IET CONTROL ENGINEERING SERIES 84

Nonlinear and
Adaptive Control
Systems

Other volumes in this series:

Volume 8
Volume 18
Volume 20
Volume 28
Volume 33
Volume 34
Volume 35
Volume 37
Volume 39
Volume 40
Volume 41
Volume 42
Volume 44
Volume 47
Volume 49
Volume 50
Volume 51
Volume 52
Volume 53
Volume 54
Volume 55
Volume 56
Volume 57
Volume 58
Volume 59
Volume 60
Volume 61
Volume 62
Volume 63
Volume 64
Volume 65
Volume 66
Volume 67
Volume 68
Volume 69
Volume 70
Volume 71
Volume 72
Volume 73
Volume 74
Volume 75
Volume 76
Volume 77
Volume 78

A history of control engineering, 18001930 S. Bennett

Applied control theory, 2nd Edition J.R. Leigh
Design of modern control systems D.J. Bell, P.A. Cook and N. Munro (Editors)
Robots and automated manufacture J. Billingsley (Editor)
Temperature measurement and control J.R. Leigh
Singular perturbation methodology in control systems D.S. Naidu
Implementation of self-tuning controllers K. Warwick (Editor)
Industrial digital control systems, 2nd Edition K. Warwick and D. Rees (Editors)
Continuous time controller design R. Balasubramanian
Deterministic control of uncertain systems A.S.I. Zinober (Editor)
Computer control of real-time processes S. Bennett and G.S. Virk (Editors)
Digital signal Processing: principles, devices and applications N.B. Jones and
J.D.McK. Watson (Editors)
Knowledge-based systems for industrial control J. McGhee, M.J. Grimble and A. Mowforth
(Editors)
A History of control engineering, 19301956 S. Bennett
Polynomial methods in optimal control and ltering K.J. Hunt (Editor)
Programming industrial control systems using IEC 1131-3 R.W. Lewis
Advanced robotics and intelligent machines J.O. Gray and D.G. Caldwell (Editors)
Adaptive prediction and predictive control P.P. Kanjilal
Neural network applications in control G.W. Irwin, K. Warwick and K.J. Hunt (Editors)
Control engineering solutions: a practical approach P. Albertos, R. Strietzel and N. Mort
(Editors)
Genetic algorithms in engineering systems A.M.S. Zalzala and P.J. Fleming (Editors)
Symbolic methods in control system analysis and design N. Munro (Editor)
Flight control systems R.W. Pratt (Editor)
Power-plant control and instrumentation: the control of boilers and HRSG systems
D. Lindsley
Modelling control systems using IEC 61499 R. Lewis
People in control: human factors in control room design J. Noyes and M. Bransby (Editors)
Nonlinear predictive control: theory and practice B. Kouvaritakis and M. Cannon (Editors)
Active sound and vibration control M.O. Tokhi and S.M. Veres
Stepping motors, 4th edition P.P. Acarnley
Control theory, 2nd Edition J.R. Leigh
Modelling and parameter estimation of dynamic systems J.R. Raol, G. Girija and J. Singh
Variable structure systems: from principles to implementation A. Sabanovic, L. Fridman
and S. Spurgeon (Editors)
Motion vision: design of compact motion sensing solution for autonomous systems
J. Kolodko and L. Vlacic
Flexible robot manipulators: modelling, simulation and control M.O. Tokhi and
A.K.M. Azad (Editors)
Advances in unmanned marine vehicles G. Roberts and R. Sutton
(Editors)
Intelligent control systems using computational intelligence techniques A. Ruano
(Editor)
Advances in cognitive systems S. Nefti and J. Gray (Editors)
Control theory: a guided tour, 3rd Edition J.R. Leigh
Adaptive sampling with Mobile WSN K. Sreenath, M.F. Mysorewala, D.O. Popa
and F.L. Lewis
Eigenstructure control algorithms: applications to aircraft/rotorcraft handling
qualities design S. Srinathkumar
Advanced control for constrained processes and systems F. Garelli, R.J. Mantz and
H. De Battista
Developments in control theory towards glocal control L. Qiu, J. Chen, T. Iwasaki and
H. Fujioka
Further advances in unmanned marine vehicles G.N. Roberts and R. Sutton (Editors)
Frequency-domain control design for high-performance systems J. OBrien

Nonlinear and
Adaptive Control
Systems
Zhengtao Ding

The Institution of Engineering and Technology

Published by The Institution of Engineering and Technology, London, United Kingdom

The Institution of Engineering and Technology is registered as a Charity in England &
Wales (no. 211014) and Scotland (no. SC038698).
2013 The Institution of Engineering and Technology
First published 2013
This publication is copyright under the Berne Convention and the Universal Copyright
Convention. All rights reserved. Apart from any fair dealing for the purposes of research or
private study, or criticism or review, as permitted under the Copyright, Designs and Patents Act
1988, this publication may be reproduced, stored or transmitted, in any form or by any means,
only with the prior permission in writing of the publishers, or in the case of reprographic
reproduction in accordance with the terms of licences issued by the Copyright Licensing
Agency. Enquiries concerning reproduction outside those terms should be sent to the
publisher at the undermentioned address:
The Institution of Engineering and Technology
Michael Faraday House
Six Hills Way, Stevenage
Herts, SG1 2AY, United Kingdom
www.theiet.org
While the author and publisher believe that the information and guidance given in
this work are correct, all parties must rely upon their own skill and judgement when
making use of them. Neither the author nor the publisher assumes any liability to
anyone for any loss or damage caused by any error or omission in the work, whether
such an error or omission is the result of negligence or any other cause. Any and all
such liability is disclaimed.
The moral rights of the author to be identied as author of this work have been
asserted by him in accordance with the Copyright, Designs and Patents Act 1988.

British Library Cataloguing in Publication Data

A catalogue record for this product is available from the British Library

ISBN 978-1-84919-574-4 (hardback)

ISBN 978-1-84919-575-1 (PDF)

Typeset in India by MPS Limited

Printed in the UK by CPI Group (UK) Ltd, Croydon

To my family, Yinghong, Guangyue and Xiang

Contents

Preface
1 Introduction to nonlinear and adaptive systems
1.1
Nonlinear functions and nonlinearities
1.2
Common nonlinear systems behaviours
1.3
Stability and control of nonlinear systems

ix
1
1
4
5

2 State space models

2.1
Nonlinear systems and linearisation around an operating point
2.2
Autonomous systems
2.3
Second-order nonlinear system behaviours
2.4
Limit cycles and strange attractors

9
9
11
12
18

3 Describing functions
3.1
Fundamentals
3.2
Describing functions for common nonlinear components
3.3
Describing function analysis of nonlinear systems

25
26
29
34

4 Stability theory
4.1
Basic denitions
4.2
Linearisation and local stability
4.3
Lyapunovs direct method
4.4
Lyapunov analysis of linear time-invariant systems

41
41
45
46
51

5 Advanced stability theory

5.1
Positive real systems
5.2
Absolute stability and circle criterion
5.3
Input-to-state stability and small gain theorem
5.4
Differential stability

55
55
59
65
71

6 Feedback linearisation
6.1
Inputoutput linearisation
6.2
Full-state feedback linearisation

75
75
83

7 Adaptive control of linear systems

7.1
MRAC of rst-order systems
7.2
Model reference control
7.3
MRAC of linear systems with relative degree 1
7.4
MRAC of linear systems with high relatives
7.5
Robust adaptive control

89
90
94
99
102
103

viii

Nonlinear and adaptive control systems

8 Nonlinear observer design

8.1
Observer design for linear systems
8.2
Linear observer error dynamics with output injection
8.3
Linear observer error dynamics via direct state transformation
8.4
Observer design for Lipschitz nonlinear systems
8.5
Reduced-order observer design
8.6
Adaptive observer design

109
109
111
120
122
127
136

9 Backstepping design
9.1
Integrator backstepping
9.2
Iterative backstepping
9.3
Observer backstepping
9.4
Backstepping with ltered transformation
9.5
Adaptive backstepping
9.6
Adaptive observer backstepping

141
141
144
147
152
159
167

10

Disturbance rejection and output regulation

10.1 Asymptotic rejection of sinusoidal disturbances
10.2 Adaptive output regulation
10.3 Output regulation with nonlinear exosystems
10.4 Asymptotic rejection of general periodic disturbances

175
175
186
194
204

11

Control applications
11.1 Harmonics estimation and rejection in power distribution
systems
11.1.1 System model
11.1.2 Iterative observer design for estimating frequency
modes in input
11.1.3 Estimation of specic frequency modes in input
11.1.4 Rejection of frequency modes
11.1.5 Example
11.2 Observer and control design for circadian rhythms
11.2.1 Circadian model
11.2.2 Lipschitz observer design
11.2.3 Phase control of circadian rhythms
11.3 Sampled-data control of nonlinear systems
11.3.1 System model and sampled-data control
11.3.2 Stability analysis of sampled-data systems
11.3.3 Simulation

219
219
220
224
232
234
235
238
239
241
243
247
249
251
260

Bibliographical Notes

263

References

268

Index

275

Preface

This book is intended for the use as a textbook at MSc and senior undergraduate
level in control engineering and related disciplines such as electrical, mechanical,
chemical and aerospace engineering and applied mathematics. It can also be used as
a reference book by control engineers in industry and research students in automation
and control. It is largely, although not entirely, based on the course unit bearing the
same name as the book title that I have been teaching for several years for the MSc
course at Control Systems Centre, School of Electrical and Electronic Engineering,
The University of Manchester. The beginning chapters cover fundamental concepts
in nonlinear control at moderate mathematical level suitable for students with a rst
degree in engineering disciplines. Simple examples are used to illustrate important
concepts, such as the difference between exponential stability and asymptotic stability.
Some advanced and recent stability concepts such as input-to-state stability are also
included, mainly as an introduction at a less-demanding mathematical level compared
with their normal descriptions in the existing books, to research students who may
encounter those concepts in literature. Most of the theorems in the beginning chapters
are introduced with the proofs, and some of the theorems are simplied with less
general scopes, but without loss of rigour. The later chapters cover several topics
which are closely related to my own research activities, such as nonlinear observer
design and asymptotic disturbance rejection of nonlinear systems. They are included
to demonstrate the applications of fundamental concepts in nonlinear and adaptive
control to MSc and research students, and to bridge the gap between a normal textbook
treatment of control concepts and that of research articles published in academic
journals. They can also be used as references for the students who are working on
the related topics. At the end of the book, applications to less traditional areas such
as control of circadian rhythms are also shown, to encourage readers to explore new
applied areas of nonlinear and adaptive control.
This book aims at a unied treatment of adaptive and nonlinear control.
It is well known that the dynamics of an adaptive control system for a linear dynamic
system with unknown parameters are nonlinear. The analysis of such adaptive systems requires similar techniques to the analysis for nonlinear systems. Some more
recent control design techniques such as backstepping relies on Lyapunov functions
to establish the stability, and they can be directly extended to adaptive control of nonlinear systems. These techniques further reduce the traditional gap between adaptive
control and nonlinear control. Therefore, it is now natural to treat adaptive control
as a part of nonlinear control systems. The foundation for linear adaptive control
and nonlinear adaptive control is the positive real lemma, which is related to passive
systems in nonlinear control and Lyapunov analysis. It is decided to use the positive

Nonlinear and adaptive control systems

real lemma and related results in adaptive control and nonlinear control as the
main theme of the book, together with Lyapunov analysis. Other important results
such as circle criterion and backstepping are introduced as extensions and further
developments from this main theme.
For a course unit of 15 credits on nonlinear and adaptive control at the Control
Systems Centre, I normally cover Chapters 14, 6 and 7, and most of the contents of
Chapter 5, and about half of the materials in Chapter 9. Most of the topics covered
in Chapters 8, 10 and 11 have been used as MSc dissertation projects and some of
them as PhD projects. The contents may also be used for an introductory course
on nonlinear control systems, by including Chapters 15, 8 and the rst half of
Chapter 9, and possibly Chapter 6. For a course on adaptive control of nonlinear
systems, an instructor may include Chapters 1, 2, 4, 5, 7 and 9. Chapter 8 may be
used alone as a brief introduction course to nonlinear observer design. Some results
shown in Chapters 8, 10 and 11 are recently published, and can be used as references
for the latest developments in related areas.
Nonlinear and adaptive control is still a very active research area in automation
and control, with many new theoretic results and applications continuing to merge.
I hope that the publication of this work will have a good impact, however small,
on students interests to the subject. I have been beneted from my students, both
undergraduate and MSc students, through my teaching and other interactions with
them, in particular, their questions to ask me to explain many of the topics covered
in this book with simple languages and examples. My research collaborators and
PhD students have contributed to several topics covered in the book through joint
journal publications, whose names may be found in the references cited at the end of
the book. I would like to thank all the researchers in the area who contributed to the
topics covered in the book, who are the very people that make this subject fascinating.