Nonlinear Observers

Chapter 1

Introduction

1. Introduction to Observers
Given a system

with a set of measurements, or outputs y , a typical goal is to control, regulate,

or monitor the dynamics of the system. To achieve this goal, a full knowledge of the internal
state variables of is often desired.
A state estimator, or observer, for

is another system that takes as inputs the measurements y

and provides estimates of the state variables of . Given general dynamical system, the existence
and design of observer is one of the most challenging problems in control theory.

Fig 1 A Schematic state estimator

The first question to be asked before designing an observer for the system is, given the
information available on the system, consisting of the dynamics and the measurements, is it
possible to get a good estimate of the states of the system. The observability property reflects the
necessary condition for the existence of an observer. If the system is observable then it makes
sense to address a second question, the construction of an observer, and then analyzing its
convergence.
For linear systems,

x Ax Bu
y Cx

Luenberger proposed an observer as z Az Bu L( y Cz ) which has a convergent error

dynamics e ( A LC )e if A LC is a Hurwitz matrix. Eigen Values of A LC can be placed
arbitrarily if the pair ( A, C ) is observable [1].
For nonlinear systems, there is no straightforward or general solution to the problem of designing
state estimator, even though the idea of the Luenberger observer may be explored in several
2

ways. Extending the linear observer theory to nonlinear systems has had some success as
exemplified by the extended Kalman filter, but by no means is complete. Instead attempts
continue to be made to design nonlinear observer using tools from nonlinear system theory.
Based on the method used nonlinear observers can be categorized as

Deterministic:
a. Lyapunov Based: e.g. Tau
b. Geometric: Lie algebra based
c. Sliding mode based
Stochastic:
a. Extended Kalman Filter (EKF)

Besides using observer to estimate states for their use in control law; observers have also been
used in fault detection, identification and chaos synchronization.

2. Chaotic Systems and Synchronization

A dynamical system is called chaotic if its evolution sensitivity depends on the initial conditions.
That means the two trajectories emerging from two different but close initial conditions separate
exponentially in the course of time. As a result, chaotic systems intrinsically defy
synchronization, because even two identical systems starting from slightly different initial
conditions would evolve in time in an unsynchronized manner (the difference in the system
states would grow exponentially).
Pecora and carroll [2] (1990) first demonstrated the synchronization of two similar chaotic
systems starting from two different initial conditions. They proposed its possible application in
secure communication. Chaos synchronization may be defined as a process wherein two (or
many) chaotic systems (either similar or dissimilar) adjust a given property of their motion to a
common behavior, due to coupling. The process leading to synchronization depends on the type
of coupling i.e. Unidirectional and Bidirectional. In unidirectional coupling the system is formed
by two subsystems that realize a drive-response (Master-Slave) configuration. This implies that
one subsystem evolves freely and drives the evolution of other. As a result, the response system
acts as slave to follow the dynamics of the drive system. In bidirectional coupling there is
bidirectional flow of coupling signal as a result both systems adjust their behavior and mutual
synchronization behavior is achieved.
As stated earlier, in chaos synchronization the systems adjust some property of their motion to a
common behavior. Depending on the property that achieves common behavior there are different
types of synchronization.
1. Complete Synchronization (CS): It was the first to be discovered and is the simplest form
of synchronization in chaotic systems. CS occurs when the trajectories of two systems get
completely locked and they remain in step with each other in the course of time. This
3

2.
3.

4.
5.
6.
7.

phenomenon was shown to occur when the conditional Lyapunov exponents of the
subsystem to be synchronized are all negative [2].
Generalized Synchronization (GS): In this type of synchronization output of one system
is matched with the given function of the output of the other system [3].
Phase Synchronization (PS): In this type of synchronization locking of phase occurs but
correlation in amplitude remains weak. First this type of synchronization was observed in
Rossler System [4].
Lag Synchronization (LS): LS is a step between CS and PS. The two outputs lock their
phases and amplitude but with a time lag [5].
Anti Synchronization (AS): The two systems get synchronized but the polarity of the
outputs of the slave system is opposite to that of master system [6].
Projective Synchronization: In this type of synchronization the states of Master and Slave
system get synchronized with a scaling factor [7].
Adaptive Synchronization: In real world problem the parameters of the systems are not
known precisely. With this imprecise information it is difficult to synchronize chaotic
systems. In such situations the parameters of the system are estimated adaptively, with
the objective of synchronizing the two systems [8].

3. State of Art in the Proposed Research Area

Literature survey was done under the heads

Nonlinear Observer
Chaos Synchronization
Types of Synchronization
Control Strategies for synchronization
Application of Synchronization in secure communication

The concept of observer was first proposed and developed by Luenberger for linear systems
[9,10]. It was shown that the state vector of a linear system can be reconstructed form
observations of its inputs and outputs. The dynamic order of an observer which observes an n th
order system with m outputs is n m . Hence, when more outputs are available a simpler
observer can be constructed. When the dynamics of a system involves nonlinearities, issues of
observability and observer design present new difficulties or complexities that are absent in
linear problems. For example, in linear systems, the input does not play a role in deciding
observability but a nonlinear system may be observable for some inputs and not so for others.
The concept of observer was extended to nonlinear systems by Thau [11] and Kou [12] using the
concept of high gain observer and Lyapunov stability theory. Lie-algebra approach to nonlinear
observer design was developed primarily by Krener [13] and Zeits [14]. It relies on linear
observer theory, but nonlinear state transformations to convert nonlinear systems to systems
4

where linear theory is applicable. Robert and Arthur analyzed the controllability and
observability of nonlinear system in Lie algebra frame work [15].
Lorenz first identified the subclass of nonlinear systems called chaotic systems, characterized by
sensitive dependence on the initial conditions. Thereafter various chaotic systems were
discovered like Lorentz system, Chua circuit, Rossler system. Pecora and Carroll [2] first
demonstrated the synchronization of two similar chaotic systems starting from two different
initial conditions. They proposed its possible application in secure communication. Secure
communication via chaotic synchronization was experimentally demonstrated using Chua circuit
by Kocarev [16]. Many hyperchaotic systems have also been explored in last two decades. These
hyperchaotic systems are having very rich dynamic behaviour in comparison to the general
chaotic systems as these systems exhibit chaotic attractor with more than one positive Lyapunov
exponent. These systems were introduced by Rossler for the first time [17]. Various different
types of synchronizations, depending on the property that achieves synchronism have been
reported in literature like Complete Synchronization, Phase Synchronization, Lag
Synchronization [2-8] etc.
Synchronization of chaotic systems was introduced in 1990 by Pecora & Carroll [2] using
technique now called PC method and Ott et al. using the method now called OGY closed loop
method [18]. Active control was proposed by Bai and Lonngren [19]. It is considered efficient
technique for chaos synchronization because it can be used to synchronize non-identical systems
efficiently. Yet another technique reported in literature for synchronization is Backstepping. It is
a recursive design technique for a class of systems which are having dynamics in strict feedback
form. The idea of Backstepping is to select recusively some appropriate functions of state
variables as auxiliary control inputs for lower dimension subsystem of the overall system. At
each stage control input is selected so as to make the subsystem stable using Lyapunov function
based stability analysis. This procedure is continued till the last stage and the final Lyapunov
function is formed by summing the Lyapunov functions associated with each design stage. The
idea of backstepping and its extension to adaptive backstepping can be found in [20]. Adaptive
backstepping was developed to design controller for nonlinear systems with uncertainty.
Henk and Iven explored for the first time how the observer notion from linear/nonlinear control
theory links in with synchronization [21]. Observer design for various chaotic systems like Chua,
Duffing and Hyper Chaotic Rossler System was presented. This idea of observer based
synchronization has been explored by many researchers and different observer based schemes
have been discovered like.
i. High gain Observer (HGO) [22,23]: This approach was originally given for linear
system and later extended to nonlinear systems. HGO can quickly reconstruct system
states and robust against uncertainty but are sensitive to noise. Khalil used the switched
gain approach to make observer robust against noise.
ii. Adaptive Observer [24,25]: The Problem of master-slave synchronization of chaotic
systems under parametric uncertainty is addressed using adaptive observers. Persistency
of Excitation (PE) condition if satisfied guaranty the convergence of estimated parameter
values to their true value.
iii. Unknown Input Observer (UIO) [26,27]: UIO were originally designed for linear
systems by Darouach [28] and Chen [29] to address the problem of estimating the states
of the system when input or part of input is not known. This approach has been extended
5

to nonlinear systems in [26,27]. In this work first the synthesis inequalities for a class of
nonlinear systems with unknown inputs have been specified and then the results have
been used to estimate the vehicle lateral velocity on banked roads.
For the system and observer given as under
System Dynamics

x Ax Bu Dv
y Cx

Observer Dynamics

z Nz Ly Gu
x z Ey

x Rn , u Rk , v Rm , y R p
p m, rank D m, rank C p
The conditions for the existence of observer are

1. rank (CD) rank ( D) and

2. the pair (( I EC ) A, C ) is detectable. [28,29]
Condition (1) is called the observer matching condition. The standard result of matching
condition (1) is extended in [34] and sliding mode observer is designed when the matching
condition (1) is not satisfied. For designing Nonlinear Unknown Input Observer (NUIO)
decoupling of unknown input condition has been used in [30-32]. A different approach based on
LMI has been proposed in [33] which dont need to satisfy decoupling condition.
iv.

Sliding Mode Observer: Sliding Mode technique was originally best known for its
potential as a robust control method and evolved from pioneering work in the 1960s in
the former Soviet Union. Other major contributions came from Itkis 1996, Utkin 1977,
1992, Edward and Spurgeon 1998 [35,36].
Advantages of the technique are
a. The closed loop response becomes totally insensitive to a particular class of
uncertainty in the system.
b. The dynamic behavior of the system can be tailored by the particular choice of
switching surface.
Disadvantages
a. Necessity to implement a discontinuous control which must switch with infinite
frequency to provide total rejection of uncertainty.
This discontinuous control action which is perceived as problematic for many control
applications have no disadvantage for software based observer design. One of the early
contributions in sliding mode observer appeared in mid 1980 by Slotine et al. [37].
Walcott et al. (1987) [38] derived conditions which linear system representations must
satisfy before a sliding mode observer providing stable error dynamics can be designed.
Another aspect of sliding mode control was found with the discovery of Higher Order
Sliding Mode (HOSM) control. This method originated in the work of Emelyanov (1986)
[39] and a wind range of second order mode algorithms are now available in literature
[40,41]. In traditional sliding mode design
6

 Sliding variable s(t ) is selected such that the dynamics of the system in the
sliding mode i.e. s(t ) 0 is desirable dynamics.
The control signal (Injection Signal) then acts on s(t ) so as to keep the
trajectories on s(t ) 0 .
In Higher order sliding mode design
Injection acts on higher derivatives of s(t ) .
e.g. in 2nd order sliding mode sliding set is defined by s(t ) s(t ) 0 and injection
acts on s (t ) .
Recently sliding mode observers have found their application in fault detection and
identification (FDI). One of the first article considering the application of sliding mode
observer to the area of fault detection was by Hermans and Zarrop (1996) [42]. In a
different approach by Edward (2000) [43] enabled fault and/or values of immeasurable
system parameters to be reconstructed using the principle of the equivalent injection
signal.
Since Pecora and Carroll proposed the possible application of chaos synchronization in
secure communication, various chaos communication schemes have been reported in
literature. Various Chaotic Modulation schemes like chaos shift keying (CSK),
Differential Chaos Shift Keying (DSK), Additive Chaos Modulation (ACM) or
Multiplicative Chaos Modulation (MCM) can be found in [44].

4. Motivation
As most of the practical systems contain significant nonlinearities, so fitting linear
models to them may lead to inaccurate results and hence poor performance. It led to the
development of nonlinear control strategies and their applications to the nonlinear
systems. Motivating factors to pursue research on Nonlinear Observer Design and
Application to Synchronization may be summarized as
o Chaos synchronization can be used in secure communication.
o Practical systems have uncertainty and noise so we need methods that can
handle uncertainty well.
o Observer based approach are software based (i.e. set of mathematical
equations) so easy to implement on receivers.
o Hyperchaotic/Multiscroll systems can provide better security.

Chapter 2

Proposed Work

From literature survey it is concluded that secure communication has immense potential in
secure communication, as periodicity based attacks can be avoided. Moreover use of
Hyperchaotic/ Multi Scroll systems will further enhance the security, owing to the complex
dynamics of these systems. Observer based technique for chaos synchronization has the
advantage of easy implementation. Thus based on these facts the research objectives have been
framed as under.

1. Problem Statement and Objectives

1. Nonlinear Observer Design
1.1. Continuous time (CT) system
1.1.1. Sliding Mode control based Observer
1.1.2. Differential Mean Value (DMV) Theorem based Observer
1.2. Extension of results to Discrete Time (DT) Systems
2. Unknown Input Observer (UIO)
2.1. Observer design for unknown input case using Sliding Mode Control (SMC) / DMV/
Linear Matrix Inequality (LMI)
3. Observer based Synchronization
3.1. Chaotic System
3.2. Hyper Chaotic/ Multi Scroll System
4. Observer based secure communication
4.1. Chaotic Encryption / Modulation based schemes
4.1.1. Continuous Time System
4.1.2. Discrete Time System

2. Methodology
The methodologies that will be adopted to achieve the above cited objectives are mentioned as
under.
1.1. Nonlinear Observer design for CT system:
Consider the master system as

Master System
x(t ) f ( x(t ), t ),
y (t ) h( x(t ), t )

x(0) x0
p

, t 0

,pn
8

Objective is to find the observer of the form

Observer System
x (t ) f ( x (t ), y (t ), t ),
y (t ) h( x (t ), t )

x (0) x0
p

, t0

for the given Master System such that error between the states of the observer and master system
converges asymptotically.

e(t ) x(t ) x (t )
Lim e(t ) 0
t

There are different methodologies that are adopted to make the error dynamics a convergent
dynamics, and accordingly the observer is designed. One of the method is Sliding Mode control
based observer.
1.1.1. Sliding Mode control based Observer
For sliding mode control based observer consider the master dynamics as

x(t ) f ( x)
(or)
x(t ) Ax(t ) Bf ( x)
where x R n ;
y (t ) Cx(t )

f ( x) : R n R m nonlinear vector function

where C R pn

Sliding mode based observer for the system above will take the form as
x f ( x ) G (Cx y ) Bv

(or)

x Ax (t ) Bf ( x ) G (Cx y ) Bv
G R n p constant design parameter matrix
B R nm ; v R m is control input
v , if i ( x ) 0
vi i
vi , if i ( x ) 0

i 1, 2,..., m

Here objective is to find design matrix G and the control v such that error dynamics converges
asymptotically.

e(t ) x(t ) x (t )
Lim e(t ) 0
t

The design of sliding mode control law can be divided in two phased
1. Construction of suitable sliding surface so that the dynamics of the system
confined to the sliding manifold produces a desired behaviour
2. Design of a discontinuous control law which forces the system trajectory to the
sliding surface and maintain it there.
1.1.2. Differential Mean Value (DMV) Theorem based Observer
DMVT in

: Let f :

. Let a, b be two elements in

We assume that f is differential on Co(a, b) . Then, there is a

c Co(a, b), c a, c b

constant

such

that

f (a) f (b) f (c)(a b)

'

For DMV based observer the Master and Slave dynamics are
given as

Master System

Observer System

x Ax Bf ( x) g ( y, u )
y Cx

x Ax Bf ( x ) g ( y, u ) L( y y )
y Cx

x n,u m, y p
For the Master and Observer dynamics given the error dynamics will be of the form
e ( A LC )e B( f ( x) f ( x)) . Now the DMV will be used on nonlinear function part of the
error dynamics as By DMV there exists z Co( x, x ) s.t . f ( x) f ( x)

f
( z )( x x) . Now the
x

objective of the observer design is to have stable error dynamics.

e(t ) x(t ) x (t )
Lim e(t ) 0
t

1.2 Extension of Results to Discrete Time (DT) Systems

Consider the master dynamics as
x(k 1) Ax(k ) Bf ( x(k )) g ( y(k ), u (k ))
y (k ) Cx(k )
x

,u

, y

10

and the observer dynamics as

x (k 1) Ax (k ) Bf ( x (k )) g ( y(k ), u (k )) L( y(k ) y (k ))
y (k ) Cx (k )
For the given master and observer dynamics the error dynamics will be
e(k 1) ( A LC)e(k ) B( f ( x(k )) f ( x(k )))
Now the objective is to design observer such that the error dynamics comes out to be
asymptotically convergent. For which methodologies like Sliding Mode control for discrete time
system, Differential Mean Value Theorem for discrete systems may be used.
Unknown Input Observer Design
2.1. Using Sliding Mode Observer approach
The concept of observer design given by Leunberger requires the input and output of the
system be known. In many cases input of the system or a part of input is not known. Now to
estimate states of the master system using sliding mode based approach will have the master
the observer and the state error dynamics of the form as under

Master System

Observer System

x Ax Bf ( x) Bu
y Cx
x

; f ( x)

;B

nm

x Ax Bf ( x ) G (Cx y ) Bv( x , y )
y Cx
e ( A GC )e B( f ( x ) f ( x) u ) Bv

u unknown input
Now the design objective is to find G such that ( A GC ) is Hurwitz and control v such that
error dynamics converges to zero asymptotically.

2.2. Using Linear Matrix Inequality (LMI) approach

In LMI based approach for the observer design, some LMI conditions are framed for the
existence of stable convergent observer dynamics. Values of the design matrices are found
satisfying these inequalities. Problem may be formulated as
Master System
x Ax Bu f ( x) Dv
y Cx
v is the unknown input

Observer System
z Nz Gu Ly Mf ( x )
x z Ey

11

Error dynamics may be written as

e(t ) z Mx
Ne ( NM LC MA) x (G MB)u M ( f ( x ) f ( x)) MDv
Now the design objective to find N , G, L & M are to be found such that Lime(t ) 0
t

3. Observer based Synchronization

3.1. Chaotic Systems:
Observer based schemes will be used to synchronize the master system with the observer
system
3.2. Hyper-Chaotic/ Multiscroll System:
Hyper-Chaotic and Multiscroll Systems exhibit more complex dynamics than simple chaotic
system. Observer based scheme will be used to synchronize the system with the observer
system.
4. Observer based Secure Communication
4.1. Chaotic Encryption / Modulation based schemes
4.1.1. Continuous Time System
4.1.2. Discrete Time System
Chaotic Modulation schemes like chaos shift keying (CSK)/ differential chaos shift
keying (DSK)/ additive chaos modulation (ACM) or multiplicative chaos modulation
(MCM) will be explored to implement chaotic communication scheme.

12

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