A failure compensation scheme is
designed for affine nonlinear systems prone to actuator stuck
failures unknown in time, magnitude and pattern. The design
scheme utilizes an adaptive second order sliding mode control
developed in a backstepping framework exploiting the advantages
of both the methodologies. An adaptive law is used to estimate
the unknown upper bounds of uncertainties introduced due to
the occurrence of actuator failures and guarantees a globally
bounded estimation. The proposed failure compensation scheme
ensures effective failure accommodation while providing excellent
transient and steady state performances compared to the basic
scheme based on backstepping, with chattering free control
inputs. Stability and asymptotic tracking in presence of unknown
actuator failures at unknown time instants is proved for the
proposed control scheme using Lyapunov criterion. Simulation
results illustrate the effectiveness of the proposed methodology.

© All Rights Reserved

6 tayangan

A failure compensation scheme is
designed for affine nonlinear systems prone to actuator stuck
failures unknown in time, magnitude and pattern. The design
scheme utilizes an adaptive second order sliding mode control
developed in a backstepping framework exploiting the advantages
of both the methodologies. An adaptive law is used to estimate
the unknown upper bounds of uncertainties introduced due to
the occurrence of actuator failures and guarantees a globally
bounded estimation. The proposed failure compensation scheme
ensures effective failure accommodation while providing excellent
transient and steady state performances compared to the basic
scheme based on backstepping, with chattering free control
inputs. Stability and asymptotic tracking in presence of unknown
actuator failures at unknown time instants is proved for the
proposed control scheme using Lyapunov criterion. Simulation
results illustrate the effectiveness of the proposed methodology.

© All Rights Reserved

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Anda di halaman 1dari 6

Failures

Arghya Chakravarty and Chitralekha Mahanta

Department of Electronics and Electrical Engineering

Indian Institute of Technology Guwahati, Assam, India- 781039

Email: c.arghya, chitra@iitg.ac.in

designed for affine nonlinear systems prone to actuator stuck

failures unknown in time, magnitude and pattern. The design

scheme utilizes an adaptive second order sliding mode control

developed in a backstepping framework exploiting the advantages

of both the methodologies. An adaptive law is used to estimate

the unknown upper bounds of uncertainties introduced due to

the occurrence of actuator failures and guarantees a globally

bounded estimation. The proposed failure compensation scheme

ensures effective failure accommodation while providing excellent

transient and steady state performances compared to the basic

scheme based on backstepping, with chattering free control

inputs. Stability and asymptotic tracking in presence of unknown

actuator failures at unknown time instants is proved for the

proposed control scheme using Lyapunov criterion. Simulation

results illustrate the effectiveness of the proposed methodology.

Index Termsfault tolerance, backstepping, actuator failure,

sliding mode control

I. I NTRODUCTION

With the rapid advancement of science and technology, the

design and development of complex critical systems facilitating and aiding the humankind has gained high momentum.

These complex systems are often subjected to rugged environmental conditions and in course of time may experience

faults and failures during operation which can prove to be

catastrophic. Therefore, ensuring an acceptable performance

with guaranteed stability of the overall system in the event

of such failures by compensating the adverse effects of such

eventualities, is the motivation behind fault tolerant control

(FTC) [1]. In accordance with the past literature, fault tolerant

control design has two major directions, namely, passive and

active approaches. Passive FTC methodologies rely on framing

the FTC design as a robust control problem offline and

ultimately an optimal solution is attained assuring robustness

towards anticipated faults and failures. Typical passive FTC

approaches can be found in [2][5]. On the contrary, active

FTC depends on a fault detection and isolation (FDI) scheme

for the online detection, isolation and subsequent estimation of

the fault. According to the fault estimated by the FDI module,

reconfiguration or adaptation of the controller takes place to

maintain an acceptable post fault performance and a considc

978-1-4799-5364-6/14/$31.00
2014

IEEE

Time is a crucial parameter in FTC design because the time

window in which the system affected by faults or failures is

stabilizable can be very small. Adaptive control methods have

found the best way through in the design of active FTC which

is evident from the works in [6][10].

In this work, we focus on the problem of actuator failure

accommodation. Actuator failures are unanticipated and are

unknown in their time of occurrence, pattern and magnitude.

Hence, reconfiguration or online adaptation of the controller is

necessary to counteract the adverse effects of the failures and

maintain stability with acceptable performance of the system.

Several reconfigurable control strategies have been proposed to

address the problem of actuator failures such as multiple model

adaptive control (MMAC) [11][13], direct adaptive control

[8][10], adaptive sliding mode control (ASMC) with control

allocation [14][16]. For instance, the MMAC technique results in an improved post failure transient performance, but

it requires the bounds of the failure magnitudes and unknown

parameters associated with the failures in advance to construct

a finite set of models covering the entire uncertainty space.

Moreover, it suffers from an increased operational cost due

to the presence of a large number of models. Besides, the

switching between the models is crucial as far as stability is

concerned. On the other hand, sliding mode control strategies

incorporated with control allocation have been designed for

linear systems guaranteeing effective mitigation of uncertainties due to failures. But an FDI scheme is required for the

consequent reallocation of the control. Furthermore, direct

adaptive control strategies in [8], [9] have proved to be rewarding in the design of actuator failure compensators for linear

as well as nonlinear systems with parametric uncertainties. In

the context of direct adaptive control for nonlinear systems

with actuator failures, backstepping [17] technique has been

utilized successfully but it suffers from the drawback of

its incompetence to compensate non-parametric uncertainties.

Moreover, it exhibits a significant computational complexity

due to explosion of terms in each subsequent steps. Therefore, in order to counteract the limitation of computational

complexity, dynamic surface control (DSC) [18][20] was

introduced in the design of FTC for systems with total loss

backstepping, asymptotic stability has to be compromised for

simplicity in the dynamic surface control method.

The proposed algorithm designs the control using backstepping integrated with adaptive second order sliding mode [21]

technique, retaining the advantages of both the methodologies.

It offers the freedom to improve the tracking performance as

well as assure robustness to a larger class of uncertainties

not necessarily linearly parameterized, by only estimating

their upper bounds. The scheme ensures global finite time

convergence of the last error variable and its time derivative

to the origin thereby improving the transient performance

indirectly. Moreover, the discontinuous sign function is made

to act on the time derivative of the control inputs and the

actual control signal obtained after integration is continuous

and hence chattering is removed. Lastly, due to its structural

simplicity, the computational complexity is reduced without

sacrificing asymptotic stability of the controlled output. The

control is designed for multi-input single output systems using

a procedure similar to [22] but with little modifications.

The paper is organized as follows. The control objective of

the proposed actuator failure compensation controller along

with the inherent assumptions are discussed in Section II. The

proposed failure tolerant controller in the event of actuator

failures is presented in Section III. The stability analysis

is discussed briefly in Section IV. Simulation results are

presented in Section V. Conclusions are drawn in Section VI.

affine nonlinear system described as,

= x2 + f1 (x1 )

= x3 + f2 (x1 , x2 )

x i

x n

y

x i = xi+1 + fi (x1 , x2 , ..., xi1 )

m

X

kj gj (x1 , ..., xn )uj

x n = fn (x1 , . . . , xn ) +

(1)

j=1

x 1

= x2 + f1 (x1 )

x 2 = x3 + f2 (x1 , x2 )

x 1

x 2

failures and the magnitude at which the j th actuator is stuck

is denoted by u

j . Furthermore, the signal vj represents the

controller output fed to the input of the j th actuator. A

proportional actuation scheme has been considered throughout

the design of the proposed failure compensation scheme.

The problem of actuator saturation is not considered and the

actuator faults and failures are ascertained to be unknown and

uncertain in time, pattern and magnitude. Moreover, the system

(1) under consideration is assumed to achieve the desired

control objective in the event of (m p) actuator failures,

where p is the number of outputs. This assumption ensures

that the system (1) exhibiting actuator failures is controllable

and hence a control input can be designed to achieve failure

compensation and attain the required objective. Withal, the

system has a well defined relative degree r with respect to its

output y, equal to the order n.

Let us define a set P = {j1 , j2 , ..., jm } and two subsets of

the set Pk as PtotF = {j1 , j2 , ..., jk }, k = 1, 2, .., (m p)

= P / PtotF . The subset PtotH contains

and PtotH

the indices corresponding to the total healthy actuators. On

contrary, the other subset PtotF consists of elements through

which the totally failed actuators can be identified. Hence,

considering the actuator failure model (2), the system (1) can

be rewritten as,

= x1

the states of the system and uj R, j = 1, 2, ..., m are

the control inputs, whose actuators may fail during system

operation. The functions fi : Ri R, i = 1, ...., n are

assumed to be known smooth nonlinear functions. The terms

gj : Rn R, j = 1, ..., m considering gj () 6= 0 denote the

known nonlinear smooth actuation functions corresponding to

each control input uj . The constants kj , j = 1, ..., m define

the unknown parameters of the plant given by (1). Assuming

that the actuators can experience uncertain catastrophic events

characterized as total failures, the actuator input-output relationship can be mathematically modeled as [11],

u

j ,

t tjF

j = 1, 2, ...., m

(2)

uj =

t < tjF

vj ,

mp

X

= fn (x) +

kj gj (x)

uj +

= x1

j=1,PtotF

(3)

m

X

kj gj (x)uj

j=1,PtotH

can be stated as follows: For the nonlinear system (1), a state

feedback controller is to be designed such that the system

output tracks a continuous and bounded reference signal yr

with bounded time derivatives and ensures asymptotic stability

of the tracking error dynamics in presence of actuator failures.

The failure compensation design assumes no apriori knowledge of the active actuators in action on the system (3) under

the total loss of atmost (m p) of them.

III. P ROPOSED ACTUATOR FAILURE C ONTROLLER

The proposed control design strategy is based on adaptive

second order sliding mode control developed in a backstepping

framework offering numerous advantages. To unveil a few,

the proposed methodology can deal with nonparametric

matched uncertainties as well as linearly parameterized

mismatched perturbations while guaranteeing excellent output

tracking performance. Global asymptotic stability is not

compromised with the structural simplification of the existing

backstepping controller in the proposed method. The adaptive

state feedback controller based on this approach is designed

actuator stuck failures without considering any modeling

uncertainties or exogeneous disturbances. The design of vj is

generated by following the procedures detailed in Chakravarty

and Mahanta [22] with modifications and is given below.

The error variables are chosen as:

1 2

z

2 1

The time derivative of V1 is given by,

V1

V 1

z1

x1 yr

zi

xi i1 yr(i1)

i = 2, ....., n

(4)

ith step as,

i

chosen as in (4) and the first Lyapunov function is taken as,

i1

i1

X

X

i1

i1 (k+1)

+

xk+1 +

y

(k) r

xk

k=1

k=0 yr

(5)

the gain parameter update law is obtained as follows,

(13)

z1 z1 = z1 (x2 + f1 (x1 ) y r )

z1 (z2 + 1 + y r + f1 (x1 ) y r )

V 1

= z1 z2 + z1 (c1 z1 )

= c1 z12 + z1 z2

V 1

= 1 V1 + z1 z2

(15)

hence z1 converges to zero asymptotically.

For i = 2, ....., n 1, the Lyapunov function is defined as,

1 2

z

2 i

The time derivative of Vi yields,

Vi =

vj

wnom

k1

1

(Tsign() + wnom sign())d(6)

gj 0

1 sign(s1 ) | s1 |1 2 sign(s 1 ) | s 1 |2 (7)

k k+1

, 1 , 2 > 0,

(8)

2k+1 k

2, ....., q,

q+1 = 1, and here q = 2.

Z

s2 (t) s2 (0) wnom dt

(9)

Z

= (T + ||)

(10)

(14)

V i

(16)

zi zi = zi (x i i1 yr(i) )

i1

X

i1

zi (zi+1 + i + yr(i) + fi

xk+1 yr(i)

xk

=

=

k=1

i1

X

i1

(k)

k=0

yr

yr(k+1) )

(17)

is the control which stabilizes the sliding variables s1 and

s2 in finite time [23]. Whereas, T represents the estimate of

the discontinuous control gain T signifying the upper bound

of uncertainties perturbed into the system in case of actuator

failures. The details of the control law (6) will be discussed

during stability analysis. The terms , , 1 , 2 > 0 and

ci > 0 for i = 1, 2, ...., n 1 are positive constants, all

chosen by the user.

V i

= zi (zi+1 + i + fi

i1

X

i1

k=1

i1

X

i1

(k)

k=0 yr

xk

xk+1

yr(k+1) )

(18)

= zi zi+1 ci zi2 zi1 zi

Hence,

V i

This section discusses the stability of the overall system in

the event of finite number of actuator failures with the control

scheme designed in the preceding section. The unknown

parameters of the system (3) in the event of actuator failures

are defined as,

m

X

kj

(11)

i Vi + zi zi+1 zi1 zi ,

i = 2ci

variable zn is chosen as the sliding variable s1 . Subsequently,

defining w as the derivative of the actual control, an extended

nonlinear uncertain second order system (20) in s1 and s2 ,

finite time stabilized by w is formed. This second order

nonlinear uncertain dynamics is augmented with the (n 1)th

order tracking error dynamics thereby guaranteeing asymptotic

output tracking by the same control law.

j=1,PtotH

s 1

s2

mp

X

s 2

=

=

() + (() 1)w + w

() + w

j=1,PtotF

kj gj (x)

uj

(12)

(19)

(20)

to w and () collects remaining terms found in the

course of failure compensation design using the proposed

method. Assuming that () is bounded with unknown upper

bounds, the set of equations in (20) represent a perturbed

double integrator, which can be finite time stabilized by the

application of the control law given by (6). The controller

requires the design of an auxiliary integral sliding surface

and thereafter a discontinuous control law in addition to

wnom to ensure finite time stability and invariance of (20) to

perturbations [24] collectively represented by ().

The integral sliding surface is defined as,

Z t

:= s2 (t) s2 (0)

wnom d

0

estimated in the form of the discontinuous control signal gain

T. Therefore, defining T = T T and the last Lyapunov

function V as,

V

1 2

1 2

+

T

2

2

in view of failure compensation control design.

As the sliding variable zn converges to zero in finite time, due

to the backstepping control action, firstly zn = 0 is achieved

using adaptive second order sliding mode control and using

(22) and (24) results in,

V

n1

X

i Vi + V

time interval [tk1 , tk ) as,

1 2

T

4

(24)

= ||

4

So a decrease in V eventually drives the closed loop system

. Therefore,

it can be concluded that,

r !

\

||

kk

(25)

4

4

into this small set containing the origin and then the global

finite time convergence to the origin is attained.It is observed

that the sliding pair {s1 , s1 } or conversely the error variables

zn and zn , are ultimately upper bounded and also achieves

n1

1

1X 2

1 2

z + 2 +

T

2 i=1 i

2

2

(27)

in this section, it yields from (26), that,

V k1 < 0,

||

(26)

Finally, from (26) the boundedness of the closed loop signals

is ensured and asymptotic stability of the output tracking

error dynamics is guaranteed. Moreover, boundedness of

w implies the boundedness of the actual control signal as

discussed in [22].

(21)

1

V = ( + w wnom ) + TT

(22)

|| TT

|| (T 2 T T)

1

1

|| (T T )2 + T 2

2

4

1 2

(23)

|| + T

4

Now let T 2 = and for, V < 0, condition (24) has to

be satisfied, that is,

Vi + V < 0

i=1

i=1

Vk1 =

wnom sign() we get,

n1

X

for k = 1, 2, ...., (m p)

(28)

be easily proved. Again, from (28), it is evident that Vk1 is a

+

decreasing function and hence, Vk1 (t

k ) Vk1 (tk1 ).

Therefore, it can be concluded that the boundedness of

Vk1 (t+

k1 ) implies the boundedness of Vk1 (tk ). Now, from

Vk (t+

= Vk1 (t

k)

k ) + Vk . The term Vk is finite

and is due to the possible jumpings in the estimate of T

1 2

T in (27) and the sliding surface

affecting the quantity 2

k ) is bounded iff Vk1 (tk ) is

bounded. Hence the boundedness of z1 , z2 , ...., zn1 , and

T is concluded t [0, ). The closed loop stability has

been proved and the designed controller guarantees asymptotic

output tracking even in the eventuality of unknown actuator

failures.

V. S IMULATION R ESULTS

To prove the efficiency of the proposed controller over the

existing actuator failure compensation controllers, simulations

on a nonlinear system have been performed. The results

demonstrate the effectiveness of the proposed approach

in cases of total actuator failures. Proceeding with the

simulation, let us consider a nonlinear system described as

[19],

x 1

= x2 + cos(x21 )

x 2

y

= x1

(32)

0.6

0.4

0.2

Output y = x1

are as follows,

u

1 ,

t [15, )

u1 (t) =

(30)

v1 (t),

t [0, 15)

u

2 ,

t [25, )

(31)

u2 (t) =

v2 (t),

t [0, 25)

0

0.2

0.4

Output y = x

0.6

Reference y

adaptive law for estimating the discontinuous control gain T

is taken to be,

10

Fig. 1.

15

20

25

Time (s)

30

35

40

45

50

0.03

0.02

Tracking error ( y yr )

k1 = 2, k2 = 3, and k3 = 1 for the purpose of

simulation. The actuation functions g1 (x), g2 (x) and g3 (x)

are taken to be unity. The controller for the system (29) is

given as,

Z

1 t

vj =

(T sign() + wnom sign())d

(33)

gj 0

0.8

0

0.01

0

0.01

0.02

(T + ||)

(35)

to be = 20 and = 0.05. The adaptation law used

here ensures boundedness of the parameter estimates and no

overestimation, thereby reducing the magnitude of required

control with simultaneous reduction of chattering and high

frequency components in the control law. The value of is

considered to be 0.75. The initial conditions are given by

[x1 (0) x2 (0)]T = [0 0]T . The gain c1 of the virtual control

law 1 is equal to c1 = 25. The reference signal yr to be

tracked by the system output is given as yr (t) = 0.5sin(t).

The proposed backstepping based adaptive second order sliding mode control scheme is compared with the backstepping

methodology for actuator failures proposed by Tang et al.

[10].The method proposed by Tang et al. [10], from its results

and performances so far has proven to be a representative of

adaptive actuator failure compensation design and therefore

has been chosen for an effective comparison. The virtual

control coefficients are chosen to be c1 = 30 and c2 = 20

for simulation of the procedure in [10].

The performance of the designed failure tolerant controller

in presence of actuator failures is quantified by root mean

square value of the output tracking error (RMSE) and the

transient performance of the output at the onset of failure.

The transient performance has been characterized in terms

of time of post failure performance recovery defined as the

settling time ts , maximum peak overshoot Mp and steady

state error ess . The proposed method provides a superior

transient performance in comparison to the procedure in [10],

as evident from the Figs.(1)-(4). The maximum peak overshoot

Mp , settling time ts and the steady state error ess have been

Proposed

0.03

0

10

15

20

25

Time (s)

30

35

40

45

50

at t1 = 15s and t2 = 25s

4

2

3

5

0

2

4

6

8

10

12

0

Fig. 3.

u1

5

10

15

20

25

Time (s)

30

35

u2

40

u3

45

50

10

wnom

3

4

10

u1

0

10

15

20

25

Time (s)

30

35

u2

40

u3

45

Fig. 4. Control input with Tang et al.s method [10] in the event of actuator

failures

50

fail. Here, the maximum peak overshoot has been defined

as the maximum change in tracking error at the onset of

actuator failure. As the steady state error obtained by the

method proposed in [10] oscillates around 0.025 and -0.023,

the average value is considered as ess . In Table I, a tabular

comparison has been drawn between the proposed scheme and

that by Tang et al. [10] to further bring out the advantages

offered by the presented method. From Figs. (3) and (4), it

is also observed that the proposed control is smooth and has

sufficiently low manipulated input usage.

TABLE I

P OST FAILURE TRACKING PERFORMANCE WITH TOTAL LOSS OF TWO

ACTUATORS AT t = 25s

Performance Measures

RMSE

Settling time ts

Peak Overshoot Mp

Steady state error ess

Methodologies

Proposed

Tang et al. [10]

0.0015

0.0105

1.62 s

0.23

0.2385

0

0.02336

VI. C ONCLUSION

In this paper, an actuator failure compensation strategy for

nonlinear uncertain systems is proposed and designed using

an adaptive second order sliding mode control developed in a

backstepping framework. The design has resulted in a simpler

control structure in comparison to the control law given by

[10]. The proposed methodology has been utilized in the

design of failure compensators in the event of actuator stuck

failures, which are unknown in time, pattern and magnitude.

The closed loop stability of the proposed fault tolerant control

is proved using Lyapunovs criterion and is guaranteed at

every time instances of the occurrence of actuator failures.

Moreover, the method presented provides an increased robustness towards nonparametric uncertainties and actuator failures.

On the other hand, the design freedom is increased as the

transient performance of the output can be improved due to its

direct dependence on the virtual control gain (set by the user).

Finally, since the controller structure is simplified, there is

significant reduction in the number of computations needed in

the application of the proposed control law with respect to the

procedure in [10]. Simulation results illustrate the efficiency

of the control method in the case of actuator failures.

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