Backstepping Lecture Notes by B.

Yao


Backstepping Designs
Motivating Example
Consider

2 3
1 1 1 2
x x x x = +
`
(B1)

2
x u =
`
(B2)
Backstepping Design
Note that if we treat
2 1
x o = as an input to the subsystem described by the
first equation (B1), we can easily design a stabilizing control law
1 1
( ) x o for it.
For example, let

2
1 1 1 1 1
( ) x x k x o = (B3)

then, the first equation with
2 1 1
( ) x x o = becomes

3
1 1 1 1
x k x x =
`
(B4)

The origin of (B4) is globally asymptotically stable, which can be proved by
obtaining the derivative of a radially unbounded positive definite function
2
1 1 1
1
( )
2
V x x = along the solutions of (B4):

2 4
1 1 1 1 1 1 1 1
( ) 0, 0 V x x x k x x x = = < =
`
`
(B5)
Backstepping Lecture Notes by B.Yao


This suggests that if we can design a control law for u such that

2 2 1 1
( ) 0 as z x x x o = ,

then, it might stabilize the overall system which leads to the following
integrator backstepping design.

To make
2
z converge, let us take a look at its derivative:

1
2 2 1 1 1
1
( ) z x x u x
x
o
o
c
= =
c
` ` ` `

( )
( )
2 3
1 1 1 1 2
2 u x k x x x = + (B6)
Thus a control law for u such that
2
z converges is given by


( )
( )
2 3
1 1 1 1 2 2 2
2 u k x x x x k z = + + (B7)

as the resulting error dynamics (B6) becomes:


2
2 2 2 2 2
( ) (0) 0 as
k t
z k z z t e z t

= = ` (B8)

Q: Is the above control law globally stabilizing the original nonlinear
system (B1) and (B2)?

Backstepping Lecture Notes by B.Yao



Not automatically guaranteed due to the possible nonlinear growth rate of the
first subsystem - though the first subsystem is globally asymptotically stable
for
2
0, z = the nonlinear nature of the first subsystem makes it possible that
even for the exponentially converging
2
( ) z t , the internal dynamics might still
be unstable!

But for the current example, as the coefficient in front of
2
x is 1, we do not
have the above nonlinear growth problem and it is shown below that with
slight constraints on feedback gains, the above control law will globally
stabilize the original nonlinear system.

Consider the composite function given by

2 2
1 1 2 2 1 2
1 1
( ) ( )
2 2
V V x V z x z = + = + (B9)
which is radially unbounded positive definite function for the overall system
(B1) and (B2), as
1 2
0, , and 0 only if 0. V x V x x > = = = The derivative of V
along (B1) and (B2) is:


1 1 2 2
V x x z z = +
`
` `

2 3
1 1 1 1 1 2 2 2 2
( ( ) ) ( ) x x x x z z k z o = + + +
Backstepping Lecture Notes by B.Yao



4 2 2
1 1 1 1 2 2 2
x k x x z k z = +

| |
1
1 4
1 1 2
2
2
1
2
1
2
z
K
k
x
x x z
z
k
(

(
(
=
(
(

(

(

_
(B10)
Thus, 0 V <
`
and the origin is globally asymptotically stable if 0
z
K > , which is
the same as the requirement that
1 2
1
4
k k > .

The above design normally works for the system for which the coefficient in
front of
2
x is a constant, not a function of
1
x . To by-pass this requirement and
the constraints on the feedback gains for stability (i.e.,
1 2
1
4
k k > ), the following
integrator backstepping design can be used:

Introducing an additional term in the control input to actively compensate
for (or cancel) the cross coupling term in (B10) due to the mismatch of the
actual
2
x and its desired value
1
o on the effect of the first subsystem
design for
1
x dynamics.


Backstepping Lecture Notes by B.Yao


Namely, adding
1
x to (B7):

2 3
1 1 1 1 2 2 2 1
( 2 )( ) u k x x x x k z x = + + (B11)
then, V
`
in (B10) becomes


3
1 1 1 1 2 2 2 2 1
( ) ( ) V x k x x z z k z x = + +
`


4 2 2
1 1 1 2 2
x k x k z = (B12)

which is negative definite for any
1 2
0, 0. k k > >

I/O Feedback Linearization
To have a better understanding of the backstepping design, let us apply the
I/O feedback linearization technique to solve the above stabilizing problem as
well. Note that if we treat
1
x as the output
1
y x = , then, the system has a
relative degree of 2 and the standard I/O feedback linearization control law
can be straight-forwardly applied due to the lack of internal dynamics problem.
Namely, define new coordinates as:


1 1
y x = = (B13)

2 3
2 1 1 1 2
y x x x x = = = +
` `
(B14)

Backstepping Lecture Notes by B.Yao


Then, the dynamics in the new-coordinates become


1 2
=
`


2
2 1 1 1 2
(2 3 ) x x x x = +
`
` `


2 2 3
1 1 1 1 2
(2 3 )( ) x x x x x u = + + (B15)

which leads to the following I/O feedback linearization law:


2 2 3
1 1 1 1 2
(2 3 )( ) u x x x x x v = + + (B16)
For stabilization:

1 1 2 2 1 2 1 1 1
0 v k k k k = + + =
`` `
(B17)
and the closed-loop system will be globally asymptotically stable with two CL
poles determined by the CLCE:

2
2 1
0 s k s k + + = (B18)





Backstepping Lecture Notes by B.Yao


Comparing Backstepping Design and I/O Feedback Linearization

1. Assuming full state-feedback, both methods use the system model to
analytically obtain the derivatives of certain signals to avoid the noise
problems that are associated with the ad-hoc method of numerical
differentiation of measured signals with filtering for example, the
calculation of derivatives of the intermediate control function
i
o needed in
the subsequent backstepping designs and the calculation of derivatives of
the output in the I/O feedback linearization.

2. Backstepping allows more design flexibility in choosing the intermediate
control functions. The added design flexibility can be explored to by-pass
some of the artificial problems associated with the I/O linearization. For
example, the intermediate control function can be chosen to avoid the
cancellation of good nonlinearity the term -
3
1
x in (B4) which is useful for
the stabilization of the first subsystem is not cancelled in the backstepping
design.

3. Backstepping design idea can be combined with other adaptive or robust
control techniques to synthesize effective adaptive or robust controllers for a
class of uncertain systems transformable to semi-strict feedback forms; the
uncertains can be unmatched model uncertainties.


Backstepping Lecture Notes by B.Yao


Integrator Backstepping Design
Consider the system given by
( ) ( ) f g q q q = +
`
(B19)
u =
`
(B20)
where
1
[ , ]
T T n
R q
+
e is the state and u R e is the control input. The function
f and g are continuous and have continuous partial derivatives. Such a
system can be viewed as a cascade connection of two subsystems: (B19) and
(B20). The goal is to design a state feedback control law to stabilize the origin
( 0, 0) q = = .
Assumption:
Assume that we know a control law for the first subsystem (B19) that
stabilizes (B19) when is viewed as the input, i.e., we know a state feedback
control law ( ) | q for (B19) so that the origin of
( ) ( ) ( ) f g q q q | q = +
`
(B21)
is asymptotically stable. In addition, assume that we know a sufficiently
smooth positive definite Lyapunov function ( ) V
q
q for (B21):

| |
( ) ( ) ( ) ( )
V
f g W
q
q q | q q
q
c
+ s
c
(B22)
where ( ) W q is a positive definite function of q.

Backstepping Lecture Notes by B.Yao


Objective:
Design a feedback control law for u that stabilizes the overall system.

Solution:
Let the discrepancy of the virtual input be

( ) z | q = (B23)

Then, the change of coordinate from ( , ) to ( , ) z q q results in the equivalent
system of (B19) and (B20) as:

( ) ( ) ( ) ( ) f g g z q q q | q q = + +
`
(B24)
( ) ( ) z u | q | q = =
` ` `
` (B25)
As f and g are known functions, and q are measured, |
`
in (B25) can be
analytically calculated as

| |
( ) ( ) f g
| |
| q q q
q q
c c
= = +
c c
`
`
(B26)
Consider the augmented function given by

2
1
( , ) ( )
2
c
V z V z
q
q q = + (B27)
which is positive definite w.r.t. ( , ) z q . Its derivative along the solution of (B24)
Backstepping Lecture Notes by B.Yao


and (B25) is:

| |
( ) ( ) ( ) ( ) ( )
c
V V
V V zz f g g z z u
q q
q
q q | q q | q
q q
c c
(
= + = + + +

c c
` ` `
`
( ) ( ) ( )
V
W z u g
q
q | q q
q
c
(
s + +
(
c

`
(B28)
Thus, if we choose
( ) ( )
V
u g kz
q
| q q
q
c
=
c
`
(B29)

stabilizingterm
for -dynamics
feedforward-like model dealingwith
compensationterm thecross-coupling
duetothemismatch
of andits desired
value ( )
[ ] ( )
z
V
f g g kz
q

| q
|
q
q q
c
c
= +
c c
_ _

then,

2
( )
c
V W kz q s
`
(B30)
which is negative definite w.r.t. ( , ) z q . Thus, by Lyapunov theorem, the origin
( , ) (0,0) z q = of the transformed system (B24) and (B25) is asymptotically
stable.
Backstepping Lecture Notes by B.Yao


Backstepping Design
The above design can be easily extended to the following system:

( ) ( ) f g q q q = +
`
(B31)
( , ) ( , )
a a
f g u q q = +
`
(B32)

where and
a a
f g are known functions that depend on both the state of the
second subsystem and the first subsystem, and 0
a
g = . This can be done by
first using the nonlinear input transformation

| |
1
( , )
( , )
a
a
u f v
g
q
q
= + (B33)

to reduce (B32) to the pure integrator from the new input v to .

v =
`
(B34)
and then applying the above integrator backstepping design for (B31) and
(B34) to obtain the stabilizing control law for v. The final control law thus
becomes:

| | | |
1
( , ) ( ) ( ) ( ) ( )
( , )
a
a
V
u f f g g k
g
q
|
q q q q | q
q q q
c

c
= + +
`
c c
)

(B35)
Backstepping Lecture Notes by B.Yao


By recursively applying the above backstepping designs, we can easily find
the stabilizing control law for the systems transformable to the strict-feedback
form given by:

1
( ) ( ) f g
q q
q q q = +
`


1 1 1 1 1 2
( , ) ( , ) f g q q = +
`

.

1 1 1 1 1 1 1
( , , , ) ( , , , )
k k k k k k
f g q q

= +
`


1 1
( , , , ) ( , , , )
k k k k k
f g u q q = +
`
(B36)

where
1
, to
n
k
R q e are scalers, and
i
f and
i
g are known functions with
0
i
g = . The system (B36) is called strict feedback form as the nonlinearities
i
f and
i
g in the
i

`
-equation ( 1, , i k = . ) depend only on
1
, , ,
i
q , that is, on
the state variables that are fed back.


Backstepping Lecture Notes by B.Yao


Example B1:
Consider

2 2
, f g
u
q q
q q q q q

= + = =

`
`
(B37)
which can only be semi-globally stabilized via linear feedback of u k = with
sufficiently large 0 k > as shown in Example F6. In the following, we will
achieve global stabilization via backstepping design. As the zero dynamics
( 0) = is stable, the assumption B1 is satisfied with ( ) 0 | q = and
2
1
( )
2
V
q
q q = :

2
[ ] 0 , 0
V
q
q q q
q
c
= < =
c
(B38)
Thus, a global stabilizing control law for (B37) is obtained by (B29):

V
u g kz
q
q
q
c
=
c


2 3
k k q q q = = (B39)
which has an additional nonlinear feedback term
3
q to counter-react the
nonlinear growth term of
2
g
q
q = in the internal dynamics.
Backstepping Lecture Notes by B.Yao


Example B2:
Consider

2 2
, f g
u
q q
q q q q q

= = =

`
`
(B40)
As the zero-dynamics is unstable, active feedback is needed to stabilize the
internal dynamics first. For example, choose

2
( ) k
q
| q q q = = + (B41)
Then, the derivative of
2
1
2
V
q
q = along the solution of (B40) with ( ) | q = is

2 2 3 4
[ ] [ ] 0 , 0
V
f g k k
q
q q q q
| q q q q q q
q
c
+ = = < =
c
(B42)

As such, a globally stabilizing control law for (B40) is given by (B29):


2 2
(1 2 )( ) ( ) ( ) u k k k
q q
q q q q q q q
(
= + +

(B43)