Ocean Engineering 127 (2016) 5869

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Ocean Engineering
journal homepage: www.elsevier.com/locate/oceaneng

Model-based adaptive control system for autonomous underwater vehicles

a b, c b
crossmark
Osama Hassanein , Sreenatha G. Anavatti , Hyungbo Shim , Tapabrata Ray
a
ASD, Abu Dhabi Polytechnic, Abu Dhabi, UAE
b
SEIT, UNSW Canberra, Australia
c
Department of Electrical and Computer Engineering, Seoul National University, South Korea

A R T I C L E I N F O A BS T RAC T

Keywords: The paper deals with the development of indirect adaptive controllers based on Hybrid Neuro-Fuzzy Network
Hybrid Neuro-Fuzzy Network (HNFN) approach for Autonomous Underwater Vehicles (AUVs). The non-linear, coupled and time-varying
AUV dynamics of AUVs necessitates the development of adaptive controllers. The on-line identication and
M adaptation of the controller is carried out using the HNFN approach. The methodology uses the input-output
odel-based adaptive controlSystem
data to come up with a structure for the controller and optimal adaptation of the parameters to achieve the
identication
required accuracy. The Semi-Serial-Parallel-Model is employed both for identication and control. Initial
Auto generating mechanism
validation of the identication results are carried out numerically using a mathematical model. Hardware-in-
loop (HIL) simulations are presented to validate the controller before carrying out the experiments.
Experimental results show that the proposed controller is capable of suitably controlling the AUV in real
environment and demonstrate its robust characteristics.

1. Introduction
Autonomous Underwater Vehicles (AUVs) are ideal platforms for
aquatic search and rescue operations and exploration, some of which
necessitate very strict positioning and path control. This is a challen-
ging task since the AUV's dynamics is inherently nonlinear and time
variant, i.e., its mass and buoyancy change according to its working
conditions. In addition, AUVs are also subjected to uncertain external
disturbances that alter the hydrodynamic forces and moments as they
depend on the environmental conditions as well as their velocities,
shapes and sizes (Fossen, 1994). The control accuracy provided by
guidance and control system is the basis for the successful completion
of AUV missions.
Conventional controllers with xed gains fail to guarantee high-
quality responses of the overall system when signicant changes occur
in the vehicle dynamics and its environment (Zaho and Yuh, 2005).
However, intelligent adaptive control has proven to be successful in
several industrial nonlinear applications (Medsker and Jain, 1999). In
addition, adaptive control provides an ability to re-adjust the controller
parameters on-line to achieve the required performance when the
process parameters are unknown and vary over time (Puttige, 2008).
Adaptive control is also useful because AUVs are usually re-tted with
new equipment and adapted for dierent missions that change their
static and dynamic characteristics.
There are two dierent approaches of adaptive control (Astrom and
Wittenmark, 1994), direct and indirect adaptive control. In the former,
which is implicit, the controller parameters are calculated based on the
error between the reference and actual output values. In indirect
adaptive control, the plant and its parameters are identied online
and used to adjust the controller parameters (Wang et al., 2002). In
this scheme, the identied model is assumed to be the true plant and
used to calculate the controller parameters and is called explicit
adaptive control.
In the direct adaptive control category, Model Reference Adaptive
Control (MRAC) is the most appropriate technique for compensating
the nonlinearities and uncertainties of underwater vehicles
(Santhakumar and Kim, 2011). However, the MRAC technique may
have reduced performance due to modelling errors when the plant is
under the inuence of input disturbance (Datta and Ioannou, 1994). As
this technique has no direct mechanism for validating the adapted
controller prior to its use on the plant, for complex nonlinear systems,
this may lead to results with inferior responses.
In an indirect adaptive control method, an identier model of the
plant is used to aid the parameter adaptation process of the controller
(Wang et al., 2002). Indirect adaptive control is dened as a technique
for applying some system identication method to obtain a model of
the process and its environment from input-output experiments and
use it to design a controller. It uses a model of the process where the
error between the model and process outputs is used to adjust the
identication model parameters and both the plant output and

Corresponding author.
E-mail addresses: osama.hassanein@hotmail.com (O. Hassanein), s.anavatti@adfa.edu.au (S.G. Anavatti), hshim@snu.ac.kr (H. Shim), t.ray@adfa.edu.au (T. Ray).

http://dx.doi.org/10.1016/j.oceaneng.2016.09.034
Received 30 June 2015; Received in revised form 29 July 2016; Accepted 18 September 2016
0029-8018/ 2016 Elsevier Ltd. All rights reserved.
O. Hassanein et al.
identication model output are used to tune the gains of the controller.
To build an ecient controller, it is essential to capture the
dynamics of the operating vehicle as accurately as possible. When the
dynamics are nonlinear and the parameters time varying, indirect
adaptive control is the most suitable approach. Hence, the system
identication is the rst stage in indirect adaptive control design. The
development of a dynamic positioning system for ROVs is described by
Bessa et al. (2010). The adapted approach was primarily based on the
SMC strategy and enhanced by an adaptive fuzzy algorithm for
uncertainty compensation. An Adaptive Fuzzy SMC (AFSMC) based
on the decomposition method, using expert knowledge for Underwater
Flight Vehicle (UFV) depth control, a Fuzzy Basis Function Expansion
(FBFE) and a PI-augmented sliding signal, has been proposed in Kim
and Shin (2005). In addition, Kim and Shin (2007) developed an
Expanded Adaptive Fuzzy SMC (EAFSMC) using expert knowledge and
the fuzzy basis function expansion. The proposed EAFSMC, PID and
AFSMC controllers were compared, with the simulation results.
Using an adaptive NN control scheme as a controller for controlling
a UUV in 6-DOF is presented by Kodogiannis (2006), the performance
of the adaptive controller is evaluated via computer simulation. Shi
et al. (2007) described the design and application of a NN-based
adaptive control scheme for an AUVs depth control system. The
unknown nonlinearity is approximated by a feed-forward NN, the
parameters of which were adaptively adjusted on-line for driving the
AUV to cruise at a pre-set depth. An adaptive NN (Brandt and Lin,
1999; Saikalis and Lin, 2001) is applied to control an AUV with three
NNs adapted by Adaptive Interaction (ANNAI) and developed to
control the heading, depth and advance speed of the vehicle in a
decoupled control scheme (Phung-Hung and Yun-Chul, 2009). The
Naval Postgraduate School (NPS) AUV is selected as a case study under
controlling of NN in (Kuljaa et al., 2009; Amin et al., 2010). Kuljaa
et al. (2009) presented an adaptive multi-layer NN controller for the
high-precision manoeuvring of underwater vehicles in which the
Neuro-control system worked with the conventional controllers LQG
and PID. An on-line Multi-layer Perceptron NN (OMLPNN) which
calculates forces and moments in the Earth's xed frame to eliminate
the tracking errors of AUVs has been developed (Amin et al., 2010).
Intelligent adaptive controllers that can learn from the input-output
data of the system are desirable to make them platform free tools. The
design of adaptive controllers for unknown dynamics requires the
existence of suitable system identication models of the AUV. Hence,
the main objective of this research is to design an indirect adaptive
controller for the AUV based on the input-output data of the identied
model in order to demonstrate its real-time application for AUVs to
achieve autonomous manoeuvre.
A universal mechanism for identifying nonlinear physical systems
with disturbances and uncertainties using the HNFN technique is
proposed in Osama et al. (2013a, 2013b). It is an auto-generating
mechanism with entropy-based DE modelling developed to generate a
system model with an on-line tuning capability. This mechanism oers
a universal black-box tool for generating the system identication and
it is used in this research in order to design the indirect adaptive
controller for Canberra AUV. The controller design is based on the
same procedure and follows similar steps as discussed in the identica-
tion process (Osama et al., 2013a, 2013b).
Since one of the important objectives is to demonstrate the real-
time implementability of the proposed indirect adaptive control
scheme, validations using Hardware-In-Loop (HIL) simulations are
carried out. The HIL simulations show that the scheme is feasible in
real-time. Finally, experiments using the proposed algorithm to control
the 6-DOF UNSW Canberra AUV's dynamics are discussed. The
experimental results show that the identication mechanism and
adaptive controller are capable of suitably controlling the AUV in a
real environment and demonstrate its robust characteristics.
Section 2 describes the proposed model based adaptive control
system. Section 3 presents the identication for the AUV using the
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Ocean Engineering 127 (2016) 5869
HNFN along with numerical results. Next, Section 4 presents the AUV
control system design. The numerical results and experimental results
are also discussed. Section 5 concludes the paper.
2. Model-based adaptive control system
An adaptive control system can be dened as a feedback system
with the capability to adapt its characteristics in a dynamic environ-
ment in accordance with a specic criterion (Puttige, 2008). Adaptive
controllers learn to improve their performance through observations of
the process under control.
Direct adaptive controllers use the error between the reference
input and the process output to adjust the controller parameters.
Indirect adaptive controllers use a model of the process where the error
between the model output and the process output is used to adjust the
identication model parameters and the controller parameters are
mainly based on the identied model.
2.1. Proposed controller design
Fig. 1 shows the general block diagram of the process (AUV) with
the controller. From the controller point of view, its input is the error
between the actual and desired response, while its output, control
action, is the input to the system. Three types of data should be
available to apply the mechanism, input and output data of the process
and the desired action supplied to the system. Then, the output data is
subtracted from the desired action to calculate the error, e , caused by
the system. This error, its derivative and the input data are fed to the
proposed algorithm to generate the controller parameters required for
controlling the system, Fig. 2. The proposed mechanism is a combina-
tion of two stages, o-line and on-line procedures. The former
comprises a structure-generating phase based on an entropy measure
used to adjust the controller's accuracy and a parameter-learning phase
which is executed in two steps, the rst during the structure-generating
phase based on supervised learning algorithms using the BP algorithm
and the second, after the controller structure is generated, which uses
the DE algorithm to adjust its parameters based on a dierent input-
output training data set. The second stage converts the generated
controller into an adaptive controller equipped with a training algo-
rithm...
2.2. Adaptive control system
In the present research, an indirect adaptive control system is
applied to the AUV control problem where the controller parameters
are adjusted based not only on the error between the reference input
and the process output but also on the process sensitivity which can be
approximately derived from the identication model of the process,
Fig. 3. The proposed control design is based on HNFN techniques..
Generally, the sampling times required to acquire and manipulate
data from the sensors are higher than that for the controller to send the
control action to the system. It is important to highlight that, in the on-
line controller; adaptation of the controller parameters is performed in
parallel with the normal operation of the system.
A new architecture for representing the system identication
structure, a combination of the well-known parallel model and serial-
parallel model architecture, the Semi-Serial-Parallel Model (SSPM),
is presented in Osama et al. (2013a, 2013b). This model is considered
as a modied nonlinear moving average model (NMA) which combines
the advantaged of both parallel and serial-parallel model techniques. In
Input Output
e data data
Ref Controller Process
Fig. 1. Controller block diagram.
O. Hassanein et al.
Input-data
Output-data
Controller
Ref-data - parameters
+ + e
Black-box
tool
t
e
Fig. 2. Controller generating scheme.
the SSPM, the system actual output is passed to the identier for one
sample time and then the identication model output is fed back to the
identier for the next few consecutive samples. When the actual output
is passed to the identier, SSPM is considered as serial-parallel model
and when the output of the identication model is fed back to the
model, the system is parallel model. The advantages of this structure in
overcoming noisy sensor data or unavailability of sensor data due to the
sampling limitations of the sensor are shown to be minimal loss of
accuracy with just one past input and one past output for identifying
the system.
As shown in Fig. 4, the generated model is placed in parallel with
the process to be identied on-line using the actual input-output
measurements of the process. A back propagation, BP, method adapts
the model parameters on-line based on the error between the identied
model and actual output of the process..
3. AUV system identication
The modelling of the AUVs involves the study of statics and
dynamics. The former is concerned with the equilibrium of a body at
rest or moving at a constant velocity and the latter with a body
experiencing accelerated motion (Fossen, 1994). In order to derive a 6-
DOF nonlinear mathematical model of the AUV, the coordinate system
and denitions of the motion parameters should be provided rst.
There are two reference frames for describing the position, orienta-
tion, and linear and angular velocities of an underwater vehicle. The
rst is the body-xed frame, XO YO ZO , which is usually chosen to
coincide with the CG of the body and is described relative to an inertial
reference or Earth-xed frame, E-xyz, as shown in Fig. 5. As, for
underwater vehicles, it is assumed that the acceleration of a point on
the surface of the Earth can be neglected (Fossen, 1994), in this
research, the Earth-xed frame is considered inertial. In this context,
the position and orientation of the vehicle are described relative to the
inertial reference frame and its linear and angular velocities to the body
reference frame. For more details regarding to AUV mathematical
model, readers refer to Osama et al. (2011, 2013a, 2013b)..
Fig. 5 shows a typical underwater vehicle model. One electrical
thrusters power the AUV for forward motion. Two electrical pumps
used for manoeuvring in the horizontal plane. In addition, two
electrical pumps help the AUV to navigate in the vertical plane. The
inner box is used for carrying the sensors, battery and the electronic
accessories. The hydrodynamic forces per unit mass acting on each axis
Fig. 3. Indirect adaptive controller scheme.
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Ocean Engineering 127 (2016) 5869
Fig. 4. On-line tuning of system identication.
will be denoted by the uppercase letters X, Y and Z. u, v and w
represent the forward, lateral and vertical speeds along x, y and z axes
respectively. Similarly, the hydrodynamic moments on AUV will be
denoted by L, M and N acting around x, y and z axis respectively. The
angular rates will be denoted by p, q and r the components. The
common notations for underwater vehicles according to Fossen (1994)
are listed in Table 1.
3.1. AUV mathematical modelling
Dynamics of AUVs, including hydrodynamic parameters uncertain-
ties, are highly nonlinear, coupled and time varying. The rigid body
dynamics can be written in component form as
X = m [u vr + wq xG (q 2 + r 2 ) + yG ( pq r ) + zG ( pr + q ) ]
Y = m [v wp + ur yG (r 2 + p 2 ) + zG (qr p ) + xG (qp + r ) ]
Z = m [w uq + vp zG ( p 2 + q 2 ) + xG (rp q ) + yG (rq + p ) ]
K = Ix p + (Iz Iy ) qr (r + pq ) Ixz + (r 2 q 2 ) Iyz + ( pr q ) Ixy
+ m [ yG (w uq + vp ) zG (v wp + ur )]
M = Iy q + (Ix Iz ) rp (q + qr ) Iyz + ( p 2 r 2 ) Izx + (qp r ) Iyz
+ m [zG (u vr + wq ) xG (w uq + vp )]
N = Iz r + (Iy Ix ) pq (q + rp ) Iyz + (q 2 p 2 ) Ixy + (rq p ) Izx
+ m [xG (v wp + ur ) yG (u vr + wq )] (1)
The rst three equations represent the translational motion and the
last three are the rotational motions. The general equations of motion
for the AUV are derived from Newton's second law of motion. The
equations of motion for underwater vehicle can be written as follows
(Fossen, 1994):
MRB v + CRB (v ) v + MA v + CA (v ) v + D (v ) v + g () = (2)
where M is a 66 inertia matrix as a sum of the rigid body inertia
matrix, MRB and the hydrodynamic virtual inertia (added mass) MA.
C (q ) is a 66 Coriolis and centripetal matrix including rigid body terms
CRB (q ) and terms CA (q ) due to added mass. D (q ) is a 66 damping
matrix including terms due to drag forces. G(q) is a 61 vector
containing the restoring terms formed by the vehicle's buoyancy and
gravitational terms. is a 61 vector including the control forces and
moments. The rigid-body terms represent the equations of motion of
the rigid body in an empty space. However, as ships and underwater
vehicles require the presence of forces and moments caused by uid to
O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Fig. 5. Body-xed and earth-xed coordinate system.

Table 1
Notations used for underwater vehicles.

DOF Description Forces and moments Linear and angular velocities Position and euler angles

1 Motion in x-direction (SURGE) X u x

2 Motion in y-direction (SWAY)
3 Motion in z-direction (HEAVE)
4 Rotation about x-direction (ROLL)
5 Rotation about y-direction (PITCH)
6 Rotation about z-direction (YAW)
Y v y
Z w z
K p
M q
N r

be considered, hydrodynamic terms are added to the equation while the 3.2.1. Added mass and inertia
hydrostatic terms represent the gravitational force and buoyancy that When a rigid body is submerged and moving in a uid, the
occur when a rigid body is completely or partially submerged in a uid. additional inertia of the uid surrounding it is accelerated by the
movement of the body and has to be considered in the equations of
m 0 0 0 mzG myG
motion. As stated in (Antonelli et al., 2008), the eect of the added
0 m 0 mzG 0 mxG mass and inertia can be neglected in industrial robotics since the
0 0 m myG mxG 0 density of the air is much lower than that of the moving mechanical
MRB =
0 mzG myG Ix Iyx Ixz system. However, in an underwater vehicle application, the densities of
mzG 0 mxG Iyx Iy Iyz the water and vehicle are comparable; for example, at 0 C, the density

myG mxG 0 Izx Izy Iz (3) of fresh water is 1002.68 kg/m3 and, of seawater with 3.5% salinity,
1028.48 kg/m3. As a moving body accelerates the uid surrounding it,
the uid exerts a reaction force which is equal in magnitude and
CRB =
opposite in direction. This is the added mass contribution which
0 0 0
0 0 0
consists of the added mass inertia and Coriolis and Centripetal
matrices, MA andCA , respectively. According to the body's symmetry in
0 0 0
m ( yG q + zG r ) m ( yG p + w ) m (z G p v ) XZ-plane, MA can be represented as;
m (x G q w ) m ( yG q + zG r ) m ( yG q + zG r )
Xu 0 Xw 0 Xq 0
m ( yG q + z G r ) m ( yG q + zG r ) m ( yG q + zG r )
0 Yv 0 Yp 0 Yr
m ( yG q + zG r ) m ( yG q + zG r ) m ( yG q + zG r ) Z u 0 Z w 0 Z q 0
m ( yG q + zG r ) m ( yG q + zG r ) m ( yG q + zG r ) MA =
0 Kv 0 K p 0 Kr
m ( yG q + zG r ) m ( yG q + zG r ) m ( yG q + zG r ) Mu 0 Mw 0 Mq 0
0 Iyz q + Ixz p Iz r Iyz q + Ixz p Iz r
0 Nv 0 Np 0 Nr (5)
Iyz q + Ixz p Iz r 0 Iyz q + Ixz p Iz r
Iyz q + Ixz p Iz r Iyz q + Ixz p Iz r 0 (4) The Coriolis and Centripetal matrix, CA is given by;

0 0 0 0 a3 a2

0 0 0 a3 0 a1
3.2. Hydrodynamic forces and moments 0 0 0 a2 a1 0
CA =
0 a3 a2 0 b3 b2

The hydrodynamic terms are composed of the added mass and a3 0 a1 b3 0 b1
a2 a1 0 b2 b1 0 (6)
inertia and damping eects.

61
O. Hassanein et al. Ocean Engineering 127 (2016) 5869

where

a1 = Xu u + Xv v + Xw w + X p p a2 = Yu u + Yv v + Yw w + Yp p + Yq q + Yr r
+ X q q + Xr r
a3 = Z u u + Z v v + Z w w + Z p p a4 = Ku u + Kv v + Kw w + K p p + Kq q
+ Z q q + Zr r + Kr r
a5 = Mu u + Mv v + Mw w a6 = Nu u + Nv v + Nw w + N p p + Nq q
+ M p p + Mq q + Mr r + Nr r

3.2.2. Damping eects

In general, the damping of an underwater vehicle moving in 6-
DOFs at high speed will be highly nonlinear and coupled. Nevertheless,
one rough approximation that could be assumed due to the symmetry
of the vehicle is that terms higher than the second order are negligible
which suggests a diagonal structure with only linear and quadratic
damping terms on the diagonal (Antonelli et al., 2008) as;
Xu + Xu | u| u 0 0 0 0 0

0 Yv + Yv | v| v 0 0 0 0
0 0 Z w + Z w | w| w 0 0 0 Fig. 6. Conguration of coupled dynamics of the AUV.
D (v ) = 0 0 0 Kp + Kp | p| P 0 0

0 0 0 0 Mq + Mq | q| q 0
The HNFN model realises a fuzzy ifthen rule in the following form
0 0 0 0 0 Nr + Nr | r| r
(Osama et al., 2013a, 2013b);
(7)
R(l ) : IF (x1 is F1l and ....................... and xn is FNl ) THEN
M
yj = i =1 wij i (x ) = w1j 1 + w2j 2 + .......... +wjM M (9)
3.2.3. Restoring forces and moments
In hydrodynamics terminology, the gravitational and buoyant where xi and yi are the input and local output variables, respectively, FNl
forces are called restoring forces which act on the CG of the vehicle is the linguistic term of the precondition part with the Gaussian
and have components along the body axes. The z-axis is taken to be membership function, N is the number of input variables, wij is the
positive downwards while the restoring force and moment vector in the link weight of the local output, M is the basis trigonometric function of
body-xed coordinate system is dened as the input variables, M is the number of basis functions and j, the j th
fuzzy rule.
(W B ) sin
Fig. 7 shows the structure of the proposed HNFN identier for each
( W B ) cossin
of the sub-systems. The nodes in layer 3 receive one-dimensional (1-D)
(W B ) coscos
gRB ()= membership degrees of the associated rules from the nodes of a set in
( yG W yB B ) coscos +( z G W zB B ) cossin layer 2. The calculated membership value in layer 2 is;
(zG W zB B ) sin +(xG W zB B ) coscos

(xG W xB B ) cossin( yG W yB B) sin (8) (xi cji )2
Lji(2) = exp 0.5
(ji )2 + (10)
where W = m g is the submerged weight of the body, B = g the
buoyancy, the uid density, the volume of the body and
where cji andji represent the centre and width of the Gaussian member-
g = [ 0 0 9.81]T the acceleration of gravity.
ship for the input variable xi , respectively, and > 0 is a small constant,
The AUV's modelling is constructed based upon the input-output
the purpose of adding this to the fuzzy membership functions is that,
data characterised from the open-loop system results for the mathe-
even if ji 's=0, these functions are still well dened. This modication
matical model described in Osama et al. (2011). As shown in Fig. 4, the
will make the adaptive law simpler because we do not require ji s0.
outputs from the system, y, and identication model Yr | r are fed back
As the network nodes in layer 3 receive the membership degree of the
into the selector switch based on the sampling time of the system
associated rule in layer 2, the output function of each is
identication. The output data is considered as the resulting linear or
angular velocities of the vehicle taking into account the coupling eect N

of the other degrees of freedom in that direction. Lj(3) = Lji(2)

i =1 (11)

3.3. HNFN system identication of AUV where the of each rule represents the ring strength the corre-
Lj(3)
sponding rule..
The conguration of the system identication of the AUV model The input to a node in layer 4 is the output from layer 3 and the
shown in Fig. 6 consists of six systems that include the surge, pitch and other inputs are calculated from the FLNN part presented in Fig. 6.
yaw motions. The rst input to the HNFN model in the surge motion is Therefore, the output from that layer is calculated as
the force required for the thruster, X, to produce the desired forward
M
motion of the AUV corresponding to the desired pose. The second and
Lj(4) = Lj(3) wij i
third inputs represent the coupling eect on this forward motion from i =1 (12)
the yaw and pitch motions. The last input is considered as a combina-
tion of the system or plant and identication model outputs that where wij is the corresponding link weight of the Functional Link
represent the previous state of the model. The output from the HNFN Neural Network (FLNN) and i is the Function Expansion (FE) of the
model is the linear velocity in the x-direction, u.. input variables. The output is in the form of

62
O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Fig. 7. Structure of proposed HNFN identier.

R
j =1 Lj(4)
R M
j =1 Lj(3) (i =1 wij i ) ENTMAX = max ENTj
1 X R (t ) (16)
y (k + 1) = R
= R
j =1 Lj(3) j =1 Lj(3) (13) where R (t ) is the number of existing rules at time t . If ENTMax ENT ,
where R is the number of fuzzy rules and y is the output from the where ENT is a pre-specied threshold, a new rule is generated and
HNFN identier. added to the model, otherwise, the current input-output pair belongs to
As shown in Fig. 7, no computation is performed in layer 1 as each the corresponding cluster. In the structure-generating phase, ENT is an
node in it transmits only input values to the next layer. Each fuzzy set is important parameter as, if it is low, there are fewer rules whereas, if it
described by a Gaussian membership and the output function is; is high, it leads to the learning of ne clusters (i.e., more rules are
generated). Therefore, its selection critically aects modelling accuracy.
R M N
(xi cji )2 When the membership function of a fuzzy set is equal to 0.5 for all j ,
j =1 (i =1 wij i ) i =1 exp 0.5 2
(ji ) + the fuzzy entropy of the fuzzy set attains the maximum. It means that
y (k + 1) = .
(xi cji )
2 the threshold value belongs to the range [0, 0.5].
j =1 i =1 exp 0.5 2
R N

(ji ) +
(14)
where cji and ji represent the centre and width of the Gaussian
membership for the input variable xi , respectively, and > 0 is the
small constant dened earlier. R is the number of fuzzy rules and y is
the output from the HNFN identier.
Following a similar procedure, sway, heave, pitch and yaw fuzzy
models are developed. For sway HNFN modelling, the coupling eects
on the sway direction from the forward and yaw motions are
considered. Similarly, for heave modelling, the coupling eects on the
heave direction from the forward and pitch motions are taken into
account. For pitch and yaw modelling, there is one output for each
HNFN model, the angular velocities in the y-direction, q, and z-
direction, r, respectively.
3.4. Entropy measurement
The entropy measure is used as the criterion for accuracy while
determining the structure and its value between each data point and
each current membership function is calculated to determine whether a
new rule should be added. For each incoming pattern, input-output
pair, a rule's ring strength is considered as the degree to which the
incoming pair belongs to the corresponding cluster. The entropy
measure calculation, which is based on the ring strength of each rule
(Wang and Dong, 2009), is given by
N represented by ve Gaussian membership functions. In the consequent
ENTj = Lij(2) (1 Lij(2) )
i =1
where gmax , as described in Eq. (15), is the ring strength of each rule
and the maximum entropy measure is determined as
3.5. Numerical simulation results
In order to understand and analyse the identication strategy, the
inputs and outputs from the mathematical model of UNSW Canberra
AUV that includes the model of the actuators are used. This mathe-
matical model is simulated using Matlab/Simulink (Osama et al., 2011)
as the baseline model for comparison with the HNFN model. The
hydrodynamic coecients calculated using the CFD analysis are listed
in Table 2.
The inputs in Fig. 8 were applied to the AUV actuators. The HNFN
identication algorithm is used to identify and compare the perfor-
mance of the AUV..
The HFNF identier of coupled 6-DOF of the AUV are developed
based upon the open-loop characteristics of its dynamics captured from
mathematical model. The results of the o-line and on-line HNFN
identier of the AUV are presented in the following paragraphs. The
model is said to be o-line trained if the entire training process is
completed prior to its use. In contrast, an on-line model is progres-
sively trained during its use.
3.5.1. O-line HNFN model
The identication and prediction responses of the HNFN model and
the actual responses of the mathematical model of the linear and
angular velocities of the AUV are shown in Fig. 9. The input is
part, the output is generated by FLNN. The function expansion in
(15)
FLNN uses trigonometric functions. It leads to the weight variables
matrix, w(m xR ), that depends on the number of inputs to the FLNN..
For a 1-D input, [x1], as in Roll model, the enhanced input is obtained

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O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Table 2
Hydrodynamic coefficient of UNSW Canberra AUV model.

Parameter Calculated Unit Parameter Calculated Unit

value value

Xu | u 7.365 kg/m Xu 2.12 kg/s

Xv | v 0.737 kg/m Xv 0.31 kg/s
Xw | w 0.737 kg/m Xw 0.31 kg/s
Xq | q 1.065 kg m/rad Xq 0.51 kg m/s
Xr | r 1.065 kg m/rad Xr 0.51 kg m/s
Yv | v 112.2 kg/m Yv 62.45 kg/s
Yr | r 0.250 kg m/rad Yr 0.12 kg m/s
Z w|w 112.2 kg/m Zw 62.45 kg/s
Zq | q 0.250 kg m/rad Zq 0.12 kg m/s
Kp | p 0.5975 kg m2/rad2 Kp 0.3125 kg m2/s
Mw | w 2.244 kg m/rad Mw 1.2 kg m/s
Mq | q 119.5 kg m2/rad2 Mq 59.75 kg m2/s
Nv | v 2.244 kg m/rad Nv 1.2 kg m/s
Nr | r 59.75 kg m2/rad2 Nr 31.25 kg m2/s
Xu 1.17 kg K p 0 Kg m/rad
Yv 34.834 kg Mw 1.042 Kg m/rad
Yr 1.042 kg m/rad Mq 2.659 Kg m/rad
Z w 34.834 kg Nv 1.042 kg m/rad
Z q 1.042 kg m/rad Nr 2.659 kg m/rad
Surge force,

10
N.m

0 Fig. 9. AUV o-line HNFN model: Linear and Angular velocities.

0 20 40 60 80 100
5
Yaw force, Pitch force,

Table 3
AUV off-line HNFN model RMSE values: Coupled dynamics.
N.m

0
Statistics Linear velocities Angular velocities
-5
0 20 40 60 80 100
u v w p q r
5
N.m

RMSE 0.0024 2.09e04 0.0007 0 0.0204 0.0315

0

-5 3.5.2. On-line HNFN model

0 20 40 60 80 100
Time In the case of on-line identication and prediction, the responses of
the HNFN model and the actual responses of the mathematical model
Fig. 8. Input signal for the AUV. of the linear and rotational velocities of the AUV are plotted in Fig. 11.
The total number of rules used is ve for each HNFN identier. The
using the trigonometric functions in [1, x1, sin(x1), cos(x1)], for a 2-D learning rates used to learn the parameters of the fuzzy system c, w
input [x1, x2], as in pitch and yaw modelling, the trigonometric functions are based on the convergence limit for the identier and the RMSE
are those in [1, x1, sin(x1), cos(x1), x2 , sin(x2 ), cos(x2 ), x1 x2]. These values are tabulated in Table 4 for the linear and angular velocities of
lead to weight variables, x = (x1, .......... ,xn )T U and y R , dimen- the vehicle. The RMSE values indicate that the model of the AUV is
sioned by (4 5) and (8 5), respectively. In sway and heave modelling, captured accurately by the HNFN model...
the input to the FLNN is three, so trigonometric functions is given by Eq. In order to appreciate the robustness of the HNFN model, para-
(17) and the weight matrix is (12 5). In the case of surge model, there meter variations and external noise and disturbance are considered.
are four inputs. The trigonometric functions for that model is given by The model system response is investigated when external noise as
Eq. (18) and weight variables, i = 1, 2, ... ,M , is having the dimension of sensor noise (5%) is applied on all linear and angular velocities on the
(16 5). actual system. In addition, the hydrodynamic coecients are increased
by 25% as added mass variation and the data is utilized to capture the
1, x1, sin(x1), cos(x1), x2 ,
dynamics using HNFN. It can be seen from Table 5 that the model is
sin(x2 ), cos(x2 ), x1 x2 , capable of capturing the dynamics accurately even in the presence of
x3, sin(x3), cos(x3), x1 x2 x3 (17) noisy data and variations in parameters. Numerical simulations with
50% increase in the added mass, Coriolis and Centripetal forces and
1, x1, sin(x1), cos(x1), x2 , damping matrix are presented in Fig. 10 to highlight the robustness of
the on-line HNFN Model.
sin( x2 ), cos( x2 ), x1 x2 ,
x3, sin(x3), cos(x3), x1 x2 x3
x4 , sin(x4 ), cos(x4 ), x1 x2 x3 x4
(18) 4. AUV control system design

A statistical interpretation in terms of RMSE is presented in As the AUV's dynamics have six degrees of freedom, are highly
Table 3. The results from the table indicate that the proposed HNFN nonlinear and time-varying, designing its path controller is a challen-
model is capable of capturing the coupled dynamics of the AUV pretty ging problem. Thus, its controller should be suciently adaptive to
accurately (Fig. 10). enable it to handle variations in the dynamics of the AUV under

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O. Hassanein et al. Ocean Engineering 127 (2016) 5869

1 2
u, m/sec

u, m/sec
0
0 -2
System Output AHNFN Output
System Output HNFN Output 0 20 40 60 80 100
-1 x 10
-3

0 20 40 60 80 100 5

v, m/sec
-3 0
x 10
5 -5
v, m/sec

0 20 40 60 80 100
0 0.05

w, m/sec
-5 0
0 20 40 60 80 100 -0.05
0 20 40 60 80 100
-3
x 10

q, deg/sec
5 5
w, m/sec

0 0

-5 -5
0 20 40 60 80 100
0 20 40 60 80 100
2 5
q, deg/sec

r, deg/sec
1 0
0 -5
0 20 40 60 80 100
0 20 40 60 80 100
Time (Sec)
5
Fig. 11. AUV on-line HNFN model: Linear and Angular velocities.
r, deg/sec

-5 Table 4
0 20 40 60 80 100 AUV on-line HNFN model RMSE and learning rates values: Coupled dynamics.
Time Statistics Linear velocities Angular velocities
Fig. 10. AUV on-line HNFN model with parameter variation: Linear and Angular
u v w p q r
velocities.

RMSE 0.0061 1.22e05 1.38e07 0 3.56e04 1.11e04

dierent manoeuvring regimes and disturbances arising from both w 0.009 0.009 0.009 0.03 0.45 0.1
internal and external sources. c 0.1 0.1 0.1 0.05 0.3 0.05
The AUV's HNFN control is constructed based on the input-output
data and generated according to the SSPM control and identication
scheme. The main tasks of its control system (autopilot) are to guide,
Table 5
control and navigate the AUV through a certain manoeuvre scenario.
AUV on-line HNFN model RMSE values: Robustness.
The sensors include gyros, accelerometers, magnetometers and pres-
sure sensors, and an onboard processor PC104. Statistics RMSE Linear velocities Angular velocities
The conguration of the AUV control system shown in Fig. 12
u v w p q r
consists of three control loops that represent its surge, pitch
and yaw motions. Each controller has two inputs, the error Normal 0.0061 1.22e05 1.38e07 0 3.56e04 1.11e04
and error dierence, while the output from the system Noise 0.0061 4.36e05 1.59e07 0 3.57e04 0.0012
( e (k + 1) = e (k )[1 PT (k ) P (k )] e (k ) 1 PT (k ) P (k ) ) Mass Var. 0.0061 4.34e05 1.59e07 0 3.53e04 0.0012
is the control action required by the thrusters and pumps. Generally,
the depth of an AUV can be maintained by controlling its pitch and
forward motions while directing it to the right and left by controlling its 4.1.1. HNFN control system
yaw angle. Therefore, controlling its surge, pitch and yaw motions are The total number of rules generated is four, with two inputs and
sucient for determining its orientation in three dimensions. The one output, and the selected value of ENT is 0.123. The fuzzy sets of the
simulation results presented in the next section demonstrate the rst input variables are dened as zero (ZZ), small error (SE), medium
benets of the chosen control scheme.. error (ME), and big error (BE). The second input variables are dened
as zero (ZZ), small rate change (SRC), medium rate change (MRC), and
large rate change (LRC).
The generated centres of the adaptive HNFN sets are 0.055, 0.29,
4.1. AUV surge control loop 0.58, and 1.1 for ex (k ) and 0.055, 0.29, 0.58, 1.13 for ex (k ).
The function expansion used in the FLNN for a two-dimensional
For the surge motion, the inputs to the controller are the error,ex input [ex , ex ] is the trigonometric functions
and its error dierence, ex and its output is the force required by the [1, ex , sin(ex ), cos(ex ), ex , sin(ex ), cos(ex ), ex ex ]. Therefore,
thrusters to power the vehicle in a forward motion. the nal output from the HNFN controller is given by;

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O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Measured x

Desired
SURGE Controller
x

Trajectory Desired Pitch AUV

PITCH Controller
Planing Angle DYNAMICS

Desired
YAW Controller
Yaw Angle

Measured Yaw
Angle

Measured Pitch Angle

Fig. 12. Block diagram of AUV control system.

R N M Table 6
l =1 j =1 (e (e (k )) e (e (k ))) (i =1 wij i )
Generated values of surge HNFN control parameters.
u (k ) =

R N
l =1 j =1 (e (e (k )) e (e (k ))) ex(k) ex (k)
(19)
ZZ=0.95 SE=0.9 ME=3.22 BE=5.3
e (k ) e (k ) y
where ij is the number of fuzzy rules and ij
= y ij
= P (k ) the
output of the adaptive HNFN controller.
ZZ=0.05 y1 y2 y3 y4
Table 6 shows the generated values of the HNFN controller SRC=0.29 y2 y3 y4 .y3
parameters. The link weight variables, MRC=0.59 y3 y4 y3 y2
2 2 LRC=0.89 y4 y3 y2 y1
x1j cx1, ji x j2 cx 2, ji
ex (k ) 0.95 0.8 0.95 0.75
yl (x1 (k )) = exp 0.5 ; yjl (x2 (k )) = exp 0.5 ( )2 + ;, of
(x1, ji )2 +
j
x 2, ji ex (k ) 0.136 0.151 0.135 0.132

the HNFN controller are generated by the proposed algorithm in the
range [1,1]. Table 7
Generated values of pitch adaptive HNFN control parameters.

4.2. AUV pitch control loop e (k) e (k)

For the pitch motion, the inputs to the controller are the position D=3 S=0 U=3.2
error, e , and its error dierence, e and its output is the force
required by the up and down pumps to power the AUV in the pitching D=0.035 y1 y2 y3
motion for generating the required pitching moment. S=0.009 y1 y2 y3
U=0.032 y1 y3 y3
e (k ) 1.2 0.9 1.3
4.2.1. HNFN control system
e (k ) 0.009 0.01 0.01
The total number of rules generated is three, with two inputs
and one output, and the selected value of ENT is 0.153. The
fuzzy sets of input variables are dened as down (D), stop (S) Table 8
and up (U) and the functions expansion is Generated values of yaw HNFN control parameters.
[1, e , sin(e ), cos(e ), e , sin(e ), cos(e ), e e ] and its
weight matrix is (8 3). Table 7 shows the generated values of the e (k) e (k)

HNFN controller parameters. L=3.9 S=0 R=3.65

4.3. AUV yaw control loop

L=0.035 y1 y2 y3
S=0.01 y1 y2 y3
Similar to the pitch controller, for the yaw motion, the inputs to its R=0.033 y1 y3 y3
controller are the (e ) position error and its error dierence ( e ), e (k ) 1.48 1 1.39
while its output is the force required by the left and right pumps to e (k ) 0.016 0.01 0.015
power the AUV in the yaw motion (for generating the required yaw
moment).
controller when applied to the 6-DOF coupled AUV mathematical
4.3.1. Adaptive HNFN control system model as the vehicle was subjected to a square motion in XY-plane and
The total number of rules generated is three, with two a straight line in XZ-plane as shown in Fig. 13. It should be noticed that
inputs and one output, and the selected value of ENT is the square motion is a dicult path for an AUV to follow..
0.083. Its fuzzy sets of input variables are dened as left (L), The learning rates w s, for the controller were initially set to 0.05
stop (S) and right (R), and its function expansion is for all HNFN parameters. Then the convergence conditions were
[1, e , sin(e ), cos(e ), e , sin(e ), cos(e ), e e ]. veried at every sampling time. It was found that the 0.1 value was
Table 8 shows the generated values of the HNFN controller parameters. always within the limit of convergence for the antecedent part of the
The HIL simulation results of the proposed adaptive HNFN controller, and was 0.04 for the consequent part. Fig. 14 shows that

66
O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Desired Action AUV Response 5

5
Y Direction, m

2.5

Y Direction, m
0
0
-5
0 100 200 300 400 500 600
-2.5
Z Direction, m

Desired Path
0 PID Controller
HNFN Controller
-5
-50 0 200 400 600 800

-100 Desired Actual

X Direction, m

0 100 200 300 400 500 600

X Direction, m PID Controller
40
HNFN Controller

Pitch error deg

Fig. 13. AUV motion in XYZ plane: HNFN control.
20
20
0
Pitch, deg

10
-20
0 200 400 600 800
0
100
0 100 200 300 400 500 600 700 800
Yaw error, deg 50
100
0
Yaw, deg

0 -50

-100 -100
0 200 400 600 800
0 100 200 300 400 500 600 700 800
Time (Sec) Time (Sec)

Fig. 14. AUV HNFN controller: angles response.

HNFN controller tracked successfully the pitch and yaw angles. The
robustness of the controller is investigated via increasing the hydro-
dynamic coecients parameters by 10% and applying an external noise
as sensor noise and sea currents..
In order to evaluate and validate performance capabilities of the
proposed HNFN controller, a numerical simulation of the HNFN
controller and conventional PID controller with the mathematical
model of the AUV is carried out. Fig. 15-A and Fig. 15-B show the
simulation result of the motion of the AUV in square trajectory in XY
plane, which means the yaw angle control when HNFN and PID are
applied to the AUV mathematical model. In addition, the correspond-
ing angle error between the desired and the actual trajectory in yaw
angle and pitch angle, are also shown. The RMSE values of the pitch
angle error of the system are 4.61 and 0.572 and 10.35 and 5.1 for yaw
angle for PID and HNFN controllers, respectively. Generally, it is clear
that the performance of the AUV with HNFN controller is more
accurate and more eective..
Table 9 shows the RMSE values of the errors in the angles of the
actual response of the HNFN controller. As shown from the RMSE
values, it is clear that the performance of the AUV with HNFN
controller is accurate and acceptable. In addition, the real time
implementation can be carried out due to HIL successful demonstra-
tion.
4.4. Real-time test data collection
The UNSW Canberra AUV is used to validate the identication and
control algorithm. To model its dynamic system, separate real-tests are
conducted exclusively, to excite its corresponding dynamics. Before
actual real-time experiments, the following factors are taken into
consideration;.
Fig. 15. -A The AUV square motion in XY plane with HNFN and PID. B: AUV motion in
XY Z plane: HNFN and PID control and angles error.
Table 9
AUV HNFN control RMSE values: Coupled dynamics.
RMSE Angles
Pitch, , deg Yaw, , deg
Original 0.0592 4.2594
With Parameter Variation 0.0632 5.1872
With noise 0.0893 6.2881
1. The real-time manoeuvre excites the desired dynamics very well, and
2. High quality data with least or acceptable measurement noise is
collected.
These data sets are used for the identication algorithm to generate,
tune and identify. Several experiments were carried out at UNSW
Canberra to collect a range of data for dierent operating conditions.
The swimming pool at UNSW, shallow water branch from Molonglo
River and Gungahlin Lake in Canberra are chosen as test environments
for the AUV to validate the robustness of the proposed algorithm. For
coupled dynamics, a suitable manoeuvre is conducted such that all the
control inputs are used and the coupled dynamics are excited over a
period of time. Fig. 16 shows the real-time manoeuvring of the AUV
during the data collection phase in dierent environments..
The real-time input-output data set collected from swimming pool
test is used in the rst stage of our algorithm to generate a coupled 6-
DOF AUV model. The data sets collected from the other environments
are used in the second stage for tuning the generated model to improve
the accuracy and its generalisation capabilities. Finally, dierent

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O. Hassanein et al. Ocean Engineering 127 (2016) 5869

Fig. 16. UNSW Canberra AUV during experimental test data collection.

Table 10 dynamics while achieving the training within the available training
Real-time AUV modelling RMSE values: Coupled dynamics. time. It can be concluded that the identication model is able to predict
the dynamics in real-time successfully. The blue line represents the
RMSE Linear velocities Angular velocities
identied model and the red line represents the actual measured data.
u v w The RMSE values of the real-time identication results of the
coupled 6-DOF AUV are listed in Table 10. Results indicate that the
HNFN test 0.0017 0.0029 0.0110 0.0157 0.0157 0.0053 model adapts itself with changes in the test regime very well.

batches of the real-time input-output data are used to validate the

identication technique on the ground using HIL before implementa-
tion in real-time test.
4.5. Experimental identication results
Real-time implementation of the proposed adaptive controller is
presented in this section. This implementation is carried out in
dierent environments as previously mentioned. The identication
algorithm was downloaded to the computing unit including PC104. The
identication algorithm is based on HNFN technique. The sensor data
from dierent sensors mounted on the AUV are measured and are
logged in the data logger and the nal results of the predicted model
outputs at each sample time are also logged.
Fig. 16 shows the identication results from the real-time experi-
ment with the HNFN model of the AUV. It can be seen that the HNFN
model generated by the proposed mechanism is able to model the AUV
4.6. AUV model-based control system results
The nal goal of any controller design is to prove its validity in real
conditions with unknown disturbances and the associated diculties
with real time implementation. This is a particularly challenging task
for a complex, nonlinear and time-varying system like an AUV. Real-
time tests are necessary to test the ability of the controller to perform
satisfactorily in the presence of unknown weather conditions and noise
in the system. Several real-time tests of the proposed control system
were conducted over several days in the environment mentioned
previously.
The experimental results are shown in Fig. 17. This test is
conducted in uncontrolled environment, shallow water branch of
Molonglo River. The variations from the commanded value are due
to the wind conditions and a high water stream ow. A dead band of
2.5 around the set point was used while doing the experiments to
avoid vehicle uctuations on the surface. The corresponding pumps

Desired Path AUV Response

1 2
v, m/sec
u, m/sec

0 0

-1 -2
0 20 40 0 20 40
0.5 20
p, deg/sec
w, m/sec

0 0

-0.5 -20
0 20 40 0 20 40
100 50
q, deg/sec

r, deg/sec

0 0

-100 -50
0 20 40 0 20 40
Time (Sec) Time (Sec)
Fig. 17. AUV HNFN identication experimental results: coupled dynamics.

68
O. Hassanein et al.
10
Pitch, deg
0
-15
0 20
UP
Pitch pump
0 -2
DN
0 20
Time (Sec)
Fig. 18. AUV control based HNFN experimental results: Coupled dynamics.
action for pitch and yaw movements are also shown in Fig. 18. It is
clearly seen that the AVU follows the commanded input. The blue line
represents the actual AUV response and the red line represents the
desired trajectory...
5. Concluding remarks
The paper presents the real time implementation of HNFN adaptive
controller. The adaptive controller uses the SSPM architecture for
identication and control. The indirect adaptive controller also uses the
sensitivity as an additional input to the HNFN for improved perfor-
mance. Both the identication and control use only the input output
data to identify the structure of the model, tune the parameters of the
model and make them robust to handle parameter variations using the
DE technique.
Initially, the model is validated using mathematically simulated
data from an existing mathematical model. After this validation, real
time data is used to identify and design the controller. This is validated
using HIL simulation. The results from numerical validation and HIL
indicate that the controller is accurate and real-time implementable
using the available sensors and processing unit. Finally, experimental
validations are carried out to show the ecacy of the proposed
controller in real-time environment. AUV built at UNSW at Canberra
is used for the experimental purposes.
The experimental validation shows that the method is applicable for
non-linear, coupled and time-varying systems. Since, the method is
platform free technique, in future; the algorithm will be implemented
on other AUV platforms as well as other autonomous systems like
Unmanned Aerial Vehicles (UAVs) and Autonomous Ground Vehicles
(AGVs).
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