Proceedings of the 7th

World Congress on Intelligent Control and Automation

June 25 - 27, 2008, Chongqing, China

A Neural Network Based Adaptive Control Design

Approach for a Class of Uncertain Nonlinear
Systems with Unknown Time Delay
Dan Wang , Weiyao Lan , Siyuan Wang and Song Meng
MarineEngineering College, Dalian Maritime University, Dalian 116026, P. R. China
Email: dwangdl@gmail.com
Department of Automation, Xiamen University, Xiamen 361005, P. R. China

Email: wylan@xmu.edu.cn
Information Science and Technology College, Dalian Maritime University, Dalian 116026, P. R. China

Abstract A neural network based robust adaptive control
design scheme is developed for a class of nonlinear systems
represented by input-output models with an unknown nonlinear
function and unknown time delay. By on-line approximating the
unknown nonlinear functions with a three layer feedforward
neural networks, the proposed approach does not require the
unknown parameters to satisfy the linear dependence condition.
The control law is delay independent and possible controller
singularity problem is avoided. It is proved that with the proposed
neural control law, all the signals in the closed-loop system are
semiglobally bounded in the presence of unknown time delay and
unknown nonlinearity.
Index Terms - adaptive control, neural networks, time delay,
nonlinear control, robustness.
I. I NTRODUCTION
In the past two decades, a great deal of progress in the
feedback control of nonlinear systems has been achieved.
At the same time, Neural Network (NN) based adaptive
control techniques are extensively studied. Adaptive control
of nonlinear systems with parameter uncertainty and uncertain
nonlinearities are studied by many researchers [14]-[18]. Espe-
cially, adaptive control for nonlinear systems with unmodeled
dynamics has drawn great research attention [19] - [27].
In [14], adaptive control for a class of nonlinear systems
is studied. The system under consideration is single-input-
single-output, input-output linearizable, minimum phase, and
modeled by an input-output model of the form of an nth-
order differential equation. The uncertain nonlinear functions
of the model depend linearly on constant unknown parameters.
The dynamics of the system is extended by adding a series
of integrator at the input side and the augmented system
is represented by a state-space model, where the states are
the input, the output, and a number of their derivatives. In
the work, a semiglobal controller is designed that achieves
asymptotic output tracking for reference signals which are
bounded and have bounded derivatives up to the nth order.
However, the adaptive controller is not robust to unmodeled
dynamics. Improvements are reported in a later paper [15]. In
which the results of [14] are extended to the case with bounded
disturbance under an assumption that the upper bound of the
disturbance is known. In a recent paper [26], a robust adaptive
controller for a class of nonlinear systems represented by input-
output models containing unmodeled dynamics is presented. In
the design of the adaptive controller, it is not necessary to know
the upper bound of the disturbances. The systems considered in
[14], [15], and [26] have a restriction of linear dependence on
the unknown parameters. The linear dependence condition is
removed in [27]. Instead, a smooth nonlinear function must be
known such that the unknown nonlinear function in the system
is bounded by the product of the known nonlinear function and
an unknown constant.
In [32], the adaptive control problem for the same class of
nonlinear systems was further studied. By on-line approximat-
ing the unmodeled dynamics by radial basis function (RBF)
networks, the feedback linearization technique and the neural
network based adaptive control technique were combined to
develop a robust adaptive controller design method. The above
mentioned restriction in [27] was removed. However, the
estimate of the unknown control coefcient may approach
zero. Therefore, the control becomes zero at the instant, and the
control performance may be degraded. In this paper, we will

978-1-4244-2114-5/08/$25.00 2008 IEEE. 3423

develop a new adaptive control method to avoid such controller II. P ROBLEM F ORMULATION AND P RELIMINARIES
singularity problem. We consider a single-input single-output unknown nonlinear
time-delay system described by
It is well known that, time-delayed characteristics are fre-
y (n) = f (y(t), y(t), . . . , y (n1) (t), u(t),
quently encountered in various engineering systems and may
u(t), . . . , u(m1) (t)) + g(x)u(m) (t)
destabilize systems. The existence of time delays may make
+h(y(t ), y(t ), . . . , y (n1) (t ))
control task more complicated and challenging, especially
when the delays are not perfectly known[10]. In recent years, (2.1)

much research attention is paid to control of nonlinear systems
with time delays [8], [9]. More recently, adaptive control
for nonlinear time-delay systems with unknown nonlinear
functions, especially for a class of strict-feedback nonlinear
time-delay system is investigated in [10], [12] and [13].
where y is the output, u is the control, y (i) is the ith
derivative of y, f (), g() and h() are unknown smooth
nonlinear functions, h() with h(0) = 0 satises the certain
conditions to be stated later.
Let

x1 = y, x2 = y (1) , . . . , xn = y (n1)
Motivated by the above mentioned developments, in this
z1 = u, z2 = u(1) , . . . , zm = u(m1) . (2.2)
paper, a Neural Network based robust adaptive control ap-
proach for a class of nonlinear systems is studied. In addition System (2.1) can be represented by
to the nonlinear systems with unknown nonlinear functions
xi = xi+1 , 1in1
considered in [32], in this paper, research is extended to the
xn = f (x(t), z(t)) + g(x(t))v + h(x(t ))
nonlinear systems with unknown time delay. We develop a
zi = zi+1 ; 1 i m 1
systematic control law design method. The proposed approach
guarantees semiglobal boundedness for adaptive closed-loop zm = v (2.3)

system. Compared with the previous works, the main contri-
butions of the paper lie in: i) the control coefcient in the
nonlinear system is extended from unknown constant[26] [32]
to unknown function and the possible controller singularity
problem is avoided; ii) for the class of studied systems, the
unknown time delay problem is rstly investigated and a delay-
independent control law is proposed. The theoretic results are
illustrated through a simulation example.
The rest of this paper is organized as follows. Problem
formulation and some preliminaries are introduced in section
2. In section 3, we establish a desired control law which can
achieve asymptotic stability if the nonlinear functions in the
studied system are known. Section 4 introduces the proposed
neural network based adaptive control design scheme. Section
5 gives an example to illustrate the theoretic results. Finally,
Section 6 concludes this paper with some remarks.
where v = u(m) (t) is the control input for the augmented
system (2.3), and x = [x1 , ..., xn ]T , z = [z1 , ..., zm ]T . The
initial states of the integrators are chosen such that z(0) Z0 ,
a compact subset of Rm .
The objective of this work is to design a delay-independent
adaptive state feedback controller for (2.3) to stabilize the time-
delay system, and to guarantee that all signals in the closed-
loop systems are semiglobally bounded.
Remark 1: The systems in above given form but without
time delay is studied in [14], [15], and [26] provided that
the nonlinear systems must be linearly parameterized in the
unknown or uncertain parameters. The linear dependence con-
dition is removed in [27]. Instead, a smooth nonlinear function
must be known such that the unknown nonlinear function f in
the system is bounded by the product of the known nonlinear
function and an unknown constant. An RBF networks based
adaptive control approach is proposed in [32] for the case

3424
of the nonlinear function f is totally unknown. In [32], it is From (2.3), we have
assumed that the system is free of time delay and the control
i = i+1 , 1im1
coefcient is an unknown constant, not a function.
m = g(x)zm f (x(t), z(t))
Dene an ltered variable xf as

h(x(t )) zi =i +xnm+i , zm =(m +xn )/g(x)
(2.6)
d
xf = ( + )n1 x1 = [ T 1 ]x (2.4)
dt
together with the rst n state equations of (2.3), (2.6) dene the
where constant > 0 and =
global normal form. We further make the following assumption
(n1)(n2) n3
[ n1
, (n 1) n2
, 2! . . . , (n 1) ] . which includes a minimum-phase condition[14].
, T

It has been shown in [33] and [11] that x 0 as xf 0

Assumption A4: The system (2.6) has the property that for
and denition (2.4) has the following additional properties:
any z(0) Z0 and any bounded x(t), the state (t) is bounded.
(i) if the magnitude of xf is bounded by a constant C > 0,
Remark 2: Many systems satisfy Assumption A4. As shown
then x(t) c , x(0) c with
in [14], the input-output model (2.1), with Assumptions A2 and

c = {x(t) |xi (t)|2
i1 in
} A4 satised, includes as a special case the input-output model
C, i=1,,n
used in [28]and the class of state-space models used in [16].
(ii) if |xf (t)| C and x(0)
/ c , then x(t) will converge N
Notations: Let W = [w1 , , wN ]T , |W |1 = i=1 |wi |,
to c within a short time-constant(n 1)/.
and W  the 2-norm of W . Given A = [aij ], A Rmn ,
AF denotes the Frobenius norm of A and is dened by
From (2.3) and (2.4),the time derivative of xf can be given 
A2F = trace(AT A) = a2ij .
as
In the sequel, we will make use of the universal approxima-
xf = f (x(t), z(t)) + g(x(t))v + h(x(t )) + (2.5) tion property of a feedforward neural network to estimate the
unknown parts of the given system. A three layer feedforward
neural network with xi , i = 1, 2,... , n, as the input and Fnn
where = [ 0 T ]x. We make the following assumptions the output is an input-output mapping dened as follows
on the system (2.3).

N 
n

A1) The system states x(t) and z(t) are all available for Fnn (x1 , , xn ) = wr r ( vir xi + v(n+1)r ) (2.7)
r=1 i=1
feedback.
where vir , i = 1, , n, is called the weight from the input
A2) The sign of g() is known, and there exist known
neuron i to the hidden neuron r, v(n+1)r the bias term of the
constants gmax gmin > 0 such that gmin |g()| gmax .
hidden neuron r, wr the weight from the hidden neuron r to
A3) The unknown smooth functions h(x(t)) satisfy the in-
the output neuron, N the number of hidden neurons, and r
equality |h(x(t))| |xf (t)|(x(t)) with (x(t))known smooth
the activation function of the neuron. The common activation
functions.
functions include sigmoid function or hyper tangent function.
Without losing generality, we will only consider the case For Convenience, we will express the input-output mapping of
when g() > 0. As g(x) is a smooth function, we know that neural network on the right side of (2.7) as follows
x with being a compact set, there exists a known

N 
n

constant gd > 0 such that |g()| gd . W T (V T x) = wr r ( vir xi + v(n+1)r ) (2.8)

r=1 i=1
Assumption A2 implies that (2.3) is input-output lineariz-
where x = [x1 , , xn , 1]T , W is a vector consisting of all
able by full state feedback for all x. It also guarantees that for
wr , a vector consisting of all r , and V a matrix with
every x, there is a globally dened normal form for (2.3). Let
its rth column, r = 1, , N , given by Vr , where Vr =
i = zi xnm+i , 1 i m 1. [v1r , , vnr , v(n+1)r ]T .
The universal approximation theorem [4] claims that, given
m = g(x)zm xn a continuous real valued function f : R with Rn a

3425
compact set, and any N > 0, there exist an integer N , ideal
weight vector W and ideal weight matrix V such that xf xf g(x) 2
Lk = 2 xf
T T g(x) 2g (x)
f (x) = W (V x) + (x) (2.9) 1 1
+ x2f (t) 2 (x(t)) x2f (t ) 2 (x(t ))
with (x) N . 2gmin 2gmin
, V be the estimates of the ideal weight W and V . Dene 1 g(x) 2
Let W = xf (v + [f (x, z) + h(x(t )) + ]) 2 xf
the weight estimation errors as g(x) 2g (x)
1 1
+ x2f (t) 2 (x(t)) x2f (t ) 2 (x(t ))
=W
W  W, V = V V (2.10) 2gmin 2gmin
1 xf
xf (v + [f (x, z) + ]) + |xf (t )|(x(t ))
Then using the treatment of [5] [6][7], we can give the function g(x) g(x)
approximation error as follows. Let the hidden-layer output error for g(x) 2
a given x be 2 xf
2g (x)
 =  (V T x) (V T x) 1 1
(2.11) + x2f (t) 2 (x(t)) x2f (t ) 2 (x(t ))
2gmin 2gmin
Then the function approximation error can be written as (3.3)
Using
T (V T x) W T (V T x)
W xf
|xf (t )|(x(t ))
= T [(V T x)  (V T x)V T x] + W
W T  (V T x)V T x + du g(x)
(2.12) x2f 1
+ x2f (t ) 2 (x(t )) (3.4)
2g(x) 2g(x)
where (V x) =
 T
diag[1 , 2 , , N ] with and
 n

g(x) 2 gd
xf 2 x2f (3.5)
r = r ( vir xi + v(n+1)r ) 2g 2 (x) 2gmin
i=1
d[r (xr )]  n Lk xf (v +
1 1
[f (x, z) + xf + ])
= xr = vir xi +v(n+1)r
, r = 1, 2, , N, g(x) 2
dxr i=1
1 gd
(2.13) + x2f (t ) 2 (x(t )) + 2 x2f
2g(x) 2gmin
and the residual term du is given by 1 1
+ x2f (t) 2 (x(t)) x2f (t ) 2 (x(t ))
2gmin 2gmin
du = T  (V T x)V T x W T O(V T x)2
W (3.6)
= W T ((V T x) (V T x)) W T  (V T x)V T x As g(x) > gmin , it follows that
T  (V T x)V T x
+W (2.14) 1 1
Lk xf (v + [f (x, z) + xf + ])
g(x) 2
For sigmoid activation function, we have gd 1
+ 2 x2f + |x2f (t)| 2 (x(t))
2gmin 2gmin
|du | T  (V T x)||F + ||W |||| (V T x)V T x||
||V ||F ||xW
gd 1
+|W |1 (2.15) = xf (v + Q(x, z)) + 2 x2f + x2f (t) 2 (x(t))
2gmin 2gmin
(3.7)
III. D ESIRED C ONTROL L AW
where Q(x, z) = 1/g(x)[f (x, z) + 12 xf + ]. Let
We rst consider the case that the nonlinear functions f (x, z) and
1
g(x) are known exactly, and present a desired feedback control law v = K(t)xf Q(x, z) xf (t) 2 (x(t)) (3.8)
which make the closed-loop system asymptotically stable. The fol- 2gmin
lowing lemma provides a desired feedback control law for achieving and choose
the control objective. gd
K(t) = k0 + 2
>0 (3.9)
Lemma 1: For system (2.3) with Assumptions A1-A4 satised, 2gmin
if x L , and the desired continuous Lyapunov-based controller is
where k0 > 0 is a constant. Then,
chosen as
gd gd
Lk xf ((k0 + 2 ))xf + 2 x2f = k0 x2f 0 (3.10)
1 2gmin 2gmin
v = K(t)xf 1/g(x)[f (x, z) + xf + ]
2 Integrating it,
1
xf (t) 2 (x(t)) (3.1)
2gmin k0 x2f ( )d Lk (0) Lk () Lk (0) (3.11)
gd 0
where K(t) = k0 + > 0 with constant k0 > 0, then the
2
2gmin This shows that xf L2 . Since x L , it can be see from (2.4)
closed-loop system is asymptotically stable. that xf L . From Assumption A4, we conclude that z is bounded.
Proof: Further, using the conditions of x, xf L , and the smoothness of
Dene system functions f (), g() and h(), it is obvious from (2.5) that
t xf L . Since xf L2 and xf L , according to Barbalats
1 1 lemma, we conclude that xf 0 as t . Therefore, we have
Lk = x2f /g(x) + x2f ( ) 2 (x( ))d (3.2)
2 2gmin t
limt x = 0.

3426
 IV. N EURAL N ETWORK BASED A DAPTIVE C ONTROL Noting (2.15), (4.5), and using the following inequalities
D ESIGN
T  (V T xz )||F
|xf |||V||F ||xz W T  (V T xz )||2F
kv x2f ||xz W
When f (x, z) and g(x) are unknown, controller (3.8) is not
1
available. We will construct an adaptive controller using NN approx- + ||V ||2F
imation model to achieve the stability of the closed-loop system. 4kv
Consider the Lyapunov function candidate |xf |||W|||| (V T xz )V T xz || kv x2f || (V T xz )V T xz ||2
1 T 1  1 1
L = Lk + W F W + tr(V T G1 V) (4.1) + ||W||2
2 2 4kv
1 1
where F and G are any constant matrices satisfying F = F T > |xf |(|W|1 + N ) kv x2f + (|W|1 + N )2
2 kv
0, G = GT > 0. (4.10)

1 yields
L xf (v + 1/g(x)[f (x, z) + xf + ])
2  2  2
gd 1 L k0 x2f W  V F + C
+ 2 x2f + |x2f (t)| 2 (x(t)) 2 2
2gmin 2gmin 2 2 + V2F ) + C
(xf + W (4.11)
T F 1 W

+W + tr(V T G1 V )
where
gd 1
= xf (v + Q(x, z)) + 2 x2f + x2f (t) 2 (x(t)) 1 1
2gmin 2gmin C = (||V ||2F + ||W||2 ) + (||W ||1 + N )2
4kv kv
+WT F 1 W
 + tr(V T G1 V ) (4.2)
+ (||W||2 + V 2 ) (4.12)
2
Let xz = [xT , z T ]T . Given a compact set xz Rn+m and an error
bound N , let W and V be such that and = min(k0 , 2 ). Dene a compact set:

Q(x, z) = W T (V T xz ) + (xz ) (4.3) , V) 2
= {(xf , W  2 +V2 C }
x +W
f F
(4.13)
with ||(xz )|| N , xz xz , where xz = [xTz , 1]T .
Choose a
controller as 2 + V2F
It can be seen that if x2f + W C

, we have

v(t) = K(t)xf W T (V T (xz ) 1 xf (t) 2 (x(t)) (4.4) C

2gmin 2 + V2F
L (x2f + W )0 (4.14)

and choose
L is negative semidenite out of the compact set. This means that
gd T  (V T xz )||2F
K(t) = k0 +
2
+ kv ||xz W any trajectory of the closed-loop system starting in this compact set
2gmin must always stay inside this set. Thus, xf , W , V are semigloballly
1
+kv || (V T xz )V T xz ||2 + kv (4.5) bounded. Owing to the properties of denition (2.4), the states of the
2 closed-loop system are bounded.
where k0 > 0 and kv > 0 are constants. Now, we are ready to present the following theorem.
Theorem 1: For uncertain nonlinear time-delay system (2.3) with
L xf (K(t)xf + Q(x, z) W T (V T (xz ) Assumptions A1-A4 satised, dene a compact set as (4.13) which
1 gd is a subset of the solution for the closed-loop system composed of
xf (t) 2 (x(t))) + 2 x2f
2gmin 2gmin system (2.3), controller (4.4) and (4.5), adaptive update laws (4.7)
1 and (4.8). Then for any bounded initial conditions, all signals in
+ T F 1 W
x2f (t) 2 (x(t)) + W  + tr(V T G1 V ) the closed-loop system are semi-globally bounded, and the vectors
2gmin , V) remain in the compact set .
(xf , W
= T (V T (xz ))
xf (K(t)xf + W T (V T xz ) + (x) W Remark 3: In this paper, only state feedback control is considered.
gd T F 1 W

+ tr(V T G1 V )
However, with the technique investigated in [14], [15], [26] and [27],
+ 2 x2f + W
2gmin it is not difcult to extend our result to output feedback control.
= T [(V T xz )  (V T xz )V T xz ]
xf (K(t)xf W
V. C ONCLUSIONS
WT  (V T xz )V T xz du + (x))
Combining the feedback linearization technique and the neural
gd T F 1 W 
+ x2f + W + tr(V T G1 V ) (4.6) network based adaptive control technique, in this work, we developed
2gmin a robust adaptive controller design method for a class of nonlinear
The parameter update law is selected as systems with unknown nonlinear functions and unknown time delay
represented by input-output models. Using a three layer feedforward

W = F(V T xz )xf F (V T xz )V T xz xf F W
 (4.7) neural networks to on-line approximate the unknown nonlinear func-
tions, some restrictions, for example, constant control coefcient, in

V = T  (V T xz )xf G V
G xz W (4.8) existing results are removed. The control law is delay independent
and possible controller singularity problem is avoided. It is proved
where > 0 is a real scalar. Then, it can be obtained that that with the proposed control law, all the signals in the closed-loop
gd system are semiglobally bounded in the presence of unknown time
L K(t)x2f du xf + (x)xf + 2 x2f
2gmin delay and unknown nonlinearity.
T W
W  tr(V T V)
ACKNOWLEDGMENT
 2
K(t)x2f (W  W2 ) (V2F V2F ) This work was supported in part by NSFC under Grant 60674037
2 2
gd and 60704042, and the Scientic Research Foundation for the Re-
+ 2 x2f + |xf |(|(x)| + |du |) (4.9)
2gmin turned Overseas Chinese Scholars, State Education Ministry, China.

3427
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