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Contents

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxi
About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xxiii

1 Mathematical Postulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Special Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Gamma Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.2 Beta Function. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1.3 Mittag-Leffler Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.4 Hypergeometric Function . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.5 Error Function and Complementary Error Function . . . . 4
1.1.6 Bessel Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Definitions and Properties of Fractional-Order Operators . . . . . . 6
1.2.1 Grunwald-Letnikov (GL) Fractional-Order Derivative . . 6
1.2.2 Riemann-Liouville (RL) Fractional-Order Integral. . . . . . 7
1.2.3 Riemann-Liouville Fractional-Order Derivative. . . . . . . . 8
1.2.4 Caputo Fractional-Order Derivative . . . . . . . . . . . . . . . . . 8
1.2.5 Properties of GL, RL, and Caputo Fractional-Order
Derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.3 Laplace Transforms of Fractional-Order Operators . . . . . . . . . . 10
1.4 Fractional-Order Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.5 Fractional-Order PIλ, PDµ, and PIλDµ Controller . . . . . . . . . . . . . 14
1.6 Triangular Orthogonal Functions . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.6.1 Review of Block Pulse Functions . . . . . . . . . . . . . . . . . . . 15
1.6.2 Complementary Pair of Triangular Orthogonal
Function Sets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.6.3 Expansion of Two Variable Function via TFs . . . . . . . . . 20
1.6.4 The TF Estimate of the First-Order
Integral of Function f ðtÞ . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.6.5 The TF Estimate of Riemann-Liouville
Fractional-Order Integral of f ðtÞ . . . . . . . . . . . . . . . . . . . . 24
1.6.6 Error Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
1.6.7 MATLAB® Code for Generalized Triangular
Function Operational Matrices . . . . . . . . . . . . . . . . . . . . . 29
1.7 Triangular Strip Operational Matrices for Classical
and Fractional Derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

vii
viii Contents

1.7.1 Operational Matrix for Classical Derivative . . . . . . . . . . 31

1.7.2 Operational Matrix for Fractional-Order Derivative . . . 33
1.7.3 MATLAB Code for Triangular Strip
Operational Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .34
2 Numerical Method for Simulation of Physical Processes
Represented by Weakly Singular Fredholm, Volterra,
and Volterra-Fredholm Integral Equations . . . . . . . . . . . . . . . . . . . . . 35
2.1 Existence and Uniqueness of Solution . . . . . . . . . . . . . . . . . . . . . 38
2.2 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . . 41
2.3 Convergence Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.4 Numerical Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.4.1 Investigation of Validity and Accuracy . . . . . . . . . . . . . . 48
Example 2.1: The weakly singular (WS)
Fredholm-Hammerstein integral
equation (IE) of 2nd kind . . . . . . . . . . . . . . 48
Example 2.2: WS linear Fredholm IE of 2nd kind . . . . . 50
Example 2.3: WS Fredholm-Hammerstein
IE of 1st kind . . . . . . . . . . . . . . . . . . . . . . . . 50
Example 2.4: WS Volterra-Fredholm-Hammerstein
IE of 2nd kind. . . . . . . . . . . . . . . . . . . . . . . . 51
Example 2.5: WS Volterra-Hammerstein
IE of 2nd kind . . . . . . . . . . . . . . . . . . . . . . . 51
2.4.2 Numerical Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . 53
Example 2.6: WS linear Volterra-Fredholm IE
of 2nd kind . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.4.3 Application of Proposed Method to Physical
Process Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Application 2.1: Heat radiation in a
semi-infinite solid. . . . . . . . . . . . . . . . . . 54
Application 2.2: Hydrodynamics . . . . . . . . . . . . . . . . . . . 56
Application 2.3: Lighthill singular integral
equation. . . . . . . . . . . . . . . . . . . . . . . . . . 58
2.5 MATLAB® Codes for Numerical Experiments . . . . . . . . . . . . . . 61
2.6 Summary of Deliverables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .70
3 Numerical Method for Simulation of Physical Processes
Modeled by Abel’s Integral Equations . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.1 Existence and Uniqueness of Solution . . . . . . . . . . . . . . . . . . . . . 76
3.2 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . . 77
3.3 Convergence Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Contents ix

3.4 Numerical Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

3.4.1 Investigation of Validity and Accuracy . . . . . . . . . . . . . . 85
3.4.2 Numerical Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . 87
3.4.3 Application to Physical Process Models
Involving Abel’s Integral Equations. . . . . . . . . . . . . . . . . 89
Application 3.1: Cyclic voltammetry for the reversible
deposition of metals on a solid planar
macroelectrode . . . . . . . . . . . . . . . . . . . . 89
Application 3.2: Cyclic voltammetry for reversible
charge transfer at a planar
macroelectrode . . . . . . . . . . . . . . . . . . . . 90
Application 3.3: Potential step chronoamperometry
for an irreversible charge transfer
at a spherical electrode . . . . . . . . . . . . . 91
Application 3.4: Cyclic voltammetry for
an irreversible charge transfer
at a spherical electrode . . . . . . . . . . . . . 92
Application 3.5: Cyclic voltammetry for the catalytic
mechanism at a planar electrode . . . . . 93
3.5 MATLAB® Codes for Numerical Experiments . . . . . . . . . . . . . . 96
3.6 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
4 Numerical Method for Simulation of Physical Processes
Described by Fractional-Order Integro-Differential Equations . . . 109
4.1 Existence and Uniqueness of Solution . . . . . . . . . . . . . . . . . . . . 110
4.2 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . 112
4.3 Convergence Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
4.4 Numerical Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Case study 4.1: Fractional-order Fredholm-Hammerstein
integro-differential equation . . . . . . . . . . . . . . . 122
Case study 4.2: Fractional order Volterra-Fredholm
integro-differential equation . . . . . . . . . . . . . . . 122
Case study 4.3: Fractional-order population growth model. . . 123
Case study 4.4: Fractional-order integro-differential
equations in anomalous diffusion process. . . . 126
4.5 MATLAB® Codes for Numerical Experiments . . . . . . . . . . . . . 128
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
5 Numerical Method for Simulation of Physical Processes
Represented by Stiff and Nonstiff Fractional-Order
Differential Equations, and Differential-Algebraic Equations. . . . 135
5.1 Existence and Uniqueness of Solution . . . . . . . . . . . . . . . . . . . . 136
x Contents

5.2 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . 138

5.3 Convergence Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
5.4 Numerical Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
5.4.1 Investigation of Validity and Accuracy . . . . . . . . . . . . . 140
Example 5.1: Simple linear multiorder Fractional
differential equation (FDE). . . . . . . . . . . . 140
Example 5.2: Complex linear high-order FDE . . . . . . . 142
Example 5.3: Complex linear low-order FDE . . . . . . . . 143
Example 5.4: Nonlinear multiorder FDE . . . . . . . . . . . . 144
Example 5.5: Linear multiorder FDE with
variable coefficients . . . . . . . . . . . . . . . . . . 144
Example 5.6: Linear fractional-order
differential-algebraic equation
(FDAEs) . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Example 5.7: Nonlinear FDAEs . . . . . . . . . . . . . . . . . . . 146
Example 5.8: System of nonlinear FDEs. . . . . . . . . . . . . 147
5.4.2 Application to Physical Processes Described
by FDEs and FDAEs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Application 5.1: Bagley-Torvik equation . . . . . . . . . . . . 147
Application 5.2: Two-point Bagley-Torvik equation . . 148
Application 5.3: Plant-herbivore model . . . . . . . . . . . . . 148
Application 5.4: Financial mode . . . . . . . . . . . . . . . . . . . 151
Application 5.5: Epidemiological model for computer
viruses . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Application 5.6: Chemical Akzo Nobel problem . . . . . 156
Application 5.7: Robertson’s system . . . . . . . . . . . . . . . 160
Application 5.8: High Irradiance Responses (HIRES)
of photo morphogenesis . . . . . . . . . . . 160
®
5.5 MATLAB Codes for Numerical Experiments . . . . . . . . . . . . . 173
5.6 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
6 Numerical Method for Simulation of Fractional Diffusion-Wave
Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
6.1 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . 192
6.2 Convergence Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
7 Identification of Fractional Order Linear and Nonlinear
Systems from Experimental or Simulated Data. . . . . . . . . . . . . . . . . 199
7.1 Fractional Order System (FOS) Identification using TFs . . . . . 201
7.1.1 Linear FOS Identification. . . . . . . . . . . . . . . . . . . . . . . . . 201
7.1.2 Nonlinear FOS Identification . . . . . . . . . . . . . . . . . . . . . 204
Contents xi

7.2 Simulation Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

Case study 7.1: Identification of Linear Single Input Single
Output (SISO) FOS . . . . . . . . . . . . . . . . . . . . . . .206
Case study 7.2: Identification of Linear SISO Integer Order
System (IOS). . . . . . . . . . . . . . . . . . . . . . . . . . . . .207
Case study 7.3: Identification of Linear Multi-Input
Single Output IOS . . . . . . . . . . . . . . . . . . . . . . . .209
Case study 7.4: Identification of Nonlinear SISO FOS . . . . . . . .214
Case study 7.5: Verification of applicability of proposed
identification method for sinusoidal signal,
square wave signal, Sawtooth wave signal,
step signal, pseudo random binary signal . . . .216
7.3 MATLAB Codes for Simulation Examples . . . . . . . . . . . . . . . . . 218
7.4 Summary of Chapter Deliverables. . . . . . . . . . . . . . . . . . . . . . . . 232
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
8 Design of Fractional Order Controllers using Triangular Strip
Operational Matrices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
8.1 Triangular Strip Operational Matrices–Based Fractional
Order Controller Design Method. . . . . . . . . . . . . . . . . . . . . . . . . 237
8.2 Constrained Nonlinear Optimization . . . . . . . . . . . . . . . . . . . . . 242
8.2.1 Luus-Jaakola (LJ) Multipass Optimization Method . . . 242
8.2.2 Particle Swarm Optimization Method . . . . . . . . . . . . . . 244
8.3 Simulation Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
8.3.1 Design of Robust Fractional PIλDµ Controller
for a Heating Furnace System . . . . . . . . . . . . . . . . . . . . . 246
8.3.2 Design of Fractional Order PIλDµDµ2 Controller
for Automatic Voltage Regulator System . . . . . . . . . . . 256
8.3.3 Design of Fractional Order PIλ Controller,
Fractional PDµ Controller, Fractional Order
PIλDµ Controller with Fractional Order Filter,
and Series Form of Fractional Order
PIλDµ Controller . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
8.4 MATLAB Codes for Simulation Examples . . . . . . . . . . . . . . . . . 265
8.5 Summary of Chapter Deliverables. . . . . . . . . . . . . . . . . . . . . . . . 279
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
9 Rational Integer Order System Approximation for Irrational
Fractional Order Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
9.1 The Proposed Integer-Order Approximation Method . . . . . . . 286
9.2 Simulation Example. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
9.3 MATLAB Codes for Simulation Example. . . . . . . . . . . . . . . . . . 305
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
xii Contents

10 Numerical Method for Solving Fractional-Order Optimal Control

Problems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
10.1 The Proposed Numerical Method . . . . . . . . . . . . . . . . . . . . . . . . 312
10.2 Simulation Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
Case study 10.1: Optimal control of linear time invariant
integer order system (IOS) . . . . . . . . . . . . . . . .316
Case study 10.2: Optimal control of linear time-varying
fractional-order system (FOS) . . . . . . . . . . . . .316
Case study 10.3: Optimal control of nonlinear FOS . . . . . . . . . .318
Case study 10.4: Optimal control of two-dimensional IOS . . . .320
10.3 MATLAB® Codes for Simulation Examples. . . . . . . . . . . . . . . . 321
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329
Preface

This book discusses significant applications of triangular functions in

simulation, identification, and control of fractional-order processes. Pro-
cesses exhibiting fractional-order dynamics are called fractional-order
processes. Fractional Calculus (FC) is an active branch of mathematical
analysis that deals with the theory of differentiation and integration of
arbitrary order. It is also known as Generalized Integral and Differential
Calculus, and Calculus of Arbitrary Order. The concept of the fractional-
order derivative was first discussed by Leibniz and L’Hospital almost three
hundred years ago (i.e., at the end of the seventeenth century), a time
when the foundations of the integer order calculus were developed by
Isaac Newton and Gottfried Wilhelm Leibniz. Leibniz introduced the
symbol dn f ðxÞ=dxn , n2N, to denote the nth derivative of a function f ðxÞ. In
Leibnizs’ letter to Guillaume de l’Hospital, dated 30 September 1695 (which
is considered as the date of birth of fractional calculus), he raised the
question about the possibility of generalizing the operation of classical
differentiation to noninteger orders. This question aroused l’Hospital’s
inquisitiveness and he replied to Leibniz with another question: “What
does dn f ðxÞ=dxn if n ¼ 1=2 mean?” Leibniz replied, “It will lead to a paradox
from which one day useful consequence will be drawn.” L’Hosptial’s
curiosity about the meaning of the semiderivative (i.e., dn f ðxÞ=dxn , n ¼ 1=2,
a fraction or rational number) gave rise to the name of this subject (FC), and
its name has remained the same, even though n can be any real number
(rational or irrational). Although the same name is used throughout this
book due to historical reasons, it should be understood to be noninteger
(arbitrary real number) calculus, to be exact. As a matter of fact, even
complex numbers can be allowed. Since the inception of FC, many great
mathematicians (pure and applied), such as N. H. Abel, M. Caputo, L. Euler,
A. K. Grunwald, J. Fourier, J. Hadamard, G. H. Hardy, O. Heaviside, H. J.
Holmgren, P. S. Laplace, G. W. Leibniz, A. V. Letnikov, J. Liouville, B.
Riemann, M. Riesz, and H. Weyl have contributed to this field. FC remained
unknown to many applied mathematicians, scientists, and engineers
because several definitions formulated for fractional-order derivative
worked only in some situations. The mathematical theory of the subject
seemed very different from that of integer order calculus. FC was considered
to be an abstract area involving only mathematical manipulation of little or
no use, and was thought to have no applications.
Almost three decades ago, the mathematics and applied mathematics
fraternity realized the potential of FC and started developing essential
mathematical theory to establish it. Since then, FC has emerged as an
important and efficient tool for the study of dynamical systems where

xiii
xiv Preface

classical calculus reveals strong limitations. The books and monographs of

Oldham and Spanier (1974), Oustaloup (1991, 1994, 1995), Miller and Ross
(1993), Samko, Kilbas, and Marichev (1993), Kiryakova (1994), Carpinteri
and Mainardi (1997), Podlubny (1999), and Hilfer (2000) have been instru-
mental in introducing FC to the pure and applied mathematics commu-
nity. FC has been applied in diffusion processes, modeling of the
mechanical properties of materials, signal processing, advection and dis-
persion of solutes in natural porous or fractured media, image processing,
modeling of the behavior of viscoelastic and viscoplastic materials under
external influences, pharmacokinetics, bioengineering, description of
mechanical systems subject to damping, relaxation, and reaction kinetics
of polymers, ultraslow processes, connections to the theory of random
walks, finance, control theory, and psychology. FC has substantial applica-
tions within the various fields of mathematics itself. One of the major
advantages of FC is that it includes the integer order calculus as a special
case (i.e., a superset of integer order calculus). Therefore, FC can accom-
plish what its counterpart cannot achieve, especially capturing the memory
and heredity of a process. FC is a useful and efficient tool to reveal many
phenomena in nature because nature has memory. We believe that FC will
be the only type of calculus in the future.
There are too many books available on the subject of FC. However, these
books separate out topics in a way that can be confusing to students and
less experienced researchers. There are some books addressing the “pure
mathematical” side of the problems without taking into consideration
those questions that arise in the applications mentioned earlier, and some
that present the engineer’s point of view without rigorous mathematical
justification. Whereas a unified approach to address a variety of topics
starting from theory to application along with source codes being available
is very much desirable for less experienced researchers, it will save their
time to be invested toward further advancements. All of our struggles at
one point of time as beginners and our efforts to make a way out gave us
an invaluable experience, one that impelled us to write this book.
An important goal of this book is to employ triangular orthogonal
functions and triangular strip operational matrices to devise new numer-
ical methods for simulation, identification, and control of fractional-order
processes. The use of orthogonal functions as bases of expansion for
squared integrable real-valued functions is a standard method in mathe-
matical analysis and computational techniques. Numerous sets of orthogo-
nal bases functions are available in mathematics. The existing sets of
orthogonal functions can be categorized into two classes. The first class
includes the classical sets of continuous functions such as sine-cosine
functions, Legendre, Laguerre, Chebyshev, Jacobi, and Hermite orthogonal
functions, and so on, which are continuous over their intervals of defini-
tion and consequently are well suited to approximate continuous func-
tions. The second class consists of piecewise constant functions with
Preface xv

inherent discontinuities. Walsh, block pulse, and Haar functions fall under
the second category. The triangular orthogonal function sets, which are the
foundation of most of numerical methods formulated in this book, are a
complementary pair of piecewise linear polynomial function sets evolved
from a simple dissection of block pulse function (BPF) set. The reason for
choosing orthogonal functions as basis of the numerical methods presented
in this book is that they can reduce the calculus of continuous dynamical
systems to an attractive algebra, that is, they can convert integral, integro-
differential, differential, differential-algebraic, and partial differential equa-
tions into a set of algebraic equations. The triangular functions are only
selected among the existing enormous orthogonal functions because it is
much easier to work with them than with others.
This book is organized into 10 chapters. The objectives, original contri-
butions, and key findings of each chapter are summarized in the following
paragraphs.
Chapter 1 is the backbone of the book, as it contains all of the mathematical
postulations used in the subsequent chapters of the book. The special math-
ematical functions that play a vital role in establishing the proper definition of
operators of fractional calculus are briefly reviewed. The most widely used
definitions and properties of fractional-order integrals and fractional-order
derivatives are provided. To analyze the behavior of linear lumped fractional-
order systems, the Laplace transforms of fractional-order operators are
derived, and then fractional-order systems are categorized along with a
discussion about their stability. Different types of fractional-order controllers
as well as advantages and disadvantages of the classical types are discussed.
Triangular orthogonal functions are presented along with approximation
formulae for estimating functions and fractional-order integrals. Finally,
triangular strip operational matrices, which are the basis of the proposed
robust controller tuning technique in Chapter 8, are derived from the classical
finite difference formula and the Grunwald-Letnikov fractional-order deriva-
tive. Source codes developed in MATLAB® for triangular function operational
matrices and triangular strip operational matrices are provided.
Weakly singular integral equations are extremely difficult to solve. In
Chapter 2, an effective numerical method is developed using triangular
orthogonal functions to solve weakly singular (WS) Fredholm, WS Volterra,
and WS Volterra-Fredholm integral equations. Mathematical theory regard-
ing the existence of unique solutions to weakly singular Volterra-Fredholm
integral equations is provided. The convergence of the approximate solution
to the actual solution is studied theoretically and numerically. The proposed
method is tested on a set of test problems and then applied to physical
process models described by weakly singular integral equations.
Abel’s integral equation, one of the very first integral equations, was
seriously investigated by Niels Henrik Abel in 1823 and by Liouville in
1832 as a fractional power of the operator of antiderivation. This equation is
encountered in the inversion of seismic travel times, stereology of spherical
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xvi Preface

particles, spectroscopy of gas discharges (more generally, “tomography” of

cylindrically or spherically symmetric objects like, e.g., globular clusters of
stars), and determination of the refractive index of optical fibers and
electrochemistry. In Chapter 3, a novel numerical method using triangular
orthogonal functions is developed to solve Abel’s integral equation (frac-
tional-order integral equation) of the first and second kind. It is proved that
Abel’s integral equations considered in this chapter have a unique solution
in the given interval. The convergence analysis is carried out theoretically
and numerically to prove that the proposed numerical algorithm can offer
accurate approximate solutions that are very close to the true solutions of
Abel’s integral equations under consideration, provided that a relatively
small step size is employed. A wide variety of Abel’s integral equations is
solved to demonstrate the applicability, accuracy, and stability of the pro-
posed numerical algorithm. Encouraged by this success on the test pro-
blems, the proposed numerical method is applied to solve problems in
electrochemistry, which are modeled by Abel’s integral equations. The
obtained results confirm the practical appropriateness of the numerical
algorithm for applications of Abel’s integral equations.
Integro-differential equations of fractional order find their applications
in heat transfer, thermodynamics, electrical conduction of polymers, and
many more. It is well known that most of physical process models invol-
ving fractional-order integro-differential equations do not have exact solu-
tions. This fact has been the driving force for numerous researchers to
conduct research toward the development of efficient numerical methods
to simulate such physical process models. The objective of Chapter 4 is to
propose a novel numerical method based on triangular orthogonal func-
tions for the numerical solutions of fractional-order integro-differential
equations such as Fredholm integro-differential equations of fractional
order, Volterra integro-differential equations of fractional order, and Fred-
holm-Volterra integro-differential equations of fractional order. It is theo-
retically shown that there exists a unique solution to the general form of
the system of fractional-order integro-differential equations considered in
this chapter. Convergence analysis is conducted to prove that in the limit
of step size tends to zero, the proposed numerical method ensures the
convergence of the approximate solution to the exact solution of fractional-
order integro-differential equations considered. Numerical examples as
well as physical process models involving fractional-order integro-differ-
ential equations are solved to demonstrate the effectiveness of the pro-
posed numerical method.
The development of a single numerical method that is able to solve
different forms of fractional-order differential equations and fractional-
order differential-algebraic equations is the prime objective of Chapter 5.
Before construction of the numerical method, it is shown that the general
form of system of fractional-order differential equations encompassing the
aforesaid different forms has a unique solution in the given interval.
Preface xvii

Convergence analysis is carried out to show that the approximate solution

obtained by the proposed method can approach the original solution as the
step size decreases to zero. The proposed method is applied to physical
process models such as the Bagley-Torvik equation, the two-point Bagley-
Torvik equation, the plant-herbivore model, the computer virus model, the
chemical Akzo Nobel problem, Robertson’s system describing the kinetics
of autocatalytic reaction, and the high irradiance response of photo mor-
phogenesis. In addition to the proposed method, the most popular semi-
analytical techniques such as the Adomian decomposition method (ADM),
the homotopy analysis method (HAM), and the fractional differential
transform method with Adomian polynomials (FDTM) are implemented
as well on physical process models involving a stiff system of differential
equations or stiff differential-algebraic equations. It is astonishing to note
that ADM, HAM, and FDTM fail to simulate those process models even in
the neighborhood of the initial time point 0, although they have success-
fully simulated many other physical process models. By contrast, the
proposed method is able to produce valid approximate solution not only
in the vicinity of the initial time point 0 but also in the desired time
interval, which can be quite a bit larger than [0, 1].
In Chapter 6, the triangular functions–based numerical method is for-
mulated to simulate fractional diffusion-wave equation. It is theoretically
proved that the proposed method converges the approximate solution to
the original solution of fractional diffusion-wave equation in the limit of
step size tends to zero.
Because the geometric and physical interpretation of fractional calculus
is not as distinct as integer calculus, it is difficult to model real systems as
fractional-order systems directly based on mechanistic analysis. Therefore,
system identification is a practical way to model a fractional-order system,
using experimental or simulated process data. Chapter 7 introduces an
arbitrary order (note that the order can be integer or noninteger) system
identification method based on the triangular orthogonal functions to
estimate parameters including arbitrary differential orders and initial con-
ditions of a model under consideration from experimental or simulated
data. Five identification problems encompassing integer- and noninteger-
order linear and nonlinear systems are given to validate the proposed
method. It is proved that the proposed method works well for various
kinds of input excitation signal such as step signal, pseudo random binary
signal, square wave signal, Sawtooth wave signal, and pulse signal. The
obtained results are compared with the results of some of the existing
numerical methods, and it is found that the proposed method demon-
strates superior performance over those methods.
To tackle plant uncertainty issues, many controller design methods are
developed. The convenient one among these methods is designing a robust
fractional PI λ Dμ controller. Chapter 8 proposes a simple tuning technique
aimed to produce a robust noninteger order PID controller exhibiting iso-
xviii Preface

damping property during the reparameterization of a plant. The required

robustness property is achieved by allowing the fractional PID control
system to imitate the dynamics of a reference system with Bode’s ideal
transfer function in its forward path. The objective of designing robust
controller by tracking the dynamics of reference control system is defined
mathematically as an H∞ -optimal control problem. Fractional differential
systems are transformed into algebraic equations by the use of triangular
strip operational matrices. The H∞ -optimal control problem is then changed
to an ∞-norm minimization of a parameter (KC ; KI ; Kd ; λ ; μ) varying square
matrix. Global optimization techniques; Luus-Jaakola direct searche, and
particle swarm optimization are employed to find the optimum values of
fractional PID controller parameters. The proposed method of control
system design is implemented in heating furnace temperature control,
automatic voltage regulator systems, and some integer and fractional-order
process models. Fractional PIλ, fractional PDµ, PIλDµDµ2, fractional PID with
fractional-order filter, and the series form of fractional PID controller are
designed as optimal controllers using the triangular strip operational
matrix–based control design method. The performance of the proposed
fractional-order controller tuning technique is found to be better than the
performance of some fractional-order controller tuning methodologies
reported in the literature. Triangular strip operational matrices proposed
from the perspective of mathematics (for the solution of fractional differen-
tial and partial differential equation) finds its elegant application in the
proposed method of control system design.
Chapter 9 presents a new numerical method to find an equivalent finite
dimensional integer order system for an infinite dimensional fractional-
order system. The approximated rational integer order system owns char-
acteristics close enough to that of irrational fractional-order system that can
be used in place of the original fractional-order system. In comparison to
Crone, Carlson, Charef, Matsuda, and continued fraction expansion
approximation methods, the proposed method offers lower order rational
approximation that precisely mimics the dynamics of the original irrational
fractional-order system. One significant attribute of the proposed method,
which none of the abovementioned methods possess, is that the order of
rational approximation can be controlled while obtaining accurate approx-
imation to the fractional-order system.
Optimal control problems arise naturally in various areas of science,
engineering, and mathematics. Considerable work has been done in the
area of integer optimal control problems (IOCPs), whose dynamics are
described by conventional integer differential equations. Recently, it has
been demonstrated that fractional differential equations are more accurate
than integer differential equations to describe the dynamic behavior of many
real-world processes. Fractional optimal control problems (FOCPs) are a
subclass of classical optimal control problems whose dynamics are described
by fractional differential equations. It is well known that the analytical
Preface xix

solutions of FOCPs generally do not exist except for special cases, and
therefore, numerical methods to obtain an approximate solution have
become the preferred approach for solving FOCPs. An effective numerical
method is devised in Chapter 10 to solve FOCPs. The proposed method is
implemented on a set of examples comprising linear time invariant optimal
control problems, time-variant fractional-order optimal control problems,
nonlinear fractional-order optimal control problems, and two-dimensional
integer order optimal control problems. Comparisons between the obtained
results and that of some of the existing numerical methods shows the
superiority of the proposed method over most of the others.
This book may be treated as an interdisciplinary reference book, and it
also may be used as a textbook for courses related to numerical methods
for fractional-order systems, fractional-order process identification, frac-
tional-order controller design, and fractional-order optimal control. The
book is suitable for engineering and basic science researchers and scientists
irrespective of their disciplines. The broader scope of the book makes it
suitable for the budding researcher. Final year mechanical, electrical,
chemical, mathematics, physics, and biomedical graduate students will
find support when consulting this book for research-oriented courses. The
reader is expected to be acquainted with classical calculus (differential and
integral calculus, elementary theory of integral, differential, integro-differ-
ential, and partial differential equations), process identification and con-
trol, and optimal control. After reading Chapter 1, the reader will be able
to understand the concepts presented in the subsequent chapters. The
extensive literature survey on each concept addressed in the book is
deliberately avoided. Every chapter begins with the necessary basic infor-
mation and adequate background for the reader to grasp the concepts
discussed in the chapter. Source codes developed in MATLAB are pro-
vided in each chapter, allowing the interested reader to take advantage of
these codes to broaden and enhance the scope of the book itself as well as
develop new results. We hope that readers will find this book useful and
valuable in the advancement of their knowledge and their field. We look
forward to receiving comments and suggestions from researchers, pure
and applied mathematicians, scientists, and engineers.

India, April 2018 Seshu Kumar Damarla

Madhusree Kundu

MATLAB® is a trademark of The MathWorks, Inc. and is used with permis-

sion. The MathWorks does not warrant the accuracy of the text or exercises
in this book. This book’s use or discussion of MATLAB® software or related
products does not constitute endorsement or sponsorship by The Math-
Works of a particular pedagogical approach or particular use of the
MATLAB® software.
This page intentionally left blank
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and 129 against organizations inimical to the State. A law of March
22, 1921, against paramilitary organizations. A law of July 1922
against organizations aimed at overthrowing the constitution of the
Reich.
Section 128 of the Criminal Code of 1871 is especially pertinent.
It reads:
“The participation in an organization, the existence,
constitution, or purposes of which are to be kept secret
from the government, or in which obedience to unknown
superiors or unconditional obedience to known superiors is
pledged, is punishable by imprisonment.”
It would be difficult to draw an act that would more definitely
condemn the organizations with which we are dealing here than this
German Criminal Code of 1871. I recall to your attention that it
condemns organizations in which obedience to unknown superiors or
unconditional obedience to known superiors is pledged. It is exactly
the sort of danger and menace with which we are dealing.
Under the Empire various Polish national unions were the subject
of criminal prosecutions. Under the Republic, in 1927 and 1928,
judgments held criminal the entire Communist Party of Germany. In
1922 and 1928, judgments of the courts ran against the political
leadership corps of the Communist Party, which included all of its so-
called body of functionaries. This body of functionaries in that
organization corresponded somewhat in their powers to the
Leadership Corps of the Nazi Party, which we have accused here.
The judgment against the Communist Party rendered by the German
courts included every cashier, every employee, every delivery boy
and messenger, and every district leader. In 1930 a judgment of
criminality against what was called “The Union of Red Front
Fighters” of the Communist Party made no distinction between
leaders and ordinary members.
Most significant of all is the fact that on the 30th of May 1924
judgment of the German courts was rendered that the whole Nazi
Party was a criminal organization. Evidently there was a lack of
courage to enforce that judgment, or we might not have been here.
This decision referred not only to the Leadership Corps, which we
are indicting here, but to all other members as well. The whole rise
of the Nazi Party to power was in the shadow of this judgment of
illegality by the German courts themselves.
The German courts, in dealing with criminal organizations,
proceeded on the theory that all members were held together by a
common plan in which each one participated, even though at
different levels. Moreover, fundamental principles of responsibility of
members as stated by the German Supreme Court are strikingly like
the principles that govern our Anglo-American law of conspiracy.
Among the statements by the German courts are these:
That it is a matter of indifference whether all the members
pursued the forbidden aims. It is enough if a part exercised the
forbidden activity.
And again, that it is a matter of indifference whether the
members of the group or association agree with the aims, tasks,
means of working, and means of fighting.
And again, that the real attitude of mind of the participants is a
matter of indifference. Even if they had the intention of not
participating in criminal efforts, or hindering them, this cannot
eliminate their responsibility from real membership.
Organizations with criminal ends are everywhere regarded as in
the nature of criminal conspiracies, and their criminality is judged by
application of conspiracy principles. The reason why they are
offensive to law-governed people has been succinctly stated by an
American legal authority as follows, and I quote from Miller on
Criminal Law:
“The reason for finding criminal liability in case of a
combination to effect an unlawful end or to use unlawful
means, where none would exist, even though the act
contemplated were actually committed by an individual, is
that a combination of persons to commit a wrong, either as
an end or as a means to an end, is so much more
dangerous, because of its increased power to do wrong,
 because it is more difficult to guard against and prevent the
evil designs of a group of persons than of a single person,
and because of the terror which fear of such a combination
tends to create in the minds of the people.”
The Charter in Article 6 provides that:
“Leaders, organizers, instigators, and accomplices
participating in the formulation or execution of a Common
Plan or Conspiracy to commit any of the foregoing crimes
are responsible for all acts performed by any persons in
execution of such plan.”
That, of course, is a statement of the ordinary law of conspiracy.
The individual defendants are arraigned at your bar on this charge of
conspiracy which, if proved, makes them responsible for the acts of
others in execution of the common plan.
The Charter did not define responsibility for the acts of others in
terms of “conspiracy” alone. The crimes were defined in
nontechnical but inclusive terms, and embraced formulating and
executing a common plan, as well as participating in a conspiracy. It
was feared that to do otherwise might import into the proceedings
technical requirements and limitations which have grown up around
the term “conspiracy.” There are some divergencies between the
Anglo-American concept of a conspiracy and that of either French,
Soviet, or German jurisprudence. It was desired that concrete cases
be guided by the broader considerations inherent in the nature of
the problem I have outlined, rather than to be controlled by
refinements of any local law.
Now, except for procedural difficulties arising from their
multitude, there is no reason why every member of any Nazi
organization accused here could not have been indicted and
convicted as a part of the conspiracy under Article 6, even if the
Charter had never mentioned organizations at all. To become
voluntarily affiliated was an act of adherence to some common plan
or purpose.
 These organizations did not pretend to be merely social or
cultural groups; admittedly, the members were united for action. In
the case of several of the Nazi organizations, the fact of
confederation was evidenced by formal induction into membership,
the taking of an oath, the wearing of a distinctive uniform, the
submission to a discipline. That all members of each Nazi
organization did combine under a common plan to achieve some end
by combined efforts is abundantly established.
The criteria for determining whether these ends were guilty ends
are obviously those which would test the legality of any combination
or conspiracy. Did it contemplate illegal methods or purpose illegal
ends? If so, the liability of each member of one of these Nazi
organizations for the acts of every other member is not essentially
different from the liability for conspiracy enforced in the courts of the
United States against businessmen who combine in violation of the
anti-trust laws, or other defendants accused under narcotic-drugs
acts, sedition acts, or other Federal penal enactments.
Among the principles every day enforced in courts of Great
Britain and the United States in dealing with conspiracy are these
sweeping principles:
No formal meeting or agreement is necessary. It is sufficient,
although one performs one part and other persons other parts, if
there be concert of action and working together understandingly
with a common design to accomplish a common purpose.
Secondly, one may be liable even though he may not have known
who his fellow conspirators were or just what part they were to take
or what acts they committed, and though he did not take personal
part in them or was absent when the criminal acts occurred.
Third, there may be liability for acts of fellow conspirators
although the particular acts were not intended or anticipated, if they
were done in execution of the common plan. One in effect makes a
fellow conspirator his agent with blanket authority to accomplish the
ends of the conspiracy.
Fourth, it is not necessary to liability that one be a member of a
conspiracy at the same time as other actors, or at the time of the
criminal acts. When one becomes a party to a conspiracy, he adopts
and ratifies what has gone before and remains responsible until he
abandons the conspiracy with notice to his fellow conspirators.
Now, those are sweeping principles, but no society has been able
to do without these defenses against the accumulation of power
through aggregations of individuals.
Members of criminal organizations or conspiracies who personally
commit crimes, of course, are individually punishable for those
crimes exactly as are those who commit the same offenses without
organizational backing. The very essence of the crime of conspiracy
or membership in a criminal association is liability for acts one did
not personally commit, but which his acts facilitated or abetted. The
crime is to combine with others and to participate in the unlawful
common effort, however innocent the personal acts of the
participants, considered by themselves.
The very innocent act of mailing a letter is enough to tie one into
a conspiracy if the purpose of the letter is to advance a criminal
plan. And we have multitudinous examples in the jurisprudence of
the United States where the mailing of a letter brought one not only
within the orbit of the definition of crime, but within Federal
jurisdiction.
There are countless examples of this doctrine that innocent acts
in the performance of a common purpose render one liable for the
criminal acts of others performed to that same end.
This sweep of the law of conspiracy is an important consideration
in determining the criteria of guilt for organizations. Certainly the
vicarious liability imposed in consequence of voluntary membership,
formalized by oath, dedicated to a common organizational purpose
and submission to discipline and chain of command, cannot be less
than that vicarious liability which follows from informal co-operation
with a nebulous group, as is sufficient in case of a conspiracy.
This meets the suggestions that the Prosecution is required to
prove every member, or every part, fraction, or division of the
membership to be guilty of criminal acts. That suggestion ignores
the conspiratorial nature of the charge against organizations. Such
an interpretation also would reduce the Charter to an unworkable
absurdity. To concentrate in one International Tribunal inquiries
requiring such detailed evidence as to each member or as to each
subsection would set a task not possible of completion within the
lives of living men.
It is easy to toss about such a plausible but superficial cliché as
that “one should be convicted for his activities and not for his
membership.” But this ignores the fact that membership in Nazi
bodies was an activity. It was not something passed out to a passive
citizen like a handbill. Even a nominal membership may aid and abet
a movement greatly.
Does anyone believe that the picture of Hjalmar Schacht sitting in
the front row of the Nazi Party Congress, which you have seen,
wearing the insignia of the Nazi Party, was included in the
propaganda film of the Nazi Party merely for artistic effect? The
great banker’s mere loan of his name to this shady enterprise gave it
a lift and a respectability in the eyes of every hesitating German.
There may be instances in which membership did not aid and abet
organizational ends and means, but individual situations of that kind
are for appraisal in the later hearings and not by this Tribunal.
By and large, the use of organizational affiliation is a quick and
simple, but at the same time fairly accurate, outline of the contours
of a conspiracy to do what the organization actually did. It is the
only workable one at this stage of the Trial. It can work no injustice
because before any individual can be punished, he can submit the
facts of his own case to further and more detailed judicial scrutiny.
While the Charter does not so provide, we think that on ordinary
legal principles the burden of proof to justify a declaration of
criminality is, of course, upon the Prosecution. It is discharged, we
think, when we establish the following:
1. The organization or group in question must be some
aggregation of persons associated in identifiable relationship with a
collective, general purpose.
2. While the Charter does not so declare, we think it implied that
membership in such an organization must be generally voluntary.
This does not require proof that every member was a volunteer. Nor
does it mean that an organization is not to be considered voluntary if
the Defense proves that some minor fraction or small percentage of
its membership was compelled to join. The test is a commonsense
one: Was the organization on the whole one which persons were
free to join or to stay out of? Membership is not made involuntary by
the fact that it was good business or good politics to identify one’s
self with the movement. Any compulsion must be of the kind which
the law normally recognizes, and threats of political or economic
retaliation would be of no consequence.
3. The aims of the organization must be criminal in that it was
designed to perform acts denounced as crimes in Article 6 of the
Charter. No other act would authorize conviction of an individual and
no other act would authorize conviction of the organization in
connection with the conviction of the individual.
4. The criminal aims or methods of the organization must have
been of such a character that its membership in general may
properly be charged with knowledge of them. This again is not
specifically required by the Charter. Of course, it is not incumbent on
the Prosecution to establish the individual knowledge of every
member of the organization or to rebut the possibility that some may
have joined in ignorance of its true character.
5. Some individual defendant must have been a member of the
organization and must be convicted of some act on the basis of
which the organization was declared to be criminal.
I shall now take up the subject of the issues, as we see it, which
are for trial before this Tribunal, and some discussion of those which
seem to us not to be for trial before this Tribunal.
Progress of this Trial will be expedited by a clear definition of the
issues to be tried. I have indicated what we consider to be proper
criteria of guilt. There are also subjects which we think are not
relevant before this Tribunal, some of which are mentioned in the
specific questions asked by the Tribunal.
Only a single ultimate issue is before this Tribunal for decision.
That is whether accused organizations properly may be
characterized as criminal ones or as innocent ones. Nothing is
relevant here that does not bear on a question that would be
common to the case of every member. Any matter that would be
exculpating for some members but not for all is, as we see it,
irrelevant here.
We think it is not relevant to this proceeding at this stage that
one or many members were conscripted if in general the
membership was voluntary. It may be conceded that conscription is
a good defense for an individual charged with membership in a
criminal organization, but an organization can have criminal purpose
and commit criminal acts even if a portion of its membership
consists of persons who were compelled to join it. The issue of
conscription is not pertinent to this proceeding, but it is pertinent to
the trials of individuals for membership in organizations declared to
be criminal.
Also, we think it is not relevant to this proceeding that one or
more members of the named organizations were ignorant of its
criminal purposes or methods if its purposes or methods were open
or notorious. An organization may have criminal purposes and
commit criminal acts although one or many of its members were
without personal knowledge thereof. If a person joined what he
thought was a social club, but what in fact turned out to be a gang
of cutthroats and murderers, his lack of knowledge would not
exonerate the gang considered as a group, although it might
possibly be a factor in extenuation of a charge of criminality brought
against him for mere membership in the organization. Even then,
the test would be not what the man actually knew, but what, as a
person of common understanding he should have known.
It is not relevant to this proceeding that one or more members of
the named organizations were themselves innocent of unlawful acts.
This proposition is basic in the entire theory of the declaration of
organizational criminality. The purpose of declaring criminality of
organizations, as in every conspiracy charge, is punishment for
aiding crimes, although the precise perpetrators can never be found
or identified.
 We know that the Gestapo and the SS, as organizations, were
given principal responsibility for the extermination of the Jewish
people in Europe, but beyond a few isolated instances, we can never
establish which members of the Gestapo or SS actually carried out
the murders. Most of them were concealed by the anonymity of the
uniform, committed their crimes, and passed on. Witnesses know
that it was an SS man or a Gestapo man, but to identify him is
impossible. Any member guilty of direct participation in such crimes,
if we can find and identify him, can be tried on the charge of having
committed the specific crimes in addition to the general charge of
membership in a criminal organization.
Therefore, it is wholly immaterial that one or more members of
the organizations were themselves allegedly innocent of specific
wrongdoing. The purpose of this proceeding is not to reach
instances of individual criminal conduct, even in subsequent trials,
and therefore such considerations are irrelevant here.
Another question raised by the Tribunal is the period of time
during which the groups or organizations named in the Indictment
are claimed by the Prosecution to have been criminal. The
Prosecution believes that each organization should be declared
criminal for the period stated in the Indictment. We do not contend
that the Tribunal is without power to condition its declaration so as
to cover a lesser period of time than that set forth in the Indictment.
The Indictment is specific as to each organization. We think that the
record at this time affords adequate evidence to support the charge
of criminality with respect to each of the organizations during the full
time set forth in the Indictment.
Another question raised by the Tribunal is whether any classes of
persons included within the accused groups or organizations should
be excluded from the declaration of criminality. It is, of course,
necessary that the Tribunal relate its declaration to some identifiable
group or organization. The Tribunal, however, is not expected or
required to be bound by formalities of organization. In framing the
Charter, the use was deliberately avoided of terms or concepts which
would involve this Trial in legal technicalities about juristic persons or
entities.
Systems of jurisprudence are not uniform in the refinements of
these fictions. The concept of the Charter, therefore, is a
nontechnical one. “Group” or “organization” should be given no
artificial or sophistical meaning. The word “group” was used in the
Charter as a broader term, implying a looser and less formal
structure or relationship than is implied in the term “organization.”
The terms mean in the context of the Charter what they mean in the
ordinary speech of people. The test to identify a group or
organization is a natural and commonsense one.
It is important to bear in mind that while the Tribunal has, no
doubt, power to make its own definition of the groups it will declare
criminal, the precise composition and membership of groups and
organizations is not an issue for trial here. There is no Charter
requirement and no practical need for the Tribunal to define a group
or organization with such particularity that its precise composition or
membership is thereby determined.
The creation of a mechanism for later trial of such issues was a
recognition that the declaration of this Tribunal is not decisive of
such questions and is likely to be so general as to comprehend
persons who, on more detailed inquiry, will prove to be outside of it.
Any effort by this Tribunal to try questions of exculpation of
individuals, be they few or many, would unduly protract the Trial,
transgress the limitations of the Charter, and quite likely do some
mischief by attempting to adjudicate precise boundaries on evidence
which is not directed to that purpose.
THE PRESIDENT: Would this be a convenient time for you to
break off for a few moments?
MR. JUSTICE JACKSON: Yes, Sir.
[A recess was taken.]

MR. JUSTICE JACKSON: The Prosecution stands upon the

language of the Indictment and contends that each group or
organization should be declared criminal as an entity and that no
inquiry should be entered upon and no evidence entertained as to
the exculpation of any class or classes of persons within such
descriptions. Practical reasons of conserving the Tribunal’s time
combine with practical considerations for defendants. A single trial
held in one city to deal with the question of excluding thousands of
defendants living all over Germany could not be expected to do
justice to each member unless it was expected to endure indefinitely.
Provision for later local trials of individual relationships protects the
rights of members better than possibly can be done in proceedings
before this Tribunal.
With respect to the Gestapo, the United States and, I believe all
of my colleagues consent to exclude persons employed in purely
clerical, stenographic, janitorial, or similar unofficial routine tasks. As
to the Nazi Leadership Corps we abide by the position taken at the
time of submission of the evidence, that the following should be
included: The Führer, the Reichsleiter, main departments and office
holders, the Gauleiter and their staff officers, the Kreisleiter and their
staff officers, the Ortsgruppenleiter, the Zellenleiter, and the
Blockleiter, but not members of the staff of the last three officials.
As regards the SA, it is considered advisable that the declaration
expressly exclude: (1) Wearers of the SA Sports Badge; (2) the SA-
controlled home-guard units, which were not, as we view it on the
evidence, strictly a part of the SA, and there also be excluded the
National Socialist League for Disabled Veterans and the SA Reserve,
so as to include only the active parts of that organization.
The Prosecution does not feel that there is evidence of the
severability of any class or classes of persons within the
organizations accused which would justify any further concessions,
and that no other part of the named groups should be excluded. In
this connection, we would again stress the principles of conspiracy.
The fact that a section of an organization itself committed no
criminal act, or may have been occupied in technical or
administrative functions, does not relieve that section of criminal
responsibility if its activities contributed to the over-all
accomplishment of the criminal enterprise. I should like to discuss
the question of the further steps to be taken procedurally before this
Tribunal.
Over 45,000 persons have joined in communications to the
Tribunal asking to be heard in connection with the accusations
against organizations. The volume of these applications has caused
apprehension as to further proceedings. No doubt there are
difficulties yet to be overcome, but my study indicates that the
difficulties are greatly exaggerated.
The Tribunal is vested with wide discretion as to whether it will
entertain an application to be heard. The Prosecution would be
anxious, of course, to have every application granted that is
necessary, not only to do justice, but to avoid appearance of doing
anything less than justice. And we do not consider that expediting
this Trial is so important as affording a fair opportunity to present all
really pertinent facts.
Analysis of the conditions which have brought about this flood of
applications indicated that their significance is not proportionate to
their numbers. The Tribunal sent out 200,000 printed notices of the
right to appear before it and defend. They were sent to Allied
prisoner-of-war and internment camps. The notice was published in
all German language papers and was repeatedly broadcast over the
radio. Investigation shows that the notice was posted in all barracks
of the camps, and it also shows that in many camps it was read to
the prisoners, in addition. The 45,000 persons who responded with
applications to be heard came principally from about 15 prisoner-of-
war and internment camps in British or United States control. Those
received included an approximate 12,000 from Dachau, 10,000 from
Langwasser, 7,500 from Auerbach, 4,000 from Staumühle, 2,500
from Garmisch and several hundred from each of the others.
We have made some investigation of these applications, as well
as of the sending out of the notices, and we would be glad to place
any information that we have at the disposal of the Tribunal.
An investigation was made of the Auerbach Camp in the United
States zone, principally to determine the reason for these
applications and the method by which they came. That investigation
was conducted by Lieutenant Colonel Smith Brookhart, Captain
Drexel Sprecher, and Captain Krieger, all of whom are known to this
Tribunal.
The Auerbach camp is for prisoners of war, predominantly SS
members. Its prisoners number 16,964 enlisted men and 923
officers. The notice of the International Military Tribunal was posted
in each of the barracks and was read to all inmates. All applications
to the Tribunal were forwarded without censorship of any kind.
Applications to defend were made by 7,500 SS members.
Investigation indicates that these were filed in direct response to
the notice, and that no action was directed or inspired from any
other source within or without the camp. All who were interrogated
professed that they had no knowledge of any SS crimes or of SS
criminal purpose, but they expressed interest only in their individual
fate, rather than any concern to defend the organization.
Our investigators report no indication that they had any
additional evidence or information to submit on the general question
of the criminality of the SS as an organization. They seemed to think
it was necessary to protect themselves to make the application here.
Turning then to examination of the applications, these, on their
face, indicate that most of the members do not profess to have
evidence on the general issue triable here. They assert almost
without exception that the writer has neither committed nor
witnessed nor known of the crimes charged against the organization.
On a proper definition of the issues such an application is
insufficient, on its face, to warrant a personal intervention.
A careful examination of the notice to which these applications
respond will indicate, I believe, that the notice contains no word
which would inform a member, particularly if he were a layman, of
the narrowness of the issues which are to be considered here, or
that he will have a later opportunity, if and when prosecuted, to
present personal defenses. On the other hand the notice, it seems to
me, creates the impression, particularly to a layman, that every
member may be convicted and punished by this Tribunal and that his
only chance to be heard is here. I think a careful examination of
these notices will bear out that impression and a careful examination
of the applications will show that they are in response to that
impression.
Now, among lawyers there is usually a difference of opinion as to
how best to proceed and this case presents no exception to that;
there are different ideas. But I shall advance certain views as to how
we should proceed from here to obtain a fair and proper
adjudication of these questions. In view of these facts we suggest a
consideration of the following program for completion of this Trial as
to organizations:
1. That the Tribunal formulate and express in an order the scope
of the issues and the limitations on the issues to be heard by it.
2. That a notice adequately informing members as to the
limitation of the issues and the opportunity later to be individually
tried be sent to all applicants and published in the same manner as
the original notice.
3. That a panel of masters be appointed, as authorized in Article
17(e) of the Charter, to examine applications and to report those
that are insufficient on their own statements and to go to the camps
and supervise the taking of any relevant evidence. Defense Counsel
and Prosecution representatives should, of course, attend and be
heard before the masters. The masters should reduce any evidence
to deposition form and report the whole to this Tribunal, to be
introduced as a part of its record.
4. The representative principle may also be employed to simplify
the task. Members of particular organizations in particular camps
might well be invited to choose one or more to represent them in
presenting evidence.
It may not be untimely to remind the Tribunal and the Defense
Counsel that the Prosecution has omitted from evidence many
relevant documents which show repetition of crimes by these
organizations in order to save time by avoiding cumulative evidence.
It is not too much to expect that cumulative evidence of a negative
character will likewise be limited.
 Some concern has been expressed as to the number of persons
who might be affected by the declarations of criminality which we
have asked.
Some people seem more susceptible to the shock of a million
punishments than to shock from 5 million murders. At most the
number of punishments will never catch up with the number of
crimes. However, it is impossible to state, even with approximate
accuracy, the number of persons who might be affected by the
declaration of criminality which we have asked.
Figures from the German sources seriously exaggerate the
number, because they do not take account of heavy casualties in the
latter part of the war, and make no allowance for duplication of
membership which was large. For example, the evidence is to the
effect that 75 percent of the Gestapo men also were members of the
SS. We know that the United States forces have a roughly estimated
130,000 detained persons who appear to be members of accused
organizations. I have no figure from other Allied forces. But how
many of these actually would be prosecuted, instead of being dealt
with under the denazification program, no one can foretell.
Whatever the number, of one thing we may be sure: It is so large
that a thorough inquiry by this Tribunal into each case would prolong
its session beyond endurance. All questions as to whether individuals
or subgroups of accused organizations should be excepted from the
declaration of criminality should be left for local courts, located near
the home of the accused and near the source of evidence. The
courts can work in one or at most in two languages, instead of four,
and can hear evidence which both parties direct to the specific
issues.
This is not the time to review the evidence against each
particular organization which, we take it, should be reserved for
summation after the evidence is all presented. But it is timely to say
that the selection of the six organizations named in the Indictment
was not a matter of chance. The chief reasons they were chosen are
these: Collectively they were the ultimate repositories of all power in
the Nazi regime; they were not only the most powerful, but the most
vicious organizations in the regime; and they were organizations in
which membership was generally voluntary.
The Nazi Leadership Corps consisted of the directors and
principal executors of the Nazi Party, and the Nazi Party was the
force lying behind and dominating the whole German State. The
Reich Cabinet was the facade through which the Nazi Party
translated its will into legislative, administrative, and executive acts.
The two pillars on which the security of the regime rested were the
Armed Forces, directed and controlled by the General Staff and High
Command, and the police forces—the Gestapo, the SA, the SD, and
the SS. These organizations exemplify all the evil forces of the Nazi
regime.
These organizations were also selected because, while
representative, they were not so large or extensive as to make it
probable that innocent, passive, or indifferent Germans might be
caught up in the same net with the guilty. State officialdom is
represented, but not all the administrative officials or department
heads or civil servants; only the Reich Cabinet, the very heart of
Nazidom within the government, is named. The Armed Forces are
accused, but not the average soldier or officer, no matter how high-
ranking. Only the top policy makers—the General Staff and the High
Command—are named. The police forces are accused—but not
every policeman, not the ordinary police which performed only the
normal police functions. Only the most terroristic and repressive
police elements—the Gestapo and SD—are named. The Nazi Party is
accused—but not every Nazi voter, not even every member, only the
leaders. And not even every Party official or worker is included; only
“the bearers of sovereignty,” in the metaphysical jargon of the Party,
who were the actual commanding officers and their staff officers on
the highest levels.
I think it is important that we observe, in reference to the Nazi
Party, just what it is that we are doing here and compare it with the
denazification program in effect without any declaration of
criminality, in order to see in its true perspective the indictment
which we bring against the Nazi Party.
 Some charts have been prepared. This is a mere graphic
representation of the proportions of persons that we have accused,
and which we ask this Tribunal to declare as constituting criminal
organizations.
In the first column are the 79 million German citizens. We make
no accusation against the citizenry of Germany. The next is the 48
million voters, who at one time voted to keep the Nazi Party in
power. They voted in response to the referendum. We make no
charge against those who supported the Nazi Party, although in
some aspects of the denazification program the supporters are
included. Then come the 5 million Nazi members, persons who
definitely joined the Nazi Party by an act of affiliation, by an oath of
fealty. But we do not attempt to reach that entire 5 million persons,
although I have no hesitation in saying that there would be good
grounds for doing so; but as a mere matter of practicality of this
situation it is not possible to reach all of those who are technically
and perhaps morally well within the confines of this conspiracy. So
the voters are disregarded, the 48 million, the 5 million members are
disregarded, and the first that we propose to reach are the Nazi
leaders, starting with Blockleiter, which are shown in the last small
block, and piled together, amounting to the fourth block on the
diagram.
It is true that we start with the local block leader, but he had
responsibilities—responsibilities for herding into the fold his 50
households, responsibilities for spying upon them and reporting their
activities; responsibilities, as this evidence shows, for disciplining
them and for leading them. No political movement can function in
the drawing rooms and offices. It has to reach the masses of the
people and these block leaders were the essential elements in
making this program effective among the masses of the people and
in terrorizing them into submission.
I submit that on this diagram the accusation which we bring here
is a moderate one reaching only persons of admitted leadership
responsibilities and not trying to reach people who may have been
beguiled into following in an unorganized fashion.
 We have also accused the formations, Party formations, such as
the SA and the SS. These were the strong arms of the Party. These
were the formations that the Blockleiter was authorized to call in to
help him if he needed to discipline somebody in his block of 50
houses.
But we do not accuse every one of the formations of the Party,
nor do we accuse any of the 20 or more supervised or affiliated
Party groups, Nazi organizations in which membership was
compulsory, either legally or in practice, such as the Hitler Youth and
the Student League. We do not accuse the Nazi professional
organizations, although they were Nazi dominated, like the civil
servants’ organization, the teachers’ organization, and the National
Socialist lawyers’ organization, although I should show them as little
charity as any group. We do not accuse any Nazi organizations which
have some legitimate purpose, like welfare organizations. Only two
of these Party formations are named, the SA and the SS, the oldest
of the Nazi organizations, groups which had no purpose other than
carrying out the Nazi schemes, and which actively participated in
every crime denounced by the Charter and furnished the manpower
for most of the crimes which we have proved.
In administering preventive justice with a view to forestalling
repetition of the Crimes against Peace, Crimes against Humanity,
and War Crimes, it would be a greater catastrophe to acquit these
organizations than it would be to acquit the entire 22 individual
defendants in the box. These defendants’ power for harm is past.
They are discredited men. That of these organizations goes on. If
these organizations are exonerated here, the German people will
infer that they did no wrong, and they will easily be regimented in
reconstituted organizations under new names, behind the same
program.
In administering retributive justice it would be possible to
exonerate these organizations only by concluding that no crimes
have been committed by the Nazi regime. For these organizations’
sponsorship of every Nazi purpose and their confederation to
execute every measure to attain these ends is beyond denial. A
failure to condemn these organizations under the terms of the
Charter can only mean that such Nazi ends and means cannot be
considered criminal and that the Charter of the Tribunal declaring
them so is a nullity.
I think my colleagues, who have somewhat different aspects of
the case to deal with, would like to be heard on this subject.
THE PRESIDENT: Mr. Justice Jackson and Sir David Maxwell-Fyfe,
the Tribunal thinks the most convenient course would be to hear
argument on behalf of all the chief prosecutors and then to hear
argument on behalf of such of the defendants’ counsel as wish to be
heard, and after that the Tribunal will probably wish to ask some
questions of the chief prosecutors.
MR. JUSTICE JACKSON: That will be very agreeable to us.
SIR DAVID MAXWELL-FYFE: May it please the Tribunal, Mr.
Justice Jackson has dealt with the general principles under which the
organizations named in the Charter should, in the view of the
Prosecution, be dealt with. It is not my purpose to repeat or even to
underline his arguments. My endeavor is to comply with Paragraph 4
of the statement of the Tribunal made on the 14th of January of this
year. This involves:
(a) Summarizing, in respect of each named organization, the
elements which, in our opinion, justify the charge of their being
criminal organizations. For convenience I shall refer to these as the
elements of criminality.
(b) Indicating what acts on the part of individual defendants in
the sense used in Article 9 of the Charter justified declaring the
groups or organizations of which they are members to be criminal
organizations. Again for convenience, I shall refer to such
defendants in the wording of the Charter, as connected defendants.
(c) I shall submit that what I have put forward in writing under
(a) and (b) will form the necessary summary of proposed findings of
fact under the Tribunal’s third point.
May I say one word about the mechanics of the position? I
thought that it would be convenient if the Tribunal and the Defense
Counsel had copies of these suggestions before I address the
Tribunal. In pursuance of this, copies have been given to the
members of the Tribunal, of course to the court interpreters, and
copies in German have been provided for counsel for the
organizations and also for counsel for each of the individual
defendants.
For the convenience of the Tribunal and of counsel, I have
circulated two addenda, which contain further references to the
transcript and documents on a number of points in the original
appendices. These addenda are compiled under the numbers of
paragraphs and, although they are in English, should be readily
usable by Counsel for the Defense. The result is that there is the
summary in Appendices (A) and (B), which I put in, and full
reference in all the points in the summary to the transcript and in
some cases to documents.
It is my intention not to read in full all the matters contained in
my Appendix (A) and Appendix (B) but to indicate how they fit in
with the conception of the Prosecution on this aspect of the case. I
shall, of course, be only too ready to read any portions which may
be convenient to the Tribunal.
I think it would be best to start from the essential probanda
which Mr. Justice Jackson has indicated, and perhaps the Tribunal
will bear with me while I repeat his five points:
1. The organization or group in question must be some
aggregation of persons, (a) in some identifiable relationship, (b) with
a collective general purpose. That was Mr. Justice Jackson’s first test.
2. Membership in such organization must be generally voluntary,
although a minor proportion of involuntary members will not affect
the position.
3. The aims of the organizations must be criminal in the sense
that its objects included the performance of acts denounced as
crimes by Article 6 of the Charter.
4. The criminal aims or methods of the organization must have
been of such a character that a reasonable man would have
constructive knowledge of the organization which he was joining;
that is, that he ought to have known what type of organization he
was joining.
5. Some individual defendants, at least one, must have been a
member of the organization and must be convicted of some act on
the basis of which a declaration of the criminality of the organization
can be made.
I do not think that I can avoid applying these tests to each of the
organizations, but I conceive that this can be done with brevity, and
I therefore propose to deal with the organizations seriatim.
I take first the Reichsregierung. Under Appendix B of the
Indictment this group is defined as consisting of three classes:
1. Members of the ordinary cabinet after the 30th of January
1933. The term “ordinary cabinet” is in turn used as meaning: (a)
Reich ministers that is, heads of departments; (b) Reich ministers
without portfolio; (c) State ministers acting as Reich ministers, (d)
other officials entitled to take part in meetings of the cabinet.
The second division is members of the Council of Ministers for
the Defense of the Reich.
The third division, members of the Secret Cabinet Council.
It is submitted that, on the evidence placed before the Tribunal,
there is no doubt that the first of Mr. Justice Jackson’s points, Point
1, is complied with in that there is an identifiable relationship with a
collective general purpose, and that this organization is generally
voluntary, within Point 2.
The aims of the organization are set out in Paragraph 4 of
Section A of my Appendix A and the broad submission of the
Prosecution is shown in Paragraph 2. Perhaps, as that is short, I
might be allowed to read it:
“Owing to their legislative powers and functions the
members of the Reichsregierung gave statutory effect to
the policy of the Nazi conspirators and collectively formed a
combination of persons carrying out the executive and
administrative decisions of the Nazi conspirators.”
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