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(1)

A Generalized Normal Form and its Application to Sliding Mode Control

Hakan Fortell

Department of Electrical Engineering Linkoping University

S-581 83 Linkoping, Sweden Phone: +46 13 284028 E-mail: hafor@isy.liu.se

April 4, 1995

Abstract

In this report it is shown how a normal form, corresponding to that of ane state space systems, can be calculated for generalized state space descriptions. The calculations are performed by using Grobner bases.

This normal form is then used in the context of sliding mode control.

The result generalizes the previous results on sliding mode control for generalized state space representations.

Keywords: Normal Forms, Sliding Mode Control, Grobner Bases

1 Introduction

In 6] it is shown how a normal form can be calculated for generalized state space descriptions 4]. A thing to investigate is then if this normal form can be used in similar ways as the normal form of ane state space systems 7].

One such application is in the context of sliding mode control, see ,e.g., 10].

Constructing sliding mode controllers for generalized state space representations

has already been considered in 12] where the generalized controller canonical

form as described in 2] is used. The problem with this approach is that one

is restricted to zeroing a quite restricted class of elements. The order of the

di erential equation that must be solved to get the sliding control law is also of

maximal order of the input. The purpose of this report is to try to nd sliding

mode control laws for a larger class of manifolds and to see if one can nd

di erential equation for the input which is of an order lower than the maximal

one. The paper is organized as follows. The next section contains some of the

most basic concepts from commutative and di erential algebra. Section 3 then

shows how a generalized normal form can be computed and in section 4 this is

applied to sliding mode control. Finally in section 5 we give some concluding

remarks.

(2)

2 Basic Algebraic Concepts

In this section we present some of the most basic concepts from commutative and di erential algebra that will be used in later sections. The purpose is basically to display the notation.

2.1 Commutative Algebra

The theory in this section is collected from 1] and 5] where all proofs that are left out and also further references to commutative algebra can be found. We begin by making a few necessary denitions.

Denition 2.1

A commutative ring consists of a set

R

and two binary operations \ " and \+"

dened on

R

and such that:

1. (

a

+

b

) +

c

=

a

+ (

b

+

c

) and (

a b

)

c

=

a

(

b c

) for all

abc2R

. 2.

a

+

b

=

b

+

a

and

a b

=

b a

for all

ab2R

.

3.

a

(

b

+

c

) =

a b

+

a c

for all

abc2R

.

4. There are 0



1

2R

such that

a

+ 0 =

a

1 =

a

for all

a2R

. 5. Given

a2R

there is

b2R

such that

a

+

b

= 0.

We also need the following.

Denition 2.2

A eld

k

is a commutative ring such that given

a2k

there is

c 2k

such that

a c

= 1.

The commutative ring that we will mostly work with here is

k



x1:::xn

] which denotes the set of all polynomials in the variables

x1:::xn

with coecients taken from the eld

k

. Usually we will assume that

k

is the real numbers.

Denition 2.3

A subset

I

of a commutative ring

R

is an ideal if it satises 1. 0

2I

.

2. If

ab2I

then

a

+

b2I

. 3. If

a2I

and

b2R

then

b a2I

.

If we now set

f1:::fn

to be polynomials in a ring

k



x1:::xn

] and introduce the notation

hf

1

:::f

ni

=

(

n X

i=1

pifi

:

pi2k



x1:::xn

]

 i

= 1

:::n



)

(1) we can note that

hf1:::fni

is an ideal and it is called the ideal generated by

f

1

:::f

n

.

A property that will be needed in the next section is to have some general- ization of linear dependence of polynomials. To nd such a generalization we

rst need some more denitions.

(3)

Denition 2.4

If the eld

k

is a subset of the eld

K

then

K

is said to be an extension eld of

k

. This is denoted by

K =k

.

Denition 2.5

Let

K

be an extension eld of

k

and suppose that

K

. The smallest eld containing

k

is then called the eld obtained by adjoining



to

k

and is denoted

k

(



). Furthermore,



is said to be algebraic over

k

if there exists a nonzero polynomial

f 2k



x

] such that

f

(



) = 0. If



is not algebraic it is said to be transcendental over

k

.

A denition can also be made in a similar manner for several elements in an extension eld.

Denition 2.6

Let

f1:::fm

be elements in an extension eld

K

of

k

. The

fi

are said to be algebraically dependent over

k

if there exists a nonzero

P 2 k



x1:::xm

] such that

P

(

f1:::fm

) = 0. Otherwise the

fi

are said to be algebraically independent.

Since algebraic dependence can be viewed as a generalization of linear depen- dence in linear algebra we can go on to dene a basis for these extension elds.

Denition 2.7

Let

K

be an extension eld of

k

and let

U

be a subset of

K

such that all elements of

U

are algebraically independent. The maximum number of elements that such a

U

can contain is called the transcendence degree of

K =k

and is denoted by trdeg

K =k

. The elements of such a

U

is called the transcendence basis for

K =k

. An important consequence of this denition is then the theorem below.

Theorem 2.1

If

k

is a eld and the variables

xi i

= 1

:::n

are algebraically independent over

k

then trdeg

k

(

x1:::xn

)

=k

=

n

.

Proof.

We only have to note that the

xi i

= 1

:::n

is a transcendence basis for

k

(

x1:::xn

)

=k

.

2

The following corollary will also be useful.

Corollary 2.1 The elements

y1:::yN 2 k

(

x1:::xn

) are algebraically de- pendent if

N >n

.

Proof.

Otherwise

y1:::yN

would be a transcendence basis for

k

(

x1:::xn

)

=k

.

2

Since algebraic dependence will be an important concept later on we give a theorem related to this subject.

Theorem 2.2

Suppose

k

is a eld of characteristic zero and that

f1:::fN 2 k

(

x1:::xn

).

Then if

(4)

 N>n

,

f1:::fN

are algebraically dependent.

 N

=

n

,

f1:::fN

are algebraically dependent i the Jacobian matrix

J

(

f

) =



@fi

@xj



ij

(2)

is identically singular.

 N <n

,

f1:::fN

are algebraically independent i the Jacobian matrix (2) has rank

N

.

2.2 Grobner bases

The reason why we introduce the concept of Grobner bases is that we wish to have some way of eliminating variables from a set of polynomial equation. To be able to choose which variables to eliminate we must introduce an ordering of variables.

Denition 2.8

Let

x2k



x1:::xn

] with



=

f1:::ng2Nn

denote

x11 xnn

. A term ordering

<

is an ordering on

Nn

such that for all

 2Nn

0

<

and

< ) 

+

<

+

(3) There are of course several ways of dening these term orderings but we will only consider one of them.

Denition 2.9

The lexicographic term ordering is dened by

< () 9j

:

j < j 8i<j

:

i< i

(4) With a term ordering will now the di erent terms in a polynomial be ordered.

In particular will one of them be ordered rst.

Denition 2.10

If

f

=

Pcx 2k



x1:::xn

] then the degree of

f

is dened as

deg

f

= max

f

:

c6

= 0

g

(5)

The leading term of

f

is

LT

f

=

cdeg fx

deg

f

(6)

and correspondingly the leading monomial of

f

is LM

f

=

x

deg

f

and the leading coecient is LC

f

=

cdeg f

.

This denition can now be extended to cover ideals.

Denition 2.11

Let

I

be an ideal in

k



x1:::xn

]. Then

LM

I

=

h

LM

f

:

f 2Ii

deg

I

=

f

deg

f

:

2Ig

(7)

(5)

Using this last denition we can now go on to dene Grobner bases.

Denition 2.12

A set

G I

for an ideal

I

is a Grobner base with respect to a given term ordering i LM

I

=

h

LM

Gi

.

At a rst glance it not at all clear how the concept of Grobner bases can be useful but it can be shown to have several nice properties. One of these properties is that

hGi

=

I

(8)

which says that the set of solutions to the generating set of

I

is the same for the equations described by the Grobner base. To be able to describe the algorithm we need to introduce a few more concepts.

Denition 2.13

Let

fg2k



x1:::xn

].

f

is said to be reduced w.r.t.

g

if there is no term in

f

that is divisible by the leading term of

g

. A subset of

k



x1:::xn

] in which all elements are reduced w.r.t. each other is said to be auto-reduced

If some polynomials are not reduced we can make them reduced.

Theorem 2.3

Let

F

=

ff1:::fmgk



x1:::xn

] and

p2k



x1:::xn

]. Then it is possible to nd polynomials

g1:::gmr2k



x1:::xn

] such that

r

=

p;Xm

i=1

gifi

(9)

and

r

is reduced w.r.t. all the

fi

.

The denition below is related to this theorem.

Denition 2.14

If all

r

which satises the conditions of Theorem 2.3 are equal then

p

reduces to

r

modulo

F

which we write

p;!F r

.

The algorithm for calculating Grobner bases uses the so called S-polynomials.

Denition 2.15

Let

f1f22k



x1:::xn

]. Then the S-polynomial of

f1

and

f2

is

S

(

f1f2

) =

h1f1;h2f2

(10) where

h

1

= LC

f2

lcm(LM

f1

LM

f2

)

LM

f1  h2

= LC

f1

lcm(LM

f1

LM

f2

)

LM

f2

(11)

and lcm(



) denotes the least common monomial.

The Grobner base algorithm can now be given as follows given some set of

polynomials

F

.

(6)

Algorithm 2.1

1. Make

F

auto-reduced.

2. Add to

F

the S-polynomial of two elements in

F

.

3. If all S-polynomials reduce to zero modulo

F

then

F

is a Grobner base.

Otherwise return to step 1.

The following theorem ensures that the result of this algorithm is a Grobner base.

Theorem 2.4

The set

G

=

fg1:::gmg

is a Grobner base for

hGi

i

S

(

gigj

)

;!G

0 (12)

A property of Grobner bases that we have mentioned earlier is that we can eliminate variables from a set of polynomial equations. How this elimination is performed is given in the following theorem.

Theorem 2.5

Let

I

be an ideal in

k



x1:::xn

] and partition

x1:::xn

into two disjoint sets

A

and

B

. Then if

G

is a Grobner base for

I

with a lexicographic term ordering where

A < B

then

k



A

]

\G

is a Grobner base for

k



A

]

\I

w.r.t. the term ordering given by

<

on

k



A

].

What this theorem says is that with a proper choice of term ordering we can

nd out if there are elements in

I

which are polynomial in the variables

A

only.

If this is the case we also get a generating set for the corresponding ideal. We give a simple example.

Example 2.1

Consider the following set if polynomial equations

x

2

+

y

+

z

= 1

x

+

y2

+

z

= 1

x

+

y

+

z2

= 1 (13)

Calculating a Grobner base for the polynomials



x

2

+

y

+

z;

1

 x

+

y2

+

z;

1

 x

+

y

+

z2;

1



(14) with the term ordering

x>y>z

gives the result



x

+

y

+

z2;

1

 y2

+

z;y;z2

2

yz2

+

z4;z2 z6;

4

z4

+ 4

z3;z2

(15) From this it is clear that

z 6

;

4

z4

+ 4

z3;z22hx2

+

y

+

z;

1

 x

+

y2

+

z;

1

 x

+

y

+

z2;

1

i

(16)

and we have eliminated

x

and

y

from the set of equations (13).

2

This example indicates that Grobner bases can be interpreted as a generalization

of Gaussian elimination. The algorithm for calculating Grobner bases has been

implemented in every major computer algebra language such as

Maple

and

Mathematica

.

(7)

2.3 Dierential algebra

The theory presented in this section is gathered from 4] and the proofs can be found either there or in the books 9, 8].

The main di erence between di erential and commutative algebra is that we add di erentiation w.r.t. time,

@=@t

, to the set of allowed operations.

Denition 2.16

A di erential eld

k

is a eld satisfying the conditions

8 a2k

@a

@t

= _

a2k

(17)

8 ab2k

@

@t

(

a

+

b

) = _

a

+ _

b

(18)

8 ab2k

@

@t

(

ab

) = _

ab

+

ab

_ (19) Here and in the sequel will the \dot" notation be used instead of

@=@t

to de- note di erentiation with respect to time. We also make a few more denitions regarding di erential elds which are the di erential variants of some of the commutative denitions in the previous section.

Denition 2.17

If the di erential eld

k

is a subset of the di erential eld

K

then

K

is said to be a di erential extension eld of

k

. This is denoted by

K =k

. If

K

is a di erential extension eld of

k

and

  K

then the smallest di erential eld containing

k

is called the di erential eld obtained by adjoining



to

k

and is denoted

khi

.

We now consider a denition of dynamics based on di erential algebra.

Denition 2.18

A dynamic system is a nitely generated di erential algebraic extension

D=khui

where

u

=

fu1:::umg

can be viewed as inputs and the outputs

y

is chosen as some nite set

y

=

fy1:::ypg

in

D

.

Using this denition a more general form of state space description than (22) can be made.

Theorem 2.6

Let

K =khui

be a dynamic system according to denition 2.18. Then there exists a generalized state

x

=

fx1:::xng

for some nite integer

n

and polynomials

Aj

( ) and

Bi

( ) such that

Aj

x

_

jxuu

_

:::u(j)

= 0

 j

= 1

:::n

(20)

Bi



yixuu

_

:::u(i)

= 0

 i

= 1

:::p

(21) A theorem which is important when considering di erentially algebraic exten- sions is given below.

Theorem 2.7

Let

L=K

be a nitely generated di erentially generated algebraic extension such

that

K

contains non constant elements. Then there exists an element

2 L

such that

L

=

Kh i

. The element

is called a di erentially primitive element.

(8)

3 A Generalized Normal Form

Here we will study how the normal form of ane state space descriptions can generalized to the more general dynamics of Denition 2.18.

3.1 The normal form of ane state space systems

The theory in this section is collected from 7]. Consider the SISO nonlinear system which is described by the following state equations

_

x

=

f

(

x

) +

g

(

x

)

u

y

=

h

(

x

) (22)

where

x2Rn

. The system (22) is said to have relative degree

rn

if (

i

)

LgLkfh

(

x

)



0

 k

= 0

:::r;

2

(

ii

)

LgLrf;1h

(

x

)

6

0 (23)

at some point

x0

. Here

Lf

and

Lg

denote the Lie derivatives in the directions

f

(

x

) and

g

(

x

) respectively. Using the notation

dh

(

x

) =



@h

(

x

)

@x

1



@h

(

x

)

@x

2

:::

@h

(

x

)

@xn



(24) the following lemma can be shown to hold.

Lemma 3.1 The row vectors

dh

(

x0

)

dLfh

(

x0

)

:::dLrf;1h

(

x0

) (25) are linearly independent.

We can now perform the change of variables locally around

x0

where

1

(

x

) =

h

(

x

)

2

(

x

) =

Lfh

(

x

) ...

r

(

x

) =

Lrf;1h

(

x

)

(26)

If

r<n

then

i

(

x

)

 i

=

r

+1

:::n

can be found so that the change of variables becomes invertible. In particular these functions can be chosen so that

Lg i

(

x

) = 0

 i

=

r

+ 1

:::n

(27) We see that nding

i

(

x

)

 i

=

r

+ 1

:::n

such that (27) is satised involves solving

n;r

partial di erential equations which is of course dicult in general.

However, if we do not bother with the condition (27) the invertible transforma-

tion is most often very easy to nd. With this transformation the new state

(9)

equations becomes _

z

1

=

z2

_

z

2

=

z3

_ ...

zr;1

=

zr

_

zr

=

Lrfh

(

;1

(

z

)) +

LgLrf;1h

(

;1

(

z

))

u

_

zr+1

=

qr+1

(

z

) +

pr+1

(

z

)

u

_ ...

zn

=

qn

(

z

) +

pn

(

z

)

u

y

=

z1

(28)

This is known as the normal form of the system. We note that with the condition (27) we get

pi

(

x

)



0

 i

=

r

+ 1

:::n

.

3.2 A generalization of the normal form

In this section we repeat the results of 6] where all proofs that are left out and further constructive details can be found. We consider a dynamics

D=khui

which has di erential transcendence degree 1 and trdeg

D=khui

=

n

. In generalized state space form we thus get

A

1

;x

_

1xuu

_

:::u(1)

= 0 ...

An;x

_

nxuu

_

:::u(n)

= 0

B

;

yxuu

_

:::u()

= 0

(29)

where we we for simplicity say that the system has only one output. Since we want to be able to have a unique description of the output we assume that the condition

@B

(

yx

)

@y

6

= 0 (30)

is fullled. Our goal is then to try to nd a generalization of the normal form (28). The rst thing we must do is then to generalize the Lie derivative and the relative degree. The rst thing we note is that if the output polynomial explicitly depends on

u

and its derivatives we have a case which do not correspond to the ane case. The natural thing is then to say that such a system has relative degree zero and that (29) is already in normal form. If this is not the case we must study the following polynomial

dB

(

yx

)

dt

=

Xn

i=1

@B

(

yx

)

@xi x

_

i

+

@B

(

yx

)

@y

_

y

(31)

The correspondence to the Lie derivative (23) would then be if all _

xi

and the

y

could be eliminated from (31). Obviously this can be done with Grobner bases

as given in the denition below.

(10)

Denition 3.1

Suppose that we have a system (29) where the output polynomial does not depend explicitly on

u

and that

G1

is a Grobner base for the polynomials

fA

1

( )

::: An

( )

 B

(

yx

)

 dB

(

yx

)

=dtg

(32) under the term ordering

xn< <x1<y

_

<u<u

_

< <u(max)<y<x

_

n < <x

_

1

(33) where

max

= max

f1:::ng

. The generalized Lie derivative of

y

w.r.t.

A

=

fA1

( )

::: An

( )

g

(34) is then dened as

LAB

(

yx

) =

G1\k



x1:::xnuu

_

:::u(max)y

_ ] (35) with

@LAB

(

yx

)

@y

_

6

= 0 (36)

The iterated generalized Lie derivative

LiAB

(

yx

) with

i>

1 is dened as

LiAB

(

yx

) =

Gi\k



x1:::xnuu

_

:::u(max)y(i)

] (37) with

@LiAB

(

yx

)

@y

(i) 6

= 0 (38)

Here

Gi

is the Grobner base of



A

1

( )

::: An

( )

 B

(

yx

)

 LAB

(

yx

)

::: LiA;1B

(

yx

)

 dLiA;1B

(

yx

)

=dt

w.r.t. the term ordering (39)

xn< <x1<y(i)<u<u

_

< <u(max)< <y

_

<y<x

_

n< <x

_

1

(40) Here and in the sequel will

k

denote the eld of real numbers. With this deni- tion we can dene a relative degree for systems of the form (29).

Denition 3.2

A system (29) has generalized relative degree

r 

1 if

LiAB

(

yx

)

 i

= 1

:::r

consist of only one polynomial for each

i

and it holds that

@LiAB

(

yx

)

@u

(j) 

0

 8j

0

 i

= 1

:::r;

1 (41) and

@LrAB

(

yx

)

@u

(j) 6

= 0



for some

j

0 (42)

In order to justify the names generalized Lie derivative and generalized relative

degree we must now show that the usual denitions of these concepts follow as

special cases.

(11)

Theorem 3.1

Suppose that we have a system (22) with

f

(

x

),

g

(

x

) and

h

(

x

) polynomials in the ring

k



x1:::xn

]. Then this system has relative degree

r

i it has generalized relative degree

r

. The Lie derivatives

Lifh

(

x

)

 i

= 0

:::r;

1 are given as the solutions to

LiA

(

y;h

(

x

)) = 0

 i

= 0

:::r;

1 (43) w.r.t.

y(i) i

= 1

:::r;

1. Furthermore,

Lrfh

(

x

)+

LgLrf;1h

(

x

)

u

is the solution to

LrA

(

y;h

(

x

)) = 0 (44)

w.r.t.

y(r)

.

The question is now how these Lie derivatives can be used for nding a normal form for our system (29). Given a relative degree

r 

1 we have a set of

polynomials

n

p

1

(

yx

)

 p2

( _

yx

)

::: pr

(

y(r;1)x

)

o

(45) and in correspondence with the normal form (28) we want to perform a trans- formation such that

z

1

=

y z2

= _

y::: zr

=

y(r;1)

(46) The

y(i) i

= 0

:::r;

1 can now be shown to have the following property.

Theorem 3.2

Suppose that the dynamic system (29) has generalized relative degree

r 

1.

Then

r n

and the output derivatives

y(i) i

= 0

:::r;

1 are algebraically independent over

khui

.

Remark 3.1 This theorem has a nice interpretation in the ane polynomial case namely that the proof of Lemma 3.1 follows directly from Theorem 3.2 and Theorem 2.2.

Since trdeg

D=khui

=

n

we know that there exists

zi 2 D=khui i

=

r

+ 1

:::n

such that with

zi

=

y(i;1) i

= 1

:::r

the set

fz1::: zng

becomes a transcendence basis for

D=khui

. The question is how the

zr+1:::zn

can be chosen. The lemma below gives a partial answer to this question.

Lemma 3.2 Suppose that the dynamic system (29) has generalized relative de- gree

rn

. Then there exists

n;r

di erent integers

ir+1:::in

between 1 and

n

such that with

zj

=

y

(j;1) j

= 1

:::r

xij j

=

r

+ 1

:::n

(47) the set

fz1::: zng

becomes a transcendence basis for

D=khui

.

A constructive note that must be made now is that in Lemma 3.2 it is not shown how to choose the

xi

which are algebraically independent over the eld

khui

(

z1:::zj

)

 j

=

r:::



r;

1. These

xi

can be found with Grobner bases in a

way which is described in 6]. The main tool for performing the transformation

(12)

the system (29) will of course also be Grobner bases and the generalized normal

form becomes

z

_

1

=

z2

_

z

2

=

z3

_ ...

zr;1

=

zr

qr;z

_

rzuu

_

:::u(r)

= 0

qr+1;z

_

r+1zuu

_

:::u(r+1)

= 0 ...

qn;z

_

nzuu

_

:::u(n)

= 0

y

=

z1

(48)

Due to the fact that if we would have performed the calculations above for an ane system (22) we would get (28) we can call this a generalized normal form for (29).

4 Sliding Mode Control for Generalized State Space Descriptions

In 12] a method for designing sliding mode controllers for generalized state space descriptions (29) is given. However, this method has several drawbacks.

One is that one is restricted to zeroing the di erentially primitive element and another is that one must solve a high order di erential equation to nd the sliding control

u

. We will now study if the generalized normal form dened in the previous section can be used for reducing these problems.

4.1 Sliding Mode Control using the Dierentially Primi- tive Element

Here we will repeat the results of 12]. First of all it is shown in 2] how Theorem 2.7 can be used for getting a more suitable form for the dynamics.

Theorem 4.1

Suppose that

is a primitive element of the dynamics

D=khui

. Then

x1

=

:::xn

=

(n)

qualies a generalized state vector and the corresponding state space description becomes

_

x

1

=

x2

_

x

2

=

x3

_ ...

xn;1

=

xn

C

;x

_

nx1:::xnuu

_

:::u()

= 0

(49)

This is known as the generalized controller canonical form.

What we want to achieve is to keep the primitive element

zero. As before we introduce an auxiliary output dened as

=

c1x1

+ +

cn;1xn;1

+

xn

(50)

References

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