Proceedings of the 3rd IFAC Conference on

Proceedings
Advances of the 3rd IFAC Conference on Control
in Proportional-Integral-Derivative
Proceedings
Proceedings of the
of the 3rd
3rd IFAC
IFAC Conference
Conference on
on
Advances
Ghent, in Proportional-Integral-Derivative
Belgium, May 9-11, 2018 Control
Available online at www.sciencedirect.com
Advances
Advances in
in
Proceedings Proportional-Integral-Derivative
of the 3rd IFAC Conference on Control
Proportional-Integral-Derivative Control
Ghent, Belgium, May 9-11, 2018
Ghent, Belgium,
Ghent, Belgium,
Advances May 9-11,
May 9-11, 2018
2018
in Proportional-Integral-Derivative Control
Ghent, Belgium, May 9-11, 2018
ScienceDirect
IFAC PapersOnLine 51-4 (2018) 948–953
Analysis
Analysis of Anti-windup Techniques in PID
Analysis of
of Anti-windup
Anti-windup Techniques
Techniques in
in PID
PID
Control
Analysis
Control of
of
of Processes
Anti-windup
Processes with Measurement
Techniques
with in
Measurement PID
Control of Processes with
 Measurement
Noise
Control of Processes
Noise 
with Measurement
Noise 
Noise
∗ ∗∗
Lucian R. da Silva ∗ Rodolfo C.C. Flesch ∗∗
Lucian
Lucian R. da Silva ∗∗ Rodolfo C.C. ∗∗ Flesch ∗∗
Lucian R. da
da Silva
R.Julio
Julio
Rodolfo
Rodolfo C.C.
E. Normey-Rico
Silva
E. Normey-Rico C.C. ∗∗ Flesch
∗∗
Flesch ∗∗
Lucian R.Julio Julio
da SilvaE. Normey-Rico
E. Normey-Rico
∗
Rodolfo C.C. ∗∗ Flesch ∗∗
∗ ∗∗
Julio E. Normey-Rico
∗ Programa de Pós-Graduação em Engenharia de Automação e
∗ Programa de Pós-Graduação em Engenharia de Automação e
∗ Programa
Sistemas,
Programa de Pós-Graduação
Universidade
de Federalem
Pós-Graduação em Engenharia
de Engenharia
Santa Catarina, de
de Automação
88040-900,ee
Automação
∗Sistemas,
Sistemas,
Florianópolis,
Universidade
Universidade
SC, Brazil
Federal
Federal
(e-mail:
de
de Santa
Santa Catarina,
Catarina, 88040-900,
88040-900,
lucian.ribeiro@posgrad.ufsc.br)
ProgramaUniversidade
Sistemas, deSC,
Pós-Graduação
Federal emde Engenharia
Santa Catarina, de Automação
88040-900,e
∗∗Florianópolis,
Florianópolis, SC, Brazil
Brazil (e-mail:
(e-mail: lucian.ribeiro@posgrad.ufsc.br)
lucian.ribeiro@posgrad.ufsc.br)
Departamento
Sistemas, de Automação
Universidade Federal e Sistemas,
de Santa
∗∗Florianópolis, SC, Brazil (e-mail: lucian.ribeiro@posgrad.ufsc.br)Universidade
Catarina, Federal de
88040-900,
∗∗ Departamento de Automação e Sistemas, Universidade Federal de
∗∗ Departamento
Santa Catarina,
Florianópolis,
Departamento de 88040-900,
SC,
de Automação
Brazil
Automação(e-mail: e Sistemas,
e Sistemas,
Florianópolis, Universidade
SC, Brazil (e-mail:
lucian.ribeiro@posgrad.ufsc.br)
Universidade Federal de
Federal de
∗∗ Santa
Santa Catarina, 88040-900, Florianópolis, SC, Brazil (e-mail:
Santa Catarina,
Departamento
Catarina, 88040-900,
rodolfo.flesch@ufsc.br,
de Automação
88040-900,
rodolfo.flesch@ufsc.br,
Florianópolis,
e Sistemas,
Florianópolis, SC,
julio.normey@ufsc.br Brazil
Universidade
SC,
julio.normey@ufsc.br Brazil ) (e-mail:
) Federal
(e-mail: de
rodolfo.flesch@ufsc.br,
Santa Catarina, julio.normey@ufsc.br
88040-900, Florianópolis,
rodolfo.flesch@ufsc.br, SC, Brazil)) (e-mail:
julio.normey@ufsc.br
rodolfo.flesch@ufsc.br, julio.normey@ufsc.br )
Abstract: This work presents an analysis of the effect of measurement noise on the closed-
Abstract:
Abstract: This
This work presents an analysis of of the effect
effect of of measurement
measurement noise noise on on the closed-closed-
loop performance
Abstract:
loop performanceThis workwork
for
presents
for three
presents
three
an
an analysis
anti-windup
anti-windupanalysis of the
strategies, used of
the effect
strategies, used
together
measurement
together
with a noise
with a PID on the
PID controller. the closed-
controller.
The
The
loop
study
Abstract:
loop performance
is done
performanceThis both for
work three
presentsanti-windup
analytically
foranalytically an
three anti-windup and
analysis strategies,
experimentally
of the
strategies, used used
and
effect together
of considered
measurement
together with a
withstable, PID
stable,
noise controller.
integrating
on
a PID integrating the
controller. The The
and
closed-
study
study is done
is processes
done both both
both analytically and
and experimentally
experimentally and considered
andtogether
considered stable, integrating and
and
unstable
loop
study performance
is done with
for dead
three
analytically time
anti-windup
andsubjected
experimentallyto saturation
strategies, used
and of thewith
considered actuator.
a PID
stable, The PID tuning
controller.
integrating The
and
unstable processes
unstable processes with with dead
dead time
time subjected
subjected to to saturation
saturation of of the
the actuator.
actuator. The The PID PID tuning
tuning
rule, used
study
unstable for allboth
is processes
done thewith
presented
dead case
analytically time studies,
and is based
experimentally
subjected in aand
to saturation low-order
of theapproximation
considered stable, The
actuator. ofPID
the filtered
integrating and
tuning
rule, used
rule, used for all
for all the
the presented
presented case
case studies,
studies, is based
is based in aa low-order
in low-order approximation
approximation of the
of the filtered
filtered
Smithused
unstable
rule, predictor.
processes
for all The
the withanalysis
dead
presented shows
time
case that the
subjected
studies, is error
to
based inrecalculation
saturation
a of
low-order the anti-windup
actuator.
approximation technique
The ofPID
the gives
tuning
filtered
Smith predictor.
Smith predictor. The The analysis
analysis shows
shows that that thethe error
error recalculation anti-windupanti-windup techniquetechnique gives gives
betterused
rule,
Smith
better
reference
for all tracking
predictor.
reference the
Thepresented
tracking
performance
analysis case
shows
performance
whenthe
studies,
that
when errorinrecalculation
iscompared
based
compared ato the incremental
low-order
recalculation
to the approximation
anti-windup
incremental
algorithm
technique
algorithm
andfiltered
of the
and
back-
gives
back-
better
calculation
Smith
better reference
predictor.
reference tracking
techniques,
The analysis
tracking performance
being able
shows
performance whenthe
to reduce
that
when thecompared
error
compared tonoisy
the incremental
effectsrecalculation
ofto the incremental
measurements
anti-windup algorithm
ontechnique
algorithm and back-
the calculation
and back-
gives
calculation
calculation techniques,
techniques, being
being able
able to reduce
to reduce the
the effects
effects of noisy measurements on the calculation
of the control
better
calculation reference action,
techniques, thus
tracking beingresulting
performance
able toinreduce
lower
when control
thecompared andof
effects ofto noisy
process
the
noisy measurements
variable variability.
incremental
measurements on
algorithm
on the
the Incalculation
addition,
and back-
calculation
of the
of the control
control action,
action, thus
thus resulting
resulting in in lower
lower control
control andand process
process variable
variable variability. In In addition,
addition,
it is
of
it theshown
calculation
is control
shown
that whenthus
techniques,
action,
that when
theresulting
being
the
process
able toin
process
operating
reduce
lower the
operating
point
control
point
is of
effects
and
is
nearnoisy
process
near a variable variability.
a saturation
measurements
saturation
limit,onnoise
variability.
limit, theIn
noise
can cause
calculation
addition,
can cause
it
anis
of
it is
the shown
offset
control
shown that
between when
action,
that when theresulting
thethus
process
the process
variable
process operating
in and control
lower
operating thepoint
point is near
and
is near
reference processa saturation
and
a saturation
it limit,
is alsovariability.
variable provennoise
limit, noise
thatIn can
the cause
error
addition,
can cause
an
an offset
offset between
between the process
the process
process variable
variable and
and the the
the reference
reference and
and it is
it is also
isbehavior.proven
also limit,
provennoise that
that can the error
the cause
error
recalculation
it
an is shown
offset anti-windup
that
between when
the the strategy
process can
variable significantly
operating
and point attenuate
is near
reference a
and this
saturation
it also proven that the error
recalculation
recalculation anti-windup
anti-windup strategy
strategy can
can significantly attenuate this behavior.
an offset between
recalculation the process
anti-windup strategy can significantly
variable and the reference
significantly attenuate
attenuate and this
it isbehavior.
this also proven that the error
behavior.
© 2018, IFAC anti-windup
recalculation (International Federation
strategy of Automatic
can significantly Control) Hostingthis
attenuate by Elsevier
behavior. Ltd. All rights reserved.
Keywords: Windup, PID, saturation, actuator, transport delay, measurement noise.
Keywords:
Keywords: Windup, Windup,
Windup, PID, PID, saturation,
PID, saturation, actuator,
saturation, actuator, transport
actuator, transport delay,
transport delay, measurement
delay, measurement
measurement noise. noise.
noise.
Keywords:
Keywords: Windup, PID, saturation, actuator, transport
1. INTRODUCTION (Fertik and delay, measurement
Ross, 1967; Hanus noise.et al., 1987; Åström and
1. INTRODUCTION
1. INTRODUCTION (Fertik and Ross, 1967; Hanus et al., 1987; Åström and
1. INTRODUCTION (Fertik
Wittenmark,
(Fertik and
and Ross,
1984).
Ross, 1967;
Such
1967; Hanus
methods
Hanus et al.,
et are 1987;
al.,based
1987;on Åström
a two-step
Åström and
and
It is estimated that 1. INTRODUCTION
approximately 90% of the current (Fertik Wittenmark,
Wittenmark, 1984).
1984). Such
Such methods
methods are
are based
based on
on a
a two-step
two-step
It is estimated that approximately 90% of the current approach:
Wittenmark, and (i) tune
Ross,
1984). the
1967;
Suchcontroller
Hanus
methods etparameters
al.,
are 1987;
based onignoring
Åström
a the
and
two-step
It
It is estimated
is estimated
industrial controllersthat approximately
that approximately
are of the PID 90%type
90% of the
of the to its approach:
current
due current approach: (i)
saturation
Wittenmark,
approach: (i) tune
tuneofthe
limits
(i) 1984).
tune the
the
Such
the
controller
controller
actuator;
methods
controller
parameters
parameters
(ii)
are design
based
parameters on
ignoring
ignoring
an a
the
the
auxiliary
two-step
ignoring the
industrial controllers
industrial controllers are are of of the
the PID
PID type type due due to to itsits saturation limits of the actuator; (ii) design an auxiliary
simplicity,
It is low
estimated cost
that and robustness
approximately (de
90% Castro
of the et al.,
current saturation
scheme to limits
reduce of
the the actuator;
effects of the (ii) design
actuator an auxiliary
constraints. It
industrial
simplicity, low
simplicity,
controllers
low cost cost and are of
and robustnessthe PID
robustness (de type
(de Castro due
Castro et to al., scheme to reduce the effects of the actuator constraints.the
et al.,its approach:
saturation (i) tune
limits ofthe
the controller
actuator; parameters
(ii) design ignoring
an auxiliary It
2016; Oviedo
industrial
simplicity, low etcost
controllers al., and2006;
are of Abdel-Geliel
the
robustness PID (detype et due
Castroal., et2014).
to its
al., scheme
is also
saturation
scheme to
to reduce
possible
limits
reduce to the effects
design
of
the the a
effects of the
controller
actuator;
of the actuator
(ii)which
design
actuator constraints.
explicitly
an
constraints. con-
auxiliary It
It
2016;
2016; Oviedo
Oviedo et
etcostal.,
al., and2006;
2006; Abdel-Geliel
Abdel-Geliel et
et al.,
al., et2014).
2014). is also possible to design a controller which explicitly con-
However,
simplicity,
2016; for
Oviedolow practical
et al., applications
2006; robustness
Abdel-Geliel with
(de nonlinearities
Castro
et al., al.,
2014). is also
siders
scheme
is also possible
theto reduce
possible to
to design
nonlinearities
the a
during
effects
design a controller
of its
the
controller which
design
actuator
which to explicitly
avoid
explicitly con-
windup,
constraints. con-It
However, for practical applications with nonlinearities siders the nonlinearities during its
However,
or dead
2016;
However, for practical
time,
Oviedo
for practical
etwhich
al., applications
are
2006; very
applications common
Abdel-Geliel with characteristics
with nonlinearities
et al., 2014).
nonlinearities siders
such
is also
siders asthe nonlinearities
model-based
possible
the to
nonlinearities during
predictive
design a
during its design
design
controllers
controller
its which
design
to
to avoid
avoid windup,
(Goodwin
to explicitly
avoid windup,
et al.,
con-
windup,
or dead
or dead time,
time, which which are are veryvery common
common characteristics
characteristics such as model-based predictive controllers (Goodwin et al.,
in industrial
However, for processes,
practical the performance
applications withof regular PID such
nonlinearities 2006). as model-based
However predictive
anti-windup controllers
strategies allow (Goodwin
the use et
of al.,
et the
or
in
in
dead time,
industrial
industrial
which are
processes,
processes, the
the
very common
performance
performance of
of
characteristics
regular PID
regular PID siders such
2006). asthe nonlinearities
model-based
However anti-windup during
predictive its design
controllers
strategies allowto avoid
(Goodwin
the windup,
use of al.,
the
controllers
or
in dead
industrial is
time, notwhichsatisfactory.
processes, are
the very In some
common
performance specific
of regularcases,
characteristics PID it 2006).
well-known
such
2006). as However PID
model-based
However anti-windup
controllers
predictive
anti-windup strategies
and are
strategies allow
common
controllers allow the
in
(Goodwin
the use of
industry.
use et
of the
al.,
the
controllers is
controllers is notnot satisfactory.
satisfactory. In In some
some specific
specific cases,
cases, it it well-known PID controllers and are common in industry.
is necessary
in industrialisto
controllers notusesatisfactory.
processes, morethe complex controlspecific
performance
In some ofstrategies,
regularcases, but
PID well-known
it 2006).
well-knownHowever PID
PID controllers
anti-windup
controllers and are
strategies
and are common
allow the
common in
in industry.
use of the
industry.
is necessary to use more complex control strategies, but
is
is necessary
generally
controllers
necessary
generally it is
topossible
it isisto
is not
usesatisfactory.
use
possible
more
moreto use
to use
complex
regular
complex
use regular
control
In some
control strategies,
PIDspecific
controllers
strategies,
PID controllers
controllers
but
with
cases, but
with it In In
Åström and Wittenmark (1984), an incremental al-
Åström
well-known
In Åström and
PID
and Wittenmark
controllers and (1984),
are common an incremental
in industry. al-
generally
special
is necessary
generally it
tuning
it is topossible
or modified
use
possible moreto
to regular
versions
complex
use regular of PID
control
PID strategies,
controllers with
even
but
with
gorithm
In Åström
gorithm is and Wittenmark
is presented.Wittenmark
presented. This
(1984),
(1984), an
This technique
technique anis incremental
is
widely used al-
incremental
widely used
in
al-
in
special
special tuning
tuning or modified
orAmodified
modified versions
versions of PID
ofofPID controllers even
even gorithm
industry
In Åström is
forpresented.
its
and
gorithm isforpresented. simplicity
WittenmarkThis
This of technique
of implementation
(1984),
technique anis widely in
incremental
is widelyinused used
digitalin
al-
in
in thesetuning
generally
special cases.
it is possible
or typical
to example
use regular
versions of nonlinearity
controllers which
with
even industry its simplicity implementation digital
in
in these
these cases.
cases.orA A typical
Amodified
typical example
example(or of
ofPIDnonlinearity
nonlinearity which
which industry
controllers.
gorithm
industry for
is
for its simplicity
Furthermore,
presented.
its simplicityThis theof implementation
other
technique
of two
implementation ismain
widely in
in digital
advantages
used
digitalin
canthese
in compromise
special tuning
cases. the performance
typical versions
example of
of even stability)which
controllers
nonlinearity of a controllers. Furthermore, the other two main advantages
even
can compromise
can compromise the the performance
performance (or (or even
even stability)
stability) of of aa controllers.
of this
industry
controllers. for Furthermore,
technique its are: (i)
simplicity
Furthermore, nothe
the other
integration
of two
implementation
other two main
of the
main advantages
error
in when
digital
advantages
PIDthese
in
can controller
cases.and Athe is common
typical in industrial
example of even processes
nonlinearity isofthe
stability)which a of this technique are: (i) no integration of the error when
PID compromise
PID controller
controller and
and is
performance
is common
common in
(or
in industrial
industrial processes
processes is the
is the of
the this technique
control
controllers.
of this signal are:
reaches
Furthermore,
technique are: (i)
(i) no athe
no integration
saturation
other two
integration of
limit; the
main
of the error when
(ii)advantages
bumpless
error when
saturation
can
PID compromiseof the
controller and actuator.
the is common In fact,
performance in anyeven
(or
industrial nonlinearity
stability)
processes which
isof
the a the control signal reaches a saturation limit; (ii) bumpless
saturation
saturation of
of the
the actuator.
actuator. In
In fact,
fact, any
any nonlinearity
nonlinearity which
which the
the control
transfer
of this when signal
technique
control the
signal reaches
operator
are:
reaches(i) a
no
a saturation
switches
integration
saturation limit;
the of
limit; the(ii)
controller
(ii) bumpless
error oper-
when
bumpless
can
PID make
saturation the
controller
of plant
and
theplant is input
common
actuator. different
in
Indifferent from
industrial
fact, anyfrom the
processes
nonlinearity controller
is the
which ation transfer when the operator switches the controller oper-
can make the input the controller transfer
the mode
controlwhen the
from
signal operator
manual
reaches a toswitches
automatic
saturation the controller
control,
limit; (ii) or oper-
vice-
bumpless
can
output make
saturation
can make thethe
causes
of
the plant
aplant
wrong input
actuator. update
input Indifferent
of any
fact,
different from
thefrom the controller
controller
nonlinearity
the controller
states
which if ation mode from manual to automatic control, or oper-
transfer when the operator switches the controller vice-
output causes
output causes aa wrong wrong update
update of of the
the controller
controller states
states if if ation
versa
transfer
ation mode
(Kothare
modewhen from et
the
from manual
al., 1994).
operator
manual to
to automatic
Fertik
switches
automatic andthe control,
Ross (1967)
controller
control, or
or vice-
have
oper-
vice-
the output
can
output make of the
the
causes a controller
plant
wrong input
updateatdifferent
past
of time
the instants
from the
controller isstates
used to
controller if versa (Kothare et al., 1994). Fertik and Ross (1967) have
the
the output
output of
of the
the controller
controller at
at past
past time
time instants
instants is
is used
used to
to versa
proposed
ation
versa (Kothare
mode a
(Kothare from et
strategy
et al.,
manual
al., 1994).
known
1994). to Fertik
asautomatic
Fertik and
and Ross
back-calculation,
control,
Ross (1967)
(1967)which
or have
vice-
have is
determine
output
the output the
causes
of current
a
the wrong output,
controllerupdateat what
of
past is
the
time known
instantsas
controller controller
isstates
used if
to proposed a strategy known as back-calculation, which is
determine
determine the
the current
current output,
output, what
whattimeis known
is known
known as controller
as controller
controller proposed
still
versa widely
proposed a
(Kothare
a strategy
used in
et
strategy al., known
industry,
1994).
known as
due back-calculation,
Fertik
as to its
and good
Ross
back-calculation, (1967)which
performance.
whichhave is
is
windup
the output
determine (Doyle
of the
the etcontroller
currental., 1987;
output, Hippe,
at past
what 2006).
is instantsas is used to still widely used in industry, due to its good performance.
windup (Doyle
windup (Doyle
(Doyle et al.,
et al., 1987;
al., 1987;
1987; Hippe,
Hippe, 2006).
2006). still
This widely
technique
proposed
still widely a used in
adds
strategy
used in industry,
an extra
known
industry, due
as
due to
feedback its good
signal
back-calculation,
to its good performance.
to the
performance. input
which is
determine the current output, what2006).
is known as controller This technique
windup
The literature et presents Hippe,
a variety of techniques, known This of the
still
This technique
integrator,
widely
technique used
adds
adds
in
addswhich
an
an
an
extra
extra
is
industry,
extra
feedback
feedback
composed
due to
feedback itsof
signal
signal
the
good
signal
to
to
error
the
the input
input
between
performance.
to the input
The literature
windup
The literature
(Doyle et presents
al., 1987;
presents a variety
variety of techniques,
Hippe, 2006). techniques, known known of the integrator, which is composed of the error between
as anti-windup
The literature presents
as anti-windup
anti-windup aa variety
(AW) strategies,
(AW) strategies,
strategies,
of
toof avoid the undesired
techniques,
to avoid
avoid known This
the undesired
undesired
of
the
of
the
the
the integrator,
output
technique signal
integrator,
output signaladdswhich
of an
which
of the
is
theextra composed
iscontroller
feedback
composed andof the
the error
ofsignal
the signal
to the
error between
that
input
between is
as
effect
The
as anti-windup (AW)
in the closed-loop
literature presents
(AW) aperformance
variety
strategies, to
toof caused
avoid the
techniques,
the byundesired
windup
known thetheoutput
applied
of
the outputto signal
the
integrator, plant
signal which
of the iscontroller
of multiplied
the controller
controllerby
composed a
and
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windup applied to the plant multiplied by a constant gain, known
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1994). Wittenmark,
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Copyright
2405-8963 © 2018
2018,andIFAC
305785/2015-0.
IFAC (International Federation of Automatic Control) 1984; Jalil
948 Hosting et al.,Ltd.
by Elsevier 2014; Kothare
All rights et al., 1994). In Hansson
reserved.
Copyright
Peer review© 2018 IFAC 948 Control.
Copyright
Copyright © under
© 2018 responsibility of International Federation of Automatic
2018 IFAC
IFAC 948
948
10.1016/j.ifacol.2018.06.100
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IFAC PID 2018
Ghent, Belgium, May 9-11, 2018 Lucian R. da Silva et al. / IFAC PapersOnLine 51-4 (2018) 948–953 949
et al. (1994) a conditional integration method is proposed.
This method consists in updating the integral term of the
controller only if certain conditions are met. Another AW
strategy, originally proposed in Bruciapaglia and Apolônio
(1986) and recently used in a Smith predictor approach
(Flesch et al., 2017), uses a recalculation of the error signal
to maintain the consistence between the calculated control
signal and the real value applied to the process. Several
other strategies to avoid the problems related to windup
can be found in (Tarbouriech and Turner, 2009; Zaccarian
and Teel, 2011).
Although anti-windup techniques have been used in many
studies, there are not much works focusing on a com-
parative analysis of their performances in the presence
of measurement noise, which is a common characteristic
of many practical applications. In this work, the effect
of measurement noise on the closed-loop performance is
analyzed for some AW strategies used together with a
PID controller applied in processes with saturation of
the actuator and dead time. The AW strategies used are:
(i) incremental algorithm; (ii) back-calculation; (iii) error
recalculation. For the PID tuning, the technique presented
in Normey-Rico and Guzmán (2013), which consists in a
low-order approximation of a filtered Smith predictor, is
used.
The paper is organized as follows. Section 2 presents the
formulation of some AW techniques. Section 3 compares
the closed-loop performance for some AW techniques, for
a stable process, and also analyzes the effect of the noise
on the calculation of the control action. Two case studies
are presented in section 4 with the goal to compare the
performance of the AW techniques in processes subjected
to measurement noise. Finally, the conclusions of the paper
are presented in section 5.
2. REVIEW OF SOME ANTI-WINDUP TECHNIQUES
According to Doyle et al. (1987), any controller with
slow or unstable modes may present windup problems if
there are actuator constraints. The windup phenomenon
appears when there is an inconsistency between the con-
troller output and the plant input. When this happens,
the feedback loop is broken, so any further increase of
the control signal does not lead to faster response of the
system. In case of PID controllers, the integral term can
become very large, which can cause the control signal to
be outside the operating region for a long time, causing
large overshoots and high settling times (Hippe, 2006).
In this work, a discrete-time PID controller in parallel form
with filtered derivative action is used for the analysis of the
effect of measurement noise on the closed-loop behavior for
three different AW techniques. Even though the analysis
presented here is valid for any form of PID controller, this
specific form was chosen to facilitate the understanding.
This form can be obtained by the discretization of its
equivalent continuous-time counterpart, presented in (1),
using the backward difference technique, resulting in (2),
where Kp is the proportional gain, Ki is the integral gain,
Kd is the derivative gain, Ts is the sampling period, and
α is the parameter of the filter of the derivative part.
Ki Kd s
C(s) = Kp + + (1)
s αs + 1
949
Ts z Kd
C(z) = Kp + Ki + Ts z
(2)
z − 1 α + z−1
Using the PID form presented in (2), the control signal
u(k) can be calculated as
u(k) = up (k) + ui (k) + ud (k), (3)
where up (k) is the proportional control term, ui (k) is the
integral control term, and ud (k) is the derivative control
term. These three terms can be calculated as
up (k) = Kp e(k), (4)
ui (k) = ui (k − 1) + Ki Ts e(k), (5)
Kd [e(k) − e(k − 1)] + αud (k − 1)
ud (k) = . (6)
α + Ts
The structure of a system with saturation of the actua-
tor, considered for the analysis of the AW techniques, is
presented in Fig. 1 in discrete-time domain, where r(k)
is the reference, e(k) is the error, u(k) is the calculated
control signal, ur (k) is the control signal applied to the
plant, y ∗ (k) is the plant output, η(k) is the noise signal,
y(k) is the measured system output, C(z) is the controller,
and P (z) is the plant.
Fig. 1. Block diagram of a system with saturation of the
actuator and anti-windup
2.1 Back-calculation
The back-calculation approach, proposed in Fertik and
Ross (1967), aims to prevent the integral term to accu-
mulate a large value, when the controller output u(k) is
saturated, i.e. u(k) = ur (k), by using an extra compen-
sation which feedbacks, to the integral term, the differ-
ence between the controller output and the system input
multiplied by a gain 1/Tt , where Tt is a parameter called
tracking time constant. This gain determines how fast the
integral term will be reset. The back-calculation procedure
is presented in (7), where u∗i (k) is the new integral control
term value and ep (k) = ur (k) − u(k).
 
1
u∗i (k) = ui (k − 1) + Ki e(k) + ep (k) Ts (7)
Tt
Substituting (7) in (3) it is possible to calculate the new
control signal u∗ (k) as
u∗ (k) = up (k) + u∗i (k) + ud (k). (8)
2.2 Incremental algorithm
The incremental algorithm technique consists in calculat-
ing a control increment, ∆u(k), at each sampling period
and adding to the previous control signal, u(k−1), only the
amount that does not saturate the actuator. According to
Visioli (2006), this strategy can avoid the windup effect
due to the fact that the integral action is outside the
control law.
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To find the equation that calculates the control increment where e∗ (k) represents the actual error that would be
∆u(k), it is necessary to rewrite (2) using the backshift expected for u(k) = ur (k).
operator z −1 as
Subtracting (18) from (17), it is possible to find an
bc + bc1 z −1 + bc2 z −2 expression for e∗ (k) as
C(z −1 ) = 0 , (9)  
(1 − z −1 )(1 − βz −1 ) u(k) − ur (k)
where e∗ (k) = e(k) − . (19)
bc 0
Kp (Ts + α) + Ki (Ts2 + Ts α) + Kd
bc0 = , Using this strategy, the controller does not windup because
Ts + α the control signal is modified to always be equal to the
Kp (−2α − Ts ) − Ki Ts α − 2Kd plant input and the error signal is modified so that all
bc1 = ,
Ts + α (10) previous error signals are also consistent with the fact that
Kp α + Kd the controller output at an instant of time lies exactly at
bc2 = , the saturation limit (Flesch et al., 2017).
Ts + α
α
β= . 3. PERFORMANCE WITH NOISY MEASUREMENTS
Ts + α
Then, using the PID form presented in (9), it is possible This section analyzes the closed-loop performance of the
to calculate the control increment as three AW strategies detailed in section 2, for a particular
∆u(k) = β∆u(k − 1) + bc0 e(k) + bc1 e(k − 1) + bc2 e(k − 2), case, to motivate the discussion of the performances in the
(11) presence of measurement noise. The section also includes
and the control signal can be calculated as an analysis of the influence of measurement noise on the
calculation of the control action and the noise rejection
u(k) = ∆u(k) + u(k − 1). (12)
capability of the AW techniques.
Thus, if the condition ∆u(k)+u(k −1) = ur (k) is satisfied,
the control increment is recalculated as 3.1 A motivating example
∆u(k) = ur (k) − u(k − 1), (13)
and the current control signal is modified to u(k) = ur (k). The motivating example considers the first-order plus
dead-time (FOPDT) model
2.3 Error recalculation 1 −s
P (s) = e , (20)
s+1
The AW strategy proposed in Bruciapaglia and Apolônio with time given in seconds. The PID tuning method
(1986) consists in modifying the current control signal used in this example, and in the simulation case studies,
and the current error signal to maintain the consistency was proposed in Normey-Rico and Guzmán (2013). This
between the control signal calculated by the controller and method can be used to tune PID controllers for stable,
the input signal that is effectively applied to the plant. integrating and unstable dead-time processes, and it is
The denominator of the controller C(z −1 ), presented in based on a modification of the filtered Smith predictor
(9), can be written in a polynomial form as dead-time compensator. The resulting PID parameters,
Kp , Ki , Kd and α, are obtained as a function of the plant
Bc (z −1 ) bc + bc1 z −1 + bc2 z −2
C(z −1 ) = −1
= 0 , (14) model parameters and by the tuning of only one param-
Ac (z ) 1 + ac1 z −1 + ac2 z −2 eter, To , which represents a trade-off between robustness
where and performance.
ac1 = −β − 1,
(15) For this example, the PID tuning parameters are Kp = 1.2,
ac2 = β.
Ki = 0.923, Kd = 0.284, α = 0.115, which are obtained
Using this representation, the control signal can be calcu- with To = 0.5 s. For the choice of parameter Tt , the rule
lated from the two previous control signals, two previous proposed in Åström and Wittenmark (1984) was used,
errors, and the current error as resulting in Tt = 0.677 s. The plant and the controller were
u(k) =bc0 e(k) + bc1 e(k − 1) + bc2 e(k − 2)− discretized, respectively, using a zero-order holder (ZOH)
(16)
ac1 u(k − 1) − ac2 u(k − 2). and the backward difference technique with a sampling
If the control signals u(k − 1) and u(k − 2) are within the period of Ts = 0.1 s, resulting in
saturation limits and the error signals e(k −1) and e(k −2) 0.095 −10
P (z) = z , (21)
are consistent with those that would be expected to occur, z − 0.904
(17) is valid, where e∗ (k − 1) and e∗ (k − 2) represent the 2.967z 2 − 5.088z + 2.177
previous error signal values expected to verify the equality C(z) = . (22)
z 2 − 1.395z + 0.395
u(k) = ur (k). Fig. 2 shows a simulation of the system and compares the
u(k) =bc0 e(k) + bc1 e∗ (k − 1) + bc2 e∗ (k − 2)− performances of three AW techniques, without considering
(17)
ac1 ur (k − 1) − ac2 ur (k − 2). measurement noise, for a step reference of amplitude 0.9
Thus, if the current control signal u(k) is saturated, the applied at time t = 12 s. The minimum and maximum
value of the current error signal e(k) must be modified to saturation limitations of the control signal are umin = 0
ensure that u(k) = ur (k). This can be expressed as and umax = 1. As can be seen in Fig. 2, the error recalcula-
  tion technique has a considerably better performance when
ur (k) = 1 − Ac (z −1 ) ur (k) + bc0 e∗ (k)+ compared to incremental algorithm and back-calculation
  (18)
Bc (z −1 ) − bc0 e∗ (k), techniques.

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1 When the control signal is near to a saturation limit, noisy

measurements can cause saturation, that is
Reference
u(k) =bc0 [r(k) − y ∗ (k) − η(k)] + bc1 e(k − 1)+
y(t)

0.5 Incremental algorithm

Back-calculation
Error recalculation bc2 e(k − 2) − ac1 u(k − 1) − ac2 u(k − 2) > umax .
0 (24)
0 50 100 150 200 250 If the condition presented in (24) is satisfied, e(k) is
recalculated such that the new control signal u∗ (k) =
1 umax , which is equivalent to
u∗ (k) =bc0 [r(k) − y ∗ (k) − η ∗ (k)] + bc1 e(k − 1)+
u(t)

0.5 (25)
bc2 e(k − 2) − ac1 u(k − 1) − ac2 u(k − 2),
with η ∗ (k) < η(k). Thus, the equivalent noise is reduced
0
0 50 100 150 200 250 and this implies in a control action less influenced by
Time (s) the noise, resulting in a process output very close to
the reference signal. This is not the case for the other
Fig. 2. Comparative analysis between the performance of two AW strategies, for which only the current control
the AW techniques without considering measurement signal is modified and the current error signal is not
noise. recalculated. The consequence of this is that, when there
Fig. 3 shows a new simulation of the system, with the same is saturation of the control signal, in the next sampling
parameters, but now considering measurement noise with periods, the PID controller will calculate the control signal
normal distribution, signal-to-noise ratio (SNR) of 13 dB using previous error signals inconsistent with the previous
and variance of 0.05. control signals that were applied to the plant. In the case
of processes with noisy measurements, this may increase
1
the variability of the control action, resulting in an average
that is not enough to take the process output next to its
y(t)

0.5 Reference optimal operating point. This effect may also appears in
Incremental algorithm
Back-calculation other control strategies, such as model predictive control
0
Error recalculation (Camacho and Bordons, 2013).
0 50 100 150 200 250
4. SIMULATION CASE STUDIES
1
In this section two simulation case studies are presented:
u(t)

0.5 one for an integrating process and another for an unstable

0
0 50 100 150 200
Time (s)
Fig. 3. Comparative analysis between the performance of
the AW techniques considering noisy measurements.
As can be seen in Fig. 3, the incremental algorithm and
the back-calculation techniques do not present good refer-
ence tracking performance. On the other hand, the error
recalculation technique presents a satisfactory reference
tracking performance due to the fact that the noise has
less influence on the control signal, resulting in a better
noise rejection capability when compared to the other two
techniques.
3.2 Analysis of the effect of noise on the AW techniques
This subsection analyses the behavior of the AW tech-
niques when measurement noise is considered. The anal-
ysis performed considers the upper saturation limit of
the control signal umax , but it is also valid for the lower
saturation limit umin .
The better behavior of the error recalculation technique,
for the case which considers measurement noise, can be
demonstrated from the calculation of the error signal e(k)
considering the plant output y ∗ (k) and the noise signal
η(k), as presented in (23).
e(k) = r(k) − [y ∗ (k) + η(k)] (23)
process. Noisy measurements are considered for the analy-
sis of the performances of the techniques. The same PID
250 tuning method presented in section 3 is used in this section
for a comparative analysis. Parameter Tt of the back-
calculation AW technique was tuned using the method
proposed in (Åström and Wittenmark, 1984), but other
tuning methods could be used, resulting in different noise
rejection performances. For all the case studies, the PID
tuning parameter To was chosen to obtain a controller
with fast response. Although the three AW techniques
presented in section 3 are able to stabilize the two pro-
cesses for the cases without noise, the incremental algo-
rithm technique was not able to stabilize both processes
considering noise, therefore its performance results are
not presented. It is also important to point out that the
performance of the conditional integration AW technique
was also analyzed, however its results were conceptually
similar to the ones of back-calculation. Therefore they are
not presented in this work due to lack of space.
4.1 Integrating case
The following transfer function, presented in Skogestad
(2003), will be considered for the integrating case study
e−s
P (s) = , (26)
s
with time given in seconds. For this case, the PID tuning
parameters are Kp = 0.959, Ki = 0.285, Kd = 0.291, α =
0.142, which are obtained with To = 1 s, and the tracking
time constant for the back-calculation AW technique is

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Tt = 1.224 s. The plant and the controller were discretized, 4.2 Unstable case
respectively, using a ZOH and the backward difference
technique with a sampling period of Ts = 0.1 s, resulting For the unstable case, the example presented in Sree
in and Chidambaram (2003) will be considered, in which a
0.1 −10 chemical reactor is described by the Chollete model. The
P (z) = z , (27) nonlinear model of the process is given by
z−1
dW F (t) k1 C(t)
2.485z 2 − 4.437z + 1.967 = [Wi (t) − W (t)] − 2, (29)
C(z) = . (28) dt V (k2 W (t) + 1)
z 2 − 1.481z + 0.481
where F (t) is the input flow rate in l/s, Wi (t) is the input
The minimum and maximum saturation limits of the
concentration in mol/l (manipulated variable) and W (t) is
control signal are umin = −0.06 and umax = +0.1. In
the output concentration in mol/l (process variable). The
this case, measurement noise with normal distribution,
values for the operating point of the process that will be
SNR of 10 dB and variance of 0.03 is considered. Fig. 4
considered are F = 0.03333 l/s, V = 1 l, k1 = 10 l/s, k2 =
shows the simulation of the system comparing the back-
10 l/mol, Wi = 3.288 l/mol, and W = 1.316 mol/l. The
calculation and the error recalculation AW techniques for
nonlinear model is used for the simulation. A linearized
a step reference of amplitude 0.3 applied at time t = 4 s.
model obtained for the operating point and represented in
(30) is used for the PID tuning.
0.4
W (s) 3.433e−20s
= P (s) = . (30)
Wi (s) 103.1s − 1
y(t)

0.2 Reference
Back-calculation The time constant T = 103.1 and the dead time Ln = 20
0
Error recalculation are in seconds. For this case, the PID tuning parameters
0 10 20 30 40 50 are Kp = 2.359, Ki = 0.045, Kd = 17.143 and α =
0.979, which are obtained with To = 8 s, and the tracking
0.1
time constant, for the back-calculation technique, is Tt =
0.05 20.57 s. The plant and the controller were discretized,
u(t)

0
respectively, using a ZOH and the backward difference
technique with a sampling period of Ts = 5 s, resulting
-0.05 in
0 10 20 30 40 50 0.17 −4
Time (s) P (z) = z , (31)
z − 1.05
Fig. 4. Comparative analysis between the performance of 7.402z 2 − 11.021z + 3.946
C(z) = . (32)
the AW techniques for the integrating case. z 2 − 0.562z − 0.437
In this case, a symmetrical saturation limit of the control
signal, with magnitude of 0.06 mol/l, is considered.
The results show that the back-calculation technique Fig. 5 shows the simulation comparing the performances
presents a considerable error in steady state due to the of the back-calculation and the error recalculation tech-
fact that the average of the control action applied is not niques, for a step reference of 0.3 mol/l at t = 20 s, and
enough to take the system output to the reference. On considering measurement noise with normal distribution,
the other hand, the error recalculation technique presents SNR of 10 dB and variance of 0.03 mol/l.
good reference tracking performance, being able to take
the system output to a value closer to the reference when
compared to the back-calculation technique. Table 1 shows 0.3
three performance indices for reference tracking of the
y(t)

0.2 Reference
integrating case: steady-state average error (SSAE), in- 0.1 Back-calculation
tegral absolute error (IAE), and total variation of the 0
Error recalculation
control signal (TV). As can be seen in Table 1, the error 0 500 1000 1500
recalculation technique presents a slightly lower TV value,
which represents a lower variability in the control action, 0.05
when compared to the back-calculation technique. Due to
u(t)

this lower variability, the average of the output of the 0

system was able to operate in a region very close to the
reference signal, which resulted in lower SSAE and IAE -0.05
indices. 0 500 1000 1500
Time (s)

Table 1. Performance comparison for the inte- Fig. 5. Comparative analysis between the performance of
grating case study the AW techniques for the unstable case.
Technique SSAE (%) IAE TV
Again, the results show a superior reference tracking per-
Back-calculation 13.6 21.2 30.7
formance of the error recalculation technique when com-
Error recalculation 3.3 14.9 28.5
pared to the back-calculation technique, which presented

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Table 2. Performance comparison for the
unstable case study
Technique SSAE (%) IAE TV
Back-calculation 20.6 20.3 21.0
Error recalculation 4.3 8.6 16.6
larger error variance. Table 2 shows three performance
indices for reference tracking of the unstable case.
The performance indices presented in Table 2 show the
advantage of the error recalculation technique, which pre-
sented considerably lower values, when compared to the
back-calculation, due to its capability of better noise re-
jection. This capability makes it possible to reduce the
variability of the control action and improve the reference
tracking performance.
5. CONCLUSIONS
This paper has focused on presenting an analysis of the
performance of some AW techniques applied to processes
subjected to measurement noise, saturation of the actuator
and dead time. First, a stable case example was presented
to motivate the discussion of the behavior of the AW tech-
niques and their noise rejection capabilities in processes
subjected to measurement noise. The back-calculation and
the error recalculation closed-loop performances were com-
pared in two case studies, presented in section 4. The
closed-loop performance of the incremental algorithm was
not presented for the integrating and unstable cases be-
cause this technique was not able to stabilize these two
systems when noise was considered.
The presented results show that for the cases in which the
model of the process is well known, but the measurement
noise is large, the error recalculation technique has a better
closed-loop performance when compared to the incremen-
tal and back-calculation techniques. The advantage of this
technique is due to its ability to reduce the influence of
noise on the calculation of the control signal by updating
the error signal in order to maintain the consistency be-
tween the controller output and the plant input. In this
way, the system presents a control action with reduced
variability and a better reference tracking performance.
Therefore, in cases for which the model is a good approxi-
mation of the plant but there is considerable noise, the use
of the error recalculation technique is quite interesting, due
to its easy implementation, good noise rejection capability
and good reference tracking performance.
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