Sparse Automotive MIMO Radar for Super-Resolution Single Snapshot DOA Estimation With Mutual Coupling

A novel sparse automotive multiple-input multiple-output (MIMO) radar configuration is proposed for low-complexity super-resolution single snapshot direction-of-arrival (DOA) estimation. The physical antenna effects are incorporated in the signal model via open-circuited embedded-element patterns (EEPs) and coupling matrices. The transmit (TX) and receive (RX) array are each divided into two uniform sparse sub-arrays with different inter-element spacings to generate two MIMO sets. Since the corresponding virtual arrays (VAs) of both MIMO sets are uniform, the well-known spatial smoothing (SS) algorithm is applied to suppress the temporal correlation among sources. Afterwards, the co-prime array principle between two spatially smoothed VAs is deployed to avoid DOA ambiguities. A performance comparison between the sparse and conventional MIMO radars with the same number of TX and RX channels confirms a spatial resolution enhancement. Meanwhile, the DOA estimation error due to the mutual coupling (MC) is less pronounced in the proposed sparse architecture since antennas in both TX and RX arrays are spaced larger than half wavelength apart

Matrix and Tensor-based ESPRIT Algorithm for Joint Angle and Delay Estimation in 2D Active Broadband Massive MIMO Systems and Analysis of Direction of Arrival Estimation Algorithms for Basal Ice Sheet Tomography

In this thesis, we apply and analyze three direction of arrival algorithms (DoA) to tackle two distinct problems: one belongs to wireless communication, the other to radar signal processing. Though the essence of these two problems is DoA estimation, their formulation, underlying assumptions, application scenario, etc. are totally different. Hence, we write them separately, with ESPRIT algorithm the focus of Part I and MUSIC and MLE detailed in Part II. For wireless communication scenario, mobile data traffic is expected to have an exponential growth in the future. In order to meet the challenge as well as the form factor limitation on the base station, 2D "massive MIMO" has been proposed as one of the enabling technologies to significantly increase the spectral efficiency of a wireless system. In "massive MIMO" systems, a base station will rely on the uplink sounding signals from mobile stations to figure out the spatial information to perform MIMO beamforming. Accordingly, multi-dimensional parameter estimation of a ray-based multi-path wireless channel becomes crucial for such systems to realize the predicted capacity gains. In the first Part, we study joint angle and delay estimation for 2D "massive MIMO" systems in mobile wireless communications. To be specific, we first introduce a low complexity time delay and 2D DoA estimation algorithm based on unitary transformation. Some closed-form results and capacity analysis are involved. Furthermore, the matrix and tensor-based 3D ESPRIT-like algorithms are applied to jointly estimate angles and delay. Significant improvements of the performance can be observed in our communication scheme. Finally, we found that azimuth estimation is more vulnerable compared to elevation estimation. Results suggest that the dimension of the antenna array at the base station plays an important role in determining the estimation performance. These insights will be useful for designing practical "massive MIMO" systems in future mobile wireless communications. For the problem of radar remote sensing of ice sheet topography, one of the key requirements for deriving more realistic ice sheet models is to obtain a good set of basal measurements that enables accurate estimation of bed roughness and conditions. For this purpose, 3D tomography of the ice bed has been successfully implemented with the help of DoA algorithms such as MUSIC and MLE techniques. These methods have enabled fine resolution in the cross-track dimension using synthetic aperture radar (SAR) images obtained from single pass multichannel data. In Part II, we analyze and compare the results obtained from the spectral MUSIC algorithm and an alternating projection (AP) based MLE technique. While the MUSIC algorithm is more attractive computationally compared to MLE, the performance of the latter is known to be superior in most situations. The SAR focused datasets provide a good case study to explore the performance of these two techniques to the application of ice sheet bed elevation estimation. For the antenna array geometry and sample support used in our tomographic application, MUSIC performs better originally using a cross-over analysis where the estimated topography from crossing flightlines are compared for consistency. However, after several improvements applied to MLE, i.e., replacing ideal steering vector generation with measured steering vectors, automatic determination of the number of scatter sources, smoothing the 3D tomography in order to get a more accurate height estimation and introducing a quality metric for the estimated signals, etc., MLE outperforms MUSIC. It confirms that MLE is indeed the optimal estimator for our particular ice bed tomographic application. We observe that, the spatial bottom smoothing, aiming to remove the artifacts made by MLE algorithm, is the most essential step in the post-processing procedure. The 3D tomography we obtained lays a good foundation for further analysis and modeling of ice sheets

Sparse Array Architectures for Wireless Communication and Radar Applications

This thesis focuses on sparse array architectures for the next generation of wireless communication, known as fifth-generation (5G), and automotive radar direction-of-arrival (DOA) estimation. For both applications, array spatial resolution plays a critical role to better distinguish multiple users/sources. Two novel base station antenna (BSA) configurations and a new sparse MIMO radar, which both outperform their conventional counterparts, are proposed.\ua0We first develop a multi-user (MU) multiple-input multiple-output (MIMO) simulation platform which incorporates both antenna and channel effects based on standard network theory. The combined transmitter-channel-receiver is modeled by cascading Z-matrices to interrelate the port voltages/currents to one another in the linear network model. The herein formulated channel matrix includes physical antenna and channel effects and thus enables us to compute the actual port powers. This is in contrast with the assumptions of isotropic radiators without mutual coupling effects which are commonly being used in the Wireless Community.\ua0Since it is observed in our model that the sum-rate of a MU-MIMO system can be adversely affected by antenna gain pattern variations, a novel BSA configuration is proposed by combining field-of-view (FOV) sectorization, array panelization and array sparsification. A multi-panel BSA, equipped with sparse arrays in each panel, is presented with the aim of reducing the implementation complexities and maintaining or even improving the sum-rate.\ua0We also propose a capacity-driven array synthesis in the presence of mutual coupling for a MU-MIMO system. We show that the appearance of\ua0grating lobes is degrading the system capacity and cannot be disregarded in a MU communication, where space division\ua0multiple access (SDMA) is applied. With the aid of sparsity and aperiodicity, the adverse effects of grating lobes and mutual coupling\ua0are suppressed and capacity is enhanced. This is performed by proposing a two-phase optimization. In Phase I, the problem\ua0is relaxed to a convex optimization by ignoring the mutual coupling and weakening the constraints. The solution of Phase I\ua0is used as the initial guess for the genetic algorithm (GA) in phase II, where the mutual coupling is taken into account. The\ua0proposed hybrid algorithm outperforms the conventional GA with random initialization.\ua0A novel sparse MIMO radar is presented for high-resolution single snapshot DOA estimation. Both transmit and receive arrays are divided into two uniform arrays with increased inter-element spacings to generate two uniform sparse virtual arrays. Since virtual arrays are uniform, conventional spatial smoothing can be applied for temporal correlation suppression among sources. Afterwards, the spatially smoothed virtual arrays satisfy the co-primality concept to avoid DOA ambiguities. Physical antenna effects are incorporated in the received signal model and their effects on the DOA estimation performance are investigated

Neural Networks for improved signal source enumeration and localization with unsteered antenna arrays

Direction of Arrival estimation using unsteered antenna arrays, unlike mechanically scanned or phased arrays, requires complex algorithms which perform poorly with small aperture arrays or without a large number of observations, or snapshots. In general, these algorithms compute a sample covriance matrix to obtain the direction of arrival and some require a prior estimate of the number of signal sources. Herein, artificial neural network architectures are proposed which demonstrate improved estimation of the number of signal sources, the true signal covariance matrix, and the direction of arrival. The proposed number of source estimation network demonstrates robust performance in the case of coherent signals where conventional methods fail. For covariance matrix estimation, four different network architectures are assessed and the best performing architecture achieves a 20 times improvement in performance over the sample covariance matrix. Additionally, this network can achieve comparable performance to the sample covariance matrix with 1/8-th the amount of snapshots. For direction of arrival estimation, preliminary results are provided comparing six architectures which all demonstrate high levels of accuracy and demonstrate the benefits of progressively training artificial neural networks by training on a sequence of sub- problems and extending to the network to encapsulate the entire process

Discrete and Continuous Sparse Recovery Methods and Their Applications

Low dimensional signal processing has drawn an increasingly broad amount of attention in the past decade, because prior information about a low-dimensional space can be exploited to aid in the recovery of the signal of interest. Among all the different forms of low di- mensionality, in this dissertation we focus on the synthesis and analysis models of sparse recovery. This dissertation comprises two major topics. For the first topic, we discuss the synthesis model of sparse recovery and consider the dictionary mismatches in the model. We further introduce a continuous sparse recovery to eliminate the existing off-grid mismatches for DOA estimation. In the second topic, we focus on the analysis model, with an emphasis on efficient algorithms and performance analysis. In considering the sparse recovery method with structured dictionary mismatches for the synthesis model, we exploit the joint sparsity between the mismatch parameters and original sparse signal. We demonstrate that by exploiting this information, we can obtain a robust reconstruction under mild conditions on the sensing matrix. This model is very useful for radar and passive array applications. We propose several efficient algorithms to solve the joint sparse recovery problem. Using numerical examples, we demonstrate that our proposed algorithms outperform several methods in the literature. We further extend the mismatch model to a continuous sparse model, using the mathematical theory of super resolution. Statistical analysis shows the robustness of the proposed algorithm. A number-detection algorithm is also proposed for the co-prime arrays. By using numerical examples, we show that continuous sparse recovery further improves the DOA estimation accuracy, over both the joint sparse method and also MUSIC with spatial smoothing. In the second topic, we visit the corresponding analysis model of sparse recovery. Instead of assuming a sparse decomposition of the original signal, the analysis model focuses on the existence of a linear transformation which can make the original signal sparse. In this work we use a monotone version of the fast iterative shrinkage- thresholding algorithm (MFISTA) to yield efficient algorithms to solve the sparse recovery. We examine two widely used relaxation techniques, namely smoothing and decomposition, to relax the optimization. We show that although these two techniques are equivalent in their objective functions, the smoothing technique converges faster than the decomposition technique. We also compute the performance guarantee for the analysis model when a LASSO type of reconstruction is performed. By using numerical examples, we are able to show that the proposed algorithm is more efficient than other state of the art algorithms

Nested Arrays: A Novel Approach to Array Processing With Enhanced Degrees of Freedom

A new array geometry, which is capable of significantly increasing the degrees of freedom of linear arrays, is proposed. This structure is obtained by systematically nesting two or more uniform linear arrays and can provide O(N^2) degrees of freedom using only physical sensors when the second-order statistics of the received data is used. The concept of nesting is shown to be easily extensible to multiple stages and the structure of the optimally nested array is found analytically. It is possible to provide closed form expressions for the sensor locations and the exact degrees of freedom obtainable from the proposed array as a function of the total number of sensors. This cannot be done for existing classes of arrays like minimum redundancy arrays which have been used earlier for detecting more sources than the number of physical sensors. In minimum-input–minimum-output (MIMO) radar, the degrees of freedom are increased by constructing a longer virtual array through active sensing. The method proposed here, however, does not require active sensing and is capable of providing increased degrees of freedom in a completely passive setting. To utilize the degrees of freedom of the nested co-array, a novel spatial smoothing based approach to DOA estimation is also proposed, which does not require the inherent assumptions of the traditional techniques based on fourth-order cumulants or quasi stationary signals. As another potential application of the nested array, a new approach to beamforming based on a nonlinear preprocessing is also introduced, which can effectively utilize the degrees of freedom offered by the nested arrays. The usefulness of all the proposed methods is verified through extensive computer simulations