State of Art

Nonlinear Observer Design and Applications to

Synchronization

1.
2.
3.
4.
5.
6.

Area of Research
Overview of literature
Motivation
Objectives
Work done so far
References

Area of Research
Nonlinear Observer Design and Applications
to Synchronization

Overview of Literature
1.
2.
3.
4.
5.

Introduction to Nonlinear Observer

Introduction to Chaos Synchronization
Types of Synchronization
Control Strategies for Synchronization
Application of Synchronization in secure
communication.

1. Introduction to Nonlinear Observer

The concept of observer was first proposed and
developed by Luenberger for linear systems [1,2].
The work was extended to nonlinear systems by Kuo [3]
Tau [4], and Raghavan.
The work of Robert and Arthur analyzed the
controllability and observability of Nonlinear system in
Lie algebra frame work [5].
Literature Review

2. Introduction to Chaos Synchronization

Pecora and carroll [6] (1990) 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 [7] 1992.
Circuit implementation of chaotic Lorenz system was
done and two schemes of secure communication were
presented [8] (1993).
Literature Review

2. Introduction to Chaos Synchronization

Further the work was extended to see receiver Lorentz
system as observer and the performance was compared
with EKF (Extended Kalman Filter).
Classification based on Coupling
Unidirectional Coupling: A global system is formed by two
subsystems that realize Drive Response configuration. That
means one system evolves freely and drives the evolution of
other.
Bidirectional Coupling: In this there is bidirectional flow of
coupling signal.

Literature Review

3. Types of Synchronization
Complete Synchronization (CS): It was the first to be
discovered in Chaotic Systems [6]. In this state
trajectories are perfectly matched.
Generalized Synchronization (GS): Output of one system
is matched with the given function of the output of the
other system [9].
Phase Synchronization (PS): In this type of
synchronization locking of phase occurs but correlation in
amplitude remains weak. First this type of
synchronization was observered in Rossler System [10].
Literature Review

3. Types of Synchronization
Lag Synchronization (LS): LS is a step between CS and PS.
The two outputs lock their phases and amplitude but
with a time lag [11].
Anti Synchronization (AS): Synchronization occur with
opposite polarity [12].
Projective Synchronization: States get synchronized with
a scaling factor [13].
Adaptive Synchronization: Parameters of the system are
estimated adaptively to be used in the control law [14].

Literature Review

4. Control Strategies for Synchronization

Synchronization of chaotic systems was introduced in
1990 by Pecora & Carroll [6] using technique now called
PC method and Ott et al. using the method now called
OGY closed loop method [15].
Active Control:
Chaos Synchronization using Active Control was proposed by Bai
and Lonngren [16,17]. It is considered efficient technique for
chaos synchronization because it can be used to synchronize
non-identical systems efficiently.

Literature Review

4. Control Strategies for Synchronization

Backstepping Control:
Backstepping was originally used as building block for adaptive
control of chaotic system [17].
Backstepping techniques has been used recently for chaos
synchronization [18,19].

Observer Based Strategies:

Henk and Iven explored for the first time how the observer
notion from linear/nonlinear control theory links in with
synchronization [20]. Observer design for various chaotic
systems like Chua, Duffing and Hyper Chaotic Rossler System
was presented.

Literature Review

4. Control Strategies for Synchronization

This idea of observer based synchronization was explored by
many researchers and different observer based schemes were
discovered like.
a.

b.

High gain Observer [21,22]: 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.
Adaptive Observer [23,24]: The Problem of master-slave
synchronization of chaotic systems under parametric uncertainty
was addressed. Persistency of Excitation (PE) condition is also
considered.

Literature Review

4. Control Strategies for Synchronization

c.

Unknown Input Observer (UIO) [25, 26]: UIO were originally

designed for linear systems by Darouach [29] and Chen [30].
This approach has been extended to nonlinear systems in
[25,26].
System Dynamics
x Ax Bu Dv
y Cx
x Rn , u Rk , v Rm , y R p

Observer Dynamics
z Nz Ly Gu
x z Ey

p m, rank D m, rank C p

The condition for the existence of observer are

1. rank (CD) rank ( D) and
2. the pair (( I EC ) A, C ) is detectable. [29,30]

Literature Review

4. Control Strategies for Synchronization

Condition (1) is called the observer matching condition. The
standard result of matching condition (1) are extended in [35]
and sliding mode observer is designed when the matching
condition (1) is not satisfied.
For designing Nonlinear UIO (NUIO) decoupling of unknown
input condition has been used in [31-33]. A different approach
based on LMI has been proposed in *34+ which dont need to
satisfy decoupling condition.

Literature Review

4. Control Strategies for Synchronization

d.

1.
2.

1.

Sliding Mode Observer [22]:

Sliding Mode Techniques were originally best known for their
potential as a robust control method and evolved from pioneering
work in the 1960s in the former Soviet Union (Itkis 1996, Utkin
1977, 1992, Edward and Spurgeon 1998) [36-37].
Advantages
The dynamic behavior of the system may be tailored by the
particular choice of the switching function.
The closed loop response becomes totally insensitive to a
particular class of uncertainty in the system.
Disadvantage
Necessity to implement a discontinuous control which must switch
with infinite frequency to provide total rejection of uncertainty.

Literature Review

4. Control Strategies for Synchronization

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 contribution in sliding mode observer

appeared in mid 1980 by Slotine et al [38]. In his work, the output
errors are fed back in both linear and discontinuous manner for
nonlinear systems in companion form with the objective of ensuring
that the sliding patch is maximized.

Walcott et al. (1987) [39] derived conditions which linear

system representations must satisfy before a sliding mode observer
providing stable error dynamics can be designed. In their work four
observer design techniques were reviewed and sliding mode observer
was found to give best performance.

Literature Review

4. Control Strategies for Synchronization

Higher Order Sliding Mode (HOSM) methods originated in the work of
Emelyanov (1986) *40+ and a wide range of second-order mode
algorithms are now available in literature [41-42].
In traditional sliding mode design
sliding variable s (t ) is selected such that the dynamics of the system in
the sliding mode i.e. on 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 )
Provides a mechanism to circumvent the structural conditions on the
classical sliding mode observer [43-44]

Literature Review

4. Control Strategies for Synchronization

Sliding Mode Observer for Fault Detection and Identification (FDI):
Sliding mode techniques have found wide application in the area of
fault detection and Identification.
One of the first articles considering the application of sliding mode
observer to the area of fault detection was by Hermans and Zarrop
(1996) [45].
In a different approach by Edward (2000) enabled fault and/or
values of immeasurable system parameters to be reconstructed
using the principle of the equivalent injection signal.

Literature Review

5. Application of Synchronization
secure communication

in

Various Chaotic Modulation schemes like chaos shift keying (CSK)/

differential chaos shift keying (DSK)/ additive chaos modulation (ACM) or
multiplicative chaos modulation (MCM) have been reported in literature
[46].

Literature Review

Motivation
1. Chaos synchronization can be used in secure communication.
2. Practical systems have uncertainty and noise so we need methods
that can handle uncertainty well.
3. Observer based approach are software based so easy to
implement on receivers.
4. Hyperchaotic/Multiscroll systems can provide better security.

Objectives
1. Nonlinear Observer Design
a. Continuous Time System
I. Sliding Mode Control based Observer
II. DMV Theorem based observer

b. Discrete Time System

I. Sliding Mode Control based Observer
II. DMV Theorem based observer

2. Unknown Input Observer

a. SMC / DMV/ LMI based Observer

Objectives
3. Observer based Synchronization
a. Chaotic
b. Hyper-Chaotic/ Multiscroll System

4. Observer based Secure Communication

a. Chaotic Encryption/Modulation based schemes
i. Continuous Time (CT) Systems
ii. Discrete Time (DT) Systems

Objectives

Methodologies for Proposed Objectives

1. Nonlinear Observer Design
a.

Continuous Time System

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

x (0) x0
p

, t0

,pn

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

x (0) x0
p

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

Objectives

, t 0

Methodologies for Proposed Objectives

1. Nonlinear Observer Design (CT)
a.

I.

Sliding Mode Control

Robust Sliding Mode Observer

x f ( x ) G (Cx y ) Bv

x(t ) f ( x)
x(t ) Ax(t ) Bf ( x)

x Ax (t ) Bf ( x ) G (Cx y ) Bv
G R n p constant design parameter matrix

where x R n

B R nm ; v R m is control input

f ( x) : R n R m nonlinear vector
function
y (t ) Cx(t )

vi , if i ( x ) 0
vi
vi , if i ( x ) 0

i 1, 2,..., m

where C R pn
e(t ) x(t ) x (t )
Lim e(t ) 0
t

Objectives

Methodologies for Proposed Objectives

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.

Objectives

Methodologies for Proposed Objectives

1. Nonlinear Observer Design (CT)
a.

II.

Differential Mean Value (DMV) Theorem based approach

DMVT in

: Let f :

. Let a, b be two elements in

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

constant c Co(a, b), c a, c b such that
f (a) f (b) f ' (c)(a b)

Objectives

Methodologies for Proposed Objectives

1. Nonlinear Observer Design (CT)
a.

II.

Differential Mean Value (DMV) Theorem based approach

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

,u

, y

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

e ( A LC )e B( f ( x) f ( x ))
By DMVT there exists z Co( x, x ) s.t .
f ( x) f ( x )

f
( z )( x x )
x

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

Objectives

Methodologies for Proposed Objectives

1. Nonlinear Observer Design (DT)
b.

I.

Sliding Mode Control

x(k 1) f ( x(k ))

Robust Sliding Mode Observer

x (k 1) f ( x (k )) G (Cx (k ) y (k )) Bv

where x R n

G R n p constant design parameter matrix

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

B R nm ; v R m is control input

y (k ) Cx(k )

vi , if i ( x ) 0
vi
vi , if i ( x ) 0

i 1, 2,..., m

where C R pn
e(t ) x(t ) x (t )
Lim e(t ) 0
t

Objectives

Methodologies for Proposed Objectives

1. Nonlinear Observer Design (DT)
b.

II.

Differential Mean Value (DMV) Theorem based approach

x(k 1) Ax(k ) Bf ( x(k )) g ( y (k ), u (k ))

y (k ) Cx(k )
x

,u

, y

x (k 1) Ax (k ) Bf ( x (k )) g ( y (k ), u (k )) L( y (k ) y (k ))
y (k ) Cx (k )
e(k 1) ( A LC )e(k ) B( f ( x(k )) f ( x (k )))
By DMVT there exists z Co( x, x ) s.t .
f ( x(k )) f ( x (k ))

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

f
( z (k ))e(k )
x

Objectives

Methodologies for Proposed Objectives

2. Unknown Input Observer Design
a.

I.

Sliding Mode approach

Master System

Observer System

x Ax Bf ( x) Bu
y Cx

x Ax Bf ( x ) G (Cx y ) Bv( x, y )
y Cx

; f ( x)

;B

u unknown input

nm

e ( A GC )e B( f ( x ) f ( x) u ) Bv

Find G such that ( A GC ) is hurwitz and

control v such that
e(t ) x(t ) x (t )
Lim e(t ) 0
t

Objectives

Methodologies for Proposed Objectives

2. Unknown Input Observer Design
a. II. LMI approach
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

e(t ) x x
z x Ey z ( I EC ) x
z Mx

e(t ) z Mx
Ne ( NM LC MA) x (G MB)u M ( f ( x ) f ( x)) MDv
N , G, L & M are to be found s.t.
Lim e(t ) 0
t

Objectives

Methodologies for Proposed Objectives

3. Observer based Synchronization
a.

b.

Chaotic:
Observer based scheme will be used to synchronize the system with
the observer system.
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.

Objectives

Methodologies for Proposed Objectives

4. Observer based Secure Communication
a. Chaotic Encryption based schemes
i. Continuous Time (CT) Systems
ii. Discrete Time (DT) Systems
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.

Objectives

Work Done
1. Sliding Mode Observer Design
2. LMI based Unknown Input Observer Design

Work Done

Sliding Mode Observer Design

Master System
x(t ) Ax(t ) Bf ( x) (t , x)

Observer
...(1) y (t ) Cx(t ) where C R pn

where x R n ; A R nn ; B R nm
f ( x) : R n R m nonlinear vector
function

(t , x) : R R n R n denotes system
uncertainties
f ( x) r1

(t , x) B (t , x)

y (t ) R p , p m
Robust Sliding Mode Observer
x Ax (t ) Bf ( x ) G (Cx y ) Bv ...(2)
G R n1 constant design parameter matrix
v( x , y ) R m is control input
e(t ) A0e(t ) B( f ( x ) f ( x) (t , x)) Bv ...(3)
where A0 A GC

(t , x) r2

Work Done

Sliding Mode Observer Design

Sliding Surface is designed as
s Me FCe Fey F (Cx y )

...(4)

M R mn , F R m p
e [e1T e2T ] e1 R m , e2 R n m
A011 A012
B1
A0
B

0
A021 A022
e1 (t ) A011e1 (t ) A012e2 (t ) B1 ( f ( x ) f ( x) (t , x)) B1v ...(5a )
e2 (t ) A021e1 (t ) A022e2 (t )

...(5b )

So s can be rewritten as
s M 1e1 M 2e2

...(6)

M 1 R mm , M 2 R m( n m )

Work Done

Sliding Mode Observer Design

Theorem: If the sliding mode manifold s (t ) is chosen as (4)
and the controller is designed as follows
v vl vn

...(7a)

vl f ( x )

...(7b)

( sT MB)T
vn T
(r1 r2 ) ...(7c)
s MB

Then master system (1) and slave system (2) get

synchronized
Work Done

Sliding Mode Observer Design

Proof: consider the Lyapunov function
1 T
1
1 T T
T
V (t ) s s ( Me) Me e M Me
2
2
2
the derivative of V (t ) along the error system (3) is
V (t ) sT s eT M T Me
= eT M T M ( A0e B ( f ( x ) f ( x) (t , x)) Bv)
= eT (( M T MA0 A0T M T M ) / 2)e
sT MBf ( x ) sT MBf ( x) sT MB (t , x) sT MBv
1
As ( M T MA0 A0T M T M )
2
max ( As ) 0
...(c1)

Work Done

Sliding Mode Observer Design

V (t ) sT MBf ( x ) sT MBf ( x) sT MB (t , x) sT MBv
V (t ) sT MBf ( x) sT MB (t , x) sT MBvn
V (t ) MB s
V (t ) sT s s 0
The error system (3) will reach s 0 in finite time
tr s (0) /
on the surface s 0 error dynamics will be
s Me M 1e1 M 2e2 0
e1 M 11M 2e2
e2 (t ) ( A022 A021M 11M 2 )e2 AM e2 (t )
Design M s.t. AM is hurwitz

...(c2)

Work Done

Sliding Mode Observer Design

Fig 1 Error trajectories on sliding surface

Fig 2 System and Observer State

Convergence
Fig 1 Shows the error trajectories on the sliding surface and the convergence of error to
origin and Fig 2 Shows the Convergence of the Observer States to System state gradually
starting from different initial conditions.

Work Done

LMI based Unknown Input Observer Design

Consider the system
x Ax Bu f ( x) Dv
y Cx

Observer structure be
z Nz Gu Ly Mf ( x )
x z Ey
Assumption f ( x) f ( x ) x x

State Estimation error is defined as

e(t ) x x
z x Ey z ( I EC ) x
z Mx

Now error dynamics can be written as

e(t ) z Mx
Ne ( NM LC MA) x (G MB)u M ( f ( x ) f ( x)) MDv

Work Done

LMI based Unknown Input Observer Design

Now error dynamics can be written as
e(t ) z Mx
Ne ( NM LC MA) x (G MB)u M ( f ( x ) f ( x)) MDv

For error dynamics to be convergent

NM LC MA 0
G MB
MD 0

N MA KC

k is the design parameter

L K ( I CE ) MAE
M I EC (already chosen)
so MD 0 ECD D

Now error dynamics becomes

e(t ) Ne M ( f ( x) f ( x))

Work Done

LMI based Unknown Input Observer Design

Theorem: If there exist two matrices E , K and a positive
definite symmetric matrix P 0 such that:
ECD D
N T P PN PMM T P I 0

...(1)

Then the observer can make state estimation error e(t) tend to
zero asymptotically.
Such values of E , K and P 0 satisfying (1) are found using
MATLAB LMI toolbox. From there observer design matrices
N , G, L, M & E are found.

Work Done

LMI based Unknown Input Observer Design

Fig 3 Error in state estimation

Fig 3 shows the convergence of state estimation error to zero.

Work Done

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Thank You