Linear System Control

Observers and Observer-Based Compensators

Unggul Wasiwitono

Mechanical Engineering Department

Faculty of Industrial Technology and Systems Engineering
 Observers Reduced-Order Observer Observer-Based Compensator Steady-State Tracking with Observer-Based Compensator

Outline

1 Observers

2 Reduced-Order Observer

3 Observer-Based Compensator

4 Steady-State Tracking with Observer-Based Compensator

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Observers

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Observers
For the n-dimensional linear time-invariant state equation

ẋ (t) = Ax (t) + Bu (t)

, x (0) = x0 (1)
y (t) = Cx (t)

we define a linear state observer to also be an n-dimensional linear state equation that
accepts u(t) and y(t) as inputs and whose state represents the estimate of x(t).

The observer assumes the form

x̂˙ (t) = Ax̂ (t) + Bu (t) + L [y (t) − ŷ (t)]

, x̂ (0) = x̂0 (2)
ŷ (t) = C x̂ (t)

which looks like a copy of the state equation (1) driven by an error term y (t) − ŷ (t) that
enters the dynamics through an n × p observer gain matrix L.

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State Feedback Control Law

u (t) y (t)
Plant x(t)

x̂0
+
+ x̂˙ (t) Z x̂ (t) ŷ (t) −
B Σ C Σ
+
+
A
x̂ (t)
L

Observer

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State Feedback Control Law

The error term y (t) − ŷ (t) is intended to drive the state estimate x̂(t) to the actual state
x(t) over time.
Define the estimation error x̃ (t) = x (t) − x̂ (t) in terms of which we derive the error
dynamics

x̃˙ (t) = ẋ (t) − x̂˙ (t)

= [Ax (t) + Bu (t)] − [Ax̂ (t) + Bu (t) + L (y (t) − ŷ (t))]
= Ax (t) − Ax̂ (t) − L (y (t) − ŷ (t))
= Ax̃ (t) − LC x̃ (t)
= (A − LC) x̃ (t)

for which the initial state is given by x̃0 = x (0) − x̂ (0) = x0 − x̂0

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State Feedback Control Law

Since the error dynamics specify a homogeneous linear state equation, if we could
initialize the observer by x̂ (0) = x̂0 = x0 to yield zero initial error x̃ (0) = 0, then x̃ (t) ≡ 0
and thus x̂ (t) = x (t) for all t ≥ 0

However, since the initial state x(0) = x0 , is presumably unknown, we cannot achieve
perfect estimation, so we set our sights on generating an asymptotically convergent
estimate starting with any initial error.

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State Feedback Control Law

This corresponds to the requirement that the error dynamics

x̃˙ (t) = (A − LC) x̃ (t)

be asymptotically stable.
The error dynamics will be asymptotically stable if and only if the matrix A − LC that
governs the error dynamics has strictly negative real-part eigenvalues.

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Observer Error Eigenvalue Placement

T
A − LC and (A − LC) = AT − C T LT have identical eigenvalues

The problem of choosing the observer gain vector L to place the eigenvalues of
A − LC at desirable locations
is equivalent

to the fundamental problem of choosing the state feedback gain matrix LT to locate
the eigenvalues of AT − C T LT .

Theorem 1
For any symmetric set of n complex numbers {µ1 , µ2 , · · · , µn }, there exists an observer
gain matrix L such that σ(A − LC) = {µ1 , µ2 , · · · , µn } if and only if the pair (A, C) is
observable.

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Observer Gain Formula for Observer Canonical Form

The observer canonical form involves the observable pair (AOCF , COCF ) specified by
 
0 0 ··· 0 −a0
 1 0 ··· 0 −a1 
 
 0 1 ··· 0 −a2   
AOCF =   ; COCF = 0 0 · · · 0 1
 .. .. . . . ..
. ..

 . . . 
0 0 · · · 1 −an−1

The characteristic polynomial of AOCF is

|sI − AOCF | = sn + an−1 sn−1 + · · · + a2 s2 + a1 s + a0

The desired eigenvalues {µ1 , µ2 , · · · , µn } by the associated characteristic polynomial

α (s) = (s − µ1 ) (s − µ2 ) · · · (s − µn )
= sn + αn−1 sn−1 + · · · + α2 s2 + α1 s + α0

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Observer Gain Formula for Observer Canonical Form

Thus, on setting  
α0 − a0

 α1 − a1 

LOCF =
 α2 − a2 
..

 
 . 
αn−1 − an−1
we obtain

AOCF − LOCF COCF

   
0 0 ··· 0 −a0 α0 − a0
 1 0 ··· 0 −a1   α1 − a1 
   
 0 1 ··· 0 −a2 α2 − a2 
= −  0 0 ··· 0 1
  
 .. .. . . .. ..   .. 
 . . . . .   . 
0 0 · · · 1 −an−1 αn−1 − an−1

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Observer Gain Formula for Observer Canonical Form

 
0 0 ··· 0 −α0

 1 0 ··· 0 −α1 

AOCF − LOCF COCF =
 0 1 ··· 0 −α2 
.. .. .. ..

 .. 
 . . . . . 
0 0 ··· 1 −αn−1

having the characteristic polynomial

|sI − (AOCF − LOCF COCF )| = sn + αn−1 sn−1 + · · · + α2 s2 + α1 s + α0

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Bass-Gura Formula

Given the observable pair (A, C), that corresponding to the controllable pair (AT , C T ),

LT = (α0 − a0 ) (α1 − a1 ) (α2 − a2 ) · · · (αn−1 − an−1 )

 
  −1
a1 a2 · · · an−1 1
  a2 a3 · · · 1 0  
 .. . . .
  
× P(AT , C T )  .
 .. . .. .. .. 


  
  an−1 1 · · · 0 0 
1 0 ··· 0 0

is such that
sI − AT − LT C T = sn + αn−1 sn−1 + · · · + α2 s2 + α1 s + α0

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Bass-Gura Formula

Thus, by simply taking the transpose of this expression and using

T
Q(A, C) = P(AT , CT )

along with the fact that

 
a1 a2 ··· an−1 1
 a2 a3 ··· 1 0 
.. .. .. ..
 
Q−1 =
 .. −1
 = PCCF

OCF
 . . . . .
 an−1 1 ··· 0 0 
1 0 ··· 0 0

is symmetric

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Bass-Gura Formula

we obtain the Bass-Gura formula for the observer gain vector, that is,
  −1  
a1 a2 ··· an−1 1 α0 − a0
 a2 a3 ··· 1 0    α1 − a1 
.. .. .. ..
    
L = 
 ..  Q(A, C) 
   α2 − a2 
 . . . . . 

 ..


 an−1 1 ··· 0 0    . 
1 0 ··· 0 0 αn−1 − an−1

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Example
      
 ẋ1 (t)  0 1 0  x1 (t)  0
ẋ2 (t) = 0 0 1  x2 (t) +  0  u (t)
ẋ3 (t) −4 −4 −1 x2 (t) 1
   
 
   x1 (t) 
y (t) = 1 0 0 x2 (t)
x2 (t)
 

the open-loop characteristic polynomial

a (s) = s3 + s2 + 4s + 4
= (s + 1) (s − j2) (s + j2)
λ1, 2, 3 = −1 ± j2
We choose the following eigenvalues for the observer error dynamics:
{µ1 , µ2 , µ3 } = {−1, −2, −3}
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Example
so that the desired characteristic polynomial and associated polynomial coefficients are

α (s) = (s + 1) (s + 2) (s + 3)
= s3 + 6s2 + 11s + 6

The observer gain vector computation using the Bass-Gura formula:

  −1  
4 1 1 1 0 0 6−4
L =  1 1 0   0 1 0   11 − 4 
1 0 0 0 0 1 6−1
    
0 0 1 2 5
=  0 1 −1   7  =  2 
1 −1 −3 5 −20

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Example

Checking  
−5 1 0
A − LC =  −2 0 1 
16 −4 −1
has eigenvalue {−1, −2, −3}. The asymptotic state observer is given by
 ˙        
x̂1 (t) −5 1 0 x̂1 (t) 0 5
 x̂˙ 2 (t)  =  −2 0 1   x̂2 (t)  +  0  u (t) +  2  y (t)
x̂˙ 3 (t) 16 −4 −1 x̂3 (t) 1 −20

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Example

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Ackermann’s Formula
Given the observable pair (A, C), that corresponding to the controllable pair (AT , C T ),
 −1
LT = 0 0 · · · 0 1 P(A T


T , CT )α A

Using

n
n−1
2 T
α AT = AT + αn−1 AT + · · · + α2 AT + α1 AT + α0 I = [α (A)]

T
= [α (A)]

T
we obtain α AT = α (A), which along with
h iT h i−1
−1
P(A T , CT )
T
= P(AT , CT ) = Q−1
(A, C)

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Ackermann’s Formula

gives  
0
 0 
..
 
L= α (A) Q−1
 
(A, C) 
 . 

 0 
1

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Reduced-Order Observer

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Reduced-Order Observer
The observer design presented earlier has dimension equal to that of the original state
equation and therefore is referred to as a full-order observer.
Suppose that the state vector can be decomposed into
 
x1 (t)
x (t) =
x2 (t)

in terms of which the output is y (t) = x1 (t)

Partition the state equation accordingly to yield
     
ẋ1 (t) A11 A12 B1
= + u (t)
ẋ2 (t) A21 A22 B2
 
  x1 (t)
y (t) = I 0
x2 (t)

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Reduced-Order Observer
That x1 (t) is determined directly from y(t), we consider an estimate of the form

x̂2 (t) = Ly (t) + w (t)

in which w(t) is generated by the following (n − p)-dimensional state equation having y(t)
and u(t) as inputs, that is,
ẇ (t) = Jw (t) + N y (t) + M u (t)
As in the full-order observer case, we consider the estimation error
   
x̃1 (t) x1 (t) − x̂1 (t)
x̃ (t) = =
x̃2 (t) x2 (t) − x̂2 (t)

Since x̂1 (t) ≡ x1 (t), we have x̃1 (t) ≡ 0, and we need only consider the dynamics
governing x̃2 (t), that is,

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Reduced-Order Observer

x̃˙ 2 (t) =ẋ2 (t) − x̂˙ 2 (t)

= [A21 x1 (t) + A22 x2 (t) + B2 u (t)] − [Lẏ (t) + ẇ (t)]
= [A21 x1 (t) + A22 x2 (t) + B2 u (t)] − [L (A11 x1 (t) + A12 x2 (t) + B1 u (t))
+Jw (t) + N y (t) + M u (t)]

By substituting

w (t) = x̂2 (t) − Lx1 (t)

= x2 (t) − x̃2 (t) − Lx1 (t)

we obtain after some algebra

x̃˙ 2 (t) =J x̃2 (t) + (A21 + JL − N − LA11 ) x1 (t)

+ (A22 − J − LA12 ) x2 (t) + (B2 − M − LB1 ) u (t)

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Reduced-Order Observer

x̃˙ 2 (t) =J x̃2 (t) + (A21 + JL − N − LA11 ) x1 (t)

+ (A22 − J − LA12 ) x2 (t) + (B2 − M − LB1 ) u (t)

To obtain homogeneous error dynamics, we set

J = A22 − LA12
N = A21 + JL − LA11
M = B2 − LB1

which results in
x̃˙ 2 (t) = J x̃2 (t) = (A22 − LA12 ) x̃2 (t)

To ensure that x̃2 (t) tends to zero as time tends to infinity for all x̃2 (0), its required that
J = A22 − LA12 has strictly negative real-part eigenvalues.
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Reduced-Order Observer

Proposition 2
The pair (A22 , A12 ) is observable if and only if the pair
  
A11 A12  
, I 0
A21 A22

is observable.

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Example

We design a reduced-order observer for the state equation of previous Example

   
  0 1 0   0
A11 A12 B1
= 0 0 1 ; = 0 
A21 A22 B2
−4 −4 −1 1

The observable pair (A22 , A12 ) has the observability matrix

   
A12 1 0
Q2 = =
A12 A22 0 1

Upon selecting desired eigenvalues {−5, −5} yielding the desired characteristic
polynomial
α (s) = s2 + 10s + 25

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Example
Ackermann’s formula gives the observer gain vector
 
0
L = α (A22 ) Q−1
2 1
 2    !  −1    
0 1 0 1 1 0 1 0 0 9
= + 10 · + 25 · =
−4 −1 −4 −1 0 1 0 1 1 12

With
 
−9 1
J = A22 − LA12 =
−16 −1
 
−69
N = A21 + JL − LA11 =
−160
 
0
M = B2 − LB1 =
1

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Example

we construct the two-dimensional reduced-order observer

        
ẇ1 (t) −9 1 w1 (t) −69 0
= + y (t) + u (t)
ẇ2 (t) −16 1 w2 (t) −160 1
   
x̂1 (t) y (t)
 x̂2 (t)  =  9y (t) + w1 (t) 
x̂3 (t) 12y (t) + w2 (t)

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Observer-Based Compensator

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Observer-Based Compensator

1 Controllability of the pair (A, B) is necessary and sufficient for arbitrary eigenvalue placement
by state feedback
u (t) = −Kx (t) + r (t)
2 Observability of the pair (A, C) is necessary and sufficient for state estimation via

x̂˙ (t) = Ax̂ (t) + Bu (t) + L [y (t) − C x̂ (t)]

to yield observer error dynamics with arbitrarily placed eigenvalues.

What happens if we combine these results by replacing the true state vector x(t) in
the state feedback control law with the state estimate x̂ (t) produced by the observer
to yield

u (t) = −K x̂ (t) + r (t)

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Observer-Based Compensator
r (t) + u (t) y (t)
Σ Plant x(t)
−
x̂0
+
+ x̂˙ (t) Z x̂ (t) ŷ (t) −
B Σ C Σ
+
+
K A

L
x̂ (t)
Observer
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Observer-Based Compensator

This interconnection of a state feedback control law and a state observer results in a
dynamic observer-based compensator given by the state equation

x̂˙ (t) = Ax̂ (t) + Bu (t) + L [y (t) − C x̂ (t)]

u (t) = −K x̂ (t) + r (t)

or

x̂˙ (t) = (A − BK − LC) x̂ (t) + Ly (t) + Br (t)

u (t) = −K x̂ (t) + r (t)

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Observer-Based Compensator
The feedback interconnection of the open-loop state equation and the observer-based
compensator yields the 2n-dimensional closedloop state equation
      
ẋ (t) A −BK x (t) B
= + r (t)
x̂˙ (t) LC A − BK − LC x̂ (t) B
   
x (0) x0
=
x̂ (0) x̂0
 
  x (t)
y (t) = C 0
x̂ (t)

Although the gain matrices K and L can be chosen to solve their respective eigenvalue
placement problems, it is not yet clear how this relates to closed-loop stability, which involves
the 2n eigenvalues of
 
A −BK
LC A − BK − LC
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Observer-Based Compensator
To investigate further, we consider the coordinate transformation
         
x (t) I 0 x (t) x (t) I 0 x (t)
= ; =
x̃ (t) I −I x̂ (t) x̂ (t) I −I x̃ (t)

which has the effect of replacing the observer state x̂ (t) with the observer error x̃ (t) as
part of the 2n-dimensional closed-loop state vector.
This transformation satisfies T −1 = T

Direct calculations give

ẋ (t) = Ax (t) − BLx̂ (t) + Br (t)

= Ax (t) − BK [x (t) − x̃ (t)] + Br (t)
= (A − BK) x (t) − BK x̃ (t) + Br (t)

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Observer-Based Compensator
and

x̃˙ (t) = ẋ (t) − x̂˙ (t)

= [Ax (t) − BK x̂ (t) + Br (t)] − [(A − BK − LC) x̂ (t) + LCx (t) + Br (t)]
= A [x (t) − x̂ (t)] − LC [x (t) − x̂ (t)]
= (A − LC) x̃ (t)

so the closed-loop state equation becomes in the new coordinates

      
ẋ (t) A − BK BK x (t) B
= + r (t)
x̃˙ (t) 0 A − LC x̃ (t) 0
 
  x (t)
y (t) = C 0
x̃ (t)

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Observer-Based Compensator

Because of the block triangular structure of the transformed closed-loop system

dynamics matrix, we see that the 2n closed-loop eigenvalues are given by
 
A − BK BK
σ = σ (A − BK) ∪ σ (A − LC)
0 A − LC
Because state coordinate transformations do not affect eigenvalues, we conclude that
 
A −BK
σ = σ (A − BK) ∪ σ (A − LC)
LC A − BK − LC

This indicates that the 2n closed-loop eigenvalues can be placed by separately and
independently locating eigenvalues of A − BK and A − LC via choice of the gain
matrices K and L, respectively.

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Observer-Based Compensator

We generally require the observer error to converge faster than the desired closed-loop
transient response dynamics. Therefore, we choose the eigenvalues of A − LC to be about 10
times farther to the left in the complex plane than the (dominant) eigenvalues of A − BK.

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 Observers Reduced-Order Observer Observer-Based Compensator Steady-State Tracking with Observer-Based Compensator

Steady-State Tracking with Observer-Based Compensator

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Input Gain with Observers

 
The structure of the closed-loop state equation with state xT (t) , x̃T (t) easily allows us
to compute the closed-loop transfer function
 −1  
  sI − A + BK −BK B
HCL (s) = C 0
0 sI − A + LC 0
−1
= C (sI − A + BK) B

which is exactly the same closed-loop transfer function that results from a direct
application of state feedback.
Transfer functions in general characterize input-output behavior for zero initial state.

As a consequence, the input gain required to achieve identity closedloop dc gain is

identical to h i−1
−1
G = − C (A − BK) B

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Observer-Based Servomechanism Design

Assumption 3
1 The open-loop state equation

ẋ (t) = Ax (t) + Bu (t)

, x (0) = x0
y (t) = Cx (t)

is controllable and observable.

1 The open-loop state equation has no pole/eigenvalue at s = 0.
2 The open-loop state equation has no zero at s = 0.
Our observer-based compensator is of the form

ξ˙ (t) = r (t) − y (t)

x̂˙ (t) = (A − LC) x̂ (t) + Bu (t) + Ly (t)
u (t) = −K x̂ (t) + kI ξ (t)

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 Observers Reduced-Order Observer Observer-Based Compensator Steady-State Tracking with Observer-Based Compensator

Observer-Based Servomechanism Design

Along with the open-loop state equation, yields the (2n + 1) - dimensional closed-loop
state equation
      
ẋ (t) A BkI −BK x (t) 0
 ξ˙ (t)  =  −C 0 0   ξ (t)  +  1  r (t)
x̂˙ (t) LC BkI A − BK − LC x̂ (t) 0
 
  x (t)
y (t) = C 0 0  ξ (t) 
x̂ (t)

first design objective is to achieve closed-loop asymptotic stability

replace the observer state x̂ (t) with the observer error x̃ (t) = x (t) − x̂ (t), the observer
error dynamics are given by
x̃˙ (t) = (A − LC) x̃ (t)

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Observer-Based Servomechanism Design

This leads to
      
ẋ (t) A − BK BkI −BK x (t) 0
 ξ˙ (t)  =  −C 0 0   ξ (t)  +  1  r (t)
x̃˙ (t) 0 0 A − BK − LC x̃ (t) 0
 
  x (t)
y (t) = C 0 0  ξ (t) 
x̃ (t)

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Question ?
 Observers Reduced-Order Observer Observer-Based Compensator Steady-State Tracking with Observer-Based Compensator

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