阵列信号处理是现代声纳设备的核心功能之一。通过接收阵列的信号处理，可以获取空间指向性增益，提高空间分辨和干扰抑制能力，实现对目标的检测与跟踪、方位与距离估计；通过发射阵列的信号处理，可以获取具有一定时延差或相位差的阵元信号，从而形成指向性发射波束，提高声源级；通过空-时自适应处理，可以提高对弱目标的检测能力。近年来，声纳技术不断发展，出现了多线列阵声纳、连续波声纳、MIMO声纳等新体制声纳以及自适应盲处理、时反处理、矢量信号处理、鲁棒性波束形成、模基信号处理等新型处理算法，这些都是声纳阵列信号处理的发展与丰富。本书深入、系统地介绍了可应用于实际声纳设备的阵列信号处理技术，在简单的原理接收基础上又大量的计算机模拟仿真及湖、海试实际数据的处理结果。另外本书有较大篇幅的声纳阵列信号处理领域的新技术介绍。

阵列信号处理是现代声纳设备的核心功能之一。通过对接收阵列的信号处理，可以获
取空间指向性增益，提高声纳作用距离，实现对目标的检测与跟踪、方位与距离估计；通
过发射阵列的信号处理，可以获取具有一定时延差或相位差的阵元信号，从而形成指向性
发射波束，提高声源级；通过空时自适应处理，可以提高对弱目标的检测能力。近年来，
声纳技术不断发展，出现了多线列阵声纳、连续波主动声纳、MIMO 声纳等新体制声纳及
自适应盲处理、时反处理、矢量信号处理、鲁棒性波束形成、模基信号处理等新型处理算
法，这些都是声纳阵列信号处理的发展与丰富。
本书作者一直从事水声及水声对抗技术研究和装备研制工作，在长期工作和学习中积
累了较丰富的理论知识和工程经验，现将多年来在阵列信号处理方面的研究成果进行提炼
和总结，形成本书。本书分为基础理论、阵列应用和新技术研究三个部分。基础理论部分
（第1～3 章）介绍了海洋信道中的声场模型、基阵理论基础和阵列信号模型，是各种阵列
信号处理技术研究的理论基础。阵列应用部分（第4～8 章）分别介绍了矢量水听器及阵处
理、自适应波束形成与噪声抵消、声纳被动定位、目标运动分析、空时自适应处理技术和方
法，是阵列信号处理的具体应用和实践。第9 章新技术研究部分介绍了模基信号处理、MIMO
声纳处理、连续波主动声纳处理技术的原理和方法，是阵列信号处理的重要发展方向。
本书试图将阵列信号处理的理论模型和工程应用结合起来，侧重于实用。希望对从事
水声及水声对抗技术研究和装备研制的科研人员有所帮助。本书可作为水声工程、信号处
理等专业研究生教材，也可作为声纳设备设计人员开展相关研究工作的参考。
本书在撰写过程中，得到了姚蓝教授、惠俊英教授、王广恩研究员等老一辈水声行业专家的
指导，并提出十分关键的修改意见，在此向他们表示崇高的敬意和衷心的感谢。本书的研究
工作得到水声对抗技术重点实验室孟昭文主任的大力支持，刘本奇、蒋小勇、潘谢帆、谭君
红等参与了有关章节的研究工作，在此一并表示感谢。
由于作者水平有限，书中难免有不妥之处，敬请读者批评指正。
作者
2017 年4 月

杜选民，1970年9月出生，研究员/博士生导师，毕业于哈尔滨工程大学，获水声工程专业博士学位。现担任中国船舶重工集团公司第七二六研究所副所长、水声对抗技术重点实验室副主任、水声对抗技术重点实验室学术委员会副主任委员、水声对抗国防科技创新团队带头人、上海市声学学会理事、《声学学报》《声学技术》《舰船科学技术》编委会委员。从事水声及水声对抗技术研究工作20余年，主持研制了舰用鱼雷报警声纳、舰水声对抗系统、港口近程水下警戒探测系统等装备，均填补国内空白，获国防科技进步一等奖2项、二等奖2项、三等奖2项。在国内首次解决了拖线阵左右舷分辨、高速运动目标自适应检测与识别、非线性声纳工程应用等关键技术。入选国家新世纪百千万人才工程、国防科技工业511人才工程、国防科技工业有突出贡献中青年专家、上海市领军人才。

第1 章 声场概述············································································································1
1.1 引言···························································································································· 1
1.2 声波的基本概念········································································································ 1
1.3 声学基本物理量········································································································ 1
1.4 理想流体介质中小振幅波传播的基本规律······························································ 2
1.4.1 理想流体介质······································································································· 2
1.4.2 连续性方程·········································································································· 3
1.4.3 状态方程············································································································· 3
1.4.4 运动方程············································································································· 4
1.4.5 波动方程············································································································· 4
1.4.6 速度势函数·········································································································· 4
1.4.7 亥姆霍兹方程······································································································· 5
1.4.8 三种不同坐标系下亥姆霍兹方程求解····································································· 5
1.4.9 线性滤波器理论框架下波动方程求解····································································· 9
1.4.10 介质特性阻抗··································································································· 11
1.5 分层介质中的波传播······························································································· 11
1.5.1 平行平面层中波传播的一般关系·········································································· 11
1.5.2 边界条件··········································································································· 12
1.5.3 硬底均匀浅海声场······························································································ 12
1.5.4 液态海底均匀浅海声场······················································································· 14
1.6 声场传播基本模型··································································································· 15
1.7 声学工具·················································································································· 16
1.8 本章小结·················································································································· 17
参考文献······························································································································17
第2 章 基阵理论基础···································································································18
2.1 引言·························································································································· 18
2.2 基阵的主要性能参数······························································································· 18
2.2.1 常见的基阵类型································································································· 18
2.2.2 主要性能参数····································································································· 18
2.3 均匀线列阵·············································································································· 21
2.3.1 基阵响应（指向性函数） ···················································································· 22
2.3.2 乘积定理··········································································································· 24
2.3.3 幅度加权··········································································································· 25
2.3.4 波束扫描··········································································································· 25
2.3.5 离散空间傅里叶变换··························································································· 27
2.3.6 宽带声源······························