Neural Network Based Global Dynamic Surface Tracking Control

and Learning for Robot Manipulator

AbstractIn this paper, an indirect neural control combining

with dynamic surface control (DSC) technique in a novel way is
proposed to apply to overcome the difficulty of the unknown
dynamics of robot manipulator system. Comparing with the
conventional adaptive neural control techniques, which could
only bring about semi-globally uniformly ultimately bounded
(SGUUB) stability on the condition that neural approximation
keeps effective all the time, the proposed technique ensure
globally uniformly ultimately bounded (GUUB) stability by using
a switching mechanism which combine the neural controller in
neural approximation region with an extra robust controller
outside the neural approximation region to pull back the transient. The simulation results about 2-joint robot manipulator
demonstrate the validity of the proposed designs.

I. I NTRODUCTION
In the last decades, the antenna of robots are extending into
each part of society with amazing speed. Robots are playing
a more and more important role in society. With the gaining
needs of robot, higher requirements for robot systems are also
presented. The work condition robots faced is more complex,
which is always unknown, dynamic and unstructured, so that
the demand for more robust control algorithms is urgent.
Since the complex configuration or mechanism of the robot,
little knowledge about robot dynamics parameters are available
in real applications. Thus, the back-stepping design with
partially model free control techniques have been widely
studied and. In [1], the controller using neural network (NN) to
approximate the unknown dynamics is designed with dynamic
surface technique. In [2], the control gain function gi is
estimated by NNs, and the indirect design is proposed for
the longitudinal hypersonic flight dynamics.
It is noted that the above-mentioned intelligent design is
on the condition that the approximation should remain valid
all the time. However, such a condition is difficult to verify
beforehand [3]. Since the approximation ability of NNs is only
valid in a compact domain, the NN-based robot manipulator
control can only guarantee the SGUUB stability. As a result,
instability may occur in real applications when the compact
domain is not held. Accordingly, it is urgent to develop global
NNs controller for robot manipulator.
Inspired by previous work, in this paper, we transform
the mathematical model of the robot manipulator into strictfeedback form, and adaptive global NNs back-stepping design
with dynamic surface technique is proposed. For the affine
system x = f (x) + g(x)u, the indirect design [4] is with the
form u = 1/
g (f + ), where f and g are the estimates of f
and g, respectively. In comparison to the previous work, the
main contributions of this paper lie in:

A novel switching mechanism is proposed to combine

neural controller and robust controller to achieve globally
uniformly ultimate boundedness. The GUUB stability of
the closed-loop system is rigorously established by the
Lyapunov approach.
In view of robot manipulator control, the global neural
controller could ensure the operation safety.
This paper is organized as follows. Section II presents
mathematical model of robot manipulator. Section III describes
the radial basis function (RBF) NNs and the key lemmas. The
robust indirect adaptive global neural controller is designed
in Section IV. Simulation results are presented in Section V.
Finally, in Section VI summed up the previous work.

II. P ROBLEM F ORMULATION

A. System description
The dynamic equation of an n-link robot manipulator can
be described as follows:
M (q)
q + C(q, q)
q + G(q)q =

(1)

where q is the vectors of the robot arms joint position,

q is joint velocity, q , joint acceleration. M (q) Rnn ,
C(q, q)
Rnn , G(q) Rn are the symmetric positivedefinite matrix, centripetal force and Coriolis force matrix,
gravity vector, respectively. There are three property of this
dynamical model as follows:
Property 1: The matrix M (q) Rnn is a symmetric
positive-definite matrix.
Property 2: The matrix M (q)
2C(q, q)
is also a skewsymmetric matrix, i.e., z T M 2C z = 0, z Rn .
Property 3: The M (q), C(q, q)
and G(q) are all bounded.
B. System transformation
Define x1 = q, x2 = q for dynamic equation of an n-link
robot manipulator (1), it is formulated as:
x 1

= x2

x 2

= F (
x2 ) + H(
x2 )

(2)

x2 ) = M 1 (Cx2 +G), H(
x2 ) =
where x
2 = (xT1 , xT2 )T , F (
1
M . Assume that F and H are entirely unknown.
An n-link robot manipulator (1) is a second-order system
with the multiple-input-mulitple-output (MIMO) system in
strict-feedback form:
x 1

f1 (
x1 ) + g1 (
x1 )x2

x 2

f2 (
x2 ) + g2 (
x2 )u

x1

where x
i = [xT1 , ..., xTi ]T , i = 1, 2.

(3)

IV. G LOBAL N EURAL C ONTROL OF ROBOT

M ANIPULATOR

III. P RELIMINARIES
A. RBF Neural Networks
In this paper, the RBF NNs [??] are employed to approximate the unknown nonlinearity f with the following form:
T S(Xin )
f(Xin ) = W

(4)

whereXin R is the input vector of the RBF NNs, f R

= [
is the NN output, W
1 , ...,
N ] RN is the adjustable
M
parameter vector. S() : R RN is a nonlinear vector
function of the inputs,and N is the number of NN nodes. The
components of vector S are the basis functions denoted as si .
A commonly used basis function is the so-called Gaussian
function of the following form:


(Xin i )T (Xin i )
(5)
si (kXin i k) = exp
2
M

where i = [i1 , i2 , ..., iM ]T RM is an M-dimensional

vector representing the center of the ith basis function and i
is the variance.
Given any real continuous function f on a compact set
Xin RM and an arbitrary m > 0, there exist RBF NNs
in the form of (5) and an optimal parameter vector such that
f (Xin ) = WT S (Xin ) + (Xin )
k k < m

sup

(6)
(7)

Xin Xin

where W = [W1
, W2
, ..., Wn
] RN n with Wi
RN . m > 0 denotes the supremum value of the reconstruction error that is inevitably generated.

The recursive design procedure breaks down into two steps.

During the controller design, RBF NNs are employed for a
nonlinear function approximation of F and H.
A. Controller design
Assumption 1: The reference signals and their derivatives
are smooth bounded functions.
Step 1: The robot arms joint position error is defined as
x
1 = x1 x1d where x1d = qd . Taking the derivative of x1
and using (2), we have
x
1 = x 1 x 1d
= x2 x 1d

where x 1d = qd .
Take x2 as the virtual control of (12) and design the signal
x2c as
x2c = k1 x
1 + x 1d

2 x 2d + x2d = x2c ,

where is a constant satisfying = e

, i.e., = 0.2785.
Definition 1: Given constants 0 < ri1n < ri2n , i = 2 being
the constants defining the boundaries of the compact subsets
r , the set of switching functions is given as:

x
1

= x2 x 1d
= x2 x2d + x2d x2c + x2c x 1d

x
2

2
k2n xkn
2
2
rk1n
rk2n

if |xkn | < rk1n



2
x2
kn rk1n
$(r 2
r 2
)
k2n
k1n

x 2 x 2d

F (
x2 ) + H(
x2 ) x 2d

(15)

where x d = qd .
Using NN to approximate the unknown function F on the
compact set X , we have
F (
x2 ) = WFT SF (
x2 ) + F

(16)

WFT

bk (xkn )

r2

(14)

Step 2: The robot arms joint velocity error is defined as

x
2 = x2 x2d where x2d = qd . Taking the derivative of x2
and using (2), we have

(9)

k=1

(13)

where 2 = diag(21 , ..., 2n ), and 2i > 0, i = 1, ..., n.

Define y2 = x2d x2c , x
2 = x2 x2d . Then, (12) is
calculated as

(+1)

Bk (xk )

x2d (0) = x2c (0)

= x
2 + y2 k1 x
1

Lemma 1: The following inequality holds for any 0 > 0

and R:
 

0 6 || tanh
6 0
(8)
0

i
Y

(12)

where k1 = diag(k11 , ..., k1n ),and k1i > 0, i = 1, ..., n.

Introduce a new state variable x2d and let x2c pass through
a first order filter with time constant 2 to obtain x2d .

B. Useful Functions and Key Lemmas

mi (
xi ) ,

(11)

2b

if rk1n |xkn | rk2n

if |xkn | > ri2n

(10)
where Bk (xk ) = diag(bk (xk1 ), ..., bk (xkn )) with
> 0 and
b 1 being the spread and the order of the function Bk (xk ),
respectively.

where
is the optimal NN weights vector, SF is the basis
function vector, F is the NN construction error, andkF k <
m .

H(X)
= k2 x
2 + x 2d m2 (
x2 )uN
x2 ))ur2 (17)
2 (1 m2 (
where k2 = diag(k21 , ..., k1n ), and k2i > 0, i = 1, ..., n.
x2 ) = W
T SH (
H(
x2 ) and
H
x2 ) = W
FT SF (
uN
x2 )
2 = F (
ur2

= F (
x2 ) tanh

x
T2 FU (
x2 )
2

(18)

(19)

 F as the estimation of W , W
H as the estimation of
with W
F

WH , and 2 as the positive parameter. The F U is upper bound

of F . The error dynamics of x
2 is derived as
x
2

where 1 = min[min (2(K1 I)), min (2(21 ))], K13 =

1
|B2 ()|2 .
2
V 2

= F + H x 2d
+ H)
+ F x 2d
= (H
k2 x
= H
2 + m2 (
x2 )(F + 2 )
+(1 m2 (
x2 ))(F ur2 )

V 2

=
=

Vi

=
xT2 k2 x
2 + x
T2 m2 (
x2 )F
+
xT2 (I m2 (
x2 ))(F ur2 )
T
FT W
F + H W
H
+tr(F W
WH )

(23)

i=1

with
V1 =

1 T
(
x x
1 + y2T y2 )
2 1

(24)

1 T
1
T 1
F + W
H
FT 1 W
(25)
H WH )
V2 = x
x
2 + tr(W
F
2 2
2
According to the definition of y2 , the following equations can
be obtained:
y 2

21 (y2 )

+ B2 ()

(26)

where B2 () = x 2c .
According to the virtual controls together with Assumption
2, we know there exist constants Mi > 0, i = 2 with
|B2 ()| M2

(27)

Take the derivative of V1

=

x
T1 x
1 + y2T y 2

x
T1 (
x2 + y2 k1 x
1 ) + y2T [21 (y2 ) + B2 ()]

x
T1 (k1 )
x1 + x
T1 x
2 + x
T1 y2 y2T 21 y2 + y2T B2 ()
1 T 2 1
1 T 2 1
x
T1 (k1 )
x1 + |
x | + |
x2 |2 + |
x | + |y2 |2
2 1
2
2 1
2
1 T 2 1
2
T 1
y2 2 y2 + |y2 | + |B2 ()|
2
2
1
1
T
T
=
x1 (k1 I)
x1 y2 (2 I)y2 + |
x2 |2
2
1
+ |B2 ()|2
2
1
1 V1 + |
x2 |2 + K13
(28)
2
=

(30)

The following inequalities exist:

FT W
F ) + 1 tr(WFT WF )
TW
F ) 1 tr(W
tr(W
F
2
2

(31)

1
1
T
T
T

H
H
tr(W
WH ) tr(W
WH ) + tr(WH
WH
)
2
2

(32)

x
T2 m(
x2 )F

1 T 2 1 2
|
x | + F m
2 2
2

= x 2d x 2c
=

V 1

T 1 W
F + W
T 1 W
H )
x
T2 x
2 tr(W
F F
H H
x
x
T2 H
T2 k2 x
2 + x
T2 m2 (
x2 )F + x
T2 m2 (
x2 )F

T
T
H
H
+W
SH x
T2 H W
WH )

Select a suitable Lyapunov function as below

VG =

(29)

+
xT2 (I m2 (
x2 ))(F ur2 )
FT SF x
FT W
F
tr(W
T2 m(
x2 ) F W

B. Stability Analysis
2
X

Substitute the adaptation laws (22) and (23) into (30), we

have

(22)

where F and H are symmetric positive definitive matrixes,

F and H are positive design parameters.

)
T 1
FT 1 W
F + W
H
x
T2 x
2 + tr(W
H W
H
F
k2 x
x
T (H
2 + m2 (
x2 )(F + 2 )
+(1 m2 (
x2 ))(F ur2 ))

T 1
FT 1 W
F + W
H
tr(W
H WH )
F

(20)

T SF (
=W
T SH (
F = W W
F,
where F = W
x2 ),H
x2 ), W
F
H
F

WH = WH WH .
The adaptation laws of the estimated parameters are given
as
F = F (SF x
F)
W
T2 m(
x2 ) F W
(21)
H = H (SH x
H)
W
T2 H W

x
T2 (F ur2 ) x
T2 F x
T2 FU tanh

(33)


x
T2 FU
2

(34)

Using Young inequality, we have

V 2

2 + x
T2 m2 (
x2 )F
=
xT2 k2 x
+
xT2 (I m2 (
x2 ))(F ur2 )
T
T
F W
F + H W
H
+tr(F W
WH )
1
1

xT2 k2 x
2 + |
xT |2 + 2F m + 2
2 2
2
T
FT W
F + H W
H
+tr(F W
WH )
1 T
T

x2 (k2 I)
x2 x
x
2
2 2
1
TW
F + H W
TW
H)
tr(F W
F
H
2
1
T W
+ H W T W )
+ tr(F W
F
F
H
H
2
1 2
+ F m + 2
2
1
2 V2 |
x2 |2 + K23
2

(35)

1
where 2 = min[2K21 , F /(max (1
F )), H /(max (H ))],
K21 = min(k2 I), |k2 I| > 0, andK23 =
T W
+ H W T W ) + 1 2 + 2 .
(1/2)tr(F W
F
F
H
H
2 Fm
V G = V 1 + V 2

VG + K

(36)

where = min[1 , 2 ] and K = K13 + K23 .

Let > K/P0 , then V G < 0 on VG = P0 . Thus if VG (0)
P0 then VG (t) P0 for all t > 0. Solving inequality (37), we
have
K
K
+ (VG (0) )et t 0
(37)
0 VG (t)

and
lim VG (t)

t+

(38)

Through the previous analysis, we can get a conclusion that

the tracking error can be made arbitrarily small by increasing
the control gains (k1 , k2 ) and decreasing the filter parameters
2 .

Fig. 1. Traceking performace of q1

V. S IMULATIONS
The 2-joint robot manipulator is used for simulation. The
system is described as






M11 M12
C11 C12
G1
q+
q +
= (39)
M21 M22
C21 C22
G2
2
2
M11 = m1 lc1
+ m2 (l12 + lc2
+ 2l1 lc2 cos q2 ) + I1 + I2
2
M12 = m2 (lc2 + l1 lc2 cos q2 ) + I2
2
M22 = m2 lc2
+ I2
C11 = m2 l1 lc2 (q1 + q2 ) sin q2
C12 = m2 l1 lc2 (q1 + q2 ) sin q2
C21 = m2 l1 lc1 q1 sin q2
G11 = (m1 lc2 + m2 l1 )g cos q1 + m2 lc2 g cos(q1 + q2 )
G21 = m2 lc2 g cos(q1 + q2 )
where m1 = 2kg, m2 = 0.85kg, l1 = 0.35m, l2 = 0.31m,
I1 = 0.061kgm2 and I2 = 0.020kgm2 . The mi and li are the
mass and length of link i, respectively. The lci is the distance
between i 1th joint and the ith joints mass center,i = 1, 2.
And Ii is the inertia of link i around the axis at the mass
center of link i, parallel to the rotate axis.
The desired trajectory is given as qd1 = sin t and qd2 =
2 cos t, and the control gains are selected as k1 = diag(15, 5),
k1 = diag(15, 5). And NN adaptive laws are chosen as 1 =
2I, 2 = 2I. The robust parameters are set with
= 0.01,
while r1n = 0.5 and r2n = 1.
The simulation results are shown in

Fig. 2. Traceking performace of q2

VI. C ONCLUSION
In this work, an robust indirect adaptive global neural
controller with back steeping and dynamic surface technique
is designed for robot manipulator. The new view of this
dissertation is a smooth switching algorithm is proposed by
which adaptive neural controller and robust controller cooperate to ensure the system globally uniformly ultimately bounded

Fig. 3. Tracking performace of q1

(GUUB) established by the Lyapunov approach. Simulation

result have also shown that the proposed controller is with
satisfactory performance.
R EFERENCES
[1] B. Xu, C. Yang, and Y. Pan, Global neural dynamic surface tracking
control of strict-feedback systems with application to hypersonic flight
vehicle, Neural Networks and Learning Systems, IEEE Transactions on,
vol. 26, no. 10, pp. 25632575, 2015.
[2] L. Y. W. A. Butt and A. S. Kendrick, Adaptive dynamic surface control
of a hypersonic flight vehicle with improved tracking, Asian J. Control,
vol. 15, no. 2, pp. 594605, Mar. 2013.
[3] J.-T. Huang, Global tracking control of strict-feedback systems using
neural networks, Neural Networks and Learning Systems, IEEE Transactions on, vol. 23, no. 11, pp. 17141725, 2012.
[4] P. A. Phan and T. Gale, Two-mode adaptive fuzzy control with approximation error estimator, IEEE Trans. Fuzzy Syst., vol. 15, no. 5,
pp. 943955, Oct. 2007.

Fig. 4. Traceking performace of q2

Fig. 5. Tracking performace of the position errors e1

Fig. 6. Tracking performace of the position errors e2