Adaptive backstepping control design for ball

and beam system

Ayad Q. Al-Dujaili1p , Amjad J. Humaidi2,

Daniel Augusto Pereira3 and Ibraheem Kasim Ibraheem4
International Review of
Applied Sciences and 1
Engineering Electrical Engineering Technical College, Middle Technical University, Baghdad, Iraq
2
Control and Systems Engineering Department, University of Technology, Baghdad, Iraq
3
Department of Automatics (DAT), Federal University of Lavras (UFLA), Lavras-MG, Brazil
DOI: 4
Department of Electrical Engineering, College of Engineering, University of Baghdad, Baghdad, Iraq
10.1556/1848.2021.00193
© 2021 The Author(s)
Received: October 14, 2020 • Accepted: April 10, 2021

ABSTRACT
ORIGINAL RESEARCH Ball and Beam system is one of the most popular and important laboratory models for teaching control
PAPER systems. This paper proposes a new control strategy to the position control for the ball and beam
system. Firstly, a nonlinear controller is proposed based on the backstepping approach. Secondly, in
order to adapt online the dynamic control law, adaptive laws are developed to estimate the uncertain
parameters. The stability of the proposed adaptive backstepping controller is proved based on the
Lyapunov theorem. Simulated results are presented to illustrate the performance of the proposed
approach.

KEYWORDS
ball and beam system, adaptive control, backstepping control

1. INTRODUCTION
A vast majority of the real systems, simple or complex ones, are nonlinear and a feedback
controller can be a useful strategy to guarantee adequate performance [1]. Different systems
that are inherently nonlinear have been adopted with academic purposes in order to study
feedback control in graduate and undergraduate courses. The ball and beam is a classic
example of such system that can be used as benchmark.
In the literature, a great diversity of methods can be found applied to this system [2–28].
In [2], disturbance rejection was reached by an active control approach for the ball and beam.
In [3], Linear Quadratic Regulator (LQR) based optimal control design was derived. In [4],
the dynamic model of the ball and beam nonlinear system was derived and its characteristics
were extensively evaluated in simulations. The nonlinear backstepping control synthesis was
considered in [5]. In [6], backstepping and Sliding Mode Control (SMC) were applied with a
new proposed strategy that guaranties robustness. In [7], the aim was the application of
different control schemes to the problem of ball and beam stabilization. Nonlinear factor and
coupling effect were discussed in [8], both in model-free and model-based strategies. In [9],
state feedback control was applied for the ball and beam, but considering the equations for its
centrifugal force and applying them for the derivation of an adaptive control law. In [10],
p
balance control was solved with an adaptive fuzzy control approach that considered also a
Corresponding author.
classical strategy for dynamic surface control. In [11], there were adopted two control loops
E-mail: [email protected]
with PID rules that were adjusted by an optimization technique aiming at robustness, which
was guaranteed by a particle swarm algorithm. In [12], an intelligent controller was proposed
for the nonlinear ball and beam system and its performance was evaluated by a comparison
with a classical conventional controller and a modern based one.

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2 International Review of Applied Sciences and Engineering

SMC, both in its static and dynamic configurations, was uncertainties. Thus, the main contribution of the present
applied in [13] considering simplifications in the ball and work can be summarized by
beam nonlinear dynamic model. In [14], a SMC method was □ Development of classical and adaptive control algorithms
proposed that utilizes the Jacobian for the linearization of
for the Ball and Beam system.
the system. In [15], an integral SMC approach was employed □ Proof of asymptotic stability for both classical and
for the control design of ball and beam system. In [16], the
adaptive controlled systems based on the Lyapunov the-
aim was a comprehensive comparative study for the tracking
orem.
control of ball and beam system and the control input was
designed via four SMC strategies, i.e., conventional first This paper takes the following structure. In Section 2, the
order, second order (super twisting), fast terminal, and in- dynamic model and state space representation of the ball
tegral. In [17], the control problem was solved in two steps and beam system are presented. Section 3 presents the
in order to provide a synchronized control. A PD controller strategy for the nonlinear backstepping control design.
was applied for exact compensation and a neural network Section 4 is dedicated to the design of the proposed adaptive
controller was applied for a nonlinear approximation. Im- backstepping controller. In Section 5, a simulation study is
provements in system stability were studied in [18], where given to verify the effectiveness of the proposed scheme.
an Extended Kalman Filter (EKF) was adopted for the Conclusions are given in Section 6.
estimation of the weights of a neuro-controller.
In [19], input-output linearization of the dynamic system
model was treated by a new approximation method. In [20],
2. BALL AND BEAM STATE-SPACE MODELING
the modeling of a two degrees-of-freedom (DOF) ball and
beam was presented in a decoupled manner, allowing the Figure 1 shows the picture of a didactic ball and beam
application of decoupled single-DOF controllers, one for the equipment. It has mainly two parts: the rotary servo and ball
motor position and another for the ball position. In [21], beam unit. The rotary servo-based unit plays a key role to
fuzzy control was applied considering a genetic algorithm to control the tilt angle of the beam in order to regulate the ball
optimize the design of a cascade controller. Despite being a position [20]. This system has two degrees of freedom, the
simple system, the ball and beam nonlinear dynamics re- lateral movement of the ball represented by its position in
quires relatively complex models, motivating model-free the horizontal axis, and the vertical movement of the beam
control approaches such as fuzzy control [22] that avoid the represented by the angle with the horizontal axis [29, 30].
application of linearization techniques. In [22], a fuzzy The ball position is given by a sensor allocated at one end of
controller was applied, but in PD cascade structure and with the beam. The angle of the beam is adjusted by a torque
optimization given by a particle swarm algorithm. In [23], provided by an actuator placed at the other end, where there
cascade structures of PD and fuzzy controllers were also is a connected axis. The information about the ball and
applied to the ball and beam nonlinear system. beam system is well described in the Quanser document
In [24], an observer-based nonlinear velocity controller [31].
was proposed, with a transformation of coordinates Using a motor to provide the necessary torque, the
applied in the design of the nonlinear observer that esti- controller regulates the position of the ball. Nevertheless,
mates the states of the ball and beam system. In [25], a this system is inherently unstable, because for a given beam
nonlinear discrete-inverse optimal control approach was angle the position of the ball is unlimited. This makes the
proposed to deal with the problem of the state variables ball and beam system particularly complex and vastly used
regulation in the ball and beam system. In [26], a solution to validate a myriad of control approaches.
was proposed to the positioning problem for one degree-
of-freedom ball-beam systems without using exact plant
information by adopting the pole-zero cancellation tech-
nique for both the observer and controller. In [27], remote
experimentation with the ball and beam was proposed as n
didactic methodology. Proportional-Integral-Derivative
(PID) controller was tuned by the Non-dominated Sorting
Genetic Algorithm. The performance of this multi-objec-
tive optimization approach was compared with the robust
Loop-Shaping method. In [28] a novel procedure was
proposed to stabilize the ball and beam system by using
the inverse Lyapunov approach in conjunction with the
energy shaping technique.
However, there has been little discussion about uncer-
tainty and robust control for ball and beam system. So, the
main purpose of this paper is to investigate the robust
control design based on adaptive backstepping control
for the ball and beam system, considering parameters Fig. 1. Ball and beam [21]

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International Review of Applied Sciences and Engineering 3

The equations describing the dynamics of the system can

x2 ¼ z2 þ a1 ðz1 Þ (11)
be obtained using Lagrange method, based on the energy
balance of the system [8, 18], as follows x4 ¼ z4 þ a2 ðz3 Þ (12)


Ib
þ m r€ þ mg sinq  m r q_ ¼ 0
2 The backstepping algorithm is inspired by the one
2
(1)
R described in [32].
 2  Now, taking the subsystem (7–12), the design procedure
mr þ I þ Ib €q þ 2mr r_q_ þ mgr cosq ¼ u: (2) of the backstepping can be formulated. First, virtual control
functions ai ð1 ≤ i ≤ n − 2Þ must be considered in order to
where m is the mass of the ball, g is the acceleration of
stabilize the subsystem. Based on the Lyapunov function, the
gravity, I is the beam moment of inertia, Ib is the ball
dynamic control law is going to be derived on five steps, as
moment of inertia, R is the radius of the ball, r is the position
follows.
of the ball, q the beam angle, u is the torque applied to the
beam. Step 1: Considering the z1 subsystem of system (7–12), and
The model can be described by the state space repre- taking the time derivative of Eq. (7), we obtain
sentation using the following state variables: x1 for the ball z_1 ¼ x_1 : (13)
position along the beam; x2 for the ball velocity; x3 for the
beam angle; and x4 for the beam angular velocity. As such, Substituting (3) in (13), we obtain
the generalized coordinates vector can be expressed by z_1 ¼ x2 : (14)
½x1 x2 x3 x4 T ¼ ½r r_ q q_ T . Consequently, the complete
Then, let x2 5 a1(z1)
state space representation of the system is given by
z_1 ¼ a1 ðz1 Þ: (15)
x_1 ¼ x2 (3)
  Let us choose a1(z1) as follows
x_2 ¼ x1 x42  g sinðx3 ÞÞ a (4)
a1 ðz1 Þ ¼ −c1 z1 : (16)
x_3 ¼ x4 (5) Then,
  z_1 ¼ −c1 z1 : (17)
x_4 ¼ ðu  2x1 x2 x4  gx1 cos x3 Þ x12 þ b (6)
It is clear that Eq. (17) has exponentially stable charac-
where
  teristics, being c1>0 a design parameter (chosen to be con-
a ¼ mRIb
2 þ 1 ; and
stant).
Step 2: Considering now the (z1, z2) subsystem of system
b ¼ ðI þ Ib Þ=m: (7–12), we can rewrite Eq. (8) as follows
z2 ¼ x2  a1 ðz1 Þ: (18)
Substituting (16) in (18), we can obtain
3. BACKSTEPPING CONTROL DESIGN
z2 ¼ x2  ð−c1 z1 Þ ¼ x2 þ c1 z1 : (19)
In this section, aiming to achieve of the control objective, we Now, we can rewrite (19)
take a recursive technique, that can be understood as a z2 ¼ x2 þ c1 x1 : (20)
natural variation of the well-known integrator backstepping
strategy, to derive the dynamic control law of the regulation Step 3: Considering the (z1, z2, z3) subsystem of system (7–
control problem [32–34]. 12), then taking the time derivative of Eq. (9), we obtain
The control objective is to actuate in the torque applied
z_3 ¼ x_3 : (21)
at the pivot of the beam, such that the ball can roll on the
beam and achieve the regulation of the ball position. The Substituting (5) in (21), we can obtain
torque causes a change in the beam angle and a movement z_3 ¼ x4 : (22)
in the position of the ball.
The algorithm of the backstepping requires a new defi- Then, let x4 5 a2(z3)
nition of state variables, as follows z_3 ¼ a2 ðz3 Þ: (23)
z1 ¼ x1 (7) Let us choose a2(z3) as follows
z2 ¼ x2  a1 ðz1 Þ (8) a2 ðz3 Þ ¼ −c3 z3 : (24)

z3 ¼ x3 (9) Then,
z_3 ¼ −c3 z3 : (25)
z4 ¼ x4  a2 ðz3 Þ (10)
Equation (25) can be described as exponentially stable
where, x2, x4 are given by c3>0 design parameter (chosen to be constant).

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4 International Review of Applied Sciences and Engineering

Step 4: Considering the (z1, z2, z3, z4) subsystem of system

(7–12), we can rewrite Eq. (10) as follows
z4 ¼ x4  a2 ðz3 Þ: (26)
Substituting (24) in (26), we can obtain
z4 ¼ x4  ð−c3 z3 Þ ¼ x4 þ c3 z3 : (27)
Now, we can rewrite (27)
z4 ¼ x4 þ c3 x3 : (28) Fig. 2. Structure of the proposed backstepping control scheme

Step 5: In this last step, we must design a1 and a2 such that deviations. A common approach in robust controllers is to
z1, z2, z3 and z4 goes to zero. Aiming this, a proper and incorporate in the design some knowledge regarding the upper
positive definite function V1 is taken as a Lyapunov candi- and lower bounds of the uncertainties and disturbances,
date for the system (7–12) guaranteeing a good performance for the worst-case problem.
1 1 1 1 Nevertheless, this is a very conservative approach and will not
V1 ðz1 ; z2 ; z3 ; z4 Þ ¼ c21 z12 þ z22 þ c23 z32 þ z42 (29)
2 2 2 2 be adopted in this work. Here, an adaptive control design will
or, be proposed, in order to incorporate estimated values of the
uncertainties in the control law [35–37].
1 1 1
V1 ðz1 ; z2 ; z3 ; z4 Þ ¼ c21 x12 þ ðx2 þ c1 x1 Þ2 þ c23 x32 The model can be represented in terms of uncertainties
2 2 2 as follows
1
þ ðx4 þ c3 x3 Þ2 : (30)
2 x_1 ¼ x2 (35)
Differentiating V1 along the solutions of (7–12) gives  
x_2 ¼ x1 x42  gsinðx3 ÞÞ a þ d1 (36)
V_ 1 ¼ c21 x1 x_1 þ ðx2 þ c1 x1 Þðx_2 þ c1 x_1 Þ þ c23 x3 x_3 þ ðx4
þ c3 x3 Þ ðx_4 þ c3 x_3 Þ: x_3 ¼ x4 (37)
(31) 1
x_4 ¼ ð−2x1 x2 x4  gx1 cosðx3 Þ þ uÞ þ d2 (38)
Substituting (3–6) in (31), we can obtain ðx12þ bÞ

V_ 1 ¼ 2c21 x1 x2 þ 2c23 x3 x4 þ aðx2 þ x1 x1 Þ x1 x42  g sinðx3 Þ where d1, d2 are uncertain items given by:
ðx4 þ c3 x3 Þ
þ c1 x22 þ ð−2x1 x2 x4  gx1 cosðx3 ÞÞ d1 ¼ ðx1 x42 − gsinðx3 ÞÞ=Δa:
ðx12 þ bÞ
ðx4 þ c3 x3 Þ d2 ¼ ðx2 þΔbÞ
1
ð −2x1 x2 x4 − gx1 cosðx3 Þ þ uÞ:
þ u þ c3 x42 :
1

ðx12 þ bÞ Now, we try to design the backstepping controller to the

(32) system in (35–38) with uncertainty, following a procedure
that is similar to backstepping without uncertainty. First, we
In order to apply the Lyapunov theorem, we can isolate u
present the state equations including the uncertain terms
in Eq. (32) and propose the following control law
 2  z_1 ¼ −c1 z1 (39)
x1 þ b  
u¼ −2c21 x1 x2  2c23 x3 x4  c1 x22  c3 x42   
ðx4 þ c3 x3 Þ  2  z_2 ¼ ðx2 þ c1 x1 Þ x1 x42  g sinðx3 ÞÞ a þ d1 þ c1 x2 Þ (40)
x1 þ b 
þ 2x1 x2 x4 þ gx1 cosðx3 Þ  aðx1 x42 z_3 ¼ −c3 z3 (41)
ðx4 þ c3 x3 Þ
 g sinðx3 ÞÞ: (33)

1
z_4 ¼ ðx4 þ c3 x3 Þ ð−2x1 x2 x4  gx1 cosðx3 Þ þ uÞ
Substituting (33) in (32), we can conclude that ðx12 þ bÞ
þ d2 þ x3 x4 Þ:
V_ 1 ¼ −c1 x22  c3 x42 (34)
(42)
where c1>0 and c3>0 are design parameters. Thus, V_ 1 is Let us choose the Lyapunov function (positive definite) as
negative, proving that the control system (7–12) is stable.
1 1 1 1
The structure of the proposed scheme is shown in Fig. 2. V2 ðz1 ; z2 ; z3 ; z4 Þ ¼ c21 z12 þ z22 þ c23 z32 þ z42 (43)
2 2 2 2
Equation (43) can be written as
4. ADAPTIVE BACKSTEPPING CONTROL 1 1 1
DESIGN V2 ðz1 ; z2 ; z3 ; z4 Þ ¼ c21 x12 þ ðx2 þ c1 x1 Þ2 þ c23 x32
2 2 2
1
þ ðx4 þ c3 x3 Þ2 : (44)
In practice, the control systems may be subjected to model 2
uncertainties and disturbance inputs. For this reason, the Differentiating the function V2 along the solutions of
backstepping controller must be made robust to these model system (35–38) yields

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International Review of Applied Sciences and Engineering 5

V_ 2 ¼ c21 x1 x_1 þ ðx2 þ c1 x1 Þðx_2 þ c1 x_1 Þ þ c23 x3 x_3 þ ðx4 _

b
d1 ¼ g1 ðx2 þ c1 x1 Þ (51)
þ c3 x3 Þðx_4 þ c3 x_3 Þ: (45)
_
b
Substituting Eqs. (35–38) in Eq. (45), one can get d2 ¼ g2 ðx4 þ c3 x3 Þ: (52)
  
V_ 2 ¼ c21 x1 x2 þ ðx2 þ c1 x1 Þ x1 x42  g sinðx3 ÞÞ a þ d1 With this proposed adaptive law, the time derivative of the
þ c1 x 2 Þ

þ c23 x3 x4 þ ðx4 Lyapunov function become:

þ c3 x 3 Þ
1
ð−2x1 x2 x4  gx1 cosðx3 Þ þ uÞ V_ 3 ¼ −c1 x22  c3 x42 ≤ 0:
ðx1 þ bÞ
2
According to the Barbalet theorem, z1, z2, z3 and z4→0
þ d2 þ c3 x4 Þ:
when t→∞, hence the system is asymptotically stable. The
We can rewrite it as follows structure of the proposed adaptive backstepping controller
  scheme is shown in Fig. 3.
V_ 2 ¼ 2c21 x1 x2 þ 2c23 x3 x4 þ ðx2 þ x1 x1 Þ x1 x42
 ðx4 þ c3 x3 Þ
 g sinðx3 ÞÞ a þ d1 þ c1 x22 Þ þ ð−2x1 x2 x4
ðx12 þ bÞ 5. SIMULATION RESULTS
ðx4 þ c3 x3 Þ
 gx1 cosðx3 ÞÞ þ u þ d2 þ c3 x42 :
ðx12 þ bÞ
In order to validate the proposed control design procedure
(46) and verify its effectiveness, simulations are performed in
MATLAB. The controlled system has been implemented
Control law: within MATLAB/SIMULINK environment. The m-function
Now, we propose the following control law has been used to interface between the m-file and Simulink
 2  environment. The control and plant are coded inside m-files,
x1 þ b  
u¼ −2c21 x1 x2  2c23 x3 x4  2c1 x22  2c3 x42 while these codes are called by their corresponding m-
ðx4 þ c3 x3 Þ function within SIMULINK Library. In order to give a better
ðx12 þ bÞ  2 description of the simulations performed in Simulink/
þ 2x1 x2 x4 þ gx1 cosðx3 Þ  x1 x4
  2 ðx4 þ c3 x3 Þ MATLAB, we included a figure in Section 5 showing the
 g sinðx3 ÞÞ a  x1 þ b d~2 Simulink block diagram (Figs 4 and 5). The results for the
ðx2 þ c1 x1 Þ x12 þ b ~ backstepping and adaptive backstepping designs will be
 d1
ðx4 þ c3 x3 Þ presented for the regulation problem of the ball and beam
(47) system.
The parameters of the adaptive backstepping controller
where d~1 ðd~2 Þ represents the error between the actual un- are selected as c1 5 0.1, c3 5 0.7, g1 5 0.0001, g2 5 15 and
certainty term d1 (d2) and the estimated uncertainty term b
d1 ½ x1 ð0Þ x2 ð0Þ x3 ð0Þ x4 ð0Þ  ¼ ½ 0:1 0 1 1.
ðb
d2 Þ. Using (47), Eq. (46) becomes Figure 6 shows the ball position, ball velocity, angle of
the beam, angular velocity and the control input of the
V_ 2 ¼ −c1 x22  c3 x42 þ ðx2 þ c1 x1 Þ d~1 þ ðx4 þ c3 x3 Þ d~2 : (48)
system, in the case of backstepping controller. Figure 7
shows the ball position, ball velocity, angle of the beam,
Adaptive law:
angular velocity and the control input of the system, in the
case of adaptive backstepping controller. Figure 8 shows the
Let us choose the Lyapunov function as actual and estimated uncertain parameters of the system. It
1 ~2 1 −1 ~2 is clear from the figure that estimation errors are convergent,
V3 ¼ V2 þ g−1 d þ g d : (49)
2 1 1 2 2 2
Taking the time derivative of the Lyapunov function and
assuming stationary values of actual uncertainty terms leads to

V_ 3 ¼ V_ 2 þ g−1 ~ b_ _
−1 ~ b
1 d 1 d 1 þ g2 d 2 d 2

V_ 3 ¼ −c1 x22  c3 x42 þ ðx2 þ c1 x1 Þd~1 þ ðx4 þ c3 x3 Þd~2

 g−1 ~ b_ −1 ~ b _
1 d 1 d 1  g2 d 2 d 1

 (50)
_
~1 g ðx2 þ c1 x1 Þ  b
V_ 3 ¼ −c1 x22  c3 x42 þ g−1 1 d 1 d 1


þ g−1 ~ b_
2 d 2 g2 ðx4 þ c3 x3 Þ  d 2 :

The following adaptive law can be deduced based on Eq.

Fig. 3. Proposed adaptive control scheme
(50)

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6 International Review of Applied Sciences and Engineering

Fig. 4. Simulink/MATLAB block diagram for backstepping control design

Fig. 5. Simulink/MATLAB block diagram for adaptive backstepping control design

which proves the conclusion reached by stability analysis. In mechanism, it has complex dynamic characteristics, such as
addition, it can be seen in the presented results that the nonlinearities and open loop instability. So, it is a good
nonlinear adaptive backstepping design improves the system choice for the test and validation of modern control algo-
performance, both in transient and steady state, and also rithms, which is the case of the adaptive backstepping
reduces the control effort. The values of the physical pa- technique proposed in this work for a nonlinear control
rameters are listed in Table 1. system subjected to disturbances and model uncertainties.
The performance of both controllers is reported The design of a nonlinear adaptive backstepping
numerically in terms of ball velocity. Table 2 lists the tran- controller, applied to the ball position control in a dy-
sient characteristics of both classical and adaptive back- namic ball and beam system, was presented in this paper.
stepping controllers. It is clear from the table that the The simulated results showed that, compared to a tradi-
dynamic performance due to adaptive controller is better tional nonlinear backstepping controller, the adaptive
than that based on classical controller. backstepping improves the transient and steady state
performance, and also reduces the control effort. In
addition, the robustness to parameters uncertainties was
6. CONCLUSION verified and the design procedure was validated. In future
work, the robustness against exogenous disturbances
The ball and beam platform has great educational attrac- should be taken into account in the formulation of the
tivity because, despite the very simple mechanical adaptive control law.

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International Review of Applied Sciences and Engineering 7

(a) (b)

(c) (d)

(e)

Fig. 6. Position of the ball, velocity of the ball, theta of the beam, theta velocity of the beam, input voltage (u)

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8 International Review of Applied Sciences and Engineering

(a) (b)

(c) (d)

(e)

Fig. 7. Position of the ball, velocity of the ball, theta of the beam, theta velocity of the beam, input voltage (u)

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International Review of Applied Sciences and Engineering 9

Fig. 8. The actual and estimated responses of d1 and d2

Table 1. Physical parameters of ball and beam system This study can be extended for future work if other
Symbol Description Value control schemes are included to control the ball and beam
system and to conduct comparison study in performance
g Earth's gravitational constant ðm=s Þ 2
9.8 with the present control technique. One may use the
m Mass of the ball ðkgÞ 0.064 following modern control methodologies for this purpose
R Ball radius ðcmÞ 1.27
such as active disturbance control, super-twisting sliding
I Beam moment of inertia ðkg:m2 Þ 4:1290 310−6
Ib Ball moment of inertia ðkg:m2 Þ 2:25 310−5
mode control, projection adaptive sliding mode control,
V Rating input voltage 12 v Interval type-2 Fuzzy logic control, etc [38–47].

Table 2. Ball velocity comparison

Rise
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