2014 American Control Conference (ACC)
June 4-6, 2014. Portland, Oregon, USA
Optimal Design of a Transfemoral Prosthesis with
Energy Storage and Regeneration
Rick Rarick, Hanz Richter, Antonie van den Bogert,
Dan Simon, Holly Warner, Taylor Barto
Abstract – We describe the preliminary optimal design of an
electromechanical above-knee active prosthesis with energy
storage and regeneration. A DC motor-generator applies a
positive or negative torque to the knee. The control system
regulates the exchange of energy between the motor-generator
and a supercapacitor. The central idea of the design is
motivated by the mechanics, energy management, and sensor-
based control that constitute human movement. We use
biogeography-based optimization, which is an evolutionary
algorithm, to optimize the system parameters, and we evaluate
its performance with Simulink® models. We optimize three
alternative prosthesis designs. Simulation results indicate that
the prosthesis can be optimized to achieve knee angle tracking
with an RMS error on the order of 0.2 degrees.
I. INTRODUCTION
Transfemoral (above-knee) amputees consume up to 50%
more metabolic energy than able-bodied individuals [1],
despite the fact that amputees have fewer muscles. This
implies large differences in function between prosthetic and
natural limbs, requiring human adaptation that is
energetically costly. Also, mechanical stress is increased in
amputees, leading to overuse injuries and osteoarthritis [2].
Microprocessor knees such as the C-Leg and Rheo Knee
reduce energy cost by less than 5% compared to passive
knees [3]. We suggest that these modern knees do not solve
the energy problem because they are essentially controlled
dampers that cannot generate positive work. Also, these
knees are typically used with a spring-like ankle that does not
provide active push-off. Fully active knees and ankles with
torque motors are becoming available [4], [5], [6], but such
devices consume substantial amounts of power, requiring a
trade-off between battery mass and operating time.
A solution to the energy problem is suggested by
considering power generation and absorption during
walking [7], [8]. The knee and ankle both have phases of
both positive and negative work during gait. During level
walking and slow running, the knee absorbs an amount of
energy greater than that required by the ankle [9]. Therefore,
a well-designed integrated prosthetic limb should be able to
operate without external energy, if it has the ability to
redistribute energy and store energy during periods of
negative work for later use.
This work was supported by Grant 0826124 in the CMMI Division of
the Engineering Directorate of the National Science Foundation, and by the
Wright Center for Sensor Systems Engineering through the state of Ohio.
The authors are with Cleveland State University, Cleveland, OH 44115,
USA. Email addresses [r.rarick, h.richter, a.vandenbogert, d.j.simon,
h.warner, t.a.barto]@csuohio.edu. Rick Rarick is the corresponding author.
978-1-4799-3271-9/$31.00 ©2014 AACC
Energy regeneration is a phrase used to describe the
storage and reuse of energy in a system. Batteries have been
the traditional means for energy storage since regeneration
became common in electric vehicles. When batteries and
associated electronics are used, storage efficiencies are
typically close to 20% [10]. Manufacturers still implement
regeneration despite this low efficiency. This is due to the
large levels of kinetic energy involved in electric vehicles.
Despite improvements in battery energy density and
internal resistance, regeneration based on batteries alone a
less practical value as power levels decrease. The rate at
which mechanical energy must be transferred for effective
deceleration is higher than the rate at which batteries can
store energy; that is, batteries have insufficient power storage
densities. Power conversion is traditionally handled by
electronics that dissipate energy as heat. At small power
levels, the net energy that can be stored may be too small to
justify the complexity and cost of regeneration.
On the other hand, supercapacitors have power transfer
characteristics opposite that of batteries: they store small
amounts of energy at fast rates. They have small energy
densities but large power densities. Also, supercapacitors are
light weight, low cost, and have an almost indefinite lifespan.
Energy regeneration in our research is inspired by
regeneration involving batteries and supercapacitors in
electric vehicles, where regeneration efficiencies greater than
80% have been shown [11], [12].
The few reported attempts at regeneration in a
transfemoral prosthesis were confined to traditional battery
and pulse-width converter configuration [13], [14]. Small
efficiencies (18% for the former, 30% for the latter) were
achieved in practice. Based on the much higher efficiencies
obtained in the automobile industry using supercapacitors, we
have applied biogeography-based optimization (BBO), a type
of evolutionary algorithm, to the design of a prosthesis which
implements energy regeneration using a supercapacitor.
The goal of our research is to use BBO to optimize design
parameters to achieve knee angle tracking (compared to able-
bodied reference data) when the knee torque is applied to the
generator to charge the capacitor; that is, when the knee
performs negative work. We describe three approaches to this
design goal: (1) the knee torque is coupled to the generator
via a gearset, and the generator is coupled to the capacitor via
an ideal DC transformer; (2) the DC transformer is replaced
by an H-bridge voltage source converter; (3) the gearset is
replaced by a ball screw and ball nut coupled to a linkage.
Note that other design approaches are possible and may be
considered in future work, but our work in this paper is
limited to these three designs.
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 II. PROBLEM STATEMENT substituted for the ideal DC transformer in Figure 3 to
Figure 1 shows human knee angle data obtained from human provide a simulation that is similar to the electronics that will
motion studies [15]. The goal of the prosthesis design is to be used in a hardware prototype. The gearset driving the
replicate this knee angle trajectory as closely as possible. generator remains the same as in Figure 3.
Figure 2 shows the profile of the knee power for the same set
of data. BBO was used to optimize design parameters to
minimize the RMS tracking error of the knee angle, but only
in the K1 generating region. In the following subsections, we
summarize the three prosthesis designs mentioned above.

Figure 3: Electromechanical prosthetic system schematic. The input is

Figure 1: Human knee angle data for one stride (fast walk). The heel- the knee angle torque M K which we obtained from clinical data.
strike (HS) and toe-off (TO) points are indicated, as well as the flexion
(F) and extension (E) regions. JG : gear train inertia (kg-m 2 )
300 JM : motor train inertia (kg-m 2 )
TS : spring torque (N-m)
200
TA : armature shaft torque (N-m)
Knee Power (W)

100 e: DC machine back-emf (V)

0 a: motor constant (N-m/A)
RA : armature resistance (Ω)
-100
C: capacitance (F)
-200 LA : armature inductance (H)
-300
K0 K1 K2 K3 K4 K5 K6 K7 K8 iA : armature current (A)
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 iC : capacitor current (A)
Time (s)
Figure 2: Knee Power – The negative power regions (K1, K3, K5, K7) u: ideal transformer ratio
are regions where power is delivered to the generator (generating
mode). The positive regions are those in which power is produced by Figure 4: The parameters in the prosthetic system of Figure 3
the motor (motoring mode).
 M K − TS − nTA = ( J G + n 2 J M ) φK
A. Ideal DC Transformer with gearset transmission. Mechanical: 
The first design that we consider uses a simplified ideal  TS = KφK
DC transformer (power converter) as an initial feasibility  e − RAi A − LA ( di A / dt ) − vT =
0
study for our research. A schematic for this design is shown Electrical: 
in Figure 3, the definitions of the physical parameters are  iC = C ( diC / dt )
listed in Figure 4, and the dynamic equations in Figure 5.  v = uvC
DC Transformer:  T
A torsion spring connected to the shaft stores or releases  iC = ui A
mechanical energy. The output shaft of the transmission
applies a torque TA to the armature of the generator, and the  e = anφK
Electromechanical: 
generator produces a terminal voltage vT across the input of TA = ai A
the transformer, which causes the capacitor to charge. BBO Figure 5: The dynamic equations for the system in Figure 3. BBO is
used to optimize n, C, K, u, and q c0 (the initial charge of the capacitor.)
optimizes n, C, K, u, and q c0 (initial charge). We assume u is
constant for simplicity, but in practice there is no need for
The H-bridge operates in four modes: motoring
such an assumption; future work will consider time-varying
plus/minus and generating plus/minus, where the plus and
transformer ratios. Note that initial charge at the beginning of
minus indicate the direction of machine rotation. When the
each stride can be set by an auxiliary controller
bridge is operating in the motoring mode, a pulse-width
B. H-bridge voltage source converter modulation (PWM) signal switches the bridge so that either
We now replace the ideal DC transformer of Figure 3 the motor current is flowing from the capacitor into the motor
with a more realistic H-bridge voltage source converter. or the motor terminals are shorted to provide damping.
Figure 6 shows a schematic for the converter design, which is
based on [14]. The H-bridge (inside the dashed block) can be

4109

Figure 6: The prosthetic system of Figure 3 with the ideal DC
transformer replaced by an H-bridge voltage source converter. The
gearset coupled to the DC machine is not shown here.
When the converter is operating in the generating mode,
the PWM signal is used to control the voltage across the
capacitor by modulating the pulse width. The knee angle
tracking error e(t ) is input to a proportional-integral-
derivative (PID) controller which controls the duty cycle
u (t ) through the following equation:
(MBSN) linkage assembly is more compact, and such
designs are typically used in commercial prostheses. For
clarity, the MSBN assembly is shown displaced from its true
position; in the actual device it is inserted in place of the b-
link. The length of the b-link changes as the screw rotates. In
the generating mode, knee torque back-drives the ball screw
and hence the generator.
The dynamics of this system can be represented by a
bond graph [16] as shown in Figure 8. This figure completely
replaces Figure 3 when the screw assembly is used. The mass
of the motor is m, and l is the lead (pitch) of the screw. The
symbol TF represents a generalized transformer, which is
analogous to an electrical AC transformer. The first TF in the
bond graph represents the ball/screw/nut assembly with ratio
l. The second TF represents the DC transformer of Figure 3
with ratio u. The symbol MTF represents a modulated
transformer with variable ratio. In the bond graph MTF
represents the linkage which couples the angle θ 2 to the
length of the b-link though the variable ratio G (b) =
dθ 2 / db, which is nonlinear. The symbol GY represents a
generalized gyrator, which is the motor/generator in the
prosthesis with generator constant a.

∆u(t )= k p e(t ) + ki ∫ e(t )dt + kd e(t )

(t ) φKref − φK , φKref (t ) is the reference knee angle,

where e=
φK (t ) is the knee angle, and k p , ki , and kd are the PID gains.
If the converter is in the motoring plus/minus mode,
1) u( k ) ± ∆u( k ), where k is the discrete sample time
u( k +=
in Simulink. The formula is the same in the generating plus-
minus mode, except that the ± is replaced by  .
The H-bridge design uses the same mechanical and
electromechanical equations as the ideal DC transformer
configuration in Section II(A), except that in place of the
electrical and DC transformer equations, there are two
electrical equations that depend on which mode the converter
is in. When the prosthesis is in the generating-plus mode, one
of the following voltage loop equations is used depending on
the state of the PWM signal:
Charging: e − vLa − vRa − vD1 − vC − vQ 4 =
0 Figure 7: Assembly for coupling the knee torque to the motor-
Shorted: e − vLa − vRa − vQ 2 − vQ 4 =
0 generator which is used instead of the rotary actuator in Figure 3. The
motor, ball screw, and ball nut assembly (MBSN) is shown displaced
from its true position in place of the b-link. Dimensions c, d, e, γ, and � L
The loop equations for the generating-minus mode are are constant, and the diagram is not to scale.
determined similarly. The generating plus/minus modes
determine which MOSFETS have current flowing through
them, and the path of current flow required to maintain
generation. BBO is used to optimize n, C, K, q c0 , R Q2 , R Q4 ,
k p , k i , and k d , where R Q2 and R Q4 are the resistances of the
Figure 8: A bond graph of the prosthetic system using the MBSN
transistors. linkage assembly.
C. Ball screw and nut coupled to a linkage mechanism.
Knee torque M K enters the prosthetic system at the left
An alternative design to the rotary actuator (gearset and
DC machine) in Figure 3 is the assembly shown in Figure 7. of Figure 8 and is converted via the first transformer (the
The rotary actuator is replaced by a motor, ball screw, ball nonlinear linkage) to a force which is applied to the second
nut, and connecting linkage, which might be more easily transformer (the ball screw). The force applied to the ball
integrated in a prosthetic leg. A motor/ball/screw/nut screw is converted to a generator torque which supplies

4110
power to the electrical system. The electrical system includes
resistance RA , the DC transformer, and capacitor C.
The parameters in Figure 8 are either physical constants
or known inputs except for G, which is a varying transformer
ratio governed by the crank-slider geometry. To calculate G,
a kinematic analysis of the mechanism was performed by
defining the associated loop equations and a geometric
constraint equation to yield the following system of
equations:
e cos θ 2 − b cos θ 3 − c cos θ 4 − d = 0
e sin θ 2 −  sin
b θ 3 −  sin
c θ4 =
0 solution. The goal of BBO, then, is to determine the solutions
θ3 − θ4 − γ =0
Solving these three equations for 𝜃2 in terms of 𝑏 and
differentiating with respect to 𝑏 yields an equation expressing
the transformer ratio G between the rotational motion of the
knee and the linear extension of the ball screw.
1 island is selected probabilistically using roulette wheel
 b + c cos (γ )  2
dθ 2  
G = 
= 
d −
db  e  1
( 2 2
−e + b + 2b   cos
c ( γ )+c −d ) 
2 2 2 

  4 e 2 d 2 
  
The knee angle 𝜑𝐾 in Figure 7 is directly related to θ 2
through a constant design angle 𝜑𝐿 , defined by the geometry
of the link which attaches to the thigh. This relationship is
described by the equation ϕ K =π − ϕ L − θ 2 . BBO is used to
optimize C, K, u, e, c, d, γ , and 𝜑𝐿 for the ball screw design.
III. BIOGEOGRAPHY-BASED OPTIMIZATION
Biogeography-based optimization is an evolutionary
algorithm that is based on the mathematics of biogeography –
the study of the migration, extinction, and distribution of
species [17], [18]. In BBO, candidate problem solutions are
represented as islands (also called habitats), and the sharing
of features (independent variables) between candidate
solutions is represented as migration between islands.
Species of plants and animals migrate between islands by
various means, such as being carried along by driftwood,
fish, birds, and the wind. Over long periods of time, some
islands tend to accumulate more species than others because
they possess certain features that are more suitable. This
ability to sustain larger numbers of species can be associated
with a fitness measure that we can quantify with a habitat
suitability index (HSI). The value of HSI depends on many
features of the island. If a value is assigned to each feature,
then the HSI is a function of these values. Each of these
values is represented by a suitability index variable (SIV).
These mappings are summarized as follows:
Island  ( feature1 ,  ,featuren )  ( SIV1 ,  , SIVn )  HSI
An island with a large number of species (a large HSI)
has an abundance of species which can emigrate to other
islands, so its rate of emigration, µ , is correspondingly large.
The island is also less likely to be able to sustain further
immigration because of the growing demand on its resources,
so its immigration rate, λ , is small. For many applications it
4111
suffices to assume a linear relationship between an island's
HSI and its migration rates, and to assume that these rates are
the same for all islands under consideration (the BBO
population).
In order to apply BBO to an optimization problem, the n-
tuple ( SIV1 ,  , SIVn ) associated with the features of an
island is viewed as a candidate solution to the optimization
problem. In other words, the set of all such n-tuples is the
search space from which an optimal solution will be
determined. The value of HSI for a particular island is viewed
as the objective function value associated with that candidate
which maximize HSI over the entire search space.
We use the migration rates of each candidate solution to
probabilistically share features between islands. For each SIV
(feature) in each island (candidate solution), we
probabilistically decide whether or not to immigrate. If
immigration is selected for a given SIV, then the emigrating
selection [19] based on µ. After migration, mutation is
applied to increase diversity in the population. Mutation is
probabilistically applied to each feature in each island for
every generation. Figure 9 summarizes this algorithm. We
use yk ( s ) to denote the s-th feature of the k-th island in
population y. Migration and mutation of the entire population
take place before any of the candidate solutions are replaced,
which requires the use of temporary population z in Figure 9.
Initialize a population { yk } of candidate solutions
While not (termination criterion)
{zk } ← { y k }
For each island zk
For each SIV s
Use λ k to decide whether to immigrate to zk ( s )
If immigrating to zk ( s ) then
Use µ to select the emigrating island y j
zk ( s ) ← y j ( s )
End if
Probabilistically decide whether to mutate zk ( s )
Next SIV : s ← s + 1
Next island: k ← k + 1
{ y k } ← {zk }
Next generation
Figure 9: Biogeography-based optimization algorithm.
The best individuals from each generation are called
elites, and a certain number of them are saved and inserted
into the population in the next generation. The number of
elites is a BBO tuning parameter, as are the mutation rate, the
size of the population, and the number of generations.
We calculate the cost of the i-th candidate prosthesis
design in the BBO population with the following equation:
2
( BBO cost )i = ∫K 1 φKref (t ) − φKi (t )  dt
φKi (t ) is the knee angle trajectory that results from simulating
BBO’s i-th candidate prosthesis design. We re-order the N
prosthesis designs from highest cost ( i = 1) to lowest cost
(i = N ), and calculate the migration rate of each design from
the design’s HSI. The independent variable set optimized by
BBO is different for each of the designs, as discussed in the that the H-bridge design starts with the highest cost at the
following section. 0-th generation. This indicates that a realistic converter
results in a system that is more difficult to optimize. Figure
IV. SIMULATIONS AND RESULTS 13 also shows that the ball screw design took the longest time
The BBO algorithm was applied to the three design to converge, which is another indication that the ball screw
variations discussed in Section II. The physical constants design is more difficult to optimize.
used for the simulations (Figure 10) are taken from a
commercially available Maxon motor [20] except for the ball
screw lead which was chosen to be a typical value.
a = 0.054 (N-m) motor constant
=RA 0.0821 (Ω) armature resistance
LA = 3.08 × 10−5 (H) armature inductance
J m = 1.29 × 10−4 (kg-m 2 ) motor train inertia
J g = 0.088 × 10−4 (kg-m 2 ) gear train inertia
m = 2.1 (kg) mass of motor
Figure 11: Tracking results for the ideal DC transformer design (A) in
l = 2.0 (mm/rev) screw lead the K1 generating region. The plots for the other designs are similar.

Figure 10: Physical constants used for the simulations.

All of the BBO simulations used a mutation probability of

0.02, and two elites. The BBO population sizes are 50 for the
DC transformer design, 25 for the H-bridge design, and 50
for the ball screw design. A summary of the BBO results is
given in Table 1.
Table 1: BBO Simulation Results Figure 12: The capacitor charge is increasing during the K1 generating
region for the ball screw design (C) indicating energy storage.
Electrical Mechanical Optimized Parameter
Design Design Parameter Value
A Ideal DC Rotary Gearset n 72
Transformer C 193 (F)
K 51 (N-m)
(RMS Tracking U 68
Error = 0.14 deg) q C0 55 (C)
B H-Bridge Voltage Rotary Gearset n 98
Source Converter C 409 (F)
K 1.0 (N-m)
(RMS Tracking q C0 35 (C)
Error = 0.19 deg) R Q2 1.0 (Ω)
R Q4 7.0 (Ω)
kp 662
ki 934
kd 349
C C. Ideal DC Ball Screw & C 6.3 (F)
Transformer Linkage K 20.1 (N-m)
u 198
(RMS Tracking e 0.4139 (m)
Error = 0.30 deg) c 0.4712 (m)
d 0.4080 (m)
γ 2.782
φL 2.088
Figure 13: BBO cost results for the three designs in the K1 region.
Table 1 shows that all three designs provided good knee
angle tracking, but the ball screw design resulted in an RMS V. CONCLUSION AND FUTURE WORK
error that was twice as large as the other two designs. The We have proposed and simulated an electromechanical,
nonlinearity of the ball screw system might make it more regenerative, above-knee prosthesis. We have considered
difficult to optimize. three approaches to the prosthesis design. The first approach
The tracking results for the ideal DC transformer design uses a rotary gear to drive the knee joint, and an ideal DC
(A) are displayed in Figure 11. The tracking plots for the transformer to charge a super-capacitor; this approach
other designs are similar. Energy storage during the K1 includes five design parameters. The second approach uses a
generating region for the ball screw design (C) is indicated by rotary gear and a realistic voltage source converter to charge
the increasing capacitor charge in Figure 12. The the super-capacitor; this approach includes nine design
convergence of BBO is shown in Figure 13, which shows parameters. The third approach uses a ball screw and linkage

4112
to drive the knee joint, and an ideal DC transformer; this
approach includes eight design parameters. In each case we
used biogeography-based optimization (BBO) to optimize the
system design for the first power generation region of the
stride, which occurs near the beginning of stance phase. BBO
successfully optimizes the prosthesis parameters to provide
RMS tracking errors on the order of 0.2 degrees.
This research has opened the way to many possibilities
for future work. First, we need to optimize the system design
over the remaining regions of gait. Some system parameters
are constant over the entire stride, but other parameters could
vary from one region to the next. For instance, the spring
constant cannot change during the amputee’s stride, but we
could vary the total capacitance during the amputee’s stride
by switching capacitors in and out of the circuit.
Another direction for future research is to design the
electronics and the control algorithms for the motoring
regions of the stride. After that task is done, the system will
need to be optimized again for the generating regions because
the system’s operation during the motoring regions affects
the initial conditions of the generating regions, and vice
versa.
Another direction for future research is to optimize the
prosthesis design using multi-objective optimization (MOO)
algorithms. The multiple objectives could include not only
knee angle tracking, but also objectives such as energy
efficiency, system cost, system complexity, compatibility
with off-the-shelf components, robustness, and others. Many
evolutionary algorithms, including BBO, have already been
applied to MOO [18], so the extension of our research to
MOO is a natural direction for future work.
Another direction for future research is to add
components to the model in this paper to make it more
flexible and realistic. These components include one or more
battery storage elements, switched capacitor banks, and
realistic feedback sensors. After completing system
optimization for the prosthetic knee, our next research goal
will be to integrate the prosthesis with human kinetic and
kinematic models, and repeat the system optimization process
with those additional constraints. The next goal will be to
include an electromechanical model for a prosthetic ankle.
Since the knee is a net absorber of energy and the ankle is a
net consumer of energy [7], our integrated knee/ankle
prosthesis will be designed to achieve net energy transfer
from the knee to the ankle while emulating able-bodied gait
kinematics.
Finally, the prosthesis design that results from this
ongoing research will be manufactured as a prototype and
tested with Cleveland State University’s hip robot [21] to
confirm its feasibility as a commercializable system. The
testing will use a semi-active virtual control method with
regenerative energy-storage joints [22]. The control approach
consists of three steps. First, a virtual control design is
conducted by any suitable means, assuming a fully actuated
system. Second, virtual control inputs are matched by a
parameter modulation law. Third, the storage dynamics are
shaped using design parameters. The storage dynamics
coincide with the system’s internal dynamics under exact
virtual control matching.
4113
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