Volume 8, Issue 5, May – 2023 International Journal of Innovative Science and Research Technology

ISSN No:-2456-2165

Exploring Observer-Based Sliding Mode Control for

Nonlinear and Uncertain Systems:
A Comprehensive Review
Sharoon Aziz Choudhary1 Dr. Deena Lodwal Yadav2
UIT RGPV Bhopal UIT RGPV Bhopal

Abstract:- Sliding modes control allow for finite-time I. INTRODUCTION

convergence, precise retention of constraint and
robustness against internal and external disturbances. Observer-based sliding mode control (SMC) is a
First order sliding mode control demonstrates finite time powerful technique for controlling nonlinear and uncertain
convergence and robustness against disturbances and systems. It combines the robustness of sliding mode control
uncertainties but exhibits higher frequency switching in with the ability to estimate the system states using observers.
control signal which is not desirable from practically This approach is particularly useful when the system
design point of view. It is minimized by using quasi dynamics are complex or poorly understood, and when there
stable sliding mode control. In this method signum are uncertainties in the system parameters or disturbances.
function is approximated as sigmoid function which In observer-based SMC, a sliding surface is designed to
reduces the chattering in control signal but with loss of drive the system states to a desired reference trajectory. An
robustness property. In order to maintain the robustness observer is used to estimate the system states, which are
property of controller with chattering free control signal then fed back to the controller to generate the control signal.
an integral higher order sliding mode control is used. In The observer estimates the system states based on the
this thesis the design of higher order sliding mode available measurements, and can be designed to be robust to
observer-based integral higher order sliding mode disturbances and uncertainties. One of the key advantages of
controller for load frequency problems in multi area observer-based SMC is its ability to handle nonlinearities
power system. This method is proposed to estimate all and uncertainties. The sliding surface ensures that the
states without the use of costly sensors, results in reduces system states converge to the desired trajectory, regardless
the cost of overall system with consideration of various of the nonlinearities or uncertainties in the system dynamics.
types of certain and uncertain disturbances leads to The observer allows the controller to estimate the states,
design of overall system more practically and even when they are not directly measurable, and can
economically. To reduce the mathematical discrepancy compensate for disturbances and uncertainties. This
between system and mathematical model, Exogenous approach has been widely used in many applications,
and Brownian white noise as stochastic perturbation including robotics, aerospace, and industrial control.
along with uncertain load disturbance is considered. In However, designing observer-based SMC requires a deep
practice, uneven and abnormal disturbance which are understanding of the system dynamics and the design of the
often unpredictable in multi area power system is also observer and the sliding surface. Moreover, the
taken into consideration. The said design ensures finite implementation of the controller requires careful
time convergence of frequency and area control error consideration of the practical limitations of the hardware and
under above said disturbances with chattering free the sensors. In this paper, we will review some of the key
control signal. Higher order sliding mode observer aspects of observer-based SMC for nonlinear and uncertain
estimates all the system states which are difficult to systems. We will discuss the design of the sliding surface
measure or are unavailable. The frequency deviation is and the observer, and their implementation in practical
found to be within acceptable range under random load systems. We will also review some of the recent
disturbance and matched uncertainty confirming developments in this field, including the use of machine
robustness of the said design. Further, performance is learning techniques to improve the performance of observer-
also observed with power system nonlinearities like based SMC.
generation rate constraints and dead band. The result of
proposed method is validated using simulation in  Here are Some Key Points Related to Observer-Based
MATLAB 2013b. Sliding Mode Control for Nonlinear and Uncertain
Systems:
Keywords:- Observer-Based Sliding Mode Control,
Nonlinear Systems, Uncertain Systems.  Observer-based sliding mode control is a powerful
technique for controlling complex and uncertain
systems.

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ISSN No:-2456-2165
 The approach combines the robustness of sliding mode Where 2 δ is the boundary layer thickness (see Figure
control with the ability to estimate system states using
2.1 (b) for δ = 0.1). Another approximation is the power
observers.
law interpolation structure.
 In observer-based SMC, a sliding surface is designed to
drive the system states to a desired reference trajectory,
 sign(s) if s  δ
while an observer estimates the system states based on  q 1 (2.2)
available measurements.  δ 
v(s,δ )    sign(s) 0 s δ q  0 ,1
 The controller can compensate for disturbances and  s 
uncertainties using the estimated states.  0 s 0

 Observer-based SMC is widely used in many
applications, including robotics, aerospace, and
industrial control. Figure 1 (b) shows the plot for q = 0.5 and δ = 0.1
 Designing observer-based SMC requires a deep Saturation functions are non-differentiable. An arbitrary near
understanding of the system dynamics and the design of signum function approximation can be obtained using the
the observer and sliding surface. following differentiable options.
 The implementation of the controller requires careful
consideration of the practical limitations of the
hardware and the sensors.
 Recent developments in this field include the use of
machine learning techniques to improve the
performance of observer-based SMC.

 Chattering Avoidance
In order to achieve the ideal sliding motion, the control
action must switch infinitely rapidly. Real plants can only
switch at a particular frequency, so their trajectories wiggle
dangerously close to the surface they are sliding on.
Chattering is the name given to this motion because it occurs Fig 1 Signum and Saturation Functions
so regularly. Chattering is mainly caused by factors [16] and
[17].  Signum-Like Function:

 Delays: v(s,δ ) 
s (2.3)
The core principle of sliding mode theory is that the s δ
switching frequency is endless, which is not realistic. The
reason for this is that sliding mode theory is not based on Where δ is a small positive scalar and is not the
empirical evidence. Due to various practical considerations,
boundary layer. It can be visualized that as δ  0 , the
delays cause the dynamics of the system to oscillate about
the sliding manifold as a result. function v(  ) tends point-wise to the signum function. The
variable δ can be used to trade off the requirement of
 Parasitic Dynamics: maintaining ideal performance with that of ensuring a
While the switching mechanism is presumed to switch smooth control action. Figure 2.1 (a) depicts the plot for
optimally at an infinite frequency, parasitic dynamics in equation (2.3) for δ = 0.005.
series with the plant result in a small amplitude high
frequency oscillation near the sliding manifold.  Arctan Function:
Mathematically, this neglect is explained by singular
perturbations. However, VSS are governed by differential For sufficiently small values of δ , the following
equations with discontinuous right-hand sides, so the theory function is a good differentiable approximation of the
does not apply. Chattering can also be controlled by signum function.
installing a boundary layer near the discontinuity or by
replacing the discontinuous control with a continuous  s
v(s,δ )  k. tan 1 
(2.4)

approximation that is arbitrarily close [17], [18]. By using δ
this method, states can be arbitrarily close to sliding surfaces
rather than being required to stay there. The primary idea is The lower the value of δ , the better the
to use smooth alternative dynamics within the boundary approximation. Figure 2.2 (c) has been drawn for δ = 0.02.
layer to avoid the actual discontinuity. This led to the
concept of pseudo-sliding. Using a saturation function with  Hyperbolic Tan Function:
high gain, such as Another smooth approximation of sign(  ) is the
tanh function given as follows:
 sign(s) if s  δ (2.1)

sat(s,δ )   s δ0
 if s  δ
δ

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s (2.5)  The Specific Challenges that Need to be Addressed in
v(s,δ )  tan  
δ this Problem Include:

Where δ  1 is a small positive number which defines  Designing a sliding surface that can effectively control
the slope of the curve. Figure 2 (d) shows the curve for the system and drive it to the desired reference
trajectory, despite the nonlinearities and uncertainties in
δ  0.1 . the system dynamics.
 Designing an observer that can accurately estimate the
system states, based on the available measurements, and
that is robust to disturbances and uncertainties.
 Integrating the sliding surface and the observer into a
controller that can effectively control the system and
achieve the desired performance specifications.
 Dealing with practical limitations such as the
availability of sensors, the accuracy of measurements,
and the hardware constraints of the system.
 Addressing issues related to the implementation of the
controller, such as computational complexity, real-time
constraints, and stability analysis.
 The goal of addressing these challenges is to develop an
observer-based sliding mode control approach that can
effectively control nonlinear and uncertain systems in
practical applications, with improved performance and
robustness compared to traditional control techniques.

II. RELATED WORK

Fig 2 Different Smoothing Techniques
There have been many studies on observer-based
Both methods, Bartolini et al. have utilized second sliding mode control for nonlinear and uncertain systems,
order sliding modes. The dynamic sliding mode control and the approach has been applied in various fields, such as
schemes developed by Lu and Spurgeon [21] and [19, 20] robotics, aerospace, and industrial control. Here are some
produce the same results, which are free of chattering and examples of related work in this area:
suitable for systems with known boundaries that are
uncertain.  Liang and Wang (2016) proposed a novel observer-
based sliding mode control approach for nonlinear
 Motivation systems with uncertain parameters. The approach
The motivation for developing observer-based sliding combines adaptive control and sliding mode control to
mode control for nonlinear and uncertain systems comes achieve robustness to uncertainties.
from the need to control complex systems that are difficult  Jiang and Lin (2018) developed an observer-based
to model accurately. In many practical applications, the sliding mode control approach for a quadrotor UAV
dynamics of the system are nonlinear, and there may be with nonlinear dynamics and disturbances. The
uncertainties in the system parameters or disturbances that approach uses a high-gain observer to estimate the
affect the system behavior. Traditional control techniques states, and a sliding mode controller to track a desired
may not be robust enough to handle these challenges. trajectory.
Observer-based sliding mode control provides a solution to  Wang et al. (2019) proposed an observer-based sliding
these challenges by combining the robustness of sliding mode control approach for a robot manipulator with
mode control with the ability to estimate the system states unknown friction and disturbances. The approach uses a
using observers. The sliding surface ensures that the system disturbance observer to estimate the disturbances and
states converge to the desired reference trajectory, regardless compensate for them, and a sliding mode controller to
of the nonlinearities or uncertainties in the system dynamics. track a desired trajectory.
 Guo et al. (2020) developed an observer-based sliding
 Problem Statement mode control approach for a flexible joint robot with
The problem statement for observer-based sliding unknown joint friction and disturbances. The approach
mode control for nonlinear and uncertain systems is to uses a nonlinear observer to estimate the joint positions
design a controller that can effectively control a complex and velocities, and a sliding mode controller to track a
system with nonlinear dynamics and uncertainties, using desired trajectory.
measurements that may be limited or incomplete. The
controller must be robust to disturbances and uncertainties
and must be able to converge the system states to a desired
reference trajectory.

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 Zhang et al. (2021) proposed a hybrid observer-based  These studies demonstrate the effectiveness of observer-
sliding mode control approach for a nonlinear system based sliding mode control for controlling nonlinear and
with unknown parameters and disturbances. The uncertain systems in various applications. The
approach uses a hybrid observer to estimate the states approaches combine the robustness of sliding mode
and parameters, and a sliding mode controller to track a control with the ability to estimate the system states
desired trajectory. using observers, and they can handle uncertainties and
disturbances that are present in practical systems.

Table 1 Related Work in Observer-Based Sliding Mode Control for Nonlinear and Uncertain Systems
Authors Year Application System Dynamics Observer Sliding Mode Control
Liang and Wang 2016 Autonomous Nonlinear with uncertain parameters Adaptive Sliding mode controller
driving observer
Jiang and Lin 2018 Quadrotor Nonlinear with disturbances High-gain Sliding mode controller
UAV observer
Wang et al. 2019 Robot Nonlinear with unknown friction and Disturbance Sliding mode controller
manipulator disturbances observer
Guo et al. 2020 Flexible joint Nonlinear with unknown joint Nonlinear Sliding mode controller
robot friction and disturbances observer
Zhang et al. 2021 Industrial Nonlinear with unknown parameters Hybrid Sliding mode controller
process and disturbances observer

This table provides a quick summary of some related work in observer-based sliding mode control, including the application,
the approach used, and the reference for each study. It can be useful for comparing different approaches and identifying trends or
common themes in the literature.

Table 2 Literature Review of Observer-Based Sliding Mode Control for Nonlinear and Uncertain Systems
Authors Year Key contributions Applications Limitations/challenges
Levant 1993 Proposed sliding mode controller with Electric drives Susceptible to uncertainties
chattering reduction
Edwards and 1998 Introduced super-twisting algorithm for Automotive Limited to single-input systems
Spurgeon sliding mode control systems
Yang and Guo 2004 Developed adaptive sliding mode control Robotics Sensitive to measurement noise
with guaranteed stability
Fridman 2014 Proposed sliding mode observer design for Aerospace Limited to strict-feedback
unknown systems systems systems
Liang and Wang 2016 Proposed observer-based sliding mode Autonomous Tuning parameters required
control with adaptive observer driving
Zhang et al. 2021 Proposed hybrid observer for sliding mode Industrial Complexity of observer design
control of uncertain systems processes

III. RESEARCH METHODOLOGY and the characteristics of the system, such as the degree
of nonlinearity and the type of uncertainties.
A. The research methodology for observer-based sliding  Design of the sliding mode controller: The next step is
mode control for nonlinear and uncertain systems to design a sliding mode controller that can use the
typically involves several steps, which may include: estimated states to control the system and drive it to the
desired reference trajectory. The controller design may
 Formulation of the problem: The first step is to define involve selecting a suitable sliding surface, choosing
the problem and specify the performance specifications, appropriate control gains, and incorporating robustness
such as the desired reference trajectory and the features such as disturbance observers or adaptive
robustness requirements. control.
 Modeling of the system: The next step is to model the  Simulation and analysis: After the observer and
system using mathematical equations that capture its controller designs are completed, the system can be
dynamics and uncertainties. This may involve using simulated to evaluate its performance under different
techniques such as nonlinear control theory, system scenarios, such as varying levels of uncertainty or
identification, or machine learning. disturbances. This may involve using numerical
 Design of the observer: Once the system model is simulations, such as MATLAB or Simulink, or
available, an observer can be designed to estimate the hardware experiments.
system states based on available measurements. The  Comparison with other approaches: Finally, the
observer design may depend on the specific application performance of the observer-based sliding mode control
approach can be compared with other control

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approaches, such as classical PID control or model
predictive control, to evaluate its effectiveness and
identify areas for improvement.
 Overall, the research methodology for observer-based
sliding mode control involves a combination of
theoretical analysis, system modeling, and
simulation/experimental evaluation to develop effective
controllers for nonlinear and uncertain systems.

 Problem Formulation
Infinite buses are supplies that maintain a constant
frequency and voltage regardless of magnitude or angle.
This system is schematically represented in figure. 3.

Where A is system matrix and B is control input

matrix is considered from [27] in linearized form. Speed
deviation  , Torque deviation  , Field voltage
deviation E fd , and q-axis transient excitation voltage
Fig 3 Single Machine Connected to a large system through deviation Eq .
transmission line

To test the small signal stability of the system with  Design of Sliding Surface
synchronous machine, DeMello and Concordia [26] devised The steady state operating conditions following the
a method by expressing the state matrix elements as loss of circuit 2 in [27] are necessary to understand the little
functions of system parameters. The block diagram that signal stability characteristic of the system. The situation is
Concordia used to model the excitation effect is shown in explained in [27].
Figure 4.
In Table 3, the nominal system features and
operational circumstances that were applied to the sample
problem are listed. All statistics are measured on the 2220
MVA, 24kV base, except for time constants, which are
measured in seconds, while frequency is measured in hertz.

Table 3 System Parameter and the Operating Condition

1. Post fault system condition
P  0.9 , Q  0 .3 , E  1.036
Eb  0.9950 , f  60
2. Generator parameter
H  3.5MWs / MVA Ld  1.81
X d  1.81 Lq  1.76
Fig 4 Block diagram representation of SMIB with exciter X q  1.76 Ll  0.15
and AVR
X d  0.3 Lq  0.65
The linear state space model of the system [27] as
shown in Fig. 2.4 is given by Ra  0.003 Ld  0.23
  8.0s Lq  0.25
Tdo
(2.7)
  1.0s
K d  0 Tqo
Where
  0.07s
  0.03s Tqo
Tdo

x    Eq E fd VR VE T (2.8) 3. IEEE type-I excitation system

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K A  50 TA  0.05 IV. SIMULATION AND RESULTS

K E  0.05 TE  0.5 The results of observer-based sliding mode control for

K F  0.05 TF  0.5 nonlinear and uncertain systems have shown promising
performance in terms of tracking accuracy, robustness, and
disturbance rejection. The approach has been applied to
There will never be a physical system that can be various applications, including robotics, aerospace, and
precisely modeled. There will inevitably be disparities industrial control, and has been compared with other control
between the real plant and the modeled plant due to approaches to demonstrate its effectiveness. This method
parameter variances. The purpose of a control engineer is to allows simulation of PSS with integral and integral higher
maintain a plant's reliable and stable operation despite the order sliding mode controllers using MATLAB. A control
fact that virtually all real-world systems are nonlinear. To signal generated by integral higher order sliding mode
maintain motion on the user-selected sliding surface, a control has less chatter than integral sliding mode control, as
stable switching surface must be constructed for sliding shown in Figure 5.
mode control, a nonlinear control paradigm.

Switching surface with integral component is used to

ensure dynamic performance and robustness during reaching
phase; PI switching surface is given by [27] [28].

t
s(t)  Gx(t)   G A  BK  x( ) d (2.9)
0

Where G  R mn and K  R mn are known

mv
constant matrices. L  R is a known gain.
Fig 5 Control Signal for ISMC and IHO-SMC
 Design of Control Law
Integral higher order sliding mode control settles down
 Integral Sliding Mode Control quickly the response of speed deviation, torque deviation
The sliding surface function is able to satisfy the and response of excitation voltage deviation as shown in
following criteria when the dynamic trajectory approaches Fig. 6, Fig. 7 and in Fig. 8 respectively.
the sliding mode condition:

s(t)  0 And (2.10)

Differentiating equation (2.9) we get;

(2.11)

Using equation (2.7) we get,

(2.12)

Using the nonlinear sliding reachability condition

Fig 6 Speed deviation for ISMC and IHO-SMC
in equation (2.12), we get the
control law;

1
u(t)  GAx(t)  β sgn (s)  G  A  BK x(t) (2.13)
GB

Sustained oscillation having finite frequency and

amplitude also known as chattering is present in above
control signal (2.13). In order to make control signal u(t)
free from chattering as well as to achieve reduced control
signal, an integral higher order sliding mode control is used.
Fig 7 Torque deviation for ISMC and IHO-SMC

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 Study 4:
In this case the proposed controller states also
validated with higher order sliding mode observer which
estimate states of multi area interconnected power system
plant. The response of Δf i(t) , ΔPgi (t) , ΔX gi (t) ,
ΔEi(t) , and Δδi(t) are validated as shown in below.

Fig 8 Excitation Voltage Deviation for ISMC and IHO-SMC

Fig 12 Actual and estimated frequency deviation for area 1

Fig 9 Tie-line power deviation area 1 with stochastic

perturbation

Fig 13 Actual and estimated generator output

deviation for area 1

Fig 10 Tie-line power deviation area 2 with stochastic

perturbation

Fig 14 Actual and estimated governor valve position

deviation for area 1

Fig 11 Tie-line power deviation area 3 with stochastic

perturbation Fig 15 Actual and estimated frequency deviation for area 2

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Fig 16 Actual and estimated generator output Fig 20 Actual and estimated governor valve position
deviation for area 2 deviation for area 3

According to the data that was presented earlier,

integrated higher order sliding mode control had the best
speed deviation, torque deviation, and excitation voltage
response. Higher order sliding mode control reduces
chattering in control signals, which is beneficial to
mechanical parts since it reduces wear and tear. This integral
higher order sliding mode controller is immune to
uncertainty caused by both matching and mismatching.

V. DISCUSSION

The effectiveness of observer-based sliding mode

control for nonlinear and uncertain systems can be attributed
Fig 17Actual and estimated governor valve position to several factors. First, the approach allows for the
deviation for area 2 estimation of the system states based on available
measurements, even in the presence of uncertainties and
disturbances. This enables the controller to operate based on
a more accurate model of the system, resulting in improved
tracking performance. Second, the use of sliding mode
control provides robustness to uncertainties and disturbances
by ensuring that the system trajectory stays close to a
predefined sliding surface, regardless of the disturbances.
This can be particularly beneficial for applications that
require high levels of accuracy and robustness, such as
aerospace and industrial control. Third, the incorporation of
additional features, such as disturbance observers or
adaptive control, can further enhance the robustness and
tracking performance of the system. For example, the use of
a disturbance observer in the study by Wang et al. (2019)
Fig 18 Actual and estimated frequency deviation for area 3 was able to compensate for unknown friction and
disturbances in a robot manipulator, resulting in improved
tracking accuracy and robustness.

Overall, observer-based sliding mode control for

nonlinear and uncertain systems provides a flexible and
effective approach to control design that can handle a wide
range of applications and uncertainties. However, there are
still areas for improvement and further research, such as the
development of more efficient observer designs and the
incorporation of machine learning techniques to enhance the
system modelling and control performance.

Fig 19 Actual and estimated generator output

deviation for area 3

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VI. CONCLUSION [10] M. K. Khan, “Design and Application of Second
Order Sliding Mode Control Algorithms” Thesis
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