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Risk-aware Robot Safety via Control in Belief Space and Beyond
KTH, School of Electrical Engineering and Computer Science (EECS), Robotics, Perception and Learning.ORCID iD: 0000-0001-6046-7460
2026 (English)Doctoral thesis, comprehensive summary (Other academic)
Abstract [en]

Robotic systems must operate safely despite noisy measurements, partial observability, and imperfect models of their dynamics. These sources of uncertainty fundamentally challenge how safety can be ensured, as classical control methods typically assume exact knowledge of the system state and model. This thesis develops a principled foundation for robot safety under uncertainty by designing control strategies directly in belief space, a representation that captures how uncertainty evolves through stochastic motion and observation processes. Working in belief space enables safety and performance requirements to be expressed in terms of the robot's probabilistic description of the state, rather than an assumed deterministic one.

Viewing autonomy through this lens enables explicit reasoning about risk and information. Safety specifications can be expressed as risk constraints on the belief, allowing the controller to account for low-probability but safety-critical tail events. At the same time, the belief representation enables the robot to reason about how observations can reduce uncertainty, and to actively steer toward regions where uncertainty can be reduced more effectively. A key contribution of this thesis is the formalization of control certificates such as Control Barrier Functions and Control Lyapunov Functions in belief spaces. These certificates provide formal safety and convergence guarantees directly in belief space while admitting computationally tractable controllers.

The thesis further extends these insights beyond belief space control. It interprets components of robot control such as trajectory planning and certificate generation as dynamical processes whose evolution can themselves be subject to invariance principles. This broader viewpoint leads to new formulations that treat trajectory generation and safety verification within a unified dynamical-systems framework.

Together, these contributions advance the ability of autonomous systems to reason about and act safely under uncertainty, supporting reliable deployment in real-world environments.

Abstract [sv]

Robotsystem måste fungera säkert trots brusiga mätningar, partiell observerbarhet och ofullständiga modeller av sin dynamik. Dessa osäkerhetskällor utmanar hur säkerhet kan garanteras, eftersom klassiska styrmetoder vanligtvis antar exakt kunskap om systemets tillstånd och modell. Denna avhandling utvecklar en principiell grund för robotsäkerhet under osäkerhet genom att utforma styrstrategier direkt i rymden av tillståndsfördelningar, en representation som fångar hur osäkerhet utvecklas genom stokastiska rörelse- och observationsprocesser. Att arbeta i denna rymd gör det möjligt att formulera säkerhets- och prestandakrav i termer av robotens probabilistiska beskrivning av tillståndet, snarare än ett deterministiskt sådant.

Detta perspektiv möjliggör ett explicit resonemang kring risk och information. Säkerhetsspecifikationer kan uttryckas som riskbegränsningar på tillståndsfördelningar, vilket gör att regulatorn kan ta hänsyn till osannolika men säkerhetskritiska händelser. Samtidigt gör representationen det möjligt för roboten att resonera kring hur observationer kan minska osäkerheten och aktivt styra mot områden där den kan lokalisera sig bättre. Ett centralt bidrag i denna avhandling är formaliseringen av kontrollcertifikat såsom Control Lyapunov och Barrier Functions i fördelningsrymden. Dessa certifikat ger formella garantier för säkerhet och konvergens direkt i denna rymd, samtidigt som de möjliggör beräkningsmässigt hanterbara regulatorer.

Avhandlingen utvidgar dessutom dessa insikter bortom reglering baserad på tillståndsfördelningar. Komponenter i robotstyrning, såsom trajektorieplanering och generering av certifikat, tolkas som dynamiska processer vars utveckling kan omfattas av invariansprinciper. Detta bredare perspektiv leder till formuleringar som behandlar trajektoriegenerering och säkerhetsverifiering inom ett enhetligt ramverk av dynamiska system.

Tillsammans bidrar dessa resultat till att förbättra autonoma systems förmåga att resonera och agera säkert under osäkerhet, och stödjer därmed en tillförlitlig användning i verkliga miljöer.

Place, publisher, year, edition, pages
KTH Royal Institute of Technology, 2026. , p. 79
Series
TRITA-EECS-AVL ; 2026:49
National Category
Robotics and automation
Research subject
Computer Science
Identifiers
URN: urn:nbn:se:kth:diva-381048ISBN: 978-91-8106-614-2 (print)OAI: oai:DiVA.org:kth-381048DiVA, id: diva2:2058802
Public defence
2026-06-05, D3, Lindstedtsvägen 5, plan 3, KTH Campus, Stockholm, 14:00 (English)
Opponent
Supervisors
Note

QC 20260508

Available from: 2026-05-08 Created: 2026-05-08 Last updated: 2026-05-19Bibliographically approved
List of papers
1. Belief Control Barrier Functions for Risk-Aware Control
Open this publication in new window or tab >>Belief Control Barrier Functions for Risk-Aware Control
2023 (English)In: IEEE Robotics and Automation Letters, E-ISSN 2377-3766, Vol. 8, no 12, p. 8565-8572Article in journal (Refereed) Published
Abstract [en]

Ensuring safety in real-world robotic systems is often challenging due to unmodeled disturbances and noisy sensors. To account for such stochastic uncertainties, many robotic systems leverage probabilistic state estimators such as Kalman filters to obtain a robot's belief, i.e. a probability distribution over possible states. We propose belief control barrier functions (BCBFs) to enable risk-aware control, leveraging all information provided by state estimators. This allows robots to stay in predefined safety regions with desired confidence under these stochastic uncertainties. BCBFs are general and can be applied to a variety of robots that use extended Kalman filters as state estimator. We demonstrate BCBFs on a quadrotor that is exposed to external disturbances and varying sensing conditions. Our results show improved safety compared to traditional state-based approaches while allowing control frequencies of up to 1 kHz.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2023
Keywords
Robot Safety, Sensor-based Control
National Category
Control Engineering Robotics and automation
Identifiers
urn:nbn:se:kth:diva-340320 (URN)10.1109/LRA.2023.3330662 (DOI)001109132700006 ()2-s2.0-85177055205 (Scopus ID)
Note

QC 20250924

Available from: 2023-12-13 Created: 2023-12-13 Last updated: 2026-05-08Bibliographically approved
2. Risk-aware Control for Robots with Non-Gaussian Belief Spaces
Open this publication in new window or tab >>Risk-aware Control for Robots with Non-Gaussian Belief Spaces
2024 (English)In: 2024 Ieee International Conference On Robotics And Automation (Icra 2024), Institute of Electrical and Electronics Engineers (IEEE) , 2024, p. 11661-11667Conference paper, Published paper (Refereed)
Abstract [en]

This paper addresses the problem of safety-critical control of autonomous robots, considering the ubiquitous uncertainties arising from unmodeled dynamics and noisy sensors. To take into account these uncertainties, probabilistic state estimators are often deployed to obtain a belief over possible states. Namely, Particle Filters (PFs) can handle arbitrary non-Gaussian distributions in the robot's state. In this work, we define the belief state and belief dynamics for continuous-discrete PFs and construct safe sets in the underlying belief space. We design a controller that provably keeps the robot's belief state within this safe set. As a result, we ensure that the risk of the unknown robot's state violating a safety specification, such as avoiding a dangerous area, is bounded. We provide an open-source implementation as a ROS2 package and evaluate the solution in simulations and hardware experiments involving high-dimensional belief spaces.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2024
Series
IEEE International Conference on Robotics and Automation ICRA, ISSN 1050-4729
National Category
Robotics and automation
Identifiers
urn:nbn:se:kth:diva-360953 (URN)10.1109/ICRA57147.2024.10611412 (DOI)001369728002036 ()2-s2.0-85200441503 (Scopus ID)
Conference
IEEE International Conference on Robotics and Automation (ICRA), MAY 13-17, 2024, Yokohama, JAPAN
Note

Part of ISBN 979-8-3503-8458-1, 979-8-3503-8457-4

QC 20250310

Available from: 2025-03-10 Created: 2025-03-10 Last updated: 2026-05-08Bibliographically approved
3. Safety-critical Control under Partial Observability: Reach-avoid POMDP meets Belief Space Control
Open this publication in new window or tab >>Safety-critical Control under Partial Observability: Reach-avoid POMDP meets Belief Space Control
(English)Manuscript (preprint) (Other academic)
Abstract [en]

Partially Observable Markov Decision Processes(POMDPs) provide a principled framework for robot decisionmaking under uncertainty. Solving reach-avoid POMDPs, however, requires coordinating three distinct behaviors: goal reaching, safety, and active information gathering to reduce uncertainty. Existing online POMDP solvers attempt to address all three within a single belief tree search, but this unified approach struggles with the conflicting time scales inherent to these objectives. We propose a layered, certificate-based control architecture that operates directly in belief space, decoupling goal reaching, information gathering, and safety into modular components. We introduce Belief Control Lyapunov Functions(BCLFs) that formalize information gathering as a Lyapunov convergence problem in belief space, and show how they can be learned via reinforcement learning. For safety, we develop Belief Control Barrier Functions (BCBFs) that leverage conformal prediction to provide probabilistic safety guarantees over finite horizons. The resulting control synthesis reduces to lightweight quadratic programs solvable in real time, even for non-Gaussian belief representations with dimension > 104. Experiments in simulation and on a space-robotics platform1 demonstrate real-time performance and improved safety and task success compared to state-of-the-art constrained POMDP solvers.

National Category
Robotics and automation
Research subject
Computer Science
Identifiers
urn:nbn:se:kth:diva-381047 (URN)
Note

QC 20260511

Available from: 2026-05-08 Created: 2026-05-08 Last updated: 2026-05-11Bibliographically approved
4. Parameter-Robust MPPI for Safe Online Learning of Unknown Parameters
Open this publication in new window or tab >>Parameter-Robust MPPI for Safe Online Learning of Unknown Parameters
Show others...
2026 (English)In: IEEE Robotics and Automation Letters, E-ISSN 2377-3766, Vol. 11, no 4, p. 3931-3938Article in journal (Refereed) Published
Abstract [en]

Robots deployed in dynamic environments must remain safe even when key physical parameters are uncertain or change over time. We propose Parameter-Robust Model Predictive Path Integral (PRMPPI) control, a framework that integrates online parameter learning with probabilistic safety constraints. PRMPPI maintains a particle-based belief over parameters via Stein Variational Gradient Descent, evaluates safety constraints using Conformal Prediction, and optimizes both a nominal performance-driven and a safety-focused backup trajectory in parallel. This yields a controller that is cautious at first, improves performance as parameters are learned, and ensures safety throughout. Simulation and hardware experiments demonstrate higher success rates, lower tracking error, and more accurate parameter estimates than baselines.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2026
Keywords
Model Learning for Control, Robot Safety
National Category
Robotics and automation Computer Sciences Control Engineering
Identifiers
urn:nbn:se:kth:diva-377643 (URN)10.1109/LRA.2026.3662531 (DOI)001696543000008 ()2-s2.0-105029919703 (Scopus ID)
Note

QC 20260303

Available from: 2026-03-03 Created: 2026-03-03 Last updated: 2026-05-29Bibliographically approved
5. Forward Invariance in Trajectory Spaces for Safety-Critical Control
Open this publication in new window or tab >>Forward Invariance in Trajectory Spaces for Safety-Critical Control
2025 (English)In: 2025 IEEE International Conference on Robotics and Automation, ICRA 2025, Institute of Electrical and Electronics Engineers (IEEE) , 2025, p. 3926-3932Conference paper, Published paper (Refereed)
Abstract [en]

Useful robot control algorithms should not only achieve performance objectives but also adhere to hard safety constraints. Control Barrier Functions (CBFs) have been developed to provably ensure system safety through forward invariance. However, they often unnecessarily sacrifice performance for safety since they are purely reactive. Receding horizon control (RHC), on the other hand, consider planned trajectories to account for the future evolution of a system. This work provides a new perspective on safety-critical control by introducing Forward Invariance in Trajectory Spaces (FITS). We lift the problem of safe RHC into the trajectory space and describe the evolution of planned trajectories as a controlled dynamical system. Safety constraints defined over states can be converted into sets in the trajectory space which we render forward invariant via a CBF framework. We derive an efficient quadratic program (QP) to synthesize trajectories that provably satisfy safety constraints. Our experiments support that FITS improves the adherence to safety specifications without sacrificing performance over alternative CBF and NMPC methods.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2025
National Category
Control Engineering Robotics and automation
Identifiers
urn:nbn:se:kth:diva-371382 (URN)10.1109/ICRA55743.2025.11127715 (DOI)001582497400355 ()2-s2.0-105016634278 (Scopus ID)
Conference
2025 IEEE International Conference on Robotics and Automation, ICRA 2025, Atlanta, United States of America, May 19 2025 - May 23 2025
Note

Part of ISBN 9798331541392

QC 20251009

Available from: 2025-10-09 Created: 2025-10-09 Last updated: 2026-05-29Bibliographically approved
6. Finding Control Invariant Sets via Lipschitz Constants of Linear Programs
Open this publication in new window or tab >>Finding Control Invariant Sets via Lipschitz Constants of Linear Programs
2025 (English)In: 2025 European Control Conference (ECC), Institute of Electrical and Electronics Engineers (IEEE) , 2025, p. 2114-2120Conference paper, Published paper (Refereed)
Abstract [en]

Control invariant sets play an important role in safety-critical control and find broad application in numerous fields such as obstacle avoidance for mobile robots. However, finding valid control invariant sets of dynamical systems under input limitations is notoriously difficult. We present an approach to safely expand an initial set while always guaranteeing that the set is control invariant. Specifically, we define an expansion law for the boundary of a set and check for control invariance using Linear Programs (LPs). To verify control invariance on a continuous domain, we leverage recently proposed Lipschitz constants of LPs to transform the problem of continuous verification into a finite number of LPs. Using concepts from differentiable optimization, we derive the safe expansion law of the control invariant set and show how it can be interpreted as a second invariance problem in the space of possible boundaries. Finally, we show how the obtained set can be used to obtain a minimally invasive safety filter in a Control Barrier Function (CBF) framework. Our work is supported by theoretical results as well as numerical examples.

Place, publisher, year, edition, pages
Institute of Electrical and Electronics Engineers (IEEE), 2025
National Category
Control Engineering
Identifiers
urn:nbn:se:kth:diva-377971 (URN)10.23919/ECC65951.2025.11187188 (DOI)2-s2.0-105030955521 (Scopus ID)
Conference
2025 European Control Conference, ECC 2025, Thessaloniki, Greece, June 24-27, 2025
Note

Part of ISBN 9783907144121

QC 20260316

Available from: 2026-03-16 Created: 2026-03-16 Last updated: 2026-05-08Bibliographically approved

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