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fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LCOMM.2019.2911285, IEEE
Communications Letters
IEEE COMMUNICATIONS LETTERS 1

Computationally efficient DOA estimation algorithm


for MIMO radar with imperfect waveforms
Fangqing Wen, Member, IEEE

Abstract—Orthogonal waveforms are often desirable to may be imprecisely known or even unavailable in practice.
multiple-input multiple-output (MIMO) radar systems. Unfortu- For instance, the matching processing is usually carried out
nately, the orthogonality may not be always guaranteed in prac- via fast Fourier transform, which requires the received signal
tice. In this Letter, we consider the direction-of-arrival (DOA)
estimation problem in colocated MIMO radar with imperfect be sampled and matched with digital sequences. Usually, there
waveforms, and a new methodology is presented. The noiseless exists fitting error between analogy waveform and its digital
cross-covariance matrix is obtained by utilizing the spatial cross- form. Matching the received signal with such sequences will
correlation technique. DOAs are obtained via reduced-dimension incur such case. In order to avoid the drawback in [14], a
multiple signal classification (RD-MUSIC). In contrast to the matrix completion (MC) algorithm was presented in [15]. The
state-of-the-art matrix completion (MC) algorithm, the proposed
RD-MUSIC method is computationally more efficient. Also, it noisy-free covariance matrix is estimated via MC and the
may has estimation performance more accuracy than the existing DOAs are obtained by exploiting the ESPRIT-like strategy.
MC approach. Numerical results show the improvement of the Although the MC algorithm does not require the prior infor-
proposed scheme. mation of the transmitted waveforms, the de-noising process
Index Terms—direction-of-arrival estimation, multiple-input is computationally costly. In [16], an improved ESPRIT-
multiple-output radar, non-orthogonal waveforms. like method was presented, in which the tensor structure
of the array measurement is explored. However, the tensor
decomposition is also inefficient and the ESPRIT idea will
I. I NTRODUCTION
loss the effective array aperture, thus the estimation accuracy
IRECTION-of-arrival (DOA) estimation is one of
D the most important tasks in colocated multiple-input
multiple-output (MIMO) radar that has drawn massive at-
may decreased.
In this Letter, a two-step methodology is proposed for DOA
estimation in colocated MIMO radar with non-orthogonal
tention. Many efforts have been devoted and various excel- waveforms. In the first step, a spatial cross-correlation frame-
lent estimators have been put forward, e.g., subspace-based work is presented for de-noising. In the second step, a reduced-
algorithms (such as multiple signal classification (MUSIC) dimension MUSIC (RD-MUSIC) algorithm is proposed for
[1], estimation of signal parameters via rotational invariance DOA estimation. The proposed method is much more efficient
techniques (ESPRIT) [2]), sparsity-aware estimators [3] and than the MC algorithm, and it provides more accurate DOA
tensor-based estimators [4], [5], [6]. Besides, some interests estimation performance with large number of antenna con-
have been paid on array geometry for improved DOA esti- figuration. Besides, the stochastic Cramér-Rao bound (CRB)
mation performance [7], [8], and more and more attentions on DOA estimation with correlated waveforms is derived.
have been focused on massive MIMO configuration [9], [10]. Finally, the effectiveness of the proposed method is verified
It should be noted that the superior performances of these via numerical simulations.
algorithms can be achieved with the orthogonal waveforms
The following notations will be used in this Letter. Vectors
assumption. In practical applications, however, the orthogonal-
and matrices are denoted with lower case and capital letters
ity assumption may not be always guaranteed [11], [12], [13].
in bold, respectively. The identity matrix is denoted by I.
Nonorthogonal waveforms will result in corrupted direction
The superscript (·)T , (·)H , (·)∗ , (·)−1 and (·)† represent
matrix as well as spatially colored noise [14], thus the existing
transpose, Hermitian transpose, conjugate, inverse and pseudo-
DOA estimation algorithms may fail to work. To the best of
inverse, respectively; ⊗ stands for the Kronecker product.
our knowledge, only a few literatures focus on this problem in
diag {·} denotes the diagonalization operation. E {·} returns
MIMO radar. In [14], a pre-processing approach was proposed,
the expectation of a variable.
in which the waveform correlation matrix is utilized to pre-
whiting the array measurement. Unfortunately, this assumption
may be occasionally violated and yields decreased DOA
estimation performance, as the waveform correlation matrix II. SIGNAL MODEL

This work is supported by the National Natural science foundation of China


(61701046 and 61871218) We consider a monostatic MIMO radar with an M -element
The author is with School of Electronic and Information, Yangtze Universi- transmit array and an N -element receive array, as illustrated
ty, Jingzhou, 434023 China. Also, he is with State Key Laboratory of Marine in Fig. 1. Suppose that there are K far-field uncorrelated tar-
Resource Utilization in South China Sea, Hainan University, Haikou, 570228,
China gets, the DOAs are θ1 , θ2 , · · · , θK , respectively. The transmit
M
Manuscript received ; revised elements emit M narrowband pulse waveforms {sm (t)}m=1 ,

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LCOMM.2019.2911285, IEEE
Communications Letters
IEEE COMMUNICATIONS LETTERS 2

( T ) T
C at (θk ) ⊗ar (θk ). b (τ ) = [β1 (τ{) , β2 (τ ) , · · · }, βK (τ )] .
The covariance matrix of y (τ ) = E y (τ ) yH (τ ) is

q
target Ry = ARb AH + Rn (5)
{ } { }
 where Rb = E b (τ ) bH (τ ) , Rn = E n (τ ) nH (τ ) =
1 2 3 M transmitter C∗ ⊗ σ 2 I.
receiver In this Letter, we only consider the scenario with uncorre-
lated targets, i.e., Rb is a diagonal matrix. Herein, our target
q is to recovery the DOAs from y (τ ), with the prior knowledge
 of the target number K. It can be seen from (5) that at (θk )
is corrupted by C and the noise is spatially correlated. As a
1 2 3 N
result, the traditional subspace methods would fail to work.
The author in [15] tried to recovery the noise-free covariance
Fig. 1. Illustration of colocated MIMO radar matrix through MC technique, However, it is computationally
costly. In what follows, the spatial cross-correlation method is
adopted for noise suppression and an improved RD-MUSIC
where t denotes the fast time index (time index during a radar
is derived for DOA estimation.
pulse). The received array signal is given by [15]

K
III. T HE PROPOSED ALGORITHM
x (t, τ ) = βk (τ ) ar (θk ) aTt (θk ) s (t) + w (t, τ ) (1)
A. Spatially Colored Noise Elimination
k=1
There are some efficient de-noising schemes for MIMO
where τ denotes the slow time index (pulse index), βk (τ )
radar [16], e.g., spatial cross-correlation, temporal cross-
denotes the reflection coefficient associate with the k-th target,
correlation and covariance differencing. Nevertheless, the tem-
at (θk ) ∈ CM ×1 and ar (θk ) ∈ CN ×1 are the transmit steering
poral cross-correlation strategy and the covariance differencing
vector and the receive steering vector corresponding to the
T approach may not proper operate, since they impose more
k-th target, respectively, s (t) = [s1 (t) , s2 (t) , · · · , sM (t)]
requirements on the statistical characteristic of the noise (or the
is the transmitted waveform {vector. w (t, τ ) is the } additive signal). In contrast, the spatial cross-correlation method is free
white Gaussian noise, i.e., E w (t1 , τ ) wH (t2 , τ ) = σ 2 I ·
from the above drawback, thus the spatial cross-correlation
δ (t1 − t2 ), σ 2 is the noise power, δ (·) denotes the Kronecker
idea is adopted in this Letter.
delta. In this Letter, we suppose the waveforms are correlated.
Let rn (τ ) denotes the output of the matched filters with the
Let cm,n is the normalized correlation coefficient between the
n-th receive element. According to (3) and (4), we have
m-th waveform and the n-th waveform, i.e.,
∫ ∑
K
sm (t) s∗n (t) dt = cm,n (2) rn (τ ) = βk (τ ) ar,n (θk ) C∗ at (θk ) + vn (τ ) (6)
Tp k=1

where Tp accounts for the pulse duration. Matching x (t, τ ) where ar,n (θk ) is the n-th entity of ar (θk ), vn (τ ) is the
with sm (t) yields matched noise
∫ associate with the n-th receive element, i.e.,
∫ vn (τ ) = Tp wn (t, τ ) s∗ (t) dt, wn (t, τ ) is the n-th entity of
ym (τ ) = x (t, τ ) s∗m (t) dt (3) w (t, τ ). Let p, q ∈ {1, 2, · · · , N }, it can be deduced that [15]
Tp { }

K E vp (τ ) vqH (τ )
= βk (τ ) āt,m (θk ) ar (θk ) + nm (τ ) ∫ ∫
k=1 = E {wp (t1 , τ ) s∗ (t1 ) wq (t2 , τ ) s∗ (t2 )} dt1 dt2
Tp Tp
∗ { 2 ∗
where the ∫superscript (·) denotes the conjugate, āt,m (θk ) = σ C , p ̸= q
aTt (θk ) · Tp s (t) s∗m (t) dt = aTt (θk ) cm with cm = = (7)
∫ 0 , p=q
[c1,m , c2,m , · · · , cM,m ] , nm (τ ) = Tp w (t, τ ) s∗m (t) dt. By
T
[ T ] which reveals that matched array noises corresponding to
stacking the outputs as y (τ ) = y1 (τ ) , y2T (τ ) , · · · , yM
T
(τ ) various receive elements are uncorrelated. The result in (7)
one can get inspires the motivation to suppress the correlated noise by
∑ using the spatial cross-correlation technique. To this end, the
K
[( T ) ]
y (τ ) = C at (θk ) ⊗ ar (θk ) βk (τ ) + n (τ ) receive array is divided into two non-overlap subarrays. The
k=1 first subarray is composed of the first N1 receive elements, and
= Ab (τ ) + n (τ ) (4) the second subarray is consist of the residual N2 = N − N1
elements (Herein, we assume min {N 1, N 2} ≥ K). Let
where C = [c1 , c2 , · · · , cM ] ∈ CM ×M is the waveform
T
[ ]T ar,1 (θk ) and ar,2 (θk ) are the k-th receive steering vec-
correlation
∫ matrix, n (τ ) = nT1 (τ ) , nT2 (τ ) , · · · , nTM (τ ) = tors associated with the above mentioned subarrays. Define
Tp
s∗ (t) ⊗ w (t, τ ) dt. A = [a (θ1 ) , a (θ2 ) , · · · , a (θK )] ∈ A1 = [a1 (θ1 ) , a1 (θ2 ) , · · · , a1 (θK )] ∈ CM N1 ×K , A2 =
M N ×K
C is the virtual direction matrix, a (θk ) = [a2 (θ1 ) , a2 (θ2 ) , · · · , a2 (θK )] ∈ CM N1 ×K , where a1 (θk ) =

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LCOMM.2019.2911285, IEEE
Communications Letters
IEEE COMMUNICATIONS LETTERS 3

( ) ( )
CT at (θk ) ⊗ ar,1 (θK ), a2 (θk ) = CT at (θk ) ⊗ ar,2 (θK ). Inserting it into (16) we get
Accordingly, the matched outputs corresponding to the two |α4 |
subarrays can be expressed as θ̂ = arg min (18)
{ dH Q−1 (θ) d
z1 (τ ) = A1 b (τ ) + e1 (τ )
(8) Since α is a constant, the spectrum searching in (17) can be
z2 (τ ) = A2 b (τ ) + e2 (τ )
formulated as
[ ]T
where e1 (τ ) = v1T (τ ) , v2T (τ ) , · · · , vNT
(τ ) and e2 (τ ) = dH Q−1 (θ) d
[ T ]T
1 θ̂ = arg max (19)
T
vN1 +1 (τ ) , vN 1 +2
(τ ) , · · · , vN
T
(τ ) . It is easy to obtain
from (7) that { } IV. A LGORITHM A NALYSIS
E e2 (τ ) eH 1 (τ ) = 0 (9)
A. stochastic CRB
Therefore, the cross-covariance matrix of z1 (τ ) and z2 (τ ) is Assume Rn is parameterized by P variables {tp }p=1 . Refer
P
{ }
Rz = E z2 (τ ) zH H to [17], we derived the stochastic CRB on DOA estimation
1 (τ ) = A2 Rb A1 (10)
with correlated waveforms, which is given by
which means the spatially colored noise is suppressed in Rz .
1[ ]−1
In practice, L samples can be collected via uniform sampling CRB (θ) = H − MT−1 MT (20)
y (τ ) at instances τ = Ts , 2Ts , · · · , LTs and Rz can be L
estimated via with
 {( ) ( )}
1∑
L 
 H = 2Re D̃ H ⊥
Π D̃ ⊕ R ÃH −1
R̃ ÃR

 { (( Ã
θ b b
)T ) }
θ y
R̂z = z2 (lTs ) zH 1 (lTs ) (11) 
 ) (
L 
 H ⊥ −1 ∗
l=1  M = 2Re J T
D̃θ ΠÃ ⊗ R̃ ÃRb R̃n
{ ( ) }
B. RD-MUSIC for DOA Estimation 
 T = 2Re R̃H n R̃
−T
⊗ Π⊥ R̃n

 ( Ã )

 ( )T
It can be find that the singular value decomposition (SVD) 
 ⊥ ⊥
 − R̃H
n Π ⊗ Π R̃n
can be applied on R̂z to obtain the signal subspace Us and à Ã
the noise subspace Us . It is known that Us and Un coincide (21)
−1/2
with the range space and null space of A2 , respectively. Let where à = Rn A, Π⊥ Ã
= I − Π Ã with
−1/2
ãt (θk ) = CT at (θk ), the DOA can be estimated by solving Π
[ à = ÃÆ . D̃θ ]= Rn Dθ with Dθ =
∂a(θ1 ) ∂a(θ2 ) ∂a(θK ) −1/2 −1/2
min [ãt (θ) ⊗ ar,2 (θ)] Un UH
H
n [ãt (θ) ⊗ ar,2 (θ)] (12) , ∂θ2 , · · · , ∂θK . R̃y = Rn Ry Rn . J =
[ ∂θ{1 } { } { }]
vec e1 eT1 , vec e2 eT2 , · · · , vec eK eT1 , ek denotes
In the traditional MUSIC algorithm, a grid that consist of all
the possible directions is set, then the DOAs are obtained via [ k-th
the { ′ column
} {of ′the} K × K {identity

}]matrix. R̃′ n =
searching the peaks of (12). However, this method fails to work vec R̃n,1 , vec R̃n,2 , · · · , vec R̃n,P with R̃n,p =
since ãt is unknown. Alternatively, (12) can be expressed as −1/2 ′ −1/2 ′ ∂Ry
Rn Qp Rn , Qp = ∂tp .
H
t (θ) [IM ⊗ ar,2 (θ)] Un Un [IM ⊗ ar,2 (θ)] ãt (θ)
ãH H
min
θ | {z } B. Related remarks
Q(θ)
(13) The following remarks should be emphasized here:
where IM is the M × M identity matrix. Obviously, (13) is a Remark1. In the presence of orthogonal waveforms, C = I.
quadratic optimization problem. To avoid the trivial solution Consequently, the proposed method is also suitable for sce-
ãt (θ) = 0, we consider the constraint dH ãt (θ) = α, where nario with orthogonal waveforms.
T
α is a constant, d = [1, 0, · · · , 0] . Thus the problem in (13) Remark2. It can be seen that no prior knowledge on C is
becomes required in the proposed method. However, C must be known
in [14].
min ãH
t (θ) Q (θ) ãt (θ) s.t., dH ãt (θ) /α = 1 (14)
θ Remark3. The proposed algorithm is effective for arbitrary
Then we construct the following Lagrange function MIMO manifold, while the receive antenna geometries in [15]
( H ) and [16] must be uniform linear array (ULA).
L (θ) = ãH
t (θ) Q (θ) ãt (θ) − λ d ãt (θ) /α − 1 (15) Remark4. When encounter with the ULA-based array geome-
where λ is a Lagrange multiplier. Enforcing the derivative try, the ESPRIT-like strategy can be applied on Rz to achieve
∂L (θ) /ãH
t (θ) to zeros yields
a rough DOA estimation, which can help to reduce the search
range of the RD-MUSIC method.
∂L (θ) λ
= 2Q (θ) ãt (θ) + d = 0 (16)
∂ãt (θ) α
V. S IMULATION R ESULTS
Thereafter, we get ãt (θ) = µQ−1 (θ) d/α, where µ is To illustrate the effectiveness of the proposed method,
a constant.
( HIn −1
combination
) with dH ãt (θ) = α we have 500 Monte Carlo trials are carried out. Suppose the MIMO
2
µ = α / d Q (θ) d . Therefore, we can obtain radar system equipped with M = 4 transmitters and N
α2 Q−1 (θ) d receivers, both of which are uniform linear arrays with half-
ãt (θ) = (17) wavelength spacing. K =3 targets located at −20◦ , −1◦ and
dH Q−1 (θ) d

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This article has been accepted for publication in a future issue of this journal, but has not been fully edited. Content may change prior to final publication. Citation information: DOI 10.1109/LCOMM.2019.2911285, IEEE
Communications Letters
IEEE COMMUNICATIONS LETTERS 4

19◦ , respectively. The echo coefficient obey the swerling II provides better RMSE than the MC approach and the QALS
model and 100 snapshots are collected. Similar to [15], the method when SNR is larger than −5dB. Besides, the running
realistic form of the transmitted waveforms is ignored in the time of proposed estimator is much smaller than the compared
simulation. Alternatively, the data model in (4) is utilized. In algorithms, which evidences that the proposed estimator is
the simulation, the signal-to-noise ratio (SNR) is define as computationally more efficient than the existing algorithms.
SNR= 10log10 ∥σb2 ∥/∥σ 2 ∥, where σb2 is the average power of
b (τ ). The (p, q)-th element in C is given by C = e−|p−q|ρ , VI. CONCLUSION
ρ = 0.1 is the correlation parameter. The search range of the In this Letter, we have proposed an effective RD-MUSIC
proposed method is [−25◦ , 25◦ ] with the search interval is method for DOA estimation in MIMO radar with nonorthog-
fixed at 0.01◦ , and N1 is set to 3. The computer used to run onal waveforms. The proposed algorithm does not need the
the simulation is a HP Z840 workstation, which is configured prior of the waveform correlation matrix, and it is more
with two Intel(R) Xeon(R) E5-2650 v4 2.20 GHz processors, efficient than the existing MC approach. Furthermore, it may
and 128 GB of RAM. The software is Matlab R2016a. The has DOA estimation more accurate than the MC approach. As
root mean square error (RMSE) (as utilized in [15]) and the a result, the proposed method has a bright prospect in practical
average running time are adopted for performance assessment. application.

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