INTRODUCTION
Passive target localization and tracking in the
Observability Requirements
for Three-Dimensional
Tracking via Angle
Measurements
SHERRY E. HAMMEL, Member. IEEE
VINCENT J. AIDALA, Member. IEEE
U.S. Naval Underwater Systems Center
Observability requirements previously established for bearings-
only tracking in two dimensions are extended to a class of three-
dimensional estimation algorithms capable of processing any
pairwise combination of azimuth bearing, conical bearing, and
depth/elevation angle measurements. Although these algorithms are
intrinsically nonlinear, it is shown that they can be analyzed in a
linear framework without sacrificing mathematical rigor. A
simplified observability criterion, applicable to both autonomous
and nonautonomous linear systems, is presented and utilized to
specify conditions on own-ship motion which are both necessary and
sufficient for a unique tracking solution. Further analysis reveals
that observability dependence on own-ship maneuvers for the three-
dimensional algorithms considered here parallels the concomitant
two-dimensional requirements. An interesting difference, however,
is that under certain conditions, a unique tracking solution can be
obtained in three dimensions for unaccelerated own-ship motion.
Manuscript received February 17, 1984; revised December 18. 1984.
Authors' address: U.S. Naval Underwater Systems Center. Code 3523,
Building 1171/3. Newport, RI 02840.
U.S. Government work. Not protected by U.S. copyright.
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underwater environment (commonly referred to as target
motion analysis (TMA)) is a widely studied estimation
problem of both theoretical and practical interest [1-8].
The conventional TMA problem typically involves a
single moving observer (own-ship) that passively
monitors a radiating acoustic source (target) assumed to
be traveling with constant velocity and subsequently
processes sensor measurements to obtain estimates of
source position and velocity. Unfortunately, a unique
tracking solution is not always attainable. System
observability, in general, depends on the types of data
available as well as source/receiver geometry. Previous
studies have shown, for example, that the two-
dimensional bearings-only TMA problem (i.e., target and
own-ship restricted to the same horizontal plane) is
unobservable without an own-ship maneuver [9]. In
practice, however, other data are frequently available for
processing concurrently with azimuth bearings and offer
the potential to significantly enhance system observability
as well as provide a target depth estimation capability
(i.e., three-dimensional TMA).
This paper rigorously examines the observability
characteristics of three-dimensional estimation algorithms
that can simultaneously process any pairwise combination
of azimuth bearing, conical bearing, and depth/elevation
angle measurements. In general, establishing solution
uniqueness requirements for TMA is difficult because the
pertinent system models are intrinsically nonliniear.
However, the class of estimation algorithms considered
here can be analyzed in a linear framework, thus allowing
direct utilization of a simplified observability criterion
[10]. The criterion is deduced via straightforward time
differentiation and algebraic manipulation. lt applies,
nevertheless, to any autonomous or nonautonomous
continuously differentiable linear system and provides a
viable altemative to more complicated classical
techniques [1 1, 12]. Necessary and sufficient conditions
for a unique three-dimensional tracking solution are
readily deduced by applying this criterion to the systems
considered here. In addition, utilizing this criterion in lieu
of previous techniques [9] considerably simplifies the
observability analysis for two-dimensional bearings-only
TMA.
Analysis reveals that general three-dimensional
observability requirements parallel those for two-
dimensional bearings-only TMA. In fact, whenever
relative depth between target and own-ship remains
constant, the three-dimensional observability requirements
become identical to their two-dimensional counterparts
(i.e., an own-ship maneuver is required). However, an
interesting difference is that for the special case of
constant target depth, a unique three-dimensional solution
can be obtained without any maneuver if the appropriate
own-ship depth velocity is maintained. Finally, when
relative depth is a known nonzero constant, estimation of
the remaining TMA parameters is also possible for (p3), conical bearing (0), and/or depth/elevation angle (4)
unaccelerated own-ship motion. measurements in one of the following pairwise
combinations: (,4); (0,4)); (,0).' These measurements
are related to the target parameters by
PROBLEM FORMULATION AND ANALYSIS
Utilizing Cartesian coordinates (see Fig. 1), let tan- rL`~
rv (6a)

x = [r v]' = [rt, r., r. vY, v.4' v1, (1) ry,

define the system state vector whose components r 0 = tan l _j(6b)
[rr, rX, rj1' and v - [vt, v,, v,]' represent target position
and velocity, respectively, relative to own-ship. _ r! _
)= tan- (6c)

v
Note, however, that , 0, and also satisfy the ancillary
relation
cos 0 0 cos 4) = 0.
- cos (7)
OWN.SHIP,
Consequently, if the azimuth bearing sign ambiguity2 is
resolved a priori, knowledge of any pairwise combination
of measurements will be sufficient to determine all
possible pairwise combinations, since each contains
essentially the same information. Observability
characteristics of the associated TMA algorithms are then
identical and can be ascertained by analyzing any one of
Fig. 1. Formulation of the problem. the pertinent systems. Without loss of generality, the
ensuing discussion will therefore focus upon that system
which processes azimuth bearing and depth/elevation
Assuming that absolute target velocity is constant, a angle measurements simultaneously.
mathematical model of the system dynamics may be Examination of (2), (6a), and (6c) reveals that
written in the form formulating the TMA problem in Cartesian coordinates
x = Ax - w (2) leads to a linear representation of the state dynamics but a
nonlinear set of measurement relations. Ostensibly, the
where presence of nonlinearities suggests an analysis utilizing
0 0 0 0 0 techniques such as the "ratio test" [11] or the "positive
0 0 0 01 0 semidefinite condition" [12]. These relatively
0 0 0 0 0 complicated procedures can be avoided, however, by
- -
4 (3) rewriting (6a) and (6c) in the following equivalent form
0 0 0 0 0 0 (see Appendix A):
-0 0 0 0 0 0 0 = Hx
0 0 0 0 0 0 (8)
where
w = [0 ao]' = [0, 0, 0 ao., ao0,., aoz]'
and ao - [a0x, ao0, ao,j' describes own-ship
L(4)H-L0 0 1 -sinlPcot4)
cos cot4)
0 0 01
1 0 0 0- (9)
1 1 P
acceleration. For later use, note that (2) may be
integrated to yield the familiar expressions [6] and it is assumed that 4) * 0. Note that H can be
determined explicitly from knowledge of P and 4), which
r(t) = r(to) + (t-to) v(to) are presumed known (measureable). Thus the
measurement relation (8) is linear in the unknown state
- f (t -[)a0(f.) ddA (5a) vector x.
Observability requirements for the original nonlinear
to system can now be rigorously established by applying the
(5b) criterion described in Appendix B to the linear time-

where to denotes some arbitrary fixed initial time.
Since theoretical aspects of system observability can
be discerned under ideal conditions, only noise-free data
need be considered. In practice, three-dimensional TMA
often involves simultaneously processing azimuth bearing
'Although the combination (3,B0) is not typically used in practice, it
is included here for completeness.
2For every pairwise combination of conical bearing and depth/
elevation angle measurements, there exist two possible azimuth bearings
which are of equal magnitude but opposite sign. In practice, this sign
ambiguity can usually be resolved by exploiting sensor characteristics.

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varying system defined by (2) and (8). This criterion 4 4
implies that the aforementioned system is observable if det[C'C] = 1/2 E [+ fifi+l
and only if
det[C'C] # 0 (10) - (1+ l)fjf+1]2 + 2[(i+ l)fgj+1
where - (j + l)gj1f+ 1]2 + [(i + l)gigj+1

CO H
___________
- (j + l)gjgi+ 1]2}. (15)
Cl Co + CoA Equation (15) readily reveals that the condition
11 det[C'C] * 0 will be satisfied if and only if at least one
C2 Cl + CIA (11) term in the double summation does not vanish identically.
To fulfill this latter requirement, it is both necessary and
.___________.

C3 C2 + C2A sufficient that3

.___________.

C4 C3 + C3A
fI (t - x)a0(pF)dAj t oa(t) [r(t0) + (t -to) v(t0)] (16)
C5 C4 + C4A to

for any arbitrary scalar function a.

Equation (16) provides a concise mathematical
To simplify (1 1), observe that A and H are both representation of the general observability requirements
sparse matrices and A is time invariant. Exploiting these for bearings-only TMA in three dimensions. Moreover,
properties while performing the indicated mathematical this expression is amenable to simple physical
operations allows C to be recast in the form interpretation. For example, setting cx- 0 demonstrates
how system observability is contingent upon an own-ship
I hko 0 0 maneuver. Similarly, if cx * 0, it becomes evident that
the motion constraints imposed by (16) can still be
0 IhI ho violated even though ao * 0. Thus, certain types of
C= 01 h2 1 0 1 2h, 2) maneuvers are precluded. These particular maneuvers
0 k3 0 1 3h2 always result in own-ship positional changes which lie
along the instantaneous "line-of-sight'4 associated with a
0 lh44 0I 4h3 constant velocity trajectory. Under such conditions, the
0 1 h1 0 5h4_ resulting data measurements become indistinguishable
from those produced by unaccelerated own-ship motion.
where I is the 2 x 2 identity matrix, 0 is the 2 X 2 null
matrix, and SPECIAL CASES
In practical applications, passive TMA frequently
Ff;1 involves tracking a target which maintains constant depth.
hi= j = - di(cosd1 cot+) i = 0,1,2,. Under such conditions, the state vector of interest reduces
to x = [r., ry, rz V,vj]'. Pertinent system dynamics
and measurement relations follow directly from (2), (3),
(13) (4), and (8) by deleting the last row and column of A, the
Further simplification follows by recognizing that the last column of H, and rewriting w in the form w = [0, 0,
value of det[C'C] remains unaltered if the second and vozi aox, aoyl]' where voz represents the z component of
third partitioned columns of C are interchanged. Utilizing own-ship velocity. Proceeding as in the general case,
this fact, along with some well-known determinant observability requirements for this system can be
reduction formulas (see Appendix C), eventually leads to ascertained by examining the following determinent:
the result
4 4
Eh+lhi+l
i=l
E
i=l
(i+ 1)h,+Ih det [C'C] = det (17)
det[C'C] = det (14)
4. 4
E (i + l)h,hi+
i=l
1 E (i + 1)2h:hi
i=l 3This result is obtained by explicitly solving the set of homogenous
differential equations corresponding to det[C'C] = 0 with appropriate
initial conditions (see Appendix C).
Straightforward evaluation of the detenniinant appearing 'A "line-of-sight" trajectory satisfies the constraint relation v(t) =
in (14) finally yields ot(t)r(t), for any arbitrary scalar function co.

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where now C is the matrix depicted by (12) with the last established utilizing alternative techniques [9], application
partitioned row and column deleted. Straightforward of the criterion developed in Appendix B considerably
evaluation of the determinant appearing in (17) reveals simplifies the analysis. To see this, first note that the
that the requirement det[C'C] * 0 can be satisfied if and azimuth bearing relation given by (6a) can be rewritten in
only if h2 * 0. Note, however, that (A2) of Appendix A the linear form of (8) with
allows ho to be rewritten as H = [1 -tan 3 0 0]. (22)
Combining (22) with the two-dimensional state equations,
ho [\,lrz] ( 18) and computing the associated C matrix, eventually yields
Consequently, for nonzero constant values of r2, the 1 0 fo 0
condition h2 * 0 requires that ao * 0. The physical C-= 0 tf fo 1
(23)
implication here is that, whenever own-ship maintains a °2 0 2fi
constant depth, it must maneuver in the horizontal plane f_0h ° 3f2_
to obtain a unique tracking solution. where
For varying rz, direct differentiation of (18) reveals
that the condition h2 # 0 can be satisfied even when f = -
d'(tan 3)/dt i = 0,1,2,.... (24)
ao =0 as long as Since C is a square matrix, the observability requirement
v(to) * sr(to) (19) det[C'C] * 0 reduces to
where s is any arbitrary scalar constant. Here, the system det[C] = 3[f2]2 2f1f3 # 0 (25)
will be observable for unaccelerated own-ship motion or equivalently,5
provided that "line-of-sight' trajectories are avoided and
a nonzero depth velocity is maintained. ~t
Another TMA problem of interest arises when r, is
E (t-L)ao,([i)ddL1 L
rrx(to) + (t-to)vx(to)1
assumed to be a known nonzero constant, and it is desired
to estimate the remaining TMA parameters, x -
[r(, r vx, v,]', from the available data measurements.
f (t- i.i)aoy(Q)d,u. ry(to) + (t-to)V (to)
In this case, (8) reduces to (26)
0 = Hx + horz (20)
for any arbitrary scalar function x. Conditions generated
where ho is given by (13) and by (26) that insure system observability reaffirm
previously established results [9]. However, the
derivation outlined here is substantially simpler and more
= [° i ° (21) direct than prior analyses, which further illustrates the
efficacy of this observability criterion.
Dynamic equations for the resulting two-dimensional state
vector again follow from (2), (3), and (4) by letting w =
[0, 0 a0o, aoy]' and deleting the third and last rows SUMMARY AND CONCLUSIONS
and columns of A. Applying the observability criterion to Observability requirements were rigorously established
this system reveals that (C'C) is an identity matrix. Since for a class of practical estimation algorithms capable of
the condition det[C'C] * 0 is automatically satisfied, a simultaneously processing any pairwise combination of
unique tracking solution can always be obtained. azimuth bearing, conical bearing, and depth/elevation
It perhaps should be noted that this particular problem angle measurements. Although these systems are
has more theoretical than practical significance, for rarely intrinsically nonlinear, it was shown that they could be
is the target depth known exactly. However, whenever a recast in a linear framework. Analysis revealed that the
priori information and ad hoc techniques yield reasonably general observability requirements in three dimensions
good approximations for rz, the remaining TMA parallel those associated with conventional two-
parameters can be accurately estimated without imposing dimensional bearings-only tracking. In fact, whenever
any restrictions on own-ship motion. target depth and own-ship depth are both constant, these
Finally, consider the special case when all depth/ requirements become identical; viz., own-ship must
elevation angle measurements are identically zero. It then execute a maneuver in the horizontal plane. However, it
follows from (6c) that either target and own-ship lie in is noteworthy that such maneuvers become unnecessary if
the same horizontal plane, or the associated range own-ship maintains a nonzero depth velocity. Another
approaches infinity. Since r oois physically interesting case arises when target depth is a known,
unrealizable, the assumption + 0 implies that rz 0, nonzero constant. Here, estimation of the remaining TMA
which leads to the familiar two-dimensional bearings-only
tracking problem [5-8]. Although observability -This requirement follows directly from results derived in
requirements for this problem have been previously Appendix C.

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parameters is also possible for unaccelerated own-ship To this end, let C0 = H and zo = z. The first
motion. Finally, by examining the two-dimensional differentiation yields
bearings-only tracking problem, it was shown that the
observability criterion utilized in this paper offers a zo = Cox + Hx. (B3)
simplified method of determining solution uniqueness
requirements. Substituting (B1) into (B3) then leads to
z, = C1x (B4)
where
APPENDIX A
zi Zo + Cow (B5)
DEVELOPMENT OF THE LINEAR MEASUREMENT
=

EQUATI ONS and

An equivalent linear representation of the azimuth C1 = Co + CoA. (B6)
bearing and depth/elevation angle measurement relations Replacing (B2) with (B4) and repeating the
is developed here. These measurements are explicitly aforementioned mathematical operations will produce
related to the TMA parameters by (6a) and (6c). expressions similar to (B4), (B5), and (B6). Specifically,
Straightforward algebraic manipulation of these equations
immediately yields Z2 -
C2X (B7)
0 = rxcos 1 - rysin 13 (Ala) where
O = rxsin P sin 4) + rycos ,3 sin 4-r,cos 4 (Alb) Z2 = ZI + Cl W (B8)
where P and 4) are presumed known (measurable). and
Although (Al) is linear in the unknown state vector,
computations associated with the observability analysis C2 = C1 + CIA. (B9)
can be considerably simplified by utilizing an equivalent Continuing this procedure (n - 2) times eventually
set of measurement relations. The first such relation is generates the following set of equations:
obtained by multiplying (Ala) by (cos 1), (Alb) by
(sin 13/sin 4)), and adding the resulting equations. The Z = Cx (B10)
second relation is similarly obtained via addition after where
multiplying (Ala) by (- sin 1) and (Alb) by
(cos 3/sin 4)). These operations yield Z = [ZO, Z,Z2,Z2 Z-,
Z-1 (B 11)
o = rx - r,sin ( cot 4) (A2a) Zo = Z (B 12a)
0 = ry - r,cos P cot 4) (A2b) Zi+ =
zi + Ciw, i = 0,1,2,... (B 12b)
or equivalently, and
0 = Hx (A3)
C = [Co, Cl, C2, * Cn-1 ]' (B13)
where x and H are given by (1) and (9). (B 14a)
Co = H

Ci+l = Ci + CiA, i = 0,1,2, .... (B14b)

APPENDIX B
Multiplying (B 10) by C' finally yields
DERIVATION OF THE OBSERVABILITY CRITERION (B15)
C'Z =
(C'C)x.
Consider the linear system The vector x can be uniquely determined from (B 15) if
x = Ax- w (B1 ) and only if (CTC) is nonsingular, or equivalently,
z = Hx (B2) det[C'C] * 0. (B 16)
where A and H are given continuously differentiable However, if (C'C) is singular, the general solution to
matrices, w is a known vector, x is the n-dimensional (B 15) is given by [13]
state vector to be estimated, and z is the measurement x= (C'C)*C'Z + [ - (C'C)*(C'C)]y (B 17)
vector. Note that the system is assumed to be noise free,
which is permissible since observability characteristics where (C'C) * denotes the generalized inverse of (C'C)
can be deduced under ideal conditions. and y is any arbitrary vector of appropriate dimension.
A set of independent linear equations for x is obtained Here, the system is unobservable since this latter solution
by successively differentiating (B2) with respect to time. is obviously not unique.

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APPENDIX C Since each term in the resultant series is non-negative, it
follows that
EVALUATION OF THE OBSERVABILITY
DETERMI NANT det[C'CI = 0 (C6)
To evaluate det[C'C], observe that the matrix C can if and only if
be rewritten as (i + l)ff+1 - (j + )fi+ 1 fj = 0 (C7a)
C = DB (C1) (i + l)fig+1 - (j +I) 1+ g = 0 (C7b)
where (i+ l)gigi+ - (j+ l)gi+1gj = 0 (C7c)
0 1 I 0
for all i,j = 1,2,3,4.
To solve this system of differential equations, first
(C2a) note that the individual expressions comprising (C7) are
0
0 0, h2 2h,
(C2a) not linearly independent, but rather can be derived from
0 0 h3 13h2
three fundamental relations
0 1 0 h4 4h
2f1f3 - 3f2f2 °0 (C8a)
0 0 1h5 5h4
fl g2 - f2g1 = 0 (C8b)
ho; 0' |
(C8c)
2g1g3 - 3g2g2 °
_ h I Iho (C2b)
via straightforward differentiation and algebraic
o0l 1 ol o manipulation. Consequently, all solutions satisfying (C7)
will also satisfy (C8), and vice versa.
Next, observe that the trivial solution ho = [fo go]'
Since B is a square matrix with det[B] = l, it follows = constant vector is admissible, since this solution
from (C1) and (C2) that implies hi = [fi, gil' = 0 for all i $? 0. However, since
det[C 'C] = det[D'Dl
4 4

i 1l-+lhi+l (i+ 1)hf+1h

det (C3)
4 4

1
(i + 1)hihi+ I i=l
(i + I)'hhhi
Straightforward evaluation of this determinant yields
nontrivial solutions are of primary interest, the ancillary
de[ L][ hi'+ lh±+l1L>[ (i±+ 1)2h hi] requirement h, * 0 will be imposed.
To satisfy (C8b) it is necessary that

(i + l)hhlhi+l
h2= Ahl (C9)
where X is a scalar function to be determined. Utilizing
4 4
(13) allows (C9) to be rewritten in the form
[(i+ 1)2(hhi+)(h+I hj)
1=1 j=1 dhlldt -
Xhl 0. (CIO)
- (i+l)(i+1)(hWhi+1)(hjhj+1)] (C4) Integrating this vector differential equation over the time
which may be algebraically recast as the "sum of interval [to,t] subsequently yields
squares" expression given below:
4 4 h,(t) = exp [ X (L)d LJ h1(to). (Cl 1)
det[C'C] = E [(i + fi +
1j 1
The associated differential equation for X can now be
derived. To this end, observe that the relation
- (j+ l)jf~i+ 12 + 2[(i+ l)figj+1
2h'h3 -
3h2h2 -0 (C12)
-(j+ l)gjfi+ ]2 + [(i+ l)g,gj+1
follows by adding (C8a) and (C8c). A second relation
- (j + l)gjgi+11]2jJ- (C5) h3 = Ah, + Xh2 (C13)
HAMMEL & AIDALA: REQUIREMENTS FOR THREE DIMENSIONAL TRACKING 205
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also follows via direct differentiation of (C9). Substituting Here, direct differentiation of (C 19), coupled with the
(C9) and (C13) into (C12) to eliminate h2 and h3 implicit assumption that own-ship motion is initially
eventually leads to the desired result; viz., devoid of maneuvers [i.e., ao(to) - 0], leads to the
relations
(2A - X2)h,h, = 0 (C14)
or, equivalently,
2A X2 0 (C15)
h

h (to,) ] rz(to)v(to)) - v,(to)r(to) (2a

-
0 1 r(0
since the ancillary requirement h, * 0 implies that h2 (tO) 1
h'hl 0. (to) r-(to)v(to) v-(to)r(to)
-22t.
________(=
v -

The explicit functional form of X is readily obtained ° - r (to) V7r(to)

by solving (C15) via elementary procedures. Specifically, (C20b)
X (to)
X(t) = 1 (t0)
LAX (to) /21 (t -to)
1 -
(C16) Comparing (C20) with (C9) immediately yields the initial
condition
Combining (Cl 1) with (C16), and again utilizing (13)
reveals that
KU0)-= -2
X (to) 2~vv(to)
(t0)
-
(C2 1)
dho(t) h 1(to) r,(to)
h,(t) (C 17)
-
dt {1 -
[I(to)/21 (t -to)}2 Combining (C 18), (C 1 9), (C20a), and (C2 1) leads to the
A final integration of (C 17) over the time interval [to, tl simplified result
yields
r(t) r(to) + (t -to) v(to)
ho (t) - ho (to) +
1 -
h 1(to) (t-to)-----(
[K(to)/2] (t to) (Cl '8) r (t) r(to) + (t -to)v (to)
(C22)

The aforementioned result mathematically describes Finally, utilizing (5a) allows (C22) to be rewritten in the
necessary and sufficient conditions for (C6) to be equivalent form
satisfied. A simple physical interpretation of these
conditions is possible by noting that [see (13) and (18)]
to
e(t -ct) is a ait(t) [sr(to) + (t - vn(to)
to) .(C23)
ho(t) -ho(to) 1 r(t)
r(to)
r- (to)
(C 19)
r_(t) where oc(t) is any arbitrary scalar function.

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[71 Murphy, D.J. (1970) Englewood Cliffs, N.J.: Prentice-Hall, 1971.

Sherry E. Hammel (M'82) was born in Bainbridge, Md., on May 23, 1957. She
received the B.S. and M.S. degrees in applied mathematics from the University of
Rhode Island in 1979 and 1981, respectively.
From 1979 to 1981 she was a mathematics instructor at the University of Rhode
Island, where she is currently pursuing a Ph.D. degree in applied mathematics. Since
July 1981, she has been with the Naval Underwater Systems Center, Newport, R.I.
Her research interests include control systems analysis, estimation theory, and its
applications.
Ms. Hammel is a member of Phi Beta Kappa and Phi Kappa Phi.

Vincent J. Aidala (M'75) was born in Providence, R.l., on February 26, 1942.
He received the B.S. degree in applied mathematics and the M.S. degree in electrical
engineering from Brown University in 1964 and 1966, respectively.
Since 1967 he has been with the Naval Underwater Systems Center, Newport, R.I.
His current research interests are in the areas of adaptive estimation and systems
identification.
Mr. Aidala is a member of Sigma Xi.
HAMMEL & AIDALA: REQUIREMENTS FOR THREE DIMENSIONAL TRACKING 207
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