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z axis
y ax1\
ular, for each candidate elevation angle I$,l the sequence z(q) is
processed using ROOT MUSIC or any other modem line spectral
estimation technique as if it came from a uniform linear array. Any
root estimated via ROOT MUSIC which is on o r close to the unit
circle then indicates the presence of a source at the elevation under
consideration and an azimuth equal to the phase of the root.
11. TRANSFORMATION
OF PLANEWAVES
I. INTRODUCTION
x ( m , r) = A(r) exp j
2:R
sin I$ cos
i2:
--
e))
x ( m , t) = A(?)k = - r n
Jk(F
sin 0) exp ( j k ( , -
F))
(2)
(1)
I009
ZHDH(4)E,E"D(4)Z= 0
(4)
where we have used the fact that J - & . ) = ( . ) [ 5 ] .Note
that if M - q is large enough then J M - , ( 2 a R sin 4 / X ) = 0 and
x ( q , t ) = A(t)J,(2nR sin d/X) exp ( - j q 0 ) . On the other hand, if
q is large enough then Jq(2nR sin 4/A) = 0 and x ( q , t ) =
A ( t ) ( - 1 ) M - 4 J M - y ( 2 ~sin
R $/A) exp ( - j ( q - M ) @ . Hence, by
properly reordering the sequence x ( q , r ) we can obtain another sequence that is proportional to A(t)J,(2aR sin 4/A) exp ( - j q 0 ) . In
particular, using the fact that M is much larger than 4 a R / X we can
define a new sequence z(q, t ) as follows:
where z is an M
(7)
1 vector given by
=
z?
[1
...
ZM-l~7
A root close to the unit circle would then indicate the presence of
a source at the elevation currently under consideration and an azimuth equal to the phase of the root.
111. TRANSFORMATION
O F A BACKGROUND
NOISE
Equation (6) with 4" = a / 2 (i.e., for the case where all the
sources and the array are coplanar) appears already in [ 8 ] . However, the derivation of [8] is incorrect as it claims that (6) (with 4,,
= a / 2 ) may be obtained by computing a discrete Fourier transform of the sensor outputs. As mentioned above, a discrete Fourier
transform of the sensor outputs will in fact yield (3) and not (6).
Note that since J,(x) = 0 when q >> 2x, ( 6 ) also implies that
the effective number of sources that may be resolved by a circular
array at a fixed elevation is a function of the radius R of the array
and the elevation angle. In particular, that number may be smaller
than M , the number of sensors. The effect of this implication on
the procedure presented here and other high resolution bearing estimation techniques when applied to uniform circular arrays is currently under investigation.
Now observe that z ( q , t ) is the sum of exponentials that are modulated by the sequence ofA,(t)Jq(2aR sin &/A). To determine the
elevation and azimuth angles of the sources we use a ROOT MUSIC based approach as follows. W e begin by discretizing the range
of possible elevation angles q5 and estimating a matrix E, whose
columns form an orthogonal basis for the "noise-only" subspace
[ 2 ] . As in other eigendecomposition techniques, E, may be estimated either by using an eigendecomposition of the transformed
Consider now the case where the array operates in the presence
of a background noise process only and observe that the array samples the noise process at the points 7, = ( R , 27rm/M, 7r/2), 0 5
m 5 M - 1. Denote by K,(m, m') = E { x ( m , t ) x * ( m ' , t ) } the
autocorrelation of the sensor outputs x ( m , t ) .In general, K,(m, m ' )
will not be a function of m - m ' , i.e., the process x ( m , t ) will not
be stationary in the m variable, even if the background noise field
is spatially homogeneous. However, if the underlying noise process is isotropic, isotropic and homogeneous, or cylindrically symmetric [ 9 ]then x ( m , t ) will be stationary in the m variable. Specifically, if the underlying field is isotropic and stationary then
K,(m, m ' )
K(I ?,
?AI)
(8)
where K(r) is the rotationally invariant correlation of the underlying isotropic and homogeneous background noise field. In particular, K,(m, m ' ) = 026(m - m ' ) when the background noise field
is spatially white and homogeneous with a variance of u 2 .
The covariance of the inverse discrete Fourier transform x ( q , t )
of x ( m , t ) can be directly computed from that of x ( m , t ) . If we
denote by Rk and R, the correlation matrices of the sensor outputs
and the inverse discrete Fourier transform of the sensor outputs in
the presence of the noise field only respectively, we can relate Rk
and R, through the equation
R, = UR, U H
(9)
1 exp ( j
T).
1010
0.30
Trans-Root MUSIC
Trans-MUSIC
Conv-MUSIC
---e-Conv-MIN NORM
.*
-X-
---)(--.
W
>
0.20
;;
W E
W
IS--.
-10
10
2-
0.10
Trans-MUSIC
Conv-MUSIC
Conv-MIN NORM
0.00
20
30
20
10
Fig. 2. Probability of resolution of MUSIC, proposed approach and MinNorm applied to the array data and transformed array data.
uncorrelated at any given time t and have identical covariance functions then E { x ( n , t ) x ( m , t ) } = 0. Combining this fact with the
above discussion and ( 5 ) we find by direct substitution that for a
homogeneous and isotropic background noise field the transformed
process z ( q , t ) is a white noise process which is possibly nonstationary .
Combining the results of this section with those of Section 11,
we find that the transformed output z ( q , 1 ) corresponding to a circular array that is operating in the presence of M narrow-band plane
waves and a background noise field is
where the O,,'s are the azimuths of the angles of arrival of the plane
waves, q5,, the elevations, and w ( q , r ) is generally a nonstationary
process whose covariance is related to that of the background noise
field as explained above and which is white if the background noise
field is homogeneous and stationary.
IV. SIMULATION
REsuLrs
Simulation experiments were conducted to compare the results
of applying ROOT MUSIC and Minimum Norm [ 111 to the transformed outputs of a 23 element circular array of radius 5 h / 2 a with
those that are obtained by applying MUSIC [I21 and Minimum
Norm to the array outputs directly. The sensors were equally spaced
along the circumference of the array. Two sources of equal power
were assumed to be in the far field of the array at azimuths and
elevations (e,q5) of (60", 40") and (80", 45"). The probability of
resolution of MUSIC and Minimum Norm applied to the array outputs and transformed array outputs as well as the average meansquare errors in the elevations and azimuths estimated via those
procedures were computed from 100 independent trials at each of
the signal-to-noise ratios that we considered. The corresponding
results for ROOT MUSIC applied to the transformed array outputs
were computed from 50 independent trials at each signal-to-noise
ratio. In each trial the covariance matrices of the array outputs and
the transformed array outputs were estimated using 100 snapshots.
The signal-to-noise ratio was defined in terms of the ratio of a single source power to the variance of the additive white noise process. The sources were considered to be resolved if two estimates
of the direction of arrivals were obtained and each was located
within k2' of the true elevation and azimuth angles. Fig. 2 shows
the probability of resolution at various signal-to-noise ratios for the
30
40
50
S N R ( dB )
S N R ( dB )
'
--b
0.6
---I#---
Trans-Root MUSIC
Trans-MUSIC
Conv-MUSIC
Conv-MIN NORM
10
20
30
40
50
SNR ( d B )
In this correspondence we have studied a transformed data sequence that is equal to a reordering of the inverse discrete Fourier
transform sequence corresponding to the outputs of a circular array
with M elements uniformly distributed around the array circumference. We have shown that the transformed sequence may be processed using a ROOT MUSIC based approach to estimate the elevations and azimuths of the observed sources. A computationally
less expensive search over the elevation angles q5 may also be done
using the multichannel Schur algorithm [13] and will be reported
in the near future together with a statistical performance analysis
of the proposed approach.
REFERENCES
A. Monzingo and T. W. Miller, Introduction to Adaptive Arrays.
New York: Wiley. 1980.
[ 11 R .
101 I
[2] A. J. Barabell, Improving the resolution performance of eigenstructure-based direction-finding algorithms, in Proc. 1983 IEEE Con5
Acoust., Speech, Signal Processing (Boston, MA), 1983, pp. 336339.
[3] K. M. Buckley and X. L. Xu, A comparison of element and beam
space spatial-spectrum estimation for multiple source clusters, in
Proc. 1990 IEEE Conf: Acoust., Speech, Signal Processing (Albuquerque, NM), 1990, pp. 2643-2646.
[4] S. Haykin, Communications Systems, 2nd ed. New York: Wiley,
1983.
[5] W. Magnus, Formulas and Theorems f o r the Special Functions of
Mathematical Physics. New York: Springer, 1966.
[6] A. V. Oppenheim and R. W. Schafer, Discrete-Time Signal Processing. Englewood Cliffs, NJ: Prentice-Hall, 1989.
[7] J. N. Maksym, Directional accuracy of small ring arrays, J .
Acousr. Soc. Amer., vol. 61, no. 1, pp. 105-109, Jan. 1977.
[8] M. P. Moody, Resolution of coherent sources incident on a circular
array, Proc. IEEE, vol. 68, no. 2, pp. 276-277, Feb. 1980.
[9] M. I. Yadrenko, Spectral Theory of Random Fields. New York:
Optimization Software, 1986.
[IO] J. H. McClellan and T. W. Parks, Eigenvalue and eigenvector decomposition of the discrete Fourier transform, IEEE Trans. Audio
Electroacoust., vol. AU-20, pp. 66-74, Mar. 1972.
[ l l ] R. Kumaresan and D. W. Tufts, Estimating the angles of arrival of
multiple plane waves, IEEE Trans. Aerosp. Electron. S y s t . , vol.
AES-19, no. 1, pp. 134-139, Jan. 1983.
[12] R. 0. Schmidt, Multiple emitter location and signal parameter estimation, IEEE Trans. Antennas Propag., vol. AP-34, pp. 276-280,
March 1986.
[ 131 J. Rissanen, Algorithms for triangular decomposition of block Hankel and Toeplitz matrices with applications to factoring positive matrix polynomials, Mat. Comput., vol. 27, no. 121, pp. 147-154,
1973.
where
H(u) = [u][(u
- 0 . 5 ) ( ~- 2.5)]-
(4)
(5)
The closed contour in (3) is the unit circle running counterclockwise since H ( z ) is analytic in an annular region enclosing the unit
circle. The poles of the integrand in (3) encircled by the unit circle
are located at
0.5,
Jitendra K. Tugnait
0.42,
and 0
if n
< -1
and at
Abstract-In the above-paper, an order selection procedure has been
proposed for parameter estimation for noncausal, nonminimum phase
ARMA models of non-Gaussian processes. We will show that it has
been derived under an erroneous assumption, and we also give a counterexample to show that it does not yield a consistent order estimate in
general. Two linear approaches for parameter estimation have also
been presented in the paper. We point out that an existing counterexample to an earlier version of one of the algorithms also applies to
both the approaches of the above paper.
ON
I. COMMENTS
COUNTEREXAMPLE
TO THE ORDER
SELECTION
METHOD
AND
We first
on the order selection method presented in
Section IV of the above paper, I Throughout the section the authors
exploit the claim that for a noncausal ARMA model with p + causal
poles and p - anticausal poles (p = p + + p - ), the maximum order
p2 of the polynomial A 2 ( z - l , n) is p 2 = p ( p + 1 ) / 2 , where A , ( z ,
n) is the denominator polynomial of H 2 ( z , n) : = ~3~ H ( z ) * H ( z ) ,
Manuscript received May 8, 1990; revised April 15, 1991.
The author is with the Department of Electrical Engineering, Auburn
University, Auburn, AL 36849.
IEEE Log Number 9106003.
G. B. Giannakis and A. Swami, IEEE Trans. Acoust., Speech, Signal
Processing, vol. 38, no. 3, pp. 478-495, Mar. 1990.
0.5
and 0.42
if n 2 -1.
-0 . 5 ~
Hz(z n, = 4(z - 0.25)(z - 1.25)
+ 0.8(z
-0.4Z
- 1.25)(z - 6.25)
+
-(O.~Z)Z[~(Z
- 0.25)
- (O.5)z2(z - 6.25)
+ ( 1 . 2 5 ~ - ) (-~ 6.25)l.