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JOURNAL OF LATEX CLASS FILES, VOL. 14, NO.

8, AUGUST 2015 1

Cognitive Target Tracking via Angle-Range-Doppler


Estimation With Transmit Subaperturing FDA Radar
Ronghua Gui, Wen-Qin Wang, Senior Member, IEEE, Ye Pan, and Jian Xu

Abstract—Cognitive radar is an intelligent active sensing usually stored in a longterm memory of the receiver, may be
technique, which can learn the interactions between radar and collected from geographic maps [4][6], frequency spectrum
its surrounding environment and adaptively adjust the trans- sensing systems [7], [8], clutter statistical characteristics[9],
mit waveforms or parameters for improved performance. In
this paper, we propose a cognitive target tracking scheme via and target reflective characteristics [10], etc. In contrast,
anglerange-Doppler estimation with transmit subaperturing fre- cognitive radar based on sequential Bayesian inference (SBI)
quency diverse array (TS-FDA) radar. FDA is an emerging array [11][14] can predict the next target state by learning the
technique that employs a small frequency increment across its inner experience and knowledge hidden in historical data or
array elements to produce a range-angle-dependent beampattern, observations, and then adaptively configures its next transmit
which provides promising applications for joint angle-range-
Doppler estimation of targets. In order to jointly enjoy the parameters to achieve improved performance under designated
advantages of FDA localization in angle-range dimension and cost functions. The SBI-based cognition may be viewed as a
phased-array in coherent gain, we divide the FDA elements into short-term memory since it is usually adopted by the receiver
multiple subarrays and propose two optimization criteria, re- on the fly [1]. To achieve high-level cognition, long-term
spectively, based on signal-to-noise ratio and CramerRao bound, memory and short-term memory should be integrated as an
to adaptively design the transmit weight matrix according to the
prior knowledge extracted from the cognitive observation data at organic component in cognitive radar system.
each transmission updating for improved tracking performance. One promising application of cognitive radar is adaptive
All proposed app roaches are verified by numerical results. target tracking [11][26]. Radar sensor and tracker are generally
Index Terms—Cognitive radar, target tracking, cognitive target regarded as completely separate entities in conventional radars.
tracking, frequency diverse array (FDA), transmit subaperturing, In contrast, cognitive radar stresses on jointly designing the
cognitive beamforming. radar sensor and tracker from a system perspective. In early
attempts, Kershaw et al. [15][17] primarily investigated adap-
tive waveform selection schemes by minimizing the tracking
I. I NTRODUCTION
errors in clutter. Additional waveform selection strategies
OGNITIVE radar distinguishes itself from traditional were proposed by Sira et al. [9], [18], [19], [23], especially
C radars in using a feedback link to connect the receiver
with the transmitter. It is considered as an intelligent active
awideband casewas considered [21]. In fact, the essence in a
cognitive target tracking is to adaptively select suitable and
sensing technique that learns the interactions between radar tractable optimization criterions or cost functions to update
and its surrounding environment and then adaptively adjusts the transmit waveforms or parameters for next transmission.
transmitwaveforms or parameters for improved performance The tracking mean square error (MSE) is a natural selection,
[1][3]. Current researches on cognitive radar can be divided but it can not be analytically determined in most cases. As an
into two kinds, namely, interior and exterior, depending on alternative, Cramer-Rao bound (CRB) is often adopted as an
whether the source of prior information leading to the cogni- optimization criterion. The posterior CRB (PCRB) or Bayesian
tion resides inside or outside the receiver [1]. The knowledge- CRB (BCRB) [27] are also widely used in target tracking
based (KB) radar [2], typically driven by exterior prior infor- literature, since it is a global lower bound independent with
mation, heuristically determines how and when the signal pro- specific parameters, unlike the classical CRB. Tichavsky et
cessing chain should be changed. Its exterior prior knowledge, al. [28] derived the sequential form of PCRB for discrete-
time nonlinear filtering, which was further modified in [12] for
Manuscript received July 13, 2017; revised November 7, 2017 and January adaptive target tracking. Furthermore, Zuo et al. [29] derived
10, 2018; accepted January 10, 2018. Date of publication January 15, 2018;
date of current version February 16, 2018. This work was supported in part more accurate conditional PCRB for nonlinear sequential
by the National Natural Science Foundation of China under Grant 61571081, Bayesian estimation. Recently, Bell et al. [3] developed a
in part by the Young top-notch talent of the national Ten Thousand Talent general cognitive framework for target detection and tracking
Program, and in part by the Sichuan Technology Research and Development
fund under Grant 2015GZ0211. The guest editor coordinating the review of based on the predicted conditionalCRB(PC-CRB). The PCRB-
this manuscript and approving it for publication was Prof. Sabrina Greco. based criterion was further used to achieve adaptive multiple-
(Corresponding author: Wen-Qin Wang.) input multiple-output (MIMO) radar transmit beamforming,
The authors are with the School of Communication and Information Engi-
neering, University of Electronic Science and Technology of China, Chengdu referred to as cognitive beamforming, for static target local-
611731, China (e-mail: ronghuagui@yeah.net; wqwang@uestc.edu.cn; pany@ ization [13] and moving target tracking [14].
uestc.edu.cn; jianxu@std.uestc.edu.cn). In practice, conventional transmit beamforming based on
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org. prior knowledge, especially for MIMO radar, has been widely
Digital Object Identifier 10.1109/JSTSP.2018.2793761 investigated [30][33]. The transmit beampattern for MIMO
JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2015 2

radar was respectively designed to maximize the power around pled pulses in slow time. This tracking concept is
the locations of the interesting targets [30], to approximate different from the conventional tracking methods that
a desired spatial transmit beampattern using signal cross- compress a single returned pulse and provides potentials
correlation matrix selection [31] and to minimize the Cramer- to improve the tracking accuracy via the slow-time
Rao bound for angle estimation [32], whose work was fur- coherent integration in range dimension.
ther extended in [33] for phased-MIMO transmit beamform- 2) In our target tracking model, the measurements are
ing. However, different from these knowledge-based transmit obtained via joint angle-range-Doppler estimation and
beamforming methods for static target probing where the target the measurement noises are dependent on the target
location or the desired beampattern is assumed to be exactly state.We extend the classical Kalman filter, in which the
known, the target state in tracking before the next transmission measurement noise is assumed to be independent with
is actually unknown [11] and has to be predicted from previ- the target state, to be more suitable for state-dependent
ously received observation data. Exactly the predicting step measurement noise by predicting the noise covariance
distinguishes the cognitive beamforming from conventional and judging the rationality of the filtered estimate.
knowledge-based beamforming. 3) Cognitive beamforming is further applied in the trans-
In this paper, we apply the general cognitive radar frame- mitter by adaptively designing the transmit weight ma-
work [3] to transmit subaperturing frequency diverse array trix according to the prior knowledge extracted from
(TS-FDA) radar for moving target tracking via joint angle- previous measurements under two criterions respectively
range-Doppler estimation. FDA was first introduced in [34], based on SNR and CRB and compare the tracking
which transmits thewaveforms with a small frequency incre- performance under the two criterions. The SNR criterion
ment across the array elements. Different from conventional obtains a closed-form solution to the weight matrix for
phased-arrays that provide only angle-dependent beampattern, a well focused transmit beampattern at the target direc-
FDA produces anglerange- time-dependent transmit beampat- tions, while the CRB criterion yields smaller tracking
tern[35][38]. Due to its angle-range dependent beampattern errors at a cost of higher computational complexity.
that was extensively investigated in the literature [39][41], The rest of this paper is organized as follows. In Section
FDA is widely suggested for joint angle-range localization of II, the angle-range-Doppler estimation model is derived for
static targets [37], [38], [42][44]. However, little work about the TSFDA radar. In Section III, we introduce the general
the use of FDA radar for moving target tracking has been cognitive radar framework [3], formulate the target dynamics
reported. Different from conventional target tracking methods and measurement model, and extend the Kalman filter to the
[9], [23], where the target range and Doppler frequency are case with state-dependent measurement noise. Next, Section
measured through pulse compression in the fast time, FDA IV presents both SNR and CRB optimization criterions to
radar can track the target via joint angle-range-Doppler esti- adaptively design the transmit weight matrix for each transmis-
mation [45] with slow-time sampled pulses in each coherent sion. Finally, simulation results and conclusions are provided
processing interval (CPI). It is well known that the ranging in Sections V and VI, respectively.
performance in conventional pulse compression is limited by
the pulse bandwidth. This limitation can be overcome in FDA II. SIGNAL MODEL OF TS-FDA RADAR
radar, since the target range can be jointly estimated with
Consider a uniform linear array with MT transmit elements
multiple sampled pulses in slow time and the ranging accuracy
and inter-element spacing dT, as shown in Fig. 1. We divide
can be further improved via coherent integration [46]. Since
the whole array into NT overlapping subarrays, each subarray
the basic FDA radar generates angle-range coupling beampat-
consists of NE = MT NT + 1elements [37], [50]. Note
tern [47] and the FDA radar using orthogonal waveforms [42]
that, different from [37] that uses a standard FDA in each
(i.e., FDA-MIMO) cannot focus the beam energy in space,
subarray, we employ a phased-array in each subarray for beam
we divide the whole FDA elements into multiple subarrays,
focusing. Moreover, to decouple the angle-range response of
where each subarray is configured as a phased-array and a
targets, orthogonal waveforms are used in different subarrays
small frequency increment is applied among the subarrays.
but with a frequency increment f. That is, the TS-FDA radar
That is, distinct carrier frequencies are transmitted in different
is also different from the phased-MIMO radar [50] due to the
subarrays. In doing so, we can jointly enjoys the advantages of
employment of f. Then the carrier frequency radiated by the
FDA localization in angle-range dimension and phased-array
n-th subarray is
in directional gain, similar to the phased-MIMO [48], [49] (but
phased-MIMO provides no range information of the observed fn = f0 + (n − 1) ∆f, n = 1, 2, . . . , NT − 1, (1)
targets). To further improve the tracking performance, the
where f0 is the reference carrier frequency.
FDA radar is equipped with cognitive beamforming, which is
The signal arrived at a hypothetical target located at the
achieved by adaptively designing the transmit weight matrix
azimuth angle and slant range r for the n-th subarray beam
under specific criterions according to the prior knowledge
can be formulated as
extracted from previous measurements.
sn (t; θ, r) = wnH apa (θ) αn (θ) φn (t − τr ) ψn (t − τr ) ,
 
In summary, our main contributions are listed as follows:
1) We propose the concept of target tracking via joint (2)
anglerange- Doppler estimation with TS-FDA radar, wherewn is theNE 1 complex weight vector of the nth transmit
where the target range is estimated with multiple sam- subarray, H denotes the conjugate transpose operator, and
JOURNAL OF LATEX CLASS FILES, VOL. 14, NO. 8, AUGUST 2015 3

III. COGNITIVE TS-FDA RADAR FOR MOVING


TARGET TRACKING
A PPENDIX A
P ROOF OF THE F IRST Z ONKLAR E QUATION
Appendix one text goes here.

A PPENDIX B
Appendix two text goes here.

ACKNOWLEDGMENT
The authors would like to thank...

R EFERENCES
[1] H. Kopka and P. W. Daly, A Guide to LATEX, 3rd ed. Harlow, England:
Addison-Wesley, 1999.

Michael Shell Biography text here.

PLACE
PHOTO
HERE

John Doe Biography text here.

Jane Doe Biography text here.

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