ISA

TRANSACTIONS®
ISA Transactions 44 共2005兲 55–68

Adaptive control of uncertain continuously stirred tank reactors

with unknown actuator nonlinearities
T. Zhang, M. Guay*
Department of Chemical Engineering, Queen’s University, Kingston, Ontario, Canada K7L 3N6
共Received 29 July 2003; accepted 19 July 2004兲

Abstract
Adaptive nonlinear control is investigated for continuously stirred tank reactor 共CSTR兲 systems using neural net-
works. The CSTR plant under study belongs to a class of nonaffine nonlinear systems, and contains an unknown
parameter that enters the model nonlinearly. Using adaptive backstepping and neural network 共NN兲 approximation
techniques, an alternative adaptive NN controller is developed that achieves asymptotic output tracking control. A
novel integral-type Lyapunov function, which includes both system states and control input as its arguments, is
constructed to solve the difficulty associated with the nonaffine control problem. Numerical simulation is performed to
show the feasibility of the proposed approach for chemical process control. © 2005 ISA—The Instrumentation,
Systems, and Automation Society.

Keywords: Nonlinear systems; Adaptive control; Backstepping design; Lyapunov stability; Neural networks

1. Introduction In recent years, many interesting results for chemi-

Many industrial processes including distillation
columns, exothermic chemical reactions, and pH
neutralization can exhibit significant nonlinear be-
havior. If these processes are operated at a nomi-
nal steady state, the effects of the nonlinearities
may not be severe and traditional control schemes
based on local linearized models provide satisfac-
tory control performance. However, if the systems
are required to work over a wide range of condi-
tions, conventional linear control approaches can-
not handle the system nonlinearities. Under such
situations, closed-loop stability can be guaranteed
only when the controllers are sufficiently detuned,
leading to losses in closed-loop performance 关1兴.
*Corresponding author. Tel.: 共613兲 533-2788; fax:
共613兲 533-6637. E-mail address: guaym@chee.queensu.ca
cal process control have been reported in the lit-
erature 共关1– 4兴, and the references therein兲. Most
of these feedback linearization strategies require
exact mathematical models of the plant dynamics.
However, it is generally difficult in practice to ob-
tain an accurate model because of the inherent
complexity of the chemical processes or the lack
of informative process data. It is necessary to
implement adaptive techniques to handle system
uncertainties when high control performance is re-
quired. A number of applications of on-line adap-
tation in feedback controller design have been
documented in the literature that demonstrated su-
perior performance in the presence of unknown
and time-varying process parameters 关5–13兴.
In this paper, we consider the control problem of
a class of continuous stirred tank reactor 共CSTR兲
systems given in 关2,8兴. The process dynamics are
described by

0019-0578/2005/$ - see front matter © 2005 ISA—The Instrumentation, Systems, and Automation Society.
56 Zhang, Guay / ISA Transactions 44 (2005) 55–68

Table 1
Parameters of the CSTR system.
Parameter Description Nominal value
q process flowrate 100 l/min
C a0 concentration of component A 1 mol/l
Tf feed temperature 350 K
Tcf inlet coolant temperature 350 K
V volume of tank 100 l
ha heat transfer coefficient 7⫻105 J/min K
a0 preexponential factor 7.2⫻1010 min⫺1
E/R activation energy 1⫻104 K
(⫺⌬H) heat of reaction 2⫻104 cal/mol
␳1 ,␳c liquid densities 1⫻103 g/l
C p ,C pc heat capacities 1 cal/g K

共⫺⌬H兲a0 ha ␳ c C pc
a1⫽ ⫽1.44⫻1013 a 2⫽ ⫽6.987⫻102 a 3⫽ ⫽0.01
␳1Cp ␳ c C pc ␳ 1C pV

q temperature may cause significant bias in the

Ċ a ⫽ 共 C a0 ⫺C a 兲 ⫺a 0 C a e ⫺ E/RT a ,
V
q
Ṫ a ⫽ 共 T f ⫺T a 兲 ⫹a 1 C a e ⫺ E/RT a
V CSTR considered are simple, the model exempli-
⫹a 3 q c 关 1⫺e ⫺ a 2 /q c 兴共 T c f ⫺T a 兲 ,
where the variables C a and T a are the concentra-
tion and temperature of a tank, respectively; the
coolant flow rate q c is the control input and the
parameters of the plant are defined in Table I.
Within the tank reactor, two chemicals are mixed
and react to produce compound A at a concentra-
tion C a with the temperature of the mixture being
T a . The reaction is both irreversible and exother-
mic. The control objective is to manipulate the
coolant flow rate q c to control the concentration
C a at a desired value. It should be noticed that the
above description of CSTR is different from those
of conventional chemical reactor control systems
关4,14兴. In most applications, the coolant tempera-
ture is chosen as the manipulated variable and as-
sumed to be constant through the cooling coil 关2兴.
There are two major advantages of choosing the
flow rate q c as the manipulated control input.
First, the coolant temperature is allowed to vary
along the length of the cooling coil 关15兴. If the
cooling coil is long, which happens in many prac-
tical plants, the assumption of constant coolant
CSTR model. Second, manipulation of the flow
rate yields an easily implementable control
scheme compared to the manipulation of the cool-
ant temperature. Although the dynamics of the
共1兲 fies the difficulties associated with the control of
such processes. It should be clear to the reader that
the techniques developed are applicable to a much
broader class of such chemical reactors. In this
paper, we restrict ourselves to the above dynamics
to provide a clear account of the techniques pre-
sented.
The major challenge of this control problem is
that the plant does not assume the customary con-
trol affine system structure because the control in-
put q c appears nonlinearly. For the case where the
system model is known exactly, the application of
input-output linearization control for a large class
of general nonlinear systems has been investigated
in 关2兴. The application of an adaptive learning
control to uncertain nonlinear systems was studied
in 关16兴 and 关17兴. Control applications to CSTR
systems were provided to illustrate the advantage
of utilizing learning and adaptation. However, due
to the high complexity of neural network systems,
a rigorous stability analysis was not provided for
the closed-loop control system in 关16兴. The
scheme presented in 关17兴 requires the measure-
ment of the time derivative of C a , which is diffi-
 Zhang, Guay / ISA Transactions 44 (2005) 55–68
cult to estimate in practice. The approach pro-
posed circumvents this major limitation while
addressing the major technical difficulties associ-
ated with this control problem.
In this work, we investigate the application of an
alternative adaptive control method to the CSTR
plant 共1兲. The method combines Lyapunov’s sta-
bility design, adaptive backstepping, and neural
network approximation to derive the control algo-
rithm and adaptive law. The paper is organized as
follows. Section 2 presents some notations and
background. In Section 3, an adaptive backstep-
ping design is performed. Both stability and con-
trol performance of the closed-loop systems are
addressed as well. Numerical simulation results
are given in Section 4 to show the effectiveness of
the proposed approach.
2. Problem formulation
Let 储•储 denote the 2-norm, i.e., 储 A 储 ⫽ 冑兺 i⫽1 m
a i2
with A⫽ 关 a 1 ,a 2 ,...,a m 兴 苸R . Let 兩 • 兩 1 denote
T m
1-norm, i.e., 兩 A 兩 1 ⫽ 兺 i⫽1 m
兩 a i 兩 . It can be seen that
兩 A 兩 1 ⭐m 储 A 储 .
2 2
In this paper, we assume that plant parameters
q, C a0 , T f , T c f , and V are at the nominal values
given in Table 1. The activation energy E/R⫽1
⫻104 K is assumed to be known. The state vari-
ables, the input and the output, are defined as x
⫽ 关 x 1 ,x 2 兴 T ⫽ 关 C a ,T a 兴 T ,u⫽q c ,y⫽C a . Using this
notation, the CSTR plant 共1兲 can be reexpressed as
⍀ x ⫽ 兵 共 x 1 ,x 2 ,u 兲 兩 c 0 ⬍x 1 ⬍1, T c f ⬍T c0 ⭐x 2 ⬍T max , 0⭐u⭐u 0 其 ,
where the positive constants c 0 and T c0 are the
lower bounds of the concentration x 1 and tempera-
ture x 2 , respectively. The constants T max and u 0
are the maximum values of the tank temperature
and the coolant flow rate, respectively.
3. Adaptive backstepping design
Adaptive backstepping techniques were first de-
veloped in 关18兴 for parametric strict-feedback sys-
57
4
ẋ 1 ⫽1⫺x 1 ⫺a 0 x 1 e ⫺ 10 /x 2
,
4
ẋ 2 ⫽T f ⫺x 2 ⫹a 1 x 1 e ⫺ 10 /x 2
⫹a 3 u 共 1⫺e ⫺ a 2 /u 兲
⫻ 共 T c f ⫺x 2 兲 ,
y⫽x 1 , 共2兲
where the unknown constant parameters are a 0 ,
a 1 , a 2 , and a 3 . The control objective is to design
a controller u such that the output y follows a
desired signal y d .
There are two major difficulties associated with
this control problem. First, the unknown param-
eter a 2 appears nonlinearly. As a result, it cannot
be estimated easily using conventional identifica-
tion technique. Second, the control input appears
nonlinearly. Although it does not constitute a ma-
jor drawback for controller design, it requires a
more careful analysis than standard feedback lin-
earization and backstepping-based designs. In this
paper, an alternative design scheme is presented to
solve the adaptive control problem for processes
with similar structural difficulties.
We first state some assumptions that are re-
quired for the development detailed in the next
section.
Assumption 1: a 0 ⭐ā 0 , a 2 ⭓aគ 2 and a 3 ⭓aគ 3 with
known constants ā 0 , aគ 2 , and ā 3 .
Assumption 2: The desired signal vector x d
⫽ 关 y d ẏ d ÿ d y (3)
d 兴 苸⍀ d with known compact set
T
⍀ d 傺R 4 .
Given the parameters listed in Table 1 and the
irreversible exothermic property of the chemical
process, the operating condition of the CSTR sys-
tem 共1兲 is restricted to
共3兲
tems to overcome the restrictions of matching con-
ditions or growth conditions in nonlinear adaptive
control. This scheme has been further developed
in recent literature 关19–24兴 for a broad class of
nonlinear systems. From the first equation of plant
4
共2兲, we may consider the function x 1 e ⫺ 10 /x 2 as a
virtual control for x 1 . Then, by controlling x 2
through input u, we can drive the nonlinearity
4
x 1 e ⫺ 10 /x 2 to a desired one which achieves the
58 Zhang, Guay / ISA Transactions 44 (2005) 55–68

control target. Therefore, plant 共2兲 satisfies the tri- ␦

angular structure required in the backstepping de- V̇ s1 ⫽⫺k 1 z 21 ⫺z 1 z 2 ⫺ ˜␪ ␪ˆ . 共9兲
␥1 1 1
sign. In this section, a two-step backstepping shall
be performed to develop a nonlinear controller and It should be noticed that the adaptive law 共8兲 con-
an adaptive learning law. tains a leakage term ␦ ␪ˆ 1 with constant ␦ ⬎0,
Step 1: Define which is similar to the ␴-modification learning law
originally developed in 关25兴 for improving the ro-
z 1 ⫽x 1 ⫺y d , 共4兲
bustness of the adaptive system.
4 Step 2: It follows from Eqs. 共5兲, 共2兲, and 共7兲 that
z 2 ⫽x 1 e ⫺ 10 /x 2
⫺␣1 共5兲
4 104 x 1 ⫺ 104 /x
with smooth function ␣ 1 to be assigned later. It ż 2 ⫽ẋ 1 e ⫺ 10 /x 2
⫹ e 2 ẋ ⫺ ␣
2 ˙1
follows from Eqs. 共2兲 and 共4兲 that x 22
4 104 x 1 ⫺ 104 /x
ż 1 ⫽1⫺x 1 ⫺a 0 x 1 e ⫺ 10 /x 2
⫺ẏ d ⫽ẋ 1 e ⫺ 10
4
/x 2
⫹ e 2 ẋ ⫺k ż
2 1 1
x 22
⫽1⫺x 1 ⫺a 0 共 z 2 ⫹ ␣ 1 兲 ⫺ẏ d . 共6兲
⫺ ␪ˆ˙ 1 共 1⫺x 1 ⫺ẏ d 兲 ⫹ ␪ˆ 1 共 ẋ 1 ⫹ÿ d 兲
Choose a positive definite Lyapunov function can-
didate ⫽g 1 共 ␺ 兲 ⫺a 3 g 2 共 x 兲 f 共 u 兲 , 共10兲
z 21 where ␺ ⫽ 关 x 1 ␪ˆ 1 y d ẏ d ÿ d z 2 兴 T and the smooth
V 1⫽ .
2a 0 functions g 1 , g 2 , and f are defined as follows:

Its time derivative along Eq. 共6兲 is ⫺ 104 /x 2

104 x 1 ⫺ 104 /x
g 1 共 ␺ 兲 ⫽ẋ 1 e ⫹ 2 e 2 共 T ⫺x

冋 册
f 2
x2
z 1 ż 1 1
V̇ 1 ⫽ ⫽z 1 共 1⫺x 1 ⫺ẏ d 兲 ⫺ 共 z 2 ⫹ ␣ 1 兲 . 4
a0 a0 ⫹a 1 x 1 e ⫺ 10 /x 2
兲 ⫺k 1 ż 1 ⫺ ␪ˆ˙ 1 共 1⫺x 1 ⫺ẏ d 兲
Hence, choosing ␣ 1 as
⫹ ␪ˆ 1 共 ẋ 1 ⫹ÿ d 兲 ,
␣ 1 ⫽k 1 z 1 ⫹ ␪ˆ 1 共 1⫺x 1 ⫺ẏ d 兲 , 共7兲 104 x 1 ⫺ 104 /x
g 2共 x 兲 ⫽ e 2 共 x ⫺T 兲 ,
2 cf
where k 1 is a positive constant and ␪ˆ 1 is the esti- x 22
mate of the unknown parameter ␪ 1* ⫺1/a 0 , yields
f 共 u 兲 ⫽u 共 1⫺e ⫺ a 2 /u 兲 .
V̇ 1 ⫽⫺k 1 z 21 ⫺ 共 ␪ˆ 1 ⫺ ␪ *
1 兲共 1⫺x 1 ⫺ẏ d 兲 z 1 ⫺z 1 z 2 . Since
Now let ⳵ f共u兲 a2
⫽1⫺e ⫺ a 2 /u ⫺ e ⫺ a 2 /u ,
˜␪ 21 ⳵u u
V s1 ⫽V 1 ⫹ ,
2␥1 ⳵2 f 共u兲 a 22
⫽⫺ 3 e ⫺ a 2 /u , 共11兲
⳵u2 u
where ˜␪ 1 ⫽ ␪ˆ 1 ⫺ ␪ 1* and constant ␥ 1 ⬎0. Differen-
tiating with respect to time, that is, it follows that, by considering Assumption 1 and
the operating region 共3兲, we have
˜␪ 1 ␪8 1
V̇ s1 ⫽⫺k 1 z 21 ⫺˜␪ 1 共 1⫺x 1 ⫺ẏ d 兲 z 1 ⫺z 1 z 2 ⫹ , ⳵ f共u兲 aគ 2
␥1 ⭓b 0 ⫽1⫺e ⫺ aគ 2 /u 0 ⫺ e ⫺ aគ 2 /u 0 ⬎0,
⳵u u0
leads to the adaptive law 共12兲

␪ˆ˙ 1 ⫽ ␥ 1 共 1⫺x 1 ⫺ẏ d 兲 z 1 ⫺ ␦ ␪ˆ 1 共8兲 冏 ⳵2 f 共u兲

⳵u 2 冏 27
⭐b 1 ⫽ e ⫺3 , where e⫽2.718,
aគ 2
with 共13兲
 Zhang, Guay / ISA Transactions 44 (2005) 55–68 59

0⬍gគ 2 ⭐g 2 共 x 兲 ⭐ḡ 2 , 共14兲 As shown above, the Implicit Function Theorem

where gគ 2 ⫽infx苸⍀ x 兵 g 2 ( x ) 其 and
⫽supx苸⍀ x 兵 g 2 ( x ) 其 . In addition,
⳵ 关 g 1 共 ␺ 兲 ⫺a 3 g 2 共 x 兲 f 共 u 兲兴 ⳵ f 共u兲
⫽⫺a 3 g 2 共 x 兲 ⫽0.
⳵u ⳵u
Next, we invoke the Implicit Function Theorem to
establish the existence of a continuous function
␤ ( ␺ ) such that g 1 ( ␺ ) ⫺a 3 g 2 ( x ) f 关 ␤ ( ␺ ) 兴 ⫽0. By
the Implicit Function Theorem 关26兴, for any state
x a within the compact subset ⍀ x , if 共i兲 g 1 ( ␺ )
⫺a 3 g 2 ( x ) f ( u ) 兩 x⫽x a ,u⫽u a ⫽0 with ( x a ,u a ) 苸⍀ x ,
and 共ii兲 兵 ⳵ 关 g 1 ( ␺ ) ⫺a 3 g 2 ( x ) f ( u ) 兴 其 / ⳵ u 兩 x⫽x a ,u⫽u a
⫽0, then there exists a continuous function u
⫽ ␤ ( ␺ ) such that g 1 ( ␺ ) ⫺a 3 g 2 ( x ) f ( u ) ⫽0 in a
neighborhood of ( x a ,u a ) . Since 兵 ⳵ 关 g 1 ( ␺ )
⫺a 3 g 2 ( x ) f ( u ) 兴 其 / ⳵ u ⫽0,᭙ ( x,u ) 苸⍀ x , we con-
clude that for g 1 ( ␺ ) ⫺a 3 g 2 ( x ) f ( u ) ⫽0 with
( x,u ) 苸⍀ x , there exists a continuous function u
⫽ ␤ ( ␺ ) 关which may be trajectory-dependent i.e., a
different trajectory sequence ( x, ␺ ) may result in a
different function ␤ ( ␺ ) ] such that g 1 ( ␺ )
⫺a 3 g 2 ( x ) f ( u ) ⫽0 for ( x,u ) 苸⍀ x .
By the Mean Value Theorem 关26兴, the error
equation 共10兲 can be rewritten as
ż 2 ⫽g 1 共 ␺ 兲 ⫺a 3 g 2 共 x 兲 f 关 ␤ 共 ␺ 兲兴
⫺a 3 g 2 共 x 兲 冕 0
1 ⳵ f 共u␭兲
⳵u␭
d␭ 关 u⫺ ␤ 共 ␺ 兲兴
guarantees the existence of a continuous function
ḡ 2 ␤ ( ␺ ) only. No analytical expression ␤ ( ␺ ) is
available for controller design. Hence, a function
approximator is needed to estimate the unknown
function ␤ ( ␺ ) . A linear function approximator
关e.g., the radial basis function 共RBF兲 neural net-
works 共NNs兲 关27兴, high-order NNs 关28兴, or fuzzy
systems 关29兴兴 is used in this paper, which has the
following form:
␤ 共 ␺ 兲 ⫽W * T S 共 ␺ 兲 ⫹ ␮ l , 共18兲
where ␮ l is the function approximation error, W * ,
the ideal weight with weight number l. The basis
function vector S ( ␺ ) ⫽ 关 s 1 ( ␺ ) ,s 2 ( ␺ ) ,...,s l ( ␺ ) 兴 T
苸R l is taken according to the chosen function ap-
proximator. In this paper, a high-order neural net-
work 共HONN兲 given in 关28兴 is used in the follow-
ing controller design. The basis functions are
selected as
s i 共 ␺ 兲 ⫽ 兿 关 s 共 ␺ j 兲兴 d j (i) ,
j苸I i
e ␺ j ⫺e ⫺ ␺ j
i⫽1,2,...,l, with s 共 ␺ j 兲 ⫽ , 共19兲
e ␺ j ⫹e ⫺ ␺ j
where 兵 I 1 ,I 2 ,...,I l 其 is a collection of l unordered
subsets of 兵 1,2,...,6其 and d j ( i ) are non-negative
integers. Universal approximation results in 关28兴
indicate that, if l is sufficiently large, then ␮ l can
be made arbitrarily small over a compact set.
With the NN function approximation 共18兲, error

⫽⫺a 3 g 2 共 x 兲关 u⫺ ␤ 共 ␺ 兲兴 冕0
1 ⳵ f 共u␭兲
⳵u␭
d␭,
equation 共17兲 can be written as
ż 2 ⫽⫺a 3 b u g 2 共 x 兲关 u⫺W * T S 共 ␺ 兲 ⫺ ␮ l 兴 . 共20兲
共15兲 Consider the following control structure
where u ␭ ⫽␭u⫹ ( 1⫺␭ ) ␤ ( ␺ ) .
u⫽k s 共 z 2 兲 z 2 ⫹Ŵ T S 共 ␺ 兲 , 共21兲
Defining

冕 1 ⳵ f 共u␭兲 where Ŵ is the estimate of W * chosen to satisfy

b u⫽ d␭, 共16兲 储 Ŵ 储 ⭐w m in the design of the adaptive law. The
0 ⳵u␭
design function k s ( z 2 ) can be viewed as a control-
it follows from Eq. 共12兲 that ⳵ f ( u ␭ ) / ⳵ u ␭ ⭓b 0 ler gain to be specified.
⬎0 and, therefore, Define W̃⫽Ŵ⫺W * . We may rewrite Eq. 共20兲
as
b u⫽ 冕 0
1 ⳵ f 共u␭兲
⳵u␭
d␭⭓ 冕 b d␭⫽b .
0
1
0 0 ż 2 ⫽⫺a 3 b u g 2 共 x 兲关 k s 共 z 2 兲 z 2 ⫹W̃S 共 ␺ 兲 ⫺ ␮ l 兴 .
共22兲
As a result, Eq. 共15兲 can be expressed as
As b u is a function of x 1 , x 2 , and u 共and u is a
ż 2 ⫽⫺a 3 b u g 2 共 x 兲关 u⫺ ␤ 共 ␺ 兲兴 . 共17兲 function of ␺ and Ŵ), it is known that b u is a
60 Zhang, Guay / ISA Transactions 44 (2005) 55–68

function of ␺ and Ŵ. Hence, we may denote ␦ z

V̇ 2 ⭐⫺k 1 z 21 ⫺z 1 z 2 ⫺ ˜␪ 1 ␪ˆ 1 ⫹ 2 ż 2
b u ( ¯␺ ,z 2 ,Ŵ ) ⫽b u with ¯␺ ⫽ 关 x 1 ␪ˆ 1 y d ẏ d ÿ d 兴 T ␥1 a 3b u

冐冕冐
共noting ␺ ⫽ 关 ¯ ␺ T z 2 兴 T ) . Choose a positive-definite
function w0 z2 ⳵ b ⫺1
u
⫹ ␺˙ 储 ␴ d ␴
储¯
a3 0 ⳵u

V 2 ⫽V s1 ⫹
1
a3
冕 0
z2
b ⫺1
u 共 ␺ , ␴ ,Ŵ 兲 ␴ d ␴ .
¯ 共23兲 ⫹
1
a3
冕冐 冐 z2

0
⳵ b ⫺1
⳵u
u ˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ .
兩 Ŵ

共27兲
Its time derivative along Eq. 共9兲 is Using Eqs. 共13兲 and 共16兲, we know that

␦
V̇ 2 ⫽⫺k 1 z 21 ⫺z 1 z 2 ⫺ ˜␪ 1 ␪ˆ 1 ⫹
z2
ż
冏 冏 冏冕
⳵bu
⳵u
⫽
1

0
⳵2 f 共u␭兲
⳵ u ␭2
d␭ ⭐ 冏 冕 冏 ⳵ ⳵f u共 u 兲 冏d␭
0
1 2

2
␭
␭

␥1 a 3b u 2
⭐ 冕 b d␭⫽b .
冋 册
1

冕 ⳵ b ⫺1 T
1 z2 u ⳵ u 共 ¯␺ , ␴ ,Ŵ 兲 ˙ 1 1
⫹ ¯␺ ␴ d ␴ 0
a3 0 ⳵u ⳵ ¯␺ 共28兲

⫹
1
冕 z2 ⳵ b ⫺1
⳵u
u
Ŵ 冋
˙ T ⳵ u 共 ␺ , ␴ ,Ŵ 兲 ␴ d ␴ ,
¯
⳵ Ŵ
册 Equations 共12兲 and 共16兲 show that b u ⭓b 0 ⬎0.
Hence

冏 冏冏
a3

冏 冏 冏冏 冏
0
⳵ b ⫺1
u 1 ⳵bu 1 ⳵bu b1
共24兲 ⫽ 2 ⭐ 2 ⭐ 2 . 共29兲
⳵u bu ⳵u bu ⳵u b0
Using Eqs. 共27兲–共29兲 and error equation 共22兲, in-
˙ is to be assigned in
where the rate of adaptation Ŵ equality 共27兲 can be reexpressed as
the following. Noting controller 共21兲, we have
␦
V̇ 2 ⭐⫺k 1 z 21 ⫺z 1 z 2 ⫺ ˜␪ ␪ˆ ⫺z g 共 x 兲关 k s 共 z 2 兲 z 2
␥1 1 1 2 2
⳵ u 共 ¯␺ , ␴ ,Ŵ 兲
⳵ Ŵ
⫽S 共 ¯␺ , ␴ 兲 ,
⫹W̃S 共 ␺ 兲 ⫺ ␮ l 兴 ⫹
w 0b 1
a 3 b 20
冕 z2

0
␺˙ 储 ␴ d ␴
储¯

⳵ u 共 ¯␺ , ␴ ,Ŵ 兲
⫽Ŵ Ta
⳵ S 共 ¯␺ , ␴ 兲
, 共25兲
⫹
b1
a 3 b 20
冕 0
z2
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ .
兩 Ŵ
⳵ ¯␺ ⳵ ¯␺
It is observed that 兩 z 1 z 2 兩 ⭐ ( k 1 z 21 /2) ⫹ ( z 22 /2k 1 )
and a 3 ⭓aគ 3 共by Assumption 1兲. As a result, we
where Ŵ a is the corresponding weight vector for have
input ¯ ␺ . It can be seen from Eq. 共19兲 that the first k1 2 ␦
derivative of s ( ␺ j ) with respect with ␺ i is V̇ 2 ⭐⫺ z ⫺ ˜␪ ␪ˆ ⫺W̃ T S 共 ␺ 兲 g 2 共 x 兲 z 2 ⫺g 2 共 x 兲
2 1 ␥1 1 1
d 关 s ( ␺ i ) 兴 /d ␺ i ⫽ 4/关 ( e ␺ i ⫹e ⫺ ␺ i ) 2 兴 . Since 4/关 ( e ␺ i
⫹e ⫺ ␺ i ) 2 兴 ⭐1,᭙ ␺ i 苸R, we have
⫻关 k s 共 z 2 兲 z 22 ⫺ ␮ l z 2 兴 ⫹z 22 冋 1
2k 1
⫹
w 0b 1C ␺
2aគ 3 b 20 册
冐 ⳵ u 共 ¯␺ , ␴ ,Ŵ 兲
⳵ ¯␺
冐
⭐w 0 ⫽ sup 兵 兩 Ŵ a 兩 1 其 . 共26兲
ˆ 储 W 储 ⭐w m
⫹
b1
aគ 3 b 20
冕 z2

0
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ ,
兩 Ŵ 共30兲

where the positive constant C ␺ is the upper bound

It then follows from Eqs. 共24兲–共26兲 that ␺˙ 储 共see Appendix A兲.
of the function 储 ¯
 Zhang, Guay / ISA Transactions 44 (2005) 55–68 61

The following theorem provides the NN learn- Theorem 3.1. Consider the closed-loop adap-
ing law and design function k s ( z ) such that the tive system consisting of plant (2), controller (21),
stability and tracking performance are guaranteed and adaptive law (8). If (i) the following projec-
for the closed-loop system. tion NN learning algorithm is used:

␥ 2S 共 ␺ 兲 g 2共 x 兲 z 2 ,

冦
if 储 Ŵ 储 ⬍w m or

˙⫽ 储 Ŵ 储 ⫽w m and Ŵ T S 共 ␺ 兲 g 2 共 x 兲 z 2 ⭐0
Ŵ 共31兲
ŴŴ T S 共 ␺ 兲 g 2 共 x 兲 z 2
␥ 2S 共 ␺ 兲 g 2共 x 兲 z 2⫺ ␥ 2 , if 储 Ŵ 储 ⫽w m and Ŵ T S 共 ␺ 兲 g 2 共 x 兲 z 2 ⬎0
储 Ŵ 储 2

with constant ␥ 2 ⬎0 and initial condition 储 Ŵ ( 0 ) 储 ⭐w m , and (ii) design function k s ( z 2 ) is chosen as

k s 共 z 2 兲 ⫽k 2 ⫹ 冉
1 1
gគ 2 2k 1
⫹
w 0b 1C ␺
2 ⫹
2aគ 3 b 0 冊
b 1␥ 2l
兩z 兩
aគ 3 b 20 2
共32兲

with constant k 2 ⬎0, then (i) all of the signals in the closed-loop system are bounded, and (ii) the mean
square tracking error converges to a small neighborhood of zero whose size can be adjusted by the design
parameters ␦ , ␥ 1 ,k 1 ,k 2 , and NN node number l.
Proof: (i) Consider a Lyapunov function candidate

储 W̃ 储 2
V s ⫽V 2 ⫹ .
2␥2
Its time derivative along Eq. 共30兲 is

V̇ s ⭐⫺
k1 2 ␦
2
z 1 ⫺ ˜␪ 1 ␪ˆ 1 ⫺W̃ T S 共 ␺ 兲 g 2 共 x 兲 z 2 ⫺g 2 共 x 兲关 k s 共 z 2 兲 z 22 ⫺ ␮ l z 2 兴 ⫹z 22
␥1
1
2k 1
⫹
w 0b 1C ␺
冋
2aគ 3 b 20 册
⫹
b1
aគ 3 b 20
冕 0
z2
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ ⫹ 1 W̃ T W̃
兩 Ŵ
␥2
˙. 共33兲

The NN weight tuning algorithm 共31兲 is a standard projection learning law, which guarantees that
储 Ŵ ( t ) 储 ⭐w m ,᭙t⬎0 for 储 Ŵ ( 0 ) 储 ⭐w m 共see 关25兴 for the proof兲. Following arguments similar to those used
for the application of the projection algorithm in 关25兴, we obtain

V̇ s ⭐⫺
k1 2 ␦
2
z 1 ⫺ ˜␪ 1 ␪ˆ 1 ⫺g 2 共 x 兲关 k s 共 z 2 兲 z 22 ⫺ ␮ l z 2 兴 ⫹z 22
␥1
1
2k 1
⫹ 冋
w 0b 1C ␺
2 ⫹
2aគ 3 b 0
b1
aគ 3 b 20 册 冕
0
z2
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ .
兩 Ŵ
共34兲
Considering Eq. 共32兲, ḡ 2 ⭓g 2 ( x ) ⭓gគ 2 , and 兩 ␮ l z 2 兩 ⭐ ( k 2 /2) z 22 ⫹ ( ␮ l2 /2k 2 ) , we further have

V̇ s ⭐⫺
k1 2 ␦
2 ␥1 冋k2
z 1 ⫺ ˜␪ 1 ␪ˆ 1 ⫺g 2 共 x 兲 k s 共 z 2 兲 z 22 ⫺ z 22 ⫺
2
␮ 2l
2k 2
⫹z 22
1
2k 1
⫹
w 0b 1C ␺
2aគ 3 b 20
册 冋 册
⫹
b1
aគ 3 b 20
冕0
z2
˙ T ¯
k1 2 ␦
兩 Ŵ S 共 ␺ , ␴ 兲 兩 ␴ d ␴ ⭐⫺ z 1 ⫺ ␪ 1 ␪ 1 ⫺g 2 共 x 兲
2 ␥1
˜ ˆ
k 2 2 ␮ 2l
z ⫺
2 2 2k 2
⫺
b1
冉
aគ 3 b 20 2 2
冊
␥ lg 共 x 兲 兩 z 2 兩 3 冋
⫺ 冕 0
z2
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ .
兩 Ŵ 册 共35兲
62 Zhang, Guay / ISA Transactions 44 (2005) 55–68

˙ T S ( ¯␺ , ␴ ) 兩 ⭐2 ␥ lg ( x ) 兩 z 兩 共see Appendix B for the proof兲, we have

Applying the inequality 兩 Ŵ 2 2 2

冕 0
z2
˙ T S 共 ¯␺ , ␴ 兲 兩 ␴ d ␴ ⭐2 ␥ lg 共 x 兲 兩 z 兩
兩 Ŵ 2 2 2 冕
0
z2
␴ d ␴ ⫽ ␥ 2 lg 2 共 x 兲 兩 z 2 兩 3 .

Therefore,

V̇ s ⭐⫺
k1 2 ␦
2
z 1 ⫺ ˜␪ 1 ␪ˆ 1 ⫺g 2 共 x 兲
␥1
k 2 2 ␮ 2l
2
z 2⫺
2k 2
k1
⫽⫺ z 21 ⫺
2
冉
␦
␥1
␪ˆ 1 ⫺
␪*
2
1
冊 冉 冊 2
⫹
␦ ␪ *1 2
4␥1
冉
⫺g 2 共 x 兲 z ⫺
2 2 2k 2
冊
k 2 2 ␮ 2l
.
共36兲
Now define a compact set

再
⍀⫽ 共 z 1 ,z 2 , ␪ˆ 1 兲 冏 k1 2 k2
2
z 1 ⫹ គg 2 z 22 ⫹
2
␦
␥1
␪ˆ 1 ⫺冉␪*
2
1
冊 2
⭐
␦ ␪ *1 2 ḡ 2 ␮ 2l
4␥1
⫹
2k 2
. 冎 共37兲

We can see that V̇ s ⬍0 as long as z 1 , z 2 , and ␪ˆ 1 Since the NN approximation error ␮ l can be re-
remain outside the compact set ⍀. It follows that, duced as the NN node number l increasing, the
applying a standard Lyapunov argument, z 1 , z 2 , tracking performance may be improved if a large
and ␪ˆ 1 are bounded. As the projection algorithm size NN is applied. Inequality 共38兲 implies that the
output tracking error converges to a neighborhood
共31兲 guarantees 储 Ŵ 储 ⭐w m , we conclude that all
of the origin whose size can be reduced by in-
the signals in the closed⫺loop control system are
creasing the controller gains k 1 and k 2 , or the
bounded.
node number of neural networks, or by using a fast
共ii兲 It follows from Eq. 共36兲 and g 2 ( x ) ⭐ḡ 2 that
learning rate ␥ 1 . This completes the proof. Q.E.D.
k 1 2 ␦ ␪ 1* 2 ḡ 2 ␮ 2l
V̇ s ⭐⫺ z 1 ⫹ ⫹ .
2 4␥1 2k 2

Integrating the above inequality over 关 0,t 兴 , 4. Simulation results

k1
2
冕 0
t
z 21 dt⭐V s 共 0 兲 ⫺V s 共 t 兲 ⫹
␦ ␪ *1 2
4␥1
t
Table 1 shows the plant parameters used in the
simulation. The initial condition of the CSTR sys-
tem is x ( 0 ) ⫽ 关 0.1,440.0兴 T and the control objec-
⫹
ḡ 2
2k 2
冕 ␮ dt.
0
t
2
l
tive is to make the concentration y track the set-
point step change signal r ( t ) . In order to get a
smooth reference signal, a linear reference model
Hence, the mean square tracking error satisfies is used to shape the discontinuous reference signal
r ( t ) for providing the desired signals y d , ẏ d , and
1
t
冕 0
t
z 21 dt⭐
2
V 共 0 兲⫹
k 1t s
␦ ␪ *1 2
2 ␥ 1k 1
ÿ d . The following reference model is to be imple-
mented:
y d共 s 兲 w 2n
⫹
ḡ 2
k 1k 2t
冕 ␮ dt, t⬎0
t

0
2
l
⫽
r 共 s 兲 s 2 ⫹2 ␨ n w n s⫹w 2n
,

where the natural frequency w n ⫽5.0 rad/min and

and
the damping ratio ␨ n ⫽1.0 with the initial condi-
tions y d ( 0 ) ⫽0.1, ẏ d ( 0 ) ⫽0.0, ÿ d ( 0 ) ⫽0.0.
lim
t→⬁
1
t
冕0
t
z 21 dt⭐
␦ ␪ *1 2
⫹
ḡ 2
lim
2 ␥ 1 k 1 k 1 k 2 t→⬁ t
1
冕 ␮ dt.
0
t
2
l
To evaluate the control performance for the pro-
posed adaptive scheme, a PI controller is also con-
共38兲 sidered for comparison. We implement a fixed-
 Zhang, Guay / ISA Transactions 44 (2005) 55–68 63

Fig. 1. Reference signal y d 共‘‘—’’兲, PI control 共‘‘- -’’兲, and adaptive NN control 共‘‘¯’’兲.

Fig. 2. Response of NN estimated weight 储 Ŵ 储 .

64 Zhang, Guay / ISA Transactions 44 (2005) 55–68

Fig. 3. Manipulated variable for the tracking NN control.

gain proportional plus integral 共PI兲 control law The simulation results given in Fig. 1 indicate
commonly used in chemical process control given that the output response of the adaptive controller
by displays some oscillation during the initial 5 min.

冕 共 y ⫺y 兲d ␶
kc t
u pi ⫽k c 共 y d ⫺y 兲 ⫹ d 共39兲
Ti 0 plant dynamics 共note that the initial NN weights
with k c ⫽440, T i ⫽0.8, and u pi ( 0 ) ⫽100.0 关16兴 as
an alternative to the proposed scheme. The param-
eters of the PI controller 共39兲 are selected to give
an adequate response for step changes r ( t ) in the
set-points of ⫾0.02 mol/l about the nominal prod-
uct concentration of 0.1 mol/l.
Second-order neural networks were selected for
the controller 共21兲. The element s i ( ␺ ) in Eq. 共19兲
are chosen as s ( ␺ 1 ) , s ( ␺ 2 ) ,...,s ( ␺ 6 ) and all pos-
sible combinations of them 关i.e., s ( ␺ i ) s ( ␺ j ) with
i, j⫽1,2,3,4,5,6] . The total number of NN nodes
is 30. The parameters in the adaptive law 共31兲 are
taken as w m ⫽30.0, ␥ 2 ⫽5.0, and the initial NN
weight Ŵ ( 0 ) ⫽1.0⫻10⫺4 . The other parameters
of the controller 共21兲 are k 1 ⫽1, k 2 ⫽100, ␥ 1 ⫽1,
and ␴ ⫽0.1.
This behavior is due to the lack of information that
the initial neural networks has about the CSTR
were chosen as zero values兲. After several NN
learning periods, it can be seen from Fig. 1 that the
tracking error of the adaptive controller decreases
significantly. Fig. 2 confirms the boundedness of
the NN weight estimates during the adaptation.
The numerical experiment shows that better track-
ing performance is achieved with the proposed
adaptive NN controller.
The value of the manipulated variable required
in the NN controller and the PI controller is shown
in Figs. 3 and 4, respectively. The NN controller is
considerably more aggressive, but the self-tuning
nature of the NN controller provides an appropri-
ate control input strategy after a few set-point
changes. Note that the PI controller could not be
tuned more aggressively. Any increase in the con-
 Zhang, Guay / ISA Transactions 44 (2005) 55–68 65

Fig. 4. Manipulated variable for the tracking PI control.

Fig. 5. Closed-loop response with the NN controller with undesirable controller tuning.
66 Zhang, Guay / ISA Transactions 44 (2005) 55–68
Fig. 6. Manipulated variable for the NN controller with undesirable controller tuning.
troller gain yielded sustained oscillations at the
high set-point value. The reported performance re-
flects the best possible tuning of the PI controller
for this highly nonlinear process.
In practical applications, high oscillations of the
output are possible. These oscillations are related
to the lack of knowledge about the system nonlin-
earities initially. However, they can also be in-
duced by the specific choice of tuning parameters.
As an example, Fig. 5 shows the tracking response
and the control action of the closed-loop system
when the value of ␥ 2 is increased to 10 and the
controller gain k 2 is reduced to 10. The corre-
sponding manipulated variable is shown in Fig. 6.
A very undesirable behavior results. This issue can
also be resolved by careful a priori training of the
neural networks off-line. However, there is no
guarantee in practice that data with sufficient in-
formation would be available initially. Therefore,
the simulation study reflects a typical situation
where only limited knowledge about the system
nonlinearity is known before a controller is imple-
mented. The issue of iterative and off-line training
of neural networks remains an active area of in-
vestigation that warrants further research that is
outside the scope of this study. In most applica-
tions, careful tuning of the NN controller remains
the best strategy to ensure a proper response of the
closed-loop system 关30兴.
5. Conclusion
In this paper, we have presented an adaptive NN
control scheme for a class of general nonlinear
chemical process control systems. Lyapunov’s sta-
bility techniques and an adaptive backstepping de-
sign have been used to develop the control struc-
ture and adaptive learning law. It has been proven
that the proposed controller guarantees the stabil-
ity and asymptotic tracking performance of the
closed-loop adaptive systems. The effectiveness of
the proposed control method has been illustrated
through a numerical simulation study.
 Zhang, Guay / ISA Transactions 44 (2005) 55–68 67

¯˙ 储
Appendix A: Upper Bound of 储␺ it follows from Eq. 共8兲 that

From ¯ ␺ ⫽ 关 x 1 ␪ˆ 1 y d ẏ d ÿ d 兴 T , Eqs. 共2兲 and 共8兲, ␪ˆ˙ 1 ⭐⫺ ␴ ␪ˆ 1 ⫹ ␥ 1 C 0 .

we have
Hence, by the comparison principle 关20兴, we have
␺˙ 储 ⫽
储¯ 冑 ẋ 21 ⫹ ␪˙ˆ 21 ⫹ẏ 2d ⫹ÿ 2d ⫹y (3)2
d ⭐ f ␺ 共 x,x d , ␪ 1 兲
ˆ that

with
4
f ␺ ( x,x d , ␪ˆ 1 ) ⫽1⫺x 1 ⫹ā 0 x 1 e ⫺ 10 /x 2 ⫹ 兩 ẏ d 兩 兩 ␪ˆ 1 共 t 兲 兩 ⭐ 兩 ␪ˆ 1 共 0 兲 兩 e ⫺ ␴ t ⫹ 冕e 0
t
⫺ ␴ (t⫺ ␶ )
␥ 1C 0d ␶
d 兩 ⫹ 兩 ␥ 1 ( 1⫺x 1 ⫺ẏ d ) z 1 ⫺ ␴ ␪ 1 兩 .
⫹ 兩 ÿ d 兩 ⫹ 兩 y (3) ˆ
We first find the upper bound of 兩 ␪ˆ 1 兩 . Defining ␥ 1C 0
⭐ 兩 ␪ˆ 1 共 0 兲 兩 ⫹ .
␴
C 0⫽ sup 兵 兩 共 1⫺x 1 ⫺ẏ d 兲 z 1 兩 其 共A1兲
x苸⍀ x ,x d 苸⍀ d Defining a compact set

再 冏
⍀ ␺ ⫽ 共 x,x d , ␪ˆ 1 兲 x苸⍀ x , x d 苸⍀ d , 兩 ␪ˆ 1 兩 ⭐ 兩 ␪ˆ 1 共 0 兲 兩 ⫹
␥ 1C 0
␴ 冎 共A2兲

␺˙ 储 ⭐C ␺ with C ␺ ⫽sup(x,x d , ␪ˆ 1 )苸⍀ ␺ 兵 f ␺ ( x,x d , ␪ˆ 1 ) 其 .

it is concluded that 储 ¯

˙ TS(␺
Appendix B: Proof of 円Ŵ ¯ ,␴)円Ï2␥2lg2(x)円z2円

Case 1: 储 Ŵ 储 ⬍w m or 储 Ŵ 储 ⫽w m and Ŵ T S ( ␺ ) g 2 ( x ) z 2 ⭐0. It follows from the adaptive law 共31兲 that

˙ T S 共 ¯␺ , ␴ 兲 兩 ⫽ ␥ g 共 x 兲 兩 z 兩 S T 共 ␺ 兲 S 共 ¯␺ , ␴ 兲 .
兩 Ŵ 2 2 2

We know that S T ( ␺ ) S ( ¯
␺ , ␴ ) ⭐l, with l being the node number of neural networks because every element
of S ( ␺ ) is positive and less than 1. Hence 兩 Ŵ ˙ T S ( ¯␺ , ␴ ) 兩 ⭐ ␥ lg ( x ) 兩 z 兩 .
2 2 2
Case 2: 储 Ŵ 储 ⫽w m and Ŵ T S ( ␺ ) g 2 ( x ) z 2 ⬎0. In this case,

兩 Ŵ 2 2 冏冋
˙ T S 共 ¯␺ , ␴ 兲 兩 ⫽ ␥ g 共 x 兲 S T 共 ␺ 兲 S 共 ¯␺ , ␴ 兲 ⫺ S 共 ␺ 兲 ŴŴ S 共 ␺ , ␴ 兲 z
T T

储 Ŵ 储 2
¯
2 册冏
冋
⭐ ␥ 2 g 2 共 x 兲 兩 z 2 兩 S T 共 ␺ 兲 S 共 ¯␺ , ␴ 兲 ⫹ 冏 S T 共 ␺ 兲 ŴŴ T S 共 ¯␺ , ␴ 兲
储 Ŵ 储 2
冏册 .

Since S T ( ␺ ) Ŵ and Ŵ T S ( ¯
␺ , ␴ ) are scalar functions, bounded by 兩 Ŵ 兩 1 , we obtain

˙ T S 共 ¯␺ , ␴ 兲 兩 ⭐ ␥ g 共 x 兲 兩 z 兩 l⫹
兩 Ŵ 2 2 2 冉 兩 Ŵ 兩 21
储 Ŵ 储 2
冊 .

˙ T S ( ¯␺ , ␴ ) 兩 ⭐2 ␥ lg ( x ) 兩 z 兩 .
By the relationship 兩 Ŵ 兩 21 ⭐l 储 Ŵ 储 2 , it is concluded that 兩 Ŵ 2 2 2
68 Zhang, Guay / ISA Transactions 44 (2005) 55–68
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