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Cognitive Intelligence and Robotics
Jing Yan · Xian Yang · Haiyan Zhao ·

Xiaoyuan Luo · Xinping Guan
Autonomous
Underwater
Vehicles
Localization, Tracking, and Formation
Series Editors
Amit Konar, ETCE Department, Jadavpur University, Kolkata, India
Witold Pedrycz, Department of Electrical and Computer Engineering, University of
Alberta, Edmonton, AB, Canada
Cognitive Intelligence refers to the natural intelligence of humans and animals, it is
considered that the brain performs intelligent activities. While establishing a hard
boundary that distinguishes intelligent activities from others remains controversial,
most common behaviors and activities of living organisms that cannot be fully
synthesized using artificial means are regarded as intelligent. Thus the acts of
sensing and perception, understanding the environment, and voluntary control of
muscles, which can be performed by lower-level mammals, are indeed intelligent.
Besides the above, advanced mammals can perform more sophisticated cognitive
tasks, including logical reasoning, learning, recognition, and complex planning and
coordination, none of which can yet be realized artificially to the level of a baby,
and thus are regarded as cognitively intelligent.
This book series covers two important aspects of brain science. First, it attempts
to uncover the mystery behind the biological basis of cognition, with a special
emphasis on the decoding of stimulated brain signals or images. Topics in this area
include the neural basis of sensory perception, motor control, sensory-motor
coordination, and understanding the biological basis of higher-level cognition,
including memory, learning, reasoning, and complex planning. The second
objective of the series is to publish consolidated research on brain-inspired models
of learning, perception, memory, and coordination, including results that can be
realized on robots, enabling them to mimic the cognitive activities performed by
living creatures. These brain-inspired models of machine intelligence complement
the behavioral counterparts studied in traditional artificial intelligence.
The series publishes textbooks, monographs, and contributed volumes.
More information about this series at http://www.springer.com/series/15488

Jing Yan · Xian Yang · Haiyan Zhao ·
Xiaoyuan Luo · Xinping Guan
Autonomous Underwater
Vehicles
Localization, Tracking, and Formation
Jing Yan Xian Yang
Institute of Electrical Engineering Institute of Information Science
Yanshan University and Engineering
Qinhuangdao, Hebei, China Yanshan University
Qinhuangdao, Hebei, China
Haiyan Zhao
Institute of Electrical Engineering Xiaoyuan Luo
Yanshan University Institute of Electrical Engineering
Qinhuangdao, Hebei, China Yanshan University
Qinhuangdao, Hebei, China
Xinping Guan
Department of Automation
Shanghai Jiao Tong University
Shanghai, China
ISSN 2520-1956 ISSN 2520-1964 (electronic)

ISBN 978-981-16-6095-5 ISBN 978-981-16-6096-2 (eBook)
https://doi.org/10.1007/978-981-16-6096-2
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
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Singapore
Preface
Ocean covers 70.8% of the earth’s surface, and it plays an important role in supporting
system of life on the earth. Nonetheless, more than 80% of the oceans volume remains
unmapped, unobserved, and unexplored. With regard to this, autonomous underwater
vehicles (AUVs) are emerged as a promising solution to understand and explore the
ocean, due to their autonomy and mobility. AUVs have a variety of military and
civilian applications, such as the intrusion surveillance, geographic mapping, marine
rescue, and petroleum exploration. It is worth noting that the global market for AUVs
is estimated to grow from 638 million dollars in 2020 to 1638 million dollars by 2025,
at a compound annual growth rate of 20.8%. To enable AUVs for a wider range of
application-specific missions, it is necessary to deploy multiple AUVs to cooper-
atively perform the localization, tracking, and formation tasks. However, the weak
communication of underwater acoustic communication and the model uncertainty of
AUVs make it challenging to achieve the localization, tracking, and formation tasks.
In this book, we focus on the localization, tracking, and formation issues for
AUVs, subject to weak communication in cyber-channel and model uncertainty in
physical channel. This problem is of great necessary and meaning since fundamental
guidance on the design of localization, tracking, and formation of AUVs is very
limited up to now. In this context, we devote to present the cutting-edge results
on the localization, tracking, and formation for AUVs. It highlights new research
on commonly encountered AUV system, including the ubiquitous localization of
AUVs with optimization rigid graph, the tracking for a single AUV with unknown
parameters and external disturbances, the input-constrained tracking for a single
AUV with communication delays, and the input-constrained formation of multiple
AUVs with communication delays. Moreover, this book also presents several joint
localization and tracking solutions for AUVs, including the codesign when weak
communication is considered, and the codesign when weak communication and
model uncertainty are both considered. In order to verify the effectiveness of the
proposed solution, simulation and experimental results are both provided. Finally,
future directions provide research guidance on the design for future localization,
tracking, and formation schemes on AUVs.
v
vi Preface
The results presented in this book mark a substantial contribution to nonlinear

system theory, robotic control theory, and underwater acoustic communication
system. As such, the book will be of great interest to university researchers, scien-
tists, engineers, and graduate students in control science and engineering who wish
to learn about the core principles, methods, algorithms, and applications of AUVs.
Besides that, the practical localization, tracking, and formation schemes presented
in this book can provide the guidance on understanding and exploring the ocean. In
order to understood easy, the knowledge of nonlinear system theory, robotic control
theory, and underwater acoustic communication system is needed.
The book is organized as follows.
Chapter 1 first draws out the role of AUVs in the underwater observation network.
Then, an overview of the existing works is presented, through which the weak acoustic
communication and model uncertainty are given. Finally, the research challenges and
contributions of this book are summarized.
Chapter 2 considers the ubiquitous localization issue for AUVs in the presence of
asynchronous clock and the inhomogeneity characteristic. To this end, a rigid graph-
based localization scheme is developed to balance the trade-off between localization
accuracy and energy consumption for AUVs.
Chapters 3–4 consider the joint localization and tracking issue for a single AUV.
Particularly, Chap. 3 addresses a joint localization and tracking issue for AUV, subject
to asynchronous clocks in physical channel and state disturbances in control channel.
Note that the analytical-based uncertainty evaluation method is adopted in Chap. 3
to capture the uncertainties and disturbances. However, due to the large scale and
complex characteristic of large-scale infrastructure systems, the analytical solution
to system dynamics is generally unavailable. In view of this, Chap. 4 incorporates
the multivariate probabilistic collocation method into the reinforcement learning
(RL) framework, such that an RL solution is designed for AUV. Compared with the
analytical solutions, the tracking solution in Chap. 4 can accurately estimate the out
mean and effectively achieve the tracking task.
Chapters 5 and 6 consider the finite-time tracking issue for a single AUV, subject
to unknown parameters and external disturbances. A sliding mode differentiator is
developed in Chap. 5 to estimate the uncertain parameters and external disturbances,
such that a finite-time tracking control law is designed to drive the tracking error
to zero. On the basis of this, Chap. 6 jointly considers the unavailable velocity
signals and uncertain model parameters. Then, a finite-time tracking solution without
velocity measurements is developed for AUV, where a buoy-assisted localization
estimator is provided to estimate its position information, and a fast terminal sliding
mode observer is designed to estimate its velocity information.
Chapter 7 further considers the communication delay in cyber-channel and actu-
ator saturation constraints in physical channel, such that a model-free proportional-
derivative tracking controller is designed to enforce the position tracking. By
using Lyapunov–Krasovskii functions and linear matrix inequalities, the stability
conditions and domain of attraction are both presented.
Chapter 8 considers the tracking of a single AUV and the formation of multiple
AUVs, under the constraint of time-varying communication delay. By adopting the
Preface vii
leader–follower strategy, tracking and formation controllers are developed to stabilize

the time-varying AUV system. Besides that, sufficient conditions for the asymptotic
stability are provided to establish the relationship between tracking (or formation)
controller gains and time delay, such that the allowable upper bound of time delay
is calculated.
Chapter 9 presents the future research direction on the localization, tracking,
and formation for AUVs. We have tried to provide complete instructions and
share insights into the underwater localization, tracking, and formation from the
communication and control perspectives.
This book was supported in part by the National Natural Science Foundation of
China under Grants 61873345, 62033011, and 61973263, and by Outstanding Young
Foundation of Hebei Natural Science under Grants 2020203002 and 2021203056. We
would like to acknowledge Prof. Cailian Chen for her value discussions on preparing
material.
Qinhuangdao, China Jing Yan

Qinhuangdao, China Xian Yang
Qinhuangdao, China Haiyan Zhao
Qinhuangdao, China Xiaoyuan Luo
Shanghai, China Xinping Guan
July 2021
Contents
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Underwater Observation Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 An Overview of the Existing Works . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2.1 Ubiquitous Localization of AUVs . . . . . . . . . . . . . . . . . . . . . . 3
1.2.2 Persistent Tracking Control for a Single AUV . . . . . . . . . . . . 9
1.2.3 Cooperative Formation for Multiple AUVs . . . . . . . . . . . . . . 15
1.3 Research Challenges and Contributions of This Book . . . . . . . . . . . . 18
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2 Rigid Graph-Based Asynchronous Localization of AUVs . . . . . . . . . . . 25
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.2 Network Model and Problem Formulation . . . . . . . . . . . . . . . . . . . . . 27
2.2.1 Network Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.2.2 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.3 Main Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.3.1 Observer-Based Motion Prediction for AUV . . . . . . . . . . . . . 31
2.3.2 Minimum Rigid Graph-Based Localization . . . . . . . . . . . . . . 35
2.3.3 Performance Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
2.4 Simulation and Experimental Results . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.4.1 Simulation Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.4.2 Experiment Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
3 Slide Mode-Based Joint Localization and Tracking of a Single
AUV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.2 System Model and Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . 63
3.2.1 Model Constructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
3.3 Joint Localization and Tracking Design . . . . . . . . . . . . . . . . . . . . . . . . 66
3.3.1 Self-localization Algorithm Design . . . . . . . . . . . . . . . . . . . . . 66
ix
x Contents
3.3.2 Model-Free Tracking Controller Design . . . . . . . . . . . . . . . . . 70

3.4 Performance Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
3.4.1 Convergence of the Localization Algorithm . . . . . . . . . . . . . . 73
3.4.2 CRLB of the Localization Algorithm . . . . . . . . . . . . . . . . . . . 74
3.4.3 Boundness of the TDE Error . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
3.4.4 Convergence for the Tracking Controller . . . . . . . . . . . . . . . . 78
3.5.2 Experimental Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
4 Joint Localization and Tracking of AUV Via Multivariate
Probabilistic Collocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.2 System Model and Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . 92
4.2.1 Model Constructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
4.3 Joint Localization and Tracking Design . . . . . . . . . . . . . . . . . . . . . . . . 95
4.3.1 Self-localization Algorithm Design . . . . . . . . . . . . . . . . . . . . . 95
4.3.2 RL-Based Tracking Controller Design . . . . . . . . . . . . . . . . . . 99
4.4 Simulation Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
4.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
5 Finite-Time Tracking Control of AUV with Model Uncertainty . . . . . 113
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
5.2 System Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
5.3 Control Design and Stability Analysis . . . . . . . . . . . . . . . . . . . . . . . . . 116
5.3.1 Tracking Control Without Disturbance . . . . . . . . . . . . . . . . . . 116
5.3.2 Finite-Time Tracking Control with Disturbances . . . . . . . . . . 120
5.4 Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
5.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
6 Finite-Time Tracking Control of AUV Without Velocity
Measurements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
6.2 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
6.3 Finite-Time Tracking Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
6.3.1 Finite-Time Velocity Observer . . . . . . . . . . . . . . . . . . . . . . . . . 137
6.3.2 A-NFTSM Tracking Controller . . . . . . . . . . . . . . . . . . . . . . . . 142
6.4 Performance Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
6.4.1 Accuracy of the Buoy-Assisted Localization . . . . . . . . . . . . . 144
6.4.2 Stability Analysis for the Velocity Observer . . . . . . . . . . . . . . 144
6.4.3 Stability Analysis for the Tracking Controller . . . . . . . . . . . . 147
Contents xi
6.5 Simulation and Experimental Studies . . . . . . . . . . . . . . . . . . . . . . . . . . 149

6.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
7 Tracking Control of AUV with Time Delay and Input Saturation . . . 165
7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
7.2 Model and Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
7.3 Controller Design and Stability Analysis . . . . . . . . . . . . . . . . . . . . . . . 168
7.3.1 Design of the Tracking Controller . . . . . . . . . . . . . . . . . . . . . . 168
7.3.2 Stability Condition and DOA Estimation . . . . . . . . . . . . . . . . 168
7.4 Simulation and Experiment Results . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
7.4.2 Implementation and Experimental Studies . . . . . . . . . . . . . . . 179
7.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
8 Tracking and Formation for Multiple AUVs with Time Delay . . . . . . . 185
8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
8.2 Problem Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
8.3 Controller Design and Stability Analysis . . . . . . . . . . . . . . . . . . . . . . . 188
8.3.1 Tracking Control for Single-AUV System . . . . . . . . . . . . . . . 188
8.3.2 Formation Control for Multi-AUV System . . . . . . . . . . . . . . . 191
8.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204
9 Future Research Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
9.1 Space-Air-Ground-Sea Network Architecture . . . . . . . . . . . . . . . . . . . 207
9.2 Channel Prediction for Communication Support . . . . . . . . . . . . . . . . 208
9.3 Model-Free Optimization Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
Symbols and Acronyms
R Field of real numbers

Rn n-dimensional real Euclidean space
Rn×m Space of n × m real matrices
I Identity matrix
0 Zero matrix
A System matrix
A−1 Inverse of matrix A
AT Transpose of matrix A
lim Limit
min Minimum
max Maximum
argmin f Value of the variable that minimizes function f
argmax f Value of the variable that maximizes function f
tr (A) Trace of matrix A
rank (A) Rank of matrix A
· Euclidean norm
∇f The gradient of function f
∀ For all
∈
Belong to
Sum
Product operation
E{·} Mathematical expectation operator
var{·} Mathematical variance operator
(A)s The sth column of matrix A
diag{·} Diagonal matrix
→ Tend to, or mapping to (case sensitive)
|x| Absolute value (or modulus) of x
sgn(·) Signum function
sign(x) Sign of x
sat() Saturation function with unit limits
co(·) Convex hull of a set
xiii
xiv Symbols and Acronyms
λ(A) Eigenvalue of matrix A

λmax (A) Maximum eigenvalue of matrix A
0n×m Zero matrix of dimension n × m
3-D Three-dimensional
6DOF Six degrees of freedom
AOA Angle of arrival
AUVs Autonomous underwater vehicles
BRF Body-fixed reference frame
CRLB Cramér-rao lower bound
CSMC Conventional sliding mode controller
CTSMC Conventional terminal sliding mode controller
DOA Domain of attraction
DOF Degrees of freedom
DVL Doppler velocity log
FIM Fisher information matrix
FLC Fuzzy logic control
FLCs Fuzzy logic controllers
GPS Global positioning system
HOTL Human-on-the-loop
IMU Inertial measurement unit
IRF Inertial reference frame
ITSM Integral terminal sliding mode
LBL Long-baseline
LMIs Linear matrix inequalities
LMPC Lyapunov-based model predictive control
ML Maximum likelihood
M-PCM Multivariate probabilistic collocation method
MSE Mean square error
NNs Neural networks
NTSMC Non-singular terminal sliding mode controller
PCRLB Posterior cramér-rao lower bound
PD Proportional-derivative
PFIM Predicted Fisher information matrix
PID Proportion integration differentiation
PSO Particle swarm optimization
RL Reinforcement learning
RSS Received signal strength
SBL Short-baseline
SLMP Scalable localization method with mobility prediction
SMC Sliding mode control
TDE Time-delay estimation
TDOA Time difference of arrival
TOA Time of arrival
TSK Tagaki–Sugeno–Kang
TSMC Terminal sliding mode control
Symbols and Acronyms xv
UAVs Unmanned aerial vehicles

UKF Unscented Kalman filtering
USNs Underwater sensor networks
UT Unscented transform
UWB Ultra-wideband
Chapter 1
Introduction
1.1 Underwater Observation Network
Ocean covers 70.8% of the earth’s surface, and it plays an important role in supporting
system of life on the earth. Nonetheless, more than 80% of the ocean’s volume
remains unmapped, unobserved, and unexplored. In order to understand and explore
the ocean, strong ocean observation ability is required to offer technical support. For
that reason, many remote-sensing instruments have been deployed to monitor the
ocean; however, they are effective only for surface monitoring. As for this issue, some
underwater sensor instruments, including sonar array, multibeam swath bathymeter,
and acoustic doppler current profiler, have been deployed to form a three-dimensional
underwater sensor network (USN) for online environment observation. Compared
with the remote-sensing technology, USN has the advantages of increased space-time
cover ability, reduced failure rate, and improved real-time characteristic. However,
USN lacks the necessary flexibility and adaptability, which makes it easy to form a
monitoring blind area and limits the improvement of observation ability. From the
functional viewpoint, the underwater observation network should not only have the
online monitoring ability but also make feedback decision based on the environment
variation.
With regard to this, autonomous underwater vehicles (AUVs) with integrated
measurement sensors are emerged as a promising choice for underwater observation
network. Compared with USNs, AUVs have the strong mobility, enhanced intel-
ligence, and high controllability, which enable them to make necessary feedback
decision based on the environment variation. As reported in [1], the global market
for AUVs is estimated to grow from 638 million dollars in 2020 to 1638 million dol-
lars by 2025, at a compound annual growth rate of 20.8%. For more clear description,
Fig. 1.1 presents the architecture of underwater observation network via AUVs. In
such network, underwater sensor instruments in sensing layer, including hydrophone,
sonar, multibeam sounder, sound velocity profiler, current meter, and depth sensor
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 1
J. Yan et al., Autonomous Underwater Vehicles, Cognitive Intelligence and Robotics,
https://doi.org/10.1007/978-981-16-6096-2_1
2 1 Introduction
Fig. 1.1 Architecture of underwater observation network via AUVs
are cooperatively assisted to support the decision-making process of AUVs. Based

on this, AUVs continuously feed back to the control center through the assistance
of fixed platforms in fusion layer. With the reverse communication links, operator in
control layer makes and transmits its local mission decision to AUVs through optical
and acoustic communication channels.
In the architecture, the localization, tracking, and formation of AUVs are of great
importance to the underwater observation network. To be specific, the ubiquitous
localization of AUVs is the prerequisite of persistent tracking and cooperative forma-
tion. Meanwhile, the persistent tracking and cooperative formation are the technical
cores for a more wide range of application-specific missions of AUVs, especially
when the static sensor nodes cannot perform the dynamic monitoring mission. How-
ever, the weak communication of underwater acoustic communication and the model
uncertainty of AUVs make it challenging to achieve the localization, tracking, and
formation tasks. In view of this, we first provide an overview of the existing works on
localization, tracking, and formation of AUVs. Followed by this, the weak commu-
nication of underwater acoustic communication and the model uncertainty of AUVs
are presented. Based on this, the challenging works and contributions of this book
are summarized.
1.2 An Overview of the Existing Works 3
1.2 An Overview of the Existing Works
1.2.1 Ubiquitous Localization of AUVs
According to the different measurement ways, the ubiquitous localization schemes

for AUVs can be classified into the following four categories: (1) angle of arrival
(AOA)-based localization; (2) time of arrival (TOA)-based localization; (3) time
difference of arrival (TDOA)-based localization; (4) received signal strength (RSS)-
based localization.
1.2.1.1 AOA-Based Localization
The positions of AUVs can be estimated by AOA measurement. Particularly, each

AUV obtains the direction of signal arrival at transmitter of sensor node by receiver
antenna, such that the relative azimuth between AUV and sensor nodes can be cal-
culated. Based on this, optimization algorithms are employed to locate the positions
of AUVs. Without loss of generality, it is assumed that the beam of receiver antenna
is rotating, and the direction of the maximum received signal strength is regarded as
the direction of AUV. With AOA measurement, a localization scheme was developed
in [2]. In [3], the accurate distance can be acquired through AoA measurement. In
the following, a brief introduction on AOA-based localization is given.
T
Denote the position of AUV as x = x, y, z . Without loss of generality, we
assume that the depth of AUA can be acquired by depth sensor (i.e., z is preknown).
Fig. 1.2 An illustration of

the AOA measurement
4 1 Introduction
Based on this, three sensors are used to assist the localization of AUV, as shown
T
in Fig. 1.2. Specifically, the position of sensor i is denoted as xi = xi , yi , zi for
i ∈ {1, 2, 3}, and the bearing vector is denoted as β = [β1 , β2 , β3 ]T . Thereby, the
AOA measurement can be formulated as
β = θ (x) + ε, (1.1)
where θ (x) = [θ1 (x) , θ2 (x) , θ3 (x)]T is the bearing vector of AUV, ε = [ε1 , ε2 , ε3 ]T
is the measurement noise with zero mean and covariance matrices S = diag
{σ12 , σ22 , σ32 }. Of note, θi (x) = arctan y−yi
x−xi
for i ∈ {1, 2, 3}.
With (1.1), the maximum likelihood (ML) estimation of AUV is built, i.e.,
1
(x̂, ŷ) = arg min [β − θ (x)]T S−1 [β − θ (x)]
2
1 (βi − θi (x))2
3
= arg min . (1.2)
2 i=1 σi2
According to Stanfield’s method, it is assumed that the measurement noise is

small enough; one has εi ≈ sin εi . Based on this, one has
1 sin2 (βi − θi (x))

3
(x̂, ŷ) = arg min . (1.3)
2 i=1 σi2

Define ri = (x − xi )2 + (y − yi )2 . By using trigonometric transformation, Eq.
(1.3) can be rearranged as
1 [(y − yi ) cos βi − (x − xi ) sin βi ]2

3
(x̂, ŷ) = arg min . (1.4)
2 i=1 σi2 ri2
Thus, the position of AUV can be obtained by least square method, i.e.,
(x̂, ŷ) = (AT R−1 S−1 A)−1 AT R−1 S−1 b, (1.5)
where A = [sinβ1 , − cos β1 ; sinβ2 , − cos β2 ; sinβ3 , − cos β3 ], R = diag{r12 , r22 , r32 }
and b = [x1 sinβ1 − y1 cos β1 , x2 sinβ2 − y2 cos β2 , x3 sinβ3 − y3 cos β3 ]T .
1.2.1.2 TOA-Based Localization
The TOA-based localization can be divided into one-way propagation time measure-
ment and roundtrip propagation time measurement, as depicted in Fig. 1.3. Specifi-
cally, the main idea of TOA measurement is to use the propagation time measurement
Fig. 1.3 An illustration of the TOA measurement
to acquire the relative distance between AUV and sensors. Inspired by this, an AUV-
assisted joint localization and time synchronization scheme was designed in [4]. In
[5], a TOA-based synchronization method was employed to improve localization
accuracy. Also of relevance, the other TOA-based localization scheme was proposed
in [6]. In the following, a brief introduction on TOA-based localization is presented.
As described in Fig. 1.3a, the TOA between AUV and sensor i under one-way
propagation time measurement can be constructed as
Ti = ti − ta ,
1
= xi − x , i ∈ {1, 2, 3, 4}, (1.6)
c
where ta denotes the time when AUV sends location request, ti denotes the time when
sensor i ∈ {1, 2, 3, 4} receives the message from AUV, c is the propagation speed of
acoustic wave, xi is the position vector of sensor i ∈ {1, 2, 3, 4}, and x is the position
vector of AUV.
Similarly, the TOA between AUV and sensor i under roundtrip propagation time
measurement can be constructed according to Fig. 1.3b, i.e.,
Ti = (ti,a − ta,a ) − τi ,

2
= xi − x , i ∈ {1, 2, 3, 4}, (1.7)
c
where ta,a is the time when AUV sends location request, ti,a is the time when AUV
receives the reply message from sensor i, and τi is the delay for the sensor i to handle
the message. It is noted that the delay is either known by a priori calibration or
measured to be subtracted.
With (1.6) and (1.7), we define T̃ = [cT1 , cT2 , cT3 , cT4 ]T (or T̃ =
[ 2c T1 , 2c T2 , 2c T3 , 2c T4 ]T ), h(x) = [x1 − x , x2 − x , x3 − x , x4 − x]T ,
6 1 Introduction
and w = [ε1 , ε2 , ε3 , ε4 ]T , where w is measurement noise with zero mean and covari-
ance matrices R. Thus, the TOA measurement with noise measurement can be rewrit-
ten as T̃ = h(x) + w. In this context, the localization optimization problem of AUV
can be given as
−1
x̂ = arg min{[T̃ − h(x)]T R [T̃ − h(x)]}. (1.8)
Based on the principle of trilateration, the localization optimization problem can

be solved, i.e., the position of AUV can be located.
1.2.1.3 TDOA-Based Localization
As shown in Fig. 1.4, the time measurement difference can be acquired through
propagation time measurement. Clearly, the position of AUV can be located with
the help of four sensor nodes. Based on this idea, some TDOA-based localization
schemes can be found in [7, 8]. In the following, a brief introduction on TDOA-based
localization is given.
According to Fig. 1.4, for i ∈ {1, 2, 3, 4} and j = i, the TDOA measurement
between sensor i and j can be constructed as
ti,j = ti − tj ,
1
= xi − x − xj − x , (1.9)
c
where ti is the time when sensor i receives the message from AUV, xi is the position
vector of sensor i ∈ {1, 2, 3, 4}, and x is the position vector of AUV.
Considering the existence of measurement noise, the noisy TDOA measurement
of ti,j can be formulated as

TDOA measurement
t̃i,j = ti,j + ni,j , (1.10)
where ni,j denotes the measurement noise, and it is an independent Gaussian random
variable with zero mean.
In view of (1.9) and (1.10), TDOA measurements can be stacked into
⎡ ⎤ ⎡ ⎤ ⎡ ⎤
ct̃1,2 x1 − x − x2 − x cε1,2
⎢ ct̃1,3 ⎥ ⎢ x1 − x − x3 − x ⎥ ⎢ cε1,3 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥
⎢ ct̃1,4 ⎥ ⎢ x1 − x − x4 − x ⎥ ⎢ cε1,4 ⎥
⎢ ⎥=⎢ ⎥+⎢ ⎥
⎢ ct̃2,3 ⎥ ⎢ x2 − x − x3 − x ⎥ ⎢ cε2,3 ⎥
⎢ ⎥ ⎢ ⎥ ⎢ ⎥ (1.11)
⎣ ct̃2,4 ⎦ ⎣ x2 − x − x4 − x ⎦ ⎣ cε2,4 ⎦
ct̃3,4 x3 − x − x4 − x cε3,4

:= t̃ := ϕ(x) := w̄
where t̃ is TDOA measurement vector, ϕ(x) is nonlinear vector function about
AUV, and w̄ is noise with zero mean and covariance matrix S.
With (1.11), the localization optimization problem is constructed as
−1
x̂ = arg min{[t̃ − ϕ(x)]T S [t̃ − ϕ(x)]}. (1.12)
It is clear that there is no closed solution to (1.12) since the nonlinear function of
ϕ(x). By using Taylor series, one can linearize ϕ(x) around a reference point x0 , i.e.,
ϕ(x) ≈ ϕ(x0 ) + ∇ϕ(x0 )(x − x0 ), (1.13)
where ∇ϕ(x0 ) denotes the partial derivative of ϕ(x) at the value x0 . Referring to [9],
a recursive solution of (1.12) can be acquired, i.e.,
−1 −1
x̂k+1 = x̂k + (∇ T ϕ(xk )S ∇ϕ(xk ))−1 ∇ T ϕ(xk )S [t̃ − ϕ(xk )]. (1.14)
1.2.1.4 RSS-Based Localization
RSS-based localization is to use the RSS to obtain the relative distance between
AUV and sensors, as shown in Fig. 1.5. With the knowledge of RSS measurement,
some RSS-based localization methods were developed in [10, 11]. Next, a brief
introduction on RSS-based localization is presented.
The RSS in dBm on the AUV can be formulated as

di
Pi (di ) = P0 (d0 ) − 10η log10 − γ (di − d0 ) + ni , (1.15)
d0
where Pi (d ) denotes the received power of sensor i for i ∈ {1, 2, 3, 4}, P0 (d0 ) denotes
the known reference power value at a reference distance d0 from AUV, di denotes
8 1 Introduction

RSS measurement
the distance between AUV and sensor i, η denotes the path loss exponent, and γ
denotes the frequency-dependent medium absorption. ni is the zero mean Gaussian
measurement noise with variance σ 2 .
It is noted that γ in (1.15) can be given as
f2 f2
γ = 0.11 + 44 + 2.75 × 10−4 f 2 + 0.003, (1.16)
1+f 2 4100 + f 2
where f is the frequency of acoustic communication.

Let P = [P1 (d1 ), P2 (d2 ), P3 (d3 ), P4 (d4 )]T , g(x) = [P0 (d0 ) − 10η log10 ( dd01 ) − γ
(d1 − d0 ), P0 (d0 ) − 10η log10 ( dd20 ) − γ (d2 − d0 ), P0 (d0 ) − 10η log10 ( dd03 ) − γ (d3 −
d0 ), P0 (d0 ) − 10η log10 ( dd04 ) − γ (d4 − d0 )]T , and n = [n1 , n2 , n3 , n4 ]T . Thereby, the
likelihood function can be formulated as

1 1
p(P; x) = √ exp − 2 P − g(x) . 2
(1.17)
2π σ 2σ
Based on this, the localization optimization problem of AUV is given as
x̂ = arg max p(P; x). (1.18)
It is noted that the optimization problem in (1.18) is highly non-convex. Thus, it

is difficult to solve analytically. To handle this optimization problem, the Newton–
Raphson method is introduced, i.e.,
−1
∂ 2 ln p(P; x) ∂ ln p(P; x)
x̂k+1 = x̂k − , (1.19)
∂x∂xT ∂x x=x̂k
∂ ln p(P;x)
where ∂x
denotes the gradient of the log-likelihood function with respect to x,
∂ ln p(P;x)
2
and ∂x∂xT
denotes the second derivation with respect to x.
1.2.2 Persistent Tracking Control for a Single AUV
Typically, the persistent tracking controllers for a single AUV can be mainly clas-
sified into the following five types: (1) proportion integration differentiation (PID)
controller; (2) fuzzy controller; (3) adaptive controller; (4) sliding mode controller;
and (5) neural network controller.
1.2.2.1 PID Tracking Controller
PID control has attracted extensive attentions due to its simplicity, easy implementa-
tion and superior performance. The linear PID controller is composed of proportional
element P, integral element I, and differential element D. Let η denote the position
vector with coordinate in the inertial reference frame and ηd denote the desired tra-
jectory. Define the tracking error as
e(t) = ηd (t) − η(t). (1.20)
The PID controller calculates the tracking error e(t), generates a correction based
on the proportional, integral, and differential elements, and attempts to minimize the
error over time. The PID control scheme is a linear combination of each element,
which can be expressed as
t
de(t)
τ (t) = kP e(t) + kI e(ς )dς + kD , (1.21)
dt
0
where τ is the torque force acting on the vehicle. kP > 0, kI > 0 and kD > 0 denote
the proportional, integral and differential parameters, respectively. The control struc-
ture is shown in Fig. 1.6. The P element, I element, and D element correspond to
current error, historic cumulative error, and the future trend of error, respectively. The
control coefficients kP , kI and kD have great influence on the system performance.
However, in the conventional PID controllers, the adjustment of these parameters
depends on personal experience. Moreover, linear fixed-gain PID controller may not
provide satisfactory performance. In order to solve the issue, a sector-bounded gain
function and two nonlinear tracking differentiators were added to the control scheme
[12]. In [13], the control analysis of nonlinear PID with time-varying parameters
was extended to state feedback, tracking, and integral control. However, the results
in [12, 13] require the exact knowledge about the process to achieve better behav-
10 1 Introduction
Fig. 1.6 PID control for AUV tracking
ior. Although some excellent optimization methods can be used to optimize the PID
parameters, they tend to converge to the local optimal solution, which leads to opti-
mization failure or poor results. In [14], in order to achieve navigation control of
AUV, the PID coefficients were tuned by particle swarm optimization (PSO) algo-
rithm, which can effectively find the global optimal solution. A fuzzy self-adapting
PID controller was presented in [15]. Considering trajectory tracking control prob-
lem of ocean current disturbed AUV, a combination of the fuzzy logic control (FLC)
and PID was proposed in [16]. The PID parameters are processed under the supervi-
sion of the FLC system. Reference [17] proposed a new control structure, including a
feedforward part to compensate external disturbance and unmodeled dynamics, and
a PID-like fuzzy logic feedback part to improve the tracking performance. Consider-
ing the input constrained problem of AUV, Ref. [18] incorporated a model reference
adaptive PID control with anti-windup compensator. A whole range of nonlinear
functions to replace the fixed gain in traditional PID controller were introduced in
[19].
1.2.2.2 Fuzzy Tracking Controller
Classical control theory usually requires a mathematical AUV model for design-
ing the controller. The inaccuracy of mathematical modeling of the AUV usually
degrades the performance of the controller. Fuzzy logic controllers (FLCs) offer a
key advantage over traditional control systems. That is, they do not require mathe-
matical models of the AUV. FLCs have the programming capability of human control
behavior and possess the robustness to uncertainties. It can incorporate human-like
thinking into the automatic control system. Fuzzy logic models are universal approx-
imators and can be built based on input–output data samples, expert experience, or
both. A fuzzy logic system includes: the defuzzifier, the knowledge base, the fuzzy
inference engine working on fuzzy rules, and the fuzzifier. The knowledge base for
the FLS includes a series of fuzzy if–then rules. The block diagram is shown in
Fig. 1.7 Fuzzy control for AUV tracking
Fig. 1.7. The primary steps taken by the fuzzy controller can be detailed as: (i) Select
the input and output variables of the fuzzy controller, such that the range conversion
of the variables is performed, (ii) decide the fuzzy language values of each variable,
and then the corresponding membership function is defined, (iii) establish fuzzy con-
trol rules or algorithms, and (iv) determine the fuzzy reasoning and defuzzification
methods. The fuzzy system can be adopted to approximate the system uncertainties.
Let Fil be the fuzzy sets for a state xi , and define its membership function as μFil (xi )
with i = 1, . . . , n. The knowledge base consists of the if–then inference rules.
Rule l: IF x1 is F1l and x2 is F2l and … and xn is Fnl
THEN y is G l , l = 1, 2, . . . , N .
Based on this, the fuzzy system is denoted as
N n
l=1 ȳl i=1 μFil (xi )
y(x) = , (1.22)
N n
l=1 i=1 μFi
l (xi )
where ȳl = maxy∈R μG l (y) with μG l (y) being membership functions, and x =
[x1 , . . . , xn ]T . Let
T
= [1 , . . . , N ] = [y1 , . . . , yN ], and β(x) = [β1 (x), . . . ,
n
μF l (xi )
satisfying β(x) ≤ β ∗ with a positive constant
i=1
βN (x)]T with βl = N n i ,
l=1 (i=1 μF l (xi ))
i
β ∗ . The fuzzy system is expressed as y(x) = T β(x).
Quite recently, considerable attention has been paid to fuzzy tracking control
of AUV systems. In [20], a simplified and nonlinear single-input fuzzy controller
was developed to track the guidance speeds. In [21], a robust disturbance observer-
based fuzzy control scheme was proposed. The methods utilize the benefits of fuzzy
proportional-integral uncertainty estimator, nonlinear disturbance observer, and feed
forward control term. Reference [22] reconstructed the local desired trajectory based
on a special single-input fuzzy model. A good tracking performance can be achieved
even if thruster saturation occurs. Reference [23] presented a robust AUV docking
approach, which incorporated a Tagaki–Sugeno–Kang (TSK) fuzzy inference sys-
tem. The TSK system can assist the vehicle with high level guidance maneuvers in
the form of fuzzified commanded heading and speed vector fields. In [24], an adap-
12 1 Introduction
tive fuzzy-based controller was designed to guarantee tracking performance, where

fuzzy system was employed to approximate model uncertainties.
1.2.2.3 Adaptive Tracking Controller
Lots of control systems are based on a good understanding of the dynamics of under-
water vehicle and its environment. However, the system parameters are difficult to
measure and the basic physical processes are not fully understood. For a cable-driven
underwater vehicle, periodic waves accompanied with strong currents may excite the
motion of the vehicle during teleoperation in the same way as in a mass-spring sys-
tem, but with nonlinear particularities due to the hydrodynamic drag force on the
cable and its tension-shape characteristic. The cable-driven structure brings a lot
of nonlinearities and disturbance to the system, making its dynamic behavior quite
complex. In addition, many operators of low cost underwater vehicle have little or no
access to hydrodynamic testing facilities, thus leading to very little knowledge of the
vehicle’s model parameters. It is widely acknowledged that the accuracy of conven-
tional tracking control approaches in high-speed operations is largely affected by the
parameter uncertainties. The above sensitivity is especially severe for direct-drive
underwater vehicles, for which no gear reduction is available. In order to mitigate the
adverse effects of parametric uncertainties in the dynamics of an underwater vehicle
system, adaptive control methods are being actively researched. Thereby, the devel-
opment of effective adaptive controllers reflects an important step toward versatile
applications of high-speed and high-precision vehicles, including the AUVs.
For several years, great effort has been devoted to the study of adaptive control
for underwater vehicles. The control diagram is shown in Fig. 1.8. To be specific,
Ref. [25] presented a 6-DOF controller for AUV, which is based on PD scheme with
an adaptive compensation of the dynamics. In order to control the underwater vehicle
without requiring a priory knowledge of it, the control law was constructed in [26]
based on the adaptive speed gradient. Besides that, the performance of underwater
vehicles with command governor adaptive control was experimentally validated in
[27].
Fig. 1.8 Adaptive control

for AUV tracking
ηd e Adaptive η
Controller AUV model
Update Law
Adaptive control, nevertheless, as a branch of system theory, is curtailed in indus-

trial applications. First, because the parameter adaptation is in a time varying and
nonlinear manner, high-frequency oscillations in the control signal at high adaptive
gain values often occur, while acceptable transient tracking performance can not be
achieved at low adaptive gain values. Second, the adaptive control method is compli-
cated and cannot be used for unified and standardized controllers. Third, it is difficult
to acquire and improve a general solution with the adaptive control theory.
1.2.2.4 Neural Network Tracking Controller
Neural networks (NNs) can be regarded as a block-box estimator for a general class of
systems. One of the greatest advantages of using a neural network-based controller
is its self-learning ability where one do not need a large prior information of the
system to be controlled. Multilayer neural networks can approximate any continuous
functions as accurate as possible [28].
NNs can approximate continuous nonlinear maps. For a suitable approximation of
unknown nonlinear functions, several NN architectures are currently available. With
the universal approximation property of NNs, a continuous function f (Z) ∈ C(S)
within a compact subset S can be approximated as
f (Z) = WT φ(Z) + ε(Z), (1.23)
where Z ∈ Z is the input vector, W is the target weight matrix, φ(Z) denotes the
vector of activation functions, ε(Z) is the NN functional approximation error vector.
The actual NN output is defined as
f̂(Z) = ŴT φ(Z), (1.24)
where Ŵ is the actual weight matrix.

It is should be emphasized that neural network method has been used to investi-
gate the tracking control problems of underwater vehicle systems in many existing
literature. The control structure is shown in Fig. 1.9. Reference [29] proposed a neural
network-based output feedback control algorithm for underactuated surface vessels
with actuator saturation. The damping terms in the vehicle dynamics are unknown.
NN-based observer is developed to estimate the velocity of the vehicle with uncer-
tainties. Reference [30] developed a one-layer neural network tracking controller
with preprocessed input signals. The uniformly ultimately boundedness of the track-
ing error can be guaranteed with bounded external disturbances. In [31], multilayer
neural network technique was employed to deal with the problems of unmodeled
dynamics of underwater vehicle and environmental disturbances. According to bio-
inspired neural network architecture, Ref. [32] proposed a dynamic NN model to
plan a time-saving path in ocean current environments.
14 1 Introduction
Hidden
Input
Output
ηd η
AUV model
NN Controller
Fig. 1.9 Neural network control for AUV tracking
1.2.2.5 Sliding Mode Tracking Controller
Nonlinear dynamical systems suffer from the performance degradation caused by

uncertain conditions and disturbances. Sliding mode control (SMC) is one of the
most efficient control techniques aiming at eliminating the effect of bounded heavy
uncertainties or disturbances by means of a discontinuous controller. It uses a switch-
ing function as a key to prescribe a twofold behavior in the system. SMC has a variety
of attractive features. First, the controlled system with sliding mode exhibits strong
robustness properties with respect to both unavoidable parameter uncertainties and
external perturbations. Second, it is easy to implement in practice.
Reaching Phase
Sliding
Manifold
O
Sliding Phase
Fig. 1.10 Sliding mode control

Generally, sliding mode control makes the motions to be composed of two phases:
the hitting (or reaching) phase and the sliding phase, as shown in Fig. 1.10. In the
hitting phase, the trajectory of the system starting from everywhere is driven to a
sliding manifold. In the sliding phase, the trajectory is driven to the equilibrium point
along the sliding manifold. The behavior of the system is determined by the sliding
manifold during the sliding mode. The sliding mode control design is a procedure
with two stages: (i) choosing an appropriate manifold as the sliding surface, such
that the reduced dynamics have good performance and convergence properties and
are independent of the perturbations; (ii) designing a discontinuous controller with
the task of driving the trajectories of the system to the prescribed sliding surface
in finite time, and keeping them on it. In spite of claimed interesting properties,
the sliding mode control has a specific disadvantage. The discontinuous nature of
the control law creates “chattering” which may excite unmodeled high-frequency
vibrations of the controlled system, which degrades the performance and may lead
to instability. The first generation of sliding surface is linear hyperplane, which only
guarantees the asymptotical convergence of the system states to the equilibrium
point. In order to achieve finite-time convergence, the terminal sliding mode control
(TSMC) has been widely adopted. In spite of several advantages (finite-time control
performance and high precision), the TSCM approach suffers from slow convergence
speed and intrinsic singular problem due to using fractional power functions. Later,
the evolution of the sliding mode control theory mainly focuses on eliminating the
chattering, singularity, and achieving fast convergence.
Many researchers have investigated the tracking control problem for underwater
vehicle systems using sliding mode technique. Qiao and Zhang [33] proposed an
adaptive second-order fast non-singular terminal sliding mode controller for AUVs
with dynamic uncertainties and environmental disturbances. Based on integral ter-
minal sliding mode (ITSM) and fast ITSM, [34] developed two novel double-looped
adaptive ITSM control scheme for unmanned underwater vehicles. The position
tracking error converges to zero in finite time.
1.2.3 Cooperative Formation for Multiple AUVs
For some special scenarios, a single AUV cannot accomplish the complex and
dynamic missions, e.g., the pursuit of a mobile target and the transport of a payload. In
this regard, the formation control of multiple AUVs is emerged as a promising solu-
tion, where AUVs cooperatively maintain a desired spatial pattern during the whole
tracking procedure. Typically, the architecture of AUV formation can be divided into
the following three types: centralized way, distributed way, and hierarchical way. In
the following, the related works on the above three types are presented.
16 1 Introduction
1.2.3.1 Centralized Formation Control
In centralized way, a control center on coast (or in a boat/vessel on water offshore)

collects all available data from AUVs and environment, as depicted by Fig. 1.11. In
order to enable AUVs keep a desired chape during the whole tracking procedure, a
centralized formation controller is then designed based on all available information.
With the reverse communication links, the mission decision on centralized formation
controller is transmitted to each AUV. Till now, many centralized formation con-
trollers have been developed for AUVs. For instance, a centralized leader–follower
formation controller was developed in [35] for the cooperative motion of multiple
AUVs with a vessel as the leader AUV. In [36], a centralized formation controller
was designed to pursue an underwater evader, where the relative position informa-
tion between central AUV and the other ones should be acquired for the formation
approach. Also of relevance, a joint target localization and formation scheme was
presented in [37] to maximize range-related performances for target localization and
formation control, in which the control center can calculate the control action for
each AUV. The main advantages of centralized formation controller include simple
design and convenient implementation in water. However, its disadvantages are also
obvious, e.g., the robustness and scalability are weak due to limited communication
ranges.
1.2.3.2 Distributed Formation Control
In distributed way, AUVs can exchange information of environment and self states,
as depicted by Fig. 1.12. In order to enable AUVs keep a desired chape by distributed
way, each AUV requires to share its local information with its neighboring AUVs.
With the collected neighboring information, each AUV decides its formation con-
troller, such that each AUV can maintain a constant distance and the same speed with
its neighbor AUVs.
In view of this, some distributed formation controllers have been developed for
AUVs. For instance, a feedback linearization-based distributed formation controller
was developed in [38]. In [39], a disturbance observer was employed into the dis-
Fig. 1.11 Description of the

centralized formation Target State Centralized Formation
controller Controller
AUV
State AUV 1 AUV n
Communication Channel
Controller 1 AUV 1
Target
State Controller 1 AUV 2
AUV
State
Controller n AUV n
Fig. 1.12 Description of the distributed formation controller
tributed formation control of AUVs, which can guarantee fixed-time stability of the
formation shape. Besides that, the neural adaptive technology was adopted in [40]
to enable leader-following distributed formation. More recently, the learning-based
technologies have been applied to the distributed formation of AUVs. For example,
a formation learning scheme was designed in [41], in which the radial basis function
neural networks were conducted to identify model uncertainty. In [42], a model-free
formation controller was designed in [42] to achieve distributed containment for-
mation of AUVs. Compared with the centralized formation solution, the distributed
formation controllers have the advantages of better robustness, improved scalability,
and reduced computing-communicating complexity.
1.2.3.3 Hierarchical Formation Control
The hierarchical way can be regarded as a compromise between centralized way

and distributed way, as depicted by Fig. 1.13. In some special scenarios, the pure
distributed fashion is not sufficient for AUVs to accomplish complicated tasks, due to
the limited sensing ability of AUVs. In this context, it becomes favorable for AUVs
to cooperatively operate, assisted by sub-control centers. Particularly, the centralized
formation controller sends its decision to subcontroller. The subcontroller analyses
the control signal, and hence, each subcontroller sends and feedback its state to the
communication channel. Repeating the above procedure, the whole formation shape
can be updated and maintained with the hierarchical formation controllers.
Recently, many hierarchical formation controllers have been developed for AUVs.
For instance, a virtual leader–follower hierarchical formation controller was devel-
oped in [43], where the formation shape can be ensured by hierarchical virtual struc-
ture. In [44], a finite-time formation controller with hierarchical leader–follower
structure was developed. More recently, logic-based approach was applied in [45]
for the formation of AUVs, where hierarchical three-level architecture of formation
system was conducted. Also of relevance, some other hierarchical formation con-
trollers can be found in [46, 47]. It should be emphasized that the advantages of
hierarchical formation controllers includes high scalability and reduced computing-
18 1 Introduction
Target State
Centralized Formation Controller
AUV
AUV
State AUV 1
n-m
Communication Channel
Controller Controller
n-m+1 n
AUV AUV
AUV n-m+1 n
State
Fig. 1.13 Description of the hierarchical formation controller
communicating complexity. Meanwhile, they also have the disadvantages of weak

robustness and scalability, with respect to the centralized way. However, the above
disadvantages can be overcome and omitted by optimized designs.
1.3 Research Challenges and Contributions of This Book
In underwater environment, the radio and optical waves are strongly absorbed, which
can only travel to short distances as illustrated by Table 1.1. Alternatively, the acoustic
waves can transmit a signal over distances greater than 100 m, and hence, acous-
tic communication emerges as the most efficient communication way for AUVs
[48]. Compared with the terrestrial vehicles, the following weak communication of
underwater acoustic communication and the model uncertainty of AUVs make it
challenging to achieve the localization, tracking, and formation tasks for AUVs.
• Asynchronous Clock. Propagation delay of underwater acoustic wave (≈ 1500

m/s) is five orders of magnitude higher than the radio wave (≈ 3 × 108 m/s).
Meanwhile, the global positioning system (GPS) is not available in water. Because
of the long propagation delay and the unavailability of GPS, the time clock of AUVs
is always asynchronous, i.e., the time clock is affected by unknown time skew and
offset. As a result, the clock synchronization-based range estimation strategy is
invalid for AUVs.
1.3 Research Challenges and Contributions of This Book 19
Table 1.1 Property comparison for the underwater communication mediums

Medium Range Rate Delay Disadvantage Advantage
(ms/km)
Acoustic ∼km ∼ kbps 667 Low Long range
bandwidth, distance
high delay,
high energy
consumption
Optical ∼100 m ∼ Mbps 0.03 Line of sight, High
short commu- bandwidth,
nication low delay, low
range energy cost
Radio ∼10 m ∼ Mbps 0.03 Short commu- High
nication bandwidth,
range low delay, low
energy cost
• Stratification Effect. Water medium is inhomogeneous, and hence, the propa-

gation delay of acoustic wave varies in different depth levels, which is called as
stratification effect. In view of the stratification effect, some researchers point out
that the isogradient sound speed profile can be employed to depict the acoustic
propagation speed. It should be mentioned that the ignorance of stratification effect
can increase the ranging biases and thereby reduce the localization accuracy of
AUVs.
• Node Mobility. Notice that the nodes in terrestrial Internet of things (IoTs) are
always static; however, AUVs can autonomously move due to the water current
and self motor. In view of this, the roundtrip propagation delays between any two
nodes are not equal, which make it hard to estimate the actual relative distance
between AUV and sensor node.
• Energy Constraint. Underwater nodes, including the sensor nodes and AUV, are
usually battery powered. It is difficult to replenish the batteries mounted AUVs
and sensor nodes. Besides that, the communication energy consumption in water
is much higher than the one in terrestrial environment. Although the energy can be
extended with added battery, the extension is at a cost of extra space occupation,
which will significantly increase the cost of AUVs or sensor nodes.
• Model Uncertainty. Typically, AUVs operate in harsh marine environment, where
their motions are strongly affected by the external disturbances such as tides,
currents, and streams. The internal model uncertainties and external disturbances
make it difficult or even impossible to establish an accurate model. Thereby, the
model uncertainty requires to be considered during the designs of tracking and
formation strategies.
With consideration of the above research challenges, this book is concerned on
the localization, tracking, and formation issues for AUVs. The structural relationship
of chapters can be depicted by Fig. 1.14. Particularly, Chap. 2 presents a ubiquitous
20 1 Introduction
Introduction (Chapter 1)
Localization Tracking Control Formation
Joint design
Rigid graph Slide mode MPCM Finite time Tracking of Tracking and
based based joint based joint tracking of AUV with formation for
asynchronous localization localization AUV with time delay multiple
localization of and tracking and tracking model and input AUVs with
AUVs of AUV of AUV uncertainty saturation time delay
(Chapter 2) (Chapter 3) (Chapter 4) (Chapters 5-6) (Chapter 7) (Chapter 8)
Future Research Directions (Chapter 9)
Fig. 1.14 Structural relationship of chapters in this book
localization approach for AUVs. The localization approach can be divided into two
phases, i.e., motion prediction and persistent localization. An unscented transform-
based localization estimator is developed in the first phase to acquire the initial
position of AUV, through which rigid graph-based localization scheme is designed
in the second phase to enable ubiquitously localization. For the proposed solution,
the duty-cycle mechanism and unscented Kalman filtering are jointly employed to
improve the localization accuracy and prolong the network lifetime.
Chapters 3 and 4 study the joint localization and tracking issue for a single AUV.
To be specific, Chap. 3 develops a joint localization and tracking solution for an AUV,
subject to asynchronous clocks in physical channel and state disturbances in control
channel. An asynchronous localization algorithm is designed to estimate the posi-
tion of an AUV, through which a model-free tracking controller is provided to drive
AUV to the reference trajectory. Of note, the analytical solutions, i.e., time-delay
estimation and dynamic gain strategies, are jointly employed to reduce the influence
of state disturbances. However, due to the large scale and complex characteristic
of large-scale infrastructure systems, the analytical solution to system dynamics is
generally unavailable. In this context, Chap. 4 develops a reinforcement learning
(RL)-based joint localization and tracking solution for AUV, where the multivariate
probabilistic collocation method (M-PCM) is adopted to evaluate the model uncer-
tainty. Compared with the analytical solutions, the tracking solution in Chap. 4 can
accurately estimate the out mean and effectively achieve the tracking task.
With the assumption that the position information of AUVs can be accurately
acquired, Chap. 5 develops a finite-time tracking controller for a single AUV. Par-
ticularly, a robust differentiator is designed to estimate the uncertainty parameters
1.3 Research Challenges and Contributions of This Book 21
of AUV model. Then, a finite-time tracking control law is designed by using the
non-singular fast terminal sliding mode control technique. Followed by this, Chap. 6
considers the unknown velocity measurements, internal model uncertainties, and
external disturbances. Then, a finite-time tracking solution without velocity mea-
surement is developed for AUV, where position estimator and velocity observer are
both provided.
Chapter 7 further studies the communication delay and actuator saturation con-
straints, such that a model-free proportional-derivative tracking controller is designed
to enforce the position tracking. By using Lyapunov–Krasovskii functions and linear
matrix inequalities, the stability conditions and domain of attraction (DOA) are both
derived. The designed tracking controller in this chapter can guarantee asymptotic
stability, and the DOA can be significantly enlarged as compared with the other
exiting ones.
Chapter 8 considers the communication delays of AUVs. Then, a single-AUV
tracking controller is first designed to state synchronization of the tracking control.
Based on this, a distributed formation controller is developed to enable effective
formation of multiple AUVs. For the developed tracking and formation controllers,
Lyapunov–Krasovskii functions are conducted to analyze the stability. Based on this,
the sufficient conditions for asymptotic stability with time-varying communication
delays are presented.
Chapter 9 provides the future research direction on the localization, tracking,
and formation for AUVs, including the network architecture, channel prediction for
communication support, and optimization control.
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Chapter 2
Rigid Graph-Based Asynchronous
Localization of AUVs
2.1 Introduction
To obtain the real-time position of AUV, many sonar-array-based localization meth-

ods have been proposed. Typically, the sonar arrays are towed by a ship or a sub-
marine, which makes them unsuitable for ubiquitous localization task. In addition,
if the ship or submarine that tows the sonar arrays is attacked by enemies, the entire
localization system will be paralyzed completely. Inspired by this, some researchers
employ inertial measurement unit (IMU) and Doppler velocity log (DVL) to locate the
position. However, IMU and DVL have the disadvantage of error accumulation since
the lack of necessary feedback mechanism, which in turn reduces the localization
accuracy. Fortunately, we notice that USNs can provide with us a promising solu-
tion. Especially, USNs consist of a large number of interconnected sensing units that
enable to perform collaborative monitoring tasks in a given water region. Compared
with sonar array system, USNs have the advantages of low cost, rapid deployment,
and self-organization. Meanwhile, the error accumulation in USNs can be shielded
via cooperation among different types of nodes.
Inspired by the advantages of USNs, some persistent localization schemes have
been proposed in the context of USNs. For example, Zhang et al. [1] studied the per-
sistent localization performances with respect to the underwater network topology,
and then the relationship between localization accuracy and network topology was
derived. In [2], an energy-efficient underwater target persistent localization scheme
was developed to prolong the network lifetime. Also of relevance, some other under-
water target localization and persistent localization schemes were developed in [1,
3–9]. However, these localization and persistent localization schemes rely on the
assumptions of accurate clock synchronization and straight-line data transmission.
However, they are strict for USNs, which have been pointed out in Chap. 1. Besides
that, the first-order linearization can introduce large model errors with the methods
in [5, 6]. To reduce model errors, the consensus-based unscented Kalman filter-
ing algorithm was developed in [10] to estimate static target. Recently, the artifi-
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 25
J. Yan et al., Autonomous Underwater Vehicles, Cognitive Intelligence and Robotics,
https://doi.org/10.1007/978-981-16-6096-2_2
26 2 Rigid Graph-Based Asynchronous Localization of AUVs
cial intelligence has also been employed to the localization and routing of USNs,
such as [11–16]. As we known, the localization accuracy can be reduced while the
inhomogeneity characteristic of underwater medium is ignored. With regard of the
asynchronous clock and the inhomogeneity characteristic, how to design an accurate
position acquisition strategy for the target persistent localization becomes the first
issue to be solved.
With the estimated position information, sensor nodes require to perform ubiqui-
tous localization for AUV. Typically, a feasible way to ensure ubiquitous localization
is to improve network connectivity. Nevertheless, a good connectivity can add com-
munication energy consumption and reduce network lifetime. To our knowledge, the
communication energy consumption in water is much higher than the one in terres-
trial environment. Besides, it is difficult to replace the batteries mounted on sensor
nodes. For such a scenario, there is a trade-off between localization accuracy and
energy consumption. To balance the above trade-off, some mobility prediction strate-
gies have been developed in [17–20] to predict the mobility of target, through which
duty-cycle mechanisms are employed to save communication energy consumption.
However, target dynamic in [17–20] is reduced to a second-order differential equa-
tion, and it cannot capture the actual model of AUV, due to which AUV dynamic
usually has nonlinear characteristic with multiple freedoms [21]. On the other hand,
some researchers try to incorporate the graph optimization into the trade-off balance
between connectivity maintenance and energy efficiency, e.g., [22, 23]. Although
the works in [22, 23] demonstrate a good trade-off between connectivity mainte-
nance and energy efficiency, the trade-off between localization accuracy and energy
consumption has not been studied. With consideration of the nonlinear characteristic
of AUV, how to employ the graph optimization technology to balance the trade-off
between localization accuracy and energy consumption for the ubiquitous localiza-
tion is still an open issue to be solved.
To address the above challenges, a rigid graph-based solution is proposed in this
chapter to achieve ubiquitous localization of AUV. The localization process is divided
into two stages, i.e., motion prediction and persistent localization. In the first stage,
sensor nodes employ an unscented transform (UT)-based localization estimator to
obtain the initial position of AUV, through which a terminal sliding mode velocity
observer is designed for sensor nodes to predict the mobility trajectory of AUV. Then,
a minimum rigid graph-based localization strategy is proposed in the second stage to
optimize the network topology. Main contributions of this chapter lie in two aspects:
1. Observer-based motion prediction. An UT-based localization estimator is

developed to estimate AUV. Subsequently, a terminal sliding mode velocity
observer is designed to predict the mobility of AUV. Compared with the posi-
tion acquisition strategies [24, 25], the UT-based localization estimator in this
chapter can relax linearization requirement and improve localization accuracy.
Different from [17–19], the proposed observer combines the position measure-
ment with AUV dynamic, through which the translational and angular velocities
of AUV can be accurately derived.
2.1 Introduction 27
2. Minimum rigid graph-based localization strategy. A minimum rigid graph-

based localization strategy is presented for sensor nodes to achieve persistent
localization. Compared with the existing works in [1, 8], the proposed localization
strategy in this chapter can balance the trade-off between localization accuracy
and energy consumption. In addition, it does not rely on the assumptions of clock
synchronization and straight-line transmission, which are different from the ones
in [3, 4, 8, 20].
2.2 Network Model and Problem Formulation
2.2.1 Network Model
A network architecture including surface buoys, sensor nodes, and AUV is considered
in this chapter, as described in Fig. 2.1.
• Surface Buoys. Surface buoys obtain their time references and positions via elec-
tromagnetic communication with GPS. The function of buoys is to provide self-
position and clock synchronization services for sensor nodes.
• Sensor Nodes. Sensor nodes can make direct communication with surface buoys.
It is assumed that the positions and time clocks of sensor nodes can be preknown by
utilizing some existing technologies, e.g., [26]. The function of sensor nodes is to
track the real-time position of AUV. To save communication energy consumption,
they work in two modes, i.e., high-power activation mode and low-power sleep
mode.
• AUV. AUV is an untethered mobile vehicle with multiple freedoms, whose real-
time position information requires to be located by contacting with sensor nodes.
It is noted that the time clock between AUV and sensor nodes is not well synchro-
nized. In addition, a cooperation scenario is considered here, i.e., AUV periodically
sends an initiator message to the network.
Specifically, the body-fixed reference frame (BRF) and the inertial reference frame
(IRF) are jointly used to describe AUV dynamic. As mentioned in [27], AUV is
intrinsically stable in roll and pitch. Therefore, the velocity vector of AUV in BRF
can be denoted as v0 = [u0 , v0 , w0 , r0 ]T , where u0 , v0 , and w0 represent the linear
velocities in surge, sway, and heave, respectively. In addition, r0 is the angle velocity
of AUV in yaw. Besides that, the position and heading vector of AUV in IRF can be
denoted as η0 = [x0 , y0 , z0 , ϕ0 ]T , where x0 , y0 , and z0 are the positions in X, Y, and
Z axes, respectively. Meanwhile, ϕ0 represents the angle of AUV in yaw. Based on
this, the motion model of AUV can be expressed as
η̇0 = Jv0 , Mv̇0 + Cv0 + Dv0 = τ , (2.1)

Fig. 2.1 Illustration of the network architecture
where J ∈ R4×4 is the rotation matrix, M ∈ R4×4 is the inertia matrix, C ∈ R4×4 is
the Coriolis–centripetal matrix, D ∈ R4×4 denotes the damping matrix, and τ ∈ R4
denotes the torque vector. Readers can refer to [28] for further details about the
modeling of AUV.
Define M = J−T MJ−1 , D = J−T DJ−1 , C = J−T [C − MJ−1 J̇]J−1 and τ̄ = J−T τ .
Then, the motion model of AUV in (2.1) can be rewritten as
Mη̈0 + Cη̇0 + Dη̇0 = τ̄ , (2.2)
and its corresponding discrete-time form can be given as
(k + 1) = (k) + h((k))δ, (2.3)

−1
where = [ηT0 , (Jv0 )T ]T is the state vector, and h() = [Jv0 ; −M (CJv0 +
DJv0 − τ̄ )]. In addition, δ ∈ R+ is the local sampling period of AUV.
It is noted that the clock of AUV is not well synchronized with sensor nodes.
Based on this, the clock model of AUV is considered as follow, i.e.,
Tauv = αauv t + βauv , (2.4)
where Tauv is local time of AUV. In addition, αauv and βauv are clock skew and offset
with respect to real time t, respectively.
A popular sound model [24, 25, 29] is applied to describe the stratification effect.
The sound velocity at depth z̄ can be given as C(z̄) = āz̄ + b̄, where ā denotes the
steepness of sound speed profile, b̄ denotes the sound velocity at surface, and z̄
denotes the depth. In view of this, the acoustic propagation delay between sender
2.2 Network Model and Problem Formulation 29
Fig. 2.2 Description of a ray

between sender S and
receiver R
node S and receiver node R can be calculated by ray tracking approach, as depicted in
Fig. 2.2. Therefore, the propagation delay between sender S and receiver R is given
as
1 1 + sin θS 1 + sin θR
τS,R = − ln − ln , (2.5)
ā cos θS cos θR
where θS = β0 − α0 and θR = β0 + α0 denote the ray angles at sender node S

and
receiver node R, respectively. Especially, α0 = arctan[(0.5ā
((xS − xR )2 + (yS − yR )2 ))/(b̄ + 0.5ā(zS + zR ))] is the
angle of the ray trajectory
deviates from this straight line. β0 = arctan[(zS − zR )/( (xS − xR )2 + (yS − yR )2 )]
is the angle of the straight line between node S and node R, with respect to the hor-
izontal axis. It is noted that, (xS , yS , zS ) denotes the position of sender node S and
(xR , yR , zR ) denotes the position of receiver node R.
The energy consumptions to transmit and receive b bits packet over distance d
can be formulated as [30]
Etx (b, d ) = bPr Tp d λ g(f )d ,

(2.6)
Erx (b, d ) = bPr Tp ,
where b denotes the bit length of the data packet, Pr is the power consumption,
Tp is the data transmission time, d denotes the transmission distance between two
nodes, and the practical value of λ is generally set as 1.5. Specifically, g(f ) denotes the
2
44f 2 −4 2
absorption coefficient, i.e., g(f ) = 0.11f
1+f 2
+ 4100+f 2 + 2.75 × 10 f + 0.003 where
f is the signal frequency.
2.2.2 Problem Formulation
Based on the above discussions, the problems studied in this chapter can be presented
as follows.
Problem 2.1 (Observer-Based Motion Prediction) In underwater environment,
clock is difficult to reach accurate synchronization and the data transmission path
follows a bent trajectory. In addition, AUV dynamic has nonlinear property with
multiple freedoms. The aforementioned characteristics make it difficult to predict
the trajectory of AUV. To handle this issue, we try to design an UT-based localization
estimator to obtain AUV’s initial position, through which a terminal sliding mode
velocity observer is built to predict the mobility of AUV. This problem can be reduced
to estimate η0 and v0 with the constraints of (2.3), (2.4), and (2.5).
Problem 2.2 (Minimum Rigid Graph-Based Localization) To realize ubiquitous

localization for AUV, sensor nodes in USNs require to keep a high network connec-
tivity. Nevertheless, the network scale of USNs is large, and more importantly, the
energy consumption of underwater acoustic communication is much higher than the
one with terrestrial radio wave. Hence, it is difficult to balance the trade-off between
localization accuracy and energy consumption. To handle this issue, a rigid graph-
based localization approach is designed to achieve persistent localization of AUV,
through which a minimum rigid graph and unscented Kalman filtering (UKF) algo-
rithm are jointly employed to improve energy efficiency and localization accuracy.
2.3 Main Results
This section develops a rigid graph-based localization approach for AUV, and its
framework is depicted by Fig. 2.3. Accordingly, the localization approach is divided
into two stages, i.e., (1) the observer-based motion prediction and (2) the minimum
rigid graph-based localization strategy.
Fig. 2.3 Framework of the rigid graph-based localization approach

2.3 Main Results 31
2.3.1 Observer-Based Motion Prediction for AUV
In this section, an UT-based localization estimator is employed by sensor nodes to

obtain the initial position of AUV, i.e., p0 (0) = [x0 (0), y0 (0), z0 (0)]T , and then a
terminal sliding mode velocity observer is designed to predict the trajectory of AUV,
i.e., η0 (k) = [x0 (k), y0 (k), z0 (k), ϕ0 (k)]T for k ≥ 1. To locate p0 (0), the following
steps are conducted.
Step 0. Initialization
When AUV enters into the detection range of sensor nodes, the neighboring sensor
nodes are selected as the active sensor nodes. They are indexed by 1, . . . , N1 , where
N1 denotes the total number. Besides that, the position of active sensor node i is
expressed as pi = [xi , yi , zi ]T for i ∈ {1, . . . , N1 }, and its detection range is Ra . In
addition, it is assumed that the model parameters of AUV are preknown to all sensor
nodes.
Step 1. Data Collection
AUV broadcasts an initiator message to active sensor nodes. To be specific, the
initiator message includes its sending time Ta,a , its initial yaw angle ϕ0 (0), and the
local sampling period δ. At time ta,i , active sensor node i ∈ {1, 2, . . . , N1 } receives
the initiator message from AUV. Then, active sensor node j sends its message to
active sensor node i at time tj,j , where i ∈ {2, . . . , N1 } and j ∈ {1, . . . , i − 1}. Active
sensor node i receives this message at time tj,i . Accordingly, the message sent by the
active sensor node j includes pj , ta,j , tj,i , and tj,j . After active sensor node, N1 receives
message from initial active sensor node N1 − 1, a round of localization procedure
is finished. Based on this, the collected data by active sensor node N1 includes Ta,a ,
N1 ,i−1
ϕ0 (0), δ, {tj,i , tj,j , pj }i=2,j=1 , and {ta,i }Ni=1
1
.
Step 2. Construction of Time Differences
In order to eliminate the effect of clock parameters (i.e., αauv and βauv ), the time
difference can be constructed as
Ti,j = ta,i − ta,j , (2.7)
where i ∈ {2, . . . , N1 } and j ∈ {1, . . . , i − 1}.

It is assumed that each node has the same measurement quality, i.e., the noise of
local measurement is a random variable with zero mean and variance σmea 2
. In view of
(2.7), the relationship between time difference and propagation delays can be given
as
Ta,a − βauv Ta,a − βauv
Ti,j = + τa,i + a,i − + τa,j + a,j
αauv αauv (2.8)
= τa,i − τa,j + i,j ,
where τa,i represents the one-way propagation delay between AUV and sensor node
i ∈ {1, . . . , N1 }. Besides that, a,i ∼ N (0, σmea
2
) represents the time measurement
noise between AUV and sensor node i, while a,j ∼ N (0, σmea 2
) represents the time
measurement noise between AUV and sensor node j. It is worth mentioning that,
τa,i can be calculated by (2.5), and i,j = a,i − a,j satisfies the distribution of
i,j ∼ N (0, 2σmea ).
2
Step 3. Optimization Problem Establishment

Combining (2.7) and (2.8) into vector-matrix form, one has
φ = ξ (p0 (0), pi ) + w, (2.9)
where φ = [T2,1 , . . . , TN1 ,N1 −1 ]T denotes measurement vector, ξ (p0 (0), pi ) =

[τa,2 − τa,1 , . . . , τa,N1 − τa,N1 −1 ]T and w = [ 2,1 , . . . , N1 ,N1 −1 ]T denote noise vec-
tor with covariance R.
Therefore, the optimization problem can be formulated as
p̃0 (0) = argmin[(φ − ξ (p0 (0), pi ))T (φ − ξ (p0 (0), pi ))]. (2.10)
p0 (0)
Step 4. Solution to the Optimization Problem

Denote the lth iteration of p0 (0) as p̃l0 (0) = [x̃0l (0), ỹ0l (0), z̃0l (0)]T . The linearization
of ξ (p0 (0), pi ) can be given as
ξ (p0 (0), pi ) = ξ (p̃l0 (0), pi ) + H(p̃l0 (0)) l

, (2.11)
where H(p̃l0 (0)) denotes the Jacobian matrix at p̃l0 (0) and l denotes the iterative
increment. It is noted that the calculation of Jacobian matrix can introduce large
linearization error. To handle this issue, an UT-based method [31] is adopted to
locate H, which consists of the following phases:
(a) (Sigma point selection). Based on the arbitrary prior mean p̄0 and the covariance
matrix Pp̃l0 (0)p̃l0 (0) , one selects seven sigma points, which can be presented as Xsl
with s ∈ {0, . . . , 6};
(b) (Iteration update). Through weight average, p̄0 and Pp̃l0 (0)p̃l0 (0) is updated with

weight Ws , i.e., p̄0 = 6s=0 Ws Xsl and Pp̃l0 (0)p̃l0 (0) = 6s=0 Ws [Xsl − p̄0 ][Xsl −
p̄0 ]T . In view of this, sigma points can be updated. Instantiating each sigma
point through (2.9), one has φ ls = ξ (Xsl , pi ). Accordingly, the prior measure-
l
ment estimation is given as φ̄ = 6s=0 Ws φ ls . Then, the predicted measurement
covariance matrix Pφφ and cross-covariance matrix Pp̃l0 (0)φ can be calculated as

6
l l
Pφφ = Ws [φ ls − φ̄ ][φ ls − φ̄ ]T + R,
s=0
(2.12)

6
l T
Pp̃l0 (0)φ = Ws [Xsl − p̄0 ][φ ls − φ̄ ] .
s=0
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Autonomous Underwater Vehicles Jing

Yan Xian Yang Haiyan Zhao Xiaoyuan

Autonomous Underwater Vehicles: Localization, Tracking,

Computer Vision based Identification and Mosaic of

Structural Reliability Approaches from Perspectives of

Flapping Wing Vehicles: Numerical and Experimental

Functional Materials from Colloidal Self assembly 1st

Remediation of Chromium Contaminated Soil Theory and

Autonomous and Connected Vehicles Network Architectures

Embedded Robotics: From Mobile Robots to Autonomous

Jing Yan · Xian Yang · Haiyan Zhao ·

More information about this series at http://www.springer.com/series/15488

ISSN 2520-1956 ISSN 2520-1964 (electronic)

The results presented in this book mark a substantial contribution to nonlinear

leader–follower strategy, tracking and formation controllers are developed to stabilize

Qinhuangdao, China Jing Yan

3.3.2 Model-Free Tracking Controller Design . . . . . . . . . . . . . . . . . 70

6.5 Simulation and Experimental Studies . . . . . . . . . . . . . . . . . . . . . . . . . . 149

R Field of real numbers

λ(A) Eigenvalue of matrix A

UAVs Unmanned aerial vehicles

1.1 Underwater Observation Network

Fig. 1.1 Architecture of underwater observation network via AUVs

are cooperatively assisted to support the decision-making process of AUVs. Based

1.2 An Overview of the Existing Works

1.2.1 Ubiquitous Localization of AUVs

According to the different measurement ways, the ubiquitous localization schemes

1.2.1.1 AOA-Based Localization

The positions of AUVs can be estimated by AOA measurement. Particularly, each

Fig. 1.2 An illustration of

According to Stanfield’s method, it is assumed that the measurement noise is

1 sin2 (βi − θi (x))

1 [(y − yi ) cos βi − (x − xi ) sin βi ]2

(x̂, ŷ) = (AT R−1 S−1 A)−1 AT R−1 S−1 b, (1.5)

1.2.1.2 TOA-Based Localization

Fig. 1.3 An illustration of the TOA measurement

Ti = (ti,a − ta,a ) − τi ,

Based on the principle of trilateration, the localization optimization problem can

1.2.1.3 TDOA-Based Localization

Fig. 1.4 An illustration of

t̃i,j = ti,j + ni,j , (1.10)

ϕ(x) ≈ ϕ(x0 ) + ∇ϕ(x0 )(x − x0 ), (1.13)

1.2.1.4 RSS-Based Localization

Fig. 1.5 An illustration of

where f is the frequency of acoustic communication.

Based on this, the localization optimization problem of AUV is given as

x̂ = arg max p(P; x). (1.18)

It is noted that the optimization problem in (1.18) is highly non-convex. Thus, it

1.2.2 Persistent Tracking Control for a Single AUV

1.2.2.1 PID Tracking Controller

e(t) = ηd (t) − η(t). (1.20)

Fig. 1.6 PID control for AUV tracking

1.2.2.2 Fuzzy Tracking Controller

Fig. 1.7 Fuzzy control for AUV tracking

tive fuzzy-based controller was designed to guarantee tracking performance, where

1.2.2.3 Adaptive Tracking Controller

Fig. 1.8 Adaptive control

Adaptive control, nevertheless, as a branch of system theory, is curtailed in indus-

1.2.2.4 Neural Network Tracking Controller

f (Z) = WT φ(Z) + ε(Z), (1.23)

f̂(Z) = ŴT φ(Z), (1.24)

where Ŵ is the actual weight matrix.

Fig. 1.9 Neural network control for AUV tracking

Ti = (ti,a − ta,a ) − τi ,

t̃i,j = ti,j + ni,j , (1.10)