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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
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Jianglin Lan Ronald J. Patton
•

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

ISSN 1430-9491 ISSN 2193-1577 (electronic)

Advances in Industrial Control
ISBN 978-3-030-58759-8 ISBN 978-3-030-58760-4 (eBook)
https://doi.org/10.1007/978-3-030-58760-4
Mathematics Subject Classification: 15A39, 15B48, 26A18, 37B25, 93-02, 93B52, 93C05, 93C35,
93D09

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
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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.

Loughborough, UK Jianglin Lan

Hull, UK Ronald J. Patton
September 2019
Contents

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

Part II Strategies for Robust Integration of FE and FTC

3 Sequential Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . 45
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3.3 FE Observer and FTC Controller . . . . . . . . . . . . . . . . . . . . . . . 47
3.3.1 FE Observer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
3.3.2 FTC Controller . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3.4 Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
3.5 Feasibility Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3.5.1 Feasibility Under Ideal Case . . . . . . . . . . . . . . . . . . . . 52
3.5.2 Feasibility Under Uncertain Case . . . . . . . . . . . . . . . . 54
3.6 A Sequential Integration Strategy . . . . . . . . . . . . . . . . . . . . . . . 56
3.7 Tutorial Example 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.8 Tutorial Example 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
4 Iterative Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . . . 65
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
4.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
4.3 FE Observer and FTC Controller . . . . . . . . . . . . . . . . . . . . . . . 67
4.3.1 FE Observer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
4.3.2 FTC Controller . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
4.4 Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
4.5 An Iterative Integration Strategy . . . . . . . . . . . . . . . . . . . . . . . 71
4.5.1 Baseline Control Gain Design . . . . . . . . . . . . . . . . . . . 71
4.5.2 Enhanced Control Gain Design . . . . . . . . . . . . . . . . . . 72
4.5.3 Iterative Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
4.6 Tutorial Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
4.6.1 Design of FE Observer and FTC Controller . . . . . . . . . 78
4.6.2 Performance of FE and FTC . . . . . . . . . . . . . . . . . . . . 81
4.7 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
5 Simultaneous Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . 85
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
5.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
5.3 Integration of FE and FTC: State Feedback . . . . . . . . . . . . . . . 87
5.3.1 Reduced-Order ASUIO-Based FE Design . . . . . . . . . . 87
5.3.2 State Feedback Sliding Mode FTC Design . . . . . . . . . . 92
5.3.3 Simultaneous Integration of FE and FTC . . . . . . . . . . . 94
Contents xi

5.4 Integration of FE and FTC: Output Feedback . . . . . . . . . . . . . . 98

5.4.1 Full-Order ASUIO-Based FE Design . . . . . . . . . . . . . . 98
5.4.2 Output Feedback Sliding Mode FTC Design . . . . . . . . 99
5.4.3 Simultaneous Integration of FE and FTC . . . . . . . . . . . 101
5.5 Integration of FE and FTC: Multiplicative Faults . . . . . . . . . . . 104
5.6 Tutorial Example 1: System with Additive Fault . . . . . . . . . . . . 106
5.6.1 Case 1: State Feedback . . . . . . . . . . . . . . . . . . . . . . . . 107
5.6.2 Case 2: Output Feedback . . . . . . . . . . . . . . . . . . . . . . 109
5.7 Tutorial Example 2: System with Multiplicative Fault . . . . . . . . 111
5.7.1 Case 1: FE-Based FTC . . . . . . . . . . . . . . . . . . . . . . . . 112
5.7.2 Case 2: Robust Control . . . . . . . . . . . . . . . . . . . . . . . . 114
5.8 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
6 Robust Decoupling Integration of FE and FTC . . . . . . . . . . . . . . . 119
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
6.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
6.3 Principle of Robust Decoupling . . . . . . . . . . . . . . . . . . . . . . . . 122
6.4 Phase 1: FTC Controller Design . . . . . . . . . . . . . . . . . . . . . . . 124
6.5 Phase 2: FE Observer Design . . . . . . . . . . . . . . . . . . . . . . . . . 129
6.6 Robustness Enhancement via Iteration . . . . . . . . . . . . . . . . . . . 133
6.6.1 Phase 1: FTC Controller Design . . . . . . . . . . . . . . . . . 134
6.6.2 Phase 2: FE Observer Design . . . . . . . . . . . . . . . . . . . 135
6.6.3 Iterative Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
6.6.4 Convergence Analysis . . . . . . . . . . . . . . . . . . . . . . . . 139
6.7 Tutorial Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
6.8 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
7 Adaptive Decoupling Integration of FE and FTC . . . . . . . . . . . . . . 153
7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153
7.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
7.3 Principle of Adaptive Decoupling . . . . . . . . . . . . . . . . . . . . . . 156
7.4 Adaptive Sliding Mode ASUIO Design: Special Case . . . . . . . . 158
7.4.1 Observer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
7.4.2 Estimation Performance Analysis . . . . . . . . . . . . . . . . 160
7.4.3 Observer Gain Parametrization . . . . . . . . . . . . . . . . . . 162
7.4.4 Feasibility and Gain Determination . . . . . . . . . . . . . . . 165
7.5 Adaptive Sliding Mode ASUIO Design: General Case . . . . . . . 167
7.5.1 System Reformulation . . . . . . . . . . . . . . . . . . . . . . . . 168
7.5.2 Observer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
7.6 Adaptive Backstepping FTC Design . . . . . . . . . . . . . . . . . . . . . 170
7.6.1 System Reformulation . . . . . . . . . . . . . . . . . . . . . . . . 171
7.6.2 FTC Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
xii Contents

7.7 Tutorial Example 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

7.7.1 Case 1: Differentiable Fault . . . . . . . . . . . . . . . . . . . . . 176
7.7.2 Case 2: Non-differentiable Fault . . . . . . . . . . . . . . . . . 177
7.8 Tutorial Example 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
7.9 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

Part III Extension and Application

8 Fault-Tolerant Wind Turbine Pitch Control . . . . . . . . . . . . . . . . . . 189
8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
8.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
8.3 Adaptive Step-by-Step SMO FE Design . . . . . . . . . . . . . . . . . . 193
8.4 FTC Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
8.4.1 Baseline Controller . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
8.4.2 Reconfiguration Controller . . . . . . . . . . . . . . . . . . . . . 198
8.4.3 FTC Performance Analysis . . . . . . . . . . . . . . . . . . . . . 198
8.5 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
8.5.1 Case 1: Single Actuator Fault . . . . . . . . . . . . . . . . . . . 199
8.5.2 Case 2: Multiple Actuator Faults . . . . . . . . . . . . . . . . . 200
8.6 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
9 Integration of FE and FTC for Nonlinear Systems with 3-DOF
Helicopter Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
9.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
9.3 FE Observer Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
9.4 FTC Controller Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
9.5 Integration of FE and FTC . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
9.5.1 Traditional Separated Strategy . . . . . . . . . . . . . . . . . . . 218
9.5.2 Simultaneous Robust Integration Strategy . . . . . . . . . . 220
9.6 Application to 3-DOF Helicopter System . . . . . . . . . . . . . . . . . 222
9.6.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
9.6.2 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . 224
9.6.3 FE-Based FTC Design . . . . . . . . . . . . . . . . . . . . . . . . 227
9.7 Simulation Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 228
9.7.1 Case 1: Fault-Free . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
9.7.2 Case 2: Single Actuator Fault . . . . . . . . . . . . . . . . . . . 229
9.7.3 Case 3: Multiple Actuator Faults . . . . . . . . . . . . . . . . . 230
9.8 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
Contents xiii

10 Integration of FE and FTC for Large-Scale Interconnected

Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
10.2 Problem Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
10.3 Decentralized FE and FTC with Actuator Fault . . . . . . . . . . . . 239
10.3.1 Decentralized FE Observer Design . . . . . . . . . . . . . . . 240
10.3.2 Decentralized FTC Controller Design . . . . . . . . . . . . . 241
10.3.3 Robust Integration of FE and FTC . . . . . . . . . . . . . . . 241
10.4 Decentralized FE and FTC with Sensor Fault . . . . . . . . . . . . . . 245
10.4.1 Decentralized FE Observer Design . . . . . . . . . . . . . . . 245
10.4.2 Decentralized FTC Controller Design . . . . . . . . . . . . . 246
10.4.3 Robust Integration of FE and FTC . . . . . . . . . . . . . . . 247
10.5 Application to 3-Machine Power System . . . . . . . . . . . . . . . . . 250
10.5.1 Actuator Fault Case . . . . . . . . . . . . . . . . . . . . . . . . . . 252
10.5.2 Sensor Fault Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
10.6 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
11 Summary and Future Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . 263
11.1 Summary of the Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
11.2 Future Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Acronyms

Abbreviations

AFTC Active fault-tolerant control

ALSO Augmented Luenberger state observer
ASO Augmented state observer
ASUIO Augmented state unknown input observer
BMI Bilinear matrix inequality
FDI Fault detection and isolation
FE Fault estimation
FTC Fault-tolerant control
LMI Linear matrix inequality
PFTC Passive fault-tolerant control
SMC Sliding mode control
SMO Sliding mode observer
s.p.d. Symmetric positive definite
s.t. Subject to
UAV Unmanned aerial vehicle
UIO Unknown input observer

Symbols

C The set of all complex numbers

Cþ The set of all positive complex numbers
R The set of all real numbers
Rn The set of n-dimensional real vectors
traceðXÞ Sum of the elements on the main diagonal of matrix X
X 1 The inverse of matrix X
X† The pseudo inverse of matrix X

xv
xvi Acronyms

X> The transpose of matrix X

★ It induces symmetric in a block matrix
HeðXÞ The sum of a matrix X and its transpose, HeðXÞ ¼ X þ X T
rankðXÞ The rank of matrix X
ReðkÞ The real component of the eigenvalue k
kmin ðXÞ, kmax ðXÞ The minimum, maximum eigenvalue of matrix X
 ðÞ Positive definite (semi-definite)
A () B A is equivalent to (if and only if, iff) B
jj The absolute value of a scalar
jjjjp The p-norm in the Euclidean space. jjjj and jjjj1 represent the
2-norm and 1norm, respectively
Ip A p  p identity matrix
jmn A m  n matrix with elements all equal to a constant j
Gzd The transfer function from signal d to signal z
satðÞ The saturation function
signðxÞ The signum function of the variable x. If x 6¼ 0,
x
signðxÞ ¼ jjxjj ; If x ¼ 0, signðxÞ ¼ 0
 
X1 0
diagðX 1 ; X 2 Þ A diagonal matrix
0 X2
 Part I
Introduction
Chapter 1
Introduction

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

Fig. 1.1 A generic control system

2019; Simani and Farsoni 2018), multi-agent systems (Potiron et al. 2013) and water
networks (Quevedo et al. 2010).

1.2 Basic Concepts in FTC System

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.

It is important to determine how a fault should be detected, isolated, estimated and

compensated, because there are different types of faults, as outlined in Fig. 1.2, acting
at different system locations (Blanke et al. 2003; Chen and Patton 1999; Isermann
2006).

Definition 1.2 (Actuator fault) An actuator fault ( f a (t)) is defined as a variation of

the control input u(t) applied to the controlled plant.

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 1.6 (Multiplicative fault) A multiplicative fault is defined as a fault that

affects the system signal by multiplying an extra signal.

Remark 1.5 Partial loss of actuator effectiveness fault is a form of multiplicative

fault. Compared to additive fault, multiplicative fault has been studied in only a few
references, due to the challenges in its diagnosing and estimating. Systems subject
to multiplicative faults will be discussed in Chap. 5.

Considering their distribution, faults can be classified as follows:

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.

Definition 1.9 (Fault-tolerant control) Fault-tolerant control (FTC) is a control

strategy and design to ensure that a closed-loop system can continue acceptable
operation in the presence of either single or multiple fault actions. When prescribed
stability and closed-loop performance metrics are maintained despite the presence
of faults, the system is said to be “fault-tolerant” and the control scheme that ensures
the fault tolerance is the fault-tolerant controller.

For an FTC system, another important concept is fault diagnosis.

Definition 1.10 (Fault diagnosis) Fault diagnosis is defined as a procedure to obtain

fault information (location, time occurrence and/or magnitude) used for fault com-
pensation design and the scheduled system maintenance.
1.3 FTC Design 7

1.3 FTC Design

The existing FTC methods can be classified according to whether they are “passive”
or “active”, using fixed or reconfigurable control strategies (Eterno et al. 1985). The
general system schemes of active and passive FTC (AFTC and PFTC) methods
are outlined in Fig. 1.3, where a distinction is made between the “execution” and
“supervision” levels. The essential differences and requirements of AFTC and PFTC
are also illustrated in the figure.
The PFTC is based solely on the use of robust control in which potential faults
are treated as uncertain signals (uncertainties or external disturbances) acting on the
system dynamics. This can be related to the concept of reliable control (Veillette et al.
1992). PFTC does not require either online fault information from the fault diagno-
sis function or control reconfiguration. Several PFTC methods have been developed
based on robust control theories, e.g. multi-objective optimization, quantitative feed-
back theory, H∞ optimization, absolute stability theory, nonlinear regulation theory,
etc. More details for this can be found in the survey papers Benosman (2009), Yu and
Jiang (2015). Since a PFTC system uses a controller designed offline based on certain
a priori knowledge of the faults, it is able to handle very limited fault scenarios.
The AFTC provides a system with fault-tolerant capability by including two con-
ceptual steps:
(1) Equip the system with a diagnosis mechanism to diagnose the faults and
select the required remedial action to maintain acceptable post-fault closed-loop
performance. In the absence of faults, a “Baseline controller” is used to ensure good
stability and tracking performances. (Supervision level)
(2) Make use of the supervision level information and adapt or restructure the
controller to achieve the required remedial activity. (Execution level)

Fig. 1.3 General FTC system architectures

8 1 Introduction

Fig. 1.4 A classification of FTC methods

Compared with PFTC, AFTC is applicable for a broader range of areas and
thus has been the major concern of the FTC community, which is also the main
focus of this book.
A classification of the existing PFTC and AFTC methods is given in Fig. 1.4.
As shown in the figure, there are two AFTC methods: projection and reconfigu-
ration methods.

• The projection method diagnoses the fault occurrence through a fault diagnosis
unit and compensates the fault effect using a switching mechanism to select an
appropriate control action from the pre-computed controller set. A typical AFTC
system architecture using the projection method is shown in Fig. 1.3. The poten-
tial fault modes of the controlled plant are known in advance and an associated
controller is designed to achieve desired system performance under each fault sit-
uation. In the spirit of this method, the multiple model FTC has been developed in
the literature (Maybeck and Stevens 1991; Rauch 1995; Zhang and Jiang 2001).
A design example will be provided in Sect. 2.3 to illustrate its basic principle.
To avoid the need of knowing the plant model, data-driven projection-based FTC
has also been developed in Jain et al. (2018) from a behavioural system theoretic
perspective.
• The reconfiguration method mainly includes three types of approaches: control
allocation, controller redesign, and fault hiding.

The control allocation approach re-allocates the required control actions from
the faulty actuators to the healthy redundant ones, according to the fault diagnosis
results (Buffington et al. 1999). It is an approach for actuator redundancy management
and useful for over-actuated control systems, such as flight systems. However, the
1.3 FTC Design 9

Fig. 1.5 General framework of fault hiding FTC systems

requirement of physical redundancy makes this approach expensive and somehow

limited in application.
The controller redesign approach involves the calculation of new controller param-
eters following control impairment using, e.g. model predictive control (Maciejowski
1999), model matching or following (Staroswiecki 2005), adaptive control (Shen
et al. 2017), and artificial intelligence (Patan 2019; Perk et al. 2012), with or without
fault diagnosis functions. The use of artificial intelligence offers an opportunity to
perform fault diagnosis and FTC for complex industrial plants.
The fault hiding approach has the general framework depicted in Fig. 1.5 and it
aims to “hide” the fault from the baseline controller by adding an extra reconfiguration
block between the faulty plant and the baseline controller. The reconfiguration block
generates the reconfiguration control input u f to be applied to the faulty plant, by
using the measured faulty output y f and the nominal control input u.
Currently, two mainstream methods have been proposed to achieve fault hiding:
virtual actuator/sensor method, and estimation and compensation method.
The virtual actuator/sensor method for FTC design has been treated extensively
in the monograph Steffen (2005). It includes three separate design steps: (1) Design
a baseline controller for the healthy plant; (2) Design a fault diagnosis block to
diagnose the faults and determine the system dynamics of the faulty plant; (3) Design
a reconfiguration control signal such that the faulty plant behaves like the original
healthy one.
Similarly, the estimation and compensation method uses online fault compen-
sation based on diagnosis of the unanticipated faults and its general framework is
sketched in Fig. 1.6. However, compared to the virtual actuator/sensor method, the
estimation and compensation method has the following new features: (1) The FTC
controller consists of a baseline control component and a fault compensator, which
are designed together; (2) The fault estimation (FE) function is embedded with the
10 1 Introduction

Fig. 1.6 General framework of estimation and compensation FTC systems

controller, automatically estimating the actual fault signals and forwarding the esti-
mates to the FTC controller. The FTC controller can be designed using classical
control methodologies such as adaptive control, robust control and sliding mode
control (SMC).
Compared with the other AFTC methods, the estimation and compensation
method is considered to be a more realistic and robust AFTC strategy. It also offers an
opportunity to avoid the control and diagnosis uncertainties and time delays brought
by the multiple-step designs in the virtual actuator/sensor method. Considering the
background above, this book focuses on the estimation and compensation method
for AFTC systems design.

1.4 FE Design

In the past three decades, fault detection and isolation (FDI), also called fault detec-
tion and diagnosis (FDD), and fault estimation (FE) have been developed as main-
stream approaches to realize fault diagnosis.
The current FDI methods mainly make use of the basic principle of residual gen-
eration and can be divided into two categories: mode-based and data-driven methods.
The former depends on the mathematical system model and uses techniques such as
state observer, parity space and parameter estimation. The latter is based on histor-
ical data of the systems and uses techniques such as statistics, neural networks and
expert systems. A comprehensive review of FDI methods is referred to Gao et al.
(2015a, b).
It is attractive to directly reconstruct the fault signal once it occurs through FE.
The FDI approach for diagnosing faults involves standard procedures of fault detec-
tion and fault isolation, but FE is used to estimate the actual fault signals based on
system observer methodologies. Since FDI does not provide fault estimation, some
1.4 FE Design 11

investigators use FDI followed by FE to estimate the faults. It is also important to

note that the FE procedure actually includes both detection and isolation in some
sense, because the accurate estimation of the faults implies detection and isolation.
Hence, FE can totally replace FDI in some situations. For example, in this book FE
totally replaces the FDI functions in the context of fault estimation combined
with fault compensation within FTC.
Several approaches to FE designs have been proposed and the majority treat the
faults as auxiliary state. This idea lies on the assumption that the faults are differen-
tiable and it enables casting the FE as a state estimation problem. The FE can then
realized by using state observers, e.g. adaptive observer (Kabore and Wang 2001),
augmented state observer (ASO) (Gao and Ding 2007), unknown input observer
(UIO) (Gao et al. 2016), system-inversion-based Luenberger observer (Kulcsár and
Verhaegen 2011) and moving horizon estimator (Feng and Patton 2014). The com-
bination of ASO and zonotopic techniques can also estimate the upper and lower
bounds of the fault (Zhang et al. 2020). To avoid the differentiability assumption,
techniques such as sliding mode observer (SMO) can be adopted (Edwards et al.
2000). In this book, several new FE observers will be presented, based on further
extension and development of ASO, UIO and SMO.

1.5 Robust Integration of FE and FTC

In most situations, the models of engineering systems used in control design are
imperfect and have uncertainties. It has long been known that system uncertainty has
negative effects on the control performance. Moreover, since both uncertainty and
faults can lead to system dynamic changes, it is usually difficult or impossible to
distinguish between their effects. Therefore, the two key challenges in AFTC system
design are

• How to extract required fault information from system dynamic changes in the
presence of uncertainty?
• How to design a closed-loop AFTC system with admissible fault-tolerant perfor-
mance and good robustness to uncertainty?

The first challenge is fundamental to an AFTC system where accurate fault infor-
mation is a prerequisite. Since fault diagnosis depends on the mathematical system
model explicitly, within a closed-loop system the fault diagnosis performance is
affected by the control system uncertainty (Patton 1997). Initiated by Nett et al.
(1988), many works have been published on the integration of control and FDI,
where their designs are combined as a joint robustness problem to achieve good
robust control and acceptable FDI properties. More details are referred to the review
paper Ding (2009).
When combining the functions of fault diagnosis with FTC into an AFTC sys-
tem, the diagnosis uncertainties (false alarm, time delay, diagnosis error, etc.) also
12 1 Introduction

affect the closed-loop system performance. Therefore, there exist mutual interactions
between the fault diagnosis and FTC system functions. If these functions are designed
separately without considering the coupling effects, they may not fit with each other
when assembled together. This will then lead to an FTC system with degraded per-
formance and robustness. Therefore, a necessary consideration is to synthesize the
fault diagnosis and FTC functions from a holistic perspective to achieve a robust
closed-loop FTC system. This is the problem of robust integration of fault diagnosis
and FTC defined in this book as follows:

Definition 1.11 Robust integration of fault diagnosis and FTC is a system syn-
thesis process for co-design of the fault diagnosis and FTC functions, by taking into
account their mutual interactions, to establish a robust closed-loop FTC system with
admissible performance.

Detailed mathematical analysis will be provided in Chap. 2 to discuss the necessity,

importance, and challenges of robust integration in the context of FDI and control,
FDI and FTC, and, more importantly, FE and FTC. It is worth noting that the focus
of this book is on model-based FE and FTC. This scheme is developed as an effective
alternative to achieve robust integration of fault diagnosis and FTC. However, it does
not exclude the existence of other possible alternatives.

1.6 Book Organization

This book presents novel strategies to FE and FTC and their integration. The funda-
mental contribution is that the presence of uncertainty in state and fault estimation
along with system uncertainty leads to a new concept called robust integration of
FE and FTC. The book describes several robust integration strategies and their appli-
cations in the fields of renewable energy, robotics and network systems. Throughout
the book, simulation results are performed on MATLAB and SIMULINK, com-
bined with YALMIP (Löfberg 2004), LMI control toolbox (Gahinet et al. 1995) and
MOSEK (Mosek 2018). A graphical view of the book organization is provided in
Fig. 1.7. The book consists of 11 chapters which are grouped into 3 parts: intro-
duction, robust integration strategies, and extension and application. Descriptions
of them are given in Sects. 1.6.1, 1.6.2 and 1.6.3, respectively. The book content
is finally briefly summarized in Chap. 11 along with some future perspectives. The
arrows in Fig. 1.7 suggest different paths to read the content.

1.6.1 Part I: Introduction

This part provides necessary background of the book, including the following two
chapters:
1.6 Book Organization 13

Fig. 1.7 Graphical view of the book organization

Chapter 1 introduces the related definitions, architectures and classification of

fault diagnosis and FTC systems. Some lemmas used frequently throughout the book,
together with notes on the Separation Principle and the unknown input observer, are
outlined.
Chapter 2 discusses the role of robust integration in fault diagnosis and FTC sys-
tems. As a result of imperfect system modelling there inevitably exist uncertainties
in the mathematical system models that used for control designs. The system uncer-
tainty affects the fault diagnosis accuracy and leads to the existence of unidirectional
robustness interaction between the control system and fault diagnosis function. The
use of fault diagnosis results as feedback to actively adjust the controller to accom-
modate the fault effects builds an AFTC system. Since the diagnosis and control
are in a closed-loop, the control system uncertainty affects the diagnosis and in turn
the diagnosis uncertainty affects the control system, which leads to the existence of
bidirectional robustness interactions. This happens in FTC systems using either FDI
or FE. The existence of unidirectional or bidirectional robustness interactions gives
rise to the necessity of integrating the designs of fault diagnosis and control, FDI and
FTC, or FE and FTC, aiming to obtain good robustness in fault diagnosis and FTC
and their functional combination. A motivating example is provided to illustrate the
necessity of robust integration of FE and FTC for stable closed-loop FTC system.
14 1 Introduction

Fig. 1.8 Strategies for robust integration of FE and FTC

1.6.2 Part II: Strategies for Robust Integration of FE and

FTC

This part describes five strategies (see Fig. 1.8) to achieve robust integration of FE
and FTC. For simplicity and clarity, development of the strategies is based on linear
systems.
Chapter 3 presents a sequential strategy for robust integration of FE and FTC. An
augmented Luenberger state observer (ALSO) is used to estimate the state and faults,
and a state feedback FTC controller is used to compensate the faults and stabilize the
system. Under this scheme, the FTC controller is designed in the first step and then
used in the second step to determine the FE observer. The key difference between
this sequential strategy and the separated strategy is that effects of system uncer-
tainty on the FE observer are taken into account by the former (in the second step)
but ignored by the latter. The sequential strategy can reduce the design complexity
and achieve robustly acceptable, though suboptimal, FTC closed-loop system per-
formance. However, it is worth noting that the effects of FE uncertainty on the FTC
control system cannot be handled within this scheme.
Chapter 4 presents an iterative integration strategy, using an augmented state
unknown input observer (ASUIO) and a state feedback FTC controller. The FTC
controller and FE observer gains are designed in an iterative loop. It starts with an
1.6 Book Organization 15

initial FTC controller design, which is then used to determine the FE observer gains.
After that, by implementing the FE observer gains the FTC controller is refined to
improve the overall system robustness. The iteration continues until the robust perfor-
mance index reaches its prescribed accuracy. Different from the sequential strategy
in Chap. 3, bidirectional robustness interactions between the FE observer and FTC
controller are taken into account in this strategy through the iteration manner. The
iterative procedure has finite convergence, and, like the sequential strategy, can only
obtain suboptimal solutions.
Chapter 5 presents a simultaneous integration strategy. The basic idea is to for-
mulate the robust integration of FE and FTC as an observer-based robust control
problem and solve it using a single-step linear matrix inequality (LMI) formulation.
A class of uncertain linear systems with both actuator and sensor faults are consid-
ered, while only actuator faults are considered in Chaps. 3 and 4. Both the cases of
state and output feedback controls are studied, using reduced-/full-order ASUIOs,
respectively, and adaptive sliding mode FTC controllers. The multiplicative fault
case is also discussed, which is not covered by Chaps. 3 and 4.
Chapter 6 presents a robust decoupling strategy for integration of FE and FTC
to avoid the bilinear matrix inequality (BMI) issue encountered in Chap. 5 and to
have more design freedom. It uses an ALSO FE observer and a state feedback FTC
controller that are similar to those used in Chap. 3. The keyword “robust” implies that
the bidirectional robustness interactions are attenuated using robust control theory,
which then approximately recovers the Separation Principle in the spirit of Small
Gain Theorem. This is why the dashed lines are used in the conceptual diagram
(4) in Fig. 1.7. The keyword “decoupling” means that designs of the FE observer
and FTC controller are carried out in two phases, rather than simultaneously as
in Chap. 5. In the first phase, the controller is designed to minimize the effects of
external disturbance and system uncertainty on the closed-loop state. The estimation
error effect is also minimized by maximizing a weighting matrix on the state. In the
second phase, the observer is designed to minimize the effects of external disturbance,
fault modelling error, and system uncertainty, based on the obtained controller gain
and weighting matrix. To improve attenuation of the coupling, an iterative algorithm
is developed to minimize the coupling effects simultaneously. The iterative algorithm
also realizes a balance of the robustness against external disturbance and the coupling.
Chapter 7 presents an adaptive decoupling strategy for robust integration of FE
and FTC. The decoupling recovers the Separation Principle for the designs of FE
and FTC functions using adaptation. The word “adaptation” is used to emphasize the
way that the bidirectional robustness interactions are handled within this scheme:
(1) The FE observer actively estimates the perturbation (including uncertainty and/or
disturbance) together with the system state and faults; (2) The effects of estimation
errors and perturbation are adaptively estimated and compensated together with the
faults using the FTC controller action. This is why the dashed lines are used in the
conceptual diagram (4) in Fig. 1.7. Moreover, the adaptive compensation makes the
proposed decoupling an “active” strategy, in contrast to the “passive” strategy in
Chap. 6. The decoupling manner offers great design freedom for the FTC controller
and FE observer. Moreover, the estimation and compensation of perturbation con-
Another Random Scribd Document
with Unrelated Content
Courtesy Universal Pictures Corporation.
A “Western” Actor and His Favorite Horse.
 Trick horses are always valued by “Western” heroes for cowboy work.

Courtesy Universal Pictures Corporation.

“Westerns” Are Always Popular.
The above scene from a Universal serial of pioneer days helped pave the
way for the popularity of such features as “The Covered Wagon.”
 CHAPTER X
MOVIES OF TO-MORROW

What will the movies be like ten or twenty years from now?
Recently a very beautiful photoplay, made by a famous French
director, was brought to New York. It told of two boys and a girl, a
foundling, who grew up together on a French farm. One of the boys
was a farmer, and the other became a sculptor, and the story
concerned their love for the girl, and which of them should marry her
—the artist who made beautiful statues, or the farmer, who tilled the
soil and produced the crops without which there would be no artists
or any one else.
A good many people saw that picture, in private projection-rooms.
One New York editor who watched it said it was the most beautiful
photoplay he had ever seen. Most of those who saw it were deeply
moved by it, and called it “tremendous.” But no motion-picture
distributor cared to handle it, or show it to the American public.
The man who represented the producers of the picture, himself a
prominent artist and musician, explained why such an exceptionally
fine film had gone begging around the New York market for months
and months, while infinitely poorer pictures were being released
every week. “It’s ahead of its time,” he said. “Five years from now,
such a film will soon become famous.”
That is interesting.
If you have been reading these pages about motion pictures
carefully, you have probably by this time been impressed with two
things: First, that the movies are tremendously important—
enormous, fascinating, influential, popular forces, capable of
improving, or injuring, our entire American civilization; and second,
that in spite of tremendous advances already made, they are still, in
the opinion of those who ought to know, far below what they ought to
be.
Taken by and large, motion pictures, while already tremendously
powerful, are still amazingly poor.
What are the changes that they will have to undergo, to become
really uplifting, instead of perhaps actually degrading, influences in
our lives? And what will bring those changes about? What must you
and I do, to play our part in bringing about a betterment, and what
will that betterment be, when it comes?
The first thing that will make a difference is knowledge. As soon as
you and Henry Jones and Dug McSwatty know enough about the
movies to avoid going to the picture shows that are not worth seeing
—and know how to tell whether or not particular pictures are worth
seeing when you see them—the picture makers will give you more of
the sort of films you’d really like to see.
That may sound a little like a dog chasing his own tail—but it is
not. You and I, and Dug and Henry, in the last analysis, are the
bosses of the whole motion-picture industry. The movies are made
for us. If we do not like the kind that is shown, the movie people will
try to please us by showing another kind.
But with reservations. For there will always be more pictures made
than you and Henry and Dug and I—all of us after all representing
only one class—can pay for.
There will always be cheap pictures, and poor pictures. They will
be made for the fellows—millions of them—who don’t know any
better.
That means—since before very much longer you and Dug and
Henry and I will pay to see better films, that not so many years from
now class pictures will be made.
At present, almost every film is made with a dim hope at the back
of the producer’s mind of pleasing everybody. Or at the very least, of
pleasing the greatest possible number. Moving pictures cost so
much to make that they have to go, each of them, to hundreds and
hundreds of thousands—yes, millions of people, to pay back mere
expenses, let alone a profit. But just as soon as certain people, who
like a certain kind of picture, know where to find that picture when it
appears, and go to it, and pay to get it, pictures will be made for
them, and for them alone. Adventure stories, perhaps, for you and
Henry and Dug and me, and sentimental love stories for Minnie
Cooty and her friends, and so on.
Just as among the magazines, you find the so-called “highbrow”
magazines and reviews, and the romance magazines and the
adventure magazines, and the detective or mystery-story
magazines, you will be able to find the movies of the kind you want,
under the label that will enable you to recognize them. That will be
one of the important things—the label.
Suppose for a moment that all the magazines were published in
blank white covers, and when you went to a news-stand to buy
reading-matter, you had to pick at random, hoping that after you had
bought the magazine “sight unseen” you would find it contained the
particular type of story or review you wanted!—That is almost the
way it is with motion pictures now—except that, because of the
queer existing situation, each movie man tries to put into his picture
something for everybody; as though the owners of magazines
published in blank white covers should try to please grown-ups and
children and boys and college professors and law-students and
hoodlums and scientists with a single volume of reading-matter.
As soon as this change comes about—the division of movie
audiences into the proper groups or classes—we shall see a big
change in the whole industry. Then it will be possible to show such a
film as that French peasant story, profitably.
And it will not be long before that change comes; it is on its way
already.
Look at Goldwyn, for instance—and Universal, and Metro and
Vitagraph.
Universal was one of the first to begin to make distinctly “class”
pictures. I don’t believe that they even knew quite what they were
doing—consciously, I mean. But they began to make good “cheap”
pictures, that were distinctly not for the “exclusive” audiences. Their
pictures were for the people who wanted clearly “popular”
entertainment, as distinguished from “highbrow stuff.” The result was
that, with honesty and sincere effort, they soon came to occupy a
place as leaders, producing thrillers of “Western” action, where
cowboy heroes would ride up at incredible speed in the final feet of
the last reel, and save the lovely heroine with a six-inch gun in each
hand. Gunpowder, adventure, excitement, and love—that was the
formula, served in large doses for those audiences that were not too
particular about the plausibility of their stories, so long as they
contained those ingredients.
With Metro and Vitagraph it was more or less the same, with this
difference: that they both tried to reach a little higher grade of
audiences with their melodramas.
They tried to get on the screen a little more of artistry; the heroine
didn’t need to be quite so truly good and beautiful, or the hero quite
so noble and brave and quick with each of his guns. But after all
there was not so much difference, and in some way Universal,
perhaps seeing a little more clearly just what they were doing, had
something of an advantage.
Later, Metro tried still harder to please more discriminating
audiences—with varying results. “The Four Horsemen” is a film of
fine qualities, for audiences with a certain kind of grown-up mind. It
tells of how a boy from the Argentine, and his friends and relatives,
were drawn into the Great War, and gives a wonderful, complicated
picture of human nature, and war, almost as impressive and
confusing as life itself. On the other hand, “Turn to the Right,” equally
well done, and by the same director (Rex Ingram—the name is worth
remembering) is almost childish in the way the story is handled, with
the crooks and the innocent hero and the girls and the
misunderstandings that go to make it all up.
And with Vitagraph, “Black Beauty,” one of their most pretentious
films from an artistic standpoint, mingles the beautifully told horse
story with a brand-new tale of utter melodrama, that the horse is
supposed to tell. “Black Beauty” was all right as long as he stuck to
his own story; but when he came to telling the story of the human
beings around him for Vitagraph, I am not so sure whether he really
had good horse sense, or not.
Goldwyn, and Famous Players, and later on, First National,
definitely went in for better-class films. With Goldwyn, the effort,
while not altogether successful, was so sincere that it more than
once came close to endangering the future of the entire organization,
through putting out “class” pictures ahead of their time. “Milestones”
is an example of the kind of picture that as yet has not really found
its own audiences, and so presented a pretty big problem to its
producers from the box-office standpoint. It tells three stories in one,
of how, in three successive generations, the young people follow up
their own ideas with new inventions, and marry as they want to,
before they find themselves growing old and conservative and
advising against the very things they made a success of when they
were young.
Of the existing companies, Famous Players has done even more
to bring along the day of class pictures and divided audiences, and
has so far remained far ahead of Goldwyn in the actual number of
truly artistic pictures produced.
But let us get a step closer to this business of putting out “better
pictures,” such as we may expect to have in larger proportion to-
morrow. We can do so by noting what particular “better films” have
done.
“Humoresque,” made by Cosmopolitan Productions, and
distributed by Paramount, may fairly be classed as a “better picture.”
It was also a popular picture. The returns on the film ran to
tremendous figures—said to be well over a million dollars. It told the
story of a Jewish boy, the idol of his mother’s heart, who gave up his
opportunities to become a great violinist to enlist when the United
States entered the War. People really wanted to see flesh-and-blood
characters on the screen, instead of just noble heroes and beautiful
heroines. Dug and Henry and I—and likely you, too,—enjoyed the
little boy and the little girl and the big little family where on birthdays
there “came a meanness” into the house.
“Humoresque” made a big step towards the “better pictures” day
that is coming, by showing such queer things as the real-life little
slum girl finding a dead cat in an ash-barrel and loving it—because
the producers made a big profit on the film.
Wherever better pictures make money, other producers will imitate
them; again, that’s where it is for you and Henry and Dug and the
rest of us to keep away from poor films and find and pay admission
to those we really like.
Another picture: “Broken Blossoms.” That was a tragic story of a
little girl of the London slums who was befriended by a Chinaman
after her brutal father had given her a terrible beating. It ended with
almost as many deaths as Hamlet, but it was so beautiful, artistically,
that American critics hailed it as the most wonderful movie ever
made.
Now, tragedy is never very popular in America. We like to have our
stories end at a pleasant turn of the road—an engagement, or a
wedding, or a successful culmination of the search for treasure, or
what you will,—instead of stopping only when the people of our story
finally die, or quarrel, or give up the search for the gold. And
because “Broken Blossoms” did not have this popular appeal—the
happy ending—Mr. Griffith, who made it, had to take it and exploit
and exhibit it himself, in order to secure a hearing—or a “seeing”—
for it.
This was the result: The picture was hailed as so wonderful that
millions went to see it, because of its reputation. Of those millions,
hundreds of thousands, perhaps, were not able to like it, because it
was so tragic. Other movie producers, watching the result, noticed
this, so that although the picture helped the movies along artistically,
it didn’t convert other producers to that sort of effort. “People don’t
want that sort of stuff,” they said in too many instances. “Look at
‘Broken Blossoms,’—they really don’t want better pictures.”
 Another famous film was “Over the Hill.” That picture helped
movies along because it didn’t cost much to make—relatively
speaking—but brought in as much for the producers as other films
costing far more. The story, of a devoted mother who was neglected
or abused by all but one of her children when she needed their help
and love, was far better than the average movie, and had a big, and
healthy, emotional appeal. Any fellow who could watch it without
resolving to be better to his own mother would be pretty worthless.
“The Old Nest,” another story of the same type, though not quite
as appealing, also did well. Such pictures, worth while in themselves,
and at the same time profitable, helped along the whole picture
industry.

Courtesy United Artists Corporation.

Archway from “The Three Musketeers.”
A high degree of artistry has been reached in the designing of motion-
picture sets.
Courtesy Universal Pictures Corporation.
A Mexican Gateway from “Winners of the West.”
Simplicity is often the keynote of effectiveness. Here an impressive effect is
secured with a minimum of effort

“The Copperhead,” on the other hand, and “The World and His
Wife,” two of the finest films ever distributed by Paramount, did not
help things along very much, because being, like “Broken
Blossoms,” more or less tragic, they failed to find the audiences that
might have made them profitable.
A few years from now, when certain brands, names, or concerns
have come to have a definite following of audiences that will know
what to expect from them, “The Copperhead” or “The World and His
Wife” could be distributed, in all probability, with far greater success.
“The Copperhead,” in particular, a patriotic spy story of the Civil War,
with the appeal that it has through the portrayal of Abraham Lincoln,
as well as its stirring war setting, would be sure to please—as soon
as it could find the right audience, and a big enough one.
 This brings us to another point of improvement that will be seen in
pictures before long: good films will last longer.
Just such pictures as these mentioned, for instance,—“The
Copperhead,” “The World and His Wife,” “Over the Hill,” “Broken
Blossoms,” and many more, will be watched and welcomed again
just as gladly as was Mary Pickford’s “Rebecca of Sunnybrook Farm”
or Griffith’s “Birth of a Nation.” The day when a good picture will “go”
only when it is brand new—only when you and Dug and I have never
seen it before, and go to it only because it’s new, is almost over. In
the long run you and Dug and I—and Henry, too,—have more sense
than that. We shall be just as willing to see and enjoy a good picture
a second time—perhaps years after we saw it the first time—as we
are now willing to re-read a book or story that pleased us immensely.
As an example, take “A Connecticut Yankee in King Arthur’s
Court”; any one who enjoyed that whimsical yarn of a Yankee in
armor as much as I did will be entirely willing—yes, anxious—to see
it again, if it is shown once more, half a dozen years from now.
Never be afraid to go to see a really good film twice; never be
afraid to go to see a really good film after it is old or out of date. That
will help things along. For the quicker poor photoplays die, the better
off we are, and the longer good ones live, the better off we are, too.
Next, to get to another change that will come to the movies very
shortly. That is the coming in of a more far-sighted dollar.
Far-sighted dollar? Exactly. At present the dollars invested in
movies are mostly very shortsighted. At the very best, we can say
they are—well, “smart.” They don’t look ahead. They take no
particular pride in their work. They are not ashamed if they fail to
give value received—100 cents of satisfaction for every 100 cents.
Speaking of dollars in this way is entirely correct. For a dollar is an
inert thing, that takes on life and movement and power and
individuality in accordance with the ideas and ideals and personality
of the man who spends or invests it. The selfish dollar is the coin of
the purely commercial business man who merely tries to get as
much as he can while giving as little as he can. The intelligent dollar
is the dollar of a really intelligent investor, who expends it wisely, and
fairly, and in such a way that it will bring him both a sure and an
honorable return.
In motion pictures, the average investor, up to the present time,
has been either a “sucker” who simply lost his money, or a
speculator who took a blind chance, or a “wise guy” who knew the
picture business and merely played it for what he could get out of it,
with little or no regard for the other fellow, or the public, or American
prestige, or anything else that didn’t directly affect his own
pocketbook. Of course there are exceptions—but after all there are
not so very many of them. The dollar of the average American movie
producer to-day is still a rather unintelligent dollar.
Up to this time, intelligent dollars have been a little ashamed to go
into motion-picture investments, because with so many unintelligent
dollars around they were afraid they would be classified the same
way. A publisher, for instance, who has had wide magazine
experience and who now runs more than one New York magazine,
was recently urged to go into a motion-picture investment “for the
good of the movies.” He refused, because, he said, he had never
stooped to that kind of investment. To him, the movie dollars seemed
so selfish, so short-sighted, so unintelligent, that he refused to let his
own dollars associate with them.
Every time, though, that your father, or Dug’s father, or Henry’s
father, chances to invest dollars in any motion-picture scheme that
turns out better pictures, that pay by being better,—and such
investments are now possible every once in a while—the
unintelligent dollars in the movies are crowded a little farther along
the bench, and the whole industry, and indirectly the whole country,
is that much better off.
The time is now close at hand when motion-picture investments
will rank much higher than formerly, so that intelligent dollars may
come in without losing their self-respect. When the industry is
regarded as quite as honorable a field for investment as in the case
with, say the newspaper or book-publishing business, we shall have
far better pictures.
 And finally, the movies are just now on the edge of invading a
brand-new field.
When your sons go to college, they will probably watch motion
pictures a good deal of the time.
Just as certainly as the books and the magazines and the
newspapers followed the invention of the printing-press, educational
films will come to replace some of our present methods of study.
Already we have seen the news reel, and the scenic, depicting the
scenes where history is being made to-day, or showing more
graphically than any printed words could ever describe it, the rush of
water at Niagara Falls. Unconsciously, we are learning geography
from those scenic reels right now, more often than not. If you have
seen the top of Vesuvius, and the scenes about the top, in motion
pictures, you know more about that wonderful old volcano right now
than any school-book ever taught you.
Slow motion pictures show how the tennis-player serves, how the
swimmer makes his crawl strokes, how the wrestler gets his hold.
Scientific films have shown the circulation of the blood, with the veins
and arteries magnified to a degree that makes them look like brooks,
two feet wide, with the pulse-current sending along fresh waves, half
a foot high. A camera placed in the best position for observation at a
clinic can bring to the screen the most minute detail of a delicate
operation performed by the greatest living surgeon—and make that
knowledge available for hundreds of thousands of students.
It is through this door, perhaps, this educational door, that the
great metamorphosis of the movies will come. For the making of
reels that will carry information for students, that will take truth and
wisdom to whole generations of scholars, is an honorable and
conscientious undertaking. With money profitably invested in motion-
picture ventures of this new, and inevitable, kind, the whole motion-
picture field will take on a new aspect, and attract the more intelligent
dollars, the more honorable dollars, that will in turn gradually lift the
character, and the quality, and the products, and the results, of the
entire industry.
 Well, that brings us to the end of this movie-talk, that you and I
have been having together. If you will do your part, and encourage
the best films you can find, and try to keep away from poor ones,
you’ll help the whole cause of better pictures, that we need so badly,
along. I will do mine in trying to make better pictures. Together, you
and I and the others who want to see better pictures and the others
who want to make better pictures, will get better pictures.

THE END

Transcriber’s Notes:
Blank pages have been removed.
Obvious typographical errors have been silently corrected.
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