Spatial Signal Processing (Beamforming)

What Is Beamforming?
Beamforming is spatial filtering, a means of transmitting
or receiving sound preferentially in some directions over
others.
Beamforming is exactly analogous to frequency domain
analysis of time signals.
In time/frequency filtering, the frequency content of a
time signal is revealed by its Fourier transform.
In beamforming, the angular (directional) spectrum of a
signal is revealed by Fourier analysis of the way sound
excites different parts of the set of transducers.
Beamforming can be accomplished physically (shaping
and moving a transducer), electrically (analog delay
circuitry), or mathematically (digital signal processing).

Beamforming Requirements
Directivity A beamformer is a spatial filter and can be
used to increase the signal-to-noise ratio by blocking
most of the noise outside the directions of interest.
Side lobe control No filter is ideal. Must balance main
lobe directivity and side lobe levels, which are related.
Beam steering A beamformer can be electronically
steered, with some degradation in performance.
Beamformer pattern function is frequency dependent:
Main lobe narrows with increasing frequency
For beamformers made of discrete hydrophones,
spatial aliasing (grating lobes) can occur when the
the hydrophones are spaced a wavelength or greater
apart.

A Simple Beamformer

plane wave signal

wave fronts

h1

0
h2

h1 h1 are two
omnidirectional hydrophones

plane wave has wavelength

= c/f,
where f is the frequency
c is the speed of sound

Analysis of Simple Beamformer

Given a signal incident at the center C of the array:
i( t )

s( t ) = R( t ) e

Then the signals at the two hydrophones are:

si ( t ) = R( t ) e
where

n = ( 1) n

i ( t )

i i ( t )

d
sin

The pattern function of the dipole is the normalized response of the dipole
as a function of angle:

b( ) =

s1 + s 2

d
sin
= cos
s

Beam Pattern of Simple Beamformer

Pattern Loss vs. Angle of Incidence of Plane Wave
For Two Element Beamformer, /2 Element Spacing

Polar Plot of Pattern Loss For 2 Element Beamformer

/2 Element Spacing

105
120

Pattern Loss, dB

60
45

-20
-30

150

-20

75

-10

135

-10

90 0

30

-40

165

15

-50

-30

-180
-165

-40

-15

-150

-50

-30
-135

-45
-120

-60

-60
-105

-150

-100

-50

0
, degrees

50

100

150

-90

-75

Beam Pattern of a 10 Element Array

Pattern Loss vs. Angle of Incidence of Plane Wave

For Ten Element Beamformer,
/2 Spacing

Polar Plot of Pattern Loss For 10 Element Beamformer

/2 Spacing
105 90 0
120
135

45

-20
-30

150

Pattern Loss, dB

60

-10

-10

-20

75

30

-40

165

15

-50
-30

-40

180

-165

-15

-150

-30

-50

-135
-60

-45
-120

-150

-100

-50

, degrees

50

100

150

-60
-105

-90

-75

Beamforming Amplitude Shading

Amplitude shading is applied as a beamforming
function.
Each hydrophone signal is multiplied by a
shading weight
Effect on beam pattern:
Used to reduce side lobes
Results in main lobe broadening

Beam Pattern of a 10 Element

Dolph-Chebychev Shaded Array
Comparison Beam Pattern Of A 10 Element Dolph-Chebychev Beamformer
With -40 dB Side Lobes And
/2 Element Spacing With A Uniformly
Weighted 10 Element Beamformer
0

-10

Dolph-Chebychev
Beamformer

Uniform Beamformer

Pattern Loss, dB

-20

-30

-40

-50

-60

-80

-60

-40

-20

0
, degrees

20

40

60

80

Analogy Between Spatial Filtering (Beamforming) and TimeFrequency Processing

Goals of Spatial Filtering:

Goals of Time-Frequency Processing:

1.

Increase SNR for plane wave signals

in ambient ocean noise.

1.

Increase SNR for narrowband signals in

broadband noise.

2.

Resolve (distinguish between) plane

wave signals arriving from different
directions.

2.

Resolve narrowband signals at different

frequencies.

3.

Measure the frequency of narrowband

signals.

3.

Measure the direction from which

plane wave signals are arriving.

Time-Frequency Filtering and Beamforming

Sine wave at f0

Sine wave at f1

Broadband
noise spectrum

Narrowband
filter at f0

f1

f0

Plane wave at 0

Plane wave at 1

Ambient noise
angular density

Frequency

Narrow spatial
filter at 0

Spatial angle

SNR Calculation: Time-Frequency Filtering

Define

2 ( f f0 ) Signal power spectral density (W/Hz)

N ( f ) Noise power spectral density (W/Hz)
2

H ( f ) Filter power response

Signal Power Is:

Ps = 2 ( f f0 ) H ( f ) df = 2 H ( f0 )

(watts)

SNR Calculation: Time-Frequency Filtering (Contd)

If we assume

1,
H( f ) =
0,
2

f f0

2
otherwise

Idealized
rectangular
filter with
bandwidth

Then the noise power is:

PN =

N( f ) H ( f )

df = N0 (watts)

And SNR is:

SNR

Ps
2
=
=
PN
N0

N0 is the
noise level
in band

SNR Calculation: Spatial Filtering

Define

2 ( 0 ) Signal power angular density (W/steradian)

N ( ) Noise power angular density (W/steradian)
2

G( ) Spatial filter angular power response

Signal Power Is:

Ps = 2 ( 0 ) G( ) df = 2 G( 0 )
2

(watts)

SNR Calculation: Time-Frequency Filtering (Contd)

If we assume

G( ) = 1,
0,
2

2
otherwise

Idealized
cookie cutter
beam pattern
with width

Then the noise power is:

PN =

N( ) G( )

d = K (watts)

And SNR is:

SNR

Ps
2
=
=
PN
K

K is the
noise intensity
in beam

Array Gain and Directivity Calculations

Define

Assume

Array Gain =

SNR Array

plane wave signal

arbitrary noise distribution

SNROH

For the omnidirectional hydrophone,

2

G( ) = 1

for all

Then

2 ( 0 ) GOH ( ) d
2

SNROH

P
= s =
PN

N( ) G

OH

( ) d

2
N ( ) d

Array Gain and Directivity Calculations (Contd)

2

G 2 ( 0 ) = 1

For the array, assume it is steered in the direction of 0 and that

Then

SNRarray

P
= s =
PN

) Garray ( ) d
=

N ( ) Garray ( ) d

N ( ) Garray ( ) d

Putting these together yields

AG =

N( ) d

N( ) G

( ) d

array

Array Gain and Directivity Calculations (Contd)

If the noise is isotropic (the same from every direction)

N( ) = K
Then the Array Gain (AG) becomes the Directivity Index (DI), a performance index
For the array that is independent of the noise field.

DI =

array

( ) d

Array Gain and Directivity Index are usually expressed in decibels.

Line Hydrophone Spatial Response

x

L/2
X1sin

x1

plane wave signal

wave fronts

-L/2

plane wave has wavelength

= c/f,
where f is the frequency
c is the speed of sound

Line Hydrophone Spatial Response (Contd)

The received signal is

s( t )
x sin

s t +

at the origin
at point x

Let the hydrophones response or sensitivity at the point x be g(x).

Then, the total hydrophone response is
L/ 2

x sin
sout ( t ) = g( x )s( t +
)dx
c
L / 2

Line Hydrophone Spatial Response (Contd)

Using properties of the Fourier Transform:

S( f ) = s( t )e i 2 ft dt
And:

x sin i 2 ft
i 2 fx sin
)S( f )
s( t + c )e dt = exp(
c
Or:

x sin
s( t +
)=
c

i 2 fx sin
+ i 2 ft )S( f )df
exp(
c

Line Hydrophone Spatial Response (Contd)

Thus, the total hydrophone response can be written:
L/2

i 2 fx sin
s out ( t ) = g ( x ) exp(
+ i 2 ft )S ( f )dfdx
c
L / 2

L/2
i 2 fx sin
= S ( f ) g ( x ) exp(
) dx
c

L / 2

i 2 ft
df
e

f sin i 2 ft
S ( f )G (
)e
df
c

Where

f sin
G(
)
c

L/2

f sin

g
(
x
)
exp
i
(
) x dx

L / 2

We call g(x) the aperture function and G((fsin )/c) the pattern function.
They are a Fourier Transform pair.

Response To Plane Wave

An Example:
Unit Amplitude Plane Wave from direction 0:

s( t ) = e

j 2 f0 t

S( f ) = ( f f0 )

The Line Hydrophone Response is:

f sin 0 i 2 ft
s out ( t ) = ( f f0 )G (
)e
df
c

f0 sin 0 j 2 f0 t
= G
e
c

Note that the output is the input signal modulated by the value of the
pattern function at 0

Response To Plane Wave (Contd)

The pattern function is the same as the angular power
response defined earlier.
Sometimes we use electrical angle u:

f sin
sin
=
c

instead of physical angle .

Uniform Aperture Function

Consider a uniform aperture function
1
L,

g( x ) =
0 ,

L
L
x
2
2
otherwise

The pattern function is:

L/ 2

j 2 Lu / 2
j 2 Lu / 2
1
e

e
j2 ux
G( u ) = g( x )e j 2 ux dx =
e
dx =

L L / 2
j 2 Lu

e j 2 Lu / 2 e j 2 Lu / 2
e j 2 ux
=
=
j 2 Lu
j 2 Lu
sinc( Lu )

L/ 2

L / 2

sin( Lu )
=
Lu

Rectangular Aperture Function and Pattern Function

Array Main Lobe Width (Beamwidth)

3 dB (Half-Power) Beamwidth
To find it, solve

1
3dB
G
=
2
2

For

3dB

Beamwidth Calculation Example: Uniform Weighting

Lu 3dB
sin

= 1
Lu 3dB
2
2

Lu 3dB
= 1.39
2
2 1.39
3dB = sin 1 ( u 3dB ) = sin 1

= sin 1 .885 .885

L
L

50

radians

deg

For L.

Note the effect of increasing L.

Line Array of Discrete Elements

L = Nd
x

Aperture Function:
N

g(x) = an ( x x n )

Pattern Function: (N odd, uniform spacing)

n =1

For N = 2M + 1 (Odd), and uniform spacing d ,

g(x ) =

a ( x nd )

g ( x )e

G(u)

n=M

n= M

j 2 ux

dx

a n ( x nd )e
M

n=M

ane

j 2 ndu

j 2 ux

dx

Uniformly Weighted Discrete Line Array

1
, uniform spacing, n odd.
N
Temporaril y define :
Assume an =

r e j 2du

then
1 M n
1 r N / 2 r N / 2
G (r ) =
r =an

N n=M
N r 1 / 2 r 1 / 2

or
1 sin ( uNd )
G (u ) =
N sin ( ud )

Pattern Function For Uniform Discrete Line Array

Notes On Pattern Function For Discrete Line Array

u Only has physical significance over the range

The region

1
1
u

1 1

may include more than

one main lobe if d , which causes ambiguity

(called grating lobes).
General trade-offs in array design:
1)Want L large so that beamwidth is small and resolution is good
2)Want d to avoid grating lobes.
3)Since L=Nd, or N=L/d, increasing L and decreasing d
Both cause N to increase, which costs more money

Effects of Array Shading

(Non-Uniform Aperture Function)
Shading reduces sidelobe levels at the expense of widening the
main lobe.
For other aperture functions:
First sidelobe
Aperture
3dB ,degrees
level,
dB
Rectangular

50/L

-13.3

Circular

58/L

-17.5

Parabolic

66/L

-22.0

Triangular

73/L

-26.5

Beam Steering
Want to shift the peak of the pattern function from u = 0 to u = u0.
What is the aperture function needed to accomplish this?

g(x)
g ( x )

G (u )e j 2 ux du

=
=
=

G (u u 0 )e j 2 ux du

j 2 u 0 x

G ( p )e

j 2 u 0 x

j 2 px

dp

G(u- u0)

g(x)

Beam steering is accomplished by multiplying the non-steered aperture

function by a unit amplitude complex exponential, which is just a delay
whose value depends on x.

Beam Steering For Discrete Arrays

The steered aperture function becomes

g(x)

g( nd ) ( x nd )e

=
= ...g ( d )e

j 2ndu 0

The steered physical angle is

j 2ndu0

n =1

( x d ) + g( 0 ) ( x ) + g( d )e j 2ndu ( x + d ) + ...
0

0 = sin 1 ( u0 ).

The phase shift at element n is equivalent to a time shift:

2 ndu0 =

2 nd sin 0
nd sin 0
= 2 f
= 2 f n .

where n =

nd sin 0
c

Is the time shift which must be applied to the nth element.

Effect Of Beam Steering On Main Lobe Width

Beam steering produces a projected

aperture. Since reducing the aperture
increases the beam width, beam steering
causes the width of the (steered) main
lobe to increase. The lobe distorts (fattens)
more on the side of the beam toward
which the beam is being steered,

Beam Steering: An Example

For a uniformly weighted, evenly spaced (d=/2), 8 element array, the pattern
function is

1 sin [ Nd ( u u 0 ) ]
G( u u0 ) =
N sin [ d ( u u 0 ) ]

To find the beamwidth, set

G(u + u 0 ) = G(u 0 - u ) =

1
2

Which yields

d (u + u 0 ) = d (u 0 - u ) = 0.175

Using d = / 2 and u = sin / the condition is

sin + sin 0 = sin 0 - s in = 0.1114

Beam Steering: An Example (Contd)

As an example, take N=8, (d=/2).

Case 1 : sin 0 = 0
+ = 6 .4 0

sin + = sin = 0 . 1114

= 6 .4 0

3 dB = 12 . 8 0

50
Note : 50 = 50
=
= 12 . 5 0
L
nd
4

Beam Steering: An Example (Contd)

Case 2 : 0 = 45 0

sin 0 = 0.707

+ = sin 1 ( 0.1114 + 0.707 ) = 54.9 0

= sin 1 ( 0.1114 0.707 ) = 36.6 0
3dB = 18.3 0

(wider)

But, beam is not symmetrical :

54.9 0 45 0 = 9.9 0
45 0 36.6 0 = 8.4 0
Notice that there is no grating lobe until 0 = 90 0
at which point there is a grating lobe at = 90 0
This is why d =

is optimal
2

Directivity Index For A Discrete Line Array

DI for a discrete line array, broadside and endfire with N=9.

Uniform weighting
f 0 is the frequency at which d = / 2
When f = f 0 (

f
= 1), DI = 10 log N
f0

When f > f 0 , DI oscillates about 10 log N . However, grating lobes

cause ambiguity.
When f < f 0 , DI drops at about 3dB per octave. End fire beam
has higher DI, but broader beamwidth, hence poorer directional resolution.

Array Gain: Discrete Line Array

Noise Model :
K sin ,
00 90 0
N( ) =
0
0
KL
sin(
),
90
0

(LB 0.1)

Array Gain: Discrete Line Array (Contd)

Nine-element vertical line array gain versus elevation steering

angle in a surface-generated ambient noise field