Sliding Mode Control Tutorials-17 CTD

TUTORIALS ON SLIDING MODE
CONTROL
September 20, 2010

Advanced State Observers
Observers
CLO
HGO
SMO
Observers-A Survey ESO
I Classical observers such as the Kalman Filter and

Luenberger Observer depend on accurate
mathematical representation of the plant.
I These state observers are useful in system monitoring
and regulation as well as detecting and identifying
failures in dynamical systems.
I The presence of disturbances, dynamic uncertainties
and non-linearities pose a great challenge in practical
application of these observers.
D Viswanath Sliding Mode Control Sep 2010 2/ 19

Observers
CLO
HGO
SMO


Observers
CLO
HGO
SMO


Observers-A Survey Observers

CLO
I The design of a robust observer which overcomes the HGO
SMO
above challenge has been attempted by many ESO
researchers and several advanced observer designs have

been proposed. Some are:-
I High Gain Observer proposed by Khalil [1] and
Esfandiari [2] for the design of output feedback
controllers.
I Sliding Mode Observer proposed by Slotine [3] and
Utkin [?].
I A class of non-linear extended state observers (NESO)
proposed by J.Han [4].
I Sliding mode control with perturbation
estimator(SMCPE) based on time delay control by
Elmali and Olgac [5]

CLO
SMO

controllers.
Utkin [?].

CLO
SMO

controllers.
Utkin [?].

CLO
SMO

controllers.
Utkin [?].

CLO
SMO

controllers.
Utkin [?].
Observers
CLO
HGO
SMO
ESO
Observers-A Survey
I Sliding mode state and perturbation observer
(SMSPO) by Olgac [6].
(SMSPO) by Jiang [7].
I Wang and Gao [8] carried out a comparison study of
first three advanced state observers.

Observers
CLO
HGO
SMO
ESO
Observers-A Survey

Observers
CLO
HGO
SMO
ESO
Observers-A Survey

Observers-A Survey
Observers
Classical Luenberger Observer CLO
HGO
I Consider a linear, time invariant continuous time SMO
ESO
dynamical system given by
ẋ = Ax + Bu (1)
y = Cx
where the matrices A,B and C are parameters of the

state space model.
I The Luenberger observer for the above plant is given as
x̂˙ = Ax̂ + Bu + L(y − Cx̂) (2)
where L is the observer gain matrix which can be

found using pole placement.

Observers-A Survey
Observers
Classical Luenberger Observer CLO
HGO
I Consider a linear, time invariant continuous time SMO
ESO
dynamical system given by
ẋ = Ax + Bu (1)
y = Cx
where the matrices A,B and C are parameters of the

state space model.
I The Luenberger observer for the above plant is given as
x̂˙ = Ax̂ + Bu + L(y − Cx̂) (2)
where L is the observer gain matrix which can be

found using pole placement.

Observers-A Survey
Observers
CLO
Classical Luenberger Observer HGO

SMO
ESO
I The estimation error is given as
e = x − x̂ (3)
I Differentiating the above equation, the error dynamics

is arrived at as
ė = (A − LC)e (4)
I The estimation error will converge to zero if (A − LC)

has all its eigen values in the left half plane.

Observers-A Survey
Observers
CLO

SMO
ESO
e = x − x̂ (3)

is arrived at as
ė = (A − LC)e (4)


Observers-A Survey
Observers
CLO

SMO
ESO
e = x − x̂ (3)

is arrived at as
ė = (A − LC)e (4)


Observers-A Survey
Classical Luenberger Observer Observers

CLO
I Considering a second order dynamic system, HGO
SMO
ESO
ẋ1 = x2 (5)
ẋ2 = −a1 x1 − a2 x2 + b0 u
I Assuming that the output variable (or state) is the

only state available for measurement i.e.,y = x1 , the
Luenberger observer for the above plant is given as
x̂˙ 1 = x̂2 + l1 (x1 − x̂1 ) (6)

x̂˙ 2 = −a1 x̂1 − a2 x̂2 + b0 u + l2 (x1 − x̂1 )
where L = [l1 l2 ]T is the observer gain matrix which

can be found using pole placement.
Observers-A Survey

CLO
SMO
ESO
ẋ1 = x2 (5)
ẋ2 = −a1 x1 − a2 x2 + b0 u
I Assuming that the output variable (or state) is the

only state available for measurement i.e.,y = x1 , the
Luenberger observer for the above plant is given as
x̂˙ 1 = x̂2 + l1 (x1 − x̂1 ) (6)

x̂˙ 2 = −a1 x̂1 − a2 x̂2 + b0 u + l2 (x1 − x̂1 )

can be found using pole placement.
Observers-A Survey

CLO
I Defining estimation error x̃ = x − x̂, differentiating and HGO
SMO
substituting the above equations gives ESO
x̃˙ 1 = x̃2 − l1 (x̃1 ) (7)

x̃˙ 2 = −a1 x̃1 − a2 x̃2 − l2 (x̃1 )
I Hence the estimation error dynamics can be given as
x̃˙ 1

−l1 1 x̃1
˙x̃2 = −a1 − l2 −a2 x̃2
(8)
or
x̃˙ 1

0 1 x̃1 −l1 0 x̃1
= + (9)
x̃˙ 2 −a1 −a2 x̃2 −l2 0 x̃2
Observers-A Survey

CLO
I Defining estimation error x̃ = x − x̂, differentiating and HGO
SMO
substituting the above equations gives ESO
x̃˙ 1 = x̃2 − l1 (x̃1 ) (7)

x̃˙ 2 = −a1 x̃1 − a2 x̃2 − l2 (x̃1 )
x̃˙ 1

−l1 1 x̃1
˙x̃2 = −a1 − l2 −a2 x̃2
(8)
or
x̃˙ 1

0 1 x̃1 −l1 0 x̃1
= + (9)
x̃˙ 2 −a1 −a2 x̃2 −l2 0 x̃2
Observers-A Survey
Observers
CLO
HGO
SMO
Classical Luenberger Observer ESO
I Now consider that the above second order plant

contains uncertainties, non-linearities and external
disturbances. Hence it can be expressed as
ẋ1 = x2 (10)
ẋ2 = f(x) + b0 u
where f(x) = f0 (x) + d and f0 (x) = −a1 x1 − a2 x2 . d is

a composite term for uncertainties, non-linearities and
external disturbances.

Observers-A Survey
Observers
CLO
HGO
SMO
High Gain Observer ESO
I The high gain observer (HGO) has an error dynamics

structure which is the same as the Luenberger
Observer.
I The difference is in the selection of the observer gains.
I In case of Luenberger Observer, these gains are
calculated using pole placement.
I In the case of HGO, the observer gains calculated
using pole placement are divided by a quantity such
that 0 < < 1.

Observers-A Survey
Observers
CLO
HGO
SMO

Observer.
that 0 < < 1.

Observers-A Survey
Observers
CLO
HGO
SMO

Observer.
that 0 < < 1.

Observers-A Survey
Observers
CLO
HGO
SMO

Observer.
that 0 < < 1.

Observers-A Survey
High Gain Observer Observers

CLO
SMO
ESO
ẋ1 = x2 (11)
ẋ2 = f(x) + b0 u
I The High Gain Observer for the above plant is given as
x̂˙ 1 = x̂2 + h1 (x1 − x̂1 ) (12)

x̂˙ 2 = f0 (x̂) + b0 u + h2 (x1 − x̂1 )
where H = [h1 h2 ]T is the observer gain matrix which

can be found by dividing the values calculated using
pole placement by the quantity such that 0 < < 1
i.e., h1 = l1 and h2 = l22 .
Observers-A Survey
High Gain Observer Observers

CLO
SMO
ESO
ẋ1 = x2 (11)
ẋ2 = f(x) + b0 u
I The High Gain Observer for the above plant is given as
x̂˙ 1 = x̂2 + h1 (x1 − x̂1 ) (12)

x̂˙ 2 = f0 (x̂) + b0 u + h2 (x1 − x̂1 )
where H = [h1 h2 ]T is the observer gain matrix which

can be found by dividing the values calculated using
pole placement by the quantity such that 0 < < 1
i.e., h1 = l1 and h2 = l22 .
Observers-A Survey
Observers
CLO
High Gain Observer HGO
SMO
ESO
I Defining estimation error x̃ = x − x̂, differentiating and
substituting the above equations gives
x̃˙ 1 = x̃2 − h1 (x̃1 ) (13)

x̃˙ 2 = f(x) − f0 (x̂) − h2 (x̃1 )
x̃˙ 2 = δ(x) − h2 (x̃1 )
x̃˙ 1

−h1 1 x̃1 0
˙x̃2 = −h2 0 x̃2
+
1
δ(x) (14)

Observers-A Survey
Observers
CLO
High Gain Observer HGO
SMO
ESO
I Defining estimation error x̃ = x − x̂, differentiating and
substituting the above equations gives
x̃˙ 1 = x̃2 − h1 (x̃1 ) (13)

x̃˙ 2 = f(x) − f0 (x̂) − h2 (x̃1 )
x̃˙ 2 = δ(x) − h2 (x̃1 )
x̃˙ 1

−h1 1 x̃1 0
˙x̃2 = −h2 0 x̃2
+
1
δ(x) (14)

EXERCISE
Observers
CLO
HGO
SMO
ESO
High Gain Observer-Exercise

I What is the physical significance of dividing the
observer gains calculated using pole placement by a
quantity such that 0 < < 1 in the case of HGO?
I What are the disadvantages of HGO?

EXERCISE
Observers
CLO
HGO
SMO
ESO
High Gain Observer-Exercise

I What is the physical significance of dividing the
observer gains calculated using pole placement by a
quantity such that 0 < < 1 in the case of HGO?
I What are the disadvantages of HGO?

Observers-A Survey
Sliding Mode Observer Observers

CLO
SMO
ESO
ẋ1 = x2 (15)
ẋ2 = f(x) + b0 u
I The Sliding Mode Observer (SMO) for the above plant

with y = x1 is given as
x̂˙ 1 = x̂2 + l1 (y − x̂1 ) + k1 sgn(y − x̂1 ) (16)

˙x̂2 = f0 (x) + b0 u + l2 (y − x̂1 ) + k2 sgn(y − x̂1 )

can be calculated using pole placement and
K = [k1 k2 ]T > 0.
Observers-A Survey
Sliding Mode Observer Observers

CLO
SMO
ESO
ẋ1 = x2 (15)
ẋ2 = f(x) + b0 u
I The Sliding Mode Observer (SMO) for the above plant

with y = x1 is given as
x̂˙ 1 = x̂2 + l1 (y − x̂1 ) + k1 sgn(y − x̂1 ) (16)

˙x̂2 = f0 (x) + b0 u + l2 (y − x̂1 ) + k2 sgn(y − x̂1 )

can be calculated using pole placement and
K = [k1 k2 ]T > 0.
Observers-A Survey
Observers
Extended State Observer CLO
HGO
SMO
I Consider a second order dynamic system, ESO
ẋ1 = x2 (17)
ẋ2 = f(x) + b0 u
I The non-linear function f(x) is now considered as an

extended state x3 and the above set of equations can
be modified as
ẋ1 = x2 (18)
ẋ2 = x3 + b0 u
ẋ3 = h

Observers-A Survey
Observers
Extended State Observer CLO
HGO
SMO
I Consider a second order dynamic system, ESO
ẋ1 = x2 (17)
ẋ2 = f(x) + b0 u
I The non-linear function f(x) is now considered as an

extended state x3 and the above set of equations can
be modified as
ẋ1 = x2 (18)
ẋ2 = x3 + b0 u
ẋ3 = h

Observers-A Survey
Observers
CLO
Extended State Observer HGO
SMO
I The Extended State Observer (ESO) for the above ESO
plant with y = x1 is given as
x̂˙ 1 = x̂2 + β1 (y − x̂1 ) (19)

x̂˙ 2 = x̂3 + b0 u + β2 (y − x̂1 )
x̂˙ 3 = β3 (y − x̂1 )
where β = [β1 β2 β3 ]T is the observer gain matrix

which can be calculated using pole placement in case
of Linear ESO.
I How are the gains selected in case of Non-linear ESO
(NESO)?

Observers-A Survey
Observers
CLO
HGO
SMO
ESO
Sliding Mode Control Perturbation Estimator

I

Observers-A Survey
Observers
CLO
HGO
SMO
ESO
Sliding Mode Control Perturbation Estimator

I

Observers-A Survey
Observers
CLO
HGO
SMO
ESO
Sliding Mode State and Perturbation

Observer - Olgac
I

Observers-A Survey
Observers
CLO
HGO
SMO
ESO

Observer - Olgac
I

Observers-A Survey
Observers
CLO
HGO
SMO
ESO

Observer - Jiang
I

Observers-A Survey
Observers
CLO
HGO
SMO
ESO

Observer - Jiang
I

Khalil, H., “High Gain Observers in Nonlinear Feedback
Control:New Directions in Nonlinear Observer Design,”
Lecture Notes in Control and Information Sciences, Observers
CLO
Vol. 24, No. 4, 1999, pp. 249–268. HGO
SMO
ESO
Esfandiari and Khalil, “Output feedback stabilisation of
fully linearisable systems,” International Journal of
Control, Vol. 56, 1992, pp. 1007–1037.
Slotine, J. J. E. and Misawa, E. A., “On Sliding Mode
Observers for Nonlinear Systems,” Journal of Dynamic
Systems, Measurement and Control, Vol. 109, 1987,
pp. 245–252.
Elmali, H. and Olgac, N., “Sliding Mode Control with

Perturbation Estimation (SMCPE): A New Approach,”
International Journal of Control, Vol. 56, No. 4, 1992,
pp. 923–941.
Moura, J.T., E. H. a. O. N., “Sliding Mode COntrol
with Sliding Perturbation Observer,” Transactions of
the ASME, Journal of Dynamic Systems,Measurement, Observers
CLO
and Control, Vol. 119, 1997, pp. 657–665. HGO
SMO
ESO
Jiang, L.and Wu, Q., “Nonlinear Adaptive Control via
Sliding-mode State and Perturbation Observer,” IEE
Proc.- Control Theory Applications, Vol. 149, No. 4,
2002, pp. 269–277.
Wang, W. and Gao, Z., “A Comparison Study of
Advanced State Observer Design Techniques,”
Proceedings of the American Control Conference,
Denver, Colorado, 2003, pp. 4754–4759.

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TUTORIALS ON SLIDING MODE

September 20, 2010

I Classical observers such as the Kalman Filter and

D Viswanath Sliding Mode Control Sep 2010 2/ 19

I Classical observers such as the Kalman Filter and

D Viswanath Sliding Mode Control Sep 2010 2/ 19

I Classical observers such as the Kalman Filter and

D Viswanath Sliding Mode Control Sep 2010 2/ 19

Observers-A Survey Observers

above challenge has been attempted by many ESO

researchers and several advanced observer designs have

Observers-A Survey Observers

above challenge has been attempted by many ESO

researchers and several advanced observer designs have

Observers-A Survey Observers

above challenge has been attempted by many ESO

researchers and several advanced observer designs have

Observers-A Survey Observers

above challenge has been attempted by many ESO

researchers and several advanced observer designs have

Observers-A Survey Observers

above challenge has been attempted by many ESO

researchers and several advanced observer designs have

D Viswanath Sliding Mode Control Sep 2010 4/ 19

D Viswanath Sliding Mode Control Sep 2010 4/ 19

D Viswanath Sliding Mode Control Sep 2010 4/ 19

dynamical system given by

where the matrices A,B and C are parameters of the

x̂˙ = Ax̂ + Bu + L(y − Cx̂) (2)

where L is the observer gain matrix which can be

D Viswanath Sliding Mode Control Sep 2010 5/ 19

dynamical system given by

where the matrices A,B and C are parameters of the

x̂˙ = Ax̂ + Bu + L(y − Cx̂) (2)

where L is the observer gain matrix which can be

D Viswanath Sliding Mode Control Sep 2010 5/ 19

Classical Luenberger Observer HGO

I Differentiating the above equation, the error dynamics

I The estimation error will converge to zero if (A − LC)

D Viswanath Sliding Mode Control Sep 2010 6/ 19

Classical Luenberger Observer HGO

I Differentiating the above equation, the error dynamics

I The estimation error will converge to zero if (A − LC)

D Viswanath Sliding Mode Control Sep 2010 6/ 19

Classical Luenberger Observer HGO

I Differentiating the above equation, the error dynamics

I The estimation error will converge to zero if (A − LC)

D Viswanath Sliding Mode Control Sep 2010 6/ 19

Classical Luenberger Observer Observers

I Assuming that the output variable (or state) is the

x̂˙ 1 = x̂2 + l1 (x1 − x̂1 ) (6)

where L = [l1 l2 ]T is the observer gain matrix which

Classical Luenberger Observer Observers

I Assuming that the output variable (or state) is the

x̂˙ 1 = x̂2 + l1 (x1 − x̂1 ) (6)

where L = [l1 l2 ]T is the observer gain matrix which

Classical Luenberger Observer Observers

x̃˙ 1 = x̃2 − l1 (x̃1 ) (7)

I Hence the estimation error dynamics can be given as

Classical Luenberger Observer Observers

x̃˙ 1 = x̃2 − l1 (x̃1 ) (7)

I Hence the estimation error dynamics can be given as

I Now consider that the above second order plant