Cleveland State University

Mechanical Engineering Department

Introduction to Sliding Mode Control

Prof. Richter

1 / 35
 Intuitive Idea

⊲ Intuitive Idea Thermostat control: define a “performance surface” as

Sliding Mode
Control
SMC Tracker:
s , T − Td = 0
Double-Integrator
System
Multivariable Design a controller that forces temperature to reach the
State-Space SMC
Regulator performance surface and remain there (or close), regardless of
Relative Degree
Minimum-Phase disturbances
Restrictions
State-Space SMC
Tracking by
Reference States
Disturbances: outside temperature, drafts, people and equipment
inside...

2 / 35
 Switched control: thermostat

⊲ Intuitive Idea Thermal system dynamics are like: Ṫ + τ1 T = u + d(t)

Sliding Mode
Control
SMC Tracker: (d is the disturbance)
Double-Integrator
System
Multivariable
State-Space SMC
Use the switching law u = −η sign(s)
Regulator (too hot? make it cold!; too cold? make it hot!)
Relative Degree
Minimum-Phase
Restrictions
State-Space SMC *Simulation here*
Tracking by
Reference States Ideally, this law has the properties that:
1. T reaches T d in finite time (not asymptotic convergence)
2. The set s = 0 is invariant (once there, can’t escape)
3. By definition, once s = 0, T is insensitive to d (total
disturbance rejection)

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 Differential (equations) with discontinuous right-hand sides

⊲ Intuitive Idea Simulation and discussion on

Sliding Mode
Control
SMC Tracker:
Double-Integrator ṡ = −a sign(s) + bδ(t)
System
Multivariable
State-Space SMC
Regulator
with a > b > 0 and |δ(t)| ≤ 1.
Relative Degree
Minimum-Phase  Standard ODE theory fails (lack of a Lipschitz condition)
Restrictions
State-Space SMC  Filippov and Utkin proposed constructions to generate
Tracking by
Reference States
solutions
 Modern approach: differential inclusions (Aubin and Cellina)
Replace ẋ = f (x) by ẋ ∈ co(fi (x)) (convex combination:
αf1 (x) + (1 − α)f2 (x))
Key observation: If a > b, s will reach zero in finite time and
remain there despite δ(t).

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 Sliding Mode Control and Relay Control Systems

⊲ Intuitive Idea  Sliding Mode Control (SMC) developed in the USSR from
Sliding Mode
Control
SMC Tracker:
the more general variable structure control and work in relay
Double-Integrator
System
controls in the early 1950’s.
Multivariable  Research by Emel’yanov, Filippov, Tsypkin and others
State-Space SMC
Regulator published much work in Avtomatika i Telemekhanika, a
Relative Degree
Minimum-Phase controls journal established in 1936. The journal and its
Restrictions
State-Space SMC English translation Automation and Remote Control are still
Tracking by
Reference States active (Springer).

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 Sliding Mode Control

Intuitive Idea
Sliding Mode
 Utkin is credited with bringing these ideas to the West,
⊲ Control
where they continue to be developed. Very active field of
SMC Tracker:
Double-Integrator
System
research, many proven applications.
Multivariable
State-Space SMC
 Recent research led by Spurgeon, Edwards and Zinober (UK),
Regulator Shtessel, Drakunov and Utkin (US), Sira-Ramirez (Mexico).
Relative Degree
Minimum-Phase  SMC is known for its robustness and ease of application. It
Restrictions
State-Space SMC has been used as the basis to develop state estimators
Tracking by
Reference States (observers) for nonlinear systems, paralleling what is
achievable with a Kalman filter.
 SMC (VSC) is also used for robust trajectory control of
robots and robust impedance control.

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 Sliding Mode Estimation (project topic?)

Intuitive Idea
Sliding Mode
⊲ Control
SMC Tracker:
Double-Integrator
System
Multivariable
State-Space SMC
Regulator
Relative Degree
Minimum-Phase
Restrictions
State-Space SMC
Tracking by
Reference States

On Sliding Observers for Nonlinear Systems, J.-J. E. Slotine, J. K. Hedrick and E. A. Misawa, J. Dyn. Sys.,
Meas., Control 109(3),1987, 245-252
Nonlinear Observers: A State-of-the-Art Survey, E. A. Misawa; J. K. Hedrick, J. Dyn. Sys., Meas., Control.
1989; 111(3):344-352.
Sliding Mode Observers - A Survey, S.K. Spurgeon, International Journal of Systems Science, v. 39 N8, 2008,
pp 751-764

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 SMC Tracker: Double-Integrator System

Intuitive Idea
Sliding Mode
Controlled plant:
Control
SMC Tracker:
ÿ = u + δ
Double-Integrator
⊲ System where δ is a composite disturbance term (could contain
Multivariable
State-Space SMC unmodeled dynamics). We only assume that |d(t)| ≤ D for some
Regulator
Relative Degree known D.
Minimum-Phase
Restrictions
State-Space SMC
Tracking by Objective: Given a desired trajectory y d (t), make y(t) → y d (t)
Reference States
regardless of d(t).

Define the performance surface s = 0 with

s = ė + λe

with e = y d − y. If we can achieve s(t) = 0 after some

t = tr > 0, we obtain nice error decay dynamics and total
insensitivity to d(t).

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 Double-Integrator System...

Intuitive Idea
Sliding Mode
s = 0 is also called sliding manifold and sliding surface.
Control
SMC Tracker:

⊲
Double-Integrator
System
Every SMC design must achieve three things:
Multivariable
State-Space SMC 1. Finite-time reaching (sliding surface is attractive): s = 0
Regulator
Relative Degree must be reached from any e(0) and ė(0) in a certain time tr ,
Minimum-Phase
Restrictions
even with disturbances.
State-Space SMC
Tracking by
2. Sliding mode invariance (once s = 0 is reached, s = 0 is
Reference States maintained), even with disturbances.
3. System dynamics in the sliding mode must be stable (in this
case this is guaranteed by ė + λe = 0).
A popular finite-time reaching condition:

sṡ < 0

whenever s 6= 0

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 Double-Integrator System...

Intuitive Idea
Sliding Mode
The above reaching condition can be achieved by selecting
Control
SMC Tracker:
Double-Integrator ṡ = −η sign(s)
⊲ System
Multivariable
State-Space SMC
Regulator
Note that this also guarantees invariance, if sign(0)=0 (Matlab’s
Relative Degree choice).
Minimum-Phase
Restrictions
State-Space SMC
Tracking by Other finite-time reaching laws exist (terminal attractors).
Reference States
The derivative of s is

ṡ = ë + λė = −η sign(s)

But ë = ÿ d − ÿ = −u − δ + ÿ d . Suppose for now that δ is known

or estimated accurately. Then the SMC law becomes

u = ÿ d (t) + λẏ d (t) − λẏ − δ + η sign(s)

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 Double-Integrator System...

Intuitive Idea
Sliding Mode
Since δ is unknown, do not include it in the control law:
Control
SMC Tracker:
Double-Integrator u = ÿ d (t) + λẏ d (t) − λẏ + η sign(s)
⊲ System
Multivariable
State-Space SMC
Regulator
Verification of the reaching condition:
Relative Degree
Minimum-Phase
Restrictions sṡ = s(δ − η sign(s))
State-Space SMC
Tracking by
Reference States Suppose η is chosen appropriately (η > D). Then, if s > 0

sṡ = s(δ − η)

but |δ| < D, so −D ≤ δ ≤ D, therefore δ − η ≤ D − η < 0,

since −η < −D. So we conclude sṡ < 0.

The case s < 0 is handled similarly. Since sṡ < 0 for s 6= 0, the
region s = 0 must be invariant.

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 Notes

Intuitive Idea
Sliding Mode
1. This control law has many advantages relative to PID. This
Control
SMC Tracker:
includes its simplicity (no differentiation, no integration) and
⊲
Double-Integrator
System
its total insensitivity to disturbances and other model errors
Multivariable
State-Space SMC
contained in d
Regulator 2. The implementation requires only position and velocity
Relative Degree
Minimum-Phase feedback and knowledge of the trajectory to be followed
Restrictions
State-Space SMC (feedforward term)
Tracking by
Reference States 3. The signum (sign) function cannot be implemented (just like
a relay without a deadzone). It results in an infinitely fast
switching action across s = 0 called chattering. It will be
replaced by a continuous approximation.
4. The saturation function sat coincides with the signum
function for |s| > φ. Otherwise, sat(s/φ) = s/φ.

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 Saturation Function

Intuitive Idea 
Sliding Mode sign(s) |s| > φ
Control sat (s/φ) = (1)
SMC Tracker: s/φ |s| ≤ φ
Double-Integrator
⊲ System
The slope of the approximation can be adjusted with a small
Multivariable
State-Space SMC
Regulator
positive number φ (boundary layer parameter ).
Relative Degree
Minimum-Phase 1. With this approximation, the boundary layer defined by
Restrictions
State-Space SMC |s| ≤ φ can be shown to be attractive and invariant
Tracking by
Reference States 2. Design tradeoff: chattering intensity vs. tracking accuracy.
3. Sometimes a good compromise cannot be found. This is one
reason for the development of high-order sliding mode
controls.

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 Double-Integrator: Phase Plane

Intuitive Idea
Sliding Mode Reaching and Sliding Phases
Control 8
SMC Tracker:
Double-Integrator
⊲ System 6
Multivariable
State-Space SMC
Regulator 4

Relative Degree
Minimum-Phase Reaching
2
Restrictions edot
State-Space SMC
Tracking by
Reference States 0

−2 Sliding

−4

S=0
−6
−0.1 0 0.1 0.2 0.3 0.4
e

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 Example: Independent-Joint SMC

Intuitive Idea
Sliding Mode
The SMC tracker can be used to achieve trajectory tracking of
Control
SMC Tracker:
robots even when inertial and friction parameters are subject to
⊲
Double-Integrator
System
large uncertainties.
Multivariable
State-Space SMC
Regulator As an example, we design an IJ-SMC for the cart-pendulum
Relative Degree
Minimum-Phase system. This controller has been successfully implemented for
Restrictions
State-Space SMC CSU’s hip robot:
Tracking by
Reference States http://academic.csuohio.edu/richter_h/lab/ccfrobot/

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 Multivariable State-Space SMC Regulator

Intuitive Idea
Sliding Mode
Plant:
Control
SMC Tracker:
ẋ = (A + ∆A)x + (B + ∆B)u + Γw
Double-Integrator
System
Multivariable
where x ∈ Rn , u ∈ Rm , w ∈ Rh .
State-Space SMC Objective:
⊲ Regulator
Relative Degree Bring the state to the origin from any initial condition and
Minimum-Phase
Restrictions achieve robust regulation, despite model uncertainties and
State-Space SMC
Tracking by disturbances.
Reference States
Consider the sliding hyperplane

s = Gx

with G an m-by-n matrix to be determined.

We assume that GB is invertible (transversality condition).
As in the tracking case, s = 0 must be reached in finite time and
it must be invariant, and the sliding mode (dynamics under
s = 0) must be stable.

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 Matched vs. Unmatched Uncertainties

Intuitive Idea
Sliding Mode
Combine uncertainties and disturbances into one term:
Control
SMC Tracker:
Double-Integrator ẋ = Ax + Bu + d(x, u, t)
System
Multivariable

⊲
State-Space SMC
Regulator
If the generalized uncertainty can be expressed as
Relative Degree
Minimum-Phase
Restrictions d(x, u, t) = Bζ(t, x, u)
State-Space SMC
Tracking by
Reference States for some new uncertainty vector ζ(t, x, u), then the uncertainties
are said to be matched. (they enter the system through the
same “doors” as the control input, so total rejection is possible).

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 Matched vs. Unmatched Uncertainties

Intuitive Idea
Sliding Mode
Unmatched uncertainties, even if measured or accurately
Control
SMC Tracker:
estimated, cannot be cancelled by u, but their effect can be
Double-Integrator
System
reduced through proper design (see Khalil, Spurgeon and
Multivariable
State-Space SMC
Edwards).
⊲ Regulator For ∆A = ∆B = 0, the matching condition reduces to
Relative Degree
Minimum-Phase
Restrictions
State-Space SMC
Γ ∈ col (B)
Tracking by
Reference States
(each column of Γ must be a linear combination of those of B)

For m = h = 1, Γ must be parallel to B for the disturbance to

be matched.

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 Reaching Condition and Equivalent Control

Intuitive Idea
Sliding Mode
As in the tracking problem, require
Control
SMC Tracker: −−−→
Double-Integrator ṡ = −Ξ sign (s)
System
Multivariable
State-Space SMC −−−→
⊲ Regulator where Ξ is a diagonal matrix of positive gains and sign (s) is a
Relative Degree
Minimum-Phase
vector whose components are sign(si ), i = 1, 2, ..m.
Restrictions
State-Space SMC
If d were known, the hypothetical control input ueq required to
Tracking by achieve this condition could be found using
Reference States
ṡ = Gẋ = G(Ax + Bu + d):
−−−→
ueq = −(GB) −1
(GAx + Ξ sign (s) + Gd)

This control input is known as equivalent control.

Even when u is implemented without the d term, we can achieve
s = ṡ = 0. ueq can be understood as the input making this
possible.

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 Sliding Mode Stability

Intuitive Idea
Sliding Mode
Supposing s = 0 has been reached, system dynamics under
Control
SMC Tracker:
equivalent control become:
Double-Integrator
System
Multivariable ẋ = (A − B(GB)−1 GA)x − B(GB)−1 Gd + d
State-Space SMC
⊲ Regulator
Relative Degree With matched uncertainties, d = Bζ, so the terms containing d
Minimum-Phase
Restrictions in the above equation cancel out, reducing the sliding dynamics
State-Space SMC
Tracking by to
Reference States
ẋ = (A − B(GB)−1 GA)x = Aeq x
Note:
1. With matched uncertainties, total insensitivity is achieved.
2. System dynamics in the sliding mode are linear, and dictated
by Aeq .

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 Sliding Coefficient Selection

Intuitive Idea
Sliding Mode
 Since s = 0 introduces an algebraic dependence among states
Control
SMC Tracker:
(Gx = 0), Aeq is singular. Sliding mode dynamics defined by
Double-Integrator
System
the nonzero eigenvalues and corresponding eigenvectors.
Multivariable
State-Space SMC
 Aeq has a closed-loop state feedback form with a “funny”
⊲ Regulator feedback gain: (A − BK), with K = (GB)−1 GA).
Relative Degree
Minimum-Phase  For a stable sliding mode, G must be designed so that the
Restrictions
State-Space SMC nonzero eigenvalues of Aeq are stable.
Tracking by
Reference States  Basic method: transformation to “regular form” via QR
decomposition (Edwards and Spurgeon)
 Utkin and Young’s LQ optimal selection
 Eigenstructure assignment (Spurgeon).

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 Implemented Control

Intuitive Idea
Sliding Mode
As done before, implement u without the disturbance term:
Control
SMC Tracker: −−−→
Double-Integrator u = −(GB) −1
(GAx + Ξ sign (s))
System
Multivariable

⊲
State-Space SMC
Regulator
Suppose the generalized uncertainty (matched or unmatched) is
Relative Degree bounded as ||d(t, x, u)|| ≤ ∆.
Minimum-Phase
Restrictions
State-Space SMC
Tracking by It can be shown (Richter H., Advanced Control of Turbofan
Reference States
Engines, Springer, 2011) that choosing ηi > ||Gi ||∆ results in
finite-time convergence to Gx = 0

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 Normal Form Decomposition

Intuitive Idea
Sliding Mode
A coordinate transformation z = T x can be applied so that the
Control
SMC Tracker:
dynamics in the sliding regime reduce to
Double-Integrator
System
Multivariable ż1 = (A11 − A12 Gz1 )z1
State-Space SMC
⊲ Regulator
Relative Degree where A11 and A12 are n − m by n − m and n − m by m blocks
Minimum-Phase
Restrictions of T AT −1 and Gz1 is designed by direct pole placement (see
State-Space SMC
Tracking by Richter’s book for details or Edwards and Spurgeon).
Reference States

The sliding coefficients are then taken as

G = [Gz1 I]T

where I is the m-by-m identity matrix.

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 Example

Intuitive Idea
Sliding Mode
Use the QR decomposition code to select G for a random
Control
SMC Tracker:
third-order system with 1 input. Check that the random (A, B)
Double-Integrator
System
is controllable!
Multivariable
State-Space SMC
⊲ Regulator
Relative Degree
Minimum-Phase
Restrictions
State-Space SMC
Tracking by
Reference States

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 State-Space Output Tracking SMC - Outline

Intuitive Idea
Sliding Mode
Plant:
Control
SMC Tracker:
ẋ = Ax + Bu
Double-Integrator
System
Multivariable
y = Cx
State-Space SMC
⊲ Regulator Objective: Let y(t) → y d (t).
Relative Degree
Minimum-Phase
Restrictions
State-Space SMC Can we use s = y d − y? Two fundamental restrictions of SMC
Tracking by
Reference States will be illustrated:
1. Unity relative degree requirement (1-SMC vs. high-order
SMC)
2. Minimum-phase requirement
Not much can be done about the second requirement, except
selecting a new output to be tracked. SMC has been generalized
to deal with the first requirement.

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 Relative Degree

Intuitive Idea
Sliding Mode
The relative degree is the number of differentiations required for
Control
SMC Tracker:
the output (y) until the control (u) appears.
Double-Integrator
System
Multivariable
State-Space SMC
In linear systems, this coincides with the difference between the
Regulator number of poles and zeroes in
⊲ Relative Degree
Minimum-Phase
Restrictions
State-Space SMC
G(s) = C(sI − A)−1 B
Tracking by
Reference States
A rigorous definition is available for nonlinear systems (Isidori).
So far, we needed only one differentiation of s to reach u. What
if more are needed?

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 Example

Intuitive Idea
Sliding Mode
Consider the triple-integrator plant
Control
SMC Tracker:
Double-Integrator ẋ1 = x2
System
Multivariable
State-Space SMC
ẋ2 = x3
Regulator
⊲ Relative Degree
ẋ3 = u
Minimum-Phase
Restrictions
State-Space SMC Let y = x1 . Define s = ė + λe, with e = xd1 − x1 . Here :
Tracking by
Reference States
ṡ = ẍd1 + λ(ẋd1 − x2 ) − x3
...
s̈ = x d1 + λ(ẍd1 − x3 ) − u

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 Twisting

Intuitive Idea
Sliding Mode The relative degree is 2. We can’t use ṡ = −η sign(s) because
Control
SMC Tracker: the control term does not appear. The reaching condition must
Double-Integrator
System
now involve s̈. The twisting algorithm was pioneered by Levant.
Multivariable
State-Space SMC
Regulator
⊲ Relative Degree
Minimum-Phase
Restrictions
State-Space SMC
Tracking by
Reference States

u = f (x) − r1 sign(s) − r2 sign(ṡ)

Arie Levant, Higher Order Sliding Modes, Differentiation and Output
Feedback Control, Int. J. Control, 2003, v.76, n9, 924-941.

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 Super-Twisting

Intuitive Idea
Sliding Mode
The super-twisting algorithm was pioneered by Moreno and
Control
SMC Tracker:
Osorio. Here, the relative degree is one, but additional dynamics
Double-Integrator
System
are introduced to move chattering action to the dynamic state,
Multivariable
State-Space SMC
eliminating it from the final control input:
Regulator
⊲ Relative Degree
http://www.intechopen.com/books/sliding-mode-control/
Minimum-Phase
Restrictions super-twisting-sliding-mode-in-motion-control-systems
State-Space SMC
Tracking by
Reference States
The twisting algorithm has also been used for noise-free, but
accurate numerical differentiation. Application of this algorithm
to differentiation of biomechanical data can be an interesting
term project.

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 Minimum-Phase Restrictions

Intuitive Idea
Sliding Mode Given the state-space system (A, B, C, D), the zero dynamics
Control
SMC Tracker: correspond to system dynamics under the restriction y = 0. With
Double-Integrator
System
transfer functions, the zero dynamics are defined by the location
Multivariable
State-Space SMC
of the zeroes.
Regulator
Relative Degree
Minimum-Phase Example:
⊲ Restrictions
State-Space SMC For the system
Tracking by
Reference States
ẋ1 = x2 , ẋ2 = −2x1 − 3x2 + u

with output y = x1 + 2x2 , set y = ẏ = 0, find the hypothetical

control required for ẏ = 0 and make substitutions to find the
zero dynamics of this system. Then find the transfer function,
look at the zero and compare.

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 Nonlinear Zero Dynamics

Intuitive Idea
Sliding Mode
Although there is no concept of ‘zeroes” in nonlinear systems,
Control
SMC Tracker:
the notions of relative degree and zero dynamics still exist (see
Double-Integrator
System
Isidori or Khalil).
Multivariable
State-Space SMC
HW (doctoral):
Regulator Find the zero dynamics for the system
Relative Degree
Minimum-Phase
⊲ Restrictions ẋ1 = −x31 + u, ẋ2 = −x1 + sin(x2 )
State-Space SMC
Tracking by
Reference States
with output y = x2 . Are the zero dynamics stable?

For SMC, let s = y = Gx and suppose the objective is to

regulate y to zero. Then G is not a design choice any more.
If Aeq = (A − B(GB)−1 GA) has an unstable sliding subspace,
the problem is not solvable.

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 State-Space SMC Tracking by Reference States

Intuitive Idea
Sliding Mode
One way to circumvent relative degree and non-minimum phase
Control
SMC Tracker:
limitations is to require the state to track a state reference
Double-Integrator
System
trajectory: x(t) → xd (t). Then there is no output, so relative
Multivariable
State-Space SMC
degree and zero dynamics become irrelevant.
Regulator
Relative Degree
Minimum-Phase Full state feedback and a feedforward trajectory generator will be
Restrictions
State-Space SMC required.
Tracking by
⊲ Reference States
Plant:
ẋ = Ax + Bu + Γδ
Objective: Let x(t) → xd (t).

Define e = xd − x and use s = Ge.

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 SMC Tracking by Reference States

Intuitive Idea
As before, make
Sliding Mode −−−→
Control
SMC Tracker:
ṡ = −Ξ sign (s)
Double-Integrator
System
Multivariable
The control required to maintain ṡ = 0 can be solved as
State-Space SMC
Regulator d −−−→
Relative Degree
ueq = (GB) −1
(Gẋ − GAx − GΓδ + Ξ sign (s))
Minimum-Phase
Restrictions
State-Space SMC It can be shown (doctoral HW) that the tracking error dynamics
Tracking by
⊲ Reference States in the sliding mode (s = 0) become

ė = Aeq e + (I − B(GB)−1 G)(ẋd − Axd ) + (I − B(GB)−1 G)Γδ

If the disturbance is matched, δ = Bψ for some new disturbance

ψ, and the last term cancels (total insensitivity).

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 SMC Tracking by Reference States

Intuitive Idea
Sliding Mode
The term
Control
SMC Tracker:
(I − B(GB)−1 G)(ẋd − Axd )
Double-Integrator
System
Multivariable
suggests a way to determine the reference states (Misawa’s
State-Space SMC “consistent generation”).
Regulator
Relative Degree
Minimum-Phase
Restrictions Suppose xd (t) = Axd (t) + Bv(t) for some arbitrary input v(t).
State-Space SMC
Tracking by Then error dynamics reduce to
⊲ Reference States

ė = Aeq e

and asymptotic convergence of the error is guaranteed by making

Aeq stable (by pole placement, for instance).

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 SMC Tracking by Reference States

Intuitive Idea
Sliding Mode
The reference states can be chosen so that the output
Control
SMC Tracker:
y = Cxd (t) matches a desired profile.
Double-Integrator
System
Multivariable
State-Space SMC
The input v(t) is determined in a separate process, which can be
Regulator offline or online. It can even be designed by open-loop
Relative Degree
Minimum-Phase optimization (time-optimal control, for instance).
Restrictions
State-Space SMC
Tracking by
⊲ Reference States Example/HW: Design a tracking controller for some state space
system (A, B, C, D).

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