An Overview of Acoustic Communications from
2000 - 2012
Arthur B. Baggeroer
Massachusetts Institute of Technology
Cambridge, MA 02139 USA
Email: abb@boreas.mit.edu
Draft: September 11, 2012
Abstract— The last review in 2000 of acoustic communi-
cations (telemetry) by Kilfoyle and Baggeroer contained 136
citations. Since then the literature has continued to expand with
even more publications. We discuss advances in the following
areas.
i) There was then discussed channel models to introduce a
paradigm for channel complexity in terms of the scattering func-
tion. The issue of realistic simulations at acomms frequencies with
wave, platform and ocean variability were also introduced. Ro-
bust models of channel complexity and high fidelity simulations
yet remain. ii) Coherent comms and much more sophisticated
equalizers with adaptive feedforward and synchronization. iii)
Orthogonal frequency domain modulation (OFDM) has been
adopted from RF to combat the time/range spreading common
in an underwater channel. These receivers except now include
feedback equalizers algorithms and several types of space-time
coding; nevertheless, the baseline for acomms is an incoherent
system often used in practice when coherent systems do not
work. iv) The concept of time reversal (TR) and exploiting
multipath coherence in both the time and spatial has adopted
from matched field processing in the acoustics literature. Both of
OFDM and TR are new methods for acomms. v) The issues of
training pulses, synchronization and the intervals for retraining
and resynchronization have received attention because the fidelity
of the training and the reliability of tracking are critical for
equalizers. Tracking is typically a more complicated problem for
acomms because of the relatively large proportional bandwidths
leading to a changing Doppler factor. vi) Exploiting diversity de-
pends upon the opportunity for uncorrelated observations in the
channel. Obviously this depends upon understanding the physics
and randomness of the media. vii) Coding methods have increased
significantly. Turbo codes, low density parity check codes, space
time codes have all been examined and led to important gains.
Coding with channel feedback now introduces some interesting
possibilities. viii) There have been several approaches for MIMO
systems especially using elements of large vertical line arrays
in shallow water. ix) The need for networking has become more
evident for the use of distributed netted systems with autonomous
underwater vehicles (AUV’s). The signaling concepts of operation
(CONOPS) still remain to be defined and now are mostly tested
by computer simulations. Experiments are sorely needed. x)
Finally, the issue of stealth and low probability of intercept (LPI)
methods remain an important for military uses. LPI can certainly
be reduced by spread bandwidths and narrow beams; however,
LPI is strongly determined by propagation physics.
I. I NTRODUCTION
There have been four overviews of acoustic communications
or telemetry since the introduction of digital systems in the
early 80’s. The first in 1984 cited a few experimental systems
mostly using MFSK incoherent signaling. [1]. The second in
1996 emphasized the introduction of phase coherent methods
using adaptive equalizers. [72]. The third in 2000 covered all
aspects of acoustic telemetry. [28]. Finally, Chitre compiled
the most recent review covering both the physical layer but
with an emphasis on acomms networks.
Since then acoustic communications has seen many ad-
vances. Some such as time reversal (TR) and passive phase
conjugation (PPC) exploit the unique channel physics of some
acomms channels where coherent multipath recombination
is possible and others such as OFDM and MIMO use RF
methods developed in the 90’s. Acoustic networks have also
evolved with some experiments and lots of conceptual designs
and simulations. Since 2000 the number of papers on the
theory and experiments for acomms has grown several fold.
The purpose of this paper is to commence an update to the
review in 2000 for archival publication.
We make some comments regarding this contribution to the
workshop. First, we emphasize the communication system,
or physical layer. This is done for three reasons. i) Acomms
still has significant limitations on high data rates on low bit
error rate (BER) for many applications and environments.
We want to review the evolving research concepts leading to
improvements. ii) There is not a robust understanding about
the environmental limitations of acomm systems. iii) We note
the majority of the reviewed articles use recorded data and real
time operation has not been emphasized. the recorded data and
the logging of environmental conditions have led to a much
more systematic understanding of the acomm systems. iv) The
recent excellent article by Chitre et al. covers the progress for
underwater networks very well, so an attempt to duplicate this
in a short space is not appropriate. [11] Finally, at this point we
have not attempted to make performance comparisons. There
are simply to many variables such as range, channels, noise,
power and arrays to permit a fair comparison. We plan to
attempt some classification of these variables which might lead
to appropriate comparisons.
Next for comments, we have not included a lot of papers
from conferences and worksops but have concentrated on
the peer reviewed literature. There are many contributions
especially in the Oceans’xx series which we have not included
simply because of time and space. Many have evolved to peer
reviewed articles. Our intent is to include them in a sequel.
We have not included a lot of contributions prior to 2000 as
they have been previously covered. Finally, we note that in
contrast to 2000 there are now many commercial systems are
available with many claims about performance metrics. The
specific comment is often very high data rate and low BER
are advertised, but one must be very careful about the channel
for the intended use. Articles and commercial systems often
quote performance metrics applicable to only the most benign
environments.
II. C HANNEL MODELS
Underwater acoustic communications, just as with radio
from citizen band to satellite, can imply many applications
and very different environments. Some for long ranges for
100+ kms which operate at frequencies less than a 1 kHz and
tens of bits per second data rate, [70], [66]. Many systems
are designed short range for 1 - 20 kms within the band
10’s kHz and a few for very short range at 100’s kHz at
100 meter line of site. The issue is to model the channel
and the noise over such diversity. Acomms channel are best
described as fading and dispersive. The fading may exist both
as time selective fading with spectral dispersion and frequency
selective with time dispersion. In the acomms channel time
selective fading is caused by source/receiver motion and wave
motion while frequency selective fading is caused by multipath
spread. The overall delay, or multipath spread, L, and the
doppler bandwidth, B, are very useful is signaling design for
an acomms system. The reciprocal of the multipath spread,
1/L determines the scale of frequency selective fading and
the reciprocal of the doppler spread, 1/B, determines the scale
of time selective fading. If the fundamental signal for the bit
or symbol is specified to have a duration T and a bandwidth
W . A channel is labeled as being over spread in duration if
W L > 1, over spread in Doppler if BT > 1 and doubly
spread if both conditions exist. These are important scalings
for the signal design of an acomms system. Questions about
modeling regarding the temporal fading coherence time as
well as the multipath coherence and they have received some
attention in the acoustics literature. While the models capture
the propagation paths, introducing the signal variability is a
challenge because of uncertainties in the ocean variability as
well as the high carrier frequencies and wide bandwidths used
in most acomm systems. One of the significant advances of
the last decade has been the availability of achieved data sets
which can be used for verification and validation of a model.
Acomms modeling of probability densities is certainly not
to the level of maturity as RF channels where there are many
propagation models. The limits of models seem to be flat fad-
ing Rayleigh, i.e. no selective fading, and Rician. Extensions
to complex chi2n of order n, Nakagami q, n and m, and log
normal are all examples which are in the RF literature which
may find applications to the rich set underwater environments.
[55]
The first order issues are models for signal to noise ratios
(SNR). Obviously parametric trade studies can be done since
computational propagation models are now mature if there is
adequate environmental data especially the range dependent
sound speed profiles. [27] Data for noise levels have been
tabulated by season, frequency band and direction such as
the US Navy’s DANES and ANDES models, however, there
can be a lot of variability. Stojanovic has introduced a sim-
ple model characterizing the propagation with an algebraic
spreading loss, e.g. 10 - 20 dB re a reference distance and
exponential attenuation, e.g. dB per wavelength and the noise
drawn from the Wenz’s curves, e.g. dB spectral density versus
frequency. [75] The model does capture the concept of an
optimal frequency. Nevertheless, there are several important
caveats. The model is appropriate only for shallow water.
In deep water the propagation effects such modeled by rays
or full field methods introduce strong dependencies in depth
and range such as convergence zones. [5], [27] The Wenz’s
noise spectra models are based on deep water measurements
associated with wind noise and shipping density. [77] Shallow
water noise is very variable and localized at the frequency
band used by acomm systems.
Key insights about the performance of an acomm system
can be inferred by the scattering function (SF) of the channel.
[79],[46] This function describes how a signal is redistributed
by dispersion and doppler. One might consider the SF to
be an ensemble characterization of the time varying impulse
response of the system. One axis represents ”fast time” for
response to a short pulse while the other the Fourier transform
of ”slow time” for the time varying nature of the channel.
While the details of the SF are important especially for un-
derstanding channels which have sparse multipath and doppler
distributions, the SF is important because stimulates asking
important questions about the channel such as how long is
the dispersion and how wide are the Doppler spreads. Are the
paths in the dispersion distributed or sparse and are the paths
uncorrelated in delay and doppler? For example, OFDM is
often described as modulation system since the channel is over
spread in time and not over spread in doppler. The SF is based
upon two assumptions leading to the wide sense stationary, un-
correlated scattering model of a channel (WSSUS). The first,
or ”US”, implies that in the time varying impulse response
for a channel, the complex amplitudes on the delay axis are
uncorrelated. This means that the model is not appropriate for
correlated multipath. The second, ”WSS”, implies that the time
variability of the impulse response is a stationary process. This
means that the doppler bina are uncorrelated. Overall, the SF
specifies the time and doppler redistribution as a superposition
on uncorrelated complex amplitudes in time and frequency. We
note the SF models are not valid for time reversal (TR) which
depends upon the concept of coherent multipath recombination
(CMR) which conflicts with the basic assumptions of SF.
 There has, nevertheless, been several papers which have
measured SF as well as developed simulation capabilities.
The measurements have been motivated by trying to identify
the sparse characteristics of the channels associated with ray
paths. Several of these have used matching pursuit algorithms.
[33], [47], [86] An important issue for MP approaches is
identifying the number of parameters needed and when to
terminate the search. Another approach but framed within
the context of OFDM channel identification is based on the
CLEAN algorithm from radio astronomy. [36] In both of
these approaches one tries to ”peel” energy off of a reception
by identifying the time varying gains in a tapped delay line
model of the SF. Alternatively, there have been approaches
by algorithms which synthesize SF such that simulated data
are consistent with experimental observations. [80] Preisig and
Deane estimated channel impulse responses and the SF for
propagation in a surf zone. [43] In a very elegant analysis
they were able to relate scattering centers to caustics created
by wave curvature.
The SF can be used to gain some insights about the
performance among equalizers when there is knowledge of the
ensemble properties of the channels. Preisig derived the result
2
that σDF 2 2
E ≤ σlin ≤ σT R where the variances respectively
refers to decision feedback and linear equalizers and TR,
or a spatial matched filter, equalizers when there is no time
variability from doppler effects.[44] The impact of the these
effects can be deduced by an exponential averaging along
doppler slices of short time estimates SF which average over
the time variability.
One of the important issues for orthogonal frequency divi-
sion multiplex (OFDM) system is the doppler distribution. The
OFDM concept implies a ”slice” of the SF at a range delay,
or tap. We note that this is not the same issue as the large
proportional bandwidth compared to the carrier which leads
to different doppler corrections across the frequency band for
a constant speed between source and receiver. The constant
speed effects mostly can be corrected to leave fading just due
to medium effects. Once this is done there remains the problem
of the doppler spread compared to the OFDM bin widths. The
SF predicts this spreading and determines if there is leakage
among the bins. For example, it predicts that some channels
such as those analyzed by Eggen, which can not be easily
compensated by rescaling and PLL tracking, need wide bin
widths. [14], [15] This can conflict with the need for long
windows compared to the channel dispersion.
Noise distribution is one aspect of the acomms channel
which has received scant attention. The is partially due to
the robustness of the Gaussian model and the inability to
derive optimal receivers. Synoptic measurements are another
problem. For low frequency acomms, e.g. less that a few Khz,
the non Gaussianity is mostly due to shipping noise. While
this has been well studied for ASW, applications to acomms
have not been found. At higher frequencies typical of shallow
water, short range acomms snapping shrimp with its impulsive
characteristics have been studied. [9]
III. E QUALIZERS
The introduction of equalizers especially decision feed
back equalizers (DFE’s) had a major impact upon acomms.
Prior to then almost all acomms operated in the so called
”incoherent” mode. There were coherent 1 systems which used
block forward error correcting code (FEC) which were most
successful for reliable acoustic path channels (RAP). [38],
[7] The introduction of DFE led to a significant performance
improvement and changed acomms for the next several years.
[72] These were FIR multichannel filters based on adaptive
feed forward and DFE architectures both for single and
multichannel inputs. The adaptive filters were periodically
initialized using probe pulses which transmitted known data
sequences. Motion effects were compensated by using second
order phase locked loops (PLL) and resampling if the doppler
was large and the proportional bandwidth was significant.
In the limit of a very large number of taps one might
consider the feed forward filter to be an inverse filter G−1 (f ),
or whitening filter. This introduced all the problems of inverse
filters such as i) noise enhancement and instability near the
zeroes of G(f ), ii) the effect of multichannel minimum phase
on the multichannel impulse responses and iii) the their design
with finite sample support to replace ensemble quantities with
sample ones. We note that in special case of a single input /
single output system the phase of both the inverse filter and a
TR filter are the same implying the same set of group delays
through the receiver.
Since 2000, nevertheless, there have been relatively few
publications on DFE’s. In addition the performance analysis by
Preisig, Eggen examined instances where the effects of motion
are not a simply a doppler shift, so broadband compensation
was introduced. [14],[15]. Three of the issues beyond those
above are the i) computational complexity since the number
of degrees of freedom is proportional to product of the
equalizer length in taps times the number of array channels,
ii) instabilities associated with updating the adaptive filters
for the time-varying nature of the data and iii) the need for
periodic retraining using the probe signals when the filters
would completely ”lose lock”. The number taps needs to span
the duration of the channel sampled at the Nyquist rate time
a factor, usually two, for fractionally spacing to avoid phase
effects. The important conclusion is one is led systems with a
large number of degrees of freedom and not enough to data to
support the adaptation in spite of the DFE, so instabilities
can occur. Many acoustic channels are very dispersive, so
the duration is large leading to a large number of degrees
1 For example, the Digital Acoustic Telemetry System (DATS) was designed
with sixteen MFSK tones with a Hamming code using an equal energy
transmission suggested by Proakis. [45] (The limit of sixteen tones was
imposed by the maximum dimension which a microprocessor/array processor
designed by Catapovic could operate in real time.) The symbol alphabet
eventually increased to 256 with higher speed DSP chips to become what
eventually became the WHOI modem [17]. Woods Hole sublicensed to
Datasonics which was subsequently purchased by Teledyne-Benthos.
of freedom.
The underwater channel is often sparse where a few number
of ray paths can be identified. This led to several approaches
to parameterize the channel. Matching pursuit has been tried
by Li and Radosevic. [33], [47] Alternatively, Ling et al have
used a variant of the CLEAN algorithm of radio astronomy to
remove successively contributions to the multichannel impulse
response. [36] There are also advantages to going to a beam
space approach since propagation paths are typically limited
to a ±20 degrees for channels where the range exceeds several
water depths.[71]
Training is a key issue for equalizers. There is a long
history on the convergence of the linear mean square error
(LMS) and recursive least squares (RLS) algorithms; never-
theless, they do . The usual approach is to transmit a known
data sequence so the adaptive equalizers can converge to their
steady state and ”optimal” levels.
Finally, acomms systems often operate at low SNR’s and
with some significant difference from an assumed model. At
some level the decoding errors of the DFE become so frequent
that MMSE feed forward and feedback filters have design
errors in addition. This leads to degenerative feedback in the
update of adaptation process. At this level switching to a more
robust system design such as an incoherent mode is probably
appropriate. [17]
IV. T IME R EVERSAL AND
PASSIVE PHASE CONJUGATION (PPC)
Time reversal (TR) and passive phase conjugation (PPC)
methods have been a ”hot” topic for acomms attracting a lot
of attention because of its simplicity. There are a number of
ways to think of TR and PPC. The first is that if G(f ) is the
transfer function of a system, then GH (f ), where H is the
adjoint operator, is the well known matched filter temporally
but also spatially. At a more fundamental level the optimal
detector for a signal in white noise is a replica correlator
which is implemented as a matched filter in signal processing
parlance in the time domain and a conventional beamformer
in the spatial domain. This leads to the PPC interpretation
using the adjoint operation. When reciprocity is valid, the
replica correlator can be equated to a time reversed signal
propagating as ”incoming” solution of the wave equation. We
emphasize that replica correlation is optimal optimal operation
and TR and PPC are just interpretations of its implementation.
Moreover, the replica correlation operation is optimal only for
detection and parameter estimation only noise environments.
For noise environments where interference by sidelobe jam-
ming is prevalent, other forms of detectors and estimates are
needed. [78]
In acomms using TR and PPC the conceptual advance was
to use a channel probe, so called ”passive time reversal”, for
the one way transmission of an acomms system instead of
”active time reversal”. This led to what is termed ”coherent
multipath recombination” exploiting the phase coherency typi-
cally present in shallow water or very low frequency acoustics.
The enabling concept is temporal arrivals and range/depth
(angles) spatial side lobes are reduced and only the main lobe
interferes constructively. Rouseff with a PPC interpretation
follow by Edelman with a TR interpretation were the first to
introduce PPC and passive TR for acomms. [51],[13] There
were also several citations on the concept of TR in conference
proceedings at roughly the same time by Gomes and Barroso,
e.g. [20],[21].
There are several issues associated with PPC and TR. First,
the matched filter is optimal for detection in white noise
and can lead to dispersion and intersymbol interference (ISI),
although in practice with large arrays the ISI tends to be
small for large arrays. This can mitigated by decision directed
feedback. Second, the time duration for which the channel
probe can be used for the matched filtering is a strong function
of the channel dynamics such as source/receiver and surface
wave motion. The suitability or usefulness can improved by
adaptive methods which track changes in the channel probe.
The initial uses of passive TR did not address ISI; however, the
value of decision directed feedback (DFE) , which was already
commonly used in conventional equalizers was evident. While
the use of DFE’s is now common in TR acomms, the first
were Flynn and then Song using methods textbook methods.
[16],[57],[46]
Stojanovic introduced the concept of ”retrofocusing”. This
uses several constructs for feedback links for channel state esti-
mation to design transmit/receive techniques which maximizes
detection and minimizes ISI for a bandlimited and energy
constrained channel. [73] The result of this optimization leads
to spatial processing identical to the conventional processing
for MFP and a temporal filter to control the ISI. This suggests
the processing for ISI mitigation averages the spatial sidelobes
destructively across signal band.
TR has many attributes and problems similar to MFP so
the topic of many TR and PPC articles have concerned fixing
these problems. Certainly, one of the more important topics
has been compensation for source/receiver motion. In most
TR and PPC receivers this was done using phase locked loop
tracking and resampling. The latter is particularly important
for acomms because the proportional bandwidths are typically
much higher than RF communication systems. Usually the
tracking and resampling is done by estimating velocity and/or
acceleration followed by the phase locked loop. Gomes et
al introduced three techniques to estimate a scalar multiple
for each channel to refocus the Q function after tracking and
resampling. All the techniques demonstrated that significant
ISI reduction ( 2 - 8 dB) compared simply using TR with
just tracking and resampling.
The ISI for TR and PPC is determined by how well the
matched filtering works to combine all the channels and delays
to create an impulsive operation on a single symbol. This
is determined by the so called ”Q” function which is the
matched filter response which is the convolution on g(t) with
its adjoint, or the inverse transform of GH (f )G(f ) where both
g and G are vectors for each channel of the receiver array.
Medium distortion degrade this beyond the
Throughout the decade the group at Scripps led by Song, et
al has explored theoretically and experimentally many aspects
of acomms using TR. These include multiusers, [59],[62], [64],
cross talk mitigation, [63], bidirectional equalizers,[66]
The literature of the last decade contains many articles on
TR and PPC ; nevertheless, some perspective is useful. In the
time domain the concept of TR is well known in the context
of matched filtering, or replica correlation. The only issue is
how to obtain the replica. In the applications to acomms as
now considered this is done with a probe pulse, so the only
issue is the its accuracy in the presence of noise and how fast
it changes. (Other applications use mathematical models.) In
the spatial domain the concept is the same as matched field
processing coherent across frequency. [2]
V. OFDM: O RTHOGONAL F REQUENCY D IVISION
M ODULATION AND
MIMO: M ULTIPLE I NPUT - M ULTIPLE O UTPUT S YSTEMS
We consider OFDM and MIMO systems together because
so many, but not all, articles have embedded OFDM within
a MIMO array of transmitters and receivers. By far the most
common scenario for MIMO is a VLA of transmitters and a
VLA or receivers which assures synchronous transmissions
and receptions. This is not the common scenario for RF.
Moreover, the array spacings are short which implies spatial
correlation which contrasts with the uncorrelated diversity
paths models in RF applications.
Orthogonal frequency division modulation is a concept for
communication now the topic of many papers for acomms
which goes back at least to 1969 when the fast Fourier trans-
form (FFT) was novel. [53] Communication in the frequency
domain is useful for acomms systems because of the long
time channel dispersion. The message symbols modulate N
frequency bins of the transmitted signal with an inverse FFT
with the duration of the transformed data is at least as long
as the channel spread dispersion. This leads to N separate
frequency bins the with statistically independent uncorrelated
bin, or channel gains. The receiver then estimates the symbols
at each bin. A cyclic prefix code or zero padding is added at
the ends of signal transmissions. The symbols usually have
some coding form of coding overlay. Transforming to the
frequency domain introduces several problems. OFDM is very
sensitive to motion effects or anything which compromises
this assumption by intercarrier interference (ICI. First, Doppler
effects are inherently problematic. Narrow bin widths are
desirable to maximize the data rate within the bandwidth
used; however, motion both shifts the tones by doppler and
spreads by acceleration for each bin, so guard bands and pilot
tones are used in combination with motion tracking and/or
resampling. Moreover, acomms signals typically occupy a
large proportional bandwidth, so the Doppler compensation is
not uniform across the signal bandwidth. Second, the channel
gains at each bin must be estimated, so this implies accurate
probe signals. Third, the individual channel gains fade, so
some form of diversity is needed.
There have been many OFDM papers since 2000. Stojanovic
analyzed a system where doppler and acceleration were each
tracked by bin. This implicitly assumes that these terms are
common for all ray paths regardless of their grazing angles, i.e.
differential terms are not important. Carracossa and Stajonovic
uaed a what might be called where the channel was over
resolved in doppler and/or time to form signaling ”blocks”.
[6] The channel gains spanned by each of these blocks were
then estimated using probe signals and/or tracked using DFE’s.
This approach was then embedded in a MIMO (see below)
system of transmitters and receivers on VLA’s. Li, et al.
used resampling followed a ”high resolution” compensation
for residual doppler to cancel ICI. This was facilitated by
carrier frequency offset using null subcarriers where a gradient
method was used to minimize the energy in them. [34]. The
same authors used an OFDM -MIMO system with a common
carrier and an iterative decoding using low density parity
check codes. [35] Pelekanakis examined by simulation and
experimental data the relative merits in an OFDM-MIMO
system between Trellis codes with a Euclidian metric and with
bit interleaved coded modulation with a Hamming metric. [41]
An alternative MIMO was introduced by Roy, et. al. using
SSTC and LSTC and combinations of them where the Viterbi
decoding is used for the STTC and Turbo codes used for
LSTC. The usual DFE structure was used with the possibility
of several layers of iterative cancellation. The system was were
tested with ten element transmitter @ 190dB re 1µP a and
eight element receive array over six 3 kHz sub bands from 27
- 50 kHz between two VLA’s separated by 2 km in 100 m
water depth.
Most OFDM - MIMO systems are point to point and assume
time synchronization. When there are asynchronous users, the
receivers must cancel the effect of other (interfering) users.
Wang, et al discuss an approach to this.[81] Finally, we note
that the peak to average ratio(PAPR) can be problematic for
OFDM systems. The nonlinearities introduced by clipping of
power amplifiers introduce ”sidelobe splattering” across the
frequency bins and leads to ICI. This has been investigated
in the wireless literature where certain mitigations procedures
can be applied. [23]
VI. M ULTIPLE I NPUT M ULTIPLE O UTPUT S YSTEMS
There have been two approaches which have introduced just
MIMO as a spatial modulation concept. The first uses TR
methods while the second decomposes the channel in terms
of an SVD representation. One approach based on the concepts
of time reversal exploits the focusing capability of MFP. [64]
When there is a lot of multipath complexity, e.g. several
apparent images and the interference from other sources is not
strong, TR can focus to a spot size much smaller than predicted
by the usual Rayleigh spot size, or point spread function.
This leads to the use of multiple transmitters distributed on
a VLA and a VLA receiver spanning as much of the water
column as feasible The TR concept can be extended to include
ABF where one uses estimator-subtracters to cancel the mutual
interference.[63]. These concepts were tested using the FAF
experiment.
Another approached based upon measuring the multichannel
transfer function from an array of transmitters to an array
of receivers was introduced by Kilfoyle et al. [29]. This
transfer function was represented in terms of a singular de-
composition (SVD) which had both right and left eigenvectors.
Eigenvectors for the transmitter were successively selected to
eliminate intersymbol interference, or crosstalk, at the receiver
in an optimal order. Experimental results with a small, high
frequency array demonstrated the efficacy of the approach.
VII. D IVERSITY
Virtually all the acomm papers reviewed used VLA’s for
transmitters and receivers sometime as arrays other times or
in a MIMO context. The sensor spacings are on the scale of
the acoustic wavelengths, so spatial correlation exists among
the receptions. In this context beamforming is the appropriate
paradigm for spatial gain. Diversity as used in communications
usually implies uncorrelated receptions among the receptions.
Foschini and Gans introduces a model with nT transmitters
and nR receivers with uncorrelated flat Rayleigh fading among
them with a constraint on total power transmitted. [19] This
leads to χ2 distributions for entries in what might be termed a
data matrix. Then the probability distribution of an ensemble
of realizations for the channel capacity which is evaluated
by simulation and asymptotically using random matrix theory
(RMT). This leads to the concept of ”outage probability” when
the random gains channel capacity does not attain the required
throughput and a retransmit was necessary. This suggests a
number of approaches for acomms to overcome these lim-
itation sometimes with the need for some ARQ capability.
First, the concept of outage capacity and the probability that
a channel may not sustain a bit rate has not appeared in the
acomms literature. The usual concept has been to design a
channel with a very high capacity or low BER; perhaps there
are some applications where this concept can be used for
acomms.
VIII. ACQUISITION AND S YNCHRONIZATION
In many papers on acomms the issues of source/receiver
acquisition and synchronization are unstated In practice, ac-
quisition is often the most challenging at low SNR’s or chan-
nel mismatch. [46] Typically, range, or travel time, tracking
acquired with a probe prefix wide band linear or hyperbolic
frequency modulated chirp, pseudo random noise or cyclic
prefix code to time gate the signal onset. Once detected a
”delay locked loop” (DLL) with early-late gates keep the
detected signal with a tracking time bin for subsequent de-
modulation. The energy and the bandwidth of the prefix is
important because the former determines detectability while
the latter resolution against clutter. The desire for covertness as
well as peak power all push towards the use long duration-wide
band width signals. Frequency, or Doppler is tracked using one
several methods or quadrature demodulation (IQ) and/or phase
locked loops (PLL). Frequency tracking has become especially
important for OFDM system where ICI is a problem if
left uncompensated particularly with source/receiver distance
acceleration. OFDM ”pilot” tones are typically interspersed
with symbol tones which are tracked individually. In RF
often the DLL for time and PLL for frequency tracking
are integrated into a common acquisition system. Both the
delay and frequency are kept in synchronization by periodic
retransmission of the probe signals.
The problems of signal acquisition seem to have been
discussed seldomly in the acomms literature almost certainly
because experiments are run at high SNR’s to avoid what in
sonar are called ”minimum detectable level” (MDL). The only
exception found has been for a study of covert acomms. [32]
IX. C ODING
Applications of new concepts of coding to acomms has
lagged behind wireless by at least a decade. Whereas, for
example, turbo codes were introduced at almost two decades,
they are only most recently found wide spread applications to
acomm systems. [46] There certainly are many results form
coding literature which are applicable, however, it is simply to
large to enumerate. One of the topics which does seem to fit
when there is an ARQ link available are rateless, or fountain,
codes. [10], [56] These codes have the attribute that a message
can be reconstructed from any subset of symbols once a fixed
number have been received. The codes have the important
property of minimizing the number of ARQ’s needed. While
ARQ has not been a modality in the past acomms literature,
there are many potential applications.
X. N ETWORKS
A large literature on networks for acomms has evolved
over the last decade. We defer the review articles by Sozer,
et al., Chitre, et al. and Heidemann et al. for compre-
hensive coverages. There are also the ongoing meetings of
WUWNET’xx. Several comments, nevertheless, are useful. The
Seaweb system nurtured by Rice has matured many of the
important network issues for many years. [49], [50] Many
theoretical articles most with simulations have been written,
but experiments are sparse. [18] The significant expense ship
time for deploying many nodes especially at the scale to test
a lot of the important concepts. Acomms is fundamentally
different in many ways from RF networks because the slow
speed of sound implies there are many bits in transit. A
consequence of this is the difficulty for ARQ, or feedback
to the transmitters.
A interesting paper by Partan et al. discusses many of
the practical issues for acomm networks. [39] The collected be out of place. State of art classifiers and well trained sonar
contributions in the text by Xiao discuss several aspects technicians are very perceptive.
of acomm networks; however, all the articles are based on
simulations with very simplistic models of the physical layer XII. S UMMARY
of the acomms channel. [83] Considerable attention was given We summarize with the following:
to the choice of modulations for access to multiple users. The 1) The literature for underwater acoustic telemetry is very
merits of time, frequency and code division multiple access extensive and has adopted mnay concepts from RF
methods are discussed extensively. applications.
2) We have emphasized the physical layer of an acomms
XI. S TEALTH
system. If this does not work, a network of links will
Potential military uses are important applications of not.
acomms. Many of these applications require stealth, or covert, 3) The acomms channel is still among the most challenging
methods. While system concepts are classified, we can enu- except for line of sight applications.
merate some of the issues. There are several relevant ap- 4) Focus areas of research have been:
proaches to covert acomms: i) spread spectra and modulation
a) Passive phase conjugation / time reversal
methods, ii) narrow beams and iii) steganography. Spread
b) Orthogonal frequency division modulation
spectra methods exploit the difference in processing gains
c) Multiple input - multiple output
between coherent and incoherent detection. One assumes
that the adversary must resort to incoherent energy detection 5) Several other topics introduced from the RF literature
while the user has the coherent spreading code processing include:
gain. There may be knowledge of frequency band of interest a) Acquisition and synchronization
depending upon the a priori knowledge. The adversary needs b) diversity
to have enough incoherent time-bandwidth and beamforming c) coding
gains in the sonar equation to obtain signal excess. Ideally the 6) Some outstanding issues are:
user reduces the transmitter gain to the lowest level needed a) Equalizer training
for reliable communication to minimize the probability of b) Stealth operations
intercept. The paper by Leus and van Walree described an 7) Many field experiments have been mounted with careful
approach to covert acomms using a combination of spread acquisition of calibrated recorded data. This has enabled
spectra applied to OFDM. [32] the testing of algorithms and optimization of their pa-
Transmission loss (TL) is a very important concept for rameter settings.
stealth, or covert, acomms. It is very difficult, for example, 8) There are many commercial systems advertising high
to be covert if the adversary is close with a lot of array gain bit rates and low bit error rates, but these claims are not
and the intended receiver is distant. The probability of inter- caveated by environment.
cept is high even when using spread spectra or stenography. 9) Incoherent systems are robust at modest data rates if the
Any directive source is immediately suspicious. This is often channel physics has reasonable transmission losses.
called the ”near-far effect.” Nevertheless, there are aspects 10) Coherent systems are still evolving in the research
of a typical TL which can be exploited. The covert margin community.
concerns the transmitter to receiver TL and coherent gain XIII. G LOSSARY
less compared to the transmitter to adversary and incoherent
gain. One of the significant difficulties with stealth is the ABF Adaptive Beamforming
problem of acquisition. Even with prearranged settings such ARQ Automatic Repeat Request
as time, location and frequency, synchronizing the time delay CMR Coherent Multipath Recombination
and doppler between transmitter and receiver at the low SNR’s DFE Decision Feedback Equalizer
needed for stealth is very difficult. DLL Delay Locked Loop
FAF Focused Acoustic Field Experiment
Steganography has been studied extensively both from in- FEC Forward Error Correcting Codes
formation theoretic and practical considerations. One needs HLA Horizontal Line Array
to select a waveform which ”appears” natural against the KauaiEx Kauai Experiment
background of the ambient noise. This can be a marine ICI Intercarrier Interference
mammal call, a snippet of ambient noise, some well known IQ In phase - Quadrature Demodulator
transient or some other signal. [54], [31], [8], [76] The low ISI Intersymbol Interference
probability of intercept (LPI) problem is avoid detection either LPI Low Probability of Intercept
automated or human of a signal which somehow does not LSTC Layer Space-Time Codes
match the background noise. For acomms the marine mammal MFP Matched Field Processing
calls must match by species and season, the ambient noise MDL Minimum Detectable Level
must match a nonstationary background, a transient must not MIMO Multiple Input - Multiple Output
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