Beamforming for Direction-of-Arrival (DOA) Estimation-A Survey

International Journal of Computer Applications
© 2013 by IJCA Journal
Volume 61 - Number 11
Year of Publication: 2013
V Krishnaveni
T Kesavamurthy
Aparna. B

V Krishnaveni, T Kesavamurthy and Aparna. B. Article: Beamforming for Direction-of-Arrival (DOA) Estimation-A Survey. International Journal of Computer Applications 61(11):4-11, January 2013. Full text available. BibTeX

	author = {V Krishnaveni and T Kesavamurthy and Aparna. B},
	title = {Article: Beamforming for Direction-of-Arrival (DOA) Estimation-A Survey},
	journal = {International Journal of Computer Applications},
	year = {2013},
	volume = {61},
	number = {11},
	pages = {4-11},
	month = {January},
	note = {Full text available}


Direction-of-Arrival (DOA) estimation plays a vital role in many applications. Beamforming is the most prominent technique to estimate DOA. In this survey, a study of various beamforming techniques and algorithms to estimate the direction of arrival of a signal is made. An assessment on the background robust algorithms using Nyquist sampling rate and its Compressive sensing alternative is done. It is known that Bearing estimation algorithms obtain only a small number of direction of arrivals (DOAs) within the entire angle domain, when the sources are spatially sparse. Hence, it may be concluded that, the methods those specifically exploits this spatial sparsity property is advantageous. These methods use a very small number of measurements in the form of random projections of the sensor data along with one full waveform recording at one of the sensors.


  • Barry D. Van Veen and Kevin M. Buckley, "Beamforming: A Versatile Approach to Spatial Filtering", IEEE ASSP magazine April 1988.
  • H. Van Trees, Optimum Array Processing. New York: Wiley, 2002, sec. Part IV of "Detection, Estimation and Modulation Theory".
  • Mestre and Lagunas': "Finite Sample Size Effect on Minimum Variance Beamformers: Optimum Diagonal Loading Factor for Large Arrays" IEEE Trans. Signal Processing, Vol. 54, No. 1, Jan 2006.
  • H. Cox, R. M. Zeskind, and M. H. Owen, "Robust adaptive beamforming," IEEE Trans. Acoust. , Speech, Signal Processing, vol. 35, Oct. 1987.
  • B. D. Carlson, "Covariance matrix estimation errors and diagonal loading in adaptive arrays," IEEE Trans. Aerosp. Electron. Syst. , vol. 24, July 1988.
  • L. Chang and C. C. Yeh, "Performance of DMI and eigenspace-based beamformers," IEEE Trans. Antennas Propagation, vol. 40, Nov. 1992.
  • M. H. Er and A. Cantoni, "Derivative constraints for broadband element space antenna array processors," IEEE Transactions on Antennas and Propagation, vol. ASSP-31, no. 6, December 1983.
  • O. L. Frost III, "An algorithm for linearly constrained adaptive processing," Proc. IEEE, vol. 60, Aug. 1972.
  • A. B. Gershman, G. V. Serebryakov, and J. F. Bohme, "Constrained Hung-Turner adaptive beamforming algorithm with additional robustness to wideband and moving jammers,"IEEE Transactions on Antennas and Propagation, vol. AP-44,March 1996.
  • R. Li, X. Zhao, and X. W. Shi ,"Derivative Constrained Robust LCMV Beamforming Algorithm" , Progress In Electromagnetics Research C, Vol. 4, 2008.
  • S. Shahbazpanahi, A. B. Gershman, Z. -Q. Luo, and K. M. Wong, "Robust adaptive beamforming for general-rank signal models," IEEE Trans. Signal Processing,Vol. 51, Sept. 2003.
  • R. G. Lorenz and S. P. Boyd, "Robust minimum variance beamforming," IEEE Trans. Signal Processing, vol. 53, May 2005.
  • J. Li, P. Stoica, and Z. Wang. On robust capon beamforming and diagonal loading. IEEE Trans. SignalProc. , 51, July 2003.
  • J. Li, P. Stoica, and Z. Wang. Doubly constrained robust capon beamformer. IEEE Trans. Signal Processing, 52(9): Sep. 2004.
  • Xin Song, Jinkuan Wang, Bin Wang, Yinghua Han, "Robust Adaptive Beamforming under in the Presence of Mismatches", Proceedings of the IEEE International Conference on Automation and Logistics, August 2009. .
  • E. W. Vook and R. T. Compton, Jr. , "Bandwidth performance of linear adaptive arrays with tapped delay-line processing," IEEE Transactions on Aerospace and Electronic Systems, vol. 28, no. 3, July 1992.
  • M. Rubsamen and A. B. Gershman, "Robust presteered broadband beamforming based on worst-case performance optimization," in Proc. IEEE Workshop on Sensor Array and Multichannel Signal Processing, July 2008.
  • Yong Zhao, Wei Liu; Langley, R. J, "Robust Broadband Beamforming Based on Frequency Invariance Constraints and worst-case Performance Optimization", Proceedings of the 4th International Symposium on Communications, Control and Signal Processing, March 2010.
  • Yong Zhao, Wei Liu; Langley, R. J, "Adaptive Wideband Beamforming With Frequency Invariance Constraints", IEEE Transactions on Antennas and Propagation, Volume:59, Issue 4,April 2011
  • J. Capon, ". High resolution n frequency wavenumber spectrum nalysis" Proc. IEEE, August 1969.
  • R. T. Lacoss. Data adaptive spectral analysis methods. Geophysics, ~01. 36, p. 661, 1971.
  • Vaidhyanathan & Buckley, " Performance analysis of MVDR spatial spectrum estimator", IEEE transactions on Signal processing, June 1995.
  • V U. Reddy, A. Paulraj, and T. Kailath, "Performance analysis of the optimum beamformer in the presence of correlated sources and its behavior under spatial smoothing," IEEE Trans. Acoust. , Speech, Signal Processing, vol. ASSP-35, July 1987.
  • K J. Raghunath, and V. U Reddy, "Finite Data Performance Analysis of MVDR Beamformer with and without Spatial Smoothing" IEEE Transactions On Signal Processing, Vol. 40, NO. 2 , Nov 1992.
  • Vorobyov, S. , Gershman, A. , and Luo, Z. : 'Robust adaptive beamforming using worst-case performance optimization: A solution to the signal mismatch problem', IEEE Trans. Signal Process. , vol 51,No. 2, , Feb 2003.
  • S. A. Vorobyov, A. B. Gershman, Z-Q. Luo, and N. Ma, "Adaptive beamforming with joint robustness against mismatched signal steering vector and interference nonstationarity,"IEEE Signal Processing Lett. , vol. 11, Feb. 2004.
  • R. 0. Schmidt, " Multiple emitter location and signal parameter estimation" IEEE Trans. Antennas Propag. , vol. AP-34, pp. 276-280, March 1986.
  • G. Bienvenu and L. Kopp. , "Optimality of high resolution array processing using the eigensystem approach", IEEE Trans. Acoust. , Speech, Signal rocess, vol. ASSP-31, pp. 1234-1248, October 1983.
  • B. D. Rao and K. V. S. Hari, " Performance analysis of root-MUSIC" IEEE Trans. Acous t. , Speech, Signal Process. , vol. ASSP-37, pp. 1939-1949, December 1989.
  • M. Pesavento, A. B. Gershman, and M. Haardt, ". Unitary MUSIC with real valued eigen decomposition: A theoretical and experimental study", IEEE Trans, signal process, May 2000
  • R. Roy and T. Kailath, " ESPRIT: Estimation of signal parameters via rotational invariance techniques" , IEEE Trans. Acoust. , Speech, Signal Process, vol. ASSP-37, pp. 984-995, July 1989.
  • R. Roy, " ESPRIT: Estimation of Signal Parameters via Rotational Invariance Techniques", Ph. D. Dissertation, Stanford University, Stanford, California, 1987.
  • X. L. Xu and K. M. Buckley, " Bias analysis of the MUSIC location estimator", IEEE Trans. Acoust. , Speech, Signal Process. , vol. ASSP-40, pp. 2559-2569, October 1992.
  • Lotfi Osman, " Comparative Study of High-Resolution Direction-of-Arrival Estimation Algorithms for Array Antenna System", International Journal of Research and Reviews in Wireless Communications (IJRRWC) Vol. 2, No. 1, March 2012.
  • R. Roy, A. Paulraj, and T. Kailath,. " ESPRIT-A subspace rotation approach to estimation of parameters of cisoids in noise", IEEE Trans. Acoust. , Speech, Signal Process. , vol. ASSP-34, pp. 1340-1342, October 1986.
  • R. Roy and T. Kailath, "ESPRIT-Estimation of signal parameters via rotational invariance techniques", In E. F. Deprettere, editor, Singular Value Decomposition and Signal Processing North-Holland, Amsterdam, The Netherlands, September 1987.
  • Jihao Yin and Tianqi Chen, "Direction of Arrival Estimation Using a Sparse Representation of Array Covariance Vectors", IEEE Transactions on Signal processing, Vol. 59, No. 9, September 2011.
  • D Malioutov, M Cetin and AS Willsky, " A Sparse signal reconstruction perspective for source localization with sensor arrays", IEEE Transactions on Signal processing, vol. 53,no 8, Aug 2005.
  • D. Donoho, "Compressed sensing", IEEE Trans. on Information Theory, pp. 1289-1306, Apr. 2006.
  • R. Baraniuk and P. Steeghs, "Compressive radar imaging," in IEEE Radar Conf. , 2007, pp. 128–133.
  • Emmanuel J. Candès and Michael B. Wakin, "An introduction to Compressive Sampling ", IEEE signal processing Magazine, March 2008.
  • V. Cevher, A. Gurbuz, J. McClellan, and R. Chellappa, "Compressive wireless arrays for bearing estimation", ICASSP 2008, pp. 2497-2500, March 31 2008-April 4, 2008.
  • A. Gurbuz, J. McClellan, and V. Cevher, "A compressive beamforming method", ICASSP 2008, pp. 2617-2620, March 31 2008-April 4, 2008.
  • Fuchs, J. J, "On the application of the global matched filter to DOA estimation with uniform circular arrays. " IEEE Transactions on Signal Processing, 49 (2001).
  • Malioutov, D. , Cetin, M. , and Willsky, " A sparse signal reconstruction perspective for source localization with sensor arrays. " IEEE Transactions on Signal Processing, 53, 8 (2005), 3010—3022.
  • Model, D. and Zibulevsky M. "Signal reconstruction in sensor arrays using sparse representations. " Signal Processing, 86 (2006), 624—638.
  • Wang, Y. , Leus, G. , and Pandharipande, "A. Direction estimation using compressive sampling array processing. ", In Proceedings of the IEEE/SP 15th Workshop on Statistical Signal Processing, Aug. 2009, 626—629.
  • I. Bilik, "Spatial Compressive Sensing for Direction-of-Arrival Estimation of Multiple Sources using Dynamic Sensor Arrays" IEEE Proceedings 2011.