Review of Ocean-Acoustic Models

Paul C. Etter
Northrop Grumman Corporation Electronic Systems Baltimore, Maryland 21203
Abstract - This paper describes acoustic models that can generate analytical metrics in support of naval operations, particularly in coastal oceans. Coastal environments are generally characterized by high spatial and temporal variabilities. When coupled with acoustic spectral dependencies of the surface and bottom boundaries, these natural variabilities make coastal regions very complex acoustic environments. Thus, accurate modeling of the acoustic environment is essential for prediction of sonar performance in coastal oceans. The current inventory of ocean-acoustic models comprises 126 propagation models, 19 noise models, 26 reverberation models and 34 sonar-performance models. Approximately 18 percent of this inventory is tailored for shallow-water applications. When coupled with coastal atmosphere-ocean models, these ocean-acoustic models can generate sophisticated prognostic and diagnostic metrics in support of naval operations in coastal oceans.

I. INTRODUCTION Ocean acoustics entails the development and employment of acoustical methods to image underwater features, to communicate information via the oceanic waveguide, or to measure oceanic properties. In the present context, ocean acoustics encompasses both the science and the technology necessary to deploy functioning acoustical systems in support of naval operations. Broadly defined, modeling is a method for organizing knowledge accumulated through observation or deduced from underlying principles. Modeling applications fall into two basic categories: prognostic and diagnostic. Prognostic applications include prediction and forecasting functions where future oceanic conditions or acoustic sensor performance must be anticipated. Diagnostic applications include system-design and analysis functions typically encountered in engineering tradeoff studies. II. CHALLENGES IN COASTAL ENVIRONMENTS Coastal environments are generally characterized by high spatial and temporal variabilities. When coupled with attendant acoustic spectral dependencies of the surface and bottom boundaries, these natural variabilities make coastal regions very complex acoustic environments. Specifically, changes in the temperature and salinity of coastal waters affect the refraction of sound in the water column. These refractive properties have a profound impact on the transmission of acoustic energy in a shallow-water waveguide with an irregular bottom and a statistically varying sea surface. Thus, accurate modeling and prediction of the acoustic environment is essential to an understanding sonar performance in coastal oceans.

Physical processes controlling the hydrography of shelf waters often exhibit strong seasonal variations. Annual cycles of alongshore winds induce alternating periods of upwelling and downwelling. The presence of coastal jets and the frictional decay of deep-water eddies due to topographic interactions further complicate the dynamics of coastal regions. Episodic passages of meteorological fronts from continental interiors affect the thermal structure of the adjacent shelf waters through intense air-sea interactions. River outflows create strong salinity gradients along the adjacent coast. Variable bottom topographies and sediment compositions with their attendant spectral dependencies complicate acoustic bottom boundary conditions. At higher latitudes, ice formation complicates acoustic surface boundary conditions near the coast. Waves generated by local winds under fetch-limited conditions, together with swells originating from distant sources, conspire to complicate acoustic surface boundary conditions and also create noisy surf conditions. Marine life, which is often abundant in nutrient-rich coastal regions, can generate or scatter sound. Anthropogenic sources of noise are common in coastal seas including fixed sources such as drilling rigs and mobile sources such as merchant shipping and fishing vessels. Surface weather, including wind and rain, further contribute to the underwater noise field. Even noise from low-flying coastal aircraft can couple into the water column and add to the background noise field. Over the past decade, naval mission requirements have shifted from open-ocean operations to shallow-water (or littoral) scenarios. For convenience, shallow water will be defined by water depths less than 200 meters. This has not been an easy transition for sonar technologists since sonar systems that were originally designed for operation in deep water seldom work optimally in coastal regions. This has also held true for modeling and simulation (M&S) technologies, which have undergone a redefinition and refocusing to support a new generation of multistatic naval systems that are intended to operate efficiently in littoral regions while still retaining a deep-water capability. Shallow-water geometries increase the importance of boundary interactions, which diminish acoustic energy through scattering and also complicate localization of diesel submarines and coastal mines due to multipath propagation. Moreover, the higher levels of interfering noises encountered in coastal regions combined with higher levels of boundary reverberation mask signals of interest. In advance of naval deployments, synoptic meteorological and oceanographic (METOC) measurements are often required in remote or hostile (i.e., harsh or heavily defended) coastal environments to forecast acoustic sensor performance. Coupled atmosphere-ocean-acoustic models could reduce

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the need for hazardous in-situ data collection by numerically computing initial states for the embedded acoustic models. Recently, acoustical oceanographers have employed ocean-acoustic models as adjunct tools that can be used to conduct rapid environmental assessments (REA) in remote locations. Due to an increased awareness of the potential technological impacts on marine life, naval commanders and acoustical oceanographers must also be aware of new environmental regulations governing the acoustic emissions of their sonar systems. In shallow water, interactions of the acoustic fields with the sea bed require an understanding of the sedimentary structure of the bottom to a level of detail that is usually not required in deep-water environments. In the forwardpropagation case, this means that a significant amount of information is necessary to properly characterize the bottom boundary to ensure the generation of high-fidelity model outputs. This generally requires a good understanding of the physics of bottom-interacting acoustics in diverse ocean environments. III. MODELING CAPABILITIES Ocean-acoustic models translate our physical understanding of sound in the sea into mathematical formulas solvable by computers. Consistent with previous work [1], the principal categories of ocean-acoustic models comprise environmental, propagation, noise, reverberation and sonar performance. The hierarchical relationship among these model categories is illustrated in Fig. 1. It is important to note the fundamental importance of propagation models in the subsequent modeling of noise and reverberation. The inclusion of system-specific parameters (e.g., sonar and target) is implicit in this schematic. More detailed flow charts available in Ref. [1] make such information explicit in the computational chain. Environmental models include physics-based or empirical algorithms that are used to quantify the boundary conditions (surface and bottom) and volumetric effects of the ocean environment. Such models include, for example, sound speed, absorption coefficients, surface and bottom reflection losses and surface, bottom and volume backscattering strengths.

Figure 1. Generalized relationships among environmental models, basic acoustic models and sonar performance models [1].

Basic acoustic models comprise propagation (or transmission loss), noise and reverberation models. Sonar performance models are composed of environmental models, basic acoustic models and appropriate signal processing models. The ocean environment is characterized in terms of boundary conditions (surface and bottom) and volumetric effects. Shallow-water environments are typically characterized by a sloping bottom (wedge geometry); moreover, continental weather, river discharge or ice formation heavily influence shallow-water conditions. Deep-water environments tend to be characterized by a flat bottom and relatively stable water-column properties. Therefore, models of acoustic propagation, noise and reverberation intended for deep-water applications seldom perform well in shallow-water. This performance dichotomy stems from the need for range-dependent models in shallow water whereas range-independent models may be adequate for many deep-water applications. As sound propagates through the ocean, the effects of spreading and attenuation diminish its intensity. Spreading loss includes spherical and cylindrical spreading losses in addition to focusing effects. Attenuation loss includes losses due to absorption, leakage out of ducts, scattering and diffraction. Propagation losses increase with increasing frequency due largely to the effects of absorption. Sound propagation is profoundly affected by the conditions of the surface and bottom boundaries of the ocean as well as by the vertical and horizontal distribution of sound speed within the ocean volume. Sound-speed gradients introduce refractive effects that may focus or defocus the propagating acoustic energy. Noise is the prevailing, unwanted background of sound at a particular location in the ocean at a particular time. The local noise field is thus characterized by temporal, spatial and spectral variabilities. The noise generated by natural or anthropogenic point sources is diminished through the effects of propagation to the sonar receiver. Reverberation is sound that is scattered by the ocean boundaries or by the volumetric inhomogeneities. Reverberation-producing scatterers in the ocean can be grouped into three classes: sea surface, sea floor and ocean volume. Reverberation is produced by the sonar itself; therefore, the spectral characteristics are essentially the same as the transmitted sonar signal. The intensity of reverberation varies with the range of the scatterers (due to propagation loss) and also with the intensity of the transmitted signal. The performance of a passive sonar (i.e., one that detects sound emitted from a target of interest) could be modeled using the appropriate environmental descriptors together with suitable propagation-loss and noise models. Sonar-system characteristics would be included in appropriate signal-processing models. The performance of an active sonar (i.e., one that transmits an interrogation signal and then detects the echo returned from a target of interest) could be modeled using the appropriate environmental descriptors together with suitable propagation-loss, noise and reverberation models. Sonarsystem characteristics are included in the appropriate signalprocessing models.

A. Propagation Models Propagation models are integral to the higher-level modeling of noise, reverberation and, ultimately, sonar performance (refer to Fig. 1). The categorization of propagation models into five distinct techniques follows that of Ref. [1]: Ray Theory, Normal Mode, Multipath Expansion, Fast Field (or Wavenumber Integration) and Parabolic Equation. A further division can be made according to range-independent (1D, or depth-dependence only) or range-dependent environmental specifications, where environmental range-dependence can be 2D (depth and range) or 3D (depth, range and azimuth). Since all five techniques are derived from the wave equation by restricting solutions to the frequency domain, the resulting models are appropriate for traditional sonar applications. (Solutions obtained in the time domain would be appropriate, for example, for modeling shock propagation in the ocean.) Each of the five techniques has a unique domain of applicability that can be defined in terms of acoustic frequency and environmental complexity. These domains are determined by the assumptions that were invoked in deriving each solution. Hybrid formulations obtained by combining two or more different techniques are often developed to improve domain robustness. Table I (at the back) provides a comprehensive summary of stand-alone propagation models. Use of 1D (range-independent) models may be an appropriate approximation for stable shallowwater environments with locally flat bottoms; otherwise, 2D/3D models are recommended. To provide compact summaries, propagation models are arranged in categories reflecting the basic modeling technique employed (i.e. the five canonical approaches) as well as the ability of the model to handle environmental range dependence. Such factors define what is termed domains of applicability. Hybrid models occasionally compromise strict categorization, and some arbitrariness has been allowed in this classification process. The environmental range dependence considers variations in sound speed or bathymetry. Other parameters may be considered to be range-dependent by some of the models, although they are not explicitly treated in this summary. The specific utility of these categories is further explained below. In applying ocean-acoustic propagation models, the analyst is normally faced with a decision matrix involving water depth (deep versus shallow), frequency (high versus low) and range-dependence (range-independent versus range-dependent ocean environments). The following assumptions and conditions were imposed in construction of Fig. 2, which was originally adapted from F.B. Jensen (see Ref. [1]): Shallow water includes those water depths for which the sound can be expected to interact significantly with the sea floor. Typically, a maximum depth of 200 m is used to delimit shallow water regions. The threshold frequency of 500 Hz is somewhat arbitrary, but it does reflect the fact that above 500 Hz, many wave-theoretical models become computationally intensive. Also, below 500 Hz, the physics of some raytheoretical models may become questionable due to restrictive assumptions. A solid circle indicates that the modeling approach is both applicable (physically) and practical

(computationally). Distinctions based on speed of execution may change as progress is made in computational capabilities. A partial circle indicates that the modeling approach has some limitations in accuracy or in speed of execution. An open circle indicates that the modeling approach is neither applicable nor practical. Fig. 2 has been modified in two important respects relative to previous versions [1]. Specifically, a rangedependent capability has been explicitly added to the multipath-expansion and the fast-field (or wavenumber integration) approaches. This represents a significant change from the corresponding chart presented in the 2003 baseline [1]. This change is warranted by the substantial progress made by modelers over the past several years. Table I identifies thirteen new stand-alone propagation models; the new models are bordered by a dashed line. New models are those that have been added to the inventory since 2003. Twelve of the thirteen new propagation models are range-dependent, and there is at least one new model in each of the five categories. (Note that RAMGEO, a new addition to the existing RAM/RAMS family, handles sediment layers that are range dependent and parallel to the bathymetry.) There are three community standard propagation models: two range-dependent normal-mode models (ASTRAL and NAUTILUS) and one range-dependent parabolic equation model (NSPE). Community standard models are those computer codes that are configuration managed by the US Navys Oceanographic and Atmospheric Master Library (OAML). Taken together, Fig. 2 and Table I provide a useful mechanism for selecting a subset of candidate models once some preliminary information is available concerning the intended applications. Note that range-dependent models can also be used for range-independent environments by inserting a single environmental description to represent the entire horizontal range.
Applications Model type Shallow water Low frequency RI Ray theory Normal mode Multipath expansion Fast field Parabolic equation RD High frequency RI RD RI Deep water Low frequency RD High frequency RI RD

Low frequency (< 500 Hz) High frequency (> 500 Hz)

RI: Range-independent environment RD: Range-dependent environment

Modeling approach is both applicable (physically) and practical (computationally) Limitations in accuracy or in speed of execution Neither applicable or practical

Figure 2. Updated domains of applicability of ocean-acoustic propagation models (adapted from Ref. [1]).

B. Noise Models Noise models can be segregated into two categories: ambient-noise models and beam-noise statistics models. Ambient-noise models are applicable over a broad range of frequencies and consider noise originating from surface weather, biologics, shipping and other commercial activities. Beam-noise statistics models predict the properties of lowfrequency shipping noise using either analytic (deductive) or simulation (inductive) methods.

Table II (at the back) identifies two new stand-alone noise models; the new models are bordered by a dashed line. Noise models do not necessarily include sonar self-noise components. New models are those that have been added to the inventory since 2003. There is one community standard ambient noise model (which is also a new model): DANM (Dynamic Ambient Noise Model). C. Reverberation Models Reverberation models can be categorized according to cell-scattering or point-scattering techniques. Cell-scattering formulations divide the ocean into cells, where each cell contains a large number of uniformly distributed scatterers. Point-scattering formulations assume a random distribution of (point) scatterers. Table III (at the back) identifies nine new stand-alone reverberation models; the new models are bordered by a dashed line. New models are those that have been added to the inventory since 2003. At present, there are no (stand-alone) community standard reverberation models. D. Sonar Performance Models Sonar performance models combine environmental models, propagation models, noise models, reverberation models and appropriate signal-processing models to solve the sonar equation. Available sonar performance models (subcategorized as active sonar models, model operating systems and tactical decision aids) are summarized in Table IV (at the back); the eight new models are bordered by a dashed line. New models are those that have been added to the inventory since 2003. Most of the active sonar models listed in Table IV are intended principally for use in ASW scenarios, although four of these models (CASTAR, MINERAY, SEARAY and SWAT) are designed for use in mine-hunting scenarios. Model-operating systems provide a framework for the direct linkage of data-management software with computerimplemented codes of acoustic models, thus facilitating the construction of versatile simulation capabilities. Modeloperating systems are further distinguished from stand-alone active sonar performance models by virtue of their ability to conduct sensitivity analyses by computing components of the active-sonar equation using alternative solution techniques. Since sonar model operating systems normally utilize existing ocean-acoustic models and standard oceanographic databases, these systems are unique only in the sense of the number and types of models and databases included, and the particular architectures, GUIs and other features employed. Tactical decision aids represent a form of engagement-level simulation that blends environmental information with tactical rules. These decision aids guide system operators and scene commanders in planning missions and allocating resources by exploiting knowledge of the operating environment. Table IV identifies five new stand-alone active sonar models, one new model operating system, and one new tactical decision aid. ASPM and CASS are designated as community standard models.

IV. COUPLED COASTAL-OCEAN MODELS A review of requirements for coupling ocean-acoustic and atmosphere-ocean models in coastal environments suggests a broad architectural plan for their common integration. Issues critical to the further integration of atmosphere-ocean-acoustic modeling technologies have also been identified including high-level architectures (HLA), data standards and V V & A (verification, validation and accreditation) standards. Collectively, these initiatives seek to promote modeling reuse and interoperability among diverse user communities. In Fig. 1, the canonical (pyramid) hierarchy indicates that environmental data (derived either from in-situ measurements or from historical data) are used to initialize propagation models. Once initialized, the propagation models are used in tandem with noise or reverberation models, or both. Alternatively, a coupling scheme could be used to initialize the propagation models with high-fidelity forecast data (generated by coupled coastal-ocean models) in place of in-situ data. By high fidelity is meant spatial/temporal resolutions and coverages sufficient to support the initialization of 2D/3D range-dependent models in shallow-water environments. Such a capability is usually beyond that afforded by traditional in-situ data collection performed by isolated operating units. Coupling ocean-acoustic models with coastal atmosphere-ocean models could substantially enhance the provision of timely and comprehensive environmental descriptors to these acoustic models. When coupled with coastal atmosphere-ocean models, these ocean-acoustic models can generate sophisticated prognostic and diagnostic metrics in support of naval operations in coastal oceans. V. SUMMARY This paper describes acoustic models that can generate analytical metrics in support of naval operations in coastal oceans. Coastal environments are generally characterized by high spatial and temporal variabilities. Thus, accurate modeling of the acoustic environment is essential for prediction of sonar performance in coastal oceans. The current inventory of ocean-acoustic models comprises 126 propagation models, 19 noise models, 26 reverberation models and 34 sonar-performance models. Approximately 18 percent of this inventory is tailored for shallow-water applications. These models are summarized in charts that discriminate attributes useful in coastal applications. Selection criteria based on these attributes are presented to guide scientists and engineers in matching appropriate acoustic-modeling capabilities with acousticsensing requirements in the coastal ocean. When coupled with coastal atmosphere-ocean models, these ocean-acoustic models can generate sophisticated prognostic and diagnostic metrics in support of naval operations in coastal oceans.
[1]

REFERENCES P.C. Etter, Underwater Acoustic Modeling and Simulation, 3rd ed. London: Spon Press, 2003.

TABLE I. SUMMARY OF OCEAN-ACOUSTIC PROPAGATION MODELS. THE THIRTEEN NEW STAND-ALONE MODELS ARE BORDERED BY A DASHED LINE.

Technique
CAPARAY FACT Ray Theory FLIRT GAMARAY ICERAY AP-2/5 BDRM Normal Mode COMODE DODGE FNMSS Multipath Expansion Fast Field or Wavenumber Integration FAME MULE FFP Kutschale FFP MSPFFP

Range Independent
PLRAY RANGER ACCURAY BELLHOP Coherent DELTA FACTEX FeyRay MODELAB NEMESIS NLNM NORMOD3 NORM2L NEPBR RAYMODE OASES Pulse FFP RPRESS SAFARI SCOOTER SPARC CORE OASES-3D RDFFP AMPE / CMPE Corrected PE DREP RD-OASES RDOASP RDOAST HAPE IFD Wide Angle IMP3D LOGPE MaCh1 MOREPE NSPE OS2IFD ORCA POPP PROTEUS SHEAR2 Stickler ADIAB ASERT ASTRAL CENTRO CMM3D COUPLE Integrated Mode GRAB GRASS HARORAY HARPO HARVEST CPMS FELMODE Kanabis KRAKEN MOATL MOCTESUMA

Range Dependent
LYBIN LYCH MEDUSA MIMIC MPC NAUTILUS PROLOS PROSIM SHAZAM SNAP / C-SNAP SWAMP MPP Pedersen PlaneRay PWRC RAYSON WEDGE WKBZ WRAP 3D Ocean RAYWAVE RP-70 SHALFACT TRIMAIN XRAY

SAFRAN

OWWE PAREQ PDPE PECan PE-FFRAME PESOGEN

Spectral PE TDPE Two-Way PE ULETA UNIMOD 3DPE (NRL-1)

CCUB / SPLN / CNP1 HYPER

Parabolic Equation

Use Single Environmental Specification

FDHB3D FEPE FEPE-CM FEPES FOR3D

PE-SSF (UMPE / MMPE) 3DPE (NRL-2) RAM / RAMS / RAMGEO 3DTDPA

SNUPE

3DWAPE

TABLE II. SUMMARY OF OCEAN-ACOUSTIC NOISE MODELS. THE TWO NEW STAND-ALONE MODELS ARE BORDERED BY A DASHED LINE.

Ambient Noise
AND ES AMBENT ARAMIS CAN ARY CNOISE DAN ES DAN M DINAMO DUNES FANM Normal Mode Ambient Noise RAN DI - I / II / III

Beam-Noise Statistics Analytic

BBN Shipping Noise BTL USI Array N oise Sonobuoy Noise

Simulation
BEAMPL DSBN NABTAM

TABLE III. SUMMARY OF OCEAN-ACOUSTIC REVERBERATION MODELS. THE NINE NEW STAND-ALONE MODELS ARE BORDERED BY A DASHED LINE.
Cell Scattering Monostatic Bistatic
C-SNAP-REV DOP EIGEN / REVERB MAM PAREQ-REV PEREV PERM-2D REVMOD REVPA REVSIM R-SNAP TENAR ARTEMIS BAM BiKR BiR ASP BISAPP BISSM BISTAR OGOPOGO RASP RUMBLE S-SCARAB

Point Scattering Monostatic Bistatic

REVGEN RITSHPA Under-Ice Reverberation Simulation

TABLE IV. SUMMARY OF SONAR PERFORMANCE MODELS. THE EIGHT NEW STAND-ALONE MODELS ARE BORDERED BY A DASHED LINE.

Active Sonar Models

Active RAYMODE ALMOST ASPM CASTAR CONGRATS ESPRESSO GASS HODGSON INSIGHT INSTANT LIRA LORA MINERAY MOCASSIN MOC3D MODRAY MSASM NISSM - II SEARAY SONAR SST SUPREMO SWAMI / DMOS SWAT UAIM

Model Operating Systems

CAAM CASS GSM - Bistatic HydroCAM PRISM SPPS IMAT

Tactical Decision Aids

ASPECT NECTA