IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40,NO.

1, FEBRUARY 1993 23

Sliding Mode Control Design Principles and

Applications to Electric Drives
Vadim I. Utkin

Abstract-The paper deals with the basic concepts, mathemat- converters. This reason predetermined both the high ef-
ics, and design aspects of variable structure systems as well as ficiency of sliding mode control for electric drives and the
sliding modes as a principle operation mode. The main argu-
ments in favor of sliding mode control are order reduction, author choice of the application selection topic in this
decoupling design procedure, disturbance rejection, insensitivity paper.
to parameter variations, and simple implementation by means of
power converters. The control algorithms and data processing 11. SLIDING
MODESIN VSS
used in variable structure systems are analyzed. The potential of Variable structure systems consist of a set of continu-
sliding mode control methodology is demonstrated for versatility
of electric drives and functional goals of control. ous subsystems with a proper switching logic and, as a
result, control actions are discontinuous functions of sys-
tem state, disturbances (if they are accessible for mea-
I. INTRODUCTION surement), and reference inputs. In the course of the
entire history of control theory, intensity of discontinuous
Al high level of scientific and publication activity, an
nremitting interest in variable structure control en-
hanced by effective applications to automation problems
control systems investigation has been maintained at a
high enough level. In particular, at the first stage, on-off
or bang-bang regulators are ranked highly due to ease of
most diverse in their physical nature, and functional pur- implementation and efficiency of control hardware.
poses are a cogent argument to consider this class of Futhermore, we shall deal with the variable structure
nonlinear systems as a prospective area for study and systems governed by
applications.
The term “variable structure system” (VSS) first made X = f ( x , t , u ) , x E Rn,U E R”
its appearance in the late 1950’s. Since that time, the first
expectations of such systems have naturally been reevalu- u + ( x , t ) if s ( x ) > 0 (for each component)
ated, their real potential has been revealed, new research
u - ( x , t ) if s ( x ) < 0
directions have been originated due to the appearance of
new classes of control problems, new mathematical meth- (1)
ods, recent advances in switching circuitry, and (as a
consequence) new control principles.
The paper is oriented to base-stone ideas of VSS design
methods and selected set of applications rather than the The VSS (1) with continuous functions f,s, U + , U - con-
survey information or a historical sequence of the events sists of 2” subsystems and its structure varies on m
accompanying VSS development since at its different surfaces at the state space. From the point of view of our
stages survey papers on theory [1]-[4] and applications [51, later treatment, it is worth quoting the elementary exam-
161 have been published. In addition, monographs [7]-[12] ple of a second-order system with bang-bang control and
summarize the results of these stages. sliding mode:
Furthermore, it will be shown that the dominant role in
VSS theory is played by sliding modes, and the core idea x + a2X + a , x = U ,
of designing VSS control algorithms consists of enforcing
this type of motion in some manifolds in system state U = - M signs
spaces. Implementation of sliding mode control implies
high-frequency switching. It does not cause any difficulties s = cx + X,M , c , a , , a 2 - const ( 2 )
when electric drives are controlled since the “on-off”
operation mode is the only admissible one for power which was considered by Andronov et al. [131 in connec-
tion with his study of autopilot dynamics. It follows from
Manuscript received June 6, 1992. A revised version of the paper was
analysis of the (X,x) state plane (Fig. 1) that, in the
presented at the IEEE VARSCON ’91 Workshop, Reno, NV, June 6, neighborhood of segment mn on the switching line s = 0,
1991. the trajectories run in opposite directions, which leads to
The author is with the Institute of Control Sciences, 117 806, Moscow,
Russia.
the appearance of a sliding mode along this line. The
IEEE Log Number 9204071. switching line equation s = 0 may be treated as a motion

0278-0046/93$03.00 0 1993 IEEE

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 24 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40, NO. 1, FEBRUARY 1993

Fig. 1. Sliding mode in a second-order relay system. Fig. 2. State planes of linear structures.

one
cx+x=o (3) \ i
with solutions depending only on the slope gain c and
invariant to plant parameters and disturbance (should the
plant be subjected to).
x
The sliding mode domain is bounded in the above
example, but if the amplitude of discontinuous control is
made state dependent ( M = klxl, k = const), it may coin-
cide with the whole switching line. The system consists of
two linear structures (U = krc and U = -la) shown in Fig.
2 for a, = 0, a2 < 0. Due to the sliding mode (Fig. 3) after Fig. 3. Sliding mode in a variable structure system.
the state reaches s = 0, it decays exponentially in accor-
dance with (3).
The systems with discontinuous control (1) are known
to generate sliding modes with state trajectories running
in discontinuity surfaces as well. Similar to the above
examples, state velocity vectors may be directed toward
one of the surfaces and sliding mode occurs along it (arcs
ab and cb in Fig. 4). It may arise also along their intersec-
tion (arc bd). Fig. 5 illustrates the sliding mode at the
intersection even if it does not exist at each of them taken
separately.
Let us discuss major reasons why sliding modes were
and are of exceptional significance in VSS control Fig. 4. Sliding mode in discontinuity surfaces and their intersection.
methodology. First, in sliding mode the input of the ele-
ment implementing discontinuous control is close to zero
while its output (exactly speaking its average value U,)
takes finite values (Fig. 6). Hence the element implements
high (theoretically infinite) gain, that is the conventional
mean to suppress influence of disturbances and uncertain-
ties in system behavior. Unlike systems with continuous
control, the invariance is attained using finite control
actions. Second, since sliding mode trajectories belong to
some manifold of a dimension lower than that of the
Fig. 5. Sliding mode in the intersection of discontinuity surfaces.
system, the order of a motion equation is reduced as well.
This enables simplification and decoupling design proce-
dure. Both order reduction and invariance to plant dy-
namics are transparent for the above second-order exam-
ple. And, finally, a pure technological aspect of using
sliding mode control should be mentioned. To improve
the performance, inertialess power thyristor and transistor f
converters are increasingly used as actuators in control
systems. Even if continuous algorithms are employed, the
control is shaped as a high-frequency discontinuous signal
with an average value equal to the desired continuous
control since a switching mode is the only operation one Fig. 6. Implementation of high-gain control via the sliding mode.

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UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES 25

1 S L X D X N a MODE CONTROL I

,
M a t h c
m a t Ic a 1
Methods

M
0
-

E
x
1 Applications

1
P
T?
t I. 0
I s C

-
e

-
0 t
n c a
n a
c
9 V =
U
a c i n
t 0 m n
i n 0 I
.
0 & t i 0
0 n
d
U
=
t
I rl

Fig. 7. Scope of sliding mode control theory.

for the converters. It seems more natural to employ the

algorithms oriented toward discontinuous control actions.
The study of sliding modes is a multifacet problem that
embrances mathematical, control theoretical, and applica-
tion aspects. The chapters and sections of this study are
shown in Fig. 7.
111. MATHEMATICAL METHODS
To justify strictly the arguments in favor of employing
multidimensional sliding modes we need mathematical
methods of describing sliding modes in the intersection of Fig. 8. Ambiguity of sliding mode equations.
discontinuity surfaces s = 0 and the conditions for this
motion to exist.
In cases when conventional methods are not applicable,
The first problem arises due to discontinuity of control
the usual approach is to employ the regularization ap-
since the relevant differential equations do not satisfy
proach or replacing the initial problem by a closely similar
conventional theorems on existence uniqueness solutions.
one, for which familiar methods can be used. In particu-
We confine ourselves to a second-order example to
lar, taking into account delay or hysteresis of a switching
demonstrate that discontinuous control systems may need
element, small time constants neglected in an ideal model,
subtle treatment. Let the discontinuous control in the
replacing a discontinuous function by continuous approxi-
system
mation, are the examples of regularization since disconti-
X I = o.3X2 -k uxI nuity points (if they exist) are isolated.
+
i , = - 0 . 7 ~ ~ 4u3x,,U = -sign xis, s = x1 + x2 In our opinion, the universal approach to regularization
consists of introducing a boundary layer llsll < A around
be implemented by a limiter and then by a hysteresis relay manifold s = 0 where an ideal discontinuous control is
element so that A-the width of the limiter linear zone replaced by a real one such that the state trajectories of
and the hysteresis loop-is small enough when compared system (1) are not confined to this manifold but run
with the magnitude of control. The experiment with A = arbitrarily inside the layer (Fig. 9). The only assumption
0.01 shows that in spite of closeness of the controls, the for this motion is that the solution exists in ordinary
motion along the switching line is unstable in the first sense. If, with the width of the boundary layer tending to
case and asymptotically stable in the second one (Fig. 8). zero, the limit of this solution exists, it is taken as a

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 26
Fig. 9. Boundary layer regularization.
solution to the system with ideal sliding modes. Otherwise
we have to recognize that the equations beyond disconti-
nuity surfaces do not derive unambiguously the motion
equation in their intersection.
Boundary-layer regularization enables substantiation of
the so-called equicalent control method [ 141 intended for
deriving a sliding mode equation in the systems depending
on linear control:
X =f(x,t) + B(x,t)u
where B ( x , t) is an n x m matrix. In accordance with the
method control, U should be replaced by the equivalent
control, which is the solution to
S = Cf + GBu,, = 0, G = (as/ax)
For det GB # 0 (ue! = - ( G B ) - ' G f ) , the sliding mode
equation in the manifold s = 0 is
i = [I - B(GB)-'G]f.
Since s ( x ) = 0 in sliding mode m components of the state
vector x may be found as a function of the rest ( n - m)
ones: x 2 = so(x,), x 2 , s o E R", x , E R"-'" and, corre-
spondingly, the order of the sliding motion equation may
be reduced by m :
The idea of the equivalent control method may be easily
explained with the help of geometric consideration. Slid-
ing mode trajectories lie in the manifold s = 0 and the
equivalent control ueq being a solution to the equation
S = 0 implies replacing discontinuous control by such a
continuous one that the state velocity vector lies in the
tangential manifold.
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IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40, NO. 1 , FEBRUARY 1993
Uniqueness of sliding mode equations explains why the
study of control systems with linear dependence on con-
trol has turned out the main (if not the only) stream in
VSS theory. Note that in the above second-order example,
nonlinear dependence of the motion equation on control
resulted in the ambiguous sliding mode equations.
The second mathematical problem relates to conditions
for a sliding mode to exist. They are equivalent to condi-
tions of state trajectory convergence to the intersection of
(4) discontinuity surfaces s = 0. Therefore, the existence con-
ditions may be formulated in terms of stability of the
origin in m-dimensional space s, or subspace of the dis-
tances to discontinuity surfaces. To derive existence con-
ditions in analytical form, the equation of the projection
of overall motion on subspace s
S = Gf + GBu (7)
should be analyzed for example by designing a Lyapunov
(5) function. The simplest case is for GB being an identity
matrix. Then for U = - M signs ((signs)T = (signsl;..,
signs,)) with M exceeding the upper estimates of vector
Gf elements, the functions S, and s, ( i = 1;",m) have
different signs. It means that the sliding mode will occur
in each discontinuity surface.
The most interesting fact is that the Lyapunov function
testifying to convergence to the manifold s = 0 is a finite
function of time. It vanishes after a finite time interval. AS
a result, sliding mode arises in a finite time instant in
contrast to continuous systems with only asymptotic tend-
ing to any manifold consisting of system trajectories [111.
IV. DESIGNPROCEDURE
The discussed methods pertaining to sliding mode
equations and existence conditions constitute the back-
UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES
ground for the variety of design procedures in VSS. De-
coupling or invariance or both are inherent in any of
them. High dimension and uncertainties in system behav-
ior are known to be serious obstacles in applying efficient
control algorithms and using both analytical and computa-
tional methods.
In connection with control of high-dimensional plants,
the design methods permitting decoupling of the overall
motion into independent partial components are of great
interest. Decoupling in discontinuous control systems (4)
is easily feasible. The sliding mode equation (6) is of a
reduced order, does not depend on control, and does
depend on the discontinuity surface equation. The design
procedure consists of two stages. At stage 1, the function
s,, is handled as a control in (6) and designed in accor-
dance with some performance criterion-a standard con-
trol task. In stage 2 selection of discontinuous control
follows to switching logic in (1) to enforce the sliding
mode, which is equivalent to stability task in s space ( 7 ) of
a reduced order as well. It should be noted that the last
problem is not very difficult since its dimension and that
of control coincide. As a result, the control design is
decoupled into two independent tasks of lower dimen-
sions: ( n - m)th order at the first stage and mth order at
the second. In a thus-designed system starting from some
finite time instant, the motion with the prescribed proper-
ties will arise.
Time interval preceding the sliding mode decreases
with the growth of control magnitude ill], and if it is
small enough it is the very sliding equations that predeter-
mine control system properties.
What shall we expect of sliding modes in systems oper-
ating under uncertainty conditions? Suppose that in the
system equation
i =f(x,t) + B ( x , t ) u + h(x,t)
vector h(x, t ) represents all the factors whose influence
on the control process should be eliminated. If for each x
and t
h E range { B )
which means that disturbances act in control space, then
there exists control U , such that Bu, = -h and hence
the system is invariant to h(x,t). But control U,, would
hardly be implementable since the disturbances may be
inaccessible for measurement.
As we had established the sliding mode equation in any
manifold does not depend on control. Similarly, via the
equivalent control method, it can be shown that sliding
mode is independent on h(x,t) as well, therefore condi-
tion (9) is the invariance condition for sliding mode con-
trol. It is important that for the design of an invariant
system there is no need to measure vector h. To ensure
sliding mode existence, only an upper estimate of h (a
number or function) is needed.
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27
v. SLIDING MODECONTROL 1N LINEARSYSTEMS
Consider conventional control tasks for linear plants
i =Rx + B u , x Rn,U E R"
E (10)
( A , B are constant matrices, rank B = m ) to demonstrate
the sliding mode design procedure based on the decou-
pling principle.
The system (10) may be transformed to the regular
form [151
i ,= A , , x ,+A,?X,
i2= A 2 , x , + A,?xz + B 2 u (11)
where A , , (i, j = 1,2), B, are constant matrices of rele-
vant dimensions, x, E R"-"', x 2 E R'", det B , # 0. As-
suming that control vector components have discontinu-
ities on linear surfaces,
s = cx,+I,, s E R"' ( 12)
we find that, when the sliding mode appears on manifold
s = 0 (i.e., x2 = -Cx,),the system behavior is governed
by the ( n - m)th-order equation
i , = ( A , ,- A & > x , . (13)
One of the possible ways of obtaining the required
dynamic properties of the control systems is assigning
eigenvalues of a closed-loop system with linear feedback.
However, whereas in the context of initial system (10) we
are concerned with a task of full dimensionality, introduc-
ing a sliding mode reduces it, since the order of the sliding
equation (13) is decreased by an amount equal to the
control dimension. For controllable systems (lo), there
always exists a matrix C, ensuring the desired eigenvalues
of the system (13) [16]. The matrix C being a solution to
the (n-m)th-order eigenvalue assigning task determines
the equation of discontinuity surfaces (12). The second
stage of the design procedure is choice of discontinuous
(8) control such that the sliding mode always arises at the
manifold s = 0, which is equivalent to stability of the
origin in m-dimensional space s. The motion projection
on the s space is described by an equation similar to (7):
S = Rx + B , u ,
fi = ( C A , , + A , I ) X , + ( C A , , + A 2 2 ) X 2 .
(9) The discontinuous control
U = -alxlB,' sign s, a - const
(1x1 is the sum of vector x component moduli) leads to
S = Rx - alxlsigns. (14)
There exists such positive value of a that the functions S,
and s, ( i = l;.., m) have different signs. It means that the
sliding mode will occur in each discontinuity surface.
Within the same framework a discontinuous control
may be designed in accordance with a mean square crite-
rion
I = ['kTQxdt, Q 2 0.
If we are concerned with optimization of sliding motions,
then the sliding manifold should be linear while coeffi-
 28 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40,NO. 1, FEBRUARY 1993

cients of its equation are found from the Riccati equation

of a reduced order similar to the above eigenvalue assign-
ment [ll]. The control (14) fits to generate a sliding mode -, EL>DT,
in manifold (12) with both constant and time-varying
matrices C. Fig. 10. Unmodeled dynamics of actuator and sensor.
Invariance to disturbances and plant parameter varia-
tion is one of the main problems of control theory. As
mentioned in Section IV generating sliding modes results
in invariance to all factors to be rejected acting in control
subspace. For linear systems

i = A+ Bu + D f ( t ) ,f ( t ) E R ' Fig. 1 1 . System with continuous control.

this condition was formulated in terms of system and

input matrices in [17]. The sliding mode in manifold (12) t , L(t)
is invariant to the disturbance f ( t ) and the variations of
the parameters A A ( t ) ( A = A , , + AA(t), A,, = const) if
D E range { B } ,A A ( t ) E range { B } ,correspondingly. Simi- +> -1141n. moa-

larly, the decoupling conditions in the interconnected

systems may be found: interconnection matrices in each Fig. 12. Chattering in system with discontinuous control.
of the subsystems should belong to corresponding control
subspace.
VI. THECHA~TERING
PROBLEM
The subject of this section is of great importance when-
ever we intend to establish a bridge between the recom- I

mendations of the theory and applications. Bearing in I Aslmptotic observer

mind that the control has a high-frequency component,

we should analyze the robustness or the problem of corre-
spondence between an ideal sliding mode and real-life
processes at the presence of unmodeled dynamics. Ne-
glected small time constants ( p l and p2 in Fig. 10) in
plant models, sensors, and actuators leads to dynamic
discrepancy (zl and z2are the unmodeled-dynamics state
vectors).
In accordance with the singular perturbation theory [ 181
in systems with continuous control, a fast component of
the motion decays rapidly and a slow one depends on the
small time constants continuously (Fig. 11).
In continuous control systems the solution depends on
the small parameters continuously as well. But unlike
continuous systems, the switchings in control excite the
unmodeled dynamics, which leads to oscillations in the
state vector at a finite frequency (Fig. 12). The oscilla-
tions, usually referred to as chattering, are known to
result in low control accuracy, high heat losses in electri-
cal power circuits, and high wear of moving mechanical
parts. These phenomena have been considered as serious
obstacles for applications of sliding mode control in many
papers and discussions. A recent study [19] and practical
experience showed that the chattering caused by unmod-
eled dynamics may be eliminated in systems with asymp-
totic observers (Fig. 13). In spite of the presence of
unmodeled dynamics, ideal sliding arises, it is described by
a singularly perturbed differential equation with solutions
free from a high-frequency component and close to those
of the ideal system (Fig. 14). As shown in Fig. 13 an
asymptotic observer serves as a bypass for a high-frequency
component, therefore the unmodeled dynamics is not
excited. Preservation of sliding modes in systems with
asymptotic observers predetermined successful applica-
tions of the sliding mode control [61.
The alternative approach to handling dynamic discrep-
ancies is a continuous approximation of discontinuous
control [20]-[22]. It should be noted that too high a slope
in the middle part of the approximation functions (Fig. 15)
may result in excitation of the unmodeled dynamics as
well, and the trade-off between accuracy and robustness
must be achieved. In addition to that, continuous approxi-
mation is nonadmissible for many applications where
on-off operation is the "way of life" for actuators (e.g.,
thyristor or transistor conversions).
VII. CONTROL OF ELECTRIC
DRIVES
The experience that has been gained in the applications
of sliding mode algorithms testifies to their efficiency and
versatility [6]. Control of electric drives is one of the most
challenging applications due to wide use of electric ser-
vomechanisms in control systems, the advances of high-
speed switching circuitry, and insufficient linear control
methodology for internally nonlinear high-order plants
such as ac motors. Implementation of sliding modes by

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 ~

UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES 29

TABLE I
CONTROL
OF E L K IRIC MO I ORS

APPLIED STATE VARIABLB

“)R
mCNoBs brectld observers
1. Position a a6 i n, dn/dt

uex 2. Speed n n6 1 dn/dt

__
IgWCTIOB HOlVR
LPosition and flux a, it,^^ n, dn/dt

2, Speed and flux

LR

1. Position a,iffil n,dn/dt

tions to pulse-width modulation seems unjustified, it is

Fig. 14. Sliding mode in system with observer.
Fig. 15. Continuous approximation of discontinuous control.
means of the most common electric components has
turned out to be simple enough. The commercially avail-
able electronic converters enable one to handle powers of
several dozen kilowatts at frequencies of the same order.
When using converters of this type confining their func-
reasonable to turn to the algorithms with discontinuous
control actions. Introduction of discontinuities is dictated
by the very nature of converter elements. The results of
sliding mode control applications to dc, induction and
synchronous motors [6], [23]-[33] are summarized in
Table I.
All the systems have much in common: enforcing slid-
ing modes leads to low sensitivity of disturbances (load
torques) and plant parameters variations; independently
of a plant operator motion equations are of a reduced
order and linear. The wide range of functional goals of
control should be noted: angle position, rotation speed,
magnetic flux, and optimization in accordance with me-
chanical, power, and efficiency criteria. Commonly used
transducers of angle, speed, and current are installed in
the systems. The rest of the state variables (flux, time
derivatives of its components, angle acceleration) are re-
stored with the help of linear or nonlinear observers.
VIII. DC MOTORS
From the point of controllability a dc motor with con-
stant excitation is the simplest. Its motion is governed by
the second-order equation with respect to shaft angle
speed n and current i with voltage U and load torque M L
as a control and a disturbance:
Ldi/dt = -ir - ken +U (15)
Jdn/dt = k,,i - M, ( 16)
where L , J, r , k , , and k,, are constant parameters.

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 30 IEEE TRANSACTIONS ON INDUSTRIALELECTRONICS, VOL. 40, NO. 1, FEBRUARY 1993

Let n,(t) be a reference input, then the second-order motion components may be separated by rates and then
motion equation with respect to the error x , = n,(t) - n the fast one is neglected. A similar situation may happen
is of form when controlling a dc motor with a mechanical motion
being much slower than an electromagnetic one. Formally
it means that L a J in (15), (16), which may be presented
as
di
where a,, a 2 , and b are positive parameters, f(t)-a time
function depending on M,(t), n & t ) and their time deriva-
L - = -ir - k,(n,, - A n ) u
dt
(15‘) +
tives. d An
For discontinuous control J-- = -k,i + M , + Jiz,
dt
u = U() sign s, s = cxl + x2 ul,,c - const (18) with a control error An = no - n. Let us write down
the error x , decays exponentially should the sliding mode formally the equation for An making L be equal to zero.
occur on the line s = 0 since its equation Then, substitution of the solution of (15’) with L = 0
cxl + il= 0 I = --
ke
(n, - An) + -Ur
1
r
is linear and does not depend on f ( t ) ,
As follows from into (16‘) yields
S = cx2 - a l x l - a 2 x , +f ( t ) - bu, sign s
in the system (17), (18) with
Equation (23) is taken as a reduced-order model of a dc
> 1~x2- ~ 1 x 1- ~ 2 x 2+ f ( t > I (19) motor. Within the framework of the model (23), discontin-
the values of s and S have opposite signs and the state uous control U = uOsign A n , depending only on the con-
reaches the sliding line s = 0 after a finite time interval. trol error (in contrast to (18), depending on its time
Inequality (19) determines the voltage needed for enforc- derivative) for high enough U , , provides the sliding mode
ing the sliding mode, as a result, the control error is in “manifold” An = 0; and, as a result ideal tracking the
steered to zero. reference input n,,(t) by the shaft rotation speed. How-
For implementation of control (181, angle acceleration ever, as it was discussed in Section VI, the unmodeled
is needed ( x 2 = ii, - iz). Under the assumptions that the dynamics (15‘) may excite nonadmissible chattering. Fol-
angle speed n and the current i can be measrued directly lowing the recommendation of Section VI, chattering may
and the load torque varies slowly or be eliminated by using asymptotic observers.
Bearing in mind that M , = 0, let us design an asymp-
dM,/dt = 0 (20) totic observer to estimate An (23) and M,:
a conventional Luenberger reduced-order observer may
d An k,,k, krn
be designed: J- = -(no - An) - -U
dt r r
dM/dt = 1/J( -1M + l’n + lk,i) (21) + M, + .hio+ l,(An - A n ) (24)
with 1 - const, as an estimate of M = M , + In. Ac-
dML
cording to (161, (2!), and (21) the equation for the mis- ~ = /,(An - An)
match M = M - M is of the form dt
1- where A n and kLare estimates for An and M,, li and 1,
dM/dt= --M. are constant. Control is a discontinuous function of the
J error estimate
By a proper choic? of gain 1, the desired convergence rate
u = u0 sign A n . (26)
of to zero or M - In to M , may be provided. It means
that the load torque is known and the time derivative The values of A, and its time derivative (24) have differ-
d n / d t may be found from (16). ent signs if
Similarly, the sliding mode control may be designed for
position and torque control with or without measurement U, > k,(n, - An)
r ,. Jr
+ -MI> + -iz, + - ( A n
1,r A

- An) .
of the motor current. In addition to control of mechanical krn k km
coordinates, optimization in accordance with a power
consumption criterion may be provided for dc motors with
a controlled excitation current [6]. Origination of the sliding mode means that the discyntin-
Section VI was dedicated to sliding mode control in the uous control (26), (27) reduces the error estimate An to
systems with unmodeled dynamics in which the partial zero. To derive a sliding mode equation in accordance

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UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES 31

with the equivalent control method (Sect. III), the solu-

tion to dii/dt = 0 (24) with respect to control

whtre n is a rotor angle velocity, and two-dimensional

vectors 4T = (4a,4p);iT = ( i , , i p ) , uT = ( u a , u p )are ro-
should be substituted into system (15'), (16'), (25) for U: tor flux, stator curent, and voltage in the fixed coordinate
system ( a , p), respectively; M and M L are a torque
developed by a motor and a load torque, u R ,U , , U,-phase
voltages, which may be made equal either to uo or -uo;
d An e R ,e,, e , are unit vectors of phase windings R , S, T ; and
J-
dt
= -k,i + M L + Jli, (29) J , x H ,x s , x R , rR,rs are motor parameters.
The control goal is to make one of the mechanical
dkL coordinates, for example, an angle speed n(t),be equal to
-= -12An. ( 30) a reference input n o ( t ) and the magnitude of the rotor
dt
flux Il+(t>ll be equal to its scalar reference input 4,(t>.
Equations (281, (29), (3?), and ML = 0 describe the sliding The deviations from the desired motions are described by
mode in the manifold An = 0. According to the theory of the functions
singularly perturbed systems [18] for L 4 J , the fast mo-
tion of the linear system may be neglected by zeroing the
parameter L. Substitution of the solution to algebraic
equation (28) ( L = 0) with respect to i j n t o (29) results in
a motion equation for A n and aL
= ML - MI.:

JAri= -
kekm
-An
r
a - 1, An
-
and c,, c2 are const positive values.
The static inverter forms three independent controls
u R , u s , u T , so one degree of freedom can be used to
ML = -1, An
satisfy some additional criterion. Let the voltages
Apparently the eigenvalues of the homogeneous system uR,u s , uT constitute a three-phase balanced system, which
may be assigned at our will by a proper choice of 1, and 1, means that the equality
and the desired rate of the control error An decay may be
guaranteed.
The principal advantage of the reduced-order-based
method is that the angle acceleration is not needed for should hold for any t .
designing sliding mode control. If all three functions s,, s2,s3 are equal to zero then, in
addition to balanced system condition (32), the speed and
IX. INDUCTION
MOTORS
flux mismatches decay exponentially since s, = 0, s, = 0
The most simple, reliable and economic of all with c1,c2> 0 are first-order differential equations. This
motors-maintenance-free induction motors-supersede means that the design task is reduced to enforcing the
dc motors in today's technology, although, in terms of sliding mode in the manifold s = 0, sT = (sl, s,, s3) in the
controllability, induction motors seem the most compli- system (31) with control uT = ( u R ,u s , U , ) . Projection of
cated. Their behavior is described by a nonlinear high- the system motion on subspace s can be written as
order system of differential equations:
ds
dn 1 ' H . -==++U (33)
_ -- - ( M - M L ) ,M = - ip4,) dt
dt J XR
where vector F = (f l , f 2 , 0) and matrix D do not depend
'4a
- - - -4,
'R
- n4b + rR-z,
x H . on control and are continuous functions of the motor
dt xR XR state and inputs. Matrix D is of form

D= I':[ D, =

di, -
_
dt
dip
-
x,xR
'R
- X;
i--
'H
x R dt
'4,
- r,i, + U,
and
_ - - rsi, + up
d = (1,1, l ) , k - const,det D f 0.

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 32 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40, NO. 1, FEBRUARY 1993

Discontinuous control will be designed using the Lya- As

-
foliows from (31) the estimation error $, = 4, +,,
-
punov function 4, = 4, - 4, should satisfy differential equations
U = 0 . 5 2~ 0.~ ~ d$, 'R - -
~

dt
= -4,
xR
- n4,
Find its time derivative on the state trajectories of system
(33): d p -
- - - -
'R
-4, + n$,. (37)
du/dt = s T (F + Du). (34) dt XR

The time derivative of Lyapunov function

Substitution of control
U = OS($: + $;) >0
U = -Ug sign s * , s* = DTs
on the solutions of (37)
(s*f = (s;,s;,s;)

into (34) yields

is negative, which testifies tc expon:ntial convergence of U
du/dt = ( s * ) ~ F *- uoIs*I to zero and the estimates 4, and 4, to the real values of
where
4, and 4,. The known values +,, +,,
i, and i, enable
one to find the time derivatives d+,/dt and d+,/dt from
the estimator equation (36) and then dll4ll/dt needed for
designing the discontinuity surface s2 = 0.
The equation of the discontinuity surface s, depends on
acceleration dn/dt. Since the values of 4, and 4, have
The conditions been found and the currents i , and i, are measured
directly, the motor torque may be calculated:
Ug > Ifi*l, i = 1,2,3 (35) = (xH/xR)(icr4, -

provide negativeness of du/dt and hence the origin in the
space s* (and by virtue of det D f 0 in the space s as
well) is asymptotically stable. Hence sliding mode arises in
the manifold s = 0, which enables one to steer the vari-
ables under control to the desired values. Note that the
existence condition (35) are inequalities, therefore the
only range of parameter variations and a load torque
should be known for the choice of necessary values of
phase voltages.
The equation of discontinuity surfaces s* = 0 depend
on an angle acceleration, rotor flux, and its time deriva-
tive. These values may be found using asymptotic ob-
servers under the assumption that an angle speed n and
stator currents iR,is, i , are measured directly. Bearing in
mind that
Under the assumption that the load torque M L varies
slowly the value of dn/dt may be found using the ob-
server (21) designed for a dc motor.
The maintenance of an electric drive would be simpli-
fied considerably if it can be designed with no transducers
of mechanical coordinates. A rotor flux and angle speed
may be found simultaneously with the help of a nonlinear
observer with discontinuous parameters and stator cur-
rents and voltages as its inputs [30]:
di,
-_
dt
- xR

x,xR - x i i--
xH
xR dt
d6a - r,i, +U,

design an observer with the state vector (J,, as an 4,)

estimate of rotor flux components +a and 4, and with i, where J,, J,, L, and &
are estimates of the current and
and i, as inputs: flux components. The estimate of the angle speed ii and
auxiliary parameter CL. are discontinuous functions of the
-
d $-
current estimate errors
a

dt
-
rR
-4,
XR
A

- n4, + rR-ia
xH.
XR

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UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES 33

For large enough no and po,a sliding mode aJises in the :n

:urfaces of s, = 0 and sp = 0, resulting in i, = i, and
. .
I, = I , . Functions fi and p in (28) should be replaced by
h, and p,,-solutions of the system S, = 0, S, = 0 with
respect to A and p. The analysis of the system (38)
dynamics in sliding mode shows that fie, = n , peq- 0 is
an asymptotically stable equilibrium point and the ob-
server enables restoration of both an angle speed and
stator flux. The value of he, may be found using a
low-pass filter.
Efficient speed (position) control algorithms imply de-
coupling the overall motion into two components, depend-
ing on the orientation of the motor flux, and then corre- Fig. 16. “Torque-speed” diagram of induction motor.
spondingly design of control components providing de-
sired values of the motor flux and torque. On one hand,
In the framework of the model (39) and (40), the sliding
the field-oriented control design methods need informa-
tion on the current values of flux components, obtained mode control is a discontinuous function of the control
error
with the help of sensors, and, on the other hand, nonlin-
ear state-dependent coordinate transformations. These s = s,, sgn [ n o (t ) - n ] . (41)
reasons may hinder implementation of induction motor
control systems, in particular for low-power electric drives For M,, > IM, + Jriol the values (T = no - n and b have
when application of complex control algorithms may prove different signs, therefore after a finite time interval the
to be unjustified. sliding mode occurs and the motor shaft rotation speed is
Similarly, to dc motors application of reduced-order equal to the reference input identically.
models enables simplification of control algorithms. The The second approach to the design of the sliding mode
dynamic processes in induction motors may consist of control algorithm is based on the assumption that the
partial motions of different rates. The rate of varying of a time constant related to the motor flux is considerably
magnetizing current may be much faster than that of greater than that of the leakage flux.
mechanical rotation; the time constant associated with The angle cp between the vectors U and i,, (magnetiz-
stator and rotor currents is much less than a magnetizing ing component of the stator current) is handled as a
one. As follows from the theory of singularly perturbed control action. Within the framework of the reduced-order
systems [18] the existence of rate-separated motions en- model, jumpwise increment of cp by n- leads to a jumpwise
ables order reduction of the system and, as a result, change of the stator current while the flux remains contin-
simplfication of the design procedure. uous in time. The motor torque being a vector product of
We shall consider two versions of induction motor current and flux undergoes discontinuity, hence the right-
control systems based on reduced-order models-of the hand side in the equation of the mechanical motion may
first and of the third orders 1331. In the first case, the change sign, which results in acceleration or deceleration
electromagnetic dynamics is neglected and in the second of the motor shaft rotation. Inversion of the voltage phase
the processes associated with leakage fluxes. The motor is performed in correspondence with
slip and phase are handled as control actions and de-
signed as discontinuous functions of control error, which 77

is steered to zero due to enforcing sliding modes. The first a,(t) = a ( t ) - -(12
- sgn a ) (T = n o ( t ) - n (42)
design method is oriented to induction motors with a high
inertia moment reduced to the rotor shaft. where a ( t ) is continuous function depending on the con-
Neglecting the electromagnetic dynamics means that trol algorithm (in particular a ( t >= ~ , t o1 , = const cor-
the rotation speeds of the flux and voltage coincide and responds to voltage rotation at constant speed). Similarly,
w1 = n + s, where s is a motor slip. The above procedure to (41) the discontinuous control (42) makes the signs of U
results in and 6 opposite, and due to origination of sliding mode
the rotor speed tracks the reference input.
Jri = M ( s ) - ML (39) For the above control algorithms it is assumed that the
motor slip or the phase of the voltage are discontinuous
where M ( s ) is the well-known induction motor “torque-
functions of the control error. However, the only motor
slip” characteristics (Fig. 16). slip control with constant voltage amplitude may result in
The maximum value of the motor torque M,, corre-
too high magnitude of the current (the flux) at low rotor
sponds to the critical value of slip and for Is1 < s,,
speed, also the only phase control is unable to provide the
wide range of rotor speed control. Then the system com-
bining both control methods will be needed since chang-
ing the voltage phase by n- means that inversion of its sign

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 34 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 40, NO. 1, FEBRUARY 1993

and switching at high frequency is equivalent to reducing magnets governed by differential equations:
average value of voltage amplitude.
Let the value of the input voltage rotation speed be did
xd- dt = - ~ df xd iq n f ud
formed in correspondence with the slip control algorithm.
w1 = n + s,, sgn a
Taking into account the phase control algorithm (42) and
relationships
IT
CY, = ( w , dt - -(1 - sgn a )
2 dY -
_ -n (44)
obtain dt

?r where (d, q ) is an orthogonal coordinate system with the

CY, = l ( n + s, sgn u ) d t - -(1 - sgn a ) . d axis oriented along a rotor winding; i d , i,, u d ,U , are
2 stator current and voltage components; $ = const - rotor
Origination of the sliding mode means that the control flux;n - rotor speed, M and M L are the motor and load
mismatch is steered to zero. torques; and r , xd, x,, J motor parameters,
The small time constants having been neglected in the
reduced order models may result in an oscillatory compo-
nent in system coordinates since switching in control
excites the unmodeled dynamics. The chattering phe-
nomenon is eliminated in the sliding mode control sys-
tems with asymptotic observers (see Section VI). In practi-
cal applications, the observers were designed under the
assumption that the load torque varies much slower than
the motor state variables.
In the system with an observer, the estimate A of the
rotor speed is used in the switching function U,, u s , u T ,i,, is, i, are phase stator voltages and currents,
u=no-A and y is the angle between phase R and the rotor. Let
the functions
while the observer is governed by equations
dh
J- = ( p , sgn u - p , -~k L +
) l,(n - A)
dt
dkL
(43) Sg = [(U, f Us + U,)dt
-- - -l,(n - A)
dt similar to an induction motor be deviations from the
with pl,p , , I,, 1, constant. desired motion. The third goal of control is to make the
The first equation of the observer is similar to motion component id be equal to a reference input io. It means
equation with respect to n in the reduced-order system of that the control uT = ((U,, u s , U , ) should enforce the
the 3-d order, the second one implies that the load torque sliding mode in the manifold sT = (sl, s, s,) = 0, s2 = io
varies slowly. The main advantage of using an estimate A - id = 0. The equations of the system (44)motion projec-
instead of the real value of n consists in the possibility of tion on s subspace are derived by the differentiating
generating an ideal sliding mode in spite of the presence vector s
of unmodeled dynamics. Indeed, for high enough value of ds
p 1 the values of u and 6 have different signs and it does -=F++u
dt
not matter whether the full or reduced-order model is
dealt with. The above condition testifies to the existence where F T = (f,,f,,f3),f3 = 0, scalar functions f,,f2 de-
of the sliding mode with a = 0 or A = no.As follows from pend on the motor state and reference inputs, load torque,
(43) n = A = no in the steady-state mode, which is the and their time derivatives,
goal of control. It is known that in the systems with no
observers unmodeled dynamics results in chattering in- dT 1
stead of sliding mode.
MOTOR
X. THESYNCHRONOUS
The sliding mode control design methods will be
demonstrated for synchronous motors with permanent

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UTKIN: SLIDING MODE CONTROL DESIGN PRINCIPLES 35

hence d u / d t 5 -(2r/x,)u, which testifies to exponential

convergence of U to zero and the observer state to real
values of stator current components.
x = -[( ‘ d - x q ) / J x d ] Zq

Y = -(l/J x,)[(x, - xy)i, + 4. XI. CONCLUSION

The paper has outlined the mathematical background
The discontinuous control is designed within the frame- and sliding mode control design philosophy oriented to
work of the induction motor control design method dis- high-dimensional nonlinear systems operating under un-
cussed in Section IX: certainty conditions and has demonstrated its applicability
U = -U,, sign s* s* = DTs to control of different types of electric motors. The elec-
tric drives with sliding mode control have already been
used in many applications: metal-cutting machine tools
(feed and spindle drives), robotics (tracking position and
Only the ranges of plant parameters and disturbances
speed control of manipulator links), transport (battery-
should be known to find necessary magnitudes of phase
driven cars and trams), and process control (fiber drafting
voltages to generate the sliding mode in the manifold
process) 131, [61.
s = 0 with desired dynamics.
An assessment of the scientific arsenal accumulated in
The choice of the reference input i,, is usually dictated
the sliding mode control theory is beyond the scope of the
by requirements for a motor static mode. For instance, a
paper therefore we confine ourselves to mentioning new
motor torque is maximal if
research areas initiated by scientific groups of many coun-
tries: geometric approach to design, control of infinite-
dimensional (including distributed and time-delay) plants,
sliding mode in discrete-time systems, Lyapunov function
based design methods, control of power electronic con-
Because in real-life conditions the stator current is always verters, aircraft, and combustion engines.
bounded, for i, =f(i,) enforcing sliding mode in the
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Vadim 1. Utkin was born in Moscow, USSR in
1937. He received the Dipl. Ing. degree from the
Moscow Power Institute in 1960 and the Candi-
date (Ph.D.) and Doctor degrees from the Insti-
tute of Control Sciences in 1964 and 1971, re-
spectively.
Since 1960 he has been with the Institute of
Control Sciences, since 1973 he has been Head
of the Diwmtinuous Control Systems Labora-
tory He is d part-time Professor at Polytechni-
cal Institute He was a Visiting Professor at the
University of Illinois, Urbana-Champaign, from 1975 to 1976 and the
University of Tokyo in 1991.
Dr. Utkin is Honorary Doctor at the University of Sarajevo, Yu-
goslavia (1978). Dr. Utkin was awarded the Lenin Prize in 1972. His
research interest$ are sliding mode controls, discontinuous dynamic
systems, infinite dimensional systems, and control of electric drivers,
vehicles, manipulators, and industrial processes He has published four
books and more than 170 technical papers.
Dr. Utkin is an Associate Editor of the IFAC JournalAutomatica and
the Intemational Journal of Control He was a Chairman of the Interna-
tional Program Committee of the l l th IFAC Congress in 1990.