1. Introduction
A vortex is a common natural phenomenon in life, including those observed in wind and water. There is a kind of sound wave that also has a vortex state. In this state, the phase of the sound wave is spiral and there is an energy singularity on its propagation axis [
1]. One article [
2] found that this specific type of sound wave contains orbital angular momentum (OAM); naturally, this paper calls it an acoustic orbital angular momentum (AOAM) wave or acoustic vortex (AV) wave. The spatial phase of the AOAM wave is modulated by its characteristic topological charge (also called mode) and azimuth angle
, mathematically expressed as
, where
represents the topological charge.
Electromagnetic and light waves that contain orbital angular momentum can carry more target echo information due to their modal dimension. In recent years, they have become a research hotspot in the field of radar application, from basic imaging [
3] to sparse Bayesian imaging [
4] and to 3D imaging [
5,
6], as well as optical communication [
7] and optical imaging [
8], etc. In the field of acoustics, the AOAM wave has been applied in biomedical ultrasound therapy [
9]. In the field of underwater acoustics, excitingly, underwater navigation [
10] and underwater communication [
11] based on the AOAM wave have become new research directions, and judging from the achievements of these studies, the AOAM wave can indeed achieve better application effects than the traditional plane wave. In actuality, research on the AOAM wave in underwater acoustics focuses more on how to generate ideal AOAM waves, as detailed in articles [
11,
12]. Inspired by the characteristics of the AOAM wave and the above research, this paper aims to apply the AOAM wave for underwater imaging.
Prior to this, the AOAM wave has been employed for underwater imaging [
13,
14], and a conventional beamforming method, named mode matching beamforming (MMBF), and a high-resolution imaging method based on orthogonal matching pursuit (OMP) have been proposed. It has been proved in multiple aspects, including numerical simulation and real underwater target signal processing, that the AOAM wave can achieve higher-resolution imaging effects than the plane wave. At the time, however, imaging research was based on the narrowband AOAM wave, with only a little bit of analysis of the broadband AOAM wave. Despite this, the MMBF method achieved broadband AOAM wave imaging with good stability but limited resolution. Therefore, this paper aims to further improve the underwater imaging resolution of the broadband AOAM wave.
In 1998, the Signal Processing Society of the IEEE’s Underwater Acoustic Society Processing Technology Branch organized for experts to write a report entitled “The Past, Present and Future of Underwater Acoustic Signal Processing”. The report stated that active and passive sonar tend to develop in the direction of broadband and low frequency. In underwater imaging, a broadband signal effectively solves the speckle interference and grating lobe problems of a narrowband signal [
15] and can also enhance imaging stability in noisy environments. In 2016, Chi et al. proposed the nonuniform fast Fourier transform (NUFFT) imaging method, which achieved high-resolution imaging of a broadband signal [
16]. Broadband signal beamforming methods are generally classified into the incoherent signal subspace method (ISSM) [
17,
18] and the coherent signal subspace method (CSSM) [
19,
20]. The ISSM decomposes the broadband signal into multiple sub-band components in the frequency domain, applies the narrowband signal beamforming method to each sub-band, and finally combines all sub-band results to achieve broadband signal beamforming.
Beamforming is a key technology for achieving underwater imaging [
21]. In the 1980s, scholars proposed numerous classic high-resolution imaging methods based on signal structure and mathematical application with the aim of improving the spatial resolution of target recognition, which once solved the dilemma of the limited resolution of conventional beamforming. These methods include the multiple signal classification (MUSIC) [
22] algorithm, the minimum variance distortionless response (MVDR) [
23] algorithm, the estimation of signal parameters via rotational invariance techniques (ESPRIT) [
24] algorithm, and their derivative algorithms [
25]. While these subspace techniques achieve ideal resolution, they are unable to resolve coherent signal sources.
The most direct way to improve the resolution of the broadband signal is to combine the aforementioned subspace techniques in each sub-band processing process, which is why this method is called the ISSM. However, as the ISSM is only a simple average of narrowband processing outcomes, it remains a narrowband processing method and therefore cannot overcome the shortcomings of the subspace method, that is, the inability to resolve coherent signal sources.
In underwater imaging, the echo signals received by the sonar array have coherent characteristics as a result of the reflection of the seabed and the short-distance multipath propagation of acoustic signals. This makes broadband ISSMs that mainly apply classical signal subspace methods unfeasible. Instead, CSSMs with the focusing transform as the core technology have emerged [
26]. The signal subspaces of each frequency component are focused on the reference frequency through the focusing matrix. Subsequently, frequency smoothing is performed to reduce the correlation of the covariance matrix, thereby ensuring that the dimension of the signal subspace is equal to the number of signal sources, which allows for the identification of coherent signals. This is why the method is called the coherent signal processing method (CSSM).
Furthermore, according to the principle of narrowband beamforming, the signal subspace is composed of direction vectors, which are a function of spatial angle and frequency. In a narrowband signal, the direction vector remains constant with frequency, and there is only one signal subspace containing a single target’s direction information. However, the broadband signal contains rich frequency components, which results in a non-unique signal subspace. Therefore, the target direction information contained in it is not singular, and frequency expansion occurs. In this case, the signal subspace of each frequency component must be adjusted to the reference frequency using a focusing matrix, and then beamforming is implemented using the subspace method of the narrowband signal.
In summary, in order to improve the resolution of underwater imaging based on the broadband AOAM wave, we can combine classic signal subspace methods, such as MUSIC. In this process, it is necessary to solve the frequency subspace expansion problem of the broadband signal through focusing processing, and solve the problem of coherent sources through multi-sub-band smoothing processing. This is the core process of the broadband AOAM wave CSSM algorithm. The focusing matrix is the key component in CSSM processing, as it directly influences the efficacy of target imaging. In the plane wave, firstly, the focusing matrix is the dimension of the array, and secondly, its diversity comes from the difference between the signals received by the array. In the plane wave, the difference between the signals received by the array is only the delay difference caused by the spatial position of the array element and the target. However, in the case of the AOAM wave, the focusing matrix is the modal dimension, and its diversity comes from signals of different modes. From the physical properties of the AOAM wave, it can be observed that there are not only phase differences but also amplitude differences between signals of different modes. It can be concluded that the focusing matrix obtained by the broadband AOAM wave will exhibit a greater degree of complexity.
The main contributions of this paper are as follows: Firstly, this paper proposes the use of broadband AOAM waves for underwater imaging. Compared with traditional broadband plane wave imaging, this paper provides a new idea for achieving underwater high-resolution imaging. Secondly, a modal-domain focusing beamforming method is proposed, which makes full use of the physical properties of AOAM waves to enhance imaging resolution. Thirdly, the challenge posed by the sub-band method’s inability to image underwater coherent sound sources is addressed. Finally, this paper provides value as a reference for future applications of broadband AOAM waves in underwater imaging engineering.
The remainder of this paper is organized as follows:
Section 2 establishes the relevant signal models of the broadband AOAM wave, including the transmitting signal model, the receiving signal model, and the conventional beam output signal model of the broadband AOAM wave. These are the basis for the core technology proposed in this paper.
Section 3 derives a new modal-domain focusing transformation matrix and proposes a modal-domain focusing beamforming method.
Section 4 presents simulation experiments. The conclusion of this paper is given in
Section 5.
2. Signal and System Models
2.1. AOAM Wave Emission Signal Model
In the study of the AOAM wave, using a phased uniform circular array (UCA) to generate AOAM waves is a simple and efficient method [
2,
12].
Figure 1 displays a UCA in the coordinate system. As shown in
Figure 1, a UCA composed of
sound transducers is placed on the
plane, the center of the circle is the coordinate origin,
is radius, and
denotes the azimuthal position. According to the generation principle of the AOAM wave, through the modulation of the phase-shifted sound signal corresponding to each sound transducer, an AOAM wave of a specified mode
can be generated.
The signal emitted by the
sound transducer is
where
is the modulation phase of each sound transducer.
is the sound wave amplitude, and
represents the sound signal without mode modulation.
For an underwater sound pressure detection point
in the far field, the output sound pressure is the sum of the sound signals emitted by all sound transducers; that is,
where
is the wavelength,
is the detection point vector, and
is the position vector of the
sound transducer.
Under far-field conditions,
and
represent the amplitude and phase approximation, respectively. Equation (2) can be rewritten as follows:
Here, is the wavenumber, and represents the unit direction vector of the detection point.
In the spherical coordinate system, it is
Put (4) into (3) to obtain
When there are sufficient sound transducers, the summation in (5) can be replaced by integration [
3]. Let
replace
, and employ variable substitution; using
, we obtain
Put (6) into (5) and simplify and normalize it to obtain
Equation (7) represents the signal model of the AOAM wave generated by the UCA, where denotes the imaginary unit, is the -order Bessel function of the first kind. Equation (7) shows that modulates the spiral phase of AOAM waves, which represents the dual relationship between mode and spatial azimuth angle . modulates the amplitude of the AOAM waves, which represents the dual relationship between mode and spatial elevation angle . It is evident that AOAM waves of different modes display varying wavefront phase distributions, distinct mainlobe directions, and varying amplitudes of the sound wave. This indicates that the echo signal carries more information, especially in active sonar, which facilitates the acquisition of a higher matching gain.
2.2. Broadband AOAM Wave Signal Model
Based on the generation principle introduced above, when a linear frequency modulation (LFM) signal is emitted by the sound transducer, a broadband AOAM wave is obtained [
27].
Now, the signal emitted by the
sound transducer is
where
is the LFM slope, and
signifies the low frequency of the signal.
Similarly, the sound pressure output at the underwater spatial sound pressure detection point
is
where
is the time delay caused by the distance from the
sound transducer to the detection point.
In the rectangular coordinate system, we know
where
denotes the underwater sound velocity.
Put (10) into (9) to obtain
where
.
As the polynomial
can be omitted, (12) is obtained:
where
. Each row in the summation is a product term.
Similarly, the summation term in (12) is simplified in the same way as (6), and we obtain
Upon substituting (13) into (12), the output sound pressure signal of the sound pressure detection point is obtained, which is
Equation (14) represents the signal model of the broadband AOAM wave. Equation (14) demonstrates that the amplitude of the broadband AOAM wave continues to be modulated by the Bessel function . However, in contrast to the narrowband AOAM wave, the frequency variable is also associated with the elevation angle via the Bessel function, indicating the presence of additional information in the frequency dimension. Similarly, the phase of the broadband AOAM wave is modulated by , and the azimuth angle is related to the mode and frequency, suggesting the existence of further information in the frequency dimension. The broadband AOAM wave will further increase the diversity of signal matching compared with narrowband, thereby achieving more processing gain in imaging.
2.3. Broadband AOAM Wave Echo Signal Model
When the transmitted sound wave encounters an object during propagation, it will be reflected, and then the echo signal will be received by the sonar array. Let
be the target point underwater, and assume that all the array elements in the UCA structure are utilized to receive the target echo signal, as illustrated in
Figure 1. Subsequently, the echo signal received by the
array element is
where
,
,
refers to the target scattering coefficient, and
is the noise.
When there are
targets in the underwater imaging scene, the echo signal received by the
array element is
Equation (16) is the echo signal model of the broadband AOAM wave. As illustrated in (16), the target orientation parameters are not solely represented by the direction vector of the sonar array; they are also reflected in the mode vector of the AOAM wave. It can be observed that two information matches can be performed when searching for target information: one is conventional matching based on the array structure, and the other is modal-domain matching based on the AOAM wave signal. This is the mechanism of our implementation of the MMBF method [
14]. The paper also provided imaging results based on the MMBF method for effective comparison with the technology proposed in this paper.
In broadband signal processing, whether it be conventional beamforming or signal subspace processing, we hope to utilize the processing gain brought by the frequency itself. Therefore, it is critical to obtain data measured in frequency. It is known that the broadband AOAM wave contains a modal dimension. If signal processing is implemented on the initial array-received data, which are structured as mode–array–frequency, the data structure will be very complex and there will be no suitable matching vector. Therefore, this paper established the focusing processing process of the broadband AOAM wave on the basis of the conventional beamforming of received data. In other words, focusing processing is conducted in the modal domain. Not only does this address the problem of complex received-data structure, but also, if the received data are transformed into the modal domain for processing, they can theoretically better reflect the advantages brought by the AOAM wave.
The conventional beam output signal model of the broadband AOAM wave is established below.
2.4. Broadband AOAM Wave Beam Output Signal Model
In conventional beamforming, compensation is first applied to the time delay or phase shift caused by the array element and target position in the echo signal, before it is superimposed and output. The steering vector of the UCA structure can be expressed as
; thus, the beamforming output signal model at any spatial orientation in mode one is
where
represents the broadband AOAM wave reflected signal with mode one.
By way of simplification, the complete broadband AOAM wave conventional beam output signal model is finally obtained. It is
where the
term is a zero-order Bessel function, which is also, in theory, the beamforming signal model of the uniform circular array.
In traditional broadband signal processing, the time-domain received signal is generally subjected to a
-point DFT to obtain
-sub-band frequency-domain data. The time-domain beam output signal represented by (18) is also subjected to DFT at this time. Subsequently, (18) is rewritten as a frequency-domain vector matrix multiplication, resulting in the following:
where
is the
-dimensional modal-domain measurement vector of the
sub-band.
, and
is the number of modes.
is the
-dimensional modal-domain signal vector, and
is the
-dimensional steering vector matrix, that is, the modal flow pattern.
denotes the
-dimensional steering vector.
is the wavenumber at the corresponding frequency.
is the received noise vector.
The analysis of (19) demonstrates that in the broadband AOAM wave modal-domain received signal, different sub-band components correspond to distinct modal flow patterns, indicating the presence of frequency extension. In order to apply classical high-resolution methods in narrowband signals to broadband signals to improve imaging resolution, it is first necessary to address the problem of frequency expansion. On the other hand, some high-resolution methods are unable to image coherent sources. The focusing method is used to solve the frequency expansion problem, while the smoothing method is used to solve the coherence problem. In fact, the advantage of multiple sub-bands of the broadband signal provides favorable support for the signal subspace method to solve the problem of coherent sources in imaging. That is, we can perform frequency smoothing to reduce the correlation in the covariance matrix. Therefore, this paper applies the focusing processing idea to the imaging of the broadband AOAM wave, which has important research significance.
3. Proposed Method
This section is dedicated to the establishment of the new method. For detailed explanation, it starts by giving the form of the modal-domain focusing matrix, and then extends to proposing the modal-domain focusing beamforming method based on the broadband AOAM wave.
The CSSM uses a focusing matrix to map the signal subspaces of different frequencies within a broadband signal to the same reference frequency. Subsequently, the classical signal subspace method in narrowband processing is used to achieve high-resolution imaging of the broadband signal.
In the focusing process,
represents the modal-domain focusing matrix. Consequently, the focusing process will satisfy the following transformation relation:
where
and
are the AOAM wave steering vector matrix of the reference frequency and the
sub-band, respectively.
The focusing matrix is known to be the core of the CSSM processing of broadband signals, so it is crucial to compute the ideal focusing matrix. In (20), in order to maintain the output SNR of the sonar array before and after the focusing matrix is transformed, the optimal focusing matrix is determined based on the minimum error criterion:
where
are the pre-estimated angles. It is known that the AOAM wave is multimodal in nature, so the predicted angles can be roughly obtained by one regular beamforming process. This is one of the advantages of the AOAM wave over the plane wave.
is the
-dimensional identity matrix.
is the Frobenius norm of the matrix.
The focusing matrix adopts the rotation signal subspace method based on the unitary matrix; solving the above (21) can yield the
focusing matrix:
where
and
are the left and right singular values of
, respectively. The method of calculating the modal-domain focusing transition matrix is known as the rotational signal subplace (RSS) [
28,
29]. The RSS is simple in structure and stable in performance.
The modal-domain focused measurement vector is
The covariance matrix of the modal-domain focused data is further found to be
where
is the noise power.
The frequency-averaged covariance matrix is
At last, beamforming is completed for the broadband AOAM wave signal after focusing in accordance with the classical signal subspace method. The eigenvalue decomposition of the covariance matrix
is executed, leading to the acquisition of the noise subspace
. The beamforming output is
Here, is the modal-domain spatial steering vector.
A flowchart of the modal-domain focusing beamforming method proposed in this paper is shown in
Table 1.