polar fourier transform processing of marine radar signals
TRANSCRIPT
Polar Fourier Transform Processing of Marine Radar Signals
DAVID R. LYZENGA
Naval Architecture and Marine Engineering Department, University of Michigan, Ann Arbor, Michigan
(Manuscript received 10 August 2016, in final form 18 October 2016)
ABSTRACT
This paper describes a method of processing marine radar signals for the purpose of generating phase-
resolved surface elevationmaps as well as statistical measures of ocean surfacewave fields. Themethod is well
suited to the processing of data collected by marine radars because it allows for the incorporation of effects
dependent on the radar look direction relative to the propagation direction of ocean waves. Applications to
Doppler radar and backscattered power measurements are described, and example results are presented
using simulated radar data.
1. Introduction
Marine radars are mainly used for navigational pur-
poses, such as determining the location of coastlines and
hazards to navigation, and backscattered signals from
the ocean surface itself are undesirable for these pur-
poses. For that reason, horizontally polarized antennas
are used and methods of suppressing ‘‘sea clutter’’ sig-
nals are built into most commercial systems. However,
these signals also contain potentially useful information
about the sea state. The earliest attempts to quantify
and utilize this information involved the use of photo-
graphically recorded radar images, which were then
digitized and processed using rectangular Fourier
transform techniques (Young et al. 1985). Later, the
development of fast analog-to-digital conversion de-
vices allowed ‘‘raw’’ radar signals to be recorded (Nieto
Borge et al. 1999; Dankert and Rosenthal 2004). These
signals consist of the time histories of the backscattered
signals received from each transmitted pulse. The pulses
are transmitted and received from an antenna having a
narrow beamwidth in the horizontal direction, while the
antenna rotates about a vertical axis. Thus, the back-
scattered signals are resolved in the radial direction by
time-of-flight ranging methods and in the azimuthal di-
rection by recording the antenna rotation angle for each
transmitted pulse.
For conventional radars the signal is proportional to
the backscattered power. However, these radars can be
modified to measure the Doppler shift of the back-
scattered signals as well (e.g., Smith et al. 2013). At near
range, the backscattered power is primarily a function of
the radial component of the surface slope, although it
may also depend on other geophysical parameters. The
Doppler shift is a more direct measurement of the radial
component of the surface velocity. In both cases the
signal associated with a given wave component falls off
for look directions that are not parallel to the wave
propagation direction.
A methodology was proposed by Nwogu and Lyzenga
(2010) for obtaining surface elevationmaps fromDoppler
radar measurements by integrating the radial velocity in
the range direction to obtain an estimate of the velocity
potential function. The time derivative of the velocity
potential function can then be computed by frame dif-
ferencing to obtain the surface elevation using the dy-
namic free-surface boundary condition. To the extent
that the radial component of the surface slope can be
estimated from conventional marine radar images, the
same procedure could be used to estimate the surface
elevation by integrating the radial slope. The resultsmust
be interpreted with caution, however, because the qual-
ity of the estimate varies with position within the image.
To illustrate this, consider the case of a surface wave
or Fourier component with amplitude a and wave-
number k, propagating in the y direction. This wave
component can be described by the velocity potential
function
F(x, y, t)5Rehagiv
ei(ky2vt)i, (1)Corresponding author e-mail: David R. Lyzenga, lyzenga@
umich.edu
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DOI: 10.1175/JTECH-D-16-0158.1
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where v is the wave frequency and g is the gravitational
acceleration. The surface elevation is given by the dy-
namic free-surface boundary condition as
h(x, y, t)521
gF
t5Re[aei(ky2vt)] , (2)
and the components of the surface slope in the x and y
directions are hx 5 0 and
hy(x, y, t)5Re[iakei(ky2vt)] , (3)
respectively. The corresponding components of the
surface velocity are u5Fx 5 0 and
y(x, y, t)5Fy5Re
�agk
vei(ky2vt)
�. (4)
The radial components of the surface slope and velocity
are given by
hr5h
ycosf and F
r5F
ycosf , (5)
respectively, where f is the radar look direction relative
to the y axis. Measurements of hr and Fr also include a
random component, denoted by «s and «u, respectively,
due to system noise as well as contributions from other
waves. Thus, we can model the radar signals as
~hr(x, y, t)5Re[iakei(ky2vt)] cosf1 «
s(6)
for the ‘‘conventional’’ radar case, and
~Fr(x, y, t)5Re
�agk
vei(ky2vt)
�cosf1 «
u(7)
for the Doppler radar case. It is apparent that the signal-
to-noise ratio goes to zero as f approaches p/2 in both
cases. This is not a problem in principle for the estima-
tion of wave spectra, provided there are no obstructions
in the radar field of view, but it means that there are
locations in the radar image where the wave field cannot
be accurately measured regardless of the method used.
Furthermore, if there are waves propagating over a wide
range of angles, there is no location in the image where
the instantaneous wave field is accurately measured.
The solution, as discussed below, is to use the mea-
surements to predict the wave field some tens of seconds
into the future.
2. Polar Fourier transform processing
Fourier methods are useful not only for computing the
wave spectrum but also for predicting the phase-resolved
wave field, because each Fourier component propagates
at a different velocity. Conventionally, this has been
done by resampling a portion of the data into rectan-
gular coordinates and using a 2D FFT. However, an
alternative method for computing the Fourier transform
turns out to be especially useful for processing marine
radar data. Consider the ordinary two-dimensional
Fourier transform of the function f (x, y),
F(kx, k
y)5
ðLx
2Lx
ðLy
0
w(x, y)f (x, y)e2i(kxx1kyy) dx dy, (8)
where w(x, y) is a weighting or aperture function. The
Fourier transform along the ky axis (kx 5 0) is given by
F(0, ky)5
ðLx
2Lx
ðLy
0
w(x, y)f (x, y)e2ikyy dx dy. (9)
This calculation can be repeated for other coordinate
system orientations, as illustrated in Fig. 1, and the re-
sults can be written as
F(k,f)5
ðLx
2Lx
ðLy
0
w(x, y)f (x, y)e2iky dx dy, (10)
where f represents the orientation of the y axis relative
to north. This integral is referred to in the following as
the polar Fourier transform (PFT). It can be evaluated
numerically by various methods, for example by pro-
jecting the input data onto the y axis and Fourier
transforming in the y direction using an FFT.
FIG. 1. Rotated coordinate system for wave measurements.
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Using the weighting function w(x, y)5xffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
(x2 1 y2)p 5
cosf0, the Fourier transform of the y component of the
surface velocity can be written as
Fu(k,f, t)5
ðLx
2Lx
ðLy
0
w(x, y)Fy(x, y, t)e2iky dx dy
5
ðLx
2Lx
ðLy
0
cosf0Fr(x, y, t)e2iky dx dy. (11)
The cosf0 weightingmatches the falloff in the envelope of
the radial velocity signal, as shown in (7), and therefore
minimizes the contribution of noise to the Fourier trans-
form (see, e.g., Turin 1960). Assuming that the weighting
function varies much more slowly than the surface eleva-
tion, the derivative of w can be neglected in comparison
with that ofF, and (11) can be integrated by parts to yield
Fu(k,f)5 ik
ðLx
2Lx
ðLy
0
w(x, y)F(x, y)e2iky dx dy. (12)
Thus, we can estimate the Fourier transform of the ve-
locity potential function as
Fp(k,f)[
ðLx
2Lx
ðLy
0
w(x, y)F(x, y)e2iky dx dy
51
ikFu(k,f, t). (13)
Computing the time derivative of the result then pro-
duces an estimate of the Fourier transform of the surface
elevation. To compute the time derivative, we note that
the amplitude of the Fourier transform varies more
slowly than its phase, so the time derivative ofFu(k, f, t)
can be approximated as
›
›tFu(k,f, t)’ ivF
u(k,f, t), (14)
where v is the frequency of the wave component with
wavenumber (k, f). This frequency can in turn be esti-
mated as
v5 arg[C(k,f, t)]/Dt , (15)
where C(k, f, t) is the conjugate product of successive
frames, that is,
C(k,f, t)5Fu*(k,f, t2Dt)F
u(k,f, t), (16)
and Dt is the time interval between frames, or the an-
tenna rotational period. Frequency ambiguities occur
when the phase of the conjugate product C(k, f, t) is
near p. Two methods have been investigated for
removing these ambiguities. The first method is to
‘‘unwrap’’ the phase of C(k, f, t), by stepping through k
at each f, and adding or subtracting 2p to the phase
whenever the change in phase (from k to k1Dk) is
smaller than2p or larger than p. The second method is
to compute the group velocity,
dv
dk5
1
iDtC
n*(k,f, t)
›Cn
›k, (17)
where Cn(k, f, t) is the normalized conjugate product,
that is,
Cn(k,f, t)5
C(k,f, t)
jC(k,f, t)j5 exp(ivDt) . (18)
The group velocity is not subject to ambiguity prob-
lems, although it is sensitive to noise. The sign of the
group velocity can thus be used to determine the wave
propagation direction for each wavenumber, that is,
to discriminate between approaching and receding
waves.
Combining (13) and (14), and using the dynamic free-
surface boundary condition (2), the PFT of the surface
elevation can be estimated as
Fh(k,u, t)52
v
gkFu(k,f, t). (19)
Wavenumber samples with v, 0 or ›v/›k, 0 are reset
to zero to produce a one-sided PFT containing only
approaching waves.
It should be noted that for typical marine radar an-
tenna heights, Doppler signals become noisy and diffi-
cult to interpret at range distances larger about 1 km due
to wave shadowing effects. At near range, the signals
may be corrupted by returns from the ship itself. To
remove these effects, the observed velocities are set to
zero for range distances less than a few hundred meters
and larger than a kilometer or so. The consequences of
this are discussed below.
3. Surface elevation spectrum
The wave height variance spectrum is conventionally
defined as
S(k,f)51
(2p)2AhjF
h(k,f)j2i, (20)
where A is the effective measurement area. This defi-
nition makes the integral of the spectrum over all
wavenumbers equal to the variance of the surface ele-
vation. In our case, the measurement area is limited by
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the minimum and maximum range distances (r1 and r2)
over which useable Doppler signals can be measured
and is modified by the square of the weighting function
w(x, y) discussed above. Since the Fourier transform is
squared to obtain the spectrum, the effective area for
our measurement is
A5
ðr2r1
ðp/22p/2
cos4f0r dr df0 5 3p(r22 2 r21)/16. (21)
In addition, when the wave frequency or group velocity is
used to remove receding waves, the energy or variance in
the spectrum is reduced by a factor of 2. The one-sided
spectrum is therefore doubled in order to make the in-
tegral over all wavenumbers equal to the elevation vari-
ance. Thus, the surface elevation spectrum is calculated as
S(k,f)58
3p3(r22 2 r21)hjF
h(k,f)j2i. (22)
4. Surface reconstruction
The surface elevation is obtained by inverse Fourier
transforming Fh(k, f, t), but the effect of the weighting
function must be taken into account in the interpretation
of the results. The inverse transform can be calculated by
resampling Fh(k, f, t) onto a rectangular coordinate sys-
tem (kx, ky), where kx 5 k sinf and ky 5 k cosf, that is,
h(x, y, t)51
2p2
ððFh(k
x,k
y, t)ei(kxx1kyy) dk
xdk
y. (23)
For simplicity, continuous notation is used here with
unspecified limits of integration but, in fact, the inverse
transform is evaluated as a sum over the available
wavenumber samples. Alternatively, the inverse trans-
form can be computed in polar wavenumber space as
h(r,f0, t)51
2p2
ððFh(k,f, t)eikr cos(f2f0)k dk df. (24)
The former procedure is advantageous if the surface
elevation is to be computed on a rectangular grid, since
FFT methods can be used to evaluate (23), but the sec-
ond procedure may be useful if the elevation is needed
over only a few points, since (24) can be evaluated di-
rectly without resampling the Fourier transform data.
In either case, the surface can be evaluated at times
other the measurement time by appropriately adjusting
the phases of the Fourier coefficients, that is,
h(x, y, t0)51
2p2
ððFh(k
x, k
y, t)ei[kxx1kyy1v(t02t)] dk
xdk
y.
(25)
The Fourier transform (Fh) was calculated using the
effective weighting or aperture function,
w2(r,f0)5 cos2(f2f0)rect(r, r1, r
2), (26a)
where
rect(r, r1, r
2)5
�1 r
1, r, r
2
0 elsewhere. (26b)
This weighting also appears in the inverse transform,
which means that different wave components will appear
in different parts of the image. Thus, for example, if there
is a locally generated wave field propagating eastward
and a swell propagating northward (a typical situation for
coastal California), the wind waves will appear in the
western portion of the reconstructed wave field and the
swell will appear in the southern portion of the image.
However, if the reconstructed wave field is propagated
forward in time, these waves will converge in the region
near the radar to produce a more complete and accurate
representation of the wave field in that region than is
contained in a reconstruction at the time of the mea-
surement. This effect is illustrated in the simulation results
presented in the following section.
5. Simulation results
Numerical simulations are a useful supplement to field
testing for validation purposes, since environmental
conditions, radar system parameters, and noise levels
can be arbitrarily changed. Also, estimated variables can
be directly compared with the assumed inputs, so that
measurement errors are not an issue. In fact, there are
no alternative technologies for full-scale spatial and
temporal measurements of ocean surface wave fields, so
empirical validations are limited to point measurements
(as provided by wave buoys) or two-dimensional snap-
shots (as provided by airborne lidar, for example). The
value of simulations depends on the accuracy and
comprehensiveness of the models used for generating
the simulated signals, so field measurements are also
required to fully evaluate the methodology. In the fol-
lowing, the methodology is illustrated for one set of
conditions. Further insights could be gained by system-
atically varying the environmental conditions and radar
system parameters, but a comprehensive study of that
sort is beyond the scope of the present paper.
The simulation model used here contains many approx-
imations but appears to adequately reproduce the statistics
of the observedmarine radar signals at vertical polarization.
First, a time-evolving ocean surface is generated by
selecting a set of Fourier coefficients consistent with a
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JONSWAP-type spectrum. The wavenumber magni-
tude and direction of each coefficient are chosen at
random by treating the spectrum as a probability
density function, and the amplitude of each is chosen
from a Rayleigh distribution with a mean equal to the
square root of the spectral density at the chosen
wavenumber. The phases are chosen from a uniform
distribution and are advanced between time samples.
The surface elevation and radial velocity are then
calculated at each output range and azimuth sample
location by summing over the Fourier coefficients.
The effects of unresolved waves are simulated by
adding a random component to the calculated radial
velocity, the random samples being selected from a
Gaussian distribution with a standard deviation
sy 5 (2ktc)21, where k5 2p/l is the electromagnetic
wavenumber and tc is the coherence time.
To model coherent speckle effects, the received
power is calculated as p52p log(z), where z is a
uniformly distributed random variable. The expected
value of the backscattered power is calculated as
p5 SNR(r/ro)23, where SNR is the signal-to-noise ratio
at the range distance ro. The assumed r23 dependence
of the mean backscattered power is roughly in accord
with our (vertically polarized) observations, although
the exact falloff depends on the wind speed and wave
conditions.
Wave shadowing is included by computing the local
depression angle q5 sin21[(h2h)/r] at each range
sample location, where h is the antenna height, h is the
surface elevation, and r is the range distance. Starting at
near range, the depression angle at each sample is
compared with the minimum angle encountered so far.
If q is greater than qmin, then the current point is con-
sidered to be geometrically shadowed, otherwise qmin is
set to the current value. At the shadowed locations, the
received power is set to zero.
Combining these effects, the complex received signal
is calculated as
s(t)5ffiffiffip
pexp(i2kyt)1 «
n, (27)
where y is the radial velocity and «n is a complex nor-
mally distributed random variable with zero mean and
unit variance representing the effects of thermal noise.
The Doppler frequency is defined as the rate of change
of the phase of this signal, that is,
vd5 arg[s*(t2 dt)s(t)]/dt , (28)
where dt5 1/PRF is the time between pulses. Dividing
the Doppler frequency by 2k results in the estimated
radial velocity that is used as the input data for the
methodology described in this paper.
The performance of the processing methodology un-
der bimodal wave conditions is illustrated by combining
two sets of Fourier coefficients: the first set is selected
TABLE 1. Radar parameters used in the simulations.
Radar frequency 9.41GHz
Pulse repetition frequency 2000. Hz
Range resolution 10. m
Range sample spacing 3.75m
No. of range samples 1024
Horizontal beamwidth 1.8Azimuth sample spacing 1.8Antenna rotational period 2.5 s
Antenna height 30. m
Near-range SNR 50. dB
Signal coherence time 0.01 s
FIG. 3. Square root of the estimated wave height spectrum.
FIG. 2. Square root of the input wave height spectrum.
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from a JONSWAP spectrum with a peak wavelength of
240m and a peak wave direction of 1808T, and the sec-
ond has a peak wavelength of 100m and a peak direc-
tion of 3158T. The coefficients were scaled to produce
a significant wave height of 1m for each mode. The
2D surface elevation spectrum calculated from these
coefficients is shown in Fig. 2 (note this plot indicates
the direction waves are coming from, rather than
propagating toward).
These coefficients were used, along with the radar
parameters shown in Table 1, to generate a simulated
Doppler radar dataset consisting of 200 frames, each
frame corresponding to one antenna rotation or 2.5 s of
data. The radar parameters in Table 1 were chosen to
represent the radar system used in previous field studies
(Lyzenga et al. 2010; Lyzenga andNwogu 2010; Lyzenga
et al. 2015). The simulated dataset was then processed
using the procedures described in sections 2 and 3. The
PFT of the Doppler data, Fu(k, f, t), was calculated
over range samples 16–256 (60–960m). The wave fre-
quency was calculated for each wavenumber sample and
was exponentially filtered using a filter length of four
frames. The PFT of the radial velocity was converted
into the one-sided PFT of the surface elevation,
Fh(k, f, t), using the group velocity criterion ›v/›k, 0
to eliminate receding waves.
The wave height spectrum was calculated from (22)
and averaged over the first 12 frames, with the result
shown in Fig. 3. The estimated spectrum agrees well
with the input spectrum (Fig. 2), making allowances for
the expected spectral blurring due to the finite measure-
ment region. In particular, the correct propagationdirection
FIG. 4. (a) Instantaneous surface elevation calculated from the
first radar frame, at t5 t0. (b) Surface elevation calculated from the
same data at t 5 t0 1 30 s.
FIG. 5. (a) Surface elevation calculated from the first radar
frame, at t 5 t0 1 60 s. (b) Input surface elevation at the same
time as (a).
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is selected for both wave systems, and the significant wave
height is reproduced to within a few percent.
The phase-resolved surface elevation was then cal-
culated from (25) at various times, as shown in Figs. 4
and 5 . Figure 4a shows the surface elevation calculated
from the first radar frame, at the measurement time for
this frame (t0). This plot shows the effect of the
weighting function discussed at the end of section 4, with
the longer waves appearing at the bottom of the image
and the shorter wave system appearing on the left side.
Figure 4b shows the surface elevation calculated from
the same data but 30 s later, that is, at t5 t0 1 30 s.
Figure 5a shows the surface elevation at t5 t0 1 60 s, and
Fig. 5b shows the input surface elevation at the same
time. At 30 s both wave systems have propagated closer
to the origin, and at 60 s both systems have converged to
produce a reasonably complete reconstruction of the
wave field near the center of the image (i.e., the radar
location).
A more quantitative comparison of the input and
output surface elevations at the radar location is shown
in Fig. 6. In this case data from all 200 frames are used,
and the surface elevation is calculated at a time corre-
sponding to 60 s after the collection time (this is referred
to as the forecast horizon in the following discussion).
The solid line in this plot is the surface elevation calculated
from the simulated radar data, and the dashed line is the
‘‘actual’’ or input surface elevation at the same time. The
correlation coefficient between the input and estimated
surface elevations is 0.96, and the rms error is 0.10m for
these data.
These calculations were repeated for values of the
forecast horizon from 0 to 120 s, and the correlation
coefficient was calculated for each case, with the results
shown in Fig. 7. Also shown is the ratio of the rms sur-
face elevations for the estimated and input data at the
radar location, and a quantity referred to as the average
weighting function. The latter is obtained by tracing
each wave component (Fourier coefficient) back to its
location at the time of the measurement, computing the
weighting function (26a) at that location, and summing
over all wave components. The value of this average
weighting function tracks the correlation coefficient
fairly well. The significance of this is that the weighting
can be computed independently of any surface truth
data, and it can be used to predict the locations and
times where the wave field is expected to be accurately
reconstructed.
6. Summary and conclusions
Shipboard Doppler radar data can be processed us-
ing the methods described in this paper to produce
estimates of the directional wave spectrum and to re-
construct the wave surface in the vicinity of the ship.
Because the surface may not be observable at very
near range due to interference from the ship itself,
short-term predictions are frequently more accurate
than instantaneous reconstructions at the ship’s loca-
tion. The spatiotemporal region over which the pre-
dictions are valid can be computed by spatially
translating the PFT weighting function using the wave
group velocity, and averaging over all wave compo-
nents. The maximum prediction interval, or forecast
horizon, depends on the maximum range of the
Doppler measurements, which is ultimately limited by
wave shadowing and azimuthal resolution effects. The
FIG. 6. Input and radar-estimated surface elevation at ship.
FIG. 7. Correlation coefficient, rms ratio of input and estimated
surface elevations, and mean weighting function at ship.
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maximum range is on the order of 1 km for typical
antenna heights. The maximum range for back-
scattered power signals is larger, because wave shad-
owing effects produce strong modulations of the
backscattered power and are therefore beneficial
rather than detrimental for wave imaging. However,
the relationship between the wave height and the
backscattered power—that is, the modulation transfer
function—is not always predictable. The solution may
be to use near-range Doppler measurements to de-
termine the statistics of the wave field and use these
statistics to infer the modulation transfer function for
the backscattered power.
Acknowledgments. This work was supported by
ONR contracts N00014-05-1-0537 and N00014-11-D-0370.
The author thanks Prof. Robert Beck for coordinating
these projects and Dr. Okey Nwogu for his insights and
discussions on the subject matter of this paper. Prof. Joel
Johnson and colleagues are also thanked for their experi-
mental contributions to both projects.
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