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Nonlinear Dyn

DOI 10.1007/s11071-015-2136-8

ORIGINAL PAPER

Adaptive fractional-order switching-type control method


design for 3D fractional-order nonlinear systems
Chun Yin · Yuhua Cheng · YangQuan Chen ·
Brandon Stark · Shouming Zhong

Received: 12 November 2014 / Accepted: 24 April 2015


© Springer Science+Business Media Dordrecht 2015

Abstract In this paper, an adaptive sliding mode tech- posed control scheme are illustrated through numerical
nique based on a fractional-order (FO) switching-type simulations.
control law is designed to guarantee robust stability
for uncertain 3D FO nonlinear systems. A novel FO Keywords Fractional-order switching-type control
switching-type control law is proposed to ensure the law · Sliding mode control · Reaching time ·
existence of the sliding motion in finite time. Appro- 3D fractional-order nonlinear system ·
priate adaptive laws are shown to tackle the uncertainty Adaptive sliding mode technique
and external disturbance. The calculation formula of
the reaching time is analyzed and computed. The reach-
ability analysis is visualized to show how to obtain a 1 Introduction
shorter reaching time. A stability criterion of the FO
sliding mode dynamics is derived based on indirect Fractional calculus [1] has gained a lot of attention in
approach to Lyapunov stability. Advantages of the pro- the past few years. The reason is that the mathematical
technology for FO operators has rapidly grown [2–7]
and FO modeling has been wildly used in real-world
This work was supported by National Basic Research Program applications [8,9]. In particular, fractional calculus has
of China (Nos. 61462065 and 51407024) and
ZYGX2015KYQD020.
also played a significant role in control theory. The main
advantage of FO controllers is the greater flexility in
C. Yin (B) · Y. Cheng improving the robustness and control performance. It
School of Automation Engineering, University of has motivated renewed interest in various fields of FO
Electronic Science and Technology of China, Chengdu,
control [10–14].
Sichuan, People’s Republic of China
e-mail: yinchun.86416@163.com Sliding mode control (SMC) approach is a robust
nonlinear control law that forces the states of the sys-
Y. Chen · B. Stark tem from the initial states onto some predefined switch-
Mechatronics, Embedded Systems and Automation
(MESA) Lab, School of Engineering, University of
ing surface [15,16]. The SMC methodology has been
California, Merced, 5200 North Lake Road, Merced, designed for FO chaotic systems in many published
CA 95343, USA results [17–26]. Some applications of FO SMC have
been investigated [27–29]. Yin et al. [22] investigated
S. Zhong
School of Mathematics Science, University of Electronic Science
the FO SMC for a general FO nonlinear system which
and Technology of China, Chengdu 611731, People’s Republic can represent many FO chaotic systems. Aghababa
of China et al. [26] utilized the terminal FO SMC to reach sta-

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C. Yin et al.

bilization of FO systems. There are limited results in which n − 1 ≤ β̃ < n where n is an integer and
reported on improving the control performance of FO Γ (·) is the Gamma function. Likewise, the β̃th-order
SMC of FO systems. It should be mentioned that one integral of the function ζ (t) is given by
important aspect of a good SMC (including FO SMC)  t
1
is to obtain a faster and lower chattering performance. D −β̃ ζ (t) = I β̃ ζ (t) = (t − τ )β̃−1 ζ (τ )dτ ,
Γ (β̃) 0
Hence, it is important to investigate how to design sys-
(2)
tematic methods to derive a better performance of FO
SMC. Research in this area should be interesting and in which ζ (t) denotes any integrable function and I β̃
challenging. represents the β̃th-order fractional integral on [0, t].
With this motivation, an FO switching-type con-
Definition 2.2 [30] Let  (t) be the impulse response
trol law is designed for sliding mode technique of
of a linear system. If μ(ω) denotes the diffusive rep-
uncertain 3D FO nonlinear systems with the exter-
resentation (or frequency weighting function) of  (t),
nal disturbance. For reachability analysis, a concept
 (t) and μ(ω) satisfy the pseudo-Laplace transform
of FO sign function D β̄ sgn(·), 0 ≤ β̄ < 1, involv-
definition
ing an FO differentiator, is chosen to build an FO
 ∞
switching-type control law. It can ensure the occur-
rence of the reaching phase in finite time. The cal-  (t) = μ(ω)e−ωt dω. (3)
0
culation formula of the reaching time treach under
FO switching-type control law is obtained. The rela- Remark 2.1 [30] Considering the FO integral I β̃ ζ (t),
tionship between treach , β̄ and the other parameters Eq. (3) can be expressed by I β̃ ζ (t) =  (t) ∗ ζ (t),
is analyzed to reveal the potential advantages of FO
in which  (t) = t β̃−1 /Γ (β̃) and ∗ denotes convolu-
switching-type control law. For the stability analysis,
tion operator. The diffusive representation of  (t) =
an FO switching surface is designed for FO nonlinear
t β̃−1 /Γ (β̃) is given by μ(ω) = (sin(β̃π )/π )ω−β̃ .
systems. By applying continuous frequency distribu-
tion theory, stability analysis of the 3D FO nonlinear Definition 2.3 [30] Consider the nonlinear fractional
sliding mode dynamics is obtained based on indirect differential equation D β̃ η = ζ (η). From the continu-
approach to Lyapunov stability. Simulation results are ous frequency-distributed plant of the fractional inte-
provided to show the effectiveness of the designed con- grator, the above equation can be rewritten as
trol scheme. ∂ρ(ω, t)
The paper is presented as follows: In Sect. 2, basic = −ωρ(ω, t) + ζ (η(t)),
∂t 
definitions and notations are given. In Sect. 3, the gen- ∞
eral form of 3D FO nonlinear systems is presented. η(t) = μ(ω)ρ(ω, t)dω, (4)
0
Section 4 proposes the sliding mode control method
with FO switching-type control law, including the sta- in which μ(ω) is defined in Remark 2.1.
bility analysis and the reachability analysis. Simula- Lemma 2.1 Consider D β̄ σ (t)= Γ (1−
1 d t σ (τ )

β̄) dt 0 (t−τ )β̄
tion results are shown in Sect. 5. Finally, conclusion is
with the fractional-order 0 ≤ β̄ < 1 and the sign func-
addressed in Sect. 6.
tion sgn(·), one can conclude that

β̄ > 0, if σ (t) > 0, when t > 0,
D sgn(σ (t))
2 Basic definition and preliminaries < 0, if σ (t) < 0, when t > 0.
Proof See “Appendix”. 

To discuss uncertain 3D FO nonlinear systems, some
important definitions and lemmas are presented. Remark 2.2 The concept of D β̄ sgn(σ ),
involving an
FO differentiator, is proposed to extract the sign of σ .
Definition 2.1 [1,2] The Riemann–Liouville defini-
The sign of D β̄ sgn(σ ), 0 ≤ β̄ < 1 is firstly proven
tion of the β̃th-order derivative is
 n  t to be the same as sgn(σ ) in our previous work [14].
1 d ζ (τ ) Then, more investigations about reachability analysis
D β̃ ζ (t) = dτ ,
Γ (n − β̃) dt 0 (t − τ )1+β̃−n based on D β̄ sgn(σ ), including the calculation formula
(1) of reaching time, will be shown.

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Adaptive fractional-order switching-type control method design

3 3D FO nonlinear system description Hence, the following equivalent control law is


derived
A class of three-dimensional FO nonlinear systems is
considered as follows u eq (t) = −g(x, y, z)−x· f (x, y, z)−z·h(x, y, z)−ky.
⎧ q (8)
⎨ D 1 x = y · f (x, y, z) + z · ϑ(x, y, z) − αx,
D q2 y = g(x, y, z) − βy, (5) Furthermore, the following FO sliding mode dynam-
⎩ q3
D z = y · h(x, y, z) − x · ϑ(x, y, z) − γ z, ics can be obtained
⎧ q
where qi (i = 1, 2, 3) denote fractional orders satisfy- ⎨ D 1 x = y · f (x, y, z) + z · ϑ(x, y, z) − αx,
ing 0 < qi < 1. x, y and z are state variables. α, β D q2 y = −x · f (x, y, z) − z · h(x, y, z) − βy − ky,
⎩ q3
and γ are nonnegative known constants. f (·), g(·) and D z = y · h(x, y, z) − x · ϑ(x, y, z) − γ z.
h(·), ϑ(·) are continuation nonlinear vector functions, (9)
which belong to R 3 → R space.
Next, based on the FO sign function D β̄ sgn(s), a
Remark 3.1 Note that many FO chaotic systems can be novel FO switching-type control law is specified to
characterized by (5). Examples include that FO finan- ensure the existence of the sliding motion
cial system and the unified chaotic system of FO ver-
sion (including the FO Chen system, FO Lorenz sys- u sw = −λ|s|ι D β̄ (sgn(s)), (10)
tem). Table 1 shows that these FO chaotic models can
be described by (5). in which 0 ≤ β̄ < 1, 1 > ι > 0 and λ > 0 will be
chosen later. Then, based on (8) and (10), the overall
To control chaos of (5), the controller u(t) is added to FO sliding mode control signal is presented by
the second state equation. The FO system (5) is rewrit-
u = −g(x, y, z) − x · f (x, y, z) − z · h(x, y, z)
ten as
− ky − λ|s|ι D β̄ (sgn(s)). (11)
⎧ q
⎨ D 1 x = y · f (x, y, z) + z · ϑ(x, y, z) − αx, In the following, the stability analysis and reachabil-
D q2 y = g(x, y, z) − βy + u(t), (6) ity analysis will be discussed. First of all, the stability
⎩ q3
D z = y · h(x, y, z) − x · ϑ(x, y, z) − γ z, of the FO sliding mode dynamics is considered.

It is assumed that f (·), g(·), h(·) and ϑ(·) can guar- Theorem 4.1 The FO sliding mode dynamics described
antee that the FO system (5) with u(t) has a unique in (9) is globally asymptotically stable for arbitrary
solution in [T, +∞], the initial time T > 0 for any k > 0.
given initial condition.
Proof According to the frequency-distributed model of
fractional integral in Definition 2.3, the FO system (9)
can be rewritten as
4 Sliding mode technique
∂ρ1 (ω, t)
= −ωρ1 (ω, t) + y f (x, y, z) + zϑ(x, y, z)
Firstly, an FO switching surface s(t) is chosen as ∂t
− αx,
 ∞
s(t) = D q2 −1 y(t) + D −1 ϕ(t)
 t x(t) = μ1 (ω)ρ1 (ω, t)dω, (12)
q2 −1 0
=D y(t) + ϕ(τ )dτ , (7) ∂ρ2 (ω, t)
0 = −ωρ2 (ω, t) − x f (x, y, z) − zh(x, y, z)
in which ϕ(t) is a function described by ϕ(t) = x · ∂t
− (β + k)y,
f (x, y, z) + z · h(x, y, z) + βy + ky, with k > 0.  ∞
When the system (6) achieves to the switching surface, y(t) = μ2 (ω)ρ2 (ω, t)dω, (13)
one has 0
∂ρ3 (ω, t)
s(t) = D q2 −1 y(t) + D −1 ϕ(t) = 0, = −ωρ3 (ω, t) + yh(x, y, z)
∂t
ṡ(t) = D q2 y(t) + ϕ(t) = 0. − xϑ(x, y, z) − γ z,

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Table 1 List of published FO nonlinear chaotic systems, which can be described by the above model (5)
Name Mode f (x, y, z) g(x, y, z) h(x, y, z) ϑ(x, y, z)
⎧ q
⎨ D 1 x = a(y − x),
Chen’s system D q2 y = dx − x z + cy, a dx − x z x 0
⎩ q3
D z = x y − bz,
⎧ q
⎨ D 1 x = a(y − x),
Lorenz model D q2 y = x(b − z) − y, a x(b − z) x 0
⎩ q3
D z = x y − cz,
⎧ q
⎨ D 1 x = z + (y − a)x,
Financial system D q2 y = 1 − by − x 2 , x 1 − x2 0 1
⎩ q3
D z = −x − cz,
⎧ q
⎨ D 1 x = a(y − x),
Lu’s model D q2 y = −x z + cy, a −x z x 0
⎩ q3
D z = x y − bz,
⎧ q
⎨ D 1 x = −ax − ey 2 ,
Liu system D q2 y = −kx z + by, −ey −kx z mx 0
⎩ q3
D z = mx y − cz,
⎧ q
⎨ D 1 x = −ax + by − yz,
Rucklidge oscillator D q2 y = x, b−z x y 0
⎩ q3
D z = −z + y 2 ,
⎧ q
⎨ D 1 x = z,
Rossler Founder system D q2 y = ax − ax 2 − by, 0 ax − ax 2 −1 1
⎩ q3
D z = −y − x,

 ∞
z(t) = μ3 (ω)ρ3 (ω, t)dω, (14) Substituting (12) into (17), one has
0  ∞
dV1 (t)
in which μi (ω) = ((sin(qi π ))/π )ω−qi , i
= 1, 2, 3. = μ1 (ω)ρ1 (y f + zϑ − αx)dω
dt 0
Then, define two classes of Lyapunov functions:  ∞
− ωμ1 (ω)ρ12 dω
(1) υi (ω, t)(i = 1, 2, 3) are the monochromatic Lya- 0
 ∞
punov functions corresponding to the elementary
= (y f + zϑ − αx) μ1 (ω)ρ1 dω
frequency ω; 0
 ∞
(2) Vi (t)(i = 1, 2, 3) are the Lyapunov functions
summing all the monochromatic υi (ω, t) with the − ωμ1 (ω)ρ12 dω (18)
0
weighting function μi (ω). The details are listed as
follows Then, one can derive
ρi2 (ω, t)  ∞
dV1 (t)
υi (ω, t) = , (15) =− ωμ1 (ω)ρ12 dω + x(y f + zϑ − αx).
 ∞ 2 dt 0
Vi (t) = μi (ω)υi (ω, t)dω, i = 1, 2, 3. (16) (19)
0
Similarly, one has
Thus, the time derivative of the above Lyapunov func-
tions can be obtained  ∞
dV2 (t)
=− ωμ2 (ω)ρ22 dω
∂υi (ω, t) ∂υi (ω, t) ∂ρi ∂ρi dt
= = ρi , 0
∂t ∂ρi ∂t ∂t + y(−x f − zh − (β + k)y),
 ∞  ∞
dVi (t) ∂υi (ω, t) dV3 (t)
= μi (ω) dω, i = 1, 2, 3. =− ωμ3 (ω)ρ32 dω + z(yh − xϑ − γ z).
dt 0 ∂t dt 0
(17) (20)

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Adaptive fractional-order switching-type control method design

Defining V (t) = V1 (t) + V2 (t) + V3 (t), one can − λ|s|ι D β̄ (sgn(s)) + x · f (x, y, z)
conclude + z · h(x, y, z)]

3  ∞ 
dV (t) = − 2λs|s|ι D β̄ (sgn(s)). (23)
=− μi (ω)ωρi dω
2
dt 0 According to Lemma 2.1, kV̇ = 2s(t)ṡ(t) < 0. Thus,
i=1
−(αx + (β + k)y + γ z ).
2 2 2
(21) the states trajectories under the sliding mode tech-
3 3  ∞ nique with the FO switching-type control law can reach
Let Ψ = i=1 Ψ i = −
∞ i=1 ( 0 μi (ω)ωρi dω),
2
the predefined switching surface. This completed our
in which Ψi = − 0 μi (ω)ωρi dω, (i = 1, 2, 3).
2
proof. 

Hence, the frequency discretizations of Ψi can be
obtained as follows Finite reaching time is one of the main characteris-
tics of SMC. The calculation formula of reaching time

J
will be explained later.
Ψi = − ωi j μi (ωi j )ρi2 (ωi j , t)Δωi j
j=1 Remark 4.1 From (23), we have 0.5V̇ = −λs|s|ι D β̄

J (sgn(s)), in which λ is a positive constant. Next, con-


= ωi j li j ρi2 (ωi j , t), sider two cases:
j=1 (1) When the initial condition s(0) is bigger than zero
where li j = −μi (ωi j )Δωi j < 0. (s(0) > 0),
It is obvious that Ψi (i = 1, 2, 3) are negative def-
inite quadratic forms and can be written as Ψi = ṡ = −λs ι D β̄ sgn(s). (24)
ΛiT L i Λi , i = 1, 2, 3, in which Λi = [ρi (ωi1 , t), ρi
(ωi2 , t), · · · , ρi (ωi J , t)]T and L i = diag{ωi1li1 , ωi2 li2 , Hence, ṡs −ι = −λD β̄ sgn(s). Thus, it can be shown
· · · , ωi J li J } < 0. Thus, one can conclude Ψ = that
3
i=1 Ψi < 0. On the other hand, since that k > 0 and (1 − ι)λt 1−β̄
α, β, γ are nonnegative constants, one has −(αx 2 + s 1−ι (t) − s 1−ι (0) = − . (25)
(1 − β̄)Γ (1 − β̄)
(β + k)y 2 + γ z 2 ) < 0. Therefore, one can conclude
Since s(treach ) = 0 at t = treach (where treach
dV (t)
= Ψ − (αx 2 + (β + k)y 2 + γ z 2 ) (22) denotes reaching time), one has
dt
 1/1−β̄
(1 − β̄)Γ (1 − β̄)s 1−ι (0)
is negative. Thus, the FO nonlinear sliding mode treach = . (26)
dynamics (9) is asymptotically stable. The proof is (1 − ι)λ
completed. 

(2) When the initial condition s(t) is less than zero
Next, the reachability condition of the sliding sur- (s(0) < 0), one has
face will be analyzed. ṡ(t) = −λ(−s)ι D β̄ sgn(s) ⇒ ṡ(−s)−ι
Theorem 4.2 Consider the FO nonlinear chaotic sys- = −λD β̄ sgn(s). (27)
tem (6) and switching surface (7), the state trajectories Thus, the integration of this equation can be
via the FO SMC u(t) (11) with the FO switching-type obtained as
control law (10) can converge to the s(t) = 0.
(1 − ι)λt 1−β̄
Proof Select a Lyapunov Candidate VS MC = s 2 (t). (−s(t))1−ι − (−s(0))1−ι = − .
(1 − β̄)Γ (1 − β̄)
Hence, the time derivative of VS MC is given by
(28)
V̇S MC = 2s(t)[D q2 y(t) + ϕ(t)]
= 2s(t)[g(x, y, z) + u(t) + x · f (x, y, z) Therefore, since s(treach ) = 0 at t = treach , the reaching
time can be shown as
+ z · h(x, y, z) + ky]
= 2s(t)[g(x, y, z) − g(x, y, z) − x · f (x, y, z)  1/1−β̄
(1 − β̄)Γ (1 − β̄)(−s(0))1−ι
− z · h(x, y, z) treach = . (29)
(1 − ι)λ

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C. Yin et al.

Table 2 Calculation formulae of reaching time

Switching-type control law IO type version FO type version


  1
|s(0)|1−ι (1 − β̄)Γ (1 − β̄)|s(0)|1−ι 1−β̄
Reaching time treach
(1 − ι)λ (1 − ι)λ

Therefore, according to (1) and (2), it can be shown


that
 1/1−β̄
(1 − β̄)Γ (1 − β̄)|s(0)|1−ι
treach = . (30)
(1 − ι)λ

Remark 4.2 Considering IO switching-type control


law u sw = −λ|s|ι sgn(s) (i.e., β̄ = 0), one has
s ṡ = −λ|s|ι ssgn(s) ≤ 0. There are two cases: (3) when
s(0) > 0, ṡ(t) = −λs ι −ι
. Hence, one has that ṡs = −λ.
Furthermore, s 1−ι = −(1 − ι)λ. Thus, one obtains
s 1−ι (t) = s 1−ι (0) − (1 − ι)λt. Since s(treach ) = 0, one
has treach = s 1−ι (0)/(1 − ι)λ. (4) When  s(0) < 0,

−ṡ(−s)−ι = −λ. One has (−s)
1−ι
1−ι = −λ. So Fig. 1 Changes in treach along with varying β̄ and λ when
|s(0)| = 1.2, ι = 0.3, for the FO switching-type control law
one has (−s) 1−ι = −(1 − ι)λ. The integration of
this equation is given as (−s(t))1−ι = (−s(0))1−ι − ⎧ q
⎨ D 1 x = y · f (x, y, z) + z · ϑ(x, y, z) − αx,
(1 − ι)λt. Since s(treach ) = 0, one has treach =
D q2 y = g(x, y, z)−βy +Δg(x, y, z)+w(t)+u(t),
(−s(0))1−ι /(1 − ι)λ. According to the above cases (3) ⎩ q3
D z = y · h(x, y, z) − x · ϑ(x, y, z) − γ z,
and (4), one has
(32)
treach = |s(0)|1−ι /(1 − ι)λ. (31)
where Δg(x, y, z) and w(t) denote an uncertainty and
Remark 4.3 The calculation formulae of treach under an external disturbance. First, the following assump-
FO and IO switching-type control laws are listed in tion about the uncertainty and external disturbance is
Table 2. Due to D 0 sgn(s) = sgn(s), it is more likely for considered.
the FO switching-type control law to obtain better per-
Assumption 4.1 It is assumed that there exist two
formance. According to the calculation formula of treach
known d1 > 0 and d2 > 0 such that |Δg(x, y, z)| <
in (30), the parameters s(0), ι, λ and β̄ have influence
d1 , |w(t)| < d2 .
on treach . Figure 1 shows the changes in treach along with
λ and β̄, in which λ ∈ [2, 6] and β̄ ∈ [0, 0.98], when In order to make the state trajectories reach the slid-
|s(0)| = 1.2 and ι = 0.3. It shows that treach under the ing surface, a redefined FO switching-type control law
FO switching-type control law with 0 < β̄ ≤ 0.98 is is proposed as follows
smaller than the IO law does, when 2 ≤ λ ≤ 6. For the
other conditions, the smaller treach can be derived by
u sw = −(sgn(s)) − λ|s|ι D β̄ (sgn(s)), (33)
analyzing relationship between s(0), λ, ι, β̄ and treach ,
similar to the above case.
where  > 0, 0 ≤ β̄ < 1, λ > 0 and 1 > ι > 0. From
Next, let us consider the 3D FO nonlinear system (6) (7) and (33), the overall SMC is presented by
in the presence of an uncertainty and an external dis-
u = −g(x, y, z) − x · f (x, y, z) − z · h(x, y, z) − ky
turbance. Let us modify description of the FO system
(9) as − sgn(s) − λ|s|ι D β̄ (sgn(s)). (34)

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Adaptive fractional-order switching-type control method design

Theorem 4.3 Consider the uncertain 3D FO nonlin- Theorem 4.4 Consider the uncertain 3D FO nonlin-
ear system (32) and the switching surface (7), the ear system (32), this system is controlled by u(t) in
state trajectories via the FO SMC u(t) with the FO (37) with the adaptive laws in (36). Then, the corre-
switching-type control law can converge to s(t) = 0, if sponding state trajectories will converge to the sliding
 > d1 + d2 . surface s(t) = 0.
Proof Set a Lyapunov candidate VS MC = s 2 (t). Proof Selecting a Lyapunov candidate V (t) = s 2 +
Hence, one has 1 1
(d̃1 − d̂1 )2 + (d̃2 − d̂2 )2 and taking its derivative,
V̇S MC = 2s(t)[D q2 y(t) + ϕ(t)] l1 l2
one has
= 2s(t)[D q2 y(t) + x · f (x, y, z)  
V̇ = 2 s ṡ + (d̃1 − d̂1 )d̃˙ 1 + (d̃2 − d̂2 )d̃˙ 2
1 1
+ z · h(x, y, z) + βy + ky] l1 l2

= 2s(t)[g(x, y, z) + Δg(x, y, z) + w(t)
= 2 s(D q2 y(t) + ϕ(t)) + (d̃1 − d̂1 )d̃˙ 1
1
+ u(t) + x · f (x, y, z) l1

+ z · h(x, y, z) + ky]
+ (d̃2 − d̂2 )d̃˙ 2
1
≤ 2s(t)[|Δg| + |w(t)| −  sgn(s) l2
= 2 {s(g(x, y, z) + Δg(x, y, z) + w(t) + u(t)
−λ|s|ι D β̄ (sgn(s))]. (35)
+ x · f (x, y, z) + z · h(x, y, z) + ky)
Since |Δg(x, y, z)| < d1 , |w(t)| < d2 , one can con- 
+ (d̃1 − d̂1 )d̃˙ 1 + (d̃2 − d̂2 )d̃˙ 2 .
1 1
clude that VS MC > 0, V̇S MC < 0 from  > d1 + d2 . (38)
Therefore, the inequality (35) confirms that the system l1 l2
(32) under the sliding mode controller (34) is globally Adding the adaptive laws (36) into the right side of
asymptotically stable. 
 (38), one can conclude
Remark 4.4 In order to use the controller (34), the V̇ = 2{s(g(x, y, z) + Δg(x, y, z) + w(t) + u(t)
bound d1 and d2 of Δg(x, y, z) and w(t) should be + x · f (x, y, z) + z · h(x, y, z) + ky)
known. However, the functions in real world are fully + (d̃1 − d̂1 )|s| + (d̃2 − d̂2 )|s|}. (39)
unknown. To overcome this, the following assumption
and the control laws are proposed. From the controller (37), this yields

Assumption 4.2 The unknown uncertainty Δg(x, y, z) V̇ = 2{s[Δg(x, y, z) + w(t)] − s[(d̃1 + d̃2 )sgn(s)
and the external disturbance w(t) are assumed to + λ|s|ι D β̄ sgn(s)]
be bounded. Therefore, there exist appropriate posi- + (d̃1 − d̂1 )|s| + (d̃2 − d̂2 )|s|}. (40)
tive constants d̂1 and d̂2 such that |Δg(x, y, z), | <
d̂1 , |w(t)| < d̂2 . Furthermore, the constants d̂1 and It is apparent that
d̂2 are unknown. V̇ ≤ 2{|s|[|Δg(x, y, z)|+|w(t)|] − s[(d̃1 + d̃2 )sgn(s)
To handle Δg(x, y, z) and w(t), appropriate adap- + λ|s|ι D β̄ (sgn(s))] + (d̃1 − d̂1 )|s|
tive laws can be defined as follows + (d̃2 − d̂2 )|s|}. (41)
By using Assumption 4.2, one can derive
d̃˙ 1 = l1 |s|, d̃1 (0) = d̃10 , d̃˙ 2 = l2 |s|, d̃2 (0) = d̃20 ,
V̇ ≤ 2{|s|(d̂1 + d̂2 ) − s[(d̃1 + d̃2 )sgn(s)
(36)
+ λ|s|ι D β̄ (sgn(s))]
in which d̃1 and d̃2 are estimations for d̂1 and d̂2 , respec- + (d̃1 − d̂1 )|s| + (d̃2 − d̂2 )|s|}
tively. l1 and l2 are positive constants and d̃10 and d̃20 = 2{−s[(d̃1 + d̃2 )sgn(s) + λ|s|ι D β̄ sgn(s)]
are the initial conditions. Therefore, the overall control
+ d̃1 |s| + d̃2 |s|}.
law is modified from Assumption 4.2 and (36)
u(t) = −g(x, y, z) − x · f (x, y, z) − z · h(x, y, z) Changing ssgn(s) into |s|, it is clear that
−ky − (d̃1 + d̃2 )sgn(s) − λ|s|ι D β̄ (sgn(s)). V̇ ≤ 2{−(d̃1 + d̃2 )|s|−λ|s|ι s D β̄ sgn(s)+ d̃1 |s|+ d̃2 |s|}
(37) = −2λ|s|ι s D β̄ sgn(s). (42)

123
C. Yin et al.

Fractional−order Lorenz system


Thus, from Lemma 2.1, similar to the above analysis,
the system trajectories can arrive at the predefined slid-
ing surface. 
 70

60

50

5 Numerical examples 40

z(t)
30

20
In this section, our goal is to achieve SMC by apply- 10

ing the method on two different FO nonlinear chaotic 0


40
systems. 30
20
10
Example 5.1 Consider FO Lorenz system given by 0
20
30


−10
y(t) 10
f α −20 0

⎪   −10
⎪ x(t)
−30

⎪ D x = a y − a x,
q −20


1 −40 −30




g
   
β

⎨ q2 Fig. 2 Chaotic trajectories of FO Lorenz system
D y = x(b − z) − 1 y + u(t)
Δg w(t)
(43)

⎪      



⎪ + 0.07 sin(0.15π y) + 0.07 sin(0.15t), u I O = −bx −ax − y −0.14sgn(s)−3.5sgn(s), (46)



⎪ h γ
u I O1 = −bx − ax − y − 0.14sgn(s) − sgn(s), (47)
⎩ q  
D z = x y − c z,
3

according to the controller (45) with the FO switching-


where (a, b, c) = (10, 38, 28/3) and q1 = 0.985, q2 = type control law. The comparisons between u in (45)
0.993, q3 = 0.99. In the absence of the uncertainty and with the FO switching-type control law and the corre-
external disturbance, the system (43) without the con- sponding SMC u I O and u I O1 with the IO reaching law
troller exhibits a chaotic behavior as shown in Fig. 2. are depicted in Figs. 4, 5 and 6. Part (a) of Fig. 4 shows
First, from (8) and (34), the switching surface and the comparisons between x under u, u I O and u I O1 .
the SMC with the FO switching-type control law are Part (b) of Fig. 4 shows the comparisons between y
derived as under u, u I O and u I O1 . Part (c) of Fig. 4 shows the
 t
q2 −1 comparisons between z under u, u I O and u I O1 . The
s=D y+ {ax(τ ) + x(τ )z(τ ) + 2y(τ )}dτ,
0 corresponding sliding surfaces under u, u I O and u I O1
(44) are presented in Fig. 5. The time responses of u, u I O
u = −bx − ax − y − 0.14sgn(s) and u I O1 are drawn in Fig. 6. They show that the results
under the proposed FO switching-type control law own
−3.5|s|0.78 D 0.25 sgn(s). (45)
a faster and lower chattering performance.
The initial condition is [x(0), y(0), z(0)]T = [−1.37,
3, −2]T . The fractional integration operator is approxi-
Example 5.2 Consider FO Rucklidge oscillator
mated via Carlson method in frequency range (0.01,100)
rad/s by using MATLAB toolbox called Ninteger. The ⎧


f
   α
states x, y and z under the controller (45) are drawn ⎪
⎪ 

⎪ D x = (b − z) y − a x,
q 1
in Part (a) of Fig. 3. The sliding surface (44) and the ⎪


⎪ g Δg
SMC (45) are separately depicted in Part (b) and Part ⎪
⎨ q2    
(c) of Fig. 3. They show that the SMC (45) with the D y = x +u(t) + 0.1 sin(0.2π y)
(48)
FO switching-type control law guarantee the reaching ⎪
⎪ 
w(t)
 


to the sliding surface and finally stabilizing. ⎪
⎪ + 0.1 sin(0.2t),



⎪ γ
Next, in order to show the better control perfor- ⎪
⎩ q3
h
 
mance of the proposed control law, some comparisons D z = y y − 1 z,
are shown. From the IO reaching law in [22], the cor-
responding FO SMC with the traditional IO reaching where (a, b) = (2, 10.7) and q1 = q2 = q3 = 0.95.
law is obtained as The system (48) exhibits a chaotic behavior with-

123
Adaptive fractional-order switching-type control method design

Fig. 3 a State trajectories (a) 3


of stabilized FO Lorenz
system under the controller x
2 y
(45); b the time response of
the sliding surface (44); z
1
c the time response of the

x,y,z
FO SMC (45)
0

−1

−2
0 1 2 3 4 5 6 7
Time(sec)

(b) (c)
4 40
s u
3 20

2 0
s

u
1 −20

0 −40

−1 −60
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
Time(sec) Time(sec)

Fig. 4 Time responses of (a)


the states x, y and z under 1.5
the proposed controller (45) x
(blue line); time responses 1 x
IO
of the states x, y and z under x
0.5 IO1
u I O (red line) and time
responses of the states x, y 0
and z under u I O1 (green
line). (Color figure online) −0.5

−1

−1.5
0 1 2 3 4 5 6 7
Time(sec)
(b) (c)
3 0.5
y
2 y 0
IO
y z
IO1
1 −0.5
z
IO

0 −1 zIO1

−1 −1.5

−2 −2
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
Time(sec) Time(sec)

123
C. Yin et al.

Fractional order Rucklidge oscillator


5 s
sIO
sIO1
4 25
Sliding surface

20
3
15

z(t)
2 10

1
0

−5
0 10

5 20
0 1 2 3 4 5 6 7 15
0 10
Time(sec) 5
0
−5 −5
y(t) −10 x(t)
Fig. 5 Time response of the sliding surface s under the proposed −10 −15

controller (45) (blue line); time response of the sliding surface


s I O under u I O (red line) and time response of the sliding surface Fig. 7 Chaotic trajectories of FO Rucklidge oscillator
s I O1 under u I O1 (green line). (Color figure online)

d̃˙ 1 = 0.1|s|, d̃˙ 2 = 0.1|s|, d̃1 (0) = d̃2 (0) = 0.1.


60
u (51)
uIO
40 uIO1

[x(0), y(0), z(0)]T = [−4.1, −6.8, −3.4]T is chosen


Control input

20
as the initial condition. The states x, y and z under
the controller (50) are drawn in Part (a) of Fig. 8. The
0
sliding surface (49) and the FO SMC (50) are separately
−20 depicted in Part (b) and Part (c) of Fig. 8. They show
that the FO SMC (49) guarantees the reaching to the
−40 sliding surface and finally stabilizing.
Next, in order to show the better control perfor-
−60 mance of the proposed control law, some comparisons
0 1 2 3 4 5 6 7
Time(sec) are shown. From the adaptive law in [24], the cor-
responding SMC with the IO reaching law is given
Fig. 6 Time response of the proposed controller (45) (blue line); as
time response of u I O (red line) and time response of u I O1 (green
line). (Color figure online) u I O = −x − x(b − z) − zy − y

out Δg, w and the controller, which is depicted in − (1 + d̃1 + d̃2 )sgn(s), (52)

with the adaptive laws d̃˙ 1 = 0.1|s|, d̃˙ 2 = 0.1|s|.


Fig. 7.
The comparisons between the SMC (50) with the FO
First, from (8) and (37), the switching surface and the switching-type control law and the corresponding SMC
SMC with FO switching-type control law are written u I O described in (52) are depicted in Figs. 9, 10
as and 11. Part (a) of Fig. 9 shows the comparisons
 t between x under u and x I O under u I O . Part (b)
s(t) = D q2 −1 y + {x(b − z) + zy + y}dτ, (49) of Fig. 9 shows the comparisons between y under
0 u and u I O . Part (c) of Fig. 9 shows the compar-
u(t) = −x − x(b − z) − zy − y − |s|0.67 D 0.21 sgn(s) isons between z under u and u I O . The correspond-
− (d̃1 + d̃2 )sgn(s), (50) ing sliding surfaces under u and u I O are presented in
Fig. 10. The time responses of u and u I O are drawn in
with the adaptive laws Fig. 11. Figures 9, 10 and 11 show that the obtained

123
Adaptive fractional-order switching-type control method design

Fig. 8 a State trajectories (a)


of stabilized FO Rucklidge
2
system under the controller
(50); b the time response of 1
the sliding surface (49); c 0
the time response of the FO

x,y,z
SMC (50) −1 x
−2 y
z
−3

−4
0 1 2 3 4 5 6 7
Time(sec)

(b) (c)
1 50
s u
0 40

30
−1
20
−2
s

u
10
−3
0
−4 −10

−5 −20
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
Time(sec) Time(sec)

Fig. 9 Time responses of (a)


the states x, y and z under 2
the proposed controller (50) x
(red line) and time 1 x
IO
responses of the states x, y
0
and z under u I O (green −4
x 10
line). (Color figure online) −1
5
−2

−3 0

−4
−5
5.2 5.6 6 6.4
−5
0 1 2 3 4 5 6 7
Time(sec)
(b) (c)
3 0
y z
2 y
IO zIO
−1
1

0 −2
−3
x 10
2
−1
0 −3
−2
−2
5.2 5.6 6 6.4
−3 −4
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
Time(sec) Time(sec)

123
C. Yin et al.

1
S Appendix: Proof of Lemma 2.1
SIO
0
For ∀t > 0, there exists a time interval (tk , tk+1 ] such
−3
x 10 that t ∈ (tk , tk+1 ] and σ (t ) ≥ 0, ∀t ∈ (tk , tk+1 ] if
Sliding surface

−1
1
σ (t) > 0, or σ (t ) ≤ 0, ∀t ∈ (tk , tk+1 ] if σ (t) < 0.
0.5
−2 Furthermore, there exists a finite partition given by
0
0 = t0 < t1 < t2 < · · · < tk−1 < tk , such that:
−3 −0.5
1) for every interval (ti , ti+1 ], (i = 0, 1, · · · , k − 1),
σ (t ) ≤ 0, ∀t ∈ (ti , ti+1 ] or σ (t ) ≥ 0, ∀t ∈ (ti , ti+1 ];
−1
4.4 4.6 4.8 5 5.2
−4
and 2) σ (t ) ≤ 0, ∀t ∈ (ti+1 , ti+2 ] if σ (t ) ≥ 0, ∀t ∈
−5 (ti , ti+1 ] or σ (t ) ≥ 0, ∀t ∈ (ti+1 , ti+2 ] if σ (t ) ≤
0 1 2 3 4 5 6 7
0, ∀t ∈ (ti , ti+1 ], for every two adjacent intervals
Time(sec)
(ti , ti+1 ] and (ti+1 , ti+2 ]. Moreover, we require that the
Fig. 10 Time response of the sliding surface s under the pro- initial time in every (ti , ti+1 ] is not equal to zero. From
posed controller (50) (red line) and time response of the sliding the integral properties, denoting t0 = 0, one has
surface s I O under u I O (green line). (Color figure online)
β̄ [ f 0 (t) + f 1 (t) + · · · + f k (t)]
60 Dt sgn(σ (t)) = , (53)
u
uIO
Γ (1 − β̄)
50 3

2 
d ti+1 sgn(σ (τ ))
40
1 where f i (t) = dτ , (i = 0, 1, 2, · · · ,
dt ti (t−τ )β̄

Control input

30 0
d t sgn(σ (τ ))
k − 1), f k (t) = dt tk dτ .
(t−τ )β̄
−1

20 −2
First, we consider σ (t) > 0. From the above analy-
sis, one has σ (t ) ≥ 0, ∀t ∈ (tk , tk+1 ]. There exists
−3
4.4 4.6 4.8 5 5.2
10

0 tk = tk0 < tk1 < tk2 < · · · < tklk −1 < tklk = t in
(tk , t] such that (tk , t] = (tk0 , tk1 ] ∪ (tk1 , tk2 ] ∪ · · · ∪
(tklk −1 , tklk ]. Moreover, σ (t ) ≥ 0, ∀t ∈ (tk0 , tk1 ] in
−10

−20
0 1 2 3 4 5 6 7
which certain σ (t ) = 0 just happen at some isolate
Time(sec) points t ; σ (t ) ≡ 0, ∀t ∈ (tk1 , tk2 ]; σ (t ) ≥ 0, ∀t ∈
(tk2 , tk3 ] in which certain σ (t ) = 0 just happen at some
Fig. 11 Time response of the proposed controller (50) (red line) isolate points t ; · · · ; σ (t ) ≡ 0, ∀t ∈ (tklk −2 , tklk −1 ];
and time response of u I O (green line). (Color figure online) σ (t ) ≥ 0, ∀t ∈ (tklk −1 , tklk ] in which σ (t ) = 0 just
happen at isolate points t . In addition, we also require
theoretic results can have the better control perfor- that the initial time in (tk j , tk j+1 ], ( j = 0, 1, · · · , lk −
mance. 1) is not zero. Thus, one has

d t sgn(σ (τ ))
dτ = (t − tklk −1 )−β̄ ,
6 Conclusion dt tklk −1 (t − τ )β̄
 tkl −1
d k sgn(σ (τ ))
In this paper, the FO switching-type control law has dτ
dt tklk −2 (t − τ )β̄
been introduced and the adaptive SMC has been 
designed to guarantee the robust stability in the FO non- d tklk −1 0
= dτ = 0,
linear system. The calculation formula of the reaching dt tklk −2 (t − τ )β̄
time has been analyzed and computed. Stability analy-  tklk −2 sgn(σ (τ ))
d
sis of the FO sliding mode dynamics has been derived. dτ = (t − tklk −3 )−β̄
dt tklk −3 (t − τ )β̄
The proposed theoretic results based on the FO sign
function can have a faster and lower chattering perfor- −(t − tklk −2 )−β̄ ,
mance. Finally, numerical examples have shown the
advantage of the proposed control scheme. and so on, one can conclude

123
Adaptive fractional-order switching-type control method design

f k (t) = (t − tk0 )−β̄ − (t − tk1 )−β̄ + (t − tk2 )−β̄ [ f 0 (t) + f 1 (t) + · · · + f k (t)]
D β̄ sgn(σ (t)) = > 0.
Γ (1 − β̄)
−(t − tk3 )−β̄ + · · · + (t − tklk −1 )−β̄ . (54)
(57)
Since (t − tk j )−β̄ is an increasing function in tk j ,
f k (t) ≥ (t − tk )−β̄ . Then, we discuss f i (t). When Next, we consider the second case when σ (t) < 0.
σ (t ) ≥ 0, ∀t ∈ (ti , ti+1 ], there exists a time partition Similar to the first case, we have
(ti , ti+1 ] = (ti0 , ti1 ] ∪ (ti1 , ti2 ] ∪ · · · ∪ (tili −1 , tili ] in
which ti0 = ti , tili = ti+1 . Moreover, σ (t ) ≥ 0, ∀t ∈ [ f 0 (t) + f 1 (t) + · · · + f k (t)]
D β̄ sgn(σ (t)) = < 0.
(ti0 , ti1 ] in which σ (t ) = 0 just happen at some isolate Γ (1 − β̄)
points t ; σ (t ) ≡ 0, ∀t ∈ (ti1 , ti2 ]; σ (t ) ≥ 0, ∀t ∈ (58)
(ti2 , ti3 ] in which certain σ (t ) = 0 just happen at
some isolate points t ; and so on. We also claim that
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