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Spatial smoothing for localized correlated sources Its effect on different
localization methods in the nearfield
Wolfram Pannert
University of Applied Sciences Aalen, Department of Mechanical Engineering, Beethovenstr. 1, 73430 Aalen, Germany
a r t i c l e i n f o
Article history:Received 2 February 2011
Received in revised form 10 May 2011
Accepted 19 May 2011
Available online 15 June 2011
Keywords:
Spatial smoothing
Beamforming
Coherent signals
Covariance matrix
a b s t r a c t
The spatial smoothing (SS) technique has been proved to be effective in decorrelating coherent signals byrestoring the rank of the signal covariance matrix R. Averaging the covariance matrices of subarrays of
the original array, is a technique which increases the rank of the smoothed matrix RSS. Algorithms like
MUSIC or Capon, which rely on the use of the signal covariance matrix Rand fail in the case of correlated
sources, can be applied to scenarios with correlated sources after spatial smoothing.
However, SS is most practically applied to uniformly spaced arrays or to arrays which have a transla-
tional symmetry.
In addition the formulation is strictly applicable only to such farfield conditions, where the incoming
waves are plane waves and the steering vectors to the sources of the different subarrays are identical.
These conditions are not fulfilled in the nearfield.
Spatial smoothing is now applied with an acoustic camera in the nearfield and it is shown that up to
some limits this technique is applicable. Effects/limitations are studied using simulation and measure-
ments with several Beamforming algorithms (MUSIC, Capon and Orthogonal Beamforming) are carried
out.
The results demonstrate the benefits of SS even in the nearfield up to some limits, which are given
through the distance of the different subarrays in comparison to the spatial resolution of the Beamform-
ing algorithm. Especially at lower frequencies SS in connection with MUSIC- or Capon-Beamforming givebetter resolution in comparison to D + S Beamforming.
2011 Elsevier Ltd. All rights reserved.
1. Introduction
Array processing as a field is well developed for signal process-
ing in acoustics and radar applications. It combines the signals of
the sensors in the array into a single output. A summary of stan-
dard and advanced Beamforming methods in acoustics was written
by Van Trees [1]. Much research has been focused on high-resolu-
tion Beamformers. A high-resolution Beamformer was developed
in 1969 by Capon, known as Minimum Variance Distortionless
Response (MVDR) Beamformer [2]. One of the largest problemswith high resolution methods is performance degradations with
correlated sources. Historically, the problem of correlated sources
has been studied exclusively in the farfield. Only recently the prob-
lem of correlated sources has been analyzed in the nearfield [3,4].
The original use of spatial smoothing was introduced by Evans
et al. [5]. The modification to the Beamforming problem was done
by Shan and Kailath [6]. The performance of the method for direc-
tion of arrival estimation (DOA) was also studied by Shan et al. [7].
Spatial smoothing remained the most widely used method for
separating correlated sources. Reddy et al. in 1987 studied the
performance of MVDR and how spatial smoothing improved the
method. A representation of the output power of MVDR and the
specific effects of correlation were mathematically proven [8].
Spatial smoothing was also shown to be a toeplitzization of the
covariance matrix by Takao et al. [9]. The covariance matrix
becomes more diagonal as signals are decorrelated. The work
was extended to a more general form by Tsai in 1995 [10]. Bresler
et al. [8] provided a proof of the effectiveness of spatial smoothing
through signal subspace and parameter estimation. The proof
allowed iterative methods to be used for estimating signal param-eters [11].
Another high-resolution Beamformer is the MUSIC Beamformer
[12]. The MUSIC algorithm is an example of a subspace-algorithm,
which divides the vector space of the covariance matrix in a signal-
subspace and a noise-subspace. For the MUSIC-algorithm corre-
lated sources have the effect that part of the signal subspace is
indistinguishable from the noise subspace and results in a dshift
of signal eigenvectors into the noise subspace. As a result, the
observed noise subspace is no longer orthogonal to the steering
vectors and the MUSIC algorithm fails. Similar effects make
problems with the Capon algorithm, where an inversion of the
covariance matrix is necessary. In the case of correlated sources
0003-682X/$ - see front matter 2011 Elsevier Ltd. All rights reserved.doi:10.1016/j.apacoust.2011.05.011
E-mail address: [email protected]
Applied Acoustics 72 (2011) 873883
Contents lists available at ScienceDirect
Applied Acoustics
j o u r n a l h o m e p a g e : w w w . e l s e v i e r . c o m / l o c a t e / a p a c o u s t
http://dx.doi.org/10.1016/j.apacoust.2011.05.011mailto:[email protected]://dx.doi.org/10.1016/j.apacoust.2011.05.011http://www.sciencedirect.com/science/journal/0003682Xhttp://www.elsevier.com/locate/apacousthttp://www.elsevier.com/locate/apacousthttp://www.sciencedirect.com/science/journal/0003682Xhttp://dx.doi.org/10.1016/j.apacoust.2011.05.011mailto:[email protected]://dx.doi.org/10.1016/j.apacoust.2011.05.0117/30/2019 Beamfor Localization
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the covariance matrix is bad conditioned. (For details to the Delay
and Sum Beamforming, MUSIC-Beamforming and Capon-Beam-
forming see Appendix A.)
As a third example Orthogonal Beamforming uses directly the
eigenvalues of the covariance matrix and in the sense of a principalcomponent analysis, the P largest eigenvalues can approximately
be assigned to the P sources (see Sarradj [13]). The small eigen-
values correspond to noise. If now two sources are correlated one
of the associated eigenvalues is approximately zero and the algo-
rithm fails in separating the two sources. The Beamformers consid-
ered in this article do not reconstruct the complete soundfield like
holographic methods, but they estimate the direction and the
power of point sources.
1.1. Nearfield model
The term nearfield is used in this article not in the sense of
acoustical holography, where evanescent waves play an important
role in reconstructing the soundfield. The evanescent waves decay
exponentially within several wavelengths which is the present
consideration smaller than about 0.34 m (for fP 1000 Hz). The
simulation and measurements are carried out at a distance of
1 m or 2 m away from the sources, where the evanescent waves
have decayed, but the soundfield is assumed to be well decribed
by a spherical wave.
A nearfield representation of a narrow-band signal represent-ing a point source is a spherical wave. The free-space wave s(rq)
for a point source with the power r2 located at rq can be repre-
sented by Eq. (1.1). For a uniform linear array (ULA) the distance
from the source to the sensors is modeled by rn(h, rq) as shown
in Eq. (1.2). The range from the source to one of the n sensors, given
by rn, is determined by the distance from the source to the phase
center of the array rq, and the distance of the sensor from the phase
center of the array xn = n d where d is the distance between two
sensors. A single range bin, which is a circle from the phase center
of the array, can be selected by holding rq constant and varying h
(see Fig. 1.1).
snrq rejkrn
rn1:1
rn ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ffiffiffiffiffiffiffiffiffiffi
rq cosh2 rq sinh n d
2q
1:2
For farfield conditions (rq?1), the spherical wave becomes a
plane wave and the angle h for a single source is the same for every
sensor, whereas it varies in the nearfield.
The signal for a source located at (rq, h) which impinges on the
array with M microphones, can be represented by the vector s.
s s1rq; s2rq; . . . ; sMrqT
1:3
where si(rq) is the complex amplitude, at a given frequency, of signal
of the ith microphone.
1.2. Conventional Beamforming
The simplest form of Beamforming is the conventional Delay-and-Sum Beamforming (D + S) which uses the time delay between
the sensor signals for an assumed source position and sums the
channels up after correcting for the time delay. The time delays
are contained in a so call steering vector v. To achieve unity gain,
the steering vectors v for a steering location rs are scaled by the
number of sensors M.
v s1rs; s2rs; . . . ; sMrsT
1:4
The array-pattern is now given through the scalar-product between
the array-vector s and the steering-vector v.
Bh 1
Mv
H s 1:5
Fig. 1.1. Nearfield geometry: ~rq = vector from origin to source, ~rn = vector from
sensor to source, h = angle of source, DF = distance to focus-plane xn = n d position
of the microfones, d = distance of the sensors.
Fig. 1.2. Forming the smoothed covariance matrix RSS.
Fig. 2.1. Subarrays in the case of an ULA.
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where the superscript H means the hermitian-conjugate of a vector
or matrix.
The array pattern is the output of a Beamformer with fixed
steering position rs, while varying the source location rq. This de-
scribes how the output is affected by signals from different loca-
tions. A null in a direction means that the power is low for
signals coming from that direction. A peak in a direction means
the signals from that direction are passed with up to unity gain.
Delay-and-Sum Beamformers have 13 dB sidelobes, if equal
weight is given to the signals from all microphones.
Fig. 2.2. Two sources in the farfield with/without spatial smoothing: f= 2000 Hz
(frequency of the sources), theta1 = +10 (angle of the 1st source), theta2 = 10(angle of the 2nd source).
Fig. 2.3. One source in the nearfield with/without spatial smoothing: f= 4000 Hz
(frequency of the source), DF = 1.0 m (distance array-source), d = 0.05 (sensorspac-ing), L = M d (size of the ULA).
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1.3. Covariance matrix
High resolution Beamformers use the covariance matrix R
(R= s sH) of the sensor signals, since it contains all the data
needed for each source: power, direction and correlation. In order
to understand the effects of correlated signals, a covariance matrix
model for a two-source-situation is used. The two-signal model is
specified by Eqs. (1.6)(1.8), where v1 and v2 refer to the steeringvector to the 1st and 2nd source. P is the correlation matrix of
the two sources, r2i (i = 1, 2) is the power of the signals and r2n
the power of uncorrelated noise. The statistical correlation be-
tween two signals is p and increases the off-diagonal elements. p
has a range from 0 (no correlation) to 1 (perfect correlation).
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1-25
-20
-15
-10
-5
0
x[m]
dB
Delay+Sum - and Capon- Beamforming
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1-25
-20
-15
-10
-5
0Delay+Sum - and Music- Beamforming
x[m]
dB
Fig. 2.4. Two sources in the nearfield with/without spatial smoothing: f= 2500 Hz
(frequency of the sources), X1 = 0.3 m (position 1st source), X2 = 0.3 m (position2nd source), DF = 1.0 m (distance array-source), L = 0.8 m (length of the array).
Fig. 2.5. Two sources in the nearfield with/without spatial smoothing: f= 1000 Hz
(frequency of the sources), X1 = 0.3 m (position 1st source), X2 = 0.3 m (position
2nd source), DF = 1.0 m (distance array-source), L = 0.8 m (length of the array).
Fig. 3.1. Two-dim. subarrays in a 7 5 regular array; red (full line) = position of the
central array. (For interpretation of the references to colour in this figure legend, thereader is referred to the web version of this article.)
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The eigenvectors of covariance matrix R can now be
investigated.
The eigenvectors which belong to the large eigenvalues of R
(signal subspace) span the same subspace as the steering vectors
pointing to the targets and the magnitude of the eigenvalues corre-
spond approximately to the power of the signals.
A v1 v2 1:6
P r21 r1r2p
r1r2p r22
" #1:7
R APAH r2nI 1:8
The correlation p from Eq. (1.7) causes many problems for Beam-
formers based on covariance matrix inversion. In the uncorrelated
case, the number of sources is the same as the number of dominant
eigenvalues of the covariance matrix. Johnson and Dudgeon [14, p.
386] show that two perfectly correlated signals with |p| = 1 and the
same power r2, result in a Rof the form shown in Eq. (1.9). The re-
sult are M 1 eigenvectors with eigenvalues ofr2n due to noise and
a single eigenvector with an eigenvalue ofMr
2 + r2n
due to signal
plus noise.
R r2nI r2v1 v2v1 v2
H 1:9
The two-dimensional signal subspace of two uncorrelated signals
has collapsed to an one-dimensional space, where the two corre-
lated signals are mixed into an indistinguishable signal.
Fig. 3.2. Capon-Beamforming: f= 25892690 Hz (frequency range), DF = 2 m (distance array-source), distance between speakers = 0.4 m.
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The solution for this problem in the far-field case is spatial
smoothing unless a better method is found. For an ULA it averages
along the diagonal of the covariance matrix as shown in Fig. 1.2.
For a two-dimensional regular array it is a little more complicated.
The averaging process assumes a plane-wave because only now a
source signal will have the same direction of arrival for any section
of the array. However this fact is not true in the nearfield.
Looking to the mechanism how spatial smoothing works, theaveraging process reduces the correlation by combining spatially
separated parts of the array (subarrays). The correlation of the
sources has different effects on different subarrays. This can be
seen in the terms proportional to p in the expression for the nth
and mth sensor in Rn,m in Eq. (1.10) which describes the two-signal
model used in Eq. (1.9). Note that rn(hj) represents the distance
from the nth sensor to the source located at an angle hj, rm(hj)
the same for the mth sensor. Under farfield conditions the first
two terms depend only on the difference (n m) in an ULA and
so the corresponding elements in the covariance matrices Ri of
the subarrays are the same. The terms proportional to p vary and
are reduced by averaging.
Rn;m r21e
jkrnh1rmh1 r22ejkrnh2rmh2 p
r1r2ejkrnh2rmh1 pr1r2e
jkrnh1rmh2 1:10
In the nearfield the first two terms will also vary from subarray to
subarray. This results in a widening of sources the amount of
spread depends on the spatial shift of subarrays against each other.
The sources are still decorrelated since the p terms still vary more in
the nearfield.
A further effect of spatial smoothing is a loss of spatial resolu-
tion through reduction of aperture size due to the forming of smal-
ler subarrays out of the original array.
2. One-dimensional spatial smoothing
In this part of the work the effect of spatial smoothing for an
ULA under farfield conditions and nearfield conditions is studiedwith simulations. The set-up was an array with M equidistant
sensors and d = 0.05 m spacing. Three subarrays were built and
averaged (Fig. 2.1). The 2nd array is the central array which is used
for focusing and the 1st and the 3rd array is shifted for 0.05 m
compared to the central array. The simulated data had a SNR of
40 dB.
Fig. 2.2 presents the effect of spatial smoothing on MUSIC-,
Capon-, and D + S Beamforming with an ULA (L = 0.8 m) and two
correlated sources with same amplitude and position at 10
inthe farfield. The spatial smoothing has decorrelated the two
sources which has also an effect on the D + S Beamforming. The
number of dominant eigenvalues of the correlation matrix R has
changed from one to two. Without spatial smoothing there is only
one virtual source in the middle between the real sources.
The next series in Fig. 2.3 show the result for Capon and D + S-
Beamforming for one source under nearfield conditions at differ-
ent values of the array length L. As the spatial resolution DX
becomes better (smaller DX) with increasing size of the array
one can notice the effect, that the three subarrays see the
source under different angles. So the averaged covariance matrix
RSS contain three sources. From the result it is clear, that there is
only a nearfield-effect if the spatial-resolution DX is smaller than
the shift of the subarrays in comparison to the central array,
which is used for focusing. Similar results are known for
Synthetic Apertur Radar (SAR), where range migration effects
need not to be compensated, when they are less than the size
of the range-resolution.
In Fig. 2.4a similar scenario is studied now with two sources in
the nearfield. The results in the nearfield show that spatial smooth-
ing has not the potential as in the farfield situation nevertheless,
the dynamic is improved for both algorithms MUSIC and Capon-
Beamforming as compared to the situation without SS. D + S Beam-
forming is nearly not influenced by SS.
Further simulations are carried out for different frequencies,
source separations and correlation coefficients. The results show
that especially in situation, where the resolution of D + S
Beamforming, Capon- and MUSIC-Beamforming without SS is
insufficient to separate the sources, the application of SS improvesthe effectiveness of Capon- and MUSIC-Beamforming.
Fig. 3.3. Capon-Beamforming with two uncorrelated sources; same parameters as in Fig. 3.2.
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OneexampleisgiveninFig.2.5. Capon- andMUSIC-Beamforming
with SS are able to separate two sources where D + S Beamforming
and Capon- and MUSIC-Beamforming without SS clearly fails.
2.1. Summary
Especially at low frequencies where the spatial-resolution is
poor, Capon and MUSIC Beamforming show their potential of sep-arating two sources after application of SS. The resolution is even
better as with the D + S Beamforming.
So one can draw the conclusion that mainly at low frequencies,
one can apply spatial smoothing without having the effect that a
source is split up into several parts.
3. Two-dimensional formulation and experimental setup
In the two-dimensional case the array must have a translational
symmetry like for example the regular 7 5 array shown in
Fig. 3.1. The sensors are clustered into overlapping 6 4 subarrays.
One possibility with four subarrays is shown in Fig. 3.1. Processing
a scenario with the smoothed covariance matrix, RSS is calculated
with a central 6 4 array (red in Fig. 3.1), which only existsvirtually.
For the experiments a commercial system was used (CAE
Noise Inspector) with a 8 6 regular array with 0.1 m distance
between the sensors. The system has the benefit, that it offers
an interface for user-defined algorithms in Matlab-Code. From
Fig. 3.4. Music-Beamforming: f= 25892690 Hz (frequency range), DF = 2 m (distance array-source), distance between speakers = 0.4 m.
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the simulation results in the last section one can deduce, that the
shift of the different subarrays compared to the central array
(which is virtual and only used for focusing) should not be great-
er than the spatial resolution of the high-resolution-algorithm.
This is a limitation for the number of subarrays and therefore
like in Fig. 3.1 four subarrays are used. So the shift of a source
seen from a subarray compared to the central array is 0.05 m
and one should expect only a splitting of sources, if the spatial-resolution is better than 0.05 m.
3.1. Experimental results
The following series in Figs. 3.23.6 show the results for two
loudspeaker signals and different Beamforming algorithms. In Figs.
3.2 and 3.4 the signals are perfectly correlated (white noise mono-
signal), whereas in Figs. 3.3 and 3.5 uncorrelated signals are used
for comparison. The potential of spatial smoothing is tested with
three different Beamforming algorithms high resolution Capon-
Beamforming, high resolution Music-Beamforming and Orthogonal
Beamforming which can display different uncorrelated sources
separately.
The results are displayed with 6 dB dynamic. The bandwidth ofapproximately 100 Hz contains the summed results of a narrow-
band FFT-processing.
In Fig. 3.2 the result for Capon Beamforming is presented and
the effect of spatial smoothing is compared.
In Fig. 3.3 for comparison there is the result for Capon-Beam-
forming applied to a similar scenario with two completely uncor-
related sources. From the result it is clear, that spatial smoothing
in the nearfield does not work perfectly, but the potential of resolv-
ing correlated sources is given.
Next there is the MUSIC-algorithm applied to the same
scenario.
In Fig. 3.5 for comparison there is the result for MUSIC-Beam-
forming applied to a similar scenario with two completely uncor-
related sources as in Fig. 3.3.Fig. 3.6 shows the result for Orthogonal Beamforming. Orthog-
onal Beamforming is able to separate uncorrelated sources approx-
imately. Without spatial smoothing the scenario is resolved in two
peaks but they belong to one eigenvalue of the cross spectral ma-
trix. The following pictures show the result after application of spa-
tial smoothing. The signal of the two speakers has been
decorrelated and Orthogonal Beamforming can separate the sce-
nario in source 1 and source 2. The number of dominant eigen-
values in the cross spectral matrix has changed from one to two.
In Fig. 3.7 for comparison there is the result for OrthogonalBeamforming applied to a similar scenario with two completely
uncorrelated sources as in Fig. 3.6.
4. Conclusion
The spatial smoothing technique allows the use of Beamforming
algorithm which usually are applicable only for scenarios with dec-
orrelated sources. In the present investigation three Beamforming
algorithms are compared Capon, MUSIC, and Orthogonal Beam-
forming. Whereas spatial smoothing in the farfield with plane
waves is known to work properly, problems come up in the near-
field, because sources appear under different look-angles which
correspond to the different subarrays. With the simulation andmeasurements its shown that under certain conditions this tech-
nique is also applicable in the nearfield. The conditions are the
distance of the centre of the subarrays from the centre of the cen-
tral array (which is used for focusing) should be less than the
spatial resolution of the Beamforming algorithm. Otherwise single
point sources are split up. The experimental results show that the
potential of the different algorithms is worse compared to the ideal
case of not correlated sources, but there is great improvement in
resolution compared to the processing without the spatial smooth-
ing technique. Especially at low frequencies, Capon and Music
Beamforming provide better resolution than standard D + S Beam-
forming. Whereas SS has less influence on D + S Beamforming, the
is a great benefit of SS for the high resolution algorithms Capon-
and MUSIC-Beamforming. In the case of Orthogonal BeamformingSS also shows its potential to decorrelate two previously correlated
sources.
Fig. 3.5. Music-Beamforming with two uncorrelated sources; same parameters as in Fig. 3.4.
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Fig. 3.6. Orthogonal Beamforming: Df= 1/12 octave at 3140 Hz (frequency range), DF = 2 m (distance array-source), distance between speakers = 0.4 m.
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Appendix A. Appendix
Expressions for the Beampattern with different Beamforming
algorithms.
~Vhi is the steering vector to a location hi.
R is the M M cross spectral matrix of the M microphone
signals.
The superscript H means the hermitian conjugation (trans-
pose and complex conjugation).
A.1. Delay and sum Beamforming
BDShi ~VHhi R ~Vhi
A.2. Capon Beamforming
Capon Beamforming tries to minimize the influence of sources
of interference. Ideally it results in a very sharp Beampattern (seeRef. [2]).
A variational approach leads to:
BCaponhi 1
~VHhi R1 ~Vhi
The cross-spectral matrix R is bad conditioned in the case of
correlated sources and a regularization is necessary (diagonalloading).
A.3. MUSIC-Beamforming
The MUSIC (Multiple Signal Classification) algorithm belongs to
the class of subspace algorithms (see Ref. [12]).
The term subspace refers to the space of eigenvectors of the
cross-spectral matrix R.
In the presence of Psources R has P large eigenvalues and M-P
small eigenvalues which belong to the noise in the system.
The related eigenvectors ~USk and~UNk build the signal-subspace
and the noise-subspace.
The separation between the two spaces occurs through compar-ison with a threshold.
Fig. 3.7. Orthogonal Beamforming with two uncorrelated sources; same parameters as in Fig. 3.6.
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Further on one can show that the steering vectors~Vhi pointing
to the P sources in the scenario, are orthogonal to the noise eigen-
vectors ~UNk with k = P+ 1. . .M.
~VHhi ~UNk 0 for i 1 . . .P and k P 1 . . .M
With this feature one can form a pseudo-Beampattern which has
very distinct maxima in the direction of the P sources (hm = hi)
BMUSIChm 1j~VHhm ~U
Nk
j2
The height of the maxima has no relation to the signal power of the
corresponding source.
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