Third-order Sliding Mode Controller for Buck

Inverter
Fei Xu, Hao Ma, Bin Liu, Liang Dong
College of Electrical Engineering, Zhejiang University
Email: mahao@cee.zju.edu.cn

Abstract-A novel third-order sliding mode control strategy for [18]. The sliding motion and domain are researched by
Buck inverter is proposed based on Lie derivative method in this dividing the sliding surface into reference sliding surface and
paper. The geometry associated with the sliding mode control is
presented for the analysis and design of the control scheme. The state variables surface, then the steady-state error of output
inverter is composed of two symmetrical current bi-directional voltage and the influence of ESR are analyzed by applying the
Buck converters controlled by two independent sliding mode new sliding surface [19].
controllers. Base on the equivalent circuit of Buck inverter, the So far, these traditional sliding mode control strategies are
design procedures of the third-order sliding mode controller are almost designed and analyzed based on the single input
given in detail. The sliding domain and sliding motion are
described by phase trajectory vividly. To simplify the analysis, second-order controllers. And the existence condition must be
three-dimensional trajectory transforms into the two- obeyed, which is derived from Lyapunov’s second method to
dimensional one through the mapping transformation. Finally, determine asymptotic stability to ensure that the sliding
experimental results are included to validate the proposed trajectory is maintained on the sliding surface.
control strategy can ensure the system with improved tracking Infinite switching frequency should be achieved at ideal
precision and well dynamic performances.
operation. This challenges the feasibility of applying SMC to
I. INTRODUCTION power converters because of the excessive switching losses,
core losses, and electromagnetic interference (EMI) noise
Sliding mode controller (SMC) was introduced initially for issues. For limiting the frequency of SMC into a practical
variable structure systems (VSS) which is well-known for its range, the previous proposed SMC is hysteresis modulation
several advantages such as wide stability range, robustness for (HM) [18-20]. This method can reduce the chatting greatly,
disturbance of system, and good dynamic response [1-2]. however, at the cost of a finite steady-state error. Therefore,
Characterized by switching, power electronics systems are integral action is introduced into SMC to achieve the zero
inherently variable structured. Consequently, it is appropriate steady-state error [21-23].
to apply SMC to power electronics systems [3-4]. In this paper, a third-order sliding mode control strategy
As an alternative to PWM control strategies in dc-dc based on the Lie derivative method is presented, which is used
converters, the SMC has been widely implemented, which to the Buck inverter. The geometric approach is adopted,
makes these systems highly robust to perturbations and greatly associated with the sliding mode control, to analyze and
dynamic response [5-9]. For this reason, tracking control design the control scheme which is easy to understand. The
schemes based on SMC have also been applied to the dc-ac proposed third-order SMC is discussed in detail which can
inverters [10-19]. And a lot of improvements have been made guarantee the system with improved steady-state precision and
based on the traditional SMC. In [12], an autonomous (time well dynamic performance. The sliding domain and sliding
independent) sliding surface is adopted to the SMC, that motion are described by phase trajectory vividly. Three-
brings the system to a zeroth-order dynamics in sliding dimensional trajectory transforms into the two-dimensional
domain. In order to get a fix switching frequency, a hybrid one through mapping method to simplify the analysis. To
controller using both sliding mode control and peak current verify the proposed control strategy, experimental results
control is presented [13]. In [14], the SMC is analyzed and show the good performances of this proposed control strategy.
designed in the frequency domain, and Tsypkin’s method
together with the describing function is adopted to provide II. ANALYSIS OF SINGLE INPUT N-ORDER SMC
good estimation of the switching frequency. A SMC is used to
a photovoltaic (PV) generation system, which allows to use A. The Traditional Analysis of SMC
much smaller, more reliable non-electrolytic capacitors and Considering the dc-ac inverter as a single input n-order
achieves stable closed loop performance [15-16]. The system, its state space equation is as follows,
implementation of SMC is given in new voltage source x = f ( x ) + g ( x ) ⋅ u (1)
inverters based on symmetrically bidirectional Buck where x ∈ R n , f ( x ) ∈ R n , g ( x ) ∈ R n , u ∈ {0,1} . While
converters. The equivalent control method and inverse
f ( x ) and g ( x ) are smooth vector fields defined on R n , and
function are used to analysis the reaching and existence
conditions, and some design steps and equations are proposed x is a n-dimensional vector made up of the error dynamics of
system state variables.

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 vO D1 L R
R
L1 L2 + +
S1 S3 S1
C vC v2
+ + Vin S2 D2
v1 C1 C2 v2 − −
iC
D1 D3
S2 D2 Vin D4 S4
S1 S2 k2 x 2 d
k2
dt
S(x) k1 x 1 x1 Vref
k1
iC1 S1 S3 iC2
k3 x 3
v1 S2 S4 v2 k 3 ∫ dt

Fig. 1. The buck inverter with sliding mode control Fig. 2. The equivalent circuit of Buck inverter

In general design, the sliding mode surface is composed of a In order to maintain the sliding motion on the sliding
linear combination of the error dynamics of system state surface, the equations bellow must be achieved.
variables, which is given as S = 0, S = 0 ⇒ S = 0, L f + ueq g S = 0 (9)
S ( x) = K T x = 0 (2) Thus it can be seen
where K = [k1 , k2 , …，kn ]T ∈ R n denotes the sliding surface 〈∇S , f 〉 Lf S
coefficient. And the control function is given as ueq = − =− (10)
〈∇S , g 〉 Lg S
⎧0 when S < 0 1 + sgn( S )
u=⎨ or u = (3) Combining (7), (8) and (10), a necessary and sufficient
⎩1 when S > 0 2 condition for the local existence of a sliding mode on the
In order to force the system moving on the sliding mode sliding surface is obtained such that
surface, the existence condition must be obeyed. 0 < ueq < 1 (11)
S ( x ) S ( x ) < 0 (4)
Substituting (1), (2) and (3) into (4), the inequality becomes III. DESIGN OF THIRD-ORDER SMC FOR BUCK INVERTER
⎪⎧ S ( x ) = K [ f ( x ) + g ( x )] < 0 when S ( x ) > 0
T
The basic structure of the Buck dc-ac inverter is shown in
⎨ (5)
⎪⎩ S ( x ) = K f ( x ) > 0
T
when S ( x ) < 0 Fig. 1. The inverter is configured on two symmetrically
current bi-directional buck converters. These two converters
where K should be appropriately selected to obtain the
produce a dc-biased sine wave output respectively. The dc-
stability, robustness and good dynamic response.
bias appeared at each end of the load have same values and the
B. The Analysis Based on Lie Derivative sine wave of each converter is 180° out of phase with each
In this paper, the Lie derivative is introduced to design and other. Then, the sinusoidal output on the load is obtained. It is
analyze the sliding mode controller. For the system of (1), the assumed that all the components are ideal and the inverter
Lie derivative is expressed as follows, operates in continuous conduction mode.
⎡ ∂S ∂S ∂S ⎤ According to the analysis above, the output voltage vO can
L f S = 〈∇S , f 〉 = ⎢ , ," , ⎥f (6)
∂
⎣ 1x ∂x2 ∂xn ⎦ be written as
It is easy to see that the Lie derivative is the directional ⎧v1 = vm sinωt + vbias
⎪
derivative of the scalar function S with respect to the vector ⎨v2 = vm sin(ωt + π ) + vbias (12)
field f . As a result of the control strategy (3), the existence ⎪v = v − v = 2v sinωt
⎩ O 1 2 m
and reaching condition (4) can be described as follows, To obtain good gain characteristic, it is better that dc-bias is
⎧⎪ L f + g S = 〈∇S , f + g 〉 < 0 when S > 0 equal to half value of input voltage, namely vbias = Vin 2 [18].
SS < 0 ⇒ ⎨ (7)
⎪⎩ L f S = 〈∇S , f 〉 > 0 when S < 0
A. Dynamic Modeling of Buck Inverter
Then, it is obligatory to gratify the necessary condition which The operation of the Buck inverter is better understood
is also called the transversality condition of the vector field g through the equivalent circuit shown in Fig. 2. Where
on the sliding surface. L = L1 , C = C1 , vc = v1 , and the right-side Buck converter
Lg S = 〈∇S , g〉 < 0 (8) output voltage v2 is regarded as ideal voltage source.

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 The state space modeling equation of the equivalent circuit
S new = 0
can be obtained as x2
⎡ v ⎤ ⎡ 0 l1 = 0 l2 = 0
1 0 ⎤ ⎡ vc ⎤ ⎡ 0 ⎤ ⎡ 0 ⎤
⎢ c ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ v ⎥
d ⎢ dvc ⎥ ⎢ 1 1 ⎥ ⎢ c ⎥ + ⎢ in ⎥ u + ⎢ 2 ⎥
dv V
= − − 0
dt ⎢ dt ⎥ ⎢ LC RC ⎥ ⎢ dt ⎥ ⎢ LC ⎥ ⎢ RC ⎥ S new = −k3 x3 (t1 )
S new = − k3 x3 (t3 )
⎢ ⎥ ⎢ ⎢ ⎥
⎢ ∫ vc dt ⎥ ⎣ 1 0 ⎥⎦ ⎢ vc dt ⎥ ⎣⎢ 0 ⎦⎥ ⎢ 0 ⎥
⎣∫
0 ⎣ ⎦
⎣ ⎦ ⎦ S new = − k3 x3 (t2 )
(13)
where variable u is the switches status, taking values in the Vref − Vin 0 Vref x1
discrete set {1,0}. 1 − k3 LC 1 − k3 LC
A new state variables matrix of the system is defined which
consists of the output voltage error x1 , the output voltage error
dynamics x2 , and the integral of output voltage error x3 . Then,
a new state space equation of the equivalent circuit can be
obtained as
x = Ax + Bu + D (14)
⎡ Vref − vc ⎤
⎡ x1 ⎤ ⎢ ⎥ Fig. 3. The sliding domain and sliding motion of third-order SMC
⎢ ⎥ ⎢ d (Vref − vc ) ⎥
where x = ⎢ x2 ⎥ = ⎢ ⎥,
dt Lf S LC ⎡⎛ k3 1 ⎞ ⎛ k1 1 ⎞ ⎤
⎢⎣ x3 ⎥⎦ ⎢ ⎥ ueq = − = ⎢⎜ − ⎟ x1 + ⎜ − ⎟ x2 + F ( t ) ⎥ (17)
⎢ (Vref − vc ) dt ⎥
⎣∫
Lg S Vin ⎣⎢⎝ k2 LC ⎠ ⎝ k2 RC ⎠ ⎦⎥
⎦
⎡ 0 1 0⎤ when k1 k2 = 1 RC , x1 = Vref − vc , it will yield
⎢ 1 ⎥
1 LC ⎡ vc 2Vref  k ⎤
A = ⎢− − 0⎥ , ueq = ⎢ + + Vref + 3 (Vref − vc ) ⎥ (18)
⎢ LC RC ⎥ Vin ⎣⎢ LC RC k2 ⎦⎥
⎢ 1 0 0 ⎥
⎣ ⎦ Obviously, Vref  vc , Vref  vc and Vref ≈ vc when the system
⎡ 0 ⎤ is in steady state, it will yield that 0 < ueq ≈ vc Vin < 1 . Hence,
⎢ V ⎥ ⎡ 0 ⎤
B = ⎢− in ⎥ , D = ⎢ F ( t )⎥ , it is clear that the third-order SMC satisfies the necessary and
⎢ LC ⎥ ⎢ ⎥
⎢ ⎥⎦ sufficient condition.
⎢ 0 ⎥ ⎣ 0
⎣ ⎦ C. The Sliding Domain and Sliding Motion
Vref Vref v The equation (7) forces the state trajectories moving on the
F (t ) = + + Vref − 2 . sliding surface, and the robustness of inverter will be
LC RC RC
guaranteed. Then substituting (14) and (15) into (7), the
And from (12), we can get v2 = −Vref . Therefore, sliding domain is obtained as
Vref 2Vref ⎛k 1 ⎞ ⎛ k1 1 ⎞ Vin
F (t ) = + + Vref . 0≤⎜ 3 − ⎟ x1 + ⎜ − ⎟ x2 + F ( t ) ≤ (19)
LC RC ⎝ k2 LC ⎠ ⎝ k2 RC ⎠ LC
Then we define that f ( x ) = Ax + D , g ( x ) = B . The sliding domain is a three-dimensional space which is
between two parallel planes. Convenient for analysis, the
B. Analysis of Third-Order SMC Based on Lie Derivative sliding domain is mapped into the two-dimensional plane. The
In this paper, a third-order SMC is presented, which is relationship among the sliding surface, sliding motion and
joined with the integral of the output voltage dynamic error. sliding domain is shown in Fig. 3. The boundaries of sliding
The third-order SMC eliminates the steady-state error domain are two defined lines as follows.
essentially. The sliding surface function is selected as
⎧ ⎛ k3 1 ⎞ ⎛ k1 1 ⎞
S ( x ) = k1 x1 + k2 x2 + k3 x3 ⎪l1: ⎜ − ⎟ x1 + ⎜ − ⎟ x2 + F ( t ) = 0
(15) ⎪ k
⎝ 2 LC ⎠ k
⎝ 2 RC ⎠
= k (V − v ) + k (V − v ) + k (V − v ) dt
1 ref c 2 ref c 3 ∫ ref c ⎨ (20)
⎪ ⎛ k3 1 ⎞ ⎛ k1 1 ⎞ Vin
where k1 > 0 , k2 > 0 and k3 > 0 . ⎪l2 : ⎜ k − LC ⎟ x1 + ⎜ k − RC ⎟ x2 + F ( t ) = LC
Substituting (15) into (8), we will have ⎩ ⎝ 2 ⎠ ⎝ 2 ⎠
⎡ ∂S ∂S ∂S ⎤
When the system enters into the sliding domain, its
k2Vin
Lg S = 〈∇S , g 〉 = ⎢ , , ⎥B =− <0 (16) equivalent trajectory can be ideally described as S ( x ) = 0 .
∂
⎣ 1x ∂x2 ∂x3⎦ LC
Then using mapping method, a new sliding surface function
which is satisfied with the transversality condition. can be obtained as
Then substituting (15) into (10), we will have

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 Snew = k1 x1 + k2 x2 = −k3 x3 = −k3 ∫ x1dt (21) For this Buck inverter, we usually define that k2 = 1 and
Let k2 = 1 and k1 = 1 RC , the sliding domain and sliding k1 = 1 RC . And the bandwidth of the controller’s response
motion can be analyzed into three aspects. f BW is equal to the transition frequency of system f P , which
a) k3 = 1 LC yields
In this situation, the whole plane is the sliding domain. 1 k3 1
f BW = = fP = (25)
b) k3 < 1 LC 2π k2 2π LC
The boundaries of sliding domain have to cross the points Hence, we can get k3 = 1 LC , which is matched the foregoing
⎛ Vref − Vin ⎞ ⎛ Vref ⎞ discussions.
of ⎜ , 0 ⎟ and ⎜ , 0 ⎟ respectively.
⎝ 1 − k3 LC ⎠ ⎝ 1 − k3 LC ⎠
IV. IMPLEMENTATION AND EXPERIMENTAL RESULTS
The system starts up at the point of (Vref , 0 ) which is in the
A prototype of the Buck DC-AC inverter (Fig. 1) has been
sliding domain. After starting up, the system state trajectory
built in the laboratory, which is in order to verify the proposed
tends to the sliding surface. Here, due to x1 > 0 and the effect control scheme experimentally.
of −k3 ∫ x1dt , the sliding surface will move left parallel away And the rated output signals are v1 = 24 + 16sin100πt , and
from the system state trajectory. Then a proper k3 has to be v2 = 24 − 16sin100πt , so vo = 32sin100πt . The parameters
selected to prevent that the system state trajectory can not of this system are listed in TABLE I.
reach the sliding surface. The system state trajectory reach the Fig. 4 shows the experimental results of steady state output
sliding surface at the time t1 . The system enters into the voltage and output current waveforms under third-order SMC.
These results are explicit sinusoid with very little distortion.
sliding motion.
Table II shows the steady-state performance of the third-order
The sliding surface will keep moving left parallel until
SMC. The experimental results are obtained when the desired
x1 = 0 at the time t2 .
output voltage is set at different amplitudes. It is clear that the
Then x1 < 0 , the sliding surface will move right parallel. If third-order SMC has excellent tracking performance in the
the system state trajectory can not reach the steady state at the steady-state operation.
time t3 when x1 = 0 , the sliding surface will move left The experimental results, for the case where no load
parallel again. Finally, the system state trajectory convolutes suddenly turns to full load under the third-order SMC, are
into the steady state. illustrated in Fig. 5. And Fig. 6 shows the opposite case. These
waveforms of the output voltage show the robustness and
c) k3 > 1 LC
dynamic response of the control scheme.
The two lines l1 and l2 interchange the position. And the
analysis is as same as the situation of k3 < 1 LC . TABLE I
PARAMETERS OF THE BUCK INVERTER
D. Selection of Sliding Coefficients
Item Symbol Value Unit
From (17), the coefficient of x1 and x2 are shown the
DC link voltage Vin 48 V
regulating characteristic of system steady state and dynamic Filter capacitor C1 / C2 100 μF
state respectively. Namely, the larger of k3 k2 , the better of Filter inductor L 1 / L2 200 μH
the steady characteristic, and the larger of k1 k2 , the better of Nominal load R 3 Ω
dynamic characteristic.
From (14) and (15), when the system enters into the sliding TABLE II
domain it yields STEADY-STATE PERFORMANCE OF THE THIRD-ORDER SMC
S ( x ) = k1 x1 + k2 x1 + k3 ∫ x1 = 0 (22) (MEASURED BY DIGITAL POWER METER WT2030)
Experimental Results of Output
Rearranging the time differential of S ( x ) = 0 , we can get a References of Output Voltage
Voltage
standard second-order system form, Peak (V) RMS (V) RMS (V) Error (V)
x1 + 2ζωn x1 + ωn2 x1 = 0
 (23) 32 22.63 22.62 0.01
28 19.80 19.78 0.02
where ωn = k3 k2 is the undamped natural frequency and
24 16.97 16.95 0.02
ζ = k1 2 k2 k3 is the dumping ratio [9]. In a critically- 20 14.14 14.15 -0.01
damped system, the bandwidth of the controller’s response 16 11.31 11.31 0.00
f BW is 12 8.49 8.47 0.02
8 5.66 5.67 -0.01
ωn 1 k3
f BW = = (24) 5 3.54 3.55 -0.01
2π 2π k2

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 Fig. 4. Steady state outputs under third-order SMC

V. CONCLUSIONS
In this paper, a novel third-order sliding mode control
strategy is applied to the Buck inverter. The proposed control
strategy is analyzed and designed detailedly based on the Lie
derivative method. The geometry associated with the sliding
mode control is easy to understand. The Buck inverter with
the proposed third-order SMC is discussed in detail which
guarantees the steady-state and dynamic properties. The
sliding domain and sliding motion are described by phase
trajectory vividly. Three-dimensional trajectory transforms
into the two-dimensional one through mapping method to
simplify the analysis. The proposed control strategy can Fig. 5. Transient responses from no load to full load
improve tracking precision and maintain dynamic
performances.

ACKNOWLEDGMENT
This work is supported by the National Nature Science
Foundation of China (50777056).

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