High Order Sliding Mode Observers and Differentiators–Application to Fault Diagnosis Problem

High Order Sliding Mode Observers and Differentiators–Application to Fault Diagnosis Problem Mehrdad Saif, Weitian Chen, and Qing Wu School of Engineering Science Simon Fraser University 8888 University Drive Vancouver, British Columbia V5A 1S6 Canada {saif,weitian,qingw}@ensc.sfu.ca Introduction Health monitoring and timely fault diagnosis capabilities are essential requirements of many modern control engineering systems Traditionally, these features have been of utmost importance in safety critical systems such as chemical industrials, civil/military aviation, or nuclear power plants, etc However, in recent years, other factors have been playing a major role in recognizing the need for these capabilities in other complex systems Generally speaking, the term fault is referred to any disturbances, errors, malfunctions or failures in the functional units that can lead to undesirable or intolerable behavior of a system Some factors that have contributed to automatic fault detection, isolation, and accommodation (FDIA) problem to become an active area for research are: 1) the increasingly sophisticated industrial and consumer goods as a result of advances in electronics and computer technologies; 2) more interests in FDIA in manufacturing and process industries mainly due to economics and safety reasons; and 3) greater concerns over the air pollution and the environment in general To ensure the normal operation, and increase the safety and reliability of the control systems in many applications, the problem of fault detection, isolation, identification, and accommodation has received considerable attention over the past two decades Fault detection signals the occurrence of a fault Fault isolation determines the locations and/or type of the fault, and fault identification specifies the magnitude of the fault The information provided by the diagnostic system could assist in the development of fault accommodation strategies which would guarantee fail-safe operation of the control system In recent years the design and analysis of fault diagnosis schemes using model-based analytical redundancy approaches has been a subject of many research studies Patton et al [1], Gertler [2], Chen and Patton [3], Patton et al [4] survey some of the works in this area Because of the existence of system complexities such as nonlinearities, disturbances, and uncertainties in a typical complex control system, fault diagnosis G Bartolini et al (Eds.): Modern Sliding Mode Control Theory, LNCIS 375, pp 321–344, 2008 c Springer-Verlag Berlin Heidelberg 2008 springerlink.com 322 M Saif, W Chen, and Q Wu for such dynamical systems still pose a number of challenging problems Amongst various uncertainties, unknown inputs are one type of uncertainty that has received considerable attention To deal with the unknown inputs, robust approaches are often employed Two robust strategies have been developed for dealing with the unknown inputs One is to completely remove their effect Some fault diagnosis schemes using unknown input observer (UIO) and conventional first order sliding mode observer (SMO) adopt this strategy For example, UIObased schemes can be found in [5, 6, 7, 8], and the SMO-based ones were proposed by [9, 10, 11, 12, 13, 14, 15] The other strategy is to attenuate the unknown input effect to some minimum level in certain sense, such as minimizing the H ∞ gain of the unknown inputs Fault diagnosis schemes using this strategy can be found in [16, 17, 18] and the references listed therein Generally speaking, following this strategy leads to losing the invariant property to matched unknown inputs One limitation of the existing fault diagnosis schemes using UIOs or conventional first order SMOs is that the relative degrees from the inputs and/or the unknown inputs to the outputs must be one Because many physical systems such as satellite control systems, and mechanical systems can not satisfy this condition, new fault diagnosis strategies beyond using UIOs or conventional first order SMOs are needed One promising strategy is to use the recently developed high order sliding mode techniques such as high order sliding mode observers and differentiators The well known problems with using the conventional first order sliding modes are the relative degree one requirement and the chattering effect In order to deal with these limitations while preserving the main properties of the conventional first order sliding modes such as finite-time convergence, and robustness with respect to disturbances, high order sliding modes have been designed for both control [19, 20], and system state observation [21, 22, 23, 24, 25, 26, 27, 28, 29] Sliding mode observers, which could be used to remove the relative degree one restriction, were designed in [32, 33] based on the so called equivalent control concept with a need for using low-pass filters In order to avoid the use of lowpass filters, high order sliding mode observers based on twisting algorithms were proposed [21, 22, 23, 24, 25, 26, 27, 28, 29] These high order sliding mode observers not require the relative degree from the disturbances to the sliding manifold to be one, and can totally remove the chattering effect if properly designed Because of these two advantages, high order sliding mode observers can be used for fault diagnosis in systems with relative degrees from the inputs and/or the unknown inputs to the outputs that are greater than one Based on high order sliding modes, arbitrary-order exact robust differentiators have also been studied in the literature–see [20] and references cited The proposed differentiators can provide exact estimation for the derivatives of a signal of any order if there is no measurement noise When noise is present, the estimation errors of the derivatives will be small if the magnitude of the noise is small These properties make high order sliding mode differentiators appealing in fault diagnosis High Order Sliding Mode Observers and Differentiators 323 Although high order sliding mode observers and differentiators have appealing properties that could be used in fault diagnosis, their great potential has not been well recognized in the fault diagnosis community and there are very few results in this direction A fault diagnosis scheme using second order sliding mode observers was proposed in [30], while a fault diagnosis using high order sliding mode differentiators was designed in [31] In the rest of this chapter, the design of a second order sliding mode observer and a high order sliding mode differentiator is first presented Then, based on the second order sliding mode observer and the high order sliding mode differentiator, two fault diagnosis schemes are proposed Illustrative examples are given to show the effectiveness of the proposed fault diagnosis schemes Finally, some conclusions are drawn High Order Sliding Mode Observers and Differentiators In this section, we shall propose a second order sliding mode observer for a class of nonlinear systems The development here follows that of [23] Then, a high order sliding mode differentiator developed in the literature will be presented 2.1 Second Order Sliding Mode Observer The nonlinear dynamic systems under study is described in the state space form as x1 = x2 ˙ x2 = f (t, x1 , x2 , u) + ξ(t, x, u) ˙ y = x1 (1) where x = [x1 , x2 ] is the state, and y is the output of the system The nominal system dynamics is represented by the function f (t, x1 , x2 , u), the internal uncertainties are denoted by the term ξ(t, x, u) The solutions to the system (1) are understood in Filippov’s sense We assume that f and ξ are Lebesgue-measurable in any compact region of x Only the scalar case x1 , x2 ∈ is considered because the design method can be extended to the vector case easily Moreover, it is easy to see that the relative degree from u to y is two For the sake of designing and analyzing a diagnostic observer, the following assumptions are introduced Assumption There exist two positive constants k1 and k2 such that |f (t, x1 , x2 , u) − f (t, x1 , x2 , u)| ≤ k1 |x1 − x1 | ˆ ˆ ˆ (2) df (t, x1 , x2 , u) − df (t, x1 , x2 , u) ˆ ˆ ≤ k2 |x2 − x2 | ˆ dt (3) 324 M Saif, W Chen, and Q Wu Assumption The uncertainty function ξ(t, x, u) satisfies |ξ(t, x, u)| < ξ + dξ(t, x, u) < δξ + dt (4) (5) where ξ + and δξ + are two positive numbers Based on the system dynamics (1), a second order sliding mode observer is proposed as follows ˙ ˆ x1 = x2 + z1 ˆ ˙ = f (t, x1 , x2 , u) + z2 ˆ ˆ x ˆ x1 (0) = x1 ˆ x2 (0) = ˆ y = x1 ˆ ˆ (6) where x1 and x2 are the state estimations, z1 and z2 are the correction variables, ˆ ˆ which are defined as x x z1 = λ1 |˜1 |1/2 sign(˜1 ) + v1 v1 = α1 sign(˜1 ) ˙ x and ⎧ ˙ if x1 = 0, x1 = ˜ ˜ ⎨ z2 = ˙ = λ2 |z1 |1/2 sign(z1 ) + v2 if x1 = 0, and x1 = ˜ ˜ ⎩ v2 = α2 sign(z1 ) ˙ (7) (8) ˆ ˜ ˆ where x1 = x1 − x1 , x2 = x2 − x2 , and “sign” is the discontinuous signum ˜ function In the above second-order sliding mode observer, we use an anti-peaking struc˜ ture [32, 33], where x1 and x2 reach the sliding manifold one by one in a recursive ˜ way The system dynamics before x1 reaches the sliding manifold is ˜ ˙ x1 = x2 − λ1 |˜1 |1/2 sign(˜1 ) − v1 ˜ ˜ x x v1 = α1 sign(˜1 ) ˙ x ˙ = F (t, x1 , x1 , x2 , x2 , u) ˆ ˆ x ˜ (9) where F (t, x1 , x1 , x2 , x2 , u) = f (t, x1 , x2 , u)−f (t, x1 , x2 , u)+ξ(t, x1 , x2 , u) Based ˆ ˆ ˆ ˆ on Assumption and 2, we have |F (t, x1 , x1 , x2 , x2 , u)| < k1 |x1 − x1 | + ξ + ˆ ˆ ˆ ˆ ˆ dF (t, x1 , x1 , x2 , x2 , u) ˆ < k2 |x2 − x2 | + δξ + dt (10) (11) for any possible t, x1 , x1 , x2 , x2 , and u ˆ ˆ The convergence of a super-twisting second-order sliding mode observer has ˆ ˆ been studied by Davila et al in [23], where F (t, x1 , x1 , x2 , x2 , u) is bounded by a constant f + Here, we are ready to use the similar approach to investigate the convergence of the proposed second-order sliding mode observer (6)-(8), where F (·) only satisfies the condition (10) and (11) High Order Sliding Mode Observers and Differentiators 325 ˙ Theorem The first variable pairs (ˆ1 , x1 ) converge to (x1 , x1 ) in finite time, x ˆ ˙ if the condition (10) holds for system (1), and the parameters of the observer (7) are selected according to the following criteria: ˜ α1 > k1 x1M + ξ + 4α1 λ1 > α1 − ξ + or ˙ ˜ k1 x10 + ξ + α1 > (12) (13) ˙ where x1M and x10 will be defined later ˜ ˜ Proof From (9) and (10), the state estimation errors x1 and x2 satisfy the ˜ ˜ differential inclusion ˙ x1 = x2 − λ1 |˜1 |1/2 sign(˜1 ) − v1 ˜ ˜ x x v1 = α1 sign(˜1 ) ˙ x ˙ ∈ [−k1 |˜1 | − ξ + , k1 |˜1 | + ξ + ] x x x ˜ (14) Here and in the following part, all differential inclusions are defined in the Filippov sense Using the identity d|x|/dt = x sign(x), we obtain the derivative of ˙ ˙ x1 with x1 = as ˜ x1 ă x x sign(˜1 ) x x1 ∈ [−k1 |˜1 | − ξ + , k1 |˜1 | + ξ + ] − λ1 ˜ |˜1 |1/2 x (15) The inclusion (15) is a mathematical description of the boundedness curve drawn in Figure Since the initial values of the observer are set to (ˆ1 , x2 ) = (x1 , 0), x ˆ ˙ the trajectory enters the half-plane x1 > with a positive initial value x10 = x2 ˜ ˜ ˜ and the half-plane x1 < with a negative value of x2 ˜ ˜ ˙ ˜ In quadrant (˜1 > 0, x1 > 0), the trajectory is conned between the axis x ă x1 = 0, x1 = and the trajectory of the equation x1 = k1 x1 − α1 , where ˜ ˜ ˜ ˜ ˙ α1 = α1 − ξ + We define x10 as the intersection of this curve with the axis ˜ ˙ ˜ ˜ x1 = 0, and let x1M be the intersection of this curve with the axis x1 = ˜ Solving the differential equation, we can verify that x1M − ˜ α1 k1 ˙ x1 ˜ + √0 k1 = α1 k1 (16) and the boundedness curve in quadrant is described by an elliptical equation [see Figure 1, line (a)] x1 + ˜ α1 − x1M ˜ k1 ˙ x1 ˜ + √ k1 = α1 k1 (17) ˙ with x1 > 0, x1 > ˜ ˜ From above analysis, we can easily get x1M is the maximal x1 Therefore, ˜ ˜ ˙ according to (12) and (15), we obtain for x1 > 0, x1 > ˜ ˜ 326 M Saif, W Chen, and Q Wu ~ & x1 ′ α ′ α1 k1 ) k1 ( ~1M − k1 , x ~ & x 10 a ~ x1 ~ x1M α′ ( ~1M − k1 ,0) x b ~ x1Min c Fig The boundedness curve for the finite time convergence of x1 x1 ă x1 k1 x1 + ξ + − α1 sign(˜1 ) − λ1 ˜ ˜ x 0, x1 < 0), x ă where based on (18), x1 continues to decrease until x1 returns back to zero from ˜ ˜ a negative value Therefore, the boundedness curve consists of two parts The ă x ˜ ˜ first part drops down from (˜1M , 0) to (˜1M , x1M in ), where x1M in = implies x ˙ ˙ ˜ x1M in reaches the smallest value of x1 [see Fig 1, line (b)] ˜ ˙ Let the right-hand side of (15) be zero in the worst case, we have x1M in = ˜ 1/2 + ˙ < 0, the − λ1 (k1 x1M + α1 )˜1M , where α1 = α1 + ξ Since in quadrant 4, x ˜ x ˜ trajectory approaches x1 = Thus, the second part of the boundedness curve ˜ ˙ ˙ in the fourth quadrant is the horizontal trajectory from (˜1M , x1M in ) to (0, x1M in ) x ˜ ˜ [see Figure 1, line (c)] Based on (12), (13) and (16), we can derive ˙ ˙ x1M in < x10 ˜ ˜ (19) ˙ ˙ ˙ ˙ ˜ ˜ ˜ If we define x1M in = x11 , x12 , , x1i , as the intersection points of the system ˜ ˙ (9) trajectory starting from (0, x10 ) with the axis x1 = 0, the inequality (19) ˜ ˜ ˙ ˙ ensures the finite-time convergence of the state (0, x1i ) to x1 = x1 = ˜ ˜ ˜ Remark The boundedness curve consists of segments (a), (b), and (c) is the ˙ “worst” case of the trajectory Actually, (˜1 , x1 ) moves along the direction of x ˜ (a), (b), (c) within the boundedness curve Remark The choice of α1 and λ1 depends on the bound of uncertainty and the initial state estimation error in the worst case The theoretical result is consistent High Order Sliding Mode Observers and Differentiators 327 with that only when the bound of F (·) is known In applications, a sufficiently large α1 is preferred in order to satisfy (12) and (13) ˜ Now, we consider the finite time convergence of x2 Obviously, when x1 reaches ˜ ˙ the sliding manifold, i.e., x1 = 0, z1 = x2 , the dynamics of the estimation error ˜ ˜ x2 becomes ˜ ˙ x2 = F (t, x1 , x1 , x2 , x2 ) − λ2 |˜2 |1/2 sign(˜2 ) − v2 ˜ ˆ ˆ x x v2 = α2 sign(˜2 ) ˙ x (20) ˙ Similarly computing the derivative of x2 with x2 = 0, we obtain x2 ă x x − α2 sign(˜2 ) x x2 ∈ [−k2 |˜2 | − δξ + , k2 |˜2 | + δξ + ] − λ2 ˜ |˜2 |1/2 x (21) Because (21) has a similar form as (15), the finite-time convergence of x2 can ˜ be proved in a similar manner as that in Theorem 2.2 High Order Sliding Mode Differentiator In this subsection, the design of the high order sliding mode differentiator (HOSMD) developed in [20] will be presented Let f (t) = f0 (t) + n(t) be a function on [0, ∞), where f0 (t) is an unknown base function with the n−th derivatives having a Lipschitz constant L, and n(t) is a bounded Lebague-measurable noise with unknown features The problem of high-order sliding-mode robust differentiator design is to nd real-time robust (n) ă estimations of f˙0 (t), f0 (t), · · · , f0 (t) being exact when n(t) = The proposed HOSMD in [20] takes on the following form z0 = v0 , v0 = −λ0 |z0 − f (t)|n/(n+1) sign(z0 − f (t)) + z1 ˙ z1 = v1 , v1 = −λ1 |z1 − v0 |(n−1)/n sign(z1 − v0 ) + z2 ˙ zn−1 = vn−1 , vn−1 = −λn−1 |zn−1 − vn−2 |1/2 sign(zn−1 − vn−2 ) + zn ˙ zn = −λn sign(zn − vn−1 ) ˙ (22) where λ0 , λ1 , · · · , λn are positive design parameters With respect to the HOSMD given by (22), the following three results are proved in [20] Theorem If n(t) = and all the parameters are chosen properly, then after a finite transient, the following equalities are true (i) z0 = f0 (t); zi = vi−1 = f0 (t), i = 1, 2, · · · , n (23) Theorem If |n(t)| = |f (t) − f0 (t)| ≤ and all the parameters are chosen properly, then after a finite transient, the following inequalities are obtained 328 M Saif, W Chen, and Q Wu (i) |zi − f0 (t)| ≤ μi |vi − (i+1) f0 (t)| ≤ νi (n−i+1)/(n+1) (n−i)/(n+1) , i = 0, 1, · · · , n , i = 0, 1, · · · , n − (24) where μi , i = 0, 1, · · · , n and ν i , i = 0, 1, · · · , n − are some positive constants depending only on the parameters of the differentiator Theorem is important because it ensures that the estimation errors of the derivatives will be small if the magnitude of the noise is small Consider the discrete-sampling case, when z0 (t) − f (t) is replaced by z0 (tj ) − f (tj ) on [tj , tj+1 ) with τ = tj+1 − tj Theorem Let τ be the constant sampling time If n(t) = and all the parameters are chosen properly, then after a finite transient, the following inequalities are obtained (i) |zi − f0 (t)| ≤ μi τ n−i+1 , i = 0, 1, · · · , n (i+1) |vi − f0 (t)| ≤ ν i τ n−i , i = 0, 1, · · · , n − (25) Fault Diagnosis Using a Second Order Sliding Mode Observer Consider the case that system (1) is subject to an additive fault x1 = x2 ˙ x2 = f (t, x, u) + ξ(t, x, u) + β(t − Tf )fa (t, x, u) ˙ y = x1 (26) where fa (t, x1 , x2 , u) represents a process fault The time profile function β(t) is a step function described as β(τ ) = 0, 1, if τ < 0, if τ ≥ (27) and Tf is the time instant at which the fault occurs A diagnostic observer is proposed in [30] as ˙ x1 = x2 + z1 ˆ ˆ ˙ = f (t, x1 , x2 , u) + z2 + β(t − Tm )M (t) ˆ ˆ ˆ x ˆ y = x1 ˆ ˆ x1 (0) = x1 ˆ x2 (0) = ˆ (28) ˆ where M (t) is the fault estimator, and other terms are the same as those in previous section Tm is the time for activating the fault estimator Assumption Assume all the states are observed via sliding mode before the activation of the wavelet network, and Tm < Tf High Order Sliding Mode Observers and Differentiators 329 noo Output Layer ∑ Wijo Wavelet Layer φ (⋅) m φ (⋅) m φ (⋅) φ (⋅) m φ (⋅) m φ (⋅) ij Input Layer i m ni1 + ni2 − − Fig Structure of the three-layer wavelet network Fault detection is achieved using the following logic: ˆ No fault has occured, and M (t) is set to zero ˆ Fault has occured, and M (t) estimate is needed if |˜(t)| < δ f y if |˜(t)| ≥ δ f y (29) where δ f is a threshold for robust fault detection With the help of sliding mode, δ f can be set very small without losing robustness ˆ Moreover, the online estimator for M (t) can be used not only to detect the occurrence of the fault, but also to determine the location and magnitude of the fault Based on the wavelet transform theory, wavelet network can achieve universal nonlinear function approximation [34] In this section, we construct a three-layer wavelet network to estimate the fault The proposed three-layer wavelet network is comprised of an input layer (the i layer), a wavelet layer (the ij layer), and an output layer (the o layer) The schematic of this wavelet network is shown in Fig The relationship between the input and output of each node i in the input layer is represented as follows, net1 = nii , i no1 = fi1 (net1 ) = net1 , i i i i = 1, · · · , p (30) ˆ where nii is the input of the wavelet network in which ni1 = z1 , and ni2 = z1 −M Moreover, in the wavelet layer, a family of wavelets is established by preforming translations and dilations on a single fixed function called the mother wavelet In this study, the first derivative of a Gaussian function, φ(x) = −x exp(−x2 /2), is selected as the mother wavelet This mother wavelet function has a universal approximation property, since it can be regarded as a differentiable version of the Haar mother wavelet, just as the sigmoid is a differentiable version of a step function [35] For the ijth node in the wavelet layer, we have 330 M Saif, W Chen, and Q Wu net2 = ij no1 − cij i σ ij (31) no2 = φij (net2 ) ij ij = −net2 exp − (net2 )2 /2 , j = 1, · · · , q ij ij (32) where cij and σ ij are, respectively, the translation and dilation in the jth term of the ith input no1 to the node of mother wavelet layer, and q is the total number i of the wavelets with respect to the corresponding input node In the output layer, the single node o is labelled as , which adds all input signals together net3 = o Wijo no2 ij (33) ij no3 = fo (net3 ) = net3 , o o o o=1 (34) ˆ where no3 = M is the output of the wavelet network; the connection weight o Wijo is the output action strength of the oth output associated with the ijth wavelet, and no2 is denoted as the ijth input to the node of the output layer ij Fault Diagnosis Using High Order Sliding Mode Differentiator In this subsection, we shall investigate how to apply the HOSMD presented in Subsection 2.2 to fault diagnosis problems To this end, we consider a class of linear systems with unknown inputs in the following form x = Ax + Bu + Dd ˙ y = Cx (35) where x ∈ Rn is the state vector, y = (y1 y2 · · · yp )T ∈ Rp is the output vector, and u ∈ Rm is the input vector (the output of actuators), and d ∈ Rq is a bounded unknown input vector which may consist of system uncertainties and/or disturbances We shall make the following assumptions Assumption Matrices A, B, C, D are known Assumption (B D) is of full column rank, and C is of full row rank Remark The conventional first order SMOs, which were designed to remove the effect of the unknown inputs require two conditions to ensure their existence [9] One is that the invariant zeros of (A, D, C) must have negative real parts The other is that rankCD =rankD = q, which implies that the relative degrees from d to the outputs are one These two conditions, which are called matching High Order Sliding Mode Observers and Differentiators 331 conditions in this article, are also required by UIOs in [5, 6, 7] The latter condition is recently removed in [22], where relaxed matching conditions are allowed Here, no such conditions are assumed Moreover, the system is not necessarily required to be detectable For system (35), the following problems are formulated: P1– Under what conditions can actuator faults be detected? P2– Is actuator fault isolation possible, and if so, how many actuator faults can be isolated simultaneously? P3– Is it possible to estimate the shape of the actuator faults? P4– What is the design approach for accomplishing these objectives? An input-output relation that does not involve the derivatives of either the known inputs in u or the unknown inputs in d is need To achieve this, we define a generalized input vector as ud = (uT dT )T and also a new input distribution matrix Bd = (B D) The reason for having the matrices B and D rather than Bd in the beginning of our problem statement is that it is desirable to treat the known inputs and unknown inputs separately for the sake of fault diagnosis Additionally, we introduce the concept of relative degree from the generalized input vector ud to the ith output yi , ≤ i ≤ p Definition For the system in (35) and any ≤ i ≤ p, ri is said to be the relative degree from the input vector ud to the ith output yi if Ci Aj Bd = for ≤ j ≤ ri − and Ci Ari −1 Bd = 0, where Ci is the ith row of C We make another assumption below Assumption For any ≤ i ≤ p, ri is finite Remark If there is any i such that ri is infinite, the ith output yi will not be affected by either the known inputs or unknown inputs In other words, the ith output yi does not contain any information about either the known inputs or unknown inputs, which means this output has no use in fault diagnosis and thus can be removed Therefore, in order to solve actuator fault diagnosis problem, this assumption is necessary and is generally satisfied Furthermore, this assumption is considered to be the least conservative one Under Assumption 5, it is easy to derive (r1 ) ˙ y1 = C1 x, y1 = C1 Ax, · · · , y1 = C1 Ar1 x + C1 Ar1 −1 Bd ud (r yp = Cp x, yp = Cp Ax, · · · , yp p ) = Cp Arp x + Cp Arp −1 Bd ud ˙ (36) T T Defining O = (C1 · · · (C1 Ar1 −1 )T Cp · · · (Cp Arp −1 )T )T Now select all the independent rows from O in the following manner: first, pick C1 , · · · , Cp because C is of full row rank, then find all rows from C1 A, · · · , Cp A, which together with 332 M Saif, W Chen, and Q Wu C1 , · · · , Cp form another set of independent rows of O, and continue until no dependent rows can be found Then use all the independent rows obtained to T T form a new matrix as TO = (C1 · · · (C1 Al1 )T Cp · · · (Cp Alp )T )T , which is of full row rank and has the same rank as O Note that since TO is of full row rank, Tc can be chosen such that T = T T T T (TO Tc )T is nonsingular Now let w = (w1 w2 )T = T x with w1 = TO x It is easy to see that w1 consists of the outputs and their derivatives Let’s define matrices Yd , M , Nu , and Nd as ⎞ ⎛ ⎞ (r −1) y C A r1 ⎟ ⎜ Yd = ⎝ · · · ⎠ , M = ⎝ · · · ⎠ T −1 , (r −1) C p A rp yp p ⎞ ⎞ ⎛ ⎛ C1 Ar1 −1 B C1 Ar1 −1 D ⎠ , Nd = ⎝ ⎠ ··· ··· Nu = ⎝ Cp Arp −1 B Cp Arp −1 D ⎛ (37) T T Partition M according to w = (w1 w2 )T such that M = (M1 M2 ), it follows from (36) that ˙ Yd = M1 w1 + M2 w2 + Nu u + Nd d (38) ⊥ ⊥ Let M2,d = (M2 Nd ) and choose M2,d such that M2,d M2,d = and ⊥ ⊥ ⊥ rank(M2,d ) + rank(M2,d ) = n Denote Yio = M2,d Yd , Mio = M2,d M1 , Nio = ⊥ M2,d Nu , then we arrive at a relation given as follows ˙ Yio = Mio w1 + Nio u (39) The above relation involves only the inputs, the outputs and their high order derivatives, and is thus called an input-output relation For convenience, several notations are introduced as follows Let φ denote the empty set, 2M be the set consisting of all the subsets of the set M = {1, 2, · · · , m}, and Nio = (Nio,1 · · · Nio,m ) For any φ = s = {i1 , · · · , il } ∈ 2M with ≤ l ≤ m, define Nio,s = (Nio,i1 , · · · , Nio,il ), where ij ∈ {1, 2, · · · , m} for any ≤ j ≤ l and Nio,ij is the ij -th column of Nio If one takes away all columns of Nio,s from Nio , the remaining columns of Nio constitute a new matrix denoted ¯ by Nio,s Denote also us as a vector consisting of the i1 th,· · · ,il th component of u and us as a vector consisting the remaining components Let uH be the desired ¯ input vector, that is, uH = u when all actuators are healthy Notations uH and s ¯ uH are defined the same way as us and us ¯s To solve the fault detection and isolation problems, we shall introduce two concepts One is called generalized actuator fault isolation index (GAF IX), and the other is called actuator fault detectability Definition System (35) is said to have a Generalized Actuator Fault Isolation Index (GAFIX) equal to l if and only if for all sets of the form s = {i1 , · · · , il }, rank(Nio,s ) = l, where l is the largest number for which this rank condition holds High Order Sliding Mode Observers and Differentiators 333 Remark In [14], an actuator fault isolation index (AFIX) was defined under the matching conditions and the relative degree one requirement This concept is not suitable for use here, because none of those requirements are met Therefore, in order to provide concise answers to the fault diagnosis problems, the concept GAFIX, instead of AFIX, is introduced Because the concept can be defined for any linear systems, it is termed generalized If GAF IX = m, it is easy to show that all the inputs can be reconstructed using sliding mode technique based on (39), and actuator fault diagnosis becomes almost trivial For this reason, in the remaining part of this subsection, we only treat the case that GAF IX < m Definition For System (35), actuator faults are said to be detectable if residuals based on the measured variables can be designed such that they will approach zero (or enter a neighborhood of the origin) when no actuator fault is present, but will not approach zero (or enter a neighborhood of the origin) for at least one type of actuator fault To perform fault detection, we design an estimator for Yio as ˙ ˆ ˆ ˆ Yio = H(Yio − Yio,HOSMD ) + Mio w1,HOSMD + Nio uH ˆ (40) ˆ where H is chosen to be any Hurwitz matrix, and Yio,HOSMD and w1,HOSMD ˆ are the estimates of Yio and w1 obtained using HOSMDs given by (22) Theorem Given that Assumptions 4-6 hold and the assumptions in Theorem are satisfied, and assuming that only actuator faults can occur, then using (r ) (r ) the HOSMD given by (22) to estimate y1 , · · · , y1 ,· · · ,yp , · · · , yp p , we have ˙ ˙ ˆ ˆ limt→∞ (Yio − Yio,HOSMD ) = when there is no actuator fault, that is, when uH = u Proof Because all assumptions in Theorem are satisfied, it is possible to obtain (r ) (r ) ˙ the exact estimation of y1 , · · · , y1 ,· · · , yp , · · · , yp p after the transient periods ˙ ˆ ˆ ˆ This implies that Yio,HOSMD = Yio and w1,HOSMD = w1 Since Yio,HOSMD = Yio and w1,HOSMD = w1 after the transient periods, it follows from (39) and ˆ (40) that we have ˙ ˜ ˜ Yio,HOSMD = H Yio,HOSMD + Nio (uH − u) (41) ˜ ˆ ˆ where Yio,HOSMD = Yio − Yio,HOSMD Finally, because H is Hurwitz and uH − u = 0, the theorem is proved using (41) ˆ ˆ Based on Theorem and defining r(t) = Yio − Yio,HOSMD , the actuator fault detection can be performed as follows: F ault detection strategy ˆ ˆ limt→∞ (Yio − Yio,HOSMD ) = F ailure Otherwise N o F ailure The solution to problem P is provided in the following theorem the proof of which can be found in [31] 334 M Saif, W Chen, and Q Wu Theorem If all the assumptions of Theorem are satisfied, actuator faults ˆ ˆ are detectable using r(t) = Yio − Yio,HOSMD resulting from (40) based on (39) and HOSMDs given by (22) if and only if GAF IX ≥ In order to solve the fault isolation problem, we shall introduce a concept called actuator fault isolatability Definition System (35) is said to have actuator fault isolatability with respect to l faults if a bank of residuals based on the measured variables can be designed such that they can be used to isolate at least one of the l actuator faults l Because GAF IX < m, to perform fault isolation, a bank of Cm estimators have to be designed for Yio , which take on the following form: ˙ ˆ ˆ ˆ ¯ ¯s Yio,s = H(Yio,s − Yio,HOSMD ) + Mio w1,HOSMD + Nio,s μs + Nio,s uH ˆ (42) where s = {i1 , · · · , il } ∈ 2M , and H is chosen to be any Hurwitz matrix, and ˆ Yio,HOSMD and w1,HOSMD are the same as defined in the last subsection ˆ The sliding-mode term μs is defined as μs = −ρ T Nio,s P eys T Nio,s P eys 0, T , Nio,s P eys = T Nio,s P eys = ˆ ˆ where eys = Yio,s − Yio,HOSMD , and ρ is a suitably large design constant P is a symmetric positive definite matrix such that H T P + P H < Theorem Under Assumptions 4-6, assume that only actuator faults can occur and all the signals remain bounded after the occurrence of faults, and that the assumptions in Theorem are satisfied Then, if the HOSMD given by (22) is (r ) (r ) ˙ used to estimate y1 , · · · , y1 ,· · · ,yp , · · · , yp p , then by choosing ρ large enough, ˙ H ¯ ¯ we can make limt→∞ eys = when us = us Proof Because the assumptions in Theorem are satisfied, it is concluded ˆ Yio,HOSMD = Yio and w1,HOSMD = w1 after the transients As a result, when ˆ uH = us , it follows from (39) and (42) that ¯s ¯ ey s = Heys + Nio,s (μs − us ) ˙ (43) T Choose V = eys P eys and differentiate it along (43), we obtain T T ˙ V = eys (H T P + P H)eys + 2eys P Nio,s (μs − us ) (44) Because of the definition of μs and the boundness of us , ρ can be chosen large enough such that T T ˙ V ≤ eys (H T P + P H)eys + Nio,s P eys (ρ − us ) T ≤ eys (H T P + P H)eys (45) Because H is Hurwitz and H T P + P H < 0, limt→∞ eys = follows from (45) immediately High Order Sliding Mode Observers and Differentiators 335 Based on Theorem 7, and defining rs (t) = eys , a solution for problem P is obtained in the following theorem, the proof of which can be found in [31] Theorem Suppose Assumption 4-6 hold, and that the assumptions in Theorem are satisfied Under the condition that only actuator faults can occur and all the system signals remain bounded after the occurrence of faults, and that the (r ) (r ) ˙ HOSMD given by (22) is used to estimate y1 , · · · , y1 ,· · · ,yp , · · · , yp p , then ˙ system (35) has actuator fault isolatability with respect to l faults with a bank of residuals chosen as rs (t) resulting from (42) based on (39) and HOSMDs given by (22)) if and only if GAF IX ≥ l + Assume that there are nf ≤ GAF IX − faults and pick up a certain set smin = {imin , · · · , imin IX−1 } with the smallest residual in some sense Because eysmin GAF tends to zero, and if we assume that the derivative of eysmin also tends to zero, according to (43) and the idea of using low-pass filter to estimate the equivalent control, we propose the following approach to estimate the faults, where the ith actuator fault is defined as ui − uH i ufje = LP F (μsmin (ij )) − uH , ≤ j ≤ nf ij i (46) where ufje is the estimate of the ij th actuator fault, μsmin (ij ) is the element in i μsmin that corresponds to the index ij , and LP F denotes a low-pass filter Based on the above, the answer to problem P3 is: It is possible to estimate the shape of the actuator faults, and faults can be estimated using (46) The overall fault diagnosis strategy is summarized in the steps of the following algorithm: Step 1– Compute GAF IX Step 2– If GAF IX ≤ 1, no fault can be isolated based on the input-output relation and only fault detection is possible The fault detection can be perˆ ˆ formed using (40) and r(t) = Yio − Yio,HOSMD Stop Step 3– Perform fault detection and isolation for the case < GAF IX < m in the following manner: For each set s = {i1 , · · · , iGAF IX−1 }, design an estimator for Yio given by (42) based on (39) and HOSMDs given by (22) Define residuals rN,s (t) = rs (t)/Nnormal (t), where Nnormal (t) is chosen such that rN,s (t) ≤ when only actuators corresponding to s are posGAF sibly faulty, and rN,s (t) > otherwise There are a total of Cm IX−1 residuals The threshold is chosen to be GAF If any of the Cm IX−1 residuals is larger than one at any given time, faults are detected Otherwise, no fault is detected Once faults are detected, denote the fault detection time as Tdetect , choose a fault isolation time interval (FITI) as (Tdetect , Tdetect + Δ) with Δ suitably large, on which we wish to isolate the fault Count the number of residuals that are below the threshold, and denote it as gnum 336 M Saif, W Chen, and Q Wu If gnum = 0, then more than GAF IX − actuators are faulty and exact fault isolation can not be achieved Stop If gnum = 1, then nf = GAF IX − and there are GAF IX − actuator faults If rN,s is the only residual that is under the threshold, then the i1 th,· · · ,and the iGAF IX−1 th actuators corresponding to this particular s are faulty Fault isolation is accomplished stop GAF IX−1−nf = gnum for nf If there is no If gnum > 1, then solve Cm−nf integer solution for nf , then the number of faults occurred can not be determined and fault isolation can not be performed at this moment Choose a larger Δ, and go to Step 3.6 If there is an integer solution of nf , then we conclude the number of faults is equal to the integer solution of nf 10 If the number of faults nf < GAF IX − is determined and there are GAF IX−1−nf Cm−nf = gnum sets such that their corresponding residuals are below the threshold, which are denoted by sj = {ij , · · · , ij GAF IX−1 }, ≤ j ≤ gnum Compute SF = gnum sj and if SF = {i1 , · · · , inf }, then the j=1 faulty actuators are the i1 th actuator,· · · ,and the inf th actuator Step 4- Perform fault estimation by picking up smin = {imin , · · · , imin IX−1 } GAF which corresponds to the best residual (the smallest in some sense), then use (46) to estimate the faults Remark This is the first HOSMD based fault diagnosis scheme capable of dealing with linear systems not necessarily detectable, with unmatched unknown inputs and with high relative degree The proposed solution can determine the number of faults that can be isolated, make a decision on the number of faults, isolate and finally estimate the shape of the faults Obviously, there is a tradeoff between fast fault isolation and the correct decision For fast fault isolation, one may wish to use a small FITI, but too small of an FITI may lead to wrong fault isolation decision Finally, the approach for determining the number of faults is quite interesting, and could lead to the smallest number of estimators for Yio Illustrative Examples 5.1 Example In this section, the fault diagnosis scheme using second order sliding mode observer and wavelet networks will be tested on a multiple satellite formation flying (MSFF) system MSFF system is a cluster of interdependent microsatellites that communicate with each other and share payload, data, and missions The MSFF fleet considered here is only composed of a leader satellite and a follower satellite The leader satellite provides the reference motion trajectory, based on which the follower satellite navigates in its neighborhood The nonlinear position dynamics of the follower satellite relative to the coordinate frame of the leader satellite is [36], High Order Sliding Mode Observers and Differentiators 337 Table Parameters of MSFF System Parameters Values (units) Earth’s mass M 5.974 ×1024 (kg) 1550 (kg) Leader’s mass ml 410 (kg) Follower’s mass mf Universal gravity constant G 6.673 × 10−11 (kg · m3 · s2 ) Leader’s position ρ [0, 4.224 × 107 , 0] (m) Angular acceleration ω 7.272 × 10−5 (rad · s−1 ) [−1.025, 6.248, −2.415] × 10−5 (N) Disturbance force Fd Leader’s control force ul [0, 0, 0] (N) mf q + C q + N + Fd = uf ă ˙ where C(ω) denotes the following Coriolis-like ⎡ −1 C = 2mf ω ⎣ 0 matrix: ⎤ 0⎦ (47) (48) and N (q, ω, ρ, ul ) denotes the following nonlinear vector ⎡ ⎤ qx mf − mf ω qx + ulx ρ + qx ml ⎢ ⎥ ⎢ ⎥ qy + ρ mf − mf ω qy + N = ⎢ mf M G − uly ⎥ ⎢ ⎥ ρ+q ρ ml ⎣ ⎦ qz mf mf M G + ulz ρ+q ml mf M G and Fd ∈ is the total constant disturbance force vector The parameters of the system (47) are listed in Table The simulation is implemented at a frequency of 2kHz The gains of the second order sliding mode terms are set to αi = 0.5 and λi = In the training algorithm, P (0) = 100I42 , and R(0) = × 10−4 We use the method in [34] to initialize the wavelet networks, and the domains are set to D1 = [−1000, 1000], and D2 = [−2000, 2000] Since p = and q = 7, there are totally 14 wavelet functions in the wavelet layer of each wavelet network In the simulation, we set x(0) = [0.45; −6.2; −201; 0.5; 0.75; −0.65] One incipient fault and one ˆ abrupt fault are assumed to occur in the dynamics of qy and q˙z , respectively, are ˙ represented as (2) fa (t) = β(t − 18) × (150 sin(2πt/4) + rand) (3) fa (t) = β(t − 22) × (200 + rand) (49) (50) where rand is a Gaussian white noise signal The simulation results are shown in Figure and Figure Figure demonstrates the dynamics of the system states and observer states (The states x4 -x6 338 M Saif, W Chen, and Q Wu State and observer state State and observer state 0.5 (m) 1 (m) State Observer state −1 −2 State Observer state −0.5 −1 Time (sec) State and observer state State Observer state 40 50 State Observer state 2 20 −20 −40 10 Time (sec) State and observer state 10 Time (sec) State and observer state State Observer state 150 (m) −50 (m) State and observer state (m) (m) 60 100 −50 Time (sec) −100 100 50 −150 State Observer state −200 Time (sec) 5 Time (sec) Fig State variables and their estimations using second order sliding mode observer are shown for the sake of illustration and discussion only) in the original regulation phase by using the second order sliding mode It shows that with the help of the proposed second order sliding mode, the system states can be estimated within a small period of time Moreover, the second observer state x2 begins ˆ to approach the actual state x2 , after the system output x1 reaches the sliding ˜ manifold This phenomenon is consistent with the theoretical analysis in the observer design Figure portrays the norm of the output estimation error which is used to detect faults It can be easily seen from the figure that the norm of the output estimation error will go beyond a small threshold shortly after the onset of the first fault at t = 18sec, and then return to zero after a while However, (3) the occurrence of the second fault fa (t) at t = 22sec is not reflected in the norm of the output estimation error This phenomenon results from the compensation effect and fast approximation ability of the wavelet networks after the appearance of the first fault Additionally, this figure proves that (29) can only detect the earliest fault and is insufficient for the purpose of fault isolation and estimation Figure characterizes the fault dynamics and the outputs of the wavelet net(2) works based fault estimators We can see that when the first fault fa (t) occurs, High Order Sliding Mode Observers and Differentiators 339 Norm of output estimation error 1000 800 600 400 200 17.7 17.75 17.8 17.85 17.9 17.95 18 18.05 18.1 18.15 18.2 22.3 22.4 22.5 Time (sec) Norm of output estimation error 21.5 21.6 21.7 21.8 21.9 22 22.1 22.2 Time (sec) Fig Fault detection using the norm of the output estimation error all the wavelet networks generate a large amount of chattering, which can also be used to indicate the occurrence of faults with a proper threshold value The chattering is due to the initial parameter updating of the wavelet networks when a fault occurs Moreover, when multiple faults occur, only the wavelet networks that correspond to the faulty state specify the dynamics of the faults, and the wavelet networks associated with other healthy states return back to zero or close to zero Therefore, this robust fault diagnosis scheme is effective for fault isolation and estimation of single fault as well as multiple faults Example To show the effectiveness of the HOSMD based fault diagnosis scheme, the following system is chosen x = Ax + Bu + Dd ˙ y = Cx where d = 0.01cos(t) and the system matrices are shown below (51) 340 M Saif, W Chen, and Q Wu Wavelet Network 200 100 −100 −200 10 15 20 25 Time (sec) Fault and Wavelet Network 200 Fault Wavelet Network −200 15 16 17 18 19 20 21 22 23 24 25 Time (sec) Fault and Wavelet Network 200 100 Fault Wavelet Network −100 −200 15 16 17 18 19 20 21 22 23 24 25 Time (sec) Fig Outputs of wavelet networks under multiple process faults ⎛ ⎜0 ⎜ ⎜0 ⎜ A = ⎜0 ⎜ ⎜0 ⎜ ⎝0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 ⎛ ⎞ ⎞ ⎛ ⎞ 000 ⎜0⎟ ⎜1 0 ⎟ 0⎟ ⎜ ⎟ ⎟ ⎜ ⎟ ⎛ ⎞ ⎜0⎟ ⎜0 0 ⎟ 1000000 1⎟ ⎜ ⎟ ⎟ ⎜ ⎟ 0⎟ , B = ⎜0 0⎟ , D = ⎜0⎟ , C = ⎝0 0 0⎠ ⎜ ⎟ ⎟ ⎜ ⎟ ⎜0⎟ ⎜0 0 ⎟ 0000100 1⎟ ⎜ ⎟ ⎟ ⎜ ⎟ ⎝0⎠ ⎝0 ⎠ 0⎠ 000 This system is not detectable and does not satisfy relaxed matching conditions in [22] Simple computation shows that the relative degrees from the generalized inputs to the first output, the second output and the third output are 2, 2, respectively For this system, existing observer based fault diagnosis schemes designed for linear systems are not applicable anymore It can be shown that GAF IX = 2, and according to Theorem 8, it is possible to isolate one actuator fault In the simulations, an incipient fault is occurred at t = 3s and takes the form as u1f = u1 − uH = 0.02(t − 3), t > 3, and the simulation results are plotted in Figure 6, where the plots in A, B, C are used for fault detection and isolation, while the plots in D are to show the effect of fault estimation Nnormal (t) is chosen as 0.01, and with a slight abuse of notations, we still use r1 (t), r2 (t) and r3 (t) to denote the normalized residuals corresponding to s = {1},s = {2} and s = {3} High Order Sliding Mode Observers and Differentiators B 0.8 0.6 The residual The residual A r1(t) 0.4 Threshold 0.2 0 Time 10 r (t) 2 Threshold 0 0.15 C The residual Time D 0.1 r (t) 0.05 Threshold u 341 1f −0.05 Time −0.1 Its estimation Time 10 Fig Actuator fault detection, isolation and estimation Actuator fault is detected at t = 4.09s because r3 (t) > at that moment Now, choose FITI as (4.09s, 5s) and monitor the residuals in A, B, C on this interval, one can see that r1 (t) is far less than one, while r2 (t) > and r3 (t) > This according to our fault diagnosis scheme means the first actuator is faulty while the second one and the third one are healthy The faulty actuator is isolated and correct fault isolation decision is made D shows a very promising performance in estimating the shape of the fault Summary In this chapter, high order sliding mode observers and differentiators design strategies were briefly reviewed The need for new strategies to solve difficult fault diagnosis problems in systems that have a relative degree from the inputs and/or the unknown inputs to the outputs, that are greater than one was revealed The use of high order sliding mode observers and differentiators to meet that need was pointed out With an intention to use high order sliding mode observers and differentiators to solve difficult fault diagnosis problems, the design of a second order sliding mode observer and a high order sliding mode differentiator was presented for state estimation in nonlinear systems and the estimation of real time derivatives of a function Based on the proposed second order observer and the high order differentiators, fault diagnosis schemes were proposed 342 M Saif, W Chen, and Q Wu for uncertain systems with relative degrees greater than one The examples illustrated that the proposed fault diagnosis schemes perform well 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Mode Observers and Differentiators 323 Although high order sliding mode observers and differentiators... intention to use high order sliding mode observers and differentiators to solve difficult fault diagnosis problems, the design of a second order sliding mode observer and a high order sliding mode differentiator... order sliding mode observer and a high order sliding mode differentiator is first presented Then, based on the second order sliding mode observer and the high order sliding mode differentiator, two fault