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声纳阵列信号处理技术

作译者：杜选民,周胜增,高源

出版时间：2018-02 千字数：396 版次：01-01 页数：260

开本：16开装帧： I S B N ：9787121336492

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第1 章 声场概述············································································································1
1.1 引言···························································································································· 1
1.2 声波的基本概念········································································································ 1
1.3 声学基本物理量········································································································ 1
1.4 理想流体介质中小振幅波传播的基本规律······························································ 2
1.4.1 理想流体介质······································································································· 2
1.4.2 连续性方程·········································································································· 3
1.4.3 状态方程············································································································· 3
1.4.4 运动方程············································································································· 4
1.4.5 波动方程············································································································· 4
1.4.6 速度势函数·········································································································· 4
1.4.7 亥姆霍兹方程······································································································· 5
1.4.8 三种不同坐标系下亥姆霍兹方程求解····································································· 5
1.4.9 线性滤波器理论框架下波动方程求解····································································· 9
1.4.10 介质特性阻抗··································································································· 11
1.5 分层介质中的波传播······························································································· 11
1.5.1 平行平面层中波传播的一般关系·········································································· 11
1.5.2 边界条件··········································································································· 12
1.5.3 硬底均匀浅海声场······························································································ 12
1.5.4 液态海底均匀浅海声场······················································································· 14
1.6 声场传播基本模型··································································································· 15
1.7 声学工具·················································································································· 16
1.8 本章小结·················································································································· 17
参考文献······························································································································17
第2 章 基阵理论基础···································································································18
2.1 引言·························································································································· 18
2.2 基阵的主要性能参数······························································································· 18
2.2.1 常见的基阵类型································································································· 18
2.2.2 主要性能参数····································································································· 18
2.3 均匀线列阵·············································································································· 21
2.3.1 基阵响应（指向性函数） ···················································································· 22
2.3.2 乘积定理··········································································································· 24
2.3.3 幅度加权··········································································································· 25
2.3.4 波束扫描··········································································································· 25
2.3.5 离散空间傅里叶变换··························································································· 27
2.3.6 宽带声源··········································································································· 29
2.4 均匀平面阵·············································································································· 29
2.5 圆形阵······················································································································ 30
2.6 双线列阵·················································································································· 31
2.7 三元组线列阵·········································································································· 33
2.8 四元组线列阵·········································································································· 35
2.9 本章小结·················································································································· 36
参考文献··························································································································· 37
第3 章 阵列信号模型···································································································38
3.1 引言·························································································································· 38
3.2 基阵信号与噪声······································································································ 38
3.2.1 空间信号··········································································································· 38
3.2.2 基本假设条件····································································································· 39
3.2.3 信号的窄带假设和解析表示················································································· 42
3.2.4 基阵噪声假设····································································································· 45
3.3 阵列信号模型·········································································································· 46
3.3.1 基阵的阵列流形与模糊······················································································· 46
3.3.2 基阵的离散时间信号模型···················································································· 48
3.3.3 信号的空间采样································································································· 49
3.3.4 采样数据··········································································································· 50
3.4 波束形成·················································································································· 52
3.4.1 波束响应··········································································································· 52
3.4.2 输出信噪比········································································································ 54
3.5 空间匹配滤波器······································································································ 55
3.5.1 空间匹配滤波器································································································· 55
3.5.2 阵元间距··········································································································· 56
3.5.3 阵列孔径和角度分辨率······················································································· 58
3.6 本章小结·················································································································· 59
参考文献··························································································································· 59
第4 章 矢量水听器及阵处理技术·················································································60
4.1 声场中的振速信息··································································································· 60
4.1.1 平面波声场声学欧姆定律···················································································· 60
4.1.2 各向同性噪声场中矢量水听器测量模型································································ 61
4.2 矢量水听器的种类··································································································· 62
4.2.1 声场振速的测量方法··························································································· 62
4.2.2 矢量水听器的种类······························································································ 62
4.2.3 几种矢量水听器································································································· 63
4.3 单矢量水听器探测技术··························································································· 67
4.3.1 单矢量水听器的自然指向性················································································· 67
4.3.2 矢量水听器指向性的电子旋转············································································· 67
4.3.3 单个矢量水听器的测向方法················································································· 68
4.4 矢量水听器线列阵技术··························································································· 68
4.4.1 矢量波束形成····································································································· 68
4.4.2 矢量线列阵测向研究··························································································· 70
4.4.3 目标跟踪算法研究······························································································ 71
4.4.4 矢量线列阵的增益······························································································ 71
4.4.5 矢量水听器线列阵校正······················································································· 78
4.5 矢量拖线列阵技术··································································································· 82
4.5.1 拖曳用矢量水听器······························································································ 82
4.5.2 矢量水听器的姿态稳定技术················································································· 84
4.5.3 矢量拖线列阵拖曳噪声研究················································································· 84
4.5.4 拖曳试验数据处理······························································································ 88
4.6 矢量时间反转镜······································································································ 91
4.6.1 时反聚焦原理····································································································· 91
4.6.2 声压时反镜聚焦理论··························································································· 92
4.6.3 矢量时反聚焦理论······························································································ 92
4.6.4 时反镜的聚焦稳健性··························································································· 93
4.7 本章小结·················································································································· 93
参考文献······························································································································93
第5 章 自适应波束形成与噪声抵消技术······································································95
5.1 引言·························································································································· 95
5.2 常规波束形成技术··································································································· 95
5.2.1 窄带相移波束形成······························································································ 95
5.2.2 宽带波束形成····································································································· 96
5.3 分裂阵波束形成技术······························································································· 97
5.3.1 分裂阵参考阵元选取··························································································· 98
5.3.2 分裂阵互相关检测······························································································ 99
5.3.3 半波束相位单元化处理····················································································· 101
5.4 自适应波束形成技术····························································································· 108
5.4.1 MVDR 波束形成技术························································································ 108
5.4.2 MUSIC 算法····································································································· 109
5.4.3 计算机仿真······································································································ 110
5.4.4 快速收敛MVDR 算法······················································································· 112
5.4.5 海试数据处理结果···························································································· 115
5.4.6 自适应波束形成改进研究的方向········································································ 115
5.5 自适应噪声抵消技术····························································································· 116
5.5.1 自适应噪声抵消技术的基本原理········································································ 116
5.5.2 基于LMS 算法的自适应噪声抵消······································································ 117
5.5.3 AIC 技术在拖船噪声抵消中的应用····································································· 118
5.5.4 逆波束形成拖船干扰抵消·················································································· 121
5.6 本章小结················································································································ 124
参考文献························································································································· 124
第6 章 声纳被动定位技术·························································································· 127
6.1 引言························································································································ 127
6.2 三角定位法············································································································ 127
6.2.1 基本原理········································································································· 127
6.2.2 误差分析········································································································· 128
6.2.3 实现方法········································································································· 129
6.3 三点/四点测距······································································································· 130
6.3.1 基本原理········································································································· 131
6.3.2 误差分析········································································································· 132
6.3.3 实现方法········································································································· 133
6.4 聚焦波束形成定位································································································· 134
6.4.1 基本原理········································································································· 134
6.4.2 理论计算········································································································· 135
6.4.3 实现方法········································································································· 136
6.4.4 高分辨聚焦波束形成方法·················································································· 137
6.4.5 工程应用考虑··································································································· 139
6.5 匹配场处理············································································································ 140
6.5.1 概述················································································································ 140
6.5.2 匹配场处理技术简介························································································· 141
6.5.3 匹配场处理发展······························································································· 142
6.5.4 匹配场数据模型······························································································· 143
6.5.5 匹配场处理仿真······························································································· 145
6.5.6 匹配场处理存在问题························································································· 148
6.6 基于波导不变量的被动定位················································································· 148
6.6.1 问题的提出······································································································ 150
6.6.2 干涉现象的产生机理························································································· 151
6.6.3 波导不变量β ···································································································· 153
6.6.4 仿真实验········································································································· 154
6.6.5 基于波导不变量的快速被动估距技术································································· 156
6.7 多途定位················································································································ 159
6.7.1 多途定位基本原理···························································································· 159
6.7.2 计算机仿真······································································································ 160
6.8 本章小结················································································································ 163
参考文献························································································································· 163
第7 章 目标运动分析································································································· 165
7.1 引言························································································································ 165
7.2 多基阵联合的被动纯方位目标运动分析······························································ 166
7.2.1 常规单基阵纯方位TMA···················································································· 166
7.2.2 双基阵被动纯方位TMA 的数据融合模型···························································· 168
7.2.3 仿真计算········································································································· 171
7.3 利用多维信息的被动目标跟踪性能研究······························································ 174
7.3.1 基本概念········································································································· 174
7.3.2 方位—频率TMA 及多阵纯方位TMA 的最大似然估计········································· 177
7.3.3 仿真计算········································································································· 180
7.4 本章小结················································································································ 183
参考文献························································································································· 184
第8 章 空时自适应处理····························································································· 186
8.1 引言························································································································ 186
8.2 混响空时分布特性································································································· 186
8.2.1 主动拖曳线列阵声纳························································································· 187
8.2.2 海试混响空时分布特性····················································································· 188
8.2.3 主动声纳检测背景分析····················································································· 189
8.3 STAP 原理介绍······································································································ 191
8.3.1 空时数据结构··································································································· 191
8.3.2 全维STAP 处理方法························································································· 194
8.3.3 降维STAP 处理方法························································································· 195
8.4 STAP 数据处理结果验证······················································································ 201
8.5 STAP 在被动声纳中应用······················································································ 205
8.5.1 空—频二维自适应处理····················································································· 205
8.5.2 仿真处理········································································································· 206
8.6 本章小结················································································································ 207
参考文献························································································································· 208
第9 章 新型声纳信号处理技术·················································································· 209
9.1 引言························································································································ 209
9.2 模基信号处理········································································································ 209
9.2.1 卡尔曼滤波技术······························································································· 210
9.2.2 MBSP 在水声信号处理中的应用方向·································································· 211
9.2.3 模基信号处理小结···························································································· 214
9.3 多输入多输出声纳处理························································································· 214
9.3.1 MIMO 声纳原理······························································································· 215
9.3.2 MIMO 声纳数学模型························································································ 215
9.3.3 MIMO 声纳特点······························································································· 217
9.3.4 MIMO 声纳正交波形························································································ 219
9.3.5 MIMO 声纳等效虚拟阵····················································································· 227
9.3.6 MIMO 声纳指向性···························································································· 229
9.3.7 MIMO 声纳波束形成························································································ 233
9.3.8 MIMO 声纳信号处理小结·················································································· 233
9.4 连续波主动声纳处理····························································································· 234
9.4.1 研究现状········································································································· 235
9.4.2 直达波干扰抑制······························································································· 236
9.4.3 CAS 发射信号·································································································· 237
9.4.4 基于差拍—分数阶傅里叶变换的CAS 回波检测算法············································ 242
9.4.5 小结················································································································ 247
9.5 本章小结················································································································ 247
参考文献························································································································· 247

阵列信号处理是现代声纳设备的核心功能之一。通过对接收阵列的信号处理，可以获
取空间指向性增益，提高声纳作用距离，实现对目标的检测与跟踪、方位与距离估计；通
过发射阵列的信号处理，可以获取具有一定时延差或相位差的阵元信号，从而形成指向性
发射波束，提高声源级；通过空—时自适应处理，可以提高对弱目标的检测能力。近年来，
声纳技术不断发展，出现了多线列阵声纳、连续波主动声纳、MIMO 声纳等新体制声纳及
自适应盲处理、时反处理、矢量信号处理、鲁棒性波束形成、模基信号处理等新型处理算
法，这些都是声纳阵列信号处理的发展与丰富。
本书作者一直从事水声及水声对抗技术研究和装备研制工作，在长期工作和学习中积
累了较丰富的理论知识和工程经验，现将多年来在阵列信号处理方面的研究成果进行提炼
和总结，形成本书。本书分为基础理论、阵列应用和新技术研究三个部分。基础理论部分
（第1～3 章）介绍了海洋信道中的声场模型、基阵理论基础和阵列信号模型，是各种阵列
信号处理技术研究的理论基础。阵列应用部分（第4～8 章）分别介绍了矢量水听器及阵处
理、自适应波束形成与噪声抵消、声纳被动定位、目标运动分析、空时自适应处理技术和方
法，是阵列信号处理的具体应用和实践。第9 章新技术研究部分介绍了模基信号处理、MIMO
声纳处理、连续波主动声纳处理技术的原理和方法，是阵列信号处理的重要发展方向。
本书试图将阵列信号处理的理论模型和工程应用结合起来，侧重于实用。希望对从事
水声及水声对抗技术研究和装备研制的科研人员有所帮助。本书可作为水声工程、信号处
理等专业研究生教材，也可作为声纳设备设计人员开展相关研究工作的参考。
本书在撰写过程中，得到了姚蓝教授、惠俊英教授、王广恩研究员等老一辈水声行业专家的
指导，并提出十分关键的修改意见，在此向他们表示崇高的敬意和衷心的感谢。本书的研究
工作得到水声对抗技术重点实验室孟昭文主任的大力支持，刘本奇、蒋小勇、潘谢帆、谭君
红等参与了有关章节的研究工作，在此一并表示感谢。
由于作者水平有限，书中难免有不妥之处，敬请读者批评指正。
作者
2017 年4 月

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