Two Decades of Array Signal Processing Research The Parametric Approach HAMID KRIM and MATS VIBERG sation polems in tcl a ell as plod Pe eet arses ie iene imporance ina get eiey of oppo ons Paranceesinion es pray ben an eo tons Uy applied aii tn eine es poses ‘eal ert inpoing performance 8, Many ech ther ver th vel an temp by reaches po Sejond the eal Foi, ting leva npr swells pil putes teeth and wat cenredon he ay fie da colt (cae me possi). Tt amenor, at wil be de teed amor dei slow, wc eda pi info forslving sever reewor roblms, pep mos nt sure clan naa nd sonar Otero en "he at approach cing on pace processing of da spl aan a fess stl tng ot sy 1996 bbearnforming, The conventional (Bartlett) beamformer dates ‘back tothe Second world-war, and is a mere application of ourier-based spectral analysis to spatio-emporally sampled data, Later, adaptive beamformers (6, 25, 45] and classical ‘ime delay estimation techniques [8] were applied to enhance one's ability to resolve closely spaced signal sources. The spatial filtering approach, however, suffers fom Fundamental limitations: its performance, in particular, is directly depend ent upon the physical size ofthe array (the aperture), regard- less ofthe available data collection time and signal-to-noise ratio (SNR), From a statistical point of view, the classical techniques ean be seen as spatial extensions of spectral Wie ner filtering [150] (or matched filtering). ‘The extension of the time-delay estimation methods to ‘more than one signal (thse techniques originally used only two sensors), and the limited resolution of beamforming together with an increasing number of novet applications, renewed interest of researchers in statistical signal process- ing. We might add at this stage, tha the word resolution is used ina rather informal way. It generally refers tothe ability to distinguish closely spaced signal sources. One typically refers to some spectal-like measure, which would exhibit {EEE SIGNAL PROCESSING MAGAZINE o‘aks atthe locations of the sources, Whenever there are two peaks near two actual emitters, the later are said to be resolved, However, for parametric techniques, the intuitive notion of resolution is non-trivial to define in precise terms, This in turn, resulted in the emergence of the parameter estimation approach as an active research area, Important inspirations forthe subsequent effort include the Maximum Entropy (ME) spectral estimation method in geophysies by [23] and early applications ofthe maximum likelihood prin- ciple [81, 106]. The introduction of subspace-based estina- tion techniques [13, 105] marked the beginning of a new era inthe sensor array signal processing literature, The subspace- based approach relies on certain geometricel properties ofthe assumed data model, resulting in a resolution capability Which (in theory) is not fimited by dhe array aperture, pro- vided the data collection time and/or SNR are sufficiently large and assuming the data model accurately reflets the experimental scenario, ‘The quintessential goal of sensor array signal processing isthe estimation of parametersby fusing wemporal and spatial information, captured via sampling a wavefield with a set of jiudiciously placed antenna sensors, The wavefield is as- sumed to be generated by a finite number of emitters, and contains information about signal parameters characterizing the emitters, Given the great number of existing applications for which te above problem formulation is relevant, and the number of newly emerging ones, we feel that a review ofthe trea, with the hindsight and perspective provided by times in order. The focus is on parameter estimation methods, and many relevant problems are only briefly mentioned, The manuscript is clearly not meant to be exhaustive, but rather asabroad review ofthe area, and more importantly asa guide fora first time exposure to an interested reader, We deliber- ately emphasize the relatively more recent subspace-based methods in elation to bearwforming, for which the reader is ‘referred for more in depth treatment to the excellent, and in some sense complementary, review by Van Veen and Buck- ley [133]. For more extended presentations, the reader is| referred to textbooks such as (50, 52, $8, 102 ‘The balance of this article consists of the background ‘material and of the basic problem formulation, Then se introduce spectral-based algorithmic solutions tothe signal parameter estimation problem. We contrast these suboptinal solutions to parametric methods, Techniques derived from ‘maximum likelihood principles as well as geometric argue ments are covered. Later, a number of more specialized research topics are briefly reviewed. Then, we look at a ‘numberof real-world problems for which sensor array proc- cessing methods have been applied. We also include an exam ple with real experimental data involving closely spaced emitters and highly correlated signals, as well as a manutac- ‘uring application example. AA student/practitioner who is somewhat familiar with the fold might read the various sections sequentially. For a first-time exposure, however, it may be best 10 scan the applications section before the description and somewhat ‘more mathematical treatment ofthe algorithms are discussed, « IEEE SIGNAL PROCESSING MAGAZINE Background and Formulation Inthis section, we motivate the data model assumed through- ‘ot this paper, via its derivation from first principles in physics. Statistical assumptions about data collection are Stated and basie geometrical properties of the model are reviewed. Wave Propagation ‘Many physical phenomena are either a result of waves propa- gating through a medium (displacement of molecules) or exhibit a wave-Lke physical manifestation. A wave propaga tion which may take various forms (with variations depend- ing on the phenomenon and on the medium, e.g. an electro-magnetic (EM) wave in free space or att acoustic ‘wave in a pipe), generally follows fom the homogeneous solution of the wave equation, ‘The models of interest in this paper may equally apply 10 an EM wave as well as to an acoustic wave (@.2., SONAR). Given that the propagation model is Fundamentally the same, Wwe wall for analytical expediency, show that it can follow {rom the solution of Maxwells equations, which, clearly are only valid for EM waves. In empty space (no current or charge) the following holds V-E=0 a V-B=0 2 ® epee ® vine where -, and x, respectively, denote the “divergence” and “cut,” Further, Bis the magnetic indection, Eis the electric field, whereas iq and e ate the magnetic and dielectric constants. Invoking Eq. 1 ehe following cul property results, VxiVxE) ° Using Eqs. 3 nd 4 Jeads 9 o which, when combined with Eg. 5, yields the fundamental wave equation o vE ooThe constant ¢ is generally refered {0 a the sped of propagation, and for EM-waves i ee space follows rom the above derivation ¢=1/ Yeh, = 310'm/s. The homogene cs (0 forcing function wave equation (Ea. 7) cnstiuts the physi! motivation fr ourasumed data nx. hiss regan les ofthe ype of wave of medium (EM or acoustic) In some application, the underlying physics we ielevant its merely the mathematical siracture ofthe data model that counts. “Though Eq, 7s vector eqn, we only consider onc of its components, say lt) where Fs the ati vet. wll Inter be assumed that the missued sensor outputs aze propor. tional to Flr,). Interestingly enough, any field of the form E(r.s) =fe-r epsatses 7, provided =e, with "Tena ‘transposition. Through its dependence on tr". only, the solu- sion canbe interpreted as a wave tveling inthe direction with he sped of propagation Uf ol =c. Fr the later reason, isrofemed to ashe slowness vector. The ci intrest herein is ‘in navowband (This is not ally a estiction, since any signal can be exprese asa linear combination of narod con ponents) forcing fetions, The deals of geneang such a Forcing Feneton (radiation of an antenna) can be oun in the casi ok hy Fon [89 In empl notation se (63, Sccion 15.3) and taking the origin a a reference, a !mvrowund tansmited waveform ean be expresied as (Uppe- case and fowerease Greek ltrs are tobe undersood as vetons ‘ormatrices within ter context) seo, 00) where s(t) isslowly time-varying compared tothe carier ay. For|e|< 0. Observe that any vector enthogonal oA isan eigenvector of R with the eigonvale 0 There are L~ M linecy ind pendent such vectors. Since the remaining eigenvaes areal larger than o?, we can prition the eigenvalue/ector pais io noise eigenvectors (coresponding to eigenvalues Aust = 1.24 =O) and signal eigenvectors (corresponding to eigenvalues h1 2... 2har> @°), Hence, we can write R-UAUT UAE «as where An = 7 Sinee all noise eigenvectors are orthogonal {o A, the columns of Us must span the range space of A whereas those of Uy span its orthogonal complement (the nullspace of A"). The projection operators onto these signal tnd noise subspaces are defined as fl=uur ayy T=up! (ara) ar —A(a"ay'A®, provided that the inverse in the expressions exists. It then Tollows 1enene 20) Problem Definition “The problem of central interest herein is that of estimating the DOAS of emitter signals impinging on a receiving auray, ‘when given a finite dataset (x()} observed over1= 1.2, AAs noted earlier, we will primarily focus on reviewing & number of technigues based on second-order statistics of | data All of the earlier formulation assumed the existence of exact quantities i.e. infinite observation time, Is clear that in practice only sample estimates which we denote by hat ie.,*, awe available. A natural estimate of Ris the sample ee LS ate" en bo Lm". for which a spectral representation similar to that of R is defined as, 2, RG AO OA,o" This representation willbe extensively used inthe desrip- tion and implementation of the subspace-based estimation algorithms Tadced, ix) isa saonary white Gaussian process with unknown sructre (ie, the data model (13) s sot used), then Hand its cigenclemenss are maximum Tiketihood estimates of the comtesponding exact ques ra) “Throughout the paper, the umber of underlying signals, -M, in the observed process is considered known, There are, thowever, good and consistent techniques fr estimating the M signals present (31,68, 108,144] in the event that such information is not available (se also the “Additonal Top- ics) Inthe following two sections we discuss the best known parameter estimation techniques, respectively classified as Spectral-Based and Parametric methods, Du wo space lin taions, a numberof good variations which addres specific spets ofthe underlying problem and which have appeared {nthe tratre ao overiooked. Our reference list attempt to cover a portion ofthe gop which clearly can never be filled. ‘Summary of Estimators Since the number of algorithms is extensive, it makes sense to give an overview of their properties already at this stage. ‘The following “glossary” is useful for this purpose: + Coherent signals Two signals are coberentifoneisascaled and delayed version ofthe ther. + Consistency An estimate is consistent iit converges tothe true value when the number of data tends to infinity. 1 Statistical efficiency An estimator is statistically ef i tasymptoicaly attains the Cramér-Rao Bound (CRB), which is a lower bound on the covariance matrix of any unbiased estimator (see eg, (63), We will distinguish berween methods that are applicable to arbitrary array geometries and those that require a uniform linear azray. Tables | and 2 summarize the message conveyed in the algorithm deseriptions. The major computational re- {quirements for each method are also included, assuming that the sample covariance matrix has already been acquired. Here, 1-D search means that the parameter estimates. are ‘computed from Mf one-dimensional searches over the pa rameter space, whereas M-D search refers to fll M-dimen- {EEE SIGNAL PROCESSING MAGAZINE nSiro ins pai i ag i oe == es cc = —— tionary conditions the dataset were divided into 8 batches, each comprising N= 16 snapshots, before further processing, ‘The theoretical DOAs ofthe directand reflected signal paths are fixed (at 61=0.0835° and 2=-0.203° respectively), but the cartier frequency varies between 8,62 GHz and 12.34 Giz. This causes the electrical angle separation to vary between Ad = BWIS and AQ = BW/2, where BW = 2n/L represents the standard beamwidib of the array in radians) [Note that the electrical angle for this setup is defined as 9=-kdsin6, because the DOA is defined relative tothe array broadside. The given five data sets were processed using the previously described methods assuming a perfect ULA array response (Eq. 28), given thatthe aray is quite carefully calibrated. As in any real data experiment, there are many’ possible sources ‘of errs, The most obvious in this case, isthe diffuse mul path, which may be modeled as a spatially extended emitter, the waveform of which probably has some coreelation with | that of the more point-lke signal paths. To illustrate the problem, the eigenvalues ofa typical sample covariance are depicted in Fig 7, along with a realization from the theoreti- cal model with two point sources in spatially white noise Other sources of errors include inaccurate calibration and insufficient SNR for resolving within-beamwigth emitters, Below, we display the results for the various methods along with the theoretical DOAS. However, one should bear 7 Disrbuton of eigenvalues for 3-lement warm Tinear ar ‘ry, Simulated an real daa. « IEEE SIGNAL PROCESSING MAGAZINE ‘© Spaial spectra for the beamforming (ei and Capon (right) ‘methods. The results rom the & batches ofthe 12.34 GHe data Aare overlayed. The horizontal aus contains he electrical angle in raion ofthe beamwidth. "True" DOAS indicated by vertical died ines in mind that i a real data experiment, there are acwally no {rue values available forthe estimated parameters. The pos {ulated DOAS are calculated from the geometry ofthe exper ‘mental setup, but in practice the multipath component may’ very well be absent from some of the data sets, or it may ‘impinge from an unexpected direction. We first apply beam- {otming techniques othe “simplest” case, which isthe 12.34 Giz data. The angle separation is here about Ao = BW/2, In Figure 8, the results from applying the traditional bearform= ing and the Capon methods to the § data batches are pre= sented, The “spatial spectra” are all normalized such that the Peak value is unity. The “ue” DOAS (electrical angles, measured in fractions of the beamwidth) are indicated by vertical dotted lines in the plot. As expected, the Bartlett, beamformer cannot quite resolve the sources and neither can Capon’s method in this scenario, The high variance of the vv 886latter is due to the short data record (in fact, the sample covariance mateix is not invertible because NV < L, so a ‘pseudo-inverse was used in Eq. 32) Next, the speetral-based subspace methods are applied. Since the signal components are expected to be highly corre- Jated, these methods are likely to fail. Hovvever, the signals can be “de-correlated” by pre-processing the sample covari- ance matrix using forward-backward averaging (42). In Fig- ‘re 9 the results fr the MUSIC method with and without FB averaging are shown. Its clear that FB averaging improves the resolution capability and reduces the variance of the ‘estimates in this case, Tho Min-Norm method was also applied and the resulting normalized “spatial spectra!” are depicted in Fig. 10. The Min-Noc method is known to have better resolu- tion properties than MUSIC because of the inherent bia in the radii of the roots [61, 69]. Indeed, the Min-Norm method performs slightly better than MUSIC inthis ease, and it nearly resolves the sourees even without FB averaging, Finally, we applied parametric methods tothe same data sets. The “optimal” methods described earlier all produced Virtually identical estimates in all ofthe available data set, ‘Therefore, only those ofthe WSF method are displayed in the plats. In Fig. 11, we show the WSF estimates along with those of the ESPRIT method with FB averaging. For comparison, ‘we also applied the WSF method to beamspace data. The bbeamspace dimension was chosen as R= 8, and the transfor- ‘mation matrix was designed as follows: First, new “beam- space outputs” were obtained by summing the outputs of sensors 1-25, 2-26, etc. up to 8-32, This corresponds t0 8 parallel Bartlett beamformers, all of them steered tothe DOA (0° bu with different phases). The SVD ofthe corresponding 32x 8 ransformation matrix (which isa Toeplitz matrix with ‘WO entries) was computed, and its left singular vectors were taken a the heamspace transformation matrix T (ef. (Eq. 96)). The SVD was applied because itis desirable to have fonthonormal columns in the transformation matrix, so as not to destroy the spatial color ofthe noise (it was white inthe first place). The beamspace data were processed using the WSF method similarly to the element-space version. The ] in ‘Asn Figure 25, bu fr the MUSIC method. with (igh and without (et) forward backward averaging. sty 1998 TO. Rxn Figure 23, ud Jor Te Mia- Norn mato. with (ight) anu without (lef) forward backward averaging. IEEE SIGNAL PROCESSING MAGAZINE ”TT. Parameter estimates for the WSF method i element space land beamspace, and forthe ESPRIT algoritoy with forward-back ward averaging. The methods are applied othe 12.34 GH dat results for the parametric methods are shown in Fig. L1. The parametric methods also perform satisfactorily on this data set, and the estimation errr ison the order of @ 10th of & ‘beamwidth, This is clearly smaller than for any ofthe spec tral-based methods, "Next, we applied the various algorithms toa more difficult cease, namely the 8.62 GH data. The results for the Bartlett beamformer and the FB Min-Nosm method are shown in Fig, 12. tis clear thatthe specral-based methods as applied here fail to Locate the multipath component. ILis possible that other modifications such as spatial smoothing or beamspace processing can improve the situation, but such a test falls beyond the scope ofthis study. ‘The estimation results forthe parametric methods, applied to the remaining data sets, are shown in Figs. 13 and 14. As seen in the figutes, the WSF method performs reasonably well inal data sets except for the one at9.76 GHz where only ‘one signal is detected, although there isa large bins it the estimate ofthe multipath component in the 8.62 GHz. data, ‘The FB ESPRIT method on the other hand, produces good estimates in half ofthe batches at 8.62 GHz and fails in most ‘other cases. tis also clear that beamspace processing further improves the parametric methods (not only true for WSF), For the BS WSF method, the estimation errors are less than 20% of the beamwidth with few exceptions. The ios likely explanation for the enhanced performance i that beamspace processing reduces the effects of modeling errors, This is made possible by incorporation a priori knowledge of the approximate source locations. We also used the DOA est mates to give estimates ofthe SNR and the signal correlation in he different data sets, The BS WSF estates at batch 4, [Fable 3: Ftimated Signa-o-Noise Ratios and Sigal Crean (atthe eter of o t or { {Spat spectra forthe beamforming (and FB Min: Norm (ight) methods applied the 8.62 GH daa, were applied to the expressions (59) and (60) t0 solve forthe noise variance and the signal covariance matrix respectively ‘The results are displayed in Table 3. Note that the signal correlation is defined at the center of the array. Since the aperture is rather large, the correlation phase varies signiti- cantly among the sensors. The magnitude of the correlation is close to one in all data sets, indicating that there is indeed 4 specular multipath. It is @ bit curious that the rmultipath| component appears stronger than the direct path in the 8.62 wrray) for the MARS Data, Correlation Cie ae 0.98 5” [099 ra -* canta fence wr | ; i | o rece oe f pe : fae 02, Tan Figure TT, ut forthe 62 GH liv and T13EGH TH Ain Figure TB Jor he 0.76 GH (ah and 0.70 GHz (righ) daa (righ dara. GHz data. This is obviously intriguing, and perhaps it gives an indication ofthe expected accuracy ofthe SNR estimates. Another possibilty is that more than one reflected component struetively interfered to give one diffuse specular compo- ‘A Manufacturing Example Inthe steady march towards a fully automated factory envi- ronment, different techniques are constantly being explored {foe various stages of a production line. Applications of sensor array processing to quality assurance and fault detection have recently been reported [2,53]. linea aray of photosensors placed along one side of a target is shown in Figure 15 and data is accordingly collected. Assuming that the image of interest is quantized to | bit (i.e. 1/0 pixels), a simplified data ‘model follows by assigning data z to a sensor in row Fas, JULY 1986 where x1f..tk7 represent the L-pixels in the f: throw, If the mage contains a single straight line as in Fig. 15, there will be only one non-zero pixel in each row, anda litle geometry shows that ‘where xis the offset and 0 isthe orientation ofthe line. The vector of “sensor outputs” is modeled as a complex sinusoid withthe row number being the analog of sensor index in our formulation previously. The line offset and orientation can be easily computed from the amplitude and frequency of the sinusoid, The model is straightforwardly extended to the ‘multiple-lines case in gray-scale images, and objects other than lines inthe image will appear as noise inthe data model Given the sum-of-sinusoids model, Aghajan and Kailath [2] \EEE SIGNAL PROCESSING MAGAZINE *. | oa < | a 15. Taal iar ara apo ar For dec of fines et) in csmaaararig enon suggested to apply the computationally efficient TLS ES- PRFTalgorithm to spatially smoothed data toobiain estimates ofthe frequencies und amplitudes. For illustration purposes, an image of a semiconductor wafer is shown in Fig. 16. A line/sratch is manifested as a bright ine of pixels. Anomalous pixels (This may bea defect in the wafer or an inscription pu in for orientation.) are on a line typically of brighter intensity and are tobe detected and localized. The results of estimating the line orientation by a subspace-based detector (dashed) and by the more classical Hough transform (solid) ae displayed in Fig. 17. Figure 18 shows the corresponding result For the line offset estimates. Though the two methods relatively perform equally wel, the computational and storage efficiency are not an asset for the Hough transform [2]. In light of the comparison of a sub: space-based technique to the more classical approach from 16. Chip with an inscribed line ee ee 17 Bsbmation oF orientation ofthe line in Fare T, wing TLS ESPRIT (vertical line} and the Hough ansform, The peak mag tude of Hough Transform lds sinilar orientation as TLS ES: PRIT 0 os | [ | | os “| [eee 15 Esiation of he Tine offer aig TES ESPRIT (erica Tne and Hough Trensforn tomography, namely the Hough transform, shown in these figures, there is reason to believe that sensor array processing solutions need no longer be limited to the framework they ‘wore developed in ic. signal processing in Radar, Sonarete,) and potentially offers wealth of efficion and highly perform. ing algorithms. Conclusions The depth acquired from the theoretical research in sensor suray processing reviewed in this paper has played a key role in belping identify areas of applications. New real-worldproblems which ane solvable using array signal processing techniques are regularly introduced, and itis expected that theit importance will only grow as automatization becomes more widespread in industry, and as faster and cheaper digital processing systems become available. This manuscript i not ‘meant to be exhaustive, but rather to Serve as abroad review of the area, and more importantly a a guide Fora first time ‘exposure t0 an intrested reader, The focus is on algorithms, ‘whereas deeper analyses and other more specialized research topies are only briefly touched upon, In concluding, the recent advances ofthe fied, we think itissafe to say thatthe spectal-hased subspace methods and, in particular, the more advanced parametric methods have clear performance improvements to offer as compared 10 ‘beamforming methods. Resolution of closely spaced sources (within fractions of a beamwidth) have been demonstrated and documented in several experimental studies. However, high performance is no for free. The requirements on sensor and receiver calibration, mutual coupling, phase stability, ‘dynamic range, etc. become increasingly more rigorous with higher performance specifications. Thus, in some applica- tions the cost for achieving within-bearnwidtb resolution may sill be prohibitive. ‘The quest for algorithms that perform well under ideal ‘conditions and the understanding oftheir properties has in some sense slowed down in light of the advances over the past years. However, the remaining work ino less challeng- ing, namely to adapt the theoretical methods to fit the particu- lar demands in specific applications. For example, real-time requirements may place high demands on algorithmic sim- plicity. and special array and signal structures present in certain scenarios must be exploited. The future work, also in academic research, willbe much focused on beidging the gap ‘that sill exists between theoretical metiods and real-world applications. Acknowledgments ‘The authors are grateful to Professor Simon Haykin of | ‘MeMaster University, for providing the data used in the ‘Measured Data Experiment section and to H. Aghajan of ‘Stanford Univesity for providing figures in the Manutactur- ing Example section. The authors are also grateful to the reviewers who, through numerous comments, made this pa- per more readable. One of us is also grateful to Prof. AS. Willsky of MIT for his constant encouragement and never ending enthusiasm, Hamid Krim is with the Stocastie Systems Group, LIDS, Massachusetts Insnute of Technology, Cambridge. MA 02139. ‘Mats Viberg is with the Department of Applied Eleetron- ies, Chalmers University of Technology. Gothenburg. Swe- den. References 1.B.G, Agee, AV. Schell, nd W.A, Gans. "SpectalSel-Caberence Resa A New Approach to Blin! Adapive Signal Extncton Uslag ‘Antena Atays" Pr IEEE, 78783767 pe 1990. 2.1LK_Aghjan nd. 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