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Hierarchical

Sliding Mode

Control for Under-

actuated Cranes

Design, Analysis and Simulation

Hierarchical Sliding Mode Control

for Under-actuated Cranes

Dianwei Qian Jianqiang Yi

Hierarchical Sliding

Mode Control

for Under-actuated Cranes

Design, Analysis and Simulation

123

Dianwei Qian Jianqiang Yi

School of Control and Computer Institute of Automation

Engineering Chinese Academy of Sciences

North China Electric Power University Beijing

Beijing China

China

DOI 10.1007/978-3-662-48417-3

Springer-Verlag Berlin Heidelberg 2016

This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part

of the material is concerned, specically the rights of translation, reprinting, reuse of illustrations,

recitation, broadcasting, reproduction on microlms or in any other physical way, and transmission

or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar

methodology now known or hereafter developed.

The use of general descriptive names, registered names, trademarks, service marks, etc. in this

publication does not imply, even in the absence of a specic statement, that such names are exempt from

the relevant protective laws and regulations and therefore free for general use.

The publisher, the authors and the editors are safe to assume that the advice and information in this

book are believed to be true and accurate at the date of publication. Neither the publisher nor the

authors or the editors give a warranty, express or implied, with respect to the material contained herein or

for any errors or omissions that may have been made.

(www.springer.com)

Dedicated to my wife Weiwei Zhao and our

daughter Siqi Qian as well as to my parents

Yubao Qian and Lixiang Bai with love and

gratitude

Dianwei Qian

children with love and gratitude

Jianqiang Yi

Preface

Overhead cranes are widely used in many places, such as warehouses, disaster sites,

nuclear plants, shipyards and construction sites. Overhead crane control has been

paid more and more attention in recent years. Concerning the control problem,

numerous theoretical studies and practical implementations have been carried out.

Accordingly, various control methods have been presented. Among the diversity of

control methods, sliding mode control is recognized as one of the most efcient

design tools.

Many control designs and applications in the elds of sliding mode control for

overhead cranes have been published in various journals and conference proceed-

ings. In spite of these remarkable advances in this eld, most of the current

researches only focus on some special control applications, rather than a systematic

methodology.

The methodology of hierarchical sliding mode control lls the gap between

sliding mode control and its applications in overhead cranes. Hierarchical sliding

mode control presents several control structures for the sliding mode control

applications in overhead cranes. It is a systematic and effective design tool, which

has both theoretical and practical signicances.

This book provides readers with a comprehensive overview of sliding mode

control for overhead crane systems with detailed proofs of the fundamental results.

Capturing the structure characteristic of overhead cranes, this is possible to achieve

novel control structures by the method of sliding mode control. With the under-

standing that the physical structure of overhead crane systems is dismantled, some

appropriate control structures are constructed and hierarchical sliding mode control

is developed.

The key feature of hierarchical sliding mode control architectures is the hier-

archical sliding surfaces with the guaranteed stability. By explicitly building the

structure specication into the problem formulation, it is possible to construct and

analyze novel sliding surface structures. With hierarchical sliding mode control

architectures, sliding motion can be depicted by phase plane and this appears to be

benecial both for scientic researches and studies.

vii

viii Preface

The book has six chapters. Each chapter concludes with appendices about

simulation programs.

Chapter 1 starts with a brief introduction of overhead crane systems. It proceeds

with a brief historical overview of sliding mode control. A review about overhead

crane control is considered next. This chapter proceeds with analysis of some

typical control problems associated with sliding mode control for overhead cranes.

Chapter 2 investigates modeling of overhead crane systems. First, equations of

motion for single-pendulum-type overhead cranes are presented. Then, dynamics of

double-pendulum-type overhead cranes are described. Uncertainties of the two

models are considered next. The chapter proceeds with analysis of oscillations for

pendulum-type motions according to the linearized models of the two types of

overhead cranes.

Chapter 3 introduces several typical design methods of sliding mode control.

The chapter proceeds with applications of these design methods for overhead

cranes. Some simulation results are demonstrated. MATLAB codes about the

simulations are also available in the appendix part.

Chapter 4 presents hierarchical sliding mode control for overhead cranes. Three

hierarchical structures are designed for single-pendulum-type overhead cranes and

one hierarchical structure is considered for double-pendulum-type overhead cranes.

For each hierarchical structure, it is proved that both the hierarchical sliding sur-

faces and the whole control system are of asymptotically stability in the sense of

Lyapunov. Numerical simulations illustrate the feasibility of these designed hier-

archical structures. MATLAB codes about the simulations are also attached in the

appendix part.

Chapter 5 extends the method of hierarchical sliding mode control to accom-

modate unmatched uncertainties. It starts with compensator design for the unmat-

ched uncertainties of overhead cranes. The compensator and the controller work

together to realize the robust overhead crane control. Since the compensator design

needs a strict assumption, this chapter proceeds with the design of intelligent

compensator based on the hierarchical structure. Some simulations are conducted to

verify the effectiveness of the presented control scheme. MATLAB codes about the

simulations are also presented.

Chapter 6 summarizes some of the further extensions not captured within this

book, states the open problems, and the challenges for future thinking.

The book can be used for teaching a graduate-level special-topics course in

sliding mode control.

In this book, all the control algorithms and their programs are described sepa-

rately and classied by the chapter name, which can be run successfully in

MATLAB 7.5.0.342 version or in other more advanced versions. If you have

questions about algorithms and simulation programs, please feel free to contact

Dianwei Qian by E-mail: dianwei.qian@gmail.com.

Jianqiang Yi

Acknowledgments

and graduate students who have worked with us at different times and whose Ph.D.

dissertations and technical papers contribute to the chapters in this book. Among

these, we are especially thankful to Professor Dongbin Zhao of the Institute of

Automation, Chinese Academy of Sciences, for his help and support with crane

control applications. We are grateful to Dr. Wei Wang, Dr. Diantong Liu, and

Dr. Yinxing Hao for numerous useful discussions on the design and the analysis

problems of the methods in this book during their stay at the Institute of Automation,

Chinese Academy of Sciences, in the initial stages of the theorys development.

Graduate students Jinrong Guo, BinbinYang, and Hong Liu from the School of

Control and Computer Engineering, North China Electric Power University, con-

tributed to the development of the results in this book while working on their

dissertations.

At last but not least, we would like to thank our families for their unconditional

dedication, love, and support, and to whomwith our humble gratitudewe

dedicate this book.

Jianqiang Yi

ix

Contents

1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1 Crane Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.1.1 Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.1.2 Boom Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.1.3 Tower Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1.2 Review of Sliding Mode Control . . . . . . . . . . . . . . . . . . . . . . . 5

1.2.1 Variable Structure Control . . . . . . . . . . . . . . . . . . . . . . 5

1.2.2 Sliding Mode Control. . . . . . . . . . . . . . . . . . . . . . . . . . 8

1.2.3 Equivalent-Control-Based Sliding Mode Control . . . . . . . 11

1.2.4 Chattering Reduction . . . . . . . . . . . . . . . . . . . . . . . . . . 13

1.2.5 Sliding Mode Control Design for State Space Model . . . . 15

1.2.6 Robustness Against Uncertainties. . . . . . . . . . . . . . . . . . 17

1.2.7 Sliding Order and Sliding Sets . . . . . . . . . . . . . . . . . . . 22

1.3 A Review of Crane Control. . . . . . . . . . . . . . . . . . . . . . . . . . . 23

1.3.1 Open-Loop Control . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

1.3.2 Closed-Loop Control . . . . . . . . . . . . . . . . . . . . . . . . . . 25

1.4 Challenges of Sliding Mode-Based Crane Control . . . . . . . . . . . 33

1.4.1 Theoretical Challenges . . . . . . . . . . . . . . . . . . . . . . . . . 33

1.4.2 Practical Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

A Matlab Codes to Plot Fig. 1.5a. . . . . . . . . . . . . . . . . . . . . . . 35

B Matlab Codes to Plot Fig. 1.5b. . . . . . . . . . . . . . . . . . . . . . . 35

C Matlab Codes to Plot Fig. 1.7 . . . . . . . . . . . . . . . . . . . . . . . 35

D Simulink Model to Plot Figs. 1.8 and 1.9 . . . . . . . . . . . . . . . 36

E Simulink Model to Plot Figs. 1.10 and 1.11 . . . . . . . . . . . . . . 37

F Matlab Codes to Plot Fig. 1.12 . . . . . . . . . . . . . . . . . . . . . . . 38

G Simulink Model to Plot Figs. 1.13 and 1.14. . . . . . . . . . . . . . 38

H Simulink Model to Plot Figs. 1.15 and 1.16. . . . . . . . . . . . . . 39

I Simulink Model to Plot Figs. 1.17, 1.18, 1.19 and 1.20 . . . . . . 41

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

xi

xii Contents

2.1 Modeling of Single-Pendulum-Type Cranes. ...... . . . . . . . . . 51

2.1.1 Modeling . . . . . . . . . . . . . . . . . . . ...... . . . . . . . . . 51

2.1.2 Model with Uncertainties . . . . . . . . ...... . . . . . . . . . 55

2.1.3 Linearized Model. . . . . . . . . . . . . . ...... . . . . . . . . . 56

2.1.4 Modeling of Double-Pendulum-Type Cranes . . . . . . . . . . 57

2.1.5 Model with Uncertainties . . . . . . . . ...... . . . . . . . . . 63

2.1.6 Linearized Model. . . . . . . . . . . . . . ...... . . . . . . . . . 63

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . ...... . . . . . . . . . 65

A Matlab Codes to Plot Fig. 2.2 . . . . . . . . ...... . . . . . . . . . 65

B Matlab Codes to Plot Fig. 2.4 . . . . . . . . ...... . . . . . . . . . 66

References . . . . . . . . . . . . . . . . . . . . . . . . . . . ...... . . . . . . . . . 66

3.1 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

3.2 First-Order Sliding Mode Control. . . . . . . . . . . . . . . . . . . . . . . 68

3.2.1 Control Design of Single-Pendulum-Type

Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

3.2.2 Stability Analysis of the Single-Pendulum-Type Crane

Control System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

3.2.3 Simulations of Nominal Single-Pendulum-Type

Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

3.2.4 Simulations of Uncertain Single-Pendulum-Type

Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

3.2.5 Extensions of Double-Pendulum-Type

Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

3.3 Integral Sliding Mode Control . . . . . . . . . . . . . . . . . . . . . . . . . 79

3.3.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

3.3.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

3.3.3 Simulations of Single-Pendulum-Type Cranes

by ISMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

3.3.4 Simulations of Uncertain Single-Pendulum-Type

Cranes by ISMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

3.4 Terminal Sliding Mode Control . . . . . . . . . . . . . . . . . . . . . . . . 86

3.4.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

3.4.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

3.4.3 Simulations of Single-Pendulum-Type Cranes by TSM. . . 90

3.4.4 Simulations of Uncertain Single-Pendulum-Type Cranes

by TSM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

3.5 Second-Order Sliding Mode Control. . . . . . . . . . . . . . . . . . . . . 93

3.5.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

3.5.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

Contents xiii

by Second-Order SMC . . . . . . . . . . . . . . . . . ........ 96

3.5.4 Simulations of Uncertain Cranes

by Second-Order SMC . . . . . . . . . . . . . . . . . . . . . . . . . 98

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

A Simulink Model to Plot Figs. 3.1 and 3.2 . . . . . . . . . . . . . . . 100

B Simulink Model to Plot Figs. 3.5 and 3.6 . . . . . . . . . . . . . . . 103

C Simulink Model to Plot Figs. 3.7 and 3.8 . . . . . . . . . . . . . . . 107

D Simulink Model to Plot Figs. 3.11 and 3.12. . . . . . . . . . . . . . 109

E Simulink Model to Plot Figs. 3.15 and 3.16 . . . . . . . . . . . . . . 112

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

4.1 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

4.2 Aggregated HSMC. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118

4.2.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

4.2.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

4.2.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124

4.3 Incremental HSMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

4.3.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

4.3.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

4.3.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132

4.4 Combining HSMC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

4.4.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136

4.4.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

4.4.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140

4.5 Adaptive Control Design Based on Hierarchical

Sliding Surfaces. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

4.5.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

4.5.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146

4.5.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

4.6 HSMC Design for Double-Pendulum-Type Overhead Cranes. . . . 150

4.6.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

4.6.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153

4.6.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

A Simulink Model to Plot Figs. 4.2, 4.3 and 4.4 . . . . . . . . . . . . 156

B Simulink Model to Plot Figs. 4.6, 4.7, 4.8 and 4.9 . . . . . . . . . 157

C Simulink Model to Plot Figs. 4.11, 4.12, 4.13, 4.14

and 4.15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

D Simulink Model to Plot Figs. 4.16, 4.17, 4.18 and 4.19. . . . . . 161

E Simulink Model to Plot Figs. 4.21 and 4.22 . . . . . . . . . . . . . . 164

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165

xiv Contents

Overhead Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

5.1 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

5.2 Compensator Design Based on HSMC . . . . . . . . . . . . . . . . . . . 168

5.2.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168

5.2.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

5.2.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

5.3 Sliding Mode-Based Fuzzy Compensator Design . . . . . . . . . . . . 172

5.3.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

5.3.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176

5.3.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

5.4 Sliding Mode-Based Neural Compensator Design. . . . . . . . . . . . 179

5.4.1 Control Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

5.4.2 Stability Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182

5.4.3 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184

Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187

A Simulink Model to Plot Figs. 5.1 and 5.2 . . . . . . . . . . . . . . . 187

B Simulink Model to Plot Figs. 5.4, 5.5 and 5.6 . . . . . . . . . . . . 189

C Simulink Model to Plot Figs. 5.8, 5.9 and 5.10 . . . . . . . . . . . 193

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196

6.1 Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

6.2 Extensions and Open Problems . . . . . . . . . . . . . . . . . . . . . . . . 198

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199

Chapter 1

Introduction

are the primary controlled machine in the book, an introduction to the types of

cranes is discussed. Then, a brief historical overview of sliding mode control is

considered. To review its history and the state-of-the-art research, a detailed

overview of overhead crane control is presented. The chapter proceeds with some

insights into bottleneck issues of control and future research directions.

A vast number of cranes are used worldwide. Cranes are employed to transport

heavy loads at shipyards, construction sites, warehouses, and factories throughout

the world because of their heavy payload capabilities.

In the late sixth century BC, the rst construction cranes in Fig. 1.1 were

invented by the ancient Greeks and were powered by men or beasts of burden [1].

These cranes were used for the construction of buildings. Larger cranes were later

developed, employing the use of human tread-wheels, permitting the lifting of

heavier weights. In the High Middle Ages, harbor cranes were introduced to

load/unload ships and assist with their construction. The earliest cranes were

constructed from wood, but cast iron, iron, and steel took over with the coming of

the Industrial Revolution [2].

Cranes exist in an enormous variety of forms. According to their primary dynamic

properties and the coordinate system that most naturally describes the location of

the suspension cable connection point, cranes can roughly be categorized into three

types, i.e., overhead cranes, boom cranes, and tower cranes [3, 4].

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_1

2 1 Introduction

construction crane

The rst type is overhead cranes, also known as entitled bridge cranes. This type of

cranes, illustrated in Fig. 1.2a, b, often operate in Cartesian space, where the trolley

moves along a bridge and the motion of the bridge is perpendicular to that of the

trolley. Sometime, overhead cranes travel on a mobile base. Under this condition,

mobile overhead cranes are often called gantry cranes. Overhead cranes are com-

monly utilized in factories, warehouses, and shipyards.

The second major type of cranes is named as boom cranes. The schematic repre-

sentation of boom cranes is shown in Fig. 1.3a, b. Boom cranes are usually

described by spherical coordinates. In the coordinates, a boom rotates around axes

both perpendicular and parallel to the ground. Displayed in Fig. 1.3b, is the

rotation around the vertical Z axis and is the rotation around the horizontal Y axis.

The payload is supported by a suspension cable at the end of the boom. Different

from the other two types of cranes, the boom cranes can support loads in com-

pression. Boom cranes are typically compact than the other two types of cranes

under the condition of similar load carrying capacities. Such a compact advantage

also lends well to being mounted on a mobile base such as trucks, tracked vehicles,

and ships. Boom cranes are often located at building construction sites, harbors, and

shipyards.

1.1 Crane Types 3

a An overhead crane in

Jiangsu Province, China.

b Schematic representation of

overhead cranes

The third major type of cranes is called tower cranes, like the ones displayed in

Fig. 1.4a, b. For convenience, tower cranes can be described by cylindrical coor-

dinates. From the schematic drawing in Fig. 1.4b, the horizontal jib arm can rotate

around a vertical tower. The payload is supported by a cable from the trolley and

the trolley moves along the jib arm in the radial direction. Tower cranes often give

the best combination of height and lifting capacity. They are commonly found in

the construction of tall buildings because, this type of cranes has the merit of having

a small footprint-to-workspace ratio.

Whatever type the cranes are, a common characteristic among all cranes is that

the payload is supported by a suspension cable. The structural characteristic pro-

vides the basic functionality of cranes, i.e., hoisting and lowering. Meanwhile, it

also presents some challenges. Motion of a crane will denitely result in its payload

oscillation, which is one of the most challenging issues. Inherently, the oscillations

determined by the crane structure are pendulum-type. The oscillations have many

4 1 Introduction

boom crane in Hubei

Province, China. b Schematic

representation of boom cranes

detrimental effects and a series of drawbacks may be induced, including but not

limited to safety hazards, time delays, and degradation of positioning accuracy.

The ubiquity of cranes versus the propensity to payload oscillations result in

cranes to be the bottleneck in many practical applications. As a result, improving

the control and efciency of cranes will benet a lot because of having enormous

economic impact. Signicant research attention has been paid to resist payload

oscillations.

Compared to overhead cranes, tower cranes and boom cranes are more chal-

lenging in the aspect of control design because their nonlinear dynamics originate

from the rotational nature of the cranes. This book concentrates on novel structures

of sliding mode control for cranes and adopts crane systems as a research platform.

For the purpose of simplication, only overhead cranes are considered in the rest of

the book.

1.2 Review of Sliding Mode Control 5

tower crane in Beijing, China.

b Schematic representation of

tower cranes

methods of the sliding mode control theory. Some numerical examples are illus-

trated in such a manner that readers can understand sliding mode control.

Sliding mode control is also named as sliding mode variable structure control or

variable structure control with sliding mode [5]. From the two aliases, sliding mode

6 1 Introduction

control is often associated with variable structure control and it has a close rela-

tionship with variable structure control. To understand sliding mode control, some

background information about variable structure control is presented.

Variable structure control has a long history. Although the idea evolved from the

pioneering work in Russia in the early 1960s, variable structure control appeared

worldwide only when it was reported by Utikin [5].

Suggested by its name, a variable structure control system has a control law that

deliberately changed during the control process according to some predened rules.

The rules depend on the state of the system. For the purpose of illustration, consider

a second-order system (1.1).

xt ut 1:1

ut kxt; 1:2

phase-plane method.

Generally speaking, a plot of x_ versus x is an ellipse which depends on the initial

conditions. Figure 1.5 illustrates the system trajectory under the initial conditions

x(0) = 1 and x_ 0 0, where k = 0.5 in Fig. 1.5a and k = 5.5 in Fig. 1.5b. In fact,

the control law (1.2) from arbitrary initial conditions cannot force the variables

x_ and x toward the origin. When 0 < k < 1, the ellipse looks like Fig. 1.5a. Shown in

Fig. 1.5b, the ellipse becomes reversed when k > 1. The MATLAB programs of the

example are given in Appendixes A and B.

According to the Lyapunovs stability scheme, (1.2) can only guarantee that the

second-order system (1.1) is bounded rather than asymptotically stable. Intuitively,

the combined control system may move toward the origin if the two control laws in

Fig. 1.5a, b are pieced together.

For the purpose of illustration, design another alternative control law (1.3) to

piece the two control laws together.

1.2 Review of Sliding Mode Control 7

k1 xt if x_x\0

ut 1:3

k2 xt otherwise

Fig. 1.6. According to the switching rule in (1.3), the intersecting x_ and x-axes

divide the phase plane in Cartesian space plane into four quadrants. ut k1 xt

will be applied to the system in quadrants I and III of the phase plane and ut

k2 xt will be implemented on the system in quadrants II and IV of the phase

plane.

Adopting such a compound control law, the system trajectory in the phase plane

must spiral toward the origin. Apply the control law (1.3) to the system (1.1) from

the initial conditions x(0) = 1 and x_ 0 0, where k1 = 0.5 and k2 = 5.5. An

asymptotically stable motion is demonstrated in Fig. 1.7. The MATLAB programs

of the example are given in Appendix C.

To theoretically verify the result, the Lyapunov function is dened by

Vt x2 x_ 2 1:4

stable motion of the system

trajectory

8 1 Introduction

respect to time t and substitute (1.1) and (1.3) into the derivative of V. The time

derivative of V has a form

2x_x1 k1 if x_x\0

V_ 2x_x 2_xx 2_xx u 1:5

2x_x1 k2 if x_x [ 0

From (1.4) and (1.5), V > 0 and V\0. _ In the sense of Lyapunov, the

second-order system with the compound control law is of asymptotic stability. This

fact indicates that the distance from the origin is always decreasing. The theoretical

deduction coincides with the previous intuitive analysis. As a result, a stable

closed-loop system has been built up by a rule combining two control laws that

cannot independently stabilize the system. The two control laws result in two

different system dynamics (structures) in the phase plane such that the design

method is entitled variable structure control.

As mentioned, sliding mode control has close relevance to variable structure control.

Briefly, it is just a special case of variable structure control [6]. A characteristic that

variable structure control is different from other control methods is the design of

switching rules.

In a large part, the switching rule (1.3) originates from intuition and analysis. To

systematize the design tool of variable structure control, another variable structure

control law can be given as

1 if sx; x_ [ 0

ut 1:6

1 if sx; x_ \0

switching function, dened as

sx; x_ mx x_ 1:7

According to the designed switching function, the control structure is determined

at any point (x, x_ ) in the phase plane. Further, (1.6) can be rewritten as

ut sgns 1:8

1.2 Review of Sliding Mode Control 9

8

< 1 if s [ 0

sgns 0 if s 0 1:9

:

1 if s\0

Apply the control law (1.8) to the second-order system (1.1). To consider the

stability of this control system in the sense of Lyapunov, the Lyapunov function

candidate is dened as

1

Vx; x_ s2 1:11

2

Differentiating V with respect to time t and substituting (1.1) and (1.8) into the

derivative of V yields

V_ s_s sm_x x

sm_x u sm_x sgns 1:12

\jsjmjx_ j 1

Equation (1.12) indicates the system trajectories on either side of the following line

L that will point toward the line when mjx_ j\1.

Ls f x; x_ : sx; x_ 0 g 1:13

when m = 1, Fig. 1.8 illustrates the trajectory slide along the line to the origin.

Illustrated in Fig. 1.8, the system trajectory repeatedly crosses the line L. Each cross

indicates that the control system is switching between the two different control

structures. Intuitively, such repeated crosses have a direct effect on the system

performance. In fact, such switching makes the control input choppy. Displayed in

Fig. 1.9, the effect is the high-frequency switching of the control signal and the

fluctuation of the system output. Figures 1.8 and 1.9 are obtained by a simulink

model of MATLAB, which is shown in Appendix D.

Provided that the switching frequency is innite, the system trajectory can be

constrained to remain on the line L. Under this assumption, the motion conned to

the line L satises the differential equation obtained from (1.13). That is,

x_ mx 1:14

Equation (1.14) means that a straight line crosses the origin in the phase plane,

where m is the slope of the line.

10 1 Introduction

As a result, some terms to describe sliding mode control can be drawn. The line

L is entitled as the sliding surface, the trajectory sliding along the surface is termed

the ideal sliding mode, the trajectory moving toward the surface is called the

reaching mode, the high-frequency switching of the control signal is described by

chattering and the condition in (1.12) from the Lyapunov direct method is referred

to as the reachability condition, which are usually written as

s_s\0 1:15

or equivalently

s!0 s!0

1.2 Review of Sliding Mode Control 11

Consider the system (1.1), design the sliding surface (1.7), and adopt the sliding

mode control law (1.8). Then, the existence of the sliding mode is guaranteed.

Suppose that the system trajectory reaches the sliding surface at time ts and that the

sliding mode exists thereafter. These linguistic descriptions can be formulated as

s 0 and s_ 0 1:17

s_ m_x ut 1:18

Since s_ 0 for all t > ts, the control law (1.19) mains the sliding motion of the

second-order system on the line L.

ut m_x t ts 1:19

The control law (1.19) is named equivalent control. Usually, the equivalent

control is marked by ueq. Note that the equivalent control action is not the real

control signal applied to the system but may be treated as the control signal applied

on average. According to the equivalent control law, the original control signal can

be divided into two parts, i.e., equivalent control and switching control.

In such a design, both of the controls in (1.20) cooperate with each other to

generate the real control signal in the reaching mode stage but the visual equivalent

control is solely applied to the system in the sliding mode stage. To illustrate the

superior and design of the equivalent-control-based sliding mode control, the fol-

lowing case study is conducted.

Consider the system (1.1), design the sliding surface (1.7) and adopt the sliding

mode control law (1.20). The switching control law usw can be deduced from the

reachability condition (1.15). Substituting (1.1), (1.7), (1.19), and (1.20) into the

left of (1.15) yields

s_s sm_x x

1:21

sm_x ut sm_x ueq usw

12 1 Introduction

s_s\0 1:24

second-order system (1.1) has the form

Compared with the sliding mode control law (1.8), the equivalent-control-based

sliding mode control law (1.25) consists of two parts, where the visual equivalent

control law is continuous.

To demonstrate the feasibility of the equivalent-control-based sliding mode

control, some simulation results are shown in Figs. 1.10 and 1.11. For the purpose

of comparison with the precious control law (1.8), the value of k in (1.25) is kept

unchanged from k = 1 and the parameter of the sliding surface is also designed by

m = 1 in (1.7).

Such an equivalent-control-based design can dramatically reduce the chattering.

Compared with Figs. 1.8 and 1.10, the phase trajectory in Fig. 1.10 is much smooth

and the system performance is apparently improved. Further, the system perfor-

mance under the equivalent-control-based sliding mode control law is displayed in

Fig. 1.11. Compared with the results in Fig. 1.9, the curves are smoother and have

less fluctuation. Figures 1.10 and 1.11 are obtained by a simulink model of

MATLAB, which is shown in Appendix E.

As mentioned, the purpose of the control law (1.8) is to ensure the phase tra-

jectory moves toward and is forced to remain on the sliding surface. The purpose

Fig. 1.10 Phase portrait of a sliding motion of the system when m = 1 and k = 1

1.2 Review of Sliding Mode Control 13

Fig. 1.11 System performance when m = 1 and k = 1. a System output x; b control signal u

results in a dramatic switching of the control signal generated by (1.8). The idea of

equivalent-control-based sliding mode control divides the whole control action into

two parts, where the control action on the sliding surface is continuous, which can

reduce the chattering phenomenon and improve the system performance.

Note that the chattering is an inherent drawback of sliding mode control, which

is also a gap between sliding mode control and real applications. The equivalent-

control-based sliding mode control design lls the gap and such a control design

makes the sliding mode control theory applicable.

switching mechanism. However, due to physical limitations in real world systems,

directly applying the above control design will always lead to oscillations of the

control signal in some vicinity of the sliding surface.

As mentioned, the oscillation is called chattering. For a gain switching system,

the chattering may cause unpredictable instability. The chattering problem is con-

sidered as a major and inherent drawback for sliding mode control. To reduce

chattering, many methods are implemented, where the smoothing function method

is representative.

The smoothing function is a means for eliminating chattering while trying to

preserve good robustness properties around the sliding surface. There is a large

class of smoothing functions available to convert the discontinuous control laws.

One of them, which is used for single input single output systems, has the form

s

h ; 1:26

jsj d

where s denotes the sliding surface variable and is a small positive constant.

14 1 Introduction

Numerical solutions of (1.26) are shown in Fig. 1.12. It can be visualized that the

function tends point-wise to the signum function as 0. The variable can be

used to trade-off the requirement of maintaining ideal performance with that of

ensuring a smooth control action. From Fig. 1.12, bigger the value of is, smoother

the curve is. The replacement can improve the performance of control signal, but it

decreases the robustness of sliding mode control, degenerates sliding mode into

quasi-sliding mode, and loses guaranteed system stability. The MATLAB programs

of the example are given in Appendix F.

As far as the equivalent-control-based sliding mode control is concerned, such an

alternative will only effect the second term in the control law given by Eq. (1.25).

Concerning the alternative, the new control law can be rewritten as

s

ut m_x k 1:27

j sj d

In (1.27), (1.26) replaces sgn(s) in (1.25). Thus, in the region around the sliding

surface determined by the value of , the system is effectively a high gain feedback

system and possesses the properties of certain classes of disturbance rejection and

parameter invariance. Adopt the control (1.27) for the system (1.1), where the

values of m and k are kept unchanged from m = 1 and k = 1 and the value of is 0.1.

The system phase trajectory and the control signal are illustrated in Figs. 1.13 and

1.14, which are obtained by a simulink model of MATLAB in Appendix G.

Compare Fig. 1.13 with Fig. 1.10. The two curves of phase trajectories almost

make no difference in the phase plane. But the control signals in Figs. 1.11 and 1.14

illustrate the effects of the smoothing function method. In Fig. 1.11, the control

signal severely jumps back and forth at about time t = 1 s because the signum

function is triggered by the sliding motion in the phase plane. On the other hand, the

control signal becomes smooth in the dynamic process by introducing the

smoothing function in Fig. 1.14.

1.2 Review of Sliding Mode Control 15

Fig. 1.13 Phase portrait of a sliding motion of the system when when m = 1, k = 1 and = 0.1

Fig. 1.14 System performance when m = 1, k = 1 and = 0.1. a System output x; b control signal u

In Fig. 1.14, the performance of the control signal can be improved by increasing

the value of . But a series of drawbacks may be induced by the alternative

smoothing function method, such as performance, stability, accuracy, and so on.

The value of must be determined by a trade-off among the performance indexes.

Although it is an intuitive and effective tool, phase plane analysis is hardly utilized

to analyze multivariable systems and high-order systems. A more general frame

will need to be established. The state space approach provides a possible choice for

accomplishing this task.

16 1 Introduction

is a set of input, output and state variables. These state variables are related by a set

of rst-order differential equations. The so-called state space refers to the space

whose axes consist of all or part of the state variables. The states of the system can

be represented as a vector within that space.

For the purpose of illustration, take the second-order system (1.1) into consid-

erations. Dene a vector as

x , x x_ T 1:28

Then, the system (1.1) can be rearranged in the form of state space, whose

expression is as follows:

0 1 0

x_ x u 1:29

0 0 1

s cT x 1:30

here c m 1 T .

Concerning (1.28) and (1.30), the aforementioned design methods, i.e., sliding

mode control, equivalent-control-based sliding mode control and chattering

reduction, can be described in the form of matrix as well. The details are exhibited

in Chaps. 35.

From the viewpoint of control theory, (1.28) depicts the state space model of a

continuous time-invariant system. Further, the more general state space represen-

tation of a linear continuous time-invariant system with p inputs, q outputs, and

n state variables can be written in the following form

x_ Ax Bu

1:31

y Cx Du

Here x 2 <n is called state vector, A 2 <nn is termed input matrix, B 2 <np is

called input matrix, u 2 <p is termed control vector, y 2 <q is named output vector,

C 2 <qn is called output matrix, D 2 <qp is termed feed-forward matrix, x_

Ax Bu is named state equations, and y Cx Du is called output equations.

Since this book considers control design by the state-feedback-based sliding

mode control, only the state equations of the general state space representation are

employed in the rest chapters. Thus, the general expression of (1.29) is written as

x_ Ax Bu 1:32

1.2 Review of Sliding Mode Control 17

Differentiating (1.30) with respect to time t and substituting (1.32) into the

derivative of s yield

s_ cT x_ cT Ax Bu 1:33

1

ueq cT B cT Ax 1:34

not limited to) parameter fluctuations, model uncertainties and random external

disturbances [7]. To deal with uncertainty, robust control is developed as a branch

of control theory. Robust methods aim to achieve robust performance and stability

in the presence of bounded modeling errors. Although it is not categorized into

traditional robust control methods, sliding mode control is also strongly robust.

Sliding mode control exhibits its robustness by invariance. The phase portrait in

Fig. 1.10 shows the sliding motion remains on the sliding surface as if the sliding

surface were the system dynamics. The characteristic is called invariance, which is

also the most attractive feature of sliding mode control.

As far as it is concerned, uncertainty covers two types. One type is matched and

the other type is unmatched, where matched uncertainty enters into a control system

by the control channel. Concerning sliding mode control, its invariance property is

robust enough to suppress the type of matched uncertainty and it can guarantee the

sliding mode is maintained as if there was no matched uncertainty. For instance,

complementing an uncertain term in (1.29) yields

0 1 0

x_ x u dx; t 1:35

0 0 1

In (1.35), dx; t is the distance term and the original Eq. (1.29) are called

nominal systems. To demonstrate the effects of matched uncertainty on the system

performance, dene

0

dx; t 0:1 rand; 1:36

1

pseudorandom number in the open interval 0 1 . Substituting (1.36) into (1.35)

yields

18 1 Introduction

0 1 0

x_ x u 0:1 rand 1:37

0 0 1

From (1.37), the disturbance term enters the system (1.1) by the control channel.

Consequently, it undoubtedly belongs to matched uncertainty. To verify the system

stability, we resort to the reachability condition of sliding mode (1.15). Designing

the sliding surface (1.30), differentiating (1.30) with respect to time t and substi-

tuting the derivative of s into (1.15) yield

0 1 0

s_s sc T

x u rand 1:39

0 0 1

equivalent-control-based sliding mode control law into (1.39) and rearranging

(1.39) by the general expression (1.32) yield

s_s scT Ax B ueq usw B 0:1 rand

n

1 o

scT Ax B cT B cT Ax usw B 0:1 rand 1:40

s cT Busw cT B 0:1 rand scT Busw 0:1 rand

supk0:1 randk 0:1 in (1.41), indicating we can choose any k [ 0:1 as the

parameter of the switching control law. k is a design parameter, which is only

related to the boundary of uncertainty rather than any physical parameters. This

property is termed invariance of sliding mode. For the purpose of illustration, adopt

the equivalent-control-based sliding mode control design (1.20) and keep the

parameters of the sliding surface and the switching control law unchanged from the

precious example. Some numerical simulation results from the initial conditions

x(0) = 1 and x_ 0 0 are displayed in Figs. 1.15 and 1.16, which are obtained by a

simulink model of MATLAB in Appendix H.

Compared with Fig. 1.10, the phase portrait in the phase plane in Fig. 1.15 has

no ideal sliding mode. The trajectory frequently crosses the sliding surface because

of the existence of matched uncertainty. Once the trajectory deviates from the

sliding surface, the switching control law and the equivalent control law will draw

the trajectory toward the surface together. The switching in Fig. 1.16b reflects this

process. Illustrated in Fig. 1.16a, the system output can eventually tend to be

1.2 Review of Sliding Mode Control 19

Fig. 1.15 Phase portrait of a sliding motion of the system with matched uncertainty when m = 1

and k = 1

Fig. 1.16 Performance of the system with matched uncertainty when m = 1 and k = 1. a System

output x; b sliding surface s; c control signal u

asymptotically stable. Compared with Fig. 1.11b, the chattering phenomenon of the

control signal is severe in Fig. 1.16c, to resist the uncertainty.

To demonstrate the effects of unmatched uncertainty, dene

1

dx; t 0:1 rand 1:42

0

0 1 0 1

x_ x u 0:1 rand 1:43

0 0 1 0

From (1.43), the disturbance term can hardly enter the system (1.1) by the control

channel. Consequently, the uncertain term is unmatched. The equivalent-control-

based sliding mode control design (1.20) is still adopted. Since the unmatched

20 1 Introduction

should be evaluated at rst.

Designing the sliding surface (1.30), differentiating (1.30) with respect to time

t and substituting the derivative of s into reachability condition (1.15) yield

0 1 0 1

s_s sc

T

x u 0:1 rand 1:45

0 0 1 0

the equivalent-control-based sliding mode control law into (1.45) and rearranging

(1.45) by the general expression (1.32) yield

1

s_s sc Ax B ueq usw

T

0:1 rand

0

1

1

scT Ax B cT B cT Ax usw 0:1 rand 1:46

0

1

s cT Busw cT 0:1 rand

0

1

kBk k [

0 0:1 rand

1:47

system can be of asymptotic stability in the presence of unmatched uncertainty

under the assumption that the unmatched uncertainty has a known boundary.

To illustrate the effects of unmatched certainty, some numerical simulation

results are in Figs. 1.17 and 1.18, where the parameters of the sliding surface, the

switching control law are kept unchanged from the precious example and the initial

conditions x(0) = 1 and x_ 0 0.

Compared with Figs. 1.15 and 1.17 illustrates the system trajectory in the phase

place. Although it tends to the origin, the trajectory is still far away from the desired

origin till 20 s. The system output curve in Fig. 1.18a also supports this point. On

the other hand, the system with matched uncertainty has been stable via the same

control law and the same controller parameters in Fig. 1.15. In fact, the system with

unmatched uncertainty cannot tend to be stable until 40 s, which is illustrated in

Figs. 1.19 and 1.20.

1.2 Review of Sliding Mode Control 21

Fig. 1.17 Phase portrait of a sliding motion of the system with unmatched uncertainty when m = 1

and k = 1

Fig. 1.18 Performance of the system with unmatched uncertainty when m = 1 and k = 1. a System

output x; b sliding surface s; c control signal u

Fig. 1.19 Phase portrait of a sliding motion of the system with unmatched uncertainty at t = 40 s

22 1 Introduction

Fig. 1.20 Control performance of the system with unmatched uncertainty at t = 40 s. a System

output x; b sliding surface s; c control signal u

From Figs. 1.17, 1.18, 1.19 and 1.20, the sliding mode control system is of

asymptotically stability under both matched and unmatched uncertainties. Under

either kind of uncertainty, the sliding mode will deviate from the sliding surface.

The sliding mode control law tends to make the system trajectory move toward the

sliding surface by the sliding mode control law. Consequently, both kinds of

uncertainties affect the sliding modes and deteriorate the chattering phenomena.

The sliding mode control system can realize the control task quickly against the

matched certainty because the matched certainty has no relationship with the

physical parameters and can directly affect the system stability. On the other hand,

the unmatched certainty affects the system stability by coupling the physical

parameters, which delays the system response.

A function is of class Ck, i.e., f is continuous with its derivatives up to the order

k. Correspondingly, if the sliding surface variable s is of class Ck, then the sliding

mode on the surface s(x, t) = 0 is referred as (k + 1)th order sliding mode, when

x denotes the system states. Note that the sliding mode of order one corresponds to a

sliding variable of class C0, with discontinuous derivative. The order of a sliding

mode [6] represents the smoothness degree associated to the motion constrained on

the sliding manifold, dened as follows.

Denition 1.1 The sliding order r is the number of continuous total derivatives

(including the zero one) of the function s = s(x, t) whose vanishing denes the

equations of the sliding mode.

1.2 Review of Sliding Mode Control 23

Denition 1.2 The sliding set of order r associated to the manifold s(x, t) = 0 is

dened by the equalities.

s s_ sr1 0 1:48

From Denitions 1.1 and 1.2, the sliding set in (1.13) is just the rst-order

sliding mode. In Chap. 3, some typical sliding mode control methods will be

introduced one by one though control problems of overhead cranes.

techniques. A lot of efforts in crane control, as well as dynamic crane models, are

reported in the last two decades. Since the book focuses the control problems of

cranes, a review of crane control is presented in this section, which does not

consider crane models. As most control problems, crane control methods can be

divided into open-and closed-loop methods, where the open-loop methods can be

further divided into optimal trajectory planning and command shaping.

Optimal trajectory planning methods, also named motion planning, seek to elimi-

nate vibration by using preplanned trajectories to move the crane through the

workspace. These methods can avoid the sensing problems of closed-loop control

methods.

The control problem is typically formulated as a minimum time optimization

problem, subject to vibration constraints. Optimal design of the transportation

trajectory not only improves the control performance in terms of efciency or

safety, but also releases some pressure on control for the sequential strategy.

The rst to prose an optimal control strategy for automatic crane operation was

Field [9]. The similar control problems were also investigated by the Pontryagins

maximum principle [10] and some evolutionary algorithms [11]. Lee and his

research division solved several motion planning-based methods to realize the

high-performance anti-swing control of overhead cranes, i.e., solving the motion

planning problem through a kinematic problem [12], designing the motion planning

method by means of the model-following anti-swing control law [13], and fusing

the motion planning method on the sliding mode control [14]. Ross and Fahroo [15]

proved that the optimal motion planning problem was equivalent to a classic Bolza

problem of the calculus of variations and their results were exhibited by the 2-D

crane model.

24 1 Introduction

To deal with the crane control problems in cluttered work environment, Blajer

and Kolodziejczyk [16] rst sketched a trajectory by a series of points in the work

space and then approximated the trajectory by spline functions. To coordinate

multiple construction cranes [17], the incremental coordination method is employed

to plan the motion of two or more cranes, where the kinematics and the geometrical

constraints of cranes are taken into consideration. Programming is an effective

optimization tool. Several programming methods have been applied to plan crane

trajectories, i.e., dynamic programming [18] and linear programming [19].

Generally speaking, trajectory planning is offline, which makes the method non

robust. To deal with the issue, AlBahnassi and Hammad [20] developed a frame-

work for near real-time motion planning of cranes. The framework can assist crane

operators to replan safe paths in near real time. Fang and his colleagues [21]

investigated a kinematic coupling-based offline trajectory planning method for

overhead cranes, where the trajectory was tuned by an iterative learning strategy to

guarantee accurate trolley positioning. Further, they [22] considered an offline

trolley trajectory planning method for underactuated overhead cranes, where some

rigorous geometric analysis were utilized to address the coupling behavior between

the actuated trolley motion and the underactuated payload swing.

The primary restriction of the optimal trajectory planning method is that the

desired motion of cranes must be known in advance, in addition to the initial

conditions of the maneuver. Another major drawback is that generating the optimal

proles can become computationally expensive because of the kinematic coupling

behavior between the underactuated payloads swing and the actuated trolleys

motion.

Input shaping is another open-loop control technology for cranes, which can dra-

matically reduce motion-induced payload oscillations by intelligently shaping the

reference commands. Unlike the optimal trajectory planning, input shaping is an

online method and it can be applied in real time.

To employ the input shaping method, an input shaper should be designed, which

is composed of a series of impulses. These impulses can cancel vibration. That is,

vibration caused by a part of the impulses is canceled by vibration caused by other

parts of the impulses. The amplitude and time locations of the impulses are obtained

from the systems natural frequencies and damping ratios.

The input shaping technology is widely used. So far, the method has been

implemented on several large bridge cranes at nuclear facilities [23], a 10-ton crane

at Georgia Tech [24], tower cranes [25] as well as coordinate measurement

machines [26]. Input shaping not only achieves crane control directly, but also it

can improve crane operator performance [27].

Crane control research in the input shaping eld involves developing shapers to

minimize the sway of crane payloads. The use of input shaping dramatically

reduces the time to the completion of move operations and greatly increases the

1.3 A Review of Crane Control 25

safety of the crane by allowing for a smaller danger zone around the crane. Alsop

et al. [28] rst proposed a shaping-type control strategy to control cranes in 1965,

which could be treated as the rudiment of the current input shaping method.

Thereafter, a large research effort has been directed at crane control applications via

the input shaping method owing to the effectiveness of input shaping.

Yamada et al. [29] proposed an optimal input shaping method, where the control

command was generated by Pontryagins maximum principle to achieve minimum

transfer time. Lin [30] designed an input shaping method by a pole/zero placement

approach, where the pole/zero placement method could improve system perfor-

mance and simplify design procedures. Singhose and his colleagues also suggested

several shaping methods, i.e., convolved and simultaneous two-mode input shapers

[31], expert-system-based shaper [32], and negative-impulse-included shaper [33].

Recently, some novel shaping methods are often reported, i.e., nonlinear input

shaping [34], graphical-approach-based input shaping design [35], shaping design

considering limited-state constraints [36], frequency-modulation input shaping [37].

Publications concerning crane control by input shaping have resulted in dozens

of papers. However, input shapers are located at the feed-forward channel, meaning

that they are hard to resist any error without special design. Especially, the draw-

back becomes deteriorative for some types of double-pendulum cranes because

there are severe residual vibrations even for a small modeling error.

For the purpose of illustration, the survey of open-loop control for cranes is

demonstrated in Fig. 1.21.

Closed-loop crane control aims to nd a feedback control law that stabilizes the

system in the presence of various uncertainties and external disturbances, which

uses information about the current states of the system (e.g., payload swing angle,

trolley position, etc.) to generate commands that drive the system toward the

desired state. Concerning crane control, the control input is the force or torque

applied to the trolley in order to suppress oscillations due to the acceleration and

deceleration of the trolley. The complexity of the crane control eld originates from

the crane structure that the number of actuators is less than the degree-of-freedom to

be controlled. Direct applications of many traditional nonlinear control methods

also suffer from such structure.

Recently, many control methods based on feedback linearization, energy,

backstepping, sliding mode, and fuzzy logic have been developed for crane control.

This section provides a view to highlight some of these popular control methods.

For the purpose of illustration, the survey of closed-loop control for cranes is

demonstrated in Fig. 1.22.

26 1 Introduction

Linear control calls for linearized crane model. Based on the linearized crane

model, Hazlerigg [38] was one of the rst to propose this method in 1972. Since

then, a variety of linear control methods has been applied to crane control practice.

These methods include some classic control design, i.e., linear quadratic regulator

(LQR) control by Grassin et al. [39], proportional-integral and proportional

derivative controllers by Lee [40], state feedback control by Nguyen [41], com-

bination of input shaping and linear control by Yoon et al. [42], and parameter

optimization of linear controller by Hamalainen et al. [43].

However, the crane model is inherently nonlinear and the linearized method

cannot provide the sufcient accuracy of information about position error and load

swing. In particular, linear control methods are sensitive to changes in the cable

length because they are invariably tuned to counter the effects of the natural

1.3 A Review of Crane Control 27

nonlinear factors such as the wind, the hit, and the friction of track will also reduce

the performance of linearized crane control systems.

A useful technique for crane control is called partial feedback linearization, which is

a method providing a natural global change of coordinates that transforms the

system into a strict feedback form, and the control method can be easily applied to

the new form of the system. There are two partial feedback linearization techniques

presented as collocated and non-collocated partial feedback linearization methods,

respectively.

Olfati-Saber [44] introduced a global change of coordinates that can decouple

these two subsystems but leave the linear subsystem invariant. The method has

been extensively applied to several types of cranes. Zhang et al. [45] investigated

the feasibility of partial feedback linearization for crane control problems; Tuan

[46, 47] extended the method to overhead cranes with varying cable length and

3-Doverhead cranes; Sun and Fang [48] reported their results about the applications

of partial feedback linearization with saturation constraint; Wu et al. [49] designed a

novel control method on the basis of partial feedback linearization, where the

overall crane system is divided into two subsystems.

28 1 Introduction

linearization methods is a conceptual and structural simplication of control

problem, i.e., they are always utilized as an initial simplifying step for crane control

problems.

foundation to analyze the system stability. Pointed out by Maschke et al. [50], it is

well-known that the total energy is a suitable Lyapunov function to study the sta-

bility of the trivial equilibrium of an isolated standard Hamiltonian system. Proven

by Karkoub and Zribi [51], cranes are inherently one of the isolated standard

Hamiltonian systems. Sun and Fang [52] presented some primary results on cranes

by energy-based analysis. Roughly, there are two kinds of energy-based control

methods for cranes. They are presented as passivity-based control and

backstepping-based control, respectively.

Alli and Singh [53] developed an optimal passive control approach for flexible

structures like cranes. Since then, passivity-based techniques have been used in

crane control problems, i.e., double-pendulum overhead cranes by Guo et al. [54],

convey cranes by Collado et al. [55], cranes with heavy chains and payload by

Thull et al. [56]. Especially, Fang and his colleagues [57] proved the equivalence

relation between passivity-based control and a proportionalderivative control

concerning the special case of crane control problems.

A nice feature of the passivity-based control design is the physical meaning of

the resulting control laws and the concepts, such as storage energy or dissipation

plays a fundamental role in the stability analysis and performance. Stability prop-

erties based on the Lyapunov theory can be easily studied for the obtained

closed-loop systems.

One limitation of passivity-based control is that it is only applicable to the

systems with relative degree less than two [58]. To overcome this limitation, a

technique called backstepping is proposed to transform the system into a new

recursive form where passivity-based control can be easily applied to.

Backstepping is developed circa 1990 by Kokotovic [59, 60] for designing

stabilizing controls for a special class of nonlinear dynamical systems. These

systems are built from subsystems that radiate out from an irreducible subsystem

that can be stabilized using some other method. Because of this recursive structure,

a designer can start the design process at the known-stable system and back out

new controllers that progressively stabilize each outer subsystem. The process

terminates when the nal external control is reached. Hence, this process is entitled

backstepping.

Concerning crane control problems, d Andra-Novel and Coron [61] analyzed

the exponential stabilization of an overhead crane with flexible cable via a back-

stepping approach. Thereafter, the backstepping technique often combines other

1.3 A Review of Crane Control 29

control by Cao et al. [62], backstepping sliding mode control by Tsai et al. [63, 64].

However, when the degree-of-freedom of cranes increases, for instance, double-

pendulum-type overhead cranes, the procedure of backstepping becomes very

complicated and implementation of such a control design in practical applications

may be unrealistic.

Uncertainty is a common yet intractable issue for crane control. For any control

design, there are typical discrepancies between a practical system and its theoretical

model because of unmodelled dynamics, parameter uncertainty, and external dis-

turbance. In the past few decades, a lot of effort has been directed in adaptability

and robustness to these factors. As two main branches, adaptive control and robust

control are developed to solve the adaptability and robustness issues of uncertainty

compensation, respectively.

Adaptive control [65] is the control method used by a controller which must

adapt to a controlled system with parameters which vary, or are initially uncertain.

An adaptive control system utilizes online identication of either system parameter

or controller parameter, which does not need a priori information about the bounds

on these uncertain or time-varying parameters.

Hurteau and Desantis [66] suggested a simplied adaptive control law for

cranes, where their adaptive controller was made of a state regulator block and a

gain tuning module. Butler et al. [67] investigated the model reference adaptive

control method for overhead cranes. dAndrea-Novel and Boustany [68, 69]

reported two indirect adaptive control methods for cranes. Yang and Yang [70]

developed an adaptive control method for 3-D cranes, where all the control system

parameters were not needed for the controller design in a priori. Recently, some

adaptive design approaches against cable length changes [71], external distance

[72], and unknown parameters [73] are also reported.

These adaptive control approaches consider their control design in the sense of

Lyapunov, according to the traditional adaptive control approaches. Besides, there

are still some research results by combining adaptive control and other control

methods, i.e., adaptive sliding mode control [74], motion planning-based adaptive

control [75], adaptive sliding mode fuzzy control [76], adaptive coupling control

[77], and adaptive control based on fuzzy cerebellar model articulation controller

[78], to name but a few.

Robust control is a branch of control theory. The theory of robust control began

in the late 1970s and early 1980s and soon developed a number of techniques for

dealing with bounded system uncertainty [79]. Such a technique is developed under

the assumption that uncertain parameters or disturbances are found within some

compact set, which aims to achieve robust performance and stability in the presence

of bounded modeling errors. Ackermann [80] investigated the parameter space

30 1 Introduction

design of robust control and illustrated the use of the design tool by a crane control

system.

Another important example of a robust control technique is H loop-shaping.

The technique [79], developed by Duncan McFarlane and Keith Glover of

Cambridge University, minimizes the sensitivity of a system over its frequency

spectrum. This kind of design can guarantee that the system will not greatly deviate

from expected trajectories when disturbances enter the system. Adopting H

loop-shaping, Kar et al. [81] developed a multimode vibration control method to

suppress crane vibrations.

Besides the classic H loop-shaping robust control, other robust control

methods also are developed against the changes of cable length and payload mass,

i.e., wave-based robust control by Yang and OConnor [82], pole-placement-based

robust control by Uchiyama et al. [83], hybrid control on the basis of proportional-

differential control and H scheme [84], partial-state-feedback-based robust control

by Uchiyama [85], operator-based robust right coprime factorization design

methods by Wen et al. [8688], linear matrix inequality-based optimal robust

control [89], and gain scheduling-based robust control [90], to name but a few.

Although both the control approaches aim to resist the uncertainties of crane

systems, such as cable length and payload mass, the motivations behind the two

approaches are different from each other. The idea of robust control [79] can

guarantee a designed robust control system to be insensitive to all uncertainties by

using a xed control structure, indicating that the robust control law need not be

changed if the changes are within given bounds. On the other hand, the design of an

adaptive control system [65] is concerned with the adaptive control law changing

itself to suppress all uncertainties. Owing to the nature of these two control

structures, robust control is only suitable for dealing with small uncertainty, while

adaptive control is suitable for a wide range of parameter variation, but it is sen-

sitive to unstructured uncertainty.

Model predictive control is an advanced control method that has been in use in the

process industries, in chemical plants and oil reneries, since the 1980s. In recent

years, it has also been used in crane control problems [91].

Kimiaghalam et al. [92] rst proposed a model predictive control method for

cranes, where an optimizer was employed to nd an open-loop solution at each

sampling interval for a given horizon, and model predictive controller was located

at feedback channel to compensate for the optimizer. Subsequently, Deng and

Becerra [93] explored the constrained predictive control for cranes. Arnold et al.

[94] investigated the application of model predictive control of boom cranes.

Since model predictive controllers rely on dynamic models of the process, most

often, linear empirical models obtained by system identication but nding a

closed-loop control law for cranes is usually quite complex because of their highly

nonlinear equations of motion. As a result, there are noreports on the aspect of

1.3 A Review of Crane Control 31

model predictive control of cranes until Van den Broeck et al. [95] presented a

time-optimal formulation within the model predictive control framework.

Thereafter, model predictive control of the crane becomes active again. Some

novel approaches on different sides of model predictive control for cranes are

reported, i.e., solving constraint problems of crane control [96, 97], designing state

observers to approximate unmeasurable states [98], and nonlinear model predictive

control against crane nonlinearities [99102], to name but a few.

Suggested by its name, the model predictive control algorithm has the ability to

anticipate future events and it can take control actions accordingly. The advantage

of model predictive control [91] is the fact that it allows the current timeslot to be

optimized, while keeping future timeslots in account. This is achieved by opti-

mizing a nite time-horizon, but only implementing the current timeslot. However,

main challenges of model predictive control are that the control algorithm highly

depends on system model and that the model predictive control algorithm has no

guaranteed stability.

computing approaches, such as neural networks, Bayesian probability, fuzzy logic,

evolutionary computation, genetic algorithms, and so on [103].

Among various approaches, evolutionary computation, neural networks, and

genetic algorithms are often employed to optimize controller parameters and con-

troller structures and they are rare to directly generate control commands. In contrast,

fuzzy logic not only has the ability to optimize control systems, but also it can directly

generate control commands applying to control systems. Consequently, fuzzy logic

among these intelligent techniques has also been paid more attention [104].

As far as fuzzy logic is concerned, there exists a mismatch between human and

machine control because human factors result in uncertain, imprecise, and fuzzy.

Meanwhile, machine and computer control are accurate and efcient but unadapt-

able. Fuzzy logic is a bridge to make machines intelligent enabling them to behave

in a fuzzy manner like humans [58].

Fuzzy logic [105] was rst proposed by Lot A. Zadeh of the University of

California at Berkeley in 1965. Fuzzy logic is widely used in machine control. The

term fuzzy refers to the fact that the logic involved can deal with concepts that

cannot be expressed as true or false, but rather as partially true. Fuzzy logic

has the advantage [105] that the solution to a problem can be cast in terms that

human operators can understand, so that their experience can be used in the control

design. This makes it easier to mechanize tasks that are already successfully per-

formed by humans.

In the end of 1980s, fuzzy crane control problems were rst touched by some

Japanese scholars [106, 107]. The related researches were continued till 1990s

[108111]. For the duration of these pioneering researches, main contributions

exhibit how to apply the theory of fuzzy logic to the crane control problems, i.e.,

32 1 Introduction

design of fuzzy rules [106108], analysis of the crane dynamics [109, 110],

inference mechanism of fuzzy systems [111], optimization of fuzzy systems [112],

and control practice of fuzzy crane systems [113], to name but a few.

Thereafter, most reports have focused on combination of fuzzy logic and other

control techniques. One type can be categorized as fuzzy modeling [114117],

where fuzzy logic is employed to approximate the nonlinear crane model and the

nal control command is generated by other control methods. The other type can be

categorized as fusion of multiple control methods, where one of the control method

is fuzzy logic. Further, the second type can also be subcategorized as fusion of

fuzzy logic and evolutionary algorithms [118, 119], combination of fuzzy control

and LQR design [120123], utilization of fuzzy control and proportional-integral-

differential control [124127], and a blend of fuzzy control and adaptive control

[128131]. More recent reports about fusion of fuzzy control of other control

methods, i.e., gain scheduling [132], Lyapunov redesign [133], and iterative and

evolutionary optimization [134] can be found.

Owing to the nature of strong robustness, the versatile sliding mode control method

has received considerable devotion from researchers. Pieper and Surgenor [135]

rst explored the sliding mode control method for gantry cranes. Since then, some

investigations about crane control problems by sliding mode have been reported in

recent years.

These recent contributions can be divided into two types. One type is to inves-

tigate various siding mode design methods for cranes. The other type is to fuse other

control methods to improve performance of sliding mode-based control systems for

cranes.

The rst type includes discrete sliding mode control by Pieper and Surgenor

[136], second-order sliding mode control by Bartolini et al. [137, 138] and Vazquez

et al. [139141], high-order sliding mode control by Chen and Saif [142], incre-

mental sliding mode control by Dong et al. [143], terminal sliding mode control by

Cao et al. [144], integral sliding mode control by Defoort et al. [145] and Xi and

Hesketh [146], and hierarchical sliding mode control by Tuan and Lee [147] to

name but a few.

The second type is characterized by a blend of sliding mode control and other

control methods, which is abundant because of the diversity of control methods.

Some representative methods are adaptive sliding mode fuzzy control by Liu et al.

[76] and Chang et al. [148], fuzzy sliding mode control by Liu et al. [149, 150] and

Sun et al. [151], suboptimal integral sliding mode control by Liu et al. [152, 153],

neural network sliding mode control by Wang et al. [154] and Tsai et al. [155], and

adaptive sliding mode control by some researchers [74, 156160].

1.3 A Review of Crane Control 33

The sliding mode-based crane control has grown exponentially in the past two

decades. Concerning the details of the aforementioned literature, their contributions

mainly focus on the following viewpoints:

Apply the method of sliding mode control. The aspect is exhibited by applica-

tions of mature sliding mode design for cranes to verify the feasibility. Most of the

early investigations are in the aspect of, for example, discrete sliding mode control

[136] and second-order sliding mode control [137, 138].

Design some novel structures of sliding surfaces. Crane systems inherently have

highly nonlinear characteristics, which may impede direct applications of mature

sliding mode design. Some reports on this aspect have been reported, for instance,

hierarchical sliding mode control [147, 159] and incremental sliding mode control

[143].

Suppress uncertainties in crane dynamics. There are many uncertain factors in

crane systems. For the purpose of illustration, the factors cover friction nonlinearity,

flexible cables, payload mass fluctuations, wind disturbances, etc. All the practical

factors are ideal during the crane modeling. To reject the factors, a blend of sliding

mode control and other control methods are reported, i.e., fuzzy sliding mode

control [148151], neural network sliding mode control [154, 155], adaptive sliding

mode control [74, 156160], and observer-based sliding mode control [161].

Optimize the control command generated by sliding mode. To improve the

control performance of sliding mode control systems, sliding mode control is

sometime compound with optimization methods, i.e., optimal discrete sliding mode

control [136], optimal integral sliding mode control [152], and suboptimal sliding

mode control [153].

Owing to inherent nonlinearities, not all of these control methods for crane systems

are practically applicable because of system constraints (e.g., actuator power lim-

itation). This section reviews these issues from the points of view of theoretical and

practical challenges.

Unmatched uncertainty. Although the dynamics of cranes has been well under-

stood, practical cranes cover uncertainties, for example, parameter changes, un-

modelling errors, and external disturbances. Although the methodology of sliding

mode control is of invariance against matched uncertainties, not all the uncertainties

are as ideal as matched uncertainties. How to suppress the effects of unmatched

uncertainties on the stability of sliding mode control systems becomes crucial and

important. Vazquez et al. [139141] and Xi and Hesketh [146] explored this eld.

34 1 Introduction

They analyzed the effects of unmatched uncertainties on the stabilities of the dis-

crete sliding mode and the second-order sliding mode closed-loop control systems,

respectively. So far, other sliding mode design methods in the eld are kept

untouched and remain problematic.

Physical constraints. First, cranes are driven by actuators that are subject to their

rated powers, indicating that crane control systems have a control input saturation

constraint. Second, cranes move on rails that are subject to limited lengths and

payload angles should have their limits, meaning that variables of crane systems

have their boundary constraints. Third, not all variables of crane systems are

measurable. Usually, trolley position and its velocity are easy to measure but

payload angle and angular velocity are hard to measure, this fact hints the mea-

surability constraints of crane systems.

Guaranteed Stability. A sole sliding mode control system has guaranteed sta-

bility. However, a blend of sliding mode control and optimization methods can

complicate the system stability analysis. Especially, the stability analysis is rather

difcult under those ideas that directly optimize or plan the control command

generated by sliding mode control [152, 153].

Industrial needs. Crane systems are widely used in industry. Although crane sys-

tems have received many well-established successes in well-structured environ-

ment, their control techniques for complex uncertain environment are still

immature. However, there is always a desiderative expectation of new applications

of crane systems that requires autonomous operation in an unstructured and pos-

sibly dynamically changing environment.

Fault tolerant detection and control. Sensor failure results in delayed or missing

feedback signal which affects overall tracking performance of crane control sys-

tems. Therefore, the issue is to be considered by scientists and engineers in the

design of crane control system and a fault detection mechanism is highly recom-

mended [161].

Networked crane control systems. Another practical concern is networked

control. Once network is introduced, communication package delay or loss may

lead to poor control performance, since the communication between actuator and

sensor can be interrupted [58]. Crane control systems should be robust to network

delay, and a network control technique (e.g., predictive control) is required.

Appendices 35

Appendices

Plot program:

figure(1);

sol=dsolve('Dx1=x2','Dx2=-0.5*x1','x1(0)=1','x2(0)=0','t');

tval=(0:0.1:10)'; % column vector with t-values

yval=double(subs([sol.x1,sol.x2],'t',tval)); % 2 columns with y1,y2

plot(yval(:,1),yval(:,2),'k') % plot col.2 of yval vs. col.1 of yval

axis([-1,1,-1 1]); xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');

Plot program:

figure(1);

sol=dsolve('Dx1=x2','Dx2=-5.5*x1','x1(0)=1','x2(0)=0','t');

tval=(0:0.1:10)'; % column vector with t-values

yval=double(subs([sol.x1,sol.x2],'t',tval)); % 2 columns with y1,y2

plot(yval(:,1),yval(:,2),'k') % plot col.2 of yval vs. col.1 of yval

axis([-1,1,-1 1]);xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');

Plot program:

figure(1)

y1(1)=1;y2(1)=0;

dt=0.001;

for i=1:1:30000

if((y1(i)*y2(i))<0)

k(i)=0.5;

else

k(i)=5.5;

end

y1(i+1)=y2(i)*dt+y1(i);

y2(i+1)=y2(i)-dt*k(i)*y1(i);

end

plot(y1,y2,'k');

xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');

36 1 Introduction

plot(simout(:,1),simout(:,2),'k');

xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');hold on;

plot([0,1],[0,-1],[0,1],[0,-1],'k-.');hold on;

subplot(1,2,2),plot(t,simout(:,3),'k');

xlabel('t');ylabel('u');axis([-0.1,5,-1.2,1.2])

subplot(1,2,1),plot(t,simout(:,1));xlabel('t');ylabel('x');

Appendices 37

plot(simout(:,1),simout(:,2),'k');

xlabel('x'); latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');hold on;

plot([0,1],[0,-1],[0,1],[0,-1],'k-.');hold on;

subplot(1,2,2),plot(t,simout(:,3),'k');

xlabel('t'); ylabel('u');

axis([-0.1,5,-1.2,1.2])

subplot(1,2,1),plot(t,simout(:,1));xlabel('t');ylabel('x');

38 1 Introduction

x=-100:1:100;

y1=sign(x);

y2=x./(abs(x)+0.2);

y3=x./(abs(x)+0.5);

y4=x./(abs(x)+1);

plot(x,y1,'k-')

hold on;

plot(x,y2,'k-.')

hold on;

plot(x,y3,'k:')

hold on;

plot(x,y4,'k--');

axis([-110,110,-1.2,1.2])

legend('no deta','deta=0.2','deta=0.5','deta=1')

Appendices 39

plot(simout(:,1),simout(:,2),'k');

xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');

hold on;

plot([0,1],[0,-1],[0,1],[0,-1],'k-.');

hold on;

subplot(1,2,2),plot(t,simout(:,3),'k');xlabel('t');ylabel('u');

axis([-0.1,10,-1.2,1.2]);

subplot(1,2,1),plot(t,simout(:,1));xlabel('t');ylabel('x');

40 1 Introduction

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 2;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 2;

sizes.NumInputs = 1;

sizes.DirFeedthrough = 0;

sizes.NumSampleTimes = 0;

sys = simsizes(sizes);

x0 = [1 0];

str = [];

ts = [];

function sys=mdlDerivatives(t,x,u)

sys(1)=x(2);

sys(2)=u(1)+0.1*rand();

function sys=mdlOutputs(t,x,u)

sys(1)=x(1);

sys(2)=x(2);

plot(simout(:,1),simout(:,2),'k');

xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');hold on;

plot([0,1],[0,-1],[0,1],[0,-1],'k-.');hold on;

figure(2)%% control signal

subplot(1,3,1),plot(t,simout(:,1))

xlabel('t');ylabel('x');

subplot(1,3,2),plot(t,simout(:,4))

xlabel('t');ylabel('s');

subplot(1,3,3),plot(t,simout(:,3),'k');

xlabel('t');ylabel('u');

Appendices 41

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 2;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 2;

sizes.NumInputs = 1;

sizes.DirFeedthrough = 0;

sizes.NumSampleTimes = 0;

sys = simsizes(sizes);

x0 = [1 0];

str = [];

ts = [];

42 1 Introduction

function sys=mdlDerivatives(t,x,u)

sys(1)=x(2)+0.1*rand();

sys(2)=u(1);

function sys=mdlOutputs(t,x,u)

sys(1)=x(1);sys(2)=x(2);

plot(simout(:,1),simout(:,2),'k');

xlabel('x');

latexStr=['$$\dot x$$'] ;

lgh=ylabel(latexStr);

set(lgh,'interpreter','latex');hold on;

plot([0,1],[0,-1],[0,1],[0,-1],'k-.');hold on;

subplot(1,3,1),plot(t,simout(:,1))

xlabel('t');ylabel('x');

subplot(1,3,2),plot(t,simout(:,4))

xlabel('t');ylabel('s')

subplot(1,3,3),plot(t,simout(:,3),'k');

xlabel('t');ylabel('u');

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cranes with varying cable length. J Mech Sci Technol 27(3):885893

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sliding mode for overhead crane systems. Appl Math Inform Sci 7(4):13591364

159. Tuan LA, Lee SG, Nho LC, Kim DH (2013) Model reference adaptive sliding mode control

for three dimensional overhead cranes. Int J Precis Eng Manuf 14(8):13291338

160. Park MS, Chwa D, Eom M (2014) Adaptive sliding-mode antisway control of uncertain

overhead cranes with high-speed hoisting motion. IEEE Trans Fuzzy Syst 22(5):12621271

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Chapter 2

Crane Mathematic Model

single-pendulum-type overhead cranes, their equations of motion are rst presented

by means of its EulerLagrange equations. Subsequently, the equations of motion

are extended to double-pendulum-type overhead cranes. The two models are pre-

sented as references for examples throughout this book. Since the two models are

established under some ideal assumptions, some uncertainties associated with real

applications are discussed next. In addition, the chapter proceeds with the analysis

of oscillations for pendulum-type motions on the basis of linearized models of the

two types of overhead cranes. The analysis distills the essential properties of each.

Double-pendulum dynamics Uncertainty

2.1.1 Modeling

Figure 2.1 shows the coordinate system of an overhead crane system with its

payload. Apparently, the crane system consists of two subsystems, i.e., trolley and

payload [1]. The former is driven by a force. The latter is suspended from the trolley

by a rope.

Other symbols in Fig. 2.1 are described as the trolley mass M, the payload mass

m, the rope length L, the swing angle of the payload with respect to the vertical line

, the trolley position with respect to the origin x, and the driven force applied to the

trolley f.

Consider that the crane in Fig. 2.1 is static and the payload is in its downward

position. If the trolley moves toward the right direction by a positive driven force,

then the payload will rotate clockwise. Apparently, the payload angle is inherently

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_2

52 2 Crane Mathematic Model

single-pendulum-type

overhead crane system

assumptions [2] are given.

The payload is regarded as a material particle.

The rope is considered as an inflexible rod.

Compared with the payload mass, the rope mass is ignored.

The trolley moves in the x-direction.

The payload moves on the xy surface.

No friction exists in the system.

Using Lagrangian method, the Lagrangian equation with respective to the

generalized coordinate qi [3] can be obtained as

d @La @La

Ti ; 2:1

dt @ q_ i @qi

system potential energy.), qi is the generalized coordination (here, q1 and q2 indi-

cate x and , respectively), and Ti is the external force.

According to the assumption that the payload is regarded as a material particle,

the system kinetic energy in Fig. 2.1 can be depicted as

1 1

K M x_ 2 mv2 2:2

2 2

where vx x_ Lh_ cos h and vy Lh_ sin h. Note that the payload is assumed to be

a particle such that its moment of inertia is not considered in (2.2). When it is failed

2.1 Modeling of Single-Pendulum-Type Cranes 53

to assume that the payload is a particle, its moment of inertia has to be taken into

considerations.

From Fig. 2.1, the potential energy of the trolley subsystem is kept unchanged.

Owing to this fact, the system potential energy in Fig. 2.1 is only exhibited by the

potential energy of the payload subsystem, dened as

Here, g is the gravitational acceleration. From (2.2) and (2.4), La has the form

1 1

La K P M x_ 2 mv2 mgL1 cos h 2:5

2 2

@La

0 2:6

@x

@La

M x_ m_x Lh_ cos h 2:7

@ x_

::

d @La ::

M x m x Lh cos h Lh_ 2 sin h 2:8

dt @ x_

d @La @La ::

m M x mL h cos h h_ 2 sin h f 2:9

dt @ x_ @x

@La

m_x Lh_ cos hLh_ sin h

@h

Lh_ sin hLh_ cos h mgL sin h 2:10

@La

m_x Lh_ cos hL cos h Lh_ sin hLh_ sin h

@ h_ 2:11

mL_x cos h mL2 h_

54 2 Crane Mathematic Model

d @La ::

mL x cos h mL_xh_ sin h mL2 h 2:12

dt @ h_

d @La @La ::

mL x cos h mL2 h mgL sin h 0 2:13

_

dt @ h @h

From (2.9) and (2.13), the dynamic model [4] of this overhead crane system with

respect to x and can be obtained by means of the Lagrangian method.

::

m M x mLh cos h h_ 2 sin h f 2:14

::

x cos h Lh g sin h 0 2:15

Further, the above dynamic model composed of (2.14) and (2.15) can be

transformed to the following state space model [5], formulated as

x_ 1 x2

x_ 2 f1 x b1 xu

2:16

x_ 3 x4

x_ 4 f2 x b2 xu

angular velocity of the load; u is the control input; and fi and bi (i = 1, 2) are

described as

MLx24 sin x3 mg sin x3 cos x3

f1 x

M m sin2 x3

1

b1 x

M m sin2 x3

f2 x

M m sin2 x3 L

cos x3

b2 x

M m sin2 x3 L

overhead crane system. In (2.16), four state variables can depict this dynamic

system. As far as state-variable-based control methods are concerned, the four states

can be employed and a diversity of control approached can be achieved.

2.1 Modeling of Single-Pendulum-Type Cranes 55

Note that the model (2.16) is ideal and it contains no uncertainties. Due to imperfect

modeling and effects of environment, it is impossible to avoid uncertainties and external

disturbance in real dynamical systems. In reality, overhead crane systems often are

operated under uncertainty conditions such as parameter variations, unmodeled

dynamics, skidding and slipping, etc. Considering the possible effects of these uncer-

tainties, the dynamic model of the overhead crane in Fig. 2.1 can have the form

x_ 1 x2

x_ 2 f10 x b10 xu

2:17

x_ 3 x4

x_ 4 f20 x b20 xu

and bi(x) are the nominal parts of fi0 x and bi0 x, respectively. Both fi(x) and bi(x) are

formulated in (2.16). Without loss of generality, the terms depicting modeling errors

and parameter variations, Dfi0 x and Dbi0 x are assumed to be differentiable with

respect to time t.

tainties [6]. The uncertainties are matched if and only if the uncertainties enter a

dynamical system from the control tunnel. In (2.17), the so-called matched

uncertainties mean

Dfi0 x and Dbi0 x2spanfbi xg 2:18

Dfi0 x bi xD~fi x

Dbi0 x bi xD~bi x

x_ 2 f1 x b1 x u D~b1 xu D~f1 x

2:19

x_ 4 f2 x b2 x u D~b2 xu D~f2 x

Apparently, all the uncertainties in (2.19) enter the dynamic model (2.17) by the

control tunnel, indicating that they are matched. Such an entering tunnel makes this

kind of uncertainties resistible by suitable control methods.

In the case that there are unmatched uncertainties, it is challenging to suppress

them because it is hard to formulate these kinds of uncertainties. A common

56 2 Crane Mathematic Model

uncertainties. This method will inevitably result in a threshold on the size of the

unmatched uncertainties. The unmatched uncertainties are then required to be

smaller than the threshold value so that a stability result holds locally with respect

to the size of the uncertainties. Since unmatched uncertainties are common in

control practice, it is important to suppress them to guarantee the system stability in

the presence of signicant unmatched uncertainties.

Consequently, the following dynamic model [7] with unmatched uncertainties

can be directly formulated by (2.20) without further simplication.

x_ 1 x2

x_ 2 f1 x b1 xu n1 x; u

2:20

x_ 3 x4

x_ 4 f2 x b2 xu n2 x; u

The nonlinear single-pendulum-type overhead crane model has been discussed and

it is composed of (2.14) and (2.15). Because = 0 is the sole stable equilibrium of

the overhead crane system, both of the equations can be linearized around the point.

The linearized equations can be written as

:: ::

m M x mL h f 2:21

:: ::

x L h gh 0 2:22

::

According to Newtons second law, f = (m + M) x can be obtained. Substituting

::

x f =m M into (2.21) yields

f ::

L h gh 0 2:23

Mm

transform can be employed to solve Eq. (2.23). Finally, the angular frequency

describing the oscillation of the linearized Eq. (2.23) can be formulated as

r

m g

xn 1 2:24

M L

2.1 Modeling of Single-Pendulum-Type Cranes 57

system frequency

Equation (2.24) reveals the system frequency depending on the rope length and the

mass ratio. It is of interest to investigate how the frequency changes as a function of

the system parameters. Such information can be used for physical insights of the

overhead crane system. Figure 2.2 demonstrates the function revealed in (2.24).

The MATLAB programs of the example are given in Appendix A.

From Fig. 2.2, the frequency changes very little with respect to the mass ratio

when the rope length is more than 4 m. On the other hand, the frequency value has a

strong dependence on the mass ratio when the rope length is short.

2.1.4.1 Modeling

The crane is moved by a driven force F, applied to the trolley. This system consists

of three subsystems, i.e., trolley, hook, and payload. That is, there exist three

variables to describe the crane system. Each subsystem possesses one variable,

described by trolley position with respect to the origin, x (m), hook angle with

respect to the vertical line 1 (rad), and payload angle with respect to the vertical

line 2 (rad).

Other symbols in Fig. 2.3 are explained as trolley mass m0 (kg), hook mass m1

(kg), payload mass m2 (kg), cable length between trolley and hook l1 (m), and cable

length between hook and payload l2 (m).

Consider the following ideal assumptions like no friction, massless cables,

mass-point hook, and mass-point payload. To obtain the dynamic model of this

crane system, the Lagrangian method is also adopted. The following Lagrangian

equation with respect to the generalized coordinate qi can be obtained as

58 2 Crane Mathematic Model

double-pendulum-type

overhead crane system

d @Lad @Lad

Ti 2:25

dt @ q_ i @qi

denotes the system potential energy.), qi is the generalized coordination (here, q1,

q2, and q3 indicates x, 1, and 2, respectively), and Ti is the external force.

According to the aforementioned assumptions that the payload and hook are

regarded as mass-points, the system kinetic energy in Fig. 2.3 can be written as

1 1 1

Kd m0 x_ 2 m1 v21 m2 v22 2:26

2 2 2

here, the vectors v1 and v2 denote the hook and payload velocities, respectively.

They are dened as

2:27

v22 v2x2 v2y2 ;

and vy2 l1 h_ 1 sin h1 l2 h_ 2 sin h2 .

From Fig. 2.3, the potential energy of the trolley subsystem is kept unchanged.

Owing to this fact, the system potential energy in Fig. 2.3 is only exhibited by the

potential energies of the hook and payload subsystems, dened as

2.1 Modeling of Single-Pendulum-Type Cranes 59

Lad Kd Pd

1 1 1

m0 x_ 2 m1 v21 m2 v22 2:29

2 2 2

m1 gl1 1 cos h1 m2 gl1 1 cos h1 l2 1 cos h2

@Lad

0 2:30

@x

@Lad

m0 m1 m2 _x m1 m2 l1 h_ 1 cos h1 m2 l2 h_ 2 cos h2 2:31

@ x_

d @Lad @Lad

m0 m1 m2 x m1 m2 l1 h1 cos h1

dt @ x_ @x

2:32

m1 m2 l1 h_ 2 sin h1 m2 l2 h2 cos h2

1

m2 l2 h_ 22 sin h2

d @Lad @Lad

m0 m1 m2 x m1 m2 l1 h1 cos h1

dt @ x_ @x

m1 m2 l1 h_ 2 sin h1 m2 l2 h2 cos h2

1 2:33

m2 l2 h_ 22 sin h2

=F

@Lad

m1 m2 l1 x_ h_ 1 sin h1

@h1 2:34

m2 l1 l2 h_ 1 h_ 2 sinh1 h2 m1 m2 gl1 sin h1

@Lad

m1 m2 l1 x_ cos h1 l21 h_ 1 m2 l1 l2 h_ 2 cosh1 h2 2:35

_

@ h1

60 2 Crane Mathematic Model

::

d @Lad

m1 m2 l1 x cos h1 l1 x_ h_ 1 cos h1 l21 h1

dt @ h_ 1

2:36

m2 l1 l2 h2 cosh1 h2 m2 l1 l2 h_ 1 h_ 2 sinh1 h2

m2 l1 l2 h_ 2 sinh1 h2

2

d @Lad @Lad

m1 m2 l1x cos h1 m1 m2 l21 h1

dt @ h_ 1 @h1

m2 l1 l2 h2 cosh1 h2 m2 l1 l2 h_ 2 sinh1 h2

2 2:37

m1 m2 gl1 sin h1

=0

@Lad

m2 l1 x_ h_ 2 sin h2 m2 l1 l2 h_ 1 h_ 2 sinh1 h2 m2 gl2 sin h2 2:38

@h2

@Lad

m2 l1 x_ cos h1 m2 l22 h_ 2 m2 l1 l2 h_ 1 cosh1 h2 2:39

@ h_ 2

d @L

m2 l2x cos h2 m2 l2 x_ h_ 2 cos h2 m2 l22 h2 m2 l1 l2 h1 cosh1 h2

dt @ h_ 2

m2 l1 l2 h_ 21 sinh1 h2 m2 l1 l2 h_ 1 h_ 2 sinh1 h2

2:40

d @Lad @Lad

m2 l2x cos h2 m2 l22 h2 m2 l1 l2 h1 cosh1 h2

dt @ h_ 2 @h2

2:41

m2 l1 l2 h_ 21 sinh1 h2 m2 gl2 sin h2

=0

2.1 Modeling of Single-Pendulum-Type Cranes 61

From (2.33), (2.37), and (2.41), the dynamic model of the double-pendulum-type

overhead crane system with respect to x, 1, and 2 [8] can be obtained by means of

the Lagrangian method.

m0 m1 m2 x m1 m2 l1 h1 cos h1 m2 l2 h2 cos h2

2:42

m1 m2 l1 h_ 21 sin h1 m2 l2 h_ 22 sin h2 F

m2 l1 l2 h_ 2 sinh1 h2 m1 m2 gl1 sin h1 0

2

2:44

m2 l1 l2 h_ 2 sinh1 h2 m2 gl2 sin h2 = 0

1

Rearrange (2.42), (2.43), and (2.44) in the form of a matrix. The three equations

can be rewritten as

::

Mq q Cq; q_ q_ Gq s 2:45

F; 0; 0T is a vector of the generalized force, g is the gravitational acceleration, M

_ q_ is a vector of Coriolis and centripetal torques,

(q) is a 3 3 inertia matrix, Cq; q

and G(q) is a vector of the gravitational term. Mq; Cq; q _ and G(q) are dened

as

2 3

m0 m1 m2 m1 m2 l1 cos h1 m2 l2 cos h2

Mq 4 m1 m2 l1 cos h1 m1 m2 l21 m2 l1 l2 cosh1 h2 5

m2 l2 cos h2 m2 l1 l2 cosh1 h2 m2 l22

2 3

0 m1 m2 l1 h_ 1 sin h1 m2 l2 h_ 2 sin h2

Cq; q_ 4 0 0 m2 l1 l2 h_ 2 sinh1 h2 5

0 m2 l1 l2 h_ 1 sinh1 h2 0

Further, (2.45) can be transformed to its state space expression. The expression

[9, 10] has the form

62 2 Crane Mathematic Model

x_ 1 x2

x_ 2 f1 x b1 xu

x_ 3 x4

2:46

x_ 4 f2 x b2 xu

x_ 5 x6

x_ 6 f3 x b3 xu

In (2.46), the vector x is dened by [x1, x2, x3, x4, x5, x6]T; x1 = x; x3 = 1; x5 = 2;

x2 is the trolley velocity; x4 is the angular velocity of the hook; x6 is the angular

velocity of the payload; u = F is the control input; and fi(x) and bi(x) (i = 1, 2, 3) are

nonlinear functions of the vector x, formulated by fi (x) = i/ and bi(x) = i/.

Here i, i, and are determined by

D = m1 m2 m2 l21 l22 m0 m1 m2 m1 m2 cos2 x3

m22 l21 l22 m1 m2 cos2 x5 m0 m1 m2 cos2 x3 x5

2m1 m2 cosx3 cosx5 cosx3 x5

C1 m1 m2 m2 l21 l22 m22 l21 l22 cos2 x3 x5 m1 m2 l1 x24 sinx3

m2 l2 x26 sinx5 m1 m2 m2 l1 l22 cosx3

m22 l1 l22 cosx5 cosx3 x5 m2 l1 l2 x26 sinx3 x5

m1 m2 gl1 sinx3 m1 m2 m2 l21 l2 cosx5

m2 l21 l2 cosx3 cosx3 x5 m2 l1 l2 x24 sinx3 x5 m2 gl2 sinx5

C2 m22 l1 l22 cosx5 cosx3 x5 m1 m2 m2 l1 l22 cosx3 m1 m2 l1 x24 sinx3

m2 l2 x26 sinx5 m22 l22 cos2 x5 m0 m1 m2 m2 l22 m2 l1 l2 x26 sinx3 x5

m1 m2 gl1 sinx3 m0 m1 m2 m2 l1 l2 cosx3 x5

m1 m2 m2 l1 l2 cosx3 cosx5 m2 l1 l2 x24 sinx3 x5 m2 gl2 sinx5

m2 l2 x26 sinx5 m0 m1 m2 m2 l1 l2 cosx3 x5

m1 m2 m2 l1 l2 cosx3 cosx5 m2 l1 l2 x26 sinx3 x5 m1 m2 gl1 sinx3

h i

m1 m2 2 l21 cos2 x3 m0 m1 m2 m1 m2 l21

m2 l1 l2 x24 sinx3 x5 m2 gl2 sinx5

2.1 Modeling of Single-Pendulum-Type Cranes 63

Note that the model (2.45) has two important assumptions that are mass-point

hook and payload. Usually, the mass-point assumption can be satised for the hook

subsystem. However, the mass-point assumption for the payload subsystem can be

satised under some operating conditions. Concerning these extreme operating

conditions, the moment of inertia of the payload subsystem cannot be ignored and it

has to be taken into consideration.

double-pendulum-type overhead cranes. Considering the system uncertainties, the

uncertain equations can be derived from (2.46). The analysis is very similar to the

process in Sect. 2.1.2. Briefly, the uncertain model of the double-pendulum-type

overhead crane in Fig. 2.1 can be described as

x_ 1 x2

x_ 2 f1 x b1 xu n1 x; u

x_ 3 x4

2:47

x_ 4 f2 x b2 xu n2 x; u

x_ 5 x6

x_ 6 f3 x b3 xu n3 x; u

bi xDni x; u where i = 1, 2, 3. Otherwise, the three uncertain terms are unmatched

because they cannot enter the crane model by the control channel. Note that the

three uncertain terms have to be treated as a whole. The uncertainties are still

unmatched, if only a part of the three terms can enter the crane model by the control

channel.

Because 1 = 2 = 0 is the sole stable equilibrium of the double-pendulum-type

crane system, (2.13) can be linearized around 1 = 0 and 2 = 0. The linearized

crane model can be written as

64 2 Crane Mathematic Model

q:: Kq 0

M 2:48

In the linearized model (2.48), the matrixes M

2 3

m0 m1 m2 m1 m2 l1 m2 l2

4 m1 m2 l1

M m1 m2 l21 m2 l1 l2 5

m2 l2 m2 l1 l2 m2 l22

2 3

0 0 0

K 4 0 m1 m2 gl1 0 5

0 0 m2 gl2

can be obtained by the nonzero eigenvalues of the matrixM K. Their expressions

[11] are determined as

r

g p

x1 a b 2:49

2

r

g p

x2 a b 2:50

2

m1 m2 1 1

a

m1 l1 l2

2 2

m1 m2 1 1 m1 m2 1

b 4

m1 l1 l2 m1 l1 l2

From (2.49) and (2.50), the two natural frequencies not only depend on the

length of the cables but also depend on the masses of payload and hook. It is

interesting to investigate how the frequencies change as a function of the system

physical parameters.

To simplify this problem, R = m2/m1 is dened as the payload-to-hook mass

ratio, the cable length between hook and payload l2 is considered as a variable when

the total length l determined by l1 plus l2 is held constant at 6 m. Figure 2.4

illustrates the two oscillation frequencies as a function of R and l2.

In Fig. 2.4, 1 changes very little for a constant l1 + l2. It corresponds closely to

the frequency of a single pendulum with the length of l1 + l2. On the other hand, the

value of 1 is maximized for a constant l1 + l2 when the two cable lengths are equal

to l1 l

2 ; but it can be dramatically changed by the hoisting operation [12].

2

2.1 Modeling of Single-Pendulum-Type Cranes 65

l2; the value of 2 varies substantially more than the value of 1, the contribution of

2 to problematic swing amplitude is particularly large for a constant l1 + l2 when

the two cable lengths are approximately equal.

Concerning the mass ratio, R has a relatively small effect on 1, but the

high-frequency 2 becomes more important to the double-pendulum motions for

low payload-to-hook mass ratios. In brief, low payload-to-hook mass ratios and

equal cable lengths are more representative to depict the double-pendulum motions

of the crane for the point-to-point transport control with a constant l1 + l2.

Appendices

l=0.1:0.1:10; % Rope length from 0.1 to 10, every each 0.1

[K,L]=meshgrid(k,l); % K and L arrays for 3-D plots.

w=sqrt((1+K)*9.8./L); % Array of angular frequency

surf(K,L,w) % 3-D colored surface.

66 2 Crane Mathematic Model

l2=0.1:0.1:6; %cable length between hook and payload

l1=6-l2; %l1 plus l2 is held constant at 6m

g=9.8; % gravitational acceleration

[R,L2]=meshgrid(r,l2); % R and L2 arrays for 3-D plots

p=sqrt((1+R).^2.*(1./(6-L2)+1./L2).^2-4.*((1+R)./(L2.*(6-L2))));

w1=sqrt(g/2).*sqrt((1+R).*(1./(6-L2)+1./L2)-p); % Array of w1

w2=sqrt(g/2).*sqrt((1+R).*(1./(6-L2)+1./L2)+p); % Array of w2

surf(R,L2,w1) %3-D colored surface

hold; % Another surface

surf(R,L2,w2) %3-D colored surface

References

1. Abdel-Rahman EM, Nayfeh AH, Masoud ZN (2003) Dynamics and control of cranes: a

review. J Vib Control 9(7):863908

2. Lee HH (1998) Modeling and control of a three-dimensional overhead crane. J Dyn Syst Meas

Control Trans ASME 120(4):471476

3. Spong MW, Hutchinson S, Vidyasagar M (2006) Robot modeling and control. Wiley, New

York

4. Oguamanam D, Hansen JS, Heppler G (2001) Dynamics of a three-dimensional overhead

crane system. J Sound Vib 242(3):411426

5. Liu D, Yi J, Zhao D, Wang W (2005) Adaptive sliding mode fuzzy control for a

two-dimensional overhead crane. Mechatronics 15(5):505522

6. Cheng C, Chen CY (1996) Controller design for an overhead crane system with uncretainty.

Control Eng Pract 4(5):645653

7. Park MS, Chwa D, Hong SK (2008) Antisway tracking control of overhead cranes with

system uncertainty and actuator nonlinearity using an adaptive fuzzy sliding-mode control.

IEEE Trans Ind Electron 55(11):39723984

8. Tuan LA, Lee SG (2013) Sliding mode controls of double-pendulum crane systems. J Mech

Sci Technol 27(6):18631873

9. Liu D, Guo W, Yi J (2008) Dynamics and GA-based stable control for a class of underactuated

mechanical systems. Int J Control Autom Syst 6(1):3543

10. OConnor W, Habibi H (2013) Gantry crane control of a double-pendulum, distributed-mass

load using mechanical wave concepts. Mech Sci 4:251261

11. Vaughan J, Kim D, Singhose W (2010) Control of tower cranes with double-pendulum

payload dynamics. IEEE Trans Control Syst Technol 18(6):13451358

12. Singhose W, Kim D, Kenison M (2008) Input shaping control of double-pendulum bridge

crane oscillations. J Dyn Syst Meas Control Trans ASME 130(3): doi:10.1115/1.2907363

Chapter 3

Overhead Crane Control by Sliding Mode

Methods

design methods. This chapter introduces several typical SMC design methods, i.e.,

rst-order SMC, integral SMC, terminal SMC, and second-order SMC. For the

purpose of illustration, both single-pendulum-type and double-pendulum-type

overhead cranes are adopted as research benchmarks and these SMC methods are

carried out by the transport control problem of cranes. To focus on the SMC

methods, the nominal models of both types of overhead cranes are considered

during control design. Moreover, the uncertain models are also taken to analyze the

system stability. In addition, the chapter proceeds with source codes of all the

simulations.

SMC Second-order SMC

Overhead, crane control includes several control problems [1], i.e., trolley posi-

tioning, payload swing reduction, and crane scheduling, where the crane scheduling

problem should resort to optimization of crane operations and the other two control

problems can be dealt with control algorithms.

Concerning transport control of a crane system, its control task [2] is to transport

the payload to a desired position as accurately and quickly as possible. Meanwhile,

its control system should suppress payload oscillations no matter what kind of

pendulum-type they are. The control task has two aspects, i.e., fast crane posi-

tioning and small payload swing. Inherently, the two aspects contradict each other.

The physical properties of cranes cannot simultaneously realize the two aspects. To

solve the inherent contradiction and achieve the transport task of cranes, a control

mechanism or algorithm has to be applied to crane systems.

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_3

68 3 Overhead Crane Control by Sliding Mode Methods

As mentioned, the task of the transport control problem fuses both the trolley

positioning and the payload swing reduction. As a result, the transport control

problem of crane systems is representative. In this book, overhead crane control just

means the transport control problem without independent claim.

Since the sliding mode control (SMC) methodology is a feedback control design,

there are two ways to design a SMC system [3], i.e., output feedback design and

state feedback design, where the SMC design based on state feedback is adopted in

Chap. 2. Provided that all the crane states are measurable, the state feedback-based

SMC design is adopted in the rest of the book without independent claim.

Among a diversity of sliding mode design methods, the rst-order SMC method is a

basic one, but it is important and representative. To illustrate its design, the

rst-order SMC method in Sect. 3.2 is applied to two overhead cranes. The cranes

cover both single-pendulum-type and double-pendulum-type crane systems. Recall

Chap. 2. The mathematic models of the two types of cranes have been established.

In this chapter, they are directly adopted for control design without more

explanations.

Overhead Cranes

2. Design a linear sliding surface of such a crane as

s cT x 3:1

where s is the sliding surface variable; x in (2.16) is the state vector; and c is the

parameter vector of this sliding surface and it should be predened.

Recall the equivalent-control-based SMC law (1.20) in Chap. 1. Owing to its

advantages, the design of the equivalent-control-based SMC is adopted in the rest

of the book. Design the control law of the crane system (1.20), described by the

equivalent control law ueq plus the switching control law usw.

To obtain its equivalent control law, differentiating s in (3.1) with respect to time

t and substituting the crane model (2.16) into the derivative of s yield

s_ cT x_ c1 x_ 1 c2 x_ 2 c3 x_ 3 c4 x_ 4

c1 x2 c2 f1 x b1 xu c3 x4 c4 f2 x b2 xu 3:2

c1 x2 c3 x4 c2 f1 x c4 f2 x c2 b1 xu c4 b2 xu

3.2 First-Order Sliding Mode Control 69

When the system states keep sliding along the sliding surface (3.1), the sole

equivalent control law is applied to the crane control system and s_ 0 exists in

(3.2). These linguistic descriptions are formulated by

s_ c1 x2 c3 x4 c2 f1 x c4 f2 x c2 b1 xu c4 b2 xueq 0 3:3

c1 x2 c3 x4 c2 f1 x c4 f2 x

ueq 3:4

c2 b1 xu c4 b2 x

Compared with (1.20), only the equivalent control law ueq is obtained. The

switching control law usw is still kept unknown. To obtain the whole control law u,

the switching control law will be deduced from the system stability analysis.

Control System

Concerning the crane control system based on the rst-order SMC, a Lyapunov

function candidate in the Lyapunovs stability scheme can be dened by

1

Vt s2 3:5

2

Differentiating V with respect to time t and substituting the crane model (1.16),

the sliding surface (3.1), and the equivalent-control-based SMC law (1.20) into the

derivative of V yield

_

Vt s_s sc1 x_ 1 c2 x_ 2 c3 x_ 3 c4 x_ 4

sfc1 x_ 1 c2 f1 x b1 xu c3 x_ 3 c4 f2 x b2 xug

sfc1 x2 c3 x4 c2 f1 x c4 f2 x c2 b1 x c4 b2 xug

sfc1 x2 c3 x4 c2 f1 x c4 f2 x c2 b1 x c4 b2 xueq usw g 3:6

Consider the expression of the equivalent control law (3.4). Substituting it into

(3.6) yields

_

Vt susw c2 b1 x c4 b2 x 3:7

_

From (3.5), Vt 0. In the sense of Lyapunov, Vt\0 should exist to make

the crane control system asymptotically stable. As a result, dene

70 3 Overhead Crane Control by Sliding Mode Methods

js g sgns

usw 3:8

c2 b1 x c4 b2 x

Finally, the rst-order SMC law of the single-pendulum-type overhead crane

system can be deduced from (3.4) and (3.8):

u ueq usw

c1 x2 c3 x4 c2 f1 x c4 f2 x js g sgns 3:9

c2 b1 xu c4 b2 x c2 b1 x c4 b2 x

indicating that the system stability will be kept unchanged if the control law (3.9) is

carried out by the uncertain crane system (2.19). To test the effects of unmatched

uncertainties on the system stability, the crane model with unmatched uncertainties

(2.20) is taken into considerations.

Dene the sliding surface (3.1); adopt the equivalent-control-based SMC law

(1.20), where the equivalent control law of the nominal crane model is determined

by (3.4); and select the Lyapunov function candidate (3.5).

Differentiating V with respect to time t and substituting the crane model with

unmatched uncertainties (2.19), the sliding surface (3.1) and the

equivalent-control-based SMC law (1.20) into the derivative of V yield

_

Vt s_s sc1 x_ 1 c2 x_ 2 c3 x_ 3 c4 x_ 4

sfc1 x_ 1 c2 f1 x b1 xu n1 x; u

c3 x_ 3 c4 f2 x b2 xu n2 x; ug

3:10

sfc1 x2 c3 x4 c2 f1 x c4 f2 x

c2 b1 x c4 b2 xu n1 x; u n2 x; ug

sfc2 b1 x c4 b2 xusw n1 x; u n2 x; ug

_

Vt 0 in (3.5). In the sense of Lyapunov, Vt\0 should exist to make the

uncertain crane control system asymptotically stable. As a result, dene

j s g sgns

usw 3:11

c2 b1 x c4 b2 x

Finally, the rst-order SMC law of the crane system with unmatched certainties

can be deduced from (3.4) and (3.11):

3.2 First-Order Sliding Mode Control 71

u ueq usw

c1 x2 c3 x4 c2 f1 x c4 f2 x j s g sgns 3:12

c2 b1 xu c4 b2 x c2 b1 x c4 b2 x

Compared with (3.8), the control law for crane systems with unmatched

uncertainties (3.11) needs a larger coefcient of the signum function to resist the

adverse effects of unmatched uncertainties on the system stability.

Overhead Cranes

To demonstrate the control performance of the rst-order SMC law for nominal

overhead crane systems, some simulation results will be displayed and some

analyses will be presented. Physical parameters of the overhead crane system are

shown in Table 3.1 [4], so are the initial and desired state vectors. The

equivalent-control-based SMC law (3.9) is adopted, where the controller parameters

are determined by = 4, = 0.05, and c = [3 3 10.3 1]T after trial and error. Note

that the physical parameters of the crane system in Table 3.1 are very small

compared with a real crane. Here, they are just employed for the purpose of

illustration. In practice, they can be scaled up.

From Figs. 3.1 and 3.2, the crane system spends about 3 s arriving at the desired

position in Fig. 3.1a. The rst-order SMC law can effectively suppress the

single-pendulum-type motions of the payload in Fig. 3.1b when the control task is

achieved. From Fig. 3.2a, the rst-order SMC law is composed of the equivalent

control law in Fig. 3.2c and the switching control law in Fig. 3.2d. The three curves

show that the equivalent-control-based SMC method can effectively decrease the

chattering. Figure 3.2b displays the curve of the sliding surface s. In Fig. 3.2b, the

sliding motion begins at about 1 s. Thereafter, the switching control law is kept

zeroth in Fig. 3.2d and the sole equivalent control law forces the sliding mode along

the sliding surface. Figures 3.1 and 3.2 can be obtained by a Simulink model of

MATLAB, which is shown in Appendix A.

Trolley mass M (kg) 1

Payload mass m (kg) 0.8

Cable length L (m) 0.305

Acceleration of gravity g (m s2) 9.81

Initial state vector x0 [0 m 0 m s1 0 rad 0 rad s1]

Desired state vector xd [1.0 m 0 m s1 0 rad 0 rad s1]

72 3 Overhead Crane Control by Sliding Mode Methods

Fig. 3.1 System performance by the rst-order SMC method for the overhead crane. a Trolley

position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 3.2 Control performance of the rst-order SMC method. a Control input u; b Sliding surface

s; c Equivalent control ueq; d Switching control usw

3.2 First-Order Sliding Mode Control 73

Overhead Cranes

Recall the crane model with unmatched uncertainties (2.19). Assume that both the

uncertain terms in the model are determined by 0.1 [12 rand()], where rand() is

a MATLAB command to generate a uniformly distributed pseudorandom number

on the open interval (0, 1).

For the purpose of comparison, the parameter vector of the sliding surface c is

kept unchanged. The physical parameters of the crane, the initial state vector, and

the desired state vector are also kept unchanged from Table 3.1. To make the crane

control system asymptotically stable, * is set to 0.25 because sup jjn1 x; u

n2 x; ujj\ 0:2 and the other parameter * = = 4.

The Simulink model of MATLAB to plot Figs. 3.3 and 3.4 is very similar to that

of plotting Figs. 3.1 and 3.2. Figure 3.3 shows the crane performance though the

state variable curves of the uncertain crane system. Compared with Fig. 3.1a, the

trolley in Fig. 3.3a can likewise achieve its positioning at about 3 s. In contrast, the

control law (3.9) applied to the nominal crane model can perfectly suppress the

single-pendulum oscillations of the payload in Fig. 3.2c. However, the payload has

some slightly residual oscillations in the presence of uncertainties in Fig. 3.3c. This

fact indicates that some lightly residual oscillations in a real crane control system

are evitable because of unmatched uncertainties. Figure 3.4 shows the control

performance though the control input and sliding surface curves. Compared with

Fig. 3.3 System performance by the rst-order SMC method for the crane with unmatched

uncertainties. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

74 3 Overhead Crane Control by Sliding Mode Methods

Fig. 3.4 Control performance of the rst-order SMC method for the crane with unmatched

uncertainties. a Control input u; b Sliding surface s; c Equivalent control ueq; d Switching control

usw

Fig. 3.2d, the switching control works all the time to resist the unmatched uncer-

tainties in the system dynamic process because of the existence of unmatched

uncertainties. In Fig. 3.4b, some small jumps exist, indicating that the system

trajectory deviates from the sliding surface due to the adverse effects of uncer-

tainties. Such jumps also make the control input in Fig. 3.4a jump back and forth.

Cranes

overhead crane systems. Consider a double-pendulum-type overhead crane system

as well. Recall the dynamic model (2.46), describing the nominal

double-pendulum-type overhead crane system in Fig. 2.3. On basis of the model,

adopt the standard equivalent-control-based SMC method presented in Chap. 2. The

control design and analysis for the double-pendulum-type crane system is very

similar to Sects. 3.2.1 and 3.2.2. Although the theoretical design and analysis are

similar with single-pendulum-type overhead crane systems, the parameter tuning,

especially the tuning about the sliding surface parameters, is a time-consuming

business.

3.2 First-Order Sliding Mode Control 75

To exhibit the development of SMC, a novel design is introduced. Tuan and Lee

[5] designed a novel sliding surface for such a double-pendulum-type overhead

crane. Compared with the standard equivalent-control-based SMC law, their idea

can be treated as an order-reduction sliding mode, where the sliding mode exists in

a subspace of the standard sliding mode. For the purpose of illustration, their

design, analysis, and simulation are investigated step by step.

Consider the crane dynamics (2.46). The novel sliding surface is dened by

In (3.13), , , and are the sliding surface parameters, e = x1 x1d and the

derivative of e is equal to x2. Compared with the standard sliding surface, two

variables x4 and x6 in (3.13) are ignored. This fact means that the sliding surface

does not need the angular velocities of the payload and hook. Such a denition can

simplify the parameter tuning because only three parameters exist in (3.13) other

than ve parameters in the standard sliding surface.

To obtain its equivalent control law, differentiating s in (3.13) with respect to

time t and substituting the crane model (2.46) into the derivative of s yield

3:14

f1 x b1 xu ax4 bx6

When the system states sliding along the sliding surface (3.13), s_ 0 exists and

the sole equivalent control law is applied to the crane control system. From (3.14),

these linguistic descriptions are formulated by

m1 m2 l1 sin x3 x24 m2 l2 sin x5 x26 3:15

m0 m1 m2 kx2 ax4 bx6

The equivalent control (3.15) can guarantee all state trajectories slide on the

sliding surface (3.13) when the sliding mode is reached. However, to keep these

system states on the sliding manifold, the switching control law should be com-

plemented such that the nal control law can be written by

m1 m2 l1 sin x3 x24 m2 l2 sin x5 x26 3:16

m0 m1 m2 kx2 ax4 bx6 K sgns

The standard sliding surface has six state variables such that the derivative of

s covers the hook and payload controls are included in the nal control law. But

there is only the trolley control in (3.14). The method presented by Tuan and Lee

[5] can be treated as mandatory decoupling. Consequently, the system stability has

76 3 Overhead Crane Control by Sliding Mode Methods

system stability, dene the Lyapunov function candidate as

1

V s2 3:17

2

Differentiating V with respect to time t and substituting the Eq. (2.42) and the

equivalent control law (3.15) into the derivative of V yield

K

V_ s_s s sgns 3:18

m0 m1 m2

(3.17). From (3.17) and (3.18), the SMC system on basis of the novel sliding

surface is of asymptotic stability in the sense of Lyapunov.

There are four controller parameters in (3.16). One parameter K is about the

switching control law and K [ 0 has been drawn from the system stability. The

other three parameters are about the sliding surface. It is interesting to investigate

the inherent relationship among the three parameters of the sliding surface. This

purpose can be achieved by the dynamic analysis after the sliding mode takes place.

When all the state variables slide on the sliding surface, s_ 0 exists in (3.14) such

that

Substitute (3.19) into (2.42) and (2.43). Then, rearranging (2.42) and (2.43) yield

m2 l2 sinx3 x5 x26 m1 m2 g sin x3 0

3:20

3:21

l2 x_ 6 l1 sinx3 x5 x24 g sin x5 0

When the state trajectories slide on the surface and convergent to the origin, the

system dynamics are composed of (3.19), (3.20), and (3.21). Apparently, all the

equations are nonlinear. According to the Lyapunovs indirect method, the system

stability can be touched by the linearization technique.

Linearize (3.19), (3.20), and (3.21). Then the linearized dynamics are written by

x_ Ax 3:22

3.2 First-Order Sliding Mode Control 77

here

2 3

0 1 0 0 0 0

6 0 k 0 a 0 b 7

6 7

60 0 0 1 0 0 7

A6

6 0 lk

7

6 lg1 la1 0 lb1 7

7

40 0 1 5

1

0 0 0

0 lk2 0 la2 lg2 lb2

system (3.22). This fact results in

To illustrate the feasibility of the rst-order SMC law, the control law will be

carried out to a double-pendulum-type overhead crane, where the crane physical

parameters [5] are determined by Table 3.2. The controller parameters of the

rst-order SMC law [5] are selected by K = 70; = 0.5; = 17; = 11. Displayed

in (3.18) and (3.23), the signs of the four parameters coincide with the proven

results. Some numerical simulation results are demonstrated in Figs. 3.5 and 3.6,

obtained by a Simulink model of MATLAB, which is shown in Appendix B.

In Fig. 3.5, the transport task of the double-pendulum-type crane is set as the

initial state vector x0 = [0 m 0 m s1 0 rad 0 rad s1 0 rad 0 rad s1] and the desired

state vector xd = [4 m 0 m s1 0 rad 0 rad s1 0 rad 0 rad s1]. Figure 3.5 shows the

curves of the crane state variables during the transport dynamics, where the trolley

position, the trolley velocity, the hook angle, the hook angular velocity, the payload

angle, and the payload angular velocity are located in Fig. 3.5af, respectively.

From Fig. 3.5a, the crane can arrive at the desired position at about 7.5 s.

Meanwhile, the controller can effectively resist the double-pendulum oscillations in

Fig. 3.5c and e. On the other hand, the curve in Fig. 3.5a has no overshooting,

indicating that the trolley can directly arrive at the desired position instead of

moving back and forth around the desired position.

The control performance by the rst-order SMC law is shown in Fig. 3.6. In

Fig. 3.6a, the control input, i.e., the driven force applied to the trolley, jumps back

and forth at the outset to suppress the double-pendulum oscillations. In addition, the

chattering phenomenon is greatly reduced because of the equivalent-control-based

control design. Figure 3.6b shows the curve of the novel sliding surface dened by

parameters of the

double-pendulum-type Hook mass m1 (kg) 10

overhead crane Payload mass m2 (kg) 2

Trolley-hook cable length l1 (m) 3

Hook-payload cable length l2 (m) 0.3

Acceleration of gravity g (m s2) 9.81

78 3 Overhead Crane Control by Sliding Mode Methods

Fig. 3.5 System performance by the rst-order SMC method for the double-pendulum-type

overhead crane system. a Trolley position; b Trolley velocity; c Hook angle; d Hook angular

velocity; e Payload angle; f Payload angular velocity

Fig. 3.6 Control performance by the rst-order SMC method for the double-pendulum-type

overhead crane system. a Control input; b Sliding surface

a part of the crane state variables. From Fig. 3.6b, the sliding mode is reached at

about 3 s. Thereafter, the state trajectories of the closed-loop crane control system

by the sliding mode keep sliding along the sliding surface (3.13) and converge to

the origin.

3.3 Integral Sliding Mode Control 79

In 1996, Utkin and Shi [6] proposed an improved sliding control method named

integral sliding mode control (ISMC). The characteristic of the sliding surface of an

ISMC system is that there is an integral term in the surface. Concerning other SMC

methods, the system motion under sliding mode has a dimension short of that of the

state space. However, the integral term in the surface breaks out of this point and it

promotes the dimension of the sliding mode. Under integral sliding mode, the

system motion has a dimension equal to that of the state space. This characteristic

makes the ISMC method attractive because the system trajectory in an ISMC

system always starts from the sliding surface. Accordingly, the robustness of the

ISMC system against matched uncertainties is promised in the whole state space.

For the purpose of illustrating the ISMC design, only single-pendulum-type over-

head crane systems are considered. To develop such an integral sliding mode

controller, recall the dynamic model of a nominal crane system (2.16). The model to

can be rewritten by

x_ Ax Bu F 3:24

system; u is the control input, i.e., driven force applied to the trolley f; the matrixes

A, B, and F are determined by

2 3 2 3 2 3

0 1 0 0 0 0

60 0 0 07 6 b1 x 7 6 f1 x 7

A6

40

7 B6 7 6

4 0 5 F4 0 5

7

0 0 15

0 0 0 0 b2 x f2 x

Zt

s Cx x0 CA BKxsds 3:25

0

nonsingular and K is designed via pole assignment such that the eigenvalues of

matrix A BK are less than 0.

80 3 Overhead Crane Control by Sliding Mode Methods

Adopt the equivalent-control-based SMC design [6]. Dene the ISMC law as

where ueq is the equivalent control law and usw is the switching control law.

To obtain the expression of ueq, differentiating s in (3.25) with respect to time

t and substituting the crane model (3.24) into the derivative of s yield

When the crane states slide along the integral sliding surface (3.25), s_ 0 exists

and the sole equivalent control law ueq is applied to the crane control system. From

(3.27), these linguistic descriptions are formulated by

The equivalent control law has been obtained. In (3.26), the switching control

law is still kept unknown. To obtain the whole ISMC law, the switching control law

will be deduced from the stability analysis of the crane ISMC system.

ISMC-based crane control system has a form of

1

Vt s2 3:29

2

Differentiating V in (3.29) with respect to time t and substituting the crane model

(3.24), the integral sliding surface (3.25), and the equivalent-control-based ISMC

law (3.26) into the derivative of V yield

3:30

sCBueq CBusw CF CBKx

V_ sCBusw 3:31

_

Vt 0 in (3.29). In the sense of Lyapunov, Vt\0 in (3.31) should exist to

make the crane control system asymptotically stable. As a result, dene

3.3 Integral Sliding Mode Control 81

where both and are the positive constants. Finally, the ISMC law of the crane

system can be deduced from (3.28) and (3.32), determined by

The ISMC law for nominal single-pendulum-type overhead cranes has been

drawn in (3.33). However, uncertainties exist everywhere. As mentioned, the

invariance property of SMC can resist matched uncertainties, indicating that the

stability of the ISMC system is kept unchanged when the control law (3.33) is

carried out on crane systems with matched uncertainties (2.19).

To test the effects of unmatched uncertainties on the system stability, the crane

model with unmatched uncertainties (2.20) is taken into considerations. Rearrange

the crane model (2.20). Equation (3.34) can be drawn.

x_ Ax Bu F dx; u 3:34

dx; u 0 n1 x; u 0 n2 x; uT

Differentiating V in (3.29) with respect to time t and substituting the crane model

with unmatched uncertainties (3.34), the integral sliding surface (3.25), and the

equivalent-control-based ISMC law (3.26) and the equivalent control law (3.28)

into the derivative of V yield

3:35

sCBueq CBusw CF Cd CBKx

V_ sCBusw Cd 3:36

82 3 Overhead Crane Control by Sliding Mode Methods

k s2 g jsj jjCdjj1 s

\ k s2 g jsj jjCjj1 jjdjj1 s\0

_

Vt 0 is dened in (3.29). Vt\0 exists as well. In the sense of Lyapunov,

the ISMC system for single-pendulum-type overhead cranes with unmatched

uncertainties is of asymptotic stability. At last, the ISMC law can be deduced from

(3.28) and (3.37), written by

So far, the ISMC laws for nominal and uncertain cranes have been completed.

Compare the two control laws (3.33) and (3.39). Both the expressions almost look

the same. The sole difference is the amplitude of the signum function. In (3.33), is

employed to generate two kinds of dynamic equations so that it can be arbitrarily

small. However, * in (3.39) not only has the ability to generate two kinds of

dynamic equation, but also helps the control system resist unmatched certainties. *

in (3.39) should coincide with the inequality (3.38). Otherwise, the ISMC system

for overhead cranes has no guaranteed stability against unmatched certainties.

by ISMC

single-pendulum-type overhead crane systems, some simulation results are dis-

played and some analyses are presented as well. For the purpose of comparison,

physical parameters of the overhead crane system and the initial and desired states

are kept unchanged from Table 3.1. Other controller parameters in (3.33) are

determined by = 10, = 0.01, C = [0.5 1.7 3 1]T and K = [1.2 1.7 6 2]T.

These controller parameters are tuned after trial and error. Some numerical simu-

lation results are demonstrated in Figs. 3.7 and 3.8, obtained by a Simulink model

of MATLAB in Appendix C.

The system performance of the single-pendulum-type nominal overhead crane

by the ISMC law is shown in Fig. 3.7, where the trolley position, the trolley

velocity, the payload angle, and the payload angular velocity are shown in

Fig. 3.7ad, respectively.

From Fig. 3.7a, b, the trolley arrives at the desired position at about 4 s. The

payload in Fig. 3.7c, d has no residual oscillations by the integral sliding mode

controller because there are no uncertainties in the nominal crane system. The

system performance indicates that the ISMC law can resist the single-pendulum

3.3 Integral Sliding Mode Control 83

Fig. 3.7 System performance by the ISMC method for nominal single-pendulum-type overhead

crane systems. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

motions very well if the crane model is accurate enough. However, an accurate

dynamic model is hard to obtain. Many uncertainties exist in a real crane system. To

make the designed ISMC law practical, it is meaningful to test the system per-

formance in the presence of uncertainties.

The control performance of the closed-loop system is demonstrated in Fig. 3.8,

where the control input and the integral sliding surface are located in Fig. 3.8a, b,

respectively. To accelerate the trolley as fast as possible, the driven force f in

Fig. 3.8a is applied to the trolley as largely as possible at the outset. The trolley

moves toward the desired position but the payload has an angular deviation because

Fig. 3.8 Control performance by the ISMC method for nominal single-pendulum-type overhead

crane systems. a Control input; b Integral sliding surface

84 3 Overhead Crane Control by Sliding Mode Methods

of its inertia. Then, the driven force f decreases and reverses its direction against the

angular deviation. Meanwhile, the trolley decreases its velocity till the control task

is achieved.

From Fig. 3.8b, the ISMC system for the nominal crane enters its integral sliding

mode at t = 0 s. Thereafter, the state trajectories keep sliding on the integral sliding

surface and converge to the origin.

Cranes by ISMC

Recall the crane model with unmatched uncertainties (2.19). In the model, both the

uncertain terms 1(x, u) and 2(x, u) are determined by 0.1 [12 rand()], where

rand() is a MATLAB command to generate a uniformly distributed pseudorandom

number on the open interval (0, 1). For the purpose of comparison, the parameter

vectors C and K of the ISMC sliding surface are kept unchanged from the ISMC

system for the nominal overhead crane. * = = 10. From (3.38), * should

coincide with the inequality (3.38). According to the parameter tuning, ||C|| = 3.

Further, ||1(x, u) || = ||2(x, u) || = 0.1. Consequently, * = 0.6 is set to guarantee the

asymptotic stability of the ISMC system for the crane in the presence of uncer-

tainties. Simulation results are shown in Figs. 3.9 and 3.10.

The Simulink model of MATLAB to plot Figs. 3.9 and 3.10 is very similar to

that of plotting Figs. 3.7 and 3.8. Figure 3.9 shows the system performance by the

ISMC method where the trolley position, the trolley velocity, the payload angle,

and the payload angular velocity are shown in Fig. 3.9ad, respectively. From

Fig. 3.9, the payload has some residual oscillations because of the existence of

unmatched uncertainties although the crane can arrive at the desired position at

about 4 s. The maximum angular deviation is about 0.12 rad. Such a deviation is

small enough in practice. Compared with the zeroth residual oscillations in Fig. 3.7,

some slight oscillations in Fig. 3.9 exist in the crane system because of the effects of

unmatched uncertainties. Since it is hard to accurately model the uncertainties,

Fig. 3.9 indicates that some slight oscillations of the payload are inevitable in a real

crane system.

Figure 3.10 illustrates the control performance by the ISMC method, where the

control input and the sliding surface are shown in Fig. 3.10a, b, respectively. From

Fig. 3.10a, the control input slightly jumps back and forth to resist the adverse

effects of unmatched uncertainties. In Fig. 3.10b, although the sliding mode begins

at t = 0 s, the state trajectories deviate from the integral sliding surface because of

the unmatched uncertainties. Compared with the ideal integral sliding mode in

Fig. 3.8b, the integral sliding mode in Fig. 3.10b is not ideal because of the

existence of uncertainties. The uncertainties always tend to make the state trajec-

tories deviate from the sliding surface. Once the trajectories are out of the sliding

3.3 Integral Sliding Mode Control 85

Fig. 3.9 System performance by the ISMC method for the single-pendulum-type overhead crane

system with unmatched uncertainties. a Trolley position; b Trolley velocity; c Payload angle;

d Payload angular velocity

Fig. 3.10 Control performance by the ISMC method for the single-pendulum-type overhead crane

system with unmatched uncertainties. a Control input; b Sliding surface

mode, the ISMC law draws the trajectories back to the surface. The process con-

tinues till the end of the simulation such that the curve of the control input in

Fig. 3.10a does not smooth.

86 3 Overhead Crane Control by Sliding Mode Methods

In 1993, a new type of SMC, named terminal sliding mode (TSM), was invented by

Venkataraman and Gulati [7]. Evolved out of seminal work on terminal attractors,

the main idea of TSM control is evoked by the concept of terminal attractors which

guarantees nite-time convergence of the states. In contrast, the asymptotic stability

of the rst-order SMC is promised which leads to the convergence of the states to

the origin. But this convergence can just be guaranteed within innite time.

In a TSM control system, a nonlinear term is introduced in the sliding surface

design so that the manifold is formulated as an attractor. After the sliding surface is

intercepted, the trajectory is attracted within the manifold and converges to the

origin following a power rule. The TSM control has been widely applied to non-

linear process control, for example, rigid robot control [8], nonlinear spacecraft

attitude [9], continuous stirred tank reactor [10], etc. Several open questions still

remain on the mathematical treatment of the systems behavior at the origin since it

is non-Lipschitz. In Sect. 3.4, the TSM control method will be employed to deal

with the crane control problem.

head crane systems (2.16). The model can be rearranged by

Bu F

X 3:40

In (3.40), u is the control input, i.e., driven force applied to the trolley;

X = [x ]T, B = [b1(x), b2(x)]T and F = [f1(x), f2(x)]T, where x, b1(x), b2(x), f1(x),

and f2(x) are dened in (2.16).

To design the TSM control law for the type of cranes, a terminal sliding surface

should be dened at rst. The surface s has the form of

s cT1 Xe Pt cT2 X_ e Pt

_ 3:41

In (3.41), the vectors c1 and c2 2 <21 are constant; the error vector Xe is dened

by X Xd where X is the state vector and Xd is the desired state vector, and the

error vector can be written by Xe = [e1 e2]T; the vector P(t) is dened by P(t) = [p1

p2]T where p1 and p2 are assumed to satisfy p1 and p2: R+R, p1 and p2 2 C2[0,),

p1, p_ 1 , p2 and p_ 2 2 L. For a positive constant T > 0, pi is bounded as 0 t T and

pi 0 ei 0, p_ i 0 e_ i 0 and pi 0 ei 0 here i = 1, 2.

3.4 Terminal Sliding Mode Control 87

Select pi as

8

>

> 1 :: c02 ::

>

> e 0 e_ 0t e 0t 2

c00

e 0 c01

_

e 0 e 0 t3

>

>

i

i 2 i T 3

i T 2 i T i

>

>

>

> ::

< cT104 ei 0 cT113 e_ i 0 cT122 e0 t4

pi t i

>

> if 0tT

>

> c22 ::

>

> c20 c21

_

5 ei 0 T 4 e 0 3 e0 t ;

5

>

> T i T

>

>

i

: if t[T

0;

3:42

differentiable assumption. From the assumption, the values of pi(t), p_ i t and pi t

are zeroth at t = T such that

8

< c00 c10 c20 1

3c 4c10 5c20 0 3:43

: 00

6c00 12c10 20c20 0

8

< c01 c11 c21 1

3c 4c11 5c21 1 3:44

: 01

6c01 12c11 20c21 0

8

< c02 c12 c22 0:5

3c 4c12 5c22 1 3:45

: 02

6c00 12c12 20c22 1

Solve (3.43), (3.44), and (3.45) by the Gaussian elimination algorithm. These

parameters are obtained and they are listed by

8 8 8

< c00 10 < c01 6 < c00 1:5

c 15 c 8 c 1:5 3:46

: 10 : 11 : 10

c20 6 c21 3 c20 0:5

Substitute (3.46) into (3.41). Then, the terminal sliding surface can be drawn.

Adopt the equivalent-control-based SMC method. Dene the TSM control law as

where ueq is the equivalent control law and usw is the switching control law.

To obtain the expression of ueq, differentiating s in (3.41) with respect to time

t and substituting the crane model (3.40) into the derivative of s yield

s_ t c1 X_ e Pt

_ c2 X e Pt

v

c1 X_ e Pt

_ c2 X X d Pt

v 3:48

c1 X_ e Pt

_ c2 Bu F X d Pt

v

88 3 Overhead Crane Control by Sliding Mode Methods

When the crane states slide along the terminal sliding surface (3.41), s_ 0 exists

and the sole equivalent control law ueq is applied to the crane control system. From

(3.48), these linguistic descriptions are formulated by

c2 X

ueq c2 B1 c2 F c2 Pt d c1 X_ e Pt

_ 3:49

From the TSM control law (3.47), the switching control law is still kept

unknown. To obtain the whole TSM control law, the switching control law will be

deduced from the system stability analysis.

function is dened by

1

Vt s2 3:50

2

Differentiating V in (3.50) with respect to time t and substituting the crane model

(3.40), the terminal sliding surface (3.41), and the equivalent-control-based TSM

control law (3.49) into the derivative of V yield

V_ st_st

3:51

st c1 X_ e Pt

_ d Pt

c2 Bueq usw F X

In (3.49), c2 X

c2 Bueq c2 F c2 Pt d c1 X_ e Pt

_ 0 exists.

Substituting it into (3.51) yields

where both and are the positive constants. Then, the derivative of V in (3.52) can

be written as

V_ js gjsj\0

sense of Lyapunov. Finally, the TSM control law can be deduced from (3.49) and

(3.53), determined by

3.4 Terminal Sliding Mode Control 89

c2 X

u c2 B1 c2 F c2 Pt d c1 X_ e Pt

_ js g sgns 3:54

indicating that the stability of the TSM control system is kept unchanged if the

control law (3.54) is carried out by the crane system with matched uncertainties. To

test the effects of unmatched uncertainties on the system stability, the crane model

with unmatched uncertainties (2.20) is taken into considerations. Rearrange the

uncertain crane model (2.19). Equation (3.55) can be drawn.

Bu F F

X 3:55

K n1 x; u n2 x; uT

Differentiating V in (3.50) with respect to time t and substituting the crane model

with unmatched uncertainties (3.55), the terminal sliding surface (3.41), and the

equivalent-control-based TSM control law (3.47) and the equivalent control law

(3.49) into the derivative of V yield

Substitute (3.57) and (3.58) into (3.56). Then, the derivative of V in (3.56)

becomes

_

Vt js2 gjsj sc2 K\ js2 gjsj jjc2 Kjj1 s

\ js2 gjsj jjc2 jj1 jjKjj1 s\0

Since Vt 0 in (3.50), the crane control system on basis of the TSM control

law is asymptotically stable in the sense of Lyapunov. Finally, the TSM control law

for the crane system with unmatched certainties can be deduced from (3.49) and

(3.57), written by

c2 X

u c2 B1 c2 F c2 Pt d c1 X_ e Pt

_ j s g sgns 3:59

90 3 Overhead Crane Control by Sliding Mode Methods

single-pendulum-type overhead crane systems, some numerical simulation results

are displayed and some analyses will be presented as well.

For the purpose of comparison, physical parameters of the overhead crane

system and the initial and desired states are kept unchanged from Table 3.1. Other

controller parameters in (3.54) are determined by c1 = [1 20]T, c2 = [15 3.45]T,

T = 1.5, = 1, and = 0.04. Some numerical simulation results are demonstrated in

Figs. 3.11 and 3.12, obtained by a Simulink model of MATLAB in Appendix D.

The system performance of the overhead crane is displayed in Fig. 3.11, where

the trolley position, the trolley velocity, the payload angle, and the payload angular

velocity are shown in Fig. 3.11ad, respectively. From Fig. 3.11a, b, the trolley

arrives at the desired position at about 2 s. The payload in Fig. 3.7c, d has some

residual oscillations by the TSM controller, indicating that the payload slightly

sways back and forth around the downward position.

Figure 3.12 shows the control performance of the closed-loop crane control

system, where the control input and the sliding surface are located in Fig. 3.12a, b,

respectively. From Fig. 3.12a, the curve of the driven force f applied to the trolley

has the chattering phenomenon. From Fig. 3.12b, the state trajectories switch

Fig. 3.11 System performance by the TSM control method for nominal single-pendulum-type

cranes. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

3.4 Terminal Sliding Mode Control 91

Fig. 3.12 Control performance by the TSM control method for nominal single-pendulum-type

cranes. a Control input; b Sliding surface

around the terminal sliding surface because the nonlinear term P(t) exists in the

surface. Moreover, the sliding surface variable s jumps back and forth in the

dynamic process. Concerning the crane control based on TSM, the terminal

attractor in the sliding surface may deteriorate the chattering of the control input.

Cranes by TSM

Recall the crane model with unmatched uncertainties (2.19). In the model, both the

uncertain terms 1(x, u) and 2(x, u) are determined by 0.1 [12 rand()], where

rand() is a MATLAB command to generate a uniformly distributed pseudorandom

number on the open interval (0, 1). Simulation results are shown in Figs. 3.13 and

3.14. The Simulink model of MATLAB to plot Figs. 3.13 and 3.14 is very similar

to that of plotting Figs. 3.11 and 3.12.

For the purpose of comparison, the parameter vectors c1 and c2 of the terminal

sliding surface in Figs. 3.13 and 3.14 are kept unchanged from the TSM control

system for the nominal overhead crane. * = = 1. From (3.38), * = 2 to guarantee

the asymptotic stability of the control system for the uncertain crane because

jjc2 jj1 jjKjj1 15 0:1\ 2 in (3.58).

The trolley position, the trolley velocity, the payload angle, and the payload

angular velocity are located in Fig. 3.13ad, respectively. The curves in Fig. 3.13a,

c seem smooth. However, the curves in Fig. 3.13b, d slightly jump back and forth,

indicating that the chattering phenomenon indeed exists in the closed-loop control

system. The payload has slight residual oscillations because of the existence of

unmatched uncertainties. The maximum angular deviation is about 0.25 rad (15).

Such a deviation is small enough in practice.

The control input and the sliding surface are shown in Fig. 3.14a, b, respectively.

From Fig. 3.14a, the control input severely jumps back and forth to resist the

adverse effects of unmatched uncertainties. To overcome the chattering of the

92 3 Overhead Crane Control by Sliding Mode Methods

Fig. 3.13 System performance by the TSM control method for uncertain single-pendulum-type

cranes. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 3.14 Control performance by the TSM control method for uncertain single-pendulum-type

cranes. a Control input; b Sliding surface

control input, one possible method is to employ the saturation function instead of

the signum function in (3.59). The sliding surface curve is neither smooth nor

gradual in Fig. 3.14b. It looks random but bounded because of both the uncertain

terms. Compared with Fig. 3.12b, the system trajectories severely deviate from the

sliding mode in Fig. 3.14b.

3.5 Second-Order Sliding Mode Control 93

Mentioned in Sect. 3.1, the rst-order SMC is usually called the SMC. In spite of its

robustness properties, such a resulting controller has a specic disadvantage, i.e.,

chattering phenomenon. The drawback indicates high-frequency vibrations of the

controlled system, which degrades the system performance and may lead to

inherent instability.

Preserving the main advantages of the rst-order SMC, an approach, called

higher order SMC, has been proposed in order to reduce the chattering phenome-

non. Instead of influencing the rst sliding variable time derivative, the signum

function acts on its higher order time derivative. Compared to the rst-order SMC,

the chattering effect is removed to higher derivatives so that the higher order SMC

method can also achieve a better accuracy with respect to discrete sampling time.

The problem of higher order SMC is formulated through the differentiation of

the sliding variable and is equivalent to the nite-time stabilization of higher order

integrator chains. Theoretically, arbitrary order sliding mode controllers can be

developed. In Sect. 3.5, the second-order SMC method is taken into consideration

because of a trade-off between control accuracy and design complexity.

For the purpose of illustration, recall the crane mode (3.40). To develop the

second-order SMC law for such a single-pendulum-type overhead crane system, a

second-order sliding surface for the control design [11] should be dened by

Zt

s a X_ e bT Xe cT

T

Xe sds 3:60

0

X Xd, where X = [x ]T is the state vector and Xd = [xd d]T is the desired vector

composed of the desired trolley position and the desired payload angle. Since the

sliding surface variable s covers the proportional, integral, and derivative of the

state vector X, it can be tread as a PID-type sliding surface.

Differentiating s in (3.60) with respect to time t yields

e bT X_ e cT Xe aT X

s_ aT X X

d bT X_ e cT Xe 3:61

94 3 Overhead Crane Control by Sliding Mode Methods

e bT X_ e cT Xe aT Bu F X

s_ aT X d bT X_ e cT Xe 3:62

_ aT Bu_ aT F_ aT X

s aT Bu d bT X X

d cT X_ e 3:63

_ aT Bu_ aT F_ aT X

s aT Bu d bT Bu F X

d cT X_ e 3:64

Let

where the scalar parameters , , and are the constants and they are positive.

Substitute (3.65) into (3.64). Then, (3.66) can be drawn.

_ aT Bu_ aT F_

ks j_s gsgns aT Bu

3:66

d bT Bu F X

aT X d cT X_ e

1 h

T : :

u_ aT B a B bT B u bT F aT F

3:67

cT X_ e ks j_s gsgns bT X

d aT X

d

equation. The nal control law can be obtained by solving the equation. The initial

condition in (3.67) is u(0) = 0 because there is no control input at t = 0.

To verify the stability of the crane control system under the second-order SMC law

(3.67), some theoretical analyses are presented in the sense of Lyapunov. Since the

second derivative of the sliding surface variable exists in the second-order SMC

method, its Lyapunov candidate cannot only have the sole sliding surface variable.

Dene a novel Lyapunov candidate function as

1 1

V ks2 s_ 2 gjsj 3:68

2 2

3.5 Second-Order Sliding Mode Control 95

3:69

s_ ks s g sgns

V_ j_s2 3:70

From (3.68), V > 0 exists. Since the derivative of V is negative in (3.70), the

crane system (3.40) by the second-order SMC law (3.67) is of asymptotic stability.

The control law (3.67) can asymptotically stabilize nominal crane systems

(3.40). To test the effects of unmatched uncertainties on the system stability, the

crane model with unmatched uncertainties (3.55) is taken into considerations.

Concerning the second-order SMC law for crane systems in the presence of

unmatched uncertainties, dene the sliding surface as (3.60) and differentiating s in

(3.60) with respect to time t. Then, (3.61) can be drawn. Substituting (3.55) into

(3.61) yields

e bT X_ e cT Xe aT Bu F K X

s_ aT X d bT X_ e cT Xe 3:71

_ aT Bu_ aT F_ aT K

s aT Bu _ aT X

d bT X X

d cT X_ e 3:72

_ aT Bu_ aT F_ aT K

s aT Bu _ aT X

d bT Bu F K X

d cT X_ e

3:73

Let

where the scalar parameters , , , and are the constants and they are positive.

Rearrange (3.73) and (3.74). The second-order SMC law for

single-pendulum-type overhead cranes in the presence of unmatched uncertainties

has a form of

1 h

T : :

u_ aT B a B bT B u bT F aT F

3:75

cT X_ e ks j_s gsgns qsgn_s bT X

d aT X

d

96 3 Overhead Crane Control by Sliding Mode Methods

where is subject to

_ bT Kjj

q [ jjaT K 3:76

1

To verify the stability of the crane control system by the second-order SMC law

(3.67), dene a Lyapunov candidate function as (3.68), differentiate V with respect

to time t, and substitute (3.73) and (3.75) into the derivative of V. Then, (3.77) can

be drawn.

_ bT K

V_ s_ ks s gsgns s_ j_s qsgn_s aT K 3:77

V_ j_s2 qj_sj aT K _ bT K s_

3:78

_ bT Kjj j_sj\0

j_s2 qj_sj jjaT K 1

_

Since Vt 0 in (3.68) and V\0 in (3.78), the second-order SMC law (3.75)

can guarantee that the crane system subject to unmatched uncertainties is asymp-

totically stable in the sense of Lyapunov.

by Second-Order SMC

single-pendulum-type overhead crane systems, some numerical simulation results

are displayed and some analyses will be presented as well.

For the purpose of comparison, physical parameters of the overhead crane

system and the initial and desired states are kept unchanged from Table 3.1.

Controller parameters of the second-order SMC law in (3.67) are selected after trial

and error and they are determined by = [10 0.5]T, = [10 35]T, = [0.01 0.01]T,

= 1, = 1.9, and = 0.1, respectively. Some numerical simulation results are

demonstrated in Figs. 3.15 and 3.16, obtained by a Simulink model of MATLAB in

Appendix E.

The system performance of the overhead crane is displayed in Fig. 3.15, where

the trolley position, the trolley velocity, the payload angle, and the payload angular

velocity are shown in Fig. 3.15ad, respectively. From Fig. 3.15a, b, the trolley

arrives at the desired position at about 7 s. Compared with the rst-order SMC law,

the integral SMC law, and the terminal SMC law, the second-order SMC law

cannot make the crane system effective or productive because the trolley moves

slowly. However, the maximum angular deviation of the payload is just 0.02 rad

(about 1.15). Such an angular derivation is the smallest one among the four SMC

methods.

3.5 Second-Order Sliding Mode Control 97

Fig. 3.15 System performance by the second-order SMC method for nominal

single-pendulum-type cranes. a Trolley position; b Trolley velocity; c Payload angle; d Payload

angular velocity

Figure 3.16 shows the control performance of the closed-loop crane control

system, where the control input and the sliding surface are located in Fig. 3.16a, b,

respectively.

As mentioned, the purpose of the second-order SMC law is to reduce the

chattering phenomenon by covering the signum function in the twice derivative of

the sliding surface s. From Fig. 3.16a, the curve of the driven force f applied to the

Fig. 3.16 Control performance by the second-order SMC method for nominal single-

pendulum-typecranes. a Control input; b Sliding surface

98 3 Overhead Crane Control by Sliding Mode Methods

trolley almost has no chattering phenomenon and the design purpose has been

achieved. On the other hand, the maximum control input is just 0.6 N, which is also

the smallest one among the four SMC methods. The fact means that only a small

rated power driver can be employed to achieve the control task in practice. From

Fig. 3.12b, the state trajectories arrive at the second-order sliding surface at 7 s, and

then the system trajectories keep sliding on the surface till the end of the dynamic

process.

SMC

Recall the crane model with unmatched uncertainties (2.19). In the model, both the

uncertain terms 1(x, u) and 2(x, u) are determined by 0.1 [12 rand()], where

rand() is a MATLAB command to generate a uniformly distributed pseudorandom

number on the open interval (0, 1). Due to the existence of uncertainties, the control

law again unmatched uncertainties (3.75) is adopted

Compared with (3.67), one more term exists in (3.75) and the term is very

important because it is related to the system stability. For the purpose of compar-

ison, the controller parameters , , , , , and are kept unchanged from the

second-order SMC law (3.67) for the nominal overhead crane. According to (3.76),

= 2.5 are selected to guarantee the asymptotic stability of the control system for

the uncertain crane because of jjaT K _ bT Kjj \2:5. Some numerical simulation

1

results are shown in Figs. 3.17 and 3.18. The Simulink model of MATLAB to plot

Figs. 3.17 and 3.18 is very similar to that of plotting Figs. 3.15 and 3.16.

The trolley position, the trolley velocity, the payload angle, and the payload

angular velocity are located in Fig. 3.17ad, respectively. The curve in Fig. 3.17a

seems smooth. However, the curves in Fig. 3.13bd slightly jump back and forth,

indicating that the chattering phenomenon indeed exists in the closed-loop control

system. The payload has slight residual oscillations because of the existence of

unmatched uncertainties. The maximum angular deviation is about 0.02 rad (1.15).

Such a deviation is small enough in practice.

From Fig. 3.17a, the trolley arrives at the desired position at about 20 s. Such a

slow transport denitely reduces the throughput of the crane system in reality.

However, the payload endures the minimum angular deviation. The contradiction

between the trolley positioning and the payload swing is completely illustrated by

the second-order SMC method. Such a method is a good technique to resist the

payload oscillations, but it fails to a highly effective transport.

The control input and the sliding surface are displayed in Fig. 3.18a, b,

respectively. From Fig. 3.18a, the control input jumps back and forth to resist the

adverse effects of unmatched uncertainties. But the chattering is not very severe

because only a small control input is needed to make the trolley slowly move.

3.5 Second-Order Sliding Mode Control 99

Fig. 3.17 System performance by the second-order SMC method for uncertain

single-pendulum-type cranes. a Trolley position; b Trolley velocity; c Payload angle; d Payload

angular velocity

Fig. 3.18 Control performance by the second-order SMC method for uncertain

single-pendulum-type cranes. a Control input; b Sliding surface

100 3 Overhead Crane Control by Sliding Mode Methods

Appendices

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 4;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 4;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 0;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

x0 = [0 0 0 0];

str = [];ts = [];

function sys=mdlDerivatives(t,x,u)

Appendices 101

%parameter

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);

B=(m*l*cos(x(3)));

C=(cos(x(3)));

sys(1)=x(2);

sys(2)=((u(1)+m*l*x(4)^2*sin(x(3)))*l+g*B*sin(x(3)))*inv(A*l-B*C);

sys(3)=x(4);

sys(4)=((u(1)+m*l*x(4)^2*sin(x(3)))*C+g*A*sin(x(3)))*inv(B*C-A*l);

function sys=mdlOutputs(t,x,u)

sys=x;

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 4;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

% parameter of system

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);

B=(m*l*cos(u(3)));

C=(cos(u(3)));

D=(m*l*sin(u(3)));

102 3 Overhead Crane Control by Sliding Mode Methods

%state error;

e1=(u(1))-1;

e2=u(2);

e3=u(3);

e4=u(4);

ita=0.05;

k=4;

c=[-3,-3,10.3,1];

s=c(1,1)*e1+c(1,2)*e2+c(1,3)*e3+c(1,4)*e4;

ds=ita*sign(s)+k*s;

f1=(D*(u(4))^2+C*D*g/l)/(A-B*C/l);

b1=1/(A-B*C/l);

f2=(D*C*(u(4))^2+A*g*sin(u(3)))/(B*C-A*l);

b2=C/(B*C-A*l);

con_law=-(c(1,1)*u(2)+c(1,2)*f1+c(1,3)*u(4)

+c(1,4)*f2+ds)/(c(1,2)*b1+c(1,4)*b2);

sys(1)=con_law;

sys(2)=s;

sys(3)=-(c(1,1)*u(2)+c(1,2)*f1+c(1,3)*u(4)+c(1,4)*f2)/(c(1,2)*b1+c(1,4)*b2);

sys(4)=-ds/(c(1,2)*b1+c(1,4)*b2);

figure(1)

subplot(2,2,1); %displacement of trolley

plot(tout,simout(:,1));hold on;

xlabel({'Time(s)';'(a)'});

ylabel('x(m)');

subplot(2,2,2);%velocity of trolley

plot(tout,simout(:,2));hold on;

xlabel({'Time(s)';'(b)'});

ylabel('v(m/s)');

subplot(2,2,3);%theta

plot(tout,simout(:,3));hold on;

xlabel({'Time(s)';'(c)'});

ylabel('\theta(rad)');

subplot(2,2,4);%angular velocity

plot(tout,simout(:,4));hold on;

xlabel({'Time(s)';'(d)'});

ylabel('w(rad/s)');

Appendices 103

figure(2)

subplot(2,2,1)

plot(tout,simout1(:,1));hold on;

xlabel({'Time(s)';'(a)'});

ylabel('f(N)');

subplot(2,2,2);%velocity of trolley

plot(tout,simout1(:,2));hold on;

xlabel({'Time(s)';'(b)'});

ylabel('sliding surface s');

subplot(2,2,3);%theta

plot(tout,simout1(:,3));hold on;

xlabel({'Time(s)';'(c)'});

ylabel('Equivalent control');

subplot(2,2,4);%angular velocity

plot(tout,simout1(:,4));hold on;

xlabel({'Time(s)';'(d)'});

ylabel('Switching control');

104 3 Overhead Crane Control by Sliding Mode Methods

function[sys,x0,str,ts]=plant(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9},

sys=[];

otherwise

error(['Unhandled flag=',num2str(flag)]);

end

function[sys,x0,str,ts]=mdlInitializeSizes

sizes=simsizes;

sizes.NumContStates=6;

sizes.NumDiscStates=0;

sizes.NumOutputs=8;

sizes.NumInputs=1;

sizes.DirFeedthrough=1;

sizes.NumSampleTimes=0;

sys=simsizes(sizes);

x0=[0,0,0,0,0,0];

str=[];ts=[];

function sys=mdlDerivatives(t,x,u)

mt=50;mc=2;mh=10;l1=3;l2=0.3;b=0;g=9.81;

x_=x(1);

dx=x(2);

phi=x(3);

dphi=x(4);

theta=x(5);

dtheta=x(6);

tol=u(1);

q=[x_;phi;theta];

dq=[dx;dphi;dtheta];

U=[tol;0;0];

M=[mt+mh+mc -(mh+mc)*l1*cos(phi) -mc*l2*cos(theta);...

-(mh+mc)*l1*cos(phi) (mh+mc)*l1^2 mc*l1*l2*cos(phi-theta);...

-mc*l2*cos(theta) mc*l1*l2*cos(phi-theta) mc*l2^2];

C=[b (mh+mc)*l1*sin(phi)*dphi mc*l2*sin(theta)*dtheta;...

0 0 mc*l1*l2*sin(phi-theta)*dtheta;...

0 -mc*l1*l2*sin(phi-theta)*dphi 0];

G=[0;(mh+mc)*g*l1*sin(phi);mc*g*l2*sin(theta)];

ddq=inv(M)*(U-G-C*dq);

ddx=ddq(1,1);

ddphi=ddq(2,1);

ddtheta=ddq(3,1);

sys(1)=x(2);

sys(2)=ddq(1,1);

Appendices 105

sys(3)=x(4);

sys(4)=ddq(2,1);

sys(5)=x(6);

sys(6)=ddq(3,1);

function sys=mdlOutputs(t,x,u)

mt=50;mc=2;mh=10;l1=3;l2=0.3;b=0;g=9.81;

x_=x(1);

dx=x(2);

phi=x(3);

dphi=x(4);

theta=x(5);

dtheta=x(6);

tol=u(1);

q=[x_;phi;theta];

dq=[dx;dphi;dtheta];

U=[tol;0;0];

M=[mt+mh+mc -(mh+mc)*l1*cos(phi) -mc*l2*cos(theta);...

-(mh+mc)*l1*cos(phi) (mh+mc)*l1^2 mc*l1*l2*cos(phi-theta);...

-mc*l2*cos(theta) mc*l1*l2*cos(phi-theta) mc*l2^2];

C=[b (mh+mc)*l1*sin(phi)*dphi mc*l2*sin(theta)*dtheta;...

0 0 mc*l1*l2*sin(phi-theta)*dtheta;...

0 -mc*l1*l2*sin(phi-theta)*dphi 0];

G=[0;(mh+mc)*g*l1*sin(phi);mc*g*l2*sin(theta)];

ddq=inv(M)*(U-G-C*dq);

ddx=ddq(1,1);

ddphi=ddq(2,1);

ddtheta=ddq(3,1);

sys(1)=x_;

sys(2)=dx;

sys(3)=phi;

sys(4)=dphi;

sys(5)=ddphi;

sys(6)=theta;

sys(7)=dtheta;

sys(8)=ddtheta;

function[sys,x0,str,ts]=Controller(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case {1,2,4,9},

sys=[];

case 3,

sys=mdlOutputs(t,x,u);

otherwise

error(['Unhandled flag=',num2str(flag)]);

end

function[sys,x0,str,ts]=mdlInitializeSizes

sizes=simsizes;

106 3 Overhead Crane Control by Sliding Mode Methods

sizes.NumContStates=0;

sizes.NumDiscStates=0;

sizes.NumOutputs=2;

sizes.NumInputs=8;

sizes.DirFeedthrough=1;

sizes.NumSampleTimes=0;

sys=simsizes(sizes);

x0=[];str=[];ts=[];

function sys=mdlOutputs(t,x,u)

x_=u(1); dx=u(2); phi=u(3); dphi=u(4);

ddphi=u(5); theta=u(6); dtheta=u(7); ddtheta=u(8);

mt=50;mc=2;mh=10;l1=3;l2=0.3;b=0;xd=4;g=9.81;

K=70;lambda=0.5;alpha=17;beta=-11;

xd=4;

e=x_-xd;

de=dx;

s=de+lambda*e+alpha*phi+beta*theta;

tol=-(mh+mc)*l1*cos(phi)*ddphi-mc*l2*cos(theta)*ddtheta+b*dx+...

(mh+mc)*l1*sin(phi)*(dphi)^2+mc*l2*sin(theta)*(dtheta)^2....

-(mt+mh+mc)*(lambda*dx+alpha*dphi+beta*dtheta)-K*sat(s);

sys(1)=tol;

sys(2)=s;

figure(1)

subplot(3,2,1); plot(x(:,1),x(:,2));hold on;

xlabel({'Time(s)';'(a)'}); ylabel('x(m)');

xlabel({'Time(s)';'(b)'}); ylabel('v (m/s)');

xlabel({'Time(s)';'(c)'}); ylabel('\theta_1 (rad)');

xlabel({'Time(s)';'(d)'}); ylabel('\omega_1 (rad/s)');

xlabel({'Time(s)';'(e)'}); ylabel('\theta_2 (rad)');

xlabel({'Time(s)';'(f)'}); ylabel('\omega_2 (rad/s)');

figure(2)

subplot(1,2,1),plot(u(:,1),u(:,2));hold on;

xlabel({'Time(s)';'(a)'}); ylabel('u (N)');

subplot(1,2,2),plot(s(:,1),s(:,2));hold on;

xlabel({'Time(s)';'(b)'}); ylabel('s');

Appendices 107

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 6;

sizes.NumInputs = 8;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

x0 = [];

str = [];

ts = [];

108 3 Overhead Crane Control by Sliding Mode Methods

function sys=mdlOutputs(t,x,u)

% parameter of system

g=9.81;

M=1;

m=0.8;

l=0.305;

a=(M+m);

b=(m*l*cos(u(3)));

c=(cos(u(3)));

d=(m*l*sin(u(3)));

%desired state

r=1;dr=0;ddr=0;

theta=0;dtheta=0;ddtheta=0;

R=[r;dr;theta;dtheta];

dR=[dr;ddr;dtheta;ddtheta];

%stste error

X=[u(1);u(2);u(3);u(4)];

e=X-R;

B=[0;1/(a-b*c/l);0;c/(b*c-a*l)];

f1=(a*(u(4))^2+c*d*g/l)/(a-b*c/l);

f2=(d*c*(u(4))^2+a*g*sin(u(3)))/(b*c-a*l);

F=[0;f1;0;f2];

%parameter of controller

K=[1.2 1.7 -6 -2];

C=[0.5 1.7 -3 -1];

int=(A-B*K)*e;

E=[u(5);u(6);u(7);u(8)];

s=C*(e-E);

ita=0.01;k=10;

us=inv(C*B)*(-ita*sign(s)-k*s-C*B*K*e-C*F);

sys(1)=us;

sys(2)=int(1);

sys(3)=int(2);

sys(4)=int(3);

sys(5)=int(4);

sys(6)=s;

figure(1)

subplot(2,2,1); %displacement of trolley

plot(tout,simout(:,1));hold on;

xlabel({'Time(s)';'(a)'});ylabel('x(m)');

subplot(2,2,2);%velocity of trolley

plot(tout,simout(:,2));hold on;

xlabel({'Time(s)';'(b)'});ylabel('v(m/s)');

Appendices 109

subplot(2,2,3);%theta

plot(tout,simout(:,3));hold on;

xlabel({'Time(s)';'(c)'});ylabel('\theta(rad)');

subplot(2,2,4);%angular velocity

plot(tout,simout(:,4));hold on;

xlabel({'Time(s)';'(d)'});ylabel('\omega (rad/s)');

subplot(1,2,1),plot(tout,simout1);hold on;

xlabel({'Time(s)';'(a)'});ylabel('u(N)');

subplot(1,2,2),

plot(tout,simout2);hold on;

xlabel({'Time(s)';'(b)'});ylabel('s');

110 3 Overhead Crane Control by Sliding Mode Methods

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 2;

sizes.NumInputs = 8;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

persistent e10 de10 dde10 e20 de20 dde20

% parameter of system

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);

B=(m*l*cos(u(3)));

C=(cos(u(3)));

D=l;

E=(m*l*sin(u(3)));

T=1.5;

% parameter of controller

c1=[-1 20];c2=[-15 -3.45];

K=0.04;

%e=x-xd;

e1=(u(1))-1;

de1=u(2);

dde1=u(6);

e2=u(3);

de2=u(4);

dde2=u(8);

e=[e1;e2];

if t==0

Appendices 111

e10=(u(1))-1;

de10=u(2);

dde10=u(6);

e20=(u(3));

de20=u(4);

dde20=u(8);

end

if t<=T

A0=-10/T^3*e10-6/T^2*de10-1.5/T*dde10;

A1=15/T^4*e10+8/T^3*de10+1.5/T^2*dde10;

A2=-6/T^5*e10-3/T^4*de10-0.5/T^3*dde10;

B0=-10/T^3*e20-6/T^2*de20-1.5/T*dde20;

B1=15/T^4*e20+8/T^3*de20+1.5/T^2*dde20;

B2=-6/T^5*e20-3/T^4*de20-0.5/T^3*dde20;

p1=e10+de10*t+1/2*dde10*t^2+A0*t^3+A1*t^4+A2*t^5;

dp1=de10+dde10*t+A0*t^2*3+A1*t^3*4+A2*t^4*5;

ddp1=dde10+A0*t*6+A1*t^2*12+A2*t^3*20;

p2=e20+de20*t+1/2*dde20*t^2+B0*t^3+B1*t^4+B2*t^5;

dp2=de20+dde20*t+B0*t^2*3+B1*t^3*4+B2*t^4*5;

ddp2=dde20+B0*t*6+B1*t^2*12+B2*t^3*20;

else

p1=0;dp1=0;ddp1=0;p2=0;dp2=0;ddp2=0;

end

s=c1*([e1;e2]-[p1;p2])+c2*([de1;de2]-[dp1;dp2]);

BX=[1/(A-B*C/D);C/(B*C-A*D)];

FX=[(E*(u(3))^2+m*g*sin(u(3))*C)/(A-

B*C/D);(E*(u(3))^2*C+A*g*sin(u(3)))/(B*C-A*D)];

con_law=-inv(c2*BX)*(c2*FX-c2*[ddp1;ddp2]+c1*[de1-dp1;de2-

dp2]+K*sign(s));

sys(1)=con_law;

sys(2)=s;

figure(1)

subplot(2,2,1); %displacement of trolley

plot(t,simout(:,1));hold on;

xlabel({'Time(s)';'(a)'});ylabel('x(m)');

subplot(2,2,2);%velocity of trolley

plot(t,simout(:,2));hold on;

xlabel({'Time(s)';'(b)'});ylabel('v(m/s)');

subplot(2,2,3);%theta

plot(t,simout(:,3));hold on;

xlabel({'Time(s)';'(c)'});ylabel('\theta(rad)');

subplot(2,2,4);%angular velocity

plot(t,simout(:,4));hold on;

xlabel({'Time(s)';'(d)'});ylabel('w(rad/s)');

figure(2) %control force

subplot(1,2,1);plot(t,simout1(:,1));hold on;

xlabel({'Time(s)';'(a)'});ylabel('u(N)');

xlabel({'Time(s)';'(b)'});ylabel('s');

112 3 Overhead Crane Control by Sliding Mode Methods

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 4;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 8;

sizes.NumInputs = 2;

sizes.DirFeedthrough = 0;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

Appendices 113

function sys=mdlDerivatives(t,x,u)

%parameter

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);B=(m*l*cos(x(3)));C=(cos(x(3)));

sys(1)=x(2);

sys(2)=((u(1)+m*l*x(4)^2*sin(x(3)))*l+g*B*sin(x(3)))*inv(A*l-B*C);

sys(3)=x(4);

sys(4)=((u(1)+m*l*x(4)^2*sin(x(3)))*C+g*A*sin(x(3)))*inv(B*C-A*l);

function sys=mdlOutputs(t,x,u)

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);B=(m*l*cos(x(3)));C=(cos(x(3)));D=(m*l*sin(x(3)));

f1=(D*(x(4))^2+C*D*g/l)/(A-B*C/l);

b1=1/(A-B*C/l);

f2=(D*C*(x(4))^2+A*g*sin(x(3)))/(B*C-A*l);

b2=C/(B*C-A*l);

sys(1)=x(1);sys(2)=x(2);sys(3)=x(3);sys(4)=x(4);sys(5)=b1;

sys(6)=b2;sys(7)=f1;sys(8)=f2;

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 3;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 2;

sizes.NumInputs = 10;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 1; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlDerivatives(t,x,u)

114 3 Overhead Crane Control by Sliding Mode Methods

%state error;

e1=u(1)-1;e2=u(2);

e3=u(3);e4=u(4);

e=[e1;e3];de=[e2;e4];

s=alpha*de+beta*e+gama*[x(1);x(2)];

g=9.81;M=1;m=0.8;l=0.305;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=(m*l*sin(u(3)));

f1=(D*(u(4))^2+C*D*g/l)/(A-B*C/l);

b1=1/(A-B*C/l);

f2=(D*C*(u(4))^2+A*g*sin(u(3)))/(B*C-A*l);

b2=C/(B*C-A*l);

lamda=1;k=1.9;ita=0.1;

du=-inv(alpha*[b1;b2])*(lamda*s+(alpha*[u(5);u(6)]

+beta*[b1;b2])*x(3)+alpha*[u(7);u(8)]...

-alpha*[0;0]+beta*[f1;f2]-beta*[0;0]+gama*de+k*u(10)+ita*sign(s));

sys(1)=e1;

sys(2)=e3;

sys(3)=du;

function sys=mdlOutputs(t,x,u)

%state error;

e1=u(1)-1;e2=u(2);

e3=u(3);e4=u(4);

e=[e1;e3];de=[e2;e4];

s=alpha*de+beta*e+gama*[x(1);x(2)];

con_law=x(3);

sys(1)=con_law;

sys(2)=s;

figure(1)

subplot(2,2,1); %displacement of trolley

plot(t,simout(:,1));hold on;xlabel({'Time(s)';'(a)'});ylabel('x(m)');

subplot(2,2,2);%velocity of trolley

plot(t,simout(:,2));hold on;xlabel({'Time(s)';'(b)'});ylabel('v(m/s)');

subplot(2,2,3);%theta

plot(t,simout(:,3));hold on;xlabel({'Time(s)';'(c)'});ylabel('\theta(rad)');

subplot(2,2,4);%angular velocity

plot(t,simout(:,4));hold on;xlabel({'Time(s)';'(d)'});ylabel('w(rad/s)');

subplot(1,2,1);plot(t,simout1(:,1));hold on;

xlabel({'Time(s)';'(a)'});ylabel('f(N)');

plot(t,simout1(:,2));hold on;xlabel({'Time(s)';'(b)'});ylabel('s');

References 115

References

1. Abdel-Rahman EM, Nayfeh AH, Masoud ZN (2003) Dynamics and control of cranes: a

review. J Vib Control 9(7):863908

2. Liu D, Guo W (2013) Nonlinear controller design for the underactuated crane system. Int J

Control Autom 6(6):93104

3. Utkin VI (1992) Sliding modes in control and optimization. Springer, Berlin

4. Wang W, Yi J, Zhao D, Liu D (2004) Design of a stable sliding-mode controller for a class of

second-order underactuated systems. IEE Proc Control Theory Appl 151(6):683690

5. Tuan LA, Lee SG (2013) Sliding mode controls of double-pendulum crane systems. J Mech

Sci Technol 27(6):18631873

6. Utkin V, Shi J (1996) Integral sliding mode in systems operating under uncertainty conditions.

In: Proceedings of 35th IEEE conference on decision and control, Kobe, Japan, pp 45914596

7. Venkataraman S, Gulati S (1993) Control of nonlinear systems using terminal sliding modes.

J Dyn Syst Meas Control Trans ASME 115(3):554560

8. Man Z, Paplinski AP, Wu HR (1994) A robust MIMO terminal sliding mode control scheme

for rigid robotic manipulators. IEEE Trans Autom Control 39(12):24642469

9. Song ZK, Li HX, Sun KB (2014) Finite-time control for nonlinear spacecraft attitude based on

terminal sliding mode technique. ISA Trans 53(1):117124

10. Zhao DY, Zhu QM, Dubbeldam J (2015) Terminal sliding mode control for continuous stirred

tank reactor. Chem Eng Res Des 94:266274

11. Chiang HK, Fang CC, Lin WB, Chen GW (2011) Second-order sliding mode control for a

magnetic levitation system. In: Proceedings of 8th Asian control conference, Kaohsiung,

Taiwan, pp 602607

Chapter 4

Overhead Crane Control by Hierarchical

Sliding Mode

several design methods. At rst, this chapter introduces these basic HSMC meth-

ods, i.e., aggregated SMC, incremental SMC, and combining SMC. Then, adaptive

control based on hierarchical sliding surfaces is taken into considerations. Fort

purpose of illustration, an overhead crane is adopted as benchmark and each control

method is carried out by the transport control problem of the crane. In addition, the

HSMC design is also extended for double-pendulum-type overhead cranes. This

chapter proceeds with source codes of all the simulations.

Keywords Overhead crane Hierarchical sliding surfaces Aggregated SMC

Incremental SMC

Combining SMC and adaptive control based hierarchical

sliding surfaces Transport control

which the items are represented as being above, below, or at the same level as

one another. A hierarchical control system is a form of control systems in which a

set of devices and governing software are arranged in a hierarchical tree.

Pointed out by Saridis [1], the hierarchical method consists of a three-layer

control of increasing intelligence and decreasing precision. The lowest level

consists of several controllers designed for effective control with existing hardware

using an approximation theory of optimal control. The next level is that of a

coordinator which utilizes new computer architectures to effectively control the

overall hardware system. The highest level is the organizer which supervises the

performance of the overall system. Both highest levels are computer implemented

and the research involved is in developing the appropriate architecture and software

to accommodate others. The lowest level, aimed for end-point control tasks, is

dominated by typical hardware control methods.

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_4

118 4 Overhead Crane Control by Hierarchical Sliding Mode

What is the relationship between hierarchical sliding mode control (HSMC) and

hierarchical control system? Concerning the methodology of HSMC [2, 3], the

hierarchy means the hierarchical structure of the sliding surfaces instead of the

hierarchy of the SMC system. According to the hierarchical theory of control

systems [1], the HSMC method investigates the sliding mode controller design.

A hierarchical sliding mode controller is located at the lowest level, which does not

concern the two higher levels. Briefly, the HSMC method focuses on the hierar-

chical structure of the sliding surfaces and designs the control law on basis of the

hierarchical sliding surfaces.

Intuitively, a sliding surface covers several state variables. A rst-order sliding

surface is constructed by linear combination of the state variables. However, each

state variable plays a unique role in the system performance. These state variables

are not equal to each other and they have different degrees of importance. Some

may contribute more to the system performance than others. The rst-order sliding

surface weights each state variable by its coefcient. Another way to describe the

degree of importance of each state is by structure design of sliding surfaces. This is

our motivation to develop the methodology of HSMC.

To develop a diversity of the hierarchical sliding-surface structures for crane

control, a crane dynamic model should be taken into considerations. Recall the state

space model of single-pendulum-type overhead cranes (2.16). There are four state

variables in (2.16) and they consist of a state vector. In Chap. 3, the state vector is

directly employed for the control designs of several typical sliding mode methods.

These design methods treat the four state variables as a whole such that the sliding

surfaces have a single-layer structure.

On the other hand, the four state variables can arbitrarily combine to generate

sliding surfaces. Different sequences of combination can result in different types of

hierarchical structures. So far, there are three typical types of hierarchical structures

of sliding surfaces, i.e., aggregated hierarchical sliding surfaces, incremental hier-

archical sliding surfaces, and combining hierarchical sliding surfaces, which will be

introduced in Sects. 4.2, 4.3 and 4.4, respectively. Besides the typical hierarchical

structures, adaptive control design based on hierarchical sliding surfaces is also

investigated in this chapter.

Recall the crane structure in Fig. 2.1. The single-pendulum-type overhead crane is

composed of two subsystems, i.e., trolley and payload. Further, recall the system

state equations (2.16). There are four state variables in (2.16), where each sub-

system is described by two state variables. As a result, a novel type of sliding

surface structure can be constructed according to the mechanical structure of the

type of cranes.

The basic idea behind the novel structure is as follows [3]. Two sliding surfaces

can be designed for the two subsystems at rst. Then the two surfaces can be

4.2 Aggregated HSMC 119

novel structure is entitled aggregated sliding surfaces. Consider the traditional

rst-order SMC. There is only a single-layer sliding surface. Compared with the

traditional structure, the novel structure of sliding surfaces is of hierarchy.

Further, consider the four state variables of the crane. The sliding surface of each

subsystem contains two state variables. The higher sliding surface is constructed by

the two subsystem sliding surfaces. Apparently, such an aggregated structure indi-

cates that there are four state variables in the higher sliding surface. Although there

are four state variables in the single-layer sliding surface of the traditional rst-order

SMC, the aggregated structure is not a simple combination of the four state variables.

Consider the equivalent-control-based design of the traditional rst-order SMC,

there are two parts in the SMC law, i.e., equivalent control law and switching

control law. The design is universal and feasible but it fails to exhibit the physical

nature of single-pendulum-type overhead cranes. Such design cannot answer the

question How does the control input affect the motions of trolley and payload?

In contrast to the traditional rst-order SMC, the main improvement of the

aggregated HSMC is its control design. The HSMC design on basis of the aggre-

gated sliding-surface structure considers the sliding mode of each subsystem on

each subsystem sliding surface and constructs the HSMC law to guarantee the

stability of the hierarchical sliding surfaces. Although it is not as universal as the

traditional rst-order SMC, the HSMC design exhibit how the control function

affect the motions of the trolley and payload. To illustrate and verify the aggregated

HSMC for overhead cranes, the control design, the stability analysis, and the

simulation results will be proposed.

Recall the crane model (2.16). Design the sliding surfaces of the trolley and payload

subsystems as

s 1 c1 x1 x2 4:1

s 2 c2 x3 x4 4:2

Here c1 and c2 are positive constants in order to have the stability of each

subsystem. According to the designed hierarchical structure, both the subsystem

sliding surfaces (4.1) and (4.2) are located at the rst layer. To construct the higher

lay sliding surface, aggregate the two sliding surfaces and design the second layer

sliding surface as

S as1 s2 4:3

120 4 Overhead Crane Control by Hierarchical Sliding Mode

structure of the aggregated

sliding surfaces

time-varying parameter. To demonstrate the aggregated HSMC design, is treated

as a constant here.

So far, the hierarchical structure of the two-layer sliding surfaces has been

constructed by capturing the physical nature of overhead cranes. Figure 4.1 illus-

trates such a novel hierarchical structure of sliding surfaces.

At the rst glance, the aggregated sliding surfaces look like a simple combi-

nation of the system state variables. In fact, such a combination raises some novel

control problems, i.e., how to design the aggregated HSMC law and how to

guarantee the stability analysis of each sliding surface.

Concerning the control design, the equivalent-control-based SMC law on basis

of the single lay sliding surface includes two parts: switching control law and

equivalent control law. How to design the equivalent-control-based aggregated

HSMC remains problematic. To attack the issue, the aggregated HSMC law is

dened by

where ueq1 and ueq2 are the equivalent control laws of the two subsystems on their

private rst-layer sliding surfaces; usw is the switching control law. According to

the hierarchical structure in Fig. 4.1, the switching control law should not only

make the closed-loop control system asymptotically stable, but also have to guar-

antee that the sliding mode of the second-layer sliding surface is reachable.

Concerning the stability analysis, the SMC law of the single-layer sliding surface

is drawn from the reachability condition of SMC such that the SMC law can

guarantee the system stability. However, there are two novel variables in the

aggregated HSMC system, i.e., the rst-layer sliding surface variables, s1 and s2. As

a result, the HSMC law has to stabilize the two variables by the design of the

switching control law usw.

Recall the crane model (2.16), where the two subsystems are described by

x_ 1 x2

4:5

x_ 2 f1 x b1 xu

4.2 Aggregated HSMC 121

and

x_ 3 x4

4:6

x_ 4 f2 x b2 xu

Adopt the equivalent-control-based SMC design. From (4.1) and (4.2), the

equivalent control laws of the two subsystems will be applied to the two subsystems

when the sliding modes of the two subsystems take place. To obtain the equivalent

control laws of the two subsystems, differentiating s1 and s2 with respect to time t,

substituting the subsystem model (4.5) into the derivatives of s1 and substituting the

subsystems mode (4.6) into the derivatives of s2 yield

c1 x2 f1 x

ueq1 4:7

b1 x

and

c2 x4 f2 x

ueq2 4:8

b2 x

Compared with the aggregated HSMC law (4.4), ueq1 and ueq2 have been drawn

in (4.7) and (4.8), respectively. The last term usw will be deduced from the system

analysis to make the closed-loop control system and the two rst-layer sliding

surface variables asymptotically stable.

design the hierarchical sliding surfaces (4.1), (4.2), and (4.3), adopt the aggregated

HSMC law (4.4), and dene the equivalent control laws of the two systems (4.7)

and (4.8). Then, the second-layer sliding surface S is of asymptotic stability if the

switching control law in (4.4) is dened by

usw 4:9

ab1 x b2 x

Proof According to the Lyapunovs stability scheme, a Lyapunov function can-

didate can be dened by

Vt S2 =2 4:10

122 4 Overhead Crane Control by Hierarchical Sliding Mode

where S is the second-layer sliding surface variables. From (4.10), the motivation of

the HSMC law is to rst guarantee the stability the second-layer sliding surface.

Differentiating V with respect to time t in (4.10) and substituting the expression

of the second-layer sliding surface (4.3) into the derivative of V yield

_

Vt Sa_s1 s_ 2 4:11

time-varying one in the adaptive law design based on the aggregated hierarchical

sliding surfaces. Further, consider the expressions of the two rst-layer sliding

surfaces (4.1) and (4.2). Then, the derivative of V can be written by

_

Vt Sac1 x_ 1 x_ 2 c2 x_ 3 x_ 4 4:12

Substituting the subsystem models (4.5) and (4.6) into (4.12) yields

_

Vt Sac1 x2 f1 x b1 xu c2 x4 f2 x b2 xu 4:13

Consider the aggregated HSMC law (4.4) and the equivalent control laws at the

rst-layer sliding surfaces (4.7) and (4.8). Substituting (4.4), (4.7), and (4.8) into

(4.13) yields

_

Vt Sfac1 x2 f x1 b1 x ueq1 ueq2 usw

c2 x4 f2 x b2 x ueq1 ueq2 usw g 4:14

Sab1 x ueq2 usw b2 x ueq1 usw

_

From (4.10), Vt 0. In the sense of Lyapunov, Vt\0 should exist in (4.14)

to make the crane control system asymptotically stable. As a result, (4.9) should be

_

dened to achieve the condition Vt\0. From (4.7), (4.8), and (4.9), the aggre-

gated HSMC law has the form of

u 4:15

ab1 x b2 x

_

Since Vt 0 in (4.10) and Vt\0 in (4.14), the second-layer sliding surface

S is of asymptotic stability in the sense of Lyapunov.

Theorem 4.2 Consider the single-pendulum-type overhead crane system (2.16),

design the hierarchical sliding surfaces (4.1), (4.2), and (4.3), adopt the aggregated

HSMC law (4.4). Then, the rst-layer sliding surfaces s1 and s2 are asymptotically

stable.

_

Proof According to Theorem 4.1, Vt\0. _

This fact indicates that SS\0, i.e., the

reachability condition of SMC is satised on the second-layer sliding surface and

the sliding mode of the second-layer sliding surface is reachable in the nite time tf.

4.2 Aggregated HSMC 123

Consequently, the time domain can be divided into two parts by the time point tf.

On the time interval [0, tf], the system state trajectory moves toward the

second-layer sliding surface S. on the subsequent time interval (tf, ), the system

state trajectory keeps sliding on the second-layer sliding surface and converges to

the origin as proven in Theorem 4.1.

To check the stabilities of s1 and s2 in [0, tf], dene a truncated function as

1 t tf

ftf t 4:16

0 t [ tf

where i = 1, 2.

Equations (4.17) and (4.18) mean the rst-layer sliding surface variables s1 and

s2 are bounded on the closed interval [0, tf] and both of them can converge to the

second-layer sliding surface when the sliding mode is reached at tf. On the sub-

sequent open interval (tf, ), the system trajectory maintains on the second-layer

sliding surface S and the closed-loop crane control system becomes autonomous.

_ 0. Dene a positively invariant and compact set

From (4.14), Vt

Sc S 2 R2 jV_ 0 4:19

Further, dene

S S 2 SjV_ 0 4:20

invariant set inside S as t in S \ Sc . To calculate the largest invariant set,

S \ Sc can be rewritten as

S c \ S Sc \ S 0 S_ 0 4:21

asymptotically stable. The fact indicates the phase trajectory of the second-layer

sliding surface S will enter the neighborhood of the coordinate origin constructed by

the axes s1 and s2 as t . Subsequently, each subsystem states will move on the

124 4 Overhead Crane Control by Hierarchical Sliding Mode

rst-layer sliding surface and toward its subsystem coordinate origin constructed by

the subsystem state variables such that (4.23) can be drawn.

s1 s_ 1 0

4:23

s2 s_ 2 0

As a result, the largest invariant set inside S \ Sc is just the coordinate originate

origin constructed by the sliding surface variables s1 and s2 rather than other points.

In light of LaSalles principle, both the rst-layer sliding surfaces s1 and s2 are of

asymptotic stability.

of the aggregated HSMC method for the crane system, some numerical simulation

results are demonstrated. Some physical parameters of the crane [4] are determined

in Table 4.1. The parameters of the two rst-layer sliding surfaces are selected as

c1 = 0.7 and c2 = 8.2. The parameters of the second-layer sliding surface is = 2.3.

The coefcients of the switching control law are determined by = 3 and = 0.1.

Some numerical simulation results are demonstrated in Figs. 4.2, 4.3, and 4.4,

obtained by a Simulink model of MATLAB in Appendix A.

The crane performance is illustrated in Fig. 4.2, where the trolley position, the

trolley velocity, the payload angle, and the payload angular velocity are displayed

in Fig. 4.2ad, respectively. From Fig. 4.2, the trolley can arrive at the origin from

the initial position at about 6 s. During the crane movement, the maximum payload

deviation is about 0.14 rad. Such a small deviation is good enough in practice to

increase crane effectiveness and throughout. From Fig. 4.2b, the trolley accelerates

as fast as possible to achieve the effective transport. But it decelerates at about 1.8 s

by the HSMC law to make the payload swing as small as possible. Displayed in

Fig. 4.2, the aggregated HSMC method can deal with the transport control problem

of the crane system well and the HSMC system has a good performance.

Trolley mass M (kg) 37.32

Payload mass m (kg) 5

Cable length L (m) 1.05

Acceleration of gravity g (m s2) 9.81

Initial state vector x0 [2 m 0 m s1 0 rad 0 rad s1]

Desired state vector xd [0 m 0 m s1 0 rad 0 rad s1]

4.2 Aggregated HSMC 125

Fig. 4.2 System performance by the aggregated SMC method for the overhead crane. a Trolley

position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 4.3 Control performance of the aggregated SMC method. a Control input u; b Subsystem

sliding surface s1 at the rst layer; c Subsystem sliding surface s2 at the rst layer; d Second-layer

sliding surface S

126 4 Overhead Crane Control by Hierarchical Sliding Mode

The control performance is displayed in Fig. 4.3, where the control input, the

subsystem sliding surface s1 at the rst layer, the subsystems sliding surface s2 at

the rst layer, and the aggregated sliding surface S at the second layer are shown in

Fig. 4.3ad, respectively.

From Fig. 4.3a, the control input has a chattering phenomenon. The aggregated

HSMC as a branch of SMC inherits the inner drawback of SMC as well. To

decrease the chattering, saturation function can be employed instead of signum

function in (4.15). In Fig. 4.3bd, all the hierarchical sliding surfaces are stable as

proven in Theorems 4.1 and 4.2. In Fig. 4.3d, the sliding mode of the aggregated

sliding surface at the second layer is reachable at about 2 s. Thereafter, the two

sliding surfaces at the rst layer tend to their subsystems origins along the two

subsystem sliding surfaces.

Although the two sliding surfaces at the rst layer tend to be stable in Fig. 4.3b,

c, the reachability of their sliding modes cannot be theoretically guaranteed.

Theorem 4.2 can just guarantee that the two subsystem sliding surfaces are of

asymptotic stability. However, only the second-layer sliding surface S is reachable

in nite time because the reachability condition of sliding mode is guaranteed in

Theorem 4.1.

The phase curves of the aggregated sliding surfaces are shown in Fig. 4.4, where

the subsystem sliding surface s1 at the rst layer, the subsystem sliding surface s2 at

the rst layer, and the second-layer sliding surface S are displayed in Fig. 4.4ac,

respectively.

Fig. 4.4 Phase portrait of the aggregated sliding surfaces. a Subsystem sliding surface s1 at the

rst layer; b Subsystem sliding surface s2 at the rst layer; c Second-layer sliding surface S

4.2 Aggregated HSMC 127

From Fig. 4.4a, b, the two sliding surface variables s1 and s2 are asymptotically

stable. In other words, the sliding modes of the two subsystem sliding surfaces are

reachable in innite time. In Fig. 4.4c, the phase trajectory of the second-layer

sliding surface tends to the sliding surface. The trajectory remains on the sliding

surface once the control system enters the sliding mode. Thereafter, the two sub-

systems tend to their subsystem origins along the subsystem sliding surfaces s1 and

s2. The three phase curves demonstrate the technical contents in Theorems 4.1 and

4.2.

The theoretical analyses and numerical simulation results show the aggregated

HSMC method is a possible choice to achieve the transport control problem of

single-pendulum-type overhead crane systems. The main contributions of the

aggregated HSMC method are (1) the aggregated hierarchical structure of sliding

surfaces is constructed according to the crane physical property; (2) the sliding

mode of the second layer sliding surface is reachable in nite time; (3) the stability

of the two subsystem sliding surfaces at the rst layer is guaranteed.

Recall the crane structure in Fig. 2.1 and the state Eq. (2.16). There are four state

variables to describe the crane system. As a result, a novel type of sliding surface

structure [5] can be constructed by increasing the number of variables to produce

the hierarchical structure of sliding surfaces. The basic idea behind the type of

incremental hierarchical structure [6, 7] is as follows.

Consider the crane system (2.16). Select arbitrary two state variables to construct

the rst-layer sliding surface. Then, increase one state variable to construct the

second-layer sliding surface with the 1st-layer sliding surface variable. This process

proceeds till all the system state variables are included. The incremental hierarchical

structure is developed by general increment of the system state variables. As the

crane model covers four state variables, the incremental sliding surfaces of the crane

control system have three layers, illustrated in Fig. 4.5.

Consider the aggregated hierarchical sliding surfaces in Sect. 4.2, which is

developed by capturing the cranes physical property. Each sliding surface on the

rst layer is designed for each subsystem. As a result, the aggregated HSMC can

only be employed for mechanical systems composed of several subsystems.

Compared with the aggregated sliding surfaces structure, the development of the

rst-layer sliding surface is dened by arbitrary two state variables in the crane

model, which does not depend on the cranes physical property. The incremental

hierarchical structure is achieved till all the system variables are covered by the

sliding surfaces. Thus, the incremental sliding surfaces structure can be applied to

mechanical systems that are not composed of subsystems.

Concerning the incremental sliding surfaces, two control problems rise . They

are similar to the aggregated HSMC. In the rst-order SMC design, its control

design can guarantee the stability of the traditional single-layer sliding surface. The

128 4 Overhead Crane Control by Hierarchical Sliding Mode

structure of the incremental

sliding surfaces

incremental sliding surfaces in Fig. 4.5 contain three layers. How to design a

control law on basis of the incremental sliding surfaces is one crucial issue of such a

HSMC law.

The other control problem is about the stability of the incremental sliding sur-

faces. There are three layers sliding surfaces in the incremental SMC-based crane

control system. It is also eager to know how to theoretically guarantee the stability

of all the sliding surfaces. Besides, the incremental hierarchical structure is uni-

versal because it does not depend on the physical property of cranes. Consider a

system with n state variables. Adopt the incremental sliding surfaces. n 1 layers

sliding surfaces exist. It is also a challenging problem to investigate the stability of

the n 1 layers sliding surfaces of the system with n state variables.

The rst step of the incremental HSMC design is to construct the incremental

structure of sliding surfaces. Recall the crane model (2.16). There are four state

variables in the model. As mentioned, arbitrary two state variables can be employed

to formulate the rst-layer sliding surface. Without loss of generality, the state

variables x1 and x2 in (2.16) are adopted such that the rst-layer sliding surface has

the form

s 1 c1 x1 x2 4:24

where c1 is a positive constant in order to have the stability of the rst-layer surface.

The second layer sliding surface s2 is constructed by the linear combination of

the rst-layer sliding surface variable s1 and one state variable. Without loss of

generality, x3 is picked up such that the second-layer sliding surface can be for-

mulated by

4.3 Incremental HSMC 129

s 2 c2 x3 s 1 4:25

where c2 is constant.

In (4.24), x2 is equal to the derivative of x1. From the viewpoint of stability, c1

should be a positive constant. In (4.25), there is no explicit mathematic function

between x3 and s1. Here c2 is just a constant. Similarly, the third-layer sliding

surface can be written as

s 3 c3 x4 s 2 4:26

surfaces has been built. The schematic is illustrated in Fig. 4.5.

Although the rst-layer sliding surface is constructed by the two state variables

of the trolley subsystem, it is assumed that the two state variables are arbitrarily

picked up according to their footnote numbers. Compared with the aggregated

HSMC design, the three sliding surface variables in (4.24), (4.25), and (4.26) have

no explicit physical signicance.

To achieve the transport control problem of the crane in Fig. 2.1, the incremental

HSMC law [3] is designed by

In (4.27), ueq is the equivalent control law and usw is the switching control law.

Equation (4.27) has the same expression as the equivalent-control-based SMC law

on basis of the traditional single-layer sliding surface. Compared to the

equivalent-control-based rst-order SMC design, Eq. (4.27) based on the incre-

mental sliding surfaces raises several novel problems, such as: How to design the

equivalent control law among the multiple-layer hierarchical sliding surfaces? How

to guarantee the stability of the multiple-layer hierarchical sliding surfaces?

To attack the issue of the equivalent control design in (4.27), the Lyapunov

function candidate is dened by

1

Vt s23 4:28

2

(4.28) means the control law (4.27) is deduced by making the last-layer sliding

surface asymptotically stable. Differentiating V in (4.28) with respect to time

t yields

dV dV ds3 d(c3 x4 s2

s3 s_ 3 s3 4:29

dt ds3 dt dt

Substituting (2.16), (4.24), (4.25), (4.26), and (4.27) into (4.29) yields

130 4 Overhead Crane Control by Hierarchical Sliding Mode

dV

s3 c3 f2 b2 u c2 x_ 3 s_ 1

dt

s3 c3 f2 b2 u c2 x4 c1 x_ 1 x_ 2 4:30

s3 c3 f2 b2 u c2 x4 c1 x2 f1 b1 u

s3 c3 f2 c2 x4 c1 x2 f1 c3 b2 b1 ueq usw

_

From (4.28), Vt 0. In the sense of Lyapunov, Vt\0 should exist in (4.30)

to have the stability of the last-layer sliding surface. To realize the purpose, dene

c3 f 2 f 1 c2 x4 c1 x2

ueq 4:31

c 3 b2 b1

and

js3 gsgns3

usw 4:32

c 3 b2 b1

Substituting (4.31) and (4.32) into (4.30) yields

Since the derivative of V is just the left side of the reachability condition of the

last-layer sliding surface, (4.33) indicates that the last-layer sliding surface variable

s3 not only has the asymptotic stability, but also its sliding motion is reachable in

nite time.

So far, the rst issue about the equivalent control design has been investigated.

But the stabilities of the other two inner sliding surfaces are kept to be unsolved

because the control law can only guarantee the stability of the last-layer sliding

surface rather than all the incremental sliding surfaces [8].

As far as the incremental HSMC design is concerned, the closed-loop crane

control system can be stabilized if and only if all the hierarchical sliding surfaces

are stabile. To have the stabilities of the other two inner sliding surfaces, more

insights and analyses about the incremental HSMC law (4.27) should be carried

out.

design the incremental structure of the hierarchical sliding surfaces (4.24), (4.25),

and (4.26), dene the control law (4.27), and adopt the equivalent control law

4.3 Incremental HSMC 131

(4.31) and the switching control law (4.32). Then, all the incremental sliding

surfaces are asymptotically stable if (4.34) is satised.

c2 if x3 s1 0

c2 4:34

c2 if x3 s1 \0

Proof

1) Stability of s3: According to the control design, the control law (4.27) can

guarantee the asymptotic stability of s3. Moreover, the last-layer sliding surface

variable not only has the guaranteed stability, but also its sliding mode is

reachable at nite time tr.

2) Stability of s2: Consider the third-layer sliding surface s3 achieves its sliding

mode at tr. Thereafter, there is no discontinuous switching control in the control

system on the time interval (tr, ) and the closed-loop crane control system can

be treated as an autonomous system. According to LaSalles principle, s3

approaches the largest invariant set in

dV

S s 3 2 Sc j 0 4:35

dt

In (4.35), the set Sc is a positively invariant and compact set, dened by

dV

Sc s3 2 R j2

\c; c[0 4:36

dt

S fs3 js3 0 \ s_ 3 0g

fx4 ; s3 jc3 x4 s2 0 \ c3 x4 s_ 2 0g 4:37

fx4 ; s3 js2 c3 x4 const: \ s_ 2 c3 x4 const:g

Assume the two constants in (4.37) are not equal to zero as t . Then, s3

would converge to a point on the phase plane by the axes x4 and s2 except the

origin, which contradicts the fact limt!1 s3 0. Consequently, both the con-

stants in (4.37) must be equal to zero from the proof by contradiction, i.e., s2 is

locally asymptotically stable.

3) Stability of s1: Since s2 is locally asymptotically stable, the limit of s2 in (4.25)

can be drawn from

t!1 t!1

Provided that the system states are not divergent, the limit of s1 can be deduced

from

132 4 Overhead Crane Control by Hierarchical Sliding Mode

t!1 t!1

sgnc2 x3 s1 0 4:40

According to (4.39) and (4.40), the constant in (4.39) is only zero rather than

other constants, which indicates

lim x3 0 4:41

t!1

lim s1 0 4:42

t!1

Equation (4.42) means the rst-layer sliding surface variable s1 is locally asymp-

totically stable if and only if the condition (4.34) is satised.

overhead crane systems, some numerical simulation results will be demonstrated.

For the purpose of comparison, the physical parameters of the crane in Table 4.1 are

adopted. The parameters of the three layers sliding surfaces are selected as

c1 = 0.85, c2 = 3.6, and c3 = 0.4. The coefcients of the switching control law are

determined by = 3 and = 0.1. The crane performance is illustrated in Fig. 4.6,

where the trolley position, the trolley velocity, the payload angle, and the payload

angular velocity are displayed in Fig. 4.6ad, respectively. Figure 4.6 can be

obtained by a Simulink model of MATLAB in Appendix B.

From Fig. 4.6, the trolley can arrive at the origin from the initial position at about

6 s. During the crane movement, the maximum payload deviation is about 0.18 rad.

Such a small deviation is good enough in practice to increase crane effectiveness

and throughout. As displayed in Fig. 4.6, the incremental HSMC method can deal

with the crane transport control problem and have a good performance.

Compared with Fig. 4.2c, the maximum payload deviation in Fig. 4.6c is slightly

bigger. But both of the deviations are small enough in real applications. Moreover,

the velocity curve of the trolley in Fig. 4.2b is smooth but the trolley velocity in

Fig. 4.6b jumps back and forth. Partly, the reason is that the parameter c2 has to

switch its sign according to (4.34) to keep the stability of the rst-layer sliding

surface s1.

The control performance is displayed in Fig. 4.7, where the control input, the

rst-layer sliding surface s1, the second-layer sliding surface s2, and the third-layer

4.3 Incremental HSMC 133

Fig. 4.6 System performance by the incremental SMC method for the overhead crane. a Trolley

position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 4.7 Control performance of the aggregated SMC method. a Control input u; b First-layer

sliding surface s1; c Second-layer sliding surface s2; d Third-layer sliding surface s3

134 4 Overhead Crane Control by Hierarchical Sliding Mode

sliding surface s3 are shown in Fig. 4.7ad, respectively. As proven in Theorem 4.3,

the three layers sliding surfaces have the guaranteed stabilities. s3 enters its sliding

mode at about 1 s. Thereafter, s2 tends to be stable and the switch of c2 is excited to

make s1 asymptotically stable. The switch of c2 is shown in Fig. 4.8.

The phase curves of the incremental sliding surfaces are shown in Fig. 4.9,

where the rst-layer sliding surface s1, the second-layer sliding surface s2, and the

the parameter c2

Fig. 4.9 Phase portrait of the incremental sliding surfaces. a First-layer sliding surface s1;

b Second-layer sliding surface s2; c Third-layer sliding surface s3

4.3 Incremental HSMC 135

Fig. 4.9a, b, the sliding surface variables of the rst and second layers are just

asymptotically stable, indicating they are reachable in innite time. From Fig. 4.9c,

the sliding mode of s3 is reachable in nite time. Since the switch mechanism (4.34)

exists to guarantee the stability of the rst-layer sliding surface, the trajectories in

Fig. 4.9 jump back and forth when the sign of c2 changes.

Concerning the crane control problems, it is hard to depict the single-layer sliding

surface of the rst-order SMC method by phase portrait because of the constraint of

the phase-plane method. The aggregated and incremental HSMC methods over-

come the drawback such that the phase portraits of the two HSMC methods can be

intuitively illustrated in phase plane.

Besides the aggregated and incremental HSMC methods, the combining hier-

archical structure of the sliding surfaces [9, 10] can be constructed for the crane

control problem. On basis of the combining sliding surfaces, the combining HSMC

design can be investigated. As suggested by its name, the challenge of the com-

bining HSMC is how to combine the hierarchical structure of the sliding surfaces.

The basic idea behind the combining HSMC method [9, 10] is as follows. Recall

the mathematic model of the single-pendulum-type overhead crane (2.16). There

are four state variables in (2.16). They can be divided into two groups. One group is

composed of x1 and x3 and the other group covers x2 and x4, where x2 and x4 are the

derivatives of x1 and x3, respectively.

The derivative relations among the four state variables inspire us to dene an

intermediate variable z by combining x1 and x3 such that a sliding surface variable

can be constructed by the intermediate variable and the derivative of the intermediate

variable. The schematic of the combining sliding surfaces is illustrated in Fig. 4.10.

The advantage of such a combination is that the sliding mode of the sliding

surface variable can be illustrated by the phase-plane method. However, the com-

bination of the state variables raises the stability problem that the four state vari-

ables have no guaranteed stability, because the sliding mode motion can only make

the intermediate variable stable.

structure of the combing

sliding surfaces

136 4 Overhead Crane Control by Hierarchical Sliding Mode

Recall the crane model (2.16). Consider the group of state variables x1 and x3.

Dene the intermediate variable z as

z x1 cx3 4:43

In (4.43), c is a positive constant. Since the intermediate variable has the form of

linear combination of x1 and x3, it is the source that the novel hierarchical structure

of sliding surfaces is entitled the combining SMC. From Fig. 4.10, the top lay

sliding surface s is constructed by the intermediate variables and its derivative,

which is determined by

s az z_ 4:44

here should be positive to have the stability the top lay sliding surface.

In Fig. 4.10, there is only the top lay sliding surface. However, such a structure is

also treated as a hierarchical one because the intermediate variable and its derivative

can be treated as the rst-layer sliding surfaces. Adopt the equivalent-control-based

SMC design and dene the combining SMC law as

In (4.45), ueq is the equivalent control law and usw is the switching control law,

where the switching control law is employed to drive the system states moving

toward the specic sliding surface (4.44) and the equivalent control law guarantees

the system states keep sliding on the sliding surface and converge to the origin

along the sliding surface.

To obtain the equivalent control law in (4.45), differentiate s in (4.46) with

respect to time t and substitute the crane model (2.16) into the derivative of s. Then,

the equivalent control law (4.46) can be deduced from s_ 0.

ueq 4:46

cb2 x b1 x

In order to have the stability of the top-layer sliding surface s, select the

Lyapunov function candidate as

Vt s2 =2 4:47

and (4.44) into the derivative of V yield

4.4 Combining HSMC 137

V_ s_s sa_z z

sax2 acx4 x_ 2 c_x4 4:48

sfax2 acx4 f1 x cf2 x b1 x cb2 xug

Further, substituting the control law (4.45) and the expression of the equivalent

control law (4.46) into (4.48) yield

4:49

sb1 x cb2 xusw

Let

_

From (4.47), Vt 0. Further, Vt\0 exists by substituting (4.50) into (4.49),

indicating the stability of the top-layer sliding surface. In the sense of Lyapunov,

the top lay sliding surface is of asymptotic stability.

In light of the reachability condition of sliding mode, Vt _ s_s\0 in (4.49)

ensures the sliding mode is reachable in nite time. Assume that the sliding mode

takes place at the time tf. On the subsequent time interval, the system trajectory

moves along the sliding surface and converges to the coordinate origin constructed

by the intermediate variable z and its derivative z_ .

From the viewpoint of mathematics, this combining SMC is a subset of the

traditional rst-order SMC. The particularity of the combining SMC law is the

x x

intermediate variable results in a xed ratio of 1 2 .

x3 x4

The combining SMC design employs the derivative relations between the state

variables such that the sliding mode can be demonstrated in phase plane, which can

facilitate the control design and analysis. However, the control law (4.45) in the

sense of Lyapunov can just ensure that the intermediate variable z is asymptotically

stable rather than the system states. To asymptotically stabilize the whole system

states, it is necessary to draw the extra stability condition.

Theorem 4.4 Consider the overhead crane system (2.16), construct the interme-

diate variable (4.43), design the combining sliding surfaces (4.44), adopt the

control law (4.45), then all the state variables are bounded.

138 4 Overhead Crane Control by Hierarchical Sliding Mode

X s 2 <2 jVs\e 4:51

LaSalles principle, s approaches the largest invariant set in

dV

E sj 0 4:52

dt

Thereafter, the system trajectory converges to the coordinate origin constructed by

the axes z and z_ along the surface s on the subsequent time interval (tf, ). From

(4.52), the set E has the form

E fsjs 0 \ s_ 0g

4:53

fzjaz z_ 0 \ a_z z 0g fzjz z_ z 0g

The set E is attracting. This case indicates that the largest invariant set in

E contains no sets other than the coordinate origin constructed by the intermediate

variable and its derivative. As a result, the sliding surface s and the intermediate

variable z are asymptotically stable as t by means of Lasalles principle.

From (4.43) and (4.53), the limits of z and z_ are formulated by

t!1 t!1

4:54

lim z_ lim x2 cx4 0

t!1 t!1

For arbitrary time t0 on the interval (tf, ), (4.55) can be deduced from (4.54).

t!t0 t!t0

4:55

lim x2 lim cx4

t!t0 t!t0

lim x1 lim cx3 1 lim x2 lim cx4 1 4:56

t!t0 t!t0 t!t0 t!t0

t t0 if (4.56) were satised. Consequently, there exist

t!t0 t!t0

4:57

lim x2 lim cx4 const

t!t0 t!t0

4.4 Combining HSMC 139

Compared with the asymptotically stable s and z, all the state variables x1, x2, x3,

and x4 are just bounded on the time interval [0, ) on account of the denition of

the combining structure of the sliding surfaces.

Theorem 4.5 Consider the overhead crane system (2.16), construct the interme-

diate variable (4.43), design the combining sliding surfaces (4.44), and adopt the

control law (4.45). Then, all the state variables are asymptotically stable if (4.58) is

satised on the time interval (tf, ), where tf is the time when the sliding mode of

the sliding surface variable s takes place.

c if x1 x3 0

c 4:58

c if x1 x3 \0

Proof The time tf divides the time interval [0, ) into two parts, i.e., [0, tf] and (tf,

). According to Theorem 4.4, all the state variables are bounded on [0, tf].

Subsequently, all the state variables are bounded on (tf, ), i.e.,

t!tf

here i = 1, 2, 3, 4.

Equation (4.59) can be rewritten by

t!tf

4:60

sup j_xj j jj_xj jj\1

t!tf

here j = 1, 3.

Equation (4.61) can be drawn from (4.60).

xj 2 L 1 and x_ j 2 L1 4:61

variable z in [0, ) such that (4.62) exists

Z1 Z1 Z1

2

z dt

2

x1 cx3 dt x21 cx23 2cx1 x3 dt\1 4:62

tf tf tf

Z1 Z1

2cx1 x3 dt\ x21 cx23 dt 4:63

tf tf

140 4 Overhead Crane Control by Hierarchical Sliding Mode

Further,

Z1 Z1 Z1

2

4cx1 x3 dt\ x1 cx3 dt z2 dt 4:64

tf tf tf

R1

Equation (4.63) comes into existence as long as tf 4cx1 x3 dt [ 0, which can be

guaranteed by choosing the sign of c by means of (4.58). As a result, (4.65) can be

deduced from (4.63).

Z1 Z1

x21 dt\1 and x23 dt\1 4:65

tf tf

From (4.61) and (4.65), both x1 and x3 have the asymptotic stability in terms of

Barbalats lemma on the time interval (tf, ). Further, x2 and x4 are of asymptotic

stability as well because of the derivative relations among the state variables.

single-pendulum-type overhead crane system, some numerical simulation results

will be demonstrated. The physical parameters of the overhead crane system and the

initial and desired states [10] are shown in Table 4.2. The parameters of the three

layers sliding surfaces are selected as c = 0.242 and = 0.487. The coefcients of

the switching control law are determined by = 4 and = 0.1. Some numerical

results are shown in Figs. 4.11, 4.12, 4.13, 4.14, and 4.15 and are obtained by a

Simulink model of MATLAB in Appendix C.

Trolley mass M (kg) 1

Payload mass m (kg) 0.8

Cable length L (m) 0.305

Acceleration of gravity g (m s2) 9.81

Initial state vector x0 [0 m 0 m s1 0 rad 0 rad s1]

Desired state vector xd [2.0 m 0 m s1 0 rad 0 rad s1]

4.4 Combining HSMC 141

Fig. 4.11 System performance by the combining SMC method without parameter switch.

a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 4.12 Control performance of the combining SMC method without parameter switch.

a Control input u; b Intermediate variable z; c Derivative of the intermediate variable; d Top-layer

sliding surface s

142 4 Overhead Crane Control by Hierarchical Sliding Mode

Fig. 4.13 System performance by the combining SMC method with parameter switch. a Trolley

position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 4.14 Control performance of the combining SMC method with parameter switch. a Control

input u; b Intermediate variable z; c Derivative of z; d Top-layer sliding surface s

4.4 Combining HSMC 143

Fig. 4.15 Switch process of the parameter c during the system dynamics

The crane performance under the combining SMC design without the switch of

c is illustrated in Fig. 4.11, where the trolley position, the trolley velocity, the

payload angle, and the payload angular velocity are displayed in Fig. 4.11ad,

respectively. As proven in Theorem 4.4, all the state variables of the crane system

are bounded. Such a linear combination of the state variables results in the bounded

control system. Although the crane control system is stable in the sense of

Lyapunov, the theoretical design cannot be put into practice because any real

applications of crane systems cannot endure the harmonic motion of the trolley in

Fig. 4.11a. The payload curve in Fig. 4.11c also has the harmonic motion. Such

swag is very small and it is acceptable in most real applications, which can be

treated as residual oscillations of the crane system.

The control performance under the combining SMC design without the switch of

c is illustrated in Fig. 4.12, where the control input, the intermediate variable, the

derivative of the intermediate variable, and the top-layer sliding surface are dis-

played in Fig. 4.12ad, respectively.

The harmonic motions of the trolley and payload make the control input curve

harmonic in Fig. 4.12a. According to the combining HSMC design, the control law

can guarantee the asymptotic stability of the intermediate variable z. and the

top-layer sliding surface s. The theoretical analysis coincides with the curves in

Fig. 4.12bd.

From Fig. 4.12d, the sliding mode takes place at about 2.4 s. This time point is

very important for the switch of c in Theorem 4.5. As displayed in Figs. 4.11 and

4.12, the combining SMC design arouses the novel problem of the crane control by

SMC. The asymptotic stability of the intermediate variable does not indicate the

asymptotic stability of the state variables.

144 4 Overhead Crane Control by Hierarchical Sliding Mode

The crane performance under the combining SMC design with the switch of c is

illustrated in Fig. 4.13, where the trolley position, the trolley velocity, the payload

angle, and the payload angular velocity are displayed in Fig. 4.13ad, respectively.

As proven in Theorem 4.5, all the state variables of the crane system can be

asymptotically stable when the switch mechanism of the parameter c is carried out

after the sliding mode of s is reached. Once the switch of c is carried out, the state

variables of the crane control system become asymptotically stable in Fig. 4.13 but

rather get bounded in Fig. 4.11.

The control performance under the combining SMC design with the switch of

c is illustrated in Fig. 4.14, where the control input, the intermediate variable, the

derivative of the intermediate variable, and the top-layer sliding surface are dis-

played in Fig. 4.14ad, respectively.

From Fig. 4.14d, the switch of c enters the crane control system at 3 s.

Thereafter, the switch mechanism is triggered once the sign of x1 x 3 changes. The

process continues till the crane control system arrives at the desired position.

The switch process of the parameter c is shown in Fig. 4.15. Compared with the

numerical results in Sects. 4.2 and 4.3, the crane control system by the combining

HSMC law can arrive the desired position at about 10 s, which is slower than the

aggregated and incremental HSMC methods. The fact means that the crane per-

formance by the combining HSMC law is not as effective as the other two HSMC

methods.

So far, the three kinds of hierarchical structure of the sliding surfaces have been

constructed for single-pendulum-type overhead cranes by employing the crane state

variables. The stabilities of the three kinds of crane control systems are also pre-

sented. Some numerical results are illustrated. Compared with the classic SMC

designs in Chap. 3, the HSMC designs capture the physical nature of the cranes and

present some novel control structures, which enrich the contents of SMC. Based the

basic hierarchical structures, some extensions can be explored, i.e., adaptive law

design, complex crane systems, and so on.

Sliding Surfaces

The aggregated, incremental and combining HSMC designs are basic types of

hierarchical structures. In the designs, all the sliding surface parameters are con-

sidered as time-invariant ones such that all the hierarchical sliding surfaces are

linear. Under any hierarchical structures, the sliding surfaces are xed and they wait

for the state trajectories entering the sliding mode. In this sense, these types of

sliding surfaces are passive.

To improve the crane control performance, one possible choice is to make xed

sliding surfaces active. Design of the adaptive sliding surfaces is just such a choice.

The adaptive sliding surfaces can move in the phase plane according to the

4.5 Adaptive Control Design Based on Hierarchical Sliding Surfaces 145

designed adaptive law so that they become active to search the state trajectories.

Such an adaptive design can make the state trajectories may enter the sliding mode

as soon as possible.

To realize the purpose, adaptive control design based on hierarchical sliding sur-

faces [11] is taken into consideration. Without loss of generality, the aggregated

hierarchical sliding surfaces are employed for the adaptive law design. The design

method can be generalized to the incremental and combining sliding surfaces as well.

Recall the crane model (2.16). Design the sliding surfaces of the trolley and payload

subsystems as

s 1 c1 x1 x2 4:66

s 2 c2 x3 x4 4:67

Here c1 and c2 are positive constants. According to the aggregated structure, both

the subsystem sliding surfaces (4.66) and (4.67) are located at the rst layer. In

(4.66) and (4.67), x2 and x4 are the derivatives of x1 and x3 with respect to time t,

respectively. Consequently, the subsystem sliding surfaces s1 and s2 must be in the

second and fourth quadrants to stabilize the sliding surface variables.

To construct the higher layer sliding surface, aggregate the two sliding surfaces

and design the second-layer sliding surface as

S as1 s2 4:68

Concerning the parameter , the top-layer sliding surface S could be in any quadrant

in the phase plane by the axes s1 and s2 since there are no differential relations

between s1 and s2.

To design the adaptive hierarchical sliding surfaces, only the parameter at the

top layer is considered as a time variable. The parameters c1 and c2 at the lower

layer are xed. The motivations of such an idea are as follows. The switching

control law in Sect. 4.2 is designed at the top layer. To achieve the sliding mode at

the top layer as soon as possible, the adaptive law is considered for the purpose.

Once the system trajectory enters the sliding mode at the top, the two subsystems

converge to these subsystem sliding surfaces by their subsystem equivalent control

laws, respectively. On the other hand, only the top-layer sliding surface has the

guaranteed reachability condition and it can enter the sliding mode in nite time.

Only the other two subsystem sliding surfaces are not reachable in nite time.

146 4 Overhead Crane Control by Hierarchical Sliding Mode

where the equivalent control laws of the two subsystems are formulated by

1

ueq1 c1 x2 f1 x 4:70

b1 x

and

1

ueq2 c2 x4 f2 x 4:71

b2 x

So far, some parts of the adaptive control based on the aggregated sliding

surfaces have been done. The adaptive law of and the switching control law usw

will be drawn from the system stability analysis.

design the hierarchical sliding surfaces (4.66), (4.67), and (4.68), and adopt the

aggregated HSMC law (4.69). Then, the second-layer sliding surface S of the

aggregated sliding surfaces is of asymptotic stability if the switching control law in

(4.69) is dened by

jS g sgnS

usw 4:72

ab1 x b2 x

b1 xueq2 s1 b1 xueq1 s1

a_ a 4:73

jjs1 jj2 d jjs1 jj2 d

Proof Similar to the proof of Theorem 4.1. On basis of Lyapunov stability theory, a

Lyapunov function candidate can be dened as

1

Vt S2 4:74

2

4.5 Adaptive Control Design Based on Hierarchical Sliding Surfaces 147

of the second-layer sliding surface (4.68) into the derivative of V yield

_

Vt _ 1 s_ 2

Sa_s1 as 4:75

_

Vt _ 1 ac1 x_ 1 x_ 2 c2 x_ 3 x_ 4

Sas 4:76

_

Vt _ 1 ac1 x2 f1 x b1 xu c2 x4 f2 x b2 xug

Sfas 4:77

_

Vt _ 1 ac1 x2 f1 x b1 xueq1 ueq2 usw

Sfas

c2 x4 f2 x b2 xueq1 ueq2 usw g

4:78

_ 1 ab1 xueq2 usw b2 xueq1 usw g

Sfas

_ 1 ab1 x b2 xusw ab1 xueq2 b2 xueq1 g

Sfas

_

From (4.74), Vt 0. In the sense of Lyapunov, Vt\0 should exist in (4.78)

to make the crane control system asymptotically stable. To achieve this purpose,

dene the switching control law as (4.72) and select the adaptive law of the

_

parameter as (4.73). Then Vt\0 can be deduced from (4.78).

According to the control design of the adaptive control system, the 2nd-layer

sliding surface S is of asymptotic stability in the sense of Lyapunov.

Theorem 4.7 Consider the single-pendulum-type overhead crane system (2.16),

design the hierarchical sliding surfaces (4.66), (4.67), and (4.68), adopt the

aggregated HSMC law (4.69), dene the equivalent control laws of the two sub-

systems as (4.70) and (4.71), dene the switching control law as (4.72) and select

the adaptive law of the parameter as (4.73). Then, the rst-layer sliding surfaces

s1 and s2 in (4.70) and (4.71) are asymptotically stable.

Proof The proof of Theorem 4.7 is similar to the proof of Theorem 4.2.

To verify the feasibility of the adaptive control based on the hierarchical sliding

surfaces, some numerical simulation results will be demonstrated. The physical

parameters of the overhead crane system and the initial and desired states are kept

unchanged from Table 4.1.

148 4 Overhead Crane Control by Hierarchical Sliding Mode

Fig. 4.16 System performance by adaptive control based on the aggregated HSMC. a Trolley

position; b Trolley velocity; c Payload angle; d Payload angular velocity

The parameters of the two subsystem sliding surfaces at the rst layer are

selected as c1 = 0.7 and c2 = 8.2, which are kept unchanged from Sect. 4.2. The

coefcients of the switching control law are determined by = 3 and = 0.1. The

initial value of is determined by 2 and the value of in (4.73) is set by 0.5. Some

numerical results are displayed in Figs. 4.16, 4.17, 4.18, and 4.19 and are obtained

by a Simulink model of MATLAB in Appendix D.

The crane performance under the adaptive control law based on the aggregated

structure of sliding surfaces is illustrated in Fig. 4.16, where the trolley position, the

trolley velocity, the payload angle, and the payload angular velocity are displayed

in Fig. 4.16ad, respectively.

As illustrated in Fig. 4.16a, the trolley can arrive the desired position at about

6 s. Meanwhile, the maximum payload deviation during the crane transport is about

0.12 rad. Such a small deviation is good enough in practice to increase crane

effectiveness and throughput.

Compared with the numerical results by the aggregated HSMC system in

Fig. 4.2, the designed adaptive law does not have the crane transport efciency

because the trolley also arrives the desired position at about 6 s in Fig. 4.16a. But

the adaptive law can apparently decrease the payload deviation. In Fig. 4.16c, the

maximum angular deviation is just 0.12 rad, which is 0.02 rad smaller than the

maximum deviation in Fig. 4.2c.

4.5 Adaptive Control Design Based on Hierarchical Sliding Surfaces 149

Fig. 4.17 Control performance of adaptive control based on the aggregated HSMC. a Control

input u; b Subsystem sliding surface s1; c Subsystem sliding surface s2; d Sliding surface S

The control performance is displayed in Fig. 4.17, where the control input, the

subsystem sliding surface s1 at the rst layer, the subsystems sliding surface s2 at

the rst layer, and the aggregated sliding surface S at the second layer are shown in

Fig. 4.17ad, respectively. In Fig. 4.17a, the maximum control input is about

100 N. The aggregated sliding surface at the top layer in Fig. 4.17d is of asymptotic

stability, which coincides with the results proven in Theorem 4.6. On the other

150 4 Overhead Crane Control by Hierarchical Sliding Mode

Fig. 4.19 Phase portrait of the sliding surface S at the top layer

hand, the subsystem sliding surfaces in Fig. 4.17b, c are asymptotically stable as

proven in Theorem 4.7.

The adaptive process of the parameter at the top-layer sliding surface is dis-

played in Fig. 4.18. From Fig. 4.18, the value of is adaptively governed by the

adaptive law designed in (4.73). The value of tends to be stabilized at about 3.6

as t .

In Fig. 4.19, the phase trajectory of the top-layer sliding surface is shown, where

the solid line is the phase trajectory and the dash line is the adaptive top-layer

sliding surface. From Fig. 4.19, the adaptive sliding surface can change its slope in

the phase plane, indicating that the adaptive law can accelerate the phase trajectory

to reach the sliding mode.

Cranes

well. Since such systems have one more subsystem compared to

single-pendulum-type overhead cranes, their control design not only becomes

complex in mathematics, but also challenges the system stability. Adopting the

aggregated structures of sliding surfaces, Tuan and Lee [12] investigated the

transport control problem by the HSMC design for double-pendulum-type overhead

cranes.

There are six state variables in (2.46). The type of cranes has three subsystems. In

4.6 HSMC Design for Double-Pendulum-Type Overhead Cranes 151

[12], design the sliding surface vector s to construct the aggregated structure of

sliding surfaces and the vector s is described by

2 3 2 3

s1 k1 x1 xd x2

s 4 s2 5 4 k2 x 3 x 4 5 4:79

s3 k3 x 5 x 6

Each element in (4.79) depicts a subsystem sliding surface. The three subsystem

sliding surfaces aggregated together to build up the rst layer of the aggregated

structure. To force state trajectories of the three subsystems to reach the rst layer,

Utkin et al. [13] dened the equivalent control input determined from s_ 0.

Differentiate (4.79) with respect to time, let the derivative of s be zeroth, and

substitute (2.46) into the derivative of s. Then, (4.80) can be obtained.

2 3 2 3 2 3

s_ 1 k1 x_ 1 x_ 2 k1 x2 f1 x b1 xueq1

s_ 4 s_ 2 5 4 k2 x_ 3 x_ 4 5 4 k2 x4 f2 x b2 xueq2 5 0 4:80

s_ 3 k3 x_ 5 x_ 6 k3 x6 f3 x b3 xueq3

From (4.80), the equivalent control laws of the three subsystems are written as

1

ueq1 k1 x2 f1 x

b1 x

1

ueq2 k2 x4 f2 x 4:81

b2 x

1

ueq3 k3 x6 f3 x

b3 x

In (4.80), the equivalent control law ueq1 attracts a pair of state variables (x1, x2)

to component s1. Similarly, the duties of ueq2 and ueq3 are to force the pairs of state

variables (x3, x4) and (x5, x6) to approach components s2 and s3, respectively.

Therefore, to drive all state trajectories to reach the rst layer of the aggregated

structure of sliding surfaces, a total equivalent control law is dened by

In (4.82), all the parts are continuous. To guarantee the reachability of sliding

mode, the switching control law usw must be introduced such that the HSMC law

based on the aggregated sliding surfaces becomes

In (4.83), usw has a switching action with sufciently high frequency to retain all

state trajectories moving on manifold S = 0, where S is referred as the aggregated

sliding surface located at the top layer and the sliding surface is dened by

152 4 Overhead Crane Control by Hierarchical Sliding Mode

structure of sliding surfaces

for double-pendulum-type

overhead cranes

S lT s l1 s1 l2 s2 l3 s3 4:84

where = [1 2 3]T and 1, 2, and 3 are constants. From (4.84), the aggregated

structure of sliding surfaces of the crane control systems can be demonstrated in

Fig. 4.20.

In (4.84), S denotes the switching line that all system states are attracted to and

retained on. To have the reachability of sliding mode at the aggregated sliding

surface S, a Lyapunov function candidate can be dened by

1

V S2 4:85

2

V_ SS_ 4:86

V_ Sl1 s_ 1 l2 s_ 2 l3 s_ 3 4:87

(4.81) and (4.83) into (4.87). Then, (4.88) can be drawn.

l3 b3 xueq1 ueq2 usw g

4:88

Sfl1 b1 x l2 b2 x l3 b3 xusw l1 b1 xueq2 ueq3

l2 b2 xueq1 ueq3 l3 b3 xueq1 ueq2 g

_

From (4.85), Vt 0. In the sense of Lyapunov, Vt\0 should exist in (4.87)

to make the crane control system asymptotically stable. For this purpose, the

switching control usw can be dened by

4.6 HSMC Design for Double-Pendulum-Type Overhead Cranes 153

usw

l1 b1 x l2 b2 x l3 b3 x

4:89

jS g sgnS

l1 b1 x l2 b2 x l3 b3 x

Substitute (4.81) and (4.89) into (4.83), then the HSMC law based on the

aggregated structure of sliding surfaces (4.90) has the form

u

l1 b1 x l2 b2 x l3 b3 x

4:90

jS g sgnS

l1 b1 x l2 b2 x l3 b3 x

From the control design, the aggregated sliding surface located at the top layer is

asymptotically stable. The stabilities of the three subsystem sliding surfaces have to

be considered because they have no guaranteed stabilities from the control design.

design the hierarchical sliding surfaces (4.80) and (4.84), adopt the aggregated

HSMC law (4.83), dene the equivalent control laws of the three subsystems as (4.

81), and dene the switching control law as (4.89). Then, the subsystem sliding

surfaces located at the 1st-layer s1, s2 and s3 in (4.79) are asymptotically stable.

Proof The proof of Theorem 4.8 is very similar to the proof of Theorem 4.2.

crane systems, some numerical simulation results will be demonstrated. The

physical parameters of the overhead crane system are kept unchanged from Table 3.

2 and the initial and desired states are set by x0 = [0 m 0 m s1 0 rad 0 rad s1 0 rad

0 rad s1] and xd = [4 m 0 m s1 0 rad 0 rad s1 0 rad 0 rad s1], respectively. The

parameters of the three subsystem sliding surfaces at the rst layer are selected as

c1 = 0.35, c2 = 22 and c3 = 50. The parameters of the aggregated sliding surface at

the top layer are selected as 1 = 1.18, 2 = 1.2 and 3 = 0.35. The coefcients of

the switching control law are determined by = 1 and = 0.02. Some numerical

154 4 Overhead Crane Control by Hierarchical Sliding Mode

Fig. 4.21 System performance by the HSMC law for double-pendulum-type overhead cranes.

a Trolley position; b Trolley velocity; c Hook angle; d Hook angular velocity; e Payload angle;

f Payload angular velocity

results are displayed in Figs. 4.21, and 4.22 and are obtained by a Simulink model

of MATLAB in Appendix E.

The crane performance under the HSMC law is illustrated in Fig. 4.21, where the

trolley position, the hook angle, the hook angular velocity, the trolley velocity, the

payload angle, and the payload angular velocity are displayed in Fig. 4.21af,

respectively.

From Fig. 4.21, the trolley arrives the desired position at about 12 s. Meanwhile,

both the maximum angular deviations of the hook and payload are not larger than

0.1 rad. Such deviations are small enough in real crane applications. On the other

hand, the performance of the two angular curves by the HSMC method has no

residual oscillations under the condition that the crane model has no modeling

errors. However, such a perfect model is too ideal to obtain. As a result, residual

oscillations of the double-pendulum dynamics are hard to be completely suppressed

by the HSMC method in practice.

The control performance is displayed in Fig. 4.22, where the control input, the

subsystem sliding surface s1, the subsystems sliding surface s2, the subsystems

4.6 HSMC Design for Double-Pendulum-Type Overhead Cranes 155

Fig. 4.22 Control performance by the HSMC law for double-pendulum-type overhead cranes.

a Control input u; b Subsystem sliding surface s1; c Subsystem sliding surface s2; d Subsystem

sliding surface s3; e Top-layer sliding surface S

sliding surface s3, and the aggregated sliding surface S are shown in Fig. 4.22ae,

respectively.

From Fig. 4.22a, the control input has chattering, which is an inner drawback of

the SMC method. The whole sliding surfaces in Fig. 4.22be are asymptotically

stable as proven in Theorem 4.8. From Fig. 4.22e, the aggregated sliding surface at

the top layer enters its sliding mode at about 3 s. Thereafter, the trajectories of the

three subsystems in phase plane enter their private subsystem sliding surfaces under

the actions of their private subsystem equivalent controls.

Further, concerning these sliding surfaces of the aggregated hierarchical struc-

ture, only the reachability condition of the sliding surface S at the top layer is

guaranteed during the control design. The three subsystem sliding surfaces s1, s2,

and s3 are just asymptotically stable rather than being reachable in nite time.

156 4 Overhead Crane Control by Hierarchical Sliding Mode

Appendices

The file is very similar to the SPCrane.m file in Appendix A, Chap. 3.

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 4;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

Appendices 157

function sys=mdlOutputs(t,x,u)

% parameter of system

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=l;E=(m*l*sin(u(3)));

% parameter of controller

e(1)=(u(1));e(2)=u(2);e(3)=u(3);e(4)=u(4);

a =-2.3;afa =[0.7 8.2];bata=[1 1];

k=3;ita=0.1;

s1=afa(1)*e(1)+bata(1)*e(2);S1=s1;

s2=afa(2)*e(3)+bata(2)*e(4);S2=a*S1+s2;s=S2;

b1 =D*inv(A*D-B*C);

f1 =(m*l*u(4)^2*sin(u(3))*D+g*B*sin(u(3)))*inv(A*D-B*C);

b2 =C*inv(B*C-A*D);

f2 =(m*l*u(4)^2*sin(u(3))*C+g*A*sin(u(3)))*inv(B*C-A*D);

den=a*bata(1)*b1+bata(2)*b2;

num=a*(afa(1)*u(2)+bata(1)*f1)+(afa(2)*u(4)+bata(2)*f2);

ds=-k*s-ita*sign(s);

uslaw=-num*inv(den)+ds*inv(den);

sys(1)=uslaw;

sys(2)=s1;

sys(3)=s2;

sys(4)=S2;

158 4 Overhead Crane Control by Hierarchical Sliding Mode

The file is very similar to the SPCrane.m file in Appendix A, Chap. 3.

Controller program: IHSMC. m

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9,}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 5;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

% system prameters

g=9.81;M=37.32;m=5;l=1.05;

f1=(m*l*u(4)^2*sin(u(3))+m*g*sin(u(3))*cos(u(3)))/(M+m-m*(cos(u(3)))^2);

b1=1/(M+m-m*(cos(u(3)))^2);

f2=(m*l*u(4)^2*sin(u(3))*cos(u(3))+(M+m)*g*sin(u(3)))/...

(m*l*(cos(u(3)))^2-(M+m)*l);

b2=(cos(u(3)))/(m*l*(cos(u(3)))^2-(M+m)*l);

k=3;ita=0.1;

s1=c(1)*u(1)+c(2)*u(2);

s2=s1+c(3)*u(3);

s=s2+c(4)*u(4);

Appendices 159

if u(3)*s1<0

c(3)=-c(3);

else

c(3)=c(3);

end

ds=-k*s-ita*sign(s);

den=c(2)*b1+c(4)*b2;num=c(1)*u(2)+c(2)*f1+c(3)*u(4)+c(4)*f2;

uslaw=-num*inv(den)+ds*inv(den);

sys(1) = uslaw;

sys(2) =s1;

sys(3)=s2;

sys(4)=s;

sys(5)=c(3);

C Simulink Model to Plot Figs. 4.11, 4.12, 4.13, 4.14 and 4.15

160 4 Overhead Crane Control by Hierarchical Sliding Mode

The file is very similar to the SPCrane.m file in Appendix A, Chap. 3.

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9,}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 5;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

% system prameters

M=1;m=0.8;L=0.305;g=9.81;

c = [0.242 0.487];

c1=c(1);c2=c(2);k0=8;eta=0.04;

f1=(m*L*u(4)^2*sin(u(3))+m*g*sin(u(3))

*cos(u(3)))*inv(M+m*sin(u(3))*sin(u(3)));

b1=1*inv(M+m*sin(u(3))*sin(u(3)));

f2=-((M+m)*g*sin(u(3))+m*L*u(4)^2*sin(u(3))*cos(u(3)))

*inv((M+m*sin(u(3))*sin(u(3)))*L);

b2=-cos(u(3))*inv((M+m*sin(u(3))*sin(u(3)))*L);

Appendices 161

% if t>2.4

% if u(1)*u(2)>=0

% c1=c1;

% else

% c1=-c1;

% end

% end

z=(u(1))+c1*u(3);

dz=u(2)+c1*u(4);

s=c2*z+dz;

ds=-k0*s-eta*sign(s);

den=c1*b2+b1;

num=(c1*f2+f1+c2*u(2)+c2*c1*u(4));

uslaw=-num*inv(den)+ds;

sys(1) = uslaw;

sys(2) =z;

sys(3) =dz;

sys(4) =s;

sys(5) =c1;

162 4 Overhead Crane Control by Hierarchical Sliding Mode

The file is very similar to the SPCrane.m file in Appendix A, Chap. 3.

Controller program: AdaptHSMC. m

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 1;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 5;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlDerivatives(t,x,u)

% parameter

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=l;E=(m*l*sin(u(3)));

delta=0.6;

b1 =D*inv(A*D-B*C);

f1 =(m*l*u(4)^2*sin(u(3))*D+g*B*sin(u(3)))*inv(A*D-B*C);

b2 =C*inv(B*C-A*D);

f2 =(m*l*u(4)^2*sin(u(3))*C+g*A*sin(u(3)))*inv(B*C-A*D);

afa =[0.7 8.2];

ueq2=-(afa(2)*u(4)+f2)*inv(b2);

ueq1=-(afa(1)*u(2)+f1)*inv(b1);

s1=afa(1)*u(1)+u(2);

sys(1)=-x(1)*b1*ueq2*s1*inv(s1^2+delta)-(b2)*ueq1*s1*inv(s1^2+delta);

Appendices 163

function sys=mdlOutputs(t,x,u)

% parameter of system

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=l;E=(m*l*sin(u(3)));

e(1)=(u(1));e(2)=u(2);e(3)=u(3);e(4)=u(4);

k=3; ita=0.1;

s1=afa(1)*e(1)+bata(1)*e(2);

S1=s1;

s2=afa(2)*e(3)+bata(2)*e(4);

S2=x(1)*S1+s2;

s=S2;

b1 =D*inv(A*D-B*C);

f1 =(m*l*u(4)^2*sin(u(3))*D+g*B*sin(u(3)))*inv(A*D-B*C);

b2 =C*inv(B*C-A*D);

f2 =(m*l*u(4)^2*sin(u(3))*C+g*A*sin(u(3)))*inv(B*C-A*D);

den=x(1)*bata(1)*b1+bata(2)*b2;

num=x(1)*(afa(1)*u(2)+bata(1)*f1)+(afa(2)*u(4)+bata(2)*f2);

ds=-k*s-ita*sign(s);

uslaw=-num*inv(den)+ds*inv(den);

sys(1)=uslaw;

sys(2)=s1;

sys(3)=s2;

sys(4)=S2;

sys(5)=x(1);

164 4 Overhead Crane Control by Hierarchical Sliding Mode

The file is very similar to the DPCrane.m file in Appendix B, Chap. 3.

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 5;

sizes.NumInputs = 8;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

%system parameter

mt=50;mc=2;mh=10;g=9.81;b=0;l1=3;l2=0.3;

A=(mt+mh+mc);B=(mh+mc);

%desired parameter

dis=4;ddis=0;phi=0;dphi=0;theta=0;dtheta=0;

%designed parameter

K=1;ante=0.02;a1=0.35;a2=22;a3=50;b1=1.18;b2=1.2;b3=-0.35;

s1=(u(2)-ddis)+a1*(u(1)-dis);

s2=(u(4)-dphi)+a2*(u(3)-phi);

s3=(u(7)-dtheta)+a3*(u(6)-theta);

%second_level sliding surface

S=b1*s1+b2*s2+b3*s3;

Appendices 165

%control law

fq=b1/A-b2*cos(u(3))/(l1*(B*(cos(u(3)))^2-A))-

b3*cos(u(6))/(l2*(mc*(cos(u(6)))^2-A));

gq=b1*(B*l1*cos(u(3))*u(5)+mc*l2*cos(u(6))*u(8)-b*u(2)-

.B*l1*sin(u(3))*(u(4))^2-mc*l2*sin(u(6))*(u(7))^2)/A...

+b2*(mc*l2*(mt*cos(u(3)-

u(6))+B*sin(u(3))*sin(u(6)))*u(8)+B*A*g*sin(u(3))...

+mc*l2*(mt*sin(u(3)-u(6))+B*sin(u(3))*cos(u(6)))*(u(7))^2-...

l1*B^2*cos(u(3))*sin(u(3))*(u(4))^2

+B*cos(u(3))*b*u(2))/(l1*B*(B*(cos(u(3)))^2-A))...

+b3*(l1*(mt*cos(u(3)-u(6))+B*sin(u(3))*sin(u(6)))*u(5)

+cos(u(6))*b*u(2)+A*g*sin(u(6))...

+l1*(B*sin(u(6))*cos(u(3))-mt*sin(u(3)-

u(6)))*(u(4))^2+mc*l2*cos(u(6))*sin(u(6))*(u(7))^2)/...

(l2*(mc*(cos(u(6)))^2-A))+b1*a1*(u(2))+b2*a2*(u(4))+b3*a3*(u(7));

control_law=-inv(fq)*(gq+K*S+ante*sign(S));

sys(1)=control_law;

sys(2)=s1;

sys(3)=s2;

sys(4)=s3;

sys(5)=S;

References

1. Saridis GN (1983) Intelligent robotic control. IEEE Trans Autom Control 28(5):547557

2. Wang W, Yi J, Zhao D, Liu D (2004) Design of a stable sliding-mode controller for a class of

second-order underactuated systems. IEE Proc Control Theory Appl 151(6):683690

3. Wang W, Liu XD, Yi JQ (2007) Structure design of two types of sliding-mode controllers for

a class of under-actuated mechanical systems. IET Control Theory Appl 1(1):163172

4. Qian DW, Yi JQ (2010) Fuzzy aggregated hierarchical sliding mode control for underactuated

systems, In: Proceedings of 2010 international conference on mechatronics and automation,

Xian, China, pp 196201

5. Hirschorn RM (2002) Incremental sliding mode control of the ball and beam. IEEE Trans

Autom Control 47(10):16961700

6. Hao YX, Yi JQ, Zhao DB, Wang W (2006) Proposal of incremental sliding mode control. In:

Proceedings of rst international conference on innovative computing, information and

control, Beijing, China, pp 340343

7. Hao YX, Yi JQ, Zhao DB, Qian DW (2007) Incremental sliding mode controller for

large-scale underactuated system. In: Proceedings of IEEE international conference on

networking, sensing and control, London, UK, pp 8792

8. Qian DW, Yi JQ, Ma YF (2010) Fuzzy incremental hierarchical sliding mode control for

underactuated systems. In: Proceedings of international conference on articial intelligence

and computational intelligence, Sanya, China, pp 276280

9. Qian DW, Yi JQ, Zhao DB (2011) Control of overhead crane systems by combining sliding

mode with fuzzy regulator. In: Proceedings of the 18th IFAC World Congress, Milano, Italy,

pp 93209325

10. Qian DW, Yi JQ (2013) Design of combining sliding mode controller for overhead crane

systems. Int J Control Autom 6(1):131140

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automation, Chengdu, China, pp 10501055

166 4 Overhead Crane Control by Hierarchical Sliding Mode

12. Tuan LA, Lee SG (2013) Sliding mode controls of double-pendulum crane systems. J Mech

Sci Technol 27(6):18631873

13. Utkin V, Guldner J, Shi J (2009) Sliding mode control in electromechanical systems, 2nd edn.

Taylor & Francis, USA

Chapter 5

Compensator Design Based on Sliding

Mode for Uncertain Overhead Cranes

Abstract Crane systems have uncertainties. The uncertainties cover both matched

and unmatched ones. The methodology of sliding mode control (SMC) can sup-

press matched uncertainties in light of the invariance of sliding mode. Concerning

the crane control problem, unmatched uncertainties become challenging. This

chapter focuses on compensator design based on sliding mode for uncertain

overhead cranes. Three design methods are taken into account, i.e., compensator

design based on hierarchical sliding surfaces, compensator design based on fuzzy

logic, and compensator design based on neural networks (NNs). For the purpose of

illustration, an overhead crane is adopted as benchmark, and each control method is

carried out by the transport control problem of the crane. In addition, the chapter

proceeds with source codes of all the simulations.

logic Neural networks

Recall uncertain crane models (2.20) and (2.47). Whatever types of overhead crane

systems are, but overhead crane models cover uncertain terms. Without loss of

generality, the model of single-pendulum-type overhead cranes is employed to

illustrate the design methods of compensator. These design methods can be

extended to double-pendulum-type overhead cranes as well.

Consider the crane mode (2.20). 1 and 2 in (2.20) cover both matched and

unmatched uncertainties. Due to the invariance of sliding mode control (SMC),

matched parts of uncertainties in the crane model can be overcome. As far as crane

control is concerned, a crucial issue is how to deal with unmatched uncertainties.

This chapter attacks the issue. Some design methods will be developed to achieve

the robustness of crane control based on SMC.

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_5

168 5 Compensator Design Based on Sliding Mode

Crane systems are inherently uncertain and nonlinear. Model uncertainties are

inevitable in practice. The crane dynamics are subject to uncertainties. The

uncertainties, including parameter fluctuations, model uncertainties and random

external disturbances, cover both matched and unmatched uncertainties, where the

unmatched uncertainties cannot be suppressed by the invariance of SMC.

The uncertain crane mode (2.20) can be divided into two parts, i.e., nominal

crane model and uncertainties. Consider the nominal crane model (2.16). Many

design methods based on SMC have been introduced in Chaps. 3 and 4. Section 5.2

investigates the problem of compensator design based on the aggregated hierar-

chical SMC.

Generally speaking, there are two methods to design a compensator on basis of the

hierarchical sliding surfaces [1]. One is to design a distributed compensator and

compensate the unmatched uncertainties at every layer of the hierarchical sliding

mode surfaces [2]. Two disadvantages of this idea are that this makes the controller

structure complex and that if the compensator at a lower layer does not eliminate

the uncertainties, it will affect the stabilities of higher layers. The other method is to

design a lumped compensator and compensate the unmatched uncertainties at the

top layer. Its advantage is that this method simplies the control design. Thus, a

lumped sliding mode compensator at the top layer is designed in Sect. 5.2.

Consider the crane mode (2.20). Design the aggregated hierarchical sliding

surfaces illustrated in Fig. 4.1 and formulate the sliding surfaces as (4.1), (4.2) and

(4.3). To overcome the uncertainties, the control input u of the uncertain crane

system is dened by

u un ucn 5:1

where ucn is the law of compensation based on the aggregated hierarchical sliding

surfaces; un is the aggregated HSMC law and its design and analysis have been

introduced in detail in Sect. 4.2.

In (5.1), some expressions about the control law un for the nominal crane system

will be directly employed without more explanations. However, ucn is kept

unknown, and its expression will be deduced from the stability analysis of the crane

control system.

Because the lumped compensator is located at the top layer of the hierarchical

sliding surfaces, the stability of the top-layer sliding surface S should be rst

considered. To have the stability of the sliding surface S, a Lyapunov function

candidate is dened by

5.2 Compensator Design Based on HSMC 169

S2

Vt 5:2

2

Differentiate V with respect to time t in (5.2) and substitute (4.3) into the

derivative of V. Then, (5.3) can be obtained.

_

Vt SS_ Sa_s1 s_ 2 5:3

Consider the crane mode (2.20). Substituting (4.1) and (4.2) into (5.3) yields

_

Vt Sac1 x_ 1 x_ 2 c2 x_ 3 x_ 4

Sac1 x2 af1 x ab1 xu 5:4

c2 x4 f2 x b2 xu an1 n2

Substitute the control input (5.1) into (5.4). Then, (5.4) becomes

_

Vt Sfac1 x2 af1 x ab1 xun c2 x4 f2 x b2 xun

5:5

ab1 x b2 xucn an1 n2 g

Substituting the aggregated HSMC law of the nominal crane system (4.15) into

(5.5) yields

_

Vt SfjS g sgnS ab1 x b2 xucn an1 n2 g

5:6

jS2 gjSj Sfab1 x b2 xucn an1 n2 g

d0 sgnS

ucn 5:7

ab1 x b2 x

Substitute (5.7) into (5.6). Then, the derivative of V has the form of

_

Vt jS2 gjSj Sd0 sgnS an1 n2

5:8

jS2 gjSj Sd0 sgnS jjan1 n2 jj

_

Vt\0 can be derived from (5.8) because of d0 sup jan1 j sup jn2 j. As a result,

the aggregated sliding surface S located at the top layer is of asymptotic stability in

the crane control system with unmatched uncertainties.

By means of the control scheme, the HSMC law of the nominal crane system in

(4.15) and the compensation law of the unmatched uncertainties in (5.7) work

together to achieve the strong robustness of the crane control system against

170 5 Compensator Design Based on Sliding Mode

unmatched uncertainties. At last, the nal control aw of the uncertain crane system

has the form of

u un ucn

ueq1 ueq2 usw ucn

5:9

ab1 xueq1 b2 xueq2 jS gsgnS d0 sgnS

ab1 x b2 x ab1 x b2 x

In (5.9), two terms include the signum functions. They distribute the HSMC law

of the nominal crane system and the compensation law of the uncertainties,

respectively. In the view of mathematics, they can merge each other. However, they

have private physical signicances.

The parameter is inherited from the HSMC law of the nominal crane system,

and its function is to guarantee the reachability of sliding mode of the top-layer

sliding surface.

The parameter d0 is dened according to the sum of the two supremums of

unmatched uncertainties, and its function is to compensate the adverse effects of

unmatched uncertainties on the system stability. To have the system stability,

sup jan1 j sup jn2 j should be obtained to dene the control parameter d0. However,

the value is hard to know in practice.

uncertainties (2.20), design the hierarchical sliding surfaces (4.1), (4.2) and (4.3),

and dene the control law (5.9). Then, the aggregated sliding surface S at the top

layer and the subsystem sliding surfaces s1 and s2 are of asymptotic stability.

Proof The proof is very similar to the proofs of Theorems 4.1 and 4.2. h

structure of sliding surfaces for uncertain crane systems, some numerical results are

illustrated. Some physical parameters of the crane are determined in Table 4.1. The

initial and desired positions of the trolley are also determined in Table 4.1. The

control law based the hierarchical sliding surfaces for the nominal crane system is

adopted, where the parameters of the hierarchical sliding surfaces are kept

5.2 Compensator Design Based on HSMC 171

unchanged from Sect. 4.2 and the coefcients of the switching control law are also

kept unchanged from Sect. 4.2.

In the uncertain crane model (2.20), both the uncertain terms 1 and 2 are set by

0.1 [2 rand()1], where rand() is a Matlab command to generate a random

number drawn from the standard uniform distribution on the open interval (0, 1).

Concerning the compensator design, only a parameter d0 has to be set according to

the two supremums of unmatched uncertainties. Here d0 is selected as 0.2.

Some results are displayed in Figs. 5.1 and 5.2, obtained by a Simulink model of

MATLAB in Appendix A. The crane performance is illustrated in Fig. 5.1, where

the trolley position, the trolley velocity, the payload angle, and the payload angular

velocity are displayed in Fig. 5.1ad, respectively. From Fig. 5.1a, the trolley can

arrive at the origin from the initial position at about 6 s. The maximum payload

deviation is about 0.14 rad in Fig. 5.1c. During the crane transportation, such a

small deviation is good enough in practice to increase crane effectiveness and

throughout.

In Fig. 5.1c, d, there are some slightly residual oscillations because of the

existence of uncertainties. Although the compensator plus controller structure

cannot realize the zeroth residual oscillations compared with the nominal crane

control system in Sect. 4.2, the control scheme can still resist unmatched uncer-

tainties. In Fig. 5.1, the aggregated HSMC law of the nominal crane system works

together with the compensation law of uncertainties to realize the robust control of

the uncertain crane system.

The control performance is displayed in Fig. 5.2, where the control input u, the

compensation law ucn, the subsystem sliding surface s1 at the rst layer, the

Fig. 5.1 System performance by the compensator design based on the aggregated HSMC method.

a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

172 5 Compensator Design Based on Sliding Mode

Fig. 5.2 Control performance by the compensator design on basis of the aggregated HSMC

method. a Control input u; b Compensation law; c Subsystem sliding surface s1 at the rst layer;

d Subsystem sliding surface s2 at the rst layer; e Second-layer sliding surface S

subsystems sliding surface s2 at the rst layer, and the aggregated sliding surface

S at the second layer are shown in Fig. 5.2ae, respectively. In Fig. 5.2a, the

maximum of the absolute control input is about 100 N. The maximum of the

absolute compensation law is about 2.3 N. The fact indicates that the part of the

compensation law is very small in the total control law. In Fig. 5.2e, the sliding

mode of the aggregated sliding surface at the top layer is reachable at about 2 s.

Thereafter, the two sliding surfaces at the rst layer tend to their subsystems origins

along the two subsystem sliding surfaces.

A critical assumption in Sect. 5.2 is that the system uncertainties must have a

known boundary in (5.7). However, the boundary value is hard to exactly know in

practice. The lack of knowing the important information may cause several prob-

lems such as deciency of the system stability, decrease of the system robustness,

and deterioration of the system performance. To turn SMC-based compensator

methods into practical account on the transport control problem of uncertain crane

systems, it is necessary to approximate and compensate the uncertainties.

5.3 Sliding Mode-Based Fuzzy Compensator Design 173

The methodology of fuzzy logic has been proven to be effective in dealing with

complex nonlinear systems containing uncertainties that are otherwise difcult to

model. The fuzzy logic method has been applied to many practical applications,

especially in MEMS triaxial gyroscope system [3], mechanical manipulator [4],

vector voltmeter [5], etc. The fuzzy logic method is also a possible choice to attack

the uncertainties of the SMC-based crane control problem.

A fuzzy inference system (FIS) [6] consists of four parts: knowledge base, fuzzier,

fuzzy inference engine, and defuzzier, where the knowledge base is composed of

some fuzzy if-then rules and the fuzzy inference engine employs the rules.

Consider a multi-input multi-output FIS. The structure of this FIS is displayed in

Fig. 5.3, where the input vector is a = [a1, a2, , am]T 2 <m , the output vector

b = [b1, b2, , bn]T 2 <n , and every element in the vectors a and b is scalar. The

multi-input multi-output if-then rules can be expressed by

R [M

l1 Rl 5:10

rules, and the lth rule is described by

174 5 Compensator Design Based on Sliding Mode

Alp and Blq in (5.11) are the linguistic variables of the fuzzy sets, where p = 1, 2,

, m and q = 1, 2, , n. Both the linguistic variables are determined by their

membership functions lAlp ap and lBlq bq , here l = 1, 2, , M.

Adopting the singleton fuzzier mapping, the product inference engine, and the

center-average defuzzier mapping, the qth output of the FIS has a form of

X

M

bq bl wl a HT wa 5:12

q q

l1

where wl a is calculated by

Qm

p1 lAl ap

wl a PM Qm p 5:13

l1 p1 lAlp ap

Hq b1q ; . . .;

bM T l

q 2 < is named the parameter vector, where bq is an adaptively

M

matrix H.

Associated with the application of the FIS, the purpose is to approximate the

uncertainties in the crane dynamics (2.20) so that the approximate values are def-

initely selected as the FIS outputs, i.e., b ^ n1 ; ^n2 T . Moreover, the system

uncertainties have a direct effect on the crane performance so that the state variables

_ T.

in the crane dynamics (2.20) are picked up as the FIS inputs, i.e., a x; x_ ; h; h

The linguistic labels of Ap are chosen as ve levels, i.e., NB, NS, ZO, PS, and

l

PB, denoting negative big, negative small, zero, positive small, and positive big,

respectively. The membership function of Alp is Gaussian, dened by

!

ap cp 2

lAlp ap exp 5:14

2o2p

where cp and op are the center and width of the Gaussian function and p = 1, 2, 3, 4.

From (5.12), the approximate values b ^n1 ; ^n2 T can be calculated by

" # " #

^n1 _

HT1 wx; x_ ; h; h

T _

H wx; x_ ; h; h 5:15

^n2 H wx; x_ ; h; h

T _

2

_ is 625 1.

where the approximate matrix H is 625 2 and wx; x_ ; h; h

5.3 Sliding Mode-Based Fuzzy Compensator Design 175

Provided that an optimal parameter matrix H exists, the matrix has a form of

" " # #

^n n1

1

H arg min sup 5:16

H2v0 ^n n 2

2

error vector can be determined by

" #

^n1 n1

q 5:17

^n2 n2

The designed FIS is a 4-input- 2-output, and the linguistic variables of the inputs

are divided into 5 levels. Consequently, the FIS covers 54 fuzzy rules in its

knowledge base.

There are two ways to reduce the number of fuzzy rules. One is to cut the number

of inputs. The other is to reduce the number of levels. The uncertain terms have a

direct effect on the crane state variables. Once the number of inputs is decreased, the

FIS may not work because it cannot obtain enough information. Once the number of

levels is reduced, the accuracy of the FIS will denitely decrease.

The accuracy of the FIS may increase if the number of levels is increased. But

the increase will result in computational burden. Here, the number of levels is

selected as 5 by a trade-off between accuracy and computational burden.

It is proven that fuzzy systems in the form of (5.12) can approximate continuous

function over a compact set to an arbitrary degree of accuracy provided that enough

number of rules is given. Here the ability of approximation of the FIS is employed

to the approximate boundaries of these unknown uncertainties.

Consider the uncertain crane system (2.20), adopt the aggregated structure of

sliding surfaces, design the HSMC law for the nominal crane system, and com-

pensate the uncertainties by the lumped compensator (5.7) at the top layer of the

hierarchical sliding surfaces. However, the boundary values of the uncertainties are

kept unknown so that the control law of the uncertain crane (5.1) cannot be directly

employed here. To approximate the boundary values, the designed FIS is adopted,

where the approximation values of the boundary values are the network outputs.

Finally, the control law can be rewritten by

ab1 xueq1 b2 xueq2 jS gsgnS d^0 sgnS 5:18

ab1 x b2 x ab1 x b2 x

176 5 Compensator Design Based on Sliding Mode

In (5.18), and are positive scalars; d^0 determined by the network outputs has

the form of d^0 ja^n1 j j^n2 j.

uncertainties (2.20), design the hierarchical sliding surfaces (4.1), (4.2) and (4.3),

construct the FIS (5.12), and dene the control law (5.18). Then, the aggregated

sliding surface S at the top layer is of asymptotic stability if and only if

H _ and

_ 1 a1 C1 S wx; x_ ; h; h _

_ 2 C1 S wx; x_ ; h; h

H 5:19

1 2

Proof Take the positive denite function (5.20) into account as a Lyapunov can-

didate function

1 1X 2

~ T Cq H

~q

Vt S2 H 5:20

2 2 q1 q

~ q H Hq .

where H q

Differentiating (5.20) with respect to time t yields

X

2

_

Vt SS_ H ~_ q

~ T Cq H 5:21

q

q1

uncertain crane dynamics into the derivative of S. Then, (5.22) can be obtained

S_ a_s1 s_ 2

ac1 x_ 1 x_ 2 c2 x_ 3 x_ 4 5:22

ac1 x2 f1 b1 u n1 c2 x4 f2 b2 u n2

Consider the control law for the uncertain crane system (5.18) and the HSMC

law of the nominal crane system. Equation (5.23) can be deduced from (5.22).

jS gsgnS ab1 b2 ucn an1 n2

jS gsgnS d^0 sgnS an1 n2 5:23

5.3 Sliding Mode-Based Fuzzy Compensator Design 177

Consider the FIS output (5.12). Substituting (5.13) into (5.21) yields

X

2

_

Vt SjS gsgnS d^0 sgnS an1 n2 H ~_ q

~ T Cq H

q

q1

X

2

SjS gsgnS aS^n1 n1 S^n2 n2 ~_ q

~ T Cq H

H 5:24

q

q1

X

2

jS2 gjSj H ~_ q SH

~ T Cq H _

~ T wx; x_ ; h; h

q q

q1

_

Vt jS2 gjSj aq1 q2 S

5:25

jS2 gjSj aq1 q2 jSj

_

Vt\0 in (5.25) exist because of |1| + |2|. In the sense of Lyapunov, the

crane control system is asymptotically stable. As a result, the adaptive law (5.19) of

the designed FIS is convergent and the aggregated sliding surface at the top layer is

of asymptotic stability. h

Theorem 5.3 Consider the single-pendulum-type overhead crane system with

uncertainties (2.20), design the hierarchical sliding surfaces (4.1), (4.2) and (4.3),

construct the FIS (5.12), and dene the control law (5.18). Then, the subsystem

sliding surfaces s1 and s2 are of asymptotic stability.

Proof The proof of Theorem 5.3 is very similar to the proof of Theorem 4.2. h

To verify the feasibility and validity of the fuzzy compensator design based on

HSMC for uncertain crane systems, some numerical results are illustrated in

Figs. 5.4, 5.5 and 5.6, obtained by a Simulink model of MATLAB in Appendix B.

Some physical parameters of the crane are determined in Table 4.1. The initial

position of the trolley is located at the origin and the desired position is assigned to

x = 1 m. The control law based the hierarchical sliding surfaces for the nominal

crane system is adopted, where the parameters of the hierarchical sliding surfaces

are kept unchanged from Sect. 4.2 and the coefcients of the switching control law

are also kept unchanged from Sect. 4.2.

The centers of the Gaussian function (5.14) are set by /2, /4, 0, /4, and /2.

p

The width of the Gaussian function is set by 2 /8. Both 1 and 2 in (5.19) are

178 5 Compensator Design Based on Sliding Mode

set by 0.5. In the uncertain crane model (2.20), both the uncertain terms 1 and 2

are set by 0.1 [2 rand() 1], where rand() is a MATLAB command to generate

a random number drawn from the standard uniform distribution on the open

interval (0, 1).

The crane performance is illustrated in Fig. 5.4, where the trolley position, the

trolley velocity, the payload angle, and the payload angular velocity are displayed

in Fig. 5.4ad, respectively. From Fig. 5.4, the trolley can arrive at the desired

position from the origin at about 6 s. During the crane movement, the maximum

payload deviation is about 0.05 rad. Such a small deviation is good enough in real

crane applications to increase effectiveness and throughout. However, the payload

angle has some slight residual oscillations from the angle and angular velocity

curves in Fig. 5.4c, d. From Fig. 5.4, the aggregated HSMC law of the nominal

crane system works together with the fuzzy compensation law of uncertainties

against the uncertainties of the crane system. Such combinations can realize the

strong robustness against uncertainties of crane control systems.

The curves of the aggregated sliding surfaces are displayed in Fig. 5.5, where the

sliding surface at the top layer S, the subsystem sliding surface s1 at the rst layer

and the subsystem sliding surface s2 at the rst layer are shown in Fig. 5.5ac,

respectively. From Fig. 5.5, the sliding surface at the top layer rst arrives at its

sliding mode at about 1 s. Then, the state trajectories of the two subsystems slide

Fig. 5.4 System performance by the fuzzy compensator design based on the aggregated HSMC

method. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

5.3 Sliding Mode-Based Fuzzy Compensator Design 179

Fig. 5.5 Hierarchical sliding surfaces. a Sliding surface S at the top layer; b Subsystem sliding

surface s1 at the rst layer; c Subsystem sliding surface s2 at the rst layer

along their private sliding surface and converge to their subsystem origins. As

proven in Theorems 5.2 and 5.3, only the reachability of the sliding surface at the

top layer is guaranteed. The sliding modes of the subsystem sliding surfaces cannot

be reached at nite time and their sliding modes are asymptotic.

Figure 5.6 shows the control performance by the fuzzy compensation law based

on the aggregated HSMC method, where the control input u, the compensator

output ^

n1 , and the compensator output ^n2 are displayed in Fig. 5.6ac, respectively.

From Fig. 5.6a, the maximum control input is about 40 N. However, u has to switch

in high frequency to resist the system uncertainties. From Fig. 5.6b, c, the two

compensators can adaptively track the system uncertainties according to the

adaptive law (5.14) till the compensator outputs tend to be stable.

Neural networks [7] use algorithms in their programming, and they use weights to

change the parameters of the throughput and the varying connections to the neu-

rons. The neural network types vary a lot, where the type of radial basis function

(RBF) neural networks (NNs) is often employed as a universal approximator [8].

In [9], a gradient-type method on basis of RBF NNs is proposed to deal with the

180 5 Compensator Design Based on Sliding Mode

Fig. 5.6 Control performance by the fuzzy compensator design based on the aggregated HSMC

method. a Control input u; b Compensator output ^

n1 ; c Compensator output ^

n2

dead band nonlinearity. Provided that the crane uncertainties have an unknown

boundary, the RBF NNs in Sect. 5.4 are designed to compensate the crane

uncertainties. Weight update formulas of the networks are deduced from Lyapunov

direct method, so the weight convergence and system stability are simultaneously

guaranteed in the sense of Lyapunov.

RBF networks are a kind of three-layer feed-forward networks, where the mapping

from the input layer to the output layer is inherently nonlinear but the mapping from

the hidden layer to the output layer is linear. Since RBF NNs have the ability to

approximate complex nonlinear mapping directly from inputoutput data with a

simple topological structure, such kind of NNs is adopted here to realize the

compensator design [10].

5.4 Sliding Mode-Based Neural Compensator Design 181

RBF networks

The prototype of the designed RBF networks is illustrated in Fig. 5.7. In Fig. 5.7,

there are m neurons at the input layer and each element xq is employed as an input

element, where q = 1, , m. There are l neurons in the hidden layer. At the output

layer, only 1 neuron is assigned and the network output is written by y. In other

words, the designed RBF networks have m inputs and 1 output.

Associated with the application of the RBF networks, the purpose is to

approximate the uncertainties in the crane dynamics (2.20) so that the approximate

values are denitely selected as the network output. To approximate the two

uncertain terms in (2.20), two RBF networks have to be employed and the ith

network output is described by yi ^ni (i = 1, 2). Moreover, the system uncertainties

have a direct effect on the crane performance so that the state variables x

_ T in the crane dynamics (2.20) are picked up as the network inputs.

x; x_ ; h; h

From Fig. 5.7, the network output of the ith network can be calculated by

^ni x; xi xT hx 5:26

i

where xi 2 <l is the weight vector of the ith RBF network; hx 2 <l is the

Gaussian function vector and the pth element hp(x) of the vector hp(x) is dened by

!

jjx cp jj2

hp x exp 5:27

2o2p

function. p is scalar, indicating the width of the pth Gaussian function. Both cp and

p are predened.

Consider the uncertain crane system (2.20). Since the compensator has two RBF

networks, the vector n describing the approximate values can be written by

" # " #

^n1 x; x1 xT1 hx

n 5:28

^n2 x; x2 xT2 hx

182 5 Compensator Design Based on Sliding Mode

Consider the uncertain crane system (2.20), adopt the aggregated structure of

sliding surfaces, design the HSMC law for the nominal crane system, and com-

pensate the uncertainties by the lumped compensator (5.7) at the top layer of the

hierarchical sliding surfaces. However, the boundary values of the uncertainties are

kept unknown so that the control law of the uncertain crane (5.1) cannot be directly

employed here.

To approximate the boundary values, both of the designed RBF networks are

adopted and the control law can be rewritten by

u un ucn

ueq1 ueq2 usw ucn

5:29

ab1 xueq1 b2 xueq2 jS gsgnS d^0 sgnS

ab1 x b2 x ab1 x b2 x

Assumption 5.1 For either of the designed RBF networks, there exists an optimal

weight vector xi such that the network output satises

T

x hx sup jni j ex\ei 5:30

i 0

Assumption 5.2 The boundary value sup jni j minus the norm of the system

uncertainties satises the following formula

uncertainties (2.20), design the hierarchical sliding surfaces (4.1), (4.2) and (4.3),

construct the RBF neural networks (5.26), and dene the control law (5.29). If the

update formulas are dened by (5.32), then the aggregated sliding surface S at the

top layer is of asymptotic stability.

x_ 1 aC1

1 jSj hx

5:32

x_ 2 C1

2 jSj hx

5.4 Sliding Mode-Based Neural Compensator Design 183

Proof Take the positive denite function (5.33) into account as a Lyapunov can-

didate function

1 X2

C1 T

Vt S2 ~ x

x ~i 5:33

2 i1

2 i

~ i is determined by

In (5.33), x

~ i xi xi

x 5:34

X

2

_

Vt SS_ ~ Ti x_ i

Ci x 5:35

i1

uncertain crane dynamics into the derivative of S. Then, (5.36) can be obtained

S_ a_s1 s_ 2 ac1 x_ 1 x_ 2 c2 x_ 3 x_ 4

5:36

ac1 x2 f1 b1 u n1 c2 x4 f2 b2 u n2

Consider the control law for the uncertain crane system (5.29) and the HSMC

law of the nominal crane system. Equation (5.37) can be deduced from (5.36).

S_ ac1 x2 f1 c2 x4 f2 ab1 b2 un

ab1 b2 ucn an1 n2

5:37

jS gsgnS ab1 b2 ucn an1 n2

jS gsgnS d^0 sgnS an1 n2

Consider the outputs (5.28) of the RBF neural networks. Substituting (5.37) into

(5.35) yields

X

2

_ SjS gsgnS a^n1 n1 ^n2 n2

Vt ~ Ti x_ i

Ci x 5:38

i1

h i

_ S jS gsgnS a^n1 n1 ^n2 n2

Vt

ax1 x1 T hxjsj x2 x2 T hxjsj 5:39

jS2 gjSj ae11 e10 jSj e21 e20 jSj

184 5 Compensator Design Based on Sliding Mode

_

Concerning Assumptions 5.1 and 5.2, Vt\0 in (5.39) exists. In the sense of

Lyapunov, the crane control system is asymptotically stable. Consequently, the

adaptive law (5.32) of the designed RBF networks is convergent and the aggregated

sliding surface at the top layer is of asymptotic stability. h

Theorem 5.5 Consider the single-pendulum-type overhead crane system with

uncertainties (2.20), design the hierarchical sliding surfaces (4.1), (4.2) and (4.3),

construct the RBF networks (5.26), and dene the control law (5.29). Then, the

subsystem sliding surfaces s1 and s2 are of asymptotic stability.

Proof The proof of Theorem 5.5 is very similar to the proof of Theorem 4.2. h

To verify the feasibility and validity of the neural compensator design based on

HSMC for uncertain crane systems, some numerical results are illustrated in

Figs. 5.8, 5.9 and 5.10, obtained by a Simulink model of MATLAB in Appendix C.

Some physical parameters of the crane are determined in Table 4.1. The initial

position of the trolley is located at x = 2 m and the desired position is assigned to

the origin. The control law based the hierarchical sliding surfaces for the nominal

crane system is adopted, where the parameters of the hierarchical sliding surfaces

are kept unchanged from Sect. 4.2 and the coefcients of the switching control law

are also kept unchanged from Sect. 4.2.

Both the centers and width of the Gaussian function (5.27) [11] are set by 1. The

initial weights of the two neural networks are designed as random numbers on the

open interval (0, 1). Both 1 and 2 in (5.19) are set by 1079. In the uncertain crane

model (2.20), both the uncertain terms 1 and 2 are set by 0.1 [2 rand() 1],

where rand() is a MATLAB command to generate a random number drawn from

the standard uniform distribution on the open interval (0, 1).

The crane performance is illustrated in Fig. 5.8, where the trolley position, the

trolley velocity, the payload angle, and the payload angular velocity are displayed

in Fig. 5.8ad, respectively. From Fig. 5.8a, the trolley can arrive at the origin from

the initial position at about 6 s. The maximum angular deviation is about 0.2 rad.

From Fig. 5.8b, d, the payload angle has some residual oscillations because of the

adverse effects of uncertainties. From Fig. 5.8, the aggregated HSMC law of the

nominal crane system works together with the neural network-based compensation

law of uncertainties against the uncertainties of the crane system. Such combina-

tions can realize the strong robustness against uncertainties of crane control

systems.

The curves of the aggregated sliding surfaces are displayed in Fig. 5.9, where the

sliding surface at the top layer S, the subsystem sliding surface s1 at the rst layer

and the subsystem sliding surface s2 at the rst layer are shown in Fig. 5.9ac,

5.4 Sliding Mode-Based Neural Compensator Design 185

Fig. 5.8 System performance by the neural compensator design based on the aggregated HSMC

method. a Trolley position; b Trolley velocity; c Payload angle; d Payload angular velocity

Fig. 5.9 Hierarchical sliding surfaces. a Sliding surface S at the top layer; b Subsystem sliding

surface s1 at the rst layer; c Subsystem sliding surface s2 at the rst layer

186 5 Compensator Design Based on Sliding Mode

Fig. 5.10 Control performance by the neural compensator design based on the aggregated HSMC

method. a Control input u; b Compensator output ^

n1 ; c Compensator output ^n2

respectively. From Fig. 5.9, the sliding surface at the top layer rst arrives at its

sliding mode at about 1.5 s. Then, the state trajectories of the two subsystems slide

along their private sliding surface and converge to their subsystem origins. As

proven in Theorems 5.4 and 5.5, only the reachability of the sliding surface at the

top layer is guaranteed. The sliding modes of the subsystem sliding surfaces cannot

be reached at nite time and their sliding modes are asymptotic.

Figure 5.10 shows the control performance by the neural compensation law

based on the aggregated HSMC method, where the control input u, the compensator

output ^ n1 , and the compensator output ^n2 are displayed in Fig. 5.10ac, respec-

tively. From Fig. 5.10a, the maximum control input is about 50 N. However, u has

to switch in high frequency to resist the system uncertainties. From Fig. 5.10b, c,

the two neural-network-based compensators can adaptively track the system

uncertainties according to the adaptive law (5.32) till the compensator outputs tend

to be stable. Compared with the results in Fig. 5.6b, c, the results in Fig. 5.10b, c

illustrate that the neural-network-based compensators have different outputs. The

fuzzy logic-based compensator design has constant outputs as approximation values

of uncertainties. However, the neural-network-based compensators have the zeroth

outputs as t tends to innite.

Appendices 187

Appendices

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 4;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 4;

sizes.NumInputs = 1;

sizes.DirFeedthrough = 0;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlDerivatives(t,x,u)

188 5 Compensator Design Based on Sliding Mode

%parameter

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(x(3)));C=(cos(x(3)));D=l;

sys(1)=x(2);

sys(2)=((u(1)+m*l*x(4)^2*sin(x(3)))*D+g*B*sin(x(3)))*inv(A*D-

B*C)+0.1*(2*rand()-1);

b1 =D*inv(A*D-B*C);

f1 =(m*l*x(4)^2*sin(x(3))*D+g*B*sin(x(3)))*inv(A*D-B*C);

sys(3)=x(4);

sys(4)=((u(1)+m*l*x(4)^2*sin(x(3)))*C+g*A*sin(x(3)))*inv(B*C-

A*D)+0.1*(2*rand()-1);

b2 =C*inv(B*C-A*D);

f2 =(m*l*x(4)^2*sin(x(3))*C+g*A*sin(x(3)))*inv(B*C-A*D);

function sys=mdlOutputs(t,x,u)

sys = x;

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 0;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 5;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlOutputs(t,x,u)

% parameter of system

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=l;E=(m*l*sin(u(3)));

% parameter of controller

Appendices 189

%e=x-xd;

e(1)=(u(1));e(2)=u(2);e(3)=u(3);e(4)=u(4);

k=3;ita=0.1;

s1=afa(1)*e(1)+bata(1)*e(2);

S1=s1;

s2=afa(2)*e(3)+bata(2)*e(4);

S2=a*S1+s2;

s=S2;

b1 =D*inv(A*D-B*C);

f1 =(m*l*u(4)^2*sin(u(3))*D+g*B*sin(u(3)))*inv(A*D-B*C);

b2 =C*inv(B*C-A*D);

f2 =(m*l*u(4)^2*sin(u(3))*C+g*A*sin(u(3)))*inv(B*C-A*D);

den=a*bata(1)*b1+bata(2)*b2;

num=a*(afa(1)*u(2)+bata(1)*f1)+(afa(2)*u(4)+bata(2)*f2);

ds=-k*s-ita*sign(s);

dd0=0.2;

uslaw=-num*inv(den)+ds*inv(den)-dd0*inv(den);

sys(1)=uslaw;

sys(2)=s1;

sys(3)=s2;

sys(4)=S2;

sys(5)=-dd0*inv(den);

190 5 Compensator Design Based on Sliding Mode

The file is very similar to the SPCrane.m file in Appendix A, Chap. 5.

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {1,2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 1250;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 6;

sizes.NumInputs = 6;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 1; % at least one sample time is needed

sys = simsizes(sizes);

x0 = [0.1*ones(1250,1)];

str = [];

ts = [0 0];

function sys=mdlDerivatives(t,x,u)

q1=u(1);dq1=u(2);q2=u(3);dq2=u(4);

fsd1=0;

for l1=1:1:5

gs1=-[(q1+pi/2-(l1-1)*pi/4)/(pi/4)]^2;

u1(l1)=exp(gs1);

end

for l11=1:1:5

gs11=-[(dq1+pi/2-(l11-1)*pi/4)/(pi/4)]^2;

U1(l11)=exp(gs11);

end

fsd2=0;

for l2=1:1:5

gs2=-[(q2+pi/2-(l2-1)*pi/4)/(pi/4)]^2;

u2(l2)=exp(gs2);

end

Appendices 191

for l22=1:1:5

gs22=-[(dq2+pi/2-(l22-1)*pi/4)/(pi/4)]^2;

U2(l22)=exp(gs22);

end

for l1=1:1:5

for l11=1:1:5

fsu1=u1'*U1;

end

end

AA=fsu1';BB=AA(:);

for l2=1:1:5

for l22=1:1:5

fsu2=u2'*U2;

end

end

CC=fsu2';DD=CC(:);

EE=BB*DD';FF=EE';GG=FF(:);

for L1=1:1:625

fsd1=fsd1+EE(L1);

end

fs1=GG'/(fsd1+0.001);

for L2=1:1:625

fsd2=fsd2+EE(L2);

end

fs2=GG'/(fsd2+0.001);

%state error;

e1=(u(1))-1;e2=u(2);

e3=u(3);e4=u(4);

lamad1=1;lamad2=10;alpha1=-3;alpha2=1;

s1=e2+lamad1*e1;

s2=e4+lamad2*e3;

s=alpha1*s1+alpha2*s2;

Gama1=0.5;Gama2=0.5;

S1=1/Gama1*s*fs1;

S2=1/Gama2*s*fs2;

for i=1:1:625

sys(i)=S1(i);

end

for j=626:1:1250

sys(j)=S2(j-625);

end

function sys=mdlOutputs(t,x,u)

ita=0.1;k=1;lamad1=0.7;lamad2=8.2;alpha1=-2.3;alpha2=1;

% parameter of system

g=9.81;M=37.32;m=5;l=1.05;

192 5 Compensator Design Based on Sliding Mode

A=(M+m);B=(m*l*cos(u(3)));

C=(cos(u(3)));D=(m*l*sin(u(3)));

%state error;

e1=(u(1))-1;e2=u(2);

e3=u(3);e4=u(4);

s1=e2+lamad1*e1;

s2=e4+lamad2*e3;

s=alpha1*s1+alpha2*s2;

ds=ita*sign(s)+k*s;

f1=(D*(u(4))^2+C*D*g/l)/(A-B*C/l);

b1=1/(A-B*C/l);

f2=(D*C*(u(4))^2+A*g*sin(u(3)))/(B*C-A*l);

b2=C/(B*C-A*l);

for i=1:1:625

thta1(i,1)=x(i);

end

for i=1:1:625

thta2(i,1)=x(i+625);

end

q1=u(1);dq1=u(2);q2=u(3);dq2=u(4);

fsd1=0;

for l1=1:1:5

gs1=-[(q1+pi/2-(l1-1)*pi/4)/(pi/4)]^2;

u1(l1)=exp(gs1);

end

for l11=1:1:5

gs11=-[(dq1+pi/2-(l11-1)*pi/4)/(pi/4)]^2;

U1(l11)=exp(gs11);

end

fsd2=0;

for l2=1:1:5

gs2=-[(q2+pi/2-(l2-1)*pi/4)/(pi/4)]^2;

u2(l2)=exp(gs2);

end

for l22=1:1:5

gs22=-[(dq2+pi/2-(l22-1)*pi/4)/(pi/4)]^2;

U2(l22)=exp(gs22);

end

for l1=1:1:5

for l11=1:1:5

fsu1=u1'*U1;

end

end

AA=fsu1';BB=AA(:);

for l2=1:1:5

for l22=1:1:5

fsu2=u2'*U2;

end

end

CC=fsu2';DD=CC(:);

Appendices 193

EE=BB*DD';

FF=EE';GG=FF(:);

for L1=1:1:625

fsd1=fsd1+EE(L1);

end

fs1=GG'/(fsd1+0.001);

for L2=1:1:625

fsd2=fsd2+EE(L2);

end

fs2=GG'/(fsd2+0.001);

Fp1=thta1'*alpha1*fs1';

Fp2=thta2'*alpha1*fs2';

%Fp2=0.1; %adopt them to make comparison with the desired fuzzy compen-

sator

con_law=inv(alpha1*b1+alpha2*b2)*(-alpha1*f1-alpha2*f2-

abs(alpha1*Fp1)*sign(s)-abs(alpha2*Fp2)*sign(s)...

-alpha1*lamad1*e2-alpha2*lamad2*e4-ds);

sys(1)=con_law;

sys(2)=s;

sys(3)=Fp1; %out of compensator

sys(4)=Fp2; %out of compensator

sys(5)=s1;

sys(6)=s2;

194 5 Compensator Design Based on Sliding Mode

The file is very similar to the SPCrane.m file in Appendix A, Chap. 5.

function [sys,x0,str,ts] = sfuntmpl(t,x,u,flag)

switch flag,

case 0,

[sys,x0,str,ts]=mdlInitializeSizes;

case 1,

sys=mdlDerivatives(t,x,u);

case 3,

sys=mdlOutputs(t,x,u);

case {2,4,9}

sys=[];

otherwise

error(['Unhandled flag = ',num2str(flag)]);

end

function [sys,x0,str,ts]=mdlInitializeSizes

sizes = simsizes;

sizes.NumContStates = 12;

sizes.NumDiscStates = 0;

sizes.NumOutputs = 6;

sizes.NumInputs = 4;

sizes.DirFeedthrough = 1;

sizes.NumSampleTimes = 0; % at least one sample time is needed

sys = simsizes(sizes);

function sys=mdlDerivatives(t,x,u)

we1=1*ones(4,6);we2=1*ones(4,6);bb1=1*ones(6,1);bb2=1*ones(6,1);

xstate=[u(1);u(2);u(3);u(4)];

ita=0.2;k=3;lamad1=0.7;lamad2=8.2;alpha1=-2.3;alpha2=1;

s1=u(2)+lamad1*u(1);

s2=u(4)+lamad2*u(3);

s=alpha1*s1+alpha2*s2;

ds=ita*sign(s)+k*s;

% s=c*xstate;

for j=1:6

h1(j)=exp(-norm(xstate-we1(:,j))^2/(2*bb1(j)^2));

end

for j=1:6

h2(j)=exp(-norm(xstate-we2(:,j))^2/(2*bb2(j)^2));

end

Appendices 195

eq0=0.002;

eq1=0.001;

xite1=alpha1*10^81;

xite2=10^81;

for i=1:6

sys(i)=xite1*abs(s)*h1(i);

end

for i=1:6

sys(i+6)=xite2*abs(s)*h2(i);

end

function sys=mdlOutputs(t,x,u)

we1=10*ones(4,6);we2=10*ones(4,6);bb1=1*ones(6,1);bb2=1*ones(6,1);

% parameter of system

g=9.81;M=37.32;m=5;l=1.05;

A=(M+m);B=(m*l*cos(u(3)));C=(cos(u(3)));D=l;E=(m*l*sin(u(3)));

% parameter of controller

%e=x-xd;

e(1)=(u(1));e(2)=u(2);e(3)=u(3);e(4)=u(4);

ita=0.2;k=3;lamad1=0.7;lamad2=8.2;alpha1=-2.3;alpha2=1;

s1=u(2)+lamad1*u(1);

s2=u(4)+lamad2*u(3);

s=alpha1*s1+alpha2*s2;

ds=ita*sign(s)+k*s;

% c=[1.6 2.3 -8.7 1];

% s=c*u;

% k=10;

% eta=0.01;

b1 =D*inv(A*D-B*C);

f1 =(m*l*u(4)^2*sin(u(3))*D+g*B*sin(u(3)))*inv(A*D-B*C);

b2 =C*inv(B*C-A*D);

f2 =(m*l*u(4)^2*sin(u(3))*C+g*A*sin(u(3)))*inv(B*C-A*D);

den=alpha1*b1+b2;

num=alpha1*lamad1*u(2)+lamad2*u(4)+alpha1*f1+f2;

% we1=1*ones(4,6);

% we2=1*ones(4,6);

% b1=0.20*ones(6,1);

% b2=0.20*ones(6,1);

w1=[x(1);x(2);x(3);x(4);x(5);x(6)];

w2=[x(7);x(8);x(9);x(10);x(11);x(12)];

xstate=[u(1);u(2);u(3);u(4)];

for j=1:6

196 5 Compensator Design Based on Sliding Mode

h1(j)=exp(-norm(xstate-we1(:,j))^2/(2*bb1(j)^2));

end

for j=1:6

h2(j)=exp(-norm(xstate-we2(:,j))^2/(2*bb2(j)^2));

end

Up1=w1'*h1';

Up2=w2'*h2';

ds=-k*s-(ita)*sign(s);

uslaw=-num*inv(den)+ds*inv(den)-(alpha1*Up1+Up2)*sign(s)*inv(den);

sys(1)=uslaw;

sys(2)=Up1;

sys(3)=Up2;

sys(4)=s;

sys(5)=s1;

sys(6)=s2;

References

1. Qian DW, Liu XJ, Yi JQ (2009) Robust sliding mode control for a class of underactuated

systems with mismatched uncertainties. Proc Inst Mech Eng Part I J Syst Control Eng 223

(6):785795

2. Lin CM, Mon YJ (2005) Decoupling control by hierarchical fuzzy sliding-mode controller.

IEEE Trans Control Syst Technol 13(4):593598

3. Fei JT, Zhou J (2012) Robust adaptive control of MEMS triaxial gyroscope using fuzzy

compensator. IEEE Trans Syst Man Cybern, B Cybern 42(6):15991607

4. Singh HP (2014) Simulation of neural network based adaptive compensator control scheme

for multiple mobile manipulators with uncertainties. Int J Nonlinear Sci Numer Simul 15(3

4):181188

5. Chatterjee A, Sarkar G, Rakshit A (2011) A reinforcement-learning-based fuzzy compensator

for a microcontroller-based frequency synthesizer/vector voltmeter. IEEE Trans Instrum Meas

60(9):31203127

6. McNeill FM, Thro E (2014) Fuzzy logic: a practical approach. Academic Press, USA

7. Baughman DR, Liu YA (2014) Neural networks in bioprocessing and chemical engineering.

Academic Press, USA

8. Park J, Sandberg IW (1991) Universal approximation using radial-basis-function networks.

Neural Comput 3(2):246257

9. Wu YL, Sun FC, Zheng JC, Song Q (2010) A robust training algorithm of discrete-time

MIMO RNN and application in fault tolerant control of robotic system. Neural Comput Appl

19(7):10131027

10. Qian DW, Zhao DB, Yi JQ, Liu XJ (2013) Neural sliding-mode load frequency controller

design of power systems. Neural Comput Appl 22(2):279286

11. Qian DW, Yi JQ, Liu XJ (2011) A robust sliding mode controller based on RBF neural

networks for overhead crane systems with uncertain dynamics. ICIC Express Lett 5(6):1995

2000

Chapter 6

Conclusions and Open Problems

application of hierarchical sliding mode control (SMC) methods to the transport

control design of overhead crane systems and draws some concluding remarks, and

summarizes open problems for future research.

Keywords Hierarchical sliding mode control Overhead crane Transport control

6.1 Conclusions

Overhead crane systems are under-actuated because they have a lower number of

control inputs than the number of degrees of freedom to be controlled. Such an

inherent property challenges their control design. Sliding mode control (SMC) is

recognized as one of the efcient tools to design robust controllers for complex

nonlinear systems. Concerning the SMC-based design for overhead crane systems,

it is one of the most active elds of research in control community. For such a wide

research area, this book focuses on the structure design of sliding surfaces.

The physical characteristic is that an overhead crane is composed of several

subsystems. By capturing the characteristic, the methodology of hierarchical sliding

mode control (HSMC) is presented. The HSMC methodology employs the hier-

archical structure design of sliding surfaces for overhead cranes. This methodology

covers three basic types of hierarchical structures, entitled aggregated HSMC,

incremental HSMC and combing HSMC.

Compared with the traditional single-layer sliding surface of several SMC

methods, i.e., integral SMC, 1st-order SMC, 2nd-order SMC, terminal SMC, etc.,

the HSMC methodology has signicantly contributed to reveal the sliding motion

by the phase-plane method because the hierarchical sliding surfaces consists of a

series of 2nd-order sliding surfaces. Such hierarchical surfaces give an insight into

the sliding motion. This book investigates the three kinds of HSMC methods for

single-pendulum-type overhead crane systems. Numerical simulations show the

D. Qian and J. Yi, Hierarchical Sliding Mode Control

for Under-actuated Cranes, DOI 10.1007/978-3-662-48417-3_6

198 6 Conclusions and Open Problems

crane state variables, the hierarchical sliding surfaces, the control performance and

the sliding modes based on HSMC. The applications of HSMC can also be

extended to double-pendulum-type overhead cranes. Some numerical results are

also illustrated.

Any real overhead crane systems are subject to uncertainties. Uncertainties can

be categorized by matched uncertainties and unmatched ones. Although SMC is of

invariance again matched uncertainties, uncertainties involved in crane dynamics

cover both matched and unmatched uncertainties. To overcome the adverse effects

of unmatched uncertainties, the compensator design on basis of hierarchical sliding

surfaces is touched in this book. The main goal of implementing the HSMC

methods again uncertainties is to guarantee the crane control systems is of

asymptotic stability in the presence of uncertain overhead crane systems.

This book touches this topic and adopts the structure of controller plus com-

pensator to deal with the transport control problem of uncertain overhead cranes.

The hierarchical structure of sliding surfaces offers two possible compensator

structures. To simplify the problem, the lumped compensator structure is adopted.

To guarantee the crane control systems is of asymptotic stability in the presence of

uncertain, a common assumption is that uncertainties should have a known

boundary. However, the assumption is too strict to satisfy under some conditions.

This book attempts the technologies of fuzzy logic and neural networks to make the

assumption mild. The theoretical analysis and numerical simulations demonstrate

the feasibility and robustness of the designed methods against uncertainties.

Control of overhead crane systems by HSMC is open and it is difcult to include all

the works in this book. However, we believe that this book can provide readers with

the most up-to-date knowledge in the eld. Finally, several important issues and

possible future research directions are drawn:

Hierarchy. Pointed out by Lima and Saridis [2], control systems are also of

hierarchy. Current contributions about HSMC are hierarchical structures of sliding

surfaces. Such hierarchy is only located at the controller level rather than at the

control-system level. This indicates there are still some spaces for current HSMC

methods to improve their intelligence.

Payload angle. This book assumes that the payload angle is measurable such

that payload angle and its angular velocity are directly adopted for control design

without more explanations. But payload angle may be hard to obtain in practice [3].

It is meaningful and signicant to investigate transport control problems of over-

head cranes under the limited measurable state variables.

Modeling of uncertainties. This book analyzes that overhead crane systems are

subject to uncertainties. These uncertainties challenge the design of HSMC meth-

ods. However, these uncertainties are not accurately modeled. To suppress the

uncertainties and compensate them, it is necessary to investigate this eld.

6.2 Extensions and Open Problems 199

Parameter tuning. Controller parameters have direct effects on the system sta-

bility and robustness. But parameter tuning is a time-consuming business. In this

book, controller parameters are tuned after trial and error. Since there are several

controller parameters for each control method, it is possible to improve HSMC

methods by employing evolutional algorithms on this aspect.

Extensions of other types of cranes. There are three types of cranes. To dem-

onstrate HSMC methods, this book only takes overhead cranes as an example to

illustrate the control design and stability analysis. The feasibility and validity of

HSMC methods have been demonstrated by overhead cranes. It is possible and

expected to extend HSMC methods to the other two types of cranes. Since the other

two types of cranes are described by non-Cartesian coordinates, some technical

details about HSMC design remain problematic and challenging.

References

1. Utkin V, Guldner J, Shi J (2009) Sliding mode control in electromechanical systems, 2nd edn.

Taylor & Francis, USA

2. Lima PU, Saridis GN (1996) Design of intelligent control systems based on hierarchical

stochastic automata. World Scientic, USA

3. Singhose W (2009) Command shaping for flexible systems: a review of the rst 50 years. Int J

Precis Eng Manuf 10(4):153168

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