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陣列信號處理是現代聲納設備的核心功能之一。通過接收陣列的信號處理，可以獲取空間指向性增益，提高空間分辨和干擾抑制能力，實現對目標的檢測與跟蹤、方位與距離估計；通過發射陣列的信號處理，可以獲取具有一定時延差或相位差的陣元信號，從而形成指向性發射波束，提高聲源級；通過空-時自適應處理，可以提高對弱目標的檢測能力。近年來，聲納技術不斷發展，出現了多線列陣聲納、連續波聲納、MIMO聲納等新體制聲納以及自適應盲處理、時反處理、矢量信號處理、魯棒性波束形成、模基信號處理等新型處理算法，這些都是聲納陣列信號處理的發展與豐富。本書深入、系統地介紹了可應用於實際聲納設備的陣列信號處理技術，在簡單的原理接收基礎上又大量的計算機模擬仿真及湖、海試實際數據的處理結果。另外本書有較大篇幅的聲納陣列信號處理領域的新技術介紹。
作者簡介
杜選民
1970年9月出生，研究員/博士生導師，畢業于哈爾濱工程大學，獲水聲工程專業博士學位。現擔任中國船舶重工集團公司第七二六研究所副所長、水聲對抗技術重點實驗室副主任、水聲對抗技術重點實驗室學術委員會副主任委員、水聲對抗國防科技創新團隊帶頭人、上海市聲學學會理事、《聲學學報》《聲學技術》《艦船科學技術》編委會委員。
從事水聲及水聲對抗技術研究工作20餘年，主持研製了艦用魚雷報警聲納、艦水聲對抗系統、港口近程水下警戒探測系統等裝備，均填補國內空白，獲國防科技進步一等獎2項、二等獎2項、三等獎2項。在國內首次解決了拖線陣左右舷分辨、高速運動目標自適應檢測與識別、非線性聲納工程應用等關鍵技術。
入選國家新世紀百千萬人才工程、國防科技工業511人才工程、國防科技工業有突出貢獻中青年專家、上海市領軍人才。
1970年9月出生，研究員/博士生導師，畢業于哈爾濱工程大學，獲水聲工程專業博士學位。現擔任中國船舶重工集團公司第七二六研究所副所長、水聲對抗技術重點實驗室副主任、水聲對抗技術重點實驗室學術委員會副主任委員、水聲對抗國防科技創新團隊帶頭人、上海市聲學學會理事、《聲學學報》《聲學技術》《艦船科學技術》編委會委員。
從事水聲及水聲對抗技術研究工作20餘年，主持研製了艦用魚雷報警聲納、艦水聲對抗系統、港口近程水下警戒探測系統等裝備，均填補國內空白，獲國防科技進步一等獎2項、二等獎2項、三等獎2項。在國內首次解決了拖線陣左右舷分辨、高速運動目標自適應檢測與識別、非線性聲納工程應用等關鍵技術。
入選國家新世紀百千萬人才工程、國防科技工業511人才工程、國防科技工業有突出貢獻中青年專家、上海市領軍人才。
序
陣列信號處理是現代聲納設備的核心功能之一。通過對接收陣列的信號處理，可以獲
取空間指向性增益，提高聲納作用距離，實現對目標的檢測與跟蹤、方位與距離估計；通
過發射陣列的信號處理，可以獲取具有一定時延差或相位差的陣元信號，從而形成指向性
發射波束，提高聲源級；通過空—時自適應處理，可以提高對弱目標的檢測能力。近年來，
聲納技術不斷發展，出現了多線列陣聲納、連續波主動聲納、MIMO 聲納等新體制聲納及
自適應盲處理、時反處理、矢量信號處理、魯棒性波束形成、模基信號處理等新型處理算
法，這些都是聲納陣列信號處理的發展與豐富。
本書作者一直從事水聲及水聲對抗技術研究和裝備研製工作，在長期工作和學習中積
累了較豐富的理論知識和工程經驗，現將多年來在陣列信號處理方面的研究成果進行提煉
和總結，形成本書。本書分為基礎理論、陣列應用和新技術研究三個部分。基礎理論部分
（第1～3 章）介紹了海洋信道中的聲場模型、基陣理論基礎和陣列信號模型，是各種陣列
信號處理技術研究的理論基礎。陣列應用部分（第4～8 章）分別介紹了矢量水聽器及陣處
理、自適應波束形成與噪聲抵消、聲納被動定位、目標運動分析、空時自適應處理技術和方
法，是陣列信號處理的具體應用和實踐。第9 章新技術研究部分介紹了模基信號處理、MIMO
聲納處理、連續波主動聲納處理技術的原理和方法，是陣列信號處理的重要發展方向。
本書試圖將陣列信號處理的理論模型和工程應用結合起來，側重於實用。希望對從事
水聲及水聲對抗技術研究和裝備研製的科研人員有所幫助。本書可作為水聲工程、信號處
理等專業研究生教材，也可作為聲納設備設計人員開展相關研究工作的參考。
本書在撰寫過程中，得到了姚藍教授、惠俊英教授、王廣恩研究員等老一輩水聲行業專家的
指導，並提出十分關鍵的修改意見，在此向他們表示崇高的敬意和衷心的感謝。本書的研究
工作得到水聲對抗技術重點實驗室孟昭文主任的大力支持，劉本奇、蔣小勇、潘謝帆、譚君
紅等參與了有關章節的研究工作，在此一併表示感謝。
由於作者水平有限，書中難免有不妥之處，敬請讀者批評指正。
作者
2017 年4 月
取空間指向性增益，提高聲納作用距離，實現對目標的檢測與跟蹤、方位與距離估計；通
過發射陣列的信號處理，可以獲取具有一定時延差或相位差的陣元信號，從而形成指向性
發射波束，提高聲源級；通過空—時自適應處理，可以提高對弱目標的檢測能力。近年來，
聲納技術不斷發展，出現了多線列陣聲納、連續波主動聲納、MIMO 聲納等新體制聲納及
自適應盲處理、時反處理、矢量信號處理、魯棒性波束形成、模基信號處理等新型處理算
法，這些都是聲納陣列信號處理的發展與豐富。
本書作者一直從事水聲及水聲對抗技術研究和裝備研製工作，在長期工作和學習中積
累了較豐富的理論知識和工程經驗，現將多年來在陣列信號處理方面的研究成果進行提煉
和總結，形成本書。本書分為基礎理論、陣列應用和新技術研究三個部分。基礎理論部分
（第1～3 章）介紹了海洋信道中的聲場模型、基陣理論基礎和陣列信號模型，是各種陣列
信號處理技術研究的理論基礎。陣列應用部分（第4～8 章）分別介紹了矢量水聽器及陣處
理、自適應波束形成與噪聲抵消、聲納被動定位、目標運動分析、空時自適應處理技術和方
法，是陣列信號處理的具體應用和實踐。第9 章新技術研究部分介紹了模基信號處理、MIMO
聲納處理、連續波主動聲納處理技術的原理和方法，是陣列信號處理的重要發展方向。
本書試圖將陣列信號處理的理論模型和工程應用結合起來，側重於實用。希望對從事
水聲及水聲對抗技術研究和裝備研製的科研人員有所幫助。本書可作為水聲工程、信號處
理等專業研究生教材，也可作為聲納設備設計人員開展相關研究工作的參考。
本書在撰寫過程中，得到了姚藍教授、惠俊英教授、王廣恩研究員等老一輩水聲行業專家的
指導，並提出十分關鍵的修改意見，在此向他們表示崇高的敬意和衷心的感謝。本書的研究
工作得到水聲對抗技術重點實驗室孟昭文主任的大力支持，劉本奇、蔣小勇、潘謝帆、譚君
紅等參與了有關章節的研究工作，在此一併表示感謝。
由於作者水平有限，書中難免有不妥之處，敬請讀者批評指正。
作者
2017 年4 月
目次
第1 章 聲場概述············································································································1
1.1 引言···························································································································· 1
1.2 聲波的基本概念········································································································ 1
1.3 聲學基本物理量········································································································ 1
1.4 理想流體介質中小振幅波傳播的基本規律······························································ 2
1.4.1 理想流體介質······································································································· 2
1.4.2 連續性方程·········································································································· 3
1.4.3 狀態方程············································································································· 3
1.4.4 運動方程············································································································· 4
1.4.5 波動方程············································································································· 4
1.4.6 速度勢函數·········································································································· 4
1.4.7 亥姆霍茲方程······································································································· 5
1.4.8 三種不同坐標系下亥姆霍茲方程求解····································································· 5
1.4.9 線性濾波器理論框架下波動方程求解····································································· 9
1.4.10 介質特性阻抗··································································································· 11
1.5 分層介質中的波傳播······························································································· 11
1.5.1 平行平面層中波傳播的一般關係·········································································· 11
1.5.2 邊界條件··········································································································· 12
1.5.3 硬底均勻淺海聲場······························································································ 12
1.5.4 液態海底均勻淺海聲場······················································································· 14
1.6 聲場傳播基本模型··································································································· 15
1.7 聲學工具·················································································································· 16
1.8 本章小結·················································································································· 17
參考文獻······························································································································17
第2 章 基陣理論基礎···································································································18
2.1 引言·························································································································· 18
2.2 基陣的主要性能參數······························································································· 18
2.2.1 常見的基陣類型································································································· 18
2.2.2 主要性能參數····································································································· 18
2.3 均勻線列陣·············································································································· 21
2.3.1 基陣響應（指向性函數） ···················································································· 22
2.3.2 乘積定理··········································································································· 24
2.3.3 幅度加權··········································································································· 25
2.3.4 波束掃描··········································································································· 25
2.3.5 離散空間傅裡葉變換··························································································· 27
2.3.6 寬帶聲源·························
1.1 引言···························································································································· 1
1.2 聲波的基本概念········································································································ 1
1.3 聲學基本物理量········································································································ 1
1.4 理想流體介質中小振幅波傳播的基本規律······························································ 2
1.4.1 理想流體介質······································································································· 2
1.4.2 連續性方程·········································································································· 3
1.4.3 狀態方程············································································································· 3
1.4.4 運動方程············································································································· 4
1.4.5 波動方程············································································································· 4
1.4.6 速度勢函數·········································································································· 4
1.4.7 亥姆霍茲方程······································································································· 5
1.4.8 三種不同坐標系下亥姆霍茲方程求解····································································· 5
1.4.9 線性濾波器理論框架下波動方程求解····································································· 9
1.4.10 介質特性阻抗··································································································· 11
1.5 分層介質中的波傳播······························································································· 11
1.5.1 平行平面層中波傳播的一般關係·········································································· 11
1.5.2 邊界條件··········································································································· 12
1.5.3 硬底均勻淺海聲場······························································································ 12
1.5.4 液態海底均勻淺海聲場······················································································· 14
1.6 聲場傳播基本模型··································································································· 15
1.7 聲學工具·················································································································· 16
1.8 本章小結·················································································································· 17
參考文獻······························································································································17
第2 章 基陣理論基礎···································································································18
2.1 引言·························································································································· 18
2.2 基陣的主要性能參數······························································································· 18
2.2.1 常見的基陣類型································································································· 18
2.2.2 主要性能參數····································································································· 18
2.3 均勻線列陣·············································································································· 21
2.3.1 基陣響應（指向性函數） ···················································································· 22
2.3.2 乘積定理··········································································································· 24
2.3.3 幅度加權··········································································································· 25
2.3.4 波束掃描··········································································································· 25
2.3.5 離散空間傅裡葉變換··························································································· 27
2.3.6 寬帶聲源·························
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