声呐波束形成与波束域高分辨方位估计技术研究
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摘要
反潜是现代海上战争的主要任务之一。如何对潜艇进行有效的探测并估计其方位，长期以来一直是水声领域的一个重要研究课题。现代声呐系统普遍采用水听器基阵和先进的信号处理手段来提高对潜艇的检测和定位能力，而基阵的波束形成则在其中起到了核心作用。但是，传统的波束形成方式所提供的阵增益有限，对干扰的抑制能力不强，且不能分辨空间小角域内的多个目标，影响了声呐系统整体性能的发挥。本文结合国家自然科学基金项目、“九五”国防重点预研项目和实际水声系统的研制，系统研究了声呐波束形成与波束域高分辨目标方位估计技术。本文的主要研究内容包括：
1．系统地研究了窄带声呐的波束形成问题，提出了自适应波束优化设计的改进方法。针对工程实际中基阵的响应向量偏离理论值的情况，提出了基于实测阵列流形波束优化的改进设计方法。在千岛湖针对实际水声基阵进行的实验，验证了新方法的有效性和优越性。
2．深入研究了窄带波束域高分辨方位估计技术，提出了波束区域之外强干扰的抑制方法，并把可分辨强相关源的加权子空间拟合算法推广到波束域中。针对弱相关信号源，研究了波束域MUSIC方法的构造过程，分析了其性能。对波束区域之外存在强干扰的情况，提出采用超低旁瓣波束和基于采样协方差矩阵求逆的MVDR自适应波束来抑制与信源弱相关的强干扰，并分析了可能导致MVDR自适应波束图畸变的原因，采用对采样协方差矩阵进行对角加载的方法消除波束图畸变。对于强干扰和信源强相关的情况，提出采用基于虚拟干扰源的MVDR波束形成方法，设计得到在强干扰方向存在深凹口的波束，以抑制强干扰源。仿真结果表明，无论是对弱相关还是强相关干扰，基于MVDR思想的抑制方法的效果优于基于超低旁瓣波束的方法。针对强相关信源问题，把可分辨强相关源的加权子空间拟合算法推广到波束域中，并针对圆弧阵进行了仿真研究，结果表明波束域加权子空间拟合算法保持了估计目标方位的优越性能。
3．提出了对经典时域宽带波束形成器的改进方法，采用数字延迟线和FIR数字滤波器结合的方式实现时域波束形成，以消除波束畸变并实时实现结构特殊的空间频率响应。利用该方法，可以把宽带低旁瓣波束形成和宽带恒定束宽波束形成等纳入统一的实现框架。针对一个实际的低旁瓣宽带时域波束形成问题，采用窄带波束自适应优化设计方法为宽带内各个频率分量设计低旁瓣的波束形成向
西北工业大学博士学位论文
量。基于此波束形成向量集合，形成FIR数字滤波器的期望频率响应。采用改进
的FIR数字滤波器自适应设计方法，设计了具有特殊频率响应结构的FIR数字滤
波器。该改进方法通过在FIR数字滤波器的自适应求取过程中自动调整各个频率
分量上代价因子的值，实现代价因子的最优取值，进而使设计得到的FIR数字滤。
波器的频率响应和期望值获得了最佳拟合。湖上实验验证了低旁瓣波柬形成的正
确性，表明本方法具有在实际系统中应用的前景。
4．研究了基阵的宽带恒定束宽波束设计方法，提出了一种可用于任意结构
基阵的宽带恒定束宽波束设计新方法，并进行了实验验证。针对均匀分布线列阵，
设计了基于Chebyshev加权的宽带恒定束宽波束形成向量，消声水池实验验证了
设计方法对于实际基阵的有效性。对于任意几何结构基阵，提出了一种新的宽带
恒定束宽设计方法。针对一个24元均匀分布圆阵的湖上实验结果表明，这种新
的恒定束宽波束形成方法是有效的，且在一般条件下，对基阵阵元幅度和相位响
应误差具有良好的宽容性。
5．为了提高声呐系统对安静型潜艇的探测能力，研究了宽带小间隔基阵的
最佳阵增益，并提出了针对小间隔基阵的宽带高增益波束形成方案。通过数值计
算分析了小间隔透声圆阵的最佳阵增益，获得的主要结论有：l）当小间隔透声
圆阵最优波束指向位于圆阵所在平面内时可以获得最大阵增益，该增益值可以大
于常规处理的最大阵增益；2）通过对噪声相关系数矩阵进行对角加载，虽然最
佳增益有所下降，但是可以提高抗阵元误差的能力。基于小间隔透声圆阵的窄带
最佳阵增益处理，提出了一种宽带高增益波束形成方案。针对透声圆阵，在新安
江水库进行了实验验证。结果表明，在实验条件下，高增益波束形成比常规处理
方式获得了3dB的额外处理增益。
6．研究了基于恒定束宽波束输出的宽带相干高分辨处理方法和基于子带波
束输出的宽带非相干高分辨处理方法。首次提出在宽带非相干波束域高分辨处理
方法中，各子带单独进行目标方位估计时，采用MVDR波束形成抑制波束区域
之外的强干扰。该方法克服了基于预成恒定束宽波束输出的宽带相干高分辨处理
方法不能有效抑制波束区域之外强于扰的不足，仿真结果表明该方法在低信噪比
具有良好的性能c
Antisubmarine warfare is a crucial underpinning for future navy missions. For a long time,the problem of detecting submarines and estimating their bearings has been remaining a very active research area in underwater acoustics. Modern sonar systems generally use hydrophone arrays and advanced signal processing techniques to improve their detection and localization abilities,whereas beamforming plays an important role. As it is known,the conventional beamforming approach provides limited array gains and low interference suppression abilities,and cannot resolve multi-targets distributed within a small spatial region. All these limitations influence the whole performance available in sonar systems. Supported by the Natural Science Foundation of China,this dissertation systematically studies beamforming techniques and beamspace high resolution bearing estimation algorithms with emphasis on sonar systems. The main contributions are as follows:
1. A modified approach for narrowband adaptive beam pattern optimisation is proposed by using a varying step size in the optimisation procedure. With calibrated array manifold vectors replacing their theoretical values,the performance can be further improved and better beam pattern is obtained. Lake-experiment was conducted for a real sonar system and the results showed the effectiveness and superiority of the proposed methods.
2. Narrowband beamspace high resolution bearing estimation techniques are studied thoroughly. The construction procedure and performance of beamspace MUSIC are demonstrated for the weak correlated signals. Beamspace MUSIC based on MVDR beamformer outputs is proposed to remove the contribution from interferes outside the beam coverage region,so to ensure the correct estimation of target bearings inside that region. The weighted subspace fitting (WSF) algorithm is extended into beamspace to resolve strongly correlated signals. Computer simulation results show that the beamspace WSF algorithm retains the super performance of its element space counterpart when applied to the beam outputs of some practical acoustic-receiving array.
3. An improved form of classical time domain broadband beamforming is proposed by combining digital delay lines and FIR filters. FIR filters with special frequency responses are designed using a modified adaptive design approach for a practical broadband low sidelobe level beamforming problem in time domain. Lake-experiment verified the correctness of this low sidelobe level beamformer.
4. The broadband constant beamwidth beamforming vectors for a uniform linear array are designed and its effectiveness when applied to a real array is verified by water tank experiment. A new method of broadband constant beamwidth beamforming for arbitrary geometry arrays is proposed. Lake-experiment for an un-baffled practical circular array verified the effectiveness and error tolerance of this new method.
5. The intrinsic mechanism of optimal array gains is studied for the scenario when the element spacing is less than one half-wavelength,with emphasis on un-baffled circular arrays. A broadband high array gain beamforming scheme is developed,based on the narrowband optimal array gain processing procedure. Results of lake-experiment show that the high gain beamforming approach can obtain extra 3dB under the situation of the experiment,compared to that obtained via the conventional method.
6. The broadband coherent high resolution processing method based on constant beamwidth beamformers and the incoherent high resolution processing method based on subband beamformers are studied. In the broadband incoherent beamspace high resolution method,the outputs of MVDR beamformers are used to suppress the interference from outside the beam coverage region in each subband. Computer simulation results show good performance at low signal to noise ratio (SNR).
1．系统地研究了窄带声呐的波束形成问题，提出了自适应波束优化设计的改进方法。针对工程实际中基阵的响应向量偏离理论值的情况，提出了基于实测阵列流形波束优化的改进设计方法。在千岛湖针对实际水声基阵进行的实验，验证了新方法的有效性和优越性。
2．深入研究了窄带波束域高分辨方位估计技术，提出了波束区域之外强干扰的抑制方法，并把可分辨强相关源的加权子空间拟合算法推广到波束域中。针对弱相关信号源，研究了波束域MUSIC方法的构造过程，分析了其性能。对波束区域之外存在强干扰的情况，提出采用超低旁瓣波束和基于采样协方差矩阵求逆的MVDR自适应波束来抑制与信源弱相关的强干扰，并分析了可能导致MVDR自适应波束图畸变的原因，采用对采样协方差矩阵进行对角加载的方法消除波束图畸变。对于强干扰和信源强相关的情况，提出采用基于虚拟干扰源的MVDR波束形成方法，设计得到在强干扰方向存在深凹口的波束，以抑制强干扰源。仿真结果表明，无论是对弱相关还是强相关干扰，基于MVDR思想的抑制方法的效果优于基于超低旁瓣波束的方法。针对强相关信源问题，把可分辨强相关源的加权子空间拟合算法推广到波束域中，并针对圆弧阵进行了仿真研究，结果表明波束域加权子空间拟合算法保持了估计目标方位的优越性能。
3．提出了对经典时域宽带波束形成器的改进方法，采用数字延迟线和FIR数字滤波器结合的方式实现时域波束形成，以消除波束畸变并实时实现结构特殊的空间频率响应。利用该方法，可以把宽带低旁瓣波束形成和宽带恒定束宽波束形成等纳入统一的实现框架。针对一个实际的低旁瓣宽带时域波束形成问题，采用窄带波束自适应优化设计方法为宽带内各个频率分量设计低旁瓣的波束形成向
西北工业大学博士学位论文
量。基于此波束形成向量集合，形成FIR数字滤波器的期望频率响应。采用改进
的FIR数字滤波器自适应设计方法，设计了具有特殊频率响应结构的FIR数字滤
波器。该改进方法通过在FIR数字滤波器的自适应求取过程中自动调整各个频率
分量上代价因子的值，实现代价因子的最优取值，进而使设计得到的FIR数字滤。
波器的频率响应和期望值获得了最佳拟合。湖上实验验证了低旁瓣波柬形成的正
确性，表明本方法具有在实际系统中应用的前景。
4．研究了基阵的宽带恒定束宽波束设计方法，提出了一种可用于任意结构
基阵的宽带恒定束宽波束设计新方法，并进行了实验验证。针对均匀分布线列阵，
设计了基于Chebyshev加权的宽带恒定束宽波束形成向量，消声水池实验验证了
设计方法对于实际基阵的有效性。对于任意几何结构基阵，提出了一种新的宽带
恒定束宽设计方法。针对一个24元均匀分布圆阵的湖上实验结果表明，这种新
的恒定束宽波束形成方法是有效的，且在一般条件下，对基阵阵元幅度和相位响
应误差具有良好的宽容性。
5．为了提高声呐系统对安静型潜艇的探测能力，研究了宽带小间隔基阵的
最佳阵增益，并提出了针对小间隔基阵的宽带高增益波束形成方案。通过数值计
算分析了小间隔透声圆阵的最佳阵增益，获得的主要结论有：l）当小间隔透声
圆阵最优波束指向位于圆阵所在平面内时可以获得最大阵增益，该增益值可以大
于常规处理的最大阵增益；2）通过对噪声相关系数矩阵进行对角加载，虽然最
佳增益有所下降，但是可以提高抗阵元误差的能力。基于小间隔透声圆阵的窄带
最佳阵增益处理，提出了一种宽带高增益波束形成方案。针对透声圆阵，在新安
江水库进行了实验验证。结果表明，在实验条件下，高增益波束形成比常规处理
方式获得了3dB的额外处理增益。
6．研究了基于恒定束宽波束输出的宽带相干高分辨处理方法和基于子带波
束输出的宽带非相干高分辨处理方法。首次提出在宽带非相干波束域高分辨处理
方法中，各子带单独进行目标方位估计时，采用MVDR波束形成抑制波束区域
之外的强干扰。该方法克服了基于预成恒定束宽波束输出的宽带相干高分辨处理
方法不能有效抑制波束区域之外强于扰的不足，仿真结果表明该方法在低信噪比
具有良好的性能c
Antisubmarine warfare is a crucial underpinning for future navy missions. For a long time,the problem of detecting submarines and estimating their bearings has been remaining a very active research area in underwater acoustics. Modern sonar systems generally use hydrophone arrays and advanced signal processing techniques to improve their detection and localization abilities,whereas beamforming plays an important role. As it is known,the conventional beamforming approach provides limited array gains and low interference suppression abilities,and cannot resolve multi-targets distributed within a small spatial region. All these limitations influence the whole performance available in sonar systems. Supported by the Natural Science Foundation of China,this dissertation systematically studies beamforming techniques and beamspace high resolution bearing estimation algorithms with emphasis on sonar systems. The main contributions are as follows:
1. A modified approach for narrowband adaptive beam pattern optimisation is proposed by using a varying step size in the optimisation procedure. With calibrated array manifold vectors replacing their theoretical values,the performance can be further improved and better beam pattern is obtained. Lake-experiment was conducted for a real sonar system and the results showed the effectiveness and superiority of the proposed methods.
2. Narrowband beamspace high resolution bearing estimation techniques are studied thoroughly. The construction procedure and performance of beamspace MUSIC are demonstrated for the weak correlated signals. Beamspace MUSIC based on MVDR beamformer outputs is proposed to remove the contribution from interferes outside the beam coverage region,so to ensure the correct estimation of target bearings inside that region. The weighted subspace fitting (WSF) algorithm is extended into beamspace to resolve strongly correlated signals. Computer simulation results show that the beamspace WSF algorithm retains the super performance of its element space counterpart when applied to the beam outputs of some practical acoustic-receiving array.
3. An improved form of classical time domain broadband beamforming is proposed by combining digital delay lines and FIR filters. FIR filters with special frequency responses are designed using a modified adaptive design approach for a practical broadband low sidelobe level beamforming problem in time domain. Lake-experiment verified the correctness of this low sidelobe level beamformer.
4. The broadband constant beamwidth beamforming vectors for a uniform linear array are designed and its effectiveness when applied to a real array is verified by water tank experiment. A new method of broadband constant beamwidth beamforming for arbitrary geometry arrays is proposed. Lake-experiment for an un-baffled practical circular array verified the effectiveness and error tolerance of this new method.
5. The intrinsic mechanism of optimal array gains is studied for the scenario when the element spacing is less than one half-wavelength,with emphasis on un-baffled circular arrays. A broadband high array gain beamforming scheme is developed,based on the narrowband optimal array gain processing procedure. Results of lake-experiment show that the high gain beamforming approach can obtain extra 3dB under the situation of the experiment,compared to that obtained via the conventional method.
6. The broadband coherent high resolution processing method based on constant beamwidth beamformers and the incoherent high resolution processing method based on subband beamformers are studied. In the broadband incoherent beamspace high resolution method,the outputs of MVDR beamformers are used to suppress the interference from outside the beam coverage region in each subband. Computer simulation results show good performance at low signal to noise ratio (SNR).
引文
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