Methods for direction of arrival estimation using a single snapshot of the data

Date of Award


Degree Type


Degree Name

Doctor of Philosophy (PhD)


Electrical Engineering and Computer Science


Tapan K. Sarkar

Second Advisor

Kenneth W. Foster


Signal processing, Antenna array, Matrix pencil, Arrival direction

Subject Categories

Electrical and Computer Engineering | Engineering


This dissertation presents two new direction-of-arrival (DOA) estimation methods that require only a single time snapshot of data in their processing. In the first part of the dissertation, the new " non-conventional least squares DOA estimation " is presented. This method is a novel method based on an underdetermined least squares solution of the system of equations of array manifold vectors. The peaks of the estimated signal amplitudes indicate the direction of the signals. This method requires a priori knowledge of the array manifold vectors of the antenna array in its actual operating environment. An advantage of this method is that most of the computations can be calculated offline and no extra processing step is necessary when the array is operating in the presence of antenna mutual coupling. For real-time implementation, only a matrix-vector multiplication and peak detection are the required computations in the DOA estimation steps. In this dissertation, both one-dimensional (1D) and two-dimensional (2D) versions of the new non-conventional least squares DOA estimation method are presented.

In the second part of the dissertation, the Matrix Pencil method is presented. The matrix pencil method estimates the signal directions by solving the generalized eigenvalue problem of the matrix pencil pair generated from a single snapshot of data. The dissertation presents a new modified version of the 2D matrix pencil method, called the " Diagonal Matrix Pencil Method ". The diagonal matrix pencil method utilizes a matrix pencil pair along the diagonal shift of the data matrix to provide an alternative way of pairing the signal poles in the 2D DOA estimation. A mutual coupling compensation method is revisited for estimating the DOA when the antenna array is operating in close proximity to near-field scatterers and other antennas.

The final part of this dissertation presents the applications of both new DOA estimation techniques. The non-conventional least squares DOA estimation is applied for sector initialization in adaptive array processing. The matrix pencil methods are applied for determining target locations in an active radar system by using a modified 1D matrix pencil method for distance estimation and the 2D diagonal matrix pencil method for direction estimation.


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