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OFOCEANIC

ENGINEERING, NO. OE-8,

VOL. 3 , JULY 1983

Environment: A Perspective

JOSEPH C. HASSAB

(Invited Paper)

and motion analysis (CLMA) in the ocean environment, Such rell-

studied cases as passive bearings-only contact motion analysis, mul-

tipath ranging, and localization/tracking via arrays are used to illus-

tratethe concept. The performance of current CLMA systems is

RECEIVED

FUNCTIONS - ESTIMATOR ESTIMATOR

COURSE

SPEED

shown to depend on the type and characteristics of the basic meas- Fig. 1. Basicfunctions.

urements developed by their time delay estimators, the acoustic

channels linking contact and observer, and the type and description of

relative motion between contact and observer. General classes of are processed in time. In principle, joint optimization in both

CLMA schemes are presented. Complexity is shown to depend on the spatialand temporal dimensions is desirable for bestsystem

linearity/nonlinearity of their solution equations, the degree to which

performance. In practice, considerations such as array stabili-

a contact is observable at each sample time, and the relative motion

between contact and observer. Contributions to total system gain, zation, cost, spatial coherence, platform dimensions, etc., limit

biasing issues, and candidate solutions are discussed. Comprehensive the achievable spatial gains, while nonstationarity,the re-

references are provided. quirement to yield an acceptable solution withina given

time, etc., limit temporal gains.

I. INTRODUCTION Elements in a CLMA problem may be stationary (e.g.,

constant statistical measures on signal and noise, no relative

n H I S PAPER discusses the problem of estimating the loca-

motion between contact and observer, a homogeneous envi-

tion and velocity of a sonar contact via observation and

ronment, etc.) ornonstationary. When theelements are

processing of acoustic data. Such data may be considered to

stationary, processing is straightforwardand is accomplished

includea desired signal and unwanted noise components.

Embeddedinthebody of received data are differencesin

by a continualintegration over the observed contact clues

until desired accuracy in the solution is obtained. When the

signal arrival times (time delays) as well as variations (Doppler

elements of the problem are nonstationary (e.g., moving con-

shifts) in the signal. These differences and variations in signal

are functionallydependentupon contact-observergeometry tact/observer, a changing ray path channel, etc.) bias is intro-

and environmental conditions. duced during long a contact observationinterval due to

Contact localization and motion analysis (CLMA) systems smearing of the clue at the output of the time delay estimator.

make use of a received signal’s time delay and its variation in For instance, when the time delay is varying in time due t o

time toestimate acontact’slocation. These processing sys- relative contactlobserver motion, a correlator averaging time

tems basically comprisea signal time delay estimator anda is kept short enough so that the time delay is quasi-stationary

contactmotionestimator (see Fig. 1). Thetime delay esti- andthe smearing effect of thetime delay peak is avoided.

mator maps the received acoustic data into recognizable and Thus observation of the contact must be limited to a brief

measurable clues (a dominant peak, valley, or slope on a curve, timeinterval over which the process may beconsidered

for example). These clues are further processed by the contact locally stationary. In this case, CLMA systems provide what

motion estimator so that estimates of time delays are smoothed may beconsidered “short-memory”or“snapshot” clues,

andmapped into values for contact range, direction, depth, which yield imprecise estimates of contact location and mo-

and velocity. tion. However, with a succession of such brief time observa-

CLMA systems process data spatially as well as temporally. tion intervals, the system’s temporal processorcan extend

That is, they process data received simultaneously at spatially the system memory and remove the biasing non-stationarity

separated sensors, as wellas data received during sequential inthe problem. It doesthis by superimposing the repeated

observationintervals spread outin time. Thetotal system short-memoryestimatesto enhance the invariant contact

gain resultsfrom both spatial and temporal gains. Spatial parameters intheproblem,ultimately developing a well-

definedestimate ofthe contact’s locationandmotion.In

gain is influenced by such factors as size, number, placement,

Section VI, these concepts are developed further in the con-

and configuration of sensors in the acoustic array. Temporal

text of CLMA from a linear array.

gain is influenced by the manner in which the received data

In its totality,then, contact localization and motion esti-

mation constitutes a process that is mathematically nonlinear

hlanuscript received December 6 , 1982; revised March 30: 1983.

The author is with the Naval Underwater Systems Center, Newport

and geometrically nonstationary in terms of contact/observer.

Laboratory. Newport, RI 02841. It is a process not amenable to optimum global system syn-

HASSAB:

CONTACT

LOCALIZATION

MOTION

AND

ANALYSIS IN THE OCEAN

ENVIRONMENT 137

and only

generally deals withoptimizationof subsystems as realistic withmotionconstraints placed oncontact

conditions are introduced. Systemsproviding optimal per- and observer.

formance have been developed, but these are only for idealized

Specific illustrations of the preceding classes of problems

conditionssuch as stationarycontact/observer and Gaussian

are given in Section 111. In the ocean context, the latter classes

signal and noise, and extended contact observation times,

are more prevalent thantheformerand are moredifficult

This paper aims to provide the reader who has hadan

to solve. These classes of problems are especially difficult

introduction to theCLMA problem with an overall perspective

to solve when there is a mismatch between physical processes

developed in the context of the oceanenvironment. It pro-

and modeled processes (e.g., type of contact motion, raypath

vides numerous references for those interested in further study

model, etc.) or when there are large errors in the estimated

of this subject. In Section 11, six classes of CLMA problems are

time delay parameters. An expanded discussion .of these dif-

identifiedand the difficultiesin dealing with each of these

ficulties is given in Section IV.In analyzing the various CLMA

classes are mentioned.InSection 111, illustrativeexamples

problemslikely to be encountered, several general state-

for theseproblem classes are introduced. In Section IV, the

ments hold true:

types of errors encountered in the ocean environment, which

tend to make the various classes of problems more difficult Linear problems lend themselves readily to optimal esti-

to solve, arecategorizedandtechniques for reducingthese mationwith resulting minimummean square estimation

errors are highlighted. In Section V, the various points dis- error.

cussed in preceding sections are integrated into three elements

needed to formulate and solveCLMA problems in general. Nonlinearity in‘creases the complexity and the issues

In Section VI, three well-suited CLMA problems are reviewed involved in structuring an algorithmic estimator.

and used to illustrate the concepts developed in the preceding Increased contact observability tends to improve. the

sections. quality of an estimate and speeds estimator convergence.

11. GENERAL CLASSES OF CONTACT STATE

Redundant observation (sampling) is required to reduce

ESTIMATION PROBLEMS

the adverse effect of measurement errors.

Several types of contact state estimation problems are seen

in the literature available on this subject. These maybe grouped Constraintsonobserverlcontactmotionencumberthe

into general classes on the basis of source/observer motion, estimation process by delaying estimator convergence,

linearity,and observability. That is, theycan be grouped lowering the quality of estimates, and degrading the abil-

according to the degree of relative contact/observer motion, ityoftheestimator to adaptto mismatches between

thecomplexityoftheirsolutionequations (linear ornon- modeled and physical processes.

linear), and the extent to which a contact is observable (Le., Two types of estimatorapplicationsexistdepending on

the extent to which an observer can realize a unique solution whether observation of thecontact is by. active [ I ] , . [2]

from the available data). For a moving observer and/or con- or passive [3] sonar. In the active case, the contact is ensoni-

tact, the problemsincrease in complexity as follows: fied by a signal emittedfromthe observer; estimationof

Problem Class Description contact location and velocity is based on the observation and

processing of the backscattered returns from the contact. In

A Linear solutionproblems

with

the contact’s

the passive case, the contact itself is an emitter whose signal

state observable over eachobservation (sam-

is received atthe observer and processed forestimationof

pling) interval.

contactlocationand velocity. Forthe active case, contact

B Linear solution

problemswith

the contact’s localizationand motionestimation falls into classes atthe

state observable onlyaftermultiple observa- beginning of the precedinglist. Forthe passive case, the

tion (sampling) intervals. problem falls into the classes predominantly at the endof the

C Linear solution

problems

with

the contact’s list, which makestheestimation processa more difficult

state observable onlyaftermultiple observa- one.

tion (sampling) intervals, and only with mo- In either case, the observer is linked to the contact through

tionconstraints placed oncontact and ob- the interveningpropagation medium. When analyzed, the

server. medium is seen to have distinguishable acoustic ray paths lying

Nonlinear

D solution

problems

with

the

con- within the usable beampatterns of both contact and observer.

tact’s state observable over each observation Distinguishability here refers to the difference in path lengths

(sampling) interval. measured relative to a reference path or reference time. Each

difference in path length is reflected in the time delay incurred

E Nonlinear solution problems with the

con- by the signal as it propagates throughthe different paths.

tact’s state observable onlyaftermultiple In the active case, time delay refers to the difference in arrival

observation (sampling) intervals. time between the reference emission time and reception of a

F Nonlinear solution

problems

with

the

con- return. The term “time delay” in this paper also refers to the

tact’s state observable onlyaftermultiple timerequired for asinusoid to repeat itself; i.e., its period.

138 IEEE JOURNAL OFOCEANIC ENGINEERING, VOL. OE-8, NO. 3 , JULY 1 9 8 3

that a time delayprocessor extractsfrom received signals.

The desired contact state informationis embedded within each CONTACT

(a1

time delay, which is characterized by the ray path structure

within the sound channel.

III. REPRESENTATIVE PROBLEMS

Single Ray Path Channel

Representative problems are now described for a homo-

geneous and noiseless channel to illustrate in a simple context

the various classes of problems. Consider first a problem in-

volving a single path linking the contact to the observer (Fig.

2(a)). For the active case, the range to the contact and the

rateat which the contact's range changes (range rate) are

directly observable fromthe measured time delay through

alinearrelation. This representsa class A or B estimation SURFACE

problem (linear, with a high degree of observability) which is

easily solvable [4] -[8] . The observer emits a pulse signal in

a given direction and measures the time delay 7 for its return.

The range to the contact R is related to the timedelay by

CONTACT

the equation

R = cr/2

BOTTOM

where c is the in-water speed of sound. Subsequent time delay id) - le)

measurements yield the range rate R . As the measurements Fig. 2. Basic types of channelsandsensors.(a)-singlechannelpath

becomenoisy, moretime delaymeasurements are required between contact and single sensor; @)-single path per sensor for

two (I, 11) spatially separated sensors; (c)-single path per sensor for

to yield the desired accuracy in range and range rate estimates. three (I, 11, 111) spatially separated sensors; (d)-single sensor with

A second measure of range and range rate between contact two channel paths (1, 2) persensor;(e)-singlesensorwiththree

and observer is described by Doppler shift in the signal, where channel paths (1,2, 3) per sensor.

R(t)=R(O)+ct-(l/fo)

R = 1 - f(t)/fo)I .

I' f(t)dt

(2)

When angular measurements fall in planes otherthanthe

vertical and horizontal planes, the direction angle is called a

conical angle (

3 , (

3,

and is related to and ( 3 ,

by

3,cos 0, = cos- R,/R. (5)

frequency. In the active case, fo is known. In the passive case,

other information such as contact direction may be used to In this type of problem only directional information in the

estimate fo. plane containing the ray paths is obtained directly from the

time delay. Within each plane, the contact's state descriptors

Two-Path Channel (location and velocity) may be obtained if motion constraints

are placed oncontactand observer; i.e.,if thecontact is

Anothertype of problem involves nonintersecting,two- presumed to maintainconstant velocity while the observer

path channelslinking contactto observer (Fig. 2(b)). The makes at least one velocitychange [9] -[ 121 . These con-

measured time delay due to the different path lengths yields straints are used to develop contact observability that results

the direction to the contact in the planecontaining sensors in a consistent set of measurement equations from which the

and contact. In the horizontal plane, the time delay T yields contact'sstate is estimated.Inaddition,the usual require-

the far-field direction angle, 0, (known as bearing) where ment for redundant data is needed to minimize the propaga-

tion of time delay measurementerrorsintocontactstate

(3 ,= sin-' ( n / L ) = tan-' (Ry/Rx). (3) estimation errors. Thissituation leads to a class F typeof

estimation problem in which all of the encumbrances on the

Here, L is the separation between the sensors and R , and R, estimation process arise.

are the x- and y-components of the range R in the horizontal

plane. In the vertical plane, the measured time delay gives the Three-Path Channel

direction angle ( 3 ,(known as depression/elevation angle) where The requirement for motion constraints on the estimation

process may be relaxed in a type of problem which involves

a third nonintersecting path linking contactto observer

(Fig. 2(c)). In this case, two time delays T~ and T ~ are

, meas- delay vector 7 and the contact statevector x

ured from whch contact range R and direction /3 are obtained

[131 7 =f ( x ) (8)

R = [ L 2 - 0.5C2(7l2 -I-T 2 2 ) ] / [ C ( T 1 -72)1 where solution for the contact state x = f ‘(7) is straight-

forward.

/3 = sin- [ ( c / ~ L ) ( T+

, 7 2 ) + (c2/4LR)(r1 - 72 2)1 . (6) In practice, perfect or nearly perfect observations are rarely

available. Vector errors E, are usually introduced due to the

Successive measurements yield contact velocity. This repre-

time delay measuring system, mismodeling of the environmen-

sents anestimationproblem falling into classes D andE

tal factors in the channel, mismodeling of the contact’s mo-

referred to earlier. Though the problem here is nonlinear, the

tion, or inaccurate monitoring of the observer’s own motion.

relaxed requirementfor observabilityyieldsa more stable

Seldom is the spatial gain of a passive sonarsystemhigh

estimator with faster convergence than the class F problem. enough to warrant neglecting these errors. Equation (8) must

Intersecting Ray Path Channel therefore be modified to account for the vector errors, such

that

Thus far, nonintersecting sound ray paths have been con-

sidered.A fourthsituation,commonlyknown as multipath 7 = f ( x )+ E , . (9)

problem, involves intersecting ray-paths [ 141. For the simple

two-path channel of Fig. q d ) , the time delay T is related to Regardless of the source of errors, their statisticalchar-

range R and depth R , of the contact relative to the receiver

acter influences selection of a particular contact localization

through the equation:

and motionestimation process. In general, errors are char-

acterized as either biased or unbiased, as discussed in the

T = l / c [ ( R 2 t4HO2 - 4H&z)1’2 - R ] (7) following text.

contactdirection in the vertical plane similar to the one in

This section delineates the sources of biased and unbiased

(4). Asin thehorizontalplane,the measurement equation

errors in ocean-related CLMA problems. In the context of this

contains two unknowns, R and R,. As with the nonintersect-

paper, a biased error refers to the tendency of an estimated

ing three-path case, anadditionalpath tothemultipath

value to deviate from the true value in one direction. Biased

situation (Fig. 2(e)) yields the desired observability orcon-

errors may be constant or variable over a number of contact

sistency ofequations, leading to class D or E estimation

observation intervals. Constant bias maybe due to differen-

problems. Unlike in the horizontal plane situation, however,

tial dispersion in the channel paths (as between a volume and

it happens in practice that contact depth may be known (as

a bottom-reflected path), ray path curvature, or a non-Gaussian

would be the case with asurface contact). When contact

distribution of time delay estimates from the time delay proc-

depth is known, the presence of a third path is unnecessary

essor for a low signal-to-noise ratio or low relative signal-to-

to satisfy the observability condition. The third path would

noise bandwidth. Constant bias may be recognizable as a shift

provide, in this situation, spatial redundancy which along with

in the residual errorbetweenestimatedand measured time

temporal redundancy would allow further opportunity to fil-

delays; itseffectmaythen be compensated for.Variable

ter out errors in the contact’s state estimates. Depending on

bias may be transient (as due to a contact maneuver) or per-

thesituation,themultipath problemmaybelong to classes

sistent (as with a mismodel of the channel’s ray path curva-

D, E, or F.

ture). Once a transient bias is recognized, adaptive control of

In practice, an integration of the preceding cases usually

the process noise may be successfully applied [ 171 . This

occurs with a merging of frequency and bearing data, active amountsto effectivereinitialization of the problem with

sonar time delayandbearing, bearing and depression/eleva-

some a priori information on the contact’s range. If a

tion angle, etc. The integration provides consistency tothe

higher order motion model (one that allows estimation of a

measurement equations and improves the contact state estima-

possible contact maneuver) is used, theestimator is more

tion process. Differential Doppler between two paths, which

prone to instability, especially when only large unbiased er-

provides an indication of time delay rate, is also considered.

rors are present. To deal with persistent variable bias requires

While time delay yields directionalinformation whenproc-

a model of the process. If available, parameter estimation and

essed, timedelayrateyieldsdirect informationoncontact

process identificationmaybecarried outwith diminishing

velocity. Recent research has addressed multisensor process-

success if the estimation problem belongs to the later problem

ing as well as the multicontact problem [ 151, [ 161.

classes; i.e., classes E or F.

IV. MEASUREMENT AND MODELING ERRORS Unbiased errors may have Gaussian or non-Gaussian dis-

tributions. A Gaussian fluctuation of timedelays may be

Causes of Errors due,for instance, to such effects as small perturbations in

To convey the basic CLMA concepts, a homogeneous and ocean sound speed profiles, or due to the ocean surface [18]

noiseless ray path channel has been considered thus far. Such or to the processing of time delays in the presence of limited

a channel yields a direct functional dependence between time noise. Even with a Gaussian error distribution on thetime

, I :*+.. .. .. ..

’. ... -. . . . . . .. . . ~ . ... ....

.. - .. ~ ..-. . .. . .. , ;.- -. ~ . . .. ~- , .. . = . . . -

. ~ . .

I ~~

~.

delay estimates, their direct mapping into the desired contact vertical channels [28],[33], [34]. Additionof a properly

states can result in increasingly non-Gaussian distributions as designed window extends the region of satisfactory perform-

a function of the contact’s range and off-broadside direction ance of a given conventional time delay estimator by lowering

to the observer’s array. From the estimation point of view, the estimators’ operational threshold. Anaverage improve-

it is preferable to maintain an unbiased Gaussian distribution ment of 4 to 6 dB may be accrued. The windows are designed

of errors, since this leads to manageable difficulties in the to remedy or compensate for physical conditions that affect

contact state estimation process. Many of the existing contact unfavorably the performance of theestimator.They are

localization and motion estimator structures are designed on dependent on signal spectra, noise spectra, and channel param-

the basis of best unbiased mean square error reduction criteria. eters. It should be stressed that windowsmustbe designed

to suit the estimator at hand and the situation under consider-

Minimizing Errors ation, since improper windowing will deteriorate performance

Minimizing errors in thetime delay estimator andcon- instead of improving it [33] -[35].

tact location estimator has relied principally on the assump-

tion of unbiasedGaussian errordistribution. This typeof Gating and Filtering

distribution is highly desirable since, as mentioned earlier, The simplistic scheme of independently selecting the domi-

makes

it problem analysis and solution implementation nant clue foreachtime delay estimatoroutput can deliver

easier to accomplish thanwith a biased error distribution. erratic time delay estimates whenever adverse but temporary

However, biased errors do exist, as in the case of. differen- conditions exist at the input [36]. For estimator initialization,

tial dispersion in achannelwhich may lead to “smearing” some ensemble average over a number of successive time delay

of often-usedpeak detectors.Such a situation would result processor outputs can be taken to enhance the clue against

ina biased estimate of time delay even if signal-to-noise mean background noise.

ratio were good. When this type of bias results in large errors Where the clue is identified as having sufficient signal power

in the contact’s state estimate, techniques such as variants on over noise power,atimedelaygate is centered at the cor-

the complex demodulation technique must be used to remove responding output region, and clue estimation is executed over

the bias [19] ; otherwise, the system is not useful as an estima- the gate output for each observation interval. The characteris-

tor in that instance. tics of the gate may be provided by a Kalman filter operating

. Even for ideal channels with additive Gaussian noise, the on the raw time delay estimates [20]. Such gating enhances

distributionof timedelayestimatesbecomesnonsymmetric the robustness of the processor against signal fades and limits

as a functionof decreasing signal spectra to noise spectra the clue search to the most probable region in the processor

ratio [20], [21]. The resulting skewed distribution of, errors output. A successful stabilization process of the estimates

is undesirable and has given impetus to the use of windowing allows forautomaticand quasi-optimal processing of the

and gating techniques to remedy thesituation.Frequency data to estimate contact location and motion. Furthermore,

windowing is incorporated into a basic time delay estimator to the linear K h a n filter for the time delays can detect easily

lower its threshold, while time delay gating is added to limit contact maneuvers that yield a jump in the time delay rate,

the search for the clue to the most probable region in the time and can pass this information on to aKalmanfilter that is

delay estimator output. The induced stabilization of time de- estimating linearized contactstate dynamics. The relation

lay estimates allow the usage of statistical estimators, such as between time delay gates andspatialgates onthecontact

linear weighted least square filters, to improve and assess the increases in complexity in line with the observability of the

quality of the contact’s state estimates. contact’s state. For class A estimation problems, the two gates

are directly proportional.

Windowing

Windowing has been applied to the various types of time Statistical Smoothing

delay estimators that may be encountered in a CLMA prob- Even when time delays are estimated with unbiased Gauss-

lem. The specific time delay estimator used in a given problem ian errors as would occur with high signal-to-noise spectra and

depends on the number ofsensors available and on the number long observation times (or as may occur following stabilization

of signal arrivals at each point [19], [22]-[32]. In one situa- through windowing, gating, and filtering) directmapping of

tion (Fig. 2(d), (e)), multiple acoustic propagation paths lead the time delays into the contact’s state can lead to biases in

to intersection at a single sensing point. In this case, general- the estimation process. Reduction of this bias (and variance in

ized cepstrum,autocorrelation, or complexdemodulation contact state estimates) can be accomplished by judicious use

techniques may be applied to interpret the resulting composite of statistical estimation techniques over sequential and finite

received data and measure the ‘time delays. In another situa- observations of thecontact signal [13].Thecontactstate

tion, propagation paths do not intersect at the sensing points estimator is an expanding memory filter that mapsimper-

(Fig. 2(a)-(c)). Here, spectral estimation or comparative signal fect time delay estimates into the invariant contact trajectory

analysis may be carried out at each sensing point, and general- parameters (i.e., constant velocity,initial range) over which

ized cross correlation, complex demodulation, or least square smoothing is performed.‘Thesmoothing reduces, jointly,

techniques carried out across sensing points. the variance and the bias in the estimate of contact kinematic

Frequency windowing of time delay estimatorshas been parameters. Such a scheme improves substantially on techni-

thesubject.of extensive studiesforbothhorizontal and ques that process inappropriately mapped time delays, or tech-

HASSAB:

CONTACT

LOCALIZATION

MOTION

AND

ANALYSIS

IN OCEAN

ENVIRONMENT

THE 141

niques that directly transform the best time delays available the number of measured time delays depends on the number

into contact motionestimates, The latter approachis optimum of spatially separated sensors and on the number of intersect-

only when stationariness of all elements in the problem can be ing ray paths in the sound channel (Fig. 2). TWO time delays

assumed. For this limiting case, the approach using statistical at each observation interval are needed to provide positional

smoothing converges automatically to the optimum estimates. information on the contact. Synthetic diversity must also be

Yetfor generalized cases, it remains a viable approachfor considered; this refers to the orderly assembly of time delays

moving contacts at long ranges, for contact directions off the estimated over successive observation intervals to enhance the

array’s broadside, and for high time delay variances. available estimates and to provide otherwise unavailable esti-

Implicitinthis discussion is a requirementforcorrect mates. With timedelays that yield ateach instant a single

statistical descriptions of the processes at hand. The recovery contact’s direction, the ranging relationship between moving

from an incorrect statisticaldescription in digital systems is contact/observer is quite circuitousandrequiresa series of

aidedby use of coupling loops for detecting such an event. time delay measurements combined with an observer velocity

The ensuing divergence is bypassed and the processes are change.

routed in a degraded mode until the system recovers. When Notwithstanding i the relational complexity, alignment of

thetraditionally separated signal and data processing stages snapshotestimates ofcontact localizationand motion re-

areinteractive [3], further improvementcan take place be- quires a modeling of the nominal underlying processes. This

cause system deterioration is usually local andnottotal. calls for hypothesizinga dynamicmodel of thecontact.

Statistical smoothing as ameans of minimizing errors is Mismatches between real and modeled phenomena lead to

discussed further in Sections V and VI. biased errors, and estimates of these errorsmust be made

along with estimates of the contact’s motion. Bias estimation

V. ELEMENTS IN THE FORMULATION AND SOLUTION remainsadifficult problem, and bias duetothe contact’s

OF CLMA PROBLEMS presumed motion has been most studied. In the underwater

environment,thecontact’s nominal motion is presumed to

Threeelements need definitionintheformulationof a be predominantly constant in velocity interspersed with arbi-

contact’s stateestimation process [17],[37]-[41]. These trary maneuvers. The modeling presumes this type of motion

are encountered regardless of the class that the CLMA prob- with added unbiased perturbations to account for deviations

lembelongs to,and regardless of the application athand. on that motion. The perturbation input levels are varied to

The three elements are: reflect the credibility in the evolution of the motion models.

1) amodel of the relationbetween the contact’s state This control process is used in relation to the functional de-

and the observables (i.e., time delays) as given in Section pendence of contact’s states upon observed time delays. Even

111, when the contact’s motion model is inadequate, the evolution

2 ) a model of the contact’s state (e.g., stationary, constant of the time delays has been modeled locally through nominal

velocity), low-orderpolynomialexpansions that prove helpful over a

3) a criterion to filter out errors (discussed in Section IV) limited number of time delay estimates.

from the observables and models. Given the contact’s dynamicmodel and thefunctional

dependence of its state on the measured time delays, a crite-

Of the various errors that are encountered, some are due rion for “best” estimation of the contact’s states is chosen

tothe timedelay estimation process, some are duetothe which yields the estimator structure. If achoice is made to

modeling of the channel, some are due to the presumed mo- minimize the average mean square errorbetween estimated

tion of the contact or the observer or both, and some are gen- andtruecontactstates,theprocedure is astraightforward

erated by the form of the dataprocessing structure. Regardless mathematical one applicable to varied situations. Other means

of theerror sources, filtering of unbiased errors has been to minimizeerrors,such as the maximumlikelihoodtechni-

dealt with collectively using varied estimation techniques. que, can lead to insurmountable analyticaldifficulties for

These include linear minimum variance, least squares, weighted non-Gaussian statistics. The characteristics ofthe residual

least squares, maximum likelihood,and Bayes estimators. error between estimated and measured time delays is applied

Performance of the resulting estimation procedures varies to weigh theadjustmentsonthe contact’s states estimates

depending upon the available statistical descriptors. For Gauss- until satisfactory minimization of the error is obtained. The

ian error distributions, the linear minimum variance estimates residual errorcontainsthe cumulative error characteristics

results agree with many of the others. In addition, nonlinear (biased or unbiased) which are sifted, either by an operator

problemscan be fittedthrough linearization, andminimum or automatically, so that the estimation process is conducted

variance estimators can accommodate such cases with little o d y onthedataerror characteristics thattheestimator is

or no knowledge of the probability density function of the designed to handle.Residual errorcharacterization remains

errors. Thislatter characteristic

explains the widespread an active area of research; one in which detection of the bias

use of linearizationtechniques since, moreoftenthannot, has been stressed. Much of the attentionhas centered on adap-

a probability distribution is merely conjectured. tation to biasing caused by contact maneuvers [ 171 [42] - ~

As noted in element 1, the estimation problem begins by [45]. However, increasing attention is being paid to biasing

hypothesizing thefunctional relationship between received due to sensor positioning [46] and environmental effects[ 141,

time delays and the contact’s state descriptors. Sensor diver- and also ontheeffectsof certain typesof random errors

sity and channel diversity must be taken into account, since [471, 1481.

. . -

\ - - - ; I . ~.

. ,...

. .

VI. BASIC CLMA ESTIMATION SOLUTIONS hypothesized states fit the measured bearings in some approxi-

Estimationofcontactmotion hasbeen performed ina mate way. This technique remains viable when biased variants

variety of specific applications based on observations of some on the statistical description of the errorsarise so that they are

indirect aspects of contact motion. In the ocean environment, observable by the operator. Such manual techniques pervade

perhaps the most familiar is the two-dimensional tracking of many of the CLMA problems in the ocean environment. With

a noisy contact by using bearings-only observations. In this statistical descriptors, automatic estimation algorithms may be

case, an observer monitorssequential bearings to a contact applied. Recursive and batch processing algorithms are often

as it proceedsata constant velocity. From these bearings, used. Kalman filtering [ 171, [37] -[41] has found widespread

the observer estimates the contact’s range, course, and speed application since it accommodates nonstationary process

[12],[49]-[S3].Bothcontact and observer motions are noise and more general types of contact/observer motion.

presumed to be in the horizontal plane where the sequential In the bearings-only problem, most of the estimation dif-

bearing observations are gathered. Estimator convergence oc- ficulties that could be expected to arise do so. To minimize

curs only after a well chosen velocity change by the observer. filter divergence the most observable contact states must be

This requirement can be unwieldy, and may result in lengthy identifiedand isolated fromthose whose observabilities are

convergence time and unacceptableerrors. The presence of developed synthetically through a motionconstraint. Also,

the noisy bearings must not be submitted t o nonlinear func-

another spatiallyseparated sensor enhances the convergence

tions operationsfollowed by expectation operators; thiswould

process and has given impetustocontact localization and

lead to residual biases. Finally, mapping and smoothing must

tracking by means of sensor arrays.

be performed over the contact’s state parameters withthe

For three-dimensional tracking, it is well known in radar-

longest time invariance. With these factors having been men-

sonarwork that seriousdegradation of depression/elevation

tioned, some additionalcommentsonthe CLMA process,

measurements is caused by multipath propagation. This occurs

with references to the pertinent literature,are now presented.

when the contact is at near-horizontal grazing angles or occurs

Theextended Kalman filter,formulated in aCartesian

within a beamwidth or so of a bounding surface. Several

state-space, can develop divergence problems caused by a

techniques have been investigated to reduce multipath errors,

premature convergence of the covariance matrix prior to the

but these are generally ineffective, especially for contacts

observer’s maneuver.Remedies forthe divergence problem

within one beamwidth of the bounding surface [54]. In the

have been initially heuristic and call for rotation of thecovari-

oceanenvironment, the difficulty with antimultipath techni-

ance matrix to align with the estimated bearing [ 111, or for a

ques is compounded by the presence of two bounding surfaces

gating on the range estimates. Such techniques have yielded

and the focusing effect of volume inhomogeneity. Instead of

aiming to overcome themultipatheffect,one alternative is erratic results. Another technique calls for the use of a pseudo-

to capitalize onthe resulting consistency in the system of measurement made up of the component of the correct range

equations relating the measurements to the contact’s position. perpendicular to the measured bearing line. This measurement

More importantly, no limit on vertical beamwidth is set, thus is linearly related to the contact state. This approach avoids

relaxing the beamwidth constraint in many techniques. In the the covariance collapse and ensuing divergence problem

following sections, thecontactmotionestimators for the but produces biased state estimates that may not be negligible

preceding problems are considered. [491, [ 5 11, 1551-[67l.

Recent approaches have considered the effect of the co-

ordinate system andthelocationofthenonlinearity [SO],

Noisy Bearings-Only CLMA

[58] -[61] on the bearings only CLMA problem. It has been

Bearings-only contactlocationandmotion analysis re- found that modified polar (MF)’ coordinates yield stable and

presentsa class F problem.It is a fundamentaland well unbiased estimates. The state vectorsare bearing rate, range

studiedestimationproblem in theunderwater environment rate divided by range, bearing, and the reciprocal of range.

(Fig. 2(b)), and is the most often encountered and the most The first three states are observable, while the fourth remains

difficult to solve. Generally, contact velocity is assumed unobservable until an observer maneuver occurs. The degree

constant, observer motion is unrestricted,andcontact and of observability in the MP formulation is the reason for the

observer are assumed to be moving in thehorizontal plane. resulting stability. The estimated range is separated from the

The problem is inherently nonlinear because of the bearing covariance computation until the observer’s maneuver occurs.

measurements.Onlythree elements in the contact’s states Unlike for linear filters, an appropriate choice of coordinate

are observable prior toan observer maneuver,andneither system is fundamental to the good performance of nonlinear

spatial nor channel diversities are available to develop a con- filters that estimate contact states subject to observer motion

tact location estimation.Therefore,a synthetic sensor diver- constraints. It has been found that an indirect stability meas-

sitymustbe developed to provide the observabilityand ure based on a bound for the decay rate of a Lyapunov func-

redundancy needed to filter out bearing errors. tion[61] yields, forthe bearings-only Cartesian extended

Initial

solutions

to

the bearings-only CLMA problem K h a n filter, the worst possible value for the stability crite-

relied primarily on geometric constructions. With the introduc- rion.

tion of the computer, it became possible for an operator to Finally, analysis of atwo-sensor, omnidirectional array

hypothesize acontact’s range, course,andspeed, andthen yields a contact tracking problem not in the horizontal plane.

test each hypothesisuntilthe resulting bearing fromthe This problem is unobservable [62] prior tothe observer’s

HASSAB:

CONTACT

LOCALIZATION

MOTION

AND

ANALYSIS

IN OCEAN

ENVIRONMENT

THE 143

first maneuver. In addition, there is a sign ambiguity on the smoothingofthetime delays over successive observation

estimate of contact depth. An iterative, least squares algorithm intervals [74]. Otherwise, the bias can be substantial in various

was proposed to generate the contact estimate that uses the practical contact locations relative tothe receiving array.

Householder transformation to solve the Gauss-Newton equa- Recently, this bias has been calculated in various forms [ 131,

tions.For thistrackingproblem, other algorithm structures [74] -[76].

utilizing spherical [63]and M P polar coordinates have also For a zero mean Gaussian noise on the time delays and a

been employed. Suchalgorithms have been used to process homogeneous channel, lower

a boundonthe range bias

noisy conical angles only. As expected, their behavior is simi- ( R b ) and corresponding variance uR are [ 131

lar to those processing bearings-only measurements.

(R,) = ( ~ U , ~ ~ * R ~cos4 ) / (p),L ~

CLMA fionz a Linear ArraJJ

UR = -k 8 ab)) (10)

CLMA from a linear array, a class D problem, deals with

the location and motion of a contact in the plane containing where or2 is thetime delay noise variance. Equation (10)

a linear array and contact [13], [64] -[68]. For the sake of shows the explicit dependence of the range bias on time delay

simplicity, consider an array having three spatially separated variance, contact range, andeffectivearray length;it also

elements (Fig. 2(c)). Two noisy time delays or two bearings to shows that the range variance is inherently dependent on the

the contact are available ateachobservation of the contact residual bias. For the favorable conditions of Gaussianity and

over a short enough observation interval to permit the assump- homogeneity, Fig. 3illustratesa rapid deterioration in the

tionof local stationarity. Bearing ambiguity as tocontact contact range estimation process as a functionof increas-

position (to the right orleft of the array) is considered re- ing contact range, off-broadside direction, and time delay

solved. estimator errors. Again, an improvement in performance

In contrast to thebearings-only problem where the observer requires thatappropriatetemporal processing beapplied to

monitors at each observation interval a single angular direction develop a synthetic array aperture. Though the biasing issue

tothecontact, inthisinstance the observer simultaneously hasbeenexplainedin thecontext of CLMA from alinear

monitors the direction from two spatially separated positions. array, it is relevant to both the noisy bearings-only CLMA and

Spatial diversity of the observer’s sensors yieldsa contact multipath CLMA problems.

range estimateat eachobservation interval. Thoughthe Minimizing the error in the preceding range estimates has

estimation problem remains nonlinear, the troublesome issues been accomplished for a single observation interval by increas-

of contact observability are minimized. Those issues resurface ing array length L and/or by minimizing rhe time delay vari-

as the contact range increases relative to the effective separa- ances. Practical considerations such as array dynamics, availa-

tion of sensors (sensor baseline) in the noisy ocean environ- ble space, and signal coherence eventually impose limitations

ment. As range increases, sensor baseline is, in effect, reduced on the permissible array size. There is therefore an interest in

so that reliance on synthetic aperture techniques again is re- pursuing the alternative of extendingthe usefulness and ef-

quired. .fectiveness of an existingarray by increasing thetemporal

Time delay measurements are usually imperfect; this causes processing gain. For variance reduction of a stationary contact,

fluctuations in range anddirection values, andsubsequent several maximum likelihood localization estimators have been

errors in velocity estimates. When a Taylor expansion is car- developed [48], [77] -[81]. These techniques are optimal for

ried out on the range and only the linear term is relevant, the negligible bias and sufficientlylongobservationtimes. Their

mean values of contact range and direction are considered results yield the most optimistic performance of the system

unbiasedand their variance is a linear function of thetime and provide measure bounds for improvement possibilities.

delay variance. Foran effective sensor baseline, minimiza- In practice, signal andnoisecharacteristicscan slowly

tionofcontactlocation variance leads to minimization of vary. Also, time delays from a moving contact may be con-

timedelay variance. To effectthisminimization,different sidered only quasi-stationary over a fmite observation inter-

windowsareadded to the basic time delays estimators with val. These constraints limit the observation time of the time

varying effectiveness [20],[28],[35],[69]-[73].Such a delay estimators, hence deteriorating their performance from

ranging approach presumes stationarycontact and sensor theoptimalcondition. Considerationhasbeen given [82] -

positions, as well as stationary signal and noise statistics. [86]tocontact/observer induced nonstationarity onthe

This linear analysis is physically relevant at ranges close to time delays. Estimation of the Doppler effecthas allowed

the expansion point in the Taylor series and/or at small vari- some increase in the observationinterval [87]. However,

ances of the time delays. Bias in range becomes significant as the interval must remain short enough so that the time delays

the contact range increases, as the contact moves aways from vary according to a low order polynomial form. Complications

sensor array broadside, and as the time delay variance deteri- arise due to the presence of noise and the unknown orderK of

orates with signal and noise conditions. When bias in range is the polynomial. The order K is not known a priori since it is

not neghgible, the relation between the variances of range to a function of the relative range and the number of observa-

time delays becomes quite nonlinear. It has been found that tion intervals. Over a limited number of observation intervals,

the problems of range bias and variance with the limited ob- however, ~ ( t . is ) likely to vary in a linear or parabolic fashion

servation intervals in the cross-correlator become intertwined. and parameterestimationmay becarried outwith a short-

Theymust be minimizedsimultaneously through sequential memoryfilter[20],[36],[78]. Thisfilterhas other bene-

_-.

. . . . .~ . . ..,. . .. . .. ~.

. . ~.

.. .. - . . . . . ~. .. . , . .>...- . . . . . . ..

~

.

., ,,.... . .._

,

.

. .

. 144 IEEE JOURNAL O F OCEANIC ENGINEERING, VOL. OE-8,NO. 3,JULY 1983

15000

I

RANGE [Yards)

RANGE (Yards)

Fig. 3. .Rapid deterioration in wavefront ranging errors as a result of

direct mapping of time delay estimates into contact range estimates

UT/[.@ cos2p1 = 5 x 10-10 s/ft2.

fits, since it can aid in the estimation of time delays through When variants develop on the otherwise constant contact

the design of agatingmechanism [20] or through apeak motion parameters,adaptivefiltering techniques have been

search in the correlator output. In addition, the resulting de- applied to transition the state estimates to the newly evolving

crease intime delay variance allows anextended region of invariant parameters.Accordingly, totalcontactmotion is

operation away from a given array before the need arises to described piecewise, i.e., as consisting of nonmaneuvering

precede the triangulationschemebyspatial gating. Such portions andmaneuvering portions.The maneuvering por-

gating can be helpfulin theestimation processwheninde- tions have beenmodeled as randomvelocity perturbations

pendent information is available to define the most probable resulting in the use of adaptivefdtering techniques [88]-

region of contact location. [ 9 0 ] , or as unknown but deterministic inputs resulting in the

For further smoothing beyond the few observation inter- use of estimationlidentification techniques 1911. Theob-

vals in theshort-memoryfiiter,the assumption of constant servability of the contact’s state allows the application of

contact velocity is essential. There are only four unknowns to estimation techniques toidentifythe bias due tothecon-

estimate over all the successive observation intervals. Then tact’s maneuver. For the bearings-only problem,detection

the noisy timedelays are coptraineg withinaprocessor to of the contact maneuver andadaptivereinitialization of the

point to an estimate k,(O), R,(O), V,, p,, with a minimum estimation process have been used most often.

mean square error. The highly expandedmemory system

provides the desired redundancy to yield an enhanced estima- rblultipath arzd &“isensor CLMA

tion of the unknown parameters. In such estimationproblems, Tracking of a moving contact via noisy observation of

it is desirable to ultimately map the time delay observations multipath timedelayshasbeen made bya single sensor, as

onto the invariantandunbiased contact motion parameters opposed to spatially separated sensors (Fig. 2(d), (e)). Depend-

over which smoothing is performed to reduce both the vari- ing on the details of the situation, this problem may belong to

anceand the bias inestimating contactlocation [13]. This classes D, E, or F. Trackingin the vertical plane is affected

mappingimparts stationaritytotheproblem,thus allowing by the oceaninhomogeneities. When the region ofinterest

an effective increase in the averaging time of the localization hasalayered structure, precise ray path modelsmustbe

system beyond that allowed in the time delay estimator. derived fromray-path studies. When formulating the track-

HASSAB:

CONTACT

LOCALIZATION

MOTION

AND

ANALYSIS OCEAN

INENVIRONMENT

THE 145

ing problem, it is highly desirable to choose a simple mathe- the improved range rate estimate. The degree of improvement

maticalmodelthat describes theprominent characteristics in range and range rate estimation over bearings-only CLMA

of the propagation paths [92] [93]. In near-isospeed waters,

~

is proportional to the quality of D/E data or to the size of the

one convenientalternative is to represent theactual sound D/E angle. When given perfectD/Emeasurementsor large

speed profile by a series ofconstant gradients, and then D/E angle with small error,the range variance for the five-

toapproximatethe resultant byan effective sound speed; stateestimator approaches approximately1/4that of the

this replaces the curved ray pathswith equivalentstraight bearings-only algorithm.

lines. However, itmayhappenthatthe chosenrepresenta- Recently, three-dimensional CLhIA has beenintroduced

tion is not equivalent totheactualsituation. This causes using time delay measurements from an array that yields con-

a bias in the time delay observation model, which translates tact conical angle, DIE angle,

and inverse range measurements. A

into a steady state error or causes the fiiter to diverge [14]. modifiedsphericalsystem arises that is applicable tothe

Oneapproach to compensateforthe effects of medium bearings-only maneuvering contact problem [63].

inhomogeneity hasbeen to generate real time propagation

MI. SUMMARY AND CONCLUSIONS

paths bymeans ofmodified, constant-gradientraytracing

algorithms. Ocean features can also be of help for time delay Thispaper has providedageneralperspective on contact

estimation and contact localization purposes. Certain features localization andmotion analysis (CLMA) in theoceanen-

formpatterns,and these can be used inconjunctionwith vironment.It haspresentedrepresentative CLMA problems,

measured time delays to recognize thechannel sub-space and in doing so illustrates that the difficulty in solving these

whose attached set oftime delays matchesthoseextracted problems increases as the geometricrelationship between

by the time delay estimator[94],[95]. Thisleads to ray contact and observer becomes nonstationary, as the equations

path identification and ultimately to an estimate of contact defining the problems become nonlinear, and as constraints are

location and motion. placed on observer and contact motion. Varioussources of

Inmultipath tracking, similar issues to those discussed estimation errorsare discussed, andthe ability n to identify,

previously arise as to observability and nonlinearity. A major characterize, and controlthem is shown to beasignificant

difference, however, arises in the possibility of conducting, via part of the overall estimation process.

single time delays measured recursively, contact range estima- The total gain in CLMA systems is the result of spatial,

tion without the requirement for an observer maneuver. This environmental, and temporal factors. That is, gain depends on

occurs whenthe contact’s depthhappensto be known. In a system’s spatial aperture (array size, number and placement

general,however,

multisensor CLMA merges time delay of sensors, etc.), on the sound ray paths in the propagation

measurementscollectedin various planes. Bearing and/or channel, andonthetemporal processing techniques used

multipath time delay measurements are included in the estima- to convert the sequentially received signal time delay informa-

tion processors. The contact’s stateestimation process is tiontocontactstate estimates. The spatial aperture and

greatlyaided by twomultipath timedelaymeasurements, propagationchannel provide, withtemporal processing over

which impart consistency to the observation equations at each each basic observation interval, rough estimates or snapshots

instant of time. In contrast to the noisy, bearings-only case, of a contact’s location and motion. Although the quality of

tracking is performed in a three-dimensional frame with con- thesesnapshots is not necessarily enhanced by successive

comitant advantages [14],[89],[90],[95]-[97]. Princi- observation intervals, temporal processing aligns, superim-

pally, the depth parameter canbe estimated, and the unwieldy poses, and fiters themto enhance the contact’s stateestimates.

requirement for a velocity change (needed for Kalman filter Such temporal processing techniques are seen to yield an in-

convergence) is eliminated. The convergence time for the fiiter creasingly greater percentage of overall system gain as contact

is greatlydiminished and,furthermore,the filter displays a observability decreases, as signal-to-noisespectra deteriorate,

low operationalthreshold. In addition,its stability is main- and as contact range to array size increases.

tained when mismodeling exists in the observational or kine-

matical models. ACKNOWLEDGMENT

With multipath-inducedtime delay measurements, an ap- TheauthorthanksDr. S . Nardone, K. Gong,and W.

propriate state vector can be defined such that an equivalent Golembewski for their comments on themanuscript.

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IN ENVIRONMENT

THE 147

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R. K. Mehra, “A comparison of several nonlinear filters for re- ASSP-29, no. 3 , pp. 600-607, June 1981.

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veld.Eds. New York:Academic,1973. B. W. Guimond, “Joint estimation and adaptive identification for

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1969.

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*

J. C. Hassab, B. Guimond, and S . Nardone,“Commentson in- Joseph C. Hassab \*as borninJounieh,Leb-

herent bias in wavefront curvature ranging,“ IEEE Trans. Acousr. anon, on January I , 1941. He received the B.S.

Speech, Signal Processing, vol.ASSP-30,no.1,pp.99,Feb. degrees in electricalengineeringandincivil

1982. engineering, the M.S. degree in electrical engi-

E . J. Hilliard. Jr. and R. F. Pinkos, “An analysis of triangulation neering. and the Ph.D. degree from Drexel Uni-

ranging using beta density angular errors,” J . Acousr. Soc. Amer.,

, ,

j ., , > versity,

Philadelphia,

PA, in 1966,

1967,

1968,

vol. 65. pp. 1218-1228, May 1979. and 1970, respectively.

W. R. Hahn, “Optimum signal processing for passive sonar range From 1970 to 197 1, he was an Assistant Pro-

and bearing estimation,” J . Acoust. Soc. Amer., vol. 58, no. 1, pp. fessorofPhysicsatLaSalleCollege:Philadel-

201-207,1975. phia. PA. In 1971, he joined the NavalUnder-

W. J . Bangs. and P. M . Schultheiss,“Space-timeprocessingfor waterSystemsCenter,Newport,RI.Whileat

optimalparameterestimation,” in Signal Processing, J. W. NUSC,has

he

conducted research

and

consultingresulting in

Griffiths,P.L.Stocklin.and C. VanSchoonveld,Eds. New approximately one hundred journal publications in the varied aspects of

York:Academic.1973. signal processing, target motion analysis, scattering, wave propagation,

G. C. Carter, ”Variance bounds for passively locating an acoustic channel modeling, and numerical analysis. He has been, respectively, the

source with a symmetric line array,” J . Acoust. Soc. Amer., vol. Head of the Advanced Systems Analysis and Assessment Division, the

62,pp.922-926,1977. Advanced Development Division. the Advanced Systems Division, Act-

J. Hinich and P. Shaman, “Parameter estimation for an r-dimen- ingDepartmentHead:andChiefEngineer.Presently, he headsthe

sionalplanewaveobservedwithadditiveindependentGaussian Systems Architecture and Targeting Division. Since 1973, he has been an

errors,” Annals Mathemarical Staristics, vol. 43, no. 1 , pp. 153- Adjunct Professor at Roger Williams College, Bristol, RI. and since 1979

169, 1972. at Southeastern Massachusetts University, North Dartmouth, MA, teach-

P. M. Schultheiss,“Locating a passivesource with arraymeas- ing courses on radar, sonar, speech and seismic signal processing, elec-

urements:Asummaryofresults,’’ in ICASSP-79Conj.Rec., tromagnetics, engineering instrumentation, digital signal processing, and

Catalog 79CH1379-7ASSP, IEEE Press, Piscataway, NJ, pp. 967- control systems.

970,1979. Dr. Hassab is a member of Eta Kappa Nu,Phi Kappa Phi, Tau Beta Pi,

8 21 R. L. Kirlin, D. F. Moore, and R. F. Kubicheck, “Improvement of Pi Mu Epsilon, Sigma Pi Sigma, and Chi Epsilon. He is listed in the 1976

delay measurements from sonar arrays via sequential state estima- edition of Who’s Whoin the United States. In 1979, he chaired the Office

tion,” IEEE Trans. Acoust. Speech,Signal Processing, vol. ASSP- of Naval Research Conference on Time Delay Estimation and Applica-

29, no. 3 , pp. 514-519, June 1981. tions and has been Session Chairman at several IEEE and NATO confer-

831 G . C. Carter and P. B. Abraham, “Estimation of sourcemotion ences.

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