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Pergamon

Automatica, Vol. 30, No. 7, pp. 1083-1138, 1994


Copyright 1994 Elsevier Science Lid
Printed in Gr eat Britain. All rights reserved
01105-1098/94 $7.011 + 0.00
Survey Paper
A Survey of Models, Analysis Tools and
Compensation Methods for the Control of
Machines with Friction*
B R I AN AR MS T R ONG- HI ~ L OUVR Y, t P I E R R E DUPONT~ t a n d C AR L OS
C ANUDAS DE WI T
This survey addresses contributions f rom the tribology, lubrication and phys-
ics literatures, as well as the controls literature, which are important f or the
understanding and compensation of friction in servo machines.
Key Words--Friction; friction compensation; friction modeling; identification; adaptive control;
control applications; feedback control; feedforward control; modeling.
Ala~trKt--While considerable progress has been made in
friction compensation, this is, apparently, the first survey on
the topic. In particular, it is the first to bring to the attention
of the controls community the important contributions from
the tribology, lubrication and physics literatures. By uniting
these results with those of the controls community, a set of
models and tools for friction compensation is provided which
will be of value to both research and application engineers.
The successful design and analysis of friction compensators
depends heavily upon the quality of the friction model used,
and the suitability of the analysis technique employed.
Consequently, this survey first describes models of machine
friction, followed by a discussion of relevant analysis
techniques and concludes with a survey of friction
compensation methods reported in the literature. An
overview of techniques used by practising engineers and a
bibliography of 280 papers is included.
1. INTRODUCTION
FRICTION IS PRESENT in all machi nes i ncor por at i ng
par t s wi t h r el at i ve mot i on. Al t hough fri ct i on may be a
desi r abl e pr oper t y, as it is for br akes, i t is gener al l y an
i mpedi ment for ser vo cont r ol . The l i t er at ur e r el evant
t o fri ct i on and cont r ol is ver y wi del y scat t er ed;
i mpor t ant i deas ar e t o be f ound in t he j our nal s of
cont r ol s, t r i bol ogy, l ubr i cat i on engi neer i ng, acoust i cs,
and gener al engi neer i ng and physi cs. I t is t he ai m of
this survey t o synt hesi ze t he cont r i but i ons of sever al
* Received in revised form 17 December 1992; received in
final form 25 July 1993. The original version of this paper
was not presented at any IFAC meeting. This paper was
recommended for publication in revised form by Editor K. J.
Astr6m. Corresponding author Professor B. Armstrong-
H61ouvry. Tel. + 1 414 229 6916; Fax + 1 414 229 6958; e-mail
bsra@ee.uwm.edu.
t Department of Electrical Engineering and Computer
Science, University of Wisconsin, Milwaukee, P.O. 784,
Milwaukee, Wl 53201, U.S.A.
~t Department of Aerospace & Mechanical Engineering,
Boston University, 110 Cummington Street, Boston,
MA 02215, U. S. A.
Laboratoire d' Automatique de Grenoble, ENSIEG,
B.P. 46 38402 St Martin d' H~res, France.
1083
hundr ed art i cl es f r om t he sever al di sci pl i nes, a n d t he
i nput of engi neer s in i ndust r y who have wor ked wi t h
fri ct i on and cont r ol , t o pr oduce a gr and pi ct ur e of
model s and met hods i mpor t ant for fri ct i on and
cont rol .
Tr i bol ogy is t he sci ence of r ubbi ng cont act s. The
field is act i ve, with 1000 i nvest i gat or s in Nor t h
Amer i ca and a l i t er at ur e t hat grows by some 700
art i cl es per year ; and gr eat pr ogr ess has been made
t owar ds under st andi ng t he physi cal pr ocesses of
sliding machi ne cont act s: bear i ngs, t r ansmi ssi on
el ement s, brushes, seal s, et c. For t he cont r ol s
engi neer , it is f r i ct i onal dynamics whi ch is of gr eat est
i nt er est . One chal l enge of t hi s revi ew has been t o
bri ng t oget her f r om t he t r i bol ogy l i t er at ur e an
under st andi ng of fri ct i onal dynami cs. Tr i bol ogy is
concer ned wi t h fri ct i on; but in r ecent year s t he field
has been most concer ned wi t h i ssues of wear and
machi ne life on t he one hand, and of surface
chemi st ry and physi cs on t he ot her . Dynami cs has not
been a focus. St udi es in fri ct i onal dynami cs car r i ed
out over t he past five decades ar e br ought t oget her in
this survey.
I nvest i gat i ons wi t hi n t he field of cont r ol s have not
capi t al i zed adequat el y on t he fri ct i on model s avai l abl e
from t he exper i ment al and t heor et i cal wor k of
t ri bol ogy. Many i nvest i gat i ons have br ought t oget her
powerful t ool s f r om st abi l i t y t heor y, nonl i near
cont r ol , nonl i near syst em i dent i fi cat i on, adapt i ve
cont r ol and ot her ar eas; but t hese i nvest i gat i ons have
been based on t he fri ct i on model s of Le ona r do Da
Vinci or el ement ar y physics. I t is no wonder t hat
consi st ent resul t s have been el usi ve and t hat t he
analysis t ool s capabl e of pr edi ct i ng st i ck sl i p and ot her
fri ct i onal behavi or ar e not fully r el i abl e. Wi t hi n
t r i bol ogy t her e is consi der abl e under st andi ng of t he
fri ct i onal dynami cs of l ubr i cat ed met al - on- met al
cont act s; and, whi l e per haps somewhat mor e compl ex
t han Le ona r do' s s t a t i c + Co u l o mb fri ct i on model ,
1084 B. ARMSTRONG-HI~LOUVRY et al.
models are available to account for the dynami cs
observed in a broad range of t ri bol ogy experiments,
some conduct ed with remarkabl e resolution of
sensing.
In Section 2 of this paper, friction model i ng is
addressed. Results from a range of experi ment s
report ed in the t ri bol ogy, mechani sm, physics and
controls literatures are present ed and assimilated. At
the end of Section 2, an i nt egrat ed friction model is
presented. In Section 3, analysis tools are present ed
for studying servos with friction. Many of t he met hods
present ed have been applied in the cont rol s literature,
including analytic met hods, the describing function
and phase plane analysis; but investigations have also
been carried out in the areas of acoustics and
mechanics, where frictional instability may be a maj or
cont ri but or t o processes of interest. In Section 4,
compensat i on met hods for machines with friction are
presented. Here the cont rol s literature is the maj or
cont ri but or. The br oad classes of compensat i on
strategy are probl em avoi dance, non-model -based
control and model -based cont rol . Probl em avoi dance
deserves special consi derat i on because, as we will see
in Section 2, mi nor modification of the lubrication
may have a t remendous impact on the frictional
instability, and friction modification is not always a
priority of the lubrication engineer. Par amet er
identification and adapt i ve cont rol strategies are also
addressed in Section 4, as is input from engi neers in
industry. In Section 5, we concl ude with a program for
tackling t he challenging probl ems posed by friction in
servo-controiled machines.
2. FRICTION IN MACHINES
When met hods of feedback cont rol are applied t o
moving bodies, friction is inevitably among t he forces
of mot i on. The field of cont rol has long i ncorporat ed
sophisticated investigations of ot her cont ri but i ons t o
the forces of mot i on, such as mul t i body dynamics,
electromagnetics, and aero- or fluid dynamics. But t he
forces of mot i on cont ri but ed by friction are oft en
studied with simplified model s, similar t o t hose
empl oyed by Leonar do Da Vinci. The English
language literature of t ri bol ogy grows at a rate of 700
articles per year and represent s a vast, moder n effort
to underst and these phenomena. While oft en
academically pursued, t ri bol ogy is hardly academically
motivated: energy loss due t o friction and t he failure
of equi pment due t o wear represent a consi derabl e
percentage of every moder n economy.
Feedback cont rol is oft en applied t o mechanical
arrangement s involving met al -on-met al cont act with
grease or oil lubrication. Issues of manufact ure and
performance mot i vat e t he choice of metals for
working members; and issues of service life mot i vat e
the use of fluid lubricants. This study will concent rat e
on what t ri bol ogy has t o offer t owards the model i ng of
friction in fluid lubricated met al -on-met al junctions.
Specialized tribological studies are available which
address ot her combi nat i ons of engi neeri ng materials,
such as plastics on metal and dry lubricated and
electrical contacts.
The classic model of fri ct i on--fri ct i on force is
proport i onal to load. opposes the mot i on, and is
i ndependent of contact ar ea- - was known t o Leonar do
da Vinci, but remained hidden in his not ebooks for
centuries. Rabinowicz (1965) argues t hat the scientific
study of friction must have been subsequent to the
elucidation of Newt on' s first law (Newt on, 1687) and
the moder n concept i on of force. This is not quite true.
Da Vinci' s ideas on the nature of force, of which he
knew friction t o be an example, provi de a fascinating
insight into probl ems of pre-Newt oni an natural
philosophy (Da Vinci, 1519).
Da Vinci' s friction model was rediscovered by
Amont ons (1699) and devel oped by Coul omb (1785)
among others. Amont ons ' claim t hat friction is
i ndependent of cont act area (the second of Da Vinci' s
laws) originally at t ract ed skepticism, but was soon
verified. Morin (1833) i nt roduced the idea of static
friction and Reynol ds (1866) the equat i on of viscous
fluid flow, completing the friction model t hat is most
commonl y used in engineering: the st at i c+
Co u l o mb + viscous friction model (Morin, 1833;
Reynol ds, 1886) and shown in Fig. l (b).
The science of tribology (Greek for the study of
rubbing) was born in Engl and in the 1930s. Basic
questions of wear mechanisms, t rue cont act area,
relationships between friction, material propert i es and
lubricating processes were addressed and answered. It
is not possible here to give tribology its due. The
interested reader is referred t o Bowden and Tabor
(1956, 1973), Suh and Sin (1981), Czichos (1978),
which provi de excellent and readabl e introductions t o
the field. Dowson (1979) is an engaging work which
illuminates the 3000 year history of man' s at t empt s t o
underst and and modify friction. Hamr ock (1986) is a
brief handbook survey of the relevant met hods of
t ri bol ogy; and Hailing (1975) provides a survey that is
rigorous but not overly detailed and sufficiently
sweeping t o address such issues as friction induced
instability and solid lubrication. Ludema (1988) is an
interesting critique of tribology and cultural barriers
t o interdisciplinary pursuits; and Rabinowicz (1978), a
discussion of priorities for tribology.
2.1. The Tri bol ogy of Machine Friction
The maj ori t y of servo-controlled machines, of the
eart h-bound variety at least, are lubricated with oil or
grease. Tribologically, greases and oils have mor e in
common than not. Grease is essentially a soap matrix
that carries oil, which is released under stress into
load bearing junctions. These lubricants are widely
used because t hey provide a fluid barrier between
rubbing metal parts that exchanges dry friction for
viscous friction and vastly reduces wear. The fluid
barrier can be maintained by forcing lubricant under
pressure into the load bearing interface, a t echni que
called hydrostatic lubrication. This, however, entails
great mechanical complexity and is not applicable to
many bearing or transmission designs. The more
common t echni que is t hat of hydrodynami c lubrica-
tion, wherein the lubricant is drawn into the interface
by the mot i on of the parts. Hydr odynami c lubrication
is simple to implement, requiring only a bath of oil or
A survey of friction and control s 1085
(a)
Level of
Friction Force
Coulomb Friction
'Slope
Due to
Viscous Friction
Velocity
Friction Force
Extra Friction at Zero Velocity,
Static Friction
(b)
- - Velocit~
( c )
Friction Force
Negative Viscous Friction
(The Stribeck Effect)
Velocit~
FIG. 1. Friction models: (a): Coulomb+viscous friction model; (b): st at i c+Coul omb+ viscous friction
model; (c): negative viscous + Coulomb + viscous friction model (Stribeck friction).
gr ease or per haps a fluid spr ay, but suffers t he
l i mi t at i on t hat t he fluid film is mai nt ai ned onl y above
some mi ni mum vel oci t y. Bel ow t he mi ni mum vel oci t y
sol i d- t o- sol i d cont act occurs.
2.1.1. The topography of contact
To under s t and t he t r i bol ogy of engi neer i ng surfaces it
is necessar y t o consi der t he surface t opogr aphy. Ear l y
model s of fri ct i on f ai l ed because t he surface
t opogr aphy was mi sunder st ood. The i nt er act i ons at
cont act i ng surfaces will be exami ned by consi der i ng
pr ogr essi vel y smal l er cont act s. I n Fi g. 2 a conf or mal
cont act is shown schemat i cal l y; par t A rest s on par t B.
Ki nemat i cal l y, such cont act s ar e i dent i fi ed as ar ea
cont act s: t he appar ent ar ea of t he cont act is
de t e r mi ne d by t he size of t he par t s.
Par t s t hat do not enj oy a mat chi ng radi i of
cur vat ur e meet at nonconf or mal cont act , as shown in
Fig. 3. These cont act s ar e cal l ed poi nt or l i ne cont act s
when consi der ed ki nemat i cai l y; but t hi s is an
i deal i zat i on. I n fact t he par t s def or m t o cr eat e an
appar ent ar ea of cont act , an ar ea t hat i ncr eases wi t h
Conformal Contact
, , / / / / i / /
Stress Propoaional to Force / Area
Part B ~ Ma c r o s c o p i c Contact Area "1 / / / / / /
Proportional to Dimensions of Part
Fro. 2. Conformal contact, such as machine guide ways or
journal bearings.
i ncreasi ng l oad. The one mi l l i met er cont act wi dt h
suggest ed in Fi g. 3 is t ypi cal of smal l machi ne par t s,
such as t he t ransmi ssi on gear s of an i ndust r i al r obot .
Tr i bol ogy as a field is sophi st i cat ed in t he use of
si mi l i t ude. One wi del y used t r ansf or mat i on maps a
nonconf or mal cont act of t wo r adi i t o one of a flat
surface and a single cur ved par t , as suggest ed in Fi g. 3
( Dowson and Hi ggi nson, 1966; Ha mr oc k, 1986). Thi s
t r ansf or mat i on gr eat l y simplifies t he st udy of noncon-
f or mal cont act s. Nonconf or mal cont act s ari se f r e-
quent l y in machi ner y and may be r ef er r ed t o as
Her t zi an cont act s, af t er t he ori gi nal anal ysi s ( Her t z,
1881). The st resses f ound in conf or mal cont act s
bet ween st eel par t s ar e r ar el y hi gher t han 7 MP a
(7 MPa = 1000 psi ), wher eas i n nonconf or mal cont act
t he peak st ress can be 100 t i mes gr eat er ( Hamr ock,
1986). A st ress of 700 MPa cor r es ponds t o 100,000 psi ,
which is gr eat er t han t he yi el d st r engt h of many t ypes
of st eel . Thi s is possi bl e in Her t zi an cont act because
t he stress is compr essi ve.
I n a BBC r adi o pr ogr am, t r i bol ogy pi oneer F. P.
Bowden obs er ved t hat " put t i ng t wo sol i ds t oget her is
r at her l i ke t ur ni ng Swi t zer l and upsi de down and
st andi ng i t on Au s t r i a - - t h e ar ea of i nt i mat e cont act
will be smal l " ( Bowden, 1950). Cr yst al l i ne surfaces,
even appar ent l y smoot h surfaces, ar e mi cr oscopi cal l y
rough. The pr ot uber ant f eat ur es ar e cal l ed asper i t i es
and, as shown schemat i cal l y in Fi g. 4, t he t r ue cont act
occurs at poi nt s wher e asper i t i es come t oget her . I n
this way, t he t r ue ar ea is much smal l er t han t he
appar ent ar ea of t he cont act ( Bowden and Tabor ,
1939). Over a br oad r ange of engi neer i ng mat er i al s,
t he asper i t i es will have sl opes r angi ng f r om 0 t o 25
degr ees and concent r at ed in t he band f r om 5 t o 10
degr ees ( Dowson, 1979).
1086 B. ARMSTRONG-HI~LOUVRY et al.
Nonconforrnal Contact
Ideal: Point or Line
, , Contact, Zero Area
S j ....
Stress
/
~' ~ 10 -3 m, Typical, Steel ~ / / / / / /
Part B
!
Macroscopic Contact Area
Proportional to Load and Material Strength
FIG. 3. Nonconformal contact, such as a gear tooth mating or roller bearings.
When asperities come into cont act , the local loading
will be det ermi ned by t he strength of the materials.
The asperities deform t o generat e the cont act area
necessary t o t ake up the total load. As a first
approxi mat i on, we may consi der the local stress at an
asperity j unct i on t o be in proport i on t o t he yield
strength of the material. The cont act area, on the
ot her hand, is in direct pr opor t i on t o t he total load.
As a rule of t humb, t he t rue cont act area, A, is given
by A = W/ 3Y, where W is t he load and Y is t he yield
strength of the material. Cont act stress at the asperity
is t aken, by this rule of t humb, t o be t hree times the
yield strength. As with t he nonconf or mal cont act ,
stress great er t han yield strength is possible because
the asperities are under compression.
Friction is proport i onal t o t he shear strength of t he
asperity junctions. As t he load grows, the j unct i on
area grows; but, t o first-order, the shear strength
(measured per unit area) remai ns const ant . In this
way, friction is proport i onal t o load. If truly clean
metal surfaces are brought i nt o cont act , t he shear
strength of the j unct i on (friction) can be as great as
the shear strength of the bulk material, and t he
friction coefficient can be much great er t han one
(Bowden and Tabor, 1973; Hamr ock, 1986). Fort un-
ately for the operat i on of machines, truly clean
surfaces are all but impossible t o achieve. Even in t he
Tr ue Cont act Bet ween Engi neeri ng Surfaces
Surface Film
(Boundary Layer)
~ (10-7m Typical)
True \
~ ~ b Cont a c t Site
Junction Wi d t h ~ s p e r i t i e s
1o 5m, Typical, Steel
FIG. 4. Part-to-part contact occurs at asperities, the small
surface features.
absence of lubricants, oxide films will form on the
surface of steel and ot her engineering materials,
producing a boundary layer. In t he presence of
lubricants, additives t o the bulk oil react with t he
surface t o form t he boundary layer. The boundar y
layer additives are formul at ed t o cont rol the friction
and wear of the surface. The boundar y layer is a solid,
but because it has the lower shear strength, most
shearing occurs in this film. If the boundar y layer has
a low shear strength, friction will be low; if it has good
adhesion t o t he surface and can be replenished from
the oil, wear will be reduced. Boundar y layer
thickness varies from a few at omi c thicknesses t o a
fraction of a micron. As suggested in Fig. 4, a tenth of
a micron is a typical thickness of the boundar y layer
formed by the lubricity additives of industrial oil
(Wills, 1980; Booser, 1984). Not e t hat this is perhaps
two orders of magni t ude less t han t he typical
dimension of an asperity in steel junctions. The
boundary layer is exactly that, and does not markedl y
influence the area or local stresses of cont act .
2.1.2. Friction as a function of velocity: four dynamic
regimes
There are four regimes of lubrication in a system with
grease or oil: static friction, boundar y lubrication,
partial fluid lubrication and full fluid lubrication.
These four regimes each cont ri but e t o the dynami c
t hat a cont rol l er confront s as the machine accelerates
away from zero velocity. Figure 5 is known as the
Stribeck curve and shows the three moving regimes
(Stribeck, 1902; Biel, 1920; Czichos, 1978). The
interesting characteristics of regime I, static friction,
are not dependent on velocity.
2.1.2.1. The first regime: static friction and preslid-
ing displacement. In Fig. 4, cont act is shown t o occur
at asperity junctions. From the st andpoi nt of cont rol ,
these j unct i ons have t wo i mport ant behaviors: t hey
deform elastically, giving rise t o presliding displace-
ment ; and bot h the boundar y film and the asperities
def or m plastically, giving rise t o rising static friction,
discussed in Section 2.1.4 below.
A survey of friction and controls 1087
Re g i me I. No Sl i di ng,
~ S - El ast i c De f o r ma t i o n
, ~ __ ~.-
Sl i di ng Ve l oc i t y b
FIG. 5. The generalized Stribeck curve, showing friction as a
function of velocity for low velocities.
Part A
Part B
/ / / / / /
~ ~ ~ , ~ - - - - Idealized
Asperity Junctions
/ / / / / /
FIG. 6 Idealized contact between engineering surfaces in
static friction. Asperity contacts behave like springs.
I t is o f t e n a s s u me d whe n s t udyi ng f r i ct i on t ha t t h e r e
is no mo t i o n whi l e in st at i c f r i ct i on, whi ch is t o s ay no
mo t i o n wi t hout sl i di ng; but in me c ha ni c s it is wel l
known t ha t c ont a c t s a r e c ompl i a nt in bot h t he n o r ma l
a nd t angent i al di r ect i ons , e. g. J o h n s o n (1987). Da h l
(1968, 1976, 1977), s t udyi ng e x p e r i me n t a l o b s e r v a -
t i ons o f f r i ct i on in smal l r ot a t i ons o f bal l be a r i ngs ,
c onc l ude d t ha t f o r smal l mot i ons , a j unc t i on in st at i c
f r i ct i on be ha ve s l i ke a s pr i ng a nd c ons i de r e d t he
i mpl i cat i ons f o r cont r ol Th e r e is a di s pl a c e me nt
( pr esl i di ng di s pl a c e me nt ) whi ch is an a p p r o x i ma t e l y
l i near f unct i on o f t he a ppl i e d f or c e , up t o a cri t i cal
f or ce, at whi ch b r e a k a wa y occur s. Th e el ast i ci t y o f
as per i t i es is s ugge s t e d s chemat i cal l y i n Fi g. 6. Wh e n
f or ces a r e a ppl i e d, t he as per i t i es will d e f o r m, as
s ugges t ed by Fi g. 7, but r e c o v e r whe n t he f or c e is
r e mo v e d , as doe s a spr i ng. I n t hi s r e gi me , t he
t angent i al f or c e is g o v e r n e d by:
F , ( x ) = - k , x , ( 1 )
whe r e F, is t he t angent i al f or c e , k, is t he t angent i al
For c e /> Br e a k - Awa y Fr i ct i on
P
A / / / / / /
Break-Away ~ ~ ~
B / / / / / /
FIG. 8. At breakaway true sliding begins.
st i ffness of t he c ont a c t a nd x is d i s p l a c e me n t a wa y
f r om t he equi l i br i um pos i t i on. F, a nd x r e f e r t o t he
f or ce and di s pl a c e me nt in t he c ont a c t b e f o r e sl i di ng
begi ns, as i ndi cat ed in Fi gs 7 a nd 8. Wh e n t he a ppl i e d
f or ce exceeds t he r e qui r e d b r e a k a wa y f or c e , t he
j unct i ons b r e a k (in t he b o u n d a r y l ayer , i f pr e s e nt ) a nd
t r ue sliding begi ns, as s ugges t ed in Fi g. 8. Po l y c a r p o u
and Soom (1992) ha ve p o i n t e d out t ha t st at i c f r i ct i on
is not t r ul y a f or ce of f r i ct i on, as it is ne i t he r
di ssi pat i ve nor a c ons e que nc e o f sl i di ng; but is a f or c e
o f cons t r ai nt , and e mp l o y t he t e r m t a nge nt i a l f or ce.
Thi s issue is i mp o r t a n t f or bot h s i mul at i on a nd
anal ysi s.
Th e t angent i al st i ffness, k,, is a f unct i on o f a s pe r i t y
g e o me t r y , ma t e r i a l el ast i ci t y and a ppl i e d n o r ma l f or c e
( J ohns on, 1987) No t e t ha t t he t angent i al st i ffness due
t o pr esl i di ng di s pl a c e me nt is qui t e di f f er ent f r o m ( a nd
ma y be s ubs t ant i al l y less t ha n) t he st i ffness of t he
me c ha ni s m itself Th e as per i t i es , not t he me c h a n i s m
c o mp o n e n t s , a r e def or mi ng Wh e n n o r ma l f or c e is
changi ng, t he b e h a v i o r ma y be qui t e c ompl e x,
becaus e n o r ma l f or ce, n o r ma l st i ffness a nd t angent i al
st i ffness a r e nonl i near , i nt e r a c t i ng f unct i ons o f n o r ma l
di s pl a c e me nt ( Ma r t i ns e t a l . , 1990). To first
a ppr oxi ma t i on, it is act ual l y t he b r e a k a wa y di s pl ace-
me nt t hat is c ons t a nt ; a nd t he st i ffness is t he n gi ven
by:
F~
k, = - - , (2)
Xb
whe r e F~ is t he b r e a k a wa y f or c e a nd xh is t he
ma x i mu m d e f o r ma t i o n of t he as per i t i es b e f o r e
br e a ka wa y. I f n o r ma l f or c e is va r yi ng a nd t he
coeffi ci ent of st at i c f r i ct i on is a p p r o x i ma t e l y c ons t a nt ,
t hen k, b e c o me s p r o p o r t i o n a l t o n o r ma l f or ce.
Th e b r e a k a wa y di s pl a c e me nt ma y be mi nut e in
engi neer i ng ma t e r i a l s , b r e a k a wa y is o b s e r v e d t o oc c ur
wi t h def l ect i ons on t he o r d e r o f 2 - 5 mi c r ons i n st eel
j unct i ons ( Rabi nowi cz, 1951; Da hl , 1968; Bu r d e k i n e t
For ce < Br e a k - Awa y Fr i ct i on
q
Displacement is ~oportional to Force
F- / / / / / /
/ / / / / /
For c e < Br e a k - Awa y Fr i ct i on
P
Displacement is Proportional to Force
5 x 10 6m, Typical Maximum
P . A I'- / / / / / /
P . B / / / / / /
FIG. 7. Asperity deformation under applied force, presliding displacement.
1088 B. ARMSTRONG-Hi~LOUVRY et al.
al. , 1978; Cheng and Kikuchi, 1985; Villanueva-Leal
and Hi nduj a, 1984; Armst rong-HEIouvry, 1991). But
elsewhere in a mechani sm a much great er displace-
ment may be observed, di spl acement significant on
the scale of feedback control. This will arise, for
example, in robot s, where the arm itself acts as a lever
t o multiply micron mot i ons at the gear teeth to
millimeter mot i ons of t he out put ( Ar mst r ong-
Hr l ouvr y, 1991).
Presliding displacement has long been studied in the
mechanics communi t y, and is somet i mes t er med
micro-slip (Johnson, 1987). The transition from elastic
cont act t o sliding is not simple. Sliding is observed t o
originate first at the boundar y of a cont act and t o
propagat e t oward the cent er (Johnson, 1962). Thus
there is no abrupt transition t o sliding. Presliding
displacement is of interest t o t he cont rol s communi t y
in ext remel y high precision pointing applications
(Dahi 1977; Wal rat h, 1984) in dynami cs (Canudas de
Wit et al. , 1993) and in simulation (Haessig and
Friedland, 1991); and may also be i mport ant in
establishing t hat t here are no discontinuities in friction
as a function of time.
2.1.2.2. The s econd regime: boundar y lubrication.
In the second r egi me- - t hat of very low velocity
sliding--fluid lubrication is not i mport ant , the velocity
is not adequat e t o build a fluid film between the
surfaces, e.g. Fuller (1984). As described, the
boundar y layer serves t o provi de lubrication. It must
be solid so t hat it will be mai nt ai ned under the cont act
stress, but of low shear strength t o reduce friction
(Bowden and Tabor , 1973). In Fig. 9 sliding in
boundar y lubrication is shown. Because there is
solid-to-solid cont act , t here is shearing in the
boundar y lubricant. Because boundar y lubrication is a
process of shear in a solid, it is oft en assumed t hat
friction in boundar y lubrication is higher t han for fluid
lubrication, regimes t hree and four. This, however, is
not always the case; it is not necessary t hat the shear
st rengt h of a solid be great er t han the viscous forces of
a fluid. Consi der t hat glass is a fluid, with a viscosity
great enough t hat centuries are requi red for it t o flow
t o the bot t om of the wi ndow frame. Many solids will
yield t o a lower shear force than the forces of viscous
/ f l o w in this fluid. Cer t ai n boundar y lubricants do
reduce static friction to a level below Coul omb friction
and entirely eliminate stick-slip. Some aspects of
these and ot her boundar y lubricants are described in
Section 2.1.3 below.
2.1.2.3. The t hi rd regime: part i al f l ui d lubrication.
Shown in Fig. l 0 is the process by which lubricant is
Sliding Or Rolling
~% Motion P
i : i i : i : i : i : i : i if21 i i : i i : i i : i l i : i i i ' i i i i I i ~ i ~ i i ~
Lubricant, ' - Lubricant.
Extruded by Pressure Entrained by Motion
FIG. 10. Motion brings fluid lubricant into the contact zone.
drawn into the cont act zone. Lubri cant is brought into
the load bearing region t hrough mot i on, either by
sliding or rolling. Some is expelled by pressure arising
from the load, but viscosity prevent s all of t he
lubricant from escaping and thus a film is formed. The
ent rai nment process is domi nat ed by the interaction of
lubricant viscosity, mot i on speed and cont act ge-
omet ry. The great er viscosity or mot i on velocity, the
thicker the fluid film will be. When the film is not
thicker than the height of the asperities, some
solid-to-solid cont act will result and there will be
partial fluid lubrication. When t he film is sufficiently
thick, separation is compl et e and the load is fully
support ed by fluid.
Partial fluid lubrication is shown schematically in
Fig. 11. The dynami cs of partial fluid lubrication can
perhaps be underst ood by anal ogy with a water skier.
At zero velocity the skier is support ed buoyant l y in
the water. Above some critical velocity the skier will
be support ed dynamically by his mot i on. Bet ween
floating and skiing there is a range of velocities
wherein the skier is partially hydrodynami cal l y
supported. These velocities are anal ogous t o the
regime of partial fluid lubrication. The anal ogy is
imperfect in t hat the buoyant support is not like
solid-to-solid cont act ; and the dynami c support of the
skier is due t o fluid inertia as opposed t o viscosity, t he
domi nant force in lubrication. In one aspect, however,
the anal ogy is valid: for bot h t he wat er skier and the
machine, the regime of partial dynami c support is
manifestly unstable. As the skier is elevated by his
increased velocity, his drag is reduced, allowing him
t o go even faster. As partial fluid lubrication
increases, solid-to-solid cont act decreases, reducing
friction and increasing the acceleration of the moving
part.
Partial fluid lubrication is the most difficult t o model
of the four regimes. In t he case of nonconformal
cont act , even full fluid lubrication (Elasto-
Hydr odynami c Lubri cat i on, or EHL) must be
Sliding
- Boundary Layer
Part B
K~ Shearing Takes Place in the Softer Boundary Layer,
Boundary Layer Strength Determines Friction
FIG. 9. Boundary lubrication, regime lI of the Stribeck
curve.
Partial Support by Mot i on
Fluid Lubricant - ~ .~
/
- ~ , O l l d t o S o l i d C o n t a c t
FIG. 11. Partial fluid lubrication, regime III of the Stribeck
c u r v e .
A s ur vey of fri ct i on and cont r ol s 1089
investigated numerically. For these contacts, steady
state flows over smooth surfaces are well understood
(Dowson and Higginson, 1966; Booser, 1984; Pan and
Hamrock, 1989); but these are not the true conditions
of partial fluid lubrication. Work is proceeding toward
an understanding of the interaction of surface
roughness and EHL in steady state motion (Zhu and
Cheng, 1988; Sadeghi and Sui, 1989). From these
papers it appears that the details of surface roughness,
asperity size and orientation, have significant impact
on the lubricant film characteristics, complicating a
general analysis.
Of principal interest to the controls engineer is the
dynamics of partial fluid lubrication with changing
velocity. Theoretical study of this problem is
beginning (Sroda, 1988; Rayiko and Dmytrychenko,
1988). These numerical investigations show a time lag
between a change in the velocity or load conditions
and the change in friction to its new steady state level.
This time or phase lag is called frictional memory and
has been observed experimentally in a wide range of
circumstances (Rabinowicz, 1958; Bell and Burdekin,
1969; Rice and Ruina, 1983; Wairath, 1984; Hess and
Soom, 1990; Armst rong-Hrl ouvry, 1991; Polycarpou
and Soom, 1992; Dupont and Dunlap, 1993). The
observed delay may be on the order of milliseconds
to seconds, and its impact on stick-slip motion may
be substantial (Rice and Ruina, 1983; Dupont, 1994;
Dupont and Dunlap, 1993; Armst rong-Hrl ouvry,
1991, 1992, 1993). Continuing the analogy of the
water skier, frictional memory is a consequence of
state in the frictional contact, just as the height of the
skier is a state variable that does not come to its new
equilibrium instantly. Indeed, new work in triboiogy
suggests that frictional memory in fact arises from the
normal separation in the frictional interface (see
Section 2.3).
2.1.2.4. The fourth regime: full fluid lubrication.
Hydrodynamic or elasto-hydrodynamic.
Hydrodynamic and elasto-hydrodynamic lubrication
(EHL) are two forms of full fluid lubrication.
Hydrodynamic lubrication arises in conformal con-
tacts, and EHL in nonconformai contacts. As Fig. 12
shows, solid-to-solid contact is eliminated. In this
regime, wear is reduced by orders of magnitude and
friction is well behaved. The object of lubrication
engineering is often to maintain full fluid lubrication
effectively and at low cost. Reynolds (1886) and
Sommerfeld (1904) laid the ground work for the
investigation of hydrodynamic lubrication, which has
Full Support by Motion
Fluid Lubricant ~
, , ' . ' . ' . ' . ' . . . . . - . - . - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
FIG. 12. Full fluid lubrication, regime IV of the Stribeck
c u r v e .
. ~ 1 . 0 - -
ca
2
0 . 1 - -
0.01-
t a
0 . 0 0 1 -
U n l u b r i e a t e d B o u n d a r y E l a s t o - H y d r o d y n a m i c
L u b r i c a t i o n C o n d i t i o n
Fro. 13. The range of friction levels [Adapted from Bowden
and Tabor 0973)].
been worked out in great detail (see, for example
Hersey (1914, 1966), Hailing (1975)).
EHL is common in servo-controlled machines. As
mentioned, it is studied numerically: there is no
analytic solution simultaneously satisfying the surface
deformation and fluid flow equations. Generally
speaking, EHL will give higher friction and wear than
hydrodynamic lubrication, as suggested by Fig. 13.
General predictive models of the steady state
lubricant film thickness are available, e.g. Hailing
(1975), Hamrock (1986). The film thickness, which
determines friction as well as protection from wear, is
a function of surface rigidity and geometry, lubricant
viscosity and velocity. For control, the value of these
results will lie in predicting the velocity of transition to
full fluid lubrication. Work is beginning in the
exploration of the transient dynamics of elasto-
hydrodynamic lubrication (Xiaolan and Haiqing,
1987; Harnoy and Friedland, 1994).
2.1.3. Boundary lubricants, a domain of many choices
Boundary lubrication is important to the controls
engineer because of the role it plays in stick slip.
The key to effective boundary lubrication is the
discovery of a molecule that binds with reasonable
strength to the metal surface, but is not corrosive; that
has sufficient strength to withstand the forces of
sliding and yet has a low shear strength to give low
friction. Such molecules are added to the bulk
lubricant, often comprising only a per cent or two of
the total. Lubrication additives may be divided into
three broad classes:
lubricity agents;
extreme pressure agents; and
anti-wear agents.
Long chain hydrocarbons with a polar group at one
end are commonly used as lubricity agents. The polar
group bonds to the metal and the long chain sticks
away from the surface, creating, in effect, a mat of
bristles (Merchant, 1946; Bowden and Tabor, 1973;
Fuller, 1984); the longer the chain (bristle) the lower
the friction. These additives are sometimes called
oiliness agents, anti-friction agents or friction
modifiers. Friction modification refers to reducing the
static friction and friction in boundary lubrication.
The polar hydrocarbons attach themselves to the
metal surface by charge exchange in a process called
' physi-adsorption' . Their application is limited to
situations of moderate temperature. At approximately
100C the polar hydrocarbons desorb and boundary
1090 B. ARMSTRONG-HI~LOUVRY et al.
lubrication is lost (Bowden and Tabor, 1973; Fuller,
1984). For this reason the use of long chain
hydrocarbons is restricted t o applications t hat
generat e little frictional heating, which is generally a
restriction to conformal contacts.
Use of these pol ar hydrocarbons as friction
modifiers is wide spread in the form of ' way oils' , oils
specially formul at ed to eliminate stick slip in machine
slideways (Merchant , 1946; Wolf, 1965; Mobil, 1978).
Machine slideways are conformal , and thus less
affected by frictional heating. A premi um is placed on
eliminating st i ck-sl i p in precision machine tools and
great at t ent i on has been give to the probl em
(Merchant , 1946; Wolf, 1965; Bell and Burdekin,
1966, 1969; Kat o et al., 1972, 1974). The level of static
friction can, in fact, be reduced below the level of
Coul omb friction so t hat there is no destabilizing
negative viscous friction and stick-slip is eliminated
(Merchant , 1946; Wolf, 1965; Mobil, 1978; Wills,
1980). There are st andard procedures for measuring
the lubricity of way oils, one is the Cincinnati
Milacron stick-slip test (Cincinnati Milacron, 1986).
This test procedure measures the friction at
breakaway and at a velocity of 0.5 inches per minute.
The Cincinnati Milacron test procedure is quite
similar t o t hat described in Wol f (1965). The test
manual indicates that when ( E/ Fc <0 . 8 5 ) , stick-slip
will be eliminated. ELF,. values as low as 0.55 are
observed (Millman, 1990). The possibility of wider use
of these lubricants in servo machi nery is an intriguing
one .
Ext reme pressure (EP) agents chemically react with
the metal t o form a film t hat will prot ect the surface
from wear. The principal issue in their formul at i on
has been the reduct i on of wear and seizure (Papay,
1974, 1988; Papay and Di nsmore, 1976), but most EP
additives also provi de a degree of friction modification
and some will pass st andard stick-slip tests (Facchi ano
and Vinci, 1984; Lubrizol, 1988; Cincinnati Milacron,
1986). EP agents are available in a vast variety, and
are universally present in gear and ot her machine
lubricants and thus in many servo-cont rol l ed mach-
ines. EP agents bond with the surface by chemically
reacting with the metal, or ' chemi -adsorpt i on' . For
this reason they tend t o be metal specific. EP additives
function at higher t emperat ures t han do lubricity
additives and so are serviceable under more severe
loading, such as in nonconformal contacts. The
chemi-adsorption also offers a generally st ronger bond
to the surface and thus great er prot ect i on against
wear. The principal limitations of EP additives are a
weaker friction modification than is achieved by the
lubricity agents, and chemical reaction with the
surface, which is by its nat ure corrosive. With EP
agents one in effect acquires greatly reduced
mechanical wear at the price of slow corrosi on (Wills,
1980; Fuller, 1984; Papay, 1988).
Ant i -wear agents ext end the service life of machine
parts t hrough a remarkabl e chemistry t hat can repair
some forms of wear i nduced surface damage (Estler,
1980; Booser, 1984). The issue of principal concern
for the controls engi neer is t hat the anti-wear agent
can interfere with the friction modification of lubricity
or EP additives. Lubri cant additives also perform a
host of ot her functions, including viscosity modifica-
tion, foam cont rol , corrosion prot ect i on, and oxida-
tion stabilization (Papay, 1988). These functions are
key to machine and lubricant life, but do not bear
directly on mechani sm dynamics or control.
Lubricant additives must stay in suspension or
solution in the bulk lubricant. In this way t hey are
available to replenish sites on the surface where t he
lubricant film is damaged by rubbing (Bowden and
Tabor, 1973; Hamr ock, 1986). Repl eni shment of the
boundary layer from the bulk lubricant may be
required after each pass (Vi nogradov et al., 1967;
Camer on, 1984). Gitis (1986a,b) has studied the
relationship bet ween the rates of attrition and
repl eni shment of boundary lubricants and the impact
on stick-slip.
Boundar y lubricants are st andard additives in
machine grease or oil; there is a great range of
formulations, and t hey typically constitute less t han
2% of the total. Systems with high loading and low
relative velocity, such as gear teeth, may operat e
entirely in boundary lubrication (Mobil, 1971;
Wellauer and Hol l oway, 1976; Wilson, 1979). Much
of the attention in boundar y lubricant formul at i on has
been focused on reduct i on of wear. In the design of
lubricants, ot her t han way lubricants, friction
modification has played a secondary role.
Dry lubricants, such as Teflon , operat e by a
variety of mechanisms. Thei r principal liability is the
loss of the protection against wear provi ded by full
fluid lubrication, A good survey of dry lubrication
may be found in either Hailing (1975) or Fuller
(1984). Gassenfeit and Soom (1988) exami ne and
contrast breakaway friction in dry and lubricated
contacts. Pope et al, (1989) address many issues of
concern in space applications. From a cont rol
perspective, dry lubricants may offer the substantial
advantage of eliminating destabilizing partial fluid
lubrication, al t hough negative viscous friction and
stick slip may still be present (Martins et al., 1990).
2. 1. 4. Rel axat i on oscillations
Stick slip was apparent in early studies of low speed
mot i on. The first at t empt s at explanation were carried
out within the static plus Coul omb friction model of
Fig. l (a) (Thomas, 1930). Using a sensitive displace-
ment measuri ng apparat us, phot omi crographs of the
rubbi ng surfaces and hydraulically produced steady
mot i on, Bowden and Leben (1939) demonst rat ed that
sticking occurs and coined the term stick-slip
(Rabi nowi cz, 1956b). They observed welding in t he
phot omi cr ogr aphs and, using the t hermocoupl e effect
bet ween dissimilar metals, t hey found wide t empera-
t ure fluctuations that are correlated with the stick
cycle. Br owden and Leben posited local melting of
one rubbi ng metal as a mechanism for decreased
friction during sliding. They found t hat a similar
stick-slip occurs in many lubricated systems, even if
t here is no welding; and t hat no stick-slip occurs
when long chain fatty acids are used as a lubricant. At
the time boundar y lubricants were not well under-
A survey of friction and control s 1091
stood. The fatty acids used by Bowden and Leben
(1939) are now commonly used as lubricity agents.
In 1940 experiments had not yet been conducted
which could observe the details of friction during a
stick-slip cycle, but it became evident from macro-
scopic observations, in particular the range of speeds
and structural conditions over which stick-slip will
occur, that the static plus Coulomb friction model w a s
inadequate to explain the observed phenomena.
Dudley and Swift (1949) employed phase plane
analysis to study the possible oscillations in slider
mechanisms, that is mass-spring-damper systems
equivalent to PD control. A negative viscous friction,
as shown in Fig. 1(c), was posited and efforts were
directed at elucidating its character by fitting predicted
oscillations to observed stick-slip (Dudley and Swift,
1949).
Experiments grew progressively more sensitive
(Sampson e t a l . , 1943; Dokos, 1946; Rabinowicz,
1951, 1956, 1958; Rabinowicz and Tabor, 1951;
Rabinowicz e t a l . , 1955) and evidence mounted both
for negative viscous friction, Fig. 1(c), and indicating
that changes in friction do not coincide exactly with
changes of mechanism state. That is to say that
dynamics were found to exist within the surface
processes that determine friction. Using experiments
designed to directly determine the properties o f
breakaway (the transition from static to Coulomb
friction), Rabinowicz (1951) found that breakaway is
not instantaneous, and proposed a model involving
translational distance to account for decreasing
friction as motion progressed. Rabinowicz (1958)
reports an experiment capable of measuring the
acceleration of a slider during stick-slip, and observes
that the acceleration and deceleration curves are n o t
symmetric. Rabinowicz (1958) is a landmark paper
because the two temporal phenomena in the stick-slip
process are integrated into a friction model that will at
least qualitatively predict the range of speeds and
structural conditions over which stick-slip will occur.
The temporal phenomena are:
(1) a connection between the time a junction spends
in the stuck condition, i.e. dwell time, and the
level of static friction (rising static friction); and
(2) a time delay or phase lag between a change in
velocity and the corresponding change in friction
(frictional memory).
2.1.4.1. R i s i n g s t at i c f r i c t i o n a n d e x t i n g u i s h i n g s t i c k
s l i p b y i n c r e a s i n g v e l o c i t y . To understand the role
played by rising static friction and frictional memory,
it is necessary to consider the stages of a stick-slip
cycle; this discussion and Figs 14-16 follow Rabinow-
icz (1958). In Fig. 14 a pin-on-flat friction machine is
sketched. Here the pin is held in place by a spring and
the flat moves at a constant velocity. The mechanism
is analogous to a servo machine moving with a desired
velocity, k~, a proportional control gain, kp, and
damping, k,,. The discussion assumes moderate values
of damping; extremely large values of damping will
influence the qualitative behavior, but moderate
values will not (Bell and Burdekin, 1969).
Under some conditions, a system such as that of
Fig. 14 will exhibit stick-slip. The spring force (control
Motion of
S t i c k - S l i p Cycle
Se ns e F , -~ --
~ Spring.Force _~or ma l F o r c e
k p
Dampe, [ ~_ ? v ~ 1 Pin
j Flat
I : , , , , , , . . . . . . I
~ X d
Flo. 14. Pin on fiat friction machine, schematic; fiat slides
under-pin.
S t a l k F r k t l e a D e p e a d mt UIMm Rat e
Time
. g
gh
F s , o o b
- A Stick d Slip f
\ \ _
/ S~T~. v~. T~=, V~ d
TI T2
Time
A
Velocity I n c r e a s e d
FIo. 15. Spring force profile during sti ck-sl i p motion at t wo
velocities; spring force decreases whe n velocity increases.
=i i_ _
d b
Fstatic
F coulomb
Dwell Time
FIO. 16. Static friction ( breakaway force) as a f unct i on o f
dwel l t i me, schemati c; wi t h sti ck-sl i p cycl e s hown. Dwe l l
t i me is the t i me in static fri cti on, s hown as T 2 in Fig. 15.
1092 B. ARMSTRONG-Hi~LOUVRY e t a l .
action) observed during mot i on is sket ched in Fig. 15.
Duri ng the stuck, interval, interval a - b , the force rises
at a rate /~wr~,~ = kr- f a. At point b the force reaches
Fs~, the level of static friction when the system has
been at rest for considerable time, and slip begins.
During interval b - c slip occurs; t he exact mot i on is
governed by the mass spring dynami cs plus the details
of the friction forces. A rapid transit is qualitatively
indicated here. At point c, the pin is arrested on the
fiat and the spring force again begins to rise at rat e
i~spri,g = k p Xd , ent eri ng a stable limit cycle of points
c - d - e . Point d is somewhat lower than point b
because the system has onl y been at rest for dwell
time c- d. At point g the velocity -fa is increased. The
i mport ant empirical fact is that as the velocity is
increased, the size of the limit cycle, i - j - k , diminishes
(Dokos, 1946; Rabinowicz, 1958; Kat o e t a l . , 1972,
1974). I f the condi t i on at point j were identical t o t he
condition at point d, a decrease in the slip distance
would not be observed, and an analysis based on the
static plus Coul omb friction model will not predict
that the limit cycle will decrease. In Fig. 16 the limit
cycles c - d - e and i - j - k are shown on a plot of static
friction as a function of dwell time. The dwell time is
the time during which the surfaces are in fixed
cont act , the time intervals a - b , c - d, e - f , g - h and i - j
in Fig. 15. The static friction increases with dwell time
and this account s for t he larger limit cycle at lower
velocity. Figure 17 is a plot of rising static friction
measured directly by Kat o e t al . (1972) who provi de a
t horough analysis of the processes relating static
friction and dwell time. Lubri cant s A, B, C and D
are, respectively, viscous mineral oil, commerci al
slideway lubricant, castor oil and paraffin oil. Not e
that in Fig. 16 the time scale is linear, as opposed t o
logarithmic in Fig. 17. The empirical model of ( Kat o
e t a l . , 1972), relating static friction and dwell time is:
E( t ) = F~= - ( V~ - Fc)e r ' ' , (3)
where F~. is the ultimate static friction; Fc is the
Coul omb friction at the moment of arrival in t he stuck
condition; y and m are empirical paramet ers. Kat o e t
al . (1972) exami ne conformal contacts and find y to
range from 0.04 t o 0.64, and rn from 0.36 t o 0.67.
, , . , ~ L_ , I , t t , t ~ A
0. 5 S I G I ~ B
C
' - - -
O l I I 0 I 0 0 I 0 0 0 I 0 0 0 0
7"2 seconds
FIG. 17. Measurements of the static friction coefficient (/~o in
Kato's notation) as a function of Tz, the dwell time or time
spent in static friction [from Kato et aL (1972), courtesy of
the publisher].
0.3
t T I
t
L.~ o Steel On steel, unlubncated J
~ _ L = 1750grn/.~. = 0.50
0 . 2 o ~ 1
..~ / k = 0.23 cm/kg
: - ~ c m/ M
<
0.1
. ~ Il k = 0 , 0
0 ,~ I l / k d. 006 c mt ~ ,5 ~ l
10 -3 10 -~ 10-1
Velocity (cm/ see)
FIG. 18. Stick-slip amplitude as a function of velocity, for
several values of spring stiffness [from Rabinowicz (1965),
courtesy of the publisher].
Armst rong-Hdl ouvry (1991) examines a non-
conformal cont act and finds 7 = 1.66 and m = 0.65. A
small y indicates a long rise time and thus resists stick
slip.
Armst rong-Hdi ouvry (1991, 1992) presents a model
of rising static friction which is useful for analysis and
solves some probl ems associated with using Fc as t he
starting point of the static friction rise. The model ,
which has one fewer par amet er than t hat of equat i on
(3), is:
t,
F,.h,,(t2) = F~ ...... + (E~.~ - E ..... ' ) t - ~ y ; (4)
where F,.h, is the level of Stribeck friction at the
beginning (breakaway) of the nt h interval of slip; and
Fs . . . . . is the Stribeck friction at the end (arrival) of the
previous interval of slip. Not e t hat y, still an empiric
fact or, will be different in physical dimension from
t hat of equat i on (3).
Figure 18 presents the amplitude of t he spring force
cycle during stick-slip, shown as a function of
machi ne velocity, ka, for several values of spring
stiffness, kp (Rabi nowi cz, 1965). Rabi nowi cz' s experi-
ment is shown schematically in Fig. 14. The amplitude
of t he spring force cycle is a decreasing function of
velocity until stick-slip is abrupt l y extinguished. The
amplitude is also a decreasing function of stiffness.
These dat a represent values of several stiffnesses in
unl ubri cat ed contacts. Brockl ey e t al . (1967), Brockl ey
and Davis (1968), Ko and Brockl ey (1970), present
dat a observed in an experi ment with several levels of
dampi ng and Kat o e t al . (1972) present dat a collected
with various lubricants. The analysis and dat a of Kat o
e t al . (1972) are the most germane t o servo
mechanisms as t hey i ncorporat e engineering materials
and lubricants. All of these dat a present the same
pat t ern: slip amplitude as a decreasing function of
velocity up t o an abrupt elimination of stick-slip. The
process is one of increased velocity leading to reduced
dwell time, which lowers the static friction at
breakaway, this furt her reducing the dwell time. At
some critical velocity t he dwell time is insufficient t o
A survey of friction and controls 1093
build up destabilizing static friction and stick-slip is
extinguished. Derjaguin et al. (1957), Singh (1990)
and Armstrong-H61ouvry (1991) present theoretical
treatments that predict the critical velocity for
termination of stick-slip as a function of system
paramet ers and rising static friction. For the controls
engineer these analyses provide an approach to the
question of how slow a machine may be driven before
the onset of stick-slip, and on what parameters this
limit depends.
Richardson and Nolle (1976) point out that in the
experiments of Rabinowicz, Kat o and others, force
was applied at a steady rate, as shown by the slope of
the line from c- d in Fig. 15, creating a connection
between force rate and dwell time: the higher the
force rate the shorter the dwell time. Johannes et al.
(1973) and Richardson and Nolle (1976) report
experiments designed to allow independent variation
of force rate and dwell time. They find that the
reduction of static friction is not so much a
consequence of short dwell time as of rapid force
application rate, posing a challenge for explanations
based on creep. Martins et al. (1990) propose an
explanation based on normal penetration of the
friction surfaces. For linear feedback control the
distinction is perhaps not great; but for impulsive
control designs the implications may be both
considerable and favorable.
2.1.4.2. Fri ct i onal me mo r y and ext i ngui shi ng s t i c k -
sl i p by i ncreasi ng stiffness. In Fig. 18 one observes that
the trial with the stiffest spring did not exhibit
stick-slip at any velocity. It is widely observed that
stick-slip can be eliminated by stiffening a mechanism
(Bell and Burdekin, 1966, 1969; Rabinowicz, 1965;
Armstrong, 1989; Armstrong-H61ouvry, 1991). A
stiffness above which there will be no stick-slip is not
predicted by a model like that of Fig. l(a); but
increased stiffness is the key to eliminating stick-slip
in many mechanical situations (Hailing, 1975).
The Stribeck curve, Fig. 19(a), shows a dependence
of friction upon velocity. If there is a change in
velocity, one might presume the corresponding change
in friction to occur simultaneously, as suggested in
Fig. 19(b). In fact there is a delay in the change in
friction, as suggested by Fig. 19(c), (Sampson et al . ,
1943; Rabinowicz, 1958, 1965; Bell and Burdekin,
1966, 1969; Rice and Ruina, 1983; Hess and Soom,
1990; Polycarpou and Soom, 1992). Returning to the
image of partial hydrodynamic lubrication as a water
skier with partial dynamic support, if we imagine the
water skier half out of the water, his drag will be a
decreasing function of velocity. If the tow boat
suddenly increases speed, the skiers drag will
decrease, but, as in Fig. 19(c), some time will pass
before the new steady state drag is observed. Figure
19 is schematic. Experimental data corresponding to
the observation of Fig. 19(c) is presented in Fig. 20.
Rabinowicz (1951) showed that friction level lags a
change in system state with an experiment that related
delivered impulse to translation distance in a sliding
contact. He ascribed the frictional memory to a
necessary translation distance for a change in friction,
on the scale of surface asperities (Rabinowicz, 1951,
1958, 1965). In fluid lubricated contacts, there is
evidence that a simple time lag better describes the
effect (Hess and Soom, 1990). At extremely low
velocities, evidence supports a state variable model
(Rice and Ruina, 1983; Dupont and Dunlap, 1993);
see Section 2.1.5. Bell and Burdekin' s (1966, 1969)
data are particularly applicable to common machine
Friction a >
Friction b >
Q
o
tL
a b ~ ~ j
A A
Velocity b Velocity
Velocity a
(a) Stribeck Friction versus Velocity Curve
Friction a -
Friction b -
Velocity b -
Velocity a -
nctnon Friction a -
Friction b -
V o l o c i t y u - !
Velocity Velocity a
T i m e ~
(b) Friction and Velocity vs Time,
No Frictional Memory
Frictional Memory
A t - * L I ' - -
Fri cti on
~ Velocity
Time b
(c) Friction and Velocity vs Time,
With Frictional Memory
FIG. 19. Time relation between a change in velocity and the corresponding change in friction.
1094 B. ARMSTRONG-Hi~LOUVRY e t a l .
14.0
F (N) ~
3.0
; t i , i i ; ! i
0.1 :
v (~/sec) i
0.0
, , , , o [ ,
0.5 t (see) 0.6
FiG. 20. Typical friction-speed time shift; contact l oad=
250 N, lubricant viscosity = 0.322 Pa - s, frequency = l Hz.
F(N): friction, N; V(m s-t): velocity [from Hess and Soom
(1990), courtesy of the publisher].
configurations. Figure 21 is from (Hess and Soom,
1990) and shows friction dat a for one oscillation of an
oscillatory mot i on t hat brings t he system i nt o partial
fluid lubrication. This experi ment was conduct ed by
superimposing a velocity oscillation on st eady sliding.
Af t er first stabilizing t he average mot i on, t he
magni t ude of the velocity oscillation may be chosen t o
probe t he very low velocity regime wi t hout arriving at
zero velocity or static friction. " # " in Figs 21 and 22,
as well as Fig. 17, is t he friction coefficient, friction
force divided by the normal load. Not e t he vertical
separation bet ween t he friction curves. The upper
friction curve is given during t he acceleration away
from zero velocity and t he lower during decel erat i on.
The solid line of Fig. 21 was generat ed model i ng
frictional memor y as a pure lag, such t hat
F I ( t ) = t v c , ( i ( t - At)), (5)
where Fr(t ) is t he i nst ant aneous friction force, Fvc~(') is
friction as a function of st eady state velocity, see Fig.
5, and At is t he lag paramet er, t he time by which a
change in friction lags a change in velocity. Hess and
Soom (1990) carefully measure At and find it t o range
from 3 t o 9ms in a range of load and lubricant
combinations; the lag increasing with increasing
lubricant viscosity and with increasing cont act load.
The lag appears t o be i ndependent of oscillatory
frequency (Hess and Soom, 1990). When the period
of the oscillation is short relative t o At, t he hysteresis,
t hat is the separation bet ween the friction levels
0.2
o,~ ,:o o
o.o ~ ~
o . o ' V C m / s e ) - - - ' 0 . 2
FIG. 21. Friction as a function of velocity; O: experimental;
- - : theoretical, from equations (7) and (5) [from Hess and
Soom (1990), courtesy of the publisher].
0. 2
#
0. 0
(a)
i
\
0. 0
0.2
(b)
0. 0 x x . . . . . . . . - -
0.0 V (m/sec) 0.5
FIG. 22. Friction as a function of velocity; for three different
frequencies of oscillation: .: 0.1 Hz; : 1 Hz; : 5 Hz. (a):
experimental; (b): theoretical, from equations (5) and (7)
[from Hess and Soom (1990), courtesy of the publisher].
during acceleration and deceleration, is greatest. This
is illustrated in Fig. 22, also from Hess and Soom
(1990). The dat a present ed were acqui red driving
their pin-on-disk cont act at t hree different fre-
quencies. Figure 22(b) shows t he friction curves
predicted by their model with frictional memor y
model ed as a pure lag and should be compar ed with
the experimental dat a illustrated in Fig. 22(a).
Indicative of t he progress of triboiogy, the friction
model of Hess and Soom (1990) which account s for
contact geomet r y and loading, material properties,
velocity, lubricant viscosity and Stribeck friction, is t o
a large degree based on cont act and lubricant
parameters, only three paramet ers are fit a p o s t e r i o r i
to the data.
Evi dence for frictional memor y is available from a
range of experimental sources: Sampson e t a l . (1943),
Rabinowicz (1958, 1965), Bell and Burdeki n (1966,
1969), Wal rat h (1984), Rice and Rui na (1983), Hess
and Soom (1990). Tri bol ogy is not yet able t o offer a
theoretically mot i vat ed model of the frictional
memory, t hough Xiaolan and Hai qi ng (1987) numeri-
cally investigate transient el ast o-hydrodynami c lubri-
cation using an analysis t hat starts with Reynol d' s
equat i on and Hert zi an cont act analysis; with this t hey
find a time lag of 3 ms between velocity and friction
changes in simulated sliding contact. The physical
process giving rise t o frictional memor y appears t o
relate t o the time required to modi fy the lubricant film
thickness, a process measured by several investigators
(Tolstoi, 1967; Bell and Burdeki n, 1969; Bo and
A s ur ve y o f f r i ct i on a nd c ont r ol s 1095
Pavelescu, 1982). A peri od of time requi red t o obt ai n
a new film thickness may be one of several
contributing processes, as frictional memor y is also
observed in dry cont act s (Rabi nowi cz, 1951).
2.1.5. St at e v a r i a b l e f r i c t i o n mo d e l s
An alternative t o t he pure time lag model is provi ded
by t he state variable model s devel oped by the rock
mechani cs communi t y (Rui na, 1980; Rice and Rui na,
1983; Gu e t al . , 1984; Okubo, 1986; Dieterich, 1991;
Li nker and Di et eri ch, 1992). Interest in rock friction
stems f r om t he hypot hesi s t hat eart hquakes are
fault-line st i ck-sl i p events. While these model s have
been devel oped f r om friction experi ment s on rocks,
their propert i es have recent l y been observed for a
range of materials (Dieterich, 1991; Dupont and
Dunl ap, 1993). These include lubricated steel,
Teflon on steel, glass, plastic and wood. To date,
these experi ment s have been limited t o velocities
within the boundar y lubrication regime.
The state variable model s i ncorporat e a dependence
on displacement history. They typically possess t he
following t hree propert i es (assuming const ant normal
stress):
(1) a steady-state dependence on velocity;
(2) an i nst ant aneous dependence on velocity; and
(3) an evol ut i onary dependence on characteristic
sliding distances.
The steady-state effect, (1), represents t he general-
ized Stribeck curve. The i nst ant aneous effect, (2),
means t hat an i nst ant aneous change in velocity results
in an i nst ant aneous change in t he friction force in t he
same direction. The third pr oper t y indicates t hat
following a sudden change in velocity, t he steady-state
curve is approached t hrough an exponent i al decay
over characteristic sliding distances. This t ype of
model can reproduce t he friction behavi or depi ct ed in
Fig. 21 ( Dupont , 1994).
For const ant normal stress, t he general model
including t he n state variables, 0i, is given by:
Ft ( t ) = f ( V , Or, 02 . . . . . 0 , )
Oi =g ~ ( V, 0 , , Oz . . . . . 0 , ) , i = 1, 2 . . . . . n. (6)
This form implies t hat a sudden change in velocity
cannot produce a sudden change in t he state, 0, but
does affect its time derivative. Hence, t he instan-
t aneous velocity effect takes place at const ant state.
The evolution of t he state variables in response t o
changes in velocity, t oget her with t he i nst ant aneous
velocity effect, dictate t he dynami c behavi or.
Physical i nt erpret at i ons of t he state variables are
possible. Consi der a st andard dry friction model in
which friction stress depends on t he yield stress of
asperity junctions. For a single state variable and
constant normal stress, the state variable can be
related t o the mean lifetime of an asperity j unct i on.
Recent l y, these models have been enhanced t o
include dependence on normal stress. I n this case, t he
state variables can be rel at ed t o t he t i me-dependent
growth of the l oad-beari ng j unct i ons (Li nker and
Dieterich, 1992).
The functional f or m of t he state variable model s
was deduced from the response t o step changes
o.
o
o
o. o
~ 9
o o
go
LL C)
0
STEP CHANGE tN NOMINAL S L I P RATE
1 0 - 2 - 1 0 o / j . m / s
1 0 0 I 1 0 - 1 I 1 0 - 2 I 1 0 - 1 1 0 0 I 1 0 - 2 I 1 0 0 R u i n a ,
~ m / s p, r n / s p.m/s p m / s I p.m/s p.m/s p m / s q u a r t z i t e
0 . 0
i i i i i i i
1 0 . 0 2 0 . 0 3 0 . 0 4 0 . 0 5 0 . 0 6 0 . 0 7 0 . 0
DISPLACEMENT (u.m)
FiG. 23. Friction stress as a function of displacement in trials
with unlubricated quartzite. Step changes in velocity produce
the instantaneous-effect spikes and subsequent evolution to
the new steady-state level [from Ruina et al. (1986), courtesy
of the authors].
imposed on the velocity at t he friction interface.
These experiments are a significant i mpr ovement over
standard tribology experi ment s because t hey involve
control of the friction interface mot i on instead of t he
act uat or mot i on.
Figure 23 depicts friction stress versus di spl acement
dat a obt ai ned by Rui na e t al. (1986). The t hree
model ed effects are clearly visible in t he data. The fact
that very small, steady velocities were achieved
t hrough closed-loop cont rol in these experi ment s is
additional evidence t hat stable, low-velocity cont rol is
possible.
State variables models (or additional internal states)
have also been pr oposed whose behavi or resembl es
t hat of a connect i on with a stiff (nonlinear) spring
(Dahl, 1977). The Dahl model predicts a frictional lag
between velocity reversals and leads t o hysteresis
loops. The mat hemat i cal propert i es of t he Dahl model
are studied in Bliman (1993). However , this model
can onl y predict Coul omb friction steady-state velocity
characteristics; t he Stribeck effect is not included. An
interesting i nt erpret at i on of this model by using linear
space invariant models (instead of nonl i near
differential equat i ons) is present ed in Bliman and
Sorine (1991). With this new model it becomes clear
how frictional forces, predicted by the Dahl model ,
depend on t he curve length associated with t he
t raj ect ory of relative mot i ons (integral of t he velocity
absolute value). To i nt roduce t he Stribeck effect, it is
possible t o ext end t he Dahl model (which is
first-order) t o a model with a high degree of
differentiability (Bliman and Sorine 1991, 1993). The
second-order Dahl model can show t he Stribeck
phenomenon by produci ng an over shoot in t he
response of t he friction forces. Anot her possibility is
t o modify t he original Dahi model so as t o include t he
Stribeck effect wi t hout increasing the system state
dimension (Canudas de Wit e t al. 1993). I n this
modified Dahi model , t he internal states have a
physical i nt erpret at i on. They describe t he Bristles
average deformat i on.
The state variable model s of Rice and Rui na (1983),
t he translation distance of Rabi nowi cz, and the pure
lag of Hess and Soom (1990) are all represent at i ons of
1096 B. ARMSTRONG-HI~LOUVRY e t al .
frictional memor y. The effect of frictional memor y is a
delay in the onset of the destabilizing drop in friction.
Fr om a cont rol st andpoi nt , the frictional memor y
reduces the destabilizing influence of Stribeck friction.
If t he time const ant s of a system are short in relation
t o t he frictional memor y, which is to say that the
mechani sm (cont rol ) is sufficiently stiff, the stick-slip
limit cycle will not be stable (Rabi nowi cz, 1965). (For
t he range of frictional memor y time constants, see
Tabl e 1). Thi s is t he p r o c e s s wh e r e b y i n c r e a s i n g
s t i f f n e s s e l i mi n a t e s s t i c k - s l i p .
2.1.6. Fr i c t i o n as a f u n c t i o n o f s t e a d y s t at e v e l o c i t y :
v a r i a n t s o f t he S t r i b e c k c u r v e
Friction is a function of velocity because the physical
process of shear in the j unct i on changes with velocity.
Figure 24 presents several fri ct i on-vel oci t y curves.
Details of t he ( f - v) curve depend upon the degree of
boundar y lubrication and the details of partial fluid
lubrication. Curves such as (a) arise when lubricants
t hat provi de little or no boundar y lubrication are
empl oyed. The dat a of Bell and Burdekin (1966,
1969) and Hess and Soom (1990) indicate such a
curve. When boundar y lubrication is more effective,
t he friction is relatively const ant up t o the velocity at
which partial fluid lubrication begins t o play a role.
Vi nogr adov e t al. (1967) and Khitrik and Shmakov
(1987) present dat a support i ng a flat ( f - v) curve
t hrough t he region of boundar y lubrication, as
suggested by curve (b) of Fig. 24. Fuller (1984) cites
dat a cont rast i ng a specific lubricating oil with and
wi t hout a lubricity additive. The plain oil gives a curve
of t ype (a); with the lubricity additive a curve of type
(b) is observed [see Fuller (1984), Figs 11-14; the
reference offers considerable discussion of boundar y
lubrication]. One must be careful in discussing friction
as a function of steady state velocity. Dat a collected
during velocity transients will exhibit t he effects of
frictional memor y, equat i on (5), and a curve of t ype
(b) may be observed even if the underl yi ng steady
state ( f - v) curve is of t ype (a). Bell and Burdeki n
(1969) present a t hor ough analysis of this phenome-
non. A curve of t ype (c) is given by way lubricants
(Merchant, 1946; Wolf, 1965). The boundar y
lubrication provi ded by the additives t o these oils
: Limited Boundary Lubrication
: Substantial Boundary Lubrication
Way Lubri cant
Velocity ,,
FIG. 24. Friction as a function of steady state velocity for
various lubricants; the (f-v) curve [after Fuller (1984)].
reduces static friction t o a level below Coul omb
friction.
For analysis or simulation it is i mport ant to have a
mathematical model of the steady-state fri ct i on-
velocity dependence. Hess and Soom (1990) empl oy a
model of the form
F ( Y c ) = F, - + ] ( g
F c)
+ ( ~ I L ) " + F,,~ (7 )
and show a systematic dependence of .f,. and F. on
lubricant and loading paramet ers. Bo and Pavelescu
(1982) review several models proposed in the
literature and adopt and t hen linearize an exponential
model of the form:
F(Yc) = Fc + ( ~ - Fc ) e (s/x,)~ + F,,Yc, (8)
where E is the level of static friction, Fc is t he
minimum level of Coul omb friction, and ,f,. and 6 are
empirical paramet ers. The viscous friction paramet er,
F,,, is added here; a viscous term was not i ncorporat ed
by Bo and Pavelescu (1982). In t he literature surveyed
by Bo and Pavelescu (1982), t hey find 6 t o range from
1/2 to 1. Armst rong-H61ouvry (1990, 1991) empl oys
6 = 2; and the dat a cited by Fuller (1984), observed in
a system with an effective boundar y lubricant, would
suggest 6 very large. The exponential model (8), with
6 = 2, is a Gaussi an model. The Gaussian model is
nearly equivalent t o the Lorent zi an model of Hess and
Soom (1990), equat i on (7).
The exponential model (8), is not a strong
constraint. By appropri at e choice of paramet ers,
curves of types (a), (b) and (c) can be realized. What
is needed are dat a such as t hat of Hess and Soom
(1990) over a broad range of engineering materials,
conditions and lubricants. For specific lubricant
formulations, lubrication engineering firms can pro-
vide measures of lubricity and ot her qualities based on
standard industrial tests. The st andard tests of
lubricant qualities are not t he equivalent of t he dat a of
Hess and Soom (1990), but are none-the-less useful.
Industrial testing for iubricity is still evolving
(Ludema, 1988).
2.2. An Int egrat ed Friction Model
This discussion of friction has focused on sliding
between hard metal parts lubricated by oil or grease.
For reasons of machine life and performance, these
engineering materials make up many of the machines
encount ered by controls engineers. When these
materials are used, the state of underst andi ng
supports a friction model t hat is compri sed of four
velocity regimes, two time dependent properties and
several mechani sm dependent properties.
(1) The four velocity regimes.
(I) Static Friction: displacement (not velocity) is
proport i onal t o force [see Fig. 7 and
equat i on (1)].
(II) Boundar y Lubrication: friction is dependent
on surface properties and lubricant
chemistry.
( I I I ) Partial Fluid Lubri cat i on: if static friction is
great er than Coul omb friction, friction
decreases with increasing velocity.
A s u r v e y o f f r i c t i o n a n d c o n t r o l s 1 0 9 7
(IV) Full Fluid Lubri cat i on: friction is a funct i on
of velocity, a viscous plus Coul omb friction
model may model t he friction quite accur-
ately. [Regi mes I I - I V in Fig. 5, see also
equat i on (8).]
(2) The t wo t i me- dependent propert i es.
(I) Rising Static Friction with Increasing Dwell
Ti me [see Fig. 16 and equat i on (3)].
(II) Frictional Memor y: in partial fluid lubrica-
tion, friction is dependent upon velocity and
load; a change in friction will lag changes in
velocity or l oad [see Fig. 20 and equat i on
( 5) 1.
2.2.1. T h e s e v e n p a r a m e t e r f r i c t i o n m o d e l . Theor et -
ically mot i vat ed model s for t he component s of
friction are not yet available, and a variety of
empirically mot i vat ed forms have been present ed.
One choice of model is t he seven par amet er model ,
where t he friction is given by:
N o t s l i d i n g ( p r e - s l i d i n g d i s p l a c e m e n t ) .
Fr(x ) = - k , x ( 9 )
S l i d i n g ( C o u l o m b + v i s c o u s + S t r i b e c k c u r v e friction
wi t h f r i c t i o n a l m e m o r y ) .
6 ( ~ , t ) =
/
- [ F c + F ~, l i l + F ~( y, t2)
1)
( 2 ( t - rL)] 2 sgn (i ).
1 + - - - - - - - ~- - - /
( l o )
R i s i n g s t at i c f r i c t i o n ( f r i c t i o n l e v e l a t b r e a k a w a y ) .
t2
F~(y, t2) = F, ~ + (Fs. - F , . , ) - - , (11)
' t 2 +
where:
FI(. ) is t he i nst aneous friction force;
Fc ( * ) is t he Coul omb friction force;
F~ ( * ) is t he viscous friction force;
F, is t he magni t ude of t he Stribeck friction
(frictional force at breakaway is Fc + F,);
F,., is the magni t ude of t he Stribeck friction at t he
end of t he previ ous sliding peri od;
F, (*) is the magni t ude of t he Stribeck friction
after a l ong time at rest (with a slow application
of force);
k, (*) is t he tangential stiffness of t he static
cont act ;
i , (*) is the characteristic velocity of t he Stribeck
friction;
rL (*) is the time const ant of frictional memor y;
}, (*) is t he t empor al par amet er of t he rising
static friction;
h is t he dwell time, time at zero velocity;
(*) marks friction model paramet ers, ot her vari-
ables are state variables.
The magni t udes of t he seven friction paramet ers will
naturally depend upon the mechani sm and lubrica-
tion, but typical values may be offered. Ranges
suggested elsewhere in this section, originating
TABLE 1. APPROXIMATE RANGES FOR THE PARAMETERS OF
THE SEVEN PARAMETER FRICTION MODEL
Parameter range Parameter depends
principally upon
0.001 - 0.1 * F, Lubricant viscosity, con- F~
F,,
Fs.~
k,
0-very large
0 - 0.1*F.
1
~ * ( ~ + F c ) ;
a ~ = 1 - 50[ um]
01[ meter]
0 . 0 0 0 0 1 - tse--S0-dodJ
t t 1 - 5 0 [ m s ]
; , 0 - 2 0 6 [ s ]
tact geometry and
loading
Lubricant viscosity, con-
tact geometry and
loading
Boundary lubrication,
F,-
Material properties and
surface finish
Boundary lubrication,
lubricant viscosity,
Material properties and
surface finish,
Contact geometry and
loading
Lubricant viscosity, con-
tact geometry and
loading
Boundary lubrication
principally with Bowden and Tabor (1973), Kat o e t al.
(1974), Fuller (1984), Armst rong-H61ouvry (1991),
Hess and Soom (1991a, b), Pol ycarpou and Soom
(1992), are summari zed in Tabl e 1. The friction force
magnitudes, F o Fo and Fs are expressed as a funct i on
of normal force, i.e. as coefficients of friction. Ax is
t he deflection before breakaway resulting from
cont act compliance.
Each of t he seven paramet ers of the model
represent s a different friction phenomenon. The seven
rows of Tabl e 2 indicate t he effect of these
TABLE 2. FRICTION MODEL CAPABILITIES
Friction model Predicted/observed
behavior
Viscous
Coulomb
Static + Coulomb + Viscous
Stribeck
Rising static friction
Frictional memory
Presliding displacement
Stability at all velocities and
at velocity reversals.
No stick-slip for PD control;
No hunting for PID
control
Predicts stick slip for certain
initial conditions under
PD control; predicts hunt-
ing under PID control.
Needed to correctly predict
initial conditions leading
to stick-slip.
Needed to correctly predict
interaction of velocity and
stick-slip amplitude.
Needed to correctly predict
interaction of stiffness and
stick-slip amplitude.
Needed to correctly predict
small displacements while
sticking (including velocity
reversals).
AUTO30-7-B
1098 B. ARMSTRONG-HI~LOUVRY et al.
phenomena on sliding behavior. Al t ernat i vel y, and
mor e appropri at el y, the table can be used to select a
friction model based on experimental observations.
Pol ycarpou and Soom (1992) have recently report ed
dynamic measurement s of friction in lubricated metal
contacts made with a remarkabl y sensitive apparatus.
Except for viscous and rising static friction, each of
the component s of the seven par amet er model is
evident in the dat a of Pol ycarpou and Soom (1992);
and the aut hors observe t hat rising static friction may
have been present on a time scale ot her than t hat
observed. Furt hermore, al t hough a detailed para-
met er identification is not present ed, the aut hors are
able to account for all of the qualitative phenomena
with reference to presliding displacement, Coul omb
and Stribeck friction, and frictional memory.
In practical machi nes t here t end t o be many rubbi ng
surfaces---drive elements, seals, rot at i ng electrical
contacts, bearings et c- - whi ch cont ri but e t o the total
friction. In some mechanisms, a single interface may
be the domi nant cont ri but or, as transmission el ement s
often are. In ot her cases where t here are several
elements contributing at a comparabl e level, it may be
impossible to identify their individual cont ri but i ons
without machine disassembly. In these cases, a model ,
such as the one above, can be used t o represent t he
aggregate friction.
2. 2. 2. Speci al mechani cal consi derat i ons
Much of this survey has dealt with sliding lubricated
metal cont act s; but ot her cont act s may be i mport ant .
This section provi des a brief overview of rolling
friction as well as ot her friction phenomena which
may arise in compl ex machines.
2.2.2.1. Rol l i ng f ri ct i on. Rolling el ement s typically
generat e much less friction t han sliding elements at
comparabl e loads and speeds. For this reason, the
friction cont ri but i on of roller bearings is usually
insignificant in compari son with t hat of the sliding
cont act s in a machine and, thus, oft en plays a mi nor
role in machi ne design. Some i mport ant exceptions
include disk drives; ball screws ( Ro and Hubbel , 1993)
and ball-bearing slideways (Futami et al. , 1990) used
in precision engi neeri ng; and the gimbal bearings of
pointing and tracking devices (Gilbart and Winston,
1974; Wal rat h, 1984; Himmell, 1985; Maquei ra and
Masten, 1993).
To gain an appreci at i on of the level of friction
involved, consider t hat for ball and roller bearings
operat i ng at typical loads and speeds, the friction
coefficients range bet ween /~ = 0.001 and 0.005
(Eschmann, 1985). For roller bearings, the friction
coefficient is related t o friction t orque by:
r/ (12)
t~ = Fd / 2 "
Here, ~/ is t he friction t orque, F is the resultant
bearing load, including bot h radial and axial
component s, and d is the bearing bore di amet er.
Starting from rest, a slightly higher stiction level of
' rolling' friction may exist, but in ball bearings this
effect is usually quite small (Pal mgren, 1945).
Several friction models have been proposed over
the years. Roller bearing texts typically provide
semi-empirical equat i ons of the basic form:
r / = r,, + r , . (13)
where ro is the no-load component of friction t orque
and r, usually depends strongly on bearing load, but
only lightly on velocity (Eschmann, 1985). While the
model described above is meant t o apply to a broad
range of operat i ng conditions, the Dahl model was
devel oped t o explain the hysteretic behavi or of
precision ball bearings undergoi ng very small ampli-
tude oscillations (Dahl, 1968, 1977). The Dahl model
has been widely used to study the simulation and
control of machines.
Mechanisms of rolling friction.
There are two effects associated with the elasticity
of the contact zone which cont ri but e t o rolling friction
(Harris, 1984). These effects, however, make up a
small portion of the total rolling friction. It is a
surprising fact t hat most of the friction in roller
bearings is due to sliding mot i on. This sliding is one of
the maj or reasons t hat roller bearings must be
lubricated with oil, grease or sometimes, and with less
effect, a dry lubricant. To underst and how sliding can
occur, first consider that pure rolling would require
point contacts or line contacts parallel t o the bearing
axis of rotation. Owi ng t o elastic deformat i on, ball
bearings on flat or curved raceways have curved
contact regions. In addition, rollers and raceways are
usually crowned in or der to prevent edge loading
(Harris, 1984). Thus the cont act region is curved.
Consider Fig. 25. With the ball rolling at a
particular velocity, there will be only two curvilinear
segments within the elliptical cont act zone at the
proper radius t o undergo pure rolling. The velocity
profile for the maj or axis of the cont act ellipse is
shown. The points D and D' lie on the rolling
O r i g i n a l
r a c e w a y f o r m
B a l l a x i s - - - -
C o n t a c t a r e a - I ,
O r i g i n a l ~ i i
r o l l i n g e l e m e n t -
i t i
f o r m ~ I 2 0 ,
D i r e c t i o n o f
r o t a t i o n I -
S l i d i n g s p e e d ] ~
C o n t a c t elllp~ L
I I
, , , I I /
FIG. 25. Sliding in the contact ellipse of a ball rolling on a
curved raceway [from Eschmann (1985), courtesy of the
publisher].
A s ur ve y o f f r i ct i on a nd c ont r ol s 1099
segments. Bet ween these points, slip will occur
opposite t he direction of rolling. Out si de t he points,
slip occurs in the direction of rolling.
Accordi ng t o t he t ype of roller beari ng, sliding
friction will also arise f r om cont act bet ween t he rolling
elements and t he cage, bet ween t he rolling el ement s
themselves and bet ween t he roller faces and t he
raceway lips. Ther e is also viscous drag on t he rollers
caused by the lubricant and friction due t o t he bearing
seals. Seal friction can be considerable and can far
exceed t he total of all ot her sources of beari ng friction
(Harris, 1984).
2.2.2.2. Ot her machi ne elements. The precedi ng
discussions apply t o simple sliding or rolling friction;
in compl ex machi nes t here may be additional
consi derat i ons. One such consi derat i on is different
friction magni t udes in different directions of mot i on.
Different Coul omb and viscous friction levels in t he
left and right rot at i on directions have been observed
experi ment al l y on many occasions, e.g. Mukerj ee and
Ballard (1985), Canudas de Wit et al. (1987),
Ar ms t r ong- Ht l ouvr y (1991). Theoretically, this may
be due t o anisotropies in material or geomet ry
(Zmi t rowi cz, 1981; Ibrahi m, 1992a). And t he
phenomenon is a sufficient consi derat i on t hat a
st andard stick-slip test calls for separat e measure-
ment s in t he left and right directions (Cincinnati
Mi l acron, 1986).
Some mechani sms will exhibit posi t i on-dependent
friction (Mukerj ee and Ballard, 1985; Candas de Wit
et al. , 1987; Ar mst r ong, 1988; Ar mst r ong- Ht i ouvr y,
1991). This is particularly t rue of transmissions with
spatial inhomogeneities, i.e. cont act geomet r y or
loading which varies as a function of position. Gear
drives are a common exampl e and give rise t o
posi t i on-dependent friction. Wi t h accurat e friction
measurement s, Ar ms t r ong- Ht l ouvr y (1991) was able
t o count t he transmission gear teeth, and i ncorporat -
ing this fact or i nt o t he friction model substantially
increased t he accuracy of predi ct ed friction. I n part t o
eliminate posi t i on-dependent friction, Salisbury et al.
(1988) and Townsend (1988) study designs with
homogeneous transmissions.
2.2.2.3. Ext ernal f ri ct i on. Sources of internal
friction, such as bearings, are oft en designed so as t o
minimize friction. Mechanisms which must make
cont act with their envi ronment , however, can have
quite different design goals. In robot i c dext rous
mani pul at i on, for exampl e, high friction coefficients
are desirable. Ver y soft fingers, made of rubber or
el ast omeri c material, can provi de friction coefficients
great er t han one. As a result, obj ect s can be grasped
gently while inhibiting bot h tangential sliding and
rot at i on about the cont act normal (Cut kosky and
Wri ght , 1986).
Due t o t he compl exi t y of the dext rous mani pul at i on
probl em, many simplifying assumptions are made in
t he system modeling. For instance, most studies
involving sliding assume quasistatic conditions (Kao
and Cut kosky, 1992; Peshkin and Sanderson, 1988;
Tri nkl e, 1989). This is done under t he assumption t hat
fine assembly operat i ons are typically performed
slowly (Trinkle, 1989). Recent l y, at t ent i on has been
given t o issues of cont rol arising f r om t he details of
friction in grasp ( Howar d and Kumar 1993; Schimmels
and Peshkin 1993).
The modeling of friction in cont act s involving
rubber or elastomers has received at t ent i on, but its
description is beyond t he scope of this paper. The
following references on this topic are provi ded by
Cut kosky and Wri ght (1986), Cut kosy et al. (1987),
Howe et al. (1988), Moor e (1972, 1975) and
Schallamach (1971). The issue of stick slip as it affects
mot i on planning and cont rol in dext rous mani pul at i on
has apparent l y not been studied. Ot her exampl es of
external friction, such as deburri ng or drilling
operations, pose quite different model i ng and cont rol
challenges as these tasks involve deliberate oper at i on
within t he severe wear regime for one surface (Smith,
1989).
2.2.2.4. Run- i n and f ri ct i on noise. In developing
our friction model , we have, for t he most part, dwelt
on factors such as velocity and load which can be
consi dered as exogenous variables. There are also
internal fact ors at work which depend on time, sliding
cycles or total sliding distance. These effects are due
t o such things as loss of lubricant, deformat i on of
surface material, change in t emperat ure due t o
generat ed heat or accumul at i on of wear debris.
These factors all cont ri but e t o pr oduce changes in
the mean friction force even while t he exogenous
variables of velocity and load are held const ant . These
effects are perhaps most evident at t he beginning and
end of the life of a tribo-system. Duri ng t he run-in
period, the friction level of a new machi ne may
increase or decrease until a l ong-t erm steady-state
condition of mild wear is reached. The end of a
tribo-system' s useful life is mar ked by a transition t o
severe wear.
In addition t o variations in t he mean friction level,
the ' noi se' level can also vary over time dependi ng on
such properties as surface roughness and accumul at i on
of wear debris. Oft en, variation in t he friction force is
highest during t he run-in peri od and after t he
transition t o severe wear (Blau, 1987).
These factors are i mport ant in terms of friction
identification and cont rol for t he following reasons:
A new machine may exhibit a higher or lower (and
noisier) level of friction t han t he ' st eady-st at e' level
achieved after runqn.
Af t er a peri od of machi ne inactivity (at t he start of
the day, for example), it may be worthwhile t o
perform machine calisthenics. This will allow for
circulation of the lubricant, t emper at ur e stabi-
lization and thus stabilization of friction level.
The average friction level obt ai ned from very noisy
dat a may not be correct. While t he maxi mum
friction magni t udes may well be due t o t he
microscopic geomet ri c and structural propert i es of
the interface, the mi ni ma may depend mor e on t he
machine stiffness and sensor response (Blau, 1987).
In distributed par amet er systems, such as a violin
string or railway wheel, friction can induce chaot i c
motions. Popp and Stelter (1990) have investigated
frictionally i nduced chaos in l umped and distributed
paramet er systems, and find t hat PI D cont rol of a
1100 B. ARMSTRONG-HI~LOUVRY e t al .
single mass with s t a t i c +Coul omb friction is not
expected t o exhibit chaotic mot i on; but that a
two-mass, spring system under the same conditions
will, as will a distributed mass system (such as a
railway wheel or break dr um) under a broad range of
conditions, t hey present bot h theoretical and
experi ment al results, including a proposed met hod for
distinguishing chaos from noise in empirical data.
2.2.3. N o r m a l f o r c e a n d t he coef f i ci ent o f f r i c t i on
For much of this discussion, friction has been
addressed as a force, rat her than as a coefficient of
friction, and normal force has not been addressed in
depth. The frictional force, normal force and
coefficient of friction are, of course, rel at ed t hrough:
Ff ( t ) = I~iF,(t), (14)
where Ff(t) is t he i nst ant aneous force of friction, F, ( t )
is the i nst ant aneous normal force and ~u r is the
coefficient of friction. The coefficient, /~I, is not
constant, but may depend upon velocity, velocity
history, normal force and normal force history
(Pavelescu and Tudor , 1987; Martins et al . , 1990). In
cont rol applications, situations exist in which it is
possible t o know the normal force, such as in a
machine way carryi ng a known load; t here are
situations in which it may or may not be possible t o
know the normal force, such as in a bearing where t he
external load is known but internal force may not be;
and there are situations in which it is not at all straight
forward t o know the normal force, such as in a
prel oaded gear train or mot or brushes. In some cases
the normal force may be const ant and in ot hers it may
vary. In systems which exhibit stable friction, such as
joint 1 of the PUMA r obot (Armst rong, 1988;
Armstrong-H61ouvry, 1991), normal force, along with
t emperat ure and ot her factors, must be well behaved.
In mechanisms where t he normal force is varying,
the prediction of friction becomes mor e complicated.
This is particularly t rue where normal force is
det ermi ned by cont rol effort, as will be the case in
transmissions t hat are not prel oaded. The characteris-
tic velocity of the Stribeck curve, state associated with
frictional memor y and the stiffness of presliding
displacement are all influenced by i nst ant aneous
normal force, and by the history of applied normal
force (Martins et al . , 1990; Soom, 1992). Nor mal force
history has been shown t o influence friction in
geophysical systems (Li nker and Dieterich, 1992). It is
beyond the current state of t he art t o compl et el y
model t he influence of changi ng normal force, t hough
attention within t ri bol ogy is t urni ng t o what appears
to be the central issue: the normal displacement, e.g.
Toistoi (1967), Oden and Martins (1985), Martins et
al. (1990), Hess and Soom (1991a, b). For the
moment , t he most viable approach t o probl ems of
dynami c normal force empl oys the integrated model ,
with Coul omb, viscous and Stribeck friction com-
ponent s represent ed as coefficients of friction and the
stiffness of presliding proport i onal t o normal force.
2.3. Future Trends in Tri bol ogy and Implications
for Cont rol
The overwhel mi ng maj ori t y of t reat ment s of friction
have viewed the part -t o-part interaction as a one
degree of freedom mot i on: tangential, sliding mot i ons
are considered. Normal force has always been
considered, but normal mot i ons have been neglected.
A school of t hought is devel opi ng that normal mot i ons
play a central role in det ermi ni ng friction; including
the realization of frictional memor y and the Stribeck
curve (Tolstoi, 1967; Tudor and Bo, 1982; Oden and
Martins, 1985; Martins et al . , 1990; Goyal et al . ,
1991). Tolstoi and ot hers have made careful
observat i ons of friction and sub-micron normal
displacements and find a strong correlation between
i nst ant aneous friction and instantaneous normal
displacement, as shown in Fig. 26 (Tolstoi, 1967;
Budanov e t al . , 1980).
Described heuristically, as the cont act begins t o
slide, impacts bet ween the contacting asperities
increase the separation between surfaces. Because the
friction is a strong and nonl i near function of asperity
penet rat i on (normal separation), friction is modified
by the changing normal separation (Martins et al . ,
1990). The fri ct i on-vel oci t y curve and frictional
memor y are thus in part manifestations of t he normal
dynamics. Different mechanisms, such as prel oaded
gears or a slider on a machine way, may have very
different normal stiffness and dampi ng, giving
different frictional dynamics, even t hough material,
N (kgm)! J
, 2 !
i . o t
o8
06 ~ - - - -
0 . 4
F (kgrn)
0 . 2
0. 0
O0 04 0 . 8 1 2
FIG. 26. Normal load (N, curve 1) and static friction force
(F, curve 2) versus the normal separation,/~ (arbitrarily,/; is
taken to be zero for the maximum normal load used in the
experiments). Dry steel surfaces [from Oden and Martins
(1985), courtesy of the publisher, adapted from data
reported in Tolstoi (1967)].
A s ur vey of fri ct i on and cont r ol s 1101
lubrication, geometry and normal loading may be the
s a me .
As a demonstration of the potential of this
framework, Martins e t a l . (1990) have been able to
account qualitatively for a broad range of previously
irreconcilable experimental observations, using com-
puter simulations based on a simple model of friction
physics and a more detailed model of the normal
direction contact dynamics. To date, this work has
concentrated on dry friction contacts; the impact of
fluid lubricants must be considered for the results to
be directly applicable to common control situations.
The payoff for controls is the possibility of predictive,
physically motivated models for machine friction. At
issue are the physics underlying the Stribeck curve and
frictional memory, both of which play leading roles in
determining stick slip.
2.4. A Final Word on Models
As evidenced by the recent works of Oden,
Martins, Soom and others, tribology has found a
renewed interest in frictional dynamics, and new
paradigms that may overcome conundrums left by the
investigations of the 1950s. The direct motivation
often stems from vibrationally induced noise, fatigue
and wear--act i ve feedback is never addressed in the
tribology l i t erat ure--but the possibility of spin-off
technology for the controls community seems great,
especially in as much as both camps are concerned
with interfaces of engineering materials and mass-
spring-damper systems. Even if predictive models of
friction are never genuinely achieved, benefit for
mechanism design and controls will come in the forms
of more certain model structure, bet t er identification
strategies, bounds on paramet er ranges, a broader
range of frictional interfaces which are understood,
and a richer pallet of design strategies for friction
modification. All of which will contribute to better
price/performance in machines.
3. ANALYSIS TOOLS THAT HAVE BEEN APPLIED
TO SYSTEMS WITH FRICTION
Analysis of the motions of machines with friction
have been made employing four types of tools:
describing functions, algebraic analysis, phase plane
analysis and simulation. Simulation is not normally
considered an analysis tool; but when sufficient trials,
perhaps thousands of trials, are conducted, the
structure of the system behavior may be illuminated
or empiric relations identified. We include simulation
as an analysis tool here because its use is common in
applications.
In almost all cases where these tools have been
applied, the goal has been to predict the conditions
for stick slip. The character of the result depends
heavily upon the friction model, task and control
structure considered. For a slip cycle during which
velocity does not reverse---the common case with
tracking tasks (Derjaguin e t a l . , 1957)---a Coulomb
friction model permits an exact integration of the
acceleration through a slip cycle and thus exact
algebraic results. In all other cases approximations are
involved. The character of the approximations and
their impact on the validity of the conclusions drawn
are important issues in all analyses. A relatively small
number of investigators have verified their analysis
with either experiment or extensive simulation.
The works applying nonolinear analysis techniques
to systems with friction are all relatively specific in
their focus. As a general introduction to analysis
techniques for these systems several books have been
written in the last decade, such as Slotine and Li
(1991), Vidyasagar (1991) and Khalil (1992). Among
older texts Atherton (1975) is often cited. Mees (1984)
provides an interesting discussion of recent results
regarding the describing function.
3.1. Describing Functions
The application of describing function analysis to
study the motions of machines with friction has a long
history (Tou and Schuitheiss, 1953; Satyendra, 1956;
Siiverberg, 1957; Shen, 1962; Woodward, 1963;
Brandenburg, 1986; Brandenburg and Schiller, 1987,
1988a, b, 1989, 1991: Sch~ifer and Brandenburg, 1990,
1993; Townsend and Salisbury, 1987; Wallenborg and
,~str/Sm, 1988; Canudas de Wit 1988; Canudas de Wit
and Seront, 1990; Canudas de Wit 1987, 1991; Ehrich,
1991). The technique is an approximate one consisting
of representing the i nput -out put map of a single-
input/single-output nonlinear element by the mag-
nitude and phase relationship between a sinusoidal
input and the fundamental harmonic of the cor-
responding output. This relationship constitutes a sort
of transfer function; it can be represented by a
complex number, and will in general be frequency and
magnitude dependent. Underlying describing function
analysis is the requirement that the element be
single-input/single-output, and the assumption that
investigation of the first harmonic provides a
reasonable approximation to the behavior to the true
system (Brogan, 1991). The advantage of the
describing function is that it permits the use of
frequency domain tools for the analysis of control.
There is an important special case in the study of
describing functions: the memoryless, odd function. A
memoryless element is one without state; and for such
an element, the describing function will depend solely
upon magnitude of the input. When the function is
odd (friction as a function of velocity, with symmetric
friction in the left and right directions, is a
memoryless, odd function), the describing function
will be strictly real (Brogan, 1991). Recent authors
Brandenburg (1986), Brandenburg and Schiller
(1987), Townsend and Salisbury (1987), Wailenborg
and Astr6m (1988), Canudas de Wit (1988), Canudas
de Wit and Seront (1990), Canudas de Wit e t al .
(1987, 1991) and Ehrich (1991) have taken advantage
of this special case, which we will call the ' memoryless
element' construction. Earlier authors Tou and
Schuitheiss (1953), Satyendra (1956), Silverberg
(1957), Shen (1962) and Woodward (1963) formed
describing functions of the combined plant with
friction. This construction is not memoryless because
1102 B. ARMSTRONG-HI2LOUVRY et al.
k o ' ~ ~,, ~ .,~
(Friction vs. Velocity)
[
FIG. 27. A single mass system with friction, friction modeled
as a function of velocity.
it pl aces pl ant st at e within t he model ed nonl i near
el ement ; this we t er m t he ' i nt egr at ed f r i ct i on/ pl ant '
const ruct i on.
The descri bi ng funct i on anal ysi s of a posi t i on
cont r ol l ed one degr ee of f r eedom ri gi d mass syst em
with sl i di ng fri ct i on may be const r uct ed as shown in
Fig. 27. Si mpl e or compl i cat ed syst ems may be
consi der ed with appr opr i at e choi ces of GAs), G~(s)
and G2(s), [see, for exampl e, Townsend and Sal i sbur y
(1987), Br andenbur g (1986), Br andenbur g and
Sch~ifer (1987)]. The bl ock di agr am must be
mani pul at ed t o ar r ange all of t he l i near el ement s as
one bl ock, l eavi ng t he nonl i near el ement as a second
bl ock giving t he bl ock di agr am of Fig. 28.
The t r ansf er funct i on of t he syst em of Fig. 27 may
be wri t t en:
G~
X(s) = Gr 1 + G, Gt G2 G2
(15)
St i ck- s l i p is a l i mi t cycle, t hat is a mot i on giving a
cl osed pat h in t he phase pl ane. A l i mi t cycl e may be
ei t her st abl e, which means t hat near by pat hs conver ge
ont o it; or unst abl e, which means t hat near by pat hs do
not converge t o t he l i mi t cycle, but does not i mpl y
t hat t he syst em is exponent i al l y unst abl e. Usi ng t he
descri bi ng funct i on, a l i mi t cycl e is det ect ed when
t her e exists an ampl i t ude, A, and f r equency, s = Ro,
such t hat t he denomi nat or of (15) goes t o zer o; giving:
1 G~
(16)
N(A) 1 + G, GtG2
or, r ef er r i ng t o Fig. 28:
1 G~
- - - = G, ( s ) ; GL(s)- (17)
N(A) 1 + G,G~G2
Thi s condi t i on is easi l y t est ed by dr awi ng a Nyqui st
pl ot , with -1/N(A) as one br anch, and Gt.(s) as a
second branch; as seen in Fig. 29. An i nt er sect i on
predi ct s a limit cycle. The l i mi t cycl e must addi t i onal l y
+--
f GL(S ) j -
F r X
. . . . N(A) ~ , i
FIG. 28. A single mass system with friction, block diagram
manipulated to lump linear elements.
- I/N(A) ~"
0,50
Limit Cycle 5
Indicated -~ f
Increasing A / \
0 1 5 0 (
lncreasing~..~ 5
-0.50 -
-- ~ P I D; Ki=10
~ ~ Real Axis
0 t
/ ~ riD; K i = I00
FIG. 29. Nyquist plot for limit cycle detection in a system
with integral control [following Townsend and Salisbury
(1987)].
be t est ed for st abi l i t y, [see e. g. Br ogan (1991)]. Thr ee
cont ours of Gt.(s) ar e pl ot t ed in Fi g. 29, cor r espond-
ing to a damped mass with a PD or PI D cont r ol l er .
For t he syst em under consi der at i on, equat i on (16)
gives:
1 s
PI D:
N(A) Ms2+(b+k,,)s+k,,
(18)
1 s z
PI D:
N(A) Ms 3+(b+k,,)s 2+kvs+kf
Defi ni t i ons and val ues for t he par amet er s of equat i on
(18) and Fig. 29 ar e given in Tabl e 3.
Of t he t hr ee Gl.(s) cont our s of t he Nyqui st di agr am,
Fig. 29, two pr edi ct st abl e mot i on. Those ar e t he PD
cont our and t he PI D cont our wi t h K; = 10. Fol l owi ng
Townsend and Sal i sbury (1987) a cont our is shown
with a l arge i nt egral cont r ol gai n; t hi s cont our
i ndi cat es stick slip. Not e t hat t he cont our s of Fig. 29
ar e pl ot s of Gt.(s) as gi ven by equat i on (17), r at her
t han t he t r ansf er funct i on cust omar i l y pr esent ed in
Nyqui st pl ot s.
The memor yl ess el ement descri bi ng funct i on is
st r ai ght f or war d t o appl y. Several aut hor s have made
ext ensi ons t o this anal ysi s. Wal l enbor g and ,~,str6m
(1988) pr esent an i nt er est i ng pr oof t hat a syst em with
Coul omb fri ct i on (no st at i c fri ct i on) and st at e
f eedback can be unst abl e onl y for t he speci al case of
an unst abl e cont r ol l er . Ami n (1993) has st udi ed
Coul omb and Co u l o mb +s t a t i c fri ct i on wi t h t he
memor yl ess el ement and i nt egr at ed pl ant / f r i ct i on
descri bi ng funct i on, coupl ed t o a single mass and PI D
TABLE 3. DEFINITIONS AND VALUES FOR THE PARAMETERS OF
EQUATION (18) AND FIGURE 29
Quantity Symbol Value in Figure 29
Mass M 1.0
Damping b 0.1
Position gain k v 10
Velocity gain k,, 5
Integral gain k, 10 or 100
A s ur ve y o f f r i ct i on a n d c ont r ol s 1103
control. He derives t he predictions of t he describing
function analyses for all possible par amet er combi na-
tions, and compares these with analytic results.
Canudas de Wit et al. (1991) empl oy describing
functions t o study t he behavi or of adapt i ve systems in
the presence of negative viscous friction and find t hat
over compensat i on can lead t o instability. Branden-
burg and Schiller (1987, 1988a, 1991) have applied
describing functions t o t he case of unidirectional
sliding by local iinearization of the Stribeck curve and
application of t he Popov stability criterion.
The ease of use seems t o come at consi derabl e cost
however. Br andenbur g (1986), Br andenbur g and
Schiller (1987) and Townsend and Salisbury (1987)
bot h report extensive simulations done t o verify t he
predictions of describing funct i on analysis, implicitly
recognizing t hat t he describing function analysis adds
a layer of approxi mat i on above and beyond t he
approxi mat i ons within t he friction model itself.
Townsend and Salisbury (1987) report :
"Dynamic simulations show that the SIDF (single input
describing function) predictions for Coulomb friction are
qualitatively useful though quantitatively inaccurate.
The (single input describing function) predictions for
stiction become even qualitatively incorrect."
Brandenburg and Schiller have carried out an
extensive series of studies of a t wo mass, flexible
system with multi-loop feedback; and report t hat t he
describing function analyis (ext ended t o t he harmoni c
balance technique) qualitatively agrees with t he
results of simulation for t he case of Coul omb friction
and unidirectional sliding, but fails substantially in t he
cases of Coul omb + static friction or integral cont rol
(Brandenburg, 1986; Br andenbur g and Schiller, 1987,
1988a, b, 1989, 1991; Schiller and Brandenburg, 1990,
1993). The aut hors at t ri but e this t o t he infinite-valued
branch at ~ = 0 and, as Townsend and Salisbury also
point out , the oscillation is not well approxi mat ed by
its fundament al harmoni c. Ami n (1993) shows t hat ,
for the case of a single mass and PI D cont rol , t he
memoryless el ement describing funct i on will predict
stick slip if and only if t he system wi t hout nonl i near
friction is unstable. Figure 29 is an exampl e of this,
the linear port i on of t he system is unstable when
ki = 100.
A furt her challenge arises in represent i ng static
friction by a memoryl ess el ement describing function.
The describing funct i on is t he compl ex gain bet ween a
sinusoidal input and the fundament al harmoni c of t he
out put of a nonl i near el ement . The sinusoidal input
spends zero time at zero, thus any phenomena
occuring precisely when t he input is equal t o zero will
be model ed as having zero extent. When friction is
model ed as a function of velocity, static friction will
make no cont ri but i on t o t he fundament al harmoni c of
the out put , and thus cannot be represent ed by t he
describing function.
These challenges t o application of t he memoryl ess
el ement describing function are consequences of a
deeper issue, illuminated by Ehr i ch' s effort t o
construct two describing functions: one a funct i on of
applied force and t he ot her a funct i on of velocity
Command Velocity
(Input to the Nonlinear Element) Applied Force (Output o f the Nonlinear Hew, eat )
Flo. 30. A single mass system with friction, friction mo de l e d
as a function of velocity and applied force.
(Ehrich, 1991). The issue is this:
Friction is neither a function of velocity nor a function of
applied force, but of both.
When the body is sliding, friction---in a simplified
model - - i s a single val ued function of velocity; but
when t he body is at standstill, friction is not friction at
all, properl y speaking, but is a constraining force: a
function of applied force (Pol ycarpou and Soom,
1992). Virtually all aut hors who have under t aken
simulation have reflected this fact with some f or m of
switching function t hat handles t he case of ~ = 0.
The early investigators (Tou and Schultheiss, 1953;
Sat yendra, 1956; Silverberg, 1957; Shen, 1962;
Woodwar d, 1963) did not empl oy t he memoryl ess
element const ruct i on, but devel oped describing
functions for t he composi t e of t he el ement s from t h e
force input t o t he velocity out put , as shown in Fig. 30.
With this approach a describing function can be
worked out by piecewise i nt egrat i on of t he response.
This procedure, illustrated in Fig. 31, gives rise t o a
describing function t hat is a curve on t he compl ex
plane, or a family of curves for t he case of Coul omb +
static friction, as illustrated in Fig. 32. Her e t he family
of complex valued describing funct i on curves is
paramet eri zed by t he ratio of the static + Coul omb
friction and pl ot t ed as - 1 / N ( A , to), as described in
equat i on (16). This analysis predicts t hat the s e r i e s
compensat or will exhibit stick-slip while the parallel
c,A
TEL#/ \ x ",t I / \
- ~ / D \/ / i / ,, \
b c d f i j
FIo. 31. Piecewise evaluation of the out put o f a s ys t e m pl us
friction element wi t h s i nus oi dal applied force and periods o f
standstill [from Tou and Schultheiss (1953), c our t e s y o f t he
publisher].
1104 B. ARMSTRONG-HI~LOUVRY e t a l .
T 1 ~. 1. 5 ~ " 1 . 2 5 1
1
- 5 ~1 - 3 - 2 1
FIG. 32. Nyquist diagrams showing complex valued describ-
ing function of an integrated plant/friction model. The family
of curves corresponds to different ratios of static: Coulomb
friction [from Tou and Schultheiss (1953), courtesy of the
publisher].
c o mp e n s a t o r will not ; a pr e di c t i on ver i f i ed in t he
l a b o r a t o r y ( To u , 1953).
Ami n (1993) has r ecent l y r evi si t ed t he i nt e gr a t e d
pl a nt / f r i c t i on des cr i bi ng f unct i on of T o u a nd Schui t -
hei ss and c o mp a r e d its pr e di c t i ons wi t h e xa c t anal yt i c
resul t s. He fi nds t ha t in spi t e of t he r e p r e s e n t a t i o n of
st andst i l l and st at i c f r i ct i on, To u ' s c ons t r uc t i on is not ,
in ge ne r a l , abl e t o c or r e c t l y pr edi ct t he p r e s e n c e o f a
limit cycl e in t he i deal i zed si ngl e ma s s , Co u l o mb +
st at i c f r i ct i on, P I D c ont r ol l e d s ys t em. Th e b r e a k d o wn
a p p e a r s t o r e l a t e t o t he p o o r r e p r e s e n t a t i o n o f t he
f or ces and mot i ons dur i ng st i ck slip by a si nusoi dal
a ppr oxi ma t i on.
Us i ng t he i nt e gr a t e d f r i c t i on/ pl a nt c ons t r uc t i on,
To u and Schul t hei ss (1953) s t udy a s ys t e m whi ch
i ncl udes a t ype I c ont r ol l e r c ons t r uc t e d of a na l og
c o mp o n e n t s , a nd Co u l o mb or Co u l o mb + st at i c
f r i ct i on. Li mi t cycl i ng is pr e di c t e d; t he a ut hor s
concl ude t ha t it can be ext i ngui s hed by t he addi t i on o f
sufficient vel oci t y f e e d b a c k , whi ch t he y d e mo n s t r a t e
in t he l a bor a t or y. Sa t y e n d r a (1956) s t udi ed me c h a n -
i sms wi t h ba c kl a s h as wel l as Co u l o mb + st at i c + vi scous
f r i ct i on. As di d To u , Sa t ye ndr a s t udi ed st abi l i t y at
z e r o vel oci t y. Si l ver ber g (1957) st r i ves t o s e p a r a t e t he
descr i bi ng f unct i on o f a Co u l o mb + st at i c + vi scous
f r i ct i on e l e me n t i nt o f r e que nc y d e p e n d e n t a nd
a mpl i t ude d e p e n d e n t pa r t s , whi ch gr e a t l y ai ds
i nt e r pr e t a t i on. Thi s ef f or t is ne c e s s i t a t e d by t he f act
t hat he is wor ki ng wi t h an i nt e gr a t e d pl a nt / f r i c t i on
e l e me nt , such as in Fig, 30.
Shen (1962) a nd Br a n d e n b u r g a nd Sch/ i fer (1987,
1988a, 1991) ha ve s t udi ed s ys t e ms wi t h s t a t i c +
Co u l o mb f r i ct i on t r a c ki ng a r a mp pos i t i on i nput . T h e
shi ft in e mpha s i s f r o m t he s t a t i ona r y t o t he sl owl y
movi ng p r o b l e m is i mp o r t a n t . Th e des cr i bi ng
f u n c t i o n - - wh e t h e r me mo r y l e s s or i nt e gr a t e d wi t h t he
p l a n t - - c h a n g e s whe n a s t e a dy vel oci t y is i nt r oduc e d.
Thi s occur s b e c a u s e t he si nusoi dal i nput ( vel oci t y or
f or c e ) mus t be s u p e r i mp o s e d on a DC l evel , shi f t i ng
its r el at i on t o t he ( f r i c t i on- ve l oc i t y) cur ve. For t he
me mo r y l e s s e l e me n t c ons t r uc t i on o f Fi g. 27, t he shi ft
o f l evel will ups e t t he o d d f unct i on p r o p e r t y o f t he
nonl i ne a r e l e me n t , a nd t he des cr i bi ng f unc t i on, N ( A ) ,
will be c ompl e x r a t h e r t ha n st r i ct l y r eal . Br a n d e n b u r g
get s a r o u n d t hi s p r o b l e m by f or mi ng t he des cr i bi ng
f unct i on of a local l i near i zat i on o f t he St r i beck cur ve.
He finds t he r esul t s t o gi ve pr edi ct i ons in qual i t at i ve
a g r e e me n t wi t h o b s e r v e d be ha vi or .
Shen (1962) pr e s e nt s a des cr i bi ng f unct i on f or
nonl i near , l ow- vel oci t y f r i ct i on. He veri fi es t he
rel i abi l i t y of his ( a p p r o x i ma t e ) descr i bi ng f unct i on
anal ysi s by c ompa r i s on wi t h t he r esul t s of al gebr ai c
a na l ys i s - - i nt e gr a t i on o f e qua t i ons of mo t i o n t hr ough a
slip c y c l e - - f o r t he case Co u l o mb f r i ct i on. He finds
r oughl y 10% di f f er ence in t he r ange of t he p a r a me t e r s
f or whi ch st i ck slip is pr e di c t e d by t he i nt e gr a t e d
pl ant / f r i ct i on des cr i bi ng f unct i on and al gebr ai c
anal yses. None o f t he a ut hor s o f t hi s pe r i od car r i ed
out ext ens i ve s i mul at i on.
3. 2. Al ge br a i c Anal ys i s
An a l t e r na t i ve a p p r o a c h t o pr edi ct i ng st i ck slip lies
in i nt e gr a t i ng t he e qua t i ons of mo t i o n t hr ough a slip
cycl e a nd t he n d e t e r mi n i n g wh e t h e r t he s ys t em ar r i ves
agai n in t he st uck condi t i on. Ar r i va l in t he st uck
condi t i on ma y be d e t e r mi n e d by a t est on s ys t em st at e
( De r j a g u i n e t a l . , 1957; Shen, 1962; Shen and Wa ng,
1964; Co c k e r h a m and Col e, 1976; Ami n , 1993), or by
a t es t on s ys t e m e ne r gy ( Ar ms t r o n g - Hr l o u v r y , 1992,
1993). Th e possi bi l i t y of st abl e mot i on can al so be
d e t e r mi n e d by i nvest i gat i ng t he st abi l i t y of equi -
l i br i um poi nt s of t he s ys t em dynami cs ( Du p o n t , 1994).
Wh e n a Co u l o mb , or Co u l o mb + vi scous f r i ct i on
mo d e l is a ppl i e d dur i ng sliding t he e qua t i ons of
mo t i o n ma y be i nt e gr a t e d exact l y ( De r j a gui n e t a l . ,
1957; Shen, 1962; Shen and Wa ng, 1964; Co c k e r h a m
a nd Col e , 1976). St at i c f r i ct i on ma y t hen be mode l e d
as a modi f i cat i on of t he initial condi t i on of t he
t r a j e c t or y. Cons i der i ng s t a t i c + C o u l o m b + vi scous
f r i ct i on, De r j a gui n e t al . pr ovi de p e r h a p s t he cl ear es t
e xpos i t i on o f t hi s t echni que. Th e a ut hor s focus on a
s e c o n d - o r d e r s ys t em ( a na l ogous t o a si ngl e mas s wi t h
PD cont r ol ) and s t udy t he i nf l uence of rising st at i c
f r i ct i on. Appl yi ng di mens i onal anal ysi s, i nt egr at i ng
t he e qua t i ons o f mo t i o n dur i ng sliding and de t e c t i ng
s t i c k - s l i p by e xa mi ni ng wh e t h e r t he t r a j e c t or y ar r i ves
agai n at z e r o vel oci t y; t hey de t e r mi ne t hat t he r e is a
cri t i cal l evel o f st at i c f r i ct i on bel ow which s t i c k- s l i p
will be e xt i ngui s he d, and t hat t hi s critical l evel can be
e xpr e s s e d as an i mpl i ci t f unct i on of des i r ed vel oci t y
a nd s ys t e m p a r a me t e r s :
0 ~ ( ~ S ( 1 -
~ t a n . - - ~ . 0 _- O2) )
= In ( k/ q~ - 2q~0 + 1), (19)
whe r e , f ol l owi ng t he not a t i on o f De r j a g mn ,
k , , / m
t o = ~ / k p / m ; 0 =
2 t o
AF, AF,.
m v t o v V ~ / ,
and kp is s ys t em st i ffness; m is mass; k,, is vel oci t y
f e e dba c k or da mpi ng; AF is t he excess o f b r e a k a wa y
fri ct i on o v e r Co u l o mb f r i ct i on and AFt is t he cri t i cal
val ue r e qui r e d f or st i ck slip; 0 is di mens i onl es s
da mpi ng; and qL is di mens i onl es s excess o f b r e a k a wa y
A s ur ve y o f f r i ct i on a n d c ont r ol s 1105
24
22
20
l g
16
14
10
$
6
4 -- ~'t~--a
2
1 i r a
0
0 0.2 0.4 0.6
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0
L5
L 0 I I I I
3.5 2.0 2.5 1.0 1.5
0 l o g O
Flo. 33. Variation of critical parameter, $~, with damping
parameter 0; : according to exact equation (19); . . . . :
according to the first-order approximation $, ~ ~' 4"~; [from
Derjaguin et al. (1957), courtesy of the publisher].
friction over Coul omb friction. The relationship
bet ween c and 0 given implicitly by equat i on (19) is
pl ot t ed in Fig. 33. Rising static friction is model ed as a
modification of AFt. Derj agui n e t al. (1957) find, as
t he experi ment s of Rabi nowi cz (1951, 1958) and
ot hers had shown, t hat t he abrupt extinction of stick
slip with increasing average velocity is strongly
influenced by t he t i me const ant of t he rising static
friction. This work is also not abl e for its use of
dimensional analysis.
Shen (1962) carries out an exact analysis as a
met hod of verifying t he results of a modified
describing funct i on analysis. He finds t hat f or low
velocity ramp inputs t o a PD cont rol l er, i.e. slow
tracking, stick slip will be observed under a wide
range of conditions and may be extinguished by
sufficient derivative feedback. Shen and Wang (1964)
ext end this result t o systems with an integral cont rol
t enn. They observe t hat t he dampi ng requi red for
stabilization is a decreasing funct i on of desired
velocity and pr opose a variable st ruct ure system
compri si ng a very high-gain velocity feedback with
saturation. The saturation serves t o reduce t he i mpact
of high-gain velocity feedback on t he system above
those velocities where stick slip is observed. Int egral
feedback with a deadband is also consi dered. Because
it is useful t o achieve high t racki ng accuracy at
velocities above t he stick-slip range, a deadband is
proposed t hat is a funct i on of system velocity.
Const ruct i ons such as these are also f ound in
industrial applications.
Cocker ham and Col e (1976) consi der a model t hat
is based on t he dat a of Bell and Burdeki n (1969);
which shows a friction curve as shown in Fig. 34
[linearized by Cocker ham and Col e (1976)]. This
friction curve is an approxi mat i on t o t he Stribeck
curve with frictional memor y. As a linear approxi ma-
tion, it has t he i mport ant pr oper t y of maki ng analytic
results possible.
Ami n (1993) has consi dered Coul omb + static +
viscous friction, PI D cont rol and the pointing task
(see Section 4). By consi deri ng mot i ons bet ween t he
instant after breakaway and t he instant before stick,
Friction
t ore UC
T!
!
!
I
I
' Slip
s
. velocity
FIG. 34. Friction curve showing linearized Stribeck friction
and frictional memory ]from Cockerham and Cole (1976),
courtesy of the publisher].
and establishing t he solution t o t he equat i ons of
mot i on for all possible combi nat i ons of paramet ers,
Ami n finds t hat a PI D, position-control system will
hunt when t here is static friction. And t hat it will do
this for all combi nat i ons of paramet ers for which t he
linear port i on of the system is stable. He also finds
t hat t he system will not hunt for any stable
combi nat i on of paramet ers and Coul omb friction
alone. The result establishes an i mpor t ant baseline for
t he study of describing funct i on and ot her approxi-
mat e analysis met hods.
Armst rong-H61ouvry (1991, 1992, 1993) has applied
first-order pert urbat i on t heory t o a two degree
of freedom system with PD cont rol and friction
described by a Coul omb + Stribeck + frictional
memor y + rising static friction model . He studies a
tracking probl em comparabl e t o t hat of Derj agui n e t
al. (1957) or Shen (1962). In this analysis t he
t raj ect ory of t he system unper t ur bed by friction is
used to det ermi ne t he energy transactions due t o t he
full friction model. The influence of frictional memor y
and rising static friction are mapped out and t he
required dampi ng for stable mot i on is f ound as a
function of system stiffness (position feedback gain)
and desired velocity. The predictions of t he analysis
are verified by simulation and experi ment . The
frictional memor y is f ound t o domi nat e t he extinction
of stick slip in very stiff systems, and rising static
friction t o domi nat e as t he average velocity increases.
A test on the total change in system energy during a
slip is used t o detect t he presence of stick slip; and
gives the prediction t hat steady mot i on will obt ai n
when:
"2 2
_ 2 : r p ~2 + , , 1 ( F * ~
F s . h n ~ d A ~ < 7 2 \ "'h,, 1 + $, ~/ (21)
where, following t he not at i on of Armst rong-
H61ouvry (1993), 19 is dimensionless dampi ng; Sd is
dimensionless desired velocity; F*hn is dimensionless
excess breakaway friction and is influenced by rising
static friction; and A~t, reflects t he ener gy cont ri but i on
due t o Stribeck friction with frictional memor y, and is
given by an integral t hat is a funct i on of t wo
paramet ers and must be eval uat ed numerically.
P, 6d and F~b~.are respectively anal ogous t o 0, v
and AF in equat i on (19). The resultant stick-slip
extinction boundar y f or t he case of a specific r obot
1106 B. ARMSTRONG-HF.LOUVRY e t a l .
A
O-
r

]D
0
(/3
2 0 0 0 . 0
1500.0
i , - i
Data; No Stick Slip
Data; Stick Slip
- Theoretical Extinction Boundary
1000.0
500.0 ~ .
0.0 a , ~,
0. 0 5. 0 10.0 t 5. 0
Dimensionless Velocity
FIG. 35. Experimental stick-slip data; the contour is the
stick-slip extinction boundary calculated with equation (21).
Dimensionless velocity is given by ~d = kd/SC~, cf. equation
(10) ]from Armstrong-H6louvry (1993)].
arm, along with experimental dat a, are present ed in
Fig. 35.
Sout hward e t al . (1991) propose a variable st ruct ure
controller comparabl e t o sliding mode cont rol (Ut ki n,
1977). A hard switch in cont rol action about ~ = 0 is
used t o overcome the frictional nonlinearity. A
Lyapunov pr oof of stability is achi eved with the use of
Dini-derivatives t o handle the discontinuity in friction
at k = 0. The analysis requires onl y t hat an upper
bound on friction be known. I mpl ement at i on
problems, such as chat t er or the i mpact of cont rol l er
and act uat or bandwi dt h limitations, are not ad-
dressed. But sliding mode cont r ol - - sui t abl y modified
t o be i mpl ement abl e- - has been remarkabl y successful
elsewhere (Siotine, 1984).
Heck and Ferri (1991) apply singular pert urbat i on
t heory to a fourt h-order model of a t urbi ne system
with a Coul omb friction model , and find t hat a
first-order correction t erm is sufficient to produce a
system simulation t hat agrees well with a full model
simulation. Their effort is focused on model or der
reduction.
The investigations not ed above have sought t o
establish the presence of stick slip by testing for the
existence of a stable limit cycle. For constant-velocity
sliding mot i on, an alternative approach is t o consi der
the stability of the steady-sliding fixed point. I f t he
fixed point is stable and its domai n of attraction is
large enough, the possibility of smoot h sliding is
established. Rice and Rui na (1983) and Dupont
(1994) have pursued this approach to illuminate t he
interaction of stiffness and frictional memory. Thei r
contribution is the demonst rat i on of the role of
frictional memor y in the stability of steady sliding.
3.3. Phase Plane Analysis
The phase plane may be used t o graphically
represent the trajectories of systems, linear and
nonlinear. An exampl e is shown in Fig. 36. In cases
where theoretical restrictions on t he charact er of
trajectories are not possible, the phase plane serves as
a graphical present at i on of the results of simulation;
and can be said t o demonst rat e general results about
the system when trajectories spanni ng a sufficient
range of initial conditions are explored. In ot her
FIG. 36. Phase trajectories of a PD regulator and mass with
Coulomb friction [from Southward et al. (1991), courtesy of
the publisher].
cases, where theoretical restrictions on t he behavi or of
trajectories are possible, the phase plane serves t o
organize and clarify the interactions and consequences
of these restrictions. In Fig. 36, for example, all
trajectories lying sufficiently near t he origin can be
shown t o ent er t he set of multiple equilibria, E e o .
The dimensionality of t he phase plane is t he or der
of the system state. A mass with PD cont rol thus has a
two-dimensional phase plane, one that can be easily
realized and interpreted. The same system with
integral cont rol , however, has three dimensions, and
might already be difficult t o visualize. A two mass
system with flexibility and integral cont rol , such as
t hat consi dered by Br andenbur g e t a l . , e.g. Branden-
burg (1986) has five states and is probabl y not usefully
studied with the phase plane.
In two dimensions there are a number of strong
t heorems belonging t o phase plane analysis; for
example, the Poi ncar r - Bendi xson t heorem (Slotine
and Li, 1991):
If a trajectory of a second-order system remains in a
finite region r , then one of the following is true:
(a) the trajectory goes to an equilibrium point,
(b) the trajectory tends to an asymptotically stable limit
cycle,
(c) the trajectory is itself a limit cycle.
This result and several ot hers, however, do not ext end
to higher dimensions.
Many aut hors have used phase planes t o illustrate
various points about system trajectories (Shen, 1962;
Shen and Wang, 1964; Kubo e t a l . , 1986; Townsend e t
a l . , 1987; Radcliffe and Sout hward, 1990; Sout hward
e t a l . , 1991; Ar mst r ong- Hr l ouvr y, 1992). Radcliffe
and Sout hward (1990) go beyond illustration and use
the phase plane t o make several i mport ant points.
They are concerned with t he ability of various friction
models to predict stick slip, and show t hat all
trajectories of an otherwise stable linear system with
Coul omb friction and PD cont rol will converge t o a
set of multiple equilibria, and will thus fail t o show
stick slip. Ext endi ng the phase plane t o t hree
dimensions, the aut hors proceed t o show t hat a system
with Coul omb friction, and typical cont rol l er gains
and friction values, cannot exhibit hunt i ng (back and
forth oscillation about t he set point) with PI D cont rol .
A s ur ve y o f f r i ct i on a nd c ont r ol s 1107
Y
Yu
H
XL" . " ~
FIG. 37. Parallel trajectories inside the sticking band S have
zero acceleration until they reach the border ]from Radcliffe
and Southward (1990), courtesy of the publisher].
for p equals 0.01, 0.7, 2.0 and 4.0
1 500.0 , , ,
200
1 o o o . o
c
5 0 0 . 0
0 . 0 ' ' '
0. 0 2. 0 4. 0 6. 0 8. 0 0. 0
Di mens; onl ess Vel oci t y
FI6. 38. Plot of boundary above which there is no stick-slip,
determined by 8000 simulation trials, p is the dimensionless
damping coefficient, equation ( 21) ]from Armstrong-
H~louvry (1991)].
This is done by investigating the properties of a two-
dimensional slice t hrough the three-dimensional phase
space. The slice yields t he x - y plane, as shown in Fig.
37; y is the integral er r or state. The phase space is
partitioned i nt o six regions, trajectories in each region
are shown t o ent er anot her regi on; and t he map from
one region ont o itself, similar t o a Poincar6 map, is
established. Specifically, t he posi t i on-error coordi nat e
at breakaway is mapped t o the posi t i on-error
coordi nat e at t he next breakaway event. Conver-
gence, limit cycling or divergence are det ermi ned by
establishing cont ract i on, stability or expansion in this
one-di mensi onal map. Int egrat i ons in the met hod are
per f or med numerically, and so onl y for specific
combi nat i ons of paramet ers. In t he cases studied, it is
shown t hat excess breakaway friction over Coul omb
f r i ct i on- - bot h static and Stribeck friction model s are
consi der ed- - i s requi red t o excite stick slip. The
authors propose t hat friction models more sophisti-
cated t han t he Coul omb friction model need t o be
studied t o predict even t he qualitative behavi or of
frictional limit cycles.
3.4. Analysis by Simulation
For cont rol l er analysis and synthesis, the tools
described in t he previ ous sections are applied t o
system models. When the models permi t exact
analysis, the validity of the results depends onl y on
t hat of the model. When mor e compl i cat ed systems
are analyzed with approxi mat e techniques, such as
describing functions, t he validity of t he results rests
not onl y on the validity of model , but also on t he
assumptions of the analysis technique.
Simulation provides a means of verifying bot h
models and analysis techniques. Compari son of
experi ment with simulation can be used t o validate
models. Compari son of analytic results with simula-
tion can be used t o validate approxi mat e analysis
techniques. While simulation can certainly be abused,
when used in conj unct i on with bot h experi ment and
analysis, it is a powerful tool f or closing t he l oop
between t hem.
A great deal can oft en be learned by simulating a
handful of carefully chosen trajectories. Alternatively,
by performing hundreds or t housands of simulation
trials, one can numerically map stability boundari es in
paramet er space or domai ns of at t ract i on in state
space. Figure 38 provi des an exampl e of t he former.
Here, t he "stick-slip extinction boundar y" is pl ot t ed
as a function of system paramet ers. A valid analysis
technique should be used t o verify these numerically
comput ed cont ours. By extensive simulation, one
gains a measure of par amet er sensitivity and
experiment/analysis verification which is lacking when
only a few trajectories are simulated. The increasing
availability of massively parallel comput ers makes this
approach practical and efficient. I n t he following
paragraphs, t he special probl ems associated with
simulating friction are present ed along with a
discussion of solution techniques.
For systems with multiple degrees of f r eedom, such
as robot s, the rigid-body dynami c equat i on including
friction can be written in the form:
= D(x)Ji + h( x, 2) + f ( x , Yc, it). (22)
The vectors of joint displacements and act uat or
t orques are x and ~, respectively. Their di mensi on
equals t he number of degrees of freedom of t he
mechanism. The confi gurat i on-dependent inertia
matrix is denot ed by D. It is bot h symmet ri c and
positive definite. The vect or h consists of centrifugal,
Coriolis and gravity terms. The vect or f includes all
friction t erms and is a function of joint positions,
velocities and accelerations.
The forward dynami cs probl em is t o solve for t he
joint positions, velocities and accelerations given t he
input torques or forces and t he initial conditions. This
is the probl em of simulation. At each time step, t he
known joint t orques, positions and velocities are used
t o comput e t he joint accelerations. I n the absence of
friction, this typically involves solving a set of linear
algebraic equat i ons for t he accelerations. Usi ng t he
values of acceleration and velocity, numerical
integration yields the velocity and position at t he next
time step.
By considering t he st andard Coul omb friction
equat i on, we can gain insight i nt o t he comput at i onal
issues involved in simulating a br oad class of friction
models. I ndependent of t he area of cont act , t he
1108 B. ARMSTRONG-HI~LOUVRY et al.
Coul omb friction force always opposes relative mot i on
and is proport i onal t o the normal force of cont act .
This force can be expressed as
Fc =/~ IFNI sgn (-fr), (23)
where /l is the coefficient of friction, FN is the normal
force and 2r is the relative sliding velocity. The signum
function is defined:
+1, . f >O
sgn (.~) = O, 2 = O. (24)
- 1 , 2 < 0
Due t o its dependence on t he sign of velocity, the
friction force is discontinuous at zero velocity. This
indicates t hat the gover nmg differential equat i ons are
discontinuous in the highest or der derivative terms. In
addition, as indicated by f(x, k, $), the normal forces
in machine component s can depend not onl y on link
positions and velocities, but also on accelerations.
Because this dependence is oft en nonlinear, equat i on
(22) can onl y be solved explicitly for $ in special cases.
Bot h difficulties are discussed in detail in t he following
paragraphs.
3.4.1. Di s cont i nuous f r i ct i on mode l s
When integrating discontinuous ordi nary differential
equat i ons, t he appropri at e value of the derivative
must be used on each side of a discontinuity.
Unf or t unat el y, discontinuities generally occur inside
i nt egrat i on subintervals. A st andard t echni que is t o
empl oy switching functions which flag the presence of
a discontinuity in t he last subinterval. For the initial
value probl em,
2 = f ( x , t )
x ( 0 ) = x .
a switching function, q)(x, t), is defined such t hat
q~(x, t ) = 0 when f ( x , t ) is discontinuous and
(p(x, , t , ) . dp(x,+l, t , +~) <0 implies a discontinuity in
the subinterval x , ~- x <- x, + ~ (Fatunla, 1988; Dupont ,
1993). For a velocity zero crossing, sgn (2,) is such a
function.
In addition t o detecting a discontinuity, the
integrator must also provi de a mechani sm for locating
the point of discontinuity within t he subinterval. Next,
integration up t o the point of discontinuity is r epeat ed
and t hen the integration rout i ne is rest art ed from t he
discontinuity using the appropri at e derivative value.
Initially, small steps should be t aken t o accurately
capture any transients which follow the discontinuity.
If the friction model includes stietion, the i nt egrat or
must also include tests t o det ect when sticking occurs.
Variable-step-size, vari abl e-order met hods are ap-
propri at e for integrating di scont i nuous equations. For
synchronization purposes in real-time simulation and
cont rol , however, Morgowi cz (1988) suggests the use
of fixed-step-size met hods. By choosi ng the cont rol l er
period as a multiple of the fixed-step-size, the
simulated machine state is available at cont rol l er
sampling times.
To locate discontinuities occurri ng during the
previous subinterval, Morgowi cz (1988) uses linear
interpolation. Approxi mat e values of the state
derivatives on bot h sides of the discontinuity are
comput ed. They are used t o reintegrate the
subinterval in one step. Unless very fine mot i ons are
under consideration, simplifications of this type can
give quite adequat e simulation results. The time saved
in simulating a given t raj ect ory will depend on the
number of velocity zero crossings involved.
3.4.2. Al t er nat e f ri ct i on model s
A number of researchers have proposed alternate
friction models with the goal of produci ng accurate
results while minimizing algorithm complexity and
simulation time. A general approach is t o replace the
discontinuity of the s t at i c+ Coul omb model by a
curve of finite slope (Threlfall, 1978; Bernard, 1980;
Rooney and Deravi, 1982; Haessig and Friedland,
1991). This t ype of model eliminates the need t o
search for the switching point within an integration
subinterval. I f the slope is large, however, small step
sizes are needed and t he numerical integration
remains slow. More i mport ant l y, these models do not
provi de a t rue stiction mode. The system creeps
t hrough zero velocity instead of sticking. This effect
may be i mport ant when the period of the stick-slip
limit cycle is long.
Several techniques have been proposed to include
stiction while still avoiding the search for the switching
point. In one met hod, best described in Karnopp
(1985), friction is given by:
- s g n (k)Fc I,~1 > Dv
F r ( ~ , F) ( 2 5 )
/ t _sgn ( F) max (F, F, ) I.tl - Ov"
A small nei ghborhood of zero velocity is defined by
Dr , as shown in Fig. 39 (Bernard, 1980; Kar nopp,
1985; Johnson and Lorenz, 1991; Younki n, 1991).
Outside this nei ghborhood, friction is a function of
velocity. Inside the nei ghborhood, velocity is con-
sidered t o be zero and friction is force dependent . As
long as the resultant force is less t han the maxi mum
stiction force, the small velocity remains const ant
within the +Dr nei ghbor hood or is set to zero.
Kar nopp' s (1985) i mpl ement at i on of this met hod for a
block of mass m sliding on a flat frictional surface with
an applied force, F, is depi ct ed in t he block diagram
of Fig. 40. The deadband of the gain block bet ween
the two integrators forces the velocity t o exactly zero
during sticking. These models allow discontinuity of
static t o Coul omb friction force at the nei ghborhood
boundary.
~ z D V ~
FIG. 39. Karnopp's friction-velocity model, By allowing
stiction within the interval +Dr, the integrator does not have
to search for velocity zero crossings [from Karnopp (1985),
courtesy of the publisher].
A s ur ve y o f f r i ct i on a n d c ont r ol s 1109
l:m
F
( a) (b)
P
= !
S I
F s ~ k ~ 7
(c)
FIo. 40. Block diagram of Karnopp's friction simulator for a
force F, applied to a block of mass m moving on a flat
frictional surface [from Karnopp (1985), courtesy of the
publisher].
A second appr oach is based on experi ment al
observat i on of presliding displacement, t hat is, at
velocity reversals, friction may be mor e appropri at el y
model ed as a cont i nuous function of displacement.
This can be represent ed graphically with a hysteresis
l oop as shown in Fig. 41. For small displacements, this
can be i nt erpret ed as t he straining and event ual
rupt ure of many small bonded cont act s bet ween t he
t wo sliding or rolling surfaces (Dahl , 1968, 1977;
Threifall, 1978; Haessig and Friedland, 1991). I f very
Iza
P.R
Fr i ct i onol
| o r c e
/
changes
J si gn
Displacement
J
Fio. 41. Friction-displacement hysteresis loop [from Threl-
fall (1978), courtesy of the publisher].
small displacements are t o be accurately simulated,
these posi t i on-dependent model s could be mor e
accurate t han a vel oci t y-dependent model. Threlfali
(1978) and Haessig and Fri edl and (1991) propose
switching bet ween position- and vel oci t y-dependent
models. For large displacements, Coul omb friction
t oget her with spring stiffness can somet i mes be
model ed in a similar fashion (Bernard, 1980).
3.4.3. L o a d - d e p e n d e n t f r i c t i o n
The significance of varying applied loads in machine
friction has not been t horoughl y studied. Some
experi ment s have suggested that, in certain mechan-
isms, friction does not exhibit a measurabl e
dependence on the transmission and reaction loads
which det ermi ne t he frictional normal forces
(Armst rong-H61ouvry, 1991; Canudas de Wit e t a l . ,
1991). Ot her experi ment s indicate t hat it can be an
i mport ant fact or in transmission el ement s (Newman e t
a l . 1992; Dohr i ng e t a l . 1993; Dupont , 1993). The
situations are distinguished by the degree of
prel oadi ng of t he elements.
I n general , t he inclusion of a l oad-dependent
Coul omb or static friction t erm, f ( x , / c , J i ) , in the
dynami c equat i on (22), renders it implicit in t he joint
accelerations, $. The forward solution requires an
iterative root-finding procedure (such as a modified
Newt on met hod) at each step of the integration t o
comput e the accelerations. The cause of t he
implicitness is the dependence of friction on t he
magni t ude of t he normal force. The normal force
itself is a function of the resultant force and moment
at a joint. Expressed in a local coordi nat e frame, t he
component s of the resultant force and moment can be
formul at ed in terms of t he joint positions, velocities
and accelerations. These component s will be affine
transformations of t he accelerations ( Dupont , 1993).
If the direction of t he normal force is const ant in
the local coordi nat e frame, t he normal force can be
expressed as a function in which t he net force and
moment component s appear linearly. This is t rue for
friction in translational joints and certain transmis-
sions. Since t he sign of the normal force can change,
its absolute value must be used t o obt ai n its
magnitude.
When the direction of the normal force is not
const ant in a local joint coordi nat e frame, the
magni t ude of the normal force will involve t he square
root of sums of squares of net force and moment
component s. As an exampl e, consider a radially
l oaded revol ut e joint. More generally, there are
multiple bearings at a joint and one must consider
joint geomet r y and reaction t orques as well as
reaction forces (Gogoussis and Donat h, 1988).
Thus, l oad-dependent friction involves t he absolute
value or square root of sums of squares of
accel erat i on-dependent terms. Substituting ei t her t ype
of expression into t he original dynami c equat i ons
renders t hem implicit in t he accelerations. Conse-
quently, it is necessary t o solve iteratively for joint
accelerations at each time step of a simulation.
To minimize t he number of iterations, Threlfail
(1978) proposes a pr edi ct or - cor r ect or met hod which
1110 B. ARMSTRONG-HI2LOUVRY e t a l .
uses the reaction forces from the previous seven time
steps to predict the new values. Morgowi cz (1988)
uses only the reaction forces from the precedi ng time
step. Bot h aut hors indicate t hat convergence is usually
obt ai ned in two iterations.
The cost of implicitness is significant, however.
Using two iterations effectively requires two forward
solutions in addition to solving the inverse probl em
once for those force and t orque component s needed
to comput e the normal forces. To avoid an iterative
solution, Gogoussis and Donat h (1990) propose a
hybrid analog/digital comput er i mpl ement at i on solv-
ing the implicit port i ons in t he anal og comput er.
Anal og simulations are discussed by Cocker ham and
Cole (1976) and by Dahl (1968) al t hough nei t her
paper considers varying normal force.
For those cases in which the magni t ude of frictional
normal force involves onl y an absolute value, there
is a finite number of possible solutions based on the
combi nat i ons of signs of normal forces. By adopt i ng
an efficiency formul at i on and tracking the signs of the
normal forces using switching functions, the number
of iterations can be minimized ( Dupont , 1993). This is
an i mport ant case because it applies t o transmission
el ement s which, when present, often domi nat e
machi ne friction.
3.4.4. E x i s t e n c e a n d u n i q u e n e s s
In t he absence of friction, t he rigid-body forward
dynami c equat i ons can be shown t o possess a unique
solution for t he accelerations at each time step. For
most cases of interest involving low-friction mechan-
isms, rigid-body model s yield a unique solution as
well. For sufficiently high coefficients of friction,
however, systems with l oad-dependent friction can be
shown to possess ei t her multiple consistent solutions
or none at all. The probl em arises because the
normal -force reactions cannot be written as functions
of t he system state, but instead must be expressed in
terms of t he unknown accelerations. Since the
resulting set of equat i ons is nonl i near in the
unknowns, it is not surprising t hat solution existence
and uniqueness is problematic.
The existence and uniqueness probl em associated
with Coul omb friction bet ween rigid bodies has been
studied in Painlev6 (1895), Lr s t edt (1981), Rooney
and Deravi (1982), Raj an e t al . (1987), Mason and
Wang (1988), Wang e t al . (1992) and Dupont (1992a,
b). Dupont (1992a) shows t hat a single degree of
freedom is sufficient t o exhibit these probl ems and
that, accordi ng t o the value of input force or t orque
and velocity, there can be either zero, one, two or
t hree feasible solutions. Rooney and Deravi (1982)
demonst rat e similar behavi or with a quasistatic
analysis of a slider-connecting rod mechanism.
Mason and Wang (1988) address t he case of no
consistent solution and model it as an impact with
zero approach velocity. The hypot heses used to
govern frictional impact can somet i mes violate t he
principles of dynami cs such as energy conservat i on.
Wang e t al . (1992) provi de a good discussion of this
topic and propose discretizing the normal -force
cont act zones into compl i ant patches with lumped
linear stiffness t o ensure a unique solution.
As did Wang e t al . (1992), Dupont (1992b) points
out that the existence and uniqueness probl ems
associated with l oad-dependent friction can be
resolved by relaxing the rigid-body assumption. He
proposes to make the otherwise ambi guous normal
reactions functions of system state by introducing a
lumped compliance with a component normal to the
friction cont act surface. Using this approach, he
addresses the case of multiple dynami c solutions and
shows that for a system of finite stiffness, the "ext r a"
solutions are dynamically unstable.
In many situations, existence and uniqueness is not
a concern. In these cases, it is a straightforward task
t o develop comput er code for simulating the
appropri at e friction model. Al t ernat i vel y, several
commercial software packages allow for the numerical
integration of nonl i near differential equat i ons includ-
ing those with discontinuities. Friction simulation can
be a valuable analysis tool when used judiciously and
in combi nat i on with experiments and ot her analysis
techniques.
3.5. Summary of Analysis Tools
A general analysis t ool - - one which will illuminate
both the positioning and tracking tasks; PD, PI D and
ot her control structures; and i ncorporat es an adequat e
friction model - - has not yet been presented. But as
shown in Table 4, many partial steps have been taken.
Radcliffe and Sout hward (1990) have shown t hat
systems with a broad range of friction models and PD
control will not exhibit hunting. This result has been
arrived at by a number of routes, including those of
Kubo e t al . (1986) and Wal l enborg and As t r r m
(1988). Furt hermore, as Kubo e t al . (1986) have
established, a system with Coul omb friction alone will
not stick slip while tracking with PD control. This
point was made long ago in the mechanics communi t y,
and was the motivation for early proposals in the
tribology literature that, based on the observat i on of
self-exciting stick slip during sliding, the Stribeck
friction model might apply t o a wide range of
situations (Thomas, 1930). The algebraic analyses of
Derj agui n e t al . (1956, 1957), and others, consider
Coul omb + static friction and the tracking problem in
a general way, but only a PD control; and the
possibility of stick-slip is found. Ar ms t r ong- Hr l ouvr y
(1993), likewise, presents a general analysis, incor-
porat i ng a rich friction model , but considers only PD
cont rol . The result of Wal l enborg and ,~str0m (1988)
is quite rigorous and extends to full state feedback,
but rests on a describing function description t hat is
limited to Coul omb friction and the positioning task.
The results of Tou (1953) and Shen (1962), among
ot hers are specific t o particular systems and are not
t horoughl y verified, but over come t he difficulties of
reflecting standstill or steady motion with the
describing function.
Too much attention has been focused on t he
simplest probl em: positioning of a machine with
Coul omb friction and PD control. The repeat ed
demonst rat i on t hat this case will nei t her hunt nor stick
slip, coupl ed with the evident presence of limit-cycles
in the l aborat ory and field, should provi de adequat e
A s u r v e y o f f r i c t i o n a n d c o n t r o l s 1111
TABLE 4. PAPERS PROVIDING ANALYTIC PREDICTION OF STICK SLIP IN MACHINES; THE INDICATIONS NO OR YES REFER TO THE
POSSIBILITY OF STICK SLIP DETERMINED BY THE CITED ANALYSES
Task/controller
Positioning Tracking
Friction
model PD PID or Lag* PD PID or Lag*
NO
NO
Coulomb Kubo, NO
Radcliffe, Radcliffe, 9
Amin Kubo
Wallenborg
NO YES
YES YES
Coulomb + Static Tout Tout , Amin
Radcliffet Radcliffet Derjaguin:~ Shent
YES
NO YES
Dupont YES
Coulomb + Stribeck Radcliffet Radcliffet Armstrong,
* Parameters giving stable linear portion assumed.
t Specific system parameters considered.
$ Incorporates rising static friction.
Incorporates frictional memory.
Tou: (Tou, 1953; Tou e t a l . , 1953) Derjaguin: Derjaguin e t al . (1956, 1957) Shen: (Shen and Wang, 1964) Radcliffe: (Radcliffe e t
a l . , 1990) Kubo: (Kubo e t a l . , 1986) Wailenborg: (Wallenborg e t a l . , 1988) Dupont: (Dupont, 1994) Armstrong:
(Armstrong-HAIouvry, 1991, 1993) Amin: (Amin, 1993)
mot i vat i on t o move on t o t he mor e chal l engi ng cases
of PI D cont r ol , t he t r acki ng t ask and a St r i beck
fri ct i on model . Fur t her mor e, t o be useful in pr act i ce,
anal ysi s t ool s must compr ehend not onl y t he
nonl i near i t i es of fri ct i on, but t he nonl i near i t i es of
cont r ol as well. Even for nomi nal l y l i near PI D
cont r ol , nonl i near i t i es such as de a dba nd and sat ur a-
t i on oper at i ons ar e common.
The possi bi l i t i es have not been exhaust ed. The
pr oj ect i ve phase pl ane t echni ques of Radcl i ffe and
Sout hwar d (1990), for exampl e, coupl ed wi t h t he
anal yt i c t echni ques of Der j agui n e t a l . (1957) or
Ar mst r ong- HAl ouvr y (1993), mi ght yi el d mor e gener al
anal ysi s t ool s. Per haps t hese r out es, or ot her s, will
br i ng t ool s for t he most gener al case: t he t r acki ng t ask
wi t h a gener al cont r ol st r uct ur e and adequat e fri ct i on
model . It seems l i kel y t hat an anal ysi s capabl e of
handl i ng t hi s case woul d compr ehend t he ot her
possi bi l i t i es as speci al cases, and gr eat l y ext end our
abi l i t y t o anal yt i cal l y pr edi ct st i ck sl i p in machi nes.
4. COMPENSATION TECHNIQUES FOR MACHINES
WITH FRICTION
An ext ensi ve body of l i t er at ur e exists r el at i ng t o
fri ct i on compensat i on; t hi s sur vey, for exampl e, ci t es
over one hundr ed paper s in t hi s ar ea. Thi s body of
l i t er at ur e can be vi ewed as cor r es pondi ng t o t he
mul t i di mensi onal char act er of t he pr obl em. As
suggest ed by Fi g. 42, t he coor di nat e axes mi ght be t he
mechani sm, t ask, fri ct i on model , anal ysi s t echni que,
and compensat i on t echni que under consi der at i on.
Many paper s in this ar ea ar e ver y specific, such t hat
t hey can be vi ewed as a single pi xel in t hi s
mul t i - di mensi onal space. Al l owi ng for di scussi on t hat
t her e mi ght be:
f our classes of mechani sms- - - r ol l er bear i ngs, sl i di ng
bear i ngs with dr y or fluid l ubr i cat ed cont act s, and
hydr ost at i c or magnet i c bear i ngs;
f our di fferent t asks- - - pr eci si on posi t i oni ng, smoot h
vel oci t y r ever sal , l ow vel oci t y t r acki ng and hi gh
vel oci t y t racki ng;
five di fferent fri ct i on mo d e l s - - Co u l o mb fri ct i on,
Coul omb + st at i c fri ct i on, Coul omb + St r i beck fric-
t i on, sliding fri ct i on wi t h fri ct i onal memor y, sl i di ng
fri ct i on with rising st at i c fri ct i on;
f our di fferent anal ysi s t echni ques----descri bi ng func-
t i on, exact i nt egr at i on, phase pl ane and ext ensi ve
si mul at i on; and
seven di fferent compens at i on t echni ques- - - l ow fric-
t i on machi ne desi gn or l ubr i cant choi ce, stiff
posi t i on cont r ol , i nt egr al cont r ol wi t h de a dba nd,
di r ect force f eedback, i mpul si ve cont r ol , Coul omb
fri ct i on f eedf or war d, pos i t i on- dependent fri ct i on
f eedf or war d;
one finds t hat 2240 specific paper s ar e possi bl e.
Despi t e t he ext ensi ve l i t er at ur e in t hi s ar ea, we ar e
not awar e of any compr ehensi ve at t empt t o pi ece
t oget her t he many t hr eads r unni ng t hr ough t hi s space.
In compi l i ng t hi s sect i on, we had sever al goal s. The
Compensation Technique
FIG. 42. Axes of friction compensation space.
1112 B. ARMSTRONG-HI~LOUVRY e t a l .
first was t o provi de an overvi ew of the maj or friction
compensat i on techniques. More i mport ant l y, we have
tried to assemble the many pieces of this probl em into
their whole and to point out where work remains t o
be done. In the next section, we propose a
classification of friction cont rol tasks. For each task,
the probl emat i c behavi or is described and the
contributing friction component s identified. Following
that, we describe how the cont rol probl em can
somet i mes be avoi ded t hrough the selection of
alternative mechanisms, materials or lubricants. Next,
bot h model -based and non-model -based compensat i on
met hods are present ed along with t echni ques for
friction identification and adapt i ve control. The
section concludes with a survey of the compensat i on
techniques in current use by industry.
4.1. Compensat i on Tasks
A classification of compensat i on tasks appears in
Tabl e 5. Of the four tasks, one is the regul at or and
t he remai ni ng t hree are versions of the tracking
probl em. They are listed along with the associated
cont rol l er er r or and the domi nant friction effect. A
specific machi ne application could involve several of
these tasks.
Task !, t he Regul ator, is encount ered with
positioning and pointing systems. Appl i cat i on ex-
amples include telescopes, ant ennas, machine tools,
disk drives and robots. In this case, a system spends
most of its time ei t her near or within the stiction
regime. When the fri ct i on-vel oci t y curve of a system
is negatively sloped at the origin, the equilibria of a
PD position regul at or consist of an interval on the
position axis in phase space. Onl y one point in this set
corresponds t o the desired goal position as was shown
in Fig. 36. By addi ng integral cont rol , t he equilibria
set consists onl y of points with the desired position
(and velocity); however, this set can be unstable with
nearby trajectories diverging away to a limit cycle
(Radcliffe and Sout hward, 1990). This integral-
induced stick-slip oscillation about t he goal position is
referred t o as "hunt i ng". This task is discussed in
Blackwell e t al . (1988), St ockum e t al . (1988), Yang
and Tomi zuka (1988), Ost ert ag e t al . (1989), Radcliffe
and Sout hward (1990), Ausl ander and Dass (1990),
Brandenburg and Sch/ifer (1991) and Sout hward e t al .
(1991).
As t o its frictional cause, Task !I, Tracki ng with
Vel oci t y Reversals, is closely allied with Task I. Due t o
a higher static level of friction, mot i on t hrough zero
velocity is not smoot h. A system may pause at zero
velocity until sufficient force is applied t o exceed the
maximum stiction level. This task is encount ered with
machine tools, tracking mechanisms and robot s under
position or force control. An i mport ant example of
the effect of friction on this task occurs for machine
tool slideways, where it is known as stand still or
quadrant glitch. In multiple degree of freedom
mot i on, the joint undergoi ng velocity reversal pauses
while the ot hers cont i nue uni mpeded. The resulting
mot i on manifests itself as an aberrat i on in the
workpiece cont our. Suzuki and Tomi zuka (1991)
address this probl em in machining circular paths. In
many papers, tracking with velocity reversal is studied
for a sinusoidal reference signal, including Gilbart and
Winston (1974), Canudas de Wit e t a L (1987),
Canudas de Wit and Seront (1990), Wal rat h (1984),
Schiller and Brandenburg (1990) and Br andenbur g
and Schiller (1991). Maquei ra and Masten (1993) have
investigated tracking with spectrically broad band
inputs.
Task 111, Tracking at Low Vel oci ti es, differs from
Task II in t hat the desired mot i on is of constant
direction and perhaps const ant velocity. This task
arises for machi ne tools, tracking mechanisms and
robot s under position or force control. It is the task
most oft en associated with stick slip. The common
pictorial represent at i ons include the pin on flat
apparat us of Fig. 14 and its kinematic inversion
depi ct ed in Fig. 43.
The potential for stick-slip limit cycling exists when
the operat i ng point, Vo, lies on a negatively sloped
port i on of the steady-state fri ct i on-vel oci t y curve such
as Regi me I I I of Fig. 5. This task is oft en studied by
addressing one of two criteria for smoot h mot i on:
(1) Does a stick-slip limit cycle exist and for what
system paramet er values will it be stable?
V 0
tAAAA~
I T H| |
k, 1/ H / / / / / / / / / / /
friction interface
FIG. 43. Tracking at low velocities. The free end of the
spring and damper are moved at constant velocity, V~).
TABLE 5. COMPENSATION TASKS
Compensation task Control error Dominant frictional contributor
I. Regulator (pointing or Steady-state error, Stiction.
position control) hunting (limit cycle
around fixed point)
Stand still,
lost motion
II. Tracking with velocity
reversal
III. Tracking at low velocities
IV. Tracking at high velocities
Stick-slip
Large tracking errors
Stiction.
Negatively-sloped
Stribeck curve; stiction.
Viscous behavior of lubricant.
A sur vey of fri ct i on and cont r ol s 1113
(2) For what system parameter values is the
equilibrium point i = Vo stable?
The former has been addressed most often in the
literature. Examples include Harmer (1952), Singh
(1960), Shen and Wang (1964), Kato and Mat-
subayashi (1970), Kato e t al . (1972, 1974),
Armstrong-H61ouvry (1991, 1993). Investigations of
equilibrium-point stability have been carried out by
Rice and Ruina (1983) and Dupont (1994). Analyses
involving the determination of stable stiffness and
damping values can be applied in controller design by
relating these quantities to position and velocity gains.
Controller design for tracking at low velocities is also
studied in Gilbart and Winston (1974), Walrath
(1984), Kubo e t al . (1986).
Task IV, Tracking at High Velocities, arises for
machine tools, position-controlled robots and tracking
mechanisms. High-speed operation not only increases
productivity, it may actually be necessary to meet
process constraints. For example, in high-speed
machining, a critical cutting velocity must be exceeded
in order to avoid the excessive tool temperatures
which lead to premature failure (Suzuki and
Tomizuka, 1991).
This task is significantly different from the previous
three tasks because high-velocity friction is dominated
by viscous effects. The friction-velocity curve is
positively sloped and stability is usually not a
problem. Instead, tracking error is observed to
increase as a function of velocity. For example, the
radial error in machining circular contours is
approximately proportional to the square of the
angular-velocity feed rate (Suzuki and Tomizuka,
1991).
Often, machines performing high-velocity tracking
must also cope with velocity reversals. Due to the
nonlinearity of friction, a linear fixed-gain controller
that is tuned for low velocities may perform poorly at
high velocities and vice versa. This suggests the need
for nonlinear compensation, as described in Section
4.4, and for variable structure controllers, whose
industrial use is addressed in Section 4.5.
The effectiveness of a particular compensation
technique depends strongly on the task. This is due in
a large part to the task defining the dominant
frictional effect. Figure 44 connects task and
compensation technique pairs which have been
investigated in the literature. Each of these compen-
sation methods is described in the following sections.
Figure 44 also lists the common applications
associated with each task.
The first item listed under compensation tech-
niques, Friction Problem Avoidance, is not truly a
compensation technique. In this method, one attempts
to replace the given system with one which is easier to
control. Model-based methods are distinguished from
non-model-based methods in that they employ a
TASK COMPENSATION TECHNIQUE TASK
Friction Problem Avoidance
Tracking with
Mechanical Design*
Vel0cl.ty.. Reversal f - - ~ - I Material Choice * "~. ~-----/
A; B 1, n; D ~ t Lubricant Choice* J
/ [ Non-Model-Based Compensation
U I~--~--~ Stiff Position Control (1)
~ Integral Control / Deadb~ * ~
Regulator --'JJV}I ) /
(Position) ~ Joint Torque Control
A, C; D - ~ l / ~ f Impulsive Control / /
/ / / / / / o = . + j -
III// o m p e n . t i o n
I l l / ~ " Coulomb Friction Feedforward/~
I I / \ F b=k"
I / \ ~. . ~ General Friction Feedforward/
Adaptive Feed forward/Feedback*
Tracking;
Tracking;
High Velocity
A', B ii; C
Applications:
A. Machine Tools
B. Robotics
i) Force Control
ii) Position, Trajectory Control
C. Disk Drives
D. Gimbals; Telescopes; Military Pointing
* Found in Industrial Applications
(I) Feasible in gimbals,
difficult in robotics, etc.
(2) Principally hydraulic systems.
FIG. 44. Tasks and t hei r associated compensat i on techniques as r epor t ed in the literature. Typical task
applications appear in t he legend.
AUTO 30-7-C
1114 B. ARMSTRONG-HI~LOUVRY e t al .
friction model in a feedback or feedforward loop. The
model paramet ers may be identified once t hrough a
set of identification experiments. Otherwise, adaptive
control techniques may be applied.
4.2. Probl em Avoi dance: Design for Cont rol
While the latest cont rol t echni ques are finding
acceptance in industry, probl em avoi dance, or design
for cont rol , is usually the first st rat egy empl oyed t o
defeat friction probl ems. Many studies have shown
that the amplitude of stick slip can be r educed- - even
to zero under some circumstances---by decreasing t he
mass, increasing the dampi ng or increasing the
stiffness of a mechanical system (Rabi nowi cz, 1959;
Singh, 1960; Kat o e t al . , 1974). Dampi ng is usually
controlled t hrough selection of the lubricant and t he
sliding surfaces. The latter may be of different
composition t han the underl yi ng bulk material ei t her
applied as a coating or liner or embodi ed as a bearing.
Inertia and stiffness are det ermi ned t o a great ext ent
by the geomet ry and composi t i on of t he mechani sm' s
bulk material. The selection of actuators, bearings and
sensors can affect system dampi ng, stiffness and
inertia. For example, rolling el ement bearings may
possess dampi ng and stiffness characteristics which are
considerably different t han sliding bearings. These
topics are discussed briefly below.
4.2.1. L u b r i c a n t s e l e c t i o n
In a cont rol cont ext , the goal of lubricant selection is
usually t o reduce the negative slope of the
fri ct i on-vel oci t y curve near zero velocity. Slope
reduct i on is equi val ent t o increased damping. I f the
slope remains negative, the system is still unstable,
but is, however, easier t o stabilize by active control.
Dr y lubricants, such as pol yt et rafl uoroet hyl ene
( PTFE or Teflon ) and mol ybdenum disulfide, can be
used t o produce a stabilizing positive slope at very low
velocities. For example, the fri ct i on-vel oci t y curve for
PTFE has a positive slope up t o 10c ms 1. One
limitation of these soft lubricating films, however, is
their high wear rate. In addition, while these solids
may stabilize and decrease friction at low velocities,
t hey may generat e more friction t han would ot herwi se
be encount ered at higher velocities. In certain
applications, such as machi ne tools, this ext ra
dampi ng is desirable for stability. Solids, such as
Rulon , are often used in conj unct i on with liquid
lubricants as slideway liner materials.
4.2.2. Be a r i n g s
Bearing friction can be a probl em in high-precision
positioning, pointing and tracking systems. Several
schemes have been proposed t o over come mot i on
errors from ball bearings. One involves active cont rol
of the bearing out er race (Bi fano and Dow, 1985). In
anot her met hod, t he out er bearing race is not rigidly
mount ed t o t he machine frame. Inst ead, it is
connect ed to the frame t hrough torsional springs as
shown in Fig. 45 (Clingman, 1991). At mot i on
initiation and direction reversal, the friction t orque
and spring t orque act in series reducing t he effective
slope of the fri ct i on-di spl acement curve. A controller
of ball ~ / ~ ] ~ I ~ N~
Outer race
of ball Outer
bearing ring
Q Flexing elements
FIG. 45. Outer race of ball bearing is attached to static outer
ring through torsional flexing elements [from Clingman
(1991), courtesy of publisher].
can be added t o the bearing which drives the torsional
springs t o null displacement (Clingman, 1991).
In or der t o avoid t he nonlinearity of low-velocity
friction, oil or air hydrostatic bearings can be used.
While produci ng ext remel y low friction, air bearings
exhibit low stiffness and dampi ng in the normal
direction which can make t hem sensitive t o profile
errors of guideways and t o external disturbance
forces. To actively cont rol stiffness and dampi ng,
lubricant supply pressure can be controlled or
piezoelectric act uat ors can be placed in series with t he
air pads (Hori kawa e t al . , 1991). Alternatively, active
magnetic bearings represent a promising non-cont act
t echnol ogy which is currently used only in high-
velocity applications. In addition t o produci ng
minimal friction, their ability t o provi de active
dampi ng t o high speed rot ors eliminates critical speed
vibrations ( O' Connor , 1992).
4. 2. 3. S t i f f n e s s a n d a c t u a t i o n
The most common source of excessive machine
compl i ance is transmission elements. The obvious
solution, which has been considered by a number of
researchers, is t o eliminate the transmission (Asada
and Youcef-Toumi , 1984), or at least t o locate it at
the joint (Townsend and Salisbury, 1987). Even in the
absence of transmission elements, machine com-
pliance due t o shafts and couplings can be significant
(Brandenburg and Sch~ifer, 1991). Very high machine
stiffnesses are sought when designing experimental
apparat us for studying friction (Dieterich, 1979;
Rui na, 1980; Pol ycarpu and Soom, 1992).
Elimination of the transmission can necessitate the
use of oversized or special hi gh-force/ t orque motors.
For fine displacement applications, piezoelectric
actuators with or wi t hout sliding cont act s can be used.
A s u r v e y o f f r i c t i o n a n d c o n t r o l s 1115
To o v e r c o me t he i r s t r o k e l i mi t at i on, t he y ma y be us ed
in c onj unc t i on wi t h c onve nt i ona l l ong- s t r oke
act uat or s .
4 . 2 . 4 . I n e r t i a
Whi l e i ner t i a r e duc t i on ha s a st abi l i zi ng ef f ect on
s t i ck- s l i ppi ng s ys t e ms , it is not al ways pos s i bl e or
pr act i cal t o r e duc e i ner t i a a nd, in s ome cases, r e duc e d
i ner t i a can b e d e t r i me n t a l t o s ys t e m p e r f o r ma n c e . An
i mp o r t a n t e x a mp l e is t he st abi l i zat i on of gi mba l l e d
poi nt i ng s ys t ems . Cons i de r , f or e x a mp l e , a c a me r a
mo u n t e d t h r o u g h a gi mbal t o a bas e whe r e t he bas e is
s ubj e c t t o di s t ur ba nc e s . At hi gh di s t ur ba nc e f r e-
que nc i e s , t he ba ndwi dt h of t he c ont r ol l e r ma y
pr e c l ude act i ve c o mp e n s a t i o n . I n t he s e cases, t he
me c h a n i s m mus t be des i gned f or pas s i ve i ner t i al
s t abi l i zat i on. I n t he si ngl e d e g r e e of f r e e d o m case, t he
gove r ni ng e q u a t i o n is
r r = 1 0 , (26)
whe r e ~r is t he f r i ct i on t o r q u e g e n e r a t e d by t he ba s e
di s t ur bance, I is t he mo me n t o f i ner t i a o f t he c a me r a
a b o u t t he gi mbal axi s a nd 0 is t he r es ul t i ng c a me r a
accel er at i on. T o mi ni mi ze 0, i t is t he r a t i o o f f r i ct i on
t or que t o i ner t i a, r e ~I , whi ch is i mp o r t a n t ( El l i son a nd
Ri chi , 1983; St o c k u m e t a l . , 1988). I n t hi s c a s e ,
r educi ng i ner t i a wi t hout r educi ng f r i ct i on as wel l can
wor s en hi gh- f r e que nc y p e r f o r ma n c e . I n addi t i on t o
this di r ect c onne c t i on wi t h f r i ct i on, i ner t i al c om-
pone nt s a r e s o me t i me s a d d e d t o poi nt i ng s ys t e ms t o
passi vel y cancel e i t he r i ner t i al di s t ur ba nc e t e r ms
( El l i son a nd Ri chi , 1983) or i ner t i al r e a c t i ons dur i ng
act i ve mo t i o n c ont r ol ( Ge r ma n n a nd Br acci o, 1990).
Whi l e desi gn f or c ont r ol does not g u a r a n t e e t he
pas s i ve e l i mi na t i on o f s t i c k- s l i p, it usual l y pr oduc e s a
s ys t e m whi ch is eas i er t o c ont r ol a nd whi ch pos s es s es
b e t t e r p e r f o r ma n c e char act er i st i cs. Fur t he r i mp r o v e -
me n t can be a c hi e ve d by f r i ct i on c o mp e n s a t i o n as
de s c r i be d in t he f ol l owi ng sect i ons.
4. 3. No n - mo d e l - b a s e d Co mp e n s a t i o n f or Fr i ct i on
4. 3. 1. S t i f f P D c o n t r o l
Whi l e t he r e gul a t or p r o b l e m is s t abl e u n d e r PD
c ont r ol , t he t r a c ki ng p r o b l e m doe s exhi bi t st i ck slip at
l ow vel oci t i es. Fo r ma n y year s , it has be e n known t ha t
by i ncr eas i ng t he d a mp i n g or t he st i ffness of a s ys t e m,
s t i c k- s l i p can be e l i mi na t e d. I n a c ont r ol c ont e xt , t hi s
is a c c ompl i s he d by i ncr eas i ng t he PD gai ns.
PD cont r ol , a l ong wi t h i nt egr al a c t i on, is wi del y
us ed in i ndust r y. Pe r h a p s be c a us e of its wi d e s p r e a d
use, f ew p a p e r s a p p e a r r e por t i ng t he e x p e r i me n t a l
p e r f o r ma n c e of PD and P I D cont r ol l er s in ma c hi ne s
wi t h f r i ct i on. I ns t e a d, mos t r e l a t e d p a p e r s use
e x p e r i me n t t o obt a i n a s ys t em mo d e l , i ncl udi ng
f r i ct i on, whi ch is t he n a na l yz e d t o p r o d u c e st abi l i zi ng
PD gai ns f or a gi ven i nput t r a j e c t or y. Si nce t he s e
r esul t s d e p e n d on t he f r i ct i on mo d e l us ed in t he
anal ysi s, f r e q u e n t r e f e r e nc e t o f r i ct i on mode l i ng in
this sect i on is una voi da bl e .
Th e success of stiff PD c ont r ol can onl y be ful l y
unde r s t ood by cons i der i ng f r i ct i onal me mo r y . Whi l e
t he t r i boi ogy c o mmu n i t y has be e n a wa r e of t hi s
f r i ct i onal ef f ect f or a l mos t 50 ye a r s , it has onl y
r ecent l y be e n i n c o r p o r a t e d i nt o f r i ct i on mo d e l s us ed
f or cont r ol . Cons e que nt l y, mo s t o f t he l i t e r a t ur e on
stiff PD c ont r ol , whi l e c or r e c t f or t he f r i ct i on mo d e l s
c ons i de r e d, is o f l i mi t ed pr act i cal val ue. Whi l e t he s e
si mpl i f i ed mo d e l s can mi mi c s t i c k- s l i p l i mi t cycl i ng,
t he y pr e di c t s t e a dy sl i di ng onl y t hr ough der i vat i ve
act i on, e ve n t h o u g h e x p e r i me n t s ha ve shown t ha t
p r o p o r t i o n a l c ont r ol is al s o ef f ect i ve.
Anal ys es ba s e d on f r i ct i on mo d e l s whi ch a r e
si ngl e- val ued f unct i ons of vel oci t y f or n o n z e r o vel oci t y
i ncl ude Ha r me r (1952), De r j a g u i n e t al . (1957),
Co c k e r h a m a nd Sy mmo n s (1976), Br oc kl e y e t al .
(1967), Ba n n e r j e e (1968), Ar ms t r o n g - Hr l o u v r y (1990)
a nd Ga o a nd Ku h i ma n n - Wi l s d o r f (1990). Th e s e
anal ys es ma y ha ve di r ect i mpl i cat i ons f or s ys t ems in
whi ch f r i ct i onal me mo r y is of such a ma gni t ude t ha t
its negl ect is j ust i fi ed.
Begi nni ng wi t h Sa mp s o n e t al . (1943), r e s e a r c he r s
obs e r vi ng st i ck-sl i p l i mi t cycl es n o t e d t ha t f r i ct i on was
hi gher dur i ng t he a c c e l e r a t i on pha s e o f t he sl i p cycl e
t han dur i ng t he de c e l e r a t i on phas e. ( Recal l Fi g. 21).
Thi s l ed t o t wo- va l ue d mo d e l s whi ch we r e e mp l o y e d
in t he st abi l i t y anal ys es of Bel l a nd Bu r d e k i n (1969),
Co c k e r h a m and Sy mmo n s (1976), Co c k e r h a m a nd
Col e (1976) and Bo a nd Pa ve l e s c u (1982). Thi s wo r k
r e pr e s e nt s a si gni fi cant s t e p t o wa r d t he r e c ogni t i on o f
f r i ct i onal me mo r y . Al t e r na t i ve l y, Ka t o and Ma t -
s uba ya s hi (1970) o b s e r v e t he mul t i - val ued be ha vi or ,
but p r o p o s e t he us e of a me a n f r i ct i on coef f i ci ent
dur i ng t he slip phas e.
Re c e nt l y, it has b e c o me pos s i bl e t o expl ai n t he
st abi l i t y of hi gh- st i f f ness s ys t e ms whi ch exhi bi t
ne ga t i ve s t e a dy- s t a t e d a mp i n g t hr ough t he i ncl usi on of
f r i ct i onal me mo r y ef f ect s. For e x a mp l e , Ar ms t r o n g -
Hr l o u v r y (1992) cons i der s a f r i ct i on mode l c o mp o s e d
of St r i beck, vi scous a nd r i si ng- st at i c- f r i ct i on c om-
pone nt s . Th e St r i beck c o mp o n e n t is s ubj ect t o t he
p u r e t i me l ag p r o p o s e d by He s s and Soom (1990).
Ar ms t r o n g - Hr l o u v r y e mp l o y s a p e r t u r b a t i o n me t h o d
in c o mb i n a t i o n wi t h nume r i c a l i nt e gr a t i on t o de t e r -
mi ne t he st abi l i t y of a st i ck-sl i p l i mi t cycl e. Hi s
anal ysi s first cons i der s t he f r i ct i onal me mo r y a nd
ri si ng st at i c f r i ct i on mo d e l s s e pa r a t e l y t o obt a i n
st abi l i t y cr i t er i a. Th e s e a r e t he n c o mb i n e d t o
d e t e r mi n e t he ef f ect of each. Cons i der i ng onl y t i me
l ag wi t h a f r i ct i on mo d e l exhi bi t i ng negat i ve d a mp i n g
at l ow vel oci t i es, a si ngl e de gr e e o f f r e e d o m s ys t em
consi st i ng o f a sl i di ng ma s s , M, will not e xpe r i e nc e
st i ck slip f or mo d e r a t e f r i ct i on i f t he s ys t em st i ffness
( i ncl udi ng p r o p o r t i o n a l gai n) me e t s or e xc e e ds a
cri t i cal va l ue , k , r wh e r e
kc, = M ~-" (27)
r ~"
Cl ear l y, as t he t i me l ag, rL, a p p r o a c h e s z e r o , t he
critical st i ffness a p p r o a c h e s i nfi ni t y. T h e addi t i on o f
t he r i si ng- st at i c- f r i ct i on mo d e l is of gr e a t e s t i mp o r t f o r
ver y l i ght l y d a mp e d s ys t e ms , i ncr eas i ng t he cr i t i cal
st i ffness at low vel oci t i es a nd de c r e a s i ng i t at hi gher
vel oci t i es. Th e c o mb i n e d mo d e l pr ovi de s a good
ma t c h wi t h e x p e r i me n t a l d a t a f r o m t he ba s e j oi nt o f a
P UMA r obot .
1116 B. ARMSTRONG-HI~LOUVRY et al.
In contrast to studying the stability of stick-slip limit
cycling, Rice and Rui na (1983) empl oy the concept of
a nonl i near friction model which depends on slip
history and consider the stability of the equilibrium
point associated with steady sliding. This class of
friction models includes the state variable models
described in Section 2.1.5. They consi der small
pert urbat i ons by linearizing t he system about st eady
sliding. The steady-state friction-velocity slope is
assumed t o be negative while t he i nst ant aneous slope
is positive ei t her due t o the friction itself or external
damping. Using a root-locus argument , t hey obt ai n a
critical stiffness above which the equilibrium point is
stable under small pert urbat i ons. For a friction model
involving a single exponential decay over the
characteristic length, L, the critical stiffness, kcr, can
be expressed as
kc, = Vd T, s ( V) J dV 1 + (28)
L L '
where V is velocity, r is frictional shear stress, r~.~ is
steady-state frictional shear stress and m is slider
ma s s . Dupont and Bapna (1992) have devel oped
expressions for critical stiffness in systems where
frictional memor y is also associated with changes in
normal stress.
In summary, stick slip can be eliminated t hrough
ei t her high derivative (velocity) feedback or high
proport i onal (position) feedback. They are best used
t oget her as t hey are compl ement ar y. While derivative
feedback is additive with i nherent system dampi ng,
this is not t he case with proport i onal (position)
feedback. System stiffness acts in series with controller
stiffness. Thus, high gain proport i onal cont rol is most
successful in systems which can be designed for high
rigidity. This topic is discussed furt her in Section 4.5.
4.3.2. Integral control
While stiff PD cont rol can be used t o achieve stable
tracking, integral cont rol of position or velocity is
al most always i nt roduced t o minimize steady-state
errors. Usi ng integral action, systems are found to
limit cycle when tracking at low or zero velocities.
Int egral action, and the limit cycling it induces, are
rarely discussed in the cont rol s literature except as
mot i vat i on for mor e compl i cat ed cont rol met hods.
This is in direct cont rast with its widespread use and
with the vari et y of techniques devel oped t o circum-
vent its short comi ngs.
To over come limit cycling, one st andard t echni que
is t o empl oy a deadband as the input t o the i nt egrat or
block. This, of course, imposes its own steady-state
er r or - - l ess, it is hoped, t han t hat before the integral
action was added. Shen and Wang (1964) empl oy a
st at i c-Coul omb model t o study posi t i on-ramp inputs.
They find t hat the size of t he stabilizing deadband
decreases al most linearly with ramp rate. To avoid
sluggish response and large steady-state errors at high
ramp rates, t hey propose setting the deadband limit as
a funct i on of input r amp rate.
In addition t o inducing limit cycling, integral cont rol
can be ineffective and even deleterious at velocity
reversals (Tung et al., 1993). Integral windup from
prior motion can actually inhibit breakaway. To
prevent this, the integral t erm is typically reset at
velocity reversals. While this eliminates the windup
probl em, the ensuing integral action produces minimal
effect when needed t he most t o overcome stiction. In
a system with multiple degrees of freedom, ot her
joints may be moving at high velocity during the
reversal. Consequent l y, the reduced effect of the
integral action in concert with t he higher level of static
friction at reversal can lead t o significant t racki ng
errors. Suzuki and Tomi zuka (1991) consider this
issue in the context of high speed machining of
circular contours. As an alternative to integral
cont rol , t hey propose a model -based cont rol l er which
applies a pulse to over come stiction at breakaway.
Hansson et al. (1993) apply a fuzzy rule system t o
controlling windup in PI D controllers. Br andenbur g
and Sch~ifer (1988a, 1989, 1991) consider integral
control in the context of a variety of tasks and
compensat i on techniques. Industrial use of integral
cont rol is discussed furt her in Section 4.5.
4.3.3. Dither
Di t her is a high frequency signal i nt roduced into a
system t o modi fy its behavior. Di t her can stabilize
unstable systems (Bogol i ubov and Mitropolsky, 1961),
and is used t o i mprove performance by modifying
nonlinearities in adapt i ve cont rol ( Ander son et al.,
1986), communi cat i on systems (Chou, 1990), optics
(Hirel, 1990) and image processing (Chau, 1990). For
machi nes with friction, the controls communi t y has
focused on the capability of dither t o smoot h the
discontinuity of friction at low velocity. Earl y
discussions of di t her empl oy the describing function,
(MacColl, 1945; At her t on, 1975). Lat er t reat ment s
bring t o bear averaging t heory (Mossaheb, 1983),
functional analysis and ot her met hods of nonlinear
system analysis (Zames and Shneydor, 1976, 1977;
Cebuhar , 1988; Bent sman, 1990; Lee and Meerkov,
1991).
How smoot hi ng arises with dither can be seen in an
example [following Cebuhar (1988)]: t he relationship
y( t ) = sgn ( u( t ) ) (29)
is discontinuous. However , when a dither of
amplitude 0~ and frequency oJ is added t o the input,
the averaged out put becomes:
~(t ) = sgn ( u( r ) + ~ sin (oJ~)) d~'. (30)
Through averaging, )7(0 can be a cont i nuous function
of u(t).
4.3.3.1. Tangential and normal dither. The analyses
present ed in the cont rol literature focus on a dither
signal added t o the command input, which, for t he
configuration shown in Fig. 46, will give rise t o
vibrations t hat are tangential t o t he sliding contact. In
the t ri bol ogy literature, on the ot her hand, the impact
of vibrations normal t o the cont act have been
considered (Fri edman and Levesque, 1959; Godf r ey,
1967; Oden and Martins, 1985; Hess and Soom,
1991a, b). The distinction bet ween normal and
A survey of friction and controls
1117
Tangential Vibration
Modifies Influence of Friction
(e.g. Control Input Dither) ~ Normal Vibration
t
Modifies Friction
u(t) ~ ~ (e.g. External Vibrator)
Friction S / / / /
Interface
Fro. 46. Direction and effect of dither.
tangential di t her in a friction cont act is a consi derabl e
one: t he effect of tangential di t her is t o modi fy t he
influence of friction (by averagi ng t he nonl i neari t y);
t he effect of vibrations normal t o t he cont act is t o
modi fy t he friction [by reduci ng t he friction
coefficient, ( Godf r ey, 1967; Martins et al., 1990)].
This survey is apparent l y t he first t i me t hat these t wo
possibilities have been consi dered t oget her.
Wor ki ng with a simple Coul omb + viscous friction
model one woul d not expect friction t o be reduced by
normal vibrations, so long as cont act is not br oken;
but when cont act compl i ance (t he origin of presliding
displacement) and asperity cont act s are consi dered,
more sliding is seen t o occur during peri ods of
reduced loading and less during peri ods of i ncreased
loading. This arises because t he mechani cal bandwi dt h
of individual asperities may be orders of magni t ude
higher t han t he bandwi dt h of t he macroscopi c
mechanical elements. Godf r ey (1967) report s a
reduct i on of t he coefficient of friction f r om 0.15 t o
0.06 in a lubricated steel cont act with t he addition of
1000 Hz normal vibrations.
For t he cont rol s engi neer, t he i mport ance of this
distinction lies in how di t her is t o be applied. The
original applications of di t her involved external
mechanical vi brat ors (Bennet , 1979). And on gun
mount s and ot her large pointing systems, such
vibrators, somet i mes called "di ppl er s, " are still used.
While any f or m of di t her will result in bot h tangential
and normal forces t hrough t he coupl i ng arising out of
asperity cont act s (Martins et al., 1990), mor e f r eedom
exists for ori ent i ng t he di t her when an external
vi brat or is used. I t is likely t hat mor e t han one servo
functions because of a badly bal anced fan in t he
vicinity is provi di ng dither.
4.3.3.2. Dept h o f discontinuity and dither in
hydraulic servos. When di t her is applied, filtering
exists bet ween t he source of t he vibration and t he
poi nt where it is t o have its effect, as shown by the
t ransfer funct i on Gl ( s) in Fig. 47. I n all cases, but
particularly when di t her is applied at t he cont rol
input, this filtering is i mport ant . Cebuhar (1988) and
eval uat es t he filtering in terms of the ' dept h' of t he
discontinuity, and defines a formal measure of this
dept h relating t o t he number of integrators in G~(s).
He finds t hat when t he dept h is great , t he designer is
F1G. 47. A transfer function between the input and the
nonlinearity where dither is to have its influence.
mor e restricted in t he application of a dither. Bot h
Cebuhar (1988) and Lee and Meer kov (1991)
investigate the opt i mal di t her paramet ers with a
const ruct i on like t hat of Fig. 47. The ratio
Gl ( ito )
(31)
G2(io9)
p l a y s a n i m p o r t a n t r o l e in t h e e f f e c t i v e n e s s o f t h e
d i t h e r a n d C e b u h a r p r o p o s e s t h a t co,i, t h e d i t h e r
f r e q u e n c y , s h o u l d b e c h o s e n t o m a x i m i z e a slightly
m o d i f i e d f o r m o f e q u a t i o n ( 3 1 ) . H o r o w i t z e t al. ( 1 9 9 1 )
consider limitations on range of applicable rod and
propose an adaptive const ruct i on which allows l ower
frequency dither. Based on input f r om engi neers in
industry (see Section 4.5), it seems t hat di t her is onl y
occasionally applied t o mot or servos, but is oft en
applied and with great effect t o spool valves in
hydraulic servos. The larger Gl (i t o)/ G2(i t o) achievable
in the hydraulic servo may account for t he great er
success of dither in these systems.
4.3.4. I mpul si ve control
A number of investigators have devised controllers
which achieve precise mot i ons in t he presence of
friction by applying a series of small impacts (Yang
and Tomi zuka, 1988; Suzuki and Tomi zuka, 1991;
Ar mst r ong, 1988; Ar mst r ong- Hr l ouvr y, 1991; De-
weert h et al., 1991; Hoj j at and Higuchi, 1991). These
are ' impulsive cont rol l ers' . Impulsive cont rol is
distinguished from dither in t hat it is the impulses
themselves which are t o carry out t he desired mot i on.
The impulses used are not zero mean and must be
calibrated t o produce the desired result. Impulsive
cont rol is also distinct from st andard pulse width
modul at i on ( PWM) controllers, where voltage pulses
are applied t o a mot or. In PWM controllers, the
mot or i nduct ance averages the relatively high
frequency (perhaps 20 kHz) voltage pulses t o pr oduce
a nearly const ant mot or current , and t herefore nearl y
constant t orque.
I n Yang and Tomi zuka (1988), Suzuki and
Tomi zuka (1991) Ar mst r ong (1988), Armst rong-
Hr l ouvr y (1991), Hoj j at and Higuchi (1991), the
impulses are applied when the system is at rest, i.e. in
t he stuck condition. The effect of the impulse is a
small di spl acement ( Ar mst r ong- Hr i ouvr y, 1991; Hoj -
jat and Higuchi, 1991) or a cont rol l ed breakaway,
leading t o transition t o anot her cont rol l er which
regulates macroscopi c movement s (Yang and Tomi -
zuka, 1988; Suzuki and Tomi zuka, 1991). By maki ng
the impulses of great magni t ude but short durat i on;
the static friction is over come and sensitivity t o t he
details of friction is reduced. A typical behavi or is
shown in Fig. 48. Hoj j at and Higuchi (1991) present
an apparat us designed especially t o demonst r at e
impulsive control. They reliably achieved a remark-
able 10 nm per impulse mot i on and speculate t hat
repeat abl e 1 nm per impulse mot i ons may be possible.
Thei r mechani sm was not unlike a machi ne slideway;
the slider measured about 3 cm on a side and weighed
155g. Hoj j at and Higuchi (1991) cont rol t he
amplitude of their impulses, typically applying a force
about 10 times the static friction for about 1 ms, and
1118 B. ARMSTRONG-HI~LOUVRY et al.
z
o
4 0 0
I mp u l s i v e force
Di s p l a c e me n t
0 10
Ti me (ms)
400
p2
v
2 ~M2g
\
j x M g
o
2o
FIG. 48. Behavior of motion under impulsive control [from
Hojjat and Higuchi (1991), courtesy of the publisher].
show t hat di spl acement is given by the square of the
ampl i t ude times an empirical constant.
Yang and Tomi zuka (1988) present a variable
structure controller. Away from zero velocity, a
standard linear controller operat es. At or near zero
velocity, the adaptive pulse width control takes over.
The impulse is t uned by varying the pulse width. A
current pulse is applied, as opposed to the voltage
pulses used in st andard PWM control. The impulses
are of a predet ermi ned force which must be great er
than the static friction; Yang and Tomi zuka (1988)
chose a force about four times the level of Coul omb
friction. The durat i on is t hen selected to achieve the
desired displacement. The aut hors present a rigorous
demonst rat i on of t he stability of bot h their controller
and the adapt i ve el ement . Suzuki and Tomi zuka
(1991) focus on the challenges of high speed
machi ni ng and demonst rat e a cont rol l er which
includes an impulsive el ement which operat es near
zero velocity.
Deweert h et al. (1991) describe a neural net work
based controller, with functionality comparabl e to a
PD controller, but which generat es a pulse train. The
impulses are a natural consequence of the neural
structure. The aut hors demonst r at e t hat t he cont rol l er
is effective in controlling low-speed, friction-limited
motions.
Ar mst r ong (1988) and Armst rong-H61ouvry (1991)
demonst r at e impulsive cont rol of a PUMA robot .
Thei r objective was very high precision force cont rol ,
needed t o manipulate an obj ect with a crush strength
of only 1/60th the level of static friction in the
mechanism. Using a calibrated table of impulse
magni t ude and durat i on, Armst rong-H61ouvry (1991)
applies impulses t hat are onl y 10- 20% great er in
magni t ude t han the static friction and achieves
10 mi cro-radi an per impulse mot i ons of the industrial
mani pul at or.
The impulsive controllers of Hoj j at and Higuchi
(1991), Yang and Tomi zuka (1988), Ar mst r ong (1988)
and Armst rong-H61ouvry (1991) have in common the
use of a long sampling interval. Underl yi ng these
impulsive controllers is the requi rement t hat the
system be in the stuck condition when each impulse is
applied. The met hod is in essence a small bang
followed by an open-l oop slide. Ret urni ng t o the stuck
condition imposes a number of limitations, but
improves the predictability of the response t o t he
impulse. The variable structure controller dem-
onstrated by Yang and Tomi zuka (1988), which
employs the impulsive control onl y at zero velocity,
perhaps best exploits the capability of impulsive
control.
The interaction of force application rate and
breakaway friction has not been considered by the
authors presenting impulsive controllers. But if force
application rate is at the heart of the observed rising
static friction (Ri chardson and Nolle, 1976; Johannes
et al. , 1973; see Section 2.1.4.2), the implications may
be substantial for impulsive control.
4.3.4.1. Dither, i mpul si ve cont rol and cont act
compl i ance. None of the aut hors describing either
di t her or impulsive cont rol address contact com-
pliance, discussed in Section 2.1.2. In the above cited
works, it is presupposed t hat high frequency forces
applied to the sliding elements act fully on the friction
contact. But the elastic response of the junction serves
as a low pass filter, increasing the depth of the
frictional discontinuity by adding one or perhaps two
poles t o G, ( s ) of equat i on (31). As the works of
Cebuhar (1988) and Lee and Meerkov (1991) make
clear, these met hods will be influenced by G, ( s) at the
applied frequencies. The i mport ance of contact
compliance is illuminated by the fact that the
micro-radian movement s of Ar mst r ong (1988) and
Armst rong-H61ouvry (1991) and the nanomet er
movement s of Hoj j at and Higuchi (1991) are both
smaller t ha n- - a nd in the later case three orders of
magni t ude smaller t han- - t he typical presliding dis-
placement. This suggests that actual motion is
occurri ng onl y in some percent age of asperity
contacts, with movement of the body a consequence
of the shifted equilibrium of the stresses of all of the
contacts. Cont act compliance depends upon contact
loading, surface finish and the material properties of
the parts, indicating t hat the success of either
impulsive cont rol or dither will depend upon these
aspects of machine design.
4.3.5. Joi nt t orque cont rol
Joi nt t orque cont rol is a sensor-based technique which
encloses the act uat or-t ransmi ssi on subsystem in
feeback l oop to make it behave more nearly as an
ideal t orque source (Wu and Paul, 1980). Distur-
bances due t o undesirable act uat or characteristics
(friction, ripple, etc) or transmission behaviors
(friction, flexibility, inhomogeneities, etc) can be
significantly reduced by sensing and high gain
feedback. The basic structure is shown in Fig. 49; an
inner t orque l oop functions t o make the applied
t orque, T, follow t he command t orque, T+..
Joint t orque control has been i mpl ement ed as a
means of compensat i ng for act uat or and transmission
friction (Wu and Paul, 1980; Luh et al., 1983; Pfeffer
et al., 1986, 1989; Vischer and Khatib, 1990a, b;
Karlen et al., 1990; Hashi mot o et al., 1992), as a
means of compensat i ng or mor e precisely controlling
transmission flexibilities (Karlen et al. , 1990; Furusho
et al., 1990; Hashi mot o et al., 1992), and as a means
of sensing and compensat i ng for the nonl i near rigid
body dynamics and gravitational loads experi enced in
A s ur vey of fri ct i on and cont r ol s 1119
Xd
T Actuator Cmrent T Torque Applied to
u Command a the Mechanism
X e T c Te / /
C~ ( ~ ~ t ~ ' / Mot or, ~___4:~,.Q.J Mechanism ~ _ _ L
( I - - r ' ~ ' I - - ~ ~ " t ' ~ ' ] ]Transmission I t~t,-I I I
[ - - - - I \ T o r q u e |
I Torq Saner !
(High Bandwidth Inner Loop) j
/
(Lower Bandwidth Out*r Loop)
FIG. 49. Block diagram of a joint torque control (JTC) system.
robotics (Kosuge e t a l . , 1988; Hashimoto, 1989). The
above implementations all incorporate one axis of
sensing per joint. Six axes of force/ t orque sensing per
joint has been proposed in robotics (Mukerjee and
Ballard, 1985) for inertial paramet er identification.
Implementation of joint torque control requires
torque or force sensing as near as practical to the
output element of the system so that all or nearly all
of the actuator and transmission friction will be
enclosed in the joint torque feedback loop. A number
of authors have employed strain gages, typically
mounted on supports for transmission elements (Wu
and Paul, 1980; Luh e t a l . , 1983; Pfeffer e t a l . , 1989;
Hashimoto, 1989; Hashi mot o e t a l . , 1992). Hashi mot o
(1989) and Hashi mot o e t al . (1992) focus specifically
on harmonic drives. Vischer and Khatib (1990a)
present a sensing package that may offer advantages
of sensitivity, robustness and stiffness. It is based on
differential inductive sensing.
In joint torque control, the sensor and actuator are
often non-collocated, separated by the compliance of
the transmission and perhaps that of the sensor itself.
This gives rise to the standard challenges of
non-collocated sensing. All of the authors cited above
who demonstrate joint torque control discuss the
issues of system identification and Laplace or Z
domain compensator design.
As shown in Fig. 49, the controller design is a
nested one, with an inner loop which maintains
applied torque and compensates for friction, and an
outer loop which governs the execution of the
mechanism task. The multi-loop structure would in
general require a full multi-loop analysis; the authors
cited, however, have focused their attention on the
inner torque loop, and have required that the
frequency domain separation between the inner and
outer loops be sufficient to protect against dynamic
interactions. Eismann, who has substantial experience
with the commercial Robotics Research arm, suggests
that a 4: 1 ratio is required between the cross over
frequency of the inner joint torque controlled loop
and that of the outer task control loop (Eismann,
1992).
4.3.5.1. P e r f o r m a n c e . Luh e t al . (1983) report that
the Coulomb friction in their Stanford robot arm is
1072 oz-in, and that the apparent friction with joint
torque feedback is 33.5 oz-in, a reduction of 32:1.
Pfeffer e t al . (1989) report that the apparent friction in
joint 3 of a PUMA robot arm was reduced to 3% of
its uncompensated level; they demonstrate free
swinging motions of the robot link (To = 0 in Fig. 49,
but T, quite active to compensate for actuator and
transmission friction during the motions). Hashi mot o
e t al . (1992) evaluate joint torque control coupled with
feedforward Coulomb-friction compensation, in both
fixed and adaptive forms. Step torque input and
sinusoid position input responses of their system are
presented in Figs 50 and 51. The four presented
responses are: open-loop, joint torque control with no
friction feedforward, joint torque control with fixed
friction feedforward, and joint torque control with
adaptive friction feedforward. Numeric values for the
data are not presented, but it is evident that the
influence of friction is very greatly reduced.
Hashimoto e t al . (1992) also present vibration
suppression data which show a factor of 10 reduction
of vibration at the mechanical resonant frequency
during a medium velocity motion. The resonant
vibration couples the inertia with the compliance of
the transmission, and is reduced because the
transmission compliance appears within the joint
torque control loop.
Robotics Research Corporation implemented joint
torque control to compensate for the compliance of
their harmonic drives. Using only sensing at the
actuator, the drive compliance would result in
lightly-damped, low frequency modes. Figure 52 is
adapted from Karlen e t al . (1990), and shows the
magnitude of response to a sinusoidal disturbance at
the toolplate (distal end) of the robot arm. Without
joint torque control, there are two lightly damped
modes between 10 and 20Hz; with joint torque
control the response is nearly flat through this
frequency range.
In all of the trials reported with joint torque
control, the quality of the system behavior as
measured at the out put --i n terms of apparent friction,
oscillatory behavior or mechanism nonlinearities---is
very greatly improved. The data reported are not
directly comparable to the results of other compensa-
tion techniques, such as the 5:1 i mprovement in
telescope pointing achieved by adaptive control
(Walrath, 1984), but show that when friction is
sensed, it can be compensated by feedback control.
4.3.6. D u a l m o d e c o n t r o l
High precision applications, such as semiconductor
manufacturing and diamond turning of optical
1120 B. ARMSTRONG-HF_.LOUVRY e t al .
i---.
t , a
o
i
10
5
0
Open 100p
command
response
[
l a
: a :
t , a
7a
t.--.
g
10
Type A
0.00 0 . 2 5 0 . 5 0 0 . 0 0 0 . 2 5 0 . 5 0
TIME [see] TIME [sec]
10
5
Type B
V y l q 7 . . . . "rl . . . . r-,'- -" . . . . . ~,r" ",u',',~ ".
10
z
':, 5 [ . . .
T y p e C
O r i 0
0.00 0.25 0.50 0.00 0.25 0.50
TIME [sec] TIME [sec]
FIG. 50. Step response in torque control; open-loop, (a) joint torque control with no friction fcedforward,
(b) joint torque control with fixed friction feedforward, (c) joint torque control with adaptive friction
feedforward [from Hashimoto et al. (1992), courtesy of the author].
elements, require nanomet er positioning accuracy
over millimeters of motion range. The standard
technology for nanomet er positioning involves two
stage mechanisms. The coarse positioning stage might
be a ball screw; and the fine motion stage might
comprise a piezoelectric actuator [see Futami et al.
(1990) and references for a brief discussion of two
stage mechanisms]. The liabilities of the two stage
mechanisms are weight, size and complexity: two
actuators and two controllers are required per degree
of freedom.
By capitalizing on presliding displacement, referred
to as microdynamics in the nanotechnology literature,
it is possible to achieve two modes of control in a
- 1
~ 0
0.0
wi t hout
com.,and
torque I o o ~
A I i
1.2
TIME {sec]
2A
- 1
0
with Type A
- 1
2 . .
~ 0 , . c
z
with Type C
J I I i I J
0.0 1.2 2.4 0.0 1.2 2. 4
TIR [secJ TIME {sec}
FIG. 51. Sinusoid tracking in torque control; (a) open-loop, (b) joint torque control with no friction
feedforward, (c) joint torque control with adaptive friction feedforward [from Hashimoto et aL (1992),
courtesy of the author].
A sur vey of fri ct i on and cont r ol s 1121
2:h FFT RNRLYZI~
I, a I B! O~0.0000~ R'-ZOdB, ,, B: - l Ocl B. FREC': 100Xz
7 . ~ O s I I t I ' I ' i I _ 1 ! t
i i : 1 1 I t ' F t t I t
r . R E s p t t I t t C O N T R O L S E N A e L ~ : e a ~ E S o ~
inch t ~ l w ' ' 1 l t
M A C H I N E D Y N A M I C S ' '1 "" I
I MPROVED BY TORQUE L OOP j
~ ! " ]i_ I I , . . L L
o . o o o . k -
; ' . 9 o ~ t t I t 1
I " i t . . . t . , f
r ' z ~ s P t t t t _ t _ _ _
~ a , I L l t { l 1
I { l l L . . 1 _
, : h i t t
tl;t
o . o o o ~ "~-~-P" 1
I t t I -
t 1 . 1 f -
t -
0 10 20 3 0 4 0 50 6 0 7 0 80 90 100
L I N E A R F R E Q U E N C Y - Hz
FIG. 52. Dynami c response of a robot wi t h (above) and wi thout (bel ow) j oi nt torque control [from Karlen et
al. (1990), courtesy of the publisher].
single mechanism: gross motion in the standard way,
and fine motion in the presliding displacement.
Referring to Fig. 7 above, presliding displacement is
motion that occurs by the deformation of asperities in
the sliding interface. In this motion, position is a
function of applied force; the junction appears to be a
stiff spring rather than a sliding (or rolling) bearing.
The result is two markedly different mechanism
dynamics: ' macrodynamics, ' the ordinary dynamics of
the mechanism, and ' microdynamics, ' which governs
motions that depend upon elastic deformation in the
frictional contact. Because the dynamms are drasti-
cally different, two different controller structures are
required, thus dual mode control.
Futami e t al . (1990) demonstrate accurate tracking
of 1 nm step inputs with a slider on an air table and a
linear AC mot or and ball screw. The stroke of the
mechanism is 250mm, giving a dynamic range of
2. 5x108: 1. The authors identify three friction
regimes, as seen in Fig. 53. Regime I exhibits the
behavior of a linear spring, regime II the behavior of a
nonlinear spring with damping, and regime I I I the
normal sliding friction. The authors present control-
lers for regimes I and II. The coarse motion (regime
III) controller is capable of positioning within 100 nm,
which is the range of operation of the fine controller
(regime I). Aft er a coarse motion, 50 ms are allowed
for vibrations to settle out, and the fine motion
controller takes over. The authors have observed that
the force-di spl acement characteristic of regime I is
consistent throughout the travel of the mechanism.
Ro and Hubbel (1993) demonstrate dual mode
control for a similar ball screw mechanism. They
argue that the frictional characteristics are not
constant throughout the workspace, and present a
model reference adaptive control scheme. Demon-
strating step input tracking, they find that the
microdynamic controller is satisfactory for motions
smaller than 400 nm, and the macrodynamic controller
satisfactory for motions larger than 1000 nm. Inter-
mediate size steps they find difficult to accurately
control. Armst rong (1988) and Armstrong-H61ouvry
(1991) has observed presliding displacement in an
industrial manipulator and proposed dual mode
control for that mechanism, suggesting that the
method may be suitable for standard as well as high
precision equipment. It appears that two and perhaps
three orders of magnitude of i mprovement in
positioning accuracy is possible with sufficiently
accurate sensing and dual mode control.
FORCE IN)
0.1
I
- I 0 0 - 0 . 1
J
. . . . . . . . . . . . . . . . . t
m D
0.1
-0.I
-2
[I m
DISPLACEMENT
(Urn)
IO0
FIo. 53. Outline of the force-to-displacement relationship of
a ball screw driven slider [from Futami et aL (1990) courtesy
of the author].
1122 B. ARMSTRONG-HI2LOUVRY e t a l .
4.4. Model -based Compensat i on for Friction
4.4.1. F i x e d c o m p e n s a t i o n
When a model of friction is available, it is possible to
compensat e for friction by applying a f or ce/ t or que
command equal and opposi t e to the instantaneous
friction force. This presumes t hat force or t orque
act uat i on of adequat e bandwi dt h is available and is
stiffly coupl ed to the friction element. In many cases
the domi nant friction sources are the mot or and
transmission, and so adequat e stiffness is assumed.
Her e compensat i on is addressed; questions of tuning
the friction model paramet ers either off-line or
adaptively, will be taken up below.
Model-based compensat i on has been report ed in a
number of studies (Gilbart and Wi nst on, 1974;
Walrath, 1984; Henrichfreise, 1985, 1992; Acker mann
and Miiller, 1986; Kubo e t a l . , 1986; Craig, 1987;
Canudas de Wit e t a l . , 1987, 1989, 1991; Tomi zuka e t
a l . , 1988; Rat t an e t a l . , 1989; Br andenbur g e t a l . ,
1988b, 1989, 1991; Ar mst r ong, 1988; Armst rong-
H61ouvry, 1991; Johnson and Lorenz, 1991; Suzuki
and Tomi zuka, 1991; Dupont , 1993; Maquei ra and
Masten, 1993); and is found in industrial cont rol
applications (see Section 4.5). All of these studies
report experimental results, and many of t hem report
significant i mprovement in performance when feed-
forward compensat i on is applied. The basic construc-
tion of model -based friction compensat i on is shown in
Fig. 54. The model -based schemes can be classified
according to what estimate of velocity is used to
evaluate the friction model and what port i ons of the
friction model are applied. In all of the studies above,
as well as the report ed industrial cont rol applications,
compensat i on for Coul omb friction is included; many
of the studies include additional friction terms as well
(Wal rat h, 1984; Ar mst r ong, 1988; Armst rong-
H61ouvry, 1991; Br andenbur g and Sch~fer 1991;
Canudas de Wit e t a l . , 1989, 1991; Johnson and
Lorenz, 1991). Typical of the approaches where onl y
Coul omb friction is compensat ed, Gilbart and
Winston (1974) apply their scheme to optical tracking
devices and report a fact or of six reduct i on in RMS
tracking error. The linear compensat or is not affected
by the feedforward compensat i on. Canudas de Wit e t
a l . (1987) show a significant reduct i on in stand still
during zero crossings of velocity with Coul omb
friction compensat i on; as does Walrath (1984).
Because the Coul omb friction model is discon-
tinuous, the choice of estimate of velocity with which
to evaluate the model is significant. Gilbart and
Winston (1974), Wal rat h (1984), Kubo e t a l . (1986)
and Canudas de Wit e t a l . (1987) empl oy sensed
velocity. Though these aut hors do not report undue
difficulty with stability, there are no doubt sensor
noise and stability issues which must be considered
when an infinite gain oper at or is introduced in the
feedback loop. Canudas de Wit e t a l . (1989) point out
that model-based Coul omb friction may reduce the
need for high servo gains, and thus reduce the impact
of sensor noise. None-the-less, to reduce the impact of
sensor uncertainties on the friction compensat i on a
state est i mat or may be used. Br andenbur g and
Schiller (1988b, 1989) and Sch~ifer and Br andenbur g
(1990), who term the feedforward Coul omb friction
compensat i on a "di st urbance observer", have shown
remarkable performance with a system empl oyi ng a
state est i mat or for velocity. Here the principal
concern is with the presence of limit cycles rat her than
tracking accuracy; the aut hors study a two mass
system with backlash and report the presence of high
and low frequency limit cycles. By use of the Coul omb
friction compensat i on, the high frequency limit cycle
is eliminated compl et el y and the range of velocities
over which a low frequency limit cycle is observed is
halved (Brandenburg and Schiller, 1988b).
Johnson and Lorenz (1991) and Armst rong-
H61ouvry (1991) have consi dered the use of
commanded velocity t o generat e the friction compen-
sation. Johnson and Lor enz (1991) present ex-
perimental results for bot h feedforward and feedback
systems; the two perform comparabl y, except near
zero velocity. They report a fact or of four reduct i on in
position errors during step input trials for bot h
systems. Armst rong-H61ouvry (1991) reports two
different types of results: open-l oop motions i nt ended
t o demonst r at e the potential for accurate friction
modeling, and high precision force control with an
Xd . (
System Under Control
? : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 % i+ + + ' ~ + ~ i - - ~ '+'++'+~ F - - - 1 ~';+'+ x
) ~ GrCs ) i~+} - +_ Go(S ) G,(s)
(Actual Friction)
Friction
Compensation
- - I Friction
Predictor
] _ Velocity,
J
~ Sensed, Estimated or Desired
FIG. 54. Basic construction of model-based friction compensation.
A s ur ve y o f f r i ct i on a n d c ont r ol s 1123
2. 0 m
1.5
+ 1 . 0
0 . 5
0
l l I I I
0 . 1 0 . 5 0 . 9 1 . 3 1 . 7
T i m e ( s e c )
F l o . 5 5 . P o s i t i o n a s a f u n c t i o n o f t i m e f r o m e x p e r i m c n t a l
trials: ( a ) r c f c r c n c c m o d c l ; ( b l ) w i t h o u t n o n l i n c a r
c o m p e n s a t i o n ; ( b 2 ) w i t h C o u l o m b f r i c t i o n c o m p e n s a t i o n ;
( b 3 ) C o u l o m b p l u s K a r n o p p - l i k c s t a t i c f r i c t i o n c o m p e n s a t i o n
w i t h a n a d d i t i o n a l d y n a m i c t e r m ] f r o m B r a n d c n b u r g a n d
S c h ~ i f c r ( 1 9 9 1 ) , c o u r t e s y o f t h e a u t h o r s ] .
impulsive controller. In these cases it was necessary t o
use command velocity. Tracki ng errors of 10% or less
are demonst rat ed in t he open-l oop mot i ons, cor-
responding t o a very high fraction of t he friction
compensat ed by the model term.
While good per f or mance has been shown with
straight Coul omb friction compensat i on, i mprove-
ments have been shown with t he use of richer friction
models. Br andenbur g and Sch/ifer (1991) and Johnson
and Lor enz (1991) present systems with static friction
modeling and compensat i on. Bot h empl oy a Kar nopp-
like model (see Section 3.4, Fig. 39), with a higher
level of friction compensat i on provi ded near zero
velocity. In Fig. 55, experimental results f r om
Brandenburg and Sch/ifer (1991) are present ed. Thei r
system is a complicated one, involving t wo masses,
compliance, backlash and a multi-loop cont rol l er t hat
simulates an industrial servo drive controller. Model
reference adaptive compensat i on is used (a block
di agram of this system is provi ded with t he discussion
of adapt i ve cont rol , see Fig. 59). The figure shows
t hat standstill at zero-crossings of velocity are
substantially reduced duri ng a sawt oot h mot i on.
Curve (a) is the track of t he reference model , curve
(bl ) shows the case where no friction compensat i on is
used. The curve (b2) indicates Coul omb friction
modeling and feedforward compensat i on; and t he
curve (b3) Coul omb + static friction model i ng and
feedforward compensat i on, using a discrete time,
single zero differentiating filter which compensat es for
frictional memory In Fig. 56, taken from Johnson and
Lor enz (1991), their results are present ed for bot h
feedforward and feedback compensat i on and position
and velocity errors.
One of the maj or difficulties in performi ng friction
compensat i on is the difficulty in model i ng friction at
very low velocities. Several practical probl ems can
appear as a consequence of doing friction compensa-
tion on the basis of a di scont i nuous model .
Conceptually, state variable model s are bet t er
adapt ed to describe and hence t o compensat e for
friction for very small velocities. They bet t er reflect
the fact t hat friction (or any force t ransmi t t ed by a
v
u~
8
:>
-1
0
,:, ;~ FF FB
No Comp. ~
i . I
0.1 0.2 0.3
T~e( s ec)
0.5
0
O
:=_
-0.5
0
,~ " \ \ , , F F F B
, . j :
Comp? \ "/ " No
0.1 0.2
Time (see)
0.3
FIG. 56. State errors for three controllers: feedback friction
compensation, feed forward friction compensation and
uncompensated [from Johnson and Lorenz (1991), courtesy
of the publisher].
compliant member) is a cont i nuous function of time.
Examples of such models are t he Dahl model (Dahl ,
1977), t he second-order Dahl model (Bliman and
Sorine, 1991) and t he modified first-order Dahl model
(Canudas de Wit e t a l . , 1993). When these model s are
used as a basis for friction compensat i on, one maj or
difficulty arises because t he internal states of these
models are not measurable. However , internal state
observers can be designed and stability of t he
observer-based cont rol schemes can be shown (Bliman
and Sorine 1991; Canudas de Wit e t a l . , 1993). I n
connect i on with cont rol design, these model s enj oy
the i nput - out put propert y of passivity or, mor e
precisely, dissipativity. These propert i es can be
explicitly exploited during the cont rol design leading
t o an explicit det ermi nat i on of t he class of
compensat ors t hat render the feedback l oop stable.
Walrath (1984) report s a particularly sensitive and
detailed study of friction phenomena duri ng velocity
reversal of a tracking telescope. The technical
challenge is considerable because t he telescope must
be accurately poi nt ed from a movi ng pl at form.
Response t o pl at form mot i ons involves frequent
velocity reversals. Unlike t he machi ne t ool or robotics
systems studied above, most of t he friction in
Wal rat h' s mechani sm arises in the bearings. Wal rat h
(1984) extends his model with an acceleration
dependent decay of t he friction from one Coul omb
friction level t o t he ot her during zero crossing; thus,
there is no i nst ant aneous friction transition in his
friction model or applied compensat i on. Wal rat h
develops his model f r om t he Dahl model and does not
at t empt t o explain t he underl yi ng physics; t he model ,
however, is consistent with the presence of frictional
memory. Wal rat h report s a fact or of five i mpr ovement
in RMS pointing error.
1124 B. ARMSTRONG-HELOUVRV e t al .
Tung e t al. (1993) report an interesting variant on
the t heme, they apply a corrective signal t o the input
of the compensat or, G, ( s ) in Fig. 54. In this way
compensat i on may be applied t o st andard industrial
controls.
4.4.2. Fr i ct i on i dent i f i cat i on a n d a d a p t i v e c o n t r o l
"Ther ef or e always when you wish t o know the
quant i t y of the force t hat is requi red in or der t o
drag the same weight over beds of different slope,
you have t o make the experi ment and ascertain
what amount of force is required t o move the
weight along a level road, t hat is t o ascertain the
nature of its fri ct i on. "
Leonar do da Vinci (1452-1519),
T h e N o t e b o o k s , F I I 106 r.
Al t hough progress has been and cont i nues t o be
made t oward the ability t o anticipate friction forces
based on features of the mechanical design, e.g.
(Kragelskii, 1988), this challenge remains a for-
midable one and for t he foreseeabl e fut ure it will
cont i nue t o be necessary, as Leonar do has suggested,
t o ascertain by experi ment the friction paramet ers of a
particular machine.
The friction paramet ers may be det ermi ned either
off-line, following a dat a gat heri ng experi ment , or
continuously, on-line as part of operat i on of the
machine. I f the paramet ers are t hen used in a
model -based friction compensat i on, on-line identifica-
tion becomes adapt i ve cont rol . The off-line and
on-line identification schemes are most distinguished
by the t ype of experimental mot i on: the designer of
the off-line identification is oft en free t o specify t he
mot i ons t hrough which dat a will be gat hered, whereas
the on-line identification must normal l y use dat a from
mot i ons dictated by t he operat i on of t he machine. The
distinction is i mport ant in t hat there are issues of
excitation: with common friction models, the terms of
the model , or basis functions, are not automatically
i ndependent or ort hogonal but may be t o a large
degree ort hogonal i zed by pr oper choice of ex-
perimental trajectories. Stated anot her way: when not
using special trajectories, t he friction model terms
may be strongly coupl ed and difficult t o accurately
identify. But by pr oper choice of machi ne mot i on it is
possible t o more nearly ort hogonal i ze the model basis
functions, i.e. t o increase t he excitation. Several of
the aut hors presenting schemes for off-line identifica-
tion have capitalized on this possibility. The adapt i ve
friction compensat i on has been pr oposed and
demonst rat ed in many forms. The principal advant age
of an adaptive scheme relative t o an off-line scheme
lies in its ability to track changes in friction.
4.4.2.1. Of f - l i ne i dent i f i cat i on. The t ri boi ogy litera-
t ure is rich in experi ment al work which might be
descri bed as off-line identification of friction models
and model paramet ers, e.g. Rabinowicz (1965) and
Bowden and Tabor (1973). A large part of this work
has been carried out with simplified friction contacts
(e.g. sphere or cylinder on flat), with controlled
normal forces, and direct and precise sensing of
cont act displacements and forces, e.g. Pol ycarpou and
Soom (1992). The controls engineer, on the ot her
hand, must cont end with a machine designed for ot her
purposes and sensing bet t er suited to the task of the
machine than to friction identification. For these
reasons, careful at t ent i on must be given t o the design
of the off-line friction identification experiment.
Friction identification, bot h off- and on-line, is
made more challenging by the need for acceleration
sensing to directly observe friction in mechanism
mot i on. Accel erat i on sensing is not uncommon in the
t ri bol ogy literature, and has been empl oyed by
Ar mst r ong- Hr l ouvr y (1991) to identify friction in
complex motions. Johnson and Lorenz (1991) t ake the
alternative tack of using the desired acceleration as an
estimate of the true acceleration. Their technique
consists in a stepwise procedure for individually
identifying the paramet ers of an inertia/friction
model. The t orque command signal from the feedback
compensat i on is used. Following the not at i on of
Johnson and Lorenz (1991), their compensat i on is
given by:
[Total Command]
T* = Tj~ + Te + (T,,,L~Ih or T,,,,~e) (32)
[Standard Feedback]
T~ = k r ( O* - O) + k,,(to* - to) (33)
[Linear Feedforward]
V,, r = Jib* +/~to* (34)
[Friction Compensat i on/ Feedback]
{ ~ sgn (to) + bto; Itol > Ato (35)
T , , ~ , = MI N ( L, , , ~ sgn (to)); Jtol < Ato
[Friction Compensat i on/ Feedf or war d]
/ ~ sgn (to*) + bto*; [to*l > at o (36)
T"'d~H= t MI N ( L, , , ~ sgn (to*)); Ito*l < Ato
where T* is the total command t orque; Trh is the
feedback t orque from the er r or correct i on process; k p ,
k,,, 0 and to are position and velocity gains and
position and velocity, respectively; T~ is a linear
feedforward term t hat compensat es for inertia and
known dampi ng t hrough the paramet ers J and/ ~; tb*
is t he desired acceleration; T.t,~rb or Tntdsif are t orque,
nonl i near decoupl i ng state feedback, and t orque,
nonl i near decoupling state feedforward, respectively.
Onl y one of the terms T, Id.,~ or T,,a,,~ would be used at
a time. The aut hors i mpl ement t he Kar nopp friction
model, where Ato marks the small range of velocity
over which static friction is taken t o apply; T,,,, is t he
applied mot or t orque, estimated from commanded
mot or current T*; ~ is the estimate of Coul omb
friction; and ~ is the estimate of static friction. T,,a~,
or T, la,rt differ as t o whet her measured velocity, to, or
desired velocity, to*, is used.
In the procedure of Johnson and Lorenz, the
inertial paramet er, J, is identified first, t hen the
Coul omb and viscous friction paramet ers, T, . , b, and
finally the static friction paramet er, ~. As each
paramet er is identified, that t erm is added t o a
A survey of friction and controls 1125
feedforward or a feedback compensation. Ideally, as
the entire model is identified the error correcting t erm
of feedback control, T~, would go to zero. If the
model is adequate, Tm can indeed become quite small
(Armst rong-Hrl ouvry, 1991). Once the inertial
paramet er is identified, its presence in the feedfor-
ward path brings the desired acceleration into the
estimation of the subsequent parameters. The
parameters are identified by minimizing the error
correcting t erm of the feedback control, T~. The
procedure is distinctly off-line in that the parameters
are identified sequentially. Care is taken to select
experimental trajectories which will maximize the
sensitivity of the identification to each paramet er as it
is sought (Johnson and Lorenz, 1991). The stepwise
identification can achieve higher excitation [coupling
of the sought parameter(s) to the observed signal(s)]
than can a simultaneous identification. While the
lower excitation of a simultaneous identification might
be partially compensated by allowing a longer run
than the individual paramet er identification experi-
ments of Johnson and Lorenz; the biasing influences
of sensor noise---as opposed to process noise,--and
systematic disturbances are not reduced by longer
experimental runs (Armstrong, 1989a).
Johnson and Lorenz apply their technique to
friction in the joint of a motorized robotic gripper.
Their apparatus allows t hem high bandwidth torque
(current) control and sensing of actuator position The
coupling of the actuator to the friction contacts, the
mot or and a preloaded transmission element, is
presumed to be quite rigid. This combination of
features is adequate for accurate friction identification
(Armst rong-Hrl ouvry, 1991); and is common to many
of the report ed friction identification experiments,
e.g. (Kubo e t al . , 1986; Townsend and Salisbury,
1987) Johnson and Lorenz (1991) employ the
Karnopp friction model, with viscous friction added,
and different friction paramet ers in the two movement
directions. They also observe rising static friction.
Their identification technique, coupled with model-
based compensation, is quite successful at reducing
the impact of friction on the closed-loop performance
of their machine, as shown by Fig. 56.
Armst rong-Hrl ouvry (1991) presents an experi-
ment for identifying Coulomb + viscous friction that
does not require acceleration, either measured or
estimated. His experiment consists of long, open-loop
#i des at constant torque and measuring average
velocity. The technique was applied to a PUMA
manipulator; initial transients were reduced with a
manually tuned acceleration torque. The experiment
is repeated at several torque levels, corresponding to
several velocities; and a Coulomb + viscous friction
model is fit to the (friction-velocity) data points
obtained, as shown in Fig. 57. The technique depends
upon viscous friction in the machine to create a stable
gliding velocity. Using a breakaway experiment,
Armst rong-Hri ouvry had identified position depend-
ency in the friction and constructed a table lookup
compensation. This compensation was applied in
feedforward during the open-loop glides to better
achieve a constant velocity.
Armst rong-Hrl ouvry (1991) also demonstrated a
technique involving closed-loop constant velocity
glides and measuring average torque. This technique
resulted in a higher noise content than did the
open-loop glides, but could be applied to a machine
without viscous friction. The closed-loop technique is
like that of Johnson and Lorenz with the (average)
acceleration taken to be zero during the constant
velocity glides.
Using a friction model comprising Coul omb+
viscous + position-dependent friction, Armstrong
(1988) and Armst rong-Hrl ouvry (1991) demonstrated
three axis open-loop motions of the robot using
joint-wise spline trajectories. Model-based, open-loop
control was not proposed as a viable architecture,
rather the experiments were made to demonstrate the
possibility of accurate friction identification. Spatial
motions with an accumulated error of less than 10%
were demonstrated.
4.4.2.2. Ful l m o d e l i dent i f i cat i on. In a Coulomb
+ viscous + static friction model, all of the param-
eters enter the model in a linear fashion and may thus be
identified by standard techniques. This is, for
example, true of ~, /~, and ~ in equations (32)-(36).
When Stribeck or rising static friction are incorpor-
ated, the model parameters, specifically ~s and y in
equation (10), bear a nonlinear relationship to the
friction torque. To identify these parameters,
nonlinear techniques are appropriate. Cheok e t al.
(1988) employ the simplex method to determine the
parameters of a Karnopp friction model, including the
width paramet er Dv of equation (25). Like J/., in
equation (10), Dv of the Karnopp model appears in a
nonlinear relationship to the friction torque. Cheok e t
al. (1988) point out that multiple minima are possible
and pose a problem for gradient techniques.
Armst rong-Hrl ouvry (1991) identified the parameters
of a Coulomb + viscous + Stribeck + frictional memory
+ rising static friction + position-dependent friction
model from friction data collected with the PUMA
560 robot. The frictional memory, rising static friction
and position-dependent friction were identified separ-
ately, in a step-wise fashion comparable to that of
Johnson and Lorenz (1991). The remaining friction
I S
Z
I O
c
o
s
U 0
(...
I ~ - - S
O )
C - t O
1 0
g
. ! |
B r e o L - A w o y
L~
B r o o k - A w o y . ~ - ~
P r o J o c t o c l - ~ . .
f
. -
! !
f
~ " ~ P r o J o c t o d
L o a o n d :

901 Con( I donco
I I . 5 S I ~ t d . d o v . )
' "' , i . . . . u . . . . i . . . . u . . . . !
- 2 " 1 0 1 2
V e L o c t ty ( R a d l s e c )
FIG. 57. Friction torque as a function of velocity for joint 1
of a PUMA 560 robot. The crosses indicated (friction-
velocity) data points; the breakaway friction level has been
recorded in a separate experiment [from Armstrong-
Hriouvry (1991)].
1126 B. ARMSTRONG-HI~LOUVRY e t a l .
versus velocity model cont ai ned bot h nonl i near and
linear paramet ers. To identify the paramet ers which
ent er in a nonl i near fashion, an exhaustive search
t echni que was used. At each point in the space of
(two or four) nonl i near paramet ers, the four
paramet ers entering linearly in the model were fit by
regression analysis (the normal equat i on) and the
residual er r or det ermi ned. The paramet er set giving
the smallest residual was selected. A search technique
was certainly necessary; multiple local minima were
observed and would have arrest ed a gradient
technique. The presence of noise in the data is
t hought t o have i nt roduced local minima where
intuitively t here ought to have been none.
In addition to nonlinearity in certain paramet ers,
some of the paramet ers of a full friction model may be
very difficult t o measure. Armst rong-H61ouvry (1991)
report s a measur ement of Stribeck and frictional
memor y paramet ers. Using sensitive acceleration and
force instruments and statistical techniques, he was
able t o observe the Stribeck friction, which is
domi nant at velocities near 5 milliradians per second,
a velocity range in which stable mot i on is not possible
for t he PUMA. Even with acceleration and force
sensors, he was not able t o identify the frictional
memor y par amet er directly. Rat her, he investigated
the correl at i on bet ween t he best fit friction model and
the actual friction signal (obt ai ned with measurement
of acceleration). A 10% i mprovement in correlation
was observed with the introduction of a 51ms
frictional lag. Frictional memor y has been measured
directly in sensitive t ri bol ogy experiments (Hess and
Soom, 1990; Pol ycarpou and Soom, 1992), but with a
quality of i nst rument at i on and cont rol of conditions
t hat are probabl y unachievable in practical machines.
It has been shown t hat all of the paramet ers of the
seven par amet er model , equat i on (10), influence the
presence of stick slip (Derj agui n e t a l . , 1957;
Armst rong-H61ouvry, 1991); it may be possible t o
indirectly identify the full friction model paramet ers
by mappi ng the presence or absence of stick slip
across a range of system stiffness, dampi ng and
velocity conditions (Armst rong, 1988). If possible,
such an identification t echni que would function with
not hi ng more t han force actuation and position
sensing.
4.4.2.3. A d a p t i v e c o n t r o l . The challenges t o adap-
tive cont rol of a machi ne with friction are not unlike
the general challenges of adapt i ve cont rol : probl ems
of stability, the need for persistent (indeed, sufficient)
excitation, difficulties t hat arise when the true model
is not in the model set, the want of met hods for
setting rat e and ot her paramet ers in the adaptive
algorithm, etc. With friction, the motivation for
adapt i ve cont rol is also not unlike the general
mot i vat i on: friction will, in many cases, be a variable
quant i t y which the cont rol l er must track. A very
substantial number of papers concerni ng adaptive
cont rol in robotics and elsewhere have t ouched on
friction; here we focus on several papers where
friction has been a maj or concern in the design of an
adapt i ve cont rol algorithm. All of t he papers surveyed
empl oy a model -based friction compensat i on and
adaptively updat e the model parameters. The
adaptive algorithms, however, span a great range;
including the recursive-least-square (RLS) and least-
mean-square (LMS) algorithms of Walrath (1984)
Craig, (1986, 1987), Canudas de Wit (1988) and
Canudas de Wit e t al . (1987, 1991); the model
reference adapt i ve control ( MRAC) algorithms of
Gilbart and Wi nst on (1974), Brandenburg and Sch~ifer
(1988b, 1989), Sch~ifer and Brandenburg (1990), Yang
and Tomi zuka (1988) and Maquei ra and Masten
(1993); or the Lyapunov function based algorithm of
Friedland and Park (1992); which has been extended
t o multi-mass systems by Friedland and
Ment zel opoul ou (1993). Adapt i ve control has been
richly described in the literature, e.g. (Widrow and
Sterns, 1985; Ast r 6m and Wi t t enmark, 1989). Onl y
brief descriptions of algorithms will be given here. An
interesting experimental compari son of several adap-
tive algorithms and PI D control in a low-velocity
position-tracking task with velocity reversal is
present ed in Leonar d and Krishnaprasad (1992).
The Recursive Least Squares (RLS) and Least Mean
Squares (LMS) algorithms
Intuitively the simplest algorithms, the recursive
least squares (RLS) and least mean squares (LMS)
algorithms function by determining the correlation
between an error signal and the state dependent basis
functions that make up the model. The model is
constructed:
y ( t ) = q~, ( t ) O, + q~z(t )02 + q0~(t)03 + - . . , (37)
where y is an out put signal, the q~i(t) are model basis
functions of the system state; as in the case of
Coul omb friction, the basis functions need not be
linear; and 0, are the (time invariant or slowly
varying) model parameters. Not e t hat t he 0~ make a
linear contribution to y, whet her or not the q0~(t) are
linear. Following an example from Canudas de Wit e t
al . (1991) (with gravity and Stribeck friction terms
omi t t ed for simplicity) one might have for a single
mass system: where ~( t ) is the regressor vector, the
vect or of qgi.
m = r - F,,k - Fc sgn (2) [System Dynamics]
r ( t ) = O r ~ ( t ) [Model in 0/q~ Form]
q~(t) = [(t), k(t), sgn ( ~ ( t ) ) ] "
0 r = [ m, F , , E ]
(40)
and where r(t ) is the applied t orque; x ( t ) is the
position variable; and m, F, and E are mass, viscous
and Coul omb friction paramet ers, respectively. An
error signal is const ruct ed:
e ( t ) = r ( t ) - Or ~ ( t ) , (41)
where 0 is the vect or of estimated parameters. An
updat e equat i on is const ruct ed:
O r = ) ~ ( t ) P ( t ) ~ ( t ) e ( t )
= A ( t ) P ( t ) ~ ( t ) ( r ( t ) - 0r ~( t ) ) , (42)
A s ur ve y o f f r i ct i on a nd c ont r ol s 1127
where ).(t) is a rat e gain; and P ( t ) is t he inverse of the
input correlation matrix for t he RLS al gori t hm or t he
identity matrix for t he LMS algorithm.
G o o d convergence propert i es can be shown for t he
RLS a n d LMS algorithms when conditions are ideal,
i.e. IP(t)12 is bounded (persistent excitation) and not
t o o big (sufficient excitation); and the t rue system is in
the model set; t hat is t o say, t here exists a choice of
paramet ers, 0", such t hat r ( t ) = o * r ~ ( t ) .
Canudas de Wit e t al . (1987) study a basic case and
show convergence and per f or mance i mpr ovement for
a DC mot or/ t ransmi ssi on mechanism. Canudas de
Wit e t al . (1991) ext end this result t o t he i mport ant
case of Stribeck friction, and show t he possibility of
destabilizing over-compensat i on when adapt at i on
occurs at low velocities. The probl em arises when a
Coul omb friction t erm adapts t o compensat e for high
friction at very low velocities and t hen over-
compensat es at higher velocities. Because models for
Stribeck friction cont ai n paramet ers which do not
appear linearly in t he out put , such as 2s in equat i on
(10), Canudas de Wi t e t al . (1991) propose the use of
a squar e- r oot velocity t erm:
rs(2 ) = ~ r ~ ; ~ = [sgn (2), 1211'2sgn (~), 2] r
(43)
b T = [re, ~, F~,],
where t r ( t ) is t he friction term.
They show t hat t he square-root -vel oci t y t erm can he
used t o closely mat ch (fri ct i on-vel oci t y) curves
pr oposed by Tustin (1947) and ot hers; as seen in Fig.
58. It appears, however, t hat this will only be t he case
if the break in the Stribeck friction curve lies in a
velocity range comparabl e t o t hat of the break (the
greatest second derivative) in the square-root -vel oci t y
basis funct i on; and t hat the basis functions might have
t o be replaced with
= sgn( 2) , 2 , ~2sgn(2), 2 , (44)
where 2~ is a scaling par amet er in velocity t hat can be
used t o locate t he velocity range of the break in t he
curve. Even t hough 2s could not be adj ust ed by a
linear scheme, if it could be set a p r i o r i t o an
1.5
N m 1.0 - ~ %fmodel ( 2 . 2 )
~f mo de l ( 2 . 3 )
0.5 I I I I I
0 0.I 0.2 0.3 0.4 0.5
( r a d / s )
FIG. 58. Comparison of the exponential friction model [of
Tustin (1947)] and the estimated linear model, equation (43)
[from Canudas de Wit et al. (1991)].
appropri at e range, t he linear identification scheme
might perform satisfactorily.
Craig (1986, 1987) presents an LMS al gori t hm
comparabl e t o t he RLS algorithm of Canudas de Wit
e t al . (1987). Crai g' s (1986, 1987) compensat i on for
friction is part of a larger identification of the inertial
paramet ers of the first t wo degrees of f r eedom of an
Adept robot . Experi ment al results are present ed,
including identified friction paramet ers; but from the
results it is difficult t o det ermi ne whet her the adapt ed
paramet ers either reflect true friction values or
significantly i mprove performance.
In practical i mpl ement at i ons, the use of accelera-
tion in ~( t ) poses a considerable challenge. Versi ons
of t he algorithm with filtered signals have been
presented which do not empl oy acceleration signals,
but require a high pass filtering step on t he velocity,
(Hsu e t a l . , 1987). As did Johnson and Lor enz (1991)
with the off-line identification, SIotine and Li (1987,
1989) have empl oyed command acceleration rat her
than actual acceleration in the regressor vect or of a
sliding mode adaptive algorithm. The aut hors present
a pr oof of t he stability of their algorithm using
Lyapunov' s direct met hod; and t hey present very
successful adaptive control of a robot mani pul at or, of
which friction compensat i on is a part.
Model Reference Adapt i ve Cont rol ( MRAC)
Gilbart and Wi nst on (1974) were t he first t o
implement adaptive friction compensat i on, and do so
with a model reference adapt i ve controller. , ~str0m
and Wi t t enmark (1989) present a good discussion of
the MRAC. Br andenbur g and Schiifer (1988b, 1989),
Schiifer and Br andenbur g (1990), Hel d and Mar on
(1988) and Maron (1989a, b) also present friction
compensat i on in an MRAC framework.
Giibart and Wi nst on (1974) i mpl ement an MRAC
with a first-order reference model and a Lyapunov
function chosen t o eliminate acceleration terms. The
result is Coul omb friction compensat i on given by:
u = (PD Cont rol ) + K3 sgn (2)
K3 = B3 ~ sgn (2) dt + C3 ~ sgn (2) (45)
=, t , , - 2 ,
where k is velocity; 2m is model velocity; K3 is a
Coul omb friction compensat i on paramet er; and B3
and C3 are positive const ant s which are det ermi ned by
the paramet ers of t he Lyapunov function. As opposed
t o equat i on (40), (45) does not involve acceleration.
Gilhart and Winston present a remarkabl e anal og
comput er i mpl ement at i on t hat achieves a 6X reduc-
tion in RMS pointing er r or of a t racki ng telescope.
Brandenburg and Sch~ifer (1988b, 1989) and Sch~ifer
and Brandenburg (1989, 1990, 1993) empl oy an
MRAC structure t o adapt the paramet ers of a
Coul omb friction compensat i ng di st urbance observer
for a two mass flexible system with backlash. A block
di agram is shown in Fig. 59. Wi t hout friction
compensat i on, t he system exhibits two stick-slip limit
cycles. Though t he details are not specified, it is
1128 B. ARMSTRONG-HI~LOUVRY e t a l .
Dl w
[- . . . . . . .
L
r
~nc
1
2
nlM
4
_ 5
e y
"7
J
. . . . . E l 1
i l = m l -,1,
reference model
adaptation
speed controller
current controller
disturbance observer
T o , r . . . . . ~ _ L
/,~
mRL
C12 m12 f ' / 7 ~
F
KB t VB
~ 7 - ~ 1 I I d , 2
/7~R5
n 2
FiG. 59. Speed-controlled elastic two-mass system with reference model [from Brandenburg and Sch~ifer
(1988b), courtesy of the authors].
indicated t hat t he MRAC design is based upon a
Lyapunov funct i on; t he result is a friction compensa-
tion made by appl yi ng a lag (PI) filter t o d, t he
difference bet ween model and t rue velocity; just as in
equat i on (45). Combi ned with i nt egrat or deadband,
their al gori t hm eliminates stick slip and reduces
standstill intervals at speed reversals by a fact or of
five.
Lyapunov and Lyapunov-l i ke met hods
Fri edl and and Park (1992) present an adapt i ve
friction compensat i on scheme which is based upon a
Lyapunov-l i ke ar gument involving t he position error.
T h e result is an updat e law t hat does not depend upon
acceleration measur ement or estimation. The friction
compensat i on is given by [modifying the not at i on of
Fri edl and and Park (1992)]:
m e = u - f ( yc, E * )
[System Dynami cs, single mass]
f ( ~ , ) = Pc s ~ n ( 2 )
[Friction Model]
u ( t ) = (St andard Cont rol ) + Pc sgn (2)
[Control Law]
Fc = z - k 121"
[Friction Est i mat or]
i = k# I ~l "- ' 1 (u - f ( - L Fc)) sgn (2)
m
[Friction Est i mat or Updat e Law],
wher e m is syst em mass; u is t he cont rol input; z is a
defined funct i on; Pc is t he est i mat ed Coul omb friction;
and # and k are tunable gains. Defining the model
misadjustment:
e = f * - F~ (51)
one finds t hat
= - k # 12l"-' e (52)
making e = 0 the stable fixed point of the process.
Friedland and Park (1992) do not present experi men-
tal results, but report simulations of a single degree of
freedom system with Coul omb friction and the
adaptive algorithm run with several values of # and k.
The algorithm significantly i mproves dynami c
response.
The RLS/ LMS, MRAC and Lyapunov-based
adapt i ve laws have in common a relationship between
the integral of acceleration er r or and t he est i mat ed
friction constants. In the RLS and LMS algorithms,
acceleration appears explicitly and, scaled by mass, is
subtracted from t he applied t orque t o give t orque or
acceleration error, which det ermi nes t he rat e of
change of the estimated paramet er. The est i mat ed
paramet er is thus in pr opor t i on with the integral of
acceleration error. In terms of physical dimensions,
this situation holds whet her t he actual acceleration,
desired acceleration or filtered velocity is used.
In the MRAC algorithms, a PI filter is applied to
the velocity error signal. The ' P' t erm gives a
contribution proport i onal t o the integral of accelera-
tion error. In the algorithm of Friedland and Park
(1992), the t erm 2 is proport i onal t o t he time
derivative of k [J?[", where ( 1 / m ) ( u - f ( 2 , Fc)) has t he
physical dimension of . Since 2 is in proport i on with
the derivative of a function of velocity, z - k 12[" is in
proport i on with the integral of acceleration error.
The RLS algorithm is a recursive version of t he
normal equat i on from statistics, which gives t he
squared-error optimal estimate of the paramet ers, but
A s ur ve y o f f r i ct i on a n d c ont r ol s 1129
requires t hat t he basis functions, i.e. accel erat i on, be
known. The ot her algorithms may be seen as
implementing filtered versions of t he normal equa-
tions; versions which are perhaps not squared-error
optimal, but which are i mpl ement abl e wi t hout
measur ement of acceleration. A t hor ough analysis of
t he statistical implications of t he several estimators
has not been presented.
Learni ng Cont rol
Learni ng cont r ol - - somet i mes called repetitive
cont r ol - - i s a process of devel opi ng feedforward
corrections for a specific t raj ect ory. It has been
pr oposed for robotics and ot her servos (Craig, 1986;
Kuc e t a l . , 1991) and is available on some industrial
controllers (see Section 4.5). General l y, t he learning
cont rol compensat i on t akes t he form of a table of
corrections t o be added t o t he cont rol signal during
the execut i on of a mot i on. The table must be learned
during executions of t he precise mot i ons t o be
correct ed, somet hi ng which will not be a limitation
when t he application involves repetitive mot i ons. A
correction table devel oped in this way will include
frictional forces.
4.5. I nput f r om Engi neers in Indust ry who have
Cont rol l ed Machines with Friction
An informal survey has been conduct ed of
engineers in industry who have cont rol l ed machi nes
with friction. Engi neers were cont act ed t hr ough t he
professional societies, references in t he literature and
referrals. While not all cont act ed were equally
concerned about privacy, it was somet i mes an issue;
and so the results of this survey will be r epor t ed
without reference t o t he specific cont ri but or.
The cont ri but ors include engi neers with 23 com-
panies in Eur ope, Japan and t he Uni t ed States, and
several government laboratories. The machi ne t ool
industry was t he most represent ed among t he
respondent s, followed by precision pointing applica-
tions (oft en for gover nment systems), robot i cs and all
others. A great breadt h of t echni ques were f ound t o
be in service:
system hardware modification;
high servo gains (stiff position and velocity cont rol );
modifications t o integral cont rol ;
linear adaptive cont rol ;
model -based friction compensat i on:
- - f i xed;
- - adapt i ve;
dither;
table l ookup compensat i on;
learning cont rol ;
joint t orque cont rol ; and
variable structure cont rol .
System hardware modification is by far t he most
common and successful appr oach t o over comi ng
frictional disturbances. As opposed t o t he cont rol s
literature, cont rol s engi neers oft en ment i oned issues
of machine design and particularly lubrication as t he
first and perhaps onl y necessary step t o achieving t he
needed performance. Machi ne modification did not
always consist of reduci ng t he overall friction. I n t he
machine t ool industry, for exampl e, "fri ct i on mat e-
rials" such as Rul on , are used t o provi de a high
Coul omb friction with a reduced excess of static over
Coul omb friction. The friction materials consume
substantial energy, but serve t o reduce mass-spring
oscillations as well as frictional limit cycles, and
t hereby increase the robustness of t he controller. A
number of cases were encount er ed in which a new
lubricant choice solved a stick-slip probl em, reflecting
the fact t hat friction modification is not always
considered in t he initial lubricant selection.
Di t her is most successful in cases where t he
vibration can be applied wi t hout great at t enuat i on t o
t he friction contact. Hydraul i c systems are suitable,
and several st andard hydraulic servo controllers
include provisions for di t her in t he spool valve
command signal. The earliest applications of di t her
were not in the cont rol signals, but were made by
attaching a vibrating el ement - - t ypi cal l y an eccentric
wheel - - t o the machi ne (Bennet , 1979). No applica-
tions of this t ype were report ed.
I n each field, cases can be f ound where machine
design and lubrication have been pushed t o their
nat ural limits and i mpr ovement in performance
requires enhancement s t o t he servo control. I n stiff
systems, high position and velocity servo gains are
used t o over come frictional disturbances. The
t echni que is applied with t he greatest success in
poi nt i ng devices, which do not carry a payl oad and
can be designed specifically t o meet mechanical
rigidity requi rement s. When high gains have been
applied successfully in robotics, it has been observed
t hat many feat ures of the system must function
harmoni ousl y, including sensor characteristics and
properl y t uned l ead- l ag compensat i on. In some
applications, variable structure systems have been
engi neered which apply higher servo gains near zero
velocity, in or der t o meet t he demands of nonl i near
friction at low velocities and t he desired performance
characteristics at higher velocities.
Joint t orque cont rol has been discussed in Section
4.3.5. Engi neers worki ng with joint t or que cont rol in
commercial robotics report t hat t he residual friction is
imperceptible, and t hat t he cl osed-l oop controllers
function well in position, force and transitional tasks.
Integral cont rol , or lag compensat i on, is certainly
very common in practice; much mor e so t han is
suggested by its st andi ng in the cont rol s literature.
The integral cont rol t erm aggravates stick slip and
introduces hunting; and a great many mechani sms for
modifying integral cont rol are available in off-the-shelf
servo controllers. A deadband in the posi t i on-error
input t o t he i nt egrat or eliminates hunting, but
introduces a threshold in t he precision with which a
servo can be positioned. The use of lag compensat i on
with high but finite DC gain will accomplish
somet hi ng of t he same end wi t hout i nt roduci ng a
nonlinearity. Int egral cont rol terms are also modified
by resetting the i nt egrat or when mot i on is det ect ed
(appropri at e when short mot i ons wi t hout over shoot
are sought ), and saturating t he integral t erm as a
AUTO30-7-D
1130 B. ARMSTRONG-HI~LOUVRY et al.
function of posi t i on or vel oci t y er r or t er ms, a
deadband- l i ke const r uct i on which allows full i nt egral
cont rol act i on dur i ng mot i on.
One very subst ant i al chal l enge i nt r oduced by
i nt egral cont r ol ari ses because dur i ng mot i on in one
di rect i on t he i nt egr at or wi nds up t o compens at e for
Coul omb fri ct i on in t hat di r ect i on, and when t her e is a
reversal , t he i nt egral cont r ol suddenl y compounds
r at her t han compensat es for Coul omb fri ct i on. Thi s
behavi or enl ar ges ( but does not cr eat e) quadr at ur e
glitches in mul t i -axi s machi ni ng s t a t i ons - - pr oba bl y t he
fri ct i onal di st ur bance of gr eat est economi c i mpact .
One appl i cat i on was f ound in which t he i nt egral
cont rol t er m is mul t i pl i ed by t he sign of vel oci t y. Thi s
t echni que will l i kel y be successful so l ong as t he
i nt egral cont r ol is not compensat i ng for anyt hi ng ot her
t han Coul omb fri ct i on. A mor e common t echni que is
to reset t he i nt egr at or at vel oci t y reversal .
Adapt i ve cont r ol is pr esent in a growi ng number of
i ndust ri al appl i cat i ons. In its l i near f or m, t he adapt i ve
al gor i t hms ar e cer t ai nl y r espondi ng to fri ct i on. The
possi bl e danger s of over - compens at i on are not
i nsubst ant i al , because t he t rue model is not in t he
model set for t hese syst ems. Model - bas ed fri ct i on
compensat i on is al so empl oyed and offsets some of t he
l i mi t at i ons of bot h i nt egral and l i near adapt i ve
cont rol . The Coul omb fri ct i on t er m expl i ci t l y
mul t i pl i es t he sign of vel oci t y in t hese syst ems,
al l owi ng t he i nt egral cont r ol t er m, if pr esent , t o
accommodat e ot her di st ur bances. Appl i cat i ons wer e
found in which t he Coul omb fri ct i on compens at i on
was based on desi r ed vel oci t y or upon a model
vel oci t y, in a model r ef er ence adapt i ve cont r ol l er . No
cases were f ound in which Coul omb fri ct i on
compensat i on was based on sensed or es t i mat ed
vel oci t y, suggest i ng t hat pr obl ems ari se when t he
abr upt t ransi t i on is based on possi bl y noi sy
measur ement s.
In pract i ce, it seems, t he Coul omb fri ct i on
compensat i on is always coupl ed t o an adapt i ve, or t o
an aut o- t uni ng cont r ol l er , which adj ust s t he Coul omb
friction par amet er . I ndi cat i ons of t he range over
whi ch fri ct i on woul d vary spanned from t ens of
per cent for machi ne t ool s t o hundr eds of per cent in
aer ospace appl i cat i ons t hat funct i on over a very wi de
t emper at ur e r ange. The quest i on of r ange of fri ct i on
var i at i ons to expect , however , r emai ns a r emar kabl y
el usi ve one.
Al t hough pr obl ems with over - compens at i on wer e
r epor t ed, t he range of appl i cat i ons t o whi ch
model - based Coul omb fri ct i on compens at i on has been
appl i ed suggests t hat it is an effective t ool .
Model - based f eedf or war d schemes using mor e compl -
et e friction model s wer e not r epor t ed, but i nt er est was
f ound in such a possi bi l i t y.
Tabl e l ookup compensat i on has been used in
machi ne t ool s for some t i me, t o compens at e for
vari abl e backl ash. The t abl es ar e filled in l engt hy
aut o- t uni ng pr ocedur es; and cer t ai nl y, in conj unct i on
with t he servo stiffness and t uni ng pr ocedur e, i ncl ude
a f act or t hat is dependent on t he fri ct i on. Compens a-
t i on t abl es t uned speci fi cal l y t o fri ct i on wer e not
r epor t ed.
Lear ni ng cont r ol schemes are comi ng on-l i ne in
commer ci al cont rol l ers. These syst ems i dent i fy and
compensat e for a di st ur bance signal which cert ai nl y
i ncl udes friction. Because so many appl i cat i ons in
i ndust ry are r epeat ed, t he l earni ng cont r ol l er s will
cert ai nl y become wi de spr ead if t he per f or mance
enhancement is near what t he manuf act ur er ' s cl ai m.
Al t hough consi der abl e research at t ent i on has been
given t o t he anal yt i c t r eat ment of stick slip, engi neer s
in i ndust ry wor ki ng with preci si on machi ni ng, opt i cal
t racki ng, di sk head posi t i oni ng or r obot i c force
cont rol r ar el y r epor t stick slip as t he pr obl emat i c
fri ct i onal behavi or . St i ck sl i p, wher e it ari ses, is most
oft en di spached with appr opr i at e choi ce of l ubri cant ,
or modi fi cat i ons to t he mechani sm or i nt egral cont rol .
Fri ct i onal forces, none- t he- l ess, i nt r oduce di st ur-
bances such as lost mot i on at vel oci t y reversal or
over shoot due to i nt egr at or wi ndup. These di st ur-
bances are most i mpor t ant when accur at e t r acki ng is
r equi r ed. Thus, at t ent i on needs t o be given to
accurat e fri ct i on model i ng in pract i cal machi nes, and
t o aggressi ve, and in many cases model - bas ed,
di st ur bance r ej ect i on.
Many of t he engi neer s sur veyed r epor t ed rel i ance
upon, and di ssat i sfact i on wi t h, by- guess- and- by- gosh
met hods used for fri ct i on compensat i on desi gn. By far
t he most syst emat i c t echni ques lie in t he real m of
pr obl em avoi dance, e. g. machi ne desi gn for f avor abl e
friction charact eri st i cs. When it comes t o cont r ol ,
t her e seemed t o be no t ool s useful even for choosi ng
bet ween t he var i et y of deadbands and sat ur at i on
funct i ons avai l abl e for i nt egral c ont r ol - - not t o
ment i on t uni ng t hese syst ems. No one cont r i but i ng to
this survey r epor t ed an anal ysi s t echni que consi st ent l y
giving resul t s useful for appl i cat i on. Of t he anal ysi s
t ool s, i nt erest was gr eat est in ext ensi ve si mul at i on.
But sel ect i on of cont r ol l er desi gn and par amet er
t uni ng r emai n l engt hy, hand pr ocedur es.
In cont r ast t o t he avai l abi l i t y t ool s for anal ysi s,
however, was t he f r equency with which successful
appl i cat i on of t he vari ous compensat i ons were
r epor t ed. In r obot i cs, in preci si on poi nt i ng and
posi t i oni ng devi ces and in sophi st i cat ed machi ne t ool s,
cont r ol funct i ons i ncl uded specifically for fri ct i on
compensat i on ar e not uncommon.
5. CONCLUSION
Li ke t he el ephant encount er ed by six bl i nd men,
fri ct i on in machi nes is a mul t i f acet ed phenomenon,
i ncor por at i ng Coul omb and viscous fri ct i on, nonl i near
fri ct i on at low vel oci t i es, t empor al phenomena and
t he el ast i ci t y of t he i nt erface. In any given
ci rcumst ance, some f eat ur es may domi nat e over
ot hers, and some f eat ur es may not be det ect abl e with
t he avai l abl e sensing. But all of t hese phenomena ar e
pr esent all of t he t i me in fluid l ubr i cat ed met al
cont act s and, in many cases, pr esent in dr y cont act s as
well. The use of a mor e compl et e fri ct i on model will
ext end t he range of appl i cabi l i t y of anal yt i c resul t s
and resol ve di scr epanci es t hat ari se when di fferent
i nvest i gat i ons ar e based on di fferent phenomena, each
of which domi nat e under some ci rcumst ances.
A s ur ve y o f f r i ct i on a n d c ont r ol s 1131
Anal yses based on a compl et e friction model will be
able t o consistently account for t he observed behavi or
of systems.
Successful servo-cont rol t echni ques have been
demonst rat ed which compensat e for friction in
machines. Stiff cont rol , model -based feedforward
cont rol , adaptive strategies and variable st ruct ure
control have all received at t ent i on in bot h t heor y and
application ori ent ed efforts. I ndeed, t he compensat i on
techniques seem furt her advanced t han t he analysis
techniques for cont rol l er design. Friction compen-
sators are t oo oft en t uned by hand. Tool s, as yet , do
not exist which can correct l y and over a br oad range
of conditions predict t he presence of stick slip, let
alone per f or mance in subtler measures, such as
tracking error or optimality.
5.1. A Paradi gm for Fut ure Wor k
The oppor t uni t y exists for very substantial progress
in t he cont rol of machi nes with fri ct i on--progress
which may ultimately identify and reach the limits of
per f or mance achievable with a given machine. But t o
realize this progress, a new paradi gm must be applied.
5.1.1. Friction model s must have a theoretical and
experimental f oundat i on
The mechani cs of sliding cont act s is certainly less well
established t han t he mechani cs of inertial bodies.
None-t he-l ess, friction models and frictional behavi or
must be selected with justification. In some cases in
t he past, el ement s of a friction model have been
selected because t hey are able t o account for behavi or
under i mmedi at e investigation. While this might be
adequat e if t he slate were blank the triboiogy,
mechani cs and lubrication engineering literatures
provi de a br oad theoretical and experimental
foundat i on upon which details of a friction model may
be based. I n many cases, the experi ment s present ed
have been conduct ed with a level of sensing beyond
what is normal l y available t o the cont rol s engineer.
This survey of the t ri bol ogy literature is certainly
not exhaustive; and t he i nt egrat ed friction model
present ed will certainly be superceded as new ideas
and results emerge. Thus t he model present ed is
neither the onl y model support ed by t he literature,
nor t he final wor d on t he question. But alternatives
t hat are proposed or empl oyed as a basis for analysis
must be gr ounded in t he science of friction.
5.1.2. In experimental work, lubrication must be
addressed
The details of lubrication absolutely domi nat e
frictional instability and play a leading role in all ot her
frictional behavi or. Yet papers in the controls
literature rarely ment i on the lubricant empl oyed. An
experi ment r epor t ed wi t hout reference t o t he
lubricant is not a reproduci bl e experiment. Even if the
reference is not hi ng more t han a manufact urer' s part
number, the possibility will remai n open for ot her
investigators t o reproduce the results or investigate
t he role pl ayed by t he lubricant.
The issue of lubrication is i mport ant on mor e t han
one level. Lubri cat i on is not normal l y a concern of t he
controls engi neer; but t hen stick slip is not normal l y a
concern of t he lubrication engi neer, who is mor e oft en
concerned with limiting machi ne wear and issues of
the lubricant envi ronment , service life and delivery.
Someone must give at t ent i on t o t he stick-slip
properties of the lubricant. One lubrication engi neer,
interviewed in t he course of this proj ect , went so far
as t o say t hat stick slip could be eliminated in any
application by appropri at e choice of lubricant. This
perhaps overstates t he possibilities, but the poi nt is
made t hat the impact of lubricant cannot be
neglected.
5.1.3. Anal yses must be verified
An analysis t ool cannot reach its potential utility until
it is established t hat t he t ool correct l y predicts
behavi or across t he i nt ended range of application.
Theor y, simulation and experi ment are mutually
support i ve in this regard; and analysis tools should, at
a mi ni mum, be verified against many simulations
carried out across a range of paramet ers. While t he
analysis t ool / si mul at i on synergy cannot verify t he
correctness of a friction model , it can verify t hat t he
approxi mat i ons i ncorporat ed within t he analysis itself
are valid. This is an issue with describing function
analysis, f or exampl e, where very general results may
be possible, but t he utility of t he results quite limited.
Verification by experi ment is mor e involved t han
simulation, particularly across a br oad range of
operat i ng conditions. Ther e are opport uni t i es, how-
ever, in the literature t o find experi ment s report ed in
sufficient detail t hat new analysis tools may be applied
and verified using the results of report ed experiments.
This is perhaps an appropri at e st andard for fut ure
articles report i ng experimental investigations: t hat t he
experiments be adequat el y described so t hat ot her
investigators can use t he results t o apply and verify
new and developing analyses and models. The work of
Brandenburg et al. demonst rat es this possibility.
5.1.4. Data showi ng the repeatability o f friction are
needed
One of the assumptions underl yi ng model -based
cont rol , and perhaps any cont rol analysis, regards t he
repeatability of t he process in question. Quest i ons of
t he feasibility of model -based compensat i on tech-
niques, t he i mport ance of adaptive cont rol , and t he
robustness requi red of controllers all hinge on t he
repeatability of friction. And yet the literature is
nearly silent on this question. Ever y report of
experimental work with friction and cont rol should
include ment i on of the repeatability of t he observed
frictional behavior. It is clear t hat a number of fact ors
influence friction, principal among t hem const ancy of
lubrication, t emperat ure of operat i on and t he state of
wear. And t hat these factors will give rise t o variations
over time or operat i ng conditions, and perhaps t o
variations which appear random. As report s of
repeatability under specific experi ment al conditions
become available, it will be possible t o synthesize an
i nformed view of t he anticipated repeatability of
friction in a mechanism. Such a result will mark very
1132 B. ARMSTRONG-HI~LOUVRY et al.
cons i der abl e pr ogr ess i n t he ar ea of f r i ct i on and
cont r ol .
Wi t h a t r i bophysi cal l y j ust i f i ed model , r i gor ousl y
veri fi ed t ool s for anal ysi s, c ons i de r a t i on of all of t he
syst em at t r i but es t hat affect f r i ct i on, a nd avai l abl e
dat a r egar di ng such i ssues as r epeat abi l i t y; t her e is
gr eat possi bi l i t y of pr ogr ess i n t he cont r ol of machi nes
wi t h fri ct i on. By c ombi ni ng t he s t r engt hs of exi st i ng
anal ysi s t ool s, such as t he i nt egr at ed pl a nt / f r i c t i on
descr i bi ng f unct i on, wi t h a mor e c ompr e he ns i ve
f r i ct i on model , mor e gener al t ool s may be devel oped.
Ot he r avenues , such as gener al i zi ng t he pr oj ect i ve
phase pl ane t echni ques of Radcl i ffe and Sout hwar d
(1990), may al so l ead to t hi s goal . Bet t er anal ysi s t ool s
will per mi t bet t er ut i l i zat i on of de mons t r a t e d com-
pe ns a t i on t echni ques , such as adapt i ve, mode l - ba s e d
Co u l o mb f r i ct i on c ompe ns a t i on; and c ompe ns a t i on
t echni ques on t he hor i zon, such as i mpul s i ve cont r ol ,
will ope n new possi bi l i t i es. Be t t e r model s a nd anal ysi s
t ool s, coupl ed wi t h c ompe ns a t i on st r at egi es, will l ead
t o pr eci si on mot i on achi eved by l ower cost
ma c h i n e s - - t h e or i gi nal a nd c ont i nui ng obj ect i ve of
ser vo cont r ol .
Acknowledgments--Partial support for this project has been
provided by the University of Wisconsin, Milwaukee, by
Beamon, Inc. and by the National Science Foundation under
grant MSS-9302190. We would like to thank Dr Michael K.
Masten for his careful review of the original manuscript. Our
appreciation also goes out to all those who passed along their
papers or suggested those of their colleagues.
Many engineers in industry have contributed generously of
their time to talk with us about their experiences with friction
and control. The contributors include engineers with Adept
Technologies, Inc., Allen Bradley, Inc., American Phauter,
Inc., Asea Brown Bovari, AB, Astronautics Corporation of
America, Inc., dSpace, GmbH, FMC, Inc., Galil, Inc.,
GEC-Marconi Corp., GE Fanuc, Inc., Giddings & Lewis,
Inc., Hauser Elektronik, GmbH, Hewlett Packard, Inc.,
IBM Corp., Integrated Motion, Inc., Johnson Controls, Inc.,
Kistler-Morse Corp., Martin Marietta, Inc., Moog, Inc.,
NASA, Ora Corp., Robotics Research, Inc., Systems
Engineering Corp., Texas Instruments, Inc., and Trellis
Motion Control, Inc. We appreciate their input and believe it
an important contribution to this survey.
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