Van 2015

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2014–6:38pm] [1–22]
//blrnas3/cenpro/ApplicationFiles/Journals/SAGE/3B2/PICJ/Vol00000/140183/APPFile/SG-PICJ140183.3d (PIC) [PREPRINTER stage]
Original Article
Proc IMechE Part C:

J Mechanical Engineering Science
Robust fault-tolerant control for uncertain 0(0) 1–22
! IMechE 2014
robot manipulators based on adaptive Reprints and permissions:
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quasi-continuous high-order sliding DOI: 10.1177/0954406214544311

pic.sagepub.com
mode and neural network
Mien Van1 and Hee-Jun Kang2
Abstract
This paper investigates a robust fault-tolerant control scheme for uncertain robot manipulators. The proposed scheme is
designed via active fault-tolerant control method by combining a fault estimation scheme with a novel robust adaptive
quasi-continuous second-order sliding mode (AQC2S) controller, so as to accommodate not only system failures but
also uncertainties. First, a neural network based fault estimation is designed to online approximate the unknown
uncertainties and faults. The estimated uncertainty and fault information are then used to compensate in advance for
the effects of uncertainties in fault-free operation and both uncertainties and faults in fault operation. To eliminate the
neural network compensation error, QC2S with adaptation gain, named as adaptive QC2S (AQC2S), is proposed. By
integrating the advantages of the neural network observer and the AQC2S controller, the integrated scheme has a good
capability to accommodate both the uncertainties and faults with chattering-free, higher position tracking accuracy, and
no requirement of prior knowledge of the fault information. The stability and convergence of the proposed fault-tolerant
control system is proved theoretically. Simulation results for a PUMA560 robot demonstrate the effectiveness of the
proposed algorithm.
Keywords
Robot manipulators, fault diagnosis, fault-tolerant control, neural network, sliding mode control
Date received: 8 February 2014; accepted: 6 June 2014
Introduction
type of control system is known as a fault-tolerant
Robotic systems are widely used in the processing and control (FTC) system. More precisely, FTC systems
manufacturing industries to improve product quality. are control systems which possess the ability to
However, some applications require robots to be situ- accommodate component failures automatically,
ated in hazardous and remote environments that can while maintaining desirable performance and stability
lead to robot failure, which can not only deteriorate properties. In general, FTC systems can be divided
product quality, but also harm users and objects in into two main types:9 (1) passive FTC system: one
the surrounding workspace. In addition, in dangerous controller is used for both the normal case and the
environments, it is difficult to repair failed robots. fault case without the need to detect the presence of a
Hence, robots used in some applications require a fault.10–14 However, since this approach requires par-
control scheme to guarantee that they can continue tial knowledge of possible system faults, it is limited in
working reliably in the presence of faults. real application. (2) Actively, FTC is designed based
Various fault diagnosis (FD) approaches for non- on FD information.3–8 In active FTC, FD is the first
linear and robotic systems have been studied over the
last three decades. In the literature, model-based ana- 1
Graduate of Electrical Engineering, University of Ulsan, Ulsan,
lytical redundancy-based fault detection and isolation South Korea
have been investigated.1,2 Robust FD schemes using 2
School of Electrical Engineering, University of Ulsan, Ulsan,
neural network (NN) learning have been proposed.3–8 South Korea
In these approaches, NNs are trained online to iden-
Corresponding author:
tify unknown faults occurring in the robot system. To Hee-Jun Kang, School of Electrical Engineering, University of Ulsan,
reduce the effect of a fault in the system, fault estima- Ulsan 680-749, South Korea.
tion is then used to reconfigure the controller. This Email: hjkang@ulsan.ac.kr
Downloaded from pic.sagepub.com at HOWARD UNIV UNDERGRAD LIBRARY on February 22, 2015
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2 Proc IMechE Part C: J Mechanical Engineering Science 0(0)
step, providing fault information. Then, using con- switching delays, measurement noises and singular
troller reconfiguration technique, the FTC is adjusted perturbations, it allows for continuous control and
based on the obtained fault information to compen- produces less chattering than other HOSM.
sate for the effect of fault in the system. For this However, in these control approaches, the uncertainty
reason, active FTC performance depends on the bound must be known in advance for designing of the
accuracy of the obtained fault information. With the gains of quasi-SMC and a big chattering is existed
correct fault information, performance of an active when the system converges to zero. In the literature,
FTC system is better than that of a passive FTC adaptive gain laws have been proposed for conven-
system and hence it is more desirable for practical tional SMC.8,12,24,25 The purpose is to adapt the
applications. Conversely, incorrect fault information gain magnitude with respect to uncertainty effects,
could lead to system instability and serious conse- therefore reducing the sliding gain, and subsequently
quences. This motivates us to develop an active reducing chattering. However, there is no approach
FTC based on the correct fault observation. for the quasi-continuous HOSM control.
As the major application of FTC to the robot con- In this paper, FTC scheme based on SMC as well
trol, to the best of our knowledge, there are minor as HOSM control is investigated for robot manipula-
investigations and most of them are designed based tors for the first time. First, a passive FTC scheme
on passive FTC11 or in the form of modification of based on SMC is designed and the disadvantages
computed torque controller (CTC)-based active are given. Then, based on these disadvantages, an
FTC.3–7 However, the uses of passive FTC have less active FTC scheme combining HOSM control with
performance compared with that of active FTC. In NN compensation is designed and compared to
another case, the uses of CTC as a nominal control figure out if the active FTC always provides better
in active FTC scheme have two drawbacks in real performance when the fault information is observed
robot applications: first, it requires an exact model correctly. In the proposed active FTC scheme, a NN
of the robot dynamics which is usually impossible. observer is adopted to online approximate the fault
Second, it is not robust to structured and unstruc- correctly. The estimated faults are then used to com-
tured uncertainty, which may result in performance pensate, in advance, for actual faults in the system by
devaluation. Therefore, these FTC approaches do using feedback linearization techniques. After that, a
not compensate for the modeling uncertainty when quasi-continuous second-order sliding mode (QC2S)
designing the nominal controller for fault-free with adaptation gain is designed to compensate for
operation. the NN compensation error and stabilize the failure
Due to the robustness with respect to system uncer- system. Compared with the passive FTC based on
tainties and fast transient response, sliding mode con- SMC, the active FTC which combined adaptive
trol (SMC) has received a great deal of attention in QC2S and NN compensation (AQC2S-NN) preserves
control system,15,16 as well as in FTC.11,12 The main several benefits such as high accuracy, fast conver-
idea of SMC is to first design a sliding manifold in gence, and free of chattering. On the other hand, by
such a way that the system trajectory is confined to using combining techniques of HOSM, uncertainty
lying upon it so that the system exhibits the desired compensation, and adaptive gain law, the drawbacks
behavior and then to design a control law that forces of the SMC can be completely overcome. The stability
the system’s state to reach and remain on the sliding of the closed-loop observer-controller system is guar-
manifold. However, the uses of SMC have two major anteed through the Lyapunov theory.
drawbacks. The first is the need to have prior know- The remainder of this paper is organized as fol-
ledge of the upper bounds of unknown input (i.e. lows: in the next section, the robot dynamics and
uncertainties, faults), which are hard to obtain in problem are given. Subsequently, the FD scheme is
some applications. In FTC systems, faults usually designed. Passive FTC based on SMC and QC2S
occur at unknown time and with unknown magni- and active FTC based on AQC2S and NN-based
tude. The second major drawback is the fault estimation are described and compared later.
high-frequency oscillations of the controller output, Finally, computer simulation results on a PUMA560
known as chattering. To remove the chattering, robot are provided to verify the effectiveness of the
several solutions have been proposed. One solution proposed algorithm and some conclusions are
is to introduce a thin boundary layer neighboring outlined.
the switching surface.16 This approach, however,
implies deterioration accuracy and robustness. A
Problem formulation
second solution proposed to decrease the chattering
is the high-order sliding mode (HOSM) controller Consider the robot dynamics described by
technique.17–23 Among HOSM controllers, quasi-con-
tinuous HOSM-based robust exact differentiators q€ ¼ M1 ðqÞð Vm ðq, qÞ
_ q_ FðqÞ
_ GðqÞ d Þ
have been developed and applied successfully for _ Þ
þ ðt Tf Þðq, q,
real applications.19–23 The major advantage of the
quasi-continuous HOSM is that in the presence of ð1Þ
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Van and Kang 3
where q 2 <n is the state vector, 2 <n is the torque Fault diagnosis observer scheme using
produced by actuators, MðqÞ 2 <nn is the inertia neural network observer
_ 2 <n is the Coriolis and centripetal
matrix, Vm ðq, qÞ
torque, FðqÞ_ 2 <n is the friction vector, d is a load
Fault detection scheme
disturbance vector, and GðqÞ 2 <n is the gravita- In this section, a fault detection scheme is designed for
tional torque term. The term ðq, q, _ Þ 2 <n is a monitoring fault occurrences. In order to detect any
vector that represents the changes in the system changes in the system dynamics due to faults, the
dynamics due to the occurrence of a fault. estimated model is compared with a nominal model.
ðt Tf Þ 2 <n represents the time profile of A measure of the deviation between the estimated and
the faults, and Tf is the time of occurrence of the nominal model provide the residual.
faults. Consider an observer of the form
We let the time profile ðÞ be a diagonal matrix of
the form x_^ ¼ Aðx^ xÞ þ f ðq, q,
_ Þ ð6Þ
where x^ is the estimation of x and the initial value of

ðt Tf Þ ¼ diag 1 ðt Tf Þ, 2 ðt Tf Þ, . . . , n ðt Tf Þ
the estimator is selected as xð0Þ ^ ¼ xð0Þ, and A is the
ð2Þ stable matrix that can be achieved by simply letting
A ¼ diagð1 , 2 , . . . , n Þ with i 4 0.
where i is a fault function that presents the fault The estimation error is obtained by substituting
affecting the ith state equation. equation (5) into equation (6)
The faults with time profiles modeled are given by
( x_~ ¼ Ax~ þ ðq, q, _ Þ
_ Þ þ ðt Tf Þðq, q, ð7Þ
0, if t 5 Tf
i ðt Tf Þ ¼ ð3Þ where x~ ¼ x x.^ When the robot is in normal oper-
1 e’i ðtTf Þ if t5Tf ation (i.e. t 5 Tf ), then according to equation (3)
_ Þ ¼ 0.
ðq, q,
where ’i 4 0 denotes the unknown fault evolu- By solving the differential equation (7) with the
tion rate. A small value of ’i characterized slowly ~ ¼ 0, we have
initial condition xð0Þ
developing faults, also called incipient fault. For
Z t
large values of ’i , the profile of i approaches a step
~ ¼ eAt xð0Þ
xðtÞ ~ þ eAðtÞ ðq, q,
_ Þd ð8Þ
function that models abrupt faults. While i becomes 0
a step function so that incipient faults become abrupt
faults. To distinguish the effects of uncertainties and faults,
To simplify the design, the robot dynamics can be we assume that the uncertainties are bounded by a
rewritten as known constant: ðq, q, From equation (8),
_ Þ4.
we have
Zt
q€ ¼ M1 ðqÞð Vm ðq, qÞ
_ q_ GðqÞÞ þ M1 ðqÞðFðqÞ
_ d Þ
xðtÞ
~ 4
eAðtÞ ðtÞd
_ Þ
þ ðt Tf Þðq, q, 0 ð9Þ
ð4Þ ¼ x~ M
where x~ M is the chosen threshold bound. Faults are

and if we let x ¼ q_T , the robot dynamic expressed in detected
whenever the estimation error component
equation (4) can be further simplified as xðtÞ
~ surpasses its corresponding threshold x~ M .
x_ ¼ f ðq, q,
_ Þ þ ðq, q,
_ Þ þ ðt Tf Þðq, q,
_ Þ ð5Þ Fault estimation scheme
For the fault system expressed in equation (5), a
_ Þ ¼ M1 ðqÞð Vm ðq, qÞ
where f ðq, q, _ q_ GðqÞÞ repre- NN-based fault estimation is designed as
sents the known nominal robot dynamics and
_ Þ ¼ M1 ðqÞðFðqÞ
ðq, q, _ d Þ represents the uncer- x_^ ¼ Aðx^ xÞ þ f ðq, q, ^
_ Þ þ NðtÞ ð10Þ
tainties in the nominal model.
The objective of this paper is to design a ^ 2 <n is the observer input which is used to
where NðtÞ
FTC scheme for the robot system described estimate the faults. The dynamic neural network-
by equation (1), by using a correct fault estima- based online estimator is chosen to be a three-layer
tion observer scheme such that the system out- NN. Its structure can be described by
puts can follow the desired trajectories well in
the presence of uncertainty ðq, q, _ Þ and fault
^ ¼ Wð
NðtÞ ^ V^ xðtÞÞ
ð11Þ
_ Þ.
ðq, q,
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_ T is the NN input, W,

¼ ½q, q,
where xðtÞ ^ V^ are the Similar to the study of Abdollahi et al.,26 we can
weight parameters of the output and hidden layers, guarantee that the observer error x~ and the weights
respectively, and ðÞ is the transfer function of the estimation error W, ~ V~ are stable and convergent to
hidden neurons, in this paper, a sigmoidal function zero in finite time.
is used
2 Fault tolerant control based on adaptive

¼
i ðVi xÞ 1 quasi-continuous high-order sliding mode
1 þ e2Vi x
and neural network compensation
where Vi is the ith row of V, and i ðVi xÞ is the ith Design of passive fault tolerant control scheme

element of ðVxÞ.
The estimation error in the fault situation (t 4 Tf )
based on conventional sliding mode control
then becomes The design procedure of the SMC consists of two
main steps.15 The first step involves constructing the
x_~ ¼ Ax~ þ ðq, q,
_ Þ þ ðq, q, ^ V^ xðtÞÞ
_ Þ Wð ð12Þ desired sliding surface, which is chosen such that
when it converges to zero, the desired control is
In this paper, the weights tuning algorithm taken achieved. The next step is to select a control law
from Abdollahi et al.26 include the modified back-pro- that forces the system state to reach the sliding surface
pagation algorithm and an e-modification term which in a finite time. For the first step, we let
is added to guarantee robustness of the observer. By
e ¼ q qd ð19Þ
choosing a cost function in the form of J ¼ ð1=2Þx~ T x,
~
the weight tuning laws are designed as follows where qd is the desired trajectory. Then, the sliding
surface is selected as
_^ @J ^
W ¼ 1 1 kx~ kW ð13Þ
@W^ s ¼ e_ þ le ð20Þ
_ @J where, s ¼ ½s1 s2 . . . sn T 2 <n and l ¼ diag

V^ ¼ 2 2 kx~ kV^ ð14Þ
@V^ ½l1 , . . . , li , . . . , ln in which li is a positive constant.
It is obvious that, if the system state remains on the
where 1 , 2 4 0 are the learning rates, and sliding surface, the desired control task e ! 0 can be
1 , 2 4 0 are small positive numbers, the second achieved.
terms on the right side of the above equations are From equation (5), the robot dynamics in the pres-
the e-modification terms that guarantee estimation ence of the faults can be rewritten as
robustness.
Based
on the
chain
rule of
derivatives, the compo- x_ ¼ M1 ðqÞu þ gðq, qÞ
_ þ ðq, q,
_ Þ þ ðq, q,
_ Þ
nents @J=@W ^ and @J=@V^ can be computed by
ð21Þ
@J @J @x~ @netW^ @netW^ _ ¼ M1 ðqÞ½Vm ðq, qÞ
where u ¼ , gðq, qÞ _ q_ GðqÞ.
¼ ¼ x~ T dx~ W^ ð15Þ
@W^ @x~ @netW^ ^
@W @W^ For the second step, to ensure that the trajectories
of the system approach the sliding surface, then, in the
@J @J @x~ @netV^ presence of both uncertainties and faults, the deriva-
¼ T
¼ x~ T dx~ V^ ðxÞ ð16Þ
@V^ @x~ @netV^ @V^ tive of the sliding surface s_ ¼ 0 should be satisfied
such that
@x~
where dx~ W^ ¼ @net ^ V^ xÞ
¼ A1 , netW^ ¼ Wð ^ and
¼ NðtÞ
^ W
s_ ¼ e€ þ le_
netV^ ¼ V^ x.

¼ M1 ðqÞu þ gðq, qÞ
_ þ ðq, q,
_ Þ þ ðq, q,
_ Þ q€ d
Based on equations (13) to (16), the update laws
are given by þ lðq_ q_d Þ
ð22Þ
T
_^
W ¼ 1 ðx~ T dx~ W^ ÞT ðV^ xÞ ^
1 kx~ kW ð17Þ
According to the sliding mode design procedure, a
passive FTC can be designed as
_
T 2 kx~ kV^
V^ ¼ 2 ðx~ T dx~ V^ ÞT ðxÞ ð18Þ
u ¼ ueq þ usu þ usf ð23Þ
T
@netW^
where ¼ ðV^ xÞ
, ^
@x~
dx~ V^ ¼ @net ^
¼ A1 W
@W V^ where
n o
and V^ x ¼ diag i2 V^ i x .
I ðV^ xÞ
ueq ¼ MðqÞðq€ d lðq_ q_d Þ gðq, qÞ
_Þ ð24Þ
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Van and Kang 5
and usu , usf are terms that compensates for the effect of that the sliding surface s asymptotically converges
uncertainties and faults, respectively. They are to zero.
designed as
usu ¼ MðqÞk1 signðsÞ ð25Þ Design of passive fault-tolerant control scheme
based on quasi-continuous second-order sliding
and
mode control
usf ¼ MðqÞk2 signðsÞ ð26Þ The control law using conventional SMC in equation
(23) has robustness and fast response to uncertainties
where k1 and k2 are the constant values. The stability and faults. However, chattering and high control
of the system under the controller scheme in equation activities are the major drawbacks of the sliding
(23) is demonstrated in Theorem 1. mode approach in the practical realizations. To
reduce the chattering, a HOSM based on QC2S is
Theorem 1. Considering the uncertain robot introduced in this section.
manipulators described in equation (5) under a The passive FTC based on QC2S is designed as
faulty condition, the sliding manifold described in
equation (20) is asymptotically stable if the sliding u ¼ ueq þ uQ su þ uQ sf ð30Þ
gains are chosen as following:
where ueq is designed as the same as equation (24).
i
k1i 5 ð27Þ However, the compensator terms for the effect of
uncertainties and faults are now designed based on
k2i 5i ð28Þ the QC2S19 to reduce the chattering

where the modeling uncertainties and faults
s_ þ jsj1=2 signðsÞ
are assumed to be bounded: i ðq, q,_ Þ uQ su ¼ MðqÞkQ1 ð31Þ
js_j þ jsj1=2
4 i (i ¼ 1, 2, . . . , n), i ðq, q,
_ Þ4i with
i , i are
the known constants. and

Proof. Let the Lyapunov function be V ¼ 12 sT s. s_ þ jsj1=2 signðsÞ
Differentiating V with respect to time, we have uQ sf ¼ MðqÞkQ2 ð32Þ
js_j þ jsj1=2
X
n
V_ ¼ sT s_ ¼ si k1i signðsi Þ k2i signðsi Þ where kQ1 and kQ2 are the constant values . To design
i¼1 equations (31) and (32), we need to know the deriva-
_ Þ þ i ðq, q,
þ i ðq, q, _ ÞÞ tive of the sliding surface (_s). To obtain this, the first-
Xn order exact differentiator technique is applied18
4 i þ i
si k1i signðsi Þ k2i signðsi Þ þ
i¼1 z_0 ¼ 0
ð29Þ 1=2
0 ¼ 1 j z0 s j signðz0 sÞ þ z1
ð33Þ
if the condition in equations (27) and (28) z_1 ¼ 1
are satisfied, then V_ 5 0 holds. This means 1 ¼ 2 signðz0 sÞ
Figure 1. Block diagram of the active fault tolerant control based on AQC2S and NN compensation.
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When all the coefficients are properly selected, the

first-order sliding mode differentiator can be achieved
as follows
z0 ¼ s; z1 ¼ s_ ð34Þ
The stability of the robot system under the control-

ler scheme in equations (30) is demonstrated in
Theorem 2.
Theorem 2. Consider the uncertain robot manipula-

tors described in equation (5) under a faulty condi-
tion. The first-order exact differentiator in equation
(33) is assumed to converge in finite time. The pro-
posed passive FTC scheme given by equation (30)
ensures that the sliding surface s asymptotically con-
verges to zero in a finite time.
Proof. Let the Lyapunov function be V ¼ 12 sT s.

Differentiating V with respect to time, we have
Xn
s_i þ jsi j1=2 signðsi Þ
V_ ¼ sT s_ ¼ si kQ1i
i¼1 js_i j þ jsi j1=2 Figure 2. 3-DOF PUMA560 robot manipulator.
kQ2i
js_i j þ jsi j1=2

This means that the sliding surface s asymptotically
_ þ i ðq, q,Þ
þi ðq, q,Þ _ converges to zero.
n
X
s_i signðsi Þ þ jsi j1=2
¼ si i si kQ1i signðsi Þ þ si i
i¼1 js_i j þ jsi j1=2 Design of active fault-tolerant control scheme

s_i signðsi Þ þ jsi j1=2 based on adaptive quasi-continuous second-order
si kQ2i signðsi Þ
js_i j þ jsi j1=2 sliding mode control and neural network
Xn
i signðsi Þ s_i signðsi Þ þ jsi j1=2 compensation
¼ jsi jkQ1i
i¼1
kQ1i js_i j þ jsi j1=2 Although the QC2S produces continuous control and
less chattering than that of a conventional sliding
i signðsi Þ s_i signðsi Þ þ jsi j1=2
þ jsi jkQ2i mode controller and other HOSM controllers, a
kQ2i js_i j þ jsi j1=2
large amount of chattering exists when the sliding
ð35Þ manifold is defined by the equation s ¼ s_ ¼ 0.22 The
tracking error of the sliding mode controller con-
From equation (35), the negative of the derivative verges to zero if its gain is bigger than the upper
Lyapunov function is obtained when bound of the unknown nonlinear function (i.e. uncer-
tainties, faults). Hence, if these upper bound values
s_i signðsi Þ þ jsi j1=2 i signðsi Þ s_i signðsi Þ þ jsi j1=2 are big, the sliding gain must be chosen as a big
5 and value; unfortunately, this large control gain may
js_i j þ jsi j1=2 kQ1i js_i j þ jsi j1=2
i signðsi Þ cause large chattering on the sliding surface and there-
5 fore deteriorate the FTC system performance. To
kQ2i
reduce the chattering, the NN-based fault estimation
ð36Þ presented in section ‘‘Fault diagnosis observer scheme
using neural network observer’’ and an adaptive slid-
are satisfied. 1=2
ing gain law are employed. The combination between
Additionally, we have s_i signðs i Þþjsi j
js_i jþjsi j1=2
41, the condi- QC2S control and NN-based fault estimation estab-
tion in equation (36) can be reconstructed as lishes an active FTC scheme. The goal of the NN
compensation is to online approximate the unknown
kQ1i 5i signðsi Þ, kQ2i 5i signðsi Þ ð37Þ uncertainties and faults and then to decrease their
effects in the system and, therefore, the sliding gain
By choosing kQ1i 5 i , kQ2i 5i , the condition can be chosen as a smaller value. And, the goal of the
in equation (37) is satisfied, then V_ 5 0 holds. adaptive sliding gain law is to adapt the gain
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Van and Kang 7
(a)
(b)
(c)
Figure 3. Tracking performance of the AQC2S controller, ASMC-NN, and AQC2S-NN controllers when robot is in normal
operation: (a) Joint 1; (b) Joint 2; (c) Joint 3.
QC2S; quasi-continuous second-order sliding mode; SMC: sliding mode control; NN: neural network.
magnitude with respect to uncertainty effects, there- presence of both uncertainties and faults can be
fore, reducing the sliding gain and, subsequently, rewritten as
reducing the chattering. Hence, by employing both
the NN compensation and adaptive gain law to the
x_ ¼ M1 ðqÞu þ gðq, qÞ
_ þ ðq, q,
_ Þ þ ðq, q,
_ Þ
HOSM control, the chattering of the system is much
decreased. 1
¼ M ðqÞu þ gðq, qÞ ^ V^ xðtÞÞ
_ þ Wð þ"
ð39Þ
Design of active fault tolerant control scheme based on
quasi-continuous second-order sliding mode control and
neural network compensation. From equation (12) Consequently, the derivative of the sliding manifold in
when the observer error converges to zero, the equation (22) can be rewritten as
unknown function that includes uncertainties and
faults can be described by an estimated NN
s_ ¼ e€ þ le_
_ Þ þ ðq, q,
ðq, q, ^ V^ xðtÞÞ
_ Þ ¼ Wð þ" ð38Þ
¼ M1 ðqÞu þ gðq, qÞ ^ V^ xðtÞÞ
_ þ Wð ð40Þ
where " is the NN approximation error. From this,
þ " q€ d þ lðq_ q_d Þ
the robot dynamics described by equation (5) in the
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(a)
(b)
(c)
Figure 4. Comparison of tracking error among AQC2S controller, ASMC-NN, and AQC2S-NN when the robot is in normal
operation: (a) Joint 1; (b) Joint 2; (c) Joint 3.
QC2S; quasi-continuous second-order sliding mode; SMC: sliding mode control; NN: neural network.
For the system described by equation (5), the active upper bound of the NN compensation error ", i.e.
FTC scheme is now designed to accommodate both k"k4".
the uncertainties and faults as Due to the capability of the NN observer to
approximate a nonlinear function, the NN approxi-
u ¼ ueq þ uNN þ uQ ð41Þ mation error is much smaller than that of the uncer-
þ ,
tainties and faults. Therefore, if " then the
where ueq is designed similar to that in equation (24). sliding gain kQ can be selected as a much smaller value
And the NN-based fault compensation term is compared to kQ1 þ kQ2 . Hence the chattering gener-
ated by active FTC, which combined QC2S and NN
uNN ¼ MðqÞ W^ ðV^ xðtÞÞ
ð42Þ compensation, is much decreased compared with that
of passive FTC based on QC2S, and hence increasing
the performance of the FTC scheme.
The QC2S term uQ is designed to compensate for
the NN compensation error ". It is designed as Design of active fault-tolerant control scheme based on
adaptive quasi-continuous second-order sliding mode control

s_ þ jsj1=2 signðsÞ and neural network compensation. In the previous sec-
uQ ¼ MðqÞkQ ð43Þ tion, the QC2S is developed based on the restrictive
js_j þ jsj1=2
requirement that the upper bound of the compensa-
where kQ is a known constant. Similar to Theorem 2, tion error " must be available. However, for practical
to guarantee the stability of the sliding surface s with applications, bound on the NN compensation error is
its derivative defined in equation (40), the sliding gain difficult to obtain in advance. If the bound is
of equation (43) is chosen as kQ 5", where " is the unknown, a large value should be chosen for the
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Van and Kang 9
(a)
(b)
(c)
Figure 5. Control efforts of AQC2S controller when the robot is in normal operation. (a) Joint 1; (b) Joint 2; (c) Joint 3.
sliding gain in order to satisfy the existence condition QC2S term that is used to compensate for the NN
of the sliding mode. The big sliding gain generated approximation error
significantly chattering, consequently decreasing the

system performance. To tackle this challenge, adap- s_ þ jsj1=2 signðsÞ
tive method can be employed into QC2S controller. uaQ ¼ MðqÞk^Q ð45Þ
js_j þ jsj1=2
The overall controller scheme is now designed as
where the adjustable gain constant k^Q is the estimated
u ¼ ueq þ uNN þ uaQ ð44Þ value of kQ , and updated by
_ 1
where ueq and uNN are designed same as that in equa- k^Q ¼ ksk ð46Þ
tions (24) and (42), respectively. uaQ is the adaptive a
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Figure 6. Control efforts of ASMC-NN controller when the robot is in normal operation: (a) Joint 1; (b) Joint 2; (c) Joint 3.
where a 4 0 denotes the adaptation gain. Choosing a Substituting the adaptation equation law (46) into
suitable adaptive value a can also effectively avoid (48), it yields
high control activity in the reaching mode.
Define the adaptation error as k~Q ¼ k^Q kQ . _
V_ ¼ sT s_ þak~TQ k~Q
Consider a Lyapunov function candidate
Xn
¼ si "i ðtÞ k^Qi þð ^Q kQ Þksi k
k
1 1 js_i jþ jsi j1=2
i i
V ¼ sT s þ ak~TQ k~Q ð47Þ i¼1

2 2 n
X s_i signðsi Þþ jsi j1=2
¼ si "i ðtÞkQi ksi k k^Qi signðsi Þ
By taking the derivative of V, we obtain i¼1 js_i jþ jsi j1=2

_ þ k^Qi ksi k
V_ ¼ sT s_ þ ak~TQ k~Q
Xn X
n
¼ si k^Qi _ Þ
þ i ðq, q, ¼ si "i ðtÞkQi ksi k
i¼1 js_i j þ jsi j1=2 i¼1

^ _^ X
n
_ Þ uNNi þ aðkQi kQi ÞkQi
þ i ðq, q, 4 kQi ksi kþ ksi k"i ðtÞ
i¼1
Xn
^ s_i þ jsi j1=2 signðsi Þ
¼ si "i ðtÞ kQi X
n
i js_i j þ jsi j1=2 ¼ ksi kðkQi "i ðtÞÞ
i¼1
_
þ aðk^Qi kQi Þk^Qi 40
ð48Þ ð49Þ
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Van and Kang 11
(a)
(b)
(c)
Figure 7. Control efforts of AQC2S-NN controller when the robot is in normal operation: (a) Joint 1; (b) Joint 2; (c) Joint 3.
Using the Lyapunov theorem, the sliding surface s neural network compensation (ASMC-NN) can be
and the adaptation error k~Q are stable and conver- designed as
gent. The structure of the AQC2S FTC based on
NN compensation is illustrated in Figure 1.
u ¼ MðqÞðq€ d lðq_ q_d Þ gðq, qÞ ^ V^ xðtÞÞ
_ Þ MðqÞWð
Remark 1. The active FTC scheme which combines
^
MðqÞksignðsÞ ð50Þ
adaptive conventional sliding mode control and
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Figure 8. Adaptive parameter k^ Q in AQC2S-NN controller when the robot is in normal operation.
(a)
(b)
(c)
Figure 9. Comparison of tracking error among AQC2S controller, ASMC-NN, and AQC2S-NN when the robot is in 75% partial
loss faults in first actuator: (a) Joint 1; (b) Joint 2; (c) Joint 3.
QC2S: quasi-continuous second-order sliding mode; SMC: sliding mode control; NN: neural network.
where the adjustable gain k^ is updated by the follow- term without distortion of the stability properties, and
ing control law the smoothed QC2S is
_ 1
k^ ¼ ksk ð51Þ
a s_ þ jsj1=2 signðsÞ
uaQ ¼ MðqÞk^Q ð52Þ
js_j þ jsj1=2 þ
Remark 2. To further eliminate the chattering, a
small scalar is added to the formula of the QC2S
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Van and Kang 13
(a)
(b)
(c)
Figure 10. Control efforts of AQC2S controller when the robot is in 75% partial loss faults in first actuator: (a) Joint 1; (b) Joint 2;
(c) Joint 3.
However, there is a tradeoff between chattering and (equation (46)), the dead-zone technique is used to
the robustness property. If is large, chattering is modify the adaptive law as
smaller but robustness is also reduced, and vice versa. 8
< 0 if ksk4!
_
Remark 3. To avoid the parameter drift problem in k^Q ¼ 1 ð53Þ
practical applications when using the adaptive law : ks k if ksk 4 !
a
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(a) 10
u(Nm)
0
–5
–10
0 2 4 6 8 10 12 14 16 18 20
Time (s)
(b) 0
–10
–20
u(Nm)
–30
–40
–50
0 2 4 6 8 10 12 14 16 18 20
Time (s)
(c) 10
5
u(Nm)
–5
–10
0 2 4 6 8 10 12 14 16 18 20
Time (s)
Figure 11. Control efforts of ASMC-NN controller when the robot is in 75% partial loss faults in first actuator: (a) Joint 1; (b) Joint
2; (c) Joint 3.
where ! 4 0 is the size of the dead zone. and

2 3
1:2 sinðq_ 1 Þ
Simulation results 6 7
d ¼ 4 1:8 sinðq_ 2 Þ 5 ð55Þ
In order to verify the effectiveness of the proposed
controller scheme, its overall procedure is simulated 1:15 sinðq_ 3 Þ
for a PUMA560 robot in which the first three joints
are used. The PUMA560 robot is a well-known indus-
trial robot that is widely used in industrial applica- Matlab/Simulink is used to perform all simula-
tions and robotic research.22 Its explicit dynamic tions; the sampling time was set to 103 s. An actuator
model and the parameter values necessary to control fault is considered in the simulations because it repre-
it are given in Armstrong et al.27 sents one of the most serious failures and usually
The three degree of freedom (3-DOF) PUMA560 occurs in robotic systems. In a robotic system,
robot is considered with the last three joints locked. damage to the actuators can be caused by damage
Figure 2 shows its kinematic description. The uncer- to an internal actuator, power supply systems, or wir-
tainties used in this simulation are given as follows ings. This class of failure can be described by the dif-
2 3 ference between the nominal torque 0 and the
0:8q_ 1 þ 0:8 sinð3q1 Þ actual torque acting at the robot joint. It can be
6 7 expressed as
6 7
_ ¼ 6 2:5q_ 2 þ 2:7 sinð2q2 Þ 7
FðqÞ ð54Þ
4 5
1:1q_ 3 þ 1:15 sinðq3 Þ ðtÞ ¼ 0 þ ðtÞ ð56Þ
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Van and Kang 15
(a)
(b)
(c)
Figure 12. Control efforts of AQC2S-NN controller when the robot is in 75% partial loss faults in first actuator: (a) Joint 1; (b) Joint
2; (c) Joint 3.
The actuator fault ðtÞ can be represented by ^

where ðtÞ is the estimation of the real actuator
_ Þ expressed in equation (1) as:
the fault ðq, q, faults ðtÞ.
_ Þ ¼ M1 ðqÞ ðtÞ. Consequently, the actuator
ðq, q, The desired trajectory to be tracked is
fault estimation can be reconstructed from the NN qd ¼ ½q1d , q2d , q3d T with q1d ¼ cosðt=5 Þ 1,
output estimating the fault as q2d ¼ cosðt=5 þ =2Þ and q3d ¼ sinðt=5 þ =2Þ 1.
The NN used to approximate the uncertainty and
fault function has 30 neurons in its hidden layer,
ðtÞ ^
^ ¼ MðqÞNðtÞ ð57Þ and its tuning laws are given in equations (17) and
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Figure 13. Adaptive parameter k^ Q in AQC2S-NN controller when the robot is in 75% partial loss faults in first actuator.
(a)
(b)
(c)
Figure 14. Comparison in tracking error among AQC2S controller, ASMC-NN, and AQC2S-NN when the robot is in 50% partial
loss faults in second actuator: (a) Joint 1; (b) Joint 2; (c) Joint 3.
QC2S: quasi-continuous second-order sliding mode; SMC: sliding mode control; NN: neural network.
(18) with 1 ¼ 2 ¼ 5 and 1 ¼ 2 ¼ 0:02. The stable of QC2S controller is chosen as ¼ 0:1. To adjust the
matrix A ¼ diagð5, 5, 5Þ is selected. For the sliding gain, the adaptation parameter is selected as
first differentiator in AQC2S controller, the param- a ¼ 0:5 and the initial value of the adaptation gain k^Q
eters were all set to ¼ 5. The smoothed parameter is selected as k^Q ð0Þ ¼ 0:1, and ! ¼ 5 103 .
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Van and Kang 17
(a)
(b)
(c)
Figure 15. Control effort of adaptive QC2S controller when the robot is in 50% partial loss faults in second actuator: : (a) Joint 1;
(b) Joint 2; (c) Joint 3.
In this simulation, two contributions of the pro- SMC. To verify the first contribution, we compare the
posed FTC scheme are verified: first, the performance proposed AQC2S-NN with only AQC2S; and to
of the active FTC control scheme based on AQC2S verify the second contribution, we compare AQC2S-
and NN compensation is compared with the passive NN with ASMC-NN (ASMC-NN was designed in
FTC based on only AQC2S, and second, the perform- equations (50) and (51)). These performances in track-
ance of the AQC2S is compared with the conventional ing performance and control efforts are verified
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(a)
(b)
(c)
Figure 16. Control efforts of AQC2S controller when the robot is in 50% partial loss faults in second actuator: (a) Joint 1; (b) Joint
2; (c) Joint 3.
through three cases of simulations. In the first case, tracking error even when there is an uncertainty in
the robot is assumed to work in normal operation system dynamics. However, with the help of the
with assumed uncertainties. In the second case, the NN-based uncertainty compensation, the tracking
robot is assumed to work with assumed uncertainties performance of the ASMC-NN and AQC2S-NN are
and 75% partial loss fault in the first actuator. In the better than the use of only AQC2S controller. It is
third case, the robot is assumed to work with assumed clearly shown in Figure 4.
uncertainties and 50% partial loss fault in the second The control efforts of AQC2S, ASMC-NN, and
actuator. AQC2S-NN are shown in Figures 5, 6, and 7, respect-
ively. Although the conventional SMC can provide a
Case 1: Robot in normal operation with good tracking performance, it provides a large chat-
tering, as shown in Figure 6. This drawback can be
assumed uncertainties
passed by using the QC2S; the control input is almost
The comparison results in tracking performance and smoothed, as shown in Figures 5 and 7. When robot is
tracking error among AQC2S, ASMC-NN compen- in fault-free operation, it should be noted that the
sation, and AQC2S-NN are shown in Figures 3 and 4, QC2S term in the AQC2S controller is used to com-
respectively. These results show that all the controllers pensate for the uncertainty, while in the AQC2S-NN
provide a good tracking performance with a small controller, it is used to compensate for the NN
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Van and Kang 19
(a)
(b)
(c)
Figure 17. Control effort of AQC2S-NN controller when the robot is in 50% partial loss faults in second actuator: (a) Joint 1;
(b) Joint 2; (c) Joint 3.
compensation error. Hence, the difference between the uncertainty is larger than its NN compensation
control effort of AQC2S controller and the control error. In this paper, the modeling uncertainty in
effort of AQC2S-NN controller is dependent on the joint 1 and 2 is small, so the difference between the
difference between uncertainty and its compensation uncertainty and NN compensation error is small.
error (NN compensation error). Normally, the Therefore, the difference between the control efforts
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Figure 18. Adaptive parameter k^ Q using AQC2S-NN controller when the robot is in 50% partial loss faults in second actuator.
of AQC2S, shown in Figure 5(a) and (b), and AQC2S- parameters in AQC2S-NN, which converge to some
NN controller, shown in Figure 7(a) and (b), have no values.
significant difference. However, in joint 3, the model-
ing uncertainty is big. Consequently, the uncertainty Case 3: Robot working with assumed uncertainties
is bigger than its NN compensation error. Thus, the
and 50% partial loss fault in the second actuator
control effort of AQC2S-NN controller, shown in
Figure 7c), is smoother than the AQC2S controller, When a 50% partial loss fault occurred in the second
shown in Figure 5(c). actuator of robot system at time t ¼ 5 s, the tracking
From above results, we can conclude that the pro- error of AQC2S, ASMC-NN, and AQC2S-NN con-
posed active FTC based on AQC2S-NN has good trollers are shown in Figure 14. From this figure, we
performance in both tracking performance and chat- see that the AQC2S has a long convergence time and a
tering elimination compared with the passive FTC big tracking error. The tracking performance and the
based on AQC2S and the active FTC based convergence time of the ASMC-NN and AQC2S-NN
on ASMC-NN. The convergence of the adaptive par- are much improved compared to the AQCS, as clearly
ameters (k^Q ) in AQC2S-NN controller is shown shown in Figure 14(b). It proved that the NN com-
in Figure 8. pensator term in these schemes has a correct fault
estimation and compensation.
Case 2: Robot working with assumed uncertainties However, the uses of conventional ASMC provide
a big chattering, as shown in Figure 15, which show
and 75% partial loss fault in the first actuator the control effort of the ASMC-NN controller. By
Figure 9 shows the comparison of tracking error employing the AQC2S, the chattering is eliminated,
among AQC2S, ASMC-NN, and AQC2S-NN when as shown in Figures 16 and 17. In addition, consider-
the partial loss fault was increased to 75% loss of ing the control efforts of AQC2S and AQC2S-NN
effectiveness in the first actuator at t ¼ 5 s. In this controller for joint 2, where the fault existed, we see
case, the AQC2S is less effective in trajectory tracking that the control effort of the AQC2S-NN controller
as shown in Figure 9(a), the convergence time is too (shown in Figure 17(b)) is smoother than the AQC2S
long. By using the NN-based faults compensation, the controller (shown in Figure 16(b)).The estimated
AQC2S-NN controller has much better performance adaptive parameters in AQC2S-NN converge to
in time convergence and tracking error compared some values, as shown in Figure 18.
to AQC2S. All three cases of simulation results show that the
The control efforts of AQC2S, ASMC-NN, and proposed active FTC based on AQC2S-NN algo-
AQC2S-NN when the partial loss fault was increased rithms can efficiently compensate both the uncertain-
to 75% loss of effectiveness in the first actuator are ties and faults with smoothed control efforts. As
shown in Figures 10, 11, and 12, respectively. From shown in the results of the comparison, the proposed
these figures, we can see that the control input of active FTC based on AQC2S-NN shows a superior
AQC2S-NN and AQC2S controllers are much performance compared with the passive FTC based
smoother than ASMC-NN controller. In addition, on AQC2S and active FTC based on ASMC-NN in
considering the control efforts of AQC2S and terms of tracking accuracy, chattering elimination,
AQC2S-NN controller for joint 1, where the fault and stability. Based on these results, we can conclude
existed, the control effort of the AQC2S-NN control- that: (1) the active FTC system usually generates
ler (shown in Figure 12(a)) is smoother than the better performance than the passive FTC when the
AQC2S controller (shown in Figure 10(a)). Figure fault information is correctly identified; (2) the use
13 shows the variation of the estimated adaptive of adaptive quasi-continuous second-order sliding
XML Template (2014) [18.7.2014–6:38pm] [1–22]
Van and Kang 21
mode instead of conventional sliding mode can elim- 8. Xiao B and Zhang Y. Adaptive sliding mode fault tol-
inate the chattering. erant attitude tracking control for flexible spacecraft
under actuator saturation. IEEE Trans Control Syst
Technol 2012; 20: 1605–1612.
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Proc IMechE Part C:

quasi-continuous high-order sliding DOI: 10.1177/0954406214544311

mode and neural network

Mien Van1 and Hee-Jun Kang2

Date received: 8 February 2014; accepted: 6 June 2014

2 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 3

where x^ is the estimation of x and the initial value of

where x~ M is the chosen threshold bound. Faults are

4 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

_ T is the NN input, W,

2 Fault tolerant control based on adaptive

_ @J where, s ¼ ½s1 s2 . . . sn T 2 <n and l ¼ diag

Van and Kang 5

6 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

When all the coeﬃcients are properly selected, the

The stability of the robot system under the control-

Theorem 2. Consider the uncertain robot manipula-

Proof. Let the Lyapunov function be V ¼ 12 sT s.

Van and Kang 7

8 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 9

10 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

V ¼ sT s þ ak~TQ k~Q ð47Þ i¼1

Van and Kang 11

12 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 13

14 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

where ! 4 0 is the size of the dead zone. and

Van and Kang 15

The actuator fault ðtÞ can be represented by ^

16 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 17

18 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 19

20 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

Van and Kang 21

22 Proc IMechE Part C: J Mechanical Engineering Science 0(0)

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_ T is the NN input, W,

_ @J where, s ¼ ½s1 s2 . . . sn T 2 <n and l ¼ diag