Proceedings of the ASME 2017 International Design Engineering Technical Conferences &

Computers and Information in Engineering Conference

Auguts 6-9, 2017, Clevenland, Ohio

DETC2017-67126

ON THE ADRC OF NON-DIFFERENTIALLY FLAT, UNDERACTUATED, NONLINEAR

SYSTEMS: AN EXPERIMENTAL CASE STUDY.

H. Sira-Ramı́rez, E. W. Zurita-Bustamante and E. Hernández-Flores

Mechatronics Section, Department of Electrical Engineering
Col. San Pedro Zacatenco, AP 14740
CINVESTAV-IPN, 07300 México City, México
Email: hsira@cinvestav.mx, ezurita@cinvestav.mx, efrain.hernandez@cinvestav.mx

ABSTRACT
In this article, the output reference trajectory tracking con-
trol of a non-differentially flat, underactuated, system is ap-
proached from the perspective of Active Disturbance Rejection
Control (ADRC) including a suitable Extended State Observer
(ESO). The class of underactuated systems, which are non-
differentially flat, constitutes the most challenging area for test-
ing the effectiveness of robust feedback control algorithms, spe-
cially under output trajectory tracking requirements. The prob-
lem, however, is substantially alleviated and feasibly approached
provided the tangent linearization of the system is found to be
controllable around an arbitrary equilibrium point. The flatness
of the tangent system is taken advantage of for the design of an
observer-based feedback controller taking the tangent system op-
eration substantially far from the operating point. The ADRC
scheme robustly takes efficient care of the excited (endogenous)
nonlinearities, which were neglected in the linearization process,
as well as any other external (exogenous) disturbances. Here, we
take the gantry crane and its closely associated system: the in-
verted pendulum on a cart, as working laboratory examples to
illustrate the effectiveness of the proposed approach.
NOMENCLATURE
F Force applied on the cart
g Acceleration due to gravity
m Mass of the pendulum.
M Mass of the cart.
x Distance from the initial position to the center of mass of the
cart
θ Angle for the pendulum respect to the vertical
1 INTRODUCTION
The inverted pendulum on a cart and the convey-crane con-
stitute nonlinear underactuated fourth order systems. From a lin-
ear perspective the control of these systems represents a chal-
lenging control problem. In addition, these nonlinear systems
are not feedback linearizable. In this work, the controller design
for the underactuated systems is performed using their control-
lable tangent linearization model placed in terms of a simplified
dynamics, typical of the ADRC approach, where the neglected
nonlinearities are regarded as part of a total of disturbance term,
lumped with possible exogenous perturbations effects. The ex-
ogenous disturbances represent, generally speaking, the effects
of unmodeled dynamics and the presence of exogenous, unstruc-
tured, unknown but bounded time varying inputs.
The ADRC scheme, via its suitably designed Extended State
Observer (ESO), simultaneously estimates the flat output related
phase variables as well as the total disturbance effects. It then
proceeds to approximately cancel the adverse disturbance ef-
fects via a stabilizing feedback law using the observer infor-
mation. For the ESO, we use a variation of Han’s ESO ( [1]),
which constitutes a unique feature, or consequence, of the flat-
ness property and the underlying Hamiltonian structure of the
linear tangent model. Such observer allows for a natural decou-

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pling property, for the estimation of odd order flat output time
derivatives. In fact, the differential parameterization, provided
by flatness, makes it clear that it is unncecessary to estimate even
order time derivatives of the flat output. Other variations of Han’s
observers, known as Generalized Proportional Integral (GPI) ob-
servers, have been used in the control of underactuated systems
with flat linearizations (See [2]). Experimental applications of
ADRC via GPI observers are found in diverse control system
areas: ((see Ramı́rez-Neria et al. [3–6], J. Linares et al. [7, 8],
Cortés-Romero et al. [9].). The rigorous mathematical features
of the ESO based ADRC approach are thoroughly discussed in
the works of Zhao and Guo ( [10–12]), in the articles by Gao et
al. ( [13–15]), in Sira-Ramı́rez et al. [7] and in the survey article
by Madoński and Herman in ( [16]).
The rest of the paper is organized as follows: The mathe-
matical models of the inverted pendulum on a cart system and of
FIGURE 1. AN INVERTED PENDULUM ON A CART SYSTEM.
the convey crane system are presented in Section 2. The tangent
linearization models around, respectively, the unstable and sta-
ble equilibrium points, are found to be controllable and, hence, and the corresponding incremental variables depicting variations
flat. Section 3 contains the problems formulations and the main from the equilibrium point:
results. The experimental results including trajectory tracking
tasks are presented, for both systems, in Section 4. The conclu- xδ = x− x̄ = x, θδ = θ − θ̄ , ẋδ = ẋ, θ̇δ = θ̇ , Vd elta = V − V̄ = V
sions of the work are presented in Section 5. (4)
All the incremental state and input variables coincide, then,
with the actual measured variables. The linearized system,
2 THE INVERTED PENDULUM ON A CART AND THE around the unstable equilibrium point, is written as,
CONVEY CRANE SYSTEMS.
2.1 Mathematical model of the inverted pendulum on
kt
a cart. (M + m)ẍδ − mLθ̈δ = V (t) (5)
Consider an inverted pendulum on a cart system system, as Rr δ
shown in figure 1. The mass of the cart is M, while L is the −mLẍδ + mL2 θ̈δ = mgLθδ (6)
length of the pendulum with concentrated mass m. The variable
θ denotes the angle between the pendulum rod and the vertical The linearized system (5) can be rewritten in the matrix
direction. The input force (F) is obtained from a DC motor. The form:
motor torque can be expressed as a function of the motor volt-
kt
age through the relation: F = rR V (t) where R is the armature
resistance of the motor, kt is the motor torque constant and r is ẋ = Ax + bVδ (7)
the radius of the mesh that is used to move the cart. The math-
ematical model is obtained, via the Euler-Lagrange formalism, where:
as:
     
xδ 01 0 0 0
0 0 mg  k 
 ẋδ  M 0
 ; b =  rRM  ;
θδ  ; A = 0 0
x= (8)
(M + m)ẍ − mLθ̈ cos(θ ) + mLθ̇ sin(θ ) = F
2  
(1) 0 1  0 
−mL cos(θ )ẍ + mL2 θ̈ − mgL sin(θ ) = 0 (2) θ̇δ 00 (M+m)g
LM 0 k
rRLM

All position variables, x, θ are assumed to be available for The flat output of a linear controllable system in state space form
measurement. None of the corresponding velocity variables are is given, modulo a constant factor, by the linear combination of
available. the states obtained from the last row of the inverse of the Kalman
Consider the unstable equilibrium point of the system, controllability matrix [17]. For the inverted pendulum we have:

x̄ = 0; ẋ¯ = 0; θ̄ = 0; θ̇¯ = 0; V̄ = 0; (3) y = [0 0 0 1][b, Ab, A2b, A3 b]−1 x (9)

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Then, the flat output of the system is given by:

y = −xδ + Lθδ (10)

The consecutive time derivatives of the linear flat output are

computed through the observability matrix of the linearized sys-
tem. This results in:
FIGURE 2. A CONVEY CRANE SYSTEM.
y = −xδ + Lθδ ; ẏ = −ẋδ + Lθ̇δ ; ÿ = gθδ ; y(3) = gθ̇δ
gkt g2 (M + m) 2.2 Mathematical model of the crane system.
y(4) = Vδ + θδ (11)
rRLM LM Consider a crane system shown in figure 2, using the same
corresponding parameters as in the inverted pendulum on a cart
The second order time derivative of the flat output is seen to system. Here, θ denotes the angle between the pendulum rod
be proportional to the measured angular position θ . Therefore, it and the vertical direction as shown.
is not necessary to estimate the flat output acceleration since this The model of the plant is similar to that of the inverted pen-
is available from the measured angular position. On the other dulum on a cart:
hand, the first and third order time derivatives of the flat output
are combinations of the velocities of the measured positions. (M + m)ẍ − mLθ̈ cos(θ ) + mLθ̇ 2 sin(θ ) = F (15)
The inverse relation yields the following differential
−mL cos(θ )ẍ + mL2 θ̈ + mgL sin(θ ) = 0 (16)
parametrization of the all system variables:

The stable equilibrium point of the system is given by:

L L 1 1
xδ = −y + ÿ; ẋδ = −ẏ + y(3) , θδ = ÿ; θ̇δ = y(3)
g g g g
x̄ = 0; ẋ¯ = 0; θ̄ = 0; θ̇¯ = 0; V̄ = 0; (17)
The control input, in terms of the flat output time derivatives
is just: The tangent linearization model of the system, valid around
the equilibrium point is:

rRLM (4) rR(M + m) kt

Vδ = y + ÿ (12) (M + m)ẍδ − mLθ̈δ = V (t) (18)
gkt kt Rr δ
−mLẍδ + mL2 θ̈δ = −mgLθδ (19)
The input-output dynamics of the linearized system is, thus,
written as: where xδ = x − x̄, θδ = θ − θ̄ and Vδ = V − V̄ . The incremental
positions and incremental control variable coincide, again, with
gkt g(M + m) the measured variables.
y(4) = V + ÿ (13)
rRLM δ LM Similarly to the inverted pendulum on a cart, the flat output
of the tangent linearization system is:
The simplified input-output dynamics, which is traditionally
used in the design and implementation of an ADRC scheme, is y = xδ − Lθδ = x − Lθ (20)
just given by (See [1], [13], [7], to name but a few ):
The flat output and its corresponding time derivatives are ob-
gkt g(M + m) tained as:
y (4)
= β Vδ + ξ (t), β = , ξ (t) = ÿ (14)
rRLM LM

where ξ (t) represents the total disturbance. It will be assumed y = xδ − Lθδ ; ẏ = ẋδ − Lθ̇δ ; ÿ = gθδ ; y(3) = gθ̇δ
that, both, ξ (t) and its first order time derivative ξ̇ (t) are abso- gkt g2 (M + m)
lutely uniformly bounded. y(4) = Vδ − θδ (21)
rRLM LM
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 The control input, in terms of the flat output and its time
derivatives, is just:
ëy = ÿ − ÿ∗ (t) = geθ ;
rRLM (4) rR(M + m) (2)
d 2 ey
Vδ = y − ÿ (22) (4)
ey = = β eV + ξ (t) (25)
gkt kt dt 2

The input-output dynamics of the linearized system is, thus,
given by
gkt g(M + m)
y(4) = V + ÿ (23)
rRLM δ LM
For ADRC scheme, the simplified input-output dynamic is
taken to be:
gkt g(M + m)
y(4) = β Vδ + ξ (t), β = , ξ (t) = − ÿ(24)
rRLM LM
with ξ (t) representing, once more, the total disturbance effects.
3 PROBLEM FORMULATION AND MAIN RESULT.
3.1 Problem formulation
Suppose it is desired to have the output y track a given
smooth output reference trajectory y∗ (t), oriented by the need
to stabilize the cart and the pendulum at a given constant posi-
tion, away from the equilibrium point, without remaining oscil-
lations of the pendulum. Define ey = y − y∗ (t), eV = (V −V ∗ (t))
where V ∗ (t) is the nominal control input obtained from (12)
and (22). Similarly, we let eθ = θδ − θδ∗ (t) = θ − θ ∗ (t) and
ex = xδ − x∗δ (t) = x − x∗ (t). The incremental position variables
nominal trajectories: (x∗ (t), θ ∗ (t)), are easily obtained from the
flat output nominal trajectory thanks to the flatness property;
which allows for a differential parametrization of all system state
variables in terms of the flat output and a finite number of its time
derivatives.
3.2 A flatness based ADRC scheme
The simplified inverted pendulum on a cart and the con-
vey crane systems have the same input-output expressions. We,
therefore, consider the design of a single feedback control input
law. For implementation purposes, however, it is necessary to
use the required flat output conformation for the plant at hand.
Consider the following relations satisfied by the even order time
derivatives of the incremental flat output trajectory tracking er-
rors:
Remark The above set of relations involving flat output
tracking error derivatives, may be viewed as a set of two second
order dynamical sub-systems, with inputs given, respectively, by
a linear combinations of the position tracking error variables and
by the control tracking error variable. The first relation is used
to build an ESO observer for the un-measured, first order time
derivative of the incremental flat output tracking error, ėy while
the second relation is used for building an ESO for the total dis-
turbance and the third order time derivative of the tracking error
ey . This important “decoupling” feature, which results in no need
for estimating even order time-derivatives, is due, in general, to
an intimal relation between the flatness property of the tangent
system and the underlying Hamiltonian nature of the plant de-
void of damping terms. This issue will be further exploited else-
where; as it not only improves the efficiency of the fourth order
observer counterpart, but it also yields superior noise rejection
properties.
Let êy0 denote the redundant estimate of the measured flat
output tracking error ey = y − y∗ (t). The first observer is devised
as follows:
d
êy0 = êy1 + k1 (ey − êy0 )
dt
d
êy1 = geθ + k0 (ey − êy0 ) (26)
dt
This observer produces an estimate êy1 of the first order time
derivative of ey .
A second relation, obtained from (25), prompts an ESO that
simultaneously estimates the third order time derivative of the
(3)
flat output tracking error, here denoted by êy , and the possible
unknown disturbances ξ (t), represented here by the extension
variable z. This observer variable z estimates the lumped effects
of the neglected non-linearities and of the exogenous perturba-
tions (un-modeled dynamics, force disturbances etc). We have,
d
êy2 = êy3 + k4 (geθ − êy2 )
dt
d
êy3 = ẑ + β V + k3(geθ − êy2 )
dt
d
z = k2 (geθ − êy2 )
dt
(27)

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 The output observation error, e0 = ey − êy0 , and its time
derivatives e1 = geθ − êy2 generate the following set of recon-
struction error dynamics,
ë0 + k1 ė0 + k0 e0 =0
(3)
e1 − k4 ë1 − k3 ė1 − k2 e1 = ξ̇ (t)
The effects of the assumed bounded character of ξ̇ (t) are attenu-
ated by means of high-gain design parameters.
An appropriate choice of the coefficients (k4 ,. . ., k0 ) guar-
antee exponentially decreasing estimation errors, e0 and e1 con-
verging towards a small vicinity of the origin of the phase spaces
of e0 and e1 (See [7], [10], [15]).
Using, respectively, a second and third order Hurwitz poly-
nomial of the forms: (s2 + 2ζ1 ω1 s + ω12 ) and (s2 + 2ζ2 ω2 s +
ω22 )(s + p), one obtains:
k1 = 2ζ1 ω1 ; k0 = ω12 ; k4 = 2ζ2 ω2 + p;
k3 = 2pζ2 ω2 + ω22; k2 = pω22
The output tracking controller is synthesized with the aid of a
canceling strategy based on the on-line estimated values of the
total disturbance input function, ξ (t). The estimation of ξ (t) is
denoted by ξ̂ and it is represented by z. The output feedback
control, with eu = V − V ∗ (t), is given by,
1
eu = [ẑ − λ3(êy3 − y∗(3)) − λ2(geθ − ÿ∗ )
β
−λ1 (êy1 − ẏ∗ ) − λ0(ey − y∗ )] (28)
The linear controller gains {λ3 ,. . . ,λ0 }, were set by using the
coefficients of a desired fourth Hurwitz polynomial of the form,
(s2 + 2ζ ω s + ω 2). We obtained:
λ3 = 4ζ ω ; λ2 = (4ζ 2 ω 2 + 2ω 2); λ1 = 4ω 3 ζ ; λ0 = ω 4
Figure 3 depicts a block diagram of the ADRC scheme valid
for, both, the inverted pendulum on a cart system or the convey
crane system.
4 EXPERIMENTAL SETUP
4.1 Description of the experimental platform
The experimental platform consists of two rails, which al-
lowed a cart to move along by using a rack and a pinion driven
by a DC motor with gearbox of transmission ratio, 30:1. The pri-
mary radius of the pinion is .03 [m] and the motor supply voltage
5 Copyright
FIGURE 3. BLOCK DIAGRAM OF ADRC SCHEME FOR IN-
VERTED PENDULUM ON A CART AND THE CONVEY CRANE
SYSTEM.
RACK
ENCODER
MOTOR
PINION
RAILS
PENDULUM
FIGURE 4. EXPERIMENTAL PLATFORM OF A CONVEY
CRANE.
is 12V. Both the rail and the rack are, respectively, located in the
bottom and top of the cart. These are fixed to a rigid structure
built with a PTR profile and a steel plate. On the cart, two in-
cremental rotary encoders, of 2000 pulses per revolution, were
placed. The pinion is mounted on the motor shaft and the hang-
ing pendulum, made of aluminum with a length of .56 [m] and
a mass of 0.2 [kg], can freely rotate on its hinge, as shown in
figure 4.
In the experimental platform, it is possible to implement the
two systems described as “the convey crane and the inverted pen-
dulum on a cart”. Figure 5 depicts the experimental setup for the
inverted pendulum on a cart.
The angular position of the pendulum is measured using
one of the incremental rotary encoders and the position of the
cart is measured by the second encoder. The DC motor, pow-
ered by a DC voltage supplied by a “Monster motor shield”
H-bridge, is controlled by means of a target “C2000 Delfino
TMS320F28335” card. This card reads the signal from the in-
cremental rotary encoders and sends the data to the computer for
analysis and processing. The control strategy was implemented
in the PSIM platform. Finally, the sampling time was set to be
c 2017 by ASME
 PENDULUM

CAR

FIGURE 5. EXPERIMENTAL PLATFORM OF THE INVERTED

PENDULUM ON A CART.

Control Signal

Control, Trajectory Planning,

Power Amplifier and Data Processing Control, Trajectory Planning,
and Data Processing

Encoder 2 Encoder 1
Inverted Pendulum
on a car System
FIGURE 8. REFERENCE TRAJECTORY TRACKING COM-
PARED WITH THE ESTIMATE FLAT OUTPUT, SYSTEM VARI-
ABLES AND APPLIED CONTROL INPUT.

FIGURE 6. SCHEMATICS OF THE IMPLEMENTATION OF

CONTROLLER
FIGURE 7. BLOCK DIAGRAM OF THE IMPLEMENTED ADRC
AND ESO PROGRAM.
50µ s. The schematic of the implementation is shown in the fig-
ure 6. On the other hand, a general block diagram of the ADRC
and ESO, implemented on the TMS320F28335, is shown in fig-
ure 7. The the PWM frequency was set to 10 kHz and the sam-
pling period for the integration method corresponded to 20000
Hz.
4.2 Results of the experiments for the inverted pen-
dulum on a cart
The initial conditions of the pendulum and cart position are
given by [x = 0, θ = 0], taking into account the schematics shown
in figure 1. The output reference trajectory is specified via a rest-
to-rest maneuver synthesized by means of a Bézier polynomial,
interpolating between 0 and .5 [m] in 3 seconds.
The observer design parameters were set to be: ζ1 = 1, ω1 = 120,
ζ2 = 1 and ω2 = 120 while the controller design parameters were
specified as: ζ = 1 and ω = 9.
Figure 8 shows the system response in closed loop. When the
experiment begins, the desired trajectory coincides with the flat
output. The desired trajectory is followed with good precision
and the flat output reaches the desired value in the specified time.
A good performance is also obtained for the observer when com-
paring the actual flat output with its (redundantly) estimated val-
ues. This explains also the quality of the estimation of the flat
output time derivatives. In the graphs corresponding to the po-
sition of the cart and the position of the pendulum, it can be ob-
served quite small oscillations. These are caused due to back-
lash effects in the mechanical part of the platform, specially in
the gearbox, rack-pinion and others elements. The control input
takes its maximum value during the rest to rest maneuver while
remaining within the nominal operating values for the motor.
Figure 9 shows the response of the closed loop system when it is

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 FIGURE 9. TRACKING, CONTROL INPUT VOLTAGE

disturbed by an instantaneous external force (a poke) at the tip of

the pendulum, once the system is in equilibrium (approximately,
at t = 13 [s] and t = 21 [s] ). The reaction of the controller allows
to bring the flat output to the desired reference equilibrium, while
avoiding the effects of the total input disturbance. This demon- FIGURE 10. REFERENCE TRAJECTORY TRACKING COM-
strates the remarkable robustness of the proposed controller. PARED WITH THE ESTIMATE FLAT OUTPUT, SYSTEM VARI-
ABLES AND APPLIED CONTROL INPUT.
4.3 Results of the experiments with the convey crane
The initial conditions of the pendulum and cart position are
set to [x = 0, θ = 0], taking into account the schematics shown
in the figure 2. The reference trajectory is specified via a rest-
to-rest maneuver synthesized by means of a Bézier polynomial,
interpolating between 0 and .5 [m] in 3 seconds.
The observer design parameters were set to be: ζ1 = 1, ω1 = 80,
ζ2 = 1 and ω2 = 80 and the controller design parameters were
specified as: ζ = 1 and ω = 5.
Figure 10 shows the system response in closed loop. The de-
sired trajectory is followed with good accuracy and the flat output
reaches the desired value in the time specified by the desired tra-
jectory. The correct performance of the observer can be assessed
from the comparison of the flat output and the redundantly es- FIGURE 11. TRACKING, CONTROL INPUT VOLTAGE
timated flat output, the correspondence between both signals al-
lows us to confirm the correct functioning of the observer. The
control signal is not too noisy and it remains within the nomi- 5 CONCLUSIONS
nal motor operating values. Figure 11 shows the response of the In this article, we have examined the relevance of flatness
closed loop system when disturbed by an instantaneous external based ADRC control of a particularly challenging class of under-
force at the pendulum tip, once the system is in equilibrium (ap- actuated non-linear systems exhibiting a controllable (i.e., flat)
proximately at times, t = 21 s) and t = 29 [s] ). It is possible to tangent model around a physically significant equilibrium point.
assess the robustness of the controller since the reaction of the Non-flat systems, with uncontrollable linearizations, belong to
controller avoids the effects of the perturbations and brings the the “nearly impossible to control” systems category. Thus, the
response of the system to the desired trajectory. next important class of nonlinear systems, for which a feedback
The parameters of the platform, used in these experimental tests, regulation is viable, is that of underactuated nonlinear systems
are presented in table 1. with controllable (i.e., flat) linearization models. Using the flat-

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 TABLE 1. EXPERIMENTAL SETUP PARAMETERS
Parameter Value Parameter Value
Armature resistance R 2.4 Ω Cart mass 1.672 kg
Torque constant kt 0.35 Nm/A Pendulum mass 0.278 kg
Radius of the pinion 0.03 m Pendulum length 0.56 m
ness property of the tangent model, a controller is easily devised,
for the simplified input-to-flat output dynamics, on the basis of
a flat output reference trajectory depicting a desirable state be-
havior. Our interest lied in providing flat output reference trajec-
tories which took the system substantially away from the equi-
librium point in a relatively short period of time. The ADRC-
ESO scheme perfectly complements the flatness based controller
in providing an accurate estimate of those, nonlinear, neglected
terms, which are excited by the demands of the reference tra-
jectory. The on-line canceling of these effects, practically ren-
ders the controlled system as a purely linear closed loop system.
In this article, a variation of the ESO was used, which entitled
a set of decoupled lower order observers for the velocity vari-
ables alone. This was achieved thanks to a unique feature of
the flatness property present in the tangent models of the treated
systems. Two experimental cases were successfully studied and
experimented upon, comprising structurally analogous feedback
control schemes.
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