IEEE TRANSACTIONS ON NEURAL NETWORKS, VOL. 15, NO. 3, MAY 2004
693
Robust and Adaptive Backstepping Control for
Nonlinear Systems Using RBF Neural Networks
Yahui Li, Sheng Qiang, Xianyi Zhuang, and Okyay Kaynak, Fellow, IEEE
Abstract—In this paper, two different backstepping neural network (NN) control approaches are presented for a class of affine
nonlinear systems in the strict-feedback form with unknown nonlinearities. By a special design scheme, the controller singularity
problem is avoided perfectly in both approaches. Furthermore, the
closed loop signals are guaranteed to be semiglobally uniformly
ultimately bounded and the outputs of the system are proved to
converge to a small neighborhood of the desired trajectory. The
control performances of the closed-loop systems can be shaped as
desired by suitably choosing the design parameters. Simulation
results obtained demonstrate the effectiveness of the approaches
proposed. The differences observed between the inputs of the two
controllers are analyzed briefly.
Index Terms—Adaptive control, backstepping, neural network
(NN), robust adaptive control, uncertain strict-feedback system.
I. INTRODUCTION
N recent adaptive and robust control literature, numerous
approaches have been proposed for the design of nonlinear
control systems. Among these, adaptive backstepping constitutes a major design methodology [1]–[3]. The idea behind
backstepping design is that some appropriate functions of state
variables are selected recursively as pseudocontrol inputs for
lower dimension subsystems of the overall system. Each backstepping stage results in a new pseudocontrol design, expressed
in terms of the pseudocontrol designs from the preceding
design stages. When the procedure terminates, a feedback
design for the true control input results, which achieves the
original design objective by virtue of a final Lyapunov function,
formed by summing the Lyapunov functions associated with
each individual design stage [1].
The backstepping design provides a systematic framework
for the design of tracking and regulation strategies, suitable for
a large class of state feedback linearizable nonlinear systems.
Integrator backstepping is used to systematically design controllers for systems with known nonlinearities with mismatched
conditions [2]. The approach can be extended to handle systems
with unknown parameters via adaptive backstepping [2], [4],
[5]. Apart from the systematic approach used, another important feature of it is its ability to shape performance [1], [5].
I
Manuscript received September 10, 2002; revised December 23, 2003.
This work was supported by the Youth Scientific Foundation of Heilongjiang
Province, China, by Project QC02C40.
Y. Li, S. Qiang, and X. Zhuang are with Department of Control Science and
Engineering, Harbin Institute of Technology, Harbin 150001, China (e-mail:
lyahui2002@yahoo.com.cn; zhx@hit.edu.cn).
O. Kaynak is with Department of Electrical and Electronic Engineering, Bogazici University, 80815 Bebek-Istanbul, Turkey (e-mail:
kaynak@boun.edu.tr).
Digital Object Identifier 10.1109/TNN.2004.826215
However, in spite of the merits explained, there are some
problems in the backstepping design method. A major constraint is that certain functions must be “linear in the unknown
parameters” [6], [7], which may not be satisfied in practise.
Furthermore, some very tedious analysis is needed to determine
“regression matrices”[6]. In the case of backstepping adaptive control, the problem of determining and computing the
regression matrices becomes even more acute. In [8], for example, for the relatively simple application to dc motor control,
one will notice that the regression matrix almost covers one
full page in the IEEE TRANSACTIONS ON CONTROL SYSTEM
TECHNOLOGY.
The very rapid developments described in adaptive and robust control techniques are accompanied by an increasing in
the use of neural networks (NNs) for system identification [9],
[10] or identification-based control [11]–[13]. With the help of
neural networks, the linearity-in-the-parameter assumption of
nonlinear function and the determination of regression matrices
can be avoided. It is due to this that in the last few years, a
large number of backstepping design schemes are reported that
combine the backstepping technique with adaptive NNs [6], [7],
[14]–[20].
Although significant progress has been made by combining
backstepping methodology with NN technologies, there are still
some problems that need to be solved for practical implementations. For example. in almost all the approaches reported in the
literature, in order to avoid the controller singularity problem it
is assumed that the gain functions
(see (1) in Section II) are constants [6], [7], [14]–[17] or known
functions [6]. However, this assumption cannot be satisfied in
many cases. In some work, for example in [18], the authors assume the gain functions to be unknown and adopt NN structures
to approximate them. In order to avoid the possible divergence
of the weights of the neural networks during on-line tuning, the
discontinuous projections with fictitious bounds have to be used
in design. In [19], gain functions are assumed to be unknown and
a backstepping design is proposed that incorporates adaptive
neural network techniques. However, due to the integral-type
Lyapunov function introduced, this approach is complicated and
difficult to use in practice. In [20], Ge et al. propose another simpler scheme under the same conditions. Nevertheless, because
the derivatives of the virtual controllers are included in NNs, the
NNs are difficult to realize and calculate.
Variable structure control is one of the main methods used in
the literature to overcome the uncertainty of systems. In backstepping design, this approach is difficult to use, because the
derivatives of virtual controllers are all included in the actual
controller. Therefore, robustness issues are rarely addressed in
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IEEE TRANSACTIONS ON NEURAL NETWORKS, VOL. 15, NO. 3, MAY 2004
backstepping design. In this paper, an alternative, simpler design is proposed, which can completely avoid the singularity
problem. Based on this, a class of continuous functions is introduced to ensure robustness of in backstepping design.
The paper is organized as follows. In Section II, a description
of the system is given and radial basis function (RBF) neural
networks are briefly explained. Adaptive backstepping design
is described in Section III and simulated on a nonlinear system.
Section IV proposes an approach to ensure a degree of robustness in the controller and the effectiveness of the approach is
demonstrated by the simulation studies on the same system as
used in Section III. Finally, conclusions are given in Section V.
II. PROBLEM FORMULATION
( is an appropriate integer)
where is a compact subset of
, there exists a RBF vector
and a weight
and
such that
,
.
vector
The quantity
is called the network
.
reconstruction error and obviously
The optimal weight vector defined above is a quantity only
for analytical purposes. Typically is chosen as the value of
that minimizes
over , that is
(2)
The Gaussian functions are employed as basis functions, in the
same form as in [20], which are located on a regular grid that
contains the subset of interest of the state space.
A. System Description
III. ADAPTIVE NN CONTROL
The model of many practical nonlinear systems can be expressed in or transformed into a special state-space form
(1)
where
,
,
,
are state variables, system input and output, respectively. The
control objective is to design an adaptive NN controller for
system (1) such that 1) all the signals in the closed-loop remain
semiglobally uniformly ultimately bounded and 2) the output y
follows a desired trajectory , which and whose derivatives up
th order are bounded.
to the
Note that in the following derivation of the adaptive neural
controller, NN approximation is only guaranteed with some
compact sets. Accordingly, the stability results obtained in this
work are semiglobal in the sense that, as long as desired, there
exists controllers with sufficient large number of NN nodes
such that all the signals in the closed-loop remain bounded.
,
are smooth functions, they are thereSince
fore bounded within some compact set. Accordingly, we can
make the following two assumptions as commonly being done
in the literature.
are bounded, i.e., there exist
Assumption 1: The signs of
such that ,
,
constants
.
The above assumption implies that the smooth functions
are strictly either positive or negative. Without losing generality,
,
.
we shall assume,
Assumption 2: There exist constants
such that,
,
.
A. Controller Design
The detailed design procedure is described in the following
steps. For clarity and conciseness, Steps 1 and 2 are described
with detailed explanations, while Step and Step are simplified, with the relevant equations and the explanations being
omitted.
and define
. Its derivative
Step 1: Let
is
(3)
by viewing
as a virtual control input. Equation (3) can be
transformed into the following form:
(4)
as follows:
Let us choose controller
(5)
is constant. Substituting (5) into (4),
is obtained. So, there exists a Lyapunov function
, such that
.
Therefore, is asymptotically stable.
However, since the functions
and
are unknown, the desired controller cannot be implemented in
practice. Instead, a NN-based virtual controller can be used as
follows:
where
(6)
where
mate
Defining
and
and
,
are RBF NNs used to approxi, respectively.
can be obtained as
B. Function Approximation Using RBF Neural Networks
The control design presented in this paper employs RBF NNs
to approximate the nonlinear functions in system (1). They are
, where
is a vector
of the general form
of adjustable weights and
a vector of RBF’s. Their ability
to uniformly approximate smooth functions over compact sets is
well documented in the literature (for example [21]). In general,
,
it has been shown that given a smooth function
(7)
and
are the optimal weight vectors of
where
. The neural reconstruction error
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and
LI et al.: ROBUST AND ADAPTIVE BACKSTEPPING CONTROL
is bounded, i.e., there exists a constant
such that
. Throughout the paper, we introduce
and
neural networks and define their reconstruction errors as
695
as
(15)
where
. Like in the case of
.
Substituting (6) into (7), we get
,
is bounded, i.e.,
Because
choosing
such that
the following inequality:
, by
, we have
(8)
,
. Through out this paper, we
where
shall define
.
Consider the following Lyapunov candidate:
(16)
(9)
where the coupling term
will be canceled in the next step.
Step 2: This step is to make the error between
and
as
small as possible. Differentiating gives
where
matrices.
The derivative of
,
are adaptive gain
is
(17)
Similarly, taking the virtual controller
as of the form
(18)
and substituting it into (17), we will have
(10)
(19)
Consider the Lyapunov function candidate
Consider the following adaptation laws:
(20)
(11)
where
,
are small constants. Formulas (11)
are so-called -modification, introduced to improve the robustness in the presence of the approximation error and avoid the
weight parameters to drift to very large values.
Let
, with
and
. Then, (10)
becomes
where
matrices.
The derivative of
,
are adaptive gain
is
(12)
By completion of squares, we have
(21)
where
.
Consider the following adaptation laws:
(13)
(22)
(14)
where
and
are small constants. Let
, where
and
. Substituting (16) and (22) into
(21), and with some completion of squares and straightforward
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IEEE TRANSACTIONS ON NEURAL NETWORKS, VOL. 15, NO. 3, MAY 2004
derivation similar to those employed in Step 1, the derivative of
is obtained as
Similarly, letting
(31)
and substituting it into (30), gives
(23)
(32)
Consider the overall Lyapunov function candidate
where
is chosen such that
(33)
And consider the following adaptation law:
Step
: In a similar fashion, we can design
to make the error
as
a virtual controller
small as possible. Differentiating gives
(34)
where
(24)
.
where
Similarly, let the virtual controller to be of the form
and
are small constants,
,
are gain matrices. Let
,
where
and
. By using (29), (32) and (34), and with
some completion of squares and straightforward derivation similar to those employed in the former steps, the derivative of
becomes
(25)
Then we have
(35)
(26)
Consider the Lyapunov function candidate
where
is chosen such that
Let
choose
such that
(27)
and consider the following adaptation laws:
(28)
where
and
are small constants. Let
, where
and
. By using (23), (26), and (28), and
with some completion of squares and straightforward derivation
similar to those employed in the former steps, the derivative of
becomes
choose
where
,
,
and
. If we
, i.e., choose
such that
, where is a positive constant, and
such that
is the largest eigenvalue of matrices, and
. Then, from (35), we have the following inequality:
(36)
(29)
where
is chosen such that
(37)
Step : This is the final step. Differentiating the error
, we will have
(30)
The following theorem shows the stability and control performance of the closed-loop adaptive system.
Theorem 1: Consider the closed-loop system consisting of
(1) and the known reference signal, the controller (31), and the
NN weight updating laws (11), (22), (28) and (34). Assume that
,
and
with
there exists sufficiently large compact sets
proper dimensions, such that
,
and
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LI et al.: ROBUST AND ADAPTIVE BACKSTEPPING CONTROL
697
for all
. Then for bounded initial conditions, we have the
following:
1) all signals in the closed-loop system remain bounded;
converges to a
2) the output tracking error
small neighborhood around zero by an appropriate choice
of the design parameters.
Proof:
1) From (36), we have
(38)
Let
. Then, we have
(45)
that is
(46)
which implies that given
, there exists
such that for all
, the tracking error satisfies
where
(47)
(39)
and
is the minimum of
,
. Therefore, the derivative of global Lyapunov function is negative as long as
(40)
or
(41)
or
(42)
According to a standard Lyapunov theorem extension
[22], these demonstrate the uniformly ultimately bound, and
edness (UUB) of , and . Since
are bounded, we have that
is bounded. From
,
, and the definitions of
(6), (18), and (25), we have that
virtual controls
remain bounded. Using (31), we conclude that control
is also bounded. According to assumption of the system
and
are continuous, the
that the function
function are bounded in any certainty compact. Thus, the
, are bounded,
optimal weights and ,
and the weights and of the NNs are bounded because
of (40) and (41). So, all the signals in the closed-loop
system remain bounded.
, then (37) satisfies
2) Let
(43)
From (43), we have
(44)
where is the size of a small residual set which depends
on the NNs approximation error and controller parameters , , , and . It is easily seen that the increase
in the control gain and adaptive gain , and NN node
numbers will result in a better tracking performance.
Remark 1: In [20], one NN is adopted to approximate the
in every design step.
nonlinear function
However, because the derivatives of the virtual control
are
included in the NNs, the dimensions of the input vectors of
the NNs become twice as much as those of the corresponding
state vectors and these additional inputs must be computed
online too. Therefore, the approach is still difficult to implement
and apply in practice. In this paper, although two NNs are
and
adopted to approximate the nonlinear functions
, respectively, in every “step”, there are no dimensional
increments and no additional parameters must be calculated.
Compared with the approach in [20], the method presented in this
paper is much simpler to understand and apply in practice. For
is two-dimensional (2-D). So,
example, we assume that the
the input vector of nonlinear function
in
literature [20] is 3-D at least, while those of nonlinear functions
and
are still 2-D. Therefore, if we are
given five fuzzy sets for every term of the input vectors, the
node number will be 125
although just one neural network
.
is adopted to approximate the function
However, each of the neural networks adopted in this paper is
node one, although two networks must be adopted to
25
approximate function
and
, respectively.
So, we can draw the conclusion that the controller is simpler
to for practical realizations and computational burden is not
excessive.
Remark 2: In the above analysis, it is clear that the uniform ultimate boundedness of all the signals are guaranteed
large enough, such that
by choosing
. Moreover, it can be seen that 1) increasing
might lead to larger , and increasing
will reduce , thus,
increasing will lead to smaller and 2) decreasing and
will help to reduce , both of which will help to reduce the size
will lead to a high gain control
of . However, increasing
scheme. On the other hand, though
and is required to be
chosen as a small positive constant when applying -modification [23], a very small and may not be enough to prevent
the NN weight estimates from drifting to very large values in the
presence of NN approximation errors [24], where the large
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IEEE TRANSACTIONS ON NEURAL NETWORKS, VOL. 15, NO. 3, MAY 2004
Fig. 1. The output of system under the adaptive controller.
and might result in a variation of a high gain control. Therefore, in practical applications, the design parameters should be
adjusted carefully for achieving suitable transient performance
and control action.
Remark 3: The adaptive NN controller (31) and the adaptation laws (11), (22), (28), and (34) are highly structural, and
independent of the complexities of the system nonlinearities.
Thus, it can be applied to other similar plants without repeating
the complex controller design procedure for different system
nonlinearities. In addition, such a property is particularly suitable for parallel processing and hardware implementation in
practical applications.
B. Simulation
Here, a simple simulation is presented to show the effectiveness of the approach proposed above. The model of the system
is given as
Fig. 2. The trajectory of the adaptive controller. (a) controller values in the
interval [0, 20]. (b) controller values in the interval [1, 80].
we can see that good tracking performance is obtained. Fig. 2(a)
shows the trajectory of the controller and Fig. 2(b) is magnification of the partition of it when the system is in tracking
steady-state phase.
(48)
where and are states, and is the output of the system, respectively. The initial conditions is
and the desired reference signal of the system is
.
In this paper, all the basis functions of the NNs have the form
[20]
(49)
where
field and
is the center of the receptive
is the width of the Gaussian function. The NNs
,
and
all contain 13 nodes (i.e.,
), with centers
evenly spaced in [ 6, 6], and widths
. NN
contains 169 nodes
), with centers
evenly spaced in
(i.e.,
, and widths
. The design parameters of the above controller are
,
,
. The initial weights and
are all given arbitrarily in [ 1, 1], and and in [0, 1].
Figs. 1 and 2 show the simulation results of applying controller (31) to (47) for tracking desired signal . From Fig. 1,
IV. ROBUST ADAPTIVE NN CONTROL
A. System Description
From the proof of Theorem 1 and the result of simulations, we
can conclude that there exists a certain amount of error between
the output of system and the desired signal, although tracking
performance of this system is fairly good. It may also be that the
tracking requirements are not met under some conditions. So, in
this section, we will present another design approach, which can
guarantee much higher tracking accuracy and have the property
of “robustness.”
,
Here, virtual controllers are denoted by the
, which satisfies
and
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(50)
LI et al.: ROBUST AND ADAPTIVE BACKSTEPPING CONTROL
699
Equation (50) can be obtained by a similar design procedure as
is inused in Section III, except that a term
troduced in every virtual and actual controller for robustness.
During the stability analysis of the closed-loop system, for simwith the following
plicity, we will replace the function
, depicted in Fig. 3
saturation function
sat
(51)
where and are all positive constants,
.
are continuous, So they can
Obviously, virtual controllers
be applied in backstepping design.
Assumptions 3: The ideal weights of NNs are bounded by
known positive values so that
Fig. 3.
The function tanh(x) and sat(x).
and
, (55) can be
By combining (39),
where
.
Let us suppose that Assumptions 1, 2, and 3 are all satisfied.
The following theorem can then be stated.
Theorem 2: Take the control input (49) with NN weight
tuning be provided by
transformed into
(56)
(52)
where and are positive constants. Then the NN weights are
,
, are semiglobally
UUB, and the errors
and
asymptotic stable. By choosing suitable parameters ,
, the tracking error of the system can converge into an arbitrarily small compact set.
with
in (7) and substiProof: In Step 1, replacing
tuting (7) and (51) into (10), then choosing in (10) such that
, we can obtain
where
is the minimum of
,
Applying Schwartz inequality to (56)
.
(57)
we have
(53)
In Step 2, replacing
with
in (17) and substituting (17)
in (21) such that
and (51) into (21), then choosing
, we can obtain
(58)
Obviously, if
(59)
(54)
In a similar fashion, in Step , we can obtain that the
overall Lyapunov function candidate, satisfying the following
inequality:
the derivative of Lyapunov candidate is negative. Thus, the NN’s
weights are UUB. From (51), when all the error signals satisfy
the derivative of
becomes
(55)
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(60)
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IEEE TRANSACTIONS ON NEURAL NETWORKS, VOL. 15, NO. 3, MAY 2004
Fig. 4. The second order derivatives of tanh(kx) (dashed line: k = 1, solid
line: k = 2, dash-dot line: k = 3).
Fig. 5. The output of system under the robust adaptive controller.
So, if
(61)
is negative. So, at least, the
is satisfied, the derivative of
errors converge into a compact set
(62)
Remark 4: In theorem 2, the term “semiglobally” asymptotically stable isused because the NNs can only approximate the
nonlinear function in some compact set. If we can find NNs
which approximate the nonlinear function in all system state
space, the approach can guarantee global asymptotic stability.
Remark 5: The procedure of proof indicate that the approach is also effective for some other kinds of uncertainties
) or disturbances ,
,
(for example
besides neural reconstruction errors. So, it can be set to be
“robust” to some extent.
Remark 6: It is seen [from the equation before (60)] that the
, are, the smaller will
larger the parameters ,
the tracking errors be. However, for high-order systems, due to
the existence of high-order derivatives in the virtual controller,
too large values will require a quick response of the controller
and the output will take large values when the error vector is in a
small compact set (see Fig. 4). This is difficult to realize in practice. Besides, parameters , effect the tracking performance.
and
should be chosen suitably
So, both the parameters
during the design stage.
Fig. 6. The trajectory of the adaptive controller. (a) Controller values in the
interval [0, 20]. (b) controller values in the interval [1, 20].
B. Simulation
Here, the plant simulated is again (48) and the objective is to
.
guarantee that the output tracks the desired signal
For the simulation studies, all the parameters and the NNs are
kept the same as those in Section III, except for
and
.
Fig. 5 and Fig. 6 show the simulation results. From Fig. 5, we
can draw the conclusion that this robust approach can guarantee
much higher tracking accuracy than the adaptive one. Comparing Fig. 2 to Fig. 6, it can be seen that: 1) the robust controller has a larger maximum than the adaptive case during the
tracking transient-state phase and can make the system to track
the desired signal faster due to the terms introduced for robustness; and 2) the robust controller has smaller values when the
system is in steady-state phase due to the smaller steady-state
errors.
V. CONCLUSION
In this paper, two backstepping NN control approaches are
presented for a class of affine nonlinear systems in strict feedback form with unknown nonlinearities. By a special design
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LI et al.: ROBUST AND ADAPTIVE BACKSTEPPING CONTROL
scheme, both of the approaches avoid the controller singularity
problem perfectly. The signals in the closed loop in the two
methods are all guaranteed to be semiglobally uniformly ultimately bounded and the outputs of the system are both proved to
converge to a small neighborhood of the desired trajectory. The
control performances of the closed-loop systems can shaped by
suitably choosing the design parameters. Simulation results carried out on the same nonlinear system demonstrate the effectiveness of the proposed approaches. The differences observed are
analyzed briefly.
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Yahui Li was born in Hebei Province, China, on
Feburary 1, 1974. He received the M.S. degree in
material science, in 2000 and the Ph.D. degree in
control theory and control engineering, in 2003,
both from the Harbin Institute of Technology (HIT),
China.
His research focuses on nonlinear system control,
adaptive control, and intelligent control.
Sheng Qiang received the M.S. degree in pattern
recognition and intelligent control in, 1998, and
the Ph.D. degree in control theory and control
engineering, in 2004, both from the Harbin Institute
of Technology (HIT), China.
He is an Associate Professor of Control Science
and Engineering Department, HIT. He has published
more than 20 papers in journals and international
conference proceedings. His research interests
include soft computing methods, computer control,
and process optimization.
Dr. Qiang is a member of the IPC of the 12th Mediterranean Conference on
Control and Automation and the ITC of the 2005 IEEE Midsummer Workshop
on Soft Computing in Industrial Applications.
Xianyi Zhuang was born in Jilin Province, China, in
1936. He received the B.Sc. degree in mathematics
science from the University of Northeast Normal,
China.
He is a Professor with the Department of Control
Science and Engineering, Harbin Institute of Technology, China. His research focuses on adaptive control, intelligent control, and the development of high
degree accuracy servo systems.
Okyay
Kaynak
(M’80–M’83–SM’90–F’03)
received the B.Sc. degree with first class honors
and the Ph.D. degree in electronic and electrical
engineering from the University of Birmingham,
U.K., in 1969 and 1972, respectively.
From 1972 to 1979, he held various positions
within the industry. In 1979, he joined the Department of Electrical and Electronics Engineering,
Bogazici University, Istanbul, Turkey, where he
is presently a Full Professor. He served as the
Chairman of the Computer Engineering Department
for three years, of the Electrical and Electronic Engineering Department for
two years, and was the Director of Biomedical Engineering Institute for one
year. Currently, he is the UNESCO Chair on Mechatronics and the Director of
Mechatronics Research and Application Centre. He has held long-term Visiting
Professor/Scholar positions at various institutions in Japan, Germany, the U.S.,
and Singapore. His current research interests are in the fields of intelligent
control and mechatronics. He has authored three books and edited five. He
has also authored or coauthored more than 200 papers that have appeared in
various journals and conference proceedings.
Dr. Kaynak was the President of the IEEE Industrial Electronics Society
during 2002–2003. He is now of the Vice Presidents of the Neural Networks
Society. He serves as an Associate Editor of both the IEEE TRANSACTIONS
ON INDUSTRIAL ELECTRONICS and the IEEE TRANSACTIONS ON NEURAL
NETWORKS and additionally he is on the Editorial or Advisory Boards of a
number of scholarly journals.
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