Modelling design an auv

Modelling, Design and Robust Control of
a Remotely Operated Underwater Vehicle
Regular Paper
Luis Govinda García-Valdovinos1,*
, Tomás Salgado-Jiménez1
, Manuel Bandala-Sánchez1
,
Luciano Nava-Balanzar1
, Rodrigo Hernández-Alvarado1
and José Antonio Cruz-Ledesma1
1 Center for Engineering and Industrial Development-CIDESI, Applied Research Division, Santiago de Queretaro, Qro., Mexico
* Corresponding author E-mail: ggarcia@cidesi.mx
Received 11 Jan 2013; Accepted 04 Jul 2013
DOI: 10.5772/56810
© 2014 The Author(s). Licensee InTech. This is an open access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use,
distribution, and reproduction in any medium, provided the original work is properly cited.
Abstract Underwater remotely operated vehicles (ROVs)
play an important role in a number of shallow and deep-
water missions for marine science, oil and gas extraction,
exploration and salvage. In these applications, the
motions of the ROV are guided either by a human pilot
on a surface support vessel through an umbilical cord
providing power and telemetry, or by an automatic pilot.
In the case of automatic control, ROV state feedback is
provided by acoustic and inertial sensors and this state
information, along with a controller strategy, is used to
perform several tasks such as station-keeping and auto-
immersion/heading, among others. In this paper, the
modelling, design and control of the Kaxan ROV is
presented: i) The complete six degrees of freedom, non
linear hydrodynamic model with its parameters, ii) the
Kaxan hardware/software architecture, iii) numerical
simulations in Matlab/Simulink platform of a model-free
second order sliding mode control along with ocean
currents as disturbances and thruster dynamics, iv) a
virtual environment to visualize the motion of the Kaxan
ROV and v) experimental results of a one degree of
freedom underwater system.
Keywords ROV Control, High Order Sliding Mode
Control, Model-Free, Ocean Currents
1. Introduction
Underwater vehicles, particularly ROVs (Remotely
Operated Vehicles), are controlled from the surface using
a Surface Control Unit (SCU) where the pilot (the user)
makes decisions and controls the vehicle online. One of
the main trends for ROVs is “autonomy” for some
specific tasks, such as position tracking, dynamic
positioning (or station-keeping), auto-heading and auto-
depth control, for instance. Hence, there are two main
challenges associated with ROV control:
1. Parametric uncertainty (as added mass,
hydrodynamic coefficients, etc.). This problem
increases with the modular capability of the
current ROVs (the vehicle's ability to support
diverse tools modules or skids, for instance; a one
or two manipulator skid, a water-jetting tooling
skid, a rotatory brush skid, a pipeline cameras
skid, wire and cable cutter, and rotary disk cutter,
among others).
2. The highly dynamic nature of the underwater
environment, which presents significant
disturbances to the vehicle in the form of
underwater currents and interaction with waves in
shallow water applications, among others.
1Luis Govinda García-Valdovinos, Tomás Salgado-Jiménez, Manuel Bandala-Sánchez, Luciano Nava-Balanzar, Rodrigo Hernández-
Alvarado and José Antonio Cruz-Ledesma: Modelling, Design and Robust Control of a Remotely Operated Underwater Vehicle
ARTICLE
Int J Adv Robot Syst, 2014, 11:1 | doi: 10.5772/56810
International Journal of Advanced Robotic Systems

Figure 1. Kaxan ROV developed at CIDESI
Sliding Mode Control (SMC) effectively addresses the
above-mentioned issues and is therefore a viable choice
for controlling underwater vehicles and model changes,
and uncertainties and disturbances could be
compensated by the sliding control component.
However, it is well known that standard SMC
introduces high frequency signals into the system,
provoking high switching in the actuators that leads to
its deterioration and a decrease in lifetime. In order to
avoid this problem a Model-Free High Order Sliding
Mode Control (MF-HOSMC) is proposed in this paper.
The MF-HOSMC principal characteristics are that it
keeps the main advantages of the standard SMC, thus
removing the chattering effects.
Simulation results reveal the effectiveness of the
proposed controller on a nonlinear six degrees of freedom
(DOF) ROV, wherein only four DOF (x, y, z, ) are
actuated and the rest of them are considered intrinsically
stable. The control system is tested under ocean currents,
which abruptly change its direction. Matlab-Simulink,
with Runge-Kutta ODE45 and variable step, was used to
perform the simulations. Real parameters of the Kaxan
ROV, currently under construction at CIDESI, Mexico,
were taken into account for the simulations. Figure 1
depicts an image of the Kaxan ROV.
1.1 Summary on ROVs control
In this section an analysis of the state of the art is
presented. This study aims to review ROV control
strategies ranging from position trajectory to station-
keeping control, which are two of the main problems to
be dealt with. There are a great number of works in the
international literature related to several control
approaches such as PID-like control, standard sliding
mode control and fuzzy control, among others. A review
of the most relevant works is given in the following
section.
1.1.1 Visual servoing control
Some approaches use vision-based control [1-4]. This
strategy uses landmarks or seabed images to determine
the ROV's actual position and to keep it or to follow a
specific visual trajectory. Nevertheless, the underwater
environment is a dark place and it is therefore not
practical to apply either vision-based position tracking or
station-keeping control.
1.1.2 Intelligent control
Intelligent control techniques such as Fuzzy, Neural
Networks or the combined Neuro-Fuzzy control have
been proposed for underwater vehicle control. Some
examples can be found in [5-7]. Intelligent controllers
have proven to be a good control option, however,
normally they require a long process of parameter tuning
and they are normally used in experimental vehicles,
although industrial vehicles are still an opportunity area
for these control techniques.
1.1.3 PID Control
Despite the extensive range of controllers for underwater
robots, in practice most industrial underwater robots use
Proportional Derivative (PD) or Proportional Integral
Derivative (PID) controllers [8, 10], thanks to their simple
structure and effectiveness under specific conditions.
Normally PID-like controllers have a good performance;
however, they do not take into account system
nonlinearities that eventually may deteriorate a system's
performance or even lead to instability.
Work [11] presents a linear controller sequence (P and
PI techniques) to govern position and vehicle
velocity . Experimental results with the THETIS
(UROV) are shown. Work [12] proposes a linearizing
control plus a PID technique for depth and heading
station keeping. Since the linearizing technique needs
the vehicle's model, the robot parameters have to be
identified. Simulation and swimming pool tests show
that the control is able to provide reasonable depth
and heading station keeping control. An adaptive
control law for underwater vehicles is exposed in [13,
14]. The control law is a PD action plus a suitable
adaptive compensation action. The compensation
element takes into account the hydrodynamic effects
that affect the tracking performance. The control
approach was tested in real-time and in a simulation
using the ODIN vehicle and its six DOF mathematical
model. The control shows asymptotic tracking of the
motion trajectory without requiring current
measurements and a priori exact system dynamics
knowledge. Self-tuning autopilots are suggested in
[15], wherein two schemes are presented: the first one
is an implicit linear quadratic online self-tuning
controller and the other one uses a robust control law
based on a first-order approximation of the open-loop
dynamics and online recursive identification.
Controller performance is evaluated by simulation.
2 Int J Adv Robot Syst, 2014, 11:1 | doi: 10.5772/56810

1.1.4 Model-based control (Linearizing control)
Other alternatives to counteract underwater control
problems include the model-based approach. This control
strategy considers the system nonlinearities. It is
important to notice that the system's mathematical model
is needed as well as an exact knowledge of robot
parameters. Calculation and programming of a full
nonlinear six DOF dynamic model is time consuming and
cumbersome. In [16] a preliminary experimental
evaluation of a family of model-based trajectory-tracking
controllers for a fully actuated underwater vehicle is
reported. The first experiments were a comparison of the
PD controller versus fixed model-based controllers: the
Exact Linearizing Model-Based (ELMB) and the Non
Linear Model-Based (NLMB) while tracking a sinusoidal
trajectory. The second experiments were followed by a
comparison of the adaptive controllers: the Adaptive
Exact Linearizing Model-based controller and the
Adaptive non-Linear Model-based controller versus the
fixed model-based controllers ELMB and NLMB, tracking
the same trajectory. The experiments corroborate that the
Fixed Model-based controllers outperformed the PD
Controller. The NLMB controller outperforms the ELMB.
The Adaptive Model-based controllers all provide more
accurate trajectory trackers than the fixed model-based
controllers. However, notice that in order to implement
such model-based controllers, the vehicle's dynamics are
required and in some cases an exact knowledge of the
parameters is also required, which is difficult to achieve
in practice. In [17], a comparison between six controllers
is performed, four of which are model-based types; the
others are non model-based and Jacobian-transpose-based.
Numerical simulations using the six DOF mathematical
model of the underwater robot ODIN are carried out. The
paper concludes that the controllers’ effort is very similar;
however the model-based approaches have better
behaviour. In [18], real-time experiments were conducted
at the Monterey Bay Aquarium Research Institute (MBARI)
using the OTTER vehicle. The control strategy was a
model-based linearizing control. Additionally, interaction
forces acting on the vehicle due to the arm motion were
predicted and fed into the vehicle's controller. Using this
method, the station-keeping capability was greatly
enhanced. Finally, another exact linearizing model-based
control has been used in [19].
1.1.5 First order sliding mode control (SMC)
Next some relevant works that use SMC are described.
[20] used a sliding mode control for the combined
steering, diving and speed control. A series of simulations
in the NPS-AUV six DOF mathematical model were
conducted. [21] proposes a new Disturbance
Compensation Controller (DCC), employing on board
vehicles sensors that allow the robot to learn and estimate
the seaway dynamics. The estimator is based on a
Kalman filter and the control law is a first order sliding
mode, which induces harmful high frequency signals on
the actuators. [22] shows some control techniques tested
in the PHANTON 500S simulator. The control laws are:
conventional PID, state feedback linearization and first
order sliding modes control. The author presented a
comparative analysis wherein the sliding mode has the
best performance, at the expense of high switching on the
actuators. The work [10] also proposes a dynamic
positioning system for an ROV based on a mechanical
passive arm, as a measurement system. This
measurement system was selected from a group of
candidate systems, including long baseline, short baseline
and inertial systems, among others. The selection was
based on several criteria: precision, construction cost and
operational facilities. The position control laws were a
conventional P-PI linear control. Last, the other position
control law was the variable structure model-reference
adaptive control (VS-MRAC). Finally, in [23] a model-
based adaptive fuzzy sliding mode controller is reported.
1.1.6 Adaptive first order sliding mode control (ASMC)
SMCs have a good performance when the controller is
well tuned, however if the robot changes its mass or its
centre of mass, for instance, because of the addition of a
new arm or a tool, the system dynamics change and the
control performance may be affected. Similarly, if a
change in the underwater disturbances occurs (current
direction, for instance), new tuning should be carried out.
In order to reduce chattering problems, ASMC have been
proposed. These controllers are an excellent alternative to
counteract changes in the system dynamics and
environment. Nevertheless, design and tuning times
could be longer and in some cases a robot model is
required. In [25], an adaptive control scheme for dynamic
positioning of ROVs, based on a variable structure control
(first order sliding mode), is proposed. This sliding mode
technique is compared with a P-PI controller. Their
performances are evaluated by simulation and in pool
tests, proving that the sliding mode approach gives a
better result.
[26] describes an SMC for remotely operated vehicles to
perform a depth task. The SMC is enhanced by an
adaptive fuzzy algorithm for uncertainties/disturbances
compensation. Numerical simulations in one DOF
(depth) are presented to show the control performance.
This SMC also uses the vehicle-estimated model.
[27] proposes the fusion of a sliding mode controller and
an adaptive fuzzy system. The main advantage of this
methodology is that it relaxes the required exact
knowledge of the vehicle's model, due to parameter
uncertainties that are compensated by the fuzzy part. A
comparative study between the PI controller, the classic
sliding mode controller and the adaptive fuzzy sliding

mode is carried out. Experimental results demonstrate a
good performance by the proposed controller. The
authors of [28] combine sliding mode control with fuzzy
logic control. The combination objective is to reduce
chattering effect due to model parameter uncertainties
and unknown perturbations. Two control approaches are
tested: a Fuzzy Sliding Mode Controller (FSMC) and a
Sliding Mode Fuzzy Controller (SMFC). The FSMC uses
simple fuzzy logic control to fuzzify the relationship of
the control command and the distance between the actual
state and the sliding surface. On the other hand, for the
FSMC each rule is a sliding mode controller. The
boundary layer and the coefficients of the sliding surface
become the coefficients of the rule output function. Open
water experiments were conducted to test an AUV's
depth and heading controls. Better behaviour was
detected in the SMFC. Finally, an adaptive first order
sliding mode control for an AUV for a diving manoeuvre
is implemented in [29]. This control technique combines
the adaptivity of a direct adaptive control algorithm with
the robustness of a sliding mode controller.
1.1.7 Thruster Dynamics
Thruster dynamics have large influence on ROVs’
behaviour and is a well-studied phenomenon. Numerous
works have been conducted concerning the thruster
dynamics influences on robot control. Examples can be
found in [33-35].
1.1.8 Model-Free High Order Sliding
Mode Control (MF-HOSMC)
Sliding Mode (SM) techniques are an excellent choice for
underwater system control, due to their robustness in the
face of model changes, uncertainties and disturbances.
Nevertheless, standard SM introduces high frequency
signals into the system (chattering effect).
In order to avoid the chattering problem and the need for
knowing the dynamics, a new methodology called a
Model-Free High Order Sliding Mode Control (MF-
HOSMC) is proposed in [30]. MF-HOSMC’s principal
characteristic is that it keeps the main advantages of the
standard SMC, while removing the chattering effects [31].
The MF-HOSMC’s principal characteristics are that it
keeps the main advantages of the standard SMC, thus
removing the chattering effects. The proposed controller
exhibits very interesting features, such as:
i. A model-free controller because it neither requires
the dynamics nor any knowledge of parameters,
ii. It is a smooth, but robust control, based on second
order sliding modes, that is, a chattering-free
controller is attained.
iii. The control system attains exponential position
tracking and velocity, with no acceleration
measurements.
The methodology proposed in this paper was firstly
reported in [30], where a second order sliding-PD control
was proposed to address the station keeping problem and
trajectory tracking under disturbances.
1.2 Contribution
A great number of control strategies have been published
in the last few decades, ranging from PID-types to neuro-
fuzzy controllers. In this paper, a new model-free second
order sliding mode controller is proposed. The good
performance of the controller is verified through
simulations of an underactuated six DOF underwater
vehicle and validated experimentally in a one DOF
underwater vehicle.
Additionally, the design and complete set of parameters
of the Kaxan ROV are presented.
1.3 Organization of the paper
The paper is organized as follows. Section II describes the
main parts of the Kaxan ROV and its dynamic model.
Section III presents the control design. Section IV is aimed
at presenting the stability analysis of the control system.
Section V presents simulation results of the complete six
DOF Kaxan’s dynamic model and Section VI describes
the experimental results of a one DOF underwater
system, which reveals the excellent behaviour of the
proposed control law.
2. The Kaxan ROV
2.1 The Kaxan ROV development
This section describes the development of the shallow
water Kaxan ROV.
The ROV was named Kaxan (which in Mexican Mayan
dialect means “the seeker”). The main project objective is
to develop a basic visual inspection of hydroelectric dams
and oil platforms.
Figure 2 shows different views of the Kaxan ROV
prototype. Kaxan’s main characteristics are:
• Weight: 90kg (approximately).
• Dimensions: length 1.1m height 0.65m width
0.9m.
• Maximum operation depth: 120m.
• Main sensors: depth sensor, gyros, inclinometer and
compass.
• Four thrusters: one vertical, one lateral and two at
the rear.
• Two underwater lamps.
• One camera on the front.
• One Electric robot manipulator, for sample pickup.
(maximum sample weight: 5kg).

(a)
(b)
(c)
Figure 2. Kaxan’s CAD: (a) lateral view. (b) rear view. (c) top view.
In the following subsection the main ROV’s subsystems
are described.
2.1.1 Mechanical design
The ROV’s elements and subsystems were designed
using SolidworksTM. Using CAD software, some
hydrostatic robot parameters were determined (weight,
buoyancy, gravity centre, buoyancy center and meta-
centric height [32, 38]). Critical elements, for instance the
electronic container, were analysed using AnsysTM. The
objective of the analysis was to evaluate the ROV’s
behaviour under the 120m water column
Figure 3. Electronics container CAD
Figure 3 shows the electronic components CAD assembly
including sensors, an electronics board etc., that are
located inside the electronics container.
2.1.2 Vision system
The vision system is composed of: one underwater
camera (LED Seacam 2650 from Deepsea Power & Light,
Inc), two underwater lamps (UWL-300, 24 Volts, 35
Watts, from Outland Technologies, Inc) and two
underwater laser LED (Divers Laser Pointer from Beta
Electronics, Inc).
Using vision plus laser techniques, future work will
provide Kaxan with three vision tools: distance
measurement, object recognition and object
measurement.
2.1.3 Electronics architecture
The ROV’s electronic architecture is fitted with two
computers (PC). The first one is located at the surface and
the second one in the ROV’s electronic container (Figure
3). The computers communicate by Ethernet protocol
using one single mode fibre optic and fibre optic
multiplexers.
The surface PC is connected to a monitor where the user
sees the images taken by the underwater camera and
other ROV’s sensors. The user controls the ROV using
one joystick. The ROV’s PC is an industrial computer
whose main functions are to control the thruster and the
underwater arm, and to read and process the sensor
signal. These tasks are performed using two DAQs (Data
Acquisition Cards) from National Instruments (NI).
The ROVs power is supplied by a DC source located at
the surface; the ROV is plugged to this source through an
umbilical cable (model FM022702-5 from Falmat, Inc).
The ROV has DC-DC converters in the electronics
container to adapt the voltage levels to the different
electronic devices and subsystems. In Figure 4 it is
possible to see a block diagram of the electronics.
The electronic architecture is monitored and controlled by
a program developed in LabVIEW from NI. Figure 5
shows the system GUI (Graphical User Interface). This
GUI displays the ROV’s depth, the three-axis inclination,
the thruster status (% of activity) and the underwater
camera images [39]. Additionally, the electronics
container’s variables are shown, such as: container
humidity level, power electronic temperature, system
voltage and current.
It is important to mention that commercial ROVs use
microcontrollers or similar devices to perform
underwater tasks. These electronics boards allow the

robots to have high speed computation. However, it is
hard to implement additional functions:
• Vision tools: object measurement, distance
measurement, etc.
• Advanced control tools: station keeping and new
control alternatives, such as the controller proposed
here.
2.1.4 ROV Control
The control functions that the ROV will have are heading
and depth control. However, for some applications it will
be desired that the ROV has a station keeping function
(the vehicle’s ability to maintain the same position and
orientation at all times even under disturbances). This
ability is hard to implement in a relatively small size ROV
and in order to test some station keeping control
techniques, an ROV simulator in Matlab/Simulink was
developed (described below). Many control strategies
were tested in the simulator, the most innovative control
technique was the Model-free High Order Sliding Mode
Control (MF-HOSMC).
Figure 4. Electronics architecture
Figure 5. System GUI (Graphical User Interface)
2.2 Kaxan hydrodynamic model
Following standard practice [32], a six DOF nonlinear
model of an underwater vehicle was obtained by using
the global reference of an Earth-fixed frame and a Body-
fixed frame, see Figure 6. The Body-fixed frame is
attached to the vehicle. Its origin is normally at the centre
of gravity. The motion of the Body-fixed frame is
described relative to the Earth-fixed frame.
Figure 6. Frame coordinates of an underwater vehicle
The notation defined by SNAME (Society of Naval
Architects and Marine Engineers) established that: the
Body-fixed frame has components of motion given by the
linear velocities vector and angular velocities
vector , [38, 40]. The general velocity vector is
represented as:
(1)
where , and are, respectively, components of the
linear velocity in surge, sway and heave directions and ,
and are, respectively, components of the angular
velocity in roll, pitch and yaw. On the other hand, the
position vector  and orientation vector 
coordinates expressed in the Earth-fixed frame are:
(2)
where x, y and z represent the Cartesian position in the
Earth-fixed frame and represents the roll angle, the
pitch angle and the yaw angle.
2.2.1 Kinematic model
Linear and angular velocities between Body-fixed and Earth-
fixed coordinate systems are expressed as follows [32, 41]:
(3)

where ��
is the rotation matrix that gives the
components of the linear velocity �� in the Earth-fixed
frame and ��
is the matrix that relates angular
velocity �� with the vehicle's attitude in the global
reference frame.
Remark 1. Well-posed Jacobian. The transformation (3) is
ill-posed when � � ��. To overcome this singularity, a
quaternion approach might be considered. However, the
vehicle is not required to be operated at � � ��. In
addition, the ROV is completely stable in roll and pitch
coordinates.
2.2.2 Hydrodynamic model
The equations of motion expressed in the Body-fixed
frame are given as follows [32, 41-42]:
�� (4)
��
where � � ��
and  � ��
were defined above, � � ��
denotes the inertia matrix (including added mass),
� � ��
is the matrix of Corilolis and centripetal terms
(including added mass), � � ��
is the damping matrix,
� � ��
represents the vector of gravitational forces and
� � ��
is the vector of the control inputs.
The dynamic model (4) can be expressed in the Earth-
fixed frame by applying the following kinematic
transformations (assuming that �� is non-singular) [32,
40]:
�� ⇔ � � �� (5)
η = � ( )vη + ��( )vη ⇔ ��
[( )η η − �� ]( )vη (6)
to eliminate � and �� from (4). After some manipulation,
the Earth-fixed representation arises [32, 42]:
�� (7)
with:
��
��
��
��
�� (8)
2.2.3 Thruster dynamics
The Kaxan robot is fitted with four DC brushless
thrusters located in the following manner: ��and ��
located at the rear, �� laterally and �� on the top
(see Figure 7). The four thrusters are from Tecnadyne Inc.
with a speed variation using �� control voltage. �� and ��
are model 520 and �� and �� are model 540.
Figure. 7. Geometric location of Kaxan robot thrusters
The thruster dynamics are included in our ROV simulator
using the thruster response curves (Control Voltage vs.
Thrust) provided by the manufacturer (see curves for
model 520 and 540 in Figure 8 and Figure 9, respectively).
The thruster curve responses were approximated by 8th
and 12th grade polynomials, captured with a high fidelity
dead zone. Saturation is also considered in the
approximated thruster dynamics.
Figure 8. 520 thruster response curve (Control Voltage vs. Thrust)
Figure 9. 540 thruster response curve (Control Voltage vs. Thrust)
F1
F2
F4
F3
z
y
x
Gravity
Center

The thruster dynamics model receives as input, in voltage
units, the control signal computed in the Earth-fixed
frame (�� as will be seen below). The thruster model
transforms this voltage into thrust and then it is applied
to the ROV’s dynamics, as depicted in Figure 10. This
approach does not capture the thruster transient
response; it’s only valid when the ROV moves at a
constant velocity, with no abrupt velocity changes.
2.2.4 Ocean currents
Some factors that generate currents are tide, local wind,
nonlinear waves, ocean circulation, density difference,
etc. It's not the objective of this work to carry out an in
depth study of this phenomena, but only to study the
current-induced model proposed by [32, 42]. This
methodology proposes that the equations of motion can
be represented in terms of relative velocity:
�� (9)
where �� 0 0 0��
is a vector of
irrotational Body-fixed current velocities. From (3), it was
shown that Earth-fixed linear velocity can be transformed
to Body-fixed linear velocity by applying principal
rotation matrices. Let the Earth-fixed current velocity
vector be denoted by ��
�
��
�
��
��. Hence, Body-fixed
components can be computed as follows:
�
��
��
��
� � ��
��
��
�
��
�
��
�
� (10)
Let’s assume that the Body-fixed current velocity is
constant or at least slowly-varying such that the
following holds:
�� 0 � ��
Hence, the nonlinear relative equations of motion (4) take
the form [32, 42]:
��
The Earth-fixed fluid velocity components ��
�
, ��
�
, ��
�
�
can be ralated to �� (the average current velocity over the
draft of the vehicle) by defining two angles: �� (angle of
attack) and �� (sideslip angle), describing the orientation
of �� about the � � and � � ��, respectively, as shown
below:
��
�
� �� ,
��
�
� ��
��
�
� �� (11)
3. Control Design
Since Equation (7) is linearly parametrizable by the
product of a regressor ��, ��, ��
composed of
known nonlinear functions and a vector � � ��
composed of constant parameters, then the
parameterization ��, ��, �� can be written in terms of a
nominal reference �� and its time derivative �� as
follows:
�� , �� , �� , ��, ��, ��
(12)
Subtracting (12) in both sides of Equation (7) leads to the
open-loop error dynamics:
�� , �� , �� , ��, ��, �� (13)
where �� is called the extended error. The
problem of control design for the open-loop error
dynamics (13) is to find � such that exponential
convergence arises when ��, ��, ��, �� is not available.
2.3 Nominal reference
Now, consider the following nominal reference:
��
�
�
(14)
where �� represents the position tracking error,
�� denotes the desired trajectory, � and �� are diagonal
positive definite � � � gain matrices, �� stands
for the entry wise signum function of vector � and:
� � �� , ��
, �� (15)
with � � 0. Considering (14), the extended error �� can be
rewritten as follows:
��
�
�
(16)
The main result is given next.
4. Model-Free High Order Sliding Mode Control
Let’s consider the following control law [30, 36]:
�� (17)
where �� is a diagonal definite positive � � � gain matrix.
Notice that the control neither requires the dynamics nor
any knowledge of robot parameters. Figure 10 depicts the
MF-HOSMC block diagram.

Figure 10. Block diagram of the MF-HOSMC control scheme
4.1 Stability Analysis
Theorem. Consider control law (17) in a closed-loop with
system (13), which yields:
��
�� (18)
Exponential tracking is guaranteed if �� and �� are large
enough for a small initial error condition.
Proof. The stability proof has been divided into two
subsections for better comprehension.
Part I. Boundedness of the closed loop trajectories. Let’s
consider the following Lyapunov candidate function:
� �
1
2
��
�
��
whose time derivative yields:
��
�
��
�
��
�
��
�
��
�
�
��
�
��
� ��
�
��
�
��
� ��
�
�� ‖��‖‖��‖
� ��
�
�� ‖��‖�� (19)
where arguments have been omitted for the sake of
simplicity and it has been used the skew symmetric property
of ��
�� 2�� 0� ��
� � � 0 and the
norm of �� has been substituted by an upper bound
defined by a state-dependent function ��. It can be
proven that �� is upper bounded [36], since both
desired trajectories and submarine dynamics are
bounded (there exists upper bounds for
�� ). Then, if �� is large enough and the
initial error is small enough, one concludes the negative
definiteness of (19) outside of the small ball
�� 0� centered at the origin �� 0. This
boundedness in the �� sense leads to the existence of the
constant �� 0 such that:
‖��‖ � �� (20)
So far, it has only been proven that tracking errors remain
stable with all the closed loop signals bounded. In order
to prove convergence, it is necessary to assure that a
sliding mode is induced for all time on ��.
Part II. Existence of second order sliding mode. Consider the
following second order dynamical system defined by the
time derivative of Equation (16) as follows:
�� (21)
Now, multiplying (21) by ��
�
one obtains:
��
�
��
�
��
�
��
� ��
�
� � ��
�
�|��|
� ��
�
��
� ��
�
� (22)
where (20) has been used and � � �� . Thus, the
sliding mode condition is achieved if �� such
that � � 0 guarantees the sliding mode at �� 0 at
��
��
�
. Notice that for any initial condition �� 0,
then �� 0 , which implies that the sliding mode is
enforced for all time and therefore:
�� (23)
which implies that the tracking errors tend to zero
exponentially, that is, � � �� and �� as � � �.
Remark 2. Vanishing function �� makes �� 0� � ��
0 at � � 0. At this point it is important to highlight that ��
is aimed at improving the transient response, since
��0��
serves as an input of �� in (23). Notice that
�� is not necessary for the stability nor for the
boundedness of the signals in the controller. If it were not
used, �� would become � and would be bounded for all
time. At � � ��, one would have �� 0, so that
��, �� would tend to zero anyway [37].
Remark 3. The �� vector comprises the thruster forces
and moments applied to the vehicle. In this case, the
Kaxan robot is fitted with four thrusters distributed as
described in Figure 7. �� and �� propel the vehicle in the �
direction and generate the turn in � when �� , ��
propels the vehicle sideways and �� allows the vehicle to
move up and down. Then the control signal �� must be
multiplied by a � matrix comprising forces and moments
according to the force application point with respect to
the centre of mass (see Figure 7 for more details) [30].

��
�
�
�
�
�
�
�
�
�
�
�
��
�
�
�
�
�
�
�
�
�
�
�
�
��
��
��
��
��
��
�
�
�
�
�
(24)
Rewriting (24) gives rise to:
��
�
�
�
�
�
�
�
�
�
�
�
��
�
�
�
�
�
�
�
�
�
�
�
�
1
0
0
0
��
��
1
0
0
0
��
��
0
1
0
��
0
��
0
0
1
��
��
0 �
�
�
�
�
�
��
��
�
��
��
��
��
� (25)
where ��, �� and �� represent the distances between the
force application point and the centre of mass, �
corresponds to the thruster (rear left-F1, rear right-F2,
sideways-F3 or vertical-F4). These distances are defined
in Table 4 Thruster location.
Remark 4. Since the controller (17) is computed in the
Earth-fixed frame it is necessary to map it into the Body-
fixed frame by means of the transpose Jacobian (3) as
follows:
� � ��
�� (26)
In addition, (26) is subsequently transformed by the
thruster dynamics into a readable lecture for the ROV
dynamics.
5. Simulation results
The performance of the proposed controller is verified
through simulations of a six DOF underwater vehicle (4),
where only four DOF are actuated, that is ��, �, �, ��.
Evidently, � and � are not actuated, though these are
bounded (stable). In order to prove the performance of
the controller the robot is requested to follow a desired
position trajectory with a desired velocity profile, while
ocean currents act on the vehicle, changing its direction
abruptly. Matlab-Simulink was used to perform the
simulations with ODE Runge-Kutta 45, variable step.
Kaxan’s parameters and hydrodynamic model are given
in Appendix A and B, respectively.
5.1 Virtual environment
In order to give more realism to the simulation, a 3D
virtual reality environment was developed. In general,
virtual reality provides the visualization of 3D systems,
making the analysis from any angle easier.
Figure 11. Trajectory in the virtual environment
The software developed on MATLAB/Simulink has
useful tools for virtual reality programming, like Virtual
Reality Toolbox and V-Realm Builder (a library
specialized on 3D Model edition). These instruments
allow the edition of VRML (Virtual Reality Modelling
Language) files. The V-Realm Builder not only offers the
graphic representation of a 3D scenario and interactive
tools for graphics elements, it also has a flowchart, in
which the elements are displayed. The versatility of the
V-Realm Builder allows the simulation of dynamic
systems on a 3D scene of virtual reality created on
standard VRML97 programming language as well as the
production of 3D worlds.. Figure 11 depicts a top view of
the virtual environment.
5.2 Controller gains
Feedback gains for the MF-HOSMC controller are set as
follows: �� 00��, � � ��, �� 0�1��, � � �.
5.3 Ocean current parameters
At the beginning the current flows north and after
20 seconds it suddenly changes to east. The average
current is �� 1�1 ��. According to (10) and (11) one has
the following:
5.3.1 North
When flowing to the north, the parameters are the
following: �� 0 �� and �� 0 �� .
5.3.2 East
When the current flows to the east, the parameters are the
following: �� 0 ��
�
�
��
5.4 Definition of the task
The trajectory is performed in two stages:
5.4.1 Straight line
The robot follows a straight line from position
��, �, �, �, �, �� 0,0,0,0,0,0� ��, �� to final position
��, �, �, �, �, �� 2,0,0,0,0, ��2� ��, �� in a lapse of 5
seconds.

5.4.2 Spiral
After 5 seconds, from � � � to � � ��, the robot follows
a spiral at a rate of �� , with radius � � ��, centred
at ��, �� 0,0��, at velocity � � 0��, which
means that one spiral is carried out in a period of
� � �0��. The run lasts 45 seconds in total.
Regarding ocean current, from � � 0�� to � � �0��the
ocean current flows to the north (��, eq. (11)). From
� � �0�� to � � ��the ocean current unexpectedly
changes its direction to the east (��, eq. (11)).
The behaviour can be observed in Figures 12-18. Figure
12 depicts the trajectory in 3D that the Kaxan robot
follows.
Figure 12. 3D position tracking view
Figures 13 and 14 show the system behaviour related to
the Earth-fixed frame. In general, good position tracking
can be observed in the coordinates��, �, �, ��. Notice that
although coordinates ��, �� are not actuated, these remain
stable despite ocean currents. A perturbation can be
observed at � � �0�� in subsequent pictures when the
ocean current in the north direction turns off and
suddenly turns on in an east direction.
Figure 13. Position tracking in Earth-fixed frame
Figure 14. Behaviour of angular position. Notice that � and �
remain stable despite abrupt changing of the ocean current
direction.
Figures 15 and 16 depict the linear and angular velocities
related to the Body-fixed frame.
Figure 15. Linear velocity in Body-fixed frame
Figure 16. Angular velocity in Body-fixed frame
Control input signals can be viewed in Figures 17 and 18.
These are bounded according to the real technical
specifications of each thruster of Kaxan.

Figure 17. Control input in direction and direction
Figure 18. Control input in and direction
6. Control validation in a 1 dof underwater system
The proposed controller was verified in real-time in a one
DOF underwater system, as shown in Figure 19. Unlike
[27, 43], experiments were carried out on a one DOF
underwater system since it represents the minimum
system that preserves the main characteristics of an
underwater system. The experimental setup consists of
three parts described as follows.
(a) (b)
Figure 19. (a) Close up, (b) 1 DOF underwater system
6.1 Mechanical system
The one DOF underwater system is fitted with one
thruster from Tecnadyne Inc. model 520, with speed
variation using +/-5 control voltage. The mechanical
elements are: a base where the thruster is fixed and two
vertical metal bars intended to constrain the thruster to
move only in the z direction (depth). The mechanical
structure is submerged in a water container with the
following dimensions: height 0.9m and diameter 0.54m.
The thruster has a movement range of 0.4m.
6.2 Electronics and firmware
The control software was developed in LabVIEW
platform from National Instruments. One optical encoder
was used as a depth sensor. Because the encoder is not
water-proof, it was coupled to the thruster base by using
a rope and pulleys. An FPGA card calculates the system
depth by counting the pulses from the optical encoder.
The PC and the FPGA are interconnected between each
other by RS-232 protocol. The control input signal is
computed in the PC and its results are sent to the thruster
through a USB-6211 data acquisition card. Low power
signals are isolated from high power by means of an
isolate card provided by Tecnadyne Inc. The thruster is
supplied with a 150 VDC power source and the rest of the
electronics are plugged in to 12 VDC. Figure 20 shows the
complete system’s block diagram.
Figure 20. System block diagram
6.3 Task definition
The underwater system was requested to follow a sine wave
desired trajectory; the frequency was 0.1Hz, with a bias of
0.22m (depth) and amplitude of 0.15m. The experiment
lasted 50 seconds and the sampling time was 10ms.
6.4 Discussion
In Figures 21 and 22 one can see the position tracking (z
vs. zd) and control signal behaviour of the sine wave
trajectory. Finally, Figure 23 presents the trajectory
tracking error.

Figure 21. Tracking performance z vs. zd
Figure 22. Control input behaviour
Figure 23. Position tracking error
It is worth mentioning that the controller was subject to
disturbances of a different nature: thruster cable effect,
positive buoyancy, the system generates turbulences, the
system perturbs itself, the system presents friction
between the thruster base and the two vertical metal bars.
Despite the above mentioned drawbacks, the controller
presented excellent behaviour.
7. Conclusions
A simple yet straightforward approach based on second
order sliding mode control for nonlinear underwater
vehicles has been synthesized here. The proposed scheme
accomplishes position tracking without acceleration
measurements, nor robot dynamics, nor parameters
knowledge, under ocean currents in different directions.
Exponential convergence of position and velocity,
without overshooting, is ensured. The controller
performance was evaluated by means of numerical
simulations and real-time experiments with a six DOF
Kaxan ROV dynamics and in a one DOF physical system.
Firstly, the complete nonlinear hydrodynamic model of
six DOF was used, wherein only four DOF were actuated.
Secondly, a one DOF underwater system was developed
to validate in real-time the proposed controller. Both,
simulations and experimental results reveal the excellent
performance of the proposed controller.
Finally, some relevant aspects about the Kaxan ROV
design and construction are given.
8. Acknowledgments
Luis Garcia-Valdovinos and Manuel Bandala acknowledge
support from CONACYT project number 61499. The
other authors thank CONACYT scholarship supports.
9. References
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Appendix A - Kaxan parameters
ROV parameters used for the simulation are shown in
Tables 1-5.
��
�� |�| � � ��
��
�� |�| � � ��
��
�� |�| � � ��
��
�� |�| � � ��
��
�� |�| � � ��
��
�� |�| � � ��
Table 1. Hydrodynamic parameters
��
��
��
��
��
Table 2. Moments of inertia
Centre of gravity Centre of buoyancy
��
��
��
Table 3. Centre of gravity and centre of buoyancy.
Rear left (F1) Rear right (F2)
��
��
��
Sideways (F3) Vertical (F4)
��
��
��
Table 4. Thrusters location
� � ��
� � ��
� � ��
Table 5. Kaxan robot parameters
Appendix B - Kaxan hydrodynamic model
A. Matrix M
 
 
 
 
 =
 
 
 
  






0 00 0 0
0 00 0 0
0 00 0 0
0 00 0 0
00 0 0 0
0 0 0 0 0
q
r
M
B. Matrix C
ω
ω
ω
ω ω
ω ω
ω ω




= 
−
− +


− +
−
 
 
 



0 0 0
0 0 0
0 0 0
0
0
0
0
0
v
u
v u
v
C(v)
m Z -mv + Y v
m Z mu - X u
mv - Y v -mu + X u
m Z
mv - Y v
ωω ω +















0
0
-
0
0
v
u
u
qu
q
pq
-mv + Y vm Z
mu - X u
-mu + X u
mu + X u
p
C. Matrix D




D(v) = -diag
D. Vector ��
Matrix �� for a neutrally buoyant underwater vehicle
η
θ φ θ φ
θ θ φ
θ φ θ
 
 
 
 
 =
 − +
 
+ 
 
− − 
0
0
0
( )
s
y z
z z
x y
g
BG Wc c BG Wc s
BG Ws BG Wc c
BG Wc BG Ws
where:
   = = − − −  
T T
x, y, z,BG BG BG BG , ,
and �� , �� and so on.
The weight of the robot is defined as:
� � ��
with � in this case being the gravitational acceleration
constant.

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