If the source were a mechanical generator, it would take 240 watts worth of mechanical energy (about
1/3 horsepower) to turn the shaft.
Also note that the waveform for power is not at the same frequency as the voltage or current! Rather, its
frequency is double that of either the voltage or current waveforms. This different frequency prohibits our
expression of power in an AC circuit using the same complex (rectangular or polar) notation as used for
voltage, current, and impedance, because this form of mathematical symbolism implies unchanging phase
relationships. When frequencies are not the same, phase relationships constantly change.

As strange as it may seem, the best way to proceed with AC power calculations is to use scalar notation, and
to handle any relevant phase relationships with trigonometry.

For comparison, let's consider a simple AC circuit with a purely reactive load:

Note that the power alternates equally between cycles of positive and negative. This means that power is being
alternately absorbed from and returned to the source. If the source were a mechanical generator, it would take
(practically) no net mechanical energy to turn the shaft, because no power would be used by the load. The
generator shaft would be easy to spin, and the inductor would not become warm as a resistor would.

Now, let's consider an AC circuit with a load consisting of both inductance and resistance:
At a frequency of 60 Hz, the 160 millihenrys of inductance gives us 60.319 Ω of inductive reactance. This
reactance combines with the 60 Ω of resistance to form a total load impedance of 60 + j60.319 Ω, or 85.078 Ω
45.152o. If we're not concerned with phase angles (which we're not at this point), we may calculate current
in the circuit by taking the polar magnitude of the voltage source (120 volts) and dividing it my the polar
magnitude of the impedance (85.078 Ω). With a power supply voltage of 120 volts RMS, our load current is
1.410 amps. This is the figure an RMS ammeter would indicate if connected in series with the resistor and
inductor.

We already know that reactive components dissipate zero power, as they equally absorb power from, and
return power to, the rest of the circuit. Therefore, any inductive reactance in this load will likewise dissipate
zero power. The only thing left to dissipate power here is the resistive portion of the load impedance. If we
look at the waveform plot of voltage, current, and total power for this circuit, we see how this combination
works:
As with any reactive circuit, the power alternates between positive and negative instantaneous values over
time. In a purely reactive circuit that alternation between positive and negative power is equally divided,
resulting in a net power dissipation of zero. However, in circuits with mixed resistance and reactance like this
one, the power waveform will still alternate between positive and negative, but the amount of positive power
will exceed the amount of negative power. In other words, the combined inductive/resistive load will consume
more power than it returns back to the source.

Looking at the waveform plot for power, it should be evident that the wave spends more time on the positive
side of the center line than on the negative, indicating that there is more power absorbed by the load than
there is returned to the circuit. What little returning of power that occurs is due to the reactance; the
imbalance of positive versus negative power is due to the resistance as it dissipates energy outside of the
circuit (usually in the form of heat). If the source were a mechanical generator, the amount of mechanical
energy needed to turn the shaft would be the amount of power averaged between the positive and negative
power cycles.

Mathematically representing power in an AC circuit is a challenge, because the power wave isn't at the same
frequency as voltage or current. Furthermore, the phase angle for power means something quite different from
the phase angle for either voltage or current. Whereas the angle for voltage or current represents a relative
shift in timing between two waves, the phase angle for power represents a ratio between power dissipated and
power returned. Because of this way in which AC power differs from AC voltage or current, it is actually easier
to arrive at figures for power by calculating with scalar quantities of voltage, current, resistance, and reactance
than it is to try to derive it from vector, or complex quantities of voltage, current, and impedance that we've
worked with so far.

• REVIEW:
• In a purely resistive circuit, all circuit power is dissipated by the resistor(s). Voltage and current are in
phase with each other.
• In a purely reactive circuit, no circuit power is dissipated by the load(s). Rather, power is alternately
absorbed from and returned to the AC source. Voltage and current are 90o out of phase with each
other.
• In a circuit consisting of resistance and reactance mixed, there will be more power dissipated by the
load(s) than returned, but some power will definitely be dissipated and some will merely be absorbed
and returned. Voltage and current in such a circuit will be out of phase by a value somewhere
between 0o and 90o.

True, Reactive, and Apparent power

We know that reactive loads such as inductors and capacitors dissipate zero power, yet the fact that they drop
voltage and draw current gives the deceptive impression that they actually do dissipate power. This "phantom
power" is called reactive power, and it is measured in a unit called Volt-Amps-Reactive (VAR), rather than
watts. The mathematical symbol for reactive power is (unfortunately) the capital letter Q. The actual amount of
power being used, or dissipated, in a circuit is called true power, and it is measured in watts (symbolized by
the capital letter P, as always). The combination of reactive power and true power is called apparent power,
and it is the product of a circuit's voltage and current, without reference to phase angle. Apparent power is
measured in the unit of Volt-Amps (VA) and is symbolized by the capital letter S.
As a rule, true power is a function of a circuit's dissipative elements, usually resistances (R). Reactive power is
a function of a circuit's reactance (X). Apparent power is a function of a circuit's total impedance (Z). Since
we're dealing with scalar quantities for power calculation, any complex starting quantities such as voltage,
current, and impedance must be represented by their polar magnitudes, not by real or imaginary rectangular
components. For instance, if I'm calculating true power from current and resistance, I must use the polar
magnitude for current, and not merely the "real" or "imaginary" portion of the current. If I'm calculating
apparent power from voltage and impedance, both of these formerly complex quantities must be reduced to
their polar magnitudes for the scalar arithmetic.

There are several power equations relating the three types of power to resistance, reactance, and impedance
(all using scalar quantities):

Please note that there are two equations each for the calculation of true and reactive power. There are three
equations available for the calculation of apparent power, P=IE being useful only for that purpose. Examine the
following circuits and see how these three types of power interrelate:

Resistive load only:

Reactive load only:

Resistive/reactive load:

These three types of power -- true, reactive, and apparent -- relate to one another in trigonometric form. We
call this the power triangle:
Using the laws of trigonometry, we can solve for the length of any side (amount of any type of power), given
the lengths of the other two sides, or the length of one side and an angle.

• REVIEW:
• Power dissipated by a load is referred to as true power. True power is symbolized by the letter P and
is measured in the unit of Watts (W).
• Power merely absorbed and returned in load due to its reactive properties is referred to as reactive
power. Reactive power is symbolized by the letter Q and is measured in the unit of Volt-Amps-
Reactive (VAR).
• Total power in an AC circuit, both dissipated and absorbed/returned is referred to as apparent power.
Apparent power is symbolized by the letter S and is measured in the unit of Volt-Amps (VA).
• These three types of power are trigonometrically related to one another. In a right triangle, P =
adjacent length, Q = opposite length, and S = hypotenuse length. The opposite angle is equal to the
circuit's impedance (Z) phase angle.

Calculating power factor

As was mentioned before, the angle of this "power triangle" graphically indicates the ratio between the amount
of dissipated (or consumed) power and the amount of absorbed/returned power. It also happens to be the
same angle as that of the circuit's impedance in polar form. When expressed as a fraction, this ratio between
true power and apparent power is called the power factor for this circuit. Because true power and apparent
power form the adjacent and hypotenuse sides of a right triangle, respectively, the power factor ratio is also
equal to the cosine of that phase angle. Using values from the last example circuit:
It should be noted that power factor, like all ratio measurements, is a unitless quantity.

For the purely resistive circuit, the power factor is 1 (perfect), because the reactive power equals zero. Here,
the power triangle would look like a horizontal line, because the opposite (reactive power) side would have
zero length.

For the purely inductive circuit, the power factor is zero, because true power equals zero. Here, the power
triangle would look like a vertical line, because the adjacent (true power) side would have zero length.

The same could be said for a purely capacitive circuit. If there are no dissipative (resistive) components in the
circuit, then the true power must be equal to zero, making any power in the circuit purely reactive. The power
triangle for a purely capacitive circuit would again be a vertical line (pointing down instead of up as it was for
the purely inductive circuit).

Power factor can be an important aspect to consider in an AC circuit, because any power factor less than 1
means that the circuit's wiring has to carry more current than what would be necessary with zero reactance in
the circuit to deliver the same amount of (true) power to the resistive load. If our last example circuit had been
purely resistive, we would have been able to deliver a full 169.256 watts to the load with the same 1.410 amps
of current, rather than the mere 119.365 watts that it is presently dissipating with that same current quantity.
The poor power factor makes for an inefficient power delivery system.

Poor power factor can be corrected, paradoxically, by adding another load to the circuit drawing an equal and
opposite amount of reactive power, to cancel out the effects of the load's inductive reactance. Inductive
reactance can only be canceled by capacitive reactance, so we have to add a capacitor in parallel to our
example circuit as the additional load. The effect of these two opposing reactances in parallel is to bring the
circuit's total impedance equal to its total resistance (to make the impedance phase angle equal, or at least
closer, to zero).

Since we know that the (uncorrected) reactive power is 119.998 VAR (inductive), we need to calculate the
correct capacitor size to produce the same quantity of (capacitive) reactive power. Since this capacitor will be
directly in parallel with the source (of known voltage), we'll use the power formula which starts from voltage
and reactance:
Let's use a rounded capacitor value of 22 µF and see what happens to our circuit:
The power factor for the circuit, overall, has been substantially improved. The main current has been
decreased from 1.41 amps to 994.7 milliamps, while the power dissipated at the load resistor remains
unchanged at 119.365 watts. The power factor is much closer to being 1:

Since the impedance angle is still a positive number, we know that the circuit, overall, is still more inductive
than it is capacitive. If our power factor correction efforts had been perfectly on-target, we would have arrived
at an impedance angle of exactly zero, or purely resistive. If we had added too large of a capacitor in parallel,
we would have ended up with an impedance angle that was negative, indicating that the circuit was more
capacitive than inductive.

It should be noted that too much capacitance in an AC circuit will result in a low power factor just as well as
too much inductance. You must be careful not to over-correct when adding capacitance to an AC circuit. You
must also be very careful to use the proper capacitors for the job (rated adequately for power system voltages
and the occasional voltage spike from lightning strikes, for continuous AC service, and capable of handling the
expected levels of current).

If a circuit is predominantly inductive, we say that its power factor is lagging (because the current wave for the
circuit lags behind the applied voltage wave). Conversely, if a circuit is predominantly capacitive, we say that
its power factor is leading. Thus, our example circuit started out with a power factor of 0.705 lagging, and was
corrected to a power factor of 0.999 lagging.

• REVIEW:
• Poor power factor in an AC circuit may be ``corrected,'' or re-established at a value close to 1, by
adding a parallel reactance opposite the effect of the load's reactance. If the load's reactance is
inductive in nature (which is almost always will be), parallel capacitance is what is needed to correct
poor power factor.
Practical power factor correction

When the need arises to correct for poor power factor in an AC power system, you probably won't have the
luxury of knowing the load's exact inductance in henrys to use for your calculations. You may be fortunate
enough to have an instrument called a power factor meter to tell you what the power factor is (a number
between 0 and 1), and the apparent power (which can be figured by taking a voltmeter reading in volts and
multiplying by an ammeter reading in amps). In less favorable circumstances you may have to use an
oscilloscope to compare voltage and current waveforms, measuring phase shift in degrees and calculating
power factor by the cosine of that phase shift.

Most likely, you will have access to a wattmeter for measuring true power, whose reading you can compare
against a calculation of apparent power (from multiplying total voltage and total current measurements). From
the values of true and apparent power, you can determine reactive power and power factor. Let's do an
example problem to see how this works:

First, we need to calculate the apparent power in kVA. We can do this by multiplying load voltage by load
current:

As we can see, 2.308 kVA is a much larger figure than 1.5 kW, which tells us that the power factor in this
circuit is rather poor (substantially less than 1). Now, we figure the power factor of this load by dividing the
true power by the apparent power:

Using this value for power factor, we can draw a power triangle, and from that determine the reactive power of
this load:
To determine the unknown (reactive power) triangle quantity, we use the Pythagorean Theorem "backwards,"
given the length of the hypotenuse (apparent power) and the length of the adjacent side (true power):

If this load is an electric motor, or most any other industrial AC load, it will have a lagging (inductive) power
factor, which means that we'll have to correct for it with a capacitor of appropriate size, wired in parallel. Now
that we know the amount of reactive power (1.754 kVAR), we can calculate the size of capacitor needed to
counteract its effects:
Rounding this answer off to 80 µF, we can place that size of capacitor in the circuit and calculate the results:

An 80 µF capacitor will have a capacitive reactance of 33.157 Ω, giving a current of 7.238 amps, and a
corresponding reactive power of 1.737 kVAR (for the capacitor only). Since the capacitor's current is 180o out
of phase from the the load's inductive contribution to current draw, the capacitor's reactive power will directly
subtract from the load's reactive power, resulting in:

This correction, of course, will not change the amount of true power consumed by the load, but it will result in
a substantial reduction of apparent power, and of the total current drawn from the 240 Volt source:
The new apparent power can be found from the true and new reactive power values, using the standard form
of the Pythagorean Theorem:

This gives a corrected power factor of (1.5kW / 1.5009 kVA), or 0.99994, and a new total current of (1.50009
kVA / 240 Volts), or 6.25 amps, a substantial improvement over the uncorrected value of 9.615 amps! This
lower total current will translate to less heat losses in the circuit wiring, meaning greater system efficiency
(less power wasted).
Chapter 12: AC METERING CIRCUITS

AC voltmeters and ammeters

AC electromechanical meter movements come in two basic arrangements: those based on DC movement
designs, and those engineered specifically for AC use. Permanent-magnet moving coil (PMMC) meter
movements will not work correctly if directly connected to alternating current, because the direction of needle
movement will change with each half-cycle of the AC. Permanent-magnet meter movements, like permanent-
magnet motors, are devices whose motion depends on the polarity of the applied voltage (or, you can think of
it in terms of the direction of the current).

In order to use a DC-style meter movement such as the D'Arsonval design, the alternating current must be
rectified into DC. This is most easily accomplished through the use of devices called diodes. We saw diodes
used in an example circuit demonstrating the creation of harmonic frequencies from a distorted (or rectified)
sine wave. Without going into elaborate detail over how and why diodes work as they do, just remember that
they each act like a one-way valve for electrons to flow: acting as a conductor for one polarity and an insulator
for another. Oddly enough, the arrowhead in each diode symbol points against the permitted direction of
electron flow rather than with it as one might expect. Arranged in a bridge, four diodes will serve to steer AC
through the meter movement in a constant direction throughout all portions of the AC cycle:
Another strategy for a practical AC meter movement is to redesign the movement without the inherent polarity
sensitivity of the DC types. This means avoiding the use of permanent magnets. Probably the simplest design
is to use a nonmagnetized iron vane to move the needle against spring tension, the vane being attracted
toward a stationary coil of wire energized by the AC quantity to be measured.

Electrostatic attraction between two metal plates separated by an air gap is an alternative mechanism for
generating a needle-moving force proportional to applied voltage. This works just as well for AC as it does for
DC, or should I say, just as poorly! The forces involved are very small, much smaller than the magnetic
attraction between an energized coil and an iron vane, and as such these "electrostatic" meter movements
tend to be fragile and easily disturbed by physical movement. But, for some high-voltage AC applications, the
electrostatic movement is an elegant technology. If nothing else, this technology possesses the advantage of
extremely high input impedance, meaning that no current need be drawn from the circuit under test. Also,
electrostatic meter movements are capable of measuring very high voltages without need for range resistors or
other, external apparatus.

When a sensitive meter movement needs to be re-ranged to function as an AC voltmeter, series-connected

"multiplier" resistors and/or resistive voltage dividers may be employed just as in DC meter design:

Capacitors may be used instead of resistors, though, to make voltmeter divider circuits. This strategy has the
advantage of being non-dissipative (no true power consumed and no heat produced):

If the meter movement is electrostatic, and thus inherently capacitive in nature, a single "multiplier" capacitor
may be connected in series to give it a greater voltage measuring range, just as a series-connected multiplier
resistor gives a moving-coil (inherently resistive) meter movement a greater voltage range:
The Cathode Ray Tube (CRT) mentioned in the DC metering chapter is ideally suited for measuring AC
voltages, especially if the electron beam is swept side-to-side across the screen of the tube while the measured
AC voltage drives the beam up and down. A graphical representation of the AC wave shape and not just a
measurement of magnitude can easily be had with such a device. However, CRT's have the disadvantages of
weight, size, significant power consumption, and fragility (being made of evacuated glass) working against
them. For these reasons, electromechanical AC meter movements still have a place in practical usage.

With some of the advantages and disadvantages of these meter movement technologies having been discussed
already, there is another factor crucially important for the designer and user of AC metering instruments to be
aware of. This is the issue of RMS measurement. As we already know, AC measurements are often cast in a
scale of DC power equivalence, called RMS (Root-Mean-Square) for the sake of meaningful comparisons with
DC and with other AC waveforms of varying shape. None of the meter movement technologies so far discussed
inherently measure the RMS value of an AC quantity. Meter movements relying on the motion of a mechanical
needle ("rectified" D'Arsonval, iron-vane, and electrostatic) all tend to mechanically average the instantaneous
values into an overall average value for the waveform. This average value is not necessarily the same as RMS,
although many times it is mistaken as such. Average and RMS values rate against each other as such for these
three common waveform shapes:

Since RMS seems to be the kind of measurement most people are interested in obtaining with an instrument,
and electromechanical meter movements naturally deliver average measurements rather than RMS, what are
AC meter designers to do? Cheat, of course! Typically the assumption is made that the waveform shape to be
measured is going to be sine (by far the most common, especially for power systems), and then the meter
movement scale is altered by the appropriate multiplication factor. For sine waves we see that RMS is equal to
0.707 times the peak value while Average is 0.637 times the peak, so we can divide one figure by the other to
obtain an average-to-RMS conversion factor of 1.109:

In other words, the meter movement will be calibrated to indicate approximately 1.11 times higher than it
would ordinarily (naturally) indicate with no special accommodations. It must be stressed that this "cheat" only
works well when the meter is used to measure pure sine wave sources. Note that for triangle waves, the ratio
between RMS and Average is not the same as for sine waves:

With square waves, the RMS and Average values are identical! An AC meter calibrated to accurately read RMS
voltage or current on a pure sine wave will not give the proper value while indicating the magnitude of
anything other than a perfect sine wave. This includes triangle waves, square waves, or any kind of distorted
sine wave. With harmonics becoming an ever-present phenomenon in large AC power systems, this matter of
accurate RMS measurement is no small matter.

The astute reader will note that I have omitted the CRT "movement" from the RMS/Average discussion. This is
because a CRT with its practically weightless electron beam "movement" displays the Peak (or Peak-to-Peak if
you wish) of an AC waveform rather than Average or RMS. Still, a similar problem arises: how do you
determine the RMS value of a waveform from it? Conversion factors between Peak and RMS only hold so long
as the waveform falls neatly into a known category of shape (sine, triangle, and square are the only examples
with Peak/RMS/Average conversion factors given here!).

One answer is to design the meter movement around the very definition of RMS: the effective heating value of
an AC voltage/current as it powers a resistive load. Suppose that the AC source to be measured is connected
across a resistor of known value, and the heat output of that resistor is measured with a device like a
thermocouple. This would provide a far more direct measurement means of RMS than any conversion factor
could, for it will work with ANY waveform shape whatsoever:

While the device shown above is somewhat crude and would suffer from unique engineering problems of its
own, the concept illustrated is very sound. The resistor converts the AC voltage or current quantity into a
thermal (heat) quantity, effectively squaring the values in real-time. The system's mass works to average
these values by the principle of thermal inertia, and then the meter scale itself is calibrated to give an
indication based on the square-root of the thermal measurement: perfect Root-Mean-Square indication all in
one device! In fact, one major instrument manufacturer has implemented this technique into its high-end line
of handheld electronic multimeters for "true-RMS" capability.

Calibrating AC voltmeters and ammeters for different full-scale ranges of operation is much the same as with
DC instruments: series "multiplier" resistors are used to give voltmeter movements higher range, and parallel
"shunt" resistors are used to allow ammeter movements to measure currents beyond their natural range.
However, we are not limited to these techniques as we were with DC: because we can to use transformers with
AC, meter ranges can be electromagnetically rather than resistively "stepped up" or "stepped down,"
sometimes far beyond what resistors would have practically allowed for. Potential Transformers (PT's) and
Current Transformers (CT's) are precision instrument devices manufactured to produce very precise ratios of
transformation between primary and secondary windings. They can allow small, simple AC meter movements
to indicate extremely high voltages and currents in power systems with accuracy and complete electrical
isolation (something multiplier and shunt resistors could never do):

Shown here is a voltage and current meter panel from a three-phase AC system. The three "donut" current
transformers (CTs) can be seen in the rear of the panel. Three AC ammeters (rated 5 amps full-scale deflection
each) on the front of the panel indicate current through each conductor going through a CT. As this panel has
been removed from service, there are no current-carrying conductors threaded through the center of the CT
"donuts" anymore:
Because of the expense (and often large size) of instrument transformers, they are not used to scale AC
meters for any applications other than high voltage and high current. For scaling a milliamp or microamp
movement to a range of 120 volts or 5 amps, normal precision resistors (multipliers and shunts) are used, just
as with DC.

• REVIEW:
• Polarized (DC) meter movements must use devices called diodes to be able to indicate AC quantities.
• Electromechanical meter movements, whether electromagnetic or electrostatic, naturally provide the
average value of a measured AC quantity. These instruments may be ranged to indicate RMS value,
but only if the shape of the AC waveform is precisely known beforehand!
• So-called true RMS meters use different technology to provide indications representing the actual RMS
(rather than skewed average or peak) of an AC waveform.

Frequency and phase measurement

An important electrical quantity with no equivalent in DC circuits is frequency. Frequency measurement is very
important in many applications of alternating current, especially in AC power systems designed to run
efficiently at one frequency and one frequency only. If the AC is being generated by an electromechanical
alternator, the frequency will be directly proportional to the shaft speed of the machine, and frequency could
be measured simply by measuring the speed of the shaft. If frequency needs to be measured at some distance
from the alternator, though, other means of measurement will be necessary.

One simple but crude method of frequency measurement in power systems utilizes the principle of mechanical
resonance. Every physical object possessing the property of elasticity (springiness) has an inherent frequency
at which it will prefer to vibrate. The tuning fork is a great example of this: strike it once and it will continue to
vibrate at a tone specific to its length. Longer tuning forks have lower resonant frequencies: their tones will be
lower on the musical scale than shorter forks.

Imagine a row of progressively-sized tuning forks arranged side-by-side. They are all mounted on a common
base, and that base is vibrated at the frequency of the measured AC voltage (or current) by means of an
electromagnet. Whichever tuning fork is closest in resonant frequency to the frequency of that vibration will
tend to shake the most (or the loudest). If the forks' tines were flimsy enough, we could see the relative
motion of each by the length of the blur we would see as we inspected each one from an end-view perspective.
Well, make a collection of "tuning forks" out of a strip of sheet metal cut in a pattern akin to a rake, and you
have the vibrating reed frequency meter:

The user of this meter views the ends of all those unequal length reeds as they are collectively shaken at the
frequency of the applied AC voltage to the coil. The one closest in resonant frequency to the applied AC will
vibrate the most, looking something like this:

Vibrating reed meters, obviously, are not precision instruments, but they are very simple and therefore easy to
manufacture to be rugged. They are often found on small engine-driven generator sets for the purpose of
setting engine speed so that the frequency is somewhat close to 60 (50 in Europe) Hertz.

While reed-type meters are imprecise, their operational principle is not. In lieu of mechanical resonance, we
may substitute electrical resonance and design a frequency meter using an inductor and capacitor in the form
of a tank circuit (parallel inductor and capacitor). One or both components are made adjustable, and a meter is
placed in the circuit to indicate maximum amplitude of voltage across the two components. The adjustment
knob(s) are calibrated to show resonant frequency for any given setting, and the frequency is read from them
after the device has been adjusted for maximum indication on the meter. Essentially, this is a tunable filter
circuit which is adjusted and then read in a manner similar to a bridge circuit (which must be balanced for a
"null" condition and then read).
This technique is a popular one for amateur radio operators (or at least it was before the advent of inexpensive
digital frequency instruments called counters), especially because it doesn't require direct connection to the
circuit. So long as the inductor and/or capacitor can intercept enough stray field (magnetic or electric,
respectively) from the circuit under test to cause the meter to indicate, it will work.

In frequency as in other types of electrical measurement, the most accurate means of measurement are
usually those where an unknown quantity is compared against a known standard, the basic instrument doing
nothing more than indicating when the two quantities are equal to each other. This is the basic principle behind
the DC (Wheatstone) bridge circuit and it is a sound metrological principle applied throughout the sciences. If
we have access to an accurate frequency standard (a source of AC voltage holding very precisely to a single
frequency), then measurement of any unknown frequency by comparison should be relatively easy.

For that frequency standard, we turn our attention back to the tuning fork, or at least a more modern variation
of it called the quartz crystal. Quartz is a naturally occurring mineral possessing a very interesting property
called piezoelectricity. Piezoelectric materials produce a voltage across their length when physically stressed,
and will physically deform when an external voltage is applied across their lengths. This deformation is very,
very slight in most cases, but it does exist.

Quartz rock is elastic (springy) within that small range of bending which an external voltage would produce,
which means that it will have a mechanical resonant frequency of its own capable of being manifested as an
electrical voltage signal. In other words, if a chip of quartz is struck, it will "ring" with its own unique frequency
determined by the length of the chip, and that resonant oscillation will produce an equivalent voltage across
multiple points of the quartz chip which can be tapped into by wires fixed to the surface of the chip. In
reciprocal manner, the quartz chip will tend to vibrate most when it is "excited" by an applied AC voltage at
precisely the right frequency, just like the reeds on a vibrating-reed frequency meter.

Chips of quartz rock can be precisely cut for desired resonant frequencies, and that chip mounted securely
inside a protective shell with wires extending for connection to an external electric circuit. When packaged as
such, the resulting device is simply called a crystal (or sometimes "xtal"), and its schematic symbol looks like
this:

Electrically, that quartz chip is equivalent to a series LC resonant circuit. The dielectric properties of quartz
contribute an additional capacitive element to the equivalent circuit, and in the end it looks something like this:
The "capacitance" and "inductance" shown in series are merely electrical equivalents of the quartz's mechanical
resonance properties: they do not exist as discrete components within the crystal. The capacitance shown in
parallel due to the wire connections across the dielectric (insulating) quartz body is real, and it has an effect on
the resonant response of the whole system. A full discussion on crystal dynamics is not necessary here, but
what needs to be understood about crystals is this resonant circuit equivalence and how it can be exploited
within an oscillator circuit to achieve an output voltage with a stable, known frequency.

Crystals, as resonant elements, typically have much higher "Q" (quality) values than tank circuits built from
inductors and capacitors, principally due to the relative absence of stray resistance, making their resonant
frequencies very definite and precise. Because the resonant frequency is solely dependent on the physical
properties of quartz (a very stable substance, mechanically), the resonant frequency variation over time with a
quartz crystal is very, very low. This is how quartz movement watches obtain their high accuracy: by means of
an electronic oscillator stabilized by the resonant action of a quartz crystal.

For laboratory applications, though, even greater frequency stability may be desired. To achieve this, the
crystal in question may be placed in a temperature stabilized environment (usually an oven), thus eliminating
frequency errors due to thermal expansion and contraction of the quartz.

For the ultimate in a frequency standard though, nothing discovered thus far surpasses the accuracy of a single
resonating atom. This is the principle of the so-called atomic clock, which uses an atom of mercury (or cesium)
suspended in a vacuum, excited by outside energy to resonate at its own unique frequency. The resulting
frequency is detected as a radio-wave signal and that forms the basis for the most accurate clocks known to
humanity. National standards laboratories around the world maintain a few of these hyper-accurate clocks, and
broadcast frequency signals based on those atoms' vibrations for scientists and technicians to tune in and use
for frequency calibration purposes.

Now we get to the practical part: once we have a source of accurate frequency, how do we compare that
against an unknown frequency to obtain a measurement? One way is to use a CRT as a frequency-comparison
device. Cathode Ray Tubes typically have means of deflecting the electron beam in the horizontal as well as
the vertical axis. If metal plates are used to electrostatically deflect the electrons, there will be a pair of plates
to the left and right of the beam as well as a pair of plates above and below the beam.
If we allow one AC signal to deflect the beam up and down (connect that AC voltage source to the "vertical"
deflection plates) and another AC signal to deflect the beam left and right (using the other pair of deflection
plates), patterns will be produced on the screen of the CRT indicative of the ratio of these two AC frequencies.
These patterns are called Lissajous figures and are a common means of comparative frequency measurement
in electronics.

If the two frequencies are the same, we will obtain a simple figure on the screen of the CRT, the shape of that
figure being dependent upon the phase shift between the two AC signals. Here is a sampling of Lissajous
figures for two sine-wave signals of equal frequency, shown as they would appear on the face of an
oscilloscope (an AC voltage-measuring instrument using a CRT as its "movement"). The first picture is of the
Lissajous figure formed by two AC voltages perfectly in phase with each other:

If the two AC voltages are not in phase with each other, a straight line will not be formed. Rather, the Lissajous
figure will take on the appearance of an oval, becoming perfectly circular if the phase shift is exactly 90o
between the two signals, and if their amplitudes are equal:
Finally, if the two AC signals are directly opposing one another in phase (180o shift), we will end up with a line
again, only this time it will be oriented in the opposite direction:

When we are faced with signal frequencies that are not the same, Lissajous figures get quite a bit more
complex. Consider the following examples and their given vertical/horizontal frequency ratios:
The more complex the ratio between horizontal and vertical frequencies, the more complex the Lissajous
figure. Consider the following illustration of a 3:1 frequency ratio between horizontal and vertical:

. . . and a 3:2 frequency ratio (horizontal = 3, vertical = 2):

In cases where the frequencies of the two AC signals are not exactly a simple ratio of each other (but close),
the Lissajous figure will appear to "move," slowly changing orientation as the phase angle between the two
waveforms rolls between 0o and 180o. If the two frequencies are locked in an exact integer ratio between each
other, the Lissajous figure will be stable on the viewscreen of the CRT.

The physics of Lissajous figures limits their usefulness as a frequency-comparison technique to cases where the
frequency ratios are simple integer values (1:1, 1:2, 1:3, 2:3, 3:4, etc.). Despite this limitation, Lissajous
figures are a popular means of frequency comparison wherever an accessible frequency standard (signal
generator) exists.

• REVIEW:
• Some frequency meters work on the principle of mechanical resonance, indicating frequency by
relative oscillation among a set of uniquely tuned "reeds" shaken at the measured frequency.
• Other frequency meters use electric resonant circuits (LC tank circuits, usually) to indicate frequency.
One or both components is made to be adjustable, with an accurately calibrated adjustment knob, and
a sensitive meter is read for maximum voltage or current at the point of resonance.
• Frequency can be measured in a comparative fashion, as is the case when using a CRT to generate
Lissajous figures. Reference frequency signals can be made with a high degree of accuracy by
oscillator circuits using quartz crystals as resonant devices. For ultra precision, atomic clock signal
standards (based on the resonant frequencies of individual atoms) can be used.

Power measurement

Power measurement in AC circuits can be quite a bit more complex than with DC circuits for the simple reason
that phase shift makes complicates the matter beyond multiplying voltage by current figures obtained with
meters. What is needed is an instrument able to determine the product (multiplication) of instantaneous
voltage and current. Fortunately, the common electrodynamometer movement with its stationary and moving
coil does a fine job of this.

Three phase power measurement can be accomplished using two dynamometer movements with a common
shaft linking the two moving coils together so that a single pointer registers power on a meter movement
scale. This, obviously, makes for a rather expensive and complex movement mechanism, but it is a workable
solution.

An ingenious method of deriving an electronic power meter (one that generates an electric signal representing
power in the system rather than merely move a pointer) is based on the Hall effect. The Hall effect is an
unusual effect first noticed by E. H. Hall in 1879, whereby a voltage is generated along the width of a current-
carrying conductor exposed to a perpendicular magnetic field:
The voltage generated across the width of the flat, rectangular conductor is directly proportional to both the
magnitude of the current through it and the strength of the magnetic field. Mathematically, it is a product
(multiplication) of these two variables. The amount of "Hall Voltage" produced for any given set of conditions
also depends on the type of material used for the flat, rectangular conductor. It has been found that specially
prepared "semiconductor" materials produce a greater Hall voltage than do metals, and so modern Hall Effect
devices are made of these.

It makes sense then that if we were to build a device using a Hall-effect sensor where the current through the
conductor was pushed by AC voltage from an external circuit and the magnetic field was set up by a pair or
wire coils energized by the current of the AC power circuit, the Hall voltage would be in direct proportion to the
multiple of circuit current and voltage. Having no mass to move (unlike an electromechanical movement), this
device is able to provide instantaneous power measurement:
Not only will the output voltage of the Hall effect device be the representation of instantaneous power at any
point in time, but it will also be a DC signal! This is because the Hall voltage polarity is dependent upon both
the polarity of the magnetic field and the direction of current through the conductor. If both current direction
and magnetic field polarity reverses -- as it would ever half-cycle of the AC power -- the output voltage polarity
will stay the same.

If voltage and current in the power circuit are 90o out of phase (a power factor of zero, meaning no real power
delivered to the load), the alternate peaks of Hall device current and magnetic field will never coincide with
each other: when one is at its peak, the other will be zero. At those points in time, the Hall output voltage will
likewise be zero, being the product (multiplication) of current and magnetic field strength. Between those
points in time, the Hall output voltage will fluctuate equally between positive and negative, generating a signal
corresponding to the instantaneous absorption and release of power through the reactive load. The net DC
output voltage will be zero, indicating zero true power in the circuit.

Any phase shift between voltage and current in the power circuit less than 90o will result in a Hall output
voltage that oscillates between positive and negative, but spends more time positive than negative.
Consequently there will be a net DC output voltage. Conditioned through a low-pass filter circuit, this net DC
voltage can be separated from the AC mixed with it, the final output signal registered on a sensitive DC meter
movement.

Often it is useful to have a meter to totalize power usage over a period of time rather than instantaneously.
The output of such a meter can be set in units of Joules, or total energy consumed, since power is a measure
of work being done per unit time. Or, more commonly, the output of the meter can be set in units of Watt-
Hours.

Mechanical means for measuring Watt-Hours are usually centered around the concept of the motor: build an
AC motor that spins at a rate of speed proportional to the instantaneous power in a circuit, then have that
motor turn an "odometer" style counting mechanism to keep a running total of energy consumed. The "motor"
used in these meters has a rotor made of a thin aluminum disk, with the rotating magnetic field established by
sets of coils energized by line voltage and load current so that the rotational speed of the disk is dependent on
both voltage and current.
Power quality measurement

It used to be with large AC power systems that "power quality" was an unheard-of concept, aside from power
factor. Almost all loads were of the "linear" variety, meaning that they did not distort the shape of the voltage
sine wave, or cause non-sinusoidal currents to flow in the circuit. This is not true anymore. Loads controlled by
"nonlinear" electronic components are becoming more prevalent in both home and industry, meaning that the
voltages and currents in the power system(s) feeding these loads are rich in harmonics: what should be nice,
clean sine-wave voltages and currents are becoming highly distorted, which is equivalent to the presence of an
infinite series of high-frequency sine waves at multiples of the fundamental power line frequency.

Excessive harmonics in an AC power system can overheat transformers, cause exceedingly high neutral
conductor currents in three-phase systems, create electromagnetic "noise" in the form of radio emissions that
can interfere with sensitive electronic equipment, reduce electric motor horsepower output, and can be difficult
to pinpoint. With problems like these plaguing power systems, engineers and technicians require ways to
precisely detect and measure these conditions.

Power Quality is the general term given to represent an AC power system's freedom from harmonic content. A
"power quality" meter is one that gives some form of harmonic content indication.

A simple way for a technician to determine power quality in their system without sophisticated equipment is to
compare voltage readings between two accurate voltmeters measuring the same system voltage: one meter
being an "averaging" type of unit (such as an electromechanical movement meter) and the other being a "true-
RMS" type of unit (such as a high-quality digital meter). Remember that "averaging" type meters are
calibrated so that their scales indicate volts RMS, based on the assumption that the AC voltage being measured
is sinusoidal. If the voltage is anything but sinewave-shaped, the averaging meter will not register the proper
value, whereas the true-RMS meter always will, regardless of waveshape. The rule of thumb here is this: the
greater the disparity between the two meters, the worse the power quality is, and the greater its harmonic
content. A power system with good quality power should generate equal voltage readings between the two
meters, to within the rated error tolerance of the two instruments.

Another qualitative measurement of power quality is the oscilloscope test: connect an oscilloscope (CRT) to the
AC voltage and observe the shape of the wave. Anything other than a clean sine wave could be an indication of
trouble:

Still, if quantitative analysis (definite, numerical figures) is necessary, there is no substitute for an instrument
specifically designed for that purpose. Such an instrument is called a power quality meter and is sometimes
better known in electronic circles as a low-frequency spectrum analyzer. What this instrument does is provide a
graphical representation on a CRT or digital display screen of the AC voltage's frequency "spectrum." Just as a
prism splits a beam of white light into its constituent color components (how much red, orange, yellow, green,
and blue is in that light), the spectrum analyzer splits a mixed-frequency signal into its constituent frequencies,
and displays the result in the form of a histogram:
Each number on the horizontal scale of this meter represents a harmonic of the fundamental frequency. For
American power systems, the "1" represents 60 Hz (the 1st harmonic, or fundamental), the "3" for 180 Hz (the
3rd harmonic), the "5" for 300 Hz (the 5th harmonic), and so on. The black rectangles represent the relative
magnitudes of each of these harmonic components in the measured AC voltage. A pure, 60 Hz sine wave would
show only a tall black bar over the "1" with no black bars showing at all over the other frequency markers on
the scale, because a pure sine wave has no harmonic content.

Power quality meters such as this might be better referred to as overtone meters, because they are designed
to display only those frequencies known to be generated by the power system. In three-phase AC power
systems (predominant for large power applications), even-numbered harmonics tend to be canceled out, and
so only harmonics existing in significant measure are the odd-numbered.

Meters like these are very useful in the hands of a skilled technician, because different types of nonlinear loads
tend to generate different spectrum "signatures" which can clue the troubleshooter to the source of the
problem. These meters work by very quickly sampling the AC voltage at many different points along the
waveform shape, digitizing those points of information, and using a microprocessor (small computer) to
perform numerical Fourier analysis (the Fast Fourier Transform or "FFT" algorithm) on those data points to
arrive at harmonic frequency magnitudes. The process is not much unlike what the SPICE program tells a
computer to do when performing a Fourier analysis on a simulated circuit voltage or current waveform.

AC bridge circuits

As we saw with DC measurement circuits, the circuit configuration known as a bridge can be a very useful way
to measure unknown values of resistance. This is true with AC as well, and we can apply the very same
principle to the accurate measurement of unknown impedances.

To review, the bridge circuit works as a pair of two-component voltage dividers connected across the same
source voltage, with a null-detector meter movement connected between them to indicate a condition of
"balance" at zero volts:
Any one of the four resistors in the above bridge can be the resistor of unknown value, and its value can be
determined by a ratio of the other three, which are "calibrated," or whose resistances are known to a precise
degree. When the bridge is in a balanced condition (zero voltage as indicated by the null detector), the ratio
works out to be this:

One of the advantages of using a bridge circuit to measure resistance is that the voltage of the power source is
irrelevant. Practically speaking, the higher the supply voltage, the easier it is to detect a condition of imbalance
between the four resistors with the null detector, and thus the more sensitive it will be. A greater supply
voltage leads to the possibility of increased measurement precision. However, there will be no fundamental
error introduced as a result of a lesser or greater power supply voltage unlike other types of resistance
measurement schemes.

Impedance bridges work the same, only the balance equation is with complex quantities, as both magnitude
and phase across the components of the two dividers must be equal in order for the null detector to indicate
"zero." The null detector, of course, must be a device capable of detecting very small AC voltages. An
oscilloscope is often used for this, although very sensitive electromechanical meter movements and even
headphones (small speakers) may be used if the source frequency is within audio range.

One way to maximize the effectiveness of audio headphones as a null detector is to connect them to the signal
source through an impedance-matching transformer. Headphone speakers are typically low-impedance units (8
Ω), requiring substantial current to drive, and so a step-down transformer helps "match" low-current signals to
the impedance of the headphone speakers. An audio output transformer works well for this purpose:
Using a pair of headphones that completely surround the ears (the "closed-cup" type), I've been able to detect
currents of less than 0.1 µA with this simple detector circuit. Roughly equal performance was obtained using
two different step-down transformers: a small power transformer (120/6 volt ratio), and an audio output
transformer (1000:8 ohm impedance ratio). With the pushbutton switch in place to interrupt current, this
circuit is usable for detecting signals from DC to over 2 MHz: even if the frequency is far above or below the
audio range, a "click" will be heard from the headphones each time the switch is pressed and released.

Connected to a resistive bridge, the whole circuit looks like this:

Listening to the headphones as one or more of the resistor "arms" of the bridge is adjusted, a condition of
balance will be realized when the headphones fail to produce "clicks" (or tones, if the bridge's power source
frequency is within audio range) as the switch is actuated.

When describing general AC bridges, where impedances and not just resistances must be in proper ratio for
balance, it is sometimes helpful to draw the respective bridge legs in the form of box-shaped components,
each one with a certain impedance:
For this general form of AC bridge to balance, the impedance ratios of each branch must be equal:

Again, it must be stressed that the impedance quantities in the above equation must be complex, accounting
for both magnitude and phase angle. It is insufficient that the impedance magnitudes alone be balanced;
without phase angles in balance as well, there will still be voltage across the terminals of the null detector and
the bridge will not be balanced.

Bridge circuits can be constructed to measure just about any device value desired, be it capacitance,
inductance, resistance, or even "Q." As always in bridge measurement circuits, the unknown quantity is always
"balanced" against a known standard, obtained from a high-quality, calibrated component that can be adjusted
in value until the null detector device indicates a condition of balance. Depending on how the bridge is set up,
the unknown component's value may be determined directly from the setting of the calibrated standard, or
derived from that standard through a mathematical formula.

A couple of simple bridge circuits are shown below, one for inductance and one for capacitance:
Simple "symmetrical" bridges such as these are so named because they exhibit symmetry (mirror-image
similarity) from left to right. The two bridge circuits shown above are balanced by adjusting the calibrated
reactive component (Ls or Cs). They are a bit simplified from their real-life counterparts, as practical
symmetrical bridge circuits often have a calibrated, variable resistor in series or parallel with the reactive
component to balance out stray resistance in the unknown component. But, in the hypothetical world of perfect
components, these simple bridge circuits do just fine to illustrate the basic concept.

An example of a little extra complexity added to compensate for real-world effects can be found in the so-
called Wien bridge, which uses a parallel capacitor-resistor standard impedance to balance out an unknown
series capacitor-resistor combination. All capacitors have some amount of internal resistance, be it literal or
equivalent (in the form of dielectric heating losses) which tend to spoil their otherwise perfectly reactive
natures. This internal resistance may be of interest to measure, and so the Wien bridge attempts to do so by
providing a balancing impedance that isn't "pure" either:
Being that there are two standard components to be adjusted (a resistor and a capacitor) this bridge will take a
little more time to balance than the others we've seen so far. The combined effect of Rs and Cs is to alter the
magnitude and phase angle until the bridge achieves a condition of balance. Once that balance is achieved, the
settings of Rs and Cs can be read from their calibrated knobs, the parallel impedance of the two determined
mathematically, and the unknown capacitance and resistance determined mathematically from the balance
equation (Z1/Z2 = Z3/Z4).

It is assumed in the operation of the Wien bridge that the standard capacitor has negligible internal resistance,
or at least that resistance is already known so that it can be factored into the balance equation. Wien bridges
are useful for determining the values of "lossy" capacitor designs like electrolytics, where the internal
resistance is relatively high. They are also used as frequency meters, because the balance of the bridge is
frequency-dependent. When used in this fashion, the capacitors are made fixed (and usually of equal value)
and the top two resistors are made variable and are adjusted by means of the same knob.

An interesting variation on this theme is found in the next bridge circuit, used to precisely measure
inductances.
This ingenious bridge circuit is known as the Maxwell-Wien bridge (sometimes known plainly as the Maxwell
bridge), and is used to measure unknown inductances in terms of calibrated resistance and capacitance.
Calibration-grade inductors are more difficult to manufacture than capacitors of similar precision, and so the
use of a simple "symmetrical" inductance bridge is not always practical. Because the phase shifts of inductors
and capacitors are exactly opposite each other, a capacitive impedance can balance out an inductive
impedance if they are located in opposite legs of a bridge, as they are here.

Another advantage of using a Maxwell bridge to measure inductance rather than a symmetrical inductance
bridge is the elimination of measurement error due to mutual inductance between two inductors. Magnetic
fields can be difficult to shield, and even a small amount of coupling between coils in a bridge can introduce
substantial errors in certain conditions. With no second inductor to react with in the Maxwell bridge, this
problem is eliminated.

For easiest operation, the standard capacitor (Cs) and the resistor in parallel with it (Rs) are made variable, and
both must be adjusted to achieve balance. However, the bridge can be made to work if the capacitor is fixed
(non-variable) and more than one resistor made variable (at least the resistor in parallel with the capacitor,
and one of the other two). However, in the latter configuration it takes more trial-and-error adjustment to
achieve balance, as the different variable resistors interact in balancing magnitude and phase.

Unlike the plain Wien bridge, the balance of the Maxwell-Wien bridge is independent of source frequency, and
in some cases this bridge can be made to balance in the presence of mixed frequencies from the AC voltage
source, the limiting factor being the inductor's stability over a wide frequency range.

There are more variations beyond these designs, but a full discussion is not warranted here. General-purpose
impedance bridge circuits are manufactured which can be switched into more than one configuration for
maximum flexibility of use.

A potential problem in sensitive AC bridge circuits is that of stray capacitance between either end of the null
detector unit and ground (earth) potential. Because capacitances can "conduct" alternating current by charging
and discharging, they form stray current paths to the AC voltage source which may affect bridge balance:
The problem is worsened if the AC voltage source is firmly grounded at one end, the total stray impedance for
leakage currents made far less and any leakage currents through these stray capacitances made greater as a
result:

One way of greatly reducing this effect is to keep the null detector at ground potential, so there will be no AC
voltage between it and the ground, and thus no current through stray capacitances. However, directly
connecting the null detector to ground is not an option, as it would create a direct current path for stray
currents, which would be worse than any capacitive path. Instead, a special voltage divider circuit called a
Wagner ground or Wagner earth may be used to maintain the null detector at ground potential without the
need for a direct connection to the null detector.
The Wagner earth circuit is nothing more than a voltage divider, designed to have the voltage ratio and phase
shift as each side of the bridge. Because the midpoint of the Wagner divider is directly grounded, any other
divider circuit (including either side of the bridge) having the same voltage proportions and phases as the
Wagner divider, and powered by the same AC voltage source, will be at ground potential as well. Thus, the
Wagner earth divider forces the null detector to be at ground potential, without a direct connection between
the detector and ground.

There is often a provision made in the null detector connection to confirm proper setting of the Wagner earth
divider circuit: a two-position switch, so that one end of the null detector may be connected to either the
bridge or the Wagner earth. When the null detector registers zero signal in both switch positions, the bridge is
not only guaranteed to be balanced, but the null detector is also guaranteed to be at zero potential with
respect to ground, thus eliminating any errors due to leakage currents through stray detector-to-ground
capacitances:
 • REVIEW:
• AC bridge circuits work on the same basic principle as DC bridge circuits: that a balanced ratio of
impedances (rather than resistances) will result in a "balanced" condition as indicated by the null-
detector device.
• Null detectors for AC bridges may be sensitive electromechanical meter movements, oscilloscopes
(CRT's), headphones (amplified or unamplified), or any other device capable of registering very small
AC voltage levels. Like DC null detectors, its only required point of calibration accuracy is at zero.
• AC bridge circuits can be of the "symmetrical" type where an unknown impedance is balanced by a
standard impedance of similar type on the same side (top or bottom) of the bridge. Or, they can be
"nonsymmetrical," using parallel impedances to balance series impedances, or even capacitances
balancing out inductances.
• AC bridge circuits often have more than one adjustment, since both impedance magnitude and phase
angle must be properly matched to balance.
• Some impedance bridge circuits are frequency-sensitive while others are not. The frequency-sensitive
types may be used as frequency measurement devices if all component values are accurately known.
• A Wagner earth or Wagner ground is a voltage divider circuit added to AC bridges to help reduce
errors due to stray capacitance coupling the null detector to ground.

AC instrumentation transducers

Just as devices have been made to measure certain physical quantities and repeat that information in the form
of DC electrical signals (thermocouples, strain gauges, pH probes, etc.), special devices have been made that
do the same with AC.

It is often necessary to be able to detect and transmit the physical position of mechanical parts via electrical
signals. This is especially true in the fields of automated machine tool control and robotics. A simple and easy
way to do this is with a potentiometer:
However, potentiometers have their own unique problems. For one, they rely on physical contact between the
"wiper" and the resistance strip, which means they suffer the effects of physical wear over time. As
potentiometers wear, their proportional output versus shaft position becomes less and less certain. You might
have already experienced this effect when adjusting the volume control on an old radio: when twisting the
knob, you might hear "scratching" sounds coming out of the speakers. Those noises are the result of poor
wiper contact in the volume control potentiometer.

Also, this physical contact between wiper and strip creates the possibility of arcing (sparking) between the two
as the wiper is moved. With most potentiometer circuits, the current is so low that wiper arcing is negligible,
but it is a possibility to be considered. If the potentiometer is to be operated in an environment where
combustible vapor or dust is present, this potential for arcing translates into a potential for an explosion!

Using AC instead of DC, we are able to completely avoid sliding contact between parts if we use a variable
transformer instead of a potentiometer. Devices made for this purpose are called LVDT's, which stands for
Linear Variable Differential Transformers. The design of an LVDT looks like this:

Obviously, this device is a transformer: it has a single primary winding powered by an external source of AC
voltage, and two secondary windings connected in series-bucking fashion. It is variable because the core is free
to move between the windings. It is differential because of the way the two secondary windings are connected.
Being arranged to oppose each other (180o out of phase) means that the output of this device will be the
difference between the voltage output of the two secondary windings. When the core is centered and both
windings are outputting the same voltage, the net result at the output terminals will be zero volts. It is called
linear because the core's freedom of motion is straight-line.

The AC voltage output by an LVDT indicates the position of the movable core. Zero volts means that the core is
centered. The further away the core is from center position, the greater percentage of input ("excitation")
voltage will be seen at the output. The phase of the output voltage relative to the excitation voltage indicates
which direction from center the core is offset.

The primary advantage of an LVDT over a potentiometer for position sensing is the absence of physical contact
between the moving and stationary parts. The core does not contact the wire windings, but slides in and out
within a nonconducting tube. Thus, the LVDT does not "wear" like a potentiometer, nor is there the possibility
of creating an arc.

Excitation of the LVDT is typically 10 volts RMS or less, at frequencies ranging from power line to the high
audio (20 kHz) range. One potential disadvantage of the LVDT is its response time, which is mostly dependent
on the frequency of the AC voltage source. If very quick response times are desired, the frequency must be
higher to allow whatever voltage-sensing circuits enough cycles of AC to determine voltage level as the core is
moved. To illustrate the potential problem here, imagine this exaggerated scenario: an LVDT powered by a 60
Hz voltage source, with the core being moved in and out hundreds of times per second. The output of this
LVDT wouldn't even look like a sine wave because the core would be moved throughout its range of motion
before the AC source voltage could complete a single cycle! It would be almost impossible to determine
instantaneous core position if it moves faster than the instantaneous source voltage does.

A variation on the LVDT is the RVDT, or Rotary Variable Differential Transformer. This device works on almost
the same principle, except that the core revolves on a shaft instead of moving in a straight line. RVDT's can be
constructed for limited motion of 360o (full-circle) motion.

Continuing with this principle, we have what is known as a Synchro or Selsyn, which is a device constructed a
lot like a wound-rotor polyphase AC motor or generator. The rotor is free to revolve a full 360o, just like a
motor. On the rotor is a single winding connected to a source of AC voltage, much like the primary winding of
an LVDT. The stator windings are usually in the form of a three-phase Y, although synchros with more than
three phases have been built:

Voltages induced in the stator windings from the rotor's AC excitation are not phase-shifted by 120o as in a real
three-phase generator. If the rotor were energized with DC current rather than AC and the shaft spun
continuously, then the voltages would be true three-phase. But this is not how a synchro is designed to be
operated. Rather, this is a position-sensing device much like an RVDT, except that its output signal is much
more definite. With the rotor energized by AC, the stator winding voltages will be proportional in magnitude to
the angular position of the rotor, phase either 0o or 180o shifted, like a regular LVDT or RVDT. You could think
of it as a transformer with one primary winding and three secondary windings, each secondary winding
oriented at a unique angle. As the rotor is slowly turned, each winding in turn will line up directly with the
rotor, producing full voltage, while the other windings will produce something less than full voltage.

Synchros are often used in pairs. With their rotors connected in parallel and energized by the same AC voltage
source, their shafts will match position to a high degree of accuracy:
Such "transmitter/receiver" pairs have been used on ships to relay rudder position, or to relay navigational
gyro position over fairly long distances. The only difference between the "transmitter" and the "receiver" is
which one gets turned by an outside force. The "receiver" can just as easily be used as the "transmitter" by
forcing its shaft to turn and letting the synchro on the left match position.

If the receiver's rotor is left unpowered, it will act as a position-error detector, generating an AC voltage at the
rotor if the shaft is anything other than 90o or 270o shifted from the shaft position of the transmitter. The
receiver rotor will no longer generate any torque and consequently will no longer automatically match position
with the transmitter's:

This can be thought of almost as a sort of bridge circuit that achieves balance only if the receiver shaft is
brought to one of two (matching) positions with the transmitter shaft.

One rather ingenious application of the synchro is in the creation of a phase-shifting device, provided that the
stator is energized by three-phase AC:
As the synchro's rotor is turned, the rotor coil will progressively align with each stator coil, their respective
magnetic fields being 120o phase-shifted from one another. In between those positions, these phase-shifted
fields will mix to produce a rotor voltage somewhere between 0o, 120o, or 240o shift. The practical result is a
device capable of providing an infinitely variable-phase AC voltage with the twist of a knob (attached to the
rotor shaft).

So far the transducers discussed have all been of the inductive variety. However, it is possible to make
transducers which operate on variable capacitance as well, AC being used to sense the change in capacitance
and generate a variable output voltage.

Remember that the capacitance between two conductive surfaces varies with three major factors: the
overlapping area of those two surfaces, the distance between them, and the dielectric constant of the material
in between the surfaces. If two out of three of these variables can be fixed (stabilized) and the third allowed to
vary, then any measurement of capacitance between the surfaces will be solely indicative of changes in that
third variable.

Medical researchers have long made use of capacitive sensing to detect physiological changes in living bodies.
As early as 1907, a German researcher named H. Cremer placed two metal plates on either side of a beating
frog heart and measured the capacitance changes resulting from the heart alternately filling and emptying
itself of blood. Similar measurements have been performed on human beings with metal plates placed on the
chest and back, recording respiratory and cardiac action by means of capacitance changes. For more precise
capacitive measurements of organ activity, metal probes have been inserted into organs (especially the heart)
on the tips of catheter tubes, capacitance being measured between the metal probe and the body of the
subject. With a sufficiently high AC excitation frequency and sensitive enough voltage detector, not just the
pumping action but also the sounds of the active heart may be readily interpreted.

Like inductive transducers, capacitive transducers can also be made to be self-contained units, unlike the direct
physiological examples described above. Some transducers work by making one of the capacitor plates
movable, either in such a way as to vary the overlapping area or the distance between the plates. Other
transducers work by moving a dielectric material in and out between two fixed plates:
Transducers with greater sensitivity and immunity to changes in other variables can be obtained by way of
differential design, much like the concept behind the LVDT (Linear Variable Differential Transformer). Here are
a few examples of differential capacitive transducers:

As you can see, all of the differential devices shown in the above illustration have three wire connections rather
than two: one wire for each of the "end" plates and one for the "common" plate. As the capacitance between
one of the "end" plates and the "common" plate changes, the capacitance between the other "end" plate and
the "common" plate is such to change in the opposite direction. This kind of transducer lends itself very well to
implementation in a bridge circuit:
Capacitive transducers provide relatively small capacitances for a measurement circuit to operate with,
typically in the picofarad range. Because of this, high power supply frequencies (in the megahertz range!) are
usually required to reduce these capacitive reactances to reasonable levels. Given the small capacitances
provided by typical capacitive transducers, stray capacitances have the potential of being major sources of
measurement error. Good conductor shielding is essential for reliable and accurate capacitive transducer
circuitry!

The bridge circuit is not the only way to effectively interpret the differential capacitance output of such a
transducer, but it is one of the simplest to implement and understand. As with the LVDT, the voltage output of
the bridge is proportional to the displacement of the transducer action from its center position, and the
direction of offset will be indicated by phase shift. This kind of bridge circuit is similar in function to the kind
used with strain gauges: it is not intended to be in a "balanced" condition all the time, but rather the degree of
imbalance represents the magnitude of the quantity being measured.

An interesting alternative to the bridge circuit for interpreting differential capacitance is the twin-T. It requires
the use of diodes, those "one-way valves" for electric current mentioned earlier in the chapter:

This circuit might be better understood if re-drawn to resemble more of a bridge configuration:
Capacitor C1 is charged by the AC voltage source during every positive half-cycle (positive as measured in
reference to the ground point), while C2 is charged during every negative half-cycle. While one capacitor is
being charged, the other capacitor discharges (at a slower rate than it was charged) through the three-resistor
network. As a consequence, C1 maintains a positive DC voltage with respect to ground, and C2 a negative DC
voltage with respect to ground.

If the capacitive transducer is displaced from center position, one capacitor will increase in capacitance while
the other will decrease. This has little effect on the peak voltage charge of each capacitor, as there is negligible
resistance in the charging current path from source to capacitor, resulting in a very short time constant (τ).
However, when it comes time to discharge through the resistors, the capacitor with the greater capacitance
value will hold its charge longer, resulting in a greater average DC voltage over time than the lesser-value
capacitor.

The load resistor (Rload), connected at one end to the point between the two equal-value resistors (R) and at
the other end to ground, will drop no DC voltage if the two capacitors' DC voltage charges are equal in
magnitude. If, on the other hand, one capacitor maintains a greater DC voltage charge than the other due to a
difference in capacitance, the load resistor will drop a voltage proportional to the difference between these
voltages. Thus, differential capacitance is translated into a DC voltage across the load resistor.

Across the load resistor, there is both AC and DC voltage present, with only the DC voltage being significant to
the difference in capacitance. If desired, a low-pass filter may be added to the output of this circuit to block the
AC, leaving only a DC signal to be interpreted by measurement circuitry:
As a measurement circuit for differential capacitive sensors, the twin-T configuration enjoys many advantages
over the standard bridge configuration. First and foremost, transducer displacement is indicated by a simple
DC voltage, not an AC voltage whose magnitude and phase must be interpreted to tell which capacitance is
greater. Furthermore, given the proper component values and power supply output, this DC output signal may
be strong enough to directly drive an electromechanical meter movement, eliminating the need for an amplifier
circuit. Another important advantage is that all important circuit elements have one terminal directly connected
to ground: the source, the load resistor, and both capacitors are all ground-referenced. This helps minimize the
ill effects of stray capacitance commonly plaguing bridge measurement circuits, likewise eliminating the need
for compensatory measures such as the Wagner earth.

This circuit is also easy to specify parts for. Normally, a measurement circuit incorporating complementary
diodes requires the selection of "matched" diodes for good accuracy. Not so with this circuit! So long as the
power supply voltage is significantly greater than the deviation in voltage drop between the two diodes, the
effects of mismatch are minimal and contribute little to measurement error. Furthermore, supply frequency
variations have a relatively low impact on gain (how much output voltage is developed for a given amount of
transducer displacement), and square-wave supply voltage works as well as sine-wave, assuming a 50% duty
cycle (equal positive and negative half-cycles), of course.

Personal experience with using this circuit has confirmed its impressive performance. Not only is it easy to
prototype and test, but its relative insensitivity to stray capacitance and its high output voltage as compared to
traditional bridge circuits makes it a very robust alternative.

Chapter 13: TRANSMISSION LINES

A 50-ohm cable?

Early in my explorations of electricity, I came across a length of coaxial cable with the label "50 ohms" printed
along its outer sheath. Now, coaxial cable is a two-conductor cable made of a single conductor surrounded by a
braided wire jacket, with a plastic insulating material separating the two. As such, the outer (braided)
conductor completely surrounds the inner (single wire) conductor, the two conductors insulated from each
other for the entire length of the cable. This type of cabling is often used to conduct weak (low-amplitude)
voltage signals, due to its excellent ability to shield such signals from external interference.
I was mystified by the "50 ohms" label on this coaxial cable. How could two conductors, insulated from each
other by a relatively thick layer of plastic, have 50 ohms of resistance between them? Measuring resistance
between the outer and inner conductors with my ohmmeter, I found it to be infinite (open-circuit), just as I
would have expected from two insulated conductors. Measuring each of the two conductors' resistances from
one end of the cable to the other indicated nearly zero ohms of resistance: again, exactly what I would have
expected from continuous, unbroken lengths of wire. Nowhere was I able to measure 50 Ω of resistance on this
cable, regardless of which points I connected my ohmmeter between.

What I didn't understand at the time was the cable's response to short-duration voltage "pulses" and high-
frequency AC signals. Continuous direct current (DC) -- such as that used by my ohmmeter to check the
cable's resistance -- shows the two conductors to be completely insulated from each other, with nearly infinite
resistance between the two. However, due to the effects of capacitance and inductance distributed along the
length of the cable, the cable's response to rapidly-changing voltages is such that it acts as a finite impedance,
drawing current proportional to an applied voltage. What we would normally dismiss as being just a pair of
wires becomes an important circuit element in the presence of transient and high-frequency AC signals, with
characteristic properties all its own. When expressing such properties, we refer to the wire pair as a
transmission line.

This chapter explores transmission line behavior. Many transmission line effects do not appear in significant
measure in AC circuits of powerline frequency (50 or 60 Hz), or in continuous DC circuits, and so we haven't
had to concern ourselves with them in our study of electric circuits thus far. However, in circuits involving high
frequencies and/or extremely long cable lengths, the effects are very significant. Practical applications of
transmission line effects abound in radio-frequency ("RF") communication circuitry, including computer
networks, and in low-frequency circuits subject to voltage transients ("surges") such as lightning strikes on
power lines.

Circuits and the speed of light

Suppose we had a simple one-battery, one-lamp circuit controlled by a switch. When the switch is closed, the
lamp immediately lights. When the switch is opened, the lamp immediately darkens:

Actually, an incandescent lamp takes a short time for its filament to warm up and emit light after receiving an
electric current of sufficient magnitude to power it, so the effect is not instant. However, what I'd like to focus
on is the immediacy of the electric current itself, not the response time of the lamp filament. For all practical
purposes, the effect of switch action is instant at the lamp's location. Although electrons move through wires
very slowly, the overall effect of electrons pushing against each other happens at the speed of light
(approximately 186,000 miles per second!).

What would happen, though, if the wires carrying power to the lamp were 186,000 miles long? Since we know
the effects of electricity do have a finite speed (albeit very fast), a set of very long wires should introduce a
time delay into the circuit, delaying the switch's action on the lamp:
Assuming no warm-up time for the lamp filament, and no resistance along the 372,000 mile length of both
wires, the lamp would light up approximately one second after the switch closure. Although the construction
and operation of superconducting wires 372,000 miles in length would pose enormous practical problems, it is
theoretically possible, and so this "thought experiment" is valid. When the switch is opened again, the lamp will
continue to receive power for one second of time after the switch opens, then it will de-energize.

One way of envisioning this is to imagine the electrons within a conductor as rail cars in a train: linked together
with a small amount of "slack" or "play" in the couplings. When one rail car (electron) begins to move, it
pushes on the one ahead of it and pulls on the one behind it, but not before the slack is relieved from the
couplings. Thus, motion is transferred from car to car (from electron to electron) at a maximum velocity limited
by the coupling slack, resulting in a much faster transfer of motion from the left end of the train (circuit) to the
right end than the actual speed of the cars (electrons):

Another analogy, perhaps more fitting for the subject of transmission lines, is that of waves in water. Suppose
a flat, wall-shaped object is suddenly moved horizontally along the surface of water, so as to produce a wave
ahead of it. The wave will travel as water molecules bump into each other, transferring wave motion along the
water's surface far faster than the water molecules themselves are actually traveling:
Likewise, electron motion "coupling" travels approximately at the speed of light, although the electrons
themselves don't move that quickly. In a very long circuit, this "coupling" speed would become noticeable to a
human observer in the form of a short time delay between switch action and lamp action.

• REVIEW:
• In an electric circuit, the effects of electron motion travel approximately at the speed of light,
although electrons within the conductors do not travel anywhere near that velocity.

Characteristic impedance

Suppose, though, that we had a set of parallel wires of infinite length, with no lamp at the end. What would
happen when we close the switch? Being that there is no longer a load at the end of the wires, this circuit is
open. Would there be no current at all?

Despite being able to avoid wire resistance through the use of superconductors in this "thought experiment,"
we cannot eliminate capacitance along the wires' lengths. Any pair of conductors separated by an insulating
medium creates capacitance between those conductors:
Voltage applied between two conductors creates an electric field between those conductors. Energy is stored in
this electric field, and this storage of energy results in an opposition to change in voltage. The reaction of a
capacitance against changes in voltage is described by the equation i = C(de/dt), which tells us that current
will be drawn proportional to the voltage's rate of change over time. Thus, when the switch is closed, the
capacitance between conductors will react against the sudden voltage increase by charging up and drawing
current from the source. According to the equation, an instant rise in applied voltage (as produced by perfect
switch closure) gives rise to an infinite charging current.

However, the current drawn by a pair of parallel wires will not be infinite, because there exists series
impedance along the wires due to inductance. Remember that current through any conductor develops a
magnetic field of proportional magnitude. Energy is stored in this magnetic field, and this storage of energy
results in an opposition to change in current. Each wire develops a magnetic field as it carries charging current
for the capacitance between the wires, and in so doing drops voltage according to the inductance equation e =
L(di/dt). This voltage drop limits the voltage rate-of-change across the distributed capacitance, preventing the
current from ever reaching an infinite magnitude:
Because the electrons in the two wires transfer motion to and from each other at nearly the speed of light, the
"wave front" of voltage and current change will propagate down the length of the wires at that same velocity,
resulting in the distributed capacitance and inductance progressively charging to full voltage and current,
respectively, like this:
The end result of these interactions is a constant current of limited magnitude through the battery source.
Since the wires are infinitely long, their distributed capacitance will never fully charge to the source voltage,
and their distributed inductance will never allow unlimited charging current. In other words, this pair of wires
will draw current from the source so long as the switch is closed, behaving as a constant load. No longer are
the wires merely conductors of electrical current and carriers of voltage, but now constitute a circuit
component in themselves, with unique characteristics. No longer are the two wires merely a pair of conductors,
but rather a transmission line.

As a constant load, the transmission line's response to applied voltage is resistive rather than reactive, despite
being comprised purely of inductance and capacitance (assuming superconducting wires with zero resistance).
We can say this because there is no difference from the battery's perspective between a resistor eternally
dissipating energy and an infinite transmission line eternally absorbing energy. The impedance (resistance) of
this line in ohms is called the characteristic impedance, and it is fixed by the geometry of the two conductors.
For a parallel-wire line with air insulation, the characteristic impedance may be calculated as such:
If the transmission line is coaxial in construction, the characteristic impedance follows a different equation:

In both equations, identical units of measurement must be used in both terms of the fraction. If the insulating
material is other than air (or a vacuum), both the characteristic impedance and the propagation velocity will be
affected. The ratio of a transmission line's true propagation velocity and the speed of light in a vacuum is called
the velocity factor of that line.

Velocity factor is purely a factor of the insulating material's relative permittivity (otherwise known as its
dielectric constant), defined as the ratio of a material's electric field permittivity to that of a pure vacuum. The
velocity factor of any cable type -- coaxial or otherwise -- may be calculated quite simply by the following
formula:
Characteristic impedance is also known as natural impedance, and it refers to the equivalent resistance of a
transmission line if it were infinitely long, owing to distributed capacitance and inductance as the voltage and
current "waves" propagate along its length at a propagation velocity equal to some large fraction of light
speed.

It can be seen in either of the first two equations that a transmission line's characteristic impedance (Z0)
increases as the conductor spacing increases. If the conductors are moved away from each other, the
distributed capacitance will decrease (greater spacing between capacitor "plates"), and the distributed
inductance will increase (less cancellation of the two opposing magnetic fields). Less parallel capacitance and
more series inductance results in a smaller current drawn by the line for any given amount of applied voltage,
which by definition is a greater impedance. Conversely, bringing the two conductors closer together increases
the parallel capacitance and decreases the series inductance. Both changes result in a larger current drawn for
a given applied voltage, equating to a lesser impedance.

Barring any dissipative effects such as dielectric "leakage" and conductor resistance, the characteristic
impedance of a transmission line is equal to the square root of the ratio of the line's inductance per unit length
divided by the line's capacitance per unit length:

• REVIEW:
• A transmission line is a pair of parallel conductors exhibiting certain characteristics due to distributed
capacitance and inductance along its length.
• When a voltage is suddenly applied to one end of a transmission line, both a voltage "wave" and a
current "wave" propagate along the line at nearly light speed.
• If a DC voltage is applied to one end of an infinitely long transmission line, the line will draw current
from the DC source as though it were a constant resistance.
• The characteristic impedance (Z0) of a transmission line is the resistance it would exhibit if it were
infinite in length. This is entirely different from leakage resistance of the dielectric separating the two
conductors, and the metallic resistance of the wires themselves. Characteristic impedance is purely a
function of the capacitance and inductance distributed along the line's length, and would exist even if
 the dielectric were perfect (infinite parallel resistance) and the wires superconducting (zero series
resistance).
• Velocity factor is a fractional value relating a transmission line's propagation speed to the speed of
light in a vacuum. Values range between 0.66 and 0.80 for typical two-wire lines and coaxial cables.
For any cable type, it is equal to the reciprocal (1/x) of the square root of the relative permittivity of
the cable's insulation.

Finite-length transmission lines

A transmission line of infinite length is an interesting abstraction, but physically impossible. All transmission
lines have some finite length, and as such do not behave precisely the same as an infinite line. If that piece of
50 Ω "RG-58/U" cable I measured with an ohmmeter years ago had been infinitely long, I actually would have
been able to measure 50 Ω worth of resistance between the inner and outer conductors. But it was not infinite
in length, and so it measured as "open" (infinite resistance).

Nonetheless, the characteristic impedance rating of a transmission line is important even when dealing with
limited lengths. An older term for characteristic impedance, which I like for its descriptive value, is surge
impedance. If a transient voltage (a "surge") is applied to the end of a transmission line, the line will draw a
current proportional to the surge voltage magnitude divided by the line's surge impedance (I=E/Z). This
simple, Ohm's Law relationship between current and voltage will hold true for a limited period of time, but not
indefinitely.

If the end of a transmission line is open-circuited -- that is, left unconnected -- the current "wave" propagating
down the line's length will have to stop at the end, since electrons cannot flow where there is no continuing
path. This abrupt cessation of current at the line's end causes a "pile-up" to occur along the length of the
transmission line, as the electrons successively find no place to go. Imagine a train traveling down the track
with slack between the rail car couplings: if the lead car suddenly crashes into an immovable barricade, it will
come to a stop, causing the one behind it to come to a stop as soon as the first coupling slack is taken up,
which causes the next rail car to stop as soon as the next coupling's slack is taken up, and so on until the last
rail car stops. The train does not come to a halt together, but rather in sequence from first car to last:
A signal propagating from the source-end of a transmission line to the load-end is called an incident wave. The
propagation of a signal from load-end to source-end (such as what happened in this example with current
encountering the end of an open-circuited transmission line) is called a reflected wave.

When this electron "pile-up" propagates back to the battery, current at the battery ceases, and the line acts as
a simple open circuit. All this happens very quickly for transmission lines of reasonable length, and so an
ohmmeter measurement of the line never reveals the brief time period where the line actually behaves as a
resistor. For a mile-long cable with a velocity factor of 0.66 (signal propagation velocity is 66% of light speed,
or 122,760 miles per second), it takes only 1/122,760 of a second (8.146 microseconds) for a signal to travel
from one end to the other. For the current signal to reach the line's end and "reflect" back to the source, the
round-trip time is twice this figure, or 16.292 µs.

High-speed measurement instruments are able to detect this transit time from source to line-end and back to
source again, and may be used for the purpose of determining a cable's length. This technique may also be
used for determining the presence and location of a break in one or both of the cable's conductors, since a
current will "reflect" off the wire break just as it will off the end of an open-circuited cable. Instruments
designed for such purposes are called time-domain reflectometers (TDRs). The basic principle is identical to
that of sonar range-finding: generating a sound pulse and measuring the time it takes for the echo to return.

A similar phenomenon takes place if the end of a transmission line is short-circuited: when the voltage wave-
front reaches the end of the line, it is reflected back to the source, because voltage cannot exist between two
electrically common points. When this reflected wave reaches the source, the source sees the entire
transmission line as a short-circuit. Again, this happens as quickly as the signal can propagate round-trip down
and up the transmission line at whatever velocity allowed by the dielectric material between the line's
conductors.

A simple experiment illustrates the phenomenon of wave reflection in transmission lines. Take a length of rope
by one end and "whip" it with a rapid up-and-down motion of the wrist. A wave may be seen traveling down
the rope's length until it dissipates entirely due to friction:
This is analogous to a long transmission line with internal loss: the signal steadily grows weaker as it
propagates down the line's length, never reflecting back to the source. However, if the far end of the rope is
secured to a solid object at a point prior to the incident wave's total dissipation, a second wave will be reflected
back to your hand:
Usually, the purpose of a transmission line is to convey electrical energy from one point to another. Even if the
signals are intended for information only, and not to power some significant load device, the ideal situation
would be for all of the original signal energy to travel from the source to the load, and then be completely
absorbed or dissipated by the load for maximum signal-to-noise ratio. Thus, "loss" along the length of a
transmission line is undesirable, as are reflected waves, since reflected energy is energy not delivered to the
end device.

Reflections may be eliminated from the transmission line if the load's impedance exactly equals the
characteristic ("surge") impedance of the line. For example, a 50 Ω coaxial cable that is either open-circuited
or short-circuited will reflect all of the incident energy back to the source. However, if a 50 Ω resistor is
connected at the end of the cable, there will be no reflected energy, all signal energy being dissipated by the
resistor.

This makes perfect sense if we return to our hypothetical, infinite-length transmission line example. A
transmission line of 50 Ω characteristic impedance and infinite length behaves exactly like a 50 Ω resistance as
measured from one end. If we cut this line to some finite length, it will behave as a 50 Ω resistor to a constant
source of DC voltage for a brief time, but then behave like an open- or a short-circuit, depending on what
condition we leave the cut end of the line: open or shorted. However, if we terminate the line with a 50 Ω
resistor, the line will once again behave as a 50 Ω resistor, indefinitely: the same as if it were of infinite length
again:
In essence, a terminating resistor matching the natural impedance of the transmission line makes the line
"appear" infinitely long from the perspective of the source, because a resistor has the ability to eternally
dissipate energy in the same way a transmission line of infinite length is able to eternally absorb energy.

Reflected waves will also manifest if the terminating resistance isn't precisely equal to the characteristic
impedance of the transmission line, not just if the line is left unconnected (open) or jumpered (shorted).
Though the energy reflection will not be total with a terminating impedance of slight mismatch, it will be
partial. This happens whether or not the terminating resistance is greater or less than the line's characteristic
impedance.

Re-reflections of a reflected wave may also occur at the source end of a transmission line, if the source's
internal impedance (Thevenin equivalent impedance) is not exactly equal to the line's characteristic impedance.
A reflected wave returning back to the source will be dissipated entirely if the source impedance matches the
line's, but will be reflected back toward the line end like another incident wave, at least partially, if the source
impedance does not match the line. This type of reflection may be particularly troublesome, as it makes it
appear that the source has transmitted another pulse.

• REVIEW:
• Characteristic impedance is also known as surge impedance, due to the temporarily resistive behavior
of any length transmission line.
• A finite-length transmission line will appear to a DC voltage source as a constant resistance for some
short time, then as whatever impedance the line is terminated with. Therefore, an open-ended cable
simply reads "open" when measured with an ohmmeter, and "shorted" when its end is short-circuited.
• A transient ("surge") signal applied to one end of an open-ended or short-circuited transmission line
will "reflect" off the far end of the line as a secondary wave. A signal traveling on a transmission line
from source to load is called an incident wave; a signal "bounced" off the end of a transmission line,
traveling from load to source, is called a reflected wave.
• Reflected waves will also appear in transmission lines terminated by resistors not precisely matching
the characteristic impedance.
• A finite-length transmission line may be made to appear infinite in length if terminated by a resistor of
equal value to the line's characteristic impedance. This eliminates all signal reflections.
• A reflected wave may become re-reflected off the source-end of a transmission line if the source's
internal impedance does not match the line's characteristic impedance. This re-reflected wave will
appear, of course, like another pulse signal transmitted from the source.

"Long" and "short" transmission lines

In DC and low-frequency AC circuits, the characteristic impedance of parallel wires is usually ignored. This
includes the use of coaxial cables in instrument circuits, often employed to protect weak voltage signals from
being corrupted by induced "noise" caused by stray electric and magnetic fields. This is due to the relatively
short timespans in which reflections take place in the line, as compared to the period of the waveforms or
pulses of the significant signals in the circuit. As we saw in the last section, if a transmission line is connected
to a DC voltage source, it will behave as a resistor equal in value to the line's characteristic impedance only for
as long as it takes the incident pulse to reach the end of the line and return as a reflected pulse, back to the
source. After that time (a brief 16.292 µs for the mile-long coaxial cable of the last example), the source "sees"
only the terminating impedance, whatever that may be.

If the circuit in question handles low-frequency AC power, such short time delays introduced by a transmission
line between when the AC source outputs a voltage peak and when the source "sees" that peak loaded by the
terminating impedance (round-trip time for the incident wave to reach the line's end and reflect back to the
source) are of little consequence. Even though we know that signal magnitudes along the line's length are not
equal at any given time due to signal propagation at (nearly) the speed of light, the actual phase difference
between start-of-line and end-of-line signals is negligible, because line-length propagations occur within a very
small fraction of the AC waveform's period. For all practical purposes, we can say that voltage along all
respective points on a low-frequency, two-conductor line are equal and in-phase with each other at any given
point in time.

In these cases, we can say that the transmission lines in question are electrically short, because their
propagation effects are much quicker than the periods of the conducted signals. By contrast, an electrically
long line is one where the propagation time is a large fraction or even a multiple of the signal period. A "long"
line is generally considered to be one where the source's signal waveform completes at least a quarter-cycle
(90o of "rotation") before the incident signal reaches line's end. Up until this chapter in the Lessons In Electric
Circuits book series, all connecting lines were assumed to be electrically short.

To put this into perspective, we need to express the distance traveled by a voltage or current signal along a
transmission line in relation to its source frequency. An AC waveform with a frequency of 60 Hz completes one
cycle in 16.66 ms. At light speed (186,000 m/s), this equates to a distance of 3100 miles that a voltage or
current signal will propagate in that time. If the velocity factor of the transmission line is less than 1, the
propagation velocity will be less than 186,000 miles per second, and the distance less by the same factor. But
even if we used the coaxial cable's velocity factor from the last example (0.66), the distance is still a very long
2046 miles! Whatever distance we calculate for a given frequency is called the wavelength of the signal.

A simple formula for calculating wavelength is as follows:

The lower-case Greek letter "lambda" (λ) represents wavelength, in whatever unit of length used in the
velocity figure (if miles per second, then wavelength in miles; if meters per second, then wavelength in
meters). Velocity of propagation is usually the speed of light when calculating signal wavelength in open air or
in a vacuum, but will be less if the transmission line has a velocity factor less than 1.

If a "long" line is considered to be one at least 1/4 wavelength in length, you can see why all connecting lines
in the circuits discussed thusfar have been assumed "short." For a 60 Hz AC power system, power lines would
have to exceed 775 miles in length before the effects of propagation time became significant. Cables
connecting an audio amplifier to speakers would have to be over 4.65 miles in length before line reflections
would significantly impact a 10 kHz audio signal!

When dealing with radio-frequency systems, though, transmission line length is far from trivial. Consider a 100
MHz radio signal: its wavelength is a mere 9.8202 feet, even at the full propagation velocity of light (186,000
m/s). A transmission line carrying this signal would not have to be more than about 2-1/2 feet in length to be
considered "long!" With a cable velocity factor of 0.66, this critical length shrinks to 1.62 feet.

When an electrical source is connected to a load via a "short" transmission line, the load's impedance
dominates the circuit. This is to say, when the line is short, its own characteristic impedance is of little
consequence to the circuit's behavior. We see this when testing a coaxial cable with an ohmmeter: the cable
reads "open" from center conductor to outer conductor if the cable end is left unterminated. Though the line
acts as a resistor for a very brief period of time after the meter is connected (about 50 Ω for an RG-58/U
cable), it immediately thereafter behaves as a simple "open circuit:" the impedance of the line's open end.
Since the combined response time of an ohmmeter and the human being using it greatly exceeds the round-
trip propagation time up and down the cable, it is "electrically short" for this application, and we only register
the terminating (load) impedance. It is the extreme speed of the propagated signal that makes us unable to
detect the cable's 50 Ω transient impedance with an ohmmeter.

If we use a coaxial cable to conduct a DC voltage or current to a load, and no component in the circuit is
capable of measuring or responding quickly enough to "notice" a reflected wave, the cable is considered
"electrically short" and its impedance is irrelevant to circuit function. Note how the electrical "shortness" of a
cable is relative to the application: in a DC circuit where voltage and current values change slowly, nearly any
physical length of cable would be considered "short" from the standpoint of characteristic impedance and
reflected waves. Taking the same length of cable, though, and using it to conduct a high-frequency AC signal
could result in a vastly different assessment of that cable's "shortness!"

When a source is connected to a load via a "long" transmission line, the line's own characteristic impedance
dominates over load impedance in determining circuit behavior. In other words, an electrically "long" line acts
as the principal component in the circuit, its own characteristics overshadowing the load's. With a source
connected to one end of the cable and a load to the other, current drawn from the source is a function
primarily of the line and not the load. This is increasingly true the longer the transmission line is. Consider our
hypothetical 50 Ω cable of infinite length, surely the ultimate example of a "long" transmission line: no matter
what kind of load we connect to one end of this line, the source (connected to the other end) will only see 50 Ω
of impedance, because the line's infinite length prevents the signal from ever reaching the end where the load
is connected. In this scenario, line impedance exclusively defines circuit behavior, rendering the load
completely irrelevant.

The most effective way to minimize the impact of transmission line length on circuit behavior is to match the
line's characteristic impedance to the load impedance. If the load impedance is equal to the line impedance,
then any signal source connected to the other end of the line will "see" the exact same impedance, and will
have the exact same amount of current drawn from it, regardless of line length. In this condition of perfect
impedance matching, line length only affects the amount of time delay from signal departure at the source to
signal arrival at the load. However, perfect matching of line and load impedances is not always practical or
possible.

The next section discusses the effects of "long" transmission lines, especially when line length happens to
match specific fractions or multiples of signal wavelength.

• REVIEW:
• Coaxial cabling is sometimes used in DC and low-frequency AC circuits as well as in high-frequency
circuits, for the excellent immunity to induced "noise" that it provides for signals.
• When the period of a transmitted voltage or current signal greatly exceeds the propagation time for a
transmission line, the line is considered electrically short. Conversely, when the propagation time is a
large fraction or multiple of the signal's period, the line is considered electrically long.
• A signal's wavelength is the physical distance it will propagate in the timespan of one period.
Wavelength is calculated by the formula λ=v/f, where "λ" is the wavelength, "v" is the propagation
velocity, and "f" is the signal frequency.
• A rule-of-thumb for transmission line "shortness" is that the line must be at least 1/4 wavelength
before it is considered "long."
• In a circuit with a "short" line, the terminating (load) impedance dominates circuit behavior. The
source effectively sees nothing but the load's impedance, barring any resistive losses in the
transmission line.
• In a circuit with a "long" line, the line's own characteristic impedance dominates circuit behavior. The
ultimate example of this is a transmission line of infinite length: since the signal will never reach the
load impedance, the source only "sees" the cable's characteristic impedance.
• When a transmission line is terminated by a load precisely matching its impedance, there are no
reflected waves and thus no problems with line length.
Standing waves and resonance

Whenever there is a mismatch of impedance between transmission line and load, reflections will occur. If the
incident signal is a continuous AC waveform, these reflections will mix with more of the oncoming incident
waveform to produce stationary waveforms called standing waves.

The following illustration shows how a triangle-shaped incident waveform turns into a mirror-image reflection
upon reaching the line's unterminated end. The transmission line in this illustrative sequence is shown as a
single, thick line rather than a pair of wires, for simplicity's sake. The incident wave is shown traveling from left
to right, while the reflected wave travels from right to left:
If we add the two waveforms together, we find that a third, stationary waveform is created along the line's
length:
This third, "standing" wave, in fact, represents the only voltage along the line, being the representative sum of
incident and reflected voltage waves. It oscillates in instantaneous magnitude, but does not propagate down
the cable's length like the incident or reflected waveforms causing it. Note the dots along the line length
marking the "zero" points of the standing wave (where the incident and reflected waves cancel each other),
and how those points never change position:
Standing waves are quite abundant in the physical world. Consider a string or rope, shaken at one end, and
tied down at the other (only one half-cycle of hand motion shown, moving downward):
Both the nodes (points of little or no vibration) and the antinodes (points of maximum vibration) remain fixed
along the length of the string or rope. The effect is most pronounced when the free end is shaken at just the
right frequency. Plucked strings exhibit the same "standing wave" behavior, with "nodes" of maximum and
minimum vibration along their length. The major difference between a plucked string and a shaken string is
that the plucked string supplies its own "correct" frequency of vibration to maximize the standing-wave effect:

Wind blowing across an open-ended tube also produces standing waves; this time, the waves are vibrations of
air molecules (sound) within the tube rather than vibrations of a solid object. Whether the standing wave
terminates in a node (minimum amplitude) or an antinode (maximum amplitude) depends on whether the
other end of the tube is open or closed:
A closed tube end must be a wave node, while an open tube end must be an antinode. By analogy, the
anchored end of a vibrating string must be a node, while the free end (if there is any) must be an antinode.

Note how there is more than one wavelength suitable for producing standing waves of vibrating air within a
tube that precisely match the tube's end points. This is true for all standing-wave systems: standing waves will
resonate with the system for any frequency (wavelength) correlating to the node/antinode points of the
system. Another way of saying this is that there are multiple resonant frequencies for any system supporting
standing waves.

All higher frequencies are integer-multiples of the lowest (fundamental) frequency for the system. The
sequential progression of harmonics from one resonant frequency to the next defines the overtone frequencies
for the system:
The actual frequencies (measured in Hertz) for any of these harmonics or overtones depends on the physical
length of the tube and the waves' propagation velocity, which is the speed of sound in air.

Because transmission lines support standing waves, and force these waves to possess nodes and antinodes
according to the type of termination impedance at the load end, they also exhibit resonance at frequencies
determined by physical length and propagation velocity. Transmission line resonance, though, is a bit more
complex than resonance of strings or of air in tubes, because we must consider both voltage waves and current
waves.

This complexity is made easier to understand by way of computer simulation. To begin, let's examine a
perfectly matched source, transmission line, and load. All components have an impedance of 75 Ω:

Using SPICE to simulate the circuit, we'll specify the transmission line (t1) with a 75 Ω characteristic
impedance (z0=75) and a propagation delay of 1 microsecond (td=1u). This is a convenient method for
expressing the physical length of a transmission line: the amount of time it takes a wave to propagate down its
entire length. If this were a real 75 Ω cable -- perhaps a type "RG-59B/U" coaxial cable, the type commonly
used for cable television distribution -- with a velocity factor of 0.66, it would be about 648 feet long. Since 1
µs is the period of a 1 MHz signal, I'll choose to sweep the frequency of the AC source from (nearly) zero to
that figure, to see how the system reacts when exposed to signals ranging from DC to 1 wavelength.

Here is the SPICE netlist for the circuit shown above:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=75 td=1u
rload 3 0 75
.ac lin 101 1m 1meg
* Using "Nutmeg" program to plot analysis
.end

Running this simulation and plotting the source impedance drop (as an indication of current), the source
voltage, the line's source-end voltage, and the load voltage, we see that the source voltage -- shown as
vm(1) (voltage magnitude between node 1 and the implied ground point of node 0) on the graphic plot --
registers a steady 1 volt, while every other voltage registers a steady 0.5 volts:

In a system where all impedances are perfectly matched, there can be no standing waves, and therefore no
resonant "peaks" or "valleys" in the Bode plot.

Now, let's change the load impedance to 999 MΩ, to simulate an open-ended transmission line. We should
definitely see some reflections on the line now as the frequency is swept from 1 mHz to 1 MHz:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=75 td=1u
rload 3 0 999meg
.ac lin 101 1m 1meg
* Using "Nutmeg" program to plot analysis
.end
Here, both the supply voltage vm(1) and the line's load-end voltage vm(3) remain steady at 1 volt. The
other voltages dip and peak at different frequencies along the sweep range of 1 mHz to 1 MHz. There are five
points of interest along the horizontal axis of the analysis: 0 Hz, 250 kHz, 500 kHz, 750 kHz, and 1 MHz. We
will investigate each one with regard to voltage and current at different points of the circuit.

At 0 Hz (actually 1 mHz), the signal is practically DC, and the circuit behaves much as it would given a 1-volt
DC battery source. There is no circuit current, as indicated by zero voltage drop across the source impedance
(Zsource: vm(1,2)), and full source voltage present at the source-end of the transmission line (voltage
measured between node 2 and node 0: vm(2)).

At 250 kHz, we see zero voltage and maximum current at the source-end of the transmission line, yet still full
voltage at the load-end:
You might be wondering, how can this be? How can we get full source voltage at the line's open end while
there is zero voltage at its entrance? The answer is found in the paradox of the standing wave. With a source
frequency of 250 kHz, the line's length is precisely right for 1/4 wavelength to fit from end to end. With the
line's load end open-circuited, there can be no current, but there will be voltage. Therefore, the load-end of an
open-circuited transmission line is a current node (zero point) and a voltage antinode (maximum amplitude):

At 500 kHz, exactly one-half of a standing wave rests on the transmission line, and here we see another point
in the analysis where the source current drops off to nothing and the source-end voltage of the transmission
line rises again to full voltage:

At 750 kHz, the plot looks a lot like it was at 250 kHz: zero source-end voltage (vm(2)) and maximum
current (vm(1,2)). This is due to 3/4 of a wave poised along the transmission line, resulting in the source
"seeing" a short-circuit where it connects to the transmission line, even though the other end of the line is
open-circuited:
When the supply frequency sweeps up to 1 MHz, a full standing wave exists on the transmission line. At this
point, the source-end of the line experiences the same voltage and current amplitudes as the load-end: full
voltage and zero current. In essence, the source "sees" an open circuit at the point where it connects to the
transmission line.

In a similar fashion, a short-circuited transmission line generates standing waves, although the node and
antinode assignments for voltage and current are reversed: at the shorted end of the line, there will be zero
voltage (node) and maximum current (antinode). What follows is the SPICE simulation and illustrations of what
happens at all the interesting frequencies: 0 Hz, 250 kHz, 500 kHz, 750 kHz, and 1 MHz. The short-circuit
jumper is simulated by a 1 µΩ load impedance:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=75 td=1u
rload 3 0 1u
.ac lin 101 1m 1meg
* Using "Nutmeg" program to plot analysis
.end
In both these circuit examples, an open-circuited line and a short-circuited line, the energy reflection is total:
100% of the incident wave reaching the line's end gets reflected back toward the source. If, however, the
transmission line is terminated in some impedance other than an open or a short, the reflections will be less
intense, as will be the difference between minimum and maximum values of voltage and current along the line.

Suppose we were to terminate our example line with a 100 Ω resistor instead of a 75 Ω resistor. Examine the
results of the corresponding SPICE analysis to see the effects of impedance mismatch at different source
frequencies:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=75 td=1u
rload 3 0 100
.ac lin 101 1m 1meg
* Using "Nutmeg" program to plot analysis
.end
If we run another SPICE analysis, this time printing numerical results rather than plotting them, we can
discover exactly what is happening at all the interesting frequencies (DC, 250 kHz, 500 kHz, 750 kHz, and 1
MHz):

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=75 td=1u
rload 3 0 100
.ac lin 5 1m 1meg
.print ac v(1,2) v(1) v(2) v(3)
.end

freq v(1,2) v(1) v(2) v(3)

1.000E-03 4.286E-01 1.000E+00 5.714E-01 5.714E-01
2.500E+05 5.714E-01 1.000E+00 4.286E-01 5.714E-01
5.000E+05 4.286E-01 1.000E+00 5.714E-01 5.714E-01
7.500E+05 5.714E-01 1.000E+00 4.286E-01 5.714E-01
1.000E+06 4.286E-01 1.000E+00 5.714E-01 5.714E-01

At all frequencies, the source voltage, v(1), remains steady at 1 volt, as it should. The load voltage, v(3),
also remains steady, but at a lesser voltage: 0.5714 volts. However, both the line input voltage (v(2)) and
the voltage dropped across the source's 75 Ω impedance (v(1,2), indicating current drawn from the source)
vary with frequency.
At odd harmonics of the fundamental frequency (250 kHz and 750 kHz), we see differing levels of voltage at
each end of the transmission line, because at those frequencies the standing waves terminate at one end in a
node and at the other end in an antinode. Unlike the open-circuited and short-circuited transmission line
examples, the maximum and minimum voltage levels along this transmission line do not reach the same
extreme values of 0% and 100% source voltage, but we still have points of "minimum" and "maximum"
voltage. The same holds true for current: if the line's terminating impedance is mismatched to the line's
characteristic impedance, we will have points of minimum and maximum current at certain fixed locations on
the line, corresponding to the standing current wave's nodes and antinodes, respectively.

One way of expressing the severity of standing waves is as a ratio of maximum amplitude (antinode) to
minimum amplitude (node), for voltage or for current. When a line is terminated by an open or a short, this
standing wave ratio, or SWR is valued at infinity, since the minimum amplitude will be zero, and any finite
value divided by zero results in an infinite (actually, "undefined") quotient. In this example, with a 75 Ω line
terminated by a 100 Ω impedance, the SWR will be finite: 1.333, calculated by taking the maximum line
voltage at either 250 kHz or 750 kHz (0.5714 volts) and dividing by the minimum line voltage (0.4286 volts).

Standing wave ratio may also be calculated by taking the line's terminating impedance and the line's
characteristic impedance, and dividing the larger of the two values by the smaller. In this example, the
terminating impedance of 100 Ω divided by the characteristic impedance of 75 Ω yields a quotient of exactly
1.333, matching the previous calculation very closely.

A perfectly terminated transmission line will have an SWR of 1, since voltage at any location along the line's
length will be the same, and likewise for current. Again, this is usually considered ideal, not only because
reflected waves constitute energy not delivered to the load, but because the high values of voltage and current
created by the antinodes of standing waves may over-stress the transmission line's insulation (high voltage)
and conductors (high current), respectively.

Also, a transmission line with a high SWR tends to act as an antenna, radiating electromagnetic energy away
from the line, rather than channeling all of it to the load. This is usually undesirable, as the radiated energy
may "couple" with nearby conductors, producing signal interference. An interesting footnote to this point is that
antenna structures -- which typically resemble open- or short-circuited transmission lines -- are often designed
to operate at high standing wave ratios, for the very reason of maximizing signal radiation and reception.

The following photograph shows a set of transmission lines at a junction point in a radio transmitter system.
The large, copper tubes with ceramic insulator caps at the ends are rigid coaxial transmission lines of 50 Ω
characteristic impedance. These lines carry RF power from the radio transmitter circuit to a small, wooden
shelter at the base of an antenna structure, and from that shelter on to other shelters with other antenna
structures:

Flexible coaxial cable connected to the rigid lines (also of 50 Ω characteristic impedance) conduct the RF power
to capacitive and inductive "phasing" networks inside the shelter. The white, plastic tube joining two of the
rigid lines together carries "filling" gas from one sealed line to the other. The lines are gas-filled to avoid
collecting moisture inside them, which would be a definite problem for a coaxial line. Note the flat, copper
"straps" used as jumper wires to connect the conductors of the flexible coaxial cables to the conductors of the
rigid lines. Why flat straps of copper and not round wires? Because of the skin effect, which renders most of
the cross-sectional area of a round conductor useless at radio frequencies.

Like many transmission lines, these are operated at low SWR conditions. As we will see in the next section,
though, the phenomenon of standing waves in transmission lines is not always undesirable, as it may be
exploited to perform a useful function: impedance transformation.

• REVIEW:
• Standing waves are waves of voltage and current which do not propagate (i.e. they are stationary),
but are the result of interference between incident and reflected waves along a transmission line.
• A node is a point on a standing wave of minimum amplitude.
• An antinode is a point on a standing wave of maximum amplitude.
• Standing waves can only exist in a transmission line when the terminating impedance does not match
the line's characteristic impedance. In a perfectly terminated line, there are no reflected waves, and
therefore no standing waves at all.
• At certain frequencies, the nodes and antinodes of standing waves will correlate with the ends of a
transmission line, resulting in resonance.
• The lowest-frequency resonant point on a transmission line is where the line is one quarter-
wavelength long. Resonant points exist at every harmonic (integer-multiple) frequency of the
fundamental (quarter-wavelength).
• Standing wave ratio, or SWR, is the ratio of maximum standing wave amplitude to minimum standing
wave amplitude. It may also be calculated by dividing termination impedance by characteristic
impedance, or visa-versa, which ever yields the greatest quotient. A line with no standing waves
(perfectly matched: Zload to Z0) has an SWR equal to 1.
• Transmission lines may be damaged by the high maximum amplitudes of standing waves. Voltage
antinodes may break down insulation between conductors, and current antinodes may overheat
conductors.
Impedance transformation

Standing waves at the resonant frequency points of an open- or short-circuited transmission line produce
unusual effects. When the signal frequency is such that exactly 1/2 wave or some multiple thereof matches the
line's length, the source "sees" the load impedance as it is. The following pair of illustrations shows an open-
circuited line operating at 1/2 and 1 wavelength frequencies:

In either case, the line has voltage antinodes at both ends, and current nodes at both ends. That is to say,
there is maximum voltage and minimum current at either end of the line, which corresponds to the condition of
an open circuit. The fact that this condition exists at both ends of the line tells us that the line faithfully
reproduces its terminating impedance at the source end, so that the source "sees" an open circuit where it
connects to the transmission line, just as if it were directly open-circuited.

The same is true if the transmission line is terminated by a short: at signal frequencies corresponding to 1/2
wavelength or some multiple thereof, the source "sees" a short circuit, with minimum voltage and maximum
current present at the connection points between source and transmission line:
However, if the signal frequency is such that the line resonates at 1/4 wavelength or some multiple thereof,
the source will "see" the exact opposite of the termination impedance. That is, if the line is open-circuited, the
source will "see" a short-circuit at the point where it connects to the line; and if the line is short-circuited, the
source will "see" an open circuit:

Line open-circuited; source "sees" a short circuit:

Line short-circuited; source "sees" an open circuit:

At these frequencies, the transmission line is actually functioning as an impedance transformer, transforming
an infinite impedance into zero impedance, or visa-versa. Of course, this only occurs at resonant points
resulting in a standing wave of 1/4 cycle (the line's fundamental, resonant frequency) or some odd multiple
(3/4, 5/4, 7/4, 9/4 . . .), but if the signal frequency is known and unchanging, this phenomenon may be used
to match otherwise unmatched impedances to each other.
Take for instance the example circuit from the last section where a 75 Ω source connects to a 75 Ω
transmission line, terminating in a 100 Ω load impedance. From the numerical figures obtained via SPICE, let's
determine what impedance the source "sees" at its end of the transmission line at the line's resonant
frequencies:
A simple equation relates line impedance (Z0), load impedance (Zload), and input impedance (Zinput) for an
unmatched transmission line operating at an odd harmonic of its fundamental frequency:

One practical application of this principle would be to match a 300 Ω load to a 75 Ω signal source at a
frequency of 50 MHz. All we need to do is calculate the proper transmission line impedance (Z0), and length so
that exactly 1/4 of a wave will "stand" on the line at a frequency of 50 MHz.

First, calculating the line impedance: taking the 75 Ω we desire the source to "see" at the source-end of the
transmission line, and multiplying by the 300 Ω load resistance, we obtain a figure of 22,500. Taking the
square root of 22,500 yields 150 Ω for a characteristic line impedance.

Now, to calculate the necessary line length: assuming that our cable has a velocity factor of 0.85, and using a
speed-of-light figure of 186,000 miles per second, the velocity of propagation will be 158,100 miles per
second. Taking this velocity and dividing by the signal frequency gives us a wavelength of 0.003162 miles, or
16.695 feet. Since we only need one-quarter of this length for the cable to support a quarter-wave, the
requisite cable length is 4.1738 feet.

Here is a schematic diagram for the circuit, showing node numbers for the SPICE analysis we're about to run:

We can specify the cable length in SPICE in terms of time delay from beginning to end. Since the frequency is
50 MHz, the signal period will be the reciprocal of that, or 20 nano-seconds (20 ns). One-quarter of that time
(5 ns) will be the time delay of a transmission line one-quarter wavelength long:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 75
t1 2 0 3 0 z0=150 td=5n
rload 3 0 300
.ac lin 1 50meg 50meg
.print ac v(1,2) v(1) v(2) v(3)
.end

freq v(1,2) v(1) v(2) v(3)

5.000E+07 5.000E-01 1.000E+00 5.000E-01 1.000E+00

At a frequency of 50 MHz, our 1-volt signal source drops half of its voltage across the series 75 Ω impedance
(v(1,2)) and the other half of its voltage across the input terminals of the transmission line (v(2)). This
means the source "thinks" it is powering a 75 Ω load. The actual load impedance, however, receives a full 1
volt, as indicated by the 1.000 figure at v(3). With 0.5 volt dropped across 75 Ω, the source is dissipating
3.333 mW of power: the same as dissipated by 1 volt across the 300 Ω load, indicating a perfect match of
impedance, according to the Maximum Power Transfer Theorem. The 1/4-wavelength, 150 Ω, transmission line
segment has successfully matched the 300 Ω load to the 75 Ω source.

Bear in mind, of course, that this only works for 50 MHz and its odd-numbered harmonics. For any other signal
frequency to receive the same benefit of matched impedances, the 150 Ω line would have to lengthened or
shortened accordingly so that it was exactly 1/4 wavelength long.

Strangely enough, the exact same line can also match a 75 Ω load to a 300 Ω source, demonstrating how this
phenomenon of impedance transformation is fundamentally different in principle from that of a conventional,
two-winding transformer:

Transmission line
v1 1 0 ac 1 sin
rsource 1 2 300
t1 2 0 3 0 z0=150 td=5n
rload 3 0 75
.ac lin 1 50meg 50meg
.print ac v(1,2) v(1) v(2) v(3)
.end

freq v(1,2) v(1) v(2) v(3)

5.000E+07 5.000E-01 1.000E+00 5.000E-01 2.500E-01

Here, we see the 1-volt source voltage equally split between the 300 Ω source impedance (v(1,2)) and the
line's input (v(2)), indicating that the load "appears" as a 300 Ω impedance from the source's perspective
where it connects to the transmission line. This 0.5 volt drop across the source's 300 Ω internal impedance
yields a power figure of 833.33 µW, the same as the 0.25 volts across the 75 Ω load, as indicated by voltage
figure v(3). Once again, the impedance values of source and load have been matched by the transmission
line segment.

This technique of impedance matching is often used to match the differing impedance values of transmission
line and antenna in radio transmitter systems, because the transmitter's frequency is generally well-known and
unchanging. The use of an impedance "transformer" 1/4 wavelength in length provides impedance matching
using the shortest conductor length possible.
 • REVIEW:
• A transmission line with standing waves may be used to match different impedance values if operated
at the correct frequency(ies).
• When operated at a frequency corresponding to a standing wave of 1/4-wavelength along the
transmission line, the line's characteristic impedance necessary for impedance transformation must be
equal to the square root of the product of the source's impedance and the load's impedance.

< Back

Waveguides

A waveguide is a special form of transmission line consisting of a hollow, metal tube. The
tube wall provides distributed inductance, while the empty space between the tube walls
provide distributed capacitance:
Waveguides are practical only for signals of extremely high frequency, where the wavelength
approaches the cross-sectional dimensions of the waveguide. Below such frequencies,
waveguides are useless as electrical transmission lines.

When functioning as transmission lines, though, waveguides are considerably simpler than
two-conductor cables -- especially coaxial cables -- in their manufacture and maintenance.
With only a single conductor (the waveguide's "shell"), there are no concerns with proper
conductor-to-conductor spacing, or of the consistency of the dielectric material, since the
only dielectric in a waveguide is air. Moisture is not as severe a problem in waveguides as it
is within coaxial cables, either, and so waveguides are often spared the necessity of gas
"filling."

Waveguides may be thought of as conduits for electromagnetic energy, the waveguide itself
acting as nothing more than a "director" of the energy rather than as a signal conductor in the
normal sense of the word. In a sense, all transmission lines function as conduits of
electromagnetic energy when transporting pulses or high-frequency waves, directing the
waves as the banks of a river direct a tidal wave. However, because waveguides are single-
conductor elements, the propagation of electrical energy down a waveguide is of a very
different nature than the propagation of electrical energy down a two-conductor transmission
line.

All electromagnetic waves consist of electric and magnetic fields propagating in the same
direction of travel, but perpendicular to each other. Along the length of a normal transmission
line, both electric and magnetic fields are perpendicular (transverse) to the direction of wave
travel. This is known as the principal mode, or TEM (Transverse Electric and Magnetic)
mode. This mode of wave propagation can exist only where there are two conductors, and it
is the dominant mode of wave propagation where the cross-sectional dimensions of the
transmission line are small compared to the wavelength of the signal.
At microwave signal frequencies (between 100 MHz and 300 GHz), two-conductor
transmission lines of any substantial length operating in standard TEM mode become
impractical. Lines small enough in cross-sectional dimension to maintain TEM mode signal
propagation for microwave signals tend to have low voltage ratings, and suffer from large,
parasitic power losses due to conductor "skin" and dielectric effects. Fortunately, though, at
these short wavelengths there exist other modes of propagation that are not as "lossy," if a
conductive tube is used rather than two parallel conductors. It is at these high frequencies that
waveguides become practical.

When an electromagnetic wave propagates down a hollow tube, only one of the fields --
either electric or magnetic -- will actually be transverse to the wave's direction of travel. The
other field will "loop" longitudinally to the direction of travel, but still be perpendicular to the
other field. Whichever field remains transverse to the direction of travel determines whether
the wave propagates in TE mode (Transverse Electric) or TM (Transverse Magnetic) mode.
Many variations of each mode exist for a given waveguide, and a full discussion of this is
subject well beyond the scope of this book.

Signals are typically introduced to and extracted from waveguides by means of small
antenna-like coupling devices inserted into the waveguide. Sometimes these coupling
elements take the form of a dipole, which is nothing more than two open-ended stub wires of
appropriate length. Other times, the coupler is a single stub (a half-dipole, similar in principle
to a "whip" antenna, 1/4λ in physical length), or a short loop of wire terminated on the inside
surface of the waveguide:

In some cases, such as a class of vacuum tube devices called inductive output tubes (the so-
called klystron tube falls into this category), a "cavity" formed of conductive material may
intercept electromagnetic energy from a modulated beam of electrons, having no contact with
the beam itself:
Just as transmission lines are able to function as resonant elements in a circuit, especially
when terminated by a short-circuit or an open-circuit, a dead-ended waveguide may also
resonate at particular frequencies. When used as such, the device is called a cavity resonator.
Inductive output tubes use toroid-shaped cavity resonators to maximize the power transfer
efficiency between the electron beam and the output cable.

A cavity's resonant frequency may be altered by changing its physical dimensions. To this
end, cavities with movable plates, screws, and other mechanical elements for tuning are
manufactured to provide coarse resonant frequency adjustment.

If a resonant cavity is made open on one end, it functions as a unidirectional antenna. The
following photograph shows a home-made waveguide formed from a tin can, used as an
antenna for a 2.4 GHz signal in an "802.11b" computer communication network. The
coupling element is a quarter-wave stub: nothing more than a piece of solid copper wire
about 1-1/4 inches in length extending from the center of a coaxial cable connector
penetrating the side of the can:
A few more tin-can antennae may be seen in the background, one of them a "Pringles" potato
chip can. Although this can is of cardboard (paper) construction, its metallic inner lining
provides the necessary conductivity to function as a waveguide. Some of the cans in the
background still have their plastic lids in place. The plastic, being nonconductive, does not
interfere with the RF signal, but functions as a physical barrier to prevent rain, snow, dust,
and other physical contaminants from entering the waveguide. "Real" waveguide antennae
use similar barriers to physically enclose the tube, yet allow electromagnetic energy to pass
unimpeded.

• REVIEW:
• Waveguides are metal tubes functioning as "conduits" for carrying electromagnetic
waves. They are practical only for signals of extremely high frequency, where the
signal wavelength approaches the cross-sectional dimensions of the waveguide.
• Wave propagation through a waveguide may be classified into two broad categories:
TE (Transverse Electric), or TM (Transverse Magnetic), depending on which field
(electric or magnetic) is perpendicular (transverse) to the direction of wave travel.
Wave travel along a standard, two-conductor transmission line is of the TEM
(Transverse Electric and Magnetic) mode, where both fields are oriented
perpendicular to the direction of travel. TEM mode is only possible with two
conductors and cannot exist in a waveguide.
• A dead-ended waveguide serving as a resonant element in a microwave circuit is
called a cavity resonator.
• A cavity resonator with an open end functions as a unidirectional antenna, sending or
receiving RF energy to/from the direction of the open end.
 Volume III – Semiconductors

From electric to electronic

This third volume of the book series Lessons In Electric Circuits makes a departure from the former two in that
the transition between electric circuits and electronic circuits is formally crossed. Electric circuits are
connections of conductive wires and other devices whereby the uniform flow of electrons occurs. Electronic
circuits add a new dimension to electric circuits in that some means of control is exerted over the flow of
electrons by another electrical signal, either a voltage or a current.

In and of itself, the control of electron flow is nothing new to the student of electric circuits. Switches control
the flow of electrons, as do potentiometers, especially when connected as variable resistors (rheostats).
Neither the switch nor the potentiometer should be new to your experience by this point in your study. The
threshold marking the transition from electric to electronic, then, is defined by how the flow of electrons is
controlled rather than whether or not any form of control exists in a circuit. Switches and rheostats control the
flow of electrons according to the positioning of a mechanical device, which is actuated by some physical force
external to the circuit. In electronics, however, we are dealing with special devices able to control the flow of
electrons according to another flow of electrons, or by the application of a static voltage. In other words, in an
electronic circuit, electricity is able to control electricity.

Historically, the era of electronics began with the invention of the Audion tube, a device controlling the flow of
an electron stream through a vacuum by the application of a small voltage between two metal structures
within the tube. A more detailed summary of so-called electron tube or vacuum tube technology is available in
the last chapter of this volume for those who are interested.

Electronics technology experienced a revolution in 1948 with the invention of the transistor. This tiny device
achieved approximately the same effect as the Audion tube, but in a vastly smaller amount of space and with
less material. Transistors control the flow of electrons through solid semiconductor substances rather than
through a vacuum, and so transistor technology is often referred to as solid-state electronics.

Active versus passive devices

An active device is any type of circuit component with the ability to electrically control electron flow (electricity
controlling electricity). In order for a circuit to be properly called electronic, it must contain at least one active
device. Components incapable of controlling current by means of another electrical signal are called passive
devices. Resistors, capacitors, inductors, transformers, and even diodes are all considered passive devices.
Active devices include, but are not limited to, vacuum tubes, transistors, silicon-controlled rectifiers (SCRs),
and TRIACs. A case might be made for the saturable reactor to be defined as an active device, since it is able
to control an AC current with a DC current, but I've never heard it referred to as such. The operation of each of
these active devices will be explored in later chapters of this volume.

All active devices control the flow of electrons through them. Some active devices allow a voltage to control
this current while other active devices allow another current to do the job. Devices utilizing a static voltage as
the controlling signal are, not surprisingly, called voltage-controlled devices. Devices working on the principle
of one current controlling another current are known as current-controlled devices. For the record, vacuum
tubes are voltage-controlled devices while transistors are made as either voltage-controlled or current
controlled types. The first type of transistor successfully demonstrated was a current-controlled device.

Amplifiers

The practical benefit of active devices is their amplifying ability. Whether the device in question be voltage-
controlled or current-controlled, the amount of power required of the controlling signal is typically far less than
the amount of power available in the controlled current. In other words, an active device doesn't just allow
electricity to control electricity; it allows a small amount of electricity to control a large amount of electricity.

Because of this disparity between controlling and controlled powers, active devices may be employed to govern
a large amount of power (controlled) by the application of a small amount of power (controlling). This behavior
is known as amplification.

It is a fundamental rule of physics that energy can neither be created nor destroyed. Stated formally, this rule
is known as the Law of Conservation of Energy, and no exceptions to it have been discovered to date. If this
Law is true -- and an overwhelming mass of experimental data suggests that it is -- then it is impossible to
build a device capable of taking a small amount of energy and magically transforming it into a large amount of
energy. All machines, electric and electronic circuits included, have an upper efficiency limit of 100 percent. At
best, power out equals power in:

Usually, machines fail even to meet this limit, losing some of their input energy in the form of heat which is
radiated into surrounding space and therefore not part of the output energy stream.

Many people have attempted, without success, to design and build machines that output more power than they
take in. Not only would such a perpetual motion machine prove that the Law of Energy Conservation was not a
Law after all, but it would usher in a technological revolution such as the world has never seen, for it could
power itself in a circular loop and generate excess power for "free:"
Despite much effort and many unscrupulous claims of "free energy" or over-unity machines, not one has ever
passed the simple test of powering itself with its own energy output and generating energy to spare.

There does exist, however, a class of machines known as amplifiers, which are able to take in small-power
signals and output signals of much greater power. The key to understanding how amplifiers can exist without
violating the Law of Energy Conservation lies in the behavior of active devices.

Because active devices have the ability to control a large amount of electrical power with a small amount of
electrical power, they may be arranged in circuit so as to duplicate the form of the input signal power from a
larger amount of power supplied by an external power source. The result is a device that appears to magically
magnify the power of a small electrical signal (usually an AC voltage waveform) into an identically-shaped
waveform of larger magnitude. The Law of Energy Conservation is not violated because the additional power is
supplied by an external source, usually a DC battery or equivalent. The amplifier neither creates nor destroys
energy, but merely reshapes it into the waveform desired:

In other words, the current-controlling behavior of active devices is employed to shape DC power from the
external power source into the same waveform as the input signal, producing an output signal of like shape but
different (greater) power magnitude. The transistor or other active device within an amplifier merely forms a
larger copy of the input signal waveform out of the "raw" DC power provided by a battery or other power
source.

Amplifiers, like all machines, are limited in efficiency to a maximum of 100 percent. Usually, electronic
amplifiers are far less efficient than that, dissipating considerable amounts of energy in the form of waste heat.
Because the efficiency of an amplifier is always 100 percent or less, one can never be made to function as a
"perpetual motion" device.

The requirement of an external source of power is common to all types of amplifiers, electrical and non-
electrical. A common example of a non-electrical amplification system would be power steering in an
automobile, amplifying the power of the driver's arms in turning the steering wheel to move the front wheels of
the car. The source of power necessary for the amplification comes from the engine. The active device
controlling the driver's "input signal" is a hydraulic valve shuttling fluid power from a pump attached to the
engine to a hydraulic piston assisting wheel motion. If the engine stops running, the amplification system fails
to amplify the driver's arm power and the car becomes very difficult to turn.

Amplifier gain

Because amplifiers have the ability to increase the magnitude of an input signal, it is useful to be able to rate
an amplifier's amplifying ability in terms of an output/input ratio. The technical term for an amplifier's
output/input magnitude ratio is gain. As a ratio of equal units (power out / power in, voltage out / voltage in,
or current out / current in), gain is naturally a unitless measurement. Mathematically, gain is symbolized by
the capital letter "A".

For example, if an amplifier takes in an AC voltage signal measuring 2 volts RMS and outputs an AC voltage of
30 volts RMS, it has an AC voltage gain of 30 divided by 2, or 15:
Correspondingly, if we know the gain of an amplifier and the magnitude of the input signal, we can calculate
the magnitude of the output. For example, if an amplifier with an AC current gain of 3.5 is given an AC input
signal of 28 mA RMS, the output will be 3.5 times 28 mA, or 98 mA:

In the last two examples I specifically identified the gains and signal magnitudes in terms of "AC." This was
intentional, and illustrates an important concept: electronic amplifiers often respond differently to AC and DC
input signals, and may amplify them to different extents. Another way of saying this is that amplifiers often
amplify changes or variations in input signal magnitude (AC) at a different ratio than steady input signal
magnitudes (DC). The specific reasons for this are too complex to explain at this time, but the fact of the
matter is worth mentioning. If gain calculations are to be carried out, it must first be understood what type of
signals and gains are being dealt with, AC or DC.

Electrical amplifier gains may be expressed in terms of voltage, current, and/or power, in both AC and DC. A
summary of gain definitions is as follows. The triangle-shaped "delta" symbol (∆) represents change in
mathematics, so "∆Voutput / ∆Vinput" means "change in output voltage divided by change in input voltage," or
more simply, "AC output voltage divided by AC input voltage":

If multiple amplifiers are staged, their respective gains form an overall gain equal to the product
(multiplication) of the individual gains:
Decibels

In its simplest form, an amplifier's gain is a ratio of output over input. Like all ratios, this form of gain is
unitless. However, there is an actual unit intended to represent gain, and it is called the bel.

As a unit, the bel was actually devised as a convenient way to represent power loss in telephone system wiring
rather than gain in amplifiers. The unit's name is derived from Alexander Graham Bell, the famous American
inventor whose work was instrumental in developing telephone systems. Originally, the bel represented the
amount of signal power loss due to resistance over a standard length of electrical cable. Now, it is defined in
terms of the common (base 10) logarithm of a power ratio (output power divided by input power):

Because the bel is a logarithmic unit, it is nonlinear. To give you an idea of how this works, consider the
following table of figures, comparing power losses and gains in bels versus simple ratios:
It was later decided that the bel was too large of a unit to be used directly, and so it became customary to
apply the metric prefix deci (meaning 1/10) to it, making it decibels, or dB. Now, the expression "dB" is so
common that many people do not realize it is a combination of "deci-" and "-bel," or that there even is such a
unit as the "bel." To put this into perspective, here is another table contrasting power gain/loss ratios against
decibels:
As a logarithmic unit, this mode of power gain expression covers a wide range of ratios with a minimal span in
figures. It is reasonable to ask, "why did anyone feel the need to invent a logarithmic unit for electrical signal
power loss in a telephone system?" The answer is related to the dynamics of human hearing, the perceptive
intensity of which is logarithmic in nature.

Human hearing is highly nonlinear: in order to double the perceived intensity of a sound, the actual sound
power must be multiplied by a factor of ten. Relating telephone signal power loss in terms of the logarithmic
"bel" scale makes perfect sense in this context: a power loss of 1 bel translates to a perceived sound loss of 50
percent, or 1/2. A power gain of 1 bel translates to a doubling in the perceived intensity of the sound.

An almost perfect analogy to the bel scale is the Richter scale used to describe earthquake intensity: a 6.0
Richter earthquake is 10 times more powerful than a 5.0 Richter earthquake; a 7.0 Richter earthquake 100
times more powerful than a 5.0 Richter earthquake; a 4.0 Richter earthquake is 1/10 as powerful as a 5.0
Richter earthquake, and so on. The measurement scale for chemical pH is likewise logarithmic, a difference of
1 on the scale is equivalent to a tenfold difference in hydrogen ion concentration of a chemical solution. An
advantage of using a logarithmic measurement scale is the tremendous range of expression afforded by a
relatively small span of numerical values, and it is this advantage which secures the use of Richter numbers for
earthquakes and pH for hydrogen ion activity.

Another reason for the adoption of the bel as a unit for gain is for simple expression of system gains and
losses. Consider the last system example where two amplifiers were connected tandem to amplify a signal. The
respective gain for each amplifier was expressed as a ratio, and the overall gain for the system was the
product (multiplication) of those two ratios:

If these figures represented power gains, we could directly apply the unit of bels to the task of representing the
gain of each amplifier, and of the system altogether:
Close inspection of these gain figures in the unit of "bel" yields a discovery: they're additive. Ratio gain figures
are multiplicative for staged amplifiers, but gains expressed in bels add rather than multiply to equal the
overall system gain. The first amplifier with its power gain of 0.477 B adds to the second amplifier's power gain
of 0.699 B to make a system with an overall power gain of 1.176 B.

Recalculating for decibels rather than bels, we notice the same phenomenon:

To those already familiar with the arithmetic properties of logarithms, this is no surprise. It is an elementary
rule of algebra that the antilogarithm of the sum of two numbers' logarithm values equals the product of the
two original numbers. In other words, if we take two numbers and determine the logarithm of each, then add
those two logarithm figures together, then determine the "antilogarithm" of that sum (elevate the base number
of the logarithm -- in this case, 10 -- to the power of that sum), the result will be the same as if we had simply
multiplied the two original numbers together. This algebraic rule forms the heart of a device called a slide rule,
an analog computer which could, among other things, determine the products and quotients of numbers by
addition (adding together physical lengths marked on sliding wood, metal, or plastic scales). Given a table of
logarithm figures, the same mathematical trick could be used to perform otherwise complex multiplications and
divisions by only having to do additions and subtractions, respectively. With the advent of high-speed,
handheld, digital calculator devices, this elegant calculation technique virtually disappeared from popular use.
However, it is still important to understand when working with measurement scales that are logarithmic in
nature, such as the bel (decibel) and Richter scales.

When converting a power gain from units of bels or decibels to a unitless ratio, the mathematical inverse
function of common logarithms is used: powers of 10, or the antilog.

Converting decibels into unitless ratios for power gain is much the same, only a division factor of 10 is included
in the exponent term:
Because the bel is fundamentally a unit of power gain or loss in a system, voltage or current gains and losses
don't convert to bels or dB in quite the same way. When using bels or decibels to express a gain other than
power, be it voltage or current, we must perform the calculation in terms of how much power gain there would
be for that amount of voltage or current gain. For a constant load impedance, a voltage or current gain of 2
equates to a power gain of 4 (22); a voltage or current gain of 3 equates to a power gain of 9 (32). If we
multiply either voltage or current by a given factor, then the power gain incurred by that multiplication will be
the square of that factor. This relates back to the forms of Joule's Law where power was calculated from either
voltage or current, and resistance:

Thus, when translating a voltage or current gain ratio into a respective gain in terms of the bel unit, we must
include this exponent in the equation(s):

The same exponent requirement holds true when expressing voltage or current gains in terms of decibels:

However, thanks to another interesting property of logarithms, we can simplify these equations to eliminate
the exponent by including the "2" as a multiplying factor for the logarithm function. In other words, instead of
taking the logarithm of the square of the voltage or current gain, we just multiply the voltage or current gain's
logarithm figure by 2 and the final result in bels or decibels will be the same:
The process of converting voltage or current gains from bels or decibels into unitless ratios is much the same
as it is for power gains:

Here are the equations used for converting voltage or current gains in decibels into unitless ratios:

While the bel is a unit naturally scaled for power, another logarithmic unit has been invented to directly
express voltage or current gains/losses, and it is based on the natural logarithm rather than the common
logarithm as bels and decibels are. Called the neper, its unit symbol is a lower-case "n."

For better or for worse, neither the neper nor its attenuated cousin, the decineper, is popularly used as a unit
in American engineering applications.

• REVIEW:
• Gains and losses may be expressed in terms of a unitless ratio, or in the unit of bels (B) or decibels
(dB). A decibel is literally a deci-bel: one-tenth of a bel.
 • The bel is fundamentally a unit for expressing power gain or loss. To convert a power ratio to either
bels or decibels, use one of these equations:

•
• When using the unit of the bel or decibel to express a voltage or current ratio, it must be cast in terms
of the an equivalent power ratio. Practically, this means the use of different equations, with a
multiplication factor of 2 for the logarithm value corresponding to an exponent of 2 for the voltage or
current gain ratio:

•
• To convert a decibel gain into a unitless ratio gain, use one of these equations:

•
• A gain (amplification) is expressed as a positive bel or decibel figure. A loss (attenuation) is expressed
as a negative bel or decibel figure. Unity gain (no gain or loss; ratio = 1) is expressed as zero bels or
zero decibels.
• When calculating overall gain for an amplifier system composed of multiple amplifier stages, individual
gain ratios are multiplied to find the overall gain ratio. Bel or decibel figures for each amplifier stage,
on the other hand, are added together to determine overall gain.

Absolute dB scales

It is also possible to use the decibel as a unit of absolute power, in addition to using it as an expression of
power gain or loss. A common example of this is the use of decibels as a measurement of sound pressure
intensity. In cases like these, the measurement is made in reference to some standardized power level defined
as 0 dB. For measurements of sound pressure, 0 dB is loosely defined as the lower threshold of human
hearing, objectively quantified as 1 picowatt of sound power per square meter of area.

A sound measuring 40 dB on the decibel sound scale would be 104 times greater than the threshold of hearing.
A 100 dB sound would be 1010 (ten billion) times greater than the threshold of hearing.

Because the human ear is not equally sensitive to all frequencies of sound, variations of the decibel sound-
power scale have been developed to represent physiologically equivalent sound intensities at different
frequencies. Some sound intensity instruments were equipped with filter networks to give disproportionate
indications across the frequency scale, the intent of which to better represent the effects of sound on the
human body. Three filtered scales became commonly known as the "A," "B," and "C" weighted scales. Decibel
sound intensity indications measured through these respective filtering networks were given in units of dBA,
dBB, and dBC. Today, the "A-weighted scale" is most commonly used for expressing the equivalent
physiological impact on the human body, and is especially useful for rating dangerously loud noise sources.

Another standard-referenced system of power measurement in the unit of decibels has been established for
use in telecommunications systems. This is called the dBm scale. The reference point, 0 dBm, is defined as 1
milliwatt of electrical power dissipated by a 600 Ω load. According to this scale, 10 dBm is equal to 10 times
the reference power, or 10 milliwatts; 20 dBm is equal to 100 times the reference power, or 100 milliwatts.
Some AC voltmeters come equipped with a dBm range or scale (sometimes labeled "DB") intended for use in
measuring AC signal power across a 600 Ω load. 0 dBm on this scale is, of course, elevated above zero
because it represents something greater than 0 (actually, it represents 0.7746 volts across a 600 Ω load,
voltage being equal to the square root of power times resistance; the square root of 0.001 multiplied by 600).
When viewed on the face of an analog meter movement, this dBm scale appears compressed on the left side
and expanded on the right in a manner not unlike a resistance scale, owing to its logarithmic nature.

An adaptation of the dBm scale for audio signal strength is used in studio recording and broadcast engineering
for standardizing volume levels, and is called the VU scale. VU meters are frequently seen on electronic
recording instruments to indicate whether or not the recorded signal exceeds the maximum signal level limit of
the device, where significant distortion will occur. This "volume indicator" scale is calibrated in according to the
dBm scale, but does not directly indicate dBm for any signal other than steady sine-wave tones. The proper
unit of measurement for a VU meter is volume units.

When relatively large signals are dealt with, and an absolute dB scale would be useful for representing signal
level, specialized decibel scales are sometimes used with reference points greater than the 1mW used in dBm.
Such is the case for the dBW scale, with a reference point of 0 dBW established at 1 watt. Another absolute
measure of power called the dBk scale references 0 dBk at 1 kW, or 1000 watts.

• REVIEW:
• The unit of the bel or decibel may also be used to represent an absolute measurement of power rather
than just a relative gain or loss. For sound power measurements, 0 dB is defined as a standardized
reference point of power equal to 1 picowatt per square meter. Another dB scale suited for sound
intensity measurements is normalized to the same physiological effects as a 1000 Hz tone, and is
called the dBA scale. In this system, 0 dBA is defined as any frequency sound having the same
physiological equivalence as a 1 picowatt-per-square-meter tone at 1000 Hz.
• An electrical dB scale with an absolute reference point has been made for use in telecommunications
systems. Called the dBm scale, its reference point of 0 dBm is defined as 1 milliwatt of AC signal
power dissipated by a 600 Ω load.
• A VU meter reads audio signal level according to the dBm for sine-wave signals. Because its response
to signals other than steady sine waves is not the same as true dBm, its unit of measurement is
volume units.
• dB scales with greater absolute reference points than the dBm scale have been invented for high-
power signals. The dBW scale has its reference point of 0 dBW defined as 1 watt of power. The dBk
scale sets 1 kW (1000 watts) as the zero-point reference.

Chapter 2: SOLID-STATE DEVICE THEORY

Introduction

This chapter will cover the physics behind the operation of semiconductor devices and show how these
principles are applied in several different types of semiconductor devices. Subsequent chapters will deal
primarily with the practical aspects of these devices in circuits and omit theory as much as possible.

Quantum physics

"I think it is safe to say that no one understands quantum mechanics."

Physicist Richard P. Feynman

To say that the invention of semiconductor devices was a revolution would not be an exaggeration. Not only
was this an impressive technological accomplishment, but it paved the way for developments that would
indelibly alter modern society. Semiconductor devices made possible miniaturized electronics, including
computers, certain types of medical diagnostic and treatment equipment, and popular telecommunication
devices, to name a few applications of this technology.

But behind this revolution in technology stands an even greater revolution in general science: the field of
quantum physics. Without this leap in understanding the natural world, the development of semiconductor
devices (and more advanced electronic devices still under development) would never have been possible.
Quantum physics is an incredibly complicated realm of science, and this chapter is by no means a complete
discussion of it, but rather a brief overview. When scientists of Feynman's caliber say that "no one understands
[it]," you can be sure it is a complex subject. Without a basic understanding of quantum physics, or at least an
understanding of the scientific discoveries that led to its formulation, though, it is impossible to understand
how and why semiconductor electronic devices function. Most introductory electronics textbooks I've read
attempt to explain semiconductors in terms of "classical" physics, resulting in more confusion than
comprehension.

Many of us have seen diagrams of atoms that look something like this:

Tiny particles of matter called protons and neutrons make up the center of the atom, while electrons orbit
around not unlike planets around a star. The nucleus carries a positive electrical charge, owing to the presence
of protons (the neutrons have no electrical charge whatsoever), while the atom's balancing negative charge
resides in the orbiting electrons. The negative electrons tend to be attracted to the positive protons just as
planets are gravitationally attracted toward whatever object(s) they orbit, yet the orbits are stable due to the
electrons' motion. We owe this popular model of the atom to the work of Ernest Rutherford, who around the
year 1911 experimentally determined that atoms' positive charges were concentrated in a tiny, dense core
rather than being spread evenly about the diameter as was proposed by an earlier researcher, J.J. Thompson.

While Rutherford's atomic model accounted for experimental data better than Thompson's, it still wasn't
perfect. Further attempts at defining atomic structure were undertaken, and these efforts helped pave the way
for the bizarre discoveries of quantum physics. Today our understanding of the atom is quite a bit more
complex. However, despite the revolution of quantum physics and the impact it had on our understanding of
atomic structure, Rutherford's solar-system picture of the atom embedded itself in the popular conscience to
such a degree that it persists in some areas of study even when inappropriate.

Consider this short description of electrons in an atom, taken from a popular electronics textbook:

Orbiting negative electrons are therefore attracted toward the positive nucleus, which leads
us to the question of why the electrons do not fly into the atom's nucleus. The answer is that
the orbiting electrons remain in their stable orbit due to two equal but opposite forces. The
centrifugal outward force exerted on the electrons due to the orbit counteracts the attractive
inward force (centripetal) trying to pull the electrons toward the nucleus due to the unlike
charges.

In keeping with the Rutherford model, this author casts the electrons as solid chunks of matter engaged in
circular orbits, their inward attraction to the oppositely charged nucleus balanced by their motion. The
reference to "centrifugal force" is technically incorrect (even for orbiting planets), but is easily forgiven due to
its popular acceptance: in reality, there is no such thing as a force pushing any orbiting body away from its
center of orbit. It only seems that way because a body's inertia tends to keep it traveling in a straight line, and
since an orbit is a constant deviation (acceleration) from straight-line travel, there is constant inertial
opposition to whatever force is attracting the body toward the orbit center (centripetal), be it gravity,
electrostatic attraction, or even the tension of a mechanical link.
The real problem with this explanation, however, is the idea of electrons traveling in circular orbits in the first
place. It is a verifiable fact that accelerating electric charges emit electromagnetic radiation, and this fact was
known even in Rutherford's time. Since orbiting motion is a form of acceleration (the orbiting object in constant
acceleration away from normal, straight-line motion), electrons in an orbiting state should be throwing off
radiation like mud from a spinning tire. Electrons accelerated around circular paths in particle accelerators
called synchrotrons are known to do this, and the result is called synchrotron radiation. If electrons were losing
energy in this way, their orbits would eventually decay, resulting in collisions with the positively charged
nucleus. However, this doesn't ordinarily happen within atoms. Indeed, electron "orbits" are remarkably stable
over a wide range of conditions.

Furthermore, experiments with "excited" atoms demonstrated that electromagnetic energy emitted by an atom
occurs only at certain, definite frequencies. Atoms that are "excited" by outside influences such as light are
known to absorb that energy and return it as electromagnetic waves of very specific frequencies, like a tuning
fork that rings at a fixed pitch no matter how it is struck. When the light emitted by an excited atom is divided
into its constituent frequencies (colors) by a prism, distinct lines of color appear in the spectrum, the pattern of
spectral lines being unique to that element. So regular is this phenomenon that it is commonly used to identify
atomic elements, and even measure the proportions of each element in a compound or chemical mixture.
According to Rutherford's solar-system atomic model (regarding electrons as chunks of matter free to orbit at
any radius) and the laws of classical physics, excited atoms should be able to return energy over a virtually
limitless range of frequencies rather than a select few. In other words, if Rutherford's model were correct,
there would be no "tuning fork" effect, and the light spectrum emitted by any atom would appear as a
continuous band of colors rather than as a few distinct lines.

A pioneering researcher by the name of Neils Bohr attempted to improve upon Rutherford's model after
studying in Rutherford's laboratory for several months in 1912. Trying to harmonize the findings of other
physicists (most notably, Max Planck and Albert Einstein), Bohr suggested that each electron possessed a
certain, specific amount of energy, and that their orbits were likewise quantized such that they could only
occupy certain places around the nucleus, somewhat like marbles fixed in circular tracks around the nucleus
rather than the free-ranging satellites they were formerly imagined to be. In deference to the laws of
electromagnetics and accelerating charges, Bohr referred to these "orbits" as stationary states so as to escape
the implication that they were in motion.

While Bohr's ambitious attempt at re-framing the structure of the atom in terms that agreed closer to
experimental results was a milestone in physics, it was by no means complete. His mathematical analyses
produced better predictions of experimental events than analyses belonging to previous models, but there were
still some unanswered questions as to why electrons would behave in such strange ways. The assertion that
electrons existed in stationary, quantized states around the nucleus certainly accounted for experimental data
better than Rutherford's model, but he had no idea what would force electrons to manifest those particular
states. The answer to that question had to come from another physicist, Louis de Broglie, about a decade later.

De Broglie proposed that electrons, like photons (particles of light) manifested both particle-like and wave-like
properties. Building on this proposal, he suggested that an analysis of orbiting electrons from a wave
perspective rather than a particle perspective might make more sense of their quantized nature. Indeed, this
was the case, and another breakthrough in understanding was reached.

The atom according to de Broglie consisted of electrons existing in the form of standing waves, a phenomenon
well known to physicists in a variety of forms. Like the plucked string of a musical instrument vibrating at a
resonant frequency, with "nodes" and "antinodes" at stable positions along its length, de Broglie envisioned
electrons around atoms standing as waves bent around a circle:
Electrons could only exist in certain, definite "orbits" around the nucleus because those were the only distances
where the wave ends would match. In any other radius, the wave would destructively interfere with itself and
thus cease to exist.

De Broglie's hypothesis gave both mathematical support and a convenient physical analogy to account for the
quantized states of electrons within an atom, but his atomic model was still incomplete. Within a few years,
though, physicists Werner Heisenberg and Erwin Schrodinger, working independently of each other, built upon
de Broglie's concept of a matter-wave duality to create more mathematically rigorous models of subatomic
particles.
This theoretical advance from de Broglie's primitive standing wave model to Heisenberg's matrix and
Schrodinger's differential equation models was given the name quantum mechanics, and it introduced a rather
shocking characteristic to the world of subatomic particles: the trait of probability, or uncertainty. According to
the new quantum theory, it was impossible to determine the exact position and exact momentum of a particle
at the same time. Popular explanations of this "uncertainty principle" usually cast it in terms of error caused by
the process of measurement (i.e. by attempting to precisely measure the position of an electron, you interfere
with its momentum and thus cannot know what it was before the position measurement was taken, and visa
versa), but the truth is actually much more mysterious than simple measurement interference. The startling
implication of quantum mechanics is that particles do not actually possess precise positions and momenta, but
rather balance the two quantities in a such way that their combined uncertainties never diminish below a
certain minimum value.

It is interesting to note that this form of "uncertainty" relationship exists in areas other than quantum
mechanics. As discussed in the "Mixed-Frequency AC Signals" chapter in volume II of this book series, there is
a mutually exclusive relationship between the certainty of a waveform's time-domain data and its frequency-
domain data. In simple terms, the more precisely we know its constituent frequency(ies), the less precisely we
know its amplitude in time, and visa-versa. To quote myself:

A waveform of infinite duration (infinite number of cycles) can be analyzed with absolute
precision, but the less cycles available to the computer for analysis, the less precise the
analysis. . . The fewer times that a wave cycles, the less certain its frequency is. Taking this
concept to its logical extreme, a short pulse -- a waveform that doesn't even complete a
cycle -- actually has no frequency, but rather acts as an infinite range of frequencies. This
principle is common to all wave-based phenomena, not just AC voltages and currents.

In order to precisely determine the amplitude of a varying signal, we must sample it over a very narrow span
of time. However, doing this limits our view of the wave's frequency. Conversely, to determine a wave's
frequency with great precision, we must sample it over many, many cycles, which means we lose view of its
amplitude at any given moment. Thus, we cannot simultaneously know the instantaneous amplitude and the
overall frequency of any wave with unlimited precision. Stranger yet, this uncertainty is much more than
observer imprecision; it resides in the very nature of the wave itself. It is not as though it would be possible,
given the proper technology, to obtain precise measurements of both instantaneous amplitude and frequency
at once. Quite literally, a wave cannot possess both a precise, instantaneous amplitude, and a precise
frequency at the same time.

Likewise, the minimum uncertainty of a particle's position and momentum expressed by Heisenberg and
Schrodinger has nothing to do with limitation in measurement; rather it is an intrinsic property of the particle's
matter-wave dual nature. Electrons, therefore, do not really exist in their "orbits" as precisely defined bits of
matter, or even as precisely defined waveshapes, but rather as "clouds" -- the technical term is wavefunction -
- of probability distribution, as if each electron were "spread" or "smeared" over a range of positions and
momenta.

This radical view of electrons as imprecise clouds at first seems to contradict the original principle of quantized
electron states: that electrons exist in discrete, defined "orbits" around atomic nuclei. It was, after all, this
discovery that led to the formation of quantum theory to explain it. How odd it seems that a theory developed
to explain the discrete behavior of electrons ends up declaring that electrons exist as "clouds" rather than as
discrete pieces of matter. However, the quantized behavior of electrons does not depend on electrons having
definite position and momentum values, but rather on other properties called quantum numbers. In essence,
quantum mechanics dispenses with commonly held notions of absolute position and absolute momentum, and
replaces them with absolute notions of a sort having no analogue in common experience.

Even though electrons are known to exist in ethereal, "cloud-like" forms of distributed probability rather than
as discrete chunks of matter, those "clouds" possess other characteristics that are discrete. Any electron in an
atom can be described in terms of four numerical measures (the previously mentioned quantum numbers),
called the Principal, Angular Momentum, Magnetic, and Spin numbers. The following is a synopsis of each
of these numbers' meanings:

Principal Quantum Number: Symbolized by the letter n, this number describes the shell that an electron
resides in. An electron "shell" is a region of space around an atom's nucleus that electrons are allowed to exist
in, corresponding to the stable "standing wave" patterns of de Broglie and Bohr. Electrons may "leap" from
shell to shell, but cannot exist between the shell regions.

The principle quantum number can be any positive integer (a whole number, greater than or equal to 1). In
other words, there is no such thing as a principle quantum number for an electron of 1/2 or -3. These integer
values were not arrived at arbitrarily, but rather through experimental evidence of light spectra: the differing
frequencies (colors) of light emitted by excited hydrogen atoms follow a sequence mathematically dependent
on specific, integer values.

Each shell has the capacity to hold multiple electrons. An analogy for electron shells is the concentric rows of
seats of an amphitheater. Just as a person seated in an amphitheater must choose a row to sit in (for there is
no place to sit in the space between rows), electrons must "choose" a particular shell to "sit" in. Like
amphitheater rows, the outermost shells are able to hold more electrons than the inner shells. Also, electrons
tend to seek the lowest available shell, like people in an amphitheater trying to find the closest seat to the
center stage. The higher the shell number, the greater the energy of the electrons in it.

The maximum number of electrons that any shell can hold is described by the equation 2n2, where "n" is the
principle quantum number. Thus, the first shell (n=1) can hold 2 electrons; the second shell (n=2) 8 electrons,
and the third shell (n=3) 18 electrons.

Electron shells in an atom are sometimes designated by letter rather than by number. The first shell (n=1) is
labeled K, the second shell (n=2) L, the third shell (n=3) M, the fourth shell (n=4) N, the fifth shell (n=5) O,
the sixth shell (n=6) P, and the seventh shell (n=7) Q.

Angular Momentum Quantum Number: Within each shell, there are subshells. One might be inclined to
think of subshells as simple subdivisions of shells, like lanes dividing a road, but the truth is much stranger
than this. Subshells are regions of space where electron "clouds" are allowed to exist, and different subshells
actually have different shapes. The first subshell is shaped like a sphere, which makes sense to most people,
visualizing a cloud of electrons surrounding the atomic nucleus in three dimensions. The second subshell,
however, resembles a dumbbell, comprised of two "lobes" joined together at a single point near the atom's
center. The third subshell typically resembles a set of four "lobes" clustered around the atom's nucleus. These
subshell shapes are reminiscent of graphical depictions of radio antenna signal strength, with bulbous lobe-
shaped regions extending from the antenna in various directions.

Valid angular momentum quantum numbers are positive integers like principal quantum numbers, but also
include zero. These quantum numbers for electrons are symbolized by the letter l. The number of subshells in
a shell is equal to the shell's principal quantum number. Thus, the first shell (n=1) has one subshell, numbered
0; the second shell (n=2) has two subshells, numbered 0 and 1; the third shell (n=3) has three subshells,
numbered 0, 1, and 2.

An older convention for subshell description used letters rather than numbers. In this notational system, the
first subshell (l=0) was designated s, the second subshell (l=1) designated p, the third subshell (l=2)
designated d, and the fourth subshell (l=3) designated f. The letters come from the words sharp, principal (not
to be confused with the principal quantum number, n), diffuse, and fundamental. You will still see this
notational convention in many periodic tables, used to designate the electron configuration of the atoms'
outermost, or valence, shells.

Magnetic Quantum Number: The magnetic quantum number for an electron classifies which orientation its
subshell shape is pointed. For each subshell in each shell, there are multiple directions in which the "lobes" can
point, and these different orientations are called orbitals. For the first subshell (s; l=0), which resembles a
sphere, there is no "direction" it can "point," so there is only one orbital. For the second (p; l=1) subshell in
each shell, which resembles a dumbbell, there are three different directions they can be oriented (think of
three dumbbells intersecting in the middle, each oriented along a different axis in a three-axis coordinate
system).

Valid numerical values for this quantum number consist of integers ranging from -l to l, and are symbolized as
ml in atomic physics and lz in nuclear physics. To calculate the number of orbitals in any given subshell, double
the subshell number and add 1 (2l + 1). For example, the first subshell (l=0) in any shell contains a single
orbital, numbered 0; the second subshell (l=1) in any shell contains three orbitals, numbered -1, 0, and 1; the
third subshell (l=2) contains five orbitals, numbered -2, -1, 0, 1, and 2; and so on.

Like principal quantum numbers, the magnetic quantum number arose directly from experimental evidence:
the division of spectral lines as a result of exposing an ionized gas to a magnetic field, hence the name
"magnetic" quantum number.
Spin Quantum Number: Like the magnetic quantum number, this property of atomic electrons was
discovered through experimentation. Close observation of spectral lines revealed that each line was actually a
pair of very closely-spaced lines, and this so-called fine structure was hypothesized to be the result of each
electron "spinning" on an axis like a planet. Electrons with different "spins" would give off slightly different
frequencies of light when excited, and so the quantum number of "spin" came to be named as such. The
concept of a spinning electron is now obsolete, being better suited to the (incorrect) view of electrons as
discrete chunks of matter rather than as the "clouds" they really are, but the name remains.

Spin quantum numbers are symbolized as ms in atomic physics and sz in nuclear physics. For each orbital in
each subshell in each shell, there can be two electrons, one with a spin of +1/2 and the other with a spin of -
1/2.

The physicist Wolfgang Pauli developed a principle explaining the ordering of electrons in an atom according to
these quantum numbers. His principle, called the Pauli exclusion principle, states that no two electrons in the
same atom may occupy the exact same quantum states. That is, each electron in an atom has a unique set of
quantum numbers. This limits the number of electrons that may occupy any given orbital, subshell, and shell.

Shown here is the electron arrangement for a hydrogen atom:

With one proton in the nucleus, it takes one electron to electrostatically balance the atom (the proton's positive
electric charge exactly balanced by the electron's negative electric charge). This one electron resides in the
lowest shell (n=1), the first subshell (l=0), in the only orbital (spatial orientation) of that subshell (ml=0), with
a spin value of 1/2. A very common method of describing this organization is by listing the electrons according
to their shells and subshells in a convention called spectroscopic notation. In this notation, the shell number is
shown as an integer, the subshell as a letter (s,p,d,f), and the total number of electrons in the subshell (all
orbitals, all spins) as a superscript. Thus, hydrogen, with its lone electron residing in the base level, would be
described as 1s1.

Proceeding to the next atom type (in order of atomic number), we have the element helium:
A helium atom has two protons in the nucleus, and this necessitates two electrons to balance the double-
positive electric charge. Since two electrons -- one with spin=1/2 and the other with spin=-1/2 -- will fit into
one orbital, the electron configuration of helium requires no additional subshells or shells to hold the second
electron.

However, an atom requiring three or more electrons will require additional subshells to hold all electrons, since
only two electrons will fit into the lowest shell (n=1). Consider the next atom in the sequence of increasing
atomic numbers, lithium:

An atom of lithium only uses a fraction of the L shell's (n=2) capacity. This shell actually has a total capacity of
eight electrons (maximum shell capacity = 2n2 electrons). If we examine the organization of the atom with a
completely filled L shell, we will see how all combinations of subshells, orbitals, and spins are occupied by
electrons:
Often, when the spectroscopic notation is given for an atom, any shells that are completely filled are omitted,
and only the unfilled, or the highest-level filled shell, is denoted. For example, the element neon (shown in the
previous illustration), which has two completely filled shells, may be spectroscopically described simply as 2p6
rather than 1s22s22p6. Lithium, with its K shell completely filled and a solitary electron in the L shell, may be
described simply as 2s1 rather than 1s22s1.

The omission of completely filled, lower-level shells is not just a notational convenience. It also illustrates a
basic principle of chemistry: that the chemical behavior of an element is primarily determined by its unfilled
shells. Both hydrogen and lithium have a single electron in their outermost shells (1s1 and 2s1, respectively),
and this gives the two elements some similar properties. Both are highly reactive, and reactive in much the
same way (bonding to similar elements in similar modes). It matters little that lithium has a completely filled K
shell underneath its almost-vacant L shell: the unfilled L shell is the shell that determines its chemical
behavior.

Elements having completely filled outer shells are classified as noble, and are distinguished by their almost
complete non-reactivity with other elements. These elements used to be classified as inert, when it was
thought that they were completely unreactive, but it is now known that they may form compounds with other
elements under certain conditions.

Given the fact that elements with identical electron configurations in their outermost shell(s) exhibit similar
chemical properties, it makes sense to organize the different elements in a table accordingly. Such a table is
known as a periodic table of the elements, and modern tables follow this general form:

known as a periodic table of the elements, and modern tables follow this general form:
Dmitri Mendeleev, a Russian chemist, was the first to develop a periodic table of the elements. Although
Mendeleev organized his table according to atomic mass rather than atomic number, and so produced a table
that was not quite as useful as modern periodic tables, his development stands as an excellent example of
scientific proof. Seeing the patterns of periodicity (similar chemical properties according to atomic mass),
Mendeleev hypothesized that all elements would fit into this ordered scheme. When he discovered "empty"
spots in the table, he followed the logic of the existing order and hypothesized the existence of heretofore
undiscovered elements. The subsequent discovery of those elements granted scientific legitimacy to
Mendeleev's hypothesis, further discoveries leading to the form of the periodic table we use today.

This is how science should work: hypotheses followed to their logical conclusions, and accepted, modified, or
rejected as determined by the agreement of experimental data to those conclusions. Any fool can formulate a
hypothesis after-the-fact to explain existing experimental data, and many do. What sets a scientific hypothesis
apart from post hoc speculation is the prediction of future experimental data yet uncollected, and the
possibility of disproof as a result of that data. To boldly follow a hypothesis to its logical conclusion(s) and dare
to predict the results of future experiments is not a dogmatic leap of faith, but rather a public test of that
hypothesis, open to challenge from anyone able to produce contradictory data. In other words, scientific
hypotheses are always "risky" in the sense that they claim to predict the results of experiments not yet
conducted, and are therefore susceptible to disproof if the experiments do not turn out as predicted. Thus, if a
hypothesis successfully predicts the results of repeated experiments, there is little probability of its falsehood.

Quantum mechanics, first as a hypothesis and later as a theory, has proven to be extremely successful in
predicting experimental results, hence the high degree of scientific confidence placed in it. Many scientists have
reason to believe that it is an incomplete theory, though, as its predictions hold true more so at very small
physical scales than at macroscopic dimensions, but nevertheless it is a tremendously useful theory in
explaining and predicting the interactions of particles and atoms.

As you have already seen in this chapter, quantum physics is essential in describing and predicting many
different phenomena. In the next section, we will see its significance in the electrical conductivity of solid
substances, including semiconductors. Simply put, nothing in chemistry or solid-state physics makes sense
within the popular theoretical framework of electrons existing as discrete chunks of matter, whirling around
atomic nuclei like miniature satellites. It is only when electrons are viewed as "wavefunctions" existing in
definite, discrete states that the regular and periodic behavior of matter can be explained.
 • REVIEW:
• Electrons in atoms exist in "clouds" of distributed probability, not as discrete chunks of matter orbiting
the nucleus like tiny satellites, as common illustrations of atoms show.
• Individual electrons around an atomic nucleus seek unique "states," described by four quantum
numbers: the Principal Quantum Number, otherwise known as the shell; the Angular Momentum
Quantum Number, otherwise known as the subshell; the Magnetic Quantum Number, describing the
orbital (subshell orientation); and the Spin Quantum Number, or simply spin. These states are
quantized, meaning that there are no "in-between" conditions for an electron other than those states
that fit into the quantum numbering scheme.
• The Principal Quantum Number (n) describes the basic level or shell that an electron resides in. The
larger this number, the greater radius the electron cloud has from the atom's nucleus, and the greater
than electron's energy. Principal quantum numbers are whole numbers (positive integers).
• The Angular Momentum Quantum Number (l) describes the shape of the electron cloud within a
particular shell or level, and is often known as the "subshell." There are as many subshells (electron
cloud shapes) in any given shell as that shell's principal quantum number. Angular momentum
quantum numbers are positive integers beginning at zero and terminating at one less than the
principal quantum number (n-1).
• The Magnetic Quantum Number (ml) describes which orientation a subshell (electron cloud shape)
has. There are as many different orientations for each subshell as the subshell number (l) plus 1, and
each unique orientation is called an orbital. These numbers are integers ranging from the negative
value of the subshell number (l) through 0 to the positive value of the subshell number.
• The Spin Quantum Number (ms) describes another property of an electron, and can be a value of
+1/2 or -1/2.
• Pauli's Exclusion Principle says that no two electrons in an atom may share the exact same set of
quantum numbers. Therefore, there is room for two electrons in each orbital (spin=1/2 and spin=-
1/2), 2l+1 orbitals in every subshell, and n subshells in every shell, and no more.
• Spectroscopic notation is a convention for denoting the electron configuration of an atom. Shells are
shown as whole numbers, followed by subshell letters (s,p,d,f), with superscripted numbers totaling
the number of electrons residing in each respective subshell.
• An atom's chemical behavior is solely determined by the electrons in the unfilled shells. Low-level
shells that are completely filled have little or no effect on the chemical bonding characteristics of
elements.
• Elements with completely filled electron shells are almost entirely unreactive, and are called noble
(formerly known as inert).

Band theory of solids

Quantum physics describes the states of electrons in an atom according to the four-fold scheme of quantum
numbers. The quantum number system describes the allowable states electrons may assume in an atom. To
use the analogy of an amphitheater, quantum numbers describe how many rows and seats there are.
Individual electrons may be described by the combination of quantum numbers they possess, like a spectator
in an amphitheater assigned to a particular row and seat.

Like spectators in an amphitheater moving between seats and/or rows, electrons may change their statuses,
given the presence of available spaces for them to fit, and available energy. Since shell level is closely related
to the amount of energy that an electron possesses, "leaps" between shell (and even subshell) levels requires
transfers of energy. If an electron is to move into a higher-order shell, it requires that additional energy be
given to the electron from an external source. Using the amphitheater analogy, it takes an increase in energy
for a person to move into a higher row of seats, because that person must climb to a greater height against
the force of gravity. Conversely, an electron "leaping" into a lower shell gives up some of its energy, like a
person jumping down into a lower row of seats, the expended energy manifesting as heat and sound released
upon impact.

Not all "leaps" are equal. Leaps between different shells requires a substantial exchange of energy, while leaps
between subshells or between orbitals require lesser exchanges.

When atoms combine to form substances, the outermost shells, subshells, and orbitals merge, providing a
greater number of available energy levels for electrons to assume. When large numbers of atoms exist in close
proximity to each other, these available energy levels form a nearly continuous band wherein electrons may
transition.
It is the width of these bands and their proximity to existing electrons that determines how mobile those
electrons will be when exposed to an electric field. In metallic substances, empty bands overlap with bands
containing electrons, meaning that electrons may move to what would normally be (in the case of a single
atom) a higher-level state with little or no additional energy imparted. Thus, the outer electrons are said to be
"free," and ready to move at the beckoning of an electric field.

Band overlap will not occur in all substances, no matter how many atoms are in close proximity to each other.
In some substances, a substantial gap remains between the highest band containing electrons (the so-called
valence band) and the next band, which is empty (the so-called conduction band). As a result, valence
electrons are "bound" to their constituent atoms and cannot become mobile within the substance without a
significant amount of imparted energy. These substances are electrical insulators:

Materials that fall within the category of semiconductors have a narrow gap between the valence and
conduction bands. Thus, the amount of energy required to motivate a valence electron into the conduction
band where it becomes mobile is quite modest:
At low temperatures, there is little thermal energy available to push valence electrons across this gap, and the
semiconducting material acts as an insulator. At higher temperatures, though, the ambient thermal energy
becomes sufficient to force electrons across the gap, and the material will conduct electricity.

It is difficult to predict the conductive properties of a substance by examining the electron configurations of its
constituent atoms. While it is true that the best metallic conductors of electricity (silver, copper, and gold) all
have outer s subshells with a single electron, the relationship between conductivity and valence electron count
is not necessarily consistent:

Likewise, the electron band configurations produced by compounds of different elements defies easy
association with the electron configurations of its constituent elements.

• REVIEW:
Junction diodes

• REVIEW:
•
•
•

Bipolar junction transistors

• REVIEW:
•
•
•
Insulated-gate field-effect transistors

• REVIEW:
•
•
•

Thyristors
 • REVIEW:
•
•
•

Chapter 3: DIODES AND RECTIFIERS

Introduction

A diode is an electrical device allowing current to move through it in one direction with far greater ease than in
the other. The most common type of diode in modern circuit design is the semiconductor diode, although other
diode technologies exist. Semiconductor diodes are symbolized in schematic diagrams as such:

When placed in a simple battery-lamp circuit, the diode will either allow or prevent current through the lamp,
depending on the polarity of the applied voltage:
When the polarity of the battery is such that electrons are allowed to flow through the diode, the diode is said
to be forward-biased. Conversely, when the battery is "backward" and the diode blocks current, the diode is
said to be reverse-biased. A diode may be thought of as a kind of switch: "closed" when forward-biased and
"open" when reverse-biased.

Oddly enough, the direction of the diode symbol's "arrowhead" points against the direction of electron flow.
This is because the diode symbol was invented by engineers, who predominantly use conventional flow
notation in their schematics, showing current as a flow of charge from the positive (+) side of the voltage
source to the negative (-). This convention holds true for all semiconductor symbols possessing "arrowheads:"
the arrow points in the permitted direction of conventional flow, and against the permitted direction of electron
flow.

Diode behavior is analogous to the behavior of a hydraulic device called a check valve. A check valve allows
fluid flow through it in one direction only:

Check valves are essentially pressure-operated devices: they open and allow flow if the pressure across them
is of the correct "polarity" to open the gate (in the analogy shown, greater fluid pressure on the right than on
the left). If the pressure is of the opposite "polarity," the pressure difference across the check valve will close
and hold the gate so that no flow occurs.
Like check valves, diodes are essentially "pressure-" operated (voltage-operated) devices. The essential
difference between forward-bias and reverse-bias is the polarity of the voltage dropped across the diode. Let's
take a closer look at the simple battery-diode-lamp circuit shown earlier, this time investigating voltage drops
across the various components:

When the diode is forward-biased and conducting current, there is a small voltage dropped across it, leaving
most of the battery voltage dropped across the lamp. When the battery's polarity is reversed and the diode
becomes reverse-biased, it drops all of the battery's voltage and leaves none for the lamp. If we consider the
diode to be a sort of self-actuating switch (closed in the forward-bias mode and open in the reverse-bias
mode), this behavior makes sense. The most substantial difference here is that the diode drops a lot more
voltage when conducting than the average mechanical switch (0.7 volts versus tens of millivolts).

This forward-bias voltage drop exhibited by the diode is due to the action of the depletion region formed by the
P-N junction under the influence of an applied voltage. When there is no voltage applied across a
semiconductor diode, a thin depletion region exists around the region of the P-N junction, preventing current
through it. The depletion region is for the most part devoid of available charge carriers and so acts as an
insulator:
If a reverse-biasing voltage is applied across the P-N junction, this depletion region expands, further resisting
any current through it:

Conversely, if a forward-biasing voltage is applied across the P-N junction, the depletion region will collapse
and become thinner, so that the diode becomes less resistive to current through it. In order for a sustained
current to go through the diode, though, the depletion region must be fully collapsed by the applied voltage.
This takes a certain minimum voltage to accomplish, called the forward voltage:
For silicon diodes, the typical forward voltage is 0.7 volts, nominal. For germanium diodes, the forward voltage
is only 0.3 volts. The chemical constituency of the P-N junction comprising the diode accounts for its nominal
forward voltage figure, which is why silicon and germanium diodes have such different forward voltages.
Forward voltage drop remains approximately equal for a wide range of diode currents, meaning that diode
voltage drop not like that of a resistor or even a normal (closed) switch. For most purposes of circuit analysis,
it may be assumed that the voltage drop across a conducting diode remains constant at the nominal figure and
is not related to the amount of current going through it.

In actuality, things are more complex than this. There is an equation describing the exact current through a
diode, given the voltage dropped across the junction, the temperature of the junction, and several physical
constants. It is commonly known as the diode equation:
The equation kT/q describes the voltage produced within the P-N junction due to the action of temperature,
and is called the thermal voltage, or Vt of the junction. At room temperature, this is about 26 millivolts.
Knowing this, and assuming a "nonideality" coefficient of 1, we may simplify the diode equation and re-write it
as such:

You need not be familiar with the "diode equation" in order to analyze simple diode circuits. Just understand
that the voltage dropped across a current-conducting diode does change with the amount of current going
through it, but that this change is fairly small over a wide range of currents. This is why many textbooks
simply say the voltage drop across a conducting, semiconductor diode remains constant at 0.7 volts for silicon
and 0.3 volts for germanium. However, some circuits intentionally make use of the P-N junction's inherent
exponential current/voltage relationship and thus can only be understood in the context of this equation. Also,
since temperature is a factor in the diode equation, a forward-biased P-N junction may also be used as a
temperature-sensing device, and thus can only be understood if one has a conceptual grasp on this
mathematical relationship.

A reverse-biased diode prevents current from going through it, due to the expanded depletion region. In
actuality, a very small amount of current can and does go through a reverse-biased diode, called the leakage
current, but it can be ignored for most purposes. The ability of a diode to withstand reverse-bias voltages is
limited, like it is for any insulating substance or device. If the applied reverse-bias voltage becomes too great,
the diode will experience a condition known as breakdown, which is usually destructive. A diode's maximum
reverse-bias voltage rating is known as the Peak Inverse Voltage, or PIV, and may be obtained from the
manufacturer. Like forward voltage, the PIV rating of a diode varies with temperature, except that PIV
increases with increased temperature and decreases as the diode becomes cooler -- exactly opposite that of
forward voltage.
Typically, the PIV rating of a generic "rectifier" diode is at least 50 volts at room temperature. Diodes with PIV
ratings in the many thousands of volts are available for modest prices.

• REVIEW:
• A diode is an electrical component acting as a one-way valve for current.
• When voltage is applied across a diode in such a way that the diode allows current, the diode is said
to be forward-biased.
• When voltage is applied across a diode in such a way that the diode prohibits current, the diode is said
to be reverse-biased.
• The voltage dropped across a conducting, forward-biased diode is called the forward voltage. Forward
voltage for a diode varies only slightly for changes in forward current and temperature, and is fixed
principally by the chemical composition of the P-N junction.
• Silicon diodes have a forward voltage of approximately 0.7 volts.
• Germanium diodes have a forward voltage of approximately 0.3 volts.
• The maximum reverse-bias voltage that a diode can withstand without "breaking down" is called the
Peak Inverse Voltage, or PIV rating.

Meter check of a diode

Being able to determine the polarity (cathode versus anode) and basic functionality of a diode is a very
important skill for the electronics hobbyist or technician to have. Since we know that a diode is essentially
nothing more than a one-way valve for electricity, it makes sense we should be able to verify its one-way
nature using a DC (battery-powered) ohmmeter. Connected one way across the diode, the meter should show
a very low resistance. Connected the other way across the diode, it should show a very high resistance ("OL"
on some digital meter models):
Of course, in order to determine which end of the diode is the cathode and which is the anode, you must know
with certainty which test lead of the meter is positive (+) and which is negative (-) when set to the
"resistance" or "Ω" function. With most digital multimeters I've seen, the red lead becomes positive and the
black lead negative when set to measure resistance, in accordance with standard electronics color-code
convention. However, this is not guaranteed for all meters. Many analog multimeters, for example, actually
make their black leads positive (+) and their red leads negative (-) when switched to the "resistance" function,
because it is easier to manufacture it that way!

One problem with using an ohmmeter to check a diode is that the readings obtained only have qualitative
value, not quantitative. In other words, an ohmmeter only tells you which way the diode conducts; the low-
value resistance indication obtained while conducting is useless. If an ohmmeter shows a value of "1.73 ohms"
while forward-biasing a diode, that figure of 1.73 Ω doesn't represent any real-world quantity useful to us as
technicians or circuit designers. It neither represents the forward voltage drop nor any "bulk" resistance in the
semiconductor material of the diode itself, but rather is a figure dependent upon both quantities and will vary
substantially with the particular ohmmeter used to take the reading.

For this reason, some digital multimeter manufacturers equip their meters with a special "diode check" function
which displays the actual forward voltage drop of the diode in volts, rather than a "resistance" figure in ohms.
These meters work by forcing a small current through the diode and measuring the voltage dropped between
the two test leads:
The forward voltage reading obtained with such a meter will typically be less than the "normal" drop of 0.7
volts for silicon and 0.3 volts for germanium, because the current provided by the meter is of trivial
proportions. If a multimeter with diode-check function isn't available, or you would like to measure a diode's
forward voltage drop at some non-trivial current, the following circuit may be constructed using nothing but a
battery, resistor, and a normal voltmeter:

Connecting the diode backwards to this testing circuit will simply result in the voltmeter indicating the full
voltage of the battery.

If this circuit were designed so as to provide a constant or nearly constant current through the diode despite
changes in forward voltage drop, it could be used as the basis of a temperature-measurement instrument, the
voltage measured across the diode being inversely proportional to diode junction temperature. Of course, diode
current should be kept to a minimum to avoid self-heating (the diode dissipating substantial amounts of heat
energy), which would interfere with temperature measurement.

Beware that some digital multimeters equipped with a "diode check" function may output a very low test
voltage (less than 0.3 volts) when set to the regular "resistance" (Ω) function: too low to fully collapse the
depletion region of a PN junction. The philosophy here is that the "diode check" function is to be used for
testing semiconductor devices, and the "resistance" function for anything else. By using a very low test voltage
to measure resistance, it is easier for a technician to measure the resistance of non-semiconductor components
connected to semiconductor components, since the semiconductor component junctions will not become
forward-biased with such low voltages.

Consider the example of a resistor and diode connected in parallel, soldered in place on a printed circuit board
(PCB). Normally, one would have to unsolder the resistor from the circuit (disconnect it from all other
components) before being able to measure its resistance, otherwise any parallel-connected components would
affect the reading obtained. However, using a multimeter that outputs a very low test voltage to the probes in
the "resistance" function mode, the diode's PN junction will not have enough voltage impressed across it to
become forward-biased, and as such will pass negligible current. Consequently, the meter "sees" the diode as
an open (no continuity), and only registers the resistor's resistance:

If such an ohmmeter were used to test a diode, it would indicate a very high resistance (many mega-ohms)
even if connected to the diode in the "correct" (forward-biased) direction:
Reverse voltage strength of a diode is not as easily tested, because exceeding a normal diode's PIV usually
results in destruction of the diode. There are special types of diodes, though, which are designed to "break
down" in reverse-bias mode without damage (called Zener diodes), and they are best tested with the same
type of voltage source / resistor / voltmeter circuit, provided that the voltage source is of high enough value to
force the diode into its breakdown region. More on this subject in a later section of this chapter.

• REVIEW:
• An ohmmeter may be used to qualitatively check diode function. There should be low resistance
measured one way and very high resistance measured the other way. When using an ohmmeter for
this purpose, be sure you know which test lead is positive and which is negative! The actual polarity
may not follow the colors of the leads as you might expect, depending on the particular design of
meter.
• Some multimeters provide a "diode check" function that displays the actual forward voltage of the
diode when it's conducting current. Such meters typically indicate a slightly lower forward voltage
than what is "nominal" for a diode, due to the very small amount of current used during the check.

Diode ratings

In addition to forward voltage drop (Vf) and peak inverse voltage (PIV), there are many other ratings of diodes
important to circuit design and component selection. Semiconductor manufacturers provide detailed
specifications on their products -- diodes included -- in publications known as datasheets. Datasheets for a
wide variety of semiconductor components may be found in reference books and on the internet. I personally
prefer the internet as a source of component specifications because all the data obtained from manufacturer
websites are up-to-date.

A typical diode datasheet will contain figures for the following parameters:

Maximum repetitive reverse voltage = VRRM, the maximum amount of voltage the diode can withstand in
reverse-bias mode, in repeated pulses. Ideally, this figure would be infinite.

Maximum DC reverse voltage = VR or VDC, the maximum amount of voltage the diode can withstand in reverse-
bias mode on a continual basis. Ideally, this figure would be infinite.

Maximum forward voltage = VF, usually specified at the diode's rated forward current. Ideally, this figure would
be zero: the diode providing no opposition whatsoever to forward current. In reality, the forward voltage is
described by the "diode equation."

Maximum (average) forward current = IF(AV), the maximum average amount of current the diode is able to
conduct in forward bias mode. This is fundamentally a thermal limitation: how much heat can the PN junction
handle, given that dissipation power is equal to current (I) multiplied by voltage (V or E) and forward voltage is
dependent upon both current and junction temperature. Ideally, this figure would be infinite.

Maximum (peak or surge) forward current = IFSM or if(surge), the maximum peak amount of current the diode is
able to conduct in forward bias mode. Again, this rating is limited by the diode junction's thermal capacity, and
is usually much higher than the average current rating due to thermal inertia (the fact that it takes a finite
amount of time for the diode to reach maximum temperature for a given current). Ideally, this figure would be
infinite.

Maximum total dissipation = PD, the amount of power (in watts) allowable for the diode to dissipate, given the
dissipation (P=IE) of diode current multiplied by diode voltage drop, and also the dissipation (P=I2R) of diode
current squared multiplied by bulk resistance. Fundamentally limited by the diode's thermal capacity (ability to
tolerate high temperatures).

Operating junction temperature = TJ, the maximum allowable temperature for the diode's PN junction, usually
given in degrees Celsius (oC). Heat is the "Achilles' heel" of semiconductor devices: they must be kept cool to
function properly and give long service life.

Storage temperature range = TSTG, the range of allowable temperatures for storing a diode (unpowered).
Sometimes given in conjunction with operating junction temperature (TJ), because the maximum storage
temperature and the maximum operating temperature ratings are often identical. If anything, though,
maximum storage temperature rating will be greater than the maximum operating temperature rating.
Thermal resistance = R(Θ), the temperature difference between junction and outside air (R(Θ)JA) or between
junction and leads (R(Θ)JL) for a given power dissipation. Expressed in units of degrees Celsius per watt
(oC/W). Ideally, this figure would be zero, meaning that the diode package was a perfect thermal conductor
and radiator, able to transfer all heat energy from the junction to the outside air (or to the leads) with no
difference in temperature across the thickness of the diode package. A high thermal resistance means that the
diode will build up excessive temperature at the junction (where it's critical) despite best efforts at cooling the
outside of the diode, and thus will limit its maximum power dissipation.

Maximum reverse current = IR, the amount of current through the diode in reverse-bias operation, with the
maximum rated inverse voltage applied (VDC). Sometimes referred to as leakage current. Ideally, this figure
would be zero, as a perfect diode would block all current when reverse-biased. In reality, it is very small
compared to the maximum forward current.

Typical junction capacitance = CJ, the typical amount of capacitance intrinsic to the junction, due to the
depletion region acting as a dielectric separating the anode and cathode connections. This is usually a very
small figure, measured in the range of picofarads (pF).

Reverse recovery time = trr, the amount of time it takes for a diode to "turn off" when the voltage across it
alternates from forward-bias to reverse-bias polarity. Ideally, this figure would be zero: the diode halting
conduction immediately upon polarity reversal. For a typical rectifier diode, reverse recovery time is in the
range of tens of microseconds; for a "fast switching" diode, it may only be a few nanoseconds.

Most of these parameters vary with temperature or other operating conditions, and so a single figure fails to
fully describe any given rating. Therefore, manufacturers provide graphs of component ratings plotted against
other variables (such as temperature), so that the circuit designer has a better idea of what the device is
capable of.

Rectifier circuits

Now we come to the most popular application of the diode: rectification. Simply defined, rectification is the
conversion of alternating current (AC) to direct current (DC). This almost always involves the use of some
device that only allows one-way flow of electrons. As we have seen, this is exactly what a semiconductor diode
does. The simplest type of rectifier circuit is the half-wave rectifier, so called because it only allows one half of
an AC waveform to pass through to the load:

For most power applications, half-wave rectification is insufficient for the task. The harmonic content of the
rectifier's output waveform is very large and consequently difficult to filter. Furthermore, AC power source only
works to supply power to the load once every half-cycle, meaning that much of its capacity is unused. Half-
wave rectification is, however, a very simple way to reduce power to a resistive load. Some two-position lamp
dimmer switches apply full AC power to the lamp filament for "full" brightness and then half-wave rectify it for
a lesser light output:
In the "Dim" switch position, the incandescent lamp receives approximately one-half the power it would
normally receive operating on full-wave AC. Because the half-wave rectified power pulses far more rapidly than
the filament has time to heat up and cool down, the lamp does not blink. Instead, its filament merely operates
at a lesser temperature than normal, providing less light output. This principle of "pulsing" power rapidly to a
slow-responding load device in order to control the electrical power sent to it is very common in the world of
industrial electronics. Since the controlling device (the diode, in this case) is either fully conducting or fully
nonconducting at any given time, it dissipates little heat energy while controlling load power, making this
method of power control very energy-efficient. This circuit is perhaps the crudest possible method of pulsing
power to a load, but it suffices as a proof-of-concept application.

If we need to rectify AC power so as to obtain the full use of both half-cycles of the sine wave, a different
rectifier circuit configuration must be used. Such a circuit is called a full-wave rectifier. One type of full-wave
rectifier, called the center-tap design, uses a transformer with a center-tapped secondary winding and two
diodes, like this:

This circuit's operation is easily understood one half-cycle at a time. Consider the first half-cycle, when the
source voltage polarity is positive (+) on top and negative (-) on bottom. At this time, only the top diode is
conducting; the bottom diode is blocking current, and the load "sees" the first half of the sine wave, positive on
top and negative on bottom. Only the top half of the transformer's secondary winding carries current during
this half-cycle:
During the next half-cycle, the AC polarity reverses. Now, the other diode and the other half of the
transformer's secondary winding carry current while the portions of the circuit formerly carrying current during
the last half-cycle sit idle. The load still "sees" half of a sine wave, of the same polarity as before: positive on
top and negative on bottom:

One disadvantage of this full-wave rectifier design is the necessity of a transformer with a center-tapped
secondary winding. If the circuit in question is one of high power, the size and expense of a suitable
transformer is significant. Consequently, the center-tap rectifier design is seen only in low-power applications.

Another, more popular full-wave rectifier design exists, and it is built around a four-diode bridge configuration.
For obvious reasons, this design is called a full-wave bridge:

Current directions in the full-wave bridge rectifier circuit are as follows for each half-cycle of the AC waveform:
Remembering the proper layout of diodes in a full-wave bridge rectifier circuit can often be frustrating to the
new student of electronics. I've found that an alternative representation of this circuit is easier both to
remember and to comprehend. It's the exact same circuit, except all diodes are drawn in a horizontal attitude,
all "pointing" the same direction:

One advantage of remembering this layout for a bridge rectifier circuit is that it expands easily into a polyphase
version:
Each three-phase line connects between a pair of diodes: one to route power to the positive (+) side of the
load, and the other to route power to the negative (-) side of the load. Polyphase systems with more than
three phases are easily accommodated into a bridge rectifier scheme. Take for instance this six-phase bridge
rectifier circuit:

When polyphase AC is rectified, the phase-shifted pulses overlap each other to produce a DC output that is
much "smoother" (has less AC content) than that produced by the rectification of single-phase AC. This is a
decided advantage in high-power rectifier circuits, where the sheer physical size of filtering components would
be prohibitive but low-noise DC power must be obtained. The following diagram shows the full-wave
rectification of three-phase AC:
In any case of rectification -- single-phase or polyphase -- the amount of AC voltage mixed with the rectifier's
DC output is called ripple voltage. In most cases, since "pure" DC is the desired goal, ripple voltage is
undesirable. If the power levels are not too great, filtering networks may be employed to reduce the amount of
ripple in the output voltage.

Sometimes, the method of rectification is referred to by counting the number of DC "pulses" output for every
360o of electrical "rotation." A single-phase, half-wave rectifier circuit, then, would be called a 1-pulse rectifier,
because it produces a single pulse during the time of one complete cycle (360o) of the AC waveform. A single-
phase, full-wave rectifier (regardless of design, center-tap or bridge) would be called a 2-pulse rectifier,
because it outputs two pulses of DC during one AC cycle's worth of time. A three-phase full-wave rectifier
would be called a 6-pulse unit.

Modern electrical engineering convention further describes the function of a rectifier circuit by using a three-
field notation of phases, ways, and number of pulses. A single-phase, half-wave rectifier circuit is given the
somewhat cryptic designation of 1Ph1W1P (1 phase, 1 way, 1 pulse), meaning that the AC supply voltage is
single-phase, that current on each phase of the AC supply lines moves in one direction (way) only, and that
there is a single pulse of DC produced for every 360o of electrical rotation. A single-phase, full-wave, center-
tap rectifier circuit would be designated as 1Ph1W2P in this notational system: 1 phase, 1 way or direction of
current in each winding half, and 2 pulses or output voltage per cycle. A single-phase, full-wave, bridge
rectifier would be designated as 1Ph2W2P: the same as for the center-tap design, except current can go both
ways through the AC lines instead of just one way. The three-phase bridge rectifier circuit shown earlier would
be called a 3Ph2W6P rectifier.

Is it possible to obtain more pulses than twice the number of phases in a rectifier circuit? The answer to this
question is yes: especially in polyphase circuits. Through the creative use of transformers, sets of full-wave
rectifiers may be paralleled in such a way that more than six pulses of DC are produced for three phases of AC.
A 30o phase shift is introduced from primary to secondary of a three-phase transformer when the winding
configurations are not of the same type. In other words, a transformer connected either Y-∆ or ∆-Y will exhibit
this 30o phase shift, while a transformer connected Y-Y or ∆-∆ will not. This phenomenon may be exploited by
having one transformer connected Y-Y feed a bridge rectifier, and have another transformer connected Y-∆
feed a second bridge rectifier, then parallel the DC outputs of both rectifiers. Since the ripple voltage
waveforms of the two rectifiers' outputs are phase-shifted 30o from one another, their superposition results in
less ripple than either rectifier output considered separately: 12 pulses per 360o instead of just six:
 • REVIEW:
• Rectification is the conversion of alternating current (AC) to direct current (DC).
• A half-wave rectifier is a circuit that allows only one half-cycle of the AC voltage waveform to be
applied to the load, resulting in one non-alternating polarity across it. The resulting DC delivered to
the load "pulsates" significantly.
• A full-wave rectifier is a circuit that converts both half-cycles of the AC voltage waveform to an
unbroken series of voltage pulses of the same polarity. The resulting DC delivered to the load doesn't
"pulsate" as much.
• Polyphase alternating current, when rectified, gives a much "smoother" DC waveform (less ripple
voltage) than rectified single-phase AC.

Inductor commutating circuits

A popular use of diodes is for the mitigation of inductive "kickback:" the pulses of high voltage produced when
direct current through an inductor is interrupted. Take for example this simple circuit:

When the pushbutton switch is actuated, current goes through the inductor, producing a magnetic field around
it. When the switch is de-actuated, its contacts open, interrupting current through the inductor, and causing
the magnetic field to rapidly collapse. Because the voltage induced in a coil of wire is directly proportional to
the rate of change over time of magnetic flux (Faraday's Law: e = NdΦ/dt), this rapid collapse of magnetism
around the coil produces a high voltage "spike."

If the inductor in question is an electromagnet coil, such as might be seen in a solenoid or relay (constructed
for the purpose of creating a physical force via its magnetic field when energized), the effect of inductive
"kickback" serves no useful purpose at all. In fact, it is quite detrimental to the switch, as it will cause
excessive arcing at the contacts, greatly reducing their service life. There are several practical methods of
mitigating the high voltage transient created when the switch is opened, but none so simple as the so-called
commutating diode:
In this circuit, the diode is placed in parallel with the coil, in such a way that it will be reverse-biased when DC
voltage is applied to the coil through the switch. Thus, when the coil is energized, the diode conducts no
current:

However, when the switch is opened, the coil's inductance responds to the decrease in current by inducing a
voltage of reverse polarity, in an effort to maintain current at the same magnitude and in the same direction.
This sudden reversal of voltage polarity across the coil forward-biases the diode, and the diode provides a
current path for the inductor's current, so that its stored energy is dissipated slowly rather than suddenly:

As a result, the voltage induced in the coil by its collapsing magnetic field is quite low: merely the forward
voltage drop of the diode, rather than hundreds of volts as before. Thus, the switch contacts experience a
voltage drop equal to the battery voltage plus about 0.7 volts (if the diode is silicon) during this discharge
time.

In electronics parlance, commutation refers to the reversal of voltage polarity or current direction. Thus, the
purpose of a commutating diode is to act whenever voltage reverses polarity, in this case, the voltage induced
by the inductor coil when current through it is interrupted by the switch. A less formal term for a commutating
diode is snubber, because it "snubs" or "squelches" the inductive kickback.

A noteworthy disadvantage of this method is the extra time it imparts to the coil's discharge. Because the
induced voltage is clamped to a very low value, its rate of magnetic flux change over time is comparatively
slow. Remember that Faraday's Law describes the magnetic flux rate-of-change (dΦ/dt) as being proportional
to the induced, instantaneous voltage (e or v). If the instantaneous voltage is limited to some low figure, then
the rate of change of magnetic flux over time will likewise be limited to a low (slow) figure.

If an electromagnet coil is "snubbed" with a commutating diode, the magnetic field will dissipate at a relatively
slow rate compared to the original scenario (no diode) where the field disappeared almost instantly upon
switch release. The amount of time in question will most likely be less than one second, but it will be
measurably slower than without a commutating diode in place. This may be an intolerable consequence if the
coil is used to actuate an electromechanical relay, because the relay will possess a natural "time delay" upon
coil de-energization, and an unwanted delay of even a fraction of a second may wreak havoc in some circuits.
Unfortunately, there is no way to eliminate the high-voltage transient of inductive kickback and maintain fast
de-magnetization of the coil: Faraday's Law will not be violated. However, if slow de-magnetization is
unacceptable, a compromise may be struck between transient voltage and time by allowing the coil's voltage to
rise to some higher level (but not so high as without a commutating diode in place). The following schematic
shows how this may be done:

A resistor placed in series with the commutating diode allows the coil's induced voltage to rise to a level
greater than the diode's forward voltage drop, thus hastening the process of de-magnetization. This, of course,
will place the switch contacts under greater stress, and so the resistor must be sized to limit that transient
voltage at an acceptable maximum level.

Zener diodes

If we connect a diode and resistor in series with a DC voltage source so that the diode is forward-biased, the
voltage drop across the diode will remain fairly constant over a wide range of power supply voltages:

According to the "diode equation," the current through a forward-biased PN junction is proportional to e raised
to the power of the forward voltage drop. Because this is an exponential function, current rises quite rapidly for
modest increases in voltage drop. Another way of considering this is to say that voltage dropped across a
forward-biased diode changes little for large variations in diode current. In the circuit shown above, diode
current is limited by the voltage of the power supply, the series resistor, and the diode's voltage drop, which as
we know doesn't vary much from 0.7 volts. If the power supply voltage were to be increased, the resistor's
voltage drop would increase almost the same amount, and the diode's voltage drop just a little. Conversely, a
decrease in power supply voltage would result in an almost equal decrease in resistor voltage drop, with just a
little decrease in diode voltage drop. In a word, we could summarize this behavior by saying that the diode is
regulating the voltage drop at approximately 0.7 volts.

Voltage regulation is a useful diode property to exploit. Suppose we were building some kind of circuit which
could not tolerate variations in power supply voltage, but needed to be powered by a chemical battery, whose
voltage changes over its lifetime. We could form a circuit as shown and connect the circuit requiring steady
voltage across the diode, where it would receive an unchanging 0.7 volts.

This would certainly work, but most practical circuits of any kind require a power supply voltage in excess of
0.7 volts to properly function. One way we could increase our voltage regulation point would be to connect
multiple diodes in series, so that their individual forward voltage drops of 0.7 volts each would add to create a
larger total. For instance, if we had ten diodes in series, the regulated voltage would be ten times 0.7, or 7
volts:
So long as the battery voltage never sagged below 7 volts, there would always be about 7 volts dropped across
the ten-diode "stack."

If larger regulated voltages are required, we could either use more diodes in series (an inelegant option, in my
opinion), or try a fundamentally different approach. We know that diode forward voltage is a fairly constant
figure under a wide range of conditions, but so is reverse breakdown voltage, and breakdown voltage is
typically much, much greater than forward voltage. If we reversed the polarity of the diode in our single-diode
regulator circuit and increased the power supply voltage to the point where the diode "broke down" (could no
longer withstand the reverse-bias voltage impressed across it), the diode would similarly regulate the voltage
at that breakdown point, not allowing it to increase further:

Unfortunately, when normal rectifying diodes "break down," they usually do so destructively. However, it is
possible to build a special type of diode that can handle breakdown without failing completely. This type of
diode is called a zener diode, and its symbol looks like this:
When forward-biased, zener diodes behave much the same as standard rectifying diodes: they have a forward
voltage drop which follows the "diode equation" and is about 0.7 volts. In reverse-bias mode, they do not
conduct until the applied voltage reaches or exceeds the so-called zener voltage, at which point the diode is
able to conduct substantial current, and in doing so will try to limit the voltage dropped across it to that zener
voltage point. So long as the power dissipated by this reverse current does not exceed the diode's thermal
limits, the diode will not be harmed.

Zener diodes are manufactured with zener voltages ranging anywhere from a few volts to hundreds of volts.
This zener voltage changes slightly with temperature, and like common carbon-composition resistor values,
may be anywhere from 5 percent to 10 percent in error from the manufacturer's specifications. However, this
stability and accuracy is generally good enough for the zener diode to be used as a voltage regulator device in
common power supply circuit:

Please take note of the zener diode's orientation in the above circuit: the diode is reverse-biased, and
intentionally so. If we had oriented the diode in the "normal" way, so as to be forward-biased, it would only
drop 0.7 volts, just like a regular rectifying diode. If we want to exploit this diode's reverse breakdown
properties, we must operate it in its reverse-bias mode. So long as the power supply voltage remains above
the zener voltage (12.6 volts, in this example), the voltage dropped across the zener diode will remain at
approximately 12.6 volts.

Like any semiconductor device, the zener diode is sensitive to temperature. Excessive temperature will destroy
a zener diode, and because it both drops voltage and conducts current, it produces its own heat in accordance
with Joule's Law (P=IE). Therefore, one must be careful to design the regulator circuit in such a way that the
diode's power dissipation rating is not exceeded. Interestingly enough, when zener diodes fail due to excessive
power dissipation, they usually fail shorted rather than open. A diode failed in this manner is easy to detect: it
drops almost zero voltage when biased either way, like a piece of wire.

Let's examine a zener diode regulating circuit mathematically, determining all voltages, currents, and power
dissipations. Taking the same form of circuit shown earlier, we'll perform calculations assuming a zener voltage
of 12.6 volts, a power supply voltage of 45 volts, and a series resistor value of 1000 Ω (we'll regard the zener
voltage to be exactly 12.6 volts so as to avoid having to qualify all figures as "approximate"):

If the zener diode's voltage is 12.6 volts and the power supply's voltage is 45 volts, there will be 32.4 volts
dropped across the resistor (45 volts - 12.6 volts = 32.4 volts). 32.4 volts dropped across 1000 Ω gives 32.4
mA of current in the circuit:
Power is calculated by multiplying current by voltage (P=IE), so we can calculate power dissipations for both
the resistor and the zener diode quite easily:

A zener diode with a power rating of 0.5 watt would be adequate, as would a resistor rated for 1.5 or 2 watts
of dissipation.

If excessive power dissipation is detrimental, then why not design the circuit for the least amount of dissipation
possible? Why not just size the resistor for a very high value of resistance, thus severely limiting current and
keeping power dissipation figures very low? Take this circuit, for example, with a 100 kΩ resistor instead of a 1
kΩ resistor. Note that both the power supply voltage and the diode's zener voltage are identical to the last
example:

With only 1/100 of the current we had before (324 µA instead of 32.4 mA), both power dissipation figures
should be 100 times smaller:
Seems ideal, doesn't it? Less power dissipation means lower operating temperatures for both the diode and the
resistor, and also less wasted energy in the system, right? A higher resistance value does reduce power
dissipation levels in the circuit, but it unfortunately introduces another problem. Remember that the purpose of
a regulator circuit is to provide a stable voltage for another circuit. In other words, we're eventually going to
power something with 12.6 volts, and this something will have a current draw of its own. Consider our first
regulator circuit, this time with a 500 Ω load connected in parallel with the zener diode:

If 12.6 volts is maintained across a 500 Ω load, the load will draw 25.2 mA of current. In order for the 1 kΩ
series "dropping" resistor to drop 32.4 volts (reducing the power supply's voltage of 45 volts down to 12.6
across the zener), it still must conduct 32.4 mA of current. This leaves 7.2 mA of current through the zener
diode.

Now consider our "power-saving" regulator circuit with the 100 kΩ dropping resistor, delivering power to the
same 500 Ω load. What it is supposed to do is maintain 12.6 volts across the load, just like the last circuit.
However, as we will see, it cannot accomplish this task:

With the larger value of dropping resistor in place, there will only be about 224 mV of voltage across the 500 Ω
load, far less than the expected value of 12.6 volts! Why is this? If we actually had 12.6 volts across the load,
it would draw 25.2 mA of current, as before. This load current would have to go through the series dropping
resistor as it did before, but with a new (much larger!) dropping resistor in place, the voltage dropped across
that resistor with 25.2 mA of current going through it would be 2,520 volts! Since we obviously don't have that
much voltage supplied by the battery, this cannot happen.
The situation is easier to comprehend if we temporarily remove the zener diode from the circuit and analyze
the behavior of the two resistors alone:

Both the 100 kΩ dropping resistor and the 500 Ω load resistance are in series with each other, giving a total
circuit resistance of 100.5 kΩ. With a total voltage of 45 volts and a total resistance of 100.5 kΩ, Ohm's Law
(I=E/R) tells us that the current will be 447.76 µA. Figuring voltage drops across both resistors (E=IR), we
arrive at 44.776 volts and 224 mV, respectively. If we were to re-install the zener diode at this point, it would
"see" 224 mV across it as well, being in parallel with the load resistance. This is far below the zener breakdown
voltage of the diode and so it will not "break down" and conduct current. For that matter, at this low voltage
the diode wouldn't conduct even if it were forward-biased! Thus, the diode ceases to regulate voltage, for it
can do so only when there is at least 12.6 volts dropped across to "activate" it.

The analytical technique of removing a zener diode from a circuit and seeing whether or not there is enough
voltage present to make it conduct is a sound one. Just because a zener diode happens to be connected in a
circuit doesn't guarantee that the full zener voltage will always be dropped across it! Remember that zener
diodes work by limiting voltage to some maximum level; they cannot make up for a lack of voltage.

In summary, any zener diode regulating circuit will function so long as the load's resistance is equal to or
greater than some minimum value. If the load resistance is too low, it will draw too much current, dropping too
much voltage across the series dropping resistor, leaving insufficient voltage across the zener diode to make it
conduct. When the zener diode stops conducting current, it can no longer regulate voltage, and the load
voltage will fall below the regulation point.

Our regulator circuit with the 100 kΩ dropping resistor must be good for some value of load resistance,
though. To find this acceptable load resistance value, we can use a table to calculate resistance in the two-
resistor series circuit (no diode), inserting the known values of total voltage and dropping resistor resistance,
and calculating for an expected load voltage of 12.6 volts:

With 45 volts of total voltage and 12.6 volts across the load, we should have 32.4 volts across Rdropping:
With 32.4 volts across the dropping resistor, and 100 kΩ worth of resistance in it, the current through it will be
324 µA:

Being a series circuit, the current is equal through all components at any given time:

Calculating load resistance is now a simple matter of Ohm's Law (R = E/I), giving us 38.889 kΩ:

Thus, if the load resistance is exactly 38.889 kΩ, there will be 12.6 volts across it, diode or no diode. Any load
resistance smaller than 38.889 kΩ will result in a load voltage less than 12.6 volts, diode or no diode. With the
diode in place, the load voltage will be regulated to a maximum of 12.6 volts for any load resistance greater
than 38.889 kΩ.

With the original value of 1 kΩ for the dropping resistor, our regulator circuit was able to adequately regulate
voltage even for a load resistance as low as 500 Ω. What we see is a tradeoff between power dissipation and
acceptable load resistance. The higher-value dropping resistor gave us less power dissipation, at the expense
of raising the acceptable minimum load resistance value. If we wish to regulate voltage for low-value load
resistances, the circuit must be prepared to handle higher power dissipation.

Zener diodes regulate voltage by acting as complementary loads, drawing more or less current as necessary to
ensure a constant voltage drop across the load. This is analogous to regulating the speed of an automobile by
braking rather than by varying the throttle position: not only is it wasteful, but the brakes must be built to
handle all the engine's power when the driving conditions don't demand it. Despite this fundamental
inefficiency of design, zener diode regulator circuits are widely employed due to their sheer simplicity. In high-
power applications where the inefficiencies would be unacceptable, other voltage-regulating techniques are
applied. But even then, small zener-based circuits are often used to provide a "reference" voltage to drive a
more efficient amplifier-type of circuit controlling the main power.

• REVIEW:
• Zener diodes are designed to be operated in reverse-bias mode, providing a relatively low, stable
breakdown, or zener voltage at which they being to conduct substantial reverse current.
• A zener diode may function as a voltage regulator by acting as an accessory load, drawing more
current from the source if the voltage is too high, and less if it is too low.

Special-purpose diodes
Schottky diodes

Schottky diodes are constructed of a metal-to-N junction rather than a P-N semiconductor junction. Also known
as hot-carrier diodes, Schottky diodes are characterized by fast switching times (low reverse-recovery time),
low forward voltage drop (typically 0.25 to 0.4 volts for a metal-silicon junction), and low junction capacitance.

The schematic symbol for a Schottky diode is shown here:

In terms of forward voltage drop (VF), reverse-recovery time (trr), and junction capacitance (CJ), Schottky
diodes are closer to ideal than the average "rectifying" diode. This makes them well suited for high-frequency
applications. Unfortunately, though, Schottky diodes typically have lower forward current (IF) and reverse
voltage (VRRM and VDC) ratings than rectifying diodes and are thus unsuitable for applications involving
substantial amounts of power.

Schottky diode technology finds broad application in high-speed computer circuits, where the fast switching
time equates to high speed capability, and the low forward voltage drop equates to less power dissipation when
conducting.

Tunnel diodes

Tunnel diodes exploit a strange quantum phenomenon called resonant tunneling to provide interesting forward-
bias characteristics. When a small forward-bias voltage is applied across a tunnel diode, it begins to conduct
current. As the voltage is increased, the current increases and reaches a peak value called the peak current
(IP). If the voltage is increased a little more, the current actually begins to decrease until it reaches a low point
called the valley current (IV). If the voltage is increased further yet, the current begins to increase again, this
time without decreasing into another "valley." Both the schematic symbol and a current/voltage plot for the
tunnel diode are shown in the following illustration:
The forward voltages necessary to drive a tunnel diode to its peak and valley currents are known as peak
voltage (VP) and valley voltage (VV), respectively. The region on the graph where current is decreasing while
applied voltage is increasing (between VP and VV on the horizontal scale) is known as the region of negative
resistance.

Tunnel diodes, also known as Esaki diodes in honor of their Japanese inventor Leo Esaki, are able to transition
between peak and valley current levels very quickly, "switching" between high and low states of conduction
much faster than even Schottky diodes. Tunnel diode characteristics are also relatively unaffected by changes
in temperature.

Unfortunately, tunnel diodes are not good rectifiers, as they have relatively high "leakage" current when
reverse-biased. Consequently, they find application only in special circuits where their unique tunnel effect has
value. In order to exploit the tunnel effect, these diodes are maintained at a bias voltage somewhere between
the peak and valley voltage levels, always in a forward-biased polarity (anode positive, and cathode negative).

Perhaps the most common application of a tunnel diode is in simple high-frequency oscillator circuits, where
they allow a DC voltage source to contribute power to an LC "tank" circuit, the diode conducting when the
voltage across it reaches the peak (tunnel) level and effectively insulating at all other voltages.

Light-emitting diodes

Diodes, like all semiconductor devices, are governed by the principles described in quantum physics. One of
these principles is the emission of specific-frequency radiant energy whenever electrons fall from a higher
energy level to a lower energy level. This is the same principle at work in a neon lamp, the characteristic pink-
orange glow of ionized neon due to the specific energy transitions of its electrons in the midst of an electric
current. The unique color of a neon lamp's glow is due to the fact that it's neon gas inside the tube, and not
due to the particular amount of current through the tube or voltage between the two electrodes. Neon gas
glows pinkish-orange over a wide range of ionizing voltages and currents. Each chemical element has its own
"signature" emission of radiant energy when its electrons "jump" between different, quantized energy levels.
Hydrogen gas, for example, glows red when ionized; mercury vapor glows blue. This is what makes
spectrographic identification of elements possible.

Electrons flowing through a PN junction experience similar transitions in energy level, and emit radiant energy
as they do so. The frequency of this radiant energy is determined by the crystal structure of the semiconductor
material, and the elements comprising it. Some semiconductor junctions, composed of special chemical
combinations, emit radiant energy within the spectrum of visible light as the electrons transition in energy
levels. Simply put, these junctions glow when forward biased. A diode intentionally designed to glow like a
lamp is called a light-emitting diode, or LED.

Diodes made from a combination of the elements gallium, arsenic, and phosphorus (called gallium-arsenide-
phosphide) glow bright red, and are some of the most common LEDs manufactured. By altering the chemical
constituency of the PN junction, different colors may be obtained. Some of the currently available colors other
than red are green, blue, and infra-red (invisible light at a frequency lower than red). Other colors may be
obtained by combining two or more primary-color (red, green, and blue) LEDs together in the same package,
sharing the same optical lens. For instance, a yellow LED may be made by merging a red LED with a green
LED.

The schematic symbol for an LED is a regular diode shape inside of a circle, with two small arrows pointing
away (indicating emitted light):

This notation of having two small arrows pointing away from the device is common to the schematic symbols of
all light-emitting semiconductor devices. Conversely, if a device is light-activated (meaning that incoming light
stimulates it), then the symbol will have two small arrows pointing toward it. It is interesting to note, though,
that LEDs are capable of acting as light-sensing devices: they will generate a small voltage when exposed to
light, much like a solar cell on a small scale. This property can be gainfully applied in a variety of light-sensing
circuits.

Because LEDs are made of different chemical substances than normal rectifying diodes, their forward voltage
drops will be different. Typically, LEDs have much larger forward voltage drops than rectifying diodes,
anywhere from about 1.6 volts to over 3 volts, depending on the color. Typical operating current for a
standard-sized LED is around 20 mA. When operating an LED from a DC voltage source greater than the LED's
forward voltage, a series-connected "dropping" resistor must be included to prevent full source voltage from
damaging the LED. Consider this example circuit:

With the LED dropping 1.6 volts, there will be 4.4 volts dropped across the resistor. Sizing the resistor for an
LED current of 20 mA is as simple as taking its voltage drop (4.4 volts) and dividing by circuit current (20 mA),
in accordance with Ohm's Law (R=E/I). This gives us a figure of 220 Ω. Calculating power dissipation for this
resistor, we take its voltage drop and multiply by its current (P=IE), and end up with 88 mW, well within the
rating of a 1/8 watt resistor. Higher battery voltages will require larger-value dropping resistors, and possibly
higher-power rating resistors as well. Consider this example for a supply voltage of 24 volts:

Here, the dropping resistor must be increased to a size of 1.12 kΩ in order to drop 22.4 volts at 20 mA so that
the LED still receives only 1.6 volts. This also makes for a higher resistor power dissipation: 448 mW, nearly
one-half a watt of power! Obviously, a resistor rated for 1/8 watt power dissipation or even 1/4 watt
dissipation will overheat if used here.
Dropping resistor values need not be precise for LED circuits. Suppose we were to use a 1 kΩ resistor instead
of a 1.12 kΩ resistor in the circuit shown above. The result would be a slightly greater circuit current and LED
voltage drop, resulting in a brighter light from the LED and slightly reduced service life. A dropping resistor
with too much resistance (say, 1.5 kΩ instead of 1.12 kΩ) will result in less circuit current, less LED voltage,
and a dimmer light. LEDs are quite tolerant of variation in applied power, so you need not strive for perfection
in sizing the dropping resistor.

Also because of their unique chemical makeup, LEDs have much, much lower peak-inverse voltage (PIV)
ratings than ordinary rectifying diodes. A typical LED might only be rated at 5 volts in reverse-bias mode.
Therefore, when using alternating current to power an LED, you should connect a protective rectifying diode in
series with the LED to prevent reverse breakdown every other half-cycle:

As lamps, LEDs are superior to incandescent bulbs in many ways. First and foremost is efficiency: LEDs output
far more light power per watt than an incandescent lamp. This is a significant advantage if the circuit in
question is battery-powered, efficiency translating to longer battery life. Second is the fact that LEDs are far
more reliable, having a much greater service life than an incandescent lamp. This advantage is primarily due to
the fact that LEDs are "cold" devices: they operate at much cooler temperatures than an incandescent lamp
with a white-hot metal filament, susceptible to breakage from mechanical and thermal shock. Third is the high
speed at which LEDs may be turned on and off. This advantage is also due to the "cold" operation of LEDs:
they don't have to overcome thermal inertia in transitioning from off to on or visa-versa. For this reason, LEDs
are used to transmit digital (on/off) information as pulses of light, conducted in empty space or through fiber-
optic cable, at very high rates of speed (millions of pulses per second).

One major disadvantage of using LEDs as sources of illumination is their monochromatic (single-color)
emission. No one wants to read a book under the light of a red, green, or blue LED. However, if used in
combination, LED colors may be mixed for a more broad-spectrum glow.

Laser diodes

The laser diode is a further development upon the regular light-emitting diode, or LED. The term "laser" itself is
actually an acronym, despite the fact it's often written in lower-case letters. "Laser" stands for Light
Amplification by Stimulated Emission of Radiation, and refers to another strange quantum process whereby
characteristic light emitted by electrons transitioning from high-level to low-level energy states in a material
stimulate other electrons in a substance to make similar "jumps," the result being a synchronized output of
light from the material. This synchronization extends to the actual phase of the emitted light, so that all light
waves emitted from a "lasing" material are not just the same frequency (color), but also the same phase as
each other, so that they reinforce one another and are able to travel in a very tightly-confined, nondispersing
beam. This is why laser light stays so remarkably focused over long distances: each and every light wave
coming from the laser is in step with each other:
Incandescent lamps produce "white" (mixed-frequency, or mixed-color) light. Regular LEDs produce
monochromatic light: same frequency (color), but different phases, resulting in similar beam dispersion. Laser
LEDs produce coherent light: light that is both monochromatic (single-color) and monophasic (single-phase),
resulting in precise beam confinement.

Laser light finds wide application in the modern world: everything from surveying, where a straight and
nondispersing light beam is very useful for precise sighting of measurement markers, to the reading and
writing of optical disks, where only the narrowness of a focused laser beam is able to resolve the microscopic
"pits" in the disk's surface comprising the binary 1's and 0's of digital information.

Some laser diodes require special high-power "pulsing" circuits to deliver large quantities of voltage and
current in short bursts. Other laser diodes may be operated continuously at lower power. In the latter case,
laser action occurs only within a certain range of diode current, necessitating some form of current-regulator
circuit. As laser diodes age, their power requirements may change (more current required for less output
power), but it should be remembered that low-power laser diodes, like LEDs, are fairly long-lived devices, with
typical service lives in the tens of thousands of hours.
Constant-current diodes

A constant-current diode, also known as a current-limiting diode, or current-regulating diode, does exactly
what its name implies: it regulates current through it to some maximum level. If you try to force more current
through a constant-current diode than its current-regulation point, it simply "fights back" by dropping more
voltage. If we were to build the following circuit and plot diode current over diode current, we'd get a graph
that rises normally at first and then levels off at the current regulation point:

One interesting application for a constant-current diode is to automatically limit current through an LED or
laser diode over a wide range of power supply voltages, like this:

Of course, the constant-current diode's regulation point should be chosen to match the LED or laser diode's
optimum forward current. This is especially important for the laser diode, not so much for the LED, as regular
LEDs tend to be more tolerant of forward current variations.

Another application is in the charging of small secondary-cell batteries, where a constant charging current
leads to very predictable charging times. Of course, large secondary-cell battery banks might also benefit from
constant-current charging, but constant-current diodes tend to be very small devices, limited to regulating
currents in the milliamp range.
Chapter 4: BIPOLAR JUNCTION TRANSISTORS

Introduction

The invention of the bipolar transistor in 1948 ushered in a revolution in electronics. Technical feats previously
requiring relatively large, mechanically fragile, power-hungry vacuum tubes were suddenly achievable with
tiny, mechanically rugged, power-thrifty specks of crystalline silicon. This revolution made possible the design
and manufacture of lightweight, inexpensive electronic devices that we now take for granted. Understanding
how transistors function is of paramount importance to anyone interested in understanding modern electronics.

My intent here is to focus as exclusively as possible on the practical function and application of bipolar
transistors, rather than to explore the quantum world of semiconductor theory. Discussions of holes and
electrons are better left to another chapter in my opinion. Here I want to explore how to use these
components, not analyze their intimate internal details. I don't mean to downplay the importance of
understanding semiconductor physics, but sometimes an intense focus on solid-state physics detracts from
understanding these devices' functions on a component level. In taking this approach, however, I assume that
the reader possesses a certain minimum knowledge of semiconductors: the difference between "P" and "N"
doped semiconductors, the functional characteristics of a PN (diode) junction, and the meanings of the terms
"reverse biased" and "forward biased." If these concepts are unclear to you, it is best to refer to earlier
chapters in this book before proceeding with this one.

A bipolar transistor consists of a three-layer "sandwich" of doped (extrinsic) semiconductor materials, either P-
N-P or N-P-N. Each layer forming the transistor has a specific name, and each layer is provided with a wire
contact for connection to a circuit. Shown here are schematic symbols and physical diagrams of these two
transistor types:
The only functional difference between a PNP transistor and an NPN transistor is the proper biasing (polarity) of
the junctions when operating. For any given state of operation, the current directions and voltage polarities for
each type of transistor are exactly opposite each other.

Bipolar transistors work as current-controlled current regulators. In other words, they restrict the amount of
current that can go through them according to a smaller, controlling current. The main current that is
controlled goes from collector to emitter, or from emitter to collector, depending on the type of transistor it is
(PNP or NPN, respectively). The small current that controls the main current goes from base to emitter, or from
emitter to base, once again depending on the type of transistor it is (PNP or NPN, respectively). According to
the confusing standards of semiconductor symbology, the arrow always points against the direction of electron
flow:

Bipolar transistors are called bipolar because the main flow of electrons through them takes place in two types
of semiconductor material: P and N, as the main current goes from emitter to collector (or visa-versa). In other
words, two types of charge carriers -- electrons and holes -- comprise this main current through the transistor.

As you can see, the controlling current and the controlled current always mesh together through the emitter
wire, and their electrons always flow against the direction of the transistor's arrow. This is the first and
foremost rule in the use of transistors: all currents must be going in the proper directions for the device to
work as a current regulator. The small, controlling current is usually referred to simply as the base current
because it is the only current that goes through the base wire of the transistor. Conversely, the large,
controlled current is referred to as the collector current because it is the only current that goes through the
collector wire. The emitter current is the sum of the base and collector currents, in compliance with Kirchhoff's
Current Law.

If there is no current through the base of the transistor, it shuts off like an open switch and prevents current
through the collector. If there is a base current, then the transistor turns on like a closed switch and allows a
proportional amount of current through the collector. Collector current is primarily limited by the base current,
regardless of the amount of voltage available to push it. The next section will explore in more detail the use of
bipolar transistors as switching elements.

• REVIEW:
• Bipolar transistors are so named because the controlled current must go through two types of
semiconductor material: P and N. The current consists of both electron and hole flow, in different
parts of the transistor.
• Bipolar transistors consist of either a P-N-P or an N-P-N semiconductor "sandwich" structure.
• The three leads of a bipolar transistor are called the Emitter, Base, and Collector.
• Transistors function as current regulators by allowing a small current to control a larger current. The
amount of current allowed between collector and emitter is primarily determined by the amount of
current moving between base and emitter.
• In order for a transistor to properly function as a current regulator, the controlling (base) current and
the controlled (collector) currents must be going in the proper directions: meshing additively at the
emitter and going against the emitter arrow symbol.

The transistor as a switch

Because a transistor's collector current is proportionally limited by its base current, it can be used as a sort of
current-controlled switch. A relatively small flow of electrons sent through the base of the transistor has the
ability to exert control over a much larger flow of electrons through the collector.

Suppose we had a lamp that we wanted to turn on and off by means of a switch. Such a circuit would be
extremely simple:

For the sake of illustration, let's insert a transistor in place of the switch to show how it can control the flow of
electrons through the lamp. Remember that the controlled current through a transistor must go between
collector and emitter. Since it's the current through the lamp that we want to control, we must position the
collector and emitter of our transistor where the two contacts of the switch are now. We must also make sure
that the lamp's current will move against the direction of the emitter arrow symbol to ensure that the
transistor's junction bias will be correct:

In this example I happened to choose an NPN transistor. A PNP transistor could also have been chosen for the
job, and its application would look like this:
The choice between NPN and PNP is really arbitrary. All that matters is that the proper current directions are
maintained for the sake of correct junction biasing (electron flow going against the transistor symbol's arrow).

Going back to the NPN transistor in our example circuit, we are faced with the need to add something more so
that we can have base current. Without a connection to the base wire of the transistor, base current will be
zero, and the transistor cannot turn on, resulting in a lamp that is always off. Remember that for an NPN
transistor, base current must consist of electrons flowing from emitter to base (against the emitter arrow
symbol, just like the lamp current). Perhaps the simplest thing to do would be to connect a switch between the
base and collector wires of the transistor like this:

If the switch is open, the base wire of the transistor will be left "floating" (not connected to anything) and there
will be no current through it. In this state, the transistor is said to be cutoff. If the switch is closed, however,
electrons will be able to flow from the emitter through to the base of the transistor, through the switch and up
to the left side of the lamp, back to the positive side of the battery. This base current will enable a much larger
flow of electrons from the emitter through to the collector, thus lighting up the lamp. In this state of maximum
circuit current, the transistor is said to be saturated.

Of course, it may seem pointless to use a transistor in this capacity to control the lamp. After all, we're still
using a switch in the circuit, aren't we? If we're still using a switch to control the lamp -- if only indirectly --
then what's the point of having a transistor to control the current? Why not just go back to our original circuit
and use the switch directly to control the lamp current?

There are a couple of points to be made here, actually. First is the fact that when used in this manner, the
switch contacts need only handle what little base current is necessary to turn the transistor on, while the
transistor itself handles the majority of the lamp's current. This may be an important advantage if the switch
has a low current rating: a small switch may be used to control a relatively high-current load. Perhaps more
importantly, though, is the fact that the current-controlling behavior of the transistor enables us to use
something completely different to turn the lamp on or off. Consider this example, where a solar cell is used to
control the transistor, which in turn controls the lamp:
Or, we could use a thermocouple to provide the necessary base current to turn the transistor on:

Even a microphone of sufficient voltage and current output could be used to turn the transistor on, provided its
output is rectified from AC to DC so that the emitter-base PN junction within the transistor will always be
forward-biased:

The point should be quite apparent by now: any sufficient source of DC current may be used to turn the
transistor on, and that source of current need only be a fraction of the amount of current needed to energize
the lamp. Here we see the transistor functioning not only as a switch, but as a true amplifier: using a relatively
low-power signal to control a relatively large amount of power. Please note that the actual power for lighting
up the lamp comes from the battery to the right of the schematic. It is not as though the small signal current
from the solar cell, thermocouple, or microphone is being magically transformed into a greater amount of
power. Rather, those small power sources are simply controlling the battery's power to light up the lamp.

• REVIEW:
• Transistors may be used as switching elements to control DC power to a load. The switched
(controlled) current goes between emitter and collector, while the controlling current goes between
emitter and base.
• When a transistor has zero current through it, it is said to be in a state of cutoff (fully nonconducting).
• When a transistor has maximum current through it, it is said to be in a state of saturation (fully
conducting).
Meter check of a transistor

Bipolar transistors are constructed of a three-layer semiconductor "sandwich," either PNP or NPN. As such,
they register as two diodes connected back-to-back when tested with a multimeter's "resistance" or "diode
check" functions:

Here I'm assuming the use of a multimeter with only a single continuity range (resistance) function to check
the PN junctions. Some multimeters are equipped with two separate continuity check functions: resistance and
"diode check," each with its own purpose. If your meter has a designated "diode check" function, use that
rather than the "resistance" range, and the meter will display the actual forward voltage of the PN junction and
not just whether or not it conducts current.
Meter readings will be exactly opposite, of course, for an NPN transistor, with both PN junctions facing the
other way. If a multimeter with a "diode check" function is used in this test, it will be found that the emitter-
base junction possesses a slightly greater forward voltage drop than the collector-base junction. This forward
voltage difference is due to the disparity in doping concentration between the emitter and collector regions of
the transistor: the emitter is a much more heavily doped piece of semiconductor material than the collector,
causing its junction with the base to produce a higher forward voltage drop.

Knowing this, it becomes possible to determine which wire is which on an unmarked transistor. This is
important because transistor packaging, unfortunately, is not standardized. All bipolar transistors have three
wires, of course, but the positions of the three wires on the actual physical package are not arranged in any
universal, standardized order.

Suppose a technician finds a bipolar transistor and proceeds to measure continuity with a multimeter set in the
"diode check" mode. Measuring between pairs of wires and recording the values displayed by the meter, the
technician obtains the following data:
 • Meter touching wire 1 (+) and 2 (-): "OL"
• Meter touching wire 1 (-) and 2 (+): "OL"
• Meter touching wire 1 (+) and 3 (-): 0.655 volts
• Meter touching wire 1 (-) and 3 (+): "OL"
• Meter touching wire 2 (+) and 3 (-): 0.621 volts
• Meter touching wire 2 (-) and 3 (+): "OL"

The only combinations of test points giving conducting meter readings are wires 1 and 3 (red test lead on 1
and black test lead on 3), and wires 2 and 3 (red test lead on 2 and black test lead on 3). These two readings
must indicate forward biasing of the emitter-to-base junction (0.655 volts) and the collector-to-base junction
(0.621 volts).

Now we look for the one wire common to both sets of conductive readings. It must be the base connection of
the transistor, because the base is the only layer of the three-layer device common to both sets of PN junctions
(emitter-base and collector-base). In this example, that wire is number 3, being common to both the 1-3 and
the 2-3 test point combinations. In both those sets of meter readings, the black (-) meter test lead was
touching wire 3, which tells us that the base of this transistor is made of N-type semiconductor material (black
= negative). Thus, the transistor is an PNP type with base on wire 3, emitter on wire 1 and collector on wire 2:

Please note that the base wire in this example is not the middle lead of the transistor, as one might expect
from the three-layer "sandwich" model of a bipolar transistor. This is quite often the case, and tends to confuse
new students of electronics. The only way to be sure which lead is which is by a meter check, or by referencing
the manufacturer's "data sheet" documentation on that particular part number of transistor.

Knowing that a bipolar transistor behaves as two back-to-back diodes when tested with a conductivity meter is
helpful for identifying an unknown transistor purely by meter readings. It is also helpful for a quick functional
check of the transistor. If the technician were to measure continuity in any more than two or any less than two
of the six test lead combinations, he or she would immediately know that the transistor was defective (or else
that it wasn't a bipolar transistor but rather something else -- a distinct possibility if no part numbers can be
referenced for sure identification!). However, the "two diode" model of the transistor fails to explain how or
why it acts as an amplifying device.

To better illustrate this paradox, let's examine one of the transistor switch circuits using the physical diagram
rather than the schematic symbol to represent the transistor. This way the two PN junctions will be easier to
see:

A grey-colored diagonal arrow shows the direction of electron flow through the emitter-base junction. This part
makes sense, since the electrons are flowing from the N-type emitter to the P-type base: the junction is
obviously forward-biased. However, the base-collector junction is another matter entirely. Notice how the grey-
colored thick arrow is pointing in the direction of electron flow (upwards) from base to collector. With the base
made of P-type material and the collector of N-type material, this direction of electron flow is clearly backwards
to the direction normally associated with a PN junction! A normal PN junction wouldn't permit this "backward"
direction of flow, at least not without offering significant opposition. However, when the transistor is saturated,
there is very little opposition to electrons all the way from emitter to collector, as evidenced by the lamp's
illumination!

Clearly then, something is going on here that defies the simple "two-diode" explanatory model of the bipolar
transistor. When I was first learning about transistor operation, I tried to construct my own transistor from two
back-to-back diodes, like this:
My circuit didn't work, and I was mystified. However useful the "two diode" description of a transistor might be
for testing purposes, it doesn't explain how a transistor can behave as a controlled switch.

What happens in a transistor is this: the reverse bias of the base-collector junction prevents collector current
when the transistor is in cutoff mode (that is, when there is no base current). However, when the base-emitter
junction is forward biased by the controlling signal, the normally-blocking action of the base-collector junction
is overridden and current is permitted through the collector, despite the fact that electrons are going the
"wrong way" through that PN junction. This action is dependent on the quantum physics of semiconductor
junctions, and can only take place when the two junctions are properly spaced and the doping concentrations
of the three layers are properly proportioned. Two diodes wired in series fail to meet these criteria, and so the
top diode can never "turn on" when it is reversed biased, no matter how much current goes through the
bottom diode in the base wire loop.

That doping concentrations play a crucial part in the special abilities of the transistor is further evidenced by
the fact that collector and emitter are not interchangeable. If the transistor is merely viewed as two back-to-
back PN junctions, or merely as a plain N-P-N or P-N-P sandwich of materials, it may seem as though either
end of the transistor could serve as collector or emitter. This, however, is not true. If connected "backwards" in
a circuit, a base-collector current will fail to control current between collector and emitter. Despite the fact that
both the emitter and collector layers of a bipolar transistor are of the same doping type (either N or P), they
are definitely not identical!

So, current through the emitter-base junction allows current through the reverse-biased base-collector
junction. The action of base current can be thought of as "opening a gate" for current through the collector.
More specifically, any given amount of emitter-to-base current permits a limited amount of base-to-collector
current. For every electron that passes through the emitter-base junction and on through the base wire, there
is allowed a certain, restricted number of electrons to pass through the base-collector junction and no more.

In the next section, this current-limiting behavior of the transistor will be investigated in more detail.

• REVIEW:
• Tested with a multimeter in the "resistance" or "diode check" modes, a transistor behaves like two
back-to-back PN (diode) junctions.
• The emitter-base PN junction has a slightly greater forward voltage drop than the collector-base PN
junction, due to more concentrated doping of the emitter semiconductor layer.
• The reverse-biased base-collector junction normally blocks any current from going through the
transistor between emitter and collector. However, that junction begins to conduct if current is drawn
through the base wire. Base current can be thought of as "opening a gate" for a certain, limited
amount of current through the collector.

Active mode operation

When a transistor is in the fully-off state (like an open switch), it is said to be cutoff. Conversely, when it is
fully conductive between emitter and collector (passing as much current through the collector as the collector
power supply and load will allow), it is said to be saturated. These are the two modes of operation explored
thus far in using the transistor as a switch.

However, bipolar transistors don't have to be restricted to these two extreme modes of operation. As we
learned in the previous section, base current "opens a gate" for a limited amount of current through the
collector. If this limit for the controlled current is greater than zero but less than the maximum allowed by the
power supply and load circuit, the transistor will "throttle" the collector current in a mode somewhere between
cutoff and saturation. This mode of operation is called the active mode.

An automotive analogy for transistor operation is as follows: cutoff is the condition where there is no motive
force generated by the mechanical parts of the car to make it move. In cutoff mode, the brake is engaged
(zero base current), preventing motion (collector current). Active mode is when the automobile is cruising at a
constant, controlled speed (constant, controlled collector current) as dictated by the driver. Saturation is when
the automobile is driving up a steep hill that prevents it from going as fast as the driver would wish. In other
words, a "saturated" automobile is one where the accelerator pedal is pushed all the way down (base current
calling for more collector current than can be provided by the power supply/load circuit).

I'll set up a circuit for SPICE simulation to demonstrate what happens when a transistor is in its active mode of
operation:
"Q" is the standard letter designation for a transistor in a schematic diagram, just as "R" is for resistor and "C"
is for capacitor. In this circuit, we have an NPN transistor powered by a battery (V1) and controlled by current
through a current source (I1). A current source is a device that outputs a specific amount of current,
generating as much or as little voltage as necessary across its terminals to ensure that exact amount of
current through it. Current sources are notoriously difficult to find in nature (unlike voltage sources, which by
contrast attempt to maintain a constant voltage, outputting as much or as little current in the fulfillment of that
task), but can be simulated with a small collection of electronic components. As we are about to see,
transistors themselves tend to mimic the constant-current behavior of a current source in their ability to
regulate current at a fixed value.

In the SPICE simulation, I'll set the current source at a constant value of 20 µA, then vary the voltage source
(V1) over a range of 0 to 2 volts and monitor how much current goes through it. The "dummy" battery
(Vammeter) with its output of 0 volts serves merely to provide SPICE with a circuit element for current
measurement.

bipolar transistor simulation

i1 0 1 dc 20u
q1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 npn
.dc v1 0 2 0.05
.plot dc i(vammeter)
.end

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

v1 i(ammeter) -1.000E-03 0.000E+00 1.000E-03 2.000E-03

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 -1.980E-05 . * . .
5.000E-02 9.188E-05 . .* . .
1.000E-01 6.195E-04 . . * . .
1.500E-01 1.526E-03 . . . * .
2.000E-01 1.914E-03 . . . *.
2.500E-01 1.987E-03 . . . *
3.000E-01 1.998E-03 . . . *
3.500E-01 2.000E-03 . . . *
4.000E-01 2.000E-03 . . . *
4.500E-01 2.000E-03 . . . *
5.000E-01 2.000E-03 . . . *
5.500E-01 2.000E-03 . . . *
6.000E-01 2.000E-03 . . . *
6.500E-01 2.000E-03 . . . *
7.000E-01 2.000E-03 . . . *
7.500E-01 2.000E-03 . . . *
8.000E-01 2.000E-03 . . . *
8.500E-01 2.000E-03 . . . *
9.000E-01 2.000E-03 . . . *
9.500E-01 2.000E-03 . . . *
1.000E+00 2.000E-03 . . . *
1.050E+00 2.000E-03 . . . *
1.100E+00 2.000E-03 . . . *
1.150E+00 2.000E-03 . . . *
1.200E+00 2.000E-03 . . . *
1.250E+00 2.000E-03 . . . *
1.300E+00 2.000E-03 . . . *
1.350E+00 2.000E-03 . . . *
1.400E+00 2.000E-03 . . . *
1.450E+00 2.000E-03 . . . *
1.500E+00 2.000E-03 . . . *
1.550E+00 2.000E-03 . . . *
1.600E+00 2.000E-03 . . . *
1.650E+00 2.000E-03 . . . *
1.700E+00 2.000E-03 . . . *
1.750E+00 2.000E-03 . . . *
1.800E+00 2.000E-03 . . . *
1.850E+00 2.000E-03 . . . *
1.900E+00 2.000E-03 . . . *
1.950E+00 2.000E-03 . . . *
2.000E+00 2.000E-03 . . . *
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The constant base current of 20 µA sets a collector current limit of 2 mA, exactly 100 times as much. Notice
how flat the curve is for collector current over the range of battery voltage from 0 to 2 volts. The only
exception to this featureless plot is at the very beginning, where the battery increases from 0 volts to 0.25
volts. There, the collector current increases rapidly from 0 amps to its limit of 2 mA.

Let's see what happens if we vary the battery voltage over a wider range, this time from 0 to 50 volts. We'll
keep the base current steady at 20 µA:

bipolar transistor simulation

i1 0 1 dc 20u
q1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 npn
.dc v1 0 50 2
.plot dc i(vammeter)
.end

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

v1 i(ammeter) -1.000E-03 0.000E+00 1.000E-03 2.000E-03

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 -1.980E-05 . * . .
2.000E+00 2.000E-03 . . . *
4.000E+00 2.000E-03 . . . *
6.000E+00 2.000E-03 . . . *
8.000E+00 2.000E-03 . . . *
1.000E+01 2.000E-03 . . . *
1.200E+01 2.000E-03 . . . *
1.400E+01 2.000E-03 . . . *
1.600E+01 2.000E-03 . . . *
1.800E+01 2.000E-03 . . . *
2.000E+01 2.000E-03 . . . *
2.200E+01 2.000E-03 . . . *
2.400E+01 2.000E-03 . . . *
2.600E+01 2.000E-03 . . . *
2.800E+01 2.000E-03 . . . *
3.000E+01 2.000E-03 . . . *
3.200E+01 2.000E-03 . . . *
3.400E+01 2.000E-03 . . . *
3.600E+01 2.000E-03 . . . *
3.800E+01 2.000E-03 . . . *
4.000E+01 2.000E-03 . . . *
4.200E+01 2.000E-03 . . . *
4.400E+01 2.000E-03 . . . *
4.600E+01 2.000E-03 . . . *
4.800E+01 2.000E-03 . . . *
5.000E+01 2.000E-03 . . . *
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Same result! The collector current holds absolutely steady at 2 mA despite the fact that the battery (v1)
voltage varies all the way from 0 to 50 volts. It would appear from our simulation that collector-to-emitter
voltage has little effect over collector current, except at very low levels (just above 0 volts). The transistor is
acting as a current regulator, allowing exactly 2 mA through the collector and no more.

Now let's see what happens if we increase the controlling (I1) current from 20 µA to 75 µA, once again
sweeping the battery (V1) voltage from 0 to 50 volts and graphing the collector current:

bipolar transistor simulation

i1 0 1 dc 75u
q1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 npn
.dc v1 0 50 2
.plot dc i(vammeter)
.end

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

v1 i(ammeter) -5.000E-03 0.000E+00 5.000E-03 1.000E-02

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 -7.426E-05 . * . .
2.000E+00 7.500E-03 . . . * .
4.000E+00 7.500E-03 . . . * .
6.000E+00 7.500E-03 . . . * .
8.000E+00 7.500E-03 . . . * .
1.000E+01 7.500E-03 . . . * .
1.200E+01 7.500E-03 . . . * .
1.400E+01 7.500E-03 . . . * .
1.600E+01 7.500E-03 . . . * .
1.800E+01 7.500E-03 . . . * .
2.000E+01 7.500E-03 . . . * .
2.200E+01 7.500E-03 . . . * .
2.400E+01 7.500E-03 . . . * .
2.600E+01 7.500E-03 . . . * .
2.800E+01 7.500E-03 . . . * .
3.000E+01 7.500E-03 . . . * .
3.200E+01 7.500E-03 . . . * .
3.400E+01 7.500E-03 . . . * .
3.600E+01 7.500E-03 . . . * .
3.800E+01 7.500E-03 . . . * .
4.000E+01 7.500E-03 . . . * .
4.200E+01 7.500E-03 . . . * .
4.400E+01 7.500E-03 . . . * .
4.600E+01 7.500E-03 . . . * .
4.800E+01 7.500E-03 . . . * .
5.000E+01 7.500E-03 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Not surprisingly, SPICE gives us a similar plot: a flat line, holding steady this time at 7.5 mA -- exactly 100
times the base current -- over the range of battery voltages from just above 0 volts to 50 volts. It appears that
the base current is the deciding factor for collector current, the V1 battery voltage being irrelevant so long as
it's above a certain minimum level.

This voltage/current relationship is entirely different from what we're used to seeing across a resistor. With a
resistor, current increases linearly as the voltage across it increases. Here, with a transistor, current from
emitter to collector stays limited at a fixed, maximum value no matter how high the voltage across emitter and
collector increases.

Often it is useful to superimpose several collector current/voltage graphs for different base currents on the
same graph. A collection of curves like this -- one curve plotted for each distinct level of base current -- for a
particular transistor is called the transistor's characteristic curves:
Each curve on the graph reflects the collector current of the transistor, plotted over a range of collector-to-
emitter voltages, for a given amount of base current. Since a transistor tends to act as a current regulator,
limiting collector current to a proportion set by the base current, it is useful to express this proportion as a
standard transistor performance measure. Specifically, the ratio of collector current to base current is known as
the Beta ratio (symbolized by the Greek letter β):

Sometimes the β ratio is designated as "hfe," a label used in a branch of mathematical semiconductor analysis
known as "hybrid parameters" which strives to achieve very precise predictions of transistor performance with
detailed equations. Hybrid parameter variables are many, but they are all labeled with the general letter "h"
and a specific subscript. The variable "hfe" is just another (standardized) way of expressing the ratio of collector
current to base current, and is interchangeable with "β." Like all ratios, β is unitless.

β for any transistor is determined by its design: it cannot be altered after manufacture. However, there are so
many physical variables impacting β that it is rare to have two transistors of the same design exactly match. If
a circuit design relies on equal β ratios between multiple transistors, "matched sets" of transistors may be
purchased at extra cost. However, it is generally considered bad design practice to engineer circuits with such
dependencies.

It would be nice if the β of a transistor remained stable for all operating conditions, but this is not true in real
life. For an actual transistor, the β ratio may vary by a factor of over 3 within its operating current limits. For
example, a transistor with advertised β of 50 may actually test with Ic/Ib ratios as low as 30 and as high as
100, depending on the amount of collector current, the transistor's temperature, and frequency of amplified
signal, among other factors. For tutorial purposes it is adequate to assume a constant β for any given
transistor (which is what SPICE tends to do in a simulation), but just realize that real life is not that simple!

Sometimes it is helpful for comprehension to "model" complex electronic components with a collection of
simpler, better-understood components. The following is a popular model shown in many introductory
electronics texts:
This model casts the transistor as a combination of diode and rheostat (variable resistor). Current through the
base-emitter diode controls the resistance of the collector-emitter rheostat (as implied by the dashed line
connecting the two components), thus controlling collector current. An NPN transistor is modeled in the figure
shown, but a PNP transistor would be only slightly different (only the base-emitter diode would be reversed).
This model succeeds in illustrating the basic concept of transistor amplification: how the base current signal
can exert control over the collector current. However, I personally don't like this model because it tends to
miscommunicate the notion of a set amount of collector-emitter resistance for a given amount of base current.
If this were true, the transistor wouldn't regulate collector current at all like the characteristic curves show.
Instead of the collector current curves flattening out after their brief rise as the collector-emitter voltage
increases, the collector current would be directly proportional to collector-emitter voltage, rising steadily in a
straight line on the graph.

A better transistor model, often seen in more advanced textbooks, is this:

It casts the transistor as a combination of diode and current source, the output of the current source being set
at a multiple (β ratio) of the base current. This model is far more accurate in depicting the true input/output
characteristics of a transistor: base current establishes a certain amount of collector current, rather than a
certain amount of collector-emitter resistance as the first model implies. Also, this model is favored when
performing network analysis on transistor circuits, the current source being a well-understood theoretical
component. Unfortunately, using a current source to model the transistor's current-controlling behavior can be
misleading: in no way will the transistor ever act as a source of electrical energy, which the current source
symbol implies is a possibility.

My own personal suggestion for a transistor model substitutes a constant-current diode for the current source:
Since no diode ever acts as a source of electrical energy, this analogy escapes the false implication of the
current source model as a source of power, while depicting the transistor's constant-current behavior better
than the rheostat model. Another way to describe the constant-current diode's action would be to refer to it as
a current regulator, so this transistor illustration of mine might also be described as a diode-current regulator
model. The greatest disadvantage I see to this model is the relative obscurity of constant-current diodes. Many
people may be unfamiliar with their symbology or even of their existence, unlike either rheostats or current
sources, which are commonly known.

• REVIEW:
• A transistor is said to be in its active mode if it is operating somewhere between fully on (saturated)
and fully off (cutoff).
• Base current tends to regulate collector current. By regulate, we mean that no more collector current
may exist than what is allowed by the base current.
• The ratio between collector current and base current is called "Beta" (β) or "hfe".
• β ratios are different for every transistor, and they tend to change for different operating conditions.

The common-emitter amplifier

At the beginning of this chapter we saw how transistors could be used as switches, operating in either their
"saturation" or "cutoff" modes. In the last section we saw how transistors behave within their "active" modes,
between the far limits of saturation and cutoff. Because transistors are able to control current in an analog
(infinitely divisible) fashion, they find use as amplifiers for analog signals.

One of the simpler transistor amplifier circuits to study is the one used previously for illustrating the
transistor's switching ability:
It is called the common-emitter configuration because (ignoring the power supply battery) both the signal
source and the load share the emitter lead as a common connection point. This is not the only way in which a
transistor may be used as an amplifier, as we will see in later sections of this chapter:

Before, this circuit was shown to illustrate how a relatively small current from a solar cell could be used to
saturate a transistor, resulting in the illumination of a lamp. Knowing now that transistors are able to "throttle"
their collector currents according to the amount of base current supplied by an input signal source, we should
be able to see that the brightness of the lamp in this circuit is controllable by the solar cell's light exposure.
When there is just a little light shone on the solar cell, the lamp will glow dimly. The lamp's brightness will
steadily increase as more light falls on the solar cell.

Suppose that we were interested in using the solar cell as a light intensity instrument. We want to be able to
measure the intensity of incident light with the solar cell by using its output current to drive a meter
movement. It is possible to directly connect a meter movement to a solar cell for this purpose. In fact, the
simplest light-exposure meters for photography work are designed like this:

While this approach might work for moderate light intensity measurements, it would not work as well for low
light intensity measurements. Because the solar cell has to supply the meter movement's power needs, the
system is necessarily limited in its sensitivity. Supposing that our need here is to measure very low-level light
intensities, we are pressed to find another solution.

Perhaps the most direct solution to this measurement problem is to use a transistor to amplify the solar cell's
current so that more meter movement needle deflection may be obtained for less incident light. Consider this
approach:
Current through the meter movement in this circuit will be β times the solar cell current. With a transistor β of
100, this represents a substantial increase in measurement sensitivity. It is prudent to point out that the
additional power to move the meter needle comes from the battery on the far right of the circuit, not the solar
cell itself. All the solar cell's current does is control battery current to the meter to provide a greater meter
reading than the solar cell could provide unaided.

Because the transistor is a current-regulating device, and because meter movement indications are based on
the amount of current through their movement coils, meter indication in this circuit should depend only on the
amount of current from the solar cell, not on the amount of voltage provided by the battery. This means the
accuracy of the circuit will be independent of battery condition, a significant feature! All that is required of the
battery is a certain minimum voltage and current output ability to be able to drive the meter full-scale if
needed.

Another way in which the common-emitter configuration may be used is to produce an output voltage derived
from the input signal, rather than a specific output current. Let's replace the meter movement with a plain
resistor and measure voltage between collector and emitter:

With the solar cell darkened (no current), the transistor will be in cutoff mode and behave as an open switch
between collector and emitter. This will produce maximum voltage drop between collector and emitter for
maximum Voutput, equal to the full voltage of the battery.

At full power (maximum light exposure), the solar cell will drive the transistor into saturation mode, making it
behave like a closed switch between collector and emitter. The result will be minimum voltage drop between
collector and emitter, or almost zero output voltage. In actuality, a saturated transistor can never achieve zero
voltage drop between collector and emitter due to the two PN junctions through which collector current must
travel. However, this "collector-emitter saturation voltage" will be fairly low, around several tenths of a volt,
depending on the specific transistor used.

For light exposure levels somewhere between zero and maximum solar cell output, the transistor will be in its
active mode, and the output voltage will be somewhere between zero and full battery voltage. An important
quality to note here about the common-emitter configuration is that the output voltage is inversely
proportional to the input signal strength. That is, the output voltage decreases as the input signal increases.
For this reason, the common-emitter amplifier configuration is referred to as an inverting amplifier.

A quick SPICE simulation will verify our qualitative conclusions about this amplifier circuit:
common-emitter amplifier
i1 0 1 dc
q1 2 1 0 mod1
r 3 2 5000
v1 3 0 dc 15
.model mod1 npn
.dc i1 0 50u 2u
.plot dc v(2,0)
.end

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

i1 v(2) 0.000E+00 5.000E+00 1.000E+01 1.500E+01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 1.500E+01 . . . *
2.000E-06 1.400E+01 . . . * .
4.000E-06 1.300E+01 . . . * .
6.000E-06 1.200E+01 . . . * .
8.000E-06 1.100E+01 . . . * .
1.000E-05 1.000E+01 . . * .
1.200E-05 9.000E+00 . . * . .
1.400E-05 8.000E+00 . . * . .
1.600E-05 7.000E+00 . . * . .
1.800E-05 6.000E+00 . . * . .
2.000E-05 5.000E+00 . * . .
2.200E-05 4.000E+00 . * . . .
2.400E-05 3.000E+00 . * . . .
2.600E-05 2.000E+00 . * . . .
2.800E-05 1.000E+00 . * . . .
3.000E-05 2.261E-01 .* . . .
3.200E-05 1.850E-01 .* . . .
3.400E-05 1.694E-01 * . . .
3.600E-05 1.597E-01 * . . .
3.800E-05 1.527E-01 * . . .
4.000E-05 1.472E-01 * . . .
4.200E-05 1.427E-01 * . . .
4.400E-05 1.388E-01 * . . .
4.600E-05 1.355E-01 * . . .
4.800E-05 1.325E-01 * . . .
5.000E-05 1.299E-01 * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
At the beginning of the simulation where the current source (solar cell) is outputting zero current, the
transistor is in cutoff mode and the full 15 volts from the battery is shown at the amplifier output (between
nodes 2 and 0). As the solar cell's current begins to increase, the output voltage proportionally decreases, until
the transistor reaches saturation at 30 µA of base current (3 mA of collector current). Notice how the output
voltage trace on the graph is perfectly linear (1 volt steps from 15 volts to 1 volt) until the point of saturation,
where it never quite reaches zero. This is the effect mentioned earlier, where a saturated transistor can never
achieve exactly zero voltage drop between collector and emitter due to internal junction effects. What we do
see is a sharp output voltage decrease from 1 volt to 0.2261 volts as the input current increases from 28 µA to
30 µA, and then a continuing decrease in output voltage from then on (albeit in progressively smaller steps).
The lowest the output voltage ever gets in this simulation is 0.1299 volts, asymptotically approaching zero.

So far, we've seen the transistor used as an amplifier for DC signals. In the solar cell light meter example, we
were interested in amplifying the DC output of the solar cell to drive a DC meter movement, or to produce a
DC output voltage. However, this is not the only way in which a transistor may be employed as an amplifier. In
many cases, what is desired is an AC amplifier for amplifying alternating current and voltage signals. One
common application of this is in audio electronics (radios, televisions, and public-address systems). Earlier, we
saw an example where the audio output of a tuning fork could be used to activate a transistor as a switch.
Let's see if we can modify that circuit to send power to a speaker rather than to a lamp:

In the original circuit, a full-wave bridge rectifier was used to convert the microphone's AC output signal into a
DC voltage to drive the input of the transistor. All we cared about here was turning the lamp on with a sound
signal from the microphone, and this arrangement sufficed for that purpose. But now we want to actually
reproduce the AC signal and drive a speaker. This means we cannot rectify the microphone's output anymore,
because we need undistorted AC signal to drive the transistor! Let's remove the bridge rectifier and replace the
lamp with a speaker:

Since the microphone may produce voltages exceeding the forward voltage drop of the base-emitter PN (diode)
junction, I've placed a resistor in series with the microphone. Let's simulate this circuit now in SPICE and see
what happens:
common-emitter amplifier
vinput 1 0 sin (0 1.5 2000 0 0)
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 8
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.74m
.plot tran v(1,0) i(v1)
.end

legend:
*: v(1)
+: i(v1)
v(1)
(*)--- -2.000E+00 -1.000E+00 0.000E+00 1.000E+00 2.000E+00
(+)--- -8.000E-02 -6.000E-02 -4.000E-02 -2.000E-02 0.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 . . * . +
3.725E-01 . . . * . +
7.195E-01 . . . * . +.
1.024E+00 . . . *+ .
1.264E+00 . . + . * .
1.420E+00 . . + . . * .
1.493E+00 . +. . . * .
1.470E+00 . .+ . . * .
1.351E+00 . . + . . * .
1.154E+00 . . . + . * .
8.791E-01 . . . * . + .
5.498E-01 . . . * . +
1.877E-01 . . . * . +
-1.872E-01 . . * . . +
-5.501E-01 . . * . . +
-8.815E-01 . . * . . +
-1.151E+00 . * . . . +
-1.352E+00 . * . . . +
-1.472E+00 . * . . . +
-1.491E+00 . * . . . +
-1.422E+00 . * . . . +
-1.265E+00 . * . . . +
-1.022E+00 . * . . +
-7.205E-01 . . * . . +
-3.723E-01 . . * . . +
3.040E-06 . . * . +
 3.724E-01 . . . * . +
7.205E-01 . . . * . +.
1.022E+00 . . . * + .
1.265E+00 . . + . * .
1.422E+00 . . + . . * .
1.491E+00 . +. . . * .
1.473E+00 . .+ . . * .
1.352E+00 . . + . . * .
1.151E+00 . . . + . * .
8.814E-01 . . . * . + .
5.501E-01 . . . * . +
1.880E-01 . . . * . +
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

The simulation plots both the input voltage (an AC signal of 1.5 volt peak amplitude and 2000 Hz frequency)
and the current through the 15 volt battery, which is the same as the current through the speaker. What we
see here is a full AC sine wave alternating in both positive and negative directions, and a half-wave output
current waveform that only pulses in one direction. If we were actually driving a speaker with this waveform,
the sound produced would be horribly distorted.

What's wrong with the circuit? Why won't it faithfully reproduce the entire AC waveform from the microphone?
The answer to this question is found by close inspection of the transistor diode-regulating diode model:

Collector current is controlled, or regulated, through the constant-current mechanism according to the pace set
by the current through the base-emitter diode. Note that both current paths through the transistor are
monodirectional: one way only! Despite our intent to use the transistor to amplify an AC signal, it is essentially
a DC device, capable of handling currents in a single direction only. We may apply an AC voltage input signal
between the base and emitter, but electrons cannot flow in that circuit during the part of the cycle that
reverse-biases the base-emitter diode junction. Therefore, the transistor will remain in cutoff mode throughout
that portion of the cycle. It will "turn on" in its active mode only when the input voltage is of the correct
polarity to forward-bias the base-emitter diode, and only when that voltage is sufficiently high to overcome the
diode's forward voltage drop. Remember that bipolar transistors are current-controlled devices: they regulate
collector current based on the existence of base-to-emitter current, not base-to-emitter voltage.

The only way we can get the transistor to reproduce the entire waveform as current through the speaker is to
keep the transistor in its active mode the entire time. This means we must maintain current through the base
during the entire input waveform cycle. Consequently, the base-emitter diode junction must be kept forward-
biased at all times. Fortunately, this can be accomplished with the aid of a DC bias voltage added to the input
signal. By connecting a sufficient DC voltage in series with the AC signal source, forward-bias can be
maintained at all points throughout the wave cycle:

common-emitter amplifier
vinput 1 5 sin (0 1.5 2000 0 0)
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 8
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) i(v1)
.end

legend:
*: v(1)
+: i(v1)
v(1)
(*)--- 0.000E+00 1.000E+00 2.000E+00 3.000E+00 4.000E+00
(+)--- -3.000E-01 -2.000E-01 -1.000E-01 0.000E+00 1.000E-01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.300E+00 . . + . * . .
2.673E+00 . . + . * . .
3.020E+00 . +. . * .
3.322E+00 . + . . . * .
3.563E+00 . + . . . * .
3.723E+00 . + . . . * .
3.790E+00 . + . . . *.
3.767E+00 . + . . . *.
3.657E+00 . + . . . * .
3.452E+00 . + . . . * .
3.177E+00 . + . . . * .
2.850E+00 . .+ . * . .
2.488E+00 . . + . * . .
2.113E+00 . . + . * . .
1.750E+00 . . * . + . .
1.419E+00 . . * . + . .
1.148E+00 . . * . + . .
9.493E-01 . *. . + . .
8.311E-01 . * . . + .
8.050E-01 . * . . + .
8.797E-01 . * . . +. .
1.039E+00 . .* . + . .
1.275E+00 . . * . + . .
1.579E+00 . . * . + . .
1.929E+00 . . *+ . .
2.300E+00 . . + . * . .
2.673E+00 . . + . * . .
3.019E+00 . +. . * .
3.322E+00 . + . . . * .
3.564E+00 . + . . . * .
3.722E+00 . + . . . * .
3.790E+00 . + . . . *.
3.768E+00 . + . . . *.
3.657E+00 . + . . . * .
3.451E+00 . + . . . * .
3.178E+00 . + . . . * .
2.851E+00 . .+ . * . .
2.488E+00 . . + . * . .
2.113E+00 . . + . * . .
1.748E+00 . . * . + . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

With the bias voltage source of 2.3 volts in place, the transistor remains in its active mode throughout the
entire cycle of the wave, faithfully reproducing the waveform at the speaker. Notice that the input voltage
(measured between nodes 1 and 0) fluctuates between about 0.8 volts and 3.8 volts, a peak-to-peak voltage
of 3 volts just as expected (source voltage = 1.5 volts peak). The output (speaker) current varies between
zero and almost 300 mA, 180o out of phase with the input (microphone) signal.

The following illustration is another view of the same circuit, this time with a few oscilloscopes ("scopemeters")
connected at crucial points to display all the pertinent signals:
The need for biasing a transistor amplifier circuit to obtain full waveform reproduction is an important
consideration. A separate section of this chapter will be devoted entirely to the subject biasing and biasing
techniques. For now, it is enough to understand that biasing may be necessary for proper voltage and current
output from the amplifier.

Now that we have a functioning amplifier circuit, we can investigate its voltage, current, and power gains. The
generic transistor used in these SPICE analyses has a β of 100, as indicated by the short transistor statistics
printout included in the text output (these statistics were cut from the last two analyses for brevity's sake):

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

β is listed under the abbreviation "bf," which actually stands for "beta, forward". If we wanted to insert our
own β ratio for an analysis, we could have done so on the .model line of the SPICE netlist.

Since β is the ratio of collector current to base current, and we have our load connected in series with the
collector terminal of the transistor and our source connected in series with the base, the ratio of output current
to input current is equal to beta. Thus, our current gain for this example amplifier is 100, or 40 dB.

Voltage gain is a little more complicated to figure than current gain for this circuit. As always, voltage gain is
defined as the ratio of output voltage divided by input voltage. In order to experimentally determine this, we
need to modify our last SPICE analysis to plot output voltage rather than output current so we have two
voltage plots to compare:

common-emitter amplifier
vinput 1 5 sin (0 1.5 2000 0 0)
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 8
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) v(4,3)
.end

legend:
*: v(1)
+: v(4,3)
v(1)
(*+)- 0.000E+00 1.000E+00 2.000E+00 3.000E+00 4.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.300E+00 . . + . * . .
2.673E+00 . . + . * . .
3.020E+00 . . + . * .
3.322E+00 . . +. . * .
3.563E+00 . . . + . * .
3.723E+00 . . . + . * .
3.790E+00 . . . + . * .
3.767E+00 . . . + . * .
3.657E+00 . . . + . * .
3.452E+00 . . + . * .
3.177E+00 . . + . . * .
2.850E+00 . . + . * . .
2.488E+00 . . + . * . .
2.113E+00 . + . * . .
1.750E+00 . + . * . . .
1.419E+00 . + . * . . .
1.148E+00 . + . * . . .
9.493E-01 .+ *. . . .
8.311E-01 + * . . . .
8.050E-01 + * . . . .
8.797E-01 .+ * . . . .
1.039E+00 . + .* . . .
1.275E+00 . + . * . . .
1.579E+00 . + . * . . .
1.929E+00 . + . *. . .
2.300E+00 . . + . * . .
2.673E+00 . . + . * . .
3.019E+00 . . + . * .
3.322E+00 . . +. . * .
3.564E+00 . . . + . * .
3.722E+00 . . . + . * .
3.790E+00 . . . + . * .
3.768E+00 . . . + . * .
3.657E+00 . . . + . * .
3.451E+00 . . + . * .
3.178E+00 . . + . . * .
2.851E+00 . . + . * . .
2.488E+00 . . + . * . .
2.113E+00 . + . * . .
1.748E+00 . + . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Plotted on the same scale (from 0 to 4 volts), we see that the output waveform ("+") has a smaller peak-to-
peak amplitude than the input waveform ("*"), in addition to being at a lower bias voltage, not elevated up
from 0 volts like the input. Since voltage gain for an AC amplifier is defined by the ratio of AC amplitudes, we
can ignore any DC bias separating the two waveforms. Even so, the input waveform is still larger than the
output, which tells us that the voltage gain is less than 1 (a negative dB figure).

To be honest, this low voltage gain is not characteristic to all common-emitter amplifiers. In this case it is a
consequence of the great disparity between the input and load resistances. Our input resistance (R1) here is
1000 Ω, while the load (speaker) is only 8 Ω. Because the current gain of this amplifier is determined solely by
the β of the transistor, and because that β figure is fixed, the current gain for this amplifier won't change with
variations in either of these resistances. However, voltage gain is dependent on these resistances. If we alter
the load resistance, making it a larger value, it will drop a proportionately greater voltage for its range of load
currents, resulting in a larger output waveform. Let's try another simulation, only this time with a 30 Ω load
instead of an 8 Ω load:

common-emitter amplifier
vinput 1 5 sin (0 1.5 2000 0 0)
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 30
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) v(4,3)
.end
legend:
*: v(1)
+: v(4,3)
v(1)
(*)-- 0.000E+00 1.000E+00 2.000E+00 3.000E+00 4.000E+00
(+)-- -5.000E+00 0.000E+00 5.000E+00 1.000E+01 1.500E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.300E+00 . . + . * . .
2.673E+00 . . .+ * . .
3.020E+00 . . . + * .
3.322E+00 . . . + . * .
3.563E+00 . . . + . * .
3.723E+00 . . . + . * .
3.790E+00 . . . + . * .
3.767E+00 . . . + . * .
3.657E+00 . . . + . * .
3.452E+00 . . . + . * .
3.177E+00 . . . + . * .
2.850E+00 . . . + * . .
2.488E+00 . . +. * . .
2.113E+00 . . + . * . .
1.750E+00 . . + * . . .
1.419E+00 . . +* . . .
1.148E+00 . . x . . .
9.493E-01 . *.+ . . .
8.311E-01 . * + . . .
8.050E-01 . * + . . .
8.797E-01 . * .+ . . .
1.039E+00 . .*+ . . .
1.275E+00 . . +* . . .
1.579E+00 . . + * . . .
1.929E+00 . . + *. . .
2.300E+00 . . + . * . .
2.673E+00 . . .+ * . .
3.019E+00 . . . + * .
3.322E+00 . . . + . * .
3.564E+00 . . . + . * .
3.722E+00 . . . + . * .
3.790E+00 . . . + . * .
3.768E+00 . . . + . * .
3.657E+00 . . . + . * .
3.451E+00 . . . + . * .
3.178E+00 . . . + . * .
2.851E+00 . . . + * . .
2.488E+00 . . +. * . .
2.113E+00 . . + . * . .
1.748E+00 . . + * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

This time the output voltage waveform is significantly greater in amplitude than the input waveform. This may
not be obvious at first, since the two waveforms are plotted on different scales: the input on a scale of 0 to 4
volts and the output on a scale of -5 to 15 volts. Looking closely, we can see that the output waveform ("+")
crests between 0 and about 9 volts: approximately 3 times the amplitude of the input voltage.

We can perform another computer analysis of this circuit, only this time instructing SPICE to analyze it from an
AC point of view, giving us peak voltage figures for input and output instead of a time-based plot of the
waveforms:
common-emitter amplifier
vinput 1 5 ac 1.5
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 30
v1 4 0 dc 15
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(4,3)
.end

freq v(1) v(4,3)

2.000E+03 1.500E+00 4.418E+00

Peak voltage measurements of input and output show an input of 1.5 volts and an output of 4.418 volts. This
gives us a voltage gain ratio of 2.9453 (4.418 V / 1.5 V), or 9.3827 dB.

Because the current gain of the common-emitter amplifier is fixed by β, and since the input and output
voltages will be equal to the input and output currents multiplied by their respective resistors, we can derive an
equation for approximate voltage gain:
As you can see, the predicted results for voltage gain are quite close to the simulated results. With perfectly
linear transistor behavior, the two sets of figures would exactly match. SPICE does a reasonable job of
accounting for the many "quirks" of bipolar transistor function in its analysis, hence the slight mismatch in
voltage gain based on SPICE's output.

These voltage gains remain the same regardless of where we measure output voltage in the circuit: across
collector and emitter, or across the series load resistor as we did in the last analysis. The amount of output
voltage change for any given amount of input voltage will remain the same. Consider the two following SPICE
analyses as proof of this. The first simulation is time-based, to provide a plot of input and output voltages. You
will notice that the two signals are 180o out of phase with each other. The second simulation is an AC analysis,
to provide simple, peak voltage readings for input and output:

common-emitter amplifier
vinput 1 5 sin (0 1.5 2000 0 0)
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 30
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.74m
.plot tran v(1,0) v(3,0)
.end

legend:
*: v(1)
+: v(3)
v(1)
(*)-- 0.000E+00 1.000E+00 2.000E+00 3.000E+00 4.000E+00
(+)-- 0.000E+00 5.000E+00 1.000E+01 1.500E+01 2.000E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.300E+00 . . . + * . .
2.673E+00 . . +. * . .
3.020E+00 . . + . * .
3.324E+00 . . + . . * .
3.564E+00 . . + . . * .
3.720E+00 . . + . . * .
3.793E+00 . . + . . * .
3.770E+00 . . + . . * .
 3.651E+00 . . + . . * .
3.454E+00 . . + . . * .
3.179E+00 . . + . . * .
2.850E+00 . . + . * . .
2.488E+00 . . .+ * . .
2.113E+00 . . . * + . .
1.750E+00 . . * . + . .
1.418E+00 . . * . + . .
1.149E+00 . . * . + . .
9.477E-01 . *. . +. .
8.277E-01 . * . . + .
8.091E-01 . * . . + .
8.781E-01 . * . . +. .
1.035E+00 . * . + . .
1.278E+00 . . * . + . .
1.579E+00 . . * . + . .
1.928E+00 . . *. + . .
2.300E+00 . . . + * . .
2.672E+00 . . +. * . .
3.020E+00 . . + . * .
3.322E+00 . . + . . * .
3.565E+00 . . + . . * .
3.722E+00 . . + . . * .
3.791E+00 . . + . . * .
3.773E+00 . . + . . * .
3.652E+00 . . + . . * .
3.451E+00 . . + . . * .
3.181E+00 . . + . . * .
2.850E+00 . . + . * . .
2.488E+00 . . .+ * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

common-emitter amplifier
vinput 1 5 ac 1.5
vbias 5 0 dc 2.3
r1 1 2 1k
q1 3 2 0 mod1
rspkr 3 4 30
v1 4 0 dc 15
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(3,0)
.end

freq v(1) v(3)

2.000E+03 1.500E+00 4.418E+00

We still have a peak output voltage of 4.418 volts with a peak input voltage of 1.5 volts. The only difference
from the last set of simulations is the phase of the output voltage.

So far, the example circuits shown in this section have all used NPN transistors. PNP transistors are just as
valid to use as NPN in any amplifier configuration, so long as the proper polarity and current directions are
maintained, and the common-emitter amplifier is no exception. The inverting behavior and gain properties of a
PNP transistor amplifier are the same as its NPN counterpart, just the polarities are different:
 • REVIEW:
• Common-emitter transistor amplifiers are so-called because the input and output voltage points share
the emitter lead of the transistor in common with each other, not considering any power supplies.
• Transistors are essentially DC devices: they cannot directly handle voltages or currents that reverse
direction. In order to make them work for amplifying AC signals, the input signal must be offset with a
DC voltage to keep the transistor in its active mode throughout the entire cycle of the wave. This is
called biasing.
• If the output voltage is measured between emitter and collector on a common-emitter amplifier, it will
be 180o out of phase with the input voltage waveform. For this reason, the common-emitter amplifier
is called an inverting amplifier circuit.
• The current gain of a common-emitter transistor amplifier with the load connected in series with the
collector is equal to β. The voltage gain of a common-emitter transistor amplifier is approximately
given here:

•
• Where "Rout" is the resistor connected in series with the collector and "Rin" is the resistor connected in
series with the base.

The common-collector amplifier

Our next transistor configuration to study is a bit simpler in terms of gain calculations. Called the common-
collector configuration, its schematic diagram looks like this:
It is called the common-collector configuration because (ignoring the power supply battery) both the signal
source and the load share the collector lead as a common connection point:

It should be apparent that the load resistor in the common-collector amplifier circuit receives both the base
and collector currents, being placed in series with the emitter. Since the emitter lead of a transistor is the one
handling the most current (the sum of base and collector currents, since base and collector currents always
mesh together to form the emitter current), it would be reasonable to presume that this amplifier will have a
very large current gain (maximum output current for minimum input current). This presumption is indeed
correct: the current gain for a common-collector amplifier is quite large, larger than any other transistor
amplifier configuration. However, this is not necessarily what sets it apart from other amplifier designs.

Let's proceed immediately to a SPICE analysis of this amplifier circuit, and you will be able to immediately see
what is unique about this amplifier:

common-collector amplifier
vin 1 0
q1 2 1 3 mod1
v1 2 0 dc 15
rload 3 0 5k
.model mod1 npn
.dc vin 0 5 0.2
.plot dc v(3,0)
.end

type npn
is 1.00E-16
bf 100.000
nf 1.000
br 1.000
nr 1.000

vin v(3) 0.000E+00 2.000E+00 4.000E+00 6.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 7.500E-08 * . . .
2.000E-01 7.501E-08 * . . .
4.000E-01 2.704E-06 * . . .
6.000E-01 4.954E-03 * . . .
8.000E-01 1.221E-01 .* . . .
1.000E+00 2.989E-01 . * . . .
1.200E+00 4.863E-01 . * . . .
1.400E+00 6.777E-01 . * . . .
1.600E+00 8.712E-01 . * . . .
1.800E+00 1.066E+00 . * . . .
2.000E+00 1.262E+00 . * . . .
2.200E+00 1.458E+00 . * . . .
2.400E+00 1.655E+00 . * . . .
2.600E+00 1.852E+00 . *. . .
2.800E+00 2.049E+00 . * . .
3.000E+00 2.247E+00 . . * . .
3.200E+00 2.445E+00 . . * . .
3.400E+00 2.643E+00 . . * . .
3.600E+00 2.841E+00 . . * . .
3.800E+00 3.039E+00 . . * . .
4.000E+00 3.237E+00 . . * . .
4.200E+00 3.436E+00 . . * . .
4.400E+00 3.634E+00 . . * . .
4.600E+00 3.833E+00 . . *. .
4.800E+00 4.032E+00 . . * .
5.000E+00 4.230E+00 . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Unlike the common-emitter amplifier from the previous section, the common-collector produces an output
voltage in direct rather than inverse proportion to the rising input voltage. As the input voltage increases, so
does the output voltage. More than that, a close examination reveals that the output voltage is nearly identical
to the input voltage, lagging behind only about 0.77 volts.

This is the unique quality of the common-collector amplifier: an output voltage that is nearly equal to the input
voltage. Examined from the perspective of output voltage change for a given amount of input voltage change,
this amplifier has a voltage gain of almost exactly unity (1), or 0 dB. This holds true for transistors of any β
value, and for load resistors of any resistance value.

It is simple to understand why the output voltage of a common-collector amplifier is always nearly equal to the
input voltage. Referring back to the diode-regulating diode transistor model, we see that the base current must
go through the base-emitter PN junction, which is equivalent to a normal rectifying diode. So long as this
junction is forward-biased (the transistor conducting current in either its active or saturated modes), it will
have a voltage drop of approximately 0.7 volts, assuming silicon construction. This 0.7 volt drop is largely
irrespective of the actual magnitude of base current, so we can regard it as being constant:

Given the voltage polarities across the base-emitter PN junction and the load resistor, we see that they must
add together to equal the input voltage, in accordance with Kirchhoff's Voltage Law. In other words, the load
voltage will always be about 0.7 volts less than the input voltage for all conditions where the transistor is
conducting. Cutoff occurs at input voltages below 0.7 volts, and saturation at input voltages in excess of
battery (supply) voltage plus 0.7 volts.

Because of this behavior, the common-collector amplifier circuit is also known as the voltage-follower or
emitter-follower amplifier, in reference to the fact that the input and load voltages follow each other so closely.

Applying the common-collector circuit to the amplification of AC signals requires the same input "biasing" used
in the common-emitter circuit: a DC voltage must be added to the AC input signal to keep the transistor in its
active mode during the entire cycle. When this is done, the result is a non-inverting amplifier:

common-collector amplifier
vin 1 4 sin(0 1.5 2000 0 0)
vbias 4 0 dc 2.3
q1 2 1 3 mod1
v1 2 0 dc 15
rload 3 0 5k
.model mod1 npn
.tran .02m .78m
.plot tran v(1,0) v(3,0)
.end

legend:
*: v(1)
+: v(3)
v(1) 0.000E+00 1.000E+00 2.000E+00 3.000E+00 4.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.300E+00 . . + . * . .
2.673E+00 . . +. * . .
3.020E+00 . . . + * .
3.322E+00 . . . + . * .
3.563E+00 . . . + . * .
3.723E+00 . . . +. * .
3.790E+00 . . . + * .
3.767E+00 . . . + * .
3.657E+00 . . . +. * .
3.452E+00 . . . + . * .
3.177E+00 . . . + . * .
2.850E+00 . . .+ * . .
2.488E+00 . . + . * . .
2.113E+00 . . + . * . .
1.750E+00 . + * . . .
1.419E+00 . + . * . . .
1.148E+00 . + . * . . .
9.493E-01 . + *. . . .
8.311E-01 .+ * . . . .
8.050E-01 .+ * . . . .
8.797E-01 . + * . . . .
1.039E+00 . + .* . . .
1.275E+00 . + . * . . .
1.579E+00 . + . * . . .
1.929E+00 . . + *. . .
2.300E+00 . . + . * . .
2.673E+00 . . +. * . .
3.019E+00 . . . + * .
3.322E+00 . . . + . * .
3.564E+00 . . . + . * .
3.722E+00 . . . +. * .
3.790E+00 . . . + * .
3.768E+00 . . . + * .
3.657E+00 . . . +. * .
3.451E+00 . . . + . * .
3.178E+00 . . . + . * .
2.851E+00 . . .+ * . .
2.488E+00 . . + . * . .
2.113E+00 . . + . * . .
1.748E+00 . + * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Here's another view of the circuit, this time with oscilloscopes connected to several points of interest:
Since this amplifier configuration doesn't provide any voltage gain (in fact, in practice it actually has a voltage
gain of slightly less than 1), its only amplifying factor is current. The common-emitter amplifier configuration
examined in the previous section had a current gain equal to the β of the transistor, being that the input
current went through the base and the output (load) current went through the collector, and β by definition is
the ratio between the collector and emitter currents. In the common-collector configuration, though, the load is
situated in series with the emitter, and thus its current is equal to the emitter current. With the emitter
carrying collector current and base current, the load in this type of amplifier has all the current of the collector
running through it plus the input current of the base. This yields a current gain of β plus 1:

Once again, PNP transistors are just as valid to use in the common-collector configuration as NPN transistors.
The gain calculations are all the same, as is the non-inverting behavior of the amplifier. The only difference is
in voltage polarities and current directions:
A popular application of the common-collector amplifier is for regulated DC power supplies, where an
unregulated (varying) source of DC voltage is clipped at a specified level to supply regulated (steady) voltage
to a load. Of course, zener diodes already provide this function of voltage regulation:

However, when used in this direct fashion, the amount of current that may be supplied to the load is usually
quite limited. In essence, this circuit regulates voltage across the load by keeping current through the series
resistor at a high enough level to drop all the excess power source voltage across it, the zener diode drawing
more or less current as necessary to keep the voltage across itself steady. For high-current loads, an plain
zener diode voltage regulator would have to be capable of shunting a lot of current through the diode in order
to be effective at regulating load voltage in the event of large load resistance or voltage source changes.

One popular way to increase the current-handling ability of a regulator circuit like this is to use a common-
collector transistor to amplify current to the load, so that the zener diode circuit only has to handle the amount
of current necessary to drive the base of the transistor:
There's really only one caveat to this approach: the load voltage will be approximately 0.7 volts less than the
zener diode voltage, due to the transistor's 0.7 volt base-emitter drop. However, since this 0.7 volt difference
is fairly constant over a wide range of load currents, a zener diode with a 0.7 volt higher rating can be chosen
for the application.

Sometimes the high current gain of a single-transistor, common-collector configuration isn't enough for a
particular application. If this is the case, multiple transistors may be staged together in a popular configuration
known as a Darlington pair, just an extension of the common-collector concept:

Darlington pairs essentially place one transistor as the common-collector load for another transistor, thus
multiplying their individual current gains. Base current through the upper-left transistor is amplified through
that transistor's emitter, which is directly connected to the base of the lower-right transistor, where the current
is again amplified. The overall current gain is as follows:

Voltage gain is still nearly equal to 1 if the entire assembly is connected to a load in common-collector fashion,
although the load voltage will be a full 1.4 volts less than the input voltage:
Darlington pairs may be purchased as discrete units (two transistors in the same package), or may be built up
from a pair of individual transistors. Of course, if even more current gain is desired than what may be obtained
with a pair, Darlington triplet or quadruplet assemblies may be constructed.

• REVIEW:
• Common-collector transistor amplifiers are so-called because the input and output voltage points
share the collector lead of the transistor in common with each other, not considering any power
supplies.
• The output voltage on a common-collector amplifier will be in phase with the input voltage, making
the common-collector a non-inverting amplifier circuit.
• The current gain of a common-collector amplifier is equal to β plus 1. The voltage gain is
approximately equal to 1 (in practice, just a little bit less).
• A Darlington pair is a pair of transistors "piggybacked" on one another so that the emitter of one feeds
current to the base of the other in common-collector form. The result is an overall current gain equal
to the product (multiplication) of their individual common-collector current gains (β plus 1).

The common-base amplifier

The final transistor amplifier configuration we need to study is the common-base. This configuration is more
complex than the other two, and is less common due to its strange operating characteristics.
It is called the common-base configuration because (DC power source aside), the signal source and the load
share the base of the transistor as a common connection point:

Perhaps the most striking characteristic of this configuration is that the input signal source must carry the full
emitter current of the transistor, as indicated by the heavy arrows in the first illustration. As we know, the
emitter current is greater than any other current in the transistor, being the sum of base and collector
currents. In the last two amplifier configurations, the signal source was connected to the base lead of the
transistor, thus handling the least current possible.

Because the input current exceeds all other currents in the circuit, including the output current, the current
gain of this amplifier is actually less than 1 (notice how Rload is connected to the collector, thus carrying slightly
less current than the signal source). In other words, it attenuates current rather than amplifying it. With
common-emitter and common-collector amplifier configurations, the transistor parameter most closely
associated with gain was β. In the common-base circuit, we follow another basic transistor parameter: the
ratio between collector current and emitter current, which is a fraction always less than 1. This fractional value
for any transistor is called the alpha ratio, or α ratio.

Since it obviously can't boost signal current, it only seems reasonable to expect it to boost signal voltage. A
SPICE simulation will vindicate that assumption:
common-base amplifier
vin 0 1
r1 1 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.dc vin 0.6 1.2 .02
.plot dc v(3,4)
.end

v(3,4) 0.000E+00 5.000E+00 1.000E+01 1.500E+01 2.000E+01

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
5.913E-03 * . . . .
1.274E-02 * . . . .
2.730E-02 * . . . .
5.776E-02 * . . . .
1.193E-01 * . . . .
2.358E-01 .* . . . .
4.370E-01 .* . . . .
7.447E-01 . * . . . .
1.163E+00 . * . . . .
1.682E+00 . * . . . .
2.281E+00 . * . . . .
2.945E+00 . * . . . .
3.657E+00 . * . . . .
4.408E+00 . * . . . .
5.189E+00 . .* . . .
5.995E+00 . . * . . .
6.820E+00 . . * . . .
7.661E+00 . . * . . .
8.516E+00 . . * . . .
9.382E+00 . . * . . .
1.026E+01 . . .* . .
1.114E+01 . . . * . .
1.203E+01 . . . * . .
1.293E+01 . . . * . .
1.384E+01 . . . * . .
1.474E+01 . . . *. .
1.563E+01 . . . . * .
1.573E+01 . . . . * .
1.575E+01 . . . . * .
1.576E+01 . . . . * .
1.576E+01 . . . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Notice how in this simulation the output voltage goes from practically nothing (cutoff) to 15.75 volts
(saturation) with the input voltage being swept over a range of 0.6 volts to 1.2 volts. In fact, the output
voltage plot doesn't show a rise until about 0.7 volts at the input, and cuts off (flattens) at about 1.12 volts
input. This represents a rather large voltage gain with an output voltage span of 15.75 volts and an input
voltage span of only 0.42 volts: a gain ratio of 37.5, or 31.48 dB. Notice also how the output voltage
(measured across Rload) actually exceeds the power supply (15 volts) at saturation, due to the series-aiding
effect of the the input voltage source.

A second set of SPICE analyses with an AC signal source (and DC bias voltage) tells the same story: a high
voltage gain.

common-base amplifier
vin 0 1 sin (0 0.12 2000 0 0)
vbias 1 5 dc 0.95
r1 5 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) v(4,3)
.end

legend:

*: v(1)
+: v(4,3)

v(1)
(*)-- -2.000E-01 -1.000E-01 0.000E+00 1.000E-01 2.000E-01
(+)-- -1.500E+01 -1.000E+01 -5.000E+00 0.000E+00 5.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 . . + * . .
-2.984E-02 . . + * . . .
-5.757E-02 . + . * . . .
-8.176E-02 . + . * . . .
-1.011E-01 . + * . . .
-1.139E-01 . + * . . . .
-1.192E-01 . + * . . . .
-1.174E-01 . + * . . . .
-1.085E-01 . + *. . . .
-9.213E-02 . + .* . . .
-7.020E-02 . + . * . . .
-4.404E-02 . + * . . .
-1.502E-02 . . + * . . .
1.496E-02 . . + . * . .
4.400E-02 . . + . * . .
7.048E-02 . . + * . .
9.214E-02 . . . + *. .
1.081E-01 . . . + .* .
1.175E-01 . . . + . * .
1.196E-01 . . . + . * .
1.136E-01 . . . + . * .
1.009E-01 . . . + * .
8.203E-02 . . .+ * . .
5.764E-02 . . + . * . .
2.970E-02 . . + . * . .
-1.440E-05 . . + * . .
-2.981E-02 . . + * . . .
-5.755E-02 . + . * . . .
-8.178E-02 . + . * . . .
-1.011E-01 . + * . . .
-1.138E-01 . + * . . . .
-1.192E-01 . + * . . . .
-1.174E-01 . + * . . . .
-1.085E-01 . + *. . . .
-9.209E-02 . + .* . . .
-7.020E-02 . + . * . . .
-4.407E-02 . + * . . .
-1.502E-02 . . + * . . .
1.496E-02 . . + . * . .
4.417E-02 . . + . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As you can see, the input and output waveforms are in phase with each other. This tells us that the common-
base amplifier is non-inverting.

common-base amplifier
vin 0 1 ac 0.12
vbias 1 5 dc 0.95
r1 5 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(3,4)
.end
freq v(1) v(3,4)
2.000E+03 1.200E-01 5.129E+00

Voltage figures from the second analysis (AC mode) show a voltage gain of 42.742 (5.129 V / 0.12 V), or
32.617 dB:

Here's another view of the circuit, showing the phase relations and DC offsets of various signals in the circuit
just simulated:

. . . and for a PNP transistor:

Predicting voltage gain for the common-base amplifier configuration is quite difficult, and involves
approximations of transistor behavior that are difficult to measure directly. Unlike the other amplifier
configurations, where voltage gain was either set by the ratio of two resistors (common-emitter), or fixed at an
unchangeable value (common-collector), the voltage gain of the common-base amplifier depends largely on
the amount of DC bias on the input signal. As it turns out, the internal transistor resistance between emitter
and base plays a major role in determining voltage gain, and this resistance changes with different levels of
current through the emitter.

While this phenomenon is difficult to explain, it is rather easy to demonstrate through the use of computer
simulation. What I'm going to do here is run several SPICE simulations on a common-base amplifier circuit,
changing the DC bias voltage slightly while keeping the AC signal amplitude and all other circuit parameters
constant. As the voltage gain changes from one simulation to another, different output voltage amplitudes will
be noticed as a result.

Although these analyses will all be conducted in the AC mode, they were first "proofed" in the transient
analysis mode (voltage plotted over time) to ensure that the entire wave was being faithfully reproduced and
not "clipped" due to improper biasing. No meaningful calculations of gain can be based on waveforms that are
distorted:

common-base amplifier DC bias = 0.85 volts

vin 0 1 ac 0.08
vbias 1 5 dc 0.85
r1 5 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(3,4)
.end

freq v(1) v(3,4)

2.000E+03 8.000E-02 3.005E+00

common-base amplifier dc bias = 0.9 volts

vin 0 1 ac 0.08
vbias 1 5 dc 0.90
r1 5 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(3,4)
.end

freq v(1) v(3,4)

2.000E+03 8.000E-02 3.264E+00

common-base amplifier dc bias = 0.95 volts

vin 0 1 ac 0.08
vbias 1 5 dc 0.95
r1 5 2 100
q1 4 0 2 mod1
v1 3 0 dc 15
rload 3 4 5k
.model mod1 npn
.ac lin 1 2000 2000
.print ac v(1,0) v(3,4)
.end

freq v(1) v(3,4)

2.000E+03 8.000E-02 3.419E+00

A trend should be evident here: with increases in DC bias voltage, voltage gain increases as well. We can see
that the voltage gain is increasing because each subsequent simulation produces greater output voltage for the
exact same input signal voltage (0.08 volts). As you can see, the changes are quite large, and they are caused
by miniscule variations in bias voltage!

The combination of very low current gain (always less than 1) and somewhat unpredictable voltage gain
conspire against the common-base design, relegating it to few practical applications.

• REVIEW:
• Common-base transistor amplifiers are so-called because the input and output voltage points share
the base lead of the transistor in common with each other, not considering any power supplies.
• The current gain of a common-base amplifier is always less than 1. The voltage gain is a function of
input and output resistances, and also the internal resistance of the emitter-base junction, which is
subject to change with variations in DC bias voltage. Suffice to say that the voltage gain of a
common-base amplifier can be very high.
• The ratio of a transistor's collector current to emitter current is called α. The α value for any transistor
is always less than unity, or in other words, less than 1.
Biasing techniques

In the common-emitter section of this chapter, we saw a SPICE analysis where the output waveform resembled
a half-wave rectified shape: only half of the input waveform was reproduced, with the other half being
completely cut off. Since our purpose at that time was to reproduce the entire waveshape, this constituted a
problem. The solution to this problem was to add a small bias voltage to the amplifier input so that the
transistor stayed in active mode throughout the entire wave cycle. This addition was called a bias voltage.

There are applications, though, where a half-wave output is not problematic. In fact, some applications may
necessitate this very type of amplification. Because it is possible to operate an amplifier in modes other than
full-wave reproduction, and because there are specific applications requiring different ranges of reproduction, it
is useful to describe the degree to which an amplifier reproduces the input waveform by designating it
according to class. Amplifier class operation is categorized by means of alphabetical letters: A, B, C, and AB.

Class A operation is where the entire input waveform is faithfully reproduced. Although I didn't introduce this
concept back in the common-emitter section, this is what we were hoping to attain in our simulations. Class A
operation can only be obtained when the transistor spends its entire time in the active mode, never reaching
either cutoff or saturation. To achieve this, sufficient DC bias voltage is usually set at the level necessary to
drive the transistor exactly halfway between cutoff and saturation. This way, the AC input signal will be
perfectly "centered" between the amplifier's high and low signal limit levels.

Class B operation is what we had the first time an AC signal was applied to the common-emitter amplifier with
no DC bias voltage. The transistor spent half its time in active mode and the other half in cutoff with the input
voltage too low (or even of the wrong polarity!) to forward-bias its base-emitter junction.
By itself, an amplifier operating in class B mode is not very useful. In most circumstances, the severe distortion
introduced into the waveshape by eliminating half of it would be unacceptable. However, class B operation is a
useful mode of biasing if two amplifiers are operated as a push-pull pair, each amplifier handling only half of
the waveform at a time:

Transistor Q1 "pushes" (drives the output voltage in a positive direction with respect to ground), while
transistor Q2 "pulls" the output voltage (in a negative direction, toward 0 volts with respect to ground).
Individually, each of these transistors is operating in class B mode, active only for one-half of the input
waveform cycle. Together, however, they function as a team to produce an output waveform identical in shape
to the input waveform.

A decided advantage of the class B (push-pull) amplifier design over the class A design is greater output power
capability. With a class A design, the transistor dissipates a lot of energy in the form of heat because it never
stops conducting current. At all points in the wave cycle it is in the active (conducting) mode, conducting
substantial current and dropping substantial voltage. This means there is substantial power dissipated by the
transistor throughout the cycle. In a class B design, each transistor spends half the time in cutoff mode, where
it dissipates zero power (zero current = zero power dissipation). This gives each transistor a time to "rest" and
cool while the other transistor carries the burden of the load. Class A amplifiers are simpler in design, but tend
to be limited to low-power signal applications for the simple reason of transistor heat dissipation.

There is another class of amplifier operation known as class AB, which is somewhere between class A and class
B: the transistor spends more than 50% but less than 100% of the time conducting current.

If the input signal bias for an amplifier is slightly negative (opposite of the bias polarity for class A operation),
the output waveform will be further "clipped" than it was with class B biasing, resulting in an operation where
the transistor spends the majority of the time in cutoff mode:

At first, this scheme may seem utterly pointless. After all, how useful could an amplifier be if it clips the
waveform as badly as this? If the output is used directly with no conditioning of any kind, it would indeed be of
questionable utility. However, with the application of a tank circuit (parallel resonant inductor-capacitor
combination) to the output, the occasional output surge produced by the amplifier can set in motion a higher-
frequency oscillation maintained by the tank circuit. This may be likened to a machine where a heavy flywheel
is given an occasional "kick" to keep it spinning:
Called class C operation, this scheme also enjoys high power efficiency due to the fact that the transistor(s)
spend the vast majority of time in the cutoff mode, where they dissipate zero power. The rate of output
waveform decay (decreasing oscillation amplitude between "kicks" from the amplifier) is exaggerated here for
the benefit of illustration. Because of the tuned tank circuit on the output, this type of circuit is usable only for
amplifying signals of definite, fixed frequency.

Another type of amplifier operation, significantly different from Class A, B, AB, or C, is called Class D. It is not
obtained by applying a specific measure of bias voltage as are the other classes of operation, but requires a
radical re-design of the amplifier circuit itself. It's a little too early in this chapter to investigate exactly how a
class D amplifier is built, but not too early to discuss its basic principle of operation.

A class D amplifier reproduces the profile of the input voltage waveform by generating a rapidly-pulsing
squarewave output. The duty cycle of this output waveform (time "on" versus total cycle time) varies with the
instantaneous amplitude of the input signal. The following plots demonstrate this principle:

The greater the instantaneous voltage of the input signal, the greater the duty cycle of the output squarewave
pulse. If there can be any goal stated of the class D design, it is to avoid active-mode transistor operation.
Since the output transistor of a class D amplifier is never in the active mode, only cutoff or saturated, there will
be little heat energy dissipated by it. This results in very high power efficiency for the amplifier. Of course, the
disadvantage of this strategy is the overwhelming presence of harmonics on the output. Fortunately, since
these harmonic frequencies are typically much greater than the frequency of the input signal, they can be
filtered out by a low-pass filter with relative ease, resulting in an output more closely resembling the original
input signal waveform. Class D technology is typically seen where extremely high power levels and relatively
low frequencies are encountered, such as in industrial inverters (devices converting DC into AC power to run
motors and other large devices) and high-performance audio amplifiers.

A term you will likely come across in your studies of electronics is something called quiescent, which is a
modifier designating the normal, or zero input signal, condition of a circuit. Quiescent current, for example, is
the amount of current in a circuit with zero input signal voltage applied. Bias voltage in a transistor circuit
forces the transistor to operate at a different level of collector current with zero input signal voltage than it
would without that bias voltage. Therefore, the amount of bias in an amplifier circuit determines its quiescent
values.

In a class A amplifier, the quiescent current should be exactly half of its saturation value (halfway between
saturation and cutoff, cutoff by definition being zero). Class B and class C amplifiers have quiescent current
values of zero, since they are supposed to be cutoff with no signal applied. Class AB amplifiers have very low
quiescent current values, just above cutoff. To illustrate this graphically, a "load line" is sometimes plotted over
a transistor's characteristic curves to illustrate its range of operation while connected to a load resistance of
specific value:
A load line is a plot of collector-to-emitter voltage over a range of base currents. At the lower-right corner of
the load line, voltage is at maximum and current is at zero, representing a condition of cutoff. At the upper-left
corner of the line, voltage is at zero while current is at a maximum, representing a condition of saturation.
Dots marking where the load line intersects the various transistor curves represent realistic operating
conditions for those base currents given.

Quiescent operating conditions may be shown on this type of graph in the form of a single dot along the load
line. For a class A amplifier, the quiescent point will be in the middle of the load line, like this:

In this illustration, the quiescent point happens to fall on the curve representing a base current of 40 µA. If we
were to change the load resistance in this circuit to a greater value, it would affect the slope of the load line,
since a greater load resistance would limit the maximum collector current at saturation, but would not change
the collector-emitter voltage at cutoff. Graphically, the result is a load line with a different upper-left point and
the same lower-right point:
Note how the new load line doesn't intercept the 75 µA curve along its flat portion as before. This is very
important to realize because the non-horizontal portion of a characteristic curve represents a condition of
saturation. Having the load line intercept the 75 µA curve outside of the curve's horizontal range means that
the amplifier will be saturated at that amount of base current. Increasing the load resistor value is what caused
the load line to intercept the 75 µA curve at this new point, and it indicates that saturation will occur at a lesser
value of base current than before.

With the old, lower-value load resistor in the circuit, a base current of 75 µA would yield a proportional
collector current (base current multiplied by β). In the first load line graph, a base current of 75 µA gave a
collector current almost twice what was obtained at 40 µA, as the β ratio would predict. Now, however, there is
only a marginal increase in collector current between base current values of 75 µA and 40 µA, because the
transistor begins to lose sufficient collector-emitter voltage to continue to regulate collector current.

In order to maintain linear (no-distortion) operation, transistor amplifiers shouldn't be operated at points
where the transistor will saturate; that is, in any case where the load line will not potentially fall on the
horizontal portion of a collector current curve. In this case, we'd have to add a few more curves to the graph
before we could tell just how far we could "push" this transistor with increased base currents before it
saturates.
It appears in this graph that the highest-current point on the load line falling on the straight portion of a curve
is the point on the 50 µA curve. This new point should be considered the maximum allowable input signal level
for class A operation. Also for class A operation, the bias should be set so that the quiescent point is halfway
between this new maximum point and cutoff:

Now that we know a little more about the consequences of different DC bias voltage levels, it is time to
investigate practical biasing techniques. So far, I've shown a small DC voltage source (battery) connected in
series with the AC input signal to bias the amplifier for whatever desired class of operation. In real life, the
connection of a precisely-calibrated battery to the input of an amplifier is simply not practical. Even if it were
possible to customize a battery to produce just the right amount of voltage for any given bias requirement,
that battery would not remain at its manufactured voltage indefinitely. Once it started to discharge and its
output voltage drooped, the amplifier would begin to drift in the direction of class B operation.

Take this circuit, illustrated in the common-emitter section for a SPICE simulation, for instance:
That 2.3 volt "Vbias" battery would not be practical to include in a real amplifier circuit. A far more practical
method of obtaining bias voltage for this amplifier would be to develop the necessary 2.3 volts using a voltage
divider network connected across the 15 volt battery. After all, the 15 volt battery is already there by
necessity, and voltage divider circuits are very easy to design and build. Let's see how this might look:

If we choose a pair of resistor values for R2 and R3 that will produce 2.3 volts across R3 from a total of 15 volts
(such as 8466 Ω for R2 and 1533 Ω for R3), we should have our desired value of 2.3 volts between base and
emitter for biasing with no signal input. The only problem is, this circuit configuration places the AC input
signal source directly in parallel with R3 of our voltage divider. This is not acceptable, as the AC source will tend
to overpower any DC voltage dropped across R3. Parallel components must have the same voltage, so if an AC
voltage source is directly connected across one resistor of a DC voltage divider, the AC source will "win" and
there will be no DC bias voltage added to the signal.

One way to make this scheme work, although it may not be obvious why it will work, is to place a coupling
capacitor between the AC voltage source and the voltage divider like this:
The capacitor forms a high-pass filter between the AC source and the DC voltage divider, passing almost all of
the AC signal voltage on to the transistor while blocking all DC voltage from being shorted through the AC
signal source. This makes much more sense if you understand the superposition theorem and how it works.
According to superposition, any linear, bilateral circuit can be analyzed in a piecemeal fashion by only
considering one power source at a time, then algebraically adding the effects of all power sources to find the
final result. If we were to separate the capacitor and R2--R3 voltage divider circuit from the rest of the
amplifier, it might be easier to understand how this superposition of AC and DC would work.

With only the AC signal source in effect, and a capacitor with an arbitrarily low impedance at signal frequency,
almost all the AC voltage appears across R3:

With only the DC source in effect, the capacitor appears to be an open circuit, and thus neither it nor the
shorted AC signal source will have any effect on the operation of the R2--R3 voltage divider:
Combining these two separate analyses, we get a superposition of (almost) 1.5 volts AC and 2.3 volts DC,
ready to be connected to the base of the transistor:

Enough talk -- it's about time for a SPICE simulation of the whole amplifier circuit. I'll use a capacitor value of
100 µF to obtain an arbitrarily low (0.796 Ω) impedance at 2000 Hz:

voltage divider biasing

vinput 1 0 sin (0 1.5 2000 0 0)
c1 1 5 100u
r1 5 2 1k
r2 4 5 8466
r3 5 0 1533
q1 3 2 0 mod1
rspkr 3 4 8
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) i(v1)
.end

legend:
*: v(1)
+: i(v1)
v(1)
(*)-- -2.000E+00 -1.000E+00 0.000E+00 1.000E+00 2.000E+00
(+)-- -3.000E-01 -2.000E-01 -1.000E-01 0.000E+00 1.000E-01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 . . * + . .
3.730E-01 . . + * . .
7.197E-01 . . + . * . .
1.022E+00 . . + . * .
1.263E+00 . . + . . * .
1.423E+00 . + . . * .
1.490E+00 . +. . . * .
1.467E+00 . +. . . * .
1.357E+00 . .+ . . * .
1.152E+00 . . + . . * .
8.774E-01 . . + . * . .
5.505E-01 . . + . * . .
1.878E-01 . . . x . .
-1.870E-01 . . * . + . .
-5.500E-01 . . * . + . .
-8.810E-01 . . * . + .
-1.152E+00 . * . . + .
-1.351E+00 . * . . + .
-1.469E+00 . * . . + .
-1.495E+00 . * . . + .
-1.420E+00 . * . . + .
-1.261E+00 . * . . + .
-1.025E+00 . * . + .
-7.205E-01 . . * . +. .
-3.713E-01 . . * . + . .
1.800E-04 . . * + . .
3.726E-01 . . + * . .
7.194E-01 . . + . * . .
1.022E+00 . . + . * .
1.264E+00 . . + . . * .
1.422E+00 . + . . * .
1.490E+00 . +. . . * .
1.468E+00 . +. . . * .
1.357E+00 . .+ . . * .
1.151E+00 . . + . . * .
8.775E-01 . . + . * . .
5.509E-01 . . + . * . .
1.877E-01 . . . x . .
-1.871E-01 . . * . + . .
-5.522E-01 . . * . + . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Notice that there is substantial distortion in the output waveform here: the sine wave is being clipped during
most of the input signal's negative half-cycle. This tells us the transistor is entering into cutoff mode when it
shouldn't (I'm assuming a goal of class A operation as before). Why is this? This new biasing technique should
give us exactly the same amount of DC bias voltage as before, right?

With the capacitor and R2--R3 resistor network unloaded, it will provide exactly 2.3 volts worth of DC bias.
However, once we connect this network to the transistor, it is no longer loaded. Current drawn through the
base of the transistor will load the voltage divider, thus reducing the DC bias voltage available for the
transistor. Using the diode-regulating diode transistor model to illustrate, the bias problem becomes evident:
A voltage divider's output depends not only on the size of its constituent resistors, but also on how much
current is being divided away from it through a load. In this case, the base-emitter PN junction of the
transistor is a load that decreases the DC voltage dropped across R3, due to the fact that the bias current joins
with R3's current to go through R2, upsetting the divider ratio formerly set by the resistance values of R2 and
R3. In order to obtain a DC bias voltage of 2.3 volts, the values of R2 and/or R3 must be adjusted to
compensate for the effect of base current loading. In this case, we want to increase the DC voltage dropped
across R3, so we can lower the value of R2, raise the value of R3, or both.

voltage divider biasing

vinput 1 0 sin (0 1.5 2000 0 0)
c1 1 5 100u
r1 5 2 1k
r2 4 5 6k <--- R2 decreased to 6 k ohms
r3 5 0 4k <--- R3 increased to 4 k ohms
q1 3 2 0 mod1
rspkr 3 4 8
v1 4 0 dc 15
.model mod1 npn
.tran 0.02m 0.78m
.plot tran v(1,0) i(v1)
.end

legend:
*: v(1)
+: i(v1)
v(1)
(*)-- -2.000E+00 -1.000E+00 0.000E+00 1.000E+00 2.000E+00
(+)-- -3.000E-01 -2.000E-01 -1.000E-01 0.000E+00 1.000E-01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 . . + * . .
3.730E-01 . . + . * . .
7.197E-01 . + . . * . .
1.022E+00 . + . . * .
1.263E+00 . + . . . * .
1.423E+00 .+ . . . * .
1.490E+00 + . . . * .
1.467E+00 + . . . * .
1.357E+00 . + . . . * .
1.152E+00 . + . . . * .
8.774E-01 . + . . * . .
5.505E-01 . +. . * . .
1.878E-01 . . + . * . .
-1.870E-01 . . + * . . .
-5.500E-01 . . * + . .
-8.810E-01 . . * . + . .
-1.152E+00 . * . . + . .
-1.351E+00 . * . . + . .
-1.469E+00 . * . . + . .
-1.495E+00 . * . . +. .
-1.420E+00 . * . . + . .
-1.261E+00 . * . . + . .
-1.025E+00 . * . + . .
-7.205E-01 . . * . + . .
-3.713E-01 . . * + . . .
1.800E-04 . . + * . .
3.726E-01 . . + . * . .
7.194E-01 . + . . * . .
1.022E+00 . + . . * .
1.264E+00 . + . . . * .
1.422E+00 .+ . . . * .
1.490E+00 + . . . * .
1.468E+00 + . . . * .
1.357E+00 . + . . . * .
1.151E+00 . + . . . * .
8.775E-01 . + . . * . .
5.509E-01 . +. . * . .
1.877E-01 . . + . * . .
-1.871E-01 . . + * . . .
-5.522E-01 . . * + . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As you can see, the new resistor values of 6 kΩ and 4 kΩ (R2 and R3, respectively) results in class A waveform
reproduction, just the way we wanted.

• REVIEW:
• Class A operation is where an amplifier is biased so as to be in the active mode throughout the entire
waveform cycle, thus faithfully reproducing the whole waveform.
• Class B operation is where an amplifier is biased so that only half of the input waveform gets
reproduced: either the positive half or the negative half. The transistor spends half its time in the
active mode and half its time cutoff. Complementary pairs of transistors running in class B operation
are often used to deliver high power amplification in audio signal systems, each transistor of the pair
handling a separate half of the waveform cycle. Class B operation delivers better power efficiency than
a class A amplifier of similar output power.
• Class AB operation is where an amplifier is biased at a point somewhere between class A and class B.
• Class C operation is where an amplifier's bias forces it to amplify only a small portion of the waveform.
A majority of the transistor's time is spent in cutoff mode. In order for there to be a complete
waveform at the output, a resonant tank circuit is often used as a "flywheel" to maintain oscillations
for a few cycles after each "kick" from the amplifier. Because the transistor is not conducting most of
the time, power efficiencies are very high for a class C amplifier.
• Class D operation requires an advanced circuit design, and functions on the principle of representing
instantaneous input signal amplitude by the duty cycle of a high-frequency squarewave. The output
transistor(s) never operate in active mode, only cutoff and saturation. Thus, there is very little heat
energy dissipated and energy efficiency is high.
• DC bias voltage on the input signal, necessary for certain classes of operation (especially class A and
class C), may be obtained through the use of a voltage divider and coupling capacitor rather than a
battery connected in series with the AC signal source.

Input and output coupling

To overcome the challenge of creating necessary DC bias voltage for an amplifier's input signal without
resorting to the insertion of a battery in series with the AC signal source, we used a voltage divider connected
across the DC power source. To make this work in conjunction with an AC input signal, we "coupled" the signal
source to the divider through a capacitor, which acted as a high-pass filter. With that filtering in place, the low
impedance of the AC signal source couldn't "short out" the DC voltage dropped across the bottom resistor of
the voltage divider. A simple solution, but not without any disadvantages.

Most obvious is the fact that using a high-pass filter capacitor to couple the signal source to the amplifier
means that the amplifier can only amplify AC signals. A steady, DC voltage applied to the input would be
blocked by the coupling capacitor just as much as the voltage divider bias voltage is blocked from the input
source. Furthermore, since capacitive reactance is frequency-dependent, lower-frequency AC signals will not be
amplified as much as higher-frequency signals. Non-sinusoidal signals will tend to be distorted, as the capacitor
responds differently to each of the signal's constituent harmonics. An extreme example of this would be a low-
frequency square-wave signal:

Incidentally, this same problem occurs when oscilloscope inputs are set to the "AC coupling" mode. In this
mode, a coupling capacitor is inserted in series with the measured voltage signal to eliminate any vertical
offset of the displayed waveform due to DC voltage combined with the signal. This works fine when the AC
component of the measured signal is of a fairly high frequency, and the capacitor offers little impedance to the
signal. However, if the signal is of a low frequency, and/or contains considerable levels of harmonics over a
wide frequency range, the oscilloscope's display of the waveform will not be accurate.
In applications where the limitations of capacitive coupling would be intolerable, another solution may be used:
direct coupling. Direct coupling avoids the use of capacitors or any other frequency-dependent coupling
component in favor of resistors. A direct-coupled amplifier circuit might look something like this:

With no capacitor to filter the input signal, this form of coupling exhibits no frequency dependence. DC and AC
signals alike will be amplified by the transistor with the same gain (the transistor itself may tend to amplify
some frequencies better than others, but that is another subject entirely!).

If direct coupling works for DC as well as for AC signals, then why use capacitive coupling for any application?
One reason might be to avoid any unwanted DC bias voltage naturally present in the signal to be amplified.
Some AC signals may be superimposed on an uncontrolled DC voltage right from the source, and an
uncontrolled DC voltage would make reliable transistor biasing impossible. The high-pass filtering offered by a
coupling capacitor would work well here to avoid biasing problems.
Another reason to use capacitive coupling rather than direct is its relative lack of signal attenuation. Direct
coupling through a resistor has the disadvantage of diminishing, or attenuating, the input signal so that only a
fraction of it reaches the base of the transistor. In many applications, some attenuation is necessary anyway to
prevent normal signal levels from "overdriving" the transistor into cutoff and saturation, so any attenuation
inherent to the coupling network is useful anyway. However, some applications require that there be no signal
loss from the input connection to the transistor's base for maximum voltage gain, and a direct coupling scheme
with a voltage divider for bias simply won't suffice.

So far, we've discussed a couple of methods for coupling an input signal to an amplifier, but haven't addressed
the issue of coupling an amplifier's output to a load. The example circuit used to illustrate input coupling will
serve well to illustrate the issues involved with output coupling.

In our example circuit, the load is a speaker. Most speakers are electromagnetic in design: that is, they use the
force generated by an lightweight electromagnet coil suspended within a strong permanent-magnet field to
move a thin paper or plastic cone, producing vibrations in the air which our ears interpret as sound. An applied
voltage of one polarity moves the cone outward, while a voltage of the opposite polarity will move the cone
inward. To exploit cone's full freedom of motion, the speaker must receive true (unbiased) AC voltage. DC bias
applied to the speaker coil tends to offset the cone from its natural center position, and this tends to limit the
amount of back-and-forth motion it can sustain from the applied AC voltage without overtraveling. However,
our example circuit applies a varying voltage of only one polarity across the speaker, because the speaker is
connected in series with the transistor which can only conduct current one way. This situation would be
unacceptable in the case of any high-power audio amplifier.

Somehow we need to isolate the speaker from the DC bias of the collector current so that it only receives AC
voltage. One way to achieve this goal is to couple the transistor collector circuit to the speaker through a
transformer:

Voltage induced in the secondary (speaker-side) of the transformer will be strictly due to variations in collector
current, because the mutual inductance of a transformer only works on changes in winding current. In other
words, only the AC portion of the collector current signal will be coupled to the secondary side for powering the
speaker. The speaker will "see" true alternating current at its terminals, without any DC bias.

Transformer output coupling works, and has the added benefit of being able to provide impedance matching
between the transistor circuit and the speaker coil with custom winding ratios. However, transformers tend to
be large and heavy, especially for high-power applications. Also, it is difficult to engineer a transformer to
handle signals over a wide range of frequencies, which is almost always required for audio applications. To
make matters worse, DC current through the primary winding adds to the magnetization of the core in one
polarity only, which tends to make the transformer core saturate more easily in one AC polarity cycle than the
other. This problem is reminiscent of having the speaker directly connected in series with the transistor: a DC
bias current tends to limit how much output signal amplitude the system can handle without distortion.
Generally, though, a transformer can be designed to handle a lot more DC bias current than a speaker without
running into trouble, so transformer coupling is still a viable solution in most cases.

Another method to isolate the speaker from DC bias in the output signal is to alter the circuit a bit and use a
coupling capacitor in a manner similar to coupling the input signal to the amplifier:

This circuit resembles the more conventional form of common-emitter amplifier, with the transistor collector
connected to the battery through a resistor. The capacitor acts as a high-pass filter, passing most of the AC
voltage to the speaker while blocking all DC voltage. Again, the value of this coupling capacitor is chosen so
that its impedance at the expected signal frequency will be arbitrarily low.

The blocking of DC voltage from an amplifier's output, be it via a transformer or a capacitor, is useful not only
in coupling an amplifier to a load, but also in coupling one amplifier to another amplifier. "Staged" amplifiers
are often used to achieve higher power gains than what would be possible using a single transistor:
While it is possible to directly couple each stage to the next (via a resistor rather than a capacitor), this makes
the whole amplifier very sensitive to variations in the DC bias voltage of the first stage, since that DC voltage
will be amplified along with the AC signal until the last stage. In other words, the biasing of the first stage will
affect the biasing of the second stage, and so on. However, if the stages are capacitively coupled as shown in
the above illustration, the biasing of one stage has no effect on the biasing of the next, because DC voltage is
blocked from passing on to the next stage.

Transformer coupling between amplifier stages is also a possibility, but less often seen due to some of the
problems inherent to transformers mentioned previously. One notable exception to this rule is in the case of
radio-frequency amplifiers where coupling transformers are typically small, have air cores (making them
immune to saturation effects), and can be made part of a resonant circuit so as to block unwanted harmonic
frequencies from passing on to subsequent stages. The use of resonant circuits assumes that the signal
frequency remains constant, of course, but this is typically the case in radio circuitry. Also, the "flywheel" effect
of LC tank circuits allows for class C operation for high efficiency:

Having said all this, it must be mentioned that it is possible to use direct coupling within a multi-stage
transistor amplifier circuit. In cases where the amplifier is expected to handle DC signals, this is the only
alternative.

• REVIEW:
• Capacitive coupling acts like a high-pass filter on the input of an amplifier. This tends to make the
amplifier's voltage gain decrease at lower signal frequencies. Capacitive-coupled amplifiers are all but
unresponsive to DC input signals.
• Direct coupling with a series resistor instead of a series capacitor avoids the problem of frequency-
dependent gain, but has the disadvantage of reducing amplifier gain for all signal frequencies by
attenuating the input signal.
• Transformers and capacitors may be used to couple the output of an amplifier to a load, to eliminate
DC voltage from getting to the load.
• Multi-stage amplifiers often make use of capacitive coupling between stages to eliminate problems
with the bias from one stage affecting the bias of another.

Feedback

If some percentage of an amplifier's output signal is connected to the input, so that the amplifier amplifies part
of its own output signal, we have what is known as feedback. Feedback comes in two varieties: positive (also
called regenerative), and negative (also called degenerative). Positive feedback reinforces the direction of an
amplifier's output voltage change, while negative feedback does just the opposite.

A familiar example of feedback happens in public-address ("PA") systems where someone holds the
microphone too close to a speaker: a high-pitched "whine" or "howl" ensues, because the audio amplifier
system is detecting and amplifying its own noise. Specifically, this is an example of positive or regenerative
feedback, as any sound detected by the microphone is amplified and turned into a louder sound by the
speaker, which is then detected by the microphone again, and so on . . . the result being a noise of steadily
increasing volume until the system becomes "saturated" and cannot produce any more volume.
One might wonder what possible benefit feedback is to an amplifier circuit, given such an annoying example as
PA system "howl." If we introduce positive, or regenerative, feedback into an amplifier circuit, it has the
tendency of creating and sustaining oscillations, the frequency of which determined by the values of
components handling the feedback signal from output to input. This is one way to make an oscillator circuit to
produce AC from a DC power supply. Oscillators are very useful circuits, and so feedback has a definite,
practical application for us.

Negative feedback, on the other hand, has a "dampening" effect on an amplifier: if the output signal happens
to increase in magnitude, the feedback signal introduces a decreasing influence into the input of the amplifier,
thus opposing the change in output signal. While positive feedback drives an amplifier circuit toward a point of
instability (oscillations), negative feedback drives it the opposite direction: toward a point of stability.

An amplifier circuit equipped with some amount of negative feedback is not only more stable, but it tends to
distort the input waveform to a lesser degree and is generally capable of amplifying a wider range of
frequencies. The tradeoff for these advantages (there just has to be a disadvantage to negative feedback,
right?) is decreased gain. If a portion of an amplifier's output signal is "fed back" to the input in such a way as
to oppose any changes in the output, it will require a greater input signal amplitude to drive the amplifier's
output to the same amplitude as before. This constitutes a decreased gain. However, the advantages of
stability, lower distortion, and greater bandwidth are worth the tradeoff in reduced gain for many applications.

Let's examine a simple amplifier circuit and see how we might introduce negative feedback into it:

The amplifier configuration shown here is a common-emitter, with a resistor bias network formed by R1 and R2.
The capacitor couples Vinput to the amplifier so that the signal source doesn't have a DC voltage imposed on it
by the R1/R2 divider network. Resistor R3 serves the purpose of controlling voltage gain. We could omit if for
maximum voltage gain, but since base resistors like this are common in common-emitter amplifier circuits,
we'll keep it in this schematic.

Like all common-emitter amplifiers, this one inverts the input signal as it is amplified. In other words, a
positive-going input voltage causes the output voltage to decrease, or go in the direction of negative, and visa-
versa. If we were to examine the waveforms with oscilloscopes, it would look something like this:
Because the output is an inverted, or mirror-image, reproduction of the input signal, any connection between
the output (collector) wire and the input (base) wire of the transistor will result in negative feedback:

The resistances of R1, R2, R3, and Rfeedback function together as a signal-mixing network so that the voltage seen
at the base of the transistor (in reference to ground) is a weighted average of the input voltage and the
feedback voltage, resulting in signal of reduced amplitude going into the transistor. As a result, the amplifier
circuit will have reduced voltage gain, but improved linearity (reduced distortion) and increased bandwidth.

A resistor connecting collector to base is not the only way to introduce negative feedback into this amplifier
circuit, though. Another method, although more difficult to understand at first, involves the placement of a
resistor between the transistor's emitter terminal and circuit ground, like this:
This new feedback resistor drops voltage proportional to the emitter current through the transistor, and it does
so in such a way as to oppose the input signal's influence on the base-emitter junction of the transistor. Let's
take a closer look at the emitter-base junction and see what difference this new resistor makes:

With no feedback resistor connecting the emitter to ground, whatever level of input signal (Vinput) makes it
through the coupling capacitor and R1/R2/R3 resistor network will be impressed directly across the base-emitter
junction as the transistor's input voltage (VB-E). In other words, with no feedback resistor, VB-E equals Vinput.
Therefore, if Vinput increases by 100 mV, then VB-E likewise increases by 100 mV: a change in one is the same
as a change in the other, since the two voltages are equal to each other.

Now let's consider the effects of inserting a resistor (Rfeedback) between the transistor's emitter lead and ground:
Note how the voltage dropped across Rfeedback adds with VB-E to equal Vinput. With Rfeedback in the Vinput -- VB-E loop,
VB-E will no longer be equal to Vinput. We know that Rfeedback will drop a voltage proportional to emitter current,
which is in turn controlled by the base current, which is in turn controlled by the voltage dropped across the
base-emitter junction of the transistor (VB-E). Thus, if Vinput were to increase in a positive direction, it would
increase VB-E, causing more base current, causing more collector (load) current, causing more emitter current,
and causing more feedback voltage to be dropped across Rfeedback. This increase of voltage drop across the
feedback resistor, though, subtracts from Vinput to reduce the VB-E, so that the actual voltage increase for VB-E
will be less than the voltage increase of Vinput. No longer will a 100 mV increase in Vinput result in a full 100 mV
increase for VB-E, because the two voltages are not equal to each other.

Consequently, the input voltage has less control over the transistor than before, and the voltage gain for the
amplifier is reduced: just what we expected from negative feedback.

In practical common-emitter circuits, negative feedback isn't just a luxury; it's a necessity for stable operation.
In a perfect world, we could build and operate a common-emitter transistor amplifier with no negative
feedback, and have the full amplitude of Vinput impressed across the transistor's base-emitter junction. This
would give us a large voltage gain. Unfortunately, though, the relationship between base-emitter voltage and
base-emitter current changes with temperature, as predicted by the "diode equation." As the transistor heats
up, there will be less of a forward voltage drop across the base-emitter junction for any given current. This
causes a problem for us, as the R1/R2 voltage divider network is designed to provide the correct quiescent
current through the base of the transistor so that it will operate in whatever class of operation we desire (in
this example, I've shown the amplifier working in class-A mode). If the transistor's voltage/current relationship
changes with temperature, the amount of DC bias voltage necessary for the desired class of operation will
change. In this case, a hot transistor will draw more bias current for the same amount of bias voltage, making
it heat up even more, drawing even more bias current. The result, if unchecked, is called thermal runaway.

Common-collector amplifiers, however, do not suffer from thermal runaway. Why is this? The answer has
everything to do with negative feedback:
Note that the common-collector amplifier has its load resistor placed in exactly the same spot as we had the
Rfeedback resistor in the last circuit: between emitter and ground. This means that the only voltage impressed
across the transistor's base-emitter junction is the difference between Vinput and Voutput, resulting in a very low
voltage gain (usually close to 1 for a common-collector amplifier). Thermal runaway is impossible for this
amplifier: if base current happens to increase due to transistor heating, emitter current will likewise increase,
dropping more voltage across the load, which in turn subtracts from Vinput to reduce the amount of voltage
dropped between base and emitter. In other words, the negative feedback afforded by placement of the load
resistor makes the problem of thermal runaway self-correcting. In exchange for a greatly reduced voltage gain,
we get superb stability and immunity from thermal runaway.

By adding a "feedback" resistor between emitter and ground in a common-emitter amplifier, we make the
amplifier behave a little less like an "ideal" common-emitter and a little more like a common-collector. The
feedback resistor value is typically quite a bit less than the load, minimizing the amount of negative feedback
and keeping the voltage gain fairly high.

Another benefit of negative feedback, seen clearly in the common-collector circuit, is that it tends to make the
voltage gain of the amplifier less dependent on the characteristics of the transistor. Note that in a common-
collector amplifier, voltage gain is nearly equal to unity (1), regardless of the transistor's β. This means, among
other things, that we could replace the transistor in a common-collector amplifier with one having a different β
and not see any significant changes in voltage gain. In a common-emitter circuit, the voltage gain is highly
dependent on β. If we were to replace the transistor in a common-emitter circuit with another of differing β,
the voltage gain for the amplifier would change significantly. In a common-emitter amplifier equipped with
negative feedback, the voltage gain will still be dependent upon transistor β to some degree, but not as much
as before, making the circuit more predictable despite variations in transistor β.

The fact that we have to introduce negative feedback into a common-emitter amplifier to avoid thermal
runaway is an unsatisfying solution. It would be nice, after all, to avoid thermal runaway without having to
suppress the amplifier's inherently high voltage gain. A best-of-both-worlds solution to this dilemma is
available to us if we closely examine the nature of the problem: the voltage gain that we have to minimize in
order to avoid thermal runaway is the DC voltage gain, not the AC voltage gain. After all, it isn't the AC input
signal that fuels thermal runaway: it's the DC bias voltage required for a certain class of operation: that
quiescent DC signal that we use to "trick" the transistor (fundamentally a DC device) into amplifying an AC
signal. We can suppress DC voltage gain in a common-emitter amplifier circuit without suppressing AC voltage
gain if we figure out a way to make the negative feedback function with DC only. That is, if we only feed back
an inverted DC signal from output to input, but not an inverted AC signal.

The Rfeedback emitter resistor provides negative feedback by dropping a voltage proportional to load current. In
other words, negative feedback is accomplished by inserting an impedance into the emitter current path. If we
want to feed back DC but not AC, we need an impedance that is high for DC but low for AC. What kind of
circuit presents a high impedance to DC but a low impedance to AC? A high-pass filter, of course!

By connecting a capacitor in parallel with the feedback resistor, we create the very situation we need: a path
from emitter to ground that is easier for AC than it is for DC:
The new capacitor "bypasses" AC from the transistor's emitter to ground, so that no appreciable AC voltage will
be dropped from emitter to ground to "feed back" to the input and suppress voltage gain. Direct current, on
the other hand, cannot go through the bypass capacitor, and so must travel through the feedback resistor,
dropping a DC voltage between emitter and ground which lowers the DC voltage gain and stabilizes the
amplifier's DC response, preventing thermal runaway. Because we want the reactance of this capacitor (XC) to
be as low as possible, Cbypass should be sized relatively large. Because the polarity across this capacitor will
never change, it is safe to use a polarized (electrolytic) capacitor for the task.

Another approach to the problem of negative feedback reducing voltage gain is to use multi-stage amplifiers
rather than single-transistor amplifiers. If the attenuated gain of a single transistor is insufficient for the task at
hand, we can use more than one transistor to make up for the reduction caused by feedback. Here is an
example circuit showing negative feedback in a three-stage common-emitter amplifier:

Note how there is but one "path" for feedback, from the final output to the input through a single resistor,
Rfeedback. Since each stage is a common-emitter amplifier -- and thus inverting in nature -- and there are an odd
number of stages from input to output, the output signal will be inverted with respect to the input signal, and
the feedback will be negative (degenerative). Relatively large amounts of feedback may be used without
sacrificing voltage gain, because the three amplifier stages provide so much gain to begin with.

At first, this design philosophy may seem inelegant and perhaps even counter-productive. Isn't this a rather
crude way to overcome the loss in gain incurred through the use of negative feedback, to simply recover gain
by adding stage after stage? What is the point of creating a huge voltage gain using three transistor stages if
we're just going to attenuate all that gain anyway with negative feedback? The point, though perhaps not
apparent at first, is increased predictability and stability from the circuit as a whole. If the three transistor
stages are designed to provide an arbitrarily high voltage gain (in the tens of thousands, or greater) with no
feedback, it will be found that the addition of negative feedback causes the overall voltage gain to become less
dependent of the individual stage gains, and approximately equal to the simple ratio Rfeedback/Rin. The more
voltage gain the circuit has (without feedback), the more closely the voltage gain will approximate Rfeedback/Rin
once feedback is established. In other words, voltage gain in this circuit is fixed by the values of two resistors,
and nothing more.

This advantage has profound impact on mass-production of electronic circuitry: if amplifiers of predictable gain
may be constructed using transistors of widely varied β values, it makes the selection and replacement of
components very easy and inexpensive. It also means the amplifier's gain varies little with changes in
temperature. This principle of stable gain control through a high-gain amplifier "tamed" by negative feedback is
elevated almost to an art form in electronic circuits called operational amplifiers, or op-amps. You may read
much more about these circuits in a later chapter of this book!

• REVIEW:
• Feedback is the coupling of an amplifier's output to its input.
• Positive, or regenerative feedback has the tendency of making an amplifier circuit unstable, so that it
produces oscillations (AC). The frequency of these oscillations is largely determined by the
components in the feedback network.
• Negative, or degenerative feedback has the tendency of making an amplifier circuit more stable, so
that its output changes less for a given input signal than without feedback. This reduces the gain of
the amplifier, but has the advantage of decreasing distortion and increasing bandwidth (the range of
frequencies the amplifier can handle).
 • Negative feedback may be introduced into a common-emitter circuit by coupling collector to base, or
by inserting a resistor between emitter and ground.
• An emitter-to-ground "feedback" resistor is usually found in common-emitter circuits as a
preventative measure against thermal runaway.
• Negative feedback also has the advantage of making amplifier voltage gain more dependent on
resistor values and less dependent on the transistor's characteristics.
• Common-collector amplifiers have a lot of negative feedback, due to the placement of the load
resistor between emitter and ground. This feedback accounts for the extremely stable voltage gain of
the amplifier, as well as its immunity against thermal runaway.
• Voltage gain for a common-emitter circuit may be re-established without sacrificing immunity to
thermal runaway, by connecting a bypass capacitor in parallel with the emitter "feedback resistor."
• If the voltage gain of an amplifier is arbitrarily high (tens of thousands, or greater), and negative
feedback is used to reduce the gain to reasonable levels, it will be found that the gain will
approximately equal Rfeedback/Rin. Changes in transistor β or other internal component values will have
comparatively little effect on voltage gain with feedback in operation, resulting in an amplifier that is
stable and easy to design.

Current mirrors

An interesting and often-used circuit applying the bipolar junction transistor is the so-called current mirror,
which serves as a simple current regulator, supplying nearly constant current to a load over a wide range of
load resistances.

We know that in a transistor operating in its active mode, collector current is equal to base current multiplied
by the ratio β. We also know that the ratio between collector current and emitter current is called α. Because
collector current is equal to base current multiplied by β, and emitter current is the sum of the base and
collector currents, α should be mathematically derivable from β. If you do the algebra, you'll find that α =
β/(β+1) for any transistor.

We've seen already how maintaining a constant base current through an active transistor results in the
regulation of collector current, according to the β ratio. Well, the α ratio works similarly: if emitter current is
held constant, collector current will remain at a stable, regulated value so long as the transistor has enough
collector-to-emitter voltage drop to maintain it in its active mode. Therefore, if we have a way of holding
emitter current constant through a transistor, the transistor will work to regulate collector current at a constant
value.

Remember that the base-emitter junction of a BJT is nothing more than a PN junction, just like a diode, and
that the "diode equation" specifies how much current will go through a PN junction given forward voltage drop
and junction temperature:
If both junction voltage and temperature are held constant, then the PN junction current will likewise be
constant. Following this rationale, if we were to hold the base-emitter voltage of a transistor constant, then its
emitter current should likewise be constant, given a constant temperature:

This constant emitter current, multiplied by a constant α ratio, gives a constant collector current through Rload,
provided that there is enough battery voltage to keep the transistor in its active mode for any change in Rload's
resistance.

Maintaining a constant voltage across the transistor's base-emitter junction is easy: use a forward-biased diode
to establish a constant voltage of approximately 0.7 volts, and connect it in parallel with the base-emitter
junction:
Now, here's where it gets interesting. The voltage dropped across the diode probably won't be 0.7 volts
exactly. The exact amount of forward voltage dropped across it depends on the current through the diode, and
the diode's temperature, all in accordance with the diode equation. If diode current is increased (say, by
reducing the resistance of Rbias), its voltage drop will increase slightly, increasing the voltage drop across the
transistor's base-emitter junction, which will increase the emitter current by the same proportion, assuming
the diode's PN junction and the transistor's base-emitter junction are well-matched to each other. In other
words, transistor emitter current will closely equal diode current at any given time. If you change the diode
current by changing the resistance value of Rbias, then the transistor's emitter current will follow suit, because
the emitter current is described by the same equation as the diode's, and both PN junctions experience the
same voltage drop.

Remember, the transistor's collector current is almost equal to its emitter current, as the α ratio of a typical
transistor is almost unity (1). If we have control over the transistor's emitter current by setting diode current
with a simple resistor adjustment, then we likewise have control over the transistor's collector current. In other
words, collector current mimics, or mirrors, diode current.

Current through resistor Rload is therefore a function of current set by the bias resistor, the two being nearly
equal. This is the function of the current mirror circuit: to regulate current through the load resistor by
conveniently adjusting the value of Rbias. It is very easy to create a set amount of diode current, as current
through the diode is described by a simple equation: power supply voltage minus diode voltage (almost a
constant value), divided by the resistance of Rbias.

To better match the characteristics of the two PN junctions (the diode junction and the transistor base-emitter
junction), a transistor may be used in place of a regular diode, like this:

Because temperature is a factor in the "diode equation," and we want the two PN junctions to behave
identically under all operating conditions, we should maintain the two transistors at exactly the same
temperature. This is easily done using discrete components by gluing the two transistor cases back-to-back. If
the transistors are manufactured together on a single chip of silicon (as a so-called integrated circuit, or IC),
the designers should locate the two transistors very close to one another to facilitate heat transfer between
them.

The current mirror circuit shown with two NPN transistors is sometimes called a current-sinking type, because
the regulating transistor conducts current to the load from ground ("sinking" current), rather than from the
positive side of the battery ("sourcing" current). If we wish to have a grounded load, and a current sourcing
mirror circuit, we could use PNP transistors like this:

• REVIEW:
• A current mirror is a transistor circuit that regulates current through a load resistance, the regulation
point being set by a simple resistor adjustment.
• Transistors in a current mirror circuit must be maintained at the same temperature for precise
operation. When using discrete transistors, you may glue their cases together to help accomplish this.
• Current mirror circuits may be found in two basic varieties: the current sinking configuration, where
the regulating transistor connects the load to ground; and the current sourcing configuration, where
the regulating transistor connects the load to the positive terminal of the DC power supply.

Transistor ratings and packages

*** INCOMPLETE ***

Like all electrical and electronic components, transistors are limited in the amounts of voltage and current they
can handle without sustaining damage. Since transistors are a bit more complex than some of the other
components you're used to seeing at this point, they tend to have more kinds of ratings. What follows is an
itemized description of some typical transistor ratings.

Power dissipation: When a transistor conducts current between collector and emitter, it also drops voltage
between those two points. At any given time, the power dissipated by a transistor is equal to the product
(multiplication) of collector current and collector-emitter voltage. Just like resistors, transistors are rated in
terms of how many watts they can safely dissipate without sustaining damage. High temperature is the mortal
enemy of all semiconductor devices, and bipolar transistors tend to be more susceptible to thermal damage
than most. Power ratings are always given in reference to the temperature of ambient (surrounding) air. When
transistors are to be used in hotter-than-normal environments, their power ratings must be derated to avoid a
shortened service life.

Reverse voltages: As with diodes, bipolar transistors are rated for maximum allowable reverse-bias voltage
across their PN junctions. This includes voltage ratings for the base-emitter junction, base-collector junction,
and also from collector to emitter. The rating for maximum collector-emitter voltage can be thought of in terms
of the maximum voltage it can withstand while in full-cutoff mode (no base current). This rating is of particular
importance when using a bipolar transistor as a switch.
Collector current: A maximum value for collector current will be given by the manufacturer in amps.
Understand that this maximum figure assumes a saturated state (minimum collector-emitter voltage drop). If
the transistor is not saturated, and in fact is dropping substantial voltage between collector and emitter, the
maximum power dissipation rating will probably be exceeded before the maximum collector current rating will.
Just something to keep in mind when designing a transistor circuit!

Saturation voltages: Ideally, a saturated transistor acts as a closed switch contact between collector and
emitter, dropping zero voltage at full collector current. In reality this is never true. Manufacturers will specify
the maximum voltage drop of a transistor at saturation, both between the collector and emitter, and also
between base and emitter (forward voltage drop of that PN junction). Collector-emitter voltage drop at
saturation is generally expected to be 0.3 volts or less, but this figure is of course dependent on the specific
type of transistor. Base-emitter forward voltage drop is very similar to that of an equivalent diode, which
should come as no surprise.

Beta: The ratio of collector current to base current, β is the fundamental parameter characterizing the
amplifying ability of a bipolar transistor. β is usually assumed to be a constant figure in circuit calculations, but
unfortunately this is far from true in practice. As such, manufacturers provide a set of β (or "hfe") figures for a
given transistor over a wide range of operating conditions, usually in the form of maximum/minimum/typical
ratings. It may surprise you to see just how widely β can be expected to vary within normal operating limits.
One popular small-signal transistor, the 2N3903, is advertised as having a β ranging from 15 to 150 depending
on the amount of collector current. Generally, β is highest for medium collector currents, decreasing for very
low and very high collector currents.

Alpha: the ratio of collector current to emitter current, α may be derived from β, being equal to β/(β+1).

Bipolar transistors come in a wide variety of physical packages. Package type is primarily dependent upon the
power dissipation of the transistor, much like resistors: the greater the maximum power dissipation, the larger
the device has to be to stay cool. There are several standardized package types for three-terminal
semiconductor devices, any of which may be used to house a bipolar transistor. This is an important fact to
consider: there are many other semiconductor devices other than bipolar transistors which have three
connection points. It is impossible to positively identify a three-terminal semiconductor device without
referencing the part number printed on it, and/or subjecting it to a set of electrical tests.

BJT quirks

*** PENDING ***

Nonlinearity Temperature drift Thermal runaway Junction capacitance Noise Mismatch (problem with paralleling
transistors) β cutoff frequency Alpha cutoff frequency

• REVIEW:
•
•
•

Chapter 5: JUNCTION FIELD-EFFECT TRANSISTORS > Introduction

Chapter 5: JUNCTION FIELD-EFFECT TRANSISTORS

Introduction
A transistor is a linear semiconductor device that controls current with the application of a lower-power
electrical signal. Transistors may be roughly grouped into two major divisions: bipolar and field-effect. In the
last chapter we studied bipolar transistors, which utilize a small current to control a large current. In this
chapter, we'll introduce the general concept of the field-effect transistor -- a device utilizing a small voltage to
control current -- and then focus on one particular type: the junction field-effect transistor. In the next chapter
we'll explore another type of field-effect transistor, the insulated gate variety.

All field-effect transistors are unipolar rather than bipolar devices. That is, the main current through them is
comprised either of electrons through an N-type semiconductor or holes through a P-type semiconductor. This
becomes more evident when a physical diagram of the device is seen:

In a junction field-effect transistor, or JFET, the controlled current passes from source to drain, or from drain to
source as the case may be. The controlling voltage is applied between the gate and source. Note how the
current does not have to cross through a PN junction on its way between source and drain: the path (called a
channel) is an uninterrupted block of semiconductor material. In the image just shown, this channel is an N-
type semiconductor. P-type channel JFETs are also manufactured:

Generally, N-channel JFETs are more commonly used than P-channel. The reasons for this have to do with
obscure details of semiconductor theory, which I'd rather not discuss in this chapter. As with bipolar
transistors, I believe the best way to introduce field-effect transistor usage is to avoid theory whenever
possible and concentrate instead on operational characteristics. The only practical difference between N- and P-
channel JFETs you need to concern yourself with now is biasing of the PN junction formed between the gate
material and the channel.

With no voltage applied between gate and source, the channel is a wide-open path for electrons to flow.
However, if a voltage is applied between gate and source of such polarity that it reverse-biases the PN
junction, the flow between source and drain connections becomes limited, or regulated, just as it was for
bipolar transistors with a set amount of base current. Maximum gate-source voltage "pinches off" all current
through source and drain, thus forcing the JFET into cutoff mode. This behavior is due to the depletion region
of the PN junction expanding under the influence of a reverse-bias voltage, eventually occupying the entire
width of the channel if the voltage is great enough. This action may be likened to reducing the flow of a liquid
through a flexible hose by squeezing it: with enough force, the hose will be constricted enough to completely
block the flow.

Note how this operational behavior is exactly opposite of the bipolar junction transistor. Bipolar transistors are
normally-off devices: no current through the base, no current through the collector or the emitter. JFETs, on
the other hand, are normally-on devices: no voltage applied to the gate allows maximum current through the
source and drain. Also take note that the amount of current allowed through a JFET is determined by a voltage
signal rather than a current signal as with bipolar transistors. In fact, with the gate-source PN junction reverse-
biased, there should be nearly zero current through the gate connection. For this reason, we classify the JFET
as a voltage-controlled device, and the bipolar transistor as a current-controlled device.

If the gate-source PN junction is forward-biased with a small voltage, the JFET channel will "open" a little more
to allow greater currents through. However, the PN junction of a JFET is not built to handle any substantial
current itself, and thus it is not recommended to forward-bias the junction under any circumstances.

This is a very condensed overview of JFET operation. In the next section, we'll explore the use of the JFET as a
switching device.

The transistor as a switch

Like its bipolar cousin, the field-effect transistor may be used as an on/off switch controlling electrical power to
a load. Let's begin our investigation of the JFET as a switch with our familiar switch/lamp circuit:
Remembering that the controlled current in a JFET flows between source and drain, we substitute the source
and drain connections of a JFET for the two ends of the switch in the above circuit:

If you haven't noticed by now, the source and drain connections on a JFET look identical on the schematic
symbol. Unlike the bipolar junction transistor where the emitter is clearly distinguished from the collector by
the arrowhead, a JFET's source and drain lines both run perpendicular into the bar representing the
semiconductor channel. This is no accident, as the source and drain lines of a JFET are often interchangeable in
practice! In other words, JFETs are usually able to handle channel current in either direction, from source to
drain or from drain to source.

Now all we need in the circuit is a way to control the JFET's conduction. With zero applied voltage between gate
and source, the JFET's channel will be "open," allowing full current to the lamp. In order to turn the lamp off,
we will need to connect another source of DC voltage between the gate and source connections of the JFET like
this:

Closing this switch will "pinch off" the JFET's channel, thus forcing it into cutoff and turning the lamp off:

Note that there is no current going through the gate. As a reverse-biased PN junction, it firmly opposes the
flow of any electrons through it. As a voltage-controlled device, the JFET requires negligible input current. This
is an advantageous trait of the JFET over the bipolar transistor: there is virtually zero power required of the
controlling signal.

Opening the control switch again should disconnect the reverse-biasing DC voltage from the gate, thus
allowing the transistor to turn back on. Ideally, anyway, this is how it works. In practice this may not work at
all:
Why is this? Why doesn't the JFET's channel open up again and allow lamp current through like it did before
with no voltage applied between gate and source? The answer lies in the operation of the reverse-biased gate-
source junction. The depletion region within that junction acts as an insulating barrier separating gate from
source. As such, it possesses a certain amount of capacitance capable of storing an electric charge potential.
After this junction has been forcibly reverse-biased by the application of an external voltage, it will tend to hold
that reverse-biasing voltage as a stored charge even after the source of that voltage has been disconnected.
What is needed to turn the JFET on again is to bleed off that stored charge between the gate and source
through a resistor:

This resistor's value is not very important. The capacitance of the JFET's gate-source junction is very small,
and so even a rather high-value bleed resistor creates a fast RC time constant, allowing the transistor to
resume conduction with little delay once the switch is opened.

Like the bipolar transistor, it matters little where or what the controlling voltage comes from. We could use a
solar cell, thermocouple, or any other sort of voltage-generating device to supply the voltage controlling the
JFET's conduction. All that is required of a voltage source for JFET switch operation is sufficient voltage to
achieve pinch-off of the JFET channel. This level is usually in the realm of a few volts DC, and is termed the
pinch-off or cutoff voltage. The exact pinch-off voltage for any given JFET is a function of its unique design,
and is not a universal figure like 0.7 volts is for a silicon BJT's base-emitter junction voltage.

• REVIEW:
• Field-effect transistors control the current between source and drain connections by a voltage applied
between the gate and source. In a junction field-effect transistor (JFET), there is a PN junction
between the gate and source which is normally reverse-biased for control of source-drain current.
• JFETs are normally-on (normally-saturated) devices. The application of a reverse-biasing voltage
between gate and source causes the depletion region of that junction to expand, thereby "pinching
off" the channel between source and drain through which the controlled current travels.
• It may be necessary to attach a "bleed-off" resistor between gate and source to discharge the stored
charge built up across the junction's natural capacitance when the controlling voltage is removed.
Otherwise, a charge may remain to keep the JFET in cutoff mode even after the voltage source has
been disconnected.
Meter check of a transistor

Testing a JFET with a multimeter might seem to be a relatively easy task, seeing as how it has only one PN
junction to test: either measured between gate and source, or between gate and drain.
Testing continuity through the drain-source channel is another matter, though. Remember from the last
section how a stored charge across the capacitance of the gate-channel PN junction could hold the JFET in a
pinched-off state without any external voltage being applied across it? This can occur even when you're holding
the JFET in your hand to test it! Consequently, any meter reading of continuity through that channel will be
unpredictable, since you don't necessarily know if a charge is being stored by the gate-channel junction. Of
course, if you know beforehand which terminals on the device are the gate, source, and drain, you may
connect a jumper wire between gate and source to eliminate any stored charge and then proceed to test
source-drain continuity with no problem. However, if you don't know which terminals are which, the
unpredictability of the source-drain connection may confuse your determination of terminal identity.

A good strategy to follow when testing a JFET is to insert the pins of the transistor into anti-static foam (the
material used to ship and store static-sensitive electronic components) just prior to testing. The conductivity of
the foam will make a resistive connection between all terminals of the transistor when it is inserted. This
connection will ensure that all residual voltage built up across the gate-channel PN junction will be neutralized,
thus "opening up" the channel for an accurate meter test of source-to-drain continuity.

Since the JFET channel is a single, uninterrupted piece of semiconductor material, there is usually no difference
between the source and drain terminals. A resistance check from source to drain should yield the same value
as a check from drain to source. This resistance should be relatively low (a few hundred ohms at most) when
the gate-source PN junction voltage is zero. By applying a reverse-bias voltage between gate and source,
pinch-off of the channel should be apparent by an increased resistance reading on the meter.

Active-mode operation

JFETs, like bipolar transistors, are able to "throttle" current in a mode between cutoff and saturation called the
active mode. To better understand JFET operation, let's set up a SPICE simulation similar to the one used to
explore basic bipolar transistor function:

jfet simulation
vin 0 1 dc 1
j1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 njf
.dc v1 0 2 0.05
.plot dc i(vammeter)
.end
Note that the transistor labeled "Q1" in the schematic is represented in the SPICE netlist as j1. Although all
transistor types are commonly referred to as "Q" devices in circuit schematics -- just as resistors are referred
to by "R" designations, and capacitors by "C" -- SPICE needs to be told what type of transistor this is by means
of a different letter designation: q for bipolar junction transistors, and j for junction field-effect transistors.

i(vammeter)
| 0.000E+00 5.000E-05 1.000E-04 1.500E-04 2.000E-04
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.010E-12 * . . . .
9.750E-06 . * . . . .
1.900E-05 . * . . . .
2.775E-05 . * . . . .
3.600E-05 . * . . . .
4.375E-05 . * . . . .
5.100E-05 . * . . .
5.775E-05 . . * . . .
6.400E-05 . . * . . .
6.975E-05 . . * . . .
7.500E-05 . . * . . .
7.975E-05 . . * . . .
8.400E-05 . . * . . .
8.775E-05 . . * . . .
9.100E-05 . . * . . .
9.375E-05 . . * . . .
9.600E-05 . . *. . .
9.775E-05 . . *. . .
9.900E-05 . . * . .
9.975E-05 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Here, the controlling signal is a steady voltage of 1 volt, applied with negative towards the JFET gate and
positive toward the JFET source, to reverse-bias the PN junction. In the first BJT simulation of chapter 4, a
constant-current source of 20 µA was used for the controlling signal, but remember that a JFET is a voltage-
controlled device, not a current-controlled device like the bipolar junction transistor.

Like the BJT, the JFET tends to regulate the controlled current at a fixed level above a certain power supply
voltage, no matter how high that voltage may climb. Of course, this current regulation has limits in real life --
no transistor can withstand infinite voltage from a power source -- and with enough drain-to-source voltage
the transistor will "break down" and drain current will surge. But within normal operating limits the JFET keeps
the drain current at a steady level independent of power supply voltage. To verify this, we'll run another
computer simulation, this time sweeping the power supply voltage (V1) all the way to 50 volts:

jfet simulation
vin 0 1 dc 1
j1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 njf
.dc v1 0 50 2
.plot dc i(vammeter)
.end

i(vammeter)
| 0.000E+00 5.000E-05 1.000E-04 1.500E-04 2.000E-04
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
1.010E-12 * . . . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
1.000E-04 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Sure enough, the drain current remains steady at a value of 100 µA (1.000E-04 amps) no matter how high the
power supply voltage is adjusted.

Because the input voltage has control over the constriction of the JFET's channel, it makes sense that changing
this voltage should be the only action capable of altering the current regulation point for the JFET, just like
changing the base current on a BJT is the only action capable of altering collector current regulation. Let's
decrease the input voltage from 1 volt to 0.5 volts and see what happens:

jfet simulation
vin 0 1 dc 0.5
j1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 njf
.dc v1 0 50 2
.plot dc i(vammeter)
.end

i(vammeter)
| 0.000E+00 1.000E-04 2.000E-04 3.000E-04 4.000E-04
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
5.100E-13 * . . . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
2.250E-04 . . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As expected, the drain current is greater now than it was in the previous simulation. With less reverse-bias
voltage impressed across the gate-source junction, the depletion region is not as wide as it was before, thus
"opening" the channel for charge carriers and increasing the drain current figure.

Please note, however, the actual value of this new current figure: 225 µA (2.250E-04 amps). The last
simulation showed a drain current of 100 µA, and that was with a gate-source voltage of 1 volt. Now that
we've reduced the controlling voltage by a factor of 2 (from 1 volt down to 0.5 volts), the drain current
increased, but not by the same 2:1 proportion! Let's reduce our gate-source voltage once more by another
factor of 2 (down to 0.25 volts) and see what happens:

jfet simulation
vin 0 1 dc 0.25
j1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc
.model mod1 njf
.dc v1 0 50 2
.plot dc i(vammeter)
.end
i(vammeter)
| 0.000E+00 1.000E-04 2.000E-04 3.000E-04 4.000E-04
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
2.600E-13 * . . . .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
3.063E-04 . . . .* .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

With the gate-source voltage set to 0.25 volts, one-half what it was before, the drain current is 306.3 µA.
Although this is still an increase over the 225 µA from the prior simulation, it isn't proportional to the change of
the controlling voltage.

To obtain a better understanding of what is going on here, we should run a different kind of simulation: one
that keeps the power supply voltage constant and instead varies the controlling (voltage) signal. When this
kind of simulation was run on a BJT, the result was a straight-line graph, showing how the input current /
output current relationship of a BJT is linear. Let's see what kind of relationship a JFET exhibits:

jfet simulation
vin 0 1 dc
j1 2 1 0 mod1
vammeter 3 2 dc 0
v1 3 0 dc 25
.model mod1 njf
.dc vin 0 2 0.1
.plot dc i(vammeter)
.end

vin i(vammeter) 0.000E+00 2.000E-04 4.000E-04 6.000E-04

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 4.000E-04 . . * .
1.000E-01 3.610E-04 . . * . .
2.000E-01 3.240E-04 . . * . .
3.000E-01 2.890E-04 . . * . .
4.000E-01 2.560E-04 . . * . .
5.000E-01 2.250E-04 . . * . .
 6.000E-01 1.960E-04 . * . .
7.000E-01 1.690E-04 . * . . .
8.000E-01 1.440E-04 . * . . .
9.000E-01 1.210E-04 . * . . .
1.000E+00 1.000E-04 . * . . .
1.100E+00 8.100E-05 . * . . .
1.200E+00 6.400E-05 . * . . .
1.300E+00 4.900E-05 . * . . .
1.400E+00 3.600E-05 . * . . .
1.500E+00 2.500E-05 . * . . .
1.600E+00 1.600E-05 .* . . .
1.700E+00 9.000E-06 .* . . .
1.800E+00 4.000E-06 * . . .
1.900E+00 1.000E-06 * . . .
2.000E+00 2.701E-11 * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

This simulation directly reveals an important characteristic of the junction field-effect transistor: the control
effect of gate voltage over drain current is nonlinear. Notice how the drain current does not decrease linearly
as the gate-source voltage is increased. With the bipolar junction transistor, collector current was directly
proportional to base current: output signal proportionately followed input signal. Not so with the JFET! The
controlling signal (gate-source voltage) has less and less effect over the drain current as it approaches cutoff.
In this simulation, most of the controlling action (75 percent of drain current decrease -- from 400 µA to 100
µA) takes place within the first volt of gate-source voltage (from 0 to 1 volt), while the remaining 25 percent of
drain current reduction takes another whole volt worth of input signal. Cutoff occurs at 2 volts input.

Linearity is generally important for a transistor because it allows it to faithfully amplify a waveform without
distorting it. If a transistor is nonlinear in its input/output amplification, the shape of the input waveform will
become corrupted in some way, leading to the production of harmonics in the output signal. The only time
linearity is not important in a transistor circuit is when it's being operated at the extreme limits of cutoff and
saturation (on and off like a switch).

A JFET's characteristic curves display the same current-regulating behavior as for a BJT, and the nonlinearity
between gate-to-source voltage and drain current is evident in the disproportionate vertical spacings between
the curves:

To better comprehend the current-regulating behavior of the JFET, it might be helpful to draw a model made
up of simpler, more common components, just as we did for the BJT:
In the case of the JFET, it is the voltage across the reverse-biased gate-source diode which sets the current
regulation point for the pair of constant-current diodes. A pair of opposing constant-current diodes is included
in the model to facilitate current in either direction between source and drain, a trait made possible by the
unipolar nature of the channel. With no PN junctions for the source-drain current to traverse, there is no
polarity sensitivity in the controlled current. For this reason, JFETs are often referred to as bilateral devices.

A contrast of the JFET's characteristic curves against the curves for a bipolar transistor reveals a notable
difference: the linear (straight) portion of each curve's saturation region (non-horizontal area) is surprisingly
long compared to the respective portions of a BJT's characteristic curves:
A JFET transistor in a condition of saturation tends to act very much like a plain resistor as measured from
drain to source. Like all simple resistances, its current/voltage graph is a straight line. For this reason, the
saturation (non-horizontal) portion of a JFET's characteristic curve is sometimes referred to as the ohmic
region. In this mode of operation where there isn't enough drain-to-source voltage to bring drain current up to
the regulated point, the drain current is directly proportional to the drain-to-source voltage. In a carefully
designed circuit, this phenomenon can be used to an advantage. Operated in this region of the curve, the JFET
acts like a voltage-controlled resistance rather than a voltage-controlled current regulator, and the appropriate
model for the transistor is different:
Here and here alone the rheostat (variable resistor) model of a transistor is accurate. It must be remembered,
however, that this model of the transistor holds true only for a narrow range of its operation: when it is
extremely saturated (far less voltage applied between drain and source than what is needed to achieve full
regulated current through the drain). The amount of resistance (measured in ohms) between drain and source
in this mode is controlled by how much reverse-bias voltage is applied between gate and source. The less gate-
to-source voltage, the less resistance (steeper line on graph).

Because JFETs are voltage-controlled current regulators (at least when they're allowed to operate in their
active mode, not saturated), their inherent amplification factor cannot be expressed as a unitless ratio as with
BJTs. In other words, there is no β ratio for a JFET. This is true for all voltage-controlled active devices,
including other types of field-effect transistors and even electron tubes. There is, however, an expression of
controlled (drain) current to controlling (gate-source) voltage, and it is called transconductance. Its unit is
Siemens, the same unit for conductance (formerly known as the mho).

Why this choice of units? Because the equation takes on the general form of current (output signal) divided by
voltage (input signal).

Unfortunately, the transconductance value for any JFET is not a stable quantity: it varies significantly with the
amount of gate-to-source control voltage applied to the transistor. As we saw in the SPICE simulations, the
drain current does not change proportionally with changes in gate-source voltage. To calculate drain current for
any given gate-source voltage, there is another equation that may be used. It is obviously nonlinear upon
inspection (note the power of 2), reflecting the nonlinear behavior we've already experienced in simulation:

• REVIEW:
• In their active modes, JFETs regulate drain current according to the amount of reverse-bias voltage
applied between gate and source, much like a BJT regulates collector current according to base
current. The mathematical ratio between drain current (output) and gate-to-source voltage (input) is
called transconductance, and it is measured in units of Siemens.
• The relationship between gate-source (control) voltage and drain (controlled) current is nonlinear: as
gate-source voltage is decreased, drain current increases exponentially. That is to say, the
transconductance of a JFET is not constant over its range of operation.
• In their saturation modes, JFETs regulate drain-to-source resistance according to the amount of
reverse-bias voltage applied between gate and source. In other words, they act like voltage-controlled
resistances.
The common-source amplifier

*** PENDING ***

• REVIEW:

The common-drain amplifier

*** PENDING ***

• REVIEW:
•
•

The common-gate amplifier

*** PENDING ***

• REVIEW:
•
•
•

Biasing techniques

*** PENDING ***

• REVIEW:
•
•

Transistor ratings and packages

*** PENDING ***

• REVIEW:

JFET quirks

*** PENDING ***

• REVIEW:
•
•
Chapter 6: INSULATED-GATE FIELD-EFFECT TRANSISTORS

Introduction

As was stated in the last chapter, there is more than one type of field-effect transistor. The junction field-effect
transistor, or JFET, uses voltage applied across a reverse-biased PN junction to control the width of that
junction's depletion region, which then controls the conductivity of a semiconductor channel through which the
controlled current moves. Another type of field-effect device -- the insulated gate field-effect transistor, or
IGFET -- exploits a similar principle of a depletion region controlling conductivity through a semiconductor
channel, but it differs primarily from the JFET in that there is no direct connection between the gate lead and
the semiconductor material itself. Rather, the gate lead is insulated from the transistor body by a thin barrier,
hence the term insulated gate. This insulating barrier acts like the dielectric layer of a capacitor, and allows
gate-to-source voltage to influence the depletion region electrostatically rather than by direct connection.

In addition to a choice of N-channel versus P-channel design, IGFETs come in two major types: enhancement
and depletion. The depletion type is more closely related to the JFET, so we will begin our study of IGFETs with
it.

Depletion-type IGFETs

Insulated gate field-effect transistors are unipolar devices just like JFETs: that is, the controlled current does
not have to cross a PN junction. There is a PN junction inside the transistor, but its only purpose is to provide
that nonconducting depletion region which is used to restrict current through the channel.

Here is a diagram of an N-channel IGFET of the "depletion" type:

Notice how the source and drain leads connect to either end of the N channel, and how the gate lead attaches
to a metal plate separated from the channel by a thin insulating barrier. That barrier is sometimes made from
silicon dioxide (the primary chemical compound found in sand), which is a very good insulator. Due to this
Metal (gate) - Oxide (barrier) - Semiconductor (channel) construction, the IGFET is sometimes referred to as a
MOSFET. There are other types of IGFET construction, though, and so "IGFET" is the better descriptor for this
general class of transistors.

Notice also how there are four connections to the IGFET. In practice, the substrate lead is directly connected to
the source lead to make the two electrically common. Usually, this connection is made internally to the IGFET,
eliminating the separate substrate connection, resulting in a three-terminal device with a slightly different
schematic symbol:
With source and substrate common to each other, the N and P layers of the IGFET end up being directly
connected to each other through the outside wire. This connection prevents any voltage from being impressed
across the PN junction. As a result, a depletion region exists between the two materials, but it can never be
expanded or collapsed. JFET operation is based on the expansion of the PN junction's depletion region, but
here in the IGFET that cannot happen, so IGFET operation must be based on a different effect.

Indeed it is, for when a controlling voltage is applied between gate and source, the conductivity of the channel
is changed as a result of the depletion region moving closer to or further away from the gate. In other words,
the channel's effective width changes just as with the JFET, but this change in channel width is due to depletion
region displacement rather than depletion region expansion.

In an N-channel IGFET, a controlling voltage applied positive (+) to the gate and negative (-) to the source has
the effect of repelling the PN junction's depletion region, expanding the N-type channel and increasing
conductivity:

Reversing the controlling voltage's polarity has the opposite effect, attracting the depletion region and
narrowing the channel, consequently reducing channel conductivity:
The insulated gate allows for controlling voltages of any polarity without danger of forward-biasing a junction,
as was the concern with JFETs. This type of IGFET, although it's called a "depletion-type," actually has the
capability of having its channel either depleted (channel narrowed) or enhanced (channel expanded). Input
voltage polarity determines which way the channel will be influenced.

Understanding which polarity has which effect is not as difficult as it may seem. The key is to consider the type
of semiconductor doping used in the channel (N-channel or P-channel?), then relate that doping type to the
side of the input voltage source connected to the channel by means of the source lead. If the IGFET is an N-
channel and the input voltage is connected so that the positive (+) side is on the gate while the negative (-)
side is on the source, the channel will be enhanced as extra electrons build up on the channel side of the
dielectric barrier. Think, "negative (-) correlates with N-type, thus enhancing the channel with the right type of
charge carrier (electrons) and making it more conductive." Conversely, if the input voltage is connected to an
N-channel IGFET the other way, so that negative (-) connects to the gate while positive (+) connects to the
source, free electrons will be "robbed" from the channel as the gate-channel capacitor charges, thus depleting
the channel of majority charge carriers and making it less conductive.

For P-channel IGFETs, the input voltage polarity and channel effects follow the same rule. That is to say, it
takes just the opposite polarity as an N-channel IGFET to either deplete or enhance:
Illustrating the proper biasing polarities with standard IGFET symbols:

When there is zero voltage applied between gate and source, the IGFET will conduct current between source
and drain, but not as much current as it would if it were enhanced by the proper gate voltage. This places the
depletion-type, or simply D-type, IGFET in a category of its own in the transistor world. Bipolar junction
transistors are normally-off devices: with no base current, they block any current from going through the
collector. Junction field-effect transistors are normally-on devices: with zero applied gate-to-source voltage,
they allow maximum drain current (actually, you can coax a JFET into greater drain currents by applying a very
small forward-bias voltage between gate and source, but this should never be done in practice for risk of
damaging its fragile PN junction). D-type IGFETs, however, are normally half-on devices: with no gate-to-
source voltage, their conduction level is somewhere between cutoff and full saturation. Also, they will tolerate
applied gate-source voltages of any polarity, the PN junction being immune from damage due to the insulating
barrier and especially the direct connection between source and substrate preventing any voltage differential
across the junction.
Ironically, the conduction behavior of a D-type IGFET is strikingly similar to that of an electron tube of the
triode/tetrode/pentode variety. These devices were voltage-controlled current regulators that likewise allowed
current through them with zero controlling voltage applied. A controlling voltage of one polarity (grid negative
and cathode positive) would diminish conductivity through the tube while a voltage of the other polarity (grid
positive and cathode negative) would enhance conductivity. I find it curious that one of the later transistor
designs invented exhibits the same basic properties of the very first active (electronic) device.

A few SPICE analyses will demonstrate the current-regulating behavior of D-type IGFETs. First, a test with zero
input voltage (gate shorted to source) and the power supply swept from 0 to 50 volts. The graph shows drain
current:

n-channel igfet characteristic curve

m1 1 0 0 0 mod1
vammeter 2 1 dc 0
v1 2 0
.model mod1 nmos vto=-1
.dc v1 0 50 2
.plot dc i(vammeter)
.end

i(vammeter)
| 0.000E+00 5.000E-06 1.000E-05 1.500E-05 2.000E-05
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 * . . . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
1.000E-05 . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

As expected for any transistor, the controlled current holds steady at a regulated value over a wide range of
power supply voltages. In this case, that regulated point is 10 µA (1.000E-05). Now let's see what happens
when we apply a negative voltage to the gate (with reference to the source) and sweep the power supply over
the same range of 0 to 50 volts:

n-channel igfet characteristic curve

m1 1 3 0 0 mod1
vin 0 3 dc 0.5
vammeter 2 1 dc 0
v1 2 0
.model mod1 nmos vto=-1
.dc v1 0 50 2
.plot dc i(vammeter)
.end

i(vammeter)
| 0.000E+00 1.000E-06 2.000E-06 3.000E-06 4.000E-06
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 * . . . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
2.500E-06 . . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

Not surprisingly, the drain current is now regulated at a lower value of 2.5 µA (down from 10 µA with zero
input voltage). Now let's apply an input voltage of the other polarity, to enhance the IGFET:

n-channel igfet characteristic curve

m1 1 3 0 0 mod1
vin 3 0 dc 0.5
vammeter 2 1 dc 0
v1 2 0
.model mod1 nmos vto=-1
.dc v1 0 50 2
.plot dc i(vammeter)
.end

i(vammeter)
| 0.000E+00 1.000E-05 2.000E-05 3.000E-05 4.000E-05
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
0.000E+00 * . . . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
2.250E-05 . . . * . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

With the transistor enhanced by the small controlling voltage, the drain current is now at an increased value of
22.5 µA (2.250E-05). It should be apparent from these three sets of voltage and current figures that the
relationship of drain current to gate-source voltage is nonlinear just as it was with the JFET. With 1/2 volt of
depleting voltage, the drain current is 2.5 µA; with 0 volts input the drain current goes up to 10 µA; and with
1/2 volt of enhancing voltage, the current is at 22.5 µA. To obtain a better understanding of this nonlinearity,
we can use SPICE to plot the drain current over a range of input voltage values, sweeping from a negative
(depleting) figure to a positive (enhancing) figure, maintaining the power supply voltage of V1 at a constant
value:

n-channel igfet
m1 1 3 0 0 mod1
vin 3 0
vammeter 2 1 dc 0
v1 2 0 dc 24
.model mod1 nmos vto=-1
.dc vin -1 1 0.1
.plot dc i(vammeter)
.end

vin i(vammeter) 0.000E+00 2.000E-05 4.000E-05 6.000E-05

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-1.000E+00 3.328E-11 * . . .
-9.000E-01 1.000E-07 * . . .
-8.000E-01 4.000E-07 * . . .
-7.000E-01 9.000E-07 .* . . .
-6.000E-01 1.600E-06 .* . . .
-5.000E-01 2.500E-06 . * . . .
-4.000E-01 3.600E-06 . * . . .
-3.000E-01 4.900E-06 . * . . .
-2.000E-01 6.400E-06 . * . . .
-1.000E-01 8.100E-06 . * . . .
-2.220E-16 1.000E-05 . * . . .
1.000E-01 1.210E-05 . * . . .
2.000E-01 1.440E-05 . * . . .
3.000E-01 1.690E-05 . * . . .
4.000E-01 1.960E-05 . * . .
5.000E-01 2.250E-05 . . * . .
6.000E-01 2.560E-05 . . * . .
7.000E-01 2.890E-05 . . * . .
8.000E-01 3.240E-05 . . * . .
9.000E-01 3.610E-05 . . * . .
1.000E+00 4.000E-05 . . * .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Just as it was with JFETs, this inherent nonlinearity of the IGFET has the potential to cause distortion in an
amplifier circuit, as the input signal will not be reproduced with 100 percent accuracy at the output. Also notice
that a gate-source voltage of about 1 volt in the depleting direction is able to pinch off the channel so that
there is virtually no drain current. D-type IGFETs, like JFETs, have a certain pinch-off voltage rating. This
rating varies with the precise unique of the transistor, and may not be the same as in our simulation here.

Plotting a set of characteristic curves for the IGFET, we see a pattern not unlike that of the JFET:

• REVIEW:
•
•

Enhancement-type IGFETs

• REVIEW:
•
•

Active-mode operation

• REVIEW:
•

The common-source amplifier

 • REVIEW:
•
•

The common-drain amplifier

• REVIEW:
•
•
•

The common-gate amplifier

• REVIEW:
•

Biasing techniques

• REVIEW:
•
•

Transistor ratings and packages

• REVIEW:
•
•

IGFET quirks

• REVIEW:
•
•
•

MESFETs

• REVIEW:
•
IGBTs

Because of their insulated gates, IGFETs of all types have extremely high current gain: there can be no
sustained gate current if there is no continuous gate circuit in which electrons may continually flow. The only
current we see through the gate terminal of an IGFET, then, is whatever transient (brief surge) may be
required to charge the gate-channel capacitance and displace the depletion region as the transistor switches
from an "on" state to an "off" state, or visa-versa.

This high current gain would at first seem to place IGFET technology at a decided advantage over bipolar
transistors for the control of very large currents. If a bipolar junction transistor is used to control a large
collector current, there must be a substantial base current sourced or sunk by some control circuitry, in
accordance with the β ratio. To give an example, in order for a power BJT with a β of 20 to conduct a collector
current of 100 amps, there must be at least 5 amps of base current, a substantial amount of current in itself
for miniature discrete or integrated control circuitry to handle:

It would be nice from the standpoint of control circuitry to have power transistors with high current gain, so
that far less current is needed for control of load current. Of course, we can use Darlington pair transistors to
increase the current gain, but this kind of arrangement still requires far more controlling current than an
equivalent power IGFET:
Unfortunately, though, IGFETs have problems of their own controlling high current: they typically exhibit
greater drain-to-source voltage drop while saturated than the collector-to-emitter voltage drop of a saturated
BJT. This greater voltage drop equates to higher power dissipation for the same amount of load current,
limiting the usefulness of IGFETs as high-power devices. Although some specialized designs such as the so-
called VMOS transistor have been designed to minimize this inherent disadvantage, the bipolar junction
transistor is still superior in its ability to switch high currents.

An interesting solution to this dilemma leverages the best features of IGFETs with the best of features of BJTs,
in one device called an Insulated-Gate Bipolar Transistor, or IGBT. Also known as an Bipolar-mode MOSFET, a
Conductivity-Modulated Field-Effect Transistor (COMFET), or simply as an Insulated-Gate Transistor (IGT), it is
equivalent to a Darlington pair of IGFET and BJT:
In essence, the IGFET controls the base current of a BJT, which handles the main load current between
collector and emitter. This way, there is extremely high current gain (since the insulated gate of the IGFET
draws practically no current from the control circuitry), but the collector-to-emitter voltage drop during full
conduction is as low as that of an ordinary BJT.

One disadvantage of the IGBT over a standard BJT is its slower turn-off time. For fast switching and high
current-handling capacity, it's difficult to beat the bipolar junction transistor. Faster turn-off times for the IGBT
may be achieved by certain changes in design, but only at the expense of a higher saturated voltage drop
between collector and emitter. However, the IGBT provides a good alternative to IGFETs and BJTs for high-
power control applications.

Chapter 7: THYRISTORS

Hysteresis

Thyristors are a class of semiconductor components exhibiting hysteresis, that property whereby a system fails
to return to its original state after some cause of state change has been removed. A very simple example of
hysteresis is the mechanical action of a toggle switch: when the lever is pushed, it flips to one of two extreme
states (positions) and will remain there even after the source of motion is removed (after you remove your
hand from the switch lever). To illustrate the absence of hysteresis, consider the action of a "momentary"
pushbutton switch, which returns to its original state after the button is no longer pressed: when the stimulus
is removed (your hand), the system (switch) immediately and fully returns to its prior state with no "latching"
behavior.

Bipolar, junction field-effect, and insulated gate field-effect transistors are all non-hysteretic devices. That is,
they do not inherently "latch" into a state after being stimulated by a voltage or current signal. For any given
input signal at any given time, a transistor will exhibit a predictable output response as defined by its
characteristic curve. Thyristors, on the other hand, are semiconductor devices that tend to stay "on" once
turned on, and tend to stay "off" once turned off. A momentary event is able to flip these devices into either
their on or off states where they will remain that way on their own, even after the cause of the state change is
taken away. As such, they are useful only as on/off switching devices -- much like a toggle switch -- and
cannot be used as analog signal amplifiers.

Thyristors are constructed using the same technology as bipolar junction transistors, and in fact may be
analyzed as circuits comprised of transistor pairs. How then, can a hysteretic device (a thyristor) be made from
non-hysteretic devices (transistors)? The answer to this question is positive feedback, also known as
regenerative feedback. As you should recall, feedback is the condition where a percentage of the output signal
is "fed back" to the input of an amplifying device. Negative, or degenerative, feedback results in a diminishing
of voltage gain with increases in stability, linearity, and bandwidth. Positive feedback, on the other hand,
results in a kind of instability where the amplifier's output tends to "saturate." In the case of thyristors, this
saturating tendency equates to the device "wanting" to stay on once turned on, and off once turned off.

In this chapter we will explore several different kinds of thyristors, most of which stem from a single, basic
two-transistor core circuit. Before we do that, though, it would be beneficial to study the technological
predecessor to thyristors: gas discharge tubes.

Gas discharge tubes

If you've ever witnessed a lightning storm, you've seen electrical hysteresis in action (and probably didn't
realize what you were seeing). The action of strong wind and rain accumulates tremendous static electric
charges between cloud and earth, and between clouds as well. Electric charge imbalances manifest themselves
as high voltages, and when the electrical resistance of air can no longer hold these high voltages at bay, huge
surges of current travel between opposing poles of electrical charge which we call "lightning."

The buildup of high voltages by wind and rain is a fairly continuous process, the rate of charge accumulation
increasing under the proper atmospheric conditions. However, lightning bolts are anything but continuous:
they exist as relatively brief surges rather than continuous discharges. Why is this? Why don't we see soft,
glowing lightning arcs instead of violently brief lightning bolts? The answer lies in the nonlinear (and hysteretic)
resistance of air.

Under ordinary conditions, air has an extremely high amount of resistance. It is so high, in fact, that we
typically treat its resistance as infinite and electrical conduction through the air as negligible. The presence of
water and/or dust in air lowers its resistance some, but it is still an insulator for most practical purposes. When
a sufficient amount of high voltage is applied across a distance of air, though, its electrical properties change:
electrons become "stripped" from their normal positions around their respective atoms and are liberated to
constitute a current. In this state, air is considered to be ionized and is referred to as a plasma rather than a
normal gas. This usage of the word "plasma" is not to be confused with the medical term (meaning the fluid
portion of blood), but is a fourth state of matter, the other three being solid, liquid, and vapor (gas). Plasma is
a relatively good conductor of electricity, its specific resistance being much lower than that of the same
substance in its gaseous state.

As an electric current moves through the plasma, there is energy dissipated in the plasma in the form of heat,
just as current through a solid resistor dissipates energy in the form of heat. In the case of lightning, the
temperatures involved are extremely high. High temperatures are also sufficient to convert gaseous air into a
plasma or maintain plasma in that state without the presence of high voltage. As the voltage between cloud
and earth, or between cloud and cloud, decreases as the charge imbalance is neutralized by the current of the
lightning bolt, the heat dissipated by the bolt maintains the air path in a plasma state, keeping its resistance
low. The lightning bolt remains a plasma until the voltage decreases to too low a level to sustain enough
current to dissipate enough heat. Finally, the air returns to a normal, gaseous state and stops conducting
current, thus allowing voltage to build up once more.

Note how throughout this cycle, the air exhibits hysteresis. When not conducting electricity, it tends to remain
an insulator until voltage builds up past a critical threshold point. Then, once it changes state and becomes a
plasma, it tends to remain a conductor until voltage falls below a lower critical threshold point. Once "turned
on" it tends to stay "on," and once "turned off" it tends to stay "off." This hysteresis, combined with a steady
buildup of voltage due to the electrostatic effects of wind and rain, explains the action of lightning as brief
bursts.

In electronic terms, what we have here in the action of lightning is a simple relaxation oscillator. Oscillators are
electronic circuits that produce an oscillating (AC) voltage from a steady supply of DC power. A relaxation
oscillator is one that works on the principle of a charging capacitor that is suddenly discharged every time its
voltage reaches a critical threshold value. One of the simplest relaxation oscillators in existence is comprised of
three components (not counting the DC power supply): a resistor, capacitor, and neon lamp:
Neon lamps are nothing more than two metal electrodes inside a sealed glass bulb, separated by the neon gas
inside. At room temperatures and with no applied voltage, the lamp has nearly infinite resistance. However,
once a certain threshold voltage is exceeded (this voltage depends on the gas pressure and geometry of the
lamp), the neon gas will become ionized (turned into a plasma) and its resistance dramatically reduced. In
effect, the neon lamp exhibits the same characteristics as air in a lightning storm, complete with the emission
of light as a result of the discharge, albeit on a much smaller scale.

The capacitor in the relaxation oscillator circuit shown above charges at an inverse exponential rate determined
by the size of the resistor. When its voltage reaches the threshold voltage of the lamp, the lamp suddenly
"turns on" and quickly discharges the capacitor to a low voltage value. Once discharged, the lamp "turns off"
and allows the capacitor to build up a charge once more. The result is a series of brief flashes of light from the
lamp, the rate of which dictated by battery voltage, resistor resistance, capacitor capacitance, and lamp
threshold voltage.

While gas-discharge lamps are more commonly used as sources of illumination, their hysteretic properties were
leveraged in slightly more sophisticated variants known as thyratron tubes. Essentially a gas-filled triode tube
(a triode being a three-element vacuum electron tube performing much a similar function to the N-channel, D-
type IGFET), the thyratron tube could be turned on with a small control voltage applied between grid and
cathode, and turned off by reducing the plate-to-cathode voltage.

In essence, thyratron tubes were controlled versions of neon lamps built specifically for switching current to a
load. The dot inside the circle of the schematic symbol indicates a gas fill, as opposed to the hard vacuum
normally seen in other electron tube designs. In the circuit shown above, the thyratron tube allows current
through the load in one direction (note the polarity across the load resistor) when triggered by the small DC
control voltage connected between grid and cathode. Note that the load's power source is AC, which provides a
clue as to how the thyratron turns off after it's been triggered on: since AC voltage periodically passes through
a condition of 0 volts between half-cycles, the current through an AC-powered load must also periodically halt.
This brief pause of current between half-cycles gives the tube's gas time to cool, letting it return to its normal
"off" state. Conduction may resume only if there is enough voltage applied by the AC power source (some
other time in the wave's cycle) and if the DC control voltage allows it.

An oscilloscope display of load voltage in such a circuit would look something like this:

As the AC supply voltage climbs from zero volts to its first peak, the load voltage remains at zero (no load
current) until the threshold voltage is reached. At that point, the tube switches "on" and begins to conduct, the
load voltage now following the AC voltage through the rest of the half cycle. Notice how there is load voltage
(and thus load current) even when the AC voltage waveform has dropped below the threshold value of the
tube. This is hysteresis at work: the tube stays in its conductive mode past the point where it first turned on,
continuing to conduct until there the supply voltage drops off to almost zero volts. Because thyratron tubes are
one-way (diode) devices, there is no voltage across the load through the negative half-cycle of AC. In practical
thyratron circuits, multiple tubes arranged in some form of full-wave rectifier circuit to facilitate full-wave DC
power to the load.

Although I'm not sure if this was ever done, someone could have applied the thyratron tube to a relaxation
oscillator circuit and control the frequency with a small DC voltage between grid and cathode, making a crude
voltage-controlled oscillator, otherwise known as a VCO. Relaxation oscillators tend to have poor frequency
control, not to mention a very non-sinusoidal output, and so they exist mostly as demonstration circuits (as is
the case here) or in applications where precise frequency control isn't important. Consequently, this use of a
thyratron tube would not have been a very practical one.

I speak of thyratron tubes in the past tense for good reason: modern semiconductor components have
obsoleted thyratron tube technology for all but a few very special applications. It is no coincidence that the
word thyristor bears so much similarity to the word thyratron, for this class of semiconductor components does
much the same thing: use hysteretically switch current on and off. It is these modern devices that we now turn
our attention to.

• REVIEW:
 • Electrical hysteresis, the tendency for a component to remain "on" (conducting) after it begins to
conduct and to remain "off" (nonconducting) after it ceases to conduct, helps to explain why lightning
bolts exist as momentary surges of current rather than continuous discharges through the air.
• Simple gas-discharge tubes such as neon lamps exhibit electrical hysteresis.
• More advanced gas-discharge tubes have been made with control elements so that their "turn-on"
voltage could be adjusted by an external signal. The most common of these tubes was called the
thyratron.
• Simple oscillator circuits called relaxation oscillators may be created with nothing more than a
resistor-capacitor charging network and a hysteretic device connected across the capacitor.

The Shockley Diode

Our exploration of thyristors begins with a device called the four-layer diode, also known as a PNPN diode, or a
Shockley diode after its inventor, William Shockley. This is not to be confused with a Schottky diode, that two-
layer metal-semiconductor device known for its high switching speed. A crude illustration of the Shockley
diode, often seen in textbooks, is a four-layer sandwich of P-N-P-N semiconductor material:

Unfortunately, this simple illustration does nothing to enlighten the viewer on how it works or why. Consider an
alternative rendering of the device's construction:

Shown like this, it appears to be a set of interconnected bipolar transistors, one PNP and the other NPN. Drawn
using standard schematic symbols, and respecting the layer doping concentrations not shown in the last image,
the Shockley diode looks like this:
Let's connect one of these devices to a source of variable voltage and see what happens:

With no voltage applied, of course there will be no current. As voltage is initially increased, there will still be no
current because neither transistor is able to turn on: both will be in cutoff mode. To understand why this is,
consider what it takes to turn a bipolar junction transistor on: current through the base-emitter junction. As
you can see in the diagram, base current through the lower transistor is controlled by the upper transistor, and
the base current through the upper transistor is controlled by the lower transistor. In other words, neither
transistor can turn on until the other transistor turns on. What we have here, in vernacular terms, is known as
a Catch-22.

So how can a Shockley diode ever conduct current, if its constituent transistors stubbornly maintain
themselves in a state of cutoff? The answer lies in the behavior of real transistors as opposed to ideal
transistors. An ideal bipolar transistor will never conduct collector current if there is no base current, no matter
how much or little voltage we apply between collector and emitter. Real transistors, on the other hand, have
definite limits to how much collector-emitter voltage they can withstand before they break down and conduct.
If two real transistors are connected together in this fashion to form a Shockley diode, they will be able to
conduct if there is sufficient voltage applied by the battery between anode and cathode to cause one of them to
break down. Once one transistor breaks down and begins to conduct, it will allow base current through the
other transistor, causing it to turn on in a normal fashion, which then allows base current through the first
transistor. The end result is that both transistors will be saturated, now keeping each other turned on instead
of off.

So, we can force a Shockley diode to turn on by applying sufficient voltage between anode and cathode. As we
have seen, this will inevitably cause one of the transistors to turn on, which then turns the other transistor on,
ultimately "latching" both transistors on where they will tend to remain. But how do we now get the two
transistors to turn off again? Even if the applied voltage is reduced to a point well below what it took to get the
Shockley diode conducting, it will remain conducting because both transistors now have base current to
maintain regular, controlled conduction. The answer to this is to reduce the applied voltage to a much lower
point where there is too little current to maintain transistor bias, at which point one of the transistors will
cutoff, which then halts base current through the other transistor, sealing both transistors in the "off" state as
they were before any voltage was applied at all.

If we graph this sequence of events and plot the results on an I/V graph, the hysteresis is very evident. First,
we will observe the circuit as the DC voltage source (battery) is set to zero voltage:
Next, we will steadily increase the DC voltage. Current through the circuit is at or nearly at zero, as the
breakdown limit has not been reached for either transistor:

When the voltage breakdown limit of one transistor is reached, it will begin to conduct collector current even
though no base current has gone through it yet. Normally, this sort of treatment would destroy a bipolar
junction transistor, but the PNP junctions comprising a Shockley diode are engineered to take this kind of
abuse, similar to the way a Zener diode is built to handle reverse breakdown without sustaining damage. For
the sake of illustration I'll assume the lower transistor breaks down first, sending current through the base of
the upper transistor:
As the upper transistor receives base current, it turns on as expected. This action allows the lower transistor to
conduct normally, the two transistors "sealing" themselves in the "on" state. Full current is very quickly seen in
the circuit:

The positive feedback mentioned earlier in this chapter is clearly evident here. When one transistor breaks
down, it allows current through the device structure. This current may be viewed as the "output" signal of the
device. Once an output current is established, it works to hold both transistors in saturation, thus ensuring the
continuation of a substantial output current. In other words, an output current "feeds back" positively to the
input (transistor base current) to keep both transistors in the "on" state, thus reinforcing (or regenerating)
itself.

With both transistors maintained in a state of saturation with the presence of ample base current, they will
continue to conduct even if the applied voltage is greatly reduced from the breakdown level. The effect of
positive feedback is to keep both transistors in a state of saturation despite the loss of input stimulus (the
original, high voltage needed to break down one transistor and cause a base current through the other
transistor):
If the DC voltage source is turned down too far, though, the circuit will eventually reach a point where there
isn't enough current to sustain both transistors in saturation. As one transistor passes less and less collector
current, it reduces the base current for the other transistor, thus reducing base current for the first transistor.
The vicious cycle continues rapidly until both transistors fall into cutoff:

Here, positive feedback is again at work: the fact that the cause/effect cycle between both transistors is
"vicious" (a decrease in current through one works to decrease current through the other, further decreasing
current through the first transistor) indicates a positive relationship between output (controlled current) and
input (controlling current through the transistors' bases).

The resulting curve on the graph is classicly hysteretic: as the input signal (voltage) is increased and
decreased, the output (current) does not follow the same path going down as it did going up:

Put in simple terms, the Shockley diode tends to stay on once it's turned on, and stay off once it's turned off.
There is no "in-between" or "active" mode in its operation: it is a purely on or off device, as are all thyristors.
There are a few special terms applied to Shockley diodes and all other thyristor devices built upon the Shockley
diode foundation. First is the term used to describe its "on" state: latched. The word "latch" is reminiscent of a
door lock mechanism, which tends to keep the door closed once it has been pushed shut. The term firing refers
to the initiation of a latched state. In order to get a Shockley diode to latch, the applied voltage must be
increased until breakover is attained. Despite the fact that this action is best described in terms of transistor
breakdown, the term breakover is used instead because the end result is a pair of transistors in mutual
saturation rather than destruction as would be the case with a normal transistor. A latched Shockley diode is
re-set back into its nonconducting state by reducing current through it until low-current dropout occurs.

It should be noted that Shockley diodes may be fired in a way other than breakover: excessive voltage rise, or
dv/dt. This is when the applied voltage across the diode increases at a high rate of change. This is able to
cause latching (turning on) of the diode due to inherent junction capacitances within the transistors.
Capacitors, as you may recall, oppose changes in voltage by drawing or supplying current. If the applied
voltage across a Shockley diode rises at too fast a rate, those tiny capacitances will draw enough current
during that time to activate the transistor pair, turning them both on. Usually, this form of latching is
undesirable, and can be minimized by filtering high-frequency (fast voltage rises) from the diode with series
inductors and/or parallel resistor-capacitor networks called snubbers:

The voltage rise limit of a Shockley diode is referred to as the critical rate of voltage rise. Manufacturers
usually provide this specification for the devices they sell.

• REVIEW:
• Shockley diodes are four-layer PNPN semiconductor devices. They behave as a pair of interconnected
PNP and NPN transistors.
• Like all thyristors, Shockley diodes tend to stay on once they've been turned on (latched), and stay off
once they've been turned off.
• There are two ways to latch a Shockley diode: exceed the anode-to-cathode breakover voltage, or
exceed the anode-to-cathode critical rate of voltage rise.
• There is only one way to cause a Shockley diode to stop conducting, and that is to reduce the current
going through it to a level below its low-current dropout threshold.

The DIAC
Like all diodes, Shockley diodes are unidirectional devices; that is, they only conduct current in one direction. If
bidirectional (AC) operation is desired, two Shockley diodes may be joined in parallel facing different directions
to form a new kind of thyristor, the DIAC:

A DIAC operated with a DC voltage across it behaves exactly the same as a Shockley diode. With AC, however,
the behavior is different from what one might expect. Because alternating current repeatedly reverses
direction, DIACs will not stay latched longer than one-half cycle. If a DIAC becomes latched, it will continue to
conduct current only as long as there is voltage available to push enough current in that direction. When the
AC polarity reverses, as it must twice per cycle, the DIAC will drop out due to insufficient current, necessitating
another breakover before it conducts again. The result is a current waveform that looks like this:

DIACs are almost never used alone, but in conjunction with other thyristor devices.

The Silicon-Controlled Rectifier (SCR)

Shockley diodes are curious devices, but rather limited in application. Their usefulness may be expanded,
however, by equipping them with another means of latching. In doing so, they become true amplifying devices
(if only in an on/off mode), and we refer to them as silicon-controlled rectifiers, or SCRs.

The progression from Shockley diode to SCR is achieved with one small addition, actually nothing more than a
third wire connection to the existing PNPN structure:
If an SCR's gate is left floating (disconnected), it behaves exactly as a Shockley diode. It may be latched by
breakover voltage or by exceeding the critical rate of voltage rise between anode and cathode, just as with the
Shockley diode. Dropout is accomplished by reducing current until one or both internal transistors fall into
cutoff mode, also like the Shockley diode. However, because the gate terminal connects directly to the base of
the lower transistor, it may be used as an alternative means to latch the SCR. By applying a small voltage
between gate and cathode, the lower transistor will be forced on by the resulting base current, which will cause
the upper transistor to conduct, which then supplies the lower transistor's base with current so that it no longer
needs to be activated by a gate voltage. The necessary gate current to initiate latch-up, of course, will be
much lower than the current through the SCR from cathode to anode, so the SCR does achieve a measure of
amplification.

This method of securing SCR conduction is called triggering, and it is by far the most common way that SCRs
are latched in actual practice. In fact, SCRs are usually chosen so that their breakover voltage is far beyond
the greatest voltage expected to be experienced from the power source, so that it can be turned on only by an
intentional voltage pulse applied to the gate.

It should be mentioned that SCRs may sometimes be turned off by directly shorting their gate and cathode
terminals together, or by "reverse-triggering" the gate with a negative voltage (in reference to the cathode),
so that the lower transistor is forced into cutoff. I say this is "sometimes" possible because it involves shunting
all of the upper transistor's collector current past the lower transistor's base. This current may be substantial,
making triggered shut-off of an SCR difficult at best. A variation of the SCR, called a Gate-Turn-Off thyristor, or
GTO, makes this task easier. But even with a GTO, the gate current required to turn it off may be as much as
20% of the anode (load) current! The schematic symbol for a GTO is shown in the following illustration:

SCRs and GTOs share the same equivalent schematics (two transistors connected in a positive-feedback
fashion), the only differences being details of construction designed to grant the NPN transistor a greater β
than the PNP. This allows a smaller gate current (forward or reverse) to exert a greater degree of control over
conduction from cathode to anode, with the PNP transistor's latched state being more dependent upon the
NPN's than visa-versa. The Gate-Turn-Off thyristor is also known by the name of Gate-Controlled Switch, or
GCS.

A rudimentary test of SCR function, or at least terminal identification, may be performed with an ohmmeter.
Because the internal connection between gate and cathode is a single PN junction, a meter should indicate
continuity between these terminals with the red test lead on the gate and the black test lead on the cathode
like this:
All other continuity measurements performed on an SCR will show "open" ("OL" on some digital multimeter
displays). It must be understood that this test is very crude and does not constitute a comprehensive
assessment of the SCR. It is possible for an SCR to give good ohmmeter indications and still be defective.
Ultimately, the only way to test an SCR is to subject it to a load current.

If you are using a multimeter with a "diode check" function, the gate-to-cathode junction voltage indication
you get may or may not correspond to what's expected of a silicon PN junction (approximately 0.7 volts). In
some cases, you will read a much lower junction voltage: mere hundredths of a volt. This is due to an internal
resistor connected between the gate and cathode incorporated within some SCRs. This resistor is added to
make the SCR less susceptible to false triggering by spurious voltage spikes, from circuit "noise" or from static
electric discharge. In other words, having a resistor connected across the gate-cathode junction requires that a
strong triggering signal (substantial current) be applied to latch the SCR. This feature is often found in larger
SCRs, not on small SCRs. Bear in mind that an SCR with an internal resistor connected between gate and
cathode will indicate continuity in both directions between those two terminals:

"Normal" SCRs, lacking this internal resistor, are sometimes referred to as sensitive gate SCRs due to their
ability to be triggered by the slightest positive gate signal.

The test circuit for an SCR is both practical as a diagnostic tool for checking suspected SCRs and also an
excellent aid to understanding basic SCR operation. A DC voltage source is used for powering the circuit, and
two pushbutton switches are used to latch and unlatch the SCR, respectively:
Actuating the normally-open "on" pushbutton switch connects the gate to the anode, allowing current from the
negative terminal of the battery, through the cathode-gate PN junction, through the switch, through the load
resistor, and back to the battery. This gate current should force the SCR to latch on, allowing current to go
directly from cathode to anode without further triggering through the gate. When the "on" pushbutton is
released, the load should remain energized.

Pushing the normally-closed "off" pushbutton switch breaks the circuit, forcing current through the SCR to halt,
thus forcing it to turn off (low-current dropout).

If the SCR fails to latch, the problem may be with the load and not the SCR. There is a certain minimum
amount of load current required to hold the SCR latched in the "on" state. This minimum current level is called
the holding current. A load with too great a resistance value may not draw enough current to keep an SCR
latched when gate current ceases, thus giving the false impression of a bad (unlatchable) SCR in the test
circuit. Holding current values for different SCRs should be available from the manufacturers. Typical holding
current values range from 1 milliamp to 50 milliamps or more for larger units.

For the test to be fully comprehensive, more than the triggering action needs to be tested. The forward
breakover voltage limit of the SCR could be tested by increasing the DC voltage supply (with no pushbuttons
actuated) until the SCR latches all on its own. Beware that a breakover test may require very high voltage:
many power SCRs have breakover voltage ratings of 600 volts or more! Also, if a pulse voltage generator is
available, the critical rate of voltage rise for the SCR could be tested in the same way: subject it to pulsing
supply voltages of different V/time rates with no pushbutton switches actuated and see when it latches.

In this simple form, the SCR test circuit could suffice as a start/stop control circuit for a DC motor, lamp, or
other practical load:

Another practical use for the SCR in a DC circuit is as a crowbar device for overvoltage protection. A "crowbar"
circuit consists of an SCR placed in parallel with the output of a DC power supply, for the purpose of placing a
direct short-circuit on the output of that supply to prevent excessive voltage from reaching the load. Damage
to the SCR and power supply is prevented by the judicious placement of a fuse or substantial series resistance
ahead of the SCR to limit short-circuit current:

Some device or circuit sensing the output voltage will be connected to the gate of the SCR, so that when an
overvoltage condition occurs, voltage will be applied between the gate and cathode, triggering the SCR and
forcing the fuse to blow. The effect will be approximately the same as dropping a solid steel crowbar directly
across the output terminals of the power supply, hence the name of the circuit.

Most applications of the SCR are for AC power control, despite the fact that SCRs are inherently DC
(unidirectional) devices. If bidirectional circuit current is required, multiple SCRs may be used, with one or
more facing each direction to handle current through both half-cycles of the AC wave. The primary reason
SCRs are used at all for AC power control applications is the unique response of a thyristor to an alternating
current. As we saw in the case of the thyratron tube (the electron tube version of the SCR) and the DIAC, a
hysteretic device triggered on during a portion of an AC half-cycle will latch and remain on throughout the
remainder of the half-cycle until the AC current decreases to zero, as it must to begin the next half-cycle. Just
prior to the zero-crossover point of the current waveform, the thyristor will turn off due to insufficient current
(this behavior is also known as natural commutation) and must be fired again during the next cycle. The result
is a circuit current equivalent to a "chopped up" sine wave. For review, here is the graph of a DIAC's response
to an AC voltage whose peak exceeds the breakover voltage of the DIAC:

With the DIAC, that breakover voltage limit was a fixed quantity. With the SCR, we have control over exactly
when the device becomes latched by triggering the gate at any point in time along the waveform. By
connecting a suitable control circuit to the gate of an SCR, we can "chop" the sine wave at any point to allow
for time-proportioned power control to a load.

Take the following circuit as an example. Here, an SCR is positioned in a circuit to control power to a load from
an AC source:
Being a unidirectional (one-way) device, at most we can only deliver half-wave power to the load, in the half-
cycle of AC where the supply voltage polarity is positive on the top and negative on the bottom. However, for
demonstrating the basic concept of time-proportional control, this simple circuit is better than one controlling
full-wave power (which would require two SCRs).

With no triggering to the gate, and the AC source voltage well below the SCR's breakover voltage rating, the
SCR will never turn on. Connecting the SCR gate to the anode through a normal rectifying diode (to prevent
reverse current through the gate in the event of the SCR containing a built-in gate-cathode resistor), will allow
the SCR to be triggered almost immediately at the beginning of every positive half-cycle:

We can delay the triggering of the SCR, however, by inserting some resistance into the gate circuit, thus
increasing the amount of voltage drop required before there is enough gate current to trigger the SCR. In other
words, if we make it harder for electrons to flow through the gate by adding a resistance, the AC voltage will
have to reach a higher point in its cycle before there will be enough gate current to turn the SCR on. The result
looks like this:
With the half-sine wave chopped up to a greater degree by delayed triggering of the SCR, the load receives
less average power (power is delivered for less time throughout a cycle). By making the series gate resistor
variable, we can make adjustments to the time-proportioned power:

Unfortunately, this control scheme has a significant limitation. In using the AC source waveform for our SCR
triggering signal, we limit control to the first half of the waveform's half-cycle. In other words, there is no way
for us to wait until after the wave's peak to trigger the SCR. This means we can turn down the power only to
the point where the SCR turns on at the very peak of the wave:
Raising the trigger threshold any more will cause the circuit to not trigger at all, since not even the peak of the
AC power voltage will be enough to trigger the SCR. The result will be no power to the load.

An ingenious solution to this control dilemma is found in the addition of a phase-shifting capacitor to the
circuit:

The smaller waveform shown on the graph is voltage across the capacitor. For the sake of illustrating the
phase shift, I'm assuming a condition of maximum control resistance where the SCR is not triggering at all and
there is no load current, save for what little current goes through the control resistor and capacitor. This
capacitor voltage will be phase-shifted anywhere from 0o to 90o lagging behind the power source AC waveform.
When this phase-shifted voltage reaches a high enough level, the SCR will trigger.

Assuming there is periodically enough voltage across the capacitor to trigger the SCR, the resulting load
current waveform will look something like this:
Because the capacitor waveform is still rising after the main AC power waveform has reached its peak, it
becomes possible to trigger the SCR at a threshold level beyond that peak, thus chopping the load current
wave further than it was possible with the simpler circuit. In reality, the capacitor voltage waveform is a bit
more complex that what is shown here, its sinusoidal shape distorted every time the SCR latches on. However,
what I'm trying to illustrate here is the delayed triggering action gained with the phase-shifting RC network,
and so a simplified, undistorted waveform serves the purpose well.

SCRs may also be triggered, or "fired," by more complex circuits. While the circuit previously shown is
sufficient for a simple application like a lamp control, large industrial motor controls often rely on more
sophisticated triggering methods. Sometimes, pulse transformers are used to couple a triggering circuit to the
gate and cathode of an SCR to provide electrical isolation between the triggering and power circuits:

When multiple SCRs are used to control power, their cathodes are often not electrically common, making it
difficult to connect a single triggering circuit to all SCRs equally. An example of this is the controlled bridge
rectifier shown here:
In any bridge rectifier circuit, the rectifying diodes (or in this case, the rectifying SCRs) must conduct in
opposite pairs. SCR1 and SCR3 must be fired simultaneously, and likewise SCR2 and SCR4 must be fired
together as a pair. As you will notice, though, these pairs of SCRs do not share the same cathode connections,
meaning that it would not work to simply parallel their respective gate connections and connect a single
voltage source to trigger both:

Although the triggering voltage source shown will trigger SCR4, it will not trigger SCR2 properly because the
two thyristors do not share a common cathode connection to reference that triggering voltage. Pulse
transformers connecting the two thyristor gates to a common triggering voltage source will work, however:
Bear in mind that this circuit only shows the gate connections for two out of the four SCRs. Pulse transformers
and triggering sources for SCR1 and SCR3, as well as the details of the pulse sources themselves, have been
omitted for the sake of simplicity.

Controlled bridge rectifiers are not limited to single-phase designs. In most industrial control systems, AC
power is available in three-phase form for maximum efficiency, and solid-state control circuits are built to take
advantage of that. A three-phase controlled rectifier circuit built with SCRs, without pulse transformers or
triggering circuitry shown, would look like this:

• REVIEW:
• A Silicon-Controlled Rectifier, or SCR, is essentially a Shockley diode with an extra terminal added.
This extra terminal is called the gate, and it is used to trigger the device into conduction (latch it) by
the application of a small voltage.
• To trigger, or fire, an SCR, voltage must be applied between the gate and cathode, positive to the
gate and negative to the cathode. When testing an SCR, a momentary connection between the gate
and anode is sufficient in polarity, intensity, and duration to trigger it.
• SCRs may be fired by intentional triggering of the gate terminal, excessive voltage (breakdown)
between anode and cathode, or excessive rate of voltage rise between anode and cathode. SCRs may
be turned off by anode current falling below the holding current value (low-current dropout), or by
"reverse-firing" the gate (applying a negative voltage to the gate). Reverse-firing is only sometimes
effective, and always involves high gate current.
• A variant of the SCR, called a Gate-Turn-Off thyristor (GTO), is specifically designed to be turned off
by means of reverse triggering. Even then, reverse triggering requires fairly high current: typically
20% of the anode current.
• SCR terminals may be identified by a continuity meter: the only two terminals showing any continuity
between them at all should be the gate and cathode. Gate and cathode terminals connect to a PN
junction inside the SCR, so a continuity meter should obtain a diode-like reading between these two
terminals with the red (+) lead on the gate and the black (-) lead on the cathode. Beware, though,
 that some large SCRs have an internal resistor connected between gate and cathode, which will affect
any continuity readings taken by a meter.
• SCRs are true rectifiers: they only allow current through them in one direction. This means they
cannot be used alone for full-wave AC power control.
• If the diodes in a rectifier circuit are replaced by SCRs, you have the makings of a controlled rectifier
circuit, whereby DC power to a load may be time-proportioned by triggering the SCRs at different
points along the AC power waveform.

<

The TRIAC

SCRs are unidirectional (one-way) current devices, making them useful for controlling DC only. If two SCRs are
joined in back-to-back parallel fashion just like two Shockley diodes were joined together to form a DIAC, we
have a new device known as the TRIAC:

Because individual SCRs are more flexible to use in advanced control systems, they are more commonly seen
in circuits like motor drives, while TRIACs are usually seen in simple, low-power applications like household
dimmer switches. A simple lamp dimmer circuit is shown here, complete with the phase-shifting resistor-
capacitor network necessary for after-peak firing.

TRIACs are notorious for not firing symmetrically. This means they usually won't trigger at the exact same gate
voltage level for one polarity as for the other. Generally speaking, this is undesirable, because unsymmetrical
firing results in a current waveform with a greater variety of harmonic frequencies. Waveforms that are
symmetrical above and below their average centerlines are comprised of only odd-numbered harmonics.
Unsymmetrical waveforms, on the other hand, contain even-numbered harmonics (which may or may not be
accompanied by odd-numbered harmonics as well).

In the interest of reducing total harmonic content in power systems, the fewer and less diverse the harmonics,
the better -- one more reason why individual SCRs are favored over TRIACs for complex, high-power control
circuits. One way to make the TRIAC's current waveform more symmetrical is to use a device external to the
TRIAC to time the triggering pulse. A DIAC placed in series with the gate does a fair job of this:

DIAC breakover voltages tend to be much more symmetrical (the same in one polarity as the other) than
TRIAC triggering voltage thresholds. Since the DIAC prevents any gate current until the triggering voltage has
reached a certain, repeatable level in either direction, the firing point of the TRIAC from one half-cycle to the
next tends to be more consistent, and the waveform more symmetrical above and below its centerline.

Practically all the characteristics and ratings of SCRs apply equally to TRIACs, except that TRIACs of course are
bidirectional (can handle current in both directions). Not much more needs to be said about this device except
for an important caveat concerning its terminal designations.

From the equivalent circuit diagram shown earlier, one might think that main terminals 1 and 2 were
interchangeable. They are not! Although it is helpful to imagine the TRIAC as being composed of two SCRs
joined together, it in fact is constructed from a single piece of semiconducting material, appropriately doped
and layered. The actual operating characteristics may differ slightly from that of the equivalent model.

This is made most evident by contrasting two simple circuit designs, one that works and one that doesn't. The
following two circuits are a variation of the lamp dimmer circuit shown earlier, the phase-shifting capacitor and
DIAC removed for simplicity's sake. Although the resulting circuit lacks the fine control ability of the more
complex version (with capacitor and DIAC), it does function:

Suppose we were to swap the two main terminals of the TRIAC around. According to the equivalent circuit
diagram shown earlier in this section, the swap should make no difference. The circuit ought to work:

However, if this circuit is built, it will be found that it does not work! The load will receive no power, the TRIAC
refusing to fire at all, no matter how low or high a resistance value the control resistor is set to. The key to
successfully triggering a TRIAC is to make sure the gate receives its triggering current from the main terminal
2 side of the circuit (the main terminal on the opposite side of the TRIAC symbol from the gate terminal).
Identification of the MT1 and MT2 terminals must be done via the TRIAC's part number with reference to a data
sheet or book.

• REVIEW:
• A TRIAC acts much like two SCRs connected back-to-back for bidirectional (AC) operation.
• TRIAC controls are more often seen in simple, low-power circuits than complex, high-power circuits.
In large power control circuits, multiple SCRs tend to be favored.
• When used to control AC power to a load, TRIACs are often accompanied by DIACs connected in series
with their gate terminals. The DIAC helps the TRIAC fire more symmetrically (more consistently from
one polarity to another).
• Main terminals 1 and 2 on a TRIAC are not interchangeable.
• To successfully trigger a TRIAC, gate current must come from the main terminal 2 (MT2) side of the
circuit!

Optothyristors

Like bipolar transistors, SCRs and TRIACs are also manufactured as light-sensitive devices, the action of
impinging light replacing the function of triggering voltage.

Optically-controlled SCRs are often known by the acronym LASCR, or Light Activated SCR. Its symbol, not
surprisingly, looks like this:

Optically-controlled TRIACs don't receive the honor of having their own acronym, but instead are humbly
known as opto-TRIACs. Their schematic symbol looks like this:

Optothyristors (a general term for either the LASCR or the opto-TRIAC) are commonly found inside sealed
"optoisolator" modules.

The Unijunction Transistor (UJT)

Programmable Unijunction Transistors (PUTs).

• REVIEW
The Silicon-Controlled Switch (SCS)

If we take the equivalent circuit for an SCR and add another external terminal, connected to the base of the
top transistor and the collector of the bottom transistor, we have a device known as a silicon-controlled-switch,
or SCS:

This extra terminal allows more control to be exerted over the device, particularly in the mode of forced
commutation, where an external signal forces it to turn off while the main current through the device has not
yet fallen below the holding current value. Consider the following circuit:

When the "on" pushbutton switch is actuated, there is a voltage applied between the cathode gate and the
cathode, forward-biasing the lower transistor's base-emitter junction, and turning it on. The top transistor of
the SCS is ready to conduct, having been supplied with a current path from its emitter terminal (the SCS's
anode terminal) through resistor R2 to the positive side of the power supply. As in the case of the SCR, both
transistors turn on and maintain each other in the "on" mode. When the lower transistor turns on, it conducts
the motor's load current, and the motor starts and runs.

The motor may be stopped by interrupting the power supply, as with an SCR, and this is called natural
commutation. However, the SCS provides us with another means of turning off: forced commutation by
shorting the anode terminal to the cathode. If this is done (by actuating the "off" pushbutton switch), the
upper transistor within the SCS will lose its emitter current, thus halting current through the base of the lower
transistor. When the lower transistor turns off, it breaks the circuit for base current through the top transistor
(securing its "off" state), and the motor (making it stop). The SCS will remain in the off condition until such
time that the "on" pushbutton switch is re-actuated.

• REVIEW:
• A silicon-controlled switch, or SCS, is essentially an SCR with an extra gate terminal.
• Typically, the load current through an SCS is carried by the anode gate and cathode terminals, with
the cathode gate and anode terminals sufficing as control leads.
• An SCS is turned on by applying a positive voltage between the cathode gate and cathode terminals.
It may be turned off (forced commutation) by applying a negative voltage between the anode and
cathode terminals, or simply by shorting those two terminals together. The anode terminal must be
kept positive with respect to the cathode in order for the SCS to latch.

Field-effect-controlled thyristors

Two relatively recent technologies designed to reduce the "driving" (gate trigger current) requirements of
classic thyristor devices are the MOS-gated thyristor and the MOS Controlled Thyristor, or MCT.

The MOS-gated thyristor uses a MOSFET to initiate conduction through the upper (PNP) transistor of a normal
thyristor structure, thus triggering the device. Since a MOSFET requires negligible current to "drive" (cause it
to saturate), this makes the thyristor as a whole very easy to trigger:

Given the fact that ordinary SCRs are quite easy to "drive" as it is, the practical advantage of using an even
more sensitive device (a MOSFET) to initiate triggering is debatable. Also, placing a MOSFET at the gate input
of the thyristor now makes it impossible to turn it off by a reverse-triggering signal. Only low-current dropout
can make this device stop conducting after it has been latched.

A device of arguably greater value would be a fully-controllable thyristor, whereby a small gate signal could
both trigger the thyristor and force it to turn off. Such a device does exist, and it is called the MOS Controlled
Thyristor, or MCT. It uses a pair of MOSFETs connected to a common gate terminal, one to trigger the thyristor
and the other to "untrigger" it:
A positive gate voltage (with respect to the cathode) turns on the upper (N-channel) MOSFET, allowing base
current through the upper (PNP) transistor, which latches the transistor pair in an "on" state. Once both
transistors are fully latched, there will be little voltage dropped between anode and cathode, and the thyristor
will remain latched so long as the controlled current exceeds the minimum (holding) current value. However, if
a negative gate voltage is applied (with respect to the anode, which is at nearly the same voltage as the
cathode in the latched state), the lower MOSFET will turn on and "short" between the lower (NPN) transistor's
base and emitter terminals, thus forcing it into cutoff. Once the NPN transistor cuts off, the PNP transistor will
drop out of conduction, and the whole thyristor turns off. Gate voltage has full control over conduction through
the MCT: to turn it on and to turn it off.

This device is still a thyristor, though. If there is zero voltage applied between gate and cathode, neither
MOSFET will turn on. Consequently, the bipolar transistor pair will remain in whatever state it was last in
(hysteresis). So, a brief positive pulse to the gate turns the MCT on, a brief negative pulse forces it off, and no
applied gate voltage lets it remain in whatever state it is already in. In essence, the MCT is a latching version
of the IGBT (Insulated Gate Bipolar Transistor).

• REVIEW:
• A MOS-gated thyristor uses an N-channel MOSFET to trigger a thyristor, resulting in an extremely low
gate current requirement.
• A MOS Controlled Thyristor, or MCT, uses two MOSFETS to exert full control over the thyristor. A
positive gate voltage triggers the device, while a negative gate voltage forces it to turn off. Zero gate
voltage allows the thyristor to remain in whatever state it was previously in (off, or latched on).

Chapter 8: OPERATIONAL AMPLIFIERS

Introduction

The operational amplifier is arguably the most useful single device in analog electronic circuitry. With only a
handful of external components, it can be made to perform a wide variety of analog signal processing tasks. It
is also quite affordable, most general-purpose amplifiers selling for under a dollar apiece. Modern designs have
been engineered with durability in mind as well: several "op-amps" are manufactured that can sustain direct
short-circuits on their outputs without damage.
One key to the usefulness of these little circuits is in the engineering principle of feedback, particularly negative
feedback, which constitutes the foundation of almost all automatic control processes. The principles presented
here in operational amplifier circuits, therefore, extend well beyond the immediate scope of electronics. It is
well worth the electronics student's time to learn these principles and learn them well.

Single-ended and differential amplifiers

For ease of drawing complex circuit diagrams, electronic amplifiers are often symbolized by a simple triangle
shape, where the internal components are not individually represented. This symbology is very handy for cases
where an amplifier's construction is irrelevant to the greater function of the overall circuit, and it is worthy of
familiarization:

The +V and -V connections denote the positive and negative sides of the DC power supply, respectively. The
input and output voltage connections are shown as single conductors, because it is assumed that all signal
voltages are referenced to a common connection in the circuit called ground. Often (but not always!), one pole
of the DC power supply, either positive or negative, is that ground reference point. A practical amplifier circuit
(showing the input voltage source, load resistance, and power supply) might look like this:

Without having to analyze the actual transistor design of the amplifier, you can readily discern the whole
circuit's function: to take an input signal (Vin), amplify it, and drive a load resistance (Rload). To complete the
above schematic, it would be good to specify the gains of that amplifier (AV, AI, AP) and the Q (bias) point for
any needed mathematical analysis.

If it is necessary for an amplifier to be able to output true AC voltage (reversing polarity) to the load, a split DC
power supply may be used, whereby the ground point is electrically "centered" between +V and -V. Sometimes
the split power supply configuration is referred to as a dual power supply.
The amplifier is still being supplied with 30 volts overall, but with the split voltage DC power supply, the output
voltage across the load resistor can now swing from a theoretical maximum of +15 volts to -15 volts, instead
of +30 volts to 0 volts. This is an easy way to get true alternating current (AC) output from an amplifier
without resorting to capacitive or inductive (transformer) coupling on the output. The peak-to-peak amplitude
of this amplifier's output between cutoff and saturation remains unchanged.

By signifying a transistor amplifier within a larger circuit with a triangle symbol, we ease the task of studying
and analyzing more complex amplifiers and circuits. One of these more complex amplifier types that we'll be
studying is called the differential amplifier. Unlike normal amplifiers, which amplify a single input signal (often
called single-ended amplifiers), differential amplifiers amplify the voltage difference between two input signals.
Using the simplified triangle amplifier symbol, a differential amplifier looks like this:

The two input leads can be seen on the left-hand side of the triangular amplifier symbol, the output lead on the
right-hand side, and the +V and -V power supply leads on top and bottom. As with the other example, all
voltages are referenced to the circuit's ground point. Notice that one input lead is marked with a (-) and the
other is marked with a (+). Because a differential amplifier amplifies the difference in voltage between the two
inputs, each input influences the output voltage in opposite ways. Consider the following table of input/output
voltages for a differential amplifier with a voltage gain of 4:
An increasingly positive voltage on the (+) input tends to drive the output voltage more positive, and an
increasingly positive voltage on the (-) input tends to drive the output voltage more negative. Likewise, an
increasingly negative voltage on the (+) input tends to drive the output negative as well, and an increasingly
negative voltage on the (-) input does just the opposite. Because of this relationship between inputs and
polarities, the (-) input is commonly referred to as the inverting input and the (+) as the noninverting input.

It may be helpful to think of a differential amplifier as a variable voltage source controlled by a sensitive
voltmeter, as such:

Bear in mind that the above illustration is only a model to aid in understanding the behavior of a differential
amplifier. It is not a realistic schematic of its actual design. The "G" symbol represents a galvanometer, a
sensitive voltmeter movement. The potentiometer connected between +V and -V provides a variable voltage at
the output pin (with reference to one side of the DC power supply), that variable voltage set by the reading of
the galvanometer. It must be understood that any load powered by the output of a differential amplifier gets
its current from the DC power source (battery), not the input signal. The input signal (to the galvanometer)
merely controls the output.

This concept may at first be confusing to students new to amplifiers. With all these polarities and polarity
markings (- and +) around, it's easy to get confused and not know what the output of a differential amplifier
will be. To address this potential confusion, here's a simple rule to remember:

When the polarity of the differential voltage matches the markings for inverting and noninverting inputs, the
output will be positive. When the polarity of the differential voltage clashes with the input markings, the output
will be negative. This bears some similarity to the mathematical sign displayed by digital voltmeters based on
input voltage polarity. The red test lead of the voltmeter (often called the "positive" lead because of the color
red's popular association with the positive side of a power supply in electronic wiring) is more positive than the
black, the meter will display a positive voltage figure, and visa-versa:
Just as a voltmeter will only display the voltage between its two test leads, an ideal differential amplifier only
amplifies the potential difference between its two input connections, not the voltage between any one of those
connections and ground. The output polarity of a differential amplifier, just like the signed indication of a digital
voltmeter, depends on the relative polarities of the differential voltage between the two input connections.

If the input voltages to this amplifier represented mathematical quantities (as is the case within analog
computer circuitry), or physical process measurements (as is the case within analog electronic instrumentation
circuitry), you can see how a device such as a differential amplifier could be very useful. We could use it to
compare two quantities to see which is greater (by the polarity of the output voltage), or perhaps we could
compare the difference between two quantities (such as the level of liquid in two tanks) and flag an alarm
(based on the absolute value of the amplifier output) if the difference became too great. In basic automatic
control circuitry, the quantity being controlled (called the process variable) is compared with a target value
(called the setpoint), and decisions are made as to how to act based on the discrepancy between these two
values. The first step in electronically controlling such a scheme is to amplify the difference between the
process variable and the setpoint with a differential amplifier. In simple controller designs, the output of this
differential amplifier can be directly utilized to drive the final control element (such as a valve) and keep the
process reasonably close to setpoint.

• REVIEW:
• A "shorthand" symbol for an electronic amplifier is a triangle, the wide end signifying the input side
and the narrow end signifying the output. Power supply lines are often omitted in the drawing for
simplicity.
• To facilitate true AC output from an amplifier, we can use what is called a split or dual power supply,
with two DC voltage sources connected in series with the middle point grounded, giving a positive
voltage to ground (+V) and a negative voltage to ground (-V). Split power supplies like this are
frequently used in differential amplifier circuits.
• Most amplifiers have one input and one output. Differential amplifiers have two inputs and one output,
the output signal being proportional to the difference in signals between the two inputs.
• The voltage output of a differential amplifier is determined by the following equation: Vout = AV(Vnoninv -
Vinv)

The "operational" amplifier

Long before the advent of digital electronic technology, computers were built to electronically perform
calculations by employing voltages and currents to represent numerical quantities. This was especially useful
for the simulation of physical processes. A variable voltage, for instance, might represent velocity or force in a
physical system. Through the use of resistive voltage dividers and voltage amplifiers, the mathematical
operations of division and multiplication could be easily performed on these signals.

The reactive properties of capacitors and inductors lend themselves well to the simulation of variables related
by calculus functions. Remember how the current through a capacitor was a function of the voltage's rate of
change, and how that rate of change was designated in calculus as the derivative? Well, if voltage across a
capacitor were made to represent the velocity of an object, the current through the capacitor would represent
the force required to accelerate or decelerate that object, the capacitor's capacitance representing the object's
mass:
This analog electronic computation of the calculus derivative function is technically known as differentiation,
and it is a natural function of a capacitor's current in relation to the voltage applied across it. Note that this
circuit requires no "programming" to perform this relatively advanced mathematical function as a digital
computer would.

Electronic circuits are very easy and inexpensive to create compared to complex physical systems, so this kind
of analog electronic simulation was widely used in the research and development of mechanical systems. For
realistic simulation, though, amplifier circuits of high accuracy and easy configurability were needed in these
early computers.

It was found in the course of analog computer design that differential amplifiers with extremely high voltage
gains met these requirements of accuracy and configurability better than single-ended amplifiers with custom-
designed gains. Using simple components connected to the inputs and output of the high-gain differential
amplifier, virtually any gain and any function could be obtained from the circuit, overall, without adjusting or
modifying the internal circuitry of the amplifier itself. These high-gain differential amplifiers came to be known
as operational amplifiers, or op-amps, because of their application in analog computers' mathematical
operations.

Modern op-amps, like the popular model 741, are high-performance, inexpensive integrated circuits. Their
input impedances are quite high, the inputs drawing currents in the range of half a microamp (maximum) for
the 741, and far less for op-amps utilizing field-effect input transistors. Output impedance is typically quite low,
about 75 Ω for the model 741, and many models have built-in output short circuit protection, meaning that
their outputs can be directly shorted to ground without causing harm to the internal circuitry. With direct
coupling between op-amps' internal transistor stages, they can amplify DC signals just as well as AC (up to
certain maximum voltage-risetime limits). It would cost far more in money and time to design a comparable
discrete-transistor amplifier circuit to match that kind of performance, unless high power capability was
required. For these reasons, op-amps have all but obsoleted discrete-transistor signal amplifiers in many
applications.

The following diagram shows the pin connections for single op-amps (741 included) when housed in an 8-pin
DIP (Dual Inline Package) integrated circuit:
Some models of op-amp come two to a package, including the popular models TL082 and 1458. These are
called "dual" units, and are typically housed in an 8-pin DIP package as well, with the following pin
connections:

Operational amplifiers are also available four to a package, usually in 14-pin DIP arrangements. Unfortunately,
pin assignments aren't as standard for these "quad" op-amps as they are for the "dual" or single units. Consult
the manufacturer datasheet(s) for details.
Practical operational amplifier voltage gains are in the range of 200,000 or more, which makes them almost
useless as an analog differential amplifier by themselves. For an op-amp with a voltage gain (AV) of 200,000
and a maximum output voltage swing of +15V/-15V, all it would take is a differential input voltage of 75 µV
(microvolts) to drive it to saturation or cutoff! Before we take a look at how external components are used to
bring the gain down to a reasonable level, let's investigate applications for the "bare" op-amp by itself.

One application is called the comparator. For all practical purposes, we can say that the output of an op-amp
will be saturated fully positive if the (+) input is more positive than the (-) input, and saturated fully negative if
the (+) input is less positive than the (-) input. In other words, an op-amp's extremely high voltage gain
makes it useful as a device to compare two voltages and change output voltage states when one input exceeds
the other in magnitude.

In the above circuit, we have an op-amp connected as a comparator, comparing the input voltage with a
reference voltage set by the potentiometer (R1). If Vin drops below the voltage set by R1, the op-amp's output
will saturate to +V, thereby lighting up the LED. Otherwise, if Vin is above the reference voltage, the LED will
remain off. If Vin is a voltage signal produced by a measuring instrument, this comparator circuit could function
as a "low" alarm, with the trip-point set by R1. Instead of an LED, the op-amp output could drive a relay, a
transistor, an SCR, or any other device capable of switching power to a load such as a solenoid valve, to take
action in the event of a low alarm.

Another application for the comparator circuit shown is a square-wave converter. Suppose that the input
voltage applied to the inverting (-) input was an AC sine wave rather than a stable DC voltage. In that case,
the output voltage would transition between opposing states of saturation whenever the input voltage was
equal to the reference voltage produced by the potentiometer. The result would be a square wave:
Adjustments to the potentiometer setting would change the reference voltage applied to the noninverting (+)
input, which would change the points at which the sine wave would cross, changing the on/off times, or duty
cycle of the square wave:

It should be evident that the AC input voltage would not have to be a sine wave in particular for this circuit to
perform the same function. The input voltage could be a triangle wave, sawtooth wave, or any other sort of
wave that ramped smoothly from positive to negative to positive again. This sort of comparator circuit is very
useful for creating square waves of varying duty cycle. This technique is sometimes referred to as pulse-width
modulation, or PWM (varying, or modulating a waveform according to a controlling signal, in this case the
signal produced by the potentiometer).

Another comparator application is that of the bargraph driver. If we had several op-amps connected as
comparators, each with its own reference voltage connected to the inverting input, but each one monitoring
the same voltage signal on their noninverting inputs, we could build a bargraph-style meter such as what is
commonly seen on the face of stereo tuners and graphic equalizers. As the signal voltage (representing radio
signal strength or audio sound level) increased, each comparator would "turn on" in sequence and send power
to its respective LED. With each comparator switching "on" at a different level of audio sound, the number of
LED's illuminated would indicate how strong the signal was.
In the circuit shown above, LED1 would be the first to light up as the input voltage increased in a positive
direction. As the input voltage continued to increase, the other LED's would illuminate in succession, until all
were lit.

This very same technology is used in some analog-to-digital signal converters, namely the flash converter, to
translate an analog signal quantity into a series of on/off voltages representing a digital number.

• REVIEW:
• A triangle shape is the generic symbol for an amplifier circuit, the wide end signifying the input and
the narrow end signifying the output.
• Unless otherwise specified, all voltages in amplifier circuits are referenced to a common ground point,
usually connected to one terminal of the power supply. This way, we can speak of a certain amount of
voltage being "on" a single wire, while realizing that voltage is always measured between two points.
• A differential amplifier is one amplifying the voltage difference between two signal inputs. In such a
circuit, one input tends to drive the output voltage to the same polarity of the input signal, while the
other input does just the opposite. Consequently, the first input is called the noninverting (+) input
and the second is called the inverting (-) input.
• An operational amplifier (or op-amp for short) is a differential amplifier with an extremely high voltage
gain (AV = 200,000 or more). Its name hails from its original use in analog computer circuitry
(performing mathematical operations).
• Op-amps typically have very high input impedances and fairly low output impedances.
• Sometimes op-amps are used as signal comparators, operating in full cutoff or saturation mode
depending on which input (inverting or noninverting) has the greatest voltage. Comparators are useful
in detecting "greater-than" signal conditions (comparing one to the other).
• One comparator application is called the pulse-width modulator, and is made by comparing a sine-
wave AC signal against a DC reference voltage. As the DC reference voltage is adjusted, the square-
wave output of the comparator changes its duty cycle (positive versus negative times). Thus, the DC
reference voltage controls, or modulates the pulse width of the output voltage.
Negative feedback

If we connect the output of an op-amp to its inverting input and apply a voltage signal to the noninverting
input, we find that the output voltage of the op-amp closely follows that input voltage (I've neglected to draw
in the power supply, +V/-V wires, and ground symbol for simplicity):

As Vin increases, Vout will increase in accordance with the differential gain. However, as Vout increases, that
output voltage is fed back to the inverting input, thereby acting to decrease the voltage differential between
inputs, which acts to bring the output down. What will happen for any given voltage input is that the op-amp
will output a voltage very nearly equal to Vin, but just low enough so that there's enough voltage difference left
between Vin and the (-) input to be amplified to generate the output voltage.

The circuit will quickly reach a point of stability (known as equilibrium in physics), where the output voltage is
just the right amount to maintain the right amount of differential, which in turn produces the right amount of
output voltage. Taking the op-amp's output voltage and coupling it to the inverting input is a technique known
as negative feedback, and it is the key to having a self-stabilizing system (this is true not only of op-amps, but
of any dynamic system in general). This stability gives the op-amp the capacity to work in its linear (active)
mode, as opposed to merely being saturated fully "on" or "off" as it was when used as a comparator, with no
feedback at all.

Because the op-amp's gain is so high, the voltage on the inverting input can be maintained almost equal to Vin.
Let's say that our op-amp has a differential voltage gain of 200,000. If Vin equals 6 volts, the output voltage
will be 5.999970000149999 volts. This creates just enough differential voltage (6 volts - 5.999970000149999
volts = 29.99985 µV) to cause 5.999970000149999 volts to be manifested at the output terminal, and the
system holds there in balance. As you can see, 29.99985 µV is not a lot of differential, so for practical
calculations, we can assume that the differential voltage between the two input wires is held by negative
feedback exactly at 0 volts.
One great advantage to using an op-amp with negative feedback is that the actual voltage gain of the op-amp
doesn't matter, so long as it's very large. If the op-amp's differential gain were 250,000 instead of 200,000, all
it would mean is that the output voltage would hold just a little closer to Vin (less differential voltage needed
between inputs to generate the required output). In the circuit just illustrated, the output voltage would still be
(for all practical purposes) equal to the non-inverting input voltage. Op-amp gains, therefore, do not have to
be precisely set by the factory in order for the circuit designer to build an amplifier circuit with precise gain.
Negative feedback makes the system self-correcting. The above circuit as a whole will simply follow the input
voltage with a stable gain of 1.

Going back to our differential amplifier model, we can think of the operational amplifier as being a variable
voltage source controlled by an extremely sensitive null detector, the kind of meter movement or other
sensitive measurement device used in bridge circuits to detect a condition of balance (zero volts). The
"potentiometer" inside the op-amp creating the variable voltage will move to whatever position it must to
"balance" the inverting and noninverting input voltages so that the "null detector" has zero voltage across it:

As the "potentiometer" will move to provide an output voltage necessary to satisfy the "null detector" at an
"indication" of zero volts, the output voltage becomes equal to the input voltage: in this case, 6 volts. If the
input voltage changes at all, the "potentiometer" inside the op-amp will change position to hold the "null
detector" in balance (indicating zero volts), resulting in an output voltage approximately equal to the input
voltage at all times.

This will hold true within the range of voltages that the op-amp can output. With a power supply of +15V/-15V,
and an ideal amplifier that can swing its output voltage just as far, it will faithfully "follow" the input voltage
between the limits of +15 volts and -15 volts. For this reason, the above circuit is known as a voltage follower.
Like its one-transistor counterpart, the common-collector ("emitter-follower") amplifier, it has a voltage gain of
1, a high input impedance, a low output impedance, and a high current gain. Voltage followers are also known
as voltage buffers, and are used to boost the current-sourcing ability of voltage signals too weak (too high of
source impedance) to directly drive a load. The op-amp model shown in the last illustration depicts how the
output voltage is essentially isolated from the input voltage, so that current on the output pin is not supplied
by the input voltage source at all, but rather from the power supply powering the op-amp.

It should be mentioned that many op-amps cannot swing their output voltages exactly to +V/-V power supply
rail voltages. The model 741 is one of those that cannot: when saturated, its output voltage peaks within about
one volt of the +V power supply voltage and within about 2 volts of the -V power supply voltage. Therefore,
with a split power supply of +15/-15 volts, a 741 op-amp's output may go as high as +14 volts or as low as -
13 volts (approximately), but no further. This is due to its bipolar transistor design. These two voltage limits
are known as the positive saturation voltage and negative saturation voltage, respectively. Other op-amps,
such as the model 3130 with field-effect transistors in the final output stage, have the ability to swing their
output voltages within millivolts of either power supply rail voltage. Consequently, their positive and negative
saturation voltages are practically equal to the supply voltages.

• REVIEW:
• Connecting the output of an op-amp to its inverting (-) input is called negative feedback. This term
can be broadly applied to any dynamic system where the output signal is "fed back" to the input
somehow so as to reach a point of equilibrium (balance).
• When the output of an op-amp is directly connected to its inverting (-) input, a voltage follower will be
created. Whatever signal voltage is impressed upon the noninverting (+) input will be seen on the
output.
• An op-amp with negative feedback will try to drive its output voltage to whatever level necessary so
that the differential voltage between the two inputs is practically zero. The higher the op-amp
differential gain, the closer that differential voltage will be to zero.
• Some op-amps cannot produce an output voltage equal to their supply voltage when saturated. The
model 741 is one of these. The upper and lower limits of an op-amp's output voltage swing are known
as positive saturation voltage and negative saturation voltage, respectively.

Divided feedback

If we add a voltage divider to the negative feedback wiring so that only a fraction of the output voltage is fed
back to the inverting input instead of the full amount, the output voltage will be a multiple of the input voltage
(please bear in mind that the power supply connections to the op-amp have been omitted once again for
simplicity's sake):
If R1 and R2 are both equal and Vin is 6 volts, the op-amp will output whatever voltage is needed to drop 6 volts
across R1 (to make the inverting input voltage equal to 6 volts, as well, keeping the voltage difference between
the two inputs equal to zero). With the 2:1 voltage divider of R1 and R2, this will take 12 volts at the output of
the op-amp to accomplish.

Another way of analyzing this circuit is to start by calculating the magnitude and direction of current through
R1, knowing the voltage on either side (and therefore, by subtraction, the voltage across R1), and R1's
resistance. Since the left-hand side of R1 is connected to ground (0 volts) and the right-hand side is at a
potential of 6 volts (due to the negative feedback holding that point equal to Vin), we can see that we have 6
volts across R1. This gives us 6 mA of current through R1 from left to right. Because we know that both inputs
of the op-amp have extremely high impedance, we can safely assume they won't add or subtract any current
through the divider. In other words, we can treat R1 and R2 as being in series with each other: all of the
electrons flowing through R1 must flow through R2. Knowing the current through R2 and the resistance of R2,
we can calculate the voltage across R2 (6 volts), and its polarity. Counting up voltages from ground (0 volts) to
the right-hand side of R2, we arrive at 12 volts on the output.

Upon examining the last illustration, one might wonder, "where does that 1 mA of current go?" The last
illustration doesn't show the entire current path, but in reality it comes from the negative side of the DC power
supply, through ground, through R1, through R2, through the output pin of the op-amp, and then back to the
positive side of the DC power supply through the output transistor(s) of the op-amp. Using the null
detector/potentiometer model of the op-amp, the current path looks like this:

The 6 volt signal source does not have to supply any current for the circuit: it merely commands the op-amp to
balance voltage between the inverting (-) and noninverting (+) input pins, and in so doing produce an output
voltage that is twice the input due to the dividing effect of the two 1 kΩ resistors.

We can change the voltage gain of this circuit, overall, just by adjusting the values of R1 and R2 (changing the
ratio of output voltage that is fed back to the inverting input). Gain can be calculated by the following formula:

Note that the voltage gain for this design of amplifier circuit can never be less than 1. If we were to lower R2 to
a value of zero ohms, our circuit would be essentially identical to the voltage follower, with the output directly
connected to the inverting input. Since the voltage follower has a gain of 1, this sets the lower gain limit of the
noninverting amplifier. However, the gain can be increased far beyond 1, by increasing R2 in proportion to R1.

Also note that the polarity of the output matches that of the input, just as with a voltage follower. A positive
input voltage results in a positive output voltage, and visa-versa (with respect to ground). For this reason, this
circuit is referred to as a noninverting amplifier.
Just as with the voltage follower, we see that the differential gain of the op-amp is irrelevant, so long as it's
very high. The voltages and currents in this circuit would hardly change at all if the op-amp's voltage gain were
250,000 instead of 200,000. This stands as a stark contrast to single-transistor amplifier circuit designs, where
the Beta of the individual transistor greatly influenced the overall gains of the amplifier. With negative
feedback, we have a self-correcting system that amplifies voltage according to the ratios set by the feedback
resistors, not the gains internal to the op-amp.

Let's see what happens if we retain negative feedback through a voltage divider, but apply the input voltage at
a different location:

By grounding the noninverting input, the negative feedback from the output seeks to hold the inverting input's
voltage at 0 volts, as well. For this reason, the inverting input is referred to in this circuit as a virtual ground,
being held at ground potential (0 volts) by the feedback, yet not directly connected to (electrically common
with) ground. The input voltage this time is applied to the left-hand end of the voltage divider (R1 = R2 = 1 kΩ
again), so the output voltage must swing to -6 volts in order to balance the middle at ground potential (0
volts). Using the same techniques as with the noninverting amplifier, we can analyze this circuit's operation by
determining current magnitudes and directions, starting with R1, and continuing on to determining the output
voltage.

We can change the overall voltage gain of this circuit, overall, just by adjusting the values of R1 and R2
(changing the ratio of output voltage that is fed back to the inverting input). Gain can be calculated by the
following formula:

Note that this circuit's voltage gain can be less than 1, depending solely on the ratio of R2 to R1. Also note that
the output voltage is always the opposite polarity of the input voltage. A positive input voltage results in a
negative output voltage, and visa-versa (with respect to ground). For this reason, this circuit is referred to as
an inverting amplifier. Sometimes, the gain formula contains a negative sign (before the R2/R1 fraction) to
reflect this reversal of polarities.

These two amplifier circuits we've just investigated serve the purpose of multiplying or dividing the magnitude
of the input voltage signal. This is exactly how the mathematical operations of multiplication and division are
typically handled in analog computer circuitry.

• REVIEW:
• By connecting the inverting (-) input of an op-amp directly to the output, we get negative feedback,
which gives us a voltage follower circuit. By connecting that negative feedback through a resistive
voltage divider (feeding back a fraction of the output voltage to the inverting input), the output
voltage becomes a multiple of the input voltage.
• A negative-feedback op-amp circuit with the input signal going to the noninverting (+) input is called
a noninverting amplifier. The output voltage will be the same polarity as the input. Voltage gain is
given by the following equation: AV = (R2/R1) + 1
• A negative-feedback op-amp circuit with the input signal going to the "bottom" of the resistive voltage
divider, with the noninverting (+) input grounded, is called an inverting amplifier. Its output voltage
will be the opposite polarity of the input. Voltage gain is given by the following equation: AV = R2/R1
An analogy for divided feedback

A helpful analogy for understanding divided feedback amplifier circuits is that of a mechanical lever, with
relative motion of the lever's ends representing change in input and output voltages, and the fulcrum (pivot
point) representing the location of the ground point, real or virtual.

Take for example the following noninverting op-amp circuit. We know from the prior section that the voltage
gain of a noninverting amplifier configuration can never be less than unity (1). If we draw a lever diagram next
to the amplifier schematic, with the distance between fulcrum and lever ends representative of resistor values,
the motion of the lever will signify changes in voltage at the input and output terminals of the amplifier:

Physicists call this type of lever, with the input force (effort) applied between the fulcrum and output (load), a
third-class lever. It is characterized by an output displacement (motion) at least as large than the input
displacement -- a "gain" of at least 1 -- and in the same direction. Applying a positive input voltage to this op-
amp circuit is analogous to displacing the "input" point on the lever upward:
Due to the displacement-amplifying characteristics of the lever, the "output" point will move twice as far as the
"input" point, and in the same direction. In the electronic circuit, the output voltage will equal twice the input,
with the same polarity. Applying a negative input voltage is analogous to moving the lever downward from its
level "zero" position, resulting in an amplified output displacement that is also negative:
If we alter the resistor ratio R2/R1, we change the gain of the op-amp circuit. In lever terms, this means
moving the input point in relation to the fulcrum and lever end, which similarly changes the displacement
"gain" of the machine:

Now, any input signal will become amplified by a factor of four instead of by a factor of two:
Inverting op-amp circuits may be modeled using the lever analogy as well. With the inverting configuration,
the ground point of the feedback voltage divider is the op-amp's inverting input with the input to the left and
the output to the right. This is mechanically equivalent to a first-class lever, where the input force (effort) is on
the opposite side of the fulcrum from the output (load):

With equal-value resistors (equal-lengths of lever on each side of the fulcrum), the output voltage
(displacement) will be equal in magnitude to the input voltage (displacement), but of the opposite polarity
(direction). A positive input results in a negative output:
Changing the resistor ratio R2/R1 changes the gain of the amplifier circuit, just as changing the fulcrum position
on the lever changes its mechanical displacement "gain." Consider the following example, where R2 is made
twice as large as R1:

With the inverting amplifier configuration, though, gains of less than 1 are possible, just as with first-class
levers. Reversing R2 and R1 values is analogous to moving the fulcrum to its complementary position on the
lever: one-third of the way from the output end. There, the output displacement will be one-half the input
displacement:
Voltage-to-current signal conversion

In instrumentation circuitry, DC signals are often used as analog representations of physical measurements
such as temperature, pressure, flow, weight, and motion. Most commonly, DC current signals are used in
preference to DC voltage signals, because current signals are exactly equal in magnitude throughout the series
circuit loop carrying current from the source (measuring device) to the load (indicator, recorder, or controller),
whereas voltage signals in a parallel circuit may vary from one end to the other due to resistive wire losses.
Furthermore, current-sensing instruments typically have low impedances (while voltage-sensing instruments
have high impedances), which gives current-sensing instruments greater electrical noise immunity.

In order to use current as an analog representation of a physical quantity, we have to have some way of
generating a precise amount of current within the signal circuit. But how do we generate a precise current
signal when we might not know the resistance of the loop? The answer is to use an amplifier designed to hold
current to a prescribed value, applying as much or as little voltage as necessary to the load circuit to maintain
that value. Such an amplifier performs the function of a current source. An op-amp with negative feedback is a
perfect candidate for such a task:

The input voltage to this circuit is assumed to be coming from some type of physical transducer/amplifier
arrangement, calibrated to produce 1 volt at 0 percent of physical measurement, and 5 volts at 100 percent of
physical measurement. The standard analog current signal range is 4 mA to 20 mA, signifying 0% to 100% of
measurement range, respectively. At 5 volts input, the 250 Ω (precision) resistor will have 5 volts applied
across it, resulting in 20 mA of current in the large loop circuit (with Rload). It does not matter what resistance
value Rload is, or how much wire resistance is present in that large loop, so long as the op-amp has a high
enough power supply voltage to output the voltage necessary to get 20 mA flowing through Rload. The 250 Ω
resistor establishes the relationship between input voltage and output current, in this case creating the
equivalence of 1-5 V in / 4-20 mA out. If we were converting the 1-5 volt input signal to a 10-50 mA output
signal (an older, obsolete instrumentation standard for industry), we'd use a 100 Ω precision resistor instead.

Another name for this circuit is transconductance amplifier. In electronics, transconductance is the
mathematical ratio of current change divided by voltage change (∆I / ∆ V), and it is measured in the unit of
Siemens, the same unit used to express conductance (the mathematical reciprocal of resistance:
current/voltage). In this circuit, the transconductance ratio is fixed by the value of the 250 Ω resistor, giving a
linear current-out/voltage-in relationship.

• REVIEW:
• In industry, DC current signals are often used in preference to DC voltage signals as analog
representations of physical quantities. Current in a series circuit is absolutely equal at all points in that
circuit regardless of wiring resistance, whereas voltage in a parallel-connected circuit may vary from
end to end because of wire resistance, making current-signaling more accurate from the
"transmitting" to the "receiving" instrument.
• Voltage signals are relatively easy to produce directly from transducer devices, whereas accurate
current signals are not. Op-amps can be used to "convert" a voltage signal into a current signal quite
easily. In this mode, the op-amp will output whatever voltage is necessary to maintain current
through the signaling circuit at the proper value.

Averager and summer circuits

If we take three equal resistors and connect one end of each to a common point, then apply three input
voltages (one to each of the resistors' free ends), the voltage seen at the common point will be the
mathematical average of the three.

This circuit is really nothing more than a practical application of Millman's Theorem:
This circuit is commonly known as a passive averager, because it generates an average voltage with non-
amplifying components. Passive simply means that it is an unamplified circuit. The large equation to the right
of the averager circuit comes from Millman's Theorem, which describes the voltage produced by multiple
voltage sources connected together through individual resistances. Since the three resistors in the averager
circuit are equal to each other, we can simplify Millman's formula by writing R1, R2, and R3 simply as R (one,
equal resistance instead of three individual resistances):

If we take a passive averager and use it to connect three input voltages into an op-amp amplifier circuit with a
gain of 3, we can turn this averaging function into an addition function. The result is called a noninverting
summer circuit:

With a voltage divider composed of a 2 kΩ / 1 kΩ combination, the noninverting amplifier circuit will have a
voltage gain of 3. By taking the voltage from the passive averager, which is the sum of V1, V2, and V3 divided
by 3, and multiplying that average by 3, we arrive at an output voltage equal to the sum of V1, V2, and V3:
Much the same can be done with an inverting op-amp amplifier, using a passive averager as part of the voltage
divider feedback circuit. The result is called an inverting summer circuit:

Now, with the right-hand sides of the three averaging resistors connected to the virtual ground point of the op-
amp's inverting input, Millman's Theorem no longer directly applies as it did before. The voltage at the virtual
ground is now held at 0 volts by the op-amp's negative feedback, whereas before it was free to float to the
average value of V1, V2, and V3. However, with all resistor values equal to each other, the currents through
each of the three resistors will be proportional to their respective input voltages. Since those three currents will
add at the virtual ground node, the algebraic sum of those currents through the feedback resistor will produce
a voltage at Vout equal to V1 + V2 + V3, except with reversed polarity. The reversal in polarity is what makes
this circuit an inverting summer:

Summer (adder) circuits are quite useful in analog computer design, just as multiplier and divider circuits
would be. Again, it is the extremely high differential gain of the op-amp which allows us to build these useful
circuits with a bare minimum of components.

• REVIEW:
• A summer circuit is one that sums, or adds, multiple analog voltage signals together. There are two
basic varieties of op-amp summer circuits: noninverting and inverting.

Building a differential amplifier

An op-amp with no feedback is already a differential amplifier, amplifying the voltage difference between the
two inputs. However, its gain cannot be controlled, and it is generally too high to be of any practical use. So
far, our application of negative feedback to op-amps has resulting in the practical loss of one of the inputs, the
resulting amplifier only good for amplifying a single voltage signal input. With a little ingenuity, however, we
can construct an op-amp circuit maintaining both voltage inputs, yet with a controlled gain set by external
resistors.
If all the resistor values are equal, this amplifier will have a differential voltage gain of 1. The analysis of this
circuit is essentially the same as that of an inverting amplifier, except that the noninverting input (+) of the
op-amp is at a voltage equal to a fraction of V2, rather than being connected directly to ground. As would stand
to reason, V2 functions as the noninverting input and V1 functions as the inverting input of the final amplifier
circuit. Therefore:

If we wanted to provide a differential gain of anything other than 1, we would have to adjust the resistances in
both upper and lower voltage dividers, necessitating multiple resistor changes and balancing between the two
dividers for symmetrical operation. This is not always practical, for obvious reasons.

Another limitation of this amplifier design is the fact that its input impedances are rather low compared to that
of some other op-amp configurations, most notably the noninverting (single-ended input) amplifier. Each input
voltage source has to drive current through a resistance, which constitutes far less impedance than the bare
input of an op-amp alone. The solution to this problem, fortunately, is quite simple. All we need to do is
"buffer" each input voltage signal through a voltage follower like this:

Now the V1 and V2 input lines are connected straight to the inputs of two voltage-follower op-amps, giving very
high impedance. The two op-amps on the left now handle the driving of current through the resistors instead of
letting the input voltage sources (whatever they may be) do it. The increased complexity to our circuit is
minimal for a substantial benefit.

The instrumentation amplifier

As suggested before, it is beneficial to be able to adjust the gain of the amplifier circuit without having to
change more than one resistor value, as is necessary with the previous design of differential amplifier. The so-
called instrumentation builds on the last version of differential amplifier to give us that capability:

This intimidating circuit is constructed from a buffered differential amplifier stage with three new resistors
linking the two buffer circuits together. Consider all resistors to be of equal value except for Rgain. The negative
feedback of the upper-left op-amp causes the voltage at point 1 (top of Rgain) to be equal to V1. Likewise, the
voltage at point 2 (bottom of Rgain) is held to a value equal to V2. This establishes a voltage drop across Rgain
equal to the voltage difference between V1 and V2. That voltage drop causes a current through Rgain, and since
the feedback loops of the two input op-amps draw no current, that same amount of current through Rgain must
be going through the two "R" resistors above and below it. This produces a voltage drop between points 3 and
4 equal to:

The regular differential amplifier on the right-hand side of the circuit then takes this voltage drop between
points 3 and 4, and amplifies it by a gain of 1 (assuming again that all "R" resistors are of equal value).
Though this looks like a cumbersome way to build a differential amplifier, it has the distinct advantages of
possessing extremely high input impedances on the V1 and V2 inputs (because they connect straight into the
noninverting inputs of their respective op-amps), and adjustable gain that can be set by a single resistor.
Manipulating the above formula a bit, we have a general expression for overall voltage gain in the
instrumentation amplifier:

Though it may not be obvious by looking at the schematic, we can change the differential gain of the
instrumentation amplifier simply by changing the value of one resistor: Rgain. Yes, we could still change the
overall gain by changing the values of some of the other resistors, but this would necessitate balanced resistor
value changes for the circuit to remain symmetrical. Please note that the lowest gain possible with the above
circuit is obtained with Rgain completely open (infinite resistance), and that gain value is 1.

• REVIEW:
• An instrumentation amplifier is a differential op-amp circuit providing high input impedances with ease
of gain adjustment through the variation of a single resistor.

Differentiator and integrator circuits

By introducing electrical reactance into the feedback loops of op-amp amplifier circuits, we can cause the
output to respond to changes in the input voltage over time. Drawing their names from their respective
calculus functions, the integrator produces a voltage output proportional to the product (multiplication) of the
input voltage and time; and the differentiator (not to be confused with differential) produces a voltage output
proportional to the input voltage's rate of change.

Capacitance can be defined as the measure of a capacitor's opposition to changes in voltage. The greater the
capacitance, the more the opposition. Capacitors oppose voltage change by creating current in the circuit: that
is, they either charge or discharge in response to a change in applied voltage. So, the more capacitance a
capacitor has, the greater its charge or discharge current will be for any given rate of voltage change across it.
The equation for this is quite simple:

The dv/dt fraction is a calculus expression representing the rate of voltage change over time. If the DC supply
in the above circuit were steadily increased from a voltage of 15 volts to a voltage of 16 volts over a time span
of 1 hour, the current through the capacitor would most likely be very small, because of the very low rate of
voltage change (dv/dt = 1 volt / 3600 seconds). However, if we steadily increased the DC supply from 15 volts
to 16 volts over a shorter time span of 1 second, the rate of voltage change would be much higher, and thus
the charging current would be much higher (3600 times higher, to be exact). Same amount of change in
voltage, but vastly different rates of change, resulting in vastly different amounts of current in the circuit.

To put some definite numbers to this formula, if the voltage across a 47 µF capacitor was changing at a linear
rate of 3 volts per second, the current "through" the capacitor would be (47 µF)(3 V/s) = 141 µA.

We can build an op-amp circuit which measures change in voltage by measuring current through a capacitor,
and outputs a voltage proportional to that current:

The right-hand side of the capacitor is held to a voltage of 0 volts, due to the "virtual ground" effect. Therefore,
current "through" the capacitor is solely due to change in the input voltage. A steady input voltage won't cause
a current through C, but a changing input voltage will.

Capacitor current moves through the feedback resistor, producing a drop across it, which is the same as the
output voltage. A linear, positive rate of input voltage change will result in a steady negative voltage at the
output of the op-amp. Conversely, a linear, negative rate of input voltage change will result in a steady
positive voltage at the output of the op-amp. This polarity inversion from input to output is due to the fact that
the input signal is being sent (essentially) to the inverting input of the op-amp, so it acts like the inverting
amplifier mentioned previously. The faster the rate of voltage change at the input (either positive or negative),
the greater the voltage at the output.

The formula for determining voltage output for the differentiator is as follows:

Applications for this, besides representing the derivative calculus function inside of an analog computer, include
rate-of-change indicators for process instrumentation. One such rate-of-change signal application might be for
monitoring (or controlling) the rate of temperature change in a furnace, where too high or too low of a
temperature rise rate could be detrimental. The DC voltage produced by the differentiator circuit could be used
to drive a comparator, which would signal an alarm or activate a control if the rate of change exceeded a pre-
set level.

In process control, the derivative function is used to make control decisions for maintaining a process at
setpoint, by monitoring the rate of process change over time and taking action to prevent excessive rates of
change, which can lead to an unstable condition. Analog electronic controllers use variations of this circuitry to
perform the derivative function.

On the other hand, there are applications where we need precisely the opposite function, called integration in
calculus. Here, the op-amp circuit would generate an output voltage proportional to the magnitude and
duration that an input voltage signal has deviated from 0 volts. Stated differently, a constant input signal
would generate a certain rate of change in the output voltage: differentiation in reverse. To do this, all we have
to do is swap the capacitor and resistor in the previous circuit:

As before, the negative feedback of the op-amp ensures that the inverting input will be held at 0 volts (the
virtual ground). If the input voltage is exactly 0 volts, there will be no current through the resistor, therefore
no charging of the capacitor, and therefore the output voltage will not change. We cannot guarantee what
voltage will be at the output with respect to ground in this condition, but we can say that the output voltage
will be constant.

However, if we apply a constant, positive voltage to the input, the op-amp output will fall negative at a linear
rate, in an attempt to produce the changing voltage across the capacitor necessary to maintain the current
established by the voltage difference across the resistor. Conversely, a constant, negative voltage at the input
results in a linear, rising (positive) voltage at the output. The output voltage rate-of-change will be
proportional to the value of the input voltage.

The formula for determining voltage output for the integrator is as follows:
One application for this device would be to keep a "running total" of radiation exposure, or dosage, if the input
voltage was a proportional signal supplied by an electronic radiation detector. Nuclear radiation can be just as
damaging at low intensities for long periods of time as it is at high intensities for short periods of time. An
integrator circuit would take both the intensity (input voltage magnitude) and time into account, generating an
output voltage representing total radiation dosage.

Another application would be to integrate a signal representing water flow, producing a signal representing
total quantity of water that has passed by the flowmeter. This application of an integrator is sometimes called a
totalizer in the industrial instrumentation trade.

• REVIEW:
• A differentiator circuit produces a constant output voltage for a steadily changing input voltage.
• An integrator circuit produces a steadily changing output voltage for a constant input voltage.
• Both types of devices are easily constructed, using reactive components (usually capacitors rather
than inductors) in the feedback part of the circuit.

Positive feedback

As we've seen, negative feedback is an incredibly useful principle when applied to operational amplifiers. It is
what allows us to create all these practical circuits, being able to precisely set gains, rates, and other
significant parameters with just a few changes of resistor values. Negative feedback makes all these circuits
stable and self-correcting.

The basic principle of negative feedback is that the output tends to drive in a direction that creates a condition
of equilibrium (balance). In an op-amp circuit with no feedback, there is no corrective mechanism, and the
output voltage will saturate with the tiniest amount of differential voltage applied between the inputs. The
result is a comparator:

With negative feedback (the output voltage "fed back" somehow to the inverting input), the circuit tends to
prevent itself from driving the output to full saturation. Rather, the output voltage drives only as high or as low
as needed to balance the two inputs' voltages:
Whether the output is directly fed back to the inverting (-) input or coupled through a set of components, the
effect is the same: the extremely high differential voltage gain of the op-amp will be "tamed" and the circuit
will respond according to the dictates of the feedback "loop" connecting output to inverting input.

Another type of feedback, namely positive feedback, also finds application in op-amp circuits. Unlike negative
feedback, where the output voltage is "fed back" to the inverting (-) input, with positive feedback the output
voltage is somehow routed back to the noninverting (+) input. In its simplest form, we could connect a straight
piece of wire from output to noninverting input and see what happens:

The inverting input remains disconnected from the feedback loop, and is free to receive an external voltage.
Let's see what happens if we ground the inverting input:

With the inverting input grounded (maintained at zero volts), the output voltage will be dictated by the
magnitude and polarity of the voltage at the noninverting input. If that voltage happens to be positive, the op-
amp will drive its output positive as well, feeding that positive voltage back to the noninverting input, which
will result in full positive output saturation. On the other hand, if the voltage on the noninverting input happens
to start out negative, the op-amp's output will drive in the negative direction, feeding back to the noninverting
input and resulting in full negative saturation.

What we have here is a circuit whose output is bistable: stable in one of two states (saturated positive or
saturated negative). Once it has reached one of those saturated states, it will tend to remain in that state,
unchanging. What is necessary to get it to switch states is a voltage placed upon the inverting (-) input of the
same polarity, but of a slightly greater magnitude. For example, if our circuit is saturated at an output voltage
of +12 volts, it will take an input voltage at the inverting input of at least +12 volts to get the output to
change. When it changes, it will saturate fully negative.

So, an op-amp with positive feedback tends to stay in whatever output state it's already in. It "latches"
between one of two states, saturated positive or saturated negative. Technically, this is known as hysteresis.

Hysteresis can be a useful property for a comparator circuit to have. As we've seen before, comparators can be
used to produce a square wave from any sort of ramping waveform (sine wave, triangle wave, sawtooth wave,
etc.) input. If the incoming AC waveform is noise-free (that is, a "pure" waveform), a simple comparator will
work just fine.

However, if there exist any anomalies in the waveform such as harmonics or "spikes" which cause the voltage
to rise and fall significantly within the timespan of a single cycle, a comparator's output might switch states
unexpectedly:
Any time there is a transition through the reference voltage level, no matter how tiny that transition may be,
the output of the comparator will switch states, producing a square wave with "glitches."

If we add a little positive feedback to the comparator circuit, we will introduce hysteresis into the output. This
hysteresis will cause the output to remain in its current state unless the AC input voltage undergoes a major
change in magnitude.

What this feedback resistor creates is a dual-reference for the comparator circuit. The voltage applied to the
noninverting (+) input as a reference which to compare with the incoming AC voltage changes depending on
the value of the op-amp's output voltage. When the op-amp output is saturated positive, the reference voltage
at the noninverting input will be more positive than before. Conversely, when the op-amp output is saturated
negative, the reference voltage at the noninverting input will be more negative than before. The result is easier
to understand on a graph:
When the op-amp output is saturated positive, the upper reference voltage is in effect, and the output won't
drop to a negative saturation level unless the AC input rises above that upper reference level. Conversely,
when the op-amp output is saturated negative, the lower reference voltage is in effect, and the output won't
rise to a positive saturation level unless the AC input drops below that lower reference level. The result is a
clean square-wave output again, despite significant amounts of distortion in the AC input signal. In order for a
"glitch" to cause the comparator to switch from one state to another, it would have to be at least as big (tall)
as the difference between the upper and lower reference voltage levels, and at the right point in time to cross
both those levels.

Another application of positive feedback in op-amp circuits is in the construction of oscillator circuits. An
oscillator is a device that produces an alternating (AC), or at least pulsing, output voltage. Technically, it is
known as an astable device: having no stable output state (no equilibrium whatsoever). Oscillators are very
useful devices, and they are easily made with just an op-amp and a few external components.

When the output is saturated positive, the Vref will be positive, and the capacitor will charge up in a positive
direction. When Vramp exceeds Vref by the tiniest margin, the output will saturate negative, and the capacitor will
charge in the opposite direction (polarity). Oscillation occurs because the positive feedback is instantaneous
and the negative feedback is delayed (by means of an RC time constant). The frequency of this oscillator may
be adjusted by varying the size of any component.
 • REVIEW:
• Negative feedback creates a condition of equilibrium (balance). Positive feedback creates a condition
of hysteresis (the tendency to "latch" in one of two extreme states).
• An oscillator is a device producing an alternating or pulsing output voltage.

Practical considerations: common-mode gain

As stated before, an ideal differential amplifier only amplifies the voltage difference between its two inputs. If
the two inputs of a differential amplifier were to be shorted together (thus ensuring zero potential difference
between them), there should be no change in output voltage for any amount of voltage applied between those
two shorted inputs and ground:

Voltage that is common between either of the inputs and ground, as "Vcommon-mode" is in this case, is called
common-mode voltage. As we vary this common voltage, the perfect differential amplifier's output voltage
should hold absolutely steady (no change in output for any arbitrary change in common-mode input). This
translates to a common-mode voltage gain of zero.

The operational amplifier, being a differential amplifier with high differential gain, would ideally have zero
common-mode gain as well. In real life, however, this is not easily attained. Thus, common-mode voltages will
invariably have some effect on the op-amp's output voltage.

The performance of a real op-amp in this regard is most commonly measured in terms of its differential voltage
gain (how much it amplifies the difference between two input voltages) versus its common-mode voltage gain
(how much it amplifies a common-mode voltage). The ratio of the former to the latter is called the common-
mode rejection ratio, abbreviated as CMRR:
An ideal op-amp, with zero common-mode gain would have an infinite CMRR. Real op-amps have high CMRRs,
the ubiquitous 741 having something around 70 dB, which works out to a little over 3,000 in terms of a ratio.

Because the common mode rejection ratio in a typical op-amp is so high, common-mode gain is usually not a
great concern in circuits where the op-amp is being used with negative feedback. If the common-mode input
voltage of an amplifier circuit were to suddenly change, thus producing a corresponding change in the output
due to common-mode gain, that change in output would be quickly corrected as negative feedback and
differential gain (being much greater than common-mode gain) worked to bring the system back to
equilibrium. Sure enough, a change might be seen at the output, but it would be a lot smaller than what you
might expect.

A consideration to keep in mind, though, is common-mode gain in differential op-amp circuits such as
instrumentation amplifiers. Outside of the op-amp's sealed package and extremely high differential gain, we
may find common-mode gain introduced by an imbalance of resistor values. To demonstrate this, we'll run a
SPICE analysis on an instrumentation amplifier with inputs shorted together (no differential voltage), imposing
a common-mode voltage to see what happens. First, we'll run the analysis showing the output voltage of a
perfectly balanced circuit. We should expect to see no change in output voltage as the common-mode voltage
changes:

instrumentation amplifier
v1 1 0
rin1 1 0 9e12
rjump 1 4 1e-12
rin2 4 0 9e12
e1 3 0 1 2 999k
e2 6 0 4 5 999k
e3 9 0 8 7 999k
rload 9 0 10k
r1 2 3 10k
rgain 2 5 10k
r2 5 6 10k
r3 3 7 10k
r4 7 9 10k
r5 6 8 10k
r6 8 0 10k
.dc v1 0 10 1
.print dc v(9)
.end

v1 v(9)
0.000E+00 0.000E+00
1.000E+00 1.355E-16
2.000E+00 2.710E-16
3.000E+00 0.000E+00 As you can see, the output voltage v(9)
4.000E+00 5.421E-16 hardly changes at all for a common-mode
5.000E+00 0.000E+00 input voltage (v1) that sweeps from 0
6.000E+00 0.000E+00 to 10 volts.
7.000E+00 0.000E+00
8.000E+00 1.084E-15
9.000E+00 -1.084E-15
1.000E+01 0.000E+00

Aside from very small deviations (actually due to quirks of SPICE rather than real behavior of the circuit), the
output remains stable where it should be: at 0 volts, with zero input voltage differential. However, let's
introduce a resistor imbalance in the circuit, increasing the value of R5 from 10,000 Ω to 10,500 Ω, and see
what happens (the netlist has been omitted for brevity -- the only thing altered is the value of R5):

v1 v(9)
0.000E+00 0.000E+00
1.000E+00 -2.439E-02
2.000E+00 -4.878E-02
3.000E+00 -7.317E-02 This time we see a significant variation
4.000E+00 -9.756E-02 (from 0 to 0.2439 volts) in output voltage
5.000E+00 -1.220E-01 as the common-mode input voltage sweeps
6.000E+00 -1.463E-01 from 0 to 10 volts as it did before.
7.000E+00 -1.707E-01
8.000E+00 -1.951E-01
9.000E+00 -2.195E-01
1.000E+01 -2.439E-01

Our input voltage differential is still zero volts, yet the output voltage changes significantly as the common-
mode voltage is changed. This is indicative of a common-mode gain, something we're trying to avoid. More
than that, it's a common-mode gain of our own making, having nothing to do with imperfections in the op-
amps themselves. With a much-tempered differential gain (actually equal to 3 in this particular circuit) and no
negative feedback outside the circuit, this common-mode gain will go unchecked in an instrument signal
application.

There is only one way to correct this common-mode gain, and that is to balance all the resistor values. When
designing an instrumentation amplifier from discrete components (rather than purchasing one in an integrated
package), it is wise to provide some means of making fine adjustments to at least one of the four resistors
connected to the final op-amp to be able to "trim away" any such common-mode gain. Providing the means to
"trim" the resistor network has additional benefits as well. Suppose that all resistor values are exactly as they
should be, but a common-mode gain exists due to an imperfection in one of the op-amps. With the adjustment
provision, the resistance could be trimmed to compensate for this unwanted gain.

One quirk of some op-amp models is that of output latch-up, usually caused by the common-mode input
voltage exceeding allowable limits. If the common-mode voltage falls outside of the manufacturer's specified
limits, the output may suddenly "latch" in the high mode (saturate at full output voltage). In JFET-input
operational amplifiers, latch-up may occur if the common-mode input voltage approaches too closely to the
negative power supply rail voltage. On the TL082 op-amp, for example, this occurs when the common-mode
input voltage comes within about 0.7 volts of the negative power supply rail voltage. Such a situation may
easily occur in a single-supply circuit, where the negative power supply rail is ground (0 volts), and the input
signal is free to swing to 0 volts.
Latch-up may also be triggered by the common-mode input voltage exceeding power supply rail voltages,
negative or positive. As a rule, you should never allow either input voltage to rise above the positive power
supply rail voltage, or sink below the negative power supply rail voltage, even if the op-amp in question is
protected against latch-up (as are the 741 and 1458 op-amp models). At the very least, the op-amp's behavior
may become unpredictable. At worst, the kind of latch-up triggered by input voltages exceeding power supply
voltages may be destructive to the op-amp.

While this problem may seem easy to avoid, its possibility is more likely than you might think. Consider the
case of an operational amplifier circuit during power-up. If the circuit receives full input signal voltage before
its own power supply has had time enough to charge the filter capacitors, the common-mode input voltage
may easily exceed the power supply rail voltages for a short time. If the op-amp receives signal voltage from a
circuit supplied by a different power source, and its own power source fails, the signal voltage(s) may exceed
the power supply rail voltages for an indefinite amount of time!

Practical considerations: offset voltage

Another practical concern for op-amp performance is voltage offset. That is, effect of having the output voltage
something other than zero volts when the two input terminals are shorted together. Remember that
operational amplifiers are differential amplifiers above all: they're supposed to amplify the difference in voltage
between the two input connections and nothing more. When that input voltage difference is exactly zero volts,
we would (ideally) expect to have exactly zero volts present on the output. However, in the real world this
rarely happens. Even if the op-amp in question has zero common-mode gain (infinite CMRR), the output
voltage may not be at zero when both inputs are shorted together. This deviation from zero is called offset.

A perfect op-amp would output exactly zero volts with both its inputs shorted together and grounded.
However, most op-amps off the shelf will drive their outputs to a saturated level, either negative or positive. In
the example shown above, the output voltage is saturated at a value of positive 14.7 volts, just a bit less than
+V (+15 volts) due to the positive saturation limit of this particular op-amp. Because the offset in this op-amp
is driving the output to a completely saturated point, there's no way of telling how much voltage offset is
present at the output. If the +V/-V split power supply was of a high enough voltage, who knows, maybe the
output would be several hundred volts one way or the other due to the effects of offset!

For this reason, offset voltage is usually expressed in terms of the equivalent amount of input voltage
differential producing this effect. In other words, we imagine that the op-amp is perfect (no offset whatsoever),
and a small voltage is being applied in series with one of the inputs to force the output voltage one way or the
other away from zero. Being that op-amp differential gains are so high, the figure for "input offset voltage"
doesn't have to be much to account for what we see with shorted inputs:
Offset voltage will tend to introduce slight errors in any op-amp circuit. So how do we compensate for it?
Unlike common-mode gain, there are usually provisions made by the manufacturer to trim the offset of a
packaged op-amp. Usually, two extra terminals on the op-amp package are reserved for connecting an
external "trim" potentiometer. These connection points are labeled offset null and are used in this general way:

On single op-amps such as the 741 and 3130, the offset null connection points are pins 1 and 5 on the 8-pin
DIP package. Other models of op-amp may have the offset null connections located on different pins, and/or
require a slightly difference configuration of trim potentiometer connection. Some op-amps don't provide offset
null pins at all! Consult the manufacturer's specifications for details.

Practical considerations: bias current

Inputs on an op-amp have extremely high input impedances. That is, the input currents entering or exiting an
op-amp's two input signal connections are extremely small. For most purposes of op-amp circuit analysis, we
treat them as though they don't exist at all. We analyze the circuit as though there was absolutely zero current
entering or exiting the input connections.

This idyllic picture, however, is not entirely true. Op-amps, especially those op-amps with bipolar transistor
inputs, have to have some amount of current through their input connections in order for their internal circuits
to be properly biased. These currents, logically, are called bias currents. Under certain conditions, op-amp bias
currents may be problematic. The following circuit illustrates one of those problem conditions:
At first glance, we see no apparent problems with this circuit. A thermocouple, generating a small voltage
proportional to temperature (actually, a voltage proportional to the difference in temperature between the
measurement junction and the "reference" junction formed when the alloy thermocouple wires connect with
the copper wires leading to the op-amp) drives the op-amp either positive or negative. In other words, this is a
kind of comparator circuit, comparing the temperature between the end thermocouple junction and the
reference junction (near the op-amp). The problem is this: the wire loop formed by the thermocouple does not
provide a path for both input bias currents, because both bias currents are trying to go the same way (either
into the op-amp or out of it).

In order for this circuit to work properly, we must ground one of the input wires, thus providing a path to (or
from) ground for both currents:

Not necessarily an obvious problem, but a very real one!

Another way input bias currents may cause trouble is by dropping unwanted voltages across circuit resistances.
Take this circuit for example:
We expect a voltage follower circuit such as the one above to reproduce the input voltage precisely at the
output. But what about the resistance in series with the input voltage source? If there is any bias current
through the noninverting (+) input at all, it will drop some voltage across Rin, thus making the voltage at the
noninverting input unequal to the actual Vin value. Bias currents are usually in the microamp range, so the
voltage drop across Rin won't be very much, unless Rin is very large. One example of an application where the
input resistance (Rin) would be very large is that of pH probe electrodes, where one electrode contains an ion-
permeable glass barrier (a very poor conductor, with millions of Ω of resistance).

If we were actually building an op-amp circuit for pH electrode voltage measurement, we'd probably want to
use a FET or MOSFET (IGFET) input op-amp instead of one built with bipolar transistors (for less input bias
current). But even then, what slight bias currents may remain can cause measurement errors to occur, so we
have to find some way to mitigate them through good design.

One way to do so is based on the assumption that the two input bias currents will be the same. In reality, they
are often close to being the same, the difference between them referred to as the input offset current. If they
are the same, then we should be able to cancel out the effects of input resistance voltage drop by inserting an
equal amount of resistance in series with the other input, like this:

With the additional resistance added to the circuit, the output voltage will be closer to Vin than before, even if
there is some offset between the two input currents.

For both inverting and noninverting amplifier circuits, the bias current compensating resistor is placed in series
with the noninverting (+) input to compensate for bias current voltage drops in the divider network:
In either case, the compensating resistor value is determined by calculating the parallel resistance value of R1
and R2. Why is the value equal to the parallel equivalent of R1 and R2? When using the Superposition Theorem
to figure how much voltage drop will be produced by the inverting (-) input's bias current, we treat the bias
current as though it were coming from a current source inside the op-amp and short-circuit all voltage sources
(Vin and Vout). This gives two parallel paths for bias current (through R1 and through R2, both to ground). We
want to duplicate the bias current's effect on the noninverting (+) input, so the resistor value we choose to
insert in series with that input needs to be equal to R1 in parallel with R2.

A related problem, occasionally experienced by students just learning to build operational amplifier circuits, is
caused by a lack of a common ground connection to the power supply. It is imperative to proper op-amp
function that some terminal of the DC power supply be common to the "ground" connection of the input
signal(s). This provides a complete path for the bias currents, feedback current(s), and for the load (output)
current. Take this circuit illustration, for instance, showing a properly grounded power supply:
Here, arrows denote the path of electron flow through the power supply batteries, both for powering the op-
amp's internal circuitry (the "potentiometer" inside of it that controls output voltage), and for powering the
feedback loop of resistors R1 and R2. Suppose, however, that the ground connection for this "split" DC power
supply were to be removed. The effect of doing this is profound:

No electrons may flow in or out of the op-amp's output terminal, because the pathway to the power supply is a
"dead end." Thus, no electrons flow through the ground connection to the left of R1, neither through the
feedback loop. This effectively renders the op-amp useless: it can neither sustain current through the feedback
loop, nor through a grounded load, since there is no connection from any point of the power supply to ground.

The bias currents are also stopped, because they rely on a path to the power supply and back to the input
source through ground. The following diagram shows the bias currents (only), as they go through the input
terminals of the op-amp, through the base terminals of the input transistors, and eventually through the power
supply terminal(s) and back to ground.
Without a ground reference on the power supply, the bias currents will have no complete path for a circuit, and
they will halt. Since bipolar junction transistors are current-controlled devices, this renders the input stage of
the op-amp useless as well, as both input transistors will be forced into cutoff by the complete lack of base
current.

• REVIEW:
• Op-amp inputs usually conduct very small currents, called bias currents, needed to properly bias the
first transistor amplifier stage internal to the op-amps' circuitry. Bias currents are small (in the
microamp range), but large enough to cause problems in some applications.
• Bias currents in both inputs must have paths to flow to either one of the power supply "rails" or to
ground. It is not enough to just have a conductive path from one input to the other.
• To cancel any offset voltages caused by bias current flowing through resistances, just add an
equivalent resistance in series with the other op-amp input (called a compensating resistor). This
corrective measure is based on the assumption that the two input bias currents will be equal.
• Any inequality between bias currents in an op-amp constitutes what is called an input offset current.
• It is essential for proper op-amp operation that there be a ground reference on some terminal of the
power supply, to form complete paths for bias currents, feedback current(s), and load current.

Practical considerations: drift

Being semiconductor devices, op-amps are subject to slight changes in behavior with changes in operating
temperature. Any changes in op-amp performance with temperature fall under the category of op-amp drift.
Drift parameters can be specified for bias currents, offset voltage, and the like. Consult the manufacturer's
data sheet for specifics on any particular op-amp.

To minimize op-amp drift, we can select an op-amp made to have minimum drift, and/or we can do our best to
keep the operating temperature as stable as possible. The latter action may involve providing some form of
temperature control for the inside of the equipment housing the op-amp(s). This is not as strange as it may
first seem. Laboratory-standard precision voltage reference generators, for example, are sometimes known to
employ "ovens" for keeping their sensitive components (such as zener diodes) at constant temperatures. If
extremely high accuracy is desired over the usual factors of cost and flexibility, this may be an option worth
looking at.

• REVIEW:
 • Op-amps, being semiconductor devices, are susceptible to variations in temperature. Any variations in
amplifier performance resulting from changes in temperature is known as drift. Drift is best minimized
with environmental temperature control.

Practical considerations: frequency response

With their incredibly high differential voltage gains, op-amps are prime candidates for a phenomenon known as
feedback oscillation. You've probably heard the equivalent audio effect when the volume (gain) on a public-
address or other microphone amplifier system is turned too high: that high pitched squeal resulting from the
sound waveform "feeding back" through the microphone to be amplified again. An op-amp circuit can manifest
this same effect, with the feedback happening electrically rather than audibly.

A case example of this is seen in the 3130 op-amp, if it is connected as a voltage follower with the bare
minimum of wiring connections (the two inputs, output, and the power supply connections). The output of this
op-amp will self-oscillate due to its high gain, no matter what the input voltage. To combat this, a small
compensation capacitor must be connected to two specially-provided terminals on the op-amp. The capacitor
provides a high-impedance path for negative feedback to occur within the op-amp's circuitry, thus decreasing
the AC gain and inhibiting unwanted oscillations. If the op-amp is being used to amplify high-frequency signals,
this compensation capacitor may not be needed, but it is absolutely essential for DC or low-frequency AC signal
operation.

Some op-amps, such as the model 741, have a compensation capacitor built in to minimize the need for
external components. This improved simplicity is not without a cost: due to that capacitor's presence inside the
op-amp, the negative feedback tends to get stronger as the operating frequency increases (that capacitor's
reactance decreases with higher frequencies). As a result, the op-amp's differential voltage gain decreases as
frequency goes up: it becomes a less effective amplifier at higher frequencies.

Op-amp manufacturers will publish the frequency response curves for their products. Since a sufficiently high
differential gain is absolutely essential to good feedback operation in op-amp circuits, the gain/frequency
response of an op-amp effectively limits its "bandwidth" of operation. The circuit designer must take this into
account if good performance is to be maintained over the required range of signal frequencies.

• REVIEW:
• Due to capacitances within op-amps, their differential voltage gain tends to decrease as the input
frequency increases. Frequency response curves for op-amps are available from the manufacturer.

Operational amplifier models

While mention of operational amplifiers typically provokes visions of semiconductor devices built as integrated
circuits on a miniature silicon chip, the first op-amps were actually vacuum tube circuits. The first commercial,
general purpose operational amplifier was manufactured by the George A. Philbrick Researches, Incorporated,
in 1952. Designated the K2-W, it was built around two twin-triode tubes mounted in an assembly with an octal
(8-pin) socket for easy installation and servicing in electronic equipment chassis of that era. The assembly
looked something like this:
The schematic diagram shows the two tubes, along with ten resistors and two capacitors, a fairly simple circuit
design even by 1952 standards:

In case you're unfamiliar with the operation of vacuum tubes, they operate similarly to N-channel depletion-
type IGFET transistors: that is, they conduct more current when the control grid (the dashed line) is made
more positive with respect to the cathode (the bent line near the bottom of the tube symbol), and conduct less
current when the control grid is made less positive (or more negative) than the cathode. The twin triode tube
on the left functions as a differential pair, converting the differential inputs (inverting and noninverting input
voltage signals) into a single, amplified voltage signal which is then fed to the control grid of the left triode of
the second triode pair through a voltage divider (1 MΩ -- 2.2 MΩ). That triode amplifies and inverts the output
of the differential pair for a larger voltage gain, then the amplified signal is coupled to the second triode of the
same dual-triode tube in a noninverting amplifier configuration for a larger current gain. The two neon "glow
tubes" act as voltage regulators, similar to the behavior of semiconductor zener diodes, to provide a bias
voltage in the coupling between the two single-ended amplifier triodes.

With a dual-supply voltage of +300/-300 volts, this op-amp could only swing its output +/- 50 volts, which is
very poor by today's standards. It had an open-loop voltage gain of 15,000 to 20,000, a slew rate of +/- 12
volts/µsecond, a maximum output current of 1 mA, a quiescent power consumption of over 3 watts (not
including power for the tubes' filaments!), and cost about $24 in 1952 dollars. Better performance could have
been attained using a more sophisticated circuit design, but only at the expense of greater power consumption,
greater cost, and decreased reliability.

With the advent of solid-state transistors, op-amps with far less quiescent power consumption and increased
reliability became feasible, but many of the other performance parameters remained about the same. Take for
instance Philbrick's model P55A, a general-purpose solid-state op-amp circa 1966. The P55A sported an open-
loop gain of 40,000, a slew rate of 1.5 volt/µsecond and an output swing of +/- 11 volts (at a power supply
voltage of +/- 15 volts), a maximum output current of 2.2 mA, and a cost of $49 (or about $21 for the "utility
grade" version). The P55A, as well as other op-amps in Philbrick's lineup of the time, was of discrete-
component construction, its constituent transistors, resistors, and capacitors housed in a solid "brick"
resembling a large integrated circuit package.

It isn't very difficult to build a crude operational amplifier using discrete components. A schematic of one such
circuit is shown here:

While its performance is rather dismal by modern standards, it demonstrates that complexity is not necessary
to create a minimally functional op-amp. Transistors Q3 and Q4 form the heart of another differential pair
circuit, the semiconductor equivalent of the first triode tube in the K2-W schematic. As it was in the vacuum
tube circuit, the purpose of a differential pair is to amplify and convert a differential voltage between the two
input terminals to a single-ended output voltage.

With the advent of integrated-circuit (IC) technology, op-amp designs experienced a dramatic increase in
performance, reliability, density, and economy. Between the years of 1964 and 1968, the Fairchild corporation
introduced three models of IC op-amps: the 702, 709, and the still-popular 741. While the 741 is now
considered outdated in terms of performance, it is still a favorite among hobbyists for its simplicity and fault
tolerance (short-circuit protection on the output, for instance). Personal experience abusing many 741 op-
amps has led me to the conclusion that it is a hard chip to kill . . .

The internal schematic diagram for a model 741 op-amp is as follows:

By integrated circuit standards, the 741 is a very simple device: an example of small-scale integration, or SSI
technology. It would be no small matter to build this circuit using discrete components, so you can see the
advantages of even the most primitive integrated circuit technology over discrete components where high parts
counts are involved.

For the hobbyist, student, or engineer desiring greater performance, there are literally hundreds of op-amp
models to choose from. Many sell for less than a dollar apiece, even retail! Special-purpose instrumentation
and radio-frequency (RF) op-amps may be quite a bit more expensive. In this section I will showcase several
popular and affordable op-amps, comparing and contrasting their performance specifications. The venerable
741 is included as a "benchmark" for comparison, although it is, as I said before, considered an obsolete
design.

OPAMP NUMBER OF PWR SUPPLY BAND- MAX. BIAS SLEW MAX. OUT
MODEL AMPLIFIERS VOLTAGE WIDTH CURRENT RATE CURRENT
NUMBER IN PACKAGE MIN./MAX. (MHz) (nA) (V/us) (mA)

TL082 2 12 / 36 4 8 13 17

LM301A 1 10 / 36 1 250 0.5 25

LM318 1 10 / 40 15 500 70 20

LM324 4 3 / 32 1 45 0.25 20

LF353 2 12 / 36 4 8 13 20

LF356 1 10 / 36 5 8 12 25
LF411 1 10 / 36 4 20 15 25

LM741C 1 10 / 36 1 500 0.5 25

LM833 2 10 / 36 15 1050 7 40

LM1458 2 6 / 36 1 800 10 45

CA3130 1 5 / 16 15 0.05 10 20

OPAMP NUMBER OF PWR SUPPLY BAND- MAX. BIAS SLEW MAX. OUT
MODEL AMPLIFIERS VOLTAGE WIDTH CURRENT RATE CURRENT
NUMBER IN PACKAGE MIN./MAX. (MHz) (nA) (V/us) (mA)

These are but a few of the low-cost operational amplifier models widely available from electronics suppliers.
Most of them are available through retail supply stores such as Radio Shack. All are under $1.00 cost direct
from the manufacturer (year 2001 prices). As you can see, there is substantial variation in performance
between some of these units. Take for instance the parameter of input bias current: the CA3130 wins the prize
for lowest, at 0.05 nA (or 50 pA), and the LM833 has the highest at slightly over 1 µA. The model CA3130
achieves its incredibly low bias current through the use of MOSFET transistors in its input stage. One
manufacturer advertises the 3130's input impedance as 1.5 tera-ohms, or 1.5 x 1012 Ω! Other op-amps shown
here with low bias current figures use JFET input transistors, while the high bias current models use bipolar
input transistors.

While the 741 is specified in many electronic project schematics and showcased in many textbooks, its
performance has long been surpassed by other designs in every measure. Even some designs originally based
on the 741 have been improved over the years to far surpass original design specifications. One such example
is the model 1458, two op-amps in an 8-pin DIP package, which at one time had the exact same performance
specifications as the single 741. In its latest incarnation it boasts a wider power supply voltage range, a slew
rate 50 times as great, and almost twice the output current capability of a 741, while still retaining the output
short-circuit protection feature of the 741. Op-amps with JFET and MOSFET input transistors far exceed the
741's performance in terms of bias current, and generally manage to beat the 741 in terms of bandwidth and
slew rate as well.

My own personal recommendations for op-amps are as such: when low bias current is a priority (such as in
low-speed integrator circuits), choose the 3130. For general-purpose DC amplifier work, the 1458 offers good
performance (and you get two op-amps in the space of one package). For an upgrade in performance, choose
the model 353, as it is a pin-compatible replacement for the 1458. The 353 is designed with JFET input
circuitry for very low bias current, and has a bandwidth 4 times are great as the 1458, although its output
current limit is lower (but still short-circuit protected). It may be more difficult to find on the shelf of your local
electronics supply house, but it is just as reasonably priced as the 1458.

If low power supply voltage is a requirement, I recommend the model 324, as it functions on as low as 3 volts
DC. Its input bias current requirements are also low, and it provides four op-amps in a single 14-pin chip. Its
major weakness is speed, limited to 1 MHz bandwidth and an output slew rate of only 0.25 volts per µs. For
high-frequency AC amplifier circuits, the 318 is a very good "general purpose" model.

Special-purpose op-amps are available for modest cost which provide better performance specifications. Many
of these are tailored for a specific type of performance advantage, such as maximum bandwidth or minimum
bias current. Take for instance these op-amps, both designed for high bandwidth:

OPAMP NUMBER OF PWR SUPPLY BAND- MAX. BIAS SLEW MAX. OUT
MODEL AMPLIFIERS VOLTAGE WIDTH CURRENT RATE CURRENT
NUMBER IN PACKAGE MIN./MAX. (MHz) (nA) (V/us) (mA)
CLC404 1 10 / 14 232 44,000 2600 70

CLC425 1 5 / 14 1,900 40,000 350 90

The CLC404 lists at $21.80 (almost as much as George Philbrick's first commercial op-amp, albeit without
correction for inflation), while the CLC425 is quite a bit less expensive at $3.23 per unit. In both cases high
speed is achieved at the expense of high bias currents and restrictive power supply voltage ranges. Here are
some other op-amps, designed for high power output:

OPAMP NUMBER OF PWR SUPPLY BAND- MAX. BIAS SLEW MAX. OUT
MODEL AMPLIFIERS VOLTAGE WIDTH CURRENT RATE CURRENT
NUMBER IN PACKAGE MIN./MAX. (MHz) (nA) (V/us) (mA)

LM12CL 1 15 / 80 0.7 1,000 9 13,000

LM7171 1 5.5 / 36 200 12,000 4100 100

Yes, the LM12CL actually has an output current rating of 13 amps (13,000 milliamps)! It lists at $14.40, which
is not a lot of money, considering the raw power of the device. The LM7171, on the other hand, trades high
current output ability for fast voltage output ability (a high slew rate). It lists at $1.19, about as low as some
"general purpose" op-amps.

Amplifier packages may also be purchased as complete application circuits as opposed to bare operational
amplifiers. The Burr-Brown and Analog Devices corporations, for example, both long known for their precision
amplifier product lines, offer instrumentation amplifiers in pre-designed packages as well as other specialized
amplifier devices. In designs where high precision and repeatability after repair is important, it might be
advantageous for the circuit designer to choose such a pre-engineered amplifier "block" rather than build the
circuit from individual op-amps. Of course, these units typically cost quite a bit more than individual op-amps.

Data

Parametrical data for all semiconductor op-amp models except the CA3130 comes from National
Semiconductor's online resources, available at this website: [*]. Data for the CA3130 comes from Harris
Semiconductor's CA3130/CA3130A datasheet (file number 817.4).

Chapter 9: PRACTICAL ANALOG SEMICONDUCTOR CIRCUITS

Power supply circuits

There are three major kinds of power supplies: unregulated (also called brute force), linear regulated, and
switching. A fourth type of power supply circuit called the ripple-regulated, is a hybrid between the "brute
force" and "switching" designs, and merits a subsection to itself.

Unregulated

An unregulated power supply is the most rudimentary type, consisting of a transformer, rectifier, and low-pass
filter. These power supplies typically exhibit a lot of ripple voltage (i.e. rapidly-varying instability) and other AC
"noise" superimposed on the DC power. If the input voltage varies, the output voltage will vary by a
proportional amount. The advantage of an unregulated supply is that it's cheap, simple, and efficient.

Linear regulated

A linear regulated supply is simply a "brute force" (unregulated) power supply followed by a transistor circuit
operating in its "active," or "linear" mode, hence the name linear regulator. (Obvious in retrospect, isn't it?) A
typical linear regulator is designed to output a fixed voltage for a wide range of input voltages, and it simply
drops any excess input voltage to allow a maximum output voltage to the load. This excess voltage drop
results in significant power dissipation in the form of heat. If the input voltage gets too low, the transistor
circuit will lose regulation, meaning that it will fail to keep the voltage steady. It can only drop excess voltage,
not make up for a deficiency in voltage from the brute force section of the circuit. Therefore, you have to keep
the input voltage at least 1 to 3 volts higher than the desired output, depending on the regulator type. This
means the power equivalent of at least 1 to 3 volts multiplied by the full load current will be dissipated by the
regulator circuit, generating a lot of heat. This makes linear regulated power supplies rather inefficient. Also, to
get rid of all that heat they have to use large heat sinks which makes them large, heavy, and expensive.

Switching

A switching regulated power supply ("switcher") is an effort to realize the advantages of both brute force and
linear regulated designs (small, efficient, and cheap, but also "clean," stable output voltage). Switching power
supplies work on the principle of rectifying the incoming AC power line voltage into DC, re-converting it into
high-frequency square-wave AC through transistors operated as on/off switches, stepping that AC voltage up
or down by using a lightweight transformer, then rectifying the transformer's AC output into DC and filtering
for final output. Voltage regulation is achieved by altering the "duty cycle" of the DC-to-AC inversion on the
transformer's primary side. In addition to lighter weight because of a smaller transformer core, switchers have
another tremendous advantage over the prior two designs: this type of power supply can be made so totally
independent of the input voltage that it can work on any electric power system in the world; these are called
"universal" power supplies.

The downside of switchers is that they are more complex, and due to their operation they tend to generate a
lot of high-frequency AC "noise" on the power line. Most switchers also have significant ripple voltage on their
outputs. With the cheaper types, this noise and ripple can be as bad as for an unregulated power supply; such
low-end switchers aren't worthless, because they still provide a stable average output voltage, and there's the
"universal" input capability.

Expensive switchers are ripple-free and have noise nearly as low as for some a linear types; these switchers
tend to be as expensive as linear supplies. The reason to use an expensive switcher instead of a good linear is
if you need universal power system compatibility or high efficiency. High efficiency, light weight, and small size
are the reasons switching power supplies are almost univerally used for powering digital computer circuitry.

Ripple regulated

A ripple-regulated power supply is an alternative to the linear regulated design scheme: a "brute force" power
supply (transformer, rectifier, filter) constitutes the "front end" of the circuit, but a transistor operated strictly
in its on/off (saturation/cutoff) modes transfers DC power to a large capacitor as needed to maintain the
output voltage between a high and a low setpoint. As in switchers, the transistor in a ripple regulator never
passes current while in its "active," or "linear," mode for any substantial length of time, meaning that very little
energy will be wasted in the form of heat. However, the biggest drawback to this regulation scheme is the
necessary presence of some ripple voltage on the output, as the DC voltage varies between the two voltage
control setpoints. Also, this ripple voltage varies in frequency depending on load current, which makes final
filtering of the DC power more difficult.

Ripple regulator circuits tend to be quite a bit simpler than switcher circuitry, and they need not handle the
high power line voltages that switcher transistors must handle, making them safer to work on.

Amplifier circuits

Oscillator circuits
Phase-locked loops

Radio circuits

Computational circuits

When someone mentions the word "computer," a digital device is what usually comes to mind. Digital circuits
represent numerical quantities in binary format: patterns of 1's and 0's represented by a multitude of
transistor circuits operating in saturated or cutoff states. However, analog circuitry may also be used to
represent numerical quantities and perform mathematical calculations, by using variable voltage signals
instead of discrete on/off states.

Here is a simple example of binary (digital) representation versus analog representation of the number
"twenty-five:"
Digital circuits are very different from circuits built on analog principles. Digital computational circuits can be
incredibly complex, and calculations must often be performed in sequential "steps" to obtain a final answer,
much as a human being would perform arithmetical calculations in steps with pencil and paper. Analog
computational circuits, on the other hand, are quite simple in comparison, and perform their calculations in
continuous, real-time fashion. There is a disadvantage to using analog circuitry to represent numbers, though:
imprecision. The digital circuit shown above is representing the number twenty-five, precisely. The analog
circuit shown above may or may not be exactly calibrated to 25.000 volts, but is subject to "drift" and error.

In applications where precision is not critical, analog computational circuits are very practical and elegant.
Shown here are a few op-amp circuits for performing analog computation:
Each of these circuits may be used in modular fashion to create a circuit capable of multiple calculations. For
instance, suppose that we needed to subtract a certain fraction of one variable from another variable. By
combining a divide-by-constant circuit with a subtractor circuit, we could obtain the required function:
Devices called analog computers used to be common in universities and engineering shops, where dozens of
op-amp circuits could be "patched" together with removable jumper wires to model mathematical statements,
usually for the purpose of simulating some physical process whose underlying equations were known. Digital
computers have made analog computers all but obsolete, but analog computational circuitry cannot be beaten
by digital in terms of sheer elegance and economy of necessary components.

Analog computational circuitry excels at performing the calculus operations integration and differentiation with
respect to time, by using capacitors in an op-amp feedback loop. To fully understand these circuits' operation
and applications, though, we must first grasp the meaning of these fundamental calculus concepts.
Fortunately, the application of op-amp circuits to real-world problems involving calculus serves as an excellent
means to teach basic calculus. In the words of John I. Smith, taken from his outstanding textbook, Modern
Operational Circuit Design:

"A note of encouragement is offered to certain readers: integral calculus is one of the
mathematical disciplines that operational [amplifier] circuitry exploits and, in the process,
rather demolishes as a barrier to understanding." (pg. 4)

Mr. Smith's sentiments on the pedagogical value of analog circuitry as a learning tool for mathematics are not
unique. Consider the opinion of engineer George Fox Lang, in an article he wrote for the August 2000 issue of
the journal Sound and Vibration, entitled, "Analog was not a Computer Trademark!":

"Creating a real physical entity (a circuit) governed by a particular set of equations and
interacting with it provides unique insight into those mathematical statements. There is no
better way to develop a "gut feel" for the interplay between physics and mathematics than to
experience such an interaction. The analog computer was a powerful interdisciplinary
teaching tool; its obsolescence is mourned by many educators in a variety of fields." (pg. 23)

Differentiation is the first operation typically learned by beginning calculus students. Simply put, differentiation
is determining the rate-of-change of one variable as it relates to another. In analog differentiator circuits, the
independent variable is time, and so the rates of change we're dealing with are rates of change of some
measured quantity over time.

Suppose we were to measure the position of a car, traveling in a direct path (no turns), from its starting point.
Let us call this measurement, x. If the car moves at a rate such that its distance from "start" increases steadily
over time, its position will plot on a graph as a linear function (straight line):
If we were to calculate the derivative of the car's position with respect to time (that is, determine the rate-of-
change of the car's position over time), we would arrive at a quantity representing the car's velocity. The
differentiation function is represented by the fractional notation d/d, so when differentiating position (x) with
respect to time (t), we denote the result (the derivative) as dx/dt:

For a linear graph of x over time, the derivate of position (dx/dt), otherwise and more commonly known as
velocity, will be a flat line, unchanging in value. The derivative of a mathematical function may be graphically
understood as its slope when plotted on a graph, and here we can see that the position (x) graph has a
constant slope, which means that its derivative (dx/dt) must be constant over time.

Now, suppose the distance traveled by the car increased exponentially over time: that is, it began its travel in
slow movements, but covered more additional distance with each passing period in time. We would then see
that the derivative of position (dx/dt), or velocity, would not be constant over time, but would increase:
The height of points on the velocity graph correspond to the rates-of-change, or slope, of points at
corresponding times on the position graph:

What does this have to do with analog electronic circuits? Well, if we were to have an analog voltage signal
represent the car's position (think of a huge potentiometer whose wiper was attached to the car, generating a
voltage proportional to the car's position), we could connect a differentiator circuit to this signal and have the
circuit continuously calculate the car's velocity, displaying the result via a voltmeter connected to the
differentiator circuit's output:
Recall from the last chapter that a differentiator circuit outputs a voltage proportional to the input voltage's
rate-of-change over time. Thus, if the input voltage is changing over time at a constant rate, the output
voltage will be at a constant value. If the car moves in such a way that its elapsed distance over time builds up
at a steady rate, then that means the car is traveling at a constant velocity, and the differentiator circuit will
output a constant voltage proportional to that velocity. If the car's elapsed distance over time changes in a
non-steady manner, the differentiator circuit's output will likewise be non-steady, but always at a level
representative of the input's rate-of-change over time.

Note that the voltmeter registering velocity (at the output of the differentiator circuit) is connected in "reverse"
polarity to the output of the op-amp. This is because the differentiator circuit shown is inverting: outputting a
negative voltage for a positive input voltage rate-of-change. If we wish to have the voltmeter register a
positive value for velocity, it will have to be connected to the op-amp as shown. As impractical as it may be to
connect a giant potentiometer to a moving object such as an automobile, the concept should be clear: by
electronically performing the calculus function of differentiation on a signal representing position, we obtain a
signal representing velocity.

Beginning calculus students learn symbolic techniques for differentiation. However, this requires that the
equation describing the original graph be known. For example, calculus students learn how to take a function
such as y = 3x and find its derivative, 3, simply by manipulating the equation. We may verify the accuracy of
this manipulation by comparing the graphs of the two functions:
Nonlinear functions such as y = 3x2 may also be differentiated by symbolic means. In this case, the derivative
of y = 3x2 is 6x:

In real life, though, we often cannot describe the behavior of any physical event by a simple equation like y =
3x, and so symbolic differentiation of the type learned by calculus students may be impossible to apply to a
physical measurement. If someone wished to determine the derivative of our hypothetical car's position (dx/dt
= velocity) by symbolic means, they would first have to obtain an equation describing the car's position over
time, based on position measurements taken from a real experiment -- a nearly impossible task unless the car
is operated under carefully controlled conditions leading to a very simple position graph. However, an analog
differentiator circuit, by exploiting the behavior of a capacitor with respect to voltage, current, and time i =
C(dv/dt), naturally differentiates any real signal in relation to time, and would be able to output a signal
corresponding to instantaneous velocity (dx/dt) at any moment. By logging the car's position signal along with
the differentiator's output signal using a chart recorder or other data acquisition device, both graphs would
naturally present themselves for inspection and analysis.

We may take the principle of differentiation one step further by applying it to the velocity signal using another
differentiator circuit. In other words, use it to calculate the rate-of-change of velocity, which we know is the
rate-of-change of position. What practical measure would we arrive at if we did this? Think of this in terms of
the units we use to measure position and velocity. If we were to measure the car's position from its starting
point in miles, then we would probably express its velocity in units of miles per hour (dx/dt). If we were to
differentiate the velocity (measured in miles per hour), we would end up with a unit of miles per hour per hour.
Elementary physics classes teach students about the behavior of falling objects, measuring position in meters,
velocity in meters per second, and change in velocity over time in meters per second, per second. This final
measure is called acceleration: the rate of change of velocity over time:

The expression d2x/dt2 is called the second derivative of position (x) with regard to time (t). If we were to
connect a second differentiator circuit to the output of the first, the last voltmeter would register acceleration:

Deriving velocity from position, and acceleration from velocity, we see the principle of differentiation very
clearly illustrated. These are not the only physical measurements related to each other in this way, but they
are, perhaps, the most common. Another example of calculus in action is the relationship between liquid
volume and liquid flow:
A "Level Transmitter" device mounted on a water storage tank provides a signal directly proportional to water
level in the tank, which -- if the tank is of constant cross-sectional area throughout its height -- directly
equates water volume stored. If we were to take this volume signal and differentiate it with respect to time
(dv/dt), we would obtain a signal proportional to the water flow rate through the pipe carrying water to the
tank. A differentiator circuit connected in such a way as to receive this volume signal would produce an output
signal proportional to flow, possibly substituting for a flow-measurement device ("Flow Transmitter") installed
in the pipe.

Returning to the car experiment, suppose that our hypothetical car were equipped with a tachogenerator on
one of the wheels, producing a voltage signal directly proportional to velocity. We could differentiate the signal
to obtain acceleration with one circuit, like this:

In a sense, the tachogenerator by its very nature differentiates the car's position, generating a voltage
proportional to how rapidly the wheel's angular position changes over time. This provides us with a raw signal
already representative of velocity, with only a single step of differentiation needed to obtain an acceleration
signal. A tachogenerator measuring velocity, of course, is a far more practical example of automobile
instrumentation than a giant potentiometer measuring its physical position, but what we gain in practicality we
lose in position measurement. No matter how many times we differentiate, we can never infer the car's
position from a velocity signal. If the process of differentiation brought us from position to velocity to
acceleration, then somehow we need to perform the "reverse" process of differentiation to go from velocity to
position. Such a mathematical process does exist, and it is called integration. The "integrator" circuit may be
used to perform this function:

Recall from the last chapter that an integrator circuit outputs a voltage whose rate-of-change over time is
proportional to the input voltage's magnitude. Thus, given a constant input voltage, the output voltage will
change at a constant rate. If the car travels at a constant velocity (constant voltage input to the integrator
circuit from the tachogenerator), then its distance traveled will increase steadily as time progresses, and the
integrator will output a steadily changing voltage proportional to that distance. If the car's velocity is not
constant, then neither will the rate-of-change over time be of the integrator circuit's output, but the output
voltage will faithfully represent the amount of distance traveled by the car at any given point in time.

The symbol for integration looks something like a very narrow, cursive letter "S". The equation utilizing this
symbol tells us that we are integrating velocity (v) with respect to time (dt), and obtaining position (x) as a
result of it.

So, we may express three measures of the car's motion (position, velocity, and acceleration) in terms of
velocity (v) just as easily as we could in terms of position (x):
If we had an accelerometer attached to the car, generating a signal proportional to the rate of acceleration or
deceleration, we could (hypothetically) obtain a velocity signal with one step of integration, and a position
signal with a second step of integration:
Thus, all three measures of the car's motion (position, velocity, and acceleration) may be expressed in terms of
acceleration:
As you might have suspected, the process of integration may be illustrated in, and applied to, other physical
systems as well. Take for example the water storage tank and flow example shown earlier. If flow rate is the
derivative of tank volume with respect to time (f = dv/dt), then we could also say that volume is the integral of
flow rate:

If we were to use a "Flow Transmitter" device to measure water flow, then by integration we could calculate
the volume of water accumulated in the tank over time. Although it is theoretically possible to use a capacitive
op-amp integrator circuit to derive a volume signal from a flow signal, mechanical and digital electronic
"integrator" devices are more practical for reasons of error and drift, and find frequent use in the water
treatment and distribution industries.

Just as there are symbolic techniques for differentiation, there are also symbolic techniques for integration,
although they tend to be more complex and varied. Applying symbolic integration to a real-world problem like
the acceleration of a car, though, is still contingent on the availability of an equation precisely describing the
measured signal -- often a difficult or impossible thing to derive from measured data. However, electronic
integrator circuits perform this mathematical function continuously, in real time, and for any input signal
profile, providing a powerful tool for scientists and engineers.

Having said this, there are caveats to the using calculus techniques to derive one type of measurement from
another. Differentiation has the undesirable tendency of amplifying "noise" found in the measured variable,
since the noise will typically appear as frequencies much higher than the measured variable, and high
frequencies by their very nature possess high rates-of-change over time.

To illustrate this problem, suppose we were deriving a measurement of car acceleration from the velocity signal
obtained from a tachogenerator with worn brushes or commutator bars. Points of poor contact between brush
and commutator will produce momentary "dips" in the tachogenerator's output voltage, and the differentiator
circuit connected to it will interpret these dips as very rapid changes in velocity. For a car moving at constant
speed -- neither accelerating nor decelerating -- the acceleration signal should be 0 volts, but "noise" in the
velocity signal caused by a faulty tachogenerator will cause the differentiated (acceleration) signal to contain
"spikes," falsely indicating brief periods of high acceleration and deceleration:
Noise voltage present in a signal to be differentiated need not be of significant amplitude to cause trouble: all
that is required is that the noise profile have fast rise or fall times. In other words, any electrical noise with a
high dv/dt component will be problematic when differentiated, even if it is of low amplitude.

It should be noted that this problem is not an artifact (an idiosyncratic error of the measuring/computing
instrument) of the analog circuitry; rather, it is inherent to the process of differentiation. No matter how we
might perform the differentiation, "noise" in the velocity signal will invariably corrupt the output signal. Of
course, if we were differentiating a signal twice, as we did to obtain both velocity and acceleration from a
position signal, the amplified noise signal output by the first differentiator circuit will be amplified again by the
next differentiator, thus compounding the problem:
Integration, on the other hand, does not suffer from this problem, because high-frequency noise tends to be
filtered out. One might suppose, then, that we could avoid all trouble by measuring acceleration directly and
integrating that signal to obtain velocity; in effect, calculating in "reverse" from the way shown previously:
Unfortunately, following this methodology might lead us into other difficulties, the greatest being a common
artifact of analog integrator circuits known as drift. All op-amps have some amount of input bias current, and
this current will tend to cause a charge to accumulate on the capacitor in addition to whatever charge
accumulates as a result of the input voltage signal. In other words, all analog integrator circuits suffer from the
tendency of having their output voltage "drift" or "creep" even when there is absolutely no voltage input,
accumulating error over time as a result. Also, imperfect capacitors will tend to lose their stored charge over
time due to internal resistance, resulting in "drift" toward zero output voltage. These problems are artifacts of
the analog circuitry, and may be eliminated through the use of digital computation.

Circuit artifacts notwithstanding, possible errors may result from the integration of one measurement (such as
acceleration) to obtain another (such as velocity) simply because of the way integration works. If the "zero"
calibration point of the raw signal sensor is not perfect, it will output a slight positive or negative signal even in
conditions when it should output nothing. Consider a car with an imperfectly calibrated accelerometer, or one
that is influenced by gravity to detect a slight acceleration unrelated to car motion. Even with a perfect
integrating computer, this sensor error will cause the integrator to accumulate error, resulting in an output
signal indicating a change of velocity when the car is neither accelerating nor decelerating.
As with differentiation, this error will also compound itself if the integrated signal is passed on to another
integrator circuit, since the "drifting" output of the first integrator will very soon present a significant positive
or negative signal for the next integrator to integrate. Therefore, care should be taken when integrating sensor
signals: if the "zero" adjustment of the sensor is not perfect, the integrated result will drift, even if the
integrator circuit itself is perfect. Again, it should be clearly understood that integrator errors such as these are
fundamentally errors with the integrator and/or sensor devices themselves, and not inherent to the principle of
signal integration. By contrast, differentiator errors (amplification of high-frequency noise) are inherent to the
process of differentiation and are impossible to eliminate without completely eliminating input signal noise.

Measurement circuits

Control circuits

Chapter 10: ACTIVE FILTERS

Chapter 11: DC MOTOR DRIVES

Chapter 12: INVERTERS AND AC MOTOR DRIVES

Chapter 13: ELECTRON TUBES
Introduction

An often neglected area of study in modern electronics is that of tubes, more precisely known as vacuum tubes
or electron tubes. Almost completely overshadowed by semiconductor, or "solid-state" components in most
modern applications, tube technology once dominated electronic circuit design.

In fact, the historical transition from "electric" to "electronic" circuits really began with tubes, for it was with
tubes that we entered into a whole new realm of circuit function: a way of controlling the flow of electrons
(current) in a circuit by means of another electric signal (in the case of most tubes, the controlling signal is a
small voltage). The semiconductor counterpart to the tube, of course, is the transistor. Transistors perform
much the same function as tubes: controlling the flow of electrons in a circuit by means of another flow of
electrons in the case of the bipolar transistor, and controlling the flow of electrons by means of a voltage in the
case of the field-effect transistor. In either case, a relatively small electric signal controls a relatively large
electric current. This is the essence of the word "electronic," so as to distinguish it from "electric," which has
more to do with how electron flow is regulated by Ohm's Law and the physical attributes of wire and
components.

Though tubes are now obsolete for all but a few specialized applications, they are still a worthy area of study.
If nothing else, it is fascinating to explore "the way things used to be done" in order to better appreciate
modern technology.

Early tube history

Thomas Edison, that prolific American inventor, is often credited with the invention of the incandescent lamp.
More accurately, it could be said that Edison was the man who perfected the incandescent lamp. Edison's
successful design of 1879 was actually preceded by 77 years by the British scientist Sir Humphry Davy, who
first demonstrated the principle of using electric current to heat a thin strip of metal (called a "filament") to the
point of incandescence (glowing white hot).

Edison was able to achieve his success by placing his filament (made of carbonized sewing thread) inside of a
clear glass bulb from which the air had been forcibly removed. In this vacuum, the filament could glow at
white-hot temperatures without being consumed by combustion:

In the course of his experimentation (sometime around 1883), Edison placed a strip of metal inside of an
evacuated (vacuum) glass bulb along with the filament. Between this metal strip and one of the filament
connections he attached a sensitive ammeter. What he found was that electrons would flow through the meter
whenever the filament was hot, but ceased when the filament cooled down:
The white-hot filament in Edison's lamp was liberating free electrons into the vacuum of the lamp, those
electrons finding their way to the metal strip, through the galvanometer, and back to the filament. His curiosity
piqued, Edison then connected a fairly high-voltage battery in the galvanometer circuit to aid the small
current:

Sure enough, the presence of the battery created a much larger current from the filament to the metal strip.
However, when the battery was turned around, there was little to no current at all!

In effect, what Edison had stumbled upon was a diode! Unfortunately, he saw no practical use for such a device
and proceeded with further refinements in his lamp design.

The one-way electron flow of this device (known as the Edison Effect) remained a curiosity until J. A. Fleming
experimented with its use in 1895. Fleming marketed his device as a "valve," initiating a whole new area of
study in electric circuits. Vacuum tube diodes -- Fleming's "valves" being no exception -- are not able to handle
large amounts of current, and so Fleming's invention was impractical for any application in AC power, only for
small electric signals.

Then in 1906, another inventor by the name of Lee De Forest started playing around with the "Edison Effect,"
seeing what more could be gained from the phenomenon. In doing so, he made a startling discovery: by
placing a metal screen between the glowing filament and the metal strip (which by now had taken the form of
a plate for greater surface area), the stream of electrons flowing from filament to plate could be regulated by
the application of a small voltage between the metal screen and the filament:

De Forest called this metal screen between filament and plate a grid. It wasn't just the amount of voltage
between grid and filament that controlled current from filament to plate, it was the polarity as well. A negative
voltage applied to the grid with respect to the filament would tend to choke off the natural flow of electrons,
whereas a positive voltage would tend to enhance the flow. Although there was some amount of current
through the grid, it was very small; much smaller than the current through the plate.

Perhaps most importantly was his discovery that the small amounts of grid voltage and grid current were
having large effects on the amount of plate voltage (with respect to the filament) and plate current. In adding
the grid to Fleming's "valve," De Forest had made the valve adjustable: it now functioned as an amplifying
device, whereby a small electrical signal could take control over a larger electrical quantity.

The closest semiconductor equivalent to the Audion tube, and to all of its more modern tube equivalents, is an
n-channel D-type MOSFET. It is a voltage-controlled device with a large current gain.

Calling his invention the "Audion," he vigorously applied it to the development of communications technology.
In 1912 he sold the rights to his Audion tube as a telephone signal amplifier to the American Telephone and
Telegraph Company (AT and T), which made long-distance telephone communication practical. In the following
year he demonstrated the use of an Audion tube for generating radio-frequency AC signals. In 1915 he
achieved the remarkable feat of broadcasting voice signals via radio from Arlington, Virginia to Paris, and in
1916 inaugurated the first radio news broadcast. Such accomplishments earned De Forest the title "Father of
Radio" in America.
The triode

De Forest's Audion tube came to be known as the triode tube, because it had three elements: filament, grid,
and plate (just as the "di" in the name diode refers to two elements, filament and plate). Later developments
in diode tube technology led to the refinement of the electron emitter: instead of using the filament directly as
the emissive element, another metal strip called the cathode could be heated by the filament.

This refinement was necessary in order to avoid some undesired effects of an incandescent filament as an
electron emitter. First, a filament experiences a voltage drop along its length, as current overcomes the
resistance of the filament material and dissipates heat energy. This meant that the voltage potential between
different points along the length of the filament wire and other elements in the tube would not be constant. For
this and similar reasons, alternating current used as a power source for heating the filament wire would tend to
introduce unwanted AC "noise" in the rest of the tube circuit. Furthermore, the surface area of a thin filament
was limited at best, and limited surface area on the electron emitting element tends to place a corresponding
limit on the tube's current-carrying capacity.

The cathode was a thin metal cylinder fitting snugly over the twisted wire of the filament. The cathode cylinder
would be heated by the filament wire enough to freely emit electrons, without the undesirable side effects of
actually carrying the heating current as the filament wire had to. The tube symbol for a triode with an
indirectly-heated cathode looks like this:
Since the filament is necessary for all but a few types of vacuum tubes, it is often omitted in the symbol for
simplicity, or it may be included in the drawing but with no power connections drawn to it:

A simple triode circuit is shown to illustrate its basic operation as an amplifier:

The low-voltage AC signal connected between the grid and cathode alternately suppresses, then enhances the
electron flow between cathode and plate. This causes a change in voltage on the output of the circuit (between
plate and cathode). The AC voltage and current magnitudes on the tube's grid are generally quite small
compared with the variation of voltage and current in the plate circuit. Thus, the triode functions as an
amplifier of the incoming AC signal (taking high-voltage, high-current DC power supplied from the large DC
source on the right and "throttling" it by means of the tube's controlled conductivity).
In the triode, the amount of current from cathode to plate (the "controlled" current is a function both of grid-
to-cathode voltage (the controlling signal) and the plate-to-cathode voltage (the electromotive force available
to push electrons through the vacuum). Unfortunately, neither of these independent variables have a purely
linear effect on the amount of current through the device (often referred to simply as the "plate current"). That
is, triode current does not necessarily respond in a direct, proportional manner to the voltages applied.

In this particular amplifier circuit the nonlinearities are compounded, as plate voltage (with respect to cathode)
changes along with the grid voltage (also with respect to cathode) as plate current is throttled by the tube. The
result will be an output voltage waveform that doesn't precisely resemble the waveform of the input voltage. In
other words, the quirkiness of the triode tube and the dynamics of this particular circuit will distort the
waveshape. If we really wanted to get complex about how we stated this, we could say that the tube
introduces harmonics by failing to exactly reproduce the input waveform.

Another problem with triode behavior is that of stray capacitance. Remember that any time we have two
conductive surfaces separated by an insulating medium, a capacitor will be formed. Any voltage between those
two conductive surfaces will generate an electric field within that insulating region, potentially storing energy
and introducing reactance into a circuit. Such is the case with the triode, most problematically between the grid
and the plate. It is as if there were tiny capacitors connected between the pairs of elements in the tube:

Now, this stray capacitance is quite small, and the reactive impedances usually high. Usually, that is, unless
radio frequencies are being dealt with. As we saw with De Forest's Audion tube, radio was probably the prime
application for this new technology, so these "tiny" capacitances became more than just a potential problem.
Another refinement in tube technology was necessary to overcome the limitations of the triode.

The tetrode

As the name suggests, the tetrode tube contained four elements: cathode (with the implicit filament, or
"heater"), grid, plate, and a new element called the screen. Similar in construction to the grid, the screen was
a wire mesh or coil positioned between the grid and plate, connected to a source of positive DC potential (with
respect to the cathode, as usual) equal to a fraction of the plate voltage. When connected to ground through
an external capacitor, the screen had the effect of electrostatically shielding the grid from the plate. Without
the screen, the capacitive linking between the plate and the grid could cause significant signal feedback at high
frequencies, resulting in unwanted oscillations.

The screen, being of less surface area and lower positive potential than the plate, didn't attract many of the
electrons passing through the grid from the cathode, so the vast majority of electrons in the tube still flew by
the screen to be collected by the plate:
With a constant DC screen voltage, electron flow from cathode to plate became almost exclusively dependent
upon grid voltage, meaning the plate voltage could vary over a wide range with little effect on plate current.
This made for more stable gains in amplifier circuits, and better linearity for more accurate reproduction of the
input signal waveform.

Despite the advantages realized by the addition of a screen, there were some disadvantages as well. The most
significant disadvantage was related to something known as secondary emission. When electrons from the
cathode strike the plate at high velocity, they can cause free electrons to be jarred loose from atoms in the
metal of the plate. These electrons, knocked off the plate by the impact of the cathode electrons, are said to be
"secondarily emitted." In a triode tube, secondary emission is not that great a problem, but in a tetrode with a
positively-charged screen grid in close proximity, these secondary electrons will be attracted to the screen
rather than the plate from which they came, resulting in a loss of plate current. Less plate current means less
gain for the amplifier, which is not good.

Two different strategies were developed to address this problem of the tetrode tube: beam power tubes and
pentodes. Both solutions resulted in new tube designs with approximately the same electrical characteristics.

Beam power tubes

In the beam power tube, the basic four-element structure of the tetrode was maintained, but the grid and
screen wires were carefully arranged along with a pair of auxiliary plates to create an interesting effect:
focused beams or "sheets" of electrons traveling from cathode to plate. These electron beams formed a
stationary "cloud" of electrons between the screen and plate (called a "space charge") which acted to repel
secondary electrons emitted from the plate back to the plate. A set of "beam-forming" plates, each connected
to the cathode, were added to help maintain proper electron beam focus. Grid and screen wire coils were
arranged in such a way that each turn or wrap of the screen fell directly behind a wrap of the grid, which
placed the screen wires in the "shadow" formed by the grid. This precise alignment enabled the screen to still
perform its shielding function with minimal interference to the passage of electrons from cathode to plate.
This resulted in lower screen current (and more plate current!) than an ordinary tetrode tube, with little added
expense to the construction of the tube.

Beam power tetrodes were often distinguished from their non-beam counterparts by a different schematic
symbol, showing the beam-forming plates:

The pentode

Another strategy for addressing the problem of secondary electrons being attracted by the screen was the
addition of a fifth wire element to the tube structure: a suppressor. These five-element tubes were naturally
called pentodes.
The suppressor was another wire coil or mesh situated between the screen and the plate, usually connected
directly to ground potential. In some pentode tube designs, the suppressor was internally connected to the
cathode so as to minimize the number of connection pins having to penetrate the tube envelope:

The suppressor's job was to repel any secondarily emitted electrons back to the plate: a structural equivalent
of the beam power tube's space charge. This, of course, increased plate current and decreased screen current,
resulting in better gain and overall performance. In some instances it allowed for greater operating plate
voltage as well.

Combination tubes

Similar in thought to the idea of the integrated circuit, tube designers tried integrating different tube functions
into single tube envelopes to reduce space requirements in more modern tube-type electronic equipment. A
common combination seen within a single glass shell was two either diodes or two triodes. The idea of fitting
pairs of diodes inside a single envelope makes a lot of sense in light of power supply full-wave rectifier designs,
always requiring multiple diodes.

Of course, it would have been quite impossible to combine thousands of tube elements into a single tube
envelope the way that thousands of transistors can be etched onto a single piece of silicon, but engineers still
did their best to push the limits of tube miniaturization and consolidation. Some of these tubes, whimsically
called compactrons, held four or more complete tube elements within a single envelope.

Sometimes the functions of two different tubes could be integrated into a single, combination tube in a way
that simply worked more elegantly than two tubes ever could. An example of this was the pentagrid converter,
more generally called a heptode, used in some superheterodyne radio designs. These tubes contained seven
elements: 5 grids plus a cathode and a plate. Two of the grids were normally reserved for signal input, the
other three relegated to screening and suppression (performance-enhancing) functions. Combining the
superheterodyne functions of oscillator and signal mixer together in one tube, the signal coupling between
these two stages was intrinsic. Rather than having separate oscillator and mixer circuits, the oscillator creating
an AC voltage and the mixer "mixing" that voltage with another signal, the pentagrid converter's oscillator
section created an electron stream that oscillated in intensity which then directly passed through another grid
for "mixing" with another signal.

This same tube was sometimes used in a different way: by applying a DC voltage to one of the control grids,
the gain of the tube could be changed for a signal impressed on the other control grid. This was known as
variable-mu operation, because the "mu" (µ) of the tube (its amplification factor, measured as a ratio of plate-
to-cathode voltage change over grid-to-cathode voltage change with a constant plate current) could be altered
at will by a DC control voltage signal.

Enterprising electronics engineers also discovered ways to exploit such multi-variable capabilities of "lesser"
tubes such as tetrodes and pentodes. One such way was the so-called ultralinear audio power amplifier,
invented by a pair of engineers named Hafler and Keroes, utilizing a tetrode tube in combination with a
"tapped" output transformer to provide substantial improvements in amplifier linearity (decreases in distortion
levels). Consider a "single-ended" triode tube amplifier with an output transformer coupling power to the
speaker:

If we substitute a tetrode for a triode in this circuit, we will see improvements in circuit gain resulting from the
electrostatic shielding offered by the screen, preventing unwanted feedback between the plate and control
grid:
However, the tetrode's screen may be used for functions other than merely shielding the grid from the plate. It
can also be used as another control element, like the grid itself. If a "tap" is made on the transformer's primary
winding, and this tap connected to the screen, the screen will receive a voltage that varies with the signal
being amplified (feedback). More specifically, the feedback signal is proportional to the rate-of-change of
magnetic flux in the transformer core (dΦ/dt), thus improving the amplifier's ability to reproduce the input
signal waveform at the speaker terminals and not just in the primary winding of the transformer:

This signal feedback results in significant improvements in amplifier linearity (and consequently, distortion), so
long as precautions are taken against "overpowering" the screen with too great a positive voltage with respect
to the cathode. As a concept, the ultralinear (screen-feedback) design demonstrates the flexibility of operation
granted by multiple grid-elements inside a single tube: a capability rarely matched by semiconductor
components.
Some tube designs combined multiple tube functions in a most economic way: dual plates with a single
cathode, the currents for each of the plates controlled by separate sets of control grids. Common examples of
these tubes were triode-heptode and triode-hexode tubes (a hexode tube is a tube with four grids, one
cathode, and one plate).

Other tube designs simply incorporated separate tube structures inside a single glass envelope for greater
economy. Dual diode (rectifier) tubes were quite common, as were dual triode tubes, especially when the
power dissipation of each tube was relatively low.

The 12AX7 and 12AU7 models are common examples of dual-triode tubes, both of low-power rating. The
12AX7 is especially common as a preamplifier tube in electric guitar amplifier circuits.

Tube parameters

For bipolar junction transistors, the fundamental measure of amplification is the Beta ratio (β), defined as the
ratio of collector current to base current (IC/IB). Other transistor characteristics such as junction resistance,
which in some amplifier circuits may impact performance as much as β, are quantified for the benefit of circuit
analysis. Electron tubes are no different, their performance characteristics having been explored and quantified
long ago by electrical engineers.

Before we can speak meaningfully on these characteristics, we must define several mathematical variables
used for expressing common voltage, current, and resistance measurements as well as some of the more
complex quantities:
The two most basic measures of an amplifying tube's characteristics are its amplification factor (µ) and its
mutual conductance (gm), also known as transconductance. Transconductance is defined here just the same as
it is for field-effect transistors, another category of voltage-controlled devices. Here are the two equations
defining each of these performance characteristics:

Another important, though more abstract, measure of tube performance is its plate resistance. This is the
measurement of plate voltage change over plate current change for a constant value of grid voltage. In other
words, this is an expression of how much the tube acts like a resistor for any given amount of grid voltage,
analogous to the operation of a JFET in its ohmic mode:

The astute reader will notice that plate resistance may be determined by dividing the amplification factor by
the transconductance:

These three performance measures of tubes are subject to change from tube to tube (just as β ratios between
two "identical" bipolar transistors are never precisely the same) and between different operating conditions.
This variability is due partly to the unavoidable nonlinearities of electron tubes and partly due to how they are
defined. Even supposing the existence of a perfectly linear tube, it will be impossible for all three of these
measures to be constant over the allowable ranges of operation. Consider a tube that perfectly regulates
current at any given amount of grid voltage (like a bipolar transistor with an absolutely constant β): that tube's
plate resistance must vary with plate voltage, because plate current will not change even though plate voltage
does.
Nevertheless, tubes were (and are) rated by these values at given operating conditions, and may have their
characteristic curves published just like transistors.

Ionization (gas-filled) tubes

So far, we've explored tubes which are totally "evacuated" of all gas and vapor inside their glass envelopes,
properly known as vacuum tubes. With the addition of certain gases or vapors, however, tubes take on
significantly different characteristics, and are able to fulfill certain special roles in electronic circuits.

When a high enough voltage is applied across a distance occupied by a gas or vapor, or when that gas or vapor
is heated sufficiently, the electrons of those gas molecules will be stripped away from their respective nuclei,
creating a condition of ionization. Having freed the electrons from their electrostatic bonds to the atoms' nuclei,
they are free to migrate in the form of a current, making the ionized gas a relatively good conductor of
electricity. In this state, the gas is more properly referred to as a plasma.

Ionized gas is not a perfect conductor. As such, the flow of electrons through ionized gas will tend to dissipate
energy in the form of heat, thereby helping to keep the gas in a state of ionization. The result of this is a tube
that will begin to conduct under certain conditions, then tend to stay in a state of conduction until the applied
voltage across the gas and/or the heat-generating current drops to a minimum level.

The astute observer will note that this is precisely the kind of behavior exhibited by a class of semiconductor
devices called "thyristors," which tend to stay "on" once turned "on" and tend to stay "off" once turned "off."
Gas-filled tubes, it can be said, manifest this same property of hysteresis.

Unlike their vacuum counterparts, ionization tubes were often manufactured with no filament (heater) at all.
These were called cold-cathode tubes, with the heated versions designated as hot-cathode tubes. Whether or
not the tube contained a source of heat obviously impacted the characteristics of a gas-filled tube, but not to
the extent that lack of heat would impact the performance of a hard-vacuum tube.

The simplest type of ionization device is not necessarily a tube at all; rather, it is constructed of two electrodes
separated by a gas-filled gap. Simply called a spark gap, the gap between the electrodes may be occupied by
ambient air, other times a special gas, in which case the device must have a sealed envelope of some kind.

A prime application for spark gaps is in overvoltage protection. Engineered not to ionize, or "break down"
(begin conducting), with normal system voltage applied across the electrodes, the spark gap's function is to
conduct in the event of a significant increase in voltage. Once conducting, it will act as a heavy load, holding
the system voltage down through its large current draw and subsequent voltage drop along conductors and
other series impedances. In a properly engineered system, the spark gap will stop conducting ("extinguish")
when the system voltage decreases to a normal level, well below the voltage required to initiate conduction.

One major caveat of spark gaps is their significantly finite life. The discharge generated by such a device can
be quite violent, and as such will tend to deteriorate the surfaces of the electrodes through pitting and/or
melting.

Spark gaps can be made to conduct on command by placing a third electrode (usually with a sharp edge or
point) between the other two and applying a high voltage pulse between that electrode and one of the other
electrodes. The pulse will create a small spark between the two electrodes, ionizing part of the pathway
between the two large electrodes, and enabling conduction between them if the applied voltage is high
enough:
Spark gaps of both the triggered and untriggered variety can be built to handle huge amounts of current, some
even into the range of mega-amps (millions of amps)! Physical size is the primary limiting factor to the amount
of current a spark gap can safely and reliably handle.

When the two main electrodes are placed in a sealed tube filled with a special gas, a discharge tube is formed.
The most common type of discharge tube is the neon light, used popularly as a source of colorful illumination,
the color of the light emitted being dependent on the type of gas filling the tube.

Construction of neon lamps closely resembles that of spark gaps, but the operational characteristics are quite
different:
By controlling the spacing of the electrodes and the type of gas in the tube, neon lights can be made to
conduct without drawing the excessive currents that spark gaps do. They still exhibit hysteresis in that it takes
a higher voltage to initiate conduction than it does to make them "extinguish," and their resistance is definitely
nonlinear (the more voltage applied across the tube, the more current, thus more heat, thus lower resistance).
Given this nonlinear tendency, the voltage across a neon tube must not be allowed to exceed a certain limit,
lest the tube be damaged by excessive temperatures.

This nonlinear tendency gives the neon tube an application other than colorful illumination: it can act
somewhat like a zener diode, "clamping" the voltage across it by drawing more and more current if the voltage
decreases. When used in this fashion, the tube is known as a glow tube, or voltage-regulator tube, and was a
popular means of voltage regulation in the days of electron tube circuit design.

Please take note of the black dot found in the tube symbol shown above (and in the neon lamp symbol shown
before that). That marker indicates the tube is gas-filled. It is a common marker used in all gas-filled tube
symbols.

One example of a glow tube designed for voltage regulation was the VR-150, with a nominal regulating voltage
of 150 volts. Its resistance throughout the allowable limits of current could vary from 5 kΩ to 30 kΩ, a 6:1
span. Like zener diode regulator circuits of today, glow tube regulators could be coupled to amplifying tubes for
better voltage regulation and higher load current ranges.

If a regular triode was filled with gas instead of a hard vacuum, it would manifest all the hysteresis and
nonlinearity of other gas tubes with one major advantage: the amount of voltage applied between grid and
cathode would determine the minimum plate-to cathode voltage necessary to initiate conduction. In essence,
this tube was the equivalent of the semiconductor SCR (Silicon-Controlled Rectifier), and was called the
thyratron.

It should be noted that the schematic shown above is greatly simplified for most purposes and thyratron tube
designs. Some thyratrons, for instance, required that the grid voltage switch polarity between their "on" and
"off" states in order to properly work. Also, some thyratrons had more than one grid!

Thyratrons found use in much the same way as SCR's find use today: controlling rectified AC to large loads
such as motors. Thyratron tubes have been manufactured with different types of gas fillings for different
characteristics: inert (chemically non-reactive) gas, hydrogen gas, and mercury (vaporized into a gas form
when activated). Deuterium, a rare isotope of hydrogen, was used in some special applications requiring the
switching of high voltages.

Display tubes

In addition to performing tasks of amplification and switching, tubes can be designed to serve
as display devices.

Perhaps the best-known display tube is the cathode ray tube, or CRT. Originally invented as
an instrument to study the behavior of "cathode rays" (electrons) in a vacuum, these tubes
developed into instruments useful in detecting voltage, then later as video projection devices
with the advent of television. The main difference between CRTs used in oscilloscopes and
CRTs used in televisions is that the oscilloscope variety exclusively use electrostatic (plate)
deflection, while televisions use electromagnetic (coil) deflection. Plates function much better
than coils over a wider range of signal frequencies, which is great for oscilloscopes but
irrelevant for televisions, since a television electron beam sweeps vertically and horizontally
at fixed frequencies. Electromagnetic deflection coils are much preferred in television CRT
construction because they do not have to penetrate the glass envelope of the tube, thus
decreasing the production costs and increasing tube reliability.

An interesting "cousin" to the CRT is the Cat-Eye or Magic-Eye indicator tube. Essentially,
this tube is a voltage-measuring device with a display resembling a glowing green ring.
Electrons emitted by the cathode of this tube impinge on a fluorescent screen, causing the
green-colored light to be emitted. The shape of the glow produced by the fluorescent screen
varies as the amount of voltage applied to a grid changes:

The width of the shadow is directly determined by the potential difference between the
control electrode and the fluorescent screen. The control electrode is a narrow rod placed
between the cathode and the fluorescent screen. If that control electrode (rod) is significantly
more negative than the fluorescent screen, it will deflect some electrons away from the that
area of the screen. The area of the screen "shadowed" by the control electrode will appear
darker when there is a significant voltage difference between the two. When the control
electrode and fluorescent screen are at equal potential (zero voltage between them), the
shadowing effect will be minimal and the screen will be equally illuminated.

The schematic symbol for a "cat-eye" tube looks something like this:

Here is a photograph of a cat-eye tube, showing the circular display region as well as the
glass envelope, socket (black, at far end of tube), and some of its internal structure:
Normally, only the end of the tube would protrude from a hole in an instrument panel, so the
user could view the circular, fluorescent screen.

In its simplest usage, a "cat-eye" tube could be operated without the use of the amplifier grid.
However, in order to make it more sensitive, the amplifier grid is used, and it is used like this:

The cathode, amplifier grid, and plate act as a triode to create large changes in plate-to-
cathode voltage for small changes in grid-to-cathode voltage. Because the control electrode is
internally connected to the plate, it is electrically common to it and therefore possesses the
same amount of voltage with respect to the cathode that the plate does. Thus, the large
voltage changes induced on the plate due to small voltage changes on the amplifier grid end
up causing large changes in the width of the shadow seen by whoever is viewing the tube.
"Cat-eye" tubes were never accurate enough to be equipped with a graduated scale as is the
case with CRT's and electromechanical meter movements, but they served well as null
detectors in bridge circuits, and as signal strength indicators in radio tuning circuits. An
unfortunate limitation to the "cat-eye" tube as a null detector was the fact that it was not
directly capable of voltage indication in both polarities.

Microwave tubes

For extremely high-frequency applications (above 1 GHz), the interelectrode capacitances and transit-time
delays of standard electron tube construction become prohibitive. However, there seems to be no end to the
creative ways in which tubes may be constructed, and several high-frequency electron tube designs have been
made to overcome these challenges.

It was discovered in 1939 that a toroidal cavity made of conductive material called a cavity resonator
surrounding an electron beam of oscillating intensity could extract power from the beam without actually
intercepting the beam itself. The oscillating electric and magnetic fields associated with the beam "echoed"
inside the cavity, in a manner similar to the sounds of traveling automobiles echoing in a roadside canyon,
allowing radio-frequency energy to be transferred from the beam to a waveguide or coaxial cable connected to
the resonator with a coupling loop. The tube was called an inductive output tube, or IOT:

Two of the researchers instrumental in the initial development of the IOT, a pair of brothers named Sigurd and
Russell Varian, added a second cavity resonator for signal input to the inductive output tube. This input
resonator acted as a pair of inductive grids to alternately "bunch" and release packets of electrons down the
drift space of the tube, so the electron beam would be composed of electrons traveling at different velocities.
This "velocity modulation" of the beam translated into the same sort of amplitude variation at the output
resonator, where energy was extracted from the beam. The Varian brothers called their invention a klystron.

Another invention of the Varian brothers was the reflex klystron tube. In this tube, electrons emitted from the
heated cathode travel through the cavity grids toward the repeller plate, then are repelled and returned back
the way they came (hence the name reflex) through the cavity grids. Self-sustaining oscillations would develop
in this tube, the frequency of which could be changed by adjusting the repeller voltage. Hence, this tube
operated as a voltage-controlled oscillator.

As a voltage-controlled oscillator, reflex klystron tubes served commonly as "local oscillators" for radar
equipment and microwave receivers:
Initially developed as low-power devices whose output required further amplification for radio transmitter use,
reflex klystron design was refined to the point where the tubes could serve as power devices in their own right.
Reflex klystrons have since been superseded by semiconductor devices in the application of local oscillators,
but amplification klystrons continue to find use in high-power, high-frequency radio transmitters and in
scientific research applications.

One microwave tube performs its task so well and so cost-effectively that it continues to reign supreme in the
competitive realm of consumer electronics: the magnetron tube. This device forms the heart of every
microwave oven, generating several hundred watts of microwave RF energy used to heat food and beverages,
and doing so under the most grueling conditions for a tube: powered on and off at random times and for
random durations.

Magnetron tubes are representative of an entirely different kind of tube than the IOT and klystron. Whereas
the latter tubes use a linear electron beam, the magnetron directs its electron beam in a circular pattern by
means of a strong magnetic field:
Once again, cavity resonators are used as microwave-frequency "tank circuits," extracting energy from the
passing electron beam inductively. Like all microwave-frequency devices using a cavity resonator, at least one
of the resonator cavities is tapped with a coupling loop: a loop of wire magnetically coupling the coaxial cable
to the resonant structure of the cavity, allowing RF power to be directed out of the tube to a load. In the case
of the microwave oven, the output power is directed through a waveguide to the food or drink to be heated,
the water molecules within acting as tiny load resistors, dissipating the electrical energy in the form of heat.

The magnet required for magnetron operation is not shown in the diagram. Magnetic flux runs perpendicular to
the plane of the circular electron path. In other words, from the view of the tube shown in the diagram, you
are looking straight at one of the magnetic poles.

Tubes versus Semiconductors

Devoting a whole chapter in a modern electronics text to the design and function of electron tubes may seem a
bit strange, seeing as how semiconductor technology has all but obsoleted tubes in almost every application.
However, there is merit in exploring tubes not just for historical purposes, but also for those niche applications
that necessitate the qualifying phrase "almost every application" in regard to semiconductor supremacy.

In some applications, electron tubes not only continue to see practical use, but perform their respective tasks
better than any solid-state device yet invented. In some cases the performance and reliability of electron tube
technology is far superior.

In the fields of high-power, high-speed circuit switching, specialized tubes such as hydrogen thyratrons and
krytrons are able to switch far larger amounts of current, far faster than any semiconductor device designed to
date. The thermal and temporal limits of semiconductor physics place limitations on switching ability that tubes
-- which do not operate on the same principles -- are exempt from.

In high-power microwave transmitter applications, the excellent thermal tolerance of tubes alone secures their
dominance over semiconductors. Electron conduction through semiconducting materials is greatly impacted by
temperature. Electron conduction through a vacuum is not. As a consequence, the practical thermal limits of
semiconductor devices are rather low compared to that of tubes. Being able to operate tubes at far greater
temperatures than equivalent semiconductor devices allows tubes to dissipate more thermal energy for a given
amount of dissipation area, which makes them smaller and lighter in continuous high power applications.

Another decided advantage of tubes over semiconductor components in high-power applications is their
rebuildability. When a large tube fails, it may be disassembled and repaired at far lower cost than the purchase
price of a new tube. When a semiconductor component fails, large or small, there is generally no means of
repair.

The following photograph shows the front panel of a 1960's vintage 5 kW AM radio transmitter. One of two
"Eimac" brand power tubes can be seen in a recessed area, behind the glass door. According to the station
engineer who gave the facility tour, the rebuild cost for such a tube is only $800: quite inexpensive compared
to the cost of a new tube, and still quite reasonable in contrast to the price of a new, comparable
semiconductor component!
Tubes, being less complex in their manufacture than semiconductor components, are potentially cheaper to
produce as well, although the huge volume of semiconductor device production in the world greatly offsets this
theoretical advantage. Semiconductor manufacture is quite complex, involving many dangerous chemical
substances and necessitating super-clean assembly environments. Tubes are essentially nothing more than
glass and metal, with a vacuum seal. Physical tolerances are "loose" enough to permit hand-assembly of
vacuum tubes, and the assembly work need not be done in a "clean room" environment as is necessary for
semiconductor manufacture.

One modern area where electron tubes enjoy supremacy over semiconductor components is in the professional
and high-end audio amplifier markets, although this is partially due to musical culture. Many professional
guitar players, for example, prefer tube amplifiers over transistor amplifiers because of the specific distortion
produced by tube circuits. An electric guitar amplifier is designed to produce distortion rather than avoid
distortion as is the case with audio-reproduction amplifiers (this is why an electric guitar sounds so much
different than an acoustical guitar), and the type of distortion produced by an amplifier is as much a matter of
personal taste as it is technical measurement. Since rock music in particular was born with guitarists playing
tube-amplifier equipment, there is a significant level of "tube appeal" inherent to the genre itself, and this
appeal shows itself in the continuing demand for "tubed" guitar amplifiers among rock guitarists.

As an illustration of the attitude among some guitarists, consider the following quote taken from the technical
glossary page of a tube-amplifier website which will remain nameless:

Solid State: A component that has been specifically designed to make a guitar amplifier
sound bad. Compared to tubes, these devices can have a very long lifespan, which
guarantees that your amplifier will retain its thin, lifeless, and buzzy sound for a long time to
come.

In the area of audio reproduction amplifiers (music studio amplifiers and home entertainment amplifiers), it is
best for an amplifier to reproduce the musical signal with as little distortion as possible. Paradoxically, in
contrast to the guitar amplifier market where distortion is a design goal, high-end audio is another area where
tube amplifiers enjoy continuing consumer demand. Though one might suppose the objective, technical
requirement of low distortion would eliminate any subjective bias on the part of audiophiles, one would be very
wrong. The market for high-end "tubed" amplifier equipment is quite volatile, changing rapidly with trends and
fads, driven by highly subjective claims of "magical" sound from audio system reviewers and salespeople. As in
the electric guitar world, there is no small measure of cult-like devotion to tube amplifiers among some
quarters of the audiophile world. As an example of this irrationality, consider the design of many ultra-high-end
amplifiers, with chassis built to display the working tubes openly, even though this physical exposure of the
tubes obviously enhances the undesirable effect of microphonics (changes in tube performance as a result of
sound waves vibrating the tube structure).
Having said this, though, there is a wealth of technical literature contrasting tubes against semiconductors for
audio power amplifier use, especially in the area of distortion analysis. More than a few competent electrical
engineers prefer tube amplifier designs over transistors, and are able to produce experimental evidence in
support of their choice. The primary difficulty in quantifying audio system performance is the uncertain
response of human hearing. All amplifiers distort their input signal to some degree, especially when
overloaded, so the question is which type of amplifier design distorts the least. However, since human hearing
is very nonlinear, people do not interpret all types of acoustic distortion equally, and so some amplifiers will
sound "better" than others even if a quantitative distortion analysis with electronic instruments indicates
similar distortion levels. To determine what type of audio amplifier will distort a musical signal "the least," we
must regard the human ear and brain as part of the whole acoustical system. Since no complete model yet
exists for human auditory response, objective assessment is difficult at best. However, some research indicates
that the characteristic distortion of tube amplifier circuits (especially when overloaded) is less objectionable
than distortion produced by transistors.

Tubes also possess the distinct advantage of low "drift" over a wide range of operating conditions. Unlike
semiconductor components, whose barrier voltages, β ratios, bulk resistances, and junction capacitances may
change substantially with changes in device temperature and/or other operating conditions, the fundamental
characteristics of a vacuum tube remain nearly constant over a wide range in operating conditions, because
those characteristics are determined primarily by the physical dimensions of the tube's structural elements
(cathode, grid(s), and plate) rather than the interactions of subatomic particles in a crystalline lattice.

This is one of the major reasons solid-state amplifier designers typically engineer their circuits to maximize
power-efficiency even when it compromises distortion performance, because a power-inefficient amplifier
dissipates a lot of energy in the form of waste heat, and transistor characteristics tend to change substantially
with temperature. Temperature-induced "drift" makes it difficult to stabilize "Q" points and other important
performance-related measures in an amplifier circuit. Unfortunately, power efficiency and low distortion seem
to be mutually exclusive design goals.

For example, class A audio amplifier circuits typically exhibit very low distortion levels, but are very wasteful of
power, meaning that it would be difficult to engineer a solid-state class A amplifier of any substantial power
rating due to the consequent drift of transistor characteristics. Thus, most solid-state audio amplifier designers
choose class B circuit configurations for greater efficiency, even though class B designs are notorious for
producing a type of distortion known as crossover distortion. However, with tubes it is easy to design a stable
class A audio amplifier circuit because tubes are not as adversely affected by the changes in temperature
experienced in a such a power-inefficient circuit configuration.

Tube performance parameters, though, tend to "drift" more than semiconductor devices when measured over
long periods of time (years). One major mechanism of tube "aging" appears to be vacuum leaks: when air
enters the inside of a vacuum tube, its electrical characteristics become irreversibly altered. This same
phenomenon is a major cause of tube mortality, or why tubes typically do not last as long as their respective
solid-state counterparts. When tube vacuum is maintained at a high level, though, excellent performance and
life is possible. An example of this is a klystron tube (used to produce the high-frequency radio waves used in a
radar system) that lasted for 240,000 hours of operation (cited by Robert S. Symons of Litton Electron Devices
Division in his informative paper, "Tubes: Still vital after all these years," printed in the April 1998 issue of
IEEE Spectrum magazine).

If nothing else, the tension between audiophiles over tubes versus semiconductors has spurred a remarkable
degree of experimentation and technical innovation, serving as an excellent resource for those wishing to
educate themselves on amplifier theory. Taking a wider view, the versatility of electron tube technology
(different physical configurations, multiple control grids) hints at the potential for circuit designs of far greater
variety than is possible using semiconductors. For this and other reasons, electron tubes will never be
"obsolete," but will continue to serve in niche roles, and to foster innovation for those electronics engineers,
inventors, and hobbyists who are unwilling to let their minds by stifled by convention.

VII : DIGITAL
Chapter 1: NUMERATION SYSTEMS
Numbers and symbols

The expression of numerical quantities is something we tend to take for granted. This is both a good and a bad
thing in the study of electronics. It is good, in that we're accustomed to the use and manipulation of numbers
for the many calculations used in analyzing electronic circuits. On the other hand, the particular system of
notation we've been taught from grade school onward is not the system used internally in modern electronic
computing devices, and learning any different system of notation requires some re-examination of deeply
ingrained assumptions.
First, we have to distinguish the difference between numbers and the symbols we use to represent numbers. A
number is a mathematical quantity, usually correlated in electronics to a physical quantity such as voltage,
current, or resistance. There are many different types of numbers. Here are just a few types, for example:

WHOLE NUMBERS:
1, 2, 3, 4, 5, 6, 7, 8, 9 . . .

INTEGERS:
-4, -3, -2, -1, 0, 1, 2, 3, 4 . . .

IRRATIONAL NUMBERS:
π (approx. 3.1415927), e (approx. 2.718281828),
square root of any prime

REAL NUMBERS:
(All one-dimensional numerical values, negative and positive,
including zero, whole, integer, and irrational numbers)

COMPLEX NUMBERS:
3 - j4 , 34.5 20o

Different types of numbers find different application in the physical world. Whole numbers work well for
counting discrete objects, such as the number of resistors in a circuit. Integers are needed when negative
equivalents of whole numbers are required. Irrational numbers are numbers that cannot be exactly expressed
as the ratio of two integers, and the ratio of a perfect circle's circumference to its diameter (π) is a good
physical example of this. The non-integer quantities of voltage, current, and resistance that we're used to
dealing with in DC circuits can be expressed as real numbers, in either fractional or decimal form. For AC circuit
analysis, however, real numbers fail to capture the dual essence of magnitude and phase angle, and so we turn
to the use of complex numbers in either rectangular or polar form.

If we are to use numbers to understand processes in the physical world, make scientific predictions, or balance
our checkbooks, we must have a way of symbolically denoting them. In other words, we may know how much
money we have in our checking account, but to keep record of it we need to have some system worked out to
symbolize that quantity on paper, or in some other kind of form for record-keeping and tracking. There are two
basic ways we can do this: analog and digital. With analog representation, the quantity is symbolized in a way
that is infinitely divisible. With digital representation, the quantity is symbolized in a way that is discretely
packaged.

You're probably already familiar with an analog representation of money, and didn't realize it for what it was.
Have you ever seen a fund-raising poster made with a picture of a thermometer on it, where the height of the
red column indicated the amount of money collected for the cause? The more money collected, the taller the
column of red ink on the poster.
This is an example of an analog representation of a number. There is no real limit to how finely divided the
height of that column can be made to symbolize the amount of money in the account. Changing the height of
that column is something that can be done without changing the essential nature of what it is. Length is a
physical quantity that can be divided as small as you would like, with no practical limit. The slide rule is a
mechanical device that uses the very same physical quantity -- length -- to represent numbers, and to help
perform arithmetical operations with two or more numbers at a time. It, too, is an analog device.

On the other hand, a digital representation of that same monetary figure, written with standard symbols
(sometimes called ciphers), looks like this:

$35,955.38

Unlike the "thermometer" poster with its red column, those symbolic characters above cannot be finely
divided: that particular combination of ciphers stand for one quantity and one quantity only. If more money is
added to the account (+ $40.12), different symbols must be used to represent the new balance ($35,995.50),
or at least the same symbols arranged in different patterns. This is an example of digital representation. The
counterpart to the slide rule (analog) is also a digital device: the abacus, with beads that are moved back and
forth on rods to symbolize numerical quantities:
Lets contrast these two methods of numerical representation:

ANALOG DIGITAL
------------------------------------------------------------------
Intuitively understood ----------- Requires training to interpret
Infinitely divisible -------------- Discrete
Prone to errors of precision ------ Absolute precision

Interpretation of numerical symbols is something we tend to take for granted, because it has been taught to us
for many years. However, if you were to try to communicate a quantity of something to a person ignorant of
decimal numerals, that person could still understand the simple thermometer chart!

The infinitely divisible vs. discrete and precision comparisons are really flip-sides of the same coin. The fact
that digital representation is composed of individual, discrete symbols (decimal digits and abacus beads)
necessarily means that it will be able to symbolize quantities in precise steps. On the other hand, an analog
representation (such as a slide rule's length) is not composed of individual steps, but rather a continuous range
of motion. The ability for a slide rule to characterize a numerical quantity to infinite resolution is a trade-off for
imprecision. If a slide rule is bumped, an error will be introduced into the representation of the number that
was "entered" into it. However, an abacus must be bumped much harder before its beads are completely
dislodged from their places (sufficient to represent a different number).

Please don't misunderstand this difference in precision by thinking that digital representation is necessarily
more accurate than analog. Just because a clock is digital doesn't mean that it will always read time more
accurately than an analog clock, it just means that the interpretation of its display is less ambiguous.

Divisibility of analog versus digital representation can be further illuminated by talking about the
representation of irrational numbers. Numbers such as π are called irrational, because they cannot be exactly
expressed as the fraction of integers, or whole numbers. Although you might have learned in the past that the
fraction 22/7 can be used for π in calculations, this is just an approximation. The actual number "pi" cannot be
exactly expressed by any finite, or limited, number of decimal places. The digits of π go on forever:

3.1415926535897932384 . . . . .

It is possible, at least theoretically, to set a slide rule (or even a thermometer column) so as to perfectly
represent the number π, because analog symbols have no minimum limit to the degree that they can be
increased or decreased. If my slide rule shows a figure of 3.141593 instead of 3.141592654, I can bump the
slide just a bit more (or less) to get it closer yet. However, with digital representation, such as with an abacus,
I would need additional rods (place holders, or digits) to represent π to further degrees of precision. An abacus
with 10 rods simply cannot represent any more than 10 digits worth of the number π, no matter how I set the
beads. To perfectly represent π, an abacus would have to have an infinite number of beads and rods! The
tradeoff, of course, is the practical limitation to adjusting, and reading, analog symbols. Practically speaking,
one cannot read a slide rule's scale to the 10th digit of precision, because the marks on the scale are too
coarse and human vision is too limited. An abacus, on the other hand, can be set and read with no
interpretational errors at all.

Furthermore, analog symbols require some kind of standard by which they can be compared for precise
interpretation. Slide rules have markings printed along the length of the slides to translate length into standard
quantities. Even the thermometer chart has numerals written along its height to show how much money (in
dollars) the red column represents for any given amount of height. Imagine if we all tried to communicate
simple numbers to each other by spacing our hands apart varying distances. The number 1 might be signified
by holding our hands 1 inch apart, the number 2 with 2 inches, and so on. If someone held their hands 17
inches apart to represent the number 17, would everyone around them be able to immediately and accurately
interpret that distance as 17? Probably not. Some would guess short (15 or 16) and some would guess long
(18 or 19). Of course, fishermen who brag about their catches don't mind overestimations in quantity!

Perhaps this is why people have generally settled upon digital symbols for representing numbers, especially
whole numbers and integers, which find the most application in everyday life. Using the fingers on our hands,
we have a ready means of symbolizing integers from 0 to 10. We can make hash marks on paper, wood, or
stone to represent the same quantities quite easily:

For large numbers, though, the "hash mark" numeration system is too inefficient

Systems of numeration

The Romans devised a system that was a substantial improvement over hash marks, because it used a variety
of symbols (or ciphers) to represent increasingly large quantities. The notation for 1 is the capital letter I. The
notation for 5 is the capital letter V. Other ciphers possess increasing values:

X = 10
L = 50
C = 100
D = 500
M = 1000

If a cipher is accompanied by another cipher of equal or lesser value to the immediate right of it, with no
ciphers greater than that other cipher to the right of that other cipher, that other cipher's value is added to the
total quantity. Thus, VIII symbolizes the number 8, and CLVII symbolizes the number 157. On the other
hand, if a cipher is accompanied by another cipher of lesser value to the immediate left, that other cipher's
value is subtracted from the first. Therefore, IV symbolizes the number 4 (V minus I), and CM symbolizes the
number 900 (M minus C). You might have noticed that ending credit sequences for most motion pictures
contain a notice for the date of production, in Roman numerals. For the year 1987, it would read:
MCMLXXXVII. Let's break this numeral down into its constituent parts, from left to right:

M = 1000
+
CM = 900
+
L = 50
+
XXX = 30
+
V = 5
+
II = 2

Aren't you glad we don't use this system of numeration? Large numbers are very difficult to denote this way,
and the left vs. right / subtraction vs. addition of values can be very confusing, too. Another major problem
with this system is that there is no provision for representing the number zero or negative numbers, both very
important concepts in mathematics. Roman culture, however, was more pragmatic with respect to
mathematics than most, choosing only to develop their numeration system as far as it was necessary for use in
daily life.

We owe one of the most important ideas in numeration to the ancient Babylonians, who were the first (as far
as we know) to develop the concept of cipher position, or place value, in representing larger numbers. Instead
of inventing new ciphers to represent larger numbers, as the Romans did, they re-used the same ciphers,
placing them in different positions from right to left. Our own decimal numeration system uses this concept,
with only ten ciphers (0, 1, 2, 3, 4, 5, 6, 7, 8, and 9) used in "weighted" positions to represent very large and
very small numbers.

Each cipher represents an integer quantity, and each place from right to left in the notation represents a
multiplying constant, or weight, for each integer quantity. For example, if we see the decimal notation "1206",
we known that this may be broken down into its constituent weight-products as such:

1206 = 1000 + 200 + 6

1206 = (1 x 1000) + (2 x 100) + (0 x 10) + (6 x 1)

Each cipher is called a digit in the decimal numeration system, and each weight, or place value, is ten times
that of the one to the immediate right. So, we have a ones place, a tens place, a hundreds place, a thousands
place, and so on, working from right to left.

Right about now, you're probably wondering why I'm laboring to describe the obvious. Who needs to be told
how decimal numeration works, after you've studied math as advanced as algebra and trigonometry? The
reason is to better understand other numeration systems, by first knowing the how's and why's of the one
you're already used to.

The decimal numeration system uses ten ciphers, and place-weights that are multiples of ten. What if we made
a numeration system with the same strategy of weighted places, except with fewer or more ciphers?

The binary numeration system is such a system. Instead of ten different cipher symbols, with each weight
constant being ten times the one before it, we only have two cipher symbols, and each weight constant is twice
as much as the one before it. The two allowable cipher symbols for the binary system of numeration are "1"
and "0," and these ciphers are arranged right-to-left in doubling values of weight. The rightmost place is the
ones place, just as with decimal notation. Proceeding to the left, we have the twos place, the fours place, the
eights place, the sixteens place, and so on. For example, the following binary number can be expressed, just
like the decimal number 1206, as a sum of each cipher value times its respective weight constant:

11010 = 2 + 8 + 16 = 26
11010 = (1 x 16) + (1 x 8) + (0 x 4) + (1 x 2) + (0 x 1)

This can get quite confusing, as I've written a number with binary numeration (11010), and then shown its
place values and total in standard, decimal numeration form (16 + 8 + 2 = 26). In the above example, we're
mixing two different kinds of numerical notation. To avoid unnecessary confusion, we have to denote which
form of numeration we're using when we write (or type!). Typically, this is done in subscript form, with a "2"
for binary and a "10" for decimal, so the binary number 110102 is equal to the decimal number 2610.

The subscripts are not mathematical operation symbols like superscripts (exponents) are. All they do is
indicate what system of numeration we're using when we write these symbols for other people to read. If you
see "310", all this means is the number three written using decimal numeration. However, if you see "310", this
means something completely different: three to the tenth power (59,049). As usual, if no subscript is shown,
the cipher(s) are assumed to be representing a decimal number.

Commonly, the number of cipher types (and therefore, the place-value multiplier) used in a numeration system
is called that system's base. Binary is referred to as "base two" numeration, and decimal as "base ten."
Additionally, we refer to each cipher position in binary as a bit rather than the familiar word digit used in the
decimal system.

Now, why would anyone use binary numeration? The decimal system, with its ten ciphers, makes a lot of
sense, being that we have ten fingers on which to count between our two hands. (It is interesting that some
ancient central American cultures used numeration systems with a base of twenty. Presumably, they used both
fingers and toes to count!!). But the primary reason that the binary numeration system is used in modern
electronic computers is because of the ease of representing two cipher states (0 and 1) electronically. With
relatively simple circuitry, we can perform mathematical operations on binary numbers by representing each
bit of the numbers by a circuit which is either on (current) or off (no current). Just like the abacus with each
rod representing another decimal digit, we simply add more circuits to give us more bits to symbolize larger
numbers. Binary numeration also lends itself well to the storage and retrieval of numerical information: on
magnetic tape (spots of iron oxide on the tape either being magnetized for a binary "1" or demagnetized for a
binary "0"), optical disks (a laser-burned pit in the aluminum foil representing a binary "1" and an unburned
spot representing a binary "0"), or a variety of other media types.

Before we go on to learning exactly how all this is done in digital circuitry, we need to become more familiar
with binary and other associated systems of numeration.

Decimal versus binary numeration

Let's count from zero to twenty using four different kinds of numeration systems: hash marks, Roman
numerals, decimal, and binary:

System: Hash Marks Roman Decimal Binary

------- ---------- ----- ------- ------
Zero n/a n/a 0 0
One | I 1 1
Two || II 2 10
Three ||| III 3 11
Four |||| IV 4 100
Five /|||/ V 5 101
Six /|||/ | VI 6 110
Seven /|||/ || VII 7 111
Eight /|||/ ||| VIII 8 1000
Nine /|||/ |||| IX 9 1001
Ten /|||/ /|||/ X 10 1010
Eleven /|||/ /|||/ | XI 11 1011
Twelve /|||/ /|||/ || XII 12 1100
Thirteen /|||/ /|||/ ||| XIII 13 1101
Fourteen /|||/ /|||/ |||| XIV 14 1110
Fifteen /|||/ /|||/ /|||/ XV 15 1111
Sixteen /|||/ /|||/ /|||/ | XVI 16 10000
Seventeen /|||/ /|||/ /|||/ || XVII 17 10001
Eighteen /|||/ /|||/ /|||/ ||| XVIII 18 10010
Nineteen /|||/ /|||/ /|||/ |||| XIX 19 10011
Twenty /|||/ /|||/ /|||/ /|||/ XX 20 10100
Neither hash marks nor the Roman system are very practical for symbolizing large numbers. Obviously, place-
weighted systems such as decimal and binary are more efficient for the task. Notice, though, how much
shorter decimal notation is over binary notation, for the same number of quantities. What takes five bits in
binary notation only takes two digits in decimal notation.

This raises an interesting question regarding different numeration systems: how large of a number can be
represented with a limited number of cipher positions, or places? With the crude hash-mark system, the
number of places IS the largest number that can be represented, since one hash mark "place" is required for
every integer step. For place-weighted systems of numeration, however, the answer is found by taking base of
the numeration system (10 for decimal, 2 for binary) and raising it to the power of the number of places. For
example, 5 digits in a decimal numeration system can represent 100,000 different integer number values, from
0 to 99,999 (10 to the 5th power = 100,000). 8 bits in a binary numeration system can represent 256 different
integer number values, from 0 to 11111111 (binary), or 0 to 255 (decimal), because 2 to the 8th power equals
256. With each additional place position to the number field, the capacity for representing numbers increases
by a factor of the base (10 for decimal, 2 for binary).

An interesting footnote for this topic is the one of the first electronic digital computers, the Eniac. The
designers of the Eniac chose to represent numbers in decimal form, digitally, using a series of circuits called
"ring counters" instead of just going with the binary numeration system, in an effort to minimize the number of
circuits required to represent and calculate very large numbers. This approach turned out to be counter-
productive, and virtually all digital computers since then have been purely binary in design.

To convert a number in binary numeration to its equivalent in decimal form, all you have to do is calculate the
sum of all the products of bits with their respective place-weight constants. To illustrate:

Convert 110011012 to decimal form:

bits = 1 1 0 0 1 1 0 1
. - - - - - - - -
weight = 1 6 3 1 8 4 2 1
(in decimal 2 4 2 6
notation) 8

The bit on the far right side is called the Least Significant Bit (LSB), because it stands in the place of the lowest
weight (the one's place). The bit on the far left side is called the Most Significant Bit (MSB), because it stands
in the place of the highest weight (the one hundred twenty-eight's place). Remember, a bit value of "1" means
that the respective place weight gets added to the total value, and a bit value of "0" means that the respective
place weight does not get added to the total value. With the above example, we have:

12810 + 6410 + 810 + 410 + 110 = 20510

If we encounter a binary number with a dot (.), called a "binary point" instead of a decimal point, we follow the
same procedure, realizing that each place weight to the right of the point is one-half the value of the one to
the left of it (just as each place weight to the right of a decimal point is one-tenth the weight of the one to the
left of it). For example:

Convert 101.0112 to decimal form:

.
bits = 1 0 1 . 0 1 1
. - - - - - - -
weight = 4 2 1 1 1 1
(in decimal / / /
notation) 2 4 8

410 + 110 + 0.2510 + 0.12510 = 5.37510

Octal and hexadecimal numeration

Because binary numeration requires so many bits to represent relatively small numbers compared to the
economy of the decimal system, analyzing the numerical states inside of digital electronic circuitry can be a
tedious task. Computer programmers who design sequences of number codes instructing a computer what to
do would have a very difficult task if they were forced to work with nothing but long strings of 1's and 0's, the
"native language" of any digital circuit. To make it easier for human engineers, technicians, and programmers
to "speak" this language of the digital world, other systems of place-weighted numeration have been made
which are very easy to convert to and from binary.

One of those numeration systems is called octal, because it is a place-weighted system with a base of eight.
Valid ciphers include the symbols 0, 1, 2, 3, 4, 5, 6, and 7. Each place weight differs from the one next to it by
a factor of eight.

Another system is called hexadecimal, because it is a place-weighted system with a base of sixteen. Valid
ciphers include the normal decimal symbols 0, 1, 2, 3, 4, 5, 6, 7, 8, and 9, plus six alphabetical characters A,
B, C, D, E, and F, to make a total of sixteen. As you might have guessed already, each place weight differs
from the one before it by a factor of sixteen.

Let's count again from zero to twenty using decimal, binary, octal, and hexadecimal to contrast these systems
of numeration:

Number Decimal Binary Octal Hexadecimal

------ ------- ------- ----- -----------
Zero 0 0 0 0
One 1 1 1 1
Two 2 10 2 2
Three 3 11 3 3
Four 4 100 4 4
Five 5 101 5 5
Six 6 110 6 6
Seven 7 111 7 7
Eight 8 1000 10 8
Nine 9 1001 11 9
Ten 10 1010 12 A
Eleven 11 1011 13 B
Twelve 12 1100 14 C
Thirteen 13 1101 15 D
Fourteen 14 1110 16 E
Fifteen 15 1111 17 F
Sixteen 16 10000 20 10
Seventeen 17 10001 21 11
Eighteen 18 10010 22 12
Nineteen 19 10011 23 13
Twenty 20 10100 24 14

Octal and hexadecimal numeration systems would be pointless if not for their ability to be easily converted to
and from binary notation. Their primary purpose in being is to serve as a "shorthand" method of denoting a
number represented electronically in binary form. Because the bases of octal (eight) and hexadecimal (sixteen)
are even multiples of binary's base (two), binary bits can be grouped together and directly converted to or
from their respective octal or hexadecimal digits. With octal, the binary bits are grouped in three's (because 23
= 8), and with hexadecimal, the binary bits are grouped in four's (because 24 = 16):

BINARY TO OCTAL CONVERSION

Convert 10110111.12 to octal:
.
. implied zero implied zeros
. | ||
. 010 110 111 100
Convert each group of bits --- --- --- . ---
to its octal equivalent: 2 6 7 4
.
Answer: 10110111.12 = 267.48

We had to group the bits in three's, from the binary point left, and from the binary point right, adding (implied)
zeros as necessary to make complete 3-bit groups. Each octal digit was translated from the 3-bit binary
groups. Binary-to-Hexadecimal conversion is much the same:

BINARY TO HEXADECIMAL CONVERSION

Convert 10110111.12 to hexadecimal:
.
. implied zeros
. |||
. 1011 0111 1000
Convert each group of bits ---- ---- . ----
to its hexadecimal equivalent: B 7 8
.
Answer: 10110111.12 = B7.816

Here we had to group the bits in four's, from the binary point left, and from the binary point right, adding
(implied) zeros as necessary to make complete 4-bit groups:

Likewise, the conversion from either octal or hexadecimal to binary is done by taking each octal or hexadecimal
digit and converting it to its equivalent binary (3 or 4 bit) group, then putting all the binary bit groups
together.

Incidentally, hexadecimal notation is more popular, because binary bit groupings in digital equipment are
commonly multiples of eight (8, 16, 32, 64, and 128 bit), which are also multiples of 4. Octal, being based on
binary bit groups of 3, doesn't work out evenly with those common bit group sizings.

Octal and hexadecimal to decimal conversion

Although the prime intent of octal and hexadecimal numeration systems is for the "shorthand" representation
of binary numbers in digital electronics, we sometimes have the need to convert from either of those systems
to decimal form. Of course, we could simply convert the hexadecimal or octal format to binary, then convert
from binary to decimal, since we already know how to do both, but we can also convert directly.

Because octal is a base-eight numeration system, each place-weight value differs from either adjacent place by
a factor of eight. For example, the octal number 245.37 can be broken down into place values as such:

octal
digits = 2 4 5 . 3 7
. - - - - - -
weight = 6 8 1 1 1
(in decimal 4 / /
notation) 8 6
. 4
The decimal value of each octal place-weight times its respective cipher multiplier can be determined as
follows:

(2 x 6410) + (4 x 810) + (5 x 110) + (3 x 0.12510) +

(7 x 0.01562510) = 165.48437510

The technique for converting hexadecimal notation to decimal is the same, except that each successive place-
weight changes by a factor of sixteen. Simply denote each digit's weight, multiply each hexadecimal digit value
by its respective weight (in decimal form), then add up all the decimal values to get a total. For example, the
hexadecimal number 30F.A916 can be converted like this:

hexadecimal
digits = 3 0 F . A 9
. - - - - - -
weight = 2 1 1 1 1
(in decimal 5 6 / /
notation) 6 1 2
. 6 5
. 6

(3 x 25610) + (0 x 1610) + (15 x 110) + (10 x 0.062510) +

(9 x 0.0039062510) = 783.6601562510

These basic techniques may be used to convert a numerical notation of any base into decimal form, if you
know the value of that numeration system's base.

Conversion from decimal numeration

Because octal and hexadecimal numeration systems have bases that are multiples of binary (base 2),
conversion back and forth between either hexadecimal or octal and binary is very easy. Also, because we are
so familiar with the decimal system, converting binary, octal, or hexadecimal to decimal form is relatively easy
(simply add up the products of cipher values and place-weights). However, conversion from decimal to any of
these "strange" numeration systems is a different matter.

The method which will probably make the most sense is the "trial-and-fit" method, where you try to "fit" the
binary, octal, or hexadecimal notation to the desired value as represented in decimal form. For example, let's
say that I wanted to represent the decimal value of 87 in binary form. Let's start by drawing a binary number
field, complete with place-weight values:

.
. - - - - - - - -
weight = 1 6 3 1 8 4 2 1
(in decimal 2 4 2 6
notation) 8
Well, we know that we won't have a "1" bit in the 128's place, because that would immediately give us a value
greater than 87. However, since the next weight to the right (64) is less than 87, we know that we must have
a "1" there.

. 1
. - - - - - - - Decimal value so far = 6410

weight = 6 3 1 8 4 2 1
(in decimal 4 2 6
notation)

If we were to make the next place to the right a "1" as well, our total value would be 6410 + 3210, or 9610. This
is greater than 8710, so we know that this bit must be a "0". If we make the next (16's) place bit equal to "1,"
this brings our total value to 6410 + 1610, or 8010, which is closer to our desired value (8710) without exceeding
it:

. 1 0 1
. - - - - - - - Decimal value so far = 8010
weight = 6 3 1 8 4 2 1
(in decimal 4 2 6
notation)

By continuing in this progression, setting each lesser-weight bit as we need to come up to our desired total
value without exceeding it, we will eventually arrive at the correct figure:

. 1 0 1 0 1 1 1
. - - - - - - - Decimal value so far = 8710
weight = 6 3 1 8 4 2 1
(in decimal 4 2 6
notation)

This trial-and-fit strategy will work with octal and hexadecimal conversions, too. Let's take the same decimal
figure, 8710, and convert it to octal numeration:

.
. - - -
weight = 6 8 1
(in decimal 4
notation)

If we put a cipher of "1" in the 64's place, we would have a total value of 6410 (less than 8710). If we put a
cipher of "2" in the 64's place, we would have a total value of 12810 (greater than 8710). This tells us that our
octal numeration must start with a "1" in the 64's place:

. 1
. - - - Decimal value so far = 6410
weight = 6 8 1
(in decimal 4
notation)

Now, we need to experiment with cipher values in the 8's place to try and get a total (decimal) value as close
to 87 as possible without exceeding it. Trying the first few cipher options, we get:

"1" = 6410 + 810 = 7210

"2" = 6410 + 1610 = 8010

"3" = 6410 + 2410 = 8810

A cipher value of "3" in the 8's place would put us over the desired total of 8710, so "2" it is!

. 1 2
. - - - Decimal value so far = 8010
weight = 6 8 1
(in decimal 4
notation)

Now, all we need to make a total of 87 is a cipher of "7" in the 1's place:

. 1 2 7
. - - - Decimal value so far = 8710
weight = 6 8 1
(in decimal 4
notation)

Of course, if you were paying attention during the last section on octal/binary conversions, you will realize that
we can take the binary representation of (decimal) 8710, which we previously determined to be 10101112, and
easily convert from that to octal to check our work:

. Implied zeros
. ||
. 001 010 111 Binary
. --- --- ---
. 1 2 7 Octal
.
Answer: 10101112 = 1278

Can we do decimal-to-hexadecimal conversion the same way? Sure, but who would want to? This method is
simple to understand, but laborious to carry out. There is another way to do these conversions, which is
essentially the same (mathematically), but easier to accomplish.

This other method uses repeated cycles of division (using decimal notation) to break the decimal numeration
down into multiples of binary, octal, or hexadecimal place-weight values. In the first cycle of division, we take
the original decimal number and divide it by the base of the numeration system that we're converting to
(binary=2 octal=8, hex=16). Then, we take the whole-number portion of division result (quotient) and divide it
by the base value again, and so on, until we end up with a quotient of less than 1. The binary, octal, or
hexadecimal digits are determined by the "remainders" left over by each division step. Let's see how this works
for binary, with the decimal example of 8710:

. 87 Divide 87 by 2, to get a quotient of 43.5

. --- = 43.5 Division "remainder" = 1, or the < 1 portion
. 2 of the quotient times the divisor (0.5 x 2)
.
. 43 Take the whole-number portion of 43.5 (43)
. --- = 21.5 and divide it by 2 to get 21.5, or 21 with
. 2 a remainder of 1
.
. 21 And so on . . . remainder = 1 (0.5 x 2)
. --- = 10.5
. 2
.
. 10 And so on . . . remainder = 0
. --- = 5.0
. 2
.
. 5 And so on . . . remainder = 1 (0.5 x 2)
. --- = 2.5
. 2
.
. 2 And so on . . . remainder = 0
. --- = 1.0
. 2
.
. 1 . . . until we get a quotient of less than 1
. --- = 0.5 remainder = 1 (0.5 x 2)
. 2

The binary bits are assembled from the remainders of the successive division steps, beginning with the LSB
and proceeding to the MSB. In this case, we arrive at a binary notation of 10101112. When we divide by 2, we
will always get a quotient ending with either ".0" or ".5", i.e. a remainder of either 0 or 1. As was said before,
this repeat-division technique for conversion will work for numeration systems other than binary. If we were to
perform successive divisions using a different number, such as 8 for conversion to octal, we will necessarily get
remainders between 0 and 7. Let's try this with the same decimal number, 8710:

. 87 Divide 87 by 8, to get a quotient of 10.875

. --- = 10.875 Division "remainder" = 7, or the < 1 portion
. 8 of the quotient times the divisor (.875 x 8)
.
. 10
. --- = 1.25 Remainder = 2
. 8
.
. 1
. --- = 0.125 Quotient is less than 1, so we'll stop here.
. 8 Remainder = 1
.
. RESULT: 8710 = 1278

We can use a similar technique for converting numeration systems dealing with quantities less than 1, as well.
For converting a decimal number less than 1 into binary, octal, or hexadecimal, we use repeated multiplication,
taking the integer portion of the product in each step as the next digit of our converted number. Let's use the
decimal number 0.812510 as an example, converting to binary:

. 0.8125 x 2 = 1.625 Integer portion of product = 1

.
. 0.625 x 2 = 1.25 Take < 1 portion of product and remultiply
. Integer portion of product = 1
.
. 0.25 x 2 = 0.5 Integer portion of product = 0
.
. 0.5 x 2 = 1.0 Integer portion of product = 1
. Stop when product is a pure integer
. (ends with .0)
.
. RESULT: 0.812510 = 0.11012

As with the repeat-division process for integers, each step gives us the next digit (or bit) further away from the
"point." With integer (division), we worked from the LSB to the MSB (right-to-left), but with repeated
multiplication, we worked from the left to the right. To convert a decimal number greater than 1, with a < 1
component, we must use both techniques, one at a time. Take the decimal example of 54.4062510, converting
to binary:

REPEATED DIVISION FOR THE INTEGER PORTION:

.
. 54
. --- = 27.0 Remainder = 0
. 2
.
. 27
. --- = 13.5 Remainder = 1 (0.5 x 2)
. 2
.
. 13
. --- = 6.5 Remainder = 1 (0.5 x 2)
. 2
.
. 6
. --- = 3.0 Remainder = 0
. 2
.
. 3
. --- = 1.5 Remainder = 1 (0.5 x 2)
. 2
.
. 1
. --- = 0.5 Remainder = 1 (0.5 x 2)
. 2
.
PARTIAL ANSWER: 5410 = 1101102

REPEATED MULTIPLICATION FOR THE < 1 PORTION:

.
. 0.40625 x 2 = 0.8125 Integer portion of product = 0
.
. 0.8125 x 2 = 1.625 Integer portion of product = 1
.
. 0.625 x 2 = 1.25 Integer portion of product = 1
.
. 0.25 x 2 = 0.5 Integer portion of product = 0
.
. 0.5 x 2 = 1.0 Integer portion of product = 1
.
. PARTIAL ANSWER: 0.4062510 = 0.011012

.
. COMPLETE ANSWER: 5410 + 0.4062510 = 54.4062510
.
. 1101102 + 0.011012 = 110110.011012

Chapter 2: BINARY ARITHMETIC

Numbers versus numeration

It is imperative to understand that the type of numeration system used to represent numbers has no impact
upon the outcome of any arithmetical function (addition, subtraction, multiplication, division, roots, powers, or
logarithms). A number is a number is a number; one plus one will always equal two (so long as we're dealing
with real numbers), no matter how you symbolize one, one, and two. A prime number in decimal form is still
prime if it's shown in binary form, or octal, or hexadecimal. π is still the ratio between the circumference and
diameter of a circle, no matter what symbol(s) you use to denote its value. The essential functions and
interrelations of mathematics are unaffected by the particular system of symbols we might choose to represent
quantities. This distinction between numbers and systems of numeration is critical to understand.

The essential distinction between the two is much like that between an object and the spoken word(s) we
associate with it. A house is still a house regardless of whether we call it by its English name house or its
Spanish name casa. The first is the actual thing, while the second is merely the symbol for the thing.

That being said, performing a simple arithmetic operation such as addition (longhand) in binary form can be
confusing to a person accustomed to working with decimal numeration only. In this lesson, we'll explore the
techniques used to perform simple arithmetic functions on binary numbers, since these techniques will be
employed in the design of electronic circuits to do the same. You might take longhand addition and subtraction
for granted, having used a calculator for so long, but deep inside that calculator's circuitry all those operations
are performed "longhand," using binary numeration. To understand how that's accomplished, we need to
review to the basics of arithmetic.

Binary addition

Adding binary numbers is a very simple task, and very similar to the longhand addition of decimal numbers. As
with decimal numbers, you start by adding the bits (digits) one column, or place weight, at a time, from right
to left. Unlike decimal addition, there is little to memorize in the way of rules for the addition of binary bits:

0 + 0 = 0
1 + 0 = 1
0 + 1 = 1
1 + 1 = 10
1 + 1 + 1 = 11
Just as with decimal addition, when the sum in one column is a two-bit (two-digit) number, the least significant
figure is written as part of the total sum and the most significant figure is "carried" to the next left column.
Consider the following examples:

. 11 1 <--- Carry bits -----> 11

. 1001101 1001001 1000111
. + 0010010 + 0011001 + 0010110
. --------- --------- ---------
. 1011111 1100010 1011101

The addition problem on the left did not require any bits to be carried, since the sum of bits in each column
was either 1 or 0, not 10 or 11. In the other two problems, there definitely were bits to be carried, but the
process of addition is still quite simple.

As we'll see later, there are ways that electronic circuits can be built to perform this very task of addition, by
representing each bit of each binary number as a voltage signal (either "high," for a 1; or "low" for a 0). This is
the very foundation of all the arithmetic which modern digital computers perform.

Negative binary numbers

With addition being easily accomplished, we can perform the operation of subtraction with the same technique
simply by making one of the numbers negative. For example, the subtraction problem of 7 - 5 is essentially the
same as the addition problem 7 + (-5). Since we already know how to represent positive numbers in binary, all
we need to know now is how to represent their negative counterparts and we'll be able to subtract.

Usually we represent a negative decimal number by placing a minus sign directly to the left of the most
significant digit, just as in the example above, with -5. However, the whole purpose of using binary notation is
for constructing on/off circuits that can represent bit values in terms of voltage (2 alternative values: either
"high" or "low"). In this context, we don't have the luxury of a third symbol such as a "minus" sign, since these
circuits can only be on or off (two possible states). One solution is to reserve a bit (circuit) that does nothing
but represent the mathematical sign:

. 1012 = 510 (positive)

.
. Extra bit, representing sign (0=positive, 1=negative)
. |
. 01012 = 510 (positive)
.
. Extra bit, representing sign (0=positive, 1=negative)
. |
. 11012 = -510 (negative)

As you can see, we have to be careful when we start using bits for any purpose other than standard place-
weighted values. Otherwise, 11012 could be misinterpreted as the number thirteen when in fact we mean to
represent negative five. To keep things straight here, we must first decide how many bits are going to be
needed to represent the largest numbers we'll be dealing with, and then be sure not to exceed that bit field
length in our arithmetic operations. For the above example, I've limited myself to the representation of
numbers from negative seven (11112) to positive seven (01112), and no more, by making the fourth bit the
"sign" bit. Only by first establishing these limits can I avoid confusion of a negative number with a larger,
positive number.

Representing negative five as 11012 is an example of the sign-magnitude system of negative binary
numeration. By using the leftmost bit as a sign indicator and not a place-weighted value, I am sacrificing the
"pure" form of binary notation for something that gives me a practical advantage: the representation of
negative numbers. The leftmost bit is read as the sign, either positive or negative, and the remaining bits are
interpreted according to the standard binary notation: left to right, place weights in multiples of two.
As simple as the sign-magnitude approach is, it is not very practical for arithmetic purposes. For instance, how
do I add a negative five (11012) to any other number, using the standard technique for binary addition? I'd
have to invent a new way of doing addition in order for it to work, and if I do that, I might as well just do the
job with longhand subtraction; there's no arithmetical advantage to using negative numbers to perform
subtraction through addition if we have to do it with sign-magnitude numeration, and that was our goal!

There's another method for representing negative numbers which works with our familiar technique of
longhand addition, and also happens to make more sense from a place-weighted numeration point of view,
called complementation. With this strategy, we assign the leftmost bit to serve a special purpose, just as we
did with the sign-magnitude approach, defining our number limits just as before. However, this time, the
leftmost bit is more than just a sign bit; rather, it possesses a negative place-weight value. For example, a
value of negative five would be represented as such:

Extra bit, place weight = negative eight

. |
. 10112 = 510 (negative)
.
. (1 x -810) + (0 x 410) + (1 x 210) + (1 x 110) = -510

With the right three bits being able to represent a magnitude from zero through seven, and the leftmost bit
representing either zero or negative eight, we can successfully represent any integer number from negative
seven (10012 = -810 + 710 = -110) to positive seven (01112 = 010 + 710 = 710).

Representing positive numbers in this scheme (with the fourth bit designated as the negative weight) is no
different from that of ordinary binary notation. However, representing negative numbers is not quite as
straightforward:

zero 0000
positive one 0001 negative one 1111
positive two 0010 negative two 1110
positive three 0011 negative three 1101
positive four 0100 negative four 1100
positive five 0101 negative five 1011
positive six 0110 negative six 1010
positive seven 0111 negative seven 1001
. negative eight 1000

Note that the negative binary numbers in the right column, being the sum of the right three bits' total plus the
negative eight of the leftmost bit, don't "count" in the same progression as the positive binary numbers in the
left column. Rather, the right three bits have to be set at the proper value to equal the desired (negative) total
when summed with the negative eight place value of the leftmost bit.

Those right three bits are referred to as the two's complement of the corresponding positive number. Consider
the following comparison:

positive number two's complement

--------------- ----------------
001 111
010 110
011 101
100 100
101 011
110 010
111 001

In this case, with the negative weight bit being the fourth bit (place value of negative eight), the two's
complement for any positive number will be whatever value is needed to add to negative eight to make that
positive value's negative equivalent. Thankfully, there's an easy way to figure out the two's complement for
any binary number: simply invert all the bits of that number, changing all 1's to 0's and visa-versa (to arrive at
what is called the one's complement) and then add one! For example, to obtain the two's complement of five
(1012), we would first invert all the bits to obtain 0102 (the "one's complement"), then add one to obtain 0112,
or -510 in three-bit, two's complement form.

Interestingly enough, generating the two's complement of a binary number works the same if you manipulate
all the bits, including the leftmost (sign) bit at the same time as the magnitude bits. Let's try this with the
former example, converting a positive five to a negative five, but performing the complementation process on
all four bits. We must be sure to include the 0 (positive) sign bit on the original number, five (01012). First,
inverting all bits to obtain the one's complement: 10102. Then, adding one, we obtain the final answer: 10112,
or -510 expressed in four-bit, two's complement form.

It is critically important to remember that the place of the negative-weight bit must be already determined
before any two's complement conversions can be done. If our binary numeration field were such that the
eighth bit was designated as the negative-weight bit (100000002), we'd have to determine the two's
complement based on all seven of the other bits. Here, the two's complement of five (00001012) would be
11110112. A positive five in this system would be represented as 000001012, and a negative five as
111110112.

Subtraction

We can subtract one binary number from another by using the standard techniques adapted for decimal
numbers (subtraction of each bit pair, right to left, "borrowing" as needed from bits to the left). However, if we
can leverage the already familiar (and easier) technique of binary addition to subtract, that would be better. As
we just learned, we can represent negative binary numbers by using the "two's complement" method and a
negative place-weight bit. Here, we'll use those negative binary numbers to subtract through addition. Here's a
sample problem:

Subtraction: 710 - 510 Addition equivalent: 710 + (-510)

If all we need to do is represent seven and negative five in binary (two's complemented) form, all we need is
three bits plus the negative-weight bit:

positive seven = 01112

negative five = 10112

Now, let's add them together:

. 1111 <--- Carry bits

. 0111
. + 1011
. ------
. 10010
. |
. Discard extra bit
.
. Answer = 00102

Since we've already defined our number bit field as three bits plus the negative-weight bit, the fifth bit in the
answer (1) will be discarded to give us a result of 00102, or positive two, which is the correct answer.

Another way to understand why we discard that extra bit is to remember that the leftmost bit of the lower
number possesses a negative weight, in this case equal to negative eight. When we add these two binary
numbers together, what we're actually doing with the MSBs is subtracting the lower number's MSB from the
upper number's MSB. In subtraction, one never "carries" a digit or bit on to the next left place-weight.

Let's try another example, this time with larger numbers. If we want to add -2510 to 1810, we must first decide
how large our binary bit field must be. To represent the largest (absolute value) number in our problem, which
is twenty-five, we need at least five bits, plus a sixth bit for the negative-weight bit. Let's start by representing
positive twenty-five, then finding the two's complement and putting it all together into one numeration:

+2510 = 0110012 (showing all six bits)

One's complement of 110012 = 1001102

One's complement + 1 = two's complement = 1001112

-2510 = 1001112

Essentially, we're representing negative twenty-five by using the negative-weight (sixth) bit with a value of
negative thirty-two, plus positive seven (binary 1112).

Now, let's represent positive eighteen in binary form, showing all six bits:

. 1810 = 0100102
.
. Now, let's add them together and see what we get:
.
. 11 <--- Carry bits
. 100111
. + 010010
. --------
. 111001

Since there were no "extra" bits on the left, there are no bits to discard. The leftmost bit on the answer is a 1,
which means that the answer is negative, in two's complement form, as it should be. Converting the answer to
decimal form by summing all the bits times their respective weight values, we get:

(1 x -3210) + (1 x 1610) + (1 x 810) + (1 x 110) = -710

Indeed -710 is the proper sum of -2510 and 1810.

Overflow
One caveat with signed binary numbers is that of overflow, where the answer to an addition or subtraction
problem exceeds the magnitude which can be represented with the alloted number of bits. Remember that the
place of the sign bit is fixed from the beginning of the problem. With the last example problem, we used five
binary bits to represent the magnitude of the number, and the left-most (sixth) bit as the negative-weight, or
sign, bit. With five bits to represent magnitude, we have a representation range of 25, or thirty-two integer
steps from 0 to maximum. This means that we can represent a number as high as +3110 (0111112), or as low
as -3210 (1000002). If we set up an addition problem with two binary numbers, the sixth bit used for sign, and
the result either exceeds +3110 or is less than -3210, our answer will be incorrect. Let's try adding 1710 and 1910
to see how this overflow condition works for excessive positive numbers:

. 1710 = 100012 1910 = 100112

.
. 1 11 <--- Carry bits
. (Showing sign bits) 010001
. + 010011
. --------
. 100100

The answer (1001002), interpreted with the sixth bit as the -3210 place, is actually equal to -2810, not +3610 as
we should get with +1710 and +1910 added together! Obviously, this is not correct. What went wrong? The
answer lies in the restrictions of the six-bit number field within which we're working Since the magnitude of the
true and proper sum (3610) exceeds the allowable limit for our designated bit field, we have an overflow error.
Simply put, six places doesn't give enough bits to represent the correct sum, so whatever figure we obtain
using the strategy of discarding the left-most "carry" bit will be incorrect.

A similar error will occur if we add two negative numbers together to produce a sum that is too low for our six-
bit binary field. Let's try adding -1710 and -1910 together to see how this works (or doesn't work, as the case
may be!):

. -1710 = 1011112 -1910 = 1011012

.
. 1 1111 <--- Carry bits
. (Showing sign bits) 101111
. + 101101
. --------
. 1011100
. |
. Discard extra bit
.
FINAL ANSWER: 0111002 = +2810

The (incorrect) answer is a positive twenty-eight. The fact that the real sum of negative seventeen and
negative nineteen was too low to be properly represented with a five bit magnitude field and a sixth sign bit is
the root cause of this difficulty.

Let's try these two problems again, except this time using the seventh bit for a sign bit, and allowing the use of
6 bits for representing the magnitude:

. 1710 + 1910 (-1710) + (-1910)

.
. 1 11 11 1111
. 0010001 1101111
. + 0010011 + 1101101
. --------- ---------
. 01001002 110111002

. |
. Discard extra bit
.
. ANSWERS: 01001002 = +3610
. 10111002 = -3610

By using bit fields sufficiently large to handle the magnitude of the sums, we arrive at the correct answers.

In these sample problems we've been able to detect overflow errors by performing the addition problems in
decimal form and comparing the results with the binary answers. For example, when adding +1710 and +1910
together, we knew that the answer was supposed to be +3610, so when the binary sum checked out to be -
2810, we knew that something had to be wrong. Although this is a valid way of detecting overflow, it is not very
efficient. After all, the whole idea of complementation is to be able to reliably add binary numbers together and
not have to double-check the result by adding the same numbers together in decimal form! This is especially
true for the purpose of building electronic circuits to add binary quantities together: the circuit has to be able
to check itself for overflow without the supervision of a human being who already knows what the correct
answer is.

What we need is a simple error-detection method that doesn't require any additional arithmetic. Perhaps the
most elegant solution is to check for the sign of the sum and compare it against the signs of the numbers
added. Obviously, two positive numbers added together should give a positive result, and two negative
numbers added together should give a negative result. Notice that whenever we had a condition of overflow in
the example problems, the sign of the sum was always opposite of the two added numbers: +1710 plus +1910
giving -2810, or -1710 plus -1910 giving +2810. By checking the signs alone we are able to tell that something is
wrong.

But what about cases where a positive number is added to a negative number? What sign should the sum be in
order to be correct. Or, more precisely, what sign of sum would necessarily indicate an overflow error? The
answer to this is equally elegant: there will never be an overflow error when two numbers of opposite signs are
added together! The reason for this is apparent when the nature of overflow is considered. Overflow occurs
when the magnitude of a number exceeds the range allowed by the size of the bit field. The sum of two
identically-signed numbers may very well exceed the range of the bit field of those two numbers, and so in this
case overflow is a possibility. However, if a positive number is added to a negative number, the sum will
always be closer to zero than either of the two added numbers: its magnitude must be less than the magnitude
of either original number, and so overflow is impossible.

Fortunately, this technique of overflow detection is easily implemented in electronic circuitry, and it is a
standard feature in digital adder circuits: a subject for a later chapter.

Bit groupings

The singular reason for learning and using the binary numeration system in electronics is to understand how to
design, build, and troubleshoot circuits that represent and process numerical quantities in digital form. Since
the bivalent (two-valued) system of binary bit numeration lends itself so easily to representation by "on" and
"off" transistor states (saturation and cutoff, respectively), it makes sense to design and build circuits
leveraging this principle to perform binary calculations.

If we were to build a circuit to represent a binary number, we would have to allocate enough transistor circuits
to represent as many bits as we desire. In other words, in designing a digital circuit, we must first decide how
many bits (maximum) we would like to be able to represent, since each bit requires one on/off circuit to
represent it. This is analogous to designing an abacus to digitally represent decimal numbers: we must decide
how many digits we wish to handle in this primitive "calculator" device, for each digit requires a separate rod
with its own beads.
A ten-rod abacus would be able to represent a ten-digit decimal number, or a maxmium value of
9,999,999,999. If we wished to represent a larger number on this abacus, we would be unable to, unless
additional rods could be added to it.

In digital, electronic computer design, it is common to design the system for a common "bit width:" a
maximum number of bits allocated to represent numerical quantities. Early digital computers handled bits in
groups of four or eight. More modern systems handle numbers in clusters of 32 bits or more. To more
conveniently express the "bit width" of such clusters in a digital computer, specific labels were applied to the
more common groupings.

Eight bits, grouped together to form a single binary quantity, is known as a byte. Four bits, grouped together
as one binary number, is known by the humorous title of nibble, often spelled as nybble.

A multitude of terms have followed byte and nibble for labeling specfiic groupings of binary bits. Most of the
terms shown here are informal, and have not been made "authoritative" by any standards group or other
sanctioning body. However, their inclusion into this chapter is warranted by their occasional appearance in
technical literature, as well as the levity they add to an otherwise dry subject:

• Bit: A single, bivalent unit of binary notation. Equivalent to a decimal "digit."

• Crumb, Tydbit, or Tayste: Two bits.
• Nibble, or Nybble: Four bits.
• Nickle: Five bits.
• Byte: Eight bits.
• Deckle: Ten bits.
• Playte: Sixteen bits.
• Dynner: Thirty-two bits.
• Word: (system dependent).

The most ambiguous term by far is word, referring to the standard bit-grouping within a particular digital
system. For a computer system using a 32 bit-wide "data path," a "word" would mean 32 bits. If the system
used 16 bits as the standard grouping for binary quantities, a "word" would mean 16 bits. The terms playte
and dynner, by contrast, always refer to 16 and 32 bits, respectively, regardless of the system context in which
they are used.

Context dependence is likewise true for derivative terms of word, such as double word and longword (both
meaning twice the standard bit-width), half-word (half the standard bit-width), and quad (meaning four times
the standard bit-width). One humorous addition to this somewhat boring collection of word-derivatives is the
term chawmp, which means the same as half-word. For example, a chawmp would be 16 bits in the context of
a 32-bit digital system, and 18 bits in the context of a 36-bit system. Also, the term gawble is sometimes
synonymous with word.
Definitions for bit grouping terms were taken from Eric S. Raymond's "Jargon Lexicon," an indexed collection of
terms -- both common and obscure -- germane to the world of computer programming.

Chapter 3: LOGIC GATES

Digital signals and gates

While the binary numeration system is an interesting mathematical abstraction, we haven't yet seen its
practical application to electronics. This chapter is devoted to just that: practically applying the concept of
binary bits to circuits. What makes binary numeration so important to the application of digital electronics is
the ease in which bits may be represented in physical terms. Because a binary bit can only have one of two
different values, either 0 or 1, any physical medium capable of switching between two saturated states may be
used to represent a bit. Consequently, any physical system capable of representing binary bits is able to
represent numerical quantities, and potentially has the ability to manipulate those numbers. This is the basic
concept underlying digital computing.

Electronic circuits are physical systems that lend themselves well to the representation of binary numbers.
Transistors, when operated at their bias limits, may be in one of two different states: either cutoff (no
controlled current) or saturation (maximum controlled current). If a transistor circuit is designed to maximize
the probability of falling into either one of these states (and not operating in the linear, or active, mode), it can
serve as a physical representation of a binary bit. A voltage signal measured at the output of such a circuit
may also serve as a representation of a single bit, a low voltage representing a binary "0" and a (relatively)
high voltage representing a binary "1." Note the following transistor circuit:

In this circuit, the transistor is in a state of saturation by virtue of the applied input voltage (5 volts) through
the two-position switch. Because it's saturated, the transistor drops very little voltage between collector and
emitter, resulting in an output voltage of (practically) 0 volts. If we were using this circuit to represent binary
bits, we would say that the input signal is a binary "1" and that the output signal is a binary "0." Any voltage
close to full supply voltage (measured in reference to ground, of course) is considered a "1" and a lack of
voltage is considered a "0." Alternative terms for these voltage levels are high (same as a binary "1") and low
(same as a binary "0"). A general term for the representation of a binary bit by a circuit voltage is logic level.

Moving the switch to the other position, we apply a binary "0" to the input and receive a binary "1" at the
output:
What we've created here with a single transistor is a circuit generally known as a logic gate, or simply gate. A
gate is a special type of amplifier circuit designed to accept and generate voltage signals corresponding to
binary 1's and 0's. As such, gates are not intended to be used for amplifying analog signals (voltage signals
between 0 and full voltage). Used together, multiple gates may be applied to the task of binary number
storage (memory circuits) or manipulation (computing circuits), each gate's output representing one bit of a
multi-bit binary number. Just how this is done is a subject for a later chapter. Right now it is important to focus
on the operation of individual gates.

The gate shown here with the single transistor is known as an inverter, or NOT gate, because it outputs the
exact opposite digital signal as what is input. For convenience, gate circuits are generally represented by their
own symbols rather than by their constituent transistors and resistors. The following is the symbol for an
inverter:

An alternative symbol for an inverter is shown here:

Notice the triangular shape of the gate symbol, much like that of an operational amplifier. As was stated
before, gate circuits actually are amplifiers. The small circle, or "bubble" shown on either the input or output
terminal is standard for representing the inversion function. As you might suspect, if we were to remove the
bubble from the gate symbol, leaving only a triangle, the resulting symbol would no longer indicate inversion,
but merely direct amplification. Such a symbol and such a gate actually do exist, and it is called a buffer, the
subject of the next section.

Like an operational amplifier symbol, input and output connections are shown as single wires, the implied
reference point for each voltage signal being "ground." In digital gate circuits, ground is almost always the
negative connection of a single voltage source (power supply). Dual, or "split," power supplies are seldom used
in gate circuitry. Because gate circuits are amplifiers, they require a source of power to operate. Like
operational amplifiers, the power supply connections for digital gates are often omitted from the symbol for
simplicity's sake. If we were to show all the necessary connections needed for operating this gate, the
schematic would look something like this:

Power supply conductors are rarely shown in gate circuit schematics, even if the power supply connections at
each gate are. Minimizing lines in our schematic, we get this:

"Vcc" stands for the constant voltage supplied to the collector of a bipolar junction transistor circuit, in
reference to ground. Those points in a gate circuit marked by the label "Vcc" are all connected to the same
point, and that point is the positive terminal of a DC voltage source, usually 5 volts.

As we will see in other sections of this chapter, there are quite a few different types of logic gates, most of
which have multiple input terminals for accepting more than one signal. The output of any gate is dependent
on the state of its input(s) and its logical function.

One common way to express the particular function of a gate circuit is called a truth table. Truth tables show
all combinations of input conditions in terms of logic level states (either "high" or "low," "1" or "0," for each
input terminal of the gate), along with the corresponding output logic level, either "high" or "low." For the
inverter, or NOT, circuit just illustrated, the truth table is very simple indeed:
Truth tables for more complex gates are, of course, larger than the one shown for the NOT gate. A gate's truth
table must have as many rows as there are possibilities for unique input combinations. For a single-input gate
like the NOT gate, there are only two possibilities, 0 and 1. For a two input gate, there are four possibilities
(00, 01, 10, and 11), and thus four rows to the corresponding truth table. For a three-input gate, there are
eight possibilities (000, 001, 010, 011, 100, 101, 110, and 111), and thus a truth table with eight rows are
needed. The mathematically inclined will realize that the number of truth table rows needed for a gate is equal
to 2 raised to the power of the number of input terminals.

• REVIEW:
• In digital circuits, binary bit values of 0 and 1 are represented by voltage signals measured in
reference to a common circuit point called ground. An absence of voltage represents a binary "0" and
the presence of full DC supply voltage represents a binary "1."
• A logic gate, or simply gate, is a special form of amplifier circuit designed to input and output logic
level voltages (voltages intended to represent binary bits). Gate circuits are most commonly
represented in a schematic by their own unique symbols rather than by their constituent transistors
and resistors.
• Just as with operational amplifiers, the power supply connections to gates are often omitted in
schematic diagrams for the sake of simplicity.
• A truth table is a standard way of representing the input/output relationships of a gate circuit, listing
all the possible input logic level combinations with their respective output logic levels.

The NOT gate

The single-transistor inverter circuit illustrated earlier is actually too crude to be of practical use as a gate. Real
inverter circuits contain more than one transistor to maximize voltage gain (so as to ensure that the final
output transistor is either in full cutoff or full saturation), and other components designed to reduce the chance
of accidental damage.

Shown here is a schematic diagram for a real inverter circuit, complete with all necessary components for
efficient and reliable operation:
This circuit is composed exclusively of resistors and bipolar transistors. Bear in mind that other circuit designs
are capable of performing the NOT gate function, including designs substituting field-effect transistors for
bipolar (discussed later in this chapter).

Let's analyze this circuit for the condition where the input is "high," or in a binary "1" state. We can simulate
this by showing the input terminal connected to Vcc through a switch:

In this case, diode D1 will be reverse-biased, and therefore not conduct any current. In fact, the only purpose
for having D1 in the circuit is to prevent transistor damage in the case of a negative voltage being impressed
on the input (a voltage that is negative, rather than positive, with respect to ground). With no voltage between
the base and emitter of transistor Q1, we would expect no current through it, either. However, as strange as it
may seem, transistor Q1 is not being used as is customary for a transistor. In reality, Q1 is being used in this
circuit as nothing more than a back-to-back pair of diodes. The following schematic shows the real function of
Q 1:
The purpose of these diodes is to "steer" current to or away from the base of transistor Q2, depending on the
logic level of the input. Exactly how these two diodes are able to "steer" current isn't exactly obvious at first
inspection, so a short example may be necessary for understanding. Suppose we had the following
diode/resistor circuit, representing the base-emitter junctions of transistors Q2 and Q4 as single diodes,
stripping away all other portions of the circuit so that we can concentrate on the current "steered" through the
two back-to-back diodes:

With the input switch in the "up" position (connected to Vcc), it should be obvious that there will be no current
through the left steering diode of Q1, because there isn't any voltage in the switch-diode-R1-switch loop to
motivate electrons to flow. However, there will be current through the right steering diode of Q1, as well as
through Q2's base-emitter diode junction and Q4's base-emitter diode junction:
This tells us that in the real gate circuit, transistors Q2 and Q4 will have base current, which will turn them on
to conduct collector current. The total voltage dropped between the base of Q1 (the node joining the two back-
to-back steering diodes) and ground will be about 2.1 volts, equal to the combined voltage drops of three PN
junctions: the right steering diode, Q2's base-emitter diode, and Q4's base-emitter diode.

Now, let's move the input switch to the "down" position and see what happens:

If we were to measure current in this circuit, we would find that all of the current goes through the left steering
diode of Q1 and none of it through the right diode. Why is this? It still appears as though there is a complete
path for current through Q4's diode, Q2's diode, the right diode of the pair, and R1, so why will there be no
current through that path?

Remember that PN junction diodes are very nonlinear devices: they do not even begin to conduct current until
the forward voltage applied across them reaches a certain minimum quantity, approximately 0.7 volts for
silicon and 0.3 volts for germanium. And then when they begin to conduct current, they will not drop
substantially more than 0.7 volts. When the switch in this circuit is in the "down" position, the left diode of the
steering diode pair is fully conducting, and so it drops about 0.7 volts across it and no more.
Recall that with the switch in the "up" position (transistors Q2 and Q4 conducting), there was about 2.1 volts
dropped between those same two points (Q1's base and ground), which also happens to be the minimum
voltage necessary to forward-bias three series-connected silicon PN junctions into a state of conduction. The
0.7 volts provided by the left diode's forward voltage drop is simply insufficient to allow any electron flow
through the series string of the right diode, Q2's diode, and the R3//Q4 diode parallel subcircuit, and so no
electrons flow through that path. With no current through the bases of either transistor Q2 or Q4, neither one
will be able to conduct collector current: transistors Q2 and Q4 will both be in a state of cutoff.

Consequently, this circuit configuration allows 100 percent switching of Q2 base current (and therefore control
over the rest of the gate circuit, including voltage at the output) by diversion of current through the left
steering diode.

In the case of our example gate circuit, the input is held "high" by the switch (connected to Vcc), making the
left steering diode (zero voltage dropped across it). However, the right steering diode is conducting current
through the base of Q2, through resistor R1:
With base current provided, transistor Q2 will be turned "on." More specifically, it will be saturated by virtue of
the more-than-adequate current allowed by R1 through the base. With Q2 saturated, resistor R3 will be
dropping enough voltage to forward-bias the base-emitter junction of transistor Q4, thus saturating it as well:

With Q4 saturated, the output terminal will be almost directly shorted to ground, leaving the output terminal at
a voltage (in reference to ground) of almost 0 volts, or a binary "0" ("low") logic level. Due to the presence of
diode D2, there will not be enough voltage between the base of Q3 and its emitter to turn it on, so it remains in
cutoff.

Let's see now what happens if we reverse the input's logic level to a binary "0" by actuating the input switch:
Now there will be current through the left steering diode of Q1 and no current through the right steering diode.
This eliminates current through the base of Q2, thus turning it off. With Q2 off, there is no longer a path for Q4
base current, so Q4 goes into cutoff as well. Q3, on the other hand, now has sufficient voltage dropped between
its base and ground to forward-bias its base-emitter junction and saturate it, thus raising the output terminal
voltage to a "high" state. In actuality, the output voltage will be somewhere around 4 volts depending on the
degree of saturation and any load current, but still high enough to be considered a "high" (1) logic level.

With this, our simulation of the inverter circuit is complete: a "1" in gives a "0" out, and visa-versa.

The astute observer will note that this inverter circuit's input will assume a "high" state of left floating (not
connected to either Vcc or ground). With the input terminal left unconnected, there will be no current through
the left steering diode of Q1, leaving all of R1's current to go through Q2's base, thus saturating Q2 and driving
the circuit output to a "low" state:
The tendency for such a circuit to assume a high input state if left floating is one shared by all gate circuits
based on this type of design, known as Transistor-to-Transistor Logic, or TTL. This characteristic may be taken
advantage of in simplifying the design of a gate's output circuitry, knowing that the outputs of gates typically
drive the inputs of other gates. If the input of a TTL gate circuit assumes a high state when floating, then the
output of any gate driving a TTL input need only provide a path to ground for a low state and be floating for a
high state. This concept may require further elaboration for full understanding, so I will explore it in detail
here.

A gate circuit as we have just analyzed has the ability to handle output current in two directions: in and out.
Technically, this is known as sourcing and sinking current, respectively. When the gate output is high, there is
continuity from the output terminal to Vcc through the top output transistor (Q3), allowing electrons to flow
from ground, through a load, into the gate's output terminal, through the emitter of Q3, and eventually up to
the Vcc power terminal (positive side of the DC power supply):
To simplify this concept, we may show the output of a gate circuit as being a double-throw switch, capable of
connecting the output terminal either to Vcc or ground, depending on its state. For a gate outputting a "high"
logic level, the combination of Q3 saturated and Q4 cutoff is analogous to a double-throw switch in the "Vcc"
position, providing a path for current through a grounded load:

Please note that this two-position switch shown inside the gate symbol is representative of transistors Q3 and
Q4 alternately connecting the output terminal to Vcc or ground, not of the switch previously shown sending an
input signal to the gate!

Conversely, when a gate circuit is outputting a "low" logic level to a load, it is analogous to the double-throw
switch being set in the "ground" position. Current will then be going the other way if the load resistance
connects to Vcc: from ground, through the emitter of Q4, out the output terminal, through the load resistance,
and back to Vcc. In this condition, the gate is said to be sinking current:
The combination of Q3 and Q4 working as a "push-pull" transistor pair (otherwise known as a totem pole
output) has the ability to either source current (draw in current to Vcc) or sink current (output current from
ground) to a load. However, a standard TTL gate input never needs current to be sourced, only sunk. That is,
since a TTL gate input naturally assumes a high state if left floating, any gate output driving a TTL input need
only sink current to provide a "0" or "low" input, and need not source current to provide a "1" or a "high" logic
level at the input of the receiving gate:
This means we have the option of simplifying the output stage of a gate circuit so as to eliminate Q3 altogether.
The result is known as an open-collector output:
To designate open-collector output circuitry within a standard gate symbol, a special marker is used. Shown
here is the symbol for an inverter gate with open-collector output:

Please keep in mind that the "high" default condition of a floating gate input is only true for TTL circuitry, and
not necessarily for other types, especially for logic gates constructed of field-effect transistors.

• REVIEW:
• An inverter, or NOT, gate is one that outputs the opposite state as what is input. That is, a "low" input
(0) gives a "high" output (1), and visa-versa.
• Gate circuits constructed of resistors and bipolar transistors as illustrated in this section are called
TTL. TTL is an acronym standing for Transistor-to-Transistor Logic. There are other design
methodologies used in gate circuits, some which use field-effect transistors rather than bipolar
transistors.
• A gate is said to be sourcing current when it provides a path for current between the output terminal
and the positive side of the DC power supply (Vcc). In other words, it is connecting the output terminal
to the power source (+V).
• A gate is said to be sinking current when it provides a path for current between the output terminal
and ground. In other words, it is grounding (sinking) the output terminal.
• Gate circuits with totem pole output stages are able to both source and sink current. Gate circuits with
open-collector output stages are only able to sink current, and not source current. Open-collector
gates are practical when used to drive TTL gate inputs because TTL inputs don't require current
sourcing.

The "buffer" gate

If we were to connect two inverter gates together so that the output of one fed into the input of another, the
two inversion functions would "cancel" each other out so that there would be no inversion from input to final
output:

While this may seem like a pointless thing to do, it does have practical application. Remember that gate
circuits are signal amplifiers, regardless of what logic function they may perform. A weak signal source (one
that is not capable of sourcing or sinking very much current to a load) may be boosted by means of two
inverters like the pair shown in the previous illustration. The logic level is unchanged, but the full current-
sourcing or -sinking capabilities of the final inverter are available to drive a load resistance if needed.

For this purpose, a special logic gate called a buffer is manufactured to perform the same function as two
inverters. Its symbol is simply a triangle, with no inverting "bubble" on the output terminal:

The internal schematic diagram for a typical open-collector buffer is not much different from that of a simple
inverter: only one more common-emitter transistor stage is added to re-invert the output signal.
Let's analyze this circuit for two conditions: an input logic level of "1" and an input logic level of "0." First, a
"high" (1) input:

As before with the inverter circuit, the "high" input causes no conduction through the left steering diode of Q1
(emitter-to-base PN junction). All of R1's current goes through the base of transistor Q2, saturating it:
Having Q2 saturated causes Q3 to be saturated as well, resulting in very little voltage dropped between the
base and emitter of the final output transistor Q4. Thus, Q4 will be in cutoff mode, conducting no current. The
output terminal will be floating (neither connected to ground nor Vcc), and this will be equivalent to a "high"
state on the input of the next TTL gate that this one feeds in to. Thus, a "high" input gives a "high" output.

With a "low" input signal (input terminal grounded), the analysis looks something like this:

All of R1's current is now diverted through the input switch, thus eliminating base current through Q2. This
forces transistor Q2 into cutoff so that no base current goes through Q3 either. With Q3 cutoff as well, Q4 is will
be saturated by the current through resistor R4, thus connecting the output terminal to ground, making it a
"low" logic level. Thus, a "low" input gives a "low" output.

The schematic diagram for a buffer circuit with totem pole output transistors is a bit more complex, but the
basic principles, and certainly the truth table, are the same as for the open-collector circuit:
 • REVIEW:
• Two inverter, or NOT, gates connected in "series" so as to invert, then re-invert, a binary bit perform
the function of a buffer. Buffer gates merely serve the purpose of signal amplification: taking a "weak"
signal source that isn't capable of sourcing or sinking much current, and boosting the current capacity
of the signal so as to be able to drive a load.
• Buffer circuits are symbolized by a triangle symbol with no inverter "bubble."
• Buffers, like inverters, may be made in open-collector output or totem pole output forms.

The Negative-OR gate

Following the same pattern, a Negative-OR gate functions the same as an OR gate with all its inputs inverted.
In keeping with standard gate symbol convention, these inverted inputs are signified by bubbles. The behavior
and truth table of a Negative-OR gate is the same as for a NAND gate:
Multiple-input gates

Inverters and buffers exhaust the possibilities for single-input gate circuits. What more can be done with a
single logic signal but to buffer it or invert it? To explore more logic gate possibilities, we must add more input
terminals to the circuit(s).

Adding more input terminals to a logic gate increases the number of input state possibilities. With a single-
input gate such as the inverter or buffer, there can only be two possible input states: either the input is "high"
(1) or it is "low" (0). As was mentioned previously in this chapter, a two input gate has four possibilities (00,
01, 10, and 11). A three-input gate has eight possibilities (000, 001, 010, 011, 100, 101, 110, and 111) for
input states. The number of possible input states is equal to two to the power of the number of inputs:

This increase in the number of possible input states obviously allows for more complex gate behavior. Now,
instead of merely inverting or amplifying (buffering) a single "high" or "low" logic level, the output of the gate
will be determined by whatever combination of 1's and 0's is present at the input terminals.
Since so many combinations are possible with just a few input terminals, there are many different types of
multiple-input gates, unlike single-input gates which can only be inverters or buffers. Each basic gate type will
be presented in this section, showing its standard symbol, truth table, and practical operation. The actual TTL
circuitry of these different gates will be explored in subsequent sections.

The AND gate

One of the easiest multiple-input gates to understand is the AND gate, so-called because the output of this
gate will be "high" (1) if and only if all inputs (first input and the second input and . . .) are "high" (1). If any
input(s) are "low" (0), the output is guaranteed to be in a "low" state as well.

In case you might have been wondering, AND gates are made with more than three inputs, but this is less
common than the simple two-input variety.

A two-input AND gate's truth table looks like this:

What this truth table means in practical terms is shown in the following sequence of illustrations, with the 2-
input AND gate subjected to all possibilities of input logic levels. An LED (Light-Emitting Diode) provides visual
indication of the output logic level:
It is only with all inputs raised to "high" logic levels that the AND gate's output goes "high," thus energizing the
LED for only one out of the four input combination states.

The NAND gate

A variation on the idea of the AND gate is called the NAND gate. The word "NAND" is a verbal contraction of
the words NOT and AND. Essentially, a NAND gate behaves the same as an AND gate with a NOT (inverter)
gate connected to the output terminal. To symbolize this output signal inversion, the NAND gate symbol has a
bubble on the output line. The truth table for a NAND gate is as one might expect, exactly opposite as that of
an AND gate:
As with AND gates, NAND gates are made with more than two inputs. In such cases, the same general
principle applies: the output will be "low" (0) if and only if all inputs are "high" (1). If any input is "low" (0), the
output will go "high" (1).

The OR gate

Our next gate to investigate is the OR gate, so-called because the output of this gate will be "high" (1) if any of
the inputs (first input or the second input or . . .) are "high" (1). The output of an OR gate goes "low" (0) if and
only if all inputs are "low" (0).

A two-input OR gate's truth table looks like this:

The following sequence of illustrations demonstrates the OR gate's function, with the 2-inputs experiencing all
possible logic levels. An LED (Light-Emitting Diode) provides visual indication of the gate's output logic level:
A condition of any input being raised to a "high" logic level makes the OR gate's output go "high," thus
energizing the LED for three out of the four input combination states.

The NOR gate

As you might have suspected, the NOR gate is an OR gate with its output inverted, just like a NAND gate is an
AND gate with an inverted output.
NOR gates, like all the other multiple-input gates seen thus far, can be manufactured with more than two
inputs. Still, the same logical principle applies: the output goes "low" (0) if any of the inputs are made "high"
(1). The output is "high" (1) only when all inputs are "low" (0).

The Negative-AND gate

A Negative-AND gate functions the same as an AND gate with all its inputs inverted (connected through NOT
gates). In keeping with standard gate symbol convention, these inverted inputs are signified by bubbles.
Contrary to most peoples' first instinct, the logical behavior of a Negative-AND gate is not the same as a NAND
gate. Its truth table, actually, is identical to a NOR gate:
The Negative-OR gate

Following the same pattern, a Negative-OR gate functions the same as an OR gate with all its inputs inverted.
In keeping with standard gate symbol convention, these inverted inputs are signified by bubbles. The behavior
and truth table of a Negative-OR gate is the same as for a NAND gate:
The Exclusive-OR gate

The last six gate types are all fairly direct variations on three basic functions: AND, OR, and NOT. The
Exclusive-OR gate, however, is something quite different.

Exclusive-OR gates output a "high" (1) logic level if the inputs are at different logic levels, either 0 and 1 or 1
and 0. Conversely, they output a "low" (0) logic level if the inputs are at the same logic levels. The Exclusive-
OR (sometimes called XOR) gate has both a symbol and a truth table pattern that is unique:
There are equivalent circuits for an Exclusive-OR gate made up of AND, OR, and NOT gates, just as there were
for NAND, NOR, and the negative-input gates. A rather direct approach to simulating an Exclusive-OR gate is
to start with a regular OR gate, then add additional gates to inhibit the output from going "high" (1) when both
inputs are "high" (1):

In this circuit, the final AND gate acts as a buffer for the output of the OR gate whenever the NAND gate's
output is high, which it is for the first three input state combinations (00, 01, and 10). However, when both
inputs are "high" (1), the NAND gate outputs a "low" (0) logic level, which forces the final AND gate to produce
a "low" (0) output.

Another equivalent circuit for the Exclusive-OR gate uses a strategy of two AND gates with inverters, set up to
generate "high" (1) outputs for input conditions 01 and 10. A final OR gate then allows either of the AND gates'
"high" outputs to create a final "high" output:
Exclusive-OR gates are very useful for circuits where two or more binary numbers are to be compared bit-for-
bit, and also for error detection (parity check) and code conversion (binary to Grey and visa-versa).

The Exclusive-NOR gate

Finally, our last gate for analysis is the Exclusive-NOR gate, otherwise known as the XNOR gate. It is
equivalent to an Exclusive-OR gate with an inverted output. The truth table for this gate is exactly opposite as
for the Exclusive-OR gate:
As indicated by the truth table, the purpose of an Exclusive-NOR gate is to output a "high" (1) logic level
whenever both inputs are at the same logic levels (either 00 or 11).

• REVIEW:
• Rule for an AND gate: output is "high" only if first input and second input are both "high."
• Rule for an OR gate: output is "high" if input A or input B are "high."
• Rule for a NAND gate: output is not "high" if both the first input and the second input are "high."
• Rule for a NOR gate: output is not "high" if either the first input or the second input are "high."
• A Negative-AND gate behaves like a NOR gate.
• A Negative-OR gate behaves like a NAND gate.
• Rule for an Exclusive-OR gate: output is "high" if the input logic levels are different.
• Rule for an Exclusive-NOR gate: output is "high" if the input logic levels are the same.

TTL NAND and AND gates

Suppose we altered our basic open-collector inverter circuit, adding a second input terminal just like the first:

This schematic illustrates a real circuit, but it isn't called a "two-input inverter." Through analysis we will
discover what this circuit's logic function is and correspondingly what it should be designated as.

Just as in the case of the inverter and buffer, the "steering" diode cluster marked "Q1" is actually formed like a
transistor, even though it isn't used in any amplifying capacity. Unfortunately, a simple NPN transistor
structure is inadequate to simulate the three PN junctions necessary in this diode network, so a different
transistor (and symbol) is needed. This transistor has one collector, one base, and two emitters, and in the
circuit it looks like this:
In the single-input (inverter) circuit, grounding the input resulted in an output that assumed the "high" (1)
state. In the case of the open-collector output configuration, this "high" state was simply "floating." Allowing
the input to float (or be connected to Vcc) resulted in the output becoming grounded, which is the "low" or 0
state. Thus, a 1 in resulted in a 0 out, and visa-versa.

Since this circuit bears so much resemblance to the simple inverter circuit, the only difference being a second
input terminal connected in the same way to the base of transistor Q2, we can say that each of the inputs will
have the same effect on the output. Namely, if either of the inputs are grounded, transistor Q2 will be forced
into a condition of cutoff, thus turning Q3 off and floating the output (output goes "high"). The following series
of illustrations shows this for three input states (00, 01, and 10):
In any case where there is a grounded ("low") input, the output is guaranteed to be floating ("high").
Conversely, the only time the output will ever go "low" is if transistor Q3 turns on, which means transistor Q2
must be turned on (saturated), which means neither input can be diverting R1 current away from the base of
Q2. The only condition that will satisfy this requirement is when both inputs are "high" (1):
Collecting and tabulating these results into a truth table, we see that the pattern matches that of the NAND
gate:

In the earlier section on NAND gates, this type of gate was created by taking an AND gate and increasing its
complexity by adding an inverter (NOT gate) to the output. However, when we examine this circuit, we see
that the NAND function is actually the simplest, most natural mode of operation for this TTL design. To create
an AND function using TTL circuitry, we need to increase the complexity of this circuit by adding an inverter
stage to the output, just like we had to add an additional transistor stage to the TTL inverter circuit to turn it
into a buffer:
The truth table and equivalent gate circuit (an inverted-output NAND gate) are shown here:

Of course, both NAND and AND gate circuits may be designed with totem-pole output stages rather than open-
collector. I am opting to show the open-collector versions for the sake of simplicity.
 • REVIEW:
• A TTL NAND gate can be made by taking a TTL inverter circuit and adding another input.
• An AND gate may be created by adding an inverter stage to the output of the NAND gate circuit.

TTL NOR and OR gates

Let's examine the following TTL circuit and analyze its operation:

Transistors Q1 and Q2 are both arranged in the same manner that we've seen for transistor Q1 in all the other
TTL circuits. Rather than functioning as amplifiers, Q1 and Q2 are both being used as two-diode "steering"
networks. We may replace Q1 and Q2 with diode sets to help illustrate:
If input A is left floating (or connected to Vcc), current will go through the base of transistor Q3, saturating it. If
input A is grounded, that current is diverted away from Q3's base through the left steering diode of "Q1," thus
forcing Q3 into cutoff. The same can be said for input B and transistor Q4: the logic level of input B determines
Q4's conduction: either saturated or cutoff.

Notice how transistors Q3 and Q4 are paralleled at their collector and emitter terminals. In essence, these two
transistors are acting as paralleled switches, allowing current through resistors R3 and R4 according to the logic
levels of inputs A and B. If any input is at a "high" (1) level, then at least one of the two transistors (Q3 and/or
Q4) will be saturated, allowing current through resistors R3 and R4, and turning on the final output transistor Q5
for a "low" (0) logic level output. The only way the output of this circuit can ever assume a "high" (1) state is if
both Q3 and Q4 are cutoff, which means both inputs would have to be grounded, or "low" (0).

This circuit's truth table, then, is equivalent to that of the NOR gate:

In order to turn this NOR gate circuit into an OR gate, we would have to invert the output logic level with
another transistor stage, just like we did with the NAND-to-AND gate example:
The truth table and equivalent gate circuit (an inverted-output NOR gate) are shown here:

Of course, totem-pole output stages are also possible in both NOR and OR TTL logic circuits.

• REVIEW:
• An OR gate may be created by adding an inverter stage to the output of the NOR gate circuit.
CMOS gate circuitry

Up until this point, our analysis of transistor logic circuits has been limited to the TTL design paradigm,
whereby bipolar transistors are used, and the general strategy of floating inputs being equivalent to "high"
(connected to Vcc) inputs -- and correspondingly, the allowance of "open-collector" output stages -- is
maintained. This, however, is not the only way we can build logic gates.

Field-effect transistors, particularly the insulated-gate variety, may be used in the design of gate circuits. Being
voltage-controlled rather than current-controlled devices, IGFETs tend to allow very simple circuit designs.
Take for instance, the following inverter circuit built using P- and N-channel IGFETs:

Notice the "Vdd" label on the positive power supply terminal. This label follows the same convention as "Vcc" in
TTL circuits: it stands for the constant voltage applied to the drain of a field effect transistor, in reference to
ground.

Let's connect this gate circuit to a power source and input switch, and examine its operation. Please note that
these IGFET transistors are E-type (Enhancement-mode), and so are normally-off devices. It takes an applied
voltage between gate and drain (actually, between gate and substrate) of the correct polarity to bias them on.
The upper transistor is a P-channel IGFET. When the channel (substrate) is made more positive than the gate
(gate negative in reference to the substrate), the channel is enhanced and current is allowed between source
and drain. So, in the above illustration, the top transistor is turned on.

The lower transistor, having zero voltage between gate and substrate (source), is in its normal mode: off.
Thus, the action of these two transistors are such that the output terminal of the gate circuit has a solid
connection to Vdd and a very high resistance connection to ground. This makes the output "high" (1) for the
"low" (0) state of the input.

Next, we'll move the input switch to its other position and see what happens:

Now the lower transistor (N-channel) is saturated because it has sufficient voltage of the correct polarity
applied between gate and substrate (channel) to turn it on (positive on gate, negative on the channel). The
upper transistor, having zero voltage applied between its gate and substrate, is in its normal mode: off. Thus,
the output of this gate circuit is now "low" (0). Clearly, this circuit exhibits the behavior of an inverter, or NOT
gate.

Using field-effect transistors instead of bipolar transistors has greatly simplified the design of the inverter gate.
Note that the output of this gate never floats as is the case with the simplest TTL circuit: it has a natural
"totem-pole" configuration, capable of both sourcing and sinking load current. Key to this gate circuit's elegant
design is the complementary use of both P- and N-channel IGFETs. Since IGFETs are more commonly known as
MOSFETs (Metal-Oxide-Semiconductor Field Effect Transistor), and this circuit uses both P- and N-channel
transistors together, the general classification given to gate circuits like this one is CMOS: Complementary
Metal Oxide Semiconductor.

CMOS circuits aren't plagued by the inherent nonlinearities of the field-effect transistors, because as digital
circuits their transistors always operate in either the saturated or cutoff modes and never in the active mode.
Their inputs are, however, sensitive to high voltages generated by electrostatic (static electricity) sources, and
may even be activated into "high" (1) or "low" (0) states by spurious voltage sources if left floating. For this
reason, it is inadvisable to allow a CMOS logic gate input to float under any circumstances. Please note that
this is very different from the behavior of a TTL gate where a floating input was safely interpreted as a "high"
(1) logic level.

This may cause a problem if the input to a CMOS logic gate is driven by a single-throw switch, where one state
has the input solidly connected to either Vdd or ground and the other state has the input floating (not connected
to anything):
Also, this problem arises if a CMOS gate input is being driven by an open-collector TTL gate. Because such a
TTL gate's output floats when it goes "high" (1), the CMOS gate input will be left in an uncertain state:

Fortunately, there is an easy solution to this dilemma, one that is used frequently in CMOS logic circuitry.
Whenever a single-throw switch (or any other sort of gate output incapable of both sourcing and sinking
current) is being used to drive a CMOS input, a resistor connected to either Vdd or ground may be used to
provide a stable logic level for the state in which the driving device's output is floating. This resistor's value is
not critical: 10 kΩ is usually sufficient. When used to provide a "high" (1) logic level in the event of a floating
signal source, this resistor is known as a pullup resistor:
When such a resistor is used to provide a "low" (0) logic level in the event of a floating signal source, it is
known as a pulldown resistor. Again, the value for a pulldown resistor is not critical:

Because open-collector TTL outputs always sink, never source, current, pullup resistors are necessary when
interfacing such an output to a CMOS gate input:
Although the CMOS gates used in the preceding examples were all inverters (single-input), the same principle
of pullup and pulldown resistors applies to multiple-input CMOS gates. Of course, a separate pullup or pulldown
resistor will be required for each gate input:

This brings us to the next question: how do we design multiple-input CMOS gates such as AND, NAND, OR, and
NOR? Not surprisingly, the answer(s) to this question reveal a simplicity of design much like that of the CMOS
inverter over its TTL equivalent.

For example, here is the schematic diagram for a CMOS NAND gate:

Notice how transistors Q1 and Q3 resemble the series-connected complementary pair from the inverter circuit.
Both are controlled by the same input signal (input A), the upper transistor turning off and the lower transistor
turning on when the input is "high" (1), and visa-versa. Notice also how transistors Q2 and Q4 are similarly
controlled by the same input signal (input B), and how they will also exhibit the same on/off behavior for the
same input logic levels. The upper transistors of both pairs (Q1 and Q2) have their source and drain terminals
paralleled, while the lower transistors (Q3 and Q4) are series-connected. What this means is that the output will
go "high" (1) if either top transistor saturates, and will go "low" (0) only if both lower transistors saturate. The
following sequence of illustrations shows the behavior of this NAND gate for all four possibilities of input logic
levels (00, 01, 10, and 11):
As with the TTL NAND gate, the CMOS NAND gate circuit may be used as the starting point for the creation of
an AND gate. All that needs to be added is another stage of transistors to invert the output signal:

A CMOS NOR gate circuit uses four MOSFETs just like the NAND gate, except that its transistors are differently
arranged. Instead of two paralleled sourcing (upper) transistors connected to Vdd and two series-connected
sinking (lower) transistors connected to ground, the NOR gate uses two series-connected sourcing transistors
and two parallel-connected sinking transistors like this:
As with the NAND gate, transistors Q1 and Q3 work as a complementary pair, as do transistors Q2 and Q4. Each
pair is controlled by a single input signal. If either input A or input B are "high" (1), at least one of the lower
transistors (Q3 or Q4) will be saturated, thus making the output "low" (0). Only in the event of both inputs
being "low" (0) will both lower transistors be in cutoff mode and both upper transistors be saturated, the
conditions necessary for the output to go "high" (1). This behavior, of course, defines the NOR logic function.

The OR function may be built up from the basic NOR gate with the addition of an inverter stage on the output:
Since it appears that any gate possible to construct using TTL technology can be duplicated in CMOS, why do
these two "families" of logic design still coexist? The answer is that both TTL and CMOS have their own unique
advantages.

First and foremost on the list of comparisons between TTL and CMOS is the issue of power consumption. In this
measure of performance, CMOS is the unchallenged victor. Because the complementary P- and N-channel
MOSFET pairs of a CMOS gate circuit are (ideally) never conducting at the same time, there is little or no
current drawn by the circuit from the Vdd power supply except for what current is necessary to source current
to a load. TTL, on the other hand, cannot function without some current drawn at all times, due to the biasing
requirements of the bipolar transistors from which it is made.

There is a caveat to this advantage, though. While the power dissipation of a TTL gate remains rather constant
regardless of its operating state(s), a CMOS gate dissipates more power as the frequency of its input signal(s)
rises. If a CMOS gate is operated in a static (unchanging) condition, it dissipates zero power (ideally).
However, CMOS gate circuits draw transient current during every output state switch from "low" to "high" and
visa-versa. So, the more often a CMOS gate switches modes, the more often it will draw current from the Vdd
supply, hence greater power dissipation at greater frequencies.

A CMOS gate also draws much less current from a driving gate output than a TTL gate because MOSFETs are
voltage-controlled, not current-controlled, devices. This means that one gate can drive many more CMOS
inputs than TTL inputs. The measure of how many gate inputs a single gate output can drive is called fanout.

Another advantage that CMOS gate designs enjoy over TTL is a much wider allowable range of power supply
voltages. Whereas TTL gates are restricted to power supply (Vcc) voltages between 4.75 and 5.25 volts, CMOS
gates are typically able to operate on any voltage between 3 and 15 volts! The reason behind this disparity in
power supply voltages is the respective bias requirements of MOSFET versus bipolar junction transistors.
MOSFETs are controlled exclusively by gate voltage (with respect to substrate), whereas BJTs are current-
controlled devices. TTL gate circuit resistances are precisely calculated for proper bias currents assuming a 5
volt regulated power supply. Any significant variations in that power supply voltage will result in the transistor
bias currents being incorrect, which then results in unreliable (unpredictable) operation. The only effect that
variations in power supply voltage have on a CMOS gate is the voltage definition of a "high" (1) state. For a
CMOS gate operating at 15 volts of power supply voltage (Vdd), an input signal must be close to 15 volts in
order to be considered "high" (1). The voltage threshold for a "low" (0) signal remains the same: near 0 volts.
One decided disadvantage of CMOS is slow speed, as compared to TTL. The input capacitances of a CMOS gate
are much, much greater than that of a comparable TTL gate -- owing to the use of MOSFETs rather than BJTs -
- and so a CMOS gate will be slower to respond to a signal transition (low-to-high or visa-versa) than a TTL
gate, all other factors being equal. The RC time constant formed by circuit resistances and the input
capacitance of the gate tend to impede the fast rise- and fall-times of a digital logic level, thereby degrading
high-frequency performance.

A strategy for minimizing this inherent disadvantage of CMOS gate circuitry is to "buffer" the output signal with
additional transistor stages, to increase the overall voltage gain of the device. This provides a faster-
transitioning output voltage (high-to-low or low-to-high) for an input voltage slowly changing from one logic
state to another. Consider this example, of an "unbuffered" NOR gate versus a "buffered," or B-series, NOR
gate:

In essence, the B-series design enhancement adds two inverters to the output of a simple NOR circuit. This
serves no purpose as far as digital logic is concerned, since two cascaded inverters simply cancel:
However, adding these inverter stages to the circuit does serve the purpose of increasing overall voltage gain,
making the output more sensitive to changes in input state, working to overcome the inherent slowness caused
by CMOS gate input capacitance.

• REVIEW:
• CMOS logic gates are made of IGFET (MOSFET) transistors rather than bipolar junction transistors.
• CMOS gate inputs are sensitive to static electricity. They may be damaged by high voltages, and they
may assume any logic level if left floating.
• Pullup and pulldown resistors are used to prevent a CMOS gate input from floating if being driven by a
signal source capable only of sourcing or sinking current.
• CMOS gates dissipate far less power than equivalent TTL gates, but their power dissipation increases
with signal frequency, whereas the power dissipation of a TTL gate is approximately constant over a
wide range of operating conditions.
• CMOS gate inputs draw far less current than TTL inputs, because MOSFETs are voltage-controlled, not
current-controlled, devices.
• CMOS gates are able to operate on a much wider range of power supply voltages than TTL: typically 3
to 15 volts versus 4.75 to 5.25 volts for TTL.
• CMOS gates tend to have a much lower maximum operating frequency than TTL gates due to input
capacitances caused by the MOSFET gates.
• B-series CMOS gates have "buffered" outputs to increase voltage gain from input to output, resulting
in faster output response to input signal changes. This helps overcome the inherent slowness of CMOS
gates due to MOSFET input capacitance and the RC time constant thereby engendered.

Special-output gates

It is sometimes desirable to have a logic gate that provides both inverted and non-inverted outputs. For
example, a single-input gate that is both a buffer and an inverter, with a separate output terminal for each
function. Or, a two-input gate that provides both the AND and the NAND functions in a single circuit. Such
gates do exist and they are referred to as complementary output gates.
The general symbology for such a gate is the basic gate figure with a bar and two output lines protruding from
it. An array of complementary gate symbols is shown in the following illustration:

Complementary gates are especially useful in "crowded" circuits where there may not be enough physical room
to mount the additional integrated circuit chips necessary to provide both inverted and noninverted outputs
using standard gates and additional inverters. They are also useful in applications where a complementary
output is necessary from a gate, but the addition of an inverter would introduce an unwanted time lag in the
inverted output relative to the noninverted output. The internal circuitry of complemented gates is such that
both inverted and noninverted outputs change state at almost exactly the same time:
Another type of special gate output is called tristate, because it has the ability to provide three different output
modes: current sinking ("low" logic level), current sourcing ("high"), and floating ("high-Z," or high-
impedance). Tristate outputs are usually found as an optional feature on buffer gates. Such gates require an
extra input terminal to control the "high-Z" mode, and this input is usually called the enable.

With the enable input held "high" (1), the buffer acts like an ordinary buffer with a totem pole output stage: it
is capable of both sourcing and sinking current. However, the output terminal floats (goes into "high-Z" mode)
if ever the enable input is grounded ("low"), regardless of the data signal's logic level. In other words, making
the enable input terminal "low" (0) effectively disconnects the gate from whatever its output is wired to so that
it can no longer have any effect.

Tristate buffers are marked in schematic diagrams by a triangle character within the gate symbol like this:
Tristate buffers are also made with inverted enable inputs. Such a gate acts normal when the enable input is
"low" (0) and goes into high-Z output mode when the enable input is "high" (1):

One special type of gate known as the bilateral switch uses gate-controlled MOSFET transistors acting as on/off
switches to switch electrical signals, analog or digital. The "on" resistance of such a switch is in the range of
several hundred ohms, the "off" resistance being in the range of several hundred mega-ohms.

Bilateral switches appear in schematics as SPST (Single-Pole, Single-Throw) switches inside of rectangular
boxes, with a control terminal on one of the box's long sides:
A bilateral switch might be best envisioned as a solid-state (semiconductor) version of an electromechanical
relay: a signal-actuated switch contact that may be used to conduct virtually any type of electric signal. Of
course, being solid-state, the bilateral switch has none of the undesirable characteristics of electromechanical
relays, such as contact "bouncing," arcing, slow speed, or susceptibility to mechanical vibration. Conversely,
though, they are rather limited in their current-carrying ability. Additionally, the signal conducted by the
"contact" must not exceed the power supply "rail" voltages powering the bilateral switch circuit.

Four bilateral switches are packaged inside the popular model "4066" integrated circuit:

• REVIEW:
• Complementary gates provide both inverted and noninverted output signals, in such a way that
neither one is delayed with respect to the other.
• Tristate gates provide three different output states: high, low, and floating (High-Z). Such gates are
commanded into their high-impedance output modes by a separate input terminal called the enable.
• Bilateral switches are MOSFET circuits providing on/off switching for a variety of electrical signal types
(analog and digital), controlled by logic level voltage signals. In essence, they are solid-state relays
with very low current-handling ability.

Gate universality

NAND and NOR gates possess a special property: they are universal. That is, given enough gates, either type
of gate is able to mimic the operation of any other gate type. For example, it is possible to build a circuit
exhibiting the OR function using three interconnected NAND gates. The ability for a single gate type to be able
to mimic any other gate type is one enjoyed only by the NAND and the NOR. In fact, digital control systems
have been designed around nothing but either NAND or NOR gates, all the necessary logic functions being
derived from collections of interconnected NANDs or NORs.
As proof of this property, this section will be divided into subsections showing how all the basic gate types may
be formed using only NANDs or only NORs.

Constructing the NOT function

As you can see, there are two ways to use a NAND gate as an inverter, and two ways to use a NOR gate as an
inverter. Either method works, although connecting TTL inputs together increases the amount of current
loading to the driving gate. For CMOS gates, common input terminals decreases the switching speed of the
gate due to increased input capacitance.

Inverters are the fundamental tool for transforming one type of logic function into another, and so there will be
many inverters shown in the illustrations to follow. In those diagrams, I will only show one method of
inversion, and that will be where the unused NAND gate input is connected to +V (either Vcc or Vdd, depending
on whether the circuit is TTL or CMOS) and where the unused input for the NOR gate is connected to ground.
Bear in mind that the other inversion method (connecting both NAND or NOR inputs together) works just as
well from a logical (1's and 0's) point of view, but is undesirable from the practical perspectives of increased
current loading for TTL and increased input capacitance for CMOS.

Constructing the "buffer" function

Being that it is quite easy to employ NAND and NOR gates to perform the inverter (NOT) function, it stands to
reason that two such stages of gates will result in a buffer function, where the output is the same logical state
as the input.
Constructing the AND function

To make the AND function from NAND gates, all that is needed is an inverter (NOT) stage on the output of a
NAND gate. This extra inversion "cancels out" the first N in NAND, leaving the AND function. It takes a little
more work to wrestle the same functionality out of NOR gates, but it can be done by inverting ("NOT") all of
the inputs to a NOR gate.
Constructing the NAND function

It would be pointless to show you how to "construct" the NAND function using a NAND gate, since there is
nothing to do. To make a NOR gate perform the NAND function, we must invert all inputs to the NOR gate as
well as the NOR gate's output. For a two-input gate, this requires three more NOR gates connected as
inverters.
Constructing the OR function

Inverting the output of a NOR gate (with another NOR gate connected as an inverter) results in the OR
function. The NAND gate, on the other hand, requires inversion of all inputs to mimic the OR function, just as
we needed to invert all inputs of a NOR gate to obtain the AND function. Remember that inversion of all inputs
to a gate results in changing that gate's essential function from AND to OR (or visa-versa), plus an inverted
output. Thus, with all inputs inverted, a NAND behaves as an OR, a NOR behaves as an AND, an AND behaves
as a NOR, and an OR behaves as a NAND. In Boolean algebra, this transformation is referred to as DeMorgan's
Theorem, covered in more detail in a later chapter of this book.
Constructing the NOR function

Much the same as the procedure for making a NOR gate behave as a NAND, we must invert all inputs and the
output to make a NAND gate function as a NOR.
 • REVIEW:
• NAND and NOR gates are universal: that is, they have the ability to mimic any type of gate, if
interconnected in sufficient numbers.

Logic signal voltage levels

Logic gate circuits are designed to input and output only two types of signals: "high" (1) and "low" (0), as
represented by a variable voltage: full power supply voltage for a "high" state and zero voltage for a "low"
state. In a perfect world, all logic circuit signals would exist at these extreme voltage limits, and never deviate
from them (i.e., less than full voltage for a "high," or more than zero voltage for a "low"). However, in reality,
logic signal voltage levels rarely attain these perfect limits due to stray voltage drops in the transistor circuitry,
and so we must understand the signal level limitations of gate circuits as they try to interpret signal voltages
lying somewhere between full supply voltage and zero.

TTL gates operate on a nominal power supply voltage of 5 volts, +/- 0.25 volts. Ideally, a TTL "high" signal
would be 5.00 volts exactly, and a TTL "low" signal 0.00 volts exactly. However, real TTL gate circuits cannot
output such perfect voltage levels, and are designed to accept "high" and "low" signals deviating substantially
from these ideal values. "Acceptable" input signal voltages range from 0 volts to 0.8 volts for a "low" logic
state, and 2 volts to 5 volts for a "high" logic state. "Acceptable" output signal voltages (voltage levels
guaranteed by the gate manufacturer over a specified range of load conditions) range from 0 volts to 0.5 volts
for a "low" logic state, and 2.7 volts to 5 volts for a "high" logic state:
If a voltage signal ranging between 0.8 volts and 2 volts were to be sent into the input of a TTL gate, there
would be no certain response from the gate. Such a signal would be considered uncertain, and no logic gate
manufacturer would guarantee how their gate circuit would interpret such a signal.

As you can see, the tolerable ranges for output signal levels are narrower than for input signal levels, to ensure
that any TTL gate outputting a digital signal into the input of another TTL gate will transmit voltages acceptable
to the receiving gate. The difference between the tolerable output and input ranges is called the noise margin
of the gate. For TTL gates, the low-level noise margin is the difference between 0.8 volts and 0.5 volts (0.3
volts), while the high-level noise margin is the difference between 2.7 volts and 2 volts (0.7 volts). Simply put,
the noise margin is the peak amount of spurious or "noise" voltage that may be superimposed on a weak gate
output voltage signal before the receiving gate might interpret it wrongly:

CMOS gate circuits have input and output signal specifications that are quite different from TTL. For a CMOS
gate operating at a power supply voltage of 5 volts, the acceptable input signal voltages range from 0 volts to
1.5 volts for a "low" logic state, and 3.5 volts to 5 volts for a "high" logic state. "Acceptable" output signal
voltages (voltage levels guaranteed by the gate manufacturer over a specified range of load conditions) range
from 0 volts to 0.05 volts for a "low" logic state, and 4.95 volts to 5 volts for a "high" logic state:
It should be obvious from these figures that CMOS gate circuits have far greater noise margins than TTL: 1.45
volts for CMOS low-level and high-level margins, versus a maximum of 0.7 volts for TTL. In other words, CMOS
circuits can tolerate over twice the amount of superimposed "noise" voltage on their input lines before signal
interpretation errors will result.

CMOS noise margins widen even further with higher operating voltages. Unlike TTL, which is restricted to a
power supply voltage of 5 volts, CMOS may be powered by voltages as high as 15 volts (some CMOS circuits
as high as 18 volts). Shown here are the acceptable "high" and "low" states, for both input and output, of
CMOS integrated circuits operating at 10 volts and 15 volts, respectively:
The margins for acceptable "high" and "low" signals may be greater than what is shown in the previous
illustrations. What is shown represents "worst-case" input signal performance, based on manufacturer's
specifications. In practice, it may be found that a gate circuit will tolerate "high" signals of considerably less
voltage and "low" signals of considerably greater voltage than those specified here.

Conversely, the extremely small output margins shown -- guaranteeing output states for "high" and "low"
signals to within 0.05 volts of the power supply "rails" -- are optimistic. Such "solid" output voltage levels will
be true only for conditions of minimum loading. If the gate is sourcing or sinking substantial current to a load,
the output voltage will not be able to maintain these optimum levels, due to internal channel resistance of the
gate's final output MOSFETs.

Within the "uncertain" range for any gate input, there will be some point of demarcation dividing the gate's
actual "low" input signal range from its actual "high" input signal range. That is, somewhere between the
lowest "high" signal voltage level and the highest "low" signal voltage level guaranteed by the gate
manufacturer, there is a threshold voltage at which the gate will actually switch its interpretation of a signal
from "low" or "high" or visa-versa. For most gate circuits, this unspecified voltage is a single point:
In the presence of AC "noise" voltage superimposed on the DC input signal, a single threshold point at which
the gate alters its interpretation of logic level will result in an erratic output:

If this scenario looks familiar to you, it's because you remember a similar problem with (analog) voltage
comparator op-amp circuits. With a single threshold point at which an input causes the output to switch
between "high" and "low" states, the presence of significant noise will cause erratic changes in the output:
The solution to this problem is a bit of positive feedback introduced into the amplifier circuit. With an op-amp,
this is done by connecting the output back around to the noninverting (+) input through a resistor. In a gate
circuit, this entails redesigning the internal gate circuitry, establishing the feedback inside the gate package
rather than through external connections. A gate so designed is called a Schmitt trigger. Schmitt triggers
interpret varying input voltages according to two threshold voltages: a positive-going threshold (VT+), and a
negative-going threshold (VT-):

Schmitt trigger gates are distinguished in schematic diagrams by the small "hysteresis" symbol drawn within
them, reminiscent of the B-H curve for a ferromagnetic material. Hysteresis engendered by positive feedback
within the gate circuitry adds an additional level of noise immunity to the gate's performance. Schmitt trigger
gates are frequently used in applications where noise is expected on the input signal line(s), and/or where an
erratic output would be very detrimental to system performance.

The differing voltage level requirements of TTL and CMOS technology present problems when the two types of
gates are used in the same system. Although operating CMOS gates on the same 5.00 volt power supply
voltage required by the TTL gates is no problem, TTL output voltage levels will not be compatible with CMOS
input voltage requirements.
Take for instance a TTL NAND gate outputting a signal into the input of a CMOS inverter gate. Both gates are
powered by the same 5.00 volt supply (Vcc). If the TTL gate outputs a "low" signal (guaranteed to be between
0 volts and 0.5 volts), it will be properly interpreted by the CMOS gate's input as a "low" (expecting a voltage
between 0 volts and 1.5 volts):

However, if the TTL gate outputs a "high" signal (guaranteed to be between 5 volts and 2.7 volts), it might not
be properly interpreted by the CMOS gate's input as a "high" (expecting a voltage between 5 volts and 3.5
volts):
Given this mismatch, it is entirely possible for the TTL gate to output a valid "high" signal (valid, that is,
according to the standards for TTL) that lies within the "uncertain" range for the CMOS input, and may be
(falsely) interpreted as a "low" by the receiving gate. An easy "fix" for this problem is to augment the TTL
gate's "high" signal voltage level by means of a pullup resistor:

Something more than this, though, is required to interface a TTL output with a CMOS input, if the receiving
CMOS gate is powered by a greater power supply voltage:
There will be no problem with the CMOS gate interpreting the TTL gate's "low" output, of course, but a "high"
signal from the TTL gate is another matter entirely. The guaranteed output voltage range of 2.7 volts to 5 volts
from the TTL gate output is nowhere near the CMOS gate's acceptable range of 7 volts to 10 volts for a "high"
signal. If we use an open-collector TTL gate instead of a totem-pole output gate, though, a pullup resistor to
the 10 volt Vdd supply rail will raise the TTL gate's "high" output voltage to the full power supply voltage
supplying the CMOS gate. Since an open-collector gate can only sink current, not source current, the "high"
state voltage level is entirely determined by the power supply to which the pullup resistor is attached, thus
neatly solving the mismatch problem:
Due to the excellent output voltage characteristics of CMOS gates, there is typically no problem connecting a
CMOS output to a TTL input. The only significant issue is the current loading presented by the TTL inputs, since
the CMOS output must sink current for each of the TTL inputs while in the "low" state.

When the CMOS gate in question is powered by a voltage source in excess of 5 volts (Vcc), though, a problem
will result. The "high" output state of the CMOS gate, being greater than 5 volts, will exceed the TTL gate's
acceptable input limits for a "high" signal. A solution to this problem is to create an "open-collector" inverter
circuit using a discrete NPN transistor, and use it to interface the two gates together:

The "Rpullup" resistor is optional, since TTL inputs automatically assume a "high" state when left floating, which
is what will happen when the CMOS gate output is "low" and the transistor cuts off. Of course, one very
important consequence of implementing this solution is the logical inversion created by the transistor: when
the CMOS gate outputs a "low" signal, the TTL gate sees a "high" input; and when the CMOS gate outputs a
"high" signal, the transistor saturates and the TTL gate sees a "low" input. So long as this inversion is
accounted for in the logical scheme of the system, all will be well.

DIP gate packaging

Digital logic gate circuits are manufactured as integrated circuits: all the constituent transistors and resistors
built on a single piece of semiconductor material. The engineer, technician, or hobbyist using small numbers of
gates will likely find what he or she needs enclosed in a DIP (Dual Inline Package) housing. DIP-enclosed
integrated circuits are available with even numbers of pins, located at 0.100 inch intervals from each other for
standard circuit board layout compatibility. Pin counts of 8, 14, 16, 18, and 24 are common for DIP "chips."

Part numbers given to these DIP packages specify what type of gates are enclosed, and how many. These part
numbers are industry standards, meaning that a "74LS02" manufactured by Motorola will be identical in
function to a "74LS02" manufactured by Fairchild or by any other manufacturer. Letter codes prepended to the
part number are unique to the manufacturer, and are not industry-standard codes. For instance, a SN74LS02
is a quad 2-input TTL NOR gate manufactured by Motorola, while a DM74LS02 is the exact same circuit
manufactured by Fairchild.

Logic circuit part numbers beginning with "74" are commercial-grade TTL. If the part number begins with the
number "54", the chip is a military-grade unit: having a greater operating temperature range, and typically
more robust in regard to allowable power supply and signal voltage levels. The letters "LS" immediately
following the 74/54 prefix indicate "Low-power Schottky" circuitry, using Schottky-barrier diodes and
transistors throughout, to decrease power dissipation. Non-Schottky gate circuits consume more power, but
are able to operate at higher frequencies due to their faster switching times.

A few of the more common TTL "DIP" circuit packages are shown here for reference:
Chapter 5: ELECTROMECHANICAL RELAYS
Relay construction

An electric current through a conductor will produce a magnetic field at right angles to the direction of electron
flow. If that conductor is wrapped into a coil shape, the magnetic field produced will be oriented along the
length of the coil. The greater the current, the greater the strength of the magnetic field, all other factors being
equal:
Inductors react against changes in current because of the energy stored in this magnetic field. When we
construct a transformer from two inductor coils around a common iron core, we use this field to transfer
energy from one coil to the other. However, there are simpler and more direct uses for electromagnetic fields
than the applications we've seen with inductors and transformers. The magnetic field produced by a coil of
current-carrying wire can be used to exert a mechanical force on any magnetic object, just as we can use a
permanent magnet to attract magnetic objects, except that this magnet (formed by the coil) can be turned on
or off by switching the current on or off through the coil.

If we place a magnetic object near such a coil for the purpose of making that object move when we energize
the coil with electric current, we have what is called a solenoid. The movable magnetic object is called an
armature, and most armatures can be moved with either direct current (DC) or alternating current (AC)
energizing the coil. The polarity of the magnetic field is irrelevant for the purpose of attracting an iron
armature. Solenoids can be used to electrically open door latches, open or shut valves, move robotic limbs,
and even actuate electric switch mechanisms. However, if a solenoid is used to actuate a set of switch
contacts, we have a device so useful it deserves its own name: the relay.

Relays are extremely useful when we have a need to control a large amount of current and/or voltage with a
small electrical signal. The relay coil which produces the magnetic field may only consume fractions of a watt of
power, while the contacts closed or opened by that magnetic field may be able to conduct hundreds of times
that amount of power to a load. In effect, a relay acts as a binary (on or off) amplifier.

Just as with transistors, the relay's ability to control one electrical signal with another finds application in the
construction of logic functions. This topic will be covered in greater detail in another lesson. For now, the
relay's "amplifying" ability will be explored.

In the above schematic, the relay's coil is energized by the low-voltage (12 VDC) source, while the single-pole,
single-throw (SPST) contact interrupts the high-voltage (480 VAC) circuit. It is quite likely that the current
required to energize the relay coil will be hundreds of times less than the current rating of the contact. Typical
relay coil currents are well below 1 amp, while typical contact ratings for industrial relays are at least 10 amps.

One relay coil/armature assembly may be used to actuate more than one set of contacts. Those contacts may
be normally-open, normally-closed, or any combination of the two. As with switches, the "normal" state of a
relay's contacts is that state when the coil is de-energized, just as you would find the relay sitting on a shelf,
not connected to any circuit.

Relay contacts may be open-air pads of metal alloy, mercury tubes, or even magnetic reeds, just as with other
types of switches. The choice of contacts in a relay depends on the same factors which dictate contact choice in
other types of switches. Open-air contacts are the best for high-current applications, but their tendency to
corrode and spark may cause problems in some industrial environments. Mercury and reed contacts are
sparkless and won't corrode, but they tend to be limited in current-carrying capacity.

Shown here are three small relays (about two inches in height, each), installed on a panel as part of an
electrical control system at a municipal water treatment plant:

The relay units shown here are called "octal-base," because they plug into matching sockets, the electrical
connections secured via eight metal pins on the relay bottom. The screw terminal connections you see in the
photograph where wires connect to the relays are actually part of the socket assembly, into which each relay is
plugged. This type of construction facilitates easy removal and replacement of the relay(s) in the event of
failure.

Aside from the ability to allow a relatively small electric signal to switch a relatively large electric signal, relays
also offer electrical isolation between coil and contact circuits. This means that the coil circuit and contact
circuit(s) are electrically insulated from one another. One circuit may be DC and the other AC (such as in the
example circuit shown earlier), and/or they may be at completely different voltage levels, across the
connections or from connections to ground.

While relays are essentially binary devices, either being completely on or completely off, there are operating
conditions where their state may be indeterminate, just as with semiconductor logic gates. In order for a relay
to positively "pull in" the armature to actuate the contact(s), there must be a certain minimum amount of
current through the coil. This minimum amount is called the pull-in current, and it is analogous to the
minimum input voltage that a logic gate requires to guarantee a "high" state (typically 2 Volts for TTL, 3.5
Volts for CMOS). Once the armature is pulled closer to the coil's center, however, it takes less magnetic field
flux (less coil current) to hold it there. Therefore, the coil current must drop below a value significantly lower
than the pull-in current before the armature "drops out" to its spring-loaded position and the contacts resume
their normal state. This current level is called the drop-out current, and it is analogous to the maximum input
voltage that a logic gate input will allow to guarantee a "low" state (typically 0.8 Volts for TTL, 1.5 Volts for
CMOS).

The hysteresis, or difference between pull-in and drop-out currents, results in operation that is similar to a
Schmitt trigger logic gate. Pull-in and drop-out currents (and voltages) vary widely from relay to relay, and are
specified by the manufacturer.

• REVIEW:
• A solenoid is a device that produces mechanical motion from the energization of an electromagnet
coil. The movable portion of a solenoid is called an armature.
• A relay is a solenoid set up to actuate switch contacts when its coil is energized.
• Pull-in current is the minimum amount of coil current needed to actuate a solenoid or relay from its
"normal" (de-energized) position.
 • Drop-out current is the maximum coil current below which an energized relay will return to its
"normal" state.

Contactors

When a relay is used to switch a large amount of electrical power through its contacts, it is designated by a
special name: contactor. Contactors typically have multiple contacts, and those contacts are usually (but not
always) normally-open, so that power to the load is shut off when the coil is de-energized. Perhaps the most
common industrial use for contactors is the control of electric motors.

The top three contacts switch the respective phases of the incoming 3-phase AC power, typically at least 480
Volts for motors 1 horsepower or greater. The lowest contact is an "auxiliary" contact which has a current
rating much lower than that of the large motor power contacts, but is actuated by the same armature as the
power contacts. The auxiliary contact is often used in a relay logic circuit, or for some other part of the motor
control scheme, typically switching 120 Volt AC power instead of the motor voltage. One contactor may have
several auxiliary contacts, either normally-open or normally-closed, if required.

The three "opposed-question-mark" shaped devices in series with each phase going to the motor are called
overload heaters. Each "heater" element is a low-resistance strip of metal intended to heat up as the motor
draws current. If the temperature of any of these heater elements reaches a critical point (equivalent to a
moderate overloading of the motor), a normally-closed switch contact (not shown in the diagram) will spring
open. This normally-closed contact is usually connected in series with the relay coil, so that when it opens the
relay will automatically de-energize, thereby shutting off power to the motor. We will see more of this overload
protection wiring in the next chapter. Overload heaters are intended to provide overcurrent protection for large
electric motors, unlike circuit breakers and fuses which serve the primary purpose of providing overcurrent
protection for power conductors.

Overload heater function is often misunderstood. They are not fuses; that is, it is not their function to burn
open and directly break the circuit as a fuse is designed to do. Rather, overload heaters are designed to
thermally mimic the heating characteristic of the particular electric motor to be protected. All motors have
thermal characteristics, including the amount of heat energy generated by resistive dissipation (I2R), the
thermal transfer characteristics of heat "conducted" to the cooling medium through the metal frame of the
motor, the physical mass and specific heat of the materials constituting the motor, etc. These characteristics
are mimicked by the overload heater on a miniature scale: when the motor heats up toward its critical
temperature, so will the heater toward its critical temperature, ideally at the same rate and approach curve.
Thus, the overload contact, in sensing heater temperature with a thermo-mechanical mechanism, will sense an
analogue of the real motor. If the overload contact trips due to excessive heater temperature, it will be an
indication that the real motor has reached its critical temperature (or, would have done so in a short while).
After tripping, the heaters are supposed to cool down at the same rate and approach curve as the real motor,
so that they indicate an accurate proportion of the motor's thermal condition, and will not allow power to be re-
applied until the motor is truly ready for start-up again.

Shown here is a contactor for a three-phase electric motor, installed on a panel as part of an electrical control
system at a municipal water treatment plant:
Three-phase, 480 volt AC power comes in to the three normally-open contacts at the top of the contactor via
screw terminals labeled "L1," "L2," and "L3" (The "L2" terminal is hidden behind a square-shaped "snubber"
circuit connected across the contactor's coil terminals). Power to the motor exits the overload heater assembly
at the bottom of this device via screw terminals labeled "T1," "T2," and "T3."

The overload heater units themselves are black, square-shaped blocks with the label "W34," indicating a
particular thermal response for a certain horsepower and temperature rating of electric motor. If an electric
motor of differing power and/or temperature ratings were to be substituted for the one presently in service,
the overload heater units would have to be replaced with units having a thermal response suitable for the new
motor. The motor manufacturer can provide information on the appropriate heater units to use.

A white pushbutton located between the "T1" and "T2" line heaters serves as a way to manually re-set the
normally-closed switch contact back to its normal state after having been tripped by excessive heater
temperature. Wire connections to the "overload" switch contact may be seen at the lower-right of the
photograph, near a label reading "NC" (normally-closed). On this particular overload unit, a small "window"
with the label "Tripped" indicates a tripped condition by means of a colored flag. In this photograph, there is no
"tripped" condition, and the indicator appears clear.

As a footnote, heater elements may be used as a crude current shunt resistor for determining whether or not a
motor is drawing current when the contactor is closed. There may be times when you're working on a motor
control circuit, where the contactor is located far away from the motor itself. How do you know if the motor is
consuming power when the contactor coil is energized and the armature has been pulled in? If the motor's
windings are burnt open, you could be sending voltage to the motor through the contactor contacts, but still
have zero current, and thus no motion from the motor shaft. If a clamp-on ammeter isn't available to measure
line current, you can take your multimeter and measure millivoltage across each heater element: if the current
is zero, the voltage across the heater will be zero (unless the heater element itself is open, in which case the
voltage across it will be large); if there is current going to the motor through that phase of the contactor, you
will read a definite millivoltage across that heater:

This is an especially useful trick to use for troubleshooting 3-phase AC motors, to see if one phase winding is
burnt open or disconnected, which will result in a rapidly destructive condition known as "single-phasing." If
one of the lines carrying power to the motor is open, it will not have any current through it (as indicated by a
0.00 mV reading across its heater), although the other two lines will (as indicated by small amounts of voltage
dropped across the respective heaters).

• REVIEW:
• A contactor is a large relay, usually used to switch current to an electric motor or other high-power
load.
• Large electric motors can be protected from overcurrent damage through the use of overload heaters
and overload contacts. If the series-connected heaters get too hot from excessive current, the
normally-closed overload contact will open, de-energizing the contactor sending power to the motor.
Time-delay relays

Some relays are constructed with a kind of "shock absorber" mechanism attached to the
armature which prevents immediate, full motion when the coil is either energized or de-
energized. This addition gives the relay the property of time-delay actuation. Time-delay
relays can be constructed to delay armature motion on coil energization, de-energization, or
both.

Time-delay relay contacts must be specified not only as either normally-open or normally-
closed, but whether the delay operates in the direction of closing or in the direction of
opening. The following is a description of the four basic types of time-delay relay contacts.

First we have the normally-open, timed-closed (NOTC) contact. This type of contact is
normally open when the coil is unpowered (de-energized). The contact is closed by the
application of power to the relay coil, but only after the coil has been continuously powered
for the specified amount of time. In other words, the direction of the contact's motion (either
to close or to open) is identical to a regular NO contact, but there is a delay in closing
direction. Because the delay occurs in the direction of coil energization, this type of contact is
alternatively known as a normally-open, on-delay:

The following is a timing diagram of this relay contact's operation:

Next we have the normally-open, timed-open (NOTO) contact. Like the NOTC contact, this
type of contact is normally open when the coil is unpowered (de-energized), and closed by
the application of power to the relay coil. However, unlike the NOTC contact, the timing
action occurs upon de-energization of the coil rather than upon energization. Because the
delay occurs in the direction of coil de-energization, this type of contact is alternatively
known as a normally-open, off-delay:

The following is a timing diagram of this relay contact's operation:

Next we have the normally-closed, timed-open (NCTO) contact. This type of contact is
normally closed when the coil is unpowered (de-energized). The contact is opened with the
application of power to the relay coil, but only after the coil has been continuously powered
for the specified amount of time. In other words, the direction of the contact's motion (either
to close or to open) is identical to a regular NC contact, but there is a delay in the opening
direction. Because the delay occurs in the direction of coil energization, this type of contact is
alternatively known as a normally-closed, on-delay:
The following is a timing diagram of this relay contact's operation:

Finally we have the normally-closed, timed-closed (NCTC) contact. Like the NCTO contact,
this type of contact is normally closed when the coil is unpowered (de-energized), and
opened by the application of power to the relay coil. However, unlike the NCTO contact, the
timing action occurs upon de-energization of the coil rather than upon energization. Because
the delay occurs in the direction of coil de-energization, this type of contact is alternatively
known as a normally-closed, off-delay:

The following is a timing diagram of this relay contact's operation:

Time-delay relays are very important for use in industrial control logic circuits. Some
examples of their use include:

• Flashing light control (time on, time off): two time-delay relays are used in
conjunction with one another to provide a constant-frequency on/off pulsing of
contacts for sending intermittent power to a lamp.
• Engine autostart control: Engines that are used to power emergency generators are
often equipped with "autostart" controls that allow for automatic start-up if the main
electric power fails. To properly start a large engine, certain auxiliary devices must be
started first and allowed some brief time to stabilize (fuel pumps, pre-lubrication oil
pumps) before the engine's starter motor is energized. Time-delay relays help
sequence these events for proper start-up of the engine.
• Furnace safety purge control: Before a combustion-type furnace can be safely lit, the
air fan must be run for a specified amount of time to "purge" the furnace chamber of
any potentially flammable or explosive vapors. A time-delay relay provides the
furnace control logic with this necessary time element.
• Motor soft-start delay control: Instead of starting large electric motors by switching
full power from a dead stop condition, reduced voltage can be switched for a "softer"
start and less inrush current. After a prescribed time delay (provided by a time-delay
relay), full power is applied.
• Conveyor belt sequence delay: when multiple conveyor belts are arranged to transport
material, the conveyor belts must be started in reverse sequence (the last one first and
the first one last) so that material doesn't get piled on to a stopped or slow-moving
conveyor. In order to get large belts up to full speed, some time may be needed
(especially if soft-start motor controls are used). For this reason, there is usually a
time-delay circuit arranged on each conveyor to give it adequate time to attain full
belt speed before the next conveyor belt feeding it is started.

The older, mechanical time-delay relays used pneumatic dashpots or fluid-filled

piston/cylinder arrangements to provide the "shock absorbing" needed to delay the motion of
the armature. Newer designs of time-delay relays use electronic circuits with resistor-
capacitor (RC) networks to generate a time delay, then energize a normal (instantaneous)
electromechanical relay coil with the electronic circuit's output. The electronic-timer relays
are more versatile than the older, mechanical models, and less prone to failure. Many models
provide advanced timer features such as "one-shot" (one measured output pulse for every
transition of the input from de-energized to energized), "recycle" (repeated on/off output
cycles for as long as the input connection is energized) and "watchdog" (changes state if the
input signal does not repeatedly cycle on and off).
The "watchdog" timer is especially useful for monitoring of computer systems. If a computer
is being used to control a critical process, it is usually recommended to have an automatic
alarm to detect computer "lockup" (an abnormal halting of program execution due to any
number of causes). An easy way to set up such a monitoring system is to have the computer
regularly energize and de-energize the coil of a watchdog timer relay (similar to the output of
the "recycle" timer). If the computer execution halts for any reason, the signal it outputs to
the watchdog relay coil will stop cycling and freeze in one or the other state. A short time
thereafter, the watchdog relay will "time out" and signal a problem.

• REVIEW:
• Time delay relays are built in these four basic modes of contact operation:
• 1: Normally-open, timed-closed. Abbreviated "NOTC", these relays open
immediately upon coil de-energization and close only if the coil is continuously
energized for the time duration period. Also called normally-open, on-delay relays.
• 2: Normally-open, timed-open. Abbreviated "NOTO", these relays close immediately
upon coil energization and open after the coil has been de-energized for the time
duration period. Also called normally-open, off delay relays.
• 3: Normally-closed, timed-open. Abbreviated "NCTO", these relays close
immediately upon coil de-energization and open only if the coil is continuously
energized for the time duration period. Also called normally-closed, on-delay relays.
• 4: Normally-closed, timed-closed. Abbreviated "NCTC", these relays open
immediately upon coil energization and close after the coil has been de-energized for
the time duration period. Also called normally-closed, off delay relays.
• One-shot timers provide a single contact pulse of specified duration for each coil
energization (transition from coil off to coil on).
• Recycle timers provide a repeating sequence of on-off contact pulses as long as the
coil is maintained in an energized state.
• Watchdog timers actuate their contacts only if the coil fails to be continuously
sequenced on and off (energized and de-energized) at a minimum frequency.

Protective relays

A special type of relay is one which monitors the current, voltage, frequency, or any other type of electric
power measurement either from a generating source or to a load for the purpose of triggering a circuit breaker
to open in the event of an abnormal condition. These relays are referred to in the electrical power industry as
protective relays.
The circuit breakers which are used to switch large quantities of electric power on and off are actually
electromechanical relays, themselves. Unlike the circuit breakers found in residential and commercial use which
determine when to trip (open) by means of a bimetallic strip inside that bends when it gets too hot from
overcurrent, large industrial circuit breakers must be "told" by an external device when to open. Such breakers
have two electromagnetic coils inside: one to close the breaker contacts and one to open them. The "trip" coil
can be energized by one or more protective relays, as well as by hand switches, connected to switch 125 Volt
DC power. DC power is used because it allows for a battery bank to supply close/trip power to the breaker
control circuits in the event of a complete (AC) power failure.

Protective relays can monitor large AC currents by means of current transformers (CT's), which encircle the
current-carrying conductors exiting a large circuit breaker, transformer, generator, or other device. Current
transformers step down the monitored current to a secondary (output) range of 0 to 5 amps AC to power the
protective relay. The current relay uses this 0-5 amp signal to power its internal mechanism, closing a contact
to switch 125 Volt DC power to the breaker's trip coil if the monitored current becomes excessive.

Likewise, (protective) voltage relays can monitor high AC voltages by means of voltage, or potential,
transformers (PT's) which step down the monitored voltage to a secondary range of 0 to 120 Volts AC,
typically. Like (protective) current relays, this voltage signal powers the internal mechanism of the relay,
closing a contact to switch 125 Volt DC power to the breaker's trip coil is the monitored voltage becomes
excessive.

There are many types of protective relays, some with highly specialized functions. Not all monitor voltage or
current, either. They all, however, share the common feature of outputting a contact closure signal which can
be used to switch power to a breaker trip coil, close coil, or operator alarm panel. Most protective relay
functions have been categorized into an ANSI standard number code. Here are a few examples from that code
list:

ANSI protective relay designation numbers

12 = Overspeed
24 = Overexcitation
25 = Syncrocheck
27 = Bus/Line undervoltage
32 = Reverse power (anti-motoring)
38 = Stator overtemp (RTD)
39 = Bearing vibration
40 = Loss of excitation
46 = Negative sequence undercurrent (phase current imbalance)
47 = Negative sequence undervoltage (phase voltage imbalance)
49 = Bearing overtemp (RTD)
50 = Instantaneous overcurrent
51 = Time overcurrent
51V = Time overcurrent -- voltage restrained
55 = Power factor
59 = Bus overvoltage
60FL = Voltage transformer fuse failure
67 = Phase/Ground directional current
79 = Autoreclose
81 = Bus over/underfrequency

• REVIEW:
• Large electric circuit breakers do not contain within themselves the necessary mechanisms to
automatically trip (open) in the event of overcurrent conditions. They must be "told" to trip by
external devices.
• Protective relays are devices built to automatically trigger the actuation coils of large electric circuit
breakers under certain conditions.
Solid-state relays

As versatile as electromechanical relays can be, they do suffer many limitations. They can be expensive to
build, have a limited contact cycle life, take up a lot of room, and switch slowly, compared to modern
semiconductor devices. These limitations are especially true for large power contactor relays. To address these
limitations, many relay manufacturers offer "solid-state" relays, which use an SCR, TRIAC, or transistor output
instead of mechanical contacts to switch the controlled power. The output device (SCR, TRIAC, or transistor) is
optically-coupled to an LED light source inside the relay. The relay is turned on by energizing this LED, usually
with low-voltage DC power. This optical isolation between input to output rivals the best that electromechanical
relays can offer.

Being solid-state devices, there are no moving parts to wear out, and they are able to switch on and off much
faster than any mechanical relay armature can move. There is no sparking between contacts, and no problems
with contact corrosion. However, solid-state relays are still too expensive to build in very high current ratings,
and so electromechanical contactors continue to dominate that application in industry today.

One significant advantage of a solid-state SCR or TRIAC relay over an electromechanical device is its natural
tendency to open the AC circuit only at a point of zero load current. Because SCR's and TRIAC's are thyristors,
their inherent hysteresis maintains circuit continuity after the LED is de-energized until the AC current falls
below a threshold value (the holding current). In practical terms what this means is the circuit will never be
interrupted in the middle of a sine wave peak. Such untimely interruptions in a circuit containing substantial
inductance would normally produce large voltage spikes due to the sudden magnetic field collapse around the
inductance. This will not happen in a circuit broken by an SCR or TRIAC. This feature is called zero-crossover
switching.

One disadvantage of solid state relays is their tendency to fail "shorted" on their outputs, while
electromechanical relay contacts tend to fail "open." In either case, it is possible for a relay to fail in the other
mode, but these are the most common failures. Because a "fail-open" state is generally considered safer than a
"fail-closed" state, electromechanical relays are still favored over their solid-state counterparts in many
applications.

Chapter 4: SWITCHES
Switch types

An electrical switch is any device used to interrupt the flow of electrons in a circuit. Switches are essentially
binary devices: they are either completely on ("closed") or completely off ("open"). There are many different
types of switches, and we will explore some of these types in this chapter.

Though it may seem strange to cover this elementary electrical topic at such a late stage in this book series, I
do so because the chapters that follow explore an older realm of digital technology based on mechanical switch
contacts rather than solid-state gate circuits, and a thorough understanding of switch types is necessary for
the undertaking. Learning the function of switch-based circuits at the same time that you learn about solid-
state logic gates makes both topics easier to grasp, and sets the stage for an enhanced learning experience in
Boolean algebra, the mathematics behind digital logic circuits.

The simplest type of switch is one where two electrical conductors are brought in contact with each other by
the motion of an actuating mechanism. Other switches are more complex, containing electronic circuits able to
turn on or off depending on some physical stimulus (such as light or magnetic field) sensed. In any case, the
final output of any switch will be (at least) a pair of wire-connection terminals that will either be connected
together by the switch's internal contact mechanism ("closed"), or not connected together ("open").

Any switch designed to be operated by a person is generally called a hand switch, and they are manufactured
in several varieties:

Toggle switches are actuated by a lever angled in one of two or more positions. The common light switch used
in household wiring is an example of a toggle switch. Most toggle switches will come to rest in any of their
lever positions, while others have an internal spring mechanism returning the lever to a certain normal
position, allowing for what is called "momentary" operation.

Pushbutton switches are two-position devices actuated with a button that is pressed and released. Most
pushbutton switches have an internal spring mechanism returning the button to its "out," or "unpressed,"
position, for momentary operation. Some pushbutton switches will latch alternately on or off with every push of
the button. Other pushbutton switches will stay in their "in," or "pressed," position until the button is pulled
back out. This last type of pushbutton switches usually have a mushroom-shaped button for easy push-pull
action.

Selector switches are actuated with a rotary knob or lever of some sort to select one of two or more positions.
Like the toggle switch, selector switches can either rest in any of their positions or contain spring-return
mechanisms for momentary operation.

A joystick switch is actuated by a lever free to move in more than one axis of motion. One or more of several
switch contact mechanisms are actuated depending on which way the lever is pushed, and sometimes by how
far it is pushed. The circle-and-dot notation on the switch symbol represents the direction of joystick lever
motion required to actuate the contact. Joystick hand switches are commonly used for crane and robot control.

Some switches are specifically designed to be operated by the motion of a machine rather than by the hand of
a human operator. These motion-operated switches are commonly called limit switches, because they are often
used to limit the motion of a machine by turning off the actuating power to a component if it moves too far. As
with hand switches, limit switches come in several varieties:
These limit switches closely resemble rugged toggle or selector hand switches fitted with a lever pushed by the
machine part. Often, the levers are tipped with a small roller bearing, preventing the lever from being worn off
by repeated contact with the machine part.

Proximity switches sense the approach of a metallic machine part either by a magnetic or high-frequency
electromagnetic field. Simple proximity switches use a permanent magnet to actuate a sealed switch
mechanism whenever the machine part gets close (typically 1 inch or less). More complex proximity switches
work like a metal detector, energizing a coil of wire with a high-frequency current, and electronically
monitoring the magnitude of that current. If a metallic part (not necessarily magnetic) gets close enough to the
coil, the current will increase, and trip the monitoring circuit. The symbol shown here for the proximity switch
is of the electronic variety, as indicated by the diamond-shaped box surrounding the switch. A non-electronic
proximity switch would use the same symbol as the lever-actuated limit switch.

Another form of proximity switch is the optical switch, comprised of a light source and photocell. Machine
position is detected by either the interruption or reflection of a light beam. Optical switches are also useful in
safety applications, where beams of light can be used to detect personnel entry into a dangerous area.

In many industrial processes, it is necessary to monitor various physical quantities with switches. Such
switches can be used to sound alarms, indicating that a process variable has exceeded normal parameters, or
they can be used to shut down processes or equipment if those variables have reached dangerous or
destructive levels. There are many different types of process switches:

These switches sense the rotary speed of a shaft either by a centrifugal weight mechanism mounted on the
shaft, or by some kind of non-contact detection of shaft motion such as optical or magnetic.

Gas or liquid pressure can be used to actuate a switch mechanism if that pressure is applied to a piston,
diaphragm, or bellows, which converts pressure to mechanical force.
An inexpensive temperature-sensing mechanism is the "bimetallic strip:" a thin strip of two metals, joined
back-to-back, each metal having a different rate of thermal expansion. When the strip heats or cools, differing
rates of thermal expansion between the two metals causes it to bend. The bending of the strip can then be
used to actuate a switch contact mechanism. Other temperature switches use a brass bulb filled with either a
liquid or gas, with a tiny tube connecting the bulb to a pressure-sensing switch. As the bulb is heated, the gas
or liquid expands, generating a pressure increase which then actuates the switch mechanism.

A floating object can be used to actuate a switch mechanism when the liquid level in an tank rises past a
certain point. If the liquid is electrically conductive, the liquid itself can be used as a conductor to bridge
between two metal probes inserted into the tank at the required depth. The conductivity technique is usually
implemented with a special design of relay triggered by a small amount of current through the conductive
liquid. In most cases it is impractical and dangerous to switch the full load current of the circuit through a
liquid.

Level switches can also be designed to detect the level of solid materials such as wood chips, grain, coal, or
animal feed in a storage silo, bin, or hopper. A common design for this application is a small paddle wheel,
inserted into the bin at the desired height, which is slowly turned by a small electric motor. When the solid
material fills the bin to that height, the material prevents the paddle wheel from turning. The torque response
of the small motor than trips the switch mechanism. Another design uses a "tuning fork" shaped metal prong,
inserted into the bin from the outside at the desired height. The fork is vibrated at its resonant frequency by an
electronic circuit and magnet/electromagnet coil assembly. When the bin fills to that height, the solid material
dampens the vibration of the fork, the change in vibration amplitude and/or frequency detected by the
electronic circuit.

Inserted into a pipe, a flow switch will detect any gas or liquid flow rate in excess of a certain threshold, usually
with a small paddle or vane which is pushed by the flow. Other flow switches are constructed as differential
pressure switches, measuring the pressure drop across a restriction built into the pipe.

Another type of level switch, suitable for liquid or solid material detection, is the nuclear switch. Composed of a
radioactive source material and a radiation detector, the two are mounted across the diameter of a storage
vessel for either solid or liquid material. Any height of material beyond the level of the source/detector
arrangement will attenuate the strength of radiation reaching the detector. This decrease in radiation at the
detector can be used to trigger a relay mechanism to provide a switch contact for measurement, alarm point,
or even control of the vessel level.
Both source and detector are outside of the vessel, with no intrusion at all except the radiation flux itself. The
radioactive sources used are fairly weak and pose no immediate health threat to operations or maintenance
personnel.

As usual, there is usually more than one way to implement a switch to monitor a physical process or serve as
an operator control. There is usually no single "perfect" switch for any application, although some obviously
exhibit certain advantages over others. Switches must be intelligently matched to the task for efficient and
reliable operation.

• REVIEW:
• A switch is an electrical device, usually electromechanical, used to control continuity between two
points.
• Hand switches are actuated by human touch.
• Limit switches are actuated by machine motion.
• Process switches are actuated by changes in some physical process (temperature, level, flow, etc.).

Switch contact design

A switch can be constructed with any mechanism bringing two conductors into contact with each other in a
controlled manner. This can be as simple as allowing two copper wires to touch each other by the motion of a
lever, or by directly pushing two metal strips into contact. However, a good switch design must be rugged and
reliable, and avoid presenting the operator with the possibility of electric shock. Therefore, industrial switch
designs are rarely this crude.

The conductive parts in a switch used to make and break the electrical connection are called contacts. Contacts
are typically made of silver or silver-cadmium alloy, whose conductive properties are not significantly
compromised by surface corrosion or oxidation. Gold contacts exhibit the best corrosion resistance, but are
limited in current-carrying capacity and may "cold weld" if brought together with high mechanical force.
Whatever the choice of metal, the switch contacts are guided by a mechanism ensuring square and even
contact, for maximum reliability and minimum resistance.

Contacts such as these can be constructed to handle extremely large amounts of electric current, up to
thousands of amps in some cases. The limiting factors for switch contact ampacity are as follows:

• Heat generated by current through metal contacts (while closed).

• Sparking caused when contacts are opened or closed.
• The voltage across open switch contacts (potential of current jumping across the gap).
One major disadvantage of standard switch contacts is the exposure of the contacts to the surrounding
atmosphere. In a nice, clean, control-room environment, this is generally not a problem. However, most
industrial environments are not this benign. The presence of corrosive chemicals in the air can cause contacts
to deteriorate and fail prematurely. Even more troublesome is the possibility of regular contact sparking
causing flammable or explosive chemicals to ignite.

When such environmental concerns exist, other types of contacts can be considered for small switches. These
other types of contacts are sealed from contact with the outside air, and therefore do not suffer the same
exposure problems that standard contacts do.

A common type of sealed-contact switch is the mercury switch. Mercury is a metallic element, liquid at room
temperature. Being a metal, it possesses excellent conductive properties. Being a liquid, it can be brought into
contact with metal probes (to close a circuit) inside of a sealed chamber simply by tilting the chamber so that
the probes are on the bottom. Many industrial switches use small glass tubes containing mercury which are
tilted one way to close the contact, and tilted another way to open. Aside from the problems of tube breakage
and spilling mercury (which is a toxic material), and susceptibility to vibration, these devices are an excellent
alternative to open-air switch contacts wherever environmental exposure problems are a concern.

Here, a mercury switch (often called a tilt switch) is shown in the open position, where the mercury is out of
contact with the two metal contacts at the other end of the glass bulb:

Here, the same switch is shown in the closed position. Gravity now holds the liquid mercury in contact with the
two metal contacts, providing electrical continuity from one to the other:
Mercury switch contacts are impractical to build in large sizes, and so you will typically find such contacts rated
at no more than a few amps, and no more than 120 volts. There are exceptions, of course, but these are
common limits.

Another sealed-contact type of switch is the magnetic reed switch. Like the mercury switch, a reed switch's
contacts are located inside a sealed tube. Unlike the mercury switch which uses liquid metal as the contact
medium, the reed switch is simply a pair of very thin, magnetic, metal strips (hence the name "reed") which
are brought into contact with each other by applying a strong magnetic field outside the sealed tube. The
source of the magnetic field in this type of switch is usually a permanent magnet, moved closer to or further
away from the tube by the actuating mechanism. Due to the small size of the reeds, this type of contact is
typically rated at lower currents and voltages than the average mercury switch. However, reed switches
typically handle vibration better than mercury contacts, because there is no liquid inside the tube to splash
around.

It is common to find general-purpose switch contact voltage and current ratings to be greater on any given
switch or relay if the electric power being switched is AC instead of DC. The reason for this is the self-
extinguishing tendency of an alternating-current arc across an air gap. Because 60 Hz power line current
actually stops and reverses direction 120 times per second, there are many opportunities for the ionized air of
an arc to lose enough temperature to stop conducting current, to the point where the arc will not re-start on
the next voltage peak. DC, on the other hand, is a continuous, uninterrupted flow of electrons which tends to
maintain an arc across an air gap much better. Therefore, switch contacts of any kind incur more wear when
switching a given value of direct current than for the same value of alternating current. The problem of
switching DC is exaggerated when the load has a significant amount of inductance, as there will be very high
voltages generated across the switch's contacts when the circuit is opened (the inductor doing its best to
maintain circuit current at the same magnitude as when the switch was closed).

With both AC and DC, contact arcing can be minimized with the addition of a "snubber" circuit (a capacitor and
resistor wired in series) in parallel with the contact, like this:
A sudden rise in voltage across the switch contact caused by the contact opening will be tempered by the
capacitor's charging action (the capacitor opposing the increase in voltage by drawing current). The resistor
limits the amount of current that the capacitor will discharge through the contact when it closes again. If the
resistor were not there, the capacitor might actually make the arcing during contact closure worse than the
arcing during contact opening without a capacitor! While this addition to the circuit helps mitigate contact
arcing, it is not without disadvantage: a prime consideration is the possibility of a failed (shorted)
capacitor/resistor combination providing a path for electrons to flow through the circuit at all times, even when
the contact is open and current is not desired. The risk of this failure, and the severity of the resulting
consequences must be considered against the increased contact wear (and inevitable contact failure) without
the snubber circuit.

The use of snubbers in DC switch circuits is nothing new: automobile manufacturers have been doing this for
years on engine ignition systems, minimizing the arcing across the switch contact "points" in the distributor
with a small capacitor called a condenser. As any mechanic can tell you, the service life of the distributor's
"points" is directly related to how well the condenser is functioning.

With all this discussion concerning the reduction of switch contact arcing, one might be led to think that less
current is always better for a mechanical switch. This, however, is not necessarily so. It has been found that a
small amount of periodic arcing can actually be good for the switch contacts, because it keeps the contact faces
free from small amounts of dirt and corrosion. If a mechanical switch contact is operated with too little current,
the contacts will tend to accumulate excessive resistance and may fail prematurely! This minimum amount of
electric current necessary to keep a mechanical switch contact in good health is called the wetting current.

Normally, a switch's wetting current rating is far below its maximum current rating, and well below its normal
operating current load in a properly designed system. However, there are applications where a mechanical
switch contact may be required to routinely handle currents below normal wetting current limits (for instance,
if a mechanical selector switch needs to open or close a digital logic or analog electronic circuit where the
current value is extremely small). In these applications, is it highly recommended that gold-plated switch
contacts be specified. Gold is a "noble" metal and does not corrode as other metals will. Such contacts have
extremely low wetting current requirements as a result. Normal silver or copper alloy contacts will not provide
reliable operation if used in such low-current service!

• REVIEW:
• The parts of a switch responsible for making and breaking electrical continuity are called the
"contacts." Usually made of corrosion-resistant metal alloy, contacts are made to touch each other by
a mechanism which helps maintain proper alignment and spacing.
• Mercury switches use a slug of liquid mercury metal as a moving contact. Sealed in a glass tube, the
mercury contact's spark is sealed from the outside environment, making this type of switch ideally
suited for atmospheres potentially harboring explosive vapors.
• Reed switches are another type of sealed-contact device, contact being made by two thin metal
"reeds" inside a glass tube, brought together by the influence of an external magnetic field.
• Switch contacts suffer greater duress switching DC than AC. This is primarily due to the self-
extinguishing nature of an AC arc.
• A resistor-capacitor network called a "snubber" can be connected in parallel with a switch contact to
reduce contact arcing.
• Wetting current is the minimum amount of electric current necessary for a switch contact to carry in
order for it to be self-cleaning. Normally this value is far below the switch's maximum current rating.

Contact "normal" state and make/break sequence

Any kind of switch contact can be designed so that the contacts "close" (establish continuity) when actuated, or
"open" (interrupt continuity) when actuated. For switches that have a spring-return mechanism in them, the
direction that the spring returns it to with no applied force is called the normal position. Therefore, contacts
that are open in this position are called normally open and contacts that are closed in this position are called
normally closed.

For process switches, the normal position, or state, is that which the switch is in when there is no process
influence on it. An easy way to figure out the normal condition of a process switch is to consider the state of
the switch as it sits on a storage shelf, uninstalled. Here are some examples of "normal" process switch
conditions:

• Speed switch: Shaft not turning

• Pressure switch: Zero applied pressure
• Temperature switch: Ambient (room) temperature
• Level switch: Empty tank or bin
• Flow switch: Zero liquid flow

It is important to differentiate between a switch's "normal" condition and its "normal" use in an operating
process. Consider the example of a liquid flow switch that serves as a low-flow alarm in a cooling water
system. The normal, or properly-operating, condition of the cooling water system is to have fairly constant
coolant flow going through this pipe. If we want the flow switch's contact to close in the event of a loss of
coolant flow (to complete an electric circuit which activates an alarm siren, for example), we would want to use
a flow switch with normally-closed rather than normally-open contacts. When there's adequate flow through
the pipe, the switch's contacts are forced open; when the flow rate drops to an abnormally low level, the
contacts return to their normal (closed) state. This is confusing if you think of "normal" as being the regular
state of the process, so be sure to always think of a switch's "normal" state as that which it's in as it sits on a
shelf.

The schematic symbology for switches vary according to the switch's purpose and actuation. A normally-open
switch contact is drawn in such a way as to signify an open connection, ready to close when actuated.
Conversely, a normally-closed switch is drawn as a closed connection which will be opened when actuated.
Note the following symbols:

There is also a generic symbology for any switch contact, using a pair of vertical lines to represent the contact
points in a switch. Normally-open contacts are designated by the lines not touching, while normally-closed
contacts are designated with a diagonal line bridging between the two lines. Compare the two:

The switch on the left will close when actuated, and will be open while in the "normal" (unactuated) position.
The switch on the right will open when actuated, and is closed in the "normal" (unactuated) position. If
switches are designated with these generic symbols, the type of switch usually will be noted in text
immediately beside the symbol. Please note that the symbol on the left is not to be confused with that of a
capacitor. If a capacitor needs to be represented in a control logic schematic, it will be shown like this:
In standard electronic symbology, the figure shown above is reserved for polarity-sensitive capacitors. In
control logic symbology, this capacitor symbol is used for any type of capacitor, even when the capacitor is not
polarity sensitive, so as to clearly distinguish it from a normally-open switch contact.

With multiple-position selector switches, another design factor must be considered: that is, the sequence of
breaking old connections and making new connections as the switch is moved from position to position, the
moving contact touching several stationary contacts in sequence.

The selector switch shown above switches a common contact lever to one of five different positions, to contact
wires numbered 1 through 5. The most common configuration of a multi-position switch like this is one where
the contact with one position is broken before the contact with the next position is made. This configuration is
called break-before-make. To give an example, if the switch were set at position number 3 and slowly turned
clockwise, the contact lever would move off of the number 3 position, opening that circuit, move to a position
between number 3 and number 4 (both circuit paths open), and then touch position number 4, closing that
circuit.

There are applications where it is unacceptable to completely open the circuit attached to the "common" wire
at any point in time. For such an application, a make-before-break switch design can be built, in which the
movable contact lever actually bridges between two positions of contact (between number 3 and number 4, in
the above scenario) as it travels between positions. The compromise here is that the circuit must be able to
tolerate switch closures between adjacent position contacts (1 and 2, 2 and 3, 3 and 4, 4 and 5) as the
selector knob is turned from position to position. Such a switch is shown here:

When movable contact(s) can be brought into one of several positions with stationary contacts, those positions
are sometimes called throws. The number of movable contacts is sometimes called poles. Both selector
switches shown above with one moving contact and five stationary contacts would be designated as "single-
pole, five-throw" switches.

If two identical single-pole, five-throw switches were mechanically ganged together so that they were actuated
by the same mechanism, the whole assembly would be called a "double-pole, five-throw" switch:
Here are a few common switch configurations and their abbreviated designations:
 • REVIEW:
• The normal state of a switch is that where it is unactuated. For process switches, this is the condition
it's in when sitting on a shelf, uninstalled.
• A switch that is open when unactuated is called normally-open. A switch that is closed when
unactuated is called normally-closed. Sometimes the terms "normally-open" and "normally-closed" are
abbreviated N.O. and N.C., respectively.
• The generic symbology for N.O. and N.C. switch contacts is as follows:

•
• Multiposition switches can be either break-before-make (most common) or make-before-break.
• The "poles" of a switch refers to the number of moving contacts, while the "throws" of a switch refers
to the number of stationary contacts per moving contact.

Contact "bounce"

When a switch is actuated and contacts touch one another under the force of actuation, they are supposed to
establish continuity in a single, crisp moment. Unfortunately, though, switches do not exactly achieve this goal.
Due to the mass of the moving contact and any elasticity inherent in the mechanism and/or contact materials,
contacts will "bounce" upon closure for a period of milliseconds before coming to a full rest and providing
unbroken contact. In many applications, switch bounce is of no consequence: it matters little if a switch
controlling an incandescent lamp "bounces" for a few cycles every time it is actuated. Since the lamp's warm-
up time greatly exceeds the bounce period, no irregularity in lamp operation will result.

However, if the switch is used to send a signal to an electronic amplifier or some other circuit with a fast
response time, contact bounce may produce very noticeable and undesired effects:
A closer look at the oscilloscope display reveals a rather ugly set of makes and breaks when the switch is
actuated a single time:

If, for example, this switch is used to provide a "clock" signal to a digital counter circuit, so that each actuation
of the pushbutton switch is supposed to increment the counter by a value of 1, what will happen instead is the
counter will increment by several counts each time the switch is actuated. Since mechanical switches often
interface with digital electronic circuits in modern systems, switch contact bounce is a frequent design
consideration. Somehow, the "chattering" produced by bouncing contacts must be eliminated so that the
receiving circuit sees a clean, crisp off/on transition:

Switch contacts may be debounced several different ways. The most direct means is to address the problem at
its source: the switch itself. Here are some suggestions for designing switch mechanisms for minimum bounce:
 • Reduce the kinetic energy of the moving contact. This will reduce the force of impact as it comes to
rest on the stationary contact, thus minimizing bounce.
• Use "buffer springs" on the stationary contact(s) so that they are free to recoil and gently absorb the
force of impact from the moving contact.
• Design the switch for "wiping" or "sliding" contact rather than direct impact. "Knife" switch designs
use sliding contacts.
• Dampen the switch mechanism's movement using an air or oil "shock absorber" mechanism.
• Use sets of contacts in parallel with each other, each slightly different in mass or contact gap, so that
when one is rebounding off the stationary contact, at least one of the others will still be in firm
contact.
• "Wet" the contacts with liquid mercury in a sealed environment. After initial contact is made, the
surface tension of the mercury will maintain circuit continuity even though the moving contact may
bounce off the stationary contact several times.

Each one of these suggestions sacrifices some aspect of switch performance for limited bounce, and so it is
impractical to design all switches with limited contact bounce in mind. Alterations made to reduce the kinetic
energy of the contact may result in a small open-contact gap or a slow-moving contact, which limits the
amount of voltage the switch may handle and the amount of current it may interrupt. Sliding contacts, while
non-bouncing, still produce "noise" (irregular current caused by irregular contact resistance when moving), and
suffer from more mechanical wear than normal contacts.

Multiple, parallel contacts give less bounce, but only at greater switch complexity and cost. Using mercury to
"wet" the contacts is a very effective means of bounce mitigation, but it is unfortunately limited to switch
contacts of low ampacity. Also, mercury-wetted contacts are usually limited in mounting position, as gravity
may cause the contacts to "bridge" accidently if oriented the wrong way.

If re-designing the switch mechanism is not an option, mechanical switch contacts may be debounced
externally, using other circuit components to condition the signal. A low-pass filter circuit attached to the
output of the switch, for example, will reduce the voltage/current fluctuations generated by contact bounce:

Switch contacts may be debounced electronically, using hysteretic transistor circuits (circuits that "latch" in
either a high or a low state) with built-in time delays (called "one-shot" circuits), or two inputs controlled by a
double-throw switch. These hysteretic circuits, called multivibrators, are discussed in detail in a later chapter.

Chapter 6: LADDER LOGIC

"Ladder" diagrams

Ladder diagrams are specialized schematics commonly used to document industrial control logic systems. They
are called "ladder" diagrams because they resemble a ladder, with two vertical rails (supply power) and as
many "rungs" (horizontal lines) as there are control circuits to represent. If we wanted to draw a simple ladder
diagram showing a lamp that is controlled by a hand switch, it would look like this:
The "L1" and "L2" designations refer to the two poles of a 120 VAC supply, unless otherwise noted. L1 is the
"hot" conductor, and L2 is the grounded ("neutral") conductor. These designations have nothing to do with
inductors, just to make things confusing. The actual transformer or generator supplying power to this circuit is
omitted for simplicity. In reality, the circuit looks something like this:

Typically in industrial relay logic circuits, but not always, the operating voltage for the switch contacts and
relay coils will be 120 volts AC. Lower voltage AC and even DC systems are sometimes built and documented
according to "ladder" diagrams:

So long as the switch contacts and relay coils are all adequately rated, it really doesn't matter what level of
voltage is chosen for the system to operate with.

Note the number "1" on the wire between the switch and the lamp. In the real world, that wire would be
labeled with that number, using heat-shrink or adhesive tags, wherever it was convenient to identify. Wires
leading to the switch would be labeled "L1" and "1," respectively. Wires leading to the lamp would be labeled
"1" and "L2," respectively. These wire numbers make assembly and maintenance very easy. Each conductor
has its own unique wire number for the control system that it's used in. Wire numbers do not change at any
junction or node, even if wire size, color, or length changes going into or out of a connection point. Of course,
it is preferable to maintain consistent wire colors, but this is not always practical. What matters is that any
one, electrically continuous point in a control circuit possesses the same wire number. Take this circuit section,
for example, with wire #25 as a single, electrically continuous point threading to many different devices:
In ladder diagrams, the load device (lamp, relay coil, solenoid coil, etc.) is almost always drawn at the right-
hand side of the rung. While it doesn't matter electrically where the relay coil is located within the rung, it does
matter which end of the ladder's power supply is grounded, for reliable operation.

Take for instance this circuit:

Here, the lamp (load) is located on the right-hand side of the rung, and so is the ground connection for the
power source. This is no accident or coincidence; rather, it is a purposeful element of good design practice.
Suppose that wire #1 were to accidently come in contact with ground, the insulation of that wire having been
rubbed off so that the bare conductor came in contact with grounded, metal conduit. Our circuit would now
function like this:
With both sides of the lamp connected to ground, the lamp will be "shorted out" and unable to receive power to
light up. If the switch were to close, there would be a short-circuit, immediately blowing the fuse.

However, consider what would happen to the circuit with the same fault (wire #1 coming in contact with
ground), except this time we'll swap the positions of switch and fuse (L2 is still grounded):

This time the accidental grounding of wire #1 will force power to the lamp while the switch will have no effect.
It is much safer to have a system that blows a fuse in the event of a ground fault than to have a system that
uncontrollably energizes lamps, relays, or solenoids in the event of the same fault. For this reason, the load(s)
must always be located nearest the grounded power conductor in the ladder diagram.

• REVIEW:
 • Ladder diagrams (sometimes called "ladder logic") are a type of electrical notation and symbology
frequently used to illustrate how electromechanical switches and relays are interconnected.
• The two vertical lines are called "rails" and attach to opposite poles of a power supply, usually 120
volts AC. L1 designates the "hot" AC wire and L2 the "neutral" (grounded) conductor.
• Horizontal lines in a ladder diagram are called "rungs," each one representing a unique parallel circuit
branch between the poles of the power supply.
• Typically, wires in control systems are marked with numbers and/or letters for identification. The rule
is, all permanently connected (electrically common) points must bear the same label.

Digital logic functions

We can construct simply logic functions for our hypothetical lamp circuit, using multiple contacts, and
document these circuits quite easily and understandably with additional rungs to our original "ladder." If we
use standard binary notation for the status of the switches and lamp (0 for unactuated or de-energized; 1 for
actuated or energized), a truth table can be made to show how the logic works:

Now, the lamp will come on if either contact A or contact B is actuated, because all it takes for the lamp to be
energized is to have at least one path for current from wire L1 to wire 1. What we have is a simple OR logic
function, implemented with nothing more than contacts and a lamp.

We can mimic the AND logic function by wiring the two contacts in series instead of parallel:
Now, the lamp energizes only if contact A and contact B are simultaneously actuated. A path exists for current
from wire L1 to the lamp (wire 2) if and only if both switch contacts are closed.

The logical inversion, or NOT, function can be performed on a contact input simply by using a normally-closed
contact instead of a normally-open contact:

Now, the lamp energizes if the contact is not actuated, and de-energizes when the contact is actuated.

If we take our OR function and invert each "input" through the use of normally-closed contacts, we will end up
with a NAND function. In a special branch of mathematics known as Boolean algebra, this effect of gate
function identity changing with the inversion of input signals is described by DeMorgan's Theorem, a subject to
be explored in more detail in a later chapter.
The lamp will be energized if either contact is unactuated. It will go out only if both contacts are actuated
simultaneously.

Likewise, if we take our AND function and invert each "input" through the use of normally-closed contacts, we
will end up with a NOR function:

A pattern quickly reveals itself when ladder circuits are compared with their logic gate counterparts:
 • Parallel contacts are equivalent to an OR gate.
• Series contacts are equivalent to an AND gate.
• Normally-closed contacts are equivalent to a NOT gate (inverter).

We can build combinational logic functions by grouping contacts in series-parallel arrangements, as well. In the
following example, we have an Exclusive-OR function built from a combination of AND, OR, and inverter (NOT)
gates:

The top rung (NC contact A in series with NO contact B) is the equivalent of the top NOT/AND gate
combination. The bottom rung (NO contact A in series with NC contact B) is the equivalent of the bottom
NOT/AND gate combination. The parallel connection between the two rungs at wire number 2 forms the
equivalent of the OR gate, in allowing either rung 1 or rung 2 to energize the lamp.

To make the Exclusive-OR function, we had to use two contacts per input: one for direct input and the other
for "inverted" input. The two "A" contacts are physically actuated by the same mechanism, as are the two "B"
contacts. The common association between contacts is denoted by the label of the contact. There is no limit to
how many contacts per switch can be represented in a ladder diagram, as each new contact on any switch or
relay (either normally-open or normally-closed) used in the diagram is simply marked with the same label.

Sometimes, multiple contacts on a single switch (or relay) are designated by a compound labels, such as "A-1"
and "A-2" instead of two "A" labels. This may be especially useful if you want to specifically designate which set
of contacts on each switch or relay is being used for which part of a circuit. For simplicity's sake, I'll refrain
from such elaborate labeling in this lesson. If you see a common label for multiple contacts, you know those
contacts are all actuated by the same mechanism.

If we wish to invert the output of any switch-generated logic function, we must use a relay with a normally-
closed contact. For instance, if we want to energize a load based on the inverse, or NOT, of a normally-open
contact, we could do this:
We will call the relay, "control relay 1," or CR1. When the coil of CR1 (symbolized with the pair of parentheses
on the first rung) is energized, the contact on the second rung opens, thus de-energizing the lamp. From
switch A to the coil of CR1, the logic function is noninverted. The normally-closed contact actuated by relay coil
CR1 provides a logical inverter function to drive the lamp opposite that of the switch's actuation status.

Applying this inversion strategy to one of our inverted-input functions created earlier, such as the OR-to-NAND,
we can invert the output with a relay to create a noninverted function:
From the switches to the coil of CR1, the logical function is that of a NAND gate. CR1's normally-closed contact
provides one final inversion to turn the NAND function into an AND function.

• REVIEW:
• Parallel contacts are logically equivalent to an OR gate.
• Series contacts are logically equivalent to an AND gate.
• Normally closed (N.C.) contacts are logically equivalent to a NOT gate.
• A relay must be used to invert the output of a logic gate function, while simple normally-closed switch
contacts are sufficient to represent inverted gate inputs

Permissive and interlock circuits

A practical application of switch and relay logic is in control systems where several process conditions have to
be met before a piece of equipment is allowed to start. A good example of this is burner control for large
combustion furnaces. In order for the burners in a large furnace to be started safely, the control system
requests "permission" from several process switches, including high and low fuel pressure, air fan flow check,
exhaust stack damper position, access door position, etc. Each process condition is called a permissive, and
each permissive switch contact is wired in series, so that if any one of them detects an unsafe condition, the
circuit will be opened:
If all permissive conditions are met, CR1 will energize and the green lamp will be lit. In real life, more than just
a green lamp would be energized: usually a control relay or fuel valve solenoid would be placed in that rung of
the circuit to be energized when all the permissive contacts were "good:" that is, all closed. If any one of the
permissive conditions are not met, the series string of switch contacts will be broken, CR2 will de-energize, and
the red lamp will light.

Note that the high fuel pressure contact is normally-closed. This is because we want the switch contact to open
if the fuel pressure gets too high. Since the "normal" condition of any pressure switch is when zero (low)
pressure is being applied to it, and we want this switch to open with excessive (high) pressure, we must
choose a switch that is closed in its normal state.

Another practical application of relay logic is in control systems where we want to ensure two incompatible
events cannot occur at the same time. An example of this is in reversible motor control, where two motor
contactors are wired to switch polarity (or phase sequence) to an electric motor, and we don't want the
forward and reverse contactors energized simultaneously:
When contactor M1 is energized, the 3 phases (A, B, and C) are connected directly to terminals 1, 2, and 3 of
the motor, respectively. However, when contactor M2 is energized, phases A and B are reversed, A going to
motor terminal 2 and B going to motor terminal 1. This reversal of phase wires results in the motor spinning
the opposite direction. Let's examine the control circuit for these two contactors:

Take note of the normally-closed "OL" contact, which is the thermal overload contact activated by the "heater"
elements wired in series with each phase of the AC motor. If the heaters get too hot, the contact will change
from its normal (closed) state to being open, which will prevent either contactor from energizing.

This control system will work fine, so long as no one pushes both buttons at the same time. If someone were
to do that, phases A and B would be short-circuited together by virtue of the fact that contactor M1 sends
phases A and B straight to the motor and contactor M2 reverses them; phase A would be shorted to phase B
and visa-versa. Obviously, this is a bad control system design!

To prevent this occurrence from happening, we can design the circuit so that the energization of one contactor
prevents the energization of the other. This is called interlocking, and it is accomplished through the use of
auxiliary contacts on each contactor, as such:
Now, when M1 is energized, the normally-closed auxiliary contact on the second rung will be open, thus
preventing M2 from being energized, even if the "Reverse" pushbutton is actuated. Likewise, M1's energization
is prevented when M2 is energized. Note, as well, how additional wire numbers (4 and 5) were added to reflect
the wiring changes.

It should be noted that this is not the only way to interlock contactors to prevent a short-circuit condition.
Some contactors come equipped with the option of a mechanical interlock: a lever joining the armatures of two
contactors together so that they are physically prevented from simultaneous closure. For additional safety,
electrical interlocks may still be used, and due to the simplicity of the circuit there is no good reason not to
employ them in addition to mechanical interlocks.

• REVIEW:
• Switch contacts installed in a rung of ladder logic designed to interrupt a circuit if certain physical
conditions are not met are called permissive contacts, because the system requires permission from
these inputs to activate.
• Switch contacts designed to prevent a control system from taking two incompatible actions at once
(such as powering an electric motor forward and backward simultaneously) are called interlocks.

Motor control circuits

The interlock contacts installed in the previous section's motor control circuit work fine, but the motor will run
only as long as each pushbutton switch is held down. If we wanted to keep the motor running even after the
operator takes his or her hand off the control switch(es), we could change the circuit in a couple of different
ways: we could replace the pushbutton switches with toggle switches, or we could add some more relay logic
to "latch" the control circuit with a single, momentary actuation of either switch. Let's see how the second
approach is implemented, since it is commonly used in industry:
When the "Forward" pushbutton is actuated, M1 will energize, closing the normally-open auxiliary contact in
parallel with that switch. When the pushbutton is released, the closed M1 auxiliary contact will maintain current
to the coil of M1, thus latching the "Forward" circuit in the "on" state. The same sort of thing will happen when
the "Reverse" pushbutton is pressed. These parallel auxiliary contacts are sometimes referred to as seal-in
contacts, the word "seal" meaning essentially the same thing as the word latch.

However, this creates a new problem: how to stop the motor! As the circuit exists right now, the motor will run
either forward or backward once the corresponding pushbutton switch is pressed, and will continue to run as
long as there is power. To stop either circuit (forward or backward), we require some means for the operator to
interrupt power to the motor contactors. We'll call this new switch, Stop:

Now, if either forward or reverse circuits are latched, they may be "unlatched" by momentarily pressing the
"Stop" pushbutton, which will open either forward or reverse circuit, de-energizing the energized contactor,
and returning the seal-in contact to its normal (open) state. The "Stop" switch, having normally-closed
contacts, will conduct power to either forward or reverse circuits when released.
So far, so good. Let's consider another practical aspect of our motor control scheme before we quit adding to
it. If our hypothetical motor turned a mechanical load with a lot of momentum, such as a large air fan, the
motor might continue to coast for a substantial amount of time after the stop button had been pressed. This
could be problematic if an operator were to try to reverse the motor direction without waiting for the fan to
stop turning. If the fan was still coasting forward and the "Reverse" pushbutton was pressed, the motor would
struggle to overcome that inertia of the large fan as it tried to begin turning in reverse, drawing excessive
current and potentially reducing the life of the motor, drive mechanisms, and fan. What we might like to have
is some kind of a time-delay function in this motor control system to prevent such a premature startup from
happening.

Let's begin by adding a couple of time-delay relay coils, one in parallel with each motor contactor coil. If we
use contacts that delay returning to their normal state, these relays will provide us a "memory" of which
direction the motor was last powered to turn. What we want each time-delay contact to do is to open the
starting-switch leg of the opposite rotation circuit for several seconds, while the fan coasts to a halt.

If the motor has been running in the forward direction, both M1 and TD1 will have been energized. This being
the case, the normally-closed, timed-closed contact of TD1 between wires 8 and 5 will have immediately
opened the moment TD1 was energized. When the stop button is pressed, contact TD1 waits for the specified
amount of time before returning to its normally-closed state, thus holding the reverse pushbutton circuit open
for the duration so M2 can't be energized. When TD1 times out, the contact will close and the circuit will allow
M2 to be energized, if the reverse pushbutton is pressed. In like manner, TD2 will prevent the "Forward"
pushbutton from energizing M1 until the prescribed time delay after M2 (and TD2) have been de-energized.

The careful observer will notice that the time-interlocking functions of TD1 and TD2 render the M1 and M2
interlocking contacts redundant. We can get rid of auxiliary contacts M1 and M2 for interlocks and just use TD1
and TD2's contacts, since they immediately open when their respective relay coils are energized, thus "locking
out" one contactor if the other is energized. Each time delay relay will serve a dual purpose: preventing the
other contactor from energizing while the motor is running, and preventing the same contactor from energizing
until a prescribed time after motor shutdown. The resulting circuit has the advantage of being simpler than the
previous example:
 • REVIEW:
• Motor contactor (or "starter") coils are typically designated by the letter "M" in ladder logic diagrams.
• Continuous motor operation with a momentary "start" switch is possible if a normally-open "seal-in"
contact from the contactor is connected in parallel with the start switch, so that once the contactor is
energized it maintains power to itself and keeps itself "latched" on.
• Time delay relays are commonly used in large motor control circuits to prevent the motor from being
started (or reversed) until a certain amount of time has elapsed from an event.

Fail-safe design

Logic circuits, whether comprised of electromechanical relays or solid-state gates, can be built in many
different ways to perform the same functions. There is usually no one "correct" way to design a complex logic
circuit, but there are usually ways that are better than others.

In control systems, safety is (or at least should be) an important design priority. If there are multiple ways in
which a digital control circuit can be designed to perform a task, and one of those ways happens to hold certain
advantages in safety over the others, then that design is the better one to choose.

Let's take a look at a simple system and consider how it might be implemented in relay logic. Suppose that a
large laboratory or industrial building is to be equipped with a fire alarm system, activated by any one of
several latching switches installed throughout the facility. The system should work so that the alarm siren will
energize if any one of the switches is actuated. At first glance it seems as though the relay logic should be
incredibly simple: just use normally-open switch contacts and connect them all in parallel with each other:
Essentially, this is the OR logic function implemented with four switch inputs. We could expand this circuit to
include any number of switch inputs, each new switch being added to the parallel network, but I'll limit it to
four in this example to keep things simple. At any rate, it is an elementary system and there seems to be little
possibility of trouble.

Except in the event of a wiring failure, that is. The nature of electric circuits is such that "open" failures (open
switch contacts, broken wire connections, open relay coils, blown fuses, etc.) are statistically more likely to
occur than any other type of failure. With that in mind, it makes sense to engineer a circuit to be as tolerant as
possible to such a failure. Let's suppose that a wire connection for Switch #2 were to fail open:

If this failure were to occur, the result would be that Switch #2 would no longer energize the siren if actuated.
This, obviously, is not good in a fire alarm system. Unless the system were regularly tested (a good idea
anyway), no one would know there was a problem until someone tried to use that switch in an emergency.

What if the system were re-engineered so as to sound the alarm in the event of an open failure? That way, a
failure in the wiring would result in a false alarm, a scenario much more preferable than that of having a switch
silently fail and not function when needed. In order to achieve this design goal, we would have to re-wire the
switches so that an open contact sounded the alarm, rather than a closed contact. That being the case, the
switches will have to be normally-closed and in series with each other, powering a relay coil which then
activates a normally-closed contact for the siren:

When all switches are unactuated (the regular operating state of this system), relay CR1 will be energized, thus
keeping contact CR1 open, preventing the siren from being powered. However, if any of the switches are
actuated, relay CR1 will de-energize, closing contact CR1 and sounding the alarm. Also, if there is a break in the
wiring anywhere in the top rung of the circuit, the alarm will sound. When it is discovered that the alarm is
false, the workers in the facility will know that something failed in the alarm system and that it needs to be
repaired.

Granted, the circuit is more complex than it was before the addition of the control relay, and the system could
still fail in the "silent" mode with a broken connection in the bottom rung, but it's still a safer design than the
original circuit, and thus preferable from the standpoint of safety.

This design of circuit is referred to as fail-safe, due to its intended design to default to the safest mode in the
event of a common failure such as a broken connection in the switch wiring. Fail-safe design always starts with
an assumption as to the most likely kind of wiring or component failure, and then tries to configure things so
that such a failure will cause the circuit to act in the safest way, the "safest way" being determined by the
physical characteristics of the process.

Take for example an electrically-actuated (solenoid) valve for turning on cooling water to a machine.
Energizing the solenoid coil will move an armature which then either opens or closes the valve mechanism,
depending on what kind of valve we specify. A spring will return the valve to its "normal" position when the
solenoid is de-energized. We already know that an open failure in the wiring or solenoid coil is more likely than
a short or any other type of failure, so we should design this system to be in its safest mode with the solenoid
de-energized.

If it's cooling water we're controlling with this valve, chances are it is safer to have the cooling water turn on in
the event of a failure than to shut off, the consequences of a machine running without coolant usually being
severe. This means we should specify a valve that turns on (opens up) when de-energized and turns off (closes
down) when energized. This may seem "backwards" to have the valve set up this way, but it will make for a
safer system in the end.

One interesting application of fail-safe design is in the power generation and distribution industry, where large
circuit breakers need to be opened and closed by electrical control signals from protective relays. If a 50/51
relay (instantaneous and time overcurrent) is going to command a circuit breaker to trip (open) in the event of
excessive current, should we design it so that the relay closes a switch contact to send a "trip" signal to the
breaker, or opens a switch contact to interrupt a regularly "on" signal to initiate a breaker trip? We know that
an open connection will be the most likely to occur, but what is the safest state of the system: breaker open or
breaker closed?

At first, it would seem that it would be safer to have a large circuit breaker trip (open up and shut off power) in
the event of an open fault in the protective relay control circuit, just like we had the fire alarm system default
to an alarm state with any switch or wiring failure. However, things are not so simple in the world of high
power. To have a large circuit breaker indiscriminately trip open is no small matter, especially when customers
are depending on the continued supply of electric power to supply hospitals, telecommunications systems,
water treatment systems, and other important infrastructures. For this reason, power system engineers have
generally agreed to design protective relay circuits to output a closed contact signal (power applied) to open
large circuit breakers, meaning that any open failure in the control wiring will go unnoticed, simply leaving the
breaker in the status quo position.
Is this an ideal situation? Of course not. If a protective relay detects an overcurrent condition while the control
wiring is failed open, it will not be able to trip open the circuit breaker. Like the first fire alarm system design,
the "silent" failure will be evident only when the system is needed. However, to engineer the control circuitry
the other way -- so that any open failure would immediately shut the circuit breaker off, potentially blacking
out large potions of the power grid -- really isn't a better alternative.

An entire book could be written on the principles and practices of good fail-safe system design. At least here,
you know a couple of the fundamentals: that wiring tends to fail open more often than shorted, and that an
electrical control system's (open) failure mode should be such that it indicates and/or actuates the real-life
process in the safest alternative mode. These fundamental principles extend to non-electrical systems as well:
identify the most common mode of failure, then engineer the system so that the probable failure mode places
the system in the safest condition.

• REVIEW:
• The goal of fail-safe design is to make a control system as tolerant as possible to likely wiring or
component failures.
• The most common type of wiring and component failure is an "open" circuit, or broken connection.
Therefore, a fail-safe system should be designed to default to its safest mode of operation in the case
of an open circuit.

Programmable logic controllers

Before the advent of solid-state logic circuits, logical control systems were designed and built exclusively
around electromechanical relays. Relays are far from obsolete in modern design, but have been replaced in
many of their former roles as logic-level control devices, relegated most often to those applications demanding
high current and/or high voltage switching.

Systems and processes requiring "on/off" control abound in modern commerce and industry, but such control
systems are rarely built from either electromechanical relays or discrete logic gates. Instead, digital computers
fill the need, which may be programmed to do a variety of logical functions.

In the late 1960's an American company named Bedford Associates released a computing device they called
the MODICON. As an acronym, it meant Modular Digital Controller, and later became the name of a company
division devoted to the design, manufacture, and sale of these special-purpose control computers. Other
engineering firms developed their own versions of this device, and it eventually came to be known in non-
proprietary terms as a PLC, or Programmable Logic Controller. The purpose of a PLC was to directly replace
electromechanical relays as logic elements, substituting instead a solid-state digital computer with a stored
program, able to emulate the interconnection of many relays to perform certain logical tasks.

A PLC has many "input" terminals, through which it interprets "high" and "low" logical states from sensors and
switches. It also has many output terminals, through which it outputs "high" and "low" signals to power lights,
solenoids, contactors, small motors, and other devices lending themselves to on/off control. In an effort to
make PLCs easy to program, their programming language was designed to resemble ladder logic diagrams.
Thus, an industrial electrician or electrical engineer accustomed to reading ladder logic schematics would feel
comfortable programming a PLC to perform the same control functions.

PLCs are industrial computers, and as such their input and output signals are typically 120 volts AC, just like
the electromechanical control relays they were designed to replace. Although some PLCs have the ability to
input and output low-level DC voltage signals of the magnitude used in logic gate circuits, this is the exception
and not the rule.

Signal connection and programming standards vary somewhat between different models of PLC, but they are
similar enough to allow a "generic" introduction to PLC programming here. The following illustration shows a
simple PLC, as it might appear from a front view. Two screw terminals provide connection to 120 volts AC for
powering the PLC's internal circuitry, labeled L1 and L2. Six screw terminals on the left-hand side provide
connection to input devices, each terminal representing a different input "channel" with its own "X" label. The
lower-left screw terminal is a "Common" connection, which is generally connected to L2 (neutral) of the 120
VAC power source.
Inside the PLC housing, connected between each input terminal and the Common terminal, is an opto-isolator
device (Light-Emitting Diode) that provides an electrically isolated "high" logic signal to the computer's circuitry
(a photo-transistor interprets the LED's light) when there is 120 VAC power applied between the respective
input terminal and the Common terminal. An indicating LED on the front panel of the PLC gives visual
indication of an "energized" input:

Output signals are generated by the PLC's computer circuitry activating a switching device (transistor, TRIAC,
or even an electromechanical relay), connecting the "Source" terminal to any of the "Y-" labeled output
terminals. The "Source" terminal, correspondingly, is usually connected to the L1 side of the 120 VAC power
source. As with each input, an indicating LED on the front panel of the PLC gives visual indication of an
"energized" output:
In this way, the PLC is able to interface with real-world devices such as switches and solenoids.

The actual logic of the control system is established inside the PLC by means of a computer program. This
program dictates which output gets energized under which input conditions. Although the program itself
appears to be a ladder logic diagram, with switch and relay symbols, there are no actual switch contacts or
relay coils operating inside the PLC to create the logical relationships between input and output. These are
imaginary contacts and coils, if you will. The program is entered and viewed via a personal computer
connected to the PLC's programming port.

Consider the following circuit and PLC program:

When the pushbutton switch is unactuated (unpressed), no power is sent to the X1 input of the PLC. Following
the program, which shows a normally-open X1 contact in series with a Y1 coil, no "power" will be sent to the
Y1 coil. Thus, the PLC's Y1 output remains de-energized, and the indicator lamp connected to it remains dark.

If the pushbutton switch is pressed, however, power will be sent to the PLC's X1 input. Any and all X1 contacts
appearing in the program will assume the actuated (non-normal) state, as though they were relay contacts
actuated by the energizing of a relay coil named "X1". In this case, energizing the X1 input will cause the
normally-open X1 contact will "close," sending "power" to the Y1 coil. When the Y1 coil of the program
"energizes," the real Y1 output will become energized, lighting up the lamp connected to it:
It must be understood that the X1 contact, Y1 coil, connecting wires, and "power" appearing in the personal
computer's display are all virtual. They do not exist as real electrical components. They exist as commands in a
computer program -- a piece of software only -- that just happens to resemble a real relay schematic diagram.

Equally important to understand is that the personal computer used to display and edit the PLC's program is
not necessary for the PLC's continued operation. Once a program has been loaded to the PLC from the personal
computer, the personal computer may be unplugged from the PLC, and the PLC will continue to follow the
programmed commands. I include the personal computer display in these illustrations for your sake only, in
aiding to understand the relationship between real-life conditions (switch closure and lamp status) and the
program's status ("power" through virtual contacts and virtual coils).

The true power and versatility of a PLC is revealed when we want to alter the behavior of a control system.
Since the PLC is a programmable device, we can alter its behavior by changing the commands we give it,
without having to reconfigure the electrical components connected to it. For example, suppose we wanted to
make this switch-and-lamp circuit function in an inverted fashion: push the button to make the lamp turn off,
and release it to make it turn on. The "hardware" solution would require that a normally-closed pushbutton
switch be substituted for the normally-open switch currently in place. The "software" solution is much easier:
just alter the program so that contact X1 is normally-closed rather than normally-open.

In the following illustration, we have the altered system shown in the state where the pushbutton is unactuated
(not being pressed):
In this next illustration, the switch is shown actuated (pressed):
One of the advantages of implementing logical control in software rather than in hardware is that input signals
can be re-used as many times in the program as is necessary. For example, take the following circuit and
program, designed to energize the lamp if at least two of the three pushbutton switches are simultaneously
actuated:
To build an equivalent circuit using electromechanical relays, three relays with two normally-open contacts
each would have to be used, to provide two contacts per input switch. Using a PLC, however, we can program
as many contacts as we wish for each "X" input without adding additional hardware, since each input and each
output is nothing more than a single bit in the PLC's digital memory (either 0 or 1), and can be recalled as
many times as necessary.

Furthermore, since each output in the PLC is nothing more than a bit in its memory as well, we can assign
contacts in a PLC program "actuated" by an output (Y) status. Take for instance this next system, a motor
start-stop control circuit:
The pushbutton switch connected to input X1 serves as the "Start" switch, while the switch connected to input
X2 serves as the "Stop." Another contact in the program, named Y1, uses the output coil status as a seal-in
contact, directly, so that the motor contactor will continue to be energized after the "Start" pushbutton switch
is released. You can see the normally-closed contact X2 appear in a colored block, showing that it is in a closed
("electrically conducting") state.

If we were to press the "Start" button, input X1 would energize, thus "closing" the X1 contact in the program,
sending "power" to the Y1 "coil," energizing the Y1 output and applying 120 volt AC power to the real motor
contactor coil. The parallel Y1 contact will also "close," thus latching the "circuit" in an energized state:
Now, if we release the "Start" pushbutton, the normally-open X1 "contact" will return to its "open" state, but
the motor will continue to run because the Y1 seal-in "contact" continues to provide "continuity" to "power" coil
Y1, thus keeping the Y1 output energized:
To stop the motor, we must momentarily press the "Stop" pushbutton, which will energize the X2 input and
"open" the normally-closed "contact," breaking continuity to the Y1 "coil:"
When the "Stop" pushbutton is released, input X2 will de-energize, returning "contact" X2 to its normal,
"closed" state. The motor, however, will not start again until the "Start" pushbutton is actuated, because the
"seal-in" of Y1 has been lost:
In addition to input (X) and output (Y) program elements, PLCs provide "internal" coils and contacts with no
intrinsic connection to the outside world. These are used much the same as "control relays" (CR1, CR2, etc.)
are used in standard relay circuits: to provide logic signal inversion when necessary.

To demonstrate how one of these "internal" relays might be used, consider the following example circuit and
program, designed to emulate the function of a three-input NAND gate. Since PLC program elements are
typically designed by single letters, I will call the internal control relay "C1" rather than "CR1" as would be
customary in a relay control circuit:
In this circuit, the lamp will remain lit so long as any of the pushbuttons remain unactuated (unpressed). To
make the lamp turn off, we will have to actuate (press) all three switches, like this:
This section on programmable logic controllers illustrates just a small sample of their capabilities. As
computers, PLCs can perform timing functions (for the equivalent of time-delay relays), drum sequencing, and
other advanced functions with far greater accuracy and reliability than what is possible using electromechanical
logic devices. Most PLCs have the capacity for far more than six inputs and six outputs. The following
photograph shows several input and output modules of a single Allen-Bradley PLC.
With each module having sixteen "points" of either input or output, this PLC has the ability to monitor and
control dozens of devices. Fit into a control cabinet, a PLC takes up little room, especially considering the
equivalent space that would be needed by electromechanical relays to perform the same functions:
One advantage of PLCs that simply cannot be duplicated by electromechanical relays is remote monitoring and
control via digital computer networks. Because a PLC is nothing more than a special-purpose digital computer,
it has the ability to communicate with other computers rather easily. The following photograph shows a
personal computer displaying a graphic image of a real liquid-level process (a pumping, or "lift," station for a
municipal wastewater treatment system) controlled by a PLC. The actual pumping station is located miles away
from the personal computer display:
Chapter 7: BOOLEAN ALGEBRA
Introduction

Mathematical rules are based on the defining limits we place on the particular numerical quantities dealt with.
When we say that 1 + 1 = 2 or 3 + 4 = 7, we are implying the use of integer quantities: the same types of
numbers we all learned to count in elementary education. What most people assume to be self-evident rules of
arithmetic -- valid at all times and for all purposes -- actually depend on what we define a number to be.

For instance, when calculating quantities in AC circuits, we find that the "real" number quantities which served
us so well in DC circuit analysis are inadequate for the task of representing AC quantities. We know that
voltages add when connected in series, but we also know that it is possible to connect a 3-volt AC source in
series with a 4-volt AC source and end up with 5 volts total voltage (3 + 4 = 5)! Does this mean the inviolable
and self-evident rules of arithmetic have been violated? No, it just means that the rules of "real" numbers do
not apply to the kinds of quantities encountered in AC circuits, where every variable has both a magnitude and
a phase. Consequently, we must use a different kind of numerical quantity, or object, for AC circuits (complex
numbers, rather than real numbers), and along with this different system of numbers comes a different set of
rules telling us how they relate to one another.

An expression such as "3 + 4 = 5" is nonsense within the scope and definition of real numbers, but it fits nicely
within the scope and definition of complex numbers (think of a right triangle with opposite and adjacent sides
of 3 and 4, with a hypotenuse of 5). Because complex numbers are two-dimensional, they are able to "add"
with one another trigonometrically as single-dimension "real" numbers cannot.

Logic is much like mathematics in this respect: the so-called "Laws" of logic depend on how we define what a
proposition is. The Greek philosopher Aristotle founded a system of logic based on only two types of
propositions: true and false. His bivalent (two-mode) definition of truth led to the four foundational laws of
logic: the Law of Identity (A is A); the Law of Non-contradiction (A is not non-A); the Law of the Excluded
Middle (either A or non-A); and the Law of Rational Inference. These so-called Laws function within the scope
of logic where a proposition is limited to one of two possible values, but may not apply in cases where
propositions can hold values other than "true" or "false." In fact, much work has been done and continues to
be done on "multivalued," or fuzzy logic, where propositions may be true or false to a limited degree. In such a
system of logic, "Laws" such as the Law of the Excluded Middle simply do not apply, because they are founded
on the assumption of bivalence. Likewise, many premises which would violate the Law of Non-contradiction in
Aristotelian logic have validity in "fuzzy" logic. Again, the defining limits of propositional values determine the
Laws describing their functions and relations.

The English mathematician George Boole (1815-1864) sought to give symbolic form to Aristotle's system of
logic. Boole wrote a treatise on the subject in 1854, titled An Investigation of the Laws of Thought, on Which
Are Founded the Mathematical Theories of Logic and Probabilities, which codified several rules of relationship
between mathematical quantities limited to one of two possible values: true or false, 1 or 0. His mathematical
system became known as Boolean algebra.

All arithmetic operations performed with Boolean quantities have but one of two possible outcomes: either 1 or
0. There is no such thing as "2" or "-1" or "1/2" in the Boolean world. It is a world in which all other
possibilities are invalid by fiat. As one might guess, this is not the kind of math you want to use when
balancing a checkbook or calculating current through a resistor. However, Claude Shannon of MIT fame
recognized how Boolean algebra could be applied to on-and-off circuits, where all signals are characterized as
either "high" (1) or "low" (0). His 1938 thesis, titled A Symbolic Analysis of Relay and Switching Circuits, put
Boole's theoretical work to use in a way Boole never could have imagined, giving us a powerful mathematical
tool for designing and analyzing digital circuits.

In this chapter, you will find a lot of similarities between Boolean algebra and "normal" algebra, the kind of
algebra involving so-called real numbers. Just bear in mind that the system of numbers defining Boolean
algebra is severely limited in terms of scope, and that there can only be one of two possible values for any
Boolean variable: 1 or 0. Consequently, the "Laws" of Boolean algebra often differ from the "Laws" of real-
number algebra, making possible such statements as 1 + 1 = 1, which would normally be considered absurd.
Once you comprehend the premise of all quantities in Boolean algebra being limited to the two possibilities of 1
and 0, and the general philosophical principle of Laws depending on quantitative definitions, the "nonsense" of
Boolean algebra disappears.

It should be clearly understood that Boolean numbers are not the same as binary numbers. Whereas Boolean
numbers represent an entirely different system of mathematics from real numbers, binary is nothing more
than an alternative notation for real numbers. The two are often confused because both Boolean math and
binary notation use the same two ciphers: 1 and 0. The difference is that Boolean quantities are restricted to a
single bit (either 1 or 0), whereas binary numbers may be composed of many bits adding up in place-weighted
form to a value of any finite size. The binary number 100112 ("nineteen") has no more place in the Boolean
world than the decimal number 210 ("two") or the octal number 328 ("twenty-six").

Boolean arithmetic

Let us begin our exploration of Boolean algebra by adding numbers together:

The first three sums make perfect sense to anyone familiar with elementary addition. The last sum, though, is
quite possibly responsible for more confusion than any other single statement in digital electronics, because it
seems to run contrary to the basic principles of mathematics. Well, it does contradict principles of addition for
real numbers, but not for Boolean numbers. Remember that in the world of Boolean algebra, there are only
two possible values for any quantity and for any arithmetic operation: 1 or 0. There is no such thing as "2"
within the scope of Boolean values. Since the sum "1 + 1" certainly isn't 0, it must be 1 by process of
elimination.

It does not matter how many or few terms we add together, either. Consider the following sums:
Take a close look at the two-term sums in the first set of equations. Does that pattern look familiar to you? It
should! It is the same pattern of 1's and 0's as seen in the truth table for an OR gate. In other words, Boolean
addition corresponds to the logical function of an "OR" gate, as well as to parallel switch contacts:

There is no such thing as subtraction in the realm of Boolean mathematics. Subtraction implies the existence of
negative numbers: 5 - 3 is the same thing as 5 + (-3), and in Boolean algebra negative quantities are
forbidden. There is no such thing as division in Boolean mathematics, either, since division is really nothing
more than compounded subtraction, in the same way that multiplication is compounded addition.
Multiplication is valid in Boolean algebra, and thankfully it is the same as in real-number algebra: anything
multiplied by 0 is 0, and anything multiplied by 1 remains unchanged:

This set of equations should also look familiar to you: it is the same pattern found in the truth table for an AND
gate. In other words, Boolean multiplication corresponds to the logical function of an "AND" gate, as well as to
series switch contacts:

Like "normal" algebra, Boolean algebra uses alphabetical letters to denote variables. Unlike "normal" algebra,
though, Boolean variables are always CAPITAL letters, never lower-case. Because they are allowed to possess
only one of two possible values, either 1 or 0, each and every variable has a complement: the opposite of its
value. For example, if variable "A" has a value of 0, then the complement of A has a value of 1. Boolean
notation uses a bar above the variable character to denote complementation, like this:
In written form, the complement of "A" denoted as "A-not" or "A-bar". Sometimes a "prime" symbol is used to
represent complementation. For example, A' would be the complement of A, much the same as using a prime
symbol to denote differentiation in calculus rather than the fractional notation d/dt. Usually, though, the "bar"
symbol finds more widespread use than the "prime" symbol, for reasons that will become more apparent later
in this chapter.

Boolean complementation finds equivalency in the form of the NOT gate, or a normally-closed switch or relay
contact:

The basic definition of Boolean quantities has led to the simple rules of addition and multiplication, and has
excluded both subtraction and division as valid arithmetic operations. We have a symbology for denoting
Boolean variables, and their complements. In the next section we will proceed to develop Boolean identities.

• REVIEW:
• Boolean addition is equivalent to the OR logic function, as well as parallel switch contacts.
• Boolean multiplication is equivalent to the AND logic function, as well as series switch contacts.
• Boolean complementation is equivalent to the NOT logic function, as well as normally-closed relay
contacts.

Boolean algebraic identities

In mathematics, an identity is a statement true for all possible values of its variable or variables. The algebraic
identity of x + 0 = x tells us that anything (x) added to zero equals the original "anything," no matter what
value that "anything" (x) may be. Like ordinary algebra, Boolean algebra has its own unique identities based
on the bivalent states of Boolean variables.

The first Boolean identity is that the sum of anything and zero is the same as the original "anything." This
identity is no different from its real-number algebraic equivalent:
No matter what the value of A, the output will always be the same: when A=1, the output will also be 1; when
A=0, the output will also be 0.

The next identity is most definitely different from any seen in normal algebra. Here we discover that the sum of
anything and one is one:

No matter what the value of A, the sum of A and 1 will always be 1. In a sense, the "1" signal overrides the
effect of A on the logic circuit, leaving the output fixed at a logic level of 1.

Next, we examine the effect of adding A and A together, which is the same as connecting both inputs of an OR
gate to each other and activating them with the same signal:

In real-number algebra, the sum of two identical variables is twice the original variable's value (x + x = 2x),
but remember that there is no concept of "2" in the world of Boolean math, only 1 and 0, so we cannot say
that A + A = 2A. Thus, when we add a Boolean quantity to itself, the sum is equal to the original quantity: 0 +
0 = 0, and 1 + 1 = 1.

Introducing the uniquely Boolean concept of complementation into an additive identity, we find an interesting
effect. Since there must be one "1" value between any variable and its complement, and since the sum of any
Boolean quantity and 1 is 1, the sum of a variable and its complement must be 1:
Just as there are four Boolean additive identities (A+0, A+1, A+A, and A+A'), so there are also four
multiplicative identities: Ax0, Ax1, AxA, and AxA'. Of these, the first two are no different from their equivalent
expressions in regular algebra:

The third multiplicative identity expresses the result of a Boolean quantity multiplied by itself. In normal
algebra, the product of a variable and itself is the square of that variable (3 x 3 = 32 = 9). However, the
concept of "square" implies a quantity of 2, which has no meaning in Boolean algebra, so we cannot say that A
x A = A2. Instead, we find that the product of a Boolean quantity and itself is the original quantity, since 0 x 0
= 0 and 1 x 1 = 1:

The fourth multiplicative identity has no equivalent in regular algebra because it uses the complement of a
variable, a concept unique to Boolean mathematics. Since there must be one "0" value between any variable
and its complement, and since the product of any Boolean quantity and 0 is 0, the product of a variable and its
complement must be 0:

To summarize, then, we have four basic Boolean identities for addition and four for multiplication:
Another identity having to do with complementation is that of the double complement: a variable inverted
twice. Complementing a variable twice (or any even number of times) results in the original Boolean value.
This is analogous to negating (multiplying by -1) in real-number algebra: an even number of negations cancel
to leave the original value:

Boolean algebraic properties

Another type of mathematical identity, called a "property" or a "law," describes how differing variables relate to
each other in a system of numbers. One of these properties is known as the commutative property, and it
applies equally to addition and multiplication. In essence, the commutative property tells us we can reverse the
order of variables that are either added together or multiplied together without changing the truth of the
expression:
Along with the commutative properties of addition and multiplication, we have the associative property, again
applying equally well to addition and multiplication. This property tells us we can associate groups of added or
multiplied variables together with parentheses without altering the truth of the equations.
Lastly, we have the distributive property, illustrating how to expand a Boolean expression formed by the
product of a sum, and in reverse shows us how terms may be factored out of Boolean sums-of-products:
To summarize, here are the three basic properties: commutative, associative, and distributive.

Boolean rules for simplification

Boolean algebra finds its most practical use in the simplification of logic circuits. If we translate a logic circuit's
function into symbolic (Boolean) form, and apply certain algebraic rules to the resulting equation to reduce the
number of terms and/or arithmetic operations, the simplified equation may be translated back into circuit form
for a logic circuit performing the same function with fewer components. If equivalent function may be achieved
with fewer components, the result will be increased reliability and decreased cost of manufacture.

To this end, there are several rules of Boolean algebra presented in this section for use in reducing expressions
to their simplest forms. The identities and properties already reviewed in this chapter are very useful in
Boolean simplification, and for the most part bear similarity to many identities and properties of "normal"
algebra. However, the rules shown in this section are all unique to Boolean mathematics.
This rule may be proven symbolically by factoring an "A" out of the two terms, then applying the rules of A + 1
= 1 and 1A = A to achieve the final result:

Please note how the rule A + 1 = 1 was used to reduce the (B + 1) term to 1. When a rule like "A + 1 = 1" is
expressed using the letter "A", it doesn't mean it only applies to expressions containing "A". What the "A"
stands for in a rule like A + 1 = 1 is any Boolean variable or collection of variables. This is perhaps the most
difficult concept for new students to master in Boolean simplification: applying standardized identities,
properties, and rules to expressions not in standard form.

For instance, the Boolean expression ABC + 1 also reduces to 1 by means of the "A + 1 = 1" identity. In this
case, we recognize that the "A" term in the identity's standard form can represent the entire "ABC" term in the
original expression.

The next rule looks similar to the first on shown in this section, but is actually quite different and requires a
more clever proof:
Note how the last rule (A + AB = A) is used to "un-simplify" the first "A" term in the expression, changing the
"A" into an "A + AB". While this may seem like a backward step, it certainly helped to reduce the expression to
something simpler! Sometimes in mathematics we must take "backward" steps to achieve the most elegant
solution. Knowing when to take such a step and when not to is part of the art-form of algebra, just as a victory
in a game of chess almost always requires calculated sacrifices.

Another rule involves the simplification of a product-of-sums expression:

And, the corresponding proof:

To summarize, here are the three new rules of Boolean simplification expounded in this section:

Circuit simplification examples

Let's begin with a semiconductor gate circuit in need of simplification. The "A," "B," and "C" input signals are
assumed to be provided from switches, sensors, or perhaps other gate circuits. Where these signals originate is
of no concern in the task of gate reduction.

Our first step in simplification must be to write a Boolean expression for this circuit. This task is easily
performed step by step if we start by writing sub-expressions at the output of each gate, corresponding to the
respective input signals for each gate. Remember that OR gates are equivalent to Boolean addition, while AND
gates are equivalent to Boolean multiplication. For example, I'll write sub-expressions at the outputs of the first
three gates:

. . . then another sub-expression for the next gate:

Finally, the output ("Q") is seen to be equal to the expression AB + BC(B + C):
Now that we have a Boolean expression to work with, we need to apply the rules of Boolean algebra to reduce
the expression to its simplest form (simplest defined as requiring the fewest gates to implement):

The final expression, B(A + C), is much simpler than the original, yet performs the same function. If you would
like to verify this, you may generate a truth table for both expressions and determine Q's status (the circuits'
output) for all eight logic-state combinations of A, B, and C, for both circuits. The two truth tables should be
identical.

Now, we must generate a schematic diagram from this Boolean expression. To do this, evaluate the
expression, following proper mathematical order of operations (multiplication before addition, operations inside
parentheses before anything else), and draw gates for each step. Remember again that OR gates are
equivalent to Boolean addition, while AND gates are equivalent to Boolean multiplication. In this case, we
would begin with the sub-expression "A + C", which is an OR gate:

The next step in evaluating the expression "B(A + C)" is to multiply (AND gate) the signal B by the output of
the previous gate (A + C):
Obviously, this circuit is much simpler than the original, having only two logic gates instead of five. Such
component reduction results in higher operating speed (less delay time from input signal transition to output
signal transition), less power consumption, less cost, and greater reliability.

Electromechanical relay circuits, typically being slower, consuming more electrical power to operate, costing
more, and having a shorter average life than their semiconductor counterparts, benefit dramatically from
Boolean simplification. Let's consider an example circuit:

As before, our first step in reducing this circuit to its simplest form must be to develop a Boolean expression
from the schematic. The easiest way I've found to do this is to follow the same steps I'd normally follow to
reduce a series-parallel resistor network to a single, total resistance. For example, examine the following
resistor network with its resistors arranged in the same connection pattern as the relay contacts in the former
circuit, and corresponding total resistance formula:
Remember that parallel contacts are equivalent to Boolean addition, while series contacts are equivalent to
Boolean multiplication. Write a Boolean expression for this relay contact circuit, following the same order of
precedence that you would follow in reducing a series-parallel resistor network to a total resistance. It may be
helpful to write a Boolean sub-expression to the left of each ladder "rung," to help organize your expression-
writing:

Now that we have a Boolean expression to work with, we need to apply the rules of Boolean algebra to reduce
the expression to its simplest form (simplest defined as requiring the fewest relay contacts to implement):
The more mathematically inclined should be able to see that the two steps employing the rule "A + AB = A"
may be combined into a single step, the rule being expandable to: "A + AB + AC + AD + . . . = A"

As you can see, the reduced circuit is much simpler than the original, yet performs the same logical function:

• REVIEW:
• To convert a gate circuit to a Boolean expression, label each gate output with a Boolean sub-
expression corresponding to the gates' input signals, until a final expression is reached at the last
gate.
• To convert a Boolean expression to a gate circuit, evaluate the expression using standard order of
operations: multiplication before addition, and operations within parentheses before anything else.
• To convert a ladder logic circuit to a Boolean expression, label each rung with a Boolean sub-
expression corresponding to the contacts' input signals, until a final expression is reached at the last
coil or light. To determine proper order of evaluation, treat the contacts as though they were resistors,
and as if you were determining total resistance of the series-parallel network formed by them. In
other words, look for contacts that are either directly in series or directly in parallel with each other
first, then "collapse" them into equivalent Boolean sub-expressions before proceeding to other
contacts.
• To convert a Boolean expression to a ladder logic circuit, evaluate the expression using standard order
of operations: multiplication before addition, and operations within parentheses before anything else
The Exclusive-OR function

One element conspicuously missing from the set of Boolean operations is that of Exclusive-OR. Whereas the OR
function is equivalent to Boolean addition, the AND function to Boolean multiplication, and the NOT function
(inverter) to Boolean complementation, there is no direct Boolean equivalent for Exclusive-OR. This hasn't
stopped people from developing a symbol to represent it, though:

This symbol is seldom used in Boolean expressions because the identities, laws, and rules of simplification
involving addition, multiplication, and complementation do not apply to it. However, there is a way to
represent the Exclusive-OR function in terms of OR and AND, as has been shown in previous chapters: AB' +
A'B

As a Boolean equivalency, this rule may be helpful in simplifying some Boolean expressions. Any expression
following the AB' + A'B form (two AND gates and an OR gate) may be replaced by a single Exclusive-OR gate.

DeMorgan's Theorems

A mathematician named DeMorgan developed a pair of important rules regarding group complementation in
Boolean algebra. By group complementation, I'm referring to the complement of a group of terms, represented
by a long bar over more than one variable.

You should recall from the chapter on logic gates that inverting all inputs to a gate reverses that gate's
essential function from AND to OR, or visa-versa, and also inverts the output. So, an OR gate with all inputs
inverted (a Negative-OR gate) behaves the same as a NAND gate, and an AND gate with all inputs inverted (a
Negative-AND gate) behaves the same as a NOR gate. DeMorgan's theorems state the same equivalence in
"backward" form: that inverting the output of any gate results in the same function as the opposite type of
gate (AND vs. OR) with inverted inputs:
A long bar extending over the term AB acts as a grouping symbol, and as such is entirely different from the
product of A and B independently inverted. In other words, (AB)' is not equal to A'B'. Because the "prime"
symbol (') cannot be stretched over two variables like a bar can, we are forced to use parentheses to make it
apply to the whole term AB in the previous sentence. A bar, however, acts as its own grouping symbol when
stretched over more than one variable. This has profound impact on how Boolean expressions are evaluated
and reduced, as we shall see.

DeMorgan's theorem may be thought of in terms of breaking a long bar symbol. When a long bar is broken, the
operation directly underneath the break changes from addition to multiplication, or visa-versa, and the broken
bar pieces remain over the individual variables. To illustrate:

When multiple "layers" of bars exist in an expression, you may only break one bar at a time, and it is generally
easier to begin simplification by breaking the longest (uppermost) bar first. To illustrate, let's take the
expression (A + (BC)')' and reduce it using DeMorgan's Theorems:

Following the advice of breaking the longest (uppermost) bar first, I'll begin by breaking the bar covering the
entire expression as a first step:
As a result, the original circuit is reduced to a three-input AND gate with the A input inverted:

You should never break more than one bar in a single step, as illustrated here:

As tempting as it may be to conserve steps and break more than one bar at a time, it often leads to an
incorrect result, so don't do it!

It is possible to properly reduce this expression by breaking the short bar first, rather than the long bar first:
The end result is the same, but more steps are required compared to using the first method, where the longest
bar was broken first. Note how in the third step we broke the long bar in two places. This is a legitimate
mathematical operation, and not the same as breaking two bars in one step! The prohibition against breaking
more than one bar in one step is not a prohibition against breaking a bar in more than one place. Breaking in
more than one place in a single step is okay; breaking more than one bar in a single step is not.

You might be wondering why parentheses were placed around the sub-expression B' + C', considering the fact
that I just removed them in the next step. I did this to emphasize an important but easily neglected aspect of
DeMorgan's theorem. Since a long bar functions as a grouping symbol, the variables formerly grouped by a
broken bar must remain grouped lest proper precedence (order of operation) be lost. In this example, it really
wouldn't matter if I forgot to put parentheses in after breaking the short bar, but in other cases it might.
Consider this example, starting with a different expression:
As you can see, maintaining the grouping implied by the complementation bars for this expression is crucial to
obtaining the correct answer.

Let's apply the principles of DeMorgan's theorems to the simplification of a gate circuit:

As always, our first step in simplifying this circuit must be to generate an equivalent Boolean expression. We
can do this by placing a sub-expression label at the output of each gate, as the inputs become known. Here's
the first step in this process:

Next, we can label the outputs of the first NOR gate and the NAND gate. When dealing with inverted-output
gates, I find it easier to write an expression for the gate's output without the final inversion, with an arrow
pointing to just before the inversion bubble. Then, at the wire leading out of the gate (after the bubble), I write
the full, complemented expression. This helps ensure I don't forget a complementing bar in the sub-
expression, by forcing myself to split the expression-writing task into two steps:

Finally, we write an expression (or pair of expressions) for the last NOR gate:
Now, we reduce this expression using the identities, properties, rules, and theorems (DeMorgan's) of Boolean
algebra:

The equivalent gate circuit for this much-simplified expression is as follows:

• REVIEW
 • DeMorgan's Theorems describe the equivalence between gates with inverted inputs and gates with
inverted outputs. Simply put, a NAND gate is equivalent to a Negative-OR gate, and a NOR gate is
equivalent to a Negative-AND gate.
• When "breaking" a complementation bar in a Boolean expression, the operation directly underneath
the break (addition or multiplication) reverses, and the broken bar pieces remain over the respective
terms.
• It is often easier to approach a problem by breaking the longest (uppermost) bar before breaking any
bars under it. You must never attempt to break two bars in one step!
• Complementation bars function as grouping symbols. Therefore, when a bar is broken, the terms
underneath it must remain grouped. Parentheses may be placed around these grouped terms as a
help to avoid changing precedence.

Converting truth tables into Boolean expressions

In designing digital circuits, the designer often begins with a truth table describing what the circuit should do.
The design task is largely to determine what type of circuit will perform the function described in the truth
table. While some people seem to have a natural ability to look at a truth table and immediately envision the
necessary logic gate or relay logic circuitry for the task, there are procedural techniques available for the rest
of us. Here, Boolean algebra proves its utility in a most dramatic way.

To illustrate this procedural method, we should begin with a realistic design problem. Suppose we were given
the task of designing a flame detection circuit for a toxic waste incinerator. The intense heat of the fire is
intended to neutralize the toxicity of the waste introduced into the incinerator. Such combustion-based
techniques are commonly used to neutralize medical waste, which may be infected with deadly viruses or
bacteria:

So long as a flame is maintained in the incinerator, it is safe to inject waste into it to be neutralized. If the
flame were to be extinguished, however, it would be unsafe to continue to inject waste into the combustion
chamber, as it would exit the exhaust un-neutralized, and pose a health threat to anyone in close proximity to
the exhaust. What we need in this system is a sure way of detecting the presence of a flame, and permitting
waste to be injected only if a flame is "proven" by the flame detection system.

Several different flame-detection technologies exist: optical (detection of light), thermal (detection of high
temperature), and electrical conduction (detection of ionized particles in the flame path), each one with its
unique advantages and disadvantages. Suppose that due to the high degree of hazard involved with potentially
passing un-neutralized waste out the exhaust of this incinerator, it is decided that the flame detection system
be made redundant (multiple sensors), so that failure of a single sensor does not lead to an emission of toxins
out the exhaust. Each sensor comes equipped with a normally-open contact (open if no flame, closed if flame
detected) which we will use to activate the inputs of a logic system:
Our task, now, is to design the circuitry of the logic system to open the waste valve if and only if there is good
flame proven by the sensors. First, though, we must decide what the logical behavior of this control system
should be. Do we want the valve to be opened if only one out of the three sensors detects flame? Probably not,
because this would defeat the purpose of having multiple sensors. If any one of the sensors were to fail in such
a way as to falsely indicate the presence of flame when there was none, a logic system based on the principle
of "any one out of three sensors showing flame" would give the same output that a single-sensor system would
with the same failure. A far better solution would be to design the system so that the valve is commanded to
open if any only if all three sensors detect a good flame. This way, any single, failed sensor falsely showing
flame could not keep the valve in the open position; rather, it would require all three sensors to be failed in the
same manner -- a highly improbable scenario -- for this dangerous condition to occur.

Thus, our truth table would look like this:

It does not require much insight to realize that this functionality could be generated with a three-input AND
gate: the output of the circuit will be "high" if and only if input A AND input B AND input C are all "high:"
If using relay circuitry, we could create this AND function by wiring three relay contacts in series, or simply by
wiring the three sensor contacts in series, so that the only way electrical power could be sent to open the
waste valve is if all three sensors indicate flame:

While this design strategy maximizes safety, it makes the system very susceptible to sensor failures of the
opposite kind. Suppose that one of the three sensors were to fail in such a way that it indicated no flame when
there really was a good flame in the incinerator's combustion chamber. That single failure would shut off the
waste valve unnecessarily, resulting in lost production time and wasted fuel (feeding a fire that wasn't being
used to incinerate waste).

It would be nice to have a logic system that allowed for this kind of failure without shutting the system down
unnecessarily, yet still provide sensor redundancy so as to maintain safety in the event that any single sensor
failed "high" (showing flame at all times, whether or not there was one to detect). A strategy that would meet
both needs would be a "two out of three" sensor logic, whereby the waste valve is opened if at least two out of
the three sensors show good flame. The truth table for such a system would look like this:
Here, it is not necessarily obvious what kind of logic circuit would satisfy the truth table. However, a simple
method for designing such a circuit is found in a standard form of Boolean expression called the Sum-Of-
Products, or SOP, form. As you might suspect, a Sum-Of-Products Boolean expression is literally a set of
Boolean terms added (summed) together, each term being a multiplicative (product) combination of Boolean
variables. An example of an SOP expression would be something like this: ABC + BC + DF, the sum of
products "ABC," "BC," and "DF."

Sum-Of-Products expressions are easy to generate from truth tables. All we have to do is examine the truth
table for any rows where the output is "high" (1), and write a Boolean product term that would equal a value of
1 given those input conditions. For instance, in the fourth row down in the truth table for our two-out-of-three
logic system, where A=0, B=1, and C=1, the product term would be A'BC, since that term would have a value
of 1 if and only if A=0, B=1, and C=1:

Three other rows of the truth table have an output value of 1, so those rows also need Boolean product
expressions to represent them:
Finally, we join these four Boolean product expressions together by addition, to create a single Boolean
expression describing the truth table as a whole:

Now that we have a Boolean Sum-Of-Products expression for the truth table's function, we can easily design a
logic gate or relay logic circuit based on that expression:
Unfortunately, both of these circuits are quite complex, and could benefit from simplification. Using Boolean
algebra techniques, the expression may be significantly simplified:
As a result of the simplification, we can now build much simpler logic circuits performing the same function, in
either gate or relay form:
Either one of these circuits will adequately perform the task of operating the incinerator waste valve based on
a flame verification from two out of the three flame sensors. At minimum, this is what we need to have a safe
incinerator system. We can, however, extend the functionality of the system by adding to it logic circuitry
designed to detect if any one of the sensors does not agree with the other two.
If all three sensors are operating properly, they should detect flame with equal accuracy. Thus, they should
either all register "low" (000: no flame) or all register "high" (111: good flame). Any other output combination
(001, 010, 011, 100, 101, or 110) constitutes a disagreement between sensors, and may therefore serve as an
indicator of a potential sensor failure. If we added circuitry to detect any one of the six "sensor disagreement"
conditions, we could use the output of that circuitry to activate an alarm. Whoever is monitoring the incinerator
would then exercise judgment in either continuing to operate with a possible failed sensor (inputs: 011, 101, or
110), or shut the incinerator down to be absolutely safe. Also, if the incinerator is shut down (no flame), and
one or more of the sensors still indicates flame (001, 010, 011, 100, 101, or 110) while the other(s) indicate(s)
no flame, it will be known that a definite sensor problem exists.

The first step in designing this "sensor disagreement" detection circuit is to write a truth table describing its
behavior. Since we already have a truth table describing the output of the "good flame" logic circuit, we can
simply add another output column to the table to represent the second circuit, and make a table representing
the entire logic system:

While it is possible to generate a Sum-Of-Products expression for this new truth table column, it would require
six terms, of three variables each! Such a Boolean expression would require many steps to simplify, with a
large potential for making algebraic errors:
An alternative to generating a Sum-Of-Products expression to account for all the "high" (1) output conditions in
the truth table is to generate a Product-Of-Sums, or POS, expression, to account for all the "low" (0) output
conditions instead. Being that there are much fewer instances of a "low" output in the last truth table column,
the resulting Product-Of-Sums expression should contain fewer terms. As its name suggests, a Product-Of-
Sums expression is a set of added terms (sums), which are multiplied (product) together. An example of a POS
expression would be (A + B)(C + D), the product of the sums "A + B" and "C + D".

To begin, we identify which rows in the last truth table column have "low" (0) outputs, and write a Boolean
sum term that would equal 0 for that row's input conditions. For instance, in the first row of the truth table,
where A=0, B=0, and C=0, the sum term would be (A + B + C), since that term would have a value of 0 if and
only if A=0, B=0, and C=0:
Only one other row in the last truth table column has a "low" (0) output, so all we need is one more sum term
to complete our Product-Of-Sums expression. This last sum term represents a 0 output for an input condition
of A=1, B=1 and C=1. Therefore, the term must be written as (A' + B'+ C'), because only the sum of the
complemented input variables would equal 0 for that condition only:
The completed Product-Of-Sums expression, of course, is the multiplicative combination of these two sum
terms:

Whereas a Sum-Of-Products expression could be implemented in the form of a set of AND gates with their
outputs connecting to a single OR gate, a Product-Of-Sums expression can be implemented as a set of OR
gates feeding into a single AND gate:

Correspondingly, whereas a Sum-Of-Products expression could be implemented as a parallel collection of

series-connected relay contacts, a Product-Of-Sums expression can be implemented as a series collection of
parallel-connected relay contacts:
The previous two circuits represent different versions of the "sensor disagreement" logic circuit only, not the
"good flame" detection circuit(s). The entire logic system would be the combination of both "good flame" and
"sensor disagreement" circuits, shown on the same diagram.

Implemented in a Programmable Logic Controller (PLC), the entire logic system might resemble something like
this:
As you can see, both the Sum-Of-Products and Products-Of-Sums standard Boolean forms are powerful tools
when applied to truth tables. They allow us to derive a Boolean expression -- and ultimately, an actual logic
circuit -- from nothing but a truth table, which is a written specification for what we want a logic circuit to do.
To be able to go from a written specification to an actual circuit using simple, deterministic procedures means
that it is possible to automate the design process for a digital circuit. In other words, a computer could be
programmed to design a custom logic circuit from a truth table specification! The steps to take from a truth
table to the final circuit are so unambiguous and direct that it requires little, if any, creativity or other original
thought to execute them.

• REVIEW:
• Sum-Of-Products, or SOP, Boolean expressions may be generated from truth tables quite easily, by
determining which rows of the table have an output of 1, writing one product term for each row, and
finally summing all the product terms. This creates a Boolean expression representing the truth table
as a whole.
• Sum-Of-Products expressions lend themselves well to implementation as a set of AND gates
(products) feeding into a single OR gate (sum).
 • Product-Of-Sums, or POS, Boolean expressions may also be generated from truth tables quite easily,
by determining which rows of the table have an output of 0, writing one sum term for each row, and
finally multiplying all the sum terms. This creates a Boolean expression representing the truth table as
a whole.
• Product-Of-Sums expressions lend themselves well to implementation as a set of OR gates (sums)
feeding into a single AND gate (product).

Chapter 8: KARNAUGH MAPPING

Why learn about Karnaugh maps? The Karnaugh map, like Boolean algebra, is a simplification tool applicable to
digital logic. See the "Toxic waste incinerator" in the Boolean algebra chapter for an example of Boolean
simplification of digital logic. The Karnaugh Map will simplify logic faster and more easily in most cases.

Boolean simplification is actually faster than the Karnaugh map for a task involving two or fewer Boolean
variables. It is still quite usable at three variables, but a bit slower. At four input variables, Boolean algebra
becomes tedious. Karnaugh maps are both faster and easier. Karnaugh maps work well for up to six input
variables, are usable for up to eight variables. For more than six to eight variables, simplification should be by
CAD (computer automated design).

In theory any of the three methods will work. However, as a practical matter, the above guidelines work well.
We would not normally resort to computer automation to simplify a three input logic block. We could sooner
solve the problem with pencil and paper. However, if we had seven of these problems to solve, say for a BCD
(Binary Coded Decimal) to seven segment decoder, we might want to automate the process. A BCD to seven
segment decoder generates the logic signals to drive a seven segment LED (light emitting diode) display.

Examples of computer automated design languages for simplification of logic are PALASM, ABEL, CUPL, Verilog,
and VHDL. These programs accept a hardware descriptor language input file which is based on Boolean
equations and produce an output file describing a reduced (or simplified) Boolean solution. We will not require
such tools in this chapter. Let's move on to Venn diagrams as an introduction to Karnaugh maps.

Venn Diagrams
Mathematicians use Venn diagrams to show the logical relationships of sets (collections of objects) to one
another. Perhaps you have already seen Venn diagrams in your algebra or other mathematics studies. If you
have, you may remember overlapping circles and the union and intersection of sets. We will review the
overlapping circles of the Venn diagram. We will adopt the terms OR and AND instead of union and intersection
since that is the terminology used in digital electronics.

The Venn diagram bridges the Boolean algebra from a previous chapter to the Karnaugh Map. We will relate
what you already know about Boolean algebra to Venn diagrams, then transition to Karnaugh maps.

Venn Diagrams and Sets

A set is a collection of objects out of a universe as shown below. The members of the set are the objects
contained within the set. The members of the set usually have something in common; though, this is not a
requirement. Out of the universe of real numbers, for example, the set of all positive integers {1,2,3...} is a
set. The set {3,4,5} is an example of a smaller set, or subset of the set of all positive integers. Another
example is the set of all males out of the universe of college students. Can you think of some more examples
of sets?

Above left, we have a Venn diagram showing the set A in the circle within the universe U, the rectangular area.
If everything inside the circle is A, then anything outside of the circle is not A. Thus, above center, we label the
rectangular area outside of the circle A as A-not instead of U. We show B and B-not in a similar manner.

What happens if both A and B are contained within the same universe? We show four possibilities.

Let's take a closer look at each of the the four possibilities as shown above.

The first example shows that set A and set B have nothing in common according to the Venn diagram. There is
no overlap between the A and B circular hatched regions. For example, suppose that sets A and B contain the
following members:

set A = {1,2,3,4}

set B = {5,6,7,8}

None of the members of set A are contained within set B, nor are any of the members of B contained within A.
Thus, there is no overlap of the circles.
In the second example in the above Venn diagram, Set A is totally contained within set B How can we explain
this situation? Suppose that sets A and B contain the following members:

set A = {1,2}

set B = {1,2,3,4,5,6,7,8}

All members of set A are also members of set B. Therefore, set A is a subset of Set B. Since all members of set
A are members of set B, set A is drawn fully within the boundary of set B.

There is a fifth case, not shown, with the four examples. Hint: it is similar to the last (fourth) example. Draw a
Venn diagram for this fifth case.

The third example above shows perfect overlap between set A and set B. It looks like both sets contain the
same identical members. Suppose that sets A and B contain the following:

set A = {1,2,3,4} set B = {1,2,3,4}

Therefore,

Set A = Set B
Sets And B are identically equal because they both have the same identical members. The A and B regions
within the corresponding Venn diagram above overlap completely. If there is any doubt about what the above
patterns represent, refer to any figure above or below to be sure of what the circular regions looked like before
they were overlapped.

The fourth example above shows that there is something in common between set A and set B in the
overlapping region. For example, we arbitrarily select the following sets to illustrate our point:

set A = {1,2,3,4}

set B = {3,4,5,6}

Set A and Set B both have the elements 3 and 4 in common These elements are the reason for the overlap in
the center common to A and B. We need to take a closer look at this situation

Boolean Relationships on Venn Diagrams

The fourth example has A partially overlapping B. Though, we will first look at the whole of all hatched area
below, then later only the overlapping region. Let's assign some Boolean expressions to the regions above as
shown below. Below left there is a red horizontal hatched area for A. There is a blue vertical hatched area for
B.

If we look at the whole area of both, regardless of the hatch style, the sum total of all hatched areas, we get
the illustration above right which corresponds to the inclusive OR function of A, B. The Boolean expression is
A+B. This is shown by the 45o hatched area. Anything outside of the hatched area corresponds to (A+B)-not
as shown above. Let's move on to next part of the fourth example
The other way of looking at a Venn diagram with overlapping circles is to look at just the part common to both
A and B, the double hatched area below left. The Boolean expression for this common area corresponding to
the AND function is AB as shown below right. Note that everything outside of double hatched AB is AB-not.

Note that some of the members of A, above, are members of (AB)'. Some of the members of B are members
of (AB)'. But, none of the members of (AB)' are within the doubly hatched area AB.

We have repeated the second example above left. Your fifth example, which you previously sketched, is
provided above right for comparison. Later we will find the occasional element, or group of elements, totally
contained within another group in a Karnaugh map.

Next, we show the development of a Boolean expression involving a complemented variable below.
Example: (above)

Show a Venn diagram for A'B (A-not AND B).

Solution:

Starting above top left we have red horizontal shaded A' (A-not), then, top right, B. Next, lower left, we form
the AND function A'B by overlapping the two previous regions. Most people would use this as the answer to
the example posed. However, only the double hatched A'B is shown far right for clarity. The expression A'B is
the region where both A' and B overlap. The clear region outside of A'B is (A'B)', which was not part of the
posed example.

Let's try something similar with the Boolean OR function.

Example:

Find B'+A
Solution:

Above right we start out with B which is complemented to B'. Finally we overlay A on top of B'. Since we are
interested in forming the OR function, we will be looking for all hatched area regardless of hatch style. Thus,
A+B' is all hatched area above right. It is shown as a single hatch region below left for clarity.

Example:

Find (A+B')'

Solution:

The green 45o A+B' hatched area was the result of the previous example. Moving on to a to,(A+B')' ,the
present example, above left, let us find the complement of A+B', which is the white clear area above left
corresponding to (A+B')'. Note that we have repeated, at right, the AB' double hatched result from a previous
example for comparison to our result. The regions corresponding to (A+B')' and AB' above left and right
respectively are identical. This can be proven with DeMorgan's theorem and double negation.

This brings up a point. Venn diagrams don't actually prove anything. Boolean algebra is needed for formal
proofs. However, Venn diagrams can be used for verification and visualization. We have verified and visualized
DeMorgan's theorem with a Venn diagram.

Example:

What does the Boolean expression A'+B' look like on a Venn Diagram?
Solution: above figure

Start out with red horizontal hatched A' and blue vertical hatched B' above. Superimpose the diagrams as
shown. We can still see the A' red horizontal hatch superimposed on the other hatch. It also fills in what used
to be part of the B (B-true) circle, but only that part of the B open circle not common to the A open circle. If
we only look at the B' blue vertical hatch, it fills that part of the open A circle not common to B. Any region
with any hatch at all, regardless of type, corresponds to A'+B'. That is, everything but the open white space in
the center.

Example:

What does the Boolean expression (A'+B')' look like on a Venn Diagram?

Solution: above figure, lower left

Looking at the white open space in the center, it is everything NOT in the previous solution of A'+B', which is
(A'+B')'.

Example:

Show that (A'+B') = AB

Solution: below figure, lower left

We previously showed on the above right diagram that the white open region is (A'+B')'. On an earlier
example we showed a doubly hatched region at the intersection (overlay) of AB. This is the left and middle
figures repeated here. Comparing the two Venn diagrams, we see that this open region , (A'+B')', is the same
as the doubly hatched region AB (A AND B). We can also prove that (A'+B')'=AB by DeMorgan's theorem and
double negation as shown above.

We show a three variable Venn diagram above with regions A (red horizontal), B (blue vertical), and, C (green
45o). In the very center note that all three regions overlap representing Boolean expression ABC. There is also
a larger petal shaped region where A and B overlap corresponding to Boolean expression AB. In a similar
manner A and C overlap producing Boolean expression AC. And B and C overlap producing Boolean expression
BC.

Looking at the size of regions described by AND expressions above, we see that region size varies with the
number of variables in the associated AND expression.
 • A, 1-variable is a large circular region.
• AB, 2-variable is a smaller petal shaped region.
• ABC, 3-variable is the smallest region.
• The more variables in the AND term, the smaller the region.

Making a Venn diagram look like a Karnaugh map

Starting with circle A in a rectangular A' universe in figure (a) below, we morph a Venn diagram into almost a
Karnaugh map.

We expand circle A at (b) and (c), conform to the rectangular A' universe at (d), and change A to a rectangle
at (e). Anything left outside of A is A' . We assign a rectangle to A' at (f). Also, we do not use shading in
Karnaugh maps. What we have so far resembles a 1-variable Karnaugh map, but is of little utility. We need
multiple variables.

Figure (a) above is the same as the previous Venn diagram showing A and A' above except that the labels A
and A' are above the diagram instead of inside the respective regions. Imagine that we have go through a
process similar to figures (a-f) to get a "square Venn diagram" for B and B' as we show in middle figure (b).
We will now superimpose the diagrams in Figures (a) and (b) to get the result at (c), just like we have been
doing for Venn diagrams. The reason we do this is so that we may observe that which may be common to two
overlapping regions-- say where A overlaps B. The lower right cell in figure (c) corresponds to AB where A
overlaps B.

We don't waste time drawing a Karnaugh map like (c) above, sketching a simplified version as above left
instead. The column of two cells under A' is understood to be associated with A', and the heading A is
associated with the column of cells under it. The row headed by B' is associated with the cells to the right of it.
In a similar manner B is associated with the cells to the right of it. For the sake of simplicity, we do not
delineate the various regions as clearly as with Venn diagrams.

The Karnaugh map above right is an alternate form used in most texts. The names of the variables are listed
next to the diagonal line. The A above the diagonal indicates that the variable A (and A') is assigned to the
columns. The 0 is a substitute for A', and the 1 substitutes for A. The B below the diagonal is associated with
the rows: 0 for B', and 1 for B

Example:

Mark the cell corresponding to the Boolean expression AB in the Karnaugh map above with a 1

Solution:

Shade or circle the region corresponding to A. Then, shade or enclose the region corresponding to B. The
overlap of the two regions is AB. Place a 1 in this cell. We do not necessarily enclose the A and B regions as at
above left.
We develop a 3-variable Karnaugh map above, starting with Venn diagram like regions. The universe (inside
the black rectangle) is split into two narrow narrow rectangular regions for A' and A. The variables B' and B
divide the universe into two square regions. C occupies a square region in the middle of the rectangle, with C'
split into two vertical rectangles on each side of the C square.

In the final figure, we superimpose all three variables, attempting to clearly label the various regions. The
regions are less obvious without color printing, more obvious when compared to the other three figures. This
3-variable K-Map (Karnaugh map) has 23 = 8 cells, the small squares within the map. Each individual cell is
uniquely identified by the three Boolean Variables (A, B, C). For example, ABC' uniquely selects the lower right
most cell(*), A'B'C' selects the upper left most cell (x).

We don't normally label the Karnaugh map as shown above left. Though this figure clearly shows map
coverage by single boolean variables of a 4-cell region. Karnaugh maps are labeled like the illustration at right.
Each cell is still uniquely identified by a 3-variable product term, a Boolean AND expression. Take, for
example, ABC' following the A row across to the right and the BC' column down, both intersecting at the lower
right cell ABC'. See (*) above figure.
The above two different forms of a 3-variable Karnaugh map are equivalent, and is the final form that it takes.
The version at right is a bit easier to use, since we do not have to write down so many boolean alphabetic
headers and complement bars, just 1s and 0s Use the form of map on the right and look for the the one at left
in some texts. The column headers on the left B'C', B'C, BC, BC' are equivalent to 00, 01, 11, 10 on the
right. The row headers A, A' are equivalent to 0, 1 on the right map.

Karnaugh Maps
Maurice Karnaugh, a telecommunications engineer, developed the Karnaugh map at Bell Labs in 1953 while
designing digital logic based telephone switching circuits.

Now that we have developed the Karnaugh map with the aid of Venn diagrams, let's put it to use. Karnaugh
maps reduce logic functions more quickly and easily compared to Boolean algebra. By reduce we mean
simplify, reducing the number of gates and inputs. We like to simplify logic to a lowest cost form to save costs
by elimination of components. We define lowest cost as being the lowest number of gates with the lowest
number of inputs per gate.

Given a choice, most students do logic simplification with Karnaugh maps rather than Boolean algebra once
they learn this tool.

Karnaugh maps, truth tables, and Boolean expressions

We show five individual items above, which are just different ways of representing the same thing: an arbitrary
2-input digital logic function. First is relay ladder logic, then logic gates, a truth table, a Karnaugh map, and a
Boolean equation. The point is that any of these are equivalent. Two inputs A and B can take on values of
either 0 or 1, high or low, open or closed, True or False, as the case may be. There are 22 = 4 combinations of
inputs producing an output. This is applicable to all five examples.

These four outputs may be observed on a lamp in the relay ladder logic, on a logic probe on the gate diagram.
These outputs may be recorded in the truth table, or in the Karnaugh map. Look at the Karnaugh map as being
a rearranged truth table. The Output of the Boolean equation may be computed by the laws of Boolean algebra
and transfered to the truth table or Karnaugh map. Which of the five equivalent logic descriptions should we
use? The one which is most useful for the task to be accomplished.
The outputs of a truth table correspond on a one-to-one basis to Karnaugh map entries. Starting at the top of
the truth table, the A=0, B=0 inputs produce an output α. Note that this same output α is found in the
Karnaugh map at the A=0, B=0 cell address, upper left corner of K-map where the A=0 row and B=0 column
intersect. The other truth table outputs β, χ, δ from inputs AB=01, 10, 11 are found at corresponding K-map
locations.

Below, we show the adjacent 2-cell regions in the 2-variable K-map with the aid of previous rectangular Venn
diagram like Boolean regions.

Cells α and χ are adjacent in the K-map as ellipses in the left most K-map below. Referring to the previous
truth table, this is not the case. There is another truth table entry (β) between them. Which brings us to the
whole point of the organizing the K-map into a square array, cells with any Boolean variables in common need
to be close to one another so as to present a pattern that jumps out at us. For cells α and χ they have the
Boolean variable B' in common. We know this because B=0 (same as B') for the column above cells α and χ.
Compare this to the square Venn diagram above the K-map.

A similar line of reasoning shows that β and δ have Boolean B (B=1) in common. Then, α and β have Boolean
A' (A=0) in common. Finally, χ and δ have Boolean A (A=1) in common. Compare the last two maps to the
middle square Venn diagram.

To summarize, we are looking for commonality of Boolean variables among cells. The Karnaugh map is
organized so that we may see that commonality. Let's try some examples.
Example:

Transfer the contents of the truth table to the Karnaugh map above.

Solution:

The truth table contains two 1s. the K- map must have both of them. locate the first 1 in the 2nd row of the
truth table above.

• note the truth table AB address

• locate the cell in the K-map having the same address
• place a 1 in that cell

Repeat the process for the 1 in the last line of the truth table.

Example:
For the Karnaugh map in the above problem, write the Boolean expression. Solution is below.

Solution:

Look for adjacent cells, that is, above or to the side of a cell. Diagonal cells are not adjacent. Adjacent cells will
have one or more Boolean variables in common.

• Group (circle) the two 1s in the column

• Find the variable(s) top and/or side which are the same for the group, Write this as the Boolean
result. It is B in our case.
• Ignore variable(s) which are not the same for a cell group. In our case A varies, is both 1 and 0,
ignore Boolean A.
• Ignore any variable not associated with cells containing 1s. B' has no ones under it. Ignore B'
• Result Out = B

This might be easier to see by comparing to the Venn diagrams to the right, specifically the B column.

Solution:

Example:

Write the Boolean expression for the Karnaugh map below.

Solution: (above)

• Group (circle) the two 1's in the row

• Find the variable(s) which are the same for the group, Out = A'

Example:

For the Truth table below, transfer the outputs to the Karnaugh, then write the Boolean expression for the
result.

Solution:

Transfer the 1s from the locations in the Truth table to the corresponding locations in the K-map.

• Group (circle) the two 1's in the column under B=1

• Group (circle) the two 1's in the row right of A=1
• Write product term for first group = B
• Write product term for second group = A
• Write Sum-Of-Products of above two terms Output = A+B

The solution of the K-map in the middle is the simplest or lowest cost solution. A less desirable solution is at
far right. After grouping the two 1s, we make the mistake of forming a group of 1-cell. The reason that this is
not desirable is that:

• The single cell has a product term of AB'

 • The corresponding solution is Output = AB' + B
• This is not the simplest solution

The way to pick up this single 1 is to form a group of two with the 1 to the right of it as shown in the lower line
of the middle K-map, even though this 1 has already been included in the column group (B). We are allowed to
re-use cells in order to form larger groups. In fact, it is desirable because it leads to a simpler result.

We need to point out that either of the above solutions, Output or Wrong Output, are logically correct. Both
circuits yield the same output. It is a matter of the former circuit being the lowest cost solution.

Example:

Fill in the Karnaugh map for the Boolean expression below, then write the Boolean expression for the result.

Solution: (above)

The Boolean expression has three product terms. There will be a 1 entered for each product term. Though, in
general, the number of 1s per product term varies with the number of variables in the product term compared
to the size of the K-map. The product term is the address of the cell where the 1 is entered. The first product
term, A'B, corresponds to the 01 cell in the map. A 1 is entered in this cell. The other two P-terms are entered
for a total of three 1s

Next, proceed with grouping and extracting the simplified result as in the previous truth table problem.

Example:

Simplify the logic diagram below.

Solution: (Figure below)

• Write the Boolean expression for the original logic diagram as shown below
• Transfer the product terms to the Karnaugh map
• Form groups of cells as in previous examples
• Write Boolean expression for groups as in previous examples
• Draw simplified logic diagram

Example:

Simplify the logic diagram below.

Solution:

• Write the Boolean expression for the original logic diagram shown above
 • Transfer the product terms to the Karnaugh map.
• It is not possible to form groups.
• No simplification is possible; leave it as it is.

No logic simplification is possible for the above diagram. This sometimes happens. Neither the methods of
Karnaugh maps nor Boolean algebra can simplify this logic further. We show an Exclusive-OR schematic
symbol above; however, this is not a logical simplification. It just makes a schematic diagram look nicer. Since
it is not possible to simplify the Exclusive-OR logic and it is widely used, it is provided by manufacturers as a
basic integrated circuit (7486).

Logic simplification with Karnaugh maps

The logic simplification examples that we have done so could have been performed with Boolean algebra about
as quickly. Real world logic simplification problems call for larger Karnaugh maps so that we may do serious
work. We will work some contrived examples in this section, leaving most of the real world applications for the
Combinatorial Logic chapter. By contrived, we mean examples which illustrate techniques. This approach will
develop the tools we need to transition to the more complex applications in the Combinatorial Logic chapter.

Larger 3-variable Karnaugh maps

We show our previously developed Karnaugh map. We will use the form on the right

Note the sequence of numbers across the top of the map. It is not in binary sequence which would be 00, 01,
10, 11. It is 00, 01, 11 10, which is Gray code sequence. Gray code sequence only changes one binary bit as
we go from one number to the next in the sequence, unlike binary. That means that adjacent cells will only
vary by one bit, or Boolean variable. This is what we need to organize the outputs of a logic function so that we
may view commonality. Moreover, the column and row headings must be in Gray code order, or the map will
not work as a Karnaugh map. Cells sharing common Boolean variables would no longer be adjacent, nor show
visual patterns. Adjacent cells vary by only one bit because a Gray code sequence varies by only one bit.

If we sketch our own Karnaugh maps, we need to generate Gray code for any size map that we may use. This
is how we generate Gray code of any size.
Note that the Gray code sequence, above right, only varies by one bit as we go down the list, or bottom to top
up the list. This property of Gray code is often useful in digital electronics in general. In particular, it is
applicable to Karnaugh maps.

Let us move on to some examples of simplification with 3-variable Karnaugh maps. We show how to map the
product terms of the unsimplified logic to the K-map. We illustrate how to identify groups of adjacent cells
which leads to a Sum-of-Products simplification of the digital logic.
Above we, place the 1's in the K-map for each of the product terms, identify a group of two, then write a p-
term (product term) for the sole group as our simplified result.

Mapping the four product terms above yields a group of four covered by Boolean A'

Mapping the four p-terms yields a group of four, which is covered by one variable C.

After mapping the six p-terms above, identify the upper group of four, pick up the lower two cells as a group of
four by sharing the two with two more from the other group. Covering these two with a group of four gives a
simpler result. Since there are two groups, there will be two p-terms in the Sum-of-Products result A'+B
The two product terms above form one group of two and simplifies to BC

Mapping the four p-terms yields a single group of four, which is B

Mapping the four p-terms above yields a group of four. Visualize the group of four by rolling up the ends of the
map to form a cylinder, then the cells are adjacent. We normally mark the group of four as above left. Out of
the variables A, B, C, there is a common variable: C'. C' is a 0 over all four cells. Final result is C'.
The six cells above from the unsimplified equation can be organized into two groups of four. These two groups
should give us two p-terms in our simplified result of A' + C'.

Below, we revisit the Toxic Waste Incinerator from the Boolean algebra chapter. See Boolean algebra chapter
for details on this example. We will simplify the logic using a Karnaugh map.

The Boolean equation for the output has four product terms. Map four 1's corresponding to the p-terms.
Forming groups of cells, we have three groups of two. There will be three p-terms in the simplified result, one
for each group. See "Toxic Waste Incinerator", Boolean algebra chapter for a gate diagram of the result, which
is reproduced below.
Below we repeat the Boolean algebra simplification of Toxic waste incinerator for comparison.
Below we repeat the Toxic waste incinerator Karnaugh map solution for comparison to the above Boolean
algebra simplification. This case illustrates why the Karnaugh map is widely used for logic simplification.
The Karnaugh map method looks easier than the previous page of boolean algebra.

Larger 4-variable Karnaugh maps

Knowing how to generate Gray code should allow us to build larger maps. Actually, all we need to do is look at
the left to right sequence across the top of the 3-variable map, and copy it down the left side of the 4-variable
map. See below.

The following four variable Karnaugh maps illustrate reduction of Boolean expressions too tedious for Boolean
algebra. Reductions could be done with Boolean algebra. However, the Karnaugh map is faster and easier,
especially if there are many logic reductions to do.

The above Boolean expression has seven product terms. They are mapped top to bottom and left to right on
the K-map above. For example, the first P-term A'B'CD is first row 3rd cell, corresponding to map location
A=0, B=0, C=1, D=1. The other product terms are placed in a similar manner. Encircling the largest groups
possible, two groups of four are shown above. The dashed horizontal group corresponds the the simplified
product term AB. The vertical group corresponds to Boolean CD. Since there are two groups, there will be two
product terms in the Sum-Of-Products result of Out=AB+CD.

Fold up the corners of the map below like it is a napkin to make the four cells physically adjacent.
The four cells above are a group of four because they all have the Boolean variables B' and D' in common. In
other words, B=0 for the four cells, and D=0 for the four cells. The other variables (A, B) are 0 in some
cases, 1 in other cases with respect to the four corner cells. Thus, these variables (A, B) are not involved with
this group of four. This single group comes out of the map as one product term for the simplified result:
Out=B'C'

For the K-map below, roll the top and bottom edges into a cylinder forming eight adjacent cells.

The above group of eight has one Boolean variable in common: B=0. Therefore, the one group of eight is
covered by one p-term: B'. The original eight term Boolean expression simplifies to Out=B'

The Boolean expression below has nine p-terms, three of which have three Booleans instead of four. The
difference is that while four Boolean variable product terms cover one cell, the three Boolean p-terms cover a
pair of cells each.
The six product terms of four Boolean variables map in the usual manner above as single cells. The three
Boolean variable terms (three each) map as cell pairs, which is shown above. Note that we are mapping p-
terms into the K-map, not pulling them out at this point.

For the simplification, we form two groups of eight. Cells in the corners are shared with both groups. This is
fine. In fact, this leads to a better solution than forming a group of eight and a group of four without sharing
any cells. Final Solution is Out=B'+D'

Below we map the unsimplified Boolean expression to the Karnaugh map.

Above, three of the cells form into a groups of two cells. A fourth cell cannot be combined with anything, which
often happens in "real world" problems. In this case, the Boolean p-term ABCD is unchanged in the
simplification process. Result: Out= B'C'D'+A'B'D+ABCD

Often times there is more than one minimum cost solution to a simplification problem. Such is the case
illustrated below.
Both results above have four product terms of three Boolean variable each. Both are equally valid minimal cost
solutions. The difference in the final solution is due to how the cells are grouped as shown above. A minimal
cost solution is a valid logic design with the minimum number of gates with the minimum number of inputs.

Below we map the unsimplified Boolean equation as usual and form a group of four as a first simplification
step. It may not be obvious how to pick up the remaining cells.

Pick up three more cells in a group of four, center above. There are still two cells remaining. the minimal cost
method to pick up those is to group them with neighboring cells as groups of four as at above right.

On a cautionary note, do not attempt to form groups of three. Groupings must be powers of 2, that is, 1, 2, 4,
8 ...
Below we have another example of two possible minimal cost solutions. Start by forming a couple of groups of
four after mapping the cells.

The two solutions depend on whether the single remaining cell is grouped with the first or the second group of
four as a group of two cells. That cell either comes out as either ABC' or ABD, your choice. Either way, this cell
is covered by either Boolean product term. Final results are shown above.

Below we have an example of a simplification using the Karnaugh map at left or Boolean algebra at right. Plot
C' on the map as the area of all cells covered by address C=0, the 8-cells on the left of the map. Then, plot
the single ABCD cell. That single cell forms a group of 2-cell as shown, which simplifies to P-term ABD, for an
end result of Out = C' + ABD.

This (above) is a rare example of a four variable problem that can be reduced with Boolean algebra without a
lot of work, assuming that you remember the theorems.
Minterm vs Maxterm Solution

So far we have been finding Sum-Of-Product (SOP) solutions to logic reduction problems. For each of these
SOP solutions, there is also a Product-Of-Sums solution (POS), which could be more useful, depending on the
application. Before working a Product-Of-Sums solution, we need to introduce some new terminology. The
procedure below for mapping product terms is not new to this chapter. We just want to establish a formal
procedure for minterms for comparison to the new procedure for maxterms.

A minterm is a Boolean expression resulting in 1 for the output of a single cell, and 0s for all other cells in a
Karnaugh map, or truth table. If a minterm has a single 1 and the remaining cells as 0s, it would appear to
cover a minimum area of 1s. The illustration above left shows the minterm ABC, a single product term, as a
single 1 in a map that is otherwise 0s. We have not shown the 0s in our Karnaugh maps up to this point, as it
is customary to omit them unless specifically needed. Another minterm A'BC' is shown above right. The point
to review is that the address of the cell corresponds directly to the minterm being mapped. That is, the cell
111 corresponds to the minterm ABC above left. Above right we see that the minterm A'BC' corresponds
directly to the cell 010. A Boolean expression or map may have multiple minterms.

Referring to the above figure, Let's summarize the procedure for placing a minterm in a K-map:

• Identify the minterm (product term) term to be mapped.

• Write the corresponding binary numeric value.
• Use binary value as an address to place a 1 in the K-map
• Repeat steps for other minterms (P-terms within a Sum-Of-Products).
A Boolean expression will more often than not consist of multiple minterms corresponding to multiple cells in a
Karnaugh map as shown above. The multiple minterms in this map are the individual minterms which we
examined in the previous figure above. The point we review for reference is that the 1s come out of the K-map
as a binary cell address which converts directly to one or more product terms. By directly we mean that a 0
corresponds to a complemented variable, and a 1 corresponds to a true variable. Example: 010 converts
directly to A'BC'. There was no reduction in this example. Though, we do have a Sum-Of-Products result from
the minterms.

Referring to the above figure, Let's summarize the procedure for writing the Sum-Of-Products reduced Boolean
equation from a K-map:

• Form largest groups of 1s possible covering all minterms. Groups must be a power of 2.
• Write binary numeric value for groups.
• Convert binary value to a product term.
• Repeat steps for other groups. Each group yields a p-terms within a Sum-Of-Products.

Nothing new so far, a formal procedure has been written down for dealing with minterms. This serves as a
pattern for dealing with maxterms.

Next we attack the Boolean function which is 0 for a single cell and 1s for all others.

A maxterm is a Boolean expression resulting in a 0 for the output of a single cell expression, and 1s for all
other cells in the Karnaugh map, or truth table. The illustration above left shows the maxterm (A+B+C), a
single sum term, as a single 0 in a map that is otherwise 1s. If a maxterm has a single 0 and the remaining
cells as 1s, it would appear to cover a maximum area of 1s.

There are some differences now that we are dealing with something new, maxterms. The maxterm is a 0, not
a 1 in the Karnaugh map. A maxterm is a sum term, (A+B+C) in our example, not a product term.

It also looks strange that (A+B+C) is mapped into the cell 000. For the equation Out=(A+B+C)=0, all three
variables (A, B, C) must individually be equal to 0. Only (0+0+0)=0 will equal 0. Thus we place our sole 0
for minterm (A+B+C) in cell A,B,C=000 in the K-map, where the inputs are all0 . This is the only case which
will give us a 0 for our maxterm. All other cells contain 1s because any input values other than ((0,0,0) for
(A+B+C) yields 1s upon evaluation.

Referring to the above figure, the procedure for placing a maxterm in the K-map is:

• Identify the Sum term to be mapped.

• Write corresponding binary numeric value.
• Form the complement
• Use the complement as an address to place a 0 in the K-map
• Repeat for other maxterms (Sum terms within Product-of-Sums expression).
Another maxterm A'+B'+C' is shown above. Numeric 000 corresponds to A'+B'+C'. The complement is 111.
Place a 0 for maxterm (A'+B'+C') in this cell (1,1,1) of the K-map as shown above.

Why should (A'+B'+C') cause a 0 to be in cell 111? When A'+B'+C' is (1'+1'+1'), all 1s in, which is
(0+0+0) after taking complements, we have the only condition that will give us a 0. All the 1s are
complemented to all 0s, which is 0 when ORed.

A Boolean Product-Of-Sums expression or map may have multiple maxterms as shown above. Maxterm
(A+B+C) yields numeric 111 which complements to 000, placing a 0 in cell (0,0,0). Maxterm (A+B+C')
yields numeric 110 which complements to 001, placing a 0 in cell (0,0,1).

Now that we have the k-map setup, what we are really interested in is showing how to write a Product-Of-
Sums reduction. Form the 0s into groups. That would be a group of two below. Write the binary value
corresponding to the sum-term which is (0,0,X). Both A and B are 0 for the group. But, C is both 0 and 1 so
we write an X as a place holder for C. Form the complement (1,1,X). Write the Sum-term (A+B) discarding
the C and the X which held its' place. In general, expect to have more sum-terms multiplied together in the
Product-Of-Sums result. Though, we have a simple example here.
Let's summarize the procedure for writing the Product-Of-Sums Boolean reduction for a K-map:

• Form largest groups of 0s possible, covering all maxterms. Groups must be a power of 2.
• Write binary numeric value for group.
• Complement binary numeric value for group.
• Convert complement value to a sum-term.
• Repeat steps for other groups. Each group yields a sum-term within a Product-Of-Sums result.

Example:

Simplify the Product-Of-Sums Boolean expression below, providing a result in POS form.

Solution:

Transfer the seven maxterms to the map below as 0s. Be sure to complement the input variables in finding the
proper cell location.
We map the 0s as they appear left to right top to bottom on the map above. We locate the last three
maxterms with leader lines..

Once the cells are in place above, form groups of cells as shown below. Larger groups will give a sum-term
with fewer inputs. Fewer groups will yield fewer sum-terms in the result.

We have three groups, so we expect to have three sum-terms in our POS result above. The group of 4-cells
yields a 2-variable sum-term. The two groups of 2-cells give us two 3-variable sum-terms. Details are shown
for how we arrived at the Sum-terms above. For a group, write the binary group input address, then
complement it, converting that to the Boolean sum-term. The final result is product of the three sums.

Example:

Simplify the Product-Of-Sums Boolean expression below, providing a result in SOP form.
Solution:

This looks like a repeat of the last problem. It is except that we ask for a Sum-Of-Products Solution instead of
the Product-Of-Sums which we just finished. Map the maxterm 0s from the Product-Of-Sums given as in the
previous problem, below left.

Then fill in the implied 1s in the remaining cells of the map above right.

Form groups of 1s to cover all 1s. Then write the Sum-Of-Products simplified result as in the previous
subsection of this chapter. This is identical to a previous problem.
Above we show both the Product-Of-Sums solution, from the previous example, and the Sum-Of-Products
solution from the current problem for comparison. Which is the simpler solution? The POS uses 3-OR gates and
1-AND gate, while the SOP uses 3-AND gates and 1-OR gate. Both use four gates each. Taking a closer look,
we count the number of gate inputs. The POS uses 8-inputs; the SOP uses 7-inputs. By the definition of
minimal cost solution, the SOP solution is simpler. This is an example of a technically correct answer that is of
little use in the real world.

The better solution depends on complexity and the logic family being used. The SOP solution is usually better if
using the TTL logic family, as NAND gates are the basic building block, which works well with SOP
implementations. On the other hand, A POS solution would be acceptable when using th CMOS logic family
since all sizes of NOR gates are available.

The gate diagrams for both cases are shown above, Product-Of-Sums left, and Sum-Of-Products right.

Below, we take a closer look at the Sum-Of-Products version of our example logic, which is repeated at left.
Above all AND gates at left have been replaced by NAND gates at right.. The OR gate at the output is replaced
by a NAND gate. To prove that AND-OR logic is equivalent to NAND-NAND logic, move the inverter invert
bubbles at the output of the 3-NAND gates to the input of the final NAND as shown in going from above right
to below left.

Above right we see that the output NAND gate with inverted inputs is logically equivalent to an OR gate by
DeMorgan's theorem and double negation. This information is useful in building digital logic in a laboratory
setting where TTL logic family NAND gates are more readily available in a wide variety of configurations than
other types.

The Procedure for constructing NAND-NAND logic, in place of AND-OR logic is as follows:

• Produce a reduced Sum-Of-Products logic design.

• When drawing the wiring diagram of the SOP, replace all gates (both AND and OR) with NAND gates.
• Unused inputs should be tied to logic High.
• In case of troubleshooting, internal nodes at the first level of NAND gate outputs do NOT match AND-
OR diagram logic levels, but are inverted. Use the NAND-NAND logic diagram. Inputs and final output
are identical, though.
• Label any multiple packages U1, U2,.. etc.
• Use data sheet to assign pin numbers to inputs and outputs of all gates.

Example:
Let us revisit a previous problem involving an SOP minimization. Produce a Product-Of-Sums solution. Compare
the POS solution to the previous SOP.

Solution:

Above left we have the original problem starting with a 9-minterm Boolean unsimplified expression. Reviewing,
we formed four groups of 4-cells to yield a 4-product-term SOP result, lower left.

In the middle figure, above, we fill in the empty spaces with the implied 0s. The 0s form two groups of 4-cells.
The solid red group is (A'+B), the dashed red group is (C'+D). This yields two sum-terms in the Product-Of-
Sums result, above right Out = (A'+B)(C'+D)

Comparing the previous SOP simplification, left, to the POS simplification, right, shows that the POS is the least
cost solution. The SOP uses 5-gates total, the POS uses only 3-gates. This POS solution even looks attractive
when using TTL logic due to simplicity of the result. We can find AND gates and an OR gate with 2-inputs.
The SOP and POS gate diagrams are shown above for our comparison problem.

Given the pin-outs for the TTL logic family integrated circuit gates below, label the maxterm diagram above
right with Circuit designators (U1-a, U1-b, U2-a, etc), and pin numbers.

Each integrated circuit package that we use will receive a circuit designator: U1, U2, U3. To distinguish
between the individual gates within the package, they are identified as a, b, c, d, etc. The 7404 hex-inverter
package is U1. The individual inverters in it are are U1-a, U1-b, U1-c, etc. U2 is assigned to the 7432 quad OR
gate. U3 is assigned to the 7408 quad AND gate. With reference to the pin numbers on the package diagram
above, we assign pin numbers to all gate inputs and outputs on the schematic diagram below.

We can now build this circuit in a laboratory setting. Or, we could design a printed circuit board for it. A printed
circuit board contains copper foil "wiring" backed by a non conductive substrate of phenolic, or epoxy-
fiberglass. Printed circuit boards are used to mass produce electronic circuits. Ground the inputs of unused
gates.
Label the previous POS solution diagram above left (third figure back) with Circuit designators and pin
numbers. This will be similar to what we just did.

We can find 2-input AND gates, 7408 in the previous example. However, we have trouble finding a 4-input OR
gate in our TTL catalog. The only kind of gate with 4-inputs is the 7420 NAND gate shown above right.

We can make the 4-input NAND gate into a 4-input OR gate by inverting the inputs to the NAND gate as shown
below. So we will use the 7420 4-input NAND gate as an OR gate by inverting the inputs.

We will not use discrete inverters to invert the inputs to the 7420 4-input NAND gate, but will drive it with 2-
input NAND gates in place of the AND gates called for in the SOP, minterm, solution. The inversion at the
output of the 2-input NAND gates supply the inversion for the 4-input OR gate.
The result is shown above. It is the only practical way to actually build it with TTL gates by using NAND-NAND
logic replacing AND-OR logic.

Σ (sum) and Π (product) notation

For reference, this section introduces the terminology used in some texts to describe the minterms and
maxterms assigned to a Karnaugh map. Otherwise, there is no new material here.

Σ (sigma) indicates sum and lower case "m" indicates minterms. Σm indicates sum of minterms. The following
example is revisited to illustrate our point. Instead of a Boolean equation description of unsimplified logic, we
list the minterms.

f(A,B,C,D) = Σ m(1, 2, 3, 4, 5, 7, 8, 9, 11, 12, 13, 15)

or

f(A,B,C,D) = Σ(m1,m2,m3,m4,m5,m7,m8,m9,m11,m12,m13,m15)

The numbers indicate cell location, or address, within a Karnaugh map as shown below right. This is certainly a
compact means of describing a list of minterms or cells in a K-map.
The Sum-Of-Products solution is not affected by the new terminology. The minterms, 1s, in the map have been
grouped as usual and a Sum-OF-Products solution written.

Below, we show the terminology for describing a list of maxterms. Product is indicated by the Greek Π (pi), and
upper case "M" indicates maxterms. ΠM indicates product of maxterms. The same example illustrates our
point. The Boolean equation description of unsimplified logic, is replaced by a list of maxterms.

f(A,B,C,D) = Π M(2, 6, 8, 9, 10, 11, 14)

or

f(A,B,C,D) = Π(M2, M6, M8, M9, M10, M11, M14)

Once again, the numbers indicate K-map cell address locations. For maxterms this is the location of 0s, as
shown below. A Product-OF-Sums solution is completed in the usual manner.
Don't Care cells in the Karnaugh map

Up to this point we have considered logic reduction problems where the input conditions were completely
specified. That is, a 3-variable truth table or Karnaugh map had 2n = 23 or 8-entries, a full table or map. It is
not always necessary to fill in the complete truth table for some real-world problems. We may have a choice to
not fill in the complete table.

For example, when dealing with BCD (Binary Coded Decimal) numbers encoded as four bits, we may not care
about any codes above the BCD range of (0, 1, 2...9). The 4-bit binary codes for the hexadecimal numbers
(Ah, Bh, Ch, Eh, Fh) are not valid BCD codes. Thus, we do not have to fill in those codes at the end of a truth
table, or K-map, if we do not care to. We would not normally care to fill in those codes because those codes
(1010, 1011, 1100, 1101, 1110, 1111) will never exist as long as we are dealing only with BCD encoded
numbers. These six invalid codes are don't cares as far as we are concerned. That is, we do not care what
output our logic circuit produces for these don't cares.

Don't cares in a Karnaugh map, or truth table, may be either 1s or 0s, as long as we don't care what the
output is for an input condition we never expect to see. We plot these cells with an asterisk, *, among the
normal 1s and 0s. When forming groups of cells, treat the don't care cell as either a 1 or a 0, or ignore the
don't cares. This is helpful if it allows us to form a larger group than would otherwise be possible without the
don't cares. There is no requirement to group all or any of the don't cares. Only use them in a group if it
simplifies the logic.
Above is an example of a logic function where the desired output is 1 for input ABC = 101 over the range
from 000 to 101. We do not care what the output is for the other possible inputs (110, 111). Map those two
as don't cares. We show two solutions. The solution on the right Out = AB'C is the more complex solution since
we did not use the don't care cells. The solution in the middle, Out=AC, is less complex because we grouped a
don't care cell with the single 1 to form a group of two. The third solution, a Product-Of-Sums on the right,
results from grouping a don't care with three zeros forming a group of four 0s. This is the same, less complex,
Out=AC. We have illustrated that the don't care cells may be used as either 1s or 0s, whichever is useful.

The electronics class of Lightning State College has been asked to build the lamp logic for a stationary bicycle
exhibit at the local science museum. As a rider increases his pedaling speed, lamps will light on a bar graph
display. No lamps will light for no motion. As speed increases, the lower lamp, L1 lights, then L1 and L2, then,
L1, L2, and L3, until all lamps light at the highest speed. Once all the lamps illuminate, no further increase in
speed will have any effect on the display.

A small DC generator coupled to the bicycle tire outputs a voltage proportional to speed. It drives a tachometer
board which limits the voltage at the high end of speed where all lamps light. No further increase in speed can
increase the voltage beyond this level. This is crucial because the downstream A to D (Analog to Digital)
converter puts out a 3-bit code, ABC, 23 or 8-codes, but we only have five lamps. A is the most significant bit,
C the least significant bit.

The lamp logic needs to respond to the six codes out of the A to D. For ABC=000, no motion, no lamps light.
For the five codes (001 to 101) lamps L1, L1&L2, L1&L2&L3, up to all lamps will light, as speed, voltage, and
the A to D code (ABC) increases. We do not care about the response to input codes (110, 111) because these
codes will never come out of the A to D due to the limiting in the tachometer block. We need to design five
logic circuits to drive the five lamps.
Since, none of the lamps light for ABC=000 out of the A to D, enter a 0 in all K-maps for cell ABC=000. Since
we don't care about the never to be encountered codes (110, 111), enter asterisks into those two cells in all
five K-maps.

Lamp L5 will only light for code ABC=101. Enter a 1 in that cell and five 0s into the remaining empty cells of
L5 K-map.

L4 will light initially for code ABC=100, and will remain illuminated for any code greater, ABC=101, because
all lamps below L5 will light when L5 lights. Enter 1s into cells 100 and 101 of the L4 map so that it will light
for those codes. Four 0's fill the remaining L4 cells

L3 will initially light for code ABC=011. It will also light whenever L5 and L4 illuminate. Enter three 1s into
cells 011, 100, 101 for L3 map. Fill three 0s into the remaining L3 cells.

L2 lights for ABC=010 and codes greater. Fill 1s into cells 010, 011, 100, 101, and two 0s in the remaining
cells.

The only time L1 is not lighted is for no motion. There is already a 0 in cell ABC=000. All the other five cells
receive 1s.

Group the 1's as shown above, using don't cares whenever a larger group results. The L1 map shows three
product terms, corresponding to three groups of 4-cells. We used both don't cares in two of the groups and one
don't care on the third group. The don't cares allowed us to form groups of four.

In a similar manner, the L2 and L4 maps both produce groups of 4-cells with the aid of the don't care cells. The
L4 reduction is striking in that the L4 lamp is controlled by the most significant bit from the A to D converter,
L5=A. No logic gates are required for lamp L4. In the L3 and L5 maps, single cells form groups of two with
don't care cells. In all five maps, the reduced Boolean equation is less complex than without the don't cares.
The gate diagram for the circuit is above. The outputs of the five K-map equations drive inverters. Note that
the L1 OR gate is not a 3-input gate but a 2-input gate having inputs (A+B), C, outputting A+B+C The open
collector inverters, 7406, are desirable for driving LEDs, though, not part of the K-map logic design. The
output of an open collecter gate or inverter is open circuited at the collector internal to the integrated circuit
package so that all collector current may flow through an external load. An active high into any of the inverters
pulls the output low, drawing current through the LED and the current limiting resistor. The LEDs would likely
be part of a solid state relay driving 120VAC lamps for a museum exhibit, not shown here.

Larger 5 & 6-variable Karnaugh maps

Larger Karnaugh maps reduce larger logic designs. How large is large enough? That depends on the number of
inputs, fan-ins, to the logic circuit under consideration. One of the large programmable logic companies has an
answer.

Altera's own data, extracted from its library of customer designs, supports the value of
heterogeneity. By examining logic cones, mapping them onto LUT-based nodes and sorting
them by the number of inputs that would be best at each node, Altera found that the
distribution of fan-ins was nearly flat between two and six inputs, with a nice peak at five.

The answer is no more than six inputs for most all designs, and five inputs for the average logic design. The
five variable Karnaugh map follows.
The older version of the five variable K-map, a Gray Code map or reflection map, is shown above. The top (and
side for a 6-variable map) of the map is numbered in full Gray code. The Gray code reflects about the middle of
the code. This style map is found in older texts. The newer preferred style is below.

The overlay version of the Karnaugh map, shown above, is simply two (four for a 6-variable map) identical
maps except for the most significant bit of the 3-bit address across the top. If we look at the top of the map,
we will see that the numbering is different from the previous Gray code map. If we ignore the most significant
digit of the 3-digit numbers, the sequence 00, 01, 11, 10 is at the heading of both sub maps of the overlay
map. The sequence of eight 3-digit numbers is not Gray code. Though the sequence of four of the least
significant two bits is.

Let's put our 5-variable Karnaugh Map to use. Design a circuit which has a 5-bit binary input (A, B, C, D, E),
with A being the MSB (Most Significant Bit). It must produce an output logic High for any prime number
detected in the input data.
We show the solution above on the older Gray code (reflection) map for reference. The prime numbers are
(1,2,3,5,7,11,13,17,19,23,29,31). Plot a 1 in each corresponding cell. Then, proceed with grouping of the cells.
Finish by writing the simplified result. Note that 4-cell group A'B'E consists of two pairs of cell on both sides of
the mirror line. The same is true of the 2-cell group AB'DE. It is a group of 2-cells by being reflected about the
mirror line. When using this version of the K-map look for mirror images in the other half of the map.

Out = A'B'E + B'C'E + A'C'DE + A'CD'E + ABCE + AB'DE + A'B'C'D

Below we show the more common version of the 5-variable map, the overlay map.
If we compare the patterns in the two maps, some of the cells in the right half of the map are moved around
since the addressing across the top of the map is different. We also need to take a different approach at
spotting commonality between the two halves of the map. Overlay one half of the map atop the other half. Any
overlap from the top map to the lower map is a potential group. The figure below shows that group AB'DE is
composed of two stacked cells. Group A'B'E consists of two stacked pairs of cells.

For the A'B'E group of 4-cells ABCDE = 00xx1 for the group. That is A,B,E are the same 001 respectively for
the group. And, CD=xx that is it varies, no commonality in CD=xx for the group of 4-cells. Since ABCDE =
00xx1, the group of 4-cells is covered by A'B'XXE = A'B'E.

The above 5-variable overlay map is shown stacked.

An example of a six variable Karnaugh map follows. We have mentally stacked the four sub maps too see the
group of 4-cells
A magnitude comparator (used to illustrate a 6-variable K-map) compares two binary numbers, indicating if
they are equal, greater than, or less than each other on three respective outputs. A three bit magnitude
comparator has two inputs A2A1A0 and B2B1B0 An integrated circuit magnitude comparator (7485) would
actually have four inputs, But, the Karnaugh map below needs to be kept to a reasonable size. We will only
solve for the A>B output.

Below, a 6-variable Karnaugh map aids simplification of the logic for a 3-bit magnitude comparator. This is an
overlay type of map. The binary address code across the top and down the left side of the map is not a full 3-
bit Gray code. Though the 2-bit address codes of the four sub maps is Gray code. Find redundant expressions
by stacking the four sub maps atop one another (shown above). There could be cells common to all four maps,
though not in the example below. It does have cells common to pairs of sub maps.

The A>B output above is ABC>XYZ on the map below.

Below, a 6-variable Karnaugh map aids simplification of the logic for a 3-bit magnitude comparator. This is an
overlay type of map. The binary address code across the top and down the left side of the map is not a full 3-
bit Gray code. Though the 2-bit address codes of the four sub maps is Gray code. Find redundant expressions
by stacking the four sub maps atop one another (shown above). There could be cells common to all four maps,
though not in the example below. It does have cells common to pairs of sub maps.

The A>B output above is ABC>XYZ on the map below.

Where ever ABC is greater than XYZ, a 1 is plotted. In the first line ABC=000 cannot be greater than any of
the values of XYZ. No 1s in this line. In the second line, ABC=001, only the first cell ABCXYZ= 001000 is
ABC greater than XYZ. A single 1 is entered in the first cell of the second line. The fourth line, ABC=010, has
a pair of 1s. The third line, ABC=011 has three 1s. Thus, the map is filled with 1s in any cells where ABC is
greater than XXZ.

Where ever ABC is greater than XYZ, a 1 is plotted. In the first line ABC=000 cannot be greater than any of
the values of XYZ. No 1s in this line. In the second line, ABC=001, only the first cell ABCXYZ= 001000 is
ABC greater than XYZ. A single 1 is entered in the first cell of the second line. The fourth line, ABC=010, has
a pair of 1s. The third line, ABC=011 has three 1s. Thus, the map is filled with 1s in any cells where ABC is
greater than XXZ.

In grouping cells, form groups with adjacent sub maps if possible. All but one group of 16-cells involves cells
from pairs of the sub maps. Look for the following groups:

• 1 group of 16-cells
• 2 groups of 8-cells
• 4 groups of 4-cells

The group of 16-cells, AX' occupies all of the lower right sub map; though, we don't circle it on the figure
above.
One group of 8-cells is composed of a group of 4-cells in the upper sub map overlaying a similar group in the
lower left map. The second group of 8-cells is composed of a similar group of 4-cells in the right sub map
overlaying the same group of 4-cells in the lower left map.

The four groups of 4-cells are shown on the Karnaugh map above with the associated product terms. Along
with the product terms for the two groups of 8-cells and the group of 16-cells, the final Sum-Of-Products
reduction is shown, all seven terms. Counting the 1s in the map, there is a total of 16+6+6=28 ones. Before
the K-map logic reduction there would have been 28 product terms in our SOP output, each with 6-inputs. The
Karnaugh map yielded seven product terms of four or less inputs. This is really what Karnaugh maps are all
about!

The wiring diagram is not shown. However, here is the parts list for the 3-bit magnitude comparator for
ABC>XYZ using 4 TTL logic family parts:

• 1 ea 7410 triple 3-input NAND gate AX', ABY', BX'Y'

• 2 ea 7420 dual 4-input NAND gate ABCZ', ACY'Z', BCX'Z', CX'Y'Z'
• 1 ea 7430 8-input NAND gate for output of 7-P-terms

• REVIEW:
• Boolean algebra, Karnaugh maps, and CAD (Computer Aided Design) are methods of logic
simplification. The goal of logic simplification is a minimal cost solution.
• A minimal cost solution is a valid logic reduction with the minimum number of gates with the
minimum number of inputs.
• Venn diagrams allow us to visualize Boolean expressions, easing the transition to Karnaugh maps.
• Karnaugh map cells are organized in Gray code order so that we may visualize redundancy in Boolean
expressions which results in simplification.
• The more common Sum-Of-Products (Sum of Minters) expressions are implemented as AND gates
(products) feeding a single OR gate (sum).
• Sum-Of-Products expressions (AND-OR logic) are equivalent to a NAND-NAND implementation. All
AND gates and OR gates are replaced by NAND gates.
• Less often used, Product-Of-Sums expressions are implemented as OR gates (sums) feeding into a
single AND gate (product). Product-Of-Sums expressions are based on the 0s, maxterms, in a
Karnaugh map.

Chapter 9: COMBINATIONAL LOGIC FUNCTIONS

Chapter 10: MULTIVIBRATORS

Digital logic with feedback

With simple gate and combinational logic circuits, there is a definite output state for any given input state.
Take the truth table of an OR gate, for instance:
For each of the four possible combinations of input states (0-0, 0-1, 1-0, and 1-1), there is one, definite,
unambiguous output state. Whether we're dealing with a multitude of cascaded gates or a single gate, that
output state is determined by the truth table(s) for the gate(s) in the circuit, and nothing else.

However, if we alter this gate circuit so as to give signal feedback from the output to one of the inputs, strange
things begin to happen:
We know that if A is 1, the output must be 1, as well. Such is the nature of an OR gate: any "high" (1) input
forces the output "high" (1). If A is "low" (0), however, we cannot guarantee the logic level or state of the
output in our truth table. Since the output feeds back to one of the OR gate's inputs, and we know that any 1
input to an OR gates makes the output 1, this circuit will "latch" in the 1 output state after any time that A is 1.
When A is 0, the output could be either 0 or 1, depending on the circuit's prior state! The proper way to
complete the above truth table would be to insert the word latch in place of the question mark, showing that
the output maintains its last state when A is 0.

Any digital circuit employing feedback is called a multivibrator. The example we just explored with the OR gate
was a very simple example of what is called a bistable multivibrator. It is called "bistable" because it can hold
stable in one of two possible output states, either 0 or 1. There are also monostable multivibrators, which have
only one stable output state (that other state being momentary), which we'll explore later; and astable
multivibrators, which have no stable state (oscillating back and forth between an output of 0 and 1).

A very simple astable multivibrator is an inverter with the output fed directly back to the input:
When the input is 0, the output switches to 1. That 1 output gets fed back to the input as a 1. When the input
is 1, the output switches to 0. That 0 output gets fed back to the input as a 0, and the cycle repeats itself. The
result is a high frequency (several megahertz) oscillator, if implemented with a solid-state (semiconductor)
inverter gate:

If implemented with relay logic, the resulting oscillator will be considerably slower, cycling at a frequency well
within the audio range. The buzzer or vibrator circuit thus formed was used extensively in early radio circuitry,
as a way to convert steady, low-voltage DC power into pulsating DC power which could then be stepped up in
voltage through a transformer to produce the high voltage necessary for operating the vacuum tube amplifiers.
Henry Ford's engineers also employed the buzzer/transformer circuit to create continuous high voltage for
operating the spark plugs on Model T automobile engines:

Borrowing terminology from the old mechanical buzzer (vibrator) circuits, solid-state circuit engineers referred
to any circuit with two or more vibrators linked together as a multivibrator. The astable multivibrator
mentioned previously, with only one "vibrator," is more commonly implemented with multiple gates, as we'll
see later.

The most interesting and widely used multivibrators are of the bistable variety, so we'll explore them in detail
now.

The S-R latch

A bistable multivibrator has two stable states, as indicated by the prefix bi in its name. Typically, one state is
referred to as set and the other as reset. The simplest bistable device, therefore, is known as a set-reset, or S-
R, latch.

To create an S-R latch, we can wire two NOR gates in such a way that the output of one feeds back to the
input of another, and visa-versa, like this:
The Q and not-Q outputs are supposed to be in opposite states. I say "supposed to" because making both the
S and R inputs equal to 1 results in both Q and not-Q being 0. For this reason, having both S and R equal to 1
is called an invalid or illegal state for the S-R multivibrator. Otherwise, making S=1 and R=0 "sets" the
multivibrator so that Q=1 and not-Q=0. Conversely, making R=1 and S=0 "resets" the multivibrator in the
opposite state. When S and R are both equal to 0, the multivibrator's outputs "latch" in their prior states. Note
how the same multivibrator function can be implemented in ladder logic, with the same results:

By definition, a condition of Q=1 and not-Q=0 is set. A condition of Q=0 and not-Q=1 is reset. These terms are
universal in describing the output states of any multivibrator circuit.

The astute observer will note that the initial power-up condition of either the gate or ladder variety of S-R latch
is such that both gates (coils) start in the de-energized mode. As such, one would expect that the circuit will
start up in an invalid condition, with both Q and not-Q outputs being in the same state. Actually, this is true!
However, the invalid condition is unstable with both S and R inputs inactive, and the circuit will quickly stabilize
in either the set or reset condition because one gate (or relay) is bound to react a little faster than the other. If
both gates (or coils) were precisely identical, they would oscillate between high and low like an astable
multivibrator upon power-up without ever reaching a point of stability! Fortunately for cases like this, such a
precise match of components is a rare possibility.

It must be noted that although an astable (continually oscillating) condition would be extremely rare, there will
most likely be a cycle or two of oscillation in the above circuit, and the final state of the circuit (set or reset)
after power-up would be unpredictable. The root of the problem is a race condition between the two relays CR1
and CR2.
A race condition occurs when two mutually-exclusive events are simultaneously initiated through different
circuit elements by a single cause. In this case, the circuit elements are relays CR1 and CR2, and their de-
energized states are mutually exclusive due to the normally-closed interlocking contacts. If one relay coil is de-
energized, its normally-closed contact will keep the other coil energized, thus maintaining the circuit in one of
two states (set or reset). Interlocking prevents both relays from latching. However, if both relay coils start in
their de-energized states (such as after the whole circuit has been de-energized and is then powered up) both
relays will "race" to become latched on as they receive power (the "single cause") through the normally-closed
contact of the other relay. One of those relays will inevitably reach that condition before the other, thus
opening its normally-closed interlocking contact and de-energizing the other relay coil. Which relay "wins" this
race is dependent on the physical characteristics of the relays and not the circuit design, so the designer
cannot ensure which state the circuit will fall into after power-up.

Race conditions should be avoided in circuit design primarily for the unpredictability that will be created. One
way to avoid such a condition is to insert a time-delay relay into the circuit to disable one of the competing
relays for a short time, giving the other one a clear advantage. In other words, by purposely slowing down the
de-energization of one relay, we ensure that the other relay will always "win" and the race results will always
be predictable. Here is an example of how a time-delay relay might be applied to the above circuit to avoid the
race condition:

When the circuit powers up, time-delay relay contact TD1 in the fifth rung down will delay closing for 1 second.
Having that contact open for 1 second prevents relay CR2 from energizing through contact CR1 in its normally-
closed state after power-up. Therefore, relay CR1 will be allowed to energize first (with a 1-second head start),
thus opening the normally-closed CR1 contact in the fifth rung, preventing CR2 from being energized without
the S input going active. The end result is that the circuit powers up cleanly and predictably in the reset state
with S=0 and R=0.

It should be mentioned that race conditions are not restricted to relay circuits. Solid-state logic gate circuits
may also suffer from the ill effects of race conditions if improperly designed. Complex computer programs, for
that matter, may also incur race problems if improperly designed. Race problems are a possibility for any
sequential system, and may not be discovered until some time after initial testing of the system. They can be
very difficult problems to detect and eliminate.

A practical application of an S-R latch circuit might be for starting and stopping a motor, using normally-open,
momentary pushbutton switch contacts for both start (S) and stop (R) switches, then energizing a motor
contactor with either a CR1 or CR2 contact (or using a contactor in place of CR1 or CR2). Normally, a much
simpler ladder logic circuit is employed, such as this:

In the above motor start/stop circuit, the CR1 contact in parallel with the start switch contact is referred to as a
"seal-in" contact, because it "seals" or latches control relay CR1 in the energized state after the start switch has
been released. To break the "seal," or to "unlatch" or "reset" the circuit, the stop pushbutton is pressed, which
de-energizes CR1 and restores the seal-in contact to its normally open status. Notice, however, that this circuit
performs much the same function as the S-R latch. Also note that this circuit has no inherent instability
problem (if even a remote possibility) as does the double-relay S-R latch design.

In semiconductor form, S-R latches come in prepackaged units so that you don't have to build them from
individual gates. They are symbolized as such:

• REVIEW:
• A bistable multivibrator is one with two stable output states.
• In a bistable multivibrator, the condition of Q=1 and not-Q=0 is defined as set. A condition of Q=0
and not-Q=1 is conversely defined as reset. If Q and not-Q happen to be forced to the same state
(both 0 or both 1), that state is referred to as invalid.
• In an S-R latch, activation of the S input sets the circuit, while activation of the R input resets the
circuit. If both S and R inputs are activated simultaneously, the circuit will be in an invalid condition.
• A race condition is a state in a sequential system where two mutually-exclusive events are
simultaneously initiated by a single cause.

The gated S-R latch

It is sometimes useful in logic circuits to have a multivibrator which changes state only when certain conditions
are met, regardless of its S and R input states. The conditional input is called the enable, and is symbolized by
the letter E. Study the following example to see how this works:
When the E=0, the outputs of the two AND gates are forced to 0, regardless of the states of either S or R.
Consequently, the circuit behaves as though S and R were both 0, latching the Q and not-Q outputs in their
last states. Only when the enable input is activated (1) will the latch respond to the S and R inputs. Note the
identical function in ladder logic:

A practical application of this might be the same motor control circuit (with two normally-open pushbutton
switches for start and stop), except with the addition of a master lockout input (E) that disables both
pushbuttons from having control over the motor when it's low (0).

Once again, these multivibrator circuits are available as prepackaged semiconductor devices, and are
symbolized as such:
It is also common to see the enable input designated by the letters "EN" instead of just "E."

• REVIEW:
• The enable input on a multivibrator must be activated for either S or R inputs to have any effect on
the output state.
• This enable input is sometimes labeled "E", and other times as "EN".

The D latch

Since the enable input on a gated S-R latch provides a way to latch the Q and not-Q outputs without regard to
the status of S or R, we can eliminate one of those inputs to create a multivibrator latch circuit with no "illegal"
input states. Such a circuit is called a D latch, and its internal logic looks like this:

Note that the R input has been replaced with the complement (inversion) of the old S input, and the S input
has been renamed to D. As with the gated S-R latch, the D latch will not respond to a signal input if the enable
input is 0 -- it simply stays latched in its last state. When the enable input is 1, however, the Q output follows
the D input.

Since the R input of the S-R circuitry has been done away with, this latch has no "invalid" or "illegal" state. Q
and not-Q are always opposite of one another. If the above diagram is confusing at all, the next diagram
should make the concept simpler:

Like both the S-R and gated S-R latches, the D latch circuit may be found as its own prepackaged circuit,
complete with a standard symbol:
The D latch is nothing more than a gated S-R latch with an inverter added to make R the complement (inverse)
of S. Let's explore the ladder logic equivalent of a D latch, modified from the basic ladder diagram of an S-R
latch:

An application for the D latch is a 1-bit memory circuit. You can "write" (store) a 0 or 1 bit in this latch circuit
by making the enable input high (1) and setting D to whatever you want the stored bit to be. When the enable
input is made low (0), the latch ignores the status of the D input and merrily holds the stored bit value,
outputting at the stored value at Q, and its inverse on output not-Q.

• REVIEW:
• A D latch is like an S-R latch with only one input: the "D" input. Activating the D input sets the circuit,
and de-activating the D input resets the circuit. Of course, this is only if the enable input (E) is
activated as well. Otherwise, the output(s) will be latched, unresponsive to the state of the D input.
• D latches can be used as 1-bit memory circuits, storing either a "high" or a "low" state when disabled,
and "reading" new data from the D input when enabled.

Edge-triggered latches: Flip-Flops

So far, we've studied both S-R and D latch circuits with an enable inputs. The latch responds to the data inputs
(S-R or D) only when the enable input is activated. In many digital applications, however, it is desirable to limit
the responsiveness of a latch circuit to a very short period of time instead of the entire duration that the
enabling input is activated. One method of enabling a multivibrator circuit is called edge triggering, where the
circuit's data inputs have control only during the time that the enable input is transitioning from one state to
another. Let's compare timing diagrams for a normal D latch versus one that is edge-triggered:

In the first timing diagram, the outputs respond to input D whenever the enable (E) input is high, for however
long it remains high. When the enable signal falls back to a low state, the circuit remains latched. In the
second timing diagram, we note a distinctly different response in the circuit output(s): it only responds to the
D input during that brief moment of time when the enable signal changes, or transitions, from low to high. This
is known as positive edge-triggering.

There is such a thing as negative edge triggering as well, and it produces the following response to the same
input signals:
Whenever we enable a multivibrator circuit on the transitional edge of a square-wave enable signal, we call it a
flip-flop instead of a latch. Consequently, and edge-triggered S-R circuit is more properly known as an S-R flip-
flop, and an edge-triggered D circuit as a D flip-flop. The enable signal is renamed to be the clock signal. Also,
we refer to the data inputs (S, R, and D, respectively) of these flip-flops as synchronous inputs, because they
have effect only at the time of the clock pulse edge (transition), thereby synchronizing any output changes
with that clock pulse, rather than at the whim of the data inputs.

But, how do we actually accomplish this edge-triggering? To create a "gated" S-R latch from a regular S-R
latch is easy enough with a couple of AND gates, but how do we implement logic that only pays attention to
the rising or falling edge of a changing digital signal? What we need is a digital circuit that outputs a brief pulse
whenever the input is activated for an arbitrary period of time, and we can use the output of this circuit to
briefly enable the latch. We're getting a little ahead of ourselves here, but this is actually a kind of monostable
multivibrator, which for now we'll call a pulse detector.

The duration of each output pulse is set by components in the pulse circuit itself. In ladder logic, this can be
accomplished quite easily through the use of a time-delay relay with a very short delay time:
Implementing this timing function with semiconductor components is actually quite easy, as it exploits the
inherent time delay within every logic gate (known as propagation delay). What we do is take an input signal
and split it up two ways, then place a gate or a series of gates in one of those signal paths just to delay it a bit,
then have both the original signal and its delayed counterpart enter into a two-input gate that outputs a high
signal for the brief moment of time that the delayed signal has not yet caught up to the low-to-high change in
the non-delayed signal. An example circuit for producing a clock pulse on a low-to-high input signal transition
is shown here:

This circuit may be converted into a negative-edge pulse detector circuit with only a change of the final gate
from AND to NOR:
Now that we know how a pulse detector can be made, we can show it attached to the enable input of a latch to
turn it into a flip-flop. In this case, the circuit is a S-R flip-flop:

Only when the clock signal (C) is transitioning from low to high is the circuit responsive to the S and R inputs.
For any other condition of the clock signal ("x") the circuit will be latched.

A ladder logic version of the S-R flip-flop is shown here:

Relay contact CR3 in the ladder diagram takes the place of the old E contact in the S-R latch circuit, and is
closed only during the short time that both C is closed and time-delay contact TR1 is closed. In either case
(gate or ladder circuit), we see that the inputs S and R have no effect unless C is transitioning from a low (0)
to a high (1) state. Otherwise, the flip-flop's outputs latch in their previous states.

It is important to note that the invalid state for the S-R flip-flop is maintained only for the short period of time
that the pulse detector circuit allows the latch to be enabled. After that brief time period has elapsed, the
outputs will latch into either the set or the reset state. Once again, the problem of a race condition manifests
itself. With no enable signal, an invalid output state cannot be maintained. However, the valid "latched" states
of the multivibrator -- set and reset -- are mutually exclusive to one another. Therefore, the two gates of the
multivibrator circuit will "race" each other for supremacy, and whichever one attains a high output state first
will "win."

The block symbols for flip-flops are slightly different from that of their respective latch counterparts:

The triangle symbol next to the clock inputs tells us that these are edge-triggered devices, and consequently
that these are flip-flops rather than latches. The symbols above are positive edge-triggered: that is, they
"clock" on the rising edge (low-to-high transition) of the clock signal. Negative edge-triggered devices are
symbolized with a bubble on the clock input line:

Both of the above flip-flops will "clock" on the falling edge (high-to-low transition) of the clock signal.

• REVIEW:
• A flip-flop is a latch circuit with a "pulse detector" circuit connected to the enable (E) input, so that it
is enabled only for a brief moment on either the rising or falling edge of a clock pulse.
• Pulse detector circuits may be made from time-delay relays for ladder logic applications, or from
semiconductor gates (exploiting the phenomenon of propagation delay).

The J-K flip-flop

Another variation on a theme of bistable multivibrators is the J-K flip-flop. Essentially, this is
a modified version of an S-R flip-flop with no "invalid" or "illegal" output state. Look closely
at the following diagram to see how this is accomplished:

What used to be the S and R inputs are now called the J and K inputs, respectively. The old
two-input AND gates have been replaced with 3-input AND gates, and the third input of each
gate receives feedback from the Q and not-Q outputs. What this does for us is permit the J
input to have effect only when the circuit is reset, and permit the K input to have effect only
when the circuit is set. In other words, the two inputs are interlocked, to use a relay logic
term, so that they cannot both be activated simultaneously. If the circuit is "set," the J input is
inhibited by the 0 status of not-Q through the lower AND gate; if the circuit is "reset," the K
input is inhibited by the 0 status of Q through the upper AND gate.

When both J and K inputs are 1, however, something unique happens. Because of the
selective inhibiting action of those 3-input AND gates, a "set" state inhibits input J so that the
flip-flop acts as if J=0 while K=1 when in fact both are 1. On the next clock pulse, the outputs
will switch ("toggle") from set (Q=1 and not-Q=0) to reset (Q=0 and not-Q=1). Conversely, a
"reset" state inhibits input K so that the flip-flop acts as if J=1 and K=0 when in fact both are
1. The next clock pulse toggles the circuit again from reset to set.

See if you can follow this logical sequence with the ladder logic equivalent of the J-K flip-
flop:

The end result is that the S-R flip-flop's "invalid" state is eliminated (along with the race
condition it engendered) and we get a useful feature as a bonus: the ability to toggle between
the two (bistable) output states with every transition of the clock input signal.

There is no such thing as a J-K latch, only J-K flip-flops. Without the edge-triggering of the
clock input, the circuit would continuously toggle between its two output states when both J
and K were held high (1), making it an astable device instead of a bistable device in that
circumstance. If we want to preserve bistable operation for all combinations of input states,
we must use edge-triggering so that it toggles only when we tell it to, one step (clock pulse) at
a time.

The block symbol for a J-K flip-flop is a whole lot less frightening than its internal circuitry,
and just like the S-R and D flip-flops, J-K flip-flops come in two clock varieties (negative
and positive edge-triggered):
 • REVIEW:
• A J-K flip-flop is nothing more than an S-R flip-flop with an added layer of feedback.
This feedback selectively enables one of the two set/reset inputs so that they cannot
both carry an active signal to the multivibrator circuit, thus eliminating the invalid
condition.
• When both J and K inputs are activated, and the clock input is pulsed, the outputs (Q
and not-Q) will swap states. That is, the circuit will toggle from a set state to a reset
state, or visa-versa.

Asynchronous flip-flop inputs

The normal data inputs to a flip flop (D, S and R, or J and K) are referred to as synchronous inputs because
they have effect on the outputs (Q and not-Q) only in step, or in sync, with the clock signal transitions. These
extra inputs that I now bring to your attention are called asynchronous because they can set or reset the flip-
flop regardless of the status of the clock signal. Typically, they're called preset and clear:

When the preset input is activated, the flip-flop will be set (Q=1, not-Q=0) regardless of any of the
synchronous inputs or the clock. When the clear input is activated, the flip-flop will be reset (Q=0, not-Q=1),
regardless of any of the synchronous inputs or the clock. So, what happens if both preset and clear inputs are
activated? Surprise, surprise: we get an invalid state on the output, where Q and not-Q go to the same state,
the same as our old friend, the S-R latch! Preset and clear inputs find use when multiple flip-flops are ganged
together to perform a function on a multi-bit binary word, and a single line is needed to set or reset them all at
once.

Asynchronous inputs, just like synchronous inputs, can be engineered to be active-high or active-low. If they're
active-low, there will be an inverting bubble at that input lead on the block symbol, just like the negative edge-
trigger clock inputs.
Sometimes the designations "PRE" and "CLR" will be shown with inversion bars above them, to further denote
the negative logic of these inputs:

• REVIEW:
• Asynchronous inputs on a flip-flop have control over the outputs (Q and not-Q) regardless of clock
input status.
• These inputs are called the preset (PRE) and clear (CLR). The preset input drives the flip-flop to a set
state while the clear input drives it to a reset state.
• It is possible to drive the outputs of a J-K flip-flop to an invalid condition using the asynchronous
inputs, because all feedback within the multivibrator circuit is overridden.

Monostable multivibrators

We've already seen one example of a monostable multivibrator in use: the pulse detector used within the
circuitry of flip-flops, to enable the latch portion for a brief time when the clock input signal transitions from
either low to high or high to low. The pulse detector is classified as a monostable multivibrator because it has
only one stable state. By stable, I mean a state of output where the device is able to latch or hold to forever,
without external prodding. A latch or flip-flop, being a bistable device, can hold in either the "set" or "reset"
state for an indefinite period of time. Once it's set or reset, it will continue to latch in that state unless
prompted to change by an external input. A monostable device, on the other hand, is only able to hold in one
particular state indefinitely. Its other state can only be held momentarily when triggered by an external input.

A mechanical analogy of a monostable device would be a momentary contact pushbutton switch, which spring-
returns to its normal (stable) position when pressure is removed from its button actuator. Likewise, a standard
wall (toggle) switch, such as the type used to turn lights on and off in a house, is a bistable device. It can latch
in one of two modes: on or off.
All monostable multivibrators are timed devices. That is, their unstable output state will hold only for a certain
minimum amount of time before returning to its stable state. With semiconductor monostable circuits, this
timing function is typically accomplished through the use of resistors and capacitors, making use of the
exponential charging rates of RC circuits. A comparator is often used to compare the voltage across the
charging (or discharging) capacitor with a steady reference voltage, and the on/off output of the comparator
used for a logic signal. With ladder logic, time delays are accomplished with time-delay relays, which can be
constructed with semiconductor/RC circuits like that just mentioned, or mechanical delay devices which impede
the immediate motion of the relay's armature. Note the design and operation of the pulse detector circuit in
ladder logic:

No matter how long the input signal stays high (1), the output remains high for just 1 second of time, then
returns to its normal (stable) low state.

For some applications, it is necessary to have a monostable device that outputs a longer pulse than the input
pulse which triggers it. Consider the following ladder logic circuit:
When the input contact closes, TD1 contact immediately closes, and stays closed for 10 seconds after the input
contact opens. No matter how short the input pulse is, the output stays high (1) for exactly 10 seconds after
the input drops low again. This kind of monostable multivibrator is called a one-shot. More specifically, it is a
retriggerable one-shot, because the timing begins after the input drops to a low state, meaning that multiple
input pulses within 10 seconds of each other will maintain a continuous high output:

One application for a retriggerable one-shot is that of a single mechanical contact debouncer. As you can see
from the above timing diagram, the output will remain high despite "bouncing" of the input signal from a
mechanical switch. Of course, in a real-life switch debouncer circuit, you'd probably want to use a time delay of
much shorter duration than 10 seconds, as you only need to "debounce" pulses that are in the millisecond
range.

What if we only wanted a 10 second timed pulse output from a relay logic circuit, regardless of how many input
pulses we received or how long-lived they may be? In that case, we'd have to couple a pulse-detector circuit to
the retriggerable one-shot time delay circuit, like this:
Time delay relay TD1 provides an "on" pulse to time delay relay coil TD2 for an arbitrarily short moment (in this
circuit, for at least 0.5 second each time the input contact is actuated). As soon as TD2 is energized, the
normally-closed, timed-closed TD2 contact in series with it prevents coil TD2 from being re-energized as long as
it's timing out (10 seconds). This effectively makes it unresponsive to any more actuations of the input switch
during that 10 second period.

Only after TD2 times out does the normally-closed, timed-closed TD2 contact in series with it allow coil TD2 to
be energized again. This type of one-shot is called a nonretriggerable one-shot.

One-shot multivibrators of both the retriggerable and nonretriggerable variety find wide application in industry
for siren actuation and machine sequencing, where an intermittent input signal produces an output signal of a
set time.

• REVIEW:
• A monostable multivibrator has only one stable output state. The other output state can only be
maintained temporarily.
• Monostable multivibrators, sometimes called one-shots, come in two basic varieties: retriggerable and
nonretriggerable.
• One-shot circuits with very short time settings may be used to debounce the "dirty" signals created by
mechanical switch contacts.

Chapter 11: COUNTERS

Binary count sequence

If we examine a four-bit binary count sequence from 0000 to 1111, a definite pattern will be evident in the
"oscillations" of the bits between 0 and 1:
Note how the least significant bit (LSB) toggles between 0 and 1 for every step in the count sequence, while
each succeeding bit toggles at one-half the frequency of the one before it. The most significant bit (MSB) only
toggles once during the entire sixteen-step count sequence: at the transition between 7 (0111) and 8 (1000).

If we wanted to design a digital circuit to "count" in four-bit binary, all we would have to do is design a series
of frequency divider circuits, each circuit dividing the frequency of a square-wave pulse by a factor of 2:

J-K flip-flops are ideally suited for this task, because they have the ability to "toggle" their output state at the
command of a clock pulse when both J and K inputs are made "high" (1):
If we consider the two signals (A and B) in this circuit to represent two bits of a binary number, signal A being
the LSB and signal B being the MSB, we see that the count sequence is backward: from 11 to 10 to 01 to 00
and back again to 11. Although it might not be counting in the direction we might have assumed, at least it
counts!

The following sections explore different types of counter circuits, all made with J-K flip-flops, and all based on
the exploitation of that flip-flop's toggle mode of operation.

• REVIEW:
• Binary count sequences follow a pattern of octave frequency division: the frequency of oscillation for
each bit, from LSB to MSB, follows a divide-by-two pattern. In other words, the LSB will oscillate at
the highest frequency, followed by the next bit at one-half the LSB's frequency, and the next bit at
one-half the frequency of the bit before it, etc.
• Circuits may be built that "count" in a binary sequence, using J-K flip-flops set up in the "toggle"
mode.

Asynchronous counters

In the previous section, we saw a circuit using one J-K flip-flop that counted backward in a two-bit binary
sequence, from 11 to 10 to 01 to 00. Since it would be desirable to have a circuit that could count forward and
not just backward, it would be worthwhile to examine a forward count sequence again and look for more
patterns that might indicate how to build such a circuit.

Since we know that binary count sequences follow a pattern of octave (factor of 2) frequency division, and that
J-K flip-flop multivibrators set up for the "toggle" mode are capable of performing this type of frequency
division, we can envision a circuit made up of several J-K flip-flops, cascaded to produce four bits of output.
The main problem facing us is to determine how to connect these flip-flops together so that they toggle at the
right times to produce the proper binary sequence. Examine the following binary count sequence, paying
attention to patterns preceding the "toggling" of a bit between 0 and 1:
Note that each bit in this four-bit sequence toggles when the bit before it (the bit having a lesser significance,
or place-weight), toggles in a particular direction: from 1 to 0. Small arrows indicate those points in the
sequence where a bit toggles, the head of the arrow pointing to the previous bit transitioning from a "high" (1)
state to a "low" (0) state:

Starting with four J-K flip-flops connected in such a way to always be in the "toggle" mode, we need to
determine how to connect the clock inputs in such a way so that each succeeding bit toggles when the bit
before it transitions from 1 to 0. The Q outputs of each flip-flop will serve as the respective binary bits of the
final, four-bit count:
If we used flip-flops with negative-edge triggering (bubble symbols on the clock inputs), we could simply
connect the clock input of each flip-flop to the Q output of the flip-flop before it, so that when the bit before it
changes from a 1 to a 0, the "falling edge" of that signal would "clock" the next flip-flop to toggle the next bit:

This circuit would yield the following output waveforms, when "clocked" by a repetitive source of pulses from
an oscillator:

The first flip-flop (the one with the Q0 output), has a positive-edge triggered clock input, so it toggles with each
rising edge of the clock signal. Notice how the clock signal in this example has a duty cycle less than 50%. I've
shown the signal in this manner for the purpose of demonstrating how the clock signal need not be
symmetrical to obtain reliable, "clean" output bits in our four-bit binary sequence. In the very first flip-flop
circuit shown in this chapter, I used the clock signal itself as one of the output bits. This is a bad practice in
counter design, though, because it necessitates the use of a square wave signal with a 50% duty cycle ("high"
time = "low" time) in order to obtain a count sequence where each and every step pauses for the same
amount of time. Using one J-K flip-flop for each output bit, however, relieves us of the necessity of having a
symmetrical clock signal, allowing the use of practically any variety of high/low waveform to increment the
count sequence.

As indicated by all the other arrows in the pulse diagram, each succeeding output bit is toggled by the action of
the preceding bit transitioning from "high" (1) to "low" (0). This is the pattern necessary to generate an "up"
count sequence.

A less obvious solution for generating an "up" sequence using positive-edge triggered flip-flops is to "clock"
each flip-flop using the Q' output of the preceding flip-flop rather than the Q output. Since the Q' output will
always be the exact opposite state of the Q output on a J-K flip-flop (no invalid states with this type of flip-
flop), a high-to-low transition on the Q output will be accompanied by a low-to-high transition on the Q' output.
In other words, each time the Q output of a flip-flop transitions from 1 to 0, the Q' output of the same flip-flop
will transition from 0 to 1, providing the positive-going clock pulse we would need to toggle a positive-edge
triggered flip-flop at the right moment:

One way we could expand the capabilities of either of these two counter circuits is to regard the Q' outputs as
another set of four binary bits. If we examine the pulse diagram for such a circuit, we see that the Q' outputs
generate a down-counting sequence, while the Q outputs generate an up-counting sequence:
Unfortunately, all of the counter circuits shown thusfar share a common problem: the ripple effect. This effect
is seen in certain types of binary adder and data conversion circuits, and is due to accumulative propagation
delays between cascaded gates. When the Q output of a flip-flop transitions from 1 to 0, it commands the next
flip-flop to toggle. If the next flip-flop toggle is a transition from 1 to 0, it will command the flip-flop after it to
toggle as well, and so on. However, since there is always some small amount of propagation delay between the
command to toggle (the clock pulse) and the actual toggle response (Q and Q' outputs changing states), any
subsequent flip-flops to be toggled will toggle some time after the first flip-flop has toggled. Thus, when
multiple bits toggle in a binary count sequence, they will not all toggle at exactly the same time:

As you can see, the more bits that toggle with a given clock pulse, the more severe the accumulated delay
time from LSB to MSB. When a clock pulse occurs at such a transition point (say, on the transition from 0111
to 1000), the output bits will "ripple" in sequence from LSB to MSB, as each succeeding bit toggles and
commands the next bit to toggle as well, with a small amount of propagation delay between each bit toggle. If
we take a close-up look at this effect during the transition from 0111 to 1000, we can see that there will be
false output counts generated in the brief time period that the "ripple" effect takes place:

Instead of cleanly transitioning from a "0111" output to a "1000" output, the counter circuit will very quickly
ripple from 0111 to 0110 to 0100 to 0000 to 1000, or from 7 to 6 to 4 to 0 and then to 8. This behavior earns
the counter circuit the name of ripple counter, or asynchronous counter.

In many applications, this effect is tolerable, since the ripple happens very, very quickly (the width of the
delays has been exaggerated here as an aid to understanding the effects). If all we wanted to do was drive a
set of light-emitting diodes (LEDs) with the counter's outputs, for example, this brief ripple would be of no
consequence at all. However, if we wished to use this counter to drive the "select" inputs of a multiplexer,
index a memory pointer in a microprocessor (computer) circuit, or perform some other task where false
outputs could cause spurious errors, it would not be acceptable. There is a way to use this type of counter
circuit in applications sensitive to false, ripple-generated outputs, and it involves a principle known as strobing.

Most decoder and multiplexer circuits are equipped with at least one input called the "enable." The output(s) of
such a circuit will be active only when the enable input is made active. We can use this enable input to strobe
the circuit receiving the ripple counter's output so that it is disabled (and thus not responding to the counter
output) during the brief period of time in which the counter outputs might be rippling, and enabled only when
sufficient time has passed since the last clock pulse that all rippling will have ceased. In most cases, the
strobing signal can be the same clock pulse that drives the counter circuit:
With an active-low Enable input, the receiving circuit will respond to the binary count of the four-bit counter
circuit only when the clock signal is "low." As soon as the clock pulse goes "high," the receiving circuit stops
responding to the counter circuit's output. Since the counter circuit is positive-edge triggered (as determined
by the first flip-flop clock input), all the counting action takes place on the low-to-high transition of the clock
signal, meaning that the receiving circuit will become disabled just before any toggling occurs on the counter
circuit's four output bits. The receiving circuit will not become enabled until the clock signal returns to a low
state, which should be a long enough time after all rippling has ceased to be "safe" to allow the new count to
have effect on the receiving circuit. The crucial parameter here is the clock signal's "high" time: it must be at
least as long as the maximum expected ripple period of the counter circuit. If not, the clock signal will
prematurely enable the receiving circuit, while some rippling is still taking place.

Another disadvantage of the asynchronous, or ripple, counter circuit is limited speed. While all gate circuits are
limited in terms of maximum signal frequency, the design of asynchronous counter circuits compounds this
problem by making propagation delays additive. Thus, even if strobing is used in the receiving circuit, an
asynchronous counter circuit cannot be clocked at any frequency higher than that which allows the greatest
possible accumulated propagation delay to elapse well before the next pulse.

The solution to this problem is a counter circuit that avoids ripple altogether. Such a counter circuit would
eliminate the need to design a "strobing" feature into whatever digital circuits use the counter output as an
input, and would also enjoy a much greater operating speed than its asynchronous equivalent. This design of
counter circuit is the subject of the next section.

• REVIEW:
• An "up" counter may be made by connecting the clock inputs of positive-edge triggered J-K flip-flops
to the Q' outputs of the preceding flip-flops. Another way is to use negative-edge triggered flip-flops,
connecting the clock inputs to the Q outputs of the preceding flip-flops. In either case, the J and K
inputs of all flip-flops are connected to Vcc or Vdd so as to always be "high."
• Counter circuits made from cascaded J-K flip-flops where each clock input receives its pulses from the
output of the previous flip-flop invariably exhibit a ripple effect, where false output counts are
generated between some steps of the count sequence. These types of counter circuits are called
asynchronous counters, or ripple counters.
• Strobing is a technique applied to circuits receiving the output of an asynchronous (ripple) counter, so
that the false counts generated during the ripple time will have no ill effect. Essentially, the enable
input of such a circuit is connected to the counter's clock pulse in such a way that it is enabled only
when the counter outputs are not changing, and will be disabled during those periods of changing
counter outputs where ripple occurs.

Synchronous counters

A synchronous counter, in contrast to an asynchronous counter, is one whose output bits change state
simultaneously, with no ripple. The only way we can build such a counter circuit from J-K flip-flops is to
connect all the clock inputs together, so that each and every flip-flop receives the exact same clock pulse at
the exact same time:

Now, the question is, what do we do with the J and K inputs? We know that we still have to maintain the same
divide-by-two frequency pattern in order to count in a binary sequence, and that this pattern is best achieved
utilizing the "toggle" mode of the flip-flop, so the fact that the J and K inputs must both be (at times) "high" is
clear. However, if we simply connect all the J and K inputs to the positive rail of the power supply as we did in
the asynchronous circuit, this would clearly not work because all the flip-flops would toggle at the same time:
with each and every clock pulse!

Let's examine the four-bit binary counting sequence again, and see if there are any other patterns that predict
the toggling of a bit. Asynchronous counter circuit design is based on the fact that each bit toggle happens at
the same time that the preceding bit toggles from a "high" to a "low" (from 1 to 0). Since we cannot clock the
toggling of a bit based on the toggling of a previous bit in a synchronous counter circuit (to do so would create
a ripple effect) we must find some other pattern in the counting sequence that can be used to trigger a bit
toggle:

Examining the four-bit binary count sequence, another predictive pattern can be seen. Notice that just before a
bit toggles, all preceding bits are "high:"
This pattern is also something we can exploit in designing a counter circuit. If we enable each J-K flip-flop to
toggle based on whether or not all preceding flip-flop outputs (Q) are "high," we can obtain the same counting
sequence as the asynchronous circuit without the ripple effect, since each flip-flop in this circuit will be clocked
at exactly the same time:

The result is a four-bit synchronous "up" counter. Each of the higher-order flip-flops are made ready to toggle
(both J and K inputs "high") if the Q outputs of all previous flip-flops are "high." Otherwise, the J and K inputs
for that flip-flop will both be "low," placing it into the "latch" mode where it will maintain its present output
state at the next clock pulse. Since the first (LSB) flip-flop needs to toggle at every clock pulse, its J and K
inputs are connected to Vcc or Vdd, where they will be "high" all the time. The next flip-flop need only
"recognize" that the first flip-flop's Q output is high to be made ready to toggle, so no AND gate is needed.
However, the remaining flip-flops should be made ready to toggle only when all lower-order output bits are
"high," thus the need for AND gates.
To make a synchronous "down" counter, we need to build the circuit to recognize the appropriate bit patterns
predicting each toggle state while counting down. Not surprisingly, when we examine the four-bit binary count
sequence, we see that all preceding bits are "low" prior to a toggle (following the sequence from bottom to
top):

Since each J-K flip-flop comes equipped with a Q' output as well as a Q output, we can use the Q' outputs to
enable the toggle mode on each succeeding flip-flop, being that each Q' will be "high" every time that the
respective Q is "low:"

Taking this idea one step further, we can build a counter circuit with selectable between "up" and "down" count
modes by having dual lines of AND gates detecting the appropriate bit conditions for an "up" and a "down"
counting sequence, respectively, then use OR gates to combine the AND gate outputs to the J and K inputs of
each succeeding flip-flop:

This circuit isn't as complex as it might first appear. The Up/Down control input line simply enables either the
upper string or lower string of AND gates to pass the Q/Q' outputs to the succeeding stages of flip-flops. If the
Up/Down control line is "high," the top AND gates become enabled, and the circuit functions exactly the same
as the first ("up") synchronous counter circuit shown in this section. If the Up/Down control line is made "low,"
the bottom AND gates become enabled, and the circuit functions identically to the second ("down" counter)
circuit shown in this section.

To illustrate, here is a diagram showing the circuit in the "up" counting mode (all disabled circuitry shown in
grey rather than black):

Here, shown in the "down" counting mode, with the same grey coloring representing disabled circuitry:

Up/down counter circuits are very useful devices. A common application is in machine motion control, where
devices called rotary shaft encoders convert mechanical rotation into a series of electrical pulses, these pulses
"clocking" a counter circuit to track total motion:
As the machine moves, it turns the encoder shaft, making and breaking the light beam between LED and
phototransistor, thereby generating clock pulses to increment the counter circuit. Thus, the counter integrates,
or accumulates, total motion of the shaft, serving as an electronic indication of how far the machine has
moved. If all we care about is tracking total motion, and do not care to account for changes in the direction of
motion, this arrangement will suffice. However, if we wish the counter to increment with one direction of
motion and decrement with the reverse direction of motion, we must use an up/down counter, and an
encoder/decoding circuit having the ability to discriminate between different directions.

If we re-design the encoder to have two sets of LED/phototransistor pairs, those pairs aligned such that their
square-wave output signals are 90o out of phase with each other, we have what is known as a quadrature
output encoder (the word "quadrature" simply refers to a 90o angular separation). A phase detection circuit
may be made from a D-type flip-flop, to distinguish a clockwise pulse sequence from a counter-clockwise pulse
sequence:

When the encoder rotates clockwise, the "D" input signal square-wave will lead the "C" input square-wave,
meaning that the "D" input will already be "high" when the "C" transitions from "low" to "high," thus setting the
D-type flip-flop (making the Q output "high") with every clock pulse. A "high" Q output places the counter into
the "Up" count mode, and any clock pulses received by the clock from the encoder (from either LED) will
increment it. Conversely, when the encoder reverses rotation, the "D" input will lag behind the "C" input
waveform, meaning that it will be "low" when the "C" waveform transitions from "low" to "high," forcing the D-
type flip-flop into the reset state (making the Q output "low") with every clock pulse. This "low" signal
commands the counter circuit to decrement with every clock pulse from the encoder.

This circuit, or something very much like it, is at the heart of every position-measuring circuit based on a pulse
encoder sensor. Such applications are very common in robotics, CNC machine tool control, and other
applications involving the measurement of reversible, mechanical motion.

Counter modulus
Chapter 12: SHIFT REGISTERS

Introduction

Shift registers, like counters, are a form of sequential logic. Sequential logic, unlike combinational logic is not
only affected by the present inputs, but also, by the prior history. In other words, sequential logic remembers
past events.

Shift registers produce a discrete delay of a digital signal or waveform. A waveform synchronized to a clock, a
repeating square wave, is delayed by "n" discrete clock times, where "n" is the number of shift register
stages. Thus, a four stage shift register delays "data in" by four clocks to "data out". The stages in a shift
register are delay stages, typically type "D" Flip-Flops or type "JK" Flip-flops.

Formerly, very long (several hundred stages) shift registers served as digital memory. This obsolete application
is reminiscent of the acoustic mercury delay lines used as early computer memory.

Serial data transmission, over a distance of meters to kilometers, uses shift registers to convert parallel data to
serial form. Serial data communications replaces many slow parallel data wires with a single serial high speed
circuit.

Serial data over shorter distances of tens of centimeters, uses shift registers to get data into and out of
microprocessors. Numerous peripherals, including analog to digital converters, digital to analog converters,
display drivers, and memory, use shift registers to reduce the amount of wiring in circuit boards.

Some specialized counter circuits actually use shift registers to generate repeating waveforms. Longer shift
registers, with the help of feedback generate patterns so long that they look like random noise, pseudo-noise.

Basic shift registers are classified by structure according to the following types:

• Serial-in/serial-out
• Serial-in/parallel-out
• Parallel-in/serial-out
• Universal parallel-in/parallel-out
• Ring counter

Above we show a block diagram of a serial-in/serial-out shift register, which is 4-stages long. Data at the input
will be delayed by four clock periods from the input to the output of the shift register.

Data at "data in", above, will be present at the Stage A output after the first clock pulse. After the second
pulse stage A data is transfered to stage B output, and "data in" is transfered to stage A output. After the third
clock, stage C is replaced by stage B; stage B is replaced by stage A; and stage A is replaced by "data in".
After the fourth clock, the data originally present at "data in" is at stage D, "output". The "first in" data is "first
out" as it is shifted from "data in" to "data out".
Data is loaded into all stages at once of a parallel-in/serial-out shift register. The data is then shifted out via
"data out" by clock pulses. Since a 4- stage shift register is shown above, four clock pulses are required to shift
out all of the data. In the diagram above, stage D data will be present at the "data out" up until the first clock
pulse; stage C data will be present at "data out" between the first clock and the second clock pulse; stage B
data will be present between the second clock and the third clock; and stage A data will be present between
the third and the fourth clock. After the fourth clock pulse and thereafter, successive bits of "data in" should
appear at "data out" of the shift register after a delay of four clock pulses.

If four switches were connected to DA through DD, the status could be read into a microprocessor using only
one data pin and a clock pin. Since adding more switches would require no additional pins, this approach looks
attractive for many inputs.

Above, four data bits will be shifted in from "data in" by four clock pulses and be available at QA through QD for
driving external circuitry such as LEDs, lamps, relay drivers, and horns.

After the first clock, the data at "data in" appears at QA. After the second clock, The old QA data appears at QB;
QA receives next data from "data in". After the third clock, QB data is at QC. After the fourth clock, QC data is at
QD. This sat the data first present at "data in". The shift register should now contain four data bits.
A parallel-in/laralel-out shift register combines the function of the parallel-in, serial-out shift register with the
function of the serial-in, parallel-out shift register to yields the universal shift register. The "do anything"
shifter comes at a price-- the increased number of I/O (Input/Output) pins may reduce the number of stages
which can be packaged.

Data presented at DA through DD is parallel loaded into the registers. This data at QA through QD may be shifted
by the number of pulses presented at the clock input. The shifted data is available at QA through QD. The
"mode" input, which may be more than one input, controls parallel loading of data from DA through DD, shifting
of data, and the direction of shifting. There are shift registers which will shift data either left or right.

If the serial output of a shift register is connected to the serial input, data can be perpetually shifted around
the ring as long as clock pulses are present. If the output is inverted before being fed back as shown above, we
do not have to worry about loading the initial data into the "ring counter".

shift register, serial-in/serial-out shift

Serial-in, serial-out shift registers delay data by one clock time for each stage. They will store a bit of data for
each register. A serial-in, serial-out shift register may be one to 64 bits in length, longer if registers or
packages are cascaded.

Below is a single stage shift register receiving data which is not synchronized to the register clock. The "data
in" at the D pin of the type D FF (Flip-Flop) does not change levels when the clock changes for low to high. We
may want to synchronize the data to a system wide clock in a circuit board to improve the reliability of a digital
logic circuit.
The obvious point (as compared to the figure below) illustrated above is that whatever "data in" is present at
the D pin of a type D FF is transfered from D to output Q at clock time. Since our example shift register uses
positive edge sensitive storage elements, the output Q follows the D input when the clock transitions from low
to high as shown by the up arrows on the diagram above. There is no doubt what logic level is present at clock
time because the data is stable well before and after the clock edge. This is seldom the case in multi-stage
shift registers. But, this was an easy example to start with. We are only concerned with the positive, low to
high, clock edge. The falling edge can be ignored. It is very easy to see Q follow D at clock time above.
Compare this to the diagram below where the "data in" appears to change with the positive clock edge.

Since "data in" appears to changes at clock time t1 above, what does the type D FF see at clock time? The
short over simplified answer is that it sees the data that was present at D prior to the clock. That is what is
transfered to Q at clock time t1. The correct waveform is QC. At t1 Q goes to a zero if it is not already zero. The
D register does not see a one until time t2, at which time Q goes high.
Since data, above, present at D is clocked to Q at clock time, and Q cannot change until the next clock time,
the D FF delays data by one clock period, provided that the data is already synchronized to the clock. The QA
waveform is the same as "data in" with a one clock period delay.

A more detailed look at what the input of the type D Flip-Flop sees at clock time follows. Refer to the figure
below. Since "data in" appears to changes at clock time (above), we need further information to determine
what the D FF sees. If the "data in" is from another shift register stage, another same type D FF, we can draw
some conclusions based on data sheet information. Manufacturers of digital logic make available information
about their parts in data sheets, formerly only available in a collection called a data book. Data books are still
available; though, the manufacturer's web site is the modern source.

The following data was extracted from the CD4006b data sheet for operation at 5VDC, which serves as an
example to illustrate timing.

[*]

• tS=100ns
• tH=60ns
• tP=200-400ns typ/max

tS is the setup time, the time data must be present before clock time. In this case data must be present at D
100ns prior to the clock. Furthermore, the data must be held for hold time tH=60ns after clock time. These two
conditions must be met to reliably clock data from D to Q of the Flip-Flop.
There is no problem meeting the setup time of 60ns as the data at D has been there for the whole previous
clock period if it comes from another shift register stage. For example, at a clock frequency of 1 Mhz, the clock
period is 1000 µs, plenty of time. Data will actually be present for 1000µs prior to the clock, which is much
greater than the minimum required tS of 60ns.

The hold time tH=60ns is met because D connected to Q of another stage cannot change any faster than the
propagation delay of the previous stage tP=200ns. Hold time is met as long as the propagation delay of the
previous D FF is greater than the hold time. Data at D driven by another stage Q will not change any faster
than 200ns for the CD4006b.

To summarize, output Q follows input D at nearly clock time if Flip-Flops are cascaded into a multi-stage shift
register.

Three type D Flip-Flops are cascaded Q to D and the clocks paralleled to form a three stage shift register
above.

Type JK FFs cascaded Q to J, Q' to K with clocks in parallel to yield an alternate form of the shift register
above.

A serial-in/serial-out shift register has a clock input, a data input, and a data output from the last stage. In
general, the other stage outputs are not available Otherwise, it would be a serial-in, parallel-out shift register..

The waveforms below are applicable to either one of the preceding two versions of the serial-in, serial-out shift
register. The three pairs of arrows show that a three stage shift register temporarily stores 3-bits of data and
delays it by three clock periods from input to output.
At clock time t1 a "data in" of 0 is clocked from D to Q of all three stages. In particular, D of stage A sees a
logic 0, which is clocked to QA where it remains until time t2.

At clock time t2 a "data in" of 1 is clocked from D to QA. At stages B and C, a 0, fed from preceding stages is
clocked to QB and QC.

At clock time t3 a "data in" of 0 is clocked from D to QA. QA goes low and stays low for the remaining clocks due
to "data in" being 0. QB goes high at t3 due to a 1 from the previous stage. QC is still low after t3 due to a low
from the previous stage.

QC finally goes high at clock t4 due to the high fed to D from the previous stage QB. All earlier stages have 0s
shifted into them. And, after the next clock pulse at t5, all logic 1s will have been shifted out, replaced by 0s

Serial-in/serial-out devices

We will take a closer look at the following parts available as integrated circuits, courtesy of Texas Instruments.
For complete device data sheets follow the links.

• CD4006b 18-bit serial-in/ serial-out shift register

[*]

• CD4031b 64-bit serial-in/ serial-out shift register

[*]

• CD4517b dual 64-bit serial-in/ serial-out shift register

[*]

The following serial-in/ serial-out shift registers are 4000 series CMOS (Complementary Metal Oxide
Semiconductor) family parts. As such, They will accept a VDD, positive power supply of 3-Volts to 15-Volts. The
VSS pin is grounded. The maximum frequency of the shift clock, which varies with VDD, is a few megahertz. See
the full data sheet for details.
The 18-bit CD4006b consists of two stages of 4-bits and two more stages of 5-bits with a an output tap at 4-
bits. Thus, the 5-bit stages could be used as 4-bit shift registers. To get a full 18-bit shift register the output of
one shift register must be cascaded to the input of another and so on until all stages create a single shift
register as shown below.
A CD4031 64-bit serial-in/ serial-out shift register is shown below. A number of pins are not connected (nc).
Both Q and Q' are available from the 64th stage, actually Q64 and Q'64. There is also a Q64 "delayed" from a half
stage which is delayed by half a clock cycle. A major feature is a data selector which is at the data input to the
shift register.

The "mode control" selects between two inputs: data 1 and data 2. If "mode control" is high, data will be
selected from "data 2" for input to the shift register. In the case of "mode control" being logic low, the "data 1"
is selected. Examples of this are shown in the two figures below.
The "data 2" above is wired to the Q64 output of the shift register. With "mode control" high, the Q64 output is
routed back to the shifter data input D. Data will recirculate from output to input. The data will repeat every 64
clock pulses as shown above. The question that arises is how did this data pattern get into the shift register in
the first place?
With "mode control" low, the CD4031 "data 1" is selected for input to the shifter. The output, Q64, is not
recirculated because the lower data selector gate is disabled. By disabled we mean that the logic low "mode
select" inverted twice to a low at the lower NAND gate prevents it for passing any signal on the lower pin (data
2) to the gate output. Thus, it is disabled.

A CD4517b dual 64-bit shift register is shown above. Note the taps at the 16th, 32nd, and 48th stages. That
means that shift registers of those lengths can be configured from one of the 64-bit shifters. Of course, the 64-
bit shifters may be cascaded to yield an 80-bit, 96-bit, 112-bit, or 128-bit shift register. The clock CLA and CLB
need to be paralleled when cascading the two shifters. WEB and WEB are grounded for normal shifting
operations. The data inputs to the shift registers A and B are DA and DB respectively.

Suppose that we require a 16-bit shift register. Can this be configured with the CD4517b? How about a 64-shift
register from the same part?
Above we show A CD4517b wired as a 16-bit shift register for section B. The clock for section B is CLB. The
data is clocked in at CLB. And the data delayed by 16-clocks is picked of off Q16B. WEB , the write enable, is
grounded.

Above we also show the same CD4517b wired as a 64-bit shift register for the independent section A. The
clock for section A is CLA. The data enters at CLA. The data delayed by 64-clock pulses is picked up from Q64A.
WEA, the write enable for section A, is grounded.

shift register, parallel-in, serial-out

Parallel-in/ serial-out shift registers do everything that the previous serial-in/ serial-out shift registers do plus
input data to all stages simultaneously. The parallel-in/ serial-out shift register stores data, shifts it on a clock
by clock basis, and delays it by the number of stages times the clock period. In addition, parallel-in/ serial-out
really means that we can load data in parallel into all stages before any shifting ever begins. This is a way to
convert data from a parallel format to a serial format. By parallel format we mean that the data bits are
present simultaneously on individual wires, one for each data bit as shown below. By serial format we mean
that the data bits are presented sequentially in time on a single wire or circuit as in the case of the "data out"
on the block diagram below.
Below we take a close look at the internal details of a 3-stage parallel-in/ serial-out shift register. A stage
consists of a type D Flip-Flop for storage, and an AND-OR selector to determine whether data will load in
parallel, or shift stored data to the right. In general, these elements will be replicated for the number of stages
required. We show three stages due to space limitations. Four, eight or sixteen bits is normal for real parts.

Above we show the parallel load path when SHIFT/LD' is logic low. The upper NAND gates serving DA DB DC are
enabled, passing data to the D inputs of type D Flip-Flops QA QB DC respectively. At the next positive going
clock edge, the data will be clocked from D to Q of the three FFs. Three bits of data will load into QA QB DC at
the same time.

The type of parallel load just described, where the data loads on a clock pulse is known as synchronous load
because the loading of data is synchronized to the clock. This needs to be differentiated from asynchronous
load where loading is controlled by the preset and clear pins of the Flip-Flops which does not require the clock.
Only one of these load methods is used within an individual device, the synchronous load being more common
in newer devices.
The shift path is shown above when SHIFT/LD' is logic high. The lower AND gates of the pairs feeding the OR
gate are enabled giving us a shift register connection of SI to DA , QA to DB , QB to DC , QC to SO. Clock pulses
will cause data to be right shifted out to SO on successive pulses.

The waveforms below show both parallel loading of three bits of data and serial shifting of this data. Parallel
data at DA DB DC is converted to serial data at SO.

What we previously described with words for parallel loading and shifting is now set down as waveforms above.
As an example we present 101 to the parallel inputs DAA DBB DCC. Next, the SHIFT/LD' goes low enabling
loading of data as opposed to shifting of data. It needs to be low a short time before and after the clock pulse
due to setup and hold requirements. It is considerably wider than it has to be. Though, with synchronous logic
it is convenient to make it wide. We could have made the active low SHIFT/LD' almost two clocks wide, low
almost a clock before t1 and back high just before t3. The important factor is that it needs to be low around
clock time t1 to enable parallel loading of the data by the clock.

Note that at t1 the data 101 at DA DB DC is clocked from D to Q of the Flip-Flops as shown at QA QB QC at time
t1. This is the parallel loading of the data synchronous with the clock.
Now that the data is loaded, we may shift it provided that SHIFT/LD' is high to enable shifting, which it is prior
to t2. At t2 the data 0 at QC is shifted out of SO which is the same as the QC waveform. It is either shifted into
another integrated circuit, or lost if there is nothing connected to SO. The data at QB, a 0 is shifted to QC. The
1 at QA is shifted into QB. With "data in" a 0, QA becomes 0. After t2, QA QB QC = 010.

After t3, QA QB QC = 001. This 1, which was originally present at QA after t1, is now present at SO and QC. The
last data bit is shifted out to an external integrated circuit if it exists. After t4 all data from the parallel load is
gone. At clock t5 we show the shifting in of a data 1 present on the SI, serial input.

Why provide SI and SO pins on a shift register? These connections allow us to cascade shift register stages to
provide large shifters than available in a single IC (Integrated Circuit) package. They also allow serial
connections to and from other ICs like microprocessors.

Parallel-in/serial-out devices

Let's take a closer look at parallel-in/ serial-out shift registers available as integrated circuits, courtesy of Texas
Instruments. For complete device data sheets follow these the links.

• SN74ALS166 parallel-in/ serial-out 8-bit shift register, synchronous load

[*]

• SN74ALS165 parallel-in/ serial-out 8-bit shift register, asynchronous load

[*]

• CD4014B parallel-in/ serial-out 8-bit shift register, synchronous load

[*]

• SN74LS647 parallel-in/ serial-out 16-bit shift register, synchronous load

[*]
The SN74ALS166 shown above is the closest match of an actual part to the previous parallel-in/ serial out
shifter figures. Let us note the minor changes to our figure above. First of all, there are 8-stages. We only
show three. All 8-stages are shown on the data sheet available at the link above. The manufacturer labels the
data inputs A, B, C, and so on to H. The SHIFT/LOAD control is called SH/LD'. It is abbreviated from our
previous terminology, but works the same: parallel load if low, shift if high. The shift input (serial data in) is
SER on the ALS166 instead of SI. The clock CLK is controlled by an inhibit signal, CLKINH. If CLKINH is high,
the clock is inhibited, or disabled. Otherwise, this "real part" is the same as what we have looked at in detail.

Above is the ANSI (American National Standards Institute) symbol for the SN74ALS166 as provided on the
data sheet. Once we know how the part operates, it is convenient to hide the details within a symbol. There
are many general forms of symbols. The advantage of the ANSI symbol is that the labels provide hints about
how the part operates.

The large notched block at the top of the '74ASL166 is the control section of the ANSI symbol. There is a reset
indicted by R. There are three control signals: M1 (Shift), M2 (Load), and C3/1 (arrow) (inhibited clock). The
clock has two functions. First, C3 for shifting parallel data wherever a prefix of 3 appears. Second, whenever
M1 is asserted, as indicated by the 1 of C3/1 (arrow), the data is shifted as indicated by the right pointing
arrow. The slash (/) is a separator between these two functions. The 8-shift stages, as indicated by title SRG8,
are identified by the external inputs A, B, C, to H. The internal 2, 3D indicates that data, D, is controlled by
M2 [Load] and C3 clock. In this case, we can conclude that the parallel data is loaded synchronously with the
clock C3. The upper stage at A is a wider block than the others to accommodate the input SER. The legend 1,
3D implies that SER is controlled by M1 [Shift] and C3 clock. Thus, we expect to clock in data at SER when
shifting as opposed to parallel loading.

The ANSI/IEEE basic gate rectangular symbols are provided above for comparison to the more familiar shape
symbols so that we may decipher the meaning of the symbology associated with the CLKINH and CLK pins on
the previous ANSI SN74ALS166 symbol. The CLK and CLKINH feed an OR gate on the SN74ALS166 ANSI
symbol. OR is indicated by => on the rectangular inset symbol. The long triangle at the output indicates a
clock. If there was a bubble with the arrow this would have indicated shift on negative clock edge (high to low).
Since there is no bubble with the clock arrow, the register shifts on the positive (low to high transition) clock
edge. The long arrow, after the legend C3/1 pointing right indicates shift right, which is down the symbol.

Part of the internal logic of the SN74ALS165 parallel-in/ serial-out, asynchronous load shift register is
reproduced from the data sheet above. See the link at the beginning of this section the for the full diagram. We
have not looked at asynchronous loading of data up to this point. First of all, the loading is accomplished by
application of appropriate signals to the Set (preset) and Reset (clear) inputs of the Flip-Flops. The upper
NAND gates feed the Set pins of the FFs and also cascades into the lower NAND gate feeding the Reset pins
of the FFs. The lower NAND gate inverts the signal in going from the Set pin to the Reset pin.

First, SH/LD' must be pulled Low to enable the upper and lower NAND gates. If SH/LD' were at a logic high
instead, the inverter feeding a logic low to all NAND gates would force a High out, releasing the "active low"
Set and Reset pins of all FFs. There would be no possibility of loading the FFs.
With SH/LD' held Low, we can feed, for example, a data 1 to parallel input A, which inverts to a zero at the
upper NAND gate output, setting FF QA to a 1. The 0 at the Set pin is fed to the lower NAND gate where it is
inverted to a 1 , releasing the Reset pin of QA. Thus, a data A=1 sets QA=1. Since none of this required the
clock, the loading is asynchronous with respect to the clock. We use an asynchronous loading shift register if
we cannot wait for a clock to parallel load data, or if it is inconvenient to generate a single clock pulse.

The only difference in feeding a data 0 to parallel input A is that it inverts to a 1 out of the upper gate
releasing Set. This 1 at Set is inverted to a 0 at the lower gate, pulling Reset to a Low, which resets QA=0.

The ANSI symbol for the SN74ALS166 above has two internal controls C1 [LOAD] and C2 clock from the OR
function of (CLKINH, CLK). SRG8 says 8-stage shifter. The arrow after C2 indicates shifting right or down.
SER input is a function of the clock as indicated by internal label 2D. The parallel data inputs A, B, C to H are
a function of C1 [LOAD], indicated by internal label 1D. C1 is asserted when sh/LD' =0 due to the half-arrow
inverter at the input. Compare this to the control of the parallel data inputs by the clock of the previous
synchronous ANSI SN75ALS166. Note the differences in the ANSI Data labels.
On the CD4014B above, M1 is asserted when LD/SH'=0. M2 is asserted when LD/SH'=1. Clock C3/1 is
used for parallel loading data at 2, 3D when M2 is active as indicated by the 2,3 prefix labels. Pins P3 to P7
are understood to have the smae internal 2,3 prefix labels as P2 and P8. At SER, the 1,3D prefix implies that
M1 and clock C3 are necessary to input serial data. Right shifting takes place when M1 active is as indicated by
the 1 in C3/1 arrow.

The CD4021B is a similar part except for asynchronous parallel loading of data as implied by the lack of any 2
prefix in the data label 1D for pins P1, P2, to P8. Of course, prefix 2 in label 2D at input SER says that data is
clocked into this pin. The OR gate inset shows that the clock is controlled by LD/SH'.
The above SN74LS674 internal label SRG 16 indicates 16-bit shift register. The MODE input to the control
section at the top of the symbol is labeled 1,2 M3. Internal M3 is a function of input MODE and G1 and G2 as
indicated by the 1,2 preceding M3. The base label G indicates an AND function of any such G inputs. Input
R/W' is internally labeled G1/2 EN. This is an enable EN (controlled by G1 AND G2) for tristate devices used
elsewhere in the symbol. We note that CS' on (pin 1) is internal G2. Chip select CS' also is ANDed with the
input CLK to give internal clock C4. The bubble within the clock arrow indicates that activity is on the negative
(high to low transition) clock edge. The slash (/) is a separator implying two functions for the clock. Before the
slash, C4 indicates control of anything with a prefix of 4. After the slash, the 3' (arrow) indicates shifting. The
3' of C4/3' implies shifting when M3 is de-asserted (MODE=0). The long arrow indicates shift right (down).

Moving down below the control section to the data section, we have external inputs P0-P15, pins (7-11, 13-
23). The prefix 3,4 of internal label 3,4D indicates that M3 and the clock C4 control loading of parallel data.
The D stands for Data. This label is assumed to apply to all the parallel inputs, though not explicitly written
out. Locate the label 3',4D on the right of the P0 (pin7) stage. The complemented-3 indicates that
M3=MODE=0 inputs (shifts) SER/Q15 (pin5) at clock time, (4 of 3',4D) corresponding to clock C4. In other
words, with MODE=0, we shift data into Q0 from the serial input (pin 6). All other stages shift right (down) at
clock time.

Moving to the bottom of the symbol, the triangle pointing right indicates a buffer between Q and the output
pin. The Triangle pointing down indicates a tri-state device. We previously stated that the tristate is controlled
by enable EN, which is actually G1 AND G2 from the control section. If R/W=0, the tri-state is disabled, and
we can shift data into Q0 via SER (pin 6), a detail we omitted above. We actually need MODE=0, R/W'=0,
CS'=0

The internal logic of the SN74LS674 and a table summarizing the operation of the control signals is available in
the link in the bullet list, top of section.
If R/W'=1, the tristate is enabled, Q15 shifts out SER/Q15 (pin 6) and recirculates to the Q0 stage via the
right hand wire to 3',4D. We have assumed that CS' was low giving us clock C4/3' and G2 to ENable the tri-
state.

Practical applications

An application of a parallel-in/ serial-out shift register is to read data into a microprocessor.

The Alarm above is controlled by a remote keypad. The alarm box supplies +5V and ground to the remote
keypad to power it. The alarm reads the remote keypad every few tens of milliseconds by sending shift clocks
to the keypad which returns serial data showing the status of the keys via a parallel-in/ serial-out shift register.
Thus, we read nine key switches with four wires. How many wires would be required if we had to run a circuit
for each of the nine keys?
A practical application of a parallel-in/ serial-out shift register is to read many switch closures into a
microprocessor on just a few pins. Some low end microprocessors only have 6-I/O (Input/Output) pins
available on an 8-pin package. Or, we may have used most of the pins on an 84-pin package. We may want to
reduce the number of wires running around a circuit board, machine, vehicle, or building. This will increase the
reliability of our system. It has been reported that manufacturers who have reduced the number of wires in an
automobile produce a more reliable product. In any event, only three microprocessor pins are required to read
in 8-bits of data from the switches in the figure above.

We have chosen an asynchronous loading device, the CD4021B because it is easier to control the loading of
data without having to generate a single parallel load clock. The parallel data inputs of the shift register are
pulled up to +5V with a resistor on each input. If all switches are open, all 1s will be loaded into the shift
register when the microprocessor moves the LD/SH' line from low to high, then back low in anticipation of
shifting. Any switch closures will apply logic 0s to the corresponding parallel inputs. The data pattern at P1-P7
will be parallel loaded by the LD/SH'=1 generated by the microprocessor software.

The microprocessor generates shift pulses and reads a data bit for each of the 8-bits. This process may be
performed totally with software, or larger microprocessors may have one or more serial interfaces to do the
task more quickly with hardware. With LD/SH'=0, the microprocessor generates a 0 to 1 transition on the
Shift clock line, then reads a data bit on the Serial data in line. This is repeated for all 8-bits.

The SER line of the shift register may be driven by another identical CD4021B circuit if more switch contacts
need to be read. In which case, the microprocessor generates 16-shift pulses. More likely, it will be driven by
something else compatible with this serial data format, for example, an analog to digital converter, a
temperature sensor, a keyboard scanner, a serial read-only memory. As for the switch closures, they may be
limit switches on the carriage of a machine, an over-temperature sensor, a magnetic reed switch, a door or
window switch, an air or water pressure switch, or a solid state optical interrupter.

Serial-in, parallel-out shift register

A serial-in/parallel-out shift register is similar to the serial-in/ serial-out shift register in that it shifts data into
internal storage elements and shifts data out at the serial-out, data-out, pin. It is different in that it makes all
the internal stages available as outputs. Therefore, a serial-in/parallel-out shift register converts data from
serial format to parallel format. If four data bits are shifted in by four clock pulses via a single wire at data-in,
below, the data becomes available simultaneously on the four Outputs QA to QD after the fourth clock pulse.

The practical application of the serial-in/parallel-out shift register is to convert data from serial format on a
single wire to parallel format on multiple wires. Perhaps, we will illuminate four LEDs (Light Emitting Diodes)
with the four outputs (QA QB QC QD ).
The above details of the serial-in/parallel-out shift register are fairly simple. It looks like a serial-in/ serial-out
shift register with taps added to each stage output. Serial data shifts in at SI (Serial Input). After a number of
clocks equal to the number of stages, the first data bit in appears at SO (QD) in the above figure. In general,
there is no SO pin. The last stage (QD above) serves as SO and is cascaded to the next package if it exists.

If a serial-in/parallel-out shift register is so similar to a serial-in/ serial-out shift register, why do

manufacturers bother to offer both types? Why not just offer the serial-in/parallel-out shift register? They
actually only offer the serial-in/parallel-out shift register, as long as it has no more than 8-bits. Note that
serial-in/ serial-out shift registers come in gigger than 8-bit lengths of 18 to to 64-bits. It is not practical to
offer a 64-bit serial-in/parallel-out shift register requiring that many output pins. See waveforms below for
above shift register.

The shift register has been cleared prior to any data by CLR', an active low signal, which clears all type D Flip-
Flops within the shift register. Note the serial data 1011 pattern presented at the SI input. This data is
synchronized with the clock CLK. This would be the case if it is being shifted in from something like another
shift register, for example, a parallel-in/ serial-out shift register (not shown here). On the first clock at t1, the
data 1 at SI is shifted from D to Q of the first shift register stage. After t2 this first data bit is at QB. After t3 it
is at QC. After t4 it is at QD. Four clock pulses have shifted the first data bit all the way to the last stage QD.
The second data bit a 0 is at QC after the 4th clock. The third data bit a 1 is at QB. The fourth data bit another
1 is at QA. Thus, the serial data input pattern 1011 is contained in (QD QC QB QA). It is now available on the
four outputs.

It will available on the four outputs from just after clock t4 to just before t5. This parallel data must be used or
stored between these two times, or it will be lost due to shifting out the QD stage on following clocks t5 to t8 as
shown above.

Serial-in/ parallel-out devices

Let's take a closer look at Serial-in/ parallel-out shift registers available as integrated circuits, courtesy of
Texas Instruments. For complete device data sheets follow the links.

• SN74ALS164A serial-in/ parallel-out 8-bit shift register

[*]

• SN74AHC594 serial-in/ parallel-out 8-bit shift register with output register

[*]

• SN74AHC595 serial-in/ parallel-out 8-bit shift register with output register

[*]

• CD4094 serial-in/ parallel-out 8-bit shift register with output register

[*]

[*]

The 74ALS164A is almost identical to our prior diagram with the exception of the two serial inputs A and B.
The unused input should be pulled high to enable the other input. We do not show all the stages above.
However, all the outputs are shown on the ANSI symbol below, along with the pin numbers.

The CLK input to the control section of the above ANSI symbol has two internal functions C1, control of
anything with a prefix of 1. This would be clocking in of data at 1D. The second function, the arrow after after
the slash (/) is right (down) shifting of data within the shift register. The eight outputs are available to the
right of the eight registers below the control section. The first stage is wider than the others to accommodate
the A&B input.
The above internal logic diagram is adapted from the TI (Texas Instruments) data sheet for the 74AHC594.
The type "D" FFs in the top row comprise a serial-in/ parallel-out shift register. This section works like the
previously described devices. The outputs (QA' QB' to QH' ) of the shift register half of the device feed the type
"D" FFs in the lower half in parallel. QH' (pin 9) is shifted out to any optional cascaded device package.

A single positive clock edge at RCLK will transfer the data from D to Q of the lower FFs. All 8-bits transfer in
parallel to the output register (a collection of storage elements). The purpose of the output register is to
maintain a constant data output while new data is being shifted into the upper shift register section. This is
necessary if the outputs drive relays, valves, motors, solenoids, horns, or buzzers. This feature may not be
necessary when driving LEDs as long as flicker during shifting is not a problem.

Note that the 74AHC594 has separate clocks for the shift register (SRCLK) and the output register ( RCLK).
Also, the shifter may be cleared by SRCLR and, the output register by RCLR. It desirable to put the outputs in
a known state at power-on, in particular, if driving relays, motors, etc. The waveforms below illustrate shifting
and latching of data.

The above waveforms show shifting of 4-bits of data into the first four stages of 74AHC594, then the parallel
transfer to the output register. In actual fact, the 74AHC594 is an 8-bit shift register, and it would take 8-
clocks to shift in 8-bits of data, which would be the normal mode of operation. However, the 4-bits we show
saves space and adequately illustrates the operation.

We clear the shift register half a clock prior to t0 with SRCLR'=0. SRCLR' must be released back high prior to
shifting. Just prior to t0 the output register is cleared by RCLR'=0. It, too, is released ( RCLR'=1).

Serial data 1011 is presented at the SI pin between clocks t0 and t4. It is shifted in by clocks t1 t2 t3 t4
appearing at internal shift stages QA' QB' QC' QD' . This data is present at these stages between t4 and t5. After
t5 the desired data (1011) will be unavailable on these internal shifter stages.

Between t4 and t5 we apply a positive going RCLK transferring data 1011 to register outputs QA QB QC QD .
This data will be frozen here as more data (0s) shifts in during the succeeding SRCLKs (t5 to t8). There will not
be a change in data here until another RCLK is applied.

The 74AHC595 is identical to the '594 except that the RCLR' is replaced by an OE' enabling a tri-state buffer
at the output of each of the eight output register bits. Though the output register cannot be cleared, the
outputs may be disconnected by OE'=1. This would allow external pull-up or pull-down resistors to force any
relay, solenoid, or valve drivers to a known state during a system power-up. Once the system is powered-up
and, say, a microprocessor has shifted and latched data into the '595, the output enable could be asserted
(OE'=0) to drive the relays, solenoids, and valves with valid data, but, not before that time.
Above are the proposed ANSI symbols for these devices. C3 clocks data into the serial input (external SER) as
indicate by the 3 prefix of 2,3D. The arrow after C3/ indicates shifting right (down) of the shift register, the 8-
stages to the left of the '595symbol below the control section. The 2 prefix of 2,3D and 2D indicates that these
stages can be reset by R2 (external SRCLR').

The 1 prefix of 1,4D on the '594 indicates that R1 (external RCLR') may reset the output register, which is to
the right of the shift register section. The '595, which has an EN at external OE' cannot reset the output
register. But, the EN enables tristate (inverted triangle) output buffers. The right pointing triangle of both the
'594 and'595 indicates internal buffering. Both the '594 and'595 output registers are clocked by C4 as
indicated by 4 of 1,4D and 4D respectively.

The CD4094B is a 3 to 15VDC capable latching shift register alternative to the previous 74AHC594 devices.
CLOCK, C1, shifts data in at SERIAL IN as implied by the 1 prefix of 1D. It is also the clock of the right
shifting shift register (left half of the symbol body) as indicated by the /(right-arrow) of C1/(arrow) at the
CLOCK input.

STROBE, C2 is the clock for the 8-bit output register to the right of the symbol body. The 2 of 2D indicates
that C2 is the clock for the output register. The inverted triangle in the output latch indicates that the output is
tristated, being enabled by EN3. The 3 preceding the inverted triangle and the 3 of EN3 are often omitted, as
any enable (EN) is understood to control the tristate outputs.

QS and QS' are non-latched outputs of the shift register stage. QS could be cascaded to SERIAL IN of a
succeeding device.

Practical applications

A real-world application of the serial-in/ parallel-out shift register is to output data from a microprocessor to a
remote panel indicator. Or, another remote output device which accepts serial format data.

The figure "Alarm with remote key pad" is repeated here from the parallel-in/ serial-out section with the
addition of the remote display. Thus, we can display, for example, the status of the alarm loops connected to
the main alarm box. If the Alarm detects an open window, it can send serial data to the remote display to let
us know. Both the keypad and the display would likely be contained within the same remote enclosure,
separate from the main alarm box. However, we will only look at the display panel in this section.

If the display were on the same board as the Alarm, we could just run eight wires to the eight LEDs along with
two wires for power and ground. These eight wires are much less desirable on a long run to a remote panel.
Using shift registers, we only need to run five wires- clock, serial data, a strobe, power, and ground. If the
panel were just a few inches away from the main board, it might still be desirable to cut down on the number
of wires in a connecting cable to improve reliability. Also, we sometimes use up most of the available pins on a
microprocessor and need to use serial techniques to expand the number of outputs. Some integrated circuit
output devices, such as Digital to Analog converters contain serial-in/ parallel-out shift registers to receive data
from microprocessors. The techniques illustrated here are applicable to those parts.
We have chosen the 74AHC594 serial-in/ parallel-out shift register with output register; though, it requires an
extra pin, RCLK, to parallel load the shifted-in data to the output pins. This extra pin prevents the outputs
from changing while data is shifting in. This is not much of a problem for LEDs. But, it would be a problem if
driving relays, valves, motors, etc.

Code executed within the microprocessor would start with 8-bits of data to be output. One bit would be output
on the "Serial data out" pin, driving SER of the remote 74AHC594. Next, the microprocessor generates a low
to high transition on "Shift clock", driving SRCLK of the '595 shift register. This positive clock shifts the data
bit at SER from "D" to "Q" of the first shift register stage. This has no effect on the QA LED at this time
because of the internal 8-bit output register between the shift register and the output pins (QA to QH). Finally,
"Shift clock" is pulled back low by the microprocessor. This completes the shifting of one bit into the '595.

The above procedure is repeated seven more times to complete the shifting of 8-bits of data from the
microprocessor into the 74AHC594 serial-in/ parallel-out shift register. To transfer the 8-bits of data within the
internal '595 shift register to the output requires that the microprocessor generate a low to high transition on
RCLK, the output register clock. This applies new data to the LEDs. The RCLK needs to be pulled back low in
anticipation of the next 8-bit transfer of data.

The data present at the output of the '595 will remain until the process in the above two paragraphs is
repeated for a new 8-bits of data. In particular, new data can be shifted into the '595 internal shift register
without affecting the LEDs. The LEDs will only be updated with new data with the application of the RCLK
rising edge.

What if we need to drive more than eight LEDs? Simply cascade another 74AHC594 SER pin to the QH' of the
existing shifter. Parallel the SRCLK and RCLK pins. The microprocessor would need to transfer 16-bits of data
with 16-clocks before generating an RCLK feeding both devices.

The discrete LED indicators, which we show, could be 7-segment LEDs. Though, there are LSI (Large Scale
Integration) devices capable of driving several 7-segment digits. This device accepts data from a
microprocessor in a serial format, driving more LED segments than it has pins by by multiplexing the LEDs. For
example, see link below for MAX6955

[*]

Serial-in, parallel-out shift register

A serial-in/parallel-out shift register is similar to the serial-in/ serial-out shift register in that it shifts data into
internal storage elements and shifts data out at the serial-out, data-out, pin. It is different in that it makes all
the internal stages available as outputs. Therefore, a serial-in/parallel-out shift register converts data from
serial format to parallel format. If four data bits are shifted in by four clock pulses via a single wire at data-in,
below, the data becomes available simultaneously on the four Outputs QA to QD after the fourth clock pulse.
The practical application of the serial-in/parallel-out shift register is to convert data from serial format on a
single wire to parallel format on multiple wires. Perhaps, we will illuminate four LEDs (Light Emitting Diodes)
with the four outputs (QA QB QC QD ).

The above details of the serial-in/parallel-out shift register are fairly simple. It looks like a serial-in/ serial-out
shift register with taps added to each stage output. Serial data shifts in at SI (Serial Input). After a number of
clocks equal to the number of stages, the first data bit in appears at SO (QD) in the above figure. In general,
there is no SO pin. The last stage (QD above) serves as SO and is cascaded to the next package if it exists.

If a serial-in/parallel-out shift register is so similar to a serial-in/ serial-out shift register, why do

manufacturers bother to offer both types? Why not just offer the serial-in/parallel-out shift register? They
actually only offer the serial-in/parallel-out shift register, as long as it has no more than 8-bits. Note that
serial-in/ serial-out shift registers come in gigger than 8-bit lengths of 18 to to 64-bits. It is not practical to
offer a 64-bit serial-in/parallel-out shift register requiring that many output pins. See waveforms below for
above shift register.
The shift register has been cleared prior to any data by CLR', an active low signal, which clears all type D Flip-
Flops within the shift register. Note the serial data 1011 pattern presented at the SI input. This data is
synchronized with the clock CLK. This would be the case if it is being shifted in from something like another
shift register, for example, a parallel-in/ serial-out shift register (not shown here). On the first clock at t1, the
data 1 at SI is shifted from D to Q of the first shift register stage. After t2 this first data bit is at QB. After t3 it
is at QC. After t4 it is at QD. Four clock pulses have shifted the first data bit all the way to the last stage QD.
The second data bit a 0 is at QC after the 4th clock. The third data bit a 1 is at QB. The fourth data bit another
1 is at QA. Thus, the serial data input pattern 1011 is contained in (QD QC QB QA). It is now available on the
four outputs.

It will available on the four outputs from just after clock t4 to just before t5. This parallel data must be used or
stored between these two times, or it will be lost due to shifting out the QD stage on following clocks t5 to t8 as
shown above.

Serial-in/ parallel-out devices

Let's take a closer look at Serial-in/ parallel-out shift registers available as integrated circuits, courtesy of
Texas Instruments. For complete device data sheets follow the links.

• SN74ALS164A serial-in/ parallel-out 8-bit shift register

[*]

• SN74AHC594 serial-in/ parallel-out 8-bit shift register with output register

[*]

• SN74AHC595 serial-in/ parallel-out 8-bit shift register with output register

[*]

• CD4094 serial-in/ parallel-out 8-bit shift register with output register

[*]
 [*]

The 74ALS164A is almost identical to our prior diagram with the exception of the two serial inputs A and B.
The unused input should be pulled high to enable the other input. We do not show all the stages above.
However, all the outputs are shown on the ANSI symbol below, along with the pin numbers.

The CLK input to the control section of the above ANSI symbol has two internal functions C1, control of
anything with a prefix of 1. This would be clocking in of data at 1D. The second function, the arrow after after
the slash (/) is right (down) shifting of data within the shift register. The eight outputs are available to the
right of the eight registers below the control section. The first stage is wider than the others to accommodate
the A&B input.
The above internal logic diagram is adapted from the TI (Texas Instruments) data sheet for the 74AHC594.
The type "D" FFs in the top row comprise a serial-in/ parallel-out shift register. This section works like the
previously described devices. The outputs (QA' QB' to QH' ) of the shift register half of the device feed the type
"D" FFs in the lower half in parallel. QH' (pin 9) is shifted out to any optional cascaded device package.

A single positive clock edge at RCLK will transfer the data from D to Q of the lower FFs. All 8-bits transfer in
parallel to the output register (a collection of storage elements). The purpose of the output register is to
maintain a constant data output while new data is being shifted into the upper shift register section. This is
necessary if the outputs drive relays, valves, motors, solenoids, horns, or buzzers. This feature may not be
necessary when driving LEDs as long as flicker during shifting is not a problem.

Note that the 74AHC594 has separate clocks for the shift register (SRCLK) and the output register ( RCLK).
Also, the shifter may be cleared by SRCLR and, the output register by RCLR. It desirable to put the outputs in
a known state at power-on, in particular, if driving relays, motors, etc. The waveforms below illustrate shifting
and latching of data.
The above waveforms show shifting of 4-bits of data into the first four stages of 74AHC594, then the parallel
transfer to the output register. In actual fact, the 74AHC594 is an 8-bit shift register, and it would take 8-
clocks to shift in 8-bits of data, which would be the normal mode of operation. However, the 4-bits we show
saves space and adequately illustrates the operation.

We clear the shift register half a clock prior to t0 with SRCLR'=0. SRCLR' must be released back high prior to
shifting. Just prior to t0 the output register is cleared by RCLR'=0. It, too, is released ( RCLR'=1).

Serial data 1011 is presented at the SI pin between clocks t0 and t4. It is shifted in by clocks t1 t2 t3 t4
appearing at internal shift stages QA' QB' QC' QD' . This data is present at these stages between t4 and t5. After
t5 the desired data (1011) will be unavailable on these internal shifter stages.

Between t4 and t5 we apply a positive going RCLK transferring data 1011 to register outputs QA QB QC QD .
This data will be frozen here as more data (0s) shifts in during the succeeding SRCLKs (t5 to t8). There will not
be a change in data here until another RCLK is applied.
The 74AHC595 is identical to the '594 except that the RCLR' is replaced by an OE' enabling a tri-state buffer
at the output of each of the eight output register bits. Though the output register cannot be cleared, the
outputs may be disconnected by OE'=1. This would allow external pull-up or pull-down resistors to force any
relay, solenoid, or valve drivers to a known state during a system power-up. Once the system is powered-up
and, say, a microprocessor has shifted and latched data into the '595, the output enable could be asserted
(OE'=0) to drive the relays, solenoids, and valves with valid data, but, not before that time.
Above are the proposed ANSI symbols for these devices. C3 clocks data into the serial input (external SER) as
indicate by the 3 prefix of 2,3D. The arrow after C3/ indicates shifting right (down) of the shift register, the 8-
stages to the left of the '595symbol below the control section. The 2 prefix of 2,3D and 2D indicates that these
stages can be reset by R2 (external SRCLR').

The 1 prefix of 1,4D on the '594 indicates that R1 (external RCLR') may reset the output register, which is to
the right of the shift register section. The '595, which has an EN at external OE' cannot reset the output
register. But, the EN enables tristate (inverted triangle) output buffers. The right pointing triangle of both the
'594 and'595 indicates internal buffering. Both the '594 and'595 output registers are clocked by C4 as
indicated by 4 of 1,4D and 4D respectively.

The CD4094B is a 3 to 15VDC capable latching shift register alternative to the previous 74AHC594 devices.
CLOCK, C1, shifts data in at SERIAL IN as implied by the 1 prefix of 1D. It is also the clock of the right
shifting shift register (left half of the symbol body) as indicated by the /(right-arrow) of C1/(arrow) at the
CLOCK input.

STROBE, C2 is the clock for the 8-bit output register to the right of the symbol body. The 2 of 2D indicates
that C2 is the clock for the output register. The inverted triangle in the output latch indicates that the output is
tristated, being enabled by EN3. The 3 preceding the inverted triangle and the 3 of EN3 are often omitted, as
any enable (EN) is understood to control the tristate outputs.

QS and QS' are non-latched outputs of the shift register stage. QS could be cascaded to SERIAL IN of a
succeeding device.

Practical applications

A real-world application of the serial-in/ parallel-out shift register is to output data from a microprocessor to a
remote panel indicator. Or, another remote output device which accepts serial format data.
The figure "Alarm with remote key pad" is repeated here from the parallel-in/ serial-out section with the
addition of the remote display. Thus, we can display, for example, the status of the alarm loops connected to
the main alarm box. If the Alarm detects an open window, it can send serial data to the remote display to let
us know. Both the keypad and the display would likely be contained within the same remote enclosure,
separate from the main alarm box. However, we will only look at the display panel in this section.

If the display were on the same board as the Alarm, we could just run eight wires to the eight LEDs along with
two wires for power and ground. These eight wires are much less desirable on a long run to a remote panel.
Using shift registers, we only need to run five wires- clock, serial data, a strobe, power, and ground. If the
panel were just a few inches away from the main board, it might still be desirable to cut down on the number
of wires in a connecting cable to improve reliability. Also, we sometimes use up most of the available pins on a
microprocessor and need to use serial techniques to expand the number of outputs. Some integrated circuit
output devices, such as Digital to Analog converters contain serial-in/ parallel-out shift registers to receive data
from microprocessors. The techniques illustrated here are applicable to those parts.

We have chosen the 74AHC594 serial-in/ parallel-out shift register with output register; though, it requires an
extra pin, RCLK, to parallel load the shifted-in data to the output pins. This extra pin prevents the outputs
from changing while data is shifting in. This is not much of a problem for LEDs. But, it would be a problem if
driving relays, valves, motors, etc.

Code executed within the microprocessor would start with 8-bits of data to be output. One bit would be output
on the "Serial data out" pin, driving SER of the remote 74AHC594. Next, the microprocessor generates a low
to high transition on "Shift clock", driving SRCLK of the '595 shift register. This positive clock shifts the data
bit at SER from "D" to "Q" of the first shift register stage. This has no effect on the QA LED at this time
because of the internal 8-bit output register between the shift register and the output pins (QA to QH). Finally,
"Shift clock" is pulled back low by the microprocessor. This completes the shifting of one bit into the '595.

The above procedure is repeated seven more times to complete the shifting of 8-bits of data from the
microprocessor into the 74AHC594 serial-in/ parallel-out shift register. To transfer the 8-bits of data within the
internal '595 shift register to the output requires that the microprocessor generate a low to high transition on
RCLK, the output register clock. This applies new data to the LEDs. The RCLK needs to be pulled back low in
anticipation of the next 8-bit transfer of data.

The data present at the output of the '595 will remain until the process in the above two paragraphs is
repeated for a new 8-bits of data. In particular, new data can be shifted into the '595 internal shift register
without affecting the LEDs. The LEDs will only be updated with new data with the application of the RCLK
rising edge.

What if we need to drive more than eight LEDs? Simply cascade another 74AHC594 SER pin to the QH' of the
existing shifter. Parallel the SRCLK and RCLK pins. The microprocessor would need to transfer 16-bits of data
with 16-clocks before generating an RCLK feeding both devices.

The discrete LED indicators, which we show, could be 7-segment LEDs. Though, there are LSI (Large Scale
Integration) devices capable of driving several 7-segment digits. This device accepts data from a
microprocessor in a serial format, driving more LED segments than it has pins by by multiplexing the LEDs. For
example, see link below for MAX6955

[*]

Parallel-in, parallel-out, universal shift register

The purpose of the parallel-in/ parallel-out shift register is to take in parallel data, shift it, then output it as
shown below. A universal shift register is a do-everything device in addition to the parallel-in/ parallel-out
function.

Above we apply four bit of data to a parallel-in/ parallel-out shift register at DA DB DC DD. The mode control,
which may be multiple inputs, controls parallel loading vs shifting. The mode control may also control the
direction of shifting in some real devices. The data will be shifted one bit position for each clock pulse. The
shifted data is available at the outputs QA QB QC QD . The "data in" and "data out" are provided for cascading
of multiple stages. Though, above, we can only cascade data for right shifting. We could accommodate
cascading of left-shift data by adding a pair of left pointing signals, "data in" and "data out", above.
The internal details of a right shifting parallel-in/ parallel-out shift register are shown below. The tri-state
buffers are not strictly necessary to the parallel-in/ parallel-out shift register, but are part of the real-world
device shown below.

The 74LS395 so closely matches our concept of a hypothetical right shifting parallel-in/ parallel-out shift
register that we use an overly simplified version of the data sheet details above. See the link to the full data
sheet more more details, later in this chapter.

LD/SH' controls the AND-OR multiplexer at the data input to the FF's. If LD/SH'=1, the upper four AND gates
are enabled allowing application of parallel inputs DA DB DC DD to the four FF data inputs. Note the inverter
bubble at the clock input of the four FFs. This indicates that the 74LS395 clocks data on the negative going
clock, which is the high to low transition. The four bits of data will be clocked in parallel from DA DB DC DD to
QA QB QC QD at the next negative going clock. In this "real part", OC' must be low if the data needs to be
available at the actual output pins as opposed to only on the internal FFs.

The previously loaded data may be shifted right by one bit position if LD/SH'=0 for the succeeding negative
going clock edges. Four clocks would shift the data entirely out of our 4-bit shift register. The data would be
lost unless our device was cascaded from QD' to SER of another device.

Above, a data pattern is presented to inputs DA DB DC DD. The pattern is loaded to QA QB QC QD . Then it is
shifted one bit to the right. The incoming data is indicated by X, meaning the we do no know what it is. If the
input (SER) were grounded, for example, we would know what data (0) was shifted in. Also shown, is right
shifting by two positions, requiring two clocks.
The above figure serves as a reference for the hardware involved in right shifting of data. It is too simple to
even bother with this figure, except for comparison to more complex figures to follow.

Right shifting of data is provided above for reference to the previous right shifter.

If we need to shift left, the FFs need to be rewired. Compare to the previous right shifter. Also, SI and SO
have been reversed. SI shifts to QC. QC shifts to QB. QB shifts to QA. QA leaves on the SO connection, where it
could cascade to another shifter SI. This left shift sequence is backwards from the right shift sequence.
Above we shift the same data pattern left by one bit.

There is one problem with the "shift left" figure above. There is no market for it. Nobody manufactures a shift-
left part. A "real device" which shifts one direction can be wired externally to shift the other direction. Or,
should we say there is no left or right in the context of a device which shifts in only one direction. However,
there is a market for a device which will shift left or right on command by a control line. Of course, left and
right are valid in that context.

What we have above is a hypothetical shift register capable of shifting either direction under the control of
L'/R. It is setup with L'/R=1 to shift the normal direction, right. L'/R=1 enables the multiplexer AND gates
labeled R. This allows data to follow the path illustrated by the arrows, when a clock is applied. The connection
path is the same as the"too simple" "shift right" figure above.

Data shifts in at SR, to QA, to QB, to QC, where it leaves at SR cascade. This pin could drive SR of another
device to the right.

What if we change L'/R to L'/R=0?

With L'/R=0, the multiplexer AND gates labeled L are enabled, yielding a path, shown by the arrows, the
same as the above "shift left" figure. Data shifts in at SL, to QC, to QB, to QA, where it leaves at SL cascade.
This pin could drive SL of another device to the left.

The prime virtue of the above two figures illustrating the "shift left/ right register" is simplicity. The operation
of the left right control L'/R=0 is easy to follow. A commercial part needs the parallel data loading implied by
the section title. This appears in the figure below.
Now that we can shift both left and right via L'/R, let us add SH/LD', shift/ load, and the AND gates labeled
"load" to provide for parallel loading of data from inputs DA DB DC. When SH/LD'=0, AND gates R and L are
disabled, AND gates "load" are enabled to pass data DA DB DC to the FF data inputs. the next clock CLK will
clock the data to QA QB QC. As long as the same data is present it will be re-loaded on succeeding clocks.
However, data present for only one clock will be lost from the outputs when it is no longer present on the data
inputs. One solution is to load the data on one clock, then proceed to shift on the next four clocks. This
problem is remedied in the 74ALS299 by the addition of another AND gate to the multiplexer.

If SH/LD' is changed to SH/LD'=1, the AND gates labeled "load" are disabled, allowing the left/ right control
L'/R to set the direction of shift on the L or R AND gates. Shifting is as in the previous figures.

The only thing needed to produce a viable integrated device is to add the fourth AND gate to the multiplexer as
alluded for the 74ALS299. This is shown in the next section for that part.

Parallel-in/ parallel-out and universal devices

Let's take a closer look at Serial-in/ parallel-out shift registers available as integrated circuits, courtesy of
Texas Instruments. For complete device data sheets, follow the links.

• SN74LS395A parallel-in/ parallel-out 4-bit shift register

[*]

• SN74ALS299 parallel-in/ parallel-out 8-bit universal shift register

[*]

We have already looked at the internal details of the SN74LS395A, see above previous figure, 74LS395
parallel-in/ parallel-out shift register with tri-state output. Directly above is the ANSI symbol for the 74LS395.

Why only 4-bits, as indicated by SRG4 above? Having both parallel inputs, and parallel outputs, in addition to
control and power pins, does not allow for any more I/O (Input/Output) bits in a 16-pin DIP (Dual Inline
Package).

R indicates that the shift register stages are reset by input CLR' (active low- inverting half arrow at input) of
the control section at the top of the symbol. OC', when low, (invert arrow again) will enable (EN4) the four
tristate output buffers (QA QB QC QD ) in the data section. Load/shift' (LD/SH') at pin (7) corresponds to
internals M1 (load) and M2 (shift). Look for prefixes of 1 and 2 in the rest of the symbol to ascertain what is
controlled by these.
The negative edge sensitive clock (indicated by the invert arrow at pin-10) C3/2has two functions. First, the 3
of C3/2 affects any input having a prefix of 3, say 2,3D or 1,3D in the data section. This would be parallel
load at A, B, C, D attributed to M1 and C3 for 1,3D. Second, 2 of C3/2-right-arrow indicates data clocking
wherever 2 appears in a prefix (2,3D at pin-2). Thus we have clocking of data at SER into QA with mode 2 .
The right arrow after C3/2 accounts for shifting at internal shift register stages QA QB QC QD.

The right pointing triangles indicate buffering; the inverted triangle indicates tri-state, controlled by the EN4.
Note, all the 4s in the symbol associated with the EN are frequently omitted. Stages QB QC are understood to
have the same attributes as QD. QD' cascades to the next package's SER to the right.

The table above, condensed from the data '299 data sheet, summarizes the operation of the 74ALS299
universal shift/ storage register. Follow the '299 link above for full details. The Multiplexer gates R, L, load
operate as in the previous "shift left/ right register" figures. The difference is that the mode inputs S1 and S0
select shift left, shift right, and load with mode set to S1 S0 = to 01, 10, and 11respectively as shown in the
table, enabling multiplexer gates L, R, and load respectively. See table. A minor difference is the parallel load
path from the tri-state outputs. Actually the tri-state buffers are (must be) disabled by S1 S0 = 11 to float the
I/O bus for use as inputs. A bus is a collection of similar signals. The inputs are applied to A, B through H
(same pins as QA, QB, through QH) and routed to the load gate in the multiplexers, and on the the D inputs of
the FFs. Data is parallel load on a clock pulse.

The one new multiplexer gate is the AND gate labeled hold, enabled by S1 S0 = 00. The hold gate enables a
path from the Q output of the FF back to the hold gate, to the D input of the same FF. The result is that with
mode S1 S0 = 00, the output is continuously re-loaded with each new clock pulse. Thus, data is held. This is
summarized in the table.

To read data from outputs QA, QB, through QH, the tri-state buffers must be enabled by OE2', OE1' =00 and
mode =S1 S0 = 00, 01, or 10. That is, mode is anything except load. See second table.
Right shift data from a package to the left, shifts in on the SR input. Any data shifted out to the right from
stage QH cascades to the right via QH'. This output is unaffected by the tri-state buffers. The shift right
sequence for S1 S0 = 10 is:

SR > QA > QB > QC > QD > QE > QF > QG > QH (QH')

Left shift data from a package to the right shifts in on the SL input. Any data shifted out to the left from stage
QA cascades to the left via QA', also unaffected by the tri-state buffers. The shift left sequence for S1 S0 = 01
is:

(QA') QA < QB < QC < QD < QE < QF < QG < QH (QSL')

Shifting may take place with the tri-state buffers disabled by one of OE2' or OE1' = 1. Though, the register
contents outputs will not be accessible. See table.
The "clean" ANSI symbol for the SN74ALS299 parallel-in/ parallel-out 8-bit universal shift register with tri-state
output is shown for reference above.
The annotated version of the ANSI symbol is shown to clarify the terminology contained therein. Note that the
ANSI mode (S0 S1) is reversed from the order (S1 S0) used in the previous table. That reverses the decimal
mode numbers (1 & 2). In any event, we are in complete agreement with the official data sheet, copying this
inconsistency.

Practical applications

The Alarm with remote keypad block diagram is repeated below. Previously, we built the keypad reader and
the remote display as separate units. Now we will combine both the keypad and display into a single unit using
a universal shift register. Though separate in the diagram, the Keypad and Display are both contained within
the same remote enclosure.
We will parallel load the keyboard data into the shift register on a single clock pulse, then shift it out to the
main alarm box. At the same time , we will shift LED data from the main alarm to the remote shift register to
illuminate the LEDs. We will be simultaneously shifting keyboard data out and LED data into the shift register.

Eight LEDs and current limiting resistors are connected to the eight I/O pins of the 74ALS299 universal shift
register. The LEDS can only be driven during Mode 3 with S1=0 S0=0. The OE1' and OE2' tristate enables
are grounded to permenantly enable the tristate outputs during modes 0, 1, 2. That will cause the LEDS to
light (flicker) during shifting. If this were a problem the EN1' and EN2' could be ungrounded and paralleled
with S1 and S0 respectively to only enable the tristate buffers and light the LEDS during hold, mode 3. Let's
keep it simple for this example.

During parallel loading, S0=1 inverted to a 0, enables the octal tristate buffers to ground the switch wipers.
The upper, open, switch contacts are pulled up to logic high by the resister-LED combination at the eight
inputs. Any switch closure will short the input low. We parallel load the switch data into the '299 at clock t0
when both S0 and S1 are high. See waveforms below.
Once S0 goes low, eight clocks (t0 tot8) shift switch closure data out of the '299 via the Qh' pin. At the same
time, new LED data is shifted in at SR of the 299 by the same eight clocks. The LED data replaces the switch
closure data as shifting proceeds.

After the 8th shift clock, t8, S1 goes low to yield hold mode (S1 S0 = 00). The data in the shift register
remains the same even if there are more clocks, for example, T9, t10, etc. Where do the waveforms come
from? They could be generated by a microprocessor if the clock rate were not over 100 kHz, in which case, it
would be inconvenient to generate any clocks after t8. If the clock was in the megahertz range, the clock
would run continuously. The clock, S1 and S0 would be generated by digital logic, not shown here.

Ring counters

If the output of a shift register is fed back to the input. a ring counter results. The data pattern contained
within the shift register will recirculate as long as clock pulses are applied. For example, the data pattern will
repeat every four clock pulses in the figure below. However, we must load a data pattern. All 0's or all 1's
doesn't count. Is a continuous logic level from such a condition useful?

We make provisions for loading data into the parallel-in/ serial-out shift register configured as a ring counter
below. Any random pattern may be loaded. The most generally useful pattern is a single 1.
Loading binary 1000 into the ring counter, above, prior to shifting yields a viewable pattern. The data pattern
for a single stage repeats every four clock pulses in our 4-stage example. The waveforms for all four stages
look the same, except for the one clock time delay from one stage to the next. See figure below.

The circuit above is a divide by 4 counter. Comparing the clock input to any one of the outputs, shows a
frequency ratio of 4:1. How may stages would we need for a divide by 10 ring counter? Ten stages would
recirculate the 1 every 10 clock pulses.
An alternate method of initializing the ring counter to 1000 is shown above. The shift waveforms are identical
to those above, repeating every fourth clock pulse. The requirement for initialization is a disadvantage of the
ring counter over a conventional counter. At a minimum, it must be initialized at power-up since there is no
way to predict what state flip-flops will power up in. In theory, initialization should never be required again. In
actual practice, the flip-flops could eventually be corrupted by noise, destroying the data pattern. A "self
correcting" counter, like a conventional synchronous binary counter would be more reliable.

The above binary synchronous counter needs only two stages, but requires decoder gates. The ring counter
had more stages, but was self decoding, saving the decode gates above. Another disadvantage of the ring
counter is that it is not "self starting". If we need the decoded outputs, the ring counter looks attractive, in
particular, if most of the logic is in a single shift register package. If not, the conventional binary counter is less
complex without the decoder.
The waveforms decoded from the synchronous binary counter are identical to the previous ring counter
waveforms. The counter sequence is (QA QB) = (00 01 10 11).

Johnson counters

The switch-tail ring counter, also know as the Johnson counter, overcomes some of the limitations of the ring
counter. Like a ring counter a Johnson counter is a shift register fed back on its' self. It requires half the stages
of a comparable ring counter for a given division ratio. If the complement output of a ring counter is fed back
to the input instead of the true output, a Johnson counter results. The difference between a ring counter and a
Johnson counter is which output of the last stage is fed back (Q or Q'). Carefully compare the feedback
connection below to the previous ring counter.

This "reversed" feedback connection has a profound effect upon the behavior of the otherwise similar circuits.
Recirculating a single 1 around a ring counter divides the input clock by a factor equal to the number of stages.
Whereas, a Johnson counter divides by a factor equal to twice the number of stages. For example, a 4-stage
ring counter divides by 4. A 4-stage Johnson counter divides by 8.

Start a Johnson counter by clearing all stages to 0s before the first clock. This is often done at power-up time.
Referring to the figure below, the first clock shifts three 0s from ( QA QB QC) to the right into ( QB QC QD). The
1 at QD' (the complement of Q) is shifted back into QA. Thus, we start shifting 1s to the right, replacing the 0s.
Where a ring counter recirculated a single 1, the 4-stage Johnson counter recirculates four 0s then four 1s for
an 8-bit pattern, then repeats.

The above waveforms illustrates that multi-phase square waves are generated by a Johnson counter. The 4-
stage unit above generates four overlapping phases of 50% duty cycle. How many stages would be required to
generate a set of three phase waveforms? For example, a three stage Johnson counter, driven by a 360 Hertz
clock would generate three 120o phased square waves at 60 Hertz.

The outputs of the flop-flops in a Johnson counter are easy to decode to a single state. Below for example, the
eight states of a 4-stage Johnson counter are decoded by no more than a two input gate for each of the states.
In our example, eight of the two input gates decode the states for our example Johnson counter.
No matter how long the Johnson counter, only 2-input decoder gates are needed. Note, we could have used
uninverted inputs to the AND gates by changing the gate inputs from true to inverted at the FFs, Q to Q', (and
vice versa). However, we are trying to make the diagram above match the data sheet for the CD4022B, as
closely as practical.

Above, our four phased square waves QA to QD are decoded to eight signals (G0 to G7) active during one clock
period out of a complete 8-clock cycle. For example, G0 is active high when both QA and QD are low. Thus,
pairs of the various register outputs define each of the eight states of our Johnson counter example.
Above is the more complete internal diagram of the CD4022B Johnson counter. See the manufacturers' data
sheet for minor details omitted. The major new addition to the diagram as compared to previous figures is the
disallowed state detector composed of the two NOR gates. Take a look at the inset state table. There are 8-
permissible states as listed in the table. Since our shifter has four flip-flops, there are a total of 16-states, of
which there are 8-disallowed states. That would be the ones not listed in the table.

In theory, we will not get into any of the disallowed states as long as the shift register is RESET before first
use. However, in the "real world" after many days of continuous operation due to unforeseen noise, power line
disturbances, near lightning strikes, etc, the Johnson counter could get into one of the disallowed states. For
high reliability applications, we need to plan for this slim possibility. More serious is the case where the circuit
is not cleared at power-up. In this case there is no way to know which of the 16-states the circuit will power up
in. Once in a disallowed state, the Johnson counter will not return to any of the permissible states without
intervention. That is the purpose of the NOR gates.

Examine the table for the sequence (QA QB QC) = (010). Nowhere does this sequence appear in the table of
allowed states. Therefore (010) is disallowed. It should never occur. If it does, the Johnson counter is in a
disallowed state, which it needs to exit to any allowed state. Suppose that (QA QB QC) = (010). The second
NOR gate will replace QB = 1 with a 0 at the D input to FF QC. In other words, the offending 010 is replaced
by 000. And 000, which does appear in the table, will be shifted right. There are may triple-0 sequences in the
table. This is how the NOR gates get the Johnson counter out of a disallowed state to an allowed state.

Not all disallowed states contain a 010 sequence. However, after a few clocks, this sequence will appear so
that any disallowed states will eventually be escaped. If the circuit is powered-up without a RESET, the
outputs will be unpredictable for a few clocks until an allowed state is reached. If this is a problem for a
particular application, be sure to RESET on power-up.
Johnson counter devices

A pair of integrated circuit Johnson counter devices with the output states decoded is available. We have
already looked at the CD4017 internal logic in the discussion of Johnson counters. The 4000 series devices can
operate from 3V to 15V power supplies. The the 74HC' part, designed for a TTL compatiblity, can operate from
a 2V to 6V supply, count faster, and has greater output drive capability. For complete device data sheets,
follow the links.

• CD4017 Johnson counter with 10 decoded outputs

CD4022 Johnson counter with 8 decoded outputs

[*]

• 74HC4017 Johnson counter, 10 decoded outputs

[*]

The ANSI symbols for the modulo-10 (divide by 10) and modulo-8 Johnson counters are shown above. The
symbol takes on the characteristics of a counter rather than a shift register derivative, which it is. Waveforms
for the CD4022 modulo-8 and operation were shown previously. The CD4017B/ 74HC4017 decade counter is a
5-stage Johnson counter with ten decoded outputs. The operation and waveforms are similar to the CD4017.
In fact, the CD4017 and CD4022 are both detailed on the same data sheet. See above links. The 74HC4017 is
a more modern version of the decade counter.

These devices are used where decoded outputs are needed instead of the binary or BCD (Binary Coded
Decimal) outputs found on normal counters. By decoded, we mean one line out of the ten lines is active at a
time for the '4017 in place of the four bit BCD code out of conventional counters. See previous waveforms for
1-of-8 decoding for the '4022 Octal Johnson counter.

Practical applications
The above Johnson counter shifts a lighted LED each fifth of a second around the ring of ten. Note that the
74HC4017 is used instead of the '40017 because the former part has more current drive capability. From the
data sheet, (at the link above) operating at VCC= 5V, the VOH= 4.6V at 4ma. In other words, the outputs can
supply 4 ma at 4.6 V to drive the LEDs. Keep in mind that LEDs are normally driven with 10 to 20 ma of
current. Though, they are visible down to 1 ma. This simple circuit illustrates an application of the 'HC4017.
Need a bright display for an exhibit? Then, use inverting buffers to drive the cathodes of the LEDs pulled up to
the power supply by lower value anode resistors.

The 555 timer, serving as an astable multivibrator, generates a clock frequency determined by R1 R2 C1. This
drives the 74HC4017 a step per clock as indicated by a single LED illuminated on the ring. Note, if the 555
does not reliably drive the clock pin of the '4015, run it through a single buffer stage between the 555 and the
'4017. A variable R2 could change the step rate. The value of decoupling capacitor C2 is not critical. A similar
capacitor should be applied across the power and ground pins of the '4017.
The Johnson counter above generates 3-phase square waves, phased 60o apart with respect to (QA QB QC).
However, we need 120o phased waveforms of power applications (see Volume II, AC). Choosing P1=QA P2=QC
P3=QB' yields the 120o phasing desired. See figure below. If these (P1 P2 P3) are low-pass filtered to sine
waves and amplified, this could be the beginnings of a 3-phase power supply. For example, do you need to
drive a small 3-phase 400 Hz aircraft motor? Then, feed 6x 400Hz to the above circuit CLOCK. Note that all
these waveforms are 50% duty cycle.
The circuit below produces 3-phase nonoverlapping, less than 50% duty cycle, waveforms for driving 3-phase
stepper motors.

Above we decode the overlapping outputs QA QB QC to non-overlapping outputs P0 P1 P2 as shown below.

These waveforms drive a 3-phase stepper motor after suitable amplification from the milliamp level to the
fractional amp level using the ULN2003 drivers shown above, or the discrete component Darlington pair driver
shown in the circuit which follow. Not counting the motor driver, this circuit requires three IC (Integrated
Circuit) packages: two dual type "D" FF packages and a quad NAND gate.
A single CD4017, above, generates the required 3-phase stepper waveforms in the circuit above by clearing
the Johnson counter at count 3. Count 3 persists for less than a microsecond before it clears its' self. The other
counts (Q0=G0 Q1=G1 Q2=G2) remain for a full clock period each.

The Darlington bipolar transistor drivers shown above are a substitute for the internal circuitry of the ULN2003.
The design of drivers is beyond the scope of this digital electronics chapter. Either driver may be used with
either waveform generator circuit.
The above waceforms make the most sense in the context of the internal logic of the CD4017 shown earlier in
this section. Though, the AND gating equations for the internal decoder are shown. The signals QA QB QC are
Johnson counter direct shift register outputs not available on pin-outs. The QD waveform shows resetting of the
'4017 every three clocks. Q0 Q1 Q2, etc. are decoded outputs which actually are available at output pins.

Above we generate waveforms for driving a unipolar stepper motor, which only requires one polarity of driving
signal. That is, we do not have to reverse the polarity of the drive to the windings. This simplifies the power
driver between the '4017 and the motor. Darlington pairs from a prior diagram may be substituted for the
ULN3003.

Once again, the CD4017B generates the required waveforms with a reset after the teminal count. The decoded
outputs Q0 Q1 Q2 Q3 sucessively drive the stepper motor windings, with Q4 reseting the counter at the end of
each group of four pulses.
Chapter 13: DIGITAL-ANALOG CONVERSION

Introduction

Connecting digital circuitry to sensor devices is simple if the sensor devices are inherently digital themselves.
Switches, relays, and encoders are easily interfaced with gate circuits due to the on/off nature of their signals.
However, when analog devices are involved, interfacing becomes much more complex. What is needed is a
way to electronically translate analog signals into digital (binary) quantities, and visa-versa. An analog-to-
digital converter, or ADC, performs the former task while a digital-to-analog converter, or DAC, performs the
latter.

An ADC inputs an analog electrical signal such as voltage or current and outputs a binary number. In block
diagram form, it can be represented as such:

A DAC, on the other hand, inputs a binary number and outputs an analog voltage or current signal. In block
diagram form, it looks like this:

Together, they are often used in digital systems to provide complete interface with analog sensors and output
devices for control systems such as those used in automotive engine controls:
It is much easier to convert a digital signal into an analog signal than it is to do the reverse. Therefore, we will
begin with DAC circuitry and then move to ADC circuitry.

The R/2nR DAC

This DAC circuit, otherwise known as the binary-weighted-input DAC, is a variation on the inverting summer
op-amp circuit. If you recall, the classic inverting summer circuit is an operational amplifier using negative
feedback for controlled gain, with several voltage inputs and one voltage output. The output voltage is the
inverted (opposite polarity) sum of all input voltages:

For a simple inverting summer circuit, all resistors must be of equal value. If any of the input resistors were
different, the input voltages would have different degrees of effect on the output, and the output voltage would
not be a true sum. Let's consider, however, intentionally setting the input resistors at different values. Suppose
we were to set the input resistor values at multiple powers of two: R, 2R, and 4R, instead of all the same value
R:
Starting from V1 and going through V3, this would give each input voltage exactly half the effect on the output
as the voltage before it. In other words, input voltage V1 has a 1:1 effect on the output voltage (gain of 1),
while input voltage V2 has half that much effect on the output (a gain of 1/2), and V3 half of that (a gain of
1/4). These ratios are were not arbitrarily chosen: they are the same ratios corresponding to place weights in
the binary numeration system. If we drive the inputs of this circuit with digital gates so that each input is
either 0 volts or full supply voltage, the output voltage will be an analog representation of the binary value of
these three bits.

If we chart the output voltages for all eight combinations of binary bits (000 through 111) input to this circuit,
we will get the following progression of voltages:

---------------------------------
| Binary | Output voltage |
---------------------------------
| 000 | 0.00 V |
---------------------------------
| 001 | -1.25 V |
---------------------------------
| 010 | -2.50 V |
---------------------------------
| 011 | -3.75 V |
---------------------------------
| 100 | -5.00 V |
---------------------------------
| 101 | -6.25 V |
---------------------------------
| 110 | -7.50 V |
---------------------------------
| 111 | -8.75 V |
---------------------------------

Note that with each step in the binary count sequence, there results a 1.25 volt change in the output. This
circuit is very easy to simulate using SPICE. In the following simulation, I set up the DAC circuit with a binary
input of 110 (note the first node numbers for resistors R1, R2, and R3: a node number of "1" connects it to the
positive side of a 5 volt battery, and a node number of "0" connects it to ground). The output voltage appears
on node 6 in the simulation:

binary-weighted dac
v1 1 0 dc 5
rbogus 1 0 99k
r1 1 5 1k
r2 1 5 2k
r3 0 5 4k
rfeedbk 5 6 1k
e1 6 0 5 0 999k
.end

node voltage node voltage node voltage

(1) 5.0000 (5) 0.0000 (6) -7.5000

We can adjust resistors values in this circuit to obtain output voltages directly corresponding to the binary
input. For example, by making the feedback resistor 800 Ω instead of 1 kΩ, the DAC will output -1 volt for the
binary input 001, -4 volts for the binary input 100, -7 volts for the binary input 111, and so on.

(with feedback resistor set at 800 ohms)

---------------------------------
| Binary | Output voltage |
---------------------------------
| 000 | 0.00 V |
---------------------------------
| 001 | -1.00 V |
---------------------------------
| 010 | -2.00 V |
---------------------------------
| 011 | -3.00 V |
---------------------------------
| 100 | -4.00 V |
---------------------------------
| 101 | -5.00 V |
---------------------------------
| 110 | -6.00 V |
---------------------------------
| 111 | -7.00 V |
---------------------------------

If we wish to expand the resolution of this DAC (add more bits to the input), all we need to do is add more
input resistors, holding to the same power-of-two sequence of values:

It should be noted that all logic gates must output exactly the same voltages when in the "high" state. If one
gate is outputting +5.02 volts for a "high" while another is outputting only +4.86 volts, the analog output of
the DAC will be adversely affected. Likewise, all "low" voltage levels should be identical between gates, ideally
0.00 volts exactly. It is recommended that CMOS output gates are used, and that input/feedback resistor
values are chosen so as to minimize the amount of current each gate has to source or sink.

The R/2R DAC

An alternative to the binary-weighted-input DAC is the so-called R/2R DAC, which uses fewer unique resistor
values. A disadvantage of the former DAC design was its requirement of several different precise input resistor
values: one unique value per binary input bit. Manufacture may be simplified if there are fewer different
resistor values to purchase, stock, and sort prior to assembly.

Of course, we could take our last DAC circuit and modify it to use a single input resistance value, by connecting
multiple resistors together in series:
Unfortunately, this approach merely substitutes one type of complexity for another: volume of components
over diversity of component values. There is, however, a more efficient design methodology.

By constructing a different kind of resistor network on the input of our summing circuit, we can achieve the
same kind of binary weighting with only two kinds of resistor values, and with only a modest increase in
resistor count. This "ladder" network looks like this:

Mathematically analyzing this ladder network is a bit more complex than for the previous circuit, where each
input resistor provided an easily-calculated gain for that bit. For those who are interested in pursuing the
intricacies of this circuit further, you may opt to use Thevenin's theorem for each binary input (remember to
consider the effects of the virtual ground), and/or use a simulation program like SPICE to determine circuit
response. Either way, you should obtain the following table of figures:

---------------------------------
| Binary | Output voltage |
---------------------------------
| 000 | 0.00 V |
---------------------------------
| 001 | -1.25 V |
---------------------------------
| 010 | -2.50 V |
---------------------------------
| 011 | -3.75 V |
---------------------------------
| 100 | -5.00 V |
---------------------------------
| 101 | -6.25 V |
---------------------------------
| 110 | -7.50 V |
---------------------------------
| 111 | -8.75 V |
---------------------------------

As was the case with the binary-weighted DAC design, we can modify the value of the feedback resistor to
obtain any "span" desired. For example, if we're using +5 volts for a "high" voltage level and 0 volts for a "low"
voltage level, we can obtain an analog output directly corresponding to the binary input (011 = -3 volts, 101 =
-5 volts, 111 = -7 volts, etc.) by using a feedback resistance with a value of 1.6R instead of 2R.

Flash ADC

Also called the parallel A/D converter, this circuit is the simplest to understand. It is formed of a series of
comparators, each one comparing the input signal to a unique reference voltage. The comparator outputs
connect to the inputs of a priority encoder circuit, which then produces a binary output. The following
illustration shows a 3-bit flash ADC circuit:

Vref is a stable reference voltage provided by a precision voltage regulator as part of the converter circuit, not
shown in the schematic. As the analog input voltage exceeds the reference voltage at each comparator, the
comparator outputs will sequentially saturate to a high state. The priority encoder generates a binary number
based on the highest-order active input, ignoring all other active inputs.

When operated, the flash ADC produces an output that looks something like this:

For this particular application, a regular priority encoder with all its inherent complexity isn't necessary. Due to
the nature of the sequential comparator output states (each comparator saturating "high" in sequence from
lowest to highest), the same "highest-order-input selection" effect may be realized through a set of Exclusive-
OR gates, allowing the use of a simpler, non-priority encoder:
And, of course, the encoder circuit itself can be made from a matrix of diodes, demonstrating just how simply
this converter design may be constructed:

Not only is the flash converter the simplest in terms of operational theory, but it is the most efficient of the
ADC technologies in terms of speed, being limited only in comparator and gate propagation delays.
Unfortunately, it is the most component-intensive for any given number of output bits. This three-bit flash ADC
requires eight comparators. A four-bit version would require 16 comparators. With each additional output bit,
the number of required comparators doubles. Considering that eight bits is generally considered the minimum
necessary for any practical ADC (256 comparators needed!), the flash methodology quickly shows its
weakness.

An additional advantage of the flash converter, often overlooked, is the ability for it to produce a non-linear
output. With equal-value resistors in the reference voltage divider network, each successive binary count
represents the same amount of analog signal increase, providing a proportional response. For special
applications, however, the resistor values in the divider network may be made non-equal. This gives the ADC a
custom, nonlinear response to the analog input signal. No other ADC design is able to grant this signal-
conditioning behavior with just a few component value changes.

Digital ramp ADC

Also known as the stairstep-ramp, or simply counter A/D converter, this is also fairly easy to understand but
unfortunately suffers from several limitations.
The basic idea is to connect the output of a free-running binary counter to the input of a DAC, then compare
the analog output of the DAC with the analog input signal to be digitized and use the comparator's output to
tell the counter when to stop counting and reset. The following schematic shows the basic idea:

As the counter counts up with each clock pulse, the DAC outputs a slightly higher (more positive) voltage. This
voltage is compared against the input voltage by the comparator. If the input voltage is greater than the DAC
output, the comparator's output will be high and the counter will continue counting normally. Eventually,
though, the DAC output will exceed the input voltage, causing the comparator's output to go low. This will
cause two things to happen: first, the high-to-low transition of the comparator's output will cause the shift
register to "load" whatever binary count is being output by the counter, thus updating the ADC circuit's output;
secondly, the counter will receive a low signal on the active-low LOAD input, causing it to reset to 00000000 on
the next clock pulse.

The effect of this circuit is to produce a DAC output that ramps up to whatever level the analog input signal is
at, output the binary number corresponding to that level, and start over again. Plotted over time, it looks like
this:
Note how the time between updates (new digital output values) changes depending on how high the input
voltage is. For low signal levels, the updates are rather close-spaced. For higher signal levels, they are spaced
further apart in time:

For many ADC applications, this variation in update frequency (sample time) would not be acceptable. This,
and the fact that the circuit's need to count all the way from 0 at the beginning of each count cycle makes for
relatively slow sampling of the analog signal, places the digital-ramp ADC at a disadvantage to other counter
strategies.

Successive approximation ADC

One method of addressing the digital ramp ADC's shortcomings is the so-called successive-approximation ADC.
The only change in this design is a very special counter circuit known as a successive-approximation register.
Instead of counting up in binary sequence, this register counts by trying all values of bits starting with the
most-significant bit and finishing at the least-significant bit. Throughout the count process, the register
monitors the comparator's output to see if the binary count is less than or greater than the analog signal input,
adjusting the bit values accordingly. The way the register counts is identical to the "trial-and-fit" method of
decimal-to-binary conversion, whereby different values of bits are tried from MSB to LSB to get a binary
number that equals the original decimal number. The advantage to this counting strategy is much faster
results: the DAC output converges on the analog signal input in much larger steps than with the 0-to-full count
sequence of a regular counter.

Without showing the inner workings of the successive-approximation register (SAR), the circuit looks like this:
It should be noted that the SAR is generally capable of outputting the binary number in serial (one bit at a
time) format, thus eliminating the need for a shift register. Plotted over time, the operation of a successive-
approximation ADC looks like this:

Note how the updates for this ADC occur at regular intervals, unlike the digital ramp ADC circuit.
Tracking ADC

A third variation on the counter-DAC-based converter theme is, in my estimation, the most elegant. Instead of
a regular "up" counter driving the DAC, this circuit uses an up/down counter. The counter is continuously
clocked, and the up/down control line is driven by the output of the comparator. So, when the analog input
signal exceeds the DAC output, the counter goes into the "count up" mode. When the DAC output exceeds the
analog input, the counter switches into the "count down" mode. Either way, the DAC output always counts in
the proper direction to track the input signal.

Notice how no shift register is needed to buffer the binary count at the end of a cycle. Since the counter's
output continuously tracks the input (rather than counting to meet the input and then resetting back to zero),
the binary output is legitimately updated with every clock pulse.

An advantage of this converter circuit is speed, since the counter never has to reset. Note the behavior of this
circuit:
Note the much faster update time than any of the other "counting" ADC circuits. Also note how at the very
beginning of the plot where the counter had to "catch up" with the analog signal, the rate of change for the
output was identical to that of the first counting ADC. Also, with no shift register in this circuit, the binary
output would actually ramp up rather than jump from zero to an accurate count as it did with the counter and
successive approximation ADC circuits.

Perhaps the greatest drawback to this ADC design is the fact that the binary output is never stable: it always
switches between counts with every clock pulse, even with a perfectly stable analog input signal. This
phenomenon is informally known as bit bobble, and it can be problematic in some digital systems.

This tendency can be overcome, though, through the creative use of a shift register. For example, the
counter's output may be latched through a parallel-in/parallel-out shift register only when the output changes
by two or more steps. Building a circuit to detect two or more successive counts in the same direction takes a
little ingenuity, but is worth the effort.

Slope (integrating) ADC

So far, we've only been able to escape the sheer volume of components in the flash converter by using a DAC
as part of our ADC circuitry. However, this is not our only option. It is possible to avoid using a DAC if we
substitute an analog ramping circuit and a digital counter with precise timing.

The is the basic idea behind the so-called single-slope, or integrating ADC. Instead of using a DAC with a
ramped output, we use an op-amp circuit called an integrator to generate a sawtooth waveform which is then
compared against the analog input by a comparator. The time it takes for the sawtooth waveform to exceed
the input signal voltage level is measured by means of a digital counter clocked with a precise-frequency
square wave (usually from a crystal oscillator). The basic schematic diagram is shown here:
The IGFET capacitor-discharging transistor scheme shown here is a bit oversimplified. In reality, a latching
circuit timed with the clock signal would most likely have to be connected to the IGFET gate to ensure full
discharge of the capacitor when the comparator's output goes high. The basic idea, however, is evident in this
diagram. When the comparator output is low (input voltage greater than integrator output), the integrator is
allowed to charge the capacitor in a linear fashion. Meanwhile, the counter is counting up at a rate fixed by the
precision clock frequency. The time it takes for the capacitor to charge up to the same voltage level as the
input depends on the input signal level and the combination of -Vref, R, and C. When the capacitor reaches that
voltage level, the comparator output goes high, loading the counter's output into the shift register for a final
output. The IGFET is triggered "on" by the comparator's high output, discharging the capacitor back to zero
volts. When the integrator output voltage falls to zero, the comparator output switches back to a low state,
clearing the counter and enabling the integrator to ramp up voltage again.

This ADC circuit behaves very much like the digital ramp ADC, except that the comparator reference voltage is
a smooth sawtooth waveform rather than a "stairstep:"

The single-slope ADC suffers all the disadvantages of the digital ramp ADC, with the added drawback of
calibration drift. The accurate correspondence of this ADC's output with its input is dependent on the voltage
slope of the integrator being matched to the counting rate of the counter (the clock frequency). With the digital
ramp ADC, the clock frequency had no effect on conversion accuracy, only on update time. In this circuit, since
the rate of integration and the rate of count are independent of each other, variation between the two is
inevitable as it ages, and will result in a loss of accuracy. The only good thing to say about this circuit is that it
avoids the use of a DAC, which reduces circuit complexity.

An answer to this calibration drift dilemma is found in a design variation called the dual-slope converter. In the
dual-slope converter, an integrator circuit is driven positive and negative in alternating cycles to ramp down
and then up, rather than being reset to 0 volts at the end of every cycle. In one direction of ramping, the
integrator is driven by the positive analog input signal (producing a negative, variable rate of output voltage
change, or output slope) for a fixed amount of time, as measured by a counter with a precision frequency
clock. Then, in the other direction, with a fixed reference voltage (producing a fixed rate of output voltage
change) with time measured by the same counter. The counter stops counting when the integrator's output
reaches the same voltage as it was when it started the fixed-time portion of the cycle. The amount of time it
takes for the integrator's capacitor to discharge back to its original output voltage, as measured by the
magnitude accrued by the counter, becomes the digital output of the ADC circuit.

The dual-slope method can be thought of analogously in terms of a rotary spring such as that used in a
mechanical clock mechanism. Imagine we were building a mechanism to measure the rotary speed of a shaft.
Thus, shaft speed is our "input signal" to be measured by this device. The measurement cycle begins with the
spring in a relaxed state. The spring is then turned, or "wound up," by the rotating shaft (input signal) for a
fixed amount of time. This places the spring in a certain amount of tension proportional to the shaft speed: a
greater shaft speed corresponds to a faster rate of winding. and a greater amount of spring tension
accumulated over that period of time. After that, the spring is uncoupled from the shaft and allowed to unwind
at a fixed rate, the time for it to unwind back to a relaxed state measured by a timer device. The amount of
time it takes for the spring to unwind at that fixed rate will be directly proportional to the speed at which it was
wound (input signal magnitude) during the fixed-time portion of the cycle.
This technique of analog-to-digital conversion escapes the calibration drift problem of the single-slope ADC
because both the integrator's integration coefficient (or "gain") and the counter's rate of speed are in effect
during the entire "winding" and "unwinding" cycle portions. If the counter's clock speed were to suddenly
increase, this would shorten the fixed time period where the integrator "winds up" (resulting in a lesser voltage
accumulated by the integrator), but it would also mean that it would count faster during the period of time
when the integrator was allowed to "unwind" at a fixed rate. The proportion that the counter is counting faster
will be the same proportion as the integrator's accumulated voltage is diminished from before the clock speed
change. Thus, the clock speed error would cancel itself out and the digital output would be exactly what it
should be.

Another important advantage of this method is that the input signal becomes averaged as it drives the
integrator during the fixed-time portion of the cycle. Any changes in the analog signal during that period of
time have a cumulative effect on the digital output at the end of that cycle. Other ADC strategies merely
"capture" the analog signal level at a single point in time every cycle. If the analog signal is "noisy" (contains
significant levels of spurious voltage spikes/dips), one of the other ADC converter technologies may
occasionally convert a spike or dip because it captures the signal repeatedly at a single point in time. A dual-
slope ADC, on the other hand, averages together all the spikes and dips within the integration period, thus
providing an output with greater noise immunity. Dual-slope ADCs are used in applications demanding high
accuracy.

Delta-Sigma (∆Σ) ADC

One of the more advanced ADC technologies is the so-called delta-sigma, or ∆Σ (using the proper Greek letter
notation). In mathematics and physics, the capital Greek letter delta (∆) represents difference or change, while
the capital letter sigma (Σ) represents summation: the adding of multiple terms together. Sometimes this
converter is referred to by the same Greek letters in reverse order: sigma-delta, or Σ∆.

In a ∆Σ converter, the analog input voltage signal is connected to the input of an integrator, producing a
voltage rate-of-change, or slope, at the output corresponding to input magnitude. This ramping voltage is then
compared against ground potential (0 volts) by a comparator. The comparator acts as a sort of 1-bit ADC,
producing 1 bit of output ("high" or "low") depending on whether the integrator output is positive or negative.
The comparator's output is then latched through a D-type flip-flop clocked at a high frequency, and fed back to
another input channel on the integrator, to drive the integrator in the direction of a 0 volt output. The basic
circuit looks like this:

The leftmost op-amp is the (summing) integrator. The next op-amp the integrator feeds into is the
comparator, or 1-bit ADC. Next comes the D-type flip-flop, which latches the comparator's output at every
clock pulse, sending either a "high" or "low" signal to the next comparator at the top of the circuit. This final
comparator is necessary to convert the single-polarity 0V / 5V logic level output voltage of the flip-flop into a
+V / -V voltage signal to be fed back to the integrator.

If the integrator output is positive, the first comparator will output a "high" signal to the D input of the flip-flop.
At the next clock pulse, this "high" signal will be output from the Q line into the noninverting input of the last
comparator. This last comparator, seeing an input voltage greater than the threshold voltage of 1/2 +V,
saturates in a positive direction, sending a full +V signal to the other input of the integrator. This +V feedback
signal tends to drive the integrator output in a negative direction. If that output voltage ever becomes
negative, the feedback loop will send a corrective signal (-V) back around to the top input of the integrator to
drive it in a positive direction. This is the delta-sigma concept in action: the first comparator senses a
difference (∆) between the integrator output and zero volts. The integrator sums (Σ) the comparator's output
with the analog input signal.

Functionally, this results in a serial stream of bits output by the flip-flop. If the analog input is zero volts, the
integrator will have no tendency to ramp either positive or negative, except in response to the feedback
voltage. In this scenario, the flip-flop output will continually oscillate between "high" and "low," as the feedback
system "hunts" back and forth, trying to maintain the integrator output at zero volts:

If, however, we apply a negative analog input voltage, the integrator will have a tendency to ramp its output in
a positive direction. Feedback can only add to the integrator's ramping by a fixed voltage over a fixed time,
and so the bit stream output by the flip-flop will not be quite the same:

By applying a larger (negative) analog input signal to the integrator, we force its output to ramp more steeply
in the positive direction. Thus, the feedback system has to output more 1's than before to bring the integrator
output back to zero volts:
As the analog input signal increases in magnitude, so does the occurrence of 1's in the digital output of the flip-
flop:

A parallel binary number output is obtained from this circuit by averaging the serial stream of bits together. For
example, a counter circuit could be designed to collect the total number of 1's output by the flip-flop in a given
number of clock pulses. This count would then be indicative of the analog input voltage.

Variations on this theme exist, employing multiple integrator stages and/or comparator circuits outputting
more than 1 bit, but one concept common to all ∆Σ converters is that of oversampling. Oversampling is when
multiple samples of an analog signal are taken by an ADC (in this case, a 1-bit ADC), and those digitized
samples are averaged. The end result is an effective increase in the number of bits resolved from the signal. In
other words, an oversampled 1-bit ADC can do the same job as an 8-bit ADC with one-time sampling, albeit at
a slower rate.

Practical considerations of ADC circuits

Perhaps the most important consideration of an ADC is its resolution. Resolution is the number of binary bits
output by the converter. Because ADC circuits take in an analog signal, which is continuously variable, and
resolve it into one of many discrete steps, it is important to know how many of these steps there are in total.

For example, an ADC with a 10-bit output can represent up to 1024 (210) unique conditions of signal
measurement. Over the range of measurement from 0% to 100%, there will be exactly 1024 unique binary
numbers output by the converter (from 0000000000 to 1111111111, inclusive). An 11-bit ADC will have twice
as many states to its output (2048, or 211), representing twice as many unique conditions of signal
measurement between 0% and 100%.
Resolution is very important in data acquisition systems (circuits designed to interpret and record physical
measurements in electronic form). Suppose we were measuring the height of water in a 40-foot tall storage
tank using an instrument with a 10-bit ADC. 0 feet of water in the tank corresponds to 0% of measurement,
while 40 feet of water in the tank corresponds to 100% of measurement. Because the ADC is fixed at 10 bits of
binary data output, it will interpret any given tank level as one out of 1024 possible states. To determine how
much physical water level will be represented in each step of the ADC, we need to divide the 40 feet of
measurement span by the number of steps in the 0-to-1024 range of possibilities, which is 1023 (one less than
1024). Doing this, we obtain a figure of 0.039101 feet per step. This equates to 0.46921 inches per step, a
little less than half an inch of water level represented for every binary count of the ADC.

This step value of 0.039101 feet (0.46921 inches) represents the smallest amount of tank level change
detectable by the instrument. Admittedly, this is a small amount, less than 0.1% of the overall measurement
span of 40 feet. However, for some applications it may not be fine enough. Suppose we needed this instrument
to be able to indicate tank level changes down to one-tenth of an inch. In order to achieve this degree of
resolution and still maintain a measurement span of 40 feet, we would need an instrument with more than ten
ADC bits.

To determine how many ADC bits are necessary, we need to first determine how many 1/10 inch steps there
are in 40 feet. The answer to this is 40/(0.1/12), or 4800 1/10 inch steps in 40 feet. Thus, we need enough
bits to provide at least 4800 discrete steps in a binary counting sequence. 10 bits gave us 1023 steps, and we
knew this by calculating 2 to the power of 10 (210 = 1024) and then subtracting one. Following the same
mathematical procedure, 211-1 = 2047, 212-1 = 4095, and 213-1 = 8191. 12 bits falls shy of the amount
needed for 4800 steps, while 13 bits is more than enough. Therefore, we need an instrument with at least 13
bits of resolution.

Another important consideration of ADC circuitry is its sample frequency, or conversion rate. This is simply the
speed at which the converter outputs a new binary number. Like resolution, this consideration is linked to the
specific application of the ADC. If the converter is being used to measure slow-changing signals such as level in
a water storage tank, it could probably have a very slow sample frequency and still perform adequately.
Conversely, if it is being used to digitize an audio frequency signal cycling at several thousand times per
second, the converter needs to be considerably faster.

Consider the following illustration of ADC conversion rate versus signal type, typical of a successive-
approximation ADC with regular sample intervals:
Here, for this slow-changing signal, the sample rate is more than adequate to capture its general trend. But
consider this example with the same sample time:

When the sample period is too long (too slow), substantial details of the analog signal will be missed. Notice
how, especially in the latter portions of the analog signal, the digital output utterly fails to reproduce the true
shape. Even in the first section of the analog waveform, the digital reproduction deviates substantially from the
true shape of the wave.

It is imperative that an ADC's sample time is fast enough to capture essential changes in the analog waveform.
In data acquisition terminology, the highest-frequency waveform that an ADC can theoretically capture is the
so-called Nyquist frequency, equal to one-half of the ADC's sample frequency. Therefore, if an ADC circuit has
a sample frequency of 5000 Hz, the highest-frequency waveform it can successfully resolve will be the Nyquist
frequency of 2500 Hz.

If an ADC is subjected to an analog input signal whose frequency exceeds the Nyquist frequency for that ADC,
the converter will output a digitized signal of falsely low frequency. This phenomenon is known as aliasing.
Observe the following illustration to see how aliasing occurs:
Note how the period of the output waveform is much longer (slower) than that of the input waveform, and how
the two waveform shapes aren't even similar:

It should be understood that the Nyquist frequency is an absolute maximum frequency limit for an ADC, and
does not represent the highest practical frequency measurable. To be safe, one shouldn't expect an ADC to
successfully resolve any frequency greater than one-fifth to one-tenth of its sample frequency.

A practical means of preventing aliasing is to place a low-pass filter before the input of the ADC, to block any
signal frequencies greater than the practical limit. This way, the ADC circuitry will be prevented from seeing
any excessive frequencies and thus will not try to digitize them. It is generally considered better that such
frequencies go unconverted than to have them be "aliased" and appear in the output as false signals.

Yet another measure of ADC performance is something called step recovery. This is a measure of how quickly
an ADC changes its output to match a large, sudden change in the analog input. In some converter
technologies especially, step recovery is a serious limitation. One example is the tracking converter, which has
a typically fast update period but a disproportionately slow step recovery.

An ideal ADC has a great many bits for very fine resolution, samples at lightning-fast speeds, and recovers
from steps instantly. It also, unfortunately, doesn't exist in the real world. Of course, any of these traits may
be improved through additional circuit complexity, either in terms of increased component count and/or special
circuit designs made to run at higher clock speeds. Different ADC technologies, though, have different
strengths. Here is a summary of them ranked from best to worst:

Resolution/complexity ratio:

Single-slope integrating, dual-slope integrating, counter, tracking, successive approximation, flash.

Speed:

Flash, tracking, successive approximation, single-slope integrating & counter, dual-slope integrating.

Step recovery:

Flash, successive-approximation, single-slope integrating & counter, dual-slope integrating, tracking.

Please bear in mind that the rankings of these different ADC technologies depend on other factors. For
instance, how an ADC rates on step recovery depends on the nature of the step change. A tracking ADC is
equally slow to respond to all step changes, whereas a single-slope or counter ADC will register a high-to-low
step change quicker than a low-to-high step change. Successive-approximation ADCs are almost equally fast at
resolving any analog signal, but a tracking ADC will consistently beat a successive-approximation ADC if the
signal is changing slower than one resolution step per clock pulse. I ranked integrating converters as having a
greater resolution/complexity ratio than counter converters, but this assumes that precision analog integrator
circuits are less complex to design and manufacture than precision DACs required within counter-based
converters. Others may not agree with this assumption.

Chapter 14: DIGITAL COMMUNICATION

Introduction

In the design of large and complex digital systems, it is often necessary to have one device communicate
digital information to and from other devices. One advantage of digital information is that it tends to be far
more resistant to transmitted and interpreted errors than information symbolized in an analog medium. This
accounts for the clarity of digitally-encoded telephone connections, compact audio disks, and for much of the
enthusiasm in the engineering community for digital communications technology. However, digital
communication has its own unique pitfalls, and there are multitudes of different and incompatible ways in
which it can be sent. Hopefully, this chapter will enlighten you as to the basics of digital communication, its
advantages, disadvantages, and practical considerations.

Suppose we are given the task of remotely monitoring the level of a water storage tank. Our job is to design a
system to measure the level of water in the tank and send this information to a distant location so that other
people may monitor it. Measuring the tank's level is quite easy, and can be accomplished with a number of
different types of instruments, such as float switches, pressure transmitters, ultrasonic level detectors,
capacitance probes, strain gauges, or radar level detectors.

For the sake of this illustration, we will use an analog level-measuring device with an output signal of 4-20 mA.
4 mA represents a tank level of 0%, 20 mA represents a tank level of 100%, and anything in between 4 and
20 mA represents a tank level proportionately between 0% and 100%. If we wanted to, we could simply send
this 4-20 milliamp analog current signal to the remote monitoring location by means of a pair of copper wires,
where it would drive a panel meter of some sort, the scale of which was calibrated to reflect the depth of water
in the tank, in whatever units of measurement preferred.
This analog communication system would be simple and robust. For many applications, it would suffice for our
needs perfectly. But, it is not the only way to get the job done. For the purposes of exploring digital
techniques, we'll explore other methods of monitoring this hypothetical tank, even though the analog method
just described might be the most practical.

The analog system, as simple as it may be, does have its limitations. One of them is the problem of analog
signal interference. Since the tank's water level is symbolized by the magnitude of DC current in the circuit,
any "noise" in this signal will be interpreted as a change in the water level. With no noise, a plot of the current
signal over time for a steady tank level of 50% would look like this:

If the wires of this circuit are arranged too close to wires carrying 60 Hz AC power, for example, inductive and
capacitive coupling may create a false "noise" signal to be introduced into this otherwise DC circuit. Although
the low impedance of a 4-20 mA loop (250 Ω, typically) means that small noise voltages are significantly
loaded (and thereby attenuated by the inefficiency of the capacitive/inductive coupling formed by the power
wires), such noise can be significant enough to cause measurement problems:

The above example is a bit exaggerated, but the concept should be clear: any electrical noise introduced into
an analog measurement system will be interpreted as changes in the measured quantity. One way to combat
this problem is to symbolize the tank's water level by means of a digital signal instead of an analog signal. We
can do this really crudely by replacing the analog transmitter device with a set of water level switches mounted
at different heights on the tank:

Each of these switches is wired to close a circuit, sending current to individual lamps mounted on a panel at
the monitoring location. As each switch closed, its respective lamp would light, and whoever looked at the
panel would see a 5-lamp representation of the tank's level.

Being that each lamp circuit is digital in nature -- either 100% on or 100% off -- electrical interference from
other wires along the run have much less effect on the accuracy of measurement at the monitoring end than in
the case of the analog signal. A huge amount of interference would be required to cause an "off" signal to be
interpreted as an "on" signal, or visa-versa. Relative resistance to electrical interference is an advantage
enjoyed by all forms of digital communication over analog.

Now that we know digital signals are far more resistant to error induced by "noise," let's improve on this tank
level measurement system. For instance, we could increase the resolution of this tank gauging system by
adding more switches, for more precise determination of water level. Suppose we install 16 switches along the
tank's height instead of five. This would significantly improve our measurement resolution, but at the expense
of greatly increasing the quantity of wires needing to be strung between the tank and the monitoring location.
One way to reduce this wiring expense would be to use a priority encoder to take the 16 switches and generate
a binary number which represented the same information:
Now, only 4 wires (plus any ground and power wires necessary) are needed to communicate the information,
as opposed to 16 wires (plus any ground and power wires). At the monitoring location, we would need some
kind of display device that could accept the 4-bit binary data and generate an easy-to-read display for a person
to view. A decoder, wired to accept the 4-bit data as its input and light 1-of-16 output lamps, could be used for
this task, or we could use a 4-bit decoder/driver circuit to drive some kind of numerical digit display.

Still, a resolution of 1/16 tank height may not be good enough for our application. To better resolve the water
level, we need more bits in our binary output. We could add still more switches, but this gets impractical rather
quickly. A better option would be to re-attach our original analog transmitter to the tank and electronically
convert its 4-20 milliamp analog output into a binary number with far more bits than would be practical using a
set of discrete level switches. Since the electrical noise we're trying to avoid is encountered along the long run
of wire from the tank to the monitoring location, this A/D conversion can take place at the tank (where we
have a "clean" 4-20 mA signal). There are a variety of methods to convert an analog signal to digital, but we'll
skip an in-depth discussion of those techniques and concentrate on the digital signal communication itself.

The type of digital information being sent from our tank instrumentation to the monitoring instrumentation is
referred to as parallel digital data. That is, each binary bit is being sent along its own dedicated wire, so that all
bits arrive at their destination simultaneously. This obviously necessitates the use of at least one wire per bit to
communicate with the monitoring location. We could further reduce our wiring needs by sending the binary
data along a single channel (one wire + ground), so that each bit is communicated one at a time. This type of
information is referred to as serial digital data.

We could use a multiplexer or a shift register to take the parallel data from the A/D converter (at the tank
transmitter), and convert it to serial data. At the receiving end (the monitoring location) we could use a
demultiplexer or another shift register to convert the serial data to parallel again for use in the display
circuitry. The exact details of how the mux/demux or shift register pairs are maintained in synchronization is,
like A/D conversion, a topic for another lesson. Fortunately, there are digital IC chips called UARTs (Universal
Asynchronous Receiver-Transmitters) that handle all these details on their own and make the designer's life
much simpler. For now, we must continue to focus our attention on the matter at hand: how to communicate
the digital information from the tank to the monitoring location.

Data flow

Buses and networks are designed to allow communication to occur between individual devices that are
interconnected. The flow of information, or data, between nodes can take a variety of forms:

With simplex communication, all data flow is unidirectional: from the designated transmitter to the designated
receiver. BogusBus is an example of simplex communication, where the transmitter sent information to the
remote monitoring location, but no information is ever sent back to the water tank. If all we want to do is send
information one-way, then simplex is just fine. Most applications, however, demand more:

With duplex communication, the flow of information is bidirectional for each device. Duplex can be further
divided into two sub-categories:
Half-duplex communication may be likened to two tin cans on the ends of a single taut string: Either can may
be used to transmit or receive, but not at the same time. Full-duplex communication is more like a true
telephone, where two people can talk at the same time and hear one another simultaneously, the mouthpiece
of one phone transmitting the the earpiece of the other, and visa-versa. Full-duplex is often facilitated through
the use of two separate channels or networks, with an individual set of wires for each direction of
communication. It is sometimes accomplished by means of multiple-frequency carrier waves, especially in
radio links, where one frequency is reserved for each direction of communication.

Electrical signal types

With BogusBus, our signals were very simple and straightforward: each signal wire (1 through 5) carried a
single bit of digital data, 0 Volts representing "off" and 24 Volts DC representing "on." Because all the bits
arrived at their destination simultaneously, we would call BogusBus a parallel network technology. If we were
to improve the performance of BogusBus by adding binary encoding (to the transmitter end) and decoding (to
the receiver end), so that more steps of resolution were available with fewer wires, it would still be a parallel
network. If, however, we were to add a parallel-to-serial converter at the transmitter end and a serial-to-
parallel converter at the receiver end, we would have something quite different.

It is primarily with the use of serial technology that we are forced to invent clever ways to transmit data bits.
Because serial data requires us to send all data bits through the same wiring channel from transmitter to
receiver, it necessitates a potentially high frequency signal on the network wiring. Consider the following
illustration: a modified BogusBus system is communicating digital data in parallel, binary-encoded form.
Instead of 5 discrete bits like the original BogusBus, we're sending 8 bits from transmitter to receiver. The A/D
converter on the transmitter side generates a new output every second. That makes for 8 bits per second of
data being sent to the receiver. For the sake of illustration, let's say that the transmitter is bouncing between
an output of 10101010 and 10101011 every update (once per second):
Since only the least significant bit (Bit 1) is changing, the frequency on that wire (to ground) is only 1/2 Hertz.
In fact, no matter what numbers are being generated by the A/D converter between updates, the frequency on
any wire in this modified BogusBus network cannot exceed 1/2 Hertz, because that's how fast the A/D updates
its digital output. 1/2 Hertz is pretty slow, and should present no problems for our network wiring.

On the other hand, if we used an 8-bit serial network, all data bits must appear on the single channel in
sequence. And these bits must be output by the transmitter within the 1-second window of time between A/D
converter updates. Therefore, the alternating digital output of 10101010 and 10101011 (once per second)
would look something like this:

The frequency of our BogusBus signal is now approximately 4 Hertz instead of 1/2 Hertz, an eightfold increase!
While 4 Hertz is still fairly slow, and does not constitute an engineering problem, you should be able to
appreciate what might happen if we were transmitting 32 or 64 bits of data per update, along with the other
bits necessary for parity checking and signal synchronization, at an update rate of thousands of times per
second! Serial data network frequencies start to enter the radio range, and simple wires begin to act as
antennas, pairs of wires as transmission lines, with all their associated quirks due to inductive and capacitive
reactances.

What is worse, the signals that we're trying to communicate along a serial network are of a square-wave
shape, being binary bits of information. Square waves are peculiar things, being mathematically equivalent to
an infinite series of sine waves of diminishing amplitude and increasing frequency. A simple square wave at 10
kHz is actually "seen" by the capacitance and inductance of the network as a series of multiple sine-wave
frequencies which extend into the hundreds of kHz at significant amplitudes. What we receive at the other end
of a long 2-conductor network won't look like a clean square wave anymore, even under the best of conditions!

When engineers speak of network bandwidth, they're referring to the practical frequency limit of a network
medium. In serial communication, bandwidth is a product of data volume (binary bits per transmitted "word")
and data speed ("words" per second). The standard measure of network bandwidth is bits per second, or bps.
An obsolete unit of bandwidth known as the baud is sometimes falsely equated with bits per second, but is
actually the measure of signal level changes per second. Many serial network standards use multiple voltage or
current level changes to represent a single bit, and so for these applications bps and baud are not equivalent.

The general BogusBus design, where all bits are voltages referenced to a common "ground" connection, is the
worst-case situation for high-frequency square wave data communication. Everything will work well for short
distances, where inductive and capacitive effects can be held to a minimum, but for long distances this method
will surely be problematic:
A robust alternative to the common ground signal method is the differential voltage method, where each bit is
represented by the difference of voltage between a ground-isolated pair of wires, instead of a voltage between
one wire and a common ground. This tends to limit the capacitive and inductive effects imposed upon each
signal and the tendency for the signals to be corrupted due to outside electrical interference, thereby
significantly improving the practical distance of a serial network:

The triangular amplifier symbols represent differential amplifiers, which output a voltage signal between two
wires, neither one electrically common with ground. Having eliminated any relation between the voltage signal
and ground, the only significant capacitance imposed on the signal voltage is that existing between the two
signal wires. Capacitance between a signal wire and a grounded conductor is of much less effect, because the
capacitive path between the two signal wires via a ground connection is two capacitances in series (from signal
wire #1 to ground, then from ground to signal wire #2), and series capacitance values are always less than
any of the individual capacitances. Furthermore, any "noise" voltage induced between the signal wires and
earth ground by an external source will be ignored, because that noise voltage will likely be induced on both
signal wires in equal measure, and the receiving amplifier only responds to the differential voltage between the
two signal wires, rather than the voltage between any one of them and earth ground.

RS-232C is a prime example of a ground-referenced serial network, while RS-422A is a prime example of a
differential voltage serial network. RS-232C finds popular application in office environments where there is little
electrical interference and wiring distances are short. RS-422A is more widely used in industrial applications
where longer wiring distances and greater potential for electrical interference from AC power wiring exists.

However, a large part of the problem with digital network signals is the square-wave nature of such voltages,
as was previously mentioned. If only we could avoid square waves all together, we could avoid many of their
inherent difficulties in long, high-frequency networks. One way of doing this is to modulate a sine wave voltage
signal with our digital data. "Modulation" means that magnitude of one signal has control over some aspect of
another signal. Radio technology has incorporated modulation for decades now, in allowing an audio-frequency
voltage signal to control either the amplitude (AM) or frequency (FM) of a much higher frequency "carrier"
voltage, which is then send to the antenna for transmission. The frequency-modulation (FM) technique has
found more use in digital networks than amplitude-modulation (AM), except that it's referred to as Frequency
Shift Keying (FSK). With simple FSK, sine waves of two distinct frequencies are used to represent the two
binary states, 1 and 0:

Due to the practical problems of getting the low/high frequency sine waves to begin and end at the zero
crossover points for any given combination of 0's and 1's, a variation of FSK called phase-continuous FSK is
sometimes used, where the consecutive combination of a low/high frequency represents one binary state and
the combination of a high/low frequency represents the other. This also makes for a situation where each bit,
whether it be 0 or 1, takes exactly the same amount of time to transmit along the network:

With sine wave signal voltages, many of the problems encountered with square wave digital signals are
minimized, although the circuitry required to modulate (and demodulate) the network signals is more complex
and expensive.

Optical data communication

A modern alternative to sending (binary) digital information via electric voltage signals is to use optical (light)
signals. Electrical signals from digital circuits (high/low voltages) may be converted into discrete optical signals
(light or no light) with LEDs or solid-state lasers. Likewise, light signals can be translated back into electrical
form through the use of photodiodes or phototransistors for introduction into the inputs of gate circuits.

Transmitting digital information in optical form may be done in open air, simply by aiming a laser at a
photodetector at a remote distance, but interference with the beam in the form of temperature inversion
layers, dust, rain, fog, and other obstructions can present significant engineering problems:
One way to avoid the problems of open-air optical data transmission is to send the light pulses down an ultra-
pure glass fiber. Glass fibers will "conduct" a beam of light much as a copper wire will conduct electrons, with
the advantage of completely avoiding all the associated problems of inductance, capacitance, and external
interference plaguing electrical signals. Optical fibers keep the light beam contained within the fiber core by a
phenomenon known as total internal reflectance.

An optical fiber is composed of two layers of ultra-pure glass, each layer made of glass with a slightly different
refractive index, or capacity to "bend" light. With one type of glass concentrically layered around a central
glass core, light introduced into the central core cannot escape outside the fiber, but is confined to travel within
the core:

These layers of glass are very thin, the outer "cladding" typically 125 microns (1 micron = 1 millionth of a
meter, or 10-6 meter) in diameter. This thinness gives the fiber considerable flexibility. To protect the fiber
from physical damage, it is usually given a thin plastic coating, placed inside of a plastic tube, wrapped with
kevlar fibers for tensile strength, and given an outer sheath of plastic similar to electrical wire insulation. Like
electrical wires, optical fibers are often bundled together within the same sheath to form a single cable.

Optical fibers exceed the data-handling performance of copper wire in almost every regard. They are totally
immune to electromagnetic interference and have very high bandwidths. However, they are not without certain
weaknesses.

One weakness of optical fiber is a phenomenon known as microbending. This is where the fiber is bend around
too small of a radius, causing light to escape the inner core, through the cladding:
Not only does microbending lead to diminished signal strength due to the lost light, but it also constitutes a
security weakness in that a light sensor intentionally placed on the outside of a sharp bend could intercept
digital data transmitted over the fiber.

Another problem unique to optical fiber is signal distortion due to multiple light paths, or modes, having
different distances over the length of the fiber. When light is emitted by a source, the photons (light particles)
do not all travel the exact same path. This fact is patently obvious in any source of light not conforming to a
straight beam, but is true even in devices such as lasers. If the optical fiber core is large enough in diameter, it
will support multiple pathways for photons to travel, each of these pathways having a slightly different length
from one end of the fiber to the other. This type of optical fiber is called multimode fiber:

A light pulse emitted by the LED taking a shorter path through the fiber will arrive at the detector sooner than
light pulses taking longer paths. The result is distortion of the square-wave's rising and falling edges, called
pulse stretching. This problem becomes worse as the overall fiber length is increased:
However, if the fiber core is made small enough (around 5 microns in diameter), light modes are restricted to a
single pathway with one length. Fiber so designed to permit only a single mode of light is known as single-
mode fiber. Because single-mode fiber escapes the problem of pulse stretching experienced in long cables, it is
the fiber of choice for long-distance (several miles or more) networks. The drawback, of course, is that with
only one mode of light, single-mode fibers do not conduct as as much light as multimode fibers. Over long
distances, this exacerbates the need for "repeater" units to boost light power.

Network topology

If we want to connect two digital devices with a network, we would have a kind of network known as "point-to-
point:"

For the sake of simplicity, the network wiring is symbolized as a single line between the two devices. In
actuality, it may be a twisted pair of wires, a coaxial cable, an optical fiber, or even a seven-conductor
BogusBus. Right now, we're merely focusing on the "shape" of the network, technically known as its topology.

If we want to include more devices (sometimes called nodes) on this network, we have several options of
network configuration to choose from:
Many network standards dictate the type of topology which is used, while others are more versatile. Ethernet,
for example, is commonly implemented in a "bus" topology but can also be implemented in a "star" or "ring"
topology with the appropriate interconnecting equipment. Other networks, such as RS-232C, are almost
exclusively point-to-point; and token ring (as you might have guessed) is implemented solely in a ring
topology.

Different topologies have different pros and cons associated with them:

Point-to-point

Quite obviously the only choice for two nodes.

Bus

Very simple to install and maintain. Nodes can be easily added or removed with minimal wiring changes. On
the other hand, the one bus network must handle all communication signals from all nodes. This is known as
broadcast networking, and is analogous to a group of people talking to each other over a single telephone
connection, where only one person can talk at a time (limiting data exchange rates), and everyone can hear
everyone else when they talk (which can be a data security issue). Also, a break in the bus wiring can lead to
nodes being isolated in groups.

Star

With devices known as "gateways" at branching points in the network, data flow can be restricted between
nodes, allowing for private communication between specific groups of nodes. This addresses some of the speed
and security issues of the simple bus topology. However, those branches could easily be cut off from the rest of
the "star" network if one of the gateways were to fail. Can also be implemented with "switches" to connect
individual nodes to a larger network on demand. Such a switched network is similar to the standard telephone
system.

Ring

This topology provides the best reliability with the least amount of wiring. Since each node has two connection
points to the ring, a single break in any part of the ring doesn't affect the integrity of the network. The devices,
however, must be designed with this topology in mind. Also, the network must be interrupted to install or
remove nodes. As with bus topology, ring networks are broadcast by nature.

As you might suspect, two or more ring topologies may be combined to give the "best of both worlds" in a
particular application. Quite often, industrial networks end up in this fashion over time, simply from engineers
and technicians joining multiple networks together for the benefit of plant-wide information access

Network protocols

Aside from the issues of the physical network (signal types and voltage levels, connector pinouts, cabling,
topology, etc.), there needs to be a standardized way in which communication is arbitrated between multiple
nodes in a network, even if it's as simple as a two-node, point-to-point system. When a node "talks" on the
network, it is generating a signal on the network wiring, be it high and low DC voltage levels, some kind of
modulated AC carrier wave signal, or even pulses of light in a fiber. Nodes that "listen" are simply measuring
that applied signal on the network (from the transmitting node) and passively monitoring it. If two or more
nodes "talk" at the same time, however, their output signals may clash (imagine two logic gates trying to apply
opposite signal voltages to a single line on a bus!), corrupting the transmitted data.

The standardized method by which nodes are allowed to transmit to the bus or network wiring is called a
protocol. There are many different protocols for arbitrating the use of a common network between multiple
nodes, and I'll cover just a few here. However, it's good to be aware of these few, and to understand why
some work better for some purposes than others. Usually, a specific protocol is associated with a standardized
type of network. This is merely another "layer" to the set of standards which are specified under the titles of
various networks.

The International Standards Organization (ISO) has specified a general architecture of network specifications in
their DIS7498 model (applicable to most any digital network). Consisting of seven "layers," this outline
attempts to categorize all levels of abstraction necessary to communicate digital data.

• Level 1: Physical Specifies electrical and mechanical details of communication: wire type, connector
design, signal types and levels.
• Level 2: Data link Defines formats of messages, how data is to be addressed, and error
detection/correction techniques.
• Level 3: Network Establishes procedures for encapsulation of data into "packets" for transmission
and reception.
• Level 4: Transport Among other things, the transport layer defines how complete data files are to be
handled over a network.
• Level 5: Session Organizes data transfer in terms of beginning and end of a specific transmission.
Analogous to job control on a multitasking computer operating system.
• Level 6: Presentation Includes definitions for character sets, terminal control, and graphics
commands so that abstract data can be readily encoded and decoded between communicating
devices.
• Level 7: Application The end-user standards for generating and/or interpreting communicated data
in its final form. In other words, the actual computer programs using the communicated data.

Some established network protocols only cover one or a few of the DIS7498 levels. For example, the widely
used RS-232C serial communications protocol really only addresses the first ("physical") layer of this seven-
layer model. Other protocols, such as the X-windows graphical client/server system developed at MIT for
distributed graphic-user-interface computer systems, cover all seven layers.

Different protocols may use the same physical layer standard. An example of this is the RS-422A and RS-485
protocols, both of which use the same differential-voltage transmitter and receiver circuitry, using the same
voltage levels to denote binary 1's and 0's. On a physical level, these two communication protocols are
identical. However, on a more abstract level the protocols are different: RS-422A is point-to-point only, while
RS-485 supports a bus topology "multidrop" with up to 32 addressable nodes.

Perhaps the simplest type of protocol is the one where there is only one transmitter, and all the other nodes
are merely receivers. Such is the case for BogusBus, where a single transmitter generates the voltage signals
impressed on the network wiring, and one or more receiver units (with 5 lamps each) light up in accord with
the transmitter's output. This is always the case with a simplex network: there's only one talker, and everyone
else listens!

When we have multiple transmitting nodes, we must orchestrate their transmissions in such a way that they
don't conflict with one another. Nodes shouldn't be allowed to talk when another node is talking, so we give
each node the ability to "listen" and to refrain from talking until the network is silent. This basic approach is
called Carrier Sense Multiple Access (CSMA), and there exists a few variations on this theme. Please note that
CSMA is not a standardized protocol in itself, but rather a methodology that certain protocols follow.

One variation is to simply let any node begin to talk as soon as the network is silent. This is analogous to a
group of people meeting at a round table: anyone has the ability to start talking, so long as they don't
interrupt anyone else. As soon as the last person stops talking, the next person waiting to talk will begin. So,
what happens when two or more people start talking at once? In a network, the simultaneous transmission of
two or more nodes is called a collision. With CSMA/CD (CSMA/Collision Detection), the nodes that collide
simply reset themselves with a random delay timer circuit, and the first one to finish its time delay tries to talk
again. This is the basic protocol for the popular Ethernet network.

Another variation of CSMA is CSMA/BA (CSMA/Bitwise Arbitration), where colliding nodes refer to pre-set
priority numbers which dictate which one has permission to speak first. In other words, each node has a "rank"
which settles any dispute over who gets to start talking first after a collision occurs, much like a group of
people where dignitaries and common citizens are mixed. If a collision occurs, the dignitary is generally
allowed to speak first and the common person waits afterward.

In either of the two examples above (CSMA/CD and CSMA/BA), we assumed that any node could initiate a
conversation so long as the network was silent. This is referred to as the "unsolicited" mode of communication.
There is a variation called "solicited" mode for either CSMA/CD or CSMA/BA where the initial transmission is
only allowed to occur when a designated master node requests (solicits) a reply. Collision detection (CD) or
bitwise arbitration (BA) applies only to post-collision arbitration as multiple nodes respond to the master
device's request.

An entirely different strategy for node communication is the Master/Slave protocol, where a single master
device allots time slots for all the other nodes on the network to transmit, and schedules these time slots so
that multiple nodes cannot collide. The master device addresses each node by name, one at a time, letting that
node talk for a certain amount of time. When it is finished, the master addresses the next node, and so on, and
so on.

Yet another strategy is the Token-Passing protocol, where each node gets a turn to talk (one at a time), and
then grants permission for the next node to talk when it's done. Permission to talk is passed around from node
to node as each one hands off the "token" to the next in sequential order. The token itself is not a physical
thing: it is a series of binary 1's and 0's broadcast on the network, carrying a specific address of the next node
permitted to talk. Although token-passing protocol is often associated with ring-topology networks, it is not
restricted to any topology in particular. And when this protocol is implemented in a ring network, the sequence
of token passing does not have to follow the physical connection sequence of the ring.

Just as with topologies, multiple protocols may be joined together over different segments of a heterogeneous
network, for maximum benefit. For instance, a dedicated Master/Slave network connecting instruments
together on the manufacturing plant floor may be linked through a gateway device to an Ethernet network
which links multiple desktop computer workstations together, one of those computer workstations acting as a
gateway to link the data to an FDDI fiber network back to the plant's mainframe computer. Each network type,
topology, and protocol serves different needs and applications best, but through gateway devices, they can all
share the same data.

It is also possible to blend multiple protocol strategies into a new hybrid within a single network type. Such is
the case for Foundation Fieldbus, which combines Master/Slave with a form of token-passing. A Link Active
Scheduler (LAS) device sends scheduled "Compel Data" (CD) commands to query slave devices on the Fieldbus
for time-critical information. In this regard, Fieldbus is a Master/Slave protocol. However, when there's time
between CD queries, the LAS sends out "tokens" to each of the other devices on the Fieldbus, one at a time,
giving them opportunity to transmit any unscheduled data. When those devices are done transmitting their
information, they return the token back to the LAS. The LAS also probes for new devices on the Fieldbus with a
"Probe Node" (PN) message, which is expected to produce a "Probe Response" (PR) back to the LAS. The
responses of devices back to the LAS, whether by PR message or returned token, dictate their standing on a
"Live List" database which the LAS maintains. Proper operation of the LAS device is absolutely critical to the
functioning of the Fieldbus, so there are provisions for redundant LAS operation by assigning "Link Master"
status to some of the nodes, empowering them to become alternate Link Active Schedulers if the operating
LAS fails.

Other data communications protocols exist, but these are the most popular. I had the opportunity to work on
an old (circa 1975) industrial control system made by Honeywell where a master device called the Highway
Traffic Director, or HTD, arbitrated all network communications. What made this network interesting is that the
signal sent from the HTD to all slave devices for permitting transmission was not communicated on the
network wiring itself, but rather on sets of individual twisted-pair cables connecting the HTD with each slave
device. Devices on the network were then divided into two categories: those nodes connected to the HTD
which were allowed to initiate transmission, and those nodes not connected to the HTD which could only
transmit in response to a query sent by one of the former nodes. Primitive and slow are the only fitting
adjectives for this communication network scheme, but it functioned adequately for its time.

Practical considerations

A principal consideration for industrial control networks, where the monitoring and control of real-life processes
must often occur quickly and at set times, is the guaranteed maximum communication time from one node to
another. If you're controlling the position of a nuclear reactor coolant valve with a digital network, you need to
be able to guarantee that the valve's network node will receive the proper positioning signals from the control
computer at the right times. If not, very bad things could happen!

The ability for a network to guarantee data "throughput" is called determinism. A deterministic network has a
guaranteed maximum time delay for data transfer from node to node, whereas a non-deterministic network
does not. The preeminent example of a non-deterministic network is Ethernet, where the nodes rely on random
time-delay circuits to reset and re-attempt transmission after a collision. Being that a node's transmission of
data could be delayed indefinitely from a long series of re-sets and re-tries after repeated collisions, there is no
guarantee that its data will ever get sent out to the network. Realistically though, the odds are so
astronomically great that such a thing would happen that it is of little practical concern in a lightly-loaded
network.

Another important consideration, especially for industrial control networks, is network fault tolerance: that is,
how susceptible is a particular network's signaling, topology, and/or protocol to failures? We've already briefly
discussed some of the issues surrounding topology, but protocol impacts reliability just as much. For example,
a Master/Slave network, while being extremely deterministic (a good thing for critical controls), is entirely
dependent upon the master node to keep everything going (generally a bad thing for critical controls). If the
master node fails for any reason, none of the other nodes will be able to transmit any data at all, because
they'll never receive their alloted time slot permissions to do so, and the whole system will fail.

A similar issue surrounds token-passing systems: what happens if the node holding the token were to fail
before passing the token on to the next node? Some token-passing systems address this possibility by having
a few designated nodes generate a new token if the network is silent for too long. This works fine if a node
holding the token dies, but it causes problems if part of a network falls silent because a cable connection
comes undone: the portion of the network that falls silent generates its own token after awhile, and you
essentially are left with two smaller networks with one token that's getting passed around each of them to
sustain communication. Trouble occurs, however, if that cable connection gets plugged back in: those two
segmented networks are joined in to one again, and now there's two tokens being passed around one network,
resulting in nodes' transmissions colliding!

There is no "perfect network" for all applications. The task of the engineer and technician is to know the
application and know the operations of the network(s) available. Only then can efficient system design and
maintenance become a reality.

Chapter 15: DIGITAL STORAGE (MEMORY)

Why digital?

Although many textbooks provide good introductions to digital memory technology, I intend to make this
chapter unique in presenting both past and present technologies to some degree of detail. While many of these
memory designs are obsolete, their foundational principles are still quite interesting and educational, and may
even find re-application in the memory technologies of the future.

The basic goal of digital memory is to provide a means to store and access binary data: sequences of 1's and
0's. The digital storage of information holds advantages over analog techniques much the same as digital
communication of information holds advantages over analog communication. This is not to say that digital data
storage is unequivocally superior to analog, but it does address some of the more common problems
associated with analog techniques and thus finds immense popularity in both consumer and industrial
applications. Digital data storage also complements digital computation technology well, and thus finds natural
application in the world of computers.

The most evident advantage of digital data storage is the resistance to corruption. Suppose that we were going
to store a piece of data regarding the magnitude of a voltage signal by means of magnetizing a small chunk of
magnetic material. Since many magnetic materials retain their strength of magnetization very well over time,
this would be a logical media candidate for long-term storage of this particular data (in fact, this is precisely
how audio and video tape technology works: thin plastic tape is impregnated with particles of iron-oxide
material, which can be magnetized or demagnetized via the application of a magnetic field from an
electromagnet coil. The data is then retrieved from the tape by moving the magnetized tape past another coil
of wire, the magnetized spots on the tape inducing voltage in that coil, reproducing the voltage waveform
initially used to magnetize the tape).

If we represent an analog signal by the strength of magnetization on spots of the tape, the storage of data on
the tape will be susceptible to the smallest degree of degradation of that magnetization. As the tape ages and
the magnetization fades, the analog signal magnitude represented on the tape will appear to be less than what
it was when we first recorded the data. Also, if any spurious magnetic fields happen to alter the magnetization
on the tape, even if it's only by a small amount, that altering of field strength will be interpreted upon re-play
as an altering (or corruption) of the signal that was recorded. Since analog signals have infinite resolution, the
smallest degree of change will have an impact on the integrity of the data storage.

If we were to use that same tape and store the data in binary digital form, however, the strength of
magnetization on the tape would fall into two discrete levels: "high" and "low," with no valid in-between states.
As the tape aged or was exposed to spurious magnetic fields, those same locations on the tape would
experience slight alteration of magnetic field strength, but unless the alterations were extreme, no data
corruption would occur upon re-play of the tape. By reducing the resolution of the signal impressed upon the
magnetic tape, we've gained significant immunity to the kind of degradation and "noise" typically plaguing
stored analog data. On the other hand, our data resolution would be limited to the scanning rate and the
number of bits output by the A/D converter which interpreted the original analog signal, so the reproduction
wouldn't necessarily be "better" than with analog, merely more rugged. With the advanced technology of
modern A/D's, though, the tradeoff is acceptable for most applications.

Also, by encoding different types of data into specific binary number schemes, digital storage allows us to
archive a wide variety of information that is often difficult to encode in analog form. Text, for example, is
represented quite easily with the binary ASCII code, seven bits for each character, including punctuation
marks, spaces, and carriage returns. A wider range of text is encoded using the Unicode standard, in like
manner. Any kind of numerical data can be represented using binary notation on digital media, and any kind of
information that can be encoded in numerical form (which almost any kind can!) is storable, too. Techniques
such as parity and checksum error detection can be employed to further guard against data corruption, in ways
that analog does not lend itself to.

Digital memory terms and concepts

When we store information in some kind of circuit or device, we not only need some way to store and retrieve
it, but also to locate precisely where in the device that it is. Most, if not all, memory devices can be thought of
as a series of mail boxes, folders in a file cabinet, or some other metaphor where information can be located in
a variety of places. When we refer to the actual information being stored in the memory device, we usually
refer to it as the data. The location of this data within the storage device is typically called the address, in a
manner reminiscent of the postal service.

With some types of memory devices, the address in which certain data is stored can be called up by means of
parallel data lines in a digital circuit (we'll discuss this in more detail later in this lesson). With other types of
devices, data is addressed in terms of an actual physical location on the surface of some type of media (the
tracks and sectors of circular computer disks, for instance). However, some memory devices such as magnetic
tapes have a one-dimensional type of data addressing: if you want to play your favorite song in the middle of a
cassette tape album, you have to fast-forward to that spot in the tape, arriving at the proper spot by means of
trial-and-error, judging the approximate area by means of a counter that keeps track of tape position, and/or
by the amount of time it takes to get there from the beginning of the tape. The access of data from a storage
device falls roughly into two categories: random access and sequential access. Random access means that you
can quickly and precisely address a specific data location within the device, and non-random simply means that
you cannot. A vinyl record platter is an example of a random-access device: to skip to any song, you just
position the stylus arm at whatever location on the record that you want (compact audio disks so the same
thing, only they do it automatically for you). Cassette tape, on the other hand, is sequential. You have to wait
to go past the other songs in sequence before you can access or address the song that you want to skip to.

The process of storing a piece of data to a memory device is called writing, and the process of retrieving data
is called reading. Memory devices allowing both reading and writing are equipped with a way to distinguish
between the two tasks, so that no mistake is made by the user (writing new information to a device when all
you wanted to do is see what was stored there). Some devices do not allow for the writing of new data, and
are purchased "pre-written" from the manufacturer. Such is the case for vinyl records and compact audio
disks, and this is typically referred to in the digital world as read-only memory, or ROM. Cassette audio and
video tape, on the other hand, can be re-recorded (re-written) or purchased blank and recorded fresh by the
user. This is often called read-write memory.
Another distinction to be made for any particular memory technology is its volatility, or data storage
permanence without power. Many electronic memory devices store binary data by means of circuits that are
either latched in a "high" or "low" state, and this latching effect holds only as long as electric power is
maintained to those circuits. Such memory would be properly referred to as volatile. Storage media such as
magnetized disk or tape is nonvolatile, because no source of power is needed to maintain data storage. This is
often confusing for new students of computer technology, because the volatile electronic memory typically
used for the construction of computer devices is commonly and distinctly referred to as RAM (Random Access
Memory). While RAM memory is typically randomly-accessed, so is virtually every other kind of memory device
in the computer! What "RAM" really refers to is the volatility of the memory, and not its mode of access.
Nonvolatile memory integrated circuits in personal computers are commonly (and properly) referred to as ROM
(Read-Only Memory), but their data contents are accessed randomly, just like the volatile memory circuits!

Finally, there needs to be a way to denote how much data can be stored by any particular memory device.
This, fortunately for us, is very simple and straightforward: just count up the number of bits (or bytes, 1 byte
= 8 bits) of total data storage space. Due to the high capacity of modern data storage devices, metric prefixes
are generally affixed to the unit of bytes in order to represent storage space: 1.6 Gigabytes is equal to 1.6
billion bytes, or 12.8 billion bits, of data storage capacity. The only caveat here is to be aware of rounded
numbers. Because the storage mechanisms of many random-access memory devices are typically arranged so
that the number of "cells" in which bits of data can be stored appears in binary progression (powers of 2), a
"one kilobyte" memory device most likely contains 1024 (2 to the power of 10) locations for data bytes rather
than exactly 1000. A "64 kbyte" memory device actually holds 65,536 bytes of data (2 to the 16th power), and
should probably be called a "66 Kbyte" device to be more precise. When we round numbers in our base-10
system, we fall out of step with the round equivalents in the base-2 system.

Modern nonmechanical memory

Now we can proceed to studying specific types of digital storage devices. To start, I want to explore some of
the technologies which do not require any moving parts. These are not necessarily the newest technologies, as
one might suspect, although they will most likely replace moving-part technologies in the future.

A very simple type of electronic memory is the bistable multivibrator. Capable of storing a single bit of data, it
is volatile (requiring power to maintain its memory) and very fast. The D-latch is probably the simplest
implementation of a bistable multivibrator for memory usage, the D input serving as the data "write" input, the
Q output serving as the "read" output, and the enable input serving as the read/write control line:

If we desire more than one bit's worth of storage (and we probably do), we'll have to have many latches
arranged in some kind of an array where we can selectively address which one (or which set) we're reading
from or writing to. Using a pair of tristate buffers, we can connect both the data write input and the data read
output to a common data bus line, and enable those buffers to either connect the Q output to the data line
(READ), connect the D input to the data line (WRITE), or keep both buffers in the High-Z state to disconnect D
and Q from the data line (unaddressed mode). One memory "cell" would look like this, internally:
When the address enable input is 0, both tristate buffers will be placed in high-Z mode, and the latch will be
disconnected from the data input/output (bus) line. Only when the address enable input is active (1) will the
latch be connected to the data bus. Every latch circuit, of course, will be enabled with a different "address
enable" (AE) input line, which will come from a 1-of-n output decoder:

In the above circuit, 16 memory cells are individually addressed with a 4-bit binary code input into the
decoder. If a cell is not addressed, it will be disconnected from the 1-bit data bus by its internal tristate
buffers: consequently, data cannot be either written or read through the bus to or from that cell. Only the cell
circuit that is addressed by the 4-bit decoder input will be accessible through the data bus.
This simple memory circuit is random-access and volatile. Technically, it is known as a static RAM. Its total
memory capacity is 16 bits. Since it contains 16 addresses and has a data bus that is 1 bit wide, it would be
designated as a 16 x 1 bit static RAM circuit. As you can see, it takes an incredible number of gates (and
multiple transistors per gate!) to construct a practical static RAM circuit. This makes the static RAM a relatively
low-density device, with less capacity than most other types of RAM technology per unit IC chip space. Because
each cell circuit consumes a certain amount of power, the overall power consumption for a large array of cells
can be quite high. Early static RAM banks in personal computers consumed a fair amount of power and
generated a lot of heat, too. CMOS IC technology has made it possible to lower the specific power consumption
of static RAM circuits, but low storage density is still an issue.

To address this, engineers turned to the capacitor instead of the bistable multivibrator as a means of storing
binary data. A tiny capacitor could serve as a memory cell, complete with a single MOSFET transistor for
connecting it to the data bus for charging (writing a 1), discharging (writing a 0), or reading. Unfortunately,
such tiny capacitors have very small capacitances, and their charge tends to "leak" away through any circuit
impedances quite rapidly. To combat this tendency, engineers designed circuits internal to the RAM memory
chip which would periodically read all cells and recharge (or "refresh") the capacitors as needed. Although this
added to the complexity of the circuit, it still required far less componentry than a RAM built of multivibrators.
They called this type of memory circuit a dynamic RAM, because of its need of periodic refreshing.

Recent advances in IC chip manufacturing has led to the introduction of flash memory, which works on a
capacitive storage principle like the dynamic RAM, but uses the insulated gate of a MOSFET as the capacitor
itself.

Before the advent of transistors (especially the MOSFET), engineers had to implement digital circuitry with
gates constructed from vacuum tubes. As you can imagine, the enormous comparative size and power
consumption of a vacuum tube as compared to a transistor made memory circuits like static and dynamic RAM
a practical impossibility. Other, rather ingenious, techniques to store digital data without the use of moving
parts were developed.

Historical, nonmechanical memory technologies

Perhaps the most ingenious technique was that of the delay line. A delay line is any kind of device which delays
the propagation of a pulse or wave signal. If you've ever heard a sound echo back and forth through a canyon
or cave, you've experienced an audio delay line: the noise wave travels at the speed of sound, bouncing off of
walls and reversing direction of travel. The delay line "stores" data on a very temporary basis if the signal is
not strengthened periodically, but the very fact that it stores data at all is a phenomenon exploitable for
memory technology.

Early computer delay lines used long tubes filled with liquid mercury, which was used as the physical medium
through which sound waves traveled along the length of the tube. An electrical/sound transducer was mounted
at each end, one to create sound waves from electrical impulses, and the other to generate electrical impulses
from sound waves. A stream of serial binary data was sent to the transmitting transducer as a voltage signal.
The sequence of sound waves would travel from left to right through the mercury in the tube and be received
by the transducer at the other end. The receiving transducer would receive the pulses in the same order as
they were transmitted:

A feedback circuit connected to the receiving transducer would drive the transmitting transducer again, sending
the same sequence of pulses through the tube as sound waves, storing the data as long as the feedback circuit
continued to function. The delay line functioned like a first-in-first-out (FIFO) shift register, and external
feedback turned that shift register behavior into a ring counter, cycling the bits around indefinitely.
The delay line concept suffered numerous limitations from the materials and technology that were then
available. The EDVAC computer of the early 1950's used 128 mercury-filled tubes, each one about 5 feet long
and storing a maximum of 384 bits. Temperature changes would affect the speed of sound in the mercury,
thus skewing the time delay in each tube and causing timing problems. Later designs replaced the liquid
mercury medium with solid rods of glass, quartz, or special metal that delayed torsional (twisting) waves
rather than longitudinal (lengthwise) waves, and operated at much higher frequencies.

One such delay line used a special nickel-iron-titanium wire (chosen for its good temperature stability) about
95 feet in length, coiled to reduce the overall package size. The total delay time from one end of the wire to
the other was about 9.8 milliseconds, and the highest practical clock frequency was 1 MHz. This meant that
approximately 9800 bits of data could be stored in the delay line wire at any given time. Given different means
of delaying signals which wouldn't be so susceptible to environmental variables (such as serial pulses of light
within a long optical fiber), this approach might someday find re-application.

Another approach experimented with by early computer engineers was the use of a cathode ray tube (CRT),
the type commonly used for oscilloscope, radar, and television viewscreens, to store binary data. Normally, the
focused and directed electron beam in a CRT would be used to make bits of phosphor chemical on the inside of
the tube glow, thus producing a viewable image on the screen. In this application, however, the desired result
was the creation of an electric charge on the glass of the screen by the impact of the electron beam, which
would then be detected by a metal grid placed directly in front of the CRT. Like the delay line, the so-called
Williams Tube memory needed to be periodically refreshed with external circuitry to retain its data. Unlike the
delay line mechanisms, it was virtually immune to the environmental factors of temperature and vibration. The
IBM model 701 computer sported a Williams Tube memory with 4 Kilobyte capacity and a bad habit of
"overcharging" bits on the tube screen with successive re-writes so that false "1" states might overflow to
adjacent spots on the screen.

The next major advance in computer memory came when engineers turned to magnetic materials as a means
of storing binary data. It was discovered that certain compounds of iron, namely "ferrite," possessed hysteresis
curves that were almost square:

Shown on a graph with the strength of the applied magnetic field on the horizontal axis (field intensity), and
the actual magnetization (orientation of electron spins in the ferrite material) on the vertical axis (flux density),
ferrite won't become magnetized one direction until the applied field exceeds a critical threshold value. Once
that critical value is exceeded, the electrons in the ferrite "snap" into magnetic alignment and the ferrite
becomes magnetized. If the applied field is then turned off, the ferrite maintains full magnetism. To magnetize
the ferrite in the other direction (polarity), the applied magnetic field must exceed the critical value in the
opposite direction. Once that critical value is exceeded, the electrons in the ferrite "snap" into magnetic
alignment in the opposite direction. Once again, if the applied field is then turned off, the ferrite maintains full
magnetism. To put it simply, the magnetization of a piece of ferrite is "bistable."
Exploiting this strange property of ferrite, we can use this natural magnetic "latch" to store a binary bit of data.
To set or reset this "latch," we can use electric current through a wire or coil to generate the necessary
magnetic field, which will then be applied to the ferrite. Jay Forrester of MIT applied this principle in inventing
the magnetic "core" memory, which became the dominant computer memory technology during the 1970's.

A grid of wires, electrically insulated from one another, crossed through the center of many ferrite rings, each
of which being called a "core." As DC current moved through any wire from the power supply to ground, a
circular magnetic field was generated around that energized wire. The resistor values were set so that the
amount of current at the regulated power supply voltage would produce slightly more than 1/2 the critical
magnetic field strength needed to magnetize any one of the ferrite rings. Therefore, if column #4 wire was
energized, all the cores on that column would be subjected to the magnetic field from that one wire, but it
would not be strong enough to change the magnetization of any of those cores. However, if column #4 wire
and row #5 wire were both energized, the core at that intersection of column #4 and row #5 would be
subjected to a sum of those two magnetic fields: a magnitude strong enough to "set" or "reset" the
magnetization of that core. In other words, each core was addressed by the intersection of row and column.
The distinction between "set" and "reset" was the direction of the core's magnetic polarity, and that bit value of
data would be determined by the polarity of the voltages (with respect to ground) that the row and column
wires would be energized with.

The following photograph shows a core memory board from a Data General brand, "Nova" model computer,
circa late 1960's or early 1970's. It had a total storage capacity of 4 kbytes (that's kilobytes, not megabytes!).
A ball-point pen is shown for size comparison:
The electronic components seen around the periphery of this board are used for "driving" the column and row
wires with current, and also to read the status of a core. A close-up photograph reveals the ring-shaped cores,
through which the matrix wires thread. Again, a ball-point pen is shown for size comparison:

A core memory board of later design (circa 1971) is shown in the next photograph. Its cores are much smaller
and more densely packed, giving more memory storage capacity than the former board (8 kbytes instead of 4
kbytes):
And, another close-up of the cores:

Writing data to core memory was easy enough, but reading that data was a bit of a trick. To facilitate this
essential function, a "read" wire was threaded through all the cores in a memory matrix, one end of it being
grounded and the other end connected to an amplifier circuit. A pulse of voltage would be generated on this
"read" wire if the addressed core changed states (from 0 to 1, or 1 to 0). In other words, to read a core's
value, you had to write either a 1 or a 0 to that core and monitor the voltage induced on the read wire to see if
the core changed. Obviously, if the core's state was changed, you would have to re-set it back to its original
state, or else the data would have been lost. This process is known as a destructive read, because data may be
changed (destroyed) as it is read. Thus, refreshing is necessary with core memory, although not in every case
(that is, in the case of the core's state not changing when either a 1 or a 0 was written to it).
One major advantage of core memory over delay lines and Williams Tubes was nonvolatility. The ferrite cores
maintained their magnetization indefinitely, with no power or refreshing required. It was also relatively easy to
build, denser, and physically more rugged than any of its predecessors. Core memory was used from the
1960's until the late 1970's in many computer systems, including the computers used for the Apollo space
program, CNC machine tool control computers, business ("mainframe") computers, and industrial control
systems. Despite the fact that core memory is long obsolete, the term "core" is still used sometimes with
reference to a computer's RAM memory.

All the while that delay lines, Williams Tube, and core memory technologies were being invented, the simple
static RAM was being improved with smaller active component (vacuum tube or transistor) technology. Static
RAM was never totally eclipsed by its competitors: even the old ENIAC computer of the 1950's used vacuum
tube ring-counter circuitry for data registers and computation. Eventually though, smaller and smaller scale IC
chip manufacturing technology gave transistors the practical edge over other technologies, and core memory
became a museum piece in the 1980's.

One last attempt at a magnetic memory better than core was the bubble memory. Bubble memory took
advantage of a peculiar phenomenon in a mineral called garnet, which, when arranged in a thin film and
exposed to a constant magnetic field perpendicular to the film, supported tiny regions of oppositely-magnetized
"bubbles" that could be nudged along the film by prodding with other external magnetic fields. "Tracks" could
be laid on the garnet to focus the movement of the bubbles by depositing magnetic material on the surface of
the film. A continuous track was formed on the garnet which gave the bubbles a long loop in which to travel,
and motive force was applied to the bubbles with a pair of wire coils wrapped around the garnet and energized
with a 2-phase voltage. Bubbles could be created or destroyed with a tiny coil of wire strategically placed in the
bubbles' path.

The presence of a bubble represented a binary "1" and the absence of a bubble represented a binary "0." Data
could be read and written in this chain of moving magnetic bubbles as they passed by the tiny coil of wire,
much the same as the read/write "head" in a cassette tape player, reading the magnetization of the tape as it
moves. Like core memory, bubble memory was nonvolatile: a permanent magnet supplied the necessary
background field needed to support the bubbles when the power was turned off. Unlike core memory, however,
bubble memory had phenomenal storage density: millions of bits could be stored on a chip of garnet only a
couple of square inches in size. What killed bubble memory as a viable alternative to static and dynamic RAM
was its slow, sequential data access. Being nothing more than an incredibly long serial shift register (ring
counter), access to any particular portion of data in the serial string could be quite slow compared to other
memory technologies.

An electrostatic equivalent of the bubble memory is the Charge-Coupled Device (CCD) memory, an adaptation
of the CCD devices used in digital photography. Like bubble memory, the bits are serially shifted along
channels on the substrate material by clock pulses. Unlike bubble memory, the electrostatic charges decay and
must be refreshed. CCD memory is therefore volatile, with high storage density and sequential access.
Interesting, isn't it? The old Williams Tube memory was adapted from CRT viewing technology, and CCD
memory from video recording technology.

Read-only memory

Read-only memory (ROM) is similar in design to static or dynamic RAM circuits, except that the "latching"
mechanism is made for one-time (or limited) operation. The simplest type of ROM is that which uses tiny
"fuses" which can be selectively blown or left alone to represent the two binary states. Obviously, once one of
the little fuses is blown, it cannot be made whole again, so the writing of such ROM circuits is one-time only.
Because it can be written (programmed) once, these circuits are sometimes referred to as PROMs
(Programmable Read-Only Memory).

However, not all writing methods are as permanent as blown fuses. If a transistor latch can be made which is
resettable only with significant effort, a memory device that's something of a cross between a RAM and a ROM
can be built. Such a device is given a rather oxymoronic name: the EPROM (Erasable Programmable Read-Only
Memory). EPROMs come in two basic varieties: Electrically-erasable (EEPROM) and Ultraviolet-erasable
(UV/EPROM). Both types of EPROMs use capacitive charge MOSFET devices to latch on or off. UV/EPROMs are
"cleared" by long-term exposure to ultraviolet light. They are easy to identify: they have a transparent glass
window which exposes the silicon chip material to light. Once programmed, you must cover that glass window
with tape to prevent ambient light from degrading the data over time. EPROMs are often programmed using
higher signal voltages than what is used during "read-only" mode.

Memory with moving parts: "Drives"

The earliest forms of digital data storage involving moving parts was that of the punched paper card. Joseph
Marie Jacquard invented a weaving loom in 1780 which automatically followed weaving instructions set by
carefully placed holes in paper cards. This same technology was adapted to electronic computers in the 1950's,
with the cards being read mechanically (metal-to-metal contact through the holes), pneumatically (air blown
through the holes, the presence of a hole sensed by air nozzle backpressure), or optically (light shining through
the holes).

An improvement over paper cards is the paper tape, still used in some industrial environments (notably the
CNC machine tool industry), where data storage and speed demands are low and ruggedness is highly valued.
Instead of wood-fiber paper, mylar material is often used, with optical reading of the tape being the most
popular method.

Magnetic tape (very similar to audio or video cassette tape) was the next logical improvement in storage
media. It is still widely used today, as a means to store "backup" data for archiving and emergency restoration
for other, faster methods of data storage. Like paper tape, magnetic tape is sequential access, rather than
random access. In early home computer systems, regular audio cassette tape was used to store data in
modulated form, the binary 1's and 0's represented by different frequencies (similar to FSK data
communication). Access speed was terribly slow (if you were reading ASCII text from the tape, you could
almost keep up with the pace of the letters appearing on the computer's screen!), but it was cheap and fairly
reliable.

Tape suffered the disadvantage of being sequential access. To address this weak point, magnetic storage
"drives" with disk- or drum-shaped media were built. An electric motor provided constant-speed motion. A
movable read/write coil (also known as a "head") was provided which could be positioned via servo-motors to
various locations on the height of the drum or the radius of the disk, giving access that is almost random (you
might still have to wait for the drum or disk to rotate to the proper position once the read/write coil has
reached the right location).

The disk shape lent itself best to portable media, and thus the floppy disk was born. Floppy disks (so-called
because the magnetic media is thin and flexible) were originally made in 8-inch diameter formats. Later, the 5-
1/4 inch variety was introduced, which was made practical by advances in media particle density. All things
being equal, a larger disk has more space upon which to write data. However, storage density can be improved
by making the little grains of iron-oxide material on the disk substrate smaller. Today, the 3-1/2 inch floppy
disk is the preeminent format, with a capacity of 1.44 Mbytes (2.88 Mbytes on SCSI drives). Other portable
drive formats are becoming popular, with IoMega's 100 Mbyte "ZIP" and 1 Gbyte "JAZ" disks appearing as
original equipment on some personal computers.

Still, floppy drives have the disadvantage of being exposed to harsh environments, being constantly removed
from the drive mechanism which reads, writes, and spins the media. The first disks were enclosed units, sealed
from all dust and other particulate matter, and were definitely not portable. Keeping the media in an enclosed
environment allowed engineers to avoid dust altogether, as well as spurious magnetic fields. This, in turn,
allowed for much closer spacing between the head and the magnetic material, resulting in a much tighter-
focused magnetic field to write data to the magnetic material.

The following photograph shows a hard disk drive "platter" of approximately 30 Mbytes storage capacity. A
ball-point pen has been set near the bottom of the platter for size reference:
Modern disk drives use multiple platters made of hard material (hence the name, "hard drive") with multiple
read/write heads for every platter. The gap between head and platter is much smaller than the diameter of a
human hair. If the hermetically-sealed environment inside a hard disk drive is contaminated with outside air,
the hard drive will be rendered useless. Dust will lodge between the heads and the platters, causing damage to
the surface of the media.

Here is a hard drive with four platters, although the angle of the shot only allows viewing of the top platter.
This unit is complete with drive motor, read/write heads, and associated electronics. It has a storage capacity
of 340 Mbytes, and is about the same length as the ball-point pen shown in the previous photograph:

While it is inevitable that non-moving-part technology will replace mechanical drives in the future, current
state-of-the-art electromechanical drives continue to rival "solid-state" nonvolatile memory devices in storage
density, and at a lower cost. In 1998, a 250 Mbyte hard drive was announced that was approximately the size
of a quarter (smaller than the metal platter hub in the center of the last hard disk photograph)! In any case,
storage density and reliability will undoubtedly continue to improve.

An incentive for digital data storage technology advancement was the advent of digitally encoded music. A
joint venture between Sony and Phillips resulted in the release of the "compact audio disk" (CD) to the public
in the late 1980's. This technology is a read-only type, the media being a thin film of aluminum foil embedded
in a transparent plastic disk. Binary bits are "burned" into the aluminum as pits by a high-power laser. Data is
read by a low-power laser (the beam of which can be focused more precisely than normal light) reflecting off
the aluminum to a photocell receiver.

The advantages of CDs over magnetic tape are legion. Being digital, the information is highly resistant to
corruption. Being non-contact in operation, there is no wear incurred through playing. Being optical, they are
immune to magnetic fields (which can easily corrupt data on magnetic tape or disks). It is possible to purchase
CD "burner" drives which contain the high-power laser necessary to write to a blank disk.

Following on the heels of the music industry, the video entertainment industry has leveraged the technology of
optical storage with the introduction of the Digital Video Disk, or DVD. Using a similar-sized plastic disk as the
music CD, a DVD employs closer spacing of pits to achieve much greater storage density. This increased
density allows feature-length movies to be encoded on DVD media, complete with trivia information about the
movie, director's notes, and so on.

Much effort is being directed toward the development of practical read/write optical disks (CD-W). Success has
been found in using chemical substances whose color may be changed through exposure to bright laser light,
then "read" by lower-intensity light. These optical disks are immediately identified by their characteristically
colored surfaces, as opposed to the silver-colored underside of a standard CD.

Chapter 16: PRINCIPLES OF DIGITAL COMPUTING

A binary adder

Suppose we wanted to build a device that could add two binary bits together. Such a device is known as a half-
adder, and its gate circuit looks like this:

The Σ symbol represents the "sum" output of the half-adder, the sum's least significant bit (LSB). Cout
represents the "carry" output of the half-adder, the sum's most significant bit (MSB).

If we were to implement this same function in ladder (relay) logic, it would look like this:
Either circuit is capable of adding two binary digits together. The mathematical "rules" of how to add bits
together are intrinsic to the hard-wired logic of the circuits. If we wanted to perform a different arithmetic
operation with binary bits, such as multiplication, we would have to construct another circuit. The above circuit
designs will only perform one function: add two binary bits together. To make them do something else would
take re-wiring, and perhaps different componentry.

In this sense, digital arithmetic circuits aren't much different from analog arithmetic (operational amplifier)
circuits: they do exactly what they're wired to do, no more and no less. We are not, however, restricted to
designing digital computer circuits in this manner. It is possible to embed the mathematical "rules" for any
arithmetic operation in the form of digital data rather than in hard-wired connections between gates. The result
is unparalleled flexibility in operation, giving rise to a whole new kind of digital device: the programmable
computer.

While this chapter is by no means exhaustive, it provides what I believe is a unique and interesting look at the
nature of programmable computer devices, starting with two devices often overlooked in introductory
textbooks: look-up table memories and finite-state machines.

Look-up tables

Having learned about digital memory devices in the last chapter, we know that it is possible to store binary
data within solid-state devices. Those storage "cells" within solid-state memory devices are easily addressed by
driving the "address" lines of the device with the proper binary value(s). Suppose we had a ROM memory
circuit written, or programmed, with certain data, such that the address lines of the ROM served as inputs and
the data lines of the ROM served as outputs, generating the characteristic response of a particular logic
function. Theoretically, we could program this ROM chip to emulate whatever logic function we wanted without
having to alter any wire connections or gates.

Consider the following example of a 4 x 2 bit ROM memory (a very small memory!) programmed with the
functionality of a half adder:

If this ROM has been written with the above data (representing a half-adder's truth table), driving the A and B
address inputs will cause the respective memory cells in the ROM chip to be enabled, thus outputting the
corresponding data as the Σ (Sum) and Cout bits. Unlike the half-adder circuit built of gates or relays, this
device can be set up to perform any logic function at all with two inputs and two outputs, not just the half-
adder function. To change the logic function, all we would need to do is write a different table of data to
another ROM chip. We could even use an EPROM chip which could be re-written at will, giving the ultimate
flexibility in function.

It is vitally important to recognize the significance of this principle as applied to digital circuitry. Whereas the
half-adder built from gates or relays processes the input bits to arrive at a specific output, the ROM simply
remembers what the outputs should be for any given combination of inputs. This is not much different from the
"times tables" memorized in grade school: rather than having to calculate the product of 5 times 6 (5 + 5 + 5
+ 5 + 5 + 5 = 30), school-children are taught to remember that 5 x 6 = 30, and then expected to recall this
product from memory as needed. Likewise, rather than the logic function depending on the functional
arrangement of hard-wired gates or relays (hardware), it depends solely on the data written into the memory
(software).

Such a simple application, with definite outputs for every input, is called a look-up table, because the memory
device simply "looks up" what the output(s) should to be for any given combination of inputs states.

This application of a memory device to perform logical functions is significant for several reasons:

• Software is much easier to change than hardware.

• Software can be archived on various kinds of memory media (disk, tape), thus providing an easy way
to document and manipulate the function in a "virtual" form; hardware can only be "archived"
abstractly in the form of some kind of graphical drawing.
• Software can be copied from one memory device (such as the EPROM chip) to another, allowing the
ability for one device to "learn" its function from another device.
• Software such as the logic function example can be designed to perform functions that would be
extremely difficult to emulate with discrete logic gates (or relays!).

The usefulness of a look-up table becomes more and more evident with increasing complexity of function.
Suppose we wanted to build a 4-bit adder circuit using a ROM. We'd require a ROM with 8 address lines (two 4-
bit numbers to be added together), plus 4 data lines (for the signed output):

With 256 addressable memory locations in this ROM chip, we would have a fair amount of programming to do,
telling it what binary output to generate for each and every combination of binary inputs. We would also run
the risk of making a mistake in our programming and have it output an incorrect sum, if we weren't careful.
However, the flexibility of being able to configure this function (or any function) through software alone
generally outweighs that costs.

Consider some of the advanced functions we could implement with the above "adder." We know that when we
add two sets of numbers in 2's complement signed notation, we risk having the answer overflow. For instance,
if we try to add 0111 (decimal 7) to 0110 (decimal 6) with only a 4-bit number field, the answer we'll get is
1001 (decimal -7) instead of the correct value, 13 (7 + 6), which cannot be expressed using 4 signed bits. If
we wanted to, we could avoid the strange answers given in overflow conditions by programming this look-up
table circuit to output something else in conditions where we know overflow will occur (that is, in any case
where the real sum would exceed +7 or -8). One alternative might be to program the ROM to output the
quantity 0111 (the maximum positive value that can be represented with 4 signed bits), or any other value
that we determined to be more appropriate for the application than the typical overflowed "error" value that a
regular adder circuit would output. It's all up to the programmer to decide what he or she wants this circuit to
do, because we are no longer limited by the constraints of logic gate functions.

The possibilities don't stop at customized logic functions, either. By adding more address lines to the 256 x 4
ROM chip, we can expand the look-up table to include multiple functions:

With two more address lines, the ROM chip will have 4 times as many addresses as before (1024 instead of
256). This ROM could be programmed so that when A8 and A9 were both low, the output data represented the
sum of the two 4-bit binary numbers input on address lines A0 through A7, just as we had with the previous
256 x 4 ROM circuit. For the addresses A8=1 and A9=0, it could be programmed to output the difference
(subtraction) between the first 4-bit binary number (A0 through A3) and the second binary number (A4
through A7). For the addresses A8=0 and A9=1, we could program the ROM to output the difference
(subtraction) of the two numbers in reverse order (second - first rather than first - second), and finally, for the
addresses A8=1 and A9=1, the ROM could be programmed to compare the two inputs and output an indication
of equality or inequality. What we will have then is a device that can perform four different arithmetical
operations on 4-bit binary numbers, all by "looking up" the answers programmed into it.

If we had used a ROM chip with more than two additional address lines, we could program it with a wider
variety of functions to perform on the two 4-bit inputs. There are a number of operations peculiar to binary
data (such as parity check or Exclusive-ORing of bits) that we might find useful to have programmed in such a
look-up table.

Devices such as this, which can perform a variety of arithmetical tasks as dictated by a binary input code, are
known as Arithmetic Logic Units (ALUs), and they comprise one of the essential components of computer
technology. Although modern ALUs are more often constructed from very complex combinational logic (gate)
circuits for reasons of speed, it should be comforting to know that the exact same functionality may be
duplicated with a "dumb" ROM chip programmed with the appropriate look-up table(s). In fact, this exact
approach was used by IBM engineers in 1959 with the development of the IBM 1401 and 1620 computers,
which used look-up tables to perform addition, rather than binary adder circuitry. The machine was fondly
known as the "CADET," which stood for "Can't Add, Doesn't Even Try."

A very common application for look-up table ROMs is in control systems where a custom mathematical function
needs to be represented. Such an application is found in computer-controlled fuel injection systems for
automobile engines, where the proper air/fuel mixture ratio for efficient and clean operation changes with
several environmental and operational variables. Tests performed on engines in research laboratories
determine what these ideal ratios are for varying conditions of engine load, ambient air temperature, and
barometric air pressure. The variables are measured with sensor transducers, their analog outputs converted
to digital signals with A/D circuitry, and those parallel digital signals used as address inputs to a high-capacity
ROM chip programmed to output the optimum digital value for air/fuel ratio for any of these given conditions.

Sometimes, ROMs are used to provide one-dimensional look-up table functions, for "correcting" digitized signal
values so that they more accurately represent their real-world significance. An example of such a device is a
thermocouple transmitter, which measures the millivoltage signal generated by a junction of dissimilar metals
and outputs a signal which is supposed to directly correspond to that junction temperature. Unfortunately,
thermocouple junctions do not have perfectly linear temperature/voltage responses, and so the raw voltage
signal is not perfectly proportional to temperature. By digitizing the voltage signal (A/D conversion) and
sending that digital value to the address of a ROM programmed with the necessary correction values, the
ROM's programming could eliminate some of the nonlinearity of the thermocouple's temperature-to-
millivoltage relationship, so that the final output of the device would be more accurate. The popular
instrumentation term for such a look-up table is a digital characterizer.

Another application for look-up tables is in special code translation. A 128 x 8 ROM, for instance, could be used
to translate 7-bit ASCII code to 8-bit EBCDIC code:

Again, all that is required is for the ROM chip to be properly programmed with the necessary data so that each
valid ASCII input will produce a corresponding EBCDIC output code.

Finite-state machines

Feedback is a fascinating engineering principle. It can turn a rather simple device or process into something
substantially more complex. We've seen the effects of feedback intentionally integrated into circuit designs with
some rather astounding effects:

• Comparator + negative feedback -----------> controllable-gain amplifier

 • Comparator + positive feedback -----------> comparator with hysteresis
• Combinational logic + positive feedback --> multivibrator

In the field of process instrumentation, feedback is used to transform a simple measurement system into
something capable of control:

• Measurement system + negative feedback ---> closed-loop control system

Feedback, both positive and negative, has the tendency to add whole new dynamics to the operation of a
device or system. Sometimes, these new dynamics find useful application, while other times they are merely
interesting. With look-up tables programmed into memory devices, feedback from the data outputs back to the
address inputs creates a whole new type of device: the Finite State Machine, or FSM:

The above circuit illustrates the basic idea: the data stored at each address becomes the next storage location
that the ROM gets addressed to. The result is a specific sequence of binary numbers (following the sequence
programmed into the ROM) at the output, over time. To avoid signal timing problems, though, we need to
connect the data outputs back to the address inputs through a 4-bit D-type flip-flop, so that the sequence
takes place step by step to the beat of a controlled clock pulse:
An analogy for the workings of such a device might be an array of post-office boxes, each one with an
identifying number on the door (the address), and each one containing a piece of paper with the address of
another P.O. box written on it (the data). A person, opening the first P.O. box, would find in it the address of
the next P.O. box to open. By storing a particular pattern of addresses in the P.O. boxes, we can dictate the
sequence in which each box gets opened, and therefore the sequence of which paper gets read.

Having 16 addressable memory locations in the ROM, this Finite State Machine would have 16 different stable
"states" in which it could latch. In each of those states, the identity of the next state would be programmed in
to the ROM, awaiting the signal of the next clock pulse to be fed back to the ROM as an address. One useful
application of such an FSM would be to generate an arbitrary count sequence, such as Grey Code:

Address -----> Data Grey Code count sequence:

0000 -------> 0001 0 0000
0001 -------> 0011 1 0001
0010 -------> 0110 2 0011
0011 -------> 0010 3 0010
0100 -------> 1100 4 0110
0101 -------> 0100 5 0111
0110 -------> 0111 6 0101
0111 -------> 0101 7 0100
1000 -------> 0000 8 1100
1001 -------> 1000 9 1101
1010 -------> 1011 10 1111
1011 -------> 1001 11 1110
1100 -------> 1101 12 1010
1101 -------> 1111 13 1011
1110 -------> 1010 14 1001
1111 -------> 1110 15 1000

Try to follow the Grey Code count sequence as the FSM would do it: starting at 0000, follow the data stored at
that address (0001) to the next address, and so on (0011), and so on (0010), and so on (0110), etc. The
result, for the program table shown, is that the sequence of addressing jumps around from address to address
in what looks like a haphazard fashion, but when you check each address that is accessed, you will find that it
follows the correct order for 4-bit Grey code. When the FSM arrives at its last programmed state (address
1000), the data stored there is 0000, which starts the whole sequence over again at address 0000 in step with
the next clock pulse.

We could expand on the capabilities of the above circuit by using a ROM with more address lines, and adding
more programming data:

Now, just like the look-up table adder circuit that we turned into an Arithmetic Logic Unit (+, -, x, / functions)
by utilizing more address lines as "function control" inputs, this FSM counter can be used to generate more
than one count sequence, a different sequence programmed for the four feedback bits (A0 through A3) for
each of the two function control line input combinations (A4 = 0 or 1).

Address -----> Data Address -----> Data

00000 -------> 0001 10000 -------> 0001
00001 -------> 0010 10001 -------> 0011
00010 -------> 0011 10010 -------> 0110
00011 -------> 0100 10011 -------> 0010
00100 -------> 0101 10100 -------> 1100
00101 -------> 0110 10101 -------> 0100
00110 -------> 0111 10110 -------> 0111
00111 -------> 1000 10111 -------> 0101
01000 -------> 1001 11000 -------> 0000
01001 -------> 1010 11001 -------> 1000
01010 -------> 1011 11010 -------> 1011
01011 -------> 1100 11011 -------> 1001
01100 -------> 1101 11100 -------> 1101
01101 -------> 1110 11101 -------> 1111
01110 -------> 1111 11110 -------> 1010
01111 -------> 0000 11111 -------> 1110
If A4 is 0, the FSM counts in binary; if A4 is 1, the FSM counts in Grey Code. In either case, the counting
sequence is arbitrary: determined by the whim of the programmer. For that matter, the counting sequence
doesn't even have to have 16 steps, as the programmer may decide to have the sequence recycle to 0000 at
any one of the steps at all. It is a completely flexible counting device, the behavior strictly determined by the
software (programming) in the ROM.

We can expand on the capabilities of the FSM even more by utilizing a ROM chip with additional address input
and data output lines. Take the following circuit, for example:

Here, the D0 through D3 data outputs are used exclusively for feedback to the A0 through A3 address lines.
Date output lines D4 through D7 can be programmed to output something other than the FSM's "state" value.
Being that four data output bits are being fed back to four address bits, this is still a 16-state device. However,
having the output data come from other data output lines gives the programmer more freedom to configure
functions than before. In other words, this device can do far more than just count! The programmed output of
this FSM is dependent not only upon the state of the feedback address lines (A0 through A3), but also the
states of the input lines (A4 through A7). The D-type flip/flop's clock signal input does not have to come from a
pulse generator, either. To make things more interesting, the flip/flop could be wired up to clock on some
external event, so that the FSM goes to the next state only when an input signal tells it to.

Now we have a device that better fulfills the meaning of the word "programmable." The data written to the
ROM is a program in the truest sense: the outputs follow a pre-established order based on the inputs to the
device and which "step" the device is on in its sequence. This is very close to the operating design of the
Turing Machine, a theoretical computing device invented by Alan Turing, mathematically proven to be able to
solve any known arithmetic problem, given enough memory capacity.

Microprocessors

Early computer science pioneers such as Alan Turing and John Von Neumann postulated that for a computing
device to be really useful, it not only had to be able to generate specific outputs as dictated by programmed
instructions, but it also had to be able to write data to memory, and be able to act on that data later. Both the
program steps and the processed data were to reside in a common memory "pool," thus giving way to the label
of the stored-program computer. Turing's theoretical machine utilized a sequential-access tape, which would
store data for a control circuit to read, the control circuit re-writing data to the tape and/or moving the tape to
a new position to read more data. Modern computers use random-access memory devices instead of
sequential-access tapes to accomplish essentially the same thing, except with greater capability.

A helpful illustration is that of early automatic machine tool control technology. Called open-loop, or sometimes
just NC (numerical control), these control systems would direct the motion of a machine tool such as a lathe or
a mill by following instructions programmed as holes in paper tape. The tape would be run one direction
through a "read" mechanism, and the machine would blindly follow the instructions on the tape without regard
to any other conditions. While these devices eliminated the burden of having to have a human machinist direct
every motion of the machine tool, it was limited in usefulness. Because the machine was blind to the real
world, only following the instructions written on the tape, it could not compensate for changing conditions such
as expansion of the metal or wear of the mechanisms. Also, the tape programmer had to be acutely aware of
the sequence of previous instructions in the machine's program to avoid troublesome circumstances (such as
telling the machine tool to move the drill bit laterally while it is still inserted into a hole in the work), since the
device had no memory other than the tape itself, which was read-only. Upgrading from a simple tape reader to
a Finite State control design gave the device a sort of memory that could be used to keep track of what it had
already done (through feedback of some of the data bits to the address bits), so at least the programmer could
decide to have the circuit remember "states" that the machine tool could be in (such as "coolant on," or tool
position). However, there was still room for improvement.

The ultimate approach is to have the program give instructions which would include the writing of new data to
a read/write (RAM) memory, which the program could easily recall and process. This way, the control system
could record what it had done, and any sensor-detectable process changes, much in the same way that a
human machinist might jot down notes or measurements on a scratch-pad for future reference in his or her
work. This is what is referred to as CNC, or Closed-loop Numerical Control.

Engineers and computer scientists looked forward to the possibility of building digital devices that could modify
their own programming, much the same as the human brain adapts the strength of inter-neural connections
depending on environmental experiences (that is why memory retention improves with repeated study, and
behavior is modified through consequential feedback). Only if the computer's program were stored in the same
writable memory "pool" as the data would this be practical. It is interesting to note that the notion of a self-
modifying program is still considered to be on the cutting edge of computer science. Most computer
programming relies on rather fixed sequences of instructions, with a separate field of data being the only
information that gets altered.

To facilitate the stored-program approach, we require a device that is much more complex than the simple
FSM, although many of the same principles apply. First, we need read/write memory that can be easily
accessed: this is easy enough to do. Static or dynamic RAM chips do the job well, and are inexpensive.
Secondly, we need some form of logic to process the data stored in memory. Because standard and Boolean
arithmetic functions are so useful, we can use an Arithmetic Logic Unit (ALU) such as the look-up table ROM
example explored earlier. Finally, we need a device that controls how and where data flows between the
memory, the ALU, and the outside world. This so-called Control Unit is the most mysterious piece of the puzzle
yet, being comprised of tri-state buffers (to direct data to and from buses) and decoding logic which interprets
certain binary codes as instructions to carry out. Sample instructions might be something like: "add the
number stored at memory address 0010 with the number stored at memory address 1101," or, "determine the
parity of the data in memory address 0111." The choice of which binary codes represent which instructions for
the Control Unit to decode is largely arbitrary, just as the choice of which binary codes to use in representing
the letters of the alphabet in the ASCII standard was largely arbitrary. ASCII, however, is now an
internationally recognized standard, whereas control unit instruction codes are almost always manufacturer-
specific.

Putting these components together (read/write memory, ALU, and control unit) results in a digital device that
is typically called a processor. If minimal memory is used, and all the necessary components are contained on
a single integrated circuit, it is called a microprocessor. When combined with the necessary bus-control support
circuitry, it is known as a Central Processing Unit, or CPU.

CPU operation is summed up in the so-called fetch/execute cycle. Fetch means to read an instruction from
memory for the Control Unit to decode. A small binary counter in the CPU (known as the program counter or
instruction pointer) holds the address value where the next instruction is stored in main memory. The Control
Unit sends this binary address value to the main memory's address lines, and the memory's data output is
read by the Control Unit to send to another holding register. If the fetched instruction requires reading more
data from memory (for example, in adding two numbers together, we have to read both the numbers that are
to be added from main memory or from some other source), the Control Unit appropriately addresses the
location of the requested data and directs the data output to ALU registers. Next, the Control Unit would
execute the instruction by signaling the ALU to do whatever was requested with the two numbers, and direct
the result to another register called the accumulator. The instruction has now been "fetched" and "executed,"
so the Control Unit now increments the program counter to step the next instruction, and the cycle repeats
itself.

Microprocessor (CPU)

--------------------------------------
| ** Program counter ** |
| (increments address value sent to |
| external memory chip(s) to fetch |==========> Address bus
| the next instruction) | (to RAM memory)
--------------------------------------
| ** Control Unit ** |<=========> Control Bus
| (decodes instructions read from | (to all devices sharing
| program in memory, enables flow | address and/or data busses;
| of data to and from ALU, internal | arbitrates all bus communi-
| registers, and external devices) | cations)
--------------------------------------
| ** Arithmetic Logic Unit (ALU) ** |
| (performs all mathematical |
| calculations and Boolean |
| functions) |
--------------------------------------
| ** Registers ** |
| (small read/write memories for |<=========> Data Bus
| holding instruction codes, | (from RAM memory and other
| error codes, ALU data, etc; | external devices)
| includes the "accumulator") |
--------------------------------------

As one might guess, carrying out even simple instructions is a tedious process. Several steps are necessary for
the Control Unit to complete the simplest of mathematical procedures. This is especially true for arithmetic
procedures such as exponents, which involve repeated executions ("iterations") of simpler functions. Just
imagine the sheer quantity of steps necessary within the CPU to update the bits of information for the graphic
display on a flight simulator game! The only thing which makes such a tedious process practical is the fact that
microprocessor circuits are able to repeat the fetch/execute cycle with great speed.

In some microprocessor designs, there are minimal programs stored within a special ROM memory internal to
the device (called microcode) which handle all the sub-steps necessary to carry out more complex math
operations. This way, only a single instruction has to be read from the program RAM to do the task, and the
programmer doesn't have to deal with trying to tell the microprocessor how to do every minute step. In
essence, it's a processor inside of a processor; a program running inside of a program.

Microprocessor programming

The "vocabulary" of instructions which any particular microprocessor chip possesses is specific to that model of
chip. An Intel 80386, for example, uses a completely different set of binary codes than a Motorola 68020, for
designating equivalent functions. Unfortunately, there are no standards in place for microprocessor
instructions. This makes programming at the very lowest level very confusing and specialized.

When a human programmer develops a set of instructions to directly tell a microprocessor how to do
something (like automatically control the fuel injection rate to an engine), they're programming in the CPU's
own "language." This language, which consists of the very same binary codes which the Control Unit inside the
CPU chip decodes to perform tasks, is often referred to as machine language. While machine language software
can be "worded" in binary notation, it is often written in hexadecimal form, because it is easier for human
beings to work with. For example, I'll present just a few of the common instruction codes for the Intel 8080
micro-processor chip:
Hexadecimal Binary Instruction description
----------- -------- -----------------------------------------
| 7B 01111011 Move contents of register A to register E
|
| 87 10000111 Add contents of register A to register D
|
| 1C 00011100 Increment the contents of register E by 1
|
| D3 11010011 Output byte of data to data bus

Even with hexadecimal notation, these instructions can be easily confused and forgotten. For this purpose,
another aid for programmers exists called assembly language. With assembly language, two to four letter
mnemonic words are used in place of the actual hex or binary code for describing program steps. For example,
the instruction 7B for the Intel 8080 would be "MOV A,E" in assembly language. The mnemonics, of course,
are useless to the microprocessor, which can only understand binary codes, but it is an expedient way for
programmers to manage the writing of their programs on paper or text editor (word processor). There are
even programs written for computers called assemblers which understand these mnemonics, translating them
to the appropriate binary codes for a specified target microprocessor, so that the programmer can write a
program in the computer's native language without ever having to deal with strange hex or tedious binary code
notation.

Once a program is developed by a person, it must be written into memory before a microprocessor can execute
it. If the program is to be stored in ROM (which some are), this can be done with a special machine called a
ROM programmer, or (if you're masochistic), by plugging the ROM chip into a breadboard, powering it up with
the appropriate voltages, and writing data by making the right wire connections to the address and data lines,
one at a time, for each instruction. If the program is to be stored in volatile memory, such as the operating
computer's RAM memory, there may be a way to type it in by hand through that computer's keyboard (some
computers have a mini-program stored in ROM which tells the microprocessor how to accept keystrokes from a
keyboard and store them as commands in RAM), even if it is too dumb to do anything else. Many "hobby"
computer kits work like this. If the computer to be programmed is a fully-functional personal computer with an
operating system, disk drives, and the whole works, you can simply command the assembler to store your
finished program onto a disk for later retrieval. To "run" your program, you would simply type your program's
filename at the prompt, press the Enter key, and the microprocessor's Program Counter register would be set
to point to the location ("address") on the disk where the first instruction is stored, and your program would
run from there.

Although programming in machine language or assembly language makes for fast and highly efficient
programs, it takes a lot of time and skill to do so for anything but the simplest tasks, because each machine
language instruction is so crude. The answer to this is to develop ways for programmers to write in "high level"
languages, which can more efficiently express human thought. Instead of typing in dozens of cryptic assembly
language codes, a programmer writing in a high-level language would be able to write something like this . . .

Print "Hello, world!"

. . . and expect the computer to print "Hello, world!" with no further instruction on how to do so. This is a great
idea, but how does a microprocessor understand such "human" thinking when its vocabulary is so limited?

The answer comes in two different forms: interpretation, or compilation. Just like two people speaking different
languages, there has to be some way to transcend the language barrier in order for them to converse. A
translator is needed to translate each person's words to the other person's language, one way at a time. For
the microprocessor, this means another program, written by another programmer in machine language, which
recognizes the ASCII character patterns of high-level commands such as Print (P-r-i-n-t) and can translate
them into the necessary bite-size steps that the microprocessor can directly understand. If this translation is
done during program execution, just like a translator intervening between two people in a live conversation, it
is called "interpretation." On the other hand, if the entire program is translated to machine language in one fell
swoop, like a translator recording a monologue on paper and then translating all the words at one sitting into a
written document in the other language, the process is called "compilation."

Interpretation is simple, but makes for a slow-running program because the microprocessor has to continually
translate the program between steps, and that takes time. Compilation takes time initially to translate the
whole program into machine code, but the resulting machine code needs no translation after that and runs
faster as a consequence. Programming languages such as BASIC and FORTH are interpreted. Languages such
as C, C++, FORTRAN, and PASCAL are compiled. Compiled languages are generally considered to be the
languages of choice for professional programmers, because of the efficiency of the final product.

Naturally, because machine language vocabularies vary widely from microprocessor to microprocessor, and
since high-level languages are designed to be as universal as possible, the interpreting and compiling programs
necessary for language translation must be microprocessor-specific. Development of these interpreters and
compilers is a most impressive feat: the people who make these programs most definitely earn their keep,
especially when you consider the work they must do to keep their software product current with the rapidly-
changing microprocessor models appearing on the market!

To mitigate this difficulty, the trend-setting manufacturers of microprocessor chips (most notably, Intel and
Motorola) try to design their new products to be backwardly compatible with their older products. For example,
the entire instruction set for the Intel 80386 chip is contained within the latest Pentium IV chips, although the
Pentium chips have additional instructions that the 80386 chips lack. What this means is that machine-
language programs (compilers, too) written for 80386 computers will run on the latest and greatest Intel
Pentium IV CPU, but machine-language programs written specifically to take advantage of the Pentium's larger
instruction set will not run on an 80386, because the older CPU simply doesn't have some of those instructions
in its vocabulary: the Control Unit inside the 80386 cannot decode them.

Building on this theme, most compilers have settings that allow the programmer to select which CPU type he
or she wants to compile machine-language code for. If they select the 80386 setting, the compiler will perform
the translation using only instructions known to the 80386 chip; if they select the Pentium setting, the compiler
is free to make use of all instructions known to Pentiums. This is analogous to telling a translator what
minimum reading level their audience will be: a document translated for a child will be understandable to an
adult, but a document translated for an adult may very well be gibberish to a child.
Volume V – Reference
DC circuit equations and laws
Ohm's and Joule's Laws

NOTE: the symbol "V" is sometimes used to represent voltage instead of "E". In some cases, an author or
circuit designer may choose to exclusively use "V" for voltage, never using the symbol "E." Other times the two
symbols are used interchangeably, or "E" is used to represent voltage from a power source while "V" is used to
represent voltage across a load (voltage "drop").

Kirchhoff's Laws

"The algebraic sum of all voltages in a loop must equal zero."

Kirchhoff's Voltage Law (KVL)

"The algebraic sum of all currents entering and exiting a node must equal zero."

Kirchhoff's Current Law (KCL)

Series circuit rules

• Components in a series circuit share the same current. Itotal = I1 = I2 = . . . In

• Total resistance in a series circuit is equal to the sum of the individual resistances, making it greater
than any of the individual resistances. Rtotal = R1 + R2 + . . . Rn
• Total voltage in a series circuit is equal to the sum of the individual voltage drops. Etotal = E1 + E2 + . .
. En
Parallel circuit rules

• Components in a parallel circuit share the same voltage. Etotal = E1 = E2 = . . . En

• Total resistance in a parallel circuit is less than any of the individual resistances. Rtotal = 1 / (1/R1 +
1/R2 + . . . 1/Rn)
• Total current in a parallel circuit is equal to the sum of the individual branch currents. Itotal = I1 + I2 +
. . . In

Series and parallel component equivalent values

Series and parallel resistances

Series and parallel inductances

Series and Parallel Capacitances

Capacitor sizing equation

Inductor sizing equation

Time constant equations

Value of time constant in series RC and RL circuits

Time constant in seconds = RC

Time constant in seconds = L/R

Calculating voltage or current at specified time

Calculating time at specified voltage or current

AC circuit equations
Inductive reactance

Capacitive reactance
Impedance in relation to R and X

ZL = R + jXL

ZC = R - jXC

Ohm's Law for AC

Series and Parallel Impedances

NOTE: All impedances must be calculated in complex number form for these equations to work.

Resonance
NOTE: This equation applies to a non-resistive LC circuit. In circuits containing resistance as well as inductance
and capacitance, this equation applies only to series configurations and to parallel configurations where R is
very small.

AC power

Decibels
Metric prefixes and unit conversions

• Metric prefixes
• Yotta = 1024 Symbol: Y
• Zetta = 1021 Symbol: Z
• Exa = 1018 Symbol: E
• Peta = 1015 Symbol: P
• Tera = 1012 Symbol: T
• Giga = 109 Symbol: G
• Mega = 106 Symbol: M
• Kilo = 103 Symbol: k
• Hecto = 102 Symbol: h
• Deca = 101 Symbol: da
• Deci = 10-1 Symbol: d
• Centi = 10-2 Symbol: c
• Milli = 10-3 Symbol: m
• Micro = 10-6 Symbol: µ
• Nano = 10-9 Symbol: n
• Pico = 10-12 Symbol: p
• Femto = 10-15 Symbol: f
• Atto = 10-18 Symbol: a
• Zepto = 10-21 Symbol: z
• Yocto = 10-24 Symbol: y

• Conversion factors for temperature

• o
F = (oC)(9/5) + 32
• o
C = (oF - 32)(5/9)
• o
R = oF + 459.67
 • o
K = oC + 273.15

Conversion equivalencies for volume

1 gallon (gal) = 231.0 cubic inches (in3) = 4 quarts (qt) = 8 pints (pt) = 128 fluid ounces (fl.
oz.) = 3.7854 liters (l)

Conversion equivalencies for distance

1 inch (in) = 2.540000 centimeter (cm)

Conversion equivalencies for velocity

1 mile per hour (mi/h) = 88 feet per minute (ft/m) = 1.46667 feet per second (ft/s) =
1.60934 kilometer per hour (km/h) = 0.44704 meter per second (m/s) = 0.868976 knot
(knot -- international)

Conversion equivalencies for weight

1 pound (lb) = 16 ounces (oz) = 0.45359 kilogram (kg)

Conversion equivalencies for force

1 pound-force (lbf) = 4.44822 newton (N)

Acceleration of gravity (free fall), Earth standard

9.806650 meters per second per second (m/s2) = 32.1740 feet per second per second (ft/s2)

Conversion equivalencies for area

1 acre = 43560 square feet (ft2) = 4840 square yards (yd2) = 4046.86 square meters (m2)

Conversion equivalencies for pressure

1 pound per square inch (psi) = 2.03603 inches of mercury (in. Hg) = 27.6807 inches of
water (in. W.C.) = 6894.757 pascals (Pa) = 0.0680460 atmospheres (Atm) = 0.0689476 bar
(bar)

Conversion equivalencies for energy or work

 1 british thermal unit (BTU -- "International Table") = 251.996 calories (cal -- "International
Table") = 1055.06 joules (J) = 1055.06 watt-seconds (W-s) = 0.293071 watt-hour (W-hr) =
1.05506 x 1010 ergs (erg) = 778.169 foot-pound-force (ft-lbf)

Conversion equivalencies for power

1 horsepower (hp -- 550 ft-lbf/s) = 745.7 watts (W) = 2544.43 british thermal units per hour
(BTU/hr) = 0.0760181 boiler horsepower (hp -- boiler)

Converting between units is easy if you have a set of equivalencies to work with. Suppose we wanted to
convert an energy quantity of 2500 calories into watt-hours. What we would need to do is find a set of
equivalent figures for those units. In our reference here, we see that 251.996 calories is physically equal to
0.293071 watt hour. To convert from calories into watt-hours, we must form a "unity fraction" with these
physically equal figures (a fraction composed of different figures and different units, the numerator and
denominator being physically equal to one another), placing the desired unit in the numerator and the initial
unit in the denominator, and then multiply our initial value of calories by that fraction.

Since both terms of the "unity fraction" are physically equal to one another, the fraction as a whole has a
physical value of 1, and so does not change the true value of any figure when multiplied by it. When units are
canceled, however, there will be a change in units. For example, 2500 calories multiplied by the unity fraction
of (0.293071 w-hr / 251.996 cal) = 2.9075 watt-hours.

The "unity fraction" approach to unit conversion may be extended beyond single steps. Suppose we wanted to
convert a fluid flow measurement of 175 gallons per hour into liters per day. We have two units to convert
here: gallons into liters, and hours into days. Remember that the word "per" in mathematics means "divided
by," so our initial figure of 175 gallons per hour means 175 gallons divided by hours. Expressing our original
figure as such a fraction, we multiply it by the necessary unity fractions to convert gallons to liters (3.7854
liters = 1 gallon), and hours to days (1 day = 24 hours). The units must be arranged in the unity fraction in
such a way that undesired units cancel each other out above and below fraction bars. For this problem it
means using a gallons-to-liters unity fraction of (3.7854 liters / 1 gallon) and a hours-to-days unity fraction of
(24 hours / 1 day):
Our final (converted) answer is 15898.68 liters per day.

Data

Conversion factors were found in the 78th edition of the CRC Handbook of Chemistry and Physics, and the 3rd
edition of Bela Liptak's Instrument Engineers' Handbook -- Process Measurement and Analysis.

Chapter 2: RESISTOR COLOR CODES

RESISTOR COLOR CODES

The colors brown, red, green, blue, and violet are used as tolerance codes on 5-band resistors only. All 5-band
resistors use a colored tolerance band. The blank (20%) "band" is only used with the "4-band" code (3 colored
bands + a blank "band").
Example #1

A resistor colored Yellow-Violet-Orange-Gold would be 47 kΩ with a tolerance of +/- 5%.

Example #2

A resistor colored Green-Red-Gold-Silver would be 5.2 Ω with a tolerance of +/- 10%.

Example #3

A resistor colored White-Violet-Black would be 97 Ω with a tolerance of +/- 20%. When you see only three
color bands on a resistor, you know that it is actually a 4-band code with a blank (20%) tolerance band.

Example #4

A resistor colored Orange-Orange-Black-Brown-Violet would be 3.3 kΩ with a tolerance of +/- 0.1%.

Example #5

A resistor colored Brown-Green-Grey-Silver-Red would be 1.58 Ω with a tolerance of +/- 2%.

Example #6
A resistor colored Blue-Brown-Green-Silver-Blue would be 6.15 Ω with a tolerance of +/- 0.25%.

Chapter 3: CONDUCTOR AND INSULATOR TABLES

Copper wire gage table

Soild copper wire table:

Size Diameter Cross-sectional area Weight

AWG inches cir. mils sq. inches lb/1000 ft
================================================================
4/0 -------- 0.4600 ------- 211,600 ------ 0.1662 ------ 640.5
3/0 -------- 0.4096 ------- 167,800 ------ 0.1318 ------ 507.9
2/0 -------- 0.3648 ------- 133,100 ------ 0.1045 ------ 402.8
1/0 -------- 0.3249 ------- 105,500 ----- 0.08289 ------ 319.5
1 ---------- 0.2893 ------- 83,690 ------ 0.06573 ------ 253.5
2 ---------- 0.2576 ------- 66,370 ------ 0.05213 ------ 200.9
3 ---------- 0.2294 ------- 52,630 ------ 0.04134 ------ 159.3
4 ---------- 0.2043 ------- 41,740 ------ 0.03278 ------ 126.4
5 ---------- 0.1819 ------- 33,100 ------ 0.02600 ------ 100.2
6 ---------- 0.1620 ------- 26,250 ------ 0.02062 ------ 79.46
7 ---------- 0.1443 ------- 20,820 ------ 0.01635 ------ 63.02
8 ---------- 0.1285 ------- 16,510 ------ 0.01297 ------ 49.97
9 ---------- 0.1144 ------- 13,090 ------ 0.01028 ------ 39.63
10 --------- 0.1019 ------- 10,380 ------ 0.008155 ----- 31.43
11 --------- 0.09074 ------- 8,234 ------ 0.006467 ----- 24.92
12 --------- 0.08081 ------- 6,530 ------ 0.005129 ----- 19.77
13 --------- 0.07196 ------- 5,178 ------ 0.004067 ----- 15.68
14 --------- 0.06408 ------- 4,107 ------ 0.003225 ----- 12.43
15 --------- 0.05707 ------- 3,257 ------ 0.002558 ----- 9.858
16 --------- 0.05082 ------- 2,583 ------ 0.002028 ----- 7.818
17 --------- 0.04526 ------- 2,048 ------ 0.001609 ----- 6.200
18 --------- 0.04030 ------- 1,624 ------ 0.001276 ----- 4.917
19 --------- 0.03589 ------- 1,288 ------ 0.001012 ----- 3.899
20 --------- 0.03196 ------- 1,022 ----- 0.0008023 ----- 3.092
21 --------- 0.02846 ------- 810.1 ----- 0.0006363 ----- 2.452
22 --------- 0.02535 ------- 642.5 ----- 0.0005046 ----- 1.945
23 --------- 0.02257 ------- 509.5 ----- 0.0004001 ----- 1.542
24 --------- 0.02010 ------- 404.0 ----- 0.0003173 ----- 1.233
25 --------- 0.01790 ------- 320.4 ----- 0.0002517 ----- 0.9699
26 --------- 0.01594 ------- 254.1 ----- 0.0001996 ----- 0.7692
27 --------- 0.01420 ------- 201.5 ----- 0.0001583 ----- 0.6100
28 --------- 0.01264 ------- 159.8 ----- 0.0001255 ----- 0.4837
29 --------- 0.01126 ------- 126.7 ----- 0.00009954 ---- 0.3836
30 --------- 0.01003 ------- 100.5 ----- 0.00007894 ---- 0.3042
31 -------- 0.008928 ------- 79.70 ----- 0.00006260 ---- 0.2413
32 -------- 0.007950 ------- 63.21 ----- 0.00004964 ---- 0.1913
33 -------- 0.007080 ------- 50.13 ----- 0.00003937 ---- 0.1517
34 -------- 0.006305 ------- 39.75 ----- 0.00003122 ---- 0.1203
35 -------- 0.005615 ------- 31.52 ----- 0.00002476 --- 0.09542
36 -------- 0.005000 ------- 25.00 ----- 0.00001963 --- 0.07567
37 -------- 0.004453 ------- 19.83 ----- 0.00001557 --- 0.06001
38 -------- 0.003965 ------- 15.72 ----- 0.00001235 --- 0.04759
39 -------- 0.003531 ------- 12.47 ---- 0.000009793 --- 0.03774
40 -------- 0.003145 ------- 9.888 ---- 0.000007766 --- 0.02993
41 -------- 0.002800 ------- 7.842 ---- 0.000006159 --- 0.02374
42 -------- 0.002494 ------- 6.219 ---- 0.000004884 --- 0.01882
43 -------- 0.002221 ------- 4.932 ---- 0.000003873 --- 0.01493
44 -------- 0.001978 ------- 3.911 ---- 0.000003072 --- 0.01184

Copper wire ampacity table

Ampacities of copper wire, in free air at 30o C:

========================================================
| INSULATION TYPE: |
| RUW, T THW, THWN FEP, FEPB |
| TW RUH THHN, XHHW |
========================================================
Size Current Rating Current Rating Current Rating
AWG @ 60 degrees C @ 75 degrees C @ 90 degrees C
========================================================
20 -------- *9 ----------------------------- *12.5
18 -------- *13 ------------------------------ 18
16 -------- *18 ------------------------------ 24
14 --------- 25 ------------- 30 ------------- 35
12 --------- 30 ------------- 35 ------------- 40
10 --------- 40 ------------- 50 ------------- 55
8 ---------- 60 ------------- 70 ------------- 80
6 ---------- 80 ------------- 95 ------------ 105
4 --------- 105 ------------ 125 ------------ 140
2 --------- 140 ------------ 170 ------------ 190
1 --------- 165 ------------ 195 ------------ 220
1/0 ------- 195 ------------ 230 ------------ 260
2/0 ------- 225 ------------ 265 ------------ 300
3/0 ------- 260 ------------ 310 ------------ 350
4/0 ------- 300 ------------ 360 ------------ 405

* = estimated values; normally, wire gages this small are not manufactured with these insulation types.

Coefficients of specific resistance

Specific resistance at 20o C:

Material Element/Alloy (ohm-cmil/ft) (ohm-cm)

====================================================================
Nichrome ------- Alloy ---------------- 675 ------------- 112.2-6
Nichrome V ----- Alloy ---------------- 650 ------------- 108.1-6
Manganin ------- Alloy ---------------- 290 ------------- 48.21-6

Constantan ----- Alloy ---------------- 272.97 ---------- 45.38-6

Steel* --------- Alloy ---------------- 100 ------------- 16.62-6
Platinum ------ Element --------------- 63.16 ----------- 10.5-6
Iron ---------- Element --------------- 57.81 ----------- 9.61-6
Nickel -------- Element --------------- 41.69 ----------- 6.93-6
Zinc ---------- Element --------------- 35.49 ----------- 5.90-6
Molybdenum ---- Element --------------- 32.12 ----------- 5.34-6
Tungsten ------ Element --------------- 31.76 ----------- 5.28-6
Aluminum ------ Element --------------- 15.94 ----------- 2.650-6
Gold ---------- Element --------------- 13.32 ----------- 2.214-6
Copper -------- Element --------------- 10.09 ----------- 1.678-6
Silver -------- Element --------------- 9.546 ----------- 1.587-6

* = Steel alloy at 99.5 percent iron, 0.5 percent carbon.

Temperature coefficients of resistance

Temperature coefficient (α) per degree C:

Material Element/Alloy Temp. coefficient

=====================================================
Nickel -------- Element --------------- 0.005866
Iron ---------- Element --------------- 0.005671
Molybdenum ---- Element --------------- 0.004579
Tungsten ------ Element --------------- 0.004403
Aluminum ------ Element --------------- 0.004308
Copper -------- Element --------------- 0.004041
Silver -------- Element --------------- 0.003819
Platinum ------ Element --------------- 0.003729
Gold ---------- Element --------------- 0.003715
Zinc ---------- Element --------------- 0.003847
Steel* --------- Alloy ---------------- 0.003
Nichrome ------- Alloy ---------------- 0.00017
Nichrome V ----- Alloy ---------------- 0.00013
Manganin ------- Alloy ------------ +/- 0.000015
Constantan ----- Alloy --------------- -0.000074

* = Steel alloy at 99.5 percent iron, 0.5 percent carbon

Critical temperatures for superconductors

Critical temperatures given in degrees Kelvin:

Material Element/Alloy Critical temperature

======================================================
Aluminum -------- Element --------------- 1.20
Cadmium --------- Element --------------- 0.56
Lead ------------ Element --------------- 7.2
Mercury --------- Element --------------- 4.16
Niobium --------- Element --------------- 8.70
Thorium --------- Element --------------- 1.37
Tin ------------- Element --------------- 3.72
Titanium -------- Element --------------- 0.39
Uranium --------- ELement --------------- 1.0
Zinc ------------ Element --------------- 0.91
Niobium/Tin ------ Alloy ---------------- 18.1
Cupric sulphide - Compound -------------- 1.6
Note: all critical temperatures given at zero magnetic field strength

Dielectric strengths for insulators

Dielectric strength in kilovolts per inch (kV/in):

Material* Dielectric strength

=========================================
Vacuum --------------------- 20
Air ------------------------ 20 to 75
Porcelain ------------------ 40 to 200
Paraffin Wax --------------- 200 to 300
Transformer Oil ------------ 400
Bakelite ------------------- 300 to 550
Rubber --------------------- 450 to 700
Shellac -------------------- 900
Paper ---------------------- 1250
Teflon --------------------- 1500
Glass ---------------------- 2000 to 3000
Mica ----------------------- 5000

* = Materials listed are specially prepared for electrical use

Data

Tables of specific resistance and temperature coefficient of resistance for elemental materials (not alloys) were
derived from figures found in the 78th edition of the CRC Handbook of Chemistry and Physics.
Superconductivity data from Collier's Encyclopedia (volume 21, 1968, page 640).

Chapter 4: ALGEBRA REFERENCE

Basic identities

Note: while division by zero is popularly thought to be equal to infinity, this is not technically true. In some
practical applications it may be helpful to think the result of such a fraction approaching infinity as the
denominator approaches zero (imagine calculating current I=E/R in a circuit with resistance approaching zero -
- current would approach infinity), but the actual fraction of anything divided by zero is undefined in the scope
of "real" numbers.
Arithmetic properties
The associative property

In addition and multiplication, terms may be arbitrarily associated with each other through the use of
parentheses:

The commutative property

All About Circuits > Volume V - Reference > Chapter 4: ALGEBRA REFERENCE > The commutative property
The commutative property

In addition and multiplication, terms may be arbitrarily interchanged, or commutated:

The distributive property

Properties of exponents

Radicals
Definition of a radical

When people talk of a "square root," they're referring to a radical with a root of 2. This is mathematically
equivalent to a number raised to the power of 1/2. This equivalence is useful to know when using a calculator
to determine a strange root. Suppose for example you needed to find the fourth root of a number, but your
calculator lacks a "4th root" button or function. If it has a yx function (which any scientific calculator should
have), you can find the fourth root by raising that number to the 1/4 power, or x0.25.

It is important to remember that when solving for an even root (square root, fourth root, etc.) of any number,
there are two valid answers. For example, most people know that the square root of nine is three, but negative
three is also a valid answer, since (-3)2 = 9 just as 32 = 9.

Properties of radicals
Important constants
Euler's number

Euler's constant is an important value for exponential functions, especially scientific applications involving
decay (such as the decay of a radioactive substance). It is especially important in calculus due to its uniquely
self-similar properties of integration and differentiation.

e approximately equals:
2.71828 18284 59045 23536 02874 71352 66249 77572 47093 69996

Pi

Pi (π) is defined as the ratio of a circle's circumference to its diameter.

Pi approximately equals:
3.14159 26535 89793 23846 26433 83279 50288 41971 69399 37511

Note: For both Euler's constant (e) and pi (π), the spaces shown between each set of five digits have no
mathematical significance. They are placed there just to make it easier for your eyes to "piece" the number
into five-digit groups when manually copying.
Logarithms
Definition of a logarithm

"log" denotes a common logarithm (base = 10), while "ln" denotes a natural logarithm (base = e).

Properties of logarithms
All About Circuits > Volume V - Reference > Chapter 4: ALGEBRA REFERENCE > Properties of logarithms
Properties of logarithms

These properties of logarithms come in handy for performing complex multiplication and division operations.
They are an example of something called a transform function, whereby one type of mathematical operation is
transformed into another type of mathematical operation that is simpler to solve. Using a table of logarithm
figures, one can multiply or divide numbers by adding or subtracting their logarithms, respectively. then
looking up that logarithm figure in the table and seeing what the final product or quotient is.

Slide rules work on this principle of logarithms by performing multiplication and division through addition and
subtraction of distances on the slide.

Marks on a slide rule's scales are spaced in a logarithmic fashion, so that a linear positioning of the scale or
cursor results in a nonlinear indication as read on the scale(s). Adding or subtracting lengths on these
logarithmic scales results in an indication equivalent to the product or quotient, respectively, of those lengths.
Most slide rules were also equipped with special scales for trigonometric functions, powers, roots, and other
useful arithmetic functions.

Properties of logarithms
All About Circuits > Volume V - Reference > Chapter 4: ALGEBRA REFERENCE > Properties of logarithms
Properties of logarithms

These properties of logarithms come in handy for performing complex multiplication and division operations.
They are an example of something called a transform function, whereby one type of mathematical operation is
transformed into another type of mathematical operation that is simpler to solve. Using a table of logarithm
figures, one can multiply or divide numbers by adding or subtracting their logarithms, respectively. then
looking up that logarithm figure in the table and seeing what the final product or quotient is.

Slide rules work on this principle of logarithms by performing multiplication and division through addition and
subtraction of distances on the slide.

Marks on a slide rule's scales are spaced in a logarithmic fashion, so that a linear positioning of the scale or
cursor results in a nonlinear indication as read on the scale(s). Adding or subtracting lengths on these
logarithmic scales results in an indication equivalent to the product or quotient, respectively, of those lengths.

Most slide rules were also equipped with special scales for trigonometric functions, powers, roots, and other
useful arithmetic functions.

Factoring equivalencies

The quadratic formula

Sequences
Arithmetic sequences

An arithmetic sequence is a series of numbers obtained by adding (or subtracting) the same value with each
step. A child's counting sequence (1, 2, 3, 4, . . .) is a simple arithmetic sequence, where the common
difference is 1: that is, each adjacent number in the sequence differs by a value of one. An arithmetic
sequence counting only even numbers (2, 4, 6, 8, . . .) or only odd numbers (1, 3, 5, 7, 9, . . .) would have a
common difference of 2.

In the standard notation of sequences, a lower-case letter "a" represents an element (a single number) in the
sequence. The term "an" refers to the element at the nth step in the sequence. For example, "a3" in an even-
counting (common difference = 2) arithmetic sequence starting at 2 would be the number 6, "a" representing
4 and "a1" representing the starting point of the sequence (given in this example as 2).

A capital letter "A" represents the sum of an arithmetic sequence. For instance, in the same even-counting
sequence starting at 2, A4 is equal to the sum of all elements from a1 through a4, which of course would be 2 +
4 + 6 + 8, or 20.

Geometric sequences

A geometric sequence, on the other hand, is a series of numbers obtained by multiplying (or dividing) by the
same value with each step. A binary place-weight sequence (1, 2, 4, 8, 16, 32, 64, . . .) is a simple geometric
sequence, where the common ratio is 2: that is, each adjacent number in the sequence differs by a factor of
two.
Factorials
Definition of a factorial

Denoted by the symbol "!" after an integer; the product of that integer and all integers in descent to 1.

Example of a factorial:

Strange factorials

Solving simultaneous equations

The terms simultaneous equations and systems of equations refer to conditions where two or more unknown
variables are related to each other through an equal number of equations. Consider the following example:

For this set of equations, there is but a single combination of values for x and y that will satisfy both. Either
equation, considered separately, has an infinitude of valid (x,y) solutions, but together there is only one.
Plotted on a graph, this condition becomes obvious:
Each line is actually a continuum of points representing possible x and y solution pairs for each equation. Each
equation, separately, has an infinite number of ordered pair (x,y) solutions. There is only one point where the
two linear functions x + y = 24 and 2x - y = -6 intersect (where one of their many independent
solutions happen to work for both equations), and that is where x is equal to a value of 6 and y is equal to a
value of 18.

Usually, though, graphing is not a very efficient way to determine the simultaneous solution set for two or
more equations. It is especially impractical for systems of three or more variables. In a three-variable system,
for example, the solution would be found by the point intersection of three planes in a three-dimensional
coordinate space -- not an easy scenario to visualize.

Substitution method

Several algebraic techniques exist to solve simultaneous equations. Perhaps the easiest to comprehend is the
substitution method. Take, for instance, our two-variable example problem:

In the substitution method, we manipulate one of the equations such that one variable is defined in terms of
the other:
Then, we take this new definition of one variable and substitute it for the same variable in the other equation.
In this case, we take the definition of y, which is 24 - x and substitute this for the y term found in the other
equation:

Now that we have an equation with just a single variable (x), we can solve it using "normal" algebraic
techniques:

Now that x is known, we can plug this value into any of the original equations and obtain a value for y. Or, to
save us some work, we can plug this value (6) into the equation we just generated to define y in terms of x,
being that it is already in a form to solve for y:
Applying the substitution method to systems of three or more variables involves a similar pattern, only with
more work involved. This is generally true for any method of solution: the number of steps required for
obtaining solutions increases rapidly with each additional variable in the system.

To solve for three unknown variables, we need at least three equations. Consider this example:

Being that the first equation has the simplest coefficients (1, -1, and 1, for x, y, and z, respectively), it seems
logical to use it to develop a definition of one variable in terms of the other two. In this example, I'll solve for x
in terms of y and z:

Now, we can substitute this definition of x where x appears in the other two equations:

Reducing these two equations to their simplest forms:

So far, our efforts have reduced the system from three variables in three equations to two variables in two
equations. Now, we can apply the substitution technique again to the two equations 4y - z = 4 and -3y
+ 4z = 36 to solve for either y or z. First, I'll manipulate the first equation to define z in terms of y:

Next, we'll substitute this definition of z in terms of y where we see z in the other equation:
Now that y is a known value, we can plug it into the equation defining z in terms of y and obtain a figure for
z:

Now, with values for y and z known, we can plug these into the equation where we defined x in terms of y
and z, to obtain a value for x:

In closing, we've found values for x, y, and z of 2, 4, and 12, respectively, that satisfy all three equations.

Addition method

While the substitution method may be the easiest to grasp on a conceptual level, there are other methods of
solution available to us. One such method is the so-called addition method, whereby equations are added to
one another for the purpose of canceling variable terms.

Let's take our two-variable system used to demonstrate the substitution method:

One of the most-used rules of algebra is that you may perform any arithmetic operation you wish to an
equation so long as you do it equally to both sides. With reference to addition, this means we may add any
quantity we wish to both sides of an equation -- so long as it's the same quantity -- without altering the truth
of the equation.
An option we have, then, is to add the corresponding sides of the equations together to form a new equation.
Since each equation is an expression of equality (the same quantity on either side of the = sign), adding the
left-hand side of one equation to the left-hand side of the other equation is valid so long as we add the two
equations' right-hand sides together as well. In our example equation set, for instance, we may add x + y to
2x - y, and add 24 and -6 together as well to form a new equation. What benefit does this hold for us?
Examine what happens when we do this to our example equation set:

Because the top equation happened to contain a positive y term while the bottom equation happened to
contain a negative y term, these two terms canceled each other in the process of addition, leaving no y term
in the sum. What we have left is a new equation, but one with only a single unknown variable, x! This allows
us to easily solve for the value of x:

Once we have a known value for x, of course, determining y's value is a simply matter of substitution
(replacing x with the number 6) into one of the original equations. In this example, the technique of adding
the equations together worked well to produce an equation with a single unknown variable. What about an
example where things aren't so simple? Consider the following equation set:

We could add these two equations together -- this being a completely valid algebraic operation -- but it would
not profit us in the goal of obtaining values for x and y:

The resulting equation still contains two unknown variables, just like the original equations do, and so we're no
further along in obtaining a solution. However, what if we could manipulate one of the equations so as to have
a negative term that would cancel the respective term in the other equation when added? Then, the system
would reduce to a single equation with a single unknown variable just as with the last (fortuitous) example.

If we could only turn the y term in the lower equation into a - 2y term, so that when the two equations were
added together, both y terms in the equations would cancel, leaving us with only an x term, this would bring
us closer to a solution. Fortunately, this is not difficult to do. If we multiply each and every term of the lower
equation by a -2, it will produce the result we seek:
Now, we may add this new equation to the original, upper equation:

Solving for x, we obtain a value of 3:

Substituting this new-found value for x into one of the original equations, the value of y is easily determined:

Using this solution technique on a three-variable system is a bit more complex. As with substitution, you must
use this technique to reduce the three-equation system of three variables down to two equations with two
variables, then apply it again to obtain a single equation with one unknown variable. To demonstrate, I'll use
the three-variable equation system from the substitution section:
Being that the top equation has coefficient values of 1 for each variable, it will be an easy equation to
manipulate and use as a cancellation tool. For instance, if we wish to cancel the 3x term from the middle
equation, all we need to do is take the top equation, multiply each of its terms by -3, then add it to the middle
equation like this:

We can rid the bottom equation of its -5x term in the same manner: take the original top equation, multiply
each of its terms by 5, then add that modified equation to the bottom equation, leaving a new equation with
only y and z terms:
At this point, we have two equations with the same two unknown variables, y and z:

By inspection, it should be evident that the -z term of the upper equation could be leveraged to cancel the 4z
term in the lower equation if only we multiply each term of the upper equation by 4 and add the two equations
together:
Taking the new equation 13y = 52 and solving for y (by dividing both sides by 13), we get a value of 4 for
y. Substituting this value of 4 for y in either of the two-variable equations allows us to solve for z.
Substituting both values of y and z into any one of the original, three-variable equations allows us to solve for
x. The final result (I'll spare you the algebraic steps, since you should be familiar with them by now!) is that x
= 2, y = 4, and z = 12.

Chapter 5: TRIGONOMETRY REFERENCE

Right triangle trigonometry

A right triangle is defined as having one angle precisely equal to 90o (a right angle).

Trigonometric identities

H is the Hypotenuse, always being opposite the right angle. Relative to angle x, O is the Opposite and A is the
Adjacent.

The Pythagorean theorem

Non-right triangle trigonometry

The Law of Sines (for any triangle)

The Law of Cosines (for any triangle)

Trigonometric equivalencies

Hyperbolic functions
Note: all angles (x) must be expressed in units of radians for these hyperbolic functions. There are 2π radians
in a circle (360o).

Chapter 6: CALCULUS REFERENCE

Rules for limits

Derivative of a constant

("c" being a constant)

Common derivatives
Derivatives of power functions of e

Trigonometric derivatives

Rules for derivatives

Constant rule

Rule of sums

Rule of differences

Product rule

Quotient rule

Power rule

Functions of other functions

The antiderivative (Indefinite integral)

Notice something important here: taking the derivative of f(x) may precisely give you g(x), but taking the
antiderivative of g(x) does not necessarily give you f(x) in its original form. Example:

Note that the constant c is unknown! The original function f(x) could have been 3x2 + 5, 3x2 + 10, 3x2 +
anything, and the derivative of f(x) would have still been 6x. Determining the antiderivative of a function, then,
is a bit less certain than determining the derivative of a function.

Common antiderivatives
Antiderivatives of power functions of e

Note: this is a very unique and useful property of e. As in the case of derivatives, the antiderivative of such a
function is that same function. In the case of the antiderivative, a constant term "c" is added to the end as
well.

Rules for antiderivatives

Constant rule

Rule of sums

Rule of differences

Definite integrals and the fundamental theorem of calculus

Differential equations

As opposed to normal equations where the solution is a number, a differential equation is one where the
solution is actually a function, and which at least one derivative of that unknown function is part of the
equation.

As with finding antiderivatives of a function, we are often left with a solution that encompasses more than one
possibility (consider the many possible values of the constant "c" typically found in antiderivatives). The set of
functions which answer any differential equation is called the "general solution" for that differential equation.
Any one function out of that set is referred to as a "particular solution" for that differential equation. The
variable of reference for differentiation and integration within the differential equation is known as the
"independent variable."

Chapter 7: USING THE SPICE CIRCUIT SIMULATION PROGRAM

Introduction

"With Electronics Workbench, you can create circuit schematics that look just the same as
those you're already familiar with on paper -- plus you can flip the power switch so the
schematic behaves like a real circuit. With other electronics simulators, you may have to type
in SPICE node lists as text files -- an abstract representation of a circuit beyond the
capabilities of all but advanced electronics engineers."

(Electronics Workbench User's guide -- version 4, page 7)

This introduction comes from the operating manual for a circuit simulation program called Electronics
Workbench. Using a graphic interface, it allows the user to draw a circuit schematic and then have the
computer analyze that circuit, displaying the results in graphic form. It is a very valuable analysis tool, but it
has its shortcomings. For one, it and other graphic programs like it tend to be unreliable when analyzing
complex circuits, as the translation from picture to computer code is not quite the exact science we would want
it to be (yet). Secondly, due to its graphics requirements, it tends to need a significant amount of
computational "horsepower" to run, and a computer operating system that supports graphics. Thirdly, these
graphic programs can be costly.

However, underneath the graphics skin of Electronics Workbench lies a robust (and free!) program called
SPICE, which analyzes a circuit based on a text-file description of the circuit's components and connections.
What the user pays for with Electronics Workbench and other graphic circuit analysis programs is the
convenient "point and click" interface, while SPICE does the actual mathematical analysis.

By itself, SPICE does not require a graphic interface and demands little in system resources. It is also very
reliable. The makers of Electronic Workbench would like you to think that using SPICE in its native text mode is
a task suited for rocket scientists, but I'm writing this to prove them wrong. SPICE is fairly easy to use for
simple circuits, and its non-graphic interface actually lends itself toward the analysis of circuits that can be
difficult to draw. I think it was the programming expert Donald Knuth who quipped, "What you see is all you
get" when it comes to computer applications. Graphics may look more attractive, but abstracted interfaces
(text) are actually more efficient.

This document is not intended to be an exhaustive tutorial on how to use SPICE. I'm merely trying to show the
interested user how to apply it to the analysis of simple circuits, as an alternative to proprietary ($$$) and
buggy programs. Once you learn the basics, there are other tutorials better suited to take you further. Using
SPICE -- a program originally intended to develop integrated circuits -- to analyze some of the really simple
circuits showcased here may seem a bit like cutting butter with a chain saw, but it works!

All options and examples have been tested on SPICE version 2g6 on both MS-DOS and Linux operating
systems. As far as I know, I'm not using features specific to version 2g6, so these simple functions should
work on most versions of SPICE.

History of SPICE

SPICE is a computer program designed to simulate analog electronic circuits. It original intent was for the
development of integrated circuits, from which it derived its name: Simulation Program with Integrated Circuit
Emphasis.

The origin of SPICE traces back to another circuit simulation program called CANCER. Developed by professor
Ronald Rohrer of U.C. Berkeley along with some of his students in the late 1960's, CANCER continued to be
improved through the early 1970's. When Rohrer left Berkeley, CANCER was re-written and re-named to
SPICE, released as version 1 to the public domain in May of 1972. Version 2 of SPICE was released in 1975
(version 2g6 -- the version used in this book -- is a minor revision of this 1975 release). Instrumental in the
decision to release SPICE as a public-domain computer program was professor Donald Pederson of Berkeley,
who believed that all significant technical progress happens when information is freely shared. I for one thank
him for his vision.

A major improvement came about in March of 1985 with version 3 of SPICE (also released under public
domain). Written in the C language rather than FORTRAN, version 3 incorporated additional transistor types
(the MESFET, for example), and switch elements. Version 3 also allowed the use of alphabetical node labels
rather than only numbers. Instructions written for version 2 of SPICE should still run in version 3, though.

Despite the additional power of version 3, I have chosen to use version 2g6 throughout this book because it
seems to be the easiest version to acquire and run on different computer systems

Fundamentals of SPICE programming

Programming a circuit simulation with SPICE is much like programming in any other computer language: you
must type the commands as text in a file, save that file to the computer's hard drive, and then process the
contents of that file with a program (compiler or interpreter) that understands such commands.

In an interpreted computer language, the computer holds a special program called an interpreter that
translates the program you wrote (the so-called source file) into the computer's own language, on the fly, as
it's being executed:

In a compiled computer language, the program you wrote is translated all at once into the computer's own
language by a special program called a compiler. After the program you've written has been "compiled," the
resulting executable file needs no further translation to be understood directly by the computer. It can now be
"run" on a computer whether or not compiler software has been installed on that computer:

SPICE is an interpreted language. In order for a computer to be able to understand the SPICE instructions you
type, it must have the SPICE program (interpreter) installed:

SPICE source files are commonly referred to as "netlists," although they are sometimes known as "decks" with
each line in the file being called a "card." Cute, don't you think? Netlists are created by a person like yourself
typing instructions line-by-line using a word processor or text editor. Text editors are much preferred over
word processors for any type of computer programming, as they produce pure ASCII text with no special
embedded codes for text highlighting (like italic or boldface fonts), which are uninterpretable by interpreter
and compiler software.

As in general programming, the source file you create for SPICE must follow certain conventions of
programming. It is a computer language in itself, albeit a simple one. Having programmed in BASIC and
C/C++, and having some experience reading PASCAL and FORTRAN programs, it is my opinion that the
language of SPICE is much simpler than any of these. It is about the same complexity as a markup language
such as HTML, perhaps less so.

There is a cycle of steps to be followed in using SPICE to analyze a circuit. The cycle starts when you first
invoke the text editing program and make your first draft of the netlist. The next step is to run SPICE on that
new netlist and see what the results are. If you are a novice user of SPICE, your first attempts at creating a
good netlist will be fraught with small errors of syntax. Don't worry -- as every computer programmer knows,
proficiency comes with lots of practice. If your trial run produces error messages or results that are obviously
incorrect, you need to re-invoke the text editing program and modify the netlist. After modifying the netlist,
you need to run SPICE again and check the results. The sequence, then, looks something like this:
 • Compose a new netlist with a text editing program. Save that netlist to a file with a name of your
choice.
• Run SPICE on that netlist and observe the results.
• If the results contain errors, start up the text editing program again and modify the netlist.
• Run SPICE again and observe the new results.
• If there are still errors in the output of SPICE, re-edit the netlist again with the text editing program.
Repeat this cycle of edit/run as many times as necessary until you are getting the desired results.
• Once you've "debugged" your netlist and are getting good results, run SPICE again, only this time
redirecting the output to a new file instead of just observing it on the computer screen.
• Start up a text editing program or a word processor program and open the SPICE output file you just
created. Modify that file to suit your formatting needs and either save those changes to disk and/or
print them out on paper.

To "run" a SPICE "program," you need to type in a command at a terminal prompt interface, such as that
found in MS-DOS, UNIX, or the MS-Windows DOS prompt option:

spice < example.cir

The word "spice" invokes the SPICE interpreting program (providing that the SPICE software has been installed
on the computer!), the "<" symbol redirects the contents of the source file to the SPICE interpreter, and
example.cir is the name of the source file for this circuit example. The file extension ".cir" is not
mandatory; I have seen ".inp" (for "input") and just plain ".txt" work well, too. It will even work when the
netlist file has no extension. SPICE doesn't care what you name it, so long as it has a name compatible with
the filesystem of your computer (for old MS-DOS machines, for example, the filename must be no more than 8
characters in length, with a 3 character extension, and no spaces or other non-alphanumerical characters).

When this command is typed in, SPICE will read the contents of the example.cir file, analyze the circuit
specified by that file, and send a text report to the computer terminal's standard output (usually the screen,
where you can see it scroll by). A typical SPICE output is several screens worth of information, so you might
want to look it over with a slight modification of the command:

spice < example.cir | more

This alternative "pipes" the text output of SPICE to the "more" utility, which allows only one page to be
displayed at a time. What this means (in English) is that the text output of SPICE is halted after one screen-
full, and waits until the user presses a keyboard key to display the next screen-full of text. If you're just testing
your example circuit file and want to check for any errors, this is a good way to do it.

spice < example.cir > example.txt

This second alternative (above) redirects the text output of SPICE to another file, called example.txt,
where it can be viewed or printed. This option corresponds to the last step in the development cycle listed
earlier. It is recommended by this author that you use this technique of "redirection" to a text file only after
you've proven your example circuit netlist to work well, so that you don't waste time invoking a text editor just
to see the output during the stages of "debugging."

Once you have a SPICE output stored in a .txt file, you can use a text editor or (better yet!) a word
processor to edit the output, deleting any unnecessary banners and messages, even specifying alternative
fonts to highlight the headings and/or data for a more polished appearance. Then, of course, you can print the
output to paper if you so desire. Being that the direct SPICE output is plain ASCII text, such a file will be
universally interpretable on any computer whether SPICE is installed on it or not. Also, the plain text format
ensures that the file will be very small compared to the graphic screen-shot files generated by "point-and-click"
simulators.
The netlist file format required by SPICE is quite simple. A netlist file is nothing more than a plain ASCII text
file containing multiple lines of text, each line describing either a circuit component or special SPICE command.
Circuit architecture is specified by assigning numbers to each component's connection points in each line,
connections between components designated by common numbers. Examine the following example circuit
diagram and its corresponding SPICE file. Please bear in mind that the circuit diagram exists only to make the
simulation easier for human beings to understand. SPICE only understands netlists:

Example netlist
v1 1 0 dc 15
r1 1 0 2.2k
r2 1 2 3.3k
r3 2 0 150
.end

Each line of the source file shown above is explained here:

• v1 represents the battery (voltage source 1), positive terminal numbered 1, negative terminal
numbered 0, with a DC voltage output of 15 volts.
• r1 represents resistor R1 in the diagram, connected between points 1 and 0, with a value of 2.2 kΩ.
• r2 represents resistor R2 in the diagram, connected between points 1 and 2, with a value of 3.3 kΩ.
• r3 represents resistor R3 in the diagram, connected between points 2 and 0, with a value of 150 kΩ.

Electrically common points (or "nodes") in a SPICE circuit description share common numbers, much in the
same way that wires connecting common points in a large circuit typically share common wire labels.

To simulate this circuit, the user would type those six lines of text on a text editor and save them as a file with
a unique name (such as example.cir). Once the netlist is composed and saved to a file, the user then
processes that file with one of the command-line statements shown earlier (spice < example.cir), and
will receive this text output on their computer's screen:

1*******10/10/99 ******** spice 2g.6 3/15/83 ********07:32:42*****

0example netlist

0**** input listing temperature = 27.000 deg c

v1 1 0 dc 15
r1 1 0 2.2k
r2 1 2 3.3k
r3 2 0 150
.end

*****10/10/99 ********* spice 2g.6 3/15/83 ******07:32:42******

0example netlist
0**** small signal bias solution temperature = 27.000 deg c

node voltage node voltage

( 1) 15.0000 ( 2) 0.6522

voltage source currents

name current

v1 -1.117E-02

total power dissipation 1.67E-01 watts

job concluded
0 total job time 0.02
1*******10/10/99 ******** spice 2g.6 3/15/83 ******07:32:42*****

0**** input listing temperature = 27.000 deg c

SPICE begins by printing the time, date, and version used at the top of the output. It then lists the input
parameters (the lines of the source file), followed by a display of DC voltage readings from each node
(reference number) to ground (always reference number 0). This is followed by a list of current readings
through each voltage source (in this case there's only one, v1). Finally, the total power dissipation and
computation time in seconds is printed.

All output values provided by SPICE are displayed in scientific notation.

The SPICE output listing shown above is a little verbose for most peoples' taste. For a final presentation, it
might be nice to trim all the unnecessary text and leave only what matters. Here is a sample of that same
output, redirected to a text file (spice < example.cir > example.txt), then trimmed down
judiciously with a text editor for final presentation and printed:

example netlist
v1 1 0 dc 15
r1 1 0 2.2k
r2 1 2 3.3k
r3 2 0 150
.end

node voltage node voltage

( 1) 15.0000 ( 2) 0.6522

voltage source currents

name current
v1 -1.117E-02

total power dissipation 1.67E-01 watts

One of the very nice things about SPICE is that both input and output formats are plain-text, which is the most
universal and easy-to-edit electronic format around. Practically any computer will be able to edit and display
this format, even if the SPICE program itself is not resident on that computer. If the user desires, he or she is
free to use the advanced capabilities of word processing programs to make the output look fancier. Comments
can even be inserted between lines of the output for further clarity to the reader.

The command-line interface

If you've used DOS or UNIX operating systems before in a command-line shell environment, you may wonder
why we have to use the "<" symbol between the word "spice" and the name of the netlist file to be interpreted.
Why not just enter the file name as the first argument to the command "spice" as we do when we invoke the
text editor? The answer is that SPICE has the option of an interactive mode, whereby each line of the netlist
can be interpreted as it is entered through the computer's Standard Input (stdin). If you simple type "spice" at
the prompt and press [Enter], SPICE will begin to interpret anything you type in to it (live).

For most applications, it's nice to save your netlist work in a separate file and then let SPICE interpret that file
when you're ready. This is the way I encourage SPICE to be used, and so this is the way it's presented in this
lesson. In order to use SPICE this way in a command-line environment, we need to use the "<" redirection
symbol to direct the contents of your netlist file to Standard Input (stdin), which SPICE can then process.

Circuit components

Remember that this tutorial is not exhaustive by any means, and that all descriptions for elements in the
SPICE language are documented here in condensed form. SPICE is a very capable piece of software with lots of
options, and I'm only going to document a few of them.

All components in a SPICE source file are primarily identified by the first letter in each respective line.
Characters following the identifying letter are used to distinguish one component of a certain type from another
of the same type (r1, r2, r3, rload, rpullup, etc.), and need not follow any particular naming convention, so
long as no more than eight characters are used in both the component identifying letter and the distinguishing
name.

For example, suppose you were simulating a digital circuit with "pullup" and "pulldown" resistors. The name
rpullup would be valid because it is seven characters long. The name rpulldown, however, is nine
characters long. This may cause problems when SPICE interprets the netlist.

You can actually get away with component names in excess of eight total characters if there are no other
similarly-named components in the source file. SPICE only pays attention to the first eight characters of the
first field in each line, so rpulldown is actually interpreted as rpulldow with the "n" at the end being
ignored. Therefore, any other resistor having the first eight characters in its first field will be seen by SPICE as
the same resistor, defined twice, which will cause an error (i.e. rpulldown1 and rpulldown2 would be
interpreted as the same name, rpulldow).

It should also be noted that SPICE ignores character case, so r1 and R1 are interpreted by SPICE as one and
the same.

SPICE allows the use of metric prefixes in specifying component values, which is a very handy feature.
However, the prefix convention used by SPICE differs somewhat from standard metric symbols, primarily due
to the fact that netlists are restricted to standard ASCII characters (ruling out Greek letters such as µ for the
prefix "micro") and that SPICE is case-insensitive, so "m" (which is the standard symbol for "milli") and "M"
(which is the standard symbol for "Mega") are interpreted identically. Here are a few examples of prefixes used
in SPICE netlists:

r1 1 0 2t (Resistor R1, 2t = 2 Tera-ohms = 2 TΩ)

r2 1 0 4g (Resistor R2, 4g = 4 Giga-ohms = 4 GΩ)

r3 1 0 47meg (Resistor R3, 47meg = 47 Mega-ohms = 47 MΩ)

r4 1 0 3.3k (Resistor R4, 3.3k = 3.3 kilo-ohms = 3.3 kΩ)

r5 1 0 55m (Resistor R5, 55m = 55 milli-ohms = 55 mΩ)

r6 1 0 10u (Resistor R6, 10u = 10 micro-ohms 10 µΩ)

r7 1 0 30n (Resistor R7, 30n = 30 nano-ohms = 30 nΩ)

r8 1 0 5p (Resistor R8, 5p = 5 pico-ohms = 5 pΩ)

r9 1 0 250f (Resistor R9, 250f = 250 femto-ohms = 250 fΩ)

Scientific notation is also allowed in specifying component values. For example:

r10 1 0 4.7e3 (Resistor R10, 4.7e3 = 4.7 x 103 ohms = 4.7 kilo-ohms = 4.7 kΩ)

r11 1 0 1e-12 (Resistor R11, 1e-12 = 1 x 10-12 ohms = 1 pico-ohm = 1 pΩ)

The unit (ohms, volts, farads, henrys, etc.) is automatically determined by the type of component being
specified. SPICE "knows" that all of the above examples are "ohms" because they are all resistors (r1, r2, r3, .
. . ). If they were capacitors, the values would be interpreted as "farads," if inductors, then "henrys," etc.

Passive components

CAPACITORS:

General form: c[name] [node1] [node2] [value] ic=[initial voltage]

Example 1: c1 12 33 10u
Example 2: c1 12 33 10u ic=3.5

Comments: The "initial condition" (ic=) variable is the capacitor's voltage in units of volts at the start of DC
analysis. It is an optional value, with the starting voltage assumed to be zero if unspecified. Starting current
values for capacitors are interpreted by SPICE only if the .tran analysis option is invoked (with the "uic"
option).

INDUCTORS:

General form: l[name] [node1] [node2] [value] ic=[initial current]

Example 1: l1 12 33 133m
Example 2: l1 12 33 133m ic=12.7m

Comments: The "initial condition" (ic=) variable is the inductor's current in units of amps at the start of DC
analysis. It is an optional value, with the starting current assumed to be zero if unspecified. Starting current
values for inductors are interpreted by SPICE only if the .tran analysis option is invoked.

INDUCTOR COUPLING (transformers):

General form: k[name] l[name] l[name] [coupling factor]
Example 1: k1 l1 l2 0.999

Comments: SPICE will only allow coupling factor values between 0 and 1 (non-inclusive), with 0 representing
no coupling and 1 representing perfect coupling. The order of specifying coupled inductors (l1, l2 or l2, l1) is
irrelevant.

RESISTORS:

General form: r[name] [node1] [node2] [value]

Example: rload 23 15 3.3k

Comments: In case you were wondering, there is no declaration of resistor power dissipation rating in SPICE.
All components are assumed to be indestructible. If only real life were this forgiving!

Active components

All semiconductor components must have their electrical characteristics described in a line starting with the
word ".model", which tells SPICE exactly how the device will behave. Whatever parameters are not explicitly
defined in the .model card will default to values pre-programmed in SPICE. However, the .model card must
be included, and at least specify the model name and device type (d, npn, pnp, njf, pjf, nmos, or pmos).

DIODES:

General form: d[name] [anode] [cathode] [model]

Example: d1 1 2 mod1

DIODE MODELS:

General form: .model [modelname] d [parmtr1=x] [parmtr2=x] . . .

Example: .model mod1 d
Example: .model mod2 d vj=0.65 rs=1.3

Parameter definitions:

is = saturation current in amps

rs = junction resistance in ohms

n = emission coefficient (unitless)

tt = transit time in seconds

cjo = zero-bias junction capacitance in farads

vj = junction potential in volts

m = grading coefficient (unitless)

eg = activation energy in electron-volts

xti = saturation-current temperature exponent (unitless)

kf = flicker noise coefficient (unitless)

af = flicker noise exponent (unitless)

fc = forward-bias depletion capacitance coefficient (unitless)

bv = reverse breakdown voltage in volts

ibv = current at breakdown voltage in amps

Comments: The model name must begin with a letter, not a number. If you plan to specify a model for a
1N4003 rectifying diode, for instance, you cannot use "1n4003" for the model name. An alternative might be
"m1n4003" instead.

TRANSISTORS (bipolar junction -- BJT):

General form: q[name] [collector] [base] [emitter] [model]

Example: q1 2 3 0 mod1

BJT TRANSISTOR MODELS:

General form: .model [modelname] [npn or pnp] [parmtr1=x] . . .

Example: .model mod1 pnp
Example: .model mod2 npn bf=75 is=1e-14

The model examples shown above are very nonspecific. To accurately model real-life transistors, more
parameters are necessary. Take these two examples, for the popular 2N2222 and 2N2907 transistors (the "+")
characters represent line-continuation marks in SPICE, when you wish to break a single line (card) into two or
more separate lines on your text editor:

Example: .model m2n2222 npn is=19f bf=150 vaf=100 ikf=.18

+ ise=50p ne=2.5 br=7.5 var=6.4 ikr=12m
+ isc=8.7p nc=1.2 rb=50 re=0.4 rc=0.4 cje=26p
+ tf=0.5n cjc=11p tr=7n xtb=1.5 kf=0.032f af=1

Example: .model m2n2907 pnp is=1.1p bf=200 nf=1.2 vaf=50

+ ikf=0.1 ise=13p ne=1.9 br=6 rc=0.6 cje=23p
+ vje=0.85 mje=1.25 tf=0.5n cjc=19p vjc=0.5
+ mjc=0.2 tr=34n xtb=1.5

Parameter definitions:

is = transport saturation current in amps

bf = ideal maximum forward Beta (unitless)

nf = forward current emission coefficient (unitless)

vaf = forward Early voltage in volts

ikf = corner for forward Beta high-current rolloff in amps

ise = B-E leakage saturation current in amps

ne = B-E leakage emission coefficient (unitless)

br = ideal maximum reverse Beta (unitless)

nr = reverse current emission coefficient (unitless)

bar = reverse Early voltage in volts

ikrikr = corner for reverse Beta high-current rolloff in amps

iscisc = B-C leakage saturation current in amps

nc = B-C leakage emission coefficient (unitless)

rb = zero bias base resistance in ohms

irb = current for base resistance halfway value in amps

rbm = minimum base resistance at high currents in ohms

re = emitter resistance in ohms

rc = collector resistance in ohms

cje = B-E zero-bias depletion capacitance in farads

vje = B-E built-in potential in volts

mje = B-E junction exponential factor (unitless)

tf = ideal forward transit time (seconds)

xtf = coefficient for bias dependence of transit time (unitless)

vtf = B-C voltage dependence on transit time, in volts

itf = high-current parameter effect on transit time, in amps

ptf = excess phase at f=1/(transit time)(2)(pi) Hz, in degrees

cjc = B-C zero-bias depletion capacitance in farads

vjc = B-C built-in potential in volts

mjc = B-C junction exponential factor (unitless)

xjcj = B-C depletion capacitance fraction connected in base node (unitless)

tr = ideal reverse transit time in seconds

cjs = zero-bias collector-substrate capacitance in farads

vjs = substrate junction built-in potential in volts

mjs = substrate junction exponential factor (unitless)

xtb = forward/reverse Beta temperature exponent

eg = energy gap for temperature effect on transport saturation current in electron-volts

xti = temperature exponent for effect on transport saturation current (unitless)

kf = flicker noise coefficient (unitless)

af = flicker noise exponent (unitless)

fc = forward-bias depletion capacitance formula coefficient (unitless)

Comments: Just as with diodes, the model name given for a particular transistor type must begin with a
letter, not a number. That's why the examples given above for the 2N2222 and 2N2907 types of BJTs are
named "m2n2222" and "m2n2907" respectively.

As you can see, SPICE allows for very detailed specification of transistor properties. Many of the properties
listed above are well beyond the scope and interest of the beginning electronics student, and aren't even useful
apart from knowing the equations SPICE uses to model BJT transistors. For those interested in learning more
about transistor modeling in SPICE, consult other books, such as Andrei Vladimirescu's The Spice Book (ISBN
0-471-60926-9).

TRANSISTORS (junction field-effect -- JFET):

General form: j[name] [drain] [gate] [source] [model]

Example: j1 2 3 0 mod1

JFET TRANSISTOR MODELS:

General form: .model [modelname] [njf or pjf] [parmtr1=x] . . .

Example: .model mod1 pjf
Example: .model mod2 njf lambda=1e-5 pb=0.75

Parameter definitions:

vto = threshold voltage in volts

beta = transconductance parameter in amps/volts2

lambda = channel length modulation parameter in units of 1/volts

rd = drain resistance in ohms

rs = source resistance in ohms

cgs = zero-bias G-S junction capacitance in farads

cgd = zero-bias G-D junction capacitance in farads

pb = gate junction potential in volts

is = gate junction saturation current in amps

kf = flicker noise coefficient (unitless)

af = flicker noise exponent (unitless)

fc = forward-bias depletion capacitance coefficient (unitless)

TRANSISTORS (insulated-gate field-effect -- IGFET or MOSFET):

General form: m[name] [drain] [gate] [source] [substrate] [model]

Example: m1 2 3 0 0 mod1

MOSFET TRANSISTOR MODELS:

General form: .model [modelname] [nmos or pmos] [parmtr1=x] . . .

Example: .model mod1 pmos
Example: .model mod2 nmos level=2 phi=0.65 rd=1.5
Example: .model mod3 nmos vto=-1 (depletion)
Example: .model mod4 nmos vto=1 (enhancement)
Example: .model mod5 pmos vto=1 (depletion)
Example: .model mod6 pmos vto=-1 (enhancement)

Comments: In order to distinguish between enhancement mode and depletion-mode (also known as
depletion-enhancement mode) transistors, the model parameter "vto" (zero-bias threshold voltage) must be
specified. Its default value is zero, but a positive value (+1 volts, for example) on a P-channel transistor or a
negative value (-1 volts) on an N-channel transistor will specify that transistor to be a depletion (otherwise
known as depletion-enhancement) mode device. Conversely, a negative value on a P-channel transistor or a
positive value on an N-channel transistor will specify that transistor to be an enhancement mode device.

Remember that enhancement mode transistors are normally-off devices, and must be turned on by the
application of gate voltage. Depletion-mode transistors are normally "on," but can be "pinched off" as well as
enhanced to greater levels of drain current by applied gate voltage, hence the alternate designation of
"depletion-enhancement" MOSFETs. The "vto" parameter specifies the threshold gate voltage for MOSFET
conduction.

Sources

AC SINEWAVE VOLTAGE SOURCES (when using .ac card to specify frequency):

General form: v[name] [+node] [-node] ac [voltage] [phase] sin

Example 1: v1 1 0 ac 12 sin
Example 2: v1 1 0 ac 12 240 sin (12 V 240o)

Comments: This method of specifying AC voltage sources works well if you're using multiple sources at
different phase angles from each other, but all at the same frequency. If you need to specify sources at
different frequencies in the same circuit, you must use the next method!

AC SINEWAVE VOLTAGE SOURCES (when NOT using .ac card to specify frequency):

General form: v[name] [+node] [-node] sin([offset] [voltage]

+ [freq] [delay] [damping factor])
Example 1: v1 1 0 sin(0 12 60 0 0)

Parameter definitions:

offset = DC bias voltage, offsetting the AC waveform by a specified voltage.

voltage = peak, or crest, AC voltage value for the waveform.

freq = frequency in Hertz.

delay = time delay, or phase offset for the waveform, in seconds.

damping factor = a figure used to create waveforms of decaying amplitude.

Comments: This method of specifying AC voltage sources works well if you're using multiple sources at
different frequencies from each other. Representing phase shift is tricky, though, necessitating the use of the
delay factor.

DC VOLTAGE SOURCES (when using .dc card to specify voltage):

General form: v[name] [+node] [-node] dc

Example 1: v1 1 0 dc

Comments: If you wish to have SPICE output voltages not in reference to node 0, you must use the .dc
analysis option, and to use this option you must specify at least one of your DC sources in this manner.

DC VOLTAGE SOURCES (when NOT using .dc card to specify voltage):

General form: v[name] [+node] [-node] dc [voltage]

Example 1: v1 1 0 dc 12

Comments: Nothing noteworthy here!

PULSE VOLTAGE SOURCES

General form: v[name] [+node] [-node] pulse ([i] [p] [td] [tr]
+ [tf] [pw] [pd])

Parameter definitions:

i = initial value

p = pulse value

td = delay time (all time parameters in units of seconds)

tr = rise time

tf = fall time

pw = pulse width

pd = period

Example 1: v1 1 0 pulse (-3 3 0 0 0 10m 20m)

Comments: Example 1 is a perfect square wave oscillating between -3 and +3 volts, with zero rise and fall
times, a 20 millisecond period, and a 50 percent duty cycle (+3 volts for 10 ms, then -3 volts for 10 ms).
AC SINEWAVE CURRENT SOURCES (when using .ac card to specify frequency):

General form: i[name] [+node] [-node] ac [current] [phase] sin

Example 1: i1 1 0 ac 3 sin (3 amps)
Example 2: i1 1 0 ac 1m 240 sin (1 mA 240o)

Comments: The same comments apply here (and in the next example) as for AC voltage sources.

AC SINEWAVE CURRENT SOURCES (when NOT using .ac card to specify frequency):

General form: i[name] [+node] [-node] sin([offset]

+ [current] [freq] 0 0)
Example 1: i1 1 0 sin(0 1.5 60 0 0)

DC CURRENT SOURCES (when using .dc card to specify current):

General form: i[name] [+node] [-node] dc

Example 1: i1 1 0 dc

DC CURRENT SOURCES (when NOT using .dc card to specify current):

General form: i[name] [+node] [-node] dc [current]

Example 1: i1 1 0 dc 12

Comments: Even though the books all say that the first node given for the DC current source is the positive
node, that's not what I've found to be in practice. In actuality, a DC current source in SPICE pushes current in
the same direction as a voltage source (battery) would with its negative node specified first.

PULSE CURRENT SOURCES

General form: i[name] [+node] [-node] pulse ([i] [p] [td] [tr]
+ [tf] [pw] [pd])

Parameter definitions:

i = initial value

p = pulse value

td = delay time

tr = rise time

tf = fall time

pw = pulse width

pd = period

Example 1: i1 1 0 pulse (-3m 3m 0 0 0 17m 34m)

Comments: Example 1 is a perfect square wave oscillating between -3 mA and +3 mA, with zero rise and fall
times, a 34 millisecond period, and a 50 percent duty cycle (+3 mA for 17 ms, then -3 mA for 17 ms).

VOLTAGE SOURCES (dependent):

General form: e[name] [out+node] [out-node] [in+node] [in-node]

+ [gain]
Example 1: e1 2 0 1 2 999k

Comments: Dependent voltage sources are great to use for simulating operational amplifiers. Example 1
shows how such a source would be configured for use as a voltage follower, inverting input connected to
output (node 2) for negative feedback, and the noninverting input coming in on node 1. The gain has been set
to an arbitrarily high value of 999,000. One word of caution, though: SPICE does not recognize the input of a
dependent source as being a load, so a voltage source tied only to the input of an independent voltage source
will be interpreted as "open." See op-amp circuit examples for more details on this.

CURRENT SOURCES (dependent):

Analysis options

AC ANALYSIS:

General form: .ac [curve] [points] [start] [final]

Example 1: .ac lin 1 1000 1000

Comments: The [curve] field can be "lin" (linear), "dec" (decade), or "oct" (octave), specifying the
(non)linearity of the frequency sweep. specifies how many points within the frequency sweep to perform
analyses at (for decade sweep, the number of points per decade; for octave, the number of points per octave).
The [start] and [final] fields specify the starting and ending frequencies of the sweep, respectively. One final
note: the "start" value cannot be zero!

DC ANALYSIS:

General form: .dc [source] [start] [final] [increment]

Example 1: .dc vin 1.5 15 0.5

Comments: The .dc card is necessary if you want to print or plot any voltage between two nonzero nodes.
Otherwise, the default "small-signal" analysis only prints out the voltage between each nonzero node and node
zero.

TRANSIENT ANALYSIS:

General form: .tran [increment] [stop_time] [start_time]

+ [comp_interval]
Example 1: .tran 1m 50m uic
Example 2: .tran .5m 32m 0 .01m

Comments: Example 1 has an increment time of 1 millisecond and a stop time of 50 milliseconds (when only
two parameters are specified, they are increment time and stop time, respectively). Example 2 has an
increment time of 0.5 milliseconds, a stop time of 32 milliseconds, a start time of 0 milliseconds (no delay on
start), and a computation interval of 0.01 milliseconds.
Default value for start time is zero. Transient analysis always beings at time zero, but storage of data only
takes place between start time and stop time. Data output interval is increment time, or (stop time - start
time)/50, which ever is smallest. However, the computing interval variable can be used to force a
computational interval smaller than either. For large total interval counts, the itl5 variable in the .options
card may be set to a higher number. The "uic" option tells SPICE to "use initial conditions."

PLOT OUTPUT:

General form: .plot [type] [output1] [output2] . . . [output n]

Example 1: .plot dc v(1,2) i(v2)
Example 2: .plot ac v(3,4) vp(3,4) i(v1) ip(v1)
Example 3: .plot tran v(4,5) i(v2)

Comments: SPICE can't handle more than eight data point requests on a single .plot or .print card. If
requesting more than eight data points, use multiple cards!

Also, here's a major caveat when using SPICE version 3: if you're performing AC analysis and you ask SPICE to
plot an AC voltage as in example #2, the v(3,4) command will only output the real component of a
rectangular-form complex number! SPICE version 2 outputs the polar magnitude of a complex number: a much
more meaningful quantity if only a single quantity is asked for. To coerce SPICE3 to give you polar magnitude,
you will have to re-write the .print or .plot argument as such: vm(3,4).

PRINT OUTPUT:

General form: .print [type] [output1] [output2] . . . [output n]

Example 1: .print dc v(1,2) i(v2)
Example 2: .print ac v(2,4) i(vinput) vp(2,3)
Example 3: .print tran v(4,5) i(v2)

Comments: SPICE can't handle more than eight data point requests on a single .plot or .print card. If
requesting more than eight data points, use multiple cards!

FOURIER ANALYSIS:

General form: .four [freq] [output1] [output2] . . . [output n]

Example 1: .four 60 v(1,2)

Comments: The .four card relies on the .tran card being present somewhere in the deck, with the proper
time periods for analysis of adequate cycles. Also, SPICE may "crash" if a .plot analysis isn't done along with
the .four analysis, even if all .tran parameters are technically correct. Finally, the .four analysis option
only works when the frequency of the AC source is specified in that source's card line, and not in an .ac
analysis option line.

It helps to include a computation interval variable in the .tran card for better analysis precision. A Fourier
analysis of the voltage or current specified is performed up to the 9th harmonic, with the [freq] specification
being the fundamental, or starting frequency of the analysis spectrum.

MISCELLANEOUS:

General form: .options [option1] [option2]

Example 1: .options limpts=500
Example 2: .options itl5=0
Example 3: .options method=gear
Example 4: .options list
Example 5: .options nopage
Example 6: .options numdgt=6

Comments: There are lots of options that can be specified using this card. Perhaps the one most needed by
beginning users of SPICE is the "limpts" setting. When running a simulation that requires more than 201
points to be printed or plotted, this calculation point limit must be increased or else SPICE will terminate
analysis. The example given above (limpts=500) tells SPICE to allocate enough memory to handle at least
500 calculation points in whatever type of analysis is specified (DC, AC, or transient).

In example 2, we see an iteration variable (itl5) being set to a value of 0. There are actually six different
iteration variables available for user manipulation. They control the iteration cycle limits for solution of
nonlinear equations. The variable itl5 sets the maximum number of iterations for a transient analysis.
Similar to the limpts variable, itl5 usually needs to be set when a small computation interval has been
specified on a .tran card. Setting itl5 to a value of 0 turns off the limit entirely, allowing the computer
infinite iteration cycles (infinite time) to compute the analysis. Warning: this may result in long simulation
times!

Example 3 with "method=gear" sets the numerical integration method used by SPICE. The default is
"trapezoid" rather than "gear," trapezoid being a simple geometric approximation of area under a curve found
by slicing up the curve into trapezoids to approximate the shape. The "gear" method is based on second-order
or better polynomial equations and is named after C.W. Gear (Numerical Integration of Stiff Ordinary
Equations, Report 221, Department of Computer Science, University of Illinois, Urbana). The Gear method of
integration is more demanding of the computer (computationally "expensive") and will sometimes give slightly
different results from the trapezoid method.

The "list" option shown in example 4 gives a verbose summary of all circuit components and their respective
values in the final output.

By default, SPICE will insert ASCII page-break control codes in the output to separate different sections of the
analysis. Specifying the "nopage" option (example 5) will prevent such pagination.

The "numdgt" option shown in example 6 specifies the number of significant digits output when using one of
the ".print" data output options. SPICE defaults at a precision of 4 significant digits.

WIDTH CONTROL:

General form: .width in=[columns] out=[columns]

Example 1: .width out=80

Comments: The .width card can be used to control the width of text output lines upon analysis. This is
especially handy when plotting graphs with the .plot card. The default value is 120, which can cause
problems on 80-character terminal displays unless set to 80 with this command.

Quirks

"Garbage in, garbage out."

Anonymous

SPICE is a very reliable piece of software, but it does have its little quirks that take some getting used to. By
"quirk" I mean a demand placed upon the user to write the source file in a particular way in order for it to work
without giving error messages. I do not mean any kind of fault with SPICE which would produce erroneous or
misleading results: that would be more properly referred to as a "bug." Speaking of bugs, SPICE has a few of
them as well.
Some (or all) of these quirks may be unique to SPICE version 2g6, which is the only version I've used
extensively. They may have been fixed in later versions.

A good beginning

SPICE demands that the source file begin with something other than the first "card" in the circuit description
"deck." This first character in the source file can be a linefeed, title line, or a comment: there just has to be
something there before the first component-specifying line of the file. If not, SPICE will refuse to do an analysis
at all, claiming that there is a serious error (such as improper node connections) in the "deck."

A good ending

SPICE demands that the .end line at the end of the source file not be terminated with a linefeed or carriage
return character. In other words, when you finish typing ".end" you should not hit the [Enter] key on your
keyboard. The cursor on your text editor should stop immediately to the right of the "d" after the ".end" and
go no further. Failure to heed this quirk will result in a "missing .end card" error message at the end of the
analysis output. The actual circuit analysis is not affected by this error, so I normally ignore the message.
However, if you're looking to receive a "perfect" output, you must pay heed to this idiosyncrasy.

Must have a node 0

You are given much freedom in numbering circuit nodes, but you must have a node 0 somewhere in your
netlist in order for SPICE to work. Node 0 is the default node for circuit ground, and it is the point of reference
for all voltages specified at single node locations.

When simple DC analysis is performed by SPICE, the output will contain a listing of voltages at all non-zero
nodes in the circuit. The point of reference (ground) for all these voltage readings is node 0. For example:

node voltage node voltage

( 1) 15.0000 ( 2) 0.6522

In this analysis, there is a DC voltage of 15 volts between node 1 and ground (node 0), and a DC voltage of
0.6522 volts between node 2 and ground (node 0). In both these cases, the voltage polarity is negative at
node 0 with reference to the other node (in other words, both nodes 1 and 2 are positive with respect to node
0).

Avoid open circuits

SPICE cannot handle open circuits of any kind. If your netlist specifies a circuit with an open voltage source, for
example, SPICE will refuse to perform an analysis. A prime example of this type of error is found when
"connecting" a voltage source to the input of a voltage-dependent source (used to simulate an operational
amplifier). SPICE needs to see a complete path for current, so I usually tie a high-value resistor (call it
rbogus!) across the voltage source to act as a minimal load.

Avoid certain component loops

SPICE cannot handle certain uninterrupted loops of components in a circuit, namely voltage sources and
inductors. The following loops will cause SPICE to abort analysis:
netlist
l1 2 4 10m
l2 2 4 50m
l3 2 4 25m

netlist
v1 1 0 dc 12
l1 1 0 150m
netlist
c1 5 6 33u
c2 6 7 47u

The reason SPICE can't handle these conditions stems from the way it performs DC analysis: by treating all
inductors as shorts and all capacitors as opens. Since short-circuits (0 Ω) and open circuits (infinite resistance)
either contain or generate mathematical infinitudes, a computer simply cannot deal with them, and so SPICE
will discontinue analysis if any of these conditions occur.

In order to make these component configurations acceptable to SPICE, you must insert resistors of appropriate
values into the appropriate places, eliminating the respective short-circuits and open-circuits. If a series
resistor is required, choose a very low resistance value. Conversely, if a parallel resistor is required, choose a
very high resistance value. For example:

To fix the parallel inductor problem, insert a very low-value resistor in series with each offending inductor.
original netlist
l1 2 4 10m
l2 2 4 50m
l3 2 4 25m

fixed netlist
rbogus1 2 3 1e-12
rbogus2 2 5 1e-12
l1 3 4 10m
l2 2 4 50m
l3 5 4 25m

The extremely low-resistance resistors Rbogus1 and Rbogus2 (each one with a mere 1 pico-ohm of resistance)
"break up" the direct parallel connections that existed between L1, L2, and L3. It is important to choose very low
resistances here so that circuit operation is not substantially impacted by the "fix."

To fix the voltage source / inductor loop, insert a very low-value resistor in series with the two components.
original netlist
v1 1 0 dc 12
l1 1 0 150m

fixed netlist
v1 1 0 dc 12
l1 2 0 150m
rbogus 1 2 1e-12

As in the previous example with parallel inductors, it is important to make the correction resistor (Rbogus) very
low in resistance, so as to not substantially impact circuit operation.

To fix the series capacitor circuit, one of the capacitors must have a resistor shunting across it. SPICE requires
a DC current path to each capacitor for analysis.
original netlist
c1 5 6 33u
c2 6 7 47u

fixed netlist
c1 5 6 33u
c2 6 7 47u
rbogus 6 7 9e12

The Rbogus value of 9 Tera-ohms provides a DC current path to C1 (and around C2) without substantially
impacting the circuit's operation.

Current measurement

Although printing or plotting of voltage is quite easy in SPICE, the output of current values is a bit more
difficult. Voltage measurements are specified by declaring the appropriate circuit nodes. For example, if we
desire to know the voltage across a capacitor whose leads connect between nodes 4 and 7, we might make out
.print statement look like this:

c1 4 7 22u
.print ac v(4,7)

However, if we wanted to have SPICE measure the current through that capacitor, it wouldn't be quite so easy.
Currents in SPICE must be specified in relation to a voltage source, not any arbitrary component. For example:
c1 4 7 22u
vinput 6 4 ac 1 sin
.print ac i(vinput)

This .print card instructs SPICE to print the current through voltage source Vinput, which happens to be the
same as the current through our capacitor between nodes 4 and 7. But what if there is no such voltage source
in our circuit to reference for current measurement? One solution is to insert a shunt resistor into the circuit
and measure voltage across it. In this case, I have chosen a shunt resistance value of 1 Ω to produce 1 volt
per amp of current through C1:

c1 4 7 22u
rshunt 6 4 1
.print ac v(6,4)

However, the insertion of an extra resistance into our circuit large enough to drop a meaningful voltage for the
intended range of current might adversely affect things. A better solution for SPICE is this, although one would
never seek such a current measurement solution in real life:

c1 4 7 22u
vbogus 6 4 dc 0
.print ac i(vbogus)

Inserting a "bogus" DC voltage source of zero volts doesn't affect circuit operation at all, yet it provides a
convenient place for SPICE to take a current measurement. Interestingly enough, it doesn't matter that Vbogus is
a DC source when we're looking to measure AC current! The fact that SPICE will output an AC current reading
is determined by the "ac" specification in the .print card and nothing more.

It should also be noted that the way SPICE assigns a polarity to current measurements is a bit odd. Take the
following circuit as an example:
example
v1 1 0
r1 1 2 5k
r2 2 0 5k
.dc v1 10 10 1
.print dc i(v1)
.end

With 10 volts total voltage and 10 kΩ total resistance, you might expect SPICE to tell you there's going to be 1
mA (1e-03) of current through voltage source V1, but in actuality SPICE will output a figure of negative 1 mA (-
1e-03)! SPICE regards current out of the negative end of a DC voltage source (the normal direction) to be a
negative value of current rather than a positive value of current. There are times I'll throw in a "bogus" voltage
source in a DC circuit like this simply to get SPICE to output a positive current value:

example
v1 1 0
r1 1 2 5k
r2 2 3 5k
vbogus 3 0 dc 0
.dc v1 10 10 1
.print dc i(vbogus)
.end

Notice how Vbogus is positioned so that the circuit current will enter its positive side (node 3) and exit its
negative side (node 0). This orientation will ensure a positive output figure for circuit current.

Fourier analysis

When performing a Fourier (frequency-domain) analysis on a waveform, I have found it necessary to either
print or plot the waveform using the .print or .plot cards, respectively. If you don't print or plot it, SPICE
will pause for a moment during analysis and then abort the job after outputting the "initial transient solution."
Also, when analyzing a square wave produced by the "pulse" source function, you must give the waveform
some finite rise and fall time, or else the Fourier analysis results will be incorrect. For some reason, a perfect
square wave with zero rise/fall time produces significant levels of even harmonics according to SPICE's Fourier
analysis option, which is not true for real square waves.

Example circuits and netlists

The following circuits are pre-tested netlists for SPICE 2g6, complete with short descriptions when
necessary. Feel free to "copy" and "paste" any of the netlists to your own SPICE source file for
analysis and/or modification. My goal here is twofold: to give practical examples of SPICE netlist
design to further understanding of SPICE netlist syntax, and to show how simple and compact
SPICE netlists can be in analyzing simple circuits.

All output listings for these examples have been "trimmed" of extraneous information, giving you
the most succinct presentation of the SPICE output as possible. I do this primarily to save space on
this document. Typical SPICE outputs contain lots of headers and summary information not
necessarily germane to the task at hand. So don't be surprised when you run a simulation on your
own and find that the output doesn't exactly look like what I have shown here!

Multiple-source DC resistor network, part 1

Without a .dc card and a .print or .plot card, the output for this netlist will only display
voltages for nodes 1, 2, and 3 (with reference to node 0, of course).

Netlist:

Multiple dc sources
v1 1 0 dc 24
v2 3 0 dc 15
r1 1 2 10k
r2 2 3 8.1k
r3 2 0 4.7k
.end

Output:

node voltage node voltage node voltage

( 1) 24.0000 ( 2) 9.7470 ( 3) 15.0000

voltage source currents

name current
v1 -1.425E-03
v2 -6.485E-04

total power dissipation 4.39E-02 watts

Multiple-source DC resistor network, part 2

By adding a .dc analysis card and specifying source V1 from 24 volts to 24 volts in 1 step (in
other words, 24 volts steady), we can use the .print card analysis to print out voltages between
any two points we desire. Oddly enough, when the .dc analysis option is invoked, the default
voltage printouts for each node (to ground) disappears, so we end up having to explicitly specify
them in the .print card to see them at all.

Netlist:

Multiple dc sources
v1 1 0
v2 3 0 15
r1 1 2 10k
r2 2 3 8.1k
r3 2 0 4.7k
.dc v1 24 24 1
.print dc v(1) v(2) v(3) v(1,2) v(2,3)
.end

Output:

v1 v(1) v(2) v(3) v(1,2)

v(2,3)
2.400E+01 2.400E+01 9.747E+00 1.500E+01 1.425E+01 -
5.253E+00
RC time-constant circuit
For DC analysis, the initial conditions of any reactive component (C or L) must be specified
(voltage for capacitors, current for inductors). This is provided by the last data field of each
capacitor card (ic=0). To perform a DC analysis, the .tran ("transient") analysis option must be
specified, with the first data field specifying time increment in seconds, the second specifying total
analysis timespan in seconds, and the "uic" telling it to "use initial conditions" when analyzing.

Netlist:

RC time delay circuit

v1 1 0 dc 10
c1 1 2 47u ic=0
c2 1 2 22u ic=0
r1 2 0 3.3k
.tran .05 1 uic
.print tran v(1,2)
.end

Output:

time v(1,2)
0.000E+00 7.701E-06
5.000E-02 1.967E+00
1.000E-01 3.551E+00
1.500E-01 4.824E+00
2.000E-01 5.844E+00
2.500E-01 6.664E+00
3.000E-01 7.322E+00
3.500E-01 7.851E+00
4.000E-01 8.274E+00
4.500E-01 8.615E+00
5.000E-01 8.888E+00
5.500E-01 9.107E+00
6.000E-01 9.283E+00
6.500E-01 9.425E+00
7.000E-01 9.538E+00
7.500E-01 9.629E+00
8.000E-01 9.702E+00
8.500E-01 9.761E+00
9.000E-01 9.808E+00
9.500E-01 9.846E+00
1.000E+00 9.877E+00
Plotting and analyzing a simple AC sinewave voltage
This exercise does show the proper setup for plotting instantaneous values of a sine-wave voltage
source with the .plot function (as a transient analysis). Not surprisingly, the Fourier analysis in
this deck also requires the .tran (transient) analysis option to be specified over a suitable time
range. The time range in this particular deck allows for a Fourier analysis with rather poor
accuracy. The more cycles of the fundamental frequency that the transient analysis is performed
over, the more precise the Fourier analysis will be. This is not a quirk of SPICE, but rather a basic
principle of waveforms.

Netlist:

v1 1 0 sin(0 15 60 0 0)
rload 1 0 10k
* change tran card to the following for better Fourier precision
* .tran 1m 30m .01m and include .options card:
* .options itl5=30000
.tran 1m 30m
.plot tran v(1)
.four 60 v(1)
.end

Output:

time v(1) -2.000E+01 -1.000E+01 0.000E+00

1.000E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 0.000E+00 . . * .
.
1.000E-03 5.487E+00 . . . * .
.
2.000E-03 1.025E+01 . . . *
.
3.000E-03 1.350E+01 . . . . *
.
4.000E-03 1.488E+01 . . . .
*.
5.000E-03 1.425E+01 . . . . *
.
6.000E-03 1.150E+01 . . . . *
.
7.000E-03 7.184E+00 . . . * .
.
8.000E-03 1.879E+00 . . . * .
.
9.000E-03 -3.714E+00 . . * . .
.
1.000E-02 -8.762E+00 . . * . .
.
1.100E-02 -1.265E+01 . * . . .
.
1.200E-02 -1.466E+01 . * . . .
.
1.300E-02 -1.465E+01 . * . . .
.
1.400E-02 -1.265E+01 . * . . .
.
1.500E-02 -8.769E+00 . . * . .
.
1.600E-02 -3.709E+00 . . * . .
.
1.700E-02 1.876E+00 . . . * .
.
1.800E-02 7.191E+00 . . . * .
.
1.900E-02 1.149E+01 . . . . *
.
2.000E-02 1.425E+01 . . . . *
.
2.100E-02 1.489E+01 . . . .
*.
2.200E-02 1.349E+01 . . . . *
.
2.300E-02 1.026E+01 . . . *
.
2.400E-02 5.491E+00 . . . * .
.
2.500E-02 1.553E-03 . . * .
.
2.600E-02 -5.514E+00 . . * . .
.
2.700E-02 -1.022E+01 . * . .
.
2.800E-02 -1.349E+01 . * . . .
.
2.900E-02 -1.495E+01 . * . . .
.
3.000E-02 -1.427E+01 . * . . .
.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-

fourier components of transient response v(1)

dc component = -1.885E-03
harmonic frequency fourier normalized phase
normalized
no (hz) component component (deg) phase
(deg)
1 6.000E+01 1.494E+01 1.000000 -71.998
0.000
2 1.200E+02 1.886E-02 0.001262 -50.162
21.836
3 1.800E+02 1.346E-03 0.000090 102.674
174.671
4 2.400E+02 1.799E-02 0.001204 -10.866
61.132
5 3.000E+02 3.604E-03 0.000241 160.923
232.921
6 3.600E+02 5.642E-03 0.000378 -176.247 -
104.250
7 4.200E+02 2.095E-03 0.000140 122.661
194.658
8 4.800E+02 4.574E-03 0.000306 -143.754 -
71.757
9 5.400E+02 4.896E-03 0.000328 -129.418 -
57.420
total harmonic distortion = 0.186350 percent
Simple AC resistor-capacitor circuit

The .ac card specifies the points of ac analysis from 60Hz to 60Hz, at a single point. This card, of
course, is a bit more useful for multi-frequency analysis, where a range of frequencies can be
analyzed in steps. The .print card outputs the AC voltage between nodes 1 and 2, and the AC
voltage between node 2 and ground.

Netlist:

Demo of a simple AC circuit

v1 1 0 ac 12 sin
r1 1 2 30
c1 2 0 100u
.ac lin 1 60 60
.print ac v(1,2) v(2)
.end

Output:

freq v(1,2) v(2)

6.000E+01 8.990E+00 7.949E+00
Low-pass filter
This low-pass filter blocks AC and passes DC to the Rload resistor. Typical of a filter used to
suppress ripple from a rectifier circuit, it actually has a resonant frequency, technically making it a
band-pass filter. However, it works well anyway to pass DC and block the high-frequency
harmonics generated by the AC-to-DC rectification process. Its performance is measured with an
AC source sweeping from 500 Hz to 15 kHz. If desired, the .print card can be substituted or
supplemented with a .plot card to show AC voltage at node 4 graphically.

Netlist:

Lowpass filter
v1 2 1 ac 24 sin
v2 1 0 dc 24
rload 4 0 1k
l1 2 3 100m
l2 3 4 250m
c1 3 0 100u
.ac lin 30 500 15k
.print ac v(4)
.plot ac v(4)
.end

freq v(4)
5.000E+02 1.935E-01
1.000E+03 3.275E-02
1.500E+03 1.057E-02
2.000E+03 4.614E-03
2.500E+03 2.402E-03
3.000E+03 1.403E-03
3.500E+03 8.884E-04
4.000E+03 5.973E-04
4.500E+03 4.206E-04
5.000E+03 3.072E-04
5.500E+03 2.311E-04
6.000E+03 1.782E-04
6.500E+03 1.403E-04
7.000E+03 1.124E-04
7.500E+03 9.141E-05
8.000E+03 7.536E-05
8.500E+03 6.285E-05
9.000E+03 5.296E-05
9.500E+03 4.504E-05
1.000E+04 3.863E-05
1.050E+04 3.337E-05
1.100E+04 2.903E-05
1.150E+04 2.541E-05
1.200E+04 2.237E-05
1.250E+04 1.979E-05
1.300E+04 1.760E-05
1.350E+04 1.571E-05
1.400E+04 1.409E-05
1.450E+04 1.268E-05
1.500E+04 1.146E-05

freq v(4) 1.000E-06 1.000E-04 1.000E-02 1.000E+00

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
5.000E+02 1.935E-01 . . . * .
1.000E+03 3.275E-02 . . . * .
1.500E+03 1.057E-02 . . * .
2.000E+03 4.614E-03 . . * . .
2.500E+03 2.402E-03 . . * . .
3.000E+03 1.403E-03 . . * . .
3.500E+03 8.884E-04 . . * . .
4.000E+03 5.973E-04 . . * . .
4.500E+03 4.206E-04 . . * . .
5.000E+03 3.072E-04 . . * . .
5.500E+03 2.311E-04 . . * . .
6.000E+03 1.782E-04 . . * . .
6.500E+03 1.403E-04 . .* . .
7.000E+03 1.124E-04 . * . .
7.500E+03 9.141E-05 . * . .
8.000E+03 7.536E-05 . *. . .
8.500E+03 6.285E-05 . *. . .
9.000E+03 5.296E-05 . * . . .
9.500E+03 4.504E-05 . * . . .
1.000E+04 3.863E-05 . * . . .
1.050E+04 3.337E-05 . * . . .
1.100E+04 2.903E-05 . * . . .
1.150E+04 2.541E-05 . * . . .
1.200E+04 2.237E-05 . * . . .
1.250E+04 1.979E-05 . * . . .
1.300E+04 1.760E-05 . * . . .
1.350E+04 1.571E-05 . * . . .
1.400E+04 1.409E-05 . * . . .
1.450E+04 1.268E-05 . * . . .
1.500E+04 1.146E-05 . * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
Multiple-source AC network
One of the idiosyncrasies of SPICE is its inability to handle any loop in a circuit exclusively
composed of series voltage sources and inductors. Therefore, the "loop" of V1-L1-L2-V2-V1 is
unacceptable. To get around this, I had to insert a low-resistance resistor somewhere in that loop
to break it up. Thus, we have Rbogus between 3 and 4 (with 1 pico-ohm of resistance), and V2
between 4 and 0. The circuit above is the original design, while the circuit below has Rbogus inserted
to avoid the SPICE error.

Netlist:

Multiple ac source
v1 1 0 ac 55 0 sin
v2 4 0 ac 43 25 sin
l1 1 2 450m
c1 2 0 330u
l2 2 3 150m
rbogus 3 4 1e-12
.ac lin 1 30 30
.print ac v(2)
.end

Output:

freq v(2)
3.000E+01 1.413E+02
AC phase shift demonstration

The currents through each leg are indicated by the voltage drops across each respective shunt
resistor (1 amp = 1 volt through 1 Ω), output by the v(1,2) and v(1,3) terms of the .print
card. The phase of the currents through each leg are indicated by the phase of the voltage drops
across each respective shunt resistor, output by the vp(1,2) and vp(1,3) terms in the
.print card.

Netlist:

phase shift
v1 1 0 ac 4 sin
rshunt1 1 2 1
rshunt2 1 3 1
l1 2 0 1
r1 3 0 6.3k
.ac lin 1 1000 1000
.print ac v(1,2) v(1,3) vp(1,2) vp(1,3)
.end

Output:

freq v(1,2) v(1,3) vp(1,2) vp(1,3)

1.000E+03 6.366E-04 6.349E-04 -9.000E+01 0.000E+00
Transformer circuit
SPICE understands transformers as a set of mutually coupled inductors. Thus, to simulate a
transformer in SPICE, you must specify the primary and secondary windings as separate inductors,
then instruct SPICE to link them together with a "k" card specifying the coupling constant. For
ideal transformer simulation, the coupling constant would be unity (1). However, SPICE can't
handle this value, so we use something like 0.999 as the coupling factor.

Note that all winding inductor pairs must be coupled with their own k cards in order for the
simulation to work properly. For a two-winding transformer, a single k card will suffice. For a
three-winding transformer, three k cards must be specified (to link L1 with L2, L2 with L3, and L1
with L3).

The L1/L2 inductance ratio of 100:1 provides a 10:1 step-down voltage transformation ratio. With
120 volts in we should see 12 volts out of the L2 winding. The L1/L3 inductance ratio of 100:25
(4:1) provides a 2:1 step-down voltage transformation ratio, which should give us 60 volts out of
the L3 winding with 120 volts in.

Netlist:

transformer
v1 1 0 ac 120 sin
rbogus0 1 6 1e-3
l1 6 0 100
l2 2 4 1
l3 3 5 25
k1 l1 l2 0.999
k2 l2 l3 0.999
k3 l1 l3 0.999
r1 2 4 1000
r2 3 5 1000
rbogus1 5 0 1e10
rbogus2 4 0 1e10
.ac lin 1 60 60
.print ac v(1,0) v(2,0) v(3,0)
.end

Output:

freq v(1) v(2) v(3)

6.000E+01 1.200E+02 1.199E+01 5.993E+01
In this example, Rbogus0 is a very low-value resistor, serving to break up the source/inductor loop of
V1/L1. Rbogus1 and Rbogus2 are very high-value resistors necessary to provide DC paths to ground on
each of the isolated circuits. Note as well that one side of the primary circuit is directly grounded.
Without these ground references, SPICE will produce errors!

Full-wave bridge rectifier

Diodes, like all semiconductor components in SPICE, must be modeled so that SPICE knows all the
nitty-gritty details of how they're supposed to work. Fortunately, SPICE comes with a few generic
models, and the diode is the most basic. Notice the .model card which simply specifies "d" as the
generic diode model for mod1. Again, since we're plotting the waveforms here, we need to specify
all parameters of the AC source in a single card and print/plot all values using the .tran option.

Netlist:

fullwave bridge rectifier

v1 1 0 sin(0 15 60 0 0)
rload 1 0 10k
d1 1 2 mod1
d2 0 2 mod1
d3 3 1 mod1
d4 3 0 mod1
.model mod1 d
.tran .5m 25m
.plot tran v(1,0) v(2,3)
.end

Output:

legend:

*: v(1)
+: v(2,3)

time v(1)

(*)--------- -2.000E+01 -1.000E+01 0.000E+00 1.000E+01

2.000E+01
(+)--------- -5.000E+00 0.000E+00 5.000E+00 1.000E+01
1.500E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 0.000E+00 . + * .
.
5.000E-04 2.806E+00 . . + . * .
.
1.000E-03 5.483E+00 . . + * .
.
1.500E-03 7.929E+00 . . . + * .
.
2.000E-03 1.013E+01 . . . +*
.
2.500E-03 1.198E+01 . . . . * +
.
3.000E-03 1.338E+01 . . . . * +
.
3.500E-03 1.435E+01 . . . . *
+.
4.000E-03 1.476E+01 . . . . *
+
4.500E-03 1.470E+01 . . . . *
+
5.000E-03 1.406E+01 . . . . * +
.
5.500E-03 1.299E+01 . . . . * +
.
6.000E-03 1.139E+01 . . . . *+
.
6.500E-03 9.455E+00 . . . + *.
.
7.000E-03 7.113E+00 . . . + * .
.
7.500E-03 4.591E+00 . . +. * .
.
8.000E-03 1.841E+00 . . + . * .
.
8.500E-03 -9.177E-01 . . + *. .
.
9.000E-03 -3.689E+00 . . *+ . .
.
9.500E-03 -6.380E+00 . . * . + .
.
1.000E-02 -8.784E+00 . . * . + .
.
1.050E-02 -1.075E+01 . *. . .+
.
1.100E-02 -1.255E+01 . * . . . +
.
1.150E-02 -1.372E+01 . * . . . +
.
1.200E-02 -1.460E+01 . * . . .
+
1.250E-02 -1.476E+01 .* . . .
+
1.300E-02 -1.460E+01 . * . . .
+
1.350E-02 -1.373E+01 . * . . . +
.
1.400E-02 -1.254E+01 . * . . . +
.
1.450E-02 -1.077E+01 . *. . .+
.
1.500E-02 -8.726E+00 . . * . + .
.
1.550E-02 -6.293E+00 . . * . + .
.
1.600E-02 -3.684E+00 . . x . .
.
1.650E-02 -9.361E-01 . . + *. .
.
1.700E-02 1.875E+00 . . + . * .
.
1.750E-02 4.552E+00 . . +. * .
.
1.800E-02 7.170E+00 . . . + * .
.
1.850E-02 9.401E+00 . . . + *.
.
1.900E-02 1.146E+01 . . . . *+
.
1.950E-02 1.293E+01 . . . . * +
.
2.000E-02 1.414E+01 . . . . *
+.
2.050E-02 1.464E+01 . . . . *
+
2.100E-02 1.483E+01 . . . . *
+
2.150E-02 1.430E+01 . . . . *
+.
2.200E-02 1.344E+01 . . . . * +
.
2.250E-02 1.195E+01 . . . . *+
.
2.300E-02 1.016E+01 . . . +*
.
2.350E-02 7.917E+00 . . . + * .
.
2.400E-02 5.460E+00 . . + * .
.
2.450E-02 2.809E+00 . . + . * .
.
2.500E-02 -8.297E-04 . + * .
.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
Common-base BJT transistor amplifier

This analysis sweeps the input voltage (Vin) from 0 to 5 volts in 0.1 volt increments, then prints
out the voltage between the collector and emitter leads of the transistor v(2,3). The transistor
(Q1) is an NPN with a forward Beta of 50.

Netlist:

Common-base BJT amplifier

vsupply 1 0 dc 24
vin 0 4 dc
rc 1 2 800
re 3 4 100
q1 2 0 3 mod1
.model mod1 npn bf=50
.dc vin 0 5 0.1
.print dc v(2,3)
.plot dc v(2,3)
.end

Output:

vin v(2,3)
0.000E+00 2.400E+01
1.000E-01 2.410E+01
2.000E-01 2.420E+01
3.000E-01 2.430E+01
4.000E-01 2.440E+01
5.000E-01 2.450E+01
6.000E-01 2.460E+01
7.000E-01 2.466E+01
8.000E-01 2.439E+01
9.000E-01 2.383E+01
1.000E+00 2.317E+01
1.100E+00 2.246E+01
1.200E+00 2.174E+01
1.300E+00 2.101E+01
1.400E+00 2.026E+01
1.500E+00 1.951E+01
1.600E+00 1.876E+01
1.700E+00 1.800E+01
1.800E+00 1.724E+01
1.900E+00 1.648E+01
2.000E+00 1.572E+01
2.100E+00 1.495E+01
2.200E+00 1.418E+01
2.300E+00 1.342E+01
2.400E+00 1.265E+01
2.500E+00 1.188E+01
2.600E+00 1.110E+01
2.700E+00 1.033E+01
2.800E+00 9.560E+00
2.900E+00 8.787E+00
3.000E+00 8.014E+00
3.100E+00 7.240E+00
3.200E+00 6.465E+00
3.300E+00 5.691E+00
3.400E+00 4.915E+00
3.500E+00 4.140E+00
3.600E+00 3.364E+00
3.700E+00 2.588E+00
3.800E+00 1.811E+00
3.900E+00 1.034E+00
4.000E+00 2.587E-01
4.100E+00 9.744E-02
4.200E+00 7.815E-02
4.300E+00 6.806E-02
4.400E+00 6.141E-02
4.500E+00 5.657E-02
4.600E+00 5.281E-02
4.700E+00 4.981E-02
4.800E+00 4.734E-02
4.900E+00 4.525E-02
5.000E+00 4.346E-02

vin v(2,3) 0.000E+00 1.000E+01 2.000E+01

3.000E+01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 2.400E+01 . . . * .
1.000E-01 2.410E+01 . . . * .
2.000E-01 2.420E+01 . . . * .
3.000E-01 2.430E+01 . . . * .
4.000E-01 2.440E+01 . . . * .
5.000E-01 2.450E+01 . . . * .
6.000E-01 2.460E+01 . . . * .
7.000E-01 2.466E+01 . . . * .
8.000E-01 2.439E+01 . . . * .
9.000E-01 2.383E+01 . . . * .
1.000E+00 2.317E+01 . . . * .
1.100E+00 2.246E+01 . . . * .
1.200E+00 2.174E+01 . . . * .
1.300E+00 2.101E+01 . . .* .
1.400E+00 2.026E+01 . . * .
1.500E+00 1.951E+01 . . *. .
1.600E+00 1.876E+01 . . * . .
1.700E+00 1.800E+01 . . * . .
1.800E+00 1.724E+01 . . * . .
1.900E+00 1.648E+01 . . * . .
2.000E+00 1.572E+01 . . * . .
2.100E+00 1.495E+01 . . * . .
2.200E+00 1.418E+01 . . * . .
2.300E+00 1.342E+01 . . * . .
2.400E+00 1.265E+01 . . * . .
2.500E+00 1.188E+01 . . * . .
2.600E+00 1.110E+01 . . * . .
2.700E+00 1.033E+01 . * . .
2.800E+00 9.560E+00 . *. . .
2.900E+00 8.787E+00 . * . . .
3.000E+00 8.014E+00 . * . . .
3.100E+00 7.240E+00 . * . . .
3.200E+00 6.465E+00 . * . . .
3.300E+00 5.691E+00 . * . . .
3.400E+00 4.915E+00 . * . . .
3.500E+00 4.140E+00 . * . . .
3.600E+00 3.364E+00 . * . . .
3.700E+00 2.588E+00 . * . . .
3.800E+00 1.811E+00 . * . . .
3.900E+00 1.034E+00 .* . . .
4.000E+00 2.587E-01 * . . .
4.100E+00 9.744E-02 * . . .
4.200E+00 7.815E-02 * . . .
4.300E+00 6.806E-02 * . . .
4.400E+00 6.141E-02 * . . .
4.500E+00 5.657E-02 * . . .
4.600E+00 5.281E-02 * . . .
4.700E+00 4.981E-02 * . . .
4.800E+00 4.734E-02 * . . .
4.900E+00 4.525E-02 * . . .
5.000E+00 4.346E-02 * . . .
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
Common-source JFET amplifier with self-bias

Netlist:

common source jfet amplifier

vin 1 0 sin(0 1 60 0 0)
vdd 3 0 dc 20
rdrain 3 2 10k
rsource 4 0 1k
j1 2 1 4 mod1
.model mod1 njf
.tran 1m 30m
.plot tran v(2,0) v(1,0)
.end

Output:

legend:
*: v(2)
+: v(1)
time v(2)
(*)--------- 1.400E+01 1.600E+01 1.800E+01 2.000E+01
2.200E+01
(+)--------- -1.000E+00 -5.000E-01 0.000E+00 5.000E-01
1.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 1.708E+01 . . * + .
.
1.000E-03 1.609E+01 . .* . + .
.
2.000E-03 1.516E+01 . * . . . +
.
3.000E-03 1.448E+01 . * . . . +
.
4.000E-03 1.419E+01 .* . . .
+
5.000E-03 1.432E+01 . * . . .
+.
6.000E-03 1.490E+01 . * . . . +
.
7.000E-03 1.577E+01 . * . . +.
.
8.000E-03 1.676E+01 . . * . + .
.
9.000E-03 1.768E+01 . . + *. .
.
1.000E-02 1.841E+01 . + . . * .
.
1.100E-02 1.890E+01 . + . . * .
.
1.200E-02 1.912E+01 .+ . . * .
.
1.300E-02 1.912E+01 .+ . . * .
.
1.400E-02 1.890E+01 . + . . * .
.
1.500E-02 1.842E+01 . + . . * .
.
1.600E-02 1.768E+01 . . + *. .
.
1.700E-02 1.676E+01 . . * . + .
.
1.800E-02 1.577E+01 . * . . +.
.
1.900E-02 1.491E+01 . * . . . +
.
2.000E-02 1.432E+01 . * . . .
+.
2.100E-02 1.419E+01 .* . . .
+
2.200E-02 1.449E+01 . * . . . +
.
2.300E-02 1.516E+01 . * . . . +
.
2.400E-02 1.609E+01 . .* . + .
.
2.500E-02 1.708E+01 . . * + .
.
2.600E-02 1.796E+01 . . + * .
.
2.700E-02 1.861E+01 . + . . * .
.
2.800E-02 1.900E+01 . + . . * .
.
2.900E-02 1.916E+01 + . . * .
.
3.000E-02 1.908E+01 .+ . . * .
.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
Inverting op-amp circuit

To simulate an ideal operational amplifier in SPICE, we use a voltage-dependent voltage source as

a differential amplifier with extremely high gain. The "e" card sets up the dependent voltage
source with four nodes, 3 and 0 for voltage output, and 1 and 0 for voltage input. No power supply
is needed for the dependent voltage source, unlike a real operational amplifier. The voltage gain is
set at 999,000 in this case. The input voltage source (V1) sweeps from 0 to 3.5 volts in 0.05 volt
steps.

Netlist:

Inverting opamp
v1 2 0 dc
e 3 0 0 1 999k
r1 3 1 3.29k
r2 1 2 1.18k
.dc v1 0 3.5 0.05
.print dc v(3,0)
.end

Output:

v1 v(3)
0.000E+00 0.000E+00
5.000E-02 -1.394E-01
1.000E-01 -2.788E-01
1.500E-01 -4.182E-01
2.000E-01 -5.576E-01
2.500E-01 -6.970E-01
3.000E-01 -8.364E-01
3.500E-01 -9.758E-01
4.000E-01 -1.115E+00
4.500E-01 -1.255E+00
5.000E-01 -1.394E+00
5.500E-01 -1.533E+00
6.000E-01 -1.673E+00
6.500E-01 -1.812E+00
7.000E-01 -1.952E+00
7.500E-01 -2.091E+00
8.000E-01 -2.231E+00
8.500E-01 -2.370E+00
9.000E-01 -2.509E+00
9.500E-01 -2.649E+00
1.000E+00 -2.788E+00
1.050E+00 -2.928E+00
1.100E+00 -3.067E+00
1.150E+00 -3.206E+00
1.200E+00 -3.346E+00
1.250E+00 -3.485E+00
1.300E+00 -3.625E+00
1.350E+00 -3.764E+00
1.400E+00 -3.903E+00
1.450E+00 -4.043E+00
1.500E+00 -4.182E+00
1.550E+00 -4.322E+00
1.600E+00 -4.461E+00
1.650E+00 -4.600E+00
1.700E+00 -4.740E+00
1.750E+00 -4.879E+00
1.800E+00 -5.019E+00
1.850E+00 -5.158E+00
1.900E+00 -5.297E+00
1.950E+00 -5.437E+00
2.000E+00 -5.576E+00
2.050E+00 -5.716E+00
2.100E+00 -5.855E+00
2.150E+00 -5.994E+00
2.200E+00 -6.134E+00
2.250E+00 -6.273E+00
2.300E+00 -6.413E+00
2.350E+00 -6.552E+00
2.400E+00 -6.692E+00
2.450E+00 -6.831E+00
2.500E+00 -6.970E+00
2.550E+00 -7.110E+00
2.600E+00 -7.249E+00
2.650E+00 -7.389E+00
2.700E+00 -7.528E+00
2.750E+00 -7.667E+00
2.800E+00 -7.807E+00
2.850E+00 -7.946E+00
2.900E+00 -8.086E+00
2.950E+00 -8.225E+00
3.000E+00 -8.364E+00
3.050E+00 -8.504E+00
3.100E+00 -8.643E+00
3.150E+00 -8.783E+00
3.200E+00 -8.922E+00
3.250E+00 -9.061E+00
3.300E+00 -9.201E+00
3.350E+00 -9.340E+00
3.400E+00 -9.480E+00
3.450E+00 -9.619E+00
3.500E+00 -9.758E+00
Noninverting op-amp circuit
Another example of a SPICE quirk: since the dependent voltage source "e" isn't considered a load
to voltage source V1, SPICE interprets V1 to be open-circuited and will refuse to analyze it. The fix
is to connect Rbogus in parallel with V1 to act as a DC load. Being directly connected across V1, the
resistance of Rbogus is not crucial to the operation of the circuit, so 10 kΩ will work fine. I decided
not to sweep the V1 input voltage at all in this circuit for the sake of keeping the netlist and output
listing simple.

Netlist:

noninverting opamp
v1 2 0 dc 5
rbogus 2 0 10k
e 3 0 2 1 999k
r1 3 1 20k
r2 1 0 10k
.end

Output:

node voltage node voltage node voltage

( 1) 5.0000 ( 2) 5.0000 ( 3) 15.0000
Instrumentation amplifier
Note the very high-resistance Rbogus1 and Rbogus2 resistors in the netlist (not shown in schematic for
brevity) across each input voltage source, to keep SPICE from thinking V1 and V2 were open-
circuited, just like the other op-amp circuit examples.

Netlist:

Instrumentation amplifier
v1 1 0
rbogus1 1 0 9e12
v2 4 0 dc 5
rbogus2 4 0 9e12
e1 3 0 1 2 999k
e2 6 0 4 5 999k
e3 9 0 8 7 999k
rload 9 0 10k
r1 2 3 10k
rgain 2 5 10k
r2 5 6 10k
r3 3 7 10k
r4 7 9 10k
r5 6 8 10k
r6 8 0 10k
.dc v1 0 10 1
.print dc v(9) v(3,6)
.end

Output:

v1 v(9) v(3,6)
0.000E+00 1.500E+01 -1.500E+01
1.000E+00 1.200E+01 -1.200E+01
2.000E+00 9.000E+00 -9.000E+00
3.000E+00 6.000E+00 -6.000E+00
4.000E+00 3.000E+00 -3.000E+00
5.000E+00 9.955E-11 -9.956E-11
6.000E+00 -3.000E+00 3.000E+00
7.000E+00 -6.000E+00 6.000E+00
8.000E+00 -9.000E+00 9.000E+00
9.000E+00 -1.200E+01 1.200E+01
1.000E+01 -1.500E+01 1.500E+01
Op-amp integrator with sinewave input

Netlist:

Integrator with sinewave input

vin 1 0 sin (0 15 60 0 0)
r1 1 2 10k
c1 2 3 150u ic=0
e 3 0 0 2 999k
.tran 1m 30m uic
.plot tran v(1,0) v(3,0)
.end

Output:

legend:
*: v(1)
+: v(3)
time v(1)
(*)-------- -2.000E+01 -1.000E+01 0.000E+00 1.000E+01
(+)-------- -6.000E-02 -4.000E-02 -2.000E-02 0.000E+00
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 6.536E-08 . . * +
.
1.000E-03 5.516E+00 . . . * +.
.
2.000E-03 1.021E+01 . . . + *
.
3.000E-03 1.350E+01 . . . + . *
.
4.000E-03 1.495E+01 . . + . .
*.
5.000E-03 1.418E+01 . . + . . *
.
6.000E-03 1.150E+01 . + . . . *
.
7.000E-03 7.214E+00 . + . . * .
.
8.000E-03 1.867E+00 .+ . . * .
.
9.000E-03 -3.709E+00 . + . * . .
.
1.000E-02 -8.805E+00 . + . * . .
.
1.100E-02 -1.259E+01 . * + . .
.
1.200E-02 -1.466E+01 . * . + . .
.
1.300E-02 -1.471E+01 . * . +. .
.
1.400E-02 -1.259E+01 . * . . + .
.
1.500E-02 -8.774E+00 . . * . + .
.
1.600E-02 -3.723E+00 . . * . +.
.
1.700E-02 1.870E+00 . . . * +
.
1.800E-02 7.188E+00 . . . * + .
.
1.900E-02 1.154E+01 . . . + . *
.
2.000E-02 1.418E+01 . . .+ . *
.
2.100E-02 1.490E+01 . . + . .
*.
2.200E-02 1.355E+01 . . + . . *
.
2.300E-02 1.020E+01 . + . . *
.
2.400E-02 5.496E+00 . + . . * .
.
2.500E-02 -1.486E-03 .+ . * .
.
2.600E-02 -5.489E+00 . + . * . .
.
2.700E-02 -1.021E+01 . + * . .
.
2.800E-02 -1.355E+01 . * . + . .
.
2.900E-02 -1.488E+01 . * . + . .
.
3.000E-02 -1.427E+01 . * . .+ .
.
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
Op-amp integrator with squarewave input
Netlist:

Integrator with squarewave input

vin 1 0 pulse (-1 1 0 0 0 10m 20m)
r1 1 2 1k
c1 2 3 150u ic=0
e 3 0 0 2 999k
.tran 1m 50m uic
.plot tran v(1,0) v(3,0)
.end

Output:

legend:
*: v(1)
+: v(3)
time v(1)
(*)-------- -1.000E+00 -5.000E-01 0.000E+00 5.000E-01
1.000E+00
(+)-------- -1.000E-01 -5.000E-02 0.000E+00 5.000E-02
1.000E-01
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-
0.000E+00 -1.000E+00 * . + .
.
1.000E-03 1.000E+00 . . + .
*
2.000E-03 1.000E+00 . . + . .
*
3.000E-03 1.000E+00 . . + . .
*
4.000E-03 1.000E+00 . . + . .
*
5.000E-03 1.000E+00 . . + . .
*
6.000E-03 1.000E+00 . . + . .
*
7.000E-03 1.000E+00 . . + . .
*
8.000E-03 1.000E+00 . .+ . .
*
9.000E-03 1.000E+00 . +. . .
*
1.000E-02 1.000E+00 . + . . .
*
1.100E-02 1.000E+00 . + . . .
*
1.200E-02 -1.000E+00 * + . . .
.
1.300E-02 -1.000E+00 * + . . .
.
1.400E-02 -1.000E+00 * +. . .
.
1.500E-02 -1.000E+00 * .+ . .
.
1.600E-02 -1.000E+00 * . + . .
.
1.700E-02 -1.000E+00 * . + . .
.
1.800E-02 -1.000E+00 * . + . .
.
1.900E-02 -1.000E+00 * . + . .
.
2.000E-02 -1.000E+00 * . + . .
.
2.100E-02 1.000E+00 . . + . .
*
2.200E-02 1.000E+00 . . + . .
*
2.300E-02 1.000E+00 . . + . .
*
2.400E-02 1.000E+00 . . + . .
*
2.500E-02 1.000E+00 . . + . .
*
2.600E-02 1.000E+00 . .+ . .
*
2.700E-02 1.000E+00 . +. . .
*
2.800E-02 1.000E+00 . + . . .
*
2.900E-02 1.000E+00 . + . . .
*
3.000E-02 1.000E+00 . + . . .
*
3.100E-02 1.000E+00 . + . . .
*
3.200E-02 -1.000E+00 * + . . .
.
3.300E-02 -1.000E+00 * + . . .
.
3.400E-02 -1.000E+00 * + . . .
.
3.500E-02 -1.000E+00 * + . . .
.
3.600E-02 -1.000E+00 * +. . .
.
3.700E-02 -1.000E+00 * .+ . .
.
3.800E-02 -1.000E+00 * . + . .
.
3.900E-02 -1.000E+00 * . + . .
.
4.000E-02 -1.000E+00 * . + . .
.
4.100E-02 1.000E+00 . . + . .
*
4.200E-02 1.000E+00 . . + . .
*
4.300E-02 1.000E+00 . . + . .
*
4.400E-02 1.000E+00 . .+ . .
*
4.500E-02 1.000E+00 . +. . .
*
4.600E-02 1.000E+00 . + . . .
*
4.700E-02 1.000E+00 . + . . .
*
4.800E-02 1.000E+00 . + . . .
*
4.900E-02 1.000E+00 . + . . .
*
5.000E-02 1.000E+00 + . . .
*
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-

All About Electric Circuits. Copyright 2003, AllAboutCircuits.com, All Rights Reserved. Disclaimer. Contact.
Chapter 8: TROUBLESHOOTING -- THEORY AND PRACTICE
Troubleshooting Introduction

Perhaps the most valuable but difficult-to-learn skill any technical person could have is the ability to
troubleshoot a system. For those unfamiliar with the term, troubleshooting means the act of pinpointing and
correcting problems in any kind of system. For an auto mechanic, this means determining and fixing problems
in cars based on the car's behavior. For a doctor, this means correctly diagnosing a patient's malady and
prescribing a cure. For a business expert, this means identifying the source(s) of inefficiency in a corporation
and recommending corrective measures.

Troubleshooters must be able to determine the cause or causes of a problem simply by examining its effects.
Rarely does the source of a problem directly present itself for all to see. Cause/effect relationships are often
complex, even for seemingly simple systems, and often the proficient troubleshooter is regarded by others as
something of a miracle-worker for their ability to quickly discern the root cause of a problem. While some
people are gifted with a natural talent for troubleshooting, it is a skill that can be learned like any other.

Sometimes the system to be analyzed is in so bad a state of affairs that there is no hope of ever getting it
working again. When investigators sift through the wreckage of a crashed airplane, or when a doctor performs
an autopsy, they must do their best to determine the cause of massive failure after the fact. Fortunately, the
task of the troubleshooter is usually not this grim. Typically, a misbehaving system is still functioning to some
degree and may be stimulated and adjusted by the troubleshooter as part of the diagnostic procedure. In this
sense, troubleshooting is a lot like scientific method: determining cause/effect relationships by means of live
experimentation.

Like science, troubleshooting is a mixture of standard procedure and personal creativity. There are certain
procedures employed as tools to discern cause(s) from effects, but they are impotent if not coupled with a
creative and inquisitive mind. In the course of troubleshooting, the troubleshooter may have to invent their
own specific technique -- adapted to the particular system they're working on -- and/or modify tools to perform
a special task. Creativity is necessary in examining a problem from different perspectives: learning to ask
different questions when the "standard" questions don't lead to fruitful answers.

If there is one personality trait I've seen positively associated with excellent troubleshooting more than any
other, it's technical curiosity. People fascinated by learning how things work, and who aren't discouraged by a
challenging problem, tend to be better at troubleshooting than others. Richard Feynman, the late physicist who
taught at Caltech for many years, illustrates to me the ultimate troubleshooting personality. Reading any of his
(auto)biographical books is both educating and entertaining, and I recommend them to anyone seeking to
develop their own scientific reasoning/troubleshooting skills.

Questions to ask before proceeding

• Has the system ever worked before? If yes, has anything happened to it since then that could cause
the problem?
• Has this system proven itself to be prone to certain types of failure?
• How urgent is the need for repair?
• What are the safety concerns, before I start troubleshooting?
• What are the process quality concerns, before I start troubleshooting (what can I do without causing
interruptions in production)?

These preliminary questions are not trivial. Indeed, they are essential to expedient and safe troubleshooting.
They are especially important when the system to be trouble-shot is large, dangerous, and/or expensive.

Sometimes the troubleshooter will be required to work on a system that is still in full operation (perhaps the
ultimate example of this is a doctor diagnosing a live patient). Once the cause or causes are determined to a
high degree of certainty, there is the step of corrective action. Correcting a system fault without significantly
interrupting the operation of the system can be very challenging, and it deserves thorough planning.

When there is high risk involved in taking corrective action, such as is the case with performing surgery on a
patient or making repairs to an operating process in a chemical plant, it is essential for the worker(s) to plan
ahead for possible trouble. One question to ask before proceeding with repairs is, "how and at what point(s)
can I abort the repairs if something goes wrong?" In risky situations, it is vital to have planned "escape routes"
in your corrective action, just in case things do not go as planned. A surgeon operating on a patient knows if
there are any "points of no return" in such a procedure, and stops to re-check the patient before proceeding
past those points. He or she also knows how to "back out" of a surgical procedure at those points if needed.

General troubleshooting tips

When first approaching a failed or otherwise misbehaving system, the new troubleshooter often doesn't know
where to begin. The following strategies are not exhaustive by any means, but provide the troubleshooter with
a simple checklist of questions to ask in order to start isolating the problem.

As tips, these troubleshooting suggestions are not comprehensive procedures: they serve as starting points
only for the troubleshooting process. An essential part of expedient troubleshooting is probability assessment,
and these tips help the troubleshooter determine which possible points of failure are more or less likely than
others. Final isolation of the system failure is usually determined through more specific techniques (outlined in
the next section -- Specific Troubleshooting Techniques).

Prior occurrence

If this device or process has been historically known to fail in a certain particular way, and the conditions
leading to this common failure have not changed, check for this "way" first. A corollary to this troubleshooting
tip is the directive to keep detailed records of failure. Ideally, a computer-based failure log is optimal, so that
failures may be referenced by and correlated to a number of factors such as time, date, and environmental
conditions.

Example: The car's engine is overheating. The last two times this happened, the cause was low coolant level
in the radiator.

What to do: Check the coolant level first. Of course, past history by no means guarantees the present
symptoms are caused by the same problem, but since this is more likely, it makes sense to check this first.

If, however, the cause of routine failure in a system has been corrected (i.e. the leak causing low coolant level
in the past has been repaired), then this may not be a probable cause of trouble this time.

Recent alterations

If a system has been having problems immediately after some kind of maintenance or other change, the
problems might be linked to those changes.

Example: The mechanic recently tuned my car's engine, and now I hear a rattling noise that I didn't hear
before I took the car in for repair.

What to do: Check for something that may have been left loose by the mechanic after his or her tune-up work.

Function vs. non-function

If a system isn't producing the desired end result, look for what it is doing correctly; in other words, identify
where the problem is not, and focus your efforts elsewhere. Whatever components or subsystems necessary
for the properly working parts to function are probably okay. The degree of fault can often tell you what part of
it is to blame.
Example: The radio works fine on the AM band, but not on the FM band.

What to do: Eliminate from the list of possible causes, anything in the radio necessary for the AM band's
function. Whatever the source of the problem is, it is specific to the FM band and not to the AM band. This
eliminates the audio amplifier, speakers, fuse, power supply, and almost all external wiring. Being able to
eliminate sections of the system as possible failures reduces the scope of the problem and makes the rest of
the troubleshooting procedure more efficient.

Hypothesize

Based on your knowledge of how a system works, think of various kinds of failures that would cause this
problem (or these phenomena) to occur, and check for those failures (starting with the most likely based on
circumstances, history, or knowledge of component weaknesses).

Example: The car's engine is overheating.

What to do: Consider possible causes for overheating, based on what you know of engine operation. Either the
engine is generating too much heat, or not getting rid of the heat well enough (most likely the latter).
Brainstorm some possible causes: a loose fan belt, clogged radiator, bad water pump, low coolant level, etc.
Investigate each one of those possibilities before investigating alternatives.

Specific troubleshooting techniques

After applying some of the general troubleshooting tips to narrow the scope of a problem's
location, there are techniques useful in further isolating it. Here are a few:

Swap identical components

In a system with identical or parallel subsystems, swap components between those

subsystems and see whether or not the problem moves with the swapped component. If it
does, you've just swapped the faulty component; if it doesn't, keep searching!

This is a powerful troubleshooting method, because it gives you both a positive and a
negative indication of the swapped component's fault: when the bad part is exchanged
between identical systems, the formerly broken subsystem will start working again and the
formerly good subsystem will fail.

I was once able to troubleshoot an elusive problem with an automotive engine ignition system
using this method: I happened to have a friend with an automobile sharing the exact same
model of ignition system. We swapped parts between the engines (distributor, spark plug
wires, ignition coil -- one at a time) until the problem moved to the other vehicle. The
problem happened to be a "weak" ignition coil, and it only manifested itself under heavy load
(a condition that could not be simulated in my garage). Normally, this type of problem could
only be pinpointed using an ignition system analyzer (or oscilloscope) and a dynamometer to
simulate loaded driving conditions. This technique, however, confirmed the source of the
problem with 100% accuracy, using no diagnostic equipment whatsoever.
Occasionally you may swap a component and find that the problem still exists, but has
changed in some way. This tells you that the components you just swapped are somehow
different (different calibration, different function), and nothing more. However, don't dismiss
this information just because it doesn't lead you straight to the problem -- look for other
changes in the system as a whole as a result of the swap, and try to figure out what these
changes tell you about the source of the problem.

An important caveat to this technique is the possibility of causing further damage. Suppose a
component has failed because of another, less conspicuous failure in the system. Swapping
the failed component with a good component will cause the good component to fail as well.
For example, suppose that a circuit develops a short, which "blows" the protective fuse for
that circuit. The blown fuse is not evident by inspection, and you don't have a meter to
electrically test the fuse, so you decide to swap the suspect fuse with one of the same rating
from a working circuit. As a result of this, the good fuse that you move to the shorted circuit
blows as well, leaving you with two blown fuses and two non-working circuits. At least you
know for certain that the original fuse was blown, because the circuit it was moved to stopped
working after the swap, but this knowledge was gained only through the loss of a good fuse
and the additional "down time" of the second circuit.

Another example to illustrate this caveat is the ignition system problem previously
mentioned. Suppose that the "weak" ignition coil had caused the engine to backfire,
damaging the muffler. If swapping ignition system components with another vehicle causes
the problem to move to the other vehicle, damage may be done to the other vehicle's muffler
as well. As a general rule, the technique of swapping identical components should be used
only when there is minimal chance of causing additional damage. It is an excellent technique
for isolating non-destructive problems.

Example 1: You're working on a CNC machine tool with X, Y, and Z-axis drives. The Y axis
is not working, but the X and Z axes are working. All three axes share identical components
(feedback encoders, servo motor drives, servo motors).

What to do: Exchange these identical components, one at a time, Y axis and either one of the
working axes (X or Z), and see after each swap whether or not the problem has moved with
the swap.

Example 2: A stereo system produces no sound on the left speaker, but the right speaker
works just fine.

What to do: Try swapping respective components between the two channels and see if the
problem changes sides, from left to right. When it does, you've found the defective
component. For instance, you could swap the speakers between channels: if the problem
moves to the other side (i.e. the same speaker that was dead before is still dead, now that it's
connected to the right channel cable) then you know that speaker is bad. If the problem stays
on the same side (i.e. the speaker formerly silent is now producing sound after having been
moved to the other side of the room and connected to the other cable), then you know the
speakers are fine, and the problem must lie somewhere else (perhaps in the cable connecting
the silent speaker to the amplifier, or in the amplifier itself).

If the speakers have been verified as good, then you could check the cables using the same
method. Swap the cables so that each one now connects to the other channel of the amplifier
and to the other speaker. Again, if the problem changes sides (i.e. now the right speaker is
now "dead" and the left speaker now produces sound), then the cable now connected to the
right speaker must be defective. If neither swap (the speakers nor the cables) causes the
problem to change sides from left to right, then the problem must lie within the amplifier (i.e.
the left channel output must be "dead").

Remove parallel components

If a system is composed of several parallel or redundant components which can be removed

without crippling the whole system, start removing these components (one at a time) and see
if things start to work again.

Example 1: A "star" topology communications network between several computers has

failed. None of the computers are able to communicate with each other.

What to do: Try unplugging the computers, one at a time from the network, and see if the
network starts working again after one of them is unplugged. If it does, then that last
unplugged computer may be the one at fault (it may have been "jamming" the network by
constantly outputting data or noise).

Example 2: A household fuse keeps blowing (or the breaker keeps tripping open) after a
short amount of time.

What to do: Unplug appliances from that circuit until the fuse or breaker quits interrupting
the circuit. If you can eliminate the problem by unplugging a single appliance, then that
appliance might be defective. If you find that unplugging almost any appliance solves the
problem, then the circuit may simply be overloaded by too many appliances, neither of them
defective.

Divide system into sections and test those sections

In a system with multiple sections or stages, carefully measure the variables going in and out
of each stage until you find a stage where things don't look right.

Example 1: A radio is not working (producing no sound at the speaker))

What to do: Divide the circuitry into stages: tuning stage, mixing stages, amplifier stage, all
the way through to the speaker(s). Measure signals at test points between these stages and tell
whether or not a stage is working properly.

Example 2: An analog summer circuit is not functioning properly.

What to do: I would test the passive averager network (the three resistors at the lower-left
corner of the schematic) to see that the proper (averaged) voltage was seen at the
noninverting input of the op-amp. I would then measure the voltage at the inverting input to
see if it was the same as at the noninverting input (or, alternatively, measure the voltage
difference between the two inputs of the op-amp, as it should be zero). Continue testing
sections of the circuit (or just test points within the circuit) to see if you measure the expected
voltages and currents.

Simplify and rebuild

Closely related to the strategy of dividing a system into sections, this is actually a design and
fabrication technique useful for new circuits, machines, or systems. It's always easier begin
the design and construction process in little steps, leading to larger and larger steps, rather
than to build the whole thing at once and try to troubleshoot it as a whole.

Suppose that someone were building a custom automobile. He or she would be foolish to bolt
all the parts together without checking and testing components and subsystems as they went
along, expecting everything to work perfectly after it's all assembled. Ideally, the builder
would check the proper operation of components along the way through the construction
process: start and tune the engine before it's connected to the drivetrain, check for wiring
problems before all the cover panels are put in place, check the brake system in the driveway
before taking it out on the road, etc.

Countless times I've witnessed students build a complex experimental circuit and have
trouble getting it to work because they didn't stop to check things along the way: test all
resistors before plugging them into place, make sure the power supply is regulating voltage
adequately before trying to power anything with it, etc. It is human nature to rush to
completion of a project, thinking that such checks are a waste of valuable time. However,
more time will be wasted in troubleshooting a malfunctioning circuit than would be spent
checking the operation of subsystems throughout the process of construction.

Take the example of the analog summer circuit in the previous section for example: what if it
wasn't working properly? How would you simplify it and test it in stages? Well, you could
reconnect the op-amp as a basic comparator and see if it's responsive to differential input
voltages, and/or connect it as a voltage follower (buffer) and see if it outputs the same analog
voltage as what is input. If it doesn't perform these simple functions, it will never perform its
function in the summer circuit! By stripping away the complexity of the summer circuit,
paring it down to an (almost) bare op-amp, you can test that component's functionality and
then build from there (add resistor feedback and check for voltage amplification, then add
input resistors and check for voltage summing), checking for expected results along the way.

Trap a signal

Set up instrumentation (such as a datalogger, chart recorder, or multimeter set on "record"

mode) to monitor a signal over a period of time. This is especially helpful when tracking
down intermittent problems, which have a way of showing up the moment you've turned your
back and walked away.

This may be essential for proving what happens first in a fast-acting system. Many fast
systems (especially shutdown "trip" systems) have a "first out" monitoring capability to
provide this kind of data.

Example #1: A turbine control system shuts automatically in response to an abnormal

condition. By the time a technician arrives at the scene to survey the turbine's condition,
however, everything is in a "down" state and it's impossible to tell what signal or condition
was responsible for the initial shutdown, as all operating parameters are now "abnormal."

What to do: One technician I knew used a videocamera to record the turbine control panel, so
he could see what happened (by indications on the gauges) first in an automatic-shutdown
event. Simply by looking at the panel after the fact, there was no way to tell which signal shut
the turbine down, but the videotape playback would show what happened in sequence, down
to a frame-by-frame time resolution.

Example #2: An alarm system is falsely triggering, and you suspect it may be due to a
specific wire connection going bad. Unfortunately, the problem never manifests itself while
you're watching it!

What to do: Many modern digital multimeters are equipped with "record" settings, whereby
they can monitor a voltage, current, or resistance over time and note whether that
measurement deviates substantially from a regular value. This is an invaluable tool for use in
"intermittent" electronic system failures.

Likely failures in proven systems

The following problems are arranged in order from most likely to least likely, top to bottom. This order has
been determined largely from personal experience troubleshooting electrical and electronic problems in
automotive, industry, and home applications. This order also assumes a circuit or system that has been proven
to function as designed and has failed after substantial operation time. Problems experienced in newly
assembled circuits and systems do not necessarily exhibit the same probabilities of occurrence.

Operator error
A frequent cause of system failure is error on the part of those human beings operating it. This cause of
trouble is placed at the top of the list, but of course the actual likelihood depends largely on the particular
individuals responsible for operation. When operator error is the cause of a failure, it is unlikely that it will be
admitted prior to investigation. I do not mean to suggest that operators are incompetent and irresponsible --
quite the contrary: these people are often your best teachers for learning system function and obtaining a
history of failure -- but the reality of human error cannot be overlooked. A positive attitude coupled with good
interpersonal skills on the part of the troubleshooter goes a long way in troubleshooting when human error is
the root cause of failure.

Bad wire connections

As incredible as this may sound to the new student of electronics, a high percentage of electrical and electronic
system problems are caused by a very simple source of trouble: poor (i.e. open or shorted) wire connections.
This is especially true when the environment is hostile, including such factors as high vibration and/or a
corrosive atmosphere. Connection points found in any variety of plug-and-socket connector, terminal strip, or
splice are at the greatest risk for failure. The category of "connections" also includes mechanical switch
contacts, which can be thought of as a high-cycle connector. Improper wire termination lugs (such as a
compression-style connector crimped on the end of a solid wire -- a definite faux pas) can cause high-
resistance connections after a period of trouble-free service.

It should be noted that connections in low-voltage systems tend to be far more troublesome than connections
in high-voltage systems. The main reason for this is the effect of arcing across a discontinuity (circuit break) in
higher-voltage systems tends to blast away insulating layers of dirt and corrosion, and may even weld the two
ends together if sustained long enough. Low-voltage systems tend not to generate such vigorous arcing across
the gap of a circuit break, and also tend to be more sensitive to additional resistance in the circuit. Mechanical
switch contacts used in low-voltage systems benefit from having the recommended minimum wetting current
conducted through them to promote a healthy amount of arcing upon opening, even if this level of current is
not necessary for the operation of other circuit components.

Although open failures tend to more common than shorted failures, "shorts" still constitute a substantial
percentage of wiring failure modes. Many shorts are caused by degradation of wire insulation. This, again, is
especially true when the environment is hostile, including such factors as high vibration, high heat, high
humidity, or high voltage. It is rare to find a mechanical switch contact that is failed shorted, except in the
case of high-current contacts where contact "welding" may occur in overcurrent conditions. Shorts may also be
caused by conductive buildup across terminal strip sections or the backs of printed circuit boards.

A common case of shorted wiring is the ground fault, where a conductor accidently makes contact with either
earth or chassis ground. This may change the voltage(s) present between other conductors in the circuit and
ground, thereby causing bizarre system malfunctions and/or personnel hazard.

Power supply problems

These generally consist of tripped overcurrent protection devices or damage due to overheating. Although
power supply circuitry is usually less complex than the circuitry being powered, and therefore should figure to
be less prone to failure on that basis alone, it generally handles more power than any other portion of the
system and therefore must deal with greater voltages and/or currents. Also, because of its relative design
simplicity, a system's power supply may not receive the engineering attention it deserves, most of the
engineering focus devoted to more glamorous parts of the system.

Active components

Active components (amplification devices) tend to fail with greater regularity than passive (non-amplifying)
devices, due to their greater complexity and tendency to amplify overvoltage/overcurrent conditions.
Semiconductor devices are notoriously prone to failure due to electrical transient (voltage/current surge)
overloading and thermal (heat) overloading. Electron tube devices are far more resistant to both of these
failure modes, but are generally more prone to mechanical failures due to their fragile construction.

Passive components

Non-amplifying components are the most rugged of all, their relative simplicity granting them a statistical
advantage over active devices. The following list gives an approximate relation of failure probabilities (again,
top being the most likely and bottom being the least likely):
 • Capacitors (shorted), especially electrolytic capacitors. The paste electrolyte tends to lose moisture
with age, leading to failure. Thin dielectric layers may be punctured by overvoltage transients.
• Diodes open (rectifying diodes) or shorted (Zener diodes).
• Inductor and transformer windings open or shorted to conductive core. Failures related to overheating
(insulation breakdown) are easily detected by smell.
• Resistors open, almost never shorted. Usually this is due to overcurrent heating, although it is less
frequently caused by overvoltage transient (arc-over) or physical damage (vibration or impact).
Resistors may also change resistance value if overheated!

Likely failures in unproven systems

"All men are liable to error;"

John Locke

Whereas the last section deals with component failures in systems that have been successfully operating for
some time, this section concentrates on the problems plaguing brand-new systems. In this case, failure modes
are generally not of the aging kind, but are related to mistakes in design and assembly caused by human
beings.

Wiring problems

In this case, bad connections are usually due to assembly error, such as connection to the wrong point or poor
connector fabrication. Shorted failures are also seen, but usually involve misconnections (conductors
inadvertently attached to grounding points) or wires pinched under box covers.

Another wiring-related problem seen in new systems is that of electrostatic or electromagnetic interference
between different circuits by way of close wiring proximity. This kind of problem is easily created by routing
sets of wires too close to each other (especially routing signal cables close to power conductors), and tends to
be very difficult to identify and locate with test equipment.

Power supply problems

Blown fuses and tripped circuit breakers are likely sources of trouble, especially if the project in question is an
addition to an already-functioning system. Loads may be larger than expected, resulting in overloading and
subsequent failure of power supplies.

Defective components

In the case of a newly-assembled system, component fault probabilities are not as predictable as in the case of
an operating system that fails with age. Any type of component -- active or passive -- may be found defective
or of imprecise value "out of the box" with roughly equal probability, barring any specific sensitivities in
shipping (i.e fragile vacuum tubes or electrostatically sensitive semiconductor components). Moreover, these
types of failures are not always as easy to identify by sight or smell as an age- or transient-induced failure.

Improper system configuration

Increasingly seen in large systems using microprocessor-based components, "programming" issues can still
plague non-microprocessor systems in the form of incorrect time-delay relay settings, limit switch calibrations,
and drum switch sequences. Complex components having configuration "jumpers" or switches to control
behavior may not be "programmed" properly.

Components may be used in a new system outside of their tolerable ranges. Resistors, for example, with too
low of power ratings, of too great of tolerance, may have been installed. Sensors, instruments, and controlling
mechanisms may be uncalibrated, or calibrated to the wrong ranges.

Design error
Perhaps the most difficult to pinpoint and the slowest to be recognized (especially by the chief designer) is the
problem of design error, where the system fails to function simply because it cannot function as designed. This
may be as trivial as the designer specifying the wrong components in a system, or as fundamental as a system
not working due to the designer's improper knowledge of physics.

I once saw a turbine control system installed that used a low-pressure switch on the lubrication oil tubing to
shut down the turbine if oil pressure dropped to an insufficient level. The oil pressure for lubrication was
supplied by an oil pump turned by the turbine. When installed, the turbine refused to start. Why? Because
when it was stopped, the oil pump was not turning, thus there was no oil pressure to lubricate the turbine. The
low-oil-pressure switch detected this condition and the control system maintained the turbine in shutdown
mode, preventing it from starting. This is a classic example of a design flaw, and it could only be corrected by a
change in the system logic.

While most design flaws manifest themselves early in the operational life of the system, some remain hidden
until just the right conditions exist to trigger the fault. These types of flaws are the most difficult to uncover, as
the troubleshooter usually overlooks the possibility of design error due to the fact that the system is assumed
to be "proven." The example of the turbine lubrication system was a design flaw impossible to ignore on start-
up. An example of a "hidden" design flaw might be a faulty emergency coolant system for a machine, designed
to remain inactive until certain abnormal conditions are reached -- conditions which might never be
experienced in the life of the system.

Likely failures in proven systems

The following problems are arranged in order from most likely to least likely, top to bottom. This order has
been determined largely from personal experience troubleshooting electrical and electronic problems in
automotive, industry, and home applications. This order also assumes a circuit or system that has been proven
to function as designed and has failed after substantial operation time. Problems experienced in newly
assembled circuits and systems do not necessarily exhibit the same probabilities of occurrence.

Operator error

A frequent cause of system failure is error on the part of those human beings operating it. This cause of
trouble is placed at the top of the list, but of course the actual likelihood depends largely on the particular
individuals responsible for operation. When operator error is the cause of a failure, it is unlikely that it will be
admitted prior to investigation. I do not mean to suggest that operators are incompetent and irresponsible --
quite the contrary: these people are often your best teachers for learning system function and obtaining a
history of failure -- but the reality of human error cannot be overlooked. A positive attitude coupled with good
interpersonal skills on the part of the troubleshooter goes a long way in troubleshooting when human error is
the root cause of failure.

Bad wire connections

As incredible as this may sound to the new student of electronics, a high percentage of electrical and electronic
system problems are caused by a very simple source of trouble: poor (i.e. open or shorted) wire connections.
This is especially true when the environment is hostile, including such factors as high vibration and/or a
corrosive atmosphere. Connection points found in any variety of plug-and-socket connector, terminal strip, or
splice are at the greatest risk for failure. The category of "connections" also includes mechanical switch
contacts, which can be thought of as a high-cycle connector. Improper wire termination lugs (such as a
compression-style connector crimped on the end of a solid wire -- a definite faux pas) can cause high-
resistance connections after a period of trouble-free service.

It should be noted that connections in low-voltage systems tend to be far more troublesome than connections
in high-voltage systems. The main reason for this is the effect of arcing across a discontinuity (circuit break) in
higher-voltage systems tends to blast away insulating layers of dirt and corrosion, and may even weld the two
ends together if sustained long enough. Low-voltage systems tend not to generate such vigorous arcing across
the gap of a circuit break, and also tend to be more sensitive to additional resistance in the circuit. Mechanical
switch contacts used in low-voltage systems benefit from having the recommended minimum wetting current
conducted through them to promote a healthy amount of arcing upon opening, even if this level of current is
not necessary for the operation of other circuit components.

Although open failures tend to more common than shorted failures, "shorts" still constitute a substantial
percentage of wiring failure modes. Many shorts are caused by degradation of wire insulation. This, again, is
especially true when the environment is hostile, including such factors as high vibration, high heat, high
humidity, or high voltage. It is rare to find a mechanical switch contact that is failed shorted, except in the
case of high-current contacts where contact "welding" may occur in overcurrent conditions. Shorts may also be
caused by conductive buildup across terminal strip sections or the backs of printed circuit boards.

A common case of shorted wiring is the ground fault, where a conductor accidently makes contact with either
earth or chassis ground. This may change the voltage(s) present between other conductors in the circuit and
ground, thereby causing bizarre system malfunctions and/or personnel hazard.

Power supply problems

These generally consist of tripped overcurrent protection devices or damage due to overheating. Although
power supply circuitry is usually less complex than the circuitry being powered, and therefore should figure to
be less prone to failure on that basis alone, it generally handles more power than any other portion of the
system and therefore must deal with greater voltages and/or currents. Also, because of its relative design
simplicity, a system's power supply may not receive the engineering attention it deserves, most of the
engineering focus devoted to more glamorous parts of the system.

Active components

Active components (amplification devices) tend to fail with greater regularity than passive (non-amplifying)
devices, due to their greater complexity and tendency to amplify overvoltage/overcurrent conditions.
Semiconductor devices are notoriously prone to failure due to electrical transient (voltage/current surge)
overloading and thermal (heat) overloading. Electron tube devices are far more resistant to both of these
failure modes, but are generally more prone to mechanical failures due to their fragile construction.

Passive components

Non-amplifying components are the most rugged of all, their relative simplicity granting them a statistical
advantage over active devices. The following list gives an approximate relation of failure probabilities (again,
top being the most likely and bottom being the least likely):

• Capacitors (shorted), especially electrolytic capacitors. The paste electrolyte tends to lose moisture
with age, leading to failure. Thin dielectric layers may be punctured by overvoltage transients.
• Diodes open (rectifying diodes) or shorted (Zener diodes).
• Inductor and transformer windings open or shorted to conductive core. Failures related to overheating
(insulation breakdown) are easily detected by smell.
• Resistors open, almost never shorted. Usually this is due to overcurrent heating, although it is less
frequently caused by overvoltage transient (arc-over) or physical damage (vibration or impact).
Resistors may also change resistance value if overheated!

Potential pitfalls

Fallacious reasoning and poor interpersonal relations account for more failed or belabored troubleshooting
efforts than any other impediments. With this in mind, the aspiring troubleshooter needs to be familiar with a
few common troubleshooting mistakes.

Trusting that a brand-new component will always be good. While it is generally true that a new
component will be in good condition, it is not always true. It is also possible that a component has been mis-
labeled and may have the wrong value (usually this mis-labeling is a mistake made at the point of distribution
or warehousing and not at the manufacturer, but again, not always!).

Not periodically checking your test equipment. This is especially true with battery-powered meters, as
weak batteries may give spurious readings. When using meters to safety-check for dangerous voltage,
remember to test the meter on a known source of voltage both before and after checking the circuit to be
serviced, to make sure the meter is in proper operating condition.
Assuming there is only one failure to account for the problem. Single-failure system problems are ideal
for troubleshooting, but sometimes failures come in multiple numbers. In some instances, the failure of one
component may lead to a system condition that damages other components. Sometimes a component in
marginal condition goes undetected for a long time, then when another component fails the system suffers
from problems with both components.

Mistaking coincidence for causality. Just because two events occurred at nearly the same time does not
necessarily mean one event caused the other! They may be both consequences of a common cause, or they
may be totally unrelated! If possible, try to duplicate the same condition suspected to be the cause and see if
the event suspected to be the coincidence happens again. If not, then there is either no causal relationship as
assumed. This may mean there is no causal relationship between the two events whatsoever, or that there is a
causal relationship, but just not the one you expected.

Self-induced blindness. After a long effort at troubleshooting a difficult problem, you may become tired and
begin to overlook crucial clues to the problem. Take a break and let someone else look at it for a while. You will
be amazed at what a difference this can make. On the other hand, it is generally a bad idea to solicit help at
the start of the troubleshooting process. Effective troubleshooting involves complex, multi-level thinking, which
is not easily communicated with others. More often than not, "team troubleshooting" takes more time and
causes more frustration than doing it yourself. An exception to this rule is when the knowledge of the
troubleshooters is complementary: for example, a technician who knows electronics but not machine operation,
teamed with an operator who knows machine function but not electronics.

Failing to question the troubleshooting work of others on the same job. This may sound rather cynical
and misanthropic, but it is sound scientific practice. Because it is easy to overlook important details,
troubleshooting data received from another troubleshooter should be personally verified before proceeding.
This is a common situation when troubleshooters "change shifts" and a technician takes over for another
technician who is leaving before the job is done. It is important to exchange information, but do not assume
the prior technician checked everything they said they did, or checked it perfectly. I've been hindered in my
troubleshooting efforts on many occasions by failing to verify what someone else told me they checked.

Being pressured to "hurry up." When an important system fails, there will be pressure from other people to
fix the problem as quickly as possible. As they say in business, "time is money." Having been on the receiving
end of this pressure many times, I can understand the need for expedience. However, in many cases there is a
higher priority: caution. If the system in question harbors great danger to life and limb, the pressure to "hurry
up" may result in injury or death. At the very least, hasty repairs may result in further damage when the
system is restarted. Most failures can be recovered or at least temporarily repaired in short time if approached
intelligently. Improper "fixes" resulting in haste often lead to damage that cannot be recovered in short time, if
ever. If the potential for greater harm is present, the troubleshooter needs to politely address the pressure
received from others, and maintain their perspective in the midst of chaos. Interpersonal skills are just as
important in this realm as technical ability!

Finger-pointing. It is all too easy to blame a problem on someone else, for reasons of ignorance, pride,
laziness, or some other unfortunate facet of human nature. When the responsibility for system maintenance is
divided into departments or work crews, troubleshooting efforts are often hindered by blame cast between
groups. "It's a mechanical problem . . . it's an electrical problem . . . it's an instrument problem . . ." ad
infinitum, ad nauseum, is all too common in the workplace. I have found that a positive attitude does more to
quench the fires of blame than anything else.

On one particular job, I was summoned to fix a problem in a hydraulic system assumed to be related to the
electronic metering and controls. My troubleshooting isolated the source of trouble to a faulty control valve,
which was the domain of the millwright (mechanical) crew. I knew that the millwright on shift was a
contentious person, so I expected trouble if I simply passed the problem on to his department. Instead, I
politely explained to him and his supervisor the nature of the problem as well as a brief synopsis of my
reasoning, then proceeded to help him replace the faulty valve, even though it wasn't "my" responsibility to do
so. As a result, the problem was fixed very quickly, and I gained the respect of the millwright.
Chapter 9: CIRCUIT SCHEMATIC SYMBOLS

Wires and connections

Older electrical schematics showed connecting wires crossing, while non-connecting wires "jumped" over each
other with little half-circle marks. Newer electrical schematics show connecting wires joining with a dot, while
non-connecting wires cross with no dot. However, some people still use the older convention of connecting
wires crossing with no dot, which may create confusion.

For this reason, I opt to use a hybrid convention, with connecting wires unambiguously connected by a dot,
and non-connecting wires unambiguously "jumping" over one another with a half-circle mark. While this may
be frowned upon by some, it leaves no room for interpretational error: in each case, the intent is clear and
unmistakable:
Power sources

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< Back

Resistors
Capacitors

Inductors
Mutual inductors

Switches, hand actuated

Switches, process actuated
It is very important to keep in mind that the "normal" contact status of a process-actuated switch refers to its
status when the process is absent and/or inactive, not "normal" in the sense of process conditions as expected
during routine operation. For instance, a normally-closed low-flow detection switch installed on a coolant pipe
will be maintained in the actuated state (open) when there is regular coolant flow through the pipe. If the
coolant flow stops, the flow switch will go to its "normal" (unactuated) status of closed.

A limit switch is one actuated by contact with a moving machine part. An electronic limit switch senses
mechanical motion, but does so using light, magnetic fields, or other non-contact means.

Switches, electrically actuated (relays)

Connectors
Diodes

Transistors, bipolar
Transistors, junction field-effect (JFET)

Transistors, insulated-gate field-effect (IGFET or MOSFET)

Transistors, hybrid

Thyristors
Integrated circuits
Electron tubes
 Chapter 10: PERIODIC TABLE OF THE ELEMENTS
Table (landscape view)
Table (portrait view)