621.396.

677

The Institution of Electrical Engineers Monograph No. 479E Nov. 1961

SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS

With Special Reference to Superdirectivity and Reciprocity By Professor D. G. TUCKER, D.Sc, Member.
(Thepaper wasfirstreceived 6tli June, and in revised form 15th August, 1961. It was published as an INSTITUTION MONOGRAPH in November, 1961.)

SUMMARY Previous proposals that a directional receiving array of given directional response can be made either from a number of receiving elements with a single narrow-band signal, or from two receiving elements with a signal comprising a number of separate narrow frequency bands, are examined from the points of view of the exactness of the equivalence and of the application of superdirectivity. It is concluded that no exact equivalence exists in practical terms, but that superdirectivity can certainly be obtained by the second method, as well as by the first. The application of the second method to a transmitting array is shown to be possible, and the law of reciprocity may be made to hold to a limited extent; but multi-frequency twoelement transmitters and receivers cannot work together in the way in which multi-element single-frequency transmitters and receivers can. LIST OF SYMBOLS 6 = Angle between direction of received signal wave (assumed a plane wave) and axis of array. (f) = (TrdjX) sin 8 = Corresponding electrical phase angle. d = Spacing of elements of array. A = Wavelength in the medium. a = Phase shift of signal in medium between transmitter and receiver, along the path to the mid-point of the array. s = Odd integer. m = Any integer. r = Highest order of harmonic. n = 2r + 1. cop Angular frequency of fundamental component of signal. (1) INTRODUCTION The idea of space-frequency equivalence, i.e. that a directional receiving array of given directional response can be made either from a number of receiving elements with a signal comprising a single frequency (or a single fairly narrow signal band), or from two receiving elements with a signal comprising a number of separate frequencies (or separate narrow signal bands), has been put forward recently by Kock and Stone1 and by Welsby.2 The basic reasoning is simple; in the latter case, the effect of a line of spaced elements is obtained by using the two elements at a number of frequencies, for each of which the element spacing is a different number of wavelengths. Both the previous publications, however, describe systems in which the signals in the two elements of the multi-frequency array are multiplied together, and the product is filtered so that the output signal is 'd.c' and the variation of output with direction of reception includes reversal of polarity between the main lobe and the adjacent secondaries, and between one secondary lobe and another. Moreover, the output-signal amplitude bears a square-law relationship to the received signal. In the ordinary multielement single-frequency array, however, the signals are added, so that the output is linearly related to the received signal and is at the carrier frequency; thus, after rectification, the variation of output with direction includes no reversal of polarity
Correspondence on Monographs is invited for consideration with a view to publication. Professor Tucker is Professor of Electrical Engineering, University of Birmingham.

although the directional variation of the signal before rectification does include phase reversals from one lobe to another. It can thus hardly be claimed that the analogy is exact. It is the object of the present paper to look at these proposals more closely, and to determine, among other things, how superdirectivity3"5 can be applied to the two-element multi-frequency array, and whether a more exact analogy is possible. It is true that Kock and Stone stated that superdirectivity could be applied, but they did not discuss the means of doing so. It will also become apparent that the multi-frequency array may have some practical advantages over the multi-element array. This will apply especially at very low frequencies where a directive multielement array may be prohibitively large and heavy. But the practical disadvantagesespecially those due to non-uniform transmission and reflection over the frequency bandmay outweigh the advantages. The analysis in the paper assumes continuous signals; transient effects are not examined. (2) MULTIPLICATIVE PAIRS OF ELEMENTS The scheme proposed by Kock and Stone and by Welsby is effectively that shown in Fig. 1 without the 'specialfilter',and
2 A s COS(su>pt+oc s ) 13

2E,COS(stL> p s-1 s CUT-OFF >rco D

2 E s COS(su) p t+cK s +

SPECIAL FILTER (SEE FIG. 2)

COS (soo-t+a MULTIPLIER

X
CUT-OFF J2

Fig. 1.Multi-frequency multiplicative pair (odd harmonics only). corresponds to a multi-element array with an even number of elements. The multi-frequency signal comprises a group of (r +l)/2 odd harmonics of the angular frequency a y The output, as a function of direction of the source, is
i-1,3,5,...

E2S c o s 2s<f>

where (f> = (Trd/X) sin 6

d = Spacing of the elements. A = Wavelength at angular frequency

[191]

192

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS

SIGNAL= 2 AmCOS(mo)pt+oCh1)

If all Es are constant, this becomes iE2 sin (r + l)0/sin <, the well-known form of directional response for a linear array of uniform sensitivity, except for a factor of 2 in the angular scale. The amplitude E2S determines the 'taper' of the array, and it is immediately clear that, if desired, this taper, although effective at the receiver, may be imposed at the transmitter (by giving different amplitudes to the transmitted signal components). This is a possibility which is not available with multi-element single-frequency arrays. It may also be imposed by connecting networks with suitable attenuation/frequency responses in each channel. But it should also be noted that, if the transmission properties of the medium (or the target strengths, when an echoranging system is involved) are different at the different frequencies, an unwanted taper function will be imposed. The problem of obtaining a superdirective response from this system may be complicated. If approached from the point of view that a particular number of frequencies (or pairs of elements in the corresponding multi-element array) is specified and a superdirective response is to be obtained from it, the problem reduces to (a) choosing a>p and d so that the number of wavelengths in d progresses by less than one wavelength for each step in s, i.e. the equivalent spatial elements are less than half a wavelength apart, and (b) reversing the polarity of alternate frequency components. The latter can be done by the use of a special filter in one channel, having a phase-shift/frequency characteristic progressing by rr radians per step in s, or some odd multiple of IT radians, as shown in Fig. 2. It is also necessary

EmCOS(mu>pt+am-m<*)

CUT-OFF

SPECIAL FILTER (SEE FIG. 4 )

MULTIPLIER

(-1) m E m COS (

X
CUT-OFF <u> D /4

2m*

Fig. 3.Multi-frequency multiplicative pair (odd and even harmonics).

Ul CC 4 r t

U -

(j

I2n _ to PHASE a

6n wu. 4n x

in

FREQUENCY

FREQUENCY

Fig. 4.Phase-shift/frequency requirement of specialfilterin Fig. 3. obtained as effectively as may be possible. The reversing of polarity between alternate elements is commonly thought to be the distinguishing feature of superdirective arrays; it is certainly consistent with the more fundamental conception that the main axial response of the array is, in fact, a fairly small peak midway between two much larger peaks at values of <f> which correspond to values of 6 outside the range of real angles (i.e. sin 0 > 1). The axial peak response is then given by the algebraic sum of the various elemental responses, while the large peaks are given by the sum of the moduli of the elemental responses; since the elements are less than half a wavelength apart, it is clear .that the large peaks cannot fall within the range of real angles. It is not necessary, however, that alternate frequencies or elements shall have reversed polarities. If the design of the array is approached still more fundamentally, one may suppose that a desirable directional pattern is specified, and a process of synthesis4-5 used to find a suitable 'taper' function, i.e. a suitable variation of sensitivity (and, in general, also phase) along the length of the array, which is assumed continuous for this purpose. If the directional response is symmetrical about the normal axis there will be no variation of phase; but if it is also superdirective, the sensitivity function will change polarity periodically along the length of the array. If an approximation to the required directional response is then obtained by using an array of the minimum possible number of elements, it is clear that these elements must be placed at the alternate positive

Fig. 2.Phase-shift/frequency requirement of specialfilterin Fig. 1. for the phase shift at frequency cup to be zero or a multiple of TT in order to preserve the even symmetry of the directional function. Unfortunately this type of characteristic is not very easily realized. An arrangement which may be more suitable for the application of superdirectivity is shown in Fig. 3. The difference is that all harmonics of cop are now transmitted. The special filter characteristic is now merely a linear phase-shift/frequency response, as shown in Fig. 4, which is readily achieved. It should be noted, however, that in the space-frequency equivalence, the use of all harmonics (without, of course, a zerofrequency component) corresponds to the omission of the central element of a multi-element array with an odd number of elements, and this has to be taken into account in designing the directivity function. Alternatively, the effect of the central element can be obtained by adding to the output of the multiplier a direct voltage derived from the square-law rectification of the output of one of the array elements. An alternative arrangement for an odd-harmonic transmission which presents no practical difficultyalthough it is complicated is shown in Fig. 5. Here each frequency is separately filtered out and multiplied in a separate channel. Thus polarity reversals and amplitude adjustments can be made without trouble. The basis of the above treatment is that the number of frequencies is specified and a superdirective response is then

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS

SIGNAL = 2 A s COSCsuxt + 06g)

193

ARRAY

E 3 COS(3cu p t+ oC3~3<f,)

ADDER

PHASE REVERSAL OF ALTERNATE INPUTS INSERTED IF SUPERDIRECTIVITY REQUIRED

CONSTANT] r 8d O R j - S M ) ' 2 ECOS2s<J> [iF SUPERDIRECTIVEJ S-1

Fig. 5.Multi-frequency multiplicative system with separate frequency channels.

and negative peaks of the sensitivity function. The common conception of a superdirective array as one with alternate elements in opposite phase is now seen to be the special case of the crudest approximation. A closer approximation to the required directional response may be obtained by using more elements, and then, clearly, two or more adjacent elements may have the same polarity, i.e. the alternations of polarity are between alternate groups of elements. If the more refined design process is applied to the multifrequency arrays, it is seen that, while the scheme of Fig. 5 is perfectly adapted to it, the simpler schemes of Figs. 1-4 are not. The design of a 'special filter' with phase-shift/frequency response such that the phase reverses only between groups of frequencies is clearly very complexalthough thefinishedsystem may be cheaper (in terms of components) than the scheme of Fig. 5 if the design problems do not prove insuperable. In all these systems, it is assumed that the modulation (or information) bandwidth around each frequency of the transmission is small compared with OJP. The condition of narrowband working is, in any case, inherent in superdirectivity; and in this respect, therefore, the multi-frequency system is at no disadvantage. It should be observed that, in the schemes of Figs. 1 and 3, the need to avoid overlapping of wanted and unwanted products limits the modulation bandwidths to copj2 and a)pl4 respectively, whether the array is superdirective or not. However, in the scheme of Fig. 5 this limit is removed, and
VOL. 109, PART C.

theoretically the whole frequency band may be used for information. It may be of some importance from the practical point of view that the use of superdirective multi-frequency arrays appears to reduce a difficulty which is thought to exist in designing superdirective multi-element arrays; this is the complication due to coupling between adjaceat elements which have to operate in anti-phase when spaced less than half a wavelength apart.12 On the other hand, it is unlikely that practical circumstances will often permit a constancy of the relative levels of the received signal-frequency bands sufficient to enable any very great degree of superdirectivity to be achieved. It is clear that the multiplicative-pair multi-frequency system is applicable only for receiving. There is no corresponding system for obtaining a directional transmission. It is also of importance in assessing the space-frequency equivalence as an analogy to note that, not only do the absence of a corresponding transmitter and the square-law dependence on signal amplitudes spoil the possible analogy with an ordinary multi-element single-frequency array, but the multi-frequency multiplicative pair as described above does not even give the same directional response as a multi-element multiplicative array.6 The reason for this latter difference is that, in the multi-element single-frequency multiplicative array, the signals in each of the two sections are added to form their own directional response before multiplication introduces its further effects. 7

194

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS

SIGNAL=2 A m COS(mco,,t+a m )

E,COS(co E 2 COS(2c

E,COS(oopt

COS(to t-o^

COS(co t - a , + a 2 )

ErCOS (ro.pt + r - r ^
p

COS[(r-i)u> t-,+a r ]

COS[(r-1)to p t-a,+o( r ]

CM 1

+ + + 3a "a 3
in

a.

in

in

tn

3
CM

O
OJ

o u
u

n u '
UJ ,

U ,

ADDER

[ I F ALL E m CONSTANT] or 2 S ( - D m E m C 0 S me/ COS(co p t+a 1 )[lF SUPERDIRECTIVE]

Fig. 6.Multi-frequency additive system (n = 2r + !)

(3) LINEAR-ADDITIVE MULTI-FREQUENCY ARRAYS

(3.1) General Scheme for Receiving Array An analogue of the multi-element single-frequency receiving array is shown in Fig. 6. Here the multi-frequency system gives a directional pattern identical with that obtained in an ordinary multi-element array with an even number of elements if only odd harmonics of wp are transmitted. If all harmonics are transmitted as shown in Fig. 6, the equivalent multi-element array has an odd number of elements but has the central element omitted. It must be observed, however, that to obtain this effect in the system of Fig. 6 it has been necessary to use a set of local carriers comprising the harmonics of cop, each with a correct reference phase. This is not normally available, and so this apparently truly analogous system is defective. In Fig. 6, the phase angles associated with the incoming signal components have been made quite general. However, it is usually true that am = ma,, and with this condition it is possible, in principle, to avoid the need for the reference carriers by the use of frequency dividers, as shown in Fig. 7. Unfortunately, however, the phase shifts, ma, in the medium usually exceed a large multiple of 2rr radians, and the frequency dividers will give (3.2) An Application using Synchronous Demodulation an output phase of 1/m of the excess phase over the highest A matter of some additional interest is that, if the local multiple of 2TT contained in ma. The true phase angle should be 1/m of the excess phase over the highest multiple of 2mrn reference carriers can be made available, either by direct trans-

contained in ma, and so the phase angle obtained from the frequency divider is only one of m possible values. This difficulty can be overcome, at the expense of greater complication, by replacing the frequency dividers by frequency multipliers which raise each of the signal frequencies to a value ba>p, where b is the lowest common multiple of the integers 1, 2 . . . r, and may therefore be a very large number. The directional pattern (regarded as the envelope function) is now correct and free of ambiguities, and the fact that the signal frequency is a very high multiple of its nominal value may often not matter at all. If required, the signal frequency can be reduced to o>p by a frequency divider, and as the directional pattern is already formed, phase ambiguities will now not affect it; they will matter only if signalphase information is required in processing the signal. But frequency multipliers and dividers, even if arranged to have a linear response to a single sinusoid, inevitably have a non-linear response to complex signals and therefore introduce complications with regard to signal/noise ratio, etc. It is clear that in many ways the multi-frequency receiving array fails to be exactly analogous to the multi-element single-frequency array.

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS mission from the transmitter when appropriate (see the example in Reference 7) or by using a third array element placed centrally between the two others and with a limiter and filter in its output, the fundamental reference carrier can be used a second time to
SIGNAL-S A m COS(mu> p t+mo0

195

-ARRAY

2 EmCOS(muj 1 " 2

provide synchronous demodulation of the output of the adder in the way described in Reference 7. (The complete receiver for r = 2 is shown in block form in Fig. 8.) The type of directional function obtained from the adder when odd and even harmonics are transmitted is then ideal for obtaining a final directional function free of all secondary response over a useful range of <f> by the use of a rectifier after the synchronous demodulation. The optimum value of r is 2, so that the output of the adder is proportional to /sin 5<f>!2 _ \ COS (Opt \sm6I2 ) . sin <f>/2 if both frequencies have the same amplitude. Synchronous demodulation of this gives an output (after low-pass filtration to remove the components at frequency 2<op): sin _ sin <f>l2 which is shown plotted in Fig. 9. Over the range of j> between 5TT/3 and +57r/3 radians the secondary responses are entirely of negative polarity and may be removed by a rectifier. The final directional response is then merely the main lobe without secondaries, provided that the range of real angles, 6, is contained within the stated range of <j>. Naturally, this response is only the variation of output due to a single source of signal (or echo) as the array is rotated; it does not represent directional discrimination against other sources or noise. As shown in Reference 7 the uses of this kind of arrangement are very limited. (3.3) Multi-Frequency Transmitter and Reciprocity Another defect in the space-frequency equivalence of Kock and Stone, and Welsbv, is that, whereas an ordinary multiSIGNAL-A [cOSOopt+a)+COS(2ujpt+2a)]

COS(uj p t+a)

E r COSr^COS(uj t + a ) ^

till.ADDER

E2COS 2 COS(uj p t+a)

[IF ALL E m CONSTANT] OR |

m

COS(u>pt+a) [IF SUPERDIRECTIVE]

Fig. 7.Multi-frequency additive system using frequency dividers.

ARRAY

COS(ou p t+a) OO OO

ADDER

COS(ujDt-t-od

Fig. 8.Two-tone synchronous demodulation system.

196

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS

Fig. 9.-Graph of

Sm

sin <p/2

, showing how the function

sin

- 1

has no positive response between $ = 577/3 and <j> = + 577/3 radians. element single-frequency array is subject to the principle of reciprocityi.e. it may be used as a transmitter or receiver and has the same characteristics and, in particular, the same directional response in both conditionsyet the multi-frequency multiplicative pair is not, since it can clearly be used only as a receiver. But this does not mean that space-frequency equivalence as such is defective in respect of reciprocity, since the multi-frequency additive systems of Figs. 6 and 7 are, in principle, reversible. The only change needed to reverse the system of Fig. 6 in practice is the provision of suitable filters between the modulators and the common-point at each array element, in place of the low-pass filters between the modulators and the adder. To reverse the system of Fig. 7, the frequency dividers need to operate as frequency multipliers when used in reverse. In both systems, then, a tone proportional to cos iopt is fed in at the indicated output terminals, and multiple tones are thus provided, in the same initial phase relationship, at the array. There is, of course, no need to generate the multi-frequency signal in this way; any method which applies a harmonic series of signals to two spaced transmitting elements will suffice. It is important to observe, however, that the signal at any point P in the medium (see Fig. 10) is a multi-frequency signal, and its ' ntensity' (regarded as the analogy of intensity in a multielement single-frequency system, and the basis of determining the directional response as a transmitter) is not a straightforward quantity, being measurable only by a multi-frequency probe, as shown in Fig. 10. This probe system corresponds to the frequency-divider receiver system of Fig. 7, and has the same practical objections; it is, however, not directional. It is clear from Fig. 10 that the directional response of the transmitter, measured in this particular way, is identical with that of the linear-additive multi-frequency receiver system of Figs. 6 and 7, and in this sense, the reciprocity rule applies. Apart from the various practical difficulties which have been mentioned, the greatest weakness of the space-frequency equivalence, regarded as a potential analogy, is that even when reciprocal transmitter and receiver systems are established as discussed above, it still remains impossible for one to work with the other. The multi-frequency receiver depends for its directional response on the various frequencies in the signal having the correct amplitude relationships one with another, independently of direction. But if they came from a multi-frequency transmitter of the type shown in Fig. 10, the amplitude relationships would depend on the position of the receiver relative to the axis of the transmitting array. Thus, whereas only the amplitude of the received signal should depend on the position of the receiver in the field of the transmitter, in this case the directional response of the receiver depends on it too.

PROBE

FREQUENCY DIVIDERS

B--R

ADDER 2 2 e m C O S m ^ COS(oo p t-i-a)

Fig. 10.Multi-frequency two-element transmitter, showing reciprocity when suitable measuring arrangement is used. (4) ADDITIONAL TOPICS (4.1) Echo-Ranging Systems and Sector Scanning It is clear from Section 3.3 that the space-frequency equivalence cannot be applied to obtain a two-element multi-frequency directional transmitter for use with a directional multi-frequency receiving system. If, therefore, the multi-frequency system is to be used for echo-ranging, it is necessary to use as the transmitter one of the following: (a) An omni-directional transducer. (b) A series of transducers of different size, one for each frequency. (c) A special wide-band transducer of constant directivity.8 If (a) is used, as might well be most practical, then clearly the directional properties of the receiver should be exploited to examine the whole of the sector illuminated by the transmitter otherwise the transmitter power is wasted. This can be done effectively by using within-pulse electronic sector scanning as proposed by Welsby.2 The advantages of such scanning equipments have been well demonstrated for multi-element arrays; 9 ' 10

TUCKER: SPACE-FREQUENCY EQUIVALENCE IN DIRECTIONAL ARRAYS in such equipments, a narrow receiving beam is swept (within the pulse duration) over the sector energized by the relatively wide transmitting beam. Multi-frequency operation may well give a considerable simplification of the scanning arrangements.
(4.2) Narrow-Band Working

197

(6) ACKNOWLEDGMENTS The ideas considered above have arisen as a result of discussions with the author's colleagues, Dr. V. G. Welsby and Dr. D. E. N. Davies, whose contribution is gratefully acknowledged. (7) REFERENCES W. E., and STONE, J. L.: 'Space-Frequency Equivalence', Proceedings of the Institute of Radio Engineers, 1958, 46, p. 499. WELSBY, V. G.: 'Two-Element Aerial Array: Use of MultiFrequency Carrier Waveform to Improve Directivity', Electronic Technology, 1961, 38, p. 160. SCHELKUNOFF, S. A. i 'Mathematical Theory of Linear Arrays', Bell System Technical Journal, 1943, 22, p. 80. WOODWARD, P. M., and LAWSON, J. D.: 'The Theoretical Precision with which an Arbitrary Radiation-Pattern may be obtained from a Source of Finite Size', Journal I.E.E., 1948, 95, Part n i , p. 363. TUCKER, D. G.: 'Signal/Noise Performance of SuperDirective Arrays', Acustica, 1958, 8, p. 112.
KOCK,

In many practical applications it will be necessary to confine the signals to a relatively narrow frequency bandwidth in the medium of transmission, and thus the multi-frequency method with a harmonic series will be impracticable. In such circumstances, a series of frequencies (f + s8f), s from r to +r, where 8 is small compared with unity, may be used to give a similar result, provided that the frequency / is transmitted at a relatively high level, or is suitably enhanced or reinserted at the receiver. The signals in each channel are then 'detected' by rectification, giving a harmonic series (as in the basic system) before the two channels are multiplied together. The directional characteristics of the narrow-band system thus correspond to those of the basic system provided that the spacing of the elements of the array is the same in both cases. This matter is discussed fully by Welsby,11 and is probably the only basis on which the multi-frequency system can become really important in practice.
(4.3) Unequal Spacing of Frequencies

(1) (2) (3) (4)

(5)

(6) WELSBY, V. G., and TUCKER, D. G.: 'Multiplicative Receiv-

In a multi-element single-frequency array it is quite possible, and often convenient, to have unequally spaced elements in order to obtain a desired directional response. In the multifrequency two-element array the same effect can be obtained by having the various frequencies in non-integral relationship. There would seem, however, to be no practical merit in this.

(5) CONCLUSIONS It is seen that the idea of space-frequency equivalence in directional arrays is not based on any true analogy, and that it is not possible to work multi-frequency two-element arrays as alternatives to multi-element single-frequency arrays; in particular, transmitters and receivers cannot work together. Nevertheless, practical receiving arrays based on a multifrequency pair of elements in which the signals are multiplied together may have valuable applications, and it appears possible to apply the principle of superdirectivity to them.

ing Arrays', Journal of the British Institution of Radio Engineers, 1959, 19, p. 369. (7) TUCKER, D. G.: 'Improved Directivity Using Synchronous Demodulation', Acustica, 1961, 11, p. 45. (8) TUCKER, D. G.: 'Arrays with Constant Beam-Width over a Wide Frequency-Range', Nature, 1957, 180, p. 496. (9) TUCKER, D. G., et al.\ 'Underwater Echo-Ranging with Electronic Sector Scanning: Sea Trials on R.R.S. "Discovery II" ', Journal of the British Institution of Radio Engineers, 1959, 19, p. 681. (10) DAVIES, D. E. N.: 'A Fast Electronically Scanned Radar Receiving System', ibid., 1961, 21, p. 305. (11) WELSBY, V. G.: 'Two-Channel Sector-Scanning System using a Multi-Frequency Carrier', Electronic Technology, 1961, 38. (12) BROUSSAUD, G., and SPITZ, E.: 'Superdirectivite: Supergain', Annales de Radioelectricite, 1960, 15, p. 289. A full bibliography on superdirectivity can be obtained by reference to: BLOCH, A., MEDHURST, R. G., and POOL, S. D.: 'Superdirectivity', Proceedings of the Institute of Radio Engineers, 1960, 48, p. 1164.