近现代以来，人类对于海洋的研究和海域的防卫程度都在不断加大。作为海洋高科技研究成果的重要组成部分自治水下航行器(AUV，Autonomous underwater vehicle)在军事和其他各领域都有重要的价值。因其工作环境复杂且多变，实现AUV的运动控制成为十分有价值的研究课题。本文通过研究滑模控制理论、李亚普诺夫稳定性理论和智能自适应控制相关理论，结合欠驱动AUV在近水面的运动规律，针对欠驱动AUV水平面轨迹跟踪控制中的非完整约束、模型中的耦合性和非线性、海流干扰、跟踪精度等问题进行了深入的研究，基于终端滑模控制方法对欠驱动AUV轨迹跟踪进行有效控制，对控制系统取得良好的跟踪效果有重要意义；另外针对近水面AUV航行时产生的纵摇和横摇问题，分析了AUV的动态阻力模型，从具有非最小相位特性的舵减摇系统模型入手，将自适应控制方法、反馈线性化方法、非线性滑模控制方法相结合研究AUV能量优化的新型减摇综合控制策略，旨在提高AUV的减摇效率和AUV运动系统的动态品质。具体研究工作如下： 1.定义了AUV的地面坐标系和船体坐标系，并完成了地面坐标系向船体坐标系的转换。建立了欠驱动AUV的水平面运动学模型和动力学模型，并分析了该模型中的非线性与耦合性、欠驱动性和外界干扰等对控制器的影响。建立了基于参量优化的近水面时AUV在垂直面内的纵倾运动模型，并以纵摇角、垂荡位移等为约束目标，分析近水面AUV所受波浪力和力矩及其阻力。 2.为了提高欠驱动AUV的水平面轨迹跟踪精确性和鲁棒性，设计了基于非线性终端滑模的轨迹跟踪控制器。所提控制方案的目的是在保证跟踪精度的同时，有效的增强AUV平面轨迹跟踪时横荡方向的抗干扰性能。分别对位置和姿态的两个闭环回路设计了不同的轨迹跟踪控制器，并基于Lyapunov稳定性理论对该控制系统的稳定性进行了有效的分析论证，保证了在时变干扰下的AUV水平面的精确控制。 3.以AUV在近水面运动航行为工程背景，对AUV俯仰运动的动态阻力模型进行深入的研究，进而研究有关俯仰角、俯仰位移和驱动能量作为综合指标的俯仰运动动态控制模型，提出考虑动态阻力影响下的AUV纵摇抑制策略，并分别基于LQR方法、自适应滑模和非线性自适应模糊滑模等控制方法对所提出的问题设计不同的控制器，旨在优化AUV在近水面航行时由俯仰运动引起的阻力增大问题，实现能量优化的续航控制。 4.针对多数未考虑减摇装置自身存在的非线性，因而导致减摇率并不够高的问题，本文在考虑减摇装置非线性的工况下建立从舵到横摇角的非最小相位非线性AUV模型；然后将反馈线性化与非线性模糊滑模控制方法相结合，基于稳定性理论的反演推导，提出一种能够有效同步控制航向和减横摇的舵减摇控制方法，旨在提高AUV运动闭环系统的稳定性和鲁棒性。 本文中控制方法的稳定性均采用Lyapunov稳定性理论加以证明。本文研究理论对于近水面运动时AUV安全、可靠的完成任务使命，具有重要的工程实用价值。 关键词：欠驱动自治水下航行器；水平面运动控制；近水面综合减摇；滑模控制；李亚普诺夫稳定性理论

 Since modern times, the studies of the sea and the degree of the marine defense are increasing. As an important component of marine high-tech research results, autonomous underwater vehicles(AUV, Autonomous underwater vehicle) are of great value in military and other fields. Because of the complex and changeable working environment, the motion control of AUV has become a very valuable research topic. Based on sliding mode control theory, Lyapunov stability theory and intelligent control theory, combined with the underactuated AUV motion near the surface,this paper makes an in-depth research of underactuated AUV horizontal plane trajectory tracking control, thus it can deal with the problem of nonholonomic constraints, model coupling, nonlinear characteristics, current disturbance, and tracking accuracy. Based on the terminal sliding mode control method for underactuated AUV trajectory tracking control, the research is of significance to achieve good tracking effect on the control system. In addition,in order to solve the problem of the near surface AUV navigation generated when pitching and rolling, the research analyzes the dynamic resistance model of AUV, starts from a non minimum phase characteristic of the rudder with the model of anti-roll system.From the rudder stabilizer system with non-minimum phase characteristic model, adaptive control method, feedback linearization method, the nonlinear sliding mode control method are combined and used to study the new damping composite of AUV energy optimization control strategy. The above strategy is designed to improve the roll stabilization efficiency of AUV and the dynamic quality of AUV motion system. Specific research work is as follows: 1.The ground coordinate system and hull coordinate system of AUV are defined, and the conversion from ground coordinate system to ship coordinate system is completed. The kinematics model and dynamics model of the underactuated AUV are established, and the effects of nonlinearity and coupling, underactuated and external disturbances on the controller are analyzed. Based on the optimization of the parameters, the longitudinal motion model of the AUV in the vertical plane is established.And the pitching angle and heave displacement being taken as constraints, the analysis of wave force and moment and its resistance in near surface AUV is carried out. 2.In order to improve the accuracy and robustness of the trajectory tracking of underactuated AUV, a trajectory tracking controller based on nonlinear terminal sliding mode is designed. The purpose of the proposed control scheme is to ensure the tracking accuracy, and effectively improve the anti-jamming performance of the AUV plane trajectory tracking.According to two closed loops of position and posture, each individual trajectory tracking controller is designed.And based on Lyapunov stability theory, the effective stability of the control system is analyzed to ensure the precise horizontal plane control of the AUV under the time-varying disturbance. 3.In the engineering background of the AUV in the near surface navigation, in-depth research on the dynamic resistance model for AUV pitching motion is made, and then the dynamic control model of the pitching angle, pitch displacement and driving energy as a comprehensive index is studied. AUV pitching motion is researched considering the dynamic resistance under the influence of the longitudinal rocking suppression strategy. The LQR method, nonlinear adaptive sliding mode method and adaptive fuzzy sliding mode control method are designed to optimize the AUV navigation in the near surface by pitching motion caused by the resistance increase, realize the energy optimized endurance control. 4.For the problem that most nonlinear anti-rolling devices do not consider own existence nonlinearity which lead to the low anti roll rate, a non-minimum phase nonlinear AUV model from the rudder to the roll angle of the stabilizer nonlinear conditions is considered to be established,then a method of feedback linearization and nonlinear fuzzy sliding mode control method combining inversion based on the stability theory is proposed, which can effectively control the course and synchronous rolling of the rudder roll control method, so as to improve the stability and robustness of the closed-loop system. In this paper, the stability of the control method is proved by Lyapunov stability theory. The proposed theory which ensures the safe and reliable performance of AUV in near surface motion has important practical value in engineering. Key words: underactuated AUV; horizontal motion control; near surface roll stabilization; sliding mode control; Lyapunov stability theory