Luenberger Observers For Nonlinear Controlled Systems
Luenberger Observers For Nonlinear Controlled Systems
Luenberger Observers For Nonlinear Controlled Systems
Abstract— We show how the (original) Luenberger method- in a ”Lipschitz” way in terms of the first N − 1 ones.
ology presented in [1] for autonomous linear systems can In this case, a classical high gain observer can be used.
be used to design causal observers for controlled non linear But a drawback of this transformation is that it involves
systems. Their implementation relies on the resolution of a time-
varying PDE, the solutions of which transform the dynamics the input’s time derivatives (appearing when differentiating
into linear asymptotically stable ones. We prove the existence the output), which may make this solution unsuitable for
and injectivity (after a certain time) of such transformations, practical applications.
under a differential observability assumption. We also show on The Luenberger-like methodology which we develop in
practical examples how this PDE can be solved and how the this paper also relies on an input-dependent transformation.
observability assumption can be checked.
Inspired by [1], [3], [5], the goal is to transform the system
I. I NTRODUCTION into a linear asymptotically stable system via the resolution
of a PDE, but which is now time-varying due to the presence
Online estimation of the state of a dynamical system of inputs. This resolution is not always straightforward,
is crucial in practice, especially for monitoring or control which makes this method less direct and systematic than the
purposes. Originally1 , in [1], Luenberger developed a general high gain methodology, but we will see that the computation
method to build observers for autonomous linear systems. of the derivatives of the input is not necessary, which
Its extension to autonomous nonlinear systems was proposed constitutes a significant advantage.
and analyzed in a general context by [2]. It was rediscovered
later by [3] where a local analysis close to an equilibrium II. P ROBLEM STATEMENT
point was given under conditions relaxed later on in [4].
The localness as well as most of the restrictive assumptions Consider a general system of the form
were then by-passed in [5]. As noticed in [6] and [5], this
nonlinear Luenberger observer is also strongly related to the ẋ = f (x, u) , y = h(x, u) (1)
observer proposed in [7]. where x is the state in Rn , y the measurement in Rp , f
In this paper, we want to extend the use of Luenberger and h sufficiently many times differentiable functions and
observers to controlled systems. First steps in this direction u : [0, +∞) → Rq an input of class C , with a sufficiently
were made in [8], [9] for linear time-varying systems, but up large integer. We denote X(x, t; s; u) the value at time s of
to our current knowledge, no result concerning Luenberger the solution to System (1) with input u, initialized at x at
observers for nonlinear time-varying - let alone controlled - time t, and Y (x, t; s; u) the corresponding output function
systems is available (although some preliminary results exist at time s. In all our forthcoming results, the following basic
in [10]). assumption will be made :
In fact, very few general observer designs exist for non lin- Assumption There exist a subset U of {u : [0, +∞) →
ear controlled systems. Some, such as the popular extended
Kalman filters ([11]) rely on linearization methods, but thus Rq | u ∈ C } and a set S of Rn such that for any u in U ,
provide only local convergence. Others consist in finding a any x in S and any time t in [0, +∞), X(x, t; s; u) is in S
reversible input-independent change of coordinates, which for all s in [0, +∞).
transforms the dynamics into a more favorable form such In this paper, we want to design an observer for System
as state-affine time-varying forms ([12],[13] among others), (1), via the Luenberger-like methodology developed in [1],
for which a Kalman filter can be used, or a triangular form [2], [3], [5]. We assume the inputs and outputs are known
([14], [15]) for which a high gain observer can be used. in a causal way, namely the observer can use only their past
But the existence of such a change of coordinates usually or current values, i.e., at time t, u|[0,t] and y|[0,t] only2 .
requires restrictive assumptions on the system, such as the so- The idea is to find a transformation T : S ×[0, +∞) → Rd
called uniform observability for triangular forms. However, for some strictly positive integer d such that for any u in U ,
in [16], an explicit transformation into a more general time- any x in S and any time t in [0, +∞), the state function
varying triangular form is proposed under the weaker rank- T (X(x, t; s; u), s) follows the dynamics
observability condition. The authors then use a Kalman-
like observer (mixing of Kalman and high gain observers), ż = Az + By (2)
but an additional excitation condition is needed to ensure
convergence. with A a Hurwitz matrix in R and B a vector in R
d×d d×p
.
On the other hand, if we allow the transformation to This is achieved if T is solution to PDE
depend on the input, the range of possibilities widens. For ∂T ∂T
instance, the transformation obtained by considering the (x, t)f (x, u(t)) + (x, t) = A T (x, t) + B h(x, u(t))
measurement and a certain number of its derivatives, trans- ∂x ∂t
(3)
forms the dynamics into the so-called phase-variable form for any x in S and t in [0, +∞). In this case, implementing
([17]) under the ACP(N ) condition ([17]), which roughly the dynamics (2) provides an asymptotically converging es-
says that the N th-derivative of the output can be expressed timate of T (X(x, t; s; u), s). If T (·, s) is besides injective at
1 Pauline Bernard is with the Centre Automatique et Systèmes, MINES-
least after a certain time, one can finally deduce an estimate
for X(x, t; s; u). More precisely, we have the following
ParisTech, PSL Research University, France,
[email protected] result:
1 We write ”originally” insofar as what is nowadays usually called
”Luenberger observer” differs from what is in [1]. 2 Time 0 thus corresponds to the initial time of data recording.
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namely H is Lipschitz-injective on S, uniformly is that the latter does not require the computation of the
with respect to ν̄m in U m . derivatives of the input (see examples in Section V).
3) For all 1 ≤ i ≤ p, there exists Li such that for all In order to check the assumptions of Theorem 2 more
(x1 , x2 ) in S 2 and for all ν̄m in U m , easily in practical cases, we have the following result :
Lemma 2: Assume that S is compact and there exist p
|Lm
f¯
i
h̄i (x1 , ν̄m ) − Lm
f¯
i
h̄i (x2 , ν̄m )| ≤ Li |x1 − x2 | integers (m1 , ..., mp ) such that U m with m = maxi mi is
compact, and for any ν̄m in U m , H(·, ν̄m ) defined in (9) is
namely Lm f¯
i
h̄i (·, ν̄m ) is Lipschitz on S, uniformly with an injective immersion4 on S. Then, Assumptions 1, 2, 3 are
respect to ν̄m in U m . satisfied.
Proof: See Appendix IV.
We are now ready to introduce our main result : In other words, since the additional assumption ”T (·, 0)
Theorem 2: Suppose Assumptions 1-2-3 are satisfied. Lipschitz on S” made in Theorem 2 is automatically verified
Consider Hurwitz matrices Ai in Rmi ∗mi , with mi defined when S is compact, the result of Theorem 2 holds under the
in Assumption 2, and vectors Bi in Rmi such that the pairs assumptions of Lemma 2.
(Ai , Bi ) are controllable. There exists a strictly positive real
number k such that for all k ≥ k, for all input u in U , V. E XAMPLES
there exists tk,u such that any C 1 solutions Ti to PDE (6) A. Permanent Magnet Synchronous Motor (PMSM)
on S × [0, +∞), with Ti (·, 0) Lipschitz on S, are such that
T (·, t) defined by A first practical example which falls directly into the scope
of this paper is the Luenberger observer presented in [18] for
T (x, t) = (T1 (x, t), . . . , Ti (x, t), . . . , Tp (x, t)) (10) a PMSM. We reproduce here the minimal information needed
for comprehension, and we add the theoretical arguments
is injective on S for all t ≥ tk,u . More precisely, there exists which are not given in [18]. The system can be modeled by
a constant Lk such that for any (x1 , x2 ) in S 2 , any u in U
and any time t ≥ tk,u ẋ = u − Ri , y = |x − Li|2 − Φ2 (12)
2
|x1 − x2 | ≤ Lk |T (x1 , t) − T (x2 , t)| . where x is in R , the voltages u and currents i are inputs
in R2 , the resistance R, impedance L and flux Φ are known
Besides, for any t ≥ tk,u , T (·, t) is an injective immersion scalar parameters and the measurement y is constantly zero.
on S. Here p = 1, so we can drop the subscript i. Since the
Proof: See Appendix III. dynamics are linear and the measurement quadratic in x,
The additional assumption ”Ti (·, 0) Lipschitz on S” is not one can look for Tλ of the form :
very restrictive because the solution Ti can usually be chosen
arbitrarily at initial time 0 (see examples in Section V). In Tλ (x, t) = |x|2 + aλ (t) x + bλ (t)
particular, the elementary solutions Ti0 found in Lemma 1 where the dynamics of aλ and bλ are to be chosen so that
are zero at time 0 and thus clearly verifies this assumption. Tλ is solution of PDE (11). We can check that the dynamics
Applying successively Lemma 1, Theorem 2 and Theorem
1, we conclude that under Assumptions 1, 2, 3, it is possible ȧλ = −λ aλ − 2(u − Ri) + 2Li
to write an observer for system (1) by choosing any (Ai , Bi )
controllable and k sufficiently large. ḃλ = −λ bλ − a 2 2
λ (u − Ri) + L |i| − Φ
2
(13)
Remark 1: It is important to note that k does not depen- make Tλ follow the dynamics
dent on u, thanks to the fact that LH , Mf and Li given by
Assumptions 1-2-3 are the same for all u in U . However, żλ = −λzλ + y = −λzλ
the time tk,u after which the solution becomes injective a
priori depends on k and u. This is not a problem in practice and a trivial solution is thus zλ = 0. Let us now check
˙
since we only want to be sure that for k sufficiently large, whether the assumptions are verified. We suppose that i, i ,
any solution will become injective after a certain time. If we ¨
want this time tk,u to be uniform in u, the Lipschitz constants i and u, u̇ are bounded, so that the state x also remains
of Hi (·, ūm (0))) and of Ti (·, 0) must be independent from bounded (since y = 0). Choosing m = 3, we have
u in U . ⎛ ⎞
˙ ¨ |x − Li|2 − Φ2
Remark 2: If we choose m = maxi mi sufficiently large
distinct strictly positive real3 numbers λj , and take Ai = H(x, u, i, u̇, i , i ) = ⎝ 2η (x − Li) ⎠
−diag(λ1 , ..., λmi ) and Bi = col(1, ..., 1), then, the only 2η̇ (x − Li) + 2η η
PDEs to solve are ˙
∂Tλ,i ∂Tλ,i where we denote η = u − Ri + L i . Thus, if we suppose
(x, t)f (x, u(t)) + (x, t) = −λ Tλ,i (x, t) besides that there exists c > 0 such that the inputs verify
∂x ∂t | det(η, η̇)| ≥ c, every assumption of Lemma 2 is satisfied. In
+ hi (x, u(t)) (11)
fact, the inputs happen to be such that5 det(η , η̇) = w3 Φ2 ,
for λ in {λ1 , . . . , λp } and for each 1 ≤ i ≤ p. where ω is the rotor angular velocity. We conclude that all the
Remark 3: Under Assumption 2-3, we could also build a conditions are verified when the inputs and their derivatives
high gain observer of dimension d = p × maxi mi because are bounded and the rotor angular velocity is away from zero.
the assumption ACP(d) (see [17]) is verified. If we wanted Applying our theorem, it follows that for any three distinct
to use only mi derivatives for each input and obtain an and sufficiently large strictly positive λj , the function
observer of dimension i mi , each mi -th derivative would T (x, t) = (Tλ1 (x, t), Tλ2 (x, t), Tλ3 (x, t))
have to satisfy an additional triangularity assumption. But in
any case, the crucial difference with the Luenberger observer 4 H(·, ν̄ is injective on S and ∂H
m) (x, ν̄m ) is full-rank for any x in S
∂x
5η − sin θ
3 It is also possible to take λj complex with strictly positive real part. = Φω cos θ , with θ the motor angle, and ω = θ̇.
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becomes injective after a certain time (once the filters (13) VI. C ONCLUSION
have sufficiently converged). Implementing (13) for each λj , We have shown how a Luenberger methodology could
one can obtain after a certain time an estimate x̂ of x(t) for be applied on nonlinear controlled systems. It is based
instance by : on the resolution of a PDE, the solutions of which exist,
−1 transform the system into a linear asymptotically stable one,
aλ1 (t) − aλ3 (t) bλ1 (t) − bλ3 (t) and become injective after a certain time. This is done under
x̂(t) = − bλ2 (t) − bλ3 (t) .
aλ2 (t) − aλ3 (t) the quite strong assumptions that :
- the function made of the output and a certain number
Note that for this system, a classical gradient observer of its derivatives is Lipschitz-injective (Assumption 2)
of smaller dimension exists ([19], [20]). The Luenberger - the set S is forward invariant.
observer proposed here offers the advantage of depending A possible improvement would be to relax those conditions
only on filtered versions of u and i, which can be useful maybe using tools from [5] for autonomous systems.
in presence of significant noise. On the other hand, no high
gain design would have been possible for this system without A PPENDIX I
computing the derivatives of i, which is not desirable in P ROOF OF T HEOREM 1
practice. For any t ≥ t, T (·, t) is injective on S, thus there exists
a function Tt−1 : T (S, t) → S such that for all x in S,
B. Non-holomic vehicle
Tt−1 (T (x, t)) = x. Besides, for all (z1 , z2 ) in T (S, t)2 ,
Another appropriate example is the celebrated non-
holomic vehicle with dynamics |Tt−1 (z1 ) − Tt−1 (z2 )| ≤ ρT (|z1 − z2 |) . (17)
ẋ1 = u1 cos(x3 ) , ẋ2 = u1 sin(x3 ) , ẋ3 = u1 u2 , According to [21, Theorem 2], there exists an extension6 of
Tt−1 on Rd verifying (17) for all (z1 , z2 ) in Rd ×Rd . Defining
y = (x1 , x2 ) (14) T ∗ as T ∗ (z, t) = Tt−1 (z) for (z, t) in Rd ×[0, +∞), we have
with u1 and u2 inputs corresponding to the average wheels’ for all t ≥ tk,u and all (x, z) in S × Rd ,
velocity and their orientation respectively. A large literature
is available on this system and our goal here is not to propose |x − T ∗ (z, t)| ≤ ρT (|T (x, t) − z|) .
yet another observer, but to show on another example how to Besides, for all s in [0, +∞),
solve PDE (11) for each component of the measurement. The ˙
dynamics and measurements being linear in x1 , x2 , cos(x3 ), T (X(x0 , 0; s; u), s) = AT (X(x0 , 0; s; u), s)
sin(x3 ), it is quite natural to look for a function T linear in +Bh(X(x0 , 0; s; u), u(s))
those quantities. Besides, x1 and x2 are independent so we
look for Tλ,1 and Tλ,2 , associated to measurement x1 and according to PDE (3). Thus,
x2 respectively, of the form : ˙
T (X(x0 , 0; s; u), s) − Z(x0 , z0 , 0; s; u)
Tλ,1 (x, t) = aλ (t) x1 + bλ (t) cos(x3 ) + cλ (t) sin(x3 ) = A (T (X(x0 , 0; s; u), s) − Z(x0 , z0 , 0; s; u))
Tλ,2 (x, t) = ãλ (t) x2 + b̃λ (t) cos(x3 ) + c̃λ (t) sin(x3 ) . and since A is Hurwitz,
By straightforward computations, we conclude that to satisfy lim T (X(x0 , 0; s; u), s) − Z(x0 , z0 , 0; s; u) = 0 .
t→+∞
PDE (11), we can take :
1 Besides, X(x0 , 0; s; u), s) is in S for all s. Therefore, for all
ãλ = aλ = , b̃λ = −cλ , c̃λ = dλ s ≥ t,
λ 1
ḃλ = −λ bλ − u1 u2 cλ − u1 |X(x0 , 0; s; u) − T ∗ (Z(x0 , z0 , 0; s; u), s)|
λ
ċλ = −λ cλ + u1 u2 bλ . (15) ≤ ρT (|T (X(x0 , 0; s; u), s) − Z(x0 , z0 , 0; s; u)|)
Then, Tλ,1 and Tλ,2 are solutions of and we have the required result.
A PPENDIX II
żλ,1 = −λ zλ,1 + x1 P ROOF OF L EMMA 1
żλ,2 = −λ zλ,2 + x2 (16) First, for any i in {1, . . . , p}, any u in U , and any s in
respectively. Besides, computing the successive derivatives [0, +∞), (x, t) → Yi (x, t; s; u) = h(X(x, t; s; u), s) is C 1 ,
of the measurements (x1 , x2 ), we can see that we have an thus Ti0 is C 1 .
injective immersion as soon as at least one derivative of u1 Take x in S and t in [0, +∞). For any τ in R,
is nonzero. Therefore, if the state, the inputs u1 , u2 and X(X(x, t, t + τ ; u), t + τ ; s; u) = X(x, t; s; u).
their derivatives remain in compact sets, and if there exist
an integer m ≥ 2 and a real number c > 0 such that for all Therefore,
t and all considered input u, Ti0 (X(x, t; t + τ ; u), t + τ )
(m−2)
t+τ
u1 (t)2 + u̇1 (t)2 + ... + u1 (t)2 ≥ c , = ekAi (t+τ −s) Bi hi (X(x, t, s; u), u(s))ds
0
then all the assumptions in Lemma 2 are verified with m1 =
m2 = m. Therefore, by choosing m strictly positive distinct = ekAi τ Ti0 (x, t)
t+τ
real numbers λj , the function
+ekAi τ ekAi (t−s) Bi hi (X(x, t; s; u), u(s))ds
T (x, t) = (Tλ1 ,1 (x, t), ..., Tλm ,1 (x, t), t
Tλ1 ,2 (x, t), ..., Tλm ,2 (x, t)) −1
6 Denoting Tt,j the jth component of Tt−1 , take Tt,j
−1
(z) =
becomes injective after a certain time. Implementing (15) − −1
minz̃∈T (S,t) {Tt,j (z̃) + ρT (|z̃ − z|)} −1
or equivalently Tt,j (z) =
(16) for each λj , we thus get an observer of dimension 4m. minx∈S {xj + ρT (|T (x, t) − z|)}
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and Thanks to Assumption 1, for any (x1 , x2 ) in S, and (t, τ )
in [0, +∞)2 , we have (see for instance [22])
Ti0 (X(x, t; t+ τ ; u), t + τ ) − Ti0 (x, t)
τ |X(x1 , t; τ ; u) − X(x2 , t; τ ; u)| ≤ eMf |τ −t| |x1 − x2 | . (18)
ekAi τ − I 0
= Ti (x, t) By assumption Ti (·, 0) and Hi (·, ūm (0))) are Lipschitz on
τ S, thus there exists LΨi such that
ekAi τ t+τ kAi (t−s)
+ e Bi hi (X(x, t, s; u), u(s))ds .|Ψi (X(x1 , t; 0; u), 0) − Ψi (X(x1 , t; 0; u), 0)|
τ t
≤ LΨi eMf t |x1 − x2 | .
Making τ tend to 0, we get PDE (6).
Then, Ai being Hurwitz, there exists strictly positive num-
A PPENDIX III bers ai and γi (see [22]) such that for all τ in [0, t]
P ROOF OF T HEOREM 2
Take u in U , i in {1, . . . , p}, x in S and t in [0, +∞). ekAi (t−s) ≤ γi e−kai (t−s) . (19)
According to PDE (6), Ti satisfies for all s in [0, +∞),
Using Assumption 3 and inequalities (18) and (19), we
d M
deduce that if k > aif ,
Ti (X(x, t; s; u), s) = kAi Ti (X(x, t; s; u), s)
ds
+Bi Yi (x, t; s; u) . |Ri (x1 , t)−Ri (x2 , t)|
t
Integrating between t and s, it follows that
≤ Li |Bi |γi e−(kai −Mf )(t−τ ) dτ |x1 − x2 |
kAi (s−t) 0
Ti (X(x, t; s; u), s) = e Ti (X(x, t; t; u), t)
Li |Bi |γi
Ti (x,t) ≤ |x1 − x2 | .
s kai − Mf
+ ekAi (s−τ ) Bi Yi (x, t; τ ; u)dτ
t We finally deduce that
and thus, |Ti (x1 , t) − Ti (x2 , t)|
Ti (x, t) = ekAi (t−s) Ti (X(x,t; s; u), s) ≥ |A−m
i
i
Ci K i | |ΔHi |
t
kAi (t−τ ) 1
+ e BYi (x, t; τ ; u)dτ . −|Ki−1 Ci−1 | ekAi t |ΔΨi | + mi |ΔRi |
s
k
applying this inequality at s = 0, we get |A−m i
C i |
≥ i mi |ΔHi |
k
Ti (x, t) = ekAi t Ti (X(x, t; 0; u), 0) + Ti0 (x, t)
−k |Ci−1 | γi LΨi e−(kai −Mf )t |x1 − x2 |
mi
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We deduce that for which is a closed subset of the compact set S 2 and therefore
1 ln(4k m c1 LH ) compact. The function (x1 , x2 , ν̄m ) → |H(x1 ,ν̄|x 1 −x2 |
m )−H(x2 ,ν̄m )|
k ≥ (Mf + 4c2 LH ) , t≥ , is defined and continuous on Ω × U m since H(·, ν̄m ) is
a ka − Mf
injective for any ν̄m in U m . Thus, it admits a maximum
we have M on the compact set Ω × U m .
mini (|A−m i
Ci |) 1 Finally, take any (x1 , x2 ) in S 2 and any ν̄m in U m . There
|T (x1 , t) − T (x2 , t)| ≥ c i
m
|x1 − x2 | are two cases :
k 2LH
• either (x1 , x2 ) ∈
/ Ω, i-e |x1 − x2 | < 2r, and
i-e
Pm
km |x1 − x2 | ≤ |H(x1 , ν̄m ) − H(x2 , ν̄m )| .
|x1 − x2 | ≤ 2LH |T (x1 , t) − T (x2 , t)| 2
c mini (|A−m
i
i
Ci |) • or (x1 , x2 ) ∈ Ω, and
(20)
and Tk (·, t) is injective on S, uniformly in time. We conclude |x1 − x2 | ≤ M |H(x1 , ν̄m ) − H(x2 , ν̄m )| .
that the result holds with
We conclude that Assumptions 2 is verified with LH =
1 km max{ P2m , M }.
k = (Mf + 4c2 LH ) , Lk = 2LH
a c mini (|A−m
i
i
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