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Stefan Streif

Stefan Streif contributes to research discovery and scholarly infrastructure.

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Published work

26 published item(s)

preprint2026arXiv

Hierarchical Causal Abduction: A Foundation Framework for Explainable Model Predictive Control

Model Predictive Control (MPC) is widely used to operate safety-critical infrastructure by predicting future trajectories and optimizing control actions. However, nonlinear dynamics, hard safety constraints, and numerical optimization often render individual control moves opaque to human operators, undermining trust and hindering deployment. This paper presents Hierarchical Causal Abduction (HCA), which combines (i) physics-informed reasoning via domain knowledge graphs, (ii) optimization evidence from Karush--Kuhn--Tucker (KKT) multipliers, and (iii) temporal causal discovery via the PCMCI algorithm to generate faithful, human-interpretable explanations for control actions computed by nonlinear MPC. Across three diverse control applications (greenhouse climate, building HVAC, chemical process engineering) with expert validation, HCA improves explanation accuracy by 53\% over LIME (0.478 vs. 0.311) using a single set of cross-domain parameters without per-domain tuning; domain-specific KKT-threshold calibration over 2--3 days further increases accuracy to 0.88. Ablation studies confirm that each evidence source is essential, with 32--37\% accuracy degradation when any component is removed, and HCA's ranking-and-validation methodology generalizes beyond MPC to other prediction-based decision systems, including learning-based control and trajectory planning.

preprint2022arXiv

A stabilizing reinforcement learning approach for sampled systems with partially unknown models

Reinforcement learning is commonly associated with training of reward-maximizing (or cost-minimizing) agents, in other words, controllers. It can be applied in model-free or model-based fashion, using a priori or online collected system data to train involved parametric architectures. In general, online reinforcement learning does not guarantee closed loop stability unless special measures are taken, for instance, through learning constraints or tailored training rules. Particularly promising are hybrids of reinforcement learning with "classical" control approaches. In this work, we suggest a method to guarantee practical stability of the system-controller closed loop in a purely online learning setting, i.e., without offline training. Moreover, we assume only partial knowledge of the system model. To achieve the claimed results, we employ techniques of classical adaptive control. The implementation of the overall control scheme is provided explicitly in a digital, sampled setting. That is, the controller receives the state of the system and computes the control action at discrete, specifically, equidistant moments in time. The method is tested in adaptive traction control and cruise control where it proved to significantly reduce the cost.

preprint2022arXiv

Approximate infinite-horizon predictive control

Predictive control is frequently used for control problems involving constraints. Being an optimization based technique utilizing a user specified so-called stage cost, performance properties, i.e., bounds on the infinite horizon accumulated stage cost, aside closed-loop stability are of interest. To achieve good performance and to influence the region of attraction associated with the prediction horizon, the terminal cost of the predictive controller's optimization objective is a key design factor. Approximate dynamic programming refers to one particular approximation paradigm that pursues iterative cost adaptation over a state domain. Troubled by approximation errors, the associated approximate optimal controller is, in general, not necessarily stabilizing nor is its performance quantifiable on the entire approximation domain. Using a parametric terminal cost trained via approximate dynamic programming, a stabilizing predictive controller is proposed whose performance can directly be related to cost approximation errors. The controller further ensures closed-loop asymptotic stability beyond the training domain of the approximate optimal controller associated to the terminal cost.

preprint2022arXiv

Generating a robustly stabilizable class of nonlinear systems for the converse optimality problem

Converse optimality theory addresses an optimal control problem conversely where the system is unknown and the value function is chosen. Previous work treated this problem both in continuous and discrete time and non-extensively considered disturbances. In this paper, the converse optimality theory is extended to the class of affine systems with disturbances in continuous time while considering norm constraints on both control inputs and disturbances. The admissibility theorem and the design of the internal dynamics model are generalized in this context. A robust stabilizability condition is added for the initial converse optimality probelm using inverse optimality tool: the robust control Lyapunov function. A design for nonlinear class of systems that are both robustly stabilizable and globally asymptotically stable in open loop is obtained. A case study illustrates the presented theory.

preprint2022arXiv

Half-Gain Tuning for Active Disturbance Rejection Control

A new tuning rule is introduced for linear active disturbance rejection control (ADRC), which results in similar closed-loop dynamics as the commonly employed bandwidth parameterization design, but with lower feedback gains. In this manner the noise sensitivity of the controller is reduced, paving the way for using ADRC in more noise-affected applications. It is proved that the proposed tuning gains, while rooted in the analytical solution of an algebraic Riccati equation, can always be obtained from a bandwidth parameterization design by simply halving the gains. This establishes a link between optimal control and pole placement design.

preprint2022arXiv

Model Predictive Control Tailored to Epidemic Models

We propose a model predictive control (MPC) approach for minimising the social distancing and quarantine measures during a pandemic while maintaining a hard infection cap. To this end, we study the admissible and the maximal robust positively invariant set (MRPI) of the standard SEIR compartmental model with control inputs. Exploiting the fact that in the MRPI all restrictions can be lifted without violating the infection cap, we choose a suitable subset of the MRPI to define terminal constraints in our MPC routine and show that the number of infected people decays exponentially within this set. Furthermore, under mild assumptions we prove existence of a uniform bound on the time required to reach this terminal region (without violating the infection cap) starting in the admissible set. The findings are substantiated based on a numerical case study.

preprint2022arXiv

Performance bounds of adaptive MPC with bounded parameter uncertainties

Model predictive control is a control approach that minimizes a stage cost over a predicted system trajectory based on a model of the system and is capable of handling state and input constraints. For uncertain models, robust or adaptive methods can be used. Because the system model is used to calculate the control law, the closed-loop behavior of the system and thus its performance, measured by the sum of the stage costs, are related to the model used. If it is adapted online, a performance bound is difficult to obtain and thus the impact of model adaptation is mostly unknown. This work provides a (worst-case) performance bound for a linear adaptive predictive control scheme with a specific model parameter estimation. The proposed bound is expressed in terms of quantities such as the initial system parameter error and the constraint set, among others and can be calculated a priori. The results are discussed in a numerical example.

preprint2021arXiv

On inf-convolution-based robust practical stabilization under computational uncertainty

This work is concerned with practical stabilization of nonlinear systems by means of inf-convolution-based sample-and-hold control. It is a fairly general stabilization technique based on a generic non-smooth control Lyapunov function (CLF) and robust to actuator uncertainty, measurement noise, etc. The stabilization technique itself involves computation of descent directions of the CLF. It turns out that non-exact realization of this computation leads not just to a quantitative, but also qualitative obstruction in the sense that the result of the computation might fail to be a descent direction altogether and there is also no straightforward way to relate it to a descent direction. Disturbance, primarily measurement noise, complicate the described issue even more. This work suggests a modified inf-convolution-based control that is robust w. r. t. system and measurement noise, as well as computational uncertainty. The assumptions on the CLF are mild, as, e. g., any piece-wise smooth function, which often results from a numerical LF/CLF construction, satisfies them. A computational study with a three-wheel robot with dynamical steering and throttle under various tolerances w. r. t. computational uncertainty demonstrates the relevance of the addressed issue and the necessity of modifying the used stabilization technique. Similar analyses may be extended to other methods which involve optimization, such as Dini aiming or steepest descent.

preprint2021arXiv

On Maximal Robust Positively Invariant Sets in Constrained Nonlinear Systems

In this technical communique we study the maximal robust positively invariant set for state-constrained continuous-time nonlinear systems subjected to a bounded disturbance. Extending results from the theory of barriers, we show that this set is closed and that its boundary consists of two complementary parts, one of which we name the invariance barrier, which consists of trajectories that satisfy the maximum principle.

preprint2021arXiv

On performance bound estimation in NMPC with time-varying terminal cost

Model predictive control (MPC) schemes are commonly designed with fixed, i.e., time-invariant, horizon length and cost functions. If no stabilizing terminal ingredients are used, stability can be guaranteed via a sufficiently long horizon. A suboptimality index can be derived that gives bounds on the performance of the MPC law over an infinite-horizon (IH). While for time-invariant schemes such index can be computed offline, less attention has been paid to time-varying strategies with adapting cost function which can be found, e.g., in learning-based optimal control. This work addresses the performance bounds of nonlinear MPC with stabilizing horizon and time-varying terminal cost. A scheme is proposed that uses the decay of the optimal finite-horizon cost and convolutes a history stack to predict the bounds on the IH performance. Based on online information on the decay rate, the performance bound estimate is improved while the terminal cost is adapted using methods from adaptive dynamic programming. The adaptation of the terminal cost leads to performance improvement over a time-invariant scheme with the same horizon length. The approach is demonstrated in a case study.

preprint2021arXiv

On the Turnpike to Design of Deep Neural Nets: Explicit Depth Bounds

It is well-known that the training of Deep Neural Networks (DNN) can be formalized in the language of optimal control. In this context, this paper leverages classical turnpike properties of optimal control problems to attempt a quantifiable answer to the question of how many layers should be considered in a DNN. The underlying assumption is that the number of neurons per layer -- i.e., the width of the DNN -- is kept constant. Pursuing a different route than the classical analysis of approximation properties of sigmoidal functions, we prove explicit bounds on the required depths of DNNs based on asymptotic reachability assumptions and a dissipativity-inducing choice of the regularization terms in the training problem. Numerical results obtained for the two spiral task data set for classification indicate that the proposed estimates can provide non-conservative depth bounds.

preprint2021arXiv

Recursive feasibility of continuous-time model predictive control without stabilising constraints

We consider sampled-data Model Predictive Control (MPC) of nonlinear continuous-time control systems. We derive sufficient conditions to guarantee recursive feasibility and asymptotic stability without stabilising costs and/or constraints. Moreover, we present formulas to explicitly estimate the required length of the prediction horizon based on the concept of (local) cost controllability. For the linear-quadratic case, cost controllability can be inferred from standard assumptions. In addition, we extend results on the relationship between the horizon length and the distance of the initial state to the boundary of the viability kernel from the discrete-time to the continuous-time setting.

preprint2021arXiv

Transient Stability Analysis of Power Grids with Admissible and Maximal Robust Positively Invariant Sets

The energy transition is causing many stability-related challenges for power systems. Transient stability refers to the ability of a power grid's bus angles to retain synchronism after the occurrence of a major fault. In this paper a set-based approach is presented to assess the transient stability of power systems. The approach is based on the theory of barriers, to obtain an exact description of the boundaries of admissible sets and maximal robust positively invariant sets, respectively. We decompose a power system into generator and load components, replace couplings with bounded disturbances and obtain the sets for each component separately. From this we deduce transient stability properties for the entire system. We demonstrate the results of our approach through an example of one machine connected to one load and a multi-machine system.

preprint2020arXiv

A comprehensive dynamic growth and development model of Hermetia illucens larvae

Larvae of Hermetia illucens, also commonly known as black soldier fly (BSF) have gained significant importance in the feed industry, primarily used as feed for aquaculture and other livestock farming. Mathematical model such as Von Bertalanffy growth model and dynamic energy budget models are available for modelling the growth of various organisms but have their demerits for their application to the growth and development of BSF. Also, such dynamic models were not yet applied to the growth of the BSF larvae despite models proven to be useful for automation of industrial production process (e.g. feeding, heating/cooling, ventilation, harvesting, etc.). This work primarily focuses on developing a model based on the principles of the afore mentioned models from literature that can provide accurate mathematical description of the dry mass changes throughout the life cycle and the transition of development phases of the larvae. To further improve the accuracy of these models, various factors affecting the growth and development such as temperature, feed quality, feeding rate, moisture content in feed, and airflow rate are developed and integrated into the dynamic growth model. An extensive set of data were aggregated from various literature and used for the model development, parameter estimation and validation. Models describing the environmental factors were individually validated based on the data sets collected. In addition, the dynamic growth model was also validated for dry mass evolution and development stage transition of larvae reared on different substrate feeding rates. The developed models with the estimated parameters performed well highlighting its application in decision-support systems and automation for large scale production.

preprint2020arXiv

A Hierarchical Architecture for the Coordination of an Ensemble of Steam Generators

This work presents a hierarchical architecture for the optimal management of an ensemble of steam generators, which needs to jointly sustain a common load. The coordination of independent subsystems is provided by a multi-layer control scheme. A high-level optimizer computes the optimal shares of production to be allocated to single generators. At medium level, a robust tube-based model predictive control (MPC) is proposed to track the time-varying demand of the ensemble using a centralized, but aggregated model, whose order does not scale with the number of subsystems. At low level, decentralized controllers are in place to stabilize the internal boiler pressure. The control architecture enables the dynamic modification of the ensemble configuration and plug and play operations. Simulation results are reported to demonstrate the potentialities of the proposed approach.

preprint2020arXiv

A reinforcement learning method with closed-loop stability guarantee

Reinforcement learning (RL) in the context of control systems offers wide possibilities of controller adaptation. Given an infinite-horizon cost function, the so-called critic of RL approximates it with a neural net and sends this information to the controller (called "actor"). However, the issue of closed-loop stability under an RL-method is still not fully addressed. Since the critic delivers merely an approximation to the value function of the corresponding infinite-horizon problem, no guarantee can be given in general as to whether the actor's actions stabilize the system. Different approaches to this issue exist. The current work offers a particular one, which, starting with a (not necessarily smooth) control Lyapunov function (CLF), derives an online RL-scheme in such a way that practical semi-global stability property of the closed-loop can be established. The approach logically continues the work of the authors on parameterized controllers and Lyapunov-like constraints for RL, whereas the CLF now appears merely in one of the constraints of the control scheme. The analysis of the closed-loop behavior is done in a sample-and-hold (SH) manner thus offering a certain insight into the digital realization. The case study with a non-holonomic integrator shows the capabilities of the derived method to optimize the given cost function compared to a nominal stabilizing controller.

preprint2020arXiv

Maintaining Hard Infection Caps in Epidemics via the Theory of Barriers

Research in epidemiology often focusses on designing interventions that result in the number of infected individuals asymptotically approaching zero, without considering that this number may peak at high values during transients. Recent research has shown that a set-based approach could be used to address the problem, and we build on this idea by applying the theory of barriers to construct admissible and invariant sets for an epidemic model. We describe how these sets may be used to choose intervention strategies that maintain infection caps during epidemics. We also derive algebraic conditions of the model parameters that classify a system as being either comfortable, comfortable-viable, viable, or desperate.

preprint2020arXiv

Model Predictive Control of a Food Production Unit: A Case Study for Lettuce Production

Plant factories with artificial light are widely researched for food production in a controlled environment. For such control tasks, models of the energy and resource exchange in the production unit as well as those of the plant's growth process may be used. To achieve minimal operation cost, optimal control strategies can be applied to the system, taking into account the availability of resources by control reference specification. A particular advantage of model predictive control (MPC) is the incorporation of constraints that comply with actuator limitations and general plant growth conditions. In this work, a model of a production unit is derived including a description of the relation between the actuators' electrical signals and the input values to the model. Furthermore, a preliminary model based state tracking control is evaluated for production unit containing Lettuce. It could be observed that the controller is capable to track the reference while satisfying the constraint under changing weather conditions and resource availability.

preprint2020arXiv

Model predictive control with stage cost shaping inspired by reinforcement learning

This work presents a suboptimality study of a particular model predictive control with a stage cost shaping based on the ideas of reinforcement learning. The focus of the suboptimality study is to derive quantities relating the infinite-horizon cost function under the said variant of model predictive control to the respective infinite-horizon value function. The basis control scheme involves usual stabilizing constraints comprising of a terminal set and a terminal cost in the form of a local Lyapunov function. The stage cost is adapted using the principles of Q-learning, a particular approach to reinforcement learning. The work is concluded by case studies with two systems for wide ranges of initial conditions.

preprint2020arXiv

Nonsmooth stabilization and its computational aspects

This work has the goal of briefly surveying some key stabilization techniques for general nonlinear systems, for which, as it is well known, a smooth control Lyapunov function may fail to exist. A general overview of the situation with smooth and nonsmooth stabilization is provided, followed by a concise summary of basic tools and techniques, including general stabilization, sliding-mode control and nonsmooth backstepping. Their presentation is accompanied with examples. The survey is concluded with some remarks on computational aspects related to determination of sampling times and control actions.

preprint2020arXiv

PoCET: a Polynomial Chaos Expansion Toolbox for Matlab

We introduce PoCET: a free and open-scource Polynomial Chaos Expansion Toolbox for Matlab, featuring the automatic generation of polynomial chaos expansion (PCE) for linear and nonlinear dynamic systems with time-invariant stochastic parameters or initial conditions, as well as several simulation tools. It offers a built-in handling of Gaussian, uniform, and beta probability density functions, projection and collocation-based calculation of PCE coefficients, and the calculation of stochastic moments from a PCE. Efficient algorithms for the calculation of the involved integrals have been designed in order to increase its applicability. PoCET comes with a variety of introductory and instructive examples. Throughout the paper we show how to perform a polynomial chaos expansion on a simple ordinary differential equation using PoCET, as well as how it can be used to solve the more complex task of optimal experimental design.

preprint2020arXiv

Prototypical Description and Controller Design for a Set of Systems Using v-gap Based Clustering

We present an approach to design stabilizing controllers for a set of linear systems without restrictions regarding their modeling order. To this end, the systems are treated as abstract objects in the space of the $ν$-gap metric. Via a cluster analysis the set of systems is split into v-gap similar clusters which are treated separately. For this purpose we provide an algorithm that constructs an explicit prototype system by generalizing the information of a given set of systems. Applying this algorithm to each cluster a set of prototype systems is obtained. Given these prototypes we design controllers in such a way that all systems assigned to a cluster will be stabilized by a corresponding controller. The approach is demonstrated for a set of 80 linear systems.

preprint2020arXiv

Stacked adaptive dynamic programming with unknown system model

Adaptive dynamic programming is a collective term for a variety of approaches to infinite-horizon optimal control. Common to all approaches is approximation of the infinite-horizon cost function based on dynamic programming philosophy. Typically, they also require knowledge of a dynamical model of the system. In the current work, application of adaptive dynamic programming to a system whose dynamical model is unknown to the controller is addressed. In order to realize the control algorithm, a model of the system dynamics is estimated with a Kalman filter. A stacked control scheme to boost the controller performance is suggested. The functioning of the new approach was verified in simulation and compared to the baseline represented by gradient descent on the running cost.

preprint2020arXiv

Sustainability Analysis of Interconnected Food Production Systems via Theory of Barriers

Controlled environment agriculture (CEA) is used for efficient food production. Efficiency can be increased further by interconnecting different CEA systems (e.g. plants and insect larvae or fish and larvae), using products and by-products of one system in the other. These interconnected systems define an overall system that can be described by models of interacting species. It is necessary to identify system parameters (e.g. initial species concentration, harvest rate, feed quality, etc.) such that the resources are not exhausted. For such systems with interacting species, modelled by the Lotka-Volterra equations, a set-based approach based on the recent results of the theory of barriers to exactly determine the so-called admissible set (also known as viability kernel) and the maximal robust positively invariant set is presented. Using an example of a larvae-fish based production system, steps to obtain special trajectories which are the boundaries of the admissible set are shown. This admissible set is used to prevent the under and over population of the species in the CEA. Furthermore, conditions of the system parameters are stated, such that the existence of these trajectories can be guaranteed.

preprint2019arXiv

Design and validation of a low cost programmable controlled environment for study and production of plants, mushroom, and insect larvae

Use of commercial growth chambers for study of biological processes involved in biomass growth and production pose certain limitations on the nature of studies that can be performed in them. Optimization of biomass rearing and production process requires quantitative study of environment influences on the organism and eventually the products and byproducts consumed and produced. This work presents a low cost modular system designed to facilitate quantitative study of growth processes and resource exchanges in organisms such as plants, fungi and insect larvae. The proposed system constitutes of modular units each performing a specific function. A novel compact thermoelectric cooler based unit is designed for conditioning the air. Sensor cluster for measuring gas concentrations, air properties (temperature, humidity, pressure), and growing medium properties is implemented and tested. An actuator cluster for resource exchange and a wiring and control scheme for light spectrum adjustment is proposed. A three tier hierarchical software framework consisting of an open-source cloud platform for data aggregation and user interaction, embedded firmware for microcontroller, and an application development framework for test automation and experiment regime design is developed and presented. A series of experiments and tests were performed using the designed hardware and software to evaluate its capabilities and limitations. This controlled environment was used to study the photosynthesis and its dependency on temperature and light intensity in Ocimum basilicum. In a second experiment, evolution of metabolic activity of Hermetia illucens larvae over its larval phase was studied and the metabolic products and byproducts were quantitatively measured.

preprint2013arXiv

Estimation of consistent parameter sets for continuous-time nonlinear systems using occupation measures and LMI relaxations

Obtaining initial conditions and parameterizations leading to a model consistent with available measurements or safety specifications is important for many applications. Examples include model (in-)validation, prediction, fault diagnosis, and controller design. We present an approach to determine inner- and outer-approximations of the set containing all consistent initial conditions/parameterizations for nonlinear continuous-time systems. These approximations are found by occupation measures that encode the system dynamics and measurements, and give rise to an infinite-dimensional linear program. We exploit the flexibility and linearity of the decision problem to incorporate uncertain-but-bounded and pointwise-in-time state and output constraints, a feature which was not addressed in previous works. The infinite-dimensional linear program is relaxed by a hierarchy of LMI problems that provide certificates in case no consistent initial condition/parameterization exists. Furthermore, the applied LMI relaxation guarantees that the approximations converge (almost uniformly) to the true consistent set. We illustrate the approach with a biochemical reaction network involving unknown initial conditions and parameters.