稳健波束形成与高分辨方位估计技术研究
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摘要
为了提高强干扰背景中弱目标信号的检测和方位估计性能，改善声纳系统的远程感知能力，本文结合水声技术国防科技重点实验室和水下信息与控制重点实验室基金项目，针对实际应用环境，从提高波束形成和高分辨方位估计方法的干扰抑制性能和稳健性两个方面，系统深入地开展了理论与实验研究。主要研究内容包括：
1．针对被动声纳的实际情况，提出了利用凹槽空域矩阵滤波去除基阵输出数据中的期望信号分量，再求取自适应权的稳健自适应波束形成方法。该方法有效地缓解了系统误差引起的信号对消，增强了自适应波束形成对系统误差的稳健性。计算机仿真结果验证了算法的有效性。
2．针对多阵元大孔径基阵，提出了将零陷展宽技术与对角加载量优化技术相结合的方法，以缓解存在快速运动强干扰时自适应波束形成性能的严重降低。并且应用此方法形成多波束进行数据的预处理，以消除快速运动强干扰对波束域方位估计方法的影响。计算机仿真结果表明，所提方法能够有效地抑制快速运动的强干扰，提高了强干扰背景下对弱目标信号的检测和方位估计性能。
3．针对当感兴趣的波束区域之外存在强干扰时，基于波束输出的波束域高分辨方位估计方法在实际环境中的性能将下降问题，提出在多波束形成时采用实测阵列流形进行低旁瓣波束优化的方法，以减小干扰残余量对方位估计算法的影响。水池实验结果表明，该方法能保证波束形成器在实际环境中形成期望的低旁瓣，从而有效地抑制干扰，正确地估计目标方位。
4．深入地研究了空域矩阵滤波器的设计方法及其在目标方位估计中的应用，提出了基于二阶锥规划技术的自适应空域矩阵滤波器的设计方法。该方法能在保证通带设计精度的基础上，在阻带区域形成零陷以实现对强干扰的抑制。其次，提出了两种降维自适应空域矩阵滤波器的设计方法。计算机仿真结果表明，采用自适应矩阵滤波器比采用非数据依赖的常规方法有更好的方位估计性能，而且降维处理能在不显著降低估计性能的基础上，显著减小计算负担。
5．提出了自适应插值空域矩阵滤波器的设计方法。该方法能够对任意结构基阵的输出数据进行虚拟插值变换，使其具有均匀线列阵的特征，然后利用针对均匀线列阵的一些高效方法实现信源的解相干以及方位估计。同时，此方法能自动地在干扰方位形成尖锐的零陷抑制强干扰，提高对弱目标信号的方位估计性能。计算机仿真验证了此方法的有效性。
6．研究了基于恒定束宽波束输出和基于虚拟插值变换技术的宽带相干高分辨方位估计方法。通过采用凸优化技术设计恒定束宽波束形成器和虚拟插值滤波变换矩阵，有效地提高了设计精度，且能够严格控制旁瓣或阻带衰减级低于期望值，从而改进了基于恒定束宽波束形成和基于虚拟插值滤波变换技术的高分辨方位估计方法的性能。计算机仿真和湖上实验结果验证了所提方法的有效性。
7．研究了非相干宽带高分辨方位估计方法。针对不相关的目标信号，采用自适应空域矩阵滤波器抑制感兴趣的目标区域之外的强干扰；而针对相干目标信号，将自适应虚拟插值矩阵滤波和空间平滑技术相结合，在实现目标信号解相干的同时，在干扰方位形成零陷以抑制强干扰。计算机仿真结果表明所提方法具有良好的干扰抑制性能，能显著提高强干扰背景中对弱目标信号的方位估计性能。
The performance of passive acoustic signal processing techniques would becomeseverely degradedwhen the acoustic source of interest is obscured by stronginterferences. To improve the performance of passive acoustic signal processingtechniques in practical acoustic situations, this dissertation systematically deploystheoretical and experimental studies on beamforming and direction-of-arrival (DOA)estimation techniques in aspects of enhancing the ability of suppressing interferencesand their robustness as well. This dissertation is supported by the Fund of the KeyLaboratory of Underwater Acoustics and Key Laboratory of Underwater SignalProcessing and Control. The main contributions are as follows:
1. In the case of passive sonar, a novel approach to adaptive beamformer isproposed, in which firstly the desired signal component is attenuated from incomingdata snapshots by the spatial matrix filter, and then the weight of the adaptivebeamformer is computed using filtered data snapshots. The approach overcomes thedesired signal cancellation problem, and thus the robustness against system errors isgreatly promoted. Computer simulation results demonstrate its validity.
2. In order to alleviate the performance degradation of adaptive beamformingmethods in the presence of fast-moving strong interferers, a robust adaptivebeamforming algorithm is presented. Null-broadening technique is used to suppressinterferences, and diagonal loading is employed to enhance its robustness meantime.This robust adaptive beamformer can also be used to provide high quality beam outputdata in beamspace methods. Computer simulation results show that the proposedalgorithm has a good ability of detecting and estimating the DOAs of weak stationarysignals under circumstances of strong interferences.
3. An efficient method to alleviate the influence of array mismatch errors isproposed, in which calibrated array manifold is employed in the low-sidelobebeampattern synthesis procedure in the order that the effect of residual interferences isweakened. Anechoic tank experimental results show that calibrated array manifold isable to abate the distortion of beampattern caused by system errors, which guaranteesan expected low-level sidelobe, and therefore the algorithm can get better performanceof DOA estimation.
4. The design approach of spatial matrix filter and its application in the DOAestimation are studied profoundly. Due to the insufficiency of conventional matrixfilters, this contribution develops a design scheme based on the second-order cone programming (SOCP). The approach can form nulls in stopband to suppress stronginterferences while guarantee the design accuracy of the passband. Furthermore, twodimensionality reduced adaptive spatial matrix filter are developed in order to reducecomputation significantly at the cost of minor degradation of estimation performance.
5. A design approach of adaptive interpolation spatial matrix filter is presented.To the output data of arrays with arbitrary geometry, this approach is able to do somevirtual interpolation transforms, which lead to characteristics of the output data ofuniform linear array (ULA), and ultimately to the employment of methods suitable toULA. The approach can form deep nulls in the directions of interferers, and get betterperformance of DOA estimation. Computer simulation results prove its validity.
6. The broadband coherent high resolution DOA estimation methods based onthe constant beamwidth beamforming and on the virtual interpolation technique arestudied, respectively. Both of them are designed through the cone optimizationtechnique, which consequently promote the design accuracy, and hence improveperformances of both methods in high resolution DOA estimation significantly. BothComputer simulation results and lake experiments show that the proposed algorithmscan enhance the performance of DOA estimation.
7. In the case of incoherent signals, the proposed algorithm employs theadaptive spatial matrix filter to suppress interferences outside the area of interest; andin case of coherent signals, the proposed algorithm combines the adaptive virtualinterpolation matrix and the spatial smoothing technique, thus forms nulls in thedirections of interferers to suppress them in the meantime of dealing with the coherentproblem. Computer simulation results show that the proposed scheme has a desirableperformance in suppressing interferences thus enhance the ability of estimating theDOAs of weak stationary signals under circumstances of strong interferences,
1．针对被动声纳的实际情况，提出了利用凹槽空域矩阵滤波去除基阵输出数据中的期望信号分量，再求取自适应权的稳健自适应波束形成方法。该方法有效地缓解了系统误差引起的信号对消，增强了自适应波束形成对系统误差的稳健性。计算机仿真结果验证了算法的有效性。
2．针对多阵元大孔径基阵，提出了将零陷展宽技术与对角加载量优化技术相结合的方法，以缓解存在快速运动强干扰时自适应波束形成性能的严重降低。并且应用此方法形成多波束进行数据的预处理，以消除快速运动强干扰对波束域方位估计方法的影响。计算机仿真结果表明，所提方法能够有效地抑制快速运动的强干扰，提高了强干扰背景下对弱目标信号的检测和方位估计性能。
3．针对当感兴趣的波束区域之外存在强干扰时，基于波束输出的波束域高分辨方位估计方法在实际环境中的性能将下降问题，提出在多波束形成时采用实测阵列流形进行低旁瓣波束优化的方法，以减小干扰残余量对方位估计算法的影响。水池实验结果表明，该方法能保证波束形成器在实际环境中形成期望的低旁瓣，从而有效地抑制干扰，正确地估计目标方位。
4．深入地研究了空域矩阵滤波器的设计方法及其在目标方位估计中的应用，提出了基于二阶锥规划技术的自适应空域矩阵滤波器的设计方法。该方法能在保证通带设计精度的基础上，在阻带区域形成零陷以实现对强干扰的抑制。其次，提出了两种降维自适应空域矩阵滤波器的设计方法。计算机仿真结果表明，采用自适应矩阵滤波器比采用非数据依赖的常规方法有更好的方位估计性能，而且降维处理能在不显著降低估计性能的基础上，显著减小计算负担。
5．提出了自适应插值空域矩阵滤波器的设计方法。该方法能够对任意结构基阵的输出数据进行虚拟插值变换，使其具有均匀线列阵的特征，然后利用针对均匀线列阵的一些高效方法实现信源的解相干以及方位估计。同时，此方法能自动地在干扰方位形成尖锐的零陷抑制强干扰，提高对弱目标信号的方位估计性能。计算机仿真验证了此方法的有效性。
6．研究了基于恒定束宽波束输出和基于虚拟插值变换技术的宽带相干高分辨方位估计方法。通过采用凸优化技术设计恒定束宽波束形成器和虚拟插值滤波变换矩阵，有效地提高了设计精度，且能够严格控制旁瓣或阻带衰减级低于期望值，从而改进了基于恒定束宽波束形成和基于虚拟插值滤波变换技术的高分辨方位估计方法的性能。计算机仿真和湖上实验结果验证了所提方法的有效性。
7．研究了非相干宽带高分辨方位估计方法。针对不相关的目标信号，采用自适应空域矩阵滤波器抑制感兴趣的目标区域之外的强干扰；而针对相干目标信号，将自适应虚拟插值矩阵滤波和空间平滑技术相结合，在实现目标信号解相干的同时，在干扰方位形成零陷以抑制强干扰。计算机仿真结果表明所提方法具有良好的干扰抑制性能，能显著提高强干扰背景中对弱目标信号的方位估计性能。
The performance of passive acoustic signal processing techniques would becomeseverely degradedwhen the acoustic source of interest is obscured by stronginterferences. To improve the performance of passive acoustic signal processingtechniques in practical acoustic situations, this dissertation systematically deploystheoretical and experimental studies on beamforming and direction-of-arrival (DOA)estimation techniques in aspects of enhancing the ability of suppressing interferencesand their robustness as well. This dissertation is supported by the Fund of the KeyLaboratory of Underwater Acoustics and Key Laboratory of Underwater SignalProcessing and Control. The main contributions are as follows:
1. In the case of passive sonar, a novel approach to adaptive beamformer isproposed, in which firstly the desired signal component is attenuated from incomingdata snapshots by the spatial matrix filter, and then the weight of the adaptivebeamformer is computed using filtered data snapshots. The approach overcomes thedesired signal cancellation problem, and thus the robustness against system errors isgreatly promoted. Computer simulation results demonstrate its validity.
2. In order to alleviate the performance degradation of adaptive beamformingmethods in the presence of fast-moving strong interferers, a robust adaptivebeamforming algorithm is presented. Null-broadening technique is used to suppressinterferences, and diagonal loading is employed to enhance its robustness meantime.This robust adaptive beamformer can also be used to provide high quality beam outputdata in beamspace methods. Computer simulation results show that the proposedalgorithm has a good ability of detecting and estimating the DOAs of weak stationarysignals under circumstances of strong interferences.
3. An efficient method to alleviate the influence of array mismatch errors isproposed, in which calibrated array manifold is employed in the low-sidelobebeampattern synthesis procedure in the order that the effect of residual interferences isweakened. Anechoic tank experimental results show that calibrated array manifold isable to abate the distortion of beampattern caused by system errors, which guaranteesan expected low-level sidelobe, and therefore the algorithm can get better performanceof DOA estimation.
4. The design approach of spatial matrix filter and its application in the DOAestimation are studied profoundly. Due to the insufficiency of conventional matrixfilters, this contribution develops a design scheme based on the second-order cone programming (SOCP). The approach can form nulls in stopband to suppress stronginterferences while guarantee the design accuracy of the passband. Furthermore, twodimensionality reduced adaptive spatial matrix filter are developed in order to reducecomputation significantly at the cost of minor degradation of estimation performance.
5. A design approach of adaptive interpolation spatial matrix filter is presented.To the output data of arrays with arbitrary geometry, this approach is able to do somevirtual interpolation transforms, which lead to characteristics of the output data ofuniform linear array (ULA), and ultimately to the employment of methods suitable toULA. The approach can form deep nulls in the directions of interferers, and get betterperformance of DOA estimation. Computer simulation results prove its validity.
6. The broadband coherent high resolution DOA estimation methods based onthe constant beamwidth beamforming and on the virtual interpolation technique arestudied, respectively. Both of them are designed through the cone optimizationtechnique, which consequently promote the design accuracy, and hence improveperformances of both methods in high resolution DOA estimation significantly. BothComputer simulation results and lake experiments show that the proposed algorithmscan enhance the performance of DOA estimation.
7. In the case of incoherent signals, the proposed algorithm employs theadaptive spatial matrix filter to suppress interferences outside the area of interest; andin case of coherent signals, the proposed algorithm combines the adaptive virtualinterpolation matrix and the spatial smoothing technique, thus forms nulls in thedirections of interferers to suppress them in the meantime of dealing with the coherentproblem. Computer simulation results show that the proposed scheme has a desirableperformance in suppressing interferences thus enhance the ability of estimating theDOAs of weak stationary signals under circumstances of strong interferences,
引文
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