1. Introduction
Phased array (PA) is widely used in radar, navigation, and wireless communication systems due to the flexible electronic beam-scanning capabilities. However, the beampattern is solely dependent on angle, meaning the beam points in the same direction across the entire range dimension, making it difficult to directly suppress range-related interference through beamforming [
1]. To address this issue, Antonik et al. first introduced the concept of frequency diverse array (FDA) [
2]. By introducing small frequency offset (FO) across the array aperture, FDA can generate beampatterns that are simultaneously dependent on both angle and range [
3], enabling more flexible beam scanning and control [
4]. This characteristic allows FDA to demonstrate significant potential in various range-dependent applications, such as target detection [
5,
6], range–angle imaging [
7,
8], wireless power transmission [
9,
10], synthetic aperture radar (SAR) imaging [
11,
12], and secure communication [
13,
14,
15,
16,
17]. As a result, FDA is considered an effective extension of traditional PA and has become one of the key research topics in the field of array signal processing.
However, in FDA, the phase of each array element accumulates with time over the signal duration [
18], thereby endowing the FDA with a time-varying characteristic. On the one hand, this characteristic enables the FDA to realize continuous electromagnetic beam scanning during the signal duration. On the other hand, it increases the difficulty of mainlobe control. To alleviate this problem, Khan et al. [
19] proposed a time-varying FO which is designed for the array elements to produce a beampattern peak that persists over the entire pulse at a specific range–angle pair, thereby effectively suppressing range-dependent interference and enhancing target detection capability. Yao et al. [
20] combined time-domain modulation with nonlinear FOs to realize a time-invariant transmit range-angle beampattern that has a single maximum at the target location. The above works only considered the signal propagation process, and the inherent time-varying problem of the FDA still exists [
21]. In this context, researchers began to consider receive-side equivalent transmit beamforming. In [
22], Xu et al. proposed a new joint transmit–receive method that processes the time-varying terms through a series of mixers and filters to produce a quasi-static beampattern, whereas [
23] further simplified the architecture by adopting only one mixer and one analog-to-digital converter (ADC), significantly reducing the system cost.
Additionally, due to the linear dependence between the linear FO and the element spacing, the conventional linearly spaced FDA, termed as linear-FDA, suffers from range–angle coupling, which causes its beampattern to exhibit mainlobes at multiple ranges and angles simultaneously [
24], thereby introducing range ambiguity of the beampattern and interfering with target detection and localization. Consequently, extensive research has been conducted on FDAs employing different types of nonlinear FOs and array configurations. Khan et al. [
25] are the first to propose a nonlinear FO based on a natural logarithmic distribution, which can form a single-mainlobe beampattern in the range–angle dimension. However, this method exhibits low range resolution and high peak sidelobe level (PSLL), limiting its practical focusing performance. Since then, various nonlinear FOs have been proposed, including tangent hyperbolic function FO [
26], segmented triangular FO [
27], symmetric logarithmic FO [
28], random logarithmic FO [
29], sinusoidal FOs [
30,
31], polynomial-fitted FO [
32], window-function-based FOs [
33,
34,
35,
36], as well as other nonlinear FOs obtained by optimization algorithms [
37,
38,
39]. Meanwhile, to investigate the impact of array configuration on FDA beampattern performance, semicircular array configuration [
40], circular array configuration [
41], arc array configuration [
42] and concentric circular array configuration [
43] have also been widely studied.
Subarray partitioning method divides the whole array into multiple subarrays and preserves the original array geometry, effectively breaking the linear dependence between the linear FO and the element spacing, thereby enhancing the flexibility of beampattern design and enabling decoupling in the range–angle dimension. In recent years, some studies have focused on the subarray partitioning method of FDA. In [
44], an FDA architecture based on two uniform subarrays has been proposed, in which different subarrays adopt different FOs to generate a focused beampattern that permits direct estimation of target range and angle. Xu et al. [
45] partitioned the FDA into multiple non-overlapping subarrays and assigned distinct FOs to each subarray so as to obtain degrees of freedom simultaneously in range and angle, thereby achieving effective concentration of the transmit energy within a desired range–angle dimension. Wang et al. [
46] further proposed a cross-subarray FDA structure that divides odd- and even-indexed elements into different subarrays and introduces nonlinear FOs, significantly improving transmit-energy focusing capability, sidelobe suppression, and array resolution. Subsequent studies by the same team further explored an FDA employing logarithmic FO with overlapping subarrays, as well as subarray-partitioning designs of planar FDAs [
47]. In [
48], a configuration with equal frequency within each subarray and linear FOs across subarrays has been adopted, effectively enhancing range resolution. The aforementioned studies did not consider the time-varying issue of the FDA; moreover, in their partitioning schemes, the element spacing within each subarray remains uniform, and thus the linear dependence persists. To address these issues, under a joint transmit–receive signal model, this paper conducts a series of in-depth studies of subarray partitioning methods and proposes a nested optimization algorithm that combines the bat algorithm (BA) with the K-means++ clustering algorithm to simultaneously optimize the subarray structure and the element amplitudes. The main contributions are summarized as follows.
- (1)
A uniform continuous subarray partitioning method of linear-FDA under a joint transmit–receive signal model is investigated, in which different subarrays employ different FOs. By comparing the beampatterns produced by linear FOs and nonlinear FOs, it can be concluded that FO has significant influence on the performance of FDA.
- (2)
A nonuniform and discontinuous subarray structure based on the K-means++ clustering algorithm of FDA is proposed. By breaking the traditional continuous subarray structure, the performance limitations have been overcome. Different subarrays adopt different types of nonlinear FO. Simulation results indicate the mainlobe width in range dimension is 1.29 km and the PSLL is -11.75 dB, demonstrating the enhancement in range resolution.
- (3)
An optimization algorithm that integrates the BA with the K-means++ clustering algorithm is designed to achieve joint optimization of the nonuniform discontinuous subarray structure and the element amplitudes. Simulation results show that the mainlobe width in range dimension is further decreased to 1.18 km and the PSLL is reduced to -12.32 dB. The proposed optimization algorithm can achieve the best performance in terms of range resolution and sidelobe suppression.
The rest of the paper is organized as follows. In
Section 2, the transmit–receive beamforming signal models are established for uniform continuous and nonuniform discontinuous subarray structures. In
Section 3, a joint optimization algorithm integrating the BA and K-means++ clustering algorithm is proposed to co-optimize the subarray structure and the element amplitudes.
Section 4 presents the simulation results and analysis in detail to demonstrate the effectiveness of the proposed method. Finally,
Section 5 summarizes the work and presents the conclusions.
3. Nonuniform and Discontinuous Subarray Partitioning Method Based on Nested Optimization Algorithm
In this section, the nonuniform and discontinuous subarray partitioning method of linear-FDA is investigated on the basis of the signal model established in
Section 2. Specifically,
Section 3.1 introduces a scheme based on the K-means++ clustering algorithm, where clustering of element amplitudes yields nonuniform and noncontiguous subarray structure. Building on this foundation,
Section 3.2 develops a nested optimization algorithm that integrates the BA with the K-means++ clustering algorithm to jointly optimize subarray structure and element amplitudes, with the goal of enhancing beampattern performance in range and angle dimension.
3.1. Nonuniform and Discontinuous Subarray Partitioning Method Based on K-Means++ Clustering Algorithm
In this subsection, the subarray partitioning problem is reformulated as an unsupervised clustering optimization based on element characteristics. Specifically, array elements are grouped according to the similarity of their element amplitudes, enabling adaptive design of the subarray structure. The K-means clustering algorithm [
50] is widely used for its simplicity and efficiency. However, its results depend heavily on the random selection of initial cluster centers, and it is prone to converge to a local optimal solution. To address this problem, the K-means++ clustering algorithm is adopted for subarray partitioning, which improves the initialization strategy so that the centers are more widely dispersed in the feature space, thereby enhancing optimization quality and stability.
Assume the linear-FDA with transmit elements is partitioned into subarrays. Set to denote the element amplitudes and take it as the feature vector. The goal of K-means++ clustering algorithm is to cluster the transmit elements into the specified clusters based on inter-element similarity, with each element belonging only to the cluster whose centroid is nearest.
Specifically, one value is randomly selected from the element amplitude
as the initial cluster center
. For each element amplitude
, the squared distance to the nearest already-selected cluster center is computed as
.
where each element amplitude is chosen as the next cluster center with a probability of
, and thus the next cluster center is selected according to the roulette wheel selection method.
can be expressed as
This probability distribution makes it more likely that the next center lies in a region far from the existing centers, thereby spreading the initial centers more broadly in the feature space. The procedure continues until
initial centers
are obtained. For each element amplitude
, compute the Euclidean distance to all centers and assign it to the cluster with the minimum distance. The
kth cluster, i.e., subarray
, is composed of the elements that satisfy the following condition.
The above steps are based on element amplitude similarity, partitioning the entire array into
subarrays that are nonuniform and discontinuous. The center of each cluster is then updated as the mean of the element amplitudes currently assigned to that cluster.
Iterating in this manner, the final output is the optimized subarray partition .
For the problem of nonuniform and discontinuous subarray-based FDA addressed in this section, the goal is to find the optimal subarray configuration
such that the generated beampattern is, in a certain sense, the best approximation to the desired beampattern. The fitness function is defined as the square of a weighted error between the current and desired beampatterns with respect to mainlobe width and PSLL in range dimension.
where
and
are weighting coefficients;
PSLLr and
HPBWr denote the simulated PSLL and half-power beam width (HPBW) in range dimension, respectively.
and
denote the desired PSLL and HPBW in range dimension.
Therefore, the optimization process can be described as
Under the imposed constraints, the subarray partitioning structure is iteratively updated via the K-means++ clustering algorithm to minimize the fitness function, which can enable FDA to generate the narrowest HPBW and the lowest PSLL in range dimension. The detailed algorithmic procedure is as follows (Algorithm 1).
| Algorithm 1. Optimization procedure for subarray partitioning based on K-means++ clustering algorithm |
|
|
| from the element amplitude set. |
| according to (26). Repeat until are obtained. |
| . |
| Step 4. Recompute each cluster center using (28). |
| of the current subarray partition. |
| converges. |
| . |
3.2. Nonuniform and Discontinuous Subarray Partitioning Method Based on BA and K-Means++ Clustering Algorithm
The beampattern of nonuniform and noncontiguous subarray-FDA with the above method depends on the initial element amplitudes; however, these element amplitudes are random. To further improve beamforming performance, this subsection proposes a nested optimization algorithm that integrates BA and the K-means++ clustering algorithm. This algorithm jointly optimizes the subarray structure and the element amplitudes, combining the global search capability of the BA with the efficient clustering property of the K-means++ clustering algorithm, so as to realize global optimization of beampattern performance in the range–angle dimension.
BA is a swarm-intelligence optimization algorithm inspired by bat echolocation behavior [
51]. In this algorithm, each bat represents a candidate solution in the search space, and the optimal solution is sought by simulating bat flight, echolocation, and prey-capturing behaviors. BA offers strong global search capability and fast convergence, making it suitable for joint optimization of subarray configuration and element amplitudes in combination with the K-means++ clustering algorithm. Specifically, first initialize
I bats within the feasible domain, and define the position of each bat as
, where
denotes the element amplitude of the
mth array element over the global domain. During the
tth iteration, the frequency
, velocity
, and position
of the
ith bat are updated according to the following equations.
where
and
denote the predefined upper and lower bounds of the frequency, respectively.
is a uniformly distributed random variable;
denotes the global best position of all bats at iteration
t. As the iterations proceed, the loudness
and the rate
are updated as follows
where
and
are predefined constants to guarantee
and
which indicates that an optimal solution is found and the iteration can be stopped.
It is worth noting that
and
are updated only after the position of a bat has been improved. For each
optimized by BA, the K-means++ clustering algorithm is used to perform subarray partitioning: exploiting the similarity of element amplitudes, the array is dynamically divided into
nonuniform and noncontiguous subarrays, with the partitioning procedure given by Equations (25)–(28). Accordingly, the fitness function can be rewritten as
The optimization problem is formulated as
The joint optimization algorithm adopts a nested-loop architecture. The outer loop employs BA to optimize the element amplitudes, and the inner loop applies the K-means++ clustering algorithm to repartition the subarray configuration according to the current element amplitudes. The two procedures operate in a nested, coordinated manner to minimize
, thereby yielding a beampattern with the narrowest HPBW and the lowest PSLL in range dimension. The detailed algorithmic flowchart is as follows (
Figure 4).
4. Numerical Results and Discussion
In this section, the effectiveness of the proposed subarray partitioning methods is analyzed in detail. Firstly, under the same subarray configuration, linear FOs and nonlinear FOs are applied separately to systematically assess the impact of FO on beampattern performance of the uniform continuous subarray-based FDA. Then, a nonuniform discontinuous subarray partitioning method based on the K-means++ clustering algorithm is investigated; by adaptively clustering according to the similarity of element amplitudes, the spatial constraints of traditional contiguous partitioning are lifted. Finally, a joint optimization algorithm is employed to simultaneously optimize the subarray structure and the element amplitudes; thus, the performance of the subarray-based FDA is further enhanced. The target is located at , and the total observation region is defined as .
4.1. Uniform Continuous Subarray-Based FDAs
To systematically investigate the beamforming performance of uniform continuous subarray structures, this subsection divides the FDA with
elements into three subarrays and compares the beampatterns obtained with linear FOs and nonlinear FOs. The specific simulation parameters are listed in
Table 1.
Under the uniform continuous subarray structure, the
elements are divided into
contiguous subarrays in a spatial order, each containing
consecutively placed elements, i.e., subarray 1 includes
, subarray 2 includes
, and subarray 3 includes
. The structure of subarray-based FDA is shown in
Figure 5a. Different linear FOs are assigned to the subarrays as follows:
where
. The FO distribution is shown in
Figure 5b, and the overall FDA exhibits central symmetry in frequency.
Figure 6 shows the transmit–receive beampatterns of uniform continuous subarray-based FDA with linear FOs. From
Figure 6a,b, an energy focus is formed at the target location, but multiple high-energy sidelobe peaks exist in other regions of range–angle dimension.
Figure 6c gives the corresponding beampattern projection in range dimension. It can be seen that a relatively sharp mainlobe is formed at the target location, and the
HPBWr is 4.35 km, indicating good beam-focusing capability. However, the
PSLLr is 10log
10(0.1883) = −7.25 dB, and the sidelobe-suppression capability is insufficient. In practical applications, higher sidelobes lead to the generation of clutter, thereby reducing the accuracy of target detection.
Figure 6d provides the beampattern projection in angle dimension. It can be seen that the HPBW is 1.15° and the PSLL is 10log
10(0.01435) = −18.43 dB. Although a uniform continuous subarray-based FDA with linear FOs can realize beam-focusing performance, the high PSLL problem significantly limits its value in practical engineering applications.
When partitioning the array into subarrays, only when all subarrays form mainlobes in the same region and the mainlobes can be superimposed in phase does this region form the mainlobe of the entire array. However, the beampattern of the subarray employing linear FOs inherently suffers from a broad mainlobe and high sidelobe levels. As a result, the synthesized overall beampattern still struggles to meet the requirements in terms of mainlobe width and sidelobe suppression. To address this issue, this paper, based on the paper of nonlinear FOs in reference [
52], selects three nonlinear FO schemes with superior performance. These schemes are applied to three subarrays, enabling each subarray to independently form a focused beampattern, as shown in
Figure 7. After the superposition of the three focused beampatterns, the overall beampattern exhibits a narrower mainlobe width and lower sidelobe levels. It is worth pointing out that the reason linear FO schemes require a central symmetry FO configuration is that the beampatterns of their subarrays lack inherent focusing capability and must rely on the cross-superposition of beampatterns with different deflection directions to achieve overall focusing. In contrast, each beampattern of subarray with nonlinear Fo possesses good focusing characteristics, allowing focusing to be achieved without the need for a central symmetry configuration. Therefore, the absence of central symmetry does not negatively impact the focusing performance of the proposed method. The definitions of the three nonlinear FOs are as follows:
Figure 8 presents the transmit–receive beampatterns of a uniform continuous subarray-based FDA employing nonlinear FOs. As observed in
Figure 8a,b, this subarray-based FDA achieves beam focusing on the target location, with sidelobe suppression in non-target regions. From
Figure 8c, it can be clearly observed that the
HPBWr is greatly decreased (from 4.35 km to 2.76 km), and the
PSLLr is reduced by 2.39 dB (from 10log
10(0.1883) = −7.25 dB to 10log
10(0.1086) = −9.64 dB). Comparing
Figure 8d with
Figure 6d, it can be seen that the beampattern projections in angle dimension of the subarray-based FDAs with linear FO and nonlinear FO are identical. In conclusion, compared to the subarray-based FDA with linear FOs, the subarray-based FDA with nonlinear FOs can achieve better performance in terms of range resolution and sidelobe suppression.
Figure 9 shows the transmit–receive beampattern projection in range dimension of uniform continuous subarray-based FDAs with linear and nonlinear FOs.
Table 2 provides detailed comparisons of beampattern performance of the above FDAs. In range dimension, the
HPBWr is 4.35 km of subarray-based FDA with linear FOs, while the FDA with nonlinear FOs narrows it down to 2.76 km, representing a 36.6% reduction. The
PSLLr decreased from 10log
10(0.1883) = −7.25 dB to 10log
10(0.1086) = −9.64 dB, achieving a 2.39 dB decrease and approximately 1.7 times greater sidelobe suppression capability. In angle dimension, both subarray-based FDAs demonstrate nearly identical performance. The HPBW in angle dimension (
HPBWθ) remains at 1.15°, while the PSLL in angle dimension (
PSLLθ) are 10log
10(0.01435) = −18.43 dB and 10log
10(0.01342) = −18.72 dB, respectively, with a marginal difference of only 0.29 dB. The results indicate that nonlinear FOs not only effectively suppress sidelobes but also enhance range resolution, yielding significantly superior performance compared to linear FOs. This improvement originates from the breaking of the linear dependence between FOs and element spacing by nonlinear FOs, which alleviates range–angle coupling issues and optimizes energy distribution. This advancement lays the groundwork for subsequent optimized designs of nonuniform and discontinuous subarray-based FDAs.
4.2. Nonuniform and Discontinuous Subarray-Based FDAs
To further enhance beamforming performance, this subsection investigates two methods to achieve a nonuniform discontinuous subarray-based FDA. Unlike uniform continuous methods where elements are partitioned sequentially according to their spatial positions, the nonuniform discontinuous subarray partitioning method allows elements belonging to the same subarray to be alternately distributed in space. By breaking the constraints of traditional continuous partitioning, this method offers greater design freedom.
The simulation employs the same array configuration as in
Section 4.1.
Table 3 lists the specific parameters based on the K-means++ clustering algorithm. Among them,
P is the number of iterations of the algorithm. It should be noted that the initial element amplitudes are random.
Figure 10a illustrates the optimized subarray partitioning structure based on the K-means++ clustering algorithm, where different colors indicate the affiliation of each subarray. The optimized three subarrays demonstrate significantly discontinuous alternating distribution characteristics, and the number of array elements within each subarray is also different, forming a sharp contrast with the sequential structure of uniform continuous subarray-based FDAs.
Figure 10b displays the corresponding element amplitude distribution of array elements, revealing the clustering characteristic of the K-means++ clustering algorithm based on element amplitude similarity. This process automatically groups elements with similar element amplitudes without being constrained by their spatial continuity. The FOs of subarray-based FDAs follow the specifications in Equations (46)–(48).
Figure 11 presents the transmit–receive beampatterns of a nonuniform and discontinuous subarray-based FDA employing nonlinear FOs based on the K-means++ clustering algorithm. As observed in
Figure 11a,b, this subarray-based FDA results in concentrated beam energy in the target region and sidelobe suppression in non-target regions.
Figure 11c reveals that the
HPBWr is narrowed to 1.29 km, and the
PSLLr is reduced to 10log
10(0.06687) = −11.75 dB, demonstrating superior range resolution and sidelobe suppression compared to the two previously discussed uniform continuous subarray-based FDAs. Compared with
Figure 8d,
Figure 11d indicates stable performance in angle dimension, with the
HPBWθ remaining at 1.15° and the
PSLLθ at 10log
10(0.01324) = −18.78 dB, confirming that the nonuniform discontinuous subarray structure does not significantly affect angle beamforming. In summary, these results demonstrate that the combination of the nonuniform discontinuous subarray configuration and nonlinear FOs effectively enhance the beampattern performance in range–angle dimension. This approach not only improves range resolution but also maintains favorable performance in angle dimension, thereby validating the effectiveness of the proposed approach.
In order to obtain the optimal element amplitudes and their corresponding subarray configuration, a nested algorithm to simultaneously optimize both the subarray structure and the element amplitudes are proposed. Specific simulation parameters based on a nested algorithm are listed in
Table 4, where
I represents the population size of the bat algorithm, and
T and
P denote the number of iterations of the BA and the K-means++ clustering algorithm, respectively.
Figure 12 illustrates the transmit–receive beampatterns of nonuniform and discontinuous subarray-based FDA employing nonlinear FOs after joint optimization based on the nested algorithm. It can be clearly seen that the subarray-based FDA after joint optimization can produce a more focused beampattern in
Figure 12a,b.
Figure 12c shows that the
HPBWr reaches 1.18 km; this means that compared to the 1.29 km achieved without joint optimization, an 8.5% reduction has been achieved. The
PSLLr decreases from 10log
10(0.06687) = −11.75 dB to 10log
10(0.05866) = −12.32 dB, indicating enhanced range resolution and sidelobe suppression capability.
Figure 12d reveals that the
HPBWθ remains at 1.15° with
PSLLθ of −10log
10(0.01447) = −18.39 dB, demonstrating that the joint optimization process improves beampattern performance in range dimension without compromising beampattern performance in angle dimension.
Figure 13 shows the transmit–receive beampattern projection in range dimension of nonuniform discontinuous subarray-based FDAs under unoptimized and nested-algorithm-optimized conditions. The details are listed in
Table 5. The results show that the nested algorithm further improves performance in range dimension. The
HPBWr is reduced from 1.29 km to 1.18 km, while the
PSLLr is decreased from 10log
10(0.06687) = −11.75 dB to 10log
10(0.05866) = −12.32 dB. The performance in angle dimension remains generally stable, with the
HPBWθ maintained at 1.15° in both conditions, and
PSLLθ is 10log
10(0.01324) = −18.78 dB and 10log
10(0.01447) = −18.39 dB, respectively, differing by only 0.39 dB. These results validate the effectiveness of the nested algorithm, which combines global search in the outer loop and efficient clustering algorithm in the inner loop to achieve co-design of structural parameters and excitation configurations, providing a new approach for enhancement of beampattern performance. Compared with the uniform continuous subarray-based FDA in
Section 4.1, the nonuniform discontinuous subarray-based FDAs demonstrate significant performance advantages both before and after optimization.
From a computational complexity perspective, when only the K-means++ clustering algorithm is used for subarray partitioning, its complexity is . In contrast, the nested optimization algorithm has a complexity of . Thus, while the nested optimization improves range resolution, it comes at the cost of significantly increased computation time. For high-precision design scenarios with adequate computational resources, this additional overhead is acceptable. However, for applications with stringent real-time requirements, the subarray partitioning method based solely on the K-means++ clustering algorithm can be employed to meet the need for timeliness.
To further validate the superiority of the proposed method,
Figure 14 and
Table 6 provide a performance comparison with several existing FDA subarray-based methods [
33,
45,
46,
47] in terms of HPBW and PSLL in both range and angle dimensions. As shown in
Figure 14 and
Table 6, the proposed method achieves a range HPBW of 1.18 km and a PSLL of −12.32 dB, while also maintaining superior performance in the angle dimension. These results demonstrate that the proposed method outperforms existing methods in terms of range resolution and sidelobe suppression, confirming its effectiveness for high-resolution FDA beamforming.