210

Approximation
of Fractional Capacitors
(l/.r)~ by a Regular Newton Process
G. E. CARLSON,

MEMBER, IEEE, AND C. A. HALIJAH,

Summary-This
paper exhibits a third-order
Newton process
for approximating
(I/.s)~~, the general fractional capacitor, for any
integer R > 1. The approximation is based on predistortion
of the
algebraic expressionf(x)
= P - a = 0. The resulting approximation
in real variables (resistive networks) has the unique property of
preserving upper and lower approximations
to the nth root of the
real number a. Any Newton process which possesses this property
is regular.
The real variable theory of regular Newton processes is presented
because motivation lies in the real variable domain. Realizations of
l/3 and l/4 order fractional capacitor approximations are presented.

RACTIONAL
operators have been considered long
ago by Riemann and Liouville [I]. Heaviside [2]
F
noted that the input impedance of an infinite RC
cable is a.
Network specialists have directed some
attention to the fundamental approximation problem of
fractional operators. Recent contributions by Lerner [3]
and Pierre [4] employ logarithmic potential methods.
There exists much interest in diffusion problems [5] and
distributed RC networks.
This paper displays a small facet of a non-log-potential
method. Driving point impedances s, so, s-l are to be
augmented by the fractional capacitors (l/s).
These,
in turn, can be converted into fractional operators by
standard operational amplifier techniques. No loss in
generality occurs by not considering the fractional inductors .? which can be realized by RL networks.
Some work has preceded this paper. Carlson and
Halijak [6], [7], show applications of a Newton process
for approximating
the characteristic
impedance of a
balanced, symmetric RC lattice. When dealing with
higher-order fractional capacitors, the Newton process
provides approximations, whereas the classical iterative
method based on characteristic impedances does not
even exist.
However, a richness of possibilities [8] occurs which is
frustrating. For instance, there exist n ways of predistorting f(x) = x* - a by repeated division with x, and
all yield different approximations to the nth root of a.
Their
number
can be reduced to one for each n by admitting only regular Newton processes.
A regular Newton process preserves upper and lower
approximations.
For nth root problems these regular
processes are of third order. Such a process is optimal in
Manuscript
received May 27, 1963; revised November 1, 1963,
and December lo,, 1963.
C. A. Halijak 1s with the Kansas State University, Manhattan,
Kans.
G. E. Carlson is with Systems Division, Autonetics, a Division
of North American Aviation, Inc., Anaheim, Calif.

MEMBER, IEEE

the sense that the convergence rate at the root is the

largest possible in the set of predistorted functions and
no overshoot or undershoot occurs at the beginning of the
process. The highest convergence rate is attained by the
upper approximation.
PREDISTORTION OF (x" -

a) FOR ODD n

The derivation of a Newton process is discussed in

books on numerical analysis [S], [9], and familiarity with
the derivation can be presumed. The notation of Hildebrand [9] will be closely followed in ensuing discussions
of convergence an.d order of approximation in the real
variable (resistive network) domain.
Consider the problem of finding the nth root of the
real number a. The mth predistortion function is defined
to be
Olm<n-1.

L&(x) = (x - a>/xm,

(1)

Choice of m is dictated by a desire for local linearity at

the root, i.e., f;!((~) = 0. Calculation shows that the
condition is satisfied only for n = 2m + 1. Only odd roots
can be considered because of a contradiction.
PREDISTORTION OF (I(;" -

a) FOR EVEN n

Even-order roots require a more elaborate procedure

for achieving a zero of the second derivative of the predistorted function at the root. Consider the expression

f(x, :A)= y
A lengthy calculation
(&I/ =
- o( yields
f(a,

a) = (n -

+ 1%.

and substitution

(2)
of x = X =

2qn - n)cT-
+ (n -

2mn - n)olnemel.

(3)

Setting the coefficients of powers of CYequal to zero yields

nothing worthwhile. However, rewriting yields
f(a,

a) = an-Q-2[(n2 -

2qn - n)
+ (72 -

2mn - n)d-m+].

(4)

Set q = m - 1 and obtain

f(a, a) = an-m-12n(n - 2~2).

(5)

In turn, the secon.d derivative is zero if n = 2m. The desired predistorted function then has the form

f(x, X) = *

+ x 9.

Authorized licensed use limited to: Brno University of Technology. Downloaded on May 28, 2009 at 10:10 from IEEE Xplore. Restrictions apply.

(6)

Carlson

1964

It is a simple observation
the Lanczos process [6] yield
Traubs [lo] researches have
to a paper written in 1694

and Halijak:

Approximation

that the above process and

the same iteration formula.
traced the Lanczos process
by the astronomer Halley.

CONDITIONS FOR CONVERGENCE AND REGULARITY

NEWTON PROCESS

OF A

n = 0, 1,2,3,

F&J,

...

Convergence implies that the present error

the previous error; that is

(7)

is less than

Ix,+1 - x,1 < 1% - X,-II.

211

Capacitors

It is apparent that
F(cr + h) A [;f:

-$JF(a

Proof that the approximation

of a regular Newton
process is of third order is presented. Consider the error
(Y - x~+~where (Y = a. Then
CY- xk+, = a - Xk + @gx;

(8)

F(xn-1).

G < .5&-c G-1.

(10)

choice of predistorted function yields fastest convergence.

Regularity depends on $, producing no change in sign.
The minimal condition on $, is that $, be a perfect
square up to a positive multiplicative constant.
RAPID CONVERGENCE OF THE UPPER APPROXIMATION

A proof is now given that the upper approximation has

a faster convergence rate than the lower approximation.
It suffices to show that F(a + h) < F(a - h) for a
positive number h and (Y = a. To expedite the proof
one can assume that h is small and higher powers can be
neglected.
For n = 2m + 1, calculation yields

Appropriate
yields

(13)

substitution

and neglecting

Xk

f;,,

)f.

(17)

Xk

f(a) = f(Xk) + (a - Xk)f(Xk)

+ (a - Xkj2fl,(xk) + b - xJ3 f(fk)
2!

powers of h

(18)

3!

yields

-(a ;,x*J fll(xk) _ (a yc)s fl,,(gJ

a - x:k+1=

F(x) = x - (f/f)
(11) Since
F(x) = ff/ff.
(12)
One can deduce (since f = f = 0 at the root) that this

= ~
m + 1

Use of the Taylor series

The necessary condition for convergence is that IF(x) 1 < 1.

The condition for regularity is that F(x) does not change
sign when x belongs to a neighborhood that contains the
root.
The Newton process can now be linked to these results.
It is apparent that the Newton process on f(x) = 0
yields

F(x)

(9)

Use of Taylor series with remainder yields

x,+1 - x, = (xn - xn-JWJ,

(16)

h).

ORDER OF THE REGULAR NEWTON PROCESS

But
x,+1 - XVI= F(x,)

Therefore the desired result is at hand. This proof suffices

for even nth roots. This is not obvious and the result of
a subsequent section will clarify this statement.

Hildebrand [9] gives necessary conditions for convergence of any iterative process generated by the equation
2 = F(x). The iterative process is then, given zo,
x7&+1

of Fractional

f(G)

(19)

f(Xk) = f(a) + (2, - a)f(%)

= (Xk- df(%j

(20)

the error expression becomes

a: - xk+l = (a - Xkj33f(d

- fGk).
6fh)

(21)

Points & and 7]kbelong to the interval whose end points

are xk and o(.
THE REGULAR NEWTON PROCESS FOR a

An explicit iteration procedure for even and odd roots

is found in this section. One formula is produced for both
cases but this cannot be surmised at the beginning.
Even-order roots are considered first. The root X can
be considered a constant when constructing the Newton process. Then set X = x, since the current x is an
approximation to the root. The predistorted function is
@a

F(cu + h) G
F(LY -

h) * e

y = (2m + lj/(m

[yaynh]

(14)

[yr.;hy

(15)

+ 1).

Subjecting this function

setting X = x yields
F(x)

to a Newton process and then

(2m - 1)~~ + (2772+ l>a

= X0 (2m + 1)~~ + (2m - lja

Authorized licensed use limited to: Brno University of Technology. Downloaded on May 28, 2009 at 10:10 from IEEE Xplore. Restrictions apply.

(23)

212

IEEE

TRANSACTIONS

ON CIRCUIT

Setting n = 2m yields
F(x)

= x.

The predistorted

(n - 1)X + (n + l)a
(n + 1)~ + (n - lja

(24)

function for odd roots is

f(x)= +y a.

(25)

THEORY

June

The ladder networks which realize these functions as

driving-point impedances are shown in Fig. 1. Note that
the network resulting from the second iteration has resistors, inductors and capacitors.
Approximating networks for ql/s
are derived in the
same manner. The initial assumption x0 = 1 gives a
first iterate,

Subjecting this function to a Newton process yields

F(x)

= x*7+

2m+1+ (m + 1)a
1) an+1 + ma.
X

(26)

The second iterate is

22 =

Setting n = 2m + 1 yields

729~B+15450s~+58375s4+91500s~+69975s2+24090s+2025
2025sa+24090:r6+69975s4+91500s3+58375s2+15450s+729

Networks developed are shown in Fig. 2. Again RLC

components
appear in the network resulting from the
(n + 1)~ + (n - l)a
second iteration.
Appearance of inductors in the second iterates forces
Note that (24) and (27) are the same for both even and
odd roots. This is the reason for not discussing both cases an investigation of physical realizability. Proof that the
in the section on convergence rate of the upper ap- real parts of the fractional impedance iterates are positive
on the jw axis is long and intricate. The appendix gives
proximation.
an outline of lemmas leading to a theorem equivalent to
the positiveness of the real part.
F(xj

EXAMPLES

= x. b -

OF FRACTIONAL

1)~ + (n + lb.

(27)

CAPACITOR APPROXIMATIONS

If the real variable a is replaced by l/s, the regular

r. : 1
INITIAL
ASSUMPTION
Newton process develops approximations to fractional
capacitors in the form of ratios of polynomials in s.
I
Networks can be developed which have driving point
impedances approximating
these fractional capacitors.
The convergence and rate of convergence of these approximations of fractional capacitors cannot be determined in the same manner as the functions of a real
variable. The full problem is not solved here and requires
further investigation.
Networks have been previously constructed for the
approximation of fl
when the initial assumption is
x0 = 1, [6]. These approximate fractional capacitors were
used on an analog computer to simulate the operators
fi
and 4. The results [6] show that they are good
with driving-point
approximations of the operators fl
and 4.
These Fig. l-Networks
+l/s*
networks are cascades of balanced symmetric lattices
with unit resistors in the parallel arms and unit capacitors
)(a i I
FIRST
in the cross arms. The cascade is terminated in a unit re- INITIAL ASSUMPTION
sistor. The number of lattices in cascade is nk = 3nkw1 + 1,
where no = 0 and k = 1, 2, 3, . . . , is the number of times
the Lanczos process (equivalent to a regular Newton
process) has been iterated.
Networks will now be determined for fractional capacitors of orders + and $. Use of a regular Newton process SECOND ITERATION
and an initial assumption x,, = 1 yields

FIRST

X,St2
2s +I

ITERATION
06667

impedances approximating

ITERATION

3st s
*t=TxG

(2%
as the first iterate approximating
iterate approximating $/G is

+a.

The second

s5 + 24s4 + 80s3 + 92s' + 42s + 4

X2 = 4s" + 42.~~ + 922 + 8Oc? + 24s + 1

c2g)

Fig. a-Networks

with driving point impedances approximating

i/l/,.

Authorized licensed use limited to: Brno University of Technology. Downloaded on May 28, 2009 at 10:10 from IEEE Xplore. Restrictions apply.

1964

Carlson

and Halijak:

Approximation

of Fractional

213

Capacitors

Lemma 5: If

CONCLUSIONS

The real variable (resistive network) theory of a regular

Newton process for the nth root has been presented. Because this process generates rational functions, it is
natural to ask for the nth root of l/s. Such is called a
fractional capacitor of nth order generated by a regular
Newton process.
The first test in the physical realizability of all regular
fractional capacitor approximants, the test for positiveness
of their real parts on the j axis, has been accomplished.

i - 2n/(n2 - 1) -c em-, .5 01 f
n22
then 8, > -2n/(n
Lemma 6: If

- 1).

- Zn/(n - 1) < em-, 5 0

/

,
then -2n/(n2

n L 2,

and

&,-I = 0

at

= 0

and

co

- 1) < 0, 5 0, and 0, = 0 at w = 0, 03.

APPENDIX
OUTLINE OF PROOF FOR POSITIVENESS OF REAL PART OF
ANY FRACTIONAL
IMPEDANCE APPROXIMATION

The regular Newton process yields the iteration formula

jw(n - l>[xm-l(jw)ln + (n + 1)
xm(jw) = xm-l(jw) jw(n + l)[x,-,(jw)ln

+ (n - 1)

= Ameism= (a, + jbJl(aZ + G).

The angular frequency o is restricted to the interval
(0, ~0). The list of lemmas needed for proof of the positive
real part property is now exhibited,
Lemma 1: If n 1 2, then
(-2n/(n2
- 1) < (-n/an).
Lemma 2: If

- (7r/2)

(-r/n)

<

, then

- 1) < 8, < 0

-2n/(n

n>2
[J

1t$ = 0

at

w = 0

and

.
03I

Lemma 3: If

n22

I -2n/(n

then

a, > 0

1) < em-* < 0I

where tan e, = b,/a,.

The conditions of Lemma 3 are hypothetical and the remaining lemmas show that the conditions are real.
Lemma

4: If
n22
-2n/(d

1) < em+ 5 0

.e,-, = 0, at w = 0 and

,
03I

then

i 8, = 0--s/2at w
5 =8,05 and
0

If x,, = 1 and n 2 2, then -7r/2

m > 0.

< 8, I 0

Proof: By Lemma 2, if x0 = 1, n 2 2, then B0 = 0,

- 1) < 8, _< 0 and & = 0 when w = 0 and m .
By Lemma 6, if -2n/(n
- 1) < B,-, I 0, n 2 2,
and e,,,+ = 0 when w = 0 and a, then -2n/(n
- 1) <
e, 5 0, and 8, = 0, at w = 0, m. Then by induction
-2n/(n
- 1) < 0, < 0 for all m 2 0. By Lemma 1,
if n 2 2, then -n/2 < -2n/(n
- 1). Therefore -r/2
<
8, I 0 for all m 2 0.
-2n/(n

A proof that all approximants are positive real functions

in the right half plane has been accomplished similarly
and the lengthy proof is presented in G. E. Carlsons
dissertation.

REFERENCES

eo = 0

Xo--1

Theorem:

for all x,(ju),

I-

CO

[l] E. Hille, Functional

Analysis and Semi-Groups,
American
Mathematical
Society Colloquium
Publications,
New York,
N. Y., vol. 31, sect. 21.12, pp. 439-443; 1948.
[2] 0. Heaviside, Electromagnetic
Theory, Dover Publications,
New York, N. Y., pp. 128-129; 1950.
[3] R. M. Lerner, The design of a constant-angle or power-law
IEEE TRANS. ON CIRCUIT THEORY,
magnitude impedance,
vol. CT-lo, pp. 98-107,; March, 1963.
[4] D. A. Pierre, Transient
Analysis and Synthesis of Linear
Control Systems Containing Distributed Parameter Elements,!
Ph.D. Dissertation, Dept. of Electrical Engineering, The, Umversity of Wisconsm, Madison, Ch. 7 and 8; 1962. (Available
from University Microfilms! Ann Arbor, Michigan.)
of Nuclear Excursions to
[5] J. R. Fagan, An Investigation
Determine
the Self-shutdown
Effects in Thermal,
Heterogeneous, Highly Enriched, Liquid-moderated
Reactors, M.S.
Thesis, Dept. of Nuclear Engineering, Kansas State University,
Manhattan;
1962.
of the fractional
[6] G. E. Carlson, C. A. Halijak, Simulation
derivative operator V% and the fractional integral operator
*,I
Kansas State Univ. Bulletin, vol. 45, pp. l-22; July,
1961.
[7] -,
Approximations
of fixed impedances. IRE TRANS. ON
CIRCUIT THEORY, vol. CT-g,, pp. 302-303; September, 1962.
[8] J. F. Traub, Comparison of iterative methods for the calculation of n-th roots, Communications
of the Association for
Computing Machinery, vol. 4, pp. 143-145; March, 1961.
Introduction
to Numerical
Analysis,
[9] F. B. Hildebrand,
McGraw-Hill
Book Co., Inc., New York, N. Y., pp. 443450;
1956.
[lo] J. F. Traub, On a class of iteration formulas and some historical notes, Communications of the Association of Computing
Machinery, vol. 4, pp. 276-278; June, 1961.

Authorized licensed use limited to: Brno University of Technology. Downloaded on May 28, 2009 at 10:10 from IEEE Xplore. Restrictions apply.