Sliding Mode Based Observer-Controller Structure For Fault-Resilient Control in DC Servomotors

This article has been accepted for publication in a future issue of this journal, but has not been
fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TIE.2017.2721883, IEEE
Transactions on Industrial Electronics
IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS
Sliding Mode Based Observer-Controller

Structure for Fault-Resilient Control in DC
Servomotors
Suneel Kumar Kommuri, Member, IEEE, Jagat Jyoti Rath, Member, IEEE,
and Kalyana Chakravarthy Veluvolu, Senior Member, IEEE
Abstract—This paper presents a robust observer- scenarios with statistics can be found in [4]. However, an
controller scheme for sensor fault-resilient control in DC erroneous feedback of the speed sensor (due to faults/failures)
servomotor drive-based applications (such as antennae can lead the complete system to unstable condition. In general,
control for satellite tracking, radio telescopes and con-
veyor belt systems). In contrast to the earlier works on sensor faults/failures occur during the drive operation due to
abrupt faults, this paper considers incipient sensor faults gain drop, disconnections, noise, drift etc [5]. Therefore, much
and detects using the Higher Order Sliding Mode (HOSM) attention is devoted in the recent literature on developing the
observer, followed by a tracking controller which main- sensor fault-tolerant control (FTC) techniques under the chal-
tains the acceptable drive performance. A robust output lenging operating conditions to achieve uninterrupted system
tracking controller based on fractional Integral Terminal
Sliding Mode (ITSM) surface with HOSM terms is developed operation.
to ensure faster and finite-time convergence of the error The existing FTC approaches are classified as passive and
trajectory. Moreover, various slopes of incipient faults are active. In the passive FTC approach, the faults are considered
considered to analyze the detection delay, and switching as non-structural bounded uncertainties − the control design
strategy reconfigures the system with the estimated speed has to be robust against the class of possible faults without
whenever the residual crosses the threshold. The closed-
loop performance in the presence of most common faults involving fault detection and isolation (FDI) stages. On the
(abrupt, incipient, and intermittent) is experimentally vali- other hand, active FTC employs an FDI stage to detect and
dated on a DC motor-based Industrial Mechatronic Drives isolate the faulty location, and then actively reconfigures to
Unit (IMDU) with belt-drive inertial load (which exhibits non- ensure acceptable system performance [6], [7]. Active FTC
linear friction, torque variations and other disturbances). has been successfully applied for motor control systems [8]–
Index Terms—Closed-loop stability, DC servomotors, [12] to achieve the desired control objective irrespective of
fault-tolerant control, higher-order sliding modes, incipient sensor faults. In [8], two active FTC schemes are proposed for
sensor faults. the speed sensor faults based on EKF (for speed estimation)
generated residuals. Two separate controllers are designed for
I. I NTRODUCTION healthy (PI controller) and faulty (H∞ controller) modes to
ensure good dynamic performance. A logic-based detection
ERVO control system with control loop principles plays
S a major role for automation development in industrial
processes such as satellite tracking systems, conveyor systems,
algorithm that selects the estimated speed (using model ref-
erence adaptive system (MRAS)) and reconfigures the system
in the presence of sensor faults is proposed in [9]. In [10],
and electric vehicles etc [1]–[3]. These servo systems generally a FTC algorithm based on bank of Luenberger observers is
employ speed sensors (encoders or resolvers) for provid- proposed for all the sensor variables (voltage, speed, and
ing speed/position measurement feedback to allow smooth currents) required in vector control PMSM drives. Recently,
speed/torque control especially at low speeds. A detailed an enhanced FTC algorithm based on an adaptive EKF in
review of various position/speed sensors and the possible fault [11] is proposed for accommodating speed sensor faults,
and claims robustness against stochastic noises and transient
Manuscript received October 31, 2016; revised February 13, 2017, operating conditions. Sliding mode based observers/controllers
April 09, 2017, and May 13, 2017; accepted May 26, 2017. This work have been popular due to their robustness properties against
was supported by the National Research Foundation of Korea (NRF) disturbances and uncertainties [13]–[17]. A classical sliding
funded by the Ministry of Education, Science and Technology (Grant No.
2017R1A2B2006032). (Corresponding author: Kalyana Chakravarthy mode observer (SMO) is employed in [12] to estimate the
Veluvolu) rotor speed and an optimal PI controller (controller parameters
Suneel K. Kommuri is with the School of Electrical Engineering, Korea are obtained by solving bilinear matrix inequalities (BMIs)) is
University, Seoul, South Korea, 136-713 (e-mail: kommurisk@ieee.org).
Jagat J. Rath is with the LAMIH, CNRS UMR 8201, U- designed to achieve sensorless or sensor fault-resilient control
niversity of Valenciennes, Valenciennes, France, 59314 (e-mail: performance. Most of the above works focused on achieving
JagatJyoti.Rath@univ-valenciennes.fr). sensor FTC in the case of complete sensor outage and/or inter-
Kalyana C. Veluvolu is with the School of Electronics Engineering,
College of IT Engineering, Kyungpook National University, Daegu, South mittent fault conditions. Moreover, PI controller is employed
Korea, 702-701 (e-mail: veluvolu@ee.knu.ac.kr). for faulty (when the estimated speed as feedback) as well
0278-0046 (c) 2017 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission. See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/TIE.2017.2721883, IEEE
as non-faulty (measured speed as feedback) scenarios, which observer-controller structure is ensured during normal,
may result in closed-loop system unstable in the presence of transient, and reconfiguration phases.
external disturbances and/or uncertainties. Nevertheless, to the • A faster speed recovery time can be achieved with the
authors’ best knowledge, there are few or even no results ITSM controller in comparison with the conventional
on investigating the detection delay for the case of incipient schemes (PI and first-order SM controllers). A practical
sensor faults towards achieving sensor FTC, which motivates DC servomotor drive with belt-drive inertial load (which
us to address this issue with the advanced observer-controller exhibits nonlinear friction and torque variations) is con-
structure via experimental analysis. figured to validate the proposed FTC structure in all the
In noisy environments, measurement noise causes severe cases of faults.
chattering in the control signal [18], [19] due to inherent struc- The proposed observer-controller structure contains the fol-
ture of most sliding mode based approaches. The boundary lowing major steps to deal with the speed sensor faults: 1)
layer control [20] is the most common approach to reduce Formulation of the observer for speed estimation, 2) Detection
the chattering, however, this approach becomes ineffective in and isolation of faults, 3) Controller stability during transient
case of high-level measurement noise. In [18], a well-known phase (presence of incipient faults), and 4) Closed-loop stable
filtered SM control (FSMC) that employs an external low- speed tracking control (presence of estimated speed).
pass filter for the control signal is proposed to deal with
noise-induced chattering. Higher-order sliding mode (HOSM) II. P ROBLEM F ORMULATION AND DYNAMIC M ODELS
observers/controllers based on super-twisting algorithm (STA)
have been popular due to their unique features/advantages In this paper, a belt-drive inertial load connected through the
such as chattering attenuation, finite-time convergence, state rotor shafts is considered. The considered belt-drive inertial
observation and unknown input reconstruction, and robustness load exhibits nonlinear friction, torque variations and other
against bounded uncertainties (see [21]–[24] for various prac- disturbances. The objective is to track the specified velocity
tical applications). In [21], STA-based robust adaptive con- reference trajectory in the presence of sensor faults to achieve
troller for the attitude tracking control of a 3 DOF helicopter high-precision motion control of the drive.
(travel, elevation, and pitch angles) is proposed. The superior
performance in terms of elevation and travel angles accuracy A. DC Servomotor Dynamics
is experimentally validated in comparison with the classical The dynamic modeling of the DC servomotor can be
PID controller. Further, vertical forces of heavy vehicle are expressed as follows [27]:
estimated using higher-order sliding mode observer to identify
the suspension stiffness and unsprung mass [22], and predict dia R Kb 1
= − ia − ω+ V (1)
the rollover risk [23]. The effectiveness of the approach is dt L L L
validated on a practical instrumented tractor driving on the dω Kt B 1
road at various speeds and maneuvers. Moreover, a robust = ia − ω − ∆ (2)
dt J J J
control solution based on STA is proposed in [24] to air where, ia is the armature current, R is the electric resistance,
supply control in autonomous polymer electrolyte membrane L is the electric inductance, Kb is the back-emf constant, ω is
fuel cell (PEMFC) systems. Experimental results on a PEMFC the angular velocity of the rotor, V is the input voltage, Kt is
system (comprising of air compressor, oxygen humidifiers, the motor torque constant, J is the inertia of the rotor, B is the
and membrane electrode assemblies (MEAs)) validate the viscous damping coefficient, and ∆ represents the unmodelled
robust stabilization of oxygen stoichiometry while avoiding disturbances such as load torque and nonlinear friction etc.
chattering effects.
Strongly motivated by the aforementioned works, in this
paper, a HOSM based observer-controller structure for sensor B. Sensor Fault Modeling
FTC in DC servomotors is proposed. The main contributions The possible faulty situations in the mechanical components
of this paper are clearly listed as follows: are classified as abrupt, incipient, and intermittent [28]. Abrupt
• A single framework based on robust observer-controller fault − typically modeled as step-like deviation and is usually
structure is proposed to deal multiple sensor faults such persistent. Incipient − develops slowly, also persistent, and
as abrupt, incipient and intermittent faults. In particular, amplitudes are small in comparison to abrupt faults, and
unlike existing works on abrupt faults [9], [25], [26], this are usually due to wear and tear of the sensor components.
paper mainly considers incipient faults (which develop Intermittent − unlike the persistent nature of the abrupt and
slowly) to attain stable reconfiguration before they result incipient faults, these faults occur in an unpredictable manner
in a catastrophe. for short intervals.
• Moreover, various slopes of incipient faults are consid- However, incipient faults are of main focus in this paper,
ered to analyze the detection delay that incurred due to the and it is important to detect and take proper action before they
fixed threshold. Indeed, a relation between the detection evolve into complete failures.
delay and slope of the incipient faults is developed for a The following incipient fault model can be considered due to
particular operating condition by running the closed-loop its continuous nature in the mechanical sensor operation [29],
system under various faulty scenarios. dF
• The practical bounded stability of the closed-loop = Sf F + U, and F (0) = 0 (3)
dt
where F is the incipient sensor fault signal, Sf is appropriate where, κ1i , i = 1, 2, 3 are the properly chosen positive gains.
slope of the signal, and U is an unknown vector. From the current dynamics (1) and the observer dynamics (4),
Remark 1: It can be noted that, for mechanical components, the estimation error dynamics can be written as
different damage levels (or bounds) of U are obtained by real R Kb Kb Kb
experiences and/or statistical data [29]. ṡi = − si + ζ(si ) + ω =Ω+ ζ(si )
L L L L
Assumption 1: The continuous developing fault signal F is
said to be in the incipient sensor fault region if U is bounded where Ω represents the lumped perturbation terms and can be
as 0 < ||U || < U1 . expressed as Ω = Ω1 (si ) + Ω2 . Since ia , ∆(t), B and J are
Assumption 2: In this paper, it is assumed that the faults occur persistent in a compact set, there exists a constant ρω such
during the motor drive operation because of less chances of that the boundedness of the perturbation terms can be hence
sensor failures during initial start-up of the drive. established as
kΩ1 k ≤ ρω1 ksi k
ref ITSM iaref ITSM
V kΩ̇2 k ≤ ρω2
Controller Controller DC-Drive
(Speed) (Current)
where ρω1 , ρω2 are two positive constants of the perturbations.
ia
Employing (5) for the current dynamics, the convergence of
or ^
the estimation error can be then obtained if the following
Detection
^ Super-twisting inequalities are satisfied
and observer
Switching (Speed)
 2κ ρ +κ ρ −κ κ 1/2
12 ω1 13 ω2 12 13
 κ > ρω
 11 2κ13 − 21


Speed 2ρω2 −κ211

sensor κ12 > 2 , (6)

ρ κ211
2 + 2κ12
 ω 1
Faults


 κ
13 > κ12 +2κ2 −κ12
(Abrupt, incipient and intermittent) 11
Consequently, the convergence of sliding surface si to the

Fig. 1. Overview of the proposed FTC scheme. origin in finite-time can be ensured similar to [31] and [32].
Once the sliding mode is established and when the linear
perturbation Ω2 vanishes, the rotor speed can be reconstructed
III. S PEED S ENSOR FAULT-R ESILIENT C ONTROL as Z t
ω̂ = κ12 sign(si )dt (7)
The overall architecture for speed sensor fault-resilient 0
control is depicted in Fig. 1. A super-twisting observer is Employing this estimated speed from the current dynamics,
employed to estimate the rotor speed of the drive, which will the detection of fault based on a threshold and subsequent
be given as a feedback when fault in the speed measurement design of fault tolerant controller will be carried out.
is detected. Further, an external speed control-loop to make
the speed error ω ref − ω tend as close as possible to zero
B. Fault Detection and Decision Mechanism
for achieving fast convergence and high tracking accuracy.
Moreover, an internal torque/current control-loop in conjunc- In feedback control systems, the time delay (time between
tion with speed control-loop is considered to provide better the occurrence and detection of the fault) is inevitable, which
speed and torque dynamic performance and more importantly, can lead the closed-loop system to unstable condition. In
to ensure the torque/current limit of the motor is not exceeded practice, a tradeoff that gives stable level of performance
during transients. should be identified. In order to timely detect (detection before
the closed-loop performance deteriorates to an unacceptable
extent) the fault, a residual based on measured and estimated
A. Super-twisting Observer Design for Speed Estimation speeds is generated as follows:
To estimate the speed as an unknown input from the current Residual, ωres (t) = ω̂(t) − ω(t) (8)
dynamics, a higher order sliding mode linear STA based
observer is formulated as follows: The absolute value of the generated residual is compared
with the threshold to detect the fault presence. For instance,
R Kb 1
î˙ a = − îa + ζ(si ) + Vi (4) if the absolute value exceeds the predefined threshold, a
L L L speed sensor fault is detected and vice versa. The selection
of threshold plays a crucial role in early detection of the
where si is the estimation error defined as si = îa − ia , îa is
fault. In the literature, there is no standard algorithm for
the estimated current, Vi is control input to be designed later.
selecting the optimal threshold value. In some studies [33]–
ζ(si ) is robust term based on linear STA described as [30],
[35], threshold values are selected in two-ways − 1) according
[31]
to the experience gained while observing the range of residual
Z t during the fault-free operation and 2) considering minimum
1
ζ(si ) = −κ11 |s| 2 sign(si ) − κ12 sign(si )dt − κ13 si (5) operating speed of the drive to determine the threshold (i.e.,
0
slightly smaller value than the minimum operating speed is set where ηω (σω ) is the robust STA based control given as
as threshold). On the other hand, a different problem with an Z t
1
adaptive threshold for the Luenberger observer-based phase- ηω (σω ) = −κ21 |σω | sign(σω ) − κ22
2 sign(σω )dt (12)
shift fault detection is considered in [36] to avoid the missing 0
alarms that occur due to the model uncertainties and parameter with κ21 , κ22 > 0 being positive constants. Employing the
variations. A significant fault with 5◦ phase-shift under 10% above control law, the sliding surface σω converges to the
variations in the motor parameters and a low-speed limit are origin in finite-time.
considered. However, the selection of adaptive threshold with Proof: The closed loop stability of the speed control is ana-
respect to parametric uncertainties is not of our interest, since lyzed for two scenarios i.e. for normal operation and a faulty
it is well-known that the STA-based observers are robust to scenario. Consequently, three phases are separately discussed
the parametric uncertainties [26], [37]. i.e. sensor based (non-faulty speed) operation, transient phase
In this paper, a threshold value of 8% of the reference speed due to the faulty sensor measurement and sensorless (estimated
is set to achieve acceptable level of performance − by consid- speed) operation with the controller.
ering the sensor noise, transient speed error and running the 1) Drive operation during non-faulty sensor: In this phase,
setup several times with various kinds of simulated faults. The the measured non-faulty speed is employed as feedback for the
validation of threshold and its affect on the drive performance speed controller. One can define the speed error in the non-
during abnormal scenarios are clearly demonstrated in the faulty scenario as follows:
experimental results section. eω,1 = ω ref − ωnf
meas
= ω ref − ω = eω (13)
Based on the detection result, the decision (switching) meas
mechanism will feedback either the estimated speed or the where measured speed ωnf equals to the actual speed ω
measured speed (faulty or non-faulty speed) to the speed during non-faulty case. The sliding surface dynamics of σω
controller. Since incipient faults are considered, one can define can be then computed as
the continuous feedback speed in three modes as follows: σ̇ω = ėω + Γω eα
ω
meas

 Non-faulty speed (ωnf ) during fault-free case From speed dynamics of the motor (2), it can be written as
meas
ωc = Faulty speed (ωf ) in the presence of fault Kt B meas 1

Estimated speed (ω̂) if the fault is detected σ̇ω = ω̇ ref − Vω + ωnf + ∆ + Γ ω eαω
J J J
After the speed reconfiguration (i.e., switching to estimated The sliding dynamics of σω with the feedback control (11)
speed instead of faulty measured speed), the robust speed and employed can be then given as
current controllers achieve the speed tracking control objective 1
σ̇ω = ∆ − ηω (σω )
with fast error convergence to provide smooth operation of the J
motor drive. It can be shown that the uncertainty ∆ is bounded as
˙ ≤ ρ1
|∆|
C. Integral Terminal Sliding Mode (ITSM) based STA for
where ρ1 > 0 is a positive bound. With the bound of the
Speed and Current Control
uncertainty established, the finite-time convergence of the
The controller for the outer speed loop as shown in Fig. 1 proposed controller employing the control (11) can be then
takes into consideration the feedback speed dynamics and the established similar to [40]. Hence, the closed-loop stability of
effect of fault to provide stable fault-tolerant control action. the feedback control Vω when the drive is operating under
The speed control is formulated as a tracking problem with non-faulty conditions is established. In the event of a fault,
the error given as the fault detection and reconfiguration mechanism takes over.
eω = ω ref − ω (9) 2) Drive operation during faulty-sensor (Transient phase):
In the event of a fault, the faulty speed is provided as
where ω ref is the desired speed reference and ω is the the feedback to the speed controller. This transient phase
actual speed of the drive. To regulate the speed dynamics, continues till the fault is detected as discussed in the previous
the following integral-terminal sliding surface [38], [39] can section. The stability of the controller during this period is
be designed as dependent on the type of fault and the residual generated. In
Z t this scenario, when the faulty speed is employed as feedback
σω = e ω + Γ ω eα
ω (τ )dτ (10) to the controller, the drive operation gradually slows down due
0 to the continuity nature of the fault. Considering the case of
where Γω > 0 is a design parameter, α = pqωω , with pω , qω are incipient faults (3), the faulty speed signal i.e. ωfmeas can be
odd integers such that pω > qω > 0. written in terms of additive perturbation as
Theorem: For the DC servo motor system (1)−(2) with the ωfmeas = ω + F ⇒ ω = ωfmeas − F (14)
sliding surface σw in (10), consider the following feedback
control where F represents the fault. In this case, the speed tracking
error can be defined as follows:
J B
Vω = ω̇ ref + ωc + Γω eαω + η ω (σω ) (11) eω,2 = ω ref − ωfmeas + F = eω,1 + F (15)
Kt J
Employing this faulty speed in the feedback control Vω , the tuning the gains κ11 , κ12 − it can be ensured that the rate
sliding dynamics for σω can be expressed as of convergence of the proposed observer is faster than the
B meas 1 dF speed controller. Hence, with the observer converging in finite-
meas
σ̇ω = (ω − ωnf ) + ∆ − ηω (σω ) + (16) time, the error in the reconstruction of the speed (7) is always
J f J dt
bounded. By proper selection of the controller and observer
Assuming that after incipient faults occur − based on practical
gains, the radius of convergence of the closed-loop system can
operating range and the size of the fault, the linear system
then be reduced. With the reconfigured speed based controller
performance will degrade to a level of bound U1 (see Assump-
in operation, the drive gradually starts accelerating to track
tion 1 and (3)) where the fault is detected with the help of
the desired speed reference and stable closed-loop operation
selected threshold. Under such operating conditions, it should
of the drive is ensured in all scenarios.
be highlighted that the faulty speed of the drive is bounded
Remark 3: The closed-loop system further comprises of the
based on the severity of incipient fault and controlled with the
current-loop where the control is formulated to ensure conver-
proposed controller till it crosses the bound U1 . Thus, from
gence of the tracking error defined as
(14) and (16), the sliding dynamics can be now expressed as
= B 1 dF ei = iref − ia
J (F ) + J ∆ − ηω (σω ) +
σ̇ω a
dt
≤ ψ − ηω (σω ) where iref is the reference current generated from the output
a
where |F | ≤ U1 and |B 1
| = |ψ| ≤ ρ2 and dF of the speed controller. Similar to the speed controller design,
+ J (F )
+ J∆ dt
U1 is a level of bound based on the severity of fault. Hence, the sliding surface σi is designed as
the convergence of sliding dynamics can be now established Z t
similar to the earlier non-faulty sensor case. On the other hand, σi = ei + Γi eβi (τ )dτ (20)
0
for abrupt or intermittent faults − the controller will only
operate if faulty speed is within the acceptable limit of bound where Γi > 0 is a design parameter, β = pqii , with pi , qi are
(generally, these faults are categorized with higher amplitudes odd integers such that pi > qi > 0. The following control law
so that reconfiguration follows immediately after the fault is is designed
detected). With the observer (4) converging in finite-time, it
R Kb

ref β
can be assured that the detection in case of various faults is fast Vi = L i̇a + ia + ωc + Γi ei + ηi (σi ) (21)
L L
enough such that the transient phase is short. Consequently,
the closed-loop stability of the drive during the transient phase with ηi (σi ) being the robust STA term similar to (12). Employ-
is thus ensured employing the feedback control Vω . Whenever ing this control, the current dynamics can be then stabilized
the residual crosses threshold value, the fault will be detected ensuring finite-time convergence. The stability analysis for the
and the transient phase becomes the reconfiguration phase. current dynamics is similar to the speed dynamics control
3) Drive operation during faulty-sensor (Reconfiguration discussed earlier.
phase): With the fault detected, the transient phase is over
and the estimated speed is now employed as feedback. The 150
ωref ωmeas ω
Speed (rpm)
closed-loop control action is then based on the stability of the 100

observer-controller pair. From (8), one can define (a)
ω = ω̂ − ωres (17) Fault-in
Therefore, the speed tracking error during reconfiguration -10

ωthr
Residual (rpm)
phase can be written as ωres

100
eω,3 = ω ref − ω̂ + ωres = eω,1 + ωres (18) Switching (b)
Remark 2: It can be noted that the transient and reconfiguration

phases are similar in nature and they become normal phase if 0
F = ωres = 0. 0 5 10 15
Consequently, the integral-terminal sliding surface σω as Time(s)
shown in (10) is designed and the control law is formulated
Fig. 2. Fault-resilient control in the presence of abrupt sensor faults: (a)
as Reference, measured and actual speeds. (b) Threshold and residual.
J B
Vω = ω̇ ref + ω̂ + Γω eα ω + η (σ
ω ω ) (19)
Kt J
Thus, the speed component in the feedback control Vω is now
replaced by the estimated speed from the proposed observer. D. Simulation Studies
It can be noted that the estimated speed signal employed In order to validate the performance of the proposed
is a reconstructed signal dependent on the convergence of FTC approach, the real system is simulated in MAT-
the STA observer for the current dynamics. Therefore, the LAB/SIMULINK using the model in (1)−(2). Indeed, actual
presence of estimated speed in the controller dynamics leads DC servomotor parameters are considered for the simulations
to the estimation error in the closed-loop control. By properly and the results obtained are shown in Figs. 2−4.
150 TABLE I
ωref ωmeas ω
S PECIFICATIONS OF PMSM
Speed (rpm)
100 (a) Quantity Symbol Value

Delay=2.6s Rated speed ω 3702 [r/min]
Resistance R 1.01 [Ω]
Inductance L 1.6 [mH]
50 Torque constant KT 0.0612 [N-m/A]
ωref ωmeas ω
Rotor inertia J 2.6×10−5 [kg-m2 ]
Speed (rpm)
150 Viscous friction B 1.2×10−5 [N-m-s]

(b)
100
Delay=1.1s of the fault increases. Moreover, intermittent faults with an
50 unpredictable manner are considered and the performance of
0 5 10 15
their FTC is highlighted in Fig. 4. Intermittent faults are in-
Time(s)
jected in two different locations with different fault signatures
as shown in Fig. 4(a). However, the proposed approach is
Fig. 3. Fault-resilient control in the presence of incipient sensor faults:
(a) with fault slope Sf = 0.3. (b) with fault slope Sf = 0.7. efficient in continuously detecting the faults and maintaining
the speed tracking performance to its desired reference. The
200 corresponding residual and the selected threshold are depicted
Fault-in Fault-out Fault-in Fault-out
in Fig. 4(b).
Speed (rpm)
100 (a)
IV. E XPERIMENTAL R ESULTS
The IMDU base unit contains four shafts configured in
ωref ωmeas ω
-10 square pattern. In which, two of the shafts are driven by two
ωthr motors while the other two are free to spin. The motors are
Residual (rpm)
ωres
100 driven by linear current control amplifiers with the capability
(b) of 100 W each. A high-resolution quadrature optical encoder
is used to measure the rotor position. The control algorithm
is implemented via a DS1104 controller board with Real-
0 Time Interface (RTI). The specifications and parameters are
0 5 10 15 20 25 provided in Table I. The sampling frequency of the drive is
Time(s) set to 500 Hz.
Fig. 4. Fault-resilient control in the presence of intermittent sensor
r
faults: (a) Reference, measured and actual speeds. (b) Threshold and Moto Adjustable
residual. shaft Inertial Loads
Co
DS
Three kinds of faults are considered to validate the perfor- ntr 110
er 4
oll
mance of observer-controller structure. A threshold value of Drive Belt
bo
ard
8 rpm is selected to detect and isolate the presence of fault.
DU it Co
Based on the residual dynamics and threshold selection, the IM Un CP1104* m
fault is detected and reconfigured using the estimated speed. se pu
Ba te
r(
An abrupt fault at t = 10s is considered and the transition from PC
)
measured sensor to estimated speed is depicted in Fig. 2(a).
The HOSM controller maintains the actual speed to track its Emergency
reference after the speed reconfiguration. The corresponding stop
residual together with the preset threshold are depicted in Fig.

2(b). In the same way, incipient faults with different slopes
(Sf = 0.3, 0.7) and their detection towards FTC are shown in Fig. 5. Industrial plant emulator setup (CP1104∗ is the equivalent I/O
Fig. 3. In Fig. 3(a), the faulty slope of 0.3 is considered and a terminal board made by Quanser Inc).
detection delay of Dd = 2.6s is observed. During the transient
phase, the faulty speed is controlled by the ITSM controller In order to achieve the objective of this paper, a large inertial
which resulted in a speed bound of 92 rpm. However, the load (inertia disc with 4 brass masses − usually the considered
faulty speed is reconfigured with the estimated speed and applications have large inertial loads) of JL = 3.911 ×
controlled thereafter when the generated residual crosses the 10−4 [kg-m2 ] is added to one of the free shafts as depicted
threshold. To further analyze the detection delay, the faulty in Fig. 5. Two different pulleys (one is on the motor shaft
slope of Sf = 0.7s is considered in Fig. 3(b) and obtained a and the other is on the load shaft) with a belt is configured
detection delay of Dd = 1.1s due to the higher slope. Hence, to drive the inertial load. And a belt tensioner is mounted
it can be inferred that the detection delay decreases if slope and attached to the IMDU to cause the belt to experience
the tension. Hence, the shaft with the inertial load exhibits ωref ω ω̂
nonlinear friction and load disturbances to the velocity of the 700
500
Speed (rpm)
DC motor drive. The proposed observer-controller technique (a)
should be able to compensate these lumped disturbances in 0
order to achieve high-accuracy motion control performance.
The following higher-order sliding mode observer-controller -500
25
parameters have been selected for achieving speed sensor iref
a
fault-resilient control of the considered IMDU: κ11 = 0.3,
Current (A)
10
κ12 = 4, κ13 = 0.6, Γω = 0.15, pω,i = 5, qω,i = 3, 0 (b)
κ21 = 1.5, κ22 = 17, Γi = 1.8, κ31 = 0.5 and κ32 = 18.
All experiments are carried out with the belt-drive inertial -20
load attached to the motor shaft - to replicate the scenario 25
ia
of considered applications with their loads.
Current (A)
10
0 (c)
150
Speed (rpm)
100
-25
(a)
0 5 10 15 20
Time (s)
ωref ω ω̂
0
7.5
Fig. 7. Observer and controller performances during speed reversal
from −500 to +500 rpm: (a) Reference, actual and estimated speeds.
Current (A)
(b) Reference current. (c) Actual current.

0 (b)
-7.5 iref
a ia speed follows the actual speed well during the speed reversal
20 as depicted in Fig. 7(a). Since the motor is driving an inertial
Residual (rpm)
load (JL = 3.911 × 10−4 [kg-m2 ]) via a belt at higher speed

0
reversals, there is transient speed error during step changes
(c)
of the reference speed. Consequently, the reference current
ωthr ωres generated from the output of the speed controller is shown
-20 in Fig. 7(b). The corresponding armature controlled current
0 2.5 5 7.5 10
(which is limited during the transient speed change − claims
Time (s)
the importance of current controllers in the inner-loop to
Fig. 6. Observer and controller performances at 100 rpm: (a) Reference, prevent the motor damage) is depicted in Fig. 7(c), except
actual and estimated speeds. (b) Reference current and actual current. for the noise levels, they match very well.
(c) Residual and threshold.
200
ωref ωmeas ω
Speed (rpm)
A. Observer and Controller Performances during Fault-

Free Operation 100 (a)
The effectiveness of the observer and controller perfor-

mances are validated during the fault-free drive operation Fault-in
-10
at ω ref = 100 rpm (constant reference speed is generally ωthr
Residual (rpm)
ωres
employed for the conveyor belt systems and antenna control). 100
The estimated and actual speeds obtained using the proposed Switching (b)
observer-controller structure are depicted in Fig. 6(a). It can
be observed that the estimated speed (obtained with STA
observer) exactly tracks the actual speed (which is controlled 0
7.5
by the ITSM controller) and the reference speed. Further, the
Current (A)
actual current of the armature tracks the reference current

which is generated from the output of the speed controller (c)
and is shown in Fig. 6(b). Since the drive is under fault-free iref
a
-7.5 ia
operation, as expected, the corresponding detection residual is
below the selected threshold value, which can be observed in 0 5 10 15
Fig. 6(c). Hence, the steady-state speed (which is considered Time (s)
as an unknown in the observer design) estimation performance
Fig. 8. Fault-resilient control in the presence of abrupt sensor faults: (a)
at 100 rpm is satisfactory as the system is stable. Reference, measured and actual speeds. (b) Threshold and residual. (c)
Furthermore, the performance with speed reversal dynamics Current control (Reference and actual currents).
from −500 to 500 rpm is illustrated in Fig. 7. The estimated
B. Observer-Controller Performance in the Presence of analytically. Initially, a slowly growing incipient sensor fault
Faults with slope of Sf = 0.3 is considered as shown in Fig.
As mentioned earlier, in this paper, three classes of faults are 9. Further, the threshold validation with the corrupted speed
injected to testify the performance of the proposed observer- sensor signal (deliberately polluted with the periodic noises)
controller structure. is also discussed. At first, the performance with the selected
threshold under noisy speed signal is shown in Fig. 9(a). It
Case 1 − Abrupt sensor faults: In the first case, an abrupt
can be seen that the fault is applied at t = 5s and obtained a
(a step-like deviation and is usually persistent) sensor fault
detection delay of Dd = 4.2s with the selected threshold of
for a ramp-change speed profile (usually considered for the
8 rpm. A transient boundedness of approximately 80 rpm can
applications of antennae control for satellite tracking and radio
be observed during the faulty speed feedback to the system.
telescopes) is considered [41] as shown in Fig. 8. It is crucial to
After the detection, the controller takes over with the estimated
detect the fault in a timely manner and take appropriate control
speed to continue the drive operation. In the second case, a
action to avoid catastrophic consequences. It can be seen that
threshold change at 1s from 8 to 12 is considered − detection
the measured speed is faulted at t = 10s (i.e., sensor is discon-
delay of Dd = 5.6s is obtained due to the higher threshold
nected, which is the worst possible fault scenario) as shown in
and the system continues to work after the detection with the
Fig. 8(a). The detection algorithm detects the presence of fault
estimated speed as depicted in Fig. 9(b). In the third case,
immediately and activates the switching scheme to provide
a threshold change at 1s from 8 to 4 is considered − due
the estimated speed as feedback instead of measured speed.
to inappropriate selection of lower threshold for the obtained
The speed reconfiguration to continue the drive operation
residual, the speed signal reconfigures whenever the residual
can be observed in Fig. 8(a). The corresponding detection
crosses the threshold and cannot follow the speed reference till
residual together with the selected threshold can be seen in
the faulty residual completely crosses the threshold, which is
Fig. 8(b). Moreover, the current control performance is also
explicitly shown in Fig. 9(c). Hence, it can be concluded that
depicted in Fig 8(c), where the actual armature current well-
the selected optimal threshold provides the satisfactory perfor-
tracks the current reference generated by the speed controller.
mance (Fig. 9(a)) compared to the other abnormal threshold
Hence, from the experimental results, it can be inferred that
scenarios (Figs. 9(a) & (c)).
the proposed scheme provides smooth drive operation in the
presence of abrupt sensor faults with the existence of load
perturbation. 300
ωref ωmeas ω
Speed (rpm)
Fault-in
ωref ωmeas ω ωthr (a)
200 100
Speed (rpm)
Fault-in Delay=4.2s Delay=3s

0
100 (a) ωthr
Position (rad/sec) Residual (rpm)
ωres
100
0 (b)
Fault-in Switching
Speed (rpm)
150 Delay=5.6s
100 (b) 0
3.2
0
0 (c)
Fault-in
Speed (rpm)
150 Normal Reconfiguration

phase Transient phase phase
(c) -8
0 5 10 15
Time (s)
0
0 5 10 15
Fig. 10. Fault-resilient control with incipient fault slope of Sf = 0.7: (a)
Time (s) Reference, measured and actual speeds. (b) Threshold and residual. (c)
Rotor position.
Fig. 9. Threshold validation in the presence of incipient (with slope of
Sf = 0.3) faults with sensor noise: (a) Performance with the selected
threshold (8%). (b) Performance with the higher threshold (12%). (c)
To analyze the fault detection performance in terms of
Performance with the lower threshold (4%). the detection delay, various slopes of faulty signature are
considered. Fig. 10 shows the fault-resilient control perfor-
Case 2 − Incipient sensor faults: In this case, incipient mance for an incipient fault of slope 0.7. The measured and
sensor faults with various slopes are considered experimen- actual speeds with respect to the reference speed are shown in
tally. For the sake of exposition, detailed results with few Fig. 10(a). It can be observed that the detection delay now
cases of faults are presented to analyze the detection delay and decreased to 3.0s since the faulty speed has higher slope
its switching performance. However, a generalized expression compared to the earlier faulty case (Fig. 9). The corresponding
for the detection delay in terms of fault slope is obtained residual that shows the switch-over performance is depicted
300 5
ωref ωmeas ω
Data
Speed (rpm)
Detection delay (Dd )

Fitted curve
Fault-in
(a)
3
100
Delay=3.1s
0 1.5
ωthr
Residual (rpm)
ωres
100 0.5
(b) 0 0.5 1.0 1.3
Switching Slope(Sf )
Fig. 13. The relation between the slope of faulty signal (Sf ) and
0 detection delay (Dd ) for various trials.
0 5 10 15
Time (s)
as the slope of fault increases and grows slowly during the
Fig. 11. Fault-resilient control with incipient fault slope of Sf = 0.7 initial phase. To generalize the above, we considered more
under 20% R variation: (a) Reference, measured and actual speeds. (b)
Threshold and residual. analysis with various slopes of faulty signals and the result is
shown in Fig. 13 using polynomial curve fitting. The relation
300 for the detection delay (Dd ) as the function of slope (Sf )
ωref ωmeas ω
under the conditions considered in this paper is obtained as
Speed (rpm)
Fault-in
(a) Dd = −0.506(Sf )2 − 2.345Sf + 4.871 (22)
100
Remark 5: It is worth to point that the above relationship
Delay=3.25s
0 is obtained under the considered speed reference and load
ωthr conditions using the selected threshold value.
Residual (rpm)
ωres
100
(b) 200
Fault-in Fault-out Fault-in Fault-out
Switching
Speed (rpm)
0 100 (a)
0 5 10 15
Time (s) ωref ωmeas ω
0
ωthr
Residual (rpm)
Fig. 12. Fault-resilient control with incipient fault slope of Sf = 0.7

ωres
under 20% L variation: (a) Reference, measured and actual speeds. (b) 100
Threshold and residual. (b)
in Fig. 10(b). And, the rotor position signal is also shown in 0

Fig. 10(c), in which, a clear frequency change due to speed 0 5 10 15 20 25
deceleration during the transient phase can be observed. The Time (s)
frequency is almost same in the other two phases (normal
and reconfiguration) as the speed is constant at 100 rpm. Fig. 14. Fault-resilient control in the presence of intermittent sensor
faults: (a) Reference, measured and actual speeds. (b) Threshold and
Moreover, from (4), it can be seen that the accurate estimation residual.
of speed requires machine parameters R and L. Therefore, the
robustness of the fault-resilient control performance is verified Case 3 − Intermittent sensor faults: Intermittent faults
with 20% variations in R and L under loading conditions. Fig. usually occur in an unpredictable manner as shown in Fig. 14.
11 and Fig. 12 depict the parameter sensitivity study of the Since these faults are not persistent, the detection mechanism
proposed scheme in which the speed estimation errors (within should be active throughout the drive operation. Actual and
the selected threshold) are robust to variations in parameters. measured speeds during the intermittent faulty scenario are
The measured and actual speeds in the presence of incipient depicted in Fig. 14(a). The actual speed follows the reference
sensor faults with slope of 0.7 are shown in Figs. 11(a) and speed even in the presence of faulty sensor condition with the
12(a). The corresponding detection performance with residual use of accurate estimated speed. This means that the proposed
and threshold are shown in Figs. 11(b) and 12(b). However, scheme detects the successive instants of faulty speed measure-
it can be highlighted that the threshold has to be adjusted ment and provides the estimated speed as feedback to achieve
according to the higher levels of parametric uncertainties to uninterrupted system drive operation. The corresponding resid-
avoid false alarms. ual with instants of fault-in and fault-out can be observed
Therefore, according to the above two cases (slopes of Sf = in Fig. 14(b) after the detection with the use of threshold.
0.3, 0.7), it can be inferred that the detection delay decreases Hence, it can be inferred that the proposed scheme provides
satisfactory performance during the intermittent unpredictable severity of the fault affects the transient phase and hence the
faulty signature as the drive continues with stable tracking. boundedness of the controller error. Therefore, for the practical
operating conditions considered, the faulty speed is bounded
10 during this phase. Furthermore, as the speed is estimated from
Controller error (rpm)
the inner-loop current dynamics, the presence of fault does not

affect the speed estimation and therefore it can be effectively
0 employed for the feedback once the fault is detected.
Moreover, the proposed control performance is compared
Normal Transient Reconfiguration with the conventional control schemes such as PI controller
-10
phase phase phase [9], [26] and first-order SM controller [42]. For the compari-
son, an incipient fault slope of Sf = 0.7 is considered, which
0 5 10 15
resulted in a speed recovery time (i.e., time between the speed
Time (s)
deviation due to the fault and the speed convergence to the
Fig. 15. Speed controller error convergence in three phases. reference using reconfiguration) of 3.6s with transient speed
boundedness of approximately 80 rpm using the proposed
observer-controller structure (See Fig. 10). The performance
V. D ISCUSSIONS of the conventional PI controller is shown in Fig. 16(a).
Based on the observer-controller framework, practical The threshold is set to 8 rpm based on the knowledge of
bounded stability of the closed-loop system during normal, the residual generated during the implementation. It can be
transient, and reconfiguration phases is established. In the observed that the bound of faulty speed decreases to 55 rpm
speed and current controllers design, a fractional ITSM surface and further results in a large overshoot. Due to long transient
with HOSM terms based on STA are employed. In comparison phase and large overshoot, the actual speed tracks the desired
to the general HOSM approaches that employ linear sliding speed reference with a speed recovery time of 4.7s. Therefore,
surfaces, the use of a terminal surface with fractional terms it can be inferred that proposed controller performance is
ensures faster and finite-time convergence of the error trajec- superior in terms of speed recovery time, overshoot and fast
tory with good precision [38]. The usage of integral surface dynamic response compared to the conventional PI controller.
also reduces the reaching time to the sliding hyperplane. In addition, the performance with conventional SM controller
Moreover, the HOSM approach [26] also reduces the well- [42] is also shown in Fig. 16(b). It can be noted that the thresh-
known chattering while preserving the robustness properties. old has been set to 16 rpm due to the effect of chattering (due
Hence, in this paper, by employing fractional ITSM surface to discontinuous nature of this control) during the implemen-
− the controllers enable a faster convergence of the tracking tation. The presence of chattering can be clearly observed in
error to the equilibrium in comparison to the conventional Fig. 16(b). Though the SM controller bounds the faulty speed
linear sliding surface design. It can be seen from Fig. 15 at 70 rpm, the convergence of the actual speed to the desired
that the ITSM-HOSM approach ensures faster convergence speed reference is significantly less (speed recovery time is
of the controller error to equilibrium and thus enables fast 4.3s) compared to the proposed observer-controller structure.
reconfiguration after the fault occurrence. It should be noted that a spike after the fault detection can
be observed due to the use of discontinuous control during
300 the reconfiguration phase. However, the controller achieves
ωref ωmeas ω
speed tracking control objective with less convergence rate
Speed (rpm)
Fault-in Overshoot and higher chattering compared to the ITSM controller.

(a) The main advantages and/or limitations of the proposed
100 observer-controller structure can be summarized as follows:
• The proposed method is efficient to detect the incipient
0
ωref ωmeas ω faults with short transient phase and to ensure continuous
250
Speed (rpm)
drive operation by reconfiguring the faulty sensor with the

Fault-in estimated sensor information. Moreover, the effectiveness
(b)
of the structure to detect other faults such as abrupt and
intermittent is also validated.
Chattering • Fractional ITSM surface in the controller design ensures
0
0 5 10 15 faster convergence, therefore, the actual speed recovery
Time (s) time (i.e., time between the speed deviation due to the
fault and the speed convergence to the reference using
Fig. 16. Fault-resilient control performance comparison with conven- reconfiguration) is shortened.
tional schemes: (a) PI controller with 8% threshold. (b) First-order SM
• The structure is robust for a wider range of observer and
controller with 16% threshold.
controller gains, and moreover effective in tracking rapid
As shown in Fig. 15, it can be observed that the speed speed changes around the operating speed condition.
tracking error during normal phase is bounded. Moreover, • With the relation developed in (16), the detection delay
as mentioned in Section III-C, it can be inferred that the can be readily approximated so that catastrophic conse-
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8201, University of Valenciennes, France for
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a class of MIMO nonlinear systems,” Automatica, vol. 48, no. 2, pp. Kalyana Chakravarthy Veluvolu (S’03-
316–326, Feb. 2012. M’06-SM’13) received the B.Tech. degree
[39] J. J. Rath, M. Defoort, H. R. Karimi, and K. C. Veluvolu, “Output in electrical and electronic engineering from
feedback active suspension control with higher-order terminal sliding Acharya Nagarjuna University, Guntur, India,
mode,” IEEE Trans. Ind. Electron., vol. 64, no. 2, pp. 1392–1403, Feb. in 2002, and the Ph.D. degree in electrical
2017. engineering from Nanyang Technological
[40] A. Chalanga, S. Kamal, L. Fridman, B. Bandyopadhyay, and J. Moreno, University, Singapore, in 2006. During 2006-
“How to implement super-twisting controller based on sliding mode 2009, he was a Research Fellow with the
observer,” in Proc. 13th International Workshop on Variable Structure Biorobotics Group, Robotics Research Center,
Systems, France, Jun. 2014, pp. 1–6. Nanyang Technological University. Since 2009,
he has been with the School of Electronics
[41] S. L. Li, X. Yang, and D. Yang, “Active disturbance rejection control for Engineering, Kyungpook National University, Daegu, Korea, where he
high pointing accuracy and rotation speed,” Automatica, vol. 45, no. 8, is currently an Associate Professor. He was also attached to the school
pp. 1854–1860, Aug. 2009. of mechanical and aerospace engineering, Nanyang Technological
[42] S. Li, M. Zhou, and X. Yu, “Design and implementation of terminal University, Singapore as a visiting professor for period 2016-2017. He
sliding mode control method for PMSM speed regulation system,” IEEE has been a Principal Investigator or a Co investigator on a number
Trans. Ind. Informat., vol. 9, no. 4, pp. 1879–1891, Nov. 2013. of research grants funded by the National Research Foundation of
[43] G. Bartolini, A. Pisano, and E. Usai, “An improved second-order sliding Korea, and other agencies. He has authored or coauthored over 100
mode control scheme robust against the measurement noise,” IEEE journal articles and conference proceedings. His current research
Trans. Autom. Control, vol. 49, no. 10, pp. 1731–1736, Oct. 2004. interests include nonlinear estimation and filtering, sliding mode control,
[44] A. Damiano, G. Gatto, I. Marongju, and A. Pisano, “Second-order brain-computer interface, EEG based neural decoding, autonomous
sliding mode control of DC drives,” IEEE Trans. Ind. Electron., vol. 51, vehicles, biomedical signal processing, and surgical robotics.
no. 2, pp. 364–373, Apr. 2004.

Sliding Mode Based Observer-Controller Structure For Fault-Resilient Control in DC Servomotors

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Sliding Mode Based Observer-Controller Structure For Fault-Resilient Control in DC Servomotors

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This article has been accepted for publication in a future issue of this journal, but has not been

Sliding Mode Based Observer-Controller

Consequently, the convergence of sliding surface si to the

closed-loop control action is then based on the stability of the 100

ω = ω̂ − ωres (17) Fault-in

Therefore, the speed tracking error during reconfiguration -10

phase can be written as ωres

Remark 2: It can be noted that the transient and reconfiguration

100 (a) Quantity Symbol Value

150 Viscous friction B 1.2×10−5 [N-m-s]

residual together with the preset threshold are depicted in Fig.

fault-resilient control of the considered IMDU: κ11 = 0.3,

(b) Reference current. (c) Actual current.

load (JL = 3.911 × 10−4 [kg-m2 ]) via a belt at higher speed

A. Observer and Controller Performances during Fault-

The effectiveness of the observer and controller perfor-

actual current of the armature tracks the reference current

Fault-in Delay=4.2s Delay=3s

150 Normal Reconfiguration

Detection delay (Dd )

Fig. 12. Fault-resilient control with incipient fault slope of Sf = 0.7

in Fig. 10(b). And, the rotor position signal is also shown in 0

the inner-loop current dynamics, the presence of fault does not

Fault-in Overshoot and higher chattering compared to the ITSM controller.

drive operation by reconfiguring the faulty sensor with the

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