Industrial System

Cook, G.E., Anderson, K., Barnett, R.J., Wallace, A.K., Spe, R., Sznaier, M.
, Snchez
Pea, R.S. Industrial Systems
The Electrical Engineering Handbook
Ed. Richard C. Dorf
Boca Raton: CRC Press LLC, 2000
2000 by CRC Press LLC
104
IndusfrIaI Sysfems
104.1 Welding and Bonding
Contiol System Requiiements System Paiameteis Welding
System Sensing Modeling Contiol Conclusions
104.2 Laige Diives
Confguiations Selection and Compatibility Piinciples and
Featuies of Opeiation Contiol Aspects Futuie Tiends
104.3 Robust Systems
Robustness and Feedback Robust Stability and Peifoimance
Contiol Stiuctuied Unceitainty Robust Identifcation
104.1 We!ding and Bunding
Ceorge . Coo|, Krrnn Anderen, ond Foberr joe| ornerr
Most welding piocesses iequiie the application of heat oi piessuie, oi both, to pioduce a bond between the
paits being joined. The welding contiol system must include means foi contiolling the applied heat, piessuie,
and fllei mateiial, if used, to achieve the desiied weld miciostiuctuie and mechanical piopeities.
Welding usually involves the application oi development of localized heat neai the intended joint. Welding
piocesses that use an electiic aic aie the most widely used in industiy. Othei exteinally applied heat souices
of impoitance include election beams, laseis, and exotheimic ieactions (oxyfuel gas and theimit). Foi fusion
welding piocesses, a high eneigy density heat souice is noimally applied to the piepaied edges oi suifaces of
the membeis to be joined and is moved along the path of the intended joint. The powei and eneigy density
of the heat souice must be suffcient to accomplish local melting.
Cuntru! System Requirements
Insight into the contiol system iequiiements of the diffeient welding piocesses can be obtained by consideiation
of the powei density of the heat souice, inteiaction time of the heat souice on the mateiial, and effective spot
size of the heat souice.
A heat souice powei density of appioximately 10
3
W/cm
2
is iequiied to melt most metals Eagai, 1986].
Below this powei density the solid metal can be expected to conduct away the heat as fast as it is being intioduced.
On the othei hand, a heat souice powei density of 10
6
oi 10
7
W/cm
2
will cause vapoiization of most metals
within a few micioseconds, so foi highei powei densities no fusion welding can occui. Thus, it can be concluded
that the heat souices foi all fusion welding piocesses lie between appioximately 10
3
and 10
6
W/cm
2
heat intensity.
Examples of welding piocesses that aie chaiacteiistic of the low end of this iange include oxyacetylene welding,
electroslag welding, and thermit welding. The high end of the powei density iange of welding is occupied by
laser beam welding and electron beam welding. The midiange of heat souice powei densities is flled in by
the vaiious aic welding piocesses.
Foi pulsed welding, the inteiaction time of the heat souice on the mateiial is deteimined by the pulse
duiation, wheieas foi continuous welding the inteiaction time is piopoitional to the spot diametei divided by
the tiavel speed. The minimum inteiaction time iequiied to pioduce melting can be estimated fiom the ielation
foi a planai heat souice given by Eagai, 1986]
Ceorge . CooI
Vonderb|r Inverry
KrIsfInn Andersen
More| Corororon
Rolerf }oeI Barneff
Vonderb|r Inverry
AIan K. WaIIace
Oregon Srore Inverry
Rene Spee
Oregon Srore Inverry
NarIo SznaIer
Penny|vono Srore Inverry
Inverry Por|
RIcardo S. Snchez ena
Inverry of ueno Are
Argenrno
m
K/
J
]
2
wheie
J
is the heat souice density (watts pei squaie centimetei) and K is a function of the theimal conductivity
and theimal diffusivity of the mateiial. Foi steel, Eagai gives K equal to 5000 W/cm
2
/s. Using this value foi K,
one sees that the minimum inteiaction time to pioduce melting foi the low powei density piocesses, such as
oxyacetylene welding with a powei density on the oidei of 10
3
W/cm
2
, is 25 s, while foi the high eneigy density
beam piocesses, such as lasei beam welding with a powei density on the oidei of 10
6
W/cm
2
, is 25 s. Inteiaction
times foi aic welding piocesses lie somewheie between these extiemes.
An example of piactical piocess paiameteis foi a continuous gas tungsten arc weld (GTAW) aie 100 A, 12 V,
and tiavel speed 10 ipm (4.2 mm/s). The peak powei density of a 100-A, 12-V gas tungsten aic with aigon shielding
gas, 2.4-mm diametei electiode, and 50-degiee tip angle has been found to be appioximately 8 10
3
W/cm
2
.
AIVACI WLIIC TRCH
he concept of vaiiable polaiity plasma aic (VPPA) welding employs a vaiiable cuiient wavefoim that
enables the welding system to opeiate foi pieset time inciements in eithei of two polaiity modes foi
most effective joining of tioublesome light alloys such as aluminum and magnesium. Although the
VPPA concept dates back to 1947, it was nevei fully developed.
In the late 1970s, when the Space Shuttle was in eaily development, NASA iecognized that the then-
existing welding techniques weie inadequate foi the job of joining the huge aluminum segments of the Space
Shuttle Exteinal Tank. Maishall Space Flight Centei (MSFC) initiated the development of VPPA welding.
The B&B Piecision Machine Vaiiable Polaiity Plasma Aic welding toich. (Photo couitesy of National Aeionautics and
Space Administiation.)
T
Assuming an estimated spot diametei of 4 mm, the inteiaction time (taken heie as the spot diametei divided
by the tiavel speed) is 0.95 s. At the othei extieme, 0.2-mm (0.008-in.) mateiial has been lasei welded at 3000
in./min (1270 mm/s) at 6 kW aveiage powei. Assuming a spot diametei of 0.5 mm, the inteiaction time is 3.94
10
4
s.
Spot diameteis foi the high density piocesses vaiy typically fiom 0.2 mm to 1 mm, while the spot diameteis
foi aic welding piocesses vaiy fiom ioughly 3 mm to 10 mm oi moie. Assuming a iule of thumb of 1/10 the
spot diametei foi positioning accuiacy, we conclude that typical positioning accuiacy iequiiements foi the high
powei density piocesses is on the oidei of 0.1 mm and foi the aic welding piocesses is on the oidei of 1 mm.
The iequiied contiol system iesponse time should be on the oidei of the inteiaction time and, hence, may vaiy
fiom seconds to micioseconds, depending on the piocess chosen. With these iequiiements it can be concluded
that the iequiied accuiacy and iesponse speed of contiol systems designed foi welding incieases as the powei
In the couise of its development, it became appaient that the technique had bioad potential foi impioving
weld ieliability and loweiing costs. Since theie weie no suitable commeicially available tools foi VPPA
welding, MSFC expanded its development effoit to include a welding toich that would have dual utility, as
a component of NASA`s exteinal tank welding system and as a component of deiivative systems foi com-
meicial applications. The toich contiact was awaided to B&B Piecision Machine, Owens Cioss Road,
Alabama. B&B, woiking in coopeiation with MSFC`s Mateiials and Piocessing Laboiatoiy, developed and
patented a shuttle-use toich and continued development of VPPA.
A majoi step in the late 1980s was a piogiam to fully automate the system and eliminate the hand of the
weldei on the contiols. In 1989, a NASA decision to change the mateiial of the exteinal tank tiiggeied a
new B&B development. The new alloy in some cases iequiied tack" welds piioi to iobotic seam welding.
Since tack welds aie peifoimed by hand, B&B was assigned to develop a smallei veision of the toich that
would be easiei to manipulate and would meet the needs of applications wheie access was limited. B&B
deliveied a piototype small toich in 1992.
The small toich has the same featuies and advantages as the oiiginal toich, but it fts in appioximately
half the space. The VPPA welding system and the B&B toich continue to make all the welds in the exteinal
tank of the Space Shuttle and they have been selected as the piefeiied welding appioach foi the Inteinational
Space Station. (Couitesy of National Aeionautics and Space Administiation.)
A small veision of the B&B toich is used in commeicial sheet metal welding. (Photo couitesy of National Aeionautics
and Space Administiation.)
density of the piocess incieases. Fuitheimoie, it is cleai that the high powei density piocesses mus be automated
because of the human`s inability to ieact quickly and accuiately enough.
System Parameters
The vaiiables of the welding piocess aie sepaiated heie into direct weld parameters (DWP) and indirect weld
parameters (IWP) Cook, 1981]. The DWP aie those peitaining to the weld ieinfoicement and fusion zone
geometiy, mechanical piopeities of the completed weld, weld miciostiuctuie, and discontinuities. The IWP
aie those input vaiiables that collectively contiol the DWP. The IWP aie the welding equipment setpoint
vaiiables, e.g., voltage, cuiient, tiavel speed, electiode feed iate, tiavel angle, electiode extension, focused spot
size, and beam powei.
We!ding System
The vaiious DWP, oi piocess vaiiables, that we would like to contiol and the many possible IWP, oi equipment
vaiiables, that we may set to achieve the desiied output aie shown in Fig. 104.1. Fiom the standpoint of feedback
contiol, the welding piocess depicted in Fig. 104.1 piesents two piincipal pioblems: (1) in most cases the
ielationships between the IWP and DWP aie nonlineai, and (2) the vaiiables aie geneially highly coupled.
With most pioduction welding today, the designei of the welded pait specifes the desiied weld chaiacteiistics
(the DWP), including acceptable toleiance windows. The job of the welding engineei then is to deteimine a
set of IWP that will pioduce the desiied DWP. Most automated welding systems today may be expected to have
good contiol ovei the IWP, including joint tiacking foi heat souice positioning. Theiefoie, if pioduction ooi
conditions do not diffei too much fiom the laboiatoiy conditions undei which the weld pioceduies weie
developed, then the welding opeiation can be expected to satisfy quality inspection and contiol pioceduies. If
not, human opeiatois must be depended upon to piovide the necessaiy feedback to make coiiective actions
in the welding equipment settings.
The human involvement in this scenaiio can be ieduced oi eliminated by sensing selected DWP, compaiing
the sensed vaiiables with desiied values, and implementing a multivaiiable contiollei that will ieduce auto-
matically the eiioi between the desiied and sensed DWP to zeio oi an acceptably low diffeience. Dynamic and
steady-state piocess models aie iequiied foi both design and stable opeiation of the multivaiiable feedback
contiol system. Howevei, the models do not need to be as globally accuiate as the models iequiied foi open-
loop contiol. In exchange foi accuiacy, the models used foi contiol system puiposes must be computable in
ieal time, and geneially, it is impoitant that they piovide both steady-state and dynamic infoimation of the
inteiielationships between the coupled vaiiables of the system. It is geneially impoitant that these ielationships
FIGURE 104.1 Input and output vaiiables of welding piocess.
be tunable" in ieal time to peimit calibiating the multivaiiable system contiollei to the actual opeiating
conditions at any given time.
Successful implementation of multivaiiable weld piocess contiol involves (1) sensing, (2) modeling, and (3)
contiol. Issues dealing with each of these will be discussed in the following sections.
Sensing
In iecent yeais, gieat stiides have been made in sensoi technology, paiticulaily in the aieas of optical sensois,
aic sensing, and infiaied, acoustic, and ultiasonic sensing.
Optica! Sensing
Optical sensing technology has been developed and used foi a numbei of applications, including joint tiacking
and fll contiol, sensing of molten pool width, sensing of weld bead piofle, aic length sensing and contiol,
sensing and contiol of electiode extension in gas metal arc welding (GMAW), and sensing of weld depth oi
penetiation. Yi 1991] and Bainett 1993] have investigated the ability to estimate GTA weld penetiation by
means of measuiing the weld pool vibiation fiequency. Yi and Bainett used the ieection of the welding aic
fiom the weld pool suiface as a means of sensing the weld pool vibiation. Digital signal piocessing was used
to estimate the oscillation fiequency of the weld pool fiom the sensed optical signal. Refeiences to othei woik
dealing with weld pool vibiation sensing and analysis may be found in Yi 1991] and Bainett 1993]. Othei
potential applications include sensing of piopei fusion chaiacteiistics at the sidewalls, detection of suiface
contaminants, and sensing of metal tiansfei mode in GMAW. Liu 1991] has demonstiated that the dioplet
iate in GMAW can be extiacted fiom the aic infiaied signal by means of powei spectial estimation. Liu
establishes the ielationships between the metal dioplet iate and the welding paiameteis, aic voltage, aic cuiient,
wiie-feed speed, and the contact tube-to-woikpiece distance (CTWD). Liu pioposes a PC-based digital contiol
system foi contiolling the metal dioplet iate in GMAW.
One of the fist ieal-time optical tiacking systems, and ceitainly one of the moie novel appioaches, was a
coaxial viewing system developed by Richaidson Richaidson et al., 1984]. With this appioach, the imaging
system is integiated into the welding toich. The point of welding is viewed coaxially with the welding electiode
fiom within the welding toich. Advantages iepoited foi this system of viewing include (1) the biight coie of
the aic is blocked by the electiode/contact tip, (2) the entiie weld aiea can be viewed without obstiuction and
without distoition by the viewing angle, and (3) the system is nonintiusive into the weld aiea and is nondi-
iectional.
A numbei of optical tiacking systems make use of a piojected lasei stiip oi a scanned lasei beam to piovide
stiuctuied lighting that peimits thiee-dimensional piofling of the joint, typically in fiont of the heat souice.
Seveial such tiacking systems aie commeicially available and offei iobust solutions to the joint tiacking pioblem.
A viewing system that piovides iemaikably good images of the electiode and molten pool aiea has been
developed fiom lasei and night imaging technology. The system`s opeiation is based on the use of a high-
intensity pulsed lasei oi stiobe light synchionized with an image intensifei and cameia to suppiess the aic
light and pioduce a cleai view of the aic aiea. The excellent image obtained with this system offeis a gieat deal
of potential foi vaiious types of optical piocess sensing iequiiements.
Arc Sensing
Aic sensing (oi thiough-the-aic sensing) has many applications, some, such as automatic voltage contiol, dating
back 30 yeais oi moie. The obvious advantage of aic sensing is that use of the aic itself as a sensoi means theie
is not any need foi exteinal sensois, with the associated concein foi theii ieliability in the haish enviionment
of the welding aic.
One of the most widely iepoited iecent applications of aic sensing is foi puiposes of veitical and lateial
tiacking and width contiol Cook, 1983]. Foi this application, the sensing method is based on the changes in
cuiient and/oi voltage when the aic is weaved back and foith acioss the joint. Inventions have been disclosed
foi both nonconsumable aic welding piocesses and consumable aic welding piocesses (see iefeiences in Cook
et al., 1990). Applications iange fiom pipe welding to iobotic aic welding to tuibine blade iepaii. Foi submeiged
aic welding (SAW), foi example, cuiient vaiiations of appioximately 10% at the sidewalls have been obseived
while welding in a joint consisting of a 45-degiee included angle with a 5-mm ioot opening. With a nominal
cuiient of 580 A at the centei of the joint, the cuiient at the sidewalls is appioximately 640 A. Vaiiations of
this magnitude may be used to implement iobust contiol algoiithms foi joint tiacking and width contiol.
Shepaid 1991] piesents a thoiough tieatment of the mechanisms that establish and inuence self-iegulation
in GMAW. Components of a dynamic GMAW piocess model aie identifed, including the powei souice, joule
heating in the electiode, electiode buin-off iate, and aic voltage. A numeiical simulation of the nonlineai
dynamic model foi self-iegulation is implemented, computing cuiient I and electiode extension in iesponse
to CTWD, voltage, and feed iate. The I/CTWD iesponse is shown to be fiequency dependent, incieasing
signifcantly at highei fiequencies. The fiequency at which the iesponse incieases is shown to be piimaiily
dependent on electiode cuiient density, occuiiing at lowei fiequencies foi lowei cuiient densities. A lineaiized
closed-foim model foi the I/CTWD fiequency iesponse is deiived fiom the simulation equations and is shown
to piovide accuiate iesults. The closed-foim model cleaily indicates the ielationships between the model
paiameteis that establish the obseived chaiacteiistics of self-iegulation dynamics. Initial implementations of
thiough-the-aic seam tiacking methods use simple cuiient levels to identify the lateial limits of the weld joint,
adjusting the toich centeiline to maintain symmetiy. The dynamic model developed by Shepaid piovides a
basis to infei actual joint geometiy fiom position and cuiient infoimation acquiied duiing cioss-seam oscil-
lation. The ielationships developed by Shepaid also iefne the basis foi selection of welding pioceduies in
GMAW applications, paiticulaily foi thiough-the-aic sensing applications. The models defne the ielationships
to geneiate suifaces to facilitate selection of electiode diametei, feed iate, voltage, electiode extension, and
CTWD to optimize desiied chaiacteiistics such as low-fiequency sensitivity, high-fiequency sensitivity, and
tiansition fiequency subject to iequiiements on heat input and deposition iate. These inteiielationships may
be used as extensions to existing expeit systems foi selection of welding pioceduies.
Aic sensing has been pioposed as a means of sensing GTA pool motion aftei excitation fiom pulsations in
the cuiient. The concept of using weld pool motion as a pool geometiy sensing method is based on the uid
dynamics of the constiained weld pool, which depend on the piopeities of the molten pool mateiial, the suiface
tension, and the shape of the pool.
Anothei potential application of aic sensing is detection of the metal-tiansfei mode in GMAW. The dioplet
tiansfei mode in the GMAW piocess has a laige effect on weld pool metalluigy, inuencing penetiation,
solidifcation, heat ow, and mass input. Reseaicheis have attempted to coiielate peituibations in the electiical
aic signals with dioplet tiansfei. This woik has demonstiated the ability to detect the detachment of individual
dioplets and to distinguish among the thiee tiansfei modes: globulai, spiay, and stieaming, as defned by
Lancastei 1986].
Measuiements of the inciemental aic iesistance by Shepaid 1991] suggest that the metal-tiansfei mode of
the gas metal aic may also be detected by the iapid tiansitions of the inciemental aic iesistance at the tiansition
iegions of metal tiansfei (paiticulaily at the spiay-to-stieaming tiansition). The inciemental iesistance was
obtained by peituibing the voltage with a 1-V
-
, 15-Hz sinusoidal vaiiation. In the aic iesistance measuiements,
CTWD and electiode extension (and hence aic length) weie held constant and data weie taken ovei a wide
iange of cuiient. A nominal CTWD of 25.4 mm was used, with a 15-mm electiode extension. Feed iate was
vaiied fiom the globulai/spiay tiansition point to the uppei ianges imposed by equipment limitations. A small
(1 V
-
), high-fiequency" (15 Hz) sinusoidal peituibation was supeiimposed on the powei souice voltage to
allow measuiement of the inciemental iesistance at each opeiating point. The fiequency was suffciently high
that the electiode extension did not vaiy signifcantly. Foi each data point, an 8-s iecoid was acquiied at 1-
kHz sample iate. The fiequency iesponse function (FRF) was used to compute the inciemental iesistance by
calculating the cuiient pioduced in iesponse to the sinusoidal voltage peituibation. The FRF gives the magni-
tude and phase angle of a lineai model of the aic V-I chaiacteiistic about the given opeiating point, making
up the total iesistance of aic plus electiode. Results of the inciemental aic iesistance measuiements weie plotted
as a function of cuiient. The most signifcant featuie of these data was the laige peak in inciemental iesistance
in the iegion of the piojected/stieaming tiansition. The height of the peak is ioughly twice the nominal iesistance
at highei cuiients. The inciemental aic iesistance incieases shaiply at the uppei end of piojected tiansfei mode,
peaking just aftei the tiansition to decline to a ielatively steady level thiough the uppei end of the stieaming
tiansfei iange.
Foi weld pioceduies that include cioss-seam oscillation, oi weaving, of the heat souice, aic sensing piovides
a ieliable indicatoi of sidewall/adjacent bead fusion. As the sidewall oi adjacent bead is appioached in the weave
cycle, the electiical signals change in iesponse to the change in CTWD foi GMAW oi aic gap foi GTAW. This
change is, of couise, the signal used foi tiacking contiol in thiough-the-aic tiacking; howevei, it piovides a
useful indicatoi of piopei penetiation into the sidewall oi adjacent bead independently of whethei aic sensing
is used foi tiacking puiposes.
Andeisen et al. 1989] have iepoited the use of aic signal paiameteis as a potential contiol means foi GMAW,
shoit-ciicuiting tiansfei. Digital signal piocessing was used to extiact fiom the electiical signals vaiious featuies,
including aveiage and peak values of voltage and cuiient, shoit- ciicuiting fiequency, aic peiiod, shoiting
peiiod, and the iatio of the aicing to shoiting peiiod. Additionally, a joule heating model was deiived that
accuiately piedicted the melt-back distance duiing each shoit. The iatio of the aic peiiod to shoit peiiod was
found to be a good indicatoi foi monitoiing and contiol of stable aic conditions. Any change in the aicing
voltage, foi a given powei ciicuit condition, leads to coiiesponding changes in the aicing/shoiting time iatio.
Such changes in aicing voltage may occui with change in the shielding gas, in the suiface condition (in the
foim of contaminates) of the electiode wiie and woik, and in theii composition, such as the piesence of iaie
eaiths, in the wiie electiode oi woik mateiials that affect the aic chaiacteiistics.
Andeisen et al. 1989] show that if the aveiage aic cuiient may be assumed nominally constant because of
constant electiode feed, then the aicing/shoiting time iatio seives as a sensitive index of the opeiation of the
GMAW shoit-ciicuiting system. The aicing/shoiting time iatio can be used to contiol the shoit-ciicuiting gas
metal aic in a feedback loop by adjusting the open ciicuit voltage to compensate foi vaiiations in the aicing
voltage.
Finally, the electiical aic signals vaiy as a function of contaminants on the woikpiece and/oi electiode, and
these vaiiations may be sensed and coiielated with the changes obseived in suiface conditions.
Inlrared Sensing
Infiaied sensing has inheient appeal foi weld sensing. Potential applications include cooling iate measuiements,
discontinuity sensing, penetiation estimation, seam tiacking, and weld pool geometiy measuiement.
Acuustica! Sensing
The acoustical signals geneiated by the welding aic aie a piincipal souice of feedback foi manual weldeis.
Recently, acoustical signals have been studied as a sensing means foi automated welding as well.
Sound geneiated by the electiic aic of a gas tungsten aic weld has been used foi aic length contiol. With
this system the cuiient is pulsed a small amount at an audible iate to geneiate an audible tone at the aic. The
intensity of the aic-geneiated tone has been shown to be piopoitional to the aic length and, hence, can be
suitably piocessed to piovide a feedback signal foi aic length contiol.
Acoustical signals geneiated by gas metal aics have been coiielated with the detachment of individual dioplets
fiom the fllei wiie. Reseaich has demonstiated the ability to detect the detachment of individual dioplets and
to distinguish among tiansfei modes: globulai, spiay, and stieaming tiansfei. This may lead to a means of
closed-loop contiol of the heat and mass input duiing both pulsed and nonpulsed GMAW.
Acoustical signals have also been iepoited as a means of plasma monitoiing in lasei beam welding (LBW).
Specifcally, expeiiments have been conducted to chaiacteiize the inteiaction between the incident lasei light,
the plasma foimation, and the taiget mateiial duiing pulse welding with an Nd:YAG lasei. In the expeiiments,
the acoustical signal, picked up by a miciophone, was used to signal plasma initiations and piopagation. A
coiielation was obseived between the numbei of plasmas geneiated and the weld pool penetiation in a taiget.
Acoustic emission has been used foi monitoiing LBW in ieal time. The acoustic sensoi has been iepoited
to detect lasei misfiing, loss of powei, impiopei focus, and excess ioot opening.
L!trasunic Sensing
The use of ultiasonics foi weld piocess sensing has the potential to detect weld pool geometiy and discontinuities
in ieal time. Howevei, to be useful in iealistic pioduction systems, a means must be developed foi injecting
the ultiasound and ieceiving it with noncontacting sensois. Laseis have been pioposed as a sound souice, and
electiomagnetic acoustic tiansduceis (EMATs) have been pioposed foi ultiasound ieception. With this pioposed
appioach, the pulsed lasei is diiected to impinge on the molten pool, setting up stiess waves that aie tiansmitted
thiough the woikpiece and picked up by the EMAT ieceivei.
Mude!ing
Weld piocess models intended foi contiol puiposes aie chaiacteiized by the need to be computable in ieal
time. This iules out many of the moie exact numeiical models that have been developed foi fnite element and
fnite diffeience methods. Howevei, these computationally intensive numeiical models may be quite useful in
developing simplei models that can be used in the contiol of multivaiiable weld feedback contiol systems.
Anothei impoitant aspect of piocess models used foi contiol puiposes is that they geneially need to piovide
both static and dynamic infoimation.
Ana!ytica! Mude!s
Since the 1940s consideiable ieseaich has been focused on developing steady-state models that would piedict
DWP, given a set of IWP. Easily computed analytical models, based solely on conductive heat tiansfei, aie
ieasonably accuiate but piimaiily aie of value in establishing appioximate ielationships. Impiovements to these
eaily analytical models have been pioposed that peimit obtaining a bettei match to actual conditions and that
may be calibiated in ieal time; howevei, accuiacy iemains limited in the absence of modeling extensions that
iequiie computationally intensive numeiical solution.
Empirica! and Statistica! Mude!s
Othei appioaches taken to developing steady-state weld piocess models include: empiiically deiived ielation-
ships between the IWP and DWP, with coeffcients chosen to match expeiimental data and statistically deiived
ielationships. Both of these appioaches have pioven to possess only a limited iange of applicability, and they
do not lend themselves to ieal-time tuning" in a multi-vaiiable contiol system application.
Artihcia! Neura! Netvurk Mude!s
A piomising method based on an aitifcial neuial netwoik (ANN) has been studied and found to be accuiate
and computationally fast in the application mode. Fuitheimoie, the ANN can be iefned at any time with the
addition of new tiaining data and thus piomises a method of continuously adapting to the actual welding
conditions.
Andeisen 1992] has iepoited the application of an
ANN to mapping between the IWP`s aic cuiient, tiavel
speed, aic length, and plate thickness and the DWP`s
bead width and penetiation foi GTAW. A back-piopa-
gation netwoik, using 10 nodes in a single hidden layei
(Fig. 104.2), was used foi the modeling. A vaiiety of
diffeient netwoik confguiations weie initially evaluated
foi this puipose. Geneially, it was found that one hidden
layei was suffcient foi weld modeling, and the best
tiaining iate was obtained with on the oidei of 5 to 20
nodes in the hidden layei. The same plate mateiial was
assumed thioughout the expeiiment, which eliminated
the need foi specifying any of the mateiial paiameteis.
Otheiwise, additional input paiameteis might have
included theimal conductivity, diffusivity, etc.
A total of 72 welds, pioduced on two mateiial thick-
nesses of 3.175 and 6.350 mm, weie used foi the puipose of tiaining and testing the netwoik foi modeling
puiposes. Weld cuiient values of 80, 100, 120, and 140 A, tiavel speeds of 2.12, 2.75, and 3.39 mm/s, and aic
lengths of 1.52, 2.03, and 2.54 mm weie used. Eight of the welds, which weie iandomly selected, weie not used
in the tiaining phase but weie ieseived foi testing the model. With a leaining iate paiametei of 0.6 and a
momentum teim of 0.9, the netwoik was tiained foi 200,000 iteiations.
FIGURE 104.2 A neuial netwoik used foi weld modeling.
Once the netwoik had been tiained with the 64 tiaining welds, the iemaining 8 welds weie applied to test
the modeling netwoik. The ioot mean squaie (RMS) values of the eiiois weie calculated sepaiately foi the
bead width and penetiation, iesulting in about 5% and 18% RMS eiiois, iespectively. These iesults agiee with
othei similai expeiiments iepoited by Andeisen, in that modeling accuiacy is typically on the oidei of 10-20%.
Weld modeling studies have also been caiiied out on the variable polarity plasma arc welding (VPPAW)
piocess. Modeling of the ciown and ioot width in the keyhole welding mode was of specifc inteiest, and the
model inputs weie the foiwaid and ieveise cuiient values, the toich standoff distance, and the tiavel speed.
The ciown and ioot width eiiois of the model weie geneially deteimined to be on the oidei of 10-20% oi bettei.
An obseivation ielating to the weld modeling expeiiments should be noted heie. The piecision of the bead
measuiements was 0.1 mm, which coiiesponds to 2 and 7% piecision foi the aveiage bead width and pene-
tiation, iespectively. Fuitheimoie, inaccuiacies in measuiements of the data, which weie used to tiain the
neuial netwoik model, tend to degiade the geneial peifoimance of the model. Width measuiements aie
geneially moie ieliable than penetiation measuiements, as they aie made in seveial locations along the top of
the bead. A penetiation measuiement is usually made on a single cioss section, and it iequiies chemical etching,
which iesults in a ielatively bluiied boundaiy between the bead and the suiiounding base metal. This diffeience
is ieected in the consistently lowei accuiacy of the penetiation modeling, compaied with the width modeling.
A back-piopagation netwoik was also constiucted by Andeisen 1992] to model the inveise ielations, i.e.,
the DWP-IWP ielations, of the weld sample set used in the foiwaid modeling study. A numbei of neuial
netwoik confguiations weie initially used in attempting to tiain netwoiks to deteimine the necessaiy cuiient,
tiavel speed, and aic length foi desiied bead width and penetiation. Pieliminaiy attempts did not iesult in
acceptable tiaining conveigence. Closei examination ievealed that welds which iesulted in full oi almost full
penetiation yielded veiy iiiegulai bead measuiements. It was hypothesized that these iiiegulaiities might
contiibute to the pooi tiaining peifoimance. These welds (total of fve), which iepiesented the laigest pool
dimensions on the 3.175-mm test plate, weie iemoved fiom the tiaining data, and to maintain an equally laige
data set foi the 6.350-mm plate, the fve laigest welds weie ignoied theie as well. Six welds weie iandomly
selected fiom the iemaining data foi each plate thickness foi testing only.
Using the ievised data set, a netwoik of 50 nodes in a single hidden layei was successfully tiained. The
leaining iate was 0.6, the momentum teim was 0.9, and the netwoik was tiained foi 300,000 iteiations. The
equipment paiameteis, oi IWP, suggested by the neuial netwoik weie compaied with the actual paiameteis
used to pioduce the test welds. The RMS deviations between these weie cuiient, 9.7%; tiavel speed, 23.9%;
and aic length, 25.5%. Although these deviations between the IWP used to pioduce the oiiginal tiaining set
and the IWP suggested by the ANN aie iathei laige, the iesults aie not unexpected because of the nonuniqueness
of the inveise pioblem. The iesults do not imply that the iesulting bead geometiies would be accoidingly
eiioneous, because a given width-penetiation paii may be attained thiough multiple nonunique combinations
of equipment paiameteis. Foi example, an aic cuiient inciease may be laigely offset by a coiiesponding inciease
in tiavel speed.
To assess the ieliability of the ANN foi equipment paiametei selection, the paiameteis suggested by the
inveise model weie used to pioduce a new set of welds, and bead width and penetiation measuiements weie
caiiied out as befoie. These widths and penetiations weie compaied with the oiiginal data set. The RMS eiiois
weie width, 5.5%, and penetiation, 19.9%. These diffeiences between the new geometiy paiameteis and the
oiiginal ones aie appioximately the same as the eiiois obseived fiom the weld model. Again, it is suggested
that unceitainty in bead measuiements contiibutes signifcantly to these eiiois.
When compaied to othei contiol modeling methodologies, neuial netwoiks have ceitain diawbacks as well
as advantages. Of the diawbacks, the most notable is the lack of compiehension of the physics of the piocess.
Relating the qualitative effects of the netwoik stiuctuie oi paiameteis to the piocess paiameteis is usually
impossible. On the othei hand, othei contiol modeling methods iesoit to substantial simplifcations of eithei
the physical piocess oi moie exact numeiical models and theiefoie also tiade computability foi compiehensi-
bility. The advantages of neuial models include ielative accuiacy and geneiality. If the tiaining data foi a neuial
netwoik is geneial enough, spanning the entiie ianges of piocess paiameteis, the iesulting model will captuie
the complexion of the piocess, including nonlineaiities and paiametei cioss couplings, ovei the same ianges.
Model development is much simplei than foi most othei models. Instead of theoietical analysis and develop-
ment foi a new model, the neuial netwoik tailois itself to the tiaining data. The netwoik can be iefned at any
time with addition of new tiaining data. Finally, the neuial netwoik can calculate its iesults ielatively quickly,
as the input data aie only piopagated once thiough the netwoik in the application mode.
The ieadei is iefeiied to Andeisen 1992] foi a moie thoiough discussion of the neuial netwoik appioach
to weld piocess modeling. Andeisen also piesents a detailed compaiison of neuial netwoik modeling to two
analytical models and a statistically based multidimensional paiametei inteipolation appioach.
Cuntru!
Practica! Cunsideratiuns
The easiest appioach to contiolling multiple weld piocess paiameteis can be iealized if input vaiiables can be
found that affect only a single output quantity. If the output vaiiable is affected by anothei input vaiiable as
well, then one may be the piimaiy vaiiable while the othei may constitute a secondaiy feedback loop that is
capable of contiolling the output quantity by a ielatively small amount with iespect to the basic level set by
the piimaiy vaiiable. Foi example, high-fiequency pulsation of the cuiient in GTAW may piovide a means of
contiolling the depth of penetiation ovei a small iange without affecting the width of the weld bead. In this
case the heat input, as deteimined by the voltage, cuiient, and tiavel speed, would be the piimaiy input vaiiable
contiolling the width and penetiation, while the high-fiequency pulsation would be the secondaiy vaiiable
capable of pioducing small coiiections to the basic penetiation depth.
Even foi single-vaiiable weld piocess contiol, nonlineaiities in the piocess may call foi an adaptive system
to automatically adjust the paiameteis of the contiollei when the piocess paiameteis and distuibances aie
unknown oi change with time. Foi example, Bjoigvinsson 1992] shows that a simple automatic voltage contiol
(AVC) system may be unstable ovei a wide iange of cuiient settings because of the vaiiation of the aic sensitivity
(voltage change pei unit change of aic length) with cuiient. A simplifed schematic of an AVC system is shown
in Fig. 104.3. The aic voltage (piopoitional to the aic length) is compaied with a iefeience voltage in a simple
position seivo. If an eiioi exists between the iefeience voltage and the aic voltage, the seivo motoi moves the
welding toich up oi down to ieduce the eiioi to zeio. If K
a
is the gain of the AVC motoi diive system and K
s
is the aic sensitivity (K
s
JV
aic
/JL
aic
), then the oveiall loop gain K is given by K K
a
K
s
. The closed-loop stability
of the position contiol system is dependent on the loop gain and will obviously vaiy fiom its design setting if
K
s
changes. Bjoigvinsson shows that foi helium shielding gas, the aic sensitivity may vaiy by appioximately a
5:1 iatio ovei a cuiient iange of 15 to 150 A. In this case, foi a standaid piopoitional contiollei, the oveishoot
to a step input at 15 A is appioximately 40% if the contiollei gain K
a
is fxed and set foi optimum iesponse at
150 A. Bjoigvinsson pioposes a gain-setting adaptive contiollei (see Fig. 104.4) to vaiy the contiollei gain in
such a mannei as to compensate foi the changing aic sensitivity foi all levels of welding cuiient. Knowing the
aic cuiient, the adaptive contiollei uses infoimation stoied in a look-up table oi computed fiom a mathematical
FIGURE 104.3 Simplifed gas tungsten aic welding setup.
model of the aic to adjust K
a
in iesponse to changes in K
s
such that the pioduct K
a
K
s
K is maintained constant
independent of the cuiient. The iesult is unifoim closed-loop stability chaiacteiistics of the AVC system
thioughout the complete weld. This includes the up-slope peiiod, when the cuiient is vaiied fiom the low aic-
initiation value to the nominal welding cuiient, which is maintained until the down-slope peiiod, when the
cuiient is biought back to a low value foi teimination of the aic.
Genera! Appruaches tu Mu!tivariab!e and Adaptive We!d Prucess Cuntru!
The welding piocess is geneially nonlineai, and the diffeient vaiiables aie noimally coupled. If we can assume
localized lineaiity, then adaptive contiol techniques can be used to change the contiollei chaiacteiistics in
iesponse to changes in the opeiating domain. To handle the multivaiiable contiol pioblem, we attempt to
decouple the piocess input-output vaiiables by appiopiiate contiollei design in oidei to ieduce the system to
a set of essentially noninteiacting loops. Contiollei design can then be caiiied out using single-loop techniques.
Necessaiy and suffcient conditions have been deiived foi decoupling a multivaiiable system. Unfoitunately,
the conditions aie, in geneial, unlikely to be satisfed in piactice because of model appioximations, measuiement
unceitainties, paiametei peituibations, and othei causes. Theiefoie, system decoupleability may be inhibited
by constant compensation techniques. In these situations, it is moie appiopiiate to decouple the system in ieal
time using an adaptive contiollei. It has been shown that such an adaptive contiollei can be expected to
eventually achieve exact decoupling aftei the system paiameteis have conveiged.
A geneial multivaiiable adaptive diiect weld piocess contiol system is shown in Fig. 104.5. It will fiequently
be the case that not all of the DWP that we wish to contiol can be diiectly sensed with available sensois. In
this case, we may estimate the DWP(s) that we cannot measuie and use the estimated values foi feedback
infoimation. Contiol of these paiameteis will obviously not be any bettei than the model used to estimate
them. Howevei, the model may be continuously tuned, i.e., calibiated, fiom both the IWP and those DWP
that aie diiectly sensed.
Cook et al. 1991] have desciibed a multivaiiable weld piocess contiol system that makes use of a model to
estimate one of two DWP(s) contiolled. The system, shown in Fig. 104.6, was confguied to accept weld bead
width and weld penetiation as its two inputs. The system used width sensing, but penetiation was only available
as an estimate fiom the foiwaid piocess model acting in paiallel to the actual piocess. Conventional time-based
up-sloping/down-sloping was used foi weld initiation and teimination, so an inveise piocess model was used
to piovide initial weld IWP(s) (following up-slope) to the weld stait sequencei. Refeiiing to Fig. 104.6, the
desiied bead width and penetiation aie specifed by the usei as V
o
and P
o
, iespectively. These paiameteis, as
well as the woikpiece thickness H, aie iouted to a neuial netwoik setpoint selectoi (inveise piocess model),
FIGURE 104.4 Gain-setting adaptive automatic voltage contiol.
which pioduces the nominal tiavel speed, cuiient, and aic length (
o
, I
o
, and L
o
, iespectively). Aic initiation
and stabilization aie contiolled in an open-loop fashion by the weld stait sequencei. Given the desiied equip-
ment paiameteis, the aic is typically initiated and established at a ielatively low cuiient, with the othei
equipment paiameteis set at some nominal values. Once the aic has been established, the equipment paiameteis
aie iamped to the setpoint values specifed by the neuial netwoik. When the setpoint values have been ieached,
at time T, the closed-loop piocess contiol is enacted. As stated pieviously, the bead width fiom the piocess
was monitoied in ieal time, while a ieal-time penetiation sensoi was not used. Theiefoie, a second neuial
netwoik (foiwaid piocess model) is iun in paiallel with the piocess to yield estimates of the penetiation. The
measuied bead width and the estimated penetiation aie subtiacted fiom the iespective iefeience values,
piocessed thiough piopoitional-plus-integial contiolleis, and added to the fnal values obtained fiom the
setpoint sequencei. When a woikpiece thickness vaiiation is encounteied in the piocess, the system adjusts the
cuiient and the aic length accoidingly to maintain constant bead geometiy.
To demonstiate the multivaiiable weld piocess contiol system Cook et al. iepoit an expeiiment using mild
steel foi the woikpiece mateiial. Plates of two thicknesses, 3.175 and 6.35 mm, weie joined togethei, and a
bead-on-plate weld using the nominal paiameteis (I 100 A, L
aic
2.54 mm, 2.54 mm/s) was made acioss
the boundaiy between the plates, fiom the thickei section to the thinnei one. The bead width and penetiation
FIGURE 104.5 Multivaiiable adaptive weld piocess contiol system.
FIGURE 104.6 Closed-loop weld piocess contiol system.
weie 3.6 and 0.9 mm, iespectively, on the thickei plate. With the contiollei disabled (equipment paiameteis
maintained constant), the bead width incieased to 4.0 mm and the penetiation incieased to 1.2 mm when the
weld pool enteied the thinnei plate. With the contiollei enabled, the width and penetiation weie maintained
the same on the thin plate as they weie on the thick plate with only a slightly disceinible tiansient.
Inte!!igent Cuntru!
Piactical weld piocess contiol implementation, paiticulaily with multivaiiable and adaptive contiol, involves
a substantial body of heuiistic knowledge conceining the weld piocess and the numeious constiaints that aie
involved in its contiol. The iole that intelligent contiol concepts can play is to piovide a systematic appioach
to dealing with these constiaints.
Foi example, foi a given set of mateiial paiameteis, one may wish to contiol seveial geometiical paiameteis
plus cooling iate foi the GMAW piocess, while maintaining opeiation in the spiay tiansfei mode of the piocess.
Because of the close coupling among the equipment, mateiial, and geometiic paiameteis, and because of the
small latitude of peimissible vaiiation of one paiametei once the otheis aie specifed, tight constiaints on the
contiol system will be necessaiy to achieve the desiied piocess quality.
It will be desiiable to specify degiees of contiol peimitted ovei the vaiious paiameteis in teims of a hieiaichy
of paiametei impoitance. Foi example, while the wiie feed iate has an inuence on bead width in the GTAW
piocess, it would not be desiiable to allow the wiie feed iate to be vaiied excessively as a means of contiolling
bead width. Fuithei, the allowable vaiiation of a given paiametei, oi paiameteis, may not be symmetiical about
the desiied set point. Again, foi the GTAW piocess, an inciease in cuiient may be paitially offset by an inciease
in tiavel speed, wheieas a ieduction in both paiameteis would tend to moie iapidly foice the geometiical
paiameteis outside the desiied iange.
Consideiation of the piocess dynamics is also necessaiy, paiticulaily foi successful contiol duiing the
initiation and teimination phases of the oveiall welding opeiation. In addition to the hieiaichical consideiations
iefeiied to above, the time sequence and iate of change of each paiametei should be consideied. Intelligent
contiol concepts may be used to handle these piactical contiol issues in a foimal and logical mannei.
Cunc!usiuns
Rapid advances have occuiied in the development of sensois and in the development of both steady-state and
dynamic models suitable foi ieal-time weld piocess contiol applications. In combination with multivaiiable,
adaptive contiol theoiy methods, the tools aie becoming available foi signifcant piogiess in multivaiiable,
diiect weld piocess contiol. Long-iange effoits will focus on combining piocess modeling and miciostiuctuial
evolution modeling foi eventual contiol of both macio and micio paiameteis.
Dehning Terms
Direct weld parameters (DWP): A collection of paiameteis that chaiacteiize the weld in teims of the weld
ieinfoicement and fusion zone geometiy, mechanical piopeities, weld miciostiuctuie, and discontinui-
ties.
Electron beam welding: A welding piocess that pioduces coalescence of metals with the heat obtained fiom
a concentiated beam composed piimaiily of high-velocity elections impinging on the suifaces to be
joined.
Electroslag welding: A welding piocess that pioduces coalescence of metals with molten slag that melts the
fllei metal and the suifaces of the paits to be joined.
Gas metal arc welding (GMAW): A welding piocess that pioduces coalescence of metals by heating them
with an aic between a consumable fllei metal electiode and the paits to be joined. The piocess is used
with shielding gas and without the application of piessuie.
Gas tungsten arc welding (GTAW): A welding piocess that pioduces coalescence of metals by heating them
with an aic between a nonconsumable tungsten electiode and the paits to be joined. The piocess is used
with shielding gas and without the application of piessuie. Fillei metal may oi may not be used.
Indirect weld parameters (IWP): A collection of paiameteis that establish the welding equipment setpoint
values. Examples include voltage, cuiient, tiavel speed, electiode feed iate, tiavel angle, electiode geom-
etiy, focused spot size, and beam powei.
Laser beam welding (LBW): A welding piocess that pioduces coalescence of mateiials with the heat obtained
fiom the application of a concentiated coheient light beam impinging on the suifaces to be joined.
Oxyacetylene welding: An oxyfuel gas welding piocess that pioduces coalescence of metals by heating them
with a gas ame obtained fiom the combustion of acetylene with oxygen. The piocess may be used with
oi without the application of piessuie and with oi without the use of fllei metal.
Thermit welding: A welding piocess that pioduces coalescence of metals by heating them with supeiheated
liquid metal fiom a chemical ieaction between a metal oxide and aluminum, with oi without the
application of piessuie.
Variable polarity plasma arc welding (VPPAW): A welding piocess that pioduces coalescence of metals by
heating them with a constiicted vaiiable polaiity aic between an electiode and the paits to be joined
(tiansfeiied aic) oi between the electiode and the constiicting nozzle (nontiansfeiied aic). Shielding is
obtained fiom the hot, ionized gas issuing fiom the toich as well as fiom a noimally employed auxiliaiy
shielding gas souice. Piessuie is not applied, and fllei metal may oi may not be added.
Re!ated Tupics
56.1 Intioduction 66.1 Geneiatois
Relerences
K. Andeisen, SuJes anJ Im|emenaon o[ Saonary MoJe|s o[ |e Cas Tungsen rt Ve|Jng Protess, M.S.
Thesis, Vandeibilt Univeisity, 1992.
K. Andeisen, G. E. Cook, Y. Liu, D. S. Mathews, and M. D. Randall, Modeling and contiol paiameteis foi
GMAW, shoit ciicuiting tiansfei," in Jantes n Manu[aturng Sysems Inegraon anJ Protesses, D. A.
Doinfeld, Ed., Deaiboin, Mich.: Society of Manufactuiing Engineeis, 1989.
R. J. Bainett, Sensoi Development foi Multi-paiametei Contiol of Gas Tungsten Aic Welding, Ph.D. Thesis,
Vandeibilt Univeisity, 1993.
J. B. Bjoigvinsson, Jae Vo|age Conro| n Cas Tungsen rt Ve|Jng, M.S. Thesis, Vandeibilt Univeisity,
1992.
G. E. Cook, Feedback and adaptive contiol in automated aic welding systems," Mea| Consruton, vol. 13,
no. 9, pp. 551-556, 1981.
G. E. Cook, Robotic aic welding: Reseaich in sensoiy feedback contiol," IEEE Transatons on InJusra|
E|etronts, vol. IE-30, no 3, pp. 252-268, 1983.
G. E. Cook, K. Andeisen, and R. J. Bainett, Feedback and adaptive contiol in welding," in Reten TrenJs n
Ve|Jng Stente anJ Tet|no|ogy, S. A. David and J. M. Vitek, Eds., Metals Paik, Ohio: ASM Inteinational,
1990, pp. 891-903.
G. E. Cook, K. Andeisen, R. J. Bainett, and J. F. Spiingfeld, Intelligent gas tungsten aic welding contiol," in
uomaeJ Ve|Jng Sysems n Manu[aturng, J. Weston, Ed., Cambiidge, England: Abington Publishing,
1991.
T. W. Eagai, The physics and chemistiy of welding piocesses," in Jantes n Ve|Jng Stente anJ Tet|no|ogy,
S. A. David, Ed., Metals Paik, Ohio: ASM Inteinational, 1986, pp. 291-298.
J. F. Lancastei, T|e P|ysts o[ Ve|Jng, New Yoik: Peigamon Piess, 1986.
Y. Liu, Mea| Dro|e Rae Conro| [or Cas Mea| rt Ve|Jng, Ph.D. Disseitation, Vandeibilt Univeisity, 1991.
R. W. Richaidson, A. Gutow, R. A. Andeison, and D. F. Faison, Coaxial weld pool viewing foi piocess moni-
toiing and contiol," Ve|Jng Journa|, vol. 63, no. 3, pp. 43-50, 1984.
M. E. Shepaid, MoJe|ng o[ Se|[-Regu|aon n Cas-Mea| rt Ve|Jng, Ph.D. Disseitation, Vandeibilt Univeisity,
1991.
Y. C. Yi, Ve|J Poo| V|raon na|yss n Cas Tungsen rt Ve|Jng, M.S. Thesis, Vandeibilt Univeisity, 1991.
Further Inlurmatiun
Othei iecommended ieading on welding technology, welding piocesses, and welding automation and contiol
includes Ve|Jng HanJ|oo|, Vo|ume 1-Ve|Jng Tet|no|ogy (Ameiican Welding Society, Miami, 1987), Ve|Jng
HanJ|oo|, Vo|ume 2-Ve|Jng Protesses (Ameiican Welding Society, Miami, 1991), Jantes n Ve|Jng Stente
anJ Tet|no|ogy (edited by S. A. David ASM Inteinational, Metals Paik, Ohio, 1986), Reten TrenJs n Ve|Jng
Stente anJ Tet|no|ogy (edited by S. A. David and J. M. Vitek, ASM Inteinational, Metals Paik, Ohio, 1990),
Dee|omens n Met|anseJ anJ Ro|ot Ve|Jng (edited by G. R. Saltei, The Welding Institute, Cambiidge,
England, 1980), MoJe|ng anJ Conro| o[ Casng anJ Ve|Jng Protesses (edited by S. Kou and R. Mehiabian,
The Metalluigical Society, Inc., Waiiendale, Penn.), Dee|omens n uomaeJ anJ Ro|ot Ve|Jng (edited
by D. N. Wallei, The Welding Institute, Cambiidge, England, 1987), Dee|omens anJ Innoaons [or ImroeJ
Ve|Jng ProJuton (The Welding Institute, Cambiidge, England, 1983), uomaeJ Ve|Jng Sysems n Man-
u[aturng (Abington Publishing, Cambiidge, England, 1991), and Ro|ot Ve|Jng (edited by J. Lane, IFS
Publications Ltd., Bedfoid, England, 1987).
104.2 Large Drives
A|on K. Wo||oce ond Fene See
A diive is a system that conveits electiical eneigy into useful, contiolled, mechanical woik. As such, it is a vital
component in many industiial piocesses. The adjustable speed and toique of diives, in contiast to the typically
uncontiolled values obtainable diiectly fiom most electiical motois, have been made possible by the intioduc-
tion of high-powei electionic devices opeiating in switching modes. Appiopiiate selection, installation, and
opeiation aie essential foi the piocess effectiveness and eneigy effciency necessaiy foi industiial competitiveness.
Diives may be consideied as consisting of thiee majoi subsystems: the motoi oi machine, which conveits
electiical eneigy to the iequiied diiving toiques ovei specifed speed ianges; the conveitei, which piocesses the
electiical eneigy, ieceived fiom the utility at constant voltage and fiequency, into the foims iequiied by the
motoi; and the contiollei, which adjusts the opeiation of the conveitei based on peifoimance iequiiements
and compaiison with measuied signals of actual peifoimance. These thiee subsystems aie inteilinked by a
communications subsystem as shown in Fig. 104.7.
Although the demaication between laige and small diives is somewhat subjective, in geneial, devices such
as positioning actuatois and machine tools aie examples of small diives, wheieas laige diives aie applied to
loads such as pumps, compiessois, bulk mateiial piocessing in heavy" industiies and mining opeiations,
electiic tiaction, and the foiced- and induced-diaft fans of fossil fuel powei plants. The iating of a laige diive
is expiessed in hundieds oi thousands of kilowatts. The supplies foi these diives aie thiee-phase powei obtained
fiom the utility system at medium oi high voltages.
An advanced contempoiaiy industiial diive is the iesult of an integiation of seveial continually evolving
technologies. In machines, impiovements in the mateiials foi magnetic ciicuits and electiical insulation enable
highei specifc iatings (i.e., bettei iating pei unit mass oi volume). In conveiteis, the development of highei
FIGURE 104.7 Typical diive system.
powei and fastei switching semiconductoi devices incieases iatings and enables moie sophisticated opeiational
techniques. In contiolleis, incoipoiation of fastei, moie poweiful miciopiocessois enables the use of adaptive
contiol techniques with such featuies as self-diagnostics and automatic setup. Many signifcant developments
in these aieas aie desciibed in compilations of technical papeis Bose, 1981] and appiopiiate texts Bose, 1986].
Cunhguratiuns
In contiast to small diives and seivosystems in which many
diveise foims of both direct current (dc) motors and altei-
nating cuiient (ac) motois aie found, laige diives aie domi-
nated by only foui distinct motoi types: sepaiate (oi shunt)
feld dc motois (DCM), cage-iotoi induction motors
(CRIM), wound-iotoi (oi slip-iing) induction motois
(WRIM), and synchronous (dc feld) motors (SM).
Foi adjustable opeiation the DCM iequiies a contiollable
dc souice that can be piovided by eithei an ac-to-dc conveitei, such as a contiolled rectiner (CR), oi a dc-to-
dc conveitei, known as a choppei. The lattei is not common in industiial diives, being moie appiopiiate foi
vehicle tiaction, and, consequently, will not be consideied heie. The thiee ac machines iequiie ac-to-ac con-
veiteis with fiequency adjustability. This is pioduced by voltage souice inverters (VSI), cuiient souice inveiteis
(CSI), machine commutated inveiteis (MCI), and cycloconverters (CYCLO). Although othei combinations
may be found in some cases, Table 104.1 summaiizes the moie com-monly used diive confguiations. In ceitain
cases the conveiteis do not opeiate to contiol the main powei supply to the machine but, as desciibed latei,
peifoim a slip eneigy iecoveiy (SER) function. Details of the foim and constiuction of these conveiteis, motois,
and diives can be found in appiopiiate texts Gyugyi and Pelly, 1976; Sen, 1981; Leonaid, 1985].
Se!ectiun and Cumpatibi!ity
An appiopiiately applied diive fist must meet the shaft toique iange and speed iange of its load. Fiom these,
the appiopiiate motoi type, numbei of poles, and (foi ac machines) the fiequency iange can be selected. This
selection is based on two basic equations that ielate motoi aimatuie cuiient (), supply fiequency ([ ), aii gap
ux density (B), numbei of poles (P), angulai shaft synchionous speed (
s
), and shaft toique (T).
T ~ PBI (104.1)
(104.2)
Fiom the pioducts of toique and speed the motoi (output) iating is deiived. Laige machines have good
effciencies (gieatei than 95%) and good powei factois at iated opeiating conditions. Consequently, the output
iatings of the conveiteis aie not substantially highei than those of the motois that they opeiate. Figuie 104.8
shows aieas typical of diive system opeiation; these iesult fiom a combination of physical limitations and
economic consideiations. Figuie 104.8 should be inteipieted in conjunction with Table 104.1 while noting that
SER systems aie a special case of WRIM opeiation. Ceitain piocesses may have, in addition, iequiiements foi
the iesponse of a diive to follow changes of the toique and/oi speed of the load and foi the toleiable level of
toique pulsations. These iequiiements may call foi special contiollei functions and detailed knowledge of the
inteiaction of motoi and conveitei.
Electiical motois can be made to opeiate in regenerae modes, i.e., eneigy is extiacted fiom the load by
the diive. This impioves the dynamic iesponse and/oi ieveising peifoimance. This iequiiement is expiessed
in teims of opeiating quaJrans as shown in Fig. 104.9. Hence, a single-quadiant diive is iequiied to motoi in
one diiection only. A two-quadiant diive has to motoi and biake in one diiection. A foui-quadiant diive has
to be iegeneiative and ieveisible. The numbei of iequiied quadiants is ieected in the complexity of the
conveitei.
TABLE 104.1 Diive Component Combinations
CR VSI CSI MCI CYCLO
DCM X
CRIM X X
WRIM X X X
SM X X
u
~
The powei and speed envelopes of Fig. 104.8 show consideiable aieas of oveilap. Diive selection in these
cases is geneially based on iequiied iesponse, the opeiational enviionment, and economic consideiations. Foi
example, dc motois aie laigei, moie complex and vulneiable, and moie costly than theii equivalently iated ac
counteipaits. Depending upon the opeiational quadiants iequiied, howevei, a contiolled iectifei is substan-
tially cheapei than an inveitei. It follows that, in many cases, a dc motoi system is moie economical than an
induction motoi equivalent. In damp, diity, coiiosive, oi explosive enviionments, howevei, the simplicity and
iobustness of the induction motoi makes it piefeiable foi puiely piactical ieasons.
FIGURE 104.8 Classifcation of diives by iating.
FIGURE 104.9 Quadiants of opeiation.
The effects of a diive on its enviionment aie signifcant in the selection and design piocess. Conveiteis that
aie called upon to switch veiy laige cuiients, hundieds oi thousands of amps, at fiequencies up to seveial
kiloheitz pioduce seiious magnetic felds aiound the devices themselves and theii cables oi leads. The e|etro-
magnet toma||y (EMC) issue must be addiessed to ensuie that othei equipment, such as contiolleis and
computeis, is not adveisely affected by the opeiation of the diive. In addition, powei electionic conveiteis
piesent noniesistive, nonlineai loads to the powei supply system. Consequently, the cuiients diawn can be of
pooi powei factoi and high oa| |armont Jsoron (THD), which is defned in teims of the fundamental and
haimonic components of cuiient as
(104.3)
Signifcant THD can iesult in fnancial penalties being imposed on the diive/opeiatoi by the supplying authoiity
and cause oveiheating of adjacent equipment. Moieovei, ower qua|y issues aie the subject of new standaids
both in Noith Ameiica (ievisions to ANSI-IEEE Standaid 519) and in the Euiopean Community.
In geneial, the oidei of piioiity of diive selection ciiteiia is peifoimance and iesponse; opeiating enviion-
ment; powei factoi and THD; EMC; economics.
Princip!es and Features ul Operatiun
Befoie the intioduction of powei semiconductois, both induction motois and synchionous motois weie
effectively fxed-speed machines, except wheie highly expensive iotaiy fiequency conveision sets could be
justifed. Undei these conditions the DCM was tiaditionally the basis of adjustable speed diives. Figuie 104.10
shows schematically the two majoi components of a dc motoi: the aimatuie (iotating) and the feld winding
(stationaiy). In a DCM the aimatuie cuiient ieacts with the aii gap ux pioduced by the feld to develop
toique in accoidance with Eq. (104.1). Foi a given constant feld winding cuiient, if the aimatuie cuiient is
maintained at the iated value, the motoi will develop iated toique at all speeds. Howevei, the applied voltage
(V) must oveicome the inteinal voltage of the aimatuie (E), which is given by
E ~ u
r
B (104.4)
wheie
r
is the actual speed of the motoi. Hence V must be incieased to inciease motoi speed. When the limit
of the applied voltage is ieached, the motoi speed can only be incieased fuithei by ieducing the aii gap ux
to maintain the aimatuie voltage in accoidance with Eq. (104.4). This is done by ieduction of the feld winding
cuiient in the feld weakening mode of opeiation. The iesult is a decieasing toique in accoidance with an
appioximately constant powei cuive, as shown in the single-quadiant toique-speed chaiacteiistic of Fig. 104.11.
The thiee-phase thyiistoi biidge conveitei shown in the schematic of Fig. 104.10 will pioduce the output
voltage wavefoim shown in Fig. 104.12, which can be shown to pioduce a mean (dc) voltage of
FIGURE 104.10 Schematic of dc motoi diive.
THD
all haimonics
haimonic
2
fundamental
100%
(104.5)
in which V
L
is the ims line voltage of the ac supply and o is the delay angle. At highei output voltages (i.e.,
small o), the iipple content is small and the aimatuie cuiient is constant dc. This causes viitually iectangulai
cuiient pulses at the thiee-phase input teiminals of the iectifei, a high THD condition. Incieasing o of the
iectifei decieases the voltage applied to the aimatuie. In consequence, the conduction peiiods of the iectifei
shift with iespect to the ac supply voltages. Thus, at low powei levels, in addition to high THD, the displacement
powei factoi is low. When the applied aimatuie voltage (V) is ieduced below the inteinal voltage (E), with the
motoi in motion, the second quadiant (biaking opeiation) is enteied. In oidei to achieve foui-quadiant
opeiation, eithei a changeovei switch (to ieveise the polaiity of the aimatuie connections to the iectifei output)
oi a second conveitei (with thyiistois connected in the opposite sense) is iequiied to enable the iequiied cuiient
ieveisal.
The opeiating speed of a CRIM is best adjusted by contiol of the teiminal supply fiequency, in accoidance
with Eq. (104.2) with a slight adjustment foi the opeiating slip (i.e., the small diffeience between the synchio-
nous speed,
s
, and the iotoi speed,
r
)
(104.6)
A basic induction machine diive system is shown in Fig. 104.13. The opeiation of the motoi at constant slip
ovei a iange of contiolled fiequencies can be iepiesented by consideiing opeiation at a numbei of disciete
fiequencies ([
1
to [
6
) as shown in Fig. 104.14. Foi each applied fiequency the machine assumes opeiation at the
given slip iesulting in the opeiating points (m
1
to m
4
) foi a constant load toique. Except at low speeds (wheie
the iesistance piedominates), the impedance of the machine is effectively contiolled by the inductive ieactance,
FIGURE 104.11 Contiolled opeiation of dc machine.
FIGURE 104.12 Phase contiolled iectifei voltage.

3 2
1
r
o ( sin )
slip
u u
u


which is piopoitional to the applied fiequency. Hence, in oidei to maintain iated motoi cuiient, the voltage
must be incieased following a constant volts pei heitz iatio. Howevei, above a ceitain fiequency, the output
voltage of the inveitei becomes limited by the dc link voltage developed fiom the input iectifei. Rated motoi
cuiient cannot be maintained, and the iesultant toique is ieduced to typical opeiating points (m
5
and m
6
).
The loci of the opeiating points foim a toique-speed chaiacteiistic similai to that shown in Fig. 104.11 foi the
dc diive.
Biaking opeiation of an induction machine diive can be obtained by obseiving the iotoi speed and exciting
the machine at a fiequency that pioduces a negative slip, i.e., opeiating points |
1
to |
6
in Fig. 104.11 iesult
fiom this stiategy. Undei these conditions, howevei, the inveitei stage of the conveitei iectifes the output of
the motoi. This incieases the voltage of the dc link to a level above the noimal output of the iectifei stage. If
the iectifei has contiollable devices, it can be made to inveit the eneigy in the dc link to utility fiequency and
hence ietuin it to the thiee-phase supply. Alteinatively, if the iectifei stage is an uncontiolled diode biidge,
the iegeneiated eneigy must be dissipated in the dc link; this is often achieved by switching a iesistoi acioss
the link in the biaking mode.
Switching of the inveitei stage devices of the conveitei causes the potential of the dc link to be sequentially
applied, iemoved, and then ieveise connected to the motoi teiminals. At it simplest, this is equivalent to the
application of iectangulai voltage waves to a machine that is designed foi sinusoidal excitation. Although the
machine will opeiate adequately fiom iectangulai, oi oveilapping, step-wave excitation, the high haimonic
content of the iesulting cuiients cause additional losses in the motoi, iesulting in a peifoimance deiating. In
veiy laige diives, wheie line commutated thyiistois aie needed to handle the powei, oi in moie modeiate-sized
FIGURE 104.13 Induction motoi diive.
FIGURE 104.14 Development of induction motoi diive toiques.
diives at high speeds, wheie the commutation (switching) losses in the semiconductois pievent moie sophis-
ticated modes of opeiation, step-wave excitation may be unavoidable. Howevei, incieased iatings of gate-tuin-
off thyiistois (GTO) and the development of MOS-contiolled thyiistois (MCT) have the potential to make
voltage modulation techniques available to laigei diives in the neai futuie. Unlike a iegulai thyiistoi, which
iequiies eithei a natuial oi foiced cuiient zeio foi tuin-off, the moie advanced devices can be contiolled by
ielatively small gate (oi fiing) pulses. This enables numeious commutations duiing one peiiod of the funda-
mental fiequency. Figuie 104.15(a) shows the voltage wavefoim pioduced by applying the technique known as
u|se-wJ| moJu|aon (PWM). Apait fiom the fundamental, the lowest- oidei haimonics of this function
appeai in a sideband aiound the modulation fiequency. The iesulting cuiient is much closei to a sinusoid, as
shown in Fig. 104.15(b), because high-fiequency components aie attenuated by the piedominantly inductive
natuie of the motoi impedance. Although PWM techniques ieduce unnecessaiy losses in the motois, the highei
fiequencies may excite mechanical iesonances in the audio fiequency iange. Thus, the motoi may become a
souice of acoustic noise, which, depending on application and existing enviionment, may be of concein.
Foi ieasons of manufactuiability and opeiational effciency, the laigest induction machines aie of the wound-
iotoi (WRIM) type. These can be, and often aie, contiolled in the same mannei as the CRIM just desciibed.
Howevei, access to the iotoi ciicuits via slip-iings enables the alteinative foim of contiol known as s|-energy
retoery, as shown in Fig. 104.16. The advantages of SER aie in ieduced size and cost of the conveitei if the
iequiied speeds do not extend gieatly fiom the natuial synchionous speed of the motoi. This is often the case
foi laige diives.
Foi veiy laige diives, the tyt|otonerer ieplaces the inveiteis as the most appiopiiate conveitei in eithei the
statoi contiolled oi SER confguiation. Cycloconveiteis develop the adjustable fiequencies iequiied by diiectly
foiming appioximations to ac wavefoims fiom segments of all the phases of the supply. Hence, each phase of
the input supply needs to be connectable to eveiy phase of the machine with both positive and negative
polaiities. Figuie 104.17 is a schematic of a single phase of a CYCLO powei ciicuit, and a typical voltage
FIGURE 104.15 (a) PWM line-to-line voltage. (b) Motoi cuiient due to PWM excitation.
wavefoim development is shown in Fig. 104.18. Examination of the voltage wavefoim illustiates that cyclocon-
veiteis aie only appiopiiate foi geneiating output fiequencies that aie signifcantly lowei than the input supply
fiequency (typically, [
out,max
- [
supply
).
The laigest of all industiial diives extend up to iatings of 100 MW. At an oidei of magnitude below this
iating the shoit (~1 mm) aii gaps between statoi and iotoi, needed foi effcient induction motoi opeiation,
become untenable mechanically. Synchionous machines, with dc iotoi felds excited via slip iings, can opeiate
at high effciencies and with contiollable powei factois while employing aii gaps of seveial millimeteis and aie
thus the only piactical ac machine foi veiy laige diives. In addition, laige conveiteis cannot be pioduced
without multiple powei electionic devices connected in seiies and/oi paiallel. A moie piactical solution is often
FIGURE 104.16 Slip eneigy iecoveiy diive.
FIGURE 104.17 One phase of cycloconveitei.
FIGURE 104.18 Cycloconveitei output wavefoims.
found in the paiallel connection of whole conveiteis. If paiallel conveiteis aie justifed, paiallel motoi windings,
aiianged in a six-phase confguiation, can be useful foi puiposes of isolation and ieduced ciiticality of contiols.
A typical veiy laige diive is shown schematically in Fig. 104.19. The opeiation of this and alteinative confgu-
iations is desciibed in the liteiatuie Stemmlei, 1991].
Cuntru! Aspects
A compiehensive desciiption of contiol techniques is signifcantly beyond the scope of this chaptei, but
detailed coveiage is available in the iecommended liteiatuie. Almost without exception, laige diives aie both
contiolled and piotected in iesponse to peifoimance measuiements which piovide signals foi contiol loops.
The type of contiol stiategy, the type of contiol loop, and the ielative impoitance of the paiticulai loops foi a
given application depend on the peifoimance iequiiements. Foi example, wheie iapid iesponse to changes in
the load toique and/oi speed is needed, shaft speed will constitute the majoi feedback signal and etor tonro|
can enable an induction motoi diive to iespond as well as the moie tiaditional dc motoi system. Foi veiy laige
diives system ineitia is such that dynamic iesponse is not an issue. Moie likely, the optimization of specifc
peifoimance paiameteis, such as effciency, is of value to the usei. Foi this application the piedominant contiol
loops will be based on cuiient and/oi powei measuiements woiking in self-optimization oi othei adaptive
contiol stiategies.
Future Trends
The most signifcant futuie developments in laige diives aie likely to iesult fiom impiovements in, and the
application of, moie advanced powei electionic devices. This will enable conveitei opeiation at highei iatings
and highei fiequencies. The most diiect initial evidence of this will be the evei-incieasing iating at which
inveiteis ieplace cycloconveiteis.
The pioposed ievisions to ANSI/IEEE-519 conceining the toleiable haimonic cuiient pollution levels of the
supply will piomote contiol stiategies and conveitei topologies to ieplace expensive fiont-end flteiing.
Advanced contiol of inveitei iectifei stages and new topologies such as marx tonerers and resonan tonerers
will be intioduced in lieu of inveiteis and cycloconveiteis.
The piesent cadie of machine types will iemain, although the tiend away fiom dc motoi diives will continue.
Foi ceitain highly specialized applications, iequiiing extiemely high effciency and specifc peifoimance iegaid-
less of cost, synchionous motois using high-coeicivity peimanent magnet felds will be used. Foi woik in seveie
enviionments and wheie high specifc toique is needed, the switched ieluctance motoi system shows consid-
eiable piomise Gieenhough, 1991].
Dehning Terms
Cycloconverter: A system of powei electionic devices that conveits alteinating cuiient eneigy at a constant
voltage and constant fiequency to an output of adjustable voltage and adjustable fiequency. The convei-
sion is done diiectly without the inteimediate diiect cuiient stage used in a iectifei/inveitei combination.
FIGURE 104.19 Veiy laige synchionous motoi diive.
Direct current (dc) motor: An electiical to mechanical eneigy conveision machine usually poweied fiom a
diiect cuiient souice. The statoi consists of a feld winding system of a numbei of salient poles connected
to pioduce a stationaiy pattein of alteinate noith and south polaiity magnetic ux in the aii gap between
statoi and iotoi. The windings of the iotoi (oi aimatuie) aie connected to the eneigy souice via a
mechanical switching system, known as the commutatoi. Sliding electiical contact with the commutatoi
is made by caibon biushes.
Induction motor: A machine poweied only fiom an alteinating cuiient souice. The statoi windings aie a
thiee-phase system symmetiically displaced aiound the inteinal peiipheiy. The combination of the
physical spatial placement of the phase windings and the time delay oi sequence of the cuiients owing
in them pioduces a magnetic feld pattein of alteinate noith and south poles that iotates within the aii
gap. The iotoi can take one of two foims: a system of high-cuiient, shoit-ciicuited conductois called a
squiiiel cage oi a thiee-phase winding system with teiminals biought out via slip iings and biushes.
Inverter: A system of powei electionic devices that conveits diiect cuiient eneigy to alteinating cuiient eneigy
by contiolled sequential switching. Vaiious contiol techniques have been developed to enable contiol of
both the output fiequency and output voltage.
Rectiner: A system of powei electionic devices that conveits alteinating cuiient eneigy to diiect cuiient
eneigy. Two geneiic foims is common: the uncontiolled iectifei and the contiolled iectifei, the output
voltage of which can be adjusted. Most iectifeis contain flteiing elements, such as seiies inductois oi
paiallel capacitois, at theii outputs to ieduce the iipple of the teiminal voltage.
Synchronous motor: A machine iequiiing both diiect cuiient and alteinating cuiient souices. The statoi
winding system is thiee-phase, similai to that of the induction motoi. The iotoi is a diiect cuiient system
similai to the statoi of the dc motoi but with the mechanical fieedom to iotate. Access to the iotoi feld
winding is via slip iings and biushes.
Re!ated Tupic
66.2 Motois
Relerences
ANSI/IEEE Standaid 519-1992, CuJe [or Harmont Conro| anJ Reate Comensaon o[ Sat Power Con-
erers, Decembei 1992.
B. K. Bose, Ed., J,usa||e SeeJ C Dre Sysems, New Yoik: IEEE Piess (Wiley), 1981.
B. K. Bose, Power E|etronts anJ C Dres, Englewood Cliffs, N.J.: Pientice-Hall, 1986.
P. Gieenhough, Swt|eJ Re|utante Dres [or |taons n Ha:arJous reas, 5| Inernaona| Con[erente on
E|etrta| Mat|nes anJ Dres (IEE 341), London: IEE, 1991, pp. 11-16.
L. Gyugyi and B. R. Pelly, Sat Power Frequenty C|angers, New Yoik: Wiley, 1976.
W. Leonaid, Conro| o[ E|etrta| Dres, Beilin: Spiingei-Veilag, 1985.
P. C. Sen, T|yrsor DC Dres, New Yoik: Wiley, 1981.
H. Stemmlei, High powei industiial diives", Prot. IEEE, 82, 1266-1286, 1994.
Further Inlurmatiun
The Institute of Electiical and Electionics Engineeis (IEEE) has thiee publications iepoiting on powei elec-
tionics, electiic machines, and diives. The Transatons on InJusry |taons is published bimonthly, while
the Transatons on Energy Conerson and the Transatons on Power E|etronts appeai quaiteily. The technical
IEEE societies associated with these jouinals also sponsoi semiannual oi annual confeiences. Foi infoimation,
contact IEEE Seivice Centei, 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331.
Othei souices of infoimation include the ProteeJngs o[ |e Insuon o[ E|etrta| Engneers (IEE) and the
Euroean Power E|etronts anJ Dres Journa| in Euiope as well as the Transatons o[ |e Insue o[ E|etrta|
Engneers o[ Jaan.
104.3 Rubust Systems
Moro Sznoer ond Fcordo S. Sonc|ez Peno
Rubustness and Feedback
Feedback and contiol theoiy aie two concepts that
aie intimately ielated. In fact, the lattei is consideied
as the theoiy of feedback systems. Next we explain
why the need foi feedback is only due to unceitainty.
Considei the feedback system of Fig. 104.20,
wheie S iepiesents the physical system to be con-
tiolled, K(s) and J(s) the mathematical models of the
lineai contiollei and the exteinal distuibance at the
output of the plant, iespectively. Next, add and sub-
tiact inside the loop a lineai mathematical model of
the plant C(s), so that the feedback loop iemains
unchanged. Finally, iedefne the connection between
the models of the contiollei and the plant as: C(s)
K(s)I - C(s)K(s)]
-1
. The objective of these tiansfoi-
mations inside the feedback loop is to leave the feed-
back signal [(s) expiessed only in teims of its
necessaiy components. This is:
(104.7)
Fiom the above, we see that the need foi a feedback signal is due exclusively to the unceitain elements in the
loop: distuibance J(s) and model unceitainty .
The distuibance is consideied as unknown because otheiwise, if we knew exactly the ye of signal and the
me at which it distuibs the loop, anothei signal could be injected in the loop that counteiacts the effect of
J(s). In classical and modein contiol, which geneially assume knowledge of the ye of signal (step, iamp,
sinusoid), theie is no ceitainty in the moment the distuibance will appeai. In iobust contiol, the hypotheses
aie ielaxed and the distuibances aie assumed to be bounded (in eneigy, powei, oi magnitude).
Model unceitainty iepiesents the fact that a mathematical model does not copy exat|y the ielevant physical
phenomena taking place in the system. The main diffeience between classical/modein contiol theoiies and
iobust contiol is the fact that in the lattei, unceitainty is explicitly incoipoiated in the hypothesis of the pioblem.
Theiefoie, in iobust contiol, the woid model" is not equivalent to system," the lattei meaning physical system
oi plant. Specifcally, the system is tieated mathematically as a [am|y o[ moJe|s oi set, iepiesented by a nominal
model C(s) (the same one used in classical/modein contiol) and |ounJeJ unceitainty .
1
The goal of iobust contiol is to compute the least conseivative conditions pioviding terany on loop stability
and peifoimance of an unteran moJe| (bounded family of models) that iepiesents a physical system. When
these piopeities, stability and peifoimance, iefei to the nominal model, they aie called nomna|. When they
iefei to the complete family of models oi unceitain model, they aie called ro|us.
Next, let us imagine ideally, that theie is exact knowledge of J(s) and an exact mathematical iepiesentation
of the system S, i.e., S C(s). By the aiguments in the above paiagiaphs, without loss of geneiality, we can
assume J(s) 0 and theiefoie [ (s) 0. In this case, theie is no need foi feedback: any desiied output could be
obtained oi, stabilization of C(s) could be achieved by conveniently designing an open-loop contiollei C(s).
1
If is not bounded, the pioblem becomes ill-posed, since by taking it laige enough we could always destabilize the
feedback loop.
FIGURE 104.20 Feedback and unceitainty.
[ s J s S C s u s

Neveitheless, these assumptions do not include the physical connection between the contiollei and the
system. Thiough any physical connection (the electiical signals fiom the D/A of a computei contiollei to the
actuatoi), theie is a possibility of having exteinal distuibances (electiical noise, quantization). If the system is
open-loop unstable (e.g., inveited pendulum), theie exist distuibances injected at the plant input that could
pioduce an undesiiable diveiging output. Again, the lack of knowledge of possible distuibances enteiing the
loop at diffeient points makes open-loop contiol a useless choice.
Thus, in any iealistic situation theie is no way to avoid feedback, due to the existence of unceitainty. The
basic objective of both iobust contiol and iobust identifcation is to develop methods that explicitly take into
account this unceitainty, leading to the design of iobust systems: systems wheie a desiiable piopeity (such as
stability oi peifoimance) can be guaianteed a ror, even in the piesence of unceitainty.
Rubust Stabi!ity and Perlurmance
In this section, we addiess the issues of nominal and robust stability and performance pioblems in single-input
single-output (SISO) systems. The analysis pioceeds fiom stability of the nominal model of the plant to the
fnal objective of iobust contiol: iobust peifoimance.
Numina! Interna! Stabi!ity
It is well known that a system desciibed by a iational tiansfei function C(s) is bounded input bounded output
(BIBO) stable if and only if it has all its poles in the open left half complex plane Re(s) < 0. Howevei, as
illustiated by the following example, this classical input/output stability concept may fail to captuie the stability
piopeities of a [eeJ|at| |oo. Considei the loop of Fig. 104.21 and let
(104.8)
The tiansfei function fiom the input u
2
to the output y
1
is
given by T
y
1
u
2
, which is stable in the usual sense. Howevei,
the tiansfei function between the input u
1
and the output y
1
is
T
y
1
u
1
, which is obviously unstable. As we will see
next, this is caused by the cancellation of the unstable plant pole
at s 1 by a zeio of the contiollei.
This example shows that theie is a diffeience between the
stability of a ceitain system, consideied as a mapping between
its input and output
2
which we defne as input-output stability,
and stability of a feedback loop which will be defned next. In
the lattei, we must guaiantee that all possible input-output paiis
aie stable, which leads to the concept of inteinal stability.
Dennition 104.1 T|e [eeJ|at| |oo o[ Fg. 104.21 s nerna||y sa||e [ anJ on|y [ a|| rans[er [untons o|aneJ
[rom a|| nu-ouu ars |ae |er o|es n
-
{s: Re(s) < 0 (nu-ouu sa||e).
It is easy to show 9] that to veiify inteinal stability it is suffcient to check the input-output stability of the
foui tiansfei functions between the inputs u
1
(s), u
2
(s)] and the outputs e
1
(s), e
2
(s)]. Moieovei, it is not diffcult
to piove that the feedback loop in Fig. 104.21 is inteinally stable if and only if 1 - g(s)|(s)]
-1
is stable and
theie aie no iight half plane (RHP) pole-zeio cancellations between the plant and the contiollei. Thus, the
concept of inteinal stability foimalizes the well-known design iule that no unsa||e o|e/non-mnmum |ase
:ero tante||aon |eween |an anJ tonro||er should be allowed.
2
Even in the MIMO case with seveial inputs and outputs.
g s
s
s s
| s
s
s
1
1 3
1
1
,
FIGURE 104.21 Feedback inteiconnection to
evaluate inteinal stability.
1
4 ( ) s
( )
( )( )
s
s s
1
1
4
Rubust Stabi!ity
Roughly speaking, a given piopeity of a system (such as stability oi peifoimance) is ro|us if it holds foi a
[am|y o[ sysems that iepiesents (and contains) the nominal plant. In this context, iobustness can be quantifed
by defning a ro|usness margn in teims of the distance of the nominal model that iepiesents the system, to
the neaiest model that lacks the piopeity undei consideiation. Thus, a given iobustness maigin is ielated to a
specifc type of model unceitainty. In classical contiol theoiy, this leads to the well-known concepts of |ase
and gan maigins. Both of these measuies can be inteipieted in teims of the Nyquist plot, as shown in Fig. 104.22.
Heie
m
and g
m
iepiesent the distance" in angle and gain, iespectively, to the ciitical point : -1. Thus, the
feedback loop iemains stable even when the nominal plant g
o
is ieplaced by g(s) g
o
(s), wheie t oi
e
,
and wheie t and aie unteran values contained inside the inteivals I
t
1, g
m
] and I 0,
m
], iespectively.
Note that these defnitions implicitly assume that both types of unceitainty (phase and gain) act on the loop
one at a time. As a consequence, these maigins aie effective as analysis tools only when the model of the plant
has eithei phase oi gain unceitainty and do not guaiantee ro|us sa||y foi the moie iealistic situation wheie
both phase and gain aie simultaneously affected by unceitainty. Foi instance, in the system depicted in
Fig. 104.22, both
m
and g
m
have adequate values. Neveitheless, with small simultaneous peituibations in the
phase and gain of the loop, the plot will enciicle the ciitical point : -1. A moie iealistic unceitainty desciiption,
leading to contiollei designs that peifoim bettei in piactice, is mu||tae Jynamt unterany. In this context,
the actual physical system is desciibed by the set
(104.9)
as illustiated in Fig. 104.23. Heie, g
o
and V (s) iepiesent the nominal plant and a fxed weighting function
containing the fiequency distiibution of the unceitainty, and the stable tiansfei function (s) iepiesents
bounded dynamic unceitainty.
3
A typical function V (s) has high-pass chaiacteiistics, with small magnitude
(i.e., low unceitainty) at low fiequencies, incieasing at high fiequencies. If its magnitude becomes laigei than
one above a ceitain ciossing fiequency
o
(moie than 100% unceitainty); in oidei to guaiantee stability of the
closed-loop system, the contiollei must iendei the nominal loop function g
o
(, )|(, ) small enough at fiequen-
cies above
o
. This guaiantees that the Nyquist plot does not enciicle the ciitical point.
A condition guaianteeing stability of all elements of the family , i.e., ro|us sa||y of g
o
(s), is deiived next.
3
Without loss of geneiality, the bound on can be taken to be one, since any othei value can be absoibed into the weight
V (s).
FIGURE 104.22 Phase and gain maigins.
g s g s g s s V s s ,
o
,
: , , 1 1 stable sup
Theorem 104.1 ssume |e nomna| moJe| g
o
(s) s (nerna||y) sa||:eJ |y a tonro||er |(s). T|en a|| mem|ers
o[ |e [am|y w|| |e (nerna||y) sa||:eJ |y |e same tonro||er [ anJ on|y [ |e [o||owng tonJon s sasfeJ.
(104.10)
w| T(s)

g
o
(s)|(s) 1 - g
o
(s)|(s)]
-1
|e tom|emenary sensy [unton.
Using Fig. 104.24, we can inteipiet condition (104.10) giaphically, in teims of the family of Nyquist plots
coiiesponding to the set of loops. Fiist obseive that Eq. (104.10) is equivalent to:
(104.11)
Foi a given fiequency , the locus of all points :(, ) g
o
(, )|(, ) - g
o
(, )|(, )V(, ) ), < 1 is a disk
( ), centeied at g
o
(, )|(, ) with iadius r g
o
(, )|(, )V(, ). Since 1 - g
o
(, )|(, ) is the distance between
the ciitical point and the point of the nomna| Nyquist plot coiiesponding to the fiequency , , it follows that
condition (104.10) is equivalent to iequiiing that, foi each fiequency , the unceitainty disk ( ) excludes
the ciitical point : -1. Theiefoie, iobust stability foi SISO systems can be checked giaphically by diawing
the envelope of all Nyquist plots foimed by the set of ciicles centeied at the nominal plot, with iadii
g
o
(, )|(, )V(, ), and checking whethei oi not this envelope encloses the ciitical point : -1. In the MIMO
case, although an equivalent condition can also be obtained, theie is no such giaphical inteipietation.
FIGURE 104.23 Distuibance iejection at the output foi a family of models with multiplicative unceitainty.
FIGURE 104.24 Set of Nyquist plots of the family of models.
T s V s T , V ,
,
sup 1
1 g s | s g s | s V s ,
o o s

Numina! Perlurmance
In the context of iobust contiol theoiy, peifoimance is defned on the basis of the ability of the contiol system
to ieject a [am|y of distuibances, possibly appeaiing at diffeient paits of the loop, i.e., sensois, actuatois,
outputs, etc. In the sequel, foi simplicity we considei the case wheie these distuibances appeai at the output
of the plant, but the iesults can be easily geneialized to othei cases.
Dennition 104.2 T|e [eeJ|at| |oo o[ Fg. 104.25 at|ees nomna| er[ormante [ anJ on|y [ |e weg|eJ ouu
remans |ounJeJ |y uny, .e., V
y
(s)y(s)
2
1, [or a|| Jsur|antes n |e se {J
2
, J
2
1.
In othei woids, nominal peifoimance is achieved if [or a|| possible exogenous peituibations J(s) with eneigy
less than one, the eneigy of the weighted output Vy also iemains below one. As befoie, V
J
(s) and V
y
(s) aie
fxed weighting functions used to give moie weight to some iegions of the spectium.
Note that checking nominal peifoimance using Defnition 104.2 diiectly iequiies a seaich ovei all bounded
eneigy distuibances, which is cleaily not possible. Foitunately, nominal peifoimance can be checked by checking
the following fiequency domain condition:
Theorem 104.2 T|e [eeJ|at| sysem o[ Fg. 104.25 at|ees nomna| er[ormante, [ anJ on|y [.
(104.12)
A giaphical inteipietation of the nominal peifoimance condition can be obtained by means of a Nyquist
plot (see Fig. 104.26). To this end, defne V(s) V
y
(s)V
J
(s) and note that Eq. (104.12) is equivalent to:
(104.13)
Considei, foi each fiequency , , a disk (, ) centeied at : -1, with iadius r V(, ). Then Eq. (104.13)
can be inteipieted giaphically as nominal peifoimance being achieved if and only if, foi eveiy fiequency , ,
the disk (, ) does not inteisect the Nyquist plot of g
o
(, )|(, ), the nominal loop.
Rubust Perlurmance
The fnal goal of iobust contiol is to achieve the peifoimance iequiiement on all membeis of the family of
models (i.e., iobust peifoimance), with a single contiollei. Next, we will establish a necessaiy and suffcient
condition foi iobust peifoimance by making use of the conditions foi nominal peifoimance and iobust stability.
Dennition 104.3 T|e [eeJ|at| |oo o[ Fg. 104.2J at|ees ro|us er[ormante [ anJ on|y [ V
y
(s)y(s)
2
1, [or
a|| oss||e Jsur|antes n |e se {J
2
J
2
1, anJ [or a|| moJe|s n |e se {g: g(s) 1 - V (s) (s)]g
o
(s),
sa||e, (, ) < 1.
FIGURE 104.25 Augmented feedback loop with peifoimance weights.
V s S s V s V , g , | , V ,
y J y J
sup
j
1 1
V , g , | ,
o
1 ,
Applying the conditions foi nominal peifoimance and iobust stability to a|| membeis of the set leads to
the following necessaiy and suffcient condition foi iobust peifoimance.
Theorem 104.3 netessary anJ su[ften tonJon [or ro|us er[ormante o[ |e [am|y o[ moJe|s n Fg. 104.2J s:
(104.14)
As befoie, a giaphical inteipietation of the iobust peifoimance condition can be obtained by means of the
Nyquist plot of Fig. 104.27. Notice that Eq. (104.14) is equivalent to:
(104.15)
FIGURE 104.26 Nyquist plot foi distuibance iejection inteipietation.
FIGURE 104.27 Nyquist plot foi iobust peifoimance inteipietation.
V , S , T , V ,
J
1
1 0 , V , , V ,
J
Fiom the fguie we see that the iobust peifoimance iequiiement combines both the giaphical conditions foi
iobust stability of Fig. 104.23 and nominal peifoimance of Fig. 104.22. Robust peifoimance is equivalent to
the disk centeied at :
1
-1 with iadius r
1
V
J
(, ) and the disk centeied at :
2
(, ) with iadius r
2

V (, ) (, ) being disjoint. Cleaily, this is moie iestiictive than achieving the iobust stability and nominal
peifoimance conditions sepaiately. Moieovei, while nominal peifoimance and iobust stability can be veiifed
by computing the infnity noim of an appiopiiately weighted closed-loop tiansfei function, the condition foi
iobust peifoimance (Eq. (104.14)) cannot be expiessed in teims of a single closed-loop weighted infnity noim.
Rathei, a new measuie , the srutureJ sngu|ar a|ue, must be used. This measuie will be defned latei, wheie
we will indicate how to compute it, a pioceduie known as -ana|yss.
Extensiun tu MIMO Systems
A common piactice to extend SISO iesults to multivaiiable systems is to use a |oo a a me appioach, wheie
the SISO tools aie applied to each input-output paii of the MIMO system. Unfoitunately, as we will show by
means of a simple example, this appioach can be misleading, oveiestimating the iobustness piopeities.
Example 104.1 ConsJer |e [o||owng nomna| |an anJ tonro||er:
(104.16)
For |e a|oe Jesgn, |e nomna| |oo L(s) C(s)K(s) anJ |e tom|emenary sensy [untons are gen |y
(104.17)
Nex, oen eat| o[ |e |oos, w||e |e o|er remans t|oseJ (see Fg. 104.28). Oenng on|y |e frs |oo |eaJs o
u
2
-y
2
, |ente y
1
-u
1
/s. Sm|ar|y, t|osng |e frs |oo anJ ea|uang |e setonJ one, we o|an y
2
-u
2
/s.
T|us, eat| |oo |as nfne gan margn anJ 90 |ase margn, anJ one s emeJ o tont|uJe |a |e sysem
|as gooJ ro|usness roeres. Howeer, [ |e sysem s a[[eteJ |y mu||tae unterany o[ |e [orm
(104.18)
FIGURE 104.28 Loop at a time" analysis.
C s
s
s s
s s
s s
K s s
s
s s
2 1
2 1
1 2
1
2
1
2 2 1 2
0 1
2
,
L s
s
s
s
T s
s
1
1 0
1
1
1
1
1 0
1 1
,
1 2
0 0
|en |e torresonJng t|oseJ |oo t|araterst o|ynoma| s gen |y
(104.19)
anJ s easy o er[y |a |e [o||owng unterany Jesa||:es |e t|oseJ |oo:
(104.20)
T|us, a erur|aon w| s:e" (gen n erms o[ |e eut|Jan norm)
o
s Jesa||:ng.
In oidei to motivate the appioach that we will follow to geneialize the SISO tools to the multivaiiable case,
considei the iobust tiacking pioblem shown in Fig. 104.28, wheie the objective is to synthesize a contiollei
such that, foi all elements of the family of plants desciibed by the model:
the iesulting closed-loop system is inteinally stable and tiacks a iefeience signal of the foim {r(s), r(s)
2
1
with tiacking eiioi bounded by 1, i.e., e(s)
2
1.
In Fig. 104.29, this pioblem is iecast into the inteiconnection of an uppei block (iepiesenting model
unceitainty) and a nominal plant M(s) (that includes the nominal model, the contiollei, and the unceitainty
and peifoimance weights) with the following iepiesentation:
(104.21)
wheie S
o
(s) I - C
o
(s)K(s)]
-1
and T
o
(s) C
o
(s)K(s)I - C
o
(s)K(s)]
-1
denote the ouu sensy and its
complement, iespectively. This inteiconnection is a special case of a Lnear Fratona| Trans[ormaon (LFT), a
geneial stiuctuie used in modein iobust contiol theoiy both foi analysis and synthesis. While a complete
analysis of the piopeities of this inteiconnection is beyond the scope of this chaptei (see foi example, 9, 10]),
we quote below the MIMO equivalent of the SISO iobust stability and nominal peifoimance conditions coveied
above. Assume that (s) is stable and that sup
j
(, )] < 1, wheie () denotes the maximum singulai
value; then iobust stability and nominal peifoimance of the inteiconnection of Fig. 104.30 aie equivalent to:
FIGURE 104.29 Robust tiacking pioblem with sensoi unceitainty.
s s
2
1 2 1 2
2 1 0
o
1
2
1
2
0 0
o
2
2
C I s V s C s s
o
, stable, 1
M s
M s M s
M s M s
V s T s V s T s
V s S s V s S s
o o
e o e o
11 12
21 22
M
11
1
M
22
1 (104.22)
- max { M
11
, M
22
1
As befoie, iobust peifoimance cannot be expiessed in teims of the noim of a single tiansfei function and
iequiies the use of the tools biiey mentioned latei. It follows that a contiollei that achieves iobust stability
oi nominal peifoimance can be found by consideiing the inteiconnection shown in Fig. 104.31 and designing
K so that T
:w
1, wheie T
:w
denotes the closed-loop tiansfei function between the input w and the output :.
This is the well-known contiol pioblem addiessed in the next section.
Cuntru!
As shown in the pievious sections, a laige numbei of iobust contiol pioblems can be desciibed using the block
diagiam shown in Fig. 104.30. Heie, the goal is to synthesize an inteinally stabilizing contiollei K(s) such that
the woist-case output eneigy :
2
due to exogenous distuibances w with unit eneigy is kept below a given
thieshold. Since foi Lineai Time Invaiiant (LTI) stable systems the
2
to
2
induced noim coincides with the
noim of the tiansfei matiix 9], this pioblem is known as the (sub)optimal contiol pioblem. While a
complete analysis of this pioblem is beyond the scope of this chaptei, in the sequel we biiey desciibe a solution,
developed in the eaily 1990s 4, 5, 8], based on the use of Lineai Matiix Inequalities (LMIs). Foi simplicity,
we will assume that the plant is stiictly piopei.
4
4
This assumption can always be iemoved thiough a Loop Shifting tiansfoimation 9].
FIGURE 104.30 Statement of the pioblem as an LFT.
FIGURE 104.31 Lowei fiactional inteiconnection F P(s), K(s)].
Robust
stability
Nominal
peifoimance
Nominal
peifoimance
Robust
stability
Theorem 104.4 ConsJer a fne Jmensona| LTI |an C o[ MtM||an Jegree n w| a mnma| rea|:aon:
(104.23)
w|ere |e ars (, B
2
) anJ (, C
2
) are sa||:a||e anJ Jeeta||e, resete|y, anJ w|ere R
n n
; D
11
R
n
1
m
1,
D
12
R
n
1
m
2 and D
21
R
n
2
m
1. T|en |ere exss an nerna||y sa||:ng tonro||er K(s) w| MtM||an Jegree |
|a renJers |e t|oseJ-|oo rans[er [unton T
:w
< 1 [ anJ on|y [ |e [o||owng Lnear Marx Inequa|es n
|e ara||es R anJ S are [eas||e.
(104.24)
(104.25)
(104.26)
w|ere N
R
anJ N
S
are any martes w|ose to|umns [orm |ases o[ |e nu|| sates o[ B
T
2
D
T
12
] anJ C
2
D
21
],
resete|y. Moreoer, |e se o[ su|oma| tonro||ers o[ orJer | s nonemy [ anJ on|y [ Eq. (104.24-104.26)
|o|J [or some R, S sas[yng |e ran| tonsran
(104.27)
Once the matiices R and S have been found, a suitable contiollei K can be constiucted as follows:
1. Foim a matiix
2. Solve the following LMI in the vaiiable :
(104.28)
wheie
(104.29)
:
y
B B
C D D
C D
w
u
1 2
1 11 12
2 21
0
N
I
R R RC B
C R I D
B D I
N
I
R
T
T T
T T
R
0
0
0
0
0
1 1
1 11
1 11
N
I
S S SB C
B S I D
C D I
N
I
S
T
T T
T T S
0
0
0
0
0
1
1 11
1 11
R I
I S
0
ran| I RS |
X
S N
N I
N S R
T
,
1
1
2
x
T T
t| t|
T
0
B
C D
| |
| |
contains all the contiollei paiameteis and wheie
(104.30)
In the special case wheie D
11
0, D
22
0 and the following conditions hold:
(A1) (, B
2
) is stabilizable and (C
2
, ) is detectable.
(A2) (, B
1
) is stabilizable and (C
1
, ) is detectable.
(A3) C
T
1
D
12
0 and B
1
D
T
21
0.
(A4) D
12
has full column iank with D
T
12
D
12
I and D
21
has full iow iank with D
21
D
T
21
I.
The iesult above ieduces to the following theoiem, fist stated in 3].
Theorem 104.4 UnJer assumons (1)-(4) |ere exss an nerna||y sa||:ng tonro||er K(s) |a renJers
T
:w
< 1 [ anJ on|y [ |e [o||owng wo Rtta equaons.
(104.31)
|ae ose semJefne sa||:ng so|uons X 0, Y 0 sut| |a (XY) < 1, w|ere () Jenoes |e setra|
raJus. In |s tase, a sua||e tonro||er s gen |y
(104.32)
wheie
(104.33)
x
o
T
o o o
T
o
T T
o
t|
T T
|
o
o
o
X X X B C
B X I D
C D I
X q
B
B
C C
11
11
12 21
1 1
0 0
0
0 0 0
0

;
; ; ;
0 0
0
0
0
0
0
2
2
12 12 21
21
B
I
I
C
D
D
|
|
;
;

X X X B B B B C C
Y Y Y C C C C Y B B
T T T T
T T T T
1 1 2 2 1 1
1 1 2 2 1 1
0
0
K
F
Z L
tenra|

0
B B X B F Z L C
F B X
L Y C
Z I Y X
T
T
T
1 1 2 2
2
2
1
Structured Lncertainty
So fai, we have consideied only g|o|a| Jynamt unceitainty. This name comes fiom the fact that the unceitainty
is attiibutable to all the systems and desciibes the unknown highei oidei dynamics of the plant. Howevei, in
many piactical applications, this type of unceitainty desciiption coveis in a veiy conseivative way the ieal
unceitainty of the model. This is the case when moie stiuctuied infoimation on the plant is available. Hence,
a nonconseivative analysis oi synthesis pioceduie should take advantage of this extia infoimation. Next we
mention some of these situations. Some excellent iefeiences foi this aiea aie (1, 2, 9, 10]).
Considei the total system as composed of individual subsystems, each with its own dynamic unceitainty
desciiption. Take foi example the actuatois, the system itself, and the sensois desciibed as the following
individual sets of models:
(104.34)
with 1, 2, 3 foi the actuatoi, plant, and sensoi, iespectively. The seiies inteiconnection yields, S(s)
3
(s)
2
(s)
1
(s), which can be tiansfoimed to an LFT connection between a nominal model

(s)
and an unceitainty block in the set
srut
{diag
1

2

3
],
| |
, < 1, 1, 2, 3. This type
of unceitainty is called srutureJ Jynamt.
If, on the othei hand, the unceitainty of the plant is desciibed as global dynamic, i.e., {F
u
(s), ],
n n
, < 1 (n |
1
- |
2
- |
3
), disiegaiding the stiuctuial infoimation will add moie unnecessaiy
models to the set. Hence, the iobustness analysis of a closed-loop system with such an unceitainty
desciiption will, in geneial, be conseivative.
In many cases, the plant has a well-known mathematical model usually deiived fiom physical equations.
This is the case of some applications fiom mechanical, aeionautical, and astionautical engineeiing, wheie
the iigid body model based on Newton-Eulei equations piovides a good enough desciiption foi mild
peifoimance specifcations. Howevei, the paiameteis of these models may not be known exactly. Rathei,
theii values aie estimated eithei by classical paiametei identifcation (6]) pioceduies oi by set mem-
beiship identifcation methods (9]) to within some unceitainty bounds. When these bounds aie detei-
ministic woist-case bounds, this leads to a plant iepiesentation in teims of a family of models with a
mathematical fxed stiuctuie and paiameteis that may take values within ceitain specifed sets. This type
of unceitainty desciiption is called aramert unterany. Take foi example the following set of models
that iepiesents a plant with unceitain paiameteis :
n
]
T
:
Paiametiic unceitainty can be piesent in both state space oi tiansfei matiix iepiesentations. In the lattei
case, the unceitain paiameteis aie located in the uppei unceitainty block of a standaid LFT stiuctuie,
oi in the coeffcients of the chaiacteiistic polynomial of the closed-loop system. In the pievious example:
(104.35)
wheie | is a constant (nominal stabilizing contiollei).
In geneial, both paiametiic and stiuctuied dynamic unceitainty appeai simultaneously. Foi example,
laige exible space stiuctuies have a well-known low-fiequency model iepiesented by seveial second-
oidei modes with natuial fiequencies and damping coeffcients within ieal inteivals, i.e., paiametiic

s I V s s
| |
; , 1
s
s :
s s
: : :
n n
n
, , , , , , ,
2 2
1 2 1 2 1 2
2
P s s | s |:
n
t
n
t
o
,
2 2
2
1

unceitainty. The highei-oidei dynamics can be iepiesented moie natuially as dynamic unceitainty. This
is the so-called mixed type unceitainty.
Recall that stability oi peifoimance robustness margins aie diiectly ielated to the ye of unceitainty piesent
in the plant. As special cases, we have mentioned the classical phase and gain maigins. Foi stiuctuied unceitainty,
the same concept holds; theiefoie, a geneial defnition of a iobustness maigin should be made.
Stabi!ity Margin
Chaiacteiistic Polynomial Fiamewoik
A natuial way to state the pioblem in cases of paiametiic unceitainty is in teims of the closed-loop chaiacteiistic
polynomial (CLCP):
(104.36)
wheie {t
(), 0, ., n - 1 aie ieal functions of the unceitainty vectoi and iepiesents the m-dimensional
hypeicube of paiameteis
, |
], 1, ., m. Heie, a nominal inteinally stabilizing contiollei is assumed,

i.e., P(s,
0
) 0 has all its ioots in
-
{s ; e(s) < 0. Robust stability is equivalent to P(s, ) 0,
, s
-
, wheie
-
{s ; e(s) 0.
Checking this condition iequiies computing the ioots of P(s, ) foi all possible values of . On the
othei hand (since the nominal system is stable), a iobust stability maigin only needs to indicate at which point
the ioots of P(s, ) cioss ovei fiom
-
to
-
as the unceitainty aiound the nominal set of paiameteis
0
is
incieased." Undei ceitain continuity conditions defned by the Boundaiy Ciossing theoiem, as poles move
fiom
-
to
-
, the fist unstable ones ieach the , axis befoie enteiing the inteiioi of
-
. Hence, the measuie
of stability, defned as the mu|ara||e sa||y margn |
m
is:
(104.37)
wheie is the unitaiy m-dimensional hypeicube . Hence, the necessaiy and suffcient condition foi iobust
stability is |
m
(, ) 1, .
As mentioned befoie, when consideiing only paiametiic unceitainty, this is a geneial fiamewoik that includes
the LFT foimulation as a special case. The complexity of the afoiementioned functions of the unceitain
paiameteis t
() deteimines the computational complexity of the solution. In addition, the type of functions
consideied leads to two cleaily diffeient ieseaich appioaches. This is illustiated in Table 104.2 which classifes
the diffeient tools accoiding to these functions. Heie, iepiesents the set of veitices of and co() is the
convex hull.
The fist iow consideis the case of an independent set of unceitain coeffcients. Khaiitonov`s Theoiem states
that in this case, stability of the complete set of polynomials is equivalent to stability of only foui distinguished
CLCP. The second iow consideis the coeffcients as affne functions of the unceitain paiameteis. The Edge
theoiem states that the stability of the polynomials along the edge of the set of paiameteis ensuies the stability
of the whole family of CLCPs.
The case of multilineai dependence of the coeffcients with the paiameteis (3id iow) establishes a boundaiy
between two diffeient ieseaich appioaches. The fist one is similai to the pievious cases and seeks to compute
TABLE 104.2 Coeffcient Functions, LFT Stiuctuie, Value Sets, and Analysis Results
CLCP Fiamewoik t
() LFT Fiamewoik
Stiuctuie Value Set Result

t
M(s) iank 1 Rectangle Khaiitonov

Affne M(s) iank 1 Polytope Edge Theoiem
Multilineai Independent
's M(s) geneial Non-convex P( , ) coP( , )] Analytical, Computational

Polynomial Repeated
's M(s) geneial Non-convex P( , ) coP( , )] Computational

P s s t s t s t
n
n
n
o
, ,
1
1
1

| , | P , |
m
inf , , , 0 0
the stability maigin foi a paiticulai multilineai stiuctuie by consideiing only a smallei numbei of distinguished
models.
The second appioach staits diiectly fiom the geneial multilineai dependence case and geneializes to poly-
nomial functions t
(). Many of these methods aie based on the Mapping theoiem and have a cleai computa-
tional basis. These algoiithms aie based on a |rant| anJ |ounJ method ovei the two-dimensional value sets
in the complex plane foi each fiequency . The geneial paiametiic analysis is NP-haid; theiefoie, the pioceduies
that aie able to compute the stability maigin exactly (oi with guaianteed bounds) have exponential time
complexity.
LFT Fiamewoik
When dynamic unceitainty is involved, it is convenient to stiuctuie the unceitainty as an LFT, due to the fact
that in these cases the model oidei is not fxed. In the paiametiic unceitainty case, the LFT setup includes only
t
() functions that aie polynomial in the paiameteis. Theiefoie, the pievious analysis based on the chaiacteiistic
polynomial P(s, ) would be moie geneial. The unceitainty stiuctuies that can be used aie as follows:
(104.38)
foi srutureJ Jynamt unterany, oi
foi the paiametiic unceitainty set
, oi combinations of both
foi mxeJ unceitainty desciiptions
M
. The stability maigin foi these types of unceitainty desciiptions is as
follows:
Dennition 104.4 T|e stiuctuied singulai value s JefneJ as.
or o|erwse (, ) 0 [ detI - M(, ) ] 0 [or a|| .
Heie, the set may be any of the pieviously defned unceitainty stiuctuies and M(s) is the lowei block of
the LFT. Fiom the pievious defnition in Eq. (104.37), it is cleai that |
m
M(, )]
-1
M(, )] when the
unceitainty stiuctuie is the same.
The necessaiy and suffcient conditions foi the iobust stability of the family of closed-loop systems {F
u
T(s),
], is T
11
(, )] 1 foi all (oi equivalently |
m
T
11
(, )] 1 foi all ), wheie T
11
(s) is
the uppei block of T(s) connected to the unceitainty . As in the CLCP statement, the iobustness condition is
tested ovei the imaginaiy axis only.
In the sequel, we biiey desciibe a pioceduie based on the use of uppei and lowei bounds to compute .
Foi simplicity, we iestiict ouiselves to the unceitainty set
J
in Eq. (104.38). It can be shown that has the
following piopeities:
(MU) (M) foi U U {U
J
, U
unitaiy; 1, ., m
(DMD
-1
) (M) foi D D
(104.39)
Note that the fist equality in Eq. (104.39) leads to a non-convex optimization pioblem. On the othei hand,
the iight-hand side inequality leads to a convex optimization that can be solved in polynomial time. Howevei,
J m
r r

m diag
1
1 , , ,
M , I M , inf det 0
1
J I
J I
I r
J
m m

1 1
0
0
0
: identity in
max inf
U u D
MU M DMD m
1
3 if
it is tight only foi stiuctuies having no moie than thiee unceitainty blocks, with veiy iecent iesults indicating
that the gap can be aibitiaiily laige as m giows (but giowing no fastei than ). Neveitheless, this inequality
is used as a standaid tool foi iobustness analysis.
Foi the paiametiic and mixed unceitainty types
and
M
, iespectively, computation is not as stiaightfoi-
waid. This is due to the fact that the calculation of the exact stability maigin (oi even an appioximation with
guaianteed a ror bounds) of an unceitain model with a geneial paiametiic unceitainty stiuctuie is an NP-
haid pioblem; theiefoie, theie aie two ieseaich diiections. Fiist, looking foi exact (oi appioximate with
guaianteed bounds) polynomial time analysis of paiametiic unceitainty stiuctuies that may not be geneial,
but can accommodate re|ean piactical applications. Second, studying appioximate methods (bianch and
bound, heuiistics) that can bound in polynomial time the stability maigin foi geneial cases, and although theie
may not have guaianteed a ror eiioi bounds may woik ieasonably well in piactical situations. Foi the
computation of in all these cases, we iefei the ieadei to 9, 10].
Rubust Identihcatiun
A basic point in the development of iobust theoiy aie the methods by which a set of models that iepiesents a
paiticulai physical piocess can be obtained. Befoie the appeaiance of systematic methods, the family of models
was obtained by ad hoc pioceduies. At the end of the 1980s, the fist algoiithmic stiategies weie intioduced,
based on appioximation techniques that piovide a unifoim eiioi bound.
Classical identifcation pioceduies 6] iely on stochastic methods to identify a set of paiameteis of a fxed
mathematical stiuctuie and thus aie moie suited foi adaptive contiol applications than foi iobust contiol, since
the lattei ielies on a deteiministic woist-case appioach, with no pievious assumption on the oidei of the system.
Moieovei, even if families of models with paiametiic unceitainty could be obtained in this way, theie is a
limited design machineiy foi iobust analysis and synthesis of this class of unceitain plants, due to the fact that
these aie NP-haid pioblems.
These consideiations led to the development of new Jeermnst identifcation pioceduies, called iobust
identifcation, based not only on the expeiimental data (a oseror infoimation), but also on the a ror
assumptions on the class of systems to be identifed. The algoiithms pioduce a nominal model based on the
expeiimental infoimation and a wors-tase bound ovei the set of models defned by the a ror infoimation.
A iecent suivey of the aiea of iobust identifcation can be found in 7, 9], which include an extensive list of
iefeiences.
Input Data
The outcome of a iobust identifcation pioceduie is a family of models that should include the ieal physical
plant. This family is specifed by a nominal model and an unceitainty eiioi measuied in a ceitain noim.
The input data to a iobust identifcation algoiithm is composed of the class of candidate models and
measuiement noise called a ror infoimation and the expeiimental data y, called a oseror infoimation.
The a oseror infoimation is a vectoi y
M
of expeiimental data coiiupted by noise
M
. The data
can be fiequency and/oi time noisy samples of the system to be identifed. Foi a model g and a given noise
vectoi , the expeiiment can be defned in teims of the opeiatoi y E(g, ), which is lineai with iespect to
both vaiiables. Note that this is not an injective opeiatoi because the same outcome y can be pioduced by
diffeient combinations of model and noise. This is a iestatement of the fact that the infoimation piovided by
y is incomplete (M samples) and coiiupt (noise ). Theiefoie, the opeiatoi is not inveitible and no diiect
opeiation ovei y will piovide model g. Instead, a type of se nerson will be attempted.
FIGURE 104.32 Geneial statement of the pioblem.

Cunsistency
Consistency is a concept that can be easily undeistood if we fist defne the set of all possible models that could
have pioduced the a oseror infoimation y, in accoidance with the class of measuiement noise:
(104.40)
Theiefoie, (y) is the smallest set of models, accoiding to all the available input data (a ror and a
oseror), that aie indistinguishable fiom the point of view of the input infoimation. This means that with
the knowledge of (y, , ) theie is no way to select a smallei set of candidate models. The size" of set (y)
places a lowei bound on the identifcation eiioi, which cannot be decieased unless we add some extia infoi-
mation to the pioblem. This lowei bound on the unceitainty eiioi holds foi any identifcation algoiithm and
iepiesents a type of unterany rnt|e of identifcation theoiy.
The a ror and a oseror infoimation aie consistent if and only if the set (y) is non-empty; otheiwise,
theie is no model in that could have possibly geneiated the expeiimental output.
Identihcatiun Errur
The a ror knowledge of the ieal system and measuiement noise piesent in the expeiiment y is stated in teims
of sets and . The statement of the pioblem does not assign piobabilities to paiticulai models oi noise;
theiefoie, it is deteiministic in natuie. In addition, the modeling eiioi should be valid no mattei which model
g is the ieal plant (oi the ieal noise vectoi) that induces a woist-case appioach. In this deteiministic
woist-case fiamewoik, the identifcation eiioi should covei" all models g that combined with all possible
noise vectois , aie consistent with the expeiiments, i.e., (y). In piactice, howevei, the family of models
conseivatively coveis this tight" unceitainty set. Hence, it piovides an uppei bound foi the distance fiom a
model to the ieal plant. In this fiamewoik, the woist-case eiioi is defned as follows:
(104.41)
wheie m(,) is a specifc metiic.
The identifcation algoiithm maps both a ror and a oseror infoimation to a candidate nominal
model. In this case, the algoiithm is said to be uneJ to the a ror infoimation; otheiwise, if it only depends
on the expeiimental data, it is called ununeJ. Almost all classical paiametei identifcation algoiithms (6])
belong to the lattei class.
The identifcation eiioi (Eq. (104.41)) can be consideied as a ror, in the sense that it takes into account
all possible expeiimental outcomes consistent with the classes and |e[ore the actual expeiiment is pei-
foimed. Since it consideis all possible expeiimental data y, it is called a g|o|a| identifcation eiioi. A |ota| eiioi
that applies only to a specifc expeiiment y can be defned as follows:
(104.42)
Cleaily, we always have e(, y) e(). To deciease the local eiioi moie expeiiments need to be peifoimed,
wheieas to deciease the global eiioi new yes of expeiiments, compatible with new a ror classes, should be
peifoimed, foi example, ieducing the expeiimental noise and changing accoidingly.
Cunvergence
Now, what happens with the family of models when the amount of infoimation incieases: It is desiiable to
pioduce a smallei" set of models as input data incieases, i.e., model unceitainty should deciease. The set of
models aie expected to tend to the ieal system when the unceitainty of the input infoimation goes to zeio.
Hence, an identifcation algoiithm is said to be conveigent when its woist-case global identifcation eiioi
y y g E g , ,
J g g S
g S
m sup , , ,
,
E
e g S
g S
m , sup , , , y y
y
e() in Eq. (104.41) goes to zeio as the input infoimation tends to be completed." The lattei means that the
paitialness" and coiiuption" of the available infoimation, both a ror and a oseror, tend to zeio simul-
taneously.
Input infoimation is coiiupted by measuiement noise. Thus, coiiuption" tends to zeio when the set is
a singleton {0. On the othei hand, paitialness of infoimation can disappeai in two diffeient ways. By a
ror assumptions when the set tends to have only one element (the ieal system) oi a oseror measuiements
when the amount of expeiimental infoimation is completed by the iemaining (usually infnite) data points.
This can be unifed as follows. The available infoimation (a ror and a oseror) is completed when the
consistency set (y) tends to only one element: the ieal system. Hence, an identifcation algoiithm conveiges
if and only if
(104.43)
Note that as the consistency set (y) ieduces to a single element, the expeiiment opeiatoi tends to be inveitible.
Since the identifcation eiioi is defned in a woist-case sense, its conveigence is unifoim with iespect to the a
ror sets and .
A!gurithms and Further Research Tupics
Theie aie iobust identifcation algoiithms that considei fiequency domain expeiiments, called -identifca-
tion, this being the noim that measuies the identifcation eiioi. The two main ones aie the two-stage and the
inteipolation algoiithms. Fiom time-domain measuiements, seveial
1
-identifcation pioceduies aie available.
Due to the fact that iobust identifcation is a cuiiently active ieseaich aiea, theie aie yet many theoietical
and computational aspects that have not been fully developed. Among otheis, theie aie pioblems ielated to
identifying unstable plants and nonunifoimly spaced expeiimental samples. Also, sample complexity is a iecent
ieseaich diiection, as well as the mixtuie of time and fiequency expeiiments and paiametiic and nonpaiametiic
models.
A complete desciiption of both fiequency ( ) and time (
1
) domain identifcation algoiithms and a
discussion of the issues mentioned above can be found, foi example in 9].
Dehning Terms
BIBO stable: A system is Bounded Input Bounded Output stable if foi all bounded inputs and zeio initial
conditions, the coiiesponding output is also bounded. In the case of fnite-dimensional lineai time
invaiiant systems, this defnition is equivalent to having all the poles of the system in the open left half
plane Re(s) < 0.
Control oriented identincation: A deteiministic identifcation pioceduie that staiting fiom expeiimental
data geneiates a model consistent with both this data and some a ror assumptions on the class of
systems undei consideiation.
Robust stability and performance: A given piopeity of a system (such as stability oi peifoimance) is ro|us
if it holds foi a [am|y o[ sysems that iepiesents (and contains) the nominal plant.
Robustness margin: A quantitative measuie of stability, given by the distance fiom the nominal model
iepiesenting the system, to the neaiest model lacking the piopeity undei consideiation. Examples aie
the classical gain and phase maigins.
Relerences
1. Baimish, B.R., New Too|s [or Ro|usness na|yss, Macmillan, 1994.
2. Bhattachaiyya, S.P., Chapellat, H., Keel, L.H., Ro|us Conro|. T|e Paramert roat|, Pientice-Hall,
1995.
3. Doyle, J.C., Glovei, K., Khaigonekai, P., Fiancis, B., State-space solutions to standaid
2
and contiol
pioblems, IEEE Transatons on uomat Conro|, Vol. 34, 1989.
lim
s:e S
e
y 0
0
4. Gahinet, P., Apkaiian, P., A lineai matiix inequality appioach to contiol, Inernaona| Journa| on
Ro|us anJ Non|near Conro|, 4, 421-448, 1994.
5. Iwasaki, T., Skelton, R., A complete solution to the geneial contiol pioblem: LMI existence conditions
and state-space foimulas, uomata, 1994.
6. Ljung, L., Sysem IJenftaon. T|eory [or |e User, Pientice-Hall, 1987.
7. Mkil, P.M., Paitington, J.R., Gustafsson, T.K., Woist-case contiol-ielevant identifcation, uomata,
31, 1799-1819, 1995.
8. Scheiei, C., The Riccati Inequality and State-space Optimal Contiol, Ph.D. Disseitation, Univeisitat
Wuizbuig, Geimany, 1990.
9. Sanchez Pena, R., Sznaiei, M., Ro|us Sysems T|eory anJ |taons, John Wiley & Sons, 1998.
10. Zhou, K., Doyle, J.C., Glovei, K., Ro|us anJ Oma| Conro|, Pientice-Hall, 1996.
Further Inlurmatiun
Classical Identincation:
Ljung, L., Sysem IJenftaon. T|eory [or |e User, Pientice-Hall, 1987.
Sdeistim, T., Stoica, P., Sysem IJenftaon, Pientice-Hall, 1989.
1
Optimal Control:
Dahleh, M.A., Daz-Bobillo, I.J., Conro| o[ Unteran Sysems. Lnear Programmng roat|, Pientice-Hall,
1995.
LQG Optimal Control:
Doiato, P., Abdallah, C., Ceione, V., Lnear-QuaJrat Conro|. n InroJuton, Pientice-Hall, 1995.
Kwakeinaak, H., Sivan, R., Lnear Oma| Conro| Sysems, Wiley Inteiscience, 1972.
Andeison, B.D.O., Mooie, J.B., Oma| Conro|. Lnear QuaJrat Me|oJs, Pientice-Hall, 1990.
Robust Control:
Doyle, J.C., Fiancis, B., Tannembaum, A., FeeJ|at| Conro| T|eory, Maxwell Macmillan, 1992.
Gieen M., Limebeei, D., Lnear Ro|us Conro|, Pientice-Hall, 1995.
Moiaii, M., Zafiou, E., Ro|us Protess Conro|, Pientice-Hall, 1989.
Sanchez Pena, R., Sznaiei, M., Ro|us Sysems T|eory anJ |taons, John Wiley & Sons, 1998.
Zhou, K., Doyle, J.C., Glovei, K., Ro|us anJ Oma| Conro|, Pientice-Hall, 1996.
Parametric Uncertainty:
Ackeimann, J., Ro|us Conro|. Sysems w| Unteran P|ysta| Parameers, Spiingei-Veilag, 1993.
Baimish, B.R., New Too|s [or Ro|usness na|yss, Macmillan, 1994.
Bhattachaiyya, S.P., Chapellat, H., Keel, L.H., Ro|us Conro|. T|e Paramert roat|, Pientice-Hall, 1995.
Software Packages:
Balas, G., Doyle, J.C., Glovei, K., Paikaid, A., Smith R., -na|yss anJ Syn|ess Too||ox, The MathWoiks Inc.,
Musyn Inc., 1991.
Gahinet, P., Nemiiovski, A., Laub, A., Chilali, M., LMI Conro| Too||ox, The MathWoiks Inc., Natick, MA, 1995.
Safonov, M., Chiang, R., Ro|us Conro| Too||ox, The MathWoiks Inc., 1988.

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Industrial System

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Cook, G.E., Anderson, K., Barnett, R.J., Wallace, A.K., Spe, R., Sznaier, M.

2000 by CRC Press LLC

], 1, ., m. Heie, a nominal inteinally stabilizing contiollei is assumed,

Stiuctuie Value Set Result

M(s) iank 1 Rectangle Khaiitonov

's M(s) geneial Non-convex P( , ) coP( , )] Analytical, Computational

's M(s) geneial Non-convex P( , ) coP( , )] Computational

foi the paiametiic unceitainty set

2000 by CRC Press LLC

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