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Advances in Industrial Control
Jianglin Lan
Ronald J. Patton
Robust Integration
of Model-Based
Fault Estimation
and Fault-Tolerant
Control
Advances in Industrial Control
Series Editors
Michael J. Grimble, Industrial Control Centre, University of Strathclyde, Glasgow,
UK
Antonella Ferrara, Department of Electrical, Computer and Biomedical
Engineering, University of Pavia, Pavia, Italy
Editorial Board
Graham Goodwin, School of Electrical Engineering and Computing, University of
Newcastle, Callaghan, NSW, Australia
Thomas J. Harris, Department of Chemical Engineering, Queen’s University,
Kingston, ON, Canada
Tong Heng Lee, Department of Electrical and Computer Engineering, National
University of Singapore, Singapore, Singapore
Om P. Malik, Schulich School of Engineering, University of Calgary, Calgary, AB,
Canada
Kim-Fung Man, City University Hong Kong, Kowloon, Hong Kong
Gustaf Olsson, Department of Industrial Electrical Engineering and Automation,
Lund Institute of Technology, Lund, Sweden
Asok Ray, Department of Mechanical Engineering, Pennsylvania State University,
University Park, PA, USA
Sebastian Engell, Lehrstuhl für Systemdynamik und Prozessführung, Technische
Universität Dortmund, Dortmund, Germany
Ikuo Yamamoto, Graduate School of Engineering, University of Nagasaki,
Nagasaki, Japan
Advances in Industrial Control is a series of monographs and contributed titles focusing on
the applications of advanced and novel control methods within applied settings. This series
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applies not merely to the processes employed in industrial plants but to systems such as
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Robust Integration
of Model-Based Fault
Estimation and
Fault-Tolerant Control
123
Jianglin Lan Ronald J. Patton
Aeronautical and Automotive Engineering School of Engineering
Loughborough University and Computer Science
Loughborough, UK University of Hull
Hull, UK
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
Switzerland AG 2021
This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether
the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of
illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and
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or dissimilar methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are exempt from
the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in this
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This Springer imprint is published by the registered company Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
To my parents, Songtian and Pingdi, and my
wife, Xianxian.
Jianglin Lan
Preface
In real operations, engineering systems may be in face of system faults that lead to
performance degradation, instability, or even trigger a chain of failing subsystems
and cause major catastrophes in large-scale interconnected systems. Hence, there
are strong demands for enhancing control system reliability and safety in the
presence of system faults. To maintain robustly acceptable system performance,
fault diagnosis function is embedded to detect, isolate and estimate the fault signals
and a fault-tolerant control (FTC) policy is used to compensate for the fault effects.
The inevitably existing system uncertainties result in the so-called bi-directional
robustness interactions between the fault diagnosis and FTC functions. This gives
rise to an important academic and industrial subject—robust integration of fault
diagnosis and FTC. The aim is to guarantee the design effectiveness and
closed-loop system stability when assembling the fault diagnosis and FTC functions
together.
Albeit the tremendous development in theory and application of fault diagnosis
and FTC up to date, the robust integration remains a challenging yet open question.
This book presents a first systematic study of this subject. It covers the definition of
basic concepts, development of integration strategies, and demonstration of
industrial applications. The study lays a basis on model-based fault estimation
(FE) and FTC. As a powerful alternative to the traditional fault detection and
isolation (FDI) approach, the FE approach can obtain direct reconstruction of the
fault shapes which can then be used for fault compensation. This makes it attractive
to use FE-based FTC, rather than FDI-based FTC, to reach the true integration.
The book content is composed of three parts. The first part (Chaps. 1–2) starts
with introduction of basic concepts of FE and FTC, followed by an extensive
insight into the importance and challenges of robust integration of fault diagnosis
and FTC system.
The second part (Chaps. 3–7) outlines the following five effective robust inte-
gration strategies for linear systems: sequential strategy, iterative strategy, simul-
taneous strategy, robust decoupling strategy and adaptive decoupling strategy.
Tutorial examples are provided in each chapter to illustrate efficacy of the strategies
presented. Although the theories are built on model-based FE and FTC, the ideas
vii
viii Preface
behind them can be applied to other approaches for fault diagnosis and FTC.
Moreover, the strategies are applicable to a broad range of control problems,
considering that the FE-based FTC naturally reverts to conventional observer-based
control in the absence of faults.
The third part (Chaps. 8–10) includes extension of the proposed strategies to
nonlinear and large-scale systems, and their applications to the important industrial
areas of renewable energy, robotics and network systems.
Finally, Chap. 11 provides a summary of this book with perspectives on
potential future research directions.
This book is intended to serve as a useful resource to researchers who work in
the areas of fault diagnosis and FTC systems, both at universities and in the
industry. It can also serve as supplementary material for a graduate or postgraduate
levels course on fault diagnosis and FTC. We hope that the content of this book will
attract more attention to this subject and inspire further developments in the inte-
gration strategies of complex systems.
The authors would like to express their thanks to Dr. Tim Scott and Dr. Ming
Hou at University of Hull, and Prof. Christopher Edwards at University of Exeter,
for valuable discussions on part of the materials.
Part I Introduction
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Basic Concepts in FTC System . . . . . . . . . . . . . . . . . . . . . . . . 4
1.3 FTC Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4 FE Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.5 Robust Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . 11
1.6 Book Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.6.1 Part I: Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.6.2 Part II: Strategies for Robust Integration of FE
and FTC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.6.3 Part III: Extension and Application . . . . . . . . . . . . . . . 16
1.7 Lemmas and Notes Useful Throughout the Book . . . . . . . . . . . 16
1.7.1 List of Useful Lemmas . . . . . . . . . . . . . . . . . . . . . . . . 16
1.7.2 Notes on Separation Principle . . . . . . . . . . . . . . . . . . . 18
1.7.3 Notes on Unknown Input Observer . . . . . . . . . . . . . . . 21
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2 Robust Integration in Fault Diagnosis and FTC . . . . . . . . . . . . . . . 27
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2 Robust Integration of FDI and Control . . . . . . . . . . . . . . . . . . . 27
2.3 Robust Integration of FDI and FTC . . . . . . . . . . . . . . . . . . . . . 29
2.4 Robust Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . 33
2.4.1 Theoretic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.4.2 Motivating Example . . . . . . . . . . . . . . . . . . . . . . . . . . 36
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
ix
x Contents
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Acronyms
Abbreviations
Symbols
xv
xvi Acronyms
1.1 Background
Engineering systems may have system faults in real operations, which leads to per-
formance degradation, system instability or even trigger a chain of failing subsystems
and cause major catastrophes in large-scale interconnected systems. This gives rise
to strong requirements on enhancing control system reliability and safety in the pres-
ence of system faults. It is crucial to not only determine the onset and development
of faults before they become serious, but also adaptively compensate the fault effects
within the closed-loop system or replace faulty components by fault-free alterna-
tives (hardware redundancy). The procedure of accounting for faults acting within
a control system to render the closed-loop system insensitive to the faults is known
as “fault-tolerant control (FTC)”, of which the fault estimation and compensation
control is one approach.
In 1985, Eterno et al. (1985) developed a reconfigurable flight control system, in
which the terminology “failure tolerant control” was first used to define the meaning
of control system tolerance to failures or faults. The word “failure” is used when
a fault leads to the situation that the system function concerned fails to operate
(Isermann 2006). FTC began to develop in the early 1990s and for the last 30 years a
significant number of methods for diagnosing and accommodating faults have been
established. The results have been summarized in many survey papers, e.g. Amin
and Hasan (2019), Fritz and Zhang (2018), Hwang et al. (2009), Yang et al. (2019),
Yu and Jiang (2015), Zhang and Jiang (2008). The technical details are provided in
many books and monographs, e.g. Alwi et al. (2011), Blanke et al. (2006), Chen
and Patton (1999), Clark et al. (1989), Ding (2014), Escobet et al. (2019), Isermann
(2006), Jain et al. (2018), Noura et al. (2009), Patan (2019), Richter (2011), Shen
et al. (2017), Witczak (2014), Yang et al. (2010), Zhang et al. (2013). Until now,
FTC has been applied to many industrial areas including, but are not limited to,
UAVs (Meskin and Khorasani 2011), aircrafts (Ducard 2009; Edwards et al. 2010),
vehicles (Stetter 2020), trains (Chen and Jiang 2019), power systems (Boem et al.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021 3
J. Lan and R. J. Patton, Robust Integration of Model-Based Fault Estimation
and Fault-Tolerant Control, Advances in Industrial Control,
https://doi.org/10.1007/978-3-030-58760-4_1
4 1 Introduction
2019; Simani and Farsoni 2018), multi-agent systems (Potiron et al. 2013) and water
networks (Quevedo et al. 2010).
The structure of a generic closed-loop automatic control system is outlined in Fig. 1.1.
It consists of two main parts: the controlled system and the controller. The former
includes actuator(s) to actuate the plant based on the applied control input signal
u(t), and sensor(s) to measure the plant output y(t). The latter generates the appro-
priate u(t) based on the y(t) to make y(t) follow the reference signal yr e f . The
controller can be designed to achieve good output tracking using well-established
control approaches, e.g. PID, robust control, adaptive control, etc. However, even
the controller is well-tuned, its performance may not be good as expected in real
implementation due to the existing of possible faults.
Definition 1.1 (Fault (van Schrick 1997)) A fault is defined as an unpermitted devi-
ation of at least one characteristic property or parameter of the system from the
acceptable condition.
Remark 1.1 The following two types of actuator faults are usually discussed: (1)
Loss of actuator effectiveness fault. This may be caused by breakage, burn out of
wiring or stuck at a position. In the presence of total loss of effectiveness, an actuator
can no longer produce any actuation regardless of the applied input. Hence, it is
out of the scope of this book. A partial loss of actuator effectiveness means that
1.2 Basic Concepts in FTC System 5
Fig. 1.2 A control system with actuator, process and sensor faults
the actuator becomes less effective, e.g. has degradation in the actuator gain due to a
clogged or rusty valve. In such a case, the faults may be compensated by adjusting the
actuator action, which will be discussed in Chaps. 5 and 8. (2) Offset actuator fault.
It corresponds to a deviation of the actuator action from its nominal situation, due to
some parameter changes or unknown disturbances, e.g. oscillatory or drift faults in
flight control systems (Goupil 2010). Systems subject to offset actuator faults will
be discussed in Chaps. 2–10.
Definition 1.3 (Sensor fault) A sensor fault ( f s (t)) is defined as a variation of the
true measurement taken from the system output (y(t)).
Remark 1.2 Sensor faults may be caused by poor calibration, bias, scaling error or
sensor dynamic change. Systems subject to bias sensor faults will be discussed in
Chaps. 5, 7 and 10.
Definition 1.4 (Process fault) A process fault ( f p (t)), or called component fault, is
a variation from the system structure or parameters used during system modelling.
Remark 1.3 Process faults represent a wide class of faults, e.g. change of mass,
damping constant, aerodynamic coefficients, etc. They directly affect the physical
system parameters and subsequently the system input and output properties. Systems
subject to process faults will be discussed in Chap. 8.
Considering the ways in which they are modelled, faults can be classified as
additive or multiplicative faults:
Definition 1.5 (Additive fault) An additive fault is defined as a fault that affects the
system signal by adding an extra signal to it.
Remark 1.4 Offset actuator and sensor faults can be considered as additive faults.
Additive faults are studied extensively in the literature and will be discussed through-
out this book.
6 1 Introduction
Definition 1.7 (Matched fault) A matched fault is inside the range space spanned by
the control input, i.e. satisfying the matching condition rank[B F] = rank(B), where
B and F are the distribution matrices of the control input and fault, respectively.
Remark 1.6 If a fault is matched, then it can be directly compensated through con-
trol actions. Therefore, the matching condition is one of the fundamental assumptions
and prerequisites for realizing active fault compensation. However, it will be shown in
Chap. 6 that unmatched faults may also be compensated through appropriate control
design.
Definition 1.8 (Unmatched fault) A unmatched fault is outside the range space
spanned by the control input, i.e. rank[B F] = rank(B).
In this book, faults are also divided into differentiable and non-differentiable
faults, based on whether they are differentiable or not with respect to time. Some
examples for non-differentiable faults are (1) random jumps due to environmental
changes or system component failures (Willsky and Jones 1974), and (2) random
faults widely existing in networked control systems as a result of the randomly
occurring phenomena (Dong et al. 2013).
The above different fault classifications are not independent but have some over-
laps, e.g. a certain fault can be viewed as more than one types of faults. Throughout
this book, different classifications will be discussed under specific scenarios.
— Ei suinkaan.
PÄÄSIÄIS-AATTO.
Jeania kohtasi siinä jälleen tuo syvä suru, jota vastaan ei ollut
mitään parannuskeinoa. Koko iltapäivän hän työskenteli sahan
toimistohuoneessa, mutta hajamielisenä ja miettivänä. Hän ajatteli,
että jonakin päivänä lähtee Lucienne kodista, eikä mikään sen kautta
muutu, että iso-isä voi poistua hänkin, ja särö on sittenkin olemassa.
Kaikki suunnitelmat, jotka hänellä siellä kaukana oli ollut, toivo olla
hupana, lohduttaa, saada aikaan sovintoa tai jotain sovinnon
kaltaista, kaikki tuo tuntui hänestä lapselliselta. Hän huomasi, että
Lucienne oli oikeassa, tehdessään pilkkaa hänen kuvitteluistaan. Ei,
pahan juuri ei ollut etsittävä kodista, vaan koko Elsassista. Vaikkapa
ei ketään muuta samaa nimeä kantavaa enää eläisi Alsheimissa,
kohtaisi Jean Oberléta hänen oman ovensa kynnyksellä, omassa
kylässään, työmiestensä, liiketuttavainsa ja ystäväinsä parissa tuo
sama hämillä-olo joskus, tuo sama kysymys aina. Ei hänen oma
tahtonsa eikä kenenkään muunkaan voinut vapauttaa hänen
sukuaan, ei nyt eikä myöhemmin.
Kuinka voisi Jean tämän sanoa hänelle? Missä saisi hän tilaisuutta
puhella vapaasti Odilelle, ilman että heidät yllätettäisiin, ja
saattamatta levottomaksi tytön ankaria, arkoja omaisia? Ei ainakaan
Alsheimissa. Mutta missä sitten tavata häntä? Ja miten edes saada
hänelle tietoa kohtaamisesta?
Jean vastasi:
Hän kertasi Jeanin sanat. Mutta sillä hän vain tahtoi voittaa aikaa
katsoakseen vielä syvemmälle noihin silmiin, jotka olivat häneen
kiinnitetyt ja olivat kuin metsän vihreä helma.
Tasangolla ja läheisessä kylässä kävi aivan hiljaiseksi. Tuuli herkesi
hetkeksi. Odile kääntyi pois.
*****
— Lähden kyllä.
— Et näe mitään.
— On.
— Niin, eräänlaisen…
— Lämminsydämisen ystävän!
He syleilivät.
— Hyvästi!
— Oletteko ajatellut?…
— Kaikkea!
— En sitä.
— Olen varma, että te sen haavat parantaisitte; te olisitte sen ilo
ja rauha. Mitä sitten pelkäätte? Minun isäni vai teidänkö isänne
vastarintaa, koska heistä on tullut toistensa viholliset?
— Sitten pelkäätte kai sitä, että äitinne vihaa minua, sanoi Jean
tuimasti. Hän vihaa minua, eikö totta? Muutama päivä sitten oli hän
niin ankara, niin loukkaava minua kohtaan…
— Hän ei usko teihin niin herkästi kuin isä, ei niin herkästi kuin
minä itse. Mutta kun hän tulee näkemään, ettei kasvatuksenne ole
tukehuttanut teissä elsassilaista henkeä, haihtuvat hänen
ennakkoluulonsa.
— Ehkä!
— Kuinka kaunista!
Kaikki kumartuivat eteenpäin nähdäkseen vuoren reunalta
loppumattoman laajan tasangon. Liikutus valtasi jokaisen
elsassilaissydämen. Tuolla jalkain juuressa lepäsi kolmesataa
synnyinmaan kylää, siroteltuina viljelysmaiden nuoreen vehreyteen.
Ne uinuivat kellojen kajahdellessa. Kukin niistä näytti vaan
punertavalta pisteeltä. Melkein taivaanrannan kohdalla muodosti joki
kuin kirkkaan hopeasulun. Ja sen toisella puolen oli maata, joka oli
korkeampaa ja peittyi nopeasti Reinin yllä vielä leijaavaan usvaan.
Lähellä sitävastoin näki» Pyhän-Odilian metsän pienimpiä
yksityispiirteitään myöten, kun antoi katseensa liukua pitkin
kuusikkorinteitä. Se lähetti laaksoon lukuisia tummanvihreitä
niemekkeitä, joiden väliin hennonvihreät kevätniityt pistäytyivät.
Koko maisemaa valaisivat enää ainoastaan ylt'yleensä sädehtivän
taivaan heijastukset. Ei ollut mitään loistavaa kohtaa, joka olisi
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sopusointuiseksi kokonaisuudeksi, kuten kellojenkin äänet. Vanha
elsassilainen, joka pysytteli papin vieressä, levitti käsivartensa ja
sanoi:
— Ja minä Heilingsteinin.
Talonpoika, joka oli tullut Wissemburgin tienoilta, lausui hänkin:
— Amen!