Nonlinear Dyn
DOI 10.1007/s11071-016-2622-7
ORIGINAL PAPER
Adaptive dynamic surface error constrained control for
MIMO systems with backlash-like hysteresis via prediction
error technique
Lei Liu · Zhanshan Wang · Huaguang Zhang
Received: 25 June 2015 / Accepted: 11 January 2016
© Springer Science+Business Media Dordrecht 2016
Abstract In this paper, we are concerned with the
problem of adaptive dynamic surface error constrained
control for a class of nonlinear multiple-input-multiple-
output systems with unknown backlash-like hysteresis
nonlinearities. By transforming the tracking errors into
new virtual error variables which are incorporated into
the proposed prescribed performance control strategy,
the prescribed steady-state and transient performance
can be ensured. Compared with the existing methods,
we introduce the prediction error which is generated
between the system state and the serial–parallel esti-
mation model to construct the adaptive laws for neural
network weights. The proposed prediction error tech-
nique can be used to compensate the tracking error,
which implies that a higher accuracy of the identi-
fied neural network model is achieved. It is shown that
the proposed control approach can guarantee that all
the signals of the resulting closed-loop systems are
bounded and the output tracks the desired trajectory,
L. Liu · Z. Wang (B) · H. Zhang
School of Information Science and Engineering,
Northeastern University, Shenyang 110819, Liaoning,
China
e-mail: zhansahn_wang@163.com
L. Liu
e-mail: liuleill@live.cn
H. Zhang
e-mail: hgzhang@ieee.org
L. Liu · Z. Wang · H. Zhang
The State Key Laboratory of Synthetical Automation for Process
Industries, Shenyang 110819, Liaoning, China
while the tracking error are confined all times within
the prescribed bounds. Finally, a simulation example is
provided to confirm the effectiveness of the proposed
approach.
Keywords Adaptive dynamic surface control ·
Unknown backlash-like hysteresis · Prediction
error technique · Serial–parallel estimation model ·
Prescribed performance control
1 Introduction
In modern society, it is already widely acknowledged
that constraints are ubiquitous in many industrial con-
trol systems and practical systems. If the constrained
control is not realized, it will result in unsafety speci-
fications, physical saturation, stoppage as well as fault
and even catastrophic accidents. To handle the problem
of systems without violating some constraints, many
advanced control strategies were proposed, see for
examples [1–7] and the references therein. In addition,
several adaptive output feedback control schemes have
also been developed such as in [8] with full-state con-
straints and in [9] with output constraints. This implies
that the tracking errors are indirectly constrained.
However, a drawback of these approaches is that the
designed controller must be redesigned to accommo-
date the change in the BLF as mentioned in [10]. There-
fore, extra effort is required to avoid this drawback.
123

As noticeable performance constraints, the authors
in [11] developed a performance transformation func-
tion to ensure a prescribed performance constraint.
Subsequently, the achievements for solving this kind
of prescribed performance constraints were published
[12–19]. The main idea of these results [12–18] is to
introduce the so-called predefined performance bound
(PPB) of the tracking errors to modulate the control
performance indices (CPI). However, to date, the PPB
methodology has not been applied to the multiple-
input-multiple-output (MIMO) systems with its con-
trol input contains unknown backlash-like hysteresis
nonlinearities, which is more practical and important
in industrial application. Because of the existence of
coupling phenomenon among states, inputs or outputs,
the extension of control strategies in SISO systems to
MIMO systems is nontrivial.
In practical production and application, many actu-
ators of control systems often suffer from the hys-
teresis nonlinearity [20–23]. In a mechanical trans-
mission system with worm gear, the worm gear is
considered as a backlash-like hysteresis. In a feed
drive mechanism with a lead screw drive, backlash-
like hysteresis is generated due to the gaps between
screw and nut [24]. It will lead to the problems of
inaccuracy, instability, and it restricts system perfor-
mance. A big challenge in backlash-like hysteresis is
how to find out c j and b j (they are defined in Eqs. 2
and 3), which are related to both the model perfor-
mance and the hysteresis loop [25]. Recently, many
significant works have been achieved in the control
community for nonlinear systems in the presence of
backlash-like hysteresis, for example, see [26,27] and
the reference therein. The results mentioned above (see
[21,22,26,28–30]) were all obtained based on the typ-
ically adaptive backstepping techniques which were
constructed recursively [31]. The backstepping tech-
nique has a main limitation as follows: the so-called
problem of ‘explosion of complexity’ exists in the
developed controllers, which is incurred by repeating
differentiations of nonlinear functions and virtual con-
trol variables.
To solve the aforementioned problem inherent in
the adaptive backstepping methods, several adaptive
dynamic surface control methods were proposed for
various systems, such as SISIO systems [19,32],
unknown time-delay systems [27,33], stochastic non-
linear strict-feedback systems [34] and other applica-
tions on flight control [35] and power systems control
123
L. Liu et al.
[36] and so on. Although the NN-based DSC scheme
has been obtained much progress, few contributions
have been achieved to the accuracy of the NN identified
models. As noted in [37], a prediction error technique
mentioned in [38,39] was incorporated into the control
framework to compensate the tracking error for SISO
systems. But for MIMO systems [40,41] with hystere-
sis, because the complete decoupling cannot be fully
realized, the prediction error contains information from
other subsystems and the non-smooth hysteresis affects
the system’s normal operation, the stability analysis
of the closed-loop MIMO systems will become much
more complicated. This motivates us to address this
paper.
This paper focuses on the adaptive DSC approach
with prescribed performance for a class of MIMO sys-
tems subjected to unknown backlash-like hysteresis
nonlinearities. Prediction error technique will be incor-
porated into the controllers to obtain a better accu-
racy of the NN identified models. Predefined perfor-
mance control (PPC) is used to make sure that the
tracking error will converge to an any small resid-
ual set with which a convergence rate will be no
less than a predefined value. Radial basis function
neural network (RBFNN) is utilized to approximate
the unknown nonlinear functions, and the DSC method
is proposed to eliminate the ’explosion of complex-
ity’ problem incurred by the traditional backstepping
scheme. Finally, a simulation results are provided to
confirm the effectiveness of the proposed approaches.
In contrast to the large amount of existing results,
the main contributions of this paper are summarized as
follows:
– Different from the previous results in [27,32,34,42]
where the prediction error is ignored, we develop
a novel adaptive backstepping DSC scheme using
prediction error technique for a class of MIMO sys-
tems with unknown backlash-like hysteresis. In this
case, not only the issue of ‘explosion of complex-
ity’ is solved, but also the accuracy of the RBFNN
is improved.
– Compared with the existing methods in [26–32,34]
and [36], in which the PPC is not considered, the
control strategy presented in this paper makes sure
that the tracking errors are constrained within the
prescribed values for all time. Besides, the require-
ment to construct an inverse [22] of backlash-like
hysteresis is avoided.
Adaptive dynamic surface error constrained control for MIMO systems

2 Problem statement As mentioned in [21], the explicit solution of (2) is

given as
2.1 System description and basic assumptions  
u j (t) = c j v j (t) + b j v j , (3)
We consider the following MIMO systems with where
unknown backlash-like hysteresis as
⎧   b j (v j ) = [u j0 − c j v j0 ]e−ξ j (v j −v j0 )sgnv̇ j
⎪ ẋ j1 = f j1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x j1
⎪  vj
⎪
⎪
⎪
⎪ + d j1 (x̄) + g j1 (x̄1 , u 1 , . . . , x̄ j−1 , + e−ξ j v j sgnv̇ j [B − c]eξ j τ (sgnv̇ j ) dτ,
⎪
⎪ v j0
⎪
⎪
⎪
⎪ u j−1 , x j1 )x j2 ,
⎪
⎪ in which u j0 and v j0 stand for theinitial
⎪
⎪ ..  conditions of
⎪
⎪ . u j and v j . As proved in [23], b j v j is bounded,
⎪
⎪
⎪  i.e.
⎪
⎪ ẋ −1 = f jn j −1 (x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , there exist an unknown constant D such that b j v j ≤
⎪ jn
 ⎨
j

x̄ jn j −1 ) + d jn j −1 (x̄) D.
j (1)
⎪
⎪
⎪
⎪ + g jn −1 ( x̄ 1 , u 1 , . . . , x̄ j−1 , Remark 2 The hysteresis models can be classified into
⎪
⎪
j
⎪
⎪ u j−1 , x̄ jn j −1 )x jn j , four classes [29], which are the backlash-like hysteresis
⎪
⎪
⎪
⎪ ẋ jn j = f jn j (x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ jn j )
⎪
⎪
model in [21], the conventional Prandtl–Ishlinskii (P–I)
⎪
⎪
⎪
⎪ + d jn j (x̄) + g jn j (x̄1 , u 1 , . . . , hysteresis model in [23], the generalized P–I hysteresis
⎪
⎪  
⎪
⎪ model, and the modified Bouc-Wen hysteresis model
⎪
⎪ x̄ j−1 , u j−1 , x̄ jn j )u j v j ,
⎩ in [29], respectively. However, in contrast to the other
y j = x j1 , j = 1, . . . , m,
three types, the backlash-like hysteresis is more useful
where x̄ ji (k) = [x j1 (k) , . . . , x ji (k)]T ∈ R i , j = in the field of electromagnetics because the functions
1, . . . , m, i = 1, . . . , n j is the state vector of the and parameters can be fine-tuned to match experimen-
jth subsystem, y j ∈ R is the output of the jth sub- tal results [46, p. 96]. In addition, another advantage
system and x̄ = [x̄1 , x̄2 , . . . , x̄m ]T . f ji (·) , j = of backlash-like hysteresis model is that the controller
1, . . . , m, i = 1, . . . , n j are unknown nonlinear can be synthesized directly without constructing a hys-
dynamics and g ji (·) are positive control gain func- teresis inverse to mitigate effects of the hysteresis [21].
tion. d ji (x̄) is the unknown but bounded disturbance Thus, it is necessary to study the backlash-like hystere-
with d ji (X ) ≤ d̄ ji . u j (v j ) is the input vector of sis model (2).
the jth subsystem where v j represents the input of the
unknown backlash-like hysteresis in the actuator. Assumption 1 The desired trajectory y jd (t) ∈ Ω y and
its first derivatives ẏ jd (t) are smooth and known where
Remark 1 It is worth mentioning that the considered Ω y is a bounded compact set.
strict-feedback MIMO systems (1) are more general.
If the gain functions g jn j −1 (x̄1 , u 1 , . . . , x̄ j−1 , u j−1 ,
x̄ jn j −1 ) = 1 in (1), it will become the MIMO nonlin- 2.2 Prescribed performance and control objective
ear systems in [10,43]. Besides, if f jn j −1 (x̄1 , u 1 , . . . ,
x̄ j−1 , u j−1 , x̄ jn j −1 ) = f jn j −1 (x̄ jn j −1 ) and g jn j −1 According to the PPC theory [16], the designed con-
(x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ jn j −1 ) = 1, the plants (1) troller should make sure the tracking error e j = y j −
will be changed into the MIMO nonlinear systems in y jd to be not beyond a specified PPB. The smooth
[42,44,45], which are studied widely in the literature. decreasing performance function ς j (t) is denoted as
[17]
According to [21], the output of the backlash-like
 
hysteresis in (1) is described as ς j (t) = ς0 j − ς∞ j e−l j t + ς∞ j , (4)

du j
dv j
 

= ξj

c j v j − u j + B j dv j , (2) where the positive constant ς∞ j stands for the maxi-
dt dt
dt mum amplitude which imposes restriction on the track-
where v j is the input of the backlash-like hysteresis. ing error to guarantee its steady state and the decreasing
ξ j and B j are unknown constants and c j > 0 is the rate e−l j t confines the convergence speed of tracking
bounded slope of the lines satisfying c j > B j . error.

123
 L. Liu et al.

If the following constraint conditions hold, where the approximation error ε satisfies |ε (x)| ≤ ε̄
with the constant ε̄ > 0.
−δ j ς j (t) < e j (t) < ς j (t) if e j (0) ≥ 0, (5)
−ς j (t) < e j (t) < δ j ς j (t) if e j (0) < 0, (6) The main control objective is to develop adaptive
controllers v j , j = 1, . . . , m so that: (1) The output y j
where 0 < δ j < 1 is the prescribed scale parameter,
follows a given reference signal y jd to a small compact
then the steady-state and prescribed transient perfor-
set, (2) all the signals in the closed-loop systems are
mance of tracking error e j (t) would be guaranteed. In
bounded, and (3) the tracking error achieves prescribed
this case, the undershoot and the maximum overshoot
transient and steady-state performance.
of e j (t) are achieved by appropriately choosing the
In the following, the update laws and controllers will
value of ς j (0) and δ j ς j (0).
be developed based on Assumption 1.
Next the error transformation can be denoted as
 
e j (t) = ς j (t) S z j1 ,
  3 RBFNN controller designs via prediction error
where S z j1 is a smooth, strictly increasing and thus
technique
invertible function and z j1 is the
 transformed
 error [11].
In this paper, the function S z j1 is defined as
Differentiating z j1 with regard to time, we get
M j + e−z j1 M j 
S(z j1 ) = , (7) ∂ S −1 e j (t) 
1 + e−z j1 ż j1 =  e (t) 
∂ ς jj (t) ς j (t)
where the pairs (M j , M j ) are given as  
 = r j f j1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x j1 +r j d j1 (x̄)
 
(−δ j , 1), if e j (0) ≥ 0, + r j g j1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x j1 x j2 −r j h j ,
(M j , M j ) = (8)
(−1, δ j ), if e j (0) < 0. (11)
Furthermore, we have the following inverse trans- where
formation
∂ S −1 1 ς j (M j − M j )
 e j (t) rj =   = ,
−1 e j (t) ς j (t) − M j e j (t) ς j (t) (e j − ς j M j )(M j ς j − e j )
z j1 = S = ln . (9) ∂ ς j (t)
ς j (t) e (t)
Mj − j ς j (t) (12)
Remark 3 Although variety of previous works and and
results are proposed to solve kinds of prescribed perfor- ς̇ j (t)e j (t)
mance constraints one after the other such as in [16–18], h j = ẏ jd + . (13)
ς j (t)
the PPB method has not been used to MIMO systems
with its control input contains unknown hysteresis non- In (11), both r j and h j contain terms relating to
linearities. The existence of backlash-like hysteresis is tracking and behavioral system properties, which are
an instability source in many systems, which means that known and they can be included in control design [18].
to develop a proper PPB scheme to compensate for or Firstly, the following transformed model can be
counteract the effect of backlash-like hysteresis is sig- obtained as
⎧  
nificant. Besides, the NNs’ accuracy of approximation ⎪ ż j,1 = r j f j1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x j1 + r j d j1 (x̄)
⎪
⎪  
in identifying and modeling is left out in [16,17]. By ⎪
⎪ + r j g j1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x j1 x j2 − r j h j ,
⎪
⎪
introducing prediction error technique, the accuracy of ⎪
⎪
⎪
⎪ ..
⎪
⎪ .
NNs identified models is improved in this paper. ⎪
⎪  
⎪
⎨ ẋ jn j −1 = f jn j −1 x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ jn j −1
Lemma 1 [16] For each continuous function f (x) ⎪ + d jn j −1 (x̄) + g jn j −1 (x̄1 , u 1 , . . . , x̄ j−1 ,
(14)
⎪
⎪
which is defined on a compact set Ω, there exists a ⎪
⎪
⎪
⎪
⎪  , x̄ jn j −1 )x jn j ,
u j−1 
RBFNN (10) such that: ⎪
⎪ ẋ jn j = f jn j x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ jn j + d jn j (x̄)


⎪
⎪    
⎪
⎪


⎪
⎪ + g jn j x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ jn j u j v j ,
sup
ωT θ (x) − f (x)
≤ ε (x) , (10) ⎩
x∈Ω y j = x j1 , j = 1, . . . , N .

123
Adaptive dynamic surface error constrained control for MIMO systems

Remark 4 Note that there are many state space mod- ∗ − ω̂

where ω̃1,1 = ω1,1 1,1 is the approximation error.
els of physical systems and practical systems which The following compensated signal
 a1,1 is developed
can be transformed into the MIMO nonlinear systems to cancel the effect of the error x1,2 − x1,2
c d ,
(1) and (15) such as cold-rolling mills, continuous
stirred tank reactors (CSTR) [47], two-link planar robot ȧ1,1 = −k1,1 z 1,1 + r1 g1,1 a1,2 − 2r 2j σ j,1
manipulator system [45], electro-hydraulic servo sys-
+ r1 g1,1 (x1,2
c
− x1,2
d
), (19)
tems (EHSS) [48] and mechanical systems [40]. In
[2,31,32], the adaptive backstepping controllers can where a1,1 (0) = 0. And then, we bring in the compen-
be directly designed to solve the tracking problems for sated tracking error as
[47,48]. However, such control approaches will lead to
σ1,1 = s1,1 − a1,1 . (20)
the ‘explosion of complexity’ issue which contains a
lot of complex calculation (repeated differential terms Now, the prediction error is defined as
in the virtual controls, intermediate variables and actual
η1,1 = z 1,1 − x̂1,1 , (21)
controllers). In this paper, the problem will be solved
by introducing the DSC method. where x̂˙1,1 is expressed from the following serial–
parallel estimation model [37]
For the purpose of designing procedure conve-
niently, we abbreviate f ji (x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̂˙1,1 = r1 ω̂1,1
T
θ1,1 + r1 g1,1 x1,2 + β1,1 η1,1 + r1 d11 ,
x̄ ji ), g ji (x̄1 , u 1 , . . . , x̄ j−1 , u j−1 , x̄ ji ), θ ji (x̄ ji ) and (22)
d ji (x̄) by f ji , g ji , θ ji and d ji , respectively.
in which β1,1 > 0 and x̂1,1 (0) = x1,1 (0). The serial–
Step 1.1: Considering the first equation in subsystem 1 parallel estimation model here is applied to obtain ẋˆ1,1
and using RBFNN to approximate the unknown func- which will be used to derive the derivative of prediction
tion f 11 , one can obtain error in (22).
Then, one has
ż 1,1 = r1 f 1,1 + r1 g1,1 x1,2 + r1 d1,1 − r1 h 1
∗T
= r1 ω1,1 θ1,1 + r1 ε1,1 + r1 g1,1 x1,2 η̇1,1 = ż 1,1 − x̂˙1,1
+ r1 d1,1 − r1 h 1 , (15) = r1 ω̃1,1
T
θ1,1 + r1 ε1,1 − β1,1 η1,1 − r1 h 1 . (23)
∗ and ε
where ω1,1 The adaptive law is selected as
1,1 are the NN weights values and
   
the NN approximation errors, respectively. And then, ω̂˙ 1,1 = γ1,1 r1 σ1,1 + τ1,1 η1,1 θ1,1 − δ1,1 ω̂1,1 ,
define the error surface as s1,1 = z 1,1 . The following
(24)
virtual controller is chosen
1 1 T h1 where γ1,1 , τ1,1 and δ1,1 are positive design constants.
d
x1,2 =− k1,1 s1,1 − ω̂ θ1,1 + , (16)
r1 g1,1 g1,1 1,1 g1,1 Similar to the step 1.1 and repeat this procedure
∗ and k from step 1.2 to step 1. n1 − 1, one can derive the
where ω̂1,1 is the estimation of ω1,1 1,1 is the
virtual control, prediction error and adaptive laws in
design constant with k1,1 > 0.
each step such as (17), (22) and (25), accordingly.
To avoid the problem of ‘explosion of complexity’
d directly, an alter-
which is caused by differentiating x1,2 Step 1. i (i = 2, . . . , n 1 −1): Using RBFNN to approxi-
d pass through the following
native method is to drive x1,2 mate the unknown nonlinear internal dynamic f 1,i , one
first-order filter obtains
α1,2 ẋ1,2
c
+ x1,2
c
= x1,2
d
, x1,2
c
(0) = x1,2
d
(0) , (17) ∗T
ẋ1,i = ω1,i θ1,i + ε1,i + g1,i x1,i+1 + d1,i , (25)
where α1,2 > 0 is time constant, and is a new c
x1,2 where ω1,i∗ and ε ∗
1,i are defined similarly to ω1,1 and
variable. ε1,1 . Next, denote the error surface as s1,i = x1,i − x1,i
c
Let s1,2 = x1,2 − x1,2
c . Then the time derivative of
c
where x1,i is a new state variable that will be given in
s1,1 can be given as (28). Design the following virtual control as
ṡ1,1 = r1 ω̃1,1
T
θ1,1 + r1 ε1,1 − k1,1 s1,1 + r1 g1,1 s1,2 c
ẋ1,i
  1 1 T
d
x1,i+1 =− k1,i s1,i − ω̂1,i θ1,i + , (26)
+ r1 d1,1 + r1 g1,1 x1,2 c
− x1,2d
, (18) g1,i g1,i g1,i

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 L. Liu et al.

∗ and k is the design

where ω̂1,i is the estimation of ω1,i ẋ1,n 1 = f 1,n 1 + g1,n 1 u 1 (v1 ) + d1,n 1
1,i
constant with k1,i > 0. ∗T
= ω1,n θ + ε1,n 1 + g1,n 1 u 1 (v1 ) + d1,n 1 ,
1 1,n 1
Let s1,i+1 = x1,i+1 − x1,i+1
c c
, where x1,i+1 is gen-
d
(35)
erated after let x1,i+1 pass through the following first-
∗
where ω1,n is the RBFNN weight value and ε1,n 1 is
order filter 1
the RBFNN approximation error, respectively.
α1,i+1 ẋ1,i+1
c
+ x1,i+1
c
Define s1,n 1 = x1,n 1 − x1,n
c and from (3), it results
1
= x1,i+1
d
, x1,i+1
c
(0) = x1,i+1
d
(0) , (27) in
∗T
where α1,i+1 > 0 is time constant. Then the time deriv- ṡ1,n 1 = ω1,n θ
1 1,n 1
+ ε1,n 1 + g1,n 1
ative of s1,i can be rewritten as × (c1 v1 + b1 ) + d1,n 1 − ẋ1,n
c
1
∗T
ṡ1,i = ẋ1,i − ẋ1,i
c = ω1,n θ
1 1,n 1
+ ε1,n 1 + g1,n 1

= ω̃1,i
T
θ1,i + ε1,i − k1,i s1,i + g1,i s1,i+1 b1
× c1 v1 + + d1,n 1 − ẋ1,n
c
. (36)
  c1 1

+ d1,i + g1,i x1,i+1

c
− x1,i+1
d
, (28)
This further follows that
where ω̃1,i = ∗
ω1,i
− ω̂1,i is the approximation error.
  b1 /c1 ≤ b̄1 /c1 = ρ1 . (37)
c
In order to offset the error term x1,i+1 − x1,i+1
d , Because ρ1 is an uncertain constant parameter, ρ̂1
the compensated signal a1,i is provided is used to denote the estimation of ρ1 and define ρ̃1 =
  ρ1 − ρ̂1 .
ȧ1,i = −k1,i a1,i +g1,i a1,i+1 +g1,i x1,i+1
c
−x1,i+1
d
, Select the actual controller as
(29)
v1 = −ρ̂1 + σ1,n
2
1
/(τ1,n 1 η1,n 1 ). (38)
where a1,i (0) = 0. Then, the following compensated The compensating signal a1,n 1 is designed as
tracking error is introduced
ȧ1,n 1 = ω̂1,n
T
θ
1 1,n 1
− ẋ1,n
c
− k1,n 1 σ1,n 1 . (39)
σ1,i = s1,i − a1,i , (30) 1

The compensated tracking error is constructed as

Now, we design the prediction error as
σ1,n 1 = s1,n 1 − a1,n 1 . (40)
η1,i = x1,i − x̂1,i , (31)
Design the prediction error η1,n 1 as
Based on the serial–parallel estimation model in
η1,n 1 = x1,n 1 − x̂1,n 1 . (41)
[37], the term x̂˙1,i is developed as
where x̂˙1,n 1 is defined from the following serial–
x̂˙1,i = ω̂1,i
T
θ1,i + g1,i x1,i+1 + β1,i η1,i + d1,i , (32) parallel estimation model
where β1,i > 0 and x̂1,i (0) = x1,i (0). x̂˙1,n 1 = ω̂1,n
T
θ
1 1,n 1
+ β1,n 1 η1,n 1 + d1,n 1 , (42)
Integrating on the both sides of (32), it has
in which β1,n 1 > 0 and x̂1,n 1 (0) = x1,n 1 (0).
η̇1,i = ẋ1,i − x̂˙1,i = ω̃1,i
T
θ1,i + ε1,i − β1,i η1,i . (33) According to (36) and (43), the following equation
hold
The adaptive law is given as
   η̇1,n 1 = ẋ1,n 1 − x̂˙1,n 1
ω̂˙ 1,i = γ1,i σ1,i + τ1,i η1,i θ1,i − δ1,i ω̂1,i , (34)
= ω̃1,n
T
θ
1 1,n 1
+ ε1,n 1 − β1,n 1 η1,n 1
where γ1,i , τ1,i and δ1,i are positive design constants.
+ g1,n 1 c1 ρ̃1 + g1,n 1 c1 σ1,n
2
1
/(τ1,n 1 η1,n 1 ). (43)
Step 1. n1 : The control signal v1 (t) in the first subsys- In this recursive procedure, the adaptive laws are
tem will be derived in this step. chosen as
By utilizing the RBFNN to estimate the unknown  
ω̂˙ 1,n 1 = γ1,n 1 [ σ1,n 1 + τ1,n 1 η1,n 1
internal dynamic f 1,n 1 and considering the n 1 th dyna-
mic equation in first subsystem, it yields × θ1,n 1 − δ1,n 1 ω̂1,n 1 ], (44)

123
Adaptive dynamic surface error constrained control for MIMO systems

σ̇ j,1 = ṡ j,1 − ȧ j,1

= r j ω̃Tj,1 θ j,1 + r j ε j,1 + r j d j,1 − 2r 2j σ j,1
+r j g j,1 σ j,2 , (47)
σ̇ j,i = ṡ j,i − ȧ j,i
= ω̃Tj,i θ j,i + ε j,i − k j,i σ j,i + g j,i σ j,i+1 + d j,i ,
σ̇ j,n j = ṡ j,n j − ȧ j,n j
= ω̃Tj,n j θ j,n j + ε j,n j + g j,n j c j ρ̃ j + d j,n j
− g j,n j c j σ j,n j − k j,n j σ j,n j . (48)

The derivative of V can be expressed as

nj nj

m  
m 
1 T ˙
V̇ = σ̇ j,i σ j,i − ω̃ ω̂ j,i
γ j,i j,i
j=1 i=1 j=1 i=1


m  m nj
1
Fig. 1 The systems diagram for the overall investigation − ρ̃ j ρ̂˙ j + τ j,i η j,i η̇ j,i . (49)
μj
j=1 j=1 i=1
 
ρ̂˙1 = μ1 σ1,n 1 g1,n 1 c̄1 + τ1,n 1 η1,n 1 g1,n 1 c̄1 − ρ̂1 , n j
According to (49)–(50), the terms i=1 σ̇ j,i σ j,i can
(45) be rewritten as
nj
where γ1,n 1 , τ1,n 1 , μ1 and δ1,n 1 are positive design con- 
stants. σ̇ j,i σ j,i
i=1
The systems diagram for the overall investigation is
shown in Fig. 1. = σ j,1r j ω̃Tj,1 θ j,1 + r j σ j,1 ε j,1 + r j σ j,1 d j,1
+ r j σ j,1 g j,1 σ j,2 + σ j,n j ω̃Tj,n j θ j,n j + σ j,n j ε j,n j
Theorem 1 For the proposed MIMO strict-feedback
systems (1) subjected to the unknown backlash-like + σ j,n j g j,n j c j ρ̃ j − g j,n j c j σ j,n
2
j
+ σ j,n j d j,n j
hysteresis (2), under Assumptions 1, choose the vir- n j −1 

tual controllers (17) and (27), parameter adaptive + σ j,i g j,i σ j,i+1 + σ j,i ε j,i − k j,i σ j,i
2
laws (25), (35) and (45)–(46), prediction errors (22), i=2
(32) and (42), and the actual controller (39), it can 
+ σ j,i ω̃Tj,i θ j,i + σ j,i d j,i − 2r 2j σ j,1
2
− k j,n j σ j,n
2
.
make sure that all the signals in the MIMO nonlinear j

closed-loop systems are uniformly ultimately bounded. (50)

In addition, the error constraint conditions are not vio-
Substituting (25), (35) and (45) into the algebraic
lated as well as the tracking error can be guaranteed n j 1 T ˙
arbitrarily small.
expression i=1 γ j,i ω̃ j,i ω̂ j,i , it results in
nj

Proof Consider the following Lyapunov function can- −1 ˙
ω̃Tj,i γ j,i ω̂ j,i = r j σ j,1 ω̃Tj,1 θ j,1 +τ j,1 η j,1r j ω̃Tj,1 θ j,1
didate i=1
m nj nj
1  
m  nj 
1 
V = σ j,i
2
+ ω̃T ω̃ j,i − δ j,1 ω̃Tj,1 ω̂ j,1 + σ j,i ω̃Tj,i θ j,i
2 2γ j,i j,i
j=1 i=1 j=1 i=1 i=2

 m nj
1 2   τ j,i 2
m
+ τ j,i η j,i ω̃Tj,i θ j,i −δ j,i ω̃Tj,i ω̂ j,i .
+ ρ̃ + η . (46)
2μ j j 2 j,i (51)
j=1 j=1 i=1

From the definition of the compensated tracking Based on the adaptive law (46), the following result
error (21), (31) and (41), it deduces hold

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 L. Liu et al.

1 n j −1 n j −1
ρ̃ j ρ̂˙ j = ρ̃ j σ j,n j g j,n j c̄ j − ρ̃ j ρ̂ j  1 
μj σ j,i g j,i σ j,i+1 ≤ (g j,i + g j,i−1 )σ j,i
2
2
+ ρ̃ j τ j,n j η j,n j g j,n j c̄ j . (52) i=2 i=2
− g j,1 σ j,2
2
+ g j,n j −1 σ j,n
2
j
. (56)
From (24), (34) and (44), it yields
nj
 Note the following facts
τ j,i η j,i η̇ j,i
i=1 ω̃Tj,i ω̂ j,i = ω̃Tj,i ω j,i − ω̃Tj,i ω̃ j,i
= r j τ j,1 η j,1 ω̃Tj,1 θ j,1 + r j τ j,1 η j,1 ε j,1 − τ j,1 1 1
= −ω̃ j,i − ω j,i 2 + ω j,i 2 . (57)
n j −1  2 4

× β j,1 η2j,1 − r j τ j,1 η j,1 h j + τ j,i η j,i ε j,i 1 1
i=2
ρ̃ j ρ̂ j = ρ̃ j ρ j − ρ̃ j ρ̃ j = −ρ̃ j − ρ j 2 + ρ j 2 .
 2 4
+ τ j,i η j,i ω̃Tj,i θ j,i − τ j,i β j,i η2j,i + τ j,n j η j,n j (58)

× ε j,n j + τ j,n j η j,n j ω̃Tj,n j θ j,n j − τ j,n j β j,n j Substituting (55)–(58) into (54), and using the
× η2j,n j + τ j,n j η j,n j g j,n j c j ρ̃ j + g j,n j c j σ j,n
2
j
method of completing the square, it has
(53) ⎡
n j −1
m 
V̇ ≤ ⎣−(r j σ j,1 − 1 ε j,1 )2 − A j,2 σ j,i
2
Substituting (51)–(53) into the derivative of V̇ as 2
j=1 i=3
shown in (49), it leads to
 1
m − A j,1 σ j,2
2
− A j,3 σ j,n
2
j
− ρ̃ j − ρ j 2
2
V̇ = r j σ j,1 ε j,1 + r j σ j,1 d j,1 + r j σ j,1 g j,1 σ j,2  
(ε j,1 − h j ) 2
j=1 − τ j,1 β j,1 η j,1 − r j
nj nj (2β j,1 )
  nj 
+ σ j,i × ε j,i + σ j,i d j,i 
i=2 i=2
− τ j,i × β j,i (η j,i − ε j,i /(2β j,i )) + Q j
2

n j −1 n j −1 i=2
  nj
+ σ j,i g j,i σ j,i+1 − k j,i  1
− δ j,i ω̃ j,i − ω j,i 2 , (59)
i=2 i=2 2
nj i=1

× σ j,i
2
+ δ j,i ω̃Tj,i ω̂ j,i + ρ̃ j ρ̂ j where
i=1
+ r j τ j,1 η j.1 ε j,1 − r j × τ j,1 η j.1 h j 1 1
A j,1 = k j,2 − g 2j,1 − g j,2 − 1,
nj nj  2 2
  1 1
− τ j,i β j,i η2j,i + τ j,i η j,i ε j,i A j,2 = k j,i − g j,i − g j,i−1 − 1,
i=1 i=2
2 2
1
− 2r 2j σ j,1
2
− k j,n j σ j,n
2
. (54) A j,3 = k j,n j − g j,n j −1 − 1,
j 2
nj nj nj
By using the Young’s inequality, one obtains 1  1 2 1
Qj = d 2j,i M + ε j,i M + δ j,i ω j,i 2
1 2 1 2 2 4
i=1 i=1 i=1
σ j,i ε j,i ≤ σ + ε2 ,
2 j,i 2 j,i M 1
1 1 2 + ρ j 2 + τ j,1 r 2j (ε j,1M − h j )2 /(4β j,1 )
r j σ j,1 d j,1 ≤ r 2j σ j,1
2
+ dM , 4
2 2 nj
1
1 1 + τ j,i ε2j,i M /β j,i .
r j σ j,1 g j,1 σ j,2 ≤ r 2j σ j,1
2
+ g 2j,1 σ j,2
2
, 4
2 2 i=2
nj nj nj
 1 2 1 2
σ j,i d j,i ≤ σ j,i + dM , (55) Choose the design parameters k j,2 , k j,i and k j,n j
2 2 such that
i=2 i=2 i=2

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Adaptive dynamic surface error constrained control for MIMO systems

1 2 1 (5) By adopting the expression (16), (26), and (38),

k j,2 ≥ g j,1 + g j,2 + 1,
2 2 calculate the virtual controls and the actual con-
1 1 troller.

k j,i ≥ g j,i + g j,i−1 + 1,
2 2
1 Remark 5 A mass of existing backstepping-based DSC
k j,n j −1 ≥ g j,n j −1 + 1, results have been also proposed for SISO systems [32],
2
Then, it implies that A j,1 ≥ 0, A j,2 ≥ 0 and A j,3 ≥ MIMO systems [42], stochastic systems [34] and time-
0. Therefore, if at least one of the following inequalities delay systems [27] in strict-feedback forms, but these
hold contributions have been achieved without emphasizing
 the accuracy of the NN or fuzzy logic system (FLS)
σ j,2 ≥ Q j /A j,1 ,
identified models. In this paper, by introducing the
n j −1
 serial–parallel estimation models as shown in (22), (32)
A j,2 σ j,i
2
≥ Q j, and (42), the prediction errors generated between the
i=3
system states and those models are incorporated into
or the design procedure to achieve faster adaption ability.

σ j,n j ≥ Q j /A j,3 ,
Remark 6 In contrast to the existing results in related
it can be concluded that V̇ ≤ 0. filed, the proposed control method has the following
Thus, based on the Lyapunov stability analysis the- advantages:
orem, compensated tracking errors σ ji , the prediction
(a) A restriction in [27,32,34,42,43] is that the
errors η ji and the adaptive laws ω̂ ji and ρ̂ j are bounded.
backlash-like hysteresis (a non-smooth input) is
As stated in [17], owing to the properties of the transfor-
neglected since the backlash-like hysteresis is a
mation, r j > 0 and r j , h j remain bounded. From the
common phenomenon in engineering. Here, a
serial–parallel estimation model, it can be concluded
compensatory adaptive law (38) is introduced to
that x̂˙ ji are bounded. Besides, consider (24), (34) and
offset this non-smooth input, which is different
(44), η̇ ji are bounded, which further leads to the bound-
from the previous results in [21–23] that an inverse
edness of ż ji . This implies that the systems states are
of hysteresis is needed.
bounded, which can result in the boundedness of the
(b) In the work of [21–23,26–32,34–36,49], the pre-
virtual control. Based on (17), (27) and (37), it can
scribed bound of tracking error is ignored. On
be seen that s ji are bounded. Hence, z 11 and x cji are
this occasion, even though the steady-state per-
bounded. According to the prediction errors in (22),
formance is realized, the transient performance
(32) and (42), the boundedness of x̂ ji can be guaran-
cannot be guaranteed. In this paper, the proposed
teed. Some manipulations can ensure that the signals
approach makes sure that the tracking error is con-
a ji , ȧ ji and ṡ ji are also bounded. Therefore, all the sig-
strained within the prescribed values for all time,
nals in the MIMO systems are bounded. This completes
which means that both steady-state performance
the proof.
and transient performance are obtained.
To summarize the overall design procedure, the fol-
lowing complete algorithm is provided: Remark 7 In a practical application, the tracking error
(1) Select appropriately basis function vectors of may exceed a certain prescribed threshold. The practi-
neural networks, and construct the NN approxi- cal implication of this paper is that the presented predic-
mator. tion error technique-based PPC method could avoid the
(2) Set the initial values for x ji (0), ω ji (0) and ρ j (0), aforementioned problem. In addition, only the informa-
and choose proper design parameters (positive) tion of desired trajectory y jd and its first-order deriv-
k ji , α ji , β ji , γ ji , τ ji , μ j , and δ ji . ative ẏ jd is required in this study while y jd , ẏ jd up to
(n )
(3) Specify a positive parameter ζ j0 , select the min- n j th order derivatives ẏ jd j is needed in the traditional
imum allowable convergence rate l j and set the DSC methods such as in [27,34,42,43]. This relax-
maximum admissible amplitude ζ j∞ . ation could reduce the computational burden when the
(4) Calculate the adaptive parameter estimate values developed approach is applied in a practical system.
in (24), (34), (44) and (45) by utilizing (21), (31) Therefore, this paper provides a theoretical framework
and (41). for the practical application.

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 L. Liu et al.

1
Remark 8 From the definition of (5) and (6), for all x
t ≥ 0, the tracking error e j (t) stays in the constraint
11
0.8 y
1d
condition. This implies that the initial value of tracking 0.6
error cannot exceed the PPB. In addition, at the initial 0.4
instant t = 0, the maximum undershoot is less than
0.2
ζ j (0) and can be controlled by selecting ζ j (0) close
enough to |e j (0)|. Therefore, proper choice of the per- 0

formance functions ζ j (t) and δ j ensures the perfor- −0.2

mance bounds on the system tracking error. −0.4

−0.6

−0.8
4 Simulation studies
−1
0 5 10 15
To validate the effectiveness of the proposed control seconds
method, we consider the following MIMO systems
with 3 subsystems subjected to backlash-like hysteresis Fig. 2 The curves of x11 (t) and yd1 (t). (Color figure online)
characteristic
⎧
⎨ ẋ11 = f 11 (x11 ) + g11 (x11 ) x12 ,
⎪ 2
x
21
ẋ12 = f 12 (x11 , x12 ) + g12 (x11 , x12 ) u 1 (v1 ) + d1 , y2d
⎪
⎩ 1.5
y1 = x11 ,
⎧ 1
⎨ ẋ21 = f 21 (·) + g21 (·) x22 ,
⎪
ẋ22 = f 22 (·) + g22 (·) u 2 (v2 ) + d2 , 0.5
⎪
⎩
y2 = x21 ,
⎧ 0

⎨ ẋ31 = f 31 (·) + g31 (·) x32 ,

⎪
−0.5
ẋ32 = f 32 (·) + g32 (·) u 3 (v3 ) + d3 , (60)
⎪
⎩
y3 = x31 , −1

where f j1 (·) = 0, g j1 (·) = 1, j = 1, 2, 3, −1.5

g12 (·) = 1, f 12 (·) = 20 sin x11 − 8 sin x11 cos x11 + 0 5 10 15
8 sin x21 cos x21 , g22 (·) = 0.7, g32 (·) = 1.2, d1 = seconds
0.1 sin x11 , f 22 (·) = 20 sin x21 −10.6 sin x21 cos x21 +
Fig. 3 The curves of x21 (t) and yd2 (t). (Color figure online)
5.3 sin x11 cos x11 + 5.3 × sin x31 cos x31 , d2 = 0.5 sin
x21 , d3 = 0.5 sin x31 , f 32 (·) = 20 sin x31 − 5.3 sin
x31 cos x31 + 5.3 sin x21 cos x21 . And u j ( j = 1, 2, 3)
holds: (1) All the signals in the closed-loop systems are
are the inputs of the MIMO systems.
bounded, and (2) all the tracking errors are not beyond
u j ( j = 1, 2, 3) stands for the output of the
its prescribed bound.
backlash-like hysteresis actuators which are described
Besides, in this simulation, all the initial conditions
as


are chosen as x1,1 (0) = 1, x1,2 (0) = −1, x2,1 (0) =
du j
dv j
 
= ξ j

c j v j − u j + B j dv j , 0.5, x2,2 (0) = −0.5, x3,1 (0) = 0.5, x3,2 (0) = 1,
dt dt
dt θ̂1,2 (0) = 0.2I , θ̂2,2 (0) = 0.1I , θ̂3,2 (0) = 0.5I ,
where v j are the input of the hysteresis actuators, c j = ρ̂1 (0) = 0.1, ρ̂2 (0) = 0, ρ̂3 (0) = 0.4. All the
3.1635, ξ j = 5, B j = 0.345. parameters are chosen as ς0,1 = 9.3, ς∞,1 = 0.35,
The reference output are assumed to be: y1d = 0.5× l1 = 2, ς0,2 = 9.5, ς∞,2 = 0.55, l2 = 2, ς0,3 = 1.6,
sin 2π t, y2d = 0.8 sin π t and y3d = sin π t + cos π t. ς∞,3 = 0.1, l1 = 1, δ1 = 0.8, δ2 = 0.85, δ3 = 0.8,
The main objective of this paper is to construct con- k11 = 15, k12 = 15, k21 = 12, k22 = 12, k31 = 20,
trol laws v j , j = 1, 2, 3 such that the system outputs y j k32 = 20, α1 = 0.005, α2 = 0.005, α3 = 0.01, γ1 = 3,
can track a reference input y jd as well as the following γ2 = 3, γ3 = 1, τ1 = 1, τ2 = 1, τ3 = 1, μ1 = 1,

123
Adaptive dynamic surface error constrained control for MIMO systems

2.5 10
y3d e2
2 x31 8 -- δ2 ς2
ς2
1.5 6

1 4
0.5 2
0 0
−0.5
−2
−1
−4
−1.5
−6
−2
0 5 10 15 −8
0 5 10 15
seconds
seconds
Fig. 4 The curves of x31 (t) and yd3 (t). (Color figure online)
Fig. 6 The trajectories of tracking error e2 and the prescribed
error bounds. (Color figure online)
10
e1
2
8 -- δ1ς1
ς1
6 1.5

4 1
ς
3
2
0.5
0
0
−2

−4 −0.5
e3 in this paper −ς δ
3 3
−6 −1

−8
0 5 10 15 −1.5
0 5 10 15
seconds
Fig. 7 The trajectories of tracking error e3 and the prescribed
Fig. 5 The trajectories of tracking error e1 and the prescribed error bounds. (Color figure online)
error bounds. (Color figure online)

evenly spaced in [−3, 3] × [−1.5, 1.5] × [−2, 2] ×

μ2 = 1, μ3 = 0.8, β11 = 5, β12 = 5, β21 = 4,
β22 = 4, β31 = 1, β32 = 1.
In this simulation, we utilize RBFNNs to approxi-
mate the unknown systems function f j2 (·), j = 1, 2, 3.
The widths and centers for RBFNNs are selected
on a regular lattice in the respective compact sets.
Specifically speaking, the width of RBFNN ω̂1 θ1 is
π1 = 4, and it contains 12 nodes with its centers
ν1 being evenly spaced in [−3, 3] × [−1.5, 1.5]. The
RBFNN ω̂2 θ2 contains 18 nodes and its centers ν2
are evenly spaced in [−3, 3] × [−1, 1] × [−2, 2] ×
[−1.5, 1.5] × [−1, 1], and the width π2 = 5. The
RBFNN ω̂3 θ3 contains 20 nodes and its centers ν3 are
[−1, 1] × [−2.5, 2.5] × [−1, 1] × [−1.5, 1.5] × [3, 3],
and the width π3 = 1.67.
The actual controllers are designed
v j = −ρ̂ j + σ j2 /(τ j η j ), j = 1, 2, 3. (61)
The computer simulation results are given in Figs. 2,
3, 4, 5, 6, 7 and 8. To show the performance of the track-
ing effect, the phase curves are represented in Figs. 2,
3 and 4. It can be seen that good tracking performance
is achieved since the two curves in each figure almost
overlap together. Moreover, the tracking error e1 is con-
strained within the prescribed bounds (ς1 and −δ1 ς1 )
for all times as shown in Fig. 5. At the same time, from

123
 L. Liu et al.

5 control input v1 10
e without PPC in [39]
2
0 8 performance bound (lower)
−5 performance bound (upper)

0 5 10 15 6
seconds
4
5
control input v
2
0 2
−5
0
0 5 10 15
−2
seconds
5 −4
control input v3
0
−6
−5
0 5 10 15 −8
0 5 10 15
seconds seconds

Fig. 8 The trajectories of actual controllers v1 v2 and v3 . (Color Fig. 10 The curves of tracking error e2 (green lines) without
figure online) prescribed performance in [43]. (Color figure online)

10 2
e without PPC in [39]
1 performance bound (lower)
8 performance bound (lower) performance bound (upper)
performance bound (upper) 1.5 e without PPC in [39]
3
6
1
4

2 0.5

0 0
−2
−0.5
−4
−1
−6

−8 −1.5
0 5 10 15 0 5 10 15
seconds
seconds
Fig. 11 The curves of tracking error e3 (green lines) without
Fig. 9 The curves of tracking error e1 (green lines) without
prescribed performance in [43]. (Color figure online)
prescribed performance in [43]. (Color figure online)

tracking errors obtained in [43]. From Figs. 9, 10 and

Figs. 6 and 7, the tracking error e2 and e3 are also con-
11, it can be seen that the tracking errors e1 , e2 and
fined in the respective prescribed bounds. The trajecto-
e3 exceed the prescribed error bounds and the track-
ries of actual controllers v1 , v2 and v3 are presented in
ing performances are not so good because of the wave
Fig. 8, from which we can see that they are bounded.
phenomenon.
In order to better verify the superiority of the pro-
posed PPC in this paper, here, a comparison is studied.
The traditional DSC method proposed in [43] is applied 5 Conclusion
to (60). In the controller design, we choose all the para-
meters and initial values of all the variables as same as This paper have addressed the problem of the adaptive
the former simulation study. The simulation results are dynamic surface error constrained control for MIMO
shown in Figs. 9, 10 and 11. These figures present the systems with unknown backlash-like hysteresis via pre-
trajectories of the three tracking errors e1 , e2 and e3 diction error method. The PPC strategies have been
without PPC. The green lines indicate the curves of the developed to guarantee the prescribed bound of the

123
Adaptive dynamic surface error constrained control for MIMO systems
tracking errors. The unknown system dynamics have
been estimated by RBFNNs. In contrast with the pre-
vious results, the prediction errors which are generated
between the system states and the serial–parallel esti-
mation models have been incorporated into the devel-
oped adaptive laws for RBFNNs which can improve the
accuracy of the identified RBFNNs model. An impor-
tant contribution is to introduce the PPC methods for
the more general MIMO systems with hysteresis to
make sure that the tracking errors do not exceed the
prescribed bounds. It is shown that the proposed con-
trol strategies can guarantee that all the signals of the
resulting closed-loop systems are bounded and the out-
puts can track the desired trajectories, while the track-
ing errors are confined all times within the prescribed
bounds.
Acknowledgments This work was supported by the National
Natural Science Foundation of China of Grants 61473070
and 61433004, the Fundamental Research Funds for the Cen-
tral Universities (Grant Nos. N130504002, N140406001 and
N130104001), and SAPI Fundamental Research Funds (Grant
No. 2013ZCX01).
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